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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
January 02, 2014 Filed Jan 3, 2014 00:23 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionCommon Stock 5,000 $18.28 $91,400.00
Disclosure

SEC source: 0001225208-14-000179 · doc4.xml · nonDerivative · entry 1

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,732

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 August 8, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
December 29, 2013 Filed Dec 31, 2013 16:02 UTC
Witter Jonathan W.President, Retail Banking
Exercise / conversionRestricted Stock Units · Derivative 21,127 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-13-026123 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 21,127 shares

Expires 2013-12-29

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.

F3 · security: These restricted stock units vest and the underlying shares of common stock become issuable in full on the third anniversary of the date of grant.

Read SEC document
December 29, 2013 Filed Dec 31, 2013 16:02 UTC
Witter Jonathan W.President, Retail Banking
Tax withholdingCommon Stock 10,754 $75.78 $814,938.12
Disclosure

SEC source: 0001225208-13-026123 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,534

F2 · kind: Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of shares of common stock underlying restricted stock units vesting on December 29, 2013. This is authorized in the applicable award agreement.

Read SEC document
December 29, 2013 Filed Dec 31, 2013 16:02 UTC
Witter Jonathan W.President, Retail Banking
Exercise / conversionCommon Stock 21,127 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-026123 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,288

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 · balance_after: Includes shares acquired by the reporting person through the Company's Associate Stock Purchase Plan that were not previously reported.

Read SEC document
December 23, 2013 Filed Dec 26, 2013 21:39 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
Exercise / conversionStock Options · Derivative 72,108 $0.00 Strike: $18.28 $0.00
Disclosure

SEC source: 0001225208-13-026037 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 72,108 shares

Expires 2019-01-28

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

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 1, 2013 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on January 29, 2010 and annually thereafter.

Read SEC document
December 23, 2013 Filed Dec 26, 2013 21:39 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
SaleCommon Stock 72,108 $75.00 $5,408,100.00
Disclosure

SEC source: 0001225208-13-026037 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,436

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 1, 2013 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
December 23, 2013 Filed Dec 26, 2013 21:39 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
Exercise / conversionCommon Stock 72,108 $18.28 $1,318,134.24
Disclosure

SEC source: 0001225208-13-026037 · 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: 182,544

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 August 1, 2013 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
December 19, 2013 Filed Dec 20, 2013 22:05 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionStock Options · Derivative 5,000 $0.00 Strike: $18.28 $0.00
Disclosure

SEC source: 0001225208-13-025885 · doc4.xml · derivative · entry 6

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,925

Underlying: Common Stock · 5,000 shares

Expires 2019-01-28

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

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 8, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on January 29, 2010 and annually thereafter.

Read SEC document
December 19, 2013 Filed Dec 20, 2013 22:05 UTC
Alexander Robert M.Chief Information Officer
SaleCommon Stock 5,000 $73.74 $368,700.00
Disclosure

SEC source: 0001225208-13-025885 · doc4.xml · nonDerivative · entry 3

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,732

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 8, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
December 19, 2013 Filed Dec 20, 2013 22:05 UTC
Alexander Robert M.Chief Information Officer
SaleCommon Stock 4,101 $73.74 $302,407.74
Disclosure

SEC source: 0001225208-13-025885 · doc4.xml · nonDerivative · entry 2

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,732

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 8, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
December 19, 2013 Filed Dec 20, 2013 22:05 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionCommon Stock 5,000 $18.28 $91,400.00
Disclosure

SEC source: 0001225208-13-025885 · doc4.xml · nonDerivative · entry 1

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,833

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 August 8, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
December 15, 2013 Filed Dec 16, 2013 22:43 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
Exercise / conversionRestricted Stock Units · Derivative 12,749 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-13-025472 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,749 shares

Expires 2013-12-15

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

F1 · derivative.exercise_price: On December 15, 2013 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 December 15, 2013 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
December 15, 2013 Filed Dec 16, 2013 22:43 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
Disposition to issuerCommon Stock 12,749 $71.13 $906,836.37
Disclosure

