Document:

exv10w2

Exhibit 10.2

AMENDED AND RESTATED

3COM CORPORATION

1984 EMPLOYEE STOCK PURCHASE PLAN

Amended & Restated June 18, 2008; share addition approved by stockholders at the 2008 Annual Stockholders’ Meeting

     1. Purpose. The 3Com Corporation 1984 Employee Stock Purchase Plan (the “Prior Plan”)
was established to provide eligible employees of 3Com Corporation (“3Com”) and any current or
future subsidiary corporation(s) of 3Com (collectively referred to as the “Company”) with an
opportunity, through payroll deductions, to acquire common stock of 3Com. The Prior Plan has been
amended from time to time. On June 18, 2008, the Board of Directors of 3Com (the “Board”) amended
and restated the Prior Plan as amended in order to make various changes to the Prior Plan
considered beneficial for continuing to carry out the purposes of such plan, all in the form set
forth herein, with the share addition approved by stockholders at the 2008 Annual Stockholders’
Meeting on September 24, 2008 (Beijing, China-time)(the “Plan”). For purposes of the Plan, a
parent corporation and a subsidiary corporation shall be as defined in Sections 424(e) and 424(f)
of the Internal Revenue Code of 1986, as amended (the “Code”). The Company intends that the Plan
shall qualify as an “employee stock purchase plan” under Section 423 of the Code (including any
future amendments or replacements of such section), and the Plan shall be so construed. The
provisions of the Plan, accordingly, shall be construed so as to extend and limit Plan
participation in an uniform and nondiscriminatory basis consistent with the requirements of Section
423 of the Code.

     Any term not expressly defined in the Plan but defined for purposes of Section 423 of the Code
shall have the same definition herein. Because an eligible employee who participates in the Plan
(a “Participant”) may withdraw the Participant’s accumulated payroll deductions and terminate
participation in the Plan or any Offering Period (as defined below) therein during an Offering
Period (as defined
below), the Participant is, in effect, given an option which may or may not be exercised
during any Offering Period.

     2. Share Reserve. Subject to adjustment upon changes of capitalization of the
Company, as provided in Section 13 hereof, the maximum number of shares that may be issued under
the Plan shall be 54,687,441 shares of 3Com’s authorized but unissued common stock (the “Shares”).
In the event that any option granted under the Plan (an “Option”) for any reason expires or is
terminated, the Shares allocable to the unexercised portion of such Option may again be subjected
to an Option.

     3. Administration. The Plan shall be administered by the Board and/or by a duly
appointed committee of the Board having such powers as shall be specified by the Board, which
committee shall be constituted to comply with requirements relating to the administration of
equity-based awards under U.S. state corporate laws, U.S. federal and state securities laws, the
Code, any stock exchange or quotation system on which the Shares are listed or quoted and the
applicable laws of any foreign country or jurisdiction where awards are, or shall be, granted under
the Plan. Any subsequent references to the Board shall also mean the committee if it has been
appointed. All questions of interpretation of the Plan or of any Options shall be determined by
the Board and shall be final and binding upon all persons having an interest in the Plan and/or any
Option. Subject to the provisions of the Plan, the Board shall determine all of the relevant terms
and conditions of Options granted pursuant to the Plan; provided, however, that all Participants
granted Options pursuant to the Plan shall have the same rights and privileges within the meaning
of Section 423(b)(5) of the Code. Notwithstanding any provision to the contrary in this Plan, the
Board may adopt rules or procedures relating to the operation and administration of the Plan to
accommodate the specific requirements of local laws and procedures for jurisdictions outside of the
United States. Without limiting the generality of the

 

 

foregoing, the Board is specifically
authorized to adopt rules and procedures regarding eligibility to participate, the definition of
Compensation, handling of payroll deductions, making of contributions to the Plan (including,
without limitation, in forms other than payroll
deductions), establishment of bank or trust accounts to hold payroll deductions, payment of
interest, conversion of local currency, obligations to pay payroll tax, determination of
beneficiary designation requirements, withholding procedures and handling of stock certificates
which vary with local requirements. All expenses incurred in connection with the administration of
the Plan shall be paid by the Company.

     4. Eligibility. Any regular employee of the Company is eligible to participate in the
Plan and any Offering Period (as hereinafter defined) under the Plan, subject to the requirements
of Section 6, except the following:

          (a) employees who are customarily employed by the Company for less than twenty (20) hours a
week; and

          (b) employees who own or hold options to purchase or who, as a result of participation in the
Plan, would own or hold options to purchase stock of the Company possessing five percent (5%) or
more of the total combined voting power or value of all classes of stock of the Company within the
meaning of Section 423(b)(3) of the Code.

     5. Offering Periods.

          (a) Offering Periods Beginning On or After October 1, 2003. Effective October 1,
2003, the Plan shall be implemented by offerings of six (6) months duration (an “Offering Period”).
An Offering Period shall commence on April 1 and October 1 of each year and end on September 30
and March 31, respectively, occurring thereafter. Notwithstanding the foregoing, the Board may
establish a different term (including a term of up to 24 months with interim six (6) month purchase
periods) for one or more of the Offering Periods and/or different commencing and/or ending dates
for such Offering Periods. An employee who becomes eligible to participate in the Plan after the
commencement date of an Offering Period may not participate in such Offering Period, but may
participate in any subsequent Offering Period, provided such employee is still eligible to
participate in the Plan as of the commencement of any such subsequent Offering Period. The first
day of an Offering Period shall be the “Offering Date” for such Offering Period. In the event the
first day of an Offering Period is not a business day, the next business day shall be the first day
of the Offering Period. In the event the last day of an Offering Period is not a business day, the
most recently concluded business day shall be the last day of the Offering Period.

          (b) Governmental Approval; Shareholder Approval. Notwithstanding any other provision of the Plan to the contrary, any Option granted pursuant
to the Plan shall be subject to (i) obtaining all necessary governmental approvals and/or
qualifications of the sale and/or issuance of the Options and/or the Shares, and (ii) in the case
of Options with an Offering Date after an amendment to the Plan, obtaining any necessary approval
of the shareholders of the Company required in Section 19.

