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 02, 2017 Filed Feb 7, 2017 00:22 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Grant2017 Restricted Stock Units · Derivative | 6,921 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000056 · wf-form4_148642692250927.xml · derivative · entry 4 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,921 Underlying: Common Stock · 6,921 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 260 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, 2018 and annually thereafter. F4 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2018 and annually thereafter. F3 · derivative.underlying_shares: This award is reported net of 260 units automatically withheld by the Company to satisfy the reporting person's tax obligation. Read SEC document |
| February 02, 2017 Filed Feb 7, 2017 00:22 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 11,947 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000056 · wf-form4_148642692250927.xml · nonDerivative · entry 1 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 107,890 F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2018 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock. Read SEC document |
| December 12, 2016 Filed Dec 14, 2016 22:01 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 29,190 | $0.00 Strike: $76.79 | $0.00 |
DisclosureSEC source: 0001225208-16-043187 · doc4.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 · 29,190 shares Expires 2017-03-01 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 11, 2016, 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 March 2, 2008 and annually thereafter. Read SEC document |
| December 12, 2016 Filed Dec 14, 2016 22:01 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 18,307 | $90.11 | $1,649,643.77 |
DisclosureSEC source: 0001225208-16-043187 · doc4.xml · nonDerivative · entry 3 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,943 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 11, 2016, 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 $89.45 to $90.44. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| December 12, 2016 Filed Dec 14, 2016 22:01 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 16,800 | $90.67 | $1,523,256.00 |
DisclosureSEC source: 0001225208-16-043187 · doc4.xml · nonDerivative · entry 2 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 114,250 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 11, 2016, 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 $90.45 to $91.05. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| December 12, 2016 Filed Dec 14, 2016 22:01 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 29,190 | $76.79 | $2,241,500.10 |
DisclosureSEC source: 0001225208-16-043187 · doc4.xml · nonDerivative · entry 1 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 131,050 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 11, 2016, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction. Read SEC document |
| March 08, 2016 Filed Mar 10, 2016 21:29 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 7,466 | $68.49 | $511,346.34 |
DisclosureSEC source: 0001225208-16-029611 · doc4.xml · nonDerivative · entry 2 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,828 F3 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement. Read SEC document |
| March 08, 2016 Filed Mar 10, 2016 21:29 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 15,651 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-029611 · doc4.xml · nonDerivative · entry 1 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 109,294 F1 · security: These shares were earned pursuant to an award of performance shares granted on January 31, 2013 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. F2 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction. Read SEC document |
| February 15, 2016 Filed Feb 17, 2016 22:20 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionRestricted Stock Units · Derivative | 7,658 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-026812 · doc4.xml · derivative · entry 13 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,658 shares Expires 2016-02-15 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. F1 · derivative.exercise_price: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 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. F1 · price: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 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. F1 · derivative.exercise_date: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 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. F1 · derivative.expiration_date: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 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, 2016 Filed Feb 17, 2016 22:20 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: 0001225208-16-026812 · doc4.xml · derivative · entry 12 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,667 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. F2 · derivative.exercise_price: On February 15, 2016 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. F2 · price: On February 15, 2016 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, 2016 Filed Feb 17, 2016 22:20 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2014 Restricted Stock Units · Derivative | 3,608 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-026812 · doc4.xml · derivative · entry 11 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,607 Underlying: Common Stock · 3,608 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. F2 · derivative.exercise_price: On February 15, 2016 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. F2 · price: On February 15, 2016 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, 2015 and annually thereafter. F5 · 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, 2016 Filed Feb 17, 2016 22:20 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 7,658 | $62.51 | $478,701.58 |
