Document:

exhibit10_4.htm

 

Exhibit 10.4

	

	
 

 

      NOTICE OF GRANT

   

   

	
Company:

Cree, Inc.

4600 Silicon Drive

Durham, NC  27703

Tax I.D. 56-1572719

	
Participant: 

Award Number:  

Award Plan:  

Award Type:  

Grant Date:  

Performance Period:  

	
Stephen D. Kelley

008

2004 Long-Term Incentive Compensation Plan

Performance Units

August ­15, 2011

June 27, 2011 through June 24, 2012

 

Dear Steve:

 

I am pleased to inform you that Cree, Inc. (the “Company”) has awarded Performance Units to you effective August 15, 2011 (the “Grant Date”).  This award is subject to and governed by the terms of the Cree, Inc. 2004 Long-Term Incentive Compensation Plan (the “Plan”), the terms of the Master Performance Unit Award Agreement between you and the Company, and this Notice of Grant.

 

The amount payable to you pursuant to your Performance Units (“D”) will be determined as the result of A x B x C, where:

 

	
●  

	
A equals your Base Salary;

 

	
●  

	
B equals your Performance Unit Target Award Level; and

 

	
●  

	
C equals the Performance Measurement.

  

For purposes of the foregoing, except as expressly provided otherwise in this Notice of Grant, “Base Salary” shall refer to your annual base salary in effect on the last day of the first fiscal quarter of fiscal year 2012 (“FY12”), as provided in the Company’s human resources management system, unless your annual base salary changes after the first fiscal quarter.  If your annual base salary changes after the first fiscal quarter, “Base Salary” will mean the weighted average annual base salary for the Performance Period determined by multiplying each annual base salary in effect during the Performance Period by a fraction, the numerator of which is the number of calendar days in the Performance Period on which such annual base salary was in effect and the denominator of which is the number of calendar days in the Performance Period.  Notwithstanding the foregoing, if a Change of Control occurs during the Performance Period, the Base Salary used to calculate any payment under this Notice of Grant shall be the greater of your annual base salary in effect on the day prior to the Change in Control or your annual base salary as of the last day of the Performance Period, in each case as provided in the Company’s human resources management system.  However, if you are on a leave of absence (other than a leave of absence where you continue to be paid your full base salary through the Company’s payroll system, except payments received under the Company’s short-term disability income protection plan), for all or part of the Performance Period, your Base Salary will be reduced proportionately to equate to the base salary applicable to the number of calendar days you were not on a leave of absence during the Performance Period.

 

For purposes of the foregoing, your “Performance Unit Target Award Level” is thirty-nine percent (39%) of your Base Salary.

 

For purposes of the foregoing, the “Performance Measurement” is a percentage between 0% and 150% determined by the Compensation Committee of the Company’s Board of Directors (the “Committee”) after assessing the Company’s performance against FY12 revenue and non-GAAP earnings per share (“EPS”) targets.

 

Prior to or at the time of issuance of this Notice of Grant, you will receive one or more schedules (collectively, the “Schedule”) showing the Performance Measurement levels for revenue and non-GAAP EPS targets for the Performance Period.  The Committee reserves the right to revise the Schedule no later than ninety (90) days after 

 

 

 

  

the start of the Performance Period.  The Performance Measurement for the Performance Period will be 0% unless both the minimum revenue and non-GAAP EPS targets are achieved.  Provided that the minimum revenue and non-GAAP EPS targets are achieved, the Performance Measurement for the Performance Period will be determined by averaging the Performance Measurement levels associated with actual revenue and non-GAAP EPS results for the Performance Period, rounded to the nearest whole percentage.

 

Except as provided in the Company's Severance Plan for Section 16 Officers, if such plan is then in effect, and except as provided below with respect to your death or LTD Disability (as defined in the Executive Change in Control Agreement between you and the Company effective August 19, 2008 (the "Change in Control Agreement")) or a Change in Control (as defined in Section 7.1 of the Cree, Inc. Equity Compensation Plan (as amended and restated August 5, 2002 and without regard to any subsequent amendments)), (i) you must be continuously employed by the Company as the Company's Executive Vice President and Chief Operating Officer through the last day of the Performance Period to have a right to payment of your Performance Units, (ii) your Performance Units will not be considered earned until the last day of the Performance Period, and (iii) if you terminate employment with the Company prior to the last day of the Performance Period, with or without cause, you will forfeit your Performance Units.

