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 |
|---|---|---|---|---|---|---|
| June 14, 2018 Filed Jun 18, 2018 20:30 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 1,787 | $98.00 | $175,126.00 |
DisclosureSEC source: 0000927628-18-000242 · wf-form4_152935381153043.xml · nonDerivative · entry 1 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,045 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 |
| June 07, 2018 Filed Jun 11, 2018 20:54 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 2,203 | $96.90 | $213,470.70 |
DisclosureSEC source: 0000927628-18-000236 · wf-form4_152875047042351.xml · nonDerivative · entry 1 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,832 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 |
| May 04, 2018 Filed May 11, 2018 20:11 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GiftCommon Stock | 722 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-18-000215 · wf-form4_152606940500474.xml · nonDerivative · entry 1 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,035 F1 · 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 08, 2018 Filed Mar 12, 2018 20:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 3,231 | $98.15 | $317,122.65 |
DisclosureSEC source: 0000927628-18-000146 · wf-form4_152088562555267.xml · nonDerivative · entry 2 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,625 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 08, 2018 Filed Mar 12, 2018 20:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 7,162 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-18-000146 · wf-form4_152088562555267.xml · nonDerivative · entry 1 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,856 F1 · security: These shares were earned pursuant to an award of performance shares granted on January 29, 2015 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, 2018 Filed Feb 20, 2018 23:33 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionRestricted Stock Units · Derivative | 7,818 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-18-000100 · wf-form4_151916960332975.xml · derivative · entry 16 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,818 shares Expires 2018-02-15 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_price: Each restricted stock unit vested on January 1, 2018 and settled in cash on February 15, 2018 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. F2 · price: Each restricted stock unit vested on January 1, 2018 and settled in cash on February 15, 2018 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. F2 · derivative.exercise_date: Each restricted stock unit vested on January 1, 2018 and settled in cash on February 15, 2018 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. F2 · derivative.expiration_date: Each restricted stock unit vested on January 1, 2018 and settled in cash on February 15, 2018 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 23:33 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2017 Restricted Stock Units · Derivative | 2,349 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-18-000100 · wf-form4_151916960332975.xml · derivative · entry 15 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,700 Underlying: Common Stock · 2,349 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, 2018 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, 2018 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, 2018 Filed Feb 20, 2018 23:33 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: 0000927628-18-000100 · wf-form4_151916960332975.xml · derivative · entry 14 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,732 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, 2018 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, 2018 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, 2018 Filed Feb 20, 2018 23:33 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2015 Restricted Stock Units · Derivative | 2,317 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-18-000100 · wf-form4_151916960332975.xml · derivative · entry 13 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,317 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, 2018 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, 2018 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, 2016 and annually thereafter. F6 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2016 and annually thereafter. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 23:33 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 2,743 | $98.67 | $270,651.81 |
DisclosureSEC source: 0000927628-18-000100 · wf-form4_151916960332975.xml · nonDerivative · entry 11 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,611 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 2, 2017. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 23:33 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,927 | $98.67 | $190,137.09 |
DisclosureSEC source: 0000927628-18-000100 · wf-form4_151916960332975.xml · nonDerivative · entry 10 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,354 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 4, 2016. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 23:33 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,366 | $98.67 | $134,783.22 |
DisclosureSEC source: 0000927628-18-000100 · wf-form4_151916960332975.xml · nonDerivative · entry 9 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,281 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 29, 2015. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 23:33 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 7,818 | $99.52 | $778,047.36 |
DisclosureSEC source: 0000927628-18-000100 · wf-form4_151916960332975.xml · nonDerivative · entry 8 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,647 F2 · price: Each restricted stock unit vested on January 1, 2018 and settled in cash on February 15, 2018 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 23:33 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 2,349 | $99.52 | $233,772.48 |
DisclosureSEC source: 0000927628-18-000100 · wf-form4_151916960332975.xml · nonDerivative · entry 7 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,465 F1 · price: On February 15, 2018 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, 2018 Filed Feb 20, 2018 23:33 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 2,732 | $99.52 | $271,888.64 |
DisclosureSEC source: 0000927628-18-000100 · wf-form4_151916960332975.xml · nonDerivative · entry 6 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,814 F1 · price: On February 15, 2018 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, 2018 Filed Feb 20, 2018 23:33 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 2,317 | $99.52 | $230,587.84 |
DisclosureSEC source: 0000927628-18-000100 · wf-form4_151916960332975.xml · nonDerivative · entry 5 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 103,546 F1 · price: On February 15, 2018 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, 2018 Filed Feb 20, 2018 23:33 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 7,818 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-18-000100 · wf-form4_151916960332975.xml · nonDerivative · entry 4 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,863 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 · price: Each restricted stock unit vested on January 1, 2018 and settled in cash on February 15, 2018 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 23:33 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 2,349 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-18-000100 · wf-form4_151916960332975.xml · nonDerivative · entry 3 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,045 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, 2018 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, 2018 Filed Feb 20, 2018 23:33 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 2,732 