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CAPITAL ONE FINANCIAL CORP

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547
SEC CIK
0000927628
Parsed reports
2,528

Last 12 months

Inside the activity.

0 purchase rows · 62 sale rows

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

Latest available

Insider transactions

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

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

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
February 10, 2014 Filed Feb 13, 2014 00:15 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Disposition to issuerCommon Stock 3,496 $72.24 $252,551.04
Disclosure

SEC source: 0001225208-14-004388 · 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: 52,493

F1 · price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

Read SEC document
February 10, 2014 Filed Feb 13, 2014 00:15 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Tax withholdingCommon Stock 2,964 $71.37 $211,540.68
Disclosure

SEC source: 0001225208-14-004388 · 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: 55,989

F3 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 31, 2012. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 10, 2014 Filed Feb 13, 2014 00:15 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Tax withholdingCommon Stock 2,780 $71.37 $198,408.60
Disclosure

SEC source: 0001225208-14-004388 · 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: 58,953

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

Read SEC document
February 10, 2014 Filed Feb 13, 2014 00:15 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Exercise / conversionCommon Stock 3,496 $0.00 $0.00
Disclosure

SEC source: 0001225208-14-004388 · 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: 61,733

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

F1 · price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

Read SEC document
February 10, 2014 Filed Feb 13, 2014 00:15 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Exercise / conversionCommon Stock 6,708 $0.00 $0.00
Disclosure

SEC source: 0001225208-14-004388 · 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: 58,237

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

F1 · price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

Read SEC document
February 10, 2014 Filed Feb 13, 2014 00:15 UTC
Schneider Ryan M.President, Card
Exercise / conversionRestricted Stock Units · Derivative 9,521 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-14-004389 · doc4.xml · derivative · entry 8

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,522

Underlying: Common Stock · 9,521 shares

Expires not disclosed

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

F1 · derivative.exercise_price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

F1 · price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

F6 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2013 and annually thereafter.

F6 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2013 and annually thereafter.

Read SEC document
February 10, 2014 Filed Feb 13, 2014 00:15 UTC
Schneider Ryan M.President, Card
Exercise / conversion2013 Restricted Stock Units · Derivative 5,200 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-14-004389 · doc4.xml · derivative · entry 7

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,401

Underlying: Common Stock · 5,200 shares

Expires not disclosed

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

F1 · derivative.exercise_price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

F1 · price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

F5 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2014 and annually thereafter.

F5 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2014 and annually thereafter.

Read SEC document
February 10, 2014 Filed Feb 13, 2014 00:15 UTC
Schneider Ryan M.President, Card
Disposition to issuerCommon Stock 9,521 $72.24 $687,797.04
Disclosure

SEC source: 0001225208-14-004389 · doc4.xml · nonDerivative · entry 6

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 165,787

F1 · price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

Read SEC document
February 10, 2014 Filed Feb 13, 2014 00:15 UTC
Schneider Ryan M.President, Card
Disposition to issuerCommon Stock 5,200 $72.24 $375,648.00
Disclosure

SEC source: 0001225208-14-004389 · doc4.xml · nonDerivative · entry 5

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 175,308

F1 · price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

Read SEC document
February 10, 2014 Filed Feb 13, 2014 00:15 UTC
Schneider Ryan M.President, Card
Tax withholdingCommon Stock 4,937 $71.37 $352,353.69
Disclosure

SEC source: 0001225208-14-004389 · doc4.xml · nonDerivative · entry 4

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 180,508

F4 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 31, 2012. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 10, 2014 Filed Feb 13, 2014 00:15 UTC
Schneider Ryan M.President, Card
Tax withholdingCommon Stock 3,209 $71.37 $229,026.33
Disclosure

SEC source: 0001225208-14-004389 · doc4.xml · nonDerivative · entry 3

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 185,445

F3 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 31, 2013. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 10, 2014 Filed Feb 13, 2014 00:15 UTC
Schneider Ryan M.President, Card
Exercise / conversionCommon Stock 5,200 $0.00 $0.00
Disclosure

SEC source: 0001225208-14-004389 · doc4.xml · nonDerivative · entry 2

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 188,654

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

F1 · price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

Read SEC document
February 10, 2014 Filed Feb 13, 2014 00:15 UTC
Schneider Ryan M.President, Card
Exercise / conversionCommon Stock 9,521 $0.00 $0.00
Disclosure

SEC source: 0001225208-14-004389 · doc4.xml · nonDerivative · entry 1

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 183,454

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

F1 · price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

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

Read SEC document
February 10, 2014 Filed Feb 13, 2014 00:15 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionRestricted Stock Units · Derivative 6,305 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-14-004390 · doc4.xml · derivative · entry 10

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,306

Underlying: Common Stock · 6,305 shares

Expires not disclosed

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

F1 · derivative.exercise_price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

F1 · price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

F5 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2013 and annually thereafter.

