Document:

Exhibit 10.6

 

Agreement for Subscription for the Sixth Share Option Offering (tax-qualified)

 

This Agreement is made and entered into by and between UBIC, Inc. (hereinafter referred to as the “Company”) and Sunil Mudunuli (hereinafter referred to as the “Subscriber”) with respect to the subscription for the sixth share option offering.

 

Article 1 (Subscription for Share Options)

 

In accordance with the resolution of the eighth annual shareholders’ meeting held on June 24, 2011 and the resolution of the board meeting held on June 1, 2012, the Company has determined the following requirements for the sixth share option offering (hereinafter referred to as the “Share Options”), of which the Subscriber subscribes for 100 options. Since this Agreement shall be made integrally at the same time with other subscribers in accordance with Article 244 of the Companies Act, the Company shall subscribe for the Share Options simultaneously with subscribers referred to in the Appendix.

 

Description

 

Requirements for the offering of Share Options

 

(1)                                 Class and number of shares covered by the Share Options

 

16,000 Class A common shares, which, in case of adjustment set forth below, shall be revised to the number of granted shares after adjustment multiplied by the total number of Share Options.

 

Number of shares covered by one (1) Share Option (hereinafter referred to as the “Number of Granted Shares”) shall be 10 class A common shares. In the event of a stock split (including a gratis allotment of common stock and this being applicable hereinafter, as well) or a reverse split by the Company after the day when the Share Options are allotted (hereinafter referred to as the “Date of Allotment”), the following formula shall be used to adjust the Number of Granted Shares covered by the Share Options that have not been exercised at the time of adjustment. Fractional share resulting from adjustment shall be discarded.

 

Number of Granted Shares after adjustment = Number of Granted Shares before adjustment × ratio of split or reverse split

 

Any adjustment of the Number of Granted Shares which may be required in other situations shall be made to a reasonable extent.

 

 

(2)                                 Total number of Share Options

 

1,600

 

(3)                                 Amount payable in exchange of the Share Options

 

No payment is required in exchange of the Share Options

 

(4)                                 Manner of calculating the value of assets contributed in exercising the Share Options

 

80,960 yen for one (1) Share Option

 

Value of assets contributed in exercising one (1) Share Option shall be obtained by multiplying the amount paid per share for the shares delivered upon exercise of the Share Option (hereinafter referred to as the “Exercise Price”) by the Number of Granted Shares.

 

The Exercise Price shall be 8,096 yen

 

If any of the following events occurs on or after the Date of Allotment, the Exercise Price shall be adjusted as follows.

 

(i) For the share split or reverse split by the Company, the Exercise Price shall be adjusted in accordance with the formula stated below and fractional yen resulting from the adjustment shall be rounded up to the nearest yen.

 

	
Exercise Price after   adjustment
    	
=
    	
Exercise Price before   adjustment
    	
×
    	
1
    
	
ratio of share split or   reverse split
    

 

(ii) If the Company issues new shares at a price below the market price or dispose of the treasury stock, the Exercise Price shall be adjusted in accordance with the formula stated below and fractional yen resulting from the adjustment shall be rounded up to the nearest yen.

 

	
Exercise Price after   adjustment
    	
=
    	
Exercise Price before   adjustment
    	
×
    	
number of issued shares
    	
+
    	
number of newly issued   shares × amount paid per share
    
	
market price
    
	
number of issued shares   + number of newly issued shares
    

 

In the above formula, the “number of issued shares” means the total number of shares issued by the Company less the number of treasury stock in the possession of the Company. In case of the disposition of treasury stock, the “number of newly issued shares” shall read “number of treasury stock disposed of.”

 

(iii) In case of merger or company split of the Company or other inevitable situations which require the adjustment of the Exercise Price, the adjustment shall be made to a reasonable extent taking into account the conditions of merger or company split.

 

(5)                                 Period during which the Share Options can be exercised

 

From June 22, 2015 to June 21, 2018

 

(6)                                 Conditions to exercise the Share Options

 

(i).                      Person to whom the Share Options are allotted (hereinafter referred to as the “Share Option Holder”) must be either a director, auditor, executive officer or employee of the 

 

 

Company or its subsidiary, or a supplier to the Company at the time of exercising the option, except if such person resigns due to expiry of term of office, retires by age limit or terminates employment due to a company’s reason or if otherwise justified by the board of directors.

 

(ii).                      No Share Option shall be inherited.

 

(iii).                   No Share Option shall be partially exercised.

 

(iv).                  All other conditions shall be as set forth in the “Agreement for Share Options Allotment” to be entered into between the Company and the Share Option Holder pursuant to the relevant resolution of the board meeting.

 

(7)                                 Reason and conditions for acquisition of the Share Options

 

In the event that a proposal to approve a merger agreement where the Company is to be extinguished is approved at the shareholders’ meeting of the Company or that a proposal to approve a stock swap agreement where the Company is to be wholly owned or a proposal to approve a stock transfer plan is approved at the shareholders’ meeting of the Company (or, if a resolution of the shareholders’ meeting is not required, is resolved by the board meeting of the Company), the Company may acquire the Share Options at free on the day separately designated by the board of directors.

 

(8)                                 Restriction on acquisition of the Share Options by assignment

 

Acquisition of the Share Options by assignment shall require an approval of the board of directors of the Company.

 

(9)                                 Conditions for the capital and capital reserve increase by issuance of shares upon exercise of the Share Options

 

(i) Amount of capital increase when the shares are issued upon exercise of the Share Options shall be one half of the maximum capital increase calculated in accordance with paragraph 1, Article 17 of the Ordinance on Company Accounting and fractional yen resulting from the calculation shall be rounded up to the nearest yen.

 

(ii) Amount of capital reserve increase when the shares are issued upon exercise of the Share Options shall be the maximum capital increase referred to in the item (i) above less the amount of capital increase obtained under the item (i) above.

