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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

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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 21:47 UTC
Cooper Matthew WGeneral Counsel
Disposition to issuerCommon Stock 1,600 $79.85 $127,760.00
Disclosure

SEC source: 0000927628-19-000099 · wf-form4_155069924587830.xml · nonDerivative · entry 5

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,913

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
Disposition to issuerCommon Stock 1,688 $79.85 $134,786.80
Disclosure

SEC source: 0000927628-19-000099 · wf-form4_155069924587830.xml · nonDerivative · entry 4

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,513

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 / conversionCommon Stock 1,311 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000099 · wf-form4_155069924587830.xml · nonDerivative · entry 3

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,201

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 / conversionCommon Stock 1,600 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000099 · wf-form4_155069924587830.xml · nonDerivative · entry 2

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,890

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 / conversionCommon Stock 1,688 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000099 · wf-form4_155069924587830.xml · nonDerivative · entry 1

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,290

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 21:48 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Exercise / conversion2016 Restricted Stock Units · Derivative 27,223 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000100 · wf-form4_155069928288828.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 27,223 shares

Expires 2019-02-15

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: 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.

F3 · derivative.exercise_date: The restricted stock units vested in full on February 15, 2019.

F3 · derivative.expiration_date: The restricted stock units vested in full on February 15, 2019.

Read SEC document
February 15, 2019 Filed Feb 20, 2019 21:48 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Tax withholdingCommon Stock 9,875 $81.57 $805,503.75
Disclosure

SEC source: 0000927628-19-000100 · wf-form4_155069928288828.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,759,276

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 21:48 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Disposition to issuerCommon Stock 27,223 $79.85 $2,173,756.55
Disclosure

SEC source: 0000927628-19-000100 · wf-form4_155069928288828.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,769,151

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 21:48 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Exercise / conversionCommon Stock 27,223 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000100 · wf-form4_155069928288828.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,796,374

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 21:48 UTC
Hall SheldonChief Risk Officer
Exercise / conversion2018 Restricted Stock Units · Derivative 1,115 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000101 · wf-form4_155069932222732.xml · derivative · entry 15

Hall Sheldon · CIK 0001748065 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,231

Underlying: Common Stock · 1,115 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.

F9 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2019 and annually thereafter.

F9 · 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 21:48 UTC
Hall SheldonChief Risk Officer
Exercise / conversion2017 Restricted Stock Units · Derivative 1,225 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000101 · wf-form4_155069932222732.xml · derivative · entry 14

Hall Sheldon · CIK 0001748065 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,225

Underlying: Common Stock · 1,225 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, 2018 and annually thereafter.

F8 · 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 21:48 UTC
Hall SheldonChief Risk Officer
Exercise / conversion2016 Restricted Stock Units · Derivative 537 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000101 · wf-form4_155069932222732.xml · derivative · entry 13

Hall Sheldon · CIK 0001748065 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 537 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, 2017 and annually thereafter.

F7 · 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 21:48 UTC
Hall SheldonChief Risk Officer
Tax withholdingCommon Stock 32 $81.57 $2,610.24
Disclosure

SEC source: 0000927628-19-000101 · wf-form4_155069932222732.xml · nonDerivative · entry 12

Hall Sheldon · CIK 0001748065 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 3,456

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.

Read SEC document
February 15, 2019 Filed Feb 20, 2019 21:48 UTC
Hall SheldonChief Risk Officer
Tax withholdingCommon Stock 42 $81.57 $3,425.94
Disclosure

SEC source: 0000927628-19-000101 · wf-form4_155069932222732.xml · nonDerivative · entry 11

Hall Sheldon · CIK 0001748065 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 3,488

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.

Read SEC document
February 15, 2019 Filed Feb 20, 2019 21:48 UTC
Hall SheldonChief Risk Officer
Tax withholdingCommon Stock 33 $81.57 $2,691.81
Disclosure

SEC source: 0000927628-19-000101 · wf-form4_155069932222732.xml · nonDerivative · entry 10

Hall Sheldon · CIK 0001748065 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 3,530

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.

F6 · 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
February 15, 2019 Filed Feb 20, 2019 21:48 UTC
Hall SheldonChief Risk Officer
Tax withholdingCommon Stock 1,160 $81.57 $94,621.20
Disclosure

SEC source: 0000927628-19-000101 · wf-form4_155069932222732.xml · nonDerivative · entry 9

Hall Sheldon · CIK 0001748065 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,026

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.

Read SEC document
February 15, 2019 Filed Feb 20, 2019 21:48 UTC
Hall SheldonChief Risk Officer
Tax withholdingCommon Stock 1,282 $81.57 $104,572.74
Disclosure

SEC source: 0000927628-19-000101 · wf-form4_155069932222732.xml · nonDerivative · entry 8

Hall Sheldon · CIK 0001748065 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,186

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.

