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CAPITAL ONE FINANCIAL CORP

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547
SEC CIK
0000927628
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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
February 04, 2016 Filed Feb 9, 2016 02:12 UTC
CRAWFORD STEPHEN SChief Financial Officer
Tax withholdingCommon Stock 15,653 $63.73 $997,565.69
Disclosure

SEC source: 0001225208-16-025839 · doc4.xml · nonDerivative · entry 2

CRAWFORD STEPHEN S · CIK 0001183416 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 204,054

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 February 4, 2013. This is authorized in applicable restricted stock award agreement.

Read SEC document
February 04, 2016 Filed Feb 9, 2016 02:12 UTC
CRAWFORD STEPHEN SChief Financial Officer
GrantCommon Stock 30,410 $0.00 $0.00
Disclosure

SEC source: 0001225208-16-025839 · doc4.xml · nonDerivative · entry 1

CRAWFORD STEPHEN S · CIK 0001183416 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 219,707

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2017 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
February 04, 2016 Filed Feb 9, 2016 02:12 UTC
Blackley Richard ScottPrincipal Accounting Officer
GrantRestricted Stock Units · Derivative 6,434 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-16-025840 · doc4.xml · derivative · entry 3

Blackley Richard Scott · CIK 0001525020 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,434

Underlying: Common Stock · 6,434 shares

Expires 2017-02-15

F5 · derivative.exercise_price: Each restricted stock unit will vest on January 1, 2017 and will be settled in cash on February 15, 2017 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F5 · derivative.exercise_date: Each restricted stock unit will vest on January 1, 2017 and will be settled in cash on February 15, 2017 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F5 · derivative.expiration_date: Each restricted stock unit will vest on January 1, 2017 and will be settled in cash on February 15, 2017 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

Read SEC document
February 04, 2016 Filed Feb 9, 2016 02:12 UTC
Blackley Richard ScottPrincipal Accounting Officer
Grant2016 Restricted Stock Units · Derivative 4,712 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-16-025840 · doc4.xml · derivative · entry 2

Blackley Richard Scott · CIK 0001525020 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,712

Underlying: Common Stock · 4,712 shares

Expires not disclosed

F2 · 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.

F3 · shares: This award is reported net of 222 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

F4 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2017 and annually thereafter.

F4 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2017 and annually thereafter.

F3 · derivative.underlying_shares: This award is reported net of 222 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

Read SEC document
February 04, 2016 Filed Feb 9, 2016 02:12 UTC
Blackley Richard ScottPrincipal Accounting Officer
GrantCommon Stock 10,268 $0.00 $0.00
Disclosure

SEC source: 0001225208-16-025840 · doc4.xml · nonDerivative · entry 1

Blackley Richard Scott · CIK 0001525020 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,879

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2017 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
February 04, 2016 Filed Feb 9, 2016 02:12 UTC
Schneider Ryan M.President, Card
GrantStock Options · Derivative 44,709 $0.00 Strike: $63.73 $0.00
Disclosure

SEC source: 0001225208-16-025841 · doc4.xml · derivative · entry 4

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,709

Underlying: Common Stock · 44,709 shares

Expires 2026-02-03

F7 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on February 15, 2017 and annually thereafter.

Read SEC document
February 04, 2016 Filed Feb 9, 2016 02:12 UTC
Schneider Ryan M.President, Card
GrantRestricted Stock Units · Derivative 14,358 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-16-025841 · doc4.xml · derivative · entry 3

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,358

Underlying: Common Stock · 14,358 shares

Expires 2017-02-15

F6 · derivative.exercise_price: Each restricted stock unit will vest on January 1, 2017 and will be settled in cash on February 15, 2017 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F6 · derivative.exercise_date: Each restricted stock unit will vest on January 1, 2017 and will be settled in cash on February 15, 2017 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F6 · derivative.expiration_date: Each restricted stock unit will vest on January 1, 2017 and will be settled in cash on February 15, 2017 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

Read SEC document
February 04, 2016 Filed Feb 9, 2016 02:12 UTC
Schneider Ryan M.President, Card
Grant2016 Restricted Stock Units · Derivative 13,032 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-16-025841 · doc4.xml · derivative · entry 2

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,032

Underlying: Common Stock · 13,032 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 463 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, 2017 and annually thereafter.

F5 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2017 and annually thereafter.

F4 · derivative.underlying_shares: This award is reported net of 463 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

Read SEC document
February 04, 2016 Filed Feb 9, 2016 02:12 UTC
Schneider Ryan M.President, Card
GrantCommon Stock 25,823 $0.00 $0.00
Disclosure

SEC source: 0001225208-16-025841 · doc4.xml · nonDerivative · entry 1

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 181,866

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2017 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 04, 2016 Filed Feb 9, 2016 02:12 UTC
Berson Jory AChief Human Resources Officer
GrantStock Options · Derivative 27,983 $0.00 Strike: $63.73 $0.00
Disclosure

SEC source: 0001225208-16-025842 · doc4.xml · derivative · entry 5

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,983

Underlying: Common Stock · 27,983 shares

Expires 2026-02-03

F8 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on February 15, 2017 and annually thereafter.

Read SEC document
February 04, 2016 Filed Feb 9, 2016 02:12 UTC
Berson Jory AChief Human Resources Officer
GrantRestricted Stock Units · Derivative 9,698 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-16-025842 · doc4.xml · derivative · entry 4

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,698

Underlying: Common Stock · 9,698 shares

Expires 2017-02-15

F7 · derivative.exercise_price: Each restricted stock unit will vest on January 1, 2017 and will be settled in cash on February 15, 2017 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F7 · derivative.exercise_date: Each restricted stock unit will vest on January 1, 2017 and will be settled in cash on February 15, 2017 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F7 · derivative.expiration_date: Each restricted stock unit will vest on January 1, 2017 and will be settled in cash on February 15, 2017 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

Read SEC document
February 04, 2016 Filed Feb 9, 2016 02:12 UTC
Berson Jory AChief Human Resources Officer
Grant2016 Restricted Stock Units · Derivative 9,360 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-16-025842 · doc4.xml · derivative · entry 3

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,360

Underlying: Common Stock · 9,360 shares

Expires not disclosed

F4 · 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.

F5 · shares: This award is reported net of 338 units automatically withheld by the Company to satisfy the reporting person's tax obligations.

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

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

F5 · derivative.underlying_shares: This award is reported net of 338 units automatically withheld by the Company to satisfy the reporting person's tax obligations.

Read SEC document
February 04, 2016 Filed Feb 9, 2016 02:12 UTC
Berson Jory AChief Human Resources Officer
GrantCommon Stock 16,162 $0.00 $0.00
Disclosure

SEC source: 0001225208-16-025842 · doc4.xml · nonDerivative · entry 1

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,285

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2017 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 04, 2016 Filed Feb 9, 2016 02:12 UTC
Witter Jonathan W.President, Retail Banking
GrantStock Options · Derivative 31,189 $0.00 Strike: $63.73 $0.00
Disclosure

SEC source: 0001225208-16-025843 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,189

Underlying: Common Stock · 31,189 shares

Expires 2026-02-03

F7 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on February 15, 2017 and annually thereafter.

Read SEC document
February 04, 2016 Filed Feb 9, 2016 02:12 UTC
Witter Jonathan W.President, Retail Banking
GrantRestricted Stock Units · Derivative 11,141 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-16-025843 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,141

Underlying: Common Stock · 11,141 shares

Expires 2017-02-15

F6 · derivative.exercise_price: Each restricted stock unit will vest on January 1, 2017 and will be settled in cash on February 15, 2017 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F6 · derivative.exercise_date: Each restricted stock unit will vest on January 1, 2017 and will be settled in cash on February 15, 2017 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F6 · derivative.expiration_date: Each restricted stock unit will vest on January 1, 2017 and will be settled in cash on February 15, 2017 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

Read SEC document
February 04, 2016 Filed Feb 9, 2016 02:12 UTC
Witter Jonathan W.President, Retail Banking
Grant2016 Restricted Stock Units · Derivative 10,449 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-16-025843 · doc4.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,449

Underlying: Common Stock · 10,449 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 378 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, 2017 and annually thereafter.

F5 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2017 and annually thereafter.

F4 · derivative.underlying_shares: This award is reported net of 378 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

Read SEC document
February 04, 2016 Filed Feb 9, 2016 02:12 UTC
Witter Jonathan W.President, Retail Banking
GrantCommon Stock 18,014 $0.00 $0.00
Disclosure

SEC source: 0001225208-16-025843 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,369

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2017 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 04, 2016 Filed Feb 9, 2016 02:12 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
GrantStock Options · Derivative 32,420 $0.00 Strike: $63.73 $0.00
Disclosure

SEC source: 0001225208-16-025844 · 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: 32,420

Underlying: Common Stock · 32,420 shares

Expires 2026-02-03

F7 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on February 15, 2017 and annually thereafter.