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-18-000100 · wf-form4_151916960332975.xml · nonDerivative · entry 2 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,696 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, 2018 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, 2018 Filed Feb 20, 2018 23:33 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 2,317 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-18-000100 · wf-form4_151916960332975.xml · nonDerivative · entry 1 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,964 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, 2018 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 01, 2018 Filed Feb 5, 2018 22:36 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Grant2018 Restricted Stock Units · Derivative | 6,243 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-18-000057 · wf-form4_151787016553958.xml · derivative · entry 3 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,243 Underlying: Common Stock · 6,243 shares Expires not disclosed F3 · derivative.exercise_price: Each restricted stock unit will be settled in cash based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the vesting date. F4 · shares: This award is reported net of 203 units automatically withheld by the Company to satisfy the reporting person's tax obligation. F5 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2019 and annually thereafter. F5 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2019 and annually thereafter. F4 · derivative.underlying_shares: This award is reported net of 203 units automatically withheld by the Company to satisfy the reporting person's tax obligation. Read SEC document |
| February 01, 2018 Filed Feb 5, 2018 22:36 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 10,743 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-18-000057 · wf-form4_151787016553958.xml · nonDerivative · entry 1 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,647 F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2019 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 |
| November 08, 2017 Filed Nov 13, 2017 21:47 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GiftCommon Stock | 903 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000288 · wf-form4_151060962414473.xml · nonDerivative · entry 1 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,827 F1 · 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 |
| April 03, 2017 Filed Apr 5, 2017 20:16 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 734 | $86.88 | $63,769.92 |
DisclosureSEC source: 0000927628-17-000166 · wf-form4_149142337736060.xml · nonDerivative · entry 1 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,998 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on January 31, 2017, 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 08, 2017 Filed Mar 10, 2017 21:44 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 2,679 | $92.40 | $247,539.60 |
DisclosureSEC source: 0000927628-17-000140 · wf-form4_148918226952379.xml · nonDerivative · entry 2 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,591 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 08, 2017 Filed Mar 10, 2017 21:44 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 5,616 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000140 · wf-form4_148918226952379.xml · nonDerivative · entry 1 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 83,270 F1 · security: These shares were earned pursuant to an award of performance shares granted on January 30, 2014 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. Read SEC document |
| March 02, 2017 Filed Mar 6, 2017 21:07 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 18,990 | $0.00 Strike: $48.95 | $0.00 |
DisclosureSEC source: 0000927628-17-000123 · wf-form4_148883442581941.xml · derivative · entry 5 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 18,990 shares Expires 2018-02-20 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 January 31, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F4 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on February 21, 2009 and annually thereafter. Read SEC document |
| March 02, 2017 Filed Mar 6, 2017 21:07 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 815 | $96.21 | $78,411.15 |
DisclosureSEC source: 0000927628-17-000123 · wf-form4_148883442581941.xml · nonDerivative · entry 3 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,654 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on January 31, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| March 02, 2017 Filed Mar 6, 2017 21:07 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 20,360 | $95.32 | $1,940,715.20 |
DisclosureSEC source: 0000927628-17-000123 · wf-form4_148883442581941.xml · nonDerivative · entry 2 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,469 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on January 31, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F3 · 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 $95.96. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| March 02, 2017 Filed Mar 6, 2017 21:07 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 18,990 | $48.95 | $929,560.50 |
DisclosureSEC source: 0000927628-17-000123 · wf-form4_148883442581941.xml · nonDerivative · entry 1 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,829 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 January 31, 2017, 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 |
| February 15, 2017 Filed Feb 18, 2017 00:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionRestricted Stock Units · Derivative | 7,062 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000108 · wf-form4_148737681996871.xml · derivative · entry 16 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,062 shares Expires 2017-02-15 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_price: Each restricted stock unit vested on January 1, 2017 and settled in cash on February 15, 2017 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. F2 · price: Each restricted stock unit vested on January 1, 2017 and settled in cash on February 15, 2017 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. F2 · derivative.exercise_date: Each restricted stock unit vested on January 1, 2017 and settled in cash on February 15, 2017 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. F2 · derivative.expiration_date: Each restricted stock unit vested on January 1, 2017 and settled in cash on February 15, 2017 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. Read SEC document |
| February 15, 2017 Filed Feb 18, 2017 00:13 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: 0000927628-17-000108 · wf-form4_148737681996871.xml · derivative · entry 15 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,464 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, 2017 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, 2017 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, 2017 and annually thereafter. F8 · 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, 2017 Filed Feb 18, 2017 00:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2015 Restricted Stock Units · Derivative | 2,318 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000108 · wf-form4_148737681996871.xml · derivative · entry 14 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,317 Underlying: Common Stock · 2,318 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, 2017 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, 2017 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, 2016 and annually thereafter. F7 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2016 and annually thereafter. Read SEC document |
