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CAPITAL ONE FINANCIAL CORP

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547
SEC CIK
0000927628
Parsed reports
2,528

Last 12 months

Inside the activity.

0 purchase rows · 62 sale rows

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

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
February 15, 2021 Filed Feb 17, 2021 21:45 UTC
Alexander Robert M.Chief Information Officer
Tax withholdingCommon Stock 1,556 $117.75 $183,219.00
Disclosure

SEC source: 0000927628-21-000073 · wf-form4_161359830710110.xml · nonDerivative · entry 3

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,746

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 21:45 UTC
Alexander Robert M.Chief Information Officer
Disposition to issuerCommon Stock 2,008 $109.60 $220,076.80
Disclosure

SEC source: 0000927628-21-000073 · wf-form4_161359830710110.xml · nonDerivative · entry 2

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,302

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 / conversionCommon Stock 2,008 $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000073 · wf-form4_161359830710110.xml · nonDerivative · entry 1

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,310

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 21:47 UTC
Karam CeliaChief Audit Officer
Tax withholdingCommon Stock 737 $117.75 $86,781.75
Disclosure

SEC source: 0000927628-21-000074 · wf-form4_161359839682379.xml · nonDerivative · entry 3

Karam Celia · CIK 0001741344 · Chief Audit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,888

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 21:47 UTC
Karam CeliaChief Audit Officer
Tax withholdingCommon Stock 583 $117.75 $68,648.25
Disclosure

SEC source: 0000927628-21-000074 · wf-form4_161359839682379.xml · nonDerivative · entry 2

Karam Celia · CIK 0001741344 · Chief Audit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,625

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 21:47 UTC
Karam CeliaChief Audit Officer
Tax withholdingCommon Stock 194 $117.75 $22,843.50
Disclosure

SEC source: 0000927628-21-000074 · wf-form4_161359839682379.xml · nonDerivative · entry 1

Karam Celia · CIK 0001741344 · Chief Audit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,208

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 21:48 UTC
Blackley Richard ScottChief Financial Officer
Exercise / conversion2018 Restricted Stock Units · Derivative 1,967 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000075 · wf-form4_161359848828313.xml · derivative · entry 6

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,967 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 21:48 UTC
Blackley Richard ScottChief Financial Officer
Tax withholdingCommon Stock 1,931 $117.75 $227,375.25
Disclosure

SEC source: 0000927628-21-000075 · wf-form4_161359848828313.xml · nonDerivative · entry 5

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,134

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 21:48 UTC
Blackley Richard ScottChief Financial Officer
Tax withholdingCommon Stock 1,617 $117.75 $190,401.75
Disclosure

SEC source: 0000927628-21-000075 · wf-form4_161359848828313.xml · nonDerivative · entry 4

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,065

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 21:48 UTC
Blackley Richard ScottChief Financial Officer
Tax withholdingCommon Stock 1,119 $117.75 $131,762.25
Disclosure

SEC source: 0000927628-21-000075 · wf-form4_161359848828313.xml · nonDerivative · entry 3

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,682

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 21:48 UTC
Blackley Richard ScottChief Financial Officer
Disposition to issuerCommon Stock 1,967 $109.60 $215,583.20
Disclosure

SEC source: 0000927628-21-000075 · wf-form4_161359848828313.xml · nonDerivative · entry 2

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,801

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 21:48 UTC
Blackley Richard ScottChief Financial Officer
Exercise / conversionCommon Stock 1,967 $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000075 · wf-form4_161359848828313.xml · nonDerivative · entry 1

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,768

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 21:51 UTC
Borgmann Kevin S.Senior Advisor to the CEO
Exercise / conversion2018 Restricted Stock Units · Derivative 2,214 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000076 · wf-form4_161359866265576.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,214 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 21:51 UTC
Borgmann Kevin S.Senior Advisor to the CEO
Tax withholdingCommon Stock 1,564 $117.75 $184,161.00
Disclosure

SEC source: 0000927628-21-000076 · wf-form4_161359866265576.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,790

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 21:51 UTC
Borgmann Kevin S.Senior Advisor to the CEO
Tax withholdingCommon Stock 1,339 $117.75 $157,667.25
Disclosure

SEC source: 0000927628-21-000076 · wf-form4_161359866265576.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,354

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 21:51 UTC
Borgmann Kevin S.Senior Advisor to the CEO
Tax withholdingCommon Stock 1,456 $117.75 $171,444.00
Disclosure

SEC source: 0000927628-21-000076 · wf-form4_161359866265576.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,693

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 21:51 UTC
Borgmann Kevin S.Senior Advisor to the CEO
Disposition to issuerCommon Stock 2,214 $109.60 $242,654.40
Disclosure

SEC source: 0000927628-21-000076 · wf-form4_161359866265576.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,149

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 21:51 UTC
Borgmann Kevin S.Senior Advisor to the CEO
Exercise / conversionCommon Stock 2,214 $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000076 · wf-form4_161359866265576.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,363

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 21:55 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Exercise / conversion2018 Restricted Stock Units · Derivative 2,340 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000078 · wf-form4_161359889599144.xml · derivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,340 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.

F6 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2019 and annually thereafter.

F6 · 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 21:55 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Tax withholdingCommon Stock 1,796 $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000078 · wf-form4_161359889599144.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,712

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 21:55 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Tax withholdingCommon Stock 1,931 $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000078 · wf-form4_161359889599144.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,508

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 21:55 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Tax withholdingCommon Stock 1,338 $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000078 · wf-form4_161359889599144.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,439

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 21:55 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Disposition to issuerCommon Stock 2,340 $109.60 $256,464.00
Disclosure

SEC source: 0000927628-21-000078 · wf-form4_161359889599144.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,777

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 21:55 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Exercise / conversionCommon Stock 2,340 $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000078 · wf-form4_161359889599144.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,117

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 21:53 UTC
Hall SheldonChief Risk Officer
Exercise / conversion2018 Restricted Stock Units · Derivative 1,116 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000077 · wf-form4_161359877496980.xml · derivative · entry 9

Hall Sheldon · CIK 0001748065 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,116 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 21:53 UTC
Hall SheldonChief Risk Officer
Tax withholdingCommon Stock 37 $117.75 $4,356.75
Disclosure

SEC source: 0000927628-21-000077 · wf-form4_161359877496980.xml · nonDerivative · entry 8

Hall Sheldon · CIK 0001748065 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 4,670

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 21:53 UTC
Hall SheldonChief Risk Officer
Tax withholdingCommon Stock 48 $117.75 $5,652.00
Disclosure

SEC source: 0000927628-21-000077 · wf-form4_161359877496980.xml · nonDerivative · entry 7

Hall Sheldon · CIK 0001748065 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 4,707

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 21:53 UTC
Hall SheldonChief Risk Officer
Tax withholdingCommon Stock 33 $117.75 $3,885.75
Disclosure

SEC source: 0000927628-21-000077 · wf-form4_161359877496980.xml · nonDerivative · entry 6

Hall Sheldon · CIK 0001748065 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 4,755

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 21:53 UTC
Hall SheldonChief Risk Officer
Tax withholdingCommon Stock 1,039 $117.75 $122,342.25
Disclosure

SEC source: 0000927628-21-000077 · wf-form4_161359877496980.xml · nonDerivative · entry 5

Hall Sheldon · CIK 0001748065 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,233

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 21:53 UTC
Hall SheldonChief Risk Officer
Tax withholdingCommon Stock 968 $117.75 $113,982.00
Disclosure

SEC source: 0000927628-21-000077 · wf-form4_161359877496980.xml · nonDerivative · entry 4

Hall Sheldon · CIK 0001748065 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,272

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 21:53 UTC
Hall SheldonChief Risk Officer
Tax withholdingCommon Stock 798 $117.75 $93,964.50
Disclosure

SEC source: 0000927628-21-000077 · wf-form4_161359877496980.xml · nonDerivative · entry 3

Hall Sheldon · CIK 0001748065 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,240

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 21:53 UTC
Hall SheldonChief Risk Officer
Disposition to issuerCommon Stock 1,116 $109.60 $122,313.60
Disclosure

SEC source: 0000927628-21-000077 · wf-form4_161359877496980.xml · nonDerivative · entry 2

Hall Sheldon · CIK 0001748065 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,038

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 21:53 UTC
Hall SheldonChief Risk Officer
Exercise / conversionCommon Stock 1,116 $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000077 · wf-form4_161359877496980.xml · nonDerivative · entry 1

Hall Sheldon · CIK 0001748065 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,154

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 21:57 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Exercise / conversion2018 Restricted Stock Units · Derivative 23,147 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000079 · wf-form4_161359903941083.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 23,147 shares

Expires 2021-02-15

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

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.

F2 · derivative.exercise_date: The restricted stock units vested in full on February 15, 2021.

F2 · derivative.expiration_date: The restricted stock units vested in full on February 15, 2021.

Read SEC document
February 15, 2021 Filed Feb 17, 2021 21:57 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Disposition to issuerCommon Stock 23,147 $109.60 $2,536,911.20
Disclosure

SEC source: 0000927628-21-000079 · wf-form4_161359903941083.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,622,087

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 21:57 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Exercise / conversionCommon Stock 23,147 $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000079 · wf-form4_161359903941083.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,645,234

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.

