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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

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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
November 02, 2020 Filed Nov 3, 2020 21:05 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
SaleCommon Stock 27,271 $74.74 $2,038,234.54
Disclosure

SEC source: 0000927628-20-000292 · wf-form4_160443754399236.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,555,696

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 12, 2020, 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 $74.19 to $75.15. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
November 02, 2020 Filed Nov 3, 2020 21:05 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Exercise / conversionCommon Stock 40,558 $48.28 $1,958,140.24
Disclosure

SEC source: 0000927628-20-000292 · wf-form4_160443754399236.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,582,967

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 August 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
October 30, 2020 Filed Nov 3, 2020 21:05 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Exercise / conversionStock Options · Derivative 40,558 $0.00 Strike: $48.28 $0.00
Disclosure

SEC source: 0000927628-20-000292 · wf-form4_160443754399236.xml · derivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 405,580

Underlying: Common Stock · 40,558 shares

Expires 2021-01-25

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 August 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
October 30, 2020 Filed Nov 3, 2020 21:05 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
SaleCommon Stock 18,386 $72.70 $1,336,662.20
Disclosure

SEC source: 0000927628-20-000292 · wf-form4_160443754399236.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,542,409

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 12, 2020, 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 $72.28 to $73.20. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
October 30, 2020 Filed Nov 3, 2020 21:05 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
SaleCommon Stock 14,831 $71.82 $1,065,162.42
Disclosure

SEC source: 0000927628-20-000292 · wf-form4_160443754399236.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,560,795

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 12, 2020, 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 $71.28 to $72.27. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
October 30, 2020 Filed Nov 3, 2020 21:05 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Exercise / conversionCommon Stock 40,558 $48.28 $1,958,140.24
Disclosure

SEC source: 0000927628-20-000292 · wf-form4_160443754399236.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,575,626

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 August 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
October 30, 2020 Filed Nov 3, 2020 21:06 UTC
FINNERAN JOHN G JRSenior Advisor and Corp Secy
GiftStock Options · Derivative 23,738 $0.00 Strike: $86.34 $0.00
Disclosure

SEC source: 0000927628-20-000293 · wf-form4_160443756276197.xml · derivative · entry 5

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 · 23,738 shares

Expires 2027-02-02

F1 · security: On October 30, 2020, the reporting person transferred these stock options as a gift to Catherine A. Cotter, as Trustee of the John G. Finneran, Jr. 2020 Irrevocable Trust dated October 19, 2020.

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

Read SEC document
October 30, 2020 Filed Nov 3, 2020 21:06 UTC
FINNERAN JOHN G JRSenior Advisor and Corp Secy
GiftStock Options · Derivative 30,246 $0.00 Strike: $63.73 $0.00
Disclosure

SEC source: 0000927628-20-000293 · wf-form4_160443756276197.xml · derivative · entry 4

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 · 30,246 shares

Expires 2026-02-03

F1 · security: On October 30, 2020, the reporting person transferred these stock options as a gift to Catherine A. Cotter, as Trustee of the John G. Finneran, Jr. 2020 Irrevocable Trust dated October 19, 2020.

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

Read SEC document
October 30, 2020 Filed Nov 3, 2020 21:06 UTC
FINNERAN JOHN G JRSenior Advisor and Corp Secy
GiftStock Options · Derivative 31,660 $0.00 Strike: $74.96 $0.00
Disclosure

SEC source: 0000927628-20-000293 · wf-form4_160443756276197.xml · derivative · entry 3

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 · 31,660 shares

Expires 2025-01-28

F1 · security: On October 30, 2020, the reporting person transferred these stock options as a gift to Catherine A. Cotter, as Trustee of the John G. Finneran, Jr. 2020 Irrevocable Trust dated October 19, 2020.

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

Read SEC document
October 30, 2020 Filed Nov 3, 2020 21:06 UTC
FINNERAN JOHN G JRSenior Advisor and Corp Secy
GiftStock Options · Derivative 29,783 $0.00 Strike: $70.96 $0.00
Disclosure

SEC source: 0000927628-20-000293 · wf-form4_160443756276197.xml · derivative · entry 2

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 · 29,783 shares

Expires 2024-01-29

F1 · security: On October 30, 2020, the reporting person transferred these stock options as a gift to Catherine A. Cotter, as Trustee of the John G. Finneran, Jr. 2020 Irrevocable Trust dated October 19, 2020.

