Document:

Form of Note for the Company's Principal

 Exhibit 4.01 
  
 THIS NOTE IS A GLOBAL NOTE WITHIN THE MEANING OF THE INDENTURE HEREINAFTER REFERRED TO AND IS REGISTERED IN THE NAME OF A DEPOSITARY OR A
NOMINEE THEREOF. UNLESS AND UNTIL IT IS EXCHANGED IN WHOLE OR IN PART FOR NOTES IN CERTIFICATED FORM, THIS NOTE MAY NOT BE TRANSFERRED EXCEPT AS A WHOLE BY THE DEPOSITORY TRUST COMPANY, A NEW YORK CORPORATION (“DTC”), TO A NOMINEE OF DTC
OR BY DTC OR ANY SUCH NOMINEE TO A SUCCESSOR DEPOSITARY OR A NOMINEE OF SUCH SUCCESSOR DEPOSITARY. UNLESS THIS NOTE IS PRESENTED BY AN AUTHORIZED REPRESENTATIVE OF DTC TO CITIGROUP GLOBAL MARKETS HOLDINGS INC. OR ITS AGENT FOR REGISTRATION OF
TRANSFER, EXCHANGE OR PAYMENT, AND ANY NOTE ISSUED IS REGISTERED IN THE NAME OF CEDE & CO. OR IN SUCH OTHER NAME AS REQUESTED BY AN AUTHORIZED REPRESENTATIVE OF DTC (AND ANY PAYMENT IS MADE TO CEDE & CO. OR TO SUCH OTHER ENTITY AS IS
REQUESTED BY AN AUTHORIZED REPRESENTATIVE OF DTC), 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. 
  

					
	 No. R-1
	 	 	 	 INITIAL PRINCIPAL AMOUNT

	 CUSIP 173078726
	 	 	 	 REPRESENTED $32,000,000

	 	 	 	 	 representing 3,200,000 Notes

	 	 	 	 	 ($10 per Note)

  
 CITIGROUP GLOBAL
MARKETS HOLDINGS INC. 
 2% Principal-Protected Equity Linked Notes 
 Based Upon the Dow Jones Industrial Average Due August 25, 2010 
  
 Citigroup Global Markets Holdings Inc., a New York corporation (hereinafter referred to as the “Company”, which term includes any successor
corporation under the Indenture herein referred to), for value received and on condition that this Note is not redeemed by the Company prior to August 25, 2010 (the “Stated Maturity Date”), hereby promises to pay to CEDE & CO., or its
registered assigns, the Maturity Payment (as defined below), on the Stated Maturity Date. This Note will bear semi-annual payments of interest, is not subject to any sinking fund, is not subject to redemption at the option of the holder thereof
prior to the Stated Maturity Date, and is not subject to the defeasance provisions of the Indenture. 
  
 Payment of the Maturity Payment with respect to this Note shall be made upon presentation and surrender of this Note at the corporate trust office of the
Trustee in the Borough of Manhattan, The City and State of New York, in such coin or currency of the United States as at the time of payment is legal tender for payment of public and private debts. 
  
 This Note is one of the series of 3,200,000 2% Principal-Protected Equity
Linked Notes Based Upon the Dow Jones Industrial Average (the “Index”) Due 2010 (the “Notes”). 

 INTEREST 
  
 The Notes bear interest at the rate of 2% per annum. Interest will be paid in cash semi-annually on each 25th day of each
February and August commencing on August 25, 2005 (each such date, an “Interest Payment Date”). Interest will be payable to the persons in whose names the Notes are registered at the close of business on the fifth Business Day preceding
each Interest Payment Date. Interest will be computed on the basis of a 360-day year of twelve 30-day months. If an Interest Payment Date falls on a day that is not a Business Day, the interest payment to be made on such Interest Payment Date will
be made on the next succeeding Business Day with the same force and effect as if made on such Interest Payment Date, and no additional interest will accrue as a result of such delayed payment. 
  
 “Business Day” means any day that is not a Saturday, a Sunday or a
day on which the securities exchanges or banking institutions or trust companies in the City of New York are authorized or obligated by law or executive order to close. 
  
 PAYMENT AT MATURITY 
  
 On the Stated Maturity Date, holders of the Notes will receive for each Note the Maturity Payment described below.

  
 DETERMINATION OF THE MATURITY PAYMENT

  
 The Maturity Payment for each Note equals the sum of the
initial principal amount of $10 per Note plus the Supplemental Return Amount. 
  
 The “Supplemental Return Amount” is calculated as follows: 
  

	 	•	 	If the Index Return is less than or equal to the Interest Received Percentage, the Supplemental Return Amount will equal zero. 

