person · Reporting owner

CRAWFORD STEPHEN S

Disclosed activity across 2 companies

Tapewire entity: 13973
SEC CIK: 0001183416

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
CAPITAL ONE FINANCIAL CORPCOF · Entity 547	Head of Finance and Corp Dev	March 08, 2017	March 10, 2017
MORGAN STANLEYMWD · Entity 2815	Chief Admin Officer	December 14, 2004	December 16, 2004

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 08, 2017 · Filed March 10, 2017

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	189,370	Reported balance After 2017-03-08 transaction · row 1 Account or security details depend on footnotes; rows are not merged. 1 source row Row 1 · 2017-03-08 · Grant · Acquired 22,660 · Balance 189,370 F1: These shares were earned pursuant to an award of performance shares granted on January 30, 2014 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.
Common StockSEC Table I · non-derivative	Direct	177,684	Reported balance After 2017-03-08 transaction · row 2 Account or security details depend on footnotes; rows are not merged. 1 source row Row 2 · 2017-03-08 · Tax withholding · Disposed 11,686 · Balance 177,684 F2: 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.

Filing footnotes · ownership attribution and instrument terms

F1: These shares were earned pursuant to an award of performance shares granted on January 30, 2014 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.

F2: 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.

MORGAN STANLEY

Report date December 14, 2004 · Filed December 16, 2004

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	274,146	Reported balance After 2004-12-14 transaction · row 1 Account or security details depend on footnotes; rows are not merged. 1 source row Row 1 · 2004-12-14 · Grant · Acquired 112,428 · Balance 274,146 F1: Stock Units that are convertible into shares of Common Stock at a ratio of 1 to 1.
Common StockSEC Table I · non-derivative	IndirectBy 401(k) Plan/ESOP Trust	5,727	Reported balance Holding disclosure · report date 2004-12-14 · row 2 Holding and transaction disclosures are not merged. 1 source row Row 2 · Balance 5,727

Filing footnotes · ownership attribution and instrument terms

F1: Stock Units that are convertible into shares of Common Stock at a ratio of 1 to 1.