F5 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2013 and annually thereafter.

Read SEC document
February 10, 2014 Filed Feb 13, 2014 00:15 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversion2013 Restricted Stock Units · Derivative 3,286 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-14-004390 · doc4.xml · derivative · entry 9

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,573

Underlying: Common Stock · 3,286 shares

Expires not disclosed

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

F1 · derivative.exercise_price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

F1 · price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

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

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

Read SEC document
February 10, 2014 Filed Feb 13, 2014 00:15 UTC
Alexander Robert M.Chief Information Officer
Disposition to issuerCommon Stock 6,305 $72.24 $455,473.20
Disclosure

SEC source: 0001225208-14-004390 · doc4.xml · nonDerivative · entry 6

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,676

F1 · price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

Read SEC document
February 10, 2014 Filed Feb 13, 2014 00:15 UTC
Alexander Robert M.Chief Information Officer
Disposition to issuerCommon Stock 3,286 $72.24 $237,380.64
Disclosure

SEC source: 0001225208-14-004390 · doc4.xml · nonDerivative · entry 5

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,981

F1 · price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

Read SEC document
February 10, 2014 Filed Feb 13, 2014 00:15 UTC
Alexander Robert M.Chief Information Officer
Tax withholdingCommon Stock 2,785 $71.37 $198,765.45
Disclosure

SEC source: 0001225208-14-004390 · doc4.xml · nonDerivative · entry 4

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,267

F3 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 31, 2012. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 10, 2014 Filed Feb 13, 2014 00:15 UTC
Alexander Robert M.Chief Information Officer
Tax withholdingCommon Stock 2,613 $71.37 $186,489.81
Disclosure

SEC source: 0001225208-14-004390 · doc4.xml · nonDerivative · entry 3

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,052

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

Read SEC document
February 10, 2014 Filed Feb 13, 2014 00:15 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionCommon Stock 3,286 $0.00 $0.00
Disclosure

SEC source: 0001225208-14-004390 · doc4.xml · nonDerivative · entry 2

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,665

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

F1 · price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

Read SEC document
February 10, 2014 Filed Feb 13, 2014 00:15 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionCommon Stock 6,305 $0.00 $0.00
Disclosure

SEC source: 0001225208-14-004390 · doc4.xml · nonDerivative · entry 1

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,379

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

F1 · price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

Read SEC document
February 10, 2014 Filed Feb 13, 2014 00:15 UTC
Borgmann Kevin S.Chief Risk Officer
Exercise / conversionRestricted Stock Units · Derivative 2,459 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-14-004391 · doc4.xml · derivative · entry 8

Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,460

Underlying: Common Stock · 2,459 shares

Expires not disclosed

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

F1 · derivative.exercise_price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

F1 · price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

F5 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2013 and annually thereafter.

F5 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2013 and annually thereafter.

Read SEC document
February 10, 2014 Filed Feb 13, 2014 00:15 UTC
Borgmann Kevin S.Chief Risk Officer
Exercise / conversion2013 Restricted Stock Units · Derivative 2,345 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-14-004391 · doc4.xml · derivative · entry 7

Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,693

Underlying: Common Stock · 2,345 shares

Expires not disclosed

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

F1 · derivative.exercise_price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

F1 · price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

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

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

Read SEC document
February 10, 2014 Filed Feb 13, 2014 00:15 UTC
Borgmann Kevin S.Chief Risk Officer
Tax withholdingCommon Stock 2,466 $71.37 $175,998.42
Disclosure

SEC source: 0001225208-14-004391 · doc4.xml · nonDerivative · entry 6

Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,882

F3 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 31, 2013. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 10, 2014 Filed Feb 13, 2014 00:15 UTC
Borgmann Kevin S.Chief Risk Officer
Disposition to issuerCommon Stock 2,459 $72.24 $177,638.16
Disclosure

SEC source: 0001225208-14-004391 · doc4.xml · nonDerivative · entry 5

Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,348

F1 · price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

Read SEC document
February 10, 2014 Filed Feb 13, 2014 00:15 UTC
Borgmann Kevin S.Chief Risk Officer
Disposition to issuerCommon Stock 2,345 $72.24 $169,402.80
Disclosure

SEC source: 0001225208-14-004391 · doc4.xml · nonDerivative · entry 4

Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,807

F1 · price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

Read SEC document
February 10, 2014 Filed Feb 13, 2014 00:15 UTC
Borgmann Kevin S.Chief Risk Officer
Tax withholdingCommon Stock 1,878 $71.37 $134,032.86
Disclosure

