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 15, 2017 Filed Feb 18, 2017 00:10 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 3,703 | $88.31 | $327,011.93 |
DisclosureSEC source: 0000927628-17-000097 · wf-form4_148737661636867.xml · nonDerivative · entry 6 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 116,151 F1 · price: On February 15, 2017 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
| February 15, 2017 Filed Feb 18, 2017 00:10 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 4,206 | $88.31 | $371,431.86 |
DisclosureSEC source: 0000927628-17-000097 · wf-form4_148737661636867.xml · nonDerivative · entry 5 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 119,854 F1 · price: On February 15, 2017 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
| February 15, 2017 Filed Feb 18, 2017 00:10 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 9,698 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000097 · wf-form4_148737661636867.xml · nonDerivative · entry 4 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124,060 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · price: Each restricted stock unit vested on January 1, 2017 and settled in cash on February 15, 2017 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. Read SEC document |
| February 15, 2017 Filed Feb 18, 2017 00:10 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 3,120 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000097 · wf-form4_148737661636867.xml · nonDerivative · entry 3 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 114,362 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: On February 15, 2017 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
| February 15, 2017 Filed Feb 18, 2017 00:10 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 3,703 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000097 · wf-form4_148737661636867.xml · nonDerivative · entry 2 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 111,242 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: On February 15, 2017 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
| February 15, 2017 Filed Feb 18, 2017 00:10 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 4,206 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000097 · wf-form4_148737661636867.xml · nonDerivative · entry 1 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 107,539 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: On February 15, 2017 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
| February 02, 2017 Filed Feb 7, 2017 00:25 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantStock Options · Derivative | 21,316 | $0.00 Strike: $86.34 | $0.00 |
DisclosureSEC source: 0000927628-17-000066 · wf-form4_148642709452877.xml · derivative · entry 5 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,316 Underlying: Common Stock · 21,316 shares Expires 2027-02-02 F8 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on February 15, 2018 and annually thereafter. Read SEC document |
| February 02, 2017 Filed Feb 7, 2017 00:25 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantRestricted Stock Units · Derivative | 7,378 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000066 · wf-form4_148642709452877.xml · derivative · entry 4 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,378 Underlying: Common Stock · 7,378 shares Expires 2018-02-15 F7 · derivative.exercise_price: Each restricted stock unit will vest on January 1, 2018 and will be settled in cash on February 15, 2018 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. F7 · derivative.exercise_date: Each restricted stock unit will vest on January 1, 2018 and will be settled in cash on February 15, 2018 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. F7 · derivative.expiration_date: Each restricted stock unit will vest on January 1, 2018 and will be settled in cash on February 15, 2018 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. Read SEC document |
| February 02, 2017 Filed Feb 7, 2017 00:25 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Grant2017 Restricted Stock Units · Derivative | 6,900 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000066 · wf-form4_148642709452877.xml · derivative · entry 3 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,900 Underlying: Common Stock · 6,900 shares Expires not disclosed F4 · 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. F5 · shares: This award is reported net of 258 units automatically withheld by the Company to satisfy the reporting person's tax obligation. F6 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2018 and annually thereafter. F6 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2018 and annually thereafter. F5 · derivative.underlying_shares: This award is reported net of 258 units automatically withheld by the Company to satisfy the reporting person's tax obligation. Read SEC document |
| February 02, 2017 Filed Feb 7, 2017 00:25 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 11,930 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000066 · wf-form4_148642709452877.xml · nonDerivative · entry 1 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 103,333 F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2018 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock. 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 |
| November 23, 2016 Filed Nov 28, 2016 22:40 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 53,420 | $0.00 Strike: $76.79 | $0.00 |
DisclosureSEC source: 0001225208-16-042311 · doc4.xml · derivative · entry 6 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 53,420 shares Expires 2017-03-01 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 13, 2016, in accordance with Rule 10b5-1 of the Securities and Exchange Act of 1934, as amended. F4 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on March 2, 2008 and annually thereafter. Read SEC document |
| November 23, 2016 Filed Nov 28, 2016 22:40 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 54,380 | $0.00 Strike: $48.95 | $0.00 |
DisclosureSEC source: 0001225208-16-042311 · doc4.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 · 54,380 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 May 13, 2016, in accordance with Rule 10b5-1 of the Securities and Exchange Act of 1934, as amended. F3 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on February 21, 2009 and annually thereafter. Read SEC document |
| November 23, 2016 Filed Nov 28, 2016 22:40 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 115,650 | $84.00 | $9,714,600.00 |
