Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CAPITAL ONE FINANCIAL CORPCOF · Entity 547 | Pres, Banking & Prem. Products | September 15, 2026 | September 16, 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 September 15, 2026 · Filed September 16, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 61,195 |
Reported balance
After 2026-09-15 transaction · row 1
1 source rowRow 1 · 2026-09-15 · Sale · Disposed 2,066 · Balance 61,195 F1: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 14, 2026, 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 May 14, 2026, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
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 15, 2026 Filed Sep 16, 2026 20:05 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 2,066 | $206.07 | $425,740.62 |
DisclosureSEC source: 0001741273-26-000020 · wk-form4_1789589129.xml · nonDerivative · entry 1 Dean Lia · CIK 0001741273 · Pres, Banking & Prem. Products 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 61,195 F1 · kind: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 14, 2026, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| August 17, 2026 Filed Aug 18, 2026 23:43 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 1 | $225.92 | $225.92 |
DisclosureSEC source: 0001741273-26-000017 · wk-form4_1787096590.xml · nonDerivative · entry 2 Dean Lia · CIK 0001741273 · Pres, Banking & Prem. Products 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 63,261 F1 · kind: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 14, 2026, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| August 17, 2026 Filed Aug 18, 2026 23:43 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 2,192 | $225.52 | $494,339.84 |
DisclosureSEC source: 0001741273-26-000017 · wk-form4_1787096590.xml · nonDerivative · entry 1 Dean Lia · CIK 0001741273 · Pres, Banking & Prem. Products 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 63,262 F1 · kind: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 14, 2026, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| April 01, 2026 Filed Apr 3, 2026 20:56 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 1,692 | $185.61 | $314,052.12 |
DisclosureSEC source: 0001741273-26-000015 · wk-form4_1775249809.xml · nonDerivative · entry 1 Dean Lia · CIK 0001741273 · Pres, Banking & Prem. Products 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 65,454 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 14, 2025, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| March 09, 2026 Filed Mar 11, 2026 20:52 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 4,056 | $185.73 | $753,320.88 |
DisclosureSEC source: 0001741273-26-000013 · wk-form4_1773262349.xml · nonDerivative · entry 2 Dean Lia · CIK 0001741273 · Pres, Banking & Prem. Products 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 67,146 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 09, 2026 Filed Mar 11, 2026 20:52 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 8,094 | $0.00 | $0.00 |
DisclosureSEC source: 0001741273-26-000013 · wk-form4_1773262349.xml · nonDerivative · entry 1 Dean Lia · CIK 0001741273 · Pres, Banking & Prem. Products 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 71,202 F1 · kind: These shares were earned pursuant to an award of performance shares granted on January 26, 2023, as amended on November 2, 2023, based on the Company's Common Dividends + Growth of Tangible Book Value per Share and Adjusted ROTCE 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 |
| March 02, 2026 Filed Mar 3, 2026 21:34 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 3,284 | $191.00 | $627,244.00 |
DisclosureSEC source: 0001741273-26-000011 · wk-form4_1772573666.xml · nonDerivative · entry 1 Dean Lia · CIK 0001741273 · Pres, Banking & Prem. Products 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 63,108 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 14, 2025, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction. Read SEC document |
| February 15, 2026 Filed Feb 18, 2026 22:17 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,129 | $207.37 | $234,120.73 |
DisclosureSEC source: 0001741273-26-000009 · wk-form4_1771453077.xml · nonDerivative · entry 3 Dean Lia · CIK 0001741273 · Pres, Banking & Prem. Products 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 66,326 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 4, 2025. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2026 Filed Feb 18, 2026 22:17 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,445 | $207.37 | $299,649.65 |
DisclosureSEC source: 0001741273-26-000009 · wk-form4_1771453077.xml · nonDerivative · entry 2 Dean Lia · CIK 0001741273 · Pres, Banking & Prem. Products 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 67,455 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 1, 2024. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2026 Filed Feb 18, 2026 22:17 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,262 | $207.37 | $261,700.94 |
DisclosureSEC source: 0001741273-26-000009 · wk-form4_1771453077.xml · nonDerivative · entry 1 Dean Lia · CIK 0001741273 · Pres, Banking & Prem. Products 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 68,900 F1 · 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 26, 2023. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 04, 2026 Filed Feb 5, 2026 22:06 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 3,284 | $223.68 | $734,565.12 |
DisclosureSEC source: 0001741273-26-000007 · wk-form4_1770329158.xml · nonDerivative · entry 2 Dean Lia · CIK 0001741273 · Pres, Banking & Prem. Products 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 70,162 F3 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 14, 2025, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| February 03, 2026 Filed Feb 5, 2026 22:06 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 6,682 | $0.00 | $0.00 |
