Document:

FS Energy and Power Fund 8-K

 

Exhibit 10.1

 

 

 FIRST AMENDMENT TO TERM
LOAN AND SECURITY AGREEMENT

 

This FIRST AMENDMENT
TO TERM LOAN AND SECURITY AGREEMENT, is made as of November 25, 2015 (this “Amendment”), among FOXFIELDS
FUNDING LLC, a Delaware limited liability company (“Company”), FORTRESS CREDIT CO LLC, as Administrative Agent
for Lenders (“Administrative Agent”), and the Lenders signatory hereto.

WHEREAS, the
Company, Administrative Agent and the Lenders signatory thereto from time to time are party to that certain Term Loan and Security
Agreement, dated as of November 6, 2015 (as the same may be amended, restated, supplemented or otherwise modified from time to
time, and as amended herein, the “Loan Agreement;” capitalized terms used herein and not otherwise defined herein
shall have the meanings ascribed to such terms in the Loan Agreement), pursuant to which Lenders have extended to the Company certain
Term Loans and other financial accommodations;

WHEREAS, the
Company has requested that Administrative Agent and Lenders make certain amendments to the Loan Agreement, as more fully-described
herein; and

WHEREAS, Administrative
Agent and Lenders are willing to agree to such amendments to the Loan Agreement on the terms and conditions set forth herein;

NOW, THEREFORE,
in consideration of the foregoing premises, and other good and valuable consideration, the receipt and legal sufficiency of which
are hereby acknowledged, the parties hereto hereby agree as follows:

1.

Amendments to
the Loan Agreement. The Loan Agreement is hereby amended as follows as of the date hereof:

(a)

The second “WHEREAS”
clause of the Recitals to the Loan Agreement is hereby amended by deleting the reference to the number “$125,000,000”
from the first line thereof and inserting the number “$155,000,000” in lieu thereof.

(b)

Section 1.01
of the Loan Agreement is hereby amended by deleting clause (b)(i) of the definition of the term “Permitted Dispositions”
in its entirety and inserting the following in lieu thereof: “no Event of Default then exists (or would be caused thereby),
and no violation of Section 7.16(a)(iv) has occurred that has not been cured in accordance with the terms of Section
7.16(b).”

(c)

Section 1.01
of the Loan Agreement is hereby further amended by deleting clause (a)(i) of the definition of the term “Permitted
Distributions” in its entirety and inserting the following in lieu thereof: “no Event of Default has occurred and
is continuing or would be caused thereby, and no violation of Section 7.16(a)(iv) has occurred that has not been cured in
accordance with the terms of Section 7.16(b).”

(d)

Section 1.01
of the Loan Agreement is hereby further amended by deleting the last sentence of the definition of the term “Term Loan
Commitment” in its entirety and inserting the following in lieu thereof: “The aggregate amount of the Term Loan
Commitments as of the First Amendment Effective Date is $155,000,000.”

 

     

	

    	 

    

(e)

Section 1.01
of the Loan Agreement is hereby further amended by adding the following defined term thereto (in the correct alphabetical order):

“First
Amendment Effective Date” means November 25, 2015.

(f)

Section 2.03
of the Loan Agreement is hereby amended by adding the phrase “, for the account of Lenders,” immediately following
the term “Administrative Agent” in lines 16 and 19 of clause (b) thereof.

(g)

Section 2.03
of the Loan Agreement is hereby further amended by deleting subsection (i) of clause (c) in its entirety and inserting
the following in lieu thereof:

(i) the average daily difference
between (x) (A) prior to the First Amendment Effective Date, $125,000,000 and (B) on or after the First Amendment Effective Date,
$155,000,000 and (y) the aggregate principal amount of Term Loans extended prior to the date of calculation,

(h)

Section 2.08
of the Loan Agreement is hereby amended by deleting the reference to the number “$75,000,000” from the first line thereof
and inserting the number “$45,000,000” in lieu thereof.

(i)

Section 4.02
of the Loan Agreement is hereby amended by deleting clause (d) thereof in its entirety and inserting the following in lieu
thereof:

(d) No Event
of Default shall have occurred and be continuing, or would result therefrom, and no violation of Section 7.16(a)(iv) shall
have occurred that has not been cured in accordance with the terms of Section 7.16(b).

(j)

Section 5.11
of the Loan Agreement is hereby amended by deleting clause (a) thereof in its entirety and inserting the following in lieu thereof:

(a) The Company
intends to use the proceeds of the Term Loans solely as provided in the Recitals hereto without violation of the terms hereof and
does not intend to (and will not) use all or any portion of the proceeds of the Term Loans (x) to purchase any margin stock or
(y) for any purpose that would constitute a violation of Regulation T, U or X of the FRB.

(k)

Section 6.01
of the Loan Agreement is hereby amended by adding the following parenthetical to the lead-in thereof immediately following the
term “Administrative Agent”:

(and Administrative
Agent shall thereafter make available to each Lender, including, for clarity, by e-mail)

(l)

Section 6.02
of the Loan Agreement is hereby amended by adding the following parenthetical to the lead-in thereof immediately following the
term “Administrative Agent”:

(and Administrative
Agent shall thereafter make available to each Lender, including, for clarity, by e-mail)

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(m)

Section 7.10
of the Loan Agreement is hereby deleted in its entirety and the following is inserted in lieu thereof:

7.10    Use
of Proceeds. Use the proceeds of Term Loans (x) to purchase margin stock or (y) for any purpose that (a) constitutes
a violation of Regulations T, U or X promulgated by the FRB or (b) is otherwise prohibited by this Agreement.

 

(n)

Section 11.07
of the Loan Agreement is hereby amended by deleting the first proviso of clause (a) thereof in its entirety and inserting
the following proviso in lieu thereof:

provided,
however, that no Lender shall be liable for the payment to any Agent-Related Person of any portion of such Indemnified Liabilities
to the extent (x) such Indemnified Liabilities result solely from a cure by the Administrative Agent, pursuant to Section 10.01,
of a default by a Loan Party under any Portfolio Investment Document but only to the extent the Administrative Agent has not received
prior approval with respect to such cure by such Lender or (y) determined in a final, nonappealable Judgment by a court of competent
jurisdiction to have resulted from such Agent-Related Person’s own gross negligence or willful misconduct;

(o)

Section 12.02
of the Loan Agreement is hereby amended by adding the following new clause (d) immediately following clause (c) thereof:

(d) Distribution
of Materials to Lenders. The Loan Parties acknowledge and agree that the Loan Documents and all reports, notices, communications
and other information or materials provided or delivered by, or on behalf of, the Loan Parties, including pursuant to Section
6.01 or 6.02, may be disseminated by, or on behalf of, Administrative Agent, and made available, to the Lenders.

