Reported relationships
Latest disclosed role at each company.
No relationships currently tracked through insider filings.
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.
No balances currently tracked through insider filings.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
CAPITAL ONE FINANCIAL CORP
Report date February 03, 2022 · Filed February 07, 2022
Section 16 reporting ended · disclosed 2022-02-07. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 60,120 |
Reported balance
After 2022-02-03 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2022-02-03 · Grant · Acquired 8,862 · Balance 60,120 F1: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2023 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock. F2: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction. |
| Common StockSEC Table I · non-derivative | IndirectBy 401(k) | 7,128 |
Reported balance
Holding disclosure · report date 2022-02-03 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 7,128 F3: Represents the reporting person's equivalent share ownership in the Company's 401(k) Plan, a unitized plan, as of the date of the latest transaction. |
Filing footnotes · ownership attribution and instrument terms
F1: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2023 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.
F2: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction.
F3: Represents the reporting person's equivalent share ownership in the Company's 401(k) Plan, a unitized plan, as of the date of the latest transaction.
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 03, 2022 Filed Feb 7, 2022 21:35 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 8,862 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-22-000056 · wf-form4_164426973156352.xml · nonDerivative · entry 1 Berson Jory A · CIK 0001365632 · Former Chief HR Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,120 F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2023 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock. F2 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction. Read SEC document |
| June 07, 2021 Filed Jun 9, 2021 20:45 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 21,316 | $0.00 Strike: $86.34 | $0.00 |
DisclosureSEC source: 0000927628-21-000223 · wf-form4_162327150504049.xml · derivative · entry 5 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 21,316 shares Expires 2027-02-02 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 5, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F6 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on February 15, 2018 and annually thereafter. Read SEC document |
| June 07, 2021 Filed Jun 9, 2021 20:45 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 11,985 | $164.72 | $1,974,169.20 |
DisclosureSEC source: 0000927628-21-000223 · wf-form4_162327150504049.xml · nonDerivative · entry 3 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,172 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 5, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $164.50 to $165.23. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| June 07, 2021 Filed Jun 9, 2021 20:45 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 12,450 | $164.12 | $2,043,294.00 |
DisclosureSEC source: 0000927628-21-000223 · wf-form4_162327150504049.xml · nonDerivative · entry 2 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,157 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 5, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $163.50 to $164.47. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| June 07, 2021 Filed Jun 9, 2021 20:45 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 21,316 | $86.34 | $1,840,423.44 |
DisclosureSEC source: 0000927628-21-000223 · wf-form4_162327150504049.xml · nonDerivative · entry 1 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,607 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 5, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction. Read SEC document |
| March 11, 2021 Filed Mar 15, 2021 21:19 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 6,071 | $132.10 | $801,979.10 |
DisclosureSEC source: 0000927628-21-000135 · wf-form4_161584313329026.xml · nonDerivative · entry 2 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,260 F2 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement. Read SEC document |
| March 11, 2021 Filed Mar 15, 2021 21:19 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 13,460 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-21-000135 · wf-form4_161584313329026.xml · nonDerivative · entry 1 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,331 F1 · security: These shares were earned pursuant to an award of performance shares granted on February 1, 2018 based on the Company's Common Dividends + Growth of Tangible Book Value per Share and Adjusted ROTCE against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant. Read SEC document |
| March 05, 2021 Filed Mar 9, 2021 21:24 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerStock Options · Derivative | 30,296 | $0.00 Strike: $74.96 | $0.00 |
DisclosureSEC source: 0000927628-21-000114 · wf-form4_161532505482991.xml · derivative · entry 7 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 30,296 shares Expires 2025-01-28 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on February 3, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F8 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on February 15, 2016 and annually thereafter. Read SEC document |
| March 05, 2021 Filed Mar 9, 2021 21:24 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 24,401 | $128.16 | $3,127,232.16 |
DisclosureSEC source: 0000927628-21-000114 · wf-form4_161532505482991.xml · nonDerivative · entry 5 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,871 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on February 3, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $127.55 to $128.41. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| March 05, 2021 Filed Mar 9, 2021 21:24 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 6,330 | $127.11 | $804,606.30 |
DisclosureSEC source: 0000927628-21-000114 · wf-form4_161532505482991.xml · nonDerivative · entry 4 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,272 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on February 3, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $126.53 to $127.49. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| March 05, 2021 Filed Mar 9, 2021 21:24 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 6,175 | $126.09 | $778,605.75 |