 

After the end of the Performance Period, your actual Performance Measurement will be determined as follows:

 

	
Step 1:

	
The Committee will, in good faith and in its sole discretion, determine the Company’s actual revenue and non-GAAP EPS results for the Performance Period (the “Results,” each a “Result”) using competent and reliable information, including but not limited to audited financial statements, if available.

 

	
Step 2:

	

The Committee will determine the Performance Measurement for the Performance Period by averaging the Performance Measurement levels on the Schedule that corresponds to each Result, rounded to the nearest whole percentage.  However, in the event a Change in Control occurs during the Performance Period, the percentage for each Result will be no less than 100%.

  

Notwithstanding the foregoing, in order to ensure that the Company’s best interests are met, except as specifically provided in the Change in Control Agreement, the Committee in its discretion may decrease or eliminate the amount payable pursuant to your Performance Units at any time prior to payment if it determines in good faith that payment of the full amount otherwise payable pursuant to the Performance Units is not warranted or appropriate; provided, however, so long as you are not in breach of your Confidential Information Agreement (as defined in the Change in Control Agreement), following (i) the Company and another party entering into a written agreement that contemplates a transaction, the consummation of which would result in a Change in Control as defined in Subsection (a), (b), or (d) of such definition, or (ii) a Change in Control (including without limitation a resulting Change in Control described in clause (i)),  the Committee may not decrease or eliminate the amount payable as otherwise determined in accordance with this Notice of Grant without your prior written consent, except that, this restriction shall cease to apply if the written agreement is terminated or expires without the occurrence of a Change in Control.

 

In connection with the Committee’s determination of the annual revenue and non-GAAP EPS results for the Performance Period, the Committee shall (without limiting its authority to apply negative discretion as provided above) make adjustments that eliminate the effect of any changes or events (each a “Change”) that occur during such Performance Period and that were not fully anticipated and/or accurately incorporated into the financial calculations when the performance targets were determined, where (a) making the adjustment will improve performance results, and (b) the Change has a material effect on results under a performance target (determined consistently with past practice), and (c) the Change comes within one or more of the following categories (determined consistently with past practice, to the extent applicable):  (1) changes in corporate or capital structure, including but not limited to debt or equity offerings, mergers, acquisitions or divestitures; or (2) other unusual or nonrecurring events.

 

If prior to settlement of your Performance Units, the Company terminates your employment on account of your LTD Disability or you die, you or your beneficiary will receive payment under your Performance Units as 

 

 

 

- 2 -

 

  

otherwise determined in accordance with this Notice of Grant as if you had remained employed through the payment date for your Performance Units.  However, in such event your Base Salary will be proportionally reduced based on the number of calendar days you were employed by the Company and not otherwise on leave of absence as provided above during the Performance Period.

 

If there is a Change in Control and your employment terminates In Connection with a Change in Control prior to the end of the Performance Period, you will be entitled to payment under your Performance Units as otherwise determined in accordance with this Notice of Grant as if you had remained employed through the end of the Performance Period, unless your employment is terminated subsequent to the Change in Control on account of your LTD Disability or your death, in which case the preceding paragraph will apply.  “In Connection with a Change of Control” will have the same meaning as in Section 10(g) of the Change in Control Agreement.

 

In general, payment under your Performance Units will be made as soon as practicable after the end of the Performance Period and, in any event, will be made no later than (i) the end of the second fiscal quarter following the end of the Performance Period or, if earlier, (ii) the 15th day of the third month after the later of the end of the Company's tax year in which the Performance Period ends or the end of your tax year in which the Performance Period ends.  However, if payment becomes due under your Performance Units on account of your death or LTD Disability, payment will be made no later than the 15th day of the third month after the later of the end of the Company’s tax year in which your death or LTD Disability, as applicable, occurs or the end of your tax year in which your death or termination of your employment on account of LTD Disability, as applicable, occurs.  Alternatively, in the event a Change in Control occurs prior to the payment date of your Performance Units, any payment that becomes due under your Performance Units will be made no later than the 15th day of the third month after the later of the end of the Company’s tax year in which the Change of Control occurs or the end of your tax year in which the Change of Control occurs.

