Capital One (NYSE: COF) exec sells 2,193 shares under plan

Q: What insider transaction did COF executive Lia Dean report on this Form 4?

Lia Dean reported selling 2,193 shares of Capital One Financial Corp common stock on August 17, 2026 . The sales were made in open-market or private transactions under a Rule 10b5-1 trading plan entered into on May 14, 2026.

Q: At what prices were the COF shares sold in Lia Dean’s August 17, 2026 transactions?

The reported COF share sales occurred at prices of $225.52 and $225.92 per share. These per-share prices apply to separate trades of 2,192 shares and 1 share , respectively, as part of the same overall selling program.

Q: How many Capital One (COF) shares did Lia Dean sell in total?

Lia Dean sold a total of 2,193 COF common shares across two reported transactions. One trade covered 2,192 shares and the other 1 share , both dated August 17, 2026, and reported as sales in open-market or private transactions.

Q: Were Lia Dean’s COF stock sales made under a Rule 10b5-1 plan?

Yes, the filing states the sales were executed under a Rule 10b5-1 trading plan . The footnote specifies that the plan was entered into on May 14, 2026 , and the document-level Rule 10b5-1 checkbox is also marked true.

Q: Does the Form 4 disclose Lia Dean’s COF holdings after these sales?

The reported transactions do not list a total shares following transaction value for Lia Dean. The filing only specifies the 2,193 shares sold and the corresponding per-share prices, without providing a remaining share balance in the structured data.

Filing Impact

(Moderate)

Filing Sentiment

(Negative)

Form Type

Rhea-AI Filing Summary

Capital One Financial Corp (COF) disclosed that executive officer Lia Dean, President of Banking & Premium Products, sold a total of 2,193 shares of common stock on August 17, 2026, in open-market or private transactions at prices of $225.52 and $225.92 per share. According to a referenced footnote and the affirmed checkbox, these sales were executed pursuant to a Rule 10b5-1 trading plan entered into on May 14, 2026.

Insider Trade Summary 10b5-1

Net Seller: 2,193 shares

Net Sell 2 txns

Insider Dean Lia

Role Pres, Banking & Prem. Products

Sold 2,193 shs ($495K)

Type	Security	Shares	Price	Value
Sale	Common Stock ^F1	2,192	$225.52	$494K
Sale	Common Stock ^F1	1	$225.92	$225.92

Holdings After Transaction: Common Stock — 63,261 shares (Direct)

Footnotes (1)

F1. This transaction was executed pursuant to a trading plan entered into by the reporting person on May 14, 2026, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Key Figures

Shares sold (larger trade): 2,192 shares Shares sold (smaller trade): 1 share Total shares sold: 2,193 shares +3 more

6 metrics

Shares sold (larger trade) 2,192 shares Common Stock sale on August 17, 2026 at $225.52 per share

Shares sold (smaller trade) 1 share Common Stock sale on August 17, 2026 at $225.92 per share

Total shares sold 2,193 shares Aggregate of reported Common Stock sales on August 17, 2026

Sale price (larger trade) $225.52 per share Price for 2,192-share Common Stock sale on August 17, 2026

Sale price (smaller trade) $225.92 per share Price for 1-share Common Stock sale on August 17, 2026

Rule 10b5-1 plan adoption date May 14, 2026 Date the trading plan governing these sales was entered into

Key Terms

Rule 10b5-1, trading plan, open market or private transaction, reporting person

4 terms

Rule 10b5-1 regulatory

"in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934"

Rule 10b5-1 is a regulation that allows company insiders to buy or sell their shares at predetermined times, even if they have access to non-public information. It acts like setting a schedule in advance for transactions, helping prevent accusations of unfair trading. This rule provides a way for insiders to plan trades transparently, giving investors confidence that these transactions are not based on hidden information.

trading plan financial

"This transaction was executed pursuant to a trading plan entered into"

A trading plan is a written set of rules an investor follows about what to buy or sell, when to enter and exit positions, and how much risk to accept—like a travel itinerary that maps the route, stops, and budget before a trip. It matters because it helps remove emotional decisions during market swings, enforces discipline, and makes performance easier to review and improve, reducing the chance of costly impulsive moves.

open market or private transaction financial

"Sale in open market or private transaction"

reporting person regulatory

"trading plan entered into by the reporting person on May 14, 2026"

FAQ

What insider transaction did COF executive Lia Dean report on this Form 4?

Lia Dean reported selling 2,193 shares of Capital One Financial Corp common stock on August 17, 2026. The sales were made in open-market or private transactions under a Rule 10b5-1 trading plan entered into on May 14, 2026.

At what prices were the COF shares sold in Lia Dean’s August 17, 2026 transactions?

The reported COF share sales occurred at prices of $225.52 and $225.92 per share. These per-share prices apply to separate trades of 2,192 shares and 1 share, respectively, as part of the same overall selling program.

How many Capital One (COF) shares did Lia Dean sell in total?

Lia Dean sold a total of 2,193 COF common shares across two reported transactions. One trade covered 2,192 shares and the other 1 share, both dated August 17, 2026, and reported as sales in open-market or private transactions.

Were Lia Dean’s COF stock sales made under a Rule 10b5-1 plan?

Yes, the filing states the sales were executed under a Rule 10b5-1 trading plan. The footnote specifies that the plan was entered into on May 14, 2026, and the document-level Rule 10b5-1 checkbox is also marked true.

Does the Form 4 disclose Lia Dean’s COF holdings after these sales?

The reported transactions do not list a total shares following transaction value for Lia Dean. The filing only specifies the 2,193 shares sold and the corresponding per-share prices, without providing a remaining share balance in the structured data.

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

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Form 4 Insider Transactions: What Each Field Means →

Available on EDGAR 08/18/2026 - 07:43 PM Accepted by SEC EDGAR 08/18/2026 - 07:43 PM

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Dean Lia

(Last)

(First)

(Middle)

1680 CAPITAL ONE DRIVE

(Street)

MCLEAN

VIRGINIA

22102

(City)

(State)

(Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
CAPITAL ONE FINANCIAL CORP [ COF ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
	Pres, Banking & Prem. Products

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
08/17/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Common Stock	08/17/2026		S⁽¹⁾		2,192	D	$225.52	63,262	D
Common Stock	08/17/2026		S⁽¹⁾		1	D	$225.92	63,261	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)

Explanation of Responses:

1. This transaction was executed pursuant to a trading plan entered into by the reporting person on May 14, 2026, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Remarks:

	/s/ Katherine DeLuca (POA on file)	08/18/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR