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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
January 29, 2015 Filed Feb 2, 2015 22:28 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
Exercise / conversion2014 Restricted Stock Units · Derivative 561 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-15-002607 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,515

Underlying: Common Stock · 561 shares

Expires 2017-02-15

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.

F2 · derivative.exercise_price: Represents the automatic withholding of restricted stock units granted in January 2014 which settled in cash based on the fair market value on January 29, 2015, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

F2 · kind: Represents the automatic withholding of restricted stock units granted in January 2014 which settled in cash based on the fair market value on January 29, 2015, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

Read SEC document
January 29, 2015 Filed Feb 2, 2015 22:28 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
Tax withholdingCommon Stock 561 $74.96 $42,052.56
Disclosure

SEC source: 0001225208-15-002607 · doc4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,235,563

F2 · kind: Represents the automatic withholding of restricted stock units granted in January 2014 which settled in cash based on the fair market value on January 29, 2015, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

Read SEC document
January 29, 2015 Filed Feb 2, 2015 22:28 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
Tax withholdingCommon Stock 280 $74.96 $20,988.80
Disclosure

SEC source: 0001225208-15-002607 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,236,124

F3 · kind: Represents shares automatically withheld in connection with restricted stock units granted in January 2014 with respect to which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

Read SEC document
January 29, 2015 Filed Feb 2, 2015 22:28 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
Exercise / conversionCommon Stock 561 $74.96 $42,052.56
Disclosure

SEC source: 0001225208-15-002607 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,236,404

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 · kind: Represents the automatic withholding of restricted stock units granted in January 2014 which settled in cash based on the fair market value on January 29, 2015, the date on which vesting was accelerated to satisfy the reporting person's tax liability. This is authorized in the applicable restricted stock unit award agreement.

Read SEC document
January 29, 2015 Filed Feb 2, 2015 22:28 UTC
FAIRBANK RICHARD DDirector · Chair, CEO and President
GrantCommon Stock 23,346 $0.00 $0.00
Disclosure

SEC source: 0001225208-15-002607 · 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: 2,235,843

F1 · security: This restricted stock unit award will vest in full on February 15, 2018. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
January 29, 2015 Filed Feb 2, 2015 22:29 UTC
CRAWFORD STEPHEN SChief Financial Officer
GrantStock Options · Derivative 60,664 $0.00 Strike: $74.96 $0.00
Disclosure

SEC source: 0001225208-15-002611 · doc4.xml · derivative · entry 4

CRAWFORD STEPHEN S · CIK 0001183416 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,664

Underlying: Common Stock · 60,664 shares

Expires 2025-01-28

F6 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on February 15, 2016 and annually thereafter.

Read SEC document
January 29, 2015 Filed Feb 2, 2015 22:29 UTC
CRAWFORD STEPHEN SChief Financial Officer
GrantRestricted Stock Units · Derivative 15,529 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-15-002611 · doc4.xml · derivative · entry 3

CRAWFORD STEPHEN S · CIK 0001183416 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,529

Underlying: Common Stock · 15,529 shares

Expires 2016-02-15

F5 · derivative.exercise_price: Each restricted stock unit will vest on January 1, 2016 and will be settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F5 · derivative.exercise_date: Each restricted stock unit will vest on January 1, 2016 and will be settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F5 · derivative.expiration_date: Each restricted stock unit will vest on January 1, 2016 and will be settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

Read SEC document
January 29, 2015 Filed Feb 2, 2015 22:29 UTC
CRAWFORD STEPHEN SChief Financial Officer
Grant2015 Restricted Stock Units · Derivative 20,270 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-15-002611 · doc4.xml · derivative · entry 2

CRAWFORD STEPHEN S · CIK 0001183416 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,270

Underlying: Common Stock · 20,270 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 742 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, 2016 and annually thereafter.

F4 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2016 and annually thereafter.

