Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CAPITAL ONE FINANCIAL CORPCOF · Entity 547 | President, Commercial Banking | February 15, 2022 | February 17, 2022 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
CAPITAL ONE FINANCIAL CORP
Report date February 15, 2022 · Filed February 17, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 60,314 |
Ending reported balance
After 2022-02-15 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2022-02-15 · Tax withholding · Disposed 1,909 · Balance 63,561 F1: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 31, 2019. This is authorized in the applicable restricted stock award agreement. Row 2 · 2022-02-15 · Tax withholding · Disposed 1,775 · Balance 61,786 F2: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 30, 2020. This is authorized in the applicable restricted stock award agreement. Row 3 · 2022-02-15 · Tax withholding · Disposed 1,472 · Balance 60,314 F3: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on February 4, 2021. This is authorized in the applicable restricted stock award agreement. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 31, 2019. This is authorized in the applicable restricted stock award agreement.
F2: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 30, 2020. This is authorized in the applicable restricted stock award agreement.
F3: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on February 4, 2021. This is authorized in the applicable restricted stock award agreement.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| February 15, 2012 Filed Feb 17, 2012 22:17 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 12,138 | $50.00 | $606,900.00 |
DisclosureSEC source: 0001225208-12-004671 · 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 |
| February 15, 2012 Filed Feb 17, 2012 22:17 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 11,805 | $18.28 | $215,795.40 |
DisclosureSEC source: 0001225208-12-004671 · doc4.xml · nonDerivative · entry 1 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,912 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 06, 2012 Filed Feb 6, 2012 22:11 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 3,862 | $48.18 | $186,071.16 |
DisclosureSEC source: 0001225208-12-003187 · doc4.xml · nonDerivative · entry 2 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,107 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 02, 2012 Filed Feb 6, 2012 22:11 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 16,820 | $46.77 | $786,671.40 |
DisclosureSEC source: 0001225208-12-003187 · doc4.xml · nonDerivative · entry 1 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 48,969 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 · price: These shares were sold at prices ranging from $46.56 to $46.92. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| January 31, 2012 Filed Feb 2, 2012 22:19 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantStock Options · Derivative | 9,780 | $0.00 Strike: $45.75 | $0.00 |
DisclosureSEC source: 0001225208-12-002915 · doc4.xml · derivative · entry 8 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,780 Underlying: Common Stock · 9,780 shares Expires 2022-01-30 F8 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on February 10, 2013 and annually thereafter. Read SEC document |
| January 31, 2012 Filed Feb 2, 2012 22:19 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantRestricted Stock Units · Derivative | 8,809 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-002915 · doc4.xml · derivative · entry 7 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,809 Underlying: Common Stock · 8,809 shares Expires 2012-12-15 F6 · 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, 2012 Filed Feb 2, 2012 22:19 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantRestricted Stock Units · Derivative | 15,300 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-002915 · doc4.xml · derivative · entry 6 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,300 Underlying: Common Stock · 15,300 shares Expires not disclosed F6 · 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. F7 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on February 10, 2013 and annually thereafter. F7 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 10, 2013 and annually thereafter. Read SEC document |
| January 31, 2012 Filed Feb 2, 2012 22:19 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantPerformance Share Units · Derivative | 16,382 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-002915 · doc4.xml · derivative · entry 5 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,382 Underlying: Common Stock · 16,382 shares Expires 2015-03-15 F5 · derivative.exercise_price: These performance share units will settle at the end of a three-year performance period (January 1, 2012 to December 31, 2014) based on the Company's relative Adjusted ROA against a peer group of companies. The number of shares reported represents 200% of the target amount. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement. F5 · derivative.exercise_date: These performance share units will settle at the end of a three-year performance period (January 1, 2012 to December 31, 2014) based on the Company's relative Adjusted ROA against a peer group of companies. The number of shares reported represents 200% of the target amount. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement. Read SEC document |
| January 31, 2012 Filed Feb 2, 2012 22:19 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2009 Performance Share Units · Derivative | 9,708 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-002915 · 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 · 9,708 shares Expires 2012-03-15 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. F4 · derivative.exercise_price: These performance share units for the January 29, 2009 grant were settled at the end of a three-year performance period based on the Company's total shareholder return as compared to the total shareholder return of a peer group of companies. F4 · derivative.exercise_date: These performance share units for the January 29, 2009 grant were settled at the end of a three-year performance period based on the Company's total shareholder return as compared to the total shareholder return of a peer group of companies. Read SEC document |
| January 31, 2012 Filed Feb 2, 2012 22:19 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 4,886 | $45.75 | $223,534.50 |
DisclosureSEC source: 0001225208-12-002915 · doc4.xml · nonDerivative · entry 3 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,789 F3 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares for the January 29, 2009 grant. This is authorized in the performance share award agreement. Read SEC document |
| January 31, 2012 Filed Feb 2, 2012 22:19 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 9,708 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-002915 · doc4.xml · nonDerivative · entry 2 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,675 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 · security: These performance shares for the January 29, 2009 grant were settled at the end of a three-year performance period based on the Company's total shareholder return as compared to the total shareholder return of 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 |
| January 31, 2012 Filed Feb 2, 2012 22:19 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 19,897 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-002915 · doc4.xml · nonDerivative · entry 1 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,967 F1 · security: This restricted stock will vest in 1/3 increments beginning on February 10, 2013 and annually thereafter. Read SEC document |
| January 29, 2012 Filed Jan 31, 2012 00:59 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 12,245 | $46.05 | $563,882.25 |
DisclosureSEC source: 0001225208-12-002529 · doc4.xml · nonDerivative · entry 5 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,070 F4 · 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 29, 2009. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| January 27, 2012 Filed Jan 31, 2012 00:59 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 2,867 | $46.05 | $132,025.35 |
DisclosureSEC source: 0001225208-12-002529 · doc4.xml · nonDerivative · entry 4 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,315 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, 2012 Filed Jan 31, 2012 00:59 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionRestricted Stock Units · Derivative | 4,077 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-002529 · doc4.xml · derivative · entry 6 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,157 Underlying: Common Stock · 4,077 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, 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 January 26, 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. F5 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on January 26, 2012 and annually thereafter. F5 · 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, 2012 Filed Jan 31, 2012 00:59 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 4,077 | $45.81 | $186,767.37 |
DisclosureSEC source: 0001225208-12-002529 · doc4.xml · nonDerivative · entry 3 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,182 Read SEC document |
| January 26, 2012 Filed Jan 31, 2012 00:59 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 2,610 | $45.61 | $119,042.10 |
DisclosureSEC source: 0001225208-12-002529 · doc4.xml · nonDerivative · entry 2 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,259 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, 2012 Filed Jan 31, 2012 00:59 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 4,077 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-002529 · doc4.xml · nonDerivative · entry 1 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,869 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, 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, 2011 Filed Dec 19, 2011 22:03 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionRestricted Stock Units · Derivative | 7,996 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001225208-11-026612 · 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 · 7,996 shares Expires 2011-12-15 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, 2011, 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, 2011, 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, 2011 Filed Dec 19, 2011 22:03 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 7,996 | $43.41 | $347,106.36 |
DisclosureSEC source: 0001225208-11-026612 · doc4.xml · nonDerivative · entry 2 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,792 Read SEC document |
| December 15, 2011 Filed Dec 19, 2011 22:03 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 7,996 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-11-026612 · doc4.xml · nonDerivative · entry 1 Slocum Michael · CIK 0001528494 · President, Commercial Banking 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,788 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, 2011, 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.