Dean Lia — SEC Form 4 filings
SEC reporting owner CIK 1741273. 17 Form 4 filings on record with FilingPulse; latest filed 2026-09-16.
Transaction summary — filings shown
Covers all 17 filings on record, filed 2024-02-05 to 2026-09-16. Counts and totals are arithmetic on values as filed — descriptive data, not a recommendation.
- Open-market purchases (code P, non-derivative): none reported.
- Open-market sales (code S, non-derivative): 9 legs across 8 filings — 34,436 shares, $6,296,534 total (shares × price as filed).
- Other reported legs (grants, option exercises, tax withholding, gifts, derivative-security transactions, …): 19.
- Largest priced transaction: sale of 15,485 shares @ $143.00 ($2,214,355) in CAPITAL ONE FINANCIAL CORP, filed 2024-05-03.
By issuer — same filings
Open-market purchase/sale legs on non-derivative securities, grouped by issuer. Role is as filed on the newest filing for that issuer. Dollar totals cover priced legs only (shares × price as filed). Ordered by priced transaction value, largest first.
| Issuer | Role (as filed) | Filings | Purchases (P) | Sales (S) | Other legs |
|---|---|---|---|---|---|
| CAPITAL ONE FINANCIAL CORP (COF) | Pres, Banking & Prem. Products | 17 | — | 9 legs · 34,436 sh · $6,296,534 | 19 |
Form 4 filings — Dean Lia
| Filed | Form | Issuer | Reported transactions | Source |
|---|---|---|---|---|
| 2026-09-16 | 4 | CAPITAL ONE FINANCIAL CORP (COF) | Sale (S): 2,066 @ $206.07 | EDGAR |
| 2026-08-18 | 4 | CAPITAL ONE FINANCIAL CORP (COF) | Sale (S): 2,192 @ $225.52 · Sale (S): 1 @ $225.92 | EDGAR |
| 2026-04-03 | 4 | CAPITAL ONE FINANCIAL CORP (COF) | Sale (S): 1,692 @ $185.61 | EDGAR |
| 2026-03-11 | 4 | CAPITAL ONE FINANCIAL CORP (COF) | Grant/award (A): 8,094 @ $0 · Tax withholding (F): 4,056 @ $185.73 | EDGAR |
| 2026-03-03 | 4 | CAPITAL ONE FINANCIAL CORP (COF) | Sale (S): 3,284 @ $191 | EDGAR |
| 2026-02-18 | 4 | CAPITAL ONE FINANCIAL CORP (COF) | Tax withholding (F): 1,262 @ $207.37 · Tax withholding (F): 1,445 @ $207.37 · Tax withholding (F): 1,129 @ $207.37 | EDGAR |
| 2026-02-05 | 4 | CAPITAL ONE FINANCIAL CORP (COF) | Grant/award (A): 6,682 @ $0 · Sale (S): 3,284 @ $223.68 | EDGAR |
| 2026-01-06 | 4 | CAPITAL ONE FINANCIAL CORP (COF) | Sale (S): 3,163 @ $244.35 | EDGAR |
| 2025-12-03 | 4 | CAPITAL ONE FINANCIAL CORP (COF) | Sale (S): 3,269 @ $218.15 | EDGAR |
| 2025-06-05 | 4 | CAPITAL ONE FINANCIAL CORP (COF) | Grant/award (A): 12,780 @ $0 | EDGAR |
| 2025-03-12 | 4 | CAPITAL ONE FINANCIAL CORP (COF) | Grant/award (A): 7,554 @ $0 · Tax withholding (F): 3,785 @ $163.87 | EDGAR |
| 2025-02-19 | 4 | CAPITAL ONE FINANCIAL CORP (COF) | Tax withholding (F): 1,019 @ $202.16 · Tax withholding (F): 1,487 @ $202.16 · Tax withholding (F): 1,629 @ $202.16 | EDGAR |
| 2025-02-06 | 4 | CAPITAL ONE FINANCIAL CORP (COF) | Grant/award (A): 6,758 @ $0 | EDGAR |
| 2024-05-03 | 4 | CAPITAL ONE FINANCIAL CORP (COF) | Sale (S): 15,485 @ $143 | EDGAR |
| 2024-03-13 | 4 | CAPITAL ONE FINANCIAL CORP (COF) | Grant/award (A): 13,163 @ $0 · Tax withholding (F): 6,595 @ $138.46 | EDGAR |
| 2024-02-20 | 4 | CAPITAL ONE FINANCIAL CORP (COF) | Tax withholding (F): 939 @ $136.36 · Tax withholding (F): 1,006 @ $136.36 · Tax withholding (F): 1,523 @ $136.36 | EDGAR |
| 2024-02-05 | 4 | CAPITAL ONE FINANCIAL CORP (COF) | Grant/award (A): 9,753 @ $0 | EDGAR |
FilingPulse's Form 4 archive currently extends back to 2024-01-11 and is expanding backward through EDGAR history — earlier filings by this insider may not be indexed yet. Names and roles are shown as filed.
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