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

Read SEC document
October 30, 2020 Filed Nov 3, 2020 21:06 UTC
FINNERAN JOHN G JRSenior Advisor and Corp Secy
GiftStock Options · Derivative 34,611 $0.00 Strike: $56.32 $0.00
Disclosure

SEC source: 0000927628-20-000293 · wf-form4_160443756276197.xml · derivative · entry 1

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 · 34,611 shares

Expires 2023-01-30

F1 · security: On October 30, 2020, the reporting person transferred these stock options as a gift to Catherine A. Cotter, as Trustee of the John G. Finneran, Jr. 2020 Irrevocable Trust dated October 19, 2020.

F2 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on February 10, 2014 and annually thereafter.

Read SEC document
October 29, 2020 Filed Oct 30, 2020 20:37 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Exercise / conversionStock Options · Derivative 40,557 $0.00 Strike: $48.28 $0.00
Disclosure

SEC source: 0000927628-20-000281 · wf-form4_160409024157952.xml · derivative · entry 10

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 446,138

Underlying: Common Stock · 40,557 shares

Expires 2021-01-25

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 August 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
October 29, 2020 Filed Oct 30, 2020 20:37 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
SaleCommon Stock 275 $73.19 $20,127.25
Disclosure

SEC source: 0000927628-20-000281 · wf-form4_160409024157952.xml · nonDerivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,535,068

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 12, 2020, 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 $73.11 to $73.26. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
October 29, 2020 Filed Oct 30, 2020 20:37 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
SaleCommon Stock 24,653 $72.44 $1,785,863.32
Disclosure

SEC source: 0000927628-20-000281 · wf-form4_160409024157952.xml · nonDerivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,535,343

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 12, 2020, 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 $71.95 to $72.76. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
October 29, 2020 Filed Oct 30, 2020 20:37 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
SaleCommon Stock 8,347 $71.23 $594,556.81
Disclosure

SEC source: 0000927628-20-000281 · wf-form4_160409024157952.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,559,996

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 12, 2020, 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 $70.89 to $71.87. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
October 29, 2020 Filed Oct 30, 2020 20:37 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Exercise / conversionCommon Stock 40,557 $48.28 $1,958,091.96
Disclosure

SEC source: 0000927628-20-000281 · wf-form4_160409024157952.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,568,343

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 August 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
October 28, 2020 Filed Oct 30, 2020 20:37 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Exercise / conversionStock Options · Derivative 40,557 $0.00 Strike: $48.28 $0.00
Disclosure

SEC source: 0000927628-20-000281 · wf-form4_160409024157952.xml · derivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 486,695

Underlying: Common Stock · 40,557 shares

Expires 2021-01-25

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 August 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
October 28, 2020 Filed Oct 30, 2020 20:37 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
SaleCommon Stock 400 $73.57 $29,428.00
Disclosure

SEC source: 0000927628-20-000281 · wf-form4_160409024157952.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,527,786

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
October 28, 2020 Filed Oct 30, 2020 20:37 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
SaleCommon Stock 14,652 $72.78 $1,066,372.56
Disclosure

SEC source: 0000927628-20-000281 · wf-form4_160409024157952.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,528,186

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 12, 2020, 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 $72.51 to $73.37. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
October 28, 2020 Filed Oct 30, 2020 20:37 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
SaleCommon Stock 18,103 $72.09 $1,305,045.27
Disclosure

SEC source: 0000927628-20-000281 · wf-form4_160409024157952.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,542,838

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 12, 2020, 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 $71.51 to $72.50. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
October 28, 2020 Filed Oct 30, 2020 20:37 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Exercise / conversionCommon Stock 40,557 $48.28 $1,958,091.96
Disclosure

SEC source: 0000927628-20-000281 · wf-form4_160409024157952.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,560,941

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 August 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
October 27, 2020 Filed Oct 28, 2020 20:38 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Exercise / conversionStock Options · Derivative 40,557 $0.00 Strike: $48.28 $0.00
Disclosure

SEC source: 0000927628-20-000278 · wf-form4_160391747253307.xml · derivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 527,252

Underlying: Common Stock · 40,557 shares

Expires 2021-01-25

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 August 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
October 27, 2020 Filed Oct 28, 2020 20:38 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
SaleCommon Stock 2,423 $74.80 $181,240.40
Disclosure

SEC source: 0000927628-20-000278 · wf-form4_160391747253307.xml · nonDerivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,520,384

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $74.77 to $74.85. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
October 27, 2020 Filed Oct 28, 2020 20:38 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
SaleCommon Stock 30,373 $74.17 $2,252,765.41
Disclosure

SEC source: 0000927628-20-000278 · wf-form4_160391747253307.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,522,807

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 12, 2020, 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 $73.75 to $74.74. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
October 27, 2020 Filed Oct 28, 2020 20:38 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Exercise / conversionCommon Stock 40,557 $48.28 $1,958,091.96
Disclosure

SEC source: 0000927628-20-000278 · wf-form4_160391747253307.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,553,180