     6. Participation in the Plan.

          (a) Initial Participation. An eligible employee may elect to become a Participant
effective as of the first Offering Date after satisfying the eligibility requirements set forth in
Section 4 above by (i) delivering a subscription agreement authorizing payroll deductions (a
“Subscription Agreement”) to the Company’s Stock Administration office during the Company’s open
enrollment period prior to each Offering Date, or such other period as the Company may determine in
its sole discretion, prior to such Offering Date, or (ii) following an electronic or other
enrollment procedure prescribed by the Board. Such election to participate shall state the
eligible employee’s election to participate in the Plan and the rate at which payroll

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deductions
shall be accumulated. An eligible employee who does not deliver a Subscription Agreement to the
Company’s Stock Administration office during the Company’s open enrollment period prior to the
first Offering Date after becoming eligible to participate in the Plan, or does not enroll using an
electronic or other enrollment procedure prescribed by the Board, shall not participate in the Plan
for that Offering Period or for any subsequent Offering Period, unless such employee subsequently
enrolls in the Plan by filing a Subscription Agreement with the Company or enrolling using an
electronic or other enrollment procedure prescribed by the Board in accordance with this Section
6(a).

          (b) Automatic Participation in Subsequent Offering Periods. A Participant shall
automatically participate in each subsequent Offering Period until such time as such Participant
ceases to be eligible as provided in Section 4, the Participant withdraws from the Plan pursuant to
Section 10 below, or the Participant terminates employment as provided in Section 11 below. A
Participant is not required to file an additional Subscription Agreement for such Offering Periods
in order to automatically participate therein.

     7. Purchase Price and Purchase Date. The purchase price at which Shares may be
acquired in any Offering Period under the Plan shall be eighty-five percent (85%) of the lesser of
(a) the fair market value of the Shares on the Offering Date of such Offering Period or (b) the
fair market value of the Shares on the Purchase Date of such Offering Period. For purposes of the
Plan, the fair market value of the
Shares shall be the closing sales price for such stock (or the closing bid, if no sales were
reported) as quoted on the principal exchange or system on which the Company’s common stock is
publicly traded on the date of determination, as reported in The Wall Street Journal or such other
source as the Company deems reliable. In the event the first day of an Offering Period is not a
business day, the next business day shall be the first day of the Offering Period. In the event
the last day of an Offering Period is not a business day, the most recently concluded business day
shall be the last day of the Offering Period.

     8. Payment of Purchase Price; Payroll Deductions.

          (a) Accumulation of Payroll Deductions. The purchase price of Shares to be acquired
in an Offering Period shall be accumulated only by payroll deductions over the Offering Period.
Payroll deductions from a Participant’s Compensation on each payday during the Offering Period
(i) shall not exceed ten percent (10%) of such Participant’s base pay per month, reduced by any
payroll deductions from such Participant’s compensation to purchase stock under any other plan of
the Company intended to qualify as an “employee stock purchase plan” under Section 423 of the Code,
and (ii) shall not be less than one percent (1%) of the Participant’s Compensation per month.
Notwithstanding the foregoing, to the extent necessary to comply with Section 423(b)(8) of the Code
and Section 9(c), a Participant’s payroll deductions may be decreased to zero percent (0%) at any
time during an Offering Period. Subject to Section 423(b)(8) of the Code and Section 9(c) hereof,
payroll deductions shall recommence at the rate originally elected by the Participant effective as
of the beginning of the first Offering Period which is scheduled to end in the following calendar
year, unless terminated by the Participant as provided in Section 10.

     For purposes hereof, a Participant’s “Compensation” from the Company is an aggregate that
shall include base wages or salary, commissions, overtime, discretionary bonuses, semi-annual
bonuses, other incentive payments, shift premiums, stand-by payments and call-out payments paid in
cash during such Offering Period before deduction for any contributions to any plan maintained by
the Company and described in section 401(k) or section 125 of the Code. Compensation shall not
include reimbursement of expenses, allowances, long-term disability, workers’ compensation or any
amount deemed received without the actual transfer of cash or any amounts directly or indirectly
paid pursuant to the Plan or any other stock purchase or stock option plan, or any other
compensation not included in the preceding sentence. Payroll deductions shall commence on the
first payday following the first day of a Offering Period or as soon as
administratively feasible thereafter and shall continue to the end of such Offering Period
unless sooner altered or terminated as provided in the Plan.

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          (b) Election to Change Payroll Deduction Rate. A Participant may decrease (but not
increase) the rate of payroll deductions with respect to an Offering Period only on or before and
effective as of the date three (3) months after the beginning of such Offering Period by filing an
amended Subscription Agreement with the Company or following an electronic or other procedure
prescribed by the Board. A Participant may increase or decrease the rate of payroll deductions for
any subsequent Offering Period by filing a new Subscription Agreement with the Company during such
period as the Company may determine in its sole discretion, prior to the beginning of such
subsequent Offering Period, or following an electronic or other enrollment procedure prescribed by
the Board. The Board may, in its sole discretion, change the nature and/or number of payroll
deduction rate changes that may be made by Participants during any Offering Period. Any change in
payroll deduction rate made pursuant to this Section 8(b) shall be effective as of the first full
payroll period following five (5) business days after the date on which the change is made by the
Participant (unless the Board, in its sole discretion, elects to process a given change in payroll
deduction rate more quickly).

          (c) Participant Accounts. Individual accounts shall be maintained for each
Participant. All payroll deductions from a Participant’s compensation shall be credited to the
Participant’s account under the Plan and shall be deposited with the general funds of the Company.
No interest shall accrue on such payroll deductions. All payroll deductions received or held by
the Company may be used by the Company for any corporate purpose.

     9. Purchase of Shares.

          (a) Purchase. On the Purchase Date of each Offering Period, each remaining
Participant shall automatically purchase, subject to the limitations set forth in Sections 9(b) and
9(c) below, that number of whole Shares arrived at by dividing the total amount theretofore
credited to the Participant’s account pursuant to Section 8(c) by the purchase price established
for such Offering Period pursuant to Section 7. Any cash balance remaining in the Participant’s
Plan account shall be refunded to the Participant as soon as practicable after the Purchase Date.
In the event the cash to be returned to a Participant pursuant to the preceding sentence is an
amount less than the amount necessary to purchase a whole Share, such amount shall continue to be
credited to the Participant’s Plan account and shall be applied toward the purchase of Shares in
the immediately subsequent Offering Period. No Shares shall be purchased in a given Offering
Period on behalf of a Participant whose participation in the Plan has terminated prior to the
Purchase Date for such Offering Period.

