Welcome to our dedicated page for Capital One Financial SEC filings (Ticker: COF), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Capital One Financial Corporation (NYSE: COF) files a broad range of documents with the U.S. Securities and Exchange Commission that detail its operations as a financial holding company focused on credit card, auto, consumer and commercial lending. This SEC filings page surfaces those disclosures and pairs them with AI-powered tools to help readers interpret complex financial and legal information.
Through its periodic reports, Capital One provides consolidated financial statements, segment results for Credit Card, Consumer Banking and Commercial Banking, loan and deposit statistics, and regulatory capital measures such as the Common Equity Tier 1 capital ratio under the Basel III Standardized Approach. Earnings releases and financial supplements are furnished on Form 8-K under Item 2.02, often accompanied by reconciliations of non-GAAP measures like adjusted net income, adjusted net interest margin and adjusted efficiency ratios.
Capital One also files numerous current reports on Form 8-K under Item 7.01 to furnish monthly charge-off and delinquency metrics, giving additional visibility into credit performance across its lending portfolios. Other 8-Ks describe capital markets transactions, including public offerings of fixed-to-floating rate senior notes, the issuance of preferred stock series represented by depositary shares, and updates to share repurchase authorizations. Filings list the company’s registered securities, such as common stock, multiple series of Fixed Rate Non-Cumulative Perpetual Preferred Stock depositary shares and 1.650% Senior Notes due 2029, all traded on the New York Stock Exchange.
For users reviewing COF SEC filings, this page offers real-time access to new submissions as they appear on EDGAR. AI-generated summaries highlight key points from lengthy documents, helping readers quickly identify items such as segment performance, capital ratios, debt issuance terms, dividend declarations and notable corporate actions. Filings related to the all-stock acquisition and integration of Discover, as well as the company’s multi-year Community Benefits Plan, are also accessible here.
In addition, this page provides a convenient way to examine disclosures relevant to capital structure and insider-related information, including preferred stock terms, senior notes indentures and compensation-related items reported in 8-Ks. By combining the full text of Capital One’s SEC documents with AI explanations, the filings page is intended to make complex regulatory reporting more understandable for investors, analysts and other interested readers.
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.