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 August 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
October 26, 2020 Filed Oct 28, 2020 20:38 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Exercise / conversionStock Options · Derivative 40,557 $0.00 Strike: $48.28 $0.00
Disclosure

SEC source: 0000927628-20-000278 · wf-form4_160391747253307.xml · derivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 567,809

Underlying: Common Stock · 40,557 shares

Expires 2021-01-25

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 August 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
October 26, 2020 Filed Oct 28, 2020 20:38 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
SaleCommon Stock 1,730 $76.62 $132,552.60
Disclosure

SEC source: 0000927628-20-000278 · wf-form4_160391747253307.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,512,623

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 12, 2020, 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 $76.56 to $76.63. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
October 26, 2020 Filed Oct 28, 2020 20:38 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
SaleCommon Stock 6,702 $75.88 $508,547.76
Disclosure

SEC source: 0000927628-20-000278 · wf-form4_160391747253307.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,514,353

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 12, 2020, 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 $75.51 to $76.40. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
October 26, 2020 Filed Oct 28, 2020 20:38 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
SaleCommon Stock 24,183 $74.92 $1,811,790.36
Disclosure

SEC source: 0000927628-20-000278 · wf-form4_160391747253307.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,521,055

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 12, 2020, 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 $74.51 to $75.48. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
October 26, 2020 Filed Oct 28, 2020 20:38 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Exercise / conversionCommon Stock 40,557 $48.28 $1,958,091.96
Disclosure

SEC source: 0000927628-20-000278 · wf-form4_160391747253307.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,545,238

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 August 12, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2 · balance_after: Includes shares acquired by the reporting person through the Company's Dividend Reinvestment Plan since the last reported transaction.

Read SEC document
October 05, 2020 Filed Oct 7, 2020 20:19 UTC
Wassmer Michael JPresident, U.S. Card
Exercise / conversionStock Options · Derivative 13,784 $48.28 Strike: $48.28 $665,491.52
Disclosure

SEC source: 0000927628-20-000262 · wf-form4_160210193599117.xml · derivative · entry 4

Wassmer Michael J · CIK 0001691706 · President, U.S. Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 13,784 shares

Expires 2021-01-25

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 August 13, 2020, 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 January 26, 2012 and annually thereafter.

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October 05, 2020 Filed Oct 7, 2020 20:19 UTC
Wassmer Michael JPresident, U.S. Card
SaleCommon Stock 13,784 $78.00 $1,075,152.00
Disclosure

SEC source: 0000927628-20-000262 · wf-form4_160210193599117.xml · nonDerivative · entry 2

Wassmer Michael J · CIK 0001691706 · President, U.S. Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,897

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 13, 2020, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

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October 05, 2020 Filed Oct 7, 2020 20:19 UTC
Wassmer Michael JPresident, U.S. Card
Exercise / conversionCommon Stock 13,784 $48.28 $665,491.52
Disclosure

SEC source: 0000927628-20-000262 · wf-form4_160210193599117.xml · nonDerivative · entry 1

Wassmer Michael J · CIK 0001691706 · President, U.S. Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,681

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 August 13, 2020, 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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August 14, 2020 Filed Aug 18, 2020 20:12 UTC SaleCommon Stock 5,724 $69.11 $395,585.64
Disclosure

SEC source: 0000927628-20-000255 · wf-form4_159778152077315.xml · nonDerivative · entry 1

Golden Timothy P · CIK 0001706865 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,668

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $69.08 to $69.11. Information regarding the number of shares sold at each price will be provided upon request.

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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August 10, 2020 Filed Aug 12, 2020 20:07 UTC
FINNERAN JOHN G JRSenior Advisor and Corp Secy
OtherCommon Stock 45,527 $66.97 $3,048,943.19
Disclosure

SEC source: 0000927628-20-000244 · wf-form4_159726283711204.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: 100,419

F1 · kind: Reflects a substitution of cash and assets for shares previously held by the reporting person's 2020 GRAT, in accordance with the asset substitution provisions of that trust.

