COF SEC Filing News — Capital One Financial Corporation

Latest SEC filings for Capital One Financial Corporation (COF) explained in plain English. Covers insider buying and selling (Form 4), proposed insider sales (Form 144), material company events (8-K), and quarterly & annual reports (10-Q / 10-K). StrongBuyAnalytics provides navigation and brief excerpts or summaries; original filings remain at the SEC/source links and were authored by their filers, not StrongBuyAnalytics. Filing dates shown are source dates. Coverage and detection can be delayed or incomplete because of SEC availability, amendments, parsing, caching, or outages. Latest source filing date shown: 2026-09-16.

Capital One Financial Corporation operates as the financial services holding company for the Capital One, National Association, which engages in the provision of various financial products and services in the United States, Canada, and the United Kingdom. It operates through three segments: Credit Card, Consumer Banking, and Commercial Banking. The company accepts checking accounts, money market deposits, negotiable order of withdrawals, savings deposits, time deposits, and sweep accounts. Its l…
Sector: Financial Services Industry: Credit Services Market Cap: $121.2B CIK: 927628
20
Total Filings
0
Bullish Classifications
7
Bearish Classifications
7
Insider Transactions
6
Material Events (8-K)
0
Periodic Reports
Rule-based classifications for COF currently lean bearish. Of the 20 filing records displayed, 7 carry bearish classifications (such as insider sales or negative 8-K disclosures) versus 0 bullish. This does not necessarily signal fundamental deterioration — insiders sell for many reasons — but it is worth monitoring alongside the company's core financial metrics.
COF Filing Activity Snapshot 2026-08-10 — 2026-09-16
Insider Transactions (Form 4)
0 buys vs 7 sells
Net insider selling in this period — insiders sell for many reasons beyond conviction.
Largest Form 144 Filing
$1.19M
MICHAEL ZAMSKY · 2026-08-10
5,473 shares · Form 144
Form 144 Notices
7
Proposed insider sales filed — Form 144 is a notice of intent, not a confirmed transaction. Actual sales are confirmed via Form 4.
Insider Transactions 7 · Forms 3, 4 and 5

A Form 4 is filed within two business days of a company insider — an officer, a director, or a holder of more than ten percent of the stock — changing their position in the shares. All 7 filings in this group are Form 4s for Capital One Financial Corporation.

The difficulty with reading these filings as a group is that a single form type covers transactions that mean entirely different things. An executive spending their own money to buy stock and an executive having shares withheld to pay tax on a vesting grant both appear as a Form 4. Every filing below is therefore tagged with the nature of the underlying transaction, taken from the transaction code reported on the form itself.

Across the 7 insider filings shown, the breakdown is 7 open-market sale. 7 of them involved a discretionary open-market trade; the rest are compensation and administrative mechanics.

What each transaction type means

Open-market sale ×7
The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.
Form 4 Open-market sale Insider Selling 2026-09-16

COF insider Karam Celia (Pres, Retail Bank) sold 2,017 shares (~$415.6K)

Karam Celia, listed as Pres, Retail Bank at CAPITAL ONE FINANCIAL CORP, reported an open-market sale of 2,017 COF shares in a Form 4 filing. This is a confirmed insider sale, not just a proposed sale notice.

The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

Transactions reported on this filing
Code Nature Shares Price Value
S Open-market sale 2,017 $206.07 $415.6K
Filing: Form 4 (Insider Transaction) Insider: Karam Celia (Pres, Retail Bank) Shares: 2,017 Est. Value: $415.6K
View on SEC EDGAR → Open Filing Document →
Form 4 Open-market sale Insider Selling 2026-09-16

COF insider Dean Lia (Pres, Banking & Prem. Products) sold 2,066 shares (~$425.7K)

Dean Lia, listed as Pres, Banking & Prem. Products at CAPITAL ONE FINANCIAL CORP, reported an open-market sale of 2,066 COF shares in a Form 4 filing. This is a confirmed insider sale, not just a proposed sale notice.

The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

Transactions reported on this filing
Code Nature Shares Price Value
S Open-market sale 2,066 $206.07 $425.7K
Filing: Form 4 (Insider Transaction) Insider: Dean Lia (Pres, Banking & Prem. Products) Shares: 2,066 Est. Value: $425.7K
View on SEC EDGAR → Open Filing Document →
Form 4 Open-market sale Insider Selling 2026-09-02

COF insider Cooper Matthew W (General Counsel & Corp Secy) sold 3,500 shares (~$749.4K)

Cooper Matthew W, listed as General Counsel & Corp Secy at CAPITAL ONE FINANCIAL CORP, reported an open-market sale of 3,500 COF shares in a Form 4 filing. This is a confirmed insider sale, not just a proposed sale notice.

