Officer sells 3,284 and 3,163 COF shares

Officer reported sales of Common shares by LIA DEAN, recorded on 02/04/2026 and 01/02/2026.

Rhea-AI Filing Summary

Officer reported sales of Common shares by LIA DEAN, recorded on 02/04/2026 and 01/02/2026. The filing lists a sale of 3,284 Common shares on 02/04/2026 with a cash figure of 734,565.12 and 3,163 Common shares on 01/02/2026 with a cash figure of 772,879.05. The securities are listed as Common on the NYSE.

Insights

Equity Compensation Analyst

Disclosed controlled sales of vested common shares by an officer.

The filing shows two reported transactions: 3,163 and 3,284 Common shares reported as sold on 01/02/2026 and 02/04/2026 respectively, with associated cash figures listed in the excerpt.

These appear as routine insider sales of Common stock; timing, method of sale, and whether trades were pre-arranged are not specified in the provided excerpt.

FAQ

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

What insider transactions does the COF Form 144 show?

The Form 144 reports sales by LIA DEAN of Common stock: 3,163 shares on 01/02/2026 and 3,284 shares on 02/04/2026, each with corresponding cash figures listed.

Who is listed as the selling party on the COF Form 144?

The filing lists LIA DEAN at an address of 1680 Capital One Drive, McLean, VA as the reporting seller for the disclosed Common share sales.

What amounts are shown for proceeds on the COF Form 144?

The excerpt displays cash figures of 772,879.05 linked to 3,163 shares (01/02/2026) and 734,565.12 linked to 3,284 shares (02/04/2026).

Which exchange and security type are identified on the filing for COF?

The document identifies the security as Common shares and lists the exchange as the NYSE in the provided excerpt.

Does the Form 144 excerpt state who received proceeds from the sales?

The excerpt shows cash figures alongside each sale, but it does not state verbatim who received the proceeds or the distribution method for those amounts in the provided text.

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

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Accepted by SEC EDGAR 03/02/2026 - 04:13 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	3284	627244.00	621931593	03/02/2026	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	03/11/2024	Performance Shares	ISSUER			3284	03/11/2024	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	02/04/2026	3284	734565.12
LIA DEAN 1680 Capital One Drive McLean VA 22102	Common	01/02/2026	3163	772879.05

144: Remarks and Signature

Remarks
Date of Notice	03/02/2026
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)