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CAPITAL ONE FINANCIAL CORP

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547
SEC CIK
0000927628
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2,528

Last 12 months

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0 purchase rows · 62 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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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

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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 23:31 UTC
Eder Noelle KChief Card Cust. Exp. Officer
Exercise / conversionRestricted Stock Units · Derivative 5,351 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000092 · wf-form4_151916944946279.xml · derivative · entry 15

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,351 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 23:31 UTC
Eder Noelle KChief Card Cust. Exp. Officer
Exercise / conversion2017 Restricted Stock Units · Derivative 1,769 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000092 · wf-form4_151916944946279.xml · derivative · entry 14

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,540

Underlying: Common Stock · 1,769 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 23:31 UTC
Eder Noelle KChief Card Cust. Exp. Officer
Exercise / conversion2016 Restricted Stock Units · Derivative 2,287 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000092 · wf-form4_151916944946279.xml · derivative · entry 13

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,287

Underlying: Common Stock · 2,287 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 23:31 UTC
Eder Noelle KChief Card Cust. Exp. Officer
Exercise / conversion2015 Restricted Stock Units · Derivative 490 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000092 · wf-form4_151916944946279.xml · derivative · entry 12

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 490 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 23:31 UTC
Eder Noelle KChief Card Cust. Exp. Officer
Tax withholdingCommon Stock 1,391 $98.67 $137,249.97
Disclosure

SEC source: 0000927628-18-000092 · wf-form4_151916944946279.xml · nonDerivative · entry 11

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,111

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 23:31 UTC
Eder Noelle KChief Card Cust. Exp. Officer
Tax withholdingCommon Stock 1,531 $98.67 $151,063.77
Disclosure

SEC source: 0000927628-18-000092 · wf-form4_151916944946279.xml · nonDerivative · entry 10

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,502

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 23:31 UTC
Eder Noelle KChief Card Cust. Exp. Officer
Tax withholdingCommon Stock 266 $98.67 $26,246.22
Disclosure

SEC source: 0000927628-18-000092 · wf-form4_151916944946279.xml · nonDerivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,033

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 23:31 UTC
Eder Noelle KChief Card Cust. Exp. Officer
Disposition to issuerCommon Stock 5,351 $99.52 $532,531.52
Disclosure

SEC source: 0000927628-18-000092 · wf-form4_151916944946279.xml · nonDerivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,299

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 23:31 UTC
Eder Noelle KChief Card Cust. Exp. Officer
Disposition to issuerCommon Stock 1,769 $99.52 $176,050.88
Disclosure

SEC source: 0000927628-18-000092 · wf-form4_151916944946279.xml · nonDerivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,650

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
Eder Noelle KChief Card Cust. Exp. Officer
Disposition to issuerCommon Stock 2,287 $99.52 $227,602.24
Disclosure

SEC source: 0000927628-18-000092 · wf-form4_151916944946279.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,419

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
Eder Noelle KChief Card Cust. Exp. Officer
Disposition to issuerCommon Stock 490 $99.52 $48,764.80
Disclosure

SEC source: 0000927628-18-000092 · wf-form4_151916944946279.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,706

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
Eder Noelle KChief Card Cust. Exp. Officer
Exercise / conversionCommon Stock 5,351 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000092 · wf-form4_151916944946279.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,196

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 23:31 UTC
Eder Noelle KChief Card Cust. Exp. Officer
Exercise / conversionCommon Stock 1,769 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000092 · wf-form4_151916944946279.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,845

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
Eder Noelle KChief Card Cust. Exp. Officer
Exercise / conversionCommon Stock 2,287 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000092 · wf-form4_151916944946279.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,076

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
Eder Noelle KChief Card Cust. Exp. Officer
Exercise / conversionCommon Stock 490 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000092 · wf-form4_151916944946279.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,789

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
FINNERAN JOHN G JRChief Risk Officer & Corp Secy
Exercise / conversionRestricted Stock Units · Derivative 9,127 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000094 · wf-form4_151916948514492.xml · derivative · entry 15

