Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CAPITAL ONE FINANCIAL CORPCOF · Entity 547 | Director · Chairman and CEO | 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 | 4,056,875 |
Reported balance
After 2026-03-09 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2026-03-09 · Grant · Acquired 55,638 · Balance 4,056,875 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: Includes shares acquired by the reporting person through the Company's Dividend Reinvestment Plan since the last reported transaction. |
| Common StockSEC Table I · non-derivative | Direct | 4,031,782 |
Reported balance
After 2026-03-09 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2026-03-09 · Tax withholding · Disposed 25,093 · Balance 4,031,782 F3: 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 | Direct | 4,098,683 |
Reported balance
After 2026-03-09 transaction · row 3
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 3 · 2026-03-09 · Grant · Acquired 66,901 · Balance 4,098,683 F4: 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 total shareholder return 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. |
| Common StockSEC Table I · non-derivative | Direct | 4,068,510 |
Reported balance
After 2026-03-09 transaction · row 4
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 4 · 2026-03-09 · Tax withholding · Disposed 30,173 · Balance 4,068,510 F3: 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. |
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: Includes shares acquired by the reporting person through the Company's Dividend Reinvestment Plan since the last reported transaction.
F3: 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.
F4: 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 total shareholder return 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.
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 |
|---|---|---|---|---|---|---|
| December 03, 2014 Filed Dec 5, 2014 22:20 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 16,517 | $82.47 | $1,362,156.99 |
DisclosureSEC source: 0001225208-14-024479 · doc4.xml · nonDerivative · entry 2 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chair, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,212,497 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 14, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: These shares were sold at prices ranging from $82.44 to $82.53. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| December 03, 2014 Filed Dec 5, 2014 22:20 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 16,517 | $82.39 | $1,360,835.63 |
DisclosureSEC source: 0001225208-14-024479 · doc4.xml · nonDerivative · entry 1 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chair, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,229,014 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 14, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| December 02, 2014 Filed Dec 3, 2014 22:41 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 115,828 | $0.00 Strike: $82.39 | $0.00 |
DisclosureSEC source: 0001225208-14-024355 · doc4.xml · derivative · entry 6 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chair, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 289,079 Underlying: Common Stock · 115,828 shares Expires 2014-12-20 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 14, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| December 02, 2014 Filed Dec 3, 2014 22:41 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 115,828 | $82.51 | $9,556,968.28 |
DisclosureSEC source: 0001225208-14-024355 · doc4.xml · nonDerivative · entry 4 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chair, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,212,497 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 14, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F4 · price: The shares were sold at prices ranging from $82.44 to $82.80. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| December 02, 2014 Filed Dec 3, 2014 22:41 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 115,828 | $82.39 | $9,543,068.92 |
DisclosureSEC source: 0001225208-14-024355 · doc4.xml · nonDerivative · entry 3 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chair, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,328,325 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 14, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| December 01, 2014 Filed Dec 3, 2014 22:41 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 161,093 | $0.00 Strike: $82.39 | $0.00 |
DisclosureSEC source: 0001225208-14-024355 · doc4.xml · derivative · entry 5 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chair, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 404,907 Underlying: Common Stock · 161,093 shares Expires 2014-12-20 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 14, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| December 01, 2014 Filed Dec 3, 2014 22:41 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 161,093 | $82.54 | $13,296,616.22 |
DisclosureSEC source: 0001225208-14-024355 · doc4.xml · nonDerivative · entry 2 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chair, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,212,497 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 14, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F3 · price: The shares were sold at prices ranging from $82.44 to $82.79. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| December 01, 2014 Filed Dec 3, 2014 22:41 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 161,093 | $82.39 | $13,272,452.27 |
DisclosureSEC source: 0001225208-14-024355 · doc4.xml · nonDerivative · entry 1 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chair, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,373,590 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 14, 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 Dividend Reinvestment Plan since the last reported transaction. Read SEC document |
| July 25, 2014 Filed Aug 5, 2014 21:04 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GiftCommon Stock | 4,856 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-14-018021 · doc4.xml · nonDerivative · entry 1 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chair, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,212,490 F1 · balance_after: Includes shares acquired by the reporting person through the Company's Dividend Reinvestment Plan since the last reported transaction. Read SEC document |
| March 10, 2014 Filed Mar 12, 2014 23:32 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionPerformance Share Units · Derivative | 169,347 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-14-008172 · doc4.xml · derivative · entry 3 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 169,347 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: These performance shares for the January 26, 2011 grant were settled at the end of a three-year performance period based on the Company's relative and absolute cash return on average tangible assets 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 26, 2011 grant were settled at the end of a three-year performance period based on the Company's relative and absolute cash return on average tangible assets 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 26, 2011 grant were settled at the end of a three-year performance period based on the Company's relative and absolute cash return on average tangible assets 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, 2014 Filed Mar 12, 2014 23:32 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 80,779 | $75.15 | $6,070,541.85 |
DisclosureSEC source: 0001225208-14-008172 · doc4.xml · nonDerivative · entry 2 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,217,342 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 26, 2011 grant. This is authorized in the performance share award agreement. Read SEC document |
| March 10, 2014 Filed Mar 12, 2014 23:32 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 169,347 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-14-008172 · doc4.xml · nonDerivative · entry 1 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,298,121 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 26, 2011 grant were settled at the end of a three-year performance period based on the Company's relative and absolute cash return on average tangible assets 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 Dividend Reinvestment Plan since the last reported transaction. Read SEC document |
| January 30, 2014 Filed Feb 4, 2014 00:18 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantStock Options · Derivative | 108,944 | $0.00 Strike: $70.96 | $0.00 |
DisclosureSEC source: 0001225208-14-003159 · doc4.xml · derivative · entry 3 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 108,944 Underlying: Common Stock · 108,944 shares Expires 2024-01-29 Read SEC document |
| January 30, 2014 Filed Feb 4, 2014 00:18 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Grant2014 Restricted Stock Units · Derivative | 40,076 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-14-003159 · doc4.xml · derivative · entry 2 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,076 Underlying: Common Stock · 40,076 shares Expires 2017-02-15 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 fifteen trading days preceding the vesting date. Read SEC document |
| January 30, 2014 Filed Feb 4, 2014 00:18 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 24,662 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-14-003159 · doc4.xml · nonDerivative · entry 1 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,128,770 F1 · security: This restricted stock unit award will vest in full on February 15, 2017. Each restricted stock unit represents a contingent right to receive one share of Company common stock. Read SEC document |
| January 26, 2014 Filed Jan 28, 2014 21:50 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionRestricted Stock Units · Derivative | 134,632 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-14-002552 · doc4.xml · derivative · entry 3 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 134,632 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, 2014 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, 2014 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 vested in full on the third anniversary of the date of grant. F3 · derivative.expiration_date: These restricted stock units vested in full on the third anniversary of the date of grant. Read SEC document |
| January 26, 2014 Filed Jan 28, 2014 21:50 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 134,632 | $75.66 | $10,186,257.12 |
DisclosureSEC source: 0001225208-14-002552 · doc4.xml · nonDerivative · entry 2 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,104,108 F1 · price: On January 26, 2014 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, 2014 Filed Jan 28, 2014 21:50 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 134,632 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-14-002552 · doc4.xml · nonDerivative · entry 1 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,238,740 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, 2014 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 4 shares acquired by the reporting person through the Company's Dividend Reinvestment Plan since the last reported transaction. Read SEC document |
| November 18, 2013 Filed Nov 20, 2013 22:12 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 108,338 | $70.11 | $7,595,577.18 |
DisclosureSEC source: 0001225208-13-023969 · doc4.xml · nonDerivative · entry 1 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,104,104 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 14, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: These shares were sold at prices ranging from $70 to $70.52. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| November 15, 2013 Filed Nov 16, 2013 00:11 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 300,000 | $70.45 | $21,135,000.00 |
DisclosureSEC source: 0001225208-13-023646 · doc4.xml · nonDerivative · entry 4 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,212,442 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 14, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F5 · price: These shares were sold at prices ranging from $70.24 to $70.93. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| November 14, 2013 Filed Nov 16, 2013 00:11 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 360,000 | $0.00 Strike: $56.28 | $0.00 |
DisclosureSEC source: 0001225208-13-023646 · doc4.xml · derivative · entry 5 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 360,000 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 May 14, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F6 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on December 15, 2004 and annually thereafter. Read SEC document |
| November 14, 2013 Filed Nov 16, 2013 00:11 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 360,000 | $70.45 | $25,362,000.00 |
DisclosureSEC source: 0001225208-13-023646 · doc4.xml · nonDerivative · entry 3 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,512,442 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 14, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F4 · price: These shares were sold at prices ranging from $70.11 to $70.67. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| November 14, 2013 Filed Nov 16, 2013 00:11 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 141,662 | $70.69 | $10,014,086.78 |
DisclosureSEC source: 0001225208-13-023646 · doc4.xml · nonDerivative · entry 2 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,872,442 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 14, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F3 · price: These shares were sold at prices ranging from $70.52 to $70.87. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| November 14, 2013 Filed Nov 16, 2013 00:11 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 360,000 | $56.28 | $20,260,800.00 |
DisclosureSEC source: 0001225208-13-023646 · doc4.xml · nonDerivative · entry 1 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,014,104 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 14, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · balance_after: Includes 9 shares acquired by the reporting person through the Company's Dividend Reinvestment Plan since the last reported transaction. Read SEC document |
| May 13, 2013 Filed May 14, 2013 20:09 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GiftCommon Stock | 6,810 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-012263 · doc4.xml · nonDerivative · entry 1 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,654,095 Read SEC document |
| March 11, 2013 Filed Mar 12, 2013 21:28 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionPerformance Share Units · Derivative | 179,973 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-007504 · doc4.xml · derivative · entry 3 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 179,973 shares Expires 2013-03-15 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 27, 2010 grant were settled at the end of a three-year performance period based on the Company's relative cash return on average tangible assets 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 27, 2010 grant were settled at the end of a three-year performance period based on the Company's relative cash return on average tangible assets 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 11, 2013 Filed Mar 12, 2013 21:28 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 85,848 | $54.98 | $4,719,923.04 |
DisclosureSEC source: 0001225208-13-007504 · doc4.xml · nonDerivative · entry 2 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,660,905 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 27, 2010 grant. This is authorized in the performance share award agreement. Read SEC document |
| March 11, 2013 Filed Mar 12, 2013 21:28 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 179,973 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-007504 · doc4.xml · nonDerivative · entry 1 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,746,753 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 27, 2010 grant were settled at the end of a three-year performance period based on the Company's relative cash return on average tangible assets 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 Dividend Reinvestment Plan since the last reported transaction. Read SEC document |
| January 31, 2013 Filed Feb 4, 2013 21:38 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantStock Options · Derivative | 325,985 | $0.00 Strike: $56.32 | $0.00 |
DisclosureSEC source: 0001225208-13-002866 · doc4.xml · derivative · entry 2 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 325,985 Underlying: Common Stock · 325,985 shares Expires 2023-01-30 Read SEC document |
| January 31, 2013 Filed Feb 4, 2013 21:38 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Grant2013 Restricted Stock Units · Derivative | 38,841 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-002866 · doc4.xml · derivative · entry 1 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,841 Underlying: Common Stock · 38,841 shares Expires 2016-02-10 F1 · 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 27, 2013 Filed Jan 29, 2013 22:26 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionRestricted Stock Units · Derivative | 136,799 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-002395 · doc4.xml · derivative · entry 3 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 136,799 shares Expires 2013-01-27 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 27, 2013, the restricted stock units were settled in cash based on the Company's average stock price over the twenty trading days preceding the vesting date. F1 · price: On January 27, 2013, the restricted stock units were settled in cash based on the Company's average stock price over the twenty trading days preceding the vesting date. Read SEC document |
| January 27, 2013 Filed Jan 29, 2013 22:26 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 136,799 | $59.86 | $8,188,788.14 |
DisclosureSEC source: 0001225208-13-002395 · doc4.xml · nonDerivative · entry 2 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,566,779 F1 · price: On January 27, 2013, the restricted stock units were settled in cash based on the Company's average stock price over the twenty trading days preceding the vesting date. Read SEC document |
| January 27, 2013 Filed Jan 29, 2013 22:26 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 136,799 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-002395 · doc4.xml · nonDerivative · entry 1 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,703,578 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 27, 2013, the restricted stock units were settled in cash based on the Company's average stock price over the twenty trading days preceding the vesting date. F2 · balance_after: Includes shares acquired by the reporting person through the Company's Dividend Reinvestment Plan since the last reported transaction. Read SEC document |
| January 31, 2012 Filed Feb 2, 2012 22:18 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantStock Options · Derivative | 360,009 | $0.00 Strike: $45.75 | $0.00 |
DisclosureSEC source: 0001225208-12-002906 · doc4.xml · derivative · entry 6 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 360,009 Underlying: Common Stock · 360,009 shares Expires 2022-01-30 Read SEC document |
| January 31, 2012 Filed Feb 2, 2012 22:18 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantRestricted Stock Units · Derivative | 157,378 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-002906 · doc4.xml · derivative · entry 5 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 157,378 Underlying: Common Stock · 157,378 shares Expires 2015-02-10 F5 · 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, 2012 Filed Feb 2, 2012 22:18 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantPerformance Share Units · Derivative | 382,514 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-002906 · doc4.xml · derivative · entry 4 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 382,514 Underlying: Common Stock · 382,514 shares Expires 2015-03-15 F4 · derivative.exercise_price: These performance share units will settle at the end of a three-year performance period (January 1, 2012 to December 31, 2014) based on the Company's relative Adjusted ROA against a peer group of companies. The number of shares reported represents 200% of the target amount. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement. F4 · derivative.exercise_date: These performance share units will settle at the end of a three-year performance period (January 1, 2012 to December 31, 2014) based on the Company's relative Adjusted ROA against a peer group of companies. The number of shares reported represents 200% of the target amount. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement. Read SEC document |
| January 31, 2012 Filed Feb 2, 2012 22:18 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2009 Performance Share Units · Derivative | 147,753 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-002906 · doc4.xml · derivative · entry 3 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 147,753 shares Expires 2012-03-15 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. F3 · derivative.exercise_price: These performance share units for the January 29, 2009 grant were settled at the end of a three-year performance period based on the Company's total shareholder return as compared to the total shareholder return of a peer group of companies. F3 · derivative.exercise_date: These performance share units for the January 29, 2009 grant were settled at the end of a three-year performance period based on the Company's total shareholder return as compared to the total shareholder return of a peer group of companies. Read SEC document |
| January 31, 2012 Filed Feb 2, 2012 22:18 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 60,268 | $45.75 | $2,757,261.00 |
DisclosureSEC source: 0001225208-12-002906 · doc4.xml · nonDerivative · entry 2 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,566,775 F2 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares for the January 29, 2009 grant. This is authorized in the performance share award agreement. Read SEC document |
| January 31, 2012 Filed Feb 2, 2012 22:18 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 147,753 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-002906 · doc4.xml · nonDerivative · entry 1 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,627,043 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 29, 2009 grant were settled at the end of a three-year performance period based on the Company's total shareholder return as compared to the total shareholder return of 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 |
| October 31, 2011 Filed Dec 21, 2011 23:53 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GiftCommon Stock | 8,570 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-11-026794 · doc4.xml · nonDerivative · entry 1 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,479,290 F1 · balance_after: Includes shares acquired by the reporting person through the Company's Dividend Reinvestment Plan since the last reported transaction. Read SEC document |
| February 10, 2011 Filed Feb 11, 2011 21:44 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GiftCommon Stock | 3,920 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-11-005530 · doc4.xml · nonDerivative · entry 1 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,487,856 F1 · balance_after: Includes shares acquired by the reporting person through the Company's Dividend Reinvestment Plan since the last reported transaction. Read SEC document |
| January 26, 2011 Filed Jan 28, 2011 22:10 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantStock Options · Derivative | 608,366 | $0.00 Strike: $48.28 | $0.00 |
DisclosureSEC source: 0001225208-11-004151 · doc4.xml · derivative · entry 3 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 608,366 Underlying: Common Stock · 608,366 shares Expires 2021-01-25 Read SEC document |
| January 26, 2011 Filed Jan 28, 2011 22:10 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantRestricted Stock Units · Derivative | 134,632 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-11-004151 · doc4.xml · derivative · entry 2 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 134,632 Underlying: Common Stock · 134,632 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 full on the third anniversary of the date of grant. F3 · derivative.expiration_date: These restricted stock units will vest in full on the third anniversary of the date of grant. Read SEC document |
