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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 23:32 UTC
Newkirk Christopher TPres., Intl and Small Business
Tax withholdingCommon Stock 804 $98.67 $79,330.68
Disclosure

SEC source: 0000927628-18-000096 · wf-form4_151916952447835.xml · nonDerivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,722

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
Newkirk Christopher TPres., Intl and Small Business
Disposition to issuerCommon Stock 5,212 $99.52 $518,698.24
Disclosure

SEC source: 0000927628-18-000096 · wf-form4_151916952447835.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,526

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
Newkirk Christopher TPres., Intl and Small Business
Disposition to issuerCommon Stock 1,253 $99.52 $124,698.56
Disclosure

SEC source: 0000927628-18-000096 · wf-form4_151916952447835.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,738

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
Disposition to issuerCommon Stock 1,419 $99.52 $141,218.88
Disclosure

SEC source: 0000927628-18-000096 · wf-form4_151916952447835.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,991

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 / conversionCommon Stock 5,212 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000096 · wf-form4_151916952447835.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,410

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
Newkirk Christopher TPres., Intl and Small Business
Exercise / conversionCommon Stock 1,253 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000096 · wf-form4_151916952447835.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,198

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 / conversionCommon Stock 1,419 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000096 · wf-form4_151916952447835.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,945

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 23:33 UTC
Santos KleberPres., Retail & Direct Banking
Exercise / conversionRestricted Stock Units · Derivative 4,412 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000098 · wf-form4_151916956374541.xml · derivative · entry 15

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,412 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 23:33 UTC
Santos KleberPres., Retail & Direct Banking
Exercise / conversion2017 Restricted Stock Units · Derivative 1,263 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000098 · wf-form4_151916956374541.xml · derivative · entry 14

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,526

Underlying: Common Stock · 1,263 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 23:33 UTC
Santos KleberPres., Retail & Direct Banking
Exercise / conversion2016 Restricted Stock Units · Derivative 1,636 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000098 · wf-form4_151916956374541.xml · derivative · entry 13

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,636

Underlying: Common Stock · 1,636 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 23:33 UTC
Santos KleberPres., Retail & Direct Banking
Exercise / conversion2015 Restricted Stock Units · Derivative 502 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000098 · wf-form4_151916956374541.xml · derivative · entry 12

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 502 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 23:33 UTC
Santos KleberPres., Retail & Direct Banking
Tax withholdingCommon Stock 917 $98.67 $90,480.39
Disclosure

SEC source: 0000927628-18-000098 · wf-form4_151916956374541.xml · nonDerivative · entry 11

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,501

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 23:33 UTC
Santos KleberPres., Retail & Direct Banking
Tax withholdingCommon Stock 1,181 $98.67 $116,529.27
Disclosure

SEC source: 0000927628-18-000098 · wf-form4_151916956374541.xml · nonDerivative · entry 10

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,418

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 23:33 UTC
Santos KleberPres., Retail & Direct Banking
Tax withholdingCommon Stock 698 $98.67 $68,871.66
Disclosure

SEC source: 0000927628-18-000098 · wf-form4_151916956374541.xml · nonDerivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,599

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 23:33 UTC
Santos KleberPres., Retail & Direct Banking
Disposition to issuerCommon Stock 4,412 $99.52 $439,082.24
Disclosure

SEC source: 0000927628-18-000098 · wf-form4_151916956374541.xml · nonDerivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,297

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 23:33 UTC
Santos KleberPres., Retail & Direct Banking
Disposition to issuerCommon Stock 1,263 $99.52 $125,693.76
Disclosure

SEC source: 0000927628-18-000098 · wf-form4_151916956374541.xml · nonDerivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,709

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 23:33 UTC
Santos KleberPres., Retail & Direct Banking
Disposition to issuerCommon Stock 1,636 $99.52 $162,814.72
Disclosure

SEC source: 0000927628-18-000098 · wf-form4_151916956374541.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,972