 

(10)                          Handling of the Share Options in case of corporate reorganization

 

In the event of a merger (limited to the cases where the Company is to be extinguished), absorption-type company split or incorporation-type company split (limited to the cases where the Company is to be split), or stock swap or stock transfer (limited to the cases where the Company is to be a wholly-owned subsidiary) (hereinafter collectively referred to as the “Corporate Reorganization”), the Company shall deliver the share options of a stock company prescribed in Section 236.1.8 (a) to (e) of the Companies Act (hereinafter referred to as the “Reorganized Company”) to the Share Option Holder who has the Share Options remaining (hereinafter referred to as the “Remaining Share Options”) immediately prior to the day when the Corporate Reorganization comes into effect (that is, for a merger, the day when the merger comes into effect; for a consolidation, the day when a stock company is incorporated through consolidation; for an absorption-type company split, the day when the absorption-type company split comes into effect; 

 

 

for an incorporation-type company split, a stock company is incorporated from the incorporation-type company split; for a stock swap, the day when the stock swap comes into effect; and for a stock transfer, the day when a wholly owning parent company incorporated through stock transfer, and these being applicable hereinafter, as well). In this case, the Remaining Share Options shall be extinguished and the Reorganized Company shall newly issue the share options, provided that the merger agreement, consolidation agreement, absorption-type company split agreement, incorporation-type company split plan, stock swap agreement or stock transfer plan shall contain the statement that the Reorganized Company will deliver the share options in accordance with the following provisions.

 

(i) Number of Share Options of the Reorganized Company to be delivered

 

The same number as the Remaining Share Options in the possession of the Share Option Holder shall be delivered.

 

(ii) Type of stock of the Reorganized Company covered by the share options

 

Common shares of the Reorganized Company

 

(iii) Number of shares of the Reorganized Company covered by the share options

 

To be determined in accordance with the above “(1) Class and number of shares covered by the Share Options” taking into account the conditions for Corporate Reorganization.

 

(iv) Manner of calculation of the value of assets contributed to exercise the share options

 

Value of assets contributed in exercising one (1) Share Option to be delivered shall be obtained by multiplying the Exercise Price after adjustment prescribed in the item (4) (iii) above by the number of shares of the Reorganized Company covered by such Share Option as determined under the item (iii) above.

 

(v) Period during which the share options can be exercised

 

From the day when the above “(5) Period during which the Share Options can be exercised” commences or the day when the Corporate Reorganization comes into effect, whichever is the later, to the day when the above “(5) Period during which the Share Options can be exercised” expires

 

(vi) Conditions for the capital and capital reserve increase by issuance of shares upon exercise of the share options

 

To be determined in accordance with the above “(9) Conditions for the capital and capital reserve increase by issuance of shares upon exercise of the Share Options”

 

(vii) Restriction on acquisition of the share options by assignment

 

Acquisition of the share options by assignment shall require an approval of the board of directors of the Reorganized Company.

 

(viii) Reason and conditions for acquisition of the share options

 

To be determined in accordance with the above “(7) Reason and conditions for acquisition of the Share Options”

 

 

(11)                          Fractional share delivered upon exercise of the Share Options

 

Fractional share delivered upon exercise of the Share Options shall be discarded.

 

(12)                          Date of Allotment

 

June 21, 2012 (Thursday)

 

Article 2 (Special Provisions for Exercise of Option)

 

1.              In addition to the conditions provided in other Articles hereof, the following restrictions shall be applied to the Subscriber in exercising the Share Options.

 

(1)                                 Total amount paid in exercising the options (including exercising the share options and equity warrant under the Old Commercial Code (hereinafter referred to as the “Share Warrant, etc.”)) shall not exceed 12,000,000 yen for a calendar year. For the avoidance of doubt, total amount including the amount paid in exercising the Share Warrant, etc. granted by other companies shall not exceed 12,000,000 yen for a calendar year.

 

(2)                                 The Subscriber shall make arrangement with a financial instruments business operator nominated by the Company (hereinafter referred to as the “Financial Instruments Business Operator”) for the entry or registration in the transfer account registry (hereinafter referred to as the “Transfer”), entrustment of storage or trust for management and disposition (hereinafter referred to as the “Management Trust”) (to be segmented for each share option holder) in compliance with statutory tax qualification requirements with respect to the shares acquired upon exercise of the option and shall take all measures required for the entrustment of the Transfer to the Subscriber’s account opened with the Financial Instruments Business Operator with whom such arrangement is made and the storage at a branch or an office of the Financial Instruments Business Operator with whom such arrangement is made or required for the Management Trust.

 

2.              Notwithstanding the provisions of paragraph (8) of Article 1, the Subscriber shall not assign, or place the security right on, the Share Options.

 

3.              If the Subscriber falls under any of the situations stated below, the Subscriber and its successor shall not exercise the Share Options.

 

(1)                                 A petition is filed by third party against the Subscriber for the attachment, provisional attachment, provisional disposition or auction or the commencement of procedures of bankruptcy or civil rehabilitation.

 

(2)                                 A petition is filed by the Subscriber itself for the commencement of procedures of bankruptcy or civil rehabilitation.

 

(3)                                 There are other reasons that objectively show a significant worsening financial status of the Subscriber.

 

(4)                                 The Subscriber is sentenced to imprisonment without work or a heavier punishment.

 

 

(5)                                 The Subscriber who is an employee of the Company or its subsidiary is punished under the office rules of the Company or its subsidiary, including disciplinary dismissal and retirement under instruction.

 

4.              The Company shall deliver the shares against exercise of option by the Subscriber, including issuing new shares or transferring or assigning existing shares, without violation of the requirements for offering of the Share Options.

 

Article 3 (Manner of Exercising the Option)

 

1.              In exercising the Share Options, the Subscriber shall transfer the amount paid to the bank account designated by the Company and shall provide the Company with the application (claim) for exercise of the share options in a given form.

 

2.              To exercise the options in a manner set forth in the preceding paragraph, the Subscriber shall open an account in his name with the Financial Instruments Business Operator in a manner prescribed by the Company.

 

3.              Immediately after completion of the procedures for the Subscriber to exercise the Share Options, the Company shall take measures required for the entrustment of the entry or registration of the shares acquired by the Subscriber by exercising the Share Options in the account in name of the Subscriber opened with the Financial Instruments Business Operator under the preceding paragraph and the storage at a branch or an office of the Financial Instruments Business Operator or required for the Management Trust.

 

4.              If the tax exemption measures under Article 29-2 of the Act on Special Measures concerning Taxation are not applied to the exercise of the Share Options, the Company shall pay the amount equal to the withholding income tax imposed on the economic profit from the acquisition of shares by exercising the Share Options together with the amount paid under the paragraph 1.

 

Article 4 (Manner of Expressing Intention and Giving a Notice)

 

1.              The Company shall express its intention or give a notice to the Subscriber by sending documents either by mail to the address of the Subscriber recorded in the Share Option Registry or by sending an e-mail to the address preliminarily notified by the Subscriber to the Company.