| January 26, 2011 Filed Jan 28, 2011 22:10 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantPerformance Share Units · Derivative | 165,702 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-11-004151 · doc4.xml · derivative · entry 1 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 165,702 Underlying: Common Stock · 165,702 shares Expires not disclosed F1 · derivative.exercise_price: These performance shares are settled at the end of a three-year performance period (January 1, 2011 to December 31, 2013) based on the Company's relative and absolute cash return on average tangible assets against a peer group of companies. The number of shares reported represents 200% of the target award amount. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement. F1 · derivative.exercise_date: These performance shares are settled at the end of a three-year performance period (January 1, 2011 to December 31, 2013) based on the Company's relative and absolute cash return on average tangible assets against a peer group of companies. The number of shares reported represents 200% of the target award amount. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement. F1 · derivative.expiration_date: These performance shares are settled at the end of a three-year performance period (January 1, 2011 to December 31, 2013) based on the Company's relative and absolute cash return on average tangible assets against a peer group of companies. The number of shares reported represents 200% of the target award amount. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement. Read SEC document |
| January 27, 2010 Filed Jan 29, 2010 15:05 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantStock Options · Derivative | 559,333 | $0.00 Strike: $36.55 | $0.00 |
DisclosureSEC source: 0001225208-10-002570 · doc4.xml · derivative · entry 3 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 559,333 Underlying: Common Stock · 559,333 shares Expires 2020-01-26 Read SEC document |
| January 27, 2010 Filed Jan 29, 2010 15:05 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantRestricted Stock Units · Derivative | 136,799 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-10-002570 · doc4.xml · derivative · entry 2 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 136,799 Underlying: Common Stock · 136,799 shares Expires 2013-01-27 F4 · derivative.exercise_price: Each restricted stock unit will be settled in cash based on the Company's average stock price over the twenty trading days preceding the vesting date. F5 · derivative.exercise_date: The restricted stock units will vest in full on on the third anniversary of the grant date. Read SEC document |
| January 27, 2010 Filed Jan 29, 2010 15:05 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantPerformance Share Units · Derivative | 177,840 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-10-002570 · doc4.xml · derivative · entry 1 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 177,840 Underlying: Common Stock · 177,840 shares Expires 2013-03-15 F1 · derivative.exercise_price: Each performance share unit represents the right to receive one performance share upon satisfaction of the performance conditions. F2 · shares: The number of performance share units shown represents the maximum number of performance shares that may be issuable at the end of the performance period. F3 · derivative.exercise_date: The performance shares may be issuable at the end of a three-year performance period (January 1, 2010 to December 31, 2012) based on the Company's relative cash return on average tangible assets against a peer group of companies. Read SEC document |
| August 14, 2009 Filed Sep 10, 2009 20:07 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GiftCommon Stock | 11,532 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-09-018699 · doc4.xml · nonDerivative · entry 1 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,491,770 F1 · balance_after: Includes shares acquired by the reporting person through the Company's Dividend Reinvestment Plan since the last reported transaction. Also includes 69,876 shares distributed to the reporting person as his pro rata ownership interest following the liquidation of Fairbank Morris, Inc. These shares were previously reported as part of the reporting person's indirect beneficial holdings. Read SEC document |
| January 29, 2009 Filed Feb 3, 2009 01:18 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantStock Options · Derivative | 970,403 | $0.00 Strike: $18.28 | $0.00 |
DisclosureSEC source: 0001225208-09-002550 · doc4.xml · derivative · entry 2 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 970,403 Underlying: Common Stock · 970,403 shares Expires 2019-01-28 F1 · security: All performance shares issued and shares issued on exercise of stock options shall be subject to the TARP Capital Purchase Program restrictions as described in the grant agreement. F5 · derivative.exercise_date: This grant will become exercisable in full on the third anniversary of the grant date. Read SEC document |
| January 29, 2009 Filed Feb 3, 2009 01:18 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantPerformance Share Units · Derivative | 190,478 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-09-002550 · doc4.xml · derivative · entry 1 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 190,478 Underlying: Common Stock · 190,478 shares Expires 2012-03-15 F1 · security: All performance shares issued and shares issued on exercise of stock options shall be subject to the TARP Capital Purchase Program restrictions as described in the grant agreement. F2 · derivative.exercise_price: Each performance unit represents the right to receive one performance share upon satisfaction of the performance conditions. F3 · shares: The number of performance units shown represents the maximum number of performance shares that may be issuable at the end of the performance period. F4 · derivative.exercise_date: The performance shares may be issuable at the end of a three-year performance period (January 1, 2009 to December 31, 2011) based on the Company's total shareholder return as compared to the total shareholder return for a peer group of companies. 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.