DisclosureSEC source: 0000927628-21-000114 · wf-form4_161532505482991.xml · nonDerivative · entry 3 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,602 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on February 3, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $125.46 to $126.46. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| March 05, 2021 Filed Mar 9, 2021 21:24 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 4,080 | $125.15 | $510,612.00 |
DisclosureSEC source: 0000927628-21-000114 · wf-form4_161532505482991.xml · nonDerivative · entry 2 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 83,777 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on February 3, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $124.45 to $125.44. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| March 05, 2021 Filed Mar 9, 2021 21:24 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 30,296 | $74.96 | $2,270,988.16 |
DisclosureSEC source: 0000927628-21-000114 · wf-form4_161532505482991.xml · nonDerivative · entry 1 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 87,857 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 February 3, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction. Read SEC document |
| February 15, 2021 Filed Feb 17, 2021 21:41 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2018 Restricted Stock Units · Derivative | 1,965 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-21-000072 · wf-form4_161359805029469.xml · derivative · entry 7 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,965 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On February 15, 2021, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F1 · price: On February 15, 2021, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F5 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2019 and annually thereafter. F5 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2019 and annually thereafter. Read SEC document |
| February 15, 2021 Filed Feb 17, 2021 21:41 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,657 | $117.75 | $195,111.75 |
DisclosureSEC source: 0000927628-21-000072 · wf-form4_161359805029469.xml · nonDerivative · entry 5 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,457 F4 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 30, 2020. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2021 Filed Feb 17, 2021 21:41 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,480 | $117.75 | $174,270.00 |
DisclosureSEC source: 0000927628-21-000072 · wf-form4_161359805029469.xml · nonDerivative · entry 4 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,114 F3 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 31, 2019. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2021 Filed Feb 17, 2021 21:41 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,114 | $117.75 | $131,173.50 |
DisclosureSEC source: 0000927628-21-000072 · wf-form4_161359805029469.xml · nonDerivative · entry 3 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,594 F2 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on February 1, 2018. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2021 Filed Feb 17, 2021 21:41 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 1,965 | $109.60 | $215,364.00 |
DisclosureSEC source: 0000927628-21-000072 · wf-form4_161359805029469.xml · nonDerivative · entry 2 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,708 F1 · price: On February 15, 2021, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
| February 15, 2021 Filed Feb 17, 2021 21:41 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 1,965 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-21-000072 · wf-form4_161359805029469.xml · nonDerivative · entry 1 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,673 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: On February 15, 2021, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
| February 04, 2021 Filed Feb 8, 2021 22:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 10,289 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-21-000052 · wf-form4_161282240672466.xml · nonDerivative · entry 1 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,708 F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2022 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock. F2 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction. Read SEC document |
| December 10, 2020 Filed Dec 14, 2020 21:18 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 27,983 | $0.00 Strike: $63.73 | $0.00 |
DisclosureSEC source: 0000927628-20-000316 · wf-form4_160798067922814.xml · derivative · entry 8 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 27,983 shares Expires 2026-02-03 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 10, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F7 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on February 15, 2017 and annually thereafter. Read SEC document |
| December 10, 2020 Filed Dec 14, 2020 21:18 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 28,499 | $0.00 Strike: $70.96 | $0.00 |
DisclosureSEC source: 0000927628-20-000316 · wf-form4_160798067922814.xml · derivative · entry 7 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 28,499 shares Expires 2024-01-29 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 10, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F6 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on February 15, 2015 and annually thereafter. Read SEC document |
| December 10, 2020 Filed Dec 14, 2020 21:18 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 57,273 | $95.00 | $5,440,935.00 |
DisclosureSEC source: 0000927628-20-000316 · wf-form4_160798067922814.xml · nonDerivative · entry 5 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,301 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 10, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $94.43 to $95.13. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| December 10, 2020 Filed Dec 14, 2020 21:18 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 5,596 | $93.90 | $525,464.40 |
DisclosureSEC source: 0000927628-20-000316 · wf-form4_160798067922814.xml · nonDerivative · entry 4 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 108,574 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 10, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $93.35 to $94.30. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| December 10, 2020 Filed Dec 14, 2020 21:18 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 5,060 | $92.96 | $470,377.60 |
