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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

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 23:33 UTC
Slocum MichaelPresident, Commercial Banking
Exercise / conversionCommon Stock 3,227 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000099 · wf-form4_151916958490026.xml · nonDerivative · entry 2

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,421

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 / conversionCommon Stock 3,576 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000099 · wf-form4_151916958490026.xml · nonDerivative · entry 1

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,194

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
Wassmer Michael JPresident, U.S. Card
Exercise / conversionRestricted Stock Units · Derivative 7,818 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000100 · wf-form4_151916960332975.xml · derivative · entry 16

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,818 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
Wassmer Michael JPresident, U.S. Card
Exercise / conversion2017 Restricted Stock Units · Derivative 2,349 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000100 · wf-form4_151916960332975.xml · derivative · entry 15

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,700

Underlying: Common Stock · 2,349 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
Wassmer Michael JPresident, U.S. Card
Exercise / conversion2016 Restricted Stock Units · Derivative 2,732 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000100 · wf-form4_151916960332975.xml · derivative · entry 14

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,732

Underlying: Common Stock · 2,732 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
Wassmer Michael JPresident, U.S. Card
Exercise / conversion2015 Restricted Stock Units · Derivative 2,317 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000100 · wf-form4_151916960332975.xml · derivative · entry 13

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,317 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
Wassmer Michael JPresident, U.S. Card
Tax withholdingCommon Stock 2,743 $98.67 $270,651.81
Disclosure

SEC source: 0000927628-18-000100 · wf-form4_151916960332975.xml · nonDerivative · entry 11

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,611

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
Wassmer Michael JPresident, U.S. Card
Tax withholdingCommon Stock 1,927 $98.67 $190,137.09
Disclosure

SEC source: 0000927628-18-000100 · wf-form4_151916960332975.xml · nonDerivative · entry 10

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,354

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
Wassmer Michael JPresident, U.S. Card
Tax withholdingCommon Stock 1,366 $98.67 $134,783.22
Disclosure

SEC source: 0000927628-18-000100 · wf-form4_151916960332975.xml · nonDerivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,281

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
Wassmer Michael JPresident, U.S. Card
Disposition to issuerCommon Stock 7,818 $99.52 $778,047.36
Disclosure

SEC source: 0000927628-18-000100 · wf-form4_151916960332975.xml · nonDerivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,647

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
Wassmer Michael JPresident, U.S. Card
Disposition to issuerCommon Stock 2,349 $99.52 $233,772.48
Disclosure

SEC source: 0000927628-18-000100 · wf-form4_151916960332975.xml · nonDerivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,465

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
Wassmer Michael JPresident, U.S. Card
Disposition to issuerCommon Stock 2,732 $99.52 $271,888.64
Disclosure

SEC source: 0000927628-18-000100 · wf-form4_151916960332975.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,814

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
Wassmer Michael JPresident, U.S. Card
Disposition to issuerCommon Stock 2,317 $99.52 $230,587.84
Disclosure

SEC source: 0000927628-18-000100 · wf-form4_151916960332975.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,546

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
Wassmer Michael JPresident, U.S. Card
Exercise / conversionCommon Stock 7,818 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000100 · wf-form4_151916960332975.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,863

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
Wassmer Michael JPresident, U.S. Card
Exercise / conversionCommon Stock 2,349 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000100 · wf-form4_151916960332975.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,045

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
Wassmer Michael JPresident, U.S. Card
Exercise / conversionCommon Stock 2,732 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000100 · wf-form4_151916960332975.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,696

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
Wassmer Michael JPresident, U.S. Card
Exercise / conversionCommon Stock 2,317 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000100 · wf-form4_151916960332975.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,964

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 01, 2018 Filed Feb 5, 2018 22:32 UTC
Alexander Robert M.Chief Information Officer
Grant2018 Restricted Stock Units · Derivative 6,022 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000043 · wf-form4_151786990583400.xml · derivative · entry 4

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,022

Underlying: Common Stock · 6,022 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit will be settled in cash based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the vesting date.

F3 · shares: This award is reported net of 195 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

F4 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2019 and annually thereafter.

F4 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2019 and annually thereafter.

