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 |
|---|---|---|---|---|---|---|
| December 15, 2011 Filed Dec 19, 2011 22:03 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 33,063 | $43.41 | $1,435,264.83 |
DisclosureSEC source: 0001225208-11-026609 · doc4.xml · nonDerivative · entry 2 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 118,454 Read SEC document |
| December 15, 2011 Filed Dec 19, 2011 22:03 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 33,063 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-11-026609 · doc4.xml · nonDerivative · entry 1 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 151,517 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: On December 15, 2011, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. Read SEC document |
| April 21, 2011 Filed Apr 25, 2011 20:33 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 35,584 | $53.50 | $1,903,744.00 |
DisclosureSEC source: 0001225208-11-012191 · doc4.xml · nonDerivative · entry 1 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 118,454 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on February 11, 2011, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| March 18, 2011 Filed Mar 22, 2011 21:27 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 54,194 | $52.00 | $2,818,088.00 |
DisclosureSEC source: 0001225208-11-010160 · doc4.xml · nonDerivative · entry 1 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 154,038 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on February 11, 2011, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| March 15, 2011 Filed Mar 17, 2011 00:48 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 32,003 | $50.50 | $1,616,151.50 |
DisclosureSEC source: 0001225208-11-009911 · doc4.xml · nonDerivative · entry 1 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 208,232 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on January 26, 2011, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| February 28, 2011 Filed Mar 2, 2011 23:42 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 161,631 | $0.00 Strike: $18.28 | $0.00 |
DisclosureSEC source: 0001225208-11-008269 · doc4.xml · derivative · entry 4 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 107,820 Underlying: Common Stock · 161,631 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 January 26, 2011, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F3 · derivative.exercise_date: This option is exercisable in 1/3 increments beginning on January 29, 2010 and annually thereafter. Read SEC document |
| February 28, 2011 Filed Mar 2, 2011 23:42 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 161,631 | $50.15 | $8,105,794.65 |
DisclosureSEC source: 0001225208-11-008269 · doc4.xml · nonDerivative · entry 3 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 240,235 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on January 26, 2011, 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 $49.84 to $50.40. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| February 28, 2011 Filed Mar 2, 2011 23:42 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 10,423 | $50.50 | $526,361.50 |
DisclosureSEC source: 0001225208-11-008269 · doc4.xml · nonDerivative · entry 2 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 401,866 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on January 26, 2011, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| February 28, 2011 Filed Mar 2, 2011 23:42 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 161,631 | $18.28 | $2,954,614.68 |
DisclosureSEC source: 0001225208-11-008269 · doc4.xml · nonDerivative · entry 1 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 412,289 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 January 26, 2011, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| February 21, 2011 Filed Feb 23, 2011 21:34 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 7,883 | $52.69 | $415,355.27 |
DisclosureSEC source: 0001225208-11-006866 · doc4.xml · nonDerivative · entry 1 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,658 F1 · 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 February 21, 2008. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| January 29, 2011 Filed Jan 31, 2011 21:42 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 20,934 | $48.24 | $1,009,856.16 |
DisclosureSEC source: 0001225208-11-004252 · doc4.xml · nonDerivative · entry 2 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 258,541 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 29, 2009. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| January 27, 2011 Filed Jan 31, 2011 21:42 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 5,262 | $48.40 | $254,680.80 |
DisclosureSEC source: 0001225208-11-004252 · doc4.xml · nonDerivative · entry 1 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 279,475 F1 · 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, 2011 Filed Jan 28, 2011 22:14 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantStock Options · Derivative | 93,080 | $0.00 Strike: $48.28 | $0.00 |
DisclosureSEC source: 0001225208-11-004165 · doc4.xml · derivative · entry 9 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,080 Underlying: Common Stock · 93,080 shares Expires 2021-01-25 F9 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on January 26, 2012 and annually thereafter. Read SEC document |
| January 26, 2011 Filed Jan 28, 2011 22:14 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantRestricted Stock Units · Derivative | 33,063 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-11-004165 · doc4.xml · derivative · entry 8 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,063 Underlying: Common Stock · 33,063 shares Expires 2011-12-15 F7 · derivative.exercise_price: Each restricted stock unit will be settled in cash based on the Company's average fair market value of the underlying shares of common stock over the twenty trading days preceding the vesting date. Read SEC document |
| January 26, 2011 Filed Jan 28, 2011 22:14 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantRestricted Stock Units · Derivative | 35,232 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-11-004165 · doc4.xml · derivative · entry 7 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,232 Underlying: Common Stock · 35,232 shares Expires not disclosed F7 · 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. F8 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on January 26, 2012 and annually thereafter. F8 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on January 26, 2012 and annually thereafter. Read SEC document |
| January 26, 2011 Filed Jan 28, 2011 22:14 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantPerformance Share Units · Derivative | 21,476 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-11-004165 · doc4.xml · derivative · entry 6 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,476 Underlying: Common Stock · 21,476 shares Expires not disclosed F6 · derivative.exercise_price: These performance shares are settled at the end of a three-year performance period (January 1, 2011 to December 31, 2013) based on the Company's relative and absolute cash return on average tangible assets against a peer group of companies. The number of shares reported represents 200% of the target award amount. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement. F6 · derivative.exercise_date: These performance shares are settled at the end of a three-year performance period (January 1, 2011 to December 31, 2013) based on the Company's relative and absolute cash return on average tangible assets against a peer group of companies. The number of shares reported represents 200% of the target award amount. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement. F6 · derivative.expiration_date: These performance shares are settled at the end of a three-year performance period (January 1, 2011 to December 31, 2013) based on the Company's relative and absolute cash return on average tangible assets against a peer group of companies. The number of shares reported represents 200% of the target award amount. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement. Read SEC document |
| January 26, 2011 Filed Jan 28, 2011 22:14 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversion2007 Performance Share Units · Derivative | 55,510 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-11-004165 · doc4.xml · derivative · entry 5 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 55,510 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. F5 · derivative.exercise_price: These performance share units for the December 10, 2007 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. F5 · derivative.exercise_date: These performance share units for the December 10, 2007 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. F5 · derivative.expiration_date: These performance share units for the December 10, 2007 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 26, 2011 Filed Jan 28, 2011 22:14 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 36,399 | $48.28 | $1,757,343.72 |
DisclosureSEC source: 0001225208-11-004165 · doc4.xml · nonDerivative · entry 4 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 284,737 F4 · kind: These shares are automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares for the December 10, 2007 grant. This is authorized in the performance share award agreement. Read SEC document |
| January 26, 2011 Filed Jan 28, 2011 22:14 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 33,555 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-11-004165 · doc4.xml · nonDerivative · entry 3 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 321,136 F3 · security: This restricted stock will vest in 1/3 increments beginning on January 26, 2012 and annually thereafter. Read SEC document |
| January 26, 2011 Filed Jan 28, 2011 22:14 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 35,083 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-11-004165 · doc4.xml · nonDerivative · entry 2 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 287,581 F2 · security: The performance shares for the December 10, 2007 grant were reported at 100% target. These shares represent the number of additional shares paid out based on actual performance plus the dividend shares accrued under the same grant. Read SEC document |
| January 26, 2011 Filed Jan 28, 2011 22:14 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 55,510 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-11-004165 · doc4.xml · nonDerivative · entry 1 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 252,498 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 December 10, 2007 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 |
| December 31, 2010 Filed Jan 5, 2011 00:21 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionRestricted Stock Units · Derivative | 34,693 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001225208-11-000796 · 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 · 34,693 shares Expires 2010-12-31 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: Each restricted stock unit is settled in cash at $41.23 representing the Company's average stock price over the twenty trading days preceding the vesting date. F1 · price: Each restricted stock unit is settled in cash at $41.23 representing the Company's average stock price over the twenty trading days preceding the vesting date. Read SEC document |
| December 31, 2010 Filed Jan 5, 2011 00:21 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 34,693 | $41.23 | $1,430,392.39 |
DisclosureSEC source: 0001225208-11-000796 · doc4.xml · nonDerivative · entry 2 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 196,988 Read SEC document |
| December 31, 2010 Filed Jan 5, 2011 00:21 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 34,693 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-11-000796 · doc4.xml · nonDerivative · entry 1 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 231,681 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: Each restricted stock unit is settled in cash at $41.23 representing the Company's average stock price over the twenty trading days preceding the vesting date. Read SEC document |
