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CAPITAL ONE FINANCIAL CORP

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547
SEC CIK
0000927628
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2,528

Last 12 months

Inside the activity.

0 purchase rows · 62 sale rows

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

Latest available

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

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

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
February 15, 2019 Filed Feb 20, 2019 21:44 UTC
Sanjiv YajnikPresident, Financial Services
Disposition to issuerCommon Stock 2,304 $79.85 $183,974.40
Disclosure

SEC source: 0000927628-19-000094 · wf-form4_155069905602313.xml · nonDerivative · entry 6

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,186

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.

Read SEC document
February 15, 2019 Filed Feb 20, 2019 21:44 UTC
Sanjiv YajnikPresident, Financial Services
Disposition to issuerCommon Stock 2,708 $79.85 $216,233.80
Disclosure

SEC source: 0000927628-19-000094 · wf-form4_155069905602313.xml · nonDerivative · entry 5

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,490

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.

Read SEC document
February 15, 2019 Filed Feb 20, 2019 21:44 UTC
Sanjiv YajnikPresident, Financial Services
Disposition to issuerCommon Stock 3,566 $79.85 $284,745.10
Disclosure

SEC source: 0000927628-19-000094 · wf-form4_155069905602313.xml · nonDerivative · entry 4

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,198

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.

Read SEC document
February 15, 2019 Filed Feb 20, 2019 21:44 UTC
Sanjiv YajnikPresident, Financial Services
Exercise / conversionCommon Stock 2,304 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000094 · wf-form4_155069905602313.xml · nonDerivative · entry 3

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,764

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, 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.

Read SEC document
February 15, 2019 Filed Feb 20, 2019 21:44 UTC
Sanjiv YajnikPresident, Financial Services
Exercise / conversionCommon Stock 2,708 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000094 · wf-form4_155069905602313.xml · nonDerivative · entry 2

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,460

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, 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.

Read SEC document
February 15, 2019 Filed Feb 20, 2019 21:44 UTC
Sanjiv YajnikPresident, Financial Services
Exercise / conversionCommon Stock 3,566 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000094 · wf-form4_155069905602313.xml · nonDerivative · entry 1

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,752

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, 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.

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, 2019 Filed Feb 20, 2019 21:45 UTC Tax withholdingCommon Stock 288 $81.57 $23,492.16
Disclosure

SEC source: 0000927628-19-000095 · wf-form4_155069909486769.xml · nonDerivative · entry 1

Golden Timothy P · CIK 0001706865 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,692

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 1, 2018. 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, 2019 Filed Feb 20, 2019 21:46 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Exercise / conversion2018 Restricted Stock Units · Derivative 2,339 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000097 · wf-form4_155069917092107.xml · derivative · entry 13

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,680

Underlying: Common Stock · 2,339 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.

Read SEC document
February 15, 2019 Filed Feb 20, 2019 21:46 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Exercise / conversion2017 Restricted Stock Units · Derivative 2,717 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000097 · wf-form4_155069917092107.xml · derivative · entry 12

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,717

Underlying: Common Stock · 2,717 shares

Expires not disclosed

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

F1 · derivative.exercise_price: On February 15, 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.

Read SEC document
February 15, 2019 Filed Feb 20, 2019 21:46 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Exercise / conversion2016 Restricted Stock Units · Derivative 3,447 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000097 · wf-form4_155069917092107.xml · derivative · entry 11

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,447 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.

Read SEC document
February 15, 2019 Filed Feb 20, 2019 21:46 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Tax withholdingCommon Stock 1,941 $81.57 $158,327.37
Disclosure

SEC source: 0000927628-19-000097 · wf-form4_155069917092107.xml · nonDerivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,896

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, 2019 Filed Feb 20, 2019 21:46 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Tax withholdingCommon Stock 2,517 $81.57 $205,311.69
Disclosure

SEC source: 0000927628-19-000097 · wf-form4_155069917092107.xml · nonDerivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,837

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, 2019 Filed Feb 20, 2019 21:46 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Tax withholdingCommon Stock 3,015 $81.57 $245,933.55
Disclosure

SEC source: 0000927628-19-000097 · wf-form4_155069917092107.xml · nonDerivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,354

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

Read SEC document
February 15, 2019 Filed Feb 20, 2019 21:46 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Disposition to issuerCommon Stock 2,339 $79.85 $186,769.15
Disclosure

SEC source: 0000927628-19-000097 · wf-form4_155069917092107.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,369

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.