F3 · derivative.underlying_shares: This award is reported net of 742 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

Read SEC document
January 29, 2015 Filed Feb 2, 2015 22:29 UTC
CRAWFORD STEPHEN SChief Financial Officer
GrantCommon Stock 27,515 $0.00 $0.00
Disclosure

SEC source: 0001225208-15-002611 · doc4.xml · nonDerivative · entry 1

CRAWFORD STEPHEN S · CIK 0001183416 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 209,533

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2016 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
January 29, 2015 Filed Feb 2, 2015 22:30 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
GrantStock Options · Derivative 31,903 $0.00 Strike: $74.96 $0.00
Disclosure

SEC source: 0001225208-15-002613 · 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: 31,903

Underlying: Common Stock · 31,903 shares

Expires 2025-01-28

F7 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on February 15, 2016 and annually thereafter.

Read SEC document
January 29, 2015 Filed Feb 2, 2015 22:30 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
GrantRestricted Stock Units · Derivative 9,112 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-15-002613 · 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: 9,112

Underlying: Common Stock · 9,112 shares

Expires 2016-02-15

F6 · derivative.exercise_price: Each restricted stock unit will vest on January 1, 2016 and will be settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F6 · derivative.exercise_date: Each restricted stock unit will vest on January 1, 2016 and will be settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F6 · derivative.expiration_date: Each restricted stock unit will vest on January 1, 2016 and will be settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

Read SEC document
January 29, 2015 Filed Feb 2, 2015 22:30 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Grant2015 Restricted Stock Units · Derivative 11,163 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-15-002613 · 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: 11,163

Underlying: Common Stock · 11,163 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 436 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, 2016 and annually thereafter.

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

F4 · derivative.underlying_shares: This award is reported net of 436 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

Read SEC document
January 29, 2015 Filed Feb 2, 2015 22:30 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
GrantCommon Stock 14,470 $0.00 $0.00
Disclosure

SEC source: 0001225208-15-002613 · 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: 62,557

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2016 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
January 29, 2015 Filed Feb 2, 2015 22:29 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
GrantStock Options · Derivative 31,660 $0.00 Strike: $74.96 $0.00
Disclosure

SEC source: 0001225208-15-002612 · doc4.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,660

Underlying: Common Stock · 31,660 shares

Expires 2025-01-28

F6 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on February 15, 2016 and annually thereafter.

Read SEC document
January 29, 2015 Filed Feb 2, 2015 22:29 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
GrantRestricted Stock Units · Derivative 9,912 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-15-002612 · 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: 9,912

Underlying: Common Stock · 9,912 shares

Expires 2016-02-15

F5 · derivative.exercise_price: Each restricted stock unit will vest on January 1, 2016 and will be settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F5 · derivative.exercise_date: Each restricted stock unit will vest on January 1, 2016 and will be settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F5 · derivative.expiration_date: Each restricted stock unit will vest on January 1, 2016 and will be settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

Read SEC document
January 29, 2015 Filed Feb 2, 2015 22:29 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
Grant2015 Restricted Stock Units · Derivative 12,906 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-15-002612 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,906

Underlying: Common Stock · 12,906 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 504 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, 2016 and annually thereafter.

F4 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2016 and annually thereafter.

F3 · derivative.underlying_shares: This award is reported net of 504 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

Read SEC document
January 29, 2015 Filed Feb 2, 2015 22:29 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
GrantCommon Stock 15,956 $0.00 $0.00
Disclosure

SEC source: 0001225208-15-002612 · 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: 114,143

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2016 and annually thereafter. Each restricted stock until represents a contingent right to receive one share of Company common stock.

Read SEC document
January 29, 2015 Filed Feb 2, 2015 22:31 UTC
Sanjiv YajnikPresident, Financial Services
GrantStock Options · Derivative 29,688 $0.00 Strike: $74.96 $0.00
Disclosure

SEC source: 0001225208-15-002614 · doc4.xml · derivative · entry 4

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,688

Underlying: Common Stock · 29,688 shares

Expires 2025-01-28

F7 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on February 15, 2016 and annually thereafter.

