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 |
|---|---|---|---|---|---|---|
| January 29, 2009 Filed Feb 4, 2009 22:32 UTC Amendment | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 117,752 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-09-003003 · doc4a.xml · nonDerivative · entry 1 Pike Lynn A · CIK 0001397863 · President, Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 148,978 F1 · security: The reporting person is filing this amendment to reflect different amounts with respect to the grants reported on the original Form 4. The reporting person's total beneficial holdings remain the same. F2 · shares: This restricted stock will vest in 33 1/3 increments beginning on January 29, 2010 and annually thereafter. Read SEC document |
| April 26, 2008 Filed Apr 29, 2008 21:55 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 2,105 | $49.92 | $105,081.60 |
DisclosureSEC source: 0001225208-08-007295 · doc4.xml · nonDerivative · entry 1 Pike Lynn A · CIK 0001397863 · President, Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,226 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, 2008 Filed Feb 26, 2008 02:58 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantStock Options · Derivative | 92,940 | $0.00 Strike: $48.95 | $0.00 |
DisclosureSEC source: 0001181431-08-013530 · rrd196902.xml · derivative · entry 2 Pike Lynn A · CIK 0001397863 · President, Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,940 Underlying: Common Stock · 92,940 shares Expires 2018-02-20 F2 · derivative.exercise_date: This option becomes exercisable in 33 1/3 increments beginning on February 21, 2009 and annually thereafter. Read SEC document |
| February 21, 2008 Filed Feb 26, 2008 02:58 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 13,850 | $0.00 | $0.00 |
DisclosureSEC source: 0001181431-08-013530 · rrd196902.xml · nonDerivative · entry 1 Pike Lynn A · CIK 0001397863 · President, Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,331 F1 · security: This grant of restricted stock is contingent upon the achievement by the issuer of a predetermined earnings per share for 2007. The shares vest in the following manner: 25% of the shares will vest on February 21, 2009; 25% will vest on February 21, 2010 and the remaining 50% will vest on February 21, 201 1. Read SEC document |
| December 10, 2007 Filed Dec 12, 2007 22:30 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantPerformance Share Units · Derivative | 37,010 | $0.00 Strike: $54.05 | $0.00 |
DisclosureSEC source: 0000927628-07-000056 · pik1087.xml · derivative · entry 1 Pike Lynn A · CIK 0001397863 · COO, Banking Segment 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,010 Underlying: Common Stock · 37,010 shares Expires 2011-03-15 F1 · derivative.exercise_date: The performance shares may be issuable at the end of a three-year performance period (January 1, 2008 to December 31, 2010) based on the Company's total shareholder return as compared to the total shareholder return for a peer group of companies. Read SEC document |
| April 26, 2007 Filed Apr 30, 2007 19:11 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantEmployee Stock Option (Right to Buy) · Derivative | 102,583 | $0.00 Strike: $73.20 | $0.00 |
DisclosureSEC source: 0001181431-07-028013 · rrd156142.xml · derivative · entry 2 Pike Lynn A · CIK 0001397863 · COO, Banking Segment 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102,583 Underlying: Common Stock · 102,583 shares Expires 2017-04-25 F2 · derivative.exercise_date: This option becomes exercisable in 33 1/3 increments beginning on the first anniversary of the date of grant, and annually from that date thereafter. Read SEC document |
| April 26, 2007 Filed Apr 30, 2007 19:11 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 19,481 | $0.00 | $0.00 |
DisclosureSEC source: 0001181431-07-028013 · rrd156142.xml · nonDerivative · entry 1 Pike Lynn A · CIK 0001397863 · COO, Banking Segment 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,481 F1 · security: This grant of restricted stock will vest in the following manner: 25% will vest on April 26, 2008, 25% will vest on April 26, 2009, and 50% will vest on April 26, 2010. 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.