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 | 53,016 |
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 5,999 · Balance 53,016 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. |
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.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| February 03, 2022 Filed Feb 7, 2022 21:33 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 5,999 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-22-000051 · wf-form4_164426958680936.xml · nonDerivative · entry 1 FINNERAN JOHN G JR · CIK 0001238033 · Former Corp Secy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,016 F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2023 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock. Read SEC document |
| September 23, 2021 Filed Sep 27, 2021 20:06 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 10,000 | $167.03 | $1,670,300.00 |
DisclosureSEC source: 0000927628-21-000280 · wf-form4_163277316570703.xml · nonDerivative · entry 2 FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,017 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on July 30, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $167.00 to $167.13. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| September 23, 2021 Filed Sep 27, 2021 20:06 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 10,000 | $163.70 | $1,637,000.00 |
DisclosureSEC source: 0000927628-21-000280 · wf-form4_163277316570703.xml · nonDerivative · entry 1 FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,017 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on July 30, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $163.50 to $163.95. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| March 11, 2021 Filed Mar 15, 2021 21:20 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 5,960 | $132.10 | $787,316.00 |
DisclosureSEC source: 0000927628-21-000140 · wf-form4_161584323115673.xml · nonDerivative · entry 2 FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,017 F2 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement. Read SEC document |
| March 11, 2021 Filed Mar 15, 2021 21:20 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 15,144 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-21-000140 · wf-form4_161584323115673.xml · nonDerivative · entry 1 FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,977 F1 · security: These shares were earned pursuant to an award of performance shares granted on February 1, 2018 based on the Company's Common Dividends + Growth of Tangible Book Value per Share and Adjusted ROTCE against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant. Read SEC document |
| March 08, 2021 Filed Mar 10, 2021 22:11 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 9,710 | $130.19 | $1,264,144.90 |
DisclosureSEC source: 0000927628-21-000118 · wf-form4_161541428795203.xml · nonDerivative · entry 3 FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy 10b5-1 filing: Not disclosed Ownership: Indirect · By July 2020 GRAT Disclosed balance after: 0 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person, as trustee for a grantor retained annuity trust, on February 5, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $129.93 to $130.59. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| March 08, 2021 Filed Mar 10, 2021 22:11 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 24,275 | $129.36 | $3,140,214.00 |
DisclosureSEC source: 0000927628-21-000118 · wf-form4_161541428795203.xml · nonDerivative · entry 2 FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy 10b5-1 filing: Not disclosed Ownership: Indirect · By July 2020 GRAT Disclosed balance after: 9,710 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person, as trustee for a grantor retained annuity trust, on February 5, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $128.93 to $129.91. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| March 08, 2021 Filed Mar 10, 2021 22:11 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 11,542 | $128.57 | $1,483,954.94 |
DisclosureSEC source: 0000927628-21-000118 · wf-form4_161541428795203.xml · nonDerivative · entry 1 FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy 10b5-1 filing: Not disclosed Ownership: Indirect · By July 2020 GRAT Disclosed balance after: 33,985 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person, as trustee for a grantor retained annuity trust, on February 5, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $127.93 to $128.92. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| February 15, 2021 Filed Feb 17, 2021 21:28 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2018 Restricted Stock Units · Derivative | 2,399 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-21-000065 · wf-form4_161359728747607.xml · derivative · entry 7 FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,399 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On February 15, 2021, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F1 · price: On February 15, 2021, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F5 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2019 and annually thereafter. F5 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2019 and annually thereafter. Read SEC document |
| February 15, 2021 Filed Feb 17, 2021 21:28 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,109 | $117.75 | $130,584.75 |
DisclosureSEC source: 0000927628-21-000065 · wf-form4_161359728747607.xml · nonDerivative · entry 5 FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,833 F4 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 30, 2020. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2021 Filed Feb 17, 2021 21:28 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 2,201 | $117.75 | $259,167.75 |
DisclosureSEC source: 0000927628-21-000065 · wf-form4_161359728747607.xml · nonDerivative · entry 4 FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,942 F3 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 31, 2019. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2021 Filed Feb 17, 2021 21:28 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,645 | $117.75 | $193,698.75 |
DisclosureSEC source: 0000927628-21-000065 · wf-form4_161359728747607.xml · nonDerivative · entry 3 FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,143 F2 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on February 1, 2018. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2021 Filed Feb 17, 2021 21:28 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 2,399 | $109.60 | $262,930.40 |