Read SEC document
February 04, 2016 Filed Feb 9, 2016 02:12 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
GrantRestricted Stock Units · Derivative 11,565 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-16-025844 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,565

Underlying: Common Stock · 11,565 shares

Expires 2017-02-15

F6 · derivative.exercise_price: Each restricted stock unit will vest on January 1, 2017 and will be settled in cash on February 15, 2017 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F6 · derivative.exercise_date: Each restricted stock unit will vest on January 1, 2017 and will be settled in cash on February 15, 2017 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F6 · derivative.expiration_date: Each restricted stock unit will vest on January 1, 2017 and will be settled in cash on February 15, 2017 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

Read SEC document
February 04, 2016 Filed Feb 9, 2016 02:12 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Grant2016 Restricted Stock Units · Derivative 10,341 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-16-025844 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,341

Underlying: Common Stock · 10,341 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 377 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, 2017 and annually thereafter.

F5 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2017 and annually thereafter.

F4 · derivative.underlying_shares: This award is reported net of 377 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

Read SEC document
February 04, 2016 Filed Feb 9, 2016 02:12 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
GrantCommon Stock 18,725 $0.00 $0.00
Disclosure

SEC source: 0001225208-16-025844 · 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: 86,287

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2017 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
February 04, 2016 Filed Feb 9, 2016 02:12 UTC
Alexander Robert M.Chief Information Officer
GrantStock Options · Derivative 28,540 $0.00 Strike: $63.73 $0.00
Disclosure

SEC source: 0001225208-16-025845 · doc4.xml · derivative · entry 6

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,540

Underlying: Common Stock · 28,540 shares

Expires 2026-02-03

F7 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on February 15, 2017 and annually thereafter.

Read SEC document
February 04, 2016 Filed Feb 9, 2016 02:12 UTC
Alexander Robert M.Chief Information Officer
GrantRestricted Stock Units · Derivative 9,729 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-16-025845 · doc4.xml · derivative · entry 5

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,729

Underlying: Common Stock · 9,729 shares

Expires 2017-02-15

F6 · derivative.exercise_price: Each restricted stock unit will vest on January 1, 2017 and will be settled in cash on February 15, 2017 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F6 · derivative.exercise_date: Each restricted stock unit will vest on January 1, 2017 and will be settled in cash on February 15, 2017 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F6 · derivative.expiration_date: Each restricted stock unit will vest on January 1, 2017 and will be settled in cash on February 15, 2017 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

Read SEC document
February 04, 2016 Filed Feb 9, 2016 02:12 UTC
Alexander Robert M.Chief Information Officer
Grant2016 Restricted Stock Units · Derivative 8,682 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-16-025845 · doc4.xml · derivative · entry 4

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,682

Underlying: Common Stock · 8,682 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 325 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, 2017 and annually thereafter.

F5 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2017 and annually thereafter.

F4 · derivative.underlying_shares: This award is reported net of 325 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

Read SEC document
February 04, 2016 Filed Feb 9, 2016 02:12 UTC
Alexander Robert M.Chief Information Officer
GrantCommon Stock 16,484 $0.00 $0.00
Disclosure

SEC source: 0001225208-16-025845 · doc4.xml · nonDerivative · entry 1

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,184

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2017 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 04, 2016 Filed Feb 9, 2016 02:12 UTC
Slocum MichaelPresident, Commercial Banking
GrantStock Options · Derivative 29,070 $0.00 Strike: $63.73 $0.00
Disclosure

SEC source: 0001225208-16-025846 · doc4.xml · derivative · entry 4

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,070

Underlying: Common Stock · 29,070 shares

Expires 2026-02-03

F6 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on February 15, 2017 and annually thereafter.

