Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CAPITAL ONE FINANCIAL CORPCOF · Entity 547 | Pres., Retail & Direct Banking | March 19, 2020 | March 23, 2020 |
| WELLS FARGO & COMPANY/MNWFC · Entity 2824 | Sr. Executive Vice President | March 05, 2026 | March 09, 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.
CAPITAL ONE FINANCIAL CORP
Report date March 19, 2020 · Filed March 23, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 22,304 |
Reported balance
After 2020-03-19 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2020-03-19 · Sale · Disposed 2,263 · Balance 22,304 F1: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 7, 2019, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. |
Filing footnotes · ownership attribution and instrument terms
F1: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 7, 2019, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
WELLS FARGO & COMPANY/MN
Report date March 05, 2026 · Filed March 09, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, $1 2/3 Par ValueSEC Table I · non-derivative | Direct | 110,860.1308 |
Ending reported balance
After 2026-03-05 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2026-03-05 · Exercise / conversion · Acquired 60,914.5522 · Balance 140,790.081 F1: These shares represent common stock of Wells Fargo & Company (the "Company") acquired on March 5, 2026 upon settlement of a Performance Share award granted on January 24, 2023 for the three-year performance period ended December 31, 2025, as previously disclosed on a Form 4 filed on February 27, 2026 (including reinvested dividend equivalents). Row 2 · 2026-03-05 · Tax withholding · Disposed 29,929.9502 · Balance 110,860.1308 |
| 2023 Performance SharesSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2026-03-05 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2026-03-05 · Exercise / conversion · Disposed 60,914.5522 · Balance 0 F3: Each Performance Share represents a contingent right to receive one share of Company common stock. F4: Represents the number of 2023 Performance Shares (including reinvested dividend equivalents) determined based on financial performance for the three-year performance period ended December 31, 2025 pursuant to the terms and conditions of a Performance Share award granted on January 24, 2023, which is exempt under Rule 16b-3(d). As a condition to receiving the grant, the reporting person agreed to hold, while employed by the Company and for one year after retirement, shares of Company common stock as required under the Company's Stock Ownership Policy. |
| Common Stock, $1 2/3 Par ValueSEC Table I · non-derivative | IndirectThrough 401(k) Plan | 893.67 |
Reported balance
Holding disclosure · report date 2026-03-05 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 893.67 F2: Reflects share equivalent of units in the Wells Fargo ESOP Fund under the 401(k) Plan (the "Plan") as of February 27, 2026, as if investable cash equivalents held by the Plan were fully invested in Company common stock. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares represent common stock of Wells Fargo & Company (the "Company") acquired on March 5, 2026 upon settlement of a Performance Share award granted on January 24, 2023 for the three-year performance period ended December 31, 2025, as previously disclosed on a Form 4 filed on February 27, 2026 (including reinvested dividend equivalents).
F2: Reflects share equivalent of units in the Wells Fargo ESOP Fund under the 401(k) Plan (the "Plan") as of February 27, 2026, as if investable cash equivalents held by the Plan were fully invested in Company common stock.
F3: Each Performance Share represents a contingent right to receive one share of Company common stock.
F4: Represents the number of 2023 Performance Shares (including reinvested dividend equivalents) determined based on financial performance for the three-year performance period ended December 31, 2025 pursuant to the terms and conditions of a Performance Share award granted on January 24, 2023, which is exempt under Rule 16b-3(d). As a condition to receiving the grant, the reporting person agreed to hold, while employed by the Company and for one year after retirement, shares of Company common stock as required under the Company's Stock Ownership Policy.
