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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, 2020 Filed Feb 20, 2020 00:25 UTC
Blackley Richard ScottChief Financial Officer
Exercise / conversion2017 Restricted Stock Units · Derivative 2,129 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000087 · wf-form4_158215833588439.xml · derivative · entry 8

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,129 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.

Read SEC document
February 15, 2020 Filed Feb 20, 2020 00:25 UTC
Blackley Richard ScottChief Financial Officer
Tax withholdingCommon Stock 2,332 $102.64 $239,356.48
Disclosure

SEC source: 0000927628-20-000087 · wf-form4_158215833588439.xml · nonDerivative · entry 7

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,321

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 00:25 UTC
Blackley Richard ScottChief Financial Officer
Tax withholdingCommon Stock 1,679 $102.64 $172,332.56
Disclosure

SEC source: 0000927628-20-000087 · wf-form4_158215833588439.xml · nonDerivative · entry 6

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,653

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
February 15, 2020 Filed Feb 20, 2020 00:25 UTC
Blackley Richard ScottChief Financial Officer
Tax withholdingCommon Stock 2,547 $102.64 $261,424.08
Disclosure

SEC source: 0000927628-20-000087 · wf-form4_158215833588439.xml · nonDerivative · entry 5

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,332

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.

Read SEC document
February 15, 2020 Filed Feb 20, 2020 00:25 UTC
Blackley Richard ScottChief Financial Officer
Disposition to issuerCommon Stock 1,967 $102.03 $200,693.01
Disclosure

SEC source: 0000927628-20-000087 · wf-form4_158215833588439.xml · nonDerivative · entry 4

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,879

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 00:25 UTC
Blackley Richard ScottChief Financial Officer
Disposition to issuerCommon Stock 2,129 $102.03 $217,221.87
Disclosure

SEC source: 0000927628-20-000087 · wf-form4_158215833588439.xml · nonDerivative · entry 3

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,846

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 00:25 UTC
Blackley Richard ScottChief Financial Officer
Exercise / conversionCommon Stock 1,967 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000087 · wf-form4_158215833588439.xml · nonDerivative · entry 2

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,975

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 00:25 UTC
Blackley Richard ScottChief Financial Officer
Exercise / conversionCommon Stock 2,129 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000087 · wf-form4_158215833588439.xml · nonDerivative · entry 1

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,008

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 00:26 UTC
Cooper Matthew WGeneral Counsel
Exercise / conversion2018 Restricted Stock Units · Derivative 1,312 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000088 · wf-form4_158215835832347.xml · derivative · entry 9

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,312

Underlying: Common Stock · 1,312 shares

Expires not disclosed

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

F1 · derivative.exercise_price: On February 15, 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 00:26 UTC
Cooper Matthew WGeneral Counsel
Exercise / conversion2017 Restricted Stock Units · Derivative 1,601 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000088 · wf-form4_158215835832347.xml · derivative · entry 8

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,601 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.

Read SEC document
February 15, 2020 Filed Feb 20, 2020 00:26 UTC
Cooper Matthew WGeneral Counsel
Tax withholdingCommon Stock 1,400 $102.64 $143,696.00
Disclosure

SEC source: 0000927628-20-000088 · wf-form4_158215835832347.xml · nonDerivative · entry 7

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,760

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 00:26 UTC
Cooper Matthew WGeneral Counsel
Tax withholdingCommon Stock 1,270 $102.64 $130,352.80
Disclosure

SEC source: 0000927628-20-000088 · wf-form4_158215835832347.xml · nonDerivative · entry 6

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,160

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
February 15, 2020 Filed Feb 20, 2020 00:26 UTC
Cooper Matthew WGeneral Counsel
Tax withholdingCommon Stock 1,609 $102.64 $165,147.76
Disclosure

SEC source: 0000927628-20-000088 · wf-form4_158215835832347.xml · nonDerivative · entry 5

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,430

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.

Read SEC document
February 15, 2020 Filed Feb 20, 2020 00:26 UTC
Cooper Matthew WGeneral Counsel
Disposition to issuerCommon Stock 1,312 $102.03 $133,863.36
Disclosure

SEC source: 0000927628-20-000088 · wf-form4_158215835832347.xml · nonDerivative · entry 4

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,039

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 00:26 UTC
Cooper Matthew WGeneral Counsel
Disposition to issuerCommon Stock 1,601 $102.03 $163,350.03
Disclosure

SEC source: 0000927628-20-000088 · wf-form4_158215835832347.xml · nonDerivative · entry 3

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,351

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 00:26 UTC
Cooper Matthew WGeneral Counsel
Exercise / conversionCommon Stock 1,312 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000088 · wf-form4_158215835832347.xml · nonDerivative · entry 2

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,952

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 00:26 UTC
Cooper Matthew WGeneral Counsel
Exercise / conversionCommon Stock 1,601 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000088 · wf-form4_158215835832347.xml · nonDerivative · entry 1

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,640

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 00:26 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversion2018 Restricted Stock Units · Derivative 2,007 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000089 · wf-form4_158215837984342.xml · derivative · entry 11

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,008

Underlying: Common Stock · 2,007 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 00:26 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversion2017 Restricted Stock Units · Derivative 2,307 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000089 · wf-form4_158215837984342.xml · derivative · entry 10

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,307 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.

