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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 15, 2015 Filed Feb 18, 2015 21:29 UTC
Schneider Ryan M.President, Card
Exercise / conversionRestricted Stock Units · Derivative 11,599 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-15-004482 · doc4.xml · derivative · entry 7

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 11,599 shares

Expires 2015-02-15

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 unit vested on January 1, 2015 and settled in cash on February 15, 2015 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 unit vested on January 1, 2015 and settled in cash on February 15, 2015 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 unit vested on January 1, 2015 and settled in cash on February 15, 2015 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 unit vested on January 1, 2015 and settled in cash on February 15, 2015 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, 2015 Filed Feb 18, 2015 21:29 UTC
Schneider Ryan M.President, Card
Exercise / conversion2014 Restricted Stock Units · Derivative 5,593 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-15-004482 · doc4.xml · derivative · entry 6

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,185

Underlying: Common Stock · 5,593 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, 2015, 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, 2015, 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.

F4 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2015 and annually thereafter.

F4 · 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, 2015 Filed Feb 18, 2015 21:29 UTC
Schneider Ryan M.President, Card
Disposition to issuerCommon Stock 11,599 $76.27 $884,655.73
Disclosure

SEC source: 0001225208-15-004482 · doc4.xml · nonDerivative · entry 5

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 190,915

F1 · price: Each restricted stock unit vested on January 1, 2015 and settled in cash on February 15, 2015 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, 2015 Filed Feb 18, 2015 21:29 UTC
Schneider Ryan M.President, Card
Disposition to issuerCommon Stock 5,593 $76.27 $426,578.11
Disclosure

SEC source: 0001225208-15-004482 · doc4.xml · nonDerivative · entry 4

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 202,514

F2 · price: On February 15, 2015, 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, 2015 Filed Feb 18, 2015 21:29 UTC
Schneider Ryan M.President, Card
Tax withholdingCommon Stock 3,279 $78.88 $258,647.52
Disclosure

SEC source: 0001225208-15-004482 · doc4.xml · nonDerivative · entry 3

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 208,107

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, 2015 Filed Feb 18, 2015 21:29 UTC
Schneider Ryan M.President, Card
Exercise / conversionCommon Stock 5,593 $0.00 $0.00
Disclosure

SEC source: 0001225208-15-004482 · doc4.xml · nonDerivative · entry 2

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 211,386

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, 2015, 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, 2015 Filed Feb 18, 2015 21:29 UTC
Schneider Ryan M.President, Card
Exercise / conversionCommon Stock 11,599 $0.00 $0.00
Disclosure

SEC source: 0001225208-15-004482 · doc4.xml · nonDerivative · entry 1

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 205,793

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 unit vested on January 1, 2015 and settled in cash on February 15, 2015 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, 2015 Filed Feb 18, 2015 21:30 UTC
Witter Jonathan W.President, Retail Banking
Exercise / conversionRestricted Stock Units · Derivative 9,302 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-15-004484 · doc4.xml · derivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,302 shares

Expires 2015-02-15

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 unit vested on January 1, 2015 and settled in cash on February 15, 2015 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 unit vested on January 1, 2015 and settled in cash on February 15, 2015 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 unit vested on January 1, 2015 and settled in cash on February 15, 2015 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 unit vested on January 1, 2015 and settled in cash on February 15, 2015 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, 2015 Filed Feb 18, 2015 21:30 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: 0001225208-15-004484 · doc4.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,876

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, 2015, 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, 2015, 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.

F4 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2015 and annually thereafter.

F4 · 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, 2015 Filed Feb 18, 2015 21:30 UTC
Witter Jonathan W.President, Retail Banking
Disposition to issuerCommon Stock 9,302 $76.27 $709,463.54
Disclosure

SEC source: 0001225208-15-004484 · doc4.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,619

F1 · price: Each restricted stock unit vested on January 1, 2015 and settled in cash on February 15, 2015 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, 2015 Filed Feb 18, 2015 21:30 UTC
Witter Jonathan W.President, Retail Banking
Disposition to issuerCommon Stock 4,438 $76.27 $338,486.26
Disclosure

SEC source: 0001225208-15-004484 · doc4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,921

F2 · price: On February 15, 2015, 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, 2015 Filed Feb 18, 2015 21:30 UTC
Witter Jonathan W.President, Retail Banking
Tax withholdingCommon Stock 2,631 $78.88 $207,533.28
Disclosure

SEC source: 0001225208-15-004484 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,359

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, 2015 Filed Feb 18, 2015 21:30 UTC
Witter Jonathan W.President, Retail Banking
Exercise / conversionCommon Stock 4,438 $0.00 $0.00
Disclosure

