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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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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
January 26, 2011 Filed Jan 28, 2011 22:14 UTC
Schneider Ryan M.President, Card
GrantStock Options · Derivative 72,683 $0.00 Strike: $48.28 $0.00
Disclosure

SEC source: 0001225208-11-004161 · doc4.xml · derivative · entry 9

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,683

Underlying: Common Stock · 72,683 shares

Expires 2021-01-25

F9 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on January 26, 2012 and annually thereafter.

Read SEC document
January 26, 2011 Filed Jan 28, 2011 22:14 UTC
Schneider Ryan M.President, Card
GrantRestricted Stock Units · Derivative 17,730 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004161 · doc4.xml · derivative · entry 8

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,730

Underlying: Common Stock · 17,730 shares

Expires 2011-12-15

F7 · 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.

Read SEC document
January 26, 2011 Filed Jan 28, 2011 22:14 UTC
Schneider Ryan M.President, Card
GrantRestricted Stock Units · Derivative 23,923 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004161 · doc4.xml · derivative · entry 7

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,923

Underlying: Common Stock · 23,923 shares

Expires not disclosed

F7 · 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.

F8 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on January 26, 2012 and annually thereafter.

F8 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on January 26, 2012 and annually thereafter.

Read SEC document
January 26, 2011 Filed Jan 28, 2011 22:14 UTC
Schneider Ryan M.President, Card
GrantPerformance Share Units · Derivative 16,770 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004161 · doc4.xml · derivative · entry 6

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,770

Underlying: Common Stock · 16,770 shares

Expires not disclosed

F6 · 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.

F6 · 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.

F6 · 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.

Read SEC document
January 26, 2011 Filed Jan 28, 2011 22:14 UTC
Schneider Ryan M.President, Card
Exercise / conversion2007 Performance Share Units · Derivative 27,760 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004161 · doc4.xml · derivative · entry 5

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 27,760 shares

Expires not disclosed

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.

F5 · derivative.exercise_price: These performance share units for the December 10, 2007 grant were settled at the end of a three-year performance period based on the Company's total shareholder return as compared to the total shareholder return of a peer group of companies.

F5 · derivative.exercise_date: These performance share units for the December 10, 2007 grant were settled at the end of a three-year performance period based on the Company's total shareholder return as compared to the total shareholder return of a peer group of companies.

F5 · derivative.expiration_date: These performance share units for the December 10, 2007 grant were settled at the end of a three-year performance period based on the Company's total shareholder return as compared to the total shareholder return of a peer group of companies.

Read SEC document
January 26, 2011 Filed Jan 28, 2011 22:14 UTC
Schneider Ryan M.President, Card
Tax withholdingCommon Stock 18,583 $48.28 $897,187.24
Disclosure

SEC source: 0001225208-11-004161 · doc4.xml · nonDerivative · entry 4

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 149,009

F4 · kind: These shares are automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares for the December 10, 2007 grant. This is authorized in the performance share award agreement.

Read SEC document
January 26, 2011 Filed Jan 28, 2011 22:14 UTC
Schneider Ryan M.President, Card
GrantCommon Stock 17,545 $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004161 · doc4.xml · nonDerivative · entry 3

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 167,592

F3 · security: The performance shares for the December 10, 2007 grant were reported at 100% target. These shares represent the number of additional shares paid out based on actual performance plus the dividend shares accrued under the same grant.

Read SEC document
January 26, 2011 Filed Jan 28, 2011 22:14 UTC
Schneider Ryan M.President, Card
GrantCommon Stock 26,202 $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004161 · doc4.xml · nonDerivative · entry 2

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,047

F2 · security: This restricted stock will vest in 1/3 increments beginning on January 26, 2012 and annually thereafter.

Read SEC document
January 26, 2011 Filed Jan 28, 2011 22:14 UTC
Schneider Ryan M.President, Card
Exercise / conversionCommon Stock 27,760 $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004161 · doc4.xml · nonDerivative · entry 1

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,845

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: These performance shares for the December 10, 2007 grant were settled at the end of a three-year performance period based on the Company's total shareholder return as compared to the total shareholder return of a peer group of companies.

