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 |
|---|---|---|---|---|---|---|
| February 15, 2019 Filed Feb 20, 2019 21:53 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 2,307 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-19-000108 · wf-form4_155069959294964.xml · nonDerivative · entry 2 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,453 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 |
| February 15, 2019 Filed Feb 20, 2019 21:53 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 2,894 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-19-000108 · wf-form4_155069959294964.xml · nonDerivative · entry 1 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,146 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 |
| January 31, 2019 Filed Feb 4, 2019 23:52 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 13,853 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-19-000046 · wf-form4_154932433299373.xml · nonDerivative · entry 1 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,252 F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2020 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock. Read SEC document |
| March 08, 2018 Filed Mar 12, 2018 20:09 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 5,283 | $98.15 | $518,526.45 |
DisclosureSEC source: 0000927628-18-000134 · wf-form4_152088535045582.xml · nonDerivative · entry 2 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,399 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 08, 2018 Filed Mar 12, 2018 20:09 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 11,712 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-18-000134 · wf-form4_152088535045582.xml · nonDerivative · entry 1 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,682 F1 · security: These shares were earned pursuant to an award of performance shares granted on January 29, 2015 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, 2018 Filed Feb 20, 2018 23:29 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionRestricted Stock Units · Derivative | 7,540 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-18-000087 · wf-form4_151916935949064.xml · derivative · entry 17 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,540 shares Expires 2018-02-15 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. F2 · derivative.exercise_price: Each restricted stock unit vested on January 1, 2018 and settled in cash on February 15, 2018 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. F2 · price: Each restricted stock unit vested on January 1, 2018 and settled in cash on February 15, 2018 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. F2 · derivative.exercise_date: Each restricted stock unit vested on January 1, 2018 and settled in cash on February 15, 2018 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. F2 · derivative.expiration_date: Each restricted stock unit vested on January 1, 2018 and settled in cash on February 15, 2018 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 23:29 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: 0000927628-18-000087 · wf-form4_151916935949064.xml · derivative · entry 16 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,614 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, 2018 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, 2018 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. F8 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2018 and annually thereafter. F8 · 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, 2018 Filed Feb 20, 2018 23:29 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: 0000927628-18-000087 · wf-form4_151916935949064.xml · derivative · entry 15 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,894 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, 2018 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, 2018 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, 2017 and annually thereafter. F7 · 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, 2018 Filed Feb 20, 2018 23:29 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2015 Restricted Stock Units · Derivative | 3,333 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-18-000087 · wf-form4_151916935949064.xml · derivative · entry 14 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,333 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, 2018 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, 2018 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, 2016 and annually thereafter. F6 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2016 and annually thereafter. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 23:29 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,750 | $98.67 | $172,672.50 |
DisclosureSEC source: 0000927628-18-000087 · wf-form4_151916935949064.xml · nonDerivative · entry 11 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,970 F5 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on February 2, 2017. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 23:29 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,654 | $98.67 | $163,200.18 |
DisclosureSEC source: 0000927628-18-000087 · wf-form4_151916935949064.xml · nonDerivative · entry 10 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,720 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 4, 2016. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 23:29 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,241 | $98.67 | $122,449.47 |
DisclosureSEC source: 0000927628-18-000087 · wf-form4_151916935949064.xml · nonDerivative · entry 9 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,374 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 29, 2015. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 23:29 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 7,540 | $99.52 | $750,380.80 |
DisclosureSEC source: 0000927628-18-000087 · wf-form4_151916935949064.xml · nonDerivative · entry 8 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,615 F2 · price: Each restricted stock unit vested on January 1, 2018 and settled in cash on February 15, 2018 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 23:29 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 2,307 | $99.52 | $229,592.64 |
DisclosureSEC source: 0000927628-18-000087 · wf-form4_151916935949064.xml · nonDerivative · entry 7 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,155 F1 · price: On February 15, 2018 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, 2018 Filed Feb 20, 2018 23:29 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 2,894 | $99.52 | $288,010.88 |
DisclosureSEC source: 0000927628-18-000087 · wf-form4_151916935949064.xml · nonDerivative · entry 6 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,462 F1 · price: On February 15, 2018 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, 2018 Filed Feb 20, 2018 23:29 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 3,333 | $99.52 | $331,700.16 |