Read SEC document
January 29, 2015 Filed Feb 2, 2015 22:31 UTC
Sanjiv YajnikPresident, Financial Services
GrantRestricted Stock Units · Derivative 9,379 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-15-002614 · doc4.xml · derivative · entry 3

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,379

Underlying: Common Stock · 9,379 shares

Expires 2016-02-15

F6 · derivative.exercise_price: Each restricted stock unit will vest on January 1, 2016 and will be settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F6 · derivative.exercise_date: Each restricted stock unit will vest on January 1, 2016 and will be settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F6 · derivative.expiration_date: Each restricted stock unit will vest on January 1, 2016 and will be settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

Read SEC document
January 29, 2015 Filed Feb 2, 2015 22:31 UTC
Sanjiv YajnikPresident, Financial Services
Grant2015 Restricted Stock Units · Derivative 12,146 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-15-002614 · doc4.xml · derivative · entry 2

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,146

Underlying: Common Stock · 12,146 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 424 units automatically withheld by the Company to satisfy the reporting person's tax obligations.

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

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

F4 · derivative.underlying_shares: This award is reported net of 424 units automatically withheld by the Company to satisfy the reporting person's tax obligations.

Read SEC document
January 29, 2015 Filed Feb 2, 2015 22:31 UTC
Sanjiv YajnikPresident, Financial Services
GrantCommon Stock 14,962 $0.00 $0.00
Disclosure

SEC source: 0001225208-15-002614 · doc4.xml · nonDerivative · entry 1

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 138,737

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2016 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
January 29, 2015 Filed Feb 2, 2015 22:31 UTC
Schneider Ryan M.President, Card
GrantStock Options · Derivative 46,374 $0.00 Strike: $74.96 $0.00
Disclosure

SEC source: 0001225208-15-002615 · doc4.xml · derivative · entry 4

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,374

Underlying: Common Stock · 46,374 shares

Expires 2025-01-28

F6 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on February 15, 2016 and annually thereafter.

Read SEC document
January 29, 2015 Filed Feb 2, 2015 22:31 UTC
Schneider Ryan M.President, Card
GrantRestricted Stock Units · Derivative 11,473 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-15-002615 · doc4.xml · derivative · entry 3

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,473

Underlying: Common Stock · 11,473 shares

Expires 2016-02-15

F5 · derivative.exercise_price: Each restricted stock unit will vest on January 1, 2016 and will be settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F5 · derivative.exercise_date: Each restricted stock unit will vest on January 1, 2016 and will be settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F5 · derivative.expiration_date: Each restricted stock unit will vest on January 1, 2016 and will be settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

Read SEC document
January 29, 2015 Filed Feb 2, 2015 22:31 UTC
Schneider Ryan M.President, Card
Grant2015 Restricted Stock Units · Derivative 14,806 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-15-002615 · doc4.xml · derivative · entry 2

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,806

Underlying: Common Stock · 14,806 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 565 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, 2016 and annually thereafter.

F4 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2016 and annually thereafter.

F3 · derivative.underlying_shares: This award is reported net of 565 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

Read SEC document
January 29, 2015 Filed Feb 2, 2015 22:31 UTC
Schneider Ryan M.President, Card
GrantCommon Stock 21,034 $0.00 $0.00
Disclosure

SEC source: 0001225208-15-002615 · doc4.xml · nonDerivative · entry 1

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,637

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2016 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
January 29, 2015 Filed Feb 2, 2015 22:33 UTC
Berson Jory AChief Human Resources Officer
GrantStock Options · Derivative 30,296 $0.00 Strike: $74.96 $0.00
Disclosure

SEC source: 0001225208-15-002617 · doc4.xml · derivative · entry 5

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,296

Underlying: Common Stock · 30,296 shares

Expires 2025-01-28

F8 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on February 15, 2016 and annually thereafter.

