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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
December 04, 2017 Filed Dec 5, 2017 22:05 UTC
Alexander Robert M.Chief Information Officer
SaleCommon Stock 63,740 $94.74 $6,038,727.60
Disclosure

SEC source: 0000927628-17-000295 · wf-form4_151251150114442.xml · nonDerivative · entry 3

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,603

F2 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on January 31, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
December 04, 2017 Filed Dec 5, 2017 22:05 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionCommon Stock 63,740 $48.95 $3,120,073.00
Disclosure

SEC source: 0000927628-17-000295 · wf-form4_151251150114442.xml · nonDerivative · entry 2

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 153,343

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 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on January 31, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
December 04, 2017 Filed Dec 7, 2017 01:24 UTC
Sanjiv YajnikPresident, Financial Services
Exercise / conversionStock Options · Derivative 37,204 $0.00 Strike: $48.28 $0.00
Disclosure

SEC source: 0000927628-17-000304 · wf-form4_151260988241098.xml · derivative · entry 3

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 37,204 shares

Expires 2021-01-25

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 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 11, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F3 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on January 26, 2012 and annually thereafter.

Read SEC document
December 04, 2017 Filed Dec 7, 2017 01:24 UTC
Sanjiv YajnikPresident, Financial Services
SaleCommon Stock 30,652 $95.00 $2,911,940.00
Disclosure

SEC source: 0000927628-17-000304 · wf-form4_151260988241098.xml · nonDerivative · entry 2

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 176,766

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 11, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
December 04, 2017 Filed Dec 7, 2017 01:24 UTC
Sanjiv YajnikPresident, Financial Services
Exercise / conversionCommon Stock 37,204 $48.28 $1,796,209.12
Disclosure

SEC source: 0000927628-17-000304 · wf-form4_151260988241098.xml · nonDerivative · entry 1

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 207,418

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 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 11, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

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
December 04, 2017 Filed Dec 7, 2017 01:25 UTC Exercise / conversionStock Options · Derivative 7,000 $0.00 Strike: $16.93 $0.00
Disclosure

SEC source: 0000927628-17-000305 · wf-form4_151260989884835.xml · derivative · entry 4

WARNER BRADFORD H · CIK 0001195086 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,229

Underlying: Common Stock · 7,000 shares

Expires 2019-04-22

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 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 2, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
December 04, 2017 Filed Dec 7, 2017 01:25 UTC SaleCommon Stock 7,000 $94.94 $664,580.00
Disclosure

SEC source: 0000927628-17-000305 · wf-form4_151260989884835.xml · nonDerivative · entry 2

WARNER BRADFORD H · CIK 0001195086 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,085

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 2, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $94.29 to $95.04. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
December 04, 2017 Filed Dec 7, 2017 01:25 UTC Exercise / conversionCommon Stock 7,000 $16.93 $118,510.00
Disclosure

SEC source: 0000927628-17-000305 · wf-form4_151260989884835.xml · nonDerivative · entry 1

WARNER BRADFORD H · CIK 0001195086 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,085

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 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 2, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
December 04, 2017 Filed Dec 7, 2017 01:25 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
SaleCommon Stock 6,490 $95.00 $616,550.00
Disclosure

SEC source: 0000927628-17-000307 · wf-form4_151260993448488.xml · nonDerivative · entry 1

FINNERAN JOHN G JR · CIK 0001238033 · Gen. Counsel & Corp. Secretary

10b5-1 filing: Not disclosed

Ownership: Indirect · Finneran/Cotter Children's Trust

Disclosed balance after: 15,764

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on February 3, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
December 04, 2017 Filed Dec 7, 2017 01:25 UTC
Slocum MichaelPresident, Commercial Banking
SaleCommon Stock 8,039 $95.00 $763,705.00
Disclosure

SEC source: 0000927628-17-000306 · wf-form4_151260991693557.xml · nonDerivative · entry 1

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,574

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 11, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
December 04, 2017 Filed Dec 7, 2017 01:26 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversionStock Options · Derivative 37,670 $0.00 Strike: $45.75 $0.00
Disclosure

SEC source: 0000927628-17-000309 · wf-form4_151260996810827.xml · derivative · entry 6

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 37,670 shares

Expires 2022-01-30

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 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 2, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F7 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on February 10, 2013 and annually thereafter.

