Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| AMERICAN EXPRESS COAXP · Entity 2839 | Director | May 05, 2026 | May 07, 2026 |
| CAPITAL ONE FINANCIAL CORPCOF · Entity 547 | President, Banking | December 15, 2011 | December 19, 2011 |
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.
AMERICAN EXPRESS CO
Report date May 05, 2026 · Filed May 07, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Share Equivalent UnitsSEC Table II · derivative / convertible security | Direct | 9,256.498 |
Reported balance
After 2026-05-05 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2026-05-05 · Grant · Acquired 742.115 · Balance 9,256.498 F1: Each Share Equivalent Unit reflects the value of one common share. F2: The reported Share Equivalent Units were acquired pursuant to the Directors' Deferred Compensation Plan and will be settled in cash following termination of service as a Director. F3: The Share Equivalent Units are convertible immediately upon termination of service as a Director and have no expiration date. F4: Includes Share Equivalent Units acquired pursuant to a dividend reinvestment feature of the Directors' Deferred Compensation Plan and/or the 2003 Share Equivalent Unit Plan for Directors. |
Filing footnotes · ownership attribution and instrument terms
F1: Each Share Equivalent Unit reflects the value of one common share.
F2: The reported Share Equivalent Units were acquired pursuant to the Directors' Deferred Compensation Plan and will be settled in cash following termination of service as a Director.
F3: The Share Equivalent Units are convertible immediately upon termination of service as a Director and have no expiration date.
F4: Includes Share Equivalent Units acquired pursuant to a dividend reinvestment feature of the Directors' Deferred Compensation Plan and/or the 2003 Share Equivalent Unit Plan for Directors.
CAPITAL ONE FINANCIAL CORP
Report date December 15, 2011 · Filed December 19, 2011
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 136,904 |
Reported balance
After 2011-12-15 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2011-12-15 · Exercise / conversion · Acquired 19,160 · Balance 136,904 F1: On December 15, 2011, 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. |
| Common StockSEC Table I · non-derivative | Direct | 117,744 |
Reported balance
After 2011-12-15 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2011-12-15 · Disposition to issuer · Disposed 19,160 · Balance 117,744 F2: Excludes 7,801 shares previously owned directly which were transfered into a family trust on October 26, 2011. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 · Expires 2011-12-15 | Direct | 0 |
Reported balance
After 2011-12-15 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2011-12-15 · Exercise / conversion · Disposed 19,160 · Balance 0 F1: On December 15, 2011, 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. |
| Common StockSEC Table I · non-derivative | IndirectBy Trust | 7,801 |
Reported balance
Holding disclosure · report date 2011-12-15 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 7,801 |
Filing footnotes · ownership attribution and instrument terms
F1: On December 15, 2011, 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.
F2: Excludes 7,801 shares previously owned directly which were transfered into a family trust on October 26, 2011.
