Capital One Financial Form 4 Filings

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.

CAPITAL ONE FINANCIAL CORP (COF) reported that Celia Karam, Pres, Retail Bank, sold a total of 1,888 shares of common stock on August 17, 2026. The sales, executed at prices of $225.52 and $225.92 per share, were made pursuant to a Rule 10b5-1 trading plan entered into on May 14, 2026. Reported holdings include shares previously acquired through the company's Associate Stock Purchase Plan.

CAPITAL ONE FINANCIAL CORP executive Mark Daniel Mouadeb, President, Card, reported a sale of 1,199 shares of Common Stock on August 13, 2026 at $225.00 per share. After this transaction, he directly holds 49,132 shares. The sale was executed pursuant to a Rule 10b5-1 trading plan adopted on November 14, 2025.

CAPITAL ONE FINANCIAL CORP executive Michael Zamsky, Chief Credit & Financial Risk Officer, reported a sale of 5,473 shares of common stock on 2026-08-10 at $218.02 per share in an open-market or private transaction. Following this sale, he directly holds 27,992 shares of Capital One common stock. The filing’s Rule 10b5-1 box was not checked.

CAPITAL ONE FINANCIAL CORP executive Raghu Ravi, President of Software, International & Small Business, reported a sale of 50 shares of common stock on 2026-08-07 at $218.49 per share. After this transaction, he directly holds 26,278 shares. The sale was executed pursuant to a Rule 10b5-1 trading plan entered into on April 23, 2026.

Capital One Financial Corp President, Card, Mark Daniel Mouadeb sold 1,183 shares of Common Stock on August 4, 2026 at $220 per share in an open-market or private transaction. After the sale, he directly owns 50,331 shares. The trade was executed under a Rule 10b5-1 trading plan adopted on November 14, 2025.

Capital One Financial Corp executive Matthew W. Cooper, General Counsel & Corporate Secretary, reported selling 3,500 shares of common stock on August 4, 2026 at $219.33 per share in an open-market or private transaction. Following the sale, he directly holds 86,694 shares. The trade was executed under a Rule 10b5-1 trading plan entered into on January 26, 2026.

Capital One Financial reported insider transactions by officer Jason P. Hanson on 2026-08-01. 2,014 restricted stock units were exercised and converted into an equal number of common shares, and the restricted stock unit award has vested in full. Of the common shares issued, 893 were withheld by the company at $209.01 per share to satisfy Hanson’s tax obligation associated with the award.

Capital One Financial Corp executive Mark Daniel Mouadeb, President, Card, sold 690 shares of Common Stock on August 3, 2026 at $215.0000 per share. The sale was a sale in open market or private transaction executed under a Rule 10b5-1 trading plan entered into on November 14, 2025, leaving 51,514.0000 shares owned directly.

CAPITAL ONE FINANCIAL CORP officer Raghu Ravi, President, Software, International & Small Business, reported selling a total of 9,726 shares of common stock on July 31, 2026 in three open-market transactions executed under a pre-arranged Rule 10b5-1 trading plan adopted April 23, 2026. The reported weighted average sale prices were $209.27, $210.02, and $210.70 per share, with individual trades completed within disclosed ranges from $208.59 to $210.89.

Capital One Financial Corporation officer Timothy P. Golden, SVP and Chief Accounting Officer, sold 3,487 shares of Common Stock on July 29, 2026 at $211.00 per share in an open-market or private transaction. Following this sale, he directly holds 7,429 shares, which include shares acquired through the company’s Associate Stock Purchase Plan since the last reported transaction.

CAPITAL ONE FINANCIAL CORP insider Matthew W. Cooper, the General Counsel and Corporate Secretary, sold 3,500 shares of common stock in an open-market transaction at $208 per share. The sale was executed under a pre-arranged Rule 10b5-1 trading plan, and he now directly holds 90,194 shares.

CAPITAL ONE FINANCIAL CORP reported an insider stock sale by its General Counsel and Corporate Secretary, Matthew W. Cooper. He sold 3,500 shares of common stock in an open-market transaction at a price of $183.36 per share and now directly holds 93,694 shares. The sale was executed under a pre-arranged trading plan that Cooper entered into on January 26, 2026, in accordance with Rule 10b5-1 of the Securities Exchange Act.