SEC source: 0001225208-15-004484 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,990

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, 2015, 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, 2015 Filed Feb 18, 2015 21:30 UTC
Witter Jonathan W.President, Retail Banking
Exercise / conversionCommon Stock 9,302 $0.00 $0.00
Disclosure

SEC source: 0001225208-15-004484 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,552

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

F1 · price: Each restricted stock unit vested on January 1, 2015 and settled in cash on February 15, 2015 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, 2015 Filed Feb 18, 2015 21:29 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionRestricted Stock Units · Derivative 7,850 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-15-004483 · doc4.xml · derivative · entry 9

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,850 shares

Expires 2015-02-15

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 unit vested on January 1, 2015 and settled in cash on February 15, 2015 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 unit vested on January 1, 2015 and settled in cash on February 15, 2015 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 unit vested on January 1, 2015 and settled in cash on February 15, 2015 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 unit vested on January 1, 2015 and settled in cash on February 15, 2015 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, 2015 Filed Feb 18, 2015 21:29 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversion2014 Restricted Stock Units · Derivative 3,608 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-15-004483 · doc4.xml · derivative · entry 8

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,215

Underlying: Common Stock · 3,608 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, 2015, 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, 2015, 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.

F4 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2015 and annually thereafter.

F4 · 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, 2015 Filed Feb 18, 2015 21:29 UTC
Alexander Robert M.Chief Information Officer
Disposition to issuerCommon Stock 7,850 $76.27 $598,719.50
Disclosure

SEC source: 0001225208-15-004483 · doc4.xml · nonDerivative · entry 5

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,379

F1 · price: Each restricted stock unit vested on January 1, 2015 and settled in cash on February 15, 2015 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, 2015 Filed Feb 18, 2015 21:29 UTC
Alexander Robert M.Chief Information Officer
Disposition to issuerCommon Stock 3,608 $76.27 $275,182.16
Disclosure

SEC source: 0001225208-15-004483 · doc4.xml · nonDerivative · entry 4

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,229

F2 · price: On February 15, 2015, 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, 2015 Filed Feb 18, 2015 21:29 UTC
Alexander Robert M.Chief Information Officer
Tax withholdingCommon Stock 1,799 $78.88 $141,905.12
Disclosure

SEC source: 0001225208-15-004483 · doc4.xml · nonDerivative · entry 3

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,837

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, 2015 Filed Feb 18, 2015 21:29 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionCommon Stock 3,608 $0.00 $0.00
Disclosure

SEC source: 0001225208-15-004483 · doc4.xml · nonDerivative · entry 2

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,636

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, 2015, 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, 2015 Filed Feb 18, 2015 21:29 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionCommon Stock 7,850 $0.00 $0.00
Disclosure

SEC source: 0001225208-15-004483 · doc4.xml · nonDerivative · entry 1

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,028

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 unit vested on January 1, 2015 and settled in cash on February 15, 2015 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, 2015 Filed Feb 18, 2015 21:30 UTC
Sanjiv YajnikPresident, Financial Services
Exercise / conversionRestricted Stock Units · Derivative 9,485 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-15-004485 · doc4.xml · derivative · entry 7

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,485 shares

Expires 2015-02-15

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 unit vested on January 1, 2015 and settled in cash on February 15, 2015 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 unit vested on January 1, 2015 and settled in cash on February 15, 2015 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 unit vested on January 1, 2015 and settled in cash on February 15, 2015 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 unit vested on January 1, 2015 and settled in cash on February 15, 2015 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, 2015 Filed Feb 18, 2015 21:30 UTC
Sanjiv YajnikPresident, Financial Services
Exercise / conversion2014 Restricted Stock Units · Derivative 4,594 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-15-004485 · doc4.xml · derivative · entry 6

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,186

Underlying: Common Stock · 4,594 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, 2015, 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, 2015, 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.

F4 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2015 and annually thereafter.

