Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CAPITAL ONE FINANCIAL CORPCOF · Entity 547 | President, Commercial Banking | February 15, 2022 | February 17, 2022 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
CAPITAL ONE FINANCIAL CORP
Report date February 15, 2022 · Filed February 17, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 60,314 |
Ending reported balance
After 2022-02-15 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2022-02-15 · Tax withholding · Disposed 1,909 · Balance 63,561 F1: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 31, 2019. This is authorized in the applicable restricted stock award agreement. Row 2 · 2022-02-15 · Tax withholding · Disposed 1,775 · Balance 61,786 F2: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 30, 2020. This is authorized in the applicable restricted stock award agreement. Row 3 · 2022-02-15 · Tax withholding · Disposed 1,472 · Balance 60,314 F3: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on February 4, 2021. This is authorized in the applicable restricted stock award agreement. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 31, 2019. This is authorized in the applicable restricted stock award agreement.
F2: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 30, 2020. This is authorized in the applicable restricted stock award agreement.
F3: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on February 4, 2021. This is authorized in the applicable restricted stock award agreement.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| February 10, 2014 Filed Feb 13, 2014 00:15 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 3,703 | $71.37 | $264,283.11 |
DisclosureSEC source: 0001225208-14-004394 · doc4.xml · nonDerivative · entry 5 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,933 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, 2014 Filed Feb 13, 2014 00:15 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 3,281 | $72.24 | $237,019.44 |
DisclosureSEC source: 0001225208-14-004394 · doc4.xml · nonDerivative · entry 4 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,636 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 |
| February 10, 2014 Filed Feb 13, 2014 00:15 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 2,776 | $71.37 | $198,123.12 |
DisclosureSEC source: 0001225208-14-004394 · doc4.xml · nonDerivative · entry 3 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,917 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, 2014 Filed Feb 13, 2014 00:15 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 3,281 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-14-004394 · doc4.xml · nonDerivative · entry 2 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,693 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, 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 |
| February 10, 2014 Filed Feb 13, 2014 00:15 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 5,100 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-14-004394 · doc4.xml · nonDerivative · entry 1 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,412 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, 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 |
| January 30, 2014 Filed Feb 4, 2014 00:21 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantStock Options · Derivative | 24,404 | $0.00 Strike: $70.96 | $0.00 |
DisclosureSEC source: 0001225208-14-003167 · doc4.xml · derivative · entry 4 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,404 Underlying: Common Stock · 24,404 shares Expires 2024-01-29 F6 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on February 15, 2015 and annually thereafter. Read SEC document |
| January 30, 2014 Filed Feb 4, 2014 00:21 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantRestricted Stock Units · Derivative | 8,245 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-14-003167 · doc4.xml · derivative · entry 3 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,245 Underlying: Common Stock · 8,245 shares Expires 2015-02-15 F5 · derivative.exercise_price: Each restricted stock unit will vest on January 1, 2015 and will be 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. F5 · derivative.exercise_date: Each restricted stock unit will vest on January 1, 2015 and will be 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. F5 · derivative.expiration_date: Each restricted stock unit will vest on January 1, 2015 and will be 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 |
| January 30, 2014 Filed Feb 4, 2014 00:21 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Grant2014 Restricted Stock Units · Derivative | 10,752 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-14-003167 · doc4.xml · derivative · entry 2 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,752 Underlying: Common Stock · 10,752 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 431 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, 2015 and annually thereafter. F4 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2015 and annually thereafter. F3 · derivative.underlying_shares: This award is reported net of 431 units automatically withheld by the Company to satisfy the reporting person's tax obligation. Read SEC document |
| January 30, 2014 Filed Feb 4, 2014 00:21 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 12,430 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-14-003167 · doc4.xml · nonDerivative · entry 1 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,312 F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2015 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock. Read SEC document |
