Capital One 2014 Annual Report Download - page 294

Exhibit No. Description
4.1.1 Specimen certificate representing the common stock of Capital One Financial Corporation
(incorporated by reference to Exhibit 4.1 of the 2003 Form 10-K).
4.1.2 Warrant Agreement, dated December 3, 2009, between Capital One Financial Corporation and
Computershare Trust Company, N.A. (incorporated by reference to the Exhibit 4.1 of the Form 8-
A, filed on December 4, 2009).
4.1.3 Deposit Agreement, dated August 20, 2012 (incorporated by reference to Exhibit 4.1 of the Current
Report on Form 8-K, filed on August 20, 2012).
4.2 Pursuant to Item 601(b)(4)(iii)(A) of Regulation S-K, copies of instruments defining the rights of
holders of long-term debt are not filed. The Company agrees to furnish a copy thereof to the SEC
upon request.
10.1.1 Capital One Financial Corporation 2004 Stock Incentive Plan (incorporated by reference to the
Proxy Statement on Definitive Schedule 14A, filed on March 17, 2004).
10.1.2 Amended and Restated 2004 Stock Incentive Plan (incorporated by reference to Exhibit 10.1 of
the Current Report on Form 8-K, filed on May 3, 2006).
10.1.3 Second Amended and Restated 2004 Stock Incentive Plan (incorporated by reference to the Proxy
Statement on Definitive Schedule 14A, filed on March 13, 2009).
10.1.4 Third Amended and Restated 2004 Stock Incentive Plan (incorporated by reference to the Proxy
Statement on Definitive Schedule 14A, filed on March 18, 2014).
10.1.5* Amendment to Third Amended and Restated 2004 Stock Incentive Plan.
10.2.1 Form of Nonstatutory Stock Option Agreement granted to Richard D. Fairbank under the 2004
Stock Incentive Plan (incorporated by reference to Exhibit 99.1 of the Current Report on Form
8-K, filed on December 23, 2005).
10.2.2 Form of Nonstatutory Stock Option Agreement granted to certain of our executives under the 2004
Stock Incentive Plan (incorporated by reference to Exhibit 10.20.3 of the 2004 Form 10-K).
10.2.3 Form of Nonstatutory Stock Option Award Agreement granted to our executive officers,
including the Chief Executive Officer, under the Second Amended and Restated 2004 Stock
Incentive Plan on January 26, 2011 (incorporated by reference to Exhibit 10.18 of the 2010
Form 10-K).
10.2.4 Form of Nonstatutory Stock Option Award Agreements granted to our executive officers,
including the Chief Executive Officer, under the Second Amended and Restated 2004 Stock
Incentive Plan on January 31, 2012 (incorporated by reference to Exhibit 10.2.10 of the 2011
Form 10-K).
10.2.5 Form of Performance Unit Award Agreements granted to our executive officers, including the
Chief Executive Officer, under the Second Amended and Restated 2004 Stock Incentive Plan on
January 31, 2012 (incorporated by reference to Exhibit 10.2.11 of the 2011 Form 10-K).
10.2.6 Form of Nonstatutory Stock Option Award Agreements granted to our executive officers,
including the Chief Executive Officer, under the Second Amended and Restated 2004 Stock
Incentive Plan on January 31, 2013 (incorporated by reference to Exhibit 10.2.14 of the 2012
Form 10-K).
10.2.7 Form of Performance Unit Award Agreements granted to executive officers, including the Chief
Executive Officer, under the Second Amended and Restated 2004 Stock Incentive Plan on
January 31, 2013 (incorporated by reference to Exhibit 10.2.15 of the 2012 Form 10-K).
10.2.8 Form of Restricted Stock Unit Award Agreements granted to our executive officers, including the
Chief Executive Officer, under the Second Amended and Restated 2004 Stock Incentive Plan on
January 31, 2013 (incorporated by reference to Exhibit 10.2.16 of the 2012 Form 10-K).
272 Capital One Financial Corporation (COF)