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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 02, 2017 Filed Feb 7, 2017 00:25 UTC
Sanjiv YajnikPresident, Financial Services
GrantRestricted Stock Units · Derivative 8,641 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000067 · wf-form4_148642711061109.xml · derivative · entry 3

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,641

Underlying: Common Stock · 8,641 shares

Expires 2018-02-15

F6 · derivative.exercise_price: Each restricted stock unit will vest on January 1, 2018 and will be settled in cash on February 15, 2018 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F6 · derivative.exercise_date: Each restricted stock unit will vest on January 1, 2018 and will be settled in cash on February 15, 2018 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F6 · derivative.expiration_date: Each restricted stock unit will vest on January 1, 2018 and will be settled in cash on February 15, 2018 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

Read SEC document
February 02, 2017 Filed Feb 7, 2017 00:25 UTC
Sanjiv YajnikPresident, Financial Services
Grant2017 Restricted Stock Units · Derivative 8,125 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000067 · wf-form4_148642711061109.xml · derivative · entry 2

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,125

Underlying: Common Stock · 8,125 shares

Expires not disclosed

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

F4 · shares: This award is reported net of 261 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

F5 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2018 and annually thereafter.

F5 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2018 and annually thereafter.

F4 · derivative.underlying_shares: This award is reported net of 261 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

Read SEC document
February 02, 2017 Filed Feb 7, 2017 00:25 UTC
Sanjiv YajnikPresident, Financial Services
GrantCommon Stock 13,969 $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000067 · wf-form4_148642711061109.xml · nonDerivative · entry 1

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 165,946

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2018 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

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

Read SEC document
February 01, 2017 Filed Feb 3, 2017 21:40 UTC
Borgmann Kevin S.Chief Risk Officer
Exercise / conversionStock Options · Derivative 20,400 $0.00 Strike: $48.95 $0.00
Disclosure

SEC source: 0000927628-17-000020 · wf-form4_148615802938233.xml · derivative · entry 6

Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,400 shares

Expires 2018-02-20

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

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 10, 2016, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F5 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on February 21, 2009 and annually thereafter.

Read SEC document
February 01, 2017 Filed Feb 3, 2017 21:40 UTC
Borgmann Kevin S.Chief Risk Officer
Exercise / conversionStock Options · Derivative 9,140 $0.00 Strike: $76.79 $0.00
Disclosure

SEC source: 0000927628-17-000020 · wf-form4_148615802938233.xml · derivative · entry 5

Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,140 shares

Expires 2017-03-01

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

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 10, 2016, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F4 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on March 2, 2008 and annually thereafter.

Read SEC document
February 01, 2017 Filed Feb 3, 2017 21:40 UTC
Borgmann Kevin S.Chief Risk Officer
SaleCommon Stock 2,800 $88.80 $248,640.00
Disclosure

SEC source: 0000927628-17-000020 · wf-form4_148615802938233.xml · nonDerivative · entry 4

Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,200

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 10, 2016, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $88.70 to $88.94. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
February 01, 2017 Filed Feb 3, 2017 21:40 UTC
Borgmann Kevin S.Chief Risk Officer
SaleCommon Stock 36,497 $88.15 $3,217,210.55
Disclosure

SEC source: 0000927628-17-000020 · wf-form4_148615802938233.xml · nonDerivative · entry 3

Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,000

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 10, 2016, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $87.68 to $88.66. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
February 01, 2017 Filed Feb 3, 2017 21:40 UTC
Borgmann Kevin S.Chief Risk Officer
Exercise / conversionCommon Stock 20,400 $48.95 $998,580.00
Disclosure

SEC source: 0000927628-17-000020 · wf-form4_148615802938233.xml · nonDerivative · entry 2

Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,497

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 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 10, 2016, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
February 01, 2017 Filed Feb 3, 2017 21:40 UTC
Borgmann Kevin S.Chief Risk Officer
Exercise / conversionCommon Stock 9,140 $76.79 $701,860.60
Disclosure

SEC source: 0000927628-17-000020 · wf-form4_148615802938233.xml · nonDerivative · entry 1

Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,097

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

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 10, 2016, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
February 01, 2017 Filed Feb 3, 2017 21:43 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
GiftCommon Stock 16,321 $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000022 · wf-form4_148615817991715.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 124,495

Read SEC document
February 01, 2017 Filed Feb 3, 2017 21:40 UTC
Wassmer Michael JPresident, U.S. Card
Exercise / conversionStock Options · Derivative 8,750 $0.00 Strike: $76.79 $0.00
Disclosure

SEC source: 0000927628-17-000021 · wf-form4_148615804471322.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,750 shares

Expires 2017-03-01

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_date: This option became exercisable in 1/3 increments beginning on March 2, 2008 and annually thereafter.

