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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
Alexander Robert M.Chief Information Officer
Tax withholdingCommon Stock 17,119 $48.28 $826,505.32
Disclosure

SEC source: 0001225208-11-004167 · doc4.xml · nonDerivative · entry 4

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 159,795

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 January 31, 2008 grant. This is authorized in the performance share award agreement.

F5 · balance_after: The amount held was corrected to report the total beneficial holding of the reporting person.

Read SEC document
January 26, 2011 Filed Jan 28, 2011 22:14 UTC
Alexander Robert M.Chief Information Officer
GrantCommon Stock 17,545 $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004167 · doc4.xml · nonDerivative · entry 3

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 176,914

F3 · security: The performance shares for the January 31, 2008 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
Alexander Robert M.Chief Information Officer
GrantCommon Stock 18,163 $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004167 · doc4.xml · nonDerivative · entry 2

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 159,369

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
Alexander Robert M.Chief Information Officer
Exercise / conversionCommon Stock 27,760 $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004167 · doc4.xml · nonDerivative · entry 1

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 141,206

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 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
January 26, 2011 Filed Jan 28, 2011 22:14 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
GrantStock Options · Derivative 34,126 $0.00 Strike: $48.28 $0.00
Disclosure

SEC source: 0001225208-11-004168 · doc4.xml · derivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,126

Underlying: Common Stock · 34,126 shares

Expires 2021-01-25

F6 · 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
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
GrantRestricted Stock Units · Derivative 10,595 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004168 · doc4.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,595

Underlying: Common Stock · 10,595 shares

Expires 2011-12-15

F4 · 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
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
GrantRestricted Stock Units · Derivative 13,792 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004168 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,792

Underlying: Common Stock · 13,792 shares

Expires not disclosed

F4 · 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.

F5 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on January 26, 2012 and annually thereafter.

F5 · 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
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
GrantPerformance Share Units · Derivative 4,308 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004168 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,308

Underlying: Common Stock · 4,308 shares

Expires not disclosed

F3 · 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.

F3 · 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.

F3 · 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
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
GrantCommon Stock 18,098 $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004168 · 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: 89,474

F1 · 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
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
GrantStock Options · Derivative 56,624 $0.00 Strike: $48.28 $0.00
Disclosure

SEC source: 0001225208-11-004169 · doc4.xml · derivative · entry 10

FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,624

Underlying: Common Stock · 56,624 shares

Expires 2021-01-25

F10 · 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
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
GrantRestricted Stock Units · Derivative 18,155 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004169 · doc4.xml · derivative · entry 9

FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,155

Underlying: Common Stock · 18,155 shares

Expires 2011-12-15

F8 · 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
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
GrantRestricted Stock Units · Derivative 23,815 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004169 · doc4.xml · derivative · entry 8

FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,815

Underlying: Common Stock · 23,815 shares

Expires not disclosed

F8 · 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.

F9 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on January 26, 2012 and annually thereafter.

F9 · 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
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
GrantPerformance Share Units · Derivative 14,516 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004169 · doc4.xml · derivative · entry 7

FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,516

Underlying: Common Stock · 14,516 shares

Expires not disclosed

F7 · 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.

F7 · 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.

F7 · 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
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
Exercise / conversion2007 Performance Share Units · Derivative 42,560 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004169 · doc4.xml · derivative · entry 6

FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 42,560 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.

F6 · 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.

F6 · 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.

F6 · 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
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
Tax withholdingCommon Stock 31,882 $48.28 $1,539,262.96
Disclosure

SEC source: 0001225208-11-004169 · doc4.xml · nonDerivative · entry 5

FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 228,151

F5 · 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
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
Tax withholdingCommon Stock 10,411 $48.28 $502,643.08
Disclosure

SEC source: 0001225208-11-004169 · doc4.xml · nonDerivative · entry 4

FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 260,033

F4 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation on the above restricted stock grant, as a result of the reporting person's eligibility for retirement. This is authorized in the applicable grant agreement.

Read SEC document
January 26, 2011 Filed Jan 28, 2011 22:14 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
GrantCommon Stock 22,681 $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004169 · doc4.xml · nonDerivative · entry 3

FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 270,444

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
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
GrantCommon Stock 26,899 $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004169 · doc4.xml · nonDerivative · entry 2

FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 247,763

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
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
Exercise / conversionCommon Stock 42,560 $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004169 · doc4.xml · nonDerivative · entry 1

FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 220,864

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 25, 2011 Filed Feb 1, 2011 21:36 UTC GiftCommon Stock 4,150 $0.00 $0.00
Disclosure

SEC source: 0001225208-11-004436 · doc4.xml · nonDerivative · entry 1

CAMPBELL E R BO · CIK 0001226698 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 283,313

Read SEC document
January 14, 2011 Filed Jan 18, 2011 22:19 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
Exercise / conversionStock Options · Derivative 72,105 $0.00 Strike: $18.28 $0.00
Disclosure

SEC source: 0001225208-11-003212 · doc4.xml · derivative · entry 4

FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 144,214

Underlying: Common Stock · 72,105 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 May 14, 2010, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2 · derivative.exercise_date: This option vests in 33 1/3 increments beginning on January 29, 2010 and annually thereafter.

