Document:

EX-10.1

 Exhibit 10.1 

March 21, 2014 
 David J. Mazzo, Ph.D. 

Chief Executive Officer and President 
 Regado Biosciences, Inc.

 120 Mountain View Boulevard 
 Basking Ridge, NJ 07920 

Re: 3(a)(9) Exchange Agreement 
 Dear
Dr. Mazzo: 
 This document confirms the agreement of Regado Biosciences, Inc., a Delaware corporation (the
“Company”), and the holders of the Common Stock listed on Schedule I attached hereto (each a “Common Stock Holder” and collectively, the “Common Stock Holders”), pursuant to
which the Common Stock Holders have agreed to exchange an aggregate of 2,000,000 shares (the “Purchased Shares”) of Common Stock, par value $0.001 per share (the “Common Stock”), of the Company
purchased by the Common Stock Holders pursuant to that certain Securities Purchase Agreement, dated as of January 31, 2014, by and among the Company, the Common Stock Holders and the other investors listed therein (the
“SPA”), for an aggregate of 10,000 shares (the “Exchange Shares”) of the Company’s newly designated Series F Preferred Stock, par value $0.001 per share (the “Preferred
Stock”), pursuant to Section 3(a)(9) of the Securities Act, on terms specified below. Capitalized terms not otherwise defined herein shall have the meanings ascribed to them in the SPA. 

(1)    No later than the close of business on the first business day after the date hereof (the “Closing
Date”) and subject to the satisfaction or waiver of the conditions set forth herein, the Common Stock Holders shall exchange the Purchased Shares for the Exchange Shares (the “Exchange”) in the respective amounts
listed on Schedule I. On the Closing Date: (a) the Company and the Common Stock Holders shall jointly and irrevocably instruct the Transfer Agent to cancel the direct registration book-entry statements from the Transfer Agent evidencing the
Purchased Shares, (b) the Company shall file the certificate of designations for the Preferred Stock, in the form attached hereto as Exhibit A (the “Certificate of Designations”), with the Secretary of State of Delaware
and (c) upon confirmation that the Certificate of Designations has been filed with the Secretary of State of Delaware, the Company shall issue and deliver to the Common Stock Holders certificates representing the Exchange Shares, in the amounts
and registered in the names set forth on Schedule I. The Exchange shall be expressly conditioned upon and subject to receipt by the Company of irrevocable written consents, in form and substance reasonably satisfactory to the Company (the
“Consents”), from (i) the requisite investors under the SPA and (ii) Cowen and Co., each to the effect that the parties thereto consent, as applicable, to (x) the Exchange and the issuance of the Exchange
Shares and (ii) the inclusion of the shares of Common stock issuable upon conversion of the Exchange Shares (the “Conversion Shares”) in any registration statement filed by the Company pursuant to the requirements of the
SPA. Without limiting the generality of the foregoing, the Common Stock Holders shall, and shall cause any Affiliate which is a party to the SPA, to execute and deliver a Consent on or prior to the Closing Date. 

(2)    The Company represents and warrants to each Common Stock Holder as follows: 

(a)    Neither the Company nor any of its Affiliates nor any Person acting on behalf of or for the benefit
of any of the forgoing, has paid or given, or agreed to pay or give, directly or indirectly, any commission or other remuneration (within the meaning of Section 3(a)(9) and the rules and regulations of the Commission promulgated thereunder) for
soliciting the Exchange. Assuming the representations and warranties of the Common Stock Holders contained herein and in the SPA are true and complete, the Exchange will qualify for the registration exemption contained in Section 3(a)(9) of the
Securities Act. 
 (b)    It has the requisite corporate power and authority and power to enter into
this Agreement and to consummate the Exchange and, assuming receipt of the Consents, such transactions shall not contravene any contractual, regulatory, statutory or other obligation or restriction applicable to the Company. 

 (c)    It has a sufficient number of authorized and unissued
shares of Preferred Stock to consummate the Exchange. 
 (d)    It has reserved a sufficient number of
shares of Common Stock as may be necessary to fully permit the conversion of the Preferred Stock and the issuance of the Conversion Shares, without regard to any beneficial ownership limits set forth in the Certificate of Designations. 

(3)    Each Common Stock Holder, as to itself only, represents and warrants to the Company as follows: 

(a)    It has the requisite power and authority to enter into this Agreement and consummate the Exchange.

 (b)    It hereby confirms that its representations and warranties contained in Sections 3.2(b)
through 3.2(g) of the SPA (inclusive) are hereby remade as if set forth herein at length and such representations and warranties are true and correct as of the date hereof and shall be true and correct on the Closing Date. 

(c)    It is the record and beneficial owner of, and has valid and marketable title to, the Purchased
Shares being exchanged by it pursuant to this Agreement, free and clear of any lien, pledge, restriction or other encumbrance (other than restrictions arising pursuant to the SPA and restrictions arising pursuant to applicable securities laws), and
has the absolute and unrestricted right, power and capacity to surrender and exchange the Purchase Shares being exchanged by it pursuant to this Agreement, free and clear of any lien, pledge, restriction or other encumbrance. It is not a party to or
bound by, and the Purchased Shares being exchanged by it pursuant to this Agreement are not subject to, any agreement, understanding or other arrangement (i) granting any option, warrant or right of first refusal with respect to such Purchased
Shares to any Person, (ii) restricting its right to surrender and exchange such Purchased Shares as contemplated by this Agreement, or (iii) restricting any other of its rights with respect to such Purchased Shares. 

(d)    Neither it nor any of its Affiliates nor any Person acting on behalf of or for the benefit of any
of the forgoing, has paid or given, or agreed to pay or give, directly or indirectly, any commission or other remuneration (within the meaning of Section 3(a)(9) and the rules and regulations of the Commission promulgated thereunder) for
soliciting the Exchange. 
 (c)    It understands that, the Preferred Stock and the Conversion Shares
(collectively, the “Securities”) are characterized as “restricted securities” under the U.S. federal securities laws inasmuch as they are being acquired in exchange for restricted securities and that under such laws
and applicable regulations such securities may be resold without registration under the Securities Act only in certain limited circumstances. 

(d)    It is understood that, except as provided in Section 4.1(b) of the SPA, any certificate or
book-entry statement representing the Securities shall bear the legend set forth in Section 4.1(b) of the SPA. 