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 |
|---|---|---|---|---|---|---|
| May 05, 2026 Filed May 7, 2026 20:19 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GrantShare Equivalent Units · Derivative | 742.115 | $0.00 | $0.00 |
DisclosureSEC source: 0000004962-26-000233 · form4.xml · derivative · entry 1 Pike Lynn Ann · CIK 0001397863 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 9,256.498 Underlying: Common Stock · 742.115 shares Expires not disclosed F1 · derivative.exercise_price: Each Share Equivalent Unit reflects the value of one common share. F2 · kind: The reported Share Equivalent Units were acquired pursuant to the Directors' Deferred Compensation Plan and will be settled in cash following termination of service as a Director. F3 · derivative.exercise_date: The Share Equivalent Units are convertible immediately upon termination of service as a Director and have no expiration date. F3 · derivative.expiration_date: The Share Equivalent Units are convertible immediately upon termination of service as a Director and have no expiration date. F4 · balance_after: Includes Share Equivalent Units acquired pursuant to a dividend reinvestment feature of the Directors' Deferred Compensation Plan and/or the 2003 Share Equivalent Unit Plan for Directors. Read SEC document |
| April 29, 2025 Filed May 1, 2025 21:57 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GrantShare Equivalent Units · Derivative | 948.467 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-25-013030 · form4.xml · derivative · entry 1 Pike Lynn Ann · CIK 0001397863 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 8,431.438 Underlying: Common Stock · 948.467 shares Expires not disclosed F1 · derivative.exercise_price: Each Share Equivalent Unit reflects the value of one common share. F2 · kind: The reported Share Equivalent Units were awarded pursuant to the Company's 2003 Share Equivalent Unit Plan for Directors and will be settled in cash following termination of service as a Director. F3 · derivative.exercise_date: The Share Equivalent Units are convertible immediately upon termination of service as a Director and have no expiration date. F3 · derivative.expiration_date: The Share Equivalent Units are convertible immediately upon termination of service as a Director and have no expiration date. F4 · balance_after: Includes Share Equivalent Units acquired pursuant to a dividend reinvestment feature of the Directors' Deferred Compensation Plan and/or the 2003 Share Equivalent Unit Plan for Directors. Read SEC document |
| May 06, 2024 Filed May 8, 2024 19:48 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GrantShare Equivalent Units · Derivative | 955.276 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-24-014566 · form4.xml · derivative · entry 1 Pike Lynn Ann · CIK 0001397863 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 7,306.351 Underlying: Common Stock · 955.276 shares Expires not disclosed F1 · derivative.exercise_price: Each Share Equivalent Unit reflects the value of one common share. F2 · kind: The reported Share Equivalent Units were awarded pursuant to the Company's 2003 Share Equivalent Unit Plan for Directors and will be settled in cash following termination of service as a Director. F3 · derivative.exercise_date: The Share Equivalent Units are convertible immediately upon termination of service as a Director and have no expiration date. F3 · derivative.expiration_date: The Share Equivalent Units are convertible immediately upon termination of service as a Director and have no expiration date. F4 · balance_after: Includes Share Equivalent Units acquired pursuant to a dividend reinvestment feature of the Directors' Deferred Compensation Plan and/or the 2003 Share Equivalent Unit Plan for Directors. Read SEC document |
| May 02, 2023 Filed May 4, 2023 20:19 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GrantShare Equivalent Units · Derivative | 1,364.595 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-23-014475 · form4.xml · derivative · entry 1 Pike Lynn Ann · CIK 0001397863 · Director 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,351.075 Underlying: Common Stock · 1,364.595 shares Expires not disclosed F1 · derivative.exercise_price: The reported Share Equivalent Units were awarded pursuant to the Company's 2003 Share Equivalent Unit Plan for Directors and will be settled in cash following termination of service as a Director. F2 · kind: The reported Share Equivalent Units were awarded pursuant to the Company's 2003 Share Equivalent Unit Plan for Directors and will be settled in cash following termination of service as a Director. F3 · derivative.exercise_date: The Share Equivalent Units are convertible immediately upon termination of service as a Director and have no expiration date. F3 · derivative.expiration_date: The Share Equivalent Units are convertible immediately upon termination of service as a Director and have no expiration date. F4 · balance_after: Includes Share Equivalent Units acquired pursuant to a dividend reinvestment feature of the Directors' Deferred Compensation Plan and/or the 2003 Share Equivalent Unit Plan for Directors. Read SEC document |
| May 03, 2022 Filed May 5, 2022 20:23 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GrantShare Equivalent Units · Derivative | 1,218.1617 | $0.00 | $0.00 |
