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Borgmann Kevin S.

Disclosed activity across 1 company

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15181
SEC CIK
0001567914

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
CAPITAL ONE FINANCIAL CORPCOF · Entity 547Senior Advisor to the CEOAugust 06, 2024August 08, 2024

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 August 06, 2024 · Filed August 08, 2024

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect40,934 Last balance in matching sequence After 2024-08-06 transaction · row 13 Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
13 source rows

Row 1 · 2024-08-06 · Exercise / conversion · Acquired 23,582 · Balance 102,466

F1: This transaction was executed pursuant to a trading plan entered into by the reporting person on April 29, 2024, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Row 2 · 2024-08-06 · Sale · Disposed 3,537 · Balance 98,929

F1: This transaction was executed pursuant to a trading plan entered into by the reporting person on April 29, 2024, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $130.83 to $131.77. Information regarding the number of shares sold at each price will be provided upon request.

Row 3 · 2024-08-06 · Sale · Disposed 3,754 · Balance 95,175

F1: This transaction was executed pursuant to a trading plan entered into by the reporting person on April 29, 2024, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $131.84 to $132.66. Information regarding the number of shares sold at each price will be provided upon request.

Row 4 · 2024-08-06 · Sale · Disposed 16,291 · Balance 78,884

F1: This transaction was executed pursuant to a trading plan entered into by the reporting person on April 29, 2024, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $132.95 to $133.80. Information regarding the number of shares sold at each price will be provided upon request.

Row 5 · 2024-08-06 · Sale · Disposed 2,503 · Balance 76,381

F1: This transaction was executed pursuant to a trading plan entered into by the reporting person on April 29, 2024, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $130.86 to $131.84. Information regarding the number of shares sold at each price will be provided upon request.

Row 6 · 2024-08-06 · Sale · Disposed 2,622 · Balance 73,759

F1: This transaction was executed pursuant to a trading plan entered into by the reporting person on April 29, 2024, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F6: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $131.90 to $132.84. Information regarding the number of shares sold at each price will be provided upon request.

Row 7 · 2024-08-06 · Sale · Disposed 11,325 · Balance 62,434

F1: This transaction was executed pursuant to a trading plan entered into by the reporting person on April 29, 2024, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $132.95 to $133.80. Information regarding the number of shares sold at each price will be provided upon request.

Row 8 · 2024-08-06 · Sale · Disposed 1,068 · Balance 61,366

F1: This transaction was executed pursuant to a trading plan entered into by the reporting person on April 29, 2024, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F7: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $130.74 to $131.64. Information regarding the number of shares sold at each price will be provided upon request.

Row 9 · 2024-08-06 · Sale · Disposed 1,311 · Balance 60,055

F1: This transaction was executed pursuant to a trading plan entered into by the reporting person on April 29, 2024, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F8: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $131.77 to $132.66. Information regarding the number of shares sold at each price will be provided upon request.

Row 10 · 2024-08-06 · Sale · Disposed 5,304 · Balance 54,751

F1: This transaction was executed pursuant to a trading plan entered into by the reporting person on April 29, 2024, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F9: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $132.95 to $133.67. Information regarding the number of shares sold at each price will be provided upon request.

Row 11 · 2024-08-06 · Sale · Disposed 2,338 · Balance 52,413

F1: This transaction was executed pursuant to a trading plan entered into by the reporting person on April 29, 2024, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F10: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $130.85 to $131.77. Information regarding the number of shares sold at each price will be provided upon request.

Row 12 · 2024-08-06 · Sale · Disposed 2,200 · Balance 50,213

F1: This transaction was executed pursuant to a trading plan entered into by the reporting person on April 29, 2024, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F11: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $131.90 to $132.66. Information regarding the number of shares sold at each price will be provided upon request.

Row 13 · 2024-08-06 · Sale · Disposed 9,279 · Balance 40,934

F1: This transaction was executed pursuant to a trading plan entered into by the reporting person on April 29, 2024, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F12: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $132.98 to $133.80. Information regarding the number of shares sold at each price will be provided upon request.

Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $86.34 · Expires 2027-02-02Direct0 Reported balance After 2024-08-06 transaction · row 14 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 14 · 2024-08-06 · Exercise / conversion · Disposed 23,582 · Balance 0

F13: These options became exercisable in 1/3 increments beginning on February 15, 2018 and annually thereafter.

