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CAPITAL ONE FINANCIAL CORP

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547
SEC CIK
0000927628
Parsed reports
2,528

Last 12 months

Inside the activity.

0 purchase rows · 62 sale rows

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

Latest available

Insider transactions

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

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

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
February 15, 2019 Filed Feb 20, 2019 21:51 UTC
Dean LiaHead of Bank Mktg and Retail
Tax withholdingCommon Stock 469 $81.57 $38,256.33
Disclosure

SEC source: 0000927628-19-000105 · wf-form4_155069947889520.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,833

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

F2 · balance_after: The number of shares reported as direct holdings reflects the correction of a past overstatement of 6,364 shares arising from an administrative reporting error.

F3 · 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 21:50 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversion2018 Restricted Stock Units · Derivative 1,964 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000104 · wf-form4_155069943508099.xml · derivative · entry 13

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,929

Underlying: Common Stock · 1,964 shares

Expires not disclosed

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

F1 · derivative.exercise_price: On February 15, 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 21:50 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversion2017 Restricted Stock Units · Derivative 2,300 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000104 · wf-form4_155069943508099.xml · derivative · entry 12

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,300

Underlying: Common Stock · 2,300 shares

Expires not disclosed

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

F1 · derivative.exercise_price: On February 15, 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 21:50 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversion2016 Restricted Stock Units · Derivative 3,120 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000104 · wf-form4_155069943508099.xml · derivative · entry 11

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,120 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 beginnings on February 15, 2017 and annually thereafter.

F7 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginnings on February 15, 2017 and annually thereafter.

Read SEC document
February 15, 2019 Filed Feb 20, 2019 21:50 UTC
Berson Jory AChief Human Resources Officer
Tax withholdingCommon Stock 1,675 $81.57 $136,629.75
Disclosure

SEC source: 0000927628-19-000104 · wf-form4_155069943508099.xml · nonDerivative · entry 9

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,379

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 21:50 UTC
Berson Jory AChief Human Resources Officer
Tax withholdingCommon Stock 1,794 $81.57 $146,336.58
Disclosure

SEC source: 0000927628-19-000104 · wf-form4_155069943508099.xml · nonDerivative · entry 8

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,054

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 21:50 UTC
Berson Jory AChief Human Resources Officer
Tax withholdingCommon Stock 2,430 $81.57 $198,215.10
Disclosure

SEC source: 0000927628-19-000104 · wf-form4_155069943508099.xml · nonDerivative · entry 7

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,848

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 21:50 UTC
Berson Jory AChief Human Resources Officer
Disposition to issuerCommon Stock 1,964 $79.85 $156,825.40
Disclosure

SEC source: 0000927628-19-000104 · wf-form4_155069943508099.xml · nonDerivative · entry 6

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,278

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
Berson Jory AChief Human Resources Officer
Disposition to issuerCommon Stock 2,300 $79.85 $183,655.00
Disclosure

SEC source: 0000927628-19-000104 · wf-form4_155069943508099.xml · nonDerivative · entry 5

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,242

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
Berson Jory AChief Human Resources Officer
Disposition to issuerCommon Stock 3,120 $79.85 $249,132.00
Disclosure

SEC source: 0000927628-19-000104 · wf-form4_155069943508099.xml · nonDerivative · entry 4

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,542

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

SEC source: 0000927628-19-000104 · wf-form4_155069943508099.xml · nonDerivative · entry 3

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,662

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

SEC source: 0000927628-19-000104 · wf-form4_155069943508099.xml · nonDerivative · entry 2

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,698

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
Berson Jory AChief Human Resources Officer
Exercise / conversionCommon Stock 3,120 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000104 · wf-form4_155069943508099.xml · nonDerivative · entry 1

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,398

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 21:52 UTC
FINNERAN JOHN G JRSenior Advisor and Corp Secy
Exercise / conversion2018 Restricted Stock Units · Derivative 2,399 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000106 · wf-form4_155069951703427.xml · derivative · entry 12

FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,798

Underlying: Common Stock · 2,399 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 21:52 UTC
FINNERAN JOHN G JRSenior Advisor and Corp Secy
Exercise / conversion2017 Restricted Stock Units · Derivative 2,852 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000106 · wf-form4_155069951703427.xml · derivative · entry 11

FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,852

Underlying: Common Stock · 2,852 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 21:52 UTC
FINNERAN JOHN G JRSenior Advisor and Corp Secy
Exercise / conversion2016 Restricted Stock Units · Derivative 3,754 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000106 · wf-form4_155069951703427.xml · derivative · entry 10

FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,754 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 21:52 UTC
FINNERAN JOHN G JRSenior Advisor and Corp Secy
Tax withholdingCommon Stock 2,016 $81.57 $164,445.12
Disclosure

SEC source: 0000927628-19-000106 · wf-form4_155069951703427.xml · nonDerivative · entry 9

FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 118,088

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 21:52 UTC
FINNERAN JOHN G JRSenior Advisor and Corp Secy
Tax withholdingCommon Stock 2,375 $81.57 $193,728.75
Disclosure

SEC source: 0000927628-19-000106 · wf-form4_155069951703427.xml · nonDerivative · entry 8

FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,104

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 21:52 UTC
FINNERAN JOHN G JRSenior Advisor and Corp Secy
Tax withholdingCommon Stock 3,126 $81.57 $254,987.82
Disclosure

SEC source: 0000927628-19-000106 · wf-form4_155069951703427.xml · nonDerivative · entry 7

FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 122,479

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 21:52 UTC
FINNERAN JOHN G JRSenior Advisor and Corp Secy
Disposition to issuerCommon Stock 2,399 $79.85 $191,560.15
Disclosure

SEC source: 0000927628-19-000106 · wf-form4_155069951703427.xml · nonDerivative · entry 6

FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,605

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 21:52 UTC
FINNERAN JOHN G JRSenior Advisor and Corp Secy
Disposition to issuerCommon Stock 2,852 $79.85 $227,732.20
Disclosure

SEC source: 0000927628-19-000106 · wf-form4_155069951703427.xml · nonDerivative · entry 5

FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 128,004

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 21:52 UTC
FINNERAN JOHN G JRSenior Advisor and Corp Secy
Disposition to issuerCommon Stock 3,754 $79.85 $299,756.90
Disclosure

SEC source: 0000927628-19-000106 · wf-form4_155069951703427.xml · nonDerivative · entry 4

FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,856

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 21:52 UTC
FINNERAN JOHN G JRSenior Advisor and Corp Secy
Exercise / conversionCommon Stock 2,399 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000106 · wf-form4_155069951703427.xml · nonDerivative · entry 3

FINNERAN JOHN G JR · CIK 0001238033 · Senior Advisor and Corp Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 134,610

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 21:52 UTC
FINNERAN JOHN G JRSenior Advisor and Corp Secy
Exercise / conversionCommon Stock 2,852 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000106 · wf-form4_155069951703427.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: 132,211

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 21:52 UTC
FINNERAN JOHN G JRSenior Advisor and Corp Secy
Exercise / conversionCommon Stock 3,754 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000106 · wf-form4_155069951703427.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: 129,359

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 21:52 UTC
Karam CeliaChief Audit Officer
Tax withholdingCommon Stock 189 $81.57 $15,416.73
Disclosure

SEC source: 0000927628-19-000107 · wf-form4_155069955497706.xml · nonDerivative · entry 3

Karam Celia · CIK 0001741344 · Chief Audit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,786

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 21:52 UTC
Karam CeliaChief Audit Officer
Tax withholdingCommon Stock 161 $81.57 $13,132.77
Disclosure

SEC source: 0000927628-19-000107 · wf-form4_155069955497706.xml · nonDerivative · entry 2

Karam Celia · CIK 0001741344 · Chief Audit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,975

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 21:52 UTC
Karam CeliaChief Audit Officer
Tax withholdingCommon Stock 218 $81.57 $17,782.26
Disclosure

SEC source: 0000927628-19-000107 · wf-form4_155069955497706.xml · nonDerivative · entry 1

Karam Celia · CIK 0001741344 · Chief Audit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,136

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 4, 2016. 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 21:53 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversion2018 Restricted Stock Units · Derivative 2,007 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000108 · wf-form4_155069959294964.xml · derivative · entry 14

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,015

Underlying: Common Stock · 2,007 shares

Expires not disclosed

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

F1 · derivative.exercise_price: On February 15, 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 21:53 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversion2017 Restricted Stock Units · Derivative 2,307 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000108 · wf-form4_155069959294964.xml · derivative · entry 13

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,307

Underlying: Common Stock · 2,307 shares

Expires not disclosed

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

F1 · derivative.exercise_price: On February 15, 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 21:53 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversion2016 Restricted Stock Units · Derivative 2,894 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000108 · wf-form4_155069959294964.xml · derivative · entry 12

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,894 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 21:53 UTC
Alexander Robert M.Chief Information Officer
Tax withholdingCommon Stock 1,555 $81.57 $126,841.35
Disclosure

SEC source: 0000927628-19-000108 · wf-form4_155069959294964.xml · nonDerivative · entry 9

