Document:

Exhibit 10.21

  
 EXHIBIT 10.21

  
 FIFTH AMENDMENT 

TO 

ALLERGAN, INC. 
 SAVINGS AND INVESTMENT PLAN 
 (RESTATED 2008) 

 
 The ALLERGAN, INC. SAVINGS AND INVESTMENT PLAN (Restated 2008) (the
“Plan”) is hereby amended as follows, effective as of January 1, 2008, the Effective Date of the restated Plan: 
  

	1.	 Section 4.5(b) is amended to read as follows: 

 “(b)(i) For purposes of satisfying the Actual Deferral Percentage test of Section 4.3(a), the following procedures shall be used by the Committee to determine the total amount of excess
Compensation Deferral Contributions to be returned to Highly Compensated Participants: The amount of excess Compensation Deferral Contributions attributable to a given Highly Compensated Participant for a Plan Year shall be determined by the
Committee as the amount by which that person’s Compensation Deferral Contributions would have to be reduced for that person’s Actual Deferral Percentage to equal the highest permitted Actual Deferral Percentage under the Plan. To calculate
the highest Actual Deferral Percentage permitted under the Plan, the Actual Deferral Percentage of the Highly Compensated Participant with the highest Actual Deferral Percentage is reduced by the amount required to cause that person’s Actual
Deferral Percentage to equal the Actual Deferral Percentage of the Highly Compensated Participant with the next highest Actual Deferral Percentage. If a lesser reduction would enable the Plan to satisfy the Actual Deferral Percentage test of
Section 4.3(a), only the lesser reduction is used in determining the highest permitted Actual Deferral Percentage. This process will be repeated until the Actual Deferral Percentage test would be satisfied. The total amount of the excess
Compensation Deferral Contributions is equal to the sum of these hypothetical reductions for all Highly Compensated Participants. 
 (ii) For the purposes of satisfying the Actual Deferral Percentage test of Section 4.3(a), the following procedures shall be used by the Committee to apportion the total amount of excess Compensation
Deferral Contributions among Highly Compensated Participants: The Compensation Deferral Contributions of the Highly Compensated Participant who has the highest dollar amount of Compensation Deferral Contributions for such Plan Year is reduced to the
extent required to cause such Highly Compensated Participant’s Compensation Deferral Contributions to equal the Compensation Deferral Contributions of the Highly Compensated Participant with the next highest Compensation Deferral Contributions;
provided, however, if a lesser amount, when added to the total dollar amount already returned under this paragraph (b), equals the total excess Compensation Deferral Contributions that are required to be returned to enable the Plan to satisfy the
Actual Deferral Percentage test, the lesser amount shall be returned. This process will be repeated until all excess Compensation Deferral Contributions have been apportioned and returned, and the Plan satisfies the Actual Deferral Percentage
test.” 

  

	2.	Section 8.7(b) is amended to read as follows: 

 “(b)    In the event a Participant who incurs a Severance does not receive a distribution of the entire vested portion of his or her Accounts when he or she is not fully vested in
such Accounts, the non-vested portion of the Participant’s Accounts shall be forfeited on the date on which the Participant incurs five consecutive Breaks in Service.” 

 

	3.	Section 13.4 is amended to add the following sentence to the end thereof: 

 “If Annual Additions on behalf of any Participant in a Limitation Year to this Plan and all other defined contribution plans maintained by the Company exceed the limitation set forth in
Section 13.1, such excess shall be corrected according to the IRS’s Employee Plans Compliance Resolution System, or any successor correction program.” 
  

 
   IN WITNESS WHEREOF, Allergan, Inc.
hereby executes this Fifth Amendment to the Allergan, Inc. Savings and Investment Plan (Restated 2008) on this 22 day of October, 2010. 
  

 

			
	By:    	 	     /s/ Scott D. Sherman

		 	Scott D. Sherman
		 	Executive Vice President, Human ResourcesExhibit 10.70

  
 Exhibit 10.70

 GUILTY PLEA and PLEA AGREEMENT 
 United States Attorney 
 Northern District of Georgia 

 
  
 UNITED STATES DISTRICT COURT 
 NORTHERN DISTRICT OF GEORGIA 

ATLANTA DIVISION 
 CRIMINAL NO. 1:10-CR-375-ODE 
 The United States Attorney’s
Office for the Northern District of Georgia as counsel for the United States, and Defendant ALLERGAN, INC. (“Defendant” or “ALLERGAN”), hereby enter into this Plea Agreement pursuant to Rule 11(c)(l)(C) of the
Federal Rules of Criminal Procedure. Defendant, having received a copy of the above-numbered Criminal Information and having been arraigned, hereby pleads GUILTY to Count One of the Criminal Information thereof. 

