Tapewire

NYSE · USD

COF

CAPITAL ONE FINANCIAL CORP

Export transactions ↓
Tapewire entity
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

JSON API
Reset

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 00:28 UTC
Newkirk Christopher TPres,Small Bus, Intl & Walmart
Tax withholdingCommon Stock 1,153 $102.64 $118,343.92
Disclosure

SEC source: 0000927628-20-000093 · wf-form4_158215846842395.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,650

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 00:28 UTC
Newkirk Christopher TPres,Small Bus, Intl & Walmart
Tax withholdingCommon Stock 1,307 $102.64 $134,150.48
Disclosure

SEC source: 0000927628-20-000093 · wf-form4_158215846842395.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,803

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 00:28 UTC
Newkirk Christopher TPres,Small Bus, Intl & Walmart
Disposition to issuerCommon Stock 1,378 $102.03 $140,597.34
Disclosure

SEC source: 0000927628-20-000093 · wf-form4_158215846842395.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,110

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 00:28 UTC
Newkirk Christopher TPres,Small Bus, Intl & Walmart
Disposition to issuerCommon Stock 1,254 $102.03 $127,945.62
Disclosure

SEC source: 0000927628-20-000093 · wf-form4_158215846842395.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,488

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 00:28 UTC
Newkirk Christopher TPres,Small Bus, Intl & Walmart
Exercise / conversionCommon Stock 1,378 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000093 · wf-form4_158215846842395.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,742

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 00:28 UTC
Newkirk Christopher TPres,Small Bus, Intl & Walmart
Exercise / conversionCommon Stock 1,254 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000093 · wf-form4_158215846842395.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,364

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 00:28 UTC
Slocum MichaelPresident, Commercial Banking
Exercise / conversion2018 Restricted Stock Units · Derivative 2,106 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000094 · wf-form4_158215849037842.xml · derivative · entry 9

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,107

Underlying: Common Stock · 2,106 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
Slocum MichaelPresident, Commercial Banking
Exercise / conversion2017 Restricted Stock Units · Derivative 2,504 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000094 · wf-form4_158215849037842.xml · derivative · entry 8

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,504 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
Slocum MichaelPresident, Commercial Banking
Tax withholdingCommon Stock 2,624 $102.64 $269,327.36
Disclosure

SEC source: 0000927628-20-000094 · wf-form4_158215849037842.xml · nonDerivative · entry 7

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,520

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 00:28 UTC
Slocum MichaelPresident, Commercial Banking
Tax withholdingCommon Stock 1,960 $102.64 $201,174.40
Disclosure

SEC source: 0000927628-20-000094 · wf-form4_158215849037842.xml · nonDerivative · entry 6

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,144

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 00:28 UTC
Slocum MichaelPresident, Commercial Banking
Tax withholdingCommon Stock 2,538 $102.64 $260,500.32
Disclosure

SEC source: 0000927628-20-000094 · wf-form4_158215849037842.xml · nonDerivative · entry 5

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,104

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 00:28 UTC
Slocum MichaelPresident, Commercial Banking
Disposition to issuerCommon Stock 2,106 $102.03 $214,875.18
Disclosure

SEC source: 0000927628-20-000094 · wf-form4_158215849037842.xml · nonDerivative · entry 4

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,642

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 00:28 UTC
Slocum MichaelPresident, Commercial Banking
Disposition to issuerCommon Stock 2,504 $102.03 $255,483.12
Disclosure

SEC source: 0000927628-20-000094 · wf-form4_158215849037842.xml · nonDerivative · entry 3

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,748

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 00:28 UTC
Slocum MichaelPresident, Commercial Banking
Exercise / conversionCommon Stock 2,106 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000094 · wf-form4_158215849037842.xml · nonDerivative · entry 2

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,252

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 00:28 UTC
Slocum MichaelPresident, Commercial Banking
Exercise / conversionCommon Stock 2,504 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000094 · wf-form4_158215849037842.xml · nonDerivative · entry 1

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,146

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 00:28 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Exercise / conversion2017 Restricted Stock Units · Derivative 20,057 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000095 · wf-form4_158215851339202.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,057 shares

Expires 2020-02-15

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

F2 · security: Reflects the correction to a withholding of shares previously reported on February 3, 2020 that, due to an administrative reporting error, inadvertently misstated the number of shares withheld automatically to satisfy the reporting person's tax liability.

