Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CAPITAL ONE FINANCIAL CORPCOF · Entity 547 | Senior Advisor to CEO | March 11, 2024 | March 13, 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 March 11, 2024 · Filed March 13, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 106,424 |
Reported balance
After 2024-03-11 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2024-03-11 · Grant · Acquired 15,587 · Balance 106,424 F1: These shares were earned pursuant to a performance share award agreement granted on February 4, 2021, as amended on November 2, 2023, based on the Company's Common Dividends + Growth of Tangible Book Value per Share and Adjusted ROTCE against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant. F2: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction. |
| Common StockSEC Table I · non-derivative | Direct | 98,614 |
Reported balance
After 2024-03-11 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2024-03-11 · Tax withholding · Disposed 7,810 · Balance 98,614 F3: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement. |
| Common StockSEC Table I · non-derivative | IndirectBy Spouse | 94 |
Reported balance
Holding disclosure · report date 2024-03-11 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 94 |
Filing footnotes · ownership attribution and instrument terms
F1: These shares were earned pursuant to a performance share award agreement granted on February 4, 2021, as amended on November 2, 2023, based on the Company's Common Dividends + Growth of Tangible Book Value per Share and Adjusted ROTCE against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant.
F2: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction.
F3: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement.
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 |
|---|---|---|---|---|---|---|
| March 11, 2024 Filed Mar 13, 2024 22:54 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 7,810 | $138.46 | $1,081,372.60 |
DisclosureSEC source: 0000927628-24-000134 · wk-form4_1710370474.xml · nonDerivative · entry 2 Hall Sheldon · CIK 0001748065 · Senior Advisor to CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 98,614 F3 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement. Read SEC document |
| March 11, 2024 Filed Mar 13, 2024 22:54 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 15,587 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-24-000134 · wk-form4_1710370474.xml · nonDerivative · entry 1 Hall Sheldon · CIK 0001748065 · Senior Advisor to CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 106,424 F1 · kind: These shares were earned pursuant to a performance share award agreement granted on February 4, 2021, as amended on November 2, 2023, based on the Company's Common Dividends + Growth of Tangible Book Value per Share and Adjusted ROTCE against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant. F2 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction. Read SEC document |
| February 15, 2024 Filed Feb 20, 2024 21:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,860 | $136.36 | $253,629.60 |
DisclosureSEC source: 0000927628-24-000080 · wk-form4_1708463577.xml · nonDerivative · entry 3 Hall Sheldon · CIK 0001748065 · Senior Advisor to CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 90,737 F3 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 26, 2023. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2024 Filed Feb 20, 2024 21:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,022 | $136.36 | $139,359.92 |
DisclosureSEC source: 0000927628-24-000080 · wk-form4_1708463577.xml · nonDerivative · entry 2 Hall Sheldon · CIK 0001748065 · Senior Advisor to CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 92,597 F2 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on February 3, 2022. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2024 Filed Feb 20, 2024 21:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,094 | $136.36 | $149,177.84 |
DisclosureSEC source: 0000927628-24-000080 · wk-form4_1708463577.xml · nonDerivative · entry 1 Hall Sheldon · CIK 0001748065 · Senior Advisor to CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 93,619 F1 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on February 4, 2021. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 01, 2024 Filed Feb 5, 2024 21:53 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 9,624 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-24-000039 · wk-form4_1707169999.xml · nonDerivative · entry 1 Hall Sheldon · CIK 0001748065 · Senior Advisor to CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 94,713 F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2025 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock. F2 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction. Read SEC document |
| March 01, 2023 Filed Mar 3, 2023 21:07 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 7,364 | $108.58 | $799,583.12 |
DisclosureSEC source: 0000927628-23-000133 · wf-form4_167787761832723.xml · nonDerivative · entry 2 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,733 F2 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement. Read SEC document |
| March 01, 2023 Filed Mar 3, 2023 21:07 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 14,703 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-23-000133 · wf-form4_167787761832723.xml · nonDerivative · entry 1 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,097 F1 · kind: These shares were earned pursuant to an award of performance shares granted on January 30, 2020 based on the Company's Common Dividends + Growth of Tangible Book Value per Share and Adjusted ROTCE against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant. Read SEC document |
| February 15, 2023 Filed Feb 17, 2023 21:11 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,087 | $114.63 | $124,602.81 |
DisclosureSEC source: 0000927628-23-000097 · wf-form4_167666825042480.xml · nonDerivative · entry 3 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,394 F3 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on February 3, 2022. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2023 Filed Feb 17, 2023 21:11 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,089 | $114.63 | $124,832.07 |
