Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CAPITAL ONE FINANCIAL CORPCOF · Entity 547 | Director | May 05, 2022 | May 09, 2022 |
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 May 05, 2022 · Filed May 09, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 22,124 |
Reported balance
After 2022-05-05 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2022-05-05 · Grant · Acquired 1,612 · Balance 22,124 F1: Restricted stock unites which vest in their entirety on May 5, 2023 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement. |
Filing footnotes · ownership attribution and instrument terms
F1: Restricted stock unites which vest in their entirety on May 5, 2023 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.
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 |
|---|---|---|---|---|---|---|
| September 29, 2004 Filed Oct 1, 2004 21:33 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 67,500 | $48.54 | $3,276,450.00 |
DisclosureSEC source: 0001179230-04-000035 · wes362.xml · nonDerivative · entry 2 WEST CATHERINE · CIK 0001238043 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 158,557 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 · security: This transaction was executed pursuant to two separate trading plans entered into by the Reporting Person on November 7, 2003 and July 27, 2004 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| September 29, 2004 Filed Oct 1, 2004 21:33 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 18,000 | $46.38 | $834,840.00 |
DisclosureSEC source: 0001179230-04-000035 · wes362.xml · nonDerivative · entry 1 WEST CATHERINE · CIK 0001238043 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,057 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on November 7, 2003 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| July 28, 2004 Filed Jul 30, 2004 22:02 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 6,489 | $0.00 Strike: $46.22 | $0.00 |
DisclosureSEC source: 0001242043-04-000036 · wes337.xml · derivative · entry 2 WEST CATHERINE · CIK 0001238043 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,489 shares Expires 2010-04-27 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_date: This option became exercisable in 33 1/3% increments beginning on April 27, 2001 and annually from that date thereafter. Read SEC document |
| July 28, 2004 Filed Jul 30, 2004 22:02 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 6,489 | $46.22 | $299,921.58 |
DisclosureSEC source: 0001242043-04-000036 · wes337.xml · nonDerivative · entry 1 WEST CATHERINE · CIK 0001238043 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,966 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 · balance_after: Includes 181 shares acquired under the Company's Associate Stock Purchase Plan since last reported through July 28, 2004. Read SEC document |
| May 07, 2004 Filed May 11, 2004 19:29 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 18,000 | $0.00 Strike: $46.38 | $0.00 |
DisclosureSEC source: 0001242043-04-000018 · wes318.xml · derivative · entry 3 WEST CATHERINE · CIK 0001238043 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,000 Underlying: Common Stock · 18,000 shares Expires 2010-05-30 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. F3 · derivative.exercise_date: This option becomes exercisable in 33 1/3% increments beginning on May 30, 2001 and annually from that date thereafter. Read SEC document |
| May 07, 2004 Filed May 11, 2004 19:29 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 18,000 | $65.40 | $1,177,200.00 |
DisclosureSEC source: 0001242043-04-000018 · wes318.xml · nonDerivative · entry 2 WEST CATHERINE · CIK 0001238043 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,296 F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on November 7, 2003 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. F2 · balance_after: Includes 1,810 shares acquired under the Company's Associate Stock Purchase Plan since last reported through May 11, 2004. Read SEC document |
| May 07, 2004 Filed May 11, 2004 19:29 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 18,000 | $46.38 | $834,840.00 |
DisclosureSEC source: 0001242043-04-000018 · wes318.xml · nonDerivative · entry 1 WEST CATHERINE · CIK 0001238043 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,296 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on November 7, 2003 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| March 08, 2004 Filed Mar 9, 2004 22:50 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 24,000 | $0.00 Strike: $46.22 | $0.00 |
DisclosureSEC source: 0001242043-04-000013 · wes313.xml · derivative · entry 3 WEST CATHERINE · CIK 0001238043 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,489 Underlying: Common Stock · 24,000 shares Expires 2010-04-27 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_date: This option became exercisable in 33 1/3% increments beginning on April 27, 2001 and annually from that date thereafter. Read SEC document |
| March 08, 2004 Filed Mar 9, 2004 22:50 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 24,000 | $72.80 | $1,747,200.00 |
