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 |
|---|---|---|---|---|---|---|
| January 02, 2014 Filed Jan 3, 2014 00:23 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 5,000 | $76.74 | $383,700.00 |
DisclosureSEC source: 0001225208-14-000179 · doc4.xml · nonDerivative · entry 3 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,628 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 8, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| January 02, 2014 Filed Jan 3, 2014 00:23 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 4,104 | $76.74 | $314,940.96 |
DisclosureSEC source: 0001225208-14-000179 · doc4.xml · nonDerivative · entry 2 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,628 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 8, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| January 02, 2014 Filed Jan 3, 2014 00:23 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 5,000 | $18.28 | $91,400.00 |
DisclosureSEC source: 0001225208-14-000179 · doc4.xml · nonDerivative · entry 1 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,732 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 August 8, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| December 19, 2013 Filed Dec 20, 2013 22:05 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 5,000 | $0.00 Strike: $18.28 | $0.00 |
DisclosureSEC source: 0001225208-13-025885 · doc4.xml · derivative · entry 6 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,925 Underlying: Common Stock · 5,000 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 August 8, 2013, 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 January 29, 2010 and annually thereafter. Read SEC document |
| December 19, 2013 Filed Dec 20, 2013 22:05 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 5,000 | $73.74 | $368,700.00 |
DisclosureSEC source: 0001225208-13-025885 · doc4.xml · nonDerivative · entry 3 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,732 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 8, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| December 19, 2013 Filed Dec 20, 2013 22:05 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 4,101 | $73.74 | $302,407.74 |
DisclosureSEC source: 0001225208-13-025885 · doc4.xml · nonDerivative · entry 2 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,732 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 8, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| December 19, 2013 Filed Dec 20, 2013 22:05 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 5,000 | $18.28 | $91,400.00 |
DisclosureSEC source: 0001225208-13-025885 · doc4.xml · nonDerivative · entry 1 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,833 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 August 8, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| December 15, 2013 Filed Dec 16, 2013 22:45 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionRestricted Stock Units · Derivative | 9,411 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-025479 · 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 · 9,411 shares Expires 2013-12-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On December 15, 2013 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. F1 · price: On December 15, 2013 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. Read SEC document |
| December 15, 2013 Filed Dec 16, 2013 22:45 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 9,411 | $71.13 | $669,404.43 |
DisclosureSEC source: 0001225208-13-025479 · doc4.xml · nonDerivative · entry 2 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,833 Read SEC document |
| December 15, 2013 Filed Dec 16, 2013 22:45 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 9,411 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-025479 · doc4.xml · nonDerivative · entry 1 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,244 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: On December 15, 2013 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. F2 · 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 19, 2013 Filed Jul 22, 2013 20:15 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 17,200 | $0.00 Strike: $56.28 | $0.00 |
DisclosureSEC source: 0001225208-13-016416 · doc4.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 · 17,200 shares Expires 2013-12-14 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 26, 2013, 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 December 15, 2004 and annually thereafter. Read SEC document |
| July 19, 2013 Filed Jul 22, 2013 20:15 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 11,923 | $0.00 Strike: $18.28 | $0.00 |
DisclosureSEC source: 0001225208-13-016416 · doc4.xml · derivative · entry 7 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,925 Underlying: Common Stock · 11,923 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 26, 2013, 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 January 29, 2010 and annually thereafter. Read SEC document |
| July 19, 2013 Filed Jul 22, 2013 20:15 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 33,123 | $68.75 | $2,277,206.25 |
DisclosureSEC source: 0001225208-13-016416 · doc4.xml · nonDerivative · entry 4 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,817 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on April 26, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| July 19, 2013 Filed Jul 22, 2013 20:15 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 4,724 | $69.74 | $329,451.76 |
DisclosureSEC source: 0001225208-13-016416 · doc4.xml · nonDerivative · entry 3 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 121,940 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on April 26, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| July 19, 2013 Filed Jul 22, 2013 20:15 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 11,923 | $18.28 | $217,952.44 |
DisclosureSEC source: 0001225208-13-016416 · doc4.xml · nonDerivative · entry 2 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 126,664 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 26, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| July 19, 2013 Filed Jul 22, 2013 20:15 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 17,200 | $56.28 | $968,016.00 |
DisclosureSEC source: 0001225208-13-016416 · doc4.xml · nonDerivative · entry 1 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 114,741 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 26, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| July 12, 2013 Filed Jul 16, 2013 21:04 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 10,000 | $0.00 Strike: $18.28 | $0.00 |
DisclosureSEC source: 0001225208-13-016243 · doc4.xml · derivative · entry 5 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,848 Underlying: Common Stock · 10,000 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 26, 2013, 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 January 29, 2010 and annually thereafter. Read SEC document |
| July 12, 2013 Filed Jul 16, 2013 21:04 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 10,000 | $66.74 | $667,400.00 |