  

	 	•	 	If the Index Return is greater than the Interest Received Percentage, the Supplemental Return Amount will equal the product of: 

  
 $10 * (Index Return – Interest Received Percentage) 
  
 The “Index Return” will equal the following fraction: 

 

	
	Average Ending Value – Starting Value
	Starting Value

  
 The “Average
Ending Value” will equal the arithmetic average of all monthly ending values. 
  

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 The “Ending Value” will be the closing value of the Dow Jones Industrial Average on each
Valuation Date or, if that day is not an Index Business Day, the closing value on the immediately following Index Business Day. 
  
 The “Starting Value” will be 10611.20, the closing value of the Dow Jones Industrial Average on February 22, 2005. 
  
 “Valuation Dates” occur on the 22nd day of each month, commencing
on March 22, 2005 and ending on August 23, 2010. 
  
 The
“Interest Received Percentage” will equal the sum of all the interest payable on the Notes over their term, expressed as a percentage of the principal amount of the Notes. 
  
 An “Index Business Day” means a day, as determined by the calculation agent, on which the Index or any successor
index is calculated and published and on which securities comprising more than 80% of the value of the Index on such day are capable of being traded on their relevant exchanges during the one-half hour before the determination of the closing value
of the Index. All determinations made by the calculation agent will be at the sole discretion of the calculation agent and will be conclusive for all purposes and binding on the Company and the beneficial owners of the Notes, absent manifest error.

  
 A “Market Disruption Event” means, as determined by
the calculation agent in its sole discretion, the occurrence or existence of any suspension of or limitation imposed on trading (by reason of movements in price exceeding limits permitted by any relevant exchange or market or otherwise) of, or the
unavailability, through a recognized system of public dissemination of transaction information, for a period longer than two hours, or during the one-half hour period preceding the close of trading, on the applicable exchange or market, of accurate
price, volume or related information in respect of (a) stocks which then comprise 20% or more of the value of the Index or any successor index, (b) any options or futures contracts, or any options on such futures contracts relating to the Index or
any successor index, or (c) any options or futures contracts relating to stocks which then comprise 20% or more of the value of the Index or any successor index on any exchange or market if, in each case, in the determination of the calculation
agent, any such suspension, limitation or unavailability is material. For the purpose of determining whether a Market Disruption Event exists at any time, if trading in a security included in the Index is materially suspended or materially limited
at that time, then the relevant percentage contribution of that security to the value of the Index will be based on a comparison of the portion of the value of the Index attributable to that security relative to the overall value of the Index, in
each case immediately before that suspension or limitation. 
  
 If
no closing value of the Index is available on any Index Business Day because of a Market Disruption Event or otherwise, the value of the Index for that Index Business Day, unless deferred by the calculation agent as described below, will be the
arithmetic mean, as determined by the calculation agent, of the value of the Index obtained from as many dealers in equity securities (which may include Citigroup Global Markets Inc. or any of the Company’s other subsidiaries or affiliates),
but not exceeding three such dealers, as will make such value available to the calculation agent. The determination of the value of the Index by the calculation agent in the event 

  

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of a Market Disruption Event may be deferred by the calculation agent for up to five consecutive Index Business Days on which a Market Disruption Event is
occurring, but not past the Index Business Day prior to the Stated Maturity Date. 
  
 DISCONTINUANCE OF THE DOW JONES INDUSTRIAL AVERAGE 
  
 If Dow Jones discontinues publication of the Index or if it or another entity publishes a successor or substitute index that
the calculation agent determines, in its sole discretion, to be comparable to the Index, then the Ending Value of any succeeding Valuation Date will be determined by reference to the value of that index, which is referred to as a “successor
index.” 
  
 Upon any selection by the calculation agent of a
successor index, the calculation agent will cause notice to be furnished to the Company and the Trustee, who will provide notice of the selection of the successor index to the registered holders of the Notes. 
  
 If Dow Jones discontinues publication of the Index and a successor index is
not selected by the calculation agent or is no longer published on any Valuation Date, the index value to be substituted for the Index for that Valuation Date will be a value computed by the calculation agent for that Valuation Date in accordance
with the procedures last used to calculate the Index prior to any such discontinuance. 
  
 If Dow Jones discontinues publication of the Index prior to the determination of the Supplemental Return Amount and the calculation agent determines that no successor index is available at that time, then on each
Index Business Day until the earlier to occur of (a) the determination of the Supplemental Return Amount and (b) a determination by the calculation agent that a successor index is available, the calculation agent will determine the value that is to
be used in computing the Supplemental Return Amount as described in the preceding paragraph as if such day were a Valuation Date. The calculation agent will cause notice of each such value to be published not less often than once each month in
The Wall Street Journal (or another newspaper of general circulation). 
  
 If a successor index is selected or the calculation agent calculates a value as a substitute for the Index as described above, the successor index or value will be substituted for the Index for all purposes, including
for purposes of determining whether an Index Business Day or Market Disruption Event occurs. 
  
