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Nasdaq · USD

HFWA

HERITAGE FINANCIAL CORP /WA/

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Tapewire entity
1370
SEC CIK
0001046025
Parsed reports
580

Last 12 months

Inside the activity.

1 purchase rows · 12 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202510
Dec 202500
Jan 202601
Feb 202602
Mar 202600
Apr 202600
May 202602
Jun 202601
Jul 202601
Aug 202603
Sep 202602
Oct 202600

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
June 27, 2019 Filed Jun 28, 2019 20:07 UTC GrantRestricted Stock Units · Derivative 1,291 $29.05 Strike: $0.00 $37,503.55
Disclosure

SEC source: 0001046025-19-000121 · wf-form4_156175246203099.xml · derivative · entry 1

CHARNESKI BRIAN · CIK 0001219965 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,291

Underlying: Common Stock · 1,291 shares

Expires 2020-05-04

Read SEC document
June 27, 2019 Filed Jun 28, 2019 20:10 UTC
CLEES JOHN ADirector
GrantRestricted Stock Units · Derivative 1,291 $29.05 Strike: $0.00 $37,503.55
Disclosure

SEC source: 0001046025-19-000128 · wf-form4_156175259994294.xml · derivative · entry 1

CLEES JOHN A · CIK 0001219967 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,291

Underlying: Common Stock · 1,291 shares

Expires 2020-05-04

Read SEC document
June 27, 2019 Filed Jun 28, 2019 20:09 UTC GrantRestricted Stock Units · Derivative 1,291 $29.05 Strike: $0.00 $37,503.55
Disclosure

SEC source: 0001046025-19-000127 · wf-form4_156175258062973.xml · derivative · entry 1

LYON JEFFREY S · CIK 0001219977 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,291

Underlying: Common Stock · 1,291 shares

Expires 2020-05-04

Read SEC document
June 27, 2019 Filed Jun 28, 2019 20:09 UTC GrantRestricted Stock Units · Derivative 1,291 $29.05 Strike: $0.00 $37,503.55
Disclosure

SEC source: 0001046025-19-000126 · wf-form4_156175256149370.xml · derivative · entry 1

Gavin Deborah J · CIK 0001571205 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,291

Underlying: Common Stock · 1,291 shares

Expires 2020-05-04

Read SEC document
June 27, 2019 Filed Jun 28, 2019 20:09 UTC GrantRestricted Stock Units · Derivative 1,291 $29.05 Strike: $0.00 $37,503.55
Disclosure

SEC source: 0001046025-19-000125 · wf-form4_156175253960986.xml · derivative · entry 1

PICKERING ANTHONY · CIK 0001232272 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,291

Underlying: Common Stock · 1,291 shares

Expires 2020-05-04

Read SEC document
June 27, 2019 Filed Jun 28, 2019 20:08 UTC GrantRestricted Stock Units · Derivative 1,291 $29.05 Strike: $0.00 $37,503.55
Disclosure

SEC source: 0001046025-19-000124 · wf-form4_156175251889629.xml · derivative · entry 1

Ellwanger Kimberly T · CIK 0001360994 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,291

Underlying: Common Stock · 1,291 shares

Expires 2020-05-04

Read SEC document
June 27, 2019 Filed Jun 28, 2019 20:08 UTC
Watson AnnDirector
GrantRestricted Stock Units · Derivative 1,291 $29.05 Strike: $0.00 $37,503.55
Disclosure

SEC source: 0001046025-19-000123 · wf-form4_156175249926539.xml · derivative · entry 1

Watson Ann · CIK 0001561988 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,291

Underlying: Common Stock · 1,291 shares

Expires 2020-05-04

Read SEC document
June 27, 2019 Filed Jun 28, 2019 20:08 UTC GrantRestricted Stock Units · Derivative 1,291 $29.05 Strike: $0.00 $37,503.55
Disclosure

SEC source: 0001046025-19-000122 · wf-form4_156175247956639.xml · derivative · entry 1

Dennis Stephen · CIK 0001729105 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,291

Underlying: Common Stock · 1,291 shares

Expires 2020-05-04

Read SEC document
June 27, 2019 Filed Jun 28, 2019 20:07 UTC GrantRestricted Stock Units · Derivative 1,291 $29.05 Strike: $0.00 $37,503.55
Disclosure

