Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CAPITAL ONE FINANCIAL CORPCOF · Entity 547 | Chief Financial Officer | May 22, 2013 | May 23, 2013 |
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 May 22, 2013 · Filed May 23, 2013
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 96,528 |
Last balance in matching sequence
After 2013-05-22 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2013-05-22 · Exercise / conversion · Acquired 24,500 · Balance 121,028 F1: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 13, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Row 2 · 2013-05-22 · Sale · Disposed 24,500 · Balance 96,528 F1: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 13, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. |
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $56.28 · Expires 2013-12-14 | Direct | 0 |
Reported balance
After 2013-05-22 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2013-05-22 · Exercise / conversion · Disposed 24,500 · Balance 0 F1: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 13, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2: This option was exercisable in 1/3 increments beginning on December 15, 2004 and annually thereafter. |
Filing footnotes · ownership attribution and instrument terms
F1: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 13, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
F2: This option was exercisable in 1/3 increments beginning on December 15, 2004 and annually thereafter.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
AdvancePierre Foods Holdings, Inc.
Report date June 06, 2017 · Filed June 07, 2017
Section 16 reporting ended · disclosed 2017-06-07. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2017-06-07 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2017-06-06 · Other · Disposed 4,932 · Balance 22,726 Row 2 · 2017-06-07 · Disposition to issuer · Disposed 22,726 · Balance 0 F1: Upon the closing of the merger (the "Merger") pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of April 25, 2017, by and among AdvancePierre Foods Holdings, Inc. (the "Issuer"), Tyson Foods, Inc. and DVB Merger Sub, Inc., each outstanding share of Issuer common stock ("Common Stock") was cancelled and converted into the right to receive a cash payment of $40.25 per share (the "Merger Consideration"), and each outstanding Issuer restricted stock unit was converted into the right to receive an amount of cash equal to the Merger Consideration. |
Filing footnotes · ownership attribution and instrument terms
F1: Upon the closing of the merger (the "Merger") pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of April 25, 2017, by and among AdvancePierre Foods Holdings, Inc. (the "Issuer"), Tyson Foods, Inc. and DVB Merger Sub, Inc., each outstanding share of Issuer common stock ("Common Stock") was cancelled and converted into the right to receive a cash payment of $40.25 per share (the "Merger Consideration"), and each outstanding Issuer restricted stock unit was converted into the right to receive an amount of cash equal to the Merger Consideration.
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 |
|---|---|---|---|---|---|---|
| June 07, 2017 Filed Jun 7, 2017 18:01 UTC | AdvancePierre Foods Holdings, Inc. APFH · Entity 175379 | Disposition to issuerCommon Stock | 22,726 | $40.25 | $914,721.50 |
DisclosureSEC source: 0001209191-17-038394 · doc4.xml · nonDerivative · entry 2 PERLIN GARY L · CIK 0001252395 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · price: Upon the closing of the merger (the "Merger") pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of April 25, 2017, by and among AdvancePierre Foods Holdings, Inc. (the "Issuer"), Tyson Foods, Inc. and DVB Merger Sub, Inc., each outstanding share of Issuer common stock ("Common Stock") was cancelled and converted into the right to receive a cash payment of $40.25 per share (the "Merger Consideration"), and each outstanding Issuer restricted stock unit was converted into the right to receive an amount of cash equal to the Merger Consideration. Read SEC document |
| June 06, 2017 Filed Jun 7, 2017 18:01 UTC | AdvancePierre Foods Holdings, Inc. APFH · Entity 175379 | OtherCommon Stock | 4,932 | $40.25 | $198,513.00 |
DisclosureSEC source: 0001209191-17-038394 · doc4.xml · nonDerivative · entry 1 PERLIN GARY L · CIK 0001252395 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,726 Read SEC document |
| May 23, 2017 Filed May 25, 2017 16:18 UTC | AdvancePierre Foods Holdings, Inc. APFH · Entity 175379 | GrantCommon Stock | 2,984 | $40.22 | $120,016.48 |
DisclosureSEC source: 0001209191-17-035343 · doc4.xml · nonDerivative · entry 1 PERLIN GARY L · CIK 0001252395 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,658 F1 · security: Annual grant of AdvancePierre Foods Holdings, Inc. (the "Company") restricted stock units made pursuant to the Company's Independent Director Compensation Policy (filed as Exhibit 10.1 to the Company's Quarterly Report on Form 10-Q for the quarter ended October 1, 2016, filed with the SEC on October 9, 2016) made in connection with the election or reelection of such director at the Company's 2017 annual meeting of stockholders. F2 · security: Award of restricted stock units under the AdvancePierre Foods Holdings, Inc. 2009 Omnibus Equity Incentive Plan, which vest 1/3 per year over 3 years. Read SEC document |
| May 22, 2013 Filed May 23, 2013 20:12 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 24,500 | $0.00 Strike: $56.28 | $0.00 |
DisclosureSEC source: 0001225208-13-013148 · doc4.xml · derivative · entry 3 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 24,500 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 August 13, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · derivative.exercise_date: This option was exercisable in 1/3 increments beginning on December 15, 2004 and annually thereafter. Read SEC document |