SEC source: 0001225208-14-004391 · doc4.xml · nonDerivative · entry 3

Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,152

F2 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 31, 2012. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 10, 2014 Filed Feb 13, 2014 00:15 UTC
Borgmann Kevin S.Chief Risk Officer
Exercise / conversionCommon Stock 2,345 $0.00 $0.00
Disclosure

SEC source: 0001225208-14-004391 · doc4.xml · nonDerivative · entry 2

Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,030

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

F1 · price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

Read SEC document
February 10, 2014 Filed Feb 13, 2014 00:15 UTC
Borgmann Kevin S.Chief Risk Officer
Exercise / conversionCommon Stock 2,459 $0.00 $0.00
Disclosure

SEC source: 0001225208-14-004391 · doc4.xml · nonDerivative · entry 1

Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,685

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

F1 · price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

Read SEC document
February 10, 2014 Filed Feb 13, 2014 00:15 UTC
Sanjiv YajnikPresident, Financial Services
Exercise / conversionRestricted Stock Units · Derivative 8,007 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-14-004392 · doc4.xml · derivative · entry 8

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,007

Underlying: Common Stock · 8,007 shares

Expires not disclosed

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

F1 · derivative.exercise_price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

F1 · price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

F6 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2013 and annually thereafter.

F6 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2013 and annually thereafter.

Read SEC document
February 10, 2014 Filed Feb 13, 2014 00:15 UTC
Sanjiv YajnikPresident, Financial Services
Exercise / conversion2013 Restricted Stock Units · Derivative 4,252 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-14-004392 · doc4.xml · derivative · entry 7

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,507

Underlying: Common Stock · 4,252 shares

Expires not disclosed

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

F1 · derivative.exercise_price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

F1 · price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

F5 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2014 and annually thereafter.

F5 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2014 and annually thereafter.

Read SEC document
February 10, 2014 Filed Feb 13, 2014 00:15 UTC
Sanjiv YajnikPresident, Financial Services
Disposition to issuerCommon Stock 8,007 $72.24 $578,425.68
Disclosure

SEC source: 0001225208-14-004392 · doc4.xml · nonDerivative · entry 6

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,028

F1 · price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

Read SEC document
February 10, 2014 Filed Feb 13, 2014 00:15 UTC
Sanjiv YajnikPresident, Financial Services
Disposition to issuerCommon Stock 4,252 $72.24 $307,164.48
Disclosure

SEC source: 0001225208-14-004392 · doc4.xml · nonDerivative · entry 5

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,035

F1 · price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

Read SEC document
February 10, 2014 Filed Feb 13, 2014 00:15 UTC
Sanjiv YajnikPresident, Financial Services
Tax withholdingCommon Stock 3,577 $71.37 $255,290.49
Disclosure

SEC source: 0001225208-14-004392 · doc4.xml · nonDerivative · entry 4

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 127,287

F4 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 31, 2012. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 10, 2014 Filed Feb 13, 2014 00:15 UTC
Sanjiv YajnikPresident, Financial Services
Tax withholdingCommon Stock 2,704 $71.37 $192,984.48
Disclosure

SEC source: 0001225208-14-004392 · doc4.xml · nonDerivative · entry 3

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,864

F3 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 31, 2013. This is authorized in the applicable restricted stock award agreement.

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February 10, 2014 Filed Feb 13, 2014 00:15 UTC
Sanjiv YajnikPresident, Financial Services
Exercise / conversionCommon Stock 4,252 $0.00 $0.00
Disclosure

SEC source: 0001225208-14-004392 · doc4.xml · nonDerivative · entry 2

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 133,568

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

F1 · price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

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February 10, 2014 Filed Feb 13, 2014 00:15 UTC
Sanjiv YajnikPresident, Financial Services
Exercise / conversionCommon Stock 8,007 $0.00 $0.00
Disclosure

SEC source: 0001225208-14-004392 · doc4.xml · nonDerivative · entry 1

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 129,316

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

F1 · price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

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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February 10, 2014 Filed Feb 13, 2014 00:15 UTC
Witter Jonathan W.President, Retail Banking
Exercise / conversionRestricted Stock Units · Derivative 6,951 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-14-004393 · doc4.xml · derivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,952

Underlying: Common Stock · 6,951 shares

Expires not disclosed

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

F1 · derivative.exercise_price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

F1 · price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

F6 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2013 and annually thereafter.

F6 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2013 and annually thereafter.