 

2.              Any change in any one of the following items must be notified by the Subscriber to the Company.

 

(1)                                 Name of the Subscriber

 

(2)                                 Address of the Subscriber

 

(3)                                 E-mail address for the purpose of the preceding paragraph

 

3.              If the Subscriber fails to notify as set forth in the preceding paragraph, the address recorded in the Share Option Registry shall be considered as the current address of the Share Option Holder.

 

 

4.              The notice set forth in the paragraph 1 shall be deemed to have arrived at the time when it would have ordinarily arrived.

 

5.              Provisions of the preceding paragraphs shall be applied to the resignation due to expiry of term of office, retirement by age limit or termination of employment by a company’s reason as provided in Article 1(6)(i) and other cases justified by the board of directors.

 

Article 5 (Abandonment of Claim for Damages)

 

The Subscriber shall not hold the Company, its director or any other parties to whom the Company entrusted the business transactions liable for covering losses, adding profits, compensating damages or assuming any other responsibilities in connection with this Agreement irrespective of reasons.

 

Article 6 (Right to Establish Bylaws)

 

1.              The Company may establish, amend or abolish the “Bylaws to Agreement for Share Options Allotment” (hereinafter referred to as the “Bylaws”) to provide for the rules regarding the enforcement of this Agreement.

 

2.              The Company must promptly notify the Subscriber of the Bylaws which may be established, amended or abolished under the preceding paragraph.

 

3.              The Subscriber may request the Company to allow access to the Bylaws during its business hours and may copy the same at the Subscriber’s cost.

 

Article 7 (Amendment to Agreement)

 

1.              If any provision hereof proves to be incompliant with any provision of the Income Tax Act, Corporation Tax Act or other tax laws or becomes incompliant with the same due to revisions after execution of this Agreement, the Company may amend or abolish such provision by giving a notice to the Subscriber. This rule shall be applied if any provision hereof proves to be or becomes incompliant with the Companies Act, Financial Instruments and Exchange Act or other relevant laws.

 

2.              In addition to the preceding paragraph, the Company may make a proposal to the Subscriber to amend this Agreement if deemed necessary.

 

3.              If the Subscriber does not lodge any objection with the Company in writing stating due reasons within three (3) weeks after the proposal under the preceding paragraph, this Agreement shall be deemed to have been automatically amended as proposed by the Company.

 

Article 8 (Taxation Process)

 

The Subscriber shall pay at his cost and responsibility the income tax and any other taxes and 

 

 

dues imposed as a result of the subscription and exercise of the Share Options and the sale of the Company’s shares acquired upon exercise thereof.

 

Article 9 (Handling of Issues Not Specified)

 

Handling of issues not specified in this Agreement or the Bylaws shall be faithfully negotiated by the Company and the Subscriber and, if the Subscriber does not agree to negotiate or no agreement is reached between both parties after negotiation, shall be determined by the Company.

 

Article 10 (Jurisdiction)

 

The Company and the Subscriber agree that any dispute hereunder shall be submitted to the Tokyo District Court which has the exclusive jurisdiction for the first trial.

 

IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be executed in one (1) copy with their respective names and seals and the Company and the Subscriber shall retain the original and the duplicate copy, respectively.

 

June 21, 2012

 

	
Company:
    	
UBIC, Inc.
    	
 
    
	
 
    	
/s/ Masahiro Morimoto
    	
 
    
	
 
    	
Masahiro Morimoto, President and Representative   Director
    
	
 
    	
2-12-23, Kounan, Minato Ward, Tokyo
    
	
 
    	
 
    
	
Subscriber:
    	
(Address)
    
	
 
    	
(Name)
    

 

 

(Appendix)

 

Subscribers and number of the Share Options subscribed for

 

1. Directors of the Company

 

	
(i) Makoto Funahashi
    	
1,000 shares (100 options)
    
	
(ii) Hirooki Kirisawa
    	
1,000 shares (100 options)
    

 

2. Auditors of the Company

 

	
(i) Kunihiro Sudo
    	
1,000 shares (100 options)
    
	
(ii) Takaharu Yasumoto
    	
1,000 shares (100 options)
    

 

3. Employees of the Company

 

	
(i) Daisuke Okada
    	
1,000 shares (100 options)
    
	
(ii) Naoya Murakami
    	
1,000 shares (100 options)
    
	
(iii) Yuki Koyama
    	
500 shares (50 options)
    
	
(iv) Kensaku Shinozakura
    	
500 shares (50 options)
    
	
(v) Yoko Motojima
    	
200 shares (20 options)
    

 

4. Director of the Company’s subsidiary

 

	
Keisuke Furuno
    	
1,000 shares (100 options)
    

 

5. Employees of the Company’s subsidiary

 

	
(i) San Sengupta
    	
1,000 shares (100 options)
    
	
(ii) Sunil Mudunuri
    	
1,000 shares (100 options)
    
	
(iii) Paul Starrett
    	
1,000 shares (100 options)
    
	
(iv) Deepali Agarwal
    	
200 shares (20 options)
    
	
(v) Forrest Lee
    	
200 shares (20 options)
    
	
(vi) Yongmin Cho
    	
1,000 shares (100 options)
    

 

6. Suppliers to the Company

 

	
(i) Akira Suzuki
    	
1,000 shares (100 options)
    
	
(ii) Katsuaki Takiguchi
    	
500 shares (50 options)
    
	
(iii) Kenzou Takai
    	
500 shares (50 options)
    
	
(iv) Hajime Shirasaka
    	
1,000 shares (100 options)
    
	
(v) Mukesh Advani
    	
200 shares (20 options)
    
	
(vi) John Bace
    	
200 shares (20 options)
    
	
 
    	
 
    

 

Twenty-two (22) persons for 16,000 shares (1,600 options) in total

 

 

Agreement for Subscription for the Sixth Share Option Offering (non-tax-qualified)

 

This Agreement is made and entered into by and between UBIC, Inc. (hereinafter referred to as the “Company”) and Kunihiro Sudo (hereinafter referred to as the “Subscriber”) with respect to the subscription for the sixth share option offering.

