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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
April 14, 2021 Filed Apr 15, 2021 20:34 UTC
Sanjiv YajnikPresident, Financial Services
SaleCommon Stock 33,684 $135.00 $4,547,340.00
Disclosure

SEC source: 0000927628-21-000150 · wf-form4_161851880941061.xml · nonDerivative · entry 2

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,128

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 $135.00 to $135.07. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
April 14, 2021 Filed Apr 15, 2021 20:34 UTC
Sanjiv YajnikPresident, Financial Services
Exercise / conversionCommon Stock 22,462 $86.34 $1,939,369.08
Disclosure

SEC source: 0000927628-21-000150 · wf-form4_161851880941061.xml · nonDerivative · entry 1

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,812

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 January 28, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
April 14, 2021 Filed Apr 15, 2021 20:35 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Exercise / conversionStock Options · Derivative 31,903 $0.00 Strike: $74.96 $0.00
Disclosure

SEC source: 0000927628-21-000151 · wf-form4_161851886210272.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 31,903 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.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on February 2, 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, 2016 and annually thereafter.

Read SEC document
April 14, 2021 Filed Apr 15, 2021 20:35 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
SaleCommon Stock 31,903 $135.02 $4,307,543.06
Disclosure

SEC source: 0000927628-21-000151 · wf-form4_161851886210272.xml · nonDerivative · entry 2

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 February 2, 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 $135.00 to $135.02. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
April 14, 2021 Filed Apr 15, 2021 20:35 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Exercise / conversionCommon Stock 31,903 $74.96 $2,391,448.88
Disclosure

SEC source: 0000927628-21-000151 · wf-form4_161851886210272.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,210

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 2, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
March 17, 2021 Filed Mar 11, 2022 21:16 UTC SaleCommon Stock 3 $128.63 $385.89
Disclosure

SEC source: 0000927628-22-000112 · wf-form4_164703334941625.xml · nonDerivative · entry 2

williams craig a. · CIK 0001848752 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,835

Read SEC document
March 16, 2021 Filed Mar 11, 2022 21:16 UTC SaleCommon Stock 11 $129.11 $1,420.21
Disclosure

SEC source: 0000927628-22-000112 · wf-form4_164703334941625.xml · nonDerivative · entry 1

williams craig a. · CIK 0001848752 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,838

Read SEC document
March 11, 2021 Filed Mar 15, 2021 21:18 UTC
Alexander Robert M.Chief Information Officer
Tax withholdingCommon Stock 5,636 $132.10 $744,515.60
Disclosure

SEC source: 0000927628-21-000134 · wf-form4_161584311665816.xml · nonDerivative · entry 2

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,544

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, 2021 Filed Mar 15, 2021 21:18 UTC
Alexander Robert M.Chief Information Officer
GrantCommon Stock 12,496 $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000134 · wf-form4_161584311665816.xml · nonDerivative · entry 1

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,180

F1 · security: These shares were earned pursuant to an award of performance shares granted on February 1, 2018 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, 2021 Filed Mar 15, 2021 21:19 UTC
Berson Jory AChief Human Resources Officer
Tax withholdingCommon Stock 6,071 $132.10 $801,979.10
Disclosure

SEC source: 0000927628-21-000135 · wf-form4_161584313329026.xml · nonDerivative · entry 2

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,260

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, 2021 Filed Mar 15, 2021 21:19 UTC
Berson Jory AChief Human Resources Officer
GrantCommon Stock 13,460 $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000135 · wf-form4_161584313329026.xml · nonDerivative · entry 1

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,331

F1 · security: These shares were earned pursuant to an award of performance shares granted on February 1, 2018 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, 2021 Filed Mar 15, 2021 21:19 UTC Tax withholdingCommon Stock 6,085 $132.10 $803,828.50
Disclosure

SEC source: 0000927628-21-000136 · wf-form4_161584315272992.xml · nonDerivative · entry 2

Blackley Richard Scott · CIK 0001525020 · Senior Advisor

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,541

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, 2021 Filed Mar 15, 2021 21:19 UTC GrantCommon Stock 13,492 $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000136 · wf-form4_161584315272992.xml · nonDerivative · entry 1

Blackley Richard Scott · CIK 0001525020 · Senior Advisor

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,626

F1 · security: These shares were earned pursuant to an award of performance shares granted on February 1, 2018 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, 2021 Filed Mar 15, 2021 21:19 UTC
Borgmann Kevin S.Senior Advisor to the CEO
Tax withholdingCommon Stock 7,672 $132.10 $1,013,471.20
Disclosure

