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NYSE · USD

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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

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

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

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
December 12, 2016 Filed Dec 14, 2016 22:02 UTC SaleCommon Stock 2,000 $90.84 $181,680.00
Disclosure

SEC source: 0001225208-16-043189 · doc4.xml · nonDerivative · entry 3

HAY LEWIS III · CIK 0001182705 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,737

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 $90.72 to $91.00. 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 22:02 UTC Exercise / conversionCommon Stock 3,586 $74.72 $267,945.92
Disclosure

SEC source: 0001225208-16-043189 · doc4.xml · nonDerivative · entry 2

HAY LEWIS III · CIK 0001182705 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,737

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 / conversionCommon Stock 8,929 $47.29 $422,252.41
Disclosure

SEC source: 0001225208-16-043189 · doc4.xml · nonDerivative · entry 1

HAY LEWIS III · CIK 0001182705 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,151

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
November 23, 2016 Filed Nov 28, 2016 22:40 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversionStock Options · Derivative 53,420 $0.00 Strike: $76.79 $0.00
Disclosure

SEC source: 0001225208-16-042311 · doc4.xml · derivative · entry 6

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 53,420 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 May 13, 2016, in accordance with Rule 10b5-1 of the Securities and 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
November 23, 2016 Filed Nov 28, 2016 22:40 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversionStock Options · Derivative 54,380 $0.00 Strike: $48.95 $0.00
Disclosure

SEC source: 0001225208-16-042311 · doc4.xml · derivative · entry 5

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 54,380 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 May 13, 2016, in accordance with Rule 10b5-1 of the Securities and Exchange Act of 1934, as amended.

F3 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on February 21, 2009 and annually thereafter.

Read SEC document
November 23, 2016 Filed Nov 28, 2016 22:40 UTC
Berson Jory AChief Human Resources Officer
SaleCommon Stock 115,650 $84.00 $9,714,600.00
Disclosure

SEC source: 0001225208-16-042311 · doc4.xml · nonDerivative · entry 3

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,275

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 13, 2016, in accordance with Rule 10b5-1 of the Securities and Exchange Act of 1934, as amended.

Read SEC document
November 23, 2016 Filed Nov 28, 2016 22:40 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversionCommon Stock 53,420 $76.79 $4,102,121.80
Disclosure

SEC source: 0001225208-16-042311 · doc4.xml · nonDerivative · entry 2

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 206,925

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 May 13, 2016, in accordance with Rule 10b5-1 of the Securities and Exchange Act of 1934, as amended.

Read SEC document
November 23, 2016 Filed Nov 28, 2016 22:40 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversionCommon Stock 54,380 $48.95 $2,661,901.00
Disclosure

SEC source: 0001225208-16-042311 · doc4.xml · nonDerivative · entry 1

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 153,505

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 May 13, 2016, in accordance with Rule 10b5-1 of the Securities and Exchange Act of 1934, as amended.

Read SEC document
November 11, 2016 Filed Nov 14, 2016 23:10 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
Exercise / conversionStock Options · Derivative 132,942 $0.00 Strike: $50.99 $0.00
Disclosure

SEC source: 0001225208-16-041701 · doc4.xml · derivative · entry 14

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,113,393

Underlying: Common Stock · 132,942 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.

F8 · derivative.exercise_date: The grant became exercisable in full on December 10, 2010, the third anniversary of the grant date.

Read SEC document
November 11, 2016 Filed Nov 14, 2016 23:10 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
SaleCommon Stock 132,942 $80.10 $10,648,654.20
Disclosure

SEC source: 0001225208-16-041701 · doc4.xml · nonDerivative · entry 10

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,593,016

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

F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $80.00 to $80.46. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
November 11, 2016 Filed Nov 14, 2016 23:10 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
Exercise / conversionCommon Stock 132,942 $50.99 $6,778,712.58
Disclosure

SEC source: 0001225208-16-041701 · doc4.xml · nonDerivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,725,958

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
November 11, 2016 Filed Nov 15, 2016 23:30 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
Exercise / conversionStock Options · Derivative 88,510 $0.00 Strike: $76.79 $0.00
Disclosure

SEC source: 0001225208-16-041807 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 88,510 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 May 11, 2016, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on March 2, 2008 and annually thereafter.