F3 · derivative.underlying_shares: This award is reported net of 195 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

Read SEC document
February 01, 2018 Filed Feb 5, 2018 22:32 UTC
Alexander Robert M.Chief Information Officer
GrantCommon Stock 10,342 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000043 · wf-form4_151786990583400.xml · nonDerivative · entry 1

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,615

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2019 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
February 01, 2018 Filed Feb 5, 2018 22:32 UTC
Berson Jory AChief Human Resources Officer
Grant2018 Restricted Stock Units · Derivative 5,893 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000044 · wf-form4_151786992468563.xml · derivative · entry 3

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,893

Underlying: Common Stock · 5,893 shares

Expires not disclosed

F4 · derivative.exercise_price: Each restricted stock unit will be settled in cash based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the vesting date.

F5 · shares: This award is reported net of 190 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

F6 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2019 and annually thereafter.

F6 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2019 and annually thereafter.

F5 · derivative.underlying_shares: This award is reported net of 190 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

Read SEC document
February 01, 2018 Filed Feb 5, 2018 22:32 UTC
Berson Jory AChief Human Resources Officer
GrantCommon Stock 11,140 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000044 · wf-form4_151786992468563.xml · nonDerivative · entry 1

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,203

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2019 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

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

Read SEC document
February 01, 2018 Filed Feb 5, 2018 22:32 UTC
Blackley Richard ScottChief Financial Officer
Grant2018 Restricted Stock Units · Derivative 5,900 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000045 · wf-form4_151786994244627.xml · derivative · entry 2

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,900

Underlying: Common Stock · 5,900 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit will be settled in cash based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the vesting date.

F3 · shares: This award is reported net of 191 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

F4 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2019 and annually thereafter.

F4 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2019 and annually thereafter.

F3 · derivative.underlying_shares: This award is reported net of 191 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

Read SEC document
February 01, 2018 Filed Feb 5, 2018 22:32 UTC
Blackley Richard ScottChief Financial Officer
GrantCommon Stock 11,167 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000045 · wf-form4_151786994244627.xml · nonDerivative · entry 1

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,426

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2019 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
February 01, 2018 Filed Feb 5, 2018 22:32 UTC
Borgmann Kevin S.Senior Advisor to the CEO
Grant2018 Restricted Stock Units · Derivative 6,640 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000046 · wf-form4_151786996172003.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,640

Underlying: Common Stock · 6,640 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit will be settled in cash based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the vesting date.

F3 · shares: This award is reported net of 226 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

F4 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2019 and annually thereafter.

F4 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2019 and annually thereafter.

F3 · derivative.underlying_shares: This award is reported net of 226 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

Read SEC document
February 01, 2018 Filed Feb 5, 2018 22:32 UTC
Borgmann Kevin S.Senior Advisor to the CEO
GrantCommon Stock 13,146 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000046 · wf-form4_151786996172003.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,783

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2019 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
February 01, 2018 Filed Feb 5, 2018 22:33 UTC
Eder Noelle KChief Card Cust. Exp. Officer
Grant2018 Restricted Stock Units · Derivative 4,567 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000048 · wf-form4_151786999788740.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,567

Underlying: Common Stock · 4,567 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit will be settled in cash based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the vesting date.

F3 · shares: This award is reported net of 160 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

F4 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2019 and annually thereafter.

F4 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2019 and annually thereafter.

F3 · derivative.underlying_shares: This award is reported net of 160 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

Read SEC document
February 01, 2018 Filed Feb 5, 2018 22:33 UTC
Eder Noelle KChief Card Cust. Exp. Officer
GrantCommon Stock 8,493 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000048 · wf-form4_151786999788740.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,299

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2019 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
February 01, 2018 Filed Feb 5, 2018 22:33 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
Grant2018 Restricted Stock Units · Derivative 23,730 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000049 · wf-form4_151787001580942.xml · derivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,730

Underlying: Common Stock · 23,730 shares

Expires 2021-02-15

F4 · derivative.exercise_price: Each restricted stock unit will be settled in cash based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the vesting date.