Read SEC document
February 15, 2019 Filed Feb 20, 2019 21:46 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Disposition to issuerCommon Stock 2,717 $79.85 $216,952.45
Disclosure

SEC source: 0000927628-19-000097 · wf-form4_155069917092107.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,708

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.

Read SEC document
February 15, 2019 Filed Feb 20, 2019 21:46 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Disposition to issuerCommon Stock 3,447 $79.85 $275,242.95
Disclosure

SEC source: 0000927628-19-000097 · wf-form4_155069917092107.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,425

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.

Read SEC document
February 15, 2019 Filed Feb 20, 2019 21:46 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Exercise / conversionCommon Stock 2,339 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000097 · wf-form4_155069917092107.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,872

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, 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.

Read SEC document
February 15, 2019 Filed Feb 20, 2019 21:46 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Exercise / conversionCommon Stock 2,717 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000097 · wf-form4_155069917092107.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,533

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, 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.

Read SEC document
February 15, 2019 Filed Feb 20, 2019 21:46 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Exercise / conversionCommon Stock 3,447 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000097 · wf-form4_155069917092107.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,816

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, 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.

Read SEC document
February 15, 2019 Filed Feb 20, 2019 21:45 UTC
Santos KleberPres., Retail & Direct Banking
Exercise / conversion2018 Restricted Stock Units · Derivative 1,359 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000096 · wf-form4_155069913196268.xml · derivative · entry 12

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,718

Underlying: Common Stock · 1,359 shares

Expires not disclosed

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

F1 · derivative.exercise_price: On February 15, 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, 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, 2019 Filed Feb 20, 2019 21:45 UTC
Santos KleberPres., Retail & Direct Banking
Exercise / conversion2017 Restricted Stock Units · Derivative 1,263 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000096 · wf-form4_155069913196268.xml · derivative · entry 11

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,263

Underlying: Common Stock · 1,263 shares

Expires not disclosed

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

F1 · derivative.exercise_price: On February 15, 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, 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, 2019 Filed Feb 20, 2019 21:45 UTC
Santos KleberPres., Retail & Direct Banking
Exercise / conversion2016 Restricted Stock Units · Derivative 1,636 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000096 · wf-form4_155069913196268.xml · derivative · entry 10

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,636 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.

F5 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2017 and annually thereafter.

F5 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2017 and annually thereafter.

Read SEC document
February 15, 2019 Filed Feb 20, 2019 21:45 UTC
Santos KleberPres., Retail & Direct Banking
Tax withholdingCommon Stock 1,097 $81.57 $89,482.29
Disclosure

SEC source: 0000927628-19-000096 · wf-form4_155069913196268.xml · nonDerivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,024

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, 2019 Filed Feb 20, 2019 21:45 UTC
Santos KleberPres., Retail & Direct Banking
Tax withholdingCommon Stock 1,331 $81.57 $108,569.67
Disclosure

SEC source: 0000927628-19-000096 · wf-form4_155069913196268.xml · nonDerivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,121

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, 2019 Filed Feb 20, 2019 21:45 UTC
Santos KleberPres., Retail & Direct Banking
Tax withholdingCommon Stock 1,703 $81.57 $138,913.71
Disclosure

SEC source: 0000927628-19-000096 · wf-form4_155069913196268.xml · nonDerivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,452

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

Read SEC document
February 15, 2019 Filed Feb 20, 2019 21:45 UTC
Santos KleberPres., Retail & Direct Banking
Disposition to issuerCommon Stock 1,359 $79.85 $108,516.15
Disclosure

SEC source: 0000927628-19-000096 · wf-form4_155069913196268.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,155

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.

