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CAPITAL ONE FINANCIAL CORP

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547
SEC CIK
0000927628
Parsed reports
2,528

Last 12 months

Inside the activity.

0 purchase rows · 62 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 2025013
Dec 202503
Jan 202604
Feb 2026014
Mar 202602
Apr 202602
May 202604
Jun 202601
Jul 202605
Aug 2026010
Sep 202603
Oct 202601

Latest available

Insider transactions

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Purchases/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 dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
July 25, 2022 Filed Jul 27, 2022 20:10 UTC
FAIRBANK RICHARD DDirector · Chairman and CEO
SaleCommon Stock 4,439 $109.45 $485,848.55
Disclosure

SEC source: 0000927628-22-000239 · wf-form4_165895259387859.xml · nonDerivative · entry 3

FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,758,963

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on February 9, 2022, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $108.95 to $109.92. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
July 25, 2022 Filed Jul 27, 2022 20:10 UTC
FAIRBANK RICHARD DDirector · Chairman and CEO
SaleCommon Stock 7,999 $108.41 $867,171.59
Disclosure

SEC source: 0000927628-22-000239 · wf-form4_165895259387859.xml · nonDerivative · entry 2

FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,763,402

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on February 9, 2022, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $107.87 to $108.86. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
July 25, 2022 Filed Jul 27, 2022 20:10 UTC
FAIRBANK RICHARD DDirector · Chairman and CEO
Exercise / conversionCommon Stock 12,538 $56.32 $706,140.16
Disclosure

SEC source: 0000927628-22-000239 · wf-form4_165895259387859.xml · nonDerivative · entry 1

FAIRBANK RICHARD D · CIK 0001238032 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,771,401

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 February 9, 2022, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2 · balance_after: Includes shares acquired by the reporting person through the Company's Dividend Reinvestment Plan since the last reported transaction.

Read SEC document
May 26, 2022 Filed May 31, 2022 20:17 UTC
Hall SheldonChief Risk Officer
SaleCommon Stock 4,094 $125.00 $511,750.00
Disclosure

SEC source: 0000927628-22-000208 · wf-form4_165402821281246.xml · nonDerivative · entry 2

Hall Sheldon · CIK 0001748065 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 94

F3 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person's spouse on November 12, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
May 26, 2022 Filed May 31, 2022 20:17 UTC
Hall SheldonChief Risk Officer
SaleCommon Stock 14,504 $125.00 $1,813,000.00
Disclosure

SEC source: 0000927628-22-000208 · wf-form4_165402821281246.xml · nonDerivative · entry 1

Hall Sheldon · CIK 0001748065 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,337

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 12, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction.

Read SEC document
May 25, 2022 Filed Jan 30, 2023 21:48 UTC
Blinde NealPresident, Commercial Banking
SaleCommon Stock 31 $118.94 $3,687.14
Disclosure

SEC source: 0000927628-23-000022 · wf-form4_167511527457655.xml · nonDerivative · entry 2

Blinde Neal · CIK 0001906015 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 142,644

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $118.05 to $119.36. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
May 23, 2022 Filed Jan 30, 2023 21:48 UTC
Blinde NealPresident, Commercial Banking
PurchaseCommon Stock 31 $119.07 $3,691.17
Disclosure

SEC source: 0000927628-23-000022 · wf-form4_167511527457655.xml · nonDerivative · entry 1

Blinde Neal · CIK 0001906015 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 142,675

F1 · kind: The reporting person's purchase of common stock reported herein was matchable under Section 16(b) of the Securities Exchange Act of 1934, to the extent of 31 shares, with the reporting person's sale of 31 shares of common stock on May 25, 2022. The reporting person will pay to Issuer the full amount of the profit realized in connection with the short-swing transaction, less transaction costs.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $119.02 to $119.19. Information regarding the number of shares purchased at each price will be provided upon request.

