Document:

exv10w1

EXHIBIT 10.1

WAIVER AND AMENDMENT NO. 6

TO

CREDIT AGREEMENT

     THIS WAIVER AND AMENDMENT NO. 6 TO CREDIT AGREEMENT (this “Amendment”), dated as of
May 12, 2010, is by and among BALDWIN TECHNOLOGY COMPANY, INC., a Delaware corporation
(“Parent”), BALDWIN GERMANY HOLDING GMBH, a German company (“Newco”), BALDWIN
GERMANY GMBH, a German company (“BGG”), BALDWIN OXY-DRY GMBH (formerly known as “OXY-DRY
MASCHINEN GMBH”), a German company (“Oxy-Dry GmbH”, and, collectively with the Parent,
Newco and BGG, the “Borrowers”), the other Credit Parties (as defined in the Guaranty and
Collateral Agreement (as defined below)) a party hereto, the Lenders (as defined in the Credit
Agreement referred to below) signatory hereto and BANK OF AMERICA, N.A., a national banking
association (as successor-by-merger to LASALLE BANK NATIONAL ASSOCIATION), in its capacity as
administrative agent (in such capacity, the “Administrative Agent”) for the Lenders.

PRELIMINARY STATEMENTS

     A. The Borrowers, the Lenders and the Administrative Agent are parties to that certain Credit
Agreement, dated as of November 21, 2006, as amended by that certain (i) Amendment to Credit
Agreement dated as of December 29, 2006, (ii) Waiver, Consent and Amendment No. 2, dated as of
April 18, 2007, (iii) Waiver, Consent and Amendment No. 3 to Credit Agreement dated as of January
3, 2008, (iv) Amendment No. 4 to Credit Agreement dated as of February 26, 2008, (v) Modification
and Limited Waiver Agreement dated as of March 31, 2009, as amended and restated as of May 15, 2009
and amended on June 22, 2009 (such Modification and Limited Waiver Agreement, as so amended and
restated and as so amended, and as may be further amended, restated, supplemented or otherwise
modified from time to time, the “Modification and Limited Waiver”) and (vi) Waiver and
Amendment No. 5 to Credit Agreement dated as of July 31, 2009 (“Amendment No. 5”);

     B. The term “Credit Agreement” as used in this Amendment shall mean such Credit
Agreement as amended as set forth in paragraph A above;

     C. The Guaranty and Collateral Agreement (as defined in the Credit Agreement) was amended
pursuant to an Amendment No. 1 to Guaranty and Collateral Agreement, dated as of June 24, 2009 and
by an Amendment No. 2 to Guaranty and Collateral Agreement, dated as of February 16, 2010;

     D. The Borrowers have requested that Lenders constituting at least the Required Lenders agree
to further amend the Credit Agreement to change the latest date, under Section 10.1.8 of
the Credit Agreement, for the delivery of the financial projections for the Parent and its
Subsidiaries for the Fiscal Year commencing July 1, 2010 from June 15, 2010 to June 22, 2010;

 

 

     E. The Borrowers have notified the Lenders and the Administrative Agent that the Minimum
Liquidity and Currency Adjusted Net Sales Certificate with respect to the Currency Adjusted Net
Sales for the consecutive three-month period ending April 30, 2010 will show the Currency Adjusted
Net Sales for the consecutive three-month period ending April 30, 2010 to be less than $40,563,300
in breach of the requirement of the financial covenant set forth in Section 11.14.4 of the
Credit Agreement that Currency Adjusted Net Sales for the consecutive three-month period ending
April 30, 2010 not be less than $40,563,300 (the Event of Default resulting from such breach is
referred to below in this Amendment as the “Specified Event of Default”);

     F. The Borrowers have requested that Lenders constituting at least the Required Lenders waive
the Specified Event of Default; and

     G. The Lenders signatories hereto, representing at least the Required Lenders, are willing to
provide for such amendment and to waive the Specified Event of Default, all upon the terms and
conditions set forth in this Amendment.

     NOW, THEREFORE, in consideration of the premises herein contained and other good and valuable
consideration, the receipt and sufficiency of which are hereby acknowledged, the parties, intending
to be legally bound, agree as follows:

ARTICLE I

DEFINITIONS

     1.01 Capitalized terms used in this Amendment and not defined herein shall have the meanings
ascribed to such terms in the Credit Agreement unless otherwise stated herein.

ARTICLE II

AMENDMENT

     2.01 Amendment to Section 10.1.8. Section 10.1.8 of the Credit Agreement is
hereby amended by deleting the date “June 15, 2010” and inserting in lieu thereof the date “June
22, 2010”.

ARTICLE III

CERTAIN WAIVER

     3.01 Waiver. The Required Lenders hereby waive the Specified Event of Default The
foregoing waiver in this Section 3.01 is limited solely to the Specified Event of Default
and shall not apply to any other Events of Default or Unmatured Events of Default which may now or
hereafter exist. Without limiting the generality of the immediately preceding sentence, the
Borrowers (and other Credit Parties) hereby acknowledge and agree that the waiver set forth in the
first sentence of this paragraph does not apply to any breach of Sections 11.14.4 of the
Credit Agreement other than the breach of Section 11.14.4 for the consecutive three-month
period ending April 30, 2010. Each of the Borrowers and the other Credit Parties hereby consents
to, and acknowledges the availability of, each and every right and remedy set forth in the Credit
Agreement, the Guaranty and Collateral Agreement and the other Loan Documents with respect to any
Event of Default other than the Specified Event of Default.

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ARTICLE IV

CONDITIONS PRECEDENT

     4.01 Conditions to Effectiveness. The effectiveness of the amendment set forth in
Section 2.01 above and of the waiver set forth in Section 3.01 above are each
subject to the satisfaction (by no later than the date of this Amendment unless the Administrative
Agent extends such date) of the following conditions precedent, unless specifically waived in
writing by the Administrative Agent:

     (a) The Administrative Agent shall have received this Amendment duly executed by
Borrowers and the other Credit Parties and the Lenders;

     (b) Borrowers shall have paid the Amendment No. 6 Waiver Fee (as defined below); and

     (c) Borrowers shall have paid the $9,900 of costs and expenses referred to in clause
(a) of the second sentence of Section 8.04 below.

