Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CAPITAL ONE FINANCIAL CORPCOF · Entity 547 | President, Commercial Banking | February 15, 2022 | February 17, 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 February 15, 2022 · Filed February 17, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 60,314 |
Ending reported balance
After 2022-02-15 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2022-02-15 · Tax withholding · Disposed 1,909 · Balance 63,561 F1: 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. Row 2 · 2022-02-15 · Tax withholding · Disposed 1,775 · Balance 61,786 F2: 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. Row 3 · 2022-02-15 · Tax withholding · Disposed 1,472 · Balance 60,314 F3: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
F2: 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.
F3: 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.
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 |
|---|---|---|---|---|---|---|
| February 15, 2022 Filed Feb 17, 2022 21:11 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,472 | $158.89 | $233,886.08 |
DisclosureSEC source: 0000927628-22-000087 · wf-form4_164513227230147.xml · nonDerivative · entry 3 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,314 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 21:11 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,775 | $158.89 | $282,029.75 |
DisclosureSEC source: 0000927628-22-000087 · wf-form4_164513227230147.xml · nonDerivative · entry 2 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,786 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 21:11 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,909 | $158.89 | $303,321.01 |
DisclosureSEC source: 0000927628-22-000087 · wf-form4_164513227230147.xml · nonDerivative · entry 1 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,561 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 21:33 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 8,782 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-22-000050 · wf-form4_164426956533231.xml · nonDerivative · entry 1 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,470 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. Read SEC document |
| July 27, 2021 Filed Jul 29, 2021 20:19 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 29,413 | $0.00 Strike: $74.96 | $0.00 |
DisclosureSEC source: 0000927628-21-000249 · wf-form4_162758996241025.xml · derivative · entry 6 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 29,413 shares Expires 2025-01-28 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. F4 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on February 15, 2016 and annually thereafter. Read SEC document |
| July 27, 2021 Filed Jul 29, 2021 20:19 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 24,404 | $0.00 Strike: $70.96 | $0.00 |
DisclosureSEC source: 0000927628-21-000249 · wf-form4_162758996241025.xml · derivative · entry 5 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 24,404 shares Expires 2024-01-29 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 1/3 increments beginning on February 15, 2015 and annually thereafter. Read SEC document |
| July 27, 2021 Filed Jul 29, 2021 20:19 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 9,900 | $162.27 | $1,606,473.00 |
DisclosureSEC source: 0000927628-21-000249 · wf-form4_162758996241025.xml · nonDerivative · entry 4 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,688 F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $162.06 to $162.66. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| July 27, 2021 Filed Jul 29, 2021 20:19 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 43,917 | $161.69 | $7,100,939.73 |
DisclosureSEC source: 0000927628-21-000249 · wf-form4_162758996241025.xml · nonDerivative · entry 3 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,588 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $161.06 to $162.04. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| July 27, 2021 Filed Jul 29, 2021 20:19 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 29,413 | $74.96 | $2,204,798.48 |
DisclosureSEC source: 0000927628-21-000249 · wf-form4_162758996241025.xml · nonDerivative · entry 2 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,505 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 |
| July 27, 2021 Filed Jul 29, 2021 20:19 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 24,404 | $70.96 | $1,731,707.84 |
DisclosureSEC source: 0000927628-21-000249 · wf-form4_162758996241025.xml · nonDerivative · entry 1 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 81,092 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 |
| May 04, 2021 Filed May 6, 2021 20:18 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 9,780 | $0.00 Strike: $45.75 | $0.00 |
DisclosureSEC source: 0000927628-21-000170 · wf-form4_162033226186785.xml · derivative · entry 3 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 9,780 shares Expires 2022-01-30 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. F2 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on February 10, 2013 and annually thereafter. Read SEC document |
| May 04, 2021 Filed May 6, 2021 20:18 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 6,354 | $148.19 | $941,599.26 |
DisclosureSEC source: 0000927628-21-000170 · wf-form4_162033226186785.xml · nonDerivative · entry 2 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,688 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $148.16 to $148.23. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| May 04, 2021 Filed May 6, 2021 20:18 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 9,780 | $45.75 | $447,435.00 |
DisclosureSEC source: 0000927628-21-000170 · wf-form4_162033226186785.xml · nonDerivative · entry 1 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,042 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 |
| March 11, 2021 Filed Mar 15, 2021 21:22 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 6,431 | $132.10 | $849,535.10 |
DisclosureSEC source: 0000927628-21-000144 · wf-form4_161584331630877.xml · nonDerivative · entry 2 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,262 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 11, 2021 Filed Mar 15, 2021 21:22 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 13,344 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-21-000144 · wf-form4_161584331630877.xml · nonDerivative · entry 1 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,693 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. Read SEC document |
| February 15, 2021 Filed Feb 17, 2021 22:02 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2018 Restricted Stock Units · Derivative | 2,107 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-21-000081 · wf-form4_161359932891295.xml · derivative · entry 6 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,107 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 22:02 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,896 | $117.75 | $223,254.00 |
DisclosureSEC source: 0000927628-21-000081 · wf-form4_161359932891295.xml · nonDerivative · entry 5 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,349 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 22:02 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,652 | $117.75 | $194,523.00 |
DisclosureSEC source: 0000927628-21-000081 · wf-form4_161359932891295.xml · nonDerivative · entry 4 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,245 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 22:02 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,228 | $117.75 | $144,597.00 |
DisclosureSEC source: 0000927628-21-000081 · wf-form4_161359932891295.xml · nonDerivative · entry 3 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,897 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 22:02 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 2,107 | $109.60 | $230,927.20 |
DisclosureSEC source: 0000927628-21-000081 · wf-form4_161359932891295.xml · nonDerivative · entry 2 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,125 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 22:02 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 2,107 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-21-000081 · wf-form4_161359932891295.xml · nonDerivative · entry 1 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,232 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 08, 2021 Filed Feb 10, 2021 21:10 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 19,988 | $115.23 | $2,303,217.24 |
DisclosureSEC source: 0000927628-21-000056 · wf-form4_161299141348111.xml · nonDerivative · entry 1 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,125 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $115.04 to $115.54. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| February 04, 2021 Filed Feb 8, 2021 22:08 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 11,221 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-21-000041 · wf-form4_161282211654855.xml · nonDerivative · entry 1 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,113 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. Read SEC document |
| March 05, 2020 Filed Mar 9, 2020 20:12 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 7,250 | $85.08 | $616,830.00 |
DisclosureSEC source: 0000927628-20-000141 · wf-form4_158378475965379.xml · nonDerivative · entry 2 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,892 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 05, 2020 Filed Mar 9, 2020 20:12 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 13,622 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000141 · wf-form4_158378475965379.xml · nonDerivative · entry 1 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,142 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. Read SEC document |
| February 15, 2020 Filed Feb 20, 2020 00:28 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2018 Restricted Stock Units · Derivative | 2,106 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000094 · wf-form4_158215849037842.xml · derivative · entry 9 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,107 Underlying: Common Stock · 2,106 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, 2019 and annually thereafter. F6 · 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 00:28 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2017 Restricted Stock Units · Derivative | 2,504 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000094 · wf-form4_158215849037842.xml · derivative · entry 8 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,504 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. F5 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2018 and annually thereafter. F5 · 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 00:28 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 2,624 | $102.64 | $269,327.36 |
DisclosureSEC source: 0000927628-20-000094 · wf-form4_158215849037842.xml · nonDerivative · entry 7 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,520 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 31, 2019. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2020 Filed Feb 20, 2020 00:28 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,960 | $102.64 | $201,174.40 |
DisclosureSEC source: 0000927628-20-000094 · wf-form4_158215849037842.xml · nonDerivative · entry 6 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,144 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 1, 2018. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2020 Filed Feb 20, 2020 00:28 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 2,538 | $102.64 | $260,500.32 |
DisclosureSEC source: 0000927628-20-000094 · wf-form4_158215849037842.xml · nonDerivative · entry 5 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,104 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 2, 2017. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2020 Filed Feb 20, 2020 00:28 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 2,106 | $102.03 | $214,875.18 |
DisclosureSEC source: 0000927628-20-000094 · wf-form4_158215849037842.xml · nonDerivative · entry 4 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,642 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 00:28 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 2,504 | $102.03 | $255,483.12 |
