Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CAPITAL ONE FINANCIAL CORPCOF · Entity 547 | President, Card | March 11, 2022 | April 07, 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 March 11, 2022 · Filed April 07, 2022 · Amendment
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy 2021 GRAT | 26,120 |
Reported balance
Holding disclosure · report date 2022-03-11 · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · Balance 26,120 F1: This holding of 26,120 shares by 2021 GRAT was omitted from the reporting person's original Form 4 filed on March 15, 2022 due to an administrative reporting error. |
| Common StockSEC Table I · non-derivative | IndirectBy Trust | 15 |
Reported balance
Holding disclosure · report date 2022-03-11 · row 2
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 2 · Balance 15 F2: This holding of 15 shares by Trust was omitted from the reporting person's original Form 4 filed on March 15, 2022 due to an administrative reporting error. |
Filing footnotes · ownership attribution and instrument terms
F1: This holding of 26,120 shares by 2021 GRAT was omitted from the reporting person's original Form 4 filed on March 15, 2022 due to an administrative reporting error.
F2: This holding of 15 shares by Trust was omitted from the reporting person's original Form 4 filed on March 15, 2022 due to an administrative reporting error.
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, 2022 Filed Mar 15, 2022 20:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 14,290 | $130.09 | $1,858,986.10 |
DisclosureSEC source: 0000927628-22-000134 · wf-form4_164737518574052.xml · nonDerivative · entry 2 Wassmer Michael J · CIK 0001691706 · President, Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,785 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 20:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 31,684 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-22-000134 · wf-form4_164737518574052.xml · nonDerivative · entry 1 Wassmer Michael J · CIK 0001691706 · President, Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 104,075 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 21:14 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,835 | $158.89 | $291,563.15 |
DisclosureSEC source: 0000927628-22-000093 · wf-form4_164513247358326.xml · nonDerivative · entry 3 Wassmer Michael J · CIK 0001691706 · President, Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,315 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 21:14 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,922 | $158.89 | $305,386.58 |
DisclosureSEC source: 0000927628-22-000093 · wf-form4_164513247358326.xml · nonDerivative · entry 2 Wassmer Michael J · CIK 0001691706 · President, Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,150 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 21:14 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,691 | $158.89 | $268,682.99 |
DisclosureSEC source: 0000927628-22-000093 · wf-form4_164513247358326.xml · nonDerivative · entry 1 Wassmer Michael J · CIK 0001691706 · President, Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,072 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 21:30 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 11,940 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-22-000043 · wf-form4_164426939144102.xml · nonDerivative · entry 1 Wassmer Michael J · CIK 0001691706 · President, Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,763 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 |
| May 13, 2021 Filed May 17, 2021 20:12 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 17,743 | $156.27 | $2,772,698.61 |
DisclosureSEC source: 0000927628-21-000214 · wf-form4_162128235946710.xml · nonDerivative · entry 1 Wassmer Michael J · CIK 0001691706 · President, Card 10b5-1 filing: Not disclosed Ownership: Indirect · By GRAT Disclosed balance after: 0 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $156.22 to $156.34. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| March 11, 2021 Filed Mar 15, 2021 21:22 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 5,854 | $132.10 | $773,313.40 |
DisclosureSEC source: 0000927628-21-000145 · wf-form4_161584334950811.xml · nonDerivative · entry 2 Wassmer Michael J · CIK 0001691706 · President, Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,798 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 21:22 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 12,980 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-21-000145 · wf-form4_161584334950811.xml · nonDerivative · entry 1 Wassmer Michael J · CIK 0001691706 · President, Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,652 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 21:33 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2018 Restricted Stock Units · Derivative | 2,081 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-21-000067 · wf-form4_161359757085595.xml · derivative · entry 8 Wassmer Michael J · CIK 0001691706 · President, Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,081 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 21:33 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 2,023 | $117.75 | $238,208.25 |
DisclosureSEC source: 0000927628-21-000067 · wf-form4_161359757085595.xml · nonDerivative · entry 5 Wassmer Michael J · CIK 0001691706 · President, Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,587 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 21:33 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,797 | $117.75 | $211,596.75 |
DisclosureSEC source: 0000927628-21-000067 · wf-form4_161359757085595.xml · nonDerivative · entry 4 Wassmer Michael J · CIK 0001691706 · President, Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,610 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 21:33 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,076 | $117.75 | $126,699.00 |
DisclosureSEC source: 0000927628-21-000067 · wf-form4_161359757085595.xml · nonDerivative · entry 3 Wassmer Michael J · CIK 0001691706 · President, Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,407 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 21:33 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 2,081 | $109.60 | $228,077.60 |