Read SEC document
May 13, 2022 Filed May 17, 2022 20:33 UTC
Haggerty KaitlinChief Human Resources Officer
SaleCommon Stock 1,254 $115.67 $145,050.18
Disclosure

SEC source: 0000927628-22-000204 · wf-form4_165281955589013.xml · nonDerivative · entry 1

Haggerty Kaitlin · CIK 0001905899 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,754

F1 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction.

Read SEC document
May 13, 2022 Filed May 17, 2022 21:20 UTC
Blinde NealPresident, Commercial Banking
SaleCommon Stock 24 $117.38 $2,817.12
Disclosure

SEC source: 0000927628-22-000206 · wf-form4_165282237270492.xml · nonDerivative · entry 1

Blinde Neal · CIK 0001906015 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 142,644

Read SEC document
May 05, 2022 Filed May 9, 2022 20:31 UTC GrantCommon Stock 1,612 $0.00 $0.00
Disclosure

SEC source: 0000927628-22-000180 · wf-form4_165212824901457.xml · nonDerivative · entry 1

williams craig a. · CIK 0001848752 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,472

F1 · security: Restricted stock unites which vest in their entirety on May 5, 2023 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

Read SEC document
May 05, 2022 Filed May 9, 2022 20:31 UTC GrantCommon Stock 1,612 $0.00 $0.00
Disclosure

SEC source: 0000927628-22-000181 · wf-form4_165212827966622.xml · nonDerivative · entry 1

WEST CATHERINE · CIK 0001238043 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,124

F1 · security: Restricted stock unites which vest in their entirety on May 5, 2023 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

Read SEC document
May 05, 2022 Filed May 9, 2022 20:32 UTC GrantCommon Stock 1,612 $0.00 $0.00
Disclosure

SEC source: 0000927628-22-000182 · wf-form4_165212831856507.xml · nonDerivative · entry 1

WARNER BRADFORD H · CIK 0001195086 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,101

F1 · security: Restricted stock unites which vest in their entirety on May 5, 2023 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

Read SEC document
May 05, 2022 Filed May 9, 2022 20:33 UTC GrantCommon Stock 1,612 $0.00 $0.00
Disclosure

SEC source: 0000927628-22-000183 · wf-form4_165212835476728.xml · nonDerivative · entry 1

SHATTUCK MAYO A III · CIK 0001087426 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,842

F1 · security: Restricted stock unites which vest in their entirety on May 5, 2023 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

Read SEC document
May 05, 2022 Filed May 9, 2022 20:33 UTC
Serra EileenDirector
GrantCommon Stock 1,612 $0.00 $0.00
Disclosure

SEC source: 0000927628-22-000184 · wf-form4_165212840055381.xml · nonDerivative · entry 1

Serra Eileen · CIK 0001721344 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,156

F1 · security: Restricted stock unites which vest in their entirety on May 5, 2023 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

Read SEC document
May 05, 2022 Filed May 9, 2022 20:33 UTC GrantCommon Stock 1,612 $0.00 $0.00
Disclosure

SEC source: 0000927628-22-000185 · wf-form4_165212842498419.xml · nonDerivative · entry 1

RASKIND PETER E · CIK 0001181669 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,708

F1 · security: Restricted stock unites which vest in their entirety on May 5, 2023 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

Read SEC document
May 05, 2022 Filed May 9, 2022 20:35 UTC GrantCommon Stock 1,612 $0.00 $0.00
Disclosure

SEC source: 0000927628-22-000188 · wf-form4_165212851172795.xml · nonDerivative · entry 1

Killalea Peter Thomas · CIK 0001638728 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,667

F1 · security: Restricted stock unites which vest in their entirety on May 5, 2023 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

Read SEC document
May 05, 2022 Filed May 9, 2022 20:34 UTC GrantCommon Stock 1,612 $0.00 $0.00
Disclosure

SEC source: 0000927628-22-000186 · wf-form4_165212844364087.xml · nonDerivative · entry 1

Locoh-Donou Francois · CIK 0001526624 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,114

F1 · security: Restricted stock unites which vest in their entirety on May 5, 2023 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