Filing footnotes · ownership attribution and instrument terms

F1: This transaction was executed pursuant to a trading plan entered into by the reporting person on April 29, 2024, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $130.83 to $131.77. Information regarding the number of shares sold at each price will be provided upon request.

F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $131.84 to $132.66. Information regarding the number of shares sold at each price will be provided upon request.

F4: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $132.95 to $133.80. Information regarding the number of shares sold at each price will be provided upon request.

F5: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $130.86 to $131.84. Information regarding the number of shares sold at each price will be provided upon request.

F6: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $131.90 to $132.84. Information regarding the number of shares sold at each price will be provided upon request.

F7: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $130.74 to $131.64. Information regarding the number of shares sold at each price will be provided upon request.

F8: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $131.77 to $132.66. Information regarding the number of shares sold at each price will be provided upon request.

F9: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $132.95 to $133.67. Information regarding the number of shares sold at each price will be provided upon request.

F10: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $130.85 to $131.77. Information regarding the number of shares sold at each price will be provided upon request.

F11: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $131.90 to $132.66. Information regarding the number of shares sold at each price will be provided upon request.

F12: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $132.98 to $133.80. Information regarding the number of shares sold at each price will be provided upon request.

F13: These options became exercisable in 1/3 increments beginning on February 15, 2018 and annually thereafter.

Transaction history

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Purchases/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 dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
August 06, 2024 Filed Aug 8, 2024 21:38 UTC CAPITAL ONE FINANCIAL CORP COF · Entity 547 Exercise / conversionStock Options · Derivative 23,582 $0.00 Strike: $86.34 $0.00
Disclosure

SEC source: 0000927628-24-000269 · wk-form4_1723153122.xml · derivative · entry 14

Borgmann Kevin S. · CIK 0001567914 · Senior Advisor to the CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 23,582 shares

Expires 2027-02-02

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.

F13 · derivative.exercise_date: These options became exercisable in 1/3 increments beginning on February 15, 2018 and annually thereafter.

Read SEC document
August 06, 2024 Filed Aug 8, 2024 21:38 UTC CAPITAL ONE FINANCIAL CORP COF · Entity 547 SaleCommon Stock 9,279 $133.37 $1,237,540.23
Disclosure

SEC source: 0000927628-24-000269 · wk-form4_1723153122.xml · nonDerivative · entry 13

Borgmann Kevin S. · CIK 0001567914 · Senior Advisor to the CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 40,934

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on April 29, 2024, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F12 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $132.98 to $133.80. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
August 06, 2024 Filed Aug 8, 2024 21:38 UTC CAPITAL ONE FINANCIAL CORP COF · Entity 547 SaleCommon Stock 2,200 $132.23 $290,906.00
Disclosure

SEC source: 0000927628-24-000269 · wk-form4_1723153122.xml · nonDerivative · entry 12

Borgmann Kevin S. · CIK 0001567914 · Senior Advisor to the CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 50,213

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on April 29, 2024, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F11 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $131.90 to $132.66. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
August 06, 2024 Filed Aug 8, 2024 21:38 UTC CAPITAL ONE FINANCIAL CORP COF · Entity 547 SaleCommon Stock 2,338 $131.29 $306,956.02
Disclosure

SEC source: 0000927628-24-000269 · wk-form4_1723153122.xml · nonDerivative · entry 11

Borgmann Kevin S. · CIK 0001567914 · Senior Advisor to the CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 52,413

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on April 29, 2024, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F10 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $130.85 to $131.77. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
August 06, 2024 Filed Aug 8, 2024 21:38 UTC CAPITAL ONE FINANCIAL CORP COF · Entity 547 SaleCommon Stock 5,304 $133.37 $707,394.48
Disclosure

SEC source: 0000927628-24-000269 · wk-form4_1723153122.xml · nonDerivative · entry 10

Borgmann Kevin S. · CIK 0001567914 · Senior Advisor to the CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 54,751

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on April 29, 2024, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F9 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $132.95 to $133.67. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
August 06, 2024 Filed Aug 8, 2024 21:38 UTC CAPITAL ONE FINANCIAL CORP COF · Entity 547 SaleCommon Stock 1,311 $132.17 $173,274.87
Disclosure