I. ADMISSION OF GUILT 
 1.        The Defendant admits that it is pleading guilty because it is in fact guilty of the crime charged in Count One of the Criminal Information. 

II. ACKNOWLEDGMENT & WAIVER OF RIGHTS 

2.        The Defendant understands its rights and understands that by pleading
guilty pursuant to this Plea Agreement, it is giving up a number of rights including the right: 

  (a)        to plead not guilty to the criminal charge
brought against it; 
   (b)        to have a
trial by jury, at which it would be presumed not guilty of the charge and the United States would have to prove every essential element of the charged offense beyond a reasonable doubt for it to be found guilty; 

  (c)        to confront and cross-examine witnesses
against it and to subpoena witnesses in its defense at trial; 

  
   (d)       to pursue any affirmative defenses, Fourth Amendment or Fifth Amendment claims, and other pretrial motions that have been filed or could have been
filed;. 
   (e)       to appeal its conviction if
it is found guilty; and 
   (f)        to
appeal the imposition of sentence against it. 
 Subject to this Court’s approval of this Plea Agreement,
the Defendant knowingly and Voluntarily waives the rights set out in Paragraph 2(a)-(f) above. 
 The
Defendant understands that by pleading guilty pursuant to this Plea Agreement, it is giving up all of these rights and there will not be a trial of any kind. 
 The Defendant also understands that it ordinarily would have the right to appeal its sentence and, under some circumstances, to attack the conviction and sentence in post-conviction proceedings. By
entering this Plea Agreement, the Defendant may be waiving some or all of those rights to appeal and to collaterally attack its conviction and sentence, as specified below. 

Finally, the Defendant understands that to plead guilty, it will, through a duly authorized corporate representative,
have to answer, under oath, questions posed by the Court concerning the rights that the Defendant is giving up and the facts of this case, and the Defendant’s answers, if untruthful, may later be used against it. 

III. ACKNOWLEDGMENT OF PENALTIES 
 3.        The Defendant understands that, based on its plea of guilty to Count One of the Criminal Information, the statutory maximum penalty which may be imposed
against it upon conviction is the following: 

  (a)        Maximum Fine: $200,000; or twice the gross
pecuniary gain derived from the crime, or twice the gross pecuniary loss caused to the victims of the crime (18 U.S.C. 

  
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§ 3571(c) and (d)), whichever is larger; 
   (b)        Term of Probation: Pursuant to 18 U.S.C. § 3561(c)(2), the Court may impose a term of probation of not more than five years; 

  (c)        Mandatory special assessment: $125.00 due
and payable immediately; and 

  (d)        Forfeiture of all misbranded drugs involved
in the offense or substitute assets. 
 The Defendant understands that, before imposing sentence in this case, the Court will be
required to consider, among other factors, the provisions of the United States Sentencing Guidelines to the extent applicable to this offense and that the Court has the discretion to depart or vary from those Guidelines. 

IV. PLEA AGREEMENT 
 4.        The Defendant, its counsel, and the United States Attorney for the Northern District of Georgia (“Government”), as counsel for the United
States, subject to approval by the Court, have agreed upon a negotiated plea in this case, the terms of which are as follows: 

A. NO ADDITIONAL CHARGES 
 5.        The Government, and the United States Attorney’s Offices for each of the other 93 judicial districts of the United States, and the United States
Department of Justice, agree that other than the charge in the Criminal Information in this case, they will not bring other criminal charges against the Defendant, ALLERGAN, or its present or former parents, affiliates, divisions, or
subsidiaries; or their predecessors, successors, or assigns for (a) any conduct within the scope of the criminal investigation in the Northern District of Georgia related to the sales, marketing and promotion of BOTOX (therapeutic) and
(b) any conduct related to the sales, marketing, and promotion of BOTOX (therapeutic) which is presently known to the United States Attorney’s Office 

  
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for the Northern District of Georgia as of the date of the execution of this Plea Agreement. The Defendant understands that this provision does not bar prosecution by any state or local
jurisdiction and the non-prosecution terms of this paragraph do not apply to civil matters of any kind, to any violation of the federal tax or securities laws, or to any crime of violence. Further, the Defendant understands that the United States
takes no position as to the proper tax treatment of any of the payments made by the Defendant pursuant to this Plea Agreement, the Civil Settlement Agreement, or the Corporate Integrity Agreement referenced in this Plea Agreement. 

