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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
March 08, 2018 Filed Mar 12, 2018 20:11 UTC
Cooper Matthew WGeneral Counsel
Tax withholdingCommon Stock 1,368 $98.15 $134,269.20
Disclosure

SEC source: 0000927628-18-000138 · wf-form4_152088543891828.xml · nonDerivative · entry 2

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,295

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.

Read SEC document
March 08, 2018 Filed Mar 12, 2018 20:11 UTC
Cooper Matthew WGeneral Counsel
GrantCommon Stock 3,033 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000138 · wf-form4_152088543891828.xml · nonDerivative · entry 1

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,663

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.

Read SEC document
March 08, 2018 Filed Mar 12, 2018 20:11 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Tax withholdingCommon Stock 83,093 $98.15 $8,155,577.95
Disclosure

SEC source: 0000927628-18-000140 · wf-form4_152088550465279.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

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.

Read SEC document
March 08, 2018 Filed Mar 12, 2018 20:11 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
GrantCommon Stock 184,241 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000140 · wf-form4_152088550465279.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,852,231

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 Dividend Reinvestment Plan since the last reported transaction.

Read SEC document
March 08, 2018 Filed Mar 12, 2018 20:11 UTC
Eder Noelle KChief Card Cust. Exp. Officer
Tax withholdingCommon Stock 630 $98.15 $61,834.50
Disclosure

SEC source: 0000927628-18-000139 · wf-form4_152088547588550.xml · nonDerivative · entry 2

Eder Noelle K · CIK 0001691704 · Chief Card Cust. Exp. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,876

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.

Read SEC document
March 08, 2018 Filed Mar 12, 2018 20:11 UTC
Eder Noelle KChief Card Cust. Exp. Officer
GrantCommon Stock 1,395 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000139 · wf-form4_152088547588550.xml · nonDerivative · entry 1

Eder Noelle K · CIK 0001691704 · Chief Card Cust. Exp. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,506

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.

Read SEC document
March 08, 2018 Filed Mar 12, 2018 20:12 UTC
FINNERAN JOHN G JRChief Risk Officer & Corp Secy
Tax withholdingCommon Stock 7,300 $98.15 $716,495.00
Disclosure

SEC source: 0000927628-18-000141 · wf-form4_152088552135777.xml · nonDerivative · entry 2

FINNERAN JOHN G JR · CIK 0001238033 · Chief Risk Officer & Corp Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,825

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.

Read SEC document
March 08, 2018 Filed Mar 12, 2018 20:12 UTC
FINNERAN JOHN G JRChief Risk Officer & Corp Secy
GrantCommon Stock 15,112 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000141 · wf-form4_152088552135777.xml · nonDerivative · entry 1

FINNERAN JOHN G JR · CIK 0001238033 · Chief Risk Officer & Corp Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,125

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.

Read SEC document
March 08, 2018 Filed Mar 12, 2018 20:12 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Tax withholdingCommon Stock 6,619 $98.15 $649,654.85
Disclosure

SEC source: 0000927628-18-000142 · wf-form4_152088555105846.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,204

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.

Read SEC document
March 08, 2018 Filed Mar 12, 2018 20:12 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
GrantCommon Stock 13,704 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000142 · wf-form4_152088555105846.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,823

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.

Read SEC document
March 08, 2018 Filed Mar 12, 2018 20:13 UTC
Sanjiv YajnikPresident, Financial Services
Tax withholdingCommon Stock 5,576 $98.15 $547,284.40
Disclosure

SEC source: 0000927628-18-000143 · wf-form4_152088557124425.xml · nonDerivative · entry 2

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,552

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.

Read SEC document
March 08, 2018 Filed Mar 12, 2018 20:13 UTC
Sanjiv YajnikPresident, Financial Services
GrantCommon Stock 14,170 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000143 · wf-form4_152088557124425.xml · nonDerivative · entry 1

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,128

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.

Read SEC document
March 08, 2018 Filed Mar 12, 2018 20:13 UTC
Santos KleberPres., Retail & Direct Banking
Tax withholdingCommon Stock 1,598 $98.15 $156,843.70
Disclosure

SEC source: 0000927628-18-000144 · wf-form4_152088559238919.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,605

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.