          (b) Share Limitation. Subject to the adjustments set forth in Section 13 below, no
Participant shall be entitled to purchase more than 4,000 Shares in a single Offering Period.

          (c) Fair Market Value Limitation. Notwithstanding any other provision of the Plan, no
Participant shall be entitled to purchase Shares under the Plan (or any other employee stock
purchase plan which is intended to meet the requirements of Section 423 of the Code sponsored by
3Com or a parent corporation or subsidiary corporation of 3Com) at a rate which exceeds $25,000 in
fair market value (or such other limit as may be imposed by Section 423 of the Code) for each
calendar year in which the Participant participates in the Plan or any other employee stock
purchase plan described in this sentence, as determined in accordance with Section 423(b)(8) of the
Code.

          (d) Pro Rata Allocation. In the event the number of Shares which might be purchased
by all Participants in the Plan exceeds the number of Shares available in the Plan, the Company
shall make a pro rata allocation of the remaining Shares in as uniform a manner as shall be
practicable and as the Company shall determine to be equitable.

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          (e) Rights as a Shareholder and Employee. A Participant shall have no rights as a
shareholder by virtue of the Participant’s participation in the Plan until the date of issuance of
a stock certificate(s) for the Shares being purchased pursuant to the exercise of the Participant’s
Option. No adjustment shall be made for dividends or distributions or other rights for which the
record date is prior to the date such stock certificate(s) are issued. Nothing herein shall confer
upon a Participant any right to continue in the employ of the Company or interfere in any way with
any right of the Company to terminate the Participant’s employment at any time.

          (f) Registration of Shares. Shares to be delivered to a Participant under the Plan
shall be registered in the name of the Participant or in the name of Participant and his or her
spouse.

          (g) Permitted Adjustments. The Company may, from time to time, establish or change
(i) limitations on the frequency and/or number of changes in the amount withheld during an Offering
Period, (ii) an exchange ratio applicable to amounts withheld in a currency other than U.S.
dollars, (iii) procedures for permitting unequal percentages of payroll withholding from a
Participant’s compensation in order to accommodate the Company’s established payroll procedures or
mistakes or delays in following those procedures when processing Participants’ withholding
elections, and (iv) such other limitations or procedures as deemed advisable by the Company in the
Company’s sole discretion which are
consistent with the Plan and Section 423 of the Code.

          (h) Delivery. As soon as reasonably practicable after each Exercise Date on which a
purchase of Shares occurs, the Company shall arrange the delivery to each Participant the Shares
purchased upon exercise of his or her option in a form determined by the Board (in its sole
discretion) and pursuant to rules established by the Board. The Company may permit or require that
shares be deposited directly with a broker designated by the Company or to a designated agent of
the Company, and the Company may utilize electronic or automated methods of share transfer. The
Company may require that shares be retained with such broker or agent for a designated period of
time and/or may establish other procedures to permit tracking of disqualifying dispositions of such
shares. No Participant shall have any voting, dividend, or other stockholder rights with respect
to Shares subject to any Option granted under the Plan until such Shares have been purchased and
delivered to the Participant as provided in this Section 9.

     10. Withdrawal.

          (a) Withdrawal From the Plan. A Participant may withdraw from the Plan by (i)
submitting to the Company’s Stock Administration office a notice of withdrawal on a form provided
by the Company for such purpose, or (ii) following an electronic or other withdrawal procedure
prescribed by the Board. Such withdrawal may be submitted no later than five (5) business days
prior to the end of an Offering Period to be effective for that Offering Period. A Participant is
prohibited from again participating in an Offering Period upon withdrawal from the Plan during such
Offering Period. A Participant who elects to withdraw from the Plan may again participate in the
Plan by filing a new Subscription Agreement or following an electronic or other procedure in the
same manner as set forth in Section 6(a) above for initial participation in the Plan. The Company
may impose, from time to time, a requirement that the notice of withdrawal be on file with the
Company for a reasonable period of time prior to the effectiveness of the Participant’s withdrawal
from the Plan.

          (b) Return of Payroll Deductions. Upon withdrawal from the Plan, the accumulated
payroll deductions credited to a withdrawing Participant’s account shall be returned to the
Participant and the Participant’s interest in the Plan shall terminate. No interest shall accrue
on the payroll deductions of a Participant.

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     11. Termination of Employment. Termination of a Participant’s employment with the
Company for any reason, including retirement or death, or the failure of a Participant to remain an
eligible employee, shall terminate the Participant’s participation in the Plan immediately. Upon
such termination, the payroll deductions credited to the Participant’s account shall be
returned to the Participant (or in the case of the Participant’s death, to the Participant’s legal
representative) and all of the Participant’s rights under the Plan shall terminate. A Participant
whose participation has been so terminated may again become eligible to participate in the Plan by
again satisfying the requirements of Sections 4 and 6.

     12. Repayment of Payroll Deductions Without Interest. In the event a Participant’s
interest in the Plan is terminated, the Company shall deliver to the Participant (or in the case of
the Participant’s death or incapacity, to the Participant’s legal representative) the payroll
deductions credited to the Participant’s account. No interest shall accrue on the payroll
deductions of a Participant.

     13. Capital Changes. In the event of changes in the common stock of the Company due
to a stock split, reverse stock split, stock dividend, combination, reclassification or like change
in the Company’s capitalization, or in the event of any merger, sale or reorganization, appropriate
adjustments shall be made by the Company in (a) the number and class of Shares of stock subject to
the Plan and to any outstanding Option, (b) the purchase price per Share of any outstanding Option
and (c) the Share limitation set forth in Section 9(b) above.

     14. Designation of Beneficiary

          (a) A Participant may file a designation of a beneficiary who is to receive any Shares and
cash, if any, from the Participant’s account under the Plan in the event of such Participant’s
death subsequent to an Exercise Date on which the option is exercised but prior to delivery to such
Participant of such Shares and cash. In addition, a Participant may file a designation of a
beneficiary who is to receive any cash from the Participant’s account under the Plan in the event
of such Participant’s death prior to exercise of the option. If a Participant is married and the
designated beneficiary is not the spouse, spousal consent shall be required for such designation to
be effective.