DisclosureSEC source: 0000927628-23-000097 · wf-form4_167666825042480.xml · nonDerivative · entry 2 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,481 F2 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on February 4, 2021. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2023 Filed Feb 17, 2023 21:11 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,094 | $114.63 | $125,405.22 |
DisclosureSEC source: 0000927628-23-000097 · wf-form4_167666825042480.xml · nonDerivative · entry 1 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,570 F1 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 30, 2020. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| January 26, 2023 Filed Jan 30, 2023 22:14 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 12,327 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-23-000054 · wf-form4_167511686226755.xml · nonDerivative · entry 1 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,664 F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2024 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock. Read SEC document |
| May 26, 2022 Filed May 31, 2022 20:17 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 4,094 | $125.00 | $511,750.00 |
DisclosureSEC source: 0000927628-22-000208 · wf-form4_165402821281246.xml · nonDerivative · entry 2 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 94 F3 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person's spouse on November 12, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| May 26, 2022 Filed May 31, 2022 20:17 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 14,504 | $125.00 | $1,813,000.00 |
DisclosureSEC source: 0000927628-22-000208 · wf-form4_165402821281246.xml · nonDerivative · entry 1 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,337 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 12, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction. Read SEC document |
| March 11, 2022 Filed Mar 15, 2022 20:11 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 7,925 | $130.09 | $1,030,963.25 |
DisclosureSEC source: 0000927628-22-000130 · wf-form4_164737507061015.xml · nonDerivative · entry 2 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,830 F3 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement. Read SEC document |
| March 11, 2022 Filed Mar 15, 2022 20:11 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 16,407 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-22-000130 · wf-form4_164737507061015.xml · nonDerivative · entry 1 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,755 F1 · security: These shares were earned pursuant to an award of performance shares granted on January 31, 2019 based on the Company's Common Dividends + Growth of Tangible Book Value per Share and Adjusted ROTCE against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant. F2 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction. Read SEC document |
| February 15, 2022 Filed Feb 17, 2022 21:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,465 | $158.89 | $232,773.85 |
DisclosureSEC source: 0000927628-22-000090 · wf-form4_164513238070690.xml · nonDerivative · entry 3 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,259 F3 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on February 4, 2021. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2022 Filed Feb 17, 2022 21:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,039 | $158.89 | $165,086.71 |
DisclosureSEC source: 0000927628-22-000090 · wf-form4_164513238070690.xml · nonDerivative · entry 2 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,724 F2 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 30, 2020. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2022 Filed Feb 17, 2022 21:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 967 | $158.89 | $153,646.63 |
DisclosureSEC source: 0000927628-22-000090 · wf-form4_164513238070690.xml · nonDerivative · entry 1 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,763 F1 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 31, 2019. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 03, 2022 Filed Feb 7, 2022 21:35 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 8,769 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-22-000054 · wf-form4_164426968263288.xml · nonDerivative · entry 1 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,730 F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2023 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock. F2 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction. Read SEC document |
| March 11, 2021 Filed Mar 15, 2021 21:21 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,405 | $132.10 | $185,600.50 |
DisclosureSEC source: 0000927628-21-000141 · wf-form4_161584325372567.xml · nonDerivative · entry 2 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,845 F3 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement. Read SEC document |
| March 11, 2021 Filed Mar 15, 2021 21:21 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 2,908 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-21-000141 · wf-form4_161584325372567.xml · nonDerivative · entry 1 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,250 F1 · security: These shares were earned pursuant to an award of performance shares granted on February 1, 2018 based on the Company's Common Dividends + Growth of Tangible Book Value per Share and Adjusted ROTCE against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant. F2 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction. Read SEC document |
| February 15, 2021 Filed Feb 17, 2021 21:53 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2018 Restricted Stock Units · Derivative | 1,116 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-21-000077 · wf-form4_161359877496980.xml · derivative · entry 9 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,116 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On February 15, 2021, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F1 · price: On February 15, 2021, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F5 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2019 and annually thereafter. F5 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2019 and annually thereafter. Read SEC document |