CAPITAL ONE FINANCIAL CORP Chief Human Resources Officer Kaitlin Haggerty reported open‑market sales of 1,426 shares of common stock. She sold 1,307 shares at $183.93 per share on May 12, 2026, and 119 shares at $182.59 per share on May 13, 2026. These transactions were executed under a pre‑arranged Rule 10b5‑1 trading plan entered into on February 6, 2026. Following the sales, she directly holds 49,181 shares of Capital One common stock.

CAPITAL ONE FINANCIAL CORP reported an insider stock sale by General Counsel and Corporate Secretary Matthew W. Cooper. On May 12, 2026, he executed an open-market sale of 3,500 shares of common stock at $183.93 per share. After this transaction, he directly holds 97,194 shares of Capital One common stock. According to a footnote, the sale was carried out under a pre-arranged Rule 10b5-1 trading plan that Cooper entered into on January 26, 2026, indicating the trade was scheduled in advance rather than timed opportunistically.

Locoh-Donou Francois reported acquisition or exercise transactions in this Form 4 filing.

CAPITAL ONE FINANCIAL CORP director Francois Locoh-Donou received an equity grant of 1,294 restricted stock units of Common Stock. The award was granted at no cash cost and is compensation-related, not an open-market purchase.

The restricted stock units vest in full and settle in shares of Capital One common stock on May 8, 2027. At settlement, he will also receive additional shares representing dividends accrued on the shares issuable at that time. Following this grant and previously accrued dividend shares, he now directly holds 14,802 shares of Capital One common stock.

Detrick Christine Rose reported acquisition or exercise transactions in this Form 4 filing.

CAPITAL ONE FINANCIAL CORP director Christine Rose Detrick received an award of 1,294 shares of Common Stock on May 8, 2026, recorded as a grant at a price of $0.00 per share. These restricted stock units vest in full and settle in common shares on May 8, 2027, with additional shares to be credited for accrued dividends at settlement.

Following this award, Detrick directly holds 8,923 shares of Capital One common stock, including shares representing dividends accrued on previously vested restricted stock units.

Harford Suni P reported acquisition or exercise transactions in this Form 4 filing.

CAPITAL ONE FINANCIAL CORP director Suni P. Harford received an equity award of 1,294 shares of common stock in the form of restricted stock units. These RSUs vest in full and settle in common shares on May 8, 2027, and will include additional shares for accrued dividends. Following this grant, Harford directly holds 4,314 shares of Capital One common stock.

Leenaars Cornelis PAJ reported acquisition or exercise transactions in this Form 4 filing.

CAPITAL ONE FINANCIAL CORP director Cornelis PAJ Leenaars received a grant of 1,294 shares of common stock on May 8, 2026 as a stock award, with no purchase price. These are restricted stock units that vest and settle in common shares on May 8, 2027, and will include additional shares for dividends accrued until settlement. After this award, Leenaars directly holds a total of 15,192 common shares, reflecting routine equity-based compensation rather than an open-market purchase or sale.

RASKIND PETER E reported acquisition or exercise transactions in this Form 4 filing.

Capital One Financial Corp director Peter E. Raskind received an equity award of 1,294 shares of common stock in the form of restricted stock units. These units were granted at no cash purchase price and will vest in full on May 8, 2027.

After this award, Raskind directly holds 34,396 shares of Capital One common stock. The award also entitles him to additional shares representing dividends that accrue on the underlying shares before settlement, and his current holdings already include shares issued from previously vested restricted stock units and related dividend equivalents.

Archibong Ime reported acquisition or exercise transactions in this Form 4 filing.

CAPITAL ONE FINANCIAL CORP director Ime Archibong received an equity award of 1,294 shares of Common Stock in the form of restricted stock units. The award was granted at no cash cost per share and increases his directly held stake to 9,977 shares.

The restricted stock units vest in full on May 8, 2027, meaning the shares are delivered at that time if conditions are met. He will also be entitled to additional shares representing dividends accrued on the units and on certain previously vested and deferred restricted stock units.

Killalea Peter Thomas reported acquisition or exercise transactions in this Form 4 filing.

CAPITAL ONE FINANCIAL CORP director Peter Thomas Killalea received an equity grant in the form of restricted stock units. On May 8, 2026, he was awarded 1,294 shares of common stock at no purchase price as a grant or award. These restricted stock units vest in full on May 8, 2027, at which time the shares become deliverable. After this award, he holds 21,378 shares of Capital One common stock directly, a figure that includes shares representing dividends accrued on previously vested and deferred restricted stock units since the last reported transaction.