SEC source: 0001046025-19-000120 · wf-form4_156175244216835.xml · derivative · entry 1

MILLER GRAGG E · CIK 0001454863 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,291

Underlying: Common Stock · 1,291 shares

Expires 2020-05-04

Read SEC document
June 14, 2019 Filed Jun 14, 2019 20:25 UTC
Banner LisaEVP Director Shared Services
SaleCommon Stock 976 $29.25 $28,548.00
Disclosure

SEC source: 0001046025-19-000106 · wf-form4_156054392546644.xml · nonDerivative · entry 1

Banner Lisa · CIK 0001653957 · EVP Director Shared Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 731

Read SEC document
May 23, 2019 Filed May 23, 2019 22:51 UTC
Hinson DonaldEVPand Chief Financial Officer
Exercise / conversionCommon Stock · Derivative 1,330 $14.77 Strike: $14.77 $19,644.10
Disclosure

SEC source: 0001046025-19-000104 · wf-form4_155865190147136.xml · derivative · entry 2

Hinson Donald · CIK 0001410604 · EVPand Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Incentive Stock Option · 1,330 shares

Expires 2020-05-25

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
May 23, 2019 Filed May 23, 2019 22:51 UTC
Hinson DonaldEVPand Chief Financial Officer
Exercise / conversionCommon Stock 1,330 $14.77 $19,644.10
Disclosure

SEC source: 0001046025-19-000104 · wf-form4_155865190147136.xml · nonDerivative · entry 1

Hinson Donald · CIK 0001410604 · EVPand Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,159

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
May 01, 2019 Filed May 22, 2019 19:19 UTC
Watson AnnDirector
Exercise / conversionRestricted Stock Units · Derivative 968 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001046025-19-000095 · wf-form4_155855277155762.xml · derivative · entry 2

Watson Ann · CIK 0001561988 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 968 shares

Expires 2019-05-01

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
May 01, 2019 Filed May 22, 2019 19:19 UTC
Watson AnnDirector
Exercise / conversionCommon Stock 968 $0.00 $0.00
Disclosure

SEC source: 0001046025-19-000095 · wf-form4_155855277155762.xml · nonDerivative · entry 1

Watson Ann · CIK 0001561988 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,149

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
May 01, 2019 Filed May 22, 2019 19:20 UTC Exercise / conversionRestricted Stock Units · Derivative 968 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001046025-19-000097 · wf-form4_155855283501418.xml · derivative · entry 3

PICKERING ANTHONY · CIK 0001232272 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 968 shares

Expires 2019-05-01

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
May 01, 2019 Filed May 22, 2019 19:20 UTC Exercise / conversionCommon Stock 968 $0.00 $0.00
Disclosure

SEC source: 0001046025-19-000097 · wf-form4_155855283501418.xml · nonDerivative · entry 1

PICKERING ANTHONY · CIK 0001232272 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,220

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
May 01, 2019 Filed May 22, 2019 19:23 UTC Exercise / conversionRestricted Stock Units · Derivative 968 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001046025-19-000102 · wf-form4_155855298207540.xml · derivative · entry 2

Gavin Deborah J · CIK 0001571205 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 968 shares

Expires 2019-05-01

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
May 01, 2019 Filed May 22, 2019 19:23 UTC Exercise / conversionCommon Stock 968 $0.00 $0.00
Disclosure

SEC source: 0001046025-19-000102 · wf-form4_155855298207540.xml · nonDerivative · entry 1

Gavin Deborah J · CIK 0001571205 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,243

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
May 01, 2019 Filed May 22, 2019 19:22 UTC Exercise / conversionRestricted Stock Units · Derivative 968 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001046025-19-000101 · wf-form4_155855295365174.xml · derivative · entry 4

MILLER GRAGG E · CIK 0001454863 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 968 shares

Expires 2019-05-01

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
May 01, 2019 Filed May 22, 2019 19:22 UTC Exercise / conversionCommon Stock 968 $0.00 $0.00
Disclosure

SEC source: 0001046025-19-000101 · wf-form4_155855295365174.xml · nonDerivative · entry 1

MILLER GRAGG E · CIK 0001454863 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,955

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
May 01, 2019 Filed May 22, 2019 19:22 UTC
CLEES JOHN ADirector
Exercise / conversionRestricted Stock Units · Derivative 968 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001046025-19-000100 · wf-form4_155855292464944.xml · derivative · entry 4

CLEES JOHN A · CIK 0001219967 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 968 shares

Expires 2019-05-01

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
May 01, 2019 Filed May 22, 2019 19:22 UTC
CLEES JOHN ADirector
Exercise / conversionCommon Stock 968 $0.00 $0.00
Disclosure

SEC source: 0001046025-19-000100 · wf-form4_155855292464944.xml · nonDerivative · entry 1

CLEES JOHN A · CIK 0001219967 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,177

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
May 01, 2019 Filed May 22, 2019 19:21 UTC Exercise / conversionRestricted Stock Units · Derivative 968 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001046025-19-000099 · wf-form4_155855289491140.xml · derivative · entry 2

LYON JEFFREY S · CIK 0001219977 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 968 shares

Expires 2019-05-01

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
May 01, 2019 Filed May 22, 2019 19:21 UTC Exercise / conversionCommon Stock 968 $0.00 $0.00
Disclosure

SEC source: 0001046025-19-000099 · wf-form4_155855289491140.xml · nonDerivative · entry 1

LYON JEFFREY S · CIK 0001219977 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,997

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
May 01, 2019 Filed May 22, 2019 19:21 UTC Exercise / conversionRestricted Stock Units · Derivative 968 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001046025-19-000098 · wf-form4_155855286425336.xml · derivative · entry 3

CHARNESKI BRIAN · CIK 0001219965 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 968 shares

Expires 2019-05-01

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
May 01, 2019 Filed May 22, 2019 19:21 UTC Exercise / conversionCommon Stock 968 $0.00 $0.00
Disclosure

SEC source: 0001046025-19-000098 · wf-form4_155855286425336.xml · nonDerivative · entry 1

CHARNESKI BRIAN · CIK 0001219965 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,737

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
May 01, 2019 Filed May 22, 2019 19:20 UTC Exercise / conversionRestricted Stock Units · Derivative 968 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001046025-19-000096 · wf-form4_155855280471622.xml · derivative · entry 2

Dennis Stephen · CIK 0001729105 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 968 shares

Expires 2019-05-01

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
May 01, 2019 Filed May 22, 2019 19:20 UTC Exercise / conversionCommon Stock 968 $0.00 $0.00
Disclosure

SEC source: 0001046025-19-000096 · wf-form4_155855280471622.xml · nonDerivative · entry 1

Dennis Stephen · CIK 0001729105 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,822

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
May 01, 2019 Filed May 22, 2019 19:19 UTC Exercise / conversionRestricted Stock Units · Derivative 968 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001046025-19-000094 · wf-form4_155855272126408.xml · derivative · entry 2

Ellwanger Kimberly T · CIK 0001360994 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 968 shares

Expires 2019-05-01

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
May 01, 2019 Filed May 22, 2019 19:19 UTC Exercise / conversionCommon Stock 968 $0.00 $0.00
Disclosure

SEC source: 0001046025-19-000094 · wf-form4_155855272126408.xml · nonDerivative · entry 1

Ellwanger Kimberly T · CIK 0001360994 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,362

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
April 29, 2019 Filed Apr 30, 2019 20:49 UTC SaleCommon Stock 3,885 $30.74 $119,421.79
Disclosure

SEC source: 0001046025-19-000077 · wf-form4_155665732992788.xml · nonDerivative · entry 1

VANCE BRIAN L · CIK 0001219983 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,011

Read SEC document
March 27, 2019 Filed Mar 29, 2019 15:52 UTC
Hirman Cindy MEVP Director of Retail Banking
GrantCommon Stock · Derivative 831 $30.09 Strike: $0.00 $25,004.79
Disclosure

SEC source: 0001046025-19-000073 · wf-form4_155387473989503.xml · derivative · entry 1

Huntley Cindy M · CIK 0001640816 · EVP Director of Retail Banking

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 831

Underlying: Common Stock · 831 shares

Expires 2022-03-15

F1 · security: RSU Grant 2019

F2 · derivative.exercise_date: Represents award pursuant to 2014 Omnibus Equity Plan; shares vest one third per year over a three year period. Each restricted stock unit represents the right to receive one share of the Issuer's Common Stock upon vesting.

