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CAPITAL ONE FINANCIAL CORP

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547
SEC CIK
0000927628
Parsed reports
2,528

Last 12 months

Inside the activity.

0 purchase rows · 62 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 2025013
Dec 202503
Jan 202604
Feb 2026014
Mar 202602
Apr 202602
May 202604
Jun 202601
Jul 202605
Aug 2026010
Sep 202603
Oct 202601

Latest available

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
February 15, 2017 Filed Feb 18, 2017 00:12 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Disposition to issuerCommon Stock 11,565 $88.31 $1,021,305.15
Disclosure

SEC source: 0000927628-17-000104 · wf-form4_148737675418715.xml · nonDerivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,298

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 00:12 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Disposition to issuerCommon Stock 3,447 $88.31 $304,404.57
Disclosure

SEC source: 0000927628-17-000104 · wf-form4_148737675418715.xml · nonDerivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,863

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 00:12 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Disposition to issuerCommon Stock 3,721 $88.31 $328,601.51
Disclosure

SEC source: 0000927628-17-000104 · wf-form4_148737675418715.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,310

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 00:12 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Disposition to issuerCommon Stock 4,022 $88.31 $355,182.82
Disclosure

SEC source: 0000927628-17-000104 · wf-form4_148737675418715.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,031

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 00:12 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Exercise / conversionCommon Stock 11,565 $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000104 · wf-form4_148737675418715.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,053

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 00:12 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Exercise / conversionCommon Stock 3,447 $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000104 · wf-form4_148737675418715.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,488

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 00:12 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Exercise / conversionCommon Stock 3,721 $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000104 · wf-form4_148737675418715.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,041

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 00:12 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Exercise / conversionCommon Stock 4,022 $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000104 · wf-form4_148737675418715.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,320

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 00:13 UTC
Newkirk Christopher TPres., Intl. and Sm. Bus. Card
Exercise / conversionRestricted Stock Units · Derivative 4,410 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000105 · wf-form4_148737677004424.xml · derivative · entry 9

Newkirk Christopher T · CIK 0001691711 · Pres., Intl. and Sm. Bus. Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,410 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 00:13 UTC
Newkirk Christopher TPres., Intl. and Sm. Bus. Card
Exercise / conversion2016 Restricted Stock Units · Derivative 1,419 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000105 · wf-form4_148737677004424.xml · derivative · entry 8

Newkirk Christopher T · CIK 0001691711 · Pres., Intl. and Sm. Bus. Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,838

Underlying: Common Stock · 1,419 shares

Expires not disclosed

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

F1 · derivative.exercise_price: On February 15, 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, 2017 and annually thereafter.

F6 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2017 and annually thereafter.

Read SEC document
February 15, 2017 Filed Feb 18, 2017 00:13 UTC
Newkirk Christopher TPres., Intl. and Sm. Bus. Card
Tax withholdingCommon Stock 1,060 $90.93 $96,385.80
Disclosure

SEC source: 0000927628-17-000105 · wf-form4_148737677004424.xml · nonDerivative · entry 7

Newkirk Christopher T · CIK 0001691711 · Pres., Intl. and Sm. Bus. Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,602

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 00:13 UTC
Newkirk Christopher TPres., Intl. and Sm. Bus. Card
Tax withholdingCommon Stock 858 $90.93 $78,017.94
Disclosure

SEC source: 0000927628-17-000105 · wf-form4_148737677004424.xml · nonDerivative · entry 6

Newkirk Christopher T · CIK 0001691711 · Pres., Intl. and Sm. Bus. Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,662

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 00:13 UTC
Newkirk Christopher TPres., Intl. and Sm. Bus. Card
Tax withholdingCommon Stock 722 $90.93 $65,651.46
Disclosure

SEC source: 0000927628-17-000105 · wf-form4_148737677004424.xml · nonDerivative · entry 5

Newkirk Christopher T · CIK 0001691711 · Pres., Intl. and Sm. Bus. Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,520

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 00:13 UTC
Newkirk Christopher TPres., Intl. and Sm. Bus. Card
Disposition to issuerCommon Stock 4,410 $88.31 $389,447.10
Disclosure

SEC source: 0000927628-17-000105 · wf-form4_148737677004424.xml · nonDerivative · entry 4

Newkirk Christopher T · CIK 0001691711 · Pres., Intl. and Sm. Bus. Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,242

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 00:13 UTC
Newkirk Christopher TPres., Intl. and Sm. Bus. Card
Disposition to issuerCommon Stock 1,419 $88.31 $125,311.89
Disclosure

SEC source: 0000927628-17-000105 · wf-form4_148737677004424.xml · nonDerivative · entry 3

Newkirk Christopher T · CIK 0001691711 · Pres., Intl. and Sm. Bus. Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,652

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 00:13 UTC
Newkirk Christopher TPres., Intl. and Sm. Bus. Card
Exercise / conversionCommon Stock 4,410 $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000105 · wf-form4_148737677004424.xml · nonDerivative · entry 2

Newkirk Christopher T · CIK 0001691711 · Pres., Intl. and Sm. Bus. Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,071

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 00:13 UTC
Newkirk Christopher TPres., Intl. and Sm. Bus. Card
Exercise / conversionCommon Stock 1,419 $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000105 · wf-form4_148737677004424.xml · nonDerivative · entry 1

Newkirk Christopher T · CIK 0001691711 · Pres., Intl. and Sm. Bus. Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,661

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 00:13 UTC
Sanjiv YajnikPresident, Financial Services
Exercise / conversionRestricted Stock Units · Derivative 11,361 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000106 · wf-form4_148737678668212.xml · derivative · entry 15

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 11,361 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 00:13 UTC
Sanjiv YajnikPresident, Financial Services
Exercise / conversion2016 Restricted Stock Units · Derivative 3,565 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000106 · wf-form4_148737678668212.xml · derivative · entry 14

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,131

Underlying: Common Stock · 3,565 shares

Expires not disclosed

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

F1 · derivative.exercise_price: On February 15, 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 00:13 UTC
Sanjiv YajnikPresident, Financial Services
Exercise / conversion2015 Restricted Stock Units · Derivative 4,049 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000106 · wf-form4_148737678668212.xml · derivative · entry 13

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,048

Underlying: Common Stock · 4,049 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 00:13 UTC
Sanjiv YajnikPresident, Financial Services
Exercise / conversion2014 Restricted Stock Units · Derivative 4,593 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000106 · wf-form4_148737678668212.xml · derivative · entry 12

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,593 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 00:13 UTC
Sanjiv YajnikPresident, Financial Services
Tax withholdingCommon Stock 2,498 $90.93 $227,143.14
Disclosure

SEC source: 0000927628-17-000106 · wf-form4_148737678668212.xml · nonDerivative · entry 11

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,643

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 00:13 UTC
Sanjiv YajnikPresident, Financial Services
Tax withholdingCommon Stock 1,364 $90.93 $124,028.52
Disclosure

SEC source: 0000927628-17-000106 · wf-form4_148737678668212.xml · nonDerivative · entry 10

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 163,141

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 00:13 UTC
Sanjiv YajnikPresident, Financial Services
Tax withholdingCommon Stock 1,441 $90.93 $131,030.13
Disclosure

SEC source: 0000927628-17-000106 · wf-form4_148737678668212.xml · nonDerivative · entry 9

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 164,505

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 00:13 UTC
Sanjiv YajnikPresident, Financial Services
Disposition to issuerCommon Stock 11,361 $88.31 $1,003,289.91
Disclosure

SEC source: 0000927628-17-000106 · wf-form4_148737678668212.xml · nonDerivative · entry 8

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 165,946

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 00:13 UTC
Sanjiv YajnikPresident, Financial Services
Disposition to issuerCommon Stock 3,565 $88.31 $314,825.15
Disclosure

SEC source: 0000927628-17-000106 · wf-form4_148737678668212.xml · nonDerivative · entry 7

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 177,307

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 00:13 UTC
Sanjiv YajnikPresident, Financial Services
Disposition to issuerCommon Stock 4,049 $88.31 $357,567.19
Disclosure

SEC source: 0000927628-17-000106 · wf-form4_148737678668212.xml · nonDerivative · entry 6

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 180,872

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 00:13 UTC
Sanjiv YajnikPresident, Financial Services
Disposition to issuerCommon Stock 4,593 $88.31 $405,607.83
Disclosure

SEC source: 0000927628-17-000106 · wf-form4_148737678668212.xml · nonDerivative · entry 5

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 184,921

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 00:13 UTC
Sanjiv YajnikPresident, Financial Services
Exercise / conversionCommon Stock 11,361 $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000106 · wf-form4_148737678668212.xml · nonDerivative · entry 4

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 189,514

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 00:13 UTC
Sanjiv YajnikPresident, Financial Services
Exercise / conversionCommon Stock 3,565 $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000106 · wf-form4_148737678668212.xml · nonDerivative · entry 3

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 178,153

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 00:13 UTC
Sanjiv YajnikPresident, Financial Services
Exercise / conversionCommon Stock 4,049 $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000106 · wf-form4_148737678668212.xml · nonDerivative · entry 2

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 174,588

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 00:13 UTC
Sanjiv YajnikPresident, Financial Services
Exercise / conversionCommon Stock 4,593 $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000106 · wf-form4_148737678668212.xml · nonDerivative · entry 1

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 170,539

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 00:13 UTC
Slocum MichaelPresident, Commercial Banking
Exercise / conversionRestricted Stock Units · Derivative 10,592 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000107 · wf-form4_148737680345856.xml · derivative · entry 15

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,592 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 00:13 UTC
Slocum MichaelPresident, Commercial Banking
Exercise / conversion2016 Restricted Stock Units · Derivative 3,227 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000107 · wf-form4_148737680345856.xml · derivative · entry 14

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,455

Underlying: Common Stock · 3,227 shares

Expires not disclosed

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

F1 · derivative.exercise_price: On February 15, 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 00:13 UTC
Slocum MichaelPresident, Commercial Banking
Exercise / conversion2015 Restricted Stock Units · Derivative 3,576 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000107 · wf-form4_148737680345856.xml · derivative · entry 13

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,576

Underlying: Common Stock · 3,576 shares

Expires not disclosed

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

F1 · derivative.exercise_price: On February 15, 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 00:13 UTC
Slocum MichaelPresident, Commercial Banking
Exercise / conversion2014 Restricted Stock Units · Derivative 3,584 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000107 · wf-form4_148737680345856.xml · derivative · entry 12

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,584 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 00:13 UTC
Slocum MichaelPresident, Commercial Banking
Tax withholdingCommon Stock 2,818 $90.93 $256,240.74
Disclosure

SEC source: 0000927628-17-000107 · wf-form4_148737680345856.xml · nonDerivative · entry 11

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,989

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 00:13 UTC
Slocum MichaelPresident, Commercial Banking
Tax withholdingCommon Stock 1,834 $90.93 $166,765.62
Disclosure

SEC source: 0000927628-17-000107 · wf-form4_148737680345856.xml · nonDerivative · entry 10

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,807

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 00:13 UTC
Slocum MichaelPresident, Commercial Banking
Tax withholdingCommon Stock 1,708 $90.93 $155,308.44
Disclosure

SEC source: 0000927628-17-000107 · wf-form4_148737680345856.xml · nonDerivative · entry 9

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,641

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 00:13 UTC
Slocum MichaelPresident, Commercial Banking
Disposition to issuerCommon Stock 10,592 $88.31 $935,379.52
Disclosure

SEC source: 0000927628-17-000107 · wf-form4_148737680345856.xml · nonDerivative · entry 8

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,349

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 00:13 UTC
Slocum MichaelPresident, Commercial Banking
Disposition to issuerCommon Stock 3,227 $88.31 $284,976.37
Disclosure

SEC source: 0000927628-17-000107 · wf-form4_148737680345856.xml · nonDerivative · entry 7

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,941

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 00:13 UTC
Slocum MichaelPresident, Commercial Banking
Disposition to issuerCommon Stock 3,576 $88.31 $315,796.56
Disclosure

SEC source: 0000927628-17-000107 · wf-form4_148737680345856.xml · nonDerivative · entry 6

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,168

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 00:13 UTC
Slocum MichaelPresident, Commercial Banking
Disposition to issuerCommon Stock 3,584 $88.31 $316,503.04
Disclosure

SEC source: 0000927628-17-000107 · wf-form4_148737680345856.xml · nonDerivative · entry 5

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,744

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 00:13 UTC
Slocum MichaelPresident, Commercial Banking
Exercise / conversionCommon Stock 10,592 $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000107 · wf-form4_148737680345856.xml · nonDerivative · entry 4

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,328

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 00:13 UTC
Slocum MichaelPresident, Commercial Banking
Exercise / conversionCommon Stock 3,227 $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000107 · wf-form4_148737680345856.xml · nonDerivative · entry 3

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,736

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 00:13 UTC
Slocum MichaelPresident, Commercial Banking
Exercise / conversionCommon Stock 3,576 $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000107 · wf-form4_148737680345856.xml · nonDerivative · entry 2

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,509

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 00:13 UTC
Slocum MichaelPresident, Commercial Banking
Exercise / conversionCommon Stock 3,584 $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000107 · wf-form4_148737680345856.xml · nonDerivative · entry 1

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,933

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 00:14 UTC
Witter Jonathan W.President, Retail Banking
Exercise / conversionRestricted Stock Units · Derivative 11,141 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000109 · wf-form4_148737683692194.xml · derivative · entry 15

Witter Jonathan W. · CIK 0001528493 · President, Retail Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 11,141 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 00:14 UTC
Witter Jonathan W.President, Retail Banking
Exercise / conversion2016 Restricted Stock Units · Derivative 3,483 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000109 · wf-form4_148737683692194.xml · derivative · entry 14

Witter Jonathan W. · CIK 0001528493 · President, Retail Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,966

Underlying: Common Stock · 3,483 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 00:14 UTC
Witter Jonathan W.President, Retail Banking
Exercise / conversion2015 Restricted Stock Units · Derivative 3,950 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000109 · wf-form4_148737683692194.xml · derivative · entry 13

Witter Jonathan W. · CIK 0001528493 · President, Retail Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,950

Underlying: Common Stock · 3,950 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

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