Capital One holder plans $495K stock sale in 2026

A holder of Capital One Financial (COF) common stock filed a Form 144 giving notice of a proposed sale of 2,193 shares through Morgan Stanley Smith Barney LLC’s Executive Financial Services on the NYSE on or after 08/17/2026.

Rhea-AI Filing Summary

A holder of Capital One Financial (COF) common stock filed a Form 144 giving notice of a proposed sale of 2,193 shares through Morgan Stanley Smith Barney LLC’s Executive Financial Services on the NYSE on or after 08/17/2026. The filing lists an aggregate market value for these shares of $494,565.75.

The shares to be sold consist of 308 shares acquired under an Employee Stock Purchase Plan on 02/28/2023 for cash and 1,885 performance shares acquired on 03/10/2025.

Key Figures

Shares proposed for sale: 2,193 shares Aggregate market value: $494,565.75 Proposed sale date: 08/17/2026 +2 more

5 metrics

Shares proposed for sale 2,193 shares Common stock covered by the Form 144 notice

Aggregate market value $494,565.75 Total value of the 2,193 shares proposed for sale

Proposed sale date 08/17/2026 Date associated with the NYSE sale of common stock

ESPP shares 308 shares Employee Stock Purchase Plan shares acquired 02/28/2023 for cash

Performance shares 1,885 shares Performance shares acquired 03/10/2025

Key Terms

Form 144, Employee Stock Purchase Plan, Performance Shares, Executive Financial Services

4 terms

Form 144 regulatory

"A holder of Capital One Financial (COF) common stock filed a Form 144"

Form 144 is a document that investors must file with the government when they plan to sell a large number of shares of a company's stock. It helps ensure transparency so everyone knows how many shares are being sold and when, which can impact the stock's price.

Employee Stock Purchase Plan financial

"308 shares acquired under an Employee Stock Purchase Plan on 02/28/2023"

An employee stock purchase plan is a company program that lets workers buy shares through small payroll deductions, often at a discount to the market price and after a set offering period. Think of it like a workplace savings plan that turns into ownership: it encourages employees to share in the company’s success and can create predictable buying or selling of stock that investors watch because it affects supply, demand and employee incentives.

Performance Shares financial

"1,885 performance shares acquired on 03/10/2025"

Performance shares are a type of company stock given to executives or employees that only become theirs if the company meets specific goals, like hitting certain profits or growth targets. They motivate leaders to work toward the company’s success, because their additional shares depend on achieving these results.

Executive Financial Services financial

"through Morgan Stanley Smith Barney LLC’s Executive Financial Services on the NYSE"

FAQ

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

What stock sale is disclosed for COF in this Form 144?

The Form 144 discloses a proposed sale of 2,193 shares of Capital One Financial (COF) common stock. The sale is to be executed through Morgan Stanley Smith Barney LLC’s Executive Financial Services on the NYSE on or after 08/17/2026.

What is the aggregate value of the COF shares planned for sale?

The filing lists an aggregate market value of $494,565.75 for the 2,193 COF shares proposed for sale. This figure reflects the total value of the securities covered by the Form 144 notice at the time of the filing.

Which broker is handling the proposed COF share sale?

The proposed sale of 2,193 COF shares will be handled by Morgan Stanley Smith Barney LLC Executive Financial Services. The broker’s office is listed at 1 New York Plaza, 8th Floor, New York, NY 10004, with execution on the NYSE.

What types of COF shares are being sold according to the Form 144?

The sale covers 308 COF shares from an Employee Stock Purchase Plan acquired on 02/28/2023 and 1,885 performance shares acquired on 03/10/2025. Together they total 2,193 shares proposed for sale.

On what date may the COF shares be sold under this Form 144?

The Form 144 indicates that the 2,193 COF shares may be sold on or after 08/17/2026. This date is the proposed sale date associated with the NYSE listing for the common stock covered by the notice.

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

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Accepted by SEC EDGAR 08/17/2026 - 04:27 PM EDT 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	7037201000
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	2193	494565.75	613484836	08/17/2026	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	02/28/2023	Employee Stock Purchase Plan	Issuer			308	02/28/2023	Cash
Common	03/10/2025	Performance Shares	Issuer			1885	03/10/2025	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

Nothing to Report

144: Remarks and Signature

Remarks	The securities to be sold were acquired upon the purchase of Employee Stock Purchase Plan shares during the period of 02/28/2023 through 02/28/2026.
Date of Notice	08/17/2026
Date of Plan Adoption or Giving of Instruction, If Relying on Rule 10b5-1	05/14/2026
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)