 All determinations made by the calculation agent will be at the sole discretion of the calculation agent and will be conclusive for all purposes and binding on the Company and the beneficial owners of the Notes,
absent manifest error. 
  
 ALTERATION OF METHOD
OF CALCULATION 
  
 If at any time the method of calculating the
Index or a successor index is changed in any material respect, or if the Index or a successor index is in any other way modified so that the value of the Index or the successor index does not, in the opinion of the calculation agent, fairly 

  

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represent the value of that index had the changes or modifications not been made, then, from and after that time, the calculation agent will, at the close of
business in New York, New York, make those adjustments as, in the good faith judgment of the calculation agent, may be necessary in order to arrive at a calculation of a value of a stock index comparable to the Index or the successor index as if the
changes or modifications had not been made, and calculate the closing value with reference to the Index or the successor index. Accordingly, if the method of calculating the Index or the successor index is modified so that the value of the Index or
the successor index is a fraction or a multiple of what it would have been if it had not been modified (e.g., due to a split in the Index), then the calculation agent will adjust that index in order to arrive at a value of the index as if it
had not been modified (e.g., as if the split had not occurred). 
  
 GENERAL 
  
 This Note is one of a
duly authorized issue of debt securities of the Company (the “Debt Securities”), issued and to be issued in one or more series under a Senior Debt Indenture, dated as of October 27, 1993, as supplemented by a First Supplemental Indenture,
dated as of November 28, 1997, a Second Supplemental Indenture, dated as of July 1, 1999, and as further supplemented from time to time (the “Indenture”), between the Company and The Bank of New York, as Trustee (the “Trustee”,
which term includes any successor trustee under the Indenture), to which Indenture reference is hereby made for a statement of the respective rights, limitations of rights, duties and immunities thereunder of the Company, the Trustee and the holders
of the Notes, and the terms upon which the Notes are, and are to be, authenticated and delivered. 
  
 If an Event of Default with respect to the Notes shall have occurred and be continuing, the principal of the Notes may be declared due and payable in the
manner and with the effect provided in the Indenture. In such case, the amount declared due and payable upon any acceleration of the Notes will be determined by the calculation agent and will equal, for each Note, the maturity payment, calculated as
though the maturity of the Notes were the date of early repayment. If a Bankruptcy proceeding is commenced in respect of Citigroup Global Markets Holdings, the beneficial owner of a Note will not be permitted to make a claim for unmatured interest
and therefore, under Section 502(b)(2) of Title 11 of the United States Code, the claim of the beneficial owner of a Note will be capped at the payment at maturity calculated as though the maturity date of the Notes were the date of the commencement
of the proceeding, plus an additional amount of interest accrued on the principal amount of the Notes at 2% per annum up to the date of the commencement of the proceeding. 
  
 In case of default in payment at maturity of the Notes, the Notes will bear interest, payable upon demand of the beneficial
owners of the Notes in accordance with the terms of the Notes, from and after the maturity date through the date when payment of the unpaid amount has been made or duly provided for, at the rate of 4.875% per annum on the unpaid amount due.

  
 The Indenture permits, with certain exceptions as therein
provided, the amendment thereof and the modification of the rights and obligations of the Company and the rights of the holders of the Debt Securities of each series to be affected under the Indenture at any time by the Company and a majority in
aggregate principal amount of the Debt Securities at the time Outstanding of each series affected thereby. The Indenture also contains provisions permitting the holders of specified 

  

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percentages in aggregate principal amount of the Debt Securities of any series at the time Outstanding, on behalf of the holders of all Debt Securities of
such series, to waive compliance by the Company with certain provisions of the Indenture and certain past defaults under the Indenture and their consequences. Any such consent or waiver by the holder of this Note shall be conclusive and binding upon
such holder and upon all future holders of this Note and of any Note issued upon the registration of transfer hereof or in exchange herefor or in lieu hereof, whether or not notation of such consent or waiver is made upon this Note. 
  
 The holder of this Note may not enforce such holder’s rights pursuant to
the Indenture or the Notes except as provided in the Indenture. No reference herein to the Indenture and no provision of this Note or of the Indenture shall alter or impair the obligation of the Company to pay the Maturity Payment with respect to
this Note, and to pay any interest on any overdue amount thereof at the time, place and rate, and in the coin or currency, herein prescribed. 
  
 All terms used in this Note which are defined in the Indenture but not in this Note shall have the meanings assigned to them in the Indenture. 

 
 Unless the certificate of authentication hereon has been executed by the
Trustee by manual signature, this Note shall not be entitled to any benefit under the Indenture or be valid or obligatory for any purposes. 
  

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 IN WITNESS WHEREOF, the Company has caused this instrument to be duly executed under its corporate seal.

