Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| AvidXchange Holdings, Inc.AVDX · Entity 74232 | Director | October 15, 2021 | October 20, 2021 |
| CAPITAL ONE FINANCIAL CORPCOF · Entity 547 | Director · Vice Chairman | November 12, 2003 | November 14, 2003 |
| GreenSky, Inc.GSKY · Entity 109154 | Director | March 07, 2019 | March 11, 2019 |
| Remitly Global, Inc.RELY · Entity 3850 | Director | September 02, 2026 | September 04, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
AvidXchange Holdings, Inc.
Report date October 15, 2021 · Filed October 20, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy QED Fund III, L.P. | 352,024 |
Reported balance
After 2021-10-15 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2021-10-15 · Exercise / conversion · Acquired 352,024 · Balance 352,024 F1: In connection with the issuer's initial public offering of common stock, these warrants were automatically converted into shares of the issuer's common stock on a net exercise basis. |
| Common StockSEC Table I · non-derivative | IndirectBy QED Fund III, L.P. | 323,298 |
Reported balance
After 2021-10-15 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2021-10-15 · Tax withholding · Disposed 28,726 · Balance 323,298 F1: In connection with the issuer's initial public offering of common stock, these warrants were automatically converted into shares of the issuer's common stock on a net exercise basis. |
| Common StockSEC Table I · non-derivative | IndirectBy QED Fund III, L.P. | 1,214,090 |
Reported balance
After 2021-10-15 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 3 · 2021-10-15 · Conversion · Acquired 890,792 · Balance 1,214,090 F2: In connection with the issuer's initial public offering of common stock, all shares of Series E Preferred Stock were automatically converted into shares of the issuer's common stock on a 4-for-1 basis. The preferred stock was perpetual and therefore had no expiration date. |
| Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.04 · Expires 2025-12-11 | IndirectBy QED Fund II, L.P. | 0 |
Reported balance
After 2021-10-15 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2021-10-15 · Exercise / conversion · Disposed 352,024 · Balance 0 F3: The number of underlying shares of common stock and the exercise price reflect the 4-for-1 forward stock split which was effected on September 30, 2021. |
| Series E Preferred StockSEC Table II · derivative / convertible security | IndirectBy QED Fund II, L.P. | 0 |
Reported balance
After 2021-10-15 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2021-10-15 · Conversion · Disposed 222,698 · Balance 0 F2: In connection with the issuer's initial public offering of common stock, all shares of Series E Preferred Stock were automatically converted into shares of the issuer's common stock on a 4-for-1 basis. The preferred stock was perpetual and therefore had no expiration date. |
Filing footnotes · ownership attribution and instrument terms
F1: In connection with the issuer's initial public offering of common stock, these warrants were automatically converted into shares of the issuer's common stock on a net exercise basis.
F2: In connection with the issuer's initial public offering of common stock, all shares of Series E Preferred Stock were automatically converted into shares of the issuer's common stock on a 4-for-1 basis. The preferred stock was perpetual and therefore had no expiration date.
F3: The number of underlying shares of common stock and the exercise price reflect the 4-for-1 forward stock split which was effected on September 30, 2021.
CAPITAL ONE FINANCIAL CORP
Report date November 12, 2003 · Filed November 14, 2003
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,868 |
Last balance in matching sequence
After 2003-11-13 transaction · row 16
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
16 source rowsRow 1 · 2003-11-12 · Exercise / conversion · Acquired 25,000 · Balance 26,868 F1: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on August 6, 2003 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Row 2 · 2003-11-12 · Sale · Disposed 2,500 · Balance 24,368 F1: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on August 6, 2003 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Row 3 · 2003-11-12 · Sale · Disposed 7,500 · Balance 16,868 F1: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on August 6, 2003 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Row 4 · 2003-11-12 · Sale · Disposed 5,000 · Balance 11,868 F1: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on August 6, 2003 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Row 5 · 2003-11-12 · Sale · Disposed 1,000 · Balance 10,868 F1: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on August 6, 2003 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Row 6 · 2003-11-12 · Sale · Disposed 5,000 · Balance 5,868 F1: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on August 6, 2003 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Row 7 · 2003-11-12 · Sale · Disposed 3,000 · Balance 2,868 F1: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on August 6, 2003 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Row 8 · 2003-11-12 · Sale · Disposed 1,000 · Balance 1,868 F1: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on August 6, 2003 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Row 9 · 2003-11-13 · Exercise / conversion · Acquired 128,958 · Balance 130,826 F1: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on August 6, 2003 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Row 10 · 2003-11-13 · Sale · Disposed 32,500 · Balance 98,326 F1: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on August 6, 2003 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Row 11 · 2003-11-13 · Sale · Disposed 65,000 · Balance 33,326 F1: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on August 6, 2003 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Row 12 · 2003-11-13 · Sale · Disposed 5,000 · Balance 28,326 F1: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on August 6, 2003 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Row 13 · 2003-11-13 · Sale · Disposed 8,958 · Balance 19,368 F1: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on August 6, 2003 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Row 14 · 2003-11-13 · Sale · Disposed 10,000 · Balance 9,368 F1: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on August 6, 2003 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Row 15 · 2003-11-13 · Sale · Disposed 2,500 · Balance 6,868 F1: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on August 6, 2003 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Row 16 · 2003-11-13 · Sale · Disposed 5,000 · Balance 1,868 F1: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on August 6, 2003 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $16.25 · Expires 2007-12-18 | Direct | 128,958 |
Reported balance
After 2003-11-12 transaction · row 18
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 18 · 2003-11-12 · Exercise / conversion · Disposed 25,000 · Balance 128,958 F2: This option became exercisable upon stockholder approval on April 23, 1998, since the performance-based vesting criteria of the option was satisfied on April 16, 1998, the date on which the trading price of the Common Stock first exceeded $84.00 (pre-stock split) for at least ten trading days in any thirty calendar-day period on or before the third anniversary of the grant date of this option. |
| Employee Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $16.25 · Expires 2007-12-18 | Direct | 0 |
Reported balance
After 2003-11-13 transaction · row 19
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 19 · 2003-11-13 · Exercise / conversion · Disposed 128,958 · Balance 0 F2: This option became exercisable upon stockholder approval on April 23, 1998, since the performance-based vesting criteria of the option was satisfied on April 16, 1998, the date on which the trading price of the Common Stock first exceeded $84.00 (pre-stock split) for at least ten trading days in any thirty calendar-day period on or before the third anniversary of the grant date of this option. |
| Common StockSEC Table I · non-derivative | IndirectBy Fairbank Morris Inc. | 107,502 |
Reported balance
Holding disclosure · report date 2003-11-12 · row 17
Holding and transaction disclosures are not merged.
1 source rowRow 17 · Balance 107,502 |
Filing footnotes · ownership attribution and instrument terms
F1: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on August 6, 2003 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.
F2: This option became exercisable upon stockholder approval on April 23, 1998, since the performance-based vesting criteria of the option was satisfied on April 16, 1998, the date on which the trading price of the Common Stock first exceeded $84.00 (pre-stock split) for at least ten trading days in any thirty calendar-day period on or before the third anniversary of the grant date of this option.