Read SEC document
January 14, 2011 Filed Jan 18, 2011 22:19 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
SaleCommon Stock 36,053 $47.75 $1,721,530.75
Disclosure

SEC source: 0001225208-11-003212 · doc4.xml · nonDerivative · entry 3

FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 178,304

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 14, 2010, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
January 14, 2011 Filed Jan 18, 2011 22:19 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
SaleCommon Stock 36,052 $48.50 $1,748,522.00
Disclosure

SEC source: 0001225208-11-003212 · doc4.xml · nonDerivative · entry 2

FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 214,357

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 14, 2010, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
January 14, 2011 Filed Jan 18, 2011 22:19 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
Exercise / conversionCommon Stock 72,105 $18.28 $1,318,079.40
Disclosure

SEC source: 0001225208-11-003212 · doc4.xml · nonDerivative · entry 1

FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,409

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 May 14, 2010, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
December 31, 2010 Filed Jan 5, 2011 00:21 UTC
PERLIN GARY LChief Financial Officer
Exercise / conversionRestricted Stock Units · Derivative 34,693 Not disclosed Strike: $0.00 Not disclosed
Disclosure

SEC source: 0001225208-11-000796 · doc4.xml · derivative · entry 3

PERLIN GARY L · CIK 0001252395 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 34,693 shares

Expires 2010-12-31

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 · derivative.exercise_price: Each restricted stock unit is settled in cash at $41.23 representing the Company's average stock price over the twenty trading days preceding the vesting date.

F1 · price: Each restricted stock unit is settled in cash at $41.23 representing the Company's average stock price over the twenty trading days preceding the vesting date.

Read SEC document
December 31, 2010 Filed Jan 5, 2011 00:21 UTC
PERLIN GARY LChief Financial Officer
Disposition to issuerCommon Stock 34,693 $41.23 $1,430,392.39
Disclosure

SEC source: 0001225208-11-000796 · doc4.xml · nonDerivative · entry 2

PERLIN GARY L · CIK 0001252395 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 196,988

Read SEC document
December 31, 2010 Filed Jan 5, 2011 00:21 UTC
PERLIN GARY LChief Financial Officer
Exercise / conversionCommon Stock 34,693 $0.00 $0.00
Disclosure

SEC source: 0001225208-11-000796 · doc4.xml · nonDerivative · entry 1

PERLIN GARY L · CIK 0001252395 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 231,681

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 · price: Each restricted stock unit is settled in cash at $41.23 representing the Company's average stock price over the twenty trading days preceding the vesting date.

Read SEC document
December 31, 2010 Filed Jan 5, 2011 00:27 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionRestricted Stock Units · Derivative 8,003 Not disclosed Strike: $0.00 Not disclosed
Disclosure

SEC source: 0001225208-11-000801 · doc4.xml · derivative · entry 6

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,003 shares

Expires 2010-12-31

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 · derivative.exercise_price: Each restricted stock unit is settled in cash at $41.23 representing the Company's average stock price over the twenty trading days preceding the vesting date.

F1 · price: Each restricted stock unit is settled in cash at $41.23 representing the Company's average stock price over the twenty trading days preceding the vesting date.

Read SEC document
December 31, 2010 Filed Jan 5, 2011 00:27 UTC
Alexander Robert M.Chief Information Officer
Disposition to issuerCommon Stock 8,003 $41.23 $329,963.69
Disclosure

SEC source: 0001225208-11-000801 · doc4.xml · nonDerivative · entry 2

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,110

F2 · balance_after: Includes 9 shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction.

Read SEC document
December 31, 2010 Filed Jan 5, 2011 00:27 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionCommon Stock 8,003 $0.00 $0.00
Disclosure

SEC source: 0001225208-11-000801 · doc4.xml · nonDerivative · entry 1

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,113

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 · price: Each restricted stock unit is settled in cash at $41.23 representing the Company's average stock price over the twenty trading days preceding the vesting date.

Read SEC document
December 31, 2010 Filed Jan 5, 2011 00:29 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
Exercise / conversionRestricted Stock Units · Derivative 14,583 Not disclosed Strike: $0.00 Not disclosed
Disclosure

SEC source: 0001225208-11-000802 · doc4.xml · derivative · entry 3

FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 14,583 shares

Expires 2010-12-31

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 · derivative.exercise_price: Each restricted stock unit is settled in cash at $41.23 representing the Company's average stock price over the twenty trading days preceding the vesting date.