| June 21, 2010 Filed Jun 22, 2010 21:10 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 54,000 | $0.00 Strike: $18.28 | $0.00 |
DisclosureSEC source: 0001225208-10-015590 · doc4.xml · derivative · entry 3 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 269,451 Underlying: Common Stock · 54,000 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 May 14, 2010, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. F2 · derivative.exercise_date: This option is exercisable in 33 1/3 increments beginning on January 29, 2010 and annually thereafter. Read SEC document |
| June 21, 2010 Filed Jun 22, 2010 21:10 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 54,000 | $44.00 | $2,376,000.00 |
DisclosureSEC source: 0001225208-10-015590 · doc4.xml · nonDerivative · entry 2 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 196,988 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 14, 2010, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| June 21, 2010 Filed Jun 22, 2010 21:10 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 54,000 | $18.28 | $987,120.00 |
DisclosureSEC source: 0001225208-10-015590 · doc4.xml · nonDerivative · entry 1 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,988 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 14, 2010, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| March 02, 2010 Filed Mar 4, 2010 21:32 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 4,387 | $37.98 | $166,618.26 |
DisclosureSEC source: 0001225208-10-007140 · doc4.xml · nonDerivative · entry 1 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 196,988 F1 · 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 March 2, 2007. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 21, 2010 Filed Feb 23, 2010 21:51 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 3,945 | $37.79 | $149,081.55 |
DisclosureSEC source: 0001225208-10-005362 · doc4.xml · nonDerivative · entry 1 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 201,375 F1 · 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 February 21, 2008. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| January 29, 2010 Filed Feb 2, 2010 21:30 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 18,243 | $36.86 | $672,436.98 |
DisclosureSEC source: 0001225208-10-003119 · doc4.xml · nonDerivative · entry 1 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 205,320 F1 · 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, 2010 Filed Jan 30, 2010 00:35 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantRestricted Stock Units · Derivative | 34,693 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-10-002685 · doc4.xml · derivative · entry 2 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,693 Underlying: Common Stock · 34,693 shares Expires 2010-12-31 F2 · derivative.exercise_price: Each restricted stock unit will be settled in cash based on the Company's average stock price over the twenty trading days preceding the vesting date. F3 · derivative.exercise_date: The restricted stock units will vest in full on December 31, 2010. Read SEC document |
| January 27, 2010 Filed Jan 30, 2010 00:35 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 37,229 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-10-002685 · doc4.xml · nonDerivative · entry 1 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 223,563 F1 · security: This restricted stock will vest in 33 1/3 increments beginning on January 27, 2011 and annually thereafter. Read SEC document |
| October 26, 2009 Filed Oct 27, 2009 20:43 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 38,880 | $41.03 | $1,595,246.40 |
DisclosureSEC source: 0001225208-09-021026 · doc4.xml · nonDerivative · entry 1 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 186,334 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 11, 2009, 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 $40.70 to $41.23. Information regarding the number of shares sold at each separate price will be provided upon request. Read SEC document |
| September 17, 2009 Filed Sep 18, 2009 20:35 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 20,000 | $39.02 | $780,400.00 |
DisclosureSEC source: 0001225208-09-019077 · doc4.xml · nonDerivative · entry 1 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 225,214 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 11, 2009, 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 $38.80 to $39.36. Information regarding the number of shares sold at each separate price will be provided upon request. Read SEC document |
| July 29, 2009 Filed Jul 30, 2009 20:44 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 18,426 | $29.71 | $547,436.46 |
DisclosureSEC source: 0001225208-09-016296 · doc4.xml · nonDerivative · entry 1 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 245,214 F1 · 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 |
| March 03, 2009 Filed Mar 5, 2009 21:42 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 2,852 | $10.34 | $29,489.68 |
DisclosureSEC source: 0001225208-09-006356 · doc4.xml · nonDerivative · entry 1 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 263,640 F1 · 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 March 3, 2006. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| March 02, 2009 Filed Mar 4, 2009 22:31 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,670 | $10.97 | $18,319.90 |
DisclosureSEC source: 0001225208-09-006152 · doc4.xml · nonDerivative · entry 1 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 266,492 F1 · 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 March 2, 2007. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 21, 2009 Filed Feb 24, 2009 23:10 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 3,003 | $9.43 | $28,318.29 |
DisclosureSEC source: 0001225208-09-004758 · doc4.xml · nonDerivative · entry 1 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 268,162 F1 · 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 February 21, 2008. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| January 29, 2009 Filed Feb 3, 2009 01:18 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantStock Options · Derivative | 323,451 | $0.00 Strike: $18.28 | $0.00 |
DisclosureSEC source: 0001225208-09-002553 · doc4.xml · derivative · entry 4 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 323,451 Underlying: Common Stock · 323,451 shares Expires 2019-01-28 F6 · derivative.exercise_date: This option becomes exercisable in 33 1/3 increments beginning on January 29, 2010 and annually thereafter. Read SEC document |
| January 29, 2009 Filed Feb 3, 2009 01:18 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantPerformance Share Units · Derivative | 57,144 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-09-002553 · doc4.xml · derivative · entry 3 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,144 Underlying: Common Stock · 57,144 shares Expires 2012-03-15 F3 · derivative.exercise_price: Each performance unit represents the right to receive one performance share upon satisfaction of the performance conditions. F4 · shares: The number of performance units shown represents the maximum number of performance shares that may be issuable at the end of the performance period. F5 · derivative.exercise_date: The performance shares may be issuable at the end of a three-year performance period (January 1, 2009 to December 31, 2011) based on the Company's total shareholder return as compared to the total shareholder return for a peer group of companies. Read SEC document |
| January 29, 2009 Filed Feb 3, 2009 01:18 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 24,754 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-09-002553 · doc4.xml · nonDerivative · entry 2 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 271,165 F2 · security: This restricted stock will vest on July 29, 2009. Read SEC document |
| January 29, 2009 Filed Feb 3, 2009 01:18 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 172,731 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-09-002553 · doc4.xml · nonDerivative · entry 1 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 246,411 F1 · security: This restricted stock will vest in 33 1/3 increments beginning on January 29, 2010 and annually thereafter. Read SEC document |
| January 29, 2009 Filed Feb 4, 2009 22:32 UTC Amendment | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 49,372 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-09-002999 · doc4a.xml · nonDerivative · entry 2 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 271,165 F3 · shares: This restricted stock will vest on July 29, 2009. Read SEC document |
| January 29, 2009 Filed Feb 4, 2009 22:32 UTC Amendment | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 148,113 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-09-002999 · doc4a.xml · nonDerivative · entry 1 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 221,793 F1 · security: The reporting person is filing this amendment to reflect different amounts with respect to the grants reported on the original Form 4. The reporting person's total beneficial holdings remain the same. F2 · shares: This restricted stock will vest in 33 1/3 increments beginning on January 29, 2010 and annually thereafter. Read SEC document |
| March 15, 2008 Filed Mar 18, 2008 21:39 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 3,970 | $49.07 | $194,807.90 |
DisclosureSEC source: 0001225208-08-005169 · doc4.xml · nonDerivative · entry 1 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,680 F1 · 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 March 15, 2005. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| March 03, 2008 Filed Mar 5, 2008 22:45 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,388 | $45.73 | $63,473.24 |
DisclosureSEC source: 0001225208-08-004497 · doc4.xml · nonDerivative · entry 1 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,650 F1 · 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 March 3, 2006. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| March 02, 2008 Filed Mar 4, 2008 22:15 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 1,626 | $47.02 | $76,454.52 |
DisclosureSEC source: 0001225208-08-004280 · doc4.xml · nonDerivative · entry 1 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 79,038 F1 · 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 March 2, 2007. This is authorized in the applicable restricted stock award agreement. Read SEC document |
| February 21, 2008 Filed Feb 26, 2008 02:57 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantStock Options · Derivative | 249,570 | $0.00 Strike: $48.95 | $0.00 |
DisclosureSEC source: 0001181431-08-013528 · rrd196896.xml · derivative · entry 2 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 249,570 Underlying: Common Stock · 249,570 shares Expires 2018-02-20 F2 · derivative.exercise_date: This option becomes exercisable in 33 1/3 increments beginning on February 21, 2009 and annually thereafter. Read SEC document |
| February 21, 2008 Filed Feb 26, 2008 02:57 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 37,180 | $0.00 | $0.00 |
DisclosureSEC source: 0001181431-08-013528 · rrd196896.xml · nonDerivative · entry 1 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,664 F1 · security: This grant of restricted stock is contingent upon the achievement by the issuer of a predetermined earnings per share for 2007. The shares vest in the following manner: 25% of the shares will vest on February 21, 2009; 25% will vest on February 21, 2010 and the remaining 50% will vest on February 21, 2011. Read SEC document |
| December 10, 2007 Filed Dec 12, 2007 22:27 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantPerformance Share Units · Derivative | 55,510 | $0.00 Strike: $54.05 | $0.00 |
DisclosureSEC source: 0000927628-07-000055 · per1086.xml · derivative · entry 1 PERLIN GARY L · CIK 0001252395 · Chief Financial Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,510 Underlying: Common Stock · 55,510 shares Expires 2011-03-15 F1 · derivative.exercise_date: The performance shares may be issuable at the end of a three-year performance period (January 1, 2008 to December 31, 2010) based on the Company's total shareholder return as compared to the total shareholder return for a peer group of companies. 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.