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 |
|---|---|---|---|---|---|---|
| March 08, 2016 Filed Mar 10, 2016 21:29 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 7,931 | $68.49 | $543,194.19 |
DisclosureSEC source: 0001225208-16-029615 · doc4.xml · nonDerivative · entry 2 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,047 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, 2016 Filed Mar 10, 2016 21:29 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 14,207 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-029615 · doc4.xml · nonDerivative · entry 1 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,978 F1 · security: These shares were earned pursuant to an award of performance shares granted on January 31, 2013 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, 2016 Filed Feb 17, 2016 22:20 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionRestricted Stock Units · Derivative | 8,565 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-026819 · doc4.xml · derivative · entry 11 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,565 shares Expires 2016-02-15 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. F1 · derivative.exercise_price: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 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. F1 · price: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 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. F1 · derivative.exercise_date: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 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. F1 · derivative.expiration_date: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 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, 2016 Filed Feb 17, 2016 22:20 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: 0001225208-16-026819 · doc4.xml · derivative · entry 10 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,152 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. F2 · derivative.exercise_price: On February 15, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F2 · price: On February 15, 2016 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, 2016 Filed Feb 17, 2016 22:20 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: 0001225208-16-026819 · doc4.xml · derivative · entry 9 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,584 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. F2 · derivative.exercise_price: On February 15, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F2 · price: On February 15, 2016 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, 2015 and annually thereafter. F5 · 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, 2016 Filed Feb 17, 2016 22:20 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 8,565 | $62.51 | $535,398.15 |
DisclosureSEC source: 0001225208-16-026819 · doc4.xml · nonDerivative · entry 8 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,771 F1 · price: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 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, 2016 Filed Feb 17, 2016 22:20 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 3,584 | $62.51 | $224,035.84 |
DisclosureSEC source: 0001225208-16-026819 · doc4.xml · nonDerivative · entry 7 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,336 F2 · price: On February 15, 2016 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, 2016 Filed Feb 17, 2016 22:20 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 3,576 | $62.51 | $223,535.76 |
DisclosureSEC source: 0001225208-16-026819 · doc4.xml · nonDerivative · entry 6 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,920 F2 · price: On February 15, 2016 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, 2016 Filed Feb 17, 2016 22:20 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,834 | $62.54 | $114,698.36 |
DisclosureSEC source: 0001225208-16-026819 · doc4.xml · nonDerivative · entry 5 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,496 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, 2016 Filed Feb 17, 2016 22:20 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,708 | $62.54 | $106,818.32 |
DisclosureSEC source: 0001225208-16-026819 · doc4.xml · nonDerivative · entry 4 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,330 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, 2016 Filed Feb 17, 2016 22:20 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 3,576 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-026819 · doc4.xml · nonDerivative · entry 3 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,038 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: On February 15, 2016 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, 2016 Filed Feb 17, 2016 22:20 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 3,584 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-026819 · doc4.xml · nonDerivative · entry 2 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,462 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: On February 15, 2016 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, 2016 Filed Feb 17, 2016 22:20 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 8,565 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-026819 · doc4.xml · nonDerivative · entry 1 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,878 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: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 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 10, 2016 Filed Feb 12, 2016 22:47 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2013 Restricted Stock Units · Derivative | 3,282 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-026378 · doc4.xml · derivative · entry 4 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,282 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 10, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. F1 · price: On February 10, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. F3 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2014 and annually thereafter. F3 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2014 and annually thereafter. Read SEC document |
| February 10, 2016 Filed Feb 12, 2016 22:47 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 3,282 | $62.74 | $205,912.68 |
DisclosureSEC source: 0001225208-16-026378 · doc4.xml · nonDerivative · entry 3 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,313 F1 · price: On February 10, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. Read SEC document |
| February 10, 2016 Filed Feb 12, 2016 22:47 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 2,050 | $62.24 | $127,592.00 |
DisclosureSEC source: 0001225208-16-026378 · doc4.xml · nonDerivative · entry 2 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,595 F2 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 31, 2013. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 10, 2016 Filed Feb 12, 2016 22:47 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 3,282 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-026378 · doc4.xml · nonDerivative · entry 1 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,645 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 10, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. Read SEC document |
| February 04, 2016 Filed Feb 9, 2016 02:12 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantStock Options · Derivative | 29,070 | $0.00 Strike: $63.73 | $0.00 |
DisclosureSEC source: 0001225208-16-025846 · doc4.xml · derivative · entry 4 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,070 Underlying: Common Stock · 29,070 shares Expires 2026-02-03 F6 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on February 15, 2017 and annually thereafter. Read SEC document |