(4)    Subject to the receipt of the Consents, the term “Securities” (as defined in the SPA) shall be deemed to
include the Exchange Shares and the Conversion Shares and the term “Registrable Shares” (as defined in the SPA) shall be deemed to include the Conversion Shares. 

(5)    This agreement, and any action or proceeding arising out of or relating to this agreement, shall be exclusively
governed by the laws of the State of New York. 
 (6)    On the Closing Date, upon completion of the Exchange, the
Common Stock Holders shall reimburse the Company on demand for the Company’s reasonable out-of-pocket expenses incurred in connection with effecting the Exchange, including the reasonable fees and disbursements of counsel to the Company, not to
exceed $25,000 in total. 

 (7)    In the event that any part of this agreement is declared by any court
or other judicial or administrative body to be null, void or unenforceable, said provision shall survive to the extent it is not so declared, and all of the other provisions of this agreement shall remain in full force and effect. In such an event,
the Common Stock Holders and the Company shall endeavor in good faith negotiations to modify this agreement so as to affect the original intent of the parties as closely as possible. 

(8)    This Agreement may be executed in two or more counterparts, each of which shall constitute an original, but all of
which, when taken together, shall constitute but one instrument, and shall become effective when one or more counterparts have been signed by each party hereto and delivered to the other parties. 

[SIGNATURE PAGE FOLLOWS] 

 Please sign to acknowledge agreement with the above terms and return to the undersigned. 

 

			
	Common Stockholder:
	
	Biotechnology Value Fund, L.P.
	
	By:   BVF Partners L.P. General Partner
		
	By:	 	BVF, Inc., General Partner
		
	By:	 	/s/ Mark Lampert
	Name:	 	Mark Lampert
	Title:	 	President

  

			
	
	Biotechnology Value Fund II, L.P.
	
	By:   BVF Partners L.P. General Partner
		
	By:	 	BVF, Inc., General Partner
		
	By:	 	/s/ Mark Lampert
	Name:	 	Mark Lampert
	Title:	 	President

  

			
	
	Investment 10, LLC
	
	By:   BVF Partners L.P. Attorney-in-Fact
		
	By:	 	BVF, Inc. General Partner
		
	By:	 	/s/ Mark Lampert
	Name:	 	Mark Lampert
	Title:	 	President

 Acknowledged and agreed to: 

Regado Biosciences, Inc. 
  

			
		
	By:	 	      /s/  David J. Mazzo
		 	David J. Mazzo, Ph.D.
		 	Chief Executive Officer

 SCHEDULE I 

 

									
	 Common Stock Holder
	  	Common Stock to be
Exchanged	 	  	Preferred Stock
to Be Received	 
	 Biotechnology Value Fund, LP
	  	 	915,345	  	  	 	4,577	  
	 Biotechnology Value Fund II, LP
	  	 	526,436	  	  	 	2,632	  
	 Investment 10, LLC
	  	 	558,219	  	  	 	2,791	  
		  	  
	  
	 	  	  
	  
	 
	 Total
	  	 	2,000,000	  	  	 	10,000	  
		  	  
	  
	 	  	  
	  
	 

 Exhibit A 

Certificate of Designations 

[attached]EX-10.1

 Exhibit 10.1 

EXECUTION COPY 

AMENDMENT NO. 4 TO THIRD AMENDED AND RESTATED 

RECEIVABLES PURCHASE AGREEMENT 

THIS AMENDMENT NO. 4 TO THIRD AMENDED AND RESTATED RECEIVABLES PURCHASE AGREEMENT, dated as of March 21, 2014 (this
“Amendment”), is by and among: 
 (a) Tenneco Automotive RSA Company, a Delaware
corporation (“Seller”), 
 (b) Tenneco Automotive Operating Company Inc., a Delaware
corporation (“Tenneco Operating”), as Servicer (the “Servicer” and, together with Seller, the “Seller Parties”), 

(c) Chariot Funding LLC (as successor by merger to Falcon Asset Securitization Company LLC), a Delaware limited liability
company (“Chariot”), and Liberty Street Funding LLC, a Delaware limited liability company, as Conduits (each, a “Conduit”), 

(d) The entities party hereto as “Committed Purchasers” (the “Committed
Purchasers” and together with the Conduits, the “Purchasers”), 

(e) The Bank of Nova Scotia (“Scotiabank”), Wells Fargo Bank, N.A.
(“Wells Fargo”) and JPMorgan Chase Bank, N.A. (“JPMorgan”), as Co-Agents (each a “Co-Agent”), and 

(f) JPMorgan, in its capacity as administrative agent under the Receivables Purchase Agreement (as defined below) (in such
capacity, together with its successors and assigns, the “Administrative Agent” and, together with each of the Co-Agents, the “Agents”), 

and consented to by Wells Fargo, as Second Lien Agent under the Intercreditor Agreement (as defined below) (in such capacity, together with its successors and
assigns, the “Second Lien Agent”). 
 W I T N E S S E T H : 

WHEREAS, Seller, Servicer, the Purchasers, the Co-Agents and the Administrative Agent are parties to that certain Third
Amended and Restated Receivables Purchase Agreement dated as of March 26, 2010 (as heretofore amended, the “Receivables Purchase Agreement”); 

WHEREAS, Seller, Servicer, the Administrative Agent, as First Lien Agent, and the Second Lien Agent are parties to that certain
Intercreditor Agreement dated as of March 26, 2010 (as heretofore amended, the “Intercreditor Agreement”); 

WHEREAS, the parties wish to amend the Receivables Purchase Agreement and extend the facility evidenced thereby on the
terms and subject to the conditions set forth herein; and 
 WHEREAS, the Purchasers and Agents are willing to agree
to, and the Second Lien Agent is willing to consent to, such amendments and extension subject to the terms and conditions set forth herein. 

 NOW, THEREFORE, in consideration of the premises herein contained, and for
other good and valuable consideration, the receipt of which is hereby acknowledged, the parties hereto hereby agree as follows: 
 1.
Defined Terms. Capitalized terms used herein and not otherwise defined shall have their meanings as attributed to such terms in the Receivables Purchase Agreement. 