SEC source: 0001225208-13-025472 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,436

Read SEC document
December 15, 2013 Filed Dec 16, 2013 22:43 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
Exercise / conversionCommon Stock 12,749 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-025472 · 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: 123,185

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 December 15, 2013 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
December 15, 2013 Filed Dec 16, 2013 22:44 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Exercise / conversionRestricted Stock Units · Derivative 10,494 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-13-025473 · 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: 0

Underlying: Common Stock · 10,494 shares

Expires 2013-12-15

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

F1 · derivative.exercise_price: On December 15, 2013 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 December 15, 2013 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
December 15, 2013 Filed Dec 16, 2013 22:44 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Disposition to issuerCommon Stock 10,494 $71.13 $746,438.22
Disclosure

SEC source: 0001225208-13-025473 · 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: 38,297

Read SEC document
December 15, 2013 Filed Dec 16, 2013 22:44 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Exercise / conversionCommon Stock 10,494 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-025473 · 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: 48,791

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 December 15, 2013 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
December 15, 2013 Filed Dec 16, 2013 22:45 UTC
Borgmann Kevin S.Chief Risk Officer
Exercise / conversionRestricted Stock Units · Derivative 7,387 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-13-025474 · doc4.xml · derivative · entry 3

Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,387 shares

Expires 2013-12-15

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

F1 · derivative.exercise_price: On December 15, 2013 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 December 15, 2013 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
December 15, 2013 Filed Dec 16, 2013 22:45 UTC
Borgmann Kevin S.Chief Risk Officer
Disposition to issuerCommon Stock 7,387 $71.13 $525,437.31
Disclosure

SEC source: 0001225208-13-025474 · doc4.xml · nonDerivative · entry 2

Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,510

Read SEC document
December 15, 2013 Filed Dec 16, 2013 22:45 UTC
Borgmann Kevin S.Chief Risk Officer
Exercise / conversionCommon Stock 7,387 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-025474 · doc4.xml · nonDerivative · entry 1

Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,897

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 December 15, 2013 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
December 15, 2013 Filed Dec 16, 2013 22:45 UTC
Sanjiv YajnikPresident, Financial Services
Exercise / conversionRestricted Stock Units · Derivative 11,950 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-13-025475 · doc4.xml · derivative · entry 3

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 11,950 shares

Expires 2013-12-15

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

F1 · derivative.exercise_price: On December 15, 2013 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 December 15, 2013 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
December 15, 2013 Filed Dec 16, 2013 22:45 UTC
Sanjiv YajnikPresident, Financial Services
Disposition to issuerCommon Stock 11,950 $71.13 $850,003.50
Disclosure

SEC source: 0001225208-13-025475 · doc4.xml · nonDerivative · entry 2

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,332

Read SEC document
December 15, 2013 Filed Dec 16, 2013 22:45 UTC
Sanjiv YajnikPresident, Financial Services
Exercise / conversionCommon Stock 11,950 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-025475 · doc4.xml · nonDerivative · entry 1

Sanjiv Yajnik · CIK 0001466919 · President, Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,282

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 December 15, 2013 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
December 15, 2013 Filed Dec 16, 2013 22:45 UTC
Witter Jonathan W.President, Retail Banking
Exercise / conversionRestricted Stock Units · Derivative 11,719 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-13-025476 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 11,719 shares

Expires 2013-12-15

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

F1 · derivative.exercise_price: On December 15, 2013 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 December 15, 2013 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
December 15, 2013 Filed Dec 16, 2013 22:45 UTC
Witter Jonathan W.President, Retail Banking
Disposition to issuerCommon Stock 11,719 $71.13 $833,572.47
Disclosure

SEC source: 0001225208-13-025476 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,086

Read SEC document
December 15, 2013 Filed Dec 16, 2013 22:45 UTC
Witter Jonathan W.President, Retail Banking
Exercise / conversionCommon Stock 11,719 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-025476 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,805

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 December 15, 2013 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
December 15, 2013 Filed Dec 16, 2013 22:45 UTC
Schneider Ryan M.President, Card
Exercise / conversionRestricted Stock Units · Derivative 14,613 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-13-025477 · doc4.xml · derivative · entry 3

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 14,613 shares

Expires 2013-12-15

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

F1 · derivative.exercise_price: On December 15, 2013 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 December 15, 2013 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
December 15, 2013 Filed Dec 16, 2013 22:45 UTC
Schneider Ryan M.President, Card
Disposition to issuerCommon Stock 14,613 $71.13 $1,039,422.69
Disclosure

SEC source: 0001225208-13-025477 · doc4.xml · nonDerivative · entry 2

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 157,584

Read SEC document
December 15, 2013 Filed Dec 16, 2013 22:45 UTC
Schneider Ryan M.President, Card
Exercise / conversionCommon Stock 14,613 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-025477 · doc4.xml · nonDerivative · entry 1

Schneider Ryan M. · CIK 0001420501 · President, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 172,197

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 December 15, 2013 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
December 15, 2013 Filed Dec 16, 2013 22:45 UTC
CRAWFORD STEPHEN SChief Financial Officer
Exercise / conversionRestricted Stock Units · Derivative 18,092 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-13-025478 · doc4.xml · derivative · entry 3

CRAWFORD STEPHEN S · CIK 0001183416 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 18,092 shares

Expires 2013-12-15

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

F1 · derivative.exercise_price: On December 15, 2013 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 December 15, 2013 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
December 15, 2013 Filed Dec 16, 2013 22:45 UTC
CRAWFORD STEPHEN SChief Financial Officer
Disposition to issuerCommon Stock 18,092 $71.13 $1,286,883.96
Disclosure

SEC source: 0001225208-13-025478 · doc4.xml · nonDerivative · entry 2

CRAWFORD STEPHEN S · CIK 0001183416 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 174,000

Read SEC document
December 15, 2013 Filed Dec 16, 2013 22:45 UTC
CRAWFORD STEPHEN SChief Financial Officer
Exercise / conversionCommon Stock 18,092 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-025478 · doc4.xml · nonDerivative · entry 1

CRAWFORD STEPHEN S · CIK 0001183416 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 192,092

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 December 15, 2013 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
December 15, 2013 Filed Dec 16, 2013 22:45 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionRestricted Stock Units · Derivative 9,411 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-13-025479 · 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 · 9,411 shares

Expires 2013-12-15

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

F1 · derivative.exercise_price: On December 15, 2013 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 December 15, 2013 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
December 15, 2013 Filed Dec 16, 2013 22:45 UTC
Alexander Robert M.Chief Information Officer
Disposition to issuerCommon Stock 9,411 $71.13 $669,404.43
Disclosure

SEC source: 0001225208-13-025479 · doc4.xml · nonDerivative · entry 2

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,833

Read SEC document
December 15, 2013 Filed Dec 16, 2013 22:45 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionCommon Stock 9,411 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-025479 · doc4.xml · nonDerivative · entry 1

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,244

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 December 15, 2013 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
December 15, 2013 Filed Dec 16, 2013 22:45 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversionRestricted Stock Units · Derivative 10,974 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-13-025480 · doc4.xml · derivative · entry 4

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,974 shares

Expires 2013-12-15

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

F1 · derivative.exercise_price: On December 15, 2013 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 December 15, 2013 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
December 15, 2013 Filed Dec 16, 2013 22:45 UTC
Berson Jory AChief Human Resources Officer
Disposition to issuerCommon Stock 10,974 $71.13 $780,580.62
Disclosure

SEC source: 0001225208-13-025480 · doc4.xml · nonDerivative · entry 2

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,397

Read SEC document
December 15, 2013 Filed Dec 16, 2013 22:45 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversionCommon Stock 10,974 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-025480 · doc4.xml · nonDerivative · entry 1

