<SEC-DOCUMENT>0001558370-17-007233.txt : 20171002
<SEC-HEADER>0001558370-17-007233.hdr.sgml : 20171002
<ACCEPTANCE-DATETIME>20171002123923
ACCESSION NUMBER:		0001558370-17-007233
CONFORMED SUBMISSION TYPE:	8-K
PUBLIC DOCUMENT COUNT:		1
CONFORMED PERIOD OF REPORT:	20170926
ITEM INFORMATION:		Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers
FILED AS OF DATE:		20171002
DATE AS OF CHANGE:		20171002

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			MoSys, Inc.
		CENTRAL INDEX KEY:			0000890394
		STANDARD INDUSTRIAL CLASSIFICATION:	SEMICONDUCTORS & RELATED DEVICES [3674]
		IRS NUMBER:				770291941
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		8-K
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	000-32929
		FILM NUMBER:		171113694

	BUSINESS ADDRESS:	
		STREET 1:		3301 OLCOTT STREET
		CITY:			SANTA CLARA
		STATE:			CA
		ZIP:			95054
		BUSINESS PHONE:		408 418 7500

	MAIL ADDRESS:	
		STREET 1:		3301 OLCOTT STREET
		CITY:			SANTA CLARA
		STATE:			CA
		ZIP:			95054

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	MONOLITHIC SYSTEM TECHNOLOGY INC
		DATE OF NAME CHANGE:	19960613
</SEC-HEADER>
<DOCUMENT>
<TYPE>8-K
<SEQUENCE>1
<FILENAME>f8-k.htm
<DESCRIPTION>8-K
<TEXT>
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			mosy_Current_Folio_20170926_8K
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			<font style="display:inline;">UNITED STATES<br />SECURITIES AND EXCHANGE COMMISSION</font>
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			<font style="display:inline;">Washington, D.C. 20549</font>
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			<font style="display:inline;font-weight:bold;">Form&nbsp;8&#8209;K<br />Current Report<br />Pursuant to Section&nbsp;13 or 15(d) of the Securities Exchange Act of 1934</font>
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			<font style="display:inline;">Date of Report (Date of earliest event reported): </font><font style="display:inline;font-weight:bold;">September&nbsp;26, 2017</font>
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			<font style="display:inline;font-weight:bold;">MoSys, Inc.<br /></font><font style="display:inline;">(Exact name of registrant as specified in its charter)</font>
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			<font style="display:inline;font-weight:bold;">000&#8209;32929<br /></font><font style="display:inline;">(Commission File Number)</font>
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						<font style="display:inline;font-weight:bold;">Delaware</font></p>
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						<font style="display:inline;font-weight:bold;">77-0291941</font></p>
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						<font style="display:inline;">(State or other jurisdiction of incorporation)</font></p>
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						<font style="display:inline;">(I.R.S. Employer Identification No.)</font></p>
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			<font style="display:inline;font-weight:bold;">3301 Olcott Street<br />Santa Clara, California 95054<br /></font><font style="display:inline;">(Address of principal executive offices, with zip code)</font>
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		<p style="margin:0pt 0pt 12pt;text-align:center;border-top:1pt none #D9D9D9 ;border-bottom:1pt none #D9D9D9 ;font-family:Times New Roman,Times,serif;font-size: 12pt;">
			<font style="display:inline;font-weight:bold;">(408)&nbsp;418&#8209;7500<br /></font><font style="display:inline;">(Registrant&#x2019;s telephone number, including area code)</font>
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			<font style="display:inline;">Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):</font>
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						<font style="display:inline;">&#x2610;</font></p>
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						<font style="display:inline;">Written communications pursuant to Rule&nbsp;425 under the Securities Act (17&nbsp;CFR&nbsp;230.425)</font></p>
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						<font style="display:inline;">Soliciting material pursuant to Rule&nbsp;14a&#8209;12 under the Exchange Act (17&nbsp;CFR&nbsp;240.14a&#8209;12)</font></p>
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						<font style="display:inline;">Pre-commencement communications pursuant to Rule&nbsp;14d&#8209;2(b) under the Exchange Act (17&nbsp;CFR&nbsp;240.14d&#8209;2(b))</font></p>
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						<font style="display:inline;">Pre-commencement communications pursuant to Rule&nbsp;13e&#8209;4(c) under the Exchange Act (17&nbsp;CFR&nbsp;240.13e&#8209;4(c))</font></p>