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: The restricted stock units vested in full on February 15, 2020.

F6 · derivative.expiration_date: The restricted stock units vested in full on February 15, 2020.

Read SEC document
February 15, 2020 Filed Feb 20, 2020 00:28 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Disposition to issuerCommon Stock 20,057 $102.03 $2,046,415.71
Disclosure

SEC source: 0000927628-20-000095 · wf-form4_158215851339202.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,416,353

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 00:28 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Exercise / conversionCommon Stock 20,057 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000095 · wf-form4_158215851339202.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,436,410

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
January 30, 2020 Filed Feb 3, 2020 21:53 UTC
Blackley Richard ScottChief Financial Officer
GrantCommon Stock 12,845 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000038 · wf-form4_158076677826623.xml · nonDerivative · entry 1

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,879

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2021 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
January 30, 2020 Filed Feb 3, 2020 21:53 UTC
Alexander Robert M.Chief Information Officer
GrantCommon Stock 9,564 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000039 · wf-form4_158076679935161.xml · nonDerivative · entry 1

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,709

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2021 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
January 30, 2020 Filed Feb 3, 2020 21:53 UTC
Cooper Matthew WGeneral Counsel
GrantCommon Stock 9,762 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000040 · wf-form4_158076682114509.xml · nonDerivative · entry 1

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,039

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2021 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
January 30, 2020 Filed Feb 3, 2020 21:54 UTC
Hall SheldonChief Risk Officer
GrantCommon Stock 299 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000041 · wf-form4_158076684287581.xml · nonDerivative · entry 2

Hall Sheldon · CIK 0001748065 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 4,097

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2021 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

F3 · balance_after: Includes shares acquired by the reporting person's spouse through the Company's Associate Stock Purchase Plan since the last reported transaction.

Read SEC document
January 30, 2020 Filed Feb 3, 2020 21:54 UTC
Hall SheldonChief Risk Officer
GrantCommon Stock 9,367 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000041 · wf-form4_158076684287581.xml · nonDerivative · entry 1

Hall Sheldon · CIK 0001748065 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,764

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2021 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

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
January 30, 2020 Filed Feb 3, 2020 21:54 UTC
Slocum MichaelPresident, Commercial Banking
GrantCommon Stock 12,013 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000042 · wf-form4_158076686348769.xml · nonDerivative · entry 1

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,642

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2021 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
January 30, 2020 Filed Feb 3, 2020 21:55 UTC
Newkirk Christopher TPres,Small Bus, Intl & Walmart
GrantCommon Stock 9,054 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000043 · wf-form4_158076688537947.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,110

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2021 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
January 30, 2020 Filed Feb 3, 2020 21:55 UTC
Karam CeliaChief Audit Officer
GrantCommon Stock 7,341 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000044 · wf-form4_158076690641911.xml · nonDerivative · entry 1

Karam Celia · CIK 0001741344 · Chief Audit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,198

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2021 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

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
January 30, 2020 Filed Feb 3, 2020 21:55 UTC
Dean LiaHead of Bank Mktg and Retail
GrantCommon Stock 8,075 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000045 · wf-form4_158076693125537.xml · nonDerivative · entry 1

Dean Lia · CIK 0001741273 · Head of Bank Mktg and Retail

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,196

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2021 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

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
January 30, 2020 Filed Feb 3, 2020 21:56 UTC
Berson Jory AChief Human Resources Officer
GrantCommon Stock 11,016 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000046 · wf-form4_158076695254069.xml · nonDerivative · entry 1

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,715

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2021 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
January 30, 2020 Filed Feb 3, 2020 21:56 UTC GrantCommon Stock 3,952 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000047 · wf-form4_158076697635133.xml · nonDerivative · entry 1

Golden Timothy P · CIK 0001706865 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,888

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2021 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

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
January 30, 2020 Filed Feb 3, 2020 21:56 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
GrantRestricted Stock Units · Derivative 17,129 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000048 · wf-form4_158076699797496.xml · derivative · entry 11

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,129

Underlying: Common Stock · 17,129 shares

Expires 2023-02-15

F5 · derivative.exercise_price: Represents restricted stock units granted for performance year 2020. Each restricted stock unit will be settled in cash based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the vesting date.