Read SEC document
November 11, 2016 Filed Nov 15, 2016 23:30 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
SaleCommon Stock 88,510 $80.85 $7,156,033.50
Disclosure

SEC source: 0001225208-16-041807 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,816

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

Read SEC document
November 11, 2016 Filed Nov 15, 2016 23:30 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
Exercise / conversionCommon Stock 88,510 $76.79 $6,796,682.90
Disclosure

SEC source: 0001225208-16-041807 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 229,326

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 May 11, 2016, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
November 11, 2016 Filed Nov 15, 2016 23:30 UTC
Berson Jory AChief Human Resources Officer
SaleCommon Stock 7,086 $80.00 $566,880.00
Disclosure

SEC source: 0001225208-16-041808 · doc4.xml · nonDerivative · entry 1

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,125

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 13, 2016, in accordance with Rule 10b5-1 of the Securities and 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
November 10, 2016 Filed Nov 14, 2016 23:10 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
Exercise / conversionStock Options · Derivative 378,100 $0.00 Strike: $76.45 $0.00
Disclosure

SEC source: 0001225208-16-041701 · doc4.xml · derivative · entry 13

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 378,100 shares

Expires 2016-12-10

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.

F9 · derivative.exercise_date: The grant became exercisable in full on December 11, 2011, the fifth anniversary of the grant date.

Read SEC document
November 10, 2016 Filed Nov 14, 2016 23:10 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
SaleCommon Stock 256,297 $78.47 $20,111,625.59
Disclosure

SEC source: 0001225208-16-041701 · doc4.xml · nonDerivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,593,016

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

F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $78.01 to $79.00. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
November 10, 2016 Filed Nov 14, 2016 23:10 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
SaleCommon Stock 77,025 $77.46 $5,966,356.50
Disclosure

SEC source: 0001225208-16-041701 · doc4.xml · nonDerivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,849,313

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 $77.09 to $78.00. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
November 10, 2016 Filed Nov 14, 2016 23:10 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
SaleCommon Stock 44,778 $79.20 $3,546,417.60
Disclosure

SEC source: 0001225208-16-041701 · doc4.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,926,338

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 $79.01 to $79.66. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
November 10, 2016 Filed Nov 14, 2016 23:10 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
Exercise / conversionCommon Stock 378,100 $76.45 $28,905,745.00
Disclosure

SEC source: 0001225208-16-041701 · doc4.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,971,116

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
November 10, 2016 Filed Nov 15, 2016 23:30 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
GiftCommon Stock 1,400 $0.00 $0.00
Disclosure

SEC source: 0001225208-16-041807 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,816

Read SEC document
November 09, 2016 Filed Nov 14, 2016 23:10 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
Exercise / conversionStock Options · Derivative 216,751 $0.00 Strike: $76.45 $0.00
Disclosure

SEC source: 0001225208-16-041701 · doc4.xml · derivative · entry 12

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 378,100

Underlying: Common Stock · 216,751 shares

Expires 2016-12-10

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.

F9 · derivative.exercise_date: The grant became exercisable in full on December 11, 2011, the fifth anniversary of the grant date.

Read SEC document
November 09, 2016 Filed Nov 14, 2016 23:10 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
Exercise / conversionStock Options · Derivative 145,231 $0.00 Strike: $50.99 $0.00
Disclosure

SEC source: 0001225208-16-041701 · doc4.xml · derivative · entry 11

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,246,335

Underlying: Common Stock · 145,231 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.

F8 · derivative.exercise_date: The grant became exercisable in full on December 10, 2010, the third anniversary of the grant date.

Read SEC document
November 09, 2016 Filed Nov 14, 2016 23:10 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
SaleCommon Stock 216,751 $76.57 $16,596,624.07
Disclosure

SEC source: 0001225208-16-041701 · doc4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,593,016

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 $76.55 to $76.63. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
November 09, 2016 Filed Nov 14, 2016 23:10 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
SaleCommon Stock 145,231 $75.09 $10,905,395.79
Disclosure

SEC source: 0001225208-16-041701 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,809,767

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 $75.00 to $75.30. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
November 09, 2016 Filed Nov 14, 2016 23:10 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
Exercise / conversionCommon Stock 145,231 $50.99 $7,405,328.69
Disclosure

SEC source: 0001225208-16-041701 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,954,998

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
November 09, 2016 Filed Nov 14, 2016 23:10 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
Exercise / conversionCommon Stock 216,751 $76.45 $16,570,613.95
Disclosure

SEC source: 0001225208-16-041701 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,809,767

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
October 31, 2016 Filed Nov 2, 2016 20:53 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
Exercise / conversionStock Options · Derivative 4,300 $0.00 Strike: $50.99 $0.00
Disclosure

SEC source: 0001225208-16-041011 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,391,566

Underlying: Common Stock · 4,300 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.