DisclosureSEC source: 0001225208-16-042311 · doc4.xml · nonDerivative · entry 3 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,275 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 13, 2016, in accordance with Rule 10b5-1 of the Securities and Exchange Act of 1934, as amended. Read SEC document |
| November 23, 2016 Filed Nov 28, 2016 22:40 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 53,420 | $76.79 | $4,102,121.80 |
DisclosureSEC source: 0001225208-16-042311 · doc4.xml · nonDerivative · entry 2 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 206,925 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 13, 2016, in accordance with Rule 10b5-1 of the Securities and Exchange Act of 1934, as amended. Read SEC document |
| November 23, 2016 Filed Nov 28, 2016 22:40 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 54,380 | $48.95 | $2,661,901.00 |
DisclosureSEC source: 0001225208-16-042311 · doc4.xml · nonDerivative · entry 1 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 153,505 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 13, 2016, in accordance with Rule 10b5-1 of the Securities and Exchange Act of 1934, as amended. Read SEC document |
| November 11, 2016 Filed Nov 15, 2016 23:30 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 7,086 | $80.00 | $566,880.00 |
DisclosureSEC source: 0001225208-16-041808 · doc4.xml · nonDerivative · entry 1 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,125 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 13, 2016, in accordance with Rule 10b5-1 of the Securities and 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 08, 2016 Filed Mar 10, 2016 21:29 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 8,310 | $68.49 | $569,151.90 |
DisclosureSEC source: 0001225208-16-029607 · doc4.xml · nonDerivative · entry 2 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,170 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 08, 2016 Filed Mar 10, 2016 21:29 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 17,420 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-029607 · doc4.xml · nonDerivative · entry 1 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 113,480 F1 · security: These shares were earned pursuant to an award of performance shares granted on January 31, 2013 based on the Company's Adjusted ROA against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant. 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, 2016 Filed Feb 17, 2016 22:20 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionRestricted Stock Units · Derivative | 8,245 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-026813 · doc4.xml · derivative · entry 12 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,245 shares Expires 2016-02-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. F1 · price: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. F1 · derivative.exercise_date: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. F1 · derivative.expiration_date: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. Read SEC document |
| February 15, 2016 Filed Feb 17, 2016 22:20 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2015 Restricted Stock Units · Derivative | 3,704 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-026813 · doc4.xml · derivative · entry 11 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,406 Underlying: Common Stock · 3,704 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: On February 15, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F2 · price: On February 15, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F7 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2016 and annually thereafter. F7 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2016 and annually thereafter. Read SEC document |
| February 15, 2016 Filed Feb 17, 2016 22:20 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2014 Restricted Stock Units · Derivative | 4,206 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-026813 · doc4.xml · derivative · entry 10 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,206 Underlying: Common Stock · 4,206 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: On February 15, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F2 · price: On February 15, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F6 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2015 and annually thereafter. F6 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2015 and annually thereafter. Read SEC document |
| February 15, 2016 Filed Feb 17, 2016 22:20 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 8,245 | $62.51 | $515,394.95 |
DisclosureSEC source: 0001225208-16-026813 · doc4.xml · nonDerivative · entry 8 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,847 F1 · price: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. Read SEC document |
| February 15, 2016 Filed Feb 17, 2016 22:20 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 4,206 | $62.51 | $262,917.06 |
DisclosureSEC source: 0001225208-16-026813 · doc4.xml · nonDerivative · entry 7 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 104,092 F2 · price: On February 15, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
| February 15, 2016 Filed Feb 17, 2016 22:20 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 3,704 | $62.51 | $231,537.04 |
DisclosureSEC source: 0001225208-16-026813 · doc4.xml · nonDerivative · entry 6 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 108,298 F2 · price: On February 15, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
| February 15, 2016 Filed Feb 17, 2016 22:20 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,903 | $62.54 | $119,013.62 |
DisclosureSEC source: 0001225208-16-026813 · doc4.xml · nonDerivative · entry 5 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 112,002 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, 2014. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2016 Filed Feb 17, 2016 22:20 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,517 | $62.54 | $94,873.18 |
DisclosureSEC source: 0001225208-16-026813 · doc4.xml · nonDerivative · entry 4 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 113,905 F3 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 29, 2015. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2016 Filed Feb 17, 2016 22:20 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 3,704 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-026813 · doc4.xml · nonDerivative · entry 3 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 115,422 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · price: On February 15, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
