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CAPITAL ONE FINANCIAL CORP

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547
SEC CIK
0000927628
Parsed reports
2,528

Last 12 months

Inside the activity.

0 purchase rows · 62 sale rows

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

Latest available

Insider transactions

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

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

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
April 30, 2020 Filed May 4, 2020 21:20 UTC GrantCommon Stock 2,780 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000200 · wf-form4_158862719377955.xml · nonDerivative · entry 1

WEST CATHERINE · CIK 0001238043 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,233

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 03, 2020 Filed Apr 7, 2020 20:24 UTC Tax withholdingCommon Stock 1,755 $42.27 $74,183.85
Disclosure

SEC source: 0000927628-20-000159 · wf-form4_158629107948581.xml · nonDerivative · entry 1

Golden Timothy P · CIK 0001706865 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,546

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.

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

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March 19, 2020 Filed Mar 23, 2020 20:48 UTC
Santos KleberPres., Retail & Direct Banking
SaleCommon Stock 2,263 $43.08 $97,490.04
Disclosure

SEC source: 0000927628-20-000157 · wf-form4_158499650615997.xml · nonDerivative · entry 1

Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,304

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 7, 2019, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
March 05, 2020 Filed Mar 9, 2020 20:10 UTC
Berson Jory AChief Human Resources Officer
Tax withholdingCommon Stock 5,125 $85.08 $436,035.00
Disclosure

SEC source: 0000927628-20-000135 · wf-form4_158378461750833.xml · nonDerivative · entry 2

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,748

F3 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement.

Read SEC document
March 05, 2020 Filed Mar 9, 2020 20:10 UTC
Berson Jory AChief Human Resources Officer
GrantCommon Stock 11,363 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000135 · wf-form4_158378461750833.xml · nonDerivative · entry 1

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,873

F1 · security: These shares were earned pursuant to an award of performance shares granted on February 2, 2017 based on the Company's Adjusted ROA against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant.

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

Read SEC document
March 05, 2020 Filed Mar 9, 2020 20:11 UTC
Santos KleberPres., Retail & Direct Banking
Tax withholdingCommon Stock 2,115 $85.08 $179,944.20
Disclosure

SEC source: 0000927628-20-000136 · wf-form4_158378464555254.xml · nonDerivative · entry 2

Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,567

F2 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement.

Read SEC document
March 05, 2020 Filed Mar 9, 2020 20:11 UTC
Santos KleberPres., Retail & Direct Banking
GrantCommon Stock 4,378 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000136 · wf-form4_158378464555254.xml · nonDerivative · entry 1

Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,682

F1 · security: These shares were earned pursuant to an award of performance shares granted on February 2, 2017 based on the Company's Adjusted ROA against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant.

Read SEC document
March 05, 2020 Filed Mar 9, 2020 20:11 UTC
Hall SheldonChief Risk Officer
Tax withholdingCommon Stock 2,038 $85.08 $173,393.04
Disclosure

SEC source: 0000927628-20-000137 · wf-form4_158378466872764.xml · nonDerivative · entry 2

Hall Sheldon · CIK 0001748065 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,450

F3 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement.

Read SEC document
March 05, 2020 Filed Mar 9, 2020 20:11 UTC
Hall SheldonChief Risk Officer
GrantCommon Stock 4,219 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000137 · wf-form4_158378466872764.xml · nonDerivative · entry 1

Hall Sheldon · CIK 0001748065 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,488

F1 · security: These shares were earned pursuant to an award of performance shares granted on February 2, 2017 based on the Company's Adjusted ROA against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant.

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

Read SEC document
March 05, 2020 Filed Mar 9, 2020 20:11 UTC
Alexander Robert M.Chief Information Officer
Tax withholdingCommon Stock 5,133 $85.08 $436,715.64
Disclosure

SEC source: 0000927628-20-000138 · wf-form4_158378469178900.xml · nonDerivative · entry 2

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,522

F2 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement.

Read SEC document
March 05, 2020 Filed Mar 9, 2020 20:11 UTC
Alexander Robert M.Chief Information Officer
GrantCommon Stock 11,381 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000138 · wf-form4_158378469178900.xml · nonDerivative · entry 1

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,655

F1 · security: These shares were earned pursuant to an award of performance shares granted on February 2, 2017 based on the Company's Adjusted ROA against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant.

Read SEC document
March 05, 2020 Filed Mar 9, 2020 20:12 UTC
Cooper Matthew WGeneral Counsel
Tax withholdingCommon Stock 2,554 $85.08 $217,294.32
Disclosure

SEC source: 0000927628-20-000139 · wf-form4_158378471266298.xml · nonDerivative · entry 2

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,636

F2 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement.

