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CAPITAL ONE FINANCIAL CORP

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547
SEC CIK
0000927628
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2,528

Last 12 months

Inside the activity.

0 purchase rows · 62 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 2025013
Dec 202503
Jan 202604
Feb 2026014
Mar 202602
Apr 202602
May 202604
Jun 202601
Jul 202605
Aug 2026010
Sep 202603
Oct 202601

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Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
February 28, 2011 Filed Mar 2, 2011 23:42 UTC
PERLIN GARY LChief Financial Officer
Exercise / conversionStock Options · Derivative 161,631 $0.00 Strike: $18.28 $0.00
Disclosure

SEC source: 0001225208-11-008269 · doc4.xml · derivative · entry 4

PERLIN GARY L · CIK 0001252395 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,820

Underlying: Common Stock · 161,631 shares

Expires 2019-01-28

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on January 26, 2011, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F3 · derivative.exercise_date: This option is exercisable in 1/3 increments beginning on January 29, 2010 and annually thereafter.

Read SEC document
February 28, 2011 Filed Mar 2, 2011 23:42 UTC
PERLIN GARY LChief Financial Officer
SaleCommon Stock 161,631 $50.15 $8,105,794.65
Disclosure

SEC source: 0001225208-11-008269 · doc4.xml · nonDerivative · entry 3

PERLIN GARY L · CIK 0001252395 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 240,235

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on January 26, 2011, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2 · price: These shares were sold at prices ranging from $49.84 to $50.40. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
February 28, 2011 Filed Mar 2, 2011 23:42 UTC
PERLIN GARY LChief Financial Officer
SaleCommon Stock 10,423 $50.50 $526,361.50
Disclosure

SEC source: 0001225208-11-008269 · doc4.xml · nonDerivative · entry 2

PERLIN GARY L · CIK 0001252395 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 401,866

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on January 26, 2011, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
February 28, 2011 Filed Mar 2, 2011 23:42 UTC
PERLIN GARY LChief Financial Officer
Exercise / conversionCommon Stock 161,631 $18.28 $2,954,614.68
Disclosure

SEC source: 0001225208-11-008269 · doc4.xml · nonDerivative · entry 1

PERLIN GARY L · CIK 0001252395 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 412,289

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on January 26, 2011, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
February 23, 2011 Filed Feb 23, 2011 21:34 UTC
Pike Lynn AnnPresident, Banking
SaleCommon Stock 3,448 $50.77 $175,054.96
Disclosure

SEC source: 0001225208-11-006864 · doc4.xml · nonDerivative · entry 2

Carter Lynn Ann · CIK 0001397863 · President, Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,545

F2 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 11, 2010, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
February 21, 2011 Filed Feb 23, 2011 21:34 UTC
Alexander Robert M.Chief Information Officer
Tax withholdingCommon Stock 2,995 $52.69 $157,806.55
Disclosure

SEC source: 0001225208-11-006862 · doc4.xml · nonDerivative · entry 1

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 135,356

F1 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on February 21, 2008. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 21, 2011 Filed Feb 23, 2011 21:34 UTC
Berson Jory AChief Human Resources Officer
Tax withholdingCommon Stock 5,128 $52.69 $270,194.32
Disclosure

SEC source: 0001225208-11-006863 · doc4.xml · nonDerivative · entry 1

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 146,292

F1 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on February 21, 2008. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 21, 2011 Filed Feb 23, 2011 21:34 UTC
Pike Lynn AnnPresident, Banking
Tax withholdingCommon Stock 3,478 $52.69 $183,255.82
Disclosure

SEC source: 0001225208-11-006864 · doc4.xml · nonDerivative · entry 1

Carter Lynn Ann · CIK 0001397863 · President, Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 128,993

F1 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on February 21, 2008. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 21, 2011 Filed Feb 23, 2011 21:34 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Tax withholdingCommon Stock 2,011 $52.69 $105,959.59
Disclosure

SEC source: 0001225208-11-006865 · doc4.xml · nonDerivative · entry 1

LaPrade,III Frank G. · CIK 0001497948 · Chief Enterprise Srvcs Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,461

F1 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on February 21, 2008. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 21, 2011 Filed Feb 23, 2011 21:35 UTC
SCHNALL PETER AChief Risk Officer
Tax withholdingCommon Stock 4,383 $52.69 $230,940.27
Disclosure

SEC source: 0001225208-11-006867 · doc4.xml · nonDerivative · entry 1

SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 205,151

F1 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on February 21, 2008. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 21, 2011 Filed Feb 23, 2011 21:34 UTC
PERLIN GARY LChief Financial Officer
Tax withholdingCommon Stock 7,883 $52.69 $415,355.27
Disclosure

SEC source: 0001225208-11-006866 · doc4.xml · nonDerivative · entry 1

PERLIN GARY L · CIK 0001252395 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,658

F1 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on February 21, 2008. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 21, 2011 Filed Feb 23, 2011 21:34 UTC
Schneider Ryan M.President, Card
Tax withholdingCommon Stock 3,223 $52.69 $169,819.87
Disclosure

SEC source: 0001225208-11-006868 · doc4.xml · nonDerivative · entry 1

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 129,116

F1 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on February 21, 2008. This is authorized in the applicable restricted stock award agreement.

