COF insider files Rule 144 notice to sell 3,163 common shares

COF filed a notice of proposed sale of restricted or control securities under Rule 144.

Rhea-AI Filing Summary

COF filed a notice of proposed sale of restricted or control securities under Rule 144. The filing covers the planned sale of 3,163 shares of common stock through Morgan Stanley Smith Barney LLC on the NYSE, with an aggregate market value of $772,879.05 and 635,733,605 common shares outstanding for the issuer.

The shares to be sold were acquired from the issuer on 03/01/2023 as performance shares. The same holder, identified as Lia Dean, previously sold 3,269 common shares on 12/01/2025 for gross proceeds of $713,132.35. By signing the notice, the seller represents they do not know of any undisclosed material adverse information about the issuer’s current or future operations.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does the COF Form 144 filing disclose?

The filing discloses a planned sale of 3,163 shares of COF common stock under Rule 144, to be executed through Morgan Stanley Smith Barney LLC on the NYSE.

How many COF shares are planned to be sold and what is their value?

The notice covers 3,163 common shares of COF with an aggregate market value of $772,879.05.

Who is the seller in this COF Rule 144 notice?

The person for whose account the securities are to be sold is identified as Lia Dean, as shown in the Form 144 disclosure.

When were the COF shares to be sold under Form 144 originally acquired?

The 3,163 COF common shares were acquired on 03/01/2023 as performance shares from the issuer.

Has the COF seller made other stock sales recently?

Yes. The filing lists a prior sale by Lia Dean of 3,269 common shares on 12/01/2025, generating $713,132.35 in gross proceeds.

How many COF common shares are outstanding according to this filing?

The Form 144 states that the number of COF common shares outstanding is 635,733,605.

What representation does the COF seller make by signing the Form 144?

By signing, the seller represents that they do not know any material adverse information about the issuer’s current or prospective operations that has not been publicly disclosed.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Accepted by SEC EDGAR 01/02/2026 - 04:12 PM Learn about SEC filing dates

Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK	0001741273
Filer CCC	XXXXXXXX
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer	CAPITAL ONE FINANCIAL CORPORATION
SEC File Number	001-13300
Address of Issuer	1680 Capital One Drive McLean VIRGINIA 22102
Phone	(703) 720-1000
Name of Person for Whose Account the Securities are To Be Sold	LIA DEAN
See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.
Relationship to Issuer	Officer

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Common	Morgan Stanley Smith Barney LLC Executive Financial Services 1 New York Plaza 8th Floor New York NY 10004	3163	772879.05	635733605	01/02/2026	NYSE

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Common	03/01/2023	Performance Shares	ISSUER			3163	03/01/2023	Not Applicable

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Name and Address of Seller	Title of Securities Sold	Date of Sale	Amount of Securities Sold	Gross Proceeds
LIA DEAN 1680 Capital One Drive McLean VA 22102	Common	12/01/2025	3269	713132.35

144: Remarks and Signature

Remarks
Date of Notice	01/02/2026
Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1	08/14/2025
ATTENTION:
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.
Signature	/s/ Lia Dean
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)