(p)

Appendix A to
the Loan Agreement is hereby deleted in its entirety and the Appendix A attached hereto is inserted in lieu thereof.

(q)

Exhibit E to
the Loan Agreement is hereby replaced in its entirety with the Exhibit E attached hereto as Exhibit A.

2.

Acknowledgment.
Administrative Agent’s and Lenders’ agreement to the amendments and agreements contained herein does not and shall
not create (nor shall FSEP, the Company or any other Loan Party rely upon the existence of or claim or assert that there exists)
any obligation of Administrative Agent or any Lender to consider or agree to any further amendments or agreements. In the event
Administrative Agent and Lenders subsequently agree to consider any further amendments or agreements, neither the amendments and
agreements contained herein nor any other conduct of Administrative Agent or any Lender shall be of any force or effect on Administrative
Agent’s or any Lender’s consideration or decision with respect to any such requested amendment or agreement, and Administrative
Agent and Lenders shall have no further obligation whatsoever to consider or agree to further amendments or agreements.

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3.

Representations,
Warranties, Covenants and Acknowledgments. To induce Administrative Agent and Lenders to enter into this Amendment:

(a)

The Company does hereby
represent and warrant that (i) as of the date hereof, all of the representations and warranties made or deemed to be made under
the Loan Documents are true and correct in all material respects (provided, that any representation or warranty that is
qualified by materiality or by reference to Material Adverse Effect shall be true and correct in all respects), except such representations
and warranties which, by their express terms, are applicable only to the Closing Date, (ii) as of the date hereof, there exists
no Default or Event of Default under the Loan Agreement or any of the other Loan Documents, (iii) the Company has the power and
is duly authorized to enter into, deliver and perform this Amendment, and (iv) this Amendment and each of the Loan Documents is
the legal, valid and binding obligation of the Company enforceable against the Company in accordance with its terms.

(b)

The Company does hereby
reaffirm each of the agreements, covenants, and undertakings set forth in the Loan Agreement and each and every other Loan Document
executed in connection therewith or pursuant thereto, as amended and modified hereby, as if the Company were making said agreements,
covenants and undertakings on the date hereof.

(c)

The Company does hereby
acknowledge and agree that no right of offset, defense, counterclaim, claim, cause of action or objection in favor of the Company
against Administrative Agent or any Lender exists arising out of or with respect to (i) the Obligations, this Amendment, the Loan
Agreement or any of the other Loan Documents, or (ii) any other documents now or heretofore evidencing, securing or in any way
relating to the foregoing.

(d)

The Company acknowledges
and agrees that this Amendment shall be deemed a Loan Document for all purposes under the Loan Agreement.

(e)

The parties hereto
acknowledge and agree that, notwithstanding the requirement in Section 2.01(b) of the Loan Agreement that a Funding Notice
be delivered no later than 2:00 p.m. at least two (2) Business Days prior to any requested Term Loan, a Funding Notice with respect
to any Term Loan requested on the First Amendment Effective Date shall be effective if delivered to Administrative Agent by 2:00
p.m. one (1) Business Day prior to such requested Term Loan (or such later time as Administrative Agent and ORIX Finance, LP shall
agree).

(f)

The parties hereto
acknowledge and agree that, notwithstanding any provision of the Loan Agreement, including the terms of Section 2.01(c)
thereof, (i) funding of the Term Loan requested on the First Amendment Effective Date shall not be based on each Lender’s
Pro Rata Share and (ii) ORIX Finance, LP shall fund the entire $9,600,000 Term Loan requested on the First Amendment Effective
Date.

4.

Indemnification.
The Company and each other Loan Party hereby agree to indemnify and hold Administrative Agent, the Lenders, each Agent-Related
Person and each other Indemnitee in accordance with Section 12.05 of the Loan Agreement. The foregoing indemnity shall survive
the payment in full of the Obligations and the termination of this Amendment, the Loan Agreement and the other Loan Documents.

 

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5.

Conditions Precedent.
The effectiveness of this Amendment is subject to the following conditions precedent:

(a)

Delivery of Documents.
On or before the date hereof, the Company shall have delivered to Administrative Agent, all in form and substance acceptable to
Administrative Agent in its reasonable discretion, (i) counterparts of this Amendment executed by each party hereto, together
with counterparts of an Acknowledgment and Consent substantially in the form attached hereto, (ii) a Term Loan Note, dated the
First Amendment Effective Date, in favor of ORIX Finance, LP reflecting its Term Loan Commitment, to the extent requested by such
Lender, (iii) a Secretary’s Certificate, with all customary attachments (or certifications that no changes have been made
to such Person’s Organizational Documents since the Closing Date), for each of the Company and FSEP, (iv) favorable written
opinions from outside counsel to the Company and FSEP and (v) any and all other documents reasonably requested by Administrative
Agent.

(b)

Accuracy of Representations
and Warranties. All of the representations and warranties made or deemed to be made in this Amendment and under the Loan Documents
shall be true and correct in all material respects (provided, that any representation or warranty that is qualified by materiality
or by reference to Material Adverse Effect shall be true and correct in all respects) as of the date of this Amendment, except
such representations and warranties which, by their terms, are applicable to a prior specific date or period.

(c)

Expenses. The
Loan Parties shall have paid on or before the date hereof to Administrative Agent any and all outstanding fees and other charges
owing pursuant to Section 12.04 of the Loan Agreement, to the extent invoiced at least one (1) Business Day prior to the
date hereof.

6.

Effect; Relationship
of Parties. Except as expressly amended hereby, the Loan Agreement shall be and remain in full force and effect as originally
written, and shall constitute the legal, valid, binding and enforceable obligations of the Company to Administrative Agent and
each Lender. The relationship of Administrative Agent and Lenders, on the one hand, and the Loan Parties, on the other hand, has
been and shall continue to be, at all times, that of creditor and debtor and not as joint venturers or partners. Nothing contained
in this Amendment, any instrument, document or agreement delivered in connection herewith or in the Loan Agreement or any of the
other Loan Documents shall be deemed or construed to create a fiduciary relationship between or among the parties.