The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

Transactions reported on this filing
Code Nature Shares Price Value
S Open-market sale 3,500 $214.10 $749.4K
Filing: Form 4 (Insider Transaction) Insider: Cooper Matthew W (General Counsel & Corp Secy) Shares: 3,500 Est. Value: $749.4K
View on SEC EDGAR → Open Filing Document →
Form 4 Open-market sale Insider Selling 2026-08-18

COF insider Dean Lia (Pres, Banking & Prem. Products) sold 2,193 shares (~$494.6K)

Dean Lia, listed as Pres, Banking & Prem. Products at CAPITAL ONE FINANCIAL CORP, reported an open-market sale of 2,193 COF shares in a Form 4 filing. This is a confirmed insider sale, not just a proposed sale notice.

The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

Transactions reported on this filing
Code Nature Shares Price Value
S Open-market sale 2,192 $225.52 $494.3K
S Open-market sale 1 $225.92 $225.92
Filing: Form 4 (Insider Transaction) Insider: Dean Lia (Pres, Banking & Prem. Products) Shares: 2,193 Est. Value: $494.6K
View on SEC EDGAR → Open Filing Document →
Form 4 Open-market sale Insider Selling 2026-08-18

COF insider Karam Celia (Pres, Retail Bank) sold 1,888 shares (~$425.8K)

Karam Celia, listed as Pres, Retail Bank at CAPITAL ONE FINANCIAL CORP, reported an open-market sale of 1,888 COF shares in a Form 4 filing. This is a confirmed insider sale, not just a proposed sale notice.

The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

Transactions reported on this filing
Code Nature Shares Price Value
S Open-market sale 1,887 $225.52 $425.6K
S Open-market sale 1 $225.92 $225.92
Filing: Form 4 (Insider Transaction) Insider: Karam Celia (Pres, Retail Bank) Shares: 1,888 Est. Value: $425.8K
View on SEC EDGAR → Open Filing Document →
Form 4 Open-market sale Insider Selling 2026-08-17

COF insider Mouadeb Mark Daniel (President, Card) sold 1,199 shares (~$269.8K)

Mouadeb Mark Daniel, listed as President, Card at CAPITAL ONE FINANCIAL CORP, reported an open-market sale of 1,199 COF shares in a Form 4 filing. This is a confirmed insider sale, not just a proposed sale notice.

The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

Transactions reported on this filing
Code Nature Shares Price Value
S Open-market sale 1,199 $225.00 $269.8K
Filing: Form 4 (Insider Transaction) Insider: Mouadeb Mark Daniel (President, Card) Shares: 1,199 Est. Value: $269.8K
View on SEC EDGAR → Open Filing Document →
Form 4 Open-market sale Insider Selling 2026-08-11

COF insider Zamsky Michael (Chief Credit & Fin'l Risk Off.) sold 5,473 shares (~$1.19M)

Zamsky Michael, listed as Chief Credit & Fin'l Risk Off. at CAPITAL ONE FINANCIAL CORP, reported an open-market sale of 5,473 COF shares in a Form 4 filing. This is a confirmed insider sale, not just a proposed sale notice.

The insider sold shares on the open market. Sales may be discretionary or executed automatically under a pre-arranged Rule 10b5-1 trading plan, and a Form 4 does not always make clear which applies.

Transactions reported on this filing
Code Nature Shares Price Value
S Open-market sale 5,473 $218.02 $1.19M
Filing: Form 4 (Insider Transaction) Insider: Zamsky Michael (Chief Credit & Fin'l Risk Off.) Shares: 5,473 Est. Value: $1.19M
View on SEC EDGAR → Open Filing Document →
Proposed Insider Sales 7 · Form 144

A Form 144 is a notice of intent to sell restricted or control securities. It is not a record that anything was sold. Capital One Financial Corporation has 7 such notices in this period.

The distinction matters because a Form 144 is frequently reported as though it were a completed insider sale. The filer may sell all of the shares covered, some of them, or none at all, and there is no obligation to update the notice either way. A sale that is actually executed by an officer or director shows up separately on a Form 4, which is the filing to check before treating a proposed sale as a real one.

Form 144 Proposed Insider Sale 2026-09-15

COF Form 144 filed for proposed insider sale by CELIA EDWARDS KARAM (2,017 shares) ~$415.6K

CELIA EDWARDS KARAM filed a Form 144 with the SEC indicating intent to sell COF (CAPITAL ONE FINANCIAL CORP) shares. Form 144 reflects a proposed sale, not a completed transaction. The actual execution, if any, would typically appear later in a Form 4.

