Form 4: Capital One Executive Lia Dean Reports Changes in Beneficial Ownership
SEC Form 4 Filing
Lia Dean, a Capital One executive, reports the acquisition and disposal of company stock related to performance shares and tax obligations.
Summary
- On March 10, 2025, Lia Dean, Pres, Banking & Prem. Products at Capital One Financial Corp, reported changes in beneficial ownership of the company's common stock.
- Dean acquired 7,554 shares of common stock at $0 related to performance shares earned from an award granted on February 3, 2022, and amended on November 2, 2023.
- These performance shares were based on the Company's Common Dividends + Growth of Tangible Book Value per Share and Adjusted ROTCE against a peer group of companies over a three-year performance period.
- Dean also disposed of 3,785 shares at $163.87 to satisfy tax obligations associated with the settlement of the performance shares.
- Following these transactions, Dean beneficially owns 60,344 shares of Capital One common stock, which includes shares acquired through the Company's Associate Stock Purchase Plan since the last reported transaction.
Sentiment
Score: 6
Explanation: The sentiment is neutral as the filing primarily reports routine transactions related to executive compensation and tax obligations. The acquisition of performance shares is a slightly positive indicator of company performance.
Positives
- The acquisition of performance shares suggests that Capital One met certain performance targets related to Common Dividends + Growth of Tangible Book Value per Share and Adjusted ROTCE.
Industry Context
Form 4 filings are a routine part of corporate governance, providing transparency into the transactions of company insiders. This filing indicates the vesting of performance-based compensation for a Capital One executive.
Stakeholder Impact
- The filing provides transparency to shareholders regarding executive compensation and stock ownership.
Key Dates
| Date | Description |
|---|---|
| 02/03/2022 | Date of original performance share grant. |
| 11/02/2023 | Date of amendment to the performance share grant. |
| 03/10/2025 | Date of transaction (acquisition and disposal of shares). |
| 03/12/2025 | Date of signature on the Form 4 filing. |
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