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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
March 04, 2021 Filed Mar 8, 2021 22:09 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Exercise / conversionStock Options · Derivative 29,964 $0.00 Strike: $70.96 $0.00
Disclosure

SEC source: 0000927628-21-000112 · wf-form4_161524132525621.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 29,964 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.

F6 · 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 22:09 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
SaleCommon Stock 31,414 $125.05 $3,928,320.70
Disclosure

SEC source: 0000927628-21-000112 · wf-form4_161524132525621.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,767

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 $124.89 to $125.59. 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 22:09 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
SaleCommon Stock 5,818 $124.21 $722,653.78
Disclosure

SEC source: 0000927628-21-000112 · wf-form4_161524132525621.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,181

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 $123.70 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 22:09 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
SaleCommon Stock 2,677 $123.22 $329,859.94
Disclosure

SEC source: 0000927628-21-000112 · wf-form4_161524132525621.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,999

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 $123.69. 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 22:09 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Exercise / conversionCommon Stock 29,964 $70.96 $2,126,245.44
Disclosure

SEC source: 0000927628-21-000112 · wf-form4_161524132525621.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,676

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 03, 2021 Filed Mar 5, 2021 21:32 UTC
Sanjiv YajnikPresident, Financial Services
SaleCommon Stock 14,396 $125.00 $1,799,500.00
Disclosure

SEC source: 0000927628-21-000108 · wf-form4_161497991413677.xml · nonDerivative · entry 1

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,642

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 01, 2021 Filed Mar 3, 2021 21:30 UTC
Sanjiv YajnikPresident, Financial Services
SaleCommon Stock 600 $123.96 $74,376.00
Disclosure

SEC source: 0000927628-21-000106 · wf-form4_161480699810920.xml · nonDerivative · entry 3

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,038

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.

F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $123.91 to $124.03. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
March 01, 2021 Filed Mar 3, 2021 21:30 UTC
Sanjiv YajnikPresident, Financial Services
SaleCommon Stock 19,108 $123.38 $2,357,545.04
Disclosure

SEC source: 0000927628-21-000106 · wf-form4_161480699810920.xml · nonDerivative · entry 2

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,638

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.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $122.87 to $123.83. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
March 01, 2021 Filed Mar 3, 2021 21:30 UTC
Sanjiv YajnikPresident, Financial Services
SaleCommon Stock 4,939 $122.41 $604,582.99
Disclosure

SEC source: 0000927628-21-000106 · wf-form4_161480699810920.xml · nonDerivative · entry 1

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,746

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 $121.87 to $122.82. 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 the Company's Associate Stock Purchase Plan since the last reported transaction.

Read SEC document
February 26, 2021 Filed Mar 2, 2021 21:26 UTC GrantCommon Stock 375 $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000103 · wf-form4_161472035641691.xml · nonDerivative · entry 1

Archibong Ime · CIK 0001848476 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 375

F1 · security: Restricted Stock Units which vest in their entirety on February 26, 2022.

Read SEC document
February 26, 2021 Filed Mar 2, 2021 21:28 UTC GrantCommon Stock 375 $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000104 · wf-form4_161472044539045.xml · nonDerivative · entry 1

williams craig a. · CIK 0001848752 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 541

F1 · security: Restricted Stock Units which vest in their entirety on February 26, 2022.

Read SEC document
February 15, 2021 Filed Feb 17, 2021 21:28 UTC
FINNERAN JOHN G JRSenior Advisor and Corp Secy
Exercise / conversion2018 Restricted Stock Units · Derivative 2,399 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000065 · wf-form4_161359728747607.xml · derivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,399 shares

Expires not disclosed

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

F1 · derivative.exercise_price: On February 15, 2021, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date.

F1 · price: On February 15, 2021, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date.

F5 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2019 and annually thereafter.

F5 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2019 and annually thereafter.

Read SEC document
February 15, 2021 Filed Feb 17, 2021 21:28 UTC
FINNERAN JOHN G JRSenior Advisor and Corp Secy
Tax withholdingCommon Stock 1,109 $117.75 $130,584.75
Disclosure

SEC source: 0000927628-21-000065 · wf-form4_161359728747607.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,833

F4 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 30, 2020. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 15, 2021 Filed Feb 17, 2021 21:28 UTC
FINNERAN JOHN G JRSenior Advisor and Corp Secy
Tax withholdingCommon Stock 2,201 $117.75 $259,167.75
Disclosure

SEC source: 0000927628-21-000065 · wf-form4_161359728747607.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,942

F3 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 31, 2019. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 15, 2021 Filed Feb 17, 2021 21:28 UTC
FINNERAN JOHN G JRSenior Advisor and Corp Secy
Tax withholdingCommon Stock 1,645 $117.75 $193,698.75
Disclosure

SEC source: 0000927628-21-000065 · wf-form4_161359728747607.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,143

F2 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on February 1, 2018. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 15, 2021 Filed Feb 17, 2021 21:28 UTC
FINNERAN JOHN G JRSenior Advisor and Corp Secy
Disposition to issuerCommon Stock 2,399 $109.60 $262,930.40
Disclosure

SEC source: 0000927628-21-000065 · wf-form4_161359728747607.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: 62,788

F1 · price: On February 15, 2021, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date.