Read SEC document
January 30, 2020 Filed Feb 3, 2020 21:56 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Grant2020 Restricted Stock Units · Derivative 19,576 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000048 · wf-form4_158076699797496.xml · derivative · entry 10

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,576

Underlying: Common Stock · 19,576 shares

Expires 2023-02-15

F4 · derivative.exercise_price: Represents restricted stock units granted for performance year 2019. Each restricted stock unit will be settled in cash based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the vesting date.

Read SEC document
January 30, 2020 Filed Feb 3, 2020 21:56 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Exercise / conversion2019 Restricted Stock Units · Derivative 476 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000048 · wf-form4_158076699797496.xml · derivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,268

Underlying: Common Stock · 476 shares

Expires 2022-02-15

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

F3 · derivative.exercise_price: Represents the automatic withholding of restricted stock units granted in January 2019 which settled in cash based on fair market value on January 30, 2020, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

F3 · kind: Represents the automatic withholding of restricted stock units granted in January 2019 which settled in cash based on fair market value on January 30, 2020, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

Read SEC document
January 30, 2020 Filed Feb 3, 2020 21:56 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Exercise / conversion2018 Restricted Stock Units · Derivative 298 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000048 · wf-form4_158076699797496.xml · derivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,174

Underlying: Common Stock · 298 shares

Expires 2021-02-15

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

F2 · derivative.exercise_price: Represents the automatic withholding of restricted stock units granted in February 2018 which settled in cash based on fair market value on January 30, 2020, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

F2 · kind: Represents the automatic withholding of restricted stock units granted in February 2018 which settled in cash based on fair market value on January 30, 2020, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

Read SEC document
January 30, 2020 Filed Feb 3, 2020 21:56 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Exercise / conversion2017 Restricted Stock Units · Derivative 325 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000048 · wf-form4_158076699797496.xml · derivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,732

Underlying: Common Stock · 325 shares

Expires 2020-02-15

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

F1 · derivative.exercise_price: Represents the automatic withholding of restricted stock units granted in February 2017 which settled in cash based on fair market value on January 30, 2020, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

F1 · kind: Represents the automatic withholding of restricted stock units granted in February 2017 which settled in cash based on fair market value on January 30, 2020, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

Read SEC document
January 30, 2020 Filed Feb 3, 2020 21:56 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Tax withholdingCommon Stock 476 $102.17 $48,632.92
Disclosure

SEC source: 0000927628-20-000048 · wf-form4_158076699797496.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,416,353

F3 · kind: Represents the automatic withholding of restricted stock units granted in January 2019 which settled in cash based on fair market value on January 30, 2020, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

Read SEC document
January 30, 2020 Filed Feb 3, 2020 21:56 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Tax withholdingCommon Stock 298 $102.17 $30,446.66
Disclosure

SEC source: 0000927628-20-000048 · wf-form4_158076699797496.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,416,829

F2 · kind: Represents the automatic withholding of restricted stock units granted in February 2018 which settled in cash based on fair market value on January 30, 2020, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

Read SEC document
January 30, 2020 Filed Feb 3, 2020 21:56 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Tax withholdingCommon Stock 325 $102.17 $33,205.25
Disclosure

SEC source: 0000927628-20-000048 · wf-form4_158076699797496.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,417,127

F1 · kind: Represents the automatic withholding of restricted stock units granted in February 2017 which settled in cash based on fair market value on January 30, 2020, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

Read SEC document
January 30, 2020 Filed Feb 3, 2020 21:56 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Exercise / conversionCommon Stock 476 $102.17 $48,632.92
Disclosure

SEC source: 0000927628-20-000048 · wf-form4_158076699797496.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,417,452

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.

F3 · kind: Represents the automatic withholding of restricted stock units granted in January 2019 which settled in cash based on fair market value on January 30, 2020, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

Read SEC document
January 30, 2020 Filed Feb 3, 2020 21:56 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Exercise / conversionCommon Stock 298 $102.17 $30,446.66
Disclosure

SEC source: 0000927628-20-000048 · wf-form4_158076699797496.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,416,976

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.