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,127 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 23:31 UTC
FINNERAN JOHN G JRChief Risk Officer & Corp Secy
Exercise / conversion2017 Restricted Stock Units · Derivative 2,851 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000094 · wf-form4_151916948514492.xml · derivative · entry 14

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,704

Underlying: Common Stock · 2,851 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 23:31 UTC
FINNERAN JOHN G JRChief Risk Officer & Corp Secy
Exercise / conversion2016 Restricted Stock Units · Derivative 3,753 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000094 · wf-form4_151916948514492.xml · derivative · entry 13

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,754

Underlying: Common Stock · 3,753 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 23:31 UTC
FINNERAN JOHN G JRChief Risk Officer & Corp Secy
Exercise / conversion2015 Restricted Stock Units · Derivative 4,302 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000094 · wf-form4_151916948514492.xml · derivative · entry 12

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,302 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 23:31 UTC
FINNERAN JOHN G JRChief Risk Officer & Corp Secy
Tax withholdingCommon Stock 2,377 $98.67 $234,538.59
Disclosure

SEC source: 0000927628-18-000094 · wf-form4_151916948514492.xml · nonDerivative · entry 11

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,013

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 23:31 UTC
FINNERAN JOHN G JRChief Risk Officer & Corp Secy
Tax withholdingCommon Stock 3,126 $98.67 $308,442.42
Disclosure

SEC source: 0000927628-18-000094 · wf-form4_151916948514492.xml · nonDerivative · entry 10

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,390

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 23:31 UTC
FINNERAN JOHN G JRChief Risk Officer & Corp Secy
Tax withholdingCommon Stock 2,569 $98.67 $253,483.23
Disclosure

SEC source: 0000927628-18-000094 · wf-form4_151916948514492.xml · nonDerivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,516

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 23:31 UTC
FINNERAN JOHN G JRChief Risk Officer & Corp Secy
Disposition to issuerCommon Stock 9,127 $99.52 $908,319.04
Disclosure

SEC source: 0000927628-18-000094 · wf-form4_151916948514492.xml · nonDerivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,085

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 23:31 UTC
FINNERAN JOHN G JRChief Risk Officer & Corp Secy
Disposition to issuerCommon Stock 2,851 $99.52 $283,731.52
Disclosure

SEC source: 0000927628-18-000094 · wf-form4_151916948514492.xml · nonDerivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 118,212

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
FINNERAN JOHN G JRChief Risk Officer & Corp Secy
Disposition to issuerCommon Stock 3,753 $99.52 $373,498.56
Disclosure

SEC source: 0000927628-18-000094 · wf-form4_151916948514492.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,063

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
FINNERAN JOHN G JRChief Risk Officer & Corp Secy
Disposition to issuerCommon Stock 4,302 $99.52 $428,135.04
Disclosure

SEC source: 0000927628-18-000094 · wf-form4_151916948514492.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 124,816

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
FINNERAN JOHN G JRChief Risk Officer & Corp Secy
Exercise / conversionCommon Stock 9,127 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000094 · wf-form4_151916948514492.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 129,118

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 23:31 UTC
FINNERAN JOHN G JRChief Risk Officer & Corp Secy
Exercise / conversionCommon Stock 2,851 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000094 · wf-form4_151916948514492.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,991

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
FINNERAN JOHN G JRChief Risk Officer & Corp Secy
Exercise / conversionCommon Stock 3,753 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000094 · wf-form4_151916948514492.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: 117,140

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
FINNERAN JOHN G JRChief Risk Officer & Corp Secy
Exercise / conversionCommon Stock 4,302 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000094 · wf-form4_151916948514492.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: 113,387

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 23:32 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Exercise / conversionRestricted Stock Units · Derivative 8,803 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000095 · wf-form4_151916950579221.xml · derivative · entry 16