Read SEC document
February 04, 2016 Filed Feb 9, 2016 02:12 UTC
Slocum MichaelPresident, Commercial Banking
GrantRestricted Stock Units · Derivative 10,592 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-16-025846 · doc4.xml · derivative · entry 3

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,592

Underlying: Common Stock · 10,592 shares

Expires 2017-02-15

F5 · derivative.exercise_price: Each restricted stock unit will vest on January 1, 2017 and will be settled in cash on February 15, 2017 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F5 · derivative.exercise_date: Each restricted stock unit will vest on January 1, 2017 and will be settled in cash on February 15, 2017 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F5 · derivative.expiration_date: Each restricted stock unit will vest on January 1, 2017 and will be settled in cash on February 15, 2017 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

Read SEC document
February 04, 2016 Filed Feb 9, 2016 02:12 UTC
Slocum MichaelPresident, Commercial Banking
Grant2016 Restricted Stock Units · Derivative 9,682 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-16-025846 · doc4.xml · derivative · entry 2

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,682

Underlying: Common Stock · 9,682 shares

Expires not disclosed

F2 · 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.

F3 · shares: This award is reported net of 392 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

F4 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2017 and annually thereafter.

F4 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2017 and annually thereafter.

F3 · derivative.underlying_shares: This award is reported net of 392 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

Read SEC document
February 04, 2016 Filed Feb 9, 2016 02:12 UTC
Slocum MichaelPresident, Commercial Banking
GrantCommon Stock 16,790 $0.00 $0.00
Disclosure

SEC source: 0001225208-16-025846 · doc4.xml · nonDerivative · entry 1

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,363

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2017 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
February 04, 2016 Filed Feb 9, 2016 02:12 UTC
Borgmann Kevin S.Chief Risk Officer
GrantStock Options · Derivative 28,676 $0.00 Strike: $63.73 $0.00
Disclosure

SEC source: 0001225208-16-025847 · doc4.xml · derivative · entry 4

Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,676

Underlying: Common Stock · 28,676 shares

Expires 2026-02-03

F6 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on February 15, 2017 and annually thereafter.

Read SEC document
February 04, 2016 Filed Feb 9, 2016 02:12 UTC
Borgmann Kevin S.Chief Risk Officer
GrantRestricted Stock Units · Derivative 10,749 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-16-025847 · doc4.xml · derivative · entry 3

Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,749

Underlying: Common Stock · 10,749 shares

Expires 2017-02-15

F5 · derivative.exercise_price: Each restricted stock unit will vest on January 1, 2017 and will be settled in cash on February 15, 2017 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F5 · derivative.exercise_date: Each restricted stock unit will vest on January 1, 2017 and will be settled in cash on February 15, 2017 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F5 · derivative.expiration_date: Each restricted stock unit will vest on January 1, 2017 and will be settled in cash on February 15, 2017 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

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February 04, 2016 Filed Feb 9, 2016 02:12 UTC
Borgmann Kevin S.Chief Risk Officer
Grant2016 Restricted Stock Units · Derivative 9,588 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-16-025847 · doc4.xml · derivative · entry 2

Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,588

Underlying: Common Stock · 9,588 shares

Expires not disclosed

F2 · 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.

F3 · shares: This award is reported net of 361 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

F4 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2017 and annually thereafter.

F4 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2017 and annually thereafter.

F3 · derivative.underlying_shares: This award is reported net of 361 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

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February 04, 2016 Filed Feb 9, 2016 02:12 UTC
Borgmann Kevin S.Chief Risk Officer
GrantCommon Stock 16,563 $0.00 $0.00
Disclosure

SEC source: 0001225208-16-025847 · doc4.xml · nonDerivative · entry 1

Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,001

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2017 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

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November 13, 2015 Filed Nov 23, 2015 21:26 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
GiftCommon Stock 5,176 $0.00 $0.00
Disclosure

SEC source: 0001225208-15-021286 · 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: 2,437,095

F1 · 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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November 03, 2015 Filed Nov 5, 2015 22:19 UTC
Slocum MichaelPresident, Commercial Banking
SaleCommon Stock 2,930 $80.86 $236,919.80
Disclosure

SEC source: 0001225208-15-020451 · doc4.xml · nonDerivative · entry 1

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,573

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October 30, 2015 Filed Nov 3, 2015 23:00 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
GiftCommon Stock 2,102 $0.00 $0.00
Disclosure

SEC source: 0001225208-15-020293 · 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: 119,950

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July 21, 2015 Filed Jul 23, 2015 21:06 UTC
Borgmann Kevin S.Chief Risk Officer
SaleCommon Stock 1,811 $91.42 $165,561.62
Disclosure

SEC source: 0001225208-15-015761 · doc4.xml · nonDerivative · entry 1

Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,438

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on October 23, 2014, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

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July 20, 2015 Filed Jul 22, 2015 20:14 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionStock Options · Derivative 9,769 $0.00 Strike: $45.75 $0.00
Disclosure

SEC source: 0001225208-15-015711 · 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 · 9,769 shares

Expires 2022-01-30

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 1, 2015, 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 February 10, 2013 and annually thereafter.