Read SEC document
February 15, 2021 Filed Feb 17, 2021 21:28 UTC
FINNERAN JOHN G JRSenior Advisor and Corp Secy
Exercise / conversionCommon Stock 2,399 $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000065 · wf-form4_161359728747607.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: 65,187

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

F1 · price: On February 15, 2021, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date.

Read SEC document
February 15, 2021 Filed Feb 17, 2021 21:31 UTC
Dean LiaPres, Retail Bank & Prem. Card
Tax withholdingCommon Stock 895 $117.75 $105,386.25
Disclosure

SEC source: 0000927628-21-000066 · wf-form4_161359745704859.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,470

F3 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 30, 2020. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 15, 2021 Filed Feb 17, 2021 21:31 UTC
Dean LiaPres, Retail Bank & Prem. Card
Tax withholdingCommon Stock 696 $117.75 $81,954.00
Disclosure

SEC source: 0000927628-21-000066 · wf-form4_161359745704859.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,365

F2 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 31, 2019. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 15, 2021 Filed Feb 17, 2021 21:31 UTC
Dean LiaPres, Retail Bank & Prem. Card
Tax withholdingCommon Stock 471 $117.75 $55,460.25
Disclosure

SEC source: 0000927628-21-000066 · wf-form4_161359745704859.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,061

F1 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on February 1, 2018. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 15, 2021 Filed Feb 17, 2021 21:33 UTC
Wassmer Michael JPresident, Card
Exercise / conversion2018 Restricted Stock Units · Derivative 2,081 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000067 · wf-form4_161359757085595.xml · derivative · entry 8

Wassmer Michael J · CIK 0001691706 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,081 shares

Expires not disclosed

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

F1 · derivative.exercise_price: On February 15, 2021, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date.

F1 · price: On February 15, 2021, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date.

F5 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2019 and annually thereafter.

F5 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2019 and annually thereafter.

Read SEC document
February 15, 2021 Filed Feb 17, 2021 21:33 UTC
Wassmer Michael JPresident, Card
Tax withholdingCommon Stock 2,023 $117.75 $238,208.25
Disclosure

SEC source: 0000927628-21-000067 · wf-form4_161359757085595.xml · nonDerivative · entry 5

Wassmer Michael J · CIK 0001691706 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,587

F4 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 30, 2020. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 15, 2021 Filed Feb 17, 2021 21:33 UTC
Wassmer Michael JPresident, Card
Tax withholdingCommon Stock 1,797 $117.75 $211,596.75
Disclosure

SEC source: 0000927628-21-000067 · wf-form4_161359757085595.xml · nonDerivative · entry 4

Wassmer Michael J · CIK 0001691706 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,610

F3 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 31, 2019. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 15, 2021 Filed Feb 17, 2021 21:33 UTC
Wassmer Michael JPresident, Card
Tax withholdingCommon Stock 1,076 $117.75 $126,699.00
Disclosure

SEC source: 0000927628-21-000067 · wf-form4_161359757085595.xml · nonDerivative · entry 3

Wassmer Michael J · CIK 0001691706 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,407

F2 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on February 1, 2018. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 15, 2021 Filed Feb 17, 2021 21:33 UTC
Wassmer Michael JPresident, Card
Disposition to issuerCommon Stock 2,081 $109.60 $228,077.60
Disclosure

SEC source: 0000927628-21-000067 · wf-form4_161359757085595.xml · nonDerivative · entry 2

Wassmer Michael J · CIK 0001691706 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,483

F1 · price: On February 15, 2021, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date.

Read SEC document
February 15, 2021 Filed Feb 17, 2021 21:33 UTC
Wassmer Michael JPresident, Card
Exercise / conversionCommon Stock 2,081 $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000067 · wf-form4_161359757085595.xml · nonDerivative · entry 1

Wassmer Michael J · CIK 0001691706 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,564

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

F1 · price: On February 15, 2021, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date.

