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CAPITAL ONE FINANCIAL CORP

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547
SEC CIK
0000927628
Parsed reports
2,528

Last 12 months

Inside the activity.

0 purchase rows · 62 sale rows

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

Latest available

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

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

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
November 25, 2013 Filed Nov 27, 2013 02:11 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversionStock Options · Derivative 25,000 $0.00 Strike: $18.28 $0.00
Disclosure

SEC source: 0001225208-13-024316 · doc4.xml · derivative · entry 5

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,372

Underlying: Common Stock · 25,000 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 October 24, 2013 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F4 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on January 29, 2010 and annually thereafter.

Read SEC document
November 25, 2013 Filed Nov 27, 2013 02:11 UTC
Berson Jory AChief Human Resources Officer
SaleCommon Stock 25,000 $70.00 $1,750,000.00
Disclosure

SEC source: 0001225208-13-024316 · doc4.xml · nonDerivative · entry 3

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 25, 2013 Filed Nov 27, 2013 02:11 UTC
Berson Jory AChief Human Resources Officer
SaleCommon Stock 10,000 $70.00 $700,000.00
Disclosure

SEC source: 0001225208-13-024316 · doc4.xml · nonDerivative · entry 2

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,397

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 25, 2013 Filed Nov 27, 2013 02:11 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversionCommon Stock 25,000 $18.28 $457,000.00
Disclosure

SEC source: 0001225208-13-024316 · doc4.xml · nonDerivative · entry 1

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,397

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.

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
November 18, 2013 Filed Nov 20, 2013 22:12 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
SaleCommon Stock 108,338 $70.11 $7,595,577.18
Disclosure

SEC source: 0001225208-13-023969 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,104,104

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 14, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2 · price: These shares were sold at prices ranging from $70 to $70.52. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
November 15, 2013 Filed Nov 16, 2013 00:11 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
SaleCommon Stock 300,000 $70.45 $21,135,000.00
Disclosure

SEC source: 0001225208-13-023646 · doc4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,212,442

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 14, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F5 · price: These shares were sold at prices ranging from $70.24 to $70.93. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
November 14, 2013 Filed Nov 16, 2013 00:11 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Exercise / conversionStock Options · Derivative 360,000 $0.00 Strike: $56.28 $0.00
Disclosure

SEC source: 0001225208-13-023646 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 360,000 shares

Expires 2013-12-14

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 May 14, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F6 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on December 15, 2004 and annually thereafter.

Read SEC document
November 14, 2013 Filed Nov 16, 2013 00:11 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
SaleCommon Stock 360,000 $70.45 $25,362,000.00
Disclosure

SEC source: 0001225208-13-023646 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,512,442

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 14, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F4 · price: These shares were sold at prices ranging from $70.11 to $70.67. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
November 14, 2013 Filed Nov 16, 2013 00:11 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
SaleCommon Stock 141,662 $70.69 $10,014,086.78
Disclosure

SEC source: 0001225208-13-023646 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,872,442

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 14, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F3 · price: These shares were sold at prices ranging from $70.52 to $70.87. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
November 14, 2013 Filed Nov 16, 2013 00:11 UTC
FAIRBANK RICHARD DDirector · Chairman, CEO and President
Exercise / conversionCommon Stock 360,000 $56.28 $20,260,800.00
Disclosure

SEC source: 0001225208-13-023646 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,014,104

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

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 14, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2 · balance_after: Includes 9 shares acquired by the reporting person through the Company's Dividend Reinvestment Plan since the last reported transaction.

Read SEC document
November 13, 2013 Filed Nov 14, 2013 21:34 UTC
Borgmann Kevin S.Chief Risk Officer
Exercise / conversionStock Options · Derivative 2,000 $0.00 Strike: $56.28 $0.00
Disclosure

SEC source: 0001225208-13-023516 · 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 · 2,000 shares

Expires 2013-12-14

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 August 2, 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 December 15, 2004 and annually thereafter.

