Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CAPITAL ONE FINANCIAL CORPCOF · Entity 547 | Pres,Small Bus, Intl & Walmart | March 05, 2020 | March 09, 2020 |
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.
CAPITAL ONE FINANCIAL CORP
Report date March 05, 2020 · Filed March 09, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 38,130 |
Reported balance
After 2020-03-05 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2020-03-05 · Grant · Acquired 4,293 · Balance 38,130 F1: 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. |
| Common StockSEC Table I · non-derivative | Direct | 36,056 |
Reported balance
After 2020-03-05 transaction · row 2
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 2 · 2020-03-05 · Tax withholding · Disposed 2,074 · Balance 36,056 F2: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: These shares were earned pursuant to an award of performance shares granted on February 2, 2017 based on the Company's Adjusted ROA against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant.
F2: 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.
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 |
|---|---|---|---|---|---|---|
| March 05, 2020 Filed Mar 9, 2020 20:14 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 2,074 | $85.08 | $176,455.92 |
DisclosureSEC source: 0000927628-20-000144 · wf-form4_158378482946092.xml · nonDerivative · entry 2 Newkirk Christopher T · CIK 0001691711 · Pres,Small Bus, Intl & Walmart 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,056 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 | 4,293 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000144 · wf-form4_158378482946092.xml · nonDerivative · entry 1 Newkirk Christopher T · CIK 0001691711 · Pres,Small Bus, Intl & Walmart 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,130 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 00:28 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2018 Restricted Stock Units · Derivative | 1,378 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000093 · wf-form4_158215846842395.xml · derivative · entry 9 Newkirk Christopher T · CIK 0001691711 · Pres,Small Bus, Intl & Walmart 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,379 Underlying: Common Stock · 1,378 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, 2019 and annually thereafter. F6 · 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 00:28 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2017 Restricted Stock Units · Derivative | 1,254 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000093 · wf-form4_158215846842395.xml · derivative · entry 8 Newkirk Christopher T · CIK 0001691711 · Pres,Small Bus, Intl & Walmart 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,254 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. F5 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2018 and annually thereafter. F5 · 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 00:28 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,813 | $102.64 | $186,086.32 |
DisclosureSEC source: 0000927628-20-000093 · wf-form4_158215846842395.xml · nonDerivative · entry 7 Newkirk Christopher T · CIK 0001691711 · Pres,Small Bus, Intl & Walmart 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,837 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 31, 2019. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2020 Filed Feb 20, 2020 00:28 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,153 | $102.64 | $118,343.92 |
DisclosureSEC source: 0000927628-20-000093 · wf-form4_158215846842395.xml · nonDerivative · entry 6 Newkirk Christopher T · CIK 0001691711 · Pres,Small Bus, Intl & Walmart 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,650 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 1, 2018. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2020 Filed Feb 20, 2020 00:28 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,307 | $102.64 | $134,150.48 |
DisclosureSEC source: 0000927628-20-000093 · wf-form4_158215846842395.xml · nonDerivative · entry 5 Newkirk Christopher T · CIK 0001691711 · Pres,Small Bus, Intl & Walmart 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,803 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 2, 2017. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2020 Filed Feb 20, 2020 00:28 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 1,378 | $102.03 | $140,597.34 |
DisclosureSEC source: 0000927628-20-000093 · wf-form4_158215846842395.xml · nonDerivative · entry 4 Newkirk Christopher T · CIK 0001691711 · Pres,Small Bus, Intl & Walmart 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,110 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 00:28 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 1,254 | $102.03 | $127,945.62 |
DisclosureSEC source: 0000927628-20-000093 · wf-form4_158215846842395.xml · nonDerivative · entry 3 Newkirk Christopher T · CIK 0001691711 · Pres,Small Bus, Intl & Walmart 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,488 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 00:28 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 1,378 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000093 · wf-form4_158215846842395.xml · nonDerivative · entry 2 Newkirk Christopher T · CIK 0001691711 · Pres,Small Bus, Intl & Walmart 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,742 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 00:28 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 1,254 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000093 · wf-form4_158215846842395.xml · nonDerivative · entry 1 Newkirk Christopher T · CIK 0001691711 · Pres,Small Bus, Intl & Walmart 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,364 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 |
| January 30, 2020 Filed Feb 3, 2020 21:55 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 9,054 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-20-000043 · wf-form4_158076688537947.xml · nonDerivative · entry 1 Newkirk Christopher T · CIK 0001691711 · Pres,Small Bus, Intl & Walmart 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,110 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 29, 2019 Filed Dec 3, 2019 21:10 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 5,975 | $99.85 | $596,603.75 |