DisclosureSEC source: 0000927628-20-000316 · wf-form4_160798067922814.xml · nonDerivative · entry 3 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 114,170 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 10, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $92.34 to $93.33. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| December 10, 2020 Filed Dec 14, 2020 21:18 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 27,983 | $63.73 | $1,783,356.59 |
DisclosureSEC source: 0000927628-20-000316 · wf-form4_160798067922814.xml · nonDerivative · entry 2 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 119,230 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 10, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| December 10, 2020 Filed Dec 14, 2020 21:18 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 28,499 | $70.96 | $2,022,289.04 |
DisclosureSEC source: 0000927628-20-000316 · wf-form4_160798067922814.xml · nonDerivative · entry 1 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,247 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 10, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| March 05, 2020 Filed Mar 9, 2020 20:10 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 5,125 | $85.08 | $436,035.00 |
DisclosureSEC source: 0000927628-20-000135 · wf-form4_158378461750833.xml · nonDerivative · entry 2 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,748 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. This share withholding was authorized in the performance share award agreement. Read SEC document |
| March 05, 2020 Filed Mar 9, 2020 20:10 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 11,363 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000135 · wf-form4_158378461750833.xml · nonDerivative · entry 1 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,873 F1 · security: These shares were earned pursuant to an award of performance shares granted on February 2, 2017 based on the Company's Adjusted ROA against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant. F2 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction. Read SEC document |
| February 15, 2020 Filed Feb 20, 2020 00:27 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2018 Restricted Stock Units · Derivative | 1,964 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000091 · wf-form4_158215842336271.xml · derivative · entry 10 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,965 Underlying: Common Stock · 1,964 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On February 15, 2020, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F1 · price: On February 15, 2020, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F8 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2019 and annually thereafter. F8 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2019 and annually thereafter. Read SEC document |
| February 15, 2020 Filed Feb 20, 2020 00:27 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2017 Restricted Stock Units · Derivative | 2,300 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000091 · wf-form4_158215842336271.xml · derivative · entry 9 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,300 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On February 15, 2020, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F1 · price: On February 15, 2020, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F7 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2018 and annually thereafter. F7 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2018 and annually thereafter. Read SEC document |
| February 15, 2020 Filed Feb 20, 2020 00:27 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 2,039 | $102.64 | $209,282.96 |
DisclosureSEC source: 0000927628-20-000091 · wf-form4_158215842336271.xml · nonDerivative · entry 7 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,387 F5 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 31, 2019. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2020 Filed Feb 20, 2020 00:27 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,675 | $102.64 | $171,922.00 |
DisclosureSEC source: 0000927628-20-000091 · wf-form4_158215842336271.xml · nonDerivative · entry 6 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,426 F4 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on February 1, 2018. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2020 Filed Feb 20, 2020 00:27 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,794 | $102.64 | $184,136.16 |
DisclosureSEC source: 0000927628-20-000091 · wf-form4_158215842336271.xml · nonDerivative · entry 5 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 60,101 F3 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on February 2, 2017. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2020 Filed Feb 20, 2020 00:27 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 1,964 | $102.03 | $200,386.92 |
DisclosureSEC source: 0000927628-20-000091 · wf-form4_158215842336271.xml · nonDerivative · entry 4 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,895 F1 · price: On February 15, 2020, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
| February 15, 2020 Filed Feb 20, 2020 00:27 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 2,300 | $102.03 | $234,669.00 |
DisclosureSEC source: 0000927628-20-000091 · wf-form4_158215842336271.xml · nonDerivative · entry 3 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 63,859 F1 · price: On February 15, 2020, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
| February 15, 2020 Filed Feb 20, 2020 00:27 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 1,964 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000091 · wf-form4_158215842336271.xml · nonDerivative · entry 2 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,159 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: On February 15, 2020, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
| February 15, 2020 Filed Feb 20, 2020 00:27 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 2,300 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000091 · wf-form4_158215842336271.xml · nonDerivative · entry 1 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,195 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: On February 15, 2020, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F2 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction. Read SEC document |