 

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7.

Miscellaneous.
This Amendment may be executed in any number of counterparts and by different parties hereto in separate counterparts, each of
which, when so executed and delivered, shall be deemed to be an original and all of which counterparts, taken together, shall constitute
but one and the same instrument. Delivery of an executed counterpart of a signature page to this Amendment by facsimile or other
electronic transmission shall be as effective as delivery of a manually executed counterpart of this Amendment. Any party delivering
an executed counterpart of this consent via facsimile or electronic mail shall also deliver a manually executed original to Administrative
Agent or its counsel, but the failure to do so does not and will not affect the validity, enforceability or binding effect of this
Amendment or result in a Default or Event of Default under any Loan Document. This Amendment shall be binding upon and inure to
the benefit of the successors and permitted assigns of the parties hereto. This Amendment shall be governed by, and construed in
accordance with, the laws of the State of New York without regard to conflict of laws principles (other than Sections 5-1401
and 5-1402 of the New York General Obligations Law) thereof. This Amendment embodies the entire agreement and understanding between
the parties hereto with respect to the subject matter hereof and supersedes all prior oral or written negotiations, agreements
and understandings of the parties with respect to the subject matter hereof, except the agreements embodied in the Loan Agreement
and the other Loan Documents (as modified herein).

[Remainder of Page
Intentionally Blank]

 

 

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IN WITNESS WHEREOF,
the Company, Administrative Agent and Lenders have caused this Amendment to be duly executed as of the date first above written.

	 	FOXFIELDS FUNDING LLC,
	 	as the Company
	 	 
	 	 
	 	By:	/s/ Stephen S. Sypherd
	 	Name:	Stephen S. Sypherd
	 	Title:	Vice President, Treasurer and Secretary 

 

 

    	

    	 

    

	 	FORTRESS CREDIT CO LLC,
	 	as Administas the Company
	 	 	 
	 	 	 
	 	By:	/s/ Constantine M. Dakolias 
	 	Name:	Constantine M. Dakolias
	 	Title:	President 
	 	 	 
	 	 	 
	 	 	 
	 	FORTRESS CREDIT OPPORTUNITIES III CLO 

    LP, as a Lender
	 	By: FCO III CLO GP LLC, its general partner
	 	 	 
	 	 	 
	 	By:	/s/ Constantine M. Dakolias
	 	Name:	Constantine M. Dakolias
	 	Title:	President
	 	 	 
	 	 	 
	 	 	 
	 	FORTRESS CREDIT OPPORTUNITIES V CLO 

LIMITED, as a Lender
	 	By: FCO V CLO CM LLC, its collateral manager
	 	 	 
	 	 	 
	 	By:	/s/ Constantine M. Dakolias
	 	Name:	Constantine M. Dakolias
	 	Title:	President
	 	 	 
	 	 	 
	 	FORTRESS CREDIT OPPORTUNITIES VII CLO

LIMITED, as a Lender
	 	By: FCO VII CLO CM LLC, its
collateral manager
	 	 	 
	 	 	 
	 	By:	/s/ Constantine M. Dakolias
	 	Name:	Constantine M. Dakolias
	 	Title:	President
	 	 	 
	 	 	 
	 	 	 
	 	FORTRESS CREDIT FUNDING V LP, as a Lender 
	 	By: Fortress Credit Funding V GP LLC, its general partner
	 	 	 
	 	 	 
	 	By:	/s/ Constantine M. Dakolias
	 	Name:	Constantine M. Dakolias
	 	Title:	President
	 	 	 
	 	 	 
	 	 	 
	 	DRAWBRIDGE SPECIAL OPPORTUNITIES

FUND LP, as a Lender
	 	By: Drawbridge Special Opportunities GP, LLC, its general
partner
	 	 	 
	 	 	 
	 	By:	/s/ Constantine M. Dakolias
	 	Name:	Constantine M. Dakolias
	 	Title:	President

 

    	

    	 

    

	 	ORIX FINANCE, LP, as a Lender
	 	By: ORIX Corporate Capital Inc., its General Partner
	 	 	 
	 	 	 
	 	By:	/s/ Mark Campbell
	 	Name:
	Mark Campbell
	 	Title:	Authorized RepresentativeExhibit 10.1

 

Execution Version

 

AMENDMENT NO. 1
 TO
 INVESTMENT AND SECURITIES PURCHASE AGREEMENT

 

THIS AMENDMENT NO. 1 TO INVESTMENT AND SECURITIES PURCHASE AGREEMENT, dated November 2, 2015 (this “Amendment”), is between General Moly, Inc., a Delaware corporation, (the “Company”), and Amer International Group Co., Ltd., a limited liability company organized under the laws of the People’s Republic of China (“Purchaser”). Capitalized terms used, but not defined herein, shall have the meanings assigned to them in the Agreement, as defined below.

 

RECITALS

 

A.                                    The Company and Purchaser are parties to the Investment and Securities Purchase Agreement, dated April 17, 2015 (the “Agreement”); and

 

B.                                    The parties desire to amend the Agreement to, among other things, provide for the Offered Securities to be issued in three separate tranches, to make related changes to the board representation provisions of the Agreement, and to modify specified conditions precedent in the Agreement.

 

Accordingly, in consideration of the mutual covenants contained in this Amendment, the parties intending to be legally bound agree as follows.

 

AGREEMENT

 

1.                                      Recital A of the Agreement is hereby deleted in its entirety and replaced with the following:

 

“A.                              The Company desires to issue and sell to Purchaser and Purchaser desires to acquire from the Company, on the terms and subject to the conditions in this Agreement, (1) 40,000,000 shares (the “Offered Shares”) of the Company’s common stock, par value $0.001 per share (the “Common Stock”) at an aggregate purchase price of $20,000,000, and (2) warrants to purchase 80,000,000 shares of Common Stock (the “Offered Warrants”) exercisable at the Per Share Price (the Offered Shares, together with the Offered Warrants, the “Offered Securities”).”