 

Article 1 (Subscription for Share Options)

 

In accordance with the resolution of the eighth annual shareholders’ meeting held on June 24, 2011 and the resolution of the board meeting held on June 1, 2012, the Company has determined the following requirements for the sixth share option offering (hereinafter referred to as the “Share Options”), of which the Subscriber subscribes for 100 options. Since this Agreement shall be made integrally at the same time with other subscribers in accordance with Article 244 of the Companies Act, the Company shall subscribe for the Share Options simultaneously with subscribers referred to in the Appendix.

 

Description

 

Requirements for the offering of Share Options

 

(13)                            Class and number of shares covered by the Share Options

 

16,000 Class A common shares, which, in case of adjustment set forth below, shall be revised to the number of granted shares after adjustment multiplied by the total number of Share Options.

 

Number of shares covered by one (1) Share Option (hereinafter referred to as the “Number of Granted Shares”) shall be 10 class A common shares. In the event of a stock split (including a gratis allotment of common stock and this being applicable hereinafter, as well) or a reverse split by the Company after the day when the Share Options are allotted (hereinafter referred to as the “Date of Allotment”), the following formula shall be used to adjust the Number of Granted Shares covered by the Share Options that have not been exercised at the time of adjustment. Fractional share resulting from adjustment shall be discarded.

 

Number of Granted Shares after adjustment = Number of Granted Shares before adjustment × ratio of split or reverse split

 

Any adjustment of the Number of Granted Shares which may be required in other situations shall be made to a reasonable extent.

 

 

(14)                            Total number of Share Options

 

1,600

 

(15)                            Amount payable in exchange of the Share Options

 

No payment is required in exchange of the Share Options

 

(16)                            Manner of calculating the value of assets contributed in exercising the Share Options

 

80,960 yen for one (1) Share Option

 

Value of assets contributed in exercising one (1) Share Option shall be obtained by multiplying the amount paid per share for the shares delivered upon exercise of the Share Option (hereinafter referred to as the “Exercise Price”) by the Number of Granted Shares.

 

The Exercise Price shall be 8,096 yen

 

If any of the following events occurs on or after the Date of Allotment, the Exercise Price shall be adjusted as follows.

 

(i) For the share split or reverse split by the Company, the Exercise Price shall be adjusted in accordance with the formula stated below and fractional yen resulting from the adjustment shall be rounded up to the nearest yen.

 

	
Exercise Price after   adjustment
    	
=
    	
Exercise Price before   adjustment
    	
×
    	
1
    
	
ratio of share split or   reverse split
    

 

(ii) If the Company issues new shares at a price below the market price or dispose of the treasury stock, the Exercise Price shall be adjusted in accordance with the formula stated below and fractional yen resulting from the adjustment shall be rounded up to the nearest yen.

 

	
Exercise Price after   adjustment
    	
=
    	
Exercise Price before   adjustment
    	
×
    	
number of issued shares
    	
+
    	
number of newly issued   shares × amount paid per share
    
	
market price
    
	
number of issued shares   + number of newly issued shares
    

 

In the above formula, the “number of issued shares” means the total number of shares issued by the Company less the number of treasury stock in the possession of the Company. In case of the disposition of treasury stock, the “number of newly issued shares” shall read “number of treasury stock disposed of.”

 

(iii) In case of merger or company split of the Company or other inevitable situations which require the adjustment of the Exercise Price, the adjustment shall be made to a reasonable extent taking into account the conditions of merger or company split.

 

(17)                            Period during which the Share Options can be exercised

 

From June 22, 2015 to June 21, 2018

 

(18)                            Conditions to exercise the Share Options

 

(i).                         Person to whom the Share Options are allotted (hereinafter referred to as the “Share Option Holder”) must be either a director, auditor, executive officer or employee of the 

 

 

Company or its subsidiary, or a supplier to the Company at the time of exercising the option, except if such person resigns due to expiry of term of office, retires by age limit or terminates employment due to a company’s reason or if otherwise justified by the board of directors.

 

(ii).                      No Share Option shall be inherited.

 

(iii).                   No Share Option shall be partially exercised.

 

(iv).                  All other conditions shall be as set forth in the “Agreement for Share Options Allotment” to be entered into between the Company and the Share Option Holder pursuant to the relevant resolution of the board meeting.

 

(19)                            Reason and conditions for acquisition of the Share Options

 

In the event that a proposal to approve a merger agreement where the Company is to be extinguished is approved at the shareholders’ meeting of the Company or that a proposal to approve a stock swap agreement where the Company is to be wholly owned or a proposal to approve a stock transfer plan is approved at the shareholders’ meeting of the Company (or, if a resolution of the shareholders’ meeting is not required, is resolved by the board meeting of the Company), the Company may acquire the Share Options at free on the day separately designated by the board of directors.

 

(20)                            Restriction on acquisition of the Share Options by assignment

 

Acquisition of the Share Options by assignment shall require an approval of the board of directors of the Company.

 

(21)                            Conditions for the capital and capital reserve increase by issuance of shares upon exercise of the Share Options

 

(i) Amount of capital increase when the shares are issued upon exercise of the Share Options shall be one half of the maximum capital increase calculated in accordance with paragraph 1, Article 17 of the Ordinance on Company Accounting and fractional yen resulting from the calculation shall be rounded up to the nearest yen.

 

(ii) Amount of capital reserve increase when the shares are issued upon exercise of the Share Options shall be the maximum capital increase referred to in the item (i) above less the amount of capital increase obtained under the item (i) above.

 

(22)                            Handling of the Share Options in case of corporate reorganization

 

In the event of a merger (limited to the cases where the Company is to be extinguished), absorption-type company split or incorporation-type company split (limited to the cases where the Company is to be split), or stock swap or stock transfer (limited to the cases where the Company is to be a wholly-owned subsidiary) (hereinafter collectively referred to as the “Corporate Reorganization”), the Company shall deliver the share options of a stock company prescribed in Section 236.1.8 (a) to (e) of the Companies Act (hereinafter referred to as the “Reorganized Company”) to the Share Option Holder who has the Share Options remaining (hereinafter referred to as the “Remaining Share Options”) immediately prior to the day when the Corporate Reorganization comes into effect (that is, for a merger, the day when the merger comes into effect; for a consolidation, the day when a stock company is incorporated through consolidation; for an absorption-type company split, the day when the absorption-type company split comes into effect; 

 

 

for an incorporation-type company split, a stock company is incorporated from the incorporation-type company split; for a stock swap, the day when the stock swap comes into effect; and for a stock transfer, the day when a wholly owning parent company incorporated through stock transfer, and these being applicable hereinafter, as well). In this case, the Remaining Share Options shall be extinguished and the Reorganized Company shall newly issue the share options, provided that the merger agreement, consolidation agreement, absorption-type company split agreement, incorporation-type company split plan, stock swap agreement or stock transfer plan shall contain the statement that the Reorganized Company will deliver the share options in accordance with the following provisions.