| January 30, 2020 Filed Feb 3, 2020 21:56 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 11,016 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000046 · wf-form4_158076695254069.xml · nonDerivative · entry 1 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,715 F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2021 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock. Read SEC document |
| December 02, 2019 Filed Dec 4, 2019 21:05 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 34,110 | $0.00 Strike: $56.32 | $0.00 |
DisclosureSEC source: 0000927628-19-000343 · wf-form4_157549351264898.xml · derivative · entry 5 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 34,110 shares Expires 2023-01-30 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on October 29, 2019, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F5 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on February 10, 2014 and annually thereafter. Read SEC document |
| December 02, 2019 Filed Dec 4, 2019 21:05 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 6,354 | $100.40 | $637,941.60 |
DisclosureSEC source: 0000927628-19-000343 · wf-form4_157549351264898.xml · nonDerivative · entry 3 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,699 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on October 29, 2019, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $100.33 to $100.63. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| December 02, 2019 Filed Dec 4, 2019 21:05 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 36,410 | $99.80 | $3,633,718.00 |
DisclosureSEC source: 0000927628-19-000343 · wf-form4_157549351264898.xml · nonDerivative · entry 2 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,053 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on October 29, 2019, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $99.31 to $100.30. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| December 02, 2019 Filed Dec 4, 2019 21:05 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 34,110 | $56.32 | $1,921,075.20 |
DisclosureSEC source: 0000927628-19-000343 · wf-form4_157549351264898.xml · nonDerivative · entry 1 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,463 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 October 29, 2019, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| July 05, 2019 Filed Jul 9, 2019 20:05 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 9,329 | $93.00 | $867,597.00 |
DisclosureSEC source: 0000927628-19-000241 · wf-form4_156270272392807.xml · nonDerivative · entry 1 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,353 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 2, 2019, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| June 05, 2019 Filed Jun 7, 2019 20:12 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 13,393 | $90.00 | $1,205,370.00 |
DisclosureSEC source: 0000927628-19-000218 · wf-form4_155993833688491.xml · nonDerivative · entry 1 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,682 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 2, 2019, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction. Read SEC document |
| March 07, 2019 Filed Mar 11, 2019 20:17 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 6,975 | $81.28 | $566,928.00 |
DisclosureSEC source: 0000927628-19-000145 · wf-form4_155233544894239.xml · nonDerivative · entry 2 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,009 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. This share withholding was authorized in the performance share award agreement. Read SEC document |
| March 07, 2019 Filed Mar 11, 2019 20:17 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 15,464 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-19-000145 · wf-form4_155233544894239.xml · nonDerivative · entry 1 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,984 F1 · security: These shares were earned pursuant to an award of performance shares granted on February 4, 2016 based on the Company's Adjusted ROA against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant. F2 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 21:50 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2018 Restricted Stock Units · Derivative | 1,964 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-19-000104 · wf-form4_155069943508099.xml · derivative · entry 13 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,929 Underlying: Common Stock · 1,964 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On February 15, 2019, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F1 · price: On February 15, 2019, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F9 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2019 and annually thereafter. F9 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2019 and annually thereafter. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 21:50 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2017 Restricted Stock Units · Derivative | 2,300 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-19-000104 · wf-form4_155069943508099.xml · derivative · entry 12 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,300 Underlying: Common Stock · 2,300 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On February 15, 2019, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F1 · price: On February 15, 2019, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F8 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2018 and annually thereafter. F8 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2018 and annually thereafter. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 21:50 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2016 Restricted Stock Units · Derivative | 3,120 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-19-000104 · wf-form4_155069943508099.xml · derivative · entry 11 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,120 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On February 15, 2019, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F1 · price: On February 15, 2019, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F7 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginnings on February 15, 2017 and annually thereafter. F7 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginnings on February 15, 2017 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.