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CAPITAL ONE FINANCIAL CORP

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547
SEC CIK
0000927628
Parsed reports
2,528

Last 12 months

Inside the activity.

0 purchase rows · 62 sale rows

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

Latest available

Insider transactions

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

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

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
February 15, 2016 Filed Feb 17, 2016 22:20 UTC
Slocum MichaelPresident, Commercial Banking
Disposition to issuerCommon Stock 8,565 $62.51 $535,398.15
Disclosure

SEC source: 0001225208-16-026819 · doc4.xml · nonDerivative · entry 8

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,771

F1 · price: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 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, 2016 Filed Feb 17, 2016 22:20 UTC
Slocum MichaelPresident, Commercial Banking
Disposition to issuerCommon Stock 3,584 $62.51 $224,035.84
Disclosure

SEC source: 0001225208-16-026819 · doc4.xml · nonDerivative · entry 7

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,336

F2 · price: On February 15, 2016 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, 2016 Filed Feb 17, 2016 22:20 UTC
Slocum MichaelPresident, Commercial Banking
Disposition to issuerCommon Stock 3,576 $62.51 $223,535.76
Disclosure

SEC source: 0001225208-16-026819 · doc4.xml · nonDerivative · entry 6

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,920

F2 · price: On February 15, 2016 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, 2016 Filed Feb 17, 2016 22:20 UTC
Slocum MichaelPresident, Commercial Banking
Tax withholdingCommon Stock 1,834 $62.54 $114,698.36
Disclosure

SEC source: 0001225208-16-026819 · doc4.xml · nonDerivative · entry 5

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,496

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, 2016 Filed Feb 17, 2016 22:20 UTC
Slocum MichaelPresident, Commercial Banking
Tax withholdingCommon Stock 1,708 $62.54 $106,818.32
Disclosure

SEC source: 0001225208-16-026819 · doc4.xml · nonDerivative · entry 4

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,330

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, 2016 Filed Feb 17, 2016 22:20 UTC
Slocum MichaelPresident, Commercial Banking
Exercise / conversionCommon Stock 3,576 $0.00 $0.00
Disclosure

SEC source: 0001225208-16-026819 · doc4.xml · nonDerivative · entry 3

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,038

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: On February 15, 2016 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, 2016 Filed Feb 17, 2016 22:20 UTC
Slocum MichaelPresident, Commercial Banking
Exercise / conversionCommon Stock 3,584 $0.00 $0.00
Disclosure

SEC source: 0001225208-16-026819 · doc4.xml · nonDerivative · entry 2

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,462

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: On February 15, 2016 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, 2016 Filed Feb 17, 2016 22:20 UTC
Slocum MichaelPresident, Commercial Banking
Exercise / conversionCommon Stock 8,565 $0.00 $0.00
Disclosure

SEC source: 0001225208-16-026819 · doc4.xml · nonDerivative · entry 1

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,878

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: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 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, 2016 Filed Feb 17, 2016 22:20 UTC
Witter Jonathan W.President, Retail Banking
Exercise / conversionRestricted Stock Units · Derivative 9,205 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-16-026820 · doc4.xml · derivative · entry 11

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,205 shares

Expires 2016-02-15

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.

F1 · derivative.exercise_price: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F1 · price: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F1 · derivative.exercise_date: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F1 · derivative.expiration_date: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 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, 2016 Filed Feb 17, 2016 22:20 UTC
Witter Jonathan W.President, Retail Banking
Exercise / conversion2015 Restricted Stock Units · Derivative 3,951 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-16-026820 · doc4.xml · derivative · entry 10

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,900

Underlying: Common Stock · 3,951 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.

F2 · derivative.exercise_price: On February 15, 2016 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.

F2 · price: On February 15, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date.

F6 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2016 and annually thereafter.

F6 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2016 and annually thereafter.

Read SEC document
February 15, 2016 Filed Feb 17, 2016 22:20 UTC
Witter Jonathan W.President, Retail Banking
Exercise / conversion2014 Restricted Stock Units · Derivative 4,438 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-16-026820 · doc4.xml · derivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,438

Underlying: Common Stock · 4,438 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.

F2 · derivative.exercise_price: On February 15, 2016 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.

F2 · price: On February 15, 2016 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.

F5 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2015 and annually thereafter.