          (b) Such designation of beneficiary may be changed by the Participant at any time by notice in
a form determined by the Board. In the event of the death of a Participant and in the absence of a
beneficiary validly designated
under the Plan who is living at the time of such Participant’s death, the Company shall
deliver such Shares and/or cash to the executor or administrator of the estate of the Participant,
or if no such executor or administrator has been appointed (to the knowledge of the Company), the
Company, in its discretion, may deliver such shares and/or cash to the spouse or to any one or more
dependents or relatives of the Participant, or if no spouse, dependent or relative is known to the
Company, then to such other person as the Company may designate.

          (c) All beneficiary designations shall be in such form and manner as the Board may designate
from time to time.

     15. Nonassignability. Only the Participant may elect to exercise the Participant’s
Option during the Participant’s lifetime, and no rights or accumulated payroll deductions of any
Participant under the Plan may be pledged, assigned or transferred for any reason, except by will
or the laws of descent and distribution, and any such attempt may be treated by the Company as an
election by the Participant to withdraw from the Plan.

     16. Use of Funds. The Company may use all payroll deductions received or held by it
under the Plan for any corporate purpose, and the Company shall not be obligated to segregate such
payroll deductions.

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Until Shares are issued, Participants shall only have the rights of an
unsecured creditor with respect to such Shares.

     17. Reports. Each Participant shall receive after the last day of each Offering
Period a report of the Participant’s account setting forth the total payroll deductions
accumulated, the number of Shares purchased and the remaining cash balance to be carried over
and/or refunded pursuant to Section 9(a) above, if any.

     18. Plan Term. This Plan shall continue until terminated by the Board or until all of
the Shares reserved for issuance under the Plan have been issued.

     19. Amendment or Termination of the Plan. The Board may at any time amend or
terminate the Plan, except that such termination cannot adversely affect Options previously granted
under the Plan except as otherwise permitted by the Plan, nor may any amendment
make any change in an Option previously granted under the Plan which would adversely affect
the right of any Participant except as otherwise permitted by the Plan, nor may any amendment be
made without approval of the shareholders of the Company within twelve (12) months of the adoption
of such amendment if such amendment would authorize the sale of more shares than are authorized for
issuance under the Plan or would change the designation of corporations whose employees may be
offered Options under the Plan. Without stockholder consent and without limiting this Section 19,
the Board shall be entitled to change the Offering Periods, limit the frequency and/or number of
changes in the amount withheld during an Offering Period, establish the exchange ratio applicable
to amounts withheld in a currency other than U.S. dollars, permit payroll withholding in excess of
the amount designated by a Participant in order to adjust for delays or mistakes in the Company’s
processing of properly completed withholding elections, establish reasonable waiting and adjustment
periods and/or accounting and crediting procedures to ensure that amounts applied toward the
purchase of Shares for each Participant properly correspond with amounts withheld from the
Participant’s Compensation, and establish such other limitations or procedures as the Board
determines in its sole discretion advisable which are consistent with the Plan.

     20. Clawback. The Board may, in its discretion and, to the extent necessary or
desirable, modify or amend the Plan to reduce or eliminate an unfavorable accounting consequence
including, but not limited to: (i) altering the purchase price for an Offering Period including an
Offering Period underway at the time of the change in purchase price; (ii) shortening any Offering
Period so that Offering Period ends on a new Exercise Date, including an Offering Period underway
at the time of the Board action; and (iii) allocating shares. Such modifications or amendments
shall not require stockholder approval or the consent of any Plan participants.

     21. Data Privacy. By participating in the Plan, the Participant consents to the
collection, use and transfer of personal data as described in this Section. The Participant
understands that the Company and its subsidiaries hold certain personal information about the
Participant
including, but not limited to, the Participant’s name, home address and telephone number, date
of birth, social security number or equivalent tax identification number, salary, nationality, job
title, any shares of stock or directorships held in the Company, contribution amounts, contribution
percentages, selected brokerage firm, and dispositions of shares purchased through the ESPP
program, for the purpose of managing and administering the Plan (“Data”). The Participant further
understands that the Company and/or its subsidiaries will transfer Data amongst themselves as
necessary for the purposes of implementation, administration, and management of the Participant’s
participation in the Plan, and that the Company and/or its subsidiaries may each further transfer
Data to any third parties assisting the Company in the implementation, administration and
management of the Plan (“Data Recipients”). The Participant understands that these Data Recipients
may be located in the Participant’s country of residence, the European Economic Area, or elsewhere,
such as the United States. The Participant authorizes the Data Recipients to receive, possess,
use, retain and transfer Data in electronic or other form, for the purposes of implementing,
administering and managing the Participant’s participation in

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the Plan, including any transfer of
such Data, as may be required for the administration of the Plan and/or the subsequent holding of
shares of stock on the Participant’s behalf, to a broker or third party with whom the shares
acquired on purchase may be deposited. The Participant understands that he or she may, at any
time, review the Data, require any necessary amendments to it or withdraw the consent herein in
writing by contacting the Company. The Participant further understands that withdrawing consent
may affect the Participant’s ability to participate in the Plan.

     22. Merger or Change in Control. In the event of a merger or a Change in Control (as
defined below) which occurs during any Purchase Period which begins after the date the Board
approved this amended and restated Plan, each outstanding Option shall be assumed or an equivalent
option substituted by the successor corporation or a parent or subsidiary of the successor
corporation. In the event that the successor corporation refuses to assume or substitute for the
Option, the Offering
Period then in progress shall be shortened by setting a new Purchase Date and shall end on the
new Purchase Date. The new Purchase Date shall be before the date of the Company’s proposed merger
or Change in Control. The Company shall notify each Participant in writing, at least ten (10) days
prior to the new Purchase Date, that the Purchase Date for the Participant’s Option has been
changed and that the Participant’s Option shall be exercised automatically on the new Purchase
Date, unless prior to such date the Participant has withdrawn from the Offering Period as provided
by the Plan. For the purposes of this Section 22, the term “Change in Control” shall mean the
occurrence of any of the following events:

               (i) Any “person” (as such term is used in Sections 13(d) and 14(d) of the Exchange Act)
becomes the “beneficial owner” (as defined in Rule 13d-3 of the Exchange Act), directly or
indirectly, of securities of the Company representing fifty percent (50%) or more of the total
voting power represented by the Company’s then outstanding voting securities; or

               (ii) The consummation of the sale or disposition by the Company of all or substantially all of
the Company’s assets; or

               (iii) A change in the composition of the Board occurring within a two-year period, as a result
of which fewer than a majority of the directors are Incumbent Directors. “Incumbent Directors”
means directors who either (A) are Directors as of the effective date of this Amended and Restated
Plan, or (B) are elected, or nominated for election, to the Board with the affirmative votes of at
least a majority of the Directors at the time of such election or nomination (but will not include
an individual whose election or nomination is in connection with an actual or threatened proxy
contest relating to the election of directors to the Company); or

               (iv) The consummation of a merger or consolidation of the Company with any other corporation,
other than a merger or consolidation which would result in the voting securities of the Company
outstanding immediately prior thereto continuing to represent (either by remaining outstanding or
by being converted into voting securities of the surviving entity or its parent) at least fifty
percent (50%) of the total voting power represented by the voting securities of the Company or such
surviving entity or its parent outstanding immediately after such merger or consolidation.

