Capital One Officer Lia Dean Files Form 144 to Sell $369.6K in Common Stock

Executive Summary

On October 15, 2026, Lia Dean, an Officer of Capital One Financial Corporation (NYSE: COF), filed a Form 144 proposing the sale of 1,887 shares of common stock with an aggregate market value of approximately $369,587.82. The proposed transaction is scheduled around October 15, 2026, through Morgan Stanley Smith Barney LLC.

Transaction & Acquisition Details

• Securities to be Sold: 1,887 common shares.
• Origin of Shares: Acquired directly from the issuer as Performance Shares in two tranches (956 shares on February 15, 2019, and 931 shares on February 15, 2023).
• Rule 10b5-1 Plan: The filing notes an adoption date of May 14, 2026, indicating the sales are pre-scheduled under a compliant trading plan.
• Prior 3-Month Activity:
  • September 15, 2026: Sold 2,067 shares for gross proceeds of $425,947.25.
  • August 17, 2026: Sold 2,193 shares for gross proceeds of $494,565.75.

Market & Trading Impact

The proposed transaction represents a negligible fraction of Capital One's 613,484,836 outstanding common shares. Given the relatively small dollar size ($369.6K) and execution under a pre-established Rule 10b5-1 trading plan, the market impact is considered Low.