Reported relationships
Latest disclosed role at each company.
No relationships currently tracked through insider filings.
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
No balances currently tracked through insider filings.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
CAPITAL ONE FINANCIAL CORP
Report date January 31, 2013 · Filed February 13, 2013
Section 16 reporting ended · disclosed 2013-02-13. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 207,085 |
Reported balance
After 2013-01-31 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2013-01-31 · Grant · Acquired 17,942 · Balance 207,085 F1: This restricted stock will vest in 1/3 increments beginning on February 10, 2014 and annually thereafter. |
| 2013 Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 13,931 |
Reported balance
After 2013-01-31 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2013-01-31 · Grant · Acquired 13,931 · Balance 13,931 F2: 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: These restricted stock units will vest in 1/3 increments beginning on February 10, 2014 and annually thereafter. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 · Expires 2013-12-15 | Direct | 12,665 |
Reported balance
After 2013-01-31 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2013-01-31 · Grant · Acquired 12,665 · Balance 12,665 F2: 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. |
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $56.32 · Expires 2023-01-30 | Direct | 33,462 |
Reported balance
After 2013-01-31 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2013-01-31 · Grant · Acquired 33,462 · Balance 33,462 F4: This option becomes exercisable in 1/3 increments beginning on February 10, 2014 and annually thereafter. |
Filing footnotes · ownership attribution and instrument terms
F1: This restricted stock will vest in 1/3 increments beginning on February 10, 2014 and annually thereafter.
F2: 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: These restricted stock units will vest in 1/3 increments beginning on February 10, 2014 and annually thereafter.
F4: This option becomes exercisable in 1/3 increments beginning on February 10, 2014 and annually thereafter.
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 |
|---|---|---|---|---|---|---|
| January 31, 2013 Filed Feb 13, 2013 00:15 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantStock Options · Derivative | 33,462 | $0.00 Strike: $56.32 | $0.00 |
DisclosureSEC source: 0001225208-13-003859 · doc4.xml · derivative · entry 4 SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,462 Underlying: Common Stock · 33,462 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 13, 2013 00:15 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantRestricted Stock Units · Derivative | 12,665 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-003859 · doc4.xml · derivative · entry 3 SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,665 Underlying: Common Stock · 12,665 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 13, 2013 00:15 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Grant2013 Restricted Stock Units · Derivative | 13,931 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-003859 · doc4.xml · derivative · entry 2 SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,931 Underlying: Common Stock · 13,931 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 13, 2013 00:15 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantCommon Stock | 17,942 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-003859 · doc4.xml · nonDerivative · entry 1 SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 207,085 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 22:26 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 4,184 | $56.32 | $235,642.88 |
DisclosureSEC source: 0001225208-13-002400 · doc4.xml · nonDerivative · entry 4 SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 189,143 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 22:26 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionRestricted Stock Units · Derivative | 8,119 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-002400 · doc4.xml · derivative · entry 5 SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,120 Underlying: Common Stock · 8,119 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 22:26 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 8,119 | $59.86 | $486,003.34 |
DisclosureSEC source: 0001225208-13-002400 · doc4.xml · nonDerivative · entry 3 SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 193,327 F1 · price: On January 26, 2013, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. Read SEC document |
| January 26, 2013 Filed Jan 29, 2013 22:26 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 2,584 | $56.32 | $145,530.88 |
DisclosureSEC source: 0001225208-13-002400 · doc4.xml · nonDerivative · entry 2 SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 201,446 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 22:26 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 8,119 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-13-002400 · doc4.xml · nonDerivative · entry 1 SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 204,030 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 |
| December 15, 2012 Filed Dec 18, 2012 22:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionRestricted Stock Units · Derivative | 15,591 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001225208-12-025621 · doc4.xml · derivative · entry 3 SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,591 shares Expires 2012-12-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On December 15, 2012, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. F1 · price: On December 15, 2012, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. Read SEC document |
| December 15, 2012 Filed Dec 18, 2012 22:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 15,591 | $57.73 | $900,068.43 |
DisclosureSEC source: 0001225208-12-025621 · doc4.xml · nonDerivative · entry 2 SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 195,911 Read SEC document |
| December 15, 2012 Filed Dec 18, 2012 22:13 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 15,591 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-025621 · doc4.xml · nonDerivative · entry 1 SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 211,502 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 |
