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CAPITAL ONE FINANCIAL CORP

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547
SEC CIK
0000927628
Parsed reports
2,528

Last 12 months

Inside the activity.

0 purchase rows · 62 sale rows

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

Latest available

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

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

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
June 23, 2015 Filed Jun 25, 2015 21:13 UTC
Alexander Robert M.Chief Information Officer
SaleCommon Stock 8,565 $89.92 $770,164.80
Disclosure

SEC source: 0001225208-15-014307 · doc4.xml · nonDerivative · entry 3

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,123

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
June 23, 2015 Filed Jun 25, 2015 21:13 UTC
Alexander Robert M.Chief Information Officer
SaleCommon Stock 5,000 $89.92 $449,600.00
Disclosure

SEC source: 0001225208-15-014307 · doc4.xml · nonDerivative · entry 2

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,688

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
June 23, 2015 Filed Jun 25, 2015 21:13 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionCommon Stock 9,768 $45.75 $446,886.00
Disclosure

SEC source: 0001225208-15-014307 · doc4.xml · nonDerivative · entry 1

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,688

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
June 22, 2015 Filed Jun 24, 2015 21:43 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
Exercise / conversionStock Options · Derivative 49,890 $0.00 Strike: $48.95 $0.00
Disclosure

SEC source: 0001225208-15-014298 · 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 · 49,890 shares

Expires 2018-02-20

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

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 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 February 21, 2009 and annually thereafter.

Read SEC document
June 22, 2015 Filed Jun 24, 2015 21:43 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
SaleCommon Stock 49,890 $89.00 $4,440,210.00
Disclosure

SEC source: 0001225208-15-014298 · 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 22, 2015 Filed Jun 24, 2015 21:43 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
Exercise / conversionCommon Stock 49,890 $48.95 $2,442,115.50
Disclosure

SEC source: 0001225208-15-014298 · 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: 171,942

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 15, 2015 Filed Jun 17, 2015 20:31 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
Exercise / conversionStock Options · Derivative 100,000 $0.00 Strike: $48.95 $0.00
Disclosure

SEC source: 0001225208-15-014080 · 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: 49,890

Underlying: Common Stock · 100,000 shares

Expires 2018-02-20

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

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

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

Read SEC document
June 15, 2015 Filed Jun 17, 2015 20:31 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
SaleCommon Stock 100,000 $87.30 $8,730,000.00
Disclosure

SEC source: 0001225208-15-014080 · 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.

F2 · price: These shares were sold at prices ranging from $86.95 to $87.58. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
June 15, 2015 Filed Jun 17, 2015 20:31 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
Exercise / conversionCommon Stock 100,000 $48.95 $4,895,000.00
Disclosure

SEC source: 0001225208-15-014080 · 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: 222,052

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 11, 2015 Filed Jun 15, 2015 20:25 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionStock Options · Derivative 9,767 $0.00 Strike: $45.75 $0.00
Disclosure

SEC source: 0001225208-15-013865 · doc4.xml · derivative · entry 6

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,537

Underlying: Common Stock · 9,767 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
June 11, 2015 Filed Jun 15, 2015 20:25 UTC
Alexander Robert M.Chief Information Officer
SaleCommon Stock 8,594 $87.74 $754,037.56
Disclosure

SEC source: 0001225208-15-013865 · doc4.xml · nonDerivative · entry 3

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,920

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
June 11, 2015 Filed Jun 15, 2015 20:25 UTC
Alexander Robert M.Chief Information Officer
SaleCommon Stock 4,005 $87.74 $351,398.70
Disclosure

SEC source: 0001225208-15-013865 · doc4.xml · nonDerivative · entry 2

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,514

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
June 11, 2015 Filed Jun 15, 2015 20:25 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionCommon Stock 9,767 $45.75 $446,840.25
Disclosure

SEC source: 0001225208-15-013865 · doc4.xml · nonDerivative · entry 1

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,519

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
June 10, 2015 Filed Jun 12, 2015 20:08 UTC
Schneider Ryan M.President, Card
Exercise / conversionStock Options · Derivative 21,600 $0.00 Strike: $48.95 $0.00
Disclosure

SEC source: 0001225208-15-013821 · doc4.xml · derivative · entry 3

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100

Underlying: Common Stock · 21,600 shares

Expires 2018-02-20

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

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on April 30, 2015, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

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

Read SEC document
June 10, 2015 Filed Jun 12, 2015 20:08 UTC
Schneider Ryan M.President, Card
SaleCommon Stock 21,600 $86.00 $1,857,600.00
Disclosure

