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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

Insider transactions

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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, 2017 Filed Feb 18, 2017 00:07 UTC
Alexander Robert M.Chief Information Officer
Disposition to issuerCommon Stock 3,334 $88.31 $294,425.54
Disclosure

SEC source: 0000927628-17-000096 · wf-form4_148737642566333.xml · nonDerivative · entry 6

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,513

F1 · price: On February 15, 2017 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, 2017 Filed Feb 18, 2017 00:07 UTC
Alexander Robert M.Chief Information Officer
Disposition to issuerCommon Stock 3,607 $88.31 $318,534.17
Disclosure

SEC source: 0000927628-17-000096 · wf-form4_148737642566333.xml · nonDerivative · entry 5

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,847

F1 · price: On February 15, 2017 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, 2017 Filed Feb 18, 2017 00:07 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionCommon Stock 9,729 $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000096 · wf-form4_148737642566333.xml · nonDerivative · entry 4

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 127,454

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, 2017 and settled in cash on February 15, 2017 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, 2017 Filed Feb 18, 2017 00:07 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionCommon Stock 2,894 $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000096 · wf-form4_148737642566333.xml · nonDerivative · entry 3

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,725

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, 2017 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, 2017 Filed Feb 18, 2017 00:07 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionCommon Stock 3,334 $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000096 · wf-form4_148737642566333.xml · nonDerivative · entry 2

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,831

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, 2017 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, 2017 Filed Feb 18, 2017 00:07 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionCommon Stock 3,607 $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000096 · wf-form4_148737642566333.xml · nonDerivative · entry 1

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,497

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, 2017 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, 2017 Filed Feb 18, 2017 00:10 UTC
Blackley Richard ScottChief Financial Officer
Exercise / conversionRestricted Stock Units · Derivative 6,434 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000098 · wf-form4_148737664065424.xml · derivative · entry 12

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,434 shares

Expires 2017-02-15

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, 2017 and settled in cash on February 15, 2017 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, 2017 and settled in cash on February 15, 2017 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, 2017 and settled in cash on February 15, 2017 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, 2017 and settled in cash on February 15, 2017 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, 2017 Filed Feb 18, 2017 00:10 UTC
Blackley Richard ScottChief Financial Officer
Exercise / conversion2016 Restricted Stock Units · Derivative 1,570 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000098 · wf-form4_148737664065424.xml · derivative · entry 11

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,142

Underlying: Common Stock · 1,570 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, 2017 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, 2017 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, 2017 Filed Feb 18, 2017 00:10 UTC
Blackley Richard ScottChief Financial Officer
Exercise / conversion2015 Restricted Stock Units · Derivative 1,345 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000098 · wf-form4_148737664065424.xml · derivative · entry 10

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,345

Underlying: Common Stock · 1,345 shares

Expires not disclosed

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

F1 · derivative.exercise_price: On February 15, 2017 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, 2017 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, 2017 Filed Feb 18, 2017 00:10 UTC
Blackley Richard ScottChief Financial Officer
Tax withholdingCommon Stock 1,133 $90.93 $103,023.69
Disclosure

SEC source: 0000927628-17-000098 · wf-form4_148737664065424.xml · nonDerivative · entry 9

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,480

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 4, 2016. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 15, 2017 Filed Feb 18, 2017 00:10 UTC
Blackley Richard ScottChief Financial Officer
Tax withholdingCommon Stock 839 $90.93 $76,290.27
Disclosure

SEC source: 0000927628-17-000098 · wf-form4_148737664065424.xml · nonDerivative · entry 8

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,613

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

Read SEC document
February 15, 2017 Filed Feb 18, 2017 00:10 UTC
Blackley Richard ScottChief Financial Officer
Tax withholdingCommon Stock 899 $90.93 $81,746.07
Disclosure

SEC source: 0000927628-17-000098 · wf-form4_148737664065424.xml · nonDerivative · entry 7

