Document:

EX-4.2

 Exhibit 4.2 

3.900% SENIOR NOTE DUE 2024 
 THIS IS A SECURITY
IN GLOBAL FORM WITHIN THE MEANING OF THE SENIOR INDENTURE REFERRED TO HEREINAFTER. 
 UNLESS THIS CERTIFICATE IS PRESENTED BY AN AUTHORIZED REPRESENTATIVE
OF THE DEPOSITORY TRUST COMPANY, A NEW YORK CORPORATION (THE “DEPOSITARY”) TO THE COMPANY OR ITS AGENT FOR REGISTRATION OF TRANSFER, EXCHANGE OR PAYMENT, AND ANY CERTIFICATE ISSUED IS REGISTERED IN THE NAME OF CEDE & CO. OR
IN SUCH OTHER NAME AS IS REQUESTED BY AN AUTHORIZED REPRESENTATIVE OF THE DEPOSITARY (AND ANY PAYMENT IS MADE TO CEDE & CO. OR TO SUCH OTHER ENTITY AS IS REQUESTED BY AN AUTHORIZED REPRESENTATIVE OF THE DEPOSITARY), ANY TRANSFER, PLEDGE OR
OTHER USE HEREOF FOR VALUE OR OTHERWISE BY OR TO ANY PERSON IS WRONGFUL INASMUCH AS THE REGISTERED OWNER HEREOF, CEDE & CO., HAS AN INTEREST HEREIN. 

TRANSFERS OF THIS GLOBAL SECURITY SHALL BE LIMITED TO TRANSFERS IN WHOLE, BUT NOT IN PART, TO NOMINEES OF THE DEPOSITARY OR TO A SUCCESSOR THEREOF OR SUCH
SUCCESSOR’S NOMINEE AND TRANSFERS OF PORTIONS OF THIS GLOBAL SECURITY SHALL BE LIMITED TO TRANSFERS MADE IN ACCORDANCE WITH THE RESTRICTIONS SET FORTH IN THE SENIOR INDENTURE REFERRED TO ON THE REVERSE HEREOF. 

THIS SECURITY IS NOT A SAVINGS ACCOUNT, DEPOSIT OR OTHER OBLIGATION OF A BANK AND IS NOT INSURED BY THE FDIC OR ANY OTHER GOVERNMENTAL AGENCY OR
INSTRUMENTALITY. 
  

			
	CUSIP No. 14040H CA1	  	
	ISIN No. US14040HCA14	  	
	No. [    ]	  	Principal Amount $[        ]

 CAPITAL ONE FINANCIAL CORPORATION 

3.900% SENIOR NOTES DUE 2024 

Capital One Financial Corporation, a Delaware corporation (the “Company”), for value received, hereby promises to pay to
Cede & Co. or registered assigns the principal sum of [                ] United States Dollars, at the Company’s office or agency for said purposes, on
January 29, 2024 (the “Stated Maturity”). 
 Interest Payment Dates: January 29 and July 29 

Regular Record Dates: The fifteenth calendar day (whether or not a business day) immediately preceding the relevant Interest Payment Date 

 Reference is made to the further provisions set forth on the reverse hereof, including the
definitions of certain capitalized terms. Such further provisions shall for all purposes have the same effect as though fully set forth at this place. 

This Security shall not be valid or obligatory until the certificate of authentication hereon shall have been duly signed by the Trustee
acting under the Senior Indenture. 

 IN WITNESS WHEREOF, the Company has caused this instrument to be duly executed. 

Dated: 
  

			
	 CAPITAL ONE FINANCIAL
CORPORATION

 
			
		
	 By:
	 	  

	 Name:
	 	
	 Title:
	 	

  

			
		
	 Attest By:
	 	  

	 Name:
	 	
	 Title:
	 	

 [Company’s Signature Page to Senior Note 2024 R-1] 

 TRUSTEE’S CERTIFICATE OF AUTHENTICATION 

This is one of the Securities issued under the within-mentioned Senior Indenture. 