GreenSky, Inc.
Report date March 07, 2019 · Filed March 11, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A common stockSEC Table I · non-derivative | Direct | 78,436 |
Reported balance
After 2019-03-07 transaction · row 1
1 source rowRow 1 · 2019-03-07 · Grant · Acquired 15,936 · Balance 78,436 F1: Grant of restricted stock, which will vest on March 7, 2020. |
| Class B common stockSEC Table I · non-derivative | IndirectBy QED Fund II, LP | 2,191,852 |
Reported balance
Holding disclosure · report date 2019-03-07 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 2,191,852 F2: The Class B common stock entitles holders to ten votes per share, votes as a single class with the Class A common stock, has no economic rights and is subject to forfeiture upon exchange of the Reporting Person's Holdco Units as described below. F3: QED Fund II, LP is managed by QED Partners II, LLC, of which Mr. Morris is the managing partner. |
| Holdco UnitsSEC Table II · derivative / convertible security | IndirectBy QED Fund II, LP | 2,191,852 |
Reported balance
Holding disclosure · report date 2019-03-07 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 2,191,852 F4: Pursuant to the Exchange Agreement, dated May 23, 2018, by and among the Issuer, GreenSky Holdings, LLC ("GS Holdings") and the members of GS Holdings, the Holdco Units may be exchanged by the Reporting Person (with automatic cancellation of an equal number of shares of Class B common stock) for shares of Class A common stock on a one-for-one basis, subject to customary adjustments for stock splits, stock dividends, reclassifications and other similar transactions, stock repurchases and other reinvestments of excess cash, or for cash (based on the market price of the shares of Class A common stock), at the Issuer's option. F3: QED Fund II, LP is managed by QED Partners II, LLC, of which Mr. Morris is the managing partner. |
Filing footnotes · ownership attribution and instrument terms
F1: Grant of restricted stock, which will vest on March 7, 2020.
F2: The Class B common stock entitles holders to ten votes per share, votes as a single class with the Class A common stock, has no economic rights and is subject to forfeiture upon exchange of the Reporting Person's Holdco Units as described below.
F3: QED Fund II, LP is managed by QED Partners II, LLC, of which Mr. Morris is the managing partner.
F4: Pursuant to the Exchange Agreement, dated May 23, 2018, by and among the Issuer, GreenSky Holdings, LLC ("GS Holdings") and the members of GS Holdings, the Holdco Units may be exchanged by the Reporting Person (with automatic cancellation of an equal number of shares of Class B common stock) for shares of Class A common stock on a one-for-one basis, subject to customary adjustments for stock splits, stock dividends, reclassifications and other similar transactions, stock repurchases and other reinvestments of excess cash, or for cash (based on the market price of the shares of Class A common stock), at the Issuer's option.
Remitly Global, Inc.
Report date September 02, 2026 · Filed September 04, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,804,756 |
Reported balance
After 2026-09-02 transaction · row 1
1 source rowRow 1 · 2026-09-02 · Sale · Disposed 6,300 · Balance 1,804,756 F1: Weighted average price. These shares were sold in multiple transactions at prices ranging from $27.00 to $27.14 inclusive. The reporting person undertakes to provide the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above. |
Filing footnotes · ownership attribution and instrument terms
F1: Weighted average price. These shares were sold in multiple transactions at prices ranging from $27.00 to $27.14 inclusive. The reporting person undertakes to provide the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.
Transaction history
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| September 27, 2021 Filed Sep 27, 2021 21:25 UTC | Remitly Global, Inc. RELY · Entity 3850 | ConversionSeries A Preferred Stock · Derivative | 1,348,840 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-057815 · doc4.xml · derivative · entry 5 MORRIS NIGEL W · CIK 0001238040 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By QED Fund II, L.P. Disclosed balance after: 0 Underlying: Common Stock · 1,348,840 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 share of the issuer's Series Seed, Series Seed Prime, Series A, Series B, Series C, Series D, Series E and Series F Preferred Stock automatically converted into one (1) share of the issuer's Common Stock on September 27, 2021 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering pursuant to a registration statement on Form S-1 (File No. 333-259167) under the Securities Act of 1933, as amended, and had no expiration date. F1 · derivative.exercise_date: Each share of the issuer's Series Seed, Series Seed Prime, Series A, Series B, Series C, Series D, Series E and Series F Preferred Stock automatically converted into one (1) share of the issuer's Common Stock on September 27, 2021 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering pursuant to a registration statement on Form S-1 (File No. 333-259167) under the Securities Act of 1933, as amended, and had no expiration date. F1 · derivative.expiration_date: Each share of the issuer's Series Seed, Series Seed Prime, Series A, Series B, Series C, Series D, Series E and Series F Preferred Stock automatically converted into one (1) share of the issuer's Common Stock on September 27, 2021 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering pursuant to a registration statement on Form S-1 (File No. 333-259167) under the Securities Act of 1933, as amended, and had no expiration date. F2 · ownership.nature: These securities are held of record by QED Fund II, L.P. ("QED LP"), which is managed by QED Partners II, LLC ("QED LLC"). Nigel Morris, a director of the issuer, is the managing partner of QED LLC and may be deemed to have sole voting and dispositive control over the shares held by QED LP. Mr. Morris disclaims beneficial ownership of the shares held by QED LP, except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| September 27, 2021 Filed Sep 27, 2021 21:25 UTC | Remitly Global, Inc. RELY · Entity 3850 | SaleCommon Stock | 1,715,000 | $43.00 | $73,745,000.00 |
DisclosureSEC source: 0001209191-21-057815 · doc4.xml · nonDerivative · entry 4 MORRIS NIGEL W · CIK 0001238040 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By QED Fund II, L.P. Disclosed balance after: 1,564,540 F2 · ownership.nature: These securities are held of record by QED Fund II, L.P. ("QED LP"), which is managed by QED Partners II, LLC ("QED LLC"). Nigel Morris, a director of the issuer, is the managing partner of QED LLC and may be deemed to have sole voting and dispositive control over the shares held by QED LP. Mr. Morris disclaims beneficial ownership of the shares held by QED LP, except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| September 27, 2021 Filed Sep 27, 2021 21:25 UTC | Remitly Global, Inc. RELY · Entity 3850 | ConversionCommon Stock | 733,912 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-057815 · doc4.xml · nonDerivative · entry 3 MORRIS NIGEL W · CIK 0001238040 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By QED Fund II, L.P. Disclosed balance after: 3,279,540 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 share of the issuer's Series Seed, Series Seed Prime, Series A, Series B, Series C, Series D, Series E and Series F Preferred Stock automatically converted into one (1) share of the issuer's Common Stock on September 27, 2021 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering pursuant to a registration statement on Form S-1 (File No. 333-259167) under the Securities Act of 1933, as amended, and had no expiration date. F2 · ownership.nature: These securities are held of record by QED Fund II, L.P. ("QED LP"), which is managed by QED Partners II, LLC ("QED LLC"). Nigel Morris, a director of the issuer, is the managing partner of QED LLC and may be deemed to have sole voting and dispositive control over the shares held by QED LP. Mr. Morris disclaims