  

			
	 CITIGROUP GLOBAL MARKETS HOLDINGS INC.

		
	 By:
	 	 /s/ Scott Freidenrich

	 Name:
	 	 Scott Freidenrich

	 Title:
	 	 Executive Vice President and Treasurer

  

			
	 Corporate Seal

	 Attest:

		
	 By:
	 	 /s/ Douglas C. Turnbull

	 Name:
	 	 Douglas C. Turnbull

	 Title:
	 	 Assistant Secretary

	  
 Dated:
	 	  
 February 25,
2005

	
	 CERTIFICATE OF AUTHENTICATION

	 	 	 This is one of the Notes referred to in

	 	 	 the within-mentioned Indenture.
  

	 The Bank of New York,

	 as Trustee

		
	 By:
	 	 /s/ Geovanni Barris

	 	 	 Authorized Signatory

  

 7Form of stock option granted to executive officers.

 Exhibit 10(iii)(a.2) 
  
 EXXON MOBIL CORPORATION 
 STOCK OPTION 
  

							
	 Option No.:

	 	 Name of Grantee:

	 	 Number of Shares
 of Stock subject
 to this Option:

	  	 Option Price
 Per Share

  
 This STOCK OPTION
(“Option”), dated November 28, 2001, is granted in Dallas County, Texas by Exxon Mobil Corporation (the “Corporation”), pursuant to the 1993 Incentive Program adopted by the shareholders of the Corporation on April 28, 1993,
as amended (the “Program”). This Option is subject to the provisions of this instrument and the Program and to such regulations or requirements as may be stipulated from time to time by the administrative authority defined in the Program
and is granted on the condition that Grantee accepts such provisions, regulations and requirements. This instrument incorporates by reference the provisions of the Program, as it may be amended from time to time, including without limitation the
definitions of terms in this instrument and defined in the Program. This Option is not an Incentive Stock Option as defined in the Program. 
  
 1. Grant. The Corporation has granted to the Grantee named above an option to purchase from the Corporation shares of its common stock, without par value, up to
the maximum number and at the option price per share set forth above, payable in currency of the United States of America, in shares of common stock of the Corporation or other consideration in accordance with the terms of the Program and any
applicable regulations of the administrative authority in effect at the time. Such consideration will be valued at fair market value on the date of exercise. 
  
 2. Exercisability. Subject to paragraph 4, this Option shall become exercisable the earlier of one year after its date or upon the death of Grantee; provided that
this Option shall never be exercisable whenever the purchase or delivery of shares under this Option would be a violation of any law or any governmental regulation which the Corporation may find to be applicable. 
  
 3. Date of Exercise and Payment of Taxes. The date of any exercise of this Option
shall be the day on which all documents for a valid exercise are accepted by the Corporation. Grantee may elect to pay in shares of common stock of the Corporation a portion or all of the amount of the taxes required or permitted by federal, state,
or local law to be withheld in connection with the exercise of this Option. To make such election, Grantee will agree to surrender to the Corporation, on or about the date such withholding tax liability is determinable, shares previously owned by
Grantee having a fair market value equal to the amount of such withholding taxes that Grantee elects to pay in shares. 
  
 4. Expiration. This Option shall expire at the earliest of the following times: 
  

	(a)	If Grantee terminates, but does not terminate normally, it shall expire at the time of termination. 

  

	(b)	If Grantee engages in detrimental activity, it shall expire as of the date such activity is determined to be detrimental. 

  

	(c)	If Grantee dies, it shall expire five years after death. 

  

	(d)	In any event, it shall expire ten years after its date. 

  
 5. Partial Exercise and Adjustments. When this Option is exercisable for any whole number of shares up to the maximum number indicated above. This Option shall be
adjusted by the administrative authority as it deems appropriate for any split, stock dividend, or other relevant change in capitalization of the Corporation. 
  

6. Repayment of Amount Equal to Spread. If Grantee terminates other than normally, the granting authority may require Grantee to repay to the Corporation an
amount equal to the spread on this Option at exercise if it is exercised in whole or in part by Grantee during the six-month period immediately preceding such termination. 
  
 7. Nontransferability. This Option is not transferable except by will or the laws of descent and distribution, and is not subject, in
whole or in part, to attachment, execution or levy of any kind. 
  
 8.
Governing Law and Consent to Jurisdiction . This Option and Program are governed by the laws of the State of New York without regard to any conflict of law rules. Any dispute arising out of or relating to this Option or the Program may be
resolved in any state or federal court located within Dallas County, Texas, U.S.A. This Option is issued on the condition that Grantee accepts such venue and submits to the personal jurisdiction of any such court. Similarly, the Corporation accepts
such venue and submits to such jurisdiction. 
  

	
	EXXON MOBIL CORPORATION
	
	 By

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