SEC source: 0001225208-15-013821 · doc4.xml · nonDerivative · entry 2

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 155,758

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on April 30, 2015, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
June 10, 2015 Filed Jun 12, 2015 20:08 UTC
Schneider Ryan M.President, Card
Exercise / conversionCommon Stock 21,600 $48.95 $1,057,320.00
Disclosure

SEC source: 0001225208-15-013821 · doc4.xml · nonDerivative · entry 1

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 177,358

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 April 30, 2015, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

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

Read SEC document
June 10, 2015 Filed Jun 12, 2015 20:08 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionStock Options · Derivative 7,925 $0.00 Strike: $18.28 $0.00
Disclosure

SEC source: 0001225208-15-013822 · 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 · 7,925 shares

Expires 2019-01-28

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

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

F3 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on January 29, 2010 and annually thereafter.

Read SEC document
June 10, 2015 Filed Jun 12, 2015 20:08 UTC
Alexander Robert M.Chief Information Officer
SaleCommon Stock 7,925 $85.74 $679,489.50
Disclosure

SEC source: 0001225208-15-013822 · doc4.xml · nonDerivative · entry 3

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,752

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

Read SEC document
June 10, 2015 Filed Jun 12, 2015 20:08 UTC
Alexander Robert M.Chief Information Officer
SaleCommon Stock 6,000 $85.74 $514,440.00
Disclosure

SEC source: 0001225208-15-013822 · doc4.xml · nonDerivative · entry 2

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,677

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

Read SEC document
June 10, 2015 Filed Jun 12, 2015 20:08 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionCommon Stock 7,925 $18.28 $144,869.00
Disclosure

SEC source: 0001225208-15-013822 · doc4.xml · nonDerivative · entry 1

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,677

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 April 23, 2014, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

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

Read SEC document
June 01, 2015 Filed Jun 2, 2015 22:53 UTC
Schneider Ryan M.President, Card
Exercise / conversionStock Options · Derivative 4,300 $0.00 Strike: $48.95 $0.00
Disclosure

SEC source: 0001225208-15-013214 · doc4.xml · derivative · entry 13

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,700

Underlying: Common Stock · 4,300 shares

Expires 2018-02-20

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

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on April 30, 2015, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F9 · derivative.exercise_date: The option became exercisable in 1/3 increments beginning on February 21, 2009.

Read SEC document
June 01, 2015 Filed Jun 2, 2015 22:53 UTC
Schneider Ryan M.President, Card
SaleCommon Stock 4,300 $84.00 $361,200.00
Disclosure

SEC source: 0001225208-15-013214 · doc4.xml · nonDerivative · entry 10

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 155,479

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on April 30, 2015, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
June 01, 2015 Filed Jun 2, 2015 22:53 UTC
Schneider Ryan M.President, Card
Exercise / conversionCommon Stock 4,300 $48.95 $210,485.00
Disclosure

SEC source: 0001225208-15-013214 · doc4.xml · nonDerivative · entry 9

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 159,779

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 April 30, 2015, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
May 29, 2015 Filed Jun 2, 2015 22:53 UTC
Schneider Ryan M.President, Card
Exercise / conversionStock Options · Derivative 37,700 $0.00 Strike: $48.95 $0.00
Disclosure

SEC source: 0001225208-15-013214 · doc4.xml · derivative · entry 12

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,000

Underlying: Common Stock · 37,700 shares

Expires 2018-02-20

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

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on April 30, 2015, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F9 · derivative.exercise_date: The option became exercisable in 1/3 increments beginning on February 21, 2009.

Read SEC document
May 29, 2015 Filed Jun 2, 2015 22:53 UTC
Schneider Ryan M.President, Card
Exercise / conversionStock Options · Derivative 48,678 $0.00 Strike: $45.75 $0.00
Disclosure

SEC source: 0001225208-15-013214 · doc4.xml · derivative · entry 11

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 48,678 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 April 30, 2015, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F8 · derivative.exercise_date: The option became exercisable in 1/3 increments beginning on February 10, 2013.

