Document:

Form of senior debt security-medium-term note

 Exhibit 4.01 
 LEHMAN BROTHERS HOLDINGS INC. 
 100% Principal Protection 1.985% Notes Linked to a Basket of Asian Indices Due June 29,
2012 
  

			
	 Number R-1
	  	$150,000
	 ISIN US52517P3C36
	  	CUSIP 52517P3C3

 See Reverse for Certain Definitions 
 THIS SECURITY (THIS “SECURITY”) IS A GLOBAL SECURITY WITHIN THE MEANING OF THE INDENTURE HEREINAFTER REFERRED TO AND IS REGISTERED IN
THE NAME OF A DEPOSITORY OR A NOMINEE THEREOF. UNLESS AND UNTIL IT IS EXCHANGED IN WHOLE OR IN PART FOR SECURITIES IN CERTIFICATED FORM, THIS SECURITY MAY NOT BE TRANSFERRED EXCEPT AS A WHOLE BY THE DEPOSITORY TO A NOMINEE OF THE DEPOSITORY OR BY A
NOMINEE OF THE DEPOSITORY TO SUCH DEPOSITORY OR ANOTHER NOMINEE OF THE DEPOSITORY OR BY THE DEPOSITORY OR ANY SUCH NOMINEE TO A SUCCESSOR DEPOSITORY OR A NOMINEE OF SUCH SUCCESSOR DEPOSITORY. UNLESS THIS SECURITY IS PRESENTED BY AN AUTHORIZED
REPRESENTATIVE OF THE DEPOSITORY TO LEHMAN BROTHERS HOLDINGS INC. OR ITS AGENT FOR REGISTRATION OF TRANSFER, EXCHANGE OR PAYMENT, AND ANY SECURITY ISSUED IS REGISTERED IN THE NAME OF CEDE & CO. OR IN SUCH OTHER NAME AS REQUESTED BY AN
AUTHORIZED REPRESENTATIVE OF THE DEPOSITORY (AND ANY PAYMENT IS MADE TO CEDE & CO. OR TO SUCH OTHER ENTITY AS IS REQUESTED BY AN AUTHORIZED REPRESENTATIVE OF THE DEPOSITORY), 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. 
 LEHMAN BROTHERS
HOLDINGS INC., a corporation duly organized and existing under the laws of the State of Delaware (hereinafter called the “Company”), for value received, hereby promises to pay to CEDE & CO. or registered assigns, at the
office or agency of the Company in the Borough of Manhattan, The City of New York, on the Maturity Date, in such coin or currency of the United States of America at the time of payment shall be legal tender for the payment of public and private
debts, for each $1,000 principal amount of the Securities represented hereby, an amount equal to the Payment at Maturity and to make coupon payments on the principal amount hereof, as provided below under “Coupon Payments.” 
 Any amount payable on the Maturity Date hereon will be paid only upon presentation and surrender of this Security. 
 REFERENCE IS HEREBY MADE TO THE FURTHER PROVISIONS OF THIS SECURITY SET FORTH ON THE REVERSE HEREOF WHICH FURTHER PROVISIONS SHALL FOR ALL PURPOSES HAVE
THE SAME EFFECT AS IF SET FORTH AT THIS PLACE. 

 Each Basket Index is a mark of the sponsor of such Basket Index and has been licensed for use by the
Company. The Securities, linked to the performance of the Basket Indices, are not sponsored, endorsed, sold or promoted by the sponsors of the Basket Indices and the sponsors of the Basket Indices make no representation regarding the advisability of
investing in the Securities. 
 This Security shall not be valid or become obligatory for any purpose until the certificate of authentication
hereon shall have been signed by the Trustee under the Indenture referred to on the reverse hereof. 

 IN WITNESS WHEREOF, Lehman Brothers Holdings Inc. has caused this instrument to be signed by its Chairman
of the Board, its President, its Vice Chairman, its Chief Financial Officer, one of its Vice Presidents or its Treasurer, by manual or facsimile signature under its corporate seal, attested by its Secretary or one of its Assistant Secretaries by
manual or facsimile signature. 
  

							
	Dated: June 29, 2007	 		 	
			
	[SEAL]	 		 	LEHMAN BROTHERS HOLDINGS INC.
				
		 		 	By:	 	  
		 		 		 	Vice President
		 		 	Attest:	 	  
		 		 		 	Assistant Secretary

 TRUSTEE’S CERTIFICATE OF AUTHENTICATION 
 This is one of the Securities of the series designated therein referred to in the within-mentioned Indenture. 
  

			
	 CITIBANK, N.A.
 as
Trustee

		
	By:	 	  
		 	        Authorized Officer

 Reverse of Security 
 This Security is one of a duly authorized series of Securities of the Company designated as 100% Principal Protection 1.985% Notes Linked to a Basket of Asian Indices Due June 29, 2012 (herein called the
“Securities”). The Company may, without the consent of the holders of the Securities, create and issue additional securities ranking equally with the Securities and otherwise similar in all respects so that such further securities
shall be consolidated and form a single series with the Securities; provided that no additional securities can be issued if an Event of Default has occurred with respect to the Securities. This series of Securities is one of an indefinite number of
series of debt securities of the Company, issued and to be issued under an indenture, dated as of September 1, 1987, as amended (herein called the “Indenture”), duly executed and delivered by the Company and Citibank, N.A., as
trustee (herein called the “Trustee”, which term includes any successor trustee under the Indenture), to which Indenture and all indentures supplemental thereto reference is hereby made for a description of the rights, limitations
of rights, obligations, duties and immunities thereunder of the Company, the Trustee and the Holders of the Securities. 
 The Payment at
Maturity and the amount to be paid on each Coupon Payment Date, at the request of the Trustee, shall be determined by the Calculation Agent pursuant to the Calculation Agency Agreement. The Trustee shall fully rely on the determinations by the
Calculation Agent of the Payment at Maturity and the amount to be paid on each Coupon Payment Date and shall have no duty to make any such determinations. The Calculation Agent will provide written notice to the Trustee at its New York office, on
which notice the Trustee may conclusively rely, of the Payment at Maturity and the amount to be paid on each Coupon Payment Date on or prior to 11:00 a.m. on the Business Day preceding the Maturity Date and each Coupon Payment Date. 
 All calculations with respect to the Basket Ending Level and the Basket Return (including each Index Return) will be rounded to the nearest one
hundred-thousandth, with five one-millionths rounded upward (e.g., .876545 would be rounded to .87655); all dollar amounts related to determination of the Additional Amount payable at maturity, if any, per $1,000 principal amount Security
will be rounded to the nearest ten-thousandth, with five one hundred-thousandths rounded upward (e.g., .76545 would be rounded up to .7655); and all dollar amounts paid on the aggregate principal amount of Securities per Holder will be
rounded to the nearest cent, with one-half cent rounded upward. 
 This Security is not subject to any sinking fund. 
 If an Event of Default with respect to the Securities shall occur and be continuing, the amounts payable on all of the Securities may be declared due and
payable in the manner and with the effect provided in the Indenture. The amount payable to the Holder hereof upon any acceleration permitted under the Indenture will be equal to $1,000.00, plus the Additional Amount and, if applicable, any accrued
and unpaid coupon payments on the Securities. The Additional Amount will be calculated as though the date of acceleration were the Maturity Date and the fifth Business Day immediately preceding the date of acceleration were the Final Valuation Date.
Upon any acceleration of the Securities, any coupon payment will be calculated on the basis of a 360-day year consisting of twelve 30-day months and the actual number of days 

 
elapsed from and including the previous Coupon Payment Date for which a coupon payment was made. If the maturity of the Securities is accelerated because of
an Event of Default, the Company shall, or shall cause the Calculation Agent to, provide written notice to the Trustee at its New York office, on which notice the Trustee may conclusively rely, and to The Depository Trust Company of the cash amount
due with respect to the Securities as promptly as possible and in no event later than two Business Days after the date of acceleration. 
 The Indenture contains provisions permitting the Company and the Trustee, with the consent of the
holders of not less than 66 2/3% in aggregate principal amount of each series of Securities at the time
Outstanding to be affected (each series voting as a class), evidenced as in the Indenture provided, to execute supplemental indentures adding any provisions to, or changing in any manner or eliminating any of the provisions of the Indenture or of
any supplemental indenture or modifying in any manner the rights of the holders of the Securities of all such series; provided, however, that no such supplemental indenture shall, among other things, (i) change the fixed
maturity of any Security, or reduce the principal amount thereof, or reduce the rate or extend the time of payment of interest thereon, if any, or reduce any premium payable on redemption, or make the principal thereof, or premium, if any, or
interest thereon, if any, payable in any coin or currency other than that hereinabove provided, without the consent of the holder of each Security so affected, or (ii) change the place of payment on any Security, or impair the right to
institute suit for payment on any Security, or reduce the aforesaid percentage of Securities, the holders of which are required to consent to any such supplemental indenture, without the consent of the holders of each Security so affected. It is
also provided in the Indenture that, prior to any declaration accelerating the maturity of any series of Securities, the holders of a majority in aggregate principal amount of the Securities of such series Outstanding may on behalf of the holders of
all the Securities of such series waive any past default or Event of Default under the Indenture with respect to such series and its consequences, except a default in the payment of interest, if any, or the principal of, or premium, if any, on any
of the Securities of such series, or in the payment of any sinking fund installment or analogous obligation with respect to Securities of such series. Any such consent or waiver by the Holder of this Security shall be conclusive and binding upon
such Holder and upon all future holders and owners of this Security and any Securities which may be issued in exchange or substitution hereof, irrespective of whether or not any notation thereof is made upon this Security or such other Securities.