DisclosureSEC source: 0000927628-21-000065 · wf-form4_161359728747607.xml · nonDerivative · entry 2 FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,788 F1 · price: On February 15, 2021, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
| February 15, 2021 Filed Feb 17, 2021 21:28 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 2,399 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-21-000065 · wf-form4_161359728747607.xml · nonDerivative · entry 1 FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,187 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: On February 15, 2021, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
| February 04, 2021 Filed Feb 8, 2021 22:10 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 7,896 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-21-000044 · wf-form4_161282219753237.xml · nonDerivative · entry 1 FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,788 F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2022 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock. F2 · balance_after: On August 12, 2020, the reporting person contributed 45,527 shares of Capital One common stock previously owned directly to a grantor retained annuity trust. Read SEC document |
| October 30, 2020 Filed Nov 3, 2020 21:06 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GiftStock Options · Derivative | 23,738 | $0.00 Strike: $86.34 | $0.00 |
DisclosureSEC source: 0000927628-20-000293 · wf-form4_160443756276197.xml · derivative · entry 5 FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 23,738 shares Expires 2027-02-02 F1 · security: On October 30, 2020, the reporting person transferred these stock options as a gift to Catherine A. Cotter, as Trustee of the John G. Finneran, Jr. 2020 Irrevocable Trust dated October 19, 2020. F6 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on February 15, 2018 and annually thereafter. Read SEC document |
| October 30, 2020 Filed Nov 3, 2020 21:06 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GiftStock Options · Derivative | 30,246 | $0.00 Strike: $63.73 | $0.00 |
DisclosureSEC source: 0000927628-20-000293 · wf-form4_160443756276197.xml · derivative · entry 4 FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 30,246 shares Expires 2026-02-03 F1 · security: On October 30, 2020, the reporting person transferred these stock options as a gift to Catherine A. Cotter, as Trustee of the John G. Finneran, Jr. 2020 Irrevocable Trust dated October 19, 2020. F5 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on February 15, 2017 and annually thereafter. Read SEC document |
| October 30, 2020 Filed Nov 3, 2020 21:06 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GiftStock Options · Derivative | 31,660 | $0.00 Strike: $74.96 | $0.00 |
DisclosureSEC source: 0000927628-20-000293 · wf-form4_160443756276197.xml · derivative · entry 3 FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 31,660 shares Expires 2025-01-28 F1 · security: On October 30, 2020, the reporting person transferred these stock options as a gift to Catherine A. Cotter, as Trustee of the John G. Finneran, Jr. 2020 Irrevocable Trust dated October 19, 2020. F4 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on February 15, 2016 and annually thereafter. Read SEC document |
| October 30, 2020 Filed Nov 3, 2020 21:06 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GiftStock Options · Derivative | 29,783 | $0.00 Strike: $70.96 | $0.00 |
DisclosureSEC source: 0000927628-20-000293 · wf-form4_160443756276197.xml · derivative · entry 2 FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 29,783 shares Expires 2024-01-29 F1 · security: On October 30, 2020, the reporting person transferred these stock options as a gift to Catherine A. Cotter, as Trustee of the John G. Finneran, Jr. 2020 Irrevocable Trust dated October 19, 2020. F3 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on February 15, 2015 and annually thereafter. Read SEC document |
| October 30, 2020 Filed Nov 3, 2020 21:06 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GiftStock Options · Derivative | 34,611 | $0.00 Strike: $56.32 | $0.00 |
DisclosureSEC source: 0000927628-20-000293 · wf-form4_160443756276197.xml · derivative · entry 1 FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 34,611 shares Expires 2023-01-30 F1 · security: On October 30, 2020, the reporting person transferred these stock options as a gift to Catherine A. Cotter, as Trustee of the John G. Finneran, Jr. 2020 Irrevocable Trust dated October 19, 2020. F2 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on February 10, 2014 and annually thereafter. Read SEC document |
| August 10, 2020 Filed Aug 12, 2020 20:07 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | OtherCommon Stock | 45,527 | $66.97 | $3,048,943.19 |
DisclosureSEC source: 0000927628-20-000244 · wf-form4_159726283711204.xml · nonDerivative · entry 1 FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,419 F1 · kind: Reflects a substitution of cash and assets for shares previously held by the reporting person's 2020 GRAT, in accordance with the asset substitution provisions of that trust. Read SEC document |
| March 05, 2020 Filed Mar 9, 2020 20:14 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 6,791 | $85.08 | $577,778.28 |
DisclosureSEC source: 0000927628-20-000145 · wf-form4_158378485149180.xml · nonDerivative · entry 2 FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,892 F2 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement. Read SEC document |
| March 05, 2020 Filed Mar 9, 2020 20:14 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 14,060 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000145 · wf-form4_158378485149180.xml · nonDerivative · entry 1 FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,683 F1 · security: These shares were earned pursuant to an award of performance shares granted on February 2, 2017 based on the Company's Adjusted ROA against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant. Read SEC document |
| February 15, 2020 Filed Feb 20, 2020 00:24 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2018 Restricted Stock Units · Derivative | 2,399 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000084 · wf-form4_158215826535212.xml · derivative · entry 10 FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,399 Underlying: Common Stock · 2,399 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On February 15, 2020, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F1 · price: On February 15, 2020, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F7 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2019 and annually thereafter. F7 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2019 and annually thereafter. Read SEC document |
