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 |
|---|---|---|---|---|---|---|
| November 04, 2020 Filed Nov 5, 2020 21:24 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 3,279 | $73.97 | $242,547.63 |
DisclosureSEC source: 0000927628-20-000297 · wf-form4_160461128083518.xml · nonDerivative · entry 5 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,596,016 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $73.46 to $74.44. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| November 04, 2020 Filed Nov 5, 2020 21:24 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 40,558 | $48.28 | $1,958,140.24 |
DisclosureSEC source: 0000927628-20-000297 · wf-form4_160461128083518.xml · nonDerivative · entry 4 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,599,295 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 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| November 03, 2020 Filed Nov 5, 2020 21:24 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 40,558 | $0.00 Strike: $48.28 | $0.00 |
DisclosureSEC source: 0000927628-20-000297 · wf-form4_160461128083518.xml · derivative · entry 10 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 324,464 Underlying: Common Stock · 40,558 shares Expires 2021-01-25 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| November 03, 2020 Filed Nov 5, 2020 21:24 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 21,227 | $78.38 | $1,663,772.26 |
DisclosureSEC source: 0000927628-20-000297 · wf-form4_160461128083518.xml · nonDerivative · entry 3 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,558,737 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $78.06 to $78.80. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| November 03, 2020 Filed Nov 5, 2020 21:24 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 10,833 | $77.50 | $839,557.50 |
DisclosureSEC source: 0000927628-20-000297 · wf-form4_160461128083518.xml · nonDerivative · entry 2 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,579,964 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $76.99 to $77.93. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| November 03, 2020 Filed Nov 5, 2020 21:24 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 40,558 | $48.28 | $1,958,140.24 |
DisclosureSEC source: 0000927628-20-000297 · wf-form4_160461128083518.xml · nonDerivative · entry 1 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,590,797 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 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| November 02, 2020 Filed Nov 3, 2020 21:05 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 40,558 | $0.00 Strike: $48.28 | $0.00 |
DisclosureSEC source: 0000927628-20-000292 · wf-form4_160443754399236.xml · derivative · entry 8 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 365,022 Underlying: Common Stock · 40,558 shares Expires 2021-01-25 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| November 02, 2020 Filed Nov 3, 2020 21:05 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 5,457 | $75.27 | $410,748.39 |
DisclosureSEC source: 0000927628-20-000292 · wf-form4_160443754399236.xml · nonDerivative · entry 6 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,550,239 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $75.23 to $75.60. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| November 02, 2020 Filed Nov 3, 2020 21:05 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 27,271 | $74.74 | $2,038,234.54 |
DisclosureSEC source: 0000927628-20-000292 · wf-form4_160443754399236.xml · nonDerivative · entry 5 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,555,696 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $74.19 to $75.15. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| November 02, 2020 Filed Nov 3, 2020 21:05 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 40,558 | $48.28 | $1,958,140.24 |
DisclosureSEC source: 0000927628-20-000292 · wf-form4_160443754399236.xml · nonDerivative · entry 4 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,582,967 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 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| October 30, 2020 Filed Nov 3, 2020 21:05 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 40,558 | $0.00 Strike: $48.28 | $0.00 |
DisclosureSEC source: 0000927628-20-000292 · wf-form4_160443754399236.xml · derivative · entry 7 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 405,580 Underlying: Common Stock · 40,558 shares Expires 2021-01-25 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| October 30, 2020 Filed Nov 3, 2020 21:05 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 18,386 | $72.70 | $1,336,662.20 |
DisclosureSEC source: 0000927628-20-000292 · wf-form4_160443754399236.xml · nonDerivative · entry 3 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,542,409 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $72.28 to $73.20. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| October 30, 2020 Filed Nov 3, 2020 21:05 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 14,831 | $71.82 | $1,065,162.42 |
DisclosureSEC source: 0000927628-20-000292 · wf-form4_160443754399236.xml · nonDerivative · entry 2 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,560,795 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $71.28 to $72.27. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| October 30, 2020 Filed Nov 3, 2020 21:05 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 40,558 | $48.28 | $1,958,140.24 |
DisclosureSEC source: 0000927628-20-000292 · wf-form4_160443754399236.xml · nonDerivative · entry 1 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,575,626 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 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| October 29, 2020 Filed Oct 30, 2020 20:37 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 40,557 | $0.00 Strike: $48.28 | $0.00 |
DisclosureSEC source: 0000927628-20-000281 · wf-form4_160409024157952.xml · derivative · entry 10 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 446,138 Underlying: Common Stock · 40,557 shares Expires 2021-01-25 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| October 29, 2020 Filed Oct 30, 2020 20:37 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 275 | $73.19 | $20,127.25 |