SEC source: 0000927628-24-000269 · wk-form4_1723153122.xml · nonDerivative · entry 9

Borgmann Kevin S. · CIK 0001567914 · Senior Advisor to the CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 60,055

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on April 29, 2024, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F8 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $131.77 to $132.66. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
August 06, 2024 Filed Aug 8, 2024 21:38 UTC CAPITAL ONE FINANCIAL CORP COF · Entity 547 SaleCommon Stock 1,068 $131.22 $140,142.96
Disclosure

SEC source: 0000927628-24-000269 · wk-form4_1723153122.xml · nonDerivative · entry 8

Borgmann Kevin S. · CIK 0001567914 · Senior Advisor to the CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 61,366

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on April 29, 2024, 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 $130.74 to $131.64. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
August 06, 2024 Filed Aug 8, 2024 21:38 UTC CAPITAL ONE FINANCIAL CORP COF · Entity 547 SaleCommon Stock 11,325 $133.37 $1,510,415.25
Disclosure

SEC source: 0000927628-24-000269 · wk-form4_1723153122.xml · nonDerivative · entry 7

Borgmann Kevin S. · CIK 0001567914 · Senior Advisor to the CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 62,434

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on April 29, 2024, 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 $132.95 to $133.80. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
August 06, 2024 Filed Aug 8, 2024 21:38 UTC CAPITAL ONE FINANCIAL CORP COF · Entity 547 SaleCommon Stock 2,622 $132.25 $346,759.50
Disclosure

SEC source: 0000927628-24-000269 · wk-form4_1723153122.xml · nonDerivative · entry 6

Borgmann Kevin S. · CIK 0001567914 · Senior Advisor to the CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 73,759

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on April 29, 2024, 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 $131.90 to $132.84. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
August 06, 2024 Filed Aug 8, 2024 21:38 UTC CAPITAL ONE FINANCIAL CORP COF · Entity 547 SaleCommon Stock 2,503 $131.28 $328,593.84
Disclosure

SEC source: 0000927628-24-000269 · wk-form4_1723153122.xml · nonDerivative · entry 5

Borgmann Kevin S. · CIK 0001567914 · Senior Advisor to the CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 76,381

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on April 29, 2024, 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 $130.86 to $131.84. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
August 06, 2024 Filed Aug 8, 2024 21:38 UTC CAPITAL ONE FINANCIAL CORP COF · Entity 547 SaleCommon Stock 16,291 $133.37 $2,172,730.67
Disclosure

SEC source: 0000927628-24-000269 · wk-form4_1723153122.xml · nonDerivative · entry 4

Borgmann Kevin S. · CIK 0001567914 · Senior Advisor to the CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 78,884

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on April 29, 2024, 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 $132.95 to $133.80. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
August 06, 2024 Filed Aug 8, 2024 21:38 UTC CAPITAL ONE FINANCIAL CORP COF · Entity 547 SaleCommon Stock 3,754 $132.20 $496,278.80
Disclosure

SEC source: 0000927628-24-000269 · wk-form4_1723153122.xml · nonDerivative · entry 3

Borgmann Kevin S. · CIK 0001567914 · Senior Advisor to the CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 95,175

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on April 29, 2024, 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 $131.84 to $132.66. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
August 06, 2024 Filed Aug 8, 2024 21:38 UTC CAPITAL ONE FINANCIAL CORP COF · Entity 547 SaleCommon Stock 3,537 $131.27 $464,301.99
Disclosure

SEC source: 0000927628-24-000269 · wk-form4_1723153122.xml · nonDerivative · entry 2

Borgmann Kevin S. · CIK 0001567914 · Senior Advisor to the CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 98,929

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on April 29, 2024, 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 $130.83 to $131.77. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
August 06, 2024 Filed Aug 8, 2024 21:38 UTC CAPITAL ONE FINANCIAL CORP COF · Entity 547 Exercise / conversionCommon Stock 23,582 $86.34 $2,036,069.88
Disclosure

SEC source: 0000927628-24-000269 · wk-form4_1723153122.xml · nonDerivative · entry 1

Borgmann Kevin S. · CIK 0001567914 · Senior Advisor to the CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 102,466

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on April 29, 2024, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
March 11, 2024 Filed Mar 13, 2024 22:53 UTC CAPITAL ONE FINANCIAL CORP COF · Entity 547 Tax withholdingCommon Stock 7,654 $138.46 $1,059,772.84
Disclosure

SEC source: 0000927628-24-000129 · wk-form4_1710370406.xml · nonDerivative · entry 2

Borgmann Kevin S. · CIK 0001567914 · Senior Advisor to the CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 78,884

F2 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement.