DisclosureSEC source: 0000927628-19-000341 · wf-form4_157540742587298.xml · nonDerivative · entry 1 Newkirk Christopher T · CIK 0001691711 · Pres,Intl, Small Bus & Walmart 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,056 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on October 29, 2019, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $99.55 to $100.14. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| June 19, 2019 Filed Jun 21, 2019 20:10 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 5,715 | $92.00 | $525,780.00 |
DisclosureSEC source: 0000927628-19-000231 · wf-form4_156114779605698.xml · nonDerivative · entry 1 Newkirk Christopher T · CIK 0001691711 · Pres,Intl, Small Bus & Walmart 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,031 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. Read SEC document |
| March 07, 2019 Filed Mar 11, 2019 20:09 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 2,299 | $81.28 | $186,862.72 |
DisclosureSEC source: 0000927628-19-000133 · wf-form4_155233493492321.xml · nonDerivative · entry 2 Newkirk Christopher T · CIK 0001691711 · Pres,Intl, Small Bus & Walmart 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,746 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 | 4,759 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-19-000133 · wf-form4_155233493492321.xml · nonDerivative · entry 1 Newkirk Christopher T · CIK 0001691711 · Pres,Intl, Small Bus & Walmart 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,045 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 21:49 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2018 Restricted Stock Units · Derivative | 1,378 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-19-000102 · wf-form4_155069935890444.xml · derivative · entry 12 Newkirk Christopher T · CIK 0001691711 · Pres., Intl and Small Business 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,757 Underlying: Common Stock · 1,378 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 21:49 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2017 Restricted Stock Units · Derivative | 1,253 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-19-000102 · wf-form4_155069935890444.xml · derivative · entry 11 Newkirk Christopher T · CIK 0001691711 · Pres., Intl and Small Business 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,254 Underlying: Common Stock · 1,253 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 21:49 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2016 Restricted Stock Units · Derivative | 1,419 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-19-000102 · wf-form4_155069935890444.xml · derivative · entry 10 Newkirk Christopher T · CIK 0001691711 · Pres., Intl and Small Business 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,419 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 21:49 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,153 | $81.57 | $94,050.21 |
DisclosureSEC source: 0000927628-19-000102 · wf-form4_155069935890444.xml · nonDerivative · entry 9 Newkirk Christopher T · CIK 0001691711 · Pres., Intl and Small Business 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,286 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, 2019 Filed Feb 20, 2019 21:49 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,307 | $81.57 | $106,611.99 |
DisclosureSEC source: 0000927628-19-000102 · wf-form4_155069935890444.xml · nonDerivative · entry 8 Newkirk Christopher T · CIK 0001691711 · Pres., Intl and Small Business 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,439 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, 2019 Filed Feb 20, 2019 21:49 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,342 | $81.57 | $109,466.94 |
DisclosureSEC source: 0000927628-19-000102 · wf-form4_155069935890444.xml · nonDerivative · entry 7 Newkirk Christopher T · CIK 0001691711 · Pres., Intl and Small Business 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,746 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 4, 2016. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 21:49 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 1,378 | $79.85 | $110,033.30 |
DisclosureSEC source: 0000927628-19-000102 · wf-form4_155069935890444.xml · nonDerivative · entry 6 Newkirk Christopher T · CIK 0001691711 · Pres., Intl and Small Business 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,088 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. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 21:49 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 1,253 | $79.85 | $100,052.05 |
DisclosureSEC source: 0000927628-19-000102 · wf-form4_155069935890444.xml · nonDerivative · entry 5 Newkirk Christopher T · CIK 0001691711 · Pres., Intl and Small Business 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,466 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. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 21:49 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 1,419 | $79.85 | $113,307.15 |
DisclosureSEC source: 0000927628-19-000102 · wf-form4_155069935890444.xml · nonDerivative · entry 4 Newkirk Christopher T · CIK 0001691711 · Pres., Intl and Small Business 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,719 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. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 21:49 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 1,378 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-19-000102 · wf-form4_155069935890444.xml · nonDerivative · entry 3 Newkirk Christopher T · CIK 0001691711 · Pres., Intl and Small Business 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 46,138 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, 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. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 21:49 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 1,253 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-19-000102 · wf-form4_155069935890444.xml · nonDerivative · entry 2 Newkirk Christopher T · CIK 0001691711 · Pres., Intl and Small Business 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,760 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, 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. Read SEC document |
| February 15, 2019 Filed Feb 20, 2019 21:49 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 1,419 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-19-000102 · wf-form4_155069935890444.xml · nonDerivative · entry 1 Newkirk Christopher T · CIK 0001691711 · Pres., Intl and Small Business 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,507 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, 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. Read SEC document |