 

(i) Number of Share Options of the Reorganized Company to be delivered

 

The same number as the Remaining Share Options in the possession of the Share Option Holder shall be delivered.

 

(ii) Type of stock of the Reorganized Company covered by the share options

 

Common shares of the Reorganized Company

 

(iii) Number of shares of the Reorganized Company covered by the share options

 

To be determined in accordance with the above “(1) Class and number of shares covered by the Share Options” taking into account the conditions for Corporate Reorganization.

 

(iv) Manner of calculation of the value of assets contributed to exercise the share options

 

Value of assets contributed in exercising one (1) Share Option to be delivered shall be obtained by multiplying the Exercise Price after adjustment prescribed in the item (4) (iii) above by the number of shares of the Reorganized Company covered by such Share Option as determined under the item (iii) above.

 

(v) Period during which the share options can be exercised

 

From the day when the above “(5) Period during which the Share Options can be exercised” commences or the day when the Corporate Reorganization comes into effect, whichever is the later, to the day when the above “(5) Period during which the Share Options can be exercised” expires

 

(vi) Conditions for the capital and capital reserve increase by issuance of shares upon exercise of the share options

 

To be determined in accordance with the above “(9) Conditions for the capital and capital reserve increase by issuance of shares upon exercise of the Share Options”

 

(vii) Restriction on acquisition of the share options by assignment

 

Acquisition of the share options by assignment shall require an approval of the board of directors of the Reorganized Company.

 

(viii) Reason and conditions for acquisition of the share options

 

To be determined in accordance with the above “(7) Reason and conditions for acquisition of the Share Options”

 

 

(23)                            Fractional share delivered upon exercise of the Share Options

 

Fractional share delivered upon exercise of the Share Options shall be discarded.

 

(24)                            Date of Allotment

 

June 21, 2012 (Thursday)

 

Article 2 (Special Provisions for Exercise of Option)

 

5.               Notwithstanding the provisions of paragraph (8) of Article 1, the Subscriber shall not assign, or place the security right on, the Share Options.

 

6.               If the Subscriber falls under any of the situations stated below, the Subscriber and its successor shall not exercise the Share Options.

 

(6)                                  A petition is filed by third party against the Subscriber for the attachment, provisional attachment, provisional disposition or auction or the commencement of procedures of bankruptcy or civil rehabilitation.

 

(7)                                  A petition is filed by the Subscriber itself for the commencement of procedures of bankruptcy or civil rehabilitation

 

(8)                                  There are other reasons that objectively show a significant worsening financial status of the Subscriber.

 

(9)                                  The Subscriber is sentenced to imprisonment without work or a heavier punishment.

 

(10)                            The Subscriber who is an employee of the Company or its subsidiary is punished under the office rules of the Company or its subsidiary, including disciplinary dismissal and retirement under instruction.

 

7.               The Company shall deliver the shares against exercise of option by the Subscriber, including issuing new shares or transferring or assigning existing shares, without violation of the requirements for offering of the Share Options.

 

Article 3 (Manner of Exercising the Option)

 

5.               The Subscriber must satisfy all of the requirements stated below to exercise the Share Options.

 

(1) Presentation to the Company of the application (claim) for exercise of the share options and other documents in forms given by the Company

 

(2) Transfer of the amount paid to the bank account designated by the Company

 

(3) Other conditions required by the Company

 

6.               If the tax exemption measures under Article 29-2 of the Act on Special Measures concerning Taxation are not applied to the exercise of the Share Options, the Company shall pay the amount equal to the withholding income tax imposed on the economic profit from the acquisition of shares by exercising the Share Options together with the amount paid under the paragraph 1.

 

 

Article 4 (Manner of Expressing Intention and Giving a Notice)

 

6.               The Company shall express its intention or give a notice to the Subscriber by sending documents either by mail to the address of the Subscriber recorded in the Share Option Registry or by sending an e-mail to the address preliminarily notified by the Subscriber to the Company.

 

7.               Any change in any one of the following items must be notified by the Subscriber to the Company.

 

(4)                                  Name of the Subscriber

 

(5)                                  Address of the Subscriber

 

(6)                                  E-mail address for the purpose of the preceding paragraph

 

8.               If the Subscriber fails to notify as set forth in the preceding paragraph, the address recorded in the Share Option Registry shall be considered as the current address of the Share Option Holder.

 

9.               The notice set forth in the paragraph 1 shall be deemed to have arrived at the time when it would have ordinarily arrived.

 

10.         Provisions of the preceding paragraphs shall be applied to the resignation due to expiry of term of office, retirement by age limit or termination of employment by a company’s reason as provided in Article 1(6)(i) and other cases justified by the board of directors.

 

Article 5 (Abandonment of Claim for Damages)

 

The Subscriber shall not hold the Company, its director or any other parties to whom the Company entrusted the business transactions liable for covering losses, adding profits, compensating damages or assuming any other responsibilities in connection with this Agreement irrespective of reasons.

 

Article 6 (Right to Establish Bylaws)

 

4.               The Company may establish, amend or abolish the “Bylaws to Agreement for Share Options Allotment” (hereinafter referred to as the “Bylaws”) to provide for the rules regarding the enforcement of this Agreement.

 

5.               The Company must promptly notify the Subscriber of the Bylaws which may be established, amended or abolished under the preceding paragraph.

 

6.               The Subscriber may request the Company to allow access to the Bylaws during its business hours and may copy the same at the Subscriber’s cost.

 

Article 7 (Amendment to Agreement)

 

4.               If any provision hereof proves to be incompliant with any provision of the Income Tax Act, Corporation Tax Act or other tax laws or becomes incompliant with the same due to revisions after execution of this Agreement, the Company may amend or abolish such provision by giving 

 

a notice to the Subscriber. This rule shall be applied if any provision hereof proves to be or becomes incompliant with the Companies Act, Financial Instruments and Exchange Act or other relevant laws.