Read SEC document
February 15, 2020 Filed Feb 20, 2020 00:26 UTC
Alexander Robert M.Chief Information Officer
Tax withholdingCommon Stock 2,083 $102.64 $213,799.12
Disclosure

SEC source: 0000927628-20-000089 · wf-form4_158215837984342.xml · nonDerivative · entry 7

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,274

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 00:26 UTC
Alexander Robert M.Chief Information Officer
Tax withholdingCommon Stock 1,555 $102.64 $159,605.20
Disclosure

SEC source: 0000927628-20-000089 · wf-form4_158215837984342.xml · nonDerivative · entry 6

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,357

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
February 15, 2020 Filed Feb 20, 2020 00:26 UTC
Alexander Robert M.Chief Information Officer
Tax withholdingCommon Stock 1,797 $102.64 $184,444.08
Disclosure

SEC source: 0000927628-20-000089 · wf-form4_158215837984342.xml · nonDerivative · entry 5

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,912

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.

Read SEC document
February 15, 2020 Filed Feb 20, 2020 00:26 UTC
Alexander Robert M.Chief Information Officer
Disposition to issuerCommon Stock 2,007 $102.03 $204,774.21
Disclosure

SEC source: 0000927628-20-000089 · wf-form4_158215837984342.xml · nonDerivative · entry 4

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,709

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 00:26 UTC
Alexander Robert M.Chief Information Officer
Disposition to issuerCommon Stock 2,307 $102.03 $235,383.21
Disclosure

SEC source: 0000927628-20-000089 · wf-form4_158215837984342.xml · nonDerivative · entry 3

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,716

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 00:26 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionCommon Stock 2,007 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000089 · wf-form4_158215837984342.xml · nonDerivative · entry 2

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,023

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 00:26 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionCommon Stock 2,307 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000089 · wf-form4_158215837984342.xml · nonDerivative · entry 1

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,016

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.

Read SEC document
February 15, 2020 Filed Feb 20, 2020 00:26 UTC
Karam CeliaChief Audit Officer
Tax withholdingCommon Stock 584 $102.64 $59,941.76
Disclosure

SEC source: 0000927628-20-000090 · wf-form4_158215840231726.xml · nonDerivative · entry 3

Karam Celia · CIK 0001741344 · Chief Audit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,272

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 00:26 UTC
Karam CeliaChief Audit Officer
Tax withholdingCommon Stock 189 $102.64 $19,398.96
Disclosure

SEC source: 0000927628-20-000090 · wf-form4_158215840231726.xml · nonDerivative · entry 2

Karam Celia · CIK 0001741344 · Chief Audit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,856

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
February 15, 2020 Filed Feb 20, 2020 00:26 UTC
Karam CeliaChief Audit Officer
Tax withholdingCommon Stock 161 $102.64 $16,525.04
Disclosure

SEC source: 0000927628-20-000090 · wf-form4_158215840231726.xml · nonDerivative · entry 1

Karam Celia · CIK 0001741344 · Chief Audit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,045

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 2, 2017. This is authorized in the applicable 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.

Read SEC document
February 15, 2020 Filed Feb 20, 2020 00:27 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversion2018 Restricted Stock Units · Derivative 1,964 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000091 · wf-form4_158215842336271.xml · derivative · entry 10

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,965

Underlying: Common Stock · 1,964 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.

F8 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2019 and annually thereafter.

F8 · 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 00:27 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversion2017 Restricted Stock Units · Derivative 2,300 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000091 · wf-form4_158215842336271.xml · derivative · entry 9

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,300 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, 2018 and annually thereafter.