Filing: Form 144 (Proposed Sale Notice) Insider: CELIA EDWARDS KARAM Shares: 2,017 Est. Value: $415.6K
View on SEC EDGAR → Open Filing Document →
Form 144 Proposed Insider Sale 2026-09-15

COF Form 144 filed for proposed insider sale by LIA DEAN (2,067 shares) ~$425.9K

LIA DEAN filed a Form 144 with the SEC indicating intent to sell COF (CAPITAL ONE FINANCIAL CORP) shares. Form 144 reflects a proposed sale, not a completed transaction. The actual execution, if any, would typically appear later in a Form 4.

Filing: Form 144 (Proposed Sale Notice) Insider: LIA DEAN Shares: 2,067 Est. Value: $425.9K
View on SEC EDGAR → Open Filing Document →
Form 144 Proposed Insider Sale 2026-09-01

COF Form 144 filed for proposed insider sale by MATTHEW COOPER (3,500 shares) ~$749.4K

MATTHEW COOPER filed a Form 144 with the SEC indicating intent to sell COF (CAPITAL ONE FINANCIAL CORP) shares. Form 144 reflects a proposed sale, not a completed transaction. The actual execution, if any, would typically appear later in a Form 4.

Filing: Form 144 (Proposed Sale Notice) Insider: MATTHEW COOPER Shares: 3,500 Est. Value: $749.4K
View on SEC EDGAR → Open Filing Document →
Form 144 Proposed Insider Sale 2026-08-17

COF Form 144 filed for proposed insider sale by LIA DEAN (2,193 shares) ~$494.6K

LIA DEAN filed a Form 144 with the SEC indicating intent to sell COF (CAPITAL ONE FINANCIAL CORP) shares. Form 144 reflects a proposed sale, not a completed transaction. The actual execution, if any, would typically appear later in a Form 4.

Filing: Form 144 (Proposed Sale Notice) Insider: LIA DEAN Shares: 2,193 Est. Value: $494.6K
View on SEC EDGAR → Open Filing Document →
Form 144 Proposed Insider Sale 2026-08-17

COF Form 144 filed for proposed insider sale by CELIA EDWARDS KARAM (1,888 shares) ~$425.8K

CELIA EDWARDS KARAM filed a Form 144 with the SEC indicating intent to sell COF (CAPITAL ONE FINANCIAL CORP) shares. Form 144 reflects a proposed sale, not a completed transaction. The actual execution, if any, would typically appear later in a Form 4.

Filing: Form 144 (Proposed Sale Notice) Insider: CELIA EDWARDS KARAM Shares: 1,888 Est. Value: $425.8K
View on SEC EDGAR → Open Filing Document →
Form 144 Proposed Insider Sale 2026-08-13

COF Form 144 filed for proposed insider sale by MARK MOUADEB (1,199 shares) ~$269.8K

MARK MOUADEB filed a Form 144 with the SEC indicating intent to sell COF (CAPITAL ONE FINANCIAL CORP) shares. Form 144 reflects a proposed sale, not a completed transaction. The actual execution, if any, would typically appear later in a Form 4.

Filing: Form 144 (Proposed Sale Notice) Insider: MARK MOUADEB Shares: 1,199 Est. Value: $269.8K
View on SEC EDGAR → Open Filing Document →
Form 144 Proposed Insider Sale 2026-08-10

COF Form 144 filed for proposed insider sale by MICHAEL ZAMSKY (5,473 shares) ~$1.19M

MICHAEL ZAMSKY filed a Form 144 with the SEC indicating intent to sell COF (CAPITAL ONE FINANCIAL CORP) shares. Form 144 reflects a proposed sale, not a completed transaction. The actual execution, if any, would typically appear later in a Form 4.

Filing: Form 144 (Proposed Sale Notice) Insider: MICHAEL ZAMSKY Shares: 5,473 Est. Value: $1.19M
View on SEC EDGAR → Open Filing Document →
Material Events 6 · Form 8-K

An 8-K reports a material event in the window between scheduled reports. There are 6 in this period for Capital One Financial Corporation. Each 8-K names the item number it is filed under, and that number is the fastest way to tell a routine disclosure from a consequential one.

Item 2.02 is an earnings release, Item 5.02 is a change of directors or officers, and Item 1.01 or 2.01 covers a material agreement or a completed acquisition. Item 7.01 and Item 8.01 are the general-purpose disclosure items and carry no fixed meaning on their own.

Form 8-K Material Company Update 2026-09-15

COF filed 8-K — material company event

CAPITAL ONE FINANCIAL CORP filed an 8-K with the SEC reporting a material event. Summary unavailable — view the original SEC filing for the full text.

Filing: 8-K (Material Event)
View on SEC EDGAR → Open Filing Document →
Form 8-K Material Company Update 2026-09-15

COF filed 8-K — material company event

CAPITAL ONE FINANCIAL CORP filed an 8-K with the SEC reporting a material event. Summary unavailable — view the original SEC filing for the full text.