F5 · 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, 2016 Filed Feb 17, 2016 22:20 UTC
Witter Jonathan W.President, Retail Banking
Disposition to issuerCommon Stock 9,205 $62.51 $575,404.55
Disclosure

SEC source: 0001225208-16-026820 · doc4.xml · nonDerivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,076

F1 · price: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 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, 2016 Filed Feb 17, 2016 22:20 UTC
Witter Jonathan W.President, Retail Banking
Disposition to issuerCommon Stock 4,438 $62.51 $277,419.38
Disclosure

SEC source: 0001225208-16-026820 · doc4.xml · nonDerivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,281

F2 · price: On February 15, 2016 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, 2016 Filed Feb 17, 2016 22:20 UTC
Witter Jonathan W.President, Retail Banking
Disposition to issuerCommon Stock 3,951 $62.51 $246,977.01
Disclosure

SEC source: 0001225208-16-026820 · doc4.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,719

F2 · price: On February 15, 2016 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, 2016 Filed Feb 17, 2016 22:20 UTC
Witter Jonathan W.President, Retail Banking
Tax withholdingCommon Stock 2,052 $62.54 $128,332.08
Disclosure

SEC source: 0001225208-16-026820 · doc4.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,670

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

Read SEC document
February 15, 2016 Filed Feb 17, 2016 22:20 UTC
Witter Jonathan W.President, Retail Banking
Tax withholdingCommon Stock 1,773 $62.54 $110,883.42
Disclosure

SEC source: 0001225208-16-026820 · doc4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,722

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

Read SEC document
February 15, 2016 Filed Feb 17, 2016 22:20 UTC
Witter Jonathan W.President, Retail Banking
Exercise / conversionCommon Stock 3,951 $0.00 $0.00
Disclosure

SEC source: 0001225208-16-026820 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,495

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: On February 15, 2016 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, 2016 Filed Feb 17, 2016 22:20 UTC
Witter Jonathan W.President, Retail Banking
Exercise / conversionCommon Stock 4,438 $0.00 $0.00
Disclosure

SEC source: 0001225208-16-026820 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,544

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: On February 15, 2016 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, 2016 Filed Feb 17, 2016 22:20 UTC
Witter Jonathan W.President, Retail Banking
Exercise / conversionCommon Stock 9,205 $0.00 $0.00
Disclosure

SEC source: 0001225208-16-026820 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,106

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: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 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, 2016 Filed Feb 17, 2016 22:21 UTC
CRAWFORD STEPHEN SChief Financial Officer
Exercise / conversionRestricted Stock Units · Derivative 15,529 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-16-026821 · doc4.xml · derivative · entry 11

CRAWFORD STEPHEN S · CIK 0001183416 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,529 shares

Expires 2016-02-15

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.

F1 · derivative.exercise_price: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F1 · price: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F1 · derivative.exercise_date: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F1 · derivative.expiration_date: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 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, 2016 Filed Feb 17, 2016 22:21 UTC
CRAWFORD STEPHEN SChief Financial Officer
Exercise / conversion2015 Restricted Stock Units · Derivative 6,757 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-16-026821 · doc4.xml · derivative · entry 10

CRAWFORD STEPHEN S · CIK 0001183416 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,513

Underlying: Common Stock · 6,757 shares

Expires not disclosed

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

F2 · derivative.exercise_price: On February 15, 2016 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.

F2 · price: On February 15, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the fifteen trading days preceding the vesting date.

F6 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2016 and annually thereafter.

F6 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2016 and annually thereafter.

Read SEC document
February 15, 2016 Filed Feb 17, 2016 22:21 UTC
CRAWFORD STEPHEN SChief Financial Officer
Exercise / conversion2014 Restricted Stock Units · Derivative 6,932 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-16-026821 · doc4.xml · derivative · entry 9

CRAWFORD STEPHEN S · CIK 0001183416 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,931

Underlying: Common Stock · 6,932 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.

F2 · derivative.exercise_price: On February 15, 2016 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.

F2 · price: On February 15, 2016 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.

F5 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2015 and annually thereafter.

F5 · 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, 2016 Filed Feb 17, 2016 22:21 UTC
CRAWFORD STEPHEN SChief Financial Officer
Disposition to issuerCommon Stock 15,529 $62.51 $970,717.79
Disclosure

SEC source: 0001225208-16-026821 · doc4.xml · nonDerivative · entry 8

CRAWFORD STEPHEN S · CIK 0001183416 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 195,204

F1 · price: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 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, 2016 Filed Feb 17, 2016 22:21 UTC
CRAWFORD STEPHEN SChief Financial Officer
Disposition to issuerCommon Stock 6,932 $62.51 $433,319.32
Disclosure

SEC source: 0001225208-16-026821 · doc4.xml · nonDerivative · entry 7

CRAWFORD STEPHEN S · CIK 0001183416 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 210,733

F2 · price: On February 15, 2016 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, 2016 Filed Feb 17, 2016 22:21 UTC
CRAWFORD STEPHEN SChief Financial Officer
Disposition to issuerCommon Stock 6,757 $62.51 $422,380.07
Disclosure

SEC source: 0001225208-16-026821 · doc4.xml · nonDerivative · entry 6

CRAWFORD STEPHEN S · CIK 0001183416 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 217,665