Read SEC document
January 26, 2011 Filed Jan 28, 2011 22:14 UTC
Pike Lynn AnnPresident, Banking
GrantStock Options · Derivative 71,821 $0.00 Strike: $48.28 $0.00
Disclosure

SEC source: 0001225208-11-004164 · doc4.xml · derivative · entry 9

Carter Lynn Ann · CIK 0001397863 · President, Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,821

Underlying: Common Stock · 71,821 shares

Expires 2021-01-25

F9 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on January 26, 2012 and annually thereafter.

Read SEC document
January 26, 2011 Filed Jan 28, 2011 22:14 UTC
Pike Lynn AnnPresident, Banking
GrantRestricted Stock Units · Derivative 19,160 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004164 · doc4.xml · derivative · entry 8

Carter Lynn Ann · CIK 0001397863 · President, Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,160

Underlying: Common Stock · 19,160 shares

Expires 2011-12-15

F7 · 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.

Read SEC document
January 26, 2011 Filed Jan 28, 2011 22:14 UTC
Pike Lynn AnnPresident, Banking
GrantRestricted Stock Units · Derivative 27,186 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004164 · doc4.xml · derivative · entry 7

Carter Lynn Ann · CIK 0001397863 · President, Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,186

Underlying: Common Stock · 27,186 shares

Expires not disclosed

F7 · 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.

F8 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on January 26, 2012 and annually thereafter.

F8 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on January 26, 2012 and annually thereafter.

Read SEC document
January 26, 2011 Filed Jan 28, 2011 22:14 UTC
Pike Lynn AnnPresident, Banking
GrantPerformance Share Units · Derivative 16,572 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004164 · doc4.xml · derivative · entry 6

Carter Lynn Ann · CIK 0001397863 · President, Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,572

Underlying: Common Stock · 16,572 shares

Expires not disclosed

F6 · 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.

F6 · 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.

F6 · 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.

Read SEC document
January 26, 2011 Filed Jan 28, 2011 22:14 UTC
Pike Lynn AnnPresident, Banking
Exercise / conversion2007 Performance Share Units · Derivative 37,010 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004164 · doc4.xml · derivative · entry 5

Carter Lynn Ann · CIK 0001397863 · President, Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 37,010 shares

Expires not disclosed

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.

F5 · derivative.exercise_price: These performance share units for the December 10, 2007 grant were settled at the end of a three-year performance period based on the Company's total shareholder return as compared to the total shareholder return of a peer group of companies.

F5 · derivative.exercise_date: These performance share units for the December 10, 2007 grant were settled at the end of a three-year performance period based on the Company's total shareholder return as compared to the total shareholder return of a peer group of companies.

F5 · derivative.expiration_date: These performance share units for the December 10, 2007 grant were settled at the end of a three-year performance period based on the Company's total shareholder return as compared to the total shareholder return of a peer group of companies.

Read SEC document
January 26, 2011 Filed Jan 28, 2011 22:14 UTC
Pike Lynn AnnPresident, Banking
Tax withholdingCommon Stock 28,321 $48.28 $1,367,337.88
Disclosure

SEC source: 0001225208-11-004164 · doc4.xml · nonDerivative · entry 4

Carter Lynn Ann · CIK 0001397863 · President, Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 181,980

F4 · kind: These shares are automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares for the December 10, 2007 grant. This is authorized in the performance share award agreement.

Read SEC document
January 26, 2011 Filed Jan 28, 2011 22:14 UTC
Pike Lynn AnnPresident, Banking
GrantCommon Stock 23,391 $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004164 · doc4.xml · nonDerivative · entry 3

Carter Lynn Ann · CIK 0001397863 · President, Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 210,301

F3 · security: The performance shares for the December 10, 2007 grant were reported at 100% target. These shares represent the number of additional shares paid out based on actual performance plus the dividend shares accrued under the same grant.