Read SEC document
May 05, 2022 Filed May 9, 2022 20:35 UTC GrantCommon Stock 1,612 $0.00 $0.00
Disclosure

SEC source: 0000927628-22-000187 · wf-form4_165212847952650.xml · nonDerivative · entry 1

Leenaars Cornelis PAJ · CIK 0001549838 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,546

F1 · security: Restricted stock unites which vest in their entirety on May 5, 2023 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

Read SEC document
May 05, 2022 Filed May 9, 2022 20:36 UTC GrantCommon Stock 1,612 $0.00 $0.00
Disclosure

SEC source: 0000927628-22-000189 · wf-form4_165212854191540.xml · nonDerivative · entry 1

HACKETT ANN F · CIK 0001188662 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,527

F1 · security: Restricted stock unites which vest in their entirety on May 5, 2023 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

Read SEC document
May 05, 2022 Filed May 9, 2022 20:37 UTC GrantCommon Stock 1,612 $0.00 $0.00
Disclosure

SEC source: 0000927628-22-000191 · wf-form4_165212861452107.xml · nonDerivative · entry 1

Archibong Ime · CIK 0001848476 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,266

F1 · security: Restricted stock unites which vest in their entirety on May 5, 2023 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

Read SEC document
May 05, 2022 Filed May 9, 2022 20:36 UTC GrantCommon Stock 1,612 $0.00 $0.00
Disclosure

SEC source: 0000927628-22-000190 · wf-form4_165212857357369.xml · nonDerivative · entry 1

Detrick Christine Rose · CIK 0001594796 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,258

F1 · security: Restricted stock unites which vest in their entirety on May 5, 2023 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

Read SEC document
April 30, 2022 Filed May 3, 2022 20:45 UTC
Haggerty KaitlinChief Human Resources Officer
Tax withholdingCommon Stock 217 $124.62 $27,042.54
Disclosure

SEC source: 0000927628-22-000157 · wf-form4_165161073344937.xml · nonDerivative · entry 1

Haggerty Kaitlin · CIK 0001905899 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,990

F1 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on April 30, 2019. This is authorized in the applicable restricted stock award agreement.

F2 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction.

Read SEC document
March 11, 2022 Filed Mar 15, 2022 20:10 UTC
Alexander Robert M.Chief Information Officer
Tax withholdingCommon Stock 11,747 $130.09 $1,528,167.23
Disclosure

SEC source: 0000927628-22-000126 · wf-form4_164737497178694.xml · nonDerivative · entry 2

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,209

F2 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement.

Read SEC document
March 11, 2022 Filed Mar 15, 2022 20:10 UTC
Alexander Robert M.Chief Information Officer
GrantCommon Stock 26,046 $0.00 $0.00
Disclosure

SEC source: 0000927628-22-000126 · wf-form4_164737497178694.xml · nonDerivative · entry 1

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,956

F1 · security: These shares were earned pursuant to an award of performance shares granted on January 31, 2019 based on the Company's Common Dividends + Growth of Tangible Book Value per Share and Adjusted ROTCE against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant.

Read SEC document
March 11, 2022 Filed Mar 15, 2022 20:10 UTC
Borgmann Kevin S.Senior Advisor to the CEO
Tax withholdingCommon Stock 10,963 $130.09 $1,426,176.67
Disclosure

SEC source: 0000927628-22-000127 · wf-form4_164737500773868.xml · nonDerivative · entry 2

Borgmann Kevin S. · CIK 0001567914 · Senior Advisor to the CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,865

F2 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement.

Read SEC document
March 11, 2022 Filed Mar 15, 2022 20:10 UTC
Borgmann Kevin S.Senior Advisor to the CEO
GrantCommon Stock 22,696 $0.00 $0.00
Disclosure

SEC source: 0000927628-22-000127 · wf-form4_164737500773868.xml · nonDerivative · entry 1

Borgmann Kevin S. · CIK 0001567914 · Senior Advisor to the CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,828

F1 · security: These shares were earned pursuant to an award of performance shares granted on January 31, 2019 based on the Company's Common Dividends + Growth of Tangible Book Value per Share and Adjusted ROTCE against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant.