 

2.                                      Recital B of the Agreement is hereby deleted in its entirety and replaced with the following:

 

“B.                              The Offered Securities will be issued in three tranches:  (1) the first tranche (“Tranche 1”) will consist of 13,333,333 Offered Shares (the “Tranche 1 Shares”) and 80,000,000 Offered Warrants (together with the Tranche 1 Shares, the “Tranche 1 Securities”), (2) the second tranche (“Tranche 2”) will consist of 12,000,000 Offered Shares (the “Tranche 2 Securities”); and (3) the third tranche (“Tranche 3”) will consist of 14,666,667 Offered Shares (the “Tranche 3 Securities”).

 

 

The Tranche 1 Securities will be issued upon the satisfaction of the conditions set forth in Section 7.1, the Tranche 2 Securities will be issued upon the satisfaction of the conditions set forth in Section 7.2 and the Tranche 3 Securities will be issued upon the satisfaction of the conditions set forth in Section 7.3.  Upon the Loan Execution, the Offered Securities will constitute approximately 51% of the Company’s fully diluted shares of Common Stock.”

 

3.                                      Recital E of the Agreement is hereby deleted in its entirety and replaced with the following:

 

“E.                               At the Tranche 1 Closing, the Company and Purchaser will enter into a stockholder agreement with respect to certain matters relating to the acquisition and disposition of the Offered Securities (and other shares of Common Stock, if any, owned by Purchaser or any of its Affiliates) and governance of the Company (the “Stockholder Agreement”) substantially in the form attached hereto as Exhibit B.”

 

4.                                      Section 1.1 of the Agreement is hereby deleted in its entirety and replaced with the following:

 

“1.1                         Purchase and Sale of Offered Securities; Closing Payment; Expense Reimbursement Account.

 

(a)                                 Offer and Sale.  On the terms and subject to the conditions of this Agreement and in reliance upon the representations and warranties contained herein, Purchaser shall purchase from the Company, and the Company shall issue and sell to Purchaser:  (i) the Tranche 1 Securities on the Tranche 1 Closing Date, (ii) the Tranche 2 Securities on the Tranche 2 Closing Date and (iii) the Tranche 3 Securities on the Tranche 3 Closing Date.

 

(b)                                 Closing Payments.

 

(i)                                     In exchange for the Company’s issuance and sale of the Tranche 1 Securities to Purchaser on the Tranche 1 Closing Date, Purchaser shall pay to the Company in cash an amount equal to the Stock Purchase Price for the Tranche 1 Shares (the “Tranche 1 Closing Payment”).

 

(ii)                                  In exchange for the Company’s issuance and sale of the Tranche 2 Securities to Purchaser on the Tranche 2 Closing Date, Purchaser shall pay to the Company in cash an amount equal to the Stock Purchase Price for the Tranche 2 Securities (the “Tranche 2 Closing Payment”).

 

(i)                                                                                                                                                                                     (iii)                               In exchange for the Company’s issuance and sale of the Tranche 3 Securities to Purchaser on the Tranche 3 Closing Date, Purchaser shall pay to the Company in cash an amount equal to (a) the Stock Purchase Price for the Tranche 3 Securities, minus (b) the Reimbursed Purchaser Expenses (such difference, the “Tranche 3 Closing Payment” and, collectively with the Tranche 1 Closing Payment and the Tranche 2 Closing Payment, the “Closing Payments”).

 

 

(iv)                              In addition to making the Closing Payments, the Company shall pay Purchaser the Arrangement Fee following the Tranche 1 Closing, the Tranche 2 Closing or the Tranche 3 Closing, as applicable, pursuant to Section 1.2.

 

(c)                                  Reimbursement Account.

 

(i)                                     Within three (3) days of the Tranche 1 Closing Date, the Company shall deposit $2,000,000 from the Tranche 1 Closing Payment into an account (the “Expense Reimbursement Account”) at a bank to be mutually agreed upon by the Company and Purchaser.  Purchaser and the Company shall jointly hold such account pursuant to an expense reimbursement agreement (the “Expense Reimbursement Agreement”), substantially in accordance with the terms and conditions attached hereto as Exhibit D, to be entered into at the Tranche 1 Closing between Purchaser and the Company.  Under the Expense Reimbursement Agreement, funds will be released to Purchaser, the Company or third parties to reimburse such parties for reasonable expenses incurred in connection with the procurement of the Loan under Section 6.4(a) and other mutually agreed upon joint opportunity evaluations and transactions (such expenses, collectively, the “Loan Procurement Expenses”).

 

(ii)                                  On the Tranche 2 Closing Date, the Company shall deposit $1,000,000 from the Tranche 2 Closing Payment into the Expense Reimbursement Account.”

 

5.                                      Section 1.3 of the Agreement is hereby deleted in its entirety and replaced with the following:

 

“1.3                         Closings.

 

(a)                                 Tranche 1 Closing.  Subject to the satisfaction or waiver of the conditions set forth in Section 7.1, the completion of the purchase and sale of the Tranche 1 Securities (the “Tranche 1 Closing”) shall occur at 10:00 a.m. local time at the offices of Bryan Cave LLP, Denver, Colorado, on the second (2nd) Business Day after the satisfaction or waiver of the conditions set forth in Section 7.1 (other than those that by their terms are to be satisfied or waived at the Tranche 1 Closing), or at such other location, date and time as may be mutually agreed upon by the Company and Purchaser.  The date of the Tranche 1 Closing is referred to herein as the “Tranche 1 Closing Date.”

 

(b)                                 Tranche 2 Closing.  Subject to the satisfaction or waiver of the conditions set forth in Section 7.2, the completion of the purchase and sale of the Tranche 2 Securities (the “Tranche 2 Closing”) shall occur at 10:00 a.m. local time at the offices of Bryan Cave LLP, Denver, Colorado, on the second (2nd) Business Day after the satisfaction or waiver of the conditions set forth in Section 7.2 (other than those that by their terms are to be satisfied or waived at the Tranche 2 Closing), or at such other location, date and time as may be mutually agreed upon by the Company and Purchaser.  The date of the Tranche 2 Closing is referred to herein as the “Tranche 2 Closing Date.”

 

(c)                                  Tranche 3 Closing.  Subject to the satisfaction or waiver of the conditions set forth in Section 7.3, the completion of the purchase and sale of the Tranche

 

 

2 Securities (the “Tranche 3 Closing”) shall occur at 10:00 a.m. local time at the offices of Bryan Cave LLP, Denver, Colorado, on the second (2nd) Business Day after the satisfaction or waiver of the conditions set forth in Section 7.3 (other than those that by their terms are to be satisfied or waived at the Tranche 3 Closing), or at such other location, date and time as may be mutually agreed upon by the Company and Purchaser.  The date of the Tranche 3 Closing is referred to herein as the “Tranche 3 Closing Date.”“

 

6.                                      Section 1.4 of the Agreement is hereby deleted in its entirety and replaced with the following:

 

“1.4                         Tranche 1 Closing Deliveries.

 

(a)                                 Company Deliveries.  At the Tranche 1 Closing, the Company shall deliver or cause to be delivered to Purchaser:

 

(i)                                     a certificate or certificates representing the Tranche 1 Shares;

 

(ii)                                  a receipt for the Tranche 1 Closing Payment;

 

(iii)                               a duly executed warrant agreement (the “Warrant Agreement”), substantially in the form attached hereto as Exhibit C, evidencing the Offered Warrants, registered in the name of Purchaser;

 

(iv)                              a duly executed counterpart of the Stockholder Agreement;

 

(v)                                 a duly executed counterpart of the Expense Reimbursement Agreement;

 

(vi)                              a duly executed resignation effective on or before the Tranche 1 Closing Date from the director on the Board, if applicable, pursuant to Section 6.13(a);

 

(vii)                           a good standing certificate (or its equivalent) for the Company issued by the Secretary of State of the State of Delaware and of such other applicable jurisdictions where the Company is qualified or licensed to do business or own, lease or operate property making such qualification or licensing necessary, dated as of a date within thirty (30) days prior to the Tranche 1 Closing Date;

 

(viii)                        copies, certified by the Secretary of the Company, of resolutions of the Board authorizing the execution and delivery of this Agreement and the other Transaction Documents, and in each case, such resolutions shall be in full force and effect and not revoked;

 

(ix)                              the documents, instruments and writings required to be delivered to Purchaser by the Company pursuant to Section 7.1(c);

 

 

(x)                                 [Intentionally deleted]; and

 

(xi)                              such other previously undelivered documents reasonably requested by Purchaser to be delivered by the Company to Purchaser at or prior to the Tranche 1 Closing in connection with this Agreement or the other Transaction Documents to which the Company is a party.

 

(b)                                 Purchaser Deliveries.  At the Tranche 1 Closing, Purchaser shall deliver or cause to be delivered to the Company:

 

(i)                                     the Tranche 1 Closing Payment by wire transfer in immediately available funds in Dollars to an account specified by the Company in writing no less than three (3) Business Days prior to the Tranche 1 Closing;

 

(ii)                                  a duly executed counterpart of the Warrant Agreement;

 

(iii)                               a duly executed counterpart of the Stockholder Agreement;

 

(iv)                              a duly executed counterpart of the Expense Reimbursement Agreement;

 

(v)                                 [Intentionally deleted];

 

(vi)                              the documents, instruments and writings required to be delivered to the Company by Purchaser pursuant to Section 7.1(b); and

 

(vii)                           such other previously undelivered documents reasonably requested by the Company to be delivered by Purchaser to the Company at or prior to the Tranche 1 Closing in connection with this Agreement or the other Transaction Documents to which Purchaser is a party.”

 

7.                                      A new Section 1.5 shall be added to the Agreement and shall read as follows:

 

“1.5                         Tranche 2 Closing Deliveries.

 

(a)                                 Company Deliveries.  At the Tranche 2 Closing, the Company shall deliver or cause to be delivered to Purchaser:

 

(i)                                     a certificate or certificates representing the Tranche 2 Securities;

 

(ii)                                  a receipt for the Tranche 2 Closing Payment;

 

(iii)                               the documents, instruments and writings required to be delivered to Purchaser by the Company pursuant to Section 7.2(c); and

 

(iv)                              such other previously undelivered documents reasonably requested by Purchaser to be delivered by the Company to Purchaser at or prior to the

 

 

Tranche 2 Closing in connection with this Agreement or the other Transaction Documents to which the Company is a party.

 

(b)                                 Purchaser Deliveries.  At the Tranche 2 Closing, Purchaser shall deliver or cause to be delivered to the Company:

 

(i)                                     the Tranche 2 Closing Payment by wire transfer in immediately available funds in Dollars to an account specified by the Company in writing no less than three (3) Business Days prior to the Tranche 2 Closing;

 

(ii)                                  the documents, instruments and writings required to be delivered to the Company by Purchaser pursuant to Section 7.2(b); and

 

(iii)                               such other previously undelivered documents reasonably requested by the Company to be delivered by Purchaser to the Company at or prior to the Tranche 2 Closing in connection with this Agreement or the other Transaction Documents to which Purchaser is a party.”

 

8.                                      A new Section 1.6 shall be added to the Agreement and shall read as follows:

 

“1.6                         Tranche 3 Closing Deliveries.

 

(a)                                 Company Deliveries.  At the Tranche 3 Closing, the Company shall deliver or cause to be delivered to Purchaser:

 

(i)                                     a certificate or certificates representing the Tranche 3 Securities;

 

(ii)                                  a receipt for the Tranche 3 Closing Payment;

 

(iii)                               a duly executed resignation effective as of the Tranche 3 Closing Date from the director on the Board, if applicable, pursuant to Section 6.13(b);

 

(iv)                              the documents, instruments and writings required to be delivered to Purchaser by the Company pursuant to Section 7.3(c); and

 

(v)                                 such other previously undelivered documents reasonably requested by Purchaser to be delivered by the Company to Purchaser at or prior to the Tranche 3 Closing in connection with this Agreement or the other Transaction Documents to which the Company is a party.

 

(b)                                 Purchaser Deliveries.  At the Tranche 3 Closing, Purchaser shall deliver or cause to be delivered to the Company:

 

(i)                                     the Tranche 3 Closing Payment by wire transfer in immediately available funds in Dollars to an account specified by the Company in writing no less than three (3) Business Days prior to the Tranche 3 Closing;

 

 

(ii)                                  the documents, instruments and writings required to be delivered to the Company by Purchaser pursuant to Section 7.3(b); and

 

(iii)                               such other previously undelivered documents reasonably requested by the Company to be delivered by Purchaser to the Company at or prior to the Tranche 3 Closing in connection with this Agreement or the other Transaction Documents to which Purchaser is a party.”

 

9.                                      The introductory paragraph to Article II of the Agreement is hereby amended by replacing the phrase “Closing Date” in the third (3rd) line of the paragraph with “Tranche 1 Closing Date.”