ARTICLE V

WAIVER FEE

     5.01 Waiver Fee. In consideration of the Required Lenders entering into this
Amendment, and for other good and valuable consideration, the receipt and sufficiency of which is
hereby acknowledged, the Borrowers hereby agree to pay, no later than the date of this Amendment,
to each Lender who executes and delivers this Amendment on or before the date hereof, a waiver fee
(the “Amendment No. 6 Waiver Fee”) equal to such Lender’s Pro-Rata Share (as defined in
clause (d) of the definition of Pro-Rata Share) of $20,000. The Amendment No. 6 Waiver Fee shall
be fully earned on the date hereof. For the avoidance of doubt, the Amendment No. 6 Waiver Fee is
in addition to any remaining unpaid installments of the Amendment Fee (as defined in Amendment No.
5) owed by the Borrowers.

ARTICLE VI

NO WAIVER

     6.01 No Waiver. Other than the waiver set forth in Section 3.01 hereof,
nothing contained in this Amendment shall be construed as a waiver by the Administrative Agent or
the Lenders of any covenant or provision of the Credit Agreement, the Guaranty and Collateral
Agreement, this Amendment, the other Loan Documents, or of any other contract or instrument among
the Borrowers and/or the other Credit Parties, as the case may be, and the Administrative Agent
and/or the Lenders (and/or their respective Affiliates), as the case may be, and the failure of the
Administrative Agent and/or Lenders (and/or their respective Affiliates) at any time or times
hereafter to require strict performance by the Borrowers and/or the other Credit Parties of any
provision thereof shall not waive, affect or diminish any right of the Administrative Agent and the
Lenders (or their respective Affiliates) to thereafter demand strict compliance therewith.

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ARTICLE VII

RATIFICATIONS, REPRESENTATIONS AND WARRANTIES; CONFIRMATIONS

     7.01 Ratifications. The terms and provisions set forth in this Amendment shall modify
and supersede all inconsistent terms and provisions set forth in Credit Agreement and the other
Loan Documents. The terms and provisions of the Credit Agreement and the other Loan Documents, as
amended hereby, are ratified and confirmed and shall continue in full force and effect. The
Borrowers, the other Credit Parties, the Lenders and the Administrative Agent agree that the Credit
Agreement and the other Loan Documents, as amended hereby, shall continue to be legal, valid,
binding obligations of the parties thereto, enforceable against such parties in accordance with
their respective terms. Without limiting the generality of the foregoing, the Borrowers and the
other Credit Parties hereby confirm and agree that (a) all Liens under the Collateral Documents (as
amended) remain in full force and effect (as so amended) and (b) the guaranty obligations and other
obligations of the Borrowers and all other Credit Parties under the Guaranty and Collateral
Agreement (and other applicable Collateral Documents), as amended, remain in full force and effect
(as so amended) and (as set forth in the Guaranty and Collateral Agreement) shall not be impaired
or otherwise limited by any waiver or modification set forth in this Amendment (and nothing
contained in this Amendment shall, or shall be interpreted to, create a custom, course of dealing
or other agreement or arrangement by which the consent or confirmation of any Credit Party to any
modification or waiver is required in order to keep any obligations under the Guaranty and
Collateral Agreement (and other applicable Collateral Documents) in full force and effect, it being
agreed that no such consent or confirmation is necessary or required in order to keep such
obligations in full force and effect). Without limiting the generality of the foregoing (or of
Section 1.2(e) of the Credit Agreement), it is hereby confirmed and agreed that any
reference in the Loan Documents to any Note shall include all amendments, restatements, supplements
and other modifications thereto and any Notes issued under Section 15.6.1 of the Credit
Agreement and/or other Notes in substitution or replacement of any Note(s). Any breach of any
representation, warranty or confirmation set forth in this Amendment by any Borrower or any other
Credit Party shall be deemed to constitute an Event of Default under the Credit Agreement.

     7.02 Representations and Warranties. Each of the Borrowers and the other Credit
Parties hereby represents and warrants to the Administrative Agent and the Lenders that (a) the
execution, delivery and performance of this Amendment and any and all Loan Documents executed
and/or delivered in connection herewith have been authorized by all requisite corporate (or other
applicable organization) action on the part of such Borrower or other Credit Party, as the case may
be, and will not violate the charter, by-laws or other organizational documents of such Borrower or
other Credit Party; (b) the representations and warranties of such Borrower or other Credit Party,
as the case may be, contained in any Loan Document are true and correct in all respects (or if the
applicable representation or warranty is not qualified by a materiality qualifier, true and correct
in all material respects) on the date hereof and on and as of the date of execution hereof as
though made on and as of each such date (except to the extent stated to relate to a specific
earlier date, in which case such representations and warranties were true and correct in all
respects (or if the applicable representation or warranty is not qualified by a materiality
qualifier, true and correct in all material respects) as of such earlier date); (c) after giving
effect to the waiver set forth in Section 3.01 hereof, no Event of Default or Unmatured
Event of Default under the Credit Agreement has occurred and is continuing; and (d) no Credit Party
that

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is party to the Guaranty and Collateral Agreement has changed its legal name since November
21, 2006 except (i) Newco changed its name from Mainsee 430. VV GmbH to Baldwin Germany Holding
GmbH, (ii) Oxy-Dry GmbH changed its name from Oxy-Dry Maschinen GmbH to Baldwin Oxy-Dry GmbH and
(iii) Baldwin Southeast Asia Corporation changed its name from Oxy-Dry Asia Pacific, Inc. The
Borrowers and the other Credit Parties acknowledge and agree that all unpaid principal of, and
accrued and unpaid interest under, each of the Loans is justly owed without claim, counterclaim,
cross-complaint, offset, defense or other reduction of any kind against the Lenders or the
Administrative Agent.

     7.03 Confirmations. All confirmations and agreements set forth in Sections 7.03, 7.04
and 7.05 of Amendment No. 5 remain in full force and effect.

ARTICLE VIII

MISCELLANEOUS PROVISIONS

     8.01 Survival of Representations and Warranties. All representations and warranties
made in the Credit Agreement or the Guaranty and Collateral Agreement or any other Loan Documents
or under or in connection with this Amendment, including, without limitation, any document
furnished in connection with this Amendment, shall survive the execution and delivery of this
Amendment and the other Loan Documents.

     8.02 Severability. Any provision of this Amendment held by a court of competent
jurisdiction to be invalid or unenforceable shall not impair or invalidate the remainder of this
Amendment and the effect thereof shall be confined to the provision so held to be invalid or
unenforceable.