2. Amendments. Upon satisfaction of the conditions precedent set forth in Section 3 hereof, the Receivables Purchase Agreement is
hereby amended as of the Effective Date as follows: 
 (a) Clause (d) of the preamble to the Receivables Purchase Agreement is amended
and restated in its entirety to read as follows: 
 “(d) Chariot Funding LLC, a Delaware limited liability company, and
its assigns hereunder (collectively, the “Chariot Committed Purchasers” and, together with Chariot in its capacity as Conduit, the “Chariot Group”), The Bank of Nova Scotia, a Canadian chartered bank
(“Scotiabank”), and its assigns hereunder (collectively, the “Liberty Street Committed Purchasers” and, together with Liberty Street, the “Liberty Street Group”) and Wells Fargo
Bank, N.A., a national banking association (“Wells Fargo”), and its assigns hereunder (collectively, the “Wells Fargo Committed Purchasers” or the “Wells Fargo Group”), 

(b) Section 3.1 of the Receivables Purchase Agreement is hereby amended and restated in its entirety to read as follows: 

“Section 3.1 CP Costs. Seller shall pay CP Costs with respect to the Capital funded by any Conduit or Committed
Purchaser through issuing Commercial Paper for each day that any such Capital is outstanding. Capital funded by a Conduit substantially with Pooled Commercial Paper will accrue CP Costs each day on a pro rata basis, based upon the percentage share
such Capital represents in relation to all assets held by such Conduit and funded substantially with related Pooled Commercial Paper.” 

(c) Section 4.1 of the Receivables Purchase Agreement is hereby amended and restated in its entirety to read as follows: 

“Section 4.1 Committed Purchaser Funding. Any portion of the Capital funded by the Committed Purchasers in a Group
that has not been funded through the issuance of Commercial Paper, shall accrue Yield for each day during each Tranche Period at either the LIBO Rate, the Transaction Rate or the Prime Rate in accordance with the terms and conditions hereof. Until
Seller gives notice to the applicable Co-Agent of another Discount Rate in accordance with Section 4.4, the initial Discount Rate for any interest in a Purchaser Interest transferred to the Committed Purchasers in a Group by the applicable
Conduit pursuant to the terms and conditions of any Liquidity Agreement shall be (i) with respect to any Group other than the Chariot Group, the Prime Rate; provided that, the applicable Co-Agent for such Group has provided the
Seller with written notice of such transfer as of the date of such transfer; and (ii) with respect to the Chariot Group or any other Group that fails to provide written notice of such transfer in accordance with the preceding clause (i), the
LIBO Rate. If the Committed Purchasers in a Group acquire by assignment from the applicable Conduit any interest in a Purchaser Interest pursuant to a Liquidity Agreement, Capital allocable to each interest so assigned shall each be deemed to have a
new Tranche Period commencing on the date of any such assignment.” 

  
 2 

 (d) Section 4.6 of the Receivables Purchase Agreement is hereby amended and restated in its
entirety to read as follows: 
 “Section 4.6 Liquidity Agreement Fundings. 

(a) The parties hereto acknowledge that each Conduit may assign all or any portion of its Purchaser Interests to the Committed
Purchasers in its Group at any time pursuant to its Liquidity Agreement to finance or refinance the necessary portion of its Purchaser Interests through a funding under such Liquidity Agreement to the extent available. The fundings under each
Liquidity Agreement will accrue Yield in accordance with this Article IV. Regardless of whether a funding of Purchaser Interests by Committed Purchasers constitutes the direct purchase of an interest in Purchaser Interests hereunder, an assignment
under the applicable Liquidity Agreement of an interest in Purchaser Interests originally funded by a Conduit or the sale of one or more participations or other interests under such Liquidity Agreement of an interest in a Purchaser Interest
originally funded by a Conduit, each Committed Purchaser participating in a funding of an interest in Purchaser Interests shall have the rights and obligations of a “Purchaser” hereunder with the same force and effect as if it had directly
purchased such interest from Seller hereunder. 
 (b) The Chariot Group Committed Purchaser and the Chariot Agent, represent
and warrant that they are parties to the Chariot Liquidity Agreement relating to the Purchaser Interests, under which JPMorgan Chase as an “APA Bank” under the Chariot Liquidity Agreement has issued a “Commitment” to the
Committed Purchaser to purchase the Purchaser Interest (or any portion thereof or interests therein), or make limited recourse loans in respect of the Purchaser Interest in at least all circumstances in which the Chariot Committed Purchaser is
required to make any purchase hereunder. Each of the Chariot Conduit and Chariot Committed Purchaser agrees that, to the extent the Chariot Committed Purchaser is unable to purchase all or any portion of the Chariot Group’s Percentage of a
Purchase Price specified in a Purchase Notice delivered in accordance with Section 1.2 (the “Purchase Deficit”) through the issuance of Commercial Paper, it will enforce its rights under the Chariot Liquidity Agreement against
the APA Bank in order to fund such Purchase Deficit. The Chariot Agent agrees that (A) to the extent the Chariot Committed Purchaser is unable to purchase such Purchase Deficit through the issuance of Commercial Paper, it will cause the Chariot
Conduit and the Chariot Committed Purchaser to enforce their rights under the Chariot Liquidity Agreement against the APA Bank in order to fund such Purchase Deficit, (B) it will ensure that all times that its Commitment will be supported in
full by a “Commitment” from the APA Bank under the Chariot Liquidity Agreement and (C) it will ensure that Chariot will not enter into an asset purchase agreement with another APA Bank without the consent of the Seller (which consent
will not be unreasonably withheld). The Chariot Agent agrees to notify the Seller at least thirty (30) days prior to the effective date of any proposed amendment, supplement or modification to the Chariot Liquidity Agreement that would
adversely affect the interests of the Seller.” 
 (e) Section 5.1(p) of the Receivables Purchase Agreement is hereby amended and
restated in its entirety to read as follows: 
 “(p) Not an Investment Company. Such Seller Party is not and,
will not as a result of the transactions contemplated hereby be, required to register as an “investment company” under the Investment Company Act of 1940, as amended, without reliance on the exceptions contained in Sections 3(c)(1) or
3(c)(7) thereunder unless such Seller Party is entitled to the benefit of the exclusion for loan securitizations in the Volcker Rule under C.F.R. 75.10(c)(8).” 

