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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 27, 2021 Filed Jul 29, 2021 20:19 UTC
Slocum MichaelPresident, Commercial Banking
Exercise / conversionCommon Stock 24,404 $70.96 $1,731,707.84
Disclosure

SEC source: 0000927628-21-000249 · wf-form4_162758996241025.xml · nonDerivative · entry 1

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,092

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
July 27, 2021 Filed Jul 29, 2021 20:20 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Exercise / conversionStock Options · Derivative 359,909 $0.00 Strike: $45.75 $0.00
Disclosure

SEC source: 0000927628-21-000250 · wf-form4_162758999805261.xml · derivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100

Underlying: Common Stock · 359,909 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
July 27, 2021 Filed Jul 29, 2021 20:20 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
SaleCommon Stock 3,100 $163.48 $506,788.00
Disclosure

SEC source: 0000927628-21-000250 · wf-form4_162758999805261.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,758,798

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.

F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $163.40 to $163.66. 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 20:20 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
SaleCommon Stock 44,225 $162.89 $7,203,810.25
Disclosure

SEC source: 0000927628-21-000250 · wf-form4_162758999805261.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,761,898

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.

F6 · 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 $163.39. 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 20:20 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
SaleCommon Stock 115,385 $161.92 $18,683,139.20
Disclosure

SEC source: 0000927628-21-000250 · wf-form4_162758999805261.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,806,123

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.

F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $161.40 to $162.39. 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 20:20 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
SaleCommon Stock 39,121 $160.94 $6,296,133.74
Disclosure

SEC source: 0000927628-21-000250 · wf-form4_162758999805261.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,921,508

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.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $160.40 to $161.39. 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 20:20 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
SaleCommon Stock 17,158 $160.00 $2,745,280.00
Disclosure

SEC source: 0000927628-21-000250 · wf-form4_162758999805261.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,960,629

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.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $159.39 to $160.37. 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 20:20 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Exercise / conversionCommon Stock 359,909 $45.75 $16,465,836.75
Disclosure

SEC source: 0000927628-21-000250 · wf-form4_162758999805261.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,977,787

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
July 21, 2021 Filed Mar 11, 2022 21:16 UTC SaleCommon Stock 3 $164.25 $492.75
Disclosure

SEC source: 0000927628-22-000112 · wf-form4_164703334941625.xml · nonDerivative · entry 6

williams craig a. · CIK 0001848752 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,860

Read SEC document
June 14, 2021 Filed Mar 11, 2022 21:16 UTC PurchaseCommon Stock 19 $158.43 $3,010.17
Disclosure

SEC source: 0000927628-22-000112 · wf-form4_164703334941625.xml · nonDerivative · entry 5

williams craig a. · CIK 0001848752 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,863

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 3 shares, with the reporting person's sale of 3 shares of common stock on July 21, 2021. The reporting person will pay to Issuer the full amount of the profit realized in connection with the short-swing transaction, less transaction costs.

Read SEC document
June 11, 2021 Filed Mar 11, 2022 21:16 UTC PurchaseCommon Stock 5 $160.02 $800.10
Disclosure

SEC source: 0000927628-22-000112 · wf-form4_164703334941625.xml · nonDerivative · entry 4

williams craig a. · CIK 0001848752 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,844

Read SEC document
June 10, 2021 Filed Mar 11, 2022 21:16 UTC PurchaseCommon Stock 4 $159.25 $637.00
Disclosure

SEC source: 0000927628-22-000112 · wf-form4_164703334941625.xml · nonDerivative · entry 3

williams craig a. · CIK 0001848752 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,839

Read SEC document
June 07, 2021 Filed Jun 9, 2021 20:45 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversionStock Options · Derivative 21,316 $0.00 Strike: $86.34 $0.00
Disclosure

SEC source: 0000927628-21-000223 · wf-form4_162327150504049.xml · derivative · entry 5

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 21,316 shares

Expires 2027-02-02

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

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 5, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F6 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on February 15, 2018 and annually thereafter.

