Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CAPITAL ONE FINANCIAL CORPCOF · Entity 547 | Chief Information Officer | March 09, 2026 | March 11, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
CAPITAL ONE FINANCIAL CORP
Report date March 09, 2026 · Filed March 11, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 77,292 |
Ending reported balance
After 2026-03-09 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2026-03-09 · Grant · Acquired 9,957 · Balance 81,783 F1: 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. Row 2 · 2026-03-09 · Tax withholding · Disposed 4,491 · Balance 77,292 F2: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement. |
| Common StockSEC Table I · non-derivative | IndirectThe Alexander Fund | 100 |
Reported balance
Holding disclosure · report date 2026-03-09 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 100 |
| Common StockSEC Table I · non-derivative | IndirectRobert M. Alexander UGMA | 2 |
Reported balance
Holding disclosure · report date 2026-03-09 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 2 |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
F2: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 11, 2021 Filed Mar 15, 2021 21:18 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 5,636 | $132.10 | $744,515.60 |
DisclosureSEC source: 0000927628-21-000134 · wf-form4_161584311665816.xml · nonDerivative · entry 2 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,544 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 11, 2021 Filed Mar 15, 2021 21:18 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 12,496 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-21-000134 · wf-form4_161584311665816.xml · nonDerivative · entry 1 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,180 F1 · security: These shares were earned pursuant to an award of performance shares granted on February 1, 2018 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 04, 2021 Filed Mar 8, 2021 22:07 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 27,266 | $0.00 Strike: $74.96 | $0.00 |
DisclosureSEC source: 0000927628-21-000111 · wf-form4_161524124184511.xml · derivative · entry 9 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 27,266 shares Expires 2025-01-28 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. F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on February 2, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F6 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on February 15, 2016 and annually thereafter. Read SEC document |
| March 04, 2021 Filed Mar 8, 2021 22:07 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 24,445 | $0.00 Strike: $70.96 | $0.00 |
DisclosureSEC source: 0000927628-21-000111 · wf-form4_161524124184511.xml · derivative · entry 8 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 24,445 shares Expires 2024-01-29 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: This transaction was executed pursuant to a trading plan entered into by the reporting person on February 2, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F5 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on February 15, 2015 and annually thereafter. Read SEC document |
| March 04, 2021 Filed Mar 8, 2021 22:07 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 34,217 | $124.88 | $4,273,018.96 |
DisclosureSEC source: 0000927628-21-000111 · wf-form4_161524124184511.xml · nonDerivative · entry 5 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,684 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on February 2, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $124.70 to $125.65. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| March 04, 2021 Filed Mar 8, 2021 22:07 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 22,644 | $124.19 | $2,812,158.36 |
DisclosureSEC source: 0000927628-21-000111 · wf-form4_161524124184511.xml · nonDerivative · entry 4 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,901 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on February 2, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $123.69 to $124.67. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| March 04, 2021 Filed Mar 8, 2021 22:07 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 16,391 | $123.20 | $2,019,371.20 |
DisclosureSEC source: 0000927628-21-000111 · wf-form4_161524124184511.xml · nonDerivative · entry 3 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 123,545 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on February 2, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $122.69 to $123.67. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| March 04, 2021 Filed Mar 8, 2021 22:07 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 27,266 | $74.96 | $2,043,859.36 |
DisclosureSEC source: 0000927628-21-000111 · wf-form4_161524124184511.xml · nonDerivative · entry 2 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 139,936 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: This transaction was executed pursuant to a trading plan entered into by the reporting person on February 2, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| March 04, 2021 Filed Mar 8, 2021 22:07 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 24,445 | $70.96 | $1,734,617.20 |
DisclosureSEC source: 0000927628-21-000111 · wf-form4_161524124184511.xml · nonDerivative · entry 1 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 112,670 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: This transaction was executed pursuant to a trading plan entered into by the reporting person on February 2, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| February 15, 2021 Filed Feb 17, 2021 21:45 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2018 Restricted Stock Units · Derivative | 2,008 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-21-000073 · wf-form4_161359830710110.xml · derivative · entry 8 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,008 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On February 15, 2021, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F1 · price: On February 15, 2021, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F5 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2019 and annually thereafter. F5 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2019 and annually thereafter. Read SEC document |
| February 15, 2021 Filed Feb 17, 2021 21:45 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,438 | $117.75 | $169,324.50 |
DisclosureSEC source: 0000927628-21-000073 · wf-form4_161359830710110.xml · nonDerivative · entry 5 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,225 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 30, 2020. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2021 Filed Feb 17, 2021 21:45 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 2,083 | $117.75 | $245,273.25 |
DisclosureSEC source: 0000927628-21-000073 · wf-form4_161359830710110.xml · nonDerivative · entry 4 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,663 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 31, 2019. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2021 Filed Feb 17, 2021 21:45 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,556 | $117.75 | $183,219.00 |
DisclosureSEC source: 0000927628-21-000073 · wf-form4_161359830710110.xml · nonDerivative · entry 3 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,746 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, 2018. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2021 Filed Feb 17, 2021 21:45 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 2,008 | $109.60 | $220,076.80 |
DisclosureSEC source: 0000927628-21-000073 · wf-form4_161359830710110.xml · nonDerivative · entry 2 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,302 F1 · price: On February 15, 2021, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