| May 22, 2013 Filed May 23, 2013 20:12 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 24,500 | $63.50 | $1,555,750.00 |
DisclosureSEC source: 0001225208-13-013148 · doc4.xml · nonDerivative · entry 2 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,528 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 13, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| May 22, 2013 Filed May 23, 2013 20:12 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 24,500 | $56.28 | $1,378,860.00 |
DisclosureSEC source: 0001225208-13-013148 · doc4.xml · nonDerivative · entry 1 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 121,028 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 13, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| May 08, 2013 Filed May 9, 2013 21:09 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 5,355 | $59.84 | $320,443.20 |
DisclosureSEC source: 0001225208-13-011860 · doc4.xml · nonDerivative · entry 1 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,528 F1 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the restricted stock granted on January 26, 2011, as a result of the reporting person's eligibility for retirement. This is authorized in the applicable grant agreement. 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 | 13,131 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-003861 · doc4.xml · derivative · entry 4 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,263 Underlying: Common Stock · 13,131 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 | 13,131 | $57.87 | $759,890.97 |
DisclosureSEC source: 0001225208-13-003861 · doc4.xml · nonDerivative · entry 3 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,883 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 | 5,830 | $57.27 | $333,884.10 |
DisclosureSEC source: 0001225208-13-003861 · doc4.xml · nonDerivative · entry 2 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 115,014 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 | 13,131 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-003861 · doc4.xml · nonDerivative · entry 1 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 120,844 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 21:40 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantStock Options · Derivative | 55,263 | $0.00 Strike: $56.32 | $0.00 |
DisclosureSEC source: 0001225208-13-002871 · doc4.xml · derivative · entry 4 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,263 Underlying: Common Stock · 55,263 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 21:40 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantRestricted Stock Units · Derivative | 17,778 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-002871 · doc4.xml · derivative · entry 3 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,778 Underlying: Common Stock · 17,778 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 21:40 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Grant2013 Restricted Stock Units · Derivative | 19,556 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-002871 · doc4.xml · derivative · entry 2 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,556 Underlying: Common Stock · 19,556 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 21:40 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 29,630 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-002871 · doc4.xml · nonDerivative · entry 1 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 107,713 F1 · security: This restricted stock will vest in 1/3 increments beginning on February 10, 2014 and annually thereafter. Read SEC document |
| January 27, 2013 Filed Jan 29, 2013 22:27 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 4,991 | $56.32 | $281,093.12 |
DisclosureSEC source: 0001225208-13-002401 · doc4.xml · nonDerivative · entry 4 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 78,083 F3 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 27, 2010. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| January 26, 2013 Filed Jan 29, 2013 22:27 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionRestricted Stock Units · Derivative | 11,744 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-002401 · doc4.xml · derivative · entry 5 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,745 Underlying: Common Stock · 11,744 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. F4 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on January 26, 2012 and annually thereafter. F4 · 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 22:27 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 11,744 | $59.86 | $702,995.84 |
DisclosureSEC source: 0001225208-13-002401 · doc4.xml · nonDerivative · entry 3 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 83,074 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 22:27 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 3,723 | $56.32 | $209,679.36 |
DisclosureSEC source: 0001225208-13-002401 · doc4.xml · nonDerivative · entry 2 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 94,818 F2 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 26, 2011. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| January 26, 2013 Filed Jan 29, 2013 22:27 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 11,744 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-002401 · doc4.xml · nonDerivative · entry 1 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 98,541 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: On January 26, 2013, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. Read SEC document |
