SEC Form 4 reporting owner

Dean Lia

Dean Lia has filed 14 Form 4 transactions reported between December 1, 2025 and September 15, 2026, as Pres, Banking & Prem. Products of CAPITAL ONE FINANCIAL CORP.

Name as filed: Dean Lia

Open-market buys, 24 mo

None

reported

Open-market sales, 24 mo

$4.1M

8 lines

Companies

with Form 4 filings

Latest transaction

Sep 15, 2026

transaction date

Roles and reported holdings

COFCAPITAL ONE FINANCIAL CORP
Dec 1, 2025 – Sep 15, 2026
Pres, Banking & Prem. Products
Held directly61,195 sh as of Sep 15, 2026 · Form 4
24 months: $4.1M sold

Transaction history

All 14 reported transactions, newest first. Every row links to the Form 4 on SEC EDGAR.

Date	Company	Type	Shares	Price	Value	Owned after	Filing
Sep 15, 2026	COFPres, Banking & Prem. Products	Open-market saleCode S · direct	2,066	$206.07	$426K@ $206.07	61,195	Form 4
Aug 17, 2026	COFPres, Banking & Prem. Products	Open-market saleCode S · directAlso reported by Karam Celia	1	$225.92	$226@ $225.92	63,261	Form 4
Aug 17, 2026	COFPres, Banking & Prem. Products	Open-market saleCode S · direct	2,192	$225.52	$494K@ $225.52	63,262	Form 4
Apr 1, 2026	COFPres, Banking & Prem. Products	Open-market saleCode S · direct	1,692	$185.61	$314K@ $185.61	65,454	Form 4
Mar 9, 2026	COFPres, Banking & Prem. Products	Shares withheld for tax or exercise priceCode F · direct	4,056	$185.73	$753K@ $185.73	67,146	Form 4
Mar 9, 2026	COFPres, Banking & Prem. Products	Grant or awardCode A · direct	8,094	—	—	71,202	Form 4
Mar 2, 2026	COFPres, Banking & Prem. Products	Open-market saleCode S · direct	3,284	$191.00	$627K@ $191.00	63,108	Form 4
Feb 15, 2026	COFPres, Banking & Prem. Products	Shares withheld for tax or exercise priceCode F · direct	1,129	$207.37	$234K@ $207.37	66,326	Form 4
Feb 15, 2026	COFPres, Banking & Prem. Products	Shares withheld for tax or exercise priceCode F · direct	1,445	$207.37	$300K@ $207.37	67,455	Form 4
Feb 15, 2026	COFPres, Banking & Prem. Products	Shares withheld for tax or exercise priceCode F · direct	1,262	$207.37	$262K@ $207.37	68,900	Form 4
Feb 4, 2026	COFPres, Banking & Prem. Products	Open-market saleCode S · direct	3,284	$223.68	$735K@ $223.68	70,162	Form 4
Feb 3, 2026	COFPres, Banking & Prem. Products	Grant or awardCode A · direct	6,682	—	—	73,446	Form 4
Jan 2, 2026	COFPres, Banking & Prem. Products	Open-market saleCode S · direct	3,163	$244.35	$773K@ $244.35	66,692	Form 4
Dec 1, 2025	COFPres, Banking & Prem. Products	Open-market saleCode S · direct	3,269	$218.15	$713K@ $218.15	69,855	Form 4

How this page is built

Every row comes from a Form 4 filed with the SEC, which officers, directors and holders of more than 10% of a company’s stock must file within two business days of a trade. Transactions are grouped by the reporting owner’s name as filed (spacing, capitals and punctuation ignored); two different people filing under an identical name would appear together, and one person filing under two spellings appears on two pages.

Open-market totals count code P purchases and code S sales over the last 24 months. The same trade reported on more than one filing is counted once; when another owner (for example a fund and its general partner) reports the identical trade, they are listed beside it. Holdings are the shares owned after the latest purchase, sale, gift or tax-withholding line, shown separately for direct and indirect ownership; an indirect figure is one holding line, not a total across every trust or entity.

This page describes what was filed with the SEC; it is not investment advice or a recommendation to buy or sell any security.