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 23:33 UTC
Santos KleberPres., Retail & Direct Banking
Disposition to issuerCommon Stock 502 $99.52 $49,959.04
Disclosure

SEC source: 0000927628-18-000098 · wf-form4_151916956374541.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,608

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 23:33 UTC
Santos KleberPres., Retail & Direct Banking
Exercise / conversionCommon Stock 4,412 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000098 · wf-form4_151916956374541.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,110

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 23:33 UTC
Santos KleberPres., Retail & Direct Banking
Exercise / conversionCommon Stock 1,263 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000098 · wf-form4_151916956374541.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,698

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 23:33 UTC
Santos KleberPres., Retail & Direct Banking
Exercise / conversionCommon Stock 1,636 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000098 · wf-form4_151916956374541.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,435

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 23:33 UTC
Santos KleberPres., Retail & Direct Banking
Exercise / conversionCommon Stock 502 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000098 · wf-form4_151916956374541.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,799

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
Sanjiv YajnikPresident, Financial Services
Exercise / conversionRestricted Stock Units · Derivative 8,641 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000097 · wf-form4_151916954309100.xml · derivative · entry 15

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,641 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
Sanjiv YajnikPresident, Financial Services
Exercise / conversion2017 Restricted Stock Units · Derivative 2,708 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000097 · wf-form4_151916954309100.xml · derivative · entry 14

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,417

Underlying: Common Stock · 2,708 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 23:32 UTC
Sanjiv YajnikPresident, Financial Services
Exercise / conversion2016 Restricted Stock Units · Derivative 3,565 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000097 · wf-form4_151916954309100.xml · derivative · entry 13

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,566

Underlying: Common Stock · 3,565 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 23:32 UTC
Sanjiv YajnikPresident, Financial Services
Exercise / conversion2015 Restricted Stock Units · Derivative 4,048 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000097 · wf-form4_151916954309100.xml · derivative · entry 12

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,048 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 23:32 UTC
Sanjiv YajnikPresident, Financial Services
Tax withholdingCommon Stock 1,833 $98.67 $180,862.11
Disclosure

SEC source: 0000927628-18-000097 · wf-form4_151916954309100.xml · nonDerivative · entry 11

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,821

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
Sanjiv YajnikPresident, Financial Services
Tax withholdingCommon Stock 1,672 $98.67 $164,976.24
Disclosure

SEC source: 0000927628-18-000097 · wf-form4_151916954309100.xml · nonDerivative · entry 10

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,654

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
Sanjiv YajnikPresident, Financial Services
Tax withholdingCommon Stock 1,215 $98.67 $119,884.05
Disclosure

SEC source: 0000927628-18-000097 · wf-form4_151916954309100.xml · nonDerivative · entry 9

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,326

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
Sanjiv YajnikPresident, Financial Services
Disposition to issuerCommon Stock 8,641 $99.52 $859,952.32
Disclosure

SEC source: 0000927628-18-000097 · wf-form4_151916954309100.xml · nonDerivative · entry 8

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,541

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
Sanjiv YajnikPresident, Financial Services
Disposition to issuerCommon Stock 2,708 $99.52 $269,500.16
Disclosure

SEC source: 0000927628-18-000097 · wf-form4_151916954309100.xml · nonDerivative · entry 7

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,182

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
Sanjiv YajnikPresident, Financial Services
Disposition to issuerCommon Stock 3,565 $99.52 $354,788.80
Disclosure

SEC source: 0000927628-18-000097 · wf-form4_151916954309100.xml · nonDerivative · entry 6

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,890

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
Sanjiv YajnikPresident, Financial Services
Disposition to issuerCommon Stock 4,048 $99.52 $402,856.96
Disclosure

SEC source: 0000927628-18-000097 · wf-form4_151916954309100.xml · nonDerivative · entry 5

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,455

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
Sanjiv YajnikPresident, Financial Services
Exercise / conversionCommon Stock 8,641 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000097 · wf-form4_151916954309100.xml · nonDerivative · entry 4

