Document:

Officers' Certificate of Kellogg Company

 Exhibit 4.1 
 KELLOGG COMPANY 
 OFFICERS’ CERTIFICATE 

The undersigned, Joel A. Vander Kooi, Vice President – Treasurer, and Gary H. Pilnick, Senior Vice President, General Counsel,
Corporate Development and Secretary, of Kellogg Company, a Delaware corporation (the “Company”), do hereby certify that pursuant to the authority granted in resolutions (collectively, the “Resolutions”) adopted by the Board of
Directors of the Company on September 23, 2010; and pursuant to Section 2.3 of the Indenture, dated as of May 21, 2009 (the “Indenture”), between the Company and The Bank of New York Mellon Trust Company, N.A., as trustee
(the “Trustee”), there is established a series of securities under the Indenture with the following terms: 
 1. The
securities are entitled “4.000% Senior Notes due 2020” (the “Notes”). 
 2. The Notes are limited in
aggregate principal amount to $1,000,000,000 (except for Notes authenticated and delivered upon registration of transfer of, or in exchange for, or in lieu of, other Notes pursuant to Sections 2.8, 2.9, 2.11 or 12.3 of the Indenture); provided the
Company may, without the consent of holders of the Notes, issue additional Notes having the same ranking and the same interest rate, maturity and other terms as the Notes, which additional Notes will constitute as single series of debt securities
under the Indenture. 
 3. The price to public of the Notes was 99.137% of the principal amount, plus accrued interest, if any,
from December 13, 2010. 
 4. The principal amount of the Notes will mature on December 15, 2020, subject to the
provisions of the Indenture relating to acceleration. 
 5. The Notes will bear interest from December 13, 2010 at the rate
of 4.000% per annum, payable on each June 15 and December 15, commencing June 15, 2011, to the holders of record of the Notes on the May 31 or November 30, as the case may be, immediately preceding such June 15 or
December 15. Interest will be computed on the basis of a 360 day year of twelve 30-day months. 
 6. The principal of and
interest on the Notes will be payable at the office or agency of the Company maintained for that purpose, pursuant to the Indenture, in the City of New York, which shall be initially the corporate trust office of the Trustee; provided, however, that
at the option of the Company, such payment of interest may be made by check mailed to the person entitled thereto as provided in the Indenture. The principal of and interest on the Notes will be payable in the coin or currency of the United States
of America. 
 7. The Notes will be redeemable by the Company prior to maturity as described in Section 2 of the form of
the Note attached hereto as Exhibit A. 
 8. If a Change of Control Repurchase Event (as defined in the form Note
attached hereto as Exhibit A) shall have occurred, holders of the Notes may require the Company to repurchase all or any part of the Notes in the manner provided and subject to the limitations set forth in the form of Note attached
hereto as Exhibit A. 

  
 1 

 9. The Notes will not have the benefit of any sinking fund. 

10. The Notes initially will be represented by securities registered in the name of the nominee of The Depository Trust Company. The
notes will be issued only in fully registered form without coupons in denominations of $2,000 or any whole multiple of $1,000. 

11. The Notes will initially be issued in the form of one or more global securities, substantially in the form attached as Exhibit
A hereto. The Depository Trust Company shall serve as the depositary (the “Depositary”) for such global securities. While the Notes are evidenced by one or more global securities, the Depositary or its nominee, as the case may be, will
be the sole holder thereof for all purposes under the Indenture. Neither the Company nor the Trustee shall have any responsibility or obligation to the Depositary’s participants or the beneficial owners for whom they act with respect to their
receipt from the Depositary of payments on the Notes or notices given under the Indenture. 
 All capitalized terms used herein
and not otherwise defined shall have the meanings given such terms in the Indenture. 

  
 2 

 IN WITNESS WHEREOF, we have set our hands as of this 13th day of December, 2010. 

