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 07, 2019 Filed Mar 11, 2019 20:11 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 3,719 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-19-000137 · wf-form4_155233509989502.xml · nonDerivative · entry 1 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,942 F1 · security: These shares were earned pursuant to an award of performance shares granted on February 4, 2016 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, 2019 Filed Feb 20, 2019 21:48 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: 0000927628-19-000101 · wf-form4_155069932222732.xml · derivative · entry 15 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,231 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, 2019, 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, 2019, 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. F9 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2019 and annually thereafter. F9 · 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, 2019 Filed Feb 20, 2019 21:48 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: 0000927628-19-000101 · wf-form4_155069932222732.xml · derivative · entry 14 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,225 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, 2019, 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, 2019, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F8 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2018 and annually thereafter. F8 · 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, 2019 Filed Feb 20, 2019 21:48 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2016 Restricted Stock Units · Derivative | 537 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-19-000101 · wf-form4_155069932222732.xml · derivative · entry 13 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 537 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, 2019, 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, 2019, 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, 2017 and annually thereafter. F7 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2017 and annually thereafter. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 21:48 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 32 | $81.57 | $2,610.24 |
DisclosureSEC source: 0000927628-19-000101 · wf-form4_155069932222732.xml · nonDerivative · entry 12 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 3,456 F5 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on February 1, 2018. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 21:48 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 42 | $81.57 | $3,425.94 |
DisclosureSEC source: 0000927628-19-000101 · wf-form4_155069932222732.xml · nonDerivative · entry 11 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 3,488 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 2, 2017. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 21:48 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 33 | $81.57 | $2,691.81 |
DisclosureSEC source: 0000927628-19-000101 · wf-form4_155069932222732.xml · nonDerivative · entry 10 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 3,530 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, 2016. This is authorized in the applicable restricted stock award agreement. F6 · 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 15, 2019 Filed Feb 20, 2019 21:48 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,160 | $81.57 | $94,621.20 |
DisclosureSEC source: 0000927628-19-000101 · wf-form4_155069932222732.xml · nonDerivative · entry 9 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,026 F5 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on February 1, 2018. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 21:48 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,282 | $81.57 | $104,572.74 |
DisclosureSEC source: 0000927628-19-000101 · wf-form4_155069932222732.xml · nonDerivative · entry 8 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,186 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 2, 2017. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 21:48 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,127 | $81.57 | $91,929.39 |
DisclosureSEC source: 0000927628-19-000101 · wf-form4_155069932222732.xml · nonDerivative · entry 7 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,468 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, 2016. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 21:48 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 1,115 | $79.85 | $89,032.75 |
DisclosureSEC source: 0000927628-19-000101 · wf-form4_155069932222732.xml · nonDerivative · entry 6 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,595 F1 · price: On February 15, 2019, 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, 2019 Filed Feb 20, 2019 21:48 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 1,225 | $79.85 | $97,816.25 |
DisclosureSEC source: 0000927628-19-000101 · wf-form4_155069932222732.xml · nonDerivative · entry 5 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,710 F1 · price: On February 15, 2019, 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, 2019 Filed Feb 20, 2019 21:48 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 537 | $79.85 | $42,879.45 |
DisclosureSEC source: 0000927628-19-000101 · wf-form4_155069932222732.xml · nonDerivative · entry 4 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,935 F1 · price: On February 15, 2019, 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, 2019 Filed Feb 20, 2019 21:48 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 1,115 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-19-000101 · wf-form4_155069932222732.xml · nonDerivative · entry 3 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,472 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, 2019, 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, 2019 Filed Feb 20, 2019 21:48 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 1,225 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-19-000101 · wf-form4_155069932222732.xml · nonDerivative · entry 2 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,357 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, 2019, 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, 2019 Filed Feb 20, 2019 21:48 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 537 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-19-000101 · wf-form4_155069932222732.xml · nonDerivative · entry 1 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,132 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, 2019, 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 31, 2019 Filed Feb 4, 2019 23:57 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 379 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-19-000054 · wf-form4_154932462701533.xml · nonDerivative · entry 2 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 3,530 F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2020 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 since the filing of the reporting person's Initial Statement of Beneficial Ownership of Securities filed on Form 3 dated August 13, 2018. Read SEC document |
| January 31, 2019 Filed Feb 4, 2019 23:57 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 8,726 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-19-000054 · wf-form4_154932462701533.xml · nonDerivative · entry 1 Hall Sheldon · CIK 0001748065 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,465 F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2020 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 filing of the reporting person's Initial Statement of Beneficial Ownership of Securities filed on Form 3 dated August 13, 2018. 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.