COF 10-K Annual Report Dec. 31, 2021

CAPITAL ONE FINANCIAL CORP

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PROXIES

DEF 14A	Filed on March 20, 2024
DEF 14A	Filed on March 22, 2023
DEF 14A	Filed on March 21, 2022
DEF 14A	Filed on March 24, 2021
DEF 14A	Filed on March 19, 2020
DEF 14A	Filed on March 20, 2019
DEF 14A	Filed on March 20, 2018
DEF 14A	Filed on March 21, 2017
DEF 14A	Filed on March 21, 2016
DEF 14A	Filed on March 17, 2015
DEF 14A	Filed on March 18, 2014
DEF 14A	Filed on March 20, 2013
DEF 14A	Filed on March 23, 2012
DEF 14A	Filed on March 25, 2011
DEF 14A	Filed on March 18, 2010

TABLE OF CONTENTS

Part I Item 1. Business Item 1A. Risk Factors Item 1B. Unresolved Staff Comments Item 2. Properties Item 3. Legal Proceedings Item 4. Mine Safety Disclosures Part II Item 5. Market For Registrant S Common Equity, Related Stockholder Matters and Issuer Purchases Of Equity Securities Item 6. Selected Financial Data Item 7. Management S Discussion and Analysis Of Financial Condition and Results Of Operations ( Md&a )Item 7A. Quantitative and Qualitative Disclosures About Market Risk Note 1 Summary Of Significant Accounting Policies Note 2 Investment Securities Note 3 Loans Note 4 Allowance For Credit Losses and Reserve For Unfunded Lending Commitments Note 5 Variable Interest Entities and Securitizations Note 6 Goodwill and Other Intangible Assets Note 7 Premises, Equipment and Leases Note 8 Deposits and Borrowings Note 9 Derivative Instruments and Hedging Activities Note 10 Stockholders Equity Note 11 Regulatory and Capital Adequacy Note 12 Earnings Per Common Share Note 13 Stock-based Compensation Plans Note 14 Employee Benefit Plans Note 15 Income Taxes Note 16 Fair Value Measurement Note 17 Business Segments and Revenue From Contracts with Customers Note 18 Commitments, Contingencies, Guarantees and Others Note 19 Capital One Financial Corporation (parent Company Only)Note 20 Related Party Transactions Item 9. Changes in and Disagreements with Accountants on Accounting and Financial Disclosure Item 9A. Controls and Procedures Item 9B. Other Information Item 9C. Disclosure Regarding Foreign Jurisdictions That Prevent Inspections Part III Item 10. Directors, Executive Officers and Corporate Governance Item 11. Executive Compensation Item 12. Security Ownership Of Certain Beneficial Owners and Management and Related Stockholder Matters Item 13. Certain Relationships and Related Transactions, and Director Independence Item 14. Principal Accountant Fees and Services Part IV Item 15. Exhibits and Financial Statement Schedules Item 16. Form 10-k Summary

Exhibits

10.7.1+ Form of Change of Control Employment Agreement between Capital One Financial Corporation and each of its named executive officers, other than the Chief Executive Officer (incorporated by reference to Exhibit 10.8.2 of the 2011 Form 10-K). 10.7.2+ Form of 2011 Change of Control Employment Agreement between Capital One Financial Corporation and certain executive officers (incorporated by reference to Exhibit 10.8.3 of the 2012 Form 10-K). 10.7.3+ Change of Control Employment Agreement between Capital One Financial Corporation and Richard D. Fairbank (incorporated by reference to Exhibit 10.7.3 of the 2013 Form 10-K). 10.8.1+ Form of Non-Competition Agreement between Capital One Financial Corporation and certain named executive officers (incorporated by reference to Exhibit 10.9 of the 2012 Form 10-K). 10.8.2+ Non-Competition Agreement between Capital One Financial Corporation and R. Scott Blackley, as amended on July 1, 2017 (incorporated by reference to Exhibit 10.1.1 of the Quarterly Report on Form 10-Q for the period ended March 31, 2017). 10.8.3+ Non-Competition Agreement between Capital One Financial Corporation and Michael J. Wassmer (incorporated by reference to Exhibit 10.1.3 of the Quarterly Report on Form 10-Q for the period ended March 31, 2017). 21* Subsidiaries of the Company. 23* Consent of Ernst & Young LLP. 31.1* Certification of Richard D. Fairbank. 31.2* Certification ofAndrew M. Young. 32.1** Certification of Richard D. Fairbank. 32.2** Certification ofAndrew M. Young.

Customer name	Ticker
MGIC Investment Corporation	MTG
Simon Property Group, Inc.	SPG

Supplier name	Ticker
Adobe Inc.	ADBE
Cisco Systems, Inc.	CSCO
Oracle Corporation	ORCL
salesforce.com, inc.	CRM
JPMorgan Chase & Co.	JPM
Canaan Inc.	CAN
Mastercard Incorporated	MA
Canaan Inc.	CAN

COF 10-K Fiscal year ended Dec. 31, 2021

Exhibits