DisclosureSEC source: 0001242043-04-000013 · wes313.xml · nonDerivative · entry 2 WEST CATHERINE · CIK 0001238043 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,486 F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on November 7, 2003 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| March 08, 2004 Filed Mar 9, 2004 22:50 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 24,000 | $46.22 | $1,109,280.00 |
DisclosureSEC source: 0001242043-04-000013 · wes313.xml · nonDerivative · entry 1 WEST CATHERINE · CIK 0001238043 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,486 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on November 7, 2003 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| February 17, 2004 Filed Feb 19, 2004 20:47 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 30,000 | $0.00 Strike: $48.54 | $0.00 |
DisclosureSEC source: 0001242043-04-000010 · wes311.xml · derivative · entry 14 WEST CATHERINE · CIK 0001238043 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 145,000 Underlying: Common Stock · 30,000 shares Expires 2006-10-18 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_date: This option becomes exercisable in 33 1/3% increments beginning on October 18, 2002 and annually from that date thereafter. Read SEC document |
| February 17, 2004 Filed Feb 19, 2004 20:47 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 3,700 | $71.40 | $264,180.00 |
DisclosureSEC source: 0001242043-04-000010 · wes311.xml · nonDerivative · entry 13 WEST CATHERINE · CIK 0001238043 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,486 Read SEC document |
| February 17, 2004 Filed Feb 19, 2004 20:47 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 3,300 | $71.39 | $235,587.00 |
DisclosureSEC source: 0001242043-04-000010 · wes311.xml · nonDerivative · entry 12 WEST CATHERINE · CIK 0001238043 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,186 Read SEC document |
| February 17, 2004 Filed Feb 19, 2004 20:47 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 500 | $71.37 | $35,685.00 |
DisclosureSEC source: 0001242043-04-000010 · wes311.xml · nonDerivative · entry 11 WEST CATHERINE · CIK 0001238043 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,486 Read SEC document |
| February 17, 2004 Filed Feb 19, 2004 20:47 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 3,500 | $71.35 | $249,725.00 |
DisclosureSEC source: 0001242043-04-000010 · wes311.xml · nonDerivative · entry 10 WEST CATHERINE · CIK 0001238043 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,986 Read SEC document |
| February 17, 2004 Filed Feb 19, 2004 20:47 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 500 | $71.31 | $35,655.00 |
DisclosureSEC source: 0001242043-04-000010 · wes311.xml · nonDerivative · entry 9 WEST CATHERINE · CIK 0001238043 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,486 Read SEC document |
| February 17, 2004 Filed Feb 19, 2004 20:47 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 500 | $71.30 | $35,650.00 |
DisclosureSEC source: 0001242043-04-000010 · wes311.xml · nonDerivative · entry 8 WEST CATHERINE · CIK 0001238043 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,986 Read SEC document |
| February 17, 2004 Filed Feb 19, 2004 20:47 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 500 | $71.29 | $35,645.00 |
DisclosureSEC source: 0001242043-04-000010 · wes311.xml · nonDerivative · entry 7 WEST CATHERINE · CIK 0001238043 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,486 Read SEC document |
| February 17, 2004 Filed Feb 19, 2004 20:47 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 1,000 | $71.27 | $71,270.00 |
DisclosureSEC source: 0001242043-04-000010 · wes311.xml · nonDerivative · entry 6 WEST CATHERINE · CIK 0001238043 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,986 Read SEC document |
| February 17, 2004 Filed Feb 19, 2004 20:47 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 1,000 | $71.26 | $71,260.00 |
DisclosureSEC source: 0001242043-04-000010 · wes311.xml · nonDerivative · entry 5 WEST CATHERINE · CIK 0001238043 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,986 Read SEC document |
| February 17, 2004 Filed Feb 19, 2004 20:47 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 14,500 | $71.20 | $1,032,400.00 |
DisclosureSEC source: 0001242043-04-000010 · wes311.xml · nonDerivative · entry 4 WEST CATHERINE · CIK 0001238043 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,986 Read SEC document |
| February 17, 2004 Filed Feb 19, 2004 20:47 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 500 | $71.17 | $35,585.00 |
DisclosureSEC source: 0001242043-04-000010 · wes311.xml · nonDerivative · entry 3 WEST CATHERINE · CIK 0001238043 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,486 Read SEC document |
| February 17, 2004 Filed Feb 19, 2004 20:47 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 500 | $71.16 | $35,580.00 |
DisclosureSEC source: 0001242043-04-000010 · wes311.xml · nonDerivative · entry 2 WEST CATHERINE · CIK 0001238043 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,986 Read SEC document |