beneficial ownership of the shares held by QED LP, except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| September 27, 2021 Filed Sep 27, 2021 21:25 UTC | Remitly Global, Inc. RELY · Entity 3850 | ConversionCommon Stock | 851,788 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-057815 · doc4.xml · nonDerivative · entry 2 MORRIS NIGEL W · CIK 0001238040 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By QED Fund II, L.P. Disclosed balance after: 2,545,628 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 share of the issuer's Series Seed, Series Seed Prime, Series A, Series B, Series C, Series D, Series E and Series F Preferred Stock automatically converted into one (1) share of the issuer's Common Stock on September 27, 2021 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering pursuant to a registration statement on Form S-1 (File No. 333-259167) under the Securities Act of 1933, as amended, and had no expiration date. F2 · ownership.nature: These securities are held of record by QED Fund II, L.P. ("QED LP"), which is managed by QED Partners II, LLC ("QED LLC"). Nigel Morris, a director of the issuer, is the managing partner of QED LLC and may be deemed to have sole voting and dispositive control over the shares held by QED LP. Mr. Morris disclaims beneficial ownership of the shares held by QED LP, except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| September 27, 2021 Filed Sep 27, 2021 21:25 UTC | Remitly Global, Inc. RELY · Entity 3850 | ConversionCommon Stock | 1,348,840 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-21-057815 · doc4.xml · nonDerivative · entry 1 MORRIS NIGEL W · CIK 0001238040 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By QED Fund II, L.P. Disclosed balance after: 1,693,840 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 share of the issuer's Series Seed, Series Seed Prime, Series A, Series B, Series C, Series D, Series E and Series F Preferred Stock automatically converted into one (1) share of the issuer's Common Stock on September 27, 2021 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering pursuant to a registration statement on Form S-1 (File No. 333-259167) under the Securities Act of 1933, as amended, and had no expiration date. F2 · ownership.nature: These securities are held of record by QED Fund II, L.P. ("QED LP"), which is managed by QED Partners II, LLC ("QED LLC"). Nigel Morris, a director of the issuer, is the managing partner of QED LLC and may be deemed to have sole voting and dispositive control over the shares held by QED LP. Mr. Morris disclaims beneficial ownership of the shares held by QED LP, except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| August 12, 2021 Filed Sep 27, 2021 21:25 UTC | Remitly Global, Inc. RELY · Entity 3850 | GrantRestricted Stock Units (RSUs) · Derivative | 30,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-21-057815 · doc4.xml · derivative · entry 8 MORRIS NIGEL W · CIK 0001238040 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,000 Underlying: Common Stock · 30,000 shares Expires 2031-08-12 F3 · derivative.exercise_price: Each RSU represents a contingent right to receive one (1) share of the issuer's Common Stock upon settlement. F4 · derivative.exercise_date: The RSUs vest as to 1/16th of the total shares underlying the RSUs on November 25, 2021 and then 1/16th of the total shares vest on each February 25, May 25, August 25 and November 25 thereafter, with 100% of the total shares underlying the RSUs vested on August 25, 2025, subject to the reporting person's provision of service to the issuer on each vesting date. Read SEC document |
| March 07, 2019 Filed Mar 11, 2019 23:01 UTC | GreenSky, Inc. GSKY · Entity 109154 | GrantClass A common stock | 15,936 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-018594 · doc4.xml · nonDerivative · entry 1 MORRIS NIGEL W · CIK 0001238040 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,436 F1 · shares: Grant of restricted stock, which will vest on March 7, 2020. Read SEC document |
| January 25, 2019 Filed Jan 29, 2019 00:17 UTC | GreenSky, Inc. GSKY · Entity 109154 | Tax withholdingHoldco Units · Derivative | 124,477 | $1.08 | $134,559.64 |
DisclosureSEC source: 0001209191-19-005679 · doc4.xml · derivative · entry 6 MORRIS NIGEL W · CIK 0001238040 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By QED Fund II, LP Disclosed balance after: 2,191,852 Underlying: Class A common stock · 124,477 shares Expires not disclosed F5 · derivative.exercise_price: Pursuant to the Exchange Agreement, dated May 23, 2018, by and among the Issuer, GreenSky Holdings, LLC ("GS Holdings") and the members of GS Holdings, the Holdco Units may be exchanged by the Reporting Person (with automatic cancellation of an equal number of shares of Class B common stock) for shares of Class A common stock on a one-for-one basis, subject to customary adjustments for stock splits, stock dividends, reclassifications and other similar transactions, stock repurchases and other reinvestments of excess cash, or for cash (based on the market price of the shares of Class A common stock), at the Issuer's option. F1 · kind: On January 25, 2019, the Reporting Person exercised a warrant to purchase 1,304,640 Holdco Units and an equal number of shares of Class B common stock for $1.081 per share. The Reporting Person paid the exercise price on a cashless basis, resulting in the Issuer's withholding of 124,477 of the warrant shares to pay the exercise price and issuing to the Reporting Person the remaining 1,180,163 Holdco Units and an equal number of shares of Class B common stock. The Issuer also paid $10.62 to the Reporting Person in lieu of a fractional share. F5 · derivative.exercise_date: Pursuant to the Exchange Agreement, dated May 23, 2018, by and among the Issuer, GreenSky Holdings, LLC ("GS Holdings") and the members of GS Holdings, the Holdco Units may be exchanged by the Reporting Person (with automatic cancellation of an equal number of shares of Class B common stock) for shares of Class A common stock on a one-for-one basis, subject to customary adjustments for stock splits, stock dividends, reclassifications and other similar transactions, stock repurchases and other reinvestments of excess cash, or for cash (based on the market price of the shares of Class A common stock), at the Issuer's option. F5 · derivative.expiration_date: Pursuant to the Exchange Agreement, dated May 23, 2018, by and among the Issuer, GreenSky Holdings, LLC ("GS Holdings") and the members of GS Holdings, the Holdco Units may be exchanged by the Reporting Person (with automatic cancellation of an equal number of shares of Class B common stock) for shares of Class A common stock on a one-for-one basis, subject to customary adjustments for stock splits, stock dividends, reclassifications and other similar transactions, stock repurchases and other reinvestments of excess cash, or for cash (based on the market price of the shares of Class A common stock), at the Issuer's option. F3 · ownership.nature: QED Fund II, LP is managed by QED Partners II, LLC, of which Mr. Morris is the managing partner. Read SEC document |
