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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
February 03, 2022 Filed Feb 7, 2022 21:34 UTC
FAIRBANK RICHARD DDirector · Chairman and CEO
Exercise / conversionRestricted Stock Units · Derivative 169 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-22-000053 · wf-form4_164426964072225.xml · derivative · entry 12

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,365

Underlying: Common Stock · 169 shares

Expires 2024-02-15

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.

F6 · security: Represents restricted stock units granted on February 4, 2021 for performance year 2021.

F2 · derivative.exercise_price: Represents the automatic withholding of restricted stock units granted in February 2021 which settled in cash based on fair market value on February 3, 2022, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

F2 · kind: Represents the automatic withholding of restricted stock units granted in February 2021 which settled in cash based on fair market value on February 3, 2022, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

Read SEC document
February 03, 2022 Filed Feb 7, 2022 21:34 UTC
FAIRBANK RICHARD DDirector · Chairman and CEO
Exercise / conversion2021 Restricted Stock Units · Derivative 193 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-22-000053 · wf-form4_164426964072225.xml · derivative · entry 11

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,560

Underlying: Common Stock · 193 shares

Expires 2024-02-15

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.

F5 · security: Represents restricted stock units granted on February 4, 2021 for performance year 2020.

F2 · derivative.exercise_price: Represents the automatic withholding of restricted stock units granted in February 2021 which settled in cash based on fair market value on February 3, 2022, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

F2 · kind: Represents the automatic withholding of restricted stock units granted in February 2021 which settled in cash based on fair market value on February 3, 2022, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

Read SEC document
February 03, 2022 Filed Feb 7, 2022 21:34 UTC
FAIRBANK RICHARD DDirector · Chairman and CEO
Exercise / conversionRestricted Stock Units · Derivative 186 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-22-000053 · wf-form4_164426964072225.xml · derivative · entry 10

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,757

Underlying: Common Stock · 186 shares

Expires 2023-02-15

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 · security: Represents restricted stock units granted on January 30, 2020 for performance year 2020.

F1 · derivative.exercise_price: Represents the automatic withholding of restricted stock units granted in January 2020 which settled in cash based on fair market value on February 3, 2022, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

F1 · kind: Represents the automatic withholding of restricted stock units granted in January 2020 which settled in cash based on fair market value on February 3, 2022, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

Read SEC document
February 03, 2022 Filed Feb 7, 2022 21:34 UTC
FAIRBANK RICHARD DDirector · Chairman and CEO
Exercise / conversion2020 Restricted Stock Units · Derivative 276 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-22-000053 · wf-form4_164426964072225.xml · derivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,087

Underlying: Common Stock · 276 shares

Expires 2023-02-15

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.

F3 · security: Represents restricted stock units granted on January 30, 2020 for performance year 2019.

F1 · derivative.exercise_price: Represents the automatic withholding of restricted stock units granted in January 2020 which settled in cash based on fair market value on February 3, 2022, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

F1 · kind: Represents the automatic withholding of restricted stock units granted in January 2020 which settled in cash based on fair market value on February 3, 2022, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

Read SEC document
February 03, 2022 Filed Feb 7, 2022 21:34 UTC
FAIRBANK RICHARD DDirector · Chairman and CEO
Tax withholdingCommon Stock 169 $148.29 $25,061.01
Disclosure

SEC source: 0000927628-22-000053 · wf-form4_164426964072225.xml · nonDerivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,758,853

F2 · kind: Represents the automatic withholding of restricted stock units granted in February 2021 which settled in cash based on fair market value on February 3, 2022, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

Read SEC document
February 03, 2022 Filed Feb 7, 2022 21:34 UTC
FAIRBANK RICHARD DDirector · Chairman and CEO
Tax withholdingCommon Stock 193 $148.29 $28,619.97
Disclosure

SEC source: 0000927628-22-000053 · wf-form4_164426964072225.xml · nonDerivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,759,022

F2 · kind: Represents the automatic withholding of restricted stock units granted in February 2021 which settled in cash based on fair market value on February 3, 2022, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

Read SEC document
February 03, 2022 Filed Feb 7, 2022 21:34 UTC
FAIRBANK RICHARD DDirector · Chairman and CEO
Tax withholdingCommon Stock 186 $148.29 $27,581.94
Disclosure

SEC source: 0000927628-22-000053 · wf-form4_164426964072225.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,759,215