| January 31, 2012 Filed Feb 2, 2012 22:19 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantStock Options · Derivative | 42,196 | $0.00 Strike: $45.75 | $0.00 |
DisclosureSEC source: 0001225208-12-002911 · doc4.xml · derivative · entry 8 SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 42,196 Underlying: Common Stock · 42,196 shares Expires 2022-01-30 F8 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on February 10, 2013 and annually thereafter. Read SEC document |
| January 31, 2012 Filed Feb 2, 2012 22:19 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | GrantRestricted Stock Units · Derivative | 15,591 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-002911 · doc4.xml · derivative · entry 7 SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,591 Underlying: Common Stock · 15,591 shares Expires 2012-12-15 F6 · derivative.exercise_price: Each restricted stock unit will be settled in cash based on the fair market value of the underlying shares of the Company's 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 | 27,237 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-002911 · doc4.xml · derivative · entry 6 SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,237 Underlying: Common Stock · 27,237 shares Expires not disclosed F6 · derivative.exercise_price: Each restricted stock unit will be settled in cash based on the fair market value of the underlying shares of the Company's 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 | 30,264 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-002911 · doc4.xml · derivative · entry 5 SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,264 Underlying: Common Stock · 30,264 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 | 31,707 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-002911 · doc4.xml · derivative · entry 4 SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 31,707 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 | 13,381 | $45.75 | $612,180.75 |
DisclosureSEC source: 0001225208-12-002911 · doc4.xml · nonDerivative · entry 3 SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 195,911 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 | 25,219 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-002911 · doc4.xml · nonDerivative · entry 2 SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 209,292 F2 · security: The 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 | 31,707 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-002911 · doc4.xml · nonDerivative · entry 1 SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 184,073 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 | 14,221 | $46.05 | $654,877.05 |
DisclosureSEC source: 0001225208-12-002531 · doc4.xml · nonDerivative · entry 5 SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 152,366 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. F5 · balance_after: The amount held was corrected to report the total beneficial holding of the reporting person. Read SEC document |
| January 27, 2012 Filed Jan 31, 2012 00:59 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 4,049 | $46.05 | $186,456.45 |
DisclosureSEC source: 0001225208-12-002531 · doc4.xml · nonDerivative · entry 4 SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 166,587 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 | 8,119 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-002531 · doc4.xml · derivative · entry 6 SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,239 Underlying: Common Stock · 8,119 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. F6 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on January 26, 2012 and annually thereafter. F6 · 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 | 8,119 | $45.81 | $371,931.39 |
DisclosureSEC source: 0001225208-12-002531 · doc4.xml · nonDerivative · entry 3 SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 170,636 Read SEC document |
| January 26, 2012 Filed Jan 31, 2012 00:59 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 2,490 | $45.61 | $113,568.90 |
DisclosureSEC source: 0001225208-12-002531 · doc4.xml · nonDerivative · entry 2 SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 178,755 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 | 8,119 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-12-002531 · doc4.xml · nonDerivative · entry 1 SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 181,245 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 | 17,756 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001225208-11-026610 · doc4.xml · derivative · entry 3 SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 17,756 shares Expires 2011-12-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: On December 15, 2011, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. F1 · price: On December 15, 2011, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date. Read SEC document |
| December 15, 2011 Filed Dec 19, 2011 22:03 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Disposition to issuerCommon Stock | 17,756 | $43.41 | $770,787.96 |
DisclosureSEC source: 0001225208-11-026610 · doc4.xml · nonDerivative · entry 2 SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 173,151 Read SEC document |
| December 15, 2011 Filed Dec 19, 2011 22:03 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 17,756 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-11-026610 · doc4.xml · nonDerivative · entry 1 SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 190,907 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 27, 2011 Filed Apr 29, 2011 21:10 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 2,038 | $0.00 Strike: $49.07 | $0.00 |
DisclosureSEC source: 0001225208-11-012596 · doc4.xml · derivative · entry 3 SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 73,786 Underlying: Common Stock · 2,038 shares Expires 2011-12-12 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 12, 2010, 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 13, 2002 and annually thereafter. Read SEC document |
| April 27, 2011 Filed Apr 29, 2011 21:10 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 2,038 | $55.00 | $112,090.00 |
DisclosureSEC source: 0001225208-11-012596 · doc4.xml · nonDerivative · entry 2 SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 173,151 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 12, 2010, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| April 27, 2011 Filed Apr 29, 2011 21:10 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 2,038 | $49.07 | $99,994.47 |
DisclosureSEC source: 0001225208-11-012596 · doc4.xml · nonDerivative · entry 1 SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 175,189 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 12, 2010, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| March 30, 2011 Filed Apr 1, 2011 19:32 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 16,000 | $52.04 | $832,640.00 |
DisclosureSEC source: 0001225208-11-010679 · doc4.xml · nonDerivative · entry 1 SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 173,151 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 12, 2010, 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 $51.97 to $52.13. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| March 15, 2011 Filed Mar 17, 2011 00:48 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 16,000 | $48.76 | $780,160.00 |
DisclosureSEC source: 0001225208-11-009910 · doc4.xml · nonDerivative · entry 1 SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 189,151 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 12, 2010, 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 $48.52 to $49.08. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| February 21, 2011 Filed Feb 23, 2011 21:35 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 4,383 | $52.69 | $230,940.27 |
DisclosureSEC source: 0001225208-11-006867 · doc4.xml · nonDerivative · entry 1 SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 205,151 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 |
| February 01, 2011 Filed Feb 2, 2011 21:46 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionStock Options · Derivative | 77,118 | $18.28 Strike: $18.28 | $1,409,717.04 |
DisclosureSEC source: 0001225208-11-004609 · doc4.xml · derivative · entry 5 SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 77,121 Underlying: Common Stock · 77,118 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 November 12, 2010, 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 01, 2011 Filed Feb 2, 2011 21:46 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 62,118 | $49.31 | $3,063,038.58 |
DisclosureSEC source: 0001225208-11-004609 · doc4.xml · nonDerivative · entry 4 SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 209,534 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 12, 2010, 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 $48.75 to $49.65. Information regarding the number of shares sold at each price will be provided upon request. Read SEC document |
| February 01, 2011 Filed Feb 2, 2011 21:46 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 8,000 | $48.58 | $388,640.00 |
DisclosureSEC source: 0001225208-11-004609 · doc4.xml · nonDerivative · entry 3 SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 271,652 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 12, 2010, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| February 01, 2011 Filed Feb 2, 2011 21:46 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | SaleCommon Stock | 7,000 | $48.50 | $339,500.00 |
DisclosureSEC source: 0001225208-11-004609 · doc4.xml · nonDerivative · entry 2 SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 279,652 F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 12, 2010, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| February 01, 2011 Filed Feb 2, 2011 21:46 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Exercise / conversionCommon Stock | 77,118 | $18.28 | $1,409,717.04 |
DisclosureSEC source: 0001225208-11-004609 · doc4.xml · nonDerivative · entry 1 SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 286,652 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 12, 2010, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| January 29, 2011 Filed Jan 31, 2011 21:42 UTC | CAPITAL ONE FINANCIAL CORP COF · Entity 547 | Tax withholdingCommon Stock | 14,221 | $48.24 | $686,021.04 |
DisclosureSEC source: 0001225208-11-004253 · doc4.xml · nonDerivative · entry 2 SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 209,534 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 | 4,646 | $48.40 | $224,866.40 |
DisclosureSEC source: 0001225208-11-004253 · doc4.xml · nonDerivative · entry 1 SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 223,755 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 | 64,352 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-11-004162 · doc4.xml · derivative · entry 9 SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,352 Underlying: Common Stock · 64,352 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 | 17,756 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-11-004162 · doc4.xml · derivative · entry 8 SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,756 Underlying: Common Stock · 17,756 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 | 24,358 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-11-004162 · doc4.xml · derivative · entry 7 SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,358 Underlying: Common Stock · 24,358 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 | 14,848 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-11-004162 · doc4.xml · derivative · entry 6 SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,848 Underlying: Common Stock · 14,848 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 atsettlement. 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 atsettlement. 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 atsettlement. 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 | 35,160 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-11-004162 · doc4.xml · derivative · entry 5 SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 35,160 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 | 22,206 | $48.28 | $1,072,105.68 |
DisclosureSEC source: 0001225208-11-004162 · doc4.xml · nonDerivative · entry 4 SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 228,401 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 | 22,222 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-11-004162 · doc4.xml · nonDerivative · entry 3 SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 250,607 F3 · 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 | GrantCommon Stock | 23,199 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-11-004162 · doc4.xml · nonDerivative · entry 2 SCHNALL PETER A · CIK 0001238041 · Chief Risk Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 228,385 F2 · security: This restricted stock will vest in 1/3 increments beginning on January 26, 2012 and annually thereafter. 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.