  
 3 

 (f) Section 5.1(y)(ii) of the Receivables Purchase Agreement is hereby amended and restated
in its entirety to read as follows: 
 “(ii) Such Seller Party has implemented and maintains in effect policies and
procedures designed to reasonably ensure compliance by such Seller Party and its Subsidiaries, directors, officers, employees and agents with Anti-Corruption Laws and applicable Sanctions, and such Seller Party, its Subsidiaries and, to the
knowledge of such Seller Party, such Seller Party’s directors, officers, employees and agents, are in compliance with Anti-Corruption Laws and applicable Sanctions in all material respects. None of (a) such Seller Party, its Subsidiaries
or, to the knowledge of such Seller Party, any of such Seller Party’s directors, officers or employees, or (b) to the knowledge of such Seller Party, any agent of such Seller Party or any Subsidiary that will act in any capacity in
connection with or benefit from the facility established hereby, is a Sanctioned Person. No Incremental Purchase, use of proceeds or other transaction by such Seller Party contemplated by this Agreement will, to such Seller Party’s knowledge,
violate Anti-Corruption Laws or applicable Sanctions.” 
 (g) Section 7.1 of the Receivables Purchase Agreement is hereby amended
by adding the following clause (m) immediately following clause (l) thereof: 
 “(m) Anti-Corruption
Laws. Such Seller Party will maintain in effect and enforce policies and procedures designed to reasonably ensure compliance by such Seller Party and each of its Subsidiaries, directors, officers, employees and agents with Anti-Corruption Laws
and applicable Sanctions.” 
 (h) Section 7.2 of the Receivables Purchase Agreement is hereby amended by adding the following
clause (k) immediately following clause (j) thereof: 
 “(k) Anti-Corruption Laws. The Seller will not
request any Incremental Purchase, and none of the Seller Parties shall use, and shall use commercially reasonable efforts to procure that its Subsidiaries and its or their respective directors, officers, employees and agents shall not use, the
proceeds of any Incremental Purchase (A) in furtherance of an offer, payment, promise to pay, or authorization of the payment or giving of money, or anything else of value, to any Person in violation of any Anti-Corruption Laws, (B) to any
Seller Party’s knowledge for the purpose of funding, financing or facilitating any activities, business or transaction of or with any Sanctioned Person, or in any Sanctioned Country, or (C) in any manner that, to the knowledge of any
Seller Party, would result in the violation of any Sanctions applicable to any party hereto.” 
 (i) The first sentence of
Section 10.1 of the Receivables Purchase Agreement is hereby amended by replacing the word “taxes” with the defined term “Taxes”. 

(j) Section 10.1(c) of the Receivables Purchase Agreement is hereby amended and restated in its entirety to read as follows: 

“(c) Excluded Taxes;” 

(k) The first sentence of Section 10.2 of the Receivables Purchase Agreement is hereby amended and restated in its entirety to read as
follows: 
 “If any Regulatory Change, except for (a) changes in the rate of tax on the overall net income of a
Purchaser or Affected Entity or (b) taxes excluded by Section 10.1, (i) subjects any Purchaser or any Affected Entity to any charge or withholding on or with respect to this 

  
 4 

 
Agreement or any other Funding Agreement or a Purchaser’s or Affected Entity’s obligations under this Agreement or any other Funding Agreement, or on or with respect to the Receivables
or (ii) imposes, modifies or deems applicable any reserve, assessment, fee, insurance charge, special deposit or similar requirement against assets of, deposits with or for the account of, or liabilities of an Affected Entity or a Purchaser, or
credit extended by an Affected Entity or a Purchaser pursuant to this Agreement or any other Funding Agreement (except the reserve requirement reflected in the LIBO Rate) or (iii) imposes any other condition affecting this Agreement or any
Funding Agreement and the result of any of the foregoing is to increase the cost to an Affected Entity or a Purchaser of performing its obligations under this Agreement or any other Funding Agreement, or to reduce the rate of return on an Affected
Entity’s or Purchaser’s capital as a consequence of its obligations under this Agreement or any other Funding Agreement, or to reduce the amount of any sum received or receivable by an Affected Entity or a Purchaser under this Agreement or
any other Funding Agreement, or to require any payment calculated by reference to the amount of interests or loans held or interest received by it then, on the forty-fifth (45th) day after demand by the related Co-Agent, Seller shall pay to
such Co-Agent, for the benefit of the relevant Affected Entity or Purchaser, such amounts charged to such Affected Entity or Purchaser or such amounts to otherwise compensate such Affected Entity or such Purchaser for such increased cost or such
reduction; provided, that solely in the case of a Regulatory Change of the type described in clause (iii) of the definition thereof, Seller shall only be liable for amounts in respect of increased costs or reduced returns for the
period of up to ninety (90) days prior to the date on which such demand was made.” 
 (l) The Receivables Purchase Agreement is
hereby amended by adding the following Section 10.4 immediately following Section 10.3 thereof: 
 “Section
10.4 Taxes 
 (a) Any and all payments by or on account of any obligation of the Seller under any Transaction Document
shall be made without deduction or withholding for any Taxes, except as required by applicable law. If any applicable law (as determined in the good faith discretion of the Seller) requires the deduction or withholding of any Tax from any such
payment by the Seller, then the Seller shall be entitled to make such deduction or withholding and shall timely pay the full amount deducted or withheld to the relevant Governmental Authority in accordance with applicable law and, if such Tax is an
Indemnified Tax, then the sum payable by the Seller shall be increased as necessary so that after such deduction or withholding has been made (including such deductions and withholdings applicable to additional sums payable under this
Section 10.4) the applicable Indemnified Party receives an amount equal to the sum it would have received had no such deduction or withholding been made. 

(b) The Seller shall timely pay to the relevant Governmental Authority in accordance with applicable law, or at the written
request of the applicable Indemnified Party timely reimburse it for the payment of, any Other Taxes. 
 (c) The Seller shall
indemnify each Indemnified Party, on the first Monthly Payment Date which is at least 45 days after demand therefor, for the full amount of any Indemnified Taxes (including Indemnified Taxes imposed or asserted on or attributable to amounts payable
under this Section 10.4) payable or paid by such Indemnified Party or required to be withheld or deducted from a payment to such Indemnified Party and any reasonable expenses arising therefrom or with respect thereto, whether or not such
Indemnified Taxes were correctly or 

  
 5 

 
legally imposed or asserted by the relevant Governmental Authority. The Administrative Agent and each Co-Agent will promptly notify the Seller of any event of which it has knowledge, which will
entitle it or any Funding Source in its Group to compensation pursuant to this Section 10.4; provided, however, that failure of any Indemnified Party to demand indemnification for any Taxes shall not constitute a waiver of such
right to indemnification, except that the Seller shall not be required to indemnify an Indemnified Party for Taxes under this Section 10.4 unless such Indemnified Party notifies the Seller of such claim no later than 45 days after such
Indemnified Party has knowledge of such Taxes being imposed or arising. Any notice claiming compensation under this Section 10.4 shall set forth in reasonable detail the additional amount or amounts to be paid to it hereunder and shall
be conclusive in the absence of manifest error. Absent manifest error, the Seller shall be obligated to any claim for tax indemnity promptly upon receipt of such notice. 