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June 05, 2020 Filed Jun 9, 2020 20:26 UTC Exercise / conversionStock Options · Derivative 8,410 $0.00 Strike: $54.07 $0.00
Disclosure

SEC source: 0000927628-20-000214 · wf-form4_159173435660444.xml · derivative · entry 4

WARNER BRADFORD H · CIK 0001195086 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,410 shares

Expires 2022-05-07

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

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 13, 2019, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
June 05, 2020 Filed Jun 9, 2020 20:26 UTC SaleCommon Stock 8,410 $85.00 $714,850.00
Disclosure

SEC source: 0000927628-20-000214 · wf-form4_159173435660444.xml · nonDerivative · entry 2

WARNER BRADFORD H · CIK 0001195086 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,210

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 13, 2019, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
June 05, 2020 Filed Jun 9, 2020 20:26 UTC Exercise / conversionCommon Stock 8,410 $54.07 $454,728.70
Disclosure

SEC source: 0000927628-20-000214 · wf-form4_159173435660444.xml · nonDerivative · entry 1

WARNER BRADFORD H · CIK 0001195086 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,620

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 November 13, 2019, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
May 14, 2020 Filed May 18, 2020 20:14 UTC SaleCommon Stock 3,334 $57.63 $192,138.42
Disclosure

SEC source: 0000927628-20-000210 · wf-form4_158983283277365.xml · nonDerivative · entry 1

Golden Timothy P · CIK 0001706865 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,251

F1 · 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
May 09, 2020 Filed May 12, 2020 20:12 UTC
Blackley Richard ScottChief Financial Officer
Tax withholdingCommon Stock 1,620 $62.20 $100,764.00
Disclosure

SEC source: 0000927628-20-000202 · wf-form4_158931433834502.xml · nonDerivative · entry 1

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,805

F1 · kind: These shares were withheld by the Company to satisfy the reporting person's tax obligation associated with the vesting of a previously reported award of restricted stock. This share withholding was authorized in the restricted stock award agreement.

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April 30, 2020 Filed May 4, 2020 21:16 UTC GrantCommon Stock 2,780 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000190 · wf-form4_158862696614375.xml · nonDerivative · entry 1

Chennapragada Aparna · CIK 0001733103 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,066

F1 · security: Restricted stock units which vest in their entirety on April 30, 2021 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

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April 30, 2020 Filed May 4, 2020 21:16 UTC GrantCommon Stock 2,780 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000191 · wf-form4_158862699150941.xml · nonDerivative · entry 1

HACKETT ANN F · CIK 0001188662 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,636

F1 · security: Restricted stock units which vest in their entirety on April 30, 2021 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

Read SEC document
April 30, 2020 Filed May 4, 2020 21:17 UTC GrantCommon Stock 2,780 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000192 · wf-form4_158862701447495.xml · nonDerivative · entry 1

Killalea Peter Thomas · CIK 0001638728 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,776

F1 · security: Restricted stock units which vest in their entirety on April 30, 2021 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

Read SEC document
April 30, 2020 Filed May 4, 2020 21:17 UTC GrantCommon Stock 2,780 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000193 · wf-form4_158862703674949.xml · nonDerivative · entry 1

Leenaars Cornelis PAJ · CIK 0001549838 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,655

F1 · security: Restricted stock units which vest in their entirety on April 30, 2021 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

Read SEC document
April 30, 2020 Filed May 4, 2020 21:17 UTC GrantCommon Stock 2,780 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000194 · wf-form4_158862705786812.xml · nonDerivative · entry 1

LEROY PIERRE E · CIK 0001055709 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,986

F1 · security: Restricted stock units which vest in their entirety on April 30, 2021 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

Read SEC document
April 30, 2020 Filed May 4, 2020 21:18 UTC GrantCommon Stock 2,780 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000195 · wf-form4_158862707965247.xml · nonDerivative · entry 1

Locoh-Donou Francois · CIK 0001526624 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,223

F1 · security: Restricted stock units which vest in their entirety on April 30, 2021 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

Read SEC document
April 30, 2020 Filed May 4, 2020 21:18 UTC GrantCommon Stock 2,780 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000196 · wf-form4_158862710526961.xml · nonDerivative · entry 1

RASKIND PETER E · CIK 0001181669 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,817

F1 · security: Restricted stock units which vest in their entirety on April 30, 2021 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

Read SEC document
April 30, 2020 Filed May 4, 2020 21:19 UTC
Serra EileenDirector
GrantCommon Stock 2,780 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000197 · wf-form4_158862712492290.xml · nonDerivative · entry 1

Serra Eileen · CIK 0001721344 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,265

F1 · security: Restricted stock units which vest in their entirety on April 30, 2021 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

Read SEC document
April 30, 2020 Filed May 4, 2020 21:19 UTC GrantCommon Stock 2,780 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000198 · wf-form4_158862714586046.xml · nonDerivative · entry 1

SHATTUCK MAYO A III · CIK 0001087426 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,575

F1 · security: Restricted stock units which vest in their entirety on April 30, 2021 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

Read SEC document
April 30, 2020 Filed May 4, 2020 21:19 UTC GrantCommon Stock 2,780 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000199 · wf-form4_158862717304838.xml · nonDerivative · entry 1

WARNER BRADFORD H · CIK 0001195086 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,210

F1 · security: Restricted stock units which vest in their entirety on April 30, 2021 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.