Dated: 
  

			
	 THE BANK OF NEW YORK MELLON TRUST
COMPANY, N.A., as Trustee

		
	By:	 	  

		 	Authorized Signatory

 [Trustee’s Signature Page to Senior Note 2024 R-1] 

 REVERSE OF SECURITY 

Capital One Financial Corporation 

3.900% Senior Notes Due 2024 

This Security is one of a duly authorized issue of debt securities of the Company, of the series hereinafter specified, all issued or to be
issued under a Senior Indenture, dated as of November 1, 1996 (the “Senior Indenture”), and duly executed and delivered by the Company to The Bank of New York Mellon Trust Company, N.A., formerly known as The Bank of New York
Trust Company, N.A., as successor to Harris Trust and Savings Bank, as trustee (hereinafter, the “Trustee”). Reference to the Senior Indenture and the Officers’ Certificate thereunder establishing the terms of this Security is
hereby made for a description of the respective rights and duties thereunder of the Trustee, the Company and the Holders of the Securities. This Security is one of a series designated as the “3.900% Senior Notes Due 2024” of the Company
(hereinafter called the “Notes”), issued under the Senior Indenture. Each Holder by accepting a Note, agrees to be bound by all terms and provisions of the Senior Indenture, as amended from time to time, applicable to the Notes.

 Neither the Senior Indenture nor the Notes limit or otherwise restrict the amount of indebtedness which may be incurred or other
securities which may be issued by the Company. The Notes issued under the Senior Indenture are direct, unsecured obligations of the Company and will mature on January 29, 2024. The Notes rank on parity with all other unsecured, unsubordinated
indebtedness of the Company. 
 The Company promises to pay interest on the principal amount of this Security at the rate of 3.900% per
annum. The Company will pay interest semi-annually in arrears on January 29 and July 29 of each year (each, an “Interest Payment Date”), commencing on July 29, 2019. Interest on this Security will accrue from
January 29, 2019 or from the most recent January 29 or July 29, as the case may be, to which interest on the Notes has been paid or duly provided for, until payment of said principal sum has been made or duly provided for. Interest on
the Notes will be computed on the basis of a 360-day year of twelve 30-day months. The Company will pay interest to the Person in whose name this Security is registered
at the close of business on the fifteenth calendar day (whether or not a business day) immediately preceding the relevant Interest Payment Date, except that the Company will pay the interest payable at the Stated Maturity of this Security to the
Person or Persons to whom principal is payable. The Company will pay interest in such coin or currency of the United States of America as at the time of payment shall be legal tender for the payment of public and private debts. The Company will make
payments in respect of Notes in global form (including principal and interest) to the Holder thereof or a nominee of the Holder, by wire transfer of immediately available funds as of the close of business on the date such payments are due. 

If the Company defaults in the payment of interest due on any Interest Payment Date after taking into account any applicable grace period,
such defaulted interest shall be paid as set forth in the Senior Indenture. 
 The Notes are not entitled to any sinking fund. 

 The Notes are subject to defeasance pursuant to Section 402 of the Senior Indenture.

 The Notes are not convertible into common stock of the Company. 

At any time on or after December 29, 2023 (the “Redemption Date”), the Notes will be redeemable at the option of the
Company, upon not less than 10 nor more than 60 days’ prior notice given to the holders of the Notes to be redeemed, at a redemption price equal to 100% of the principal amount of the Notes to be redeemed plus in each case accrued and unpaid
interest to the Redemption Date. 
 If money sufficient to pay the redemption price of and accrued interest on the Notes (or portions
thereof) to be redeemed on the Redemption Date is deposited with the Trustee on or before the Redemption Date and certain other conditions are satisfied, then on and after the Redemption Date, interest will cease to accrue on such Notes (or such
portion thereof) called for redemption and such Notes will cease to be outstanding. If the Redemption Date is not a business day, the Issuer will pay the redemption price on the next business day without any interest or other payment due to the
delay. 
 If fewer than all of the Notes are to be redeemed, the Depository will select the Notes for redemption on a pro rata basis, by lot
or by such other method in accordance with the procedures of the Depository. No Notes of $2,000 or less will be redeemed in part. 
 In case
an Event of Default shall have occurred and is continuing with respect to the Notes, the principal hereof may be declared, and upon such declaration shall become, due and payable, in the manner, with the effect and subject to the conditions provided
in the Senior Indenture. The Senior Indenture provides that in certain circumstances such declaration and its consequences may be waived by the Holders of not less than a majority in aggregate principal amount of the Notes then Outstanding. However,
any such consent or waiver by the Holder shall not affect any subsequent default or impair any right consequent thereon. 
 The Senior
Indenture permits the Company and the Trustee, without the consent of the Holders of the Notes for certain situations and with the consent of not less than two-thirds of the Holders in aggregate principal
amount of the Outstanding Notes of each series affected by such supplemental indenture in other situations, to execute supplemental indentures adding to, modifying, or changing various provisions of, the Senior Indenture; provided that no such
supplemental indenture, without the consent of the Holder of each Outstanding Note affected thereby, shall (i) change the Stated Maturity of the principal of or any installment of interest on the Notes; (ii) reduce the principal amount
thereof or the rate of interest thereon, or adversely affect the right of repayment of any Holder; (iii) change the Place of Payment or Currency in which the principal of or interest on the Notes is payable, or impair the right to institute
suit for the enforcement of any payment on or after the Stated Maturity thereof; (iv) reduce the percentage in principal amount of the Outstanding Notes, the consent of whose Holders is required for any such supplemental indenture, or the
consent of whose Holders is required for any waiver (of compliance with certain provisions of the Senior Indenture or certain defaults thereunder and their consequences) provided for in the Senior Indenture, or reduce the requirements of
Section 1504 for quorum or voting; or (v) modify any of the provisions of Sections 902, 513 or 1008 of the Senior Indenture, except to increase any such percentage or provide that certain other provisions of the Senior Indenture cannot be
modified or waived without the consent of the Holder of each Outstanding Note affected thereby. 

