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CAPITAL ONE FINANCIAL CORP

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547
SEC CIK
0000927628
Parsed reports
2,528

Last 12 months

Inside the activity.

0 purchase rows · 62 sale rows

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

Latest available

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

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

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
February 15, 2018 Filed Feb 20, 2018 23:29 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversionCommon Stock 3,703 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000088 · wf-form4_151916937865151.xml · nonDerivative · entry 1

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,906

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 23:30 UTC
Borgmann Kevin S.Senior Advisor to the CEO
Exercise / conversionRestricted Stock Units · Derivative 8,328 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000090 · wf-form4_151916941407162.xml · derivative · entry 15

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,328 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 23:30 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: 0000927628-18-000090 · wf-form4_151916941407162.xml · derivative · entry 14

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,103

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, 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 23:30 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: 0000927628-18-000090 · wf-form4_151916941407162.xml · derivative · entry 13

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,196

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, 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 23:30 UTC
Borgmann Kevin S.Senior Advisor to the CEO
Exercise / conversion2015 Restricted Stock Units · Derivative 3,441 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000090 · wf-form4_151916941407162.xml · derivative · entry 12

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,441 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 23:30 UTC
Borgmann Kevin S.Senior Advisor to the CEO
Tax withholdingCommon Stock 2,123 $98.67 $209,476.41
Disclosure

SEC source: 0000927628-18-000090 · wf-form4_151916941407162.xml · nonDerivative · entry 11

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,210

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 23:30 UTC
Borgmann Kevin S.Senior Advisor to the CEO
Tax withholdingCommon Stock 1,886 $98.67 $186,091.62
Disclosure

SEC source: 0000927628-18-000090 · wf-form4_151916941407162.xml · nonDerivative · entry 10

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,333

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 23:30 UTC
Borgmann Kevin S.Senior Advisor to the CEO
Tax withholdingCommon Stock 1,564 $98.67 $154,319.88
Disclosure

SEC source: 0000927628-18-000090 · wf-form4_151916941407162.xml · nonDerivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,219

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 23:30 UTC
Borgmann Kevin S.Senior Advisor to the CEO
Disposition to issuerCommon Stock 8,328 $99.52 $828,802.56
Disclosure

SEC source: 0000927628-18-000090 · wf-form4_151916941407162.xml · nonDerivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,783

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 23:30 UTC
Borgmann Kevin S.Senior Advisor to the CEO
Disposition to issuerCommon Stock 2,551 $99.52 $253,875.52
Disclosure

SEC source: 0000927628-18-000090 · wf-form4_151916941407162.xml · nonDerivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,111

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 23:30 UTC
Borgmann Kevin S.Senior Advisor to the CEO
Disposition to issuerCommon Stock 3,196 $99.52 $318,065.92
Disclosure

SEC source: 0000927628-18-000090 · wf-form4_151916941407162.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,662

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 23:30 UTC
Borgmann Kevin S.Senior Advisor to the CEO
Disposition to issuerCommon Stock 3,441 $99.52 $342,448.32
Disclosure

SEC source: 0000927628-18-000090 · wf-form4_151916941407162.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,858

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 23:30 UTC
Borgmann Kevin S.Senior Advisor to the CEO
Exercise / conversionCommon Stock 8,328 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000090 · wf-form4_151916941407162.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,299

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 23:30 UTC
Borgmann Kevin S.Senior Advisor to the CEO
Exercise / conversionCommon Stock 2,551 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000090 · wf-form4_151916941407162.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,971

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 23:30 UTC
Borgmann Kevin S.Senior Advisor to the CEO
Exercise / conversionCommon Stock 3,196 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000090 · wf-form4_151916941407162.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,420

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 23:30 UTC
Borgmann Kevin S.Senior Advisor to the CEO
Exercise / conversionCommon Stock 3,441 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000090 · wf-form4_151916941407162.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,224

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 23:30 UTC
Blackley Richard ScottChief Financial Officer
Exercise / conversionRestricted Stock Units · Derivative 7,969 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000089 · wf-form4_151916939656549.xml · derivative · entry 15

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,969 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 23:30 UTC
Blackley Richard ScottChief Financial Officer
Exercise / conversion2017 Restricted Stock Units · Derivative 2,128 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000089 · wf-form4_151916939656549.xml · derivative · entry 14