Read SEC document
March 05, 2020 Filed Mar 9, 2020 20:12 UTC
Cooper Matthew WGeneral Counsel
GrantCommon Stock 5,661 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000139 · wf-form4_158378471266298.xml · nonDerivative · entry 1

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,190

F1 · security: These shares were earned pursuant to an award of performance shares granted on February 2, 2017 based on the Company's Adjusted ROA against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant.

Read SEC document
March 05, 2020 Filed Mar 9, 2020 20:12 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Tax withholdingCommon Stock 7,198 $85.08 $612,405.84
Disclosure

SEC source: 0000927628-20-000140 · wf-form4_158378473565570.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,963

F2 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement.

Read SEC document
March 05, 2020 Filed Mar 9, 2020 20:12 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
GrantCommon Stock 14,902 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000140 · wf-form4_158378473565570.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,161

F1 · security: These shares were earned pursuant to an award of performance shares granted on February 2, 2017 based on the Company's Adjusted ROA against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant.

Read SEC document
March 05, 2020 Filed Mar 9, 2020 20:12 UTC
Slocum MichaelPresident, Commercial Banking
Tax withholdingCommon Stock 7,250 $85.08 $616,830.00
Disclosure

SEC source: 0000927628-20-000141 · wf-form4_158378475965379.xml · nonDerivative · entry 2

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,892

F2 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement.

Read SEC document
March 05, 2020 Filed Mar 9, 2020 20:12 UTC
Slocum MichaelPresident, Commercial Banking
GrantCommon Stock 13,622 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000141 · wf-form4_158378475965379.xml · nonDerivative · entry 1

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,142

F1 · security: These shares were earned pursuant to an award of performance shares granted on February 2, 2017 based on the Company's Adjusted ROA against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant.

Read SEC document
March 05, 2020 Filed Mar 9, 2020 20:13 UTC
Blackley Richard ScottChief Financial Officer
Tax withholdingCommon Stock 4,044 $85.08 $344,063.52
Disclosure

SEC source: 0000927628-20-000142 · wf-form4_158378478287695.xml · nonDerivative · entry 2

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,425

F2 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement.

Read SEC document
March 05, 2020 Filed Mar 9, 2020 20:13 UTC
Blackley Richard ScottChief Financial Officer
GrantCommon Stock 8,965 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000142 · wf-form4_158378478287695.xml · nonDerivative · entry 1

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,469

F1 · security: These shares were earned pursuant to an award of performance shares granted on February 2, 2017 based on the Company's Adjusted ROA against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant.

Read SEC document
March 05, 2020 Filed Mar 9, 2020 20:13 UTC
Wassmer Michael JPresident, U.S. Card
Tax withholdingCommon Stock 4,354 $85.08 $370,438.32
Disclosure

SEC source: 0000927628-20-000143 · wf-form4_158378480721874.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,783

F3 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement.

Read SEC document
March 05, 2020 Filed Mar 9, 2020 20:13 UTC
Wassmer Michael JPresident, U.S. Card
GrantCommon Stock 9,654 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000143 · wf-form4_158378480721874.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,137

F1 · security: These shares were earned pursuant to an award of performance shares granted on February 2, 2017 based on the Company's Adjusted ROA against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant.

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

Read SEC document
March 05, 2020 Filed Mar 9, 2020 20:14 UTC
Newkirk Christopher TPres,Small Bus, Intl & Walmart
Tax withholdingCommon Stock 2,074 $85.08 $176,455.92
Disclosure

SEC source: 0000927628-20-000144 · wf-form4_158378482946092.xml · nonDerivative · entry 2

Newkirk Christopher T · CIK 0001691711 · Pres,Small Bus, Intl & Walmart

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,056

F2 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement.

Read SEC document
March 05, 2020 Filed Mar 9, 2020 20:14 UTC
Newkirk Christopher TPres,Small Bus, Intl & Walmart
GrantCommon Stock 4,293 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000144 · wf-form4_158378482946092.xml · nonDerivative · entry 1

Newkirk Christopher T · CIK 0001691711 · Pres,Small Bus, Intl & Walmart

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,130

F1 · security: These shares were earned pursuant to an award of performance shares granted on February 2, 2017 based on the Company's Adjusted ROA against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant.

Read SEC document
March 05, 2020 Filed Mar 9, 2020 20:14 UTC
FINNERAN JOHN G JRSenior Advisor and Corp Secy
Tax withholdingCommon Stock 6,791 $85.08 $577,778.28
Disclosure

SEC source: 0000927628-20-000145 · wf-form4_158378485149180.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: 54,892

F2 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement.