 No reference herein to the Indenture and no provision of this Security or of the Indenture shall alter or impair the obligation of
the Company, which is absolute and unconditional, to pay the Payment at Maturity and coupon payments with respect to this Security. 
 The
Securities are issuable in denominations of $1,000 and any whole multiples of $1,000. 
 The Company, the Trustee, and any agent of the
Company or of the Trustee may deem and treat the registered holder (the “Holder”) hereof as the absolute owner of this Security (whether or not this Security shall be overdue and notwithstanding any notation of ownership or other writing
hereon), for the purpose of receiving payment hereof, or on account hereof, and for all other purposes and neither the Company nor the Trustee nor any agent of the Company or of the Trustee shall be affected by any notice to the contrary. All such
payments made to or upon the order of such registered holder shall, to the extent of the sum or sums paid, effectually satisfy and discharge liability for moneys payable on this Security. 
 No recourse for the payment of the principal of, premium, if any, or interest on this Security, or for any claim based hereon or otherwise in respect
hereof, and no recourse under 

 
or upon any obligation, covenant or agreement of the Company in the Indenture or any indenture supplemental thereto or in any Security, or because of the
creation of any indebtedness represented thereby, shall be had against any incorporator, stockholder, 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. 
 As provided in the Indenture and subject to certain limitations therein set forth, the
transfer of this Security is registrable in the Security Register, upon surrender of this Security for registration of transfer at the Corporate Trust Office or agency in a Place of Payment for this Security, duly endorsed by, or accompanied by a
written instrument of transfer in form satisfactory to the Company and the Security Registrar duly executed by, the Holder hereof or such Holder’s attorney duly authorized in writing, and thereupon one or more new Securities of this series or
of like tenor and of authorized denominations and for the same aggregate principal amount, will be issued to the designated transferee or transferees. 
 The Company agrees, and by acceptance of beneficial ownership interest in the Securities of this series, each Holder of such Securities will be deemed to have agreed, for United States federal income tax purposes,
(i) to treat the Securities of this series as indebtedness that is subject to Treas. Reg. Sec. 1.1275-4 (the “Contingent Payment Regulations”) and (ii) to be bound by the Company’s determination of the “comparable
yield” and “projected payment schedule,” within the meaning of the Contingent Payment Regulations, with respect to the Securities of this series. The Company has determined that the comparable yield is an annual rate of 5.7135%
compounded semiannually. Based on the comparable yield, the projected payment schedule per $1,000 Security consists of the fixed quarterly coupon payments and $1,216.47 due at maturity. 
 THE INDENTURE AND THIS SECURITY SHALL BE GOVERNED BY AND CONSTRUED IN ACCORDANCE WITH THE LAWS OF THE STATE OF NEW YORK. 
 Definitions 
 Set forth below are definitions of the
terms used in this Security. 
 “Additional Amount”, as calculated by the Calculation Agent, per $1,000 principal amount Security
paid at maturity shall equal $1,000 x the Basket Return x the Participation Rate; provided that the Additional Amount will not be less than zero. 
 “Basket” shall mean the basket of three indices to which the Securities are linked. The
Basket consists of the Nikkei 225SM Index, the MSCI Singapore Free IndexSM and the MSCI TaiwanSM
Index. 
 “Basket Closing Level”, as calculated by the Calculation Agent, is calculated as follows: 
 Basket Starting Level x [1 + (the sum of (Index Return x Index Weighting) for all Basket Indices)] 

 “Basket Ending Level,” as calculated by the Calculation Agent, is equal to the Basket Closing
Level on the Final Valuation Date. 
 “Basket Index” refers to each of the
Nikkei 225SM Index, the MSCI Singapore Free IndexSM and the MSCI TaiwanSM
Index or any successor to any of the foregoing. 
 “Basket Return” as calculated by the Calculation Agent, is calculated as
follows: 
  

					
		 	Basket Ending Level –Basket Starting Level	 	
	 	Basket Starting Level	 

 “Basket Starting Level” equals 100. 
 “Business Day”, notwithstanding any provision in the Indenture, shall mean any day that is not a Saturday or Sunday and that is not a day on
which banking institutions in the City of New York are authorized or obligated by law to close. 
 “Calculation Agency Agreement”
shall mean the Calculation Agency Agreement, dated as of December 21, 2006 between the Company and the Calculation Agent, as amended from time to time, or any successor calculation agency agreement. 
 “Calculation Agent” shall mean the person that has entered into an agreement with the Company providing for, among other things, the
determination of the Payment at Maturity, which term shall, unless the context otherwise requires, include its successors and assigns. The initial Calculation Agent shall be Lehman Brothers Inc. 
 “Closing Price” of a security, on any particular day, means the last reported sales price for that security on the Relevant Exchange at the
scheduled weekday closing time of the regular trading session of the Relevant Exchange. If, however, the security is not listed or traded on a bulletin board, then the Closing Price of the security will be determined using the average execution
price per share that an affiliate of the Company pays or receives upon the purchase or sale of the security used to hedge the Company’s obligations under the Securities. 
 “Company” shall have the meaning set forth on the face of this Security. 
 “Coupon Payment Date” shall mean the 29th day of each March, June, September and December, commencing on September 29, 2007 to, and
including, the Maturity Date. If any Coupon Payment Date falls on a day that is not a Business Day, then any payment required to be made on such Coupon Payment Date will instead be made on the next succeeding Business Day following such scheduled
Coupon Payment Date, unless that day falls in the next calendar month, in which case the Coupon Payment Date will be the first preceding day that is a Business Day. 
 “Coupon Period” is the period beginning on, and including, the issue date of the Securities and ending on, but excluding, the first Coupon Payment Date, and each successive period beginning on, and
including, a Coupon Payment Date and ending on, but excluding, the next succeeding Coupon Payment Date. 
 “Coupon Rate” shall mean
1.985% per annum. 
 “Final Valuation Date” shall mean June 22, 2012; provided, however, that if the Final
Valuation Date is not a Trading Day or if there is a Market Disruption Event on such day, with respect to a Basket Index, the Calculation Agent will: 

	•	 	 with respect to each Basket Index for which such day is a Trading Day and for which a Market Disruption Event has not occurred, determine the closing
level of such Basket Index for use in calculating the Basket Index Ending Level by reference to the closing level of such Basket Index on that Trading Day; and 

  

	•	 	 with respect to each Basket Index for which such day is not a Trading Day or for which a Market Disruption Event has occurred, determine the closing
level of such Basket Index for use in calculating the Basket Index Ending Level by reference to the closing level of such Basket Index on the next Trading Day for such Basket Index on which there is not a Market Disruption Event; provided,
however, if a Market Disruption Event with respect to such Basket Index occurs on each of the eight Trading Days following the originally scheduled Final Valuation Date, then the Calculation Agent shall determine the Closing Level of such Basket
Index for use in calculating the Basket Index Ending Level in accordance with the formula for and method of calculating the closing index level of such Basket Index last in effect prior to commencement of the Market Disruption Event (or prior to the
non-Trading Day), using the closing price (or, if trading in the relevant securities has been materially suspended or materially limited, its good faith estimate of the closing price that would have prevailed but for such suspension or limitation or
non-Trading Day) on such eighth scheduled Trading Day of each security most recently included in the Basket Index. 

 “Holder” shall have the meaning set forth on the reverse of this Security. 
 “Indenture” shall have the meaning
set forth on the reverse of this Security. 
 “Index Closing Level”, as determined by the Calculation Agent, shall mean, with
respect to any Trading Day, the closing level of any Basket Index or any Successor Index, as the case may be, at the regular official weekday close of the principal trading session of the Relevant Exchange or market for the Index or the Successor
Index, as the case may be, on such day, or as determined by the Calculation Agent pursuant to the Calculation Agency Agreement as described below under “Discontinuation of a Basket Index; Alteration of Method of Calculation.” 

“Index Return,” as calculated by the Calculation Agent, is calculated as follows for each Basket Index: 
 Index Ending Level –Index Starting Level 
 Index Starting Level 
 “Index Starting Level” is the closing level of the relevant Basket Index on June 26, 2007.
The Index Starting Level for each of the three Basket Indices is as follows: 
  

			
	 Nikkei 225SM Index
 MSCI Singapore Free IndexSM
 MSCI
TaiwanSM Index
	  	18,066.11
436.20
351.68

 “Index Ending Level” shall equal the Index Closing Level of the relevant Basket Index on
the Final Valuation Date. 
 “Index Weightings” shall mean the weighting for the Basket Indices (each an “Index
Weighting”). The Index Weightings of the three Basket Indices are as follows: 
  

			
	 Nikkei 225SM Index
	  	33.34%

			
	 MSCI Singapore Free IndexSM
 MSCI TaiwanSM Index
	  	33.33%
33.33%

 “Market Disruption Event”, with respect to any of the Basket Indices (or any Successor
Index) shall mean any of the following events has occurred on any day as determined by the Calculation Agent: 
 (1) a suspension, absence or
material limitation of trading of stocks then constituting 20% or more of the level of such Basket Index (or the relevant Successor Index) on the Relevant Exchanges for such securities at any time during the one hour period preceding the close of
the principal trading session on such Relevant Exchange; 
 (2) a breakdown or failure in the price and trade reporting systems of the
primary market of any Relevant Exchange as a result of which the reported trading prices for stocks then constituting 20% or more of the level of such Basket Index (or the relevant Successor Index) at any time during the one hour period preceding
the close of the principal trading session on such Relevant Exchange are materially inaccurate; 
 (3) a suspension, absence or material
limitation of trading on any major securities exchange for trading in futures or options contracts or exchange traded funds related to such Basket Index (or the relevant Successor Index) at any time during the one hour period preceding the close of,
the principal trading session on such exchange; or 
 (4) a decision to permanently discontinue trading in the relevant futures or options
contracts or exchange traded funds; 
 For the purpose of determining whether a Market Disruption Event exists at any time, if trading in a
security included in a Basket Index is materially suspended or materially limited at that time, then the relevant percentage contribution of that security to the level of such Basket Index shall be based on a comparison of: 
 (1) the portion of the level of such Basket Index attributable to that security relative to 
 (2) the overall level of such Basket Index, 
 in each case
immediately before that suspension or limitation. 
 For purposes of determining whether a Market Disruption Event has occurred: 

(1) a limitation on the hours or number of days of trading will not constitute a Market Disruption Event if it results from an announced change in the
regular business hours of the Relevant Exchange or market; 
 (2) limitations pursuant to the rules of any Relevant Exchange similar to NYSE
Rule 80B (or any applicable rule or regulation enacted or promulgated by any other self- regulatory organization or any government agency of scope similar to NYSE Rule 80B as determined by the Calculation Agent in its sole discretion) on trading
during significant market fluctuations will constitute a suspension, absence or material limitation of trading; 

 (3) a suspension of trading in futures or options contracts on the Basket Index by the primary securities
market trading in such contracts by reason of (i) a price change exceeding limits set by such exchange or market, (ii) an imbalance of orders relating to such contracts, or (iii) a disparity in bid and ask quotes relating to such
contracts, will, in each such case, constitute a suspension, absence or material limitation of trading in futures or options contracts related to the Basket Index; and 
 (4) a suspension, absence or material limitation of trading on any Relevant Exchange or on the primary market on which futures or options contracts related to the Basket Index are traded will not include any time when
such market is itself closed for trading under ordinary circumstances. 
 “Maturity Date” shall mean June 29, 2012, unless that day
is not a Business Day, in which case the amount equal to the Payment at Maturity that would otherwise be made on the scheduled Maturity Date will instead be due on the next succeeding Business Day following such scheduled Maturity Date, with the
same effect as if paid on the scheduled Maturity Date; provided, that if due to a non-Trading Day or a Market Disruption Event, the Final Valuation Date is postponed so that it falls less than five Business Days prior to the scheduled Maturity Date,
the Maturity Date will be the fifth Business Day following the Final Valuation Date, as postponed. 
 “NYSE” shall mean The New
York Stock Exchange, Inc. 
 “Participation Rate” shall be equal to 100.00%. 
 “Payment at Maturity”, as calculated by the Calculation Agent, in addition to any accrued and unpaid Coupon Payments, shall equal a cash
payment per $1,000 principal amount Security of $1,000 plus the Additional Amount (which may be zero). 
 “Place of Payment” shall
mean the place or places where the Payment at Maturity on the Securities is payable. 
 “Relevant Exchange” shall mean, for any
security then included in any Basket Index or any Successor Index, the primary exchange, quotation system (which includes bulletin board services) or other market of trading for such security. 
 “Securities” shall have the meaning set forth on the reverse of this Security. 
 “Security” shall have the meaning set forth on the face of this Security. 
 “Successor Index” shall mean a Nikkei 225SM Successor Index, a MSCI Singapore Free Successor IndexSM and a MSCI TaiwanSM Successor Index, each as specified under
“Discontinuation of a Basket Index; Alteration of Method of Calculation” with respect to each Basket Index. 
 “Trade
Date” shall mean June 26, 2007. 
 “Trading Day” means a day, as determined by the Calculation Agent, on which trading is
generally conducted on (i) the Relevant Exchanges for securities included in the Basket Indices (or the relevant Successor Indices) and (ii) the exchanges on which futures or options contracts related to the Basket Indices are traded,
other than a day on which trading is scheduled to close prior to its regular weekday closing time. 

 “Trustee” shall have the meaning set forth on the reverse of this Security. 
 All terms used but not defined in this Security are used herein as defined in the Calculation Agency Agreement or the Indenture. 
 Calculation Agent 
 The Calculation Agent will
determine, among other things, the Basket Ending Level, the Basket Return, the Index Return for each Basket Index, the Additional Amount, if any, the amount that we will pay you at maturity, as well as whether the Basket Ending Level is equal to or
greater than the Basket Starting Level and the amount of interest payable, if any, on any Coupon Payment Date. The Calculation Agent will also be responsible for determining whether a Market Disruption Event has occurred, whether any of the Basket
Indices has been discontinued, whether there has been a material change in the method of calculation of any of the Basket Indices and whether a day is a Coupon Payment Date. All calculations, determinations and adjustments made by the Calculation
Agent will be at the sole discretion of the Calculation Agent and will, in the absence of manifest error, be conclusive for all purposes and binding on Holders and on the Company. The Company may appoint a different Calculation Agent from time to
time after the date of the original issue of the Securities without the Holders’ consent and without notifying Holders. 
 Discontinuation of a
Basket Index; Alteration of Method of Calculation 
 Nikkei 225SM Index 
 If Nikkei Inc. discontinues publication of
the Nikkei 225SM Index and Nikkei Inc. or another entity publishes a successor or substitute index that the
Calculation Agent determines, in its sole discretion, to be comparable to the discontinued Nikkei 225SM Index (an
“Nikkei 225SM Successor Index”), then the Index Closing Level for such Basket Index will be determined by
reference to the level of such Nikkei 225SM Successor Index at the close of trading on the Tokyo Stock Exchange (2nd
session) or the Relevant Exchange or market for the Nikkei 225SM Successor Index on the Final Valuation Date. Upon
any selection by the Calculation Agent of Nikkei 225 SM Successor Index, the Calculation Agent will cause written
notice thereof to be promptly furnished to the Trustee, to the Company and to the Holders. 
 If Nikkei Inc. discontinues publication of the Nikkei 225SM Index prior to, and such discontinuation is
continuing on, the Final Valuation Date, and the Calculation Agent determines, in its sole discretion, that no Nikkei 225SM Successor Index is available at such time, or the Calculation Agent has previously selected an Nikkei 225 SM Successor Index and publication of such Nikkei 225SM Successor Index is discontinued prior to, and
such discontinuation is continuing on, the Final Valuation Date, or if Nikkei Inc. (or the publisher of any Nikkei 225SM Successor Index) fails to calculate and publish an Index Closing Level for the Nikkei 225SM Index
(or any Nikkei 225SM Successor Index) on any date when it would ordinarily do so in accordance with its customary
practice, then the Calculation Agent will determine the Index Closing Level for such date. The Index Closing Level will be computed by the Calculation Agent in accordance with the formula for and method of calculating the Nikkei 225SM Index or Nikkei 225SM Successor Index, as applicable, last in effect prior to such discontinuation or failure to calculate or publish an Index Closing Level for the Nikkei 225SM Index or Nikkei 225SM
Successor Index, as applicable, using the Closing Price (or, if trading in the relevant securities has been materially suspended or materially limited, its good faith estimate of the Closing Price that would have prevailed but for such suspension or
limitation) at the close of the 

 
principal trading session on such date of each security most recently composing the Nikkei 225SM Index or Nikkei 225SM
Successor Index, as applicable. 
 If at any time the method of calculating the Nikkei
225SM Index or an Nikkei 225SM Successor Index, or the level thereof, is changed in a material respect, or if the Nikkei 225SM Index or an Nikkei 225SM Successor Index is in any other way
modified so that the Nikkei 225SM Index or such Nikkei 225SM Successor Index does not, in the opinion of the Calculation Agent, fairly represent the level of the Nikkei 225SM Index or such Nikkei 225SM Successor Index had such changes or modifications not been made, then the Calculation Agent will, at the close of business in New York City on each date on which the Index Closing Level is to be determined, make such calculations
and adjustments as, in the good faith judgment of the Calculation Agent, may be necessary in order to arrive at a level of a stock index comparable to the Nikkei 225SM Index or such Nikkei 225SM Successor Index, as the case may be, as if such changes or modifications had not been made, and the Calculation Agent will calculate the Index Closing Level with reference to the Nikkei 225 SM Index or such Nikkei 225SM Successor Index, as adjusted. Accordingly, if the method of calculating the Nikkei 225SM Index or
an Nikkei 225SM Successor Index is modified so that the level of the Nikkei 225SM Index or such Nikkei 225SM Successor Index is a fraction of what it would have been if there had been no such modification (e.g., due to a split in the Index), then the Calculation Agent will adjust its calculation of the Nikkei 225 SM Index or such Nikkei 225SM Successor Index in order to arrive at a level of the Nikkei 225SM
Index or such Nikkei 225SM Successor Index as if there had been no such modification (e.g., as if such split
had not occurred). 
 MSCI Singapore Free Index 
 If Morgan Stanley Capital International Inc. (the “MSCI”) discontinues publication of the MSCI Singapore Free Index and MSCI or another entity publishes a successor or substitute index that the Calculation
Agent determines, in its sole discretion, to be comparable to the discontinued MSCI Singapore Free Index (a “MSCI Singapore Free Successor Index”), then the Index Closing Level for such Basket Index will be determined by reference to the
level of such MSCI Singapore Free Successor Index at the close of trading on the Relevant Exchange or market for the MSCI Singapore Free Successor Index on the Final Valuation Date. Upon any selection by the Calculation Agent of MSCI Singapore Free
Successor Index, the Calculation Agent will cause written notice thereof to be promptly furnished to the Trustee, to the Company and to the Holders. 
 If MSCI discontinues publication of the MSCI Singapore Free Index prior to, and such discontinuation is continuing on, the Final Valuation Date, and the Calculation Agent determines, in its sole discretion, that no
MSCI Singapore Free Successor Index is available at such time, or the Calculation Agent has previously selected a MSCI Singapore Free Successor Index and publication of such MSCI Singapore Free Successor Index is discontinued prior to, and such
discontinuation is continuing on, the Final Valuation Date, or if MSCI (or the publisher of any MSCI Singapore Free Successor Index) fails to calculate and publish an Index Closing Level for the MSCI Singapore Free Index(or any MSCI Singapore Free
Successor Index) on any date when it would ordinarily do so in accordance with its customary practice, then the Calculation Agent will determine the Index Closing Level for such date. The Index Closing Level will be computed by the Calculation Agent
in accordance with the formula for and method of calculating the MSCI Singapore Free Index or MSCI Singapore Free Successor Index, as applicable, last in effect prior to such discontinuation or failure to calculate or publish an Index Closing Level
for the MSCI Singapore Free Index or MSCI Singapore Free Successor Index, as applicable, using the Closing Price (or, if trading in the relevant securities has been materially 