Read SEC document
February 15, 2021 Filed Feb 17, 2021 21:35 UTC Tax withholdingCommon Stock 397 $117.75 $46,746.75
Disclosure

SEC source: 0000927628-21-000068 · wf-form4_161359772456478.xml · nonDerivative · entry 3

Golden Timothy P · CIK 0001706865 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,058

F3 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 30, 2020. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 15, 2021 Filed Feb 17, 2021 21:35 UTC Tax withholdingCommon Stock 415 $117.75 $48,866.25
Disclosure

SEC source: 0000927628-21-000068 · wf-form4_161359772456478.xml · nonDerivative · entry 2

Golden Timothy P · CIK 0001706865 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,455

F2 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 31, 2019. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 15, 2021 Filed Feb 17, 2021 21:35 UTC Tax withholdingCommon Stock 314 $117.75 $36,973.50
Disclosure

SEC source: 0000927628-21-000068 · wf-form4_161359772456478.xml · nonDerivative · entry 1

Golden Timothy P · CIK 0001706865 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,870

F1 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on February 1, 2018. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 15, 2021 Filed Feb 17, 2021 21:39 UTC
Cooper Matthew WGeneral Counsel
Exercise / conversion2018 Restricted Stock Units · Derivative 1,312 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000071 · wf-form4_161359792156251.xml · derivative · entry 6

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,312 shares

Expires not disclosed

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

F1 · derivative.exercise_price: On February 15, 2021, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date.

F1 · price: On February 15, 2021, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date.

F5 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2019 and annually thereafter.

F5 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2019 and annually thereafter.

Read SEC document
February 15, 2021 Filed Feb 17, 2021 21:39 UTC
Cooper Matthew WGeneral Counsel
Tax withholdingCommon Stock 1,259 $117.75 $148,247.25
Disclosure

SEC source: 0000927628-21-000071 · wf-form4_161359792156251.xml · nonDerivative · entry 5

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,299

F4 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 30, 2020. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 15, 2021 Filed Feb 17, 2021 21:39 UTC
Cooper Matthew WGeneral Counsel
Tax withholdingCommon Stock 934 $117.75 $109,978.50
Disclosure

SEC source: 0000927628-21-000071 · wf-form4_161359792156251.xml · nonDerivative · entry 4

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,558

F3 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 31, 2019. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 15, 2021 Filed Feb 17, 2021 21:39 UTC
Cooper Matthew WGeneral Counsel
Tax withholdingCommon Stock 847 $117.75 $99,734.25
Disclosure

SEC source: 0000927628-21-000071 · wf-form4_161359792156251.xml · nonDerivative · entry 3

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,492

F2 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on February 1, 2018. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 15, 2021 Filed Feb 17, 2021 21:39 UTC
Cooper Matthew WGeneral Counsel
Disposition to issuerCommon Stock 1,312 $109.60 $143,795.20
Disclosure

SEC source: 0000927628-21-000071 · wf-form4_161359792156251.xml · nonDerivative · entry 2

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,339

F1 · price: On February 15, 2021, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date.

Read SEC document
February 15, 2021 Filed Feb 17, 2021 21:39 UTC
Cooper Matthew WGeneral Counsel
Exercise / conversionCommon Stock 1,312 $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000071 · wf-form4_161359792156251.xml · nonDerivative · entry 1

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,651

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

F1 · price: On February 15, 2021, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date.

Read SEC document
February 15, 2021 Filed Feb 17, 2021 21:37 UTC
Sanjiv YajnikPresident, Financial Services
Exercise / conversion2018 Restricted Stock Units · Derivative 2,305 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000069 · wf-form4_161359781412345.xml · derivative · entry 6

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,305 shares

Expires not disclosed

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

F1 · derivative.exercise_price: On February 15, 2021, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date.

F1 · price: On February 15, 2021, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date.

F5 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2019 and annually thereafter.

F5 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2019 and annually thereafter.

