COF 10-Q Quarterly Report March 31, 2021 | Alphaminr
CAPITAL ONE FINANCIAL CORP
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COF 10-Q Quarter ended March 31, 2021

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CAPITAL ONE FINANCIAL CORP
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TABLE OF CONTENTS
Part I Financial InformationItem 2. Management S Discussion and Analysis Of Financial Condition and Results Of Operations ( Md&a )Note 1 Summary Of Significant Accounting PoliciesNote 2 Investment SecuritiesNote 3 LoansNote 4 Allowance For Credit Losses and Reserve For Unfunded Lending CommitmentsNote 5 Variable Interest Entities and SecuritizationsNote 6 Goodwill and Intangible AssetsNote 7 Deposits and BorrowingsNote 8 Derivative Instruments and Hedging ActivitiesNote 9 Stockholders EquityNote 10 Earnings Per Common ShareNote 11 Fair Value MeasurementNote 12 Business Segments and Revenue From Contracts with CustomersNote 13 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

3.1 Restated Certificate of Incorporation of Capital One Financial Corporation (as restated May 1, 2020) (incorporated by reference to Exhibit 3.2 of the Current Report on Form8-K, filed on May 4, 2020). 3.2 Amended and Restated Bylaws of Capital One Financial Corporation, dated May 1, 2020 (incorporated by reference to Exhibit 3.3 of the Current Report on Form 8-K, filed on May 4, 2020). 3.3.1 Certificate of Designations of Fixed-to-Floating Rate Non-Cumulative Perpetual Preferred Stock, Series E, dated May 12, 2015 (incorporated by reference to Exhibit 3.1 of the Current Report on Form 8-K, filed on May 14, 2015). 3.3.2 Certificate of Designations of Fixed Rate Non-Cumulative Perpetual Preferred Stock, Series G, dated July 28, 2016 (incorporated by reference to Exhibit 3.1 of the Current Report on Form 8-K, filed on July 29, 2016). 3.3.3 Certificate of Designations of Fixed Rate Non-Cumulative Perpetual Preferred Stock, Series H, dated November 28, 2016 (incorporated by reference to Exhibit 3.1 of the Current Report on Form 8-K, filed on November 29, 2016). 3.3.4 Certificate of Designations of Fixed Rate Non-Cumulative Perpetual Preferred Stock, Series I, dated September 10, 2019 (incorporated by reference to Exhibit 3.1 of the Current Report on Form 8-K, filed on September 11, 2019). 3.3.5 Certificate of Designations of Fixed Rate Non-Cumulative Perpetual Preferred Stock, Series J, dated January 30, 2020 (incorporated by reference to Exhibit 3.1 of the Current Report on Form 8-K, filed on January 31, 2020). 3.3.6 Certificate of Designations of Fixed Rate Non-Cumulative Perpetual Preferred Stock, Series K, dated September 16, 2020 (incorporated by reference to Exhibit 3.1 of the Current Report on Form 8-K, filed on September 17, 2020). 3.3.7 Certificate of Designations of Fixed Rate Non-Cumulative Perpetual Preferred Stock, Series L, dated May3, 2021 (incorporated by reference to Exhibit 3.1 of the Current Report on Form 8-K, filed on May 4, 2021). 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 December3, 2009, between Capital One Financial Corporation and Computershare Trust Company, N.A. (incorporated by reference to the Exhibit 4.1 of the Form8-A, filed on December4, 2009). 4.1.3 Deposit Agreement, dated August20, 2012 (incorporated by reference to Exhibit 4.1 of the Current Report on Form 8-K, filed on August20, 2012). 10.1+ Form of Performance Unit Award Agreements granted to our executive officers, including the Chief Executive Officer, under the Fifth Amended and Restated 2004 Stock Incentive Plan on February 4, 2021 (incorporated by reference to Exhibit 10.2.25 of the 2020 Form 10-K). 10.2+ Form of Restricted Stock Unit Award Agreements granted to our executive officers, including the Chief Executive Officer, under the Fifth Amended and Restated 2004 Stock Incentive Plan on February 4, 2021 (incorporated by reference to Exhibit 10.2.26 of the 2020 Form 10-K). 10.3+ Form of Total Shareholder Return Performance Unit Award Agreement granted to our Chief Executive Officer under the Fifth Amended and Restated 2004 Stock Incentive Plan on February 4, 2021 (incorporated by reference to Exhibit 10.2.27 of the 2020 Form 10-K). 31.1* Certification of Richard D. Fairbank. 31.2* Certification ofAndrewM.Young. 32.1** Certification of Richard D. Fairbank. 32.2** Certification ofAndrewM.Young.