F2 · kind: Represents the automatic withholding of restricted stock units granted in February 2018 which settled in cash based on fair market value on January 30, 2020, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

Read SEC document
January 30, 2020 Filed Feb 3, 2020 21:56 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Exercise / conversionCommon Stock 325 $102.17 $33,205.25
Disclosure

SEC source: 0000927628-20-000048 · wf-form4_158076699797496.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,416,678

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 · kind: Represents the automatic withholding of restricted stock units granted in February 2017 which settled in cash based on fair market value on January 30, 2020, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

Read SEC document
January 30, 2020 Filed Feb 3, 2020 21:57 UTC
Santos KleberPres., Retail & Direct Banking
GrantCommon Stock 9,299 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000049 · wf-form4_158076701909789.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,753

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2021 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
January 30, 2020 Filed Feb 3, 2020 21:57 UTC
Borgmann Kevin S.Senior Advisor to the CEO
GrantCommon Stock 9,806 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000050 · wf-form4_158076704698007.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,674

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2021 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
January 30, 2020 Filed Feb 3, 2020 21:58 UTC
FINNERAN JOHN G JRSenior Advisor and Corp Secy
GrantCommon Stock 8,453 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000051 · wf-form4_158076706819711.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: 100,245

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2021 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
January 30, 2020 Filed Feb 3, 2020 21:58 UTC
Sanjiv YajnikPresident, Financial Services
GrantCommon Stock 12,898 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000052 · wf-form4_158076708963839.xml · nonDerivative · entry 1

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,046

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2021 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
January 30, 2020 Filed Feb 3, 2020 21:58 UTC
Wassmer Michael JPresident, U.S. Card
GrantCommon Stock 13,454 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000053 · wf-form4_158076711047136.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,133

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2021 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
January 30, 2020 Filed Feb 3, 2020 21:59 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
GrantCommon Stock 11,164 $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000054 · wf-form4_158076713074250.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,322

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2021 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
January 30, 2020 Filed Feb 20, 2020 00:28 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Exercise / conversionRestricted Stock Units · Derivative 298 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000095 · wf-form4_158215851339202.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,417

Underlying: Common Stock · 298 shares

Expires 2022-02-15

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

F2 · security: Reflects the correction to a withholding of shares previously reported on February 3, 2020 that, due to an administrative reporting error, inadvertently misstated the number of shares withheld automatically to satisfy the reporting person's tax liability.

F4 · security: Represents restricted stock units granted for performance year 2019.

F5 · derivative.exercise_price: Represents the automatic withholding of restricted stock units granted in January 2019 which settled in cash based on fair market value on January 30, 2020, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

F5 · kind: Represents the automatic withholding of restricted stock units granted in January 2019 which settled in cash based on fair market value on January 30, 2020, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

Read SEC document
January 30, 2020 Filed Feb 20, 2020 00:28 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Exercise / conversion2018 Restricted Stock Units · Derivative 325 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-20-000095 · wf-form4_158215851339202.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,147

Underlying: Common Stock · 325 shares

Expires 2021-02-15

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

F2 · security: Reflects the correction to a withholding of shares previously reported on February 3, 2020 that, due to an administrative reporting error, inadvertently misstated the number of shares withheld automatically to satisfy the reporting person's tax liability.

F3 · derivative.exercise_price: Represents the automatic withholding of restricted stock units granted in February 2018 which settled in cash based on fair market value on January 30, 2020, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

F3 · kind: Represents the automatic withholding of restricted stock units granted in February 2018 which settled in cash based on fair market value on January 30, 2020, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

Read SEC document
January 23, 2020 Filed Jan 27, 2020 21:25 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Exercise / conversionStock Options · Derivative 559,333 $0.00 Strike: $36.55 $0.00
Disclosure

SEC source: 0000927628-20-000013 · wf-form4_158016029381194.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 559,333 shares

Expires 2020-01-26

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

Read SEC document
January 23, 2020 Filed Jan 27, 2020 21:25 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Exercise / conversionCommon Stock 559,333 $36.55 $20,443,621.15
Disclosure

SEC source: 0000927628-20-000013 · wf-form4_158016029381194.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,416,353

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

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.