 

5.               In addition to the preceding paragraph, the Company may make a proposal to the Subscriber to amend this Agreement if deemed necessary.

 

6.               If the Subscriber does not lodge any objection with the Company in writing stating due reasons within three (3) weeks after the proposal under the preceding paragraph, this Agreement shall be deemed to have been automatically amended as proposed by the Company.

 

Article 8 (Taxation Process)

 

The Subscriber shall pay at his cost and responsibility the income tax and any other taxes and dues imposed as a result of the subscription and exercise of the Share Options and the sale of the Company’s shares acquired upon exercise thereof.

 

Article 9 (Handling of Issues Not Specified)

 

Handling of issues not specified in this Agreement or the Bylaws shall be faithfully negotiated by the Company and the Subscriber and, if the Subscriber does not agree to negotiate or no agreement is reached between both parties after negotiation, shall be determined by the Company.

 

Article 10 (Jurisdiction)

 

The Company and the Subscriber agree that any dispute hereunder shall be submitted to the Tokyo District Court which has the exclusive jurisdiction for the first trial.

 

IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be executed in one (1) copy with their respective names and seals and the Company and the Subscriber shall retain the original and the duplicate copy, respectively.

 

June 21, 2012

 

	
Company:
    	
UBIC, Inc.
    	
 
    
	
 
    	
/s/ Masahiro Morimoto
    	
 
    
	
 
    	
Masahiro Morimoto, President and Representative Director
    
	
 
    	
2-12-23, Kounan, Minato Ward, Tokyo
    	
 
    
	
 
    	
 
    	
 
    
	
Subscriber:
    	
(Address)
    	
 
    
	
 
    	
(Name)
    	
 
    

 

 

(Appendix)

 

Subscribers and number of the Share Options subscribed for

 

1. Directors of the Company

 

	
(i) Makoto Funahashi
    	
1,000 shares (100 options)
    
	
(ii) Hirooki Kirisawa
    	
1,000 shares (100 options)
    

 

2. Auditors of the Company

 

	
(i) Kunihiro Sudo
    	
1,000 shares (100 options)
    
	
(ii) Takaharu Yasumoto
    	
1,000 shares (100 options)
    

 

3. Employees of the Company

 

	
(i) Daisuke Okada
    	
1,000 shares (100 options)
    
	
(ii) Naoya Murakami
    	
1,000 shares (100 options)
    
	
(iii) Yuki Koyama
    	
500 shares (50 options)
    
	
(iv) Kensaku Shinozakura
    	
500 shares (50 options)
    
	
(v) Yoko Motojima
    	
200 shares (20 options)
    

 

4. Director of the Company’s subsidiary

 

	
Keisuke Furuno
    	
1,000 shares (100 options)
    

 

5. Employees of the Company’s subsidiary

 

	
(i) San Sengupta
    	
1,000 shares (100 options)
    
	
(ii) Sunil Mudunuri
    	
1,000 shares (100 options)
    
	
(iii) Paul Starrett
    	
1,000 shares (100 options)
    
	
(iv) Deepali Agarwal
    	
200 shares (20 options)
    
	
(v) Forrest Lee
    	
200 shares (20 options)
    
	
(vi) Yongmin Cho
    	
1,000 shares (100 options)
    

 

6. Suppliers to the Company

 

	
(i) Akira Suzuki
    	
1,000 shares (100 options)
    
	
(ii) Katsuaki Takiguchi
    	
500 shares (50 options)
    
	
(iii) Kenzou Takai
    	
500 shares (50 options)
    
	
(iv) Hajime Shirasaka
    	
1,000 shares (100 options)
    
	
(v) Mukesh Advani
    	
200 shares (20 options)
    
	
(vi) John Bace
    	
200 shares (20 options)
    

 

Twenty-two (22) persons for 16,000 shares (1,600 options) in totalExhibit 10.7

 

For a new contract

 

Agreement for Banking Transactions

 

UBIC, Inc. (hereinafter referred to as the “Client”) and Bank of Tokyo-Mitsubishi (hereinafter referred to as the “Bank”) have agreed to the following terms and conditions with respect to the transactions between them.

 

Article 1 (Scope of Application)

 

1.              The Client and the Bank shall apply this Agreement to the loan on bill, bill discount, loan on deed, overdraft, acceptance and guarantee (including request of guarantee), foreign exchange, financial and derivative transactions and guarantee transaction between the Client and the Bank and any other transactions that the Client owes debts to the Bank.

 

2.              This Agreement shall be also applied when the Bank acquires through a transaction with third party a bill drawn, endorsed, accepted, accepted for honor or guaranteed by the Client, provided that the provisions of Article 2, Article 6, paragraph 4 of Article 10 and Article 14 shall not be applied.

 

3.              In case of conflict between a provision of this Agreement and other agreements separately made between the Client and the Bank, the latter shall take precedence to the former.

 

Article 2 (Bill and Loan Obligation)

 

If the Client borrows a loan on bill from the Bank, the Bank may demand a repayment either through the bill or by virtue of the loan receivable.

 

Article 3 (Interest and Delinquency Charge)

 

1.              In case of financial situation change and other due reason, either party may request a revision of the rates of interest, discount charge, guarantee charge and commission (hereinafter referred to as the “Interest”) and rebate thereof and the timing and manner of payment thereof agreed upon by the Client and the Bank to an extent generally acceptable.

 

2.              If the status for the protection of account receivables of the Bank changes due to a change in the Client’s financial status and an increase or decrease in the value of security, the preceding paragraph shall be applied for revision of the rate of Interest.

 

3.              Preceding two paragraphs shall not be applied to the transactions for which the fixed interest rate is separately agreed in writing.

 

4.              If the Client fails to fulfill its debts to the Bank, the Client shall pay the delinquency charge at 14% per annum on the amount payable and due, provided that the delinquency charge shall not

 

 

be applied to the interest, discount charge and the guarantee charge. In this case, the delinquency charge shall be calculated on a prorated daily basis on 365 days a year.

 

Article 4 (Security)

 

1.              If requested by the Bank stating a reasonable period due to decrease in the value of security, credit uncertainty of the Client or its guarantor or any other situation which reasonably requires the preservation of account receivables of the Bank from the Client, the Client shall immediately provide the Bank with the security or additional security accepted by the Bank or furnish or add a guarantor.