DisclosureSEC source: 0000927628-20-000094 · wf-form4_158215849037842.xml · nonDerivative · entry 3 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,748 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 00:28 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 2,106 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000094 · wf-form4_158215849037842.xml · nonDerivative · entry 2 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,252 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 00:28 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 2,504 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000094 · wf-form4_158215849037842.xml · nonDerivative · entry 1 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,146 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 |
| January 30, 2020 Filed Feb 3, 2020 21:54 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 12,013 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000042 · wf-form4_158076686348769.xml · nonDerivative · entry 1 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,642 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 |
| December 06, 2019 Filed Dec 10, 2019 21:16 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 20,844 | $101.06 | $2,106,494.64 |
DisclosureSEC source: 0000927628-19-000345 · wf-form4_157601257185353.xml · nonDerivative · entry 1 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,629 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 6, 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 $100.77 to $101.39. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| March 07, 2019 Filed Mar 11, 2019 20:15 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 8,550 | $81.28 | $694,944.00 |
DisclosureSEC source: 0000927628-19-000142 · wf-form4_155233531278282.xml · nonDerivative · entry 2 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,473 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 07, 2019 Filed Mar 11, 2019 20:15 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 16,064 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-19-000142 · wf-form4_155233531278282.xml · nonDerivative · entry 1 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,023 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. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 21:54 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2018 Restricted Stock Units · Derivative | 2,106 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-19-000109 · wf-form4_155069962896108.xml · derivative · entry 12 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,213 Underlying: Common Stock · 2,106 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, 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, 2019 Filed Feb 20, 2019 21:54 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2017 Restricted Stock Units · Derivative | 2,503 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-19-000109 · wf-form4_155069962896108.xml · derivative · entry 11 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,504 Underlying: Common Stock · 2,503 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, 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, 2019 Filed Feb 20, 2019 21:54 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2016 Restricted Stock Units · Derivative | 3,228 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-19-000109 · wf-form4_155069962896108.xml · derivative · entry 10 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,228 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. F5 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2017 and annually thereafter. F5 · 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 21:54 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,960 | $81.57 | $159,877.20 |
DisclosureSEC source: 0000927628-19-000109 · wf-form4_155069962896108.xml · nonDerivative · entry 9 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,959 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, 2019 Filed Feb 20, 2019 21:54 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 2,537 | $81.57 | $206,943.09 |
DisclosureSEC source: 0000927628-19-000109 · wf-form4_155069962896108.xml · nonDerivative · entry 8 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,919 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, 2019 Filed Feb 20, 2019 21:54 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 2,979 | $81.57 | $242,997.03 |
DisclosureSEC source: 0000927628-19-000109 · wf-form4_155069962896108.xml · nonDerivative · entry 7 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,456 F2 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on February 4, 2016. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 21:54 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 2,106 | $79.85 | $168,164.10 |
DisclosureSEC source: 0000927628-19-000109 · wf-form4_155069962896108.xml · nonDerivative · entry 6 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,435 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 21:54 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 2,503 | $79.85 | $199,864.55 |
DisclosureSEC source: 0000927628-19-000109 · wf-form4_155069962896108.xml · nonDerivative · entry 5 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,541 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 21:54 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 3,228 | $79.85 | $257,755.80 |
DisclosureSEC source: 0000927628-19-000109 · wf-form4_155069962896108.xml · nonDerivative · entry 4 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,044 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 21:54 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 2,106 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-19-000109 · wf-form4_155069962896108.xml · nonDerivative · entry 3 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,272 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 21:54 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 2,503 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-19-000109 · wf-form4_155069962896108.xml · nonDerivative · entry 2 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,166 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 21:54 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 3,228 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-19-000109 · wf-form4_155069962896108.xml · nonDerivative · entry 1 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,663 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.