| January 26, 2014 Filed Jan 28, 2014 21:52 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionRestricted Stock Units · Derivative | 4,079 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-14-002558 · 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 · 4,079 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 January 26, 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 January 26, 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. F3 · derivative.exercise_date: These restricted stock units vested in 1/3 increments beginning on January 26, 2012 and annually thereafter. F3 · derivative.expiration_date: These restricted stock units vested in 1/3 increments beginning on January 26, 2012 and annually thereafter. Read SEC document |
| January 26, 2014 Filed Jan 28, 2014 21:52 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 4,079 | $75.66 | $308,617.14 |
DisclosureSEC source: 0001225208-14-002558 · doc4.xml · nonDerivative · entry 3 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,882 F1 · price: On January 26, 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 |
| January 26, 2014 Filed Jan 28, 2014 21:52 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 2,700 | $70.57 | $190,539.00 |
DisclosureSEC source: 0001225208-14-002558 · doc4.xml · nonDerivative · entry 2 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,961 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 26, 2011. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| January 26, 2014 Filed Jan 28, 2014 21:52 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 4,079 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-14-002558 · doc4.xml · nonDerivative · entry 1 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,661 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 January 26, 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 |
| December 15, 2013 Filed Dec 16, 2013 22:45 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionRestricted Stock Units · Derivative | 8,150 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-025481 · 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 · 8,150 shares Expires 2013-12-15 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: On December 15, 2013 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 December 15, 2013 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 |
| December 15, 2013 Filed Dec 16, 2013 22:45 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 8,150 | $71.13 | $579,709.50 |
DisclosureSEC source: 0001225208-13-025481 · doc4.xml · nonDerivative · entry 2 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,582 Read SEC document |
| December 15, 2013 Filed Dec 16, 2013 22:45 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 8,150 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-025481 · doc4.xml · nonDerivative · entry 1 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,732 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 December 15, 2013 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 |
| October 04, 2013 Filed Oct 7, 2013 20:41 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 4,126 | $0.00 Strike: $48.95 | $0.00 |
DisclosureSEC source: 0001225208-13-021684 · 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 · 4,126 shares Expires 2018-02-20 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 1, 2012, 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 21, 2009 and annually thereafter. Read SEC document |
| October 04, 2013 Filed Oct 7, 2013 20:41 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 4,126 | $70.00 | $288,820.00 |
DisclosureSEC source: 0001225208-13-021684 · doc4.xml · nonDerivative · entry 2 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,582 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 1, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| October 04, 2013 Filed Oct 7, 2013 20:41 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 4,126 | $48.95 | $201,967.70 |
DisclosureSEC source: 0001225208-13-021684 · doc4.xml · nonDerivative · entry 1 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,708 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 November 1, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| October 01, 2013 Filed Oct 2, 2013 21:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 11,614 | $0.00 Strike: $48.95 | $0.00 |
DisclosureSEC source: 0001225208-13-021211 · doc4.xml · derivative · entry 3 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,126 Underlying: Common Stock · 11,614 shares Expires 2018-02-20 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 1, 2012, 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 21, 2009 and annually thereafter. Read SEC document |
| October 01, 2013 Filed Oct 2, 2013 21:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 11,614 | $70.00 | $812,980.00 |
DisclosureSEC source: 0001225208-13-021211 · doc4.xml · nonDerivative · entry 2 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,582 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 1, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| October 01, 2013 Filed Oct 2, 2013 21:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 11,614 | $48.95 | $568,505.30 |
DisclosureSEC source: 0001225208-13-021211 · doc4.xml · nonDerivative · entry 1 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,196 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 November 1, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| July 05, 2013 Filed Jul 9, 2013 20:32 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 15,000 | $0.00 Strike: $48.95 | $0.00 |
DisclosureSEC source: 0001225208-13-015985 · doc4.xml · derivative · entry 3 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,740 Underlying: Common Stock · 15,000 shares Expires 2018-02-20 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 1, 2012, 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 21, 2009 and annually thereafter. Read SEC document |
| July 05, 2013 Filed Jul 9, 2013 20:32 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 15,000 | $65.00 | $975,000.00 |
DisclosureSEC source: 0001225208-13-015985 · doc4.xml · nonDerivative · entry 2 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,582 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 1, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| July 05, 2013 Filed Jul 9, 2013 20:32 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 15,000 | $48.95 | $734,250.00 |
DisclosureSEC source: 0001225208-13-015985 · doc4.xml · nonDerivative · entry 1 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,582 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 November 1, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| February 10, 2013 Filed Feb 13, 2013 00:17 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionRestricted Stock Units · Derivative | 5,099 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-003870 · doc4.xml · derivative · entry 4 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,201 Underlying: Common Stock · 5,099 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, 2013, 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, 2013, 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, 2013 and annually thereafter. F3 · 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, 2013 Filed Feb 13, 2013 00:17 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 5,099 | $57.87 | $295,079.13 |
DisclosureSEC source: 0001225208-13-003870 · doc4.xml · nonDerivative · entry 3 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,582 F1 · price: On February 10, 2013, 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, 2013 Filed Feb 13, 2013 00:17 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 3,703 | $57.27 | $212,070.81 |
DisclosureSEC source: 0001225208-13-003870 · doc4.xml · nonDerivative · entry 2 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,681 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, 2012. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 10, 2013 Filed Feb 13, 2013 00:17 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 5,099 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-003870 · doc4.xml · nonDerivative · entry 1 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,384 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, 2013, 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 31, 2013 Filed Feb 1, 2013 22:27 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 7,947 | $56.64 | $450,118.08 |
DisclosureSEC source: 0001225208-13-002742 · doc4.xml · nonDerivative · entry 1 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,370 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 1, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: These shares were sold at prices ranging from $56.45 to $56.71. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| January 31, 2013 Filed Feb 4, 2013 21:40 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantStock Options · Derivative | 27,818 | $0.00 Strike: $56.32 | $0.00 |
DisclosureSEC source: 0001225208-13-002872 · doc4.xml · derivative · entry 4 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,818 Underlying: Common Stock · 27,818 shares Expires 2023-01-30 F4 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on February 10, 2014 and annually thereafter. Read SEC document |
| January 31, 2013 Filed Feb 4, 2013 21:40 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantRestricted Stock Units · Derivative | 8,150 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-002872 · doc4.xml · derivative · entry 3 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,150 Underlying: Common Stock · 8,150 shares Expires 2013-12-15 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 twenty trading days preceding the vesting date. Read SEC document |
| January 31, 2013 Filed Feb 4, 2013 21:40 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Grant2013 Restricted Stock Units · Derivative | 9,844 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-002872 · doc4.xml · derivative · entry 2 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,844 Underlying: Common Stock · 9,844 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 twenty trading days preceding the vesting date. F3 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on February 10, 2014 and annually thereafter. F3 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 10, 2014 and annually thereafter. Read SEC document |
| January 31, 2013 Filed Feb 4, 2013 21:40 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 14,915 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-002872 · doc4.xml · nonDerivative · entry 1 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,285 F1 · security: This restricted stock will vest in 1/3 increments beginning on February 10, 2014 and annually thereafter. Read SEC document |
| January 27, 2013 Filed Jan 29, 2013 22:26 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 2,931 | $56.32 | $165,073.92 |
DisclosureSEC source: 0001225208-13-002398 · doc4.xml · nonDerivative · entry 4 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,317 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 27, 2010. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| January 26, 2013 Filed Jan 29, 2013 22:26 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionRestricted Stock Units · Derivative | 4,078 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-002398 · doc4.xml · derivative · entry 5 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,079 Underlying: Common Stock · 4,078 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 January 26, 2013, 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 January 26, 2013, 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 January 26, 2012 and annually thereafter. F4 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on January 26, 2012 and annually thereafter. Read SEC document |