 The Company may omit in any particular instance to comply with any term, provision or
condition set forth in Section 1005, 1006 or 1007 of the Senior Indenture, if before the time it would have to comply, the Holders of at least a majority in principal amount of the Outstanding Notes, by act of such Holders, either shall waive
such compliance in such instance or generally shall have waived compliance with such term, provision or condition, but no such waiver shall extend to or affect such term, provision or condition except to the extent so expressly waived, and, until
such waiver shall become effective, the obligations of the Company and the duties of the Trustee in respect of any such term, provision or condition shall remain in full force and effect. 

No reference herein to the Senior Indenture and no provision of this Security or of the Senior Indenture shall alter or impair the obligations
of the Company, which are absolute and unconditional, to pay the principal of or interest on this Security at the respective times and at the rate herein prescribed. 

The Notes are issuable in registered form without coupons in minimum denominations of $2,000 and in integral multiples of $1,000 in excess
thereof. A Holder may exchange the Notes for a like aggregate principal amount of Notes of other authorized denominations in the manner and subject to the limitations provided in the Senior Indenture. 

Upon due presentment for registration of transfer of the Notes at the office or agency for said purpose of the Company, a new Note or Notes of
authorized denominations, for a like aggregate principal amount, will be issued to the transferee as provided in the Senior Indenture. No service charge shall be made for any such transfer, but the Company may require payment of a sum sufficient to
cover any tax or other governmental charge that may be imposed in relation thereto. 
 Prior to due presentation of this Security for
registration of transfer, the Company, the Trustee, and any agent of the Company or the Trustee, may deem and treat the Holder hereof as the owner of this Security (whether or not any payment with respect to this Security shall be overdue), for the
purpose of receiving payment of principal of and (subject to the provisions of the Senior Indenture) interest hereon and for all other purposes whatsoever, whether or not any payment with respect to this Security shall be overdue, and neither the
Company, nor the Trustee nor any agent of the Company or the Trustee shall be affected by notice to the contrary. 
 No recourse shall be
had for the payment of the principal of or interest on this Security, for any claim based hereon, or otherwise in respect hereof, or based on or in respect of the Senior Indenture or any indenture supplemental thereto, or because of the creation of
any indebtedness represented thereby, against any incorporator, shareholder, officer or director, as such, past, present or future, of the Company or of any successor corporation, either directly or through the Company or any successor corporation,
whether by virtue of any constitution, statute or rule of law or by the enforcement of any assessment or penalty or otherwise, all such liability being, by the acceptance hereof and as part of the consideration for the issue hereof, expressly waived
and released. 

 THIS SECURITY SHALL BE GOVERNED BY, AND CONSTRUED IN ACCORDANCE WITH, THE LAW OF THE STATE
OF NEW YORK. 
 All terms used in this Security (and not otherwise defined in this Security) that are defined in the Senior Indenture
shall have the meanings assigned to them in the Senior Indenture.EX-10.5

 Exhibit 10.5 

January 26, 2019 
 Arnon Rosenthal, Ph.D. 

151 Oyster Point Blvd. #300 
 South San Francisco, CA 94080 

Re: Confirmatory Employment Letter 
 Dear Arnon: 

This letter agreement (the “Agreement”) is entered into between Arnon Rosenthal (“you”) and Alector, Inc. (the
“Company” or “we”), effective as of January 25, 2019 (the “Effective Date”), to confirm the terms and conditions of your employment with the Company as of the Effective Date. This Agreement supersedes and replaces
any and all employment terms, compensation, or benefits you may have had or to which you may have been entitled prior to the Effective Date. 
  