DisclosureSEC source: 0001225208-16-026812 · doc4.xml · nonDerivative · entry 8 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,631 F1 · price: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 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, 2016 Filed Feb 17, 2016 22:20 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 3,608 | $62.51 | $225,536.08 |
DisclosureSEC source: 0001225208-16-026812 · doc4.xml · nonDerivative · entry 7 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,289 F2 · price: On February 15, 2016 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, 2016 Filed Feb 17, 2016 22:20 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 3,334 | $62.51 | $208,408.34 |
DisclosureSEC source: 0001225208-16-026812 · doc4.xml · nonDerivative · entry 6 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 104,897 F2 · price: On February 15, 2016 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, 2016 Filed Feb 17, 2016 22:20 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,374 | $62.54 | $85,929.96 |
DisclosureSEC source: 0001225208-16-026812 · doc4.xml · nonDerivative · entry 5 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 108,231 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, 2014. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2016 Filed Feb 17, 2016 22:20 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,365 | $62.54 | $85,367.10 |
DisclosureSEC source: 0001225208-16-026812 · doc4.xml · nonDerivative · entry 4 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 109,605 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, 2016 Filed Feb 17, 2016 22:20 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 3,334 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-026812 · doc4.xml · nonDerivative · entry 3 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,970 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: On February 15, 2016 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, 2016 Filed Feb 17, 2016 22:20 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 3,608 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-026812 · doc4.xml · nonDerivative · entry 2 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 107,636 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: On February 15, 2016 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, 2016 Filed Feb 17, 2016 22:20 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 7,658 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-026812 · doc4.xml · nonDerivative · entry 1 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 104,028 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 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 10, 2016 Filed Feb 12, 2016 22:47 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2013 Restricted Stock Units · Derivative | 3,287 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-026371 · doc4.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 · 3,287 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 10, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. F1 · price: On February 10, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. F3 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2014 and annually thereafter. F3 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2014 and annually thereafter. Read SEC document |
| February 10, 2016 Filed Feb 12, 2016 22:47 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 3,287 | $62.74 | $206,226.38 |
DisclosureSEC source: 0001225208-16-026371 · doc4.xml · nonDerivative · entry 3 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,370 F1 · price: On February 10, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. Read SEC document |
| February 10, 2016 Filed Feb 12, 2016 22:47 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,814 | $62.24 | $112,903.36 |
DisclosureSEC source: 0001225208-16-026371 · doc4.xml · nonDerivative · entry 2 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,657 F2 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 31, 2013. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 10, 2016 Filed Feb 12, 2016 22:47 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 3,287 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-026371 · doc4.xml · nonDerivative · entry 1 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,471 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 10, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. Read SEC document |
| February 04, 2016 Filed Feb 9, 2016 02:12 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantStock Options · Derivative | 28,540 | $0.00 Strike: $63.73 | $0.00 |
DisclosureSEC source: 0001225208-16-025845 · doc4.xml · derivative · entry 6 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,540 Underlying: Common Stock · 28,540 shares Expires 2026-02-03 F7 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on February 15, 2017 and annually thereafter. Read SEC document |
| February 04, 2016 Filed Feb 9, 2016 02:12 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantRestricted Stock Units · Derivative | 9,729 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-025845 · doc4.xml · derivative · entry 5 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,729 Underlying: Common Stock · 9,729 shares Expires 2017-02-15 F6 · derivative.exercise_price: Each restricted stock unit will vest on January 1, 2017 and will be 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. F6 · derivative.exercise_date: Each restricted stock unit will vest on January 1, 2017 and will be 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. F6 · derivative.expiration_date: Each restricted stock unit will vest on January 1, 2017 and will be 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 04, 2016 Filed Feb 9, 2016 02:12 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Grant2016 Restricted Stock Units · Derivative | 8,682 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-025845 · doc4.xml · derivative · entry 4 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,682 Underlying: Common Stock · 8,682 shares Expires not disclosed F3 · 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. F4 · shares: This award is reported net of 325 units automatically withheld by the Company to satisfy the reporting person's tax obligation. F5 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2017 and annually thereafter. F5 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2017 and annually thereafter. F4 · derivative.underlying_shares: This award is reported net of 325 units automatically withheld by the Company to satisfy the reporting person's tax obligation. Read SEC document |
