Capital One officer Lia Dean sells 1,887 shares

Capital One Financial Corp.'s Pres, Banking & Prem. Products reported a sale under a Rule 10b5-1 plan entered into on May 14, 2026.

Rhea-AI Filing Summary

Capital One Financial Corp. officer Lia Dean (Pres, Banking & Prem. Products) sold 1,887 shares of common stock on October 15, 2026, at $195.86 per share. The transaction was executed under a Rule 10b5-1 trading plan entered into on May 14, 2026. Lia Dean directly held 59,308 shares after the sale.

Insider Trade Summary 10b5-1

Net Seller: 1,887 shares

Net Sell 1 txn

Insider Dean Lia

Role Pres, Banking & Prem. Products

Sold 1,887 shs ($370K)

Type	Security	Shares	Price	Value
Sale	Common Stock F1	1,887	$195.86	$370K

Holdings After Transaction: Common Stock — 59,308 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: 1,887 shares Sale price: $195.86 per share Shares held after sale: 59,308 shares +2 more

5 metrics

Shares sold 1,887 shares Capital One Financial Corp. common stock sale on October 15, 2026

Sale price $195.86 per share Sale on October 15, 2026

Shares held after sale 59,308 shares Lia Dean's direct holdings following the transaction

Transaction date October 15, 2026 Common stock sale

Trading plan date May 14, 2026 Date the Rule 10b5-1 trading plan was entered into

Key Terms

Rule 10b5-1, trading plan, Securities Exchange Act of 1934

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 financial

"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.

Securities Exchange Act of 1934 regulatory

"of the Securities Exchange Act of 1934, as amended"

FAQ

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How many COF shares did Lia Dean sell, and at what price?

Lia Dean sold 1,887 Capital One Financial Corp. common shares at $195.86 per share on October 15, 2026. The sale was executed under a Rule 10b5-1 trading plan entered into on May 14, 2026, and she directly held 59,308 shares after the transaction.

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

Form 4 Insider Transactions: What Each Field Means →

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Available on EDGAR 10/19/2026 - 04:06 PM EDT Accepted by SEC EDGAR 10/19/2026 - 04:05 PM EDT Learn about SEC filing dates

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)
10/15/2026

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	10/15/2026		S(1)		1,887	D	$195.86	59,308	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)	10/19/2026
	** 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)