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 |
|---|---|---|---|---|---|---|
| March 19, 2020 Filed Mar 23, 2020 20:48 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 2,263 | $43.08 | $97,490.04 |
DisclosureSEC source: 0000927628-20-000157 · wf-form4_158499650615997.xml · nonDerivative · entry 1 Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,304 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 7, 2019, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| March 05, 2020 Filed Mar 9, 2020 20:11 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 2,115 | $85.08 | $179,944.20 |
DisclosureSEC source: 0000927628-20-000136 · wf-form4_158378464555254.xml · nonDerivative · entry 2 Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,567 F2 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement. Read SEC document |
| March 05, 2020 Filed Mar 9, 2020 20:11 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 4,378 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000136 · wf-form4_158378464555254.xml · nonDerivative · entry 1 Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,682 F1 · security: These shares were earned pursuant to an award of performance shares granted on February 2, 2017 based on the Company's Adjusted ROA against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant. Read SEC document |
| February 20, 2020 Filed Feb 24, 2020 21:11 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 2,206 | $101.25 | $223,357.50 |
DisclosureSEC source: 0000927628-20-000104 · wf-form4_158257869873064.xml · nonDerivative · entry 1 Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,304 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 7, 2019, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| February 15, 2020 Filed Feb 20, 2020 00:22 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2018 Restricted Stock Units · Derivative | 1,359 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000079 · wf-form4_158215815162212.xml · derivative · entry 9 Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,359 Underlying: Common Stock · 1,359 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: On February 15, 2020, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F1 · price: On February 15, 2020, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F6 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2019 and annually thereafter. F6 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2019 and annually thereafter. Read SEC document |
| February 15, 2020 Filed Feb 20, 2020 00:22 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2017 Restricted Stock Units · Derivative | 1,263 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000079 · wf-form4_158215815162212.xml · derivative · entry 8 Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,263 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: On February 15, 2020, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F1 · price: On February 15, 2020, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F5 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2018 and annually thereafter. F5 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2018 and annually thereafter. Read SEC document |
| February 15, 2020 Filed Feb 20, 2020 00:22 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,812 | $102.64 | $185,983.68 |
DisclosureSEC source: 0000927628-20-000079 · wf-form4_158215815162212.xml · nonDerivative · entry 7 Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,510 F4 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 31, 2019. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2020 Filed Feb 20, 2020 00:22 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,098 | $102.64 | $112,698.72 |
DisclosureSEC source: 0000927628-20-000079 · wf-form4_158215815162212.xml · nonDerivative · entry 6 Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,322 F3 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on February 1, 2018. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2020 Filed Feb 20, 2020 00:22 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,333 | $102.64 | $136,819.12 |
DisclosureSEC source: 0000927628-20-000079 · wf-form4_158215815162212.xml · nonDerivative · entry 5 Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,420 F2 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on February 2, 2017. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2020 Filed Feb 20, 2020 00:22 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 1,359 | $102.03 | $138,658.77 |
DisclosureSEC source: 0000927628-20-000079 · wf-form4_158215815162212.xml · nonDerivative · entry 4 Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,753 F1 · price: On February 15, 2020, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
| February 15, 2020 Filed Feb 20, 2020 00:22 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 1,263 | $102.03 | $128,863.89 |
DisclosureSEC source: 0000927628-20-000079 · wf-form4_158215815162212.xml · nonDerivative · entry 3 Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,112 F1 · price: On February 15, 2020, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
| February 15, 2020 Filed Feb 20, 2020 00:22 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 1,359 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000079 · wf-form4_158215815162212.xml · nonDerivative · entry 2 Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,375 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: On February 15, 2020, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
| February 15, 2020 Filed Feb 20, 2020 00:22 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 1,263 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000079 · wf-form4_158215815162212.xml · nonDerivative · entry 1 Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,016 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: On February 15, 2020, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
| January 30, 2020 Filed Feb 3, 2020 21:57 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 9,299 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000049 · wf-form4_158076701909789.xml · nonDerivative · entry 1 Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,753 F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2021 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock. Read SEC document |
| March 18, 2019 Filed Mar 20, 2019 20:50 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 2,928 | $84.54 | $247,533.12 |
DisclosureSEC source: 0000927628-19-000153 · wf-form4_155311501397901.xml · nonDerivative · entry 1 Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,454 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 2, 2018, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| March 07, 2019 Filed Mar 11, 2019 20:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 2,735 | $81.28 | $222,300.80 |
DisclosureSEC source: 0000927628-19-000139 · wf-form4_155233518488802.xml · nonDerivative · entry 2 Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,382 F2 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement. Read SEC document |
| March 07, 2019 Filed Mar 11, 2019 20:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 5,663 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-19-000139 · wf-form4_155233518488802.xml · nonDerivative · entry 1 Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,117 F1 · security: These shares were earned pursuant to an award of performance shares granted on February 4, 2016 based on the Company's Adjusted ROA against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant. Read SEC document |
| February 21, 2019 Filed Feb 25, 2019 21:10 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 3,570 | $82.49 | $294,489.30 |
DisclosureSEC source: 0000927628-19-000112 · wf-form4_155112899890140.xml · nonDerivative · entry 1 Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,454 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 2, 2018, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $82.15 to $82.98. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 21:45 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2018 Restricted Stock Units · Derivative | 1,359 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-19-000096 · wf-form4_155069913196268.xml · derivative · entry 12 Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,718 Underlying: Common Stock · 1,359 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: On February 15, 2019, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F1 · price: On February 15, 2019, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F7 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2019 and annually thereafter. F7 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2019 and annually thereafter. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 21:45 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2017 Restricted Stock Units · Derivative | 1,263 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-19-000096 · wf-form4_155069913196268.xml · derivative · entry 11 Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,263 Underlying: Common Stock · 1,263 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: On February 15, 2019, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F1 · price: On February 15, 2019, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F6 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2018 and annually thereafter. F6 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2018 and annually thereafter. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 21:45 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2016 Restricted Stock Units · Derivative | 1,636 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-19-000096 · wf-form4_155069913196268.xml · derivative · entry 10 Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,636 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: On February 15, 2019, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F1 · price: On February 15, 2019, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F5 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2017 and annually thereafter. F5 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2017 and annually thereafter. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 21:45 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,097 | $81.57 | $89,482.29 |
DisclosureSEC source: 0000927628-19-000096 · wf-form4_155069913196268.xml · nonDerivative · entry 9 Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,024 F4 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on February 1, 2018. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 21:45 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,331 | $81.57 | $108,569.67 |
DisclosureSEC source: 0000927628-19-000096 · wf-form4_155069913196268.xml · nonDerivative · entry 8 Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,121 F3 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on February 2, 2017. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 21:45 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,703 | $81.57 | $138,913.71 |
DisclosureSEC source: 0000927628-19-000096 · wf-form4_155069913196268.xml · nonDerivative · entry 7 Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,452 F2 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on February 4, 2016. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 21:45 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 1,359 | $79.85 | $108,516.15 |
DisclosureSEC source: 0000927628-19-000096 · wf-form4_155069913196268.xml · nonDerivative · entry 6 Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,155 F1 · price: On February 15, 2019, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 21:45 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 1,263 | $79.85 | $100,850.55 |
DisclosureSEC source: 0000927628-19-000096 · wf-form4_155069913196268.xml · nonDerivative · entry 5 Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,514 F1 · price: On February 15, 2019, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 21:45 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 1,636 | $79.85 | $130,634.60 |
DisclosureSEC source: 0000927628-19-000096 · wf-form4_155069913196268.xml · nonDerivative · entry 4 Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,777 F1 · price: On February 15, 2019, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 21:45 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 1,359 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-19-000096 · wf-form4_155069913196268.xml · nonDerivative · entry 3 Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,413 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: On February 15, 2019, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 21:45 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 1,263 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-19-000096 · wf-form4_155069913196268.xml · nonDerivative · entry 2 Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,054 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: On February 15, 2019, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 21:45 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 1,636 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-19-000096 · wf-form4_155069913196268.xml · nonDerivative · entry 1 Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,791 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: On February 15, 2019, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
| January 31, 2019 Filed Feb 4, 2019 23:53 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 11,261 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-19-000047 · wf-form4_154932436924773.xml · nonDerivative · entry 1 Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,155 F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2020 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock. Read SEC document |
| March 22, 2018 Filed Mar 26, 2018 21:10 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 1,711 | $97.00 | $165,967.00 |
DisclosureSEC source: 0000927628-18-000154 · wf-form4_152209857201977.xml · nonDerivative · entry 1 Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,894 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 13, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| March 08, 2018 Filed Mar 12, 2018 20:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,598 | $98.15 | $156,843.70 |
DisclosureSEC source: 0000927628-18-000144 · wf-form4_152088559238919.xml · nonDerivative · entry 2 Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,605 F2 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement. Read SEC document |
| March 08, 2018 Filed Mar 12, 2018 20:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 3,309 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-18-000144 · wf-form4_152088559238919.xml · nonDerivative · entry 1 Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,203 F1 · security: These shares were earned pursuant to an award of performance shares granted on January 29, 2015 based on the Company's Adjusted ROA against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant. Read SEC document |
| February 22, 2018 Filed Feb 26, 2018 21:29 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 5,607 | $97.74 | $548,028.18 |