Read SEC document
January 29, 2015 Filed Feb 2, 2015 22:33 UTC
Berson Jory AChief Human Resources Officer
GrantRestricted Stock Units · Derivative 8,245 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-15-002617 · doc4.xml · derivative · entry 4

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,245

Underlying: Common Stock · 8,245 shares

Expires 2016-02-15

F7 · derivative.exercise_price: Each restricted stock unit will vest on January 1, 2016 and will be settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F7 · derivative.exercise_date: Each restricted stock unit will vest on January 1, 2016 and will be settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F7 · derivative.expiration_date: Each restricted stock unit will vest on January 1, 2016 and will be settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

Read SEC document
January 29, 2015 Filed Feb 2, 2015 22:33 UTC
Berson Jory AChief Human Resources Officer
Grant2015 Restricted Stock Units · Derivative 11,110 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-15-002617 · doc4.xml · derivative · entry 3

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,110

Underlying: Common Stock · 11,110 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 433 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, 2016 and annually thereafter.

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

F5 · derivative.underlying_shares: This award is reported net of 433 units automatically withheld by the Company to satisfy the reporting person's tax obligations.

Read SEC document
January 29, 2015 Filed Feb 2, 2015 22:33 UTC
Berson Jory AChief Human Resources Officer
GrantCommon Stock 13,741 $0.00 $0.00
Disclosure

SEC source: 0001225208-15-002617 · doc4.xml · nonDerivative · entry 1

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,410

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2016 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
January 29, 2015 Filed Feb 2, 2015 22:33 UTC
Witter Jonathan W.President, Retail Banking
GrantStock Options · Derivative 32,354 $0.00 Strike: $74.96 $0.00
Disclosure

SEC source: 0001225208-15-002616 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,354

Underlying: Common Stock · 32,354 shares

Expires 2025-01-28

F7 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on February 15, 2016 and annually thereafter.

Read SEC document
January 29, 2015 Filed Feb 2, 2015 22:33 UTC
Witter Jonathan W.President, Retail Banking
GrantRestricted Stock Units · Derivative 9,205 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-15-002616 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,205

Underlying: Common Stock · 9,205 shares

Expires 2016-02-15

F6 · derivative.exercise_price: Each restricted stock unit will vest on January 1, 2016 and will be settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F6 · derivative.exercise_date: Each restricted stock unit will vest on January 1, 2016 and will be settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F6 · derivative.expiration_date: Each restricted stock unit will vest on January 1, 2016 and will be settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

Read SEC document
January 29, 2015 Filed Feb 2, 2015 22:33 UTC
Witter Jonathan W.President, Retail Banking
Grant2015 Restricted Stock Units · Derivative 11,851 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-15-002616 · doc4.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,851

Underlying: Common Stock · 11,851 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 476 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, 2016 and annually thereafter.

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

F4 · derivative.underlying_shares: This award is reported net of 476 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

Read SEC document
January 29, 2015 Filed Feb 2, 2015 22:33 UTC
Witter Jonathan W.President, Retail Banking
GrantCommon Stock 14,675 $0.00 $0.00
Disclosure

SEC source: 0001225208-15-002616 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,052

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2016 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.

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January 29, 2015 Filed Feb 2, 2015 22:34 UTC
Alexander Robert M.Chief Information Officer
GrantStock Options · Derivative 27,266 $0.00 Strike: $74.96 $0.00
Disclosure

SEC source: 0001225208-15-002618 · doc4.xml · derivative · entry 6

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,266

Underlying: Common Stock · 27,266 shares

Expires 2025-01-28

F6 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on February 15, 2016 and annually thereafter.

Read SEC document
January 29, 2015 Filed Feb 2, 2015 22:34 UTC
Alexander Robert M.Chief Information Officer
GrantRestricted Stock Units · Derivative 7,658 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-15-002618 · doc4.xml · derivative · entry 5

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,658

Underlying: Common Stock · 7,658 shares

Expires 2016-02-15

F5 · derivative.exercise_price: Each restricted stock unit will vest on January 1, 2016 and will be settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F5 · derivative.exercise_date: Each restricted stock unit will vest on January 1, 2016 and will be settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F5 · derivative.expiration_date: Each restricted stock unit will vest on January 1, 2016 and will be settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

Read SEC document
January 29, 2015 Filed Feb 2, 2015 22:34 UTC
Alexander Robert M.Chief Information Officer
Grant2015 Restricted Stock Units · Derivative 10,001 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-15-002618 · doc4.xml · derivative · entry 4

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,001

Underlying: Common Stock · 10,001 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 402 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, 2016 and annually thereafter.

F4 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2016 and annually thereafter.

F3 · derivative.underlying_shares: This award is reported net of 402 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

Read SEC document
January 29, 2015 Filed Feb 2, 2015 22:34 UTC
Alexander Robert M.Chief Information Officer
GrantCommon Stock 12,367 $0.00 $0.00
Disclosure

SEC source: 0001225208-15-002618 · doc4.xml · nonDerivative · entry 1

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,924

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2016 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
January 29, 2015 Filed Feb 2, 2015 22:34 UTC
Borgmann Kevin S.Chief Risk Officer
GrantStock Options · Derivative 31,060 $0.00 Strike: $74.96 $0.00
Disclosure

SEC source: 0001225208-15-002620 · doc4.xml · derivative · entry 4

Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,060

Underlying: Common Stock · 31,060 shares

Expires 2025-01-28

F6 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on February 15, 2016 and annually thereafter.

Read SEC document
January 29, 2015 Filed Feb 2, 2015 22:34 UTC
Borgmann Kevin S.Chief Risk Officer
GrantRestricted Stock Units · Derivative 8,458 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-15-002620 · doc4.xml · derivative · entry 3

Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,458

Underlying: Common Stock · 8,458 shares

Expires 2016-02-15

F5 · derivative.exercise_price: Each restricted stock unit will vest on January 1, 2016 and will be settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F5 · derivative.exercise_date: Each restricted stock unit will vest on January 1, 2016 and will be settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F5 · derivative.expiration_date: Each restricted stock unit will vest on January 1, 2016 and will be settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

Read SEC document
January 29, 2015 Filed Feb 2, 2015 22:34 UTC
Borgmann Kevin S.Chief Risk Officer
Grant2015 Restricted Stock Units · Derivative 10,325 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-15-002620 · doc4.xml · derivative · entry 2

Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,325

Underlying: Common Stock · 10,325 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 433 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, 2016 and annually thereafter.

F4 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2016 and annually thereafter.

F3 · derivative.underlying_shares: This award is reported net of 433 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

Read SEC document
January 29, 2015 Filed Feb 2, 2015 22:34 UTC
Borgmann Kevin S.Chief Risk Officer
GrantCommon Stock 14,088 $0.00 $0.00
Disclosure

SEC source: 0001225208-15-002620 · doc4.xml · nonDerivative · entry 1

Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,970

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2016 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
January 29, 2015 Filed Feb 2, 2015 22:34 UTC
Slocum MichaelPresident, Commercial Banking
GrantStock Options · Derivative 29,413 $0.00 Strike: $74.96 $0.00
Disclosure

SEC source: 0001225208-15-002619 · doc4.xml · derivative · entry 4

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,413

Underlying: Common Stock · 29,413 shares

Expires 2025-01-28

F6 · derivative.exercise_date: This option becomes exercisable in 1/3 increments beginning on February 15, 2016 and annually thereafter.

Read SEC document
January 29, 2015 Filed Feb 2, 2015 22:34 UTC
Slocum MichaelPresident, Commercial Banking
GrantRestricted Stock Units · Derivative 8,565 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-15-002619 · doc4.xml · derivative · entry 3

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,565

Underlying: Common Stock · 8,565 shares

Expires 2016-02-15

F5 · derivative.exercise_price: Each restricted stock unit will vest on January 1, 2016 and will be settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F5 · derivative.exercise_date: Each restricted stock unit will vest on January 1, 2016 and will be settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F5 · derivative.expiration_date: Each restricted stock unit will vest on January 1, 2016 and will be settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

Read SEC document
January 29, 2015 Filed Feb 2, 2015 22:34 UTC
Slocum MichaelPresident, Commercial Banking
Grant2015 Restricted Stock Units · Derivative 10,728 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-15-002619 · doc4.xml · derivative · entry 2

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,728

Underlying: Common Stock · 10,728 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 478 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, 2016 and annually thereafter.