| January 25, 2019 Filed Jan 29, 2019 00:17 UTC | GreenSky, Inc. GSKY · Entity 109154 | Exercise / conversionHoldco Units · Derivative | 1,304,640 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-005679 · doc4.xml · derivative · entry 5 MORRIS NIGEL W · CIK 0001238040 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By QED Fund II, LP Disclosed balance after: 2,316,329 Underlying: Class A common stock · 1,304,640 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: Pursuant to the Exchange Agreement, dated May 23, 2018, by and among the Issuer, GreenSky Holdings, LLC ("GS Holdings") and the members of GS Holdings, the Holdco Units may be exchanged by the Reporting Person (with automatic cancellation of an equal number of shares of Class B common stock) for shares of Class A common stock on a one-for-one basis, subject to customary adjustments for stock splits, stock dividends, reclassifications and other similar transactions, stock repurchases and other reinvestments of excess cash, or for cash (based on the market price of the shares of Class A common stock), at the Issuer's option. F1 · kind: On January 25, 2019, the Reporting Person exercised a warrant to purchase 1,304,640 Holdco Units and an equal number of shares of Class B common stock for $1.081 per share. The Reporting Person paid the exercise price on a cashless basis, resulting in the Issuer's withholding of 124,477 of the warrant shares to pay the exercise price and issuing to the Reporting Person the remaining 1,180,163 Holdco Units and an equal number of shares of Class B common stock. The Issuer also paid $10.62 to the Reporting Person in lieu of a fractional share. F5 · derivative.exercise_date: Pursuant to the Exchange Agreement, dated May 23, 2018, by and among the Issuer, GreenSky Holdings, LLC ("GS Holdings") and the members of GS Holdings, the Holdco Units may be exchanged by the Reporting Person (with automatic cancellation of an equal number of shares of Class B common stock) for shares of Class A common stock on a one-for-one basis, subject to customary adjustments for stock splits, stock dividends, reclassifications and other similar transactions, stock repurchases and other reinvestments of excess cash, or for cash (based on the market price of the shares of Class A common stock), at the Issuer's option. F5 · derivative.expiration_date: Pursuant to the Exchange Agreement, dated May 23, 2018, by and among the Issuer, GreenSky Holdings, LLC ("GS Holdings") and the members of GS Holdings, the Holdco Units may be exchanged by the Reporting Person (with automatic cancellation of an equal number of shares of Class B common stock) for shares of Class A common stock on a one-for-one basis, subject to customary adjustments for stock splits, stock dividends, reclassifications and other similar transactions, stock repurchases and other reinvestments of excess cash, or for cash (based on the market price of the shares of Class A common stock), at the Issuer's option. F3 · ownership.nature: QED Fund II, LP is managed by QED Partners II, LLC, of which Mr. Morris is the managing partner. Read SEC document |
| January 25, 2019 Filed Jan 29, 2019 00:17 UTC | GreenSky, Inc. GSKY · Entity 109154 | Exercise / conversionWarrant · Derivative | 1,304,640 | $0.00 Strike: $1.08 | $0.00 |
DisclosureSEC source: 0001209191-19-005679 · doc4.xml · derivative · entry 4 MORRIS NIGEL W · CIK 0001238040 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By QED Fund II, LP Disclosed balance after: 0 Underlying: Class B common stock/Holdco Units · 1,304,640 shares Expires 2023-12-31 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 · kind: On January 25, 2019, the Reporting Person exercised a warrant to purchase 1,304,640 Holdco Units and an equal number of shares of Class B common stock for $1.081 per share. The Reporting Person paid the exercise price on a cashless basis, resulting in the Issuer's withholding of 124,477 of the warrant shares to pay the exercise price and issuing to the Reporting Person the remaining 1,180,163 Holdco Units and an equal number of shares of Class B common stock. The Issuer also paid $10.62 to the Reporting Person in lieu of a fractional share. F4 · derivative.exercise_date: The warrant held by QED Fund II, LP was fully vested and exercisable for 1,304,640 Holdco Units and an equal number of shares of Class B common stock, with an exercise price of $1.081 per unit, and a cap of $11.418 per unit. F3 · ownership.nature: QED Fund II, LP is managed by QED Partners II, LLC, of which Mr. Morris is the managing partner. Read SEC document |
| January 25, 2019 Filed Jan 29, 2019 00:17 UTC | GreenSky, Inc. GSKY · Entity 109154 | Tax withholdingClass B common stock | 124,477 | $11.33 | $1,410,324.41 |
DisclosureSEC source: 0001209191-19-005679 · doc4.xml · nonDerivative · entry 2 MORRIS NIGEL W · CIK 0001238040 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By QED Fund II, LP Disclosed balance after: 2,191,852 F1 · kind: On January 25, 2019, the Reporting Person exercised a warrant to purchase 1,304,640 Holdco Units and an equal number of shares of Class B common stock for $1.081 per share. The Reporting Person paid the exercise price on a cashless basis, resulting in the Issuer's withholding of 124,477 of the warrant shares to pay the exercise price and issuing to the Reporting Person the remaining 1,180,163 Holdco Units and an equal number of shares of Class B common stock. The Issuer also paid $10.62 to the Reporting Person in lieu of a fractional share. F2 · balance_after: The Class B common stock entitles holders to ten votes per share, votes as a single class with the Class A common stock, has no economic rights and is subject to forfeiture upon exchange of the Reporting Person's Holdco Units as described below. F3 · ownership.nature: QED Fund II, LP is managed by QED Partners II, LLC, of which Mr. Morris is the managing partner. Read SEC document |
| January 25, 2019 Filed Jan 29, 2019 00:17 UTC | GreenSky, Inc. GSKY · Entity 109154 | Exercise / conversionClass B common stock | 1,304,640 | $1.08 | $1,410,315.84 |
DisclosureSEC source: 0001209191-19-005679 · doc4.xml · nonDerivative · entry 1 MORRIS NIGEL W · CIK 0001238040 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By QED Fund II, LP Disclosed balance after: 2,316,329 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 · kind: On January 25, 2019, the Reporting Person exercised a warrant to purchase 1,304,640 Holdco Units and an equal number of shares of Class B common stock for $1.081 per share. The Reporting Person paid the exercise price on a cashless basis, resulting in the Issuer's withholding of 124,477 of the warrant shares to pay the exercise price and issuing to the Reporting Person the remaining 1,180,163 Holdco Units and an equal number of shares of Class B common stock. The Issuer also paid $10.62 to the Reporting Person in lieu of a fractional share. F2 · balance_after: The Class B common stock entitles holders to ten votes per share, votes as a single class with the Class A common stock, has no economic rights and is subject to forfeiture upon exchange of the Reporting Person's Holdco Units as described below. F3 · ownership.nature: QED Fund II, LP is managed by QED Partners II, LLC, of which Mr. Morris is the managing partner. Read SEC document |
| August 10, 2018 Filed Aug 13, 2018 20:39 UTC | GreenSky, Inc. GSKY · Entity 109154 | PurchaseClass A common stock | 62,500 | $15.69 | $980,625.00 |
DisclosureSEC source: 0001209191-18-046439 · doc4.xml · nonDerivative · entry 1 MORRIS NIGEL W · CIK 0001238040 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,500 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.50 to $16.01, inclusive. The reporting person undertakes to provide to GreenSky, Inc., any security holder of GreenSky, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| May 29, 2018 Filed May 31, 2018 23:03 UTC | GreenSky, Inc. GSKY · Entity 109154 | SaleHoldco Units · Derivative | 340,318.02 | $21.85 | $7,435,948.74 |