DisclosureSEC source: 0001127602-22-013482 · form4.xml · derivative · entry 1 Pike Lynn Ann · CIK 0001397863 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,909.2411 Underlying: Common Stock · 1,218.1617 shares Expires not disclosed F1 · derivative.exercise_price: Each Share Equivalent Unit reflects the value of one common share. F2 · kind: The reported Share Equivalent Units were awarded pursuant to the Company's 2003 Share Equivalent Unit Plan for Directors and will be settled in cash following termination of service as a Director. F3 · derivative.exercise_date: The Share Equivalent Units are convertible immediately upon termination of service as a Director and have no expiration date. F3 · derivative.expiration_date: The Share Equivalent Units are convertible immediately upon termination of service as a Director and have no expiration date. F4 · balance_after: Includes Share Equivalent Units acquired pursuant to a dividend reinvestment feature of the Directors' Deferred Compensation Plan and/or the 2003 Share Equivalent Unit Plan for Directors. Read SEC document |
| May 04, 2021 Filed May 6, 2021 18:56 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GrantShare Equivalent Units · Derivative | 1,339.136 | $149.35 | $199,999.96 |
DisclosureSEC source: 0001127602-21-015680 · form4.xml · derivative · entry 1 Pike Lynn Ann · CIK 0001397863 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,691.0794 Underlying: Common Stock · 1,339.136 shares Expires not disclosed F1 · derivative.exercise_price: Each Share Equivalent Unit reflects the value of one common share. F2 · kind: The reported Share Equivalent Units were awarded pursuant to the Company's 2003 Share Equivalent Unit Plan for Directors and will be settled in cash following termination of service as a Director. F3 · derivative.exercise_date: The Share Equivalent Units are convertible immediately and have no expiration date. F3 · derivative.expiration_date: The Share Equivalent Units are convertible immediately and have no expiration date. F4 · balance_after: Includes Share Equivalent Units acquired pursuant to a dividend reinvestment feature of the Directors' Deferred Compensation Plan and/or the 2003 Share Equivalent Unit Plan for Directors. Read SEC document |
| May 05, 2020 Filed May 7, 2020 19:03 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | GrantShare Equivalent Units · Derivative | 2,325.58 | $86.00 | $199,999.88 |
DisclosureSEC source: 0001127602-20-015724 · form4.xml · derivative · entry 1 Pike Lynn Ann · CIK 0001397863 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,325.58 Underlying: Common Stock · 2,325.58 shares Expires not disclosed F1 · derivative.exercise_price: Each Share Equivalent Unit reflects the value of one common share. F2 · kind: The reported Share Equivalent Units were awarded pursuant to the Company's 2003 Share Equivalent Unit Plan for Directors and will be settled in cash following termination of service as a Director. F3 · derivative.exercise_date: The Share Equivalent Units are convertible immediately and have no expiration date. F3 · derivative.expiration_date: The Share Equivalent Units are convertible immediately and have no expiration date. Read SEC document |
| February 11, 2020 Filed Feb 13, 2020 20:37 UTC | AMERICAN EXPRESS CO AXP · Entity 2839 | PurchaseCommon Stock | 1,000 | $132.87 | $132,870.00 |
DisclosureSEC source: 0001127602-20-005267 · form4.xml · nonDerivative · entry 1 Pike Lynn Ann · CIK 0001397863 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,065 Read SEC document |
| December 15, 2011 Filed Dec 19, 2011 22:03 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionRestricted Stock Units · Derivative | 19,160 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001225208-11-026615 · doc4.xml · derivative · entry 4 Carter Lynn Ann · CIK 0001397863 · President, Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 19,160 shares Expires 2011-12-15 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, 2011, 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, 2011, 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, 2011 Filed Dec 19, 2011 22:03 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 19,160 | $43.41 | $831,735.60 |
DisclosureSEC source: 0001225208-11-026615 · doc4.xml · nonDerivative · entry 2 Carter Lynn Ann · CIK 0001397863 · President, Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 117,744 F2 · balance_after: Excludes 7,801 shares previously owned directly which were transfered into a family trust on October 26, 2011. Read SEC document |
| December 15, 2011 Filed Dec 19, 2011 22:03 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 19,160 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-11-026615 · doc4.xml · nonDerivative · entry 1 Carter Lynn Ann · CIK 0001397863 · President, Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 136,904 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, 2011, 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 |
| April 27, 2011 Filed Apr 29, 2011 21:09 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 90,595 | $0.00 Strike: $18.28 | $0.00 |