| February 17, 2004 Filed Feb 19, 2004 20:47 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 30,000 | $48.54 | $1,456,200.00 |
DisclosureSEC source: 0001242043-04-000010 · wes311.xml · nonDerivative · entry 1 WEST CATHERINE · CIK 0001238043 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,486 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. Read SEC document |
| January 21, 2004 Filed Jan 22, 2004 22:06 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 30,511 | $0.00 Strike: $46.22 | $0.00 |
DisclosureSEC source: 0001242043-04-000004 · wes302.xml · derivative · entry 3 WEST CATHERINE · CIK 0001238043 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,489 Underlying: Common Stock · 30,511 shares Expires 2010-04-27 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_date: This option became exercisable in 33 1/3% increments beginning on April 27, 2001 and annually from that date thereafter. Read SEC document |
| January 21, 2004 Filed Jan 22, 2004 22:06 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 30,511 | $70.00 | $2,135,770.00 |
DisclosureSEC source: 0001242043-04-000004 · wes302.xml · nonDerivative · entry 2 WEST CATHERINE · CIK 0001238043 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,486 F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on November 7, 2003 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| January 21, 2004 Filed Jan 22, 2004 22:06 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 30,511 | $46.22 | $1,410,218.42 |
DisclosureSEC source: 0001242043-04-000004 · wes302.xml · nonDerivative · entry 1 WEST CATHERINE · CIK 0001238043 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,997 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on November 7, 2003 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| January 15, 2004 Filed Jan 20, 2004 23:30 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative | 24,000 | $0.00 Strike: $46.22 | $0.00 |
DisclosureSEC source: 0001242043-04-000001 · wes299.xml · derivative · entry 3 WEST CATHERINE · CIK 0001238043 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,000 Underlying: Common Stock · 24,000 shares Expires 2010-04-27 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. F3 · derivative.exercise_date: This option became exercisable in 33 1/3% increments beginning on April 27, 2001 and annually from that date thereafter. Read SEC document |
| January 15, 2004 Filed Jan 20, 2004 23:30 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 24,000 | $65.00 | $1,560,000.00 |
DisclosureSEC source: 0001242043-04-000001 · wes299.xml · nonDerivative · entry 2 WEST CATHERINE · CIK 0001238043 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,486 F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on November 7, 2003 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. F2 · balance_after: Includes 1,900 shares acquired under the Company's Associate Stock Purchase Plan since last reported through December 31, 2003. Read SEC document |
| January 15, 2004 Filed Jan 20, 2004 23:30 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 24,000 | $46.22 | $1,109,280.00 |
DisclosureSEC source: 0001242043-04-000001 · wes299.xml · nonDerivative · entry 1 WEST CATHERINE · CIK 0001238043 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,486 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was executed pursuant to a trading plan entered into by the Reporting Person on November 7, 2003 in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. Read SEC document |
| December 15, 2003 Filed Dec 18, 2003 00:32 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantEmployee Stock Option (Right to Buy) · Derivative | 40,200 | $0.00 Strike: $56.27 | $0.00 |
DisclosureSEC source: 0001242043-03-000143 · wes295.xml · derivative · entry 2 WEST CATHERINE · CIK 0001238043 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,200 Underlying: Common Stock · 40,200 shares Expires 2013-12-15 F2 · derivative.exercise_date: This option becomes exercisable in 33 1/3% increments beginning on December 15, 2004 and annually from that date thereafter. Read SEC document |
| December 15, 2003 Filed Dec 18, 2003 00:32 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 19,850 | $0.00 | $0.00 |
DisclosureSEC source: 0001242043-03-000143 · wes295.xml · nonDerivative · entry 1 WEST CATHERINE · CIK 0001238043 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,586 F1 · security: This grant of resticted stock will vest in the following manner: 25% will vest on December 15, 2004, 25% will vest on December 15, 2005 and 50% will vest on December 15, 2006. Read SEC document |
| June 08, 2003 Filed Jun 10, 2003 15:22 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001238038-03-000004 · wes147.xml · nonDerivative · entry 1 WEST CATHERINE · CIK 0001238043 · Executive Vice President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,736 F1 · security: Restricted Stock which vests in its entirety on June 8, 2006. 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.