| February 04, 2016 Filed Feb 9, 2016 02:12 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 16,484 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-025845 · doc4.xml · nonDerivative · entry 1 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,184 F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2017 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock. F2 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction. Read SEC document |
| July 20, 2015 Filed Jul 22, 2015 20:14 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 9,769 | $0.00 Strike: $45.75 | $0.00 |
DisclosureSEC source: 0001225208-15-015711 · doc4.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 · 9,769 shares Expires 2022-01-30 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. F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 1, 2015, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on February 10, 2013 and annually thereafter. Read SEC document |
| July 20, 2015 Filed Jul 22, 2015 20:14 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 8,537 | $91.74 | $783,184.38 |
DisclosureSEC source: 0001225208-15-015711 · doc4.xml · nonDerivative · entry 3 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,680 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 1, 2015, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| July 20, 2015 Filed Jul 22, 2015 20:14 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 5,675 | $91.74 | $520,624.50 |
DisclosureSEC source: 0001225208-15-015711 · doc4.xml · nonDerivative · entry 2 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,217 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 1, 2015, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| July 20, 2015 Filed Jul 22, 2015 20:14 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 9,769 | $45.75 | $446,931.75 |
DisclosureSEC source: 0001225208-15-015711 · doc4.xml · nonDerivative · entry 1 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,892 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 1, 2015, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| June 23, 2015 Filed Jun 25, 2015 21:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 9,768 | $0.00 Strike: $45.75 | $0.00 |
DisclosureSEC source: 0001225208-15-014307 · doc4.xml · derivative · entry 6 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,769 Underlying: Common Stock · 9,768 shares Expires 2022-01-30 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. F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 1, 2015, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended F2 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on February 10, 2013 and annually thereafter. Read SEC document |
| June 23, 2015 Filed Jun 25, 2015 21:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 8,565 | $89.92 | $770,164.80 |
DisclosureSEC source: 0001225208-15-014307 · doc4.xml · nonDerivative · entry 3 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,123 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 1, 2015, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended Read SEC document |
| June 23, 2015 Filed Jun 25, 2015 21:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 5,000 | $89.92 | $449,600.00 |
DisclosureSEC source: 0001225208-15-014307 · doc4.xml · nonDerivative · entry 2 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,688 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 1, 2015, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended Read SEC document |
| June 23, 2015 Filed Jun 25, 2015 21:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 9,768 | $45.75 | $446,886.00 |
DisclosureSEC source: 0001225208-15-014307 · doc4.xml · nonDerivative · entry 1 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,688 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 1, 2015, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended Read SEC document |
| June 11, 2015 Filed Jun 15, 2015 20:25 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 9,767 | $0.00 Strike: $45.75 | $0.00 |
DisclosureSEC source: 0001225208-15-013865 · doc4.xml · derivative · entry 6 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,537 Underlying: Common Stock · 9,767 shares Expires 2022-01-30 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. F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 1, 2015, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on February 10, 2013 and annually thereafter. Read SEC document |
| June 11, 2015 Filed Jun 15, 2015 20:25 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 8,594 | $87.74 | $754,037.56 |
DisclosureSEC source: 0001225208-15-013865 · doc4.xml · nonDerivative · entry 3 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,920 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 1, 2015, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| June 11, 2015 Filed Jun 15, 2015 20:25 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 4,005 | $87.74 | $351,398.70 |
DisclosureSEC source: 0001225208-15-013865 · doc4.xml · nonDerivative · entry 2 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,514 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 1, 2015, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| June 11, 2015 Filed Jun 15, 2015 20:25 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 9,767 | $45.75 | $446,840.25 |
DisclosureSEC source: 0001225208-15-013865 · doc4.xml · nonDerivative · entry 1 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102,519 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 1, 2015, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| June 10, 2015 Filed Jun 12, 2015 20:08 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 7,925 | $0.00 Strike: $18.28 | $0.00 |
DisclosureSEC source: 0001225208-15-013822 · doc4.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 · 7,925 shares Expires 2019-01-28 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on April 23, 2014, 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 29, 2010 and annually thereafter. Read SEC document |
| June 10, 2015 Filed Jun 12, 2015 20:08 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 7,925 | $85.74 | $679,489.50 |
DisclosureSEC source: 0001225208-15-013822 · doc4.xml · nonDerivative · entry 3 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,752 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on April 23, 2014, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| June 10, 2015 Filed Jun 12, 2015 20:08 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 6,000 | $85.74 | $514,440.00 |
DisclosureSEC source: 0001225208-15-013822 · doc4.xml · nonDerivative · entry 2 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,677 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on April 23, 2014, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| June 10, 2015 Filed Jun 12, 2015 20:08 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 7,925 | $18.28 | $144,869.00 |
DisclosureSEC source: 0001225208-15-013822 · doc4.xml · nonDerivative · entry 1 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 106,677 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 April 23, 2014, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction. Read SEC document |
| March 10, 2015 Filed Mar 12, 2015 22:06 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionPerformance Share Units · Derivative | 21,716 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-15-007743 · doc4.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 · 21,716 shares Expires 2015-03-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: These performance shares for the January 31, 2012 grant were settled at the end of a three-year period based on the Company's Adjusted ROA against a peer group of companies. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant. F1 · derivative.exercise_date: These performance shares for the January 31, 2012 grant were settled at the end of a three-year period based on the Company's Adjusted ROA against a peer group of companies. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant. F1 · derivative.expiration_date: These performance shares for the January 31, 2012 grant were settled at the end of a three-year period based on the Company's Adjusted ROA against a peer group of companies. 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 10, 2015 Filed Mar 12, 2015 22:06 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 10,359 | $77.72 | $805,101.48 |
DisclosureSEC source: 0001225208-15-007743 · doc4.xml · nonDerivative · entry 2 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,743 F3 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares for the January 31, 2012 grant. This is authorized in the performance share award agreement. Read SEC document |
| March 10, 2015 Filed Mar 12, 2015 22:06 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 21,716 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-15-007743 · doc4.xml · nonDerivative · entry 1 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 109,102 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: These performance shares for the January 31, 2012 grant were settled at the end of a three-year period based on the Company's Adjusted ROA against a peer group of companies. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant. F2 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction. Read SEC document |
| February 15, 2015 Filed Feb 18, 2015 21:29 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionRestricted Stock Units · Derivative | 7,850 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-15-004483 · doc4.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 · 7,850 shares Expires 2015-02-15 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. F1 · derivative.exercise_price: Each restricted stock unit vested on January 1, 2015 and settled in cash on February 15, 2015 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. F1 · price: Each restricted stock unit vested on January 1, 2015 and settled in cash on February 15, 2015 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. F1 · derivative.exercise_date: Each restricted stock unit vested on January 1, 2015 and settled in cash on February 15, 2015 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. F1 · derivative.expiration_date: Each restricted stock unit vested on January 1, 2015 and settled in cash on February 15, 2015 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, 2015 Filed Feb 18, 2015 21:29 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2014 Restricted Stock Units · Derivative | 3,608 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-15-004483 · doc4.xml · derivative · entry 8 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,215 Underlying: Common Stock · 3,608 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. F2 · derivative.exercise_price: On February 15, 2015, 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. F2 · price: On February 15, 2015, 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. F4 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2015 and annually thereafter. F4 · 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, 2015 Filed Feb 18, 2015 21:29 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 7,850 | $76.27 | $598,719.50 |
DisclosureSEC source: 0001225208-15-004483 · doc4.xml · nonDerivative · entry 5 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,379 F1 · price: Each restricted stock unit vested on January 1, 2015 and settled in cash on February 15, 2015 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, 2015 Filed Feb 18, 2015 21:29 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 3,608 | $76.27 | $275,182.16 |
DisclosureSEC source: 0001225208-15-004483 · doc4.xml · nonDerivative · entry 4 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,229 F2 · price: On February 15, 2015, 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.