Tapewire

NYSE · USD

COF

CAPITAL ONE FINANCIAL CORP

Export transactions ↓
Tapewire entity
547
SEC CIK
0000927628
Parsed reports
2,528

Last 12 months

Inside the activity.

0 purchase rows · 62 sale rows

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

Latest available

Insider transactions

JSON API
Reset

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

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

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
February 15, 2019 Filed Feb 20, 2019 21:54 UTC
Slocum MichaelPresident, Commercial Banking
Exercise / conversionCommon Stock 2,503 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000109 · wf-form4_155069962896108.xml · nonDerivative · entry 2

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,166

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 / conversionCommon Stock 3,228 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000109 · wf-form4_155069962896108.xml · nonDerivative · entry 1

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,663

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
Borgmann Kevin S.Senior Advisor to the CEO
Exercise / conversion2018 Restricted Stock Units · Derivative 2,213 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000110 · wf-form4_155069966694346.xml · derivative · entry 12

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,427

Underlying: Common Stock · 2,213 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
Borgmann Kevin S.Senior Advisor to the CEO
Exercise / conversion2017 Restricted Stock Units · Derivative 2,551 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000110 · wf-form4_155069966694346.xml · derivative · entry 11

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,552

Underlying: Common Stock · 2,551 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
Borgmann Kevin S.Senior Advisor to the CEO
Exercise / conversion2016 Restricted Stock Units · Derivative 3,196 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000110 · wf-form4_155069966694346.xml · derivative · entry 10

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,196 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
Borgmann Kevin S.Senior Advisor to the CEO
Tax withholdingCommon Stock 2,115 $81.57 $172,520.55
Disclosure

SEC source: 0000927628-19-000110 · wf-form4_155069966694346.xml · nonDerivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,616

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
Borgmann Kevin S.Senior Advisor to the CEO
Tax withholdingCommon Stock 2,123 $81.57 $173,173.11
Disclosure

SEC source: 0000927628-19-000110 · wf-form4_155069966694346.xml · nonDerivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,731

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
Borgmann Kevin S.Senior Advisor to the CEO
Tax withholdingCommon Stock 2,667 $81.57 $217,547.19
Disclosure

SEC source: 0000927628-19-000110 · wf-form4_155069966694346.xml · nonDerivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,854

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
Borgmann Kevin S.Senior Advisor to the CEO
Disposition to issuerCommon Stock 2,213 $79.85 $176,708.05
Disclosure

SEC source: 0000927628-19-000110 · wf-form4_155069966694346.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,521

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
Borgmann Kevin S.Senior Advisor to the CEO
Disposition to issuerCommon Stock 2,551 $79.85 $203,697.35
Disclosure

SEC source: 0000927628-19-000110 · wf-form4_155069966694346.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,734

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
Borgmann Kevin S.Senior Advisor to the CEO
Disposition to issuerCommon Stock 3,196 $79.85 $255,200.60
Disclosure

SEC source: 0000927628-19-000110 · wf-form4_155069966694346.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,285

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
Borgmann Kevin S.Senior Advisor to the CEO
Exercise / conversionCommon Stock 2,213 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000110 · wf-form4_155069966694346.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,481

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
Borgmann Kevin S.Senior Advisor to the CEO
Exercise / conversionCommon Stock 2,551 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000110 · wf-form4_155069966694346.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,268

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
Borgmann Kevin S.Senior Advisor to the CEO
Exercise / conversionCommon Stock 3,196 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000110 · wf-form4_155069966694346.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,717

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
January 31, 2019 Filed Feb 4, 2019 23:49 UTC GrantCommon Stock 4,141 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000041 · wf-form4_154932414883964.xml · nonDerivative · entry 1

Golden Timothy P · CIK 0001706865 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,951

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2020 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

F2 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction.

Read SEC document
January 31, 2019 Filed Feb 4, 2019 23:49 UTC
FINNERAN JOHN G JRSenior Advisor and Corp Secy
GrantCommon Stock 16,780 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000042 · wf-form4_154932418461828.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: 125,605

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2020 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
January 31, 2019 Filed Feb 4, 2019 23:50 UTC
Wassmer Michael JPresident, U.S. Card
GrantCommon Stock 16,852 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000043 · wf-form4_154932421981642.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,621

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2020 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
January 31, 2019 Filed Feb 4, 2019 23:51 UTC
Karam CeliaChief Audit Officer
GrantCommon Stock 5,811 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000044 · wf-form4_154932425605295.xml · nonDerivative · entry 1

Karam Celia · CIK 0001741344 · Chief Audit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,348

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2020 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

F2 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction.

Read SEC document
January 31, 2019 Filed Feb 4, 2019 23:51 UTC
Blackley Richard ScottChief Financial Officer
GrantCommon Stock 15,511 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000045 · wf-form4_154932429371593.xml · nonDerivative · entry 1

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,428

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2020 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
January 31, 2019 Filed Feb 4, 2019 23:52 UTC
Alexander Robert M.Chief Information Officer
GrantCommon Stock 13,853 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000046 · wf-form4_154932433299373.xml · nonDerivative · entry 1

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,252

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2020 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
January 31, 2019 Filed Feb 4, 2019 23:53 UTC
Santos KleberPres., Retail & Direct Banking
GrantCommon Stock 11,261 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000047 · wf-form4_154932436924773.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,155

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2020 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
January 31, 2019 Filed Feb 4, 2019 23:53 UTC
Cooper Matthew WGeneral Counsel
GrantCommon Stock 9,307 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000048 · wf-form4_154932440859829.xml · nonDerivative · entry 1

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,602

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2020 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
January 31, 2019 Filed Feb 4, 2019 23:54 UTC
Sanjiv YajnikPresident, Financial Services
GrantCommon Stock 17,465 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000049 · wf-form4_154932444456957.xml · nonDerivative · entry 1

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,017

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2020 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
January 31, 2019 Filed Feb 4, 2019 23:54 UTC
Slocum MichaelPresident, Commercial Banking
GrantCommon Stock 14,789 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000050 · wf-form4_154932448145428.xml · nonDerivative · entry 1

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,435

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2020 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
January 31, 2019 Filed Feb 4, 2019 23:55 UTC
Dean LiaHead of Bank Mktg and Retail
GrantCommon Stock 6,283 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000051 · wf-form4_154932451922586.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,577

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2020 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
January 31, 2019 Filed Feb 4, 2019 23:56 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
GrantCommon Stock 16,165 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000052 · wf-form4_154932455395745.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,369

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2020 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
January 31, 2019 Filed Feb 4, 2019 23:56 UTC
Berson Jory AChief Human Resources Officer
GrantCommon Stock 13,560 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000053 · wf-form4_154932459000273.xml · nonDerivative · entry 1

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,134

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2020 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
January 31, 2019 Filed Feb 4, 2019 23:57 UTC
Hall SheldonChief Risk Officer
GrantCommon Stock 379 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000054 · wf-form4_154932462701533.xml · nonDerivative · entry 2

Hall Sheldon · CIK 0001748065 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 3,530

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2020 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

F3 · balance_after: Includes shares acquired by the reporting person's spouse through the Company's Associate Stock Purchase Plan since the since the filing of the reporting person's Initial Statement of Beneficial Ownership of Securities filed on Form 3 dated August 13, 2018.

Read SEC document
January 31, 2019 Filed Feb 4, 2019 23:57 UTC
Hall SheldonChief Risk Officer
GrantCommon Stock 8,726 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000054 · wf-form4_154932462701533.xml · nonDerivative · entry 1

Hall Sheldon · CIK 0001748065 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,465

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2020 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

F2 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the filing of the reporting person's Initial Statement of Beneficial Ownership of Securities filed on Form 3 dated August 13, 2018.

Read SEC document
January 31, 2019 Filed Feb 4, 2019 23:58 UTC
Newkirk Christopher TPres., Intl and Small Business
GrantCommon Stock 11,261 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000055 · wf-form4_154932466195190.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,088

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2020 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
January 31, 2019 Filed Feb 4, 2019 23:58 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
GrantRestricted Stock Units · Derivative 21,715 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000056 · wf-form4_154932470497932.xml · derivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,715

Underlying: Common Stock · 21,715 shares

Expires 2022-02-15

F5 · derivative.exercise_price: Represents restricted stock units granted for performance year 2019. Each restricted stock unit will be settled in cash based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the vesting date.

Read SEC document
January 31, 2019 Filed Feb 4, 2019 23:58 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Grant2019 Restricted Stock Units · Derivative 34,744 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000056 · wf-form4_154932470497932.xml · derivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,744

Underlying: Common Stock · 34,744 shares

Expires 2022-02-15

F4 · derivative.exercise_price: Represents restricted stock units granted for performance year 2018. Each restricted stock unit will be settled in cash based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the vesting date.

Read SEC document
January 31, 2019 Filed Feb 4, 2019 23:58 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Exercise / conversion2018 Restricted Stock Units · Derivative 258 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000056 · wf-form4_154932470497932.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,472

Underlying: Common Stock · 258 shares

Expires 2021-02-15

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

F3 · derivative.exercise_price: Represents the automatic withholding of restricted stock units granted in February 2018 which settled in cash based on fair market value on January 31, 2019, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

F3 · kind: Represents the automatic withholding of restricted stock units granted in February 2018 which settled in cash based on fair market value on January 31, 2019, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

Read SEC document
January 31, 2019 Filed Feb 4, 2019 23:58 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Exercise / conversion2017 Restricted Stock Units · Derivative 335 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000056 · wf-form4_154932470497932.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,057

Underlying: Common Stock · 335 shares

Expires 2020-02-15

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

F1 · derivative.exercise_price: Represents the automatic withholding of restricted stock units granted in February 2017 which settled in cash based on fair market value on January 31, 2019, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

F1 · kind: Represents the automatic withholding of restricted stock units granted in February 2017 which settled in cash based on fair market value on January 31, 2019, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

Read SEC document
January 31, 2019 Filed Feb 4, 2019 23:58 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Tax withholdingCommon Stock 258 $80.59 $20,792.22
Disclosure

SEC source: 0000927628-19-000056 · wf-form4_154932470497932.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,769,151

F3 · kind: Represents the automatic withholding of restricted stock units granted in February 2018 which settled in cash based on fair market value on January 31, 2019, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

Read SEC document
January 31, 2019 Filed Feb 4, 2019 23:58 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Tax withholdingCommon Stock 335 $80.59 $26,997.65
Disclosure

SEC source: 0000927628-19-000056 · wf-form4_154932470497932.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,769,409

F1 · kind: Represents the automatic withholding of restricted stock units granted in February 2017 which settled in cash based on fair market value on January 31, 2019, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

Read SEC document
January 31, 2019 Filed Feb 4, 2019 23:58 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Exercise / conversionCommon Stock 258 $80.59 $20,792.22
Disclosure

SEC source: 0000927628-19-000056 · wf-form4_154932470497932.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,769,744

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

F3 · kind: Represents the automatic withholding of restricted stock units granted in February 2018 which settled in cash based on fair market value on January 31, 2019, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

Read SEC document
January 31, 2019 Filed Feb 4, 2019 23:58 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Exercise / conversionCommon Stock 335 $80.59 $26,997.65
Disclosure

SEC source: 0000927628-19-000056 · wf-form4_154932470497932.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,769,486

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

F1 · kind: Represents the automatic withholding of restricted stock units granted in February 2017 which settled in cash based on fair market value on January 31, 2019, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

F2 · balance_after: Includes shares acquired by the reporting person through the Company's Dividend Reinvestment Plan since the last reported transaction.

Read SEC document
January 31, 2019 Filed Feb 4, 2019 23:59 UTC
Borgmann Kevin S.Senior Advisor to the CEO
GrantCommon Stock 12,071 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000057 · wf-form4_154932474394887.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,521

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2020 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
January 01, 2019 Filed Jan 3, 2019 21:11 UTC GrantCommon Stock 937 $0.00 $0.00
Disclosure

SEC source: 0000927628-19-000004 · wf-form4_154654987496788.xml · nonDerivative · entry 1

Leenaars Cornelis PAJ · CIK 0001549838 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 937

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

Read SEC document
October 31, 2018 Filed Nov 2, 2018 20:05 UTC
Dean LiaHead of Bank Mktg and Retail
Tax withholdingCommon Stock 346 $89.30 $30,897.80
Disclosure

SEC source: 0000927628-18-000322 · wf-form4_154118912954586.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,294

F1 · kind: These shares were withheld by the Company to satisfy the reporting person's tax obligation associated with the restricted stock. This share withholding was authorized in the restricted stock award agreement.

Read SEC document
October 31, 2018 Filed Nov 2, 2018 20:07 UTC
Karam CeliaChief Audit Officer
Tax withholdingCommon Stock 319 $89.30 $28,486.70
Disclosure

SEC source: 0000927628-18-000323 · wf-form4_154118921261108.xml · nonDerivative · entry 1

Karam Celia · CIK 0001741344 · Chief Audit Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,520

F1 · kind: These shares were withheld by the Company to satisfy the reporting person's tax obligation associated with the vesting of a previously reported award of restricted stock. This share withholding was authorized in the restricted stock award agreement.

F2 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan since the last reported transaction.

Read SEC document
August 02, 2018 Filed Aug 6, 2018 20:33 UTC SaleCommon Stock 4,073 $95.85 $390,397.05
Disclosure

SEC source: 0000927628-18-000287 · wf-form4_153358757628500.xml · nonDerivative · entry 1

Golden Timothy P · CIK 0001706865 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,668

F1 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan, in which the reporting person has recently enrolled.

Read SEC document
July 24, 2018 Filed Jul 25, 2018 21:22 UTC
Borgmann Kevin S.Senior Advisor to the CEO
Exercise / conversionStock Options · Derivative 19,117 $0.00 Strike: $63.73 $0.00
Disclosure

SEC source: 0000927628-18-000272 · wf-form4_153255372611026.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,559

Underlying: Common Stock · 19,117 shares

Expires 2026-02-03

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 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on February 9, 2018, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F3 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on February 15, 2017 and annually thereafter.

Read SEC document
July 24, 2018 Filed Jul 25, 2018 21:22 UTC
Borgmann Kevin S.Senior Advisor to the CEO
SaleCommon Stock 19,117 $100.00 $1,911,700.00
Disclosure

SEC source: 0000927628-18-000272 · wf-form4_153255372611026.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,450

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on February 9, 2018, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $100.00 to $100.03. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
July 24, 2018 Filed Jul 25, 2018 21:22 UTC
Borgmann Kevin S.Senior Advisor to the CEO
Exercise / conversionCommon Stock 19,117 $63.73 $1,218,326.41
Disclosure

SEC source: 0000927628-18-000272 · wf-form4_153255372611026.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,567

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 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on February 9, 2018, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
July 24, 2018 Filed Jul 25, 2018 21:22 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Exercise / conversionStock Options · Derivative 242,090 $0.00 Strike: $18.28 $0.00
Disclosure

SEC source: 0000927628-18-000273 · wf-form4_153255375415826.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 · 242,090 shares

Expires 2019-01-28

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 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 14, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F5 · derivative.exercise_date: This grant became exercisable in full on January 29, 2012, the third anniversary of the grant date.

Read SEC document
July 24, 2018 Filed Jul 25, 2018 21:22 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
SaleCommon Stock 93,282 $99.79 $9,308,610.78
Disclosure

SEC source: 0000927628-18-000273 · wf-form4_153255375415826.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,769,142

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 14, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $99.55 to $100.26. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
July 24, 2018 Filed Jul 25, 2018 21:22 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
SaleCommon Stock 148,808 $99.04 $14,737,944.32
Disclosure

SEC source: 0000927628-18-000273 · wf-form4_153255375415826.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,862,424

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 14, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $98.55 to $99.54. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
July 24, 2018 Filed Jul 25, 2018 21:22 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Exercise / conversionCommon Stock 242,090 $18.28 $4,425,405.20
Disclosure

SEC source: 0000927628-18-000273 · wf-form4_153255375415826.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,011,232

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 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 14, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2 · balance_after: Includes shares acquired by the reporting person through the Company's Dividend Reinvestment Plan since the last reported transaction.

Read SEC document

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