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 |
|---|---|---|---|---|---|---|
| April 25, 2013 Filed Apr 29, 2013 21:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 9,052 | $57.05 | $516,416.60 |
DisclosureSEC source: 0001225208-13-010550 · doc4.xml · nonDerivative · entry 1 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 January 22, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · balance_after: This amount excludes 2,459 shares that were over reported in prior forms for the reporting person, due to an administrative error. Read SEC document |
| February 10, 2013 Filed Feb 13, 2013 00:17 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionRestricted Stock Units · Derivative | 2,459 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-003865 · doc4.xml · derivative · entry 4 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,919 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, 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 February 10, 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. F3 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2013 and annually thereafter. F3 · 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, 2013 Filed Feb 13, 2013 00:17 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 2,459 | $57.87 | $142,302.33 |
DisclosureSEC source: 0001225208-13-003865 · doc4.xml · nonDerivative · entry 3 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,021 F1 · price: On February 10, 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 |
| February 10, 2013 Filed Feb 13, 2013 00:17 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,009 | $57.27 | $57,785.43 |
DisclosureSEC source: 0001225208-13-003865 · doc4.xml · nonDerivative · entry 2 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,480 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, 2013 Filed Feb 13, 2013 00:17 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 2,459 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-003865 · doc4.xml · nonDerivative · entry 1 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,489 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, 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 |
| January 31, 2013 Filed Feb 4, 2013 21:55 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantRestricted Stock Units · Derivative | 7,387 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-002882 · doc4.xml · derivative · entry 3 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,387 Underlying: Common Stock · 7,387 shares Expires 2013-12-15 F2 · derivative.exercise_price: Each restricted stock unit will be settled in cash based on the Company's average fair market value of the underlying shares of common stock over the twenty trading days preceding the vesting date. Read SEC document |
| January 31, 2013 Filed Feb 4, 2013 21:55 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Grant2013 Restricted Stock Units · Derivative | 7,038 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-002882 · doc4.xml · derivative · entry 2 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,038 Underlying: Common Stock · 7,038 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit will be settled in cash based on the Company's average fair market value of the underlying shares of common stock over the twenty trading days preceding the vesting date. F3 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on February 10, 2014 and annually thereafter. F3 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 10, 2014 and annually thereafter. Read SEC document |
| January 31, 2013 Filed Feb 4, 2013 21:55 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 14,532 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-002882 · doc4.xml · nonDerivative · entry 1 Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,030 F1 · security: This restricted stock will vest in 1/3 increments beginning on February 10, 2014 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.