Read SEC document
February 01, 2018 Filed Feb 5, 2018 22:33 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
Exercise / conversion2017 Restricted Stock Units · Derivative 283 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000049 · wf-form4_151787001580942.xml · derivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,392

Underlying: Common Stock · 283 shares

Expires 2020-02-15

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: Represents the automatic withholding of restricted stock units granted in February 2017 which settled in cash based on fair market value on February 1, 2018, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

F2 · kind: Represents the automatic withholding of restricted stock units granted in February 2017 which settled in cash based on fair market value on February 1, 2018, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

Read SEC document
February 01, 2018 Filed Feb 5, 2018 22:33 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
Exercise / conversion2016 Restricted Stock Units · Derivative 384 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000049 · wf-form4_151787001580942.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,223

Underlying: Common Stock · 384 shares

Expires 2019-02-15

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

F1 · derivative.exercise_price: Represents the automatic withholding of restricted stock units granted in February 2016 which settled in cash based on fair market value on February 1, 2018, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

F1 · kind: Represents the automatic withholding of restricted stock units granted in February 2016 which settled in cash based on fair market value on February 1, 2018, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

Read SEC document
February 01, 2018 Filed Feb 5, 2018 22:33 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
Tax withholdingCommon Stock 376 $104.72 $39,374.72
Disclosure

SEC source: 0000927628-18-000049 · wf-form4_151787001580942.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,677,894

F3 · kind: Represents shares automatically withheld in connection with restricted stock units granted in February 2016 with respect to which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

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February 01, 2018 Filed Feb 5, 2018 22:33 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
Tax withholdingCommon Stock 283 $104.72 $29,635.76
Disclosure

SEC source: 0000927628-18-000049 · wf-form4_151787001580942.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,678,270

F2 · kind: Represents the automatic withholding of restricted stock units granted in February 2017 which settled in cash based on fair market value on February 1, 2018, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

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February 01, 2018 Filed Feb 5, 2018 22:33 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
Tax withholdingCommon Stock 384 $104.72 $40,212.48
Disclosure

SEC source: 0000927628-18-000049 · wf-form4_151787001580942.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,678,553

F1 · kind: Represents the automatic withholding of restricted stock units granted in February 2016 which settled in cash based on fair market value on February 1, 2018, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

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February 01, 2018 Filed Feb 5, 2018 22:33 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
Exercise / conversionCommon Stock 283 $104.72 $29,635.76
Disclosure

SEC source: 0000927628-18-000049 · wf-form4_151787001580942.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,678,937

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 · kind: Represents the automatic withholding of restricted stock units granted in February 2017 which settled in cash based on fair market value on February 1, 2018, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

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February 01, 2018 Filed Feb 5, 2018 22:33 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
Exercise / conversionCommon Stock 384 $104.72 $40,212.48
Disclosure

SEC source: 0000927628-18-000049 · wf-form4_151787001580942.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,678,654

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 · kind: Represents the automatic withholding of restricted stock units granted in February 2016 which settled in cash based on fair market value on February 1, 2018, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

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February 01, 2018 Filed Feb 5, 2018 22:34 UTC
FINNERAN JOHN G JRChief Risk Officer & Corp Secy
Grant2018 Restricted Stock Units · Derivative 7,197 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000050 · wf-form4_151787003546518.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,197

Underlying: Common Stock · 7,197 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit will be settled in cash based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the vesting date.

F3 · shares: This award is reported net of 328 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

F4 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2019 and annually thereafter.

F4 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2019 and annually thereafter.

F3 · derivative.underlying_shares: This award is reported net of 328 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

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February 01, 2018 Filed Feb 5, 2018 22:34 UTC
FINNERAN JOHN G JRChief Risk Officer & Corp Secy
GrantCommon Stock 12,534 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000050 · wf-form4_151787003546518.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: 109,085

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2019 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

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February 01, 2018 Filed Feb 5, 2018 22:34 UTC GrantCommon Stock 2,865 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000051 · wf-form4_151787005708573.xml · nonDerivative · entry 1

Golden Timothy P · CIK 0001706865 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,348

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2019 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

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February 01, 2018 Filed Feb 5, 2018 22:34 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Grant2018 Restricted Stock Units · Derivative 7,019 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000052 · wf-form4_151787007546735.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,019

Underlying: Common Stock · 7,019 shares

Expires not disclosed

F3 · derivative.exercise_price: Each restricted stock unit will be settled in cash based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the vesting date.

F4 · shares: This award is reported net of 239 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

F5 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2019 and annually thereafter.

F5 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2019 and annually thereafter.