DisclosureSEC source: 0000927628-21-000067 · wf-form4_161359757085595.xml · nonDerivative · entry 2 Wassmer Michael J · CIK 0001691706 · President, Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,483 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 21:33 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 2,081 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-21-000067 · wf-form4_161359757085595.xml · nonDerivative · entry 1 Wassmer Michael J · CIK 0001691706 · President, Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,564 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 22:09 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 12,201 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-21-000043 · wf-form4_161282217785594.xml · nonDerivative · entry 1 Wassmer Michael J · CIK 0001691706 · President, Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,483 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 |
| December 09, 2020 Filed Dec 10, 2020 21:28 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 1,965 | $95.00 | $186,675.00 |
DisclosureSEC source: 0000927628-20-000314 · wf-form4_160763571192404.xml · nonDerivative · entry 1 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,189 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 13, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · balance_after: On November 12, 2020, the reporting person contributed 17,743 shares of Capital One common stock previously owned directly to a grantor retained annuity trust. Read SEC document |
| October 05, 2020 Filed Oct 7, 2020 20:19 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 13,784 | $48.28 Strike: $48.28 | $665,491.52 |
DisclosureSEC source: 0000927628-20-000262 · wf-form4_160210193599117.xml · derivative · entry 4 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 13,784 shares Expires 2021-01-25 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 13, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F3 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on January 26, 2012 and annually thereafter. Read SEC document |
| October 05, 2020 Filed Oct 7, 2020 20:19 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 13,784 | $78.00 | $1,075,152.00 |
DisclosureSEC source: 0000927628-20-000262 · wf-form4_160210193599117.xml · nonDerivative · entry 2 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,897 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 13, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| October 05, 2020 Filed Oct 7, 2020 20:19 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 13,784 | $48.28 | $665,491.52 |
DisclosureSEC source: 0000927628-20-000262 · wf-form4_160210193599117.xml · nonDerivative · entry 1 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,681 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 13, 2020, 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 05, 2020 Filed Mar 9, 2020 20:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 4,354 | $85.08 | $370,438.32 |
DisclosureSEC source: 0000927628-20-000143 · wf-form4_158378480721874.xml · nonDerivative · entry 2 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,783 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 20:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 9,654 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000143 · wf-form4_158378480721874.xml · nonDerivative · entry 1 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,137 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 00:23 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2018 Restricted Stock Units · Derivative | 2,081 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000082 · wf-form4_158215821938060.xml · derivative · entry 10 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,081 Underlying: Common Stock · 2,081 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 00:23 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2017 Restricted Stock Units · Derivative | 2,350 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000082 · wf-form4_158215821938060.xml · derivative · entry 9 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,350 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 00:23 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 2,534 | $102.64 | $260,089.76 |
DisclosureSEC source: 0000927628-20-000082 · wf-form4_158215821938060.xml · nonDerivative · entry 7 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,373 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 00:23 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,616 | $102.64 | $165,866.24 |
DisclosureSEC source: 0000927628-20-000082 · wf-form4_158215821938060.xml · nonDerivative · entry 6 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,907 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 00:23 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 2,743 | $102.64 | $281,541.52 |
DisclosureSEC source: 0000927628-20-000082 · wf-form4_158215821938060.xml · nonDerivative · entry 5 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,523 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 00:23 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 2,081 | $102.03 | $212,324.43 |
DisclosureSEC source: 0000927628-20-000082 · wf-form4_158215821938060.xml · nonDerivative · entry 4 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,266 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 00:23 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 2,350 | $102.03 | $239,770.50 |
DisclosureSEC source: 0000927628-20-000082 · wf-form4_158215821938060.xml · nonDerivative · entry 3 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,347 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 00:23 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 2,081 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000082 · wf-form4_158215821938060.xml · nonDerivative · entry 2 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102,697 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 00:23 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 2,350 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000082 · wf-form4_158215821938060.xml · nonDerivative · entry 1 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,616 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 21:58 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 13,454 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000053 · wf-form4_158076711047136.xml · nonDerivative · entry 1 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,133 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. Read SEC document |