| January 31, 2019 Filed Feb 4, 2019 23:58 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 11,261 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-19-000055 · wf-form4_154932466195190.xml · nonDerivative · entry 1 Newkirk Christopher T · CIK 0001691711 · Pres., Intl and Small Business 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,088 F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2020 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 23:32 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionRestricted Stock Units · Derivative | 5,212 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-18-000096 · wf-form4_151916952447835.xml · derivative · entry 12 Newkirk Christopher T · CIK 0001691711 · Pres., Intl and Small Business 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,212 shares Expires 2018-02-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Each restricted stock unit vested on January 1, 2018 and settled in cash on February 15, 2018 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. F2 · price: Each restricted stock unit vested on January 1, 2018 and settled in cash on February 15, 2018 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. F2 · derivative.exercise_date: Each restricted stock unit vested on January 1, 2018 and settled in cash on February 15, 2018 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. F2 · derivative.expiration_date: Each restricted stock unit vested on January 1, 2018 and settled in cash on February 15, 2018 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 23:32 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2017 Restricted Stock Units · Derivative | 1,253 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-18-000096 · wf-form4_151916952447835.xml · derivative · entry 11 Newkirk Christopher T · CIK 0001691711 · Pres., Intl and Small Business 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,507 Underlying: Common Stock · 1,253 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, 2018 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, 2018 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F7 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2018 and annually thereafter. F7 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2018 and annually thereafter. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 23:32 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2016 Restricted Stock Units · Derivative | 1,419 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-18-000096 · wf-form4_151916952447835.xml · derivative · entry 10 Newkirk Christopher T · CIK 0001691711 · Pres., Intl and Small Business 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,419 Underlying: Common Stock · 1,419 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, 2018 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, 2018 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, 2017 and annually thereafter. F6 · 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, 2018 Filed Feb 20, 2018 23:32 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 901 | $98.67 | $88,901.67 |
DisclosureSEC source: 0000927628-18-000096 · wf-form4_151916952447835.xml · nonDerivative · entry 9 Newkirk Christopher T · CIK 0001691711 · Pres., Intl and Small Business 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,827 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 February 2, 2017. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 23:32 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 994 | $98.67 | $98,077.98 |
DisclosureSEC source: 0000927628-18-000096 · wf-form4_151916952447835.xml · nonDerivative · entry 8 Newkirk Christopher T · CIK 0001691711 · Pres., Intl and Small Business 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,728 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 4, 2016. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 23:32 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 804 | $98.67 | $79,330.68 |
DisclosureSEC source: 0000927628-18-000096 · wf-form4_151916952447835.xml · nonDerivative · entry 7 Newkirk Christopher T · CIK 0001691711 · Pres., Intl and Small Business 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,722 F3 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 29, 2015. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 23:32 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 5,212 | $99.52 | $518,698.24 |
DisclosureSEC source: 0000927628-18-000096 · wf-form4_151916952447835.xml · nonDerivative · entry 6 Newkirk Christopher T · CIK 0001691711 · Pres., Intl and Small Business 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,526 F2 · price: Each restricted stock unit vested on January 1, 2018 and settled in cash on February 15, 2018 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 23:32 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 1,253 | $99.52 | $124,698.56 |
DisclosureSEC source: 0000927628-18-000096 · wf-form4_151916952447835.xml · nonDerivative · entry 5 Newkirk Christopher T · CIK 0001691711 · Pres., Intl and Small Business 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,738 F1 · price: On February 15, 2018 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, 2018 Filed Feb 20, 2018 23:32 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 1,419 | $99.52 | $141,218.88 |
DisclosureSEC source: 0000927628-18-000096 · wf-form4_151916952447835.xml · nonDerivative · entry 4 Newkirk Christopher T · CIK 0001691711 · Pres., Intl and Small Business 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,991 F1 · price: On February 15, 2018 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, 2018 Filed Feb 20, 2018 23:32 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 5,212 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-18-000096 · wf-form4_151916952447835.xml · nonDerivative · entry 3 Newkirk Christopher T · CIK 0001691711 · Pres., Intl and Small Business 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,410 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · price: Each restricted stock unit vested on January 1, 2018 and settled in cash on February 15, 2018 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. Read SEC document |