     8.03 Successors and Assigns. This Amendment is binding upon and shall inure to the
benefit of the Administrative Agent, the Lenders, the Borrowers and the other Credit Parties and
their respective successors and assigns, except that no Borrower or Credit Party may assign or
transfer any of its rights or obligations hereunder without the prior written consent of the
Administrative Agent. It is acknowledged and agreed that Bank of America, N.A., has, as successor
by merger to LaSalle Bank National Association, succeeded to all of the respective rights and
duties of LaSalle Bank National Association as a Lender (including without limitation as the
Issuing Lender), and the Administrative Agent under the Loan Documents.

     8.04 Certain Costs and Expenses. Without in any way limiting the generality of
Sections 10.2 or 15.5 of the Credit Agreement, the Parent acknowledges and agrees that it shall
promptly pay the reasonable fees and disbursements of all legal counsel retained by the
Administrative Agent in connection with the preparation, negotiation, execution and delivery of
this Amendment or any future waiver or modification (or proposed modification or waiver whether or
not consummated), if any, of any Loan Document(s) (provided that Borrower shall not have to pay the
allocable costs of internal legal services of the Administrative Agent in connection with the
preparation, negotiation, execution and delivery of this Amendment, provided, further, that it is
understood and agreed that this parenthetical phrase shall not, and shall not be interpreted to,
limit the right of the Administrative Agent or any Lender to receive the allocable costs of
internal legal services with respect to agreements or matters other than the preparation,
negotiation, execution and delivery of this Amendment). The Parent acknowledges

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and agrees that (a) it owes, as of the date of this Amendment, $9,900 for the fees and
disbursements of legal counsel of the Agent in connection with the preparation, negotiation,
execution and delivery of this Amendment and for various work done in connection with the Guaranty
and Collateral Agreement and other Collateral Documents, (b) it owes additional amounts for the
fees and disbursements of legal counsel of the Agent in connection with other work of such legal
counsel and (c) it owes additional amounts for the fees of Capstone (as defined in the Modification
and Limited Waiver). The Borrowers and other Credit Parties hereby agree that all findings and
conclusions and other work product of Capstone shall be protected by the attorney-client privilege
and shall not be subject to review or discovery by the Borrowers or any other Credit Party.

     8.05 Counterparts. This Amendment may be executed and delivered by facsimile,
portable document format (“.pdf”), Tagged Image File Format (“.TIFF”) or other electronic means of
delivery and in one or more counterparts, each of which when so executed shall be deemed to be an
original, but all of which when taken together shall constitute one and the same instrument.

     8.06 Preliminary Statements. The Preliminary Statements set forth in this Amendment
are accurate and shall form a substantive part of the agreement of the parties hereto.

     8.07 Headings. The headings, captions, and arrangements used in this Amendment are
for convenience only and shall not affect the interpretation of this Amendment.

     8.08 Relationship. The relationship between the Borrowers and other Credit Parties on
the one hand and the Lenders and the Administrative Agent on the other hand shall be solely that of
borrowers and guarantors, on the one hand, and lender on the other. Neither the Administrative
Agent nor any Lender has any fiduciary relationship with or duty to any Borrower or other Credit
Party arising out of or in connection with this Amendment or any of the other Loan Documents, and
the relationship between the Borrowers and other Credit Parties, on the one hand, and the
Administrative Agent and the Lenders, on the other hand, in connection herewith or therewith is
solely that of debtor and creditor. The Borrowers and other Credit Parties acknowledge that they
have been advised by counsel in the negotiation, execution and delivery of this Amendment and the
other Loan Documents. No joint venture is created hereby or by the other Loan Documents or
otherwise exists by virtue of the transactions contemplated hereby or by the other Loan Documents
among the Lenders or among the Borrowers (and other Credit Parties) and the Lenders.

     8.09 Time is of the Essence. The parties hereto (i) have agreed specifically with
regard to the times for performance set forth herein and in the other Loan Documents and (ii)
acknowledge and agree such times are material to this Amendment and the other Loan Documents.
Therefore, time is of the essence with respect to this Agreement and the other Loan Documents.

     8.10 Jury Trial; Indemnification. Without limiting the generality of Sections
15.17, 15.18, 15.19 and 15.20 of the Credit Agreement, it is hereby agreed that the terms and
provisions of such Sections shall apply to this Amendment and any transaction or matter
contemplated by, in connection with or arising out of this Amendment.

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     8.11 Applicable Law. THIS AMENDMENT AND ALL OTHER AGREEMENTS EXECUTED PURSUANT HERETO
(EXCEPT AS EXPRESSLY SET FORTH IN ANY SUCH AGREEMENT) SHALL BE A CONTRACT MADE UNDER AND GOVERNED
BY THE INTERNAL LAWS OF THE STATE OF NEW YORK APPLICABLE TO CONTRACTS MADE AND TO BE PERFORMED
ENTIRELY WITHIN SUCH STATE (INCLUDING SECTIONS 5-1401 AND 5-1402 OF THE NEW YORK GENERAL
OBLIGATIONS LAW).

     8.12 Final Agreement. THE CREDIT AGREEMENT (AS AMENDED HEREBY) AND THE OTHER LOAN
DOCUMENTS REPRESENT THE ENTIRE EXPRESSION OF THE PARTIES WITH RESPECT TO THE SUBJECT MATTER HEREOF
AND THEREOF ON THE DATE THIS AMENDMENT IS EXECUTED. THE CREDIT AGREEMENT (AS AMENDED HEREBY) AND
THE OTHER LOAN DOCUMENTS MAY NOT BE CONTRADICTED BY EVIDENCE OF PRIOR, CONTEMPORANEOUS OR
SUBSEQUENT ORAL AGREEMENTS OF THE PARTIES. THERE ARE NO UNWRITTEN ORAL AGREEMENTS BETWEEN THE
PARTIES. WITHOUT LIMITING THE GENERALITY OF THE FOREGOING PROVISIONS, THE BORROWERS AND THE OTHER
CREDIT PARTIES ACKNOWLEDGE AND AGREE THAT NEITHER ANY LENDER NOR THE ADMINISTRATIVE AGENT HAS MADE
ANY PROMISES OR ASSURANCES WITH RESPECT TO, AND THE BORROWERS AND OTHER CREDIT PARTIES ACKNOWLEDGE
AND AGREE THAT THERE IS NO ORAL AGREEMENT WITH RESPECT TO, ANY FUTURE AMENDMENT, WAIVER OR OTHER
MODIFICATION OF THE LOAN DOCUMENTS OR ANY RESTRUCTURING OR WORKOUT THEREOF OR WITH RESPECT THERETO.
NO MODIFICATION, RESCISSION, WAIVER, RELEASE OR AMENDMENT OF ANY PROVISION OF THIS AMENDMENT SHALL
BE MADE, EXCEPT BY A WRITTEN AGREEMENT SIGNED BY THE BORROWERS AND THE REQUIRED LENDERS AND (WITH
RESPECT TO MATTERS AFFECTING THE ADMINISTRATIVE AGENT) THE ADMINISTRATIVE AGENT AND (WITH RESPECT
TO MATTERS AFFECTING THE ISSUING LENDER) THE ISSUING LENDER.