Read SEC document
December 04, 2017 Filed Dec 7, 2017 01:26 UTC
Berson Jory AChief Human Resources Officer
SaleCommon Stock 16,347 $95.04 $1,553,618.88
Disclosure

SEC source: 0000927628-17-000309 · wf-form4_151260996810827.xml · nonDerivative · entry 4

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,955

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 2, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $94.28 to $95.11. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
December 04, 2017 Filed Dec 7, 2017 01:26 UTC
Berson Jory AChief Human Resources Officer
SaleCommon Stock 18,721 $94.97 $1,777,933.37
Disclosure

SEC source: 0000927628-17-000309 · wf-form4_151260996810827.xml · nonDerivative · entry 3

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,302

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 2, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $94.22 to $95.11. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
December 04, 2017 Filed Dec 7, 2017 01:26 UTC
Berson Jory AChief Human Resources Officer
SaleCommon Stock 31,422 $95.04 $2,986,346.88
Disclosure

SEC source: 0000927628-17-000309 · wf-form4_151260996810827.xml · nonDerivative · entry 2

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,023

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 2, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $94.24 to $95.20. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
December 04, 2017 Filed Dec 7, 2017 01:26 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversionCommon Stock 37,670 $45.75 $1,723,402.50
Disclosure

SEC source: 0000927628-17-000309 · wf-form4_151260996810827.xml · nonDerivative · entry 1

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,445

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 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 2, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

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
December 04, 2017 Filed Dec 7, 2017 01:26 UTC Exercise / conversionStock Options · Derivative 7,000 $0.00 Strike: $16.93 $0.00
Disclosure

SEC source: 0000927628-17-000308 · wf-form4_151260995172295.xml · derivative · entry 4

HACKETT ANN F · CIK 0001188662 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,361

Underlying: Common Stock · 7,000 shares

Expires 2019-04-22

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 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on July 28, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
December 04, 2017 Filed Dec 7, 2017 01:26 UTC SaleCommon Stock 7,000 $95.00 $665,000.00
Disclosure

SEC source: 0000927628-17-000308 · wf-form4_151260995172295.xml · nonDerivative · entry 2

HACKETT ANN F · CIK 0001188662 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,011

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on July 28, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
December 04, 2017 Filed Dec 7, 2017 01:26 UTC Exercise / conversionCommon Stock 7,000 $16.93 $118,510.00
Disclosure

SEC source: 0000927628-17-000308 · wf-form4_151260995172295.xml · nonDerivative · entry 1

HACKETT ANN F · CIK 0001188662 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,011

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 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on July 28, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
December 01, 2017 Filed Dec 5, 2017 22:05 UTC
Alexander Robert M.Chief Information Officer
SaleCommon Stock 5,000 $92.18 $460,900.00
Disclosure

SEC source: 0000927628-17-000295 · wf-form4_151251150114442.xml · nonDerivative · entry 1

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,603

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on October 31, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
November 13, 2017 Filed Nov 15, 2017 21:37 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
GiftCommon Stock 2,296 $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000292 · wf-form4_151078182738134.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,678,265

F1 · balance_after: Includes shares acquired by the reporting person through the Company's Dividend Reinvestment Plan since the last reported transaction.

Read SEC document
November 08, 2017 Filed Nov 13, 2017 21:47 UTC
Wassmer Michael JPresident, U.S. Card
GiftCommon Stock 903 $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000288 · wf-form4_151060962414473.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,827

F1 · 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
November 03, 2017 Filed Nov 7, 2017 21:16 UTC
Slocum MichaelPresident, Commercial Banking
SaleCommon Stock 8,292 $91.99 $762,781.08
Disclosure

SEC source: 0000927628-17-000284 · wf-form4_151008935313263.xml · nonDerivative · entry 1

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,613

Read SEC document
October 31, 2017 Filed Nov 2, 2017 20:52 UTC
Eder Noelle KChief Card Cust. Exp. Officer
Tax withholdingCommon Stock 2,997 $92.18 $276,263.46
Disclosure

SEC source: 0000927628-17-000281 · wf-form4_150965594435081.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,806

F1 · kind: These shares were withheld by the Company to satisfy the reporting person's tax obligation associated with the vesting of a previously reported award of restricted stock. This share withholding was authorized in the restricted stock award agreement.

Read SEC document
October 27, 2017 Filed Oct 31, 2017 20:46 UTC Exercise / conversionStock Options · Derivative 8,504 $0.00 Strike: $47.29 $0.00
Disclosure

SEC source: 0000927628-17-000275 · wf-form4_150948274880543.xml · derivative · entry 5

SHATTUCK MAYO A III · CIK 0001087426 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,504 shares

Expires 2018-04-23

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.

Read SEC document
October 27, 2017 Filed Oct 31, 2017 20:46 UTC Exercise / conversionStock Options · Derivative 15,663 $0.00 Strike: $16.93 $0.00
Disclosure

SEC source: 0000927628-17-000275 · wf-form4_150948274880543.xml · derivative · entry 4

SHATTUCK MAYO A III · CIK 0001087426 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,663 shares

Expires 2019-04-22

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.