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,258

Underlying: Common Stock · 2,128 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 23:30 UTC
Blackley Richard ScottChief Financial Officer
Exercise / conversion2016 Restricted Stock Units · Derivative 1,571 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000089 · wf-form4_151916939656549.xml · derivative · entry 13

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,571

Underlying: Common Stock · 1,571 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 23:30 UTC
Blackley Richard ScottChief Financial Officer
Exercise / conversion2015 Restricted Stock Units · Derivative 1,345 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000089 · wf-form4_151916939656549.xml · derivative · entry 12

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,345 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 23:30 UTC
Blackley Richard ScottChief Financial Officer
Tax withholdingCommon Stock 2,096 $98.67 $206,812.32
Disclosure

SEC source: 0000927628-18-000089 · wf-form4_151916939656549.xml · nonDerivative · entry 11

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,537

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 23:30 UTC
Blackley Richard ScottChief Financial Officer
Tax withholdingCommon Stock 1,031 $98.67 $101,728.77
Disclosure

SEC source: 0000927628-18-000089 · wf-form4_151916939656549.xml · nonDerivative · entry 10

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,633

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 23:30 UTC
Blackley Richard ScottChief Financial Officer
Tax withholdingCommon Stock 762 $98.67 $75,186.54
Disclosure

SEC source: 0000927628-18-000089 · wf-form4_151916939656549.xml · nonDerivative · entry 9

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,664

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 23:30 UTC
Blackley Richard ScottChief Financial Officer
Disposition to issuerCommon Stock 7,969 $99.52 $793,074.88
Disclosure

SEC source: 0000927628-18-000089 · wf-form4_151916939656549.xml · nonDerivative · entry 8

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,426

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 23:30 UTC
Blackley Richard ScottChief Financial Officer
Disposition to issuerCommon Stock 2,128 $99.52 $211,778.56
Disclosure

SEC source: 0000927628-18-000089 · wf-form4_151916939656549.xml · nonDerivative · entry 7

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,395

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 23:30 UTC
Blackley Richard ScottChief Financial Officer
Disposition to issuerCommon Stock 1,571 $99.52 $156,345.92
Disclosure

SEC source: 0000927628-18-000089 · wf-form4_151916939656549.xml · nonDerivative · entry 6

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,523

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 23:30 UTC
Blackley Richard ScottChief Financial Officer
Disposition to issuerCommon Stock 1,345 $99.52 $133,854.40
Disclosure

SEC source: 0000927628-18-000089 · wf-form4_151916939656549.xml · nonDerivative · entry 5

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,094

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 23:30 UTC
Blackley Richard ScottChief Financial Officer
Exercise / conversionCommon Stock 7,969 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000089 · wf-form4_151916939656549.xml · nonDerivative · entry 4

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,439

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 23:30 UTC
Blackley Richard ScottChief Financial Officer
Exercise / conversionCommon Stock 2,128 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000089 · wf-form4_151916939656549.xml · nonDerivative · entry 3

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,470

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 23:30 UTC
Blackley Richard ScottChief Financial Officer
Exercise / conversionCommon Stock 1,571 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000089 · wf-form4_151916939656549.xml · nonDerivative · entry 2

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,342

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 23:30 UTC
Blackley Richard ScottChief Financial Officer
Exercise / conversionCommon Stock 1,345 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000089 · wf-form4_151916939656549.xml · nonDerivative · entry 1

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,771

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 23:30 UTC
Cooper Matthew WGeneral Counsel
Exercise / conversionRestricted Stock Units · Derivative 4,124 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000091 · wf-form4_151916943190536.xml · derivative · entry 15

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,124 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 23:30 UTC
Cooper Matthew WGeneral Counsel
Exercise / conversion2017 Restricted Stock Units · Derivative 1,600 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000091 · wf-form4_151916943190536.xml · derivative · entry 14

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,201

Underlying: Common Stock · 1,600 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 23:30 UTC
Cooper Matthew WGeneral Counsel
Exercise / conversion2016 Restricted Stock Units · Derivative 1,688 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000091 · wf-form4_151916943190536.xml · derivative · entry 13

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,688

Underlying: Common Stock · 1,688 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 23:30 UTC
Cooper Matthew WGeneral Counsel
Exercise / conversion2015 Restricted Stock Units · Derivative 519 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000091 · wf-form4_151916943190536.xml · derivative · entry 12

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 519 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 23:30 UTC
Cooper Matthew WGeneral Counsel
Tax withholdingCommon Stock 1,076 $98.67 $106,168.92
Disclosure

SEC source: 0000927628-18-000091 · wf-form4_151916943190536.xml · nonDerivative · entry 11

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,630

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 23:30 UTC
Cooper Matthew WGeneral Counsel
Tax withholdingCommon Stock 1,103 $98.67 $108,833.01
Disclosure

SEC source: 0000927628-18-000091 · wf-form4_151916943190536.xml · nonDerivative · entry 10

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,706

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 23:30 UTC
Cooper Matthew WGeneral Counsel
Tax withholdingCommon Stock 579 $98.67 $57,129.93
Disclosure

SEC source: 0000927628-18-000091 · wf-form4_151916943190536.xml · nonDerivative · entry 9

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,809

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 23:30 UTC
Cooper Matthew WGeneral Counsel
Disposition to issuerCommon Stock 4,124 $99.52 $410,420.48
Disclosure

SEC source: 0000927628-18-000091 · wf-form4_151916943190536.xml · nonDerivative · entry 8

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,388

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 23:30 UTC
Cooper Matthew WGeneral Counsel
Disposition to issuerCommon Stock 1,600 $99.52 $159,232.00
Disclosure

SEC source: 0000927628-18-000091 · wf-form4_151916943190536.xml · nonDerivative · entry 7

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,512

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 23:30 UTC
Cooper Matthew WGeneral Counsel
Disposition to issuerCommon Stock 1,688 $99.52 $167,989.76
Disclosure

SEC source: 0000927628-18-000091 · wf-form4_151916943190536.xml · nonDerivative · entry 6

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,112

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 23:30 UTC
Cooper Matthew WGeneral Counsel
Disposition to issuerCommon Stock 519 $99.52 $51,650.88
Disclosure

SEC source: 0000927628-18-000091 · wf-form4_151916943190536.xml · nonDerivative · entry 5

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,800

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 23:30 UTC
Cooper Matthew WGeneral Counsel
Exercise / conversionCommon Stock 4,124 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000091 · wf-form4_151916943190536.xml · nonDerivative · entry 4

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,319

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 23:30 UTC
Cooper Matthew WGeneral Counsel
Exercise / conversionCommon Stock 1,600 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000091 · wf-form4_151916943190536.xml · nonDerivative · entry 3

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,195

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 23:30 UTC
Cooper Matthew WGeneral Counsel
Exercise / conversionCommon Stock 1,688 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000091 · wf-form4_151916943190536.xml · nonDerivative · entry 2

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,595

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 23:30 UTC
Cooper Matthew WGeneral Counsel
Exercise / conversionCommon Stock 519 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000091 · wf-form4_151916943190536.xml · nonDerivative · entry 1

Cooper Matthew W · CIK 0001727277 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,907

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 23:31 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
Exercise / conversion2015 Restricted Stock Units · Derivative 38,214 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000093 · wf-form4_151916946747006.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 38,214 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.

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 share 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 share of common stock over the fifteen trading days preceding the vesting date.

F3 · derivative.exercise_date: The restricted stock units vested in full on February 15, 2018.

F3 · derivative.expiration_date: The restricted stock units vested in full on February 15, 2018.

Read SEC document
February 15, 2018 Filed Feb 20, 2018 23:31 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
Tax withholdingCommon Stock 9,908 $98.67 $977,622.36
Disclosure

SEC source: 0000927628-18-000093 · wf-form4_151916946747006.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,667,986

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

Read SEC document
February 15, 2018 Filed Feb 20, 2018 23:31 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
Disposition to issuerCommon Stock 38,214 $99.52 $3,803,057.28
Disclosure

SEC source: 0000927628-18-000093 · wf-form4_151916946747006.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,677,894

F1 · price: On February 15, 2018 the restricted stock units were settled in cash based on the Company's average fair market value of share of common stock over the fifteen trading days preceding the vesting date.

Read SEC document
February 15, 2018 Filed Feb 20, 2018 23:31 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
Exercise / conversionCommon Stock 38,214 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000093 · wf-form4_151916946747006.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,716,108

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 share 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.