| February 15, 2018 Filed Feb 20, 2018 23:32 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 1,253 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-18-000096 · wf-form4_151916952447835.xml · nonDerivative · entry 2 Newkirk Christopher T · CIK 0001691711 · Pres., Intl and Small Business 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,198 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, 2018 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, 2018 Filed Feb 20, 2018 23:32 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 1,419 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-18-000096 · wf-form4_151916952447835.xml · nonDerivative · entry 1 Newkirk Christopher T · CIK 0001691711 · Pres., Intl and Small Business 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,945 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, 2018 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 01, 2018 Filed Feb 5, 2018 22:35 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Grant2018 Restricted Stock Units · Derivative | 4,135 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-18-000053 · wf-form4_151787009436429.xml · derivative · entry 2 Newkirk Christopher T · CIK 0001691711 · Pres., Intl and Small Business 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,135 Underlying: Common Stock · 4,135 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 fifteen trading days preceding the vesting date. F3 · shares: This award is reported net of 163 units automatically withheld by the Company to satisfy the reporting person's tax obligation. F4 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2019 and annually thereafter. F4 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2019 and annually thereafter. F3 · derivative.underlying_shares: This award is reported net of 163 units automatically withheld by the Company to satisfy the reporting person's tax obligation. Read SEC document |
| February 01, 2018 Filed Feb 5, 2018 22:35 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 7,162 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-18-000053 · wf-form4_151787009436429.xml · nonDerivative · entry 1 Newkirk Christopher T · CIK 0001691711 · Pres., Intl and Small Business 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,526 F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2019 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock. Read SEC document |
| March 16, 2017 Filed Mar 20, 2017 20:06 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 5,238 | $90.46 | $473,829.48 |
DisclosureSEC source: 0000927628-17-000157 · wf-form4_149004037743601.xml · nonDerivative · entry 1 Newkirk Christopher T · CIK 0001691711 · Pres., Intl. and Sm. Bus. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,364 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on February 14, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| February 15, 2017 Filed Feb 18, 2017 00:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionRestricted Stock Units · Derivative | 4,410 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000105 · wf-form4_148737677004424.xml · derivative · entry 9 Newkirk Christopher T · CIK 0001691711 · Pres., Intl. and Sm. Bus. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,410 shares Expires 2017-02-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_price: Each restricted stock unit vested on January 1, 2017 and settled in cash on February 15, 2017 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. F2 · price: Each restricted stock unit vested on January 1, 2017 and settled in cash on February 15, 2017 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. F2 · derivative.exercise_date: Each restricted stock unit vested on January 1, 2017 and settled in cash on February 15, 2017 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. F2 · derivative.expiration_date: Each restricted stock unit vested on January 1, 2017 and settled in cash on February 15, 2017 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. Read SEC document |
| February 15, 2017 Filed Feb 18, 2017 00:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2016 Restricted Stock Units · Derivative | 1,419 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000105 · wf-form4_148737677004424.xml · derivative · entry 8 Newkirk Christopher T · CIK 0001691711 · Pres., Intl. and Sm. Bus. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,838 Underlying: Common Stock · 1,419 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, 2017 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F1 · price: On February 15, 2017 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. F6 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2017 and annually thereafter. F6 · 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, 2017 Filed Feb 18, 2017 00:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,060 | $90.93 | $96,385.80 |
DisclosureSEC source: 0000927628-17-000105 · wf-form4_148737677004424.xml · nonDerivative · entry 7 Newkirk Christopher T · CIK 0001691711 · Pres., Intl. and Sm. Bus. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,602 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 February 4, 2016. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2017 Filed Feb 18, 2017 00:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 858 | $90.93 | $78,017.94 |
DisclosureSEC source: 0000927628-17-000105 · wf-form4_148737677004424.xml · nonDerivative · entry 6 Newkirk Christopher T · CIK 0001691711 · Pres., Intl. and Sm. Bus. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,662 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 29, 2015. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2017 Filed Feb 18, 2017 00:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 722 | $90.93 | $65,651.46 |
DisclosureSEC source: 0000927628-17-000105 · wf-form4_148737677004424.xml · nonDerivative · entry 5 Newkirk Christopher T · CIK 0001691711 · Pres., Intl. and Sm. Bus. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,520 F3 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 30, 2014. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 15, 2017 Filed Feb 18, 2017 00:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 4,410 | $88.31 | $389,447.10 |
DisclosureSEC source: 0000927628-17-000105 · wf-form4_148737677004424.xml · nonDerivative · entry 4 Newkirk Christopher T · CIK 0001691711 · Pres., Intl. and Sm. Bus. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,242 F2 · price: Each restricted stock unit vested on January 1, 2017 and settled in cash on February 15, 2017 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.