Read SEC document
October 27, 2017 Filed Oct 31, 2017 20:46 UTC SaleCommon Stock 24,167 $92.71 $2,240,522.57
Disclosure

SEC source: 0000927628-17-000275 · wf-form4_150948274880543.xml · nonDerivative · entry 3

SHATTUCK MAYO A III · CIK 0001087426 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,950

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $92.60 to $92.90. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
October 27, 2017 Filed Oct 31, 2017 20:46 UTC Exercise / conversionCommon Stock 8,504 $47.29 $402,154.16
Disclosure

SEC source: 0000927628-17-000275 · wf-form4_150948274880543.xml · nonDerivative · entry 2

SHATTUCK MAYO A III · CIK 0001087426 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,117

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.

Read SEC document
October 27, 2017 Filed Oct 31, 2017 20:46 UTC Exercise / conversionCommon Stock 15,663 $16.93 $265,174.59
Disclosure

SEC source: 0000927628-17-000275 · wf-form4_150948274880543.xml · nonDerivative · entry 1

SHATTUCK MAYO A III · CIK 0001087426 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,613

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.

Read SEC document
October 25, 2017 Filed Oct 27, 2017 20:24 UTC Exercise / conversionStock Options · Derivative 11,055 $0.00 Strike: $47.29 $0.00
Disclosure

SEC source: 0000927628-17-000273 · wf-form4_150913570492320.xml · derivative · entry 4

HACKETT ANN F · CIK 0001188662 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 11,055 shares

Expires 2018-04-23

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 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on July 28, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
October 25, 2017 Filed Oct 27, 2017 20:24 UTC SaleCommon Stock 11,055 $91.18 $1,007,994.90
Disclosure

SEC source: 0000927628-17-000273 · wf-form4_150913570492320.xml · nonDerivative · entry 2

HACKETT ANN F · CIK 0001188662 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,011

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on July 28, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $91.10 to $92.00. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
October 25, 2017 Filed Oct 27, 2017 20:24 UTC Exercise / conversionCommon Stock 11,055 $47.29 $522,790.95
Disclosure

SEC source: 0000927628-17-000273 · wf-form4_150913570492320.xml · nonDerivative · entry 1

HACKETT ANN F · CIK 0001188662 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,066

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 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on July 28, 2017, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
July 26, 2017 Filed Jul 27, 2017 22:00 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
Exercise / conversionStock Options · Derivative 67,419 $0.00 Strike: $50.99 $0.00
Disclosure

SEC source: 0000927628-17-000240 · wf-form4_150119280973320.xml · derivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 67,419 shares

Expires 2017-12-09

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 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 13, 2015, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F7 · derivative.exercise_date: The grant became exercisable in full on December 10, 2010, the third anniversary of the grant date.

Read SEC document
July 26, 2017 Filed Jul 27, 2017 22:00 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
SaleCommon Stock 6,882 $86.87 $597,839.34
Disclosure

SEC source: 0000927628-17-000240 · wf-form4_150119280973320.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,680,556

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 13, 2015, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $86.63 to $87.21. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
July 26, 2017 Filed Jul 27, 2017 22:00 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
SaleCommon Stock 60,537 $86.20 $5,218,289.40
Disclosure

SEC source: 0000927628-17-000240 · wf-form4_150119280973320.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,687,438

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 13, 2015, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $85.63 to $86.63. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
July 26, 2017 Filed Jul 27, 2017 22:00 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
Exercise / conversionCommon Stock 67,419 $50.99 $3,437,694.81
Disclosure

SEC source: 0000927628-17-000240 · wf-form4_150119280973320.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,747,975

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 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 13, 2015, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
July 25, 2017 Filed Jul 27, 2017 22:00 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
Exercise / conversionStock Options · Derivative 300,000 $0.00 Strike: $50.99 $0.00
Disclosure

SEC source: 0000927628-17-000240 · wf-form4_150119280973320.xml · derivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,419

Underlying: Common Stock · 300,000 shares

Expires 2017-12-09

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 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 13, 2015, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F7 · derivative.exercise_date: The grant became exercisable in full on December 10, 2010, the third anniversary of the grant date.

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July 25, 2017 Filed Jul 27, 2017 22:00 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
SaleCommon Stock 18,288 $87.80 $1,605,686.40
Disclosure

SEC source: 0000927628-17-000240 · wf-form4_150119280973320.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,680,556

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 13, 2015, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $87.68 to $88.15. Information regarding the number of shares sold at each price will be provided upon request.

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July 25, 2017 Filed Jul 27, 2017 22:00 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
SaleCommon Stock 281,712 $87.15 $24,551,200.80
Disclosure

SEC source: 0000927628-17-000240 · wf-form4_150119280973320.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,698,844

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 13, 2015, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $86.69 to $87.67. Information regarding the number of shares sold at each price will be provided upon request.