F4 · 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, 2015 Filed Feb 18, 2015 21:30 UTC
Sanjiv YajnikPresident, Financial Services
Disposition to issuerCommon Stock 9,485 $76.27 $723,420.95
Disclosure

SEC source: 0001225208-15-004485 · doc4.xml · nonDerivative · entry 5

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,250

F1 · price: Each restricted stock unit vested on January 1, 2015 and settled in cash on February 15, 2015 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, 2015 Filed Feb 18, 2015 21:30 UTC
Sanjiv YajnikPresident, Financial Services
Disposition to issuerCommon Stock 4,594 $76.27 $350,384.38
Disclosure

SEC source: 0001225208-15-004485 · doc4.xml · nonDerivative · entry 4

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 141,735

F2 · price: On February 15, 2015, 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, 2015 Filed Feb 18, 2015 21:30 UTC
Sanjiv YajnikPresident, Financial Services
Tax withholdingCommon Stock 2,211 $78.88 $174,403.68
Disclosure

SEC source: 0001225208-15-004485 · doc4.xml · nonDerivative · entry 3

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 146,329

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, 2015 Filed Feb 18, 2015 21:30 UTC
Sanjiv YajnikPresident, Financial Services
Exercise / conversionCommon Stock 4,594 $0.00 $0.00
Disclosure

SEC source: 0001225208-15-004485 · doc4.xml · nonDerivative · entry 2

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 148,540

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, 2015, 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, 2015 Filed Feb 18, 2015 21:30 UTC
Sanjiv YajnikPresident, Financial Services
Exercise / conversionCommon Stock 9,485 $0.00 $0.00
Disclosure

SEC source: 0001225208-15-004485 · doc4.xml · nonDerivative · entry 1

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 143,946

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 unit vested on January 1, 2015 and settled in cash on February 15, 2015 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, 2015 Filed Feb 18, 2015 21:30 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversionRestricted Stock Units · Derivative 8,710 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-15-004486 · doc4.xml · derivative · entry 8

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,710 shares

Expires 2015-02-15

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 unit vested on January 1, 2015 and settled in cash on February 15, 2015 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 unit vested on January 1, 2015 and settled in cash on February 15, 2015 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 unit vested on January 1, 2015 and settled in cash on February 15, 2015 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 unit vested on January 1, 2015 and settled in cash on February 15, 2015 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, 2015 Filed Feb 18, 2015 21:30 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversion2014 Restricted Stock Units · Derivative 4,207 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-15-004486 · doc4.xml · derivative · entry 7

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,412

Underlying: Common Stock · 4,207 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, 2015, 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, 2015, 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, 2015 Filed Feb 18, 2015 21:30 UTC
Berson Jory AChief Human Resources Officer
Disposition to issuerCommon Stock 8,710 $76.27 $664,311.70
Disclosure

SEC source: 0001225208-15-004486 · doc4.xml · nonDerivative · entry 5

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,289

F1 · price: Each restricted stock unit vested on January 1, 2015 and settled in cash on February 15, 2015 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, 2015 Filed Feb 18, 2015 21:30 UTC
Berson Jory AChief Human Resources Officer
Disposition to issuerCommon Stock 4,207 $76.27 $320,867.89
Disclosure

SEC source: 0001225208-15-004486 · doc4.xml · nonDerivative · entry 4

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,999

F2 · price: On February 15, 2015, 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, 2015 Filed Feb 18, 2015 21:30 UTC
Berson Jory AChief Human Resources Officer
Tax withholdingCommon Stock 2,309 $78.88 $182,133.92
Disclosure

SEC source: 0001225208-15-004486 · doc4.xml · nonDerivative · entry 3

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,206

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, 2015 Filed Feb 18, 2015 21:30 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversionCommon Stock 4,207 $0.00 $0.00
Disclosure

SEC source: 0001225208-15-004486 · doc4.xml · nonDerivative · entry 2

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,515

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, 2015, 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, 2015 Filed Feb 18, 2015 21:30 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversionCommon Stock 8,710 $0.00 $0.00
Disclosure

SEC source: 0001225208-15-004486 · doc4.xml · nonDerivative · entry 1

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,308

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 unit vested on January 1, 2015 and settled in cash on February 15, 2015 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, 2015 Filed Feb 18, 2015 21:31 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Exercise / conversionRestricted Stock Units · Derivative 8,752 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-15-004487 · doc4.xml · derivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,752 shares

Expires 2015-02-15

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 unit vested on January 1, 2015 and settled in cash on February 15, 2015 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 unit vested on January 1, 2015 and settled in cash on February 15, 2015 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 unit vested on January 1, 2015 and settled in cash on February 15, 2015 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 unit vested on January 1, 2015 and settled in cash on February 15, 2015 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, 2015 Filed Feb 18, 2015 21:31 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Exercise / conversion2014 Restricted Stock Units · Derivative 4,023 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-15-004487 · doc4.xml · derivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,045

Underlying: Common Stock · 4,023 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, 2015, 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, 2015, 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, 2015 Filed Feb 18, 2015 21:31 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Disposition to issuerCommon Stock 8,752 $76.27 $667,515.04
Disclosure