 

			
	KELLOGG COMPANY
		
	By:	 	 /s/ Joel A. VanderKooi

	Name:	 	Joel A. Vander Kooi
	Title:	 	Vice President – Treasurer
		
	By:	 	 /s/ Gary H. Pilnick

	Name:	 	Gary H. Pilnick
	Title:	 	Senior Vice President, General Counsel, Corporate Development and Secretary

 Officers’ Certificate 
 (Terms of Note) 

  
 3 

 EXHIBIT A 

FORM OF NOTE 
 (SPECIMEN) 
 KELLOGG COMPANY 

4.000% Senior Notes due 2020 

Unless this certificate is presented by an authorized representative of The Depository Trust Company, a New York corporation (“DTC” and the
“Depositary”), to the Company (as defined below) or its agent for registration of transfer, exchange or payment, and any certificate issued is registered in the name of Cede & Co. or in such other name as is requested by an
authorized representative of 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. 
  

							
	REGISTERED	 		 		  	REGISTERED
				
	No. —	 		 		  	 U.S.$
 CUSIP No.: 487836 BD 9

 Kellogg Company, a corporation duly
organized and existing under the laws of Delaware (herein called the “Company,” which term includes any successor Person under the Indenture hereinafter referred to), for value received, hereby promises to pay to CEDE & CO., or
registered assigns, the principal sum set forth above or such other principal sum on the Schedule of Exchanges attached hereto (which shall not exceed U.S.$             ) on
December 15, 2020, and to pay interest thereon from December 13, 2010, or from the most recent interest payment date to which interest has been paid or duly provided for, semiannually on June 15 and December 15 in each year,
commencing June 15, 2011, at the rate of 4.000% per annum, until the principal hereof is paid or made available for payment. 
 The interest so payable, and punctually paid or duly provided for, on any interest payment date will, as provided in the Indenture, be paid to the Person in whose name this Security (or one or more
predecessor Securities) is registered at the close of business on the regular record date for such interest, which shall be the May 31 or November 30 (whether or not a Business Day), as the case may be, immediately preceding such interest
payment date. Any such interest not so punctually paid or duly provided for will forthwith cease to be payable to the Securityholder on such regular record date and may either be paid to the Person in whose name this Security (or one or more
predecessor Securities) is registered at the close of business on a special record date for the payment of such defaulted interest to be fixed by the Trustee, notice whereof shall be given to Securityholders of this Series not less than 10 days
prior to such special record date, or be paid at any time in any other lawful manner not inconsistent with the requirements of any securities exchange on which the Securities of this Series may be listed, and upon such notice as may be required by
such exchange, all as more fully provided in the Indenture. 

  
 A-1

 Payment of the principal of (and premium, if any) and interest on this Security will be made
at the office or agency of the Company maintained for that purpose in the Borough of Manhattan, The City of New York, in such coin or currency of the United States of America as at the time of payment is legal tender for payment of public and
private debts; provided, however, that at the option of the Company payment of interest may be made by check mailed to the address of the Person entitled thereto as such address shall appear in the Security Register or by wire transfer
to an account maintained by the Person entitled thereto as specified in the Security Register, provided that such Person shall have given the Trustee written wire instructions at least five Business Days prior to the applicable Interest Payment
Date. 
 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. 
 Unless the certificate of
authentication hereon has been executed by the Trustee referred to on the reverse hereof by manual signature, this Security shall not be entitled to any benefit under the Indenture or be valid or obligatory for any purpose. 

* * * * 

  
 A-2

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

Dated: December 13, 2010 
  

					
	KELLOGG COMPANY
		
	By:	 	  

		 	Name:	 	Joel A. Vander Kooi
		 	Title:	 	Vice President – Treasurer
		
	By:	 	  

		 	Name:	 	Gary H. Pilnick
		 	Title:	 	Senior Vice President, General Counsel, Corporate Development and Secretary

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

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

		 	Authorized Signatory

  
 A-3

 [FORM OF REVERSE SIDE OF SECURITY] 

4.000% Senior Notes due 2020 
 Section 1. Indenture 
 The Company issued the Securities under an
Indenture, dated as of May 21, 2009, between the Company and the Trustee (the “Indenture”). The terms of the Securities include those stated in the Indenture and those made part of the Indenture by reference to the Trust Indenture Act
as in effect on the date of the Indenture. The Securities are subject to all terms and provisions of the Indenture, and Securityholders are referred to the Indenture and the Trust Indenture Act for a statement of such terms and provisions.

