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 |
|---|---|---|---|---|---|---|
| August 26, 2013 Filed Aug 28, 2013 20:23 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 12,024 | $0.00 Strike: $56.28 | $0.00 |
DisclosureSEC source: 0001225208-13-018773 · 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 · 12,024 shares Expires 2013-12-14 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 July 23, 2013, 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 December 15, 2004 and annually thereafter. Read SEC document |
| August 26, 2013 Filed Aug 28, 2013 20:23 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 12,024 | $66.54 | $800,076.96 |
DisclosureSEC source: 0001225208-13-018773 · doc4.xml · nonDerivative · entry 3 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,819 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on July 23, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F4 · price: These shares were sold at prices ranging from $66.45 to $66.67. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| August 26, 2013 Filed Aug 28, 2013 20:23 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 4,743 | $66.55 | $315,646.65 |
DisclosureSEC source: 0001225208-13-018773 · doc4.xml · nonDerivative · entry 2 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,843 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on July 23, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F3 · price: These shares were sold at prices ranging from $66.45 to $66.65. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| August 26, 2013 Filed Aug 28, 2013 20:23 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 12,024 | $56.28 | $676,710.72 |
DisclosureSEC source: 0001225208-13-018773 · doc4.xml · nonDerivative · entry 1 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,586 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 July 23, 2013, 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 |
| July 05, 2013 Filed Jul 9, 2013 20:32 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 25,000 | $0.00 Strike: $18.28 | $0.00 |
DisclosureSEC source: 0001225208-13-015982 · doc4.xml · derivative · entry 5 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,372 Underlying: Common Stock · 25,000 shares Expires 2019-01-28 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on July 26, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F4 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on January 29, 2010 and annually thereafter. Read SEC document |
| July 05, 2013 Filed Jul 9, 2013 20:32 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 25,000 | $65.00 | $1,625,000.00 |
DisclosureSEC source: 0001225208-13-015982 · doc4.xml · nonDerivative · entry 3 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 83,380 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on July 26, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| July 05, 2013 Filed Jul 9, 2013 20:32 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 18,149 | $65.00 | $1,179,685.00 |
DisclosureSEC source: 0001225208-13-015982 · doc4.xml · nonDerivative · entry 2 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 108,380 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on July 26, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| July 05, 2013 Filed Jul 9, 2013 20:32 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 25,000 | $18.28 | $457,000.00 |
DisclosureSEC source: 0001225208-13-015982 · doc4.xml · nonDerivative · entry 1 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 126,529 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 July 26, 2012, 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 10, 2013 Filed Feb 13, 2013 00:17 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionRestricted Stock Units · Derivative | 8,104 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-003866 · doc4.xml · derivative · entry 5 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,211 Underlying: Common Stock · 8,104 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On February 10, 2013, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. F1 · price: On February 10, 2013, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. F4 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2013 and annually thereafter. F4 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2013 and annually thereafter. Read SEC document |
| February 10, 2013 Filed Feb 13, 2013 00:17 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 8,104 | $57.87 | $468,978.48 |
DisclosureSEC source: 0001225208-13-003866 · doc4.xml · nonDerivative · entry 3 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,437 F1 · price: On February 10, 2013, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. Read SEC document |
| February 10, 2013 Filed Feb 13, 2013 00:17 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 3,580 | $57.27 | $205,026.60 |
DisclosureSEC source: 0001225208-13-003866 · doc4.xml · nonDerivative · entry 2 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 108,541 F3 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 31, 2012. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 10, 2013 Filed Feb 13, 2013 00:17 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 8,104 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-003866 · doc4.xml · nonDerivative · entry 1 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 112,121 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: On February 10, 2013, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. 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 31, 2013 Filed Feb 4, 2013 21:45 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantStock Options · Derivative | 34,110 | $0.00 Strike: $56.32 | $0.00 |
DisclosureSEC source: 0001225208-13-002876 · doc4.xml · derivative · entry 5 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,110 Underlying: Common Stock · 34,110 shares Expires 2023-01-30 F5 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on February 10, 2014 and annually thereafter. Read SEC document |