Read SEC document
March 11, 2024 Filed Mar 13, 2024 22:53 UTC CAPITAL ONE FINANCIAL CORP COF · Entity 547 GrantCommon Stock 15,277 $0.00 $0.00
Disclosure

SEC source: 0000927628-24-000129 · wk-form4_1710370406.xml · nonDerivative · entry 1

Borgmann Kevin S. · CIK 0001567914 · Senior Advisor to the CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 86,538

F1 · kind: These shares were earned pursuant to a performance share award agreement granted on February 4, 2021, 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.

Read SEC document
February 15, 2024 Filed Feb 20, 2024 21:11 UTC CAPITAL ONE FINANCIAL CORP COF · Entity 547 Tax withholdingCommon Stock 1,255 $136.36 $171,131.80
Disclosure

SEC source: 0000927628-24-000077 · wk-form4_1708463493.xml · nonDerivative · entry 3

Borgmann Kevin S. · CIK 0001567914 · Senior Advisor to the CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 71,261

F3 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 26, 2023. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 15, 2024 Filed Feb 20, 2024 21:11 UTC CAPITAL ONE FINANCIAL CORP COF · Entity 547 Tax withholdingCommon Stock 810 $136.36 $110,451.60
Disclosure

SEC source: 0000927628-24-000077 · wk-form4_1708463493.xml · nonDerivative · entry 2

Borgmann Kevin S. · CIK 0001567914 · Senior Advisor to the CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 72,516

F2 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on February 3, 2022. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 15, 2024 Filed Feb 20, 2024 21:11 UTC CAPITAL ONE FINANCIAL CORP COF · Entity 547 Tax withholdingCommon Stock 1,076 $136.36 $146,723.36
Disclosure

SEC source: 0000927628-24-000077 · wk-form4_1708463493.xml · nonDerivative · entry 1

Borgmann Kevin S. · CIK 0001567914 · Senior Advisor to the CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 73,326

F1 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on February 4, 2021. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 01, 2024 Filed Feb 5, 2024 21:54 UTC CAPITAL ONE FINANCIAL CORP COF · Entity 547 GrantCommon Stock 8,368 $0.00 $0.00
Disclosure

SEC source: 0000927628-24-000042 · wk-form4_1707170034.xml · nonDerivative · entry 1

Borgmann Kevin S. · CIK 0001567914 · Senior Advisor to the CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 74,402

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2025 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
July 25, 2023 Filed Jul 27, 2023 20:34 UTC CAPITAL ONE FINANCIAL CORP COF · Entity 547 SaleCommon Stock 4,988 $117.29 $585,042.52
Disclosure

SEC source: 0000927628-23-000252 · wk-form4_1690490025.xml · nonDerivative · entry 2

Borgmann Kevin S. · CIK 0001567914 · Senior Advisor to the CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 66,034

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on January 26, 2023, 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 $117.03 to $117.57. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
July 25, 2023 Filed Jul 27, 2023 20:34 UTC CAPITAL ONE FINANCIAL CORP COF · Entity 547 SaleCommon Stock 4,802 $116.67 $560,249.34
Disclosure

SEC source: 0000927628-23-000252 · wk-form4_1690490025.xml · nonDerivative · entry 1

Borgmann Kevin S. · CIK 0001567914 · Senior Advisor to the CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 71,022

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on January 26, 2023, 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 $116.03 to $117.02. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
March 01, 2023 Filed Mar 3, 2023 21:08 UTC CAPITAL ONE FINANCIAL CORP COF · Entity 547 Tax withholdingCommon Stock 7,709 $108.58 $837,043.22
Disclosure

SEC source: 0000927628-23-000135 · wf-form4_167787769402413.xml · nonDerivative · entry 2

Borgmann Kevin S. · CIK 0001567914 · Senior Advisor to the CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,824

F2 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement.