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		<p style="margin:12pt 0pt;border-bottom:1pt none #D9D9D9 ;font-family:Times New Roman,Times,serif;font-size: 12pt;">
			<font style="display:inline;">Indicate by check mark whether the registrant is an emerging growth company as defined in Rule&nbsp;405 of the Securities Act of 1933 (17&nbsp;CFR&nbsp;230.405) or Rule&nbsp;12b&#8209;2 of the Securities Exchange Act of 1934 (17&nbsp;CFR&nbsp;240.12b&#8209;2). Emerging growth company&nbsp;&#x2610;</font>
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		<p style="margin:0pt;border-top:1pt none #D9D9D9 ;font-family:Times New Roman,Times,serif;font-size: 12pt;">
			<font style="display:inline;">If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section&nbsp;13(a) of the Exchange Act.&nbsp;&#x2610;</font>
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		<p><font size="1"> </font></p></div><div style="margin-left:10.2941176470588%;margin-right:10.2941176470588%;"><hr align="center" style='background-color:#000000; border-width:0; color:#000000; height:2pt; lineheight:0; width:100%;'></hr><p style="page-break-after:always">&nbsp;</p></div><div style="margin-left:10.2941176470588%;margin-right:10.2941176470588%;"></div><div style="margin-left:10.2941176470588%;margin-right:10.2941176470588%;"><p style="margin:0pt;font-family:Times New Roman,Times,serif;font-size: 12pt;"><font style="display:inline;"></font>
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			<font style="display:inline;font-weight:bold;">Item&nbsp;5.02&#x2003;Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers</font>
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		<p style="margin:0pt 0pt 12pt;border-top:1pt none #D9D9D9 ;border-bottom:1pt none #D9D9D9 ;font-family:Times New Roman,Times,serif;font-size: 12pt;">
			<font style="display:inline;">(d)&#x2003;Effective September&nbsp;26, 2017, the board of directors (the &#x201C;Board&#x201D;) of MoSys, Inc. (the &#x201C;Company&#x201D;) appointed Daniel Lewis and Daniel O&#x2019;Neil to the Board to fill two vacancies.&nbsp;Messrs.&nbsp;Lewis and O&#x2019;Neil will serve on the Board&#x2019;s audit committee (the &#x201C;Audit Committee&#x201D;), with Mr.&nbsp;O&#x2019;Neil serving as the chair of the Audit Committee and as an additional financial expert on the committee. Mr.&nbsp;Lewis will serve on the Board&#x2019;s compensation committee (the &#x201C;Compensation Committee&#x201D;).</font>
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		<p style="margin:0pt 0pt 12pt;border-top:1pt none #D9D9D9 ;border-bottom:1pt none #D9D9D9 ;font-family:Times New Roman,Times,serif;font-size: 12pt;">
			<font style="display:inline;">Mr.&nbsp;Lewis has served as the managing member and an owner of GMS Manufacturing Solution LLC, which provides engineering services to manufacturing companies, since 2013. From 2001 to 2013, he served as chief executive officer of View Box Group, LLC, which provides management consulting services to small businesses.&nbsp;Prior to 2001, Mr.&nbsp;Lewis previously served as vice president of worldwide sales at both Xicor, Inc. and Integrated Device Technology, Inc. Mr.&nbsp;Lewis has also held various sales and technical positions with Accelerant Networks, Inc. Intel Corporation, Zilog, Inc. and Digital Equipment Corporation. Mr.&nbsp;Lewis holds a B.S. in Electrical Engineering from the University of Michigan.</font>
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		<p style="margin:0pt 0pt 12pt;border-top:1pt none #D9D9D9 ;border-bottom:1pt none #D9D9D9 ;font-family:Times New Roman,Times,serif;font-size: 12pt;">
			<font style="display:inline;">Mr.&nbsp;O&#x2019;Neil has served as a partner at Acme Strategy, LLC, a provider of strategic consulting and advisory services, which he founded, since 2010. From 2008 to 2010, he served as an investment banker at Signal Hill Capital Group LLC.&nbsp;Prior to 2008, Mr.&nbsp;O&#x2019;Neil held business development and investment banking positions at Energy Services Group, Deutsche Bank AG and BT Alex. Brown. Mr.&nbsp;O&#x2019;Neil holds an AB from Harvard College and an MBA from the Stanford University Graduate School of Business.</font>
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		<p style="margin:0pt 0pt 12pt;border-top:1pt none #D9D9D9 ;font-family:Times New Roman,Times,serif;font-size: 12pt;">
			<font style="display:inline;">On September&nbsp;26, 2017, the Board also approved the Company&#x2019;s standard independent director compensation program. Pursuant to this program, outside directors will be paid the following annual retainers:</font>