DisclosureSEC source: 0000927628-20-000281 · wf-form4_160409024157952.xml · nonDerivative · entry 8 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,535,068 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $73.11 to $73.26. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| October 29, 2020 Filed Oct 30, 2020 20:37 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 24,653 | $72.44 | $1,785,863.32 |
DisclosureSEC source: 0000927628-20-000281 · wf-form4_160409024157952.xml · nonDerivative · entry 7 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,535,343 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $71.95 to $72.76. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| October 29, 2020 Filed Oct 30, 2020 20:37 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 8,347 | $71.23 | $594,556.81 |
DisclosureSEC source: 0000927628-20-000281 · wf-form4_160409024157952.xml · nonDerivative · entry 6 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,559,996 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $70.89 to $71.87. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| October 29, 2020 Filed Oct 30, 2020 20:37 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 40,557 | $48.28 | $1,958,091.96 |
DisclosureSEC source: 0000927628-20-000281 · wf-form4_160409024157952.xml · nonDerivative · entry 5 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,568,343 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| October 28, 2020 Filed Oct 30, 2020 20:37 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 40,557 | $0.00 Strike: $48.28 | $0.00 |
DisclosureSEC source: 0000927628-20-000281 · wf-form4_160409024157952.xml · derivative · entry 9 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 486,695 Underlying: Common Stock · 40,557 shares Expires 2021-01-25 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| October 28, 2020 Filed Oct 30, 2020 20:37 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 400 | $73.57 | $29,428.00 |
DisclosureSEC source: 0000927628-20-000281 · wf-form4_160409024157952.xml · nonDerivative · entry 4 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,527,786 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| October 28, 2020 Filed Oct 30, 2020 20:37 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 14,652 | $72.78 | $1,066,372.56 |
DisclosureSEC source: 0000927628-20-000281 · wf-form4_160409024157952.xml · nonDerivative · entry 3 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,528,186 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $72.51 to $73.37. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| October 28, 2020 Filed Oct 30, 2020 20:37 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 18,103 | $72.09 | $1,305,045.27 |
DisclosureSEC source: 0000927628-20-000281 · wf-form4_160409024157952.xml · nonDerivative · entry 2 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,542,838 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $71.51 to $72.50. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| October 28, 2020 Filed Oct 30, 2020 20:37 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 40,557 | $48.28 | $1,958,091.96 |
DisclosureSEC source: 0000927628-20-000281 · wf-form4_160409024157952.xml · nonDerivative · entry 1 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,560,941 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 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| October 27, 2020 Filed Oct 28, 2020 20:38 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 40,557 | $0.00 Strike: $48.28 | $0.00 |
DisclosureSEC source: 0000927628-20-000278 · wf-form4_160391747253307.xml · derivative · entry 9 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 527,252 Underlying: Common Stock · 40,557 shares Expires 2021-01-25 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| October 27, 2020 Filed Oct 28, 2020 20:38 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 2,423 | $74.80 | $181,240.40 |
DisclosureSEC source: 0000927628-20-000278 · wf-form4_160391747253307.xml · nonDerivative · entry 7 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,520,384 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $74.77 to $74.85. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| October 27, 2020 Filed Oct 28, 2020 20:38 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 30,373 | $74.17 | $2,252,765.41 |
DisclosureSEC source: 0000927628-20-000278 · wf-form4_160391747253307.xml · nonDerivative · entry 6 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,522,807 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $73.75 to $74.74. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| October 27, 2020 Filed Oct 28, 2020 20:38 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 40,557 | $48.28 | $1,958,091.96 |
DisclosureSEC source: 0000927628-20-000278 · wf-form4_160391747253307.xml · nonDerivative · entry 5 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,553,180 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 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| October 26, 2020 Filed Oct 28, 2020 20:38 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 40,557 | $0.00 Strike: $48.28 | $0.00 |
DisclosureSEC source: 0000927628-20-000278 · wf-form4_160391747253307.xml · derivative · entry 8 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 567,809 Underlying: Common Stock · 40,557 shares Expires 2021-01-25 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| October 26, 2020 Filed Oct 28, 2020 20:38 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 1,730 | $76.62 | $132,552.60 |
DisclosureSEC source: 0000927628-20-000278 · wf-form4_160391747253307.xml · nonDerivative · entry 4 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,512,623 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $76.56 to $76.63. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| October 26, 2020 Filed Oct 28, 2020 20:38 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 6,702 | $75.88 | $508,547.76 |