Read SEC document
February 15, 2019 Filed Feb 20, 2019 21:45 UTC
Santos KleberPres., Retail & Direct Banking
Disposition to issuerCommon Stock 1,263 $79.85 $100,850.55
Disclosure

SEC source: 0000927628-19-000096 · wf-form4_155069913196268.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,514

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.

Read SEC document
February 15, 2019 Filed Feb 20, 2019 21:45 UTC
Santos KleberPres., Retail & Direct Banking
Disposition to issuerCommon Stock 1,636 $79.85 $130,634.60
Disclosure

SEC source: 0000927628-19-000096 · wf-form4_155069913196268.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,777

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.

Read SEC document
February 15, 2019 Filed Feb 20, 2019 21:45 UTC
Santos KleberPres., Retail & Direct Banking
Exercise / conversionCommon Stock 1,359 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000096 · wf-form4_155069913196268.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,413

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, 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.

Read SEC document
February 15, 2019 Filed Feb 20, 2019 21:45 UTC
Santos KleberPres., Retail & Direct Banking
Exercise / conversionCommon Stock 1,263 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000096 · wf-form4_155069913196268.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,054

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, 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.

Read SEC document
February 15, 2019 Filed Feb 20, 2019 21:45 UTC
Santos KleberPres., Retail & Direct Banking
Exercise / conversionCommon Stock 1,636 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000096 · wf-form4_155069913196268.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,791

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, 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.

Read SEC document
February 15, 2019 Filed Feb 20, 2019 21:47 UTC
Blackley Richard ScottChief Financial Officer
Exercise / conversion2018 Restricted Stock Units · Derivative 1,966 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000098 · wf-form4_155069920759912.xml · derivative · entry 12

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,934

Underlying: Common Stock · 1,966 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, 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, 2019 Filed Feb 20, 2019 21:47 UTC
Blackley Richard ScottChief Financial Officer
Exercise / conversion2017 Restricted Stock Units · Derivative 2,129 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000098 · wf-form4_155069920759912.xml · derivative · entry 11

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,129

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, 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, 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, 2019 Filed Feb 20, 2019 21:47 UTC
Blackley Richard ScottChief Financial Officer
Exercise / conversion2016 Restricted Stock Units · Derivative 1,571 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000098 · wf-form4_155069920759912.xml · derivative · entry 10

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,571 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.

F5 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2017 and annually thereafter.

F5 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2017 and annually thereafter.

Read SEC document
February 15, 2019 Filed Feb 20, 2019 21:47 UTC
Blackley Richard ScottChief Financial Officer
Tax withholdingCommon Stock 1,679 $81.57 $136,956.03
Disclosure

SEC source: 0000927628-19-000098 · wf-form4_155069920759912.xml · nonDerivative · entry 9

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,658

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, 2019 Filed Feb 20, 2019 21:47 UTC
Blackley Richard ScottChief Financial Officer
Tax withholdingCommon Stock 2,547 $81.57 $207,758.79
Disclosure

SEC source: 0000927628-19-000098 · wf-form4_155069920759912.xml · nonDerivative · entry 8

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,337

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, 2019 Filed Feb 20, 2019 21:47 UTC
Blackley Richard ScottChief Financial Officer
Tax withholdingCommon Stock 1,544 $81.57 $125,944.08
Disclosure

SEC source: 0000927628-19-000098 · wf-form4_155069920759912.xml · nonDerivative · entry 7

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,884

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

Read SEC document
February 15, 2019 Filed Feb 20, 2019 21:47 UTC
Blackley Richard ScottChief Financial Officer
Disposition to issuerCommon Stock 1,966 $79.85 $156,985.10
Disclosure

SEC source: 0000927628-19-000098 · wf-form4_155069920759912.xml · nonDerivative · entry 6

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,428

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.