| February 15, 2021 Filed Feb 17, 2021 21:45 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 2,008 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-21-000073 · wf-form4_161359830710110.xml · nonDerivative · entry 1 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,310 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: On February 15, 2021, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
| February 04, 2021 Filed Feb 8, 2021 22:07 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 11,557 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-21-000038 · wf-form4_161282203630281.xml · nonDerivative · entry 1 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,302 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. Read SEC document |
| January 06, 2021 Filed Jan 7, 2021 21:12 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 30,645 | $0.00 Strike: $56.32 | $0.00 |
DisclosureSEC source: 0000927628-21-000004 · wf-form4_161005390490671.xml · derivative · entry 6 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 30,645 shares Expires 2023-01-30 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 became exercisable in 1/3 increments beginning on February 10, 2014 and annually thereafter. Read SEC document |
| January 06, 2021 Filed Jan 7, 2021 21:12 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 30,645 | $104.00 | $3,187,080.00 |
DisclosureSEC source: 0000927628-21-000004 · wf-form4_161005390490671.xml · nonDerivative · entry 3 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,745 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| January 06, 2021 Filed Jan 7, 2021 21:12 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 30,645 | $56.32 | $1,725,926.40 |
DisclosureSEC source: 0000927628-21-000004 · wf-form4_161005390490671.xml · nonDerivative · entry 2 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 112,390 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: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| January 05, 2021 Filed Jan 7, 2021 21:12 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 8,767 | $100.00 | $876,700.00 |
DisclosureSEC source: 0000927628-21-000004 · wf-form4_161005390490671.xml · nonDerivative · entry 1 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,745 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| December 30, 2020 Filed Jan 4, 2021 21:20 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 5,671 | $97.02 | $550,200.42 |
DisclosureSEC source: 0000927628-21-000002 · wf-form4_160979516676635.xml · nonDerivative · entry 1 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,512 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 13, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| December 21, 2020 Filed Dec 22, 2020 21:07 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 8,185 | $96.00 | $785,760.00 |
DisclosureSEC source: 0000927628-20-000325 · wf-form4_160867124151185.xml · nonDerivative · entry 1 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,183 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| December 14, 2020 Filed Dec 16, 2020 21:09 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 5,534 | $93.46 | $517,207.64 |
DisclosureSEC source: 0000927628-20-000321 · wf-form4_160815296226006.xml · nonDerivative · entry 1 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 104,368 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| November 09, 2020 Filed Nov 12, 2020 21:17 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 50,383 | $0.00 Strike: $48.28 | $0.00 |
DisclosureSEC source: 0000927628-20-000302 · wf-form4_160521584582941.xml · derivative · entry 5 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 50,383 shares Expires 2021-01-25 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: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 13, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F3 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on January 26, 2012 and annually thereafter. Read SEC document |
| November 09, 2020 Filed Nov 12, 2020 21:17 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 50,003 | $87.75 | $4,387,763.25 |
DisclosureSEC source: 0000927628-20-000302 · wf-form4_160521584582941.xml · nonDerivative · entry 2 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 109,902 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 13, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $87.71 to $88.19. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| November 09, 2020 Filed Nov 12, 2020 21:17 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 50,383 | $48.28 | $2,432,491.24 |
DisclosureSEC source: 0000927628-20-000302 · wf-form4_160521584582941.xml · nonDerivative · entry 1 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 159,905 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: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 13, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| March 05, 2020 Filed Mar 9, 2020 20:11 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 5,133 | $85.08 | $436,715.64 |
DisclosureSEC source: 0000927628-20-000138 · wf-form4_158378469178900.xml · nonDerivative · entry 2 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 109,522 F2 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement. Read SEC document |
| March 05, 2020 Filed Mar 9, 2020 20:11 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 11,381 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000138 · wf-form4_158378469178900.xml · nonDerivative · entry 1 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 114,655 F1 · security: These shares were earned pursuant to an award of performance shares granted on February 2, 2017 based on the Company's Adjusted ROA against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant. Read SEC document |
| February 15, 2020 Filed Feb 20, 2020 00:26 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2018 Restricted Stock Units · Derivative | 2,007 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000089 · wf-form4_158215837984342.xml · derivative · entry 11 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,008 Underlying: Common Stock · 2,007 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On February 15, 2020, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F1 · price: On February 15, 2020, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F6 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2019 and annually thereafter. F6 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2019 and annually thereafter. Read SEC document |
| February 15, 2020 Filed Feb 20, 2020 00:26 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2017 Restricted Stock Units · Derivative | 2,307 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000089 · wf-form4_158215837984342.xml · derivative · entry 10 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,307 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On February 15, 2020, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F1 · price: On February 15, 2020, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F5 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2018 and annually thereafter. F5 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2018 and annually thereafter. Read SEC document |
| February 15, 2020 Filed Feb 20, 2020 00:26 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 2,083 | $102.64 | $213,799.12 |
DisclosureSEC source: 0000927628-20-000089 · wf-form4_158215837984342.xml · nonDerivative · entry 7 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 103,274 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 00:26 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,555 | $102.64 | $159,605.20 |
DisclosureSEC source: 0000927628-20-000089 · wf-form4_158215837984342.xml · nonDerivative · entry 6 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,357 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 00:26 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,797 | $102.64 | $184,444.08 |