F2 · balance_after: Includes 268 shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction.

Read SEC document
February 21, 2011 Filed Feb 23, 2011 21:35 UTC
Sanjiv YajnikPresident, Financial Services
Tax withholdingCommon Stock 2,172 $52.69 $114,442.68
Disclosure

SEC source: 0001225208-11-006869 · doc4.xml · nonDerivative · entry 1

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,301

F1 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on February 21, 2008. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 14, 2011 Filed Feb 16, 2011 21:51 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
SaleCommon Stock 13,781 $52.57 $724,467.17
Disclosure

SEC source: 0001225208-11-006172 · doc4.xml · nonDerivative · entry 1

LaPrade,III Frank G. · CIK 0001497948 · Chief Enterprise Srvcs Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,472

F1 · price: These shares were sold at prices ranging from $52.56 to $52.58. Information regarding the number of shares sold at each pricewill be provided upon request.

Read SEC document
February 11, 2011 Filed Feb 15, 2011 00:26 UTC
Alexander Robert M.Chief Information Officer
SaleCommon Stock 4,926 $52.00 $256,152.00
Disclosure

SEC source: 0001225208-11-005763 · doc4.xml · nonDerivative · entry 1

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 138,351

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 10, 2010, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
February 10, 2011 Filed Feb 11, 2011 21:44 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
GiftCommon Stock 3,920 $0.00 $0.00
Disclosure

SEC source: 0001225208-11-005530 · doc4.xml · nonDerivative · entry 1

FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,487,856

F1 · balance_after: Includes shares acquired by the reporting person through the Company's Dividend Reinvestment Plan since the last reported transaction.

Read SEC document
February 08, 2011 Filed Feb 10, 2011 21:43 UTC
Alexander Robert M.Chief Information Officer
SaleCommon Stock 4,588 $50.00 $229,400.00
Disclosure

SEC source: 0001225208-11-005344 · doc4.xml · nonDerivative · entry 1

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 143,277

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 10, 2010, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
February 02, 2011 Filed Feb 2, 2011 21:46 UTC
Pike Lynn AnnPresident, Banking
SaleCommon Stock 19,538 $49.36 $964,395.68
Disclosure

SEC source: 0001225208-11-004610 · doc4.xml · nonDerivative · entry 1

Carter Lynn Ann · CIK 0001397863 · President, Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,471

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 11, 2010, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2 · price: These shares were sold at prices ranging from $49.08 to $49.57. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
February 01, 2011 Filed Feb 2, 2011 21:46 UTC
SCHNALL PETER AChief Risk Officer
Exercise / conversionStock Options · Derivative 77,118 $18.28 Strike: $18.28 $1,409,717.04
Disclosure

SEC source: 0001225208-11-004609 · doc4.xml · derivative · entry 5

SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,121

Underlying: Common Stock · 77,118 shares

Expires 2019-01-28

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 12, 2010, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F3 · derivative.exercise_date: This option is exercisable in 1/3 increments beginning on January 29, 2010 and annually thereafter.

Read SEC document
February 01, 2011 Filed Feb 2, 2011 21:46 UTC
SCHNALL PETER AChief Risk Officer
SaleCommon Stock 62,118 $49.31 $3,063,038.58
Disclosure

SEC source: 0001225208-11-004609 · doc4.xml · nonDerivative · entry 4

SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 209,534

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 12, 2010, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2 · price: These shares were sold at prices ranging from $48.75 to $49.65. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
February 01, 2011 Filed Feb 2, 2011 21:46 UTC
SCHNALL PETER AChief Risk Officer
SaleCommon Stock 8,000 $48.58 $388,640.00
Disclosure

SEC source: 0001225208-11-004609 · doc4.xml · nonDerivative · entry 3

SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 271,652

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 12, 2010, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
February 01, 2011 Filed Feb 2, 2011 21:46 UTC
SCHNALL PETER AChief Risk Officer
SaleCommon Stock 7,000 $48.50 $339,500.00
Disclosure

SEC source: 0001225208-11-004609 · doc4.xml · nonDerivative · entry 2

SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 279,652

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 12, 2010, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
February 01, 2011 Filed Feb 2, 2011 21:46 UTC
SCHNALL PETER AChief Risk Officer
Exercise / conversionCommon Stock 77,118 $18.28 $1,409,717.04
Disclosure

SEC source: 0001225208-11-004609 · doc4.xml · nonDerivative · entry 1

SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 286,652

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 12, 2010, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
February 01, 2011 Filed Feb 3, 2011 22:19 UTC
Alexander Robert M.Chief Information Officer
SaleCommon Stock 6,596 $49.86 $328,876.56
Disclosure

SEC source: 0001225208-11-004763 · doc4.xml · nonDerivative · entry 1

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By 401(k)

Disclosed balance after: 0

F1 · shares: Represents the reporting person's equivalent share ownership in the Company's 401(k) Plan, a unitized plan, as of the date of the latest transaction.

Read SEC document
January 31, 2011 Filed Jan 31, 2011 21:42 UTC
Pike Lynn AnnPresident, Banking
SaleCommon Stock 3,000 $48.49 $145,470.00
Disclosure

SEC source: 0001225208-11-004250 · doc4.xml · nonDerivative · entry 4

Carter Lynn Ann · CIK 0001397863 · President, Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 152,009

F3 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 11, 2010, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
January 31, 2011 Filed Jan 31, 2011 21:42 UTC
Pike Lynn AnnPresident, Banking
SaleCommon Stock 2,106 $48.43 $101,993.58
Disclosure

SEC source: 0001225208-11-004250 · doc4.xml · nonDerivative · entry 3

Carter Lynn Ann · CIK 0001397863 · President, Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 155,009

F3 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 11, 2010, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
January 29, 2011 Filed Jan 31, 2011 21:42 UTC
Alexander Robert M.Chief Information Officer
Tax withholdingCommon Stock 9,291 $48.24 $448,197.84
Disclosure

SEC source: 0001225208-11-004248 · doc4.xml · nonDerivative · entry 2

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147,865

F2 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 29, 2009. This is authorized in the applicable restricted stock award agreement.

Read SEC document
January 29, 2011 Filed Jan 31, 2011 21:42 UTC
Berson Jory AChief Human Resources Officer
Tax withholdingCommon Stock 14,149 $48.24 $682,547.76
Disclosure

SEC source: 0001225208-11-004249 · doc4.xml · nonDerivative · entry 2

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 151,420

F2 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 29, 2009. This is authorized in the applicable restricted stock award agreement.

Read SEC document
January 29, 2011 Filed Jan 31, 2011 21:42 UTC
Pike Lynn AnnPresident, Banking
Tax withholdingCommon Stock 19,712 $48.24 $950,906.88
Disclosure

SEC source: 0001225208-11-004250 · doc4.xml · nonDerivative · entry 2

Carter Lynn Ann · CIK 0001397863 · President, Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 157,115

F2 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 29, 2009. This is authorized in the applicable restricted stock award agreement.

Read SEC document
January 29, 2011 Filed Jan 31, 2011 21:42 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Tax withholdingCommon Stock 3,786 $48.24 $182,636.64
Disclosure

SEC source: 0001225208-11-004251 · doc4.xml · nonDerivative · entry 2

LaPrade,III Frank G. · CIK 0001497948 · Chief Enterprise Srvcs Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,253

F2 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 29, 2009. This is authorized in the applicable restricted stock award agreement.

Read SEC document
January 29, 2011 Filed Jan 31, 2011 21:42 UTC
PERLIN GARY LChief Financial Officer
Tax withholdingCommon Stock 20,934 $48.24 $1,009,856.16
Disclosure

SEC source: 0001225208-11-004252 · doc4.xml · nonDerivative · entry 2

PERLIN GARY L · CIK 0001252395 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 258,541

F2 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 29, 2009. This is authorized in the applicable restricted stock award agreement.

Read SEC document
January 29, 2011 Filed Jan 31, 2011 21:42 UTC
SCHNALL PETER AChief Risk Officer
Tax withholdingCommon Stock 14,221 $48.24 $686,021.04
Disclosure

SEC source: 0001225208-11-004253 · doc4.xml · nonDerivative · entry 2

SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 209,534

F2 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 29, 2009. This is authorized in the applicable restricted stock award agreement.

Read SEC document
January 29, 2011 Filed Jan 31, 2011 21:42 UTC
Schneider Ryan M.President, Card
Tax withholdingCommon Stock 11,919 $48.24 $574,972.56
Disclosure

SEC source: 0001225208-11-004254 · doc4.xml · nonDerivative · entry 2

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,071

F2 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 29, 2009. This is authorized in the applicable restricted stock award agreement.

Read SEC document
January 29, 2011 Filed Jan 31, 2011 21:42 UTC
Sanjiv YajnikPresident, Financial Services
Tax withholdingCommon Stock 3,007 $48.24 $145,057.68
Disclosure

SEC source: 0001225208-11-004255 · doc4.xml · nonDerivative · entry 2

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,473

F2 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 29, 2009. This is authorized in the applicable restricted stock award agreement.

Read SEC document
January 27, 2011 Filed Jan 31, 2011 21:42 UTC
Alexander Robert M.Chief Information Officer
Tax withholdingCommon Stock 2,639 $48.40 $127,727.60
Disclosure

SEC source: 0001225208-11-004248 · doc4.xml · nonDerivative · entry 1

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 157,156

F1 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 27, 2010. This is authorized in the applicable restricted stock award agreement.

Read SEC document
January 27, 2011 Filed Jan 31, 2011 21:42 UTC
Berson Jory AChief Human Resources Officer
Tax withholdingCommon Stock 3,464 $48.40 $167,657.60
Disclosure

SEC source: 0001225208-11-004249 · doc4.xml · nonDerivative · entry 1

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 165,569

F1 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 27, 2010. This is authorized in the applicable restricted stock award agreement.

Read SEC document
January 27, 2011 Filed Jan 31, 2011 21:42 UTC
Pike Lynn AnnPresident, Banking
Tax withholdingCommon Stock 5,153 $48.40 $249,405.20
Disclosure

SEC source: 0001225208-11-004250 · doc4.xml · nonDerivative · entry 1

Carter Lynn Ann · CIK 0001397863 · President, Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 176,827

F1 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 27, 2010. This is authorized in the applicable restricted stock award agreement.

Read SEC document
January 27, 2011 Filed Jan 31, 2011 21:42 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Tax withholdingCommon Stock 2,435 $48.40 $117,854.00
Disclosure

SEC source: 0001225208-11-004251 · doc4.xml · nonDerivative · entry 1

LaPrade,III Frank G. · CIK 0001497948 · Chief Enterprise Srvcs Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,039

F1 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 27, 2010. This is authorized in the applicable restricted stock award agreement.

Read SEC document
January 27, 2011 Filed Jan 31, 2011 21:42 UTC
PERLIN GARY LChief Financial Officer
Tax withholdingCommon Stock 5,262 $48.40 $254,680.80
Disclosure

SEC source: 0001225208-11-004252 · doc4.xml · nonDerivative · entry 1

PERLIN GARY L · CIK 0001252395 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 279,475

F1 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 27, 2010. This is authorized in the applicable restricted stock award agreement.

Read SEC document
January 27, 2011 Filed Jan 31, 2011 21:42 UTC
SCHNALL PETER AChief Risk Officer
Tax withholdingCommon Stock 4,646 $48.40 $224,866.40
Disclosure

SEC source: 0001225208-11-004253 · doc4.xml · nonDerivative · entry 1

SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 223,755

F1 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 27, 2010. This is authorized in the applicable restricted stock award agreement.

Read SEC document
January 27, 2011 Filed Jan 31, 2011 21:42 UTC
Schneider Ryan M.President, Card
Tax withholdingCommon Stock 5,019 $48.40 $242,919.60
Disclosure

SEC source: 0001225208-11-004254 · doc4.xml · nonDerivative · entry 1

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 143,990

F1 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 27, 2010. This is authorized in the applicable restricted stock award agreement.

Read SEC document
January 27, 2011 Filed Jan 31, 2011 21:42 UTC
Sanjiv YajnikPresident, Financial Services
Tax withholdingCommon Stock 2,324 $48.40 $112,481.60
Disclosure

SEC source: 0001225208-11-004255 · doc4.xml · nonDerivative · entry 1

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,480

F1 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 27, 2010. This is authorized in the applicable restricted stock award agreement.

Read SEC document
January 26, 2011 Filed Jan 28, 2011 22:10 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
GrantStock Options · Derivative 608,366 $0.00 Strike: $48.28 $0.00
Disclosure

SEC source: 0001225208-11-004151 · doc4.xml · derivative · entry 3

FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 608,366

Underlying: Common Stock · 608,366 shares

Expires 2021-01-25

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January 26, 2011 Filed Jan 28, 2011 22:10 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
GrantRestricted Stock Units · Derivative 134,632 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004151 · doc4.xml · derivative · entry 2

FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 134,632

Underlying: Common Stock · 134,632 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit will be settled in cash based on the Company's average fair market value of the underlying shares of common stock over the twenty trading days preceding the vesting date.

