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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
May 13, 2019 Filed May 15, 2019 20:08 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
GiftCommon Stock 22,465 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000214 · wf-form4_155795092375904.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,857,006

Read SEC document
May 09, 2019 Filed May 10, 2019 20:05 UTC
Blackley Richard ScottChief Financial Officer
Tax withholdingCommon Stock 1,620 $90.20 $146,124.00
Disclosure

SEC source: 0000927628-19-000206 · wf-form4_155751871141584.xml · nonDerivative · entry 1

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,034

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.

Read SEC document
May 02, 2019 Filed May 6, 2019 20:13 UTC GrantCommon Stock 1,938 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000191 · wf-form4_155717357637151.xml · nonDerivative · entry 1

Locoh-Donou Francois · CIK 0001526624 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,443

F1 · security: Restricted stock units which vest in their entirety on May 2, 2020 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
May 02, 2019 Filed May 6, 2019 20:13 UTC GrantCommon Stock 1,938 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000192 · wf-form4_155717360205394.xml · nonDerivative · entry 1

Killalea Peter Thomas · CIK 0001638728 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,996

F1 · security: Restricted stock units which vest in their entirety on May 2, 2020 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
May 02, 2019 Filed May 6, 2019 20:14 UTC GrantCommon Stock 1,938 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000193 · wf-form4_155717362794194.xml · nonDerivative · entry 1

WEST CATHERINE · CIK 0001238043 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,453

F1 · security: Restricted stock units which vest in their entirety on May 2, 2020 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
May 02, 2019 Filed May 6, 2019 20:14 UTC GrantCommon Stock 1,938 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000194 · wf-form4_155717365604285.xml · nonDerivative · entry 1

RASKIND PETER E · CIK 0001181669 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,037

F1 · security: Restricted stock units which vest in their entirety on May 2, 2020 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
May 02, 2019 Filed May 6, 2019 20:14 UTC GrantCommon Stock 1,938 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000195 · wf-form4_155717368207793.xml · nonDerivative · entry 1

Chennapragada Aparna · CIK 0001733103 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,286

F1 · security: Restricted stock units which vest in their entirety on May 2, 2020 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
May 02, 2019 Filed May 6, 2019 20:15 UTC GrantCommon Stock 1,938 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000196 · wf-form4_155717370952390.xml · nonDerivative · entry 1

LEROY PIERRE E · CIK 0001055709 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,206

F1 · security: Restricted stock units which vest in their entirety on May 2, 2020 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
May 02, 2019 Filed May 6, 2019 20:15 UTC GrantCommon Stock 1,938 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000197 · wf-form4_155717373559213.xml · nonDerivative · entry 1

SHATTUCK MAYO A III · CIK 0001087426 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,795

F1 · security: Restricted stock units which vest in their entirety on May 2, 2020 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
May 02, 2019 Filed May 6, 2019 20:16 UTC GrantCommon Stock 1,938 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000198 · wf-form4_155717376284313.xml · nonDerivative · entry 1

HACKETT ANN F · CIK 0001188662 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,856

F1 · security: Restricted stock units which vest in their entirety on May 2, 2020 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
May 02, 2019 Filed May 6, 2019 20:16 UTC GrantCommon Stock 1,938 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000199 · wf-form4_155717378972700.xml · nonDerivative · entry 1

Leenaars Cornelis PAJ · CIK 0001549838 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,875

F1 · security: Restricted stock units which vest in their entirety on May 2, 2020 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
May 02, 2019 Filed May 6, 2019 20:17 UTC GrantCommon Stock 1,938 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000200 · wf-form4_155717381478606.xml · nonDerivative · entry 1

WARNER BRADFORD H · CIK 0001195086 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,930

F1 · security: Restricted stock units which vest in their entirety on May 2, 2020 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, 2019 Filed Apr 5, 2019 20:14 UTC Tax withholdingCommon Stock 1,845 $85.31 $157,396.95
Disclosure

SEC source: 0000927628-19-000155 · wf-form4_155449524866234.xml · nonDerivative · entry 1

Golden Timothy P · CIK 0001706865 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,921

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.