F1 · kind: Represents the automatic withholding of restricted stock units granted in January 2020 which settled in cash based on fair market value on February 3, 2022, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

Read SEC document
February 03, 2022 Filed Feb 7, 2022 21:34 UTC
FAIRBANK RICHARD DDirector · Chairman and CEO
Tax withholdingCommon Stock 276 $148.29 $40,928.04
Disclosure

SEC source: 0000927628-22-000053 · wf-form4_164426964072225.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,759,401

F1 · kind: Represents the automatic withholding of restricted stock units granted in January 2020 which settled in cash based on fair market value on February 3, 2022, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

Read SEC document
February 03, 2022 Filed Feb 7, 2022 21:34 UTC
FAIRBANK RICHARD DDirector · Chairman and CEO
Exercise / conversionCommon Stock 169 $148.29 $25,061.01
Disclosure

SEC source: 0000927628-22-000053 · wf-form4_164426964072225.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,759,677

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · kind: Represents the automatic withholding of restricted stock units granted in February 2021 which settled in cash based on fair market value on February 3, 2022, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

Read SEC document
February 03, 2022 Filed Feb 7, 2022 21:34 UTC
FAIRBANK RICHARD DDirector · Chairman and CEO
Exercise / conversionCommon Stock 193 $148.29 $28,619.97
Disclosure

SEC source: 0000927628-22-000053 · wf-form4_164426964072225.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,759,508

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · kind: Represents the automatic withholding of restricted stock units granted in February 2021 which settled in cash based on fair market value on February 3, 2022, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

Read SEC document
February 03, 2022 Filed Feb 7, 2022 21:34 UTC
FAIRBANK RICHARD DDirector · Chairman and CEO
Exercise / conversionCommon Stock 186 $148.29 $27,581.94
Disclosure

SEC source: 0000927628-22-000053 · wf-form4_164426964072225.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,759,315

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 · kind: Represents the automatic withholding of restricted stock units granted in January 2020 which settled in cash based on fair market value on February 3, 2022, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

Read SEC document
February 03, 2022 Filed Feb 7, 2022 21:34 UTC
FAIRBANK RICHARD DDirector · Chairman and CEO
Exercise / conversionCommon Stock 276 $148.29 $40,928.04
Disclosure

SEC source: 0000927628-22-000053 · wf-form4_164426964072225.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,759,129

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 · kind: Represents the automatic withholding of restricted stock units granted in January 2020 which settled in cash based on fair market value on February 3, 2022, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

Read SEC document
February 03, 2022 Filed Feb 7, 2022 21:35 UTC
Hall SheldonChief Risk Officer
GrantCommon Stock 8,769 $0.00 $0.00
Disclosure

SEC source: 0000927628-22-000054 · wf-form4_164426968263288.xml · nonDerivative · entry 1

Hall Sheldon · CIK 0001748065 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,730

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2023 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

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
February 03, 2022 Filed Feb 7, 2022 21:35 UTC
Young Andrew MChief Financial Officer
GrantCommon Stock 7,587 $0.00 $0.00
Disclosure

SEC source: 0000927628-22-000055 · wf-form4_164426971555044.xml · nonDerivative · entry 1

Young Andrew M · CIK 0001839737 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,371

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2023 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

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
February 03, 2022 Filed Feb 7, 2022 21:35 UTC
Berson Jory AFormer Chief HR Officer
GrantCommon Stock 8,862 $0.00 $0.00
Disclosure

SEC source: 0000927628-22-000056 · wf-form4_164426973156352.xml · nonDerivative · entry 1

Berson Jory A · CIK 0001365632 · Former Chief HR Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,120

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2023 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

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
February 01, 2022 Filed Feb 3, 2022 21:48 UTC Exercise / conversionStock Options · Derivative 7,709 $0.00 Strike: $54.07 $0.00
Disclosure

SEC source: 0000927628-22-000023 · wf-form4_164392487759425.xml · derivative · entry 3

RASKIND PETER E · CIK 0001181669 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,709 shares

Expires 2022-05-07

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 April 29, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
February 01, 2022 Filed Feb 3, 2022 21:48 UTC SaleCommon Stock 7,709 $147.00 $1,133,223.00
Disclosure

SEC source: 0000927628-22-000023 · wf-form4_164392487759425.xml · nonDerivative · entry 2