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		<div style="width:100%"><table style="width:100%;" cellpadding="0" cellspacing="0"><tr><td style="width:36pt;"><p style="width:36pt;font-size:0pt;"></p></td><td valign="top" align="left" style="width: 18.00pt;">
			<p style="font-family:Times New Roman,Times,serif;font-size: 12pt;margin:0pt 0pt 12pt;">
				<font style="margin:0pt 0pt 12pt;font-family:Symbol;font-size:12pt;;"> &#xB7;</font>
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		</td><td style="width:0pt;"><p style="width:0pt;width:0pt;font-size:0pt;"></p></td><td align="left" valign="top">
			<p style="font-family:Times New Roman,Times,serif;font-size: 12pt;margin:0pt 0pt 12pt;">
			<font style="display:inline;color:#000000;">$30,000 for service as a Board member;</font></p></td></tr></table></div>
		<div style="width:100%"><table style="width:100%;" cellpadding="0" cellspacing="0"><tr><td style="width:36pt;"><p style="width:36pt;font-size:0pt;"></p></td><td valign="top" align="left" style="width: 18.00pt;">
			<p style="font-family:Times New Roman,Times,serif;font-size: 12pt;margin:0pt 0pt 12pt;">
				<font style="margin:0pt 0pt 12pt;font-family:Symbol;font-size:12pt;;"> &#xB7;</font>
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		</td><td style="width:0pt;"><p style="width:0pt;width:0pt;font-size:0pt;"></p></td><td align="left" valign="top">
			<p style="font-family:Times New Roman,Times,serif;font-size: 12pt;margin:0pt 0pt 12pt;">
			<font style="display:inline;color:#000000;">$3,000 for service as chair of the Audit Committee; and</font></p></td></tr></table></div>
		<div style="width:100%"><table style="width:100%;" cellpadding="0" cellspacing="0"><tr><td style="width:36pt;"><p style="width:36pt;font-size:0pt;"></p></td><td valign="top" align="left" style="width: 18.00pt;">
			<p style="font-family:Times New Roman,Times,serif;font-size: 12pt;margin:0pt 0pt 12pt;">
				<font style="margin:0pt 0pt 12pt;font-family:Symbol;font-size:12pt;;"> &#xB7;</font>
			</p>
		</td><td style="width:0pt;"><p style="width:0pt;width:0pt;font-size:0pt;"></p></td><td align="left" valign="top">
			<p style="font-family:Times New Roman,Times,serif;font-size: 12pt;margin:0pt 0pt 12pt;">
			<font style="display:inline;color:#000000;">$1,500 for service as chair of the Compensation Committee.</font></p></td></tr></table></div>
		<p style="margin:0pt 0pt 12pt;font-family:Times New Roman,Times,serif;font-size: 12pt;">
			<font style="display:inline;">Since the beginning of the Company&#x2019;s last fiscal year through the present, there have been no transactions with the Company, and there are currently no proposed transactions with the Company, in which the amount involved exceeds $120,000, and in which either of Messrs. Lewis or O&#x2019;Neil had or will have a direct or indirect material interest within the meaning of Item&nbsp;404(a) of Regulation&nbsp;S&#8209;K.&nbsp;No arrangement or understanding exists between either Mr.&nbsp;Lewis or Mr.&nbsp;O&#x2019;Neil and any other person pursuant to which either was selected as a director of the Company. In addition, Messrs.&nbsp;Lewis and O&#x2019;Neil and the Company will enter into the Company&#x2019;s standard form of indemnification agreement for directors.</font>
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			<font style="display:inline;"></font></p></div><div style="margin-left:10.2941176470588%;margin-right:10.2941176470588%;">
		<p><font size="1"> </font></p></div><div style="margin-left:10.2941176470588%;margin-right:10.2941176470588%;"><hr align="center" style='background-color:#000000; border-width:0; color:#000000; height:2pt; lineheight:0; width:100%;'></hr><p style="page-break-after:always">&nbsp;</p></div><div style="margin-left:10.2941176470588%;margin-right:10.2941176470588%;"></div><div style="margin-left:10.2941176470588%;margin-right:10.2941176470588%;"><p style="margin:0pt;font-family:Times New Roman,Times,serif;font-size: 12pt;"><font style="display:inline;"></font>
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			<font style="display:inline;">As a result of these new director appointments, the Company believes the composition of its Board now meets the requirements of The NASDAQ Stock Market (&#x201C;Nasdaq&#x201D;) Listing Rule&nbsp;5605 and will so notify Nasdaq in response to the deficiency notices received from the Listing Qualifications Department of Nasdaq previously disclosed by the Company.</font>