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,803 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 23:32 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Exercise / conversion2017 Restricted Stock Units · Derivative 2,717 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000095 · wf-form4_151916950579221.xml · derivative · entry 15

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,434

Underlying: Common Stock · 2,717 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 23:32 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Exercise / conversion2016 Restricted Stock Units · Derivative 3,447 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000095 · wf-form4_151916950579221.xml · derivative · entry 14

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,447

Underlying: Common Stock · 3,447 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 23:32 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Exercise / conversion2015 Restricted Stock Units · Derivative 3,721 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000095 · wf-form4_151916950579221.xml · derivative · entry 13

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,721 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 23:32 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Tax withholdingCommon Stock 2,517 $98.67 $248,352.39
Disclosure

SEC source: 0000927628-18-000095 · wf-form4_151916950579221.xml · nonDerivative · entry 11

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,119

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 23:32 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Tax withholdingCommon Stock 2,254 $98.67 $222,402.18
Disclosure

SEC source: 0000927628-18-000095 · wf-form4_151916950579221.xml · nonDerivative · entry 10

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,636

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 23:32 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Tax withholdingCommon Stock 1,607 $98.67 $158,562.69
Disclosure

SEC source: 0000927628-18-000095 · wf-form4_151916950579221.xml · nonDerivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,890

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 23:32 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Disposition to issuerCommon Stock 8,803 $99.52 $876,074.56
Disclosure

SEC source: 0000927628-18-000095 · wf-form4_151916950579221.xml · nonDerivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,497

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 23:32 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Disposition to issuerCommon Stock 2,717 $99.52 $270,395.84
Disclosure

SEC source: 0000927628-18-000095 · wf-form4_151916950579221.xml · nonDerivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,300

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 23:32 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Disposition to issuerCommon Stock 3,447 $99.52 $343,045.44
Disclosure

SEC source: 0000927628-18-000095 · wf-form4_151916950579221.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,017

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 23:32 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Disposition to issuerCommon Stock 3,721 $99.52 $370,313.92
Disclosure

SEC source: 0000927628-18-000095 · wf-form4_151916950579221.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,464

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 23:32 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Exercise / conversionCommon Stock 8,803 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000095 · wf-form4_151916950579221.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,185

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 23:32 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Exercise / conversionCommon Stock 2,717 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000095 · wf-form4_151916950579221.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,382

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 23:32 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Exercise / conversionCommon Stock 3,447 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000095 · wf-form4_151916950579221.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,665

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 23:32 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Exercise / conversionCommon Stock 3,721 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000095 · wf-form4_151916950579221.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,218

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 23:32 UTC
Newkirk Christopher TPres., Intl and Small Business
Exercise / conversionRestricted Stock Units · Derivative 5,212 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000096 · wf-form4_151916952447835.xml · derivative · entry 12

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,212 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 23:32 UTC
Newkirk Christopher TPres., Intl and Small Business
Exercise / conversion2017 Restricted Stock Units · Derivative 1,253 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000096 · wf-form4_151916952447835.xml · derivative · entry 11

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,507

Underlying: Common Stock · 1,253 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, 2018 and annually thereafter.

F7 · 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 23:32 UTC
Newkirk Christopher TPres., Intl and Small Business
Exercise / conversion2016 Restricted Stock Units · Derivative 1,419 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000096 · wf-form4_151916952447835.xml · derivative · entry 10

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,419

Underlying: Common Stock · 1,419 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, 2017 and annually thereafter.

F6 · 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 23:32 UTC
Newkirk Christopher TPres., Intl and Small Business
Tax withholdingCommon Stock 901 $98.67 $88,901.67
Disclosure

SEC source: 0000927628-18-000096 · wf-form4_151916952447835.xml · nonDerivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,827

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 23:32 UTC
Newkirk Christopher TPres., Intl and Small Business
Tax withholdingCommon Stock 994 $98.67 $98,077.98
Disclosure

SEC source: 0000927628-18-000096 · wf-form4_151916952447835.xml · nonDerivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,728

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

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