Read SEC document
March 18, 2019 Filed Mar 20, 2019 20:50 UTC
Santos KleberPres., Retail & Direct Banking
SaleCommon Stock 2,928 $84.54 $247,533.12
Disclosure

SEC source: 0000927628-19-000153 · wf-form4_155311501397901.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,454

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 2, 2018, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
March 07, 2019 Filed Mar 11, 2019 20:09 UTC
Newkirk Christopher TPres,Intl, Small Bus & Walmart
Tax withholdingCommon Stock 2,299 $81.28 $186,862.72
Disclosure

SEC source: 0000927628-19-000133 · wf-form4_155233493492321.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,746

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 07, 2019 Filed Mar 11, 2019 20:09 UTC
Newkirk Christopher TPres,Intl, Small Bus & Walmart
GrantCommon Stock 4,759 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000133 · wf-form4_155233493492321.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,045

F1 · security: These shares were earned pursuant to an award of performance shares granted on February 4, 2016 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 07, 2019 Filed Mar 11, 2019 20:09 UTC
FINNERAN JOHN G JRSenior Advisor and Corp Secy
Tax withholdingCommon Stock 8,971 $81.28 $729,162.88
Disclosure

SEC source: 0000927628-19-000134 · wf-form4_155233497787202.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: 127,690

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 07, 2019 Filed Mar 11, 2019 20:09 UTC
FINNERAN JOHN G JRSenior Advisor and Corp Secy
GrantCommon Stock 18,573 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000134 · wf-form4_155233497787202.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: 136,661

F1 · security: These shares were earned pursuant to an award of performance shares granted on February 4, 2016 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 07, 2019 Filed Mar 11, 2019 20:10 UTC
Alexander Robert M.Chief Information Officer
Tax withholdingCommon Stock 7,114 $81.28 $578,225.92
Disclosure

SEC source: 0000927628-19-000135 · wf-form4_155233502037033.xml · nonDerivative · entry 2

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,145

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 07, 2019 Filed Mar 11, 2019 20:10 UTC
Alexander Robert M.Chief Information Officer
GrantCommon Stock 15,773 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000135 · wf-form4_155233502037033.xml · nonDerivative · entry 1

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,259

F1 · security: These shares were earned pursuant to an award of performance shares granted on February 4, 2016 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 07, 2019 Filed Mar 11, 2019 20:11 UTC
Blackley Richard ScottChief Financial Officer
Tax withholdingCommon Stock 2,463 $81.28 $200,192.64
Disclosure

SEC source: 0000927628-19-000136 · wf-form4_155233506332117.xml · nonDerivative · entry 2

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,654

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 07, 2019 Filed Mar 11, 2019 20:11 UTC
Blackley Richard ScottChief Financial Officer
GrantCommon Stock 5,459 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000136 · wf-form4_155233506332117.xml · nonDerivative · entry 1

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,117

F1 · security: These shares were earned pursuant to an award of performance shares granted on February 4, 2016 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 07, 2019 Filed Mar 11, 2019 20:11 UTC
Hall SheldonChief Risk Officer
Tax withholdingCommon Stock 1,796 $81.28 $145,978.88
Disclosure

SEC source: 0000927628-19-000137 · wf-form4_155233509989502.xml · nonDerivative · entry 2

Hall Sheldon · CIK 0001748065 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,146

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 07, 2019 Filed Mar 11, 2019 20:11 UTC
Hall SheldonChief Risk Officer
GrantCommon Stock 3,719 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000137 · wf-form4_155233509989502.xml · nonDerivative · entry 1

Hall Sheldon · CIK 0001748065 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,942

F1 · security: These shares were earned pursuant to an award of performance shares granted on February 4, 2016 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 07, 2019 Filed Mar 11, 2019 20:12 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Tax withholdingCommon Stock 8,654 $81.28 $703,397.12
Disclosure

SEC source: 0000927628-19-000138 · wf-form4_155233514083942.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,158

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 07, 2019 Filed Mar 11, 2019 20:12 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
GrantCommon Stock 17,916 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000138 · wf-form4_155233514083942.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,812