F1 · price: Each restricted stock unit is settled in cash at $41.23 representing the Company's average stock price over the twenty trading days preceding the vesting date.

Read SEC document
December 31, 2010 Filed Jan 5, 2011 00:29 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
Disposition to issuerCommon Stock 14,583 $41.23 $601,257.09
Disclosure

SEC source: 0001225208-11-000802 · doc4.xml · nonDerivative · entry 2

FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 178,304

Read SEC document
December 31, 2010 Filed Jan 5, 2011 00:29 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
Exercise / conversionCommon Stock 14,583 $0.00 $0.00
Disclosure

SEC source: 0001225208-11-000802 · doc4.xml · nonDerivative · entry 1

FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 192,887

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 · price: Each restricted stock unit is settled in cash at $41.23 representing the Company's average stock price over the twenty trading days preceding the vesting date.

Read SEC document
December 31, 2010 Filed Jan 5, 2011 00:30 UTC
Schneider Ryan M.President, Card
Exercise / conversionRestricted Stock Units · Derivative 14,775 Not disclosed Strike: $0.00 Not disclosed
Disclosure

SEC source: 0001225208-11-000803 · doc4.xml · derivative · entry 3

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 14,775 shares

Expires 2010-12-31

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 · derivative.exercise_price: Each restricted stock unit is settled in cash at $41.23 representing the Company's average stock price over the twenty trading days preceding the vesting date.

F1 · price: Each restricted stock unit is settled in cash at $41.23 representing the Company's average stock price over the twenty trading days preceding the vesting date.

Read SEC document
December 31, 2010 Filed Jan 5, 2011 00:30 UTC
Schneider Ryan M.President, Card
Disposition to issuerCommon Stock 14,775 $41.23 $609,173.25
Disclosure

SEC source: 0001225208-11-000803 · doc4.xml · nonDerivative · entry 2

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,085

F2 · balance_after: Includes 339 shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction.

Read SEC document
December 31, 2010 Filed Jan 5, 2011 00:30 UTC
Schneider Ryan M.President, Card
Exercise / conversionCommon Stock 14,775 $0.00 $0.00
Disclosure

SEC source: 0001225208-11-000803 · doc4.xml · nonDerivative · entry 1

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,860

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 · price: Each restricted stock unit is settled in cash at $41.23 representing the Company's average stock price over the twenty trading days preceding the vesting date.

Read SEC document
December 31, 2010 Filed Jan 5, 2011 00:32 UTC
Pike Lynn AnnPresident, Banking
Exercise / conversionRestricted Stock Units · Derivative 20,520 Not disclosed Strike: $0.00 Not disclosed
Disclosure

SEC source: 0001225208-11-000805 · doc4.xml · derivative · entry 3

Carter Lynn Ann · CIK 0001397863 · President, Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,520 shares

Expires 2010-12-31

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 · derivative.exercise_price: Each restricted stock unit is settled in cash at $41.23 representing the Company's average stock price over the twenty trading days preceding the vesting date.

F1 · price: Each restricted stock unit is settled in cash at $41.23 representing the Company's average stock price over the twenty trading days preceding the vesting date.

Read SEC document
December 31, 2010 Filed Jan 5, 2011 00:32 UTC
Pike Lynn AnnPresident, Banking
Disposition to issuerCommon Stock 20,520 $41.23 $846,039.60
Disclosure

SEC source: 0001225208-11-000805 · doc4.xml · nonDerivative · entry 2

Carter Lynn Ann · CIK 0001397863 · President, Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 124,009

Read SEC document
December 31, 2010 Filed Jan 5, 2011 00:32 UTC
Pike Lynn AnnPresident, Banking
Exercise / conversionCommon Stock 20,520 $0.00 $0.00
Disclosure

SEC source: 0001225208-11-000805 · doc4.xml · nonDerivative · entry 1

Carter Lynn Ann · CIK 0001397863 · President, Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 144,529

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 · price: Each restricted stock unit is settled in cash at $41.23 representing the Company's average stock price over the twenty trading days preceding the vesting date.

Read SEC document
December 31, 2010 Filed Jan 5, 2011 00:32 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversionRestricted Stock Units · Derivative 10,944 Not disclosed Strike: $0.00 Not disclosed
Disclosure

SEC source: 0001225208-11-000806 · doc4.xml · derivative · entry 3

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,944 shares

Expires 2010-12-31

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 · derivative.exercise_price: Each restricted stock unit is settled in cash at $41.23 representing the Company's average stock price over the twenty trading days preceding the vesting date.