DisclosureSEC source: 0001225208-13-016243 · doc4.xml · nonDerivative · entry 2 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,541 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on April 26, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| July 12, 2013 Filed Jul 16, 2013 21:04 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 10,000 | $18.28 | $182,800.00 |
DisclosureSEC source: 0001225208-13-016243 · doc4.xml · nonDerivative · entry 1 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 107,541 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 26, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| July 08, 2013 Filed Jul 9, 2013 20:31 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 4,000 | $66.14 | $264,560.00 |
DisclosureSEC source: 0001225208-13-015981 · doc4.xml · nonDerivative · entry 3 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,541 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on April 26, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| July 05, 2013 Filed Jul 9, 2013 20:31 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 10,000 | $0.00 Strike: $18.28 | $0.00 |
DisclosureSEC source: 0001225208-13-015981 · doc4.xml · derivative · entry 6 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,848 Underlying: Common Stock · 10,000 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 26, 2013, 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 January 29, 2010 and annually thereafter. Read SEC document |
| July 05, 2013 Filed Jul 9, 2013 20:31 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 10,000 | $64.74 | $647,400.00 |
DisclosureSEC source: 0001225208-13-015981 · doc4.xml · nonDerivative · entry 2 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,541 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on April 26, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| July 05, 2013 Filed Jul 9, 2013 20:31 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 10,000 | $18.28 | $182,800.00 |
DisclosureSEC source: 0001225208-13-015981 · doc4.xml · nonDerivative · entry 1 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 111,541 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 26, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| July 01, 2013 Filed Jul 2, 2013 20:16 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 3,614 | $63.74 | $230,356.36 |
DisclosureSEC source: 0001225208-13-015451 · doc4.xml · nonDerivative · entry 1 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,541 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on April 26, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| June 10, 2013 Filed Jun 11, 2013 21:03 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 8,000 | $0.00 Strike: $18.28 | $0.00 |
DisclosureSEC source: 0001225208-13-014222 · doc4.xml · derivative · entry 5 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,848 Underlying: Common Stock · 8,000 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 26, 2013, 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, 2013 Filed Jun 11, 2013 21:03 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 8,000 | $62.74 | $501,920.00 |
DisclosureSEC source: 0001225208-13-014222 · doc4.xml · nonDerivative · entry 2 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,155 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on April 26, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| June 10, 2013 Filed Jun 11, 2013 21:03 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 8,000 | $18.28 | $146,240.00 |
DisclosureSEC source: 0001225208-13-014222 · doc4.xml · nonDerivative · entry 1 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 113,155 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 26, 2013, 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 |
| February 10, 2013 Filed Feb 13, 2013 00:17 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionRestricted Stock Units · Derivative | 6,304 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-003867 · doc4.xml · derivative · entry 6 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,611 Underlying: Common Stock · 6,304 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, 2013, 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, 2013, 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, 2013 and annually thereafter. F3 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2013 and annually thereafter. Read SEC document |
| February 10, 2013 Filed Feb 13, 2013 00:17 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 6,304 | $57.87 | $364,812.48 |
DisclosureSEC source: 0001225208-13-003867 · doc4.xml · nonDerivative · entry 3 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,144 F1 · price: On February 10, 2013, 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, 2013 Filed Feb 13, 2013 00:17 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 2,785 | $57.27 | $159,496.95 |
DisclosureSEC source: 0001225208-13-003867 · doc4.xml · nonDerivative · entry 2 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 111,448 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, 2012. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 10, 2013 Filed Feb 13, 2013 00:17 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 6,304 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-003867 · doc4.xml · nonDerivative · entry 1 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 114,233 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, 2013, 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 |
| January 31, 2013 Filed Feb 4, 2013 21:37 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantStock Options · Derivative | 30,645 | $0.00 Strike: $56.32 | $0.00 |
DisclosureSEC source: 0001225208-13-002865 · doc4.xml · derivative · entry 6 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,645 Underlying: Common Stock · 30,645 shares Expires 2023-01-30 F4 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on February 10, 2014 and annually thereafter. Read SEC document |
| January 31, 2013 Filed Feb 4, 2013 21:37 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantRestricted Stock Units · Derivative | 9,411 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-002865 · doc4.xml · derivative · entry 5 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,411 Underlying: Common Stock · 9,411 shares Expires 2013-12-15 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 twenty trading days preceding the vesting date. Read SEC document |
| January 31, 2013 Filed Feb 4, 2013 21:37 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Grant2013 Restricted Stock Units · Derivative | 9,859 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-002865 · doc4.xml · derivative · entry 4 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,859 Underlying: Common Stock · 9,859 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 twenty trading days preceding the vesting date. F3 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on February 10, 2014 and annually thereafter. F3 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 10, 2014 and annually thereafter. Read SEC document |