DisclosureSEC source: 0000927628-18-000087 · wf-form4_151916935949064.xml · nonDerivative · entry 5 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,356 F1 · price: On February 15, 2018 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, 2018 Filed Feb 20, 2018 23:29 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 7,540 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-18-000087 · wf-form4_151916935949064.xml · nonDerivative · entry 4 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,689 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 · price: Each restricted stock unit vested on January 1, 2018 and settled in cash on February 15, 2018 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 23:29 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 2,307 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-18-000087 · wf-form4_151916935949064.xml · nonDerivative · entry 3 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,149 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, 2018 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, 2018 Filed Feb 20, 2018 23:29 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 2,894 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-18-000087 · wf-form4_151916935949064.xml · nonDerivative · entry 2 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,842 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, 2018 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, 2018 Filed Feb 20, 2018 23:29 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 3,333 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-18-000087 · wf-form4_151916935949064.xml · nonDerivative · entry 1 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 83,948 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, 2018 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 01, 2018 Filed Feb 5, 2018 22:32 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Grant2018 Restricted Stock Units · Derivative | 6,022 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-18-000043 · wf-form4_151786990583400.xml · derivative · entry 4 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,022 Underlying: Common Stock · 6,022 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit will be settled in cash based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the vesting date. F3 · shares: This award is reported net of 195 units automatically withheld by the Company to satisfy the reporting person's tax obligation. F4 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2019 and annually thereafter. F4 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2019 and annually thereafter. F3 · derivative.underlying_shares: This award is reported net of 195 units automatically withheld by the Company to satisfy the reporting person's tax obligation. Read SEC document |
| February 01, 2018 Filed Feb 5, 2018 22:32 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 10,342 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-18-000043 · wf-form4_151786990583400.xml · nonDerivative · entry 1 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,615 F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2019 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock. Read SEC document |
| December 15, 2017 Filed Dec 19, 2017 21:23 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 6,716 | $96.74 | $649,705.84 |
DisclosureSEC source: 0000927628-17-000316 · wf-form4_151371861773362.xml · nonDerivative · entry 1 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,273 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on January 31, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| December 04, 2017 Filed Dec 5, 2017 22:05 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 63,740 | $0.00 Strike: $48.95 | $0.00 |
DisclosureSEC source: 0000927628-17-000295 · wf-form4_151251150114442.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 · 63,740 shares Expires 2018-02-20 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 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on January 31, 2017, 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 February 21, 2009 and annually thereafter. Read SEC document |
| December 04, 2017 Filed Dec 5, 2017 22:05 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 6,257 | $94.70 | $592,537.90 |
DisclosureSEC source: 0000927628-17-000295 · wf-form4_151251150114442.xml · nonDerivative · entry 5 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,989 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on October 31, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| December 04, 2017 Filed Dec 5, 2017 22:05 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 6,357 | $96.00 | $610,272.00 |
DisclosureSEC source: 0000927628-17-000295 · wf-form4_151251150114442.xml · nonDerivative · entry 4 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 83,246 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on October 31, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| December 04, 2017 Filed Dec 5, 2017 22:05 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 63,740 | $94.74 | $6,038,727.60 |
DisclosureSEC source: 0000927628-17-000295 · wf-form4_151251150114442.xml · nonDerivative · entry 3 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,603 F2 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on January 31, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| December 04, 2017 Filed Dec 5, 2017 22:05 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 63,740 | $48.95 | $3,120,073.00 |
DisclosureSEC source: 0000927628-17-000295 · wf-form4_151251150114442.xml · nonDerivative · entry 2 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 153,343 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 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on January 31, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| December 01, 2017 Filed Dec 5, 2017 22:05 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 5,000 | $92.18 | $460,900.00 |
DisclosureSEC source: 0000927628-17-000295 · wf-form4_151251150114442.xml · nonDerivative · entry 1 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,603 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on October 31, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| March 08, 2017 Filed Mar 10, 2017 21:46 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 5,617 | $92.40 | $519,010.80 |
DisclosureSEC source: 0000927628-17-000146 · wf-form4_148918237303798.xml · nonDerivative · entry 2 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,603 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 08, 2017 Filed Mar 10, 2017 21:46 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 11,775 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000146 · wf-form4_148918237303798.xml · nonDerivative · entry 1 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,220 F1 · security: These shares were earned pursuant to an award of performance shares granted on January 30, 2014 based on the Company's Adjusted ROA against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant. Read SEC document |
| March 02, 2017 Filed Mar 6, 2017 21:06 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 1,346 | $96.03 | $129,256.38 |
DisclosureSEC source: 0000927628-17-000122 · wf-form4_148883440354074.xml · nonDerivative · entry 2 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,445 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on January 31, 2017, 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 $95.88 to $96.21. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| March 02, 2017 Filed Mar 6, 2017 21:06 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 13,100 | $95.27 | $1,248,037.00 |
DisclosureSEC source: 0000927628-17-000122 · wf-form4_148883440354074.xml · nonDerivative · entry 1 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,791 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on January 31, 2017, 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 $94.85 to $95.76. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| February 15, 2017 Filed Feb 18, 2017 00:07 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionRestricted Stock Units · Derivative | 9,729 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000096 · wf-form4_148737642566333.xml · derivative · entry 17 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 9,729 shares Expires 2017-02-15 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. F2 · derivative.exercise_price: Each restricted stock unit vested on January 1, 2017 and settled in cash on February 15, 2017 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. F2 · price: Each restricted stock unit vested on January 1, 2017 and settled in cash on February 15, 2017 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. F2 · derivative.exercise_date: Each restricted stock unit vested on January 1, 2017 and settled in cash on February 15, 2017 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. F2 · derivative.expiration_date: Each restricted stock unit vested on January 1, 2017 and settled in cash on February 15, 2017 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. Read SEC document |