     23. Notices. All notices or other communications by a Participant to the Company
under or in connection with the Plan shall be deemed to have been duly given when received in the
form and manner specified by the Company at the location, or by the person, designated by the
Company for the receipt thereof.

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ASPECT MEDICAL SYSTEMS, INC.

KEY EMPLOYEE CHANGE IN CONTROL SEVERANCE BENEFITS PLAN

SECTION 1. INTRODUCTION

     This Key Employee Change in Control Severance Benefits Plan (the “Severance Benefits Plan”)
sets forth the terms and conditions for the provision of severance pay and certain other benefits
to Eligible Employees (as defined below) of Aspect Medical Systems, Inc. or any successor entity or
assignee (“the “Company”) whose employment is involuntarily terminated without cause or voluntarily
terminated for good reason following a change in control of the Company as set forth in this
Severance Benefits Plan.

SECTION 2. DEFINITIONS

     For purposes of this Severance Benefits Plan, the following terms shall have the meanings set
forth below:

     (a) “BASE SALARY” means the annual base salary for an Eligible Employee (as defined in this
Section 2(f)) as in effect on the Change in Control Date.

     (b) “BOARD” means the Board of Directors of the Company.

     (c) “CAUSE” shall have such meaning provided for in the Company’s 2001 Stock Incentive Plan,
as amended, and as may be further amended from time to time (the “Plan”).

     (d) “CHANGE IN CONTROL EVENT” shall have such meaning provided for in the Plan.

     (e) “CHANGE IN CONTROL DATE” means the first date on which a Change of Control Event occurs.

     (f) “ELIGIBLE EMPLOYEE” shall mean those employees of the Company holding any of the
positions listed in Exhibit A to this Severance Benefits Plan as of the Change of Control
Event.

     (g) “GOOD REASON” shall mean the occurrence, without the Eligible Employee’s written consent,
of either (i) a reduction in the Eligible Employee’s annual base salary as in effect on the Change
in Control Date or as the same was or may be increased thereafter from time to time or (ii) a
change by the Company in the location at which the Eligible Employee performs his or her principal
duties for the Company to a new location that is both (i) outside a radius of 50 miles from the
Eligible Employee’s principal residence immediately prior to the Change in Control Date and (ii)
more than 20 miles from the location at which the Eligible Employee performed his or her principal
duties for the Company immediately prior to the Change in Control Date; or a requirement by the
Company that the Eligible Employee travel on Company business to a substantially greater extent
than required immediately prior to the Change in Control Date.

     (h) “INVOLUNTARY TERMINATION WITHOUT CAUSE” means an Eligible Employee’s dismissal from or
discharge by the Company for a reason other than Cause. The termination of an Eligible Employee’s
employment will not be deemed to be an “Involuntary Termination Without Cause” if such termination
occurs as a result of the Eligible Employee’s voluntary resignation without Good Reason or by
reason of the Eligible Employee’s death or disability.

 

 

     (i) “QUALIFYING TERMINATION” means that an Eligible Employee’s employment with the Company is
terminated by the Eligible Employee for Good Reason or is terminated by the Company without Cause,
as applicable, within twelve (12) months following a Change in Control Event.

SECTION 3. ELIGIBILITY AND PARTICIPATION

     Individuals shall be deemed “Eligible Employees” to participate in the Severance Benefits Plan
if they have previously been duly appointed to at least one of the offices of the Company listed in
the attached Exhibit A and have held such office(s) for a period of at least one (1) month
prior to the Change in Control Date. For the avoidance of any doubt, should any Eligible Employee
hold more than one office with the Company that would entitle the Eligible Employee to benefits
pursuant to this Severance Benefits Plan, such Eligible Employee shall not be entitled to multiple
severance benefits pursuant to Section 4 below but shall only receive benefits in accordance with
such of the Eligible Employee’s office as would entitle the employee to the greatest benefits
hereunder.

SECTION 4. SEVERANCE BENEFITS AND OTHER PAYMENTS

     Eligible Employees are eligible to receive the following benefits on the following conditions:

     (a) SEVERANCE PAYMENTS. If an Eligible Employee is subject to a Qualifying Termination, the
Eligible Employee will be entitled to a lump sum payment from the Company in an amount equal to the
product of (i) the “Severance Multiple” (as defined below), multiplied by (ii) the sum of (A) the
Eligible Employee’s Base Salary at the time of the termination of the Eligible Employee’s
employment, plus (B) the average of the Eligible Employee’s last three annual bonuses paid
(annualized for partial years) by the Company. Such lump sum payment will be payable in accordance
with the terms set forth in the Eligible Employee’s severance agreement to be executed in
connection with the employee’s termination, but in no event later than two and one-half months
following the end of the fiscal year in which the Eligible Employee’s Qualifying Termination occurs
(the “Short-Term Deferral Period”).

     For purposes of this Section 4(a), “Severance Multiple” shall mean the following:

	 	 	 	 	 	 	 	 	 
	Chief Executive Officer
	 	 	—	 	 	 	2.00	 
	Chairman
	 	 	—	 	 	 	2.00	 
	All Other Eligible Employees
	 	 	—	 	 	 	1.25	 

     In addition, the Eligible Employee will be paid a one lump sum cash payment representing the
Eligible Employee’s target bonus for the year in which the Qualifying Termination occurs on the
date of termination, multiplied by a fraction, the numerator of which shall equal the number of
days the Eligible Employee was employed by the Company during the fiscal year in which the
Qualifying Termination occurs and the denominator of which shall be 365. Such cash payment shall
be made to the Eligible Employee no later than by the expiration of the Short-Term Deferral Period.
Notwithstanding anything in this Severance Benefits Plan to the contrary, in no event will any
payments be made pursuant to this Section 4(a) or any other provision of this Severance Benefits
Plan unless and until a release of claims is executed in accordance with Section 4(f) below and
such release becomes enforceable.