 The Securities are senior unsecured obligations of the Company initially limited to
$— aggregate principal amount at any one time outstanding. This Security is one of a Series designated as 4.000% Senior Notes due 2020 of the Company. 

Section 2. Optional Redemption 
 The Securities may be redeemed at the Company’s option, at any time in whole or from time to time in part. The redemption price for the Securities to be redeemed on any redemption date will be equal
to the greater of the following amounts: 
  

	 	(a)	100% of the principal amount of the Securities being redeemed on the redemption date; or 

 

	 	(b)	the sum of the present values of the remaining scheduled payments of principal and interest on the Securities being redeemed on that redemption date (not including any
portion of any payments of interest accrued to the redemption date) discounted to the redemption date on a semiannual basis at the Treasury Rate (as defined below), as determined by the Reference Treasury Dealer (as defined below), plus 15 basis
points; 

 plus, in each case, accrued and unpaid interest on the Securities to the redemption date.
Notwithstanding the foregoing, installments of interest on the Securities that are due and payable on interest payment dates falling on or prior to a redemption date will be payable on the interest payment date to the registered Securityholders as
of the close of business on the relevant record date according to the Securities and the Indenture. The redemption price will be calculated on the basis of a 360-day year consisting of twelve 30-day months. 

The Company will mail notice of any redemption at least 30 days but not more than 60 days before the redemption date to each
Securityholder of the Securities to be redeemed. Once notice of redemption is mailed, the Securities called for redemption will become due and payable on the redemption date and at the applicable redemption price, plus accrued and unpaid interest to
the redemption date. 
 “Treasury Rate” means, with respect to any redemption date, the rate per annum equal to
the semiannual equivalent yield to maturity of the Comparable Treasury Issue, assuming a price for the Comparable Treasury Issue (expressed as a percentage of its principal amount) equal to the Comparable Treasury Price for such redemption date.

  
 A-4

 “Comparable Treasury Issue” means the United States Treasury security
selected by the Reference Treasury Dealer as having a maturity comparable to the remaining term of the Securities to be redeemed that would be utilized, at the time of selection and in accordance with customary financial practice, in pricing new
issues of corporate debt securities of comparable maturity to the remaining term of the Securities. 
 “Comparable
Treasury Price” means, with respect to any redemption date, (A) the average of the Reference Treasury Dealer Quotations for such redemption date, after excluding the highest and lowest such Reference Treasury Dealer Quotations, or
(B) if the Trustee obtains fewer than three such Reference Treasury Dealer Quotations, the average of all such Quotations, or (C) if only one Reference Treasury Dealer Quotation is received, such Quotation. 

“Reference Treasury Dealer” means (A) each of Barclays Capital Inc., Deutsche Bank Securities Inc. and J.P. Morgan
Securities LLC (or their affiliates which are Primary Treasury Dealers), and their respective successors; provided, however, that if any of the foregoing shall cease to be a primary U.S. Government securities dealer in New York City (a
“Primary Treasury Dealer”), the Company will substitute therefor another Primary Treasury Dealer; and (B) any other Primary Treasury Dealer(s) selected by the Company. 

“Reference Treasury Dealer Quotation” means, with respect to each Reference Treasury Dealer and any redemption date, the
average, as determined by the Trustee, of the bid and asked prices for the Comparable Treasury Issue (expressed in each case as a percentage of its principal amount) quoted in writing to the Trustee by such Reference Treasury Dealer at
5:00 p.m. (New York City time) on the third business day preceding such redemption date. 
 On and after the redemption
date, interest will cease to accrue on the Securities or any portion of the Securities called for redemption (unless the Company defaults in the payment of the redemption price and accrued interest). On or before the redemption date, the Company
will deposit with a Paying Agent or the Trustee money sufficient to pay the redemption price of and accrued interest on the Securities to be redeemed on that date. If less than all of the securities of any series are to be redeemed, the securities
to be redeemed shall be selected by the Trustee by a method the Trustee deems to be fair and appropriate. The Securities are not entitled to the benefit of any mandatory redemption. 