 
suspended or materially limited, its good faith estimate of the Closing Price that would have prevailed but for such suspension or limitation) at the close
of the principal trading session on such date of each security most recently composing the MSCI Singapore Free Index or MSCI Singapore Free Successor Index, as applicable. 
 If at any time the method of calculating the MSCI Singapore Free Index or a MSCI Singapore Free
Successor Index, or the level thereof, is changed in a material respect, or if the MSCI Singapore Free Index or a MSCI Singapore Free Successor Index is in any other way modified so that the MSCI Singapore Free Index or such MSCI Singapore Free
Successor Index does not, in the opinion of the Calculation Agent, fairly represent the level of the MSCI Singapore Free Index or such MSCI Singapore Free Successor Index had such changes or modifications not been made, then the Calculation Agent
will, at the close of business in New York City on each date on which the MSCI Singapore Free Index Closing Level is to be determined, make such calculations and adjustments as, in the good faith judgment of the Calculation Agent, may be necessary
in order to arrive at a level of a stock index comparable to the MSCI Singapore Free Index or such MSCI Singapore Free Successor Index, as the case may be, as if such changes or modifications had not been made, and the Calculation Agent will
calculate the Index Closing Level with reference to the MSCI Singapore Free Index or such MSCI Singapore Free Successor Index, as adjusted. Accordingly, if the method of calculating the MSCI Singapore Free Index or a MSCI Singapore Free Successor
Index is modified so that the level of the MSCI Singapore Free Index or such MSCI Singapore Free Successor Index is a fraction of what it would have been if there had been no such modification (e.g., due to a split in the Index), then the
Calculation Agent will adjust its calculation of the MSCI Singapore Free Index or such MSCI Singapore Free Successor Index in order to arrive at a level of the MSCI Singapore Free Index or such MSCI Singapore Free Successor Index as if there had
been no such modification (e.g., as if such split had not occurred). 
 MSCI Taiwan Index 
 If Morgan Stanley Capital International Inc. (the “MSCI”) discontinues publication of the MSCI Taiwan Index and MSCI or another entity
publishes a successor or substitute index that the Calculation Agent determines, in its sole discretion, to be comparable to the discontinued MSCI Taiwan Index(a “MSCI Taiwan Successor Index”), then the Index Closing Level for such Basket
Index will be determined by reference to the level of such MSCI Taiwan Successor Index at the close of trading on the Relevant Exchange or market for the MSCI Taiwan Successor Index on the Final Valuation Date. Upon any selection by the Calculation
Agent of MSCI Taiwan Successor Index, the Calculation Agent will cause written notice thereof to be promptly furnished to the Trustee, to the Company and to the Holders. 
 If MSCI discontinues publication of the MSCI Taiwan Index prior to, and such discontinuation is continuing on, the Final Valuation Date, and the Calculation Agent determines, in its sole discretion, that no MSCI
Taiwan Successor Index is available at such time, or the Calculation Agent has previously selected a MSCI Taiwan Successor Index and publication of such MSCI Taiwan Successor Index is discontinued prior to, and such discontinuation is continuing on,
the Final Valuation Date, or if MSCI (or the publisher of any MSCI Taiwan Successor Index) fails to calculate and publish an Index Closing Level for the MSCI Singapore Free Index(or any MSCI Taiwan Successor Index) on any date when it would
ordinarily do so in accordance with its customary practice, then the Calculation Agent will determine the Index Closing Level for such date. The Index Closing Level will be computed by the Calculation Agent in accordance with the formula for and
method of calculating the MSCI Taiwan Index or MSCI Taiwan Successor Index, as applicable, last in effect prior to such 

 
discontinuation or failure to calculate or publish an Index Closing Level for the MSCI Taiwan Index or MSCI Taiwan Successor Index, as applicable, using the
Closing Price (or, if trading in the relevant securities has been materially suspended or materially limited, its good faith estimate of the Closing Price that would have prevailed but for such suspension or limitation) at the close of the principal
trading session on such date of each security most recently composing the MSCI Taiwan Index or MSCI Taiwan Successor Index, as applicable. 
 If at any time the method of calculating the MSCI Taiwan Index or a MSCI Taiwan Successor Index,
or the level thereof, is changed in a material respect, or if the MSCI Taiwan Index or a MSCI Taiwan Successor Index is in any other way modified so that the MSCI Taiwan Index or such MSCI Taiwan Successor Index does not, in the opinion of the
Calculation Agent, fairly represent the level of the MSCI Taiwan Index or such MSCI Taiwan Successor Index had such changes or modifications not been made, then the Calculation Agent will, at the close of business in New York City on each date on
which the MSCI Taiwan Index Closing Level is to be determined, make such calculations and adjustments as, in the good faith judgment of the Calculation Agent, may be necessary in order to arrive at a level of a stock index comparable to the MSCI
Taiwan Index or such MSCI Taiwan Successor Index, as the case may be, as if such changes or modifications had not been made, and the Calculation Agent will calculate the Index Closing Level with reference to the MSCI Taiwan Index or such MSCI Taiwan
Successor Index, as adjusted. Accordingly, if the method of calculating the MSCI Taiwan Index or a MSCI Taiwan Successor Index is modified so that the level of the MSCI Taiwan Index or such MSCI Taiwan Successor Index is a fraction of what it would
have been if there had been no such modification (e.g., due to a split in the Index), then the Calculation Agent will adjust its calculation of the MSCI Taiwan Index or such MSCI Taiwan Successor Index in order to arrive at a level of the
MSCI Taiwan Index or such MSCI Taiwan Successor Index as if there had been no such modification (e.g., as if such split had not occurred). 
 Coupon Payments 
 For each Coupon Period for each $1,000 principal amount Security, the coupon payment for each Coupon
Period will be calculated as follows: 
 $1,000 x Coupon Rate x (number of days in the Coupon Period / 360), 
 where the number of days will be calculated on the basis of a year of 360 days with twelve months of thirty days each. 
 Coupon payments will be made at the Coupon Rate. Coupon payments will accrue from, and including, the issue date of the Securities to, but excluding, the
Maturity Date. Coupon payments will be paid in arrears on each Coupon Payment Date to, and including, the Maturity Date, to the Holders at the close of business on the date 15 calendar days prior to that Coupon Payment Date, whether or not such
fifteenth calendar day is a Business Day. If the Maturity Date is adjusted as the result of a Market Disruption Event, the coupon payment due on the Maturity Date will be made on the Maturity Date as adjusted, with the same force and effect as if
the Maturity Date had not been adjusted, but no additional coupon payment will accrue or be payable as a result of the delayed payment. 

 The following abbreviations, when used in the inscription on the face of the within Security, shall be
construed as though they were written out in full according to applicable laws or regulations: 
  

					
	TEN COM -	  	as tenants in common	  	UNIF GIFT MIN ACT - ______ Custodian ______
			
		  		  	                                       
   (Cust)                     (Minor)
	TEN ENT -	  	as tenants by the entireties	  	under Uniform Gifts to Minors
	JT TEN -	  	as joint tenants with right of	  	Act ______________________________________
			
		  	Survivorship and not as tenants in common	  	                                      (
State)

 Additional abbreviations may also be used though not in the above list. 
  

 FOR VALUE RECEIVED, the undersigned
hereby sells, assigns and transfers unto 
 PLEASE INSERT SOCIAL SECURITY OR OTHER 
 IDENTIFYING NUMBER OF ASSIGNEE 
  

			
	  	  	 
	  	  	 

 ____________________________________________________________________________________________________________

 (Name and Address of Assignee, including zip code, must be printed or typewritten.) 
 _____________________________________________________________________________________________________________ 
 the within
Security, and all rights thereunder, hereby irrevocably constituting and appointing 
 ____________________________________________________________________________________________________________ 
 to transfer the said Security on the
books of the Company, with full power of substitution in the premises. 
  

							
	 Dated:
	 		 	
				
		 		 		 	  

 NOTICE: The signature to this assignment must correspond with the name as it appears upon the face
of the within Security in every particular, without alteration or enlargement or any change whatever. 
  

	
	Signature(s) Guaranteed:
	
	   

 THE SIGNATURE(S) SHOULD BE GUARANTEED BY AN ELIGIBLE GUARANTOR INSTITUTION (BANKS, STOCKBROKERS, SAVINGS AND LOAN
ASSOCIATIONS AND CREDIT UNIONS WITH MEMBERSHIP IN AN APPROVED MEDALLION SIGNATURE GUARANTEE PROGRAM), PURSUANT TO S.E.C. RULE 17Ad-15.Omnibus Plan

 Exhibit 4.1 
 WORLD FUEL SERVICES CORPORATION 
 2006 OMNIBUS PLAN 
 SECTION I 
 GENERAL 
 1.1 Purpose. The World Fuel Services Corporation 2006 Omnibus Plan (the “Plan”) has been established by World Fuel Services Corporation (the “Company”), a Florida corporation, to:
(i) attract and retain persons eligible to participate in the Plan; (ii) motivate Participants, by means of appropriate incentives, to achieve long-range goals; (iii) provide incentive compensation opportunities that are competitive
with those of other similar companies; and (iv) further align Participants’ interests with those of the Company’s other shareholders through compensation that is based on the Company’s common stock; and thereby promote the
long-term financial interest of the Company and the Subsidiaries, including the growth in value of the Company’s equity and enhancement of long-term shareholder return. 
 1.2 Participation. Subject to the terms and conditions of the Plan, the Compensation Committee (the “Committee”) of the Board of Directors (the “Board”) of the Company shall determine and
designate, from time to time, from among the Eligible Persons, those persons who will be granted one or more Awards under the Plan, and thereby become “Participants” in the Plan. 
 1.3 Operation, Administration, and Definitions. The operation and administration of the Plan, including the Awards made under the Plan, shall be subject to the
provisions of Section IV (relating to operation and administration). Capitalized terms in the Plan shall be defined as set forth in the Plan (including the definition provisions of Section VIII of the Plan). 
 SECTION II 
 OPTIONS AND SARS

 2.1 Definitions. 
 (a) An
“Option” is a right that entitles the Participant to purchase shares of Stock at an Exercise Price established by the Committee. Any Option granted under this Section II may be either an Incentive Stock Option or a Non-Qualified Stock
Option, as determined in the discretion of the Committee. An “Incentive Stock Option” is an Option that is intended to satisfy the requirements applicable to an “incentive stock option” described in section 422(b) of the
Code. Only Employees of the Company or any Subsidiary shall be eligible to be awarded Incentive Stock Options under the Plan. A “Non-Qualified Stock Option” is an Option that is not intended to be an “incentive stock option” as
that term is described in section 422(b) of the Code. 
 (b) A “Stock Appreciation Right” or “SAR” is a right that
entitles the Participant to receive, in cash or Stock (as determined in accordance with Section 4.7), value equal to (or otherwise based on) the excess of: (i) the Fair Market Value of a share of Stock at the time of exercise; over
(ii) an Exercise Price established by the Committee. 
 2.2 Exercise Price. The “Exercise Price” of each share of Stock purchasable
under an Option and each SAR shall be determined by the Committee, provided that such Exercise Price shall not be less than 100% of the Fair Market Value of a share of Stock on the date of grant of the Option or SAR and shall not, in any event, be
less than the par value of a share of Stock on the date of grant of the Option or SAR. If an Eligible 

 
Person owns or is deemed to own (by reason of the attribution rules applicable under Section 424(d) of the Code) more than 10% of the combined voting
power of all classes of stock of the Company (or any parent corporation or subsidiary corporation of the Company, as those terms are defined in Sections 424(e) and (f) of the Code, respectively) and an Incentive Stock Option is granted to such
person, the exercise price of such Incentive Stock Option (to the extent required by the Code at the time of grant) shall be no less than 110% of the Fair Market Value of a share of Stock on the date that the Incentive Stock Option is granted.

 2.3 Exercise. An Option and an SAR shall become exercisable in accordance with such terms and conditions and during such periods as may be
established by the Committee, but in no event shall the Option or SAR remain exercisable after the seven-year anniversary of the date of grant. 
 2.4
Payment of Option Exercise Price. The payment of the Exercise Price of an Option granted under this Section II shall be subject to the following: 
 (a) Subject to the following provisions of this subsection 2.4, the full Exercise Price for shares of Stock purchased upon the exercise of any Option shall be paid at the time of such exercise (except that, in the
case of an exercise arrangement described in paragraph 2.4(c), payment may be made as soon as practicable after the exercise). 
 (b) The
Exercise Price shall be payable in cash or, in the discretion of the Committee, either by tendering shares of Stock (by actual delivery of shares or by attestation), or by the withholding of shares of Stock that otherwise would have been delivered
as a result of the exercise of the Option, in each case valued at Fair Market Value as of the day of exercise, or in any combination thereof, as determined by the Committee. 
 (c) The Committee may permit a Participant to elect to pay the Exercise Price upon the exercise of an Option by irrevocably authorizing a third party to
sell shares of Stock (or a sufficient portion of the shares) acquired upon exercise of the Option and remit to the Company a sufficient portion of the sale proceeds to pay the entire Exercise Price and any tax withholding resulting from such
exercise. 
 2.5 Settlement of Award. Settlement of Options and SARs is subject to subsection 4.7. 
 SECTION III 
 OTHER AWARDS 

3.1 Definitions. 
 (a) A “Stock Unit
Award” is the grant of a right to receive shares of Stock in the future. 
 (b) A “Performance Share Award” is a grant of a
right, other than an Option or an SAR, to receive shares of Stock or Stock Units which is contingent on the achievement of performance or other objectives during a specified period. 
 (c) A “Performance Unit Award” is a grant of a right, other than an Option or SAR, to receive a designated dollar value amount of cash which is
contingent on the achievement of performance or other objectives during a specified period. 
 (d) A “Restricted Stock Award” is a
grant of shares of Stock, and a “Restricted Stock Unit” Award is the grant of a right to receive shares of Stock in the future, with such shares of Stock or right to future delivery of such shares of Stock subject to a risk of forfeiture
or other restrictions that will lapse upon the achievement of one or more goals relating to completion of service by the Participant, or achievement of performance or other objectives, as determined by the Committee. 

 (e) An “Other Stock-Based Award” is any Award other than an Option, SAR, Stock Unit Award,
Restricted Stock Award or Restricted Stock Unit Award, that is denominated or payable in, valued in whole or in part by reference to, or otherwise based on or related to, shares of Stock (including without limitation any award of shares of Stock
that is not subject to any vesting or other restrictions and any awards of shares of Stock in lieu of obligations to pay cash or deliver other property under the Plan or under any other plan or compensatory arrangements). 
 3.2 Restrictions on Awards. Each Stock Unit Award, Performance Share Award, Performance Unit Award, Restricted Stock Award, Restricted Stock Unit Award and Other
Stock-Based Award shall be subject to the following: 
 (a) Any such Award shall be subject to such conditions, restrictions and contingencies
as the Committee shall determine. 
 (b) The Committee may designate whether any such Award being granted to any Participant is intended to
be “performance-based compensation” as that term is used in section 162(m) of the Code. Any such Awards designated as intended to be “performance-based compensation” shall be conditioned on the achievement of one or more
“Performance Measures”, to the extent required by Code section 162(m). The Performance Measures shall be objective and shall otherwise meet the requirements of section 162(m) of the Code and regulations thereunder, including the
requirement that the level or levels of performance targeted by the Committee result in the achievement of performance goals being “substantially uncertain.” One or more of the following business criteria for the Company, on a consolidated
basis, and/or for any Subsidiary, or for business or geographical units of the Company and/or any Subsidiary (except with respect to the total shareholder return and earnings per share criteria), shall be used by the Committee in establishing
Performance Measures for such Awards: (1) earnings per share or diluted earnings per share; (2) revenues or margins; (3) cash flow; (4) operating margin; (5) return on net assets, investment, capital, equity, or sales;
(6) economic value added; (7) direct contribution; (8) net income; pretax earnings; earnings before interest and taxes; earnings before interest, taxes, depreciation and amortization; earnings after interest expense and before
extraordinary or special items; operating income; income before interest income or expense, unusual items and income taxes, local, state, federal or foreign and excluding budgeted and actual bonuses which might be paid under any ongoing bonus plans
of the Company; (9) working capital; (10) management of fixed costs or variable costs; (11) identification and/or consummation of investment opportunities or completion of specified projects in accordance with corporate business
plans, including strategic mergers, acquisitions or divestitures; (12) total shareholder return; (13) debt reduction, (14) market share; (15) entry into new markets, either geographically or by business unit; (16) customer
retention and satisfaction; (17) strategic plan development and implementation, including turnaround plans; (18) stock price; and/or (19) funds from operations. Any of the above goals may be determined on an absolute or relative basis
or as compared to the performance of a published or special index deemed applicable by the Committee including, but not limited to, the Standard & Poor’s 500 Stock Index or a group of companies that are selected by the Committee. The
Committee shall exclude the impact of an event or occurrence which the Committee determines should appropriately be excluded, including without limitation (i) restructurings, discontinued operations, extraordinary items, and other unusual or
non-recurring charges, (ii) an event either not directly related to the operations of the Company or not within the reasonable control of the Company’s management, or (iii) a change in accounting standards required by generally
accepted accounting principles. For Awards under this Section III intended to be “performance-based compensation,” the grant of the Awards and the establishment of the Performance Measures shall be made during the period required
under Code section 162(m). The Committee may, in its 

 
discretion, reduce the amount payable with respect to any Awards subject to this Section 3.2(b), but may not exercise any discretion to increase any
such amount. No Participant shall receive any payment under the Plan that is subject to this Section 3.2(b) unless the Committee has certified, by resolution or other appropriate action in writing, that the Performance Measures and any other
material terms previously established by the Committee, have been satisfied. 
 3.3 Other Restrictions on Restricted Stock Awards. In addition to any
other restrictions set forth in the Plan, Restricted Stock Awards shall be subject to the following: 
 (a) Restricted Stock Awards subject to
the achievement of performance objectives shall also be subject to a minimum vesting period of one (1) year. 
 (b) Restricted Stock
Awards not subject to the achievement of performance objectives shall be subject to a minimum vesting period of three (3) years; provided that a pro-rata portion of such Awards may vest each year during the applicable vesting period.

 (c) Notwithstanding 3.3(a) and (b) above, up to ten percent (10%) of the shares of Stock available under the Plan may be granted
as Restricted Stock Awards free of any vesting requirements. Shares of Stock issued to Eligible Persons pursuant to their election to receive shares of Stock in lieu of cash compensation shall not count against this limit. 
 SECTION IV 
 OPERATION AND ADMINISTRATION

 4.1 Effective Dates. The Plan shall be effective as of the Effective Date and shall be unlimited in duration and, in the event of Plan
termination, shall remain in effect as long as any Awards under it are outstanding; provided, however, that no Awards may be granted under the Plan after the tenth anniversary of the Effective Date (except for Awards granted pursuant to commitments
entered into prior to such date). 
 4.2 Shares Subject to Plan. The shares of Stock for which Awards may be granted under the Plan shall be subject
to the following: 
 (a) The shares of Stock with respect to which Awards may be made under the Plan shall be shares currently authorized but
unissued or currently held or subsequently acquired by the Company as treasury shares, including shares purchased in the open market or in private transactions. 
 (b) Subject to the following provisions of this subsection 4.2, the maximum number of shares of Stock that may be delivered to Participants and their beneficiaries under the Plan shall be equal to the sum of:
(i) 1,500,000 shares of Stock; (ii) any shares of Stock available for future awards under the World Fuel Services Corporation 2001 Omnibus Plan, as amended, the World Fuel Services Corporation 1993 Non-Employee Directors Stock Option Plan,
as amended, or any other prior long-term incentive plan adopted by the Company (the “Prior Plans”) as of the Effective Date; and (iii) any shares of Stock that are represented by awards granted under this Plan or any Prior Plans which
are forfeited, expire or are canceled without delivery of shares of Stock or which result in the forfeiture of the shares of Stock back to the Company. 
 (c) To the extent provided by the Committee, any Award may be settled in cash rather than Stock. To the extent any shares of Stock covered by an Award are not delivered to a Participant or beneficiary because the
Award is forfeited or canceled, or the shares of Stock are not delivered because the Award is settled in cash or the shares of Stock are withheld to satisfy the applicable tax withholding obligation, such shares shall not be deemed to have been
delivered for purposes of determining the maximum number of shares of Stock available for delivery under the Plan. 