SHATTUCK MAYO A III reported acquisition or exercise transactions in this Form 4 filing.

Capital One Financial director Mayo A. Shattuck III received a grant of 1,294 restricted stock units of common stock on May 8, 2026 as compensation. These units vest in full on May 8, 2027, and will also generate additional shares for dividends accrued until settlement. Following this award, he directly owns 67,911 shares, including shares credited for previously accrued dividends.

Wong Jennifer L. reported acquisition or exercise transactions in this Form 4 filing.

CAPITAL ONE FINANCIAL CORP director Jennifer L. Wong received a grant of 1,294 shares of common stock as equity compensation. The award is in the form of restricted stock units that vest in full on May 8, 2027, encouraging longer-term alignment with shareholders.

After this grant, Wong directly holds a total of 15,226 shares of Capital One common stock. The footnotes state that she will also be entitled to additional shares representing dividends accrued on the shares issuable when the units settle, adding incremental value over the vesting period.

williams craig a. reported acquisition or exercise transactions in this Form 4 filing.

Capital One Financial Corp director Craig A. Williams received a grant of 1,294 shares of Common Stock as a stock award. The award was made at a stated price of $0.00 per share and increased his direct holdings to 10,218 shares after the transaction.

According to the footnotes, these are restricted stock units that vest in their entirety on May 8, 2027. At settlement, he will also be entitled to additional shares representing dividends accrued on the shares issuable at that time.

SHEPHERD MICHAEL reported acquisition or exercise transactions in this Form 4 filing.

CAPITAL ONE FINANCIAL CORP director Michael Shepherd received a grant of 1,294 shares of common stock in the form of restricted stock units. These units vest in full on May 8, 2027, and he will also receive additional shares for accrued dividends. After this award, he holds 27,987 shares directly.

Serra Eileen reported acquisition or exercise transactions in this Form 4 filing.

CAPITAL ONE FINANCIAL CORP director Eileen Serra received an equity award of 1,294 shares of Common Stock as a grant on May 8, 2026. The award is in the form of restricted stock units that will vest in full on May 8, 2027, rather than being an open-market purchase.

After this grant, Serra directly holds 12,844 shares of Capital One common stock. The filing notes she will also receive additional shares representing dividends that accrue on the RSUs until they settle, and her current holdings already include shares issued from prior RSU vestings and their associated dividend equivalents.

CAPITAL ONE FINANCIAL CORP executive Celia Karam, President of the Retail Bank, reported an open-market sale of 1,749 shares of Common Stock on May 1, 2026 at an average price of $192.58 per share.

After this Rule 10b5-1 plan transaction, she directly holds 61,579 shares, which include shares acquired through the company’s Associate Stock Purchase Plan since her last reported transaction.

LaPrade,III Frank G. reported acquisition or exercise transactions in this Form 4 filing.

Capital One Financial Chief Enterprise Services Officer Frank G. LaPrade III received a grant of 11,041 restricted stock units, each representing one future share of common stock. The award vests in one-third increments starting on April 7, 2027 and annually thereafter. After this grant, he holds 69,283 shares directly and an additional 830 equivalent shares through the company 401(k) 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. 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.

CAPITAL ONE FINANCIAL CORP executive Celia Karam, President of the Retail Bank, reported an open-market sale of 1,099 shares of common stock on April 1, 2026 at an average price of $185.61 per share. This transaction was executed under a pre-arranged Rule 10b5-1 trading plan entered into on August 14, 2025. Following the sale, Karam directly holds 63,323 shares of Capital One common stock, indicating she retains a substantial equity stake after this routine, pre-planned disposition.

Capital One Financial Corp Chief Information Officer Robert M. Alexander reported stock-based compensation activity in the form of performance share awards. On March 9, 2026, he acquired 9,957 shares of Common Stock at $0.00 per share as a grant/award earned under a performance share program tied to multi-year financial metrics.

On the same date, 4,491 shares of Common Stock were automatically withheld at $185.73 per share to cover tax obligations related to the settlement of those performance shares, as authorized in the award agreement. Following these transactions, he directly holds 77,292 shares of Common Stock and has additional indirect holdings of 100 shares through The Alexander Fund and 2 shares through the Robert M. Alexander UGMA.