Read SEC document
January 26, 2011 Filed Jan 28, 2011 22:14 UTC
Pike Lynn AnnPresident, Banking
GrantCommon Stock 25,891 $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004164 · doc4.xml · nonDerivative · entry 2

Carter Lynn Ann · CIK 0001397863 · President, Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 186,910

F2 · security: This restricted stock will vest in 1/3 increments beginning on January 26, 2012 and annually thereafter.

Read SEC document
January 26, 2011 Filed Jan 28, 2011 22:14 UTC
Pike Lynn AnnPresident, Banking
Exercise / conversionCommon Stock 37,010 $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004164 · doc4.xml · nonDerivative · entry 1

Carter Lynn Ann · CIK 0001397863 · President, Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 161,019

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: These performance shares for the December 10, 2007 grant were settled at the end of a three-year performance period based on the Company's total shareholder return as compared to the total shareholder return of a peer group of companies.

Read SEC document
January 26, 2011 Filed Jan 28, 2011 22:14 UTC
SCHNALL PETER AChief Risk Officer
GrantStock Options · Derivative 64,352 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004162 · doc4.xml · derivative · entry 9

SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,352

Underlying: Common Stock · 64,352 shares

Expires 2021-01-25

F9 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on January 26, 2012 and annually thereafter.

Read SEC document
January 26, 2011 Filed Jan 28, 2011 22:14 UTC
SCHNALL PETER AChief Risk Officer
GrantRestricted Stock Units · Derivative 17,756 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004162 · doc4.xml · derivative · entry 8

SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,756

Underlying: Common Stock · 17,756 shares

Expires 2011-12-15

F7 · 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.

Read SEC document
January 26, 2011 Filed Jan 28, 2011 22:14 UTC
SCHNALL PETER AChief Risk Officer
GrantRestricted Stock Units · Derivative 24,358 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004162 · doc4.xml · derivative · entry 7

SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,358

Underlying: Common Stock · 24,358 shares

Expires not disclosed

F7 · 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.

F8 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on January 26, 2012 and annually thereafter.

F8 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on January 26, 2012 and annually thereafter.

Read SEC document
January 26, 2011 Filed Jan 28, 2011 22:14 UTC
SCHNALL PETER AChief Risk Officer
GrantPerformance Share Units · Derivative 14,848 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004162 · doc4.xml · derivative · entry 6

SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,848

Underlying: Common Stock · 14,848 shares

Expires not disclosed

F6 · 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.

F6 · 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.

F6 · 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.

Read SEC document
January 26, 2011 Filed Jan 28, 2011 22:14 UTC
SCHNALL PETER AChief Risk Officer
Exercise / conversion2007 Performance Share Units · Derivative 35,160 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004162 · doc4.xml · derivative · entry 5

SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 35,160 shares

Expires not disclosed

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.

F5 · derivative.exercise_price: These performance share units for the December 10, 2007 grant were settled at the end of a three-year performance period based on the Company's total shareholder return as compared to the total shareholder return of a peer group of companies.

F5 · derivative.exercise_date: These performance share units for the December 10, 2007 grant were settled at the end of a three-year performance period based on the Company's total shareholder return as compared to the total shareholder return of a peer group of companies.

F5 · derivative.expiration_date: These performance share units for the December 10, 2007 grant were settled at the end of a three-year performance period based on the Company's total shareholder return as compared to the total shareholder return of a peer group of companies.

Read SEC document
January 26, 2011 Filed Jan 28, 2011 22:14 UTC
SCHNALL PETER AChief Risk Officer
Tax withholdingCommon Stock 22,206 $48.28 $1,072,105.68
Disclosure

SEC source: 0001225208-11-004162 · doc4.xml · nonDerivative · entry 4

SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 228,401

F4 · kind: These shares are automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares for the December 10, 2007 grant. This is authorized in the performance share award agreement.

Read SEC document
January 26, 2011 Filed Jan 28, 2011 22:14 UTC
SCHNALL PETER AChief Risk Officer
GrantCommon Stock 22,222 $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004162 · doc4.xml · nonDerivative · entry 3

SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,607

F3 · security: The performance shares for the December 10, 2007 grant were reported at 100% target. These shares represent the number of additional shares paid out based on actual performance plus the dividend shares accrued under the same grant.

