Capital One 2011 Annual Report Download - page 287

Exhibit No. Description
4.7.3 Guarantee Agreement, dated as of August 5, 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 August 6,
2009).
4.7.4 Specimen Trust Preferred Security Certificate (incorporated by reference to Exhibit 4.5 of the
Corporation’s Current 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 Report 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 Bank 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 Current 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 Report 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 Report 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 Capital One Financial Corporation 1994 Stock Incentive Plan, as amended (incorporated by
reference to Exhibit 10.7 of the 2002 Form 10-K).
10.1.2 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 on May 17, 1999).
10.1.3 Capital One Financial Corporation, 2004 Stock Incentive Plan (incorporated herein by reference to
Exhibit 4.1 of the Corporation’s Registration Statement on Form S-8, Commission File No.
333-117920, filed on August 4, 2004).
10.1.4 Amended and Restated 2004 Stock Incentive Plan (incorporated by reference to Exhibit 10.1 of
the Corporation’s Current Report on Form 8-K, filed on May 3, 2006).
10.1.5 Second Amended and Restated 2004 Stock Incentive Plan (incorporated herein by reference to the
Company’s Proxy Statement on Definitive Schedule 14A, filed on March 13, 2009).
10.2.1 Form of Nonstatutory Stock Option Agreement between Capital One Financial Corporation and
Richard D. Fairbank under the Company’s 2004 Stock Incentive Plan (incorporated by reference
to Exhibit 99.1 of the Corporation’s Report on Form 8-K, filed on December 23, 2005).
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