F2 · price: On February 15, 2016 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, 2016 Filed Feb 17, 2016 22:21 UTC
CRAWFORD STEPHEN SChief Financial Officer
Tax withholdingCommon Stock 4,731 $62.54 $295,876.74
Disclosure

SEC source: 0001225208-16-026821 · doc4.xml · nonDerivative · entry 5

CRAWFORD STEPHEN S · CIK 0001183416 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 224,422

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, 2016 Filed Feb 17, 2016 22:21 UTC
CRAWFORD STEPHEN SChief Financial Officer
Tax withholdingCommon Stock 4,119 $62.54 $257,602.26
Disclosure

SEC source: 0001225208-16-026821 · doc4.xml · nonDerivative · entry 4

CRAWFORD STEPHEN S · CIK 0001183416 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 229,153

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, 2016 Filed Feb 17, 2016 22:21 UTC
CRAWFORD STEPHEN SChief Financial Officer
Exercise / conversionCommon Stock 6,757 $0.00 $0.00
Disclosure

SEC source: 0001225208-16-026821 · doc4.xml · nonDerivative · entry 3

CRAWFORD STEPHEN S · CIK 0001183416 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 233,272

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: On February 15, 2016 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, 2016 Filed Feb 17, 2016 22:21 UTC
CRAWFORD STEPHEN SChief Financial Officer
Exercise / conversionCommon Stock 6,932 $0.00 $0.00
Disclosure

SEC source: 0001225208-16-026821 · doc4.xml · nonDerivative · entry 2

CRAWFORD STEPHEN S · CIK 0001183416 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 226,515

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: On February 15, 2016 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, 2016 Filed Feb 17, 2016 22:21 UTC
CRAWFORD STEPHEN SChief Financial Officer
Exercise / conversionCommon Stock 15,529 $0.00 $0.00
Disclosure

SEC source: 0001225208-16-026821 · doc4.xml · nonDerivative · entry 1

CRAWFORD STEPHEN S · CIK 0001183416 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 219,583

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: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 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, 2016 Filed Feb 17, 2016 22:21 UTC
Blackley Richard ScottPrincipal Accounting Officer
Exercise / conversionRestricted Stock Units · Derivative 3,496 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-16-026822 · doc4.xml · derivative · entry 8

Blackley Richard Scott · CIK 0001525020 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,496 shares

Expires 2016-02-15

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.

F1 · derivative.exercise_price: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F1 · price: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F1 · derivative.exercise_date: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F1 · derivative.expiration_date: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 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, 2016 Filed Feb 17, 2016 22:21 UTC
Blackley Richard ScottPrincipal Accounting Officer
Exercise / conversion2015 Restricted Stock Units · Derivative 1,346 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-16-026822 · doc4.xml · derivative · entry 7

Blackley Richard Scott · CIK 0001525020 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,690

Underlying: Common Stock · 1,346 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.

F2 · derivative.exercise_price: On February 15, 2016 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.

F2 · price: On February 15, 2016 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.

F5 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2016 and annually thereafter.

F5 · 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, 2016 Filed Feb 17, 2016 22:21 UTC
Blackley Richard ScottPrincipal Accounting Officer
Disposition to issuerCommon Stock 3,496 $62.51 $218,534.96
Disclosure

SEC source: 0001225208-16-026822 · doc4.xml · nonDerivative · entry 6

Blackley Richard Scott · CIK 0001525020 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,283

F1 · price: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 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, 2016 Filed Feb 17, 2016 22:21 UTC
Blackley Richard ScottPrincipal Accounting Officer
Disposition to issuerCommon Stock 1,346 $62.51 $84,138.46
Disclosure

SEC source: 0001225208-16-026822 · doc4.xml · nonDerivative · entry 5

Blackley Richard Scott · CIK 0001525020 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,779

F2 · price: On February 15, 2016 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.

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February 15, 2016 Filed Feb 17, 2016 22:21 UTC
Blackley Richard ScottPrincipal Accounting Officer
Tax withholdingCommon Stock 899 $62.54 $56,223.46
Disclosure

SEC source: 0001225208-16-026822 · doc4.xml · nonDerivative · entry 4

Blackley Richard Scott · CIK 0001525020 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,125

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

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February 15, 2016 Filed Feb 17, 2016 22:21 UTC
Blackley Richard ScottPrincipal Accounting Officer
Tax withholdingCommon Stock 839 $62.54 $52,471.06
Disclosure

SEC source: 0001225208-16-026822 · doc4.xml · nonDerivative · entry 3

Blackley Richard Scott · CIK 0001525020 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,024

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

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February 15, 2016 Filed Feb 17, 2016 22:21 UTC
Blackley Richard ScottPrincipal Accounting Officer
Exercise / conversionCommon Stock 1,346 $0.00 $0.00
Disclosure

SEC source: 0001225208-16-026822 · doc4.xml · nonDerivative · entry 2

Blackley Richard Scott · CIK 0001525020 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,863

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: On February 15, 2016 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.