6.        The Defendant agrees to waive as set forth in this Paragraph the
statute of limitations, and any other time-related defense, to the charge to which it is agreeing to plead guilty under this Plea Agreement. The Defendant understands and agrees that, should it seek to withdraw its plea, it may then be prosecuted
for any criminal violation of which the United States has knowledge arising out of this investigation, subject to any applicable statute of limitation or other time-related protection not waived in this paragraph. The Defendant agrees that if it
does not enter its plea, or withdraws its plea, after signing this agreement, the time period between April 08, 2010 and its withdrawal shall be excluded from calculation of the limitations or time period. 

7.        The Defendant or anyone acting on its behalf also waives all rights,
whether asserted directly or by a representative, to request or receive from any department or agency of the United States any records pertaining to the investigation or prosecution of this case, including without limitation any records that may be
sought under the Freedom of Information Act, 5 U.S.C. § 552, or the Privacy Act, 5 U.S.C. § 552a. 

  
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 B. SENTENCING
GUIDELINES 
 8.        Based upon the evidence currently known
to the Government, the Government and the Defendant agree that the 2009 version of the United States Sentencing Commission Guidelines Manual is the appropriate Guidelines Manual to utilize. 

C. RECOMMENDED SENTENCE 
 9.        Pursuant to Fed. R. Crim. P. 11(c)(1)(C), the Government and ALLERGAN agree that the appropriate disposition of this case is as follows:

 (a)        that the Court impose a sentence requiring the Defendant
ALLERGAN to pay $375 million dollars ($375,000,000), in U.S. dollars, $350 million dollars ($350,000,000) of which will be applied to a criminal fine, and $25,000,000 of which will be applied as substitute assets to satisfy the forfeiture
obligation. ALLERGAN will pay these amounts within 10 business days of the date of sentencing. The Government and the Defendant agree that this fine and forfeiture amount represent a fair and just resolution of all issues associated with
loss/gain and forfeiture calculations. 
 (b)        ALLERGAN
agrees that as a result of its acts or omissions, the forfeitable property, that is the drugs which were misbranded, are no longer available for forfeiture as they cannot be located or have been transferred, sold or deposited with a third party,
or otherwise disposed of, within the meaning of federal law. As a result, ALLERGAN agrees to the entry and satisfaction of a judgment and preliminary order of forfeiture on the date of the guilty plea, forfeiting to the United States the sum
of $25,000,000 as substitute assets for the pertinent drugs. ALLERGAN agrees that, within 10 business days of the date of sentencing, ALLERGAN will make payment to the United States, by means of a wire transfer to the United States
Marshal Service 

  
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or check payable to same, in the amount of $25,000,000, this amount representing substitute assets of the offense for which it is pleading guilty, in full satisfaction of the judgment and
preliminary order of forfeiture. 
 Forfeiture of substitute assets shall not be deemed an alteration of
ALLERGAN’s sentence. The forfeiture set forth herein shall not satisfy or offset any fine, or other penalty imposed upon ALLERGAN, nor shall the forfeiture be used to offset ALLERGAN’s tax liability or any other debt
owed to the United States. ALLERGAN agrees to consent to the entry of an order of forfeiture for the $25,000,000.00 in United States currency, and waives the requirements of Federal Rules of Criminal Procedure 32.2 and 43(a) regarding notice
of the forfeiture in the charging instrument, entry of a preliminary order of forfeiture, announcement of the forfeiture at sentencing, and incorporation of the forfeiture in the judgment. ALLERGAN acknowledges that it understands that the
forfeiture of assets is part of the sentence that may be imposed in this case and waives any failure by the Court to advise it of this, pursuant to Rule 11 (b)(l)(J), at the time the guilty plea is accepted. 