Section 3. Repurchase Upon a Change of Control Repurchase Event 

If a Change of Control Repurchase Event (as defined below) occurs, unless the Company has exercised its right to redeem the Securities as
described in Section 2, the Company will make an offer to each Securityholder to repurchase all or any part (equal to $2,000 or in integral multiples of $1,000) of that holder’s Securities at a repurchase price in cash equal to 101% of the
aggregate principal amount of Securities repurchased plus any accrued and unpaid interest on the Securities repurchased to the date of purchase. Within 30 days following any Change of Control Repurchase Event or, at the Company’s option,
prior to any Change of Control (as defined below), but after the public announcement of an impending Change of Control, the Company will mail a notice to each Securityholder, with a copy to the Trustee, describing the transaction or transactions
that constitute or may constitute the Change of Control Repurchase Event and offering to repurchase Securities on the payment date specified in the notice, which date will be no earlier than 30 days and no later than 60 days from the date
such notice is mailed. The notice shall, if mailed prior to the date of consummation of the Change of Control, state that the offer to purchase is conditioned on the Change of Control Repurchase Event occurring on or prior to the payment date
specified in the notice. 

  
 A-5

 The Company will comply with the requirements of Rule 14e-1 under the Securities
Exchange Act of 1934, as amended (the “Exchange Act”), and any other securities laws and regulations thereunder, to the extent those laws and regulations are applicable in connection with the repurchase of the Securities as a result of a
Change of Control Repurchase Event. To the extent that the provisions of any securities laws or regulations conflict with the Change of Control repurchase event provisions of the Securities, the Company will comply with the applicable securities
laws and regulations and will not be deemed to have breached our obligations under the Change of Control Repurchase Event provisions of the Securities by virtue of such conflict. 

On the Change of Control Repurchase Event payment date, the Company will, to the extent lawful: 

 

	 	(a)	accept for payment all Securities or portions of Securities properly tendered pursuant to the Company’s offer; 

 

	 	(b)	deposit with the Paying Agent an amount equal to the aggregate purchase price in respect of all Securities or portions of Securities properly tendered; and

  

	 	(c)	deliver or cause to be delivered to the Trustee the Securities properly accepted, together with an Officers’ Certificate stating the aggregate principal amount of
Securities being purchased by the Company. 

 The Paying Agent will promptly mail to each Securityholder of
properly tendered Securities the purchase price for the Securities, and the Trustee will promptly authenticate and mail (or cause to be transferred by book-entry) to each Securityholder a new Security equal in principal amount to any unpurchased
portion of any Securities surrendered; provided, that each new Security will be in a principal amount of $2,000 or an integral multiple of $1,000 above that amount. 
 The Company will not be required to make an offer to repurchase the Securities upon a Change of Control Repurchase Event if a third party makes such an offer in the manner, at the times and otherwise in
compliance with the requirements for an offer made by the Company and such third party purchases all Securities properly tendered and not withdrawn under its offer. An offer to repurchase the Securities upon a Change of Control Repurchase Event may
be made in advance of a Change of Control Repurchase Event, if a definitive agreement is in place for a Change of Control at the time of the making of a such an offer. 

