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SEC EDGAROCT 191 min read$COF

Dean Lia sold $370K of COF

Dean Lia (Pres, Banking & Prem. Products) sold 1,887 shares of CAPITAL ONE FINANCIAL CORP (COF) at $195.86 ($0.37M total) on 2026-10-15 under a Rule 10b5-1 trading plan.

Original reporting
SEC EDGAR · Dean Lia
Published Oct 19, 2026, 8:05 PM UTC
Analysis
AlphAI AI DeskAI-generated
Added to AlphAI Oct 19, 2026, 8:08 PM UTC. Informational, not investment advice.
How this was made
AlphAI summarizes source reporting and applies a structured AI analysis for relevance, timing, sentiment and ticker impact. Always verify material claims with the original publisher.
About AlphAI AI DeskScoring methodologyReport an issue
AlphAI market briefInsider activity
Primary signal
$COF
Neutral
high confidence
Mentioned
$COF
Relevance
3/10
AlphAI data visualization · based on SEC EDGAR
Decision brief

The 30-second read

$COFNeutralLow
01

Why it matters

The disclosed sale is modest and pre‑arranged, suggesting limited immediate impact on COF's share price.

02

Market read

Routine insider sale with low materiality; unlikely to drive significant price movement.

03

What to watch

The sale is part of a pre‑arranged 10b5‑1 plan, reducing the likelihood of insider information driving the trade.

Relevance 3/10Novelty 3/10Timing: post-market filing on 2026-10-19

Background

SEC Form 4 filings disclose insider transactions; investors monitor them for potential signals.

Company-level read

Ticker impact

$COFNeutralHigh confidence
Context

Dean Lia, Capital One's President of Banking & Premium Products, sold 1,887 shares for $369,587 via a 10b5-1 plan, reducing his stake to 59,308 shares.

Expected impact

likely slight pressure as the market prices in the insider sell

Evidence & confidence

The transaction is a routine 10b5-1 sale of under $0.5M; such sales typically have limited impact unless part of a larger pattern.

Market effects

Sector

Minimal; banking sector not affected by a single insider sale.

Regional

None; U.S. market only.

Global

None

Counterpoint

What could challenge this read

If the insider is reducing exposure ahead of a negative catalyst, the sale could foreshadow downside.

Key entities

  • person
    Dean Lia

    President, Banking & Premium Products at Capital One Financial Corp.

  • company
    Capital One Financial Corp

    U.S. bank holding company.

Read at source← All news

Full insider trading history

This story covers one filing. See everything behind it: every insider buy and sell on record, 10b5-1 plans, late filings, and which officers and directors are trading.

COF insider trading history →

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