DisclosureSEC source: 0001225208-11-012593 · doc4.xml · derivative · entry 3 Carter Lynn Ann · CIK 0001397863 · President, Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 181,193 Underlying: Common Stock · 90,595 shares Expires 2019-01-28 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: This option is exercisable in 1/3 increments beginning on January 29, 2010 and annually thereafter. Read SEC document |
| April 27, 2011 Filed Apr 29, 2011 21:09 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 90,595 | $55.52 | $5,029,834.40 |
DisclosureSEC source: 0001225208-11-012593 · doc4.xml · nonDerivative · entry 2 Carter Lynn Ann · CIK 0001397863 · President, Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,545 F1 · price: These shares were sold at prices ranging from $55.42 to $55.63. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| April 27, 2011 Filed Apr 29, 2011 21:09 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 90,595 | $18.28 | $1,656,076.60 |
DisclosureSEC source: 0001225208-11-012593 · doc4.xml · nonDerivative · entry 1 Carter Lynn Ann · CIK 0001397863 · President, Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 216,140 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. Read SEC document |
| February 23, 2011 Filed Feb 23, 2011 21:34 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 3,448 | $50.77 | $175,054.96 |
DisclosureSEC source: 0001225208-11-006864 · doc4.xml · nonDerivative · entry 2 Carter Lynn Ann · CIK 0001397863 · President, Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,545 F2 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 11, 2010, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| February 21, 2011 Filed Feb 23, 2011 21:34 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 3,478 | $52.69 | $183,255.82 |
DisclosureSEC source: 0001225208-11-006864 · doc4.xml · nonDerivative · entry 1 Carter Lynn Ann · CIK 0001397863 · President, Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 128,993 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 21, 2008. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 02, 2011 Filed Feb 2, 2011 21:46 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 19,538 | $49.36 | $964,395.68 |
DisclosureSEC source: 0001225208-11-004610 · doc4.xml · nonDerivative · entry 1 Carter Lynn Ann · CIK 0001397863 · President, Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,471 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 11, 2010, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: These shares were sold at prices ranging from $49.08 to $49.57. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| January 31, 2011 Filed Jan 31, 2011 21:42 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 3,000 | $48.49 | $145,470.00 |
DisclosureSEC source: 0001225208-11-004250 · doc4.xml · nonDerivative · entry 4 Carter Lynn Ann · CIK 0001397863 · President, Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 152,009 F3 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 11, 2010, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| January 31, 2011 Filed Jan 31, 2011 21:42 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 2,106 | $48.43 | $101,993.58 |
DisclosureSEC source: 0001225208-11-004250 · doc4.xml · nonDerivative · entry 3 Carter Lynn Ann · CIK 0001397863 · President, Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 155,009 F3 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 11, 2010, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| January 29, 2011 Filed Jan 31, 2011 21:42 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 19,712 | $48.24 | $950,906.88 |
DisclosureSEC source: 0001225208-11-004250 · doc4.xml · nonDerivative · entry 2 Carter Lynn Ann · CIK 0001397863 · President, Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 157,115 F2 · 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 January 29, 2009. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| January 27, 2011 Filed Jan 31, 2011 21:42 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 5,153 | $48.40 | $249,405.20 |
DisclosureSEC source: 0001225208-11-004250 · doc4.xml · nonDerivative · entry 1 Carter Lynn Ann · CIK 0001397863 · President, Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 176,827 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 January 27, 2010. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| January 26, 2011 Filed Jan 28, 2011 22:14 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantStock Options · Derivative | 71,821 | $0.00 Strike: $48.28 | $0.00 |
DisclosureSEC source: 0001225208-11-004164 · doc4.xml · derivative · entry 9 Carter Lynn Ann · CIK 0001397863 · President, Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,821 Underlying: Common Stock · 71,821 shares Expires 2021-01-25 F9 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on January 26, 2012 and annually thereafter. Read SEC document |
| January 26, 2011 Filed Jan 28, 2011 22:14 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantRestricted Stock Units · Derivative | 19,160 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-11-004164 · doc4.xml · derivative · entry 8 Carter Lynn Ann · CIK 0001397863 · President, Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,160 Underlying: Common Stock · 19,160 shares Expires 2011-12-15 F7 · derivative.exercise_price: Each restricted stock unit will be settled in cash based on the Company's average fair market value of the underlying shares of common stock over the twenty trading days preceding the vesting date. Read SEC document |