  
 A-6

 “Below Investment Grade Rating Event” occurs if both the rating on the
Securities is lowered by each of the Rating Agencies and the Securities are rated below Investment Grade by each of the Rating Agencies on any date from the date of the public notice of an arrangement that could result in a Change of Control until
the end of the 60-day period following public notice of the occurrence of a Change of Control (which period shall be extended so long as the rating of the Securities is under publicly announced consideration for possible downgrade by any of the
Rating Agencies); provided that a Below Investment Grade Rating Event otherwise arising by virtue of a particular reduction in rating shall not be deemed to have occurred in respect of a particular Change of Control (and thus shall not be
deemed a Below Investment Grade Rating Event for purposes of the definition of Change of Control Repurchase Event hereunder) if any of the Rating Agencies making the reduction in rating to which this definition would otherwise apply does not
announce or publicly confirm or inform the trustee in writing at its request that the reduction was the result, in whole or in part, of any event or circumstance comprised of or arising as a result of, or in respect of, the applicable Change of
Control (whether or not the applicable Change of Control shall have occurred at the time of the Below Investment Grade Rating Event). 
 “Change of Control” means the occurrence of any of the following: 

(1) the direct or indirect sale, transfer, conveyance or other disposition (other than by way of merger or consolidation), in one or
a series of related transactions, of all or substantially all of our properties or assets and those of our subsidiaries taken as a whole to any “person” (as that term is used in Section 13(d)(3) of the Exchange Act), other than the
Company or one of its Subsidiaries; 
 (2) the adoption of a plan relating to the Company’s liquidation or
dissolution; 
 (3) the first day on which a majority of the members of the Company’s Board of Directors are not
Continuing Directors; or 
 (4) the consummation of any transaction or series of related transactions (including, without
limitation, any merger or consolidation) the result of which is that any “person” (as that term is used in Section 13(d)(3) of the Exchange Act), other than the Company or one of its wholly-owned Subsidiaries, becomes the beneficial
owner, directly or indirectly, of more than 50% of the then outstanding shares of the Company’s Voting Stock, measured by voting power rather than number of shares. 
 “Change of Control Repurchase Event” means the occurrence of both a Change of Control and a Below Investment Grade Rating Event. 

“Continuing Directors” means, as of any date of determination, any member of the Company’s Board of Directors who
(1) was a member of such Board of Directors on the date of the issuance of the Securities; or (2) was nominated for election or elected to such Board of Directors with the approval of a majority of the Continuing Directors who were members
of such Board of Directors at the time of such nomination or election (either by a specific vote or by approval of our proxy statement in which such member was named as a nominee for election as a director). 

  
 A-7

 “Fitch” means Fitch Ratings. 

“Investment Grade” means a rating of BBB- or better by Fitch (or its equivalent under any successor rating categories of
Fitch), Baa3 or better by Moody’s (or its equivalent under any successor rating categories of Moody’s) and a rating of BBB- or better by S&P (or its equivalent under any successor rating categories of S&P) or the equivalent
investment grade credit rating from any additional Rating Agency or Rating Agencies selected by the Company. 

“Moody’s” means Moody’s Investors Service Inc. 

“Rating Agency” means (1) each of Fitch, Moody’s and S&P; and (2) if any of Fitch, Moody’s or
S&P ceases to rate the Securities or fails to make a rating of the Securities publicly available for reasons outside of our control, a “nationally recognized statistical rating organization” within the meaning of
Rule 15c3-1(c)(2)(vi)(F) under the Exchange Act, selected by the Company as a replacement agency for Fitch, Moody’s or S&P, as the case may be. 
 “S&P” means Standard & Poor’s Ratings Services, a division of McGraw-Hill, Inc. 
 “Voting Stock” means, with respect to any person, capital stock of any class or kind the holders of which are ordinarily, in the absence of contingencies, entitled to vote for the
election of directors (or persons performing similar functions) of such person, even if the right so to vote has been suspended by the happening of such a contingency. 
 Section 4. Sinking Fund 
 The Securities are not subject to any
sinking fund. 
 Section 5. Denominations; Transfer; Exchange 