 

This award is intended to fulfill any and all agreements, obligations or promises, whether legally binding or not, previously made by the Company or any Employer under the Plan to grant you Performance Units or to provide you annual incentive compensation for the Performance Period.  By signing below, you accept such award, along with all prior awards received by you, in full satisfaction of any such agreement, obligation or promise.  By signing below, you expressly acknowledge that you are not entitled to a payment for achievement of annual corporate performance goals under the Management Incentive Compensation Plan.

 

Nothing in this Notice of Grant or the Master Performance Unit Award Agreement is intended to modify or amend the Change in Control Agreement, including but not limited to your right to receive the payment specified in Section 8(a) thereof in accordance with the terms and conditions of the Change in Control Agreement.

 

Date:  August 15, 2011

 

	For Cree, Inc.  	 	Accepted and agreed to:
	 	  	 	 	  
	 	  	 	 	  
	By:	/s/ Charles M. Swoboda	 	
By:

	/s/ Stephen D. Kelley
	 	Charles M. Swoboda	 	 	Stephen D. Kelley
	 	Chairman, President and Chief Executive Officer	 	 	 

 

 

 

- 3 -Exhibit 4.1

	
 

	
 

	
 

	
 

	
          THIS WARRANT AND THE SECURITIES ISSUABLE UPON THE EXERCISE HEREOF
HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933. THEY MAY NOT BE
SOLD, OFFERED FOR SALE, PLEDGED, HYPOTHECATED, OR OTHERWISE TRANSFERRED
EXCEPT PURSUANT TO AN EFFECTIVE REGISTRATION STATEMENT UNDER THE SECURITIES
ACT OF 1933, OR PURSUANT TO AN EXEMPTION FROM REGISTRATION UNDER SUCH ACT OR
UNLESS SOLD PURSUANT TO RULE 144 UNDER SUCH ACT. 

	
 

	
 

	
 

	
No. W-4

	
Warrant to
Purchase 10,004,157 Ordinary

Shares (subject to adjustment)

AMENDED
AND RESTATED

WARRANT

TO
PURCHASE ORDINARY SHARES

OF

CHINA
HYDROELECTRIC CORPORATION

          This
Warrant (the “Warrant”) is issued to Vicis Capital Master Fund or
his, her or its permitted assigns (“Holder”) by CHINA HYDROELECTRIC CORPORATION, a Cayman Islands exempted company
(the “Company”), on August 18, 2011 (the “Warrant Issue Date”)
for agreed upon consideration, receipt and sufficiency of which is hereby
acknowledged. This Warrant amends and restates the previous warrant granted to
the Holder by the Company on April 11, 2007 to purchase up to 18,666,666
ordinary shares in the capital of the Company.

          1. Purchase
Shares. Subject to the terms and conditions hereinafter set forth, the
Holder is entitled, upon surrender of this Warrant at the principal office of
the Company (or at such other place as the Company shall notify the holder
hereof in writing), to purchase from the Company up to 10,004,157 ordinary
shares, par value $0.001 per share (“Shares”), of the Company (the “Warrant
Share”) at the Exercise Price (defined below), subject to adjustment as
provided in Section 8 hereof. 

          2. Exercise
Price. The purchase price for the Warrant Share shall be $1.15 per Warrant
Share, as adjusted from time to time pursuant to Section 8 or Section 9 hereof
(the “Exercise Price”). 

          3. Exercise
Period. This Warrant may be exercised at any time after the date hereof
until 5:00 p.m., New York City time, on the earlier of (a) December 31, 2013 or
(b) upon redemption of this Warrant in accordance with the terms and conditions
set forth in Section 4 hereof.

          4. Redemption.
(a) All but not less than all of the outstanding Warrants may be redeemed at
the option of the Company at any time during the Exercise Period, at the principal
office of the Company, upon the notice referred to in Section 4(b), at the
price of $0.01 per Warrant (“Redemption
Price”), provided that the last reported bid price of the Company’s 

American Depositary Shares (“ADS”), representing three Ordinary
Shares per ADS, equals or exceeds $17.66 per share, on each of any twenty (20)
trading days within a thirty (30) trading day period ending three business days
prior to the date on which notice of redemption is given. Notwithstanding the foregoing, Warrants held by
the officers and directors of the Company will not be redeemable so long as
such officers and directors hold such warrants. 

                    (b)
Date Fixed for, and Notice of, Redemption. In the event the Company
shall elect to redeem all of the Warrants, the Company shall fix a date for the
redemption. Notice of redemption shall be mailed by first class mail, postage
prepaid, by the Company not less than thirty (30) days prior to the date fixed
for redemption to the registered holders of the Warrants to be redeemed at
their last addresses as they shall appear on the registration books. Any notice
mailed in the manner herein provided shall be conclusively presumed to have
been duly given whether or not the registered holder received such notice.

                    (c)
Exercise After Notice of Redemption. The Warrants may be exercised with
the terms of this Agreement at any time after notice of redemption shall have
been given by the Company pursuant to Section 4(b) hereof and prior to the
time and date fixed for redemption. On and after the redemption date, the
record holder of the Warrants shall have no further rights except to receive,
upon surrender of the Warrants, the Redemption Price.

          5. Method
of Exercise. While this Warrant remains outstanding and exercisable in
accordance with Section 3 above, the Holder may exercise, in whole or in part,
the purchase rights evidenced hereby. Such exercise shall be effected by:

	
 

	
 

	
 

	
          (a) the
surrender of the Warrant, together with a duly executed copy of the form of
Notice of Exercise attached hereto, to the Secretary of the Company at its
principal offices set forth on the signature page hereof and the payment in
the form of a certified or bank cashier’s check payable to the order of the
Company in an amount equal to the Exercise Price multiplied by the number of
Warrant Shares for which this Warrant is being exercised; or

	
 

	
 

	
 

	
          (b) in
lieu of making the cash payment contemplated above, the Holder may, in its
sole discretion, elect instead to receive upon such exercise the “Net
Number” of Shares determined according to the following formula (a “Cashless
Exercise”):

	
 

	
 

	
 

	
 

	
 

	
Net
Number = 

	
(A x B) - (A
x C)

	
 

	
 

	
 

	

	
 

	
 

	
 

	
            B

	
 

	
 

	
 

	
 

	
For purposes
of the foregoing formula:

	
 

	
 

	
 

	
A = the
total number of Shares with respect to which this Warrant is then being
exercised.

	
 

	
 

	
 

	
B = the
25-Day Average Price as of the date of such exercise;

	
 

	
 

	
 

	
C = the
Exercise Price.

          “25-Day
Average Price” means the average of the last reported sale price of the ADS
divided by three (3), for the twenty-five (25) trading days ending on the
trading day prior to the date of determination (or the average closing bid and
asked prices for each such day if no such sale is made on such trading day).

          6. Certificates
for Shares. Upon the exercise of the purchase rights evidenced by this
Warrant, one or more certificates for the number of Warrant Shares so purchased
shall be issued as soon as practicable thereafter (with appropriate restrictive
legends, if applicable), and in any event within ten (10) business days of the
delivery of the Notice of Exercise.

          7. Issuance
of Shares. The Company covenants that the Warrant Shares, when issued
pursuant to the exercise of this Warrant, will be duly and validly issued,
fully paid and nonassessable and free from all taxes, liens, and charges with
respect to the issuance thereof.

          8. Adjustment
of Exercise Price and Kind and Number of Shares. The number and kind of
securities purchasable upon exercise of this Warrant and the Exercise Price
shall be subject to adjustment from time to time as follows:

	
 

	
 

	
 

	
          (a) Subdivisions,
Combinations and Other Issuances. If the Company shall at any time prior
to the expiration of this Warrant (i) subdivide its Shares, by split-up or
otherwise, or combine its Shares, or (ii) issue additional shares of its
Shares or other equity securities as a dividend with respect to any shares of
its Shares; the number of shares of Shares issuable on the exercise of this
Warrant shall forthwith be proportionately increased in the case of a
subdivision (by stock split, stock dividend or otherwise), or proportionately
decreased in the case of a combination. Appropriate adjustments shall also be
made to the Exercise Price payable per share, but the aggregate Exercise
Price payable for the total number of Warrant Shares purchasable under this
Warrant (as adjusted) shall remain the same. Any adjustment under this
Section 8(a) shall become effective at the close of business on the date the
subdivision or combination becomes effective, or as of the record date of
such dividend, or in the event that no record date is fixed, upon the making
of such dividend.