CAPITAL ONE FINANCIAL CORP General Counsel & Corporate Secretary Matthew W. Cooper reported routine equity compensation activity in company common stock. On March 9, 2026, he acquired 8,094 shares of common stock at $0.00 per share as a grant or award tied to a performance share program. The footnotes explain these shares were earned from performance shares granted on January 26, 2023, as amended on November 2, 2023, based on dividend and tangible book value growth and adjusted ROTCE over a three-year period, including accrued dividend shares.

Also on March 9, 2026, 3,651 shares were disposed of at $185.73 per share through automatic share withholding to satisfy tax obligations related to the performance share settlement, as authorized in the award agreement. After these transactions, Cooper directly owned 100,694 shares of Capital One common stock. This reflects a net increase in his direct equity position from the compensation award, with the disposition driven by tax withholding rather than an open-market sale.

Capital One Financial Corp executive Dean Lia reported compensation-related share activity. On March 9, 2026, he received an award of 8,094 shares of Common Stock, granted at $0.00 per share, as a payout from performance shares originally granted in January 2023 and amended in November 2023. The number of shares reflects company performance against dividend, tangible book value growth, and adjusted ROTCE measures, plus accrued dividend shares.

On the same date, 4,056 shares of Common Stock were automatically withheld by the company at a price of $185.73 per share to cover Lia’s tax obligations arising from the settlement of these performance shares, as authorized in the award agreement. Following these transactions, he directly holds 67,146 shares of Capital One common stock. These entries reflect routine equity compensation and tax withholding, not open-market buying or selling.

CAPITAL ONE FINANCIAL CORP executive Neal Blinde received a stock-based compensation award and related tax withholding. On March 9, 2026, he acquired 8,342 shares of common stock at no cost as a payout from a performance share award granted in January 2023 and amended in November 2023, based on company performance metrics over a three-year period. To cover associated taxes, 3,624 shares were automatically withheld by the company at a price of $185.73 per share under the award’s terms. After these transactions, he directly owned 38,269 shares of Capital One common stock.

Capital One Financial’s Chief Human Resources Officer, Kaitlin Haggerty, reported routine equity compensation activity. On 2026-03-09, she received 5,316 shares of Common Stock as a performance share award, with no cash paid for the shares. The award was based on company metrics such as Common Dividends plus Growth of Tangible Book Value per Share and Adjusted ROTCE over a three-year period, including accrued dividend shares. To cover associated taxes, 2,398 shares were automatically withheld by the company, as authorized in the award agreement. After these transactions, she directly held 50,561 shares of Capital One stock.

Capital One Financial Corp executive Celia Karam, President of the Retail Bank, reported a compensation-related stock transaction. She received 7,429 shares of common stock as a performance share payout tied to a three-year award based on dividend growth, tangible book value growth, and adjusted ROTCE versus a peer group. To cover related tax obligations, 3,351 shares were automatically withheld by the company as authorized in the award agreement, leaving a net increase in directly held shares. Following these transactions, Karam directly holds 64,417 shares of Capital One common stock.

CAPITAL ONE FINANCIAL CORP executive Frank G. LaPrade III reported equity compensation and related tax withholding in company stock. He received an award of 12,154 shares of common stock on March 9, 2026, granted at no cash cost as a performance share payout based on previously established metrics and a three-year performance period.

To cover taxes on the settlement of these performance shares, 5,482 shares were automatically withheld by Capital One at a price of $185.73 per share under the award agreement, rather than sold on the open market. After these transactions, LaPrade directly held 58,242 shares of common stock and also had the equivalent of 829 shares held indirectly through the company’s 401(k) plan.

Capital One Financial Corp President, Card Mark Daniel Mouadeb reported a performance-based stock award and related tax withholding. On this date, he received 5,142 shares of common stock as a grant tied to multi‑year performance metrics. The company then automatically withheld 2,320 shares at $185.73 per share to cover tax obligations. After these transactions, he directly holds 52,204 Capital One common shares.

CAPITAL ONE FINANCIAL CORP president Raghu Ravi reported routine equity compensation activity. On March 9, 2026, he acquired 4,834 shares of Common Stock as a performance-share award at $0.00 per share, reflecting shares earned under a three-year performance program plus accrued dividend shares.

The same day, 1,903 shares were disposed of at $185.73 per share through automatic withholding to cover tax obligations tied to this award, as authorized in the grant terms. After these transactions, he directly held 36,054 Common Stock shares, indicating a net increase in his ownership.

