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 |
|---|---|---|---|---|---|---|
| December 06, 2013 Filed Dec 9, 2013 21:48 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 51,348 | $0.00 Strike: $18.28 | $0.00 |
DisclosureSEC source: 0001225208-13-025063 · doc4.xml · derivative · entry 5 FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,108 Underlying: Common Stock · 51,348 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 August 1, 2013 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on January 29, 2010 and annually thereafter. Read SEC document |
| December 06, 2013 Filed Dec 9, 2013 21:48 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 51,348 | $73.00 | $3,748,404.00 |
DisclosureSEC source: 0001225208-13-025063 · doc4.xml · nonDerivative · entry 2 FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,436 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 1, 2013 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| December 06, 2013 Filed Dec 9, 2013 21:48 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 51,348 | $18.28 | $938,641.44 |
DisclosureSEC source: 0001225208-13-025063 · doc4.xml · nonDerivative · entry 1 FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 161,784 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 August 1, 2013 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| December 02, 2013 Filed Dec 4, 2013 21:45 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 20,758 | $0.00 Strike: $18.28 | $0.00 |
DisclosureSEC source: 0001225208-13-024738 · doc4.xml · derivative · entry 5 FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 123,456 Underlying: Common Stock · 20,758 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 August 1, 2013 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on January 29, 2010 and annually thereafter. Read SEC document |
| December 02, 2013 Filed Dec 4, 2013 21:45 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 20,758 | $73.00 | $1,515,334.00 |
DisclosureSEC source: 0001225208-13-024738 · doc4.xml · nonDerivative · entry 2 FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,436 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 1, 2013 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| December 02, 2013 Filed Dec 4, 2013 21:45 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 20,758 | $18.28 | $379,456.24 |
DisclosureSEC source: 0001225208-13-024738 · doc4.xml · nonDerivative · entry 1 FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 131,194 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 August 1, 2013 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| August 01, 2013 Filed Aug 5, 2013 20:40 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 43,224 | $0.00 Strike: $56.28 | $0.00 |
DisclosureSEC source: 0001225208-13-017298 · doc4.xml · derivative · entry 5 FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 43,224 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 November 6, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F3 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on December 15, 2004 and annually thereafter. Read SEC document |
| August 01, 2013 Filed Aug 5, 2013 20:40 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 43,224 | $69.21 | $2,991,533.04 |
DisclosureSEC source: 0001225208-13-017298 · doc4.xml · nonDerivative · entry 2 FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,436 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 6, 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 $69.02 to $69.49. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| August 01, 2013 Filed Aug 5, 2013 20:40 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 43,224 | $56.28 | $2,432,646.72 |
DisclosureSEC source: 0001225208-13-017298 · doc4.xml · nonDerivative · entry 1 FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 153,660 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 6, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| July 31, 2013 Filed Aug 1, 2013 20:36 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 21,650 | $69.50 | $1,504,675.00 |
DisclosureSEC source: 0001225208-13-017066 · doc4.xml · nonDerivative · entry 2 FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Indirect · Finneran/Cotter Children's Trust Disclosed balance after: 41,683 Read SEC document |
| July 30, 2013 Filed Aug 1, 2013 20:36 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 20,000 | $69.00 | $1,380,000.00 |
DisclosureSEC source: 0001225208-13-017066 · doc4.xml · nonDerivative · entry 1 FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Indirect · Finneran/Cotter Children's Trust Disclosed balance after: 63,333 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 | 8,872 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-003863 · doc4.xml · derivative · entry 6 FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,745 Underlying: Common Stock · 8,872 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. F3 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2013 and annually thereafter. F3 · 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 | 8,872 | $57.87 | $513,422.64 |
DisclosureSEC source: 0001225208-13-003863 · doc4.xml · nonDerivative · entry 3 FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,436 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 | 3,472 | $57.27 | $198,841.44 |
DisclosureSEC source: 0001225208-13-003863 · doc4.xml · nonDerivative · entry 2 FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 119,308 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, 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 | 8,872 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-003863 · doc4.xml · nonDerivative · entry 1 FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 122,780 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. Read SEC document |
| January 31, 2013 Filed Feb 4, 2013 21:39 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantStock Options · Derivative | 34,611 | $0.00 Strike: $56.32 | $0.00 |