| January 31, 2013 Filed Feb 4, 2013 21:45 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantRestricted Stock Units · Derivative | 10,974 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-002876 · doc4.xml · derivative · entry 4 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,974 Underlying: Common Stock · 10,974 shares Expires 2013-12-15 F3 · derivative.exercise_price: Each restricted stock unit will be settled in cash based on the Company's average fair market value of the underlying shares of common stock over the twenty trading days preceding the vesting date. Read SEC document |
| January 31, 2013 Filed Feb 4, 2013 21:45 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Grant2013 Restricted Stock Units · Derivative | 12,071 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-002876 · doc4.xml · derivative · entry 3 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,071 Underlying: Common Stock · 12,071 shares Expires not disclosed F3 · derivative.exercise_price: Each restricted stock unit will be settled in cash based on the Company's average fair market value of the underlying shares of common stock over the twenty trading days preceding the vesting date. F4 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on February 10, 2014 and annually thereafter. F4 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 10, 2014 and annually thereafter. Read SEC document |
| January 31, 2013 Filed Feb 4, 2013 21:45 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 18,289 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-002876 · doc4.xml · nonDerivative · entry 1 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 103,818 F1 · security: This restricted stock will vest in 1/3 increments beginning on February 10, 2014 and annually thereafter. Read SEC document |
| January 27, 2013 Filed Jan 29, 2013 22:26 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 2,718 | $56.32 | $153,077.76 |
DisclosureSEC source: 0001225208-13-002393 · doc4.xml · nonDerivative · entry 4 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,529 F3 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 27, 2010. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| January 26, 2013 Filed Jan 29, 2013 22:26 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionRestricted Stock Units · Derivative | 7,250 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-002393 · doc4.xml · derivative · entry 6 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,250 Underlying: Common Stock · 7,250 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On January 26, 2013, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. F1 · price: On January 26, 2013, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. F5 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on January 26, 2012 and annually thereafter. F5 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on January 26, 2012 and annually thereafter. Read SEC document |
| January 26, 2013 Filed Jan 29, 2013 22:26 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 7,250 | $59.86 | $433,985.00 |
DisclosureSEC source: 0001225208-13-002393 · doc4.xml · nonDerivative · entry 3 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,247 F1 · price: On January 26, 2013, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. Read SEC document |
| January 26, 2013 Filed Jan 29, 2013 22:26 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 2,318 | $56.32 | $130,549.76 |
DisclosureSEC source: 0001225208-13-002393 · doc4.xml · nonDerivative · entry 2 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,497 F2 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 26, 2011. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| January 26, 2013 Filed Jan 29, 2013 22:26 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 7,250 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-002393 · doc4.xml · nonDerivative · entry 1 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,815 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: On January 26, 2013, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. Read SEC document |
| December 15, 2012 Filed Dec 18, 2012 22:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionRestricted Stock Units · Derivative | 13,509 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001225208-12-025626 · 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 · 13,509 shares Expires 2012-12-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On December 15, 2012, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. F1 · price: On December 15, 2012, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. Read SEC document |
| December 15, 2012 Filed Dec 18, 2012 22:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 13,509 | $57.73 | $779,874.57 |
DisclosureSEC source: 0001225208-12-025626 · doc4.xml · nonDerivative · entry 2 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,565 Read SEC document |
| December 15, 2012 Filed Dec 18, 2012 22:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 13,509 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-025626 · doc4.xml · nonDerivative · entry 1 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 104,074 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: On December 15, 2012, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. 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 |
| October 19, 2012 Filed Oct 23, 2012 20:59 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 1,776 | $0.00 Strike: $56.28 | $0.00 |
DisclosureSEC source: 0001225208-12-021680 · 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 · 1,776 shares Expires 2013-12-14 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 July 26, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| October 19, 2012 Filed Oct 23, 2012 20:59 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 6,900 | $0.00 Strike: $56.28 | $0.00 |
DisclosureSEC source: 0001225208-12-021680 · doc4.xml · derivative · entry 8 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,024 Underlying: Common Stock · 6,900 shares Expires 2013-12-14 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 July 26, 2012, 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 December 15, 2004 and annually thereafter. Read SEC document |
| October 19, 2012 Filed Oct 23, 2012 20:59 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 16,370 | $0.00 Strike: $18.28 | $0.00 |