RASKIND PETER E · CIK 0001181669 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,096

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on April 29, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
February 01, 2022 Filed Feb 3, 2022 21:48 UTC Exercise / conversionCommon Stock 7,709 $54.07 $416,825.63
Disclosure

SEC source: 0000927628-22-000023 · wf-form4_164392487759425.xml · nonDerivative · entry 1

RASKIND PETER E · CIK 0001181669 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,805

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 April 29, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
January 31, 2022 Filed Feb 2, 2022 21:10 UTC
Blinde NealEC, Commercial Banking
GrantCommon Stock 20,446 $0.00 $0.00
Disclosure

SEC source: 0000927628-22-000019 · wf-form4_164383621512967.xml · nonDerivative · entry 3

Blinde Neal · CIK 0001906015 · EC, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 142,668

F3 · security: This restricted stock unit award will vest in 1/3 increments beginning on January 31, 2023 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
January 31, 2022 Filed Feb 2, 2022 21:10 UTC
Blinde NealEC, Commercial Banking
GrantCommon Stock 40,892 $0.00 $0.00
Disclosure

SEC source: 0000927628-22-000019 · wf-form4_164383621512967.xml · nonDerivative · entry 2

Blinde Neal · CIK 0001906015 · EC, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 122,222

F2 · security: This restricted stock unit award will vest in 1/4 increments beginning on January 31, 2023 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
January 31, 2022 Filed Feb 2, 2022 21:10 UTC
Blinde NealEC, Commercial Banking
GrantCommon Stock 81,306 $0.00 $0.00
Disclosure

SEC source: 0000927628-22-000019 · wf-form4_164383621512967.xml · nonDerivative · entry 1

Blinde Neal · CIK 0001906015 · EC, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,330

F1 · security: 50% of this restricted stock unit award will vest on January 31, 2023, 30% will vest on January 31, 2024, and 20% will vest on January 31, 2025. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
January 31, 2022 Filed Feb 2, 2022 21:11 UTC SaleCommon Stock 1 $142.62 $142.62
Disclosure

SEC source: 0000927628-22-000020 · wf-form4_164383629934797.xml · nonDerivative · entry 1

HACKETT ANN F · CIK 0001188662 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 5,005

Read SEC document
January 27, 2022 Filed Jan 31, 2022 21:13 UTC
FAIRBANK RICHARD DDirector · Chairman and CEO
Exercise / conversionStock Options · Derivative 100 $0.00 Strike: $45.75 $0.00
Disclosure

SEC source: 0000927628-22-000013 · wf-form4_164366361944226.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 100 shares

Expires 2022-01-30

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 10, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
January 27, 2022 Filed Jan 31, 2022 21:13 UTC
FAIRBANK RICHARD DDirector · Chairman and CEO
SaleCommon Stock 57 $146.82 $8,368.74
Disclosure

SEC source: 0000927628-22-000013 · wf-form4_164366361944226.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,758,853

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

Read SEC document
January 27, 2022 Filed Jan 31, 2022 21:13 UTC
FAIRBANK RICHARD DDirector · Chairman and CEO
Exercise / conversionCommon Stock 100 $45.75 $4,575.00
Disclosure

SEC source: 0000927628-22-000013 · wf-form4_164366361944226.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,758,910

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 10, 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 Dividend Reinvestment Plan since the last reported transaction.

Read SEC document
January 27, 2022 Filed Jan 31, 2022 21:14 UTC
Cooper Matthew WGeneral Counsel
SaleCommon Stock 6,767 $146.82 $993,530.94
Disclosure

SEC source: 0000927628-22-000014 · wf-form4_164366366723792.xml · nonDerivative · entry 1

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,396

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on October 28, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
January 27, 2022 Filed Feb 13, 2023 23:06 UTC OtherCommon Stock 1 $146.90 $146.90
Disclosure

SEC source: 0000927628-23-000065 · wf-form5_167632954249822.xml · nonDerivative · entry 4

williams craig a. · CIK 0001848752 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,509

Read SEC document
January 26, 2022 Filed Feb 13, 2023 23:06 UTC OtherCommon Stock 19 $146.20 $2,777.80
Disclosure

SEC source: 0000927628-23-000065 · wf-form5_167632954249822.xml · nonDerivative · entry 3

williams craig a. · CIK 0001848752 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,508