Read SEC document
March 15, 2019 Filed Mar 15, 2019 22:22 UTC Exercise / conversionRestricted Stock Units · Derivative 1,492 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001046025-19-000051 · wf-form4_155268851440661.xml · derivative · entry 7

VANCE BRIAN L · CIK 0001219983 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,984

Underlying: Common Stock · 1,492 shares

Expires 2021-03-15

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.

F3 · security: RSU grant 2018

Read SEC document
March 15, 2019 Filed Mar 15, 2019 22:22 UTC Exercise / conversionRestricted Stock Units · Derivative 1,700 $31.36 Strike: $0.00 $53,312.00
Disclosure

SEC source: 0001046025-19-000051 · wf-form4_155268851440661.xml · derivative · entry 6

VANCE BRIAN L · CIK 0001219983 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,700

Underlying: Common Stock · 1,700 shares

Expires 2020-03-15

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 · security: RSU grant 2017

F2 · derivative.exercise_date: Represents award pursuant to 2014 Omnibus Equity Plan; shares vest one third per year over a three year period. Each restricted stock unit represents the right to receive one share of the Issuer's Common Stock upon vesting.

Read SEC document
March 15, 2019 Filed Mar 15, 2019 22:22 UTC Tax withholdingCommon Stock 1,221 $31.36 $38,290.56
Disclosure

SEC source: 0001046025-19-000051 · wf-form4_155268851440661.xml · nonDerivative · entry 5

VANCE BRIAN L · CIK 0001219983 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,896

Read SEC document
March 15, 2019 Filed Mar 15, 2019 22:22 UTC Exercise / conversionCommon Stock 1,492 $31.36 $46,789.12
Disclosure

SEC source: 0001046025-19-000051 · wf-form4_155268851440661.xml · nonDerivative · entry 4

VANCE BRIAN L · CIK 0001219983 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,117

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
March 15, 2019 Filed Mar 15, 2019 22:22 UTC Exercise / conversionCommon Stock 1,700 $31.36 $53,312.00
Disclosure

SEC source: 0001046025-19-000051 · wf-form4_155268851440661.xml · nonDerivative · entry 3

VANCE BRIAN L · CIK 0001219983 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,625

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
March 15, 2019 Filed Mar 15, 2019 22:22 UTC SaleCommon Stock 12,705 $31.53 $400,588.65
Disclosure

SEC source: 0001046025-19-000051 · wf-form4_155268851440661.xml · nonDerivative · entry 2

VANCE BRIAN L · CIK 0001219983 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,925

Read SEC document
March 15, 2019 Filed Mar 18, 2019 23:56 UTC
Glasby WilliamEVP Chief Techonology Officer
Exercise / conversionRestricted Stock Units · Derivative 449 $31.36 Strike: $0.00 $14,080.64
Disclosure

SEC source: 0001046025-19-000067 · wf-form4_155295336755597.xml · derivative · entry 3

Glasby William · CIK 0001719362 · EVP Chief Techonology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 896

Underlying: Common Stock · 449 shares

Expires 2021-03-15

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 · balance_after: Represents award pursuant to 2014 Omnibus Equity Plan; shares vest one third per year over a three year period. Each restricted stock unit represents the right to receive one share of the Issuer's Common Stock upon vesting.

Read SEC document
March 15, 2019 Filed Mar 18, 2019 23:56 UTC
Glasby WilliamEVP Chief Techonology Officer
Tax withholdingCommon Stock 125 $31.36 $3,920.00
Disclosure

SEC source: 0001046025-19-000067 · wf-form4_155295336755597.xml · nonDerivative · entry 2

Glasby William · CIK 0001719362 · EVP Chief Techonology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 413

Read SEC document
March 15, 2019 Filed Mar 18, 2019 23:56 UTC
Glasby WilliamEVP Chief Techonology Officer
Exercise / conversionCommon Stock 449 $31.36 $14,080.64
Disclosure

SEC source: 0001046025-19-000067 · wf-form4_155295336755597.xml · nonDerivative · entry 1

Glasby William · CIK 0001719362 · EVP Chief Techonology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 538

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
March 15, 2019 Filed Mar 18, 2019 23:57 UTC Exercise / conversionRestricted Stock Units · Derivative 765 $31.36 Strike: $0.00 $23,990.40
Disclosure

SEC source: 0001046025-19-000069 · wf-form4_155295344836562.xml · derivative · entry 5

Deuel Jeffrey J · CIK 0001485896 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 765

Underlying: Common Stock · 765 shares

Expires 2020-03-15

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

F2 · security: RSU grant 2017

F3 · derivative.exercise_date: Represents award pursuant to 2014 Omnibus Equity Plan; shares vest one third per year over a three year period. Each restricted stock unit represents the right to receive one share of the Issuer's Common Stock upon vesting.