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February 10, 2014 Filed Feb 13, 2014 00:15 UTC
Witter Jonathan W.President, Retail Banking
Exercise / conversion2013 Restricted Stock Units · Derivative 3,906 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-14-004393 · doc4.xml · derivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,813

Underlying: Common Stock · 3,906 shares

Expires not disclosed

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

F1 · derivative.exercise_price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

F1 · price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

F5 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2014 and annually thereafter.

F5 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2014 and annually thereafter.

Read SEC document
February 10, 2014 Filed Feb 13, 2014 00:15 UTC
Witter Jonathan W.President, Retail Banking
Disposition to issuerCommon Stock 6,951 $72.24 $502,140.24
Disclosure

SEC source: 0001225208-14-004393 · doc4.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,292

F1 · price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

Read SEC document
February 10, 2014 Filed Feb 13, 2014 00:15 UTC
Witter Jonathan W.President, Retail Banking
Disposition to issuerCommon Stock 3,906 $72.24 $282,169.44
Disclosure

SEC source: 0001225208-14-004393 · doc4.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,243

F1 · price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

Read SEC document
February 10, 2014 Filed Feb 13, 2014 00:15 UTC
Witter Jonathan W.President, Retail Banking
Tax withholdingCommon Stock 3,465 $71.37 $247,297.05
Disclosure

SEC source: 0001225208-14-004393 · doc4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,149

F4 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 31, 2013. This is authorized in the applicable restricted stock award agreement.

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February 10, 2014 Filed Feb 13, 2014 00:15 UTC
Witter Jonathan W.President, Retail Banking
Tax withholdingCommon Stock 3,277 $71.37 $233,879.49
Disclosure

SEC source: 0001225208-14-004393 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,614

F3 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 31, 2012. This is authorized in the applicable restricted stock award agreement.

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February 10, 2014 Filed Feb 13, 2014 00:15 UTC
Witter Jonathan W.President, Retail Banking
Exercise / conversionCommon Stock 3,906 $0.00 $0.00
Disclosure

SEC source: 0001225208-14-004393 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,891

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

F1 · price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

Read SEC document
February 10, 2014 Filed Feb 13, 2014 00:15 UTC
Witter Jonathan W.President, Retail Banking
Exercise / conversionCommon Stock 6,951 $0.00 $0.00
Disclosure

SEC source: 0001225208-14-004393 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,985

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

F1 · price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

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

Read SEC document
February 10, 2014 Filed Feb 13, 2014 00:15 UTC
Slocum MichaelPresident, Commercial Banking
Exercise / conversionRestricted Stock Units · Derivative 5,100 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-14-004394 · doc4.xml · derivative · entry 8

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,101

Underlying: Common Stock · 5,100 shares

Expires not disclosed

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

F1 · derivative.exercise_price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

F1 · price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

F5 · derivative.exercise_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2013 and annually thereafter.

F5 · derivative.expiration_date: These restricted stock units vest in 1/3 increments beginning on February 10, 2013 and annually thereafter.

Read SEC document
February 10, 2014 Filed Feb 13, 2014 00:15 UTC
Slocum MichaelPresident, Commercial Banking
Exercise / conversion2013 Restricted Stock Units · Derivative 3,281 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-14-004394 · doc4.xml · derivative · entry 7

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,563

Underlying: Common Stock · 3,281 shares

Expires not disclosed

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

F1 · derivative.exercise_price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

F1 · price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

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

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

Read SEC document
February 10, 2014 Filed Feb 13, 2014 00:15 UTC
Slocum MichaelPresident, Commercial Banking
Disposition to issuerCommon Stock 5,100 $72.24 $368,424.00
Disclosure

SEC source: 0001225208-14-004394 · doc4.xml · nonDerivative · entry 6

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,833

F1 · price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

Read SEC document
February 10, 2014 Filed Feb 13, 2014 00:15 UTC
Slocum MichaelPresident, Commercial Banking
Tax withholdingCommon Stock 3,703 $71.37 $264,283.11
Disclosure

SEC source: 0001225208-14-004394 · doc4.xml · nonDerivative · entry 5

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,933

F3 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of restricted stock granted on January 31, 2012. This is authorized in the applicable restricted stock award agreement.

Read SEC document
February 10, 2014 Filed Feb 13, 2014 00:15 UTC
Slocum MichaelPresident, Commercial Banking
Disposition to issuerCommon Stock 3,281 $72.24 $237,019.44
Disclosure

SEC source: 0001225208-14-004394 · doc4.xml · nonDerivative · entry 4

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,636

F1 · price: On February 10, 2014 the restricted stock units were settled in cash based on the Company's average fair market value of shares of common stock over the twenty trading days preceding the vesting date.

Read SEC document

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