F4 · derivative.underlying_shares: This award is reported net of 239 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

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February 01, 2018 Filed Feb 5, 2018 22:34 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
GrantCommon Stock 12,071 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000052 · wf-form4_151787007546735.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,497

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2019 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
February 01, 2018 Filed Feb 5, 2018 22:35 UTC
Newkirk Christopher TPres., Intl and Small Business
Grant2018 Restricted Stock Units · Derivative 4,135 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000053 · wf-form4_151787009436429.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,135

Underlying: Common Stock · 4,135 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit will be settled in cash based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the vesting date.

F3 · shares: This award is reported net of 163 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

F4 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2019 and annually thereafter.

F4 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2019 and annually thereafter.

F3 · derivative.underlying_shares: This award is reported net of 163 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

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February 01, 2018 Filed Feb 5, 2018 22:35 UTC
Newkirk Christopher TPres., Intl and Small Business
GrantCommon Stock 7,162 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000053 · wf-form4_151787009436429.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,526

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2019 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
February 01, 2018 Filed Feb 5, 2018 22:35 UTC
Sanjiv YajnikPresident, Financial Services
Grant2018 Restricted Stock Units · Derivative 6,914 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000054 · wf-form4_151787011233632.xml · derivative · entry 2

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,914

Underlying: Common Stock · 6,914 shares

Expires not disclosed

F3 · derivative.exercise_price: Each restricted stock unit will be settled in cash based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the vesting date.

F4 · shares: This award is reported net of 210 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

F5 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2019 and annually thereafter.

F5 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2019 and annually thereafter.

F4 · derivative.underlying_shares: This award is reported net of 210 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

Read SEC document
February 01, 2018 Filed Feb 5, 2018 22:35 UTC
Sanjiv YajnikPresident, Financial Services
GrantCommon Stock 13,047 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000054 · wf-form4_151787011233632.xml · nonDerivative · entry 1

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,541

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2019 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

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

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February 01, 2018 Filed Feb 5, 2018 22:35 UTC
Santos KleberPres., Retail & Direct Banking
Grant2018 Restricted Stock Units · Derivative 4,077 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000055 · wf-form4_151787013020923.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,077

Underlying: Common Stock · 4,077 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit will be settled in cash based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the vesting date.

F3 · shares: This award is reported net of 157 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

F4 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2019 and annually thereafter.

F4 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2019 and annually thereafter.

F3 · derivative.underlying_shares: This award is reported net of 157 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

Read SEC document
February 01, 2018 Filed Feb 5, 2018 22:35 UTC
Santos KleberPres., Retail & Direct Banking
GrantCommon Stock 6,827 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000055 · wf-form4_151787013020923.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,297

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2019 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
February 01, 2018 Filed Feb 5, 2018 22:36 UTC
Slocum MichaelPresident, Commercial Banking
Grant2018 Restricted Stock Units · Derivative 6,319 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000056 · wf-form4_151787014785661.xml · derivative · entry 2

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,319

Underlying: Common Stock · 6,319 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit will be settled in cash based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the vesting date.

F3 · shares: This award is reported net of 318 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

F4 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2019 and annually thereafter.

F4 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2019 and annually thereafter.

F3 · derivative.underlying_shares: This award is reported net of 318 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

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February 01, 2018 Filed Feb 5, 2018 22:36 UTC
Slocum MichaelPresident, Commercial Banking
GrantCommon Stock 11,044 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000056 · wf-form4_151787014785661.xml · nonDerivative · entry 1

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,618

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2019 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
February 01, 2018 Filed Feb 5, 2018 22:36 UTC
Wassmer Michael JPresident, U.S. Card
Grant2018 Restricted Stock Units · Derivative 6,243 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000057 · wf-form4_151787016553958.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,243

Underlying: Common Stock · 6,243 shares

Expires not disclosed

F3 · derivative.exercise_price: Each restricted stock unit will be settled in cash based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the vesting date.

F4 · shares: This award is reported net of 203 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

F5 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2019 and annually thereafter.

F5 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2019 and annually thereafter.

F4 · derivative.underlying_shares: This award is reported net of 203 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

Read SEC document
February 01, 2018 Filed Feb 5, 2018 22:36 UTC
Wassmer Michael JPresident, U.S. Card
GrantCommon Stock 10,743 $0.00 $0.00
Disclosure

SEC source: 0000927628-18-000057 · wf-form4_151787016553958.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,647

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2019 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

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

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