Read SEC document
June 07, 2021 Filed Jun 9, 2021 20:45 UTC
Berson Jory AChief Human Resources Officer
SaleCommon Stock 11,985 $164.72 $1,974,169.20
Disclosure

SEC source: 0000927628-21-000223 · wf-form4_162327150504049.xml · nonDerivative · entry 3

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,172

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 5, 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 $164.50 to $165.23. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
June 07, 2021 Filed Jun 9, 2021 20:45 UTC
Berson Jory AChief Human Resources Officer
SaleCommon Stock 12,450 $164.12 $2,043,294.00
Disclosure

SEC source: 0000927628-21-000223 · wf-form4_162327150504049.xml · nonDerivative · entry 2

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,157

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 5, 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 $163.50 to $164.47. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
June 07, 2021 Filed Jun 9, 2021 20:45 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversionCommon Stock 21,316 $86.34 $1,840,423.44
Disclosure

SEC source: 0000927628-21-000223 · wf-form4_162327150504049.xml · nonDerivative · entry 1

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,607

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

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 5, 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
June 01, 2021 Filed Jun 3, 2021 20:18 UTC Exercise / conversionStock Options · Derivative 7,709 $0.00 Strike: $54.07 $0.00
Disclosure

SEC source: 0000927628-21-000219 · wf-form4_162275140957362.xml · derivative · entry 4

SHATTUCK MAYO A III · CIK 0001087426 · 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
June 01, 2021 Filed Jun 3, 2021 20:18 UTC SaleCommon Stock 3,089 $165.17 $510,210.13
Disclosure

SEC source: 0000927628-21-000219 · wf-form4_162275140957362.xml · nonDerivative · entry 3

SHATTUCK MAYO A III · CIK 0001087426 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,230

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.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $164.90 to $165.59. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
June 01, 2021 Filed Jun 3, 2021 20:18 UTC SaleCommon Stock 4,620 $164.45 $759,759.00
Disclosure

SEC source: 0000927628-21-000219 · wf-form4_162275140957362.xml · nonDerivative · entry 2

SHATTUCK MAYO A III · CIK 0001087426 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,319

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.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $163.85 to $164.83. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
June 01, 2021 Filed Jun 3, 2021 20:18 UTC Exercise / conversionCommon Stock 7,709 $54.07 $416,825.63
Disclosure

SEC source: 0000927628-21-000219 · wf-form4_162275140957362.xml · nonDerivative · entry 1

SHATTUCK MAYO A III · CIK 0001087426 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,939

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
June 01, 2021 Filed Jun 3, 2021 20:18 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Exercise / conversionStock Options · Derivative 32,420 $0.00 Strike: $63.73 $0.00
Disclosure

SEC source: 0000927628-21-000220 · wf-form4_162275149747270.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 32,420 shares

Expires 2026-02-03

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.

F5 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on February 15, 2017 and annually thereafter.

Read SEC document
June 01, 2021 Filed Jun 3, 2021 20:18 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
SaleCommon Stock 12,822 $165.16 $2,117,681.52
Disclosure

SEC source: 0000927628-21-000220 · wf-form4_162275149747270.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,307

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.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $164.85 to $165.61. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
June 01, 2021 Filed Jun 3, 2021 20:18 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
SaleCommon Stock 19,598 $164.45 $3,222,891.10
Disclosure

SEC source: 0000927628-21-000220 · wf-form4_162275149747270.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,129

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.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $163.85 to $164.84. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
June 01, 2021 Filed Jun 3, 2021 20:18 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Exercise / conversionCommon Stock 32,420 $63.73 $2,066,126.60
Disclosure

SEC source: 0000927628-21-000220 · wf-form4_162275149747270.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,727

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
June 01, 2021 Filed Jun 3, 2021 20:19 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionStock Options · Derivative 28,540 $0.00 Strike: $63.73 $0.00
Disclosure

SEC source: 0000927628-21-000221 · wf-form4_162275154442610.xml · derivative · entry 6

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 28,540 shares

Expires 2026-02-03

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 30, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F4 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on February 15, 2017 and annually thereafter.