Read SEC document
February 15, 2021 Filed Feb 17, 2021 21:37 UTC
Sanjiv YajnikPresident, Financial Services
Tax withholdingCommon Stock 1,692 $117.75 $199,233.00
Disclosure

SEC source: 0000927628-21-000069 · wf-form4_161359781412345.xml · nonDerivative · entry 5

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,566

F4 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 30, 2020. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 15, 2021 Filed Feb 17, 2021 21:37 UTC
Sanjiv YajnikPresident, Financial Services
Tax withholdingCommon Stock 1,670 $117.75 $196,642.50
Disclosure

SEC source: 0000927628-21-000069 · wf-form4_161359781412345.xml · nonDerivative · entry 4

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,258

F3 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 31, 2019. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 15, 2021 Filed Feb 17, 2021 21:37 UTC
Sanjiv YajnikPresident, Financial Services
Tax withholdingCommon Stock 1,058 $117.75 $124,579.50
Disclosure

SEC source: 0000927628-21-000069 · wf-form4_161359781412345.xml · nonDerivative · entry 3

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 124,928

F2 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on February 1, 2018. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 15, 2021 Filed Feb 17, 2021 21:37 UTC
Sanjiv YajnikPresident, Financial Services
Disposition to issuerCommon Stock 2,305 $109.60 $252,628.00
Disclosure

SEC source: 0000927628-21-000069 · wf-form4_161359781412345.xml · nonDerivative · entry 2

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,986

F1 · price: On February 15, 2021, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date.

Read SEC document
February 15, 2021 Filed Feb 17, 2021 21:37 UTC
Sanjiv YajnikPresident, Financial Services
Exercise / conversionCommon Stock 2,305 $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000069 · wf-form4_161359781412345.xml · nonDerivative · entry 1

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 128,291

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

F1 · price: On February 15, 2021, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date.

Read SEC document
February 15, 2021 Filed Feb 17, 2021 21:41 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversion2018 Restricted Stock Units · Derivative 1,965 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000072 · wf-form4_161359805029469.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 · 1,965 shares

Expires not disclosed

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

F1 · derivative.exercise_price: On February 15, 2021, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date.

F1 · price: On February 15, 2021, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date.

F5 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2019 and annually thereafter.

F5 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2019 and annually thereafter.

Read SEC document
February 15, 2021 Filed Feb 17, 2021 21:41 UTC
Berson Jory AChief Human Resources Officer
Tax withholdingCommon Stock 1,657 $117.75 $195,111.75
Disclosure

SEC source: 0000927628-21-000072 · wf-form4_161359805029469.xml · nonDerivative · entry 5

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,457

F4 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 30, 2020. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 15, 2021 Filed Feb 17, 2021 21:41 UTC
Berson Jory AChief Human Resources Officer
Tax withholdingCommon Stock 1,480 $117.75 $174,270.00
Disclosure

SEC source: 0000927628-21-000072 · wf-form4_161359805029469.xml · nonDerivative · entry 4

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,114

F3 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 31, 2019. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 15, 2021 Filed Feb 17, 2021 21:41 UTC
Berson Jory AChief Human Resources Officer
Tax withholdingCommon Stock 1,114 $117.75 $131,173.50
Disclosure

SEC source: 0000927628-21-000072 · wf-form4_161359805029469.xml · nonDerivative · entry 3

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,594

F2 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on February 1, 2018. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 15, 2021 Filed Feb 17, 2021 21:41 UTC
Berson Jory AChief Human Resources Officer
Disposition to issuerCommon Stock 1,965 $109.60 $215,364.00
Disclosure

SEC source: 0000927628-21-000072 · wf-form4_161359805029469.xml · nonDerivative · entry 2

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,708

F1 · price: On February 15, 2021, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date.

Read SEC document
February 15, 2021 Filed Feb 17, 2021 21:41 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversionCommon Stock 1,965 $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000072 · wf-form4_161359805029469.xml · nonDerivative · entry 1

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,673

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

F1 · price: On February 15, 2021, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date.

Read SEC document
February 15, 2021 Filed Feb 17, 2021 21:45 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversion2018 Restricted Stock Units · Derivative 2,008 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000073 · wf-form4_161359830710110.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 · 2,008 shares

Expires not disclosed

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

F1 · derivative.exercise_price: On February 15, 2021, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date.

F1 · price: On February 15, 2021, the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date.

F5 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2019 and annually thereafter.

F5 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2019 and annually thereafter.

Read SEC document
February 15, 2021 Filed Feb 17, 2021 21:45 UTC
Alexander Robert M.Chief Information Officer
Tax withholdingCommon Stock 1,438 $117.75 $169,324.50
Disclosure

SEC source: 0000927628-21-000073 · wf-form4_161359830710110.xml · nonDerivative · entry 5

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,225

F4 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 30, 2020. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 15, 2021 Filed Feb 17, 2021 21:45 UTC
Alexander Robert M.Chief Information Officer
Tax withholdingCommon Stock 2,083 $117.75 $245,273.25
Disclosure

SEC source: 0000927628-21-000073 · wf-form4_161359830710110.xml · nonDerivative · entry 4

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,663

F3 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock units granted on January 31, 2019. This is authorized in the applicable restricted stock award agreement.

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.