Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CAPITAL ONE FINANCIAL CORPCOF · Entity 547 | Senior Advisor to the CEO | August 06, 2024 | August 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 / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 40,934 |
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 rowsRow 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 2027-02-02 | Direct | 0 |
Reported balance
After 2024-08-06 transaction · row 14
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 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
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| February 15, 2018 Filed Feb 20, 2018 23:30 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 2,551 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-18-000090 · wf-form4_151916941407162.xml · nonDerivative · entry 3 Borgmann Kevin S. · CIK 0001567914 · Senior Advisor to the CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,971 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, 2018 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, 2018 Filed Feb 20, 2018 23:30 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 3,196 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-18-000090 · wf-form4_151916941407162.xml · nonDerivative · entry 2 Borgmann Kevin S. · CIK 0001567914 · Senior Advisor to the CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,420 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, 2018 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, 2018 Filed Feb 20, 2018 23:30 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 3,441 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-18-000090 · wf-form4_151916941407162.xml · nonDerivative · entry 1 Borgmann Kevin S. · CIK 0001567914 · Senior Advisor to the CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,224 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, 2018 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 01, 2018 Filed Feb 5, 2018 22:32 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Grant2018 Restricted Stock Units · Derivative | 6,640 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-18-000046 · wf-form4_151786996172003.xml · derivative · entry 2 Borgmann Kevin S. · CIK 0001567914 · Senior Advisor to the CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,640 Underlying: Common Stock · 6,640 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit will be settled in cash based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the vesting date. F3 · shares: This award is reported net of 226 units automatically withheld by the Company to satisfy the reporting person's tax obligation. F4 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2019 and annually thereafter. F4 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2019 and annually thereafter. F3 · derivative.underlying_shares: This award is reported net of 226 units automatically withheld by the Company to satisfy the reporting person's tax obligation. Read SEC document |
| February 01, 2018 Filed Feb 5, 2018 22:32 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 13,146 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-18-000046 · wf-form4_151786996172003.xml · nonDerivative · entry 1 Borgmann Kevin S. · CIK 0001567914 · Senior Advisor to the CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,783 F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2019 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock. Read SEC document |
| March 08, 2017 Filed Mar 10, 2017 21:46 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 5,427 | $92.40 | $501,454.80 |
DisclosureSEC source: 0000927628-17-000145 · wf-form4_148918235557606.xml · nonDerivative · entry 2 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,637 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 08, 2017 Filed Mar 10, 2017 21:46 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 10,662 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000145 · wf-form4_148918235557606.xml · nonDerivative · entry 1 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,064 F1 · security: These shares were earned pursuant to an award of performance shares granted on January 30, 2014 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, 2017 Filed Feb 18, 2017 00:11 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionRestricted Stock Units · Derivative | 10,749 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000099 · wf-form4_148737666295090.xml · derivative · entry 15 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,749 shares Expires 2017-02-15 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: Each restricted stock unit vested on January 1, 2017 and settled in cash on February 15, 2017 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. F2 · price: Each restricted stock unit vested on January 1, 2017 and settled in cash on February 15, 2017 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. F2 · derivative.exercise_date: Each restricted stock unit vested on January 1, 2017 and settled in cash on February 15, 2017 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. F2 · derivative.expiration_date: Each restricted stock unit vested on January 1, 2017 and settled in cash on February 15, 2017 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. Read SEC document |
| February 15, 2017 Filed Feb 18, 2017 00:11 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2016 Restricted Stock Units · Derivative | 3,196 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000099 · wf-form4_148737666295090.xml · derivative · entry 14 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,392 Underlying: Common Stock · 3,196 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, 2017 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, 2017 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. F8 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2017 and annually thereafter. F8 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2017 and annually thereafter. Read SEC document |