F1 · security: These shares were earned pursuant to an award of performance shares granted on February 4, 2016 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 07, 2019 Filed Mar 11, 2019 20:13 UTC
Santos KleberPres., Retail & Direct Banking
Tax withholdingCommon Stock 2,735 $81.28 $222,300.80
Disclosure

SEC source: 0000927628-19-000139 · wf-form4_155233518488802.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,382

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 07, 2019 Filed Mar 11, 2019 20:13 UTC
Santos KleberPres., Retail & Direct Banking
GrantCommon Stock 5,663 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000139 · wf-form4_155233518488802.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,117

F1 · security: These shares were earned pursuant to an award of performance shares granted on February 4, 2016 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 07, 2019 Filed Mar 11, 2019 20:14 UTC
Wassmer Michael JPresident, U.S. Card
Tax withholdingCommon Stock 4,360 $81.28 $354,380.80
Disclosure

SEC source: 0000927628-19-000140 · wf-form4_155233522978298.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,041

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 07, 2019 Filed Mar 11, 2019 20:14 UTC
Wassmer Michael JPresident, U.S. Card
GrantCommon Stock 9,666 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000140 · wf-form4_155233522978298.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,401

F1 · security: These shares were earned pursuant to an award of performance shares granted on February 4, 2016 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 07, 2019 Filed Mar 11, 2019 20:14 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Tax withholdingCommon Stock 98,737 $81.28 $8,025,343.36
Disclosure

SEC source: 0000927628-19-000141 · wf-form4_155233527079523.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,879,471

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 07, 2019 Filed Mar 11, 2019 20:14 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
GrantCommon Stock 218,927 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000141 · wf-form4_155233527079523.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,978,208

F1 · security: These shares were earned pursuant to an award of performance shares granted on February 4, 2016 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 07, 2019 Filed Mar 11, 2019 20:15 UTC
Slocum MichaelPresident, Commercial Banking
Tax withholdingCommon Stock 8,550 $81.28 $694,944.00
Disclosure

SEC source: 0000927628-19-000142 · wf-form4_155233531278282.xml · nonDerivative · entry 2

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,473

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 07, 2019 Filed Mar 11, 2019 20:15 UTC
Slocum MichaelPresident, Commercial Banking
GrantCommon Stock 16,064 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000142 · wf-form4_155233531278282.xml · nonDerivative · entry 1

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,023

F1 · security: These shares were earned pursuant to an award of performance shares granted on February 4, 2016 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 07, 2019 Filed Mar 11, 2019 20:16 UTC
Sanjiv YajnikPresident, Financial Services
Tax withholdingCommon Stock 6,919 $81.28 $562,376.32
Disclosure

SEC source: 0000927628-19-000143 · wf-form4_155233535588410.xml · nonDerivative · entry 2

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,057

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 07, 2019 Filed Mar 11, 2019 20:16 UTC
Sanjiv YajnikPresident, Financial Services
GrantCommon Stock 17,581 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000143 · wf-form4_155233535588410.xml · nonDerivative · entry 1

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,976

F1 · security: These shares were earned pursuant to an award of performance shares granted on February 4, 2016 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 07, 2019 Filed Mar 11, 2019 20:16 UTC
Borgmann Kevin S.Senior Advisor to the CEO
Tax withholdingCommon Stock 7,654 $81.28 $622,117.12
Disclosure

SEC source: 0000927628-19-000144 · wf-form4_155233540580463.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,809

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 07, 2019 Filed Mar 11, 2019 20:16 UTC
Borgmann Kevin S.Senior Advisor to the CEO
GrantCommon Stock 15,847 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000144 · wf-form4_155233540580463.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,463

F1 · security: These shares were earned pursuant to an award of performance shares granted on February 4, 2016 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 07, 2019 Filed Mar 11, 2019 20:17 UTC
Berson Jory AChief Human Resources Officer
Tax withholdingCommon Stock 6,975 $81.28 $566,928.00
Disclosure