CAPITAL ONE FINANCIAL CORP Chief Enterprise Risk Officer Kara West reported a compensation-related stock award and associated tax withholding. On March 9, 2026, she acquired 4,477 shares of common stock at $0.00 per share through a performance share payout. The award was earned under a three-year performance program tied to common dividends plus growth of tangible book value per share and adjusted ROTCE versus a peer group, and includes dividend-equivalent shares. To cover taxes on this settlement, 2,020 shares were automatically withheld by the company at $185.73 per share under the award terms. After these transactions, West directly holds 46,665 common shares, including shares accumulated through the associate stock purchase plan.

CAPITAL ONE FINANCIAL CORP executive Sanjiv Yajnik reported compensation-related stock transactions. He received 9,922 shares of common stock on March 9, 2026 as a performance share award tied to metrics such as common dividends plus growth of tangible book value per share and adjusted ROTCE over a three-year period.

To cover tax obligations from this award, 4,475 shares were automatically withheld by the company at a price of $185.73 per share under the terms of the grant. After these non-market transactions, Yajnik directly held 149,383 shares of Capital One common stock, reflecting a net increase in his equity position.

Capital One Financial Corp Chief Financial Officer Andrew M. Young received 7,656 shares of common stock on March 9, 2026 as a performance share award payout, reflecting prior grants tied to dividend growth, tangible book value growth, and adjusted ROTCE metrics.

To cover associated tax obligations, 3,453 shares were automatically withheld by the company at $185.73 per share under the award agreement. After these transactions, Young directly holds 59,186 shares of common stock and has indirect ownership of 59 shares held by a child.

CAPITAL ONE FINANCIAL CORP reported a Form 4 for Chief Credit & Financial Risk Officer Michael Zamsky showing a performance-based stock award and related tax withholding. On March 9, 2026, he acquired 6,047 shares of common stock at $0.00 per share as a grant or award.

These shares were earned from a performance share award originally granted on January 26, 2023 and amended on November 2, 2023, based on common dividends plus growth of tangible book value per share and adjusted ROTCE versus a peer group over a three-year period. The award includes payout shares and accrued dividend shares.

To cover taxes on the settlement of this performance award, the company automatically withheld 2,728 shares at $185.73 per share, classified as a tax-withholding disposition, not an open-market sale. After these transactions, Zamsky directly held 33,465 common shares.

Capital One Financial Corp Chairman and CEO Richard Fairbank reported stock-based compensation activity involving company common stock. On March 9, 2026, he received two performance-based stock awards of 55,638 and 66,901 shares, earned from prior performance share grants tied to multi‑year metrics and dividend accruals. On the same date, the company automatically withheld 25,093 and 30,173 shares at $185.73 per share to cover related tax obligations, a non‑market disposition method authorized in the award agreements. After these transactions, Fairbank directly owned 4,068,510 shares of Capital One common stock.

Capital One Financial executive Celia Karam, President of the Retail Bank, reported an open-market sale of 1,636 shares of common stock at $191 per share. The transaction occurred on March 2, 2026 and was executed under a pre-established Rule 10b5-1 trading plan.

After this sale, Karam directly owns 60,339 shares of Capital One common stock, which includes shares acquired through the company’s Associate Stock Purchase Plan since her last reported transaction.

Capital One Financial Corp executive Dean Lia, President of Banking & Premium Products, sold 3,284 shares of common stock in an open-market transaction on March 2, 2026 at $191 per share. The sale was made under a pre-arranged Rule 10b5-1 trading plan entered into on August 14, 2025.

After this sale, Lia directly holds 63,108 Capital One shares, a figure that includes shares acquired through the company’s Associate Stock Purchase Plan since his last reported transaction.

Capital One Financial Corp executive Mark Daniel Mouadeb, President, Card, sold 1,593 shares of common stock in an open-market transaction at $210 per share on February 26, 2026. After this Rule 10b5-1 trading-plan sale, he continues to hold 49,382 shares directly.

Capital One Financial executive Mark Daniel Mouadeb, President, Card, sold a total of 1,509 shares of common stock in open-market transactions on February 25, 2026. The sales were executed at prices of $200.00 for 718 shares and $205.00 for 791 shares.

These transactions were carried out under a pre-arranged Rule 10b5-1 trading plan that Mouadeb entered into on November 14, 2025. After the sales, he directly holds 50,975 Capital One Financial common shares.