Read SEC document
February 15, 2019 Filed Feb 20, 2019 21:47 UTC
Blackley Richard ScottChief Financial Officer
Disposition to issuerCommon Stock 2,129 $79.85 $170,000.65
Disclosure

SEC source: 0000927628-19-000098 · wf-form4_155069920759912.xml · nonDerivative · entry 5

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,394

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.

Read SEC document
February 15, 2019 Filed Feb 20, 2019 21:47 UTC
Blackley Richard ScottChief Financial Officer
Disposition to issuerCommon Stock 1,571 $79.85 $125,444.35
Disclosure

SEC source: 0000927628-19-000098 · wf-form4_155069920759912.xml · nonDerivative · entry 4

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,523

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.

Read SEC document
February 15, 2019 Filed Feb 20, 2019 21:47 UTC
Blackley Richard ScottChief Financial Officer
Exercise / conversionCommon Stock 1,966 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000098 · wf-form4_155069920759912.xml · nonDerivative · entry 3

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,094

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, 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.

Read SEC document
February 15, 2019 Filed Feb 20, 2019 21:47 UTC
Blackley Richard ScottChief Financial Officer
Exercise / conversionCommon Stock 2,129 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000098 · wf-form4_155069920759912.xml · nonDerivative · entry 2

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,128

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, 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.

Read SEC document
February 15, 2019 Filed Feb 20, 2019 21:47 UTC
Blackley Richard ScottChief Financial Officer
Exercise / conversionCommon Stock 1,571 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000098 · wf-form4_155069920759912.xml · nonDerivative · entry 1

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,999

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, 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.

Read SEC document
February 15, 2019 Filed Feb 20, 2019 21:47 UTC
Cooper Matthew WGeneral Counsel
Exercise / conversion2018 Restricted Stock Units · Derivative 1,311 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000099 · wf-form4_155069924587830.xml · derivative · entry 12

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,624

Underlying: Common Stock · 1,311 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, 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, 2019 Filed Feb 20, 2019 21:47 UTC
Cooper Matthew WGeneral Counsel
Exercise / conversion2017 Restricted Stock Units · Derivative 1,600 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000099 · wf-form4_155069924587830.xml · derivative · entry 11

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,601

Underlying: Common Stock · 1,600 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, 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, 2019 Filed Feb 20, 2019 21:47 UTC
Cooper Matthew WGeneral Counsel
Exercise / conversion2016 Restricted Stock Units · Derivative 1,688 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000099 · wf-form4_155069924587830.xml · derivative · entry 10

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,688 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.

F5 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2017 and annually thereafter.

F5 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2017 and annually thereafter.

Read SEC document
February 15, 2019 Filed Feb 20, 2019 21:47 UTC
Cooper Matthew WGeneral Counsel
Tax withholdingCommon Stock 1,270 $81.57 $103,593.90
Disclosure

SEC source: 0000927628-19-000099 · wf-form4_155069924587830.xml · nonDerivative · entry 9

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,070

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, 2019 Filed Feb 20, 2019 21:47 UTC
Cooper Matthew WGeneral Counsel
Tax withholdingCommon Stock 1,609 $81.57 $131,246.13
Disclosure

SEC source: 0000927628-19-000099 · wf-form4_155069924587830.xml · nonDerivative · entry 8

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,340

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, 2019 Filed Feb 20, 2019 21:47 UTC
Cooper Matthew WGeneral Counsel
Tax withholdingCommon Stock 1,653 $81.57 $134,835.21
Disclosure

SEC source: 0000927628-19-000099 · wf-form4_155069924587830.xml · nonDerivative · entry 7

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,949

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

Read SEC document
February 15, 2019 Filed Feb 20, 2019 21:47 UTC
Cooper Matthew WGeneral Counsel
Disposition to issuerCommon Stock 1,311 $79.85 $104,683.35
Disclosure

SEC source: 0000927628-19-000099 · wf-form4_155069924587830.xml · nonDerivative · entry 6

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,602

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.

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.