DisclosureSEC source: 0001209191-18-034493 · doc4.xml · derivative · entry 4 MORRIS NIGEL W · CIK 0001238040 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By QED Fund II, LP Disclosed balance after: 316,653.41 Underlying: Class A common stock · 340,318.02 shares Expires not disclosed F4 · derivative.exercise_price: These Holdco Units, and corresponding shares of Class B common stock, vest at the rate of 20% per year and are subject to a remaining vesting date of January 1, 2019, provided that Mr. Morris remains a director through that date. F5 · derivative.exercise_price: Pursuant to the Exchange Agreement, dated May 23, 2018, by and among the Issuer, GreenSky Holdings, LLC ("GS Holdings") and the members of GS Holdings, the Holdco Units may be exchanged by the Reporting Person (with automatic cancellation of an equal number of shares of Class B common stock) for shares of Class A common stock on a one-for-one basis, subject to customary adjustments for stock splits, stock dividends, reclassifications and other similar transactions, stock repurchases and other reinvestments of excess cash, or for cash (based on the market price of the shares of Class A common stock), at the Issuer's option. F1 · shares: Represents Holdco Units purchased by the Issuer in connection with its initial public offering, and shares of Class B common stock automatically cancelled upon such purchase. F4 · derivative.exercise_date: These Holdco Units, and corresponding shares of Class B common stock, vest at the rate of 20% per year and are subject to a remaining vesting date of January 1, 2019, provided that Mr. Morris remains a director through that date. F5 · derivative.exercise_date: Pursuant to the Exchange Agreement, dated May 23, 2018, by and among the Issuer, GreenSky Holdings, LLC ("GS Holdings") and the members of GS Holdings, the Holdco Units may be exchanged by the Reporting Person (with automatic cancellation of an equal number of shares of Class B common stock) for shares of Class A common stock on a one-for-one basis, subject to customary adjustments for stock splits, stock dividends, reclassifications and other similar transactions, stock repurchases and other reinvestments of excess cash, or for cash (based on the market price of the shares of Class A common stock), at the Issuer's option. F4 · derivative.expiration_date: These Holdco Units, and corresponding shares of Class B common stock, vest at the rate of 20% per year and are subject to a remaining vesting date of January 1, 2019, provided that Mr. Morris remains a director through that date. F5 · derivative.expiration_date: Pursuant to the Exchange Agreement, dated May 23, 2018, by and among the Issuer, GreenSky Holdings, LLC ("GS Holdings") and the members of GS Holdings, the Holdco Units may be exchanged by the Reporting Person (with automatic cancellation of an equal number of shares of Class B common stock) for shares of Class A common stock on a one-for-one basis, subject to customary adjustments for stock splits, stock dividends, reclassifications and other similar transactions, stock repurchases and other reinvestments of excess cash, or for cash (based on the market price of the shares of Class A common stock), at the Issuer's option. F3 · ownership.nature: QED Fund II, LP is managed by QED Partners II, LLC, of which Mr. Morris is the managing partner. Read SEC document |
| May 29, 2018 Filed May 31, 2018 23:03 UTC | GreenSky, Inc. GSKY · Entity 109154 | SaleHoldco Units · Derivative | 261,940.31 | $21.85 | $5,723,395.77 |
DisclosureSEC source: 0001209191-18-034493 · doc4.xml · derivative · entry 3 MORRIS NIGEL W · CIK 0001238040 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By QED Fund II, LP Disclosed balance after: 695,035.71 Underlying: Class A common stock · 261,940.31 shares Expires not disclosed F5 · derivative.exercise_price: Pursuant to the Exchange Agreement, dated May 23, 2018, by and among the Issuer, GreenSky Holdings, LLC ("GS Holdings") and the members of GS Holdings, the Holdco Units may be exchanged by the Reporting Person (with automatic cancellation of an equal number of shares of Class B common stock) for shares of Class A common stock on a one-for-one basis, subject to customary adjustments for stock splits, stock dividends, reclassifications and other similar transactions, stock repurchases and other reinvestments of excess cash, or for cash (based on the market price of the shares of Class A common stock), at the Issuer's option. F1 · shares: Represents Holdco Units purchased by the Issuer in connection with its initial public offering, and shares of Class B common stock automatically cancelled upon such purchase. F5 · derivative.exercise_date: Pursuant to the Exchange Agreement, dated May 23, 2018, by and among the Issuer, GreenSky Holdings, LLC ("GS Holdings") and the members of GS Holdings, the Holdco Units may be exchanged by the Reporting Person (with automatic cancellation of an equal number of shares of Class B common stock) for shares of Class A common stock on a one-for-one basis, subject to customary adjustments for stock splits, stock dividends, reclassifications and other similar transactions, stock repurchases and other reinvestments of excess cash, or for cash (based on the market price of the shares of Class A common stock), at the Issuer's option. F5 · derivative.expiration_date: Pursuant to the Exchange Agreement, dated May 23, 2018, by and among the Issuer, GreenSky Holdings, LLC ("GS Holdings") and the members of GS Holdings, the Holdco Units may be exchanged by the Reporting Person (with automatic cancellation of an equal number of shares of Class B common stock) for shares of Class A common stock on a one-for-one basis, subject to customary adjustments for stock splits, stock dividends, reclassifications and other similar transactions, stock repurchases and other reinvestments of excess cash, or for cash (based on the market price of the shares of Class A common stock), at the Issuer's option. F3 · ownership.nature: QED Fund II, LP is managed by QED Partners II, LLC, of which Mr. Morris is the managing partner. Read SEC document |
| May 29, 2018 Filed May 31, 2018 23:03 UTC | GreenSky, Inc. GSKY · Entity 109154 | SaleClass B common stock | 340,318.02 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-034493 · doc4.xml · nonDerivative · entry 2 MORRIS NIGEL W · CIK 0001238040 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By QED Fund II, LP Disclosed balance after: 316,653.41 F1 · shares: Represents Holdco Units purchased by the Issuer in connection with its initial public offering, and shares of Class B common stock automatically cancelled upon such purchase. F1 · price: Represents Holdco Units purchased by the Issuer in connection with its initial public offering, and shares of Class B common stock automatically cancelled upon such purchase. F2 · balance_after: The Class B common stock entitles holders to ten votes per share, votes as a single class with the Class A common stock, has no economic rights and is subject to forfeiture upon exchange of the Reporting Person's Holdco Units as described below. F4 · balance_after: These Holdco Units, and corresponding shares of Class B common stock, vest at the rate of 20% per year and are subject to a remaining vesting date of January 1, 2019, provided that Mr. Morris remains a director through that date. F3 · ownership.nature: QED Fund II, LP is managed by QED Partners II, LLC, of which Mr. Morris is the managing partner. Read SEC document |
| May 29, 2018 Filed May 31, 2018 23:03 UTC | GreenSky, Inc. GSKY · Entity 109154 | SaleClass B common stock | 261,940.31 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-034493 · doc4.xml · nonDerivative · entry 1 MORRIS NIGEL W · CIK 0001238040 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By QED Fund II, LP Disclosed balance after: 695,035.71 F1 · shares: Represents Holdco Units purchased by the Issuer in connection with its initial public offering, and shares of Class B common stock automatically cancelled upon such purchase. F1 · price: Represents Holdco Units purchased by the Issuer in connection with its initial public offering, and shares of Class B common stock automatically cancelled upon such purchase. F2 · balance_after: The Class B common stock entitles holders to ten votes per share, votes as a single class with the Class A common stock, has no economic rights and is subject to forfeiture upon exchange of the Reporting Person's Holdco Units as described below. F3 · ownership.nature: QED Fund II, LP is managed by QED Partners II, LLC, of which Mr. Morris is the managing partner. Read SEC document |
| May 29, 2018 Filed Nov 13, 2018 15:46 UTC Amendment | GreenSky, Inc. GSKY · Entity 109154 | Disposition to issuerHoldco Units · Derivative | 340,318.02 | $21.85 | $7,435,948.74 |
