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 |
|---|---|---|---|---|---|---|
| January 31, 2019 Filed Feb 4, 2019 23:54 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 14,789 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-19-000050 · wf-form4_154932448145428.xml · nonDerivative · entry 1 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,435 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 |
| March 08, 2018 Filed Mar 12, 2018 20:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 6,725 | $98.15 | $660,058.75 |
DisclosureSEC source: 0000927628-18-000145 · wf-form4_152088560931576.xml · nonDerivative · entry 2 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,646 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, 2018 Filed Mar 12, 2018 20:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 12,636 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-18-000145 · wf-form4_152088560931576.xml · nonDerivative · entry 1 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,371 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. 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 | 8,050 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-18-000099 · wf-form4_151916958490026.xml · derivative · entry 15 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,050 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 | 2,503 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-18-000099 · wf-form4_151916958490026.xml · derivative · entry 14 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,007 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, 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 | 3,227 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-18-000099 · wf-form4_151916958490026.xml · derivative · entry 13 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,228 Underlying: Common Stock · 3,227 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 | 3,576 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-18-000099 · wf-form4_151916958490026.xml · derivative · entry 12 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,576 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 | 2,537 | $98.67 | $250,325.79 |
DisclosureSEC source: 0000927628-18-000099 · wf-form4_151916958490026.xml · nonDerivative · entry 11 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,735 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 | 2,979 | $98.67 | $293,937.93 |
DisclosureSEC source: 0000927628-18-000099 · wf-form4_151916958490026.xml · nonDerivative · entry 10 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,272 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 | 2,367 | $98.67 | $233,551.89 |
DisclosureSEC source: 0000927628-18-000099 · wf-form4_151916958490026.xml · nonDerivative · entry 9 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,251 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 | 8,050 | $99.52 | $801,136.00 |
DisclosureSEC source: 0000927628-18-000099 · wf-form4_151916958490026.xml · nonDerivative · entry 8 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,618 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 | 2,503 | $99.52 | $249,098.56 |
DisclosureSEC source: 0000927628-18-000099 · wf-form4_151916958490026.xml · nonDerivative · entry 7 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,668 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 | 3,227 | $99.52 | $321,151.04 |
DisclosureSEC source: 0000927628-18-000099 · wf-form4_151916958490026.xml · nonDerivative · entry 6 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,171 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 | 3,576 | $99.52 | $355,883.52 |
DisclosureSEC source: 0000927628-18-000099 · wf-form4_151916958490026.xml · nonDerivative · entry 5 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,398 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 | 8,050 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-18-000099 · wf-form4_151916958490026.xml · nonDerivative · entry 4 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,974 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 | 2,503 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-18-000099 · wf-form4_151916958490026.xml · nonDerivative · entry 3 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,924 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 | 3,227 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-18-000099 · wf-form4_151916958490026.xml · nonDerivative · entry 2 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,421 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 | 3,576 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-18-000099 · wf-form4_151916958490026.xml · nonDerivative · entry 1 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,194 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 | 6,319 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-18-000056 · wf-form4_151787014785661.xml · derivative · entry 2 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,319 Underlying: Common Stock · 6,319 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 318 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, 2019 and annually thereafter. F4 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2019 and annually thereafter. F3 · derivative.underlying_shares: This award is reported net of 318 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 | 11,044 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-18-000056 · wf-form4_151787014785661.xml · nonDerivative · entry 1 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,618 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. Read SEC document |
| January 12, 2018 Filed Jan 17, 2018 21:10 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 27,818 | $0.00 Strike: $56.32 | $0.00 |
DisclosureSEC source: 0000927628-18-000012 · wf-form4_151622344546764.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 · 27,818 shares Expires 2023-01-30 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. F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 11, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on February 10, 2014 and annually thereafter. Read SEC document |
| January 12, 2018 Filed Jan 17, 2018 21:10 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 27,818 | $105.00 | $2,920,890.00 |
DisclosureSEC source: 0000927628-18-000012 · wf-form4_151622344546764.xml · nonDerivative · entry 2 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,574 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 11, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| January 12, 2018 Filed Jan 17, 2018 21:10 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 27,818 | $56.32 | $1,566,709.76 |
DisclosureSEC source: 0000927628-18-000012 · wf-form4_151622344546764.xml · nonDerivative · entry 1 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,392 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 May 11, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| December 22, 2017 Filed Dec 27, 2017 21:10 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 26,405 | $0.00 Strike: $48.28 | $0.00 |
DisclosureSEC source: 0000927628-17-000324 · wf-form4_151440902531662.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 · 26,405 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 May 11, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on January 26, 2012 and annually thereafter. Read SEC document |
| December 22, 2017 Filed Dec 27, 2017 21:10 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 26,405 | $100.00 | $2,640,500.00 |