SEC source: 0000927628-21-000137 · wf-form4_161584316867147.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,001

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, 2021 Filed Mar 15, 2021 21:19 UTC
Borgmann Kevin S.Senior Advisor to the CEO
GrantCommon Stock 15,883 $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000137 · wf-form4_161584316867147.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,673

F1 · security: These shares were earned pursuant to an award of performance shares granted on February 1, 2018 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, 2021 Filed Mar 15, 2021 21:20 UTC
Cooper Matthew WGeneral Counsel
Tax withholdingCommon Stock 1,535 $132.10 $202,773.50
Disclosure

SEC source: 0000927628-21-000138 · wf-form4_161584319041527.xml · nonDerivative · entry 2

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,166

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, 2021 Filed Mar 15, 2021 21:20 UTC
Cooper Matthew WGeneral Counsel
GrantCommon Stock 3,402 $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000138 · wf-form4_161584319041527.xml · nonDerivative · entry 1

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,701

F1 · security: These shares were earned pursuant to an award of performance shares granted on February 1, 2018 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, 2021 Filed Mar 15, 2021 21:20 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Tax withholdingCommon Stock 54,634 $132.10 $7,217,151.40
Disclosure

SEC source: 0000927628-21-000139 · wf-form4_161584321104219.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,688,595

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, 2021 Filed Mar 15, 2021 21:20 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
GrantCommon Stock 121,138 $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000139 · wf-form4_161584321104219.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,743,229

F1 · security: These shares were earned pursuant to an award of performance shares granted on February 1, 2018 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 Dividend Reinvestment Plan since the last reported transaction.

Read SEC document
March 11, 2021 Filed Mar 15, 2021 21:20 UTC
FINNERAN JOHN G JRSenior Advisor and Corp Secy
Tax withholdingCommon Stock 5,960 $132.10 $787,316.00
Disclosure

SEC source: 0000927628-21-000140 · wf-form4_161584323115673.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: 67,017

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, 2021 Filed Mar 15, 2021 21:20 UTC
FINNERAN JOHN G JRSenior Advisor and Corp Secy
GrantCommon Stock 15,144 $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000140 · wf-form4_161584323115673.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: 72,977

F1 · security: These shares were earned pursuant to an award of performance shares granted on February 1, 2018 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, 2021 Filed Mar 15, 2021 21:21 UTC
Hall SheldonChief Risk Officer
Tax withholdingCommon Stock 1,405 $132.10 $185,600.50
Disclosure

SEC source: 0000927628-21-000141 · wf-form4_161584325372567.xml · nonDerivative · entry 2

Hall Sheldon · CIK 0001748065 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,845

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, 2021 Filed Mar 15, 2021 21:21 UTC
Hall SheldonChief Risk Officer
GrantCommon Stock 2,908 $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000141 · wf-form4_161584325372567.xml · nonDerivative · entry 1

Hall Sheldon · CIK 0001748065 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,250

F1 · security: These shares were earned pursuant to an award of performance shares granted on February 1, 2018 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, 2021 Filed Mar 15, 2021 21:21 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Tax withholdingCommon Stock 7,045 $132.10 $930,644.50
Disclosure

SEC source: 0000927628-21-000142 · wf-form4_161584327481163.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,307

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, 2021 Filed Mar 15, 2021 21:21 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
GrantCommon Stock 14,585 $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000142 · wf-form4_161584327481163.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,352

F1 · security: These shares were earned pursuant to an award of performance shares granted on February 1, 2018 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, 2021 Filed Mar 15, 2021 21:21 UTC
Sanjiv YajnikPresident, Financial Services
Tax withholdingCommon Stock 6,203 $132.10 $819,416.30
Disclosure

SEC source: 0000927628-21-000143 · wf-form4_161584329352159.xml · nonDerivative · entry 2

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,350

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, 2021 Filed Mar 15, 2021 21:21 UTC
Sanjiv YajnikPresident, Financial Services
GrantCommon Stock 15,763 $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000143 · wf-form4_161584329352159.xml · nonDerivative · entry 1

