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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
July 24, 2018 Filed Jul 25, 2018 21:23 UTC
Wassmer Michael JPresident, U.S. Card
SaleCommon Stock 2,276 $100.00 $227,600.00
Disclosure

SEC source: 0000927628-18-000274 · wf-form4_153255378112424.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,769

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 8, 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 21:23 UTC Exercise / conversionStock Options · Derivative 16,446 $0.00 Strike: $16.93 $0.00
Disclosure

SEC source: 0000927628-18-000275 · wf-form4_153255380825434.xml · derivative · entry 4

HAY LEWIS III · CIK 0001182705 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 16,446 shares

Expires 2019-04-22

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 May 3, 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 21:23 UTC SaleCommon Stock 16,446 $100.00 $1,644,600.00
Disclosure

SEC source: 0000927628-18-000275 · wf-form4_153255380825434.xml · nonDerivative · entry 2

HAY LEWIS III · CIK 0001182705 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,190

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 3, 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 21:23 UTC Exercise / conversionCommon Stock 16,446 $16.93 $278,430.78
Disclosure

SEC source: 0000927628-18-000275 · wf-form4_153255380825434.xml · nonDerivative · entry 1

HAY LEWIS III · CIK 0001182705 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,636

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 May 3, 2018, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
July 02, 2018 Filed Jul 3, 2018 20:59 UTC Exercise / conversionStock Options · Derivative 4,229 $0.00 Strike: $16.93 $0.00
Disclosure

SEC source: 0000927628-18-000257 · wf-form4_153065153957941.xml · derivative · entry 4

WARNER BRADFORD H · CIK 0001195086 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,229 shares

Expires 2019-04-22

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 November 2, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
July 02, 2018 Filed Jul 3, 2018 20:59 UTC SaleCommon Stock 4,229 $92.55 $391,393.95
Disclosure

SEC source: 0000927628-18-000257 · wf-form4_153065153957941.xml · nonDerivative · entry 2

WARNER BRADFORD H · CIK 0001195086 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,992

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 2, 2017, 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 $92.01 to $93.00. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
July 02, 2018 Filed Jul 3, 2018 20:59 UTC Exercise / conversionCommon Stock 4,229 $16.93 $71,596.97
Disclosure

SEC source: 0000927628-18-000257 · wf-form4_153065153957941.xml · nonDerivative · entry 1

WARNER BRADFORD H · CIK 0001195086 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,221

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 November 2, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
June 14, 2018 Filed Jun 18, 2018 20:30 UTC
Wassmer Michael JPresident, U.S. Card
SaleCommon Stock 1,787 $98.00 $175,126.00
Disclosure

SEC source: 0000927628-18-000242 · wf-form4_152935381153043.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,045

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 8, 2018, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
June 07, 2018 Filed Jun 11, 2018 20:53 UTC
Berson Jory AChief Human Resources Officer
SaleCommon Stock 18,909 $97.09 $1,835,874.81
Disclosure

SEC source: 0000927628-18-000233 · wf-form4_152875039745857.xml · nonDerivative · entry 1

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,574

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 8, 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 $96.77 to $97.57. Information regarding the number of shares sold at each price will be provided upon request.

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
June 07, 2018 Filed Jun 11, 2018 20:54 UTC
Wassmer Michael JPresident, U.S. Card
SaleCommon Stock 2,203 $96.90 $213,470.70
Disclosure

SEC source: 0000927628-18-000236 · wf-form4_152875047042351.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,832

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 8, 2018, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
May 15, 2018 Filed May 16, 2018 20:18 UTC
Borgmann Kevin S.Senior Advisor to the CEO
SaleCommon Stock 4,860 $95.00 $461,700.00
Disclosure

SEC source: 0000927628-18-000224 · wf-form4_152650187365910.xml · nonDerivative · entry 1

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.

Read SEC document
May 09, 2018 Filed May 11, 2018 20:09 UTC
Blackley Richard ScottChief Financial Officer
Tax withholdingCommon Stock 1,620 $92.11 $149,218.20
Disclosure

SEC source: 0000927628-18-000214 · wf-form4_152606938525790.xml · nonDerivative · entry 1

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,917

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

Read SEC document
May 08, 2018 Filed May 10, 2018 22:50 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Exercise / conversionStock Options · Derivative 511 $0.00 Strike: $18.28 $0.00
Disclosure

SEC source: 0000927628-18-000210 · wf-form4_152599259262973.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 242,090

Underlying: Common Stock · 511 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.