Read SEC document
November 13, 2013 Filed Nov 14, 2013 21:34 UTC
Borgmann Kevin S.Chief Risk Officer
SaleCommon Stock 2,000 $69.28 $138,560.00
Disclosure

SEC source: 0001225208-13-023516 · 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

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on August 2, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
November 13, 2013 Filed Nov 14, 2013 21:34 UTC
Borgmann Kevin S.Chief Risk Officer
Exercise / conversionCommon Stock 2,000 $56.28 $112,560.00
Disclosure

SEC source: 0001225208-13-023516 · doc4.xml · nonDerivative · entry 1

Borgmann Kevin S. · CIK 0001567914 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,510

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 2, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
October 14, 2013 Filed Oct 16, 2013 20:46 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Exercise / conversionStock Options · Derivative 30,000 $0.00 Strike: $18.28 $0.00
Disclosure

SEC source: 0001225208-13-021928 · 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: 30,647

Underlying: Common Stock · 30,000 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 May 14, 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
October 14, 2013 Filed Oct 16, 2013 20:46 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
SaleCommon Stock 30,000 $72.00 $2,160,000.00
Disclosure

SEC source: 0001225208-13-021928 · 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

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 14, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
October 14, 2013 Filed Oct 16, 2013 20:46 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Exercise / conversionCommon Stock 30,000 $18.28 $548,400.00
Disclosure

SEC source: 0001225208-13-021928 · 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: 68,297

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

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 14, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
October 04, 2013 Filed Oct 7, 2013 20:41 UTC
Slocum MichaelPresident, Commercial Banking
Exercise / conversionStock Options · Derivative 4,126 $0.00 Strike: $48.95 $0.00
Disclosure

SEC source: 0001225208-13-021684 · 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 · 4,126 shares

Expires 2018-02-20

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

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 1, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on February 21, 2009 and annually thereafter.

Read SEC document
October 04, 2013 Filed Oct 7, 2013 20:41 UTC
Slocum MichaelPresident, Commercial Banking
SaleCommon Stock 4,126 $70.00 $288,820.00
Disclosure

SEC source: 0001225208-13-021684 · doc4.xml · nonDerivative · entry 2

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,582

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 1, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
October 04, 2013 Filed Oct 7, 2013 20:41 UTC
Slocum MichaelPresident, Commercial Banking
Exercise / conversionCommon Stock 4,126 $48.95 $201,967.70
Disclosure

SEC source: 0001225208-13-021684 · doc4.xml · nonDerivative · entry 1

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,708

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 November 1, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
October 01, 2013 Filed Oct 2, 2013 21:13 UTC
Slocum MichaelPresident, Commercial Banking
Exercise / conversionStock Options · Derivative 11,614 $0.00 Strike: $48.95 $0.00
Disclosure

SEC source: 0001225208-13-021211 · doc4.xml · derivative · entry 3

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,126

Underlying: Common Stock · 11,614 shares

Expires 2018-02-20

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

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 1, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on February 21, 2009 and annually thereafter.

Read SEC document
October 01, 2013 Filed Oct 2, 2013 21:13 UTC
Slocum MichaelPresident, Commercial Banking
SaleCommon Stock 11,614 $70.00 $812,980.00
Disclosure

SEC source: 0001225208-13-021211 · doc4.xml · nonDerivative · entry 2

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,582

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on November 1, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
October 01, 2013 Filed Oct 2, 2013 21:13 UTC
Slocum MichaelPresident, Commercial Banking
Exercise / conversionCommon Stock 11,614 $48.95 $568,505.30
Disclosure

SEC source: 0001225208-13-021211 · doc4.xml · nonDerivative · entry 1

Slocum Michael · CIK 0001528494 · President, Commercial Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,196

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 November 1, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
September 17, 2013 Filed Sep 19, 2013 20:14 UTC
Berson Jory AChief Human Resources Officer
SaleCommon Stock 5,508 $69.00 $380,052.00
Disclosure

SEC source: 0001225208-13-020249 · doc4.xml · nonDerivative · entry 1

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,378

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on July 23, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

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

Read SEC document
August 26, 2013 Filed Aug 28, 2013 20:23 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversionStock Options · Derivative 12,024 $0.00 Strike: $56.28 $0.00
Disclosure

SEC source: 0001225208-13-018773 · doc4.xml · derivative · entry 5

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,024 shares

Expires 2013-12-14

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 July 23, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F6 · derivative.exercise_date: This option became exercisable in 1/3 increments beginning on December 15, 2004 and annually thereafter.