     8.13 Release. EACH OF THE BORROWERS AND THE OTHER CREDIT PARTIES HEREBY ACKNOWLEDGES
THAT, AS OF THE DATE HEREOF, IT HAS NO DEFENSE, COUNTERCLAIM, OFFSET, CROSS-COMPLAINT, CLAIM OR
DEMAND OF ANY KIND OR NATURE WHATSOEVER THAT CAN BE ASSERTED (A) TO REDUCE OR ELIMINATE ALL OR ANY
PART OF ITS APPLICABLE LIABILITIES UNDER ANY LOAN DOCUMENT, ANY BANK PRODUCT AGREEMENT OR ANY
HEDGING AGREEMENT WITH ANY LENDER, THE ADMINISTRATIVE AGENT OR ANY OF THEIR RESPECTIVE AFFILIATES
AND/OR (B) TO SEEK AFFIRMATIVE RELIEF OR DAMAGES OF ANY KIND OR NATURE FROM THE ADMINISTRATIVE
AGENT OR ANY OF THE LENDERS (OR ANY OF THEIR RESPECTIVE AFFILIATES). EACH OF THE BORROWERS AND THE
OTHER CREDIT PARTIES HEREBY VOLUNTARILY AND KNOWINGLY RELEASES AND FOREVER DISCHARGES THE
ADMINISTRATIVE AGENT AND LENDERS, THEIR PREDECESSORS, AGENTS, AFFILIATES, EMPLOYEES, SUCCESSORS AND
ASSIGNS, FROM ALL POSSIBLE CLAIMS, DEMANDS, ACTIONS, CAUSES OF ACTION, DAMAGES, COSTS, EXPENSES,
AND LIABILITIES WHATSOEVER, KNOWN OR UNKNOWN, ANTICIPATED OR UNANTICIPATED, SUSPECTED OR
UNSUSPECTED, FIXED, CONTINGENT, OR CONDITIONAL, AT LAW OR IN EQUITY, ORIGINATING IN WHOLE OR IN
PART ON OR BEFORE THE DATE

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THIS AMENDMENT IS EXECUTED, WHICH SUCH BORROWER OR OTHER CREDIT PARTY MAY NOW OR HEREAFTER
HAVE AGAINST THE ADMINISTRATIVE AGENT, LENDERS, THEIR PREDECESSORS, AGENTS, EMPLOYEES, SUCCESSORS
AND ASSIGNS, IF ANY, AND IRRESPECTIVE OF WHETHER ANY SUCH CLAIMS ARISE OUT OF CONTRACT, TORT,
VIOLATION OF LAW OR REGULATIONS, OR OTHERWISE, AND ARISING OUT OF OR OTHERWISE IN ANY WAY RELATING
IN ANY WAY TO THIS AMENDMENT OR ANY OTHER LOAN DOCUMENT, HEDGING AGREEMENT, BANK PRODUCT AGREEMENT,
THE OBLIGATIONS, ANY OTHER TRANSACTION CONTEMPLATED BY ANY OF THE FOREGOING DOCUMENTS, OR ANY
ACTION OR OMISSION OF THE ADMINISTRATIVE AGENT OR ANY LENDER UNDER OR OTHERWISE IN ANY WAY RELATING
TO ANY OF THE FOREGOING DOCUMENTS. THE BORROWERS AND OTHER CREDIT PARTIES EXPRESSLY WAIVE ANY
PROVISION OF STATUTORY OR DECISIONAL LAW TO THE EFFECT THAT A GENERAL RELEASE DOES NOT EXTEND TO
CLAIMS WHICH THE RELEASING PARTY(IES) DOES NOT KNOW OR SUSPECT TO EXIST IN SUCH PARTY’S FAVOR AT
THE TIME OF EXECUTING THE RELEASE, WHICH, IF KNOWN BY SUCH PARTY, MUST OR MIGHT HAVE MATERIALLY
AFFECTED SUCH PARTY’S SETTLEMENT WITH THE RELEASED PARTIES. NOTHING CONTAINED IN THIS PARAGRAPH
SHALL, OR SHALL BE INTERPRETED TO, IMPAIR ANY RIGHTS OF ANY BORROWER (OR OTHER CREDIT PARTY) WITH
RESPECT TO ANY DEPOSIT OR OTHER BANK ACCOUNTS OF SUCH BORROWER OR OTHER CREDIT PARTY (OR ANY OF
THEIR RESPECTIVE SUBSIDIARIES) WITH ANY LENDER OR THE ADMINISTRATIVE AGENT.

[Remainder of Page Intentionally Left Blank]

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     IN WITNESS WHEREOF, each of the parties hereto has executed this Amendment as of the date
first written above.

	 	 	 	 	 
	 	BALDWIN TECHNOLOGY COMPANY, INC.

 	 
	 	By:  	/s/ Karl S. Puehringer
 	 
	 	 	Name:  	Karl S. Puehringer 	 
	 	 	Title:  	President and Chief Executive Officer 	 
	 
	 	BALDWIN GERMANY HOLDING GMBH

 	 
	 	By:  	/s/ Karl S. Puehringer
 	 
	 	 	Name:  	Karl S. Puehringer 	 
	 	 	Title:  	Managing Director 	 
	 
	 	BALDWIN GERMANY GMBH

 	 
	 	By:  	/s/ Karl S. Puehringer
 	 
	 	 	Name:  	Karl S. Puehringer 	 
	 	 	Title:  	Managing Director 	 
	 
	 	BALDWIN OXY-DRY GMBH

(formerly known as OXY-DRY MASCHINEN GMBH)

 	 
	 	By:  	/s/ Karl S. Puehringer
 	 
	 	 	Name:  	Karl S. Puehringer 	 
	 	 	Title:  	Managing Director 	 
	 

[Signature Page to Amendment No. 6 to Credit Agreement]

 

 

	 	 	 	 	 
	 	BALDWIN GRAPHIC SYSTEMS, INC.