DisclosureSEC source: 0001225208-13-002867 · doc4.xml · derivative · entry 6 FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,611 Underlying: Common Stock · 34,611 shares Expires 2023-01-30 F4 · 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 21:39 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantRestricted Stock Units · Derivative | 12,749 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-002867 · doc4.xml · derivative · entry 5 FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,749 Underlying: Common Stock · 12,749 shares Expires 2013-12-15 F2 · 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 21:39 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Grant2013 Restricted Stock Units · Derivative | 13,609 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-002867 · doc4.xml · derivative · entry 4 FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,609 Underlying: Common Stock · 13,609 shares Expires not disclosed F2 · 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. F3 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on February 10, 2014 and annually thereafter. F3 · 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 21:39 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 20,619 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-002867 · doc4.xml · nonDerivative · entry 1 FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 113,908 F1 · security: This restricted stock will vest in 1/3 increments beginning on February 10, 2014 and annually thereafter. 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 | 7,938 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-002392 · doc4.xml · derivative · entry 5 FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,939 Underlying: Common Stock · 7,938 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. F3 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on January 26, 2012 and annually thereafter. F3 · 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 | 7,938 | $59.86 | $475,168.68 |
DisclosureSEC source: 0001225208-13-002392 · doc4.xml · nonDerivative · entry 2 FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,289 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 | Exercise / conversionCommon Stock | 7,938 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-002392 · doc4.xml · nonDerivative · entry 1 FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,227 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. F2 · balance_after: This number was adjusted by subtracting one share to correct an over-reporting of the number of securities beneficially owned. 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 | 15,230 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001225208-12-025625 · doc4.xml · derivative · entry 5 FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,230 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 | 15,230 | $57.73 | $879,227.90 |
DisclosureSEC source: 0001225208-12-025625 · doc4.xml · nonDerivative · entry 2 FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,290 Read SEC document |
| December 15, 2012 Filed Dec 18, 2012 22:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 15,230 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-025625 · doc4.xml · nonDerivative · entry 1 FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 108,520 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. Read SEC document |
| October 23, 2012 Filed Dec 18, 2012 22:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GiftCommon Stock | 83,333 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-025625 · doc4.xml · nonDerivative · entry 4 FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Indirect · Finneran/Cotter Children's Trust Disclosed balance after: 83,333 Read SEC document |
| October 23, 2012 Filed Dec 18, 2012 22:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GiftCommon Stock | 83,333 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-025625 · doc4.xml · nonDerivative · entry 3 FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 7,302 Read SEC document |
| August 14, 2012 Filed Aug 16, 2012 20:28 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 90,635 | $55.10 | $4,993,988.50 |
DisclosureSEC source: 0001225208-12-017972 · doc4.xml · nonDerivative · entry 5 FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Indirect · Catherine A. Cotter 2012 Trust Disclosed balance after: 0 Read SEC document |
| July 31, 2012 Filed Aug 16, 2012 20:28 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GiftCommon Stock | 90,635 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-017972 · doc4.xml · nonDerivative · entry 4 FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Indirect · Catherine A. Cotter 2012 Trust Disclosed balance after: 90,635 F2 · shares: These shares were contributed to the Catherine A. Cotter 2012 Trust of which the reporting person's spouse is a trustee. Read SEC document |
| July 31, 2012 Filed Aug 16, 2012 20:28 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GiftCommon Stock | 90,635 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-017972 · doc4.xml · nonDerivative · entry 3 FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Indirect · By Spouse Disclosed balance after: 90,635 F1 · shares: These shares were gifted to the reporting person's spouse. Read SEC document |
| July 31, 2012 Filed Aug 16, 2012 20:28 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GiftCommon Stock | 90,635 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-017972 · doc4.xml · nonDerivative · entry 2 FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,290 Read SEC document |
| July 31, 2012 Filed Aug 16, 2012 20:28 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GiftCommon Stock | 90,635 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-017972 · doc4.xml · nonDerivative · entry 1 FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 183,925 Read SEC document |
| January 31, 2012 Filed Feb 2, 2012 22:19 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantStock Options · Derivative | 42,679 | $0.00 Strike: $45.75 | $0.00 |
DisclosureSEC source: 0001225208-12-002907 · doc4.xml · derivative · entry 8 FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,679 Underlying: Common Stock · 42,679 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 | 15,230 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-002907 · doc4.xml · derivative · entry 7 FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,230 Underlying: Common Stock · 15,230 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 | 26,617 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-002907 · doc4.xml · derivative · entry 6 FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,617 Underlying: Common Stock · 26,617 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 | 34,010 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-002907 · doc4.xml · derivative · entry 5 FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,010 Underlying: Common Stock · 34,010 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 | 32,939 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-002907 · doc4.xml · derivative · entry 4 FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 32,939 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 | 14,872 | $45.75 | $680,394.00 |