F3 · derivative.exercise_date: This grant became exercisable in full on December 10, 2010, the third anniversary of the grant date.

Read SEC document
October 31, 2016 Filed Nov 2, 2016 20:53 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
SaleCommon Stock 4,300 $75.12 $323,016.00
Disclosure

SEC source: 0001225208-16-041011 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,593,016

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 $75.01 to $75.13. Information regarding the number of shares sold at each price with be provided upon request.

Read SEC document
October 31, 2016 Filed Nov 2, 2016 20:53 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
Exercise / conversionCommon Stock 4,300 $50.99 $219,257.00
Disclosure

SEC source: 0001225208-16-041011 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,597,316

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
October 28, 2016 Filed Oct 31, 2016 20:38 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
Exercise / conversionStock Options · Derivative 6,800 $0.00 Strike: $50.99 $0.00
Disclosure

SEC source: 0001225208-16-040864 · doc4.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,395,866

Underlying: Common Stock · 6,800 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.

F5 · derivative.exercise_date: This grant became exercisable in full on December 10, 2010, the third anniversary of the grant date.

Read SEC document
October 28, 2016 Filed Oct 31, 2016 20:38 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
SaleCommon Stock 6,800 $75.03 $510,204.00
Disclosure

SEC source: 0001225208-16-040864 · doc4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,593,016

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 $75.00 to $75.09. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
October 28, 2016 Filed Oct 31, 2016 20:38 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
Exercise / conversionCommon Stock 6,800 $50.99 $346,732.00
Disclosure

SEC source: 0001225208-16-040864 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,599,816

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.

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October 27, 2016 Filed Oct 31, 2016 20:38 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
Exercise / conversionStock Options · Derivative 259,114 $0.00 Strike: $50.99 $0.00
Disclosure

SEC source: 0001225208-16-040864 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,402,666

Underlying: Common Stock · 259,114 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.

F5 · derivative.exercise_date: This grant became exercisable in full on December 10, 2010, the third anniversary of the grant date.

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October 27, 2016 Filed Oct 31, 2016 20:38 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
SaleCommon Stock 259,114 $75.16 $19,475,008.24
Disclosure

SEC source: 0001225208-16-040864 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,593,016

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 $75.00 to $75.83. Information regarding the number of shares sold at each price will be provided upon request.

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October 27, 2016 Filed Oct 31, 2016 20:38 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
Exercise / conversionCommon Stock 259,114 $50.99 $13,212,222.86
Disclosure

SEC source: 0001225208-16-040864 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,852,130

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

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

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

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June 22, 2016 Filed Jun 24, 2016 20:28 UTC
CRAWFORD STEPHEN SHead of Finance and Corp Dev
Tax withholdingCommon Stock 39,077 $63.93 $2,498,192.61
Disclosure

SEC source: 0001225208-16-035568 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 156,127

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

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May 09, 2016 Filed May 11, 2016 20:20 UTC
Blackley Richard ScottChief Financial Officer
GrantCommon Stock 14,368 $0.00 $0.00
Disclosure

SEC source: 0001225208-16-033134 · doc4.xml · nonDerivative · entry 1

Blackley Richard Scott · CIK 0001525020 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,412

F1 · security: These restricted stock units vest in four equal increments beginning on May 9, 2017 and annually thereafter.

Read SEC document
May 04, 2016 Filed May 6, 2016 20:28 UTC GrantCommon Stock 2,440 $0.00 $0.00
Disclosure

SEC source: 0001225208-16-032774 · doc4.xml · nonDerivative · entry 1

HACKETT ANN F · CIK 0001188662 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,950

F1 · security: Restricted stock units which vest in their entirety on May 4, 2017 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

Read SEC document
May 04, 2016 Filed May 6, 2016 20:28 UTC GrantCommon Stock 2,440 $0.00 $0.00
Disclosure

SEC source: 0001225208-16-032773 · doc4.xml · nonDerivative · entry 1

GROSS PATRICK W · CIK 0001184343 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,839