| February 04, 2016 Filed Feb 9, 2016 02:12 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantRestricted Stock Units · Derivative | 10,592 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-025846 · doc4.xml · derivative · entry 3 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,592 Underlying: Common Stock · 10,592 shares Expires 2017-02-15 F5 · derivative.exercise_price: Each restricted stock unit will vest on January 1, 2017 and will be 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. F5 · derivative.exercise_date: Each restricted stock unit will vest on January 1, 2017 and will be 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. F5 · derivative.expiration_date: Each restricted stock unit will vest on January 1, 2017 and will be 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 04, 2016 Filed Feb 9, 2016 02:12 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Grant2016 Restricted Stock Units · Derivative | 9,682 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-025846 · doc4.xml · derivative · entry 2 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,682 Underlying: Common Stock · 9,682 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 392 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, 2017 and annually thereafter. F4 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2017 and annually thereafter. F3 · derivative.underlying_shares: This award is reported net of 392 units automatically withheld by the Company to satisfy the reporting person's tax obligation. Read SEC document |
| February 04, 2016 Filed Feb 9, 2016 02:12 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 16,790 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-025846 · doc4.xml · nonDerivative · entry 1 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,363 F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2017 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock. Read SEC document |
| November 03, 2015 Filed Nov 5, 2015 22:19 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 2,930 | $80.86 | $236,919.80 |
DisclosureSEC source: 0001225208-15-020451 · doc4.xml · nonDerivative · entry 1 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,573 Read SEC document |
| May 08, 2015 Filed May 12, 2015 20:04 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 7,477 | $82.56 | $617,301.12 |
DisclosureSEC source: 0001225208-15-011926 · doc4.xml · nonDerivative · entry 1 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,503 Read SEC document |
| March 10, 2015 Filed Mar 12, 2015 22:08 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionPerformance Share Units · Derivative | 16,926 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-15-007746 · doc4.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 · 16,926 shares Expires 2015-03-15 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. F1 · derivative.exercise_price: These performance shares for the January 31, 2012 grant were settled at the end of a three-year period based on the Company's Adjusted ROA against a peer group of companies. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant. F1 · derivative.exercise_date: These performance shares for the January 31, 2012 grant were settled at the end of a three-year period based on the Company's Adjusted ROA against a peer group of companies. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant. F1 · derivative.expiration_date: These performance shares for the January 31, 2012 grant were settled at the end of a three-year period based on the Company's Adjusted ROA against a peer group of companies. 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 10, 2015 Filed Mar 12, 2015 22:08 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 9,449 | $77.72 | $734,376.28 |
DisclosureSEC source: 0001225208-15-007746 · doc4.xml · nonDerivative · entry 2 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,980 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 for the January 31, 2012 grant. This is authorized in the performance share award agreement. Read SEC document |
| March 10, 2015 Filed Mar 12, 2015 22:08 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 16,926 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-15-007746 · doc4.xml · nonDerivative · entry 1 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,429 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: These performance shares for the January 31, 2012 grant were settled at the end of a three-year period based on the Company's Adjusted ROA against a peer group of companies. 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, 2015 Filed Feb 18, 2015 21:31 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionRestricted Stock Units · Derivative | 8,245 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-15-004489 · doc4.xml · derivative · entry 7 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,245 shares Expires 2015-02-15 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. F1 · derivative.exercise_price: Each restricted stock unit vested on January 1, 2015 and settled in cash on February 15, 2015 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. F1 · price: Each restricted stock unit vested on January 1, 2015 and settled in cash on February 15, 2015 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. F1 · derivative.exercise_date: Each restricted stock unit vested on January 1, 2015 and settled in cash on February 15, 2015 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. F1 · derivative.expiration_date: Each restricted stock unit vested on January 1, 2015 and settled in cash on February 15, 2015 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, 2015 Filed Feb 18, 2015 21:31 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: 0001225208-15-004489 · doc4.xml · derivative · entry 6 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,168 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. F2 · derivative.exercise_price: On February 15, 2015, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F2 · price: On February 15, 2015, 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. F4 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2015 and annually thereafter. F4 · 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, 2015 Filed Feb 18, 2015 21:31 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 8,245 | $76.27 | $628,846.15 |
DisclosureSEC source: 0001225208-15-004489 · doc4.xml · nonDerivative · entry 5 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,503 F1 · price: Each restricted stock unit vested on January 1, 2015 and settled in cash on February 15, 2015 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, 2015 Filed Feb 18, 2015 21:31 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 3,584 | $76.27 | $273,351.68 |
DisclosureSEC source: 0001225208-15-004489 · doc4.xml · nonDerivative · entry 4 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,748 F2 · price: On February 15, 2015, 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, 2015 Filed Feb 18, 2015 21:31 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 2,184 | $78.88 | $172,273.92 |
DisclosureSEC source: 0001225208-15-004489 · doc4.xml · nonDerivative · entry 3 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,332 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, 2015 Filed Feb 18, 2015 21:31 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 3,584 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-15-004489 · doc4.xml · nonDerivative · entry 2 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,516 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: On February 15, 2015, 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, 2015 Filed Feb 18, 2015 21:31 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 8,245 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-15-004489 · doc4.xml · nonDerivative · entry 1 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,932 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: Each restricted stock unit vested on January 1, 2015 and settled in cash on February 15, 2015 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 10, 2015 Filed Feb 12, 2015 21:55 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionRestricted Stock Units · Derivative | 5,101 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-15-003765 · doc4.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 · 5,101 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 10, 2015 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. F1 · price: On February 10, 2015 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. F5 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2013 and annually thereafter. F5 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2013 and annually thereafter. Read SEC document |