(d) Each Indemnified Party agrees that it will use reasonable efforts to reduce or eliminate any claim for indemnity pursuant
to this Section 10.4, including, subject to applicable law, a change in the funding office of such Indemnified Party; provided, however, that nothing contained herein shall obligate any Indemnified Party to take any
action that imposes on such Indemnified Party any material additional costs or imposes material legal or regulatory burdens, nor which, in such Indemnified Party’s reasonable opinion, would have a material adverse effect on its business,
operations or financial condition. 
 (e) If any Indemnified Party receives a refund of any Taxes as to which it has been
indemnified pursuant to this Section 10.4 (including by the payment of additional amounts pursuant to this Section 10.4), it shall pay to the Seller an amount equal to such refund (but only to the extent of indemnity payments
made under this Section with respect to the Taxes giving rise to such refund), net of all out-of-pocket expenses (including Taxes) of such Indemnified Party and without interest (other than any interest paid by the relevant Governmental Authority
with respect to such refund). The Seller, upon the request of such Indemnified Party, shall repay to such Indemnified Party the amount paid over pursuant to this clause (e) (plus any penalties, interest or other charges imposed by the
relevant Governmental Authority) in the event that such Indemnified Party is required to repay such refund to such Governmental Authority. Notwithstanding anything to the contrary in this clause (e), in no event will the Indemnified
Party be required to pay any amount to the Seller pursuant to this clause (e) the payment of which would place the Indemnified Party in a less favorable net after-Tax position than the Indemnified Party would have been in if the Tax
subject to indemnification and giving rise to such refund had not been deducted, withheld or otherwise imposed and the indemnification payments or additional amounts with respect to such Tax had never been paid. This paragraph shall not be construed
to require any Indemnified Party to make available its Tax returns (or any other information relating to its Taxes that it deems confidential) to the Seller or any other Person. 

(f) If the Administrative Agent or any Purchaser is entitled to an exemption from or reduction of withholding or backup
withholding tax (“Withholding Tax”) with respect to any payments under this Agreement it shall deliver to the Seller, Servicer or Administrative Agent, prior to the Monthly Payment Date and as otherwise prescribed by
applicable law, such valid, properly completed and duly executed forms, certificates, and documentation (including Internal Revenue Service Form W-8ECI, W-8BEN, W-8IMY, or W-9 or successor form of the foregoing) prescribed by applicable law or
reasonably requested by Seller, Servicer or Administrative Agent as will permit such payments to be made without or at a reduced rate of withholding. The Purchasers shall replace or update such forms when necessary to maintain any applicable
exemption and as requested by the Administrative Agent or the Seller. The Purchasers agree to hold the Administrative Agent and the Seller harmless from any Withholding Taxes relating to payments by the Seller to the Purchaser or the Administrative
Agent. 

  
 6 

 (g) If a payment made to a Purchaser, Servicer or Administrative Agent hereunder
would be subject to U.S. federal Withholding Tax imposed by FATCA if such Purchaser, Servicer or Administrative Agent were to fail to comply with the applicable reporting requirements of FATCA (including those contained in Section 1471(b) or
1472(b) of the Internal Revenue Service Code, as applicable), such Purchaser, Servicer or Administrative Agent shall deliver to the Seller at the time or times prescribed by law and at such time or times reasonably requested by the Seller, such
documentation prescribed by applicable law (including as prescribed by Section 1471(b)(3)(C)(i) of the Internal Revenue Service Code) and such additional documentation reasonably requested by the Seller as may be necessary for the Seller to
comply with its obligations under FATCA and to determine that such Purchaser, Servicer or Administrative Agent has complied with such Purchaser, Servicer or Administrative Agent’s obligations under FATCA or to determine the amount to deduct and
withhold from such payment.” 
 (m) Clause (v) of the definition of “Eligible Receivable” appearing in Exhibit I to the
Receivables Purchase Agreement is amended and restated in its entirety to read as follows: 
 “(v) which by its terms is
due and payable within 70 days of the original billing date therefor and has not had its payment terms extended, provided, however, that not more than 10.0% of the aggregate Outstanding Balance of all Receivables may have terms
permitting payment to be made within 71-120 days of the original billing date therefor and still be “Eligible Receivables” so long as their payment terms have not been extended, provided, furthermore, that not
more than 5.0% of the aggregate Outstanding Balance of all Receivables may have terms permitting payment to be made more than 120 days after the original billing date therefor and still be “Eligible Receivables” so long as
their payment terms have not been extended,” 
 (n) The following definitions appearing in Exhibit I to the Receivables Purchase
Agreement are hereby amended and restated in their entireties to read, respectively, as follows: 
 “Concentration
Limit” means, at any time, for any Obligor, 3.6% of the aggregate Outstanding Balance of all Eligible Receivables after subtracting the Pass Through Reserve, the Warranty Reserve, the Sales-Promotion Reserve and the Price Give Back
Accrual, or such other higher amount (a “Special Concentration Limit”) for such Obligor designated by the Administrative Agent; provided, that in the case of an Obligor and any Affiliate of such Obligor, the
Concentration Limit shall be calculated as if such Obligor and such Affiliate are one Obligor; provided, further, that any Agent may, upon not less than ten (10) Business Days’ notice to Seller, cancel any Special
Concentration Limit. As of March 21, 2014, and subject to cancellation as described above, (i) any Obligor and its Affiliates shall have a Special Concentration Limit equal to 6% of aggregate Outstanding Balance of all Eligible Receivables
after subtracting the Pass Through Reserve, the Warranty Reserve, the Sales-Promotion Reserve and the Price Give Back Accrual, so long as such Obligor’s long term debt ratings equal or exceed “BBB-” from Standard &
Poor’s Ratings Services, a Standard & Poor’s Financial Services LLC business (“S&P”) and “Baa3” from Moody’s Investors Service, Inc. (“Moody’s”); and
(ii) the Special Concentration Limits of (a) Ford Motor Company and its Affiliates shall be equal to 6.0% of the aggregate Outstanding Balance of all Non-Defaulted Receivables, (b) General Motors Company and its Affiliates shall be
equal to 6.0% of the aggregate Outstanding Balance of all Non-Defaulted Receivables, and (c) Uni-Select Inc. and its Affiliates shall be equal to 4.5% of the aggregate Outstanding Balance of all Eligible Receivables after subtracting the Pass
Through Reserve, the Warranty Reserve, the Sales-Promotion Reserve and the Price Give Back Accrual. 

