Form 4: Capital One Executive Lia Dean Reports Stock Disposals to Cover Tax Obligations

Lia Dean, a Capital One executive, reported the disposal of common stock to cover tax obligations related to vesting restricted stock units.

Summary

• On February 15, 2025, Lia Dean, Pres, Banking & Prem. Products at Capital One Financial Corp, reported the disposal of common stock.
• The disposals were made to satisfy tax obligations associated with the vesting of restricted stock units.
• These restricted stock units were granted on February 3, 2022, January 26, 2023, and February 1, 2024.
• The transactions involved the disposal of 1,019 shares, 1,487 shares, and 1,629 shares at a price of $202.16 per share.
• Following these transactions, Dean's directly held beneficial ownership of Capital One common stock is 56,503 shares.

Sentiment

Score: 5

Explanation: Neutral sentiment as the filing relates to routine stock disposals for tax purposes.

Industry Context

Executive stock transactions are a normal part of corporate governance and compensation practices. Disposals to cover tax obligations upon vesting of restricted stock units are common.

Stakeholder Impact

• The transactions have a minimal impact on shareholders as they are related to tax obligations and do not indicate a change in the executive's long-term outlook on the company.

Key Dates

Keywords

Form 4, Capital One, Stock Disposal, Restricted Stock Units, Tax Obligations, Beneficial Ownership, Lia Dean