     (b) HEALTH BENEFITS. If the Eligible Employee timely elects continued health insurance
coverage under the federal “COBRA” law, 29 U.S.C. § 1161 et seq., following a
Qualifying Termination, the Company shall continue to pay that portion of the premium costs for the
type of group health insurance coverage, including coverage for his or her eligible dependents,
that the Company paid on behalf of the Eligible Employee immediately prior to the Eligible
Employee’s termination of

2

 

employment, for a period starting on the Qualifying Termination date and continuing for the
following applicable periods:

	 	 	 	 	 
	Chief Executive Officer

	 	—
	 	As long as the Chief Executive Officer remains eligible for
continuation coverage pursuant to COBRA, but for no more than 24 Months following the
Qualifying Termination date
	 
	Chairman

	 	—
	 	As long as the Chairman remains eligible for continuation coverage pursuant
to COBRA, but for no more than 24 Months following the Qualifying Termination date
	 
	All other Eligible Employees

	 	—
	 	As long as these other Eligible Employees remain
eligible for continuation coverage pursuant to COBRA, but for no more than 15 Months
following the Qualifying Termination date

provided, however, that the Company will pay such premiums for the Eligible Employee and
his/her eligible dependents (if applicable) only for coverage for which such individual and
dependents (if applicable) were enrolled as of the date of the Qualifying Termination. The
Eligible Employee shall continue to pay any remaining premium costs for such continuation coverage
(including coverage for his/her eligible dependents) that he/she had been required to pay as an
active employee immediately prior to the Qualifying Termination during the period set forth above,
and shall pay all premium costs thereafter for as long as, and to the extent that, the Eligible
Employee remains eligible for COBRA continuation.

     (c) EQUITY ACCELERATION. Nothing in this Severance Benefits Plan shall be deemed to modify or
alter, in any manner, any outstanding equity awards issued to an Eligible Employee pursuant to any
stock-based plan operated by the Company.

     (d) PARACHUTE PAYMENTS. Notwithstanding any other provision of this Severance Benefits Plan,
in the event that an Eligible Employee becomes entitled to payments and/or benefits or any other
amounts in the “nature of compensation” as a result of a Change in Control Event or Qualifying
Termination, (all such payments and benefits, including the payments and benefits provided under
this Severance Benefits Plan, being hereinafter called “Total Payments”) that would be subject (in
whole or part) to the excise tax (the “Excise Tax”) imposed under section 4999 of the Internal
Revenue Code of 1986, as amended, and the regulations promulgated thereunder (the “Code”), the
Total Award shall be reduced, to the extent necessary so that no portion of the Total Payments is
subject to the Excise Tax. In the event that the Total Award is reduced in accordance with the
preceding sentence, such reduction shall first be applied to cash payments to which the Eligible
Employee is entitled to receive under this Severance Benefits Plan and, to the extent such cash
payments are not sufficient to satisfy the Excise Tax, then such reduction shall apply to Company
equity awards then held by the Eligible Employee. This reduction shall only occur if (i) the net
present value of such Total Payments, as so reduced (and after subtracting the net amount of
federal, state and local income taxes on such reduced Total Payments) is greater than or equal to
(ii) the net present value of such Total Payments without such reduction (but after subtracting the
net amount of federal, state and local income taxes on such Total Payments and the amount of Excise
Tax to which an Eligible Employee would be subject in respect of such unreduced Total Payments).
All determinations required to be made under this section shall be made by the Compensation
Committee of the Board after consultation with any advisors it shall deem appropriate. All fees
and expenses of such calculations shall be borne solely by the Company. If any portion of the Total

3

 

Payments becomes subject to the Excise Tax, the Eligible Employee acknowledges and agrees that
the payment of such tax, together with any interest and penalties, shall be the Eligible Employee’s
sole responsibility.

     (e) EARNED BUT UNPAID BENEFITS. An Eligible Employee will also be entitled to receive any
earned but unpaid benefits as of the Qualifying Termination date, including salary earned but
unpaid, the Eligible Employee’s annual bonus for the most recently completed financial year, if
any, and any unused accrued vacation time.

     (f) RELEASE. The receipt of any severance benefits under this Severance Benefits Plan is
expressly conditioned upon any Eligible Employee executing a release of claims in favor of the
Company, substantially in the form attached to this Severance Benefits Plan as Exhibit B,
and such release of claims must become effective in accordance with its terms and within the
applicable time period provided therein (the “Applicable Release Period”); provided,
however, that in any case where the first and last days of the Applicable Release Period are in two
separate taxable years, any payments required to be made to Eligible Employee that are treated as
deferred compensation for purposes of Section 409A of the Code shall be made in the later taxable
year, promptly following the conclusion of the Applicable Release Period.

     (g) TERMINATION OF BENEFITS. Benefits under this Severance Benefits Plan shall terminate
immediately if an Eligible Employee, at any time, violates any proprietary information,
confidentiality, non-competition or non-solicitation obligation to the Company, or any other
continuing obligation to the Company as may be set forth in any agreement between the Company and
the Eligible Employee.

     (h) NON-DUPLICATION OF BENEFITS. Eligible Employees are not eligible to receive benefits under
this Severance Benefits Plan more than one time and are not eligible to receive benefits under any
other Company change-of-control severance plan, arrangement or agreement, provided that, for the
purpose of clarification, the foregoing shall not apply to any outstanding equity awards issued to
an Eligible Employee pursuant to any stock-based plan operated by the Company or any successor
entity plan or pursuant to any stock-based plan operated by the Company or any successor entity
plan.

     (i) TAX WITHHOLDING. Any payments that an Eligible Employee receives under this Severance
Benefits Plan shall be subject to all required tax withholding.

SECTION 5. CODE SECTION 409A.

     (a) This Severance Benefits Plan is intended to comply with Section 409A of the Code (to the
extent applicable) and, to the extent it would not adversely impact the Company, the Company agrees
to interpret, apply and administer this Severance Benefits Plan in the least restrictive manner
necessary to comply with such requirements and without resulting in any diminution in the value of
payments or benefits to the Eligible Employee. Payments to be made under this Severance Benefits
Plan are intended to be “Short-Term Deferrals” as that term is defined in Section 409A, or
otherwise qualify for exemptions from Section 409A. If, however, any payments are deemed to be
deferrals not subject to an exemption under Section 409A, such payments shall not commence until
one day after the day which is six (6) months from the date of Qualifying Termination.

     (b) Subject to this Section 5, payments or benefits under this Severance Benefits Plan shall
begin only upon the date of a “separation from service” of the Eligible Employee (determined as set
forth below) which occurs on or after the termination of the Eligible Employee’s employment. The
following rules shall apply with respect to distribution of the payments and benefits, if any, to
be provided to the Eligible Employee under This Severance Benefits Plan, as applicable:

4

 

(i) It is intended that each of the payments and benefits provided under this
Severance Benefits Plan shall be treated as a separate “payment” for purposes of
Section 409A of the Code and the guidance issued thereunder. Neither the Company nor
the Eligible Employee shall have the right to accelerate or defer the delivery of any
such payments or benefits except to the extent specifically permitted or required by
Section 409A.

(ii) If, as of the date of the “separation from service” of the Eligible
Employee from the Company, the Eligible Employee is not a “specified employee” (within
the meaning of Section 409A), then each of the payments and benefits shall be made on
the dates and terms set forth in Section 4.

(iii) If, as of the date of the “separation from service” of the Eligible
Employee from the Company, the Eligible Employee is a “specified employee” (within the
meaning of Section 409A), then:

     (A) Each installment of the payments and benefits due under this Severance
Benefits Plan that, in accordance with the dates and terms set forth herein,
will in all circumstances, regardless of when the separation from service
occurs, be paid within the Short-Term Deferral Period shall be treated as a
short-term deferral within the meaning of Treasury Regulation Section
1.409A-1(b)(4) to the maximum extent permissible under Section 409A; and

     (B) Each of the payments and benefits due under Severance Benefits Plan
that is not described in Section 5(b)(iii)(A) and that would, absent this
subsection, be paid within the six-month period following the “separation from
service” of the Eligible Employee from the Company shall not be paid until the
date that is six months and one day after such separation from service (or, if
earlier, the Eligible Employee’s death), with any such installments that are
required to be delayed being accumulated during the six-month period and paid in
a lump sum on the date that is six months and one day following the Eligible
Employee’s separation from service and any subsequent installments, if any,
being paid in accordance with the dates and terms set forth herein; provided,
however, that the preceding provisions of this sentence shall not apply to any
installment of payments and benefits if and to the maximum extent that that such
installment is deemed to be paid under a separation pay plan that does not
provide for a deferral of compensation by reason of the application of Treasury
Regulation 1.409A-1(b)(9)(iii) (relating to separation pay upon an involuntary
separation from service). Any installments that qualify for the exception under
Treasury Regulation Section 1.409A-1(b)(9)(iii) must be paid no later than the
last day of the Eligible Employee’s second taxable year following his taxable
year in which the separation from service occurs.

     (c) The determination of whether and when a separation from service of the Eligible Employee
from the Company has occurred shall be made and in a manner consistent with, and based on the
presumptions set forth in, Treasury Regulation Section 1.409A-1(h). Solely for purposes of this
Section 5(c), “Company” shall include all persons with whom the Company would be considered a
single employer under Section 414(b) and 414(c) of the Code.

     (d) All reimbursements and in-kind benefits provided under this Severance Benefits Plan shall
be made or provided in accordance with the requirements of Section 409A to the extent that such
reimbursements or in-kind benefits are subject to Section 409A.

5

 

SECTION 6. OTHER TERMINATIONS

     An otherwise Eligible Employee shall NOT be eligible to receive benefits under this Severance
Benefits Plan if (i) the Eligible Employee’s employment terminates due to death, disability or any
other reason other than a Qualifying Termination; or (ii) an Eligible Employee’s employment is
terminated within thirty (30) days of his or her refusal to accept an offer of comparable
employment by any successor to the Company, as determined in the successor entity’s discretion;
provided, however, that “comparable employment” shall not include situations which would
constitute “Good Reason” as defined in Section 2(g) above.

SECTION 7. CLAIMS PROCEDURE

     If an Eligible Employee believes that he or she is entitled to severance benefits under the
Severance Benefits Plan that are not being paid, the Eligible Employee may submit a written claim
for payment to the Chief Financial Officer of the Company. Any claim for benefits shall be in
writing, addressed to the Chief Financial Officer of the Company and must be sufficient to notify
the Company of the benefit claimed. If such claim is denied, the Company shall, within a
reasonable period of time, provide a written notice of denial. The notice will include the
specific reasons for denial, the provisions of the Severance Benefits Plan on which the denial is
based, and the procedure for a review of the denied claim. Where appropriate, it will also include
a description of any additional material or information necessary to complete or perfect the claim
to any benefits under the Severance Benefits Plan. Any Eligible Employee may request, in writing,
a review of a claim denied by the Company and may review pertinent documents and submit issues and
comments in writing to Chief Financial Officer of the Company. The Company shall provide a written
decision upon such request for review of a denied claim. The decision of the Chief Financial
Officer upon such review shall be final.

SECTION 8. MISCELLANEOUS

     No amounts under this Severance Benefits Plan shall be funded, set aside or otherwise
segregated prior to payment. The Company’s obligation to pay the amounts contemplated hereunder
shall at all times be an unfunded and unsecured obligation.

     The Company reserves the right to amend or terminate this Severance Benefits Plan and Exhibits
thereto at any time; provided, however, that this Severance Benefits Plan may not be
amended or terminated following the Change in Control Date without the prior written consent of
each Eligible Employee then subject to this Severance Benefits Plan. This Severance Benefits Plan
shall continue in full force and effect notwithstanding a Change in Control Event, and in the event
that the Change of Control Event is the result of a sale or other disposition of all or
substantially all of the assets of the Company, this Severance Benefits Plan shall be assumed by
the entity acquiring such assets. This Severance Benefits Plan shall be binding upon any surviving
entity resulting from a Change in Control Event and upon any other person who is a successor by
merger, acquisition, consolidation or otherwise to the business formerly carried on by the Company
without regard to whether or not such person actively adopts or formally continues the Severance
Benefits Plan. The Severance Benefits Plan shall be interpreted in accordance with the laws of the
Commonwealth of Massachusetts.