Read SEC document
March 01, 2023 Filed Mar 3, 2023 21:08 UTC CAPITAL ONE FINANCIAL CORP COF · Entity 547 GrantCommon Stock 15,392 $0.00 $0.00
Disclosure

SEC source: 0000927628-23-000135 · wf-form4_167787769402413.xml · nonDerivative · entry 1

Borgmann Kevin S. · CIK 0001567914 · Senior Advisor to the CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,533

F1 · kind: These shares were earned pursuant to an award of performance shares granted on January 30, 2020 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.

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February 15, 2023 Filed Feb 17, 2023 21:16 UTC CAPITAL ONE FINANCIAL CORP COF · Entity 547 Tax withholdingCommon Stock 809 $114.63 $92,735.67
Disclosure

SEC source: 0000927628-23-000103 · wf-form4_167666853748993.xml · nonDerivative · entry 3

Borgmann Kevin S. · CIK 0001567914 · Senior Advisor to the CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,141

F3 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on February 3, 2022. This is authorized in the applicable restricted stock award agreement.

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February 15, 2023 Filed Feb 17, 2023 21:16 UTC CAPITAL ONE FINANCIAL CORP COF · Entity 547 Tax withholdingCommon Stock 1,067 $114.63 $122,310.21
Disclosure

SEC source: 0000927628-23-000103 · wf-form4_167666853748993.xml · nonDerivative · entry 2

Borgmann Kevin S. · CIK 0001567914 · Senior Advisor to the CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,950

F2 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on February 4, 2021. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 15, 2023 Filed Feb 17, 2023 21:16 UTC CAPITAL ONE FINANCIAL CORP COF · Entity 547 Tax withholdingCommon Stock 1,149 $114.63 $131,709.87
Disclosure

SEC source: 0000927628-23-000103 · wf-form4_167666853748993.xml · nonDerivative · entry 1

Borgmann Kevin S. · CIK 0001567914 · Senior Advisor to the CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,017

F1 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 30, 2020. This is authorized in the applicable restricted stock award agreement.

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January 26, 2023 Filed Jan 30, 2023 22:08 UTC CAPITAL ONE FINANCIAL CORP COF · Entity 547 GrantCommon Stock 9,301 $0.00 $0.00
Disclosure

SEC source: 0000927628-23-000043 · wf-form4_167511646803754.xml · nonDerivative · entry 1

Borgmann Kevin S. · CIK 0001567914 · Senior Advisor to the CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,166

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2024 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

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March 11, 2022 Filed Mar 15, 2022 20:10 UTC CAPITAL ONE FINANCIAL CORP COF · Entity 547 Tax withholdingCommon Stock 10,963 $130.09 $1,426,176.67
Disclosure

SEC source: 0000927628-22-000127 · wf-form4_164737500773868.xml · nonDerivative · entry 2

Borgmann Kevin S. · CIK 0001567914 · Senior Advisor to the CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,865

F2 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement.

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March 11, 2022 Filed Mar 15, 2022 20:10 UTC CAPITAL ONE FINANCIAL CORP COF · Entity 547 GrantCommon Stock 22,696 $0.00 $0.00
Disclosure

SEC source: 0000927628-22-000127 · wf-form4_164737500773868.xml · nonDerivative · entry 1

Borgmann Kevin S. · CIK 0001567914 · Senior Advisor to the CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,828

F1 · security: These shares were earned pursuant to an award of performance shares granted on January 31, 2019 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.

Read SEC document
February 15, 2022 Filed Feb 17, 2022 21:15 UTC CAPITAL ONE FINANCIAL CORP COF · Entity 547 Tax withholdingCommon Stock 1,474 $158.89 $234,203.86
Disclosure

SEC source: 0000927628-22-000094 · wf-form4_164513249963222.xml · nonDerivative · entry 3

Borgmann Kevin S. · CIK 0001567914 · Senior Advisor to the CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,132

F3 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on February 4, 2021. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 15, 2022 Filed Feb 17, 2022 21:15 UTC CAPITAL ONE FINANCIAL CORP COF · Entity 547 Tax withholdingCommon Stock 1,238 $158.89 $196,705.82
Disclosure

SEC source: 0000927628-22-000094 · wf-form4_164513249963222.xml · nonDerivative · entry 2

Borgmann Kevin S. · CIK 0001567914 · Senior Advisor to the CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,606

F2 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 30, 2020. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 15, 2022 Filed Feb 17, 2022 21:15 UTC CAPITAL ONE FINANCIAL CORP COF · Entity 547 Tax withholdingCommon Stock 1,338 $158.89 $212,594.82
Disclosure

SEC source: 0000927628-22-000094 · wf-form4_164513249963222.xml · nonDerivative · entry 1

Borgmann Kevin S. · CIK 0001567914 · Senior Advisor to the CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,844

F1 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 31, 2019. This is authorized in the applicable restricted stock award agreement.

