Capital One 2009 Annual Report Download - page 204

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191
Exhibit No.
Description
4.7.1 Fourth Supplemental Indenture, dated as of August 5, 2009, between Capital One Financial Corporation and The Bank o
f
N
ew York Mellon Trust Company, N.A., as indenture trustee (incorporated by reference to Exhibit 4.2 of the
Corporation’s Current Report on Form 8-K, filed on August 6, 2009).
4.7.2 Amended and Restated Declaration of Trust of Capital One Capital V, dated as of August 5, 2009, between Capital One
Financial Corporation as Sponsor, The Bank of New York Mellon Trust Company, N.A., as institutional trustee, BNY
Mellon Trust of Delaware, as Delaware Trustee and the Administrative Trustees named therein (incorporated by reference
to Exhibit 4.3 of the Corporation’s Current Report on Form 8-K, filed on August 6, 2009).
4.7.3 Guarantee Agreement, dated as of August 5, 2009, between Capital One Financial Corporation and The Bank of New Yor
k
Mellon Trust Company, N.A., as guarantee trustee (incorporated by reference to Exhibit 4.4 of the Corporation’s Curren
t
Report on Form 8-K, filed on August 6, 2009).
4.7.4 Specimen Trust Preferred Security Certificate (incorporated by reference to Exhibit 4.5 of the Corporation’s Curren
t
Report on Form 8-K, filed on August 6, 2009).
4.7.5 Specimen Junior Subordinated Debt Security (incorporated by reference to Exhibit 4.6 of the Corporation’s Current Repor
t
on Form 8-K, filed on August 6, 2009).
4.8.1 Fifth Supplemental Indenture, dated as of November 13, 2009, between Capital One Financial Corporation and The Ban
k
of New York Mellon Trust Company, N.A., as indenture trustee (incorporated by reference to Exhibit 4.2 of the
Corporation’s Current Report on Form 8-K, filed on November 13, 2009).
4.8.2 Amended and Restated Declaration of Trust of Capital One Capital VI, dated as of November 13, 2009, between Capital
One Financial Corporation as Sponsor, The Bank of New York Mellon Trust Company, N.A., as institutional trustee, BNY
Mellon Trust of Delaware, as Delaware Trustee and the Administrative Trustees named therein (incorporated by reference
to Exhibit 4.3 of the Corporation’s Current Report on Form 8-K, filed on November 13, 2009).
4.8.3 Guarantee Agreement, dated as of November 13, 2009, between Capital One Financial Corporation and The Bank of New
York Mellon Trust Company, N.A., as guarantee trustee (incorporated by reference to Exhibit 4.4 of the Corporation’s
Current Report on Form 8-K, filed on November 13, 2009).
4.8.4 Specimen Trust Preferred Security Certificate (incorporated by reference to Exhibit 4.5 of the Corporation’s Curren
t
Report on Form 8-K, filed on November 13, 2009).
4.8.5 Specimen Junior Subordinated Debt Security (incorporated by reference to Exhibit 4.6 of the Corporation’s Current Repor
t
on Form 8-K, filed on November 13, 2009).
4.9.1 Indenture, dated as of August 29, 2006, between Capital One Financial Corporation and The Bank of New York Mellon
Trust Company, N.A., as indenture trustee (incorporated by reference to Exhibit 4.1 of the Corporation’s Current Repor
t
on Form 8-K, filed on August 31, 2006).
4.9.2 Copy of Subordinated Note Certificate (incorporated by reference to Exhibit 4.2 of the Corporation’s Current Report on
Form 8-K, filed on August 31, 2006).
10.1.1 2002 Associate Stock Purchase Plan (incorporated by reference to Exhibit 4.1 of the Corporation’s Form S-8 filed with the
Securities and Exchange Commission on October 10, 2002).
10.1.2 2002 Associate Stock Purchase Plan, as amended and restated (incorporated herein by reference to the Corporation’s
Registration Statement on Form S-8, Commission File No. 333-151325, filed May 30, 2008).
10.2.1 Capital One Financial Corporation 1994 Stock Incentive Plan, as amended (incorporated by reference to Exhibit 10.7 o
f
the 2002 Form 10-K).
10.2.2 Capital One Financial Corporation 1999 Stock Incentive Plan (incorporated by reference to Exhibit 4 of the Corporation’s
Registration Statement on Form S-8, Commission File No. 333-78609, filed May 17, 1999).
10.2.3 Capital One Financial Corporation, 2004 Stock Incentive Plan (incorporated herein by reference to the Corporation’s
Registration Statement on Form S-8, Commission File No. 333-117920, filed August 4, 2004).
10.2.4 Amended and Restated 2004 Stock Incentive Plan (incorporated by reference to Exhibit 10.1 of the Corporation’s Curren
t
Report on Form 8-K, filed on May 3, 2006).