  
 7 

 “CP Costs” means, for each day, (A) for Liberty
Street, the cost (as determined by the Liberty Street Agent and which shall include commissions of placement agents and dealers, incremental carrying costs incurred with respect to Pooled Commercial Paper maturing on dates other than those on which
corresponding funds are received by Liberty Street, other borrowings by Liberty Street (other than under any commercial paper program support agreement) and any other costs associated with the issuance of Pooled Commercial Paper) of or related to
the issuance of Pooled Commercial Paper, including, without limitation, all discount or yield accrued thereon, that are allocated, in whole or in part, by Liberty Street or the Liberty Street Agent to fund or maintain its Purchaser Interests on such
day and (B) for Chariot, an amount equal to (i) the product of (x) the Daily/90 Day LIBOR Rate in respect of such day, and (y) the aggregate Capital associated with each Purchaser Interest that shall have been funded by Chariot
with the issuance of Commercial Paper, divided by (ii) 360. If Seller shall request any Incremental Purchase during any period of time determined by the applicable Conduit Agent (other than the Conduit Agent for Chariot) in its sole discretion
to result in incrementally higher CP Costs applicable to such Incremental Purchase, the Capital associated with any such Incremental Purchase shall, during such period, be deemed to be funded by such Conduit in a special pool (which may include
capital associated with other receivable purchase facilities) for purposes of determining the CP Costs applicable only to such special pool and charged each day during such period against such Capital in lieu of the CP Costs described in the
previous sentence. All CP Costs shall be allocated to the Capital of each Conduit under this Agreement in accordance with the provisions of Section 3.1. 

“LIBO Rate” means: 

(A) with respect to the Chariot Group, for each day during the relevant Tranche Period, the rate per annum equal to the sum of
(i) the Daily/90 Day LIBOR Rate for such day (or if such day is not a Business Day, then the immediately preceding Business Day), plus (ii) 2.50% per annum; 

(B) with respect to the Liberty Street Group, the rate per annum equal to the sum of (i) (a) the London interbank
offered rate administered by ICE Benchmark Administration Limited (or any other Person that takes over the administration of such rate) for deposits in U.S. dollars appearing on Reuters Screen LIBOR01 as of 11:00 a.m. (London time) two
(2) Business Days prior to the first day of the relevant Tranche Period, and having a maturity equal to such Tranche Period, provided that, (I) if Reuters Screen LIBOR01 is not available to a Co-Agent for any reason, the
applicable LIBO Rate for the relevant Tranche Period shall instead be the applicable London interbank offered rate for deposits in U.S. dollars as reported by any other generally recognized financial information service as of 11:00 a.m. (London
time) two (2) Business Days prior to the first day of such Tranche Period, and having a maturity equal to such Tranche Period, and (II) if no such London interbank offered rate is available to a Co-Agent, the applicable LIBO Rate for the
relevant Tranche Period shall instead be the rate determined by such Co-Agent to be the rate at which such Co-Agent offers to place deposits in U.S. dollars with first-class banks in the London interbank market at approximately 11:00 a.m. (London
time) two (2) Business Days prior to the first day of such Tranche Period, in the approximate amount to be funded at the LIBO Rate and having a maturity equal to such Tranche Period, divided by (b) one minus the maximum aggregate reserve
requirement (including all basic, supplemental, marginal or other reserves) which is imposed against such Co-Agent in respect of Eurocurrency liabilities, as defined in Regulation D of the Board of Governors of the Federal Reserve System as in
effect from time to time (expressed as a decimal), applicable to such Tranche Period plus (ii) 2.50% per annum; or 

  
 8 

 (C) with respect to the Wells Fargo Group, for each day during the relevant
Tranche Period, the rate per annum equal to the sum of (i) LMIR as of 11:00 a.m. (London time) on such day (or if such day is not a Business Day, on the immediately preceding Business Day) plus (ii) the Wells Fargo Margin. 

The LIBO Rate shall be rounded, if necessary, to the next higher 1/16 of 1%. 

“Liquidity Termination Date” means March 20, 2015. 

“LMIR” means, for any day, the three-month “Eurodollar Rate” for U.S. Dollar deposits as
reported on the Reuters Screen LIBOR01 Page (or such page as may replace Reuters Screen LIBOR01 Page). 

“Overconcentration Amount” means, at any time, the aggregate for all Obligors of the sum, with respect
to each Obligor, of the excess, if any, of (a) the aggregate Outstanding Balance of all Eligible Receivables of such Obligor and its Affiliates, after subtracting the Pass-Through Reserve, the Warranty Reserve and the Price Give-Back Accrual,
in each case, allocated to the Receivables of such Obligor and its Affiliates, if any, over (b) the Concentration Limit for such Obligor and its Affiliates. 

“Sanctioned Person” means, at any time, (a) any Person listed in any publicly available
Sanctions-related list of designated Persons maintained by the Office of Foreign Assets Control of the U.S. Department of the Treasury or the U.S. Department of State, (b) any Person operating, organized or resident in a Sanctioned Country or
(c) any Person controlled by any such Person. 
 (o) Exhibit I to the Receivables Purchase Agreement is hereby amended by inserting the
following new defined terms, in appropriate alphabetical order, therein: 
 “Anti-Corruption Laws”
means the United States Foreign Corrupt Practices Act of 1977, as amended, the UK Bribery Act and any similar foreign law, rule or regulation of any jurisdiction applicable to the Seller Parties or their respective Subsidiaries from time to time
concerning or relating to bribery or corruption. 
 “Daily/90 Day LIBOR Rate” shall
mean, for any day, a rate per annum equal to the three month London-Interbank Offered Rate administered by ICE Benchmark Administration (or any other Person that takes over the administration of such rate) appearing on Reuters Screen LIBOR01 Page
(or on any successor or substitute page of such service, providing rate quotations comparable to those currently provided on such page of such service, as determined by the Administrative Agent from time to time in accordance with its customary
practices for purposes of providing quotations of interest rates applicable to U.S. Dollar deposits in the London interbank market) at approximately 11:00 a.m. (London time) on such day or, if such day is not a Business Day in London, the
immediately preceding Business Day in London. In the event that such rate is not available on any day at such time for any reason, then the “Daily/90 Day LIBOR Rate” for such day shall be the rate at which three month U.S. Dollar
deposits of $5,000,000 are offered by the principal London office of the Administrative Agent in immediately available funds in the London interbank market at approximately 11:00 a.m. (London time) on such day; and if the Administrative Agent is for
any reason unable to determine the Daily/90 Day LIBOR 