SEC source: 0001225208-15-004487 · doc4.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,218

F1 · price: Each restricted stock unit vested on January 1, 2015 and settled in cash on February 15, 2015 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, 2015 Filed Feb 18, 2015 21:31 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Disposition to issuerCommon Stock 4,023 $76.27 $306,834.21
Disclosure

SEC source: 0001225208-15-004487 · doc4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,970

F2 · price: On February 15, 2015, 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, 2015 Filed Feb 18, 2015 21:31 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Tax withholdingCommon Stock 2,354 $78.88 $185,683.52
Disclosure

SEC source: 0001225208-15-004487 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,993

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, 2015 Filed Feb 18, 2015 21:31 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Exercise / conversionCommon Stock 4,023 $0.00 $0.00
Disclosure

SEC source: 0001225208-15-004487 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,347

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, 2015, 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, 2015 Filed Feb 18, 2015 21:31 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Exercise / conversionCommon Stock 8,752 $0.00 $0.00
Disclosure

SEC source: 0001225208-15-004487 · 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: 67,324

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 unit vested on January 1, 2015 and settled in cash on February 15, 2015 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, 2015 Filed Feb 18, 2015 21:31 UTC
Borgmann Kevin S.Chief Risk Officer
Exercise / conversionRestricted Stock Units · Derivative 8,118 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-15-004488 · doc4.xml · derivative · entry 7

Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,118 shares

Expires 2015-02-15

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 unit vested on January 1, 2015 and settled in cash on February 15, 2015 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 unit vested on January 1, 2015 and settled in cash on February 15, 2015 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 unit vested on January 1, 2015 and settled in cash on February 15, 2015 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 unit vested on January 1, 2015 and settled in cash on February 15, 2015 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, 2015 Filed Feb 18, 2015 21:31 UTC
Borgmann Kevin S.Chief Risk Officer
Exercise / conversion2014 Restricted Stock Units · Derivative 3,262 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-15-004488 · doc4.xml · derivative · entry 6

Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,523

Underlying: Common Stock · 3,262 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, 2015, 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, 2015, 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.

F4 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 15, 2015 and annually thereafter.

F4 · 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, 2015 Filed Feb 18, 2015 21:31 UTC
Borgmann Kevin S.Chief Risk Officer
Disposition to issuerCommon Stock 8,118 $76.27 $619,159.86
Disclosure

SEC source: 0001225208-15-004488 · doc4.xml · nonDerivative · entry 5

Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,507

F1 · price: Each restricted stock unit vested on January 1, 2015 and settled in cash on February 15, 2015 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, 2015 Filed Feb 18, 2015 21:31 UTC
Borgmann Kevin S.Chief Risk Officer
Disposition to issuerCommon Stock 3,262 $76.27 $248,792.74
Disclosure

SEC source: 0001225208-15-004488 · doc4.xml · nonDerivative · entry 4

Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,625

F2 · price: On February 15, 2015, 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, 2015 Filed Feb 18, 2015 21:31 UTC
Borgmann Kevin S.Chief Risk Officer
Tax withholdingCommon Stock 1,365 $78.88 $107,671.20
Disclosure

SEC source: 0001225208-15-004488 · doc4.xml · nonDerivative · entry 3

Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,887

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, 2015 Filed Feb 18, 2015 21:31 UTC
Borgmann Kevin S.Chief Risk Officer
Exercise / conversionCommon Stock 3,262 $0.00 $0.00
Disclosure

SEC source: 0001225208-15-004488 · doc4.xml · nonDerivative · entry 2

Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,252

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, 2015, 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, 2015 Filed Feb 18, 2015 21:31 UTC
Borgmann Kevin S.Chief Risk Officer
Exercise / conversionCommon Stock 8,118 $0.00 $0.00
Disclosure

SEC source: 0001225208-15-004488 · doc4.xml · nonDerivative · entry 1

Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,990

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 unit vested on January 1, 2015 and settled in cash on February 15, 2015 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, 2015 Filed Feb 18, 2015 21:31 UTC
Slocum MichaelPresident, Commercial Banking
Exercise / conversionRestricted Stock Units · Derivative 8,245 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-15-004489 · doc4.xml · derivative · entry 7

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,245 shares

Expires 2015-02-15

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 unit vested on January 1, 2015 and settled in cash on February 15, 2015 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 unit vested on January 1, 2015 and settled in cash on February 15, 2015 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 unit vested on January 1, 2015 and settled in cash on February 15, 2015 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 unit vested on January 1, 2015 and settled in cash on February 15, 2015 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

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