Document:

Form of Notice of Cash Performance Award and Terms and Conditions

 Exhibit 10.2 
 NOTICE OF CASH PERFORMANCE AWARD 
 February 23, 2009 
 PERSONAL AND CONFIDENTIAL 
 [Name] 
 [Title] 
 [Company Address] 
 Dear [Name]: 
 We are pleased to inform you that, as a key employee of
[Operating Company] (the “Company”), you have been granted a performance award under the Fortune Brands, Inc. 2007 Long-Term Incentive Plan (the “Plan”), for the 2009-2011 performance period. The performance period ends on
December 31, 2011. Attached is a copy of the Fortune Brands, Inc. 2007 Long-Term Incentive Plan, Terms and Conditions relating to your performance award, and a Performance Goals Summary. 
 Your performance award is expressed in performance units with a maximum cash value of $1,000 per unit. The final cash value of your units will be determined according to
the actual performance of the Company during the 2009-2011 performance period. The attached Performance Goals Summary sets forth the number of units that you have been awarded, the minimum and maximum value of your units, and the performance goals
that the Company must achieve during the performance period in order for you to receive a payment based on your performance units. After the end of the performance period and based on the results achieved, the value of your performance units will be
paid in a lump sum less applicable taxes. No payment will be made if performance is less than the level required for a payout. 
 Except under the conditions
described in the attachments, which are incorporated by reference and made a part of this performance award, you will forfeit all rights to your performance award if you terminate employment before the completion of the performance period. Please
review the attachments carefully to ensure that you understand the provisions of your performance award. 

 Congratulations on your performance award which affords you the opportunity for financial benefit as well
as the opportunity to contribute significantly to our future performance. Should you have any questions, please call me. 
  

			
	 Sincerely yours,
  
 FORTUNE BRANDS, INC.

		
	By	 	 
		 	 Vice President – Human Resources

  

	Attachments:	Performance Goals Summary 

	    	Schedule of Terms and Conditions of Performance Award 

	    	Fortune Brands, Inc. 2007 Long-Term Incentive Plan 

 CASH PERFORMANCE AWARD 
 TERMS AND CONDITIONS 
 You have been granted a cash performance award under the Fortune
Brands, Inc. 2007 Long-Term Incentive Plan (the “Plan”). The Plan provides long-term incentives to employees of Fortune Brands, Inc. (“Fortune”) and its subsidiaries. 
 The date of the grant, number of units you are awarded, and the minimum, target and maximum unit values are set forth in the Performance Goals Summary (“Summary”) attached to your Notice of Cash Performance
Award. 
 1. Cash Award. Subject to the provisions of paragraphs 3 through 8 below, your cash award will be determined as follows:

 (a) If the performance measures for the Fortune subsidiary that employs you (the “Company”) for the performance
period equal the minimum goal for that performance period as set forth in the attached Summary, the value of each unit awarded to you will be the minimum unit value set forth on the Summary. 
 (b) If the performance measures of the Company for the performance period equal or exceed the maximum goal for that performance period as
set forth in the attached Summary, the value of each unit awarded to you will be the maximum unit value set forth on the Summary. 
 (c) If the performance measures of the Company for the performance period exceed the minimum goal for the performance period, but are less than the maximum goal for the performance period, the value of each unit awarded to you will be
interpolated between the goals set forth in the attached Summary within the range in which the actual performance results fall. 
 (d) No payment will be made for any performance period if the minimum performance goals for the performance period are not attained. 
 Subject to the provisions of paragraphs 3 through 8, the award payable to you will be paid as soon as practicable after the end of the performance period and after the Compensation and Stock Option Committee of Fortune’s Board of
Directors (the “Committee”) certifies the attainment of the performance goals for the performance period pursuant to paragraph 9 below. 
 2. Transferability of Award. This performance award shall not be transferable by you other than by will or by the laws of descent and distribution or pursuant to a domestic relations order approved by the Committee or its Secretary.