 	 
	 	By:  	/s/ John P. Jordan
 	 
	 	 	Name:  	John P. Jordan 	 
	 	 	Title:  	Vice President and Treasurer 	 
	 
	 	OXY-DRY FOOD BLENDS, INC.

 	 
	 	By:  	/s/ John P. Jordan
 	 
	 	 	Name:  	John P. Jordan 	 
	 	 	Title:  	Vice President and Treasurer 	 
	 
	 	OXY-DRY U.K., INC.

 	 
	 	By:  	/s/ John P. Jordan
 	 
	 	 	Name:  	John P. Jordan 	 
	 	 	Title:  	Vice President 	 
	 
	 	BALDWIN SOUTHEAST ASIA CORPORATION

(formerly known as Oxy-Dry Asia Pacific, Inc.)

 	 
	 	By:  	/s/ John P. Jordan
 	 
	 	 	Name:  	John P. Jordan 	 
	 	 	Title:  	Vice President 	 
	 
	 	BALDWIN AMERICAS CORPORATION

 	 
	 	By:  	/s/ Karl S. Puehringer
 	 
	 	 	Name:  	Karl S. Puehringer 	 
	 	 	Title:  	President 	 
	 
	 	BALDWIN ASIA PACIFIC CORPORATION

 	 
	 	By:  	/s/ Karl S. Puehringer
 	 
	 	 	Name:  	Karl S. Puehringer 	 
	 	 	Title:  	President 	 
	 

[Signature Page to Amendment No. 6 to Credit Agreement]

 

 

	 	 	 	 	 
	 	MTC TRADING COMPANY

 	 
	 	By:  	/s/ Karl S. Puehringer
 	 
	 	 	Name:  	Karl S. Puehringer 	 
	 	 	Title:  	President 	 
	 
	 	OXY-DRY CORPORATION

 	 
	 	By:  	/s/ John P. Jordan
 	 
	 	 	Name:  	John P. Jordan 	 
	 	 	Title:  	Vice President and Treasurer 	 
	 
	 	BALDWIN EUROPE CONSOLIDATED INC.

 	 
	 	By:  	/s/ Karl S. Puehringer
 	 
	 	 	Name:  	Karl S. Puehringer 	 
	 	 	Title:  	President 	 
	 

[Signature Page to Amendment No. 6 to Credit Agreement]

 

 

	 	 	 	 	 
	 	BALDWIN ROCKFORD CORPORATION

 	 
	 	By:  	/s/ John P. Jordan
 	 
	 	 	Name:  	John P. Jordan 	 
	 	 	Title:  	President and CEO 	 
	 
	 	BALDWIN EUROPE CONSOLIDATED B.V.

By: Baldwin Graphic Equipment BV

 	 
	 	By:  	/s/ John P. Jordan
 	 
	 	 	Name(s):  John P. Jordan 	 
	 	 	Title:  	Managing Director 	 
	 
	 	 	 
	 	By:  	     /s/ Jacobus Willems
 	 
	 	 	Name(s):  Jacobus Willems 	 
	 	 	Title:  	Managing Director 	 
	 
	 	BALDWIN GRAPHIC EQUIPMENT B.V.

 	 
	 	By:  	/s/ John P. Jordan
 	 
	 	 	Name(s):  John P. Jordan 	 
	 	 	Title:  	Managing Director 	 
	 
	 	 	 
	 	By:  	     /s/ Jacobus Willems
 	 
	 	 	Name(s):  Jacobus Willems 	 
	 	 	Title:  	Managing Director 	 
	 

[Signature Page to Amendment No. 6 to Credit Agreement]

 

 

	 	 	 	 	 
	 	BANK OF AMERICA, N.A., as Administrative 

Agent

 	 
	 	By:  	/s/ George S. Carey
 	 
	 	 	Name:  	George S. Carey 	 
	 	 	Title:  	Assistant Vice President 	 
	 
	 	BANK OF AMERICA, N.A., as Lender

 	 
	 	By:  	/s/ Anthony Healey
 	 
	 	 	Name:  	Anthony Healey 	 
	 	 	Title:  	Senior Vice President 	 
	 

[Signature Page to Amendment No. 6 to Credit Agreement]

 

 

	 	 	 	 	 
	 	WEBSTER BANK, NATIONAL ASSOCIATION, 

as Lender

 	 
	 	By:  	/s/ Stephen Corcoran
 	 
	 	 	Name:  	Stephen Corcoran 	 
	 	 	Title:  	Senior Vice President 	 
	 

[Signature Page to Amendment No. 6 to Credit Agreement]

 

 

	 	 	 	 	 
	 	RBS CITIZENS, N.A., as Lender

 	 
	 	By:  	/s/ Robert M. Nemon
 	 
	 	 	Name:  	Robert M. Nemon 	 
	 	 	Title:  	Vice-President 	 
	 

Exhibit F-15Exhibit 10.1

EXHIBIT 10.1

CONVERTIBLE PROMISSORY NOTE

			
	 	 	 
	$300,000.00
	 	May 12, 2010

Atlanta, Georgia

FOR VALUE RECEIVED, the undersigned, SANUWAVE HEALTH, INC. (the “Company”), promises
to pay to the order of KEVIN and MARGARET RICHARDSON, or their registered assigns (the
“Holder”), the principal sum of Three Hundred Thousand Dollars ($300,000.00), with interest
thereon from time to time as provided herein.

1. Maturity Date; Repayment; Interest. The principal under this Note shall be due and
payable ninety (90) days after the issuance of this Note (the “Maturity Date”), together
with interest from the date hereof (computed on the basis of a 365-day year) at the rate of five
percent (5%) per annum on the unpaid principal amount in arrears. Provided this Note is not
converted in accordance with Section 4 below, Interest shall be due and payable at the
earlier of (i) the Maturity Date, or (ii) the Prepayment Date (defined below). No principal or
interest shall be payable or callable under this Note until the earlier of (a) the Maturity Date or
(b) the Prepayment Date.

2. Prepayment. The Company may prepay the Note in cash, in whole but not in part
prior to the Maturity Date or the conversion of the Note (the “Prepayment Date”).

3. Warrant. At the earlier of the Maturity Date or the Prepayment Date, and provided
the this Note has not been converted in accordance with Section 4 below, the Company shall
issue the Holder a warrant, in the form attached hereto as Exhibit A to purchase, at a
purchase price of $4.00 per share, the number of shares of the Company’s common stock, par value
$0.001 determined as follows:

The number of shares is determined by dividing the sum of the principal and interest
payable hereunder by twenty (20). For example: if the sum of the principal and
interest is $200,000, the number of shares equals 10,000 (200,000 / 20).

4. Conversion.

(a) Upon the consummation of a Qualified Financing on or prior to the earlier of the Maturity
Date or the Prepayment Date, the Company shall have the option to cause the conversion of the
unpaid principal and interest on this Note into (A) shares of the Company’s common stock, par value
$0.001 (the “Company Stock”), the number of such shares to be equal to the amount obtained
by dividing (i) by the unpaid principal and interest on this Note to be converted, by (ii) the
Conversion Price (as defined below), (B) a warrant to purchase the same number of warrant shares as
the number of warrant shares a holder would have received had he invested an amount equal to the
unpaid principal and interest on this Note to be converted in the Qualified Financing; the terms of
such warrant to be substantially similar to the terms of the warrant granted pursuant to the
Qualified Financing, and (C) any other securities to be issued pursuant to the Qualified Financing
in the same amounts and under the same terms Holder would had received had he/she invested an
amount equal to the unpaid principal and interest on this Note to be converted, in the Qualified
Financing. The conversion price for the securities to be issued to the Holder shall be equal to
the per share purchase price of the Company Stock issued in the Qualified Financing, the
“Conversion Price”). The Company shall give the Holder written notice of any Qualified
Financing and its election to cause the conversion of this Note in accordance with this Section
4 within a reasonable period of time (but in no event more than fifteen (15) business day)
following the
consummation of the Qualified Financing. For purposes of this Note, “Qualified
Financing” shall mean the consummation, on or prior to the earlier of the Maturity Date or the
Prepayment Date, of a private placement of not less than Three Million Dollars ($3,000,000) in the
aggregate of Company Stock.

 

 

 

(b) In the event of any conversion as provided above, the Company shall not issue fractional
securities but shall pay the dollar equivalent of any fractional securities that would otherwise be
issuable.

(c) The Company shall not be obligated to issue certificates evidencing the securities
issuable upon such conversion unless the Note is either delivered to the Company or the Holder
notifies the Company that such Note has been lost, stolen or destroyed and executes an agreement
satisfactory to the Company to indemnify the Company from any loss incurred by it in connection
with such Note. The Company shall, as soon as practicable after such delivery, or such agreement
and indemnification, issue and deliver at such office to such holder of the Note, a certificate or
certificates for the securities to which the Holder shall be entitled as the result of a
conversion, as mutually agreed to between the Company and the Holder. The person or persons
entitled to receive securities issuable upon such conversion shall be treated for all purposes as
the record holder or holders of such securities on such date.

(d) In the event that any principal of or interest on this Note remains unpaid at any time
after payment thereof is due hereunder, the Holder shall retain all rights hereunder until such
time as amounts due, including additional accrued interest, have been paid in full. Subject to the
foregoing, upon (I) either (w) payment in full by the Company to the Holder of all principal,
interest and any other amounts due pursuant to the terms hereof or (x) conversion of this Note in
full pursuant to the terms hereof, and (II) fulfillment by the Company of all its other material
obligations hereunder, this Note shall terminate.

5. Defaults and Remedies.

(a) In the event the principal is not paid in full within three (3) business days of the due
date stipulated above, or any other default occurs, then, from and after such date and until
payment in full of the amount due hereunder, interest shall accrue on the outstanding principal
balance of this Note at the simple rate equal to ten percent (10%) per annum. Time is of the
essence of this Note. The Company agrees to pay all costs and expenses of collection of the
indebtedness evidenced by this Note including fifteen percent (15%) of the amount of principal and
interest involved as attorneys’ fees (if collected by or through an attorney) in connection with
such collection.

(b) Presentment for payment, demand, protest and notice of demand, dishonor, protest and
non-payment and all other notices are hereby waived by the Company. No acceptance of a partial
installment, late payment or indulgences granted from time to time shall be construed (i) as a
novation of this Note or as a reinstatement of the indebtedness evidenced hereby or as a waiver of
the right of Holder thereafter to insist upon strict compliance with the terms of this Note, or
(ii) to prevent the exercise of any right granted hereunder or by the laws of the State of Georgia;
and the Company hereby expressly waives the benefit of any statute or rule of law or equity now
provided, or which may hereafter be provided, which would produce a result contrary to or in
conflict with the foregoing. No extension of the time for the payment of this Note or any
installment due hereunder, made by agreement with any person now or hereafter liable for the
payment of this Note, shall operate to release, discharge, modify, change or affect the original
liability of the Company under this Note, either in whole or in part, unless Holder agrees
otherwise in writing.

 

 

 

(c) If from any circumstances whatsoever, fulfillment of any provision of this Note or of any
other instrument evidencing or securing the indebtedness evidenced hereby, at the time performance
of such provision shall be due, shall involve transcending the limit of validity presently
prescribed by any applicable usury statute or any other applicable law, with regard to obligations
of like character and amount, then, the obligation to be fulfilled shall be reduced to the limit of such validity,
so that in no event shall any action be possible under this Note or under any other instrument
evidencing or securing the indebtedness evidenced hereby, that is in excess of the current limit of
such validity, but such obligation shall be fulfilled to the limit of such validity.

6. Remedies Cumulative. No remedy herein conferred upon the Holder is intended to be
exclusive of any other remedy and each and every such remedy shall be cumulative and shall be in
addition to every other remedy given hereunder or now or hereafter existing at law or in equity or
by statute or otherwise. To the extent permitted by applicable law, the Company and the Holder
waive presentment for payment, demand, protest and notice of dishonor.

7. Governing Law. This Note shall be governed by and construed in accordance with the
laws of the State of Georgia regardless of conflicts of law principles.

8. Assignment. Neither the Holder nor the Company shall assign its rights or
obligations under this Note to any third party. Any assignment in breach of the foregoing shall be
void and of no force or effect.

9. Amendment/Waiver. No term of this Note may be amended and the observance of any
term of this Note may not be waived except with the written consent of the Company and Holder
hereof.

IN WITNESS WHEREOF, this Note has been executed by the Company by its duly authorized officer
as of the day and year first above written.

	 	 	 	 	 
	 	SANUWAVE Health, Inc.

 	 
	 	By:  	/s/ Barry J. Jenkins
 	 
	 	 	Name:  	Barry J. Jenkins 	 
	 	 	Title:  	Chief Financial Officer 	 

 

 

 

	 	 	 	 	 

EXHIBIT A

Form of Class A Warrant Agreement

SANUWAVE HEALTH, INC.

Warrant for the Purchase of [      ]

Shares of Common Stock

Par Value $0.001

CLASS A WARRANT AGREEMENT

(this “Agreement”)

THE HOLDER OF THIS WARRANT, BY ACCEPTANCE HEREOF, BOTH WITH RESPECT TO THE WARRANT AND COMMON STOCK
ISSUABLE UPON EXERCISE OF THE WARRANT, AGREES AND ACKNOWLEDGES THAT THE SECURITIES REPRESENTED BY
THIS CERTIFICATE HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE
“SECURITIES ACT”), OR UNDER THE SECURITIES LAWS OF ANY STATE. THESE SECURITIES HAVE BEEN ACQUIRED
FOR INVESTMENT AND MAY NOT BE OFFERED FOR SALE, SOLD, TRANSFERRED OR ASSIGNED (I) IN THE ABSENCE OF
(A) AN EFFECTIVE REGISTRATION STATEMENT UNDER THE SECURITIES ACT AND THE LAWS OF ANY APPLICABLE
STATE, OR (B) AN OPINION OF COUNSEL REASONABLY SATISFACTORY TO THE ISSUER, AND ITS COUNSEL, TO THE
EFFECT THAT THE SALE OR TRANSFER IS EXEMPT FROM REGISTRATION UNDER THE SECURITIES ACT AND SUCH
STATE STATUTES, OR (II) UNLESS SOLD PURSUANT TO RULE 144 UNDER THE SECURITIES ACT.

This is to certify that, for value received,                                         , (the “Holder”) is entitled to
purchase from SANUWAVE HEALTH, INC. (the “Company”), on the terms and conditions hereinafter set
forth, all or any part of [     ] shares (“Warrant Shares”) of the Company’s common stock, par
value $0.001 (the “Common Stock”), at the purchase price of $4.00 per share (“Warrant Price”).
Upon exercise of this warrant in whole or in part, a certificate for the Warrant Shares so
purchased shall be issued and delivered to the Holder. If, at any time prior to the Expiration
Date (as defined below), less than the total warrant is exercised, a new warrant of similar tenor
shall be issued for the unexercised portion of the warrants represented by this Agreement.

This warrant is granted subject to the following further terms and conditions:

1. This warrant shall be exercisable at any time or from time to time after the execution and
delivery of this Warrant by the Company on the date hereof and shall expire at 5:00 p.m. Eastern
Time on the date that is five years following the date hereof (the “Expiration Date”). In order to
exercise this warrant with respect to all or any part of the Warrant Shares for which this warrant
is at the time exercisable, Holder (or in the case of exercise after Holder’s death, Holder’s
executor, administrator, heir or legatee, as the case may be) must take the following actions:

(a) Deliver to the Corporate Secretary of the Company an executed notice of exercise
substantially in the form of notice attached to this Agreement (the “Exercise Notice”) in which
there is specified the number of Warrant Shares that are to be purchased under the exercised
warrant;

(b) Tender payment of the aggregate Warrant Price for the purchased shares in cash or by check
made payable to the Company’s order; and

(c) Furnish to the Company appropriate documentation that the person or persons exercising the
warrant (if other than Holder) have the right to exercise the warrant.

 

 

 

(d) For purposes of this Agreement, the “Exercise Date” shall be the date on which the
executed Exercise Notice shall have been delivered to the Company.

(e) Upon such exercise, the Company shall issue and cause to be delivered, with all reasonable
dispatch (and in any event within five business days of such exercise), to or upon the written
order of the Holder at its address, and in the name of the Holder, a certificate or certificates
for the number of full Warrant Shares issuable upon the exercise, together with such other property
(including cash) and securities as may then be deliverable upon such exercise. Such certificate or
certificates shall be deemed to have been issued and the Holder shall be deemed to have become a
holder of record of such Warrant Shares as of the Exercise Date.

2. The Holder acknowledges that this warrant may not be exercised if the issuance of the
Warrant Shares upon such exercise would constitute a violation of any applicable federal or state
securities laws, or other law or regulation, and the Warrant Shares have not been and will not be
registered as of the date of exercise of this warrant under the Securities Act or the securities
laws of any state. The Holder acknowledges that this warrant and the Warrant Shares, when and if
issued, are and will be “restricted securities” as defined in Rule 144 promulgated under the
Securities Act and must be held indefinitely unless subsequently registered under the Securities
Act and any other applicable state registration requirements. Except as provided herein, the
Company is under no obligation to register the securities under the Securities Act or under
applicable state statutes. In the absence of such a registration or an available exemption from
registration, sale of the Warrant Shares may be practicably impossible. The Holder shall confirm
to the Company the representations set forth above in connection with the exercise of all or any
portion of this warrant.

3. The number of Warrant Shares purchasable upon the exercise of this warrant and the Warrant
Price per share shall be subject to adjustment from time to time as follows:

(a) In the event that the Company should at any time, or from time to time, fix a record date
for the effectuation of a split, either forward or reverse, subdivision or combination of the
outstanding shares of Common Stock, or the determination of holders of Common Stock entitled to
receive a dividend or other distribution payable in additional shares of Common Stock or other
securities or rights convertible into, or entitling the holder thereof to receive directly or
indirectly, additional shares of Common Stock (hereinafter referred to as “Common Stock
Equivalents”), without payment of any consideration by such holder for the additional shares of
Common Stock or the Common Stock Equivalents (including the additional shares of Common Stock
issuable upon conversion or exercise thereof), then, as of such record date (or the date of such
dividend distribution, split or subdivision if no record date is fixed), the number of Warrant
Shares purchasable hereunder shall be appropriately increased or decreased in proportion to such
increase or decrease in the aggregate number of shares of Common Stock outstanding and those
issuable with respect to such Common Stock Equivalents.

(b) Whenever there is an adjustment in the number of Warrant Shares purchasable upon the
exercise of this warrant pursuant to the provisions of Section 3(a), the Warrant Price shall be
adjusted to an amount proportionate to the adjustment in the number of Warrant Shares.

(c) If at any time, or from time to time, there shall be a recapitalization of the Common
Stock (other than a subdivision or combination, or merger or sale of assets transaction provided
for elsewhere in this Section 3) provision shall be made so that the Holder shall thereafter be
entitled to receive upon exercise of this warrant the number of shares of Common Stock, Common
Stock Equivalents or property of the Company or otherwise, to which the Holder would have been
entitled upon such recapitalization assuming this warrant was exercised immediately prior thereto.
In any such case, appropriate adjustment shall be made
in the application of the provisions of this Section 3 with respect to the rights of the Holder of
this warrant after the recapitalization to the end that the provisions of this Section 3 (including
adjustment of the Warrant Price then in effect and the number of Warrant Shares issuable upon
exercise) shall be applicable after that event as nearly equivalent as may be practicable.

 

8

 

(d) If at any time, or from time to time, the Company shall consolidate with or merge into
another corporation, or shall sell, lease, or convey to another corporation the assets of the
Company as an entity or substantially as an entity (any one or more of such transactions being a
“Corporate Transaction”), provision shall be made so that the Holder shall thereafter be entitled
to receive upon exercise of this warrant the number of shares of Common Stock, Common Stock
Equivalents or property of the Company or otherwise, to which the Holder would have been entitled
to receive in such Corporate Transaction assuming this warrant was exercised immediately prior
thereto. In any such case, appropriate adjustment shall be made in the application of the
provisions of this Section 3 with respect to the rights of the Holder of this warrant after the
Corporate Transaction to the end that the provisions of this Section 3 (including adjustment of the
Warrant Price then in effect and the number of Warrant Shares issuable upon exercise) shall be
applicable after that event as nearly equivalent as may be practicable.

4. The Company covenants and agrees that all Warrant Shares which may be delivered upon the
exercise of this warrant will, upon delivery, be free from all taxes, liens, and charges with
respect to the purchase thereof; provided, that the Company shall have no obligation with respect
to any income tax liability of the Holder.

5. The Company agrees at all times to reserve or hold available a sufficient number of shares
of Common Stock to cover the number of Warrant Shares issuable upon the exercise of this warrant.

6. This warrant shall not entitle the holder hereof to any voting rights or other rights as a
shareholder of the Company, or to any other rights whatsoever, except the rights herein expressed,
and no dividends shall be payable or accrue in respect of this warrant or the Warrant Shares until
or unless, and except to the extent that, this warrant shall be exercised.

7. The Company may deem and treat the registered owner of this warrant as the absolute owner
hereof for all purposes and shall not be affected by any notice to the contrary.

8. In the event that any provision of this Agreement is found to be invalid or otherwise
unenforceable under any applicable law, such invalidity or unenforceability shall not be construed
as rendering any other provisions contained herein invalid or unenforceable, and all such other
provisions shall be given full force and effect to the same extent as though the invalid or
unenforceable provision was not contained herein.

9. This Agreement shall be governed by and construed in accordance with the internal laws of
the State of Georgia, without regard to the principles of conflicts of law thereof.

10. This Agreement shall be binding on and inure to the benefit of the Company and the person
to whom a warrant is granted hereunder, and such person’s heirs, executors, administrators,
legatees, personal representatives, assignees, and transferees.

11. The Company shall not have any right to redeem any of the Warrants evidenced hereby.

 

9

 

IN WITNESS WHEREOF, the Company has caused this warrant to be executed by the signature of its
duly authorized officer, effective this
 _____ 
day of                      20
 _____.

	 	 	 	 	 
	 	SANUWAVE HEALTH, INC.

 	 
	 	By:  	 	 
	 	 	Name:  	Barry J. Jenkins 	 
	 	 	Title:  	Chief Financial Officer 	 
	 

The undersigned Holder hereby acknowledges receipt of a copy of the foregoing warrant and
acknowledges and agrees to the terms and conditions set forth in the warrant.

	 	 	 	 	 
	 	 	 
	 	By:  	
 	 
	 	 	 	 
	 	 	 	 

 

10

 

	 	 	 	 	 

Exercise Notice

(to be signed only upon exercise of Warrant)

TO: SANUWAVE HEALTH, INC.

The Holder of the attached warrant hereby irrevocable elects to exercise the purchase rights
represented by the warrant for, and to purchase thereunder,                                          shares of common
stock of SANUWAVE Health, Inc. and herewith makes payment therefor, and requests that the
certificate(s) for such shares be delivered to the Holder at:

 

 

 

If acquired without registration under the Securities Act of 1933, as amended (“Securities
Act”), the Holder represents that the Common Stock is being acquired without a view to, or for,
resale in connection with any distribution thereof without registration or other compliance under
the Securities Act and applicable state statutes, and that the Holder has no direct or indirect
participation in any such undertaking or in the underwriting of such an undertaking. The Holder
understands that the Common Stock has not been registered, but is being acquired by reason of a
specific exemption under the Securities Act as well as under certain state statutes for
transactions by an issuer not involving any public offering and that any disposition of the Common
Stock may, under certain circumstances, be inconsistent with these exemptions. The Holder
acknowledges that the Common Stock must be held and may not be sold, transferred, or otherwise
disposed of for value unless subsequently registered under the Securities Act or an exemption from
such registration is available. The Company is under no obligation to register the Common Stock
under the Securities Act or any state securities law, except as provided in the Agreement for the
warrant. The certificates representing the Common Stock will bear a legend restricting transfer,
except in compliance with applicable federal and state securities statutes.

The Holder agrees and acknowledges that this purported exercise of the warrant is conditioned
on, and subject to, any compliance with requirements of applicable federal and state securities
laws deemed necessary by the Company.

DATED this
 _____ 
day of                                         ,                     .

	 	 	 	 	 
	 	 	 
	 	
 	 
	 	Signature 	 
	 	 	 
	 

 

11

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