Capital One officer sells $426K in company stock

Capital One executive Dean Lia sold 2,066 COF shares under a pre-arranged Rule 10b5-1 trading plan, leaving him with 61,195 shares directly owned.

Available on EDGAR 09/16/2026 - 04:06 PM EDT Accepted by SEC EDGAR 09/16/2026 - 04:05 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

CAPITAL ONE FINANCIAL CORP (COF) reported that officer Dean Lia, President of Banking & Premium Products, sold 2,066 shares of common stock on September 15, 2026 in an open-market or private transaction at $206.07 per share. After this sale, he directly holds 61,195 shares of Capital One common stock. The transaction was executed under a Rule 10b5-1 trading plan adopted on May 14, 2026.

Insider Trade Summary 10b5-1

Net Seller: 2,066 shares

Net Sell 1 txn

Insider Dean Lia

Role Pres, Banking & Prem. Products

Sold 2,066 shs ($426K)

Type	Security	Shares	Price	Value
Sale	Common Stock F1	2,066	$206.07	$426K

Holdings After Transaction: Common Stock — 61,195 shares (Direct)

Footnotes (1)

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: 2,066 shares Sale price per share: $206.07 per share Approximate transaction value: $425,741 +2 more

5 metrics

Shares sold 2,066 shares Common stock sale reported for September 15, 2026

Sale price per share $206.07 per share Price for the 2,066 COF shares sold on September 15, 2026

Approximate transaction value $425,741 Estimated from 2,066 shares sold at $206.07 per share

Shares held after transaction 61,195 shares Directly owned Capital One common shares after the sale

Rule 10b5-1 trading plan adoption date May 14, 2026 Plan under which the September 15, 2026 sale was executed

Key Terms

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

3 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 regulatory

"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 or private transaction market

"Sale in open market or private transaction"

FAQ

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

What insider transaction did Capital One (COF) report for Dean Lia?

Capital One reported that Dean Lia sold 2,066 shares of common stock on September 15, 2026 in an open-market or private transaction, leaving him with 61,195 shares directly owned afterward.

At what price did Dean Lia sell COF shares in this Form 4 filing?

Dean Lia sold the 2,066 COF shares at a price of $206.07 per share on September 15, 2026, according to the Form 4 insider transaction data.

How many Capital One (COF) shares does Dean Lia hold after the reported sale?

Following the reported sale, Dean Lia directly holds 61,195 shares of Capital One common stock, as stated in the Form 4 data.

Was Dean Lia’s COF share sale made under a Rule 10b5-1 trading plan?

Yes. The sale was executed under a Rule 10b5-1 trading plan that the reporting person entered into on May 14, 2026, as described in the footnote.

What is the total approximate value of the COF shares sold by Dean Lia?

The sale of 2,066 shares at $206.07 per share represents an approximate transaction value of about $425,741, based on the reported share count and price.

What is Dean Lia’s role at Capital One (COF) mentioned in this Form 4?

In this Form 4, Dean Lia is identified as an officer of Capital One, serving as President, Banking & Premium Products.

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

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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).

X

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)
09/15/2026

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)
			Code	V	Amount	(A) or (D)	Price
Common Stock	09/15/2026		S(1)		2,066	D	$206.07	61,195	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)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

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)	09/16/2026
	** 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)