Read SEC document
January 26, 2011 Filed Jan 28, 2011 22:14 UTC
SCHNALL PETER AChief Risk Officer
GrantCommon Stock 23,199 $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004162 · doc4.xml · nonDerivative · entry 2

SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 228,385

F2 · security: This restricted stock will vest in 1/3 increments beginning on January 26, 2012 and annually thereafter.

Read SEC document
January 26, 2011 Filed Jan 28, 2011 22:14 UTC
SCHNALL PETER AChief Risk Officer
Exercise / conversionCommon Stock 35,160 $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004162 · doc4.xml · nonDerivative · entry 1

SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 205,186

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: These performance shares for the December 10, 2007 grant were settled at the end of a three-year performance period based on the Company's total shareholder return as compared to the total shareholder return of a peer group of companies.

Read SEC document
January 26, 2011 Filed Jan 28, 2011 22:14 UTC
PERLIN GARY LChief Financial Officer
GrantStock Options · Derivative 93,080 $0.00 Strike: $48.28 $0.00
Disclosure

SEC source: 0001225208-11-004165 · doc4.xml · derivative · entry 9

PERLIN GARY L · CIK 0001252395 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,080

Underlying: Common Stock · 93,080 shares

Expires 2021-01-25

F9 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on January 26, 2012 and annually thereafter.

Read SEC document
January 26, 2011 Filed Jan 28, 2011 22:14 UTC
PERLIN GARY LChief Financial Officer
GrantRestricted Stock Units · Derivative 33,063 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004165 · doc4.xml · derivative · entry 8

PERLIN GARY L · CIK 0001252395 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,063

Underlying: Common Stock · 33,063 shares

Expires 2011-12-15

F7 · 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.

Read SEC document
January 26, 2011 Filed Jan 28, 2011 22:14 UTC
PERLIN GARY LChief Financial Officer
GrantRestricted Stock Units · Derivative 35,232 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004165 · doc4.xml · derivative · entry 7

PERLIN GARY L · CIK 0001252395 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,232

Underlying: Common Stock · 35,232 shares

Expires not disclosed

F7 · 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.

F8 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on January 26, 2012 and annually thereafter.

F8 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on January 26, 2012 and annually thereafter.

Read SEC document
January 26, 2011 Filed Jan 28, 2011 22:14 UTC
PERLIN GARY LChief Financial Officer
GrantPerformance Share Units · Derivative 21,476 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004165 · doc4.xml · derivative · entry 6

PERLIN GARY L · CIK 0001252395 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,476

Underlying: Common Stock · 21,476 shares

Expires not disclosed

F6 · 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.

F6 · 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.

F6 · 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.

Read SEC document
January 26, 2011 Filed Jan 28, 2011 22:14 UTC
PERLIN GARY LChief Financial Officer
Exercise / conversion2007 Performance Share Units · Derivative 55,510 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004165 · doc4.xml · derivative · entry 5

PERLIN GARY L · CIK 0001252395 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 55,510 shares

Expires not disclosed

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.

F5 · derivative.exercise_price: These performance share units for the December 10, 2007 grant were settled at the end of a three-year performance period based on the Company's total shareholder return as compared to the total shareholder return of a peer group of companies.

F5 · derivative.exercise_date: These performance share units for the December 10, 2007 grant were settled at the end of a three-year performance period based on the Company's total shareholder return as compared to the total shareholder return of a peer group of companies.

F5 · derivative.expiration_date: These performance share units for the December 10, 2007 grant were settled at the end of a three-year performance period based on the Company's total shareholder return as compared to the total shareholder return of a peer group of companies.

Read SEC document
January 26, 2011 Filed Jan 28, 2011 22:14 UTC
PERLIN GARY LChief Financial Officer
Tax withholdingCommon Stock 36,399 $48.28 $1,757,343.72
Disclosure

SEC source: 0001225208-11-004165 · doc4.xml · nonDerivative · entry 4

PERLIN GARY L · CIK 0001252395 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 284,737

F4 · kind: These shares are automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares for the December 10, 2007 grant. This is authorized in the performance share award agreement.

Read SEC document
January 26, 2011 Filed Jan 28, 2011 22:14 UTC
PERLIN GARY LChief Financial Officer
GrantCommon Stock 33,555 $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004165 · doc4.xml · nonDerivative · entry 3

PERLIN GARY L · CIK 0001252395 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 321,136

F3 · security: This restricted stock will vest in 1/3 increments beginning on January 26, 2012 and annually thereafter.

Read SEC document
January 26, 2011 Filed Jan 28, 2011 22:14 UTC
PERLIN GARY LChief Financial Officer
GrantCommon Stock 35,083 $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004165 · doc4.xml · nonDerivative · entry 2

PERLIN GARY L · CIK 0001252395 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 287,581

F2 · security: The performance shares for the December 10, 2007 grant were reported at 100% target. These shares represent the number of additional shares paid out based on actual performance plus the dividend shares accrued under the same grant.

Read SEC document
January 26, 2011 Filed Jan 28, 2011 22:14 UTC
PERLIN GARY LChief Financial Officer
Exercise / conversionCommon Stock 55,510 $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004165 · doc4.xml · nonDerivative · entry 1

PERLIN GARY L · CIK 0001252395 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 252,498

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: These performance shares for the December 10, 2007 grant were settled at the end of a three-year performance period based on the Company's total shareholder return as compared to the total shareholder return of a peer group of companies.

Read SEC document
January 26, 2011 Filed Jan 28, 2011 22:14 UTC
Berson Jory AChief Human Resources Officer
GrantStock Options · Derivative 57,457 $0.00 Strike: $48.28 $0.00
Disclosure

SEC source: 0001225208-11-004166 · doc4.xml · derivative · entry 9

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,457

Underlying: Common Stock · 57,457 shares

Expires 2021-01-25

F9 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on January 26, 2012 and annually thereafter.

Read SEC document
January 26, 2011 Filed Jan 28, 2011 22:14 UTC
Berson Jory AChief Human Resources Officer
GrantRestricted Stock Units · Derivative 16,426 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004166 · doc4.xml · derivative · entry 8

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,426

Underlying: Common Stock · 16,426 shares

Expires 2011-12-15

F7 · 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.

Read SEC document
January 26, 2011 Filed Jan 28, 2011 22:14 UTC
Berson Jory AChief Human Resources Officer
GrantRestricted Stock Units · Derivative 21,749 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004166 · doc4.xml · derivative · entry 7

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,749

Underlying: Common Stock · 21,749 shares

Expires not disclosed

F7 · 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.

F8 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on January 26, 2012 and annually thereafter.

F8 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on January 26, 2012 and annually thereafter.

Read SEC document
January 26, 2011 Filed Jan 28, 2011 22:14 UTC
Berson Jory AChief Human Resources Officer
GrantPerformance Share Units · Derivative 13,258 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004166 · doc4.xml · derivative · entry 6

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,258

Underlying: Common Stock · 13,258 shares

Expires not disclosed

F6 · 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.

F6 · 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.

F6 · 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.

Read SEC document
January 26, 2011 Filed Jan 28, 2011 22:14 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversion2007 Performance Share Units · Derivative 37,010 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004166 · doc4.xml · derivative · entry 5

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 37,010 shares

Expires not disclosed

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.

F5 · derivative.exercise_price: These performance share units for the December 10, 2007 grant were settled at the end of a three-year performance period based on the Company's total shareholder return as compared to the total shareholder return of a peer group of companies.

F5 · derivative.exercise_date: These performance share units for the December 10, 2007 grant were settled at the end of a three-year performance period based on the Company's total shareholder return as compared to the total shareholder return of a peer group of companies.

F5 · derivative.expiration_date: These performance share units for the December 10, 2007 grant were settled at the end of a three-year performance period based on the Company's total shareholder return as compared to the total shareholder return of a peer group of companies.

Read SEC document
January 26, 2011 Filed Jan 28, 2011 22:14 UTC
Berson Jory AChief Human Resources Officer
Tax withholdingCommon Stock 23,483 $48.28 $1,133,759.24
Disclosure

SEC source: 0001225208-11-004166 · doc4.xml · nonDerivative · entry 4

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 169,033

F4 · kind: These shares are automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares for the December 10, 2007 grant. This is authorized in the performance share award agreement.

Read SEC document
January 26, 2011 Filed Jan 28, 2011 22:14 UTC
Berson Jory AChief Human Resources Officer
GrantCommon Stock 20,713 $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004166 · doc4.xml · nonDerivative · entry 3

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 192,516

F3 · security: This restricted stock will vest in 1/3 increments beginning on January 26, 2012 and annually thereafter.

Read SEC document
January 26, 2011 Filed Jan 28, 2011 22:14 UTC
Berson Jory AChief Human Resources Officer
GrantCommon Stock 23,391 $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004166 · doc4.xml · nonDerivative · entry 2

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 171,803

F2 · security: The performance shares for the December 10, 2007 grant were reported at 100% target. These shares represent the number of additional shares paid out based on actual performance plus the dividend shares accrued under the same grant.

Read SEC document
January 26, 2011 Filed Jan 28, 2011 22:14 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversionCommon Stock 37,010 $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004166 · doc4.xml · nonDerivative · entry 1

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 148,412

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: These performance shares for the December 10, 2007 grant were settled at the end of a three-year performance period based on the Company's total shareholder return as compared to the total shareholder return of a peer group of companies.

Read SEC document
January 26, 2011 Filed Jan 28, 2011 22:14 UTC
Alexander Robert M.Chief Information Officer
GrantStock Options · Derivative 50,383 $0.00 Strike: $48.28 $0.00
Disclosure

SEC source: 0001225208-11-004167 · doc4.xml · derivative · entry 12

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,383

Underlying: Common Stock · 50,383 shares

Expires 2021-01-25

F11 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on January 26, 2012 and annually thereafter.

Read SEC document
January 26, 2011 Filed Jan 28, 2011 22:14 UTC
Alexander Robert M.Chief Information Officer
GrantRestricted Stock Units · Derivative 12,651 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004167 · doc4.xml · derivative · entry 11

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,651

Underlying: Common Stock · 12,651 shares

Expires 2011-12-15

F9 · 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.

Read SEC document
January 26, 2011 Filed Jan 28, 2011 22:14 UTC
Alexander Robert M.Chief Information Officer
GrantRestricted Stock Units · Derivative 16,583 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004167 · doc4.xml · derivative · entry 10

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,583

Underlying: Common Stock · 16,583 shares

Expires not disclosed

F9 · 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.

F10 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on January 26, 2012 and annually thereafter.

F10 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on January 26, 2012 and annually thereafter.

Read SEC document
January 26, 2011 Filed Jan 28, 2011 22:14 UTC
Alexander Robert M.Chief Information Officer
GrantPerformance Share Units · Derivative 11,624 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004167 · doc4.xml · derivative · entry 9

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,624

Underlying: Common Stock · 11,624 shares

Expires not disclosed

F8 · 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.

F8 · 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.

F8 · 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.

Read SEC document
January 26, 2011 Filed Jan 28, 2011 22:14 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversion2008 Performance Share Units · Derivative 27,760 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004167 · doc4.xml · derivative · entry 8

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 27,760 shares

Expires not disclosed

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.

F7 · derivative.exercise_price: These performance share units for the January 31, 2008 grant were settled at the end of a three-year performance period based on the Company's total shareholder return as compared to the total shareholder return of a peer group of companies.

F7 · derivative.exercise_date: These performance share units for the January 31, 2008 grant were settled at the end of a three-year performance period based on the Company's total shareholder return as compared to the total shareholder return of a peer group of companies.

F7 · derivative.expiration_date: These performance share units for the January 31, 2008 grant were settled at the end of a three-year performance period based on the Company's total shareholder return as compared to the total shareholder return of a peer group of companies.

Read SEC document

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