The Securities are in registered form without coupons in denominations of $2,000 or any whole multiple of $1,000. A Securityholder may
transfer or exchange Securities in accordance with the Indenture. Upon any transfer or exchange, the Registrar and the Trustee may require a Securityholder, among other things, to furnish appropriate endorsements or transfer documents and to pay any
taxes required by law or permitted by the Indenture. The Registrar need not register the transfer of or exchange any Securities selected for redemption or to transfer or exchange any Securities for a period of 15 days prior to the mailing of a
notice of redemption of Securities to be redeemed. 
 A global Security deposited with the Depositary or the Trustee shall be
transferred to the beneficial owner thereof in the form of definitive Securities only if (a) the Company notifies the Trustee in writing that the Depositary, Euroclear Bank, S.A./ N.V., as operator of the Euroclear System, or Clearstream
Banking, société anonyme, is no longer willing or able to act as a depositary or clearing system for the Securities or the Depositary ceases to be registered as a clearing agency under the Exchange Act, and a successor depositary or
clearing system is not appointed within 90 days of this notice or cessation, (b) the Company, at its option, notifies the Trustee in writing that it elects to cause the issuance of the Securities in definitive form under the Indenture or
(c) upon the occurrence and continuation of an Event of Default under the Indenture with respect to the Securities. Upon surrender by the Depositary of the global Securities, certificated Securities will be issued to each Person that the
Depositary identifies as the beneficial owner of the Securities represented by the global Security. Upon any such issuance, the Trustee is required to register the certificated Securities in the name of the Person or Persons or the nominee of any of
these Persons and cause the same to be delivered to these Persons. Neither the Company nor the Trustee shall be liable for any delay by the Depositary or any participant or indirect participant in identifying the beneficial owners of the related
Securities and each such Person may conclusively rely on, and shall be protected in relying on, instructions from the Depositary for all purposes, including with respect to the registration and delivery, and respective principal amounts, of the
Securities to be issued. 

  
 A-8

 Section 6. Events of Default 

If an Event of Default with respect to Securities of this series shall occur and be continuing, the principal of the Securities of this
series may be declared due and payable in the manner and with the effect provided in the Indenture. 
 Section 7.
Persons Deemed Owners 
 The registered Securityholder may be treated as the owner of it for all purposes. 

Section 8. Unclaimed Money 
 If money for the payment of principal or interest remains unclaimed for two years, the Trustee or Paying Agent shall pay the money back to the Company at its written request unless an abandoned property
law designates another Person. After any such payment, Securityholders entitled to the money must look only to the Company and not to the Trustee for payment. 
 Section 9. Discharge and Defeasance 
 Subject to certain conditions,
the Company at any time may terminate some of or all its obligations under the Securities and the Indenture if the Company deposits with the Trustee money or U.S. Government Obligations for the payment of principal and interest on the Securities to
redemption or maturity, as the case may be. 
 Section 10. Trustee Dealings with the Company 

Subject to certain limitations imposed by the Trust Indenture Act, the Trustee under the Indenture, in its individual or any other
capacity, may become the owner or pledgee of Securities and may otherwise deal with and collect obligations owed to it by the Company or its Affiliates and may otherwise deal with the Company or its Affiliates with the same rights it would have if
it were not Trustee. 

  
 A-9

 Section 11. No Recourse Against Others 

A director, officer, employee or stockholder, as such, of the Company shall not have any liability for any obligations of the Company
under the Securities or the Indenture or for any claim based on, in respect of or by reason of such obligations or their creation. By accepting a Security, each Securityholder waives and releases all such liability. The waiver and release are part
of the consideration for the issue of the Securities. 
 Section 12. Authentication 

This Security shall not be valid until an authorized signatory of the Trustee (or an authenticating agent) manually signs the certificate
of authentication on the other side of this Security. 
 Section 13. Notices 

Notices to Securityholders will be published in authorized daily newspapers in the City of New York. It is expected that publication will
be made in the City of New York in The Wall Street Journal. Any notice given pursuant to these provisions shall be deemed to have been given on the date of publication or, if published more than once, on the date first published. 