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July 25, 2017 Filed Jul 27, 2017 22:00 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
Exercise / conversionCommon Stock 300,000 $50.99 $15,297,000.00
Disclosure

SEC source: 0000927628-17-000240 · wf-form4_150119280973320.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,980,556

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 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 13, 2015, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

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

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July 03, 2017 Filed Jul 5, 2017 20:07 UTC
Blackley Richard ScottChief Financial Officer
GrantRestricted Stock Units · Derivative 453 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000233 · wf-form4_149928522431070.xml · derivative · entry 1

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,969

Underlying: Common Stock · 453 shares

Expires 2018-02-15

F1 · derivative.exercise_price: Each restricted stock unit will vest on January 1, 2018 and will be 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.

F1 · derivative.exercise_date: Each restricted stock unit will vest on January 1, 2018 and will be 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.

F1 · derivative.expiration_date: Each restricted stock unit will vest on January 1, 2018 and will be 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.

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May 09, 2017 Filed May 11, 2017 20:56 UTC
Blackley Richard ScottChief Financial Officer
Tax withholdingCommon Stock 1,714 $82.32 $141,096.48
Disclosure

SEC source: 0000927628-17-000205 · wf-form4_149453616342626.xml · nonDerivative · entry 1

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,259

F1 · kind: These shares were withheld by the Company to satisfy the reporting person's tax obligation associated with the vesting of a previously reported award of restricted stock. This share withholding was authorized in the restricted stock award agreement.

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May 05, 2017 Filed May 8, 2017 20:25 UTC
Slocum MichaelPresident, Commercial Banking
SaleCommon Stock 6,276 $82.16 $515,636.16
Disclosure

SEC source: 0000927628-17-000200 · wf-form4_149427513949323.xml · nonDerivative · entry 1

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,905

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $82.15 to $82.16. Information regarding the number of shares sold at each price will be provided upon request.

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May 03, 2017 Filed May 5, 2017 21:42 UTC GrantCommon Stock 2,061 $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000189 · wf-form4_149402052418730.xml · nonDerivative · entry 1

HACKETT ANN F · CIK 0001188662 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,011

F1 · security: Restricted stock units which vest in their entirety on May 3, 2018 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

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May 03, 2017 Filed May 5, 2017 21:42 UTC GrantCommon Stock 2,061 $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000190 · wf-form4_149402054212472.xml · nonDerivative · entry 1

HAY LEWIS III · CIK 0001182705 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,283

F1 · security: Restricted stock units which vest in their entirety on May 3, 2018 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

Read SEC document
May 03, 2017 Filed May 5, 2017 21:42 UTC GrantCommon Stock 2,061 $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000191 · wf-form4_149402055972493.xml · nonDerivative · entry 1

JENKINS BENJAMIN P III · CIK 0001232069 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,800

F1 · security: Restricted stock units which vest in their entirety on May 3, 2018 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

Read SEC document
May 03, 2017 Filed May 5, 2017 21:43 UTC GrantCommon Stock 2,061 $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000193 · wf-form4_149402059404660.xml · nonDerivative · entry 1

LEROY PIERRE E · CIK 0001055709 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,361

F1 · security: Restricted stock units which vest in their entirety on May 3, 2018 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

Read SEC document
May 03, 2017 Filed May 5, 2017 21:43 UTC GrantCommon Stock 2,061 $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000192 · wf-form4_149402057683839.xml · nonDerivative · entry 1

Killalea Peter Thomas · CIK 0001638728 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,151

F1 · security: Restricted stock units which vest in their entirety on May 3, 2018 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

Read SEC document
May 03, 2017 Filed May 5, 2017 21:43 UTC GrantCommon Stock 2,061 $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000194 · wf-form4_149402061141706.xml · nonDerivative · entry 1

RASKIND PETER E · CIK 0001181669 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,192

F1 · security: Restricted stock units which vest in their entirety on May 3, 2018 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

Read SEC document
May 03, 2017 Filed May 5, 2017 21:44 UTC GrantCommon Stock 2,061 $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000196 · wf-form4_149402064678626.xml · nonDerivative · entry 1

WARNER BRADFORD H · CIK 0001195086 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,085

F1 · security: Restricted stock units which vest in their entirety on May 3, 2018 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

Read SEC document
May 03, 2017 Filed May 5, 2017 21:44 UTC GrantCommon Stock 2,061 $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000195 · wf-form4_149402062780785.xml · nonDerivative · entry 1

SHATTUCK MAYO A III · CIK 0001087426 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,950

F1 · security: Restricted stock units which vest in their entirety on May 3, 2018 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

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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.