F2 · derivative.exercise_date: This grant became exercisable in full on January 29, 2012, the third anniversary of the grant date.

Read SEC document
May 08, 2018 Filed May 10, 2018 22:50 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
SaleCommon Stock 511 $95.00 $48,545.00
Disclosure

SEC source: 0000927628-18-000210 · wf-form4_152599259262973.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,769,138

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.

Read SEC document
May 08, 2018 Filed May 10, 2018 22:50 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Exercise / conversionCommon Stock 511 $18.28 $9,341.08
Disclosure

SEC source: 0000927628-18-000210 · wf-form4_152599259262973.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,769,649

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.

Read SEC document
May 08, 2018 Filed May 10, 2018 22:51 UTC
Borgmann Kevin S.Senior Advisor to the CEO
SaleCommon Stock 11,584 $95.00 $1,100,480.00
Disclosure

SEC source: 0000927628-18-000211 · wf-form4_152599265673689.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,310

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
May 04, 2018 Filed May 11, 2018 20:11 UTC
Wassmer Michael JPresident, U.S. Card
GiftCommon Stock 722 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000215 · wf-form4_152606940500474.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,035

F1 · 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
May 02, 2018 Filed May 4, 2018 21:50 UTC GrantCommon Stock 1,907 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000192 · wf-form4_152547061096683.xml · nonDerivative · entry 1

Chennapragada Aparna · CIK 0001733103 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,348

F1 · security: Restricted stock units which vest in their entirety on May 2, 2019 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

Read SEC document
May 02, 2018 Filed May 4, 2018 21:50 UTC GrantCommon Stock 1,907 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000193 · wf-form4_152547062795898.xml · nonDerivative · entry 1

HACKETT ANN F · CIK 0001188662 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,918

F1 · security: Restricted stock units which vest in their entirety on May 2, 2019 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

Read SEC document
May 02, 2018 Filed May 4, 2018 21:50 UTC GrantCommon Stock 1,907 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000194 · wf-form4_152547064645554.xml · nonDerivative · entry 1

HAY LEWIS III · CIK 0001182705 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,190

F1 · security: Restricted stock units which vest in their entirety on May 2, 2019 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

Read SEC document
May 02, 2018 Filed May 4, 2018 21:51 UTC GrantCommon Stock 1,907 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000195 · wf-form4_152547066258571.xml · nonDerivative · entry 1

JENKINS BENJAMIN P III · CIK 0001232069 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,707

F1 · security: Restricted stock units which vest in their entirety on May 2, 2019 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

Read SEC document
May 02, 2018 Filed May 4, 2018 21:51 UTC GrantCommon Stock 1,907 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000196 · wf-form4_152547067882044.xml · nonDerivative · entry 1

Killalea Peter Thomas · CIK 0001638728 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,058

F1 · security: Restricted stock units which vest in their entirety on May 2, 2019 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

Read SEC document
May 02, 2018 Filed May 4, 2018 21:51 UTC GrantCommon Stock 1,907 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000197 · wf-form4_152547069597783.xml · nonDerivative · entry 1

LEROY PIERRE E · CIK 0001055709 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,268

F1 · security: Restricted stock units which vest in their entirety on May 2, 2019 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

Read SEC document
May 02, 2018 Filed May 4, 2018 21:52 UTC GrantCommon Stock 1,907 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000198 · wf-form4_152547071395405.xml · nonDerivative · entry 1

RASKIND PETER E · CIK 0001181669 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,099

F1 · security: Restricted stock units which vest in their entirety on May 2, 2019 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

Read SEC document
May 02, 2018 Filed May 4, 2018 21:52 UTC GrantCommon Stock 1,907 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000199 · wf-form4_152547073091318.xml · nonDerivative · entry 1

SHATTUCK MAYO A III · CIK 0001087426 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,857

F1 · security: Restricted stock units which vest in their entirety on May 2, 2019 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

Read SEC document
May 02, 2018 Filed May 4, 2018 21:53 UTC GrantCommon Stock 1,907 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000200 · wf-form4_152547074787498.xml · nonDerivative · entry 1