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,486

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 21:53 UTC
Alexander Robert M.Chief Information Officer
Tax withholdingCommon Stock 1,796 $81.57 $146,499.72
Disclosure

SEC source: 0000927628-19-000108 · wf-form4_155069959294964.xml · nonDerivative · entry 8

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,041

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 21:53 UTC
Alexander Robert M.Chief Information Officer
Tax withholdingCommon Stock 2,415 $81.57 $196,991.55
Disclosure

SEC source: 0000927628-19-000108 · wf-form4_155069959294964.xml · nonDerivative · entry 7

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,837

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 21:53 UTC
Alexander Robert M.Chief Information Officer
Disposition to issuerCommon Stock 2,007 $79.85 $160,258.95
Disclosure

SEC source: 0000927628-19-000108 · wf-form4_155069959294964.xml · nonDerivative · entry 6

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,252

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 21:53 UTC
Alexander Robert M.Chief Information Officer
Disposition to issuerCommon Stock 2,307 $79.85 $184,213.95
Disclosure

SEC source: 0000927628-19-000108 · wf-form4_155069959294964.xml · nonDerivative · entry 5

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,259

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 21:53 UTC
Alexander Robert M.Chief Information Officer
Disposition to issuerCommon Stock 2,894 $79.85 $231,085.90
Disclosure

SEC source: 0000927628-19-000108 · wf-form4_155069959294964.xml · nonDerivative · entry 4

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,566

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 21:53 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionCommon Stock 2,007 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000108 · wf-form4_155069959294964.xml · nonDerivative · entry 3

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,460

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 21:53 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionCommon Stock 2,307 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000108 · wf-form4_155069959294964.xml · nonDerivative · entry 2

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,453

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 21:53 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionCommon Stock 2,894 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000108 · wf-form4_155069959294964.xml · nonDerivative · entry 1

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,146

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

F1 · price: On February 15, 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 21:54 UTC
Slocum MichaelPresident, Commercial Banking
Exercise / conversion2018 Restricted Stock Units · Derivative 2,106 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000109 · wf-form4_155069962896108.xml · derivative · entry 12

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,213

Underlying: Common Stock · 2,106 shares

Expires not disclosed

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

F1 · derivative.exercise_price: On February 15, 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 21:54 UTC
Slocum MichaelPresident, Commercial Banking
Exercise / conversion2017 Restricted Stock Units · Derivative 2,503 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000109 · wf-form4_155069962896108.xml · derivative · entry 11

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,504

Underlying: Common Stock · 2,503 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 21:54 UTC
Slocum MichaelPresident, Commercial Banking
Exercise / conversion2016 Restricted Stock Units · Derivative 3,228 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000109 · wf-form4_155069962896108.xml · derivative · entry 10

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,228 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 21:54 UTC
Slocum MichaelPresident, Commercial Banking
Tax withholdingCommon Stock 1,960 $81.57 $159,877.20
Disclosure

SEC source: 0000927628-19-000109 · wf-form4_155069962896108.xml · nonDerivative · entry 9

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,959

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 21:54 UTC
Slocum MichaelPresident, Commercial Banking
Tax withholdingCommon Stock 2,537 $81.57 $206,943.09
Disclosure

SEC source: 0000927628-19-000109 · wf-form4_155069962896108.xml · nonDerivative · entry 8

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,919

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 21:54 UTC
Slocum MichaelPresident, Commercial Banking
Tax withholdingCommon Stock 2,979 $81.57 $242,997.03
Disclosure

SEC source: 0000927628-19-000109 · wf-form4_155069962896108.xml · nonDerivative · entry 7

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,456

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 21:54 UTC
Slocum MichaelPresident, Commercial Banking
Disposition to issuerCommon Stock 2,106 $79.85 $168,164.10
Disclosure

SEC source: 0000927628-19-000109 · wf-form4_155069962896108.xml · nonDerivative · entry 6

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,435

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 21:54 UTC
Slocum MichaelPresident, Commercial Banking
Disposition to issuerCommon Stock 2,503 $79.85 $199,864.55
Disclosure

SEC source: 0000927628-19-000109 · wf-form4_155069962896108.xml · nonDerivative · entry 5

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,541

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 21:54 UTC
Slocum MichaelPresident, Commercial Banking
Disposition to issuerCommon Stock 3,228 $79.85 $257,755.80
Disclosure

SEC source: 0000927628-19-000109 · wf-form4_155069962896108.xml · nonDerivative · entry 4

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,044

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 21:54 UTC
Slocum MichaelPresident, Commercial Banking
Exercise / conversionCommon Stock 2,106 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000109 · wf-form4_155069962896108.xml · nonDerivative · entry 3

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,272

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

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