| February 10, 2015 Filed Feb 12, 2015 21:55 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2013 Restricted Stock Units · Derivative | 3,281 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-15-003765 · doc4.xml · derivative · entry 7 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,282 Underlying: Common Stock · 3,281 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 10, 2015 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. F1 · price: On February 10, 2015 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. F4 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2014 and annually thereafter. F4 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2014 and annually thereafter. Read SEC document |
| February 10, 2015 Filed Feb 12, 2015 21:55 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 5,101 | $76.39 | $389,665.39 |
DisclosureSEC source: 0001225208-15-003765 · doc4.xml · nonDerivative · entry 6 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,687 F1 · price: On February 10, 2015 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. Read SEC document |
| February 10, 2015 Filed Feb 12, 2015 21:55 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 3,281 | $76.39 | $250,635.59 |
DisclosureSEC source: 0001225208-15-003765 · doc4.xml · nonDerivative · entry 5 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,788 F1 · price: On February 10, 2015 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. Read SEC document |
| February 10, 2015 Filed Feb 12, 2015 21:55 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 2,734 | $77.06 | $210,682.04 |
DisclosureSEC source: 0001225208-15-003765 · doc4.xml · nonDerivative · entry 4 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,069 F3 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 31, 2012. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 10, 2015 Filed Feb 12, 2015 21:55 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 2,050 | $77.06 | $157,973.00 |
DisclosureSEC source: 0001225208-15-003765 · doc4.xml · nonDerivative · entry 3 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,803 F2 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 31, 2013. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 10, 2015 Filed Feb 12, 2015 21:55 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 3,281 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-15-003765 · doc4.xml · nonDerivative · entry 2 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,853 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 10, 2015 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. Read SEC document |
| February 10, 2015 Filed Feb 12, 2015 21:55 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 5,101 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-15-003765 · doc4.xml · nonDerivative · entry 1 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,572 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 10, 2015 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. Read SEC document |
| January 29, 2015 Filed Feb 2, 2015 22:34 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantStock Options · Derivative | 29,413 | $0.00 Strike: $74.96 | $0.00 |
DisclosureSEC source: 0001225208-15-002619 · doc4.xml · derivative · entry 4 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,413 Underlying: Common Stock · 29,413 shares Expires 2025-01-28 F6 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on February 15, 2016 and annually thereafter. Read SEC document |
| January 29, 2015 Filed Feb 2, 2015 22:34 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantRestricted Stock Units · Derivative | 8,565 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-15-002619 · doc4.xml · derivative · entry 3 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,565 Underlying: Common Stock · 8,565 shares Expires 2016-02-15 F5 · derivative.exercise_price: Each restricted stock unit will vest on January 1, 2016 and will be settled in cash on February 15, 2016 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, 2016 and will be settled in cash on February 15, 2016 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, 2016 and will be settled in cash on February 15, 2016 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 |
| January 29, 2015 Filed Feb 2, 2015 22:34 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Grant2015 Restricted Stock Units · Derivative | 10,728 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-15-002619 · doc4.xml · derivative · entry 2 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,728 Underlying: Common Stock · 10,728 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 478 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, 2016 and annually thereafter. F4 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2016 and annually thereafter. F3 · derivative.underlying_shares: This award is reported net of 478 units automatically withheld by the Company to satisfy the reporting person's tax obligation. Read SEC document |
| January 29, 2015 Filed Feb 2, 2015 22:34 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 13,341 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-15-002619 · doc4.xml · nonDerivative · entry 1 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,471 F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2016 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock. Read SEC document |
| August 14, 2014 Filed Aug 18, 2014 21:56 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 3,773 | $79.70 | $300,708.10 |
DisclosureSEC source: 0001225208-14-018688 · doc4.xml · nonDerivative · entry 1 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,130 Read SEC document |
| April 29, 2014 Filed Apr 30, 2014 21:16 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 2,930 | $73.50 | $215,355.00 |
DisclosureSEC source: 0001225208-14-011402 · doc4.xml · nonDerivative · entry 1 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,903 Read SEC document |
| February 10, 2014 Filed Feb 13, 2014 00:15 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionRestricted Stock Units · Derivative | 5,100 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-14-004394 · doc4.xml · derivative · entry 8 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,101 Underlying: Common Stock · 5,100 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 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. F1 · price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. F5 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2013 and annually thereafter. F5 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2013 and annually thereafter. Read SEC document |
| February 10, 2014 Filed Feb 13, 2014 00:15 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2013 Restricted Stock Units · Derivative | 3,281 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-14-004394 · doc4.xml · derivative · entry 7 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,563 Underlying: Common Stock · 3,281 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 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. F1 · price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. F4 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2014 and annually thereafter. F4 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2014 and annually thereafter. Read SEC document |
| February 10, 2014 Filed Feb 13, 2014 00:15 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 5,100 | $72.24 | $368,424.00 |
DisclosureSEC source: 0001225208-14-004394 · doc4.xml · nonDerivative · entry 6 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,833 F1 · price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty 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.