 3. Termination of Employment for Death, Disability or Retirement. If your employment by the Company (or Fortune Brands, Inc. or any
of its subsidiaries) terminates during any performance period by reason of your death, disability or retirement, you will be entitled to receive as soon as practicable after the end of that performance period and after the 

  

 1 

 
Committee certifies attainment of the performance goals for that performance period pursuant to paragraph 9, a payment (i) based on the unit value that
would otherwise be payable pursuant to paragraph 1, (ii) prorated for the portion of any relevant performance period ending on the date your employment is so terminated. 
 4. Termination of Employment for Other Reasons. Except as otherwise provided in paragraphs 6 through 8 below, if your employment by the Company
terminates during a performance period other than by reason of your death, disability or retirement, you will not be entitled to any payment pursuant to paragraph 1 with respect to the performance period. 
 5. Forfeiture of Award for Detrimental Activity. If you engage in detrimental activity at any time (whether before or after termination of your
employment), you will not be entitled to any payment under the Plan and you will forfeit all rights with respect to this payment. For purposes of this paragraph 5, “detrimental activity” means willful, reckless or grossly negligent
activity that is determined by the Committee to be detrimental to or destructive of the business or property of the Company, Fortune or any of its subsidiaries. Any such determination of the Committee shall be final and binding for purposes of
the Plan. Notwithstanding the foregoing, no payment shall be forfeited or become not payable by virtue of this paragraph 5 on or after the date of a Change in Control (as defined in the Plan). 
 6. Transfer of Employment; Leave of Absence. For the purposes of this Agreement, (a) a transfer of your employment from the Company to
Fortune or one of its other subsidiaries or vice versa, without an intervening period, shall not be deemed a termination of employment, and (b) if you are granted in writing a leave of absence, you shall be deemed to have remained in the employ
of the Company, Fortune or one of its other subsidiaries during such leave of absence. 
 7. Adjustments. Adjustments (which may be
increases or decreases) may be made by the Committee to the performance goals and measurements applicable to Performance Awards to take into account changes in law and accounting and tax rules and to make such adjustments as the Committee deems
necessary or appropriate to reflect the inclusion or exclusion of the impact of extraordinary or unusual items, events or circumstances, including, without limitation, acquisitions or divestitures by or other material changes in the Company,
provided that no adjustment shall be made which would result in an increase in your compensation if your compensation is subject to the limitation on deductibility under Section 162(m) of the Internal Revenue Code, as amended, or any successor
provision, for the year with respect to which the adjustment occurs. The Committee also may adjust the performance goals and measurements applicable to Performance Awards and thereby reduce the amount to be received by any Participant pursuant to
such Awards if and to the extent that the Committee deems it appropriate, provided that no such reduction shall be made on or after the date of a Change in Control (as defined the Plan). The determination of the Committee as to the terms of any
adjustment made pursuant to this paragraph 7 shall be binding and conclusive upon you and any other person or persons who are at any time entitled to receipt of any payment pursuant to the award. 
  

 2 

 8. Divestiture; Termination of Plan. (a) In the event that your principal employer is a
subsidiary of Fortune that ceases to be such, then your employment shall be deemed to be terminated for all purposes as of the date on which your principal employer ceases to be a subsidiary of Fortune (called the Divestiture Date) and your award
shall become nonforfeitable and shall be paid out as soon as practicable following the Divestiture Date (i) as if the performance period or other applicable conditions or restrictions had been completed or satisfied and based on actual
performance to the extent actual data is available for the performance period and the Company’s forecast in the financial performance outlook report for the remainder of the applicable performance period, but (ii) prorated for the portion
of any relevant performance period ending on the date your employment is so terminated. 
 (b) In the event of a termination of the Plan as
provided therein, then your employment shall be deemed to be terminated for all purposes as of the date of termination of the Plan and the provisions of paragraph 8(a) will apply to your award with the same effect as if the date of termination of
the Plan were a Divestiture Date. 
 9. Committee Certification. As soon as practicable after the end of each performance period, the
Committee shall certify the extent to which the performance goals have been satisfied for the performance period. 
 10. Tax
Withholding. The Company shall have the right to deduct from any payment to you the amount of any federal, state or local income or other taxes required by law to be withheld with respect to such payment. 
 11. Governing Law. These terms and conditions and the award provided for in the Notice of Performance Cash Award shall be governed by and
construed in accordance with the laws of the State of Illinois. 
  