6

 

EXHIBIT A

ELIGIBLE EMPLOYEES

President and CEO

Chairman of the Board of Directors

Vice President of Human Resources

Vice President of Manufacturing Operations

Vice President of Engineering

Vice President of Emerging Technologies & General Manager of Neuroscience

Chief Financial Officer

Executive Vice President of Worldwide Sales and Marketing

Vice President of Medical Affairs

Vice President of Clinical, Regulatory and Quality Assurance

Employee Member of the Board of Directors

7

 

EXHIBIT B

FORM OF RELEASE OF CLAIMS

     Certain capitalized terms used in this Release are defined in the Key Employee Change in
Control Severance Benefits Plan (the “Severance Benefits Plan”) which I have reviewed.

     In order to receive the benefits as set forth in the Severance Benefits Plan, I acknowledge
that I must enter into this Release and have it become binding upon me.

     Except as otherwise set forth in this Release, I hereby release, acquit and forever discharge
the Company, its parents and subsidiaries, and their officers, directors, agents, servants,
employees, shareholders, predecessor, successors, assigns and affiliates as well as its and their
representatives, agents, insurers and reinsurers, and employee benefit programs (and the trustees,
administrators, fiduciaries and insurers of such programs), past, present and future (hereafter,
the “Released Parties”) from any and all claims, charges, complaints, demands, actions, causes of
action, suits, rights, debts, sums of money, costs, accounts, reckonings, covenants, contracts,
agreements, promises, doings, omissions, damages, executions, obligations, liabilities, and
expenses (including attorneys’ fees and costs), of every kind and nature which I ever had or now
have against the Released Parties, including, but not limited to, those claims arising out of my
employment with and/or separation from the Company, including, but not limited to, all claims under
Title VII of the Civil Rights Act of 1964, 42 U.S.C. § 2000e et seq., the Age Discrimination in
Employment Act, 29 U.S.C. § 621 et seq. (the “ADEA”), the Americans With
Disabilities Act of 1990, 42 U.S.C. § 12101 et seq., the Family and Medical Leave
Act, 29 U.S.C. § 2601 et seq., the Worker Adjustment and Retraining Notification
Act (“WARN”), 29 U.S.C. § 2101 et seq., Section 806 of the Corporate and Criminal
Fraud Accountability Act of 2002, 18 U.S.C. § 1514(A), the Rehabilitation Act of 1973, 29 U.S.C. §
701 et seq., Executive Order 11246, Executive Order 11141, the Fair Credit
Reporting Act, 15 U.S.C. § 1681 et seq., the Employee Retirement Income Security Act of 1974
(“ERISA”), 29 U.S.C. § 1001 et seq., the Massachusetts Fair Employment Practices Act., M.G.L. c.
151B, § 1 et seq., the Massachusetts Civil Rights Act, M.G.L. c. 12, §§ 11H and 11I, the
Massachusetts Equal Rights Act, M.G.L. c. 93, § 102 and M.G.L. c. 214, § 1C, the Massachusetts
Labor and Industries Act, M.G.L. c. 149, § 1 et seq., the Massachusetts Privacy Act, M.G.L. c. 214,
§ 1B, and the Massachusetts Maternity Leave Act, M.G.L. c. 149, § 105D, all as amended; all common
law claims including, but not limited to, actions in tort, defamation and breach of contract; all
claims to any non-vested ownership interest in the Company, contractual or otherwise, including,
but not limited to, claims to stock or stock options; and any claim or damage arising out of my
employment with or separation from the Company (including a claim for retaliation) under any common
law theory or any federal, state or local statute or ordinance not expressly referenced above;
provided, however, that nothing in this Agreement prevents me from filing, cooperating
with, or participating in any proceeding before the EEOC or a state Fair Employment Practices
Agency (except that I acknowledge that I may not be able to recover any monetary benefits in
connection with any such claim, charge or proceeding); and provided, further, that nothing
in this paragraph shall be construed in any way to release the Company from its obligation to
indemnify me from any third party action brought against me based on my employment with the
Company, pursuant to any applicable agreement or applicable law or to reduce or eliminate any
coverage I may have under the Company’s director and officer liability policy, if any, in effect as
of the date of the termination of my employment with the Company.

     I understand and agree that, as a condition for payment to me of the Severance Benefits Plan
benefits, I shall not make any false, disparaging or derogatory statements to any media outlet,
industry group, financial institution or current or former employee, consultant, client or customer
of the Company regarding the Company or any of its directors, officers, employees, agents or
representatives or about the Company’s business affairs and financial condition; provided,
however, that nothing herein shall prevent me from making truthful disclosures to any
governmental entity or in any litigation or arbitration.

8

 

     I acknowledge that I have returned to the Company all keys, files, records (and copies
thereof), equipment (including, but not limited to, computer hardware, software and printers,
wireless handheld devices, cellular phones, pagers, etc.), Company identification, Company vehicles
and any other Company-owned property in my possession or control and have left intact all
electronic Company documents, including but not limited to those which I developed or help develop
during my employment. I further confirm that I have cancelled all accounts for my benefit, if any,
in the Company’s name, including but not limited to, credit cards, telephone charge cards, cellular
phone and/or pager accounts and computer accounts.

     I further acknowledge that I am knowingly and voluntarily waiving and releasing any rights I
may have under the ADEA. I also acknowledge that the consideration given under the Severance
Benefits Plan for the waiver and release in the preceding paragraph hereof is in addition to
anything of value to which I was already entitled. I further acknowledge that I have been advised
by this writing, as required by the ADEA, that:

	 	(A)	 	My waiver and release do not apply to any rights or claims that may arise after
the date I execute this Release;
	 
	 	(B)	 	I should consult with an attorney prior to executing this Release;
	 
	 	(C)	 	I have been given more than twenty-one (21) days advance
written notice to consider this Release
(although I may voluntarily choose to execute this Release earlier);
	 
	 	(D)	 	I have seven (7) days following the execution of this Release by the parties to
revoke my acceptance by notifying the Company in writing (the “Applicable Release Period”); and
	 
	 	(E)	 	This Release shall not be effective until the date upon which the Applicable
Release Period has expired, which shall be the eighth day after this Release is
executed by me provided I have not timely revoked.

	 	 	 	 	 
	[NAME OF EMPLOYEE]

 	 	 
	Signature:	 	
 	 
	 	 	 
	Date:	 	 	 
	 

9

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