DisclosureSEC source: 0000927628-20-000278 · wf-form4_160391747253307.xml · nonDerivative · entry 3 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,514,353 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $75.51 to $76.40. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| October 26, 2020 Filed Oct 28, 2020 20:38 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 24,183 | $74.92 | $1,811,790.36 |
DisclosureSEC source: 0000927628-20-000278 · wf-form4_160391747253307.xml · nonDerivative · entry 2 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,521,055 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $74.51 to $75.48. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| October 26, 2020 Filed Oct 28, 2020 20:38 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 40,557 | $48.28 | $1,958,091.96 |
DisclosureSEC source: 0000927628-20-000278 · wf-form4_160391747253307.xml · nonDerivative · entry 1 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,545,238 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 12, 2020, 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 |
| March 05, 2020 Filed Mar 9, 2020 20:15 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 72,551 | $85.08 | $6,172,639.08 |
DisclosureSEC source: 0000927628-20-000147 · wf-form4_158378489870559.xml · nonDerivative · entry 2 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,504,672 F3 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement. Read SEC document |
| March 05, 2020 Filed Mar 9, 2020 20:15 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 160,866 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000147 · wf-form4_158378489870559.xml · nonDerivative · entry 1 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,577,223 F1 · security: These shares were earned pursuant to an award of performance shares granted on February 2, 2017 based on the Company's Adjusted ROA against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant. 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 |
| February 15, 2020 Filed Feb 20, 2020 00:28 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2017 Restricted Stock Units · Derivative | 20,057 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000095 · wf-form4_158215851339202.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 · 20,057 shares Expires 2020-02-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: Reflects the correction to a withholding of shares previously reported on February 3, 2020 that, due to an administrative reporting error, inadvertently misstated the number of shares withheld automatically to satisfy the reporting person's tax liability. F1 · derivative.exercise_price: On February 15, 2020, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F1 · price: On February 15, 2020, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F6 · derivative.exercise_date: The restricted stock units vested in full on February 15, 2020. F6 · derivative.expiration_date: The restricted stock units vested in full on February 15, 2020. Read SEC document |
| February 15, 2020 Filed Feb 20, 2020 00:28 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 20,057 | $102.03 | $2,046,415.71 |
DisclosureSEC source: 0000927628-20-000095 · wf-form4_158215851339202.xml · nonDerivative · entry 2 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,416,353 F1 · price: On February 15, 2020, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
| February 15, 2020 Filed Feb 20, 2020 00:28 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 20,057 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000095 · wf-form4_158215851339202.xml · nonDerivative · entry 1 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,436,410 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: On February 15, 2020, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
| January 30, 2020 Filed Feb 3, 2020 21:56 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantRestricted Stock Units · Derivative | 17,129 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000048 · wf-form4_158076699797496.xml · derivative · entry 11 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,129 Underlying: Common Stock · 17,129 shares Expires 2023-02-15 F5 · derivative.exercise_price: Represents restricted stock units granted for performance year 2020. 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, 2020 Filed Feb 3, 2020 21:56 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Grant2020 Restricted Stock Units · Derivative | 19,576 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000048 · wf-form4_158076699797496.xml · derivative · entry 10 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,576 Underlying: Common Stock · 19,576 shares Expires 2023-02-15 F4 · derivative.exercise_price: Represents restricted stock units granted for performance year 2019. 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, 2020 Filed Feb 3, 2020 21:56 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2019 Restricted Stock Units · Derivative | 476 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000048 · wf-form4_158076699797496.xml · derivative · entry 9 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,268 Underlying: Common Stock · 476 shares Expires 2022-02-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_price: Represents the automatic withholding of restricted stock units granted in January 2019 which settled in cash based on fair market value on January 30, 2020, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement. F3 · kind: Represents the automatic withholding of restricted stock units granted in January 2019 which settled in cash based on fair market value on January 30, 2020, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement. Read SEC document |