DisclosureSEC source: 0000927628-18-000109 · wf-form4_151968057887003.xml · nonDerivative · entry 1 Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,894 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 13, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $97.43 to $98.24. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 23:33 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionRestricted Stock Units · Derivative | 4,412 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-18-000098 · wf-form4_151916956374541.xml · derivative · entry 15 Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,412 shares Expires 2018-02-15 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_price: Each restricted stock unit vested on January 1, 2018 and settled in cash on February 15, 2018 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. F2 · price: Each restricted stock unit vested on January 1, 2018 and settled in cash on February 15, 2018 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. F2 · derivative.exercise_date: Each restricted stock unit vested on January 1, 2018 and settled in cash on February 15, 2018 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. F2 · derivative.expiration_date: Each restricted stock unit vested on January 1, 2018 and settled in cash on February 15, 2018 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 23:33 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2017 Restricted Stock Units · Derivative | 1,263 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-18-000098 · wf-form4_151916956374541.xml · derivative · entry 14 Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,526 Underlying: Common Stock · 1,263 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: On February 15, 2018 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F1 · price: On February 15, 2018 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F8 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2018 and annually thereafter. F8 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2018 and annually thereafter. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 23:33 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2016 Restricted Stock Units · Derivative | 1,636 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-18-000098 · wf-form4_151916956374541.xml · derivative · entry 13 Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,636 Underlying: Common Stock · 1,636 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: On February 15, 2018 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F1 · price: On February 15, 2018 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F7 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2017 and annually thereafter. F7 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2017 and annually thereafter. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 23:33 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2015 Restricted Stock Units · Derivative | 502 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-18-000098 · wf-form4_151916956374541.xml · derivative · entry 12 Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 502 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: On February 15, 2018 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F1 · price: On February 15, 2018 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F6 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2016 and annually thereafter. F6 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2016 and annually thereafter. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 23:33 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 917 | $98.67 | $90,480.39 |
DisclosureSEC source: 0000927628-18-000098 · wf-form4_151916956374541.xml · nonDerivative · entry 11 Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,501 F5 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on February 2, 2017. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 23:33 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,181 | $98.67 | $116,529.27 |
DisclosureSEC source: 0000927628-18-000098 · wf-form4_151916956374541.xml · nonDerivative · entry 10 Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,418 F4 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on February 4, 2016. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 23:33 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 698 | $98.67 | $68,871.66 |
DisclosureSEC source: 0000927628-18-000098 · wf-form4_151916956374541.xml · nonDerivative · entry 9 Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,599 F3 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 29, 2015. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 23:33 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 4,412 | $99.52 | $439,082.24 |
DisclosureSEC source: 0000927628-18-000098 · wf-form4_151916956374541.xml · nonDerivative · entry 8 Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,297 F2 · price: Each restricted stock unit vested on January 1, 2018 and settled in cash on February 15, 2018 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 23:33 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 1,263 | $99.52 | $125,693.76 |
DisclosureSEC source: 0000927628-18-000098 · wf-form4_151916956374541.xml · nonDerivative · entry 7 Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,709 F1 · price: On February 15, 2018 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 23:33 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 1,636 | $99.52 | $162,814.72 |
DisclosureSEC source: 0000927628-18-000098 · wf-form4_151916956374541.xml · nonDerivative · entry 6 Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,972 F1 · price: On February 15, 2018 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 23:33 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 502 | $99.52 | $49,959.04 |
DisclosureSEC source: 0000927628-18-000098 · wf-form4_151916956374541.xml · nonDerivative · entry 5 Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,608 F1 · price: On February 15, 2018 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 23:33 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 4,412 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-18-000098 · wf-form4_151916956374541.xml · nonDerivative · entry 4 Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,110 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 · price: Each restricted stock unit vested on January 1, 2018 and settled in cash on February 15, 2018 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 23:33 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 1,263 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-18-000098 · wf-form4_151916956374541.xml · nonDerivative · entry 3 Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,698 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: On February 15, 2018 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 23:33 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 1,636 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-18-000098 · wf-form4_151916956374541.xml · nonDerivative · entry 2 Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,435 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: On February 15, 2018 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 23:33 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 502 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-18-000098 · wf-form4_151916956374541.xml · nonDerivative · entry 1 Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,799 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: On February 15, 2018 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. 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.