DisclosureSEC source: 0001741273-26-000007 · wk-form4_1770329158.xml · nonDerivative · entry 1 Dean Lia · CIK 0001741273 · Pres, Banking & Prem. Products 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 73,446 F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2027 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock. F2 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction. Read SEC document |
| January 02, 2026 Filed Jan 6, 2026 21:57 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 3,163 | $244.35 | $772,879.05 |
DisclosureSEC source: 0001741273-26-000003 · wk-form4_1767736663.xml · nonDerivative · entry 1 Dean Lia · CIK 0001741273 · Pres, Banking & Prem. Products 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 66,692 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 14, 2025, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| December 01, 2025 Filed Dec 3, 2025 23:09 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 3,269 | $218.15 | $713,132.35 |
DisclosureSEC source: 0001741273-25-000006 · wk-form4_1764803351.xml · nonDerivative · entry 1 Dean Lia · CIK 0001741273 · Pres, Banking & Prem. Products 10b5-1 filing: Plan reported Ownership: Direct Disclosed balance after: 69,855 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 14, 2025, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| June 03, 2025 Filed Jun 5, 2025 21:27 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 12,780 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-25-000209 · wk-form4_1749158818.xml · nonDerivative · entry 1 Dean Lia · CIK 0001741273 · Pres, Banking & Prem. Products 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 73,124 F1 · security: This restricted stock unit award will vest on June 3, 2028. Each restricted stock unit represents a contingent right to receive one share of Company common stock. Read SEC document |
| March 10, 2025 Filed Mar 12, 2025 23:40 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 3,785 | $163.87 | $620,247.95 |
DisclosureSEC source: 0000927628-25-000113 · wk-form4_1741822813.xml · nonDerivative · entry 2 Dean Lia · CIK 0001741273 · Pres, Banking & Prem. Products 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 60,344 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. F3 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction. Read SEC document |
| March 10, 2025 Filed Mar 12, 2025 23:40 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 7,554 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-25-000113 · wk-form4_1741822813.xml · nonDerivative · entry 1 Dean Lia · CIK 0001741273 · Pres, Banking & Prem. Products 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 64,057 F1 · kind: These shares were earned pursuant to an award of performance shares granted on February 3, 2022, as amended on November 2, 2023, based on the Company's Common Dividends + Growth of Tangible Book Value per Share and Adjusted ROTCE 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 15, 2025 Filed Feb 19, 2025 22:45 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,629 | $202.16 | $329,318.64 |
DisclosureSEC source: 0000927628-25-000083 · wk-form4_1740005124.xml · nonDerivative · entry 3 Dean Lia · CIK 0001741273 · Pres, Banking & Prem. Products 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 56,503 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, 2024. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2025 Filed Feb 19, 2025 22:45 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,487 | $202.16 | $300,611.92 |
DisclosureSEC source: 0000927628-25-000083 · wk-form4_1740005124.xml · nonDerivative · entry 2 Dean Lia · CIK 0001741273 · Pres, Banking & Prem. Products 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 58,132 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 January 26, 2023. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2025 Filed Feb 19, 2025 22:45 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,019 | $202.16 | $206,001.04 |
DisclosureSEC source: 0000927628-25-000083 · wk-form4_1740005124.xml · nonDerivative · entry 1 Dean Lia · CIK 0001741273 · Pres, Banking & Prem. Products 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 59,619 F1 · 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 3, 2022. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 04, 2025 Filed Feb 7, 2025 00:07 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 6,758 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-25-000036 · wk-form4_1738886829.xml · nonDerivative · entry 1 Dean Lia · CIK 0001741273 · Pres, Banking & Prem. Products 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 60,638 F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2026 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock. F2 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction. Read SEC document |
| May 01, 2024 Filed May 3, 2024 20:31 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 15,485 | $143.00 | $2,214,355.00 |
DisclosureSEC source: 0000927628-24-000179 · wk-form4_1714768272.xml · nonDerivative · entry 1 Dean Lia · CIK 0001741273 · Pres, Banking & Prem. Products 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 53,810 F1 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction. Read SEC document |
| March 11, 2024 Filed Mar 13, 2024 22:55 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 6,595 | $138.46 | $913,143.70 |
DisclosureSEC source: 0000927628-24-000137 · wk-form4_1710370522.xml · nonDerivative · entry 2 Dean Lia · CIK 0001741273 · Pres, Banking & Prem. Products 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 69,290 F3 · 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 11, 2024 Filed Mar 13, 2024 22:55 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 13,163 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-24-000137 · wk-form4_1710370522.xml · nonDerivative · entry 1 Dean Lia · CIK 0001741273 · Pres, Banking & Prem. Products 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 75,885 F1 · kind: These shares were earned pursuant to a performance share award agreement granted on February 4, 2021, as amended on November 2, 2023, based on the Company's Common Dividends + Growth of Tangible Book Value per Share and Adjusted ROTCE 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 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction. Read SEC document |
| February 15, 2024 Filed Feb 20, 2024 21:09 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,523 | $136.36 | $207,676.28 |
DisclosureSEC source: 0000927628-24-000074 · wk-form4_1708463336.xml · nonDerivative · entry 3 Dean Lia · CIK 0001741273 · Pres, Banking & Prem. Products 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 62,619 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 26, 2023. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2024 Filed Feb 20, 2024 21:09 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,006 | $136.36 | $137,178.16 |
DisclosureSEC source: 0000927628-24-000074 · wk-form4_1708463336.xml · nonDerivative · entry 2 Dean Lia · CIK 0001741273 · Pres, Banking & Prem. Products 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 64,142 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 3, 2022. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2024 Filed Feb 20, 2024 21:09 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 939 | $136.36 | $128,042.04 |
DisclosureSEC source: 0000927628-24-000074 · wk-form4_1708463336.xml · nonDerivative · entry 1 Dean Lia · CIK 0001741273 · Pres, Banking & Prem. Products 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 65,148 F1 · 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, 2021. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 01, 2024 Filed Feb 5, 2024 21:55 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 9,753 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-24-000047 · wk-form4_1707170120.xml · nonDerivative · entry 1 Dean Lia · CIK 0001741273 · Pres, Banking & Prem. Products 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 66,087 F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2025 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock. F2 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction. Read SEC document |
| March 01, 2023 Filed Mar 3, 2023 21:09 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 6,348 | $108.58 | $689,265.84 |
DisclosureSEC source: 0000927628-23-000137 · wf-form4_167787776544064.xml · nonDerivative · entry 2 Dean Lia · CIK 0001741273 · Pres, Banking & Prem. Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,211 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 01, 2023 Filed Mar 3, 2023 21:09 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 12,675 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-23-000137 · wf-form4_167787776544064.xml · nonDerivative · entry 1 Dean Lia · CIK 0001741273 · Pres, Banking & Prem. Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,559 F1 · kind: These shares were earned pursuant to an award of performance shares granted on January 30,2020 based on the Company's Common Dividends + Growth of Tangible Book Value per Share and Adjusted ROTCE 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 15, 2023 Filed Feb 17, 2023 21:09 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,006 | $114.63 | $115,317.78 |
DisclosureSEC source: 0000927628-23-000094 · wf-form4_167666814021579.xml · nonDerivative · entry 3 Dean Lia · CIK 0001741273 · Pres, Banking & Prem. Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,884 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 3, 2022. This is authorized in the applicable restricted stock award agreement. F4 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction. Read SEC document |
| February 15, 2023 Filed Feb 17, 2023 21:09 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 923 | $114.63 | $105,803.49 |
DisclosureSEC source: 0000927628-23-000094 · wf-form4_167666814021579.xml · nonDerivative · entry 2 Dean Lia · CIK 0001741273 · Pres, Banking & Prem. Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,778 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, 2021. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2023 Filed Feb 17, 2023 21:09 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 962 | $114.63 | $110,274.06 |
DisclosureSEC source: 0000927628-23-000094 · wf-form4_167666814021579.xml · nonDerivative · entry 1 Dean Lia · CIK 0001741273 · Pres, Banking & Prem. Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,701 F1 · 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 30, 2020. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| January 26, 2023 Filed Jan 30, 2023 22:12 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 10,770 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-23-000051 · wf-form4_167511672756449.xml · nonDerivative · entry 1 Dean Lia · CIK 0001741273 · Pres, Banking & Prem. Products 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,663 F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2024 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock. F2 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction. Read SEC document |
| March 11, 2022 Filed Mar 15, 2022 20:11 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 5,703 | $130.09 | $741,903.27 |
DisclosureSEC source: 0000927628-22-000129 · wf-form4_164737504558091.xml · nonDerivative · entry 2 Dean Lia · CIK 0001741273 · Pres, Retail Bank & Prem. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,855 F3 · 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 11, 2022 Filed Mar 15, 2022 20:11 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 11,814 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-22-000129 · wf-form4_164737504558091.xml · nonDerivative · entry 1 Dean Lia · CIK 0001741273 · Pres, Retail Bank & Prem. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,558 F1 · security: These shares were earned pursuant to an award of performance shares granted on January 31, 2019 based on the Company's Common Dividends + Growth of Tangible Book Value per Share and Adjusted ROTCE 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 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction. Read SEC document |
| February 15, 2022 Filed Feb 17, 2022 21:15 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,044 | $158.89 | $165,881.16 |
