Capital One 2014 Annual Report Download - page 293

EXHIBIT INDEX
CAPITAL ONE FINANCIAL CORPORATION
ANNUAL REPORT ON FORM 10-K
DATED DECEMBER 31, 2014
Commission File No. 1-13300
The following exhibits are incorporated by reference or filed herewith. References to (i) the “2002 Form 10-K” are
to the Company’s Annual Report on Form 10-K for the year ended December 31, 2002, filed on March 17, 2003;
(ii) the “2003 Form 10-K” are to the Company’s Annual Report on Form 10-K for the year ended December 31,
2003, filed on March 5, 2004; (iii) the “2004 Form 10-K” are to the Company’s Annual Report on Form 10-K for
the year ended December 31, 2004, filed on March 9, 2005; (iv) the “2008 Form 10-K” are to the Company’s Annual
Report on Form 10-K for the year ended December 31, 2008, filed on February 26, 2009; (v) the “2010 Form 10-
K” are to the Company’s Annual Report on Form 10-K for the year ended December 31, 2010, filed on March 1,
2011, as amended on March 7, 2011; (vi) the “2011 Form 10-K” are to the Company’s Annual Report on Form 10-
K for the year ended December 31, 2011, filed on February 28, 2012; (vii) the “2012 Form 10-K” are to the
Company’s Annual Report on Form 10-K for the year ended December 31, 2012, filed on February 28, 2013; and
(viii) the “2013 Form 10-K” are to the Company’s Annual Report on Form 10-K for the year ended December 31,
2013, filed on February 27, 2014.
Exhibit No. Description
2.1.1 Purchase and Sale Agreement, dated as of June 16, 2011, by and among Capital One Financial
Corporation, ING Groep N.V., ING Bank N.V., ING Direct N.V. and ING Direct Bancorp
(incorporated by reference to Exhibit 2.1 of the Current Report on Form 8-K, filed on June 22,
2011).
2.1.2 First Amendment to the Purchase and Sale Agreement by and among Capital One Financial
Corporation, ING Groep N.V., ING Bank N.V., ING Direct N.V. and ING Direct Bancorp, dated
as of February 17, 2012 (incorporated by reference to Exhibit 2.2.2 of the 2011 Form 10-K).
2.2.1 Purchase and Assumption Agreement, dated as of August 10, 2011, by and among Capital One
Financial Corporation, HSBC Finance Corporation, HSBC USA Inc. and HSBC Technology and
Services (USA) Inc. (incorporated by reference to Exhibit 2.1 of the Current Report on Form 8-
K, filed on August 12, 2011).
2.2.2 Purchaser Transition Services Agreement between HSBC Technology and Services (USA) Inc.
and Capital One Services, LLC, dated as of May 1, 2012 (incorporated by reference to Exhibit
10.1 of the Quarterly Report on Form 10-Q for the period ended June 30, 2012).
3.1 Restated Certificate of Incorporation of Capital One Financial Corporation, (as amended and
restated May 5, 2014) (incorporated by reference to Exhibit 3.1 of the Current Report on Form 8-
K, filed on May 5, 2014).
3.2 Amended and Restated Bylaws of Capital One Financial Corporation, dated May 5, 2014
(incorporated by reference to Exhibit 3.2 of the Current Report on Form 8-K, filed on May 5,
2014).
3.3.1 Certificate of Designations of Fixed Rate Non-Cumulative Perpetual Preferred Stock, Series B,
dated August 16, 2012 (incorporated by reference to Exhibit 3.1 of the Current Report on Form 8-
K, filed on August 20, 2012).
3.3.2 Certificate of Designations of Fixed Rate Non-Cumulative Perpetual Preferred Stock, Series C,
dated June 11, 2014 (incorporated by reference to Exhibit 3.1 of the Current Report on Form 8-K,
filed June 12, 2014).
3.3.3 Certificate of Designations of Fixed Rate Non-Cumulative Perpetual Preferred Stock, Series D,
dated October 29, 2014 (incorporated by reference to Exhibit 3.1 of the Current Report on Form
8-K, filed October 31, 2014).
271 Capital One Financial Corporation (COF)