DisclosureSEC source: 0001209191-18-058106 · doc4a.xml · derivative · entry 4 MORRIS NIGEL W · CIK 0001238040 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By QED Fund II, LP Disclosed balance after: 316,653.41 Underlying: Class A common stock · 340,318.02 shares Expires not disclosed F5 · derivative.exercise_price: These Holdco Units, and corresponding shares of Class B common stock, vest at the rate of 20% per year and are subject to a remaining vesting date of January 1, 2019, provided that Mr. Morris remains a director through that date. F6 · derivative.exercise_price: Pursuant to the Exchange Agreement, dated May 23, 2018, by and among the Issuer, GreenSky Holdings, LLC ("GS Holdings") and the members of GS Holdings, the Holdco Units may be exchanged by the Reporting Person (with automatic cancellation of an equal number of shares of Class B common stock) for shares of Class A common stock on a one-for-one basis, subject to customary adjustments for stock splits, stock dividends, reclassifications and other similar transactions, stock repurchases and other reinvestments of excess cash, or for cash (based on the market price of the shares of Class A common stock), at the Issuer's option. F1 · kind: This Form 4 is being amended solely to change the transaction code in Table I, Column 3 and Table II, Column 4 from "S" to "D" to reflect that this transaction was a disposition to the issuer, not an open market sale or a private sale. This transaction is a disposition to the issuer that was approved in advance by the issuer's board of directors. Therefore, this transaction is exempt from Section 16(b) of the Securities Exchange Act pursuant to Rule 16b-3(e). F2 · shares: Represents Holdco Units purchased by the Issuer in connection with its initial public offering, and shares of Class B common stock automatically cancelled upon such purchase. F5 · derivative.exercise_date: These Holdco Units, and corresponding shares of Class B common stock, vest at the rate of 20% per year and are subject to a remaining vesting date of January 1, 2019, provided that Mr. Morris remains a director through that date. F6 · derivative.exercise_date: Pursuant to the Exchange Agreement, dated May 23, 2018, by and among the Issuer, GreenSky Holdings, LLC ("GS Holdings") and the members of GS Holdings, the Holdco Units may be exchanged by the Reporting Person (with automatic cancellation of an equal number of shares of Class B common stock) for shares of Class A common stock on a one-for-one basis, subject to customary adjustments for stock splits, stock dividends, reclassifications and other similar transactions, stock repurchases and other reinvestments of excess cash, or for cash (based on the market price of the shares of Class A common stock), at the Issuer's option. F5 · derivative.expiration_date: These Holdco Units, and corresponding shares of Class B common stock, vest at the rate of 20% per year and are subject to a remaining vesting date of January 1, 2019, provided that Mr. Morris remains a director through that date. F6 · derivative.expiration_date: Pursuant to the Exchange Agreement, dated May 23, 2018, by and among the Issuer, GreenSky Holdings, LLC ("GS Holdings") and the members of GS Holdings, the Holdco Units may be exchanged by the Reporting Person (with automatic cancellation of an equal number of shares of Class B common stock) for shares of Class A common stock on a one-for-one basis, subject to customary adjustments for stock splits, stock dividends, reclassifications and other similar transactions, stock repurchases and other reinvestments of excess cash, or for cash (based on the market price of the shares of Class A common stock), at the Issuer's option. F4 · ownership.nature: QED Fund II, LP is managed by QED Partners II, LLC, of which Mr. Morris is the managing partner. Read SEC document |
| May 29, 2018 Filed Nov 13, 2018 15:46 UTC Amendment | GreenSky, Inc. GSKY · Entity 109154 | Disposition to issuerHoldco Units · Derivative | 261,940.31 | $21.85 | $5,723,395.77 |
DisclosureSEC source: 0001209191-18-058106 · doc4a.xml · derivative · entry 3 MORRIS NIGEL W · CIK 0001238040 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By QED Fund II, LP Disclosed balance after: 695,035.71 Underlying: Class A common stock · 261,940.31 shares Expires not disclosed F6 · derivative.exercise_price: Pursuant to the Exchange Agreement, dated May 23, 2018, by and among the Issuer, GreenSky Holdings, LLC ("GS Holdings") and the members of GS Holdings, the Holdco Units may be exchanged by the Reporting Person (with automatic cancellation of an equal number of shares of Class B common stock) for shares of Class A common stock on a one-for-one basis, subject to customary adjustments for stock splits, stock dividends, reclassifications and other similar transactions, stock repurchases and other reinvestments of excess cash, or for cash (based on the market price of the shares of Class A common stock), at the Issuer's option. F1 · kind: This Form 4 is being amended solely to change the transaction code in Table I, Column 3 and Table II, Column 4 from "S" to "D" to reflect that this transaction was a disposition to the issuer, not an open market sale or a private sale. This transaction is a disposition to the issuer that was approved in advance by the issuer's board of directors. Therefore, this transaction is exempt from Section 16(b) of the Securities Exchange Act pursuant to Rule 16b-3(e). F2 · shares: Represents Holdco Units purchased by the Issuer in connection with its initial public offering, and shares of Class B common stock automatically cancelled upon such purchase. F6 · derivative.exercise_date: Pursuant to the Exchange Agreement, dated May 23, 2018, by and among the Issuer, GreenSky Holdings, LLC ("GS Holdings") and the members of GS Holdings, the Holdco Units may be exchanged by the Reporting Person (with automatic cancellation of an equal number of shares of Class B common stock) for shares of Class A common stock on a one-for-one basis, subject to customary adjustments for stock splits, stock dividends, reclassifications and other similar transactions, stock repurchases and other reinvestments of excess cash, or for cash (based on the market price of the shares of Class A common stock), at the Issuer's option. F6 · derivative.expiration_date: Pursuant to the Exchange Agreement, dated May 23, 2018, by and among the Issuer, GreenSky Holdings, LLC ("GS Holdings") and the members of GS Holdings, the Holdco Units may be exchanged by the Reporting Person (with automatic cancellation of an equal number of shares of Class B common stock) for shares of Class A common stock on a one-for-one basis, subject to customary adjustments for stock splits, stock dividends, reclassifications and other similar transactions, stock repurchases and other reinvestments of excess cash, or for cash (based on the market price of the shares of Class A common stock), at the Issuer's option. F4 · ownership.nature: QED Fund II, LP is managed by QED Partners II, LLC, of which Mr. Morris is the managing partner. Read SEC document |
| May 29, 2018 Filed Nov 13, 2018 15:46 UTC Amendment | GreenSky, Inc. GSKY · Entity 109154 | Disposition to issuerClass B common stock | 340,318.02 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-058106 · doc4a.xml · nonDerivative · entry 2 MORRIS NIGEL W · CIK 0001238040 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By QED Fund II, LP Disclosed balance after: 316,653.41 F1 · kind: This Form 4 is being amended solely to change the transaction code in Table I, Column 3 and Table II, Column 4 from "S" to "D" to reflect that this transaction was a disposition to the issuer, not an open market sale or a private sale. This transaction is a disposition to the issuer that was approved in advance by the issuer's board of directors. Therefore, this transaction is exempt from Section 16(b) of the Securities Exchange Act pursuant to Rule 16b-3(e). F2 · shares: Represents Holdco Units purchased by the Issuer in connection with its initial public offering, and shares of Class B common stock automatically cancelled upon such purchase. F2 · price: Represents Holdco Units purchased by the Issuer in connection with its initial public offering, and shares of Class B common stock automatically cancelled upon such purchase. F3 · balance_after: The Class B common stock entitles holders to ten votes per share, votes as a single class with the Class A common stock, has no economic rights and is subject to forfeiture upon exchange of the Reporting Person's Holdco Units as described below. F5 · balance_after: These Holdco Units, and corresponding shares of Class B common stock, vest at the rate of 20% per year and are subject to a remaining vesting date of January 1, 2019, provided that Mr. Morris remains a director through that date. F4 · ownership.nature: QED Fund II, LP is managed by QED Partners II, LLC, of which Mr. Morris is the managing partner. Read SEC document |
