COF 10-Q Quarterly Report March 31, 2024 | Alphaminr
CAPITAL ONE FINANCIAL CORP

COF 10-Q Quarter ended March 31, 2024

CAPITAL ONE FINANCIAL CORP
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PROXIES
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Filed on March 20, 2024
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Filed on March 22, 2023
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TABLE OF CONTENTS
Part IItem 2. Management S Discussion and Analysis Of Financial Condition and Results Of Operations ( Md&a )Note 1 Summary Of Significant Accounting PoliciesNote 2 Business CombinationsNote 3 Investment SecuritiesNote 4 LoansNote 5 Allowance For Credit Losses and Reserve For Unfunded Lending CommitmentsNote 6 Variable Interest Entities and SecuritizationsNote 7 Goodwill and Other Intangible AssetsNote 8 Deposits and BorrowingsNote 9 Derivative Instruments and Hedging ActivitiesNote 10 Stockholders EquityNote 11 Earnings Per Common ShareNote 12 Fair Value MeasurementNote 13 Business Segments and Revenue From Contracts with CustomersNote 14 Commitments, Contingencies, Guarantees and OthersItem 3. Quantitative and Qualitative Disclosures About Market RiskItem 4. Controls and ProceduresPart II Other InformationItem 1. Legal ProceedingsItem 1A. Risk FactorsItem 2. Unregistered Sales Of Equity Securities and Use Of ProceedsItem 3. Defaults Upon Senior SecuritiesItem 4. Mine Safety DisclosuresItem 5. Other InformationItem 6. Exhibits

Exhibits

2.1 Agreement and Plan of Merger, dated as of February 19, 2024, by and among Discover Financial Services, Capital One Financial Corporation and Vega Merger Sub, Inc. (incorporated by reference to Exhibit 2.1 of the Current Report on Form 8-K, filed on February 22, 2024). 3.1 Restated Certificate of Incorporation of Capital One Financial Corporation (as restated July 26, 2023) (incorporated by reference to Exhibit 3.1 of the Quarterly Report on Form 10-Q, filed on July 27, 2023). 3.2 Amended and Restated Bylaws of Capital One Financial Corporation, dated September 23, 2021 (incorporated by reference to Exhibit 3.1 of the Current Report on Form 8-K, filed on September 29, 2021). 10.1+ Total Shareholder Return Performance Unit Award Agreement granted to our Chief Executive Officer under the Amended and Restated 2004 Stock Incentive Plan on February 1, 2024(incorporated by reference to Exhibit10.2.24of theAnnualReport on Form 10-K, filed onFebruary 23, 2024). 10.2+ Performance Unit Award Agreement granted to our Chief Executive Officer under the Amended and Restated 2004 Stock Incentive Plan on February 1, 2024(incorporated by reference to Exhibit 10.2.25of the Annual Report on Form 10-K, filed on February 23, 2024). 10.3+ Form of Restricted Stock Unit Award Agreement, dated February 1, 2024, by and between Capital One Financial Corporation and Richard D. Fairbank under the Amended and Restated 2004 Stock Incentive Plan(incorporated by reference to Exhibit 10.2.26of the Annual Report on Form 10-K, filed on February 23, 2024). 10.4+ Form of Restricted Stock Unit Award Agreements granted to our executive officers under the Amended and Restated 2004 Stock Incentive Plan on February 1, 2024(incorporated by reference to Exhibit 10.2.27of the Annual Report on Form 10-K, filed on February 23, 2024). 10.5+ Form of Performance Unit Award Agreements granted to our executive officers under the Amended and Restated 2004 Stock Incentive Plan on February 1, 2024(incorporated by reference to Exhibit 10.2.28of the Annual Report on Form 10-K, filed on February 23, 2024). 10.6+* Form ofRetention Bonus Letter Agreement, by and betweenCapital One Financial Corporationand certain executive officers. 31.1* Certification of Richard D. Fairbank. 31.2* Certification of Andrew M. Young. 32.1** Certification of Richard D. Fairbank. 32.2** Certification of Andrew M. Young.