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 04, 2016 Filed Feb 9, 2016 02:12 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantRestricted Stock Units · Derivative | 10,749 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-025847 · doc4.xml · derivative · entry 3 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,749 Underlying: Common Stock · 10,749 shares Expires 2017-02-15 F5 · derivative.exercise_price: Each restricted stock unit will vest on January 1, 2017 and will be 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. F5 · derivative.exercise_date: Each restricted stock unit will vest on January 1, 2017 and will be 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. F5 · derivative.expiration_date: Each restricted stock unit will vest on January 1, 2017 and will be 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 04, 2016 Filed Feb 9, 2016 02:12 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Grant2016 Restricted Stock Units · Derivative | 9,588 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-025847 · doc4.xml · derivative · entry 2 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,588 Underlying: Common Stock · 9,588 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 361 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, 2017 and annually thereafter. F4 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2017 and annually thereafter. F3 · derivative.underlying_shares: This award is reported net of 361 units automatically withheld by the Company to satisfy the reporting person's tax obligation. Read SEC document |
| February 04, 2016 Filed Feb 9, 2016 02:12 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 16,563 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-025847 · doc4.xml · nonDerivative · entry 1 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,001 F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2017 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock. Read SEC document |
| July 21, 2015 Filed Jul 23, 2015 21:06 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 1,811 | $91.42 | $165,561.62 |
DisclosureSEC source: 0001225208-15-015761 · doc4.xml · nonDerivative · entry 1 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,438 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on October 23, 2014, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| March 10, 2015 Filed Mar 12, 2015 22:05 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionPerformance Share Units · Derivative | 7,623 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-15-007741 · 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 · 7,623 shares Expires 2015-03-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: These performance shares for the January 31, 2012 grant were settled at the end of a three-year period based on the Company's Adjusted ROA against a peer group of companies. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant. F1 · derivative.exercise_date: These performance shares for the January 31, 2012 grant were settled at the end of a three-year period based on the Company's Adjusted ROA against a peer group of companies. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant. F1 · derivative.expiration_date: These performance shares for the January 31, 2012 grant were settled at the end of a three-year period based on the Company's Adjusted ROA against a peer group of companies. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant. Read SEC document |
| March 10, 2015 Filed Mar 12, 2015 22:05 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantPerformance Share Units · Derivative | 7,623 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-15-007741 · doc4.xml · derivative · entry 3 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,623 Underlying: Common Stock · 7,623 shares Expires 2015-03-15 F1 · derivative.exercise_price: These performance shares for the January 31, 2012 grant were settled at the end of a three-year period based on the Company's Adjusted ROA against a peer group of companies. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant. F1 · derivative.exercise_date: These performance shares for the January 31, 2012 grant were settled at the end of a three-year period based on the Company's Adjusted ROA against a peer group of companies. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant. F1 · derivative.expiration_date: These performance shares for the January 31, 2012 grant were settled at the end of a three-year period based on the Company's Adjusted ROA against a peer group of companies. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant. Read SEC document |
| March 10, 2015 Filed Mar 12, 2015 22:05 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 3,881 | $77.72 | $301,631.32 |
DisclosureSEC source: 0001225208-15-007741 · doc4.xml · nonDerivative · entry 2 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,249 F2 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares for the January 31, 2012 grant. This is authorized in the performance share award agreement. Read SEC document |
| March 10, 2015 Filed Mar 12, 2015 22:05 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 7,623 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-15-007741 · doc4.xml · nonDerivative · entry 1 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,130 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: These performance shares for the January 31, 2012 grant were settled at the end of a three-year period based on the Company's Adjusted ROA against a peer group of companies. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant. Read SEC document |