Read SEC document
February 15, 2019 Filed Feb 20, 2019 21:48 UTC
Hall SheldonChief Risk Officer
Tax withholdingCommon Stock 1,127 $81.57 $91,929.39
Disclosure

SEC source: 0000927628-19-000101 · wf-form4_155069932222732.xml · nonDerivative · entry 7

Hall Sheldon · CIK 0001748065 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,468

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.

Read SEC document
February 15, 2019 Filed Feb 20, 2019 21:48 UTC
Hall SheldonChief Risk Officer
Disposition to issuerCommon Stock 1,115 $79.85 $89,032.75
Disclosure

SEC source: 0000927628-19-000101 · wf-form4_155069932222732.xml · nonDerivative · entry 6

Hall Sheldon · CIK 0001748065 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,595

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 21:48 UTC
Hall SheldonChief Risk Officer
Disposition to issuerCommon Stock 1,225 $79.85 $97,816.25
Disclosure

SEC source: 0000927628-19-000101 · wf-form4_155069932222732.xml · nonDerivative · entry 5

Hall Sheldon · CIK 0001748065 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,710

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 21:48 UTC
Hall SheldonChief Risk Officer
Disposition to issuerCommon Stock 537 $79.85 $42,879.45
Disclosure

SEC source: 0000927628-19-000101 · wf-form4_155069932222732.xml · nonDerivative · entry 4

Hall Sheldon · CIK 0001748065 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,935

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 21:48 UTC
Hall SheldonChief Risk Officer
Exercise / conversionCommon Stock 1,115 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000101 · wf-form4_155069932222732.xml · nonDerivative · entry 3

Hall Sheldon · CIK 0001748065 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,472

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 21:48 UTC
Hall SheldonChief Risk Officer
Exercise / conversionCommon Stock 1,225 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000101 · wf-form4_155069932222732.xml · nonDerivative · entry 2

Hall Sheldon · CIK 0001748065 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,357

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 21:48 UTC
Hall SheldonChief Risk Officer
Exercise / conversionCommon Stock 537 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000101 · wf-form4_155069932222732.xml · nonDerivative · entry 1

Hall Sheldon · CIK 0001748065 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,132

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 21:49 UTC
Newkirk Christopher TPres., Intl and Small Business
Exercise / conversion2018 Restricted Stock Units · Derivative 1,378 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000102 · wf-form4_155069935890444.xml · derivative · entry 12

Newkirk Christopher T · CIK 0001691711 · Pres., Intl and Small Business

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,757

Underlying: Common Stock · 1,378 shares

Expires not disclosed

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

F1 · derivative.exercise_price: On February 15, 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 21:49 UTC
Newkirk Christopher TPres., Intl and Small Business
Exercise / conversion2017 Restricted Stock Units · Derivative 1,253 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000102 · wf-form4_155069935890444.xml · derivative · entry 11

Newkirk Christopher T · CIK 0001691711 · Pres., Intl and Small Business

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,254

Underlying: Common Stock · 1,253 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 21:49 UTC
Newkirk Christopher TPres., Intl and Small Business
Exercise / conversion2016 Restricted Stock Units · Derivative 1,419 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000102 · wf-form4_155069935890444.xml · derivative · entry 10

Newkirk Christopher T · CIK 0001691711 · Pres., Intl and Small Business

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,419 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 21:49 UTC
Newkirk Christopher TPres., Intl and Small Business
Tax withholdingCommon Stock 1,153 $81.57 $94,050.21
Disclosure

SEC source: 0000927628-19-000102 · wf-form4_155069935890444.xml · nonDerivative · entry 9

Newkirk Christopher T · CIK 0001691711 · Pres., Intl and Small Business

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,286

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 21:49 UTC
Newkirk Christopher TPres., Intl and Small Business
Tax withholdingCommon Stock 1,307 $81.57 $106,611.99
Disclosure

SEC source: 0000927628-19-000102 · wf-form4_155069935890444.xml · nonDerivative · entry 8

Newkirk Christopher T · CIK 0001691711 · Pres., Intl and Small Business

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,439

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 21:49 UTC
Newkirk Christopher TPres., Intl and Small Business
Tax withholdingCommon Stock 1,342 $81.57 $109,466.94
Disclosure

SEC source: 0000927628-19-000102 · wf-form4_155069935890444.xml · nonDerivative · entry 7

Newkirk Christopher T · CIK 0001691711 · Pres., Intl and Small Business

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,746

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 21:49 UTC
Newkirk Christopher TPres., Intl and Small Business
Disposition to issuerCommon Stock 1,378 $79.85 $110,033.30
Disclosure

SEC source: 0000927628-19-000102 · wf-form4_155069935890444.xml · nonDerivative · entry 6

Newkirk Christopher T · CIK 0001691711 · Pres., Intl and Small Business

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,088

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 21:49 UTC
Newkirk Christopher TPres., Intl and Small Business
Disposition to issuerCommon Stock 1,253 $79.85 $100,052.05
Disclosure

SEC source: 0000927628-19-000102 · wf-form4_155069935890444.xml · nonDerivative · entry 5

Newkirk Christopher T · CIK 0001691711 · Pres., Intl and Small Business

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,466

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 21:49 UTC
Newkirk Christopher TPres., Intl and Small Business
Disposition to issuerCommon Stock 1,419 $79.85 $113,307.15
Disclosure

SEC source: 0000927628-19-000102 · wf-form4_155069935890444.xml · nonDerivative · entry 4

Newkirk Christopher T · CIK 0001691711 · Pres., Intl and Small Business

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,719

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 21:49 UTC
Newkirk Christopher TPres., Intl and Small Business
Exercise / conversionCommon Stock 1,378 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000102 · wf-form4_155069935890444.xml · nonDerivative · entry 3

Newkirk Christopher T · CIK 0001691711 · Pres., Intl and Small Business

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,138

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.

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February 15, 2019 Filed Feb 20, 2019 21:49 UTC
Newkirk Christopher TPres., Intl and Small Business
Exercise / conversionCommon Stock 1,253 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000102 · wf-form4_155069935890444.xml · nonDerivative · entry 2

Newkirk Christopher T · CIK 0001691711 · Pres., Intl and Small Business

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,760

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.

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February 15, 2019 Filed Feb 20, 2019 21:49 UTC
Newkirk Christopher TPres., Intl and Small Business
Exercise / conversionCommon Stock 1,419 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000102 · wf-form4_155069935890444.xml · nonDerivative · entry 1

Newkirk Christopher T · CIK 0001691711 · Pres., Intl and Small Business

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,507

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.

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February 15, 2019 Filed Feb 20, 2019 21:50 UTC
Wassmer Michael JPresident, U.S. Card
Exercise / conversion2018 Restricted Stock Units · Derivative 2,081 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000103 · wf-form4_155069939697634.xml · derivative · entry 13

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,162

Underlying: Common Stock · 2,081 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 21:50 UTC
Wassmer Michael JPresident, U.S. Card
Exercise / conversion2017 Restricted Stock Units · Derivative 2,350 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000103 · wf-form4_155069939697634.xml · derivative · entry 12

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,350

Underlying: Common Stock · 2,350 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 21:50 UTC
Wassmer Michael JPresident, U.S. Card
Exercise / conversion2016 Restricted Stock Units · Derivative 2,732 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000103 · wf-form4_155069939697634.xml · derivative · entry 11

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,732 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 21:50 UTC
Wassmer Michael JPresident, U.S. Card
Tax withholdingCommon Stock 1,616 $81.57 $131,817.12
Disclosure

SEC source: 0000927628-19-000103 · wf-form4_155069939697634.xml · nonDerivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,632

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 21:50 UTC
Wassmer Michael JPresident, U.S. Card
Tax withholdingCommon Stock 2,743 $81.57 $223,746.51
Disclosure

SEC source: 0000927628-19-000103 · wf-form4_155069939697634.xml · nonDerivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,248

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 21:50 UTC
Wassmer Michael JPresident, U.S. Card
Tax withholdingCommon Stock 2,734 $81.57 $223,012.38
Disclosure

SEC source: 0000927628-19-000103 · wf-form4_155069939697634.xml · nonDerivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,991

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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February 15, 2019 Filed Feb 20, 2019 21:50 UTC
Wassmer Michael JPresident, U.S. Card
Disposition to issuerCommon Stock 2,081 $79.85 $166,167.85
Disclosure

SEC source: 0000927628-19-000103 · wf-form4_155069939697634.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,725

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 21:50 UTC
Wassmer Michael JPresident, U.S. Card
Disposition to issuerCommon Stock 2,350 $79.85 $187,647.50
Disclosure

SEC source: 0000927628-19-000103 · wf-form4_155069939697634.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,806

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 21:50 UTC
Wassmer Michael JPresident, U.S. Card
Disposition to issuerCommon Stock 2,732 $79.85 $218,150.20
Disclosure

SEC source: 0000927628-19-000103 · wf-form4_155069939697634.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,156

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 21:50 UTC
Wassmer Michael JPresident, U.S. Card
Exercise / conversionCommon Stock 2,081 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000103 · wf-form4_155069939697634.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,888

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 21:50 UTC
Wassmer Michael JPresident, U.S. Card
Exercise / conversionCommon Stock 2,350 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000103 · wf-form4_155069939697634.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,807

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 21:50 UTC
Wassmer Michael JPresident, U.S. Card
Exercise / conversionCommon Stock 2,732 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000103 · wf-form4_155069939697634.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,457

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.

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February 15, 2019 Filed Feb 20, 2019 21:51 UTC
Dean LiaHead of Bank Mktg and Retail
Tax withholdingCommon Stock 511 $81.57 $41,682.27
Disclosure

SEC source: 0000927628-19-000105 · wf-form4_155069947889520.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,857

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.

Read SEC document
February 15, 2019 Filed Feb 20, 2019 21:51 UTC
Dean LiaHead of Bank Mktg and Retail
Tax withholdingCommon Stock 465 $81.57 $37,930.05
Disclosure

SEC source: 0000927628-19-000105 · wf-form4_155069947889520.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,368

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