F4 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginning on February 15, 2016 and annually thereafter.

F3 · derivative.underlying_shares: This award is reported net of 478 units automatically withheld by the Company to satisfy the reporting person's tax obligation.

Read SEC document
January 29, 2015 Filed Feb 2, 2015 22:34 UTC
Slocum MichaelPresident, Commercial Banking
GrantCommon Stock 13,341 $0.00 $0.00
Disclosure

SEC source: 0001225208-15-002619 · doc4.xml · nonDerivative · entry 1

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,471

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2016 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
January 29, 2015 Filed Feb 2, 2015 22:34 UTC
Blackley Richard ScottPrincipal Accounting Officer
GrantRestricted Stock Units · Derivative 3,496 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-15-002621 · doc4.xml · derivative · entry 3

Blackley Richard Scott · CIK 0001525020 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,496

Underlying: Common Stock · 3,496 shares

Expires 2016-02-15

F5 · derivative.exercise_price: Each restricted stock unit will vest on January 1, 2016 and will be settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F5 · derivative.exercise_date: Each restricted stock unit will vest on January 1, 2016 and will be settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

F5 · derivative.expiration_date: Each restricted stock unit will vest on January 1, 2016 and will be settled in cash on February 15, 2016 based on the Company's average fair market value of the underlying shares of common stock over the fifteen trading days preceding the settlement date.

Read SEC document
January 29, 2015 Filed Feb 2, 2015 22:34 UTC
Blackley Richard ScottPrincipal Accounting Officer
Grant2015 Restricted Stock Units · Derivative 4,036 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-15-002621 · doc4.xml · derivative · entry 2

Blackley Richard Scott · CIK 0001525020 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,036

Underlying: Common Stock · 4,036 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 217 units automatically withheld by the Company to satisfy the reporting person's tax obligations.

F4 · derivative.exercise_date: These restricted stock units will vest in 1/3 increments beginnings on February 15, 2016 and annually thereafter.

F4 · derivative.expiration_date: These restricted stock units will vest in 1/3 increments beginnings on February 15, 2016 and annually thereafter.

F3 · derivative.underlying_shares: This award is reported net of 217 units automatically withheld by the Company to satisfy the reporting person's tax obligations.

Read SEC document
January 29, 2015 Filed Feb 2, 2015 22:34 UTC
Blackley Richard ScottPrincipal Accounting Officer
GrantCommon Stock 7,595 $0.00 $0.00
Disclosure

SEC source: 0001225208-15-002621 · doc4.xml · nonDerivative · entry 1

Blackley Richard Scott · CIK 0001525020 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,654

F1 · security: This restricted stock unit award will vest in 1/3 increments beginning on February 15, 2016 and annually thereafter. Each restricted stock unit represents a contingent right to receive one share of Company common stock.

Read SEC document
December 23, 2014 Filed Dec 29, 2014 21:55 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionStock Options · Derivative 19,570 $0.00 Strike: $78.71 $0.00
Disclosure

SEC source: 0001225208-14-025873 · doc4.xml · derivative · entry 5

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 19,570 shares

Expires 2015-03-14

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 becomes exercisable in 33 1/3 increments beginning on March 15, 2006 and annually thereafter.

Read SEC document
December 23, 2014 Filed Dec 29, 2014 21:55 UTC
Alexander Robert M.Chief Information Officer
SaleCommon Stock 19,570 $83.74 $1,638,791.80
Disclosure

SEC source: 0001225208-14-025873 · doc4.xml · nonDerivative · entry 2

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,557

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

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