| February 15, 2015 Filed Feb 18, 2015 21:31 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionRestricted Stock Units · Derivative | 8,118 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-15-004488 · doc4.xml · derivative · entry 7 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,118 shares Expires 2015-02-15 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 unit vested on January 1, 2015 and settled in cash on February 15, 2015 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 unit vested on January 1, 2015 and settled in cash on February 15, 2015 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 unit vested on January 1, 2015 and settled in cash on February 15, 2015 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 unit vested on January 1, 2015 and settled in cash on February 15, 2015 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, 2015 Filed Feb 18, 2015 21:31 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: 0001225208-15-004488 · doc4.xml · derivative · entry 6 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,523 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, 2015, 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, 2015, 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. F4 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2015 and annually thereafter. F4 · 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, 2015 Filed Feb 18, 2015 21:31 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 8,118 | $76.27 | $619,159.86 |
DisclosureSEC source: 0001225208-15-004488 · doc4.xml · nonDerivative · entry 5 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,507 F1 · price: Each restricted stock unit vested on January 1, 2015 and settled in cash on February 15, 2015 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, 2015 Filed Feb 18, 2015 21:31 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 3,262 | $76.27 | $248,792.74 |
DisclosureSEC source: 0001225208-15-004488 · doc4.xml · nonDerivative · entry 4 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,625 F2 · price: On February 15, 2015, 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, 2015 Filed Feb 18, 2015 21:31 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,365 | $78.88 | $107,671.20 |
DisclosureSEC source: 0001225208-15-004488 · doc4.xml · nonDerivative · entry 3 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,887 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, 2015 Filed Feb 18, 2015 21:31 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 3,262 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-15-004488 · doc4.xml · nonDerivative · entry 2 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,252 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, 2015, 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, 2015 Filed Feb 18, 2015 21:31 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 8,118 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-15-004488 · doc4.xml · nonDerivative · entry 1 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,990 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 unit vested on January 1, 2015 and settled in cash on February 15, 2015 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 12, 2015 Filed Feb 17, 2015 21:31 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 2,060 | $0.00 Strike: $78.71 | $0.00 |
DisclosureSEC source: 0001225208-15-004251 · doc4.xml · derivative · entry 3 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,060 shares Expires 2015-03-14 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on October 23, 2014, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on March 15, 2006 and annually thereafter. Read SEC document |
| February 12, 2015 Filed Feb 17, 2015 21:31 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 2,060 | $78.72 | $162,163.20 |
DisclosureSEC source: 0001225208-15-004251 · doc4.xml · nonDerivative · entry 2 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,872 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on October 23, 2014, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| February 12, 2015 Filed Feb 17, 2015 21:31 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 2,060 | $78.71 | $162,142.60 |
DisclosureSEC source: 0001225208-15-004251 · doc4.xml · nonDerivative · entry 1 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,932 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 October 23, 2014, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| February 10, 2015 Filed Feb 12, 2015 21:54 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionRestricted Stock Units · Derivative | 2,460 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-15-003763 · doc4.xml · derivative · entry 8 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,460 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, 2015 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, 2015 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. F5 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2013 and annually thereafter. F5 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2013 and annually thereafter. Read SEC document |
| February 10, 2015 Filed Feb 12, 2015 21:54 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2013 Restricted Stock Units · Derivative | 2,346 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-15-003763 · doc4.xml · derivative · entry 7 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,347 Underlying: Common Stock · 2,346 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, 2015 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, 2015 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. F4 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2014 and annually thereafter. F4 · 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, 2015 Filed Feb 12, 2015 21:54 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 2,460 | $76.39 | $187,919.40 |
DisclosureSEC source: 0001225208-15-003763 · doc4.xml · nonDerivative · entry 6 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,872 F1 · price: On February 10, 2015 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, 2015 Filed Feb 12, 2015 21:54 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 2,346 | $76.39 | $179,210.94 |
DisclosureSEC source: 0001225208-15-003763 · doc4.xml · nonDerivative · entry 5 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,332 F1 · price: On February 10, 2015 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, 2015 Filed Feb 12, 2015 21:54 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,759 | $77.06 | $135,548.54 |
DisclosureSEC source: 0001225208-15-003763 · doc4.xml · nonDerivative · entry 4 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,678 F3 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 31, 2013. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 10, 2015 Filed Feb 12, 2015 21:54 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,339 | $77.06 | $103,183.34 |