| February 15, 2017 Filed Feb 18, 2017 00:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2014 Restricted Stock Units · Derivative | 2,000 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000108 · wf-form4_148737681996871.xml · derivative · entry 13 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,000 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, 2017 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, 2017 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, 2015 and annually thereafter. F6 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2015 and annually thereafter. Read SEC document |
| February 15, 2017 Filed Feb 18, 2017 00:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 2,743 | $90.93 | $249,420.99 |
DisclosureSEC source: 0000927628-17-000108 · wf-form4_148737681996871.xml · nonDerivative · entry 11 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,756 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 4, 2016. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2017 Filed Feb 18, 2017 00:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,502 | $90.93 | $136,576.86 |
DisclosureSEC source: 0000927628-17-000108 · wf-form4_148737681996871.xml · nonDerivative · entry 10 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,499 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 29, 2015. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2017 Filed Feb 18, 2017 00:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,180 | $90.93 | $107,297.40 |
DisclosureSEC source: 0000927628-17-000108 · wf-form4_148737681996871.xml · nonDerivative · entry 9 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,001 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 30, 2014. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2017 Filed Feb 18, 2017 00:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 7,062 | $88.31 | $623,645.22 |
DisclosureSEC source: 0000927628-17-000108 · wf-form4_148737681996871.xml · nonDerivative · entry 8 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,181 F2 · price: Each restricted stock unit vested on January 1, 2017 and settled in cash on February 15, 2017 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. Read SEC document |
| February 15, 2017 Filed Feb 18, 2017 00:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 2,732 | $88.31 | $241,262.92 |
DisclosureSEC source: 0000927628-17-000108 · wf-form4_148737681996871.xml · nonDerivative · entry 7 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,243 F1 · price: On February 15, 2017 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, 2017 Filed Feb 18, 2017 00:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 2,318 | $88.31 | $204,702.58 |
DisclosureSEC source: 0000927628-17-000108 · wf-form4_148737681996871.xml · nonDerivative · entry 6 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,975 F1 · price: On February 15, 2017 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, 2017 Filed Feb 18, 2017 00:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 2,000 | $88.31 | $176,620.00 |
DisclosureSEC source: 0000927628-17-000108 · wf-form4_148737681996871.xml · nonDerivative · entry 5 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,293 F1 · price: On February 15, 2017 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, 2017 Filed Feb 18, 2017 00:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 7,062 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000108 · wf-form4_148737681996871.xml · nonDerivative · entry 4 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,293 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 · price: Each restricted stock unit vested on January 1, 2017 and settled in cash on February 15, 2017 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. Read SEC document |
| February 15, 2017 Filed Feb 18, 2017 00:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 2,732 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000108 · wf-form4_148737681996871.xml · nonDerivative · entry 3 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,231 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, 2017 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, 2017 Filed Feb 18, 2017 00:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 2,318 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000108 · wf-form4_148737681996871.xml · nonDerivative · entry 2 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,499 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, 2017 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, 2017 Filed Feb 18, 2017 00:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 2,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000108 · wf-form4_148737681996871.xml · nonDerivative · entry 1 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,181 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, 2017 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 02, 2017 Filed Feb 7, 2017 00:23 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantRestricted Stock Units · Derivative | 7,818 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000062 · wf-form4_148642702643832.xml · derivative · entry 4 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,818 Underlying: Common Stock · 7,818 shares Expires 2018-02-15 F5 · derivative.exercise_price: Each restricted stock unit will vest on January 1, 2018 and will be settled in cash on February 15, 2018 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. F5 · derivative.exercise_date: Each restricted stock unit will vest on January 1, 2018 and will be settled in cash on February 15, 2018 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. F5 · derivative.expiration_date: Each restricted stock unit will vest on January 1, 2018 and will be settled in cash on February 15, 2018 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. Read SEC document |
| February 02, 2017 Filed Feb 7, 2017 00:23 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Grant2017 Restricted Stock Units · Derivative | 7,049 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000062 · wf-form4_148642702643832.xml · derivative · entry 3 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,049 Underlying: Common Stock · 7,049 shares Expires not disclosed F2 · derivative.exercise_price: Each restricted stock unit will be settled in cash based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the vesting date. F3 · shares: This award is reported net of 248 units automatically withheld by the Company to satisfy the reporting person's tax obligation. F4 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2018 and annually thereafter. F4 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2018 and annually thereafter. F3 · derivative.underlying_shares: This award is reported net of 248 units automatically withheld by the Company to satisfy the reporting person's tax obligation. Read SEC document |
| February 02, 2017 Filed Feb 7, 2017 00:23 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 18,242 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000062 · wf-form4_148642702643832.xml · nonDerivative · entry 1 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,181 F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2018 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock. Read SEC document |
| February 01, 2017 Filed Feb 3, 2017 21:40 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 8,750 | $0.00 Strike: $76.79 | $0.00 |
DisclosureSEC source: 0000927628-17-000021 · wf-form4_148615804471322.xml · derivative · entry 3 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,750 shares Expires 2017-03-01 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 1/3 increments beginning on March 2, 2008 and annually thereafter. Read SEC document |
| February 01, 2017 Filed Feb 3, 2017 21:40 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 8,750 | $88.10 | $770,875.00 |
DisclosureSEC source: 0000927628-17-000021 · wf-form4_148615804471322.xml · nonDerivative · entry 2 Wassmer Michael J · CIK 0001691706 · President, U.S. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,939 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.