Read SEC document
May 29, 2015 Filed Jun 2, 2015 22:53 UTC
Schneider Ryan M.President, Card
SaleCommon Stock 56,408 $83.73 $4,723,041.84
Disclosure

SEC source: 0001225208-15-013214 · doc4.xml · nonDerivative · entry 8

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 155,479

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on April 30, 2015, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F7 · price: These shares were sold at prices ranging from $83.33 to $84.24. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
May 29, 2015 Filed Jun 2, 2015 22:53 UTC
Schneider Ryan M.President, Card
SaleCommon Stock 42,406 $83.73 $3,550,654.38
Disclosure

SEC source: 0001225208-15-013214 · doc4.xml · nonDerivative · entry 7

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 211,887

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on April 30, 2015, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F6 · price: These shares were sold at prices ranging from $83.33 to $84.30. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
May 29, 2015 Filed Jun 2, 2015 22:53 UTC
Schneider Ryan M.President, Card
SaleCommon Stock 36,800 $83.90 $3,087,520.00
Disclosure

SEC source: 0001225208-15-013214 · doc4.xml · nonDerivative · entry 6

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 254,293

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on April 30, 2015, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F5 · price: These shares were sold at prices ranging from $83.33 to $84.29. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
May 29, 2015 Filed Jun 2, 2015 22:53 UTC
Schneider Ryan M.President, Card
SaleCommon Stock 2,100 $84.48 $177,408.00
Disclosure

SEC source: 0001225208-15-013214 · doc4.xml · nonDerivative · entry 5

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 291,093

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on April 30, 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 $84.36 to $84.51. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
May 29, 2015 Filed Jun 2, 2015 22:53 UTC
Schneider Ryan M.President, Card
SaleCommon Stock 1,500 $84.49 $126,735.00
Disclosure

SEC source: 0001225208-15-013214 · doc4.xml · nonDerivative · entry 4

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 293,193

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on April 30, 2015, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F3 · price: These shares were sold at prices ranging from $84.33 to $84.51. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
May 29, 2015 Filed Jun 2, 2015 22:53 UTC
Schneider Ryan M.President, Card
SaleCommon Stock 900 $84.46 $76,014.00
Disclosure

SEC source: 0001225208-15-013214 · doc4.xml · nonDerivative · entry 3

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 294,693

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on April 30, 2015, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F3 · price: These shares were sold at prices ranging from $84.33 to $84.51. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
May 29, 2015 Filed Jun 2, 2015 22:53 UTC
Schneider Ryan M.President, Card
Exercise / conversionCommon Stock 37,700 $48.95 $1,845,415.00
Disclosure

SEC source: 0001225208-15-013214 · doc4.xml · nonDerivative · entry 2

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 295,593

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 April 30, 2015, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
May 29, 2015 Filed Jun 2, 2015 22:53 UTC
Schneider Ryan M.President, Card
Exercise / conversionCommon Stock 48,678 $45.75 $2,227,018.50
Disclosure

SEC source: 0001225208-15-013214 · doc4.xml · nonDerivative · entry 1

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 257,893

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 April 30, 2015, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

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

Read SEC document
May 08, 2015 Filed May 12, 2015 20:04 UTC
Slocum MichaelPresident, Commercial Banking
SaleCommon Stock 7,477 $82.56 $617,301.12
Disclosure

SEC source: 0001225208-15-011926 · doc4.xml · nonDerivative · entry 1

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,503

Read SEC document
May 06, 2015 Filed May 8, 2015 20:03 UTC Exercise / conversionStock Options · Derivative 8,484 $0.00 Strike: $44.87 $0.00
Disclosure

SEC source: 0001225208-15-011742 · doc4.xml · derivative · entry 6

LEROY PIERRE E · CIK 0001055709 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,484 shares

Expires 2020-04-28

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

Read SEC document
May 06, 2015 Filed May 8, 2015 20:03 UTC Exercise / conversionStock Options · Derivative 10,205 $0.00 Strike: $47.29 $0.00
Disclosure

SEC source: 0001225208-15-011742 · doc4.xml · derivative · entry 5

LEROY PIERRE E · CIK 0001055709 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,205 shares

Expires 2018-04-23

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

Read SEC document
May 06, 2015 Filed May 8, 2015 20:03 UTC SaleCommon Stock 10,205 $82.88 $845,790.40
Disclosure

SEC source: 0001225208-15-011742 · doc4.xml · nonDerivative · entry 4

LEROY PIERRE E · CIK 0001055709 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,760

F1 · price: These shares were sold at prices ranging from $82.87 to $82.89. Information regarding the number of shares sold at each price will be provided upon request.

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May 06, 2015 Filed May 8, 2015 20:03 UTC SaleCommon Stock 8,484 $82.88 $703,153.92
Disclosure

SEC source: 0001225208-15-011742 · doc4.xml · nonDerivative · entry 3

LEROY PIERRE E · CIK 0001055709 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,965

F1 · price: These shares were sold at prices ranging from $82.87 to $82.89. Information regarding the number of shares sold at each price will be provided upon request.