| February 15, 2020 Filed Feb 20, 2020 00:24 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2017 Restricted Stock Units · Derivative | 2,852 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000084 · wf-form4_158215826535212.xml · derivative · entry 9 FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,852 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On February 15, 2020, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F1 · price: On February 15, 2020, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F6 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2018 and annually thereafter. F6 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2018 and annually thereafter. Read SEC document |
| February 15, 2020 Filed Feb 20, 2020 00:24 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 2,700 | $102.64 | $277,128.00 |
DisclosureSEC source: 0000927628-20-000084 · wf-form4_158215826535212.xml · nonDerivative · entry 7 FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 47,623 F5 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 31, 2019. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2020 Filed Feb 20, 2020 00:24 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 2,018 | $102.64 | $207,127.52 |
DisclosureSEC source: 0000927628-20-000084 · wf-form4_158215826535212.xml · nonDerivative · entry 6 FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,323 F4 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on February 1, 2018. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2020 Filed Feb 20, 2020 00:24 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 2,377 | $102.64 | $243,975.28 |
DisclosureSEC source: 0000927628-20-000084 · wf-form4_158215826535212.xml · nonDerivative · entry 5 FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,341 F3 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on February 2, 2017. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2020 Filed Feb 20, 2020 00:24 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 2,399 | $102.03 | $244,769.97 |
DisclosureSEC source: 0000927628-20-000084 · wf-form4_158215826535212.xml · nonDerivative · entry 4 FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,718 F1 · price: On February 15, 2020, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
| February 15, 2020 Filed Feb 20, 2020 00:24 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 2,852 | $102.03 | $290,989.56 |
DisclosureSEC source: 0000927628-20-000084 · wf-form4_158215826535212.xml · nonDerivative · entry 3 FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,117 F1 · price: On February 15, 2020, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
| February 15, 2020 Filed Feb 20, 2020 00:24 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 2,399 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000084 · wf-form4_158215826535212.xml · nonDerivative · entry 2 FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,969 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: On February 15, 2020, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
| February 15, 2020 Filed Feb 20, 2020 00:24 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 2,852 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000084 · wf-form4_158215826535212.xml · nonDerivative · entry 1 FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,570 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: On February 15, 2020, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F2 · balance_after: On February 3, 2020, the reporting person contributed 45,527 shares previously owned directly to a grantor retained annuity trust. Read SEC document |
| January 30, 2020 Filed Feb 3, 2020 21:58 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 8,453 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000051 · wf-form4_158076706819711.xml · nonDerivative · entry 1 FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,245 F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2021 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock. Read SEC document |
| November 22, 2019 Filed Nov 26, 2019 21:08 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 3,607 | $98.02 | $353,558.14 |
DisclosureSEC source: 0000927628-19-000332 · wf-form4_157480252106588.xml · nonDerivative · entry 1 FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 91,792 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 10, 2019, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $98.00 to $98.07. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| November 18, 2019 Filed Nov 20, 2019 21:18 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 7,213 | $97.16 | $700,815.08 |
DisclosureSEC source: 0000927628-19-000330 · wf-form4_157428472124569.xml · nonDerivative · entry 1 FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,399 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 10, 2019, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $96.85 to $97.43. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| November 07, 2019 Filed Nov 12, 2019 21:08 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 10,818 | $98.23 | $1,062,652.14 |
DisclosureSEC source: 0000927628-19-000323 · wf-form4_157359289178875.xml · nonDerivative · entry 1 FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102,612 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 10, 2019, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $98.00 to $98.46. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| November 05, 2019 Filed Nov 6, 2019 21:07 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 22,679 | $0.00 Strike: $45.75 | $0.00 |
DisclosureSEC source: 0000927628-19-000321 · wf-form4_157307442290865.xml · derivative · entry 8 FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 22,679 shares Expires 2022-01-30 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 8, 2019, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F6 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on February 10, 2013 and annually thereafter. Read SEC document |
| November 05, 2019 Filed Nov 6, 2019 21:07 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 10,821 | $97.08 | $1,050,502.68 |