DisclosureSEC source: 0001225208-12-021680 · doc4.xml · derivative · entry 7 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,372 Underlying: Common Stock · 16,370 shares Expires 2019-01-28 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on July 26, 2012, 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 January 29, 2010 and annually thereafter. Read SEC document |
| October 19, 2012 Filed Oct 23, 2012 20:59 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 25,046 | $60.00 | $1,502,760.00 |
DisclosureSEC source: 0001225208-12-021680 · doc4.xml · nonDerivative · entry 5 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,562 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on July 26, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F3 · 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 |
| October 19, 2012 Filed Oct 23, 2012 20:59 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 17,869 | $60.00 | $1,072,140.00 |
DisclosureSEC source: 0001225208-12-021680 · doc4.xml · nonDerivative · entry 4 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 115,608 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on July 26, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: These shares were sold at prices ranging from $60 to $60.01. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| October 19, 2012 Filed Oct 23, 2012 20:59 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 1,776 | $56.28 | $99,953.28 |
DisclosureSEC source: 0001225208-12-021680 · doc4.xml · nonDerivative · entry 3 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 133,477 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 July 26, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| October 19, 2012 Filed Oct 23, 2012 20:59 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 6,900 | $56.28 | $388,332.00 |
DisclosureSEC source: 0001225208-12-021680 · doc4.xml · nonDerivative · entry 2 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 131,701 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 July 26, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| October 19, 2012 Filed Oct 23, 2012 20:59 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 16,370 | $18.28 | $299,243.60 |
DisclosureSEC source: 0001225208-12-021680 · doc4.xml · nonDerivative · entry 1 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124,801 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 July 26, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| August 27, 2012 Filed Aug 29, 2012 20:35 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 10,000 | $0.00 Strike: $18.28 | $0.00 |
DisclosureSEC source: 0001225208-12-018714 · doc4.xml · derivative · entry 4 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 92,742 Underlying: Common Stock · 10,000 shares Expires 2019-01-28 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on July 26, 2012, 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 January 29, 2010 and annually thereafter. Read SEC document |
| August 27, 2012 Filed Aug 29, 2012 20:35 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 20,386 | $56.64 | $1,154,663.04 |
DisclosureSEC source: 0001225208-12-018714 · doc4.xml · nonDerivative · entry 2 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 108,305 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on July 26, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: These shares were sold at prices ranging from $56.48 to $56.89. Information regarding the number of shares sold at each price will be provided upon request. F3 · 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 |
| August 27, 2012 Filed Aug 29, 2012 20:35 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 10,000 | $18.28 | $182,800.00 |
DisclosureSEC source: 0001225208-12-018714 · doc4.xml · nonDerivative · entry 1 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 128,691 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 July 26, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| January 31, 2012 Filed Feb 2, 2012 22:19 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantStock Options · Derivative | 37,670 | $0.00 Strike: $45.75 | $0.00 |
DisclosureSEC source: 0001225208-12-002912 · doc4.xml · derivative · entry 9 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,670 Underlying: Common Stock · 37,670 shares Expires 2022-01-30 F8 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on February 10, 2013 and annually thereafter. Read SEC document |
| January 31, 2012 Filed Feb 2, 2012 22:19 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantRestricted Stock Units · Derivative | 13,509 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-002912 · doc4.xml · derivative · entry 8 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,509 Underlying: Common Stock · 13,509 shares Expires 2012-12-15 F6 · derivative.exercise_price: Each restricted stock unit will be settled in cash based on the Company's average fair market value of the underlying shares of common stock over the twenty trading days preceding the vesting date. Read SEC document |
| January 31, 2012 Filed Feb 2, 2012 22:19 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantRestricted Stock Units · Derivative | 24,315 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-002912 · doc4.xml · derivative · entry 7 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,315 Underlying: Common Stock · 24,315 shares Expires not disclosed F6 · derivative.exercise_price: Each restricted stock unit will be settled in cash based on the Company's average fair market value of the underlying shares of common stock over the twenty trading days preceding the vesting date. F7 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on February 10, 2013 and annually thereafter. F7 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 10, 2013 and annually thereafter. Read SEC document |