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February 15, 2016 Filed Feb 17, 2016 22:21 UTC
Blackley Richard ScottPrincipal Accounting Officer
Exercise / conversionCommon Stock 3,496 $0.00 $0.00
Disclosure

SEC source: 0001225208-16-026822 · doc4.xml · nonDerivative · entry 1

Blackley Richard Scott · CIK 0001525020 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,517

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: Each restricted stock vested on January 1, 2016 and settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

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February 10, 2016 Filed Feb 12, 2016 22:47 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
Exercise / conversion2013 Restricted Stock Units · Derivative 38,841 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-16-026369 · 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: 0

Underlying: Common Stock · 38,841 shares

Expires 2016-02-10

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 · derivative.exercise_price: On February 10, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of share of common stock over the twenty trading days preceding the vesting date.

F2 · derivative.exercise_date: The restricted stock units vested in full on February 10, 2016.

F2 · derivative.expiration_date: The restricted stock units vested in full on February 10, 2016.

F1 · balance_after: On February 10, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of share of common stock over the twenty trading days preceding the vesting date.

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February 10, 2016 Filed Feb 12, 2016 22:47 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
Disposition to issuerCommon Stock 38,841 $62.74 $2,436,884.34
Disclosure

SEC source: 0001225208-16-026369 · 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: 2,464,016

F1 · price: On February 10, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of share of common stock over the twenty trading days preceding the vesting date.

Read SEC document
February 10, 2016 Filed Feb 12, 2016 22:47 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
Exercise / conversionCommon Stock 38,841 $0.00 $0.00
Disclosure

SEC source: 0001225208-16-026369 · 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: 2,502,857

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 10, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of share of common stock over the twenty trading days preceding the vesting date.

Read SEC document
February 10, 2016 Filed Feb 12, 2016 22:47 UTC
Sanjiv YajnikPresident, Financial Services
Exercise / conversion2013 Restricted Stock Units · Derivative 4,254 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-16-026370 · 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 · 4,254 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 10, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

F1 · price: On February 10, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

F3 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2014 and annually thereafter.

F3 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2014 and annually thereafter.

Read SEC document
February 10, 2016 Filed Feb 12, 2016 22:47 UTC
Sanjiv YajnikPresident, Financial Services
Disposition to issuerCommon Stock 4,254 $62.74 $266,895.96
Disclosure

SEC source: 0001225208-16-026370 · doc4.xml · nonDerivative · entry 3

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 143,030

F1 · price: On February 10, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

Read SEC document
February 10, 2016 Filed Feb 12, 2016 22:47 UTC
Sanjiv YajnikPresident, Financial Services
Tax withholdingCommon Stock 1,763 $62.24 $109,729.12
Disclosure

SEC source: 0001225208-16-026370 · doc4.xml · nonDerivative · entry 2

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147,284

F2 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 31, 2013. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 10, 2016 Filed Feb 12, 2016 22:47 UTC
Sanjiv YajnikPresident, Financial Services
Exercise / conversionCommon Stock 4,254 $0.00 $0.00
Disclosure

SEC source: 0001225208-16-026370 · doc4.xml · nonDerivative · entry 1

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 149,047

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 10, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

Read SEC document
February 10, 2016 Filed Feb 12, 2016 22:47 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversion2013 Restricted Stock Units · Derivative 3,287 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-16-026371 · 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 · 3,287 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 10, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

F1 · price: On February 10, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

F3 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2014 and annually thereafter.

F3 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2014 and annually thereafter.

Read SEC document
February 10, 2016 Filed Feb 12, 2016 22:47 UTC
Alexander Robert M.Chief Information Officer
Disposition to issuerCommon Stock 3,287 $62.74 $206,226.38
Disclosure

SEC source: 0001225208-16-026371 · doc4.xml · nonDerivative · entry 3

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,370

F1 · price: On February 10, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

Read SEC document
February 10, 2016 Filed Feb 12, 2016 22:47 UTC
Alexander Robert M.Chief Information Officer
Tax withholdingCommon Stock 1,814 $62.24 $112,903.36
Disclosure

SEC source: 0001225208-16-026371 · doc4.xml · nonDerivative · entry 2

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,657

F2 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 31, 2013. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 10, 2016 Filed Feb 12, 2016 22:47 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionCommon Stock 3,287 $0.00 $0.00
Disclosure

SEC source: 0001225208-16-026371 · doc4.xml · nonDerivative · entry 1

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,471

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 10, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

Read SEC document
February 10, 2016 Filed Feb 12, 2016 22:47 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversion2013 Restricted Stock Units · Derivative 4,024 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-16-026372 · 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 · 4,024 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 10, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

F1 · price: On February 10, 2016 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

F4 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2014 and annually thereafter.

F4 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2014 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.