  
 9 

 
Rate in the foregoing manner or has determined in good faith that the Daily/90 Day LIBOR Rate determined in such manner does not accurately reflect the cost of acquiring, funding or maintaining a
Purchaser Interest, then the “Daily/90 Day LIBOR Rate” for such day shall be the Prime Rate. 

“Excluded Taxes” means (i) net income taxes, franchise taxes (imposed in lieu of net income taxes)
and backup withholding taxes, in each case imposed on any Purchaser or the Administrative Agent as a result of a present or former connection between such Purchaser (including any applicable lending office or by virtue of principal office,
organization or incorporation) or the Administrative Agent and the jurisdiction of the Governmental Authority imposing such tax or any political subdivision or taxing authority thereof or therein (other than any such connection arising solely from
such Purchaser’s or the Administrative Agent’s having executed, delivered or performed its obligations or received a payment under, or enforced, this Agreement), (ii) any branch profits taxes imposed by the United States or any
similar tax imposed by any other jurisdiction described in clause (i) above, (iii) any Taxes that result from a Purchaser’s failure to comply with the requirements of Section 10.4(f), (iv) in the case of any Non-U.S.
Purchaser, any withholding Taxes that are imposed on amounts payable to such Non-U.S. Purchaser pursuant to a law in effect at the time such Non-U.S. Purchaser becomes a party to this Agreement or such Non-U.S. Purchaser changes the applicable
lending office with respect to this Agreement and (v) any Taxes under FATCA. 
 “FATCA” means
Section 1471 through 1474 of the Code and any regulations or official interpretations thereof (including any revenue ruling, revenue procedure, notice or similar guidance issued by the IRS thereunder as a precondition to relief or exemption
from taxes under such Sections, regulations and interpretations) any agreements entered into pursuant to section 1471(b)(1) of the Code and any fiscal or regulatory legislation, rules or official practices adopted pursuant to any published
intergovernmental agreement entered into in connection with the implementation of such sections of the Code. 

“Governmental Authority” means the government of the United States of America or any other nation, or
of any political subdivision thereof, whether state or local, and any agency, authority, instrumentality, regulatory body, court, central bank or other entity exercising executive, legislative, judicial, taxing, regulatory or administrative powers
or functions of or pertaining to government (including any supra-national bodies such as the European Union or the European Central Bank). 

“Indemnified Taxes” shall mean (a) Taxes, other than Excluded Taxes, imposed on or with respect to
any payment made by or on account of any obligation of the Seller under any Transaction Document and (b) to the extent not otherwise described in (a), Other Taxes. 

“Non-Defaulted Receivable” means a Receivable which remains unpaid for less than 91 days after the
original due date for such payment and which is not a Charged-Off Receivable. 
 “Other Connection
Taxes” shall mean with respect to any Indemnified Party, Taxes imposed as a result of a present or former connection between such Indemnified Party and the jurisdiction imposing such Tax (other than connections arising from such
Indemnified Party having executed, delivered, become a party to, performed its obligations under, received payments under, received or perfected a security interest under, engaged in any other transaction pursuant to or enforced any Transaction
Document, or assigned any portion of its Purchaser Interests). 

  
 10 

 “Other Taxes” shall mean all present or future stamp,
court or documentary, intangible, recording, filing or similar Taxes that arise from any payment made under, from the execution, delivery, performance, enforcement or registration of, from the receipt or perfection of a security interest under, or
otherwise with respect to, any Transaction Document, except any such Taxes that are Other Connection Taxes imposed with respect to an assignment. 

“Purchase Deficit” has the meaning set forth in Section 4.6. 

“Sanctioned Country” means, at any time, a country or territory which is the subject or target of any
Sanctions. 
 “Sanctions” means economic or financial sanctions or trade embargoes imposed,
administered or enforced from time to time by the U.S. government, including those administered by the Office of Foreign Assets Control of the U.S. Department of the Treasury or the U.S. Department of State. 

“Taxes” means all taxes, charges, fees, levies or other assessments (including income, gross receipts,
profits, withholding, excise, property, sales, use, license, occupation and franchise taxes and including any related interest, penalties or other additions) imposed by any jurisdiction or taxing authority (whether foreign or domestic). 

(p) Exhibit I to the Receivables Purchase Agreement is hereby amended by deleting in its entirety the defined terms “Daily/30 Day
LIBOR Rate” and “Advance Ineligibles”. 
 (q) Schedule A to the Receivables Purchase Agreement is
amended and restated in its entirety as set forth on Schedule A hereto. From and after the date hereof, each reference to “Schedule A” in the Receivables Purchase Agreement shall mean and be a reference to Schedule A attached hereto. 

3. Certain Representations. In order to induce the Agents and the Purchasers to enter into this Amendment, each of the Seller Parties
hereby represents and warrants to the Agents and the Purchasers that (a) both immediately before and immediately after giving effect to the amendments contained in Section 2 hereof, no Amortization Event or Potential Amortization Event
exists and is continuing as of the date hereof, (b) the Receivables Purchase Agreement, as amended hereby, constitutes the legal, valid and binding obligation of such Seller Party enforceable against it in accordance with its terms, except as
such enforcement may be limited by applicable bankruptcy, insolvency, reorganization or other similar laws relating to or limiting creditors’ rights generally and by general principles of equity (regardless of whether enforcement is sought in a
proceeding in equity or at law and (c) each of such Seller Party’s representations and warranties contained in the Receivables Purchase Agreement is true and correct as of the date hereof as though made on such date (except for such
representations and warranties that speak only as of an earlier date). 
 4. Effective Date. This Amendment shall become effective as
of the date first above written (the “Effective Date”) upon (a) receipt by the Administrative Agent of counterparts of this Amendment, duly executed by each of the parties hereto, and consented to by the Performance
Guarantor in the space provided below, (b) receipt by the Administrative Agent of counterparts to the Thirteenth Amended and Restated Fee Letter of even date herewith (the “Fee Letter”), duly executed by the Agents and
the Seller and (c) receipt by each of Chariot, the Liberty Street Agent and Wells Fargo of the Amendment Fee payable to it under (and as defined in) the Fee Letter. 