WARNER BRADFORD H · CIK 0001195086 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,992

F1 · security: Restricted stock units which vest in their entirety on May 2, 2019 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

Read SEC document
May 02, 2018 Filed May 4, 2018 21:53 UTC GrantCommon Stock 1,907 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000201 · wf-form4_152547080702820.xml · nonDerivative · entry 1

WEST CATHERINE · CIK 0001238043 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,515

F1 · security: Restricted stock units which vest in their entirety on May 2, 2019 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

Read SEC document
April 26, 2018 Filed Apr 30, 2018 21:04 UTC
Borgmann Kevin S.Senior Advisor to the CEO
SaleCommon Stock 3,400 $93.11 $316,574.00
Disclosure

SEC source: 0000927628-18-000170 · wf-form4_152512226945624.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,894

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 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $93.03 to $93.27. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
April 26, 2018 Filed Apr 30, 2018 21:04 UTC
Borgmann Kevin S.Senior Advisor to the CEO
SaleCommon Stock 8,814 $92.68 $816,881.52
Disclosure

SEC source: 0000927628-18-000170 · wf-form4_152512226945624.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,294

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 $92.02 to $93.00. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
April 25, 2018 Filed Apr 27, 2018 21:00 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Exercise / conversionStock Options · Derivative 242,600 $0.00 Strike: $18.28 $0.00
Disclosure

SEC source: 0000927628-18-000168 · wf-form4_152486277846711.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 242,601

Underlying: Common Stock · 242,600 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.

F6 · derivative.exercise_date: The grant became exercisable in full on January 29, 2012, the third anniversary of the grant date.

Read SEC document
April 25, 2018 Filed Apr 27, 2018 21:00 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
SaleCommon Stock 5,850 $91.90 $537,615.00
Disclosure

SEC source: 0000927628-18-000168 · wf-form4_152486277846711.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,769,138

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 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $91.70 to $92.05. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
April 25, 2018 Filed Apr 27, 2018 21:00 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
SaleCommon Stock 131,837 $92.56 $12,202,832.72
Disclosure

SEC source: 0000927628-18-000168 · wf-form4_152486277846711.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,774,988

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 $92.06 to $93.05. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
April 25, 2018 Filed Apr 27, 2018 21:00 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
SaleCommon Stock 51,950 $93.47 $4,855,766.50
Disclosure

SEC source: 0000927628-18-000168 · wf-form4_152486277846711.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,906,825

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 $93.06 to $94.04. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
April 25, 2018 Filed Apr 27, 2018 21:00 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
SaleCommon Stock 52,963 $94.37 $4,998,118.31
Disclosure

SEC source: 0000927628-18-000168 · wf-form4_152486277846711.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,958,775

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 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $94.05 to $95.03. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
April 25, 2018 Filed Apr 27, 2018 21:00 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Exercise / conversionCommon Stock 242,600 $18.28 $4,434,728.00
Disclosure

SEC source: 0000927628-18-000168 · wf-form4_152486277846711.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,011,738

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.

Read SEC document
April 03, 2018 Filed Apr 5, 2018 20:04 UTC Tax withholdingCommon Stock 1,754 $95.44 $167,401.76
Disclosure

SEC source: 0000927628-18-000158 · wf-form4_152295864321689.xml · nonDerivative · entry 1

Golden Timothy P · CIK 0001706865 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,594

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

Read SEC document
April 02, 2018 Filed Apr 4, 2018 20:11 UTC Exercise / conversionStock Options · Derivative 3,000 $0.00 Strike: $16.93 $0.00
Disclosure

SEC source: 0000927628-18-000156 · wf-form4_152287267862704.xml · derivative · entry 5

WARNER BRADFORD H · CIK 0001195086 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,229

Underlying: Common Stock · 3,000 shares

Expires 2019-04-22

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 November 2, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
April 02, 2018 Filed Apr 4, 2018 20:11 UTC SaleCommon Stock 800 $95.49 $76,392.00
Disclosure

SEC source: 0000927628-18-000156 · wf-form4_152287267862704.xml · nonDerivative · entry 3

WARNER BRADFORD H · CIK 0001195086 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,085

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 2, 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 $95.35 to $95.57. Information regarding the number of shares sold at each price will be provided upon request.

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April 02, 2018 Filed Apr 4, 2018 20:11 UTC SaleCommon Stock 2,200 $94.89 $208,758.00
Disclosure

SEC source: 0000927628-18-000156 · wf-form4_152287267862704.xml · nonDerivative · entry 2

WARNER BRADFORD H · CIK 0001195086 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,885

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 2, 2017, 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 $94.34 to $95.31. Information regarding the number of shares sold at each price will be provided upon request.

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April 02, 2018 Filed Apr 4, 2018 20:11 UTC Exercise / conversionCommon Stock 3,000 $16.93 $50,790.00
Disclosure

SEC source: 0000927628-18-000156 · wf-form4_152287267862704.xml · nonDerivative · entry 1

WARNER BRADFORD H · CIK 0001195086 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,085

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 November 2, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

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March 22, 2018 Filed Mar 26, 2018 21:10 UTC
Santos KleberPres., Retail & Direct Banking
SaleCommon Stock 1,711 $97.00 $165,967.00
Disclosure

SEC source: 0000927628-18-000154 · wf-form4_152209857201977.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,894

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 13, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

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March 16, 2018 Filed Mar 20, 2018 20:03 UTC
Blackley Richard ScottChief Financial Officer
SaleCommon Stock 2,194 $98.19 $215,428.86
Disclosure

SEC source: 0000927628-18-000152 · wf-form4_152157617420508.xml · nonDerivative · entry 1

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,537

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

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March 08, 2018 Filed Mar 12, 2018 20:09 UTC
Alexander Robert M.Chief Information Officer
Tax withholdingCommon Stock 5,283 $98.15 $518,526.45
Disclosure

SEC source: 0000927628-18-000134 · wf-form4_152088535045582.xml · nonDerivative · entry 2

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,399

F2 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement.

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March 08, 2018 Filed Mar 12, 2018 20:09 UTC
Alexander Robert M.Chief Information Officer
GrantCommon Stock 11,712 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000134 · wf-form4_152088535045582.xml · nonDerivative · entry 1

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,682

F1 · security: These shares were earned pursuant to an award of performance shares granted on January 29, 2015 based on the Company's Adjusted ROA against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant.

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March 08, 2018 Filed Mar 12, 2018 20:09 UTC
Berson Jory AChief Human Resources Officer
Tax withholdingCommon Stock 5,870 $98.15 $576,140.50
Disclosure

SEC source: 0000927628-18-000135 · wf-form4_152088537892204.xml · nonDerivative · entry 2

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,420

F3 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement.

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March 08, 2018 Filed Mar 12, 2018 20:09 UTC
Berson Jory AChief Human Resources Officer
GrantCommon Stock 13,015 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000135 · wf-form4_152088537892204.xml · nonDerivative · entry 1

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,290

F1 · security: These shares were earned pursuant to an award of performance shares granted on January 29, 2015 based on the Company's Adjusted ROA against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant.

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

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March 08, 2018 Filed Mar 12, 2018 20:10 UTC
Blackley Richard ScottChief Financial Officer
Tax withholdingCommon Stock 1,803 $98.15 $176,964.45
Disclosure

SEC source: 0000927628-18-000136 · wf-form4_152088539540004.xml · nonDerivative · entry 2

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,731

F2 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement.

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March 08, 2018 Filed Mar 12, 2018 20:10 UTC
Blackley Richard ScottChief Financial Officer
GrantCommon Stock 3,997 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000136 · wf-form4_152088539540004.xml · nonDerivative · entry 1

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,534

F1 · security: These shares were earned pursuant to an award of performance shares granted on January 29, 2015 based on the Company's Adjusted ROA against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant.

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March 08, 2018 Filed Mar 12, 2018 20:10 UTC
Borgmann Kevin S.Senior Advisor to the CEO
Tax withholdingCommon Stock 6,445 $98.15 $632,576.75
Disclosure

SEC source: 0000927628-18-000137 · wf-form4_152088541158161.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,108

F2 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement.

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March 08, 2018 Filed Mar 12, 2018 20:10 UTC
Borgmann Kevin S.Senior Advisor to the CEO
GrantCommon Stock 13,343 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000137 · wf-form4_152088541158161.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,553

F1 · security: These shares were earned pursuant to an award of performance shares granted on January 29, 2015 based on the Company's Adjusted ROA against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant.

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