Read SEC document
January 25, 2022 Filed Feb 13, 2023 23:06 UTC OtherCommon Stock 10 $150.28 $1,502.80
Disclosure

SEC source: 0000927628-23-000065 · wf-form5_167632954249822.xml · nonDerivative · entry 2

williams craig a. · CIK 0001848752 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,489

Read SEC document
January 24, 2022 Filed Feb 13, 2023 23:06 UTC OtherCommon Stock 7 $144.68 $1,012.76
Disclosure

SEC source: 0000927628-23-000065 · wf-form5_167632954249822.xml · nonDerivative · entry 1

williams craig a. · CIK 0001848752 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,479

Read SEC document
November 05, 2021 Filed Nov 9, 2021 21:34 UTC GrantCommon Stock 646 $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000318 · wf-form4_163649362585223.xml · nonDerivative · entry 1

Detrick Christine Rose · CIK 0001594796 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 646

F1 · security: Restricted Stock Units which vest in their entirety on November 5, 2022.

Read SEC document
November 01, 2021 Filed Nov 3, 2021 20:12 UTC Exercise / conversionStock Options · Derivative 2,716 $0.00 Strike: $45.75 $0.00
Disclosure

SEC source: 0000927628-21-000300 · wf-form4_163597032876091.xml · derivative · entry 3

RASKIND PETER E · CIK 0001181669 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,716 shares

Expires 2022-01-30

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 April 29, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
November 01, 2021 Filed Nov 3, 2021 20:12 UTC SaleCommon Stock 2,716 $152.33 $413,728.28
Disclosure

SEC source: 0000927628-21-000300 · wf-form4_163597032876091.xml · nonDerivative · entry 2

RASKIND PETER E · CIK 0001181669 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,096

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on April 29, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
November 01, 2021 Filed Nov 3, 2021 20:12 UTC Exercise / conversionCommon Stock 2,716 $45.75 $124,257.00
Disclosure

SEC source: 0000927628-21-000300 · wf-form4_163597032876091.xml · nonDerivative · entry 1

RASKIND PETER E · CIK 0001181669 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,812

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 April 29, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
September 27, 2021 Filed Sep 29, 2021 20:57 UTC
Sanjiv YajnikPresident, Financial Services
SaleCommon Stock 451 $170.00 $76,670.00
Disclosure

SEC source: 0000927628-21-000286 · wf-form4_163294906165079.xml · nonDerivative · entry 1

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,415

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on July 29, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
September 23, 2021 Filed Sep 27, 2021 20:06 UTC
FINNERAN JOHN G JRSenior Advisor and Corp Secy
SaleCommon Stock 10,000 $167.03 $1,670,300.00
Disclosure

SEC source: 0000927628-21-000280 · wf-form4_163277316570703.xml · nonDerivative · entry 2

FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,017

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on July 30, 2021, 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 $167.00 to $167.13. Information regarding the number of shares sold at each price will be provided upon request.

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September 23, 2021 Filed Sep 27, 2021 20:06 UTC
FINNERAN JOHN G JRSenior Advisor and Corp Secy
SaleCommon Stock 10,000 $163.70 $1,637,000.00
Disclosure

SEC source: 0000927628-21-000280 · wf-form4_163277316570703.xml · nonDerivative · entry 1

FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,017

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on July 30, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $163.50 to $163.95. Information regarding the number of shares sold at each price will be provided upon request.

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September 02, 2021 Filed Sep 7, 2021 20:05 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
SaleCommon Stock 1,409 $162.49 $228,948.41
Disclosure

SEC source: 0000927628-21-000272 · wf-form4_163104513366787.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,639

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 3, 2021, 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 $162.40 to $162.52. Information regarding the number of shares sold at each price will be provided upon request.

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September 02, 2021 Filed Sep 7, 2021 20:05 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
SaleCommon Stock 1,923 $162.12 $311,756.76
Disclosure

SEC source: 0000927628-21-000272 · wf-form4_163104513366787.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,048

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 3, 2021, 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 $161.39 to $162.38. Information regarding the number of shares sold at each price will be provided upon request.

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September 02, 2021 Filed Sep 7, 2021 20:05 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
SaleCommon Stock 8,336 $160.83 $1,340,678.88
Disclosure

SEC source: 0000927628-21-000272 · wf-form4_163104513366787.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,971

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 3, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $160.38 to $161.35. Information regarding the number of shares sold at each price will be provided upon request.