 

10.                               Section 2.2 of the Agreement is hereby amended by (a) adding the phrase “As of March 31, 2015,” at the beginning of the first (1st) line of the paragraph and (b) replacing the phrase “Closing Date” in the twenty-fourth (24th) line of the paragraph with “Tranche 1 Closing Date.”

 

11.                               Section 4.1 of the Agreement is hereby amended by replacing the phrase “Closing Date” in the second (2nd) line of the paragraph with “Tranche 1 Closing Date.”

 

12.                               The introductory paragraph of Section 5.1 of the Agreement is hereby amended by replacing the word “Closing” in the second (2nd) line of the paragraph with “Tranche 1 Closing.”

 

13.                               Section 6.3 of the Agreement is hereby amended by replacing the word “Closing” in the third (3rd) line of the paragraph with “Tranche 1 Closing.”

 

14.                               Section 6.5(b) of the Agreement is hereby deleted in its entirety and replaced with the following:

 

“(b)                           [Intentionally deleted].”

 

15.                               Section 6.6(a) of the Agreement is hereby amended by (a) replacing the phrase “the Closing” in the seventh (7th) line of the paragraph with “the Tranche 1 Closing, the Tranche 2 Closing or the Tranche 3 Closing” and (b) replacing the phrase “the Closing” in the tenth (10th) line of the paragraph with “the Tranche 1 Closing, the Tranche 2 Closing or the Tranche 3 Closing.”

 

16.                               Section 6.10 of the Agreement is hereby amended by (a) replacing the phrase “Closing Date” in the fourth (4th) line of the paragraph with “Tranche 1 Closing Date” and (b) replacing the phrase “Section 6.9” in the tenth (10th)  line of the paragraph with “Section 6.10.”

 

 

17.                               Section 6.11 of the Agreement is hereby amended by replacing the phrase “the Closing” in the first (1st) line of the paragraph with “the Tranche 1 Closing, the Tranche 2 Closing or the Tranche 3 Closing.”

 

18.                               Section 6.13 of the Agreement is hereby deleted in its entirety and replaced with the following:

 

“6.13                  Board Representation.

 

(a)                                 The Company shall provide, as of the Tranche 1 Closing, the resignation of the director designated by the Company in conjunction with the appointment of the Purchaser Nominee to be appointed at the Tranche 1 Closing, if necessary to reduce the Board to six (6) members.  The Company agrees to use reasonable best efforts to cause the Board, at the Tranche 1 Closing, to be comprised of seven (7) individuals, of whom one (1) individual shall be nominated by Purchaser consistent with the terms of the Stockholder Agreement, subject to requirements of applicable Law and under the rules of the NYSE MKT.

 

(b)                                 If necessary, the Company shall provide, as of the Tranche 3 Closing, the resignation of the director designated by the Company in conjunction with the appointment of the Purchaser Nominee to be appointed at the Tranche 3 Closing.  The Company agrees to use reasonable best efforts to cause the Board, at the Tranche 3 Closing, to be comprised of eight (8) individuals, of whom one (1) individual, in addition to the individual nominated pursuant to Section 6.13(a), shall be nominated by Purchaser consistent with the terms of the Stockholder Agreement (the “Purchaser Nominees”), subject to requirements of applicable Law and under the rules of the NYSE MKT.”

 

19.                               Section 7.1 of the Agreement is hereby deleted in its entirety and replaced with the following:

 

“7.1                         Tranche 1 Closing.

 

(a)                                 Conditions to the Obligations of Each Party.  The obligations of each Party to effect the transactions relating to the Tranche 1 Closing contemplated by this Agreement shall be subject to the satisfaction or waiver of the following conditions:

 

(i)                                     No Order.  No Governmental Authority shall have enacted, issued, promulgated, enforced or entered any law (whether temporary, preliminary or permanent) which is then in effect and has the effect of making the transactions contemplated by this Agreement or the other Transaction Documents illegal or otherwise restricting, preventing or prohibiting consummation of the transactions contemplated by this Agreement or the other Transaction Documents.

 

(ii)                                  Stockholder Approval.  The Company shall have received the Stockholder Approval.

 

(iii)                               Required Approvals.  Purchaser shall have received the approvals set forth in Schedule 3.

 

 

(b)                                 Conditions to the Obligations of the Company.  The obligations of the Company to effect the transactions relating to the Tranche 1 Closing contemplated by this Agreement shall be subject to the satisfaction or waiver of the following additional conditions:

 

(i)                                     Representations and Warranties.  Each of the representations and warranties of Purchaser contained in this Agreement that are qualified by materiality or Material Adverse Effect shall be true and correct as of the Signing Date and as of the Tranche 1 Closing as though made on and as of the Tranche 1 Closing (except that those representations and warranties which address matters only as of a particular date need only be true and correct as of such date), and each of the representations and warranties which is not so qualified shall be true and correct in all material respects as of the Signing Date and as of the Tranche 1 Closing as though made on and as of the Tranche 1 Closing (except that those representations and warranties which address matters only as of a particular date need only remain true and correct in all material respects as of such date).

 

(ii)                                  Agreements and Covenants.  Purchaser shall have performed in all material respects, all obligations and complied with, in all material respects, its agreements and covenants to be performed or complied with by it under this Agreement on or prior to the Tranche 1 Closing.

 

(iii)                               Tranche 1 Closing Deliveries.  Purchaser shall have made all of the deliveries contemplated by Section 1.4(b).

 

(iv)                              Officer’s Certificate.  Purchaser shall have delivered to the Company a certificate, dated the Tranche 1 Closing Date, signed by an officer of Purchaser, certifying as to the satisfaction of the conditions specified in Sections 7.1(b)(i) and (ii).

 

(c)                                  Conditions to the Obligations of Purchaser.  The obligations of Purchaser to effect the transactions relating to the Tranche 1 Closing contemplated by this Agreement shall be subject to the satisfaction or waiver of the following additional conditions:

 

(i)                                     Representations and Warranties.  Each of the representations and warranties of the Company contained in this Agreement that are qualified by materiality or Material Adverse Effect shall be true and correct as of the Signing Date and as of the Tranche 1 Closing as though made on and as of the Tranche 1 Closing (except that those representations and warranties which address matters only as of a particular date need only be true and correct as of such date) and each of the representations and warranties which is not so qualified shall be true and correct in all material respects as of the Signing Date and as of the Tranche 1 Closing as though made on and as of the Tranche 1 Closing (except that those representations and warranties which address matters only as of a particular date need only be true and correct as of such date); provided, however, that with respect to Sections 2.4(b) and 2.17, all references to

 

 

the Toronto Stock Exchange shall not apply if the Company has delisted, or is in the process of delisting from, the Toronto Stock Exchange.