DisclosureSEC source: 0001225208-15-003763 · doc4.xml · nonDerivative · entry 3 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,437 F2 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 31, 2012. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 10, 2015 Filed Feb 12, 2015 21:54 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 2,346 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-15-003763 · doc4.xml · nonDerivative · entry 2 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,776 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, 2015 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, 2015 Filed Feb 12, 2015 21:54 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 2,460 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-15-003763 · doc4.xml · nonDerivative · entry 1 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,430 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, 2015 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. Read SEC document |
| January 29, 2015 Filed Feb 2, 2015 22:34 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantStock Options · Derivative | 31,060 | $0.00 Strike: $74.96 | $0.00 |
DisclosureSEC source: 0001225208-15-002620 · doc4.xml · derivative · entry 4 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,060 Underlying: Common Stock · 31,060 shares Expires 2025-01-28 F6 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on February 15, 2016 and annually thereafter. Read SEC document |
| January 29, 2015 Filed Feb 2, 2015 22:34 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantRestricted Stock Units · Derivative | 8,458 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-15-002620 · doc4.xml · derivative · entry 3 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,458 Underlying: Common Stock · 8,458 shares Expires 2016-02-15 F5 · derivative.exercise_price: Each restricted stock unit will vest on January 1, 2016 and will be 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. F5 · derivative.exercise_date: Each restricted stock unit will vest on January 1, 2016 and will be 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. F5 · derivative.expiration_date: Each restricted stock unit will vest on January 1, 2016 and will be 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 |
| January 29, 2015 Filed Feb 2, 2015 22:34 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Grant2015 Restricted Stock Units · Derivative | 10,325 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-15-002620 · doc4.xml · derivative · entry 2 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,325 Underlying: Common Stock · 10,325 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 433 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, 2016 and annually thereafter. F4 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2016 and annually thereafter. F3 · derivative.underlying_shares: This award is reported net of 433 units automatically withheld by the Company to satisfy the reporting person's tax obligation. Read SEC document |
| January 29, 2015 Filed Feb 2, 2015 22:34 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 14,088 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-15-002620 · doc4.xml · nonDerivative · entry 1 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,970 F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2016 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock. Read SEC document |
| February 10, 2014 Filed Feb 13, 2014 00:15 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionRestricted Stock Units · Derivative | 2,459 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-14-004391 · doc4.xml · derivative · entry 8 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,460 Underlying: Common Stock · 2,459 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, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. F1 · price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. F5 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2013 and annually thereafter. F5 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2013 and annually thereafter. Read SEC document |
| February 10, 2014 Filed Feb 13, 2014 00:15 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2013 Restricted Stock Units · Derivative | 2,345 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-14-004391 · doc4.xml · derivative · entry 7 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,693 Underlying: Common Stock · 2,345 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, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. F1 · price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. F4 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2014 and annually thereafter. F4 · 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, 2014 Filed Feb 13, 2014 00:15 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 2,466 | $71.37 | $175,998.42 |
DisclosureSEC source: 0001225208-14-004391 · doc4.xml · nonDerivative · entry 6 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,882 F3 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 31, 2013. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 10, 2014 Filed Feb 13, 2014 00:15 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 2,459 | $72.24 | $177,638.16 |
DisclosureSEC source: 0001225208-14-004391 · doc4.xml · nonDerivative · entry 5 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,348 F1 · price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. Read SEC document |
| February 10, 2014 Filed Feb 13, 2014 00:15 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 2,345 | $72.24 | $169,402.80 |
DisclosureSEC source: 0001225208-14-004391 · doc4.xml · nonDerivative · entry 4 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,807 F1 · price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. Read SEC document |
| February 10, 2014 Filed Feb 13, 2014 00:15 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,878 | $71.37 | $134,032.86 |
DisclosureSEC source: 0001225208-14-004391 · doc4.xml · nonDerivative · entry 3 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,152 F2 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 31, 2012. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 10, 2014 Filed Feb 13, 2014 00:15 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 2,345 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-14-004391 · doc4.xml · nonDerivative · entry 2 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,030 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, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. Read SEC document |