Filing: 8-K (Material Event)
View on SEC EDGAR → Open Filing Document →
Form 8-K Material Company Update 2026-09-15

COF filed 8-K — material company event

CAPITAL ONE FINANCIAL CORP filed an 8-K with the SEC reporting a material event. Summary unavailable — view the original SEC filing for the full text.

Filing: 8-K (Material Event)
View on SEC EDGAR → Open Filing Document →
Form 8-K Material Company Update 2026-09-01

COF filed 8-K — material company event

CAPITAL ONE FINANCIAL CORP filed an 8-K with the SEC reporting a material event. Summary unavailable — view the original SEC filing for the full text.

Filing: 8-K (Material Event)
View on SEC EDGAR → Open Filing Document →
Form 8-K Material Company Update 2026-08-20

COF filed 8-K — material company event

CAPITAL ONE FINANCIAL CORP filed an 8-K with the SEC reporting a material event. Summary unavailable — view the original SEC filing for the full text.

Filing: 8-K (Material Event)
View on SEC EDGAR → Open Filing Document →
Form 8-K Material Company Update 2026-08-17

COF filed 8-K — material company event

CAPITAL ONE FINANCIAL CORP filed an 8-K with the SEC reporting a material event. Summary unavailable — view the original SEC filing for the full text.

Filing: 8-K (Material Event)
View on SEC EDGAR → Open Filing Document →

How we classify Capital One Financial Corporation's filings

Straight from EDGAR

Each displayed record links to an original source document. StrongBuyAnalytics provides navigation and brief excerpts or summaries, not the filing itself. Parsing may omit context or contain errors, so read the original document in full.

Transaction codes, not guesswork

The nature shown on each insider filing comes from the transaction code the filer entered on the form itself — P for an open-market purchase, A for a compensation award, F for shares withheld to pay tax, M for an option exercise. Where one filing contains several codes, the transaction table lists them line by line.

Why the distinction matters

Insider activity is routinely summarised as buying or selling, which flattens together decisions that mean very different things. Shares withheld for tax on a vesting grant are an automatic administrative step; shares bought on the open market are someone committing their own money at the current price.

What this page does not tell you

A filing records what happened, not why. Form 4 does not always disclose whether a sale was executed under a pre-arranged Rule 10b5-1 plan, and no single filing is a basis for a decision on COF. Read these alongside the fundamentals rather than in isolation.

Frequently Asked Questions — COF SEC Filings

What SEC filings does Capital One Financial Corporation submit to the SEC?

Capital One Financial Corporation (COF) submits several types of SEC filings including Form 4 (insider transactions), Form 144 (proposed insider sales), 8-K reports (material events such as earnings releases, acquisitions, leadership changes), and periodic reports — the 10-Q (quarterly) and 10-K (annual). All filings are publicly available through SEC EDGAR.

What does a Form 4 filing tell me about COF?

A Form 4 for COF discloses a transaction by a company insider — typically a director, officer, or 10%+ shareholder. It shows the source-reported date, number of shares, price, and updated ownership. These facts do not establish motive or predict future returns.

How do I interpret an 8-K filing from Capital One Financial Corporation?

An 8-K signals a material event requiring prompt disclosure. Common triggers include earnings pre-announcements, acquisitions, leadership appointments or departures, credit changes, or regulatory actions. Read the item codes inside the filing to understand exactly what was disclosed before drawing conclusions.

What is the difference between a 10-K and 10-Q for COF?

The 10-K is Capital One Financial Corporation's annual report with fully audited financial statements, comprehensive MD&A, and complete risk factor disclosures — filed 60–90 days after fiscal year-end. The 10-Q is a lighter quarterly report with unaudited financials filed for the first three quarters. Together they provide a continuous financial picture of the company.

Where can I see all COF SEC filings directly on EDGAR?

You can view all historical Capital One Financial Corporation filings on the SEC EDGAR company page for COF. Each filing card on this page links directly to the original SEC document.

How often does Capital One Financial Corporation file with the SEC?

Capital One Financial Corporation files one 10-K per year and up to three 10-Qs per year. Form 4 insider transactions must be reported within two business days of each trade, so the frequency depends on how often insiders are buying or selling COF shares. 8-K filings occur whenever a material event happens — which can be several times per quarter for an active company.

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Publisher, sources & limitations — September 15, 2026. StrongBuyAnalytics provides navigation and brief excerpts or summaries for educational use. Original filings remain at SEC EDGAR or other displayed source links; StrongBuyAnalytics does not author them. Filing dates are source dates, not publication dates for this page. Coverage can be delayed, incomplete, amended, or unavailable because of SEC/source availability, parsing, caching, or outages. Verify every material statement in the original filing.
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