Capital One exec sells 1,692 shares under plan
CAPITAL ONE FINANCIAL CORP executive Dean Lia, President of Banking & Premium Products, sold 1,692 shares of common stock in an open-market transaction at $185.61 per share.
Rhea-AI Filing Summary
CAPITAL ONE FINANCIAL CORP executive Dean Lia, President of Banking & Premium Products, sold 1,692 shares of common stock in an open-market transaction at $185.61 per share. After this sale, he continued to hold 65,454 shares directly.
The transaction was carried out under a pre-arranged Rule 10b5-1 trading plan that Dean Lia entered into on August 14, 2025, indicating the sale was scheduled in advance rather than timed discretionarily.
Positive
- None.
Negative
- None.
Insider Trade Summary 10b5-1
Net Seller: 1,692 shares
Net Sell
1 txn
Insider
Dean Lia
Role
Pres, Banking & Prem. Products
Sold
1,692 shs ($314K)
| Type | Security | Shares | Price | Value |
|---|---|---|---|---|
| Sale | Common Stock | 1,692 | $185.61 | $314K |
Holdings After Transaction:
Common Stock — 65,454 shares (Direct)
Footnotes (1)
- F1. This transaction was executed pursuant to a trading plan entered into by the reporting person on August 14, 2025, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.
Key Figures
Shares sold: 1,692 shares
Sale price per share: $185.61 per share
Shares held after sale: 65,454 shares
+2 more
5 metrics
Shares sold
1,692 shares
Open-market sale of common stock
Sale price per share
$185.61 per share
Execution price for reported transaction
Shares held after sale
65,454 shares
Direct holdings following transaction
Transaction type
Open-market sale (Code S)
Non-derivative common stock
Trading plan reference
Rule 10b5-1 plan dated August 14, 2025
Footnote disclosure on pre-arranged trades
Key Terms
Rule 10b5-1, trading plan, open-market sale, Common Stock, +1 more
5 terms
Rule 10b5-1 regulatory
"trading plan entered into by the reporting person on August 14, 2025, in accordance with Rule 10b5-1 of the Securities Exchange Act"
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 by the reporting person"
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 sale financial
"transaction_action": "open-market sale""
An open-market sale is when a shareholder sells existing shares directly on a public exchange to any willing buyer, rather than through a private deal. Think of it like putting goods on a busy market stall where price is set by supply and demand; for investors it matters because such sales increase available supply, can put short-term downward pressure on the stock price, and signal changes in liquidity or investor confidence.
Common Stock financial
""security_title": "Common Stock""
Common stock represents ownership shares in a company, giving investors a stake in its success and a say in important decisions through voting rights. It is the most common type of stock traded on markets and can provide income through dividends, as well as potential for value growth. For investors, holding common stock means sharing in the company’s profits and risks.
Securities Exchange Act of 1934 regulatory
"in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended"
FAQ
AI-generated questions and answers. How Rhea-AI works. Not financial advice.
What insider transaction did COF executive Dean Lia report?
Dean Lia reported selling 1,692 shares of Capital One Financial common stock. The shares were sold in an open-market transaction at $185.61 per share, and he continued to hold 65,454 shares directly following the sale, indicating an ongoing ownership stake.
Was Dean Lia’s COF stock sale made under a Rule 10b5-1 plan?
Yes. The filing states the transaction was executed under a trading plan entered on August 14, 2025, pursuant to Rule 10b5-1. Such pre-arranged plans schedule trades in advance, reducing the significance of trade timing as an indicator of insider sentiment.
What role does Dean Lia hold at Capital One Financial (COF)?
Dean Lia is identified as an officer of Capital One Financial with the title President, Banking & Premium Products. His position means these share transactions are closely tracked as insider activity and disclosed publicly through Form 4 filings with the SEC.
Is the reported COF insider transaction an open-market sale or another type?
The filing classifies the transaction as an open-market sale of common stock. It uses code “S” and describes it as a sale in the open market or a private transaction, confirming that this was a standard disposition rather than a grant, gift, or option exercise.
AI-generated analysis. How Rhea-AI works. Not financial advice.