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,553

F1 · security: These shares were earned pursuant to an award of performance shares granted on February 1, 2018 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, 2021 Filed Mar 15, 2021 21:22 UTC
Slocum MichaelPresident, Commercial Banking
Tax withholdingCommon Stock 6,431 $132.10 $849,535.10
Disclosure

SEC source: 0000927628-21-000144 · wf-form4_161584331630877.xml · nonDerivative · entry 2

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,262

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, 2021 Filed Mar 15, 2021 21:22 UTC
Slocum MichaelPresident, Commercial Banking
GrantCommon Stock 13,344 $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000144 · wf-form4_161584331630877.xml · nonDerivative · entry 1

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,693

F1 · security: These shares were earned pursuant to an award of performance shares granted on February 1, 2018 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, 2021 Filed Mar 15, 2021 21:22 UTC
Wassmer Michael JPresident, Card
Tax withholdingCommon Stock 5,854 $132.10 $773,313.40
Disclosure

SEC source: 0000927628-21-000145 · wf-form4_161584334950811.xml · nonDerivative · entry 2

Wassmer Michael J · CIK 0001691706 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,798

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, 2021 Filed Mar 15, 2021 21:22 UTC
Wassmer Michael JPresident, Card
GrantCommon Stock 12,980 $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000145 · wf-form4_161584334950811.xml · nonDerivative · entry 1

Wassmer Michael J · CIK 0001691706 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,652

F1 · security: These shares were earned pursuant to an award of performance shares granted on February 1, 2018 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 08, 2021 Filed Mar 10, 2021 22:09 UTC
Sanjiv YajnikPresident, Financial Services
Exercise / conversionStock Options · Derivative 28,633 $0.00 Strike: $63.73 $0.00
Disclosure

SEC source: 0000927628-21-000117 · wf-form4_161541415249602.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 · 28,633 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 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, 2017 and annually thereafter.

Read SEC document
March 08, 2021 Filed Mar 10, 2021 22:09 UTC
Sanjiv YajnikPresident, Financial Services
SaleCommon Stock 47,485 $130.03 $6,174,474.55
Disclosure

SEC source: 0000927628-21-000117 · wf-form4_161541415249602.xml · nonDerivative · entry 2

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,790

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 $130.00 to $130.07. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
March 08, 2021 Filed Mar 10, 2021 22:09 UTC
Sanjiv YajnikPresident, Financial Services
Exercise / conversionCommon Stock 28,633 $63.73 $1,824,781.09
Disclosure

SEC source: 0000927628-21-000117 · wf-form4_161541415249602.xml · nonDerivative · entry 1

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,275

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.

Read SEC document
March 08, 2021 Filed Mar 10, 2021 22:11 UTC
FINNERAN JOHN G JRSenior Advisor and Corp Secy
SaleCommon Stock 9,710 $130.19 $1,264,144.90
Disclosure

SEC source: 0000927628-21-000118 · wf-form4_161541428795203.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By July 2020 GRAT

Disclosed balance after: 0

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person, as trustee for a grantor retained annuity trust, on February 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 $129.93 to $130.59. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
March 08, 2021 Filed Mar 10, 2021 22:11 UTC
FINNERAN JOHN G JRSenior Advisor and Corp Secy
SaleCommon Stock 24,275 $129.36 $3,140,214.00
Disclosure

SEC source: 0000927628-21-000118 · wf-form4_161541428795203.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By July 2020 GRAT

Disclosed balance after: 9,710

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person, as trustee for a grantor retained annuity trust, on February 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 $128.93 to $129.91. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
March 08, 2021 Filed Mar 10, 2021 22:11 UTC
FINNERAN JOHN G JRSenior Advisor and Corp Secy
SaleCommon Stock 11,542 $128.57 $1,483,954.94
Disclosure

SEC source: 0000927628-21-000118 · wf-form4_161541428795203.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By July 2020 GRAT

Disclosed balance after: 33,985

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person, as trustee for a grantor retained annuity trust, on February 5, 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 $127.93 to $128.92. Information regarding the number of shares sold at each price will be provided upon request.

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March 05, 2021 Filed Mar 9, 2021 21:24 UTC
Berson Jory AChief Human Resources Officer
Disposition to issuerStock Options · Derivative 30,296 $0.00 Strike: $74.96 $0.00
Disclosure

SEC source: 0000927628-21-000114 · wf-form4_161532505482991.xml · derivative · entry 7

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 30,296 shares

Expires 2025-01-28

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

F8 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on February 15, 2016 and annually thereafter.