DisclosureSEC source: 0000927628-17-000324 · wf-form4_151440902531662.xml · nonDerivative · entry 2 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,574 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 11, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| December 22, 2017 Filed Dec 27, 2017 21:10 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 26,405 | $48.28 | $1,274,833.40 |
DisclosureSEC source: 0000927628-17-000324 · wf-form4_151440902531662.xml · nonDerivative · entry 1 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,979 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 May 11, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| December 04, 2017 Filed Dec 7, 2017 01:25 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 8,039 | $95.00 | $763,705.00 |
DisclosureSEC source: 0000927628-17-000306 · wf-form4_151260991693557.xml · nonDerivative · entry 1 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,574 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 11, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| November 03, 2017 Filed Nov 7, 2017 21:16 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 8,292 | $91.99 | $762,781.08 |
DisclosureSEC source: 0000927628-17-000284 · wf-form4_151008935313263.xml · nonDerivative · entry 1 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,613 Read SEC document |
| May 05, 2017 Filed May 8, 2017 20:25 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 6,276 | $82.16 | $515,636.16 |
DisclosureSEC source: 0000927628-17-000200 · wf-form4_149427513949323.xml · nonDerivative · entry 1 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,905 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $82.15 to $82.16. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| March 08, 2017 Filed Mar 10, 2017 21:45 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 6,562 | $92.40 | $606,328.80 |
DisclosureSEC source: 0000927628-17-000142 · wf-form4_148918230128451.xml · nonDerivative · entry 2 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,181 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 21:45 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 11,754 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000142 · wf-form4_148918230128451.xml · nonDerivative · entry 1 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,743 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 |
| February 15, 2017 Filed Feb 18, 2017 00:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionRestricted Stock Units · Derivative | 10,592 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000107 · wf-form4_148737680345856.xml · derivative · entry 15 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,592 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 | 3,227 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000107 · wf-form4_148737680345856.xml · derivative · entry 14 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,455 Underlying: Common Stock · 3,227 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 | 3,576 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000107 · wf-form4_148737680345856.xml · derivative · entry 13 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,576 Underlying: Common Stock · 3,576 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 | 3,584 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000107 · wf-form4_148737680345856.xml · derivative · entry 12 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,584 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 | 2,818 | $90.93 | $256,240.74 |
DisclosureSEC source: 0000927628-17-000107 · wf-form4_148737680345856.xml · nonDerivative · entry 11 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,989 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 | 1,834 | $90.93 | $166,765.62 |
DisclosureSEC source: 0000927628-17-000107 · wf-form4_148737680345856.xml · nonDerivative · entry 10 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,807 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 | 1,708 | $90.93 | $155,308.44 |
DisclosureSEC source: 0000927628-17-000107 · wf-form4_148737680345856.xml · nonDerivative · entry 9 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,641 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 | 10,592 | $88.31 | $935,379.52 |
DisclosureSEC source: 0000927628-17-000107 · wf-form4_148737680345856.xml · nonDerivative · entry 8 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,349 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 | 3,227 | $88.31 | $284,976.37 |
DisclosureSEC source: 0000927628-17-000107 · wf-form4_148737680345856.xml · nonDerivative · entry 7 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,941 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 | 3,576 | $88.31 | $315,796.56 |
DisclosureSEC source: 0000927628-17-000107 · wf-form4_148737680345856.xml · nonDerivative · entry 6 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 83,168 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 | 3,584 | $88.31 | $316,503.04 |
DisclosureSEC source: 0000927628-17-000107 · wf-form4_148737680345856.xml · nonDerivative · entry 5 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,744 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 | 10,592 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000107 · wf-form4_148737680345856.xml · nonDerivative · entry 4 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,328 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 | 3,227 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000107 · wf-form4_148737680345856.xml · nonDerivative · entry 3 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,736 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 | 3,576 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000107 · wf-form4_148737680345856.xml · nonDerivative · entry 2 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,509 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 | 3,584 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000107 · wf-form4_148737680345856.xml · nonDerivative · entry 1 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,933 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 00:22 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantStock Options · Derivative | 25,553 | $0.00 Strike: $86.34 | $0.00 |
DisclosureSEC source: 0000927628-17-000057 · wf-form4_148642694296085.xml · derivative · entry 4 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,553 Underlying: Common Stock · 25,553 shares Expires 2027-02-02 F6 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on February 15, 2018 and annually thereafter. Read SEC document |
| February 02, 2017 Filed Feb 7, 2017 00:22 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantRestricted Stock Units · Derivative | 8,050 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000057 · wf-form4_148642694296085.xml · derivative · entry 3 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,050 Underlying: Common Stock · 8,050 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 00:22 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Grant2017 Restricted Stock Units · Derivative | 7,510 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000057 · wf-form4_148642694296085.xml · derivative · entry 2 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,510 Underlying: Common Stock · 7,510 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 308 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 308 units automatically withheld by the Company to satisfy the reporting person's tax obligation. Read SEC document |
| February 02, 2017 Filed Feb 7, 2017 00:22 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 14,302 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000057 · wf-form4_148642694296085.xml · nonDerivative · entry 1 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,349 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.