F3 · derivative.exercise_date: These restricted stock units will vest in full on the third anniversary of the date of grant.

F3 · derivative.expiration_date: These restricted stock units will vest in full on the third anniversary of the date of grant.

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January 26, 2011 Filed Jan 28, 2011 22:10 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
GrantPerformance Share Units · Derivative 165,702 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004151 · doc4.xml · derivative · entry 1

FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 165,702

Underlying: Common Stock · 165,702 shares

Expires not disclosed

F1 · derivative.exercise_price: These performance shares are settled at the end of a three-year performance period (January 1, 2011 to December 31, 2013) based on the Company's relative and absolute cash return on average tangible assets against a peer group of companies. The number of shares reported represents 200% of the target award amount. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

F1 · derivative.exercise_date: These performance shares are settled at the end of a three-year performance period (January 1, 2011 to December 31, 2013) based on the Company's relative and absolute cash return on average tangible assets against a peer group of companies. The number of shares reported represents 200% of the target award amount. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

F1 · derivative.expiration_date: These performance shares are settled at the end of a three-year performance period (January 1, 2011 to December 31, 2013) based on the Company's relative and absolute cash return on average tangible assets against a peer group of companies. The number of shares reported represents 200% of the target award amount. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

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January 26, 2011 Filed Jan 28, 2011 22:14 UTC
Sanjiv YajnikPresident, Financial Services
GrantStock Options · Derivative 55,805 $0.00 Strike: $48.28 $0.00
Disclosure

SEC source: 0001225208-11-004160 · doc4.xml · derivative · entry 5

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,805

Underlying: Common Stock · 55,805 shares

Expires 2021-01-25

F5 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on January 26, 2012 and annually thereafter.

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January 26, 2011 Filed Jan 28, 2011 22:14 UTC
Sanjiv YajnikPresident, Financial Services
GrantRestricted Stock Units · Derivative 12,645 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004160 · doc4.xml · derivative · entry 4

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,645

Underlying: Common Stock · 12,645 shares

Expires 2011-12-15

F3 · derivative.exercise_price: Each restricted stock unit will be settled in cash based on the Company's average fair market value of the underlying shares of common stock over the twenty trading days preceding the vesting date.

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January 26, 2011 Filed Jan 28, 2011 22:14 UTC
Sanjiv YajnikPresident, Financial Services
GrantRestricted Stock Units · Derivative 20,118 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004160 · doc4.xml · derivative · entry 3

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,118

Underlying: Common Stock · 20,118 shares

Expires not disclosed

F3 · derivative.exercise_price: Each restricted stock unit will be settled in cash based on the Company's average fair market value of the underlying shares of common stock over the twenty trading days preceding the vesting date.

F4 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on January 26, 2012 and annually thereafter.

F4 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on January 26, 2012 and annually thereafter.

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January 26, 2011 Filed Jan 28, 2011 22:14 UTC
Sanjiv YajnikPresident, Financial Services
GrantPerformance Share Units · Derivative 12,876 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004160 · doc4.xml · derivative · entry 2

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,876

Underlying: Common Stock · 12,876 shares

Expires not disclosed

F2 · derivative.exercise_price: These performance shares are settled at the end of a three-year performance period (January 1, 2011 to December 31, 2013) based on the Company's relative and absolute cash return on average tangible assets against a peer group of companies. The number of shares reported represents 200% of the target award amount. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable atsettlement.

F2 · derivative.exercise_date: These performance shares are settled at the end of a three-year performance period (January 1, 2011 to December 31, 2013) based on the Company's relative and absolute cash return on average tangible assets against a peer group of companies. The number of shares reported represents 200% of the target award amount. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable atsettlement.

F2 · derivative.expiration_date: These performance shares are settled at the end of a three-year performance period (January 1, 2011 to December 31, 2013) based on the Company's relative and absolute cash return on average tangible assets against a peer group of companies. The number of shares reported represents 200% of the target award amount. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable atsettlement.

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January 26, 2011 Filed Jan 28, 2011 22:14 UTC
Sanjiv YajnikPresident, Financial Services
GrantCommon Stock 20,118 $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004160 · doc4.xml · nonDerivative · entry 1

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,804

F1 · security: This restricted stock will vest in 1/3 increments beginning on January 26, 2012 and annually thereafter.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.