In addition to all other waivers or releases set forth in this Agreement, ALLERGAN hereby waives any and all
claims arising from or relating to the forfeitures set forth in this section, including, without limitation, any claims arising under the Double Jeopardy Clause of the Fifth Amendment, or the Excessive Fines Clause of the Eighth Amendment, to the
United States Constitution, or any other provision of state or federal law. 

(c)        ALLERGAN shall pay a mandatory special assessment of $125
pursuant to 18 U.S.C. § 3013. 
 (d)        In light of the Civil
Settlement Agreement between ALLERGAN and others and the United States, attached hereto as Exhibit A, which requires the payment of $225 million plus 

  
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interest, the parties agree that the complication and prolongation of the sentencing process that would result from an attempt to fashion a restitution order outweighs the need to provide
restitution to the non-federal victims of this case, if any. Therefore, the Government agrees that it will not seek a separate restitution order as part of the negotiated guilty plea and the parties agree that the appropriate disposition of this
case does not include a restitution order. 

    (e)        The Government recommends that in light of
the Corporate Integrity Agreement executed contemporaneously with this guilty Plea Agreement, ALLERGAN should not be placed on probation. 
 10.        The Government and the Defendant understand that the Court retains complete discretion to accept or reject the recommended sentence provided for in
Paragraph 9 of this Plea Agreement. 

    (a)        If the Court does not accept
the recommended sentence in Paragraph 9, the United States and the Defendant agree that this Plea Agreement, except for Paragraph 10(b) below, shall be rendered void. 

    (b)        If the Court does not accept
the recommended sentence, the Defendant will be free to withdraw its guilty plea (Fed. R. Crim. P. 11(c)(5) and (d)). If the Defendant withdraws its plea of guilty, this Plea Agreement, the guilty plea, and any statement made in the course of any
proceedings under Fed. R. Crim. P. 11 regarding the guilty plea or this Plea Agreement or made in the course of plea discussions with an attorney for the Government shall not be admissible against the Defendant in any criminal or civil proceeding,
except as otherwise provided in Fed. R. Evid. 410. 

  
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 D. RIGHT TO
ANSWER QUESTIONS AND CORRECT MISSTATEMENTS 
 11.        The
Government reserves the right to inform the Court and the Probation Office of all facts and circumstances regarding the Defendant and this case, and to respond to any questions from the Court and the Probation Office, and to any misstatements of
fact or law. 
 E. SPECIAL ASSESSMENT 

12.        The Defendant agrees that it will pay the mandatory special assessment
in the amount of $125 by money order or certified check made payable to the Clerk of Court, U.S. District Court, 2211 U.S. Courthouse, 75 Spring Street, S.W., Atlanta, Georgia 30303, on or before the date of sentencing. 

V. LIMITED WAIVER OF APPEAL 
 13.        LIMITED WAIVER OF APPEAL: To the maximum extent permitted by federal law, ALLERGAN voluntarily and expressly waives the right to appeal its
conviction and sentence and the right to collaterally attack its conviction and sentence in any post-conviction proceeding (including, but not limited to, motions filed pursuant to 28 U.S.C. § 2255) on any ground. The Defendant understands that
this Plea Agreement does not limit the Government’s right to appeal, but if the Government initiates a direct appeal of the sentence imposed, the Defendant may file a cross-appeal of that same sentence. 

VI. VOLUNTARY PLEA 
 14.        The Defendant’s decision to enter into this Plea Agreement and to tender a plea of guilty is freely and voluntarily made and is not the result of
force, threats, assurances, promises, or representations other than the representations contained in this Plea Agreement. The United States has made no promises or representations to the Defendant as to whether the Court will accept or

  
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reject the recommendations contained within this Plea Agreement. 

VII. PROBATION DEPARTMENT NOT BOUND BY AGREEMENT 

15.        The sentencing disposition agreed upon by the parties and their
respective calculations under the Sentencing Guidelines are not binding upon the United States Probation Office. ALLERGAN and the United States Attorney’s Office agree to seek a sentencing by the District Court immediately following the
Rule 11 plea hearing and do not object to the Court proceeding to sentence ALLERGAN in the absence of a Presentence Report in this case. ALLERGAN understands that the decision whether to proceed immediately following the plea hearing
with the sentencing proceeding, and to do so without a Presentence Report, is exclusively that of the United States District Court. This paragraph does not affect ALLERGAN’s rights under Paragraph 10 of this Plea Agreement. 

VIII. VIOLATION OF PLEA AGREEMENT 
 16.        At the time of the acceptance of the guilty plea by the Court, the Government will close its investigation of ALLERGAN. If the Government
determines that ALLERGAN has failed to comply with any material provision of this Plea Agreement or prior to the entry of this plea of guilty has committed any crime following its execution of this Plea Agreement, the Government may, at its
sole option, be released from its commitments under this Plea Agreement in its entirety by notifying ALLERGAN, through counsel or otherwise, in writing. The Government may also pursue all remedies available to it under the law, even if it
elects not to be released from its commitments under this Plea Agreement. ALLERGAN recognizes that any such material breach by it of an obligation under this Plea Agreement shall not entitle it to withdraw from its guilty plea. ALLERGAN
understands that, should it breach any material provision of this agreement, the 

  
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Government will have the right to use against ALLERGAN before any grand jury, at any trial or hearing, or for sentencing purposes, any statements which may be made by it, and any
information, materials, documents or objects which may be provided by it to the Government subsequent to this Plea Agreement, without any limitation. 
 17.          ALLERGAN understands and agrees that this Rule 11(c)(1)(C) plea agreement and its agreed-upon criminal disposition: 

 

	 	(A)	 are wholly dependent upon ALLERGAN’s entering into and completing its obligations under the attached Civil Settlement Agreement,
including the requirement in that agreement that ALLERGAN pay to the United States and the Medicaid Participating States the amount of two hundred twenty-five million dollars ($225,000,000) in accordance with the terms of the Civil Settlement
Agreement; and 

  

	 	(B)	 are wholly dependent upon ALLERGAN’s entering into a dismissal with prejudice, the lawsuit Allergan, Inc. v. United
States of America, et al., Civil Action No. 09-1879 (JDB), filed in the United States District Court for the District of Columbia. 

 The failure by ALLERGAN to comply with the material terms of either this Plea Agreement, the attached Civil Settlement Agreement, or the filing of the above-described dismissal with prejudice will
constitute a breach of this Agreement, provided however, that a breach of the Corporate Integrity Agreement (the “CIA”), referred to in the Civil Settlement Agreement, does not constitute a breach of this Plea Agreement, and any disputes
arising under the CIA shall be resolved exclusively through the dispute resolution provisions of the CIA. 

  
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18.        In the event ALLERGAN at any time hereafter breaches any
material provision of this Plea Agreement, ALLERGAN understands that (1) the Government will as of the date of that breach be relieved of any obligations it may have in this Plea Agreement and the Civil Settlement Agreement; and
(2) ALLERGAN will not be relieved of its obligation to make the payments set forth in this Plea Agreement and ALLERGAN will not be relieved of its obligation to make the payments set forth in the attached Civil Settlement
Agreement, nor will it be entitled to return of any monies already paid. In the event that the Government hereafter breaches any material provision of this Plea Agreement, the Government understands that ALLERGAN will as of the date of that
breach be relieved of any obligations provided in this Plea Agreement. 
 XI. CORPORATE AUTHORIZATION 

19.        ALLERGAN shall provide to the U.S. Attorney and the Court a
certified copy of a resolution of the Board of Directors of ALLERGAN, affirming that the Board of Directors of ALLERGAN has authority to enter into the Plea Agreement and has (1) reviewed the Criminal Information in this case and
the proposed Plea Agreement or has been fully advised of the contents thereof; (2) consulted with legal counsel in connection with the matter; (3) voted to enter into the proposed Plea Agreement; (4) voted to authorize ALLERGAN
to plead guilty to the charge specified in the Plea Agreement; and (5) voted to authorize the corporate officer identified below to execute the Plea Agreement and all other documents necessary to carry out the provisions of the Plea
Agreement. 
 20.        ALLERGAN agrees that a duly authorized
corporate officer will appear on behalf of ALLERGAN and will enter the guilty plea and will also appear for the imposition of sentence. 