  
 11 

 5. Ratification. Except as expressly modified hereby, the Receivables Purchase Agreement
is hereby ratified, approved and confirmed in all respects. 
 6. References to Receivables Purchase Agreement. From and after the
Effective Date, each reference in the Receivables Purchase Agreement to “this Agreement”, “hereof”, or “hereunder” or words of like import, and all references to the Receivables Purchase Agreement in any and all
agreements, instruments, documents, notes, certificates and other writings of every kind and nature shall be deemed to mean the Receivables Purchase Agreement, as amended by this Amendment. 

7. Costs and Expenses. The Seller agrees to pay all reasonable costs, fees, and out-of-pocket expenses (including reasonable
attorneys’ fees and time charges of attorneys for the Agents, including Sidley Austin LLP) incurred by the Agents in connection with the preparation, execution and enforcement of this Amendment. 

8. CHOICE OF LAW. THIS AMENDMENT SHALL BE CONSTRUED IN ACCORDANCE WITH THE INTERNAL LAWS (AND NOT THE LAW OF CONFLICTS) OF THE STATE OF
ILLINOIS. 
 9. Execution in Counterparts. This Amendment may be executed in any number of counterparts and by different parties
hereto in separate counterparts, each of which when so executed shall be deemed to be an original and all of which taken together shall constitute one and the same agreement. Delivery by facsimile or other electronic transmission of an executed
counterpart of a signature page to this Amendment shall be effective as delivery of a manually executed counterpart of this Amendment. 
 10.
Amendment of Second Lien Receivables Purchase Agreement. The Purchasers and Co-Agents hereby authorize and direct JPMorgan, in its capacity as First Lien Agent under the Intercreditor Agreement, to execute and consent to the amendment of the
Second Lien Receivables Purchase Agreement in the form attached as Schedule I hereto. The parties hereto acknowledge and agree that JPMorgan, as First Lien Agent, shall be entitled to the rights and benefits of Article XI of the Receivables Purchase
Agreement in connection with the execution of such amendment. 
 [Signature Pages Follow] 

  
 12 

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

			
	CHARIOT FUNDING LLC (as successor by merger to Falcon Asset Securitization Company LLC) as Conduit and a Committed Purchaser
	
	By: JPMorgan Chase Bank, N.A., Its Attorney-in-Fact
		
	By:	 	/s/ JOHN KUHNS
	Name:	 	John Kuhns
	Title:	 	Executive Director
	
	JPMORGAN CHASE BANK, N.A., as Chariot Agent and as Administrative Agent
		
	By:	 	/s/ JOHN KUHNS
	Name:	 	John Kuhns
	Title:	 	Executive Director

 Signature Page to 

Amendment No. 4 to Third Amended and Restated Receivables Purchase Agreement 

(Tenneco Automotive RSA Company) 

 
			
	THE BANK OF NOVA SCOTIA, as a Committed Purchaser and as Liberty Street Agent
		
	By:	 	/s/ KIMBERLY SNYDER
	Name:	 	Kimberly Snyder
	Title:	 	Director

  
 Signature Page to

 Amendment No. 4 to Third Amended and Restated Receivables Purchase Agreement 

(Tenneco Automotive RSA Company) 

 
			
	LIBERTY STREET FUNDING LLC
		
	By:	 	/s/ FRANK B. BILOTTA
	Name:	 	Frank B. Bilotta
	Title:	 	Vice President

  
 Signature Page to

 Amendment No. 4 to Third Amended and Restated Receivables Purchase Agreement 

(Tenneco Automotive RSA Company) 

 
			
	WELLS FARGO BANK, N.A., as a Committed Purchaser and as Wells Fargo Agent
		
	By:	 	/s/ MICHAEL J. LANDRY
	Name:	 	Michael J. Landry
	Title:	 	Vice President

  

			
	ACKNOWLEDGED AND CONSENTED TO:
	
	WELLS FARGO BANK, N.A.,as Second Lien Agent
		
	By:	 	/s/ MICHAEL J. LANDRY
	Name:	 	Michael J. Landry
	Title:	 	Vice President

  
 Signature Page to

 Amendment No. 4 to Third Amended and Restated Receivables Purchase Agreement 

(Tenneco Automotive RSA Company) 

 
			
	TENNECO AUTOMOTIVE RSA COMPANY, a Delaware corporation
		
	By:	 	/s/ JOHN E. KUNZ
	Name:	 	John E. Kunz
	Title:	 	President and Treasurer
	
	TENNECO AUTOMOTIVE OPERATING COMPANY INC., a Delaware corporation
		
	By:	 	/s/ GARY SILHA
	Name:	 	Gary Silha
	Title:	 	Assistant Treasurer

 By its signature below, the undersigned hereby consents to the terms of the foregoing Amendment, confirms that its
Performance Undertaking remains unaltered and in full force and effect and hereby reaffirms, ratifies and confirms the terms and conditions of its Performance Undertaking: 

 

			
	TENNECO INC., a Delaware corporation
		
	By:	 	/s/ JOHN E. KUNZ
	Name:	 	John E. Kunz
	Title:	 	Vice President, Treasurer and Tax

  
 Signature Page to

 Amendment No. 4 to Third Amended and Restated Receivables Purchase Agreement 

(Tenneco Automotive RSA Company) 

 SCHEDULE A 

COMMITMENTS OF COMMITTED PURCHASERS 
  

							
	 GROUP
	  	 COMMITTED PURCHASER
	  	COMMITMENT	 
	 Chariot Group
	  	Chariot Funding LLC	  	$	57,120,000	  
	 Liberty Street Group
	  	The Bank of Nova Scotia, New York Agency	  	$	44,880,000	  
	 Wells Fargo Group
	  	Wells Fargo Bank, N.A.	  	$	10,000,000	  

 SCHEDULE I 

SECOND LIEN RECEIVABLES PURCHASE AGREEMENT 

(See Slot Amendment)

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