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,452

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 30, 2014. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 15, 2017 Filed Feb 18, 2017 00:10 UTC
Blackley Richard ScottChief Financial Officer
Disposition to issuerCommon Stock 6,434 $88.31 $568,186.54
Disclosure

SEC source: 0000927628-17-000098 · wf-form4_148737664065424.xml · nonDerivative · entry 6

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,351

F2 · price: Each restricted stock unit vested on January 1, 2017 and settled in cash on February 15, 2017 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, 2017 Filed Feb 18, 2017 00:10 UTC
Blackley Richard ScottChief Financial Officer
Disposition to issuerCommon Stock 1,570 $88.31 $138,646.70
Disclosure

SEC source: 0000927628-17-000098 · wf-form4_148737664065424.xml · nonDerivative · entry 5

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,785

F1 · price: On February 15, 2017 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, 2017 Filed Feb 18, 2017 00:10 UTC
Blackley Richard ScottChief Financial Officer
Disposition to issuerCommon Stock 1,345 $88.31 $118,776.95
Disclosure

SEC source: 0000927628-17-000098 · wf-form4_148737664065424.xml · nonDerivative · entry 4

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,355

F1 · price: On February 15, 2017 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, 2017 Filed Feb 18, 2017 00:10 UTC
Blackley Richard ScottChief Financial Officer
Exercise / conversionCommon Stock 6,434 $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000098 · wf-form4_148737664065424.xml · nonDerivative · entry 3

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,700

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, 2017 and settled in cash on February 15, 2017 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, 2017 Filed Feb 18, 2017 00:10 UTC
Blackley Richard ScottChief Financial Officer
Exercise / conversionCommon Stock 1,570 $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000098 · wf-form4_148737664065424.xml · nonDerivative · entry 2

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,266

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, 2017 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, 2017 Filed Feb 18, 2017 00:10 UTC
Blackley Richard ScottChief Financial Officer
Exercise / conversionCommon Stock 1,345 $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000098 · wf-form4_148737664065424.xml · nonDerivative · entry 1

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,696

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, 2017 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, 2017 Filed Feb 18, 2017 00:10 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversionRestricted Stock Units · Derivative 9,698 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000097 · wf-form4_148737661636867.xml · derivative · entry 16

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,698 shares

Expires 2017-02-15

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, 2017 and settled in cash on February 15, 2017 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, 2017 and settled in cash on February 15, 2017 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, 2017 and settled in cash on February 15, 2017 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, 2017 and settled in cash on February 15, 2017 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, 2017 Filed Feb 18, 2017 00:10 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversion2016 Restricted Stock Units · Derivative 3,120 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000097 · wf-form4_148737661636867.xml · derivative · entry 15

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,240

Underlying: Common Stock · 3,120 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, 2017 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, 2017 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date.

F9 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2017 and annually thereafter.

F9 · 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, 2017 Filed Feb 18, 2017 00:10 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversion2015 Restricted Stock Units · Derivative 3,703 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000097 · wf-form4_148737661636867.xml · derivative · entry 14

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,703

Underlying: Common Stock · 3,703 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, 2017 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, 2017 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, 2016 and annually thereafter.

F8 · 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, 2017 Filed Feb 18, 2017 00:10 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversion2014 Restricted Stock Units · Derivative 4,206 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000097 · wf-form4_148737661636867.xml · derivative · entry 13

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,206 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, 2017 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, 2017 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, 2015 and annually thereafter.

F7 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2015 and annually thereafter.

Read SEC document
February 15, 2017 Filed Feb 18, 2017 00:10 UTC
Berson Jory AChief Human Resources Officer
Tax withholdingCommon Stock 2,430 $90.93 $220,959.90
Disclosure

SEC source: 0000927628-17-000097 · wf-form4_148737661636867.xml · nonDerivative · entry 11

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,785

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 4, 2016. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 15, 2017 Filed Feb 18, 2017 00:10 UTC
Berson Jory AChief Human Resources Officer
Tax withholdingCommon Stock 1,516 $90.93 $137,849.88
Disclosure

SEC source: 0000927628-17-000097 · wf-form4_148737661636867.xml · nonDerivative · entry 10

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,215

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

Read SEC document
February 15, 2017 Filed Feb 18, 2017 00:10 UTC
Berson Jory AChief Human Resources Officer
Tax withholdingCommon Stock 1,602 $90.93 $145,669.86
Disclosure

SEC source: 0000927628-17-000097 · wf-form4_148737661636867.xml · nonDerivative · entry 9

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,731

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 30, 2014. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 15, 2017 Filed Feb 18, 2017 00:10 UTC
Berson Jory AChief Human Resources Officer
Disposition to issuerCommon Stock 9,698 $88.31 $856,430.38
Disclosure

SEC source: 0000927628-17-000097 · wf-form4_148737661636867.xml · nonDerivative · entry 8

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,333

F2 · price: Each restricted stock unit vested on January 1, 2017 and settled in cash on February 15, 2017 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, 2017 Filed Feb 18, 2017 00:10 UTC
Berson Jory AChief Human Resources Officer
Disposition to issuerCommon Stock 3,120 $88.31 $275,527.20
Disclosure

SEC source: 0000927628-17-000097 · wf-form4_148737661636867.xml · nonDerivative · entry 7

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,031

F1 · price: On February 15, 2017 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, 2017 Filed Feb 18, 2017 00:10 UTC
Berson Jory AChief Human Resources Officer
Disposition to issuerCommon Stock 3,703 $88.31 $327,011.93
Disclosure

SEC source: 0000927628-17-000097 · wf-form4_148737661636867.xml · nonDerivative · entry 6

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,151

F1 · price: On February 15, 2017 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, 2017 Filed Feb 18, 2017 00:10 UTC
Berson Jory AChief Human Resources Officer
Disposition to issuerCommon Stock 4,206 $88.31 $371,431.86
Disclosure

SEC source: 0000927628-17-000097 · wf-form4_148737661636867.xml · nonDerivative · entry 5

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,854

F1 · price: On February 15, 2017 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, 2017 Filed Feb 18, 2017 00:10 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversionCommon Stock 9,698 $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000097 · wf-form4_148737661636867.xml · nonDerivative · entry 4

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 124,060

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, 2017 and settled in cash on February 15, 2017 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, 2017 Filed Feb 18, 2017 00:10 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversionCommon Stock 3,120 $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000097 · wf-form4_148737661636867.xml · nonDerivative · entry 3

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,362

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, 2017 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, 2017 Filed Feb 18, 2017 00:10 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversionCommon Stock 3,703 $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000097 · wf-form4_148737661636867.xml · nonDerivative · entry 2

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,242

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, 2017 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, 2017 Filed Feb 18, 2017 00:10 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversionCommon Stock 4,206 $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000097 · wf-form4_148737661636867.xml · nonDerivative · entry 1

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,539

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, 2017 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, 2017 Filed Feb 18, 2017 00:11 UTC
CRAWFORD STEPHEN SHead of Finance and Corp Dev
Exercise / conversionRestricted Stock Units · Derivative 18,814 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000100 · wf-form4_148737668079215.xml · derivative · entry 15

CRAWFORD STEPHEN S · CIK 0001183416 · Head of Finance and Corp Dev

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 18,814 shares

Expires 2017-02-15

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, 2017 and settled in cash on February 15, 2017 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, 2017 and settled in cash on February 15, 2017 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, 2017 and settled in cash on February 15, 2017 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, 2017 and settled in cash on February 15, 2017 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, 2017 Filed Feb 18, 2017 00:11 UTC
CRAWFORD STEPHEN SHead of Finance and Corp Dev
Exercise / conversion2016 Restricted Stock Units · Derivative 5,806 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000100 · wf-form4_148737668079215.xml · derivative · entry 14

CRAWFORD STEPHEN S · CIK 0001183416 · Head of Finance and Corp Dev

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,613

Underlying: Common Stock · 5,806 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, 2017 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, 2017 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date.

F8 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2017 and annually thereafter.

F8 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2017 and annually thereafter.

Read SEC document
February 15, 2017 Filed Feb 18, 2017 00:11 UTC
CRAWFORD STEPHEN SHead of Finance and Corp Dev
Exercise / conversion2015 Restricted Stock Units · Derivative 6,757 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000100 · wf-form4_148737668079215.xml · derivative · entry 13

CRAWFORD STEPHEN S · CIK 0001183416 · Head of Finance and Corp Dev

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,756

Underlying: Common Stock · 6,757 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, 2017 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, 2017 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date.

F7 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2016 and annually thereafter.

F7 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2016 and annually thereafter.

Read SEC document
February 15, 2017 Filed Feb 18, 2017 00:11 UTC
CRAWFORD STEPHEN SHead of Finance and Corp Dev
Exercise / conversion2014 Restricted Stock Units · Derivative 6,931 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000100 · wf-form4_148737668079215.xml · derivative · entry 12

CRAWFORD STEPHEN S · CIK 0001183416 · Head of Finance and Corp Dev

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,931 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, 2017 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, 2017 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, 2015 and annually thereafter.

F6 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2015 and annually thereafter.

Read SEC document
February 15, 2017 Filed Feb 18, 2017 00:11 UTC
CRAWFORD STEPHEN SHead of Finance and Corp Dev
Tax withholdingCommon Stock 5,228 $90.93 $475,382.04
Disclosure

SEC source: 0000927628-17-000100 · wf-form4_148737668079215.xml · nonDerivative · entry 11

CRAWFORD STEPHEN S · CIK 0001183416 · Head of Finance and Corp Dev

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 166,710

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 4, 2016. This is authorized in the applicable restricted stock award agreement.

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February 15, 2017 Filed Feb 18, 2017 00:11 UTC
CRAWFORD STEPHEN SHead of Finance and Corp Dev
Tax withholdingCommon Stock 4,360 $90.93 $396,454.80
Disclosure

SEC source: 0000927628-17-000100 · wf-form4_148737668079215.xml · nonDerivative · entry 10

CRAWFORD STEPHEN S · CIK 0001183416 · Head of Finance and Corp Dev

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 171,938

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

Read SEC document
February 15, 2017 Filed Feb 18, 2017 00:11 UTC
CRAWFORD STEPHEN SHead of Finance and Corp Dev
Tax withholdingCommon Stock 2,953 $90.93 $268,516.29
Disclosure

SEC source: 0000927628-17-000100 · wf-form4_148737668079215.xml · nonDerivative · entry 9

CRAWFORD STEPHEN S · CIK 0001183416 · Head of Finance and Corp Dev

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 176,298

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 30, 2014. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 15, 2017 Filed Feb 18, 2017 00:11 UTC
CRAWFORD STEPHEN SHead of Finance and Corp Dev
Disposition to issuerCommon Stock 18,814 $88.31 $1,661,464.34
Disclosure

SEC source: 0000927628-17-000100 · wf-form4_148737668079215.xml · nonDerivative · entry 8

CRAWFORD STEPHEN S · CIK 0001183416 · Head of Finance and Corp Dev

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 179,251

F2 · price: Each restricted stock unit vested on January 1, 2017 and settled in cash on February 15, 2017 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, 2017 Filed Feb 18, 2017 00:11 UTC
CRAWFORD STEPHEN SHead of Finance and Corp Dev
Disposition to issuerCommon Stock 5,806 $88.31 $512,727.86
Disclosure

SEC source: 0000927628-17-000100 · wf-form4_148737668079215.xml · nonDerivative · entry 7

CRAWFORD STEPHEN S · CIK 0001183416 · Head of Finance and Corp Dev

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 198,065

F1 · price: On February 15, 2017 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, 2017 Filed Feb 18, 2017 00:11 UTC
CRAWFORD STEPHEN SHead of Finance and Corp Dev
Disposition to issuerCommon Stock 6,757 $88.31 $596,710.67
Disclosure

SEC source: 0000927628-17-000100 · wf-form4_148737668079215.xml · nonDerivative · entry 6

CRAWFORD STEPHEN S · CIK 0001183416 · Head of Finance and Corp Dev

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 203,871

F1 · price: On February 15, 2017 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, 2017 Filed Feb 18, 2017 00:11 UTC
CRAWFORD STEPHEN SHead of Finance and Corp Dev
Disposition to issuerCommon Stock 6,931 $88.31 $612,076.61
Disclosure

SEC source: 0000927628-17-000100 · wf-form4_148737668079215.xml · nonDerivative · entry 5

CRAWFORD STEPHEN S · CIK 0001183416 · Head of Finance and Corp Dev

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 210,628

F1 · price: On February 15, 2017 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, 2017 Filed Feb 18, 2017 00:11 UTC
CRAWFORD STEPHEN SHead of Finance and Corp Dev
Exercise / conversionCommon Stock 18,814 $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000100 · wf-form4_148737668079215.xml · nonDerivative · entry 4

CRAWFORD STEPHEN S · CIK 0001183416 · Head of Finance and Corp Dev

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 217,559

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, 2017 and settled in cash on February 15, 2017 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, 2017 Filed Feb 18, 2017 00:11 UTC
CRAWFORD STEPHEN SHead of Finance and Corp Dev
Exercise / conversionCommon Stock 5,806 $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000100 · wf-form4_148737668079215.xml · nonDerivative · entry 3

CRAWFORD STEPHEN S · CIK 0001183416 · Head of Finance and Corp Dev

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 198,745

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, 2017 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, 2017 Filed Feb 18, 2017 00:11 UTC
CRAWFORD STEPHEN SHead of Finance and Corp Dev
Exercise / conversionCommon Stock 6,757 $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000100 · wf-form4_148737668079215.xml · nonDerivative · entry 2

CRAWFORD STEPHEN S · CIK 0001183416 · Head of Finance and Corp Dev

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 192,939

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, 2017 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, 2017 Filed Feb 18, 2017 00:11 UTC
CRAWFORD STEPHEN SHead of Finance and Corp Dev
Exercise / conversionCommon Stock 6,931 $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000100 · wf-form4_148737668079215.xml · nonDerivative · entry 1

CRAWFORD STEPHEN S · CIK 0001183416 · Head of Finance and Corp Dev

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 186,182

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, 2017 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, 2017 Filed Feb 18, 2017 00:11 UTC
Borgmann Kevin S.Chief Risk Officer
Exercise / conversionRestricted Stock Units · Derivative 10,749 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000099 · wf-form4_148737666295090.xml · derivative · entry 15

Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,749 shares

Expires 2017-02-15

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, 2017 and settled in cash on February 15, 2017 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, 2017 and settled in cash on February 15, 2017 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, 2017 and settled in cash on February 15, 2017 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, 2017 and settled in cash on February 15, 2017 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, 2017 Filed Feb 18, 2017 00:11 UTC
Borgmann Kevin S.Chief Risk Officer
Exercise / conversion2016 Restricted Stock Units · Derivative 3,196 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000099 · wf-form4_148737666295090.xml · derivative · entry 14

Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,392

Underlying: Common Stock · 3,196 shares

Expires not disclosed

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

F1 · derivative.exercise_price: On February 15, 2017 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, 2017 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date.

F8 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2017 and annually thereafter.

F8 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2017 and annually thereafter.

Read SEC document

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