| January 26, 2011 Filed Jan 28, 2011 22:14 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantRestricted Stock Units · Derivative | 27,186 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-11-004164 · doc4.xml · derivative · entry 7 Carter Lynn Ann · CIK 0001397863 · President, Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,186 Underlying: Common Stock · 27,186 shares Expires not disclosed F7 · 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. F8 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on January 26, 2012 and annually thereafter. F8 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on January 26, 2012 and annually thereafter. Read SEC document |
| January 26, 2011 Filed Jan 28, 2011 22:14 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantPerformance Share Units · Derivative | 16,572 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-11-004164 · doc4.xml · derivative · entry 6 Carter Lynn Ann · CIK 0001397863 · President, Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,572 Underlying: Common Stock · 16,572 shares Expires not disclosed F6 · derivative.exercise_price: These performance shares are settled at the end of a three-year performance period (January 1, 2011 to December 31, 2013) based on the Company's relative and absolute cash return on average tangible assets against a peer group of companies. The number of shares reported represents 200% of the target award amount. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable atsettlement. F6 · derivative.exercise_date: These performance shares are settled at the end of a three-year performance period (January 1, 2011 to December 31, 2013) based on the Company's relative and absolute cash return on average tangible assets against a peer group of companies. The number of shares reported represents 200% of the target award amount. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable atsettlement. F6 · derivative.expiration_date: These performance shares are settled at the end of a three-year performance period (January 1, 2011 to December 31, 2013) based on the Company's relative and absolute cash return on average tangible assets against a peer group of companies. The number of shares reported represents 200% of the target award amount. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable atsettlement. Read SEC document |
| January 26, 2011 Filed Jan 28, 2011 22:14 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2007 Performance Share Units · Derivative | 37,010 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-11-004164 · doc4.xml · derivative · entry 5 Carter Lynn Ann · CIK 0001397863 · President, Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 37,010 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_price: These performance share units for the December 10, 2007 grant were settled at the end of a three-year performance period based on the Company's total shareholder return as compared to the total shareholder return of a peer group of companies. F5 · derivative.exercise_date: These performance share units for the December 10, 2007 grant were settled at the end of a three-year performance period based on the Company's total shareholder return as compared to the total shareholder return of a peer group of companies. F5 · derivative.expiration_date: These performance share units for the December 10, 2007 grant were settled at the end of a three-year performance period based on the Company's total shareholder return as compared to the total shareholder return of a peer group of companies. Read SEC document |
| January 26, 2011 Filed Jan 28, 2011 22:14 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 28,321 | $48.28 | $1,367,337.88 |
DisclosureSEC source: 0001225208-11-004164 · doc4.xml · nonDerivative · entry 4 Carter Lynn Ann · CIK 0001397863 · President, Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 181,980 F4 · kind: These shares are automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares for the December 10, 2007 grant. This is authorized in the performance share award agreement. Read SEC document |
| January 26, 2011 Filed Jan 28, 2011 22:14 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 23,391 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-11-004164 · doc4.xml · nonDerivative · entry 3 Carter Lynn Ann · CIK 0001397863 · President, Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 210,301 F3 · security: The performance shares for the December 10, 2007 grant were reported at 100% target. These shares represent the number of additional shares paid out based on actual performance plus the dividend shares accrued under the same grant. Read SEC document |
| January 26, 2011 Filed Jan 28, 2011 22:14 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 25,891 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-11-004164 · doc4.xml · nonDerivative · entry 2 Carter Lynn Ann · CIK 0001397863 · President, Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 186,910 F2 · security: This restricted stock will vest in 1/3 increments beginning on January 26, 2012 and annually thereafter. Read SEC document |
| January 26, 2011 Filed Jan 28, 2011 22:14 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 37,010 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-11-004164 · doc4.xml · nonDerivative · entry 1 Carter Lynn Ann · CIK 0001397863 · President, Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 161,019 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: These performance shares for the December 10, 2007 grant were settled at the end of a three-year performance period based on the Company's total shareholder return as compared to the total shareholder return of a peer group of companies. Read SEC document |
| December 31, 2010 Filed Jan 5, 2011 00:32 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionRestricted Stock Units · Derivative | 20,520 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001225208-11-000805 · doc4.xml · derivative · entry 3 Carter Lynn Ann · CIK 0001397863 · President, Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,520 shares Expires 2010-12-31 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit is settled in cash at $41.23 representing the Company's average stock price over the twenty trading days preceding the vesting date. F1 · price: Each restricted stock unit is settled in cash at $41.23 representing the Company's average stock price over the twenty trading days preceding the vesting date. Read SEC document |
| December 31, 2010 Filed Jan 5, 2011 00:32 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 20,520 | $41.23 | $846,039.60 |
DisclosureSEC source: 0001225208-11-000805 · doc4.xml · nonDerivative · entry 2 Carter Lynn Ann · CIK 0001397863 · President, Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124,009 Read SEC document |
| December 31, 2010 Filed Jan 5, 2011 00:32 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 20,520 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-11-000805 · doc4.xml · nonDerivative · entry 1 Carter Lynn Ann · CIK 0001397863 · President, Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 144,529 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit is settled in cash at $41.23 representing the Company's average stock price over the twenty trading days preceding the vesting date. Read SEC document |
| May 11, 2010 Filed May 13, 2010 20:07 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 4,849 | $44.19 | $214,277.31 |
DisclosureSEC source: 0001225208-10-012845 · doc4.xml · nonDerivative · entry 1 Pike Lynn A · CIK 0001397863 · President, Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124,009 Read SEC document |
| April 26, 2010 Filed Apr 28, 2010 20:03 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 4,892 | $45.24 | $221,314.08 |
DisclosureSEC source: 0001225208-10-011167 · doc4.xml · nonDerivative · entry 1 Pike Lynn A · CIK 0001397863 · President, Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 128,858 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 April 26, 2007. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 26, 2010 Filed Mar 3, 2010 01:15 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 1,723 | $37.28 | $64,233.44 |
DisclosureSEC source: 0001225208-10-006749 · doc4.xml · nonDerivative · entry 1 Pike Lynn A · CIK 0001397863 · President, Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 133,750 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 12, 2009, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| February 21, 2010 Filed Feb 23, 2010 21:51 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,739 | $37.79 | $65,716.81 |
DisclosureSEC source: 0001225208-10-005363 · doc4.xml · nonDerivative · entry 1 Pike Lynn A · CIK 0001397863 · President, Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 135,473 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 21, 2008. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 04, 2010 Filed Feb 4, 2010 21:42 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 22,251 | $36.13 | $803,928.63 |
DisclosureSEC source: 0001225208-10-003498 · doc4.xml · nonDerivative · entry 1 Pike Lynn A · CIK 0001397863 · President, Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 137,212 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 12, 2009, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: These shares were sold at prices ranging from $36.01 to $36.30. Information regarding the number of shares sold at each separate price will be provided upon request. Read SEC document |
| January 29, 2010 Filed Feb 2, 2010 21:30 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 16,999 | $36.86 | $626,583.14 |
DisclosureSEC source: 0001225208-10-003120 · doc4.xml · nonDerivative · entry 1 Pike Lynn A · CIK 0001397863 · President, Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 159,463 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 January 29, 2009. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| January 27, 2010 Filed Jan 30, 2010 00:35 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantRestricted Stock Units · Derivative | 20,520 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-10-002686 · doc4.xml · derivative · entry 2 Pike Lynn A · CIK 0001397863 · President, Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,520 Underlying: Common Stock · 20,520 shares Expires 2010-12-31 F2 · derivative.exercise_price: Each restricted stock unit will be settled in cash based on the Company's average stock price over the twenty trading days preceding the vesting date. F3 · derivative.exercise_date: The restricted stock units will vest in full on December 31, 2010. Read SEC document |