Read SEC document
August 26, 2013 Filed Aug 28, 2013 20:23 UTC
Berson Jory AChief Human Resources Officer
SaleCommon Stock 12,024 $66.54 $800,076.96
Disclosure

SEC source: 0001225208-13-018773 · doc4.xml · nonDerivative · entry 3

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,819

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on July 23, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F4 · price: These shares were sold at prices ranging from $66.45 to $66.67. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
August 26, 2013 Filed Aug 28, 2013 20:23 UTC
Berson Jory AChief Human Resources Officer
SaleCommon Stock 4,743 $66.55 $315,646.65
Disclosure

SEC source: 0001225208-13-018773 · doc4.xml · nonDerivative · entry 2

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,843

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on July 23, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F3 · price: These shares were sold at prices ranging from $66.45 to $66.65. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
August 26, 2013 Filed Aug 28, 2013 20:23 UTC
Berson Jory AChief Human Resources Officer
Exercise / conversionCommon Stock 12,024 $56.28 $676,710.72
Disclosure

SEC source: 0001225208-13-018773 · doc4.xml · nonDerivative · entry 1

Berson Jory A · CIK 0001365632 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,586

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 July 23, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

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

Read SEC document
August 01, 2013 Filed Aug 5, 2013 20:40 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
Exercise / conversionStock Options · Derivative 43,224 $0.00 Strike: $56.28 $0.00
Disclosure

SEC source: 0001225208-13-017298 · 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 · 43,224 shares

Expires 2013-12-14

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 November 6, 2012, 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 December 15, 2004 and annually thereafter.

Read SEC document
August 01, 2013 Filed Aug 5, 2013 20:40 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
SaleCommon Stock 43,224 $69.21 $2,991,533.04
Disclosure

SEC source: 0001225208-13-017298 · 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 November 6, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2 · price: These shares were sold at prices ranging from $69.02 to $69.49. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
August 01, 2013 Filed Aug 5, 2013 20:40 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
Exercise / conversionCommon Stock 43,224 $56.28 $2,432,646.72
Disclosure

SEC source: 0001225208-13-017298 · 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: 153,660

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 November 6, 2012, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
August 01, 2013 Filed Aug 5, 2013 20:41 UTC Exercise / conversionStock Options · Derivative 11,200 $0.00 Strike: $59.65 $0.00
Disclosure

SEC source: 0001225208-13-017299 · doc4.xml · derivative · entry 3

SHATTUCK MAYO A III · CIK 0001087426 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 11,200 shares

Expires 2013-11-13

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_date: This option became exercisable in 1/3 increments beginning on November 14, 2004 and annually thereafter.

Read SEC document
August 01, 2013 Filed Aug 5, 2013 20:41 UTC SaleCommon Stock 11,200 $69.06 $773,472.00
Disclosure

SEC source: 0001225208-13-017299 · doc4.xml · nonDerivative · entry 2

SHATTUCK MAYO A III · CIK 0001087426 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,065

F1 · price: These shares were sold at prices ranging from $69.05 to $69.07. Information regarding the number of shares sold at each price will be provided upon request.

Read SEC document
August 01, 2013 Filed Aug 5, 2013 20:41 UTC Exercise / conversionCommon Stock 11,200 $59.65 $668,080.00
Disclosure

SEC source: 0001225208-13-017299 · doc4.xml · nonDerivative · entry 1

SHATTUCK MAYO A III · CIK 0001087426 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,265

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

Read SEC document
July 31, 2013 Filed Aug 1, 2013 20:36 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
SaleCommon Stock 21,650 $69.50 $1,504,675.00
Disclosure

SEC source: 0001225208-13-017066 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Finneran/Cotter Children's Trust

Disclosed balance after: 41,683

Read SEC document
July 30, 2013 Filed Aug 1, 2013 20:36 UTC
FINNERAN JOHN G JRGen. Counsel & Corp. Secretary
SaleCommon Stock 20,000 $69.00 $1,380,000.00
Disclosure

SEC source: 0001225208-13-017066 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Finneran/Cotter Children's Trust

Disclosed balance after: 63,333

Read SEC document
July 24, 2013 Filed Jul 25, 2013 22:59 UTC
Blackley Richard ScottPrincipal Accounting Officer
SaleCommon Stock 108 $69.30 $7,484.40
Disclosure

SEC source: 0001225208-13-016637 · doc4.xml · nonDerivative · entry 1

Blackley Richard Scott · CIK 0001525020 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,177

F1 · price: These shares were sold at prices ranging from $69.28 to $69.29. Information regarding the number of shares sold at each price will be provided upon request.

F2 · balance_after: This number was adjusted by subtracting one share to correct an over-reporting of the number of securities beneficially owned.