| February 10, 2014 Filed Feb 13, 2014 00:15 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 2,459 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-14-004391 · doc4.xml · nonDerivative · entry 1 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,685 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, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. Read SEC document |
| January 30, 2014 Filed Jan 31, 2014 22:23 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 2,866 | $70.67 | $202,540.22 |
DisclosureSEC source: 0001225208-14-002966 · doc4.xml · nonDerivative · entry 1 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,952 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 2, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| January 30, 2014 Filed Feb 4, 2014 00:21 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantStock Options · Derivative | 22,135 | $0.00 Strike: $70.96 | $0.00 |
DisclosureSEC source: 0001225208-14-003166 · doc4.xml · derivative · entry 4 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,135 Underlying: Common Stock · 22,135 shares Expires 2024-01-29 F6 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on February 15, 2015 and annually thereafter. Read SEC document |
| January 30, 2014 Filed Feb 4, 2014 00:21 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantRestricted Stock Units · Derivative | 8,118 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-14-003166 · doc4.xml · derivative · entry 3 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,118 Underlying: Common Stock · 8,118 shares Expires 2015-02-15 F5 · derivative.exercise_price: Each restricted stock unit will vest on January 1, 2015 and will be settled in cash on February 15, 2015 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, 2015 and will be settled in cash on February 15, 2015 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, 2015 and will be settled in cash on February 15, 2015 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 |
| January 30, 2014 Filed Feb 4, 2014 00:21 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Grant2014 Restricted Stock Units · Derivative | 9,785 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-14-003166 · doc4.xml · derivative · entry 2 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,785 Underlying: Common Stock · 9,785 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 362 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, 2015 and annually thereafter. F4 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2015 and annually thereafter. F3 · derivative.underlying_shares: This award is reported net of 362 units automatically withheld by the Company to satisfy the reporting person's tax obligation. Read SEC document |
| January 30, 2014 Filed Feb 4, 2014 00:21 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 11,274 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-14-003166 · doc4.xml · nonDerivative · entry 1 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,226 F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2015 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock. Read SEC document |
| January 26, 2014 Filed Jan 28, 2014 21:52 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,692 | $70.57 | $119,404.44 |
DisclosureSEC source: 0001225208-14-002555 · doc4.xml · nonDerivative · entry 1 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,818 F1 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 26, 2011. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| December 15, 2013 Filed Dec 16, 2013 22:45 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionRestricted Stock Units · Derivative | 7,387 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-025474 · doc4.xml · derivative · entry 3 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,387 shares Expires 2013-12-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On December 15, 2013 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. F1 · price: On December 15, 2013 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. Read SEC document |
| December 15, 2013 Filed Dec 16, 2013 22:45 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 7,387 | $71.13 | $525,437.31 |
DisclosureSEC source: 0001225208-13-025474 · doc4.xml · nonDerivative · entry 2 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,510 Read SEC document |
| December 15, 2013 Filed Dec 16, 2013 22:45 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 7,387 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-025474 · doc4.xml · nonDerivative · entry 1 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,897 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: On December 15, 2013 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. Read SEC document |
| November 13, 2013 Filed Nov 14, 2013 21:34 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 2,000 | $0.00 Strike: $56.28 | $0.00 |
DisclosureSEC source: 0001225208-13-023516 · doc4.xml · derivative · entry 3 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,000 shares Expires 2013-12-14 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 2, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on December 15, 2004 and annually thereafter. Read SEC document |
| November 13, 2013 Filed Nov 14, 2013 21:34 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 2,000 | $69.28 | $138,560.00 |
DisclosureSEC source: 0001225208-13-023516 · doc4.xml · nonDerivative · entry 2 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,510 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 2, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| November 13, 2013 Filed Nov 14, 2013 21:34 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 2,000 | $56.28 | $112,560.00 |
DisclosureSEC source: 0001225208-13-023516 · doc4.xml · nonDerivative · entry 1 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,510 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 2, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.