| January 07, 2013 Filed Jan 9, 2013 21:38 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 24,421 | $62.00 | $1,514,102.00 |
DisclosureSEC source: 0001225208-13-001211 · doc4.xml · nonDerivative · entry 1 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,797 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 13, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. 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 | 21,886 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001225208-12-025622 · doc4.xml · derivative · entry 3 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 21,886 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 | 21,886 | $57.73 | $1,263,478.78 |
DisclosureSEC source: 0001225208-12-025622 · doc4.xml · nonDerivative · entry 2 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 111,218 Read SEC document |
| December 15, 2012 Filed Dec 18, 2012 22:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 21,886 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-025622 · doc4.xml · nonDerivative · entry 1 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 133,104 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 |
| November 02, 2012 Filed Nov 5, 2012 22:20 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 53,910 | $0.00 Strike: $18.28 | $0.00 |
DisclosureSEC source: 0001225208-12-022396 · doc4.xml · derivative · entry 4 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 53,910 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. F3 · derivative.exercise_date: This option is exercisable in 1/3 increments beginning on January 29, 2010 and annually thereafter. Read SEC document |
| November 02, 2012 Filed Nov 5, 2012 22:20 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 53,910 | $61.50 | $3,315,465.00 |
DisclosureSEC source: 0001225208-12-022396 · doc4.xml · nonDerivative · entry 3 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 111,218 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 13, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · price: The shares were sold at prices ranging from $61.50 to $61.54. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| November 02, 2012 Filed Nov 5, 2012 22:20 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 53,910 | $18.28 | $985,474.80 |
DisclosureSEC source: 0001225208-12-022396 · doc4.xml · nonDerivative · entry 2 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 165,128 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 13, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| November 01, 2012 Filed Nov 5, 2012 22:20 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 28,314 | $60.50 | $1,712,997.00 |
DisclosureSEC source: 0001225208-12-022396 · doc4.xml · nonDerivative · entry 1 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 111,218 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 13, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| October 26, 2012 Filed Oct 30, 2012 21:16 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 10,707 | $59.48 | $636,852.36 |
DisclosureSEC source: 0001225208-12-022025 · doc4.xml · nonDerivative · entry 1 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 139,532 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 13, 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 $59.38 to $59.51. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| September 17, 2012 Filed Sep 19, 2012 20:41 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 100,000 | $0.00 Strike: $48.73 | $0.00 |
DisclosureSEC source: 0001225208-12-019941 · doc4.xml · derivative · entry 6 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 100,000 shares Expires 2013-07-28 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 13, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F5 · derivative.exercise_date: This option is exercisable in 1/3 increments beginning on July 29, 2004 and annually thereafter. Read SEC document |
| September 17, 2012 Filed Sep 19, 2012 20:41 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 53,910 | $0.00 Strike: $18.28 | $0.00 |
DisclosureSEC source: 0001225208-12-019941 · doc4.xml · derivative · entry 5 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,910 Underlying: Common Stock · 53,910 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 13, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F4 · derivative.exercise_date: This option is exercisable in 1/3 increments beginning on January 29, 2010 and annually thereafter. Read SEC document |
| September 17, 2012 Filed Sep 19, 2012 20:41 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 100,000 | $58.97 | $5,897,000.00 |
DisclosureSEC source: 0001225208-12-019941 · doc4.xml · nonDerivative · entry 4 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,239 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 13, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F3 · price: These shares were sold at prices ranging from $58.85 to $59.05. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| September 17, 2012 Filed Sep 19, 2012 20:41 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 53,910 | $58.98 | $3,179,611.80 |
DisclosureSEC source: 0001225208-12-019941 · doc4.xml · nonDerivative · entry 3 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,239 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 13, 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 $58.89 to $59.05. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| September 17, 2012 Filed Sep 19, 2012 20:41 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 53,910 | $18.28 | $985,474.80 |