 (d) If the Exercise Price of any Option granted under the Plan or any Prior Plan is satisfied by
tendering shares of Stock to the Company (by either actual delivery or by attestation), or the withholding of shares of Stock that otherwise would have been delivered as a result of the exercise of the Option, only the number of shares of Stock
issued net of the shares of Stock tendered or withheld shall be deemed delivered for purposes of determining the maximum number of shares of Stock available for delivery under the Plan. 
 (e) Subject to paragraph 4.2(f), the following additional maximums are imposed under the Plan. 
 (i) The maximum number of shares of Stock that may be issued as a result of the exercise of Options intended to be Incentive Stock Options shall be
1,500,000 shares. 
 (ii) The maximum number of shares that may be covered by Awards granted to any one individual pursuant to
Section II (other than Awards that vest based upon satisfaction of performance criteria measured over a period of more than one fiscal year) shall be 300,000 shares with respect to any one fiscal-year period; and in addition, the maximum number
of shares of Stock that may be covered by such Awards granted to any one individual pursuant to Section II that vest based upon satisfaction of performance criteria measured over a period of more than one fiscal year shall be 300,000 shares of Stock
multiplied by the number of complete fiscal year periods (and fractions thereof) over which the performance criteria are so measured. If an Option is in tandem with an SAR, such that the exercise of the Option or SAR with respect to a share of Stock
cancels the tandem SAR or Option right, respectively, with respect to such share, the tandem Option and SAR rights with respect to each share of Stock shall be counted as covering but one share of Stock for purposes of applying the limitations of
this paragraph (ii). 
 (iii) The maximum number of shares of Stock that may be issued in conjunction with Awards granted pursuant to
Section III shall be 1,000,000 shares under the Plan. Shares of Stock issued to Eligible Persons pursuant to their election to receive shares of Stock in lieu of cash compensation shall not count against this limit. 
 (iv) For Stock Unit Awards, Restricted Stock Awards, Restricted Stock Unit Awards, Other Stock-Based Awards and Performance Share Awards that are
intended to be “performance-based compensation” (as that term is used for purposes of Code section 162(m)), no more than 200,000 shares of Stock may be subject to such Awards granted to any one individual with respect to any one
fiscal-year period (other than Awards that vest based upon satisfaction of performance criteria measured over a period of more than one fiscal year period); and in addition, the maximum number of shares of Stock that may be covered by such Awards
granted to any individual that vest based upon satisfaction of performance criteria measured over a period of more than one fiscal year shall be 200,000 shares of Stock multiplied by the number of completed fiscal year periods (and fractions
thereof) over which the performance criteria are so measured. If, after shares have been earned, the delivery is deferred, any additional shares attributable to dividends during the deferral period shall be disregarded. 
 (v) For Performance Unit Awards that are intended to be “performance-based compensation” (as that term is used for purposes of Code section
162(m)), no more than $2,500,000 may be subject to such Awards granted to any one individual with respect to any one fiscal-year period (other than Awards that are measured based upon the satisfaction of performance criteria over a period of more
than one fiscal year); and in addition, the maximum value of any such Awards measured based upon the satisfaction of performance criteria over a period of more than one fiscal year shall be $2,500,000 multiplied by the number of 

 
completed fiscal years, and fractions thereof, over which the performance criteria are so measured. If, after amounts have been earned with respect to
Performance Unit Awards, the delivery of such amounts is deferred, any additional amounts attributable to earnings during the deferral period shall be disregarded. 
 (vi) Substitute Awards shall not reduce the shares of Stock authorized for grant under the Plan or authorized for grant to a Participant in any period. Additionally, in the event that a company acquired by the Company
or any Subsidiary, or with which the Company or any Subsidiary combines has shares available under a pre-existing plan approved by shareholders and not adopted in contemplation of such acquisition or combination, the shares of stock available for
delivery pursuant to the terms of such pre-existing plan (as adjusted, to the extent appropriate, using the exchange ratio or other adjustment or valuation ratio or formula used in such acquisition or combination to determine the consideration
payable to the holders of common stock of the entities party to such acquisition or combination) may be used for Awards under the Plan and shall not reduce the shares of Stock authorized for delivery under the Plan; provided that Awards using such
available shares of Stock shall not be made after the date awards or grants could have been made under the terms of the pre-existing plan, absent the acquisition or combination, and shall only be made to individuals who were not employees, officers,
or members of the board of directors of the Company or Subsidiaries, or consultants or other persons providing services to the Company or any Subsidiary, prior to such acquisition or combination. 
 (f) In the event of a corporate transaction involving the Company (including, without limitation, any stock dividend, stock split, extraordinary cash
dividend, recapitalization, reorganization, merger, consolidation, split-up, spin-off, combination or exchange of shares), the Committee may adjust Awards to preserve the benefits or potential benefits of the Awards. Action by the Committee may
include: (i) adjustment of the number and kind of shares which may be delivered under the Plan, including but not limited to, increases in the limitations set forth in subsection (b) above and paragraphs (i) through (v) of
subsection (e) above; (ii) adjustment of the number and kind of shares subject to outstanding Awards; (iii) adjustment of the Exercise Price of outstanding Options and SARs; and (iv) any other adjustments that the Committee
determines to be equitable. 
 (g) In light of the adoption of this Plan, no further awards may be made under the Prior Plans (as defined in
Section 4.2(b) hereof) after the Effective Date. 
 4.3 General Restrictions. Delivery of shares of Stock or other amounts under the Plan shall
be subject to the following: 
 (a) Notwithstanding any other provision of the Plan, the Company shall have no liability to deliver any shares
of Stock under the Plan or make any other distribution of benefits under the Plan unless such delivery or distribution would comply with all applicable laws (including, without limitation, the requirements of the Securities Act of 1933), and the
applicable requirements of any securities exchange or similar entity. 
 (b) To the extent that the Plan provides for issuance of stock
certificates to reflect the issuance of shares of Stock, the issuance may be effected on a non-certificated basis, to the extent not prohibited by applicable law or the applicable rules of any securities exchange. 
 4.4 Tax Withholding. All distributions under the Plan are subject to withholding of all applicable taxes, and the Committee may condition the delivery of any
shares or other benefits under the Plan on satisfaction of the applicable withholding obligations. The Committee, in its discretion, and subject to such requirements as the Committee may impose prior to the occurrence of such withholding, may permit
such withholding obligations to be satisfied through cash payment by the Participant, through the surrender of shares of Stock 

 
which the Participant already owns, through the withholding of shares of Stock that otherwise would have been delivered pursuant to the Award, or through the
surrender of shares of Stock to which the Participant is otherwise entitled under the Plan. 
 4.5 Grant and Use of Awards. In the discretion of the
Committee, a Participant may be granted any Award permitted under the provisions of the Plan, and more than one Award may be granted to a Participant. Awards may be granted as alternatives to or replacement of awards granted or outstanding under the
Plan, or any other plan or arrangement of the Company or a Subsidiary (including a plan or arrangement of a business or entity, all or a portion of which is acquired by the Company or a Subsidiary). Subject to the overall limitation on the number of
shares of Stock that may be delivered under the Plan, the Committee may use available shares of Stock as the form of payment for compensation, grants or rights earned or due under any other compensation plans or arrangements of the Company or a
Subsidiary, including the plans and arrangements of the Company or a Subsidiary assumed in business combinations. 
 4.6 Dividends and Dividend
Equivalents. An Award (including without limitation an Option or SAR Award) may provide the Participant with the right to receive dividend payments or dividend equivalent payments with respect to Stock subject to the Award (both before and after
the Stock subject to the Award is earned, vested, or acquired), which payments may be either made currently or credited to an account for the Participant, and may be settled in cash or Stock, as determined by the Committee. Any such settlements, and
any such crediting of dividends or dividend equivalents or reinvestment in shares of Stock, may be subject to such conditions, restrictions and contingencies as the Committee shall establish, including the reinvestment of such credited amounts in
Stock equivalents. 
 4.7 Settlement of Awards. The obligation to make payments and distributions with respect to Awards may be satisfied through cash
payments, the delivery of shares of Stock, the granting of replacement Awards, or combination thereof as the Committee shall determine. Satisfaction of any such obligations under an Award, which is sometimes referred to as “settlement” of
the Award, may be subject to such conditions, restrictions and contingencies as the Committee shall determine. The Committee may permit or require the deferral of any Award payment, subject to applicable law and such rules and procedures as the
Committee may establish, which may include provisions for the payment or crediting of interest or dividend equivalents, and may include converting such credits into deferred Stock equivalents. Each Subsidiary shall be liable for payment of cash due
under the Plan with respect to any Participant to the extent that such benefits are attributable to the services rendered for that Subsidiary by the Participant. Any disputes relating to liability of a Subsidiary for cash payments shall be resolved
by the Committee. 
 4.8 Transferability. Except as otherwise provided by the Committee, Awards under the Plan are not transferable except as
designated by the Participant by will or by the laws of descent and distribution. 
 4.9 Form and Time of Elections. Unless otherwise specified
herein, each election required or permitted to be made by any Participant or other person entitled to benefits under the Plan, and any permitted modification, or revocation thereof, shall be in writing filed with the Committee or its designee at
such times, in such form, and subject to such restrictions and limitations, not inconsistent with the terms of the Plan, as the Committee or its designee shall require. 
 4.10 Agreement With Company. An Award under the Plan shall be subject to such terms and conditions, not inconsistent with the Plan, as the Committee shall, in its sole discretion, prescribe. The terms and
conditions of any Award to any Participant shall be reflected in such form of written document as is determined by the Committee. A copy of such document shall be provided to the Participant, and the Committee may, but need not require that the
Participant sign a copy of such document. Such document is referred to in the Plan as an “Award Agreement” regardless of whether any Participant signature is required. 