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March 05, 2021 Filed Mar 9, 2021 21:24 UTC
Berson Jory AChief Human Resources Officer
SaleCommon Stock 24,401 $128.16 $3,127,232.16
Disclosure

SEC source: 0000927628-21-000114 · wf-form4_161532505482991.xml · nonDerivative · entry 5

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,871

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on February 3, 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 $127.55 to $128.41. Information regarding the number of shares sold at each price will be provided upon request.

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March 05, 2021 Filed Mar 9, 2021 21:24 UTC
Berson Jory AChief Human Resources Officer
SaleCommon Stock 6,330 $127.11 $804,606.30
Disclosure

SEC source: 0000927628-21-000114 · wf-form4_161532505482991.xml · nonDerivative · entry 4

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,272

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on February 3, 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 $126.53 to $127.49. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
March 05, 2021 Filed Mar 9, 2021 21:24 UTC
Berson Jory AChief Human Resources Officer
SaleCommon Stock 6,175 $126.09 $778,605.75
Disclosure

SEC source: 0000927628-21-000114 · wf-form4_161532505482991.xml · nonDerivative · entry 3

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,602

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on February 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 $125.46 to $126.46. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
March 05, 2021 Filed Mar 9, 2021 21:24 UTC
Berson Jory AChief Human Resources Officer
SaleCommon Stock 4,080 $125.15 $510,612.00
Disclosure

SEC source: 0000927628-21-000114 · wf-form4_161532505482991.xml · nonDerivative · entry 2

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,777

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on February 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 $124.45 to $125.44. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
March 05, 2021 Filed Mar 9, 2021 21:24 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversionCommon Stock 30,296 $74.96 $2,270,988.16
Disclosure

SEC source: 0000927628-21-000114 · wf-form4_161532505482991.xml · nonDerivative · entry 1

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,857

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 3, 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.

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March 04, 2021 Filed Mar 8, 2021 22:07 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionStock Options · Derivative 27,266 $0.00 Strike: $74.96 $0.00
Disclosure

SEC source: 0000927628-21-000111 · wf-form4_161524124184511.xml · derivative · entry 9

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 27,266 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.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on February 2, 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, 2016 and annually thereafter.

Read SEC document
March 04, 2021 Filed Mar 8, 2021 22:07 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionStock Options · Derivative 24,445 $0.00 Strike: $70.96 $0.00
Disclosure

SEC source: 0000927628-21-000111 · wf-form4_161524124184511.xml · derivative · entry 8

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 24,445 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.

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on February 2, 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, 2015 and annually thereafter.

Read SEC document
March 04, 2021 Filed Mar 8, 2021 22:07 UTC
Alexander Robert M.Chief Information Officer
SaleCommon Stock 34,217 $124.88 $4,273,018.96
Disclosure

SEC source: 0000927628-21-000111 · wf-form4_161524124184511.xml · nonDerivative · entry 5

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,684

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on February 2, 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 $124.70 to $125.65. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
March 04, 2021 Filed Mar 8, 2021 22:07 UTC
Alexander Robert M.Chief Information Officer
SaleCommon Stock 22,644 $124.19 $2,812,158.36
Disclosure

SEC source: 0000927628-21-000111 · wf-form4_161524124184511.xml · nonDerivative · entry 4

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,901

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on February 2, 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 $123.69 to $124.67. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
March 04, 2021 Filed Mar 8, 2021 22:07 UTC
Alexander Robert M.Chief Information Officer
SaleCommon Stock 16,391 $123.20 $2,019,371.20
Disclosure

SEC source: 0000927628-21-000111 · wf-form4_161524124184511.xml · nonDerivative · entry 3

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,545

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on February 2, 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 $122.69 to $123.67. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
March 04, 2021 Filed Mar 8, 2021 22:07 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionCommon Stock 27,266 $74.96 $2,043,859.36
Disclosure

SEC source: 0000927628-21-000111 · wf-form4_161524124184511.xml · nonDerivative · entry 2

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 139,936

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 2, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
March 04, 2021 Filed Mar 8, 2021 22:07 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionCommon Stock 24,445 $70.96 $1,734,617.20
Disclosure

SEC source: 0000927628-21-000111 · wf-form4_161524124184511.xml · nonDerivative · entry 1

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,670

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 2, 2021, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

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.