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May 06, 2015 Filed May 8, 2015 20:03 UTC Exercise / conversionCommon Stock 8,484 $44.87 $380,677.08
Disclosure

SEC source: 0001225208-15-011742 · doc4.xml · nonDerivative · entry 2

LEROY PIERRE E · CIK 0001055709 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,449

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.

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May 06, 2015 Filed May 8, 2015 20:03 UTC Exercise / conversionCommon Stock 10,205 $47.29 $482,594.45
Disclosure

SEC source: 0001225208-15-011742 · doc4.xml · nonDerivative · entry 1

LEROY PIERRE E · CIK 0001055709 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,965

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.

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May 06, 2015 Filed May 8, 2015 20:03 UTC
Blackley Richard ScottPrincipal Accounting Officer
SaleCommon Stock 5,379 $82.14 $441,831.06
Disclosure

SEC source: 0001225208-15-011743 · doc4.xml · nonDerivative · entry 1

Blackley Richard Scott · CIK 0001525020 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,611

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May 04, 2015 Filed May 6, 2015 21:46 UTC Exercise / conversionStock Options · Derivative 3,800 $0.00 Strike: $74.16 $0.00
Disclosure

SEC source: 0001225208-15-011496 · doc4.xml · derivative · entry 3

GROSS PATRICK W · CIK 0001184343 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,800 shares

Expires 2015-05-31

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 February 13, 2015, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2 · derivative.exercise_date: This option became exercisable on May 31, 2006, the first anniversary date of the grant.

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May 04, 2015 Filed May 6, 2015 21:46 UTC SaleCommon Stock 3,800 $82.00 $311,600.00
Disclosure

SEC source: 0001225208-15-011496 · doc4.xml · nonDerivative · entry 2

GROSS PATRICK W · CIK 0001184343 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,399

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

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May 04, 2015 Filed May 6, 2015 21:46 UTC Exercise / conversionCommon Stock 3,800 $74.16 $281,808.00
Disclosure

SEC source: 0001225208-15-011496 · doc4.xml · nonDerivative · entry 1

GROSS PATRICK W · CIK 0001184343 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,199

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

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

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April 30, 2015 Filed May 4, 2015 21:08 UTC GrantCommon Stock 2,103 $0.00 $0.00
Disclosure

SEC source: 0001225208-15-011019 · doc4.xml · nonDerivative · entry 1

GROSS PATRICK W · CIK 0001184343 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,399

F1 · security: Restricted stock units which vest in their entirety on April 30, 2016 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

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April 30, 2015 Filed May 4, 2015 21:14 UTC GrantCommon Stock 2,103 $0.00 $0.00
Disclosure

SEC source: 0001225208-15-011033 · doc4.xml · nonDerivative · entry 1

HAY LEWIS III · CIK 0001182705 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,782

F1 · security: Restricted stock units which vest in their entirety on April 30, 2016 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

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April 30, 2015 Filed May 4, 2015 21:13 UTC GrantCommon Stock 2,103 $0.00 $0.00
Disclosure

SEC source: 0001225208-15-011032 · doc4.xml · nonDerivative · entry 1

HACKETT ANN F · CIK 0001188662 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,510

F1 · security: Restricted stock units which vest in their entirety on April 30, 2016 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

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April 30, 2015 Filed May 4, 2015 21:14 UTC GrantCommon Stock 2,103 $0.00 $0.00
Disclosure

SEC source: 0001225208-15-011034 · doc4.xml · nonDerivative · entry 1

JENKINS BENJAMIN P III · CIK 0001232069 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,299

F1 · security: Restricted stock units which vest in their entirety on April 30, 2016 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

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April 30, 2015 Filed May 4, 2015 21:14 UTC GrantCommon Stock 2,103 $0.00 $0.00
Disclosure

SEC source: 0001225208-15-011035 · doc4.xml · nonDerivative · entry 1

LEROY PIERRE E · CIK 0001055709 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,760

F1 · security: Restricted stock units which vest in their entirety on April 30, 2016 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

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April 30, 2015 Filed May 4, 2015 21:15 UTC GrantCommon Stock 2,103 $0.00 $0.00
Disclosure

SEC source: 0001225208-15-011042 · doc4.xml · nonDerivative · entry 1

SHATTUCK MAYO A III · CIK 0001087426 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,449

F1 · security: Restricted stock units which vest in their entirety on April 30, 2016 and settle in shares of the Company's common stock upon termination of service as a director. The reporting person will also be entitled to additional shares representing dividends accrued on the shares issuable at settlement.

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