Read SEC document
June 01, 2021 Filed Jun 3, 2021 20:19 UTC
Alexander Robert M.Chief Information Officer
SaleCommon Stock 15,190 $165.16 $2,508,780.40
Disclosure

SEC source: 0000927628-21-000221 · wf-form4_162275154442610.xml · nonDerivative · entry 3

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,852

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on April 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 $164.86 to $165.61. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
June 01, 2021 Filed Jun 3, 2021 20:19 UTC
Alexander Robert M.Chief Information Officer
SaleCommon Stock 23,042 $164.45 $3,789,256.90
Disclosure

SEC source: 0000927628-21-000221 · wf-form4_162275154442610.xml · nonDerivative · entry 2

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,042

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on April 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 $163.85 to $164.84. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
June 01, 2021 Filed Jun 3, 2021 20:19 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionCommon Stock 28,540 $63.73 $1,818,854.20
Disclosure

SEC source: 0000927628-21-000221 · wf-form4_162275154442610.xml · nonDerivative · entry 1

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,084

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 30, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
May 13, 2021 Filed May 17, 2021 20:12 UTC
Wassmer Michael JPresident, Card
SaleCommon Stock 17,743 $156.27 $2,772,698.61
Disclosure

SEC source: 0000927628-21-000214 · wf-form4_162128235946710.xml · nonDerivative · entry 1

Wassmer Michael J · CIK 0001691706 · President, Card

10b5-1 filing: Not disclosed

Ownership: Indirect · By GRAT

Disclosed balance after: 0

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $156.22 to $156.34. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
May 06, 2021 Filed May 10, 2021 20:14 UTC GrantCommon Stock 1,279 $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000192 · wf-form4_162067765848541.xml · nonDerivative · entry 1

Archibong Ime · CIK 0001848476 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,654

F1 · security: Restricted stock units which vest in their entirety on May 6, 2022 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 06, 2021 Filed May 10, 2021 20:15 UTC GrantCommon Stock 1,279 $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000193 · wf-form4_162067767928732.xml · nonDerivative · entry 1

Killalea Peter Thomas · CIK 0001638728 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,055

F1 · security: Restricted stock units which vest in their entirety on May 6, 2022 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 06, 2021 Filed May 10, 2021 20:15 UTC GrantCommon Stock 1,279 $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000194 · wf-form4_162067771032762.xml · nonDerivative · entry 1

williams craig a. · CIK 0001848752 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,820

F1 · security: Restricted stock units which vest in their entirety on May 6, 2022 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 06, 2021 Filed May 10, 2021 20:15 UTC GrantCommon Stock 1,279 $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000195 · wf-form4_162067773408426.xml · nonDerivative · entry 1

WEST CATHERINE · CIK 0001238043 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,512

F1 · security: Restricted stock units which vest in their entirety on May 6, 2022 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 06, 2021 Filed May 10, 2021 20:16 UTC GrantCommon Stock 1,279 $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000196 · wf-form4_162067776764132.xml · nonDerivative · entry 1

SHATTUCK MAYO A III · CIK 0001087426 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,230

F1 · security: Restricted stock units which vest in their entirety on May 6, 2022 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 06, 2021 Filed May 10, 2021 20:17 UTC GrantCommon Stock 1,279 $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000197 · wf-form4_162067779207121.xml · nonDerivative · entry 1

HACKETT ANN F · CIK 0001188662 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,915

F1 · security: Restricted stock units which vest in their entirety on May 6, 2022 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 06, 2021 Filed May 10, 2021 20:17 UTC GrantCommon Stock 1,279 $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000198 · wf-form4_162067782401015.xml · nonDerivative · entry 1

Locoh-Donou Francois · CIK 0001526624 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,502

F1 · security: Restricted stock units which vest in their entirety on May 6, 2022 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.

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May 06, 2021 Filed May 10, 2021 20:18 UTC GrantCommon Stock 1,279 $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000199 · wf-form4_162067786496543.xml · nonDerivative · entry 1

Leenaars Cornelis PAJ · CIK 0001549838 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,934

F1 · security: Restricted stock units which vest in their entirety on May 6, 2022 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.

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May 06, 2021 Filed May 10, 2021 20:18 UTC GrantCommon Stock 1,279 $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000200 · wf-form4_162067788590250.xml · nonDerivative · entry 1

RASKIND PETER E · CIK 0001181669 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,096

F1 · security: Restricted stock units which vest in their entirety on May 6, 2022 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.

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May 06, 2021 Filed May 10, 2021 20:18 UTC GrantCommon Stock 1,279 $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000201 · wf-form4_162067791097737.xml · nonDerivative · entry 1

WARNER BRADFORD H · CIK 0001195086 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,489

F1 · security: Restricted stock units which vest in their entirety on May 6, 2022 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.