 

2.              If the Client fails to fulfill its debts to the Bank, the latter may collect or dispose of the security in accordance with legal procedures and generally acceptable manner, timing, price, etc. in order to appropriate the proceeds less relevant expenses to the repayment of the Client’s debts irrespective of legal priorities and, after that, outstanding debts, if any, shall be immediately repaid by the Client. Surplus of such proceeds, if any, after appropriation to the repayment of the Client’s debts shall be refunded by the Bank to the party entitled thereto.

 

3.              It is agreed that, if the Client fails to fulfill its debts to the Bank, the latter may collect or dispose of the personal property, bill and other negotiable securities of the Client in the possession of the Bank and that this process shall be governed mutatis mutandis by the preceding paragraph.

 

4.              The security under this Article shall include the legal security right, including retention right and lien.

 

Article 5 (Loss of Benefit of Term)

 

1.              If any one of the situations set forth below is applied to the Client, it shall duly lose the benefit of term for its all debts to the Bank and shall immediately repay the same without notice or reminder of the Bank.

 

(i)             A petition is filed for the suspension of payment, the bankruptcy, or the commencement of civil rehabilitation proceedings, corporate reorganization proceedings, corporate arrangement or special liquidation.

 

(ii)          Transactions with clearing houses are suspended.

 

(iii)       An order or notice is dispatched for the provisional seizure, preservative seizure or attachment of the deposit or other receivables of the Client or its guarantor with or from the Bank.

 

Regarding the attachment or similar proceedings of the account receivables of the guarantor from the Bank, if the Bank intends to approve the benefit of term as usual subject to a prompt written notice from the Client that the security accepted by the Bank will be provided, the Bank shall notify the Client in writing to that effect, provided that

 

 

this shall not impair the effectiveness of acts already done by the Bank in accordance with the loss of benefit of term.

 

(iv)      The Client is missing and a notice of the Bank addressed to the Client is not delivered to the registered address.

 

2.              If any one of the situations set forth below is applied to the Client, it shall lose the benefit of term for its all debts to the Bank and shall immediately repay the same upon request of the Bank.

 

If the Bank intends to approve the benefit of term as usual subject to a prompt written notice from the Client that it will pay the debts to the Bank in full without fail upon request of the Bank, the Bank shall notify the Client in writing to that effect, provided that this shall not impair the effectiveness of acts already done by the Bank in accordance with the loss of benefit of term.

 

(i)             The Client delays in fulfillment of any part of the debts to the Bank.

 

(ii)          Procedures for attachment or auction commence for the subject matter of the security.

 

(iii)       The Client breaches the Agreement with the Bank; or a report or documents presented to the Bank showing financial status under Article 12 is materially misrepresented; or other similar situations take place.

 

(iv)      Any one of the situations set forth in the paragraphs 1 and 2 of this Article is applied to the guarantor of the Client to the Bank.

 

(v)         There is a situation similar to each item above which reasonably requires the protection of the account receivables.

 

3.              In the preceding paragraph, if the request arrives late or is not delivered due to a reason attributable to the Client, including a failure to notify a change of address or a failure to receive the request of the Bank, the Client shall be deemed to have lost the benefit of term when the request would ordinarily have arrived.

 

Article 6 (Repurchase of Discount Bill)

 

1.              If the Client’s bill is discounted by the Bank and any one of the situations set forth in each item of paragraph 1 of the preceding Article is applied to the Client, it shall duly assume a repurchase liability in the amount shown on a bill and shall make an immediate repayment for all bills without notice or reminder of the Bank. If the primary debtor of a bill fails to pay when due or if any one of the situations set forth in each item of paragraph 1 of the preceding Article is applied to such primary debtor of a bill, the Client shall take the same procedures for a bill of which such primary debtor is the primary debtor.

 

2.              Besides the preceding paragraph, if there is a due reason which requires the protection of the account receivables of the Bank with respect to a discount bill, the Client shall assume a repurchase liability in the amount shown on the bill and shall make an immediate repayment

 

 

upon request of the Bank. If the request arrives late or is not delivered due to a reason attributable to the Client, including a failure to notify a change of address or a failure to receive the request of the Bank, the Client shall be deemed to have assumed the repurchase liability when the request would ordinarily have arrived.

 

3.              The Bank may exercise any and all rights as a bill holder until the Client fulfills its debts in accordance with the preceding two (2) paragraphs.

 

Article 7 (Set-off and Appropriation to Repayment)

 

1.              When the Client must fulfill its debts to the Bank due to arrival of due date, loss of benefit of term, assumption of repurchase liability, assumption of liability for compensation or any other reason, the Bank may set off at any time such debts against the Client’s deposit or other receivables with or from the Bank irrespective of when such receivables are due.

 

2.              In a situation where the Bank can set off under the preceding paragraph, it may omit the prior notice and prescribed procedures and may receive a refund of the deposit money in place of the Client in order to appropriate the same to the repayment of the Client’s debts. In this case, the Bank shall notify the Client of the result of appropriation.

 

3.              When the Bank sets off or appropriates to the repayment under the preceding two (2) paragraphs, the interest on receivables/debts, discount charge, settlement money, delinquency charge, etc. shall be calculated up to the date when the Bank effects calculation. Also, the interest rate, charge or the like shall be determined by the Bank unless otherwise agreed upon by the Client and the Bank. For the foreign exchange rate, the rate as of when the Bank effects calculation shall be applied.

 

4.              The Client may set off its deposit or other receivables with or from the Bank which are due against its debts to the Bank even if such debts are not yet due, except the following cases. The Client may set off a discount bill before maturity by assuming the repurchase liability in amount shown on a bill.

 

(i)             The Bank sets off the repurchase liability for a discount bill being reassigned to others.

 

(ii)          Repayment and set-off are legally restricted.

 

(iii)       Setoff is against the agreement between the Client and the Bank for repayment before maturity.

 

5.              Under the preceding paragraph, the Client may set off by giving a written notice and shall immediately provide the Bank with a passbook or certificate of the relevant deposit or other receivables.

 

6.              When the Client sets off, the interest on receivables/debts, discount charge, settlement money, delinquency charge, etc. shall be calculated up to the date when the notice of set-off arrives and the interest rate, charge or the like shall be agreed upon by the Client and the Bank. For the

 

 

foreign exchange rate, the rate as of when the Bank effects calculation shall be applied. In these cases, any rule for the charge which may be separately provided for, including the prepayment charge for the repayment before maturity shall be complied with.