	
 

	
 

	
 

	
          (b) Reclassification,
Reorganization and Consolidation. In case of any reclassification,
capital reorganization, or change in the Shares of the Company (other than as
a result of a subdivision, combination, or stock dividend provided for in
Section 8(a) above), then, as a condition of such reclassification,
reorganization, or change, lawful provision shall be made, and duly executed
documents evidencing the same from the Company or its successor shall be
delivered to the Holder, so that the Holder shall have the right at any time
prior to the expiration of this Warrant to purchase, at a total price equal
to that payable upon the exercise of this Warrant (subject to adjustment of
the Exercise Price as provided in Section 8), the kind and amount of shares
of stock and other securities and property receivable in connection with such
reclassification, reorganization, or change by a holder of the same number of
shares of Shares as were purchasable by the Holder immediately prior to such
reclassification, reorganization, or change. In any such case appropriate
provisions shall be made with respect to the rights and interest of the
Holder so that the provisions hereof shall thereafter be applicable with
respect to any shares of stock or other securities and property deliverable
upon exercise 

	
 

	
 

	
 

	
hereof, and appropriate adjustments shall be made to the purchase
price per share payable hereunder, provided the aggregate Exercise Price
shall remain the same.

	
 

	
 

	
 

	
          (c) Notice
of Adjustment. When any adjustment is required to be made in the number
or kind of shares purchasable upon exercise of the Warrant, or in the
Exercise Price, the Company shall promptly notify the holder of such event
and of the number of shares of Shares or other securities or property
thereafter purchasable upon exercise of this Warrant.

	
 

	
 

	
 

	
          (d) Issuance
of New Warrant. Upon the occurrence of any of the events listed in this
Section 8 that results in an adjustment of the type, number or exercise price
of the securities underlying this Warrant, the Holder shall have the right to
receive a new warrant reflecting such adjustment upon the Holder tendering
this Warrant in exchange. The new warrant shall otherwise have terms
identical to this Warrant.

          9. Adjustment
to Exercise Price. (a) Subject to Section 9(b) hereto, the Company agrees
that if, at any time prior to exercise or redemption of this Warrant, the
Company issues or sells any Shares (or issues or sells securities convertible
into or exercisable for Shares) (each a “Dilutive Issuance”), at a price
per Share (or at a conversion or exercise price per Share) less than the
Exercise Price (subject to any adjustments outlined in Section 8 or Section 9
hereto) (the “Dilutive Price”), then, concurrent with such Dilutive
Issuance the Exercise Price shall be adjusted to equal the Dilutive Price (the
“Adjusted Exercise Price”).

	
 

	
 

	
 

	
          (b) Exceptions to Adjustment to Exercise Price. The Investor
acknowledges and agrees that the provisions of Section 9(a) hereto shall not
apply to the issuance or sale of Shares (or any right or option to acquire
the same) by the Company: (i) upon the exercise of warrants and options
outstanding on the date of this Warrant, including options granted under any
of the Company’s existing or future share incentive plans; (ii) to person who
hereafter becomes an employee of or a consultant to the Company; (iii) in a
Strategic Transaction (as hereinafter defined); or (iv) in connection with
the issuance or sale of preferred equity or preferred debt, in each case,
convertible into Ordinary Shares or ADS, in a aggregate of not more than
$40,000,000, in a single transaction or a series of related transactions, in
each case, so long as (x) the Investor is offered the right to acquire such
shares on terms no less favorable to those offered to third party purchasers,
(y) the terms of such securities are approved by the Board of Directors of
the Company and (z) any such issuances are consummated on or before December
31, 2011. For the purposes hereof, a “Strategic Transaction” shall
mean the issuance or sale of the Company’s equity securities to a strategic
investor, including, without limitation, persons engaged in the business of
the Company, as set forth in the Company’s most recent filing on Form 20-F
with the U.S. Securities and Exchange Commission, (X) with which the Company
has entered into a contractual or commercial relationship and (Y) whose
aggregate investment in the Company (including the “fair market value” of any
investment in the form of service to the Company or non-financial assets) on
a per share basis shall be no less than the Exercise Price. For the purpose
of this Section 9(b), “fair market value” shall be determined in good faith
by the Board of Directors of the Company.