DisclosureSEC source: 0000927628-22-000095 · wf-form4_164513252262595.xml · nonDerivative · entry 3 Dean Lia · CIK 0001741273 · Pres, Retail Bank & Prem. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,668 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 4, 2021. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2022 Filed Feb 17, 2022 21:15 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 896 | $158.89 | $142,365.44 |
DisclosureSEC source: 0000927628-22-000095 · wf-form4_164513252262595.xml · nonDerivative · entry 2 Dean Lia · CIK 0001741273 · Pres, Retail Bank & Prem. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,712 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 January 30, 2020. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2022 Filed Feb 17, 2022 21:15 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 694 | $158.89 | $110,269.66 |
DisclosureSEC source: 0000927628-22-000095 · wf-form4_164513252262595.xml · nonDerivative · entry 1 Dean Lia · CIK 0001741273 · Pres, Retail Bank & Prem. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,608 F1 · 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 03, 2022 Filed Feb 7, 2022 21:31 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 8,605 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-22-000047 · wf-form4_164426948578822.xml · nonDerivative · entry 1 Dean Lia · CIK 0001741273 · Pres, Retail Bank & Prem. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,302 F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2023 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock. F2 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction. Read SEC document |
| February 15, 2021 Filed Feb 17, 2021 21:31 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 895 | $117.75 | $105,386.25 |
DisclosureSEC source: 0000927628-21-000066 · wf-form4_161359745704859.xml · nonDerivative · entry 3 Dean Lia · CIK 0001741273 · Pres, Retail Bank & Prem. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,470 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 30, 2020. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2021 Filed Feb 17, 2021 21:31 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 696 | $117.75 | $81,954.00 |
DisclosureSEC source: 0000927628-21-000066 · wf-form4_161359745704859.xml · nonDerivative · entry 2 Dean Lia · CIK 0001741273 · Pres, Retail Bank & Prem. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,365 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 January 31, 2019. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2021 Filed Feb 17, 2021 21:31 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 471 | $117.75 | $55,460.25 |
DisclosureSEC source: 0000927628-21-000066 · wf-form4_161359745704859.xml · nonDerivative · entry 1 Dean Lia · CIK 0001741273 · Pres, Retail Bank & Prem. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,061 F1 · 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 04, 2021 Filed Feb 8, 2021 22:08 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 7,892 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-21-000040 · wf-form4_161282208810102.xml · nonDerivative · entry 1 Dean Lia · CIK 0001741273 · Pres, Retail Bank & Prem. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,532 F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2022 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock. F2 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction. Read SEC document |
| February 15, 2020 Filed Feb 20, 2020 00:24 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,010 | $102.64 | $103,666.40 |
DisclosureSEC source: 0000927628-20-000083 · wf-form4_158215824235733.xml · nonDerivative · entry 3 Dean Lia · CIK 0001741273 · Head of Bank Mktg and Retail 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,276 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 00:24 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 568 | $102.64 | $58,299.52 |
DisclosureSEC source: 0000927628-20-000083 · wf-form4_158215824235733.xml · nonDerivative · entry 2 Dean Lia · CIK 0001741273 · Head of Bank Mktg and Retail 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,286 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 00:24 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 462 | $102.64 | $47,419.68 |
DisclosureSEC source: 0000927628-20-000083 · wf-form4_158215824235733.xml · nonDerivative · entry 1 Dean Lia · CIK 0001741273 · Head of Bank Mktg and Retail 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,854 F1 · 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. F2 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction. Read SEC document |
| January 30, 2020 Filed Feb 3, 2020 21:55 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 8,075 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000045 · wf-form4_158076693125537.xml · nonDerivative · entry 1 Dean Lia · CIK 0001741273 · Head of Bank Mktg and Retail 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,196 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. F2 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 21:51 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 511 | $81.57 | $41,682.27 |
DisclosureSEC source: 0000927628-19-000105 · wf-form4_155069947889520.xml · nonDerivative · entry 3 Dean Lia · CIK 0001741273 · Head of Bank Mktg and Retail 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,857 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 1, 2018. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 21:51 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 465 | $81.57 | $37,930.05 |
DisclosureSEC source: 0000927628-19-000105 · wf-form4_155069947889520.xml · nonDerivative · entry 2 Dean Lia · CIK 0001741273 · Head of Bank Mktg and Retail 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,368 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 2, 2017. This is authorized in the applicable restricted stock award agreement. 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.