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February 03, 2022 Filed Feb 7, 2022 21:29 UTC CAPITAL ONE FINANCIAL CORP COF · Entity 547 GrantCommon Stock 6,959 $0.00 $0.00
Disclosure

SEC source: 0000927628-22-000042 · wf-form4_164426936993718.xml · nonDerivative · entry 1

Borgmann Kevin S. · CIK 0001567914 · Senior Advisor to the CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,182

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2023 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
April 29, 2021 Filed May 3, 2021 20:34 UTC CAPITAL ONE FINANCIAL CORP COF · Entity 547 SaleCommon Stock 9,633 $147.29 $1,418,844.57
Disclosure

SEC source: 0000927628-21-000161 · wf-form4_162007406285837.xml · nonDerivative · entry 2

Borgmann Kevin S. · CIK 0001567914 · Senior Advisor to the CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,223

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on January 28, 2021, 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 $146.87 to $147.65. Information regarding the number of shares sold at each price will be provided upon request.

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April 29, 2021 Filed May 3, 2021 20:34 UTC CAPITAL ONE FINANCIAL CORP COF · Entity 547 SaleCommon Stock 7,145 $146.44 $1,046,313.80
Disclosure

SEC source: 0000927628-21-000161 · wf-form4_162007406285837.xml · nonDerivative · entry 1

Borgmann Kevin S. · CIK 0001567914 · Senior Advisor to the CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,856

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on January 28, 2021, 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 $145.84 to $146.82. Information regarding the number of shares sold at each price will be provided upon request.

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March 11, 2021 Filed Mar 15, 2021 21:19 UTC CAPITAL ONE FINANCIAL CORP COF · Entity 547 Tax withholdingCommon Stock 7,672 $132.10 $1,013,471.20
Disclosure

SEC source: 0000927628-21-000137 · wf-form4_161584316867147.xml · nonDerivative · entry 2

Borgmann Kevin S. · CIK 0001567914 · Senior Advisor to the CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,001

F2 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement.

Read SEC document
March 11, 2021 Filed Mar 15, 2021 21:19 UTC CAPITAL ONE FINANCIAL CORP COF · Entity 547 GrantCommon Stock 15,883 $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000137 · wf-form4_161584316867147.xml · nonDerivative · entry 1

Borgmann Kevin S. · CIK 0001567914 · Senior Advisor to the CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,673

F1 · security: These shares were earned pursuant to an award of performance shares granted on February 1, 2018 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.

Read SEC document
February 15, 2021 Filed Feb 17, 2021 21:51 UTC CAPITAL ONE FINANCIAL CORP COF · Entity 547 Exercise / conversion2018 Restricted Stock Units · Derivative 2,214 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000076 · wf-form4_161359866265576.xml · derivative · entry 6

Borgmann Kevin S. · CIK 0001567914 · Senior Advisor to the CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,214 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: On February 15, 2021, 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, 2021, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date.

F5 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2019 and annually thereafter.

F5 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2019 and annually thereafter.

Read SEC document
February 15, 2021 Filed Feb 17, 2021 21:51 UTC CAPITAL ONE FINANCIAL CORP COF · Entity 547 Tax withholdingCommon Stock 1,564 $117.75 $184,161.00
Disclosure

SEC source: 0000927628-21-000076 · wf-form4_161359866265576.xml · nonDerivative · entry 5

Borgmann Kevin S. · CIK 0001567914 · Senior Advisor to the CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,790

F4 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 30, 2020. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 15, 2021 Filed Feb 17, 2021 21:51 UTC CAPITAL ONE FINANCIAL CORP COF · Entity 547 Tax withholdingCommon Stock 1,339 $117.75 $157,667.25
Disclosure

SEC source: 0000927628-21-000076 · wf-form4_161359866265576.xml · nonDerivative · entry 4