Read SEC document
March 11, 2022 Filed Mar 15, 2022 20:11 UTC
Dean LiaPres, Retail Bank & Prem. Card
Tax withholdingCommon Stock 5,703 $130.09 $741,903.27
Disclosure

SEC source: 0000927628-22-000129 · wf-form4_164737504558091.xml · nonDerivative · entry 2

Dean Lia · CIK 0001741273 · Pres, Retail Bank & Prem. Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,855

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. This share withholding was authorized in the performance share award agreement.

Read SEC document
March 11, 2022 Filed Mar 15, 2022 20:11 UTC
Dean LiaPres, Retail Bank & Prem. Card
GrantCommon Stock 11,814 $0.00 $0.00
Disclosure

SEC source: 0000927628-22-000129 · wf-form4_164737504558091.xml · nonDerivative · entry 1

Dean Lia · CIK 0001741273 · Pres, Retail Bank & Prem. Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,558

F1 · security: These shares were earned pursuant to an award of performance shares granted on January 31, 2019 based on the Company's Common Dividends + Growth of Tangible Book Value per Share and Adjusted ROTCE against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant.

F2 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction.

Read SEC document
March 11, 2022 Filed Mar 15, 2022 20:10 UTC
Cooper Matthew WGeneral Counsel & Corp Secy
Tax withholdingCommon Stock 7,892 $130.09 $1,026,670.28
Disclosure

SEC source: 0000927628-22-000128 · wf-form4_164737502658304.xml · nonDerivative · entry 2

Cooper Matthew W · CIK 0001727277 · General Counsel & Corp Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,888

F2 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement.

Read SEC document
March 11, 2022 Filed Mar 15, 2022 20:10 UTC
Cooper Matthew WGeneral Counsel & Corp Secy
GrantCommon Stock 17,498 $0.00 $0.00
Disclosure

SEC source: 0000927628-22-000128 · wf-form4_164737502658304.xml · nonDerivative · entry 1

Cooper Matthew W · CIK 0001727277 · General Counsel & Corp Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,780

F1 · security: These shares were earned pursuant to an award of performance shares granted on January 31, 2019 based on the Company's Common Dividends + Growth of Tangible Book Value per Share and Adjusted ROTCE against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant.

Read SEC document
March 11, 2022 Filed Mar 15, 2022 20:11 UTC
Hall SheldonChief Risk Officer
Tax withholdingCommon Stock 7,925 $130.09 $1,030,963.25
Disclosure

SEC source: 0000927628-22-000130 · wf-form4_164737507061015.xml · nonDerivative · entry 2

Hall Sheldon · CIK 0001748065 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,830

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. This share withholding was authorized in the performance share award agreement.

Read SEC document
March 11, 2022 Filed Mar 15, 2022 20:11 UTC
Hall SheldonChief Risk Officer
GrantCommon Stock 16,407 $0.00 $0.00
Disclosure

SEC source: 0000927628-22-000130 · wf-form4_164737507061015.xml · nonDerivative · entry 1

Hall Sheldon · CIK 0001748065 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,755

F1 · security: These shares were earned pursuant to an award of performance shares granted on January 31, 2019 based on the Company's Common Dividends + Growth of Tangible Book Value per Share and Adjusted ROTCE against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant.

F2 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction.

Read SEC document
March 11, 2022 Filed Mar 15, 2022 20:12 UTC
Karam CeliaCard Chief Operating Officer
Tax withholdingCommon Stock 4,928 $130.09 $641,083.52
Disclosure

SEC source: 0000927628-22-000131 · wf-form4_164737509890158.xml · nonDerivative · entry 2

Karam Celia · CIK 0001741344 · Card Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,775

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. This share withholding was authorized in the performance share award agreement.