| January 26, 2013 Filed Jan 29, 2013 22:26 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 4,078 | $59.86 | $244,109.08 |
DisclosureSEC source: 0001225208-13-002398 · doc4.xml · nonDerivative · entry 3 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,248 F1 · price: On January 26, 2013, 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 26, 2013 Filed Jan 29, 2013 22:26 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 2,704 | $56.32 | $152,289.28 |
DisclosureSEC source: 0001225208-13-002398 · doc4.xml · nonDerivative · entry 2 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,326 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 26, 2011. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| January 26, 2013 Filed Jan 29, 2013 22:26 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 4,078 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-002398 · doc4.xml · nonDerivative · entry 1 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,030 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 January 26, 2013, 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 |
| December 15, 2012 Filed Dec 18, 2012 22:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionRestricted Stock Units · Derivative | 8,809 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001225208-12-025620 · 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 · 8,809 shares Expires 2012-12-15 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: On December 15, 2012, 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 December 15, 2012, 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 |
| December 15, 2012 Filed Dec 18, 2012 22:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 8,809 | $57.73 | $508,543.57 |
DisclosureSEC source: 0001225208-12-025620 · doc4.xml · nonDerivative · entry 2 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,952 Read SEC document |
| December 15, 2012 Filed Dec 18, 2012 22:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 8,809 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-025620 · doc4.xml · nonDerivative · entry 1 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,761 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 December 15, 2012, 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 |
| November 30, 2012 Filed Dec 3, 2012 22:18 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 4,822 | $58.10 | $280,158.20 |
DisclosureSEC source: 0001225208-12-024223 · doc4.xml · nonDerivative · entry 1 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,952 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 1, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| March 19, 2012 Filed Mar 20, 2012 21:04 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 11,655 | $0.00 Strike: $18.28 | $0.00 |
DisclosureSEC source: 0001225208-12-008094 · doc4.xml · derivative · entry 6 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 11,655 shares Expires 2019-01-28 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 8, 2011, 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 29, 2010 and annually thereafter. Read SEC document |
| March 19, 2012 Filed Mar 20, 2012 21:04 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 11,655 | $55.00 | $641,025.00 |
DisclosureSEC source: 0001225208-12-008094 · doc4.xml · nonDerivative · entry 4 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,774 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 8, 2011, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| March 19, 2012 Filed Mar 20, 2012 21:04 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 11,655 | $18.28 | $213,053.40 |
DisclosureSEC source: 0001225208-12-008094 · doc4.xml · nonDerivative · entry 3 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,429 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: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 8, 2011, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| March 16, 2012 Filed Mar 20, 2012 21:04 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 150 | $0.00 Strike: $18.28 | $0.00 |
DisclosureSEC source: 0001225208-12-008094 · doc4.xml · derivative · entry 5 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,655 Underlying: Common Stock · 150 shares Expires 2019-01-28 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 8, 2011, 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 29, 2010 and annually thereafter. Read SEC document |
| March 16, 2012 Filed Mar 20, 2012 21:04 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 150 | $55.00 | $8,250.00 |
DisclosureSEC source: 0001225208-12-008094 · doc4.xml · nonDerivative · entry 2 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,774 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 8, 2011, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| March 16, 2012 Filed Mar 20, 2012 21:04 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 150 | $18.28 | $2,742.00 |
DisclosureSEC source: 0001225208-12-008094 · doc4.xml · nonDerivative · entry 1 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,924 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 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 8, 2011, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| February 15, 2012 Filed Feb 17, 2012 22:17 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 11,805 | $0.00 Strike: $18.28 | $0.00 |
DisclosureSEC source: 0001225208-12-004671 · doc4.xml · derivative · entry 3 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,805 Underlying: Common Stock · 11,805 shares Expires 2019-01-28 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 8, 2011, 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 29, 2010 and annually thereafter. 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.