F1 · security: Restricted stock units which vest in their entirety on May 4, 2017 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

Read SEC document
May 04, 2016 Filed May 6, 2016 20:28 UTC GrantCommon Stock 2,440 $0.00 $0.00
Disclosure

SEC source: 0001225208-16-032775 · doc4.xml · nonDerivative · entry 1

HAY LEWIS III · CIK 0001182705 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,222

F1 · security: Restricted stock units which vest in their entirety on May 4, 2017 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

Read SEC document
May 04, 2016 Filed May 6, 2016 20:28 UTC GrantCommon Stock 2,440 $0.00 $0.00
Disclosure

SEC source: 0001225208-16-032776 · doc4.xml · nonDerivative · entry 1

JENKINS BENJAMIN P III · CIK 0001232069 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,739

F1 · security: Restricted stock units which vest in their entirety on May 4, 2017 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

Read SEC document
May 04, 2016 Filed May 6, 2016 20:28 UTC GrantCommon Stock 2,440 $0.00 $0.00
Disclosure

SEC source: 0001225208-16-032777 · doc4.xml · nonDerivative · entry 1

Killalea Peter Thomas · CIK 0001638728 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,090

F1 · security: Restricted stock units which vest in their entirety on May 4, 2017 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

Read SEC document
May 04, 2016 Filed May 6, 2016 20:28 UTC GrantCommon Stock 2,440 $0.00 $0.00
Disclosure

SEC source: 0001225208-16-032778 · doc4.xml · nonDerivative · entry 1

LEROY PIERRE E · CIK 0001055709 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,200

F1 · security: Restricted stock units which vest in their entirety on May 4, 2017 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

Read SEC document
May 04, 2016 Filed May 6, 2016 20:28 UTC GrantCommon Stock 2,440 $0.00 $0.00
Disclosure

SEC source: 0001225208-16-032779 · doc4.xml · nonDerivative · entry 1

RASKIND PETER E · CIK 0001181669 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,131

F1 · security: Restricted stock units which vest in their entirety on May 4, 2017 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

Read SEC document
May 04, 2016 Filed May 6, 2016 20:28 UTC GrantCommon Stock 2,440 $0.00 $0.00
Disclosure

SEC source: 0001225208-16-032780 · doc4.xml · nonDerivative · entry 1

SHATTUCK MAYO A III · CIK 0001087426 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,889

F1 · security: Restricted stock units which vest in their entirety on May 4, 2017 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

Read SEC document
May 04, 2016 Filed May 6, 2016 20:29 UTC GrantCommon Stock 2,440 $0.00 $0.00
Disclosure

SEC source: 0001225208-16-032781 · doc4.xml · nonDerivative · entry 1

WARNER BRADFORD H · CIK 0001195086 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,024

F1 · security: Restricted stock units which vest in their entirety on May 4, 2017 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

Read SEC document
May 04, 2016 Filed May 6, 2016 20:29 UTC GrantCommon Stock 2,440 $0.00 $0.00
Disclosure

SEC source: 0001225208-16-032782 · doc4.xml · nonDerivative · entry 1

WEST CATHERINE · CIK 0001238043 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,547

F1 · security: Restricted stock units which vest in their entirety on May 4, 2017 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

Read SEC document
March 08, 2016 Filed Mar 10, 2016 21:29 UTC
Berson Jory AChief Human Resources Officer
Tax withholdingCommon Stock 8,310 $68.49 $569,151.90
Disclosure

SEC source: 0001225208-16-029607 · doc4.xml · nonDerivative · entry 2

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,170

F3 · kind: These shares were automatically withheld by the Company to satisfy the reporting person's tax obligation associated with the settlement of the performance shares. This share withholding was authorized in the performance share award agreement.

Read SEC document
March 08, 2016 Filed Mar 10, 2016 21:29 UTC
Berson Jory AChief Human Resources Officer
GrantCommon Stock 17,420 $0.00 $0.00
Disclosure

SEC source: 0001225208-16-029607 · doc4.xml · nonDerivative · entry 1

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,480

F1 · security: These shares were earned pursuant to an award of performance shares granted on January 31, 2013 based on the Company's Adjusted ROA against a peer group of companies over a three-year performance period. These shares represent the number of shares paid out based on actual performance plus the dividend shares accrued under the same grant.

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

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