| January 31, 2013 Filed Feb 4, 2013 21:37 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 16,431 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-002865 · doc4.xml · nonDerivative · entry 1 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 107,929 F1 · security: This restricted stock will vest in 1/3 increments beginning on February 10, 2014 and annually thereafter. Read SEC document |
| January 27, 2013 Filed Jan 29, 2013 22:26 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 2,071 | $56.32 | $116,638.72 |
DisclosureSEC source: 0001225208-13-002394 · doc4.xml · nonDerivative · entry 4 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,498 F3 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 27, 2010. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| January 26, 2013 Filed Jan 29, 2013 22:26 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionRestricted Stock Units · Derivative | 5,528 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-002394 · doc4.xml · derivative · entry 7 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,528 Underlying: Common Stock · 5,528 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 January 26, 2013, 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 January 26, 2013, 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. F4 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on January 26, 2012 and annually thereafter. F4 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on January 26, 2012 and annually thereafter. Read SEC document |
| January 26, 2013 Filed Jan 29, 2013 22:26 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 5,528 | $59.86 | $330,906.08 |
DisclosureSEC source: 0001225208-13-002394 · doc4.xml · nonDerivative · entry 3 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,569 F1 · price: On January 26, 2013, 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 |
| January 26, 2013 Filed Jan 29, 2013 22:26 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 2,049 | $56.32 | $115,399.68 |
DisclosureSEC source: 0001225208-13-002394 · doc4.xml · nonDerivative · entry 2 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,097 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 26, 2011. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| January 26, 2013 Filed Jan 29, 2013 22:26 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 5,528 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-002394 · doc4.xml · nonDerivative · entry 1 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,146 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 January 26, 2013, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. Read SEC document |
| December 15, 2012 Filed Dec 18, 2012 22:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionRestricted Stock Units · Derivative | 11,033 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001225208-12-025627 · 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 · 11,033 shares Expires 2012-12-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On December 15, 2012, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. F1 · price: On December 15, 2012, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. Read SEC document |
| December 15, 2012 Filed Dec 18, 2012 22:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 11,033 | $57.73 | $636,935.09 |
DisclosureSEC source: 0001225208-12-025627 · doc4.xml · nonDerivative · entry 2 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,618 Read SEC document |
| December 15, 2012 Filed Dec 18, 2012 22:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 11,033 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-025627 · doc4.xml · nonDerivative · entry 1 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 106,651 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: On December 15, 2012, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. F2 · 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 |
| October 22, 2012 Filed Oct 24, 2012 21:29 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 7,000 | $0.00 Strike: $18.28 | $0.00 |
DisclosureSEC source: 0001225208-12-021718 · doc4.xml · derivative · entry 9 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,848 Underlying: Common Stock · 7,000 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 February 8, 2012 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F3 · derivative.exercise_date: This option is exercisable in 1/3 increments beginning on January 29, 2010 and annually thereafter. Read SEC document |
| October 22, 2012 Filed Oct 24, 2012 21:29 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 5,000 | $0.00 Strike: $18.28 | $0.00 |
DisclosureSEC source: 0001225208-12-021718 · doc4.xml · derivative · entry 8 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,848 Underlying: Common Stock · 5,000 shares Expires 2019-01-28 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on October 26, 2011 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F3 · derivative.exercise_date: This option is exercisable in 1/3 increments beginning on January 29, 2010 and annually thereafter. Read SEC document |
| October 22, 2012 Filed Oct 24, 2012 21:29 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 8,000 | $61.26 | $490,080.00 |
DisclosureSEC source: 0001225208-12-021718 · doc4.xml · nonDerivative · entry 5 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,616 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on February 8, 2012 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| October 22, 2012 Filed Oct 24, 2012 21:29 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 7,000 | $61.26 | $428,820.00 |
DisclosureSEC source: 0001225208-12-021718 · doc4.xml · nonDerivative · entry 4 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 103,616 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on February 8, 2012 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| October 22, 2012 Filed Oct 24, 2012 21:29 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 5,000 | $61.26 | $306,300.00 |
DisclosureSEC source: 0001225208-12-021718 · doc4.xml · nonDerivative · entry 3 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,616 F2 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on October 26, 2011 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| October 22, 2012 Filed Oct 24, 2012 21:29 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 5,000 | $18.28 | $91,400.00 |
DisclosureSEC source: 0001225208-12-021718 · doc4.xml · nonDerivative · entry 2 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 115,616 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 October 26, 2011 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| October 22, 2012 Filed Oct 24, 2012 21:29 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 7,000 | $18.28 | $127,960.00 |
DisclosureSEC source: 0001225208-12-021718 · doc4.xml · nonDerivative · entry 1 Alexander Robert M. · CIK 0001425374 · Chief Information Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,616 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on February 8, 2012 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. 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.