| February 15, 2017 Filed Feb 18, 2017 00:11 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2015 Restricted Stock Units · Derivative | 3,442 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000099 · wf-form4_148737666295090.xml · derivative · entry 13 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,441 Underlying: Common Stock · 3,442 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, 2017 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, 2017 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. F7 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2016 and annually thereafter. F7 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2016 and annually thereafter. Read SEC document |
| February 15, 2017 Filed Feb 18, 2017 00:11 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2014 Restricted Stock Units · Derivative | 3,261 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000099 · wf-form4_148737666295090.xml · derivative · entry 12 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,261 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, 2017 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, 2017 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, 2015 and annually thereafter. F6 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2015 and annually thereafter. Read SEC document |
| February 15, 2017 Filed Feb 18, 2017 00:11 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 2,809 | $90.93 | $255,422.37 |
DisclosureSEC source: 0000927628-17-000099 · wf-form4_148737666295090.xml · nonDerivative · entry 11 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,402 F5 · 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, 2016. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2017 Filed Feb 18, 2017 00:11 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 2,389 | $90.93 | $217,231.77 |
DisclosureSEC source: 0000927628-17-000099 · wf-form4_148737666295090.xml · nonDerivative · entry 10 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,211 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 29, 2015. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2017 Filed Feb 18, 2017 00:11 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,798 | $90.93 | $163,492.14 |
DisclosureSEC source: 0000927628-17-000099 · wf-form4_148737666295090.xml · nonDerivative · entry 9 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,600 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 30, 2014. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2017 Filed Feb 18, 2017 00:11 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 10,749 | $88.31 | $949,244.19 |
DisclosureSEC source: 0000927628-17-000099 · wf-form4_148737666295090.xml · nonDerivative · entry 8 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,398 F2 · price: Each restricted stock unit vested on January 1, 2017 and settled in cash on February 15, 2017 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. Read SEC document |
| February 15, 2017 Filed Feb 18, 2017 00:11 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 3,196 | $88.31 | $282,238.76 |
DisclosureSEC source: 0000927628-17-000099 · wf-form4_148737666295090.xml · nonDerivative · entry 7 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,147 F1 · price: On February 15, 2017 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, 2017 Filed Feb 18, 2017 00:11 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 3,442 | $88.31 | $303,963.02 |
DisclosureSEC source: 0000927628-17-000099 · wf-form4_148737666295090.xml · nonDerivative · entry 6 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,343 F1 · price: On February 15, 2017 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, 2017 Filed Feb 18, 2017 00:11 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 3,261 | $88.31 | $287,978.91 |
DisclosureSEC source: 0000927628-17-000099 · wf-form4_148737666295090.xml · nonDerivative · entry 5 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,785 F1 · price: On February 15, 2017 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, 2017 Filed Feb 18, 2017 00:11 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 10,749 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000099 · wf-form4_148737666295090.xml · nonDerivative · entry 4 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,046 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · price: Each restricted stock unit vested on January 1, 2017 and settled in cash on February 15, 2017 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. Read SEC document |
| February 15, 2017 Filed Feb 18, 2017 00:11 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 3,196 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000099 · wf-form4_148737666295090.xml · nonDerivative · entry 3 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,297 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, 2017 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, 2017 Filed Feb 18, 2017 00:11 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 3,442 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000099 · wf-form4_148737666295090.xml · nonDerivative · entry 2 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,101 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, 2017 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, 2017 Filed Feb 18, 2017 00:11 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 3,261 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000099 · wf-form4_148737666295090.xml · nonDerivative · entry 1 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,659 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, 2017 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 02, 2017 Filed Feb 7, 2017 00:22 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantStock Options · Derivative | 23,582 | $0.00 Strike: $86.34 | $0.00 |
DisclosureSEC source: 0000927628-17-000058 · wf-form4_148642696048509.xml · derivative · entry 4 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,582 Underlying: Common Stock · 23,582 shares Expires 2027-02-02 F6 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on February 15, 2018 and annually thereafter. Read SEC document |
| February 02, 2017 Filed Feb 7, 2017 00:22 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantRestricted Stock Units · Derivative | 8,328 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000058 · wf-form4_148642696048509.xml · derivative · entry 3 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,328 Underlying: Common Stock · 8,328 shares Expires 2018-02-15 F5 · derivative.exercise_price: Each restricted stock unit will vest on January 1, 2018 and will be settled in cash on February 15, 2018 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. F5 · derivative.exercise_date: Each restricted stock unit will vest on January 1, 2018 and will be settled in cash on February 15, 2018 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. F5 · derivative.expiration_date: Each restricted stock unit will vest on January 1, 2018 and will be settled in cash on February 15, 2018 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. Read SEC document |
| February 02, 2017 Filed Feb 7, 2017 00:22 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Grant2017 Restricted Stock Units · Derivative | 7,654 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000058 · wf-form4_148642696048509.xml · derivative · entry 2 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,654 Underlying: Common Stock · 7,654 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit will be settled in cash based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the vesting date. F3 · shares: This award is reported net of 280 units automatically withheld by the Company to satisfy the reporting person's tax obligation. F4 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2018 and annually thereafter. F4 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2018 and annually thereafter. F3 · derivative.underlying_shares: This award is reported net of 280 units automatically withheld by the Company to satisfy the reporting person's tax obligation. Read SEC document |
| February 02, 2017 Filed Feb 7, 2017 00:22 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 13,198 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000058 · wf-form4_148642696048509.xml · nonDerivative · entry 1 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,398 F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2018 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock. Read SEC document |
| February 01, 2017 Filed Feb 3, 2017 21:40 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 20,400 | $0.00 Strike: $48.95 | $0.00 |
DisclosureSEC source: 0000927628-17-000020 · wf-form4_148615802938233.xml · derivative · entry 6 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,400 shares Expires 2018-02-20 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 10, 2016, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F5 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on February 21, 2009 and annually thereafter. Read SEC document |
| February 01, 2017 Filed Feb 3, 2017 21:40 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 9,140 | $0.00 Strike: $76.79 | $0.00 |
DisclosureSEC source: 0000927628-17-000020 · wf-form4_148615802938233.xml · derivative · entry 5 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 9,140 shares Expires 2017-03-01 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 10, 2016, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F4 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on March 2, 2008 and annually thereafter. Read SEC document |
| February 01, 2017 Filed Feb 3, 2017 21:40 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 2,800 | $88.80 | $248,640.00 |
DisclosureSEC source: 0000927628-17-000020 · wf-form4_148615802938233.xml · nonDerivative · entry 4 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,200 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 10, 2016, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $88.70 to $88.94. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| February 01, 2017 Filed Feb 3, 2017 21:40 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 36,497 | $88.15 | $3,217,210.55 |
DisclosureSEC source: 0000927628-17-000020 · wf-form4_148615802938233.xml · nonDerivative · entry 3 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,000 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 10, 2016, 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 $87.68 to $88.66. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| February 01, 2017 Filed Feb 3, 2017 21:40 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 20,400 | $48.95 | $998,580.00 |
DisclosureSEC source: 0000927628-17-000020 · wf-form4_148615802938233.xml · nonDerivative · entry 2 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,497 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 10, 2016, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| February 01, 2017 Filed Feb 3, 2017 21:40 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 9,140 | $76.79 | $701,860.60 |
DisclosureSEC source: 0000927628-17-000020 · wf-form4_148615802938233.xml · nonDerivative · entry 1 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,097 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 10, 2016, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| March 08, 2016 Filed Mar 10, 2016 21:29 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 3,914 | $68.49 | $268,069.86 |
DisclosureSEC source: 0001225208-16-029613 · doc4.xml · nonDerivative · entry 2 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,957 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 08, 2016 Filed Mar 10, 2016 21:29 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 7,690 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-029613 · doc4.xml · nonDerivative · entry 1 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,871 F1 · security: These shares were earned pursuant to an award of performance shares granted on January 31, 2013 based on the Company's Adjusted ROA against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant. Read SEC document |
| February 15, 2016 Filed Feb 17, 2016 22:20 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionRestricted Stock Units · Derivative | 8,458 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-026817 · doc4.xml · derivative · entry 11 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,458 shares Expires 2016-02-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. F1 · price: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. F1 · derivative.exercise_date: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. F1 · derivative.expiration_date: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. Read SEC document |