 3Exhibit 4.10.1.1

 Exhibit 4.10.1.1 
 DECLARATION OF TRUST 
 OF 
 CAPITAL ONE CAPITAL V 
 THIS DECLARATION OF TRUST is made as of May 6, 2009
(this “Declaration of Trust”), by and among Capital One Financial Corporation, a Delaware corporation, as sponsor (the “Sponsor”), The Bank of New York Mellon Trust Company, N.A., a national banking association, as institutional
trustee (the “Institutional Trustee”), BNY Mellon Trust of Delaware, a Delaware banking corporation, as Delaware trustee (the “Delaware Trustee,” and together with the Institutional Trustee, the “Issuer Trustees”) and
Thomas A. Feil and Stephen Linehan, as administrative trustees (each an “Administrative Trustee” and jointly, the “Administrative Trustees”). The Sponsor, the Issuer Trustees and the Administrative Trustees hereby agree as
follows: 
 1. The trust created hereby shall be known as “Capital One Capital V” (the “Trust”), in which name the Issuer
Trustees or the Sponsor, to the extent provided herein, may conduct the business of the Trust, make and execute contracts on behalf of the Trust, and sue and be sued on behalf of the Trust. 
 2. The Sponsor hereby assigns, transfers, conveys and sets over to the Trust the sum of $10. Such amount shall constitute the initial trust property. It
is the intention of the parties hereto that the Trust created hereby constitute a statutory trust under Chapter 38 of Title 12 of the Delaware Code, 12 Del. C. § 3801 et seq. (the “Statutory Trust Act”), and that
this Declaration of Trust constitute the governing instrument of the Trust. The Issuer Trustees and the Administrative Trustees are hereby authorized and directed to execute and file a certificate of trust in the office of the Secretary of State of
the State of Delaware in such form as the Issuer Trustees may approve. 
 3. The Sponsor, the Issuer Trustees and the Administrative Trustees
will enter into an amended and restated Declaration of Trust (the “Amended and Restated Declaration of Trust”) satisfactory to each such party, to provide for the contemplated operation of the Trust created hereby and the issuance by the
Trust of the preferred securities and common securities referred to therein. Prior to the execution and delivery of such Amended and Restated Declaration of Trust, the Issuer Trustees shall not have any duty or obligation hereunder or with respect
of the trust property, except as otherwise required by applicable law or as may be necessary to obtain prior to such execution and delivery any licenses, consents or approvals required by applicable law or otherwise. Notwithstanding the foregoing,
the Issuer Trustees may take all actions which the Sponsor deems necessary, convenient or incidental to effect the transactions contemplated herein and as the Issuer Trustees shall be directed in writing by the Sponsor. 
 4. Each of the Sponsor, as the sponsor of the Trust, and any Administrative Trustee is hereby authorized, in its discretion, acting individually or
collectively, (i) to file with the Securities and Exchange Commission (the “Commission”) and execute, in each case on behalf of the Trust, (a) the Registration Statement on such form as the Sponsor determines (the “1933 Act
Registration 