| January 30, 2020 Filed Feb 3, 2020 21:56 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2018 Restricted Stock Units · Derivative | 298 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000048 · wf-form4_158076699797496.xml · derivative · entry 8 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,174 Underlying: Common Stock · 298 shares Expires 2021-02-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Represents the automatic withholding of restricted stock units granted in February 2018 which settled in cash based on fair market value on January 30, 2020, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement. F2 · kind: Represents the automatic withholding of restricted stock units granted in February 2018 which settled in cash based on fair market value on January 30, 2020, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement. Read SEC document |
| January 30, 2020 Filed Feb 3, 2020 21:56 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2017 Restricted Stock Units · Derivative | 325 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000048 · wf-form4_158076699797496.xml · derivative · entry 7 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,732 Underlying: Common Stock · 325 shares Expires 2020-02-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Represents the automatic withholding of restricted stock units granted in February 2017 which settled in cash based on fair market value on January 30, 2020, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement. F1 · kind: Represents the automatic withholding of restricted stock units granted in February 2017 which settled in cash based on fair market value on January 30, 2020, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement. Read SEC document |
| January 30, 2020 Filed Feb 3, 2020 21:56 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 476 | $102.17 | $48,632.92 |
DisclosureSEC source: 0000927628-20-000048 · wf-form4_158076699797496.xml · nonDerivative · entry 6 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,416,353 F3 · kind: Represents the automatic withholding of restricted stock units granted in January 2019 which settled in cash based on fair market value on January 30, 2020, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement. Read SEC document |
| January 30, 2020 Filed Feb 3, 2020 21:56 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 298 | $102.17 | $30,446.66 |
DisclosureSEC source: 0000927628-20-000048 · wf-form4_158076699797496.xml · nonDerivative · entry 5 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,416,829 F2 · kind: Represents the automatic withholding of restricted stock units granted in February 2018 which settled in cash based on fair market value on January 30, 2020, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement. Read SEC document |
| January 30, 2020 Filed Feb 3, 2020 21:56 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 325 | $102.17 | $33,205.25 |
DisclosureSEC source: 0000927628-20-000048 · wf-form4_158076699797496.xml · nonDerivative · entry 4 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,417,127 F1 · kind: Represents the automatic withholding of restricted stock units granted in February 2017 which settled in cash based on fair market value on January 30, 2020, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement. Read SEC document |
| January 30, 2020 Filed Feb 3, 2020 21:56 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 476 | $102.17 | $48,632.92 |
DisclosureSEC source: 0000927628-20-000048 · wf-form4_158076699797496.xml · nonDerivative · entry 3 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,417,452 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 · kind: Represents the automatic withholding of restricted stock units granted in January 2019 which settled in cash based on fair market value on January 30, 2020, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement. Read SEC document |
| January 30, 2020 Filed Feb 3, 2020 21:56 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 298 | $102.17 | $30,446.66 |
DisclosureSEC source: 0000927628-20-000048 · wf-form4_158076699797496.xml · nonDerivative · entry 2 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,416,976 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 · kind: Represents the automatic withholding of restricted stock units granted in February 2018 which settled in cash based on fair market value on January 30, 2020, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement. Read SEC document |
| January 30, 2020 Filed Feb 3, 2020 21:56 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 325 | $102.17 | $33,205.25 |
DisclosureSEC source: 0000927628-20-000048 · wf-form4_158076699797496.xml · nonDerivative · entry 1 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,416,678 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 · kind: Represents the automatic withholding of restricted stock units granted in February 2017 which settled in cash based on fair market value on January 30, 2020, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement. Read SEC document |
| January 30, 2020 Filed Feb 20, 2020 00:28 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionRestricted Stock Units · Derivative | 298 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000095 · wf-form4_158215851339202.xml · derivative · entry 4 FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,417 Underlying: Common Stock · 298 shares Expires 2022-02-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · security: Reflects the correction to a withholding of shares previously reported on February 3, 2020 that, due to an administrative reporting error, inadvertently misstated the number of shares withheld automatically to satisfy the reporting person's tax liability. F4 · security: Represents restricted stock units granted for performance year 2019. F5 · derivative.exercise_price: Represents the automatic withholding of restricted stock units granted in January 2019 which settled in cash based on fair market value on January 30, 2020, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement. F5 · kind: Represents the automatic withholding of restricted stock units granted in January 2019 which settled in cash based on fair market value on January 30, 2020, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement. 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.