Read SEC document
February 01, 2017 Filed Feb 3, 2017 21:40 UTC
Wassmer Michael JPresident, U.S. Card
SaleCommon Stock 8,750 $88.10 $770,875.00
Disclosure

SEC source: 0000927628-17-000021 · wf-form4_148615804471322.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,939

Read SEC document
February 01, 2017 Filed Feb 3, 2017 21:40 UTC
Wassmer Michael JPresident, U.S. Card
Exercise / conversionCommon Stock 8,750 $76.79 $671,912.50
Disclosure

SEC source: 0000927628-17-000021 · wf-form4_148615804471322.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,689

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

Read SEC document
January 31, 2017 Filed Feb 3, 2017 21:43 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
GiftCommon Stock 2,255 $0.00 $0.00
Disclosure

SEC source: 0000927628-17-000023 · wf-form4_148615819442857.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,590,766

Read SEC document
January 30, 2017 Filed Feb 1, 2017 21:25 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
Exercise / conversionStock Options · Derivative 145,974 $0.00 Strike: $50.99 $0.00
Disclosure

SEC source: 0000927628-17-000014 · wf-form4_148598430132981.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 367,419

Underlying: Common Stock · 145,974 shares

Expires 2017-12-09

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

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

F4 · derivative.exercise_date: The grant became exercisable in full on December 10, 2010, the third anniversary of the grant date.

Read SEC document
January 30, 2017 Filed Feb 1, 2017 21:25 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
SaleCommon Stock 40,125 $88.61 $3,555,476.25
Disclosure

SEC source: 0000927628-17-000014 · wf-form4_148598430132981.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,593,021

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

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $88.43 to $88.82. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
January 30, 2017 Filed Feb 1, 2017 21:25 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
SaleCommon Stock 105,849 $88.06 $9,321,062.94
Disclosure

SEC source: 0000927628-17-000014 · wf-form4_148598430132981.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,633,146

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

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $87.43 to $88.42. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
January 30, 2017 Filed Feb 1, 2017 21:25 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
Exercise / conversionCommon Stock 145,974 $50.99 $7,443,214.26
Disclosure

SEC source: 0000927628-17-000014 · wf-form4_148598430132981.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,738,995

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

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

Read SEC document
January 30, 2017 Filed Feb 1, 2017 21:25 UTC Exercise / conversionStock Options · Derivative 4,098 $0.00 Strike: $74.72 $0.00
Disclosure

SEC source: 0000927628-17-000015 · wf-form4_148598432576998.xml · derivative · entry 3

LEROY PIERRE E · CIK 0001055709 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,098 shares

Expires 2017-04-25

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

Read SEC document
January 30, 2017 Filed Feb 1, 2017 21:25 UTC SaleCommon Stock 8,998 $88.09 $792,633.82
Disclosure

SEC source: 0000927628-17-000015 · wf-form4_148598432576998.xml · nonDerivative · entry 2

LEROY PIERRE E · CIK 0001055709 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,300

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $87.73 to $88.50. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
January 30, 2017 Filed Feb 1, 2017 21:25 UTC Exercise / conversionCommon Stock 4,098 $74.72 $306,202.56
Disclosure

SEC source: 0000927628-17-000015 · wf-form4_148598432576998.xml · nonDerivative · entry 1

LEROY PIERRE E · CIK 0001055709 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,298

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

Read SEC document
January 27, 2017 Filed Jan 30, 2017 21:41 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
Exercise / conversionStock Options · Derivative 300,000 $0.00 Strike: $50.99 $0.00
Disclosure

SEC source: 0000927628-17-000011 · wf-form4_148581249071371.xml · derivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 513,393

Underlying: Common Stock · 300,000 shares

Expires 2017-12-09

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

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

F6 · derivative.exercise_date: The grant became exercisable in full on December 10, 2010, the third anniversary of the grant date.

Read SEC document
January 27, 2017 Filed Jan 30, 2017 21:41 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
SaleCommon Stock 3,200 $89.96 $287,872.00
Disclosure

SEC source: 0000927628-17-000011 · wf-form4_148581249071371.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,593,021

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

Read SEC document
January 27, 2017 Filed Jan 30, 2017 21:41 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
SaleCommon Stock 296,800 $89.31 $26,507,208.00
Disclosure

SEC source: 0000927628-17-000011 · wf-form4_148581249071371.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,596,221

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

F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $88.94 to $89.82. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
January 27, 2017 Filed Jan 30, 2017 21:41 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
Exercise / conversionCommon Stock 300,000 $50.99 $15,297,000.00
Disclosure

SEC source: 0000927628-17-000011 · wf-form4_148581249071371.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,893,021

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

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

Read SEC document
January 26, 2017 Filed Jan 30, 2017 21:41 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
Exercise / conversionStock Options · Derivative 300,000 $0.00 Strike: $50.99 $0.00
Disclosure

SEC source: 0000927628-17-000011 · wf-form4_148581249071371.xml · derivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 813,393

Underlying: Common Stock · 300,000 shares

Expires 2017-12-09

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

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

F6 · derivative.exercise_date: The grant became exercisable in full on December 10, 2010, the third anniversary of the grant date.

Read SEC document
January 26, 2017 Filed Jan 30, 2017 21:41 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
SaleCommon Stock 153,771 $89.26 $13,725,599.46
Disclosure

SEC source: 0000927628-17-000011 · wf-form4_148581249071371.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,593,021

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

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $88.86 to $89.70. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
January 26, 2017 Filed Jan 30, 2017 21:41 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
SaleCommon Stock 146,229 $88.55 $12,948,577.95
Disclosure

SEC source: 0000927628-17-000011 · wf-form4_148581249071371.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,746,792

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

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $87.86 to $88.85. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
January 26, 2017 Filed Jan 30, 2017 21:41 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
Exercise / conversionCommon Stock 300,000 $50.99 $15,297,000.00
Disclosure

SEC source: 0000927628-17-000011 · wf-form4_148581249071371.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,893,021

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

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

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

Read SEC document
January 03, 2017 Filed Jan 5, 2017 21:33 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Exercise / conversionStock Options · Derivative 45,810 $0.00 Strike: $48.95 $0.00
Disclosure

SEC source: 0001225208-17-000710 · doc4.xml · derivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 45,810 shares

Expires 2018-02-20

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

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 14, 2016, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F6 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on February 21, 2009 and annually thereafter.

Read SEC document
January 03, 2017 Filed Jan 5, 2017 21:33 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Exercise / conversionStock Options · Derivative 30,647 $0.00 Strike: $18.28 $0.00
Disclosure

SEC source: 0001225208-17-000710 · doc4.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 30,647 shares

Expires 2019-01-28

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

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 14, 2016, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F5 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on January 29, 2010 and annually thereafter.

Read SEC document
January 03, 2017 Filed Jan 5, 2017 21:33 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
SaleCommon Stock 64,347 $88.49 $5,694,066.03
Disclosure

SEC source: 0001225208-17-000710 · doc4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,652

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 14, 2016, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $87.79 to $88.78. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
January 03, 2017 Filed Jan 5, 2017 21:33 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
SaleCommon Stock 49,200 $89.15 $4,386,180.00
Disclosure

SEC source: 0001225208-17-000710 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,999

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 14, 2016, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $88.79 to $89.56. Information regarding the number of shares sold at each price will be provided upon request.

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January 03, 2017 Filed Jan 5, 2017 21:33 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Exercise / conversionCommon Stock 30,647 $18.28 $560,227.16
Disclosure

SEC source: 0001225208-17-000710 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 165,199

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

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 14, 2016, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
January 03, 2017 Filed Jan 5, 2017 21:33 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Exercise / conversionCommon Stock 45,810 $48.95 $2,242,399.50
Disclosure

SEC source: 0001225208-17-000710 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 134,552

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

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 14, 2016, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
December 14, 2016 Filed Dec 19, 2016 21:53 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Exercise / conversionStock Options · Derivative 20,000 $0.00 Strike: $76.79 $0.00
Disclosure

SEC source: 0001225208-16-043542 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,000 shares

Expires 2017-03-01

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

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 14, 2016, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F5 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on March 2, 2008 and annually thereafter.

Read SEC document
December 14, 2016 Filed Dec 19, 2016 21:53 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
SaleCommon Stock 19,600 $88.83 $1,741,068.00
Disclosure

SEC source: 0001225208-16-043542 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,742

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 14, 2016, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $88.32 to $89.31. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
December 14, 2016 Filed Dec 19, 2016 21:53 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
SaleCommon Stock 400 $89.33 $35,732.00
Disclosure

SEC source: 0001225208-16-043542 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,342

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 14, 2016, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $89.32 to $89.35. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
December 14, 2016 Filed Dec 19, 2016 21:53 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Exercise / conversionCommon Stock 20,000 $76.79 $1,535,800.00
Disclosure

SEC source: 0001225208-16-043542 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,742

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

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 14, 2016, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
December 12, 2016 Filed Dec 14, 2016 22:01 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionStock Options · Derivative 29,190 $0.00 Strike: $76.79 $0.00
Disclosure

SEC source: 0001225208-16-043187 · doc4.xml · derivative · entry 6

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 29,190 shares

Expires 2017-03-01

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

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 11, 2016, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F5 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on March 2, 2008 and annually thereafter.

Read SEC document
December 12, 2016 Filed Dec 14, 2016 22:01 UTC
Alexander Robert M.Chief Information Officer
SaleCommon Stock 18,307 $90.11 $1,649,643.77
Disclosure

SEC source: 0001225208-16-043187 · doc4.xml · nonDerivative · entry 3

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,943

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 11, 2016, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $89.45 to $90.44. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
December 12, 2016 Filed Dec 14, 2016 22:01 UTC
Alexander Robert M.Chief Information Officer
SaleCommon Stock 16,800 $90.67 $1,523,256.00
Disclosure

SEC source: 0001225208-16-043187 · doc4.xml · nonDerivative · entry 2

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,250

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 11, 2016, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $90.45 to $91.05. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
December 12, 2016 Filed Dec 14, 2016 22:01 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionCommon Stock 29,190 $76.79 $2,241,500.10
Disclosure

SEC source: 0001225208-16-043187 · doc4.xml · nonDerivative · entry 1

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 131,050

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

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 11, 2016, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

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

Read SEC document
December 12, 2016 Filed Dec 14, 2016 22:01 UTC
Sanjiv YajnikPresident, Financial Services
Exercise / conversionStock Options · Derivative 23,560 $0.00 Strike: $76.79 $0.00
Disclosure

SEC source: 0001225208-16-043188 · doc4.xml · derivative · entry 4

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 23,560 shares

Expires 2017-03-01

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

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 11, 2016, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F5 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on March 2, 2008 and annually thereafter.

Read SEC document
December 12, 2016 Filed Dec 14, 2016 22:01 UTC
Sanjiv YajnikPresident, Financial Services
SaleCommon Stock 13,860 $90.15 $1,249,479.00
Disclosure

SEC source: 0001225208-16-043188 · doc4.xml · nonDerivative · entry 3

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 151,827

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 11, 2016, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $89.50 to $90.49. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
December 12, 2016 Filed Dec 14, 2016 22:01 UTC
Sanjiv YajnikPresident, Financial Services
SaleCommon Stock 9,700 $90.69 $879,693.00
Disclosure

SEC source: 0001225208-16-043188 · doc4.xml · nonDerivative · entry 2

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 165,687

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 11, 2016, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $90.50 to $91.05. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
December 12, 2016 Filed Dec 14, 2016 22:01 UTC
Sanjiv YajnikPresident, Financial Services
Exercise / conversionCommon Stock 23,560 $76.79 $1,809,172.40
Disclosure

SEC source: 0001225208-16-043188 · doc4.xml · nonDerivative · entry 1

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 175,387

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

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 11, 2016, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

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

Read SEC document
December 12, 2016 Filed Dec 14, 2016 22:02 UTC Exercise / conversionStock Options · Derivative 3,586 $0.00 Strike: $74.72 $0.00
Disclosure

SEC source: 0001225208-16-043189 · doc4.xml · derivative · entry 7

HAY LEWIS III · CIK 0001182705 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,586 shares

Expires 2017-04-25

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

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 10, 2016, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
December 12, 2016 Filed Dec 14, 2016 22:02 UTC Exercise / conversionStock Options · Derivative 8,929 $0.00 Strike: $47.29 $0.00
Disclosure

SEC source: 0001225208-16-043189 · doc4.xml · derivative · entry 6

HAY LEWIS III · CIK 0001182705 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,929 shares

Expires 2018-04-23

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

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 10, 2016, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
December 12, 2016 Filed Dec 14, 2016 22:02 UTC SaleCommon Stock 10,515 $90.35 $950,030.25
Disclosure

SEC source: 0001225208-16-043189 · doc4.xml · nonDerivative · entry 4

HAY LEWIS III · CIK 0001182705 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,222

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 10, 2016, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $89.73 to $90.71. Information regarding the number of shares sold at each price will be provided upon request.

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.