 4.11 Action by Company or Subsidiary. Any action required or permitted to be taken by the Company or any
Subsidiary regarding the Plan shall be by resolution of the Committee, or by action of one or more members of the Board (including a committee of the Board) who are duly authorized to act for the Board, or (except to the extent prohibited by
applicable law or applicable rules of any securities exchange) by one or more duly authorized officers of such company. 
 4.12 Gender and Number.
Where the context admits, words in any gender shall include any other gender, words in the singular shall include the plural and the plural shall include the singular. 
 4.13 Limitation of Implied Rights. 
 (a) Neither a Participant nor any other person shall, by reason
of participation in the Plan, acquire any right in or title to any assets, funds or property of the Company or any Subsidiary whatsoever, including, without limitation, any specific funds, assets, or other property which the Company or any
Subsidiary, in its sole discretion, may set aside in anticipation of a liability under the Plan. A Participant shall have only a contractual right to the Stock or amounts, if any, payable under the Plan, unsecured by any assets of the Company or any
Subsidiary, and nothing contained in the Plan shall constitute a guarantee that the assets of the Company or any Subsidiary shall be sufficient to pay any benefits to any person. 
 (b) The Plan does not constitute a contract of employment, and selection as a Participant will not give any participating employee the right to be
retained in the employ of the Company or any Subsidiary, nor any right or claim to any benefit under the Plan, unless such right or claim has specifically accrued under the terms of the Plan. Except as otherwise provided in the Plan, no Award under
the Plan shall confer upon the holder thereof any rights as a shareholder of the Company prior to the date on which the individual fulfills all conditions for receipt of such rights. 
 4.14 Evidence. Evidence required of anyone under the Plan may be by certificate, affidavit, document or other information which the person acting on it considers pertinent and reliable, and signed, made or
presented by the proper party or parties. 
 SECTION V 
 CHANGE IN CONTROL AND ADJUSTMENTS IN CASE OF CERTAIN OTHER TRANSACTIONS 
 5.1 Change in Control. Subject to
the provisions of paragraph 4.2(f) (relating to the adjustment of shares), the Committee in its discretion may provide in the Award Agreement relating to the applicable Award that, upon the occurrence of a Change in Control: 
 (a) All outstanding Options (regardless of whether in tandem with SARs) shall become fully exercisable. 
 (b) All outstanding SARs (regardless of whether in tandem with Options) shall become fully exercisable. 
 (c) All Stock Units, Restricted Stock, Restricted Stock Units, Performance Shares, and Performance Units shall become fully vested. 

 (d) Notwithstanding the foregoing, if in the event of a Change in Control the successor company assumes
or substitutes for an Option, SAR, Restricted Stock Award, Restricted Stock Unit Award, Other Stock-Based Award or Performance Share Award, then each outstanding Option, SAR, Restricted Stock Award, Restricted Stock Unit Award, or Other Stock-Based
Award or Performance Share Award that is assumed or substituted for shall not be accelerated as described in Sections 5.1(a) (b), or (c) unless the award agreement relating to such Award expressly states that such acceleration shall occur
notwithstanding any such assumption or substitution. For the purposes of this Section 5.1(d), an Option, SAR, Restricted Stock Award, Restricted Stock Unit, Other Stock-Based Award or Performance Share Award shall be considered assumed or
substituted for if following the Change in Control the Award confers the right to purchase or receive, for each share of Stock subject to the Option, SAR, Restricted Stock Award, Restricted Stock Unit Award or Other Stock-Based Award or Performance
Share Award immediately prior to the Change in Control, the consideration (whether stock, cash or other securities or property) received in the transaction constituting a Change in Control by holders of Shares for each Share held on the effective
date of such transaction (and if holders were offered a choice of consideration, the type of consideration chosen by the holders of a majority of the outstanding shares); provided, however, that if such consideration received in the transaction
constituting a Change in Control is not solely common stock of the successor company or its parent or subsidiary, the Committee may, with the consent of the successor company or its parent or subsidiary, provide that the consideration to be received
upon the exercise or vesting of an Option, SAR, Restricted Stock Award, Restricted Stock Unit Award, Other Stock-Based Award or Performance Share Award, for each Share subject thereto, will be solely common stock of the successor company or its
parent or subsidiary substantially equal in fair market value to the per share consideration received by holders of Shares in the transaction constituting a Change in Control. The determination of such substantial equality of value of consideration
shall be made by the Committee in its sole discretion and its determination shall be conclusive and binding. 
 5.2 Adjustments in Case of Certain
Corporate Transactions. In the event of any merger, consolidation or other reorganization in which the Company does not survive, or in the event of any Change in Control, any outstanding Awards may be dealt with in accordance with any of the
following approaches, as determined by the agreement effectuating the transaction or, if and to the extent not so determined, as determined by the Committee: (a) the continuation of the outstanding Awards by the Company, if the Company is a
surviving corporation, (b) the assumption or substitution for, as those terms are defined in Section 5.1(d) hereof, the outstanding Awards by the surviving corporation or its parent or subsidiary, (c) full exercisability or vesting
and accelerated expiration of the outstanding Awards, or (d) settlement of the value of the outstanding Awards in cash or cash equivalents or other property followed by cancellation of such Awards (which value, in the case of Options or SARs,
shall be measured by the amount, if any, by which the Fair Market Value of a share of Stock exceeds the exercise price of the Option or SAR as of the effective date of the transaction). The Committee shall give written notice of any proposed
transaction referred to in this subsection 5.2 a reasonable period of time prior to the closing date for such transaction (which notice may be given either before or after the approval of such transaction), in order that Participants may have a
reasonable period of time prior to the closing date of such transaction within which to exercise any Awards that are then exercisable (including any Awards that may become exercisable upon the closing date of such transaction). A Participant may
condition his exercise of any Awards upon the consummation of the transaction. 
 SECTION VI 
 COMMITTEE 
 6.1 Administration. The authority to
control and manage the operation and administration of the Plan shall be vested in the Committee in accordance with this Section VI. The Committee shall be selected by the Board, and shall be comprised solely of two or more members of the Board,
each of whom shall be (i) an “outside director”, within the meaning of Section 162(m) of the Code, and (ii) “independent”, within the meaning of the 

 
rules of the New York Stock Exchange or, if the shares of Stock are not listed for trading on the New York Stock Exchange, under the rules of the NASDAQ
Stock Market (each an “Independent Director”). If the Committee does not exist, or for any other reason determined by the Board, the Board may take any action under the Plan that would otherwise be the responsibility of the Committee;
provided, however, that in that event, any such action taken by the Board shall require the approval of at least a majority of the Independent Directors. 
 6.2 Powers of Committee. The Committee’s administration of the Plan shall be subject to the following: 
 (a) Subject to
the provisions of the Plan, the Committee will have the authority and discretion to select from among the Eligible Persons those persons who shall receive Awards, to determine the time or times of receipt, to determine the types of Awards and the
number of shares covered by the Awards, to establish the terms, conditions, performance and vesting criteria, restrictions, terms of exercise and settlement, and other provisions of such Awards, and (subject to the restrictions imposed by
Section VII) to cancel or suspend Awards. 
 (b) To the extent that the Committee determines that the restrictions imposed by the Plan
preclude the achievement of the material purposes of the Awards in jurisdictions outside the United States, the Committee will have the authority and discretion to modify those restrictions as the Committee determines to be necessary or appropriate
to conform to applicable requirements or practices of jurisdictions outside of the United States. 
 (c) The Committee will have full and
complete authority and discretion to interpret the Plan, to establish, amend, and rescind any rules and regulations relating to the Plan, to determine the terms and provisions of any Award Agreement made pursuant to the Plan, and to make all other
determinations that may be necessary or advisable for the administration of the Plan; it being the intention of the Plan that the Committee have the utmost authority and discretion permitted by law in making decisions and performing its other
functions under the Plan. 
 (d) Any interpretation of the Plan by the Committee and any decision made by it under the Plan is final and
binding on all persons. 
 (e) In controlling and managing the operation and administration of the Plan, the Committee shall take action in a
manner that conforms to the articles and by-laws of the Company, and applicable state corporate law. 
 (f) In no event, however, shall the
Committee have the power to cancel outstanding Options or SARs for the purpose of repricing or otherwise replacing or re-granting such Options or SARs with an exercise price that is less than the exercise price of the original Option or SAR.