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February 15, 2021 Filed Feb 17, 2021 22:00 UTC
Young Andrew MHead of Fin. Plng. & Analysis
Tax withholdingCommon Stock 436 $117.75 $51,339.00
Disclosure

SEC source: 0000927628-21-000080 · wf-form4_161359921186352.xml · nonDerivative · entry 3

Young Andrew M · CIK 0001839737 · Head of Fin. Plng. & Analysis

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,558

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 30, 2020. This is authorized in the applicable restricted stock award agreement.

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February 15, 2021 Filed Feb 17, 2021 22:00 UTC
Young Andrew MHead of Fin. Plng. & Analysis
Tax withholdingCommon Stock 401 $117.75 $47,217.75
Disclosure

SEC source: 0000927628-21-000080 · wf-form4_161359921186352.xml · nonDerivative · entry 2

Young Andrew M · CIK 0001839737 · Head of Fin. Plng. & Analysis

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,994

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.

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February 15, 2021 Filed Feb 17, 2021 22:00 UTC
Young Andrew MHead of Fin. Plng. & Analysis
Tax withholdingCommon Stock 352 $117.75 $41,448.00
Disclosure

SEC source: 0000927628-21-000080 · wf-form4_161359921186352.xml · nonDerivative · entry 1

Young Andrew M · CIK 0001839737 · Head of Fin. Plng. & Analysis

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,395

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.

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February 15, 2021 Filed Feb 17, 2021 22:02 UTC
Slocum MichaelPresident, Commercial Banking
Exercise / conversion2018 Restricted Stock Units · Derivative 2,107 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000081 · wf-form4_161359932891295.xml · derivative · entry 6

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,107 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.

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February 15, 2021 Filed Feb 17, 2021 22:02 UTC
Slocum MichaelPresident, Commercial Banking
Tax withholdingCommon Stock 1,896 $117.75 $223,254.00
Disclosure

SEC source: 0000927628-21-000081 · wf-form4_161359932891295.xml · nonDerivative · entry 5

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,349

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.

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February 15, 2021 Filed Feb 17, 2021 22:02 UTC
Slocum MichaelPresident, Commercial Banking
Tax withholdingCommon Stock 1,652 $117.75 $194,523.00
Disclosure

SEC source: 0000927628-21-000081 · wf-form4_161359932891295.xml · nonDerivative · entry 4

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,245

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 22:02 UTC
Slocum MichaelPresident, Commercial Banking
Tax withholdingCommon Stock 1,228 $117.75 $144,597.00
Disclosure

SEC source: 0000927628-21-000081 · wf-form4_161359932891295.xml · nonDerivative · entry 3

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,897

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.

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February 15, 2021 Filed Feb 17, 2021 22:02 UTC
Slocum MichaelPresident, Commercial Banking
Disposition to issuerCommon Stock 2,107 $109.60 $230,927.20
Disclosure

SEC source: 0000927628-21-000081 · wf-form4_161359932891295.xml · nonDerivative · entry 2

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,125

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 22:02 UTC
Slocum MichaelPresident, Commercial Banking
Exercise / conversionCommon Stock 2,107 $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000081 · wf-form4_161359932891295.xml · nonDerivative · entry 1

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,232

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 10, 2021 Filed Feb 22, 2021 21:39 UTC Exercise / conversionStock Options · Derivative 7,376 $0.00 Strike: $53.03 $0.00
Disclosure

SEC source: 0000927628-21-000083 · wf-form4_161402995335089.xml · derivative · entry 2

SHATTUCK MAYO A III · CIK 0001087426 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,376 shares

Expires 2021-05-10

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
February 10, 2021 Filed Feb 22, 2021 21:39 UTC Exercise / conversionCommon Stock 7,376 $53.03 $391,149.28
Disclosure

SEC source: 0000927628-21-000083 · wf-form4_161402995335089.xml · nonDerivative · entry 1

SHATTUCK MAYO A III · CIK 0001087426 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,951

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
February 08, 2021 Filed Feb 10, 2021 21:10 UTC
Slocum MichaelPresident, Commercial Banking
SaleCommon Stock 19,988 $115.23 $2,303,217.24
Disclosure

SEC source: 0000927628-21-000056 · wf-form4_161299141348111.xml · nonDerivative · entry 1

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,125

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $115.04 to $115.54. Information regarding the number of shares sold at each price will be provided upon request.

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February 04, 2021 Filed Feb 8, 2021 22:07 UTC
Cooper Matthew WGeneral Counsel
GrantCommon Stock 8,703 $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000037 · wf-form4_161282201690435.xml · nonDerivative · entry 1

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,339

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2022 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

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February 04, 2021 Filed Feb 8, 2021 22:07 UTC
Alexander Robert M.Chief Information Officer
GrantCommon Stock 11,557 $0.00 $0.00
Disclosure

SEC source: 0000927628-21-000038 · wf-form4_161282203630281.xml · nonDerivative · entry 1

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,302

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2022 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

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.