Transactions
15
Insider / CAPITAL ONE FINANCIAL CORP
Dean Lia
Pres, Banking & Prem. Products at CAPITAL ONE FINANCIAL CORP
- Company
- CAPITAL ONE FINANCIAL CORP
- Ticker
- COF
- First filing on record
- December 3, 2025
- Latest trade on record
- October 15, 2026
- SEC filings
- EDGAR ↗
Dean Lia, Pres, Banking & Prem. Products at CAPITAL ONE FINANCIAL CORP, has disclosed 15 transactions in COF since December 3, 2025: 0 purchases (0 open-market buys) and 13 sales, worth about $6.0M at the reported prices. The latest was filed October 19, 2026, 4 days after the trade.
Open-market buys
0
Sales
13
Avg. disclosure lag
2.1d
Trading in charts
Trade timeline
When does this person trade, how big, and in which direction? Every trade in the last 12 months.
Bought (above the line)Sold (below the line)Other transaction
In the last 12 months Dean Lia made no purchases and 13 sales worth $6.0M, plus 2 other transactions. Dot size is the dollar amount.
Portfolio mix
Which stocks does this person trade most? Tile size is dollars traded, all time on record.
Dean Lia has traded 1 stock on record; the largest by dollars is COF.
Reporting lag
Does this person report on time? One bar per filing against the Form 4 deadline.
On timeLate
0 of 10 filings on record were reported after the Form 4 deadline (two business days, counted here as 4 calendar days).
What kind of transactions
Most Form 4 rows are pay arriving or tax being withheld, not a decision to buy or sell. Only code P is an open-market purchase and code S an open-market sale. What each code means: Form 4 transaction codes.
| Code | Meaning | Rows | Shares | Value |
|---|---|---|---|---|
| S | Open-market sale | 9 | 20,838 | $4.5M |
| F | Shares withheld for tax | 4 | 7,892 | $1.5M |
| A | Grant or award | 2 | 14,776 | — |
| Year | Rows | Bought | Sold |
|---|---|---|---|
| 2026 | 14 | 0 | 12 · $5.3M |
| 2025 | 1 | 0 | 1 · $713K |
Transactions
| Security | Side | Trade date | Disclosed | Lag | Shares | Price | Value | Flags | Source | Share |
|---|---|---|---|---|---|---|---|---|---|---|
| COF | Sell S | October 15, 2026 | October 19, 2026 | 4d | 1,887 | $196 | $370K | 10b5-1 plan | Form 4 ↗ | |
| COF | Sell S | September 15, 2026 | September 16, 2026 | 1d | 2,066 | $206 | $426K | 10b5-1 plan | Form 4 ↗ | |
| COF | Sell S | August 17, 2026 | August 18, 2026 | 1d | 1 | $226 | $226 | 10b5-1 plan | Form 4 ↗ | |
| COF | Sell S | August 17, 2026 | August 18, 2026 | 1d | 2,192 | $226 | $494K | 10b5-1 plan | Form 4 ↗ | |
| COF | Sell S | April 1, 2026 | April 3, 2026 | 2d | 1,692 | $186 | $314K | 10b5-1 plan | Form 4 ↗ | |
| COF | Sell F | March 9, 2026 | March 11, 2026 | 2d | 4,056 | $186 | $753K | Form 4 ↗ | ||
| COF | Other A | March 9, 2026 | March 11, 2026 | 2d | 8,094 | — | — | Form 4 ↗ | ||
| COF | Sell S | March 2, 2026 | March 3, 2026 | 1d | 3,284 | $191 | $627K | 10b5-1 plan | Form 4 ↗ | |
| COF | Sell F | February 15, 2026 | February 18, 2026 | 3d | 1,129 | $207 | $234K | Form 4 ↗ | ||
| COF | Sell F | February 15, 2026 | February 18, 2026 | 3d | 1,445 | $207 | $300K | Form 4 ↗ | ||
| COF | Sell F | February 15, 2026 | February 18, 2026 | 3d | 1,262 | $207 | $262K | Form 4 ↗ | ||
| COF | Sell S | February 4, 2026 | February 5, 2026 | 1d | 3,284 | $224 | $735K | 10b5-1 plan | Form 4 ↗ | |
| COF | Other A | February 3, 2026 | February 5, 2026 | 2d | 6,682 | — | — | 10b5-1 plan | Form 4 ↗ | |
| COF | Sell S | January 2, 2026 | January 6, 2026 | 4d | 3,163 | $244 | $773K | 10b5-1 plan | Form 4 ↗ | |
| COF | Sell S | December 1, 2025 | December 3, 2025 | 2d | 3,269 | $218 | $713K | 10b5-1 plan | Form 4 ↗ |
Filings
| Filed | Form | Accession | Rows | Status | Source |
|---|---|---|---|---|---|
| October 19, 2026 | Form 4 | 0001741273-26-000022 | 1 | published | EDGAR ↗ |
| September 16, 2026 | Form 4 | 0001741273-26-000020 | 1 | published | EDGAR ↗ |
| August 18, 2026 | Form 4 | 0001741273-26-000017 | 2 | published | EDGAR ↗ |
| April 3, 2026 | Form 4 | 0001741273-26-000015 | 1 | published | EDGAR ↗ |
| March 11, 2026 | Form 4 | 0001741273-26-000013 | 2 | published | EDGAR ↗ |
| March 3, 2026 | Form 4 | 0001741273-26-000011 | 1 | published | EDGAR ↗ |
| February 18, 2026 | Form 4 | 0001741273-26-000009 | 3 | published | EDGAR ↗ |
| February 5, 2026 | Form 4 | 0001741273-26-000007 | 2 | published | EDGAR ↗ |
| January 6, 2026 | Form 4 | 0001741273-26-000003 | 1 | published | EDGAR ↗ |
| December 3, 2025 | Form 4 | 0001741273-25-000006 | 1 | published | EDGAR ↗ |
Other insiders at CAPITAL ONE FINANCIAL CORP
- Locoh-Donou Francois President, CEO & Director 51 rows
- FAIRBANK RICHARD D Chairman and CEO 45 rows
- Blinde Neal President, Commercial Banking 16 rows
- Cooper Matthew W General Counsel & Corp Secy 16 rows
- Karam Celia Pres, Retail Bank 16 rows
- Hanson Jason P. Pres.- Global Payment Network 14 rows
- ING GROEP NV Insider 13 rows
- Mouadeb Mark Daniel President, Card 12 rows
- Raghu Ravi Pres, Software, Intl & Sm Bus 11 rows
- Serra Eileen Director 11 rows
Everyone on file, with contracts and lobbying under the company's name: CAPITAL ONE FINANCIAL CORP.
Guides for this page
- What is SEC Form 4? Who files: officers, directors and owners of more than 10% of a class of the company's shares.
- Form 4 transaction codes P = purchase. S = sale. These are the two market trades.
- Insider buying vs insider selling Selling outweighs buying by a wide margin in normal times.
- Rule 10b5-1 trading plans The plan must be set up when the insider has no important non-public information.
- What disclosure data cannot tell you Filings are late by design: up to 45 days for Congress, two business days for insiders.
Sources and method
| Source | Filings | Rows | First filed | Newest filed | Read the originals |
|---|---|---|---|---|---|
| SEC EDGAR, Form 4 | 10 | 15 | December 3, 2025 | October 19, 2026 | Form 4 list on EDGAR |
Site built October 22, 2026. Every row in the tables above links to its own filing. To quote a figure, use the Cite button at the top of the page; see how to cite and reuse.
Every row comes from the reporting owner's Form 4 as filed with the SEC (EDGAR ownership XML), read daily. "Value" is shares × the reported price; code P is an open-market purchase, S a sale, M an option exercise, A a grant. The lag is the filing date minus the trade date; Form 4 is due within two business days. Amendments (4/A) are not merged. Details on the methodology page; report an error on corrections.
Not investment advice. Figures are public disclosures shown as filed; they may lag the trade and may be amended later. No recommendation is made or implied.