| February 15, 2016 Filed Feb 17, 2016 22:20 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 4,206 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-026813 · doc4.xml · nonDerivative · entry 2 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 111,718 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · price: On February 15, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
| February 15, 2016 Filed Feb 17, 2016 22:20 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 8,245 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-026813 · doc4.xml · nonDerivative · entry 1 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 107,512 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. Read SEC document |
| February 10, 2016 Filed Feb 12, 2016 22:47 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2013 Restricted Stock Units · Derivative | 4,024 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-026372 · doc4.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 · 4,024 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On February 10, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. F1 · price: On February 10, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. F4 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2014 and annually thereafter. F4 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2014 and annually thereafter. Read SEC document |
| February 10, 2016 Filed Feb 12, 2016 22:47 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 4,024 | $62.74 | $252,465.76 |
DisclosureSEC source: 0001225208-16-026372 · doc4.xml · nonDerivative · entry 3 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 99,267 F1 · price: On February 10, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. Read SEC document |
| February 10, 2016 Filed Feb 12, 2016 22:47 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 2,018 | $62.24 | $125,600.32 |
DisclosureSEC source: 0001225208-16-026372 · doc4.xml · nonDerivative · entry 2 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 103,291 F2 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 31, 2013. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 10, 2016 Filed Feb 12, 2016 22:47 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 4,024 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-026372 · doc4.xml · nonDerivative · entry 1 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,309 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: On February 10, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. Read SEC document |
| February 04, 2016 Filed Feb 9, 2016 02:12 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantStock Options · Derivative | 27,983 | $0.00 Strike: $63.73 | $0.00 |
DisclosureSEC source: 0001225208-16-025842 · doc4.xml · derivative · entry 5 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,983 Underlying: Common Stock · 27,983 shares Expires 2026-02-03 F8 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on February 15, 2017 and annually thereafter. Read SEC document |
| February 04, 2016 Filed Feb 9, 2016 02:12 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantRestricted Stock Units · Derivative | 9,698 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-025842 · doc4.xml · derivative · entry 4 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,698 Underlying: Common Stock · 9,698 shares Expires 2017-02-15 F7 · derivative.exercise_price: Each restricted stock unit will vest on January 1, 2017 and will be settled in cash on February 15, 2017 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. F7 · derivative.exercise_date: Each restricted stock unit will vest on January 1, 2017 and will be settled in cash on February 15, 2017 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. F7 · derivative.expiration_date: Each restricted stock unit will vest on January 1, 2017 and will be settled in cash on February 15, 2017 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. Read SEC document |
| February 04, 2016 Filed Feb 9, 2016 02:12 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Grant2016 Restricted Stock Units · Derivative | 9,360 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-025842 · doc4.xml · derivative · entry 3 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,360 Underlying: Common Stock · 9,360 shares Expires not disclosed F4 · 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. F5 · shares: This award is reported net of 338 units automatically withheld by the Company to satisfy the reporting person's tax obligations. F6 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginnings on February 15, 2017 and annually thereafter. F6 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginnings on February 15, 2017 and annually thereafter. F5 · derivative.underlying_shares: This award is reported net of 338 units automatically withheld by the Company to satisfy the reporting person's tax obligations. Read SEC document |
| February 04, 2016 Filed Feb 9, 2016 02:12 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 16,162 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-16-025842 · doc4.xml · nonDerivative · entry 1 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,285 F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2017 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock. 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 10, 2015 Filed Mar 12, 2015 22:04 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionPerformance Share Units · Derivative | 27,915 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-15-007740 · doc4.xml · derivative · entry 4 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 27,915 shares Expires 2015-03-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: These performance shares for the January 31, 2012 grant were settled at the end of a three-year period based on the Company's Adjusted ROA against a peer group of companies. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant. F1 · derivative.exercise_date: These performance shares for the January 31, 2012 grant were settled at the end of a three-year period based on the Company's Adjusted ROA against a peer group of companies. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant. F1 · derivative.expiration_date: These performance shares for the January 31, 2012 grant were settled at the end of a three-year period based on the Company's Adjusted ROA against a peer group of companies. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant. Read SEC document |