DisclosureSEC source: 0000927628-20-000089 · wf-form4_158215837984342.xml · nonDerivative · entry 5 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 106,912 F2 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on February 2, 2017. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2020 Filed Feb 20, 2020 00:26 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 2,007 | $102.03 | $204,774.21 |
DisclosureSEC source: 0000927628-20-000089 · wf-form4_158215837984342.xml · nonDerivative · entry 4 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 108,709 F1 · price: On February 15, 2020, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
| February 15, 2020 Filed Feb 20, 2020 00:26 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 2,307 | $102.03 | $235,383.21 |
DisclosureSEC source: 0000927628-20-000089 · wf-form4_158215837984342.xml · nonDerivative · entry 3 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,716 F1 · price: On February 15, 2020, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
| February 15, 2020 Filed Feb 20, 2020 00:26 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 2,007 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000089 · wf-form4_158215837984342.xml · nonDerivative · entry 2 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 113,023 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: On February 15, 2020, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
| February 15, 2020 Filed Feb 20, 2020 00:26 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 2,307 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000089 · wf-form4_158215837984342.xml · nonDerivative · entry 1 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 111,016 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: On February 15, 2020, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
| January 30, 2020 Filed Feb 3, 2020 21:53 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 9,564 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000039 · wf-form4_158076679935161.xml · nonDerivative · entry 1 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 108,709 F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2021 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock. Read SEC document |
| March 07, 2019 Filed Mar 11, 2019 20:10 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 7,114 | $81.28 | $578,225.92 |
DisclosureSEC source: 0000927628-19-000135 · wf-form4_155233502037033.xml · nonDerivative · entry 2 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,145 F2 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement. Read SEC document |
| March 07, 2019 Filed Mar 11, 2019 20:10 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 15,773 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-19-000135 · wf-form4_155233502037033.xml · nonDerivative · entry 1 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 106,259 F1 · security: These shares were earned pursuant to an award of performance shares granted on February 4, 2016 based on the Company's Adjusted ROA against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 21:53 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2018 Restricted Stock Units · Derivative | 2,007 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-19-000108 · wf-form4_155069959294964.xml · derivative · entry 14 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,015 Underlying: Common Stock · 2,007 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On February 15, 2019, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F1 · price: On February 15, 2019, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F7 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2019 and annually thereafter. F7 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2019 and annually thereafter. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 21:53 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2017 Restricted Stock Units · Derivative | 2,307 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-19-000108 · wf-form4_155069959294964.xml · derivative · entry 13 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,307 Underlying: Common Stock · 2,307 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On February 15, 2019, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F1 · price: On February 15, 2019, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F6 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2018 and annually thereafter. F6 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2018 and annually thereafter. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 21:53 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2016 Restricted Stock Units · Derivative | 2,894 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-19-000108 · wf-form4_155069959294964.xml · derivative · entry 12 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,894 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On February 15, 2019, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F1 · price: On February 15, 2019, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F5 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2017 and annually thereafter. F5 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2017 and annually thereafter. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 21:53 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,555 | $81.57 | $126,841.35 |
DisclosureSEC source: 0000927628-19-000108 · wf-form4_155069959294964.xml · nonDerivative · entry 9 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,486 F4 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on February 1, 2018. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 21:53 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,796 | $81.57 | $146,499.72 |
DisclosureSEC source: 0000927628-19-000108 · wf-form4_155069959294964.xml · nonDerivative · entry 8 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,041 F3 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on February 2, 2017. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 21:53 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 2,415 | $81.57 | $196,991.55 |
DisclosureSEC source: 0000927628-19-000108 · wf-form4_155069959294964.xml · nonDerivative · entry 7 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,837 F2 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on February 4, 2016. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 21:53 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 2,007 | $79.85 | $160,258.95 |
DisclosureSEC source: 0000927628-19-000108 · wf-form4_155069959294964.xml · nonDerivative · entry 6 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,252 F1 · price: On February 15, 2019, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 21:53 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 2,307 | $79.85 | $184,213.95 |
DisclosureSEC source: 0000927628-19-000108 · wf-form4_155069959294964.xml · nonDerivative · entry 5 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,259 F1 · price: On February 15, 2019, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 21:53 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 2,894 | $79.85 | $231,085.90 |
DisclosureSEC source: 0000927628-19-000108 · wf-form4_155069959294964.xml · nonDerivative · entry 4 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,566 F1 · price: On February 15, 2019, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 21:53 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 2,007 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-19-000108 · wf-form4_155069959294964.xml · nonDerivative · entry 3 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 103,460 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: On February 15, 2019, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.