 
Statement”), including any pre-effective or post-effective amendments to the 1933 Act Registration Statement (including the preliminary or final
prospectus, prospectus supplements and the exhibits contained therein), relating to the registration under the Securities Act of 1933, as amended, of any or all of the preferred securities of the Trust and (b) a Registration Statement on such
appropriate form as the Sponsor determines (the “1934 Act Registration Statement”) (including all pre-effective and post-effective amendments thereto) relating to the registration of any or all of the Preferred Securities of the Trust
under the Securities Exchange Act of 1934, as amended; (ii) to file with the New York Stock Exchange or any other national stock exchange or The Nasdaq National Market (each, an “Exchange”) and execute on behalf of the Trust one or
more listing applications and all other applications, statements, certificates, agreements and other instruments as shall be necessary or desirable to cause any or all of the Preferred Securities to be listed on any of the Exchanges; (iii) to
file and execute on behalf of the Trust such applications, reports, surety bonds, irrevocable consents, appointments of attorney for service of process and other papers and documents as shall be necessary or desirable to register any or all of the
Preferred Securities under the securities or blue sky laws of such jurisdictions as the Sponsor, on behalf of the Trust, may deem necessary or desirable; (iv) to execute and deliver letters or documents to, or instruments for filing with, a
depository relating to any or all of the Preferred Securities; and (v) to execute on behalf of the Trust that certain Underwriting Agreement relating to any or all of the Preferred Securities, among the Trust, the Sponsor and the several
Underwriters named therein, substantially in the form included as an exhibit to the 1933 Act Registration Statement. In the event that any filing referred to in clauses (i), (ii) or (iii) above is required by the rules and regulations of
the Commission, an Exchange or state securities or blue sky laws, to be executed on behalf of the Trust by any of the Administrative Trustees, each of the Administrative Trustees is hereby directed to join in any such filing and to execute on behalf
of the Trust any and all of the foregoing. 
 5. This Declaration of Trust may be executed in one or more counterparts, each of which when so
executed shall be deemed to be an original, but all such counterparts shall together constitute but one and the same instrument. 
 6. The
number of trustees of the Trust initially shall be four and thereafter the number of trustees of the Trust shall be such number as shall be fixed from time to time by a written instrument signed by the Sponsor which may increase or decrease the
number of trustees of the Trust; provided, however, that to the extent required by the Statutory Trust Act, one trustee of the Trust shall either be a natural person who is a resident of the State of Delaware or, if not a natural person, an entity
which has its principal place of business in the State of Delaware and otherwise meets the requirements of applicable Delaware law. Subject to the foregoing, the Sponsor is entitled to appoint or remove without cause any trustee of the Trust at any
time. Any trustee of the Trust may resign upon thirty (30) days’ prior notice to the Sponsor. 
 7. The Sponsor hereby agrees, to
the fullest extent permitted by applicable law, to (i) reimburse the Issuer Trustees for all reasonable expenses (including reasonable fees and expenses of counsel and other experts) and (ii) indemnify, defend and hold harmless the Issuer
Trustees and any of the officers, directors, employees and agents of the Issuer Trustees (the “Indemnified Persons”) from and against any and all losses, damages, liabilities, claims, actions, suits, costs, expenses, disbursements
(including the reasonable fees and expenses of counsel), taxes and penalties of any 

  

 2 

 
kind and nature whatsoever (collectively, “Expenses”), to the extent that such Expenses arise out of or are imposed upon or asserted at any time
against such Indemnified Persons with respect to the performance of this Declaration of Trust, the creation, operation or termination of the Trust or the transactions contemplated hereby; provided, however, that the Sponsor shall not be required to
indemnify any Indemnified Person for any Expenses which are a result of the willful misconduct, bad faith or negligence of such Indemnified Person. 
 8. The Trust may be dissolved without issuing any preferred securities at the election of the Sponsor. 
 9. This Declaration shall
be governed by, and construed in accordance with, the laws of the State of Delaware (without regard to conflict of laws principles). 
 [SIGNATURE PAGES FOLLOW] 
  

 3 

 IN WITNESS WHEREOF, the parties hereto have caused this Declaration of Trust to be duly executed as of
the day and year first above written. 
  

			
	CAPITAL ONE FINANCIAL CORPORATION, as Sponsor
		
	By:	 	 /s/ Gary Perlin

	Name:	 	Gary Perlin
	Title:	 	Chief Financial Officer
	
	THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A., as Institutional Trustee
		
	By:	 	 /s/ D.G. Donovan

	Name:	 	D.G. Donovan
	Title:	 	Vice President
	
	BNY MELLON TRUST OF DELAWARE, as Delaware Trustee
		
	By:	 	 /s/ Kristine K. Gullo

	Name:	 	Kristine K. Gullo
	Title:	 	Vice President
	
	 /s/ Thomas A. Feil

	Thomas A. Feil, as Administrative Trustee
	
	 /s/ Stephen Linehan

	Stephen Linehan, as Administrative Trustee

  

 4

Source: [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00158-of-00352.parquet"}, [{"source": "alea-institute/alea-institute/kl3m-data-edgar-agreements/train-00158-of-00352.parquet"}]]