| January 31, 2012 Filed Feb 2, 2012 22:19 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantPerformance Share Units · Derivative | 27,018 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-002912 · doc4.xml · derivative · entry 6 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,018 Underlying: Common Stock · 27,018 shares Expires 2015-03-15 F5 · derivative.exercise_price: These performance share units will settle at the end of a three-year performance period (January 1, 2012 to December 31, 2014) based on the Company's relative Adjusted ROA against a peer group of companies. The number of shares reported represents 200% of the target amount. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement. F5 · derivative.exercise_date: These performance share units will settle at the end of a three-year performance period (January 1, 2012 to December 31, 2014) based on the Company's relative Adjusted ROA against a peer group of companies. The number of shares reported represents 200% of the target amount. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement. Read SEC document |
| January 31, 2012 Filed Feb 2, 2012 22:19 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2009 Performance Share Units · Derivative | 31,400 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-002912 · 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 · 31,400 shares Expires 2012-03-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: These performance share units for the January 29, 2009 grant were settled at the end of a three-year performance period based on the Company's total shareholder return as compared to the total shareholder return of a peer group of companies. F4 · derivative.exercise_date: These performance share units for the January 29, 2009 grant were settled at the end of a three-year performance period based on the Company's total shareholder return as compared to the total shareholder return of a peer group of companies. Read SEC document |
| January 31, 2012 Filed Feb 2, 2012 22:19 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 13,251 | $45.75 | $606,233.25 |
DisclosureSEC source: 0001225208-12-002912 · doc4.xml · nonDerivative · entry 3 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 117,140 F3 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares for the January 29, 2009 grant. This is authorized in the performance share award agreement. Read SEC document |
| January 31, 2012 Filed Feb 2, 2012 22:19 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 22,514 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-002912 · doc4.xml · nonDerivative · entry 2 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 130,391 F2 · security: This restricted stock will vest in 1/3 increments beginning on February 10, 2013 and annually thereafter. Read SEC document |
| January 31, 2012 Filed Feb 2, 2012 22:19 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 31,400 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-002912 · doc4.xml · nonDerivative · entry 1 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 107,877 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 29, 2009 grant were settled at the end of a three-year performance period based on the Company's total shareholder return as compared to the total shareholder return of a peer group of companies. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant. Read SEC document |
| January 29, 2012 Filed Jan 31, 2012 00:59 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 14,149 | $46.05 | $651,561.45 |
DisclosureSEC source: 0001225208-12-002536 · doc4.xml · nonDerivative · entry 5 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 76,477 F4 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 29, 2009. This is authorized in the applicable restricted stock award agreement. F5 · 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 27, 2012 Filed Jan 31, 2012 00:59 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 2,700 | $46.05 | $124,335.00 |
DisclosureSEC source: 0001225208-12-002536 · doc4.xml · nonDerivative · entry 4 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,626 F3 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 27, 2010. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| January 26, 2012 Filed Jan 31, 2012 00:59 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionRestricted Stock Units · Derivative | 7,249 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-002536 · doc4.xml · derivative · entry 7 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,500 Underlying: Common Stock · 7,249 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On January 26, 2012, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. F1 · price: On January 26, 2012, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. F7 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on January 26, 2012 and annually thereafter. F7 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on January 26, 2012 and annually thereafter. Read SEC document |
| January 26, 2012 Filed Jan 31, 2012 00:59 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 7,249 | $45.81 | $332,076.69 |
DisclosureSEC source: 0001225208-12-002536 · doc4.xml · nonDerivative · entry 3 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,326 Read SEC document |
| January 26, 2012 Filed Jan 31, 2012 00:59 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 2,224 | $45.61 | $101,436.64 |
DisclosureSEC source: 0001225208-12-002536 · doc4.xml · nonDerivative · entry 2 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,575 F2 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 26, 2011. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| January 26, 2012 Filed Jan 31, 2012 00:59 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 7,249 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-002536 · doc4.xml · nonDerivative · entry 1 Berson Jory A · CIK 0001365632 · Chief Human Resources Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102,799 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: On January 26, 2012, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. Read SEC document |
| December 15, 2011 Filed Dec 19, 2011 22:03 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionRestricted Stock Units · Derivative | 16,426 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001225208-11-026605 · 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 · 16,426 shares Expires 2011-12-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On December 15, 2011, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. F1 · price: On December 15, 2011, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.