DisclosureSEC source: 0000927628-19-000321 · wf-form4_157307442290865.xml · nonDerivative · entry 6 FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 113,430 F3 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 10, 2019, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $97.00 to $97.24. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| November 05, 2019 Filed Nov 6, 2019 21:07 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 18,740 | $96.80 | $1,814,032.00 |
DisclosureSEC source: 0000927628-19-000321 · wf-form4_157307442290865.xml · nonDerivative · entry 5 FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124,251 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 8, 2019, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| November 05, 2019 Filed Nov 6, 2019 21:07 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 22,679 | $45.75 | $1,037,564.25 |
DisclosureSEC source: 0000927628-19-000321 · wf-form4_157307442290865.xml · nonDerivative · entry 4 FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 142,991 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 8, 2019, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| November 04, 2019 Filed Nov 6, 2019 21:07 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 20,000 | $0.00 Strike: $45.75 | $0.00 |
DisclosureSEC source: 0000927628-19-000321 · wf-form4_157307442290865.xml · derivative · entry 7 FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,679 Underlying: Common Stock · 20,000 shares Expires 2022-01-30 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 8, 2019, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F6 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on February 10, 2013 and annually thereafter. Read SEC document |
| November 04, 2019 Filed Nov 6, 2019 21:07 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 10,818 | $96.01 | $1,038,636.18 |
DisclosureSEC source: 0000927628-19-000321 · wf-form4_157307442290865.xml · nonDerivative · entry 3 FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 120,312 F3 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 10, 2019, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $96.00 to $96.08. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| November 04, 2019 Filed Nov 6, 2019 21:07 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 16,560 | $95.81 | $1,586,613.60 |
DisclosureSEC source: 0000927628-19-000321 · wf-form4_157307442290865.xml · nonDerivative · entry 2 FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 131,130 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 8, 2019, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $95.80 to $95.81. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| November 04, 2019 Filed Nov 6, 2019 21:07 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 20,000 | $45.75 | $915,000.00 |
DisclosureSEC source: 0000927628-19-000321 · wf-form4_157307442290865.xml · nonDerivative · entry 1 FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 147,690 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 8, 2019, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| March 07, 2019 Filed Mar 11, 2019 20:09 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 8,971 | $81.28 | $729,162.88 |
DisclosureSEC source: 0000927628-19-000134 · wf-form4_155233497787202.xml · nonDerivative · entry 2 FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 127,690 F2 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement. Read SEC document |
| March 07, 2019 Filed Mar 11, 2019 20:09 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 18,573 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-19-000134 · wf-form4_155233497787202.xml · nonDerivative · entry 1 FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 136,661 F1 · security: These shares were earned pursuant to an award of performance shares granted on February 4, 2016 based on the Company's Adjusted ROA against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 21:52 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2018 Restricted Stock Units · Derivative | 2,399 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-19-000106 · wf-form4_155069951703427.xml · derivative · entry 12 FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,798 Underlying: Common Stock · 2,399 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On February 15, 2019, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F1 · price: On February 15, 2019, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F7 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2019 and annually thereafter. F7 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2019 and annually thereafter. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 21:52 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2017 Restricted Stock Units · Derivative | 2,852 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-19-000106 · wf-form4_155069951703427.xml · derivative · entry 11 FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,852 Underlying: Common Stock · 2,852 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On February 15, 2019, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F1 · price: On February 15, 2019, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F6 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2018 and annually thereafter. F6 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2018 and annually thereafter. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 21:52 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2016 Restricted Stock Units · Derivative | 3,754 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-19-000106 · wf-form4_155069951703427.xml · derivative · entry 10 FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,754 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On February 15, 2019, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F1 · price: On February 15, 2019, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F5 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2017 and annually thereafter. F5 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2017 and annually thereafter. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 21:52 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 2,016 | $81.57 | $164,445.12 |
DisclosureSEC source: 0000927628-19-000106 · wf-form4_155069951703427.xml · nonDerivative · entry 9 FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 118,088 F4 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on February 1, 2018. This is authorized in the applicable restricted stock award agreement. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.