          10. No
Impairment. Pursuant to the terms and conditions of this Warrant, Company
shall: (i) reserve an appropriate number of shares of Company’s Shares to
facilitate the issuance of shares to Holder pursuant to this Warrant, (ii) not
amend its Articles of Association or take any other action that would
materially impair Company’s ability to comply with the terms of the Warrant,
and (iii) provide Holder with at least ten (10) days prior written notice of
the record date for any proposed dividend or distribution by the Company.

          11. No
Fractional Shares or Scrip. No fractional shares or scrip representing
fractional shares shall be issued upon the exercise of this Warrant, but in
lieu of such fractional shares the Company shall make a cash payment therefor
on the basis of the Exercise Price then in effect, unless such cash payment is
less than one dollar ($1.00). 

          12. No
Stockholder Rights. Prior to exercise of this Warrant, the Holder shall not
be entitled to any rights of a stockholder with respect to the shares of Shares
issuable on the exercise hereof, including (without limitation) the right to
vote such shares of Shares, receive dividends or other distributions thereon,
exercise preemptive rights or be notified of stockholder meetings, and such
holder shall not be entitled to any notice or other communication concerning
the business or affairs of the Company. However, nothing in this Section 12
shall limit the right of the Holder to be provided the notices required under
this Warrant.

          13. Successors
and Assigns. The terms and provisions of this Warrant shall inure to the
benefit of, and be binding upon, the Company and the Holder and their
respective successors and assigns.

          14. Amendments
and Waivers. Any term of this Warrant may be amended and the observance of
any term of this Warrant may be waived (either generally or in a particular
instance and either retroactively or prospectively), with the written consent
of the Company and the Holder. Any waiver or amendment effected in accordance
with this Section shall be binding upon each holder of any shares of Shares
purchased under this Warrant at the time outstanding (including securities into
which such shares have been converted), each future holder of all such Shares,
and the Company.

          15. Notices.
All notices required under this Warrant and shall be deemed to have been given
or made for all purposes (i) upon personal delivery, (ii) upon
confirmation receipt that the communication was successfully sent to the
applicable number if sent by facsimile; (iii) one day after being sent,
when sent by professional overnight courier service, or (iv) five days
after posting when sent by registered or certified mail. Notices to the Company
shall be sent to the principal office of the Company (or at such other place as
the Company shall notify the Holder hereof in writing). Notices to the Holder
shall be sent to the address of the Holder on the books of the Company (or at
such other place as the Holder shall notify the Company hereof in writing).

          16. Attorneys’
Fees. If any action of law or equity is necessary to enforce or interpret
the terms of this Warrant, the prevailing party shall be entitled to its
reasonable attorneys’ fees, costs and disbursements in addition to any other
relief to which it may be entitled.

          17. Captions.
The section and subsection headings of this Warrant are inserted for
convenience only and shall not constitute a part of this Warrant in construing
or interpreting any provision hereof.

          18. Governing
Law. This Warrant shall be governed by the laws of the State of New York,
without regard to the provisions thereof relating to conflict of laws.

          IN WITNESS
WHEREOF, CHINA HYDROELECTRIC CORPORATION caused
this Warrant to be executed by an officer thereunto duly authorized.

	
 
	
 
	
 

	
 
	
CHINA HYDROELECTRIC
CORPORATION

	
 
	
 
	
 

	 
	By:
	/s/ Richard Hochman
	 

	 
	 
	
  	 

	 
	 
	Name: Richard Hochman

Title:   Director

NOTICE OF EXERCISE

	
 

	
 

	
To:

	
CHINA HYDROELECTRIC CORPORATION

	
Attn:

	
Corporate
Secretary

          The
undersigned hereby elects to:

          Purchase
_________________ shares of Shares of CHINA
HYDROELECTRIC CORPORATION, pursuant to the terms of the attached Warrant
and payment of the Exercise Price per share required under such Warrant
accompanying this notice.

          The
undersigned hereby represents and warrants that the undersigned is acquiring
such shares for its own account for investment purposes only, and not for
resale or with a view to distribution of such shares or any part thereof.

	
 

	
 

	
 

	
HOLDER:

	
 

	
 

	
 

	

	
 

	
 

	
 

	
Address:

	
 

	
 

	
Date:

	
 

	
 

	
 

	
Name in
which shares should be registered:

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