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August 30, 2021 Filed Sep 1, 2021 20:07 UTC
Sanjiv YajnikPresident, Financial Services
SaleCommon Stock 1,658 $172.68 $286,303.44
Disclosure

SEC source: 0000927628-21-000270 · wf-form4_163052682520607.xml · nonDerivative · entry 4

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,866

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on July 29, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $172.39 to $173.00. Information regarding the number of shares sold at each price will be provided upon request.

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August 30, 2021 Filed Sep 1, 2021 20:07 UTC
Sanjiv YajnikPresident, Financial Services
SaleCommon Stock 1,070 $171.82 $183,847.40
Disclosure

SEC source: 0000927628-21-000270 · wf-form4_163052682520607.xml · nonDerivative · entry 3

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,524

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on July 29, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $171.29 to $172.25. Information regarding the number of shares sold at each price will be provided upon request.

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August 30, 2021 Filed Sep 1, 2021 20:07 UTC
Sanjiv YajnikPresident, Financial Services
SaleCommon Stock 790 $170.56 $134,742.40
Disclosure

SEC source: 0000927628-21-000270 · wf-form4_163052682520607.xml · nonDerivative · entry 2

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,594

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on July 29, 2021, 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 $170.17 to $170.81. Information regarding the number of shares sold at each price will be provided upon request.

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August 30, 2021 Filed Sep 1, 2021 20:07 UTC
Sanjiv YajnikPresident, Financial Services
SaleCommon Stock 1,830 $169.60 $310,368.00
Disclosure

SEC source: 0000927628-21-000270 · wf-form4_163052682520607.xml · nonDerivative · entry 1

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,384

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on July 29, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $169.13 to $170.12. Information regarding the number of shares sold at each price will be provided upon request.

F3 · balance_after: Includes shares acquired by the reporting person through a dividend reinvestment program since the last reported transaction.

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August 26, 2021 Filed Aug 30, 2021 20:19 UTC
Alexander Robert M.Chief Information Officer
SaleCommon Stock 12,267 $174.23 $2,137,279.41
Disclosure

SEC source: 0000927628-21-000268 · wf-form4_163035474954021.xml · nonDerivative · entry 1

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,585

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on July 27, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $173.67 to $174.52. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
July 27, 2021 Filed Jul 29, 2021 20:19 UTC
Slocum MichaelPresident, Commercial Banking
Exercise / conversionStock Options · Derivative 29,413 $0.00 Strike: $74.96 $0.00
Disclosure

SEC source: 0000927628-21-000249 · wf-form4_162758996241025.xml · derivative · entry 6

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 29,413 shares

Expires 2025-01-28

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.

F4 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on February 15, 2016 and annually thereafter.

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July 27, 2021 Filed Jul 29, 2021 20:19 UTC
Slocum MichaelPresident, Commercial Banking
Exercise / conversionStock Options · Derivative 24,404 $0.00 Strike: $70.96 $0.00
Disclosure

SEC source: 0000927628-21-000249 · wf-form4_162758996241025.xml · derivative · entry 5

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 24,404 shares

Expires 2024-01-29

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on February 15, 2015 and annually thereafter.

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July 27, 2021 Filed Jul 29, 2021 20:19 UTC
Slocum MichaelPresident, Commercial Banking
SaleCommon Stock 9,900 $162.27 $1,606,473.00
Disclosure

SEC source: 0000927628-21-000249 · wf-form4_162758996241025.xml · nonDerivative · entry 4

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,688

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $162.06 to $162.66. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
July 27, 2021 Filed Jul 29, 2021 20:19 UTC
Slocum MichaelPresident, Commercial Banking
SaleCommon Stock 43,917 $161.69 $7,100,939.73
Disclosure

SEC source: 0000927628-21-000249 · wf-form4_162758996241025.xml · nonDerivative · entry 3

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,588

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $161.06 to $162.04. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
July 27, 2021 Filed Jul 29, 2021 20:19 UTC
Slocum MichaelPresident, Commercial Banking
Exercise / conversionCommon Stock 29,413 $74.96 $2,204,798.48
Disclosure

SEC source: 0000927628-21-000249 · wf-form4_162758996241025.xml · nonDerivative · entry 2

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,505

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.

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.