Read SEC document
March 05, 2020 Filed Mar 9, 2020 20:14 UTC
FINNERAN JOHN G JRSenior Advisor and Corp Secy
GrantCommon Stock 14,060 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000145 · wf-form4_158378485149180.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: 61,683

F1 · security: These shares were earned pursuant to an award of performance shares granted on February 2, 2017 based on the Company's Adjusted ROA against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant.

Read SEC document
March 05, 2020 Filed Mar 9, 2020 20:14 UTC
Sanjiv YajnikPresident, Financial Services
Tax withholdingCommon Stock 5,236 $85.08 $445,478.88
Disclosure

SEC source: 0000927628-20-000146 · wf-form4_158378487447913.xml · nonDerivative · entry 2

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,577

F3 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement.

Read SEC document
March 05, 2020 Filed Mar 9, 2020 20:14 UTC
Sanjiv YajnikPresident, Financial Services
GrantCommon Stock 13,304 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000146 · wf-form4_158378487447913.xml · nonDerivative · entry 1

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,813

F1 · security: These shares were earned pursuant to an award of performance shares granted on February 2, 2017 based on the Company's Adjusted ROA against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant.

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

Read SEC document
March 05, 2020 Filed Mar 9, 2020 20:15 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Tax withholdingCommon Stock 72,551 $85.08 $6,172,639.08
Disclosure

SEC source: 0000927628-20-000147 · wf-form4_158378489870559.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,504,672

F3 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement.

Read SEC document
March 05, 2020 Filed Mar 9, 2020 20:15 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
GrantCommon Stock 160,866 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000147 · wf-form4_158378489870559.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,577,223

F1 · security: These shares were earned pursuant to an award of performance shares granted on February 2, 2017 based on the Company's Adjusted ROA against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant.

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

Read SEC document
March 05, 2020 Filed Mar 9, 2020 20:15 UTC
Borgmann Kevin S.Senior Advisor to the CEO
Tax withholdingCommon Stock 6,072 $85.08 $516,605.76
Disclosure

SEC source: 0000927628-20-000148 · wf-form4_158378492160967.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,990

F2 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement.

Read SEC document
March 05, 2020 Filed Mar 9, 2020 20:15 UTC
Borgmann Kevin S.Senior Advisor to the CEO
GrantCommon Stock 12,571 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000148 · wf-form4_158378492160967.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,062

F1 · security: These shares were earned pursuant to an award of performance shares granted on February 2, 2017 based on the Company's Adjusted ROA against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant.

Read SEC document
February 28, 2020 Filed Mar 3, 2020 21:14 UTC
Cooper Matthew WGeneral Counsel
SaleCommon Stock 3,000 $87.11 $261,330.00
Disclosure

SEC source: 0000927628-20-000120 · wf-form4_158327007238641.xml · nonDerivative · entry 3

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,529

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on January 29, 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 $86.82 to $87.79. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
February 28, 2020 Filed Mar 3, 2020 21:14 UTC
Cooper Matthew WGeneral Counsel
SaleCommon Stock 6,751 $86.25 $582,273.75
Disclosure

SEC source: 0000927628-20-000120 · wf-form4_158327007238641.xml · nonDerivative · entry 2

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,529

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on January 29, 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 $85.70 to $86.69. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
February 28, 2020 Filed Mar 3, 2020 21:14 UTC
Cooper Matthew WGeneral Counsel
SaleCommon Stock 5,480 $85.26 $467,224.80
Disclosure

SEC source: 0000927628-20-000120 · wf-form4_158327007238641.xml · nonDerivative · entry 1

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,280

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on January 29, 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 $84.70 to $85.64. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
February 26, 2020 Filed Feb 28, 2020 21:06 UTC
Serra EileenDirector
GrantCommon Stock 485 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000115 · wf-form4_158292396516801.xml · nonDerivative · entry 1

Serra Eileen · CIK 0001721344 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 485

F1 · security: Restricted Stock Units which vest in their entirety on February 26, 2021.