DisclosureSEC source: 0001225208-12-019941 · doc4.xml · nonDerivative · entry 2 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 304,149 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 13, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| September 17, 2012 Filed Sep 19, 2012 20:41 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 100,000 | $48.73 | $4,873,000.00 |
DisclosureSEC source: 0001225208-12-019941 · doc4.xml · nonDerivative · entry 1 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,239 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 13, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| January 31, 2012 Filed Feb 2, 2012 22:19 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantStock Options · Derivative | 61,030 | $0.00 Strike: $45.75 | $0.00 |
DisclosureSEC source: 0001225208-12-002908 · doc4.xml · derivative · entry 8 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,030 Underlying: Common Stock · 61,030 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 | 21,886 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-002908 · doc4.xml · derivative · entry 7 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,886 Underlying: Common Stock · 21,886 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 | 39,394 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-002908 · doc4.xml · derivative · entry 6 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 39,394 Underlying: Common Stock · 39,394 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 | 43,772 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-002908 · doc4.xml · derivative · entry 5 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 43,772 Underlying: Common Stock · 43,772 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 | 44,327 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-002908 · doc4.xml · derivative · entry 4 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 44,327 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 | 18,906 | $45.75 | $864,949.50 |
DisclosureSEC source: 0001225208-12-002908 · doc4.xml · nonDerivative · entry 3 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,239 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 | 36,476 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-002908 · doc4.xml · nonDerivative · entry 2 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 169,145 F2 · security: This restricted stock will vest in 1/3 increments beginning on February 10, 2013 and annually thereafter. Read SEC document |
| January 31, 2012 Filed Feb 2, 2012 22:19 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 44,327 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-002908 · doc4.xml · nonDerivative · entry 1 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,669 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: These performance shares for the January 29, 2009 grant were settled at the end of a three-year performance period based on the Company's total shareholder return as compared to the total shareholder return of a peer group of companies. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant. Read SEC document |
| January 29, 2012 Filed Jan 31, 2012 00:59 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 21,058 | $46.05 | $969,720.90 |
DisclosureSEC source: 0001225208-12-002532 · doc4.xml · nonDerivative · entry 5 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 88,342 F4 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 29, 2009. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| January 27, 2012 Filed Jan 31, 2012 00:59 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 5,293 | $46.05 | $243,742.65 |
DisclosureSEC source: 0001225208-12-002532 · doc4.xml · nonDerivative · entry 4 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 109,400 F3 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 27, 2010. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| January 26, 2012 Filed Jan 31, 2012 00:59 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionRestricted Stock Units · Derivative | 11,743 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-002532 · doc4.xml · derivative · entry 6 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,489 Underlying: Common Stock · 11,743 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. F5 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on January 26, 2012 and annually thereafter. F5 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on January 26, 2012 and annually thereafter. Read SEC document |
| January 26, 2012 Filed Jan 31, 2012 00:59 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 11,743 | $45.81 | $537,946.83 |
DisclosureSEC source: 0001225208-12-002532 · doc4.xml · nonDerivative · entry 3 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 114,693 Read SEC document |
| January 26, 2012 Filed Jan 31, 2012 00:59 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 3,761 | $45.61 | $171,539.21 |
DisclosureSEC source: 0001225208-12-002532 · doc4.xml · nonDerivative · entry 2 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 126,436 F2 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 26, 2011. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| January 26, 2012 Filed Jan 31, 2012 00:59 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 11,743 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-002532 · doc4.xml · nonDerivative · entry 1 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 130,197 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 | 33,063 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001225208-11-026609 · doc4.xml · derivative · entry 3 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 33,063 shares Expires 2011-12-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On December 15, 2011, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. F1 · price: On December 15, 2011, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.