| February 15, 2017 Filed Feb 18, 2017 00:07 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: 0000927628-17-000096 · wf-form4_148737642566333.xml · derivative · entry 16 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,788 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, 2017 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, 2017 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. F8 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2017 and annually thereafter. F8 · 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, 2017 Filed Feb 18, 2017 00:07 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2015 Restricted Stock Units · Derivative | 3,334 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000096 · wf-form4_148737642566333.xml · derivative · entry 15 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,333 Underlying: Common Stock · 3,334 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, 2017 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, 2017 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, 2016 and annually thereafter. F7 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2016 and annually thereafter. Read SEC document |
| February 15, 2017 Filed Feb 18, 2017 00:07 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2014 Restricted Stock Units · Derivative | 3,607 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000096 · wf-form4_148737642566333.xml · derivative · entry 14 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,607 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, 2017 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, 2017 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, 2015 and annually thereafter. F6 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2015 and annually thereafter. Read SEC document |
| February 15, 2017 Filed Feb 18, 2017 00:07 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 2,260 | $90.93 | $205,501.80 |
DisclosureSEC source: 0000927628-17-000096 · wf-form4_148737642566333.xml · nonDerivative · entry 11 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102,891 F5 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on February 4, 2016. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2017 Filed Feb 18, 2017 00:07 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,365 | $90.93 | $124,119.45 |
DisclosureSEC source: 0000927628-17-000096 · wf-form4_148737642566333.xml · nonDerivative · entry 10 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,151 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 29, 2015. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2017 Filed Feb 18, 2017 00:07 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,374 | $90.93 | $124,937.82 |
DisclosureSEC source: 0000927628-17-000096 · wf-form4_148737642566333.xml · nonDerivative · entry 9 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 106,516 F3 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 30, 2014. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2017 Filed Feb 18, 2017 00:07 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 9,729 | $88.31 | $859,167.99 |
DisclosureSEC source: 0000927628-17-000096 · wf-form4_148737642566333.xml · nonDerivative · entry 8 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 107,890 F2 · price: Each restricted stock unit vested on January 1, 2017 and settled in cash on February 15, 2017 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. Read SEC document |
| February 15, 2017 Filed Feb 18, 2017 00:07 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 2,894 | $88.31 | $255,569.14 |
DisclosureSEC source: 0000927628-17-000096 · wf-form4_148737642566333.xml · nonDerivative · entry 7 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 117,619 F1 · price: On February 15, 2017 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, 2017 Filed Feb 18, 2017 00:07 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 3,334 | $88.31 | $294,425.54 |
DisclosureSEC source: 0000927628-17-000096 · wf-form4_148737642566333.xml · nonDerivative · entry 6 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 120,513 F1 · price: On February 15, 2017 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, 2017 Filed Feb 18, 2017 00:07 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 3,607 | $88.31 | $318,534.17 |
DisclosureSEC source: 0000927628-17-000096 · wf-form4_148737642566333.xml · nonDerivative · entry 5 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 123,847 F1 · price: On February 15, 2017 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, 2017 Filed Feb 18, 2017 00:07 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 9,729 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000096 · wf-form4_148737642566333.xml · nonDerivative · entry 4 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 127,454 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 · price: Each restricted stock unit vested on January 1, 2017 and settled in cash on February 15, 2017 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. Read SEC document |
| February 15, 2017 Filed Feb 18, 2017 00:07 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 2,894 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000096 · wf-form4_148737642566333.xml · nonDerivative · entry 3 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 117,725 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, 2017 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, 2017 Filed Feb 18, 2017 00:07 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 3,334 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000096 · wf-form4_148737642566333.xml · nonDerivative · entry 2 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 114,831 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, 2017 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, 2017 Filed Feb 18, 2017 00:07 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 3,607 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000096 · wf-form4_148737642566333.xml · nonDerivative · entry 1 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 111,497 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, 2017 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 02, 2017 Filed Feb 7, 2017 00:22 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantStock Options · Derivative | 21,347 | $0.00 Strike: $86.34 | $0.00 |
DisclosureSEC source: 0000927628-17-000056 · wf-form4_148642692250927.xml · derivative · entry 6 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,347 Underlying: Common Stock · 21,347 shares Expires 2027-02-02 F6 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on February 15, 2018 and annually thereafter. Read SEC document |
| February 02, 2017 Filed Feb 7, 2017 00:22 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantRestricted Stock Units · Derivative | 7,540 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000056 · wf-form4_148642692250927.xml · derivative · entry 5 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,540 Underlying: Common Stock · 7,540 shares Expires 2018-02-15 F5 · derivative.exercise_price: Each restricted stock unit will vest on January 1, 2018 and will be settled in cash on February 15, 2018 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. F5 · derivative.exercise_date: Each restricted stock unit will vest on January 1, 2018 and will be settled in cash on February 15, 2018 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. F5 · derivative.expiration_date: Each restricted stock unit will vest on January 1, 2018 and will be settled in cash on February 15, 2018 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.