| July 24, 2019 Filed Jul 25, 2019 01:49 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 8,212 | $95.03 | $780,386.36 |
DisclosureSEC source: 0000927628-19-000253 · wf-form4_156401934932155.xml · nonDerivative · entry 1 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,679 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 10, 2019, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $95.00 to $95.04. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| July 05, 2019 Filed Jul 9, 2019 20:05 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 4,294 | $93.00 | $399,342.00 |
DisclosureSEC source: 0000927628-19-000240 · wf-form4_156270270416934.xml · nonDerivative · entry 1 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,891 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 10, 2019, 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 07, 2019 Filed Mar 11, 2019 20:14 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 4,360 | $81.28 | $354,380.80 |
DisclosureSEC source: 0000927628-19-000140 · wf-form4_155233522978298.xml · nonDerivative · entry 2 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,041 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 07, 2019 Filed Mar 11, 2019 20:14 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 9,666 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-19-000140 · wf-form4_155233522978298.xml · nonDerivative · entry 1 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,401 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 21:50 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2018 Restricted Stock Units · Derivative | 2,081 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-19-000103 · wf-form4_155069939697634.xml · derivative · entry 13 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,162 Underlying: Common Stock · 2,081 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, 2019 and annually thereafter. F8 · 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 21:50 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2017 Restricted Stock Units · Derivative | 2,350 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-19-000103 · wf-form4_155069939697634.xml · derivative · entry 12 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,350 Underlying: Common Stock · 2,350 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, 2018 and annually thereafter. F7 · 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 21:50 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2016 Restricted Stock Units · Derivative | 2,732 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-19-000103 · wf-form4_155069939697634.xml · derivative · entry 11 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,732 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. F6 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2017 and annually thereafter. F6 · 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 21:50 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,616 | $81.57 | $131,817.12 |
DisclosureSEC source: 0000927628-19-000103 · wf-form4_155069939697634.xml · nonDerivative · entry 9 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,632 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 21:50 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 2,743 | $81.57 | $223,746.51 |
DisclosureSEC source: 0000927628-19-000103 · wf-form4_155069939697634.xml · nonDerivative · entry 8 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,248 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 21:50 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 2,734 | $81.57 | $223,012.38 |
DisclosureSEC source: 0000927628-19-000103 · wf-form4_155069939697634.xml · nonDerivative · entry 7 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,991 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 21:50 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 2,081 | $79.85 | $166,167.85 |
DisclosureSEC source: 0000927628-19-000103 · wf-form4_155069939697634.xml · nonDerivative · entry 6 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,725 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 21:50 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 2,350 | $79.85 | $187,647.50 |
DisclosureSEC source: 0000927628-19-000103 · wf-form4_155069939697634.xml · nonDerivative · entry 5 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,806 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 21:50 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 2,732 | $79.85 | $218,150.20 |
DisclosureSEC source: 0000927628-19-000103 · wf-form4_155069939697634.xml · nonDerivative · entry 4 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 103,156 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 21:50 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 2,081 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-19-000103 · wf-form4_155069939697634.xml · nonDerivative · entry 3 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,888 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 21:50 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 2,350 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-19-000103 · wf-form4_155069939697634.xml · nonDerivative · entry 2 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 103,807 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 21:50 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 2,732 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-19-000103 · wf-form4_155069939697634.xml · nonDerivative · entry 1 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,457 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 23:50 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 16,852 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-19-000043 · wf-form4_154932421981642.xml · nonDerivative · entry 1 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,621 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. Read SEC document |
| July 24, 2018 Filed Jul 25, 2018 21:23 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 2,276 | $100.00 | $227,600.00 |
DisclosureSEC source: 0000927628-18-000274 · wf-form4_153255378112424.xml · nonDerivative · entry 1 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,769 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 8, 2018, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.