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,503

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
Sanjiv YajnikPresident, Financial Services
Exercise / conversionCommon Stock 2,708 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000097 · wf-form4_151916954309100.xml · nonDerivative · entry 3

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,862

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
Sanjiv YajnikPresident, Financial Services
Exercise / conversionCommon Stock 3,565 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000097 · wf-form4_151916954309100.xml · nonDerivative · entry 2

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,154

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
Sanjiv YajnikPresident, Financial Services
Exercise / conversionCommon Stock 4,048 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000097 · wf-form4_151916954309100.xml · nonDerivative · entry 1

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,589

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 23:33 UTC
Slocum MichaelPresident, Commercial Banking
Exercise / conversionRestricted Stock Units · Derivative 8,050 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000099 · wf-form4_151916958490026.xml · derivative · entry 15

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,050 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 23:33 UTC
Slocum MichaelPresident, Commercial Banking
Exercise / conversion2017 Restricted Stock Units · Derivative 2,503 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000099 · wf-form4_151916958490026.xml · derivative · entry 14

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,007

Underlying: Common Stock · 2,503 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 23:33 UTC
Slocum MichaelPresident, Commercial Banking
Exercise / conversion2016 Restricted Stock Units · Derivative 3,227 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000099 · wf-form4_151916958490026.xml · derivative · entry 13

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,228

Underlying: Common Stock · 3,227 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 23:33 UTC
Slocum MichaelPresident, Commercial Banking
Exercise / conversion2015 Restricted Stock Units · Derivative 3,576 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000099 · wf-form4_151916958490026.xml · derivative · entry 12

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,576 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 23:33 UTC
Slocum MichaelPresident, Commercial Banking
Tax withholdingCommon Stock 2,537 $98.67 $250,325.79
Disclosure

SEC source: 0000927628-18-000099 · wf-form4_151916958490026.xml · nonDerivative · entry 11

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,735

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 23:33 UTC
Slocum MichaelPresident, Commercial Banking
Tax withholdingCommon Stock 2,979 $98.67 $293,937.93
Disclosure

SEC source: 0000927628-18-000099 · wf-form4_151916958490026.xml · nonDerivative · entry 10

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,272

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 23:33 UTC
Slocum MichaelPresident, Commercial Banking
Tax withholdingCommon Stock 2,367 $98.67 $233,551.89
Disclosure

SEC source: 0000927628-18-000099 · wf-form4_151916958490026.xml · nonDerivative · entry 9

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,251

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 23:33 UTC
Slocum MichaelPresident, Commercial Banking
Disposition to issuerCommon Stock 8,050 $99.52 $801,136.00
Disclosure

SEC source: 0000927628-18-000099 · wf-form4_151916958490026.xml · nonDerivative · entry 8

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,618

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 23:33 UTC
Slocum MichaelPresident, Commercial Banking
Disposition to issuerCommon Stock 2,503 $99.52 $249,098.56
Disclosure

SEC source: 0000927628-18-000099 · wf-form4_151916958490026.xml · nonDerivative · entry 7

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,668

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 23:33 UTC
Slocum MichaelPresident, Commercial Banking
Disposition to issuerCommon Stock 3,227 $99.52 $321,151.04
Disclosure

SEC source: 0000927628-18-000099 · wf-form4_151916958490026.xml · nonDerivative · entry 6

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,171

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 23:33 UTC
Slocum MichaelPresident, Commercial Banking
Disposition to issuerCommon Stock 3,576 $99.52 $355,883.52
Disclosure

SEC source: 0000927628-18-000099 · wf-form4_151916958490026.xml · nonDerivative · entry 5

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,398

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 23:33 UTC
Slocum MichaelPresident, Commercial Banking
Exercise / conversionCommon Stock 8,050 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000099 · wf-form4_151916958490026.xml · nonDerivative · entry 4

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,974

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 23:33 UTC
Slocum MichaelPresident, Commercial Banking
Exercise / conversionCommon Stock 2,503 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000099 · wf-form4_151916958490026.xml · nonDerivative · entry 3

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,924

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

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

Read SEC document

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