  
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 X. ENTRY OF
AGREEMENT 
 21.        This Plea Agreement constitutes the
entire agreement between the United States Attorney’s Office for the Northern District of Georgia and the Defendant concerning the disposition of the criminal charge in this case. There are no other agreements, promises, representations, or
understandings between the Defendant and the Government. This Plea Agreement cannot be modified except in writing, signed by the United States and the Defendant. 

22.        The undersigned is authorized to enter this Plea Agreement on behalf
of the Defendant as evidenced by the Resolution of the Board of Directors of the Defendant, attached hereto as Exhibit B, and incorporated by reference in, this Plea Agreement. 

23.        A facsimile signature shall be deemed an original signature for the
purpose of executing this Plea Agreement. Multiple signature pages are authorized for the purpose of executing this Plea Agreement. 
  

			
	 In Open Court this 5th day of, October 2010.
	  	
		
	 /s/ STEPHEN S. COWEN
	  	 /s/ SAMUEL J. GESTEN

	 STEPHEN S. COWEN
	  	 SAMUEL J. GESTEN

	 PHYLLIS B. SUMNER
	  	 EXECUTIVE VICE PRESIDENT and

	 MATTHEW H. BAUGHMAN
	  	 GENERAL COUNSEL

	 VICTORIA M. CALVERT
	  	 ALLERGAN, INC.

	 KING & SPALDING LLP
	  	 Corporate Representative

	 Counsel for Defendant ALLERGAN, INC.
	  	
		
	 /s/ JOHN T. BENTIVOGLIO
	  	
	 JOHN T. BENTIVOGLIO
	  	
	SKADDEN, ARPS, SLATE, MEAGHER & FLOM, LLP	  	
	 Counsel for Defendant ALLERGAN, INC.
	  	

  
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	 /s/ RANDY S. CHARTASH
	  	
	 RANDY S. CHARTASH
	  	
	 ASSISTANT UNITED STATES ATTORNEY

		
	 /s/ DOUGLAS W. GILFILLAN
	  	
	 DOUGLAS W. GILFILLAN
	  	
	 ASSISTANT UNITED STATES ATTORNEY

		
	 /s/ SALLY QUILLIAN YATES
	  	
	 SIGNATURE (Approving Official)

	 SALLY QUILLIAN YATES

	 UNITED STATES ATTORNEY

	 NORTHERN DISTRICT OF GEORGIA

			
	 October 05, 2010
	  		  	
	 DATE
	  		  	

 The Defendant has been advised of the Criminal Information against it and has
discussed it with its attorneys. The Defendant understands the charges and the elements of the charge that the Government would have to prove to convict it at a trial. The Defendant has read the foregoing Plea Agreement and has carefully reviewed
every part of it with its attorneys. It understands the terms and conditions contained in the Plea Agreement and voluntarily agrees to them. The Defendant also has discussed with its attorneys the rights it may have to appeal or challenge its
conviction and sentence, and it understands that the appeal waiver contained in the Plea Agreement will prevent it, with the narrow exceptions stated, from appealing its conviction and sentence or challenging its

  
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conviction and sentence in any post-conviction proceeding. No one has threatened or forced it to plead guilty, and no promises or inducements have been made to it other than those discussed in
the Plea Agreement. The discussions between Defendant’s attorneys and the Government toward reaching a negotiated plea in this case took place with its permission. Defendant is fully satisfied with the representation provided to it by its
attorneys in this case. 
  

					
	 /s/ SAMUEL J. GESTEN
	 		 	 October 05, 2010

	 SAMUEL J. GESTEN
	 		 	 DATE

	 EXECUTIVE VICE PRESIDENT
 and GENERAL COUNSEL
	 		 	
	 ALLERGAN, INC.
	 		 	

 (Corporate Representative) 
 We are ALLERGAN, INC.’s lawyers. We have carefully reviewed the charges and the Plea Agreement with our client. To our knowledge, our client is making an informed and voluntary decision to
plead guilty and to enter into the Plea Agreement. 
  

					
	 /s/ STEPHEN S. COWEN
	 		 	 Oct 5, 2010

	 STEPHEN S. COWEN
	 		 	
	 (Defense Attorney)
	 		 	 DATE

			
	 /s/ JOHN T. BENTIVOGLIO
	 		 	 October 5, 2010

	 JOHN T. BENTIVOGLIO
	 		 	
	 (Defense Attorney)
	 		 	 DATE

  
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