Read SEC document
March 15, 2019 Filed Mar 18, 2019 23:57 UTC Exercise / conversionRestricted Stock Units · Derivative 765 $31.36 Strike: $0.00 $23,990.40
Disclosure

SEC source: 0001046025-19-000069 · wf-form4_155295344836562.xml · derivative · entry 4

Deuel Jeffrey J · CIK 0001485896 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,529

Underlying: Common Stock · 765 shares

Expires 2021-03-15

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 · security: RSU grant 2018

Read SEC document
March 15, 2019 Filed Mar 18, 2019 23:57 UTC Tax withholdingCommon Stock 611 $31.36 $19,160.96
Disclosure

SEC source: 0001046025-19-000069 · wf-form4_155295344836562.xml · nonDerivative · entry 3

Deuel Jeffrey J · CIK 0001485896 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,189

Read SEC document
March 15, 2019 Filed Mar 18, 2019 23:57 UTC Exercise / conversionCommon Stock 765 $31.36 $23,990.40
Disclosure

SEC source: 0001046025-19-000069 · wf-form4_155295344836562.xml · nonDerivative · entry 2

Deuel Jeffrey J · CIK 0001485896 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,800

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
March 15, 2019 Filed Mar 18, 2019 23:57 UTC Exercise / conversionCommon Stock 765 $31.36 $23,990.40
Disclosure

SEC source: 0001046025-19-000069 · wf-form4_155295344836562.xml · nonDerivative · entry 1

Deuel Jeffrey J · CIK 0001485896 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,035

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
March 15, 2019 Filed Mar 18, 2019 23:57 UTC
Henning Thomas JEVP Chief Risk Officer
Exercise / conversionRestricted Stock Units · Derivative 356 $31.36 Strike: $0.00 $11,164.16
Disclosure

SEC source: 0001046025-19-000068 · wf-form4_155295341151173.xml · derivative · entry 5

Henning Thomas J · CIK 0001674263 · EVP Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 355

Underlying: Common Stock · 356 shares

Expires 2020-03-15

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

F2 · security: RSU grant 2017

F3 · derivative.exercise_date: Represents award pursuant to 2014 Omnibus Equity Plan; shares vest one third per year over a three year period. Each restricted stock unit represents the right to receive one share of the Issuer's Common Stock upon vesting.

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March 15, 2019 Filed Mar 18, 2019 23:57 UTC
Henning Thomas JEVP Chief Risk Officer
Exercise / conversionRestricted Stock Units · Derivative 661 $31.36 Strike: $0.00 $20,728.96
Disclosure

SEC source: 0001046025-19-000068 · wf-form4_155295341151173.xml · derivative · entry 4

Henning Thomas J · CIK 0001674263 · EVP Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,321

Underlying: Common Stock · 661 shares

Expires 2021-03-15

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 · security: RSU grant 2018

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March 15, 2019 Filed Mar 18, 2019 23:57 UTC
Henning Thomas JEVP Chief Risk Officer
Tax withholdingCommon Stock 265 $31.36 $8,310.40
Disclosure

SEC source: 0001046025-19-000068 · wf-form4_155295341151173.xml · nonDerivative · entry 3

Henning Thomas J · CIK 0001674263 · EVP Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,008

Read SEC document
March 15, 2019 Filed Mar 18, 2019 23:57 UTC
Henning Thomas JEVP Chief Risk Officer
Exercise / conversionCommon Stock 356 $31.36 $11,164.16
Disclosure

SEC source: 0001046025-19-000068 · wf-form4_155295341151173.xml · nonDerivative · entry 2

Henning Thomas J · CIK 0001674263 · EVP Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,273

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

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