| February 15, 2021 Filed Feb 17, 2021 21:53 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 37 | $117.75 | $4,356.75 |
DisclosureSEC source: 0000927628-21-000077 · wf-form4_161359877496980.xml · nonDerivative · entry 8 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 4,670 F4 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 30, 2020. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2021 Filed Feb 17, 2021 21:53 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 48 | $117.75 | $5,652.00 |
DisclosureSEC source: 0000927628-21-000077 · wf-form4_161359877496980.xml · nonDerivative · entry 7 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 4,707 F3 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 31, 2019. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2021 Filed Feb 17, 2021 21:53 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 33 | $117.75 | $3,885.75 |
DisclosureSEC source: 0000927628-21-000077 · wf-form4_161359877496980.xml · nonDerivative · entry 6 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 4,755 F2 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on February 1, 2018. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2021 Filed Feb 17, 2021 21:53 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,039 | $117.75 | $122,342.25 |
DisclosureSEC source: 0000927628-21-000077 · wf-form4_161359877496980.xml · nonDerivative · entry 5 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,233 F4 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 30, 2020. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2021 Filed Feb 17, 2021 21:53 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 968 | $117.75 | $113,982.00 |
DisclosureSEC source: 0000927628-21-000077 · wf-form4_161359877496980.xml · nonDerivative · entry 4 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,272 F3 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 31, 2019. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2021 Filed Feb 17, 2021 21:53 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 798 | $117.75 | $93,964.50 |
DisclosureSEC source: 0000927628-21-000077 · wf-form4_161359877496980.xml · nonDerivative · entry 3 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,240 F2 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on February 1, 2018. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2021 Filed Feb 17, 2021 21:53 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 1,116 | $109.60 | $122,313.60 |
DisclosureSEC source: 0000927628-21-000077 · wf-form4_161359877496980.xml · nonDerivative · entry 2 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,038 F1 · price: On February 15, 2021, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
| February 15, 2021 Filed Feb 17, 2021 21:53 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 1,116 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-21-000077 · wf-form4_161359877496980.xml · nonDerivative · entry 1 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,154 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: On February 15, 2021, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
| February 04, 2021 Filed Feb 8, 2021 22:12 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 329 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-21-000049 · wf-form4_161282232561908.xml · nonDerivative · entry 2 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 4,788 F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2022 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock. F3 · balance_after: Includes shares acquired by the reporting person's spouse through the Company's Associate Stock Purchase Plan since the last reported transaction. Read SEC document |
| February 04, 2021 Filed Feb 8, 2021 22:12 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 9,345 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-21-000049 · wf-form4_161282232561908.xml · nonDerivative · entry 1 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,038 F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2022 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock. F2 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction. Read SEC document |
| March 05, 2020 Filed Mar 9, 2020 20:11 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 2,038 | $85.08 | $173,393.04 |
DisclosureSEC source: 0000927628-20-000137 · wf-form4_158378466872764.xml · nonDerivative · entry 2 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,450 F3 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement. Read SEC document |
| March 05, 2020 Filed Mar 9, 2020 20:11 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 4,219 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000137 · wf-form4_158378466872764.xml · nonDerivative · entry 1 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,488 F1 · security: These shares were earned pursuant to an award of performance shares granted on February 2, 2017 based on the Company's Adjusted ROA against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant. F2 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction. Read SEC document |
| February 15, 2020 Filed Feb 20, 2020 00:25 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2018 Restricted Stock Units · Derivative | 1,115 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000085 · wf-form4_158215828834276.xml · derivative · entry 12 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,116 Underlying: Common Stock · 1,115 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On February 15, 2020, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F1 · price: On February 15, 2020, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F7 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2019 and annually thereafter. F7 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2019 and annually thereafter. Read SEC document |
