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 |
|---|---|---|---|---|---|---|
| February 15, 2017 Filed Feb 18, 2017 00:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 1,419 | $88.31 | $125,311.89 |
DisclosureSEC source: 0000927628-17-000105 · wf-form4_148737677004424.xml · nonDerivative · entry 3 Newkirk Christopher T · CIK 0001691711 · Pres., Intl. and Sm. Bus. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,652 F1 · price: On February 15, 2017 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
| February 15, 2017 Filed Feb 18, 2017 00:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 4,410 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000105 · wf-form4_148737677004424.xml · nonDerivative · entry 2 Newkirk Christopher T · CIK 0001691711 · Pres., Intl. and Sm. Bus. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,071 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · price: Each restricted stock unit vested on January 1, 2017 and settled in cash on February 15, 2017 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. Read SEC document |
| February 15, 2017 Filed Feb 18, 2017 00:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 1,419 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000105 · wf-form4_148737677004424.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: 35,661 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: On February 15, 2017 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date. Read SEC document |
| February 02, 2017 Filed Feb 7, 2017 00:21 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantRestricted Stock Units · Derivative | 5,212 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000055 · wf-form4_148642690502799.xml · derivative · entry 3 Newkirk Christopher T · CIK 0001691711 · Pres., Intl. and Sm. Bus. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,212 Underlying: Common Stock · 5,212 shares Expires 2018-02-15 F5 · derivative.exercise_price: Each restricted stock unit will vest on January 1, 2018 and will be settled in cash on February 15, 2018 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. F5 · derivative.exercise_date: Each restricted stock unit will vest on January 1, 2018 and will be settled in cash on February 15, 2018 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. F5 · derivative.expiration_date: Each restricted stock unit will vest on January 1, 2018 and will be settled in cash on February 15, 2018 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date. Read SEC document |
| February 02, 2017 Filed Feb 7, 2017 00:21 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Grant2017 Restricted Stock Units · Derivative | 3,760 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000055 · wf-form4_148642690502799.xml · derivative · entry 2 Newkirk Christopher T · CIK 0001691711 · Pres., Intl. and Sm. Bus. Card 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,760 Underlying: Common Stock · 3,760 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 146 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, 2018 and annually thereafter. F4 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2018 and annually thereafter. F3 · derivative.underlying_shares: This award is reported net of 146 units automatically withheld by the Company to satisfy the reporting person's tax obligation. Read SEC document |
| February 02, 2017 Filed Feb 7, 2017 00:21 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 8,112 | $0.00 | $0.00 |
DisclosureSEC source: 0000927628-17-000055 · wf-form4_148642690502799.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: 34,242 F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2018 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock. 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.