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May 06, 2021 Filed May 10, 2021 20:19 UTC
Serra EileenDirector
GrantCommon Stock 1,279 $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000202 · wf-form4_162067793003442.xml · nonDerivative · entry 1

Serra Eileen · CIK 0001721344 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,544

F1 · security: Restricted stock units which vest in their entirety on May 6, 2022 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.

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May 04, 2021 Filed May 6, 2021 20:18 UTC
Slocum MichaelPresident, Commercial Banking
Exercise / conversionStock Options · Derivative 9,780 $0.00 Strike: $45.75 $0.00
Disclosure

SEC source: 0000927628-21-000170 · wf-form4_162033226186785.xml · derivative · entry 3

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,780 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.

F2 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on February 10, 2013 and annually thereafter.

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May 04, 2021 Filed May 6, 2021 20:18 UTC
Slocum MichaelPresident, Commercial Banking
SaleCommon Stock 6,354 $148.19 $941,599.26
Disclosure

SEC source: 0000927628-21-000170 · wf-form4_162033226186785.xml · nonDerivative · entry 2

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,688

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $148.16 to $148.23. Information regarding the number of shares sold at each price will be provided upon request.

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May 04, 2021 Filed May 6, 2021 20:18 UTC
Slocum MichaelPresident, Commercial Banking
Exercise / conversionCommon Stock 9,780 $45.75 $447,435.00
Disclosure

SEC source: 0000927628-21-000170 · wf-form4_162033226186785.xml · nonDerivative · entry 1

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,042

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.

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May 03, 2021 Filed May 5, 2021 20:30 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
GiftCommon Stock 70,720 $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000167 · wf-form4_162024663089099.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,617,875

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April 30, 2021 Filed May 4, 2021 20:15 UTC
Cooper Matthew WGeneral Counsel
SaleCommon Stock 1,300 $149.18 $193,934.00
Disclosure

SEC source: 0000927628-21-000164 · wf-form4_162015927354474.xml · nonDerivative · entry 2

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,163

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on January 28, 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 $149.01 to $149.56. Information regarding the number of shares sold at each price will be provided upon request.

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April 30, 2021 Filed May 4, 2021 20:15 UTC
Cooper Matthew WGeneral Counsel
SaleCommon Stock 7,703 $148.45 $1,143,510.35
Disclosure

SEC source: 0000927628-21-000164 · wf-form4_162015927354474.xml · nonDerivative · entry 1

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,463

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on January 28, 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 $148.01 to $149.00. Information regarding the number of shares sold at each price will be provided upon request.

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April 30, 2021 Filed May 4, 2021 20:16 UTC SaleCommon Stock 2,526 $149.00 $376,374.00
Disclosure

SEC source: 0000927628-21-000165 · wf-form4_162015934830149.xml · nonDerivative · entry 1

Golden Timothy P · CIK 0001706865 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,583

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

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April 29, 2021 Filed May 3, 2021 20:34 UTC
Borgmann Kevin S.Senior Advisor to the CEO
SaleCommon Stock 9,633 $147.29 $1,418,844.57
Disclosure

SEC source: 0000927628-21-000161 · wf-form4_162007406285837.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,223

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on January 28, 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 $146.87 to $147.65. Information regarding the number of shares sold at each price will be provided upon request.

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April 29, 2021 Filed May 3, 2021 20:34 UTC
Borgmann Kevin S.Senior Advisor to the CEO
SaleCommon Stock 7,145 $146.44 $1,046,313.80
Disclosure

SEC source: 0000927628-21-000161 · wf-form4_162007406285837.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,856

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on January 28, 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 $145.84 to $146.82. Information regarding the number of shares sold at each price will be provided upon request.

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April 14, 2021 Filed Apr 15, 2021 20:34 UTC
Sanjiv YajnikPresident, Financial Services
Exercise / conversionStock Options · Derivative 22,462 $0.00 Strike: $86.34 $0.00
Disclosure

SEC source: 0000927628-21-000150 · wf-form4_161851880941061.xml · derivative · entry 3

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 22,462 shares

Expires 2027-02-02

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

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

F3 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on February 15, 2018 and annually thereafter.

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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.