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,371

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 December 15, 2013 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
December 15, 2013 Filed Dec 16, 2013 22:45 UTC
Slocum MichaelPresident, Commercial Banking
Exercise / conversionRestricted Stock Units · Derivative 8,150 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001225208-13-025481 · doc4.xml · derivative · entry 3

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,150 shares

Expires 2013-12-15

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

F1 · derivative.exercise_price: On December 15, 2013 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 December 15, 2013 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
December 15, 2013 Filed Dec 16, 2013 22:45 UTC
Slocum MichaelPresident, Commercial Banking
Disposition to issuerCommon Stock 8,150 $71.13 $579,709.50
Disclosure

SEC source: 0001225208-13-025481 · doc4.xml · nonDerivative · entry 2

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,582

Read SEC document
December 15, 2013 Filed Dec 16, 2013 22:45 UTC
Slocum MichaelPresident, Commercial Banking
Exercise / conversionCommon Stock 8,150 $0.00 $0.00
Disclosure

SEC source: 0001225208-13-025481 · doc4.xml · nonDerivative · entry 1

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,732

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 December 15, 2013 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
December 06, 2013 Filed Dec 9, 2013 21:48 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
Exercise / conversionStock Options · Derivative 51,348 $0.00 Strike: $18.28 $0.00
Disclosure

SEC source: 0001225208-13-025063 · 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: 72,108

Underlying: Common Stock · 51,348 shares

Expires 2019-01-28

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

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 1, 2013 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on January 29, 2010 and annually thereafter.

Read SEC document
December 06, 2013 Filed Dec 9, 2013 21:48 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
SaleCommon Stock 51,348 $73.00 $3,748,404.00
Disclosure

SEC source: 0001225208-13-025063 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,436

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 1, 2013 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
December 06, 2013 Filed Dec 9, 2013 21:48 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
Exercise / conversionCommon Stock 51,348 $18.28 $938,641.44
Disclosure

SEC source: 0001225208-13-025063 · 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: 161,784

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 August 1, 2013 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
December 02, 2013 Filed Dec 4, 2013 21:45 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
Exercise / conversionStock Options · Derivative 20,758 $0.00 Strike: $18.28 $0.00
Disclosure

SEC source: 0001225208-13-024738 · 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: 123,456

Underlying: Common Stock · 20,758 shares

Expires 2019-01-28

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

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 1, 2013 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on January 29, 2010 and annually thereafter.

Read SEC document
December 02, 2013 Filed Dec 4, 2013 21:45 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
SaleCommon Stock 20,758 $73.00 $1,515,334.00
Disclosure

SEC source: 0001225208-13-024738 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,436

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 1, 2013 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
December 02, 2013 Filed Dec 4, 2013 21:45 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
Exercise / conversionCommon Stock 20,758 $18.28 $379,456.24
Disclosure

SEC source: 0001225208-13-024738 · 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: 131,194

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 August 1, 2013 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
November 29, 2013 Filed Dec 2, 2013 21:54 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversionStock Options · Derivative 26,372 $0.00 Strike: $18.28 $0.00
Disclosure

SEC source: 0001225208-13-024468 · doc4.xml · derivative · entry 4

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 26,372 shares

Expires 2019-01-28

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

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on October 24, 2013 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

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

Read SEC document
November 29, 2013 Filed Dec 2, 2013 21:54 UTC
Berson Jory AChief Human Resources Officer
SaleCommon Stock 26,372 $72.00 $1,898,784.00
Disclosure

SEC source: 0001225208-13-024468 · doc4.xml · nonDerivative · entry 2

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,397

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on October 24, 2013 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
November 29, 2013 Filed Dec 2, 2013 21:54 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversionCommon Stock 26,372 $18.28 $482,080.16
Disclosure

SEC source: 0001225208-13-024468 · doc4.xml · nonDerivative · entry 1

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,769

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 October 24, 2013 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.