F7 · 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 00:27 UTC
Berson Jory AChief Human Resources Officer
Tax withholdingCommon Stock 2,039 $102.64 $209,282.96
Disclosure

SEC source: 0000927628-20-000091 · wf-form4_158215842336271.xml · nonDerivative · entry 7

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,387

F5 · 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 00:27 UTC
Berson Jory AChief Human Resources Officer
Tax withholdingCommon Stock 1,675 $102.64 $171,922.00
Disclosure

SEC source: 0000927628-20-000091 · wf-form4_158215842336271.xml · nonDerivative · entry 6

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,426

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

Read SEC document
February 15, 2020 Filed Feb 20, 2020 00:27 UTC
Berson Jory AChief Human Resources Officer
Tax withholdingCommon Stock 1,794 $102.64 $184,136.16
Disclosure

SEC source: 0000927628-20-000091 · wf-form4_158215842336271.xml · nonDerivative · entry 5

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,101

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

Read SEC document
February 15, 2020 Filed Feb 20, 2020 00:27 UTC
Berson Jory AChief Human Resources Officer
Disposition to issuerCommon Stock 1,964 $102.03 $200,386.92
Disclosure

SEC source: 0000927628-20-000091 · wf-form4_158215842336271.xml · nonDerivative · entry 4

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,895

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 00:27 UTC
Berson Jory AChief Human Resources Officer
Disposition to issuerCommon Stock 2,300 $102.03 $234,669.00
Disclosure

SEC source: 0000927628-20-000091 · wf-form4_158215842336271.xml · nonDerivative · entry 3

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,859

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 00:27 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversionCommon Stock 1,964 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000091 · wf-form4_158215842336271.xml · nonDerivative · entry 2

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,159

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 00:27 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversionCommon Stock 2,300 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000091 · wf-form4_158215842336271.xml · nonDerivative · entry 1

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,195

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.

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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February 15, 2020 Filed Feb 20, 2020 00:27 UTC
Sanjiv YajnikPresident, Financial Services
Exercise / conversion2018 Restricted Stock Units · Derivative 2,305 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000092 · wf-form4_158215844633289.xml · derivative · entry 9

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,305

Underlying: Common Stock · 2,305 shares

Expires not disclosed

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

F1 · derivative.exercise_price: On February 15, 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 00:27 UTC
Sanjiv YajnikPresident, Financial Services
Exercise / conversion2017 Restricted Stock Units · Derivative 2,709 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000092 · wf-form4_158215844633289.xml · derivative · entry 8

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,709 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 00:27 UTC
Sanjiv YajnikPresident, Financial Services
Tax withholdingCommon Stock 2,291 $102.64 $235,148.24
Disclosure

SEC source: 0000927628-20-000092 · wf-form4_158215844633289.xml · nonDerivative · entry 7

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,421

F5 · 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 00:27 UTC
Sanjiv YajnikPresident, Financial Services
Tax withholdingCommon Stock 1,712 $102.64 $175,719.68
Disclosure

SEC source: 0000927628-20-000092 · wf-form4_158215844633289.xml · nonDerivative · entry 6

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,712

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

Read SEC document
February 15, 2020 Filed Feb 20, 2020 00:27 UTC
Sanjiv YajnikPresident, Financial Services
Tax withholdingCommon Stock 1,833 $102.64 $188,139.12
Disclosure

SEC source: 0000927628-20-000092 · wf-form4_158215844633289.xml · nonDerivative · entry 5

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,424

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

Read SEC document
February 15, 2020 Filed Feb 20, 2020 00:27 UTC
Sanjiv YajnikPresident, Financial Services
Disposition to issuerCommon Stock 2,305 $102.03 $235,179.15
Disclosure

SEC source: 0000927628-20-000092 · wf-form4_158215844633289.xml · nonDerivative · entry 4

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,257

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 00:27 UTC
Sanjiv YajnikPresident, Financial Services
Disposition to issuerCommon Stock 2,709 $102.03 $276,399.27
Disclosure

SEC source: 0000927628-20-000092 · wf-form4_158215844633289.xml · nonDerivative · entry 3

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,562

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 00:27 UTC
Sanjiv YajnikPresident, Financial Services
Exercise / conversionCommon Stock 2,305 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000092 · wf-form4_158215844633289.xml · nonDerivative · entry 2

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,271

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 00:27 UTC
Sanjiv YajnikPresident, Financial Services
Exercise / conversionCommon Stock 2,709 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000092 · wf-form4_158215844633289.xml · nonDerivative · entry 1

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,966

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.

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
February 15, 2020 Filed Feb 20, 2020 00:28 UTC
Newkirk Christopher TPres,Small Bus, Intl & Walmart
Exercise / conversion2018 Restricted Stock Units · Derivative 1,378 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000093 · wf-form4_158215846842395.xml · derivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,379

Underlying: Common Stock · 1,378 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 00:28 UTC
Newkirk Christopher TPres,Small Bus, Intl & Walmart
Exercise / conversion2017 Restricted Stock Units · Derivative 1,254 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000093 · wf-form4_158215846842395.xml · derivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,254 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.

Read SEC document
February 15, 2020 Filed Feb 20, 2020 00:28 UTC
Newkirk Christopher TPres,Small Bus, Intl & Walmart
Tax withholdingCommon Stock 1,813 $102.64 $186,086.32
Disclosure

SEC source: 0000927628-20-000093 · wf-form4_158215846842395.xml · nonDerivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,837

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

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