Section 14. Governing Law 
 THIS SECURITY SHALL BE GOVERNED BY, AND CONSTRUED IN ACCORDANCE WITH, THE LAWS OF THE STATE OF NEW YORK BUT WITHOUT GIVING EFFECT TO APPLICABLE PRINCIPLES OF CONFLICTS OF LAW TO THE EXTENT THAT THE
APPLICATION OF THE LAWS OF ANOTHER JURISDICTION WOULD BE REQUIRED THEREBY. 
 Section 15. CUSIP Numbers 

Pursuant to a recommendation promulgated by the Committee on Uniform Security Identification Procedures, the Company has caused CUSIP
numbers to be printed on the Securities and has directed the Trustee to use CUSIP numbers in notices of redemption as a convenience to Securityholders. No representation is made as to the accuracy of such numbers either as printed on the Securities
or as contained in any notice of redemption and reliance may be placed only on the other identification numbers placed thereon. 

Section 16. Defined Terms 
 All terms used in this Security which are defined in the Indenture and not otherwise defined herein shall have the meanings assigned to them in the Indenture. 

The Company will furnish to any Securityholder upon written request and without charge to the Securityholder a copy of the Indenture
which has in it the text of this Security. 

  
 A-10

 CERTIFICATE TO BE DELIVERED UPON EXCHANGE 

OR REGISTRATION OF TRANSFER OF SECURITIES 
 This Certificate relates to $                      principal amount of Securities held in (check
applicable space)          book-entry or          definitive form by
                                        
(the “Transferor”). 
 The Transferor (check one box below): 
 has requested the Trustee by written order to deliver in exchange for its beneficial interest in the Global Security held by the Depositary a Security or Securities in definitive, registered form of
authorized denominations in an aggregate principal amount equal to its beneficial interest in such Global Security (or the portion thereof indicated above); or 
 has requested the Trustee by written order to exchange or register the transfer of a Security or Securities. 
  

									
		 		 		 	  

		 		 		 	[INSERT NAME OF TRANSFEROR]
					
	Dated:	 	  
	 		 	By:	 	  

 SCHEDULE OF EXCHANGES 

The following exchanges of a part of this Book-Entry Security have been made: 

 

									
	 Date of
 Exchange
	  	 Amount of decrease in
 Principal Amount of
 this Book-Entry Security
	  	 Amount of increase in
 Principal Amount of
 this Book-Entry Security
	  	 Principal Amount of this

Book-Entry Security

following such decrease
 (or increase)
	  	 Signature of
 authorized signatory
 of Trustee or

Security Custodian

 ASSIGNMENT FORM 
 To assign this Security, fill in the form below: 
 I or we assign and transfer this Security to

  
  
 (Print or type assignee’s name, address and zip code) 
  

 
 (Insert assignee’s soc. sec.
or tax I.D. No.) 
 and irrevocably appoint
                                         
                                    agent to transfer this Security on
the books of the Company. The agent may substitute another to act for him. 
  

									
	Date:	 	  
	 	Your Signature:	 	  
	 	

  
  

Sign exactly as your name appears on the other side of this Security.Letter in regard to agreement term extension, dated December 8, 2010

 Exhibit 10.1 

 

 

 8001 Arista Place, Suite 200 
 Broomfield, CO 80021 
 Phone: 720-940-2200, Fax: 720-208-9261

 December 8, 2010 
 Geoffrey Pinski 
 Director of Intellectual Property 

University of Cincinnati 
 Office of Intellectual
Property 
 51 Goodman Dr, Suite 240 

Cincinnati, Ohio 45219-0829 
 Dear Geoffrey,

 When countersigned by the University of Cincinnati, this letter will extend the Exclusive Option Agreement between ARCA
biopharma, Inc. and the University of Cincinnati dated December 2, 2009 to December 31, 2010. 
 Please sign below
indicating your agreement to the above. Feel free to contact me if you have any questions 
  

	
	Best regards,
	
	 /s/ Christopher D. Ozeroff

	Christopher D. Ozeroff
	SVP and General Counsel

 ACCEPTED AND AGREED:

 UNIVERSITY OF CINCINNATI 
  

			
	By:	 	         /s/ Geoffrey Pinski

		 	        Geoffrey Pinski
		
	Date:	 	         December 8, 2010

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