Capital One officer Lia Dean proposes $370K share sale

The notice also lists Lia Dean's two sales during the prior three months, dated September 15 and August 17, 2026.

Rhea-AI Filing Summary

Capital One Financial Corp. officer Lia Dean reported a proposed sale of 1,887 common shares, with an aggregate market value of $369,587.82, through Morgan Stanley Smith Barney LLC on NYSE, with an approximate sale date of October 15, 2026. The notice also reports sales of 2,067 shares for $425,947.25 on September 15, 2026, and 2,193 shares for $494,565.75 on August 17, 2026. It lists 956 performance shares dated February 15, 2019, and 931 dated February 15, 2023.

Key Figures

Proposed common shares for sale: 1,887 shares Aggregate market value: $369,587.82 Common shares outstanding: 613,484,836 shares +4 more

7 metrics

Proposed common shares for sale 1,887 shares Approximate sale date October 15, 2026

Aggregate market value $369,587.82 Proposed sale

Common shares outstanding 613,484,836 shares Issuer information

Shares sold 2,067 shares September 15, 2026

Aggregate market value $425,947.25 Sale on September 15, 2026

Shares sold 2,193 shares August 17, 2026

Aggregate market value $494,565.75 Sale on August 17, 2026

Key Terms

Rule 144, Performance Shares

2 terms

Rule 144 regulatory

"definition of "person" in paragraph (a) of Rule 144"

Rule 144 is a U.S. securities regulation that sets conditions under which restricted or insider-held shares can be legally resold to the public, such as required holding periods, availability of public information, limits on how much can be sold at once, and certain filing requirements. For investors it matters because it determines when previously locked-up shares can enter the market — like a release valve that can increase supply, affect share price, and signal insider intent.

Performance Shares financial

"Performance Shares"

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.

FAQ

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

How many COF shares did Capital One officer Lia Dean report for sale?

Lia Dean reported a proposed sale of 1,887 common shares, with an aggregate market value of $369,587.82, through Morgan Stanley Smith Barney LLC on NYSE, with an approximate sale date of October 15, 2026.

What COF shares did Lia Dean sell during the prior three months?

The notice lists a sale of 2,067 shares for $425,947.25 on September 15, 2026, and a sale of 2,193 shares for $494,565.75 on August 17, 2026.

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

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Available on EDGAR 10/15/2026 - 04:05 PM EDT Accepted by SEC EDGAR 10/15/2026 - 04:04 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	1887	369587.82	613484836	10/15/2026	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	02/15/2019	Performance Shares	ISSUER			956	02/15/2019	Not Applicable
Common	02/15/2023	Performance Shares	ISSUER			931	02/15/2023	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	09/15/2026	2067	425947.25
LIA DEAN 1680 Capital One Drive McLean VA 22102	Common	08/17/2026	2193	494565.75

144: Remarks and Signature

Remarks
Date of Notice	10/15/2026
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)