 

(ii)                                  Agreements and Covenants.  Each of the Company and each of its Subsidiaries shall have performed, in all material respects, all obligations and complied with, in all material respects, its agreements and covenants to be performed or complied with by it under this Agreement on or prior to the Tranche 1 Closing.

 

(iii)                               Stockholder Approval.  Purchaser shall have received a true and complete copy of the resolutions of the stockholders of the Company adopting the Stockholder Approval, certified by the Secretary or an Assistant Secretary of the Company.

 

(iv)                              [Intentionally deleted].

 

(v)                                 NYSE MKT Listing.  The Company shall have filed an application for the listing of the Offered Securities with the NYSE MKT and shall have received notification from NYSE MKT that the Offered Securities have been approved for listing, subject to official notice of issuance.

 

(vi)                              Tranche 1 Closing Deliveries.  The Company shall have made all of the deliveries contemplated by Section 1.4(a).

 

(vii)                           Officer’s Certificate.  The Company shall have delivered to Purchaser a certificate, dated the Tranche 1 Closing Date, signed by an officer of the Company, certifying as to the satisfaction of the conditions specified in Sections 7.1(c)(i), (ii) and (viii).

 

(viii)                        No Material Adverse Effect.  Since the date of this Agreement, there shall not have occurred any Material Adverse Effect, or any change, event, condition, state of facts or development that may, individually or in the aggregate, reasonably be expected to have a Material Adverse Effect.

 

(ix)                              Resignation of Directors; Re-Constitution of the Board.  If necessary such that the Board of Directors shall constitute six (6) members immediately prior to the Tranche 1 Closing, the director of the Company identified by the Company to Purchaser shall have submitted his resignation in writing to the Company with copies to Purchaser. Such resignation shall be effective as of or before the Tranche 1 Closing.  The Purchaser Nominee to be appointed at the Tranche 1 Closing shall have been appointed or elected as one (1) of the seven (7) members of the Board effective as of the Tranche 1 Closing Date.”

 

 

20.                               A new Section 7.2 shall be added to the Agreement and shall read as follows:

 

“7.2                         Tranche 2 Closing.

 

(a)                                 Conditions to the Obligations of Each Party.  The obligations of each Party to effect the transactions relating to the Tranche 2 Closing contemplated by this Agreement shall be subject to the satisfaction or waiver of the following conditions:

 

(i)                                     No Order.  No Governmental Authority shall have enacted, issued, promulgated, enforced or entered any law (whether temporary, preliminary or permanent) which is then in effect and has the effect of making the transactions contemplated by this Agreement or the other Transaction Documents illegal or otherwise restricting, preventing or prohibiting consummation of the transactions contemplated by this Agreement or the other Transaction Documents.

 

(b)                                 Conditions to the Obligations of the Company.  The obligations of the Company to effect the transactions relating to the Tranche 2 Closing contemplated by this Agreement shall be subject to the satisfaction or waiver of the following additional conditions:

 

(i)                                     Tranche 2 Closing Deliveries.  Purchaser shall have made all of the deliveries contemplated by Section 1.5(b).

 

(c)                                  Conditions to the Obligations of Purchaser.  The obligations of Purchaser to effect the transactions relating to the Tranche 2 Closing contemplated by this Agreement shall be subject to the satisfaction or waiver of the following additional conditions:

 

(i)                                     Tranche 2 Closing Deliveries.  The Company shall have made all of the deliveries contemplated by Section 1.5(a).

 

(ii)                                  Officer’s Certificate.  The Company shall have delivered to Purchaser a certificate, dated the Tranche 2 Closing Date, signed by an officer of the Company, certifying as to the satisfaction of the conditions specified in Sections 7.2(c)(iii), (iv) and (v).

 

(iii)                               Price of Molybdenum.  The price of molybdenum oxide shall have been at least $8.00 per pound as published by Platt’s Metals Week for thirty (30) consecutive days.

 

(iv)                              Water Permits.  The Nevada State Water Engineer shall have issued the water permits for the Mt. Hope Project.

 

(v)                                 Stockholder Approval.  If required, the Company shall have received stockholder approval for the transactions contemplated by this Agreement, as amended.”

 

 

21.                               A new Section 7.3 shall be added to the Agreement and shall read as follows:

 

“7.3                         Tranche 3 Closing.

 

(a)                                 Conditions to the Obligations of Each Party.  The obligations of each Party to effect the transactions relating to the Tranche 3 Closing contemplated by this Agreement shall be subject to the satisfaction or waiver of the following conditions:

 

(i)                                     No Order.  No Governmental Authority shall have enacted, issued, promulgated, enforced or entered any law (whether temporary, preliminary or permanent) which is then in effect and has the effect of making the transactions contemplated by this Agreement or the other Transaction Documents illegal or otherwise restricting, preventing or prohibiting consummation of the transactions contemplated by this Agreement or the other Transaction Documents.

 

(b)                                 Conditions to the Obligations of the Company.  The obligations of the Company to effect the transactions relating to the Tranche 3 Closing contemplated by this Agreement shall be subject to the satisfaction or waiver of the following additional conditions:

 

(i)                                     Tranche 3 Closing Deliveries.  Purchaser shall have made all of the deliveries contemplated by Section 1.6(b).

 

(c)                                  Conditions to the Obligations of Purchaser.  The obligations of Purchaser to effect the transactions relating to the Tranche 3 Closing contemplated by this Agreement shall be subject to the satisfaction or waiver of the following additional conditions:

 

(i)                                     Tranche 3 Closing Deliveries.  The Company shall have made all of the deliveries contemplated by Section 1.6(a).

 

(ii)                                  Officer’s Certificate.  The Company shall have delivered to Purchaser a certificate, dated the Tranche 3 Closing Date, signed by an officer of the Company, certifying as to the satisfaction of the conditions specified in Section 7.3(c)(iv), (v) and (vi).