| February 15, 2016 Filed Feb 17, 2016 22:20 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2015 Restricted Stock Units · Derivative | 3,442 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-026817 · doc4.xml · derivative · entry 10 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,883 Underlying: Common Stock · 3,442 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: On February 15, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F2 · price: On February 15, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F6 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2016 and annually thereafter. F6 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2016 and annually thereafter. Read SEC document |
| February 15, 2016 Filed Feb 17, 2016 22:20 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2014 Restricted Stock Units · Derivative | 3,262 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-026817 · doc4.xml · derivative · entry 9 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,261 Underlying: Common Stock · 3,262 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: On February 15, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F2 · price: On February 15, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F5 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2015 and annually thereafter. F5 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2015 and annually thereafter. Read SEC document |
| February 15, 2016 Filed Feb 17, 2016 22:20 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 8,458 | $62.51 | $528,709.58 |
DisclosureSEC source: 0001225208-16-026817 · doc4.xml · nonDerivative · entry 8 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,181 F1 · price: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. Read SEC document |
| February 15, 2016 Filed Feb 17, 2016 22:20 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 3,442 | $62.51 | $215,159.42 |
DisclosureSEC source: 0001225208-16-026817 · doc4.xml · nonDerivative · entry 7 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,639 F2 · price: On February 15, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
| February 15, 2016 Filed Feb 17, 2016 22:20 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 3,262 | $62.51 | $203,907.62 |
DisclosureSEC source: 0001225208-16-026817 · doc4.xml · nonDerivative · entry 6 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,081 F2 · price: On February 15, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
| February 15, 2016 Filed Feb 17, 2016 22:20 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,702 | $62.54 | $106,443.08 |
DisclosureSEC source: 0001225208-16-026817 · doc4.xml · nonDerivative · entry 5 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,343 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 29, 2015. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2016 Filed Feb 17, 2016 22:20 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,362 | $62.54 | $85,179.48 |
DisclosureSEC source: 0001225208-16-026817 · doc4.xml · nonDerivative · entry 4 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,045 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 30, 2014. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2016 Filed Feb 17, 2016 22:20 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 3,262 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-026817 · doc4.xml · nonDerivative · entry 3 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,407 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · price: On February 15, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
| February 15, 2016 Filed Feb 17, 2016 22:20 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 3,442 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-026817 · doc4.xml · nonDerivative · entry 2 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,145 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · price: On February 15, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
| February 15, 2016 Filed Feb 17, 2016 22:20 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 8,458 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-026817 · doc4.xml · nonDerivative · entry 1 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,703 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. Read SEC document |
| February 10, 2016 Filed Feb 12, 2016 22:47 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2013 Restricted Stock Units · Derivative | 2,347 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-026374 · doc4.xml · derivative · entry 4 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,347 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On February 10, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. F1 · price: On February 10, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. F3 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2014 and annually thereafter. F3 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2014 and annually thereafter. Read SEC document |
| February 10, 2016 Filed Feb 12, 2016 22:47 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 2,347 | $62.74 | $147,250.78 |
DisclosureSEC source: 0001225208-16-026374 · doc4.xml · nonDerivative · entry 3 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,245 F1 · price: On February 10, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. Read SEC document |
| February 10, 2016 Filed Feb 12, 2016 22:47 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,756 | $62.24 | $109,293.44 |
DisclosureSEC source: 0001225208-16-026374 · doc4.xml · nonDerivative · entry 2 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,592 F2 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 31, 2013. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 10, 2016 Filed Feb 12, 2016 22:47 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 2,347 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-026374 · doc4.xml · nonDerivative · entry 1 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,348 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: On February 10, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. Read SEC document |
| February 04, 2016 Filed Feb 9, 2016 02:12 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantStock Options · Derivative | 28,676 | $0.00 Strike: $63.73 | $0.00 |
DisclosureSEC source: 0001225208-16-025847 · doc4.xml · derivative · entry 4 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,676 Underlying: Common Stock · 28,676 shares Expires 2026-02-03 F6 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on February 15, 2017 and annually thereafter. 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.