DisclosureSEC source: 0001225208-12-002907 · doc4.xml · nonDerivative · entry 3 FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 274,560 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 | 28,342 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-002907 · doc4.xml · nonDerivative · entry 2 FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 289,432 F2 · security: These 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 | 32,939 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-002907 · doc4.xml · nonDerivative · entry 1 FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 261,090 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 26, 2012 Filed Jan 31, 2012 00:59 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionRestricted Stock Units · Derivative | 7,938 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-002534 · doc4.xml · derivative · entry 3 FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,877 Underlying: Common Stock · 7,938 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. F2 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on January 26, 2012 and annually thereafter. F2 · 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 | 7,938 | $45.81 | $363,639.78 |
DisclosureSEC source: 0001225208-12-002534 · doc4.xml · nonDerivative · entry 2 FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 228,151 Read SEC document |
| January 26, 2012 Filed Jan 31, 2012 00:59 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 7,938 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-002534 · doc4.xml · nonDerivative · entry 1 FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 236,089 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 | 18,155 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001225208-11-026607 · doc4.xml · derivative · entry 3 FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 18,155 shares Expires 2011-12-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On December 15, 2011, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. F1 · price: On December 15, 2011, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. Read SEC document |
| December 15, 2011 Filed Dec 19, 2011 22:03 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 18,155 | $43.41 | $788,108.55 |
DisclosureSEC source: 0001225208-11-026607 · doc4.xml · nonDerivative · entry 2 FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 228,151 Read SEC document |
| December 15, 2011 Filed Dec 19, 2011 22:03 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 18,155 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-11-026607 · doc4.xml · nonDerivative · entry 1 FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 246,306 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: On December 15, 2011, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. Read SEC document |
| January 26, 2011 Filed Jan 28, 2011 22:14 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantStock Options · Derivative | 56,624 | $0.00 Strike: $48.28 | $0.00 |
DisclosureSEC source: 0001225208-11-004169 · doc4.xml · derivative · entry 10 FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,624 Underlying: Common Stock · 56,624 shares Expires 2021-01-25 F10 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on January 26, 2012 and annually thereafter. Read SEC document |
| January 26, 2011 Filed Jan 28, 2011 22:14 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantRestricted Stock Units · Derivative | 18,155 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-11-004169 · doc4.xml · derivative · entry 9 FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,155 Underlying: Common Stock · 18,155 shares Expires 2011-12-15 F8 · 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 26, 2011 Filed Jan 28, 2011 22:14 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantRestricted Stock Units · Derivative | 23,815 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-11-004169 · doc4.xml · derivative · entry 8 FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,815 Underlying: Common Stock · 23,815 shares Expires not disclosed F8 · 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. F9 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on January 26, 2012 and annually thereafter. F9 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on January 26, 2012 and annually thereafter. Read SEC document |
| January 26, 2011 Filed Jan 28, 2011 22:14 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantPerformance Share Units · Derivative | 14,516 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-11-004169 · doc4.xml · derivative · entry 7 FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,516 Underlying: Common Stock · 14,516 shares Expires not disclosed F7 · derivative.exercise_price: These performance shares are settled at the end of a three-year performance period (January 1, 2011 to December 31, 2013) based on the Company's relative and absolute cash return on average tangible assets against a peer group of companies. The number of shares reported represents 200% of the target award amount. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement. F7 · derivative.exercise_date: These performance shares are settled at the end of a three-year performance period (January 1, 2011 to December 31, 2013) based on the Company's relative and absolute cash return on average tangible assets against a peer group of companies. The number of shares reported represents 200% of the target award amount. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement. F7 · derivative.expiration_date: These performance shares are settled at the end of a three-year performance period (January 1, 2011 to December 31, 2013) based on the Company's relative and absolute cash return on average tangible assets against a peer group of companies. The number of shares reported represents 200% of the target award amount. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement. 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.