| February 15, 2020 Filed Feb 20, 2020 00:25 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2017 Restricted Stock Units · Derivative | 1,225 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000085 · wf-form4_158215828834276.xml · derivative · entry 11 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,225 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On February 15, 2020, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F1 · price: On February 15, 2020, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F6 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2018 and annually thereafter. F6 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2018 and annually thereafter. Read SEC document |
| February 15, 2020 Filed Feb 20, 2020 00:25 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 48 | $102.64 | $4,926.72 |
DisclosureSEC source: 0000927628-20-000085 · wf-form4_158215828834276.xml · nonDerivative · entry 10 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 4,016 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 January 31, 2019. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2020 Filed Feb 20, 2020 00:25 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 32 | $102.64 | $3,284.48 |
DisclosureSEC source: 0000927628-20-000085 · wf-form4_158215828834276.xml · nonDerivative · entry 9 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 4,064 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 February 1, 2018. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2020 Filed Feb 20, 2020 00:25 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 43 | $102.64 | $4,413.52 |
DisclosureSEC source: 0000927628-20-000085 · wf-form4_158215828834276.xml · nonDerivative · entry 8 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 4,096 F3 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on February 2, 2017. This is authorized in the applicable restricted stock award agreement. F2 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction. Read SEC document |
| February 15, 2020 Filed Feb 20, 2020 00:25 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,403 | $102.64 | $144,003.92 |
DisclosureSEC source: 0000927628-20-000085 · wf-form4_158215828834276.xml · nonDerivative · entry 7 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,104 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 January 31, 2019. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2020 Filed Feb 20, 2020 00:25 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,160 | $102.64 | $119,062.40 |
DisclosureSEC source: 0000927628-20-000085 · wf-form4_158215828834276.xml · nonDerivative · entry 6 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,507 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 February 1, 2018. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2020 Filed Feb 20, 2020 00:25 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,284 | $102.64 | $131,789.76 |
DisclosureSEC source: 0000927628-20-000085 · wf-form4_158215828834276.xml · nonDerivative · entry 5 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,667 F3 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on February 2, 2017. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2020 Filed Feb 20, 2020 00:25 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 1,115 | $102.03 | $113,763.45 |
DisclosureSEC source: 0000927628-20-000085 · wf-form4_158215828834276.xml · nonDerivative · entry 4 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,951 F1 · price: On February 15, 2020, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
| February 15, 2020 Filed Feb 20, 2020 00:25 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 1,225 | $102.03 | $124,986.75 |
DisclosureSEC source: 0000927628-20-000085 · wf-form4_158215828834276.xml · nonDerivative · entry 3 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,066 F1 · price: On February 15, 2020, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
| February 15, 2020 Filed Feb 20, 2020 00:25 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 1,115 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000085 · wf-form4_158215828834276.xml · nonDerivative · entry 2 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,291 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: On February 15, 2020, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
| February 15, 2020 Filed Feb 20, 2020 00:25 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 1,225 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000085 · wf-form4_158215828834276.xml · nonDerivative · entry 1 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,176 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: On February 15, 2020, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F2 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction. Read SEC document |
| January 30, 2020 Filed Feb 3, 2020 21:54 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 299 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000041 · wf-form4_158076684287581.xml · nonDerivative · entry 2 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 4,097 F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2021 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock. F3 · balance_after: Includes shares acquired by the reporting person's spouse through the Company's Associate Stock Purchase Plan since the last reported transaction. Read SEC document |
| January 30, 2020 Filed Feb 3, 2020 21:54 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 9,367 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000041 · wf-form4_158076684287581.xml · nonDerivative · entry 1 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,764 F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2021 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock. F2 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction. Read SEC document |
| March 07, 2019 Filed Mar 11, 2019 20:11 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,796 | $81.28 | $145,978.88 |
DisclosureSEC source: 0000927628-19-000137 · wf-form4_155233509989502.xml · nonDerivative · entry 2 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,146 F3 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.