F1 · price: Each restricted stock unit is settled in cash at $41.23 representing the Company's average stock price over the twenty trading days preceding the vesting date.

Read SEC document
December 31, 2010 Filed Jan 5, 2011 00:32 UTC
Berson Jory AChief Human Resources Officer
Disposition to issuerCommon Stock 10,944 $41.23 $451,221.12
Disclosure

SEC source: 0001225208-11-000806 · doc4.xml · nonDerivative · entry 2

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,402

Read SEC document
December 31, 2010 Filed Jan 5, 2011 00:32 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversionCommon Stock 10,944 $0.00 $0.00
Disclosure

SEC source: 0001225208-11-000806 · doc4.xml · nonDerivative · entry 1

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 122,346

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 · price: Each restricted stock unit is settled in cash at $41.23 representing the Company's average stock price over the twenty trading days preceding the vesting date.

Read SEC document
December 31, 2010 Filed Jan 5, 2011 00:33 UTC
Sanjiv YajnikPresident, Financial Services
Exercise / conversionRestricted Stock Units · Derivative 10,580 Not disclosed Strike: $0.00 Not disclosed
Disclosure

SEC source: 0001225208-11-000809 · doc4.xml · derivative · entry 3

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,580 shares

Expires 2010-12-31

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 · derivative.exercise_price: Each restricted stock unit is settled in cash at $41.23 representing the Company's average stock price over the twenty trading days preceding the vesting date.

F1 · price: Each restricted stock unit is settled in cash at $41.23 representing the Company's average stock price over the twenty trading days preceding the vesting date.

Read SEC document
December 31, 2010 Filed Jan 5, 2011 00:33 UTC
Sanjiv YajnikPresident, Financial Services
Disposition to issuerCommon Stock 10,580 $41.23 $436,213.40
Disclosure

SEC source: 0001225208-11-000809 · doc4.xml · nonDerivative · entry 2

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,686

F2 · balance_after: Includes 7 shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction.

Read SEC document
December 31, 2010 Filed Jan 5, 2011 00:33 UTC
Sanjiv YajnikPresident, Financial Services
Exercise / conversionCommon Stock 10,580 $0.00 $0.00
Disclosure

SEC source: 0001225208-11-000809 · doc4.xml · nonDerivative · entry 1

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,266

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 · price: Each restricted stock unit is settled in cash at $41.23 representing the Company's average stock price over the twenty trading days preceding the vesting date.

Read SEC document
December 31, 2010 Filed Jan 5, 2011 00:36 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Exercise / conversionRestricted Stock Units · Derivative 6,150 $0.00 $0.00
Disclosure

SEC source: 0001225208-11-000810 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,150 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.

F1 · derivative.exercise_price: Each restricted stock unit is settled in cash at $41.23 representing the Company's average stock price over the twenty trading days preceding the vesting date.

F1 · price: Each restricted stock unit is settled in cash at $41.23 representing the Company's average stock price over the twenty trading days preceding the vesting date.

F3 · derivative.exercise_date: The restricted stock units vested in full on December 31, 2010.

F4 · derivative.expiration_date: On the vesting date, the restricted stock units became payable in cash.

Read SEC document
December 31, 2010 Filed Jan 5, 2011 00:36 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Disposition to issuerCommon Stock 6,150 $41.23 $253,564.50
Disclosure

SEC source: 0001225208-11-000810 · 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: 71,376

Read SEC document
December 31, 2010 Filed Jan 5, 2011 00:36 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Exercise / conversionCommon Stock 6,150 $0.00 $0.00
Disclosure

SEC source: 0001225208-11-000810 · 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: 77,526

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 · price: Each restricted stock unit is settled in cash at $41.23 representing the Company's average stock price over the twenty trading days preceding the vesting date.

Read SEC document
December 31, 2010 Filed Jan 5, 2011 00:37 UTC
SCHNALL PETER AChief Risk Officer
Exercise / conversionRestricted Stock Units · Derivative 15,541 Not disclosed Strike: $0.00 Not disclosed
Disclosure

SEC source: 0001225208-11-000811 · doc4.xml · derivative · entry 3

SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,541 shares

Expires 2010-12-31

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 · derivative.exercise_price: Each restricted stock unit is settled in cash at $41.23 representing the Company's average stock price over the twenty trading days preceding the vesting date.

F1 · price: Each restricted stock unit is settled in cash at $41.23 representing the Company's average stock price over the twenty trading days preceding the vesting date.

Read SEC document
December 31, 2010 Filed Jan 5, 2011 00:37 UTC
SCHNALL PETER AChief Risk Officer
Disposition to issuerCommon Stock 15,541 $41.23 $640,755.43
Disclosure

SEC source: 0001225208-11-000811 · doc4.xml · nonDerivative · entry 2

SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 170,026

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.