 

(iii)                               Resignation of Directors; Re-Constitution of the Board.  If applicable, the director of the Company identified by the Company to Purchaser shall have submitted his resignation in writing to the Company with copies to Purchaser. Such resignation shall be effective as of the Tranche 3 Closing.  The Purchaser Nominee to be appointed at the Tranche 3 Closing shall have been appointed or elected as one (1) of the eight (8) members of the Board effective as of the Tranche 3 Closing Date.

 

(iv)                              Price of Molybdenum.  The price of molybdenum oxide shall have been at least $12.00 per pound as published by Platt’s Metals Week for thirty (30) consecutive days.

 

 

(v)                                 Resolution of Litigation.  The pending litigation relating to the decision of the Nevada State Water Engineer to grant the water permits for the Mt. Hope Project shall have become final and nonappealable or dismissed with prejudice.

 

(vi)                              Stockholder Approval.  If required, the Company shall have received stockholder approval for the transactions contemplated by this Agreement, as amended.”

 

22.                               The introductory paragraph to Section 8.1 of the Agreement is hereby amended by replacing the word “Closing” in the second (2nd) line of the paragraph with “Tranche 3 Closing.”

 

23.                               Section 8.1(b)(i) of the Agreement is hereby deleted in its entirety and replaced with the following:

 

“(i)                               the Tranche 1 Closing shall not have occurred on or before December 31, 2015, the Tranche 2 Closing shall not have occurred on or before the date which is two (2) years from the Tranche 1 Closing Date, or the Tranche 3 Closing shall not have occurred on or before the date which is three (3) years from the Tranche 1 Closing Date;”

 

24.                               The definition of “Closing” set forth in Schedule 1 to the Agreement is hereby deleted in its entirety and replaced with the following:

 

““Tranche 1 Closing,” “Tranche 2 Closing” and “Tranche 3 Closing”: As defined in Section 1.3.”

 

25.                               The definition of “Closing Date” set forth in Schedule 1 to the Agreement is hereby deleted in its entirety and replaced with the following:

 

““Tranche 1 Closing Date,” “Tranche 2 Closing Date” and “Tranche 3 Closing Date”: As defined in Section 1.3.”

 

26.                               The definition of “Closing Payment” set forth in Schedule 1 to the Agreement is hereby deleted in its entirety and replaced with the following:

 

““Closing Payments”: As defined in Section 1.1(b).”

 

27.                               The definition of “Company Break Fee” set forth in Schedule 1 to the Agreement is hereby deleted in its entirety and replaced with the following:

 

““Company Break Fee”: An amount equal to five percent (5%) of the aggregate Stock Purchase Prices for Tranche 1, Tranche 2 and Tranche 3, payable in cash.

 

28.                               The definition of “Permitted Liens” set forth in Schedule 1 to the Agreement is hereby amended by replacing the phrase “Closing Date” in the first (1st) line of the paragraph with “Tranche 1 Closing Date.”

 

 

29.                               The definition of “Per Share Price” set forth in Schedule 1 to the Agreement is hereby deleted in its entirety and replaced with the following:

 

““Per Share Price”:  (i) With respect to the Tranche 1 Shares, $0.30; (ii) with respect to the Tranche 2 Shares, $0.50; (iii)with respect to the Tranche 3 Shares, $0.6818; and (iv) with respect to the Offered Warrants, the VWAP of the shares of Common Stock for the ninety (90) days prior to the date of this Agreement.”

 

30.                               The definition of “Stock Purchase Price” set forth in Schedule 1 to the Agreement is hereby deleted in its entirety and replaced with the following:

 

““Stock Purchase Price”: The product of (i) the Tranche 1 Shares, the Tranche 2 Securities or the Tranche 3 Securities, as applicable, multiplied by (ii) the Per Share Price.”

 

31.                               The definition of “Availability” set forth in Schedule 2 to the Agreement is hereby deleted in its entirety and replaced with the following:

 

“Availability:                                                                       Loan Agreement to be signed no later than the date that is the two year anniversary of the Tranche 1 Closing Date, available for drawdown from that date until 30 months thereafter.”

 

32.                               The Form of Stockholder Agreement attached as Exhibit B to the Agreement is hereby deleted in its entirety and replaced with the Form of Stockholder Agreement attached as Exhibit B to this Amendment.

 

33.                               The definition of “Date” set forth in Exhibit D to the Agreement is hereby deleted in its entirety and replaced with the following:

 

“Date:                                                                                                            Tranche 1 Closing Date of the Investment and Securities Purchase Agreement (the “Purchase Agreement”).”

 

34.                               The definition of “Term” set forth in Exhibit D to the Agreement is hereby deleted in its entirety and replaced with the following:

 

“Term:                                                                                                      Commences on Tranche 1 Closing Date and terminates on the earlier of (a) execution of Loan Agreement with one or more Prime Chinese Banks and (b) two years from the Tranche 1 Closing Date (the “Term”).”

 

35.                               In reference to Section 2.1 of the Agreement, on February 6, 2015, the Company amended its bylaws to add a new Section 3.12 allowing the Board, by affirmative vote of a majority of the directors, to grant a leave of absence to a director for a specified period of time that shall not exceed six months. The amendment gives the Compensation Committee discretion to determine appropriate adjustments to compensation and stock awards with respect to any director granted a leave of absence.

 

 

Except as specifically set forth in this Amendment, the Agreement shall remain in full force and effect.

 

[Signature page follows]

 

 

IN WITNESS WHEREOF, the parties have executed this Amendment to be effective as of the date first above written.

 

	
 
    	
 
    
	
 
    	
GENERAL   MOLY, INC.
    
	
 
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
By:   
    	
/s/   Bruce D. Hansen
    
	
 
    	
Name:   
    	
Bruce   D. Hansen
    
	
 
    	
Title:   
    	
Chief   Executive Officer
    
	
 
    	
 
    
	
 
    	
 
    
	
 
    	
AMER   INTERNATIONAL GROUP CO., LTD.
    
	
 
    	
 
    
	
 
    	
 
    	
 
    
	
 
    	
By:   
    	
/s/   Wenyin Wang
    
	
 
    	
Name:   
    	
Wenyin   Wang
    
	
 
    	
Title:
    	
 
    

 

[Signature Page to Amendment No. 1 to Investment and Securities Purchase Agreement]

 

 

Exhibit B
 (to Investment and Securities Purchase Agreement)

 

Form of Stockholder Agreement

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