SEC source: 0000927628-19-000145 · wf-form4_155233544894239.xml · nonDerivative · entry 2

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,009

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 07, 2019 Filed Mar 11, 2019 20:17 UTC
Berson Jory AChief Human Resources Officer
GrantCommon Stock 15,464 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000145 · wf-form4_155233544894239.xml · nonDerivative · entry 1

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,984

F1 · security: These shares were earned pursuant to an award of performance shares granted on February 4, 2016 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 07, 2019 Filed Mar 11, 2019 20:18 UTC
Cooper Matthew WGeneral Counsel
Tax withholdingCommon Stock 2,635 $81.28 $214,172.80
Disclosure

SEC source: 0000927628-19-000146 · wf-form4_155233549285358.xml · nonDerivative · entry 2

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,277

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.

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March 07, 2019 Filed Mar 11, 2019 20:18 UTC
Cooper Matthew WGeneral Counsel
GrantCommon Stock 5,842 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000146 · wf-form4_155233549285358.xml · nonDerivative · entry 1

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,912

F1 · security: These shares were earned pursuant to an award of performance shares granted on February 4, 2016 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.

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March 01, 2019 Filed Mar 5, 2019 21:15 UTC GrantCommon Stock 505 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000117 · wf-form4_155182049865587.xml · nonDerivative · entry 1

Locoh-Donou Francois · CIK 0001526624 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 505

F1 · security: Restricted Stock Units which vest in their entirety on March 1, 2020.

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February 21, 2019 Filed Feb 25, 2019 21:10 UTC
Santos KleberPres., Retail & Direct Banking
SaleCommon Stock 3,570 $82.49 $294,489.30
Disclosure

SEC source: 0000927628-19-000112 · wf-form4_155112899890140.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,454

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 2, 2018, 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 $82.15 to $82.98. Information regarding the number of shares sold at each price will be provided upon request.

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February 15, 2019 Filed Feb 20, 2019 21:44 UTC
Sanjiv YajnikPresident, Financial Services
Exercise / conversion2018 Restricted Stock Units · Derivative 2,304 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000094 · wf-form4_155069905602313.xml · derivative · entry 12

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,610

Underlying: Common Stock · 2,304 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, 2019, 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, 2019, 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.

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February 15, 2019 Filed Feb 20, 2019 21:44 UTC
Sanjiv YajnikPresident, Financial Services
Exercise / conversion2017 Restricted Stock Units · Derivative 2,708 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000094 · wf-form4_155069905602313.xml · derivative · entry 11

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,709

Underlying: Common Stock · 2,708 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, 2019, 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, 2019, 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.

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February 15, 2019 Filed Feb 20, 2019 21:44 UTC
Sanjiv YajnikPresident, Financial Services
Exercise / conversion2016 Restricted Stock Units · Derivative 3,566 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000094 · wf-form4_155069905602313.xml · derivative · entry 10

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,566 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, 2019, 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, 2019, 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, 2017 and annually thereafter.

F6 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2017 and annually thereafter.

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February 15, 2019 Filed Feb 20, 2019 21:44 UTC
Sanjiv YajnikPresident, Financial Services
Tax withholdingCommon Stock 1,712 $81.57 $139,647.84
Disclosure

SEC source: 0000927628-19-000094 · wf-form4_155069905602313.xml · nonDerivative · entry 9

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,230

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

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February 15, 2019 Filed Feb 20, 2019 21:44 UTC
Sanjiv YajnikPresident, Financial Services
Tax withholdingCommon Stock 1,833 $81.57 $149,517.81
Disclosure

SEC source: 0000927628-19-000094 · wf-form4_155069905602313.xml · nonDerivative · entry 8

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,942

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

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February 15, 2019 Filed Feb 20, 2019 21:44 UTC
Sanjiv YajnikPresident, Financial Services
Tax withholdingCommon Stock 2,411 $81.57 $196,665.27
Disclosure

SEC source: 0000927628-19-000094 · wf-form4_155069905602313.xml · nonDerivative · entry 7

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,775

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 4, 2016. This is authorized in the applicable restricted stock award agreement.

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