Read SEC document
February 21, 2020 Filed Feb 25, 2020 21:56 UTC
Blackley Richard ScottChief Financial Officer
SaleCommon Stock 14,817 $102.51 $1,518,890.67
Disclosure

SEC source: 0000927628-20-000106 · wf-form4_158266780109876.xml · nonDerivative · entry 1

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,504

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 14, 2019, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
February 20, 2020 Filed Feb 24, 2020 21:11 UTC
Santos KleberPres., Retail & Direct Banking
SaleCommon Stock 2,206 $101.25 $223,357.50
Disclosure

SEC source: 0000927628-20-000104 · wf-form4_158257869873064.xml · nonDerivative · entry 1

Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,304

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 7, 2019, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
February 15, 2020 Filed Feb 20, 2020 00:22 UTC
Santos KleberPres., Retail & Direct Banking
Exercise / conversion2018 Restricted Stock Units · Derivative 1,359 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000079 · wf-form4_158215815162212.xml · derivative · entry 9

Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,359

Underlying: Common Stock · 1,359 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, 2020, 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, 2020, 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, 2020 Filed Feb 20, 2020 00:22 UTC
Santos KleberPres., Retail & Direct Banking
Exercise / conversion2017 Restricted Stock Units · Derivative 1,263 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000079 · wf-form4_158215815162212.xml · derivative · entry 8

Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,263 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, 2020, 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, 2020, 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, 2018 and annually thereafter.

F5 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2018 and annually thereafter.

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February 15, 2020 Filed Feb 20, 2020 00:22 UTC
Santos KleberPres., Retail & Direct Banking
Tax withholdingCommon Stock 1,812 $102.64 $185,983.68
Disclosure

SEC source: 0000927628-20-000079 · wf-form4_158215815162212.xml · nonDerivative · entry 7

Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,510

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 31, 2019. This is authorized in the applicable restricted stock award agreement.

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February 15, 2020 Filed Feb 20, 2020 00:22 UTC
Santos KleberPres., Retail & Direct Banking
Tax withholdingCommon Stock 1,098 $102.64 $112,698.72
Disclosure

SEC source: 0000927628-20-000079 · wf-form4_158215815162212.xml · nonDerivative · entry 6

Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,322

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 February 1, 2018. This is authorized in the applicable restricted stock award agreement.

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February 15, 2020 Filed Feb 20, 2020 00:22 UTC
Santos KleberPres., Retail & Direct Banking
Tax withholdingCommon Stock 1,333 $102.64 $136,819.12
Disclosure

SEC source: 0000927628-20-000079 · wf-form4_158215815162212.xml · nonDerivative · entry 5

Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,420

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 2, 2017. This is authorized in the applicable restricted stock award agreement.

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February 15, 2020 Filed Feb 20, 2020 00:22 UTC
Santos KleberPres., Retail & Direct Banking
Disposition to issuerCommon Stock 1,359 $102.03 $138,658.77
Disclosure

SEC source: 0000927628-20-000079 · wf-form4_158215815162212.xml · nonDerivative · entry 4

Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,753

F1 · price: On February 15, 2020, 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, 2020 Filed Feb 20, 2020 00:22 UTC
Santos KleberPres., Retail & Direct Banking
Disposition to issuerCommon Stock 1,263 $102.03 $128,863.89
Disclosure

SEC source: 0000927628-20-000079 · wf-form4_158215815162212.xml · nonDerivative · entry 3

Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,112

F1 · price: On February 15, 2020, 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, 2020 Filed Feb 20, 2020 00:22 UTC
Santos KleberPres., Retail & Direct Banking
Exercise / conversionCommon Stock 1,359 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000079 · wf-form4_158215815162212.xml · nonDerivative · entry 2

Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,375

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, 2020, 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, 2020 Filed Feb 20, 2020 00:22 UTC
Santos KleberPres., Retail & Direct Banking
Exercise / conversionCommon Stock 1,263 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000079 · wf-form4_158215815162212.xml · nonDerivative · entry 1

Santos Kleber · CIK 0001702043 · Pres., Retail & Direct Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,016

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, 2020, 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, 2020 Filed Feb 20, 2020 00:23 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: 0000927628-20-000081 · wf-form4_158215819657556.xml · derivative · entry 10

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,340

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, 2020, 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, 2020, 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.

F7 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2019 and annually thereafter.

F7 · 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, 2020 Filed Feb 20, 2020 00:23 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Exercise / conversion2017 Restricted Stock Units · Derivative 2,717 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000081 · wf-form4_158215819657556.xml · derivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,717 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, 2020, 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, 2020, 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, 2018 and annually thereafter.

F6 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2018 and annually thereafter.

Read SEC document
February 15, 2020 Filed Feb 20, 2020 00:23 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Tax withholdingCommon Stock 2,601 $102.64 $266,966.64
Disclosure

SEC source: 0000927628-20-000081 · wf-form4_158215819657556.xml · nonDerivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,259

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 31, 2019. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 15, 2020 Filed Feb 20, 2020 00:23 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Tax withholdingCommon Stock 1,942 $102.64 $199,326.88
Disclosure

SEC source: 0000927628-20-000081 · wf-form4_158215819657556.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,860

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 February 1, 2018. 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.