Transaction history

JSON API

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

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

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
February 04, 2014 Filed Feb 6, 2014 21:36 UTC	CAPITAL ONE FINANCIAL CORP COF · Entity 547	Tax withholdingCommon Stock	15,944	$68.72	$1,095,671.68	Disclosure SEC source: 0001225208-14-003597 · doc4.xml · nonDerivative · entry 1 CRAWFORD STEPHEN S · CIK 0001183416 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 182,018 F1 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on February 4, 2013. This is authorized in the applicable restricted stock award agreement. Read SEC document
January 30, 2014 Filed Feb 4, 2014 00:19 UTC	CAPITAL ONE FINANCIAL CORP COF · Entity 547	GrantStock Options · Derivative	47,046	$0.00 Strike: $70.96	$0.00	Disclosure SEC source: 0001225208-14-003160 · doc4.xml · derivative · entry 4 CRAWFORD STEPHEN S · CIK 0001183416 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,046 Underlying: Common Stock · 47,046 shares Expires 2024-01-29 F6 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on February 15, 2015 and annually thereafter. Read SEC document
January 30, 2014 Filed Feb 4, 2014 00:19 UTC	CAPITAL ONE FINANCIAL CORP COF · Entity 547	GrantRestricted Stock Units · Derivative	15,855	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001225208-14-003160 · doc4.xml · derivative · entry 3 CRAWFORD STEPHEN S · CIK 0001183416 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,855 Underlying: Common Stock · 15,855 shares Expires 2015-02-15 F5 · derivative.exercise_price: Each restricted stock unit will vest on January 1, 2015 and will be settled in cash on February 15, 2015 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. F5 · derivative.exercise_date: Each restricted stock unit will vest on January 1, 2015 and will be settled in cash on February 15, 2015 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. F5 · derivative.expiration_date: Each restricted stock unit will vest on January 1, 2015 and will be settled in cash on February 15, 2015 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
January 30, 2014 Filed Feb 4, 2014 00:19 UTC	CAPITAL ONE FINANCIAL CORP COF · Entity 547	Grant2014 Restricted Stock Units · Derivative	20,806	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001225208-14-003160 · doc4.xml · derivative · entry 2 CRAWFORD STEPHEN S · CIK 0001183416 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,806 Underlying: Common Stock · 20,806 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit will be settled in cash based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the vesting date. F3 · shares: This award is reported net of 760 units automatically withheld by the Company to satisfy the reporting person's tax obligation. F4 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2015 and annually thereafter. F4 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2015 and annually thereafter. F3 · derivative.underlying_shares: This award is reported net of 760 units automatically withheld by the Company to satisfy the reporting person's tax obligation. Read SEC document
January 30, 2014 Filed Feb 4, 2014 00:19 UTC	CAPITAL ONE FINANCIAL CORP COF · Entity 547	GrantCommon Stock	23,962	$0.00	$0.00	Disclosure SEC source: 0001225208-14-003160 · doc4.xml · nonDerivative · entry 1 CRAWFORD STEPHEN S · CIK 0001183416 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 197,962 F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2015 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock. Read SEC document
January 30, 2014 Filed Jan 15, 2015 21:35 UTC Amendment	CAPITAL ONE FINANCIAL CORP COF · Entity 547	Grant2014 Restricted Stock Units · Derivative	20,795	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001225208-15-001431 · doc4a.xml · derivative · entry 1 CRAWFORD STEPHEN S · CIK 0001183416 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,795 Underlying: Common Stock · 20,795 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit will be settled in cash based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the vesting date. F2 · shares: This award is reported net of 771 units automatically withheld by the Company to satisfy the reporting person's tax obligation. F3 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2015 and annually thereafter. F3 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2015 and annually thereafter. F2 · derivative.underlying_shares: This award is reported net of 771 units automatically withheld by the Company to satisfy the reporting person's tax obligation. Read SEC document
December 15, 2013 Filed Dec 16, 2013 22:45 UTC	CAPITAL ONE FINANCIAL CORP COF · Entity 547	Exercise / conversionRestricted Stock Units · Derivative	18,092	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001225208-13-025478 · doc4.xml · derivative · entry 3 CRAWFORD STEPHEN S · CIK 0001183416 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 18,092 shares Expires 2013-12-15 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. F1 · derivative.exercise_price: On December 15, 2013 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. F1 · price: On December 15, 2013 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. Read SEC document
December 15, 2013 Filed Dec 16, 2013 22:45 UTC	CAPITAL ONE FINANCIAL CORP COF · Entity 547	Disposition to issuerCommon Stock	18,092	$71.13	$1,286,883.96	Disclosure SEC source: 0001225208-13-025478 · doc4.xml · nonDerivative · entry 2 CRAWFORD STEPHEN S · CIK 0001183416 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 174,000 Read SEC document
December 15, 2013 Filed Dec 16, 2013 22:45 UTC	CAPITAL ONE FINANCIAL CORP COF · Entity 547	Exercise / conversionCommon Stock	18,092	$0.00	$0.00	Disclosure SEC source: 0001225208-13-025478 · doc4.xml · nonDerivative · entry 1 CRAWFORD STEPHEN S · CIK 0001183416 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 192,092 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 December 15, 2013 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. Read SEC document
February 04, 2013 Filed Feb 6, 2013 22:34 UTC	CAPITAL ONE FINANCIAL CORP COF · Entity 547	GrantCommon Stock	174,000	$0.00	$0.00	Disclosure SEC source: 0001225208-13-003204 · doc4.xml · nonDerivative · entry 1 CRAWFORD STEPHEN S · CIK 0001183416 · CFO Designate 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 174,000 F1 · security: This restricted stock will vest in five equal increments beginning on February 4, 2014 and annually thereafter. Read SEC document
February 04, 2013 Filed Feb 27, 2013 21:41 UTC Amendment	CAPITAL ONE FINANCIAL CORP COF · Entity 547	GrantRestricted Stock Units · Derivative	18,092	$0.00 Strike: $0.00	$0.00	Disclosure SEC source: 0001225208-13-005738 · doc4a.xml · derivative · entry 1 CRAWFORD STEPHEN S · CIK 0001183416 · CFO Designate 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,092 Underlying: Common Stock · 18,092 shares Expires 2013-12-15 F1 · derivative.exercise_price: Each restricted stock unit will be settled in cash based on the Company's average fair market value of the underlying shares of common stock over the twenty trading days preceding the vesting date. Read SEC document
December 14, 2004 Filed Dec 16, 2004 17:55 UTC	MORGAN STANLEY MWD · Entity 2815	GrantCommon Stock	112,428	$0.00	$0.00	Disclosure SEC source: 0001204892-04-000123 · doc4.xml · nonDerivative · entry 1 CRAWFORD STEPHEN S · CIK 0001183416 · Chief Admin Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 274,146 F1 · security: Stock Units that are convertible into shares of Common Stock at a ratio of 1 to 1. Read SEC document
November 28, 2003 Filed Dec 2, 2003 14:25 UTC	MORGAN STANLEY MWD · Entity 2815	GrantEmployee Stock Option (Right to Buy) · Derivative	90,626	$0.00 Strike: $55.45	$0.00	Disclosure SEC source: 0001204892-03-000068 · doc4.xml · derivative · entry 3 CRAWFORD STEPHEN S · CIK 0001183416 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,626 Underlying: Common Stock · 90,626 shares Expires 2014-01-02 F2 · derivative.exercise_date: Options are exercisable upon vesting. Vesting occurs as follows: 50% of the award vests on January 2, 2006 and the remaining 50 % vests on January 2, 2007. Read SEC document
November 28, 2003 Filed Dec 2, 2003 14:25 UTC	MORGAN STANLEY MWD · Entity 2815	GrantCommon Stock	40,278	$0.00	$0.00	Disclosure SEC source: 0001204892-03-000068 · doc4.xml · nonDerivative · entry 1 CRAWFORD STEPHEN S · CIK 0001183416 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 161,718 F1 · kind: Stock Units which are convertible into shares of Common Stock at a ratio of 1 to 1. Read SEC document
November 20, 2003 Filed Nov 24, 2003 16:20 UTC	MORGAN STANLEY MWD · Entity 2815	GrantEmployee Stock Option (Right to Buy) · Derivative	216,914	$0.00 Strike: $53.02	$0.00	Disclosure SEC source: 0001204892-03-000047 · doc4.xml · derivative · entry 1 CRAWFORD STEPHEN S · CIK 0001183416 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 216,914 Underlying: Common Stock · 216,914 shares Expires 2014-01-02 F1 · derivative.exercise_date: Options are exercisable upon vesting. Vesting occurs in five equal installments beginning on January 2, 2005. Shares received upon exercise of options generally may not be sold for five years from grant date and thereafter are subject to certain further restrictions based upon the age of the reporting person. 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.