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July 19, 2013 Filed Jul 22, 2013 20:14 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Exercise / conversionStock Options · Derivative 4,500 $0.00 Strike: $56.28 $0.00
Disclosure

SEC source: 0001225208-13-016415 · 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 · 4,500 shares

Expires 2013-12-14

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 May 14, 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 December 15, 2004 and annually thereafter.

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July 19, 2013 Filed Jul 22, 2013 20:14 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
SaleCommon Stock 4,500 $68.75 $309,375.00
Disclosure

SEC source: 0001225208-13-016415 · 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

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 14, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

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July 19, 2013 Filed Jul 22, 2013 20:14 UTC
LaPrade,III Frank G.Chief Enterprise Srvcs Officer
Exercise / conversionCommon Stock 4,500 $56.28 $253,260.00
Disclosure

SEC source: 0001225208-13-016415 · 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: 42,797

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

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on May 14, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

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July 19, 2013 Filed Jul 22, 2013 20:15 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionStock Options · Derivative 17,200 $0.00 Strike: $56.28 $0.00
Disclosure

SEC source: 0001225208-13-016416 · doc4.xml · derivative · entry 8

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 17,200 shares

Expires 2013-12-14

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 26, 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 December 15, 2004 and annually thereafter.

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July 19, 2013 Filed Jul 22, 2013 20:15 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionStock Options · Derivative 11,923 $0.00 Strike: $18.28 $0.00
Disclosure

SEC source: 0001225208-13-016416 · doc4.xml · derivative · entry 7

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,925

Underlying: Common Stock · 11,923 shares

Expires 2019-01-28

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

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on April 26, 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.

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July 19, 2013 Filed Jul 22, 2013 20:15 UTC
Alexander Robert M.Chief Information Officer
SaleCommon Stock 33,123 $68.75 $2,277,206.25
Disclosure

SEC source: 0001225208-13-016416 · doc4.xml · nonDerivative · entry 4

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,817

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on April 26, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

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July 19, 2013 Filed Jul 22, 2013 20:15 UTC
Alexander Robert M.Chief Information Officer
SaleCommon Stock 4,724 $69.74 $329,451.76
Disclosure

SEC source: 0001225208-13-016416 · doc4.xml · nonDerivative · entry 3

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,940

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on April 26, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

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July 19, 2013 Filed Jul 22, 2013 20:15 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionCommon Stock 11,923 $18.28 $217,952.44
Disclosure

SEC source: 0001225208-13-016416 · doc4.xml · nonDerivative · entry 2

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,664

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 26, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
July 19, 2013 Filed Jul 22, 2013 20:15 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionCommon Stock 17,200 $56.28 $968,016.00
Disclosure

SEC source: 0001225208-13-016416 · doc4.xml · nonDerivative · entry 1

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,741

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 26, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

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July 12, 2013 Filed Jul 16, 2013 21:04 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionStock Options · Derivative 10,000 $0.00 Strike: $18.28 $0.00
Disclosure

SEC source: 0001225208-13-016243 · doc4.xml · derivative · entry 5

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,848

Underlying: Common Stock · 10,000 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 April 26, 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.

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July 12, 2013 Filed Jul 16, 2013 21:04 UTC
Alexander Robert M.Chief Information Officer
SaleCommon Stock 10,000 $66.74 $667,400.00
Disclosure

SEC source: 0001225208-13-016243 · doc4.xml · nonDerivative · entry 2

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,541

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on April 26, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

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July 12, 2013 Filed Jul 16, 2013 21:04 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionCommon Stock 10,000 $18.28 $182,800.00
Disclosure

SEC source: 0001225208-13-016243 · doc4.xml · nonDerivative · entry 1

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,541

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 26, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

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July 08, 2013 Filed Jul 9, 2013 20:31 UTC
Alexander Robert M.Chief Information Officer
SaleCommon Stock 4,000 $66.14 $264,560.00
Disclosure

SEC source: 0001225208-13-015981 · doc4.xml · nonDerivative · entry 3

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,541

F1 · security: This transaction was executed pursuant to a trading plan entered into by the reporting person on April 26, 2013, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Read SEC document
July 05, 2013 Filed Jul 9, 2013 20:31 UTC
Alexander Robert M.Chief Information Officer
Exercise / conversionStock Options · Derivative 10,000 $0.00 Strike: $18.28 $0.00
Disclosure

SEC source: 0001225208-13-015981 · doc4.xml · derivative · entry 6

Alexander Robert M. · CIK 0001425374 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,848

Underlying: Common Stock · 10,000 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 April 26, 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

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