| May 29, 2018 Filed Nov 13, 2018 15:46 UTC Amendment | GreenSky, Inc. GSKY · Entity 109154 | Disposition to issuerClass B common stock | 261,940.31 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-058106 · doc4a.xml · nonDerivative · entry 1 MORRIS NIGEL W · CIK 0001238040 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By QED Fund II, LP Disclosed balance after: 695,035.71 F1 · kind: This Form 4 is being amended solely to change the transaction code in Table I, Column 3 and Table II, Column 4 from "S" to "D" to reflect that this transaction was a disposition to the issuer, not an open market sale or a private sale. This transaction is a disposition to the issuer that was approved in advance by the issuer's board of directors. Therefore, this transaction is exempt from Section 16(b) of the Securities Exchange Act pursuant to Rule 16b-3(e). F2 · shares: Represents Holdco Units purchased by the Issuer in connection with its initial public offering, and shares of Class B common stock automatically cancelled upon such purchase. F2 · price: Represents Holdco Units purchased by the Issuer in connection with its initial public offering, and shares of Class B common stock automatically cancelled upon such purchase. F3 · balance_after: The Class B common stock entitles holders to ten votes per share, votes as a single class with the Class A common stock, has no economic rights and is subject to forfeiture upon exchange of the Reporting Person's Holdco Units as described below. F4 · ownership.nature: QED Fund II, LP is managed by QED Partners II, LLC, of which Mr. Morris is the managing partner. Read SEC document |
| November 13, 2003 Filed Nov 14, 2003 21:31 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 128,958 | $0.00 Strike: $16.25 | $0.00 |
DisclosureSEC source: 0001242043-03-000118 · mor281.xml · derivative · entry 19 MORRIS NIGEL W · CIK 0001238040 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 128,958 shares Expires 2007-12-18 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. F2 · derivative.exercise_date: This option became exercisable upon stockholder approval on April 23, 1998, since the performance-based vesting criteria of the option was satisfied on April 16, 1998, the date on which the trading price of the Common Stock first exceeded $84.00 (pre-stock split) for at least ten trading days in any thirty calendar-day period on or before the third anniversary of the grant date of this option. Read SEC document |
| November 13, 2003 Filed Nov 14, 2003 21:31 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 5,000 | $60.35 | $301,750.00 |
DisclosureSEC source: 0001242043-03-000118 · mor281.xml · nonDerivative · entry 16 MORRIS NIGEL W · CIK 0001238040 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,868 F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on August 6, 2003 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| November 13, 2003 Filed Nov 14, 2003 21:31 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 2,500 | $60.28 | $150,700.00 |
DisclosureSEC source: 0001242043-03-000118 · mor281.xml · nonDerivative · entry 15 MORRIS NIGEL W · CIK 0001238040 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,868 F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on August 6, 2003 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| November 13, 2003 Filed Nov 14, 2003 21:31 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 10,000 | $60.25 | $602,500.00 |
DisclosureSEC source: 0001242043-03-000118 · mor281.xml · nonDerivative · entry 14 MORRIS NIGEL W · CIK 0001238040 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,368 F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on August 6, 2003 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| November 13, 2003 Filed Nov 14, 2003 21:31 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 8,958 | $60.20 | $539,271.60 |
DisclosureSEC source: 0001242043-03-000118 · mor281.xml · nonDerivative · entry 13 MORRIS NIGEL W · CIK 0001238040 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,368 F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on August 6, 2003 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| November 13, 2003 Filed Nov 14, 2003 21:31 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 5,000 | $60.15 | $300,750.00 |
DisclosureSEC source: 0001242043-03-000118 · mor281.xml · nonDerivative · entry 12 MORRIS NIGEL W · CIK 0001238040 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,326 F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on August 6, 2003 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| November 13, 2003 Filed Nov 14, 2003 21:31 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 65,000 | $60.05 | $3,903,250.00 |
DisclosureSEC source: 0001242043-03-000118 · mor281.xml · nonDerivative · entry 11 MORRIS NIGEL W · CIK 0001238040 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,326 F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on August 6, 2003 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| November 13, 2003 Filed Nov 14, 2003 21:31 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 32,500 | $60.00 | $1,950,000.00 |
DisclosureSEC source: 0001242043-03-000118 · mor281.xml · nonDerivative · entry 10 MORRIS NIGEL W · CIK 0001238040 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,326 F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on August 6, 2003 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| November 13, 2003 Filed Nov 14, 2003 21:31 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 128,958 | $16.25 | $2,095,567.50 |
DisclosureSEC source: 0001242043-03-000118 · mor281.xml · nonDerivative · entry 9 MORRIS NIGEL W · CIK 0001238040 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 130,826 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 August 6, 2003 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| November 12, 2003 Filed Nov 14, 2003 21:31 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 25,000 | $0.00 Strike: $16.25 | $0.00 |
DisclosureSEC source: 0001242043-03-000118 · mor281.xml · derivative · entry 18 MORRIS NIGEL W · CIK 0001238040 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 128,958 Underlying: Common Stock · 25,000 shares Expires 2007-12-18 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. F2 · derivative.exercise_date: This option became exercisable upon stockholder approval on April 23, 1998, since the performance-based vesting criteria of the option was satisfied on April 16, 1998, the date on which the trading price of the Common Stock first exceeded $84.00 (pre-stock split) for at least ten trading days in any thirty calendar-day period on or before the third anniversary of the grant date of this option. Read SEC document |
| November 12, 2003 Filed Nov 14, 2003 21:31 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 1,000 | $60.42 | $60,420.00 |
DisclosureSEC source: 0001242043-03-000118 · mor281.xml · nonDerivative · entry 8 MORRIS NIGEL W · CIK 0001238040 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,868 F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on August 6, 2003 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| November 12, 2003 Filed Nov 14, 2003 21:31 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 3,000 | $60.30 | $180,900.00 |
DisclosureSEC source: 0001242043-03-000118 · mor281.xml · nonDerivative · entry 7 MORRIS NIGEL W · CIK 0001238040 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,868 F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on August 6, 2003 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| November 12, 2003 Filed Nov 14, 2003 21:31 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 5,000 | $60.25 | $301,250.00 |
DisclosureSEC source: 0001242043-03-000118 · mor281.xml · nonDerivative · entry 6 MORRIS NIGEL W · CIK 0001238040 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,868 F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on August 6, 2003 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| November 12, 2003 Filed Nov 14, 2003 21:31 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 1,000 | $60.10 | $60,100.00 |
DisclosureSEC source: 0001242043-03-000118 · mor281.xml · nonDerivative · entry 5 MORRIS NIGEL W · CIK 0001238040 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,868 F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on August 6, 2003 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| November 12, 2003 Filed Nov 14, 2003 21:31 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 5,000 | $60.05 | $300,250.00 |
DisclosureSEC source: 0001242043-03-000118 · mor281.xml · nonDerivative · entry 4 MORRIS NIGEL W · CIK 0001238040 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,868 F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on August 6, 2003 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| November 12, 2003 Filed Nov 14, 2003 21:31 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 7,500 | $60.00 | $450,000.00 |
DisclosureSEC source: 0001242043-03-000118 · mor281.xml · nonDerivative · entry 3 MORRIS NIGEL W · CIK 0001238040 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,868 F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on August 6, 2003 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| November 12, 2003 Filed Nov 14, 2003 21:31 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 2,500 | $59.55 | $148,875.00 |
DisclosureSEC source: 0001242043-03-000118 · mor281.xml · nonDerivative · entry 2 MORRIS NIGEL W · CIK 0001238040 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,368 F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on August 6, 2003 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| November 12, 2003 Filed Nov 14, 2003 21:31 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 25,000 | $16.25 | $406,250.00 |
DisclosureSEC source: 0001242043-03-000118 · mor281.xml · nonDerivative · entry 1 MORRIS NIGEL W · CIK 0001238040 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,868 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 August 6, 2003 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| November 11, 2003 Filed Nov 12, 2003 23:59 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 25,000 | $0.00 Strike: $16.25 | $0.00 |
DisclosureSEC source: 0001242043-03-000115 · mor280.xml · derivative · entry 17 MORRIS NIGEL W · CIK 0001238040 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 153,958 Underlying: Common Stock · 25,000 shares Expires 2007-12-18 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. F2 · derivative.exercise_date: This option became exercisable upon stockholder approval on April 23, 1998, since the performance-based vesting criteria of the option was satisfied on April 16, 1998, the date on which the trading price of the Common Stock first exceeded $84.00 (pre-stock split) for at least ten trading days in any thirty calendar-day period on or before the third anniversary of the grant date of this option. Read SEC document |
| November 11, 2003 Filed Nov 12, 2003 23:59 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 2,500 | $60.05 | $150,125.00 |
DisclosureSEC source: 0001242043-03-000115 · mor280.xml · nonDerivative · entry 14 MORRIS NIGEL W · CIK 0001238040 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,868 F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on August 6, 2003 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| November 11, 2003 Filed Nov 12, 2003 23:59 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 2,500 | $60.00 | $150,000.00 |
DisclosureSEC source: 0001242043-03-000115 · mor280.xml · nonDerivative · entry 13 MORRIS NIGEL W · CIK 0001238040 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,368 F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on August 6, 2003 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| November 11, 2003 Filed Nov 12, 2003 23:59 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 10,000 | $59.65 | $596,500.00 |
DisclosureSEC source: 0001242043-03-000115 · mor280.xml · nonDerivative · entry 12 MORRIS NIGEL W · CIK 0001238040 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,868 F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on August 6, 2003 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| November 11, 2003 Filed Nov 12, 2003 23:59 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 5,000 | $59.60 | $298,000.00 |
DisclosureSEC source: 0001242043-03-000115 · mor280.xml · nonDerivative · entry 11 MORRIS NIGEL W · CIK 0001238040 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,868 F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on August 6, 2003 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| November 11, 2003 Filed Nov 12, 2003 23:59 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 600 | $59.52 | $35,712.00 |
DisclosureSEC source: 0001242043-03-000115 · mor280.xml · nonDerivative · entry 10 MORRIS NIGEL W · CIK 0001238040 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,868 F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on August 6, 2003 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| November 11, 2003 Filed Nov 12, 2003 23:59 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 500 | $59.51 | $29,755.00 |
DisclosureSEC source: 0001242043-03-000115 · mor280.xml · nonDerivative · entry 9 MORRIS NIGEL W · CIK 0001238040 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,468 F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on August 6, 2003 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| November 11, 2003 Filed Nov 12, 2003 23:59 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 3,900 | $59.50 | $232,050.00 |
DisclosureSEC source: 0001242043-03-000115 · mor280.xml · nonDerivative · entry 8 MORRIS NIGEL W · CIK 0001238040 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,968 F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on August 6, 2003 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| November 11, 2003 Filed Nov 12, 2003 23:59 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 25,000 | $16.25 | $406,250.00 |
DisclosureSEC source: 0001242043-03-000115 · mor280.xml · nonDerivative · entry 7 MORRIS NIGEL W · CIK 0001238040 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,868 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 August 6, 2003 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| November 10, 2003 Filed Nov 12, 2003 23:59 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 14,400 | $0.00 Strike: $16.25 | $0.00 |
DisclosureSEC source: 0001242043-03-000115 · mor280.xml · derivative · entry 16 MORRIS NIGEL W · CIK 0001238040 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 178,958 Underlying: Common Stock · 14,400 shares Expires 2007-12-18 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. F2 · derivative.exercise_date: This option became exercisable upon stockholder approval on April 23, 1998, since the performance-based vesting criteria of the option was satisfied on April 16, 1998, the date on which the trading price of the Common Stock first exceeded $84.00 (pre-stock split) for at least ten trading days in any thirty calendar-day period on or before the third anniversary of the grant date of this option. Read SEC document |
| November 10, 2003 Filed Nov 12, 2003 23:59 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 1,500 | $60.10 | $90,150.00 |
DisclosureSEC source: 0001242043-03-000115 · mor280.xml · nonDerivative · entry 6 MORRIS NIGEL W · CIK 0001238040 · Director · Vice Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,868 F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on August 6, 2003 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. 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.