 6.3 Delegation by Committee. Except to the extent prohibited by applicable law or the applicable rules of a securities exchange, the Committee may
allocate all or any portion of its responsibilities and powers to any one or more of its members and may delegate all or any part of its responsibilities and powers to any person or persons selected by it. Any such allocation or delegation may be
revoked by the Committee at any time. 
 6.4 Information to be Furnished to Committee. The Company and Subsidiaries shall furnish the Committee with
such data and information as it determines may be required for it to discharge its duties. The records of the Company and Subsidiaries as to an employee’s or Participant’s employment, termination of employment, leave of absence,
reemployment and compensation shall be conclusive on all persons unless 

 
determined to be incorrect. Participants and other persons entitled to benefits under the Plan must furnish the Committee such evidence, data or information
as the Committee considers desirable to carry out the terms of the Plan. 
 6.5 Limitation of Liability. The Committee, each member thereof, and any
other person acting pursuant to authority delegated by the Committee shall be entitled, in good faith, to rely or act upon any report or other information furnished by any officer or employee of the Company, the Company’s independent auditors,
consultants or any other agents assisting in the administration of the Plan. Members of the Committee or any other person acting pursuant to authority delegated by the Committee, and any officer or employee of the Company acting at the direction or
on behalf of the Committee or other delegee shall not be personally liable for any action or determination taken or made in good faith with respect to the Plan, and shall, to the extent permitted by law, be fully indemnified and protected by the
Company with respect to any such action or determination. 
 6.6 Indemnification. Each person who is or shall have been a member of the Committee or
of the Board shall be indemnified and held harmless by the Company against and from any loss, cost, liability, or expense that may be imposed upon or reasonably incurred by him in connection with or resulting from any claim, action, suit, or
proceeding to which he may be a party or in which he may be involved by reason of any action taken or failure to act under the Plan and against and from any and all amounts paid by him in settlement thereof, with the Company’s approval, or paid
by him in satisfaction of any judgment in any such action, suit, or proceeding against him, provided he shall give the Company an opportunity, at its own expense, to handle and defend the same before he undertakes to handle and defend it on his own
behalf. The foregoing right of indemnification shall not be exclusive of any other rights of indemnification to which such persons may be entitled under the Company’s Articles of Incorporation or Bylaws, as a matter of law, or otherwise, or any
power that the Company may have to indemnify them or hold them harmless. 
 6.7 Code Section 409A. If and to the extent that the Committee
believes that any Awards may constitute a “nonqualified deferred compensation plan” under Section 409A of the Code, the terms and conditions set forth in any agreement for that Award shall be drafted in a manner that is intended to
comply with, and those provisions (and the provisions of the Plan applicable thereto) shall be interpreted in a manner consistent with, the applicable requirements of Section 409A of the Code. 
 SECTION VII 
 AMENDMENT AND TERMINATION

 The Board may, at any time, amend or terminate the Plan, provided that no amendment or termination may, in the absence of written
consent to the change by the affected Participant (or, if the Participant is not then living, the affected beneficiary), adversely affect the rights of any Participant or beneficiary under any Award granted under the Plan prior to the date such
amendment is adopted by the Board; and further provided that adjustments pursuant to paragraph 4.2(f) or Section 5.2 shall not be subject to the foregoing limitations of this Section VII. Notwithstanding the foregoing, approval of the
Company’s shareholders shall be required for any amendment or alteration of the Plan if such shareholder approval is required by any federal or state law or regulation (including without limitation, Rule 16b-3 under the Securities Exchange Act
of 1934, as amended (the “Exchange Act’) or Section 162(m) of the Code or the rules of any securities exchange or automated quotation system or which the shares of Stock may then be listed or quoted). Unless otherwise determined by
the Committee, any amendments to the Plan will apply prospectively only. 

 SECTION VIII 
 DEFINED TERMS 
 In addition to the other definitions contained herein, the following definitions
shall apply: 
 (a) Award. The term “Award” means any award or benefit granted under the Plan, including, without limitation,
the grant of Options, SARs, Stock Unit Awards, Performance Share Awards, Performance Unit Awards, Restricted Stock Awards, Restricted Stock Unit Awards and Other Stock-Based Awards. 
 (b) Board. The term “Board” shall have the meaning set forth in Section 1.2. 
 (c) Change of Control. For purposes of this Plan, a “Change of Control” means any one of the following events: 
 (i) any person or “group” as defined in Section 13(d)(3) of the Exchange Act, but excluding any employee benefit plan or plans of the
Company and its subsidiaries, becomes the beneficial owner, directly or indirectly, of twenty percent (20%) or more of the combined voting power of the Company’s outstanding voting securities ordinarily having the right to vote for the
election of directors of the Company; or 
 (ii) any merger, consolidation, reorganization or similar event of the Company or any of its
subsidiaries, as a result of which the holders of the voting stock of the Company immediately prior to such merger, consolidation, reorganization or similar event do not directly or indirectly hold at least fifty-one percent (51%) of the
aggregate voting power of the capital stock of the surviving entity; or 
 (iii) the individuals who, as of the Effective Date, constitute
the Board of Directors of the Company (the “Board” generally and as of the Effective Date the “Incumbent Board”) cease for any reason to constitute at least two-thirds (2/3) of the Board, or in the case of a merger or
consolidation of the Company, do not constitute or cease to constitute at least two-thirds (2/3) of the board of directors of the surviving company (or in a case where the surviving corporation is controlled, directly or indirectly by another
corporation or entity, do not constitute or cease to constitute at least two-thirds (2/3) of the board of such controlling corporation or do not have or cease to have at least two-thirds (2/3) of the voting seats on any body comparable to
a board of directors of such controlling entity, or if there is no body comparable to a board of directors, at least two-thirds (2/3) voting control of such controlling entity); provided that any person becoming a director (or, in the case of a
controlling non-corporate entity, obtaining a position comparable to a director or obtaining a voting interest in such entity) subsequent to the Effective Date whose election, or nomination for election, was approved by a vote of the persons
comprising at least two-thirds (2/3) of the Incumbent Board (other than an election or nomination of an individual whose initial assumption of office is in connection with an actual or threatened election contest), shall be, for purposes of
this Agreement, considered as though such person were a member of the Incumbent Board; or 
 (iv) there is a liquidation or dissolution of
the Company or all or substantially all of the assets of the Company have been sold. 
 (d) Code. The term “Code” means the
Internal Revenue Code of 1986, as amended. A reference to any provision of the Code shall include reference to any successor provision of the Code. 
 (e) Committee. The term “Committee” shall have the meaning set forth in Section 1.2. 
 (f) Company.
The term “Company” shall have the meaning set forth in Section 1.1. 

 (g) Effective Date. The term “Effective Date” means the date on which this Plan is
approved by shareholders of the Company eligible to vote in the election of directors, by a vote sufficient to meet the requirements of Sections 162(m) (if applicable) and 422 of the Code, Rule 16b-3 under the Exchange Act (if applicable),
applicable requirements under the rules of any securities exchange or automated quotation system on which the Stock may be listed or quoted, and any other laws, regulations and obligations of the Company applicable to the Plan. 
 (h) Eligible Person. The term “Eligible Person” means any employee, officer or member of the board of directors of the Company or a
Subsidiary, or any consultant or other person who performs services for the Company or any Subsidiary. 
 (i) Exercise Price. The term
“Exercise Price” shall have the meaning set forth in Section 2.2. 
 (j) Fair Market Value. For purposes of determining
the “Fair Market Value” of a share of Stock as of any date, the following rules shall apply: 
 (i) If the principal market for the
Stock is a national securities exchange or the NASDAQ stock market, then the “Fair Market Value” as of that date shall be the closing sales price of the Stock on the immediately preceding trading day on the principal exchange or market on
which the Stock is then listed or admitted to trading. 
 (ii) If sale prices are not available or if the principal market for the Stock is
not a national securities exchange and the Stock is not quoted on the NASDAQ stock market, the average between the highest bid and lowest asked prices for the Stock on such immediately preceding trading day as reported on the NASDAQ OTC Bulletin
Board Service or by the National Quotation Bureau, Incorporated or a comparable service. 
 (iii) If the day is not a trading day, and as a
result, paragraphs (i) and (ii) next above are inapplicable, the Fair Market Value of the Stock shall be determined as of the next earlier trading day. If paragraphs (i) and (ii) next above are otherwise inapplicable, then the
Fair Market Value of the Stock shall be determined in good faith by the Committee. 
 (k) Incentive Stock Option. The term
“Incentive Stock Option” shall have the meaning set forth in Section 2.1(a). 
 (l) Independent Director. The term
“Independent Director” shall have the meaning set forth in Section 6.1. 
 (m) Non-Qualified Stock Option. The term
“Non-Qualified Stock Option” shall have the meaning set forth in Section 2.1(a). 
 (n) Option. The term “Option
shall have the meaning set forth in Section 2.1(a). 
 (o) Other Stock-Based Award. The term “Other Stock-Based Award”
shall have the meaning set forth in Section 3.1(e). 
 (p) Participants. The term “Participants” shall have the meaning
set forth in Section 1.2. 
 (q) Performance Measure. The term “Performance Measure” shall have the meaning set forth
in Section 3.2(b). 

 (r) Performance Share Award. The term “Performance Share Award” shall have the meaning
set forth in Section 3.1(b). 
 (s) Performance Unit Award. The term “Performance Unit Award” shall have the meaning
set forth in Section 3.1(c). 
 (t) Plan. The term “Plan” shall have the meaning set forth in Section 1.1

 (u) Restricted Stock Award. The term “Restricted Stock Award” shall have the meaning set forth in Section 3.1(d).

 (v) Restricted Stock Unit Award. The term “Restricted Stock Unit Award” shall have the meaning set forth in
Section 3.1(d). 
 (w) SAR. The term “SAR” shall have the meaning set forth in Section 2.1(b). 
 (x) Stock Appreciation Right. The term “Stock Appreciation Right” shall have the meaning set forth in Section 2.1(b). 

(y) Stock Unit Award. The term “Stock Unit Award” shall have the meaning set forth in Section 3.1(a). 
 (z) Subsidiary. The term “Subsidiary” means any company during any period in which it is a “subsidiary corporation” (as that
term is defined in Code section 424(f)) with respect to the Company. 
 (aa) Substitute Awards. The term “Substitute Awards”
means Awards granted or Stock issued by the Company in assumption of, or in substitution or exchange for, awards previously granted, or the right or obligation to make future awards, by a company acquired by the Company or any Subsidiary or with
which the Company or any Subsidiary combines. 
 (bb) Stock. The term “Stock” means shares of common stock, par value $.01
per share, of the Company.

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