Borgmann Kevin S. · CIK 0001567914 · Senior Advisor to the CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,354

F3 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 31, 2019. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 15, 2021 Filed Feb 17, 2021 21:51 UTC CAPITAL ONE FINANCIAL CORP COF · Entity 547 Tax withholdingCommon Stock 1,456 $117.75 $171,444.00
Disclosure

SEC source: 0000927628-21-000076 · wf-form4_161359866265576.xml · nonDerivative · entry 3

Borgmann Kevin S. · CIK 0001567914 · Senior Advisor to the CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,693

F2 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on February 1, 2018. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 15, 2021 Filed Feb 17, 2021 21:51 UTC CAPITAL ONE FINANCIAL CORP COF · Entity 547 Disposition to issuerCommon Stock 2,214 $109.60 $242,654.40
Disclosure

SEC source: 0000927628-21-000076 · wf-form4_161359866265576.xml · nonDerivative · entry 2

Borgmann Kevin S. · CIK 0001567914 · Senior Advisor to the CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,149

F1 · price: On February 15, 2021, 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, 2021 Filed Feb 17, 2021 21:51 UTC CAPITAL ONE FINANCIAL CORP COF · Entity 547 Exercise / conversionCommon Stock 2,214 $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000076 · wf-form4_161359866265576.xml · nonDerivative · entry 1

Borgmann Kevin S. · CIK 0001567914 · Senior Advisor to the CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,363

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, 2021, 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 04, 2021 Filed Feb 8, 2021 22:13 UTC CAPITAL ONE FINANCIAL CORP COF · Entity 547 GrantCommon Stock 9,159 $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000051 · wf-form4_161282238157810.xml · nonDerivative · entry 1

Borgmann Kevin S. · CIK 0001567914 · Senior Advisor to the CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,149

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2022 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
March 05, 2020 Filed Mar 9, 2020 20:15 UTC CAPITAL ONE FINANCIAL CORP COF · Entity 547 Tax withholdingCommon Stock 6,072 $85.08 $516,605.76
Disclosure

SEC source: 0000927628-20-000148 · wf-form4_158378492160967.xml · nonDerivative · entry 2

Borgmann Kevin S. · CIK 0001567914 · Senior Advisor to the CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,990

F2 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement.

Read SEC document
March 05, 2020 Filed Mar 9, 2020 20:15 UTC CAPITAL ONE FINANCIAL CORP COF · Entity 547 GrantCommon Stock 12,571 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000148 · wf-form4_158378492160967.xml · nonDerivative · entry 1

Borgmann Kevin S. · CIK 0001567914 · Senior Advisor to the CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,062

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.

Read SEC document
February 15, 2020 Filed Feb 20, 2020 00:25 UTC CAPITAL ONE FINANCIAL CORP COF · Entity 547 Exercise / conversion2018 Restricted Stock Units · Derivative 2,213 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000086 · wf-form4_158215831028522.xml · derivative · entry 9

Borgmann Kevin S. · CIK 0001567914 · Senior Advisor to the CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,214

Underlying: Common Stock · 2,213 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: On February 15, 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: These restricted stock units vest in 1/3 increments beginning on February 15, 2019 and annually thereafter.

F6 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2019 and annually thereafter.

Read SEC document
February 15, 2020 Filed Feb 20, 2020 00:25 UTC CAPITAL ONE FINANCIAL CORP COF · Entity 547 Exercise / conversion2017 Restricted Stock Units · Derivative 2,552 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000086 · wf-form4_158215831028522.xml · derivative · entry 8

Borgmann Kevin S. · CIK 0001567914 · Senior Advisor to the CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,552 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: On February 15, 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.

F5 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2018 and annually thereafter.

F5 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2018 and annually thereafter.

Read SEC document
February 15, 2020 Filed Feb 20, 2020 00:25 UTC CAPITAL ONE FINANCIAL CORP COF · Entity 547 Tax withholdingCommon Stock 1,942 $102.64 $199,326.88
Disclosure

SEC source: 0000927628-20-000086 · wf-form4_158215831028522.xml · nonDerivative · entry 7

Borgmann Kevin S. · CIK 0001567914 · Senior Advisor to the CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,491

F4 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 31, 2019. This is authorized in the applicable restricted stock 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.