 

Article 8 (Presentation and Delivery of Bill)

 

1.              In a situation where there is a bill for the debt of the Client to the Bank, if the Bank intends to set off or appropriate to repayment in accordance with Article 7 without claim on a bill, it shall return the bill later on, provided that the Bank may collect a bill before maturity.

 

2.              If a bill must be returned by the Bank to the Client at the time of set-off or repayment under Article 7 and the Bank notifies to that effect, the Client shall visit the Bank to receive the bill without delay.

 

3.              When the Bank intends to set off or appropriate to repayment in accordance with Article 7 with claim on a bill, it shall not be required to present or deliver the bill only for the following cases. Receipt of a bill shall be governed mutatis mutandis by the preceding paragraph.

 

(i)             Location of the Client is unknown to the Bank.

 

(ii)          The Client appoints the Bank as the place of payment for a bill.

 

(iii)       Service of a bill is considered to be difficult for acts of the God, disaster or other similar reasons not attributable to the Bank.

 

(iv)      Presentation or delivery of a bill to be presented should be inevitably omitted due to collection or any other reason.

 

4.              If there still is an outstanding debt of the Client to the Bank which must be fulfilled immediately after set-off or appropriation to repayment under Article 7 and there is a debtor of the bill other than the Client, the Bank may retain, collect or dispose of the bill to appropriate to repayment of debts.

 

Article 9 (Designation for Appropriation)

 

1.              If the set-off or appropriation to repayment under Article 7 is insufficient to cancel the Client’s debts to the Bank in full, either party may designate appropriation in the manner and priorities considered suitable.

 

Also, if the repayment by the Client is insufficient to cancel its debts to the Bank in full, the Client may designate appropriation as stated above.

 

In this case, if either party fails to designate, the other party may designate the appropriation as stated above.

 

2.              When the Bank designates the appropriation as provided in the preceding paragraph, the Client shall not lodge objection against such appropriation.

 

3.              If the set-off and designation of appropriation by the Client may impair the protection of account

 

 

receivables of the Bank, the Bank may make appropriation in the manner and priorities designated by itself taking into account the existence or weight of security or guarantee, difficulty of disposition, longevity of term of repayment and possibility of settlement of discount bill by lodging an objection without delay. In this case, the Bank shall notify the Client of the result of appropriation.

 

4.              In case of appropriation by the Bank under the preceding three (3) paragraphs, it may designate the manner and priorities as if the Client’s undue debts became due and as if the Client bears the repurchase liability for undue discount bill or the prior liability for compensation for approval of payment were assumed by the Client.

 

Article 10 (Risk of Loss and Exemptions)

 

1.              If a bill drawn, endorsed, accepted, accepted for honor or guaranteed by the Client or a deed presented by the Client to the Bank is missing, lost, destroyed or delivered late due to acts of the God, disaster, transportation accident or other inevitable situations, the Client shall repay its debts in accordance with the books, slips or other records of the Bank and shall immediately provide the replacement bill or deed if requested by the Bank. The above provision shall be applied to the security provided by the Client.

 

2.              Any damage incurred in the preceding paragraph shall be borne by the Client except a case attributable to the Bank.

 

3.              If any right on bill does not come into effect due to failure to fulfill requirement for the bill or a statement that invalidates the bill or if any right on bill is extinguished due to defect in procedures to protect the right, the business debts for the bill shall not be affected.

 

4.              When the Bank does transactions after having checked the seal impression on a bill or deed with the seal registered by the Client with reasonable caution and identified the Client, the Client shall bear any damage which may be caused by any forgery, falsification, fraudulent use or any other fraud of a bill, deed or seal and shall assume liability according to the statement in the bill or deed.

 

5.              The Client shall bear any expenses required for the exercise or protection of the right of the Bank against the Client or for the collection or disposition of the security and any expenses required for cooperation rendered by the Bank according to the request of the Client for protection of the Client’s right.

 

Article 11 (Change of Registered Information)

 

1.              Any change in the seal, corporate name, trade name, representative, address or any other information registered with the Bank shall be immediately notified by the Client to the Bank in writing.

 

 

2.              Any notice or document given or sent by the Bank which may arrive late or may not be delivered due to failure of the Client to notify in accordance with the preceding paragraph or failure of the Client to receive the request from the Bank or any other reason attributable to the Client shall be deemed to have arrived when it would have ordinarily arrived.

 

Article 12 (Report and Investigation)

 

1.              The Client shall provide the Bank periodically with copies of the balance sheet, profit and loss statement or other documents showing the financial status of the Client.

 

2.              The Client shall report and provide facility without delay if requested by the Bank to investigate the assets, management, business performance and the like of the Client.

 

3.              Actual or possible material change in the assets, management, business performance of the Client shall be reported to the Bank without delay.

 

Article 13 (Applicable Branch)

 

The Client and the Bank agree that the provisions of this Agreement shall be commonly applied to the transactions between the Client and the head office/branches of the Bank.

 

Article 14 (Governing Law and Jurisdiction)

 

1.              The Client and the Bank agree that this Agreement and transactions thereunder shall be governed by the laws of Japan.

 

2.              The Client and the Bank agree that any lawsuit which may be raised for transactions in accordance with this Agreement shall be submitted to a competent court having jurisdiction over the location where the head office or Shinagawa-Ekimae Branch of the Bank is located.

 

Article 15 (Termination of Agreement)

 

If either of the Client or the Bank notifies the other party in writing of termination after the account receivables of the Bank from the Client is extinguished due to repayment or other reason, this Agreement shall become void when one (1) month expires after receipt by the other party.

 

November 25, 2005

 

Client:

 

	
 
    	
Name:
    	
UBIC, Inc.
    	
 
    
	
 
    	
 
    	
/s/ Masahiro Morimoto
    	
 
    
	
 
    	
 
    	
Masahiro Morimoto, President and Representative   Director
    	
 
    
	
 
    	
Address: 2-4-7, Kounan, Minato Ward, Tokyo
    

 

 

	
Bank: Bank of   Tokyo-Mitsubishi, Shinagawa-Ekimae Branch
    	
 
    
	
 
    	
 
    	
/s/ Tadashi Yano
    	
 
    
	
 
    	
 
    	
Tadashi Yano, Branch Manager
    	
 
    
	
 
    	
 
    	
Taiyo Seimei Shinagawa Building, 2-16-2, Kounan,   Minato Ward, Tokyo

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