Capital One Officer Lia Dean Sells ~$370K in Common Stock via Rule 10b5-1 Plan

Executive Summary

On October 19, 2026, Capital One Financial Corp ($COF) filed a Form 4 disclosing that Lia Dean, President of Banking & Premium Products, sold 1,887 shares of Common Stock on October 15, 2026. The transaction was conducted at an execution price of $195.86 per share, generating aggregate proceeds of approximately $369,587.82.

Transaction & Holding Context

• Transaction Nature: The sale was executed under a pre-established Rule 10b5-1 trading plan adopted on May 14, 2026.
• Position Impact: Prior to the sale, Lia Dean held 61,195 shares directly. The disposition of 1,887 shares represents approximately 3.08% of her direct equity holding.
• Remaining Holdings: Following the sale, Dean continues to hold 59,308 shares directly, indicating that she retains significant equity exposure in the company.

Market & Significance Assessment

• Trading Significance: Low. The trade reflects routine portfolio management and diversification executed through a pre-arranged 10b5-1 plan established five months prior, minimizing concerns over opportunistic timing or material non-public information influence.