Read SEC document
March 11, 2022 Filed Mar 15, 2022 20:12 UTC
Karam CeliaCard Chief Operating Officer
GrantCommon Stock 10,926 $0.00 $0.00
Disclosure

SEC source: 0000927628-22-000131 · wf-form4_164737509890158.xml · nonDerivative · entry 1

Karam Celia · CIK 0001741344 · Card Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,703

F1 · security: These shares were earned pursuant to an award of performance shares granted on January 31, 2019 based on the Company's Common Dividends + Growth of Tangible Book Value per Share and Adjusted ROTCE against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant.

F2 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction.

Read SEC document
March 11, 2022 Filed Mar 15, 2022 20:12 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Tax withholdingCommon Stock 14,680 $130.09 $1,909,721.20
Disclosure

SEC source: 0000927628-22-000132 · wf-form4_164737513171484.xml · nonDerivative · entry 2

LaPrade,III Frank G. · CIK 0001497948 · Chief Enterprise Srvcs Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,679

F2 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement.

Read SEC document
March 11, 2022 Filed Mar 15, 2022 20:12 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
GrantCommon Stock 30,393 $0.00 $0.00
Disclosure

SEC source: 0000927628-22-000132 · wf-form4_164737513171484.xml · nonDerivative · entry 1

LaPrade,III Frank G. · CIK 0001497948 · Chief Enterprise Srvcs Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,359

F1 · security: These shares were earned pursuant to an award of performance shares granted on January 31, 2019 based on the Company's Common Dividends + Growth of Tangible Book Value per Share and Adjusted ROTCE against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant.

Read SEC document
March 11, 2022 Filed Mar 15, 2022 20:13 UTC
Wassmer Michael JPresident, Card
Tax withholdingCommon Stock 14,290 $130.09 $1,858,986.10
Disclosure

SEC source: 0000927628-22-000134 · wf-form4_164737518574052.xml · nonDerivative · entry 2

Wassmer Michael J · CIK 0001691706 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,785

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. This share withholding was authorized in the performance share award agreement.

Read SEC document
March 11, 2022 Filed Mar 15, 2022 20:13 UTC
Wassmer Michael JPresident, Card
GrantCommon Stock 31,684 $0.00 $0.00
Disclosure

SEC source: 0000927628-22-000134 · wf-form4_164737518574052.xml · nonDerivative · entry 1

Wassmer Michael J · CIK 0001691706 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,075

F1 · security: These shares were earned pursuant to an award of performance shares granted on January 31, 2019 based on the Company's Common Dividends + Growth of Tangible Book Value per Share and Adjusted ROTCE against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant.

F2 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction.

Read SEC document
March 11, 2022 Filed Mar 15, 2022 20:13 UTC
Sanjiv YajnikPresident, Financial Services
Tax withholdingCommon Stock 14,810 $130.09 $1,926,632.90
Disclosure

SEC source: 0000927628-22-000133 · wf-form4_164737516681988.xml · nonDerivative · entry 2

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,110

F4 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement.

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March 11, 2022 Filed Mar 15, 2022 20:13 UTC
Sanjiv YajnikPresident, Financial Services
GrantCommon Stock 32,837 $0.00 $0.00
Disclosure

SEC source: 0000927628-22-000133 · wf-form4_164737516681988.xml · nonDerivative · entry 1

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,920

F1 · security: These shares were earned pursuant to an award of performance shares granted on January 31, 2019 based on the Company's Common Dividends + Growth of Tangible Book Value per Share and Adjusted ROTCE against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant.

F2 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction.

F3 · balance_after: The number of shares reported as direct holdings reflects the correction of a past understatement of 3 shares arising from an administrative error.

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February 28, 2022 Filed Mar 2, 2022 21:09 UTC SaleCommon Stock 3,812 $148.98 $567,911.76
Disclosure

SEC source: 0000927628-22-000108 · wf-form4_164625532479101.xml · nonDerivative · entry 1

Golden Timothy P · CIK 0001706865 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,541

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on January 27, 2022, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

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February 15, 2022 Filed Feb 17, 2022 21:11 UTC
Slocum MichaelPresident, Commercial Banking
Tax withholdingCommon Stock 1,472 $158.89 $233,886.08
Disclosure

SEC source: 0000927628-22-000087 · wf-form4_164513227230147.xml · nonDerivative · entry 3

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,314

F3 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on February 4, 2021. This is authorized in the applicable restricted stock award agreement.

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February 15, 2022 Filed Feb 17, 2022 21:11 UTC
Slocum MichaelPresident, Commercial Banking
Tax withholdingCommon Stock 1,775 $158.89 $282,029.75
Disclosure

SEC source: 0000927628-22-000087 · wf-form4_164513227230147.xml · nonDerivative · entry 2

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,786

F2 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 30, 2020. This is authorized in the applicable restricted stock award agreement.

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February 15, 2022 Filed Feb 17, 2022 21:11 UTC
Slocum MichaelPresident, Commercial Banking
Tax withholdingCommon Stock 1,909 $158.89 $303,321.01
Disclosure

SEC source: 0000927628-22-000087 · wf-form4_164513227230147.xml · nonDerivative · entry 1

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,561

F1 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 31, 2019. This is authorized in the applicable restricted stock award agreement.

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February 15, 2022 Filed Feb 17, 2022 21:12 UTC
Young Andrew MChief Financial Officer
Tax withholdingCommon Stock 539 $158.89 $85,641.71
Disclosure

SEC source: 0000927628-22-000088 · wf-form4_164513230685986.xml · nonDerivative · entry 3

Young Andrew M · CIK 0001839737 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,995

F3 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on February 4, 2021. This is authorized in the applicable restricted stock award agreement.

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February 15, 2022 Filed Feb 17, 2022 21:12 UTC
Young Andrew MChief Financial Officer
Tax withholdingCommon Stock 437 $158.89 $69,434.93
Disclosure

SEC source: 0000927628-22-000088 · wf-form4_164513230685986.xml · nonDerivative · entry 2

Young Andrew M · CIK 0001839737 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,534

F2 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 30, 2020. This is authorized in the applicable restricted stock award agreement.

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February 15, 2022 Filed Feb 17, 2022 21:12 UTC
Young Andrew MChief Financial Officer
Tax withholdingCommon Stock 400 $158.89 $63,556.00
Disclosure

SEC source: 0000927628-22-000088 · wf-form4_164513230685986.xml · nonDerivative · entry 1

Young Andrew M · CIK 0001839737 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,971

F1 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 31, 2019. This is authorized in the applicable restricted stock award agreement.

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February 15, 2022 Filed Feb 17, 2022 21:12 UTC
Cooper Matthew WGeneral Counsel & Corp Secy
Tax withholdingCommon Stock 1,309 $158.89 $207,987.01
Disclosure

SEC source: 0000927628-22-000089 · wf-form4_164513234360405.xml · nonDerivative · entry 3

Cooper Matthew W · CIK 0001727277 · General Counsel & Corp Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,282

F3 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on February 4, 2021. This is authorized in the applicable restricted stock award agreement.

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February 15, 2022 Filed Feb 17, 2022 21:12 UTC
Cooper Matthew WGeneral Counsel & Corp Secy
Tax withholdingCommon Stock 1,150 $158.89 $182,723.50
Disclosure

SEC source: 0000927628-22-000089 · wf-form4_164513234360405.xml · nonDerivative · entry 2

Cooper Matthew W · CIK 0001727277 · General Counsel & Corp Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,591

F2 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 30, 2020. This is authorized in the applicable restricted stock award agreement.

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February 15, 2022 Filed Feb 17, 2022 21:12 UTC
Cooper Matthew WGeneral Counsel & Corp Secy
Tax withholdingCommon Stock 932 $158.89 $148,085.48
Disclosure

SEC source: 0000927628-22-000089 · wf-form4_164513234360405.xml · nonDerivative · entry 1

Cooper Matthew W · CIK 0001727277 · General Counsel & Corp Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,741

F1 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 31, 2019. This is authorized in the applicable restricted stock award agreement.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.