| March 10, 2015 Filed Mar 12, 2015 22:04 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 13,316 | $77.72 | $1,034,919.52 |
DisclosureSEC source: 0001225208-15-007740 · doc4.xml · nonDerivative · entry 2 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,052 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 31, 2012 grant. This is authorized in the performance share award agreement. Read SEC document |
| March 10, 2015 Filed Mar 12, 2015 22:04 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 27,915 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-15-007740 · doc4.xml · nonDerivative · entry 1 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,368 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: These performance shares for the January 31, 2012 grant were settled at the end of a three-year period based on the Company's Adjusted ROA against a peer group of companies. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant. 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, 2015 Filed Feb 18, 2015 21:30 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionRestricted Stock Units · Derivative | 8,710 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-15-004486 · doc4.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 · 8,710 shares Expires 2015-02-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit vested on January 1, 2015 and settled in cash on February 15, 2015 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. F1 · price: Each restricted stock unit vested on January 1, 2015 and settled in cash on February 15, 2015 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. F1 · derivative.exercise_date: Each restricted stock unit vested on January 1, 2015 and settled in cash on February 15, 2015 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. F1 · derivative.expiration_date: Each restricted stock unit vested on January 1, 2015 and settled in cash on February 15, 2015 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. Read SEC document |
| February 15, 2015 Filed Feb 18, 2015 21:30 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2014 Restricted Stock Units · Derivative | 4,207 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-15-004486 · doc4.xml · derivative · entry 7 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,412 Underlying: Common Stock · 4,207 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: On February 15, 2015, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F2 · price: On February 15, 2015, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F5 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2015 and annually thereafter. F5 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2015 and annually thereafter. Read SEC document |
| February 15, 2015 Filed Feb 18, 2015 21:30 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 8,710 | $76.27 | $664,311.70 |
DisclosureSEC source: 0001225208-15-004486 · doc4.xml · nonDerivative · entry 5 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,289 F1 · price: Each restricted stock unit vested on January 1, 2015 and settled in cash on February 15, 2015 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. Read SEC document |
| February 15, 2015 Filed Feb 18, 2015 21:30 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 4,207 | $76.27 | $320,867.89 |
DisclosureSEC source: 0001225208-15-004486 · doc4.xml · nonDerivative · entry 4 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,999 F2 · price: On February 15, 2015, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
| February 15, 2015 Filed Feb 18, 2015 21:30 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 2,309 | $78.88 | $182,133.92 |
DisclosureSEC source: 0001225208-15-004486 · doc4.xml · nonDerivative · entry 3 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 82,206 F3 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 30, 2014. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2015 Filed Feb 18, 2015 21:30 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 4,207 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-15-004486 · doc4.xml · nonDerivative · entry 2 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,515 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · price: On February 15, 2015, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
| February 15, 2015 Filed Feb 18, 2015 21:30 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 8,710 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-15-004486 · doc4.xml · nonDerivative · entry 1 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,308 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit vested on January 1, 2015 and settled in cash on February 15, 2015 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. Read SEC document |
| February 10, 2015 Filed Feb 12, 2015 21:50 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionRestricted Stock Units · Derivative | 8,106 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-15-003757 · doc4.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 · 8,106 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On February 10, 2015 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. F1 · price: On February 10, 2015 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. F7 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2013 and annually thereafter. F7 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2013 and annually thereafter. Read SEC document |
| February 10, 2015 Filed Feb 12, 2015 21:50 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2013 Restricted Stock Units · Derivative | 4,024 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-15-003757 · doc4.xml · derivative · entry 8 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,024 Underlying: Common Stock · 4,024 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On February 10, 2015 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. F1 · price: On February 10, 2015 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. F6 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2014 and annually thereafter. F6 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2014 and annually thereafter. Read SEC document |
| February 10, 2015 Filed Feb 12, 2015 21:50 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 8,106 | $76.39 | $619,217.34 |
DisclosureSEC source: 0001225208-15-003757 · doc4.xml · nonDerivative · entry 6 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,598 F1 · price: On February 10, 2015 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.