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July 20, 2015 Filed Jul 22, 2015 20:14 UTC
Alexander Robert M.Chief Information Officer
SaleCommon Stock 8,537 $91.74 $783,184.38
Disclosure

SEC source: 0001225208-15-015711 · doc4.xml · nonDerivative · entry 3

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,680

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

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July 20, 2015 Filed Jul 22, 2015 20:14 UTC
Alexander Robert M.Chief Information Officer
SaleCommon Stock 5,675 $91.74 $520,624.50
Disclosure

SEC source: 0001225208-15-015711 · doc4.xml · nonDerivative · entry 2

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,217

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

Read SEC document
July 20, 2015 Filed Jul 22, 2015 20:14 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionCommon Stock 9,769 $45.75 $446,931.75
Disclosure

SEC source: 0001225208-15-015711 · doc4.xml · nonDerivative · entry 1

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,892

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 1, 2015, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
July 15, 2015 Filed Jul 17, 2015 21:20 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
Exercise / conversionStock Options · Derivative 56,510 $0.00 Strike: $88.81 $0.00
Disclosure

SEC source: 0001225208-15-015634 · 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 · 56,510 shares

Expires 2016-03-02

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: The transaction was executed pursuant to a trading plan entered into by the reporting person on May 6, 2015, 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 3, 2007 and annually thereafter.

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July 15, 2015 Filed Jul 17, 2015 21:20 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
SaleCommon Stock 56,510 $90.00 $5,085,900.00
Disclosure

SEC source: 0001225208-15-015634 · 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: 122,052

F1 · security: The transaction was executed pursuant to a trading plan entered into by the reporting person on May 6, 2015, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
July 15, 2015 Filed Jul 17, 2015 21:20 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
Exercise / conversionCommon Stock 56,510 $88.81 $5,018,653.10
Disclosure

SEC source: 0001225208-15-015634 · 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: 178,562

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: The transaction was executed pursuant to a trading plan entered into by the reporting person on May 6, 2015, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
July 01, 2015 Filed Jul 2, 2015 20:42 UTC
Witter Jonathan W.President, Retail Banking
SaleCommon Stock 28,885 $88.55 $2,557,766.75
Disclosure

SEC source: 0001225208-15-015048 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,623

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 7, 2015, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F4 · price: These shares were sold at prices ranging from $88.20 to $89.01. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
July 01, 2015 Filed Jul 2, 2015 20:42 UTC
Witter Jonathan W.President, Retail Banking
SaleCommon Stock 10,373 $88.56 $918,632.88
Disclosure

SEC source: 0001225208-15-015048 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,508

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 7, 2015, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2 · price: These shares were sold at prices ranging from $88.19 to $89.01. Information regarding the number of shares sold at each price will be provided upon request.

F3 · 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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June 25, 2015 Filed Jun 29, 2015 20:19 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
Exercise / conversionStock Options · Derivative 7,140 $0.00 Strike: $88.81 $0.00
Disclosure

SEC source: 0001225208-15-014341 · 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: 56,510

Underlying: Common Stock · 7,140 shares

Expires 2016-03-02

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 6, 2015, 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 3, 2007 and annually thereafter.

Read SEC document
June 25, 2015 Filed Jun 29, 2015 20:19 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
SaleCommon Stock 7,140 $90.00 $642,600.00
Disclosure

SEC source: 0001225208-15-014341 · 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: 122,052

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 6, 2015, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
June 25, 2015 Filed Jun 29, 2015 20:19 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
Exercise / conversionCommon Stock 7,140 $88.81 $634,103.40
Disclosure

SEC source: 0001225208-15-014341 · 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: 129,192

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 6, 2015, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
June 23, 2015 Filed Jun 25, 2015 21:13 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionStock Options · Derivative 9,768 $0.00 Strike: $45.75 $0.00
Disclosure

SEC source: 0001225208-15-014307 · doc4.xml · derivative · entry 6

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,769

Underlying: Common Stock · 9,768 shares

Expires 2022-01-30

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 1, 2015, 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 February 10, 2013 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.