Read SEC document
March 08, 2018 Filed Mar 12, 2018 20:13 UTC
Santos KleberPres., Retail & Direct Banking
GrantCommon Stock 3,309 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000144 · wf-form4_152088559238919.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,203

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.

Read SEC document
March 08, 2018 Filed Mar 12, 2018 20:13 UTC
Slocum MichaelPresident, Commercial Banking
Tax withholdingCommon Stock 6,725 $98.15 $660,058.75
Disclosure

SEC source: 0000927628-18-000145 · wf-form4_152088560931576.xml · nonDerivative · entry 2

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,646

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.

Read SEC document
March 08, 2018 Filed Mar 12, 2018 20:13 UTC
Slocum MichaelPresident, Commercial Banking
GrantCommon Stock 12,636 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000145 · wf-form4_152088560931576.xml · nonDerivative · entry 1

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,371

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.

Read SEC document
March 08, 2018 Filed Mar 12, 2018 20:13 UTC
Wassmer Michael JPresident, U.S. Card
Tax withholdingCommon Stock 3,231 $98.15 $317,122.65
Disclosure

SEC source: 0000927628-18-000146 · wf-form4_152088562555267.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,625

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.

Read SEC document
March 08, 2018 Filed Mar 12, 2018 20:13 UTC
Wassmer Michael JPresident, U.S. Card
GrantCommon Stock 7,162 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000146 · wf-form4_152088562555267.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,856

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.

Read SEC document
March 01, 2018 Filed Mar 5, 2018 22:49 UTC GrantCommon Stock 441 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000118 · wf-form4_152029015346144.xml · nonDerivative · entry 1

Chennapragada Aparna · CIK 0001733103 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 441

F1 · security: Restricted Stock Units which vest in their entirety on March 1, 2019.

Read SEC document
March 01, 2018 Filed Mar 5, 2018 22:47 UTC
Blackley Richard ScottChief Financial Officer
SaleCommon Stock 10,000 $98.12 $981,200.00
Disclosure

SEC source: 0000927628-18-000116 · wf-form4_152029000351291.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.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $97.68 to $98.43. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
February 22, 2018 Filed Feb 26, 2018 21:29 UTC
Santos KleberPres., Retail & Direct Banking
SaleCommon Stock 5,607 $97.74 $548,028.18
Disclosure

SEC source: 0000927628-18-000109 · wf-form4_151968057887003.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.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $97.43 to $98.24. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
February 15, 2018 Filed Feb 20, 2018 23:29 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionRestricted Stock Units · Derivative 7,540 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000087 · wf-form4_151916935949064.xml · derivative · entry 17

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,540 shares

Expires 2018-02-15

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.

F2 · derivative.exercise_price: Each restricted stock unit vested on January 1, 2018 and settled in cash on February 15, 2018 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F2 · price: Each restricted stock unit vested on January 1, 2018 and settled in cash on February 15, 2018 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F2 · derivative.exercise_date: Each restricted stock unit vested on January 1, 2018 and settled in cash on February 15, 2018 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F2 · derivative.expiration_date: Each restricted stock unit vested on January 1, 2018 and settled in cash on February 15, 2018 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

Read SEC document
February 15, 2018 Filed Feb 20, 2018 23:29 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: 0000927628-18-000087 · wf-form4_151916935949064.xml · derivative · entry 16

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,614

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, 2018 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, 2018 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, 2018 Filed Feb 20, 2018 23:29 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: 0000927628-18-000087 · wf-form4_151916935949064.xml · derivative · entry 15

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,894

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, 2018 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, 2018 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date.

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

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

Read SEC document
February 15, 2018 Filed Feb 20, 2018 23:29 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversion2015 Restricted Stock Units · Derivative 3,333 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000087 · wf-form4_151916935949064.xml · derivative · entry 14

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,333 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, 2018 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, 2018 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, 2016 and annually thereafter.

F6 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2016 and annually thereafter.

Read SEC document
February 15, 2018 Filed Feb 20, 2018 23:29 UTC
Alexander Robert M.Chief Information Officer
Tax withholdingCommon Stock 1,750 $98.67 $172,672.50
Disclosure

SEC source: 0000927628-18-000087 · wf-form4_151916935949064.xml · nonDerivative · entry 11

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,970

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 2, 2017. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 15, 2018 Filed Feb 20, 2018 23:29 UTC
Alexander Robert M.Chief Information Officer
Tax withholdingCommon Stock 1,654 $98.67 $163,200.18
Disclosure

SEC source: 0000927628-18-000087 · wf-form4_151916935949064.xml · nonDerivative · entry 10

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,720

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

Read SEC document
February 15, 2018 Filed Feb 20, 2018 23:29 UTC
Alexander Robert M.Chief Information Officer
Tax withholdingCommon Stock 1,241 $98.67 $122,449.47
Disclosure

SEC source: 0000927628-18-000087 · wf-form4_151916935949064.xml · nonDerivative · entry 9

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,374

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 January 29, 2015. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 15, 2018 Filed Feb 20, 2018 23:29 UTC
Alexander Robert M.Chief Information Officer
Disposition to issuerCommon Stock 7,540 $99.52 $750,380.80
Disclosure

SEC source: 0000927628-18-000087 · wf-form4_151916935949064.xml · nonDerivative · entry 8

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,615

F2 · price: Each restricted stock unit vested on January 1, 2018 and settled in cash on February 15, 2018 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

Read SEC document
February 15, 2018 Filed Feb 20, 2018 23:29 UTC
Alexander Robert M.Chief Information Officer
Disposition to issuerCommon Stock 2,307 $99.52 $229,592.64
Disclosure

SEC source: 0000927628-18-000087 · wf-form4_151916935949064.xml · nonDerivative · entry 7

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,155

F1 · price: On February 15, 2018 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, 2018 Filed Feb 20, 2018 23:29 UTC
Alexander Robert M.Chief Information Officer
Disposition to issuerCommon Stock 2,894 $99.52 $288,010.88
Disclosure

SEC source: 0000927628-18-000087 · wf-form4_151916935949064.xml · nonDerivative · entry 6

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,462

F1 · price: On February 15, 2018 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, 2018 Filed Feb 20, 2018 23:29 UTC
Alexander Robert M.Chief Information Officer
Disposition to issuerCommon Stock 3,333 $99.52 $331,700.16
Disclosure

SEC source: 0000927628-18-000087 · wf-form4_151916935949064.xml · nonDerivative · entry 5

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,356

F1 · price: On February 15, 2018 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, 2018 Filed Feb 20, 2018 23:29 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionCommon Stock 7,540 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000087 · wf-form4_151916935949064.xml · nonDerivative · entry 4

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,689

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 · price: Each restricted stock unit vested on January 1, 2018 and settled in cash on February 15, 2018 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

Read SEC document
February 15, 2018 Filed Feb 20, 2018 23:29 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionCommon Stock 2,307 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000087 · wf-form4_151916935949064.xml · nonDerivative · entry 3

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,149

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, 2018 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, 2018 Filed Feb 20, 2018 23:29 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionCommon Stock 2,894 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000087 · wf-form4_151916935949064.xml · nonDerivative · entry 2

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,842

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, 2018 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, 2018 Filed Feb 20, 2018 23:29 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionCommon Stock 3,333 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000087 · wf-form4_151916935949064.xml · nonDerivative · entry 1

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,948

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, 2018 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, 2018 Filed Feb 20, 2018 23:29 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversionRestricted Stock Units · Derivative 7,378 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000088 · wf-form4_151916937865151.xml · derivative · entry 16

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,378 shares

Expires 2018-02-15

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.

F2 · derivative.exercise_price: Each restricted stock unit vested on January 1, 2018 and settled in cash on February 15, 2018 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F2 · price: Each restricted stock unit vested on January 1, 2018 and settled in cash on February 15, 2018 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F2 · derivative.exercise_date: Each restricted stock unit vested on January 1, 2018 and settled in cash on February 15, 2018 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F2 · derivative.expiration_date: Each restricted stock unit vested on January 1, 2018 and settled in cash on February 15, 2018 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

Read SEC document
February 15, 2018 Filed Feb 20, 2018 23:29 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: 0000927628-18-000088 · wf-form4_151916937865151.xml · derivative · entry 15

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,600

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, 2018 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, 2018 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, 2018 and annually thereafter.

F9 · 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, 2018 Filed Feb 20, 2018 23:29 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: 0000927628-18-000088 · wf-form4_151916937865151.xml · derivative · entry 14

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,120

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, 2018 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, 2018 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, 2017 and annually thereafter.

F8 · 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, 2018 Filed Feb 20, 2018 23:29 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversion2015 Restricted Stock Units · Derivative 3,703 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000088 · wf-form4_151916937865151.xml · derivative · entry 13

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,703 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, 2018 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, 2018 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, 2016 and annually thereafter.

F7 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2016 and annually thereafter.

Read SEC document
February 15, 2018 Filed Feb 20, 2018 23:29 UTC
Berson Jory AChief Human Resources Officer
Tax withholdingCommon Stock 1,794 $98.67 $177,013.98
Disclosure

SEC source: 0000927628-18-000088 · wf-form4_151916937865151.xml · nonDerivative · entry 11

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,158

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 2, 2017. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 15, 2018 Filed Feb 20, 2018 23:29 UTC
Berson Jory AChief Human Resources Officer
Tax withholdingCommon Stock 1,872 $98.67 $184,710.24
Disclosure

SEC source: 0000927628-18-000088 · wf-form4_151916937865151.xml · nonDerivative · entry 10

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,952

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

Read SEC document
February 15, 2018 Filed Feb 20, 2018 23:29 UTC
Berson Jory AChief Human Resources Officer
Tax withholdingCommon Stock 1,379 $98.67 $136,065.93
Disclosure

SEC source: 0000927628-18-000088 · wf-form4_151916937865151.xml · nonDerivative · entry 9

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,824

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 January 29, 2015. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 15, 2018 Filed Feb 20, 2018 23:29 UTC
Berson Jory AChief Human Resources Officer
Disposition to issuerCommon Stock 7,378 $99.52 $734,258.56
Disclosure

SEC source: 0000927628-18-000088 · wf-form4_151916937865151.xml · nonDerivative · entry 8

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,203

F2 · price: Each restricted stock unit vested on January 1, 2018 and settled in cash on February 15, 2018 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

Read SEC document
February 15, 2018 Filed Feb 20, 2018 23:29 UTC
Berson Jory AChief Human Resources Officer
Disposition to issuerCommon Stock 2,300 $99.52 $228,896.00
Disclosure

SEC source: 0000927628-18-000088 · wf-form4_151916937865151.xml · nonDerivative · entry 7

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,581

F1 · price: On February 15, 2018 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, 2018 Filed Feb 20, 2018 23:29 UTC
Berson Jory AChief Human Resources Officer
Disposition to issuerCommon Stock 3,120 $99.52 $310,502.40
Disclosure

SEC source: 0000927628-18-000088 · wf-form4_151916937865151.xml · nonDerivative · entry 6

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,881

F1 · price: On February 15, 2018 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, 2018 Filed Feb 20, 2018 23:29 UTC
Berson Jory AChief Human Resources Officer
Disposition to issuerCommon Stock 3,703 $99.52 $368,522.56
Disclosure

SEC source: 0000927628-18-000088 · wf-form4_151916937865151.xml · nonDerivative · entry 5

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,001

F1 · price: On February 15, 2018 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, 2018 Filed Feb 20, 2018 23:29 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversionCommon Stock 7,378 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000088 · wf-form4_151916937865151.xml · nonDerivative · entry 4

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,704

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 · price: Each restricted stock unit vested on January 1, 2018 and settled in cash on February 15, 2018 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

Read SEC document
February 15, 2018 Filed Feb 20, 2018 23:29 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversionCommon Stock 2,300 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000088 · wf-form4_151916937865151.xml · nonDerivative · entry 3

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,326

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, 2018 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, 2018 Filed Feb 20, 2018 23:29 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversionCommon Stock 3,120 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000088 · wf-form4_151916937865151.xml · nonDerivative · entry 2

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,026

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, 2018 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.