| January 27, 2010 Filed Jan 30, 2010 00:35 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 30,780 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-10-002686 · doc4.xml · nonDerivative · entry 1 Pike Lynn A · CIK 0001397863 · President, Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 176,462 F1 · security: This restricted stock will vest in 33 1/3 increments beginning on January 27, 2011 and annually thereafter. Read SEC document |
| July 30, 2009 Filed Aug 3, 2009 20:05 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 21,988 | $30.46 | $669,754.48 |
DisclosureSEC source: 0001225208-09-016526 · doc4.xml · nonDerivative · entry 1 Pike Lynn A · CIK 0001397863 · President, Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 145,682 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on February 11, 2009, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: These shares were sold at prices ranging from $30.33 to $30.55. Information regarding the number of shares sold at each separate price will be provided upon request. Read SEC document |
| July 29, 2009 Filed Jul 30, 2009 21:05 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 17,263 | $29.71 | $512,883.73 |
DisclosureSEC source: 0001225208-09-016301 · doc4.xml · nonDerivative · entry 1 Pike Lynn A · CIK 0001397863 · President, Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 167,670 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 January 29, 2009. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| April 26, 2009 Filed Apr 28, 2009 20:40 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,849 | $19.02 | $35,167.98 |
DisclosureSEC source: 0001225208-09-010871 · doc4.xml · nonDerivative · entry 1 Pike Lynn A · CIK 0001397863 · President, Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 184,933 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 April 26, 2007. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 21, 2009 Filed Feb 24, 2009 23:10 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,447 | $9.43 | $13,645.21 |
DisclosureSEC source: 0001225208-09-004759 · doc4.xml · nonDerivative · entry 1 Pike Lynn A · CIK 0001397863 · President, Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 186,782 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 21, 2008. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| January 29, 2009 Filed Feb 3, 2009 01:18 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantStock Options · Derivative | 271,788 | $0.00 Strike: $18.28 | $0.00 |
DisclosureSEC source: 0001225208-09-002554 · doc4.xml · derivative · entry 4 Pike Lynn A · CIK 0001397863 · President, Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 271,788 Underlying: Common Stock · 271,788 shares Expires 2019-01-28 F6 · derivative.exercise_date: This option becomes exercisable in 33 1/3 increments beginning on January 29, 2010 and annually thereafter. Read SEC document |
| January 29, 2009 Filed Feb 3, 2009 01:18 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantPerformance Share Units · Derivative | 48,016 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-09-002554 · doc4.xml · derivative · entry 3 Pike Lynn A · CIK 0001397863 · President, Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,016 Underlying: Common Stock · 48,016 shares Expires 2012-03-15 F3 · derivative.exercise_price: Each performance unit represents the right to receive one performance share upon satisfaction of the performance conditions. F4 · shares: The number of performance units shown represents the maximum number of performance shares that may be issuable at the end of the performance period. F5 · derivative.exercise_date: The performance shares may be issuable at the end of a three-year performance period (January 1, 2009 to December 31, 2011) based on the Company's total shareholder return as compared to the total shareholder return for a peer group of companies. Read SEC document |
| January 29, 2009 Filed Feb 3, 2009 01:18 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 18,566 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-09-002554 · doc4.xml · nonDerivative · entry 2 Pike Lynn A · CIK 0001397863 · President, Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 188,229 F2 · security: This restricted stock will vest on July 29, 2009. Read SEC document |
| January 29, 2009 Filed Feb 3, 2009 01:18 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 138,437 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-09-002554 · doc4.xml · nonDerivative · entry 1 Pike Lynn A · CIK 0001397863 · President, Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 169,663 F1 · security: This restricted stock will vest in 33 1/3 increments beginning on January 29, 2010 and annually thereafter. Read SEC document |
| January 29, 2009 Filed Feb 4, 2009 22:32 UTC Amendment | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 39,251 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-09-003003 · doc4a.xml · nonDerivative · entry 2 Pike Lynn A · CIK 0001397863 · President, Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 188,229 F3 · shares: This restricted stock will vest on July 29, 2009. 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.