	1.	 Title; Position. You will continue to serve as the Company’s Chief Executive Officer. You also will
continue to report to the Board (as defined below) and will perform the duties and responsibilities customary for such position and such other related duties as are lawfully assigned by the Board. While you render services to the Company, you will
not engage in any other employment, consulting, or other business activity (whether full-time or part-time) that would create a conflict of interest with the Company. You may engage in civic and not-for-profit activities as long as such activities do not interfere with the performance of your duties under this Agreement. By signing this Agreement, you confirm that you have no contractual commitments
or other legal obligations that would prohibit you from performing your duties for the Company. 

  

	2.	 Base Salary. As of the Effective Date, your annual base salary will be $395,900, which will be payable,
less any applicable withholdings, in accordance with the Company’s normal payroll practices. Your annual base salary will be subject to review and adjustment from time to time by the Company’s Board of Directors (the “Board”) or
its Compensation Committee (the “Committee”), as applicable, in its sole discretion. 

  

	3.	 Annual Bonus. As of the Effective Date, you will have the opportunity to earn a target annual cash bonus
equal to 40% of your annual base salary earned during the fiscal year, based on achieving performance objectives established by the Board or Committee, as applicable, in its sole discretion and payable upon achievement of those objectives as
determined by the Board or the Committee. Unless determined otherwise by the Board or Committee, as applicable, any such bonus will be subject to your continued employment through and until the date of payment. Your annual bonus opportunity and the
applicable terms and conditions may be adjusted from time to time by the Board or the Committee, as applicable, in its sole discretion. 

  

	4.	 Equity Awards. You will be eligible to receive awards of stock options, restricted stock units or other
equity awards pursuant to any plans or arrangements the Company may have in effect from time to time. The Board or Committee, as applicable, will determine in its sole discretion whether you will be granted any such equity awards and the terms of
any such award in accordance with the terms of any applicable plan or arrangement that may be in effect from time to time. 

  

	5.	 Employee Benefits. You will continue to be eligible to participate in the benefit plans and programs
established by the Company for its employees from time to time, subject to their applicable terms and conditions, including without limitation any eligibility requirements. The Company reserves the right to modify, amend, suspend, or terminate the
benefit plans and programs it offers to its employees at any time. 

  

	6.	 Severance. You will be eligible to enter into a Change in Control and Severance Agreement (the
“Severance Agreement”) applicable to you based on your position within the Company. The Severance Agreement will specify the severance payments and benefits you may become entitled to receive in connection with certain qualifying
terminations of your employment with the Company. These protections will supersede all other severance payments and benefits to which you otherwise may be entitled, or may become entitled in the future, under any plan, program, or policy that the
Company may have in effect from time to time. For purposes of clarification, any severance benefits or arrangements that may have applied to you before the Effective Date no longer will apply and you will have no rights or entitlements under any
such plans, programs, agreements, or arrangements. 

  

	7.	 Confidentiality Agreement. As an employee of the Company, you will continue to have access to certain
confidential information of the Company and you may, during the course of your employment, develop certain information or inventions that will be the property of the Company. To protect the interests of the Company, your acceptance of this Agreement
confirms that the terms of the Company’s Invention, Non-Competition and Non-Disclosure Agreement you previously signed with the Company (the “Confidentiality
Agreement”) still apply. 

  

	8.	 At-Will Employment. This Agreement does not imply any right to
your continued employment for any period with the Company or any of its affiliates. Your employment with the Company will continue to be “at will.” It is for no specified term, and may be terminated by you or the Company at any time, with
or without cause or advance notice. 

  

	9.	 Miscellaneous. This Agreement, together with the Confidentiality Agreement, the Severance Agreement and
any outstanding equity awards granted to you by the Company under its 2017 Stock Option and Grant Plan and the applicable award agreements thereunder, constitute the entire agreement between you and the Company regarding the material terms and
conditions of your employment, and they supersede and replace all prior negotiations, representations or agreements between you and the Company. This Agreement may be modified only by a written agreement signed by you and a duly authorized officer
of the Company. 

 [Signature page follows] 

  
 2 

 To confirm the current terms and conditions of your employment, please sign and date in the spaces indicated
and return this Agreement to me. 
  

			
	Sincerely,
	
	Alector, Inc.
		
	By:	 	 /s/ Tillman Gerngross

		 	Tillman Gerngross
		 	Chairperson of the Board

  

	
	Agreed to and accepted:
	
	 /s/ Arnon Rosenthal

	Arnon Rosenthal
	
	Dated: January 26, 2019

  
 3

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