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			<font style="display:inline;">(e)&#x2003;On September&nbsp;26, 2017, the Compensation Committee approved compensation adjustments for certain executive officers. The Committee increased the annual base salary of James Sullivan from $235,000 to $247,000 effective July&nbsp;1, 2017, and awarded Mr.&nbsp;Sullivan: a bonus award of $25,000 to be paid in October 2017 and a retention bonus award equal to 5% of his base salary, which will be paid in two equal installments in October 2017 and February 2018, subject to his continued employment with the Company.&nbsp;In addition, the Committee awarded Mr.&nbsp;Sullivan restricted stock units representing the right to receive 35,000&nbsp;shares of common stock, which will vest in three equal installments on each of January&nbsp;31, 2018, July&nbsp;31, 2018 and January&nbsp;31, 2019.</font>
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		<p style="margin:0pt 0pt 12pt;border-top:1pt none #D9D9D9 ;font-family:Times New Roman,Times,serif;font-size: 12pt;">
			<font style="display:inline;">The Compensation Committee granted John Monson an incentive award with a target amount equal to $60,000 to be paid if he achieves specified sales objectives in 2017.&nbsp;The Compensation Committee also awarded Mr.&nbsp;Monson a retention bonus equal to 5% of his base salary. The retention bonus award will be paid in equal installments in October 2017 and February 2018, subject to his continued employment with the Company. In addition, the Committee awarded Mr.&nbsp;Monson restricted stock units representing the right to receive 35,000&nbsp;shares of common stock, which will vest in three equal installments on each of January&nbsp;31, 2018, July&nbsp;31, 2018 and January&nbsp;31, 2019.</font>
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			<font style="display:inline;"></font>
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			<font style="display:inline;"></font></p></div><div style="margin-left:10.2941176470588%;margin-right:10.2941176470588%;">
		<p><font size="1"> </font></p></div><div style="margin-left:10.2941176470588%;margin-right:10.2941176470588%;"><hr align="center" style='background-color:#000000; border-width:0; color:#000000; height:2pt; lineheight:0; width:100%;'></hr><p style="page-break-after:always">&nbsp;</p></div><div style="margin-left:10.2941176470588%;margin-right:10.2941176470588%;"></div><div style="margin-left:10.2941176470588%;margin-right:10.2941176470588%;"><p style="margin:0pt;font-family:Times New Roman,Times,serif;font-size: 12pt;"><font style="display:inline;"></font>
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			<font style="display:inline;font-weight:bold;">SIGNATURES</font>
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		<p style="margin:0pt 0pt 12pt;border-top:1pt none #D9D9D9 ;font-family:Times New Roman,Times,serif;font-size: 12pt;">
			<font style="display:inline;">Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.</font>
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					<p style="margin:0pt;font-family:Times New Roman,Times,serif;height:1.00pt;overflow:hidden;font-size:0pt;">
						<font style="display:inline;font-size:1pt;">&nbsp;</font></p>
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					<p style="margin:0pt;font-family:Times New Roman,Times,serif;height:1.00pt;overflow:hidden;font-size:0pt;">
						<font style="display:inline;font-size:1pt;">&nbsp;</font></p>
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					<p style="margin:0pt;font-family:Times New Roman,Times,serif;height:1.00pt;overflow:hidden;font-size:0pt;">
						<font style="display:inline;font-size:1pt;">&nbsp;</font></p>
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					<p style="margin:0pt;font-family:Times New Roman,Times,serif;font-size: 12pt;">
						<font style="display:inline;font-weight:bold;">MOSYS, INC.</font></p>
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				<td colspan="2" valign="top" style="width:50.00%;padding:0pt;">
					<p style="margin:0pt;font-family:Times New Roman,Times,serif;font-size: 12pt;">
						<font style="display:inline;">&nbsp;</font></p>
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					<p style="margin:0pt;font-family:Times New Roman,Times,serif;font-size: 12pt;">
						<font style="display:inline;">&nbsp;</font></p>
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					<p style="margin:0pt;font-family:Times New Roman,Times,serif;font-size: 12pt;">
						<font style="display:inline;">&nbsp;</font></p>
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					<p style="margin:0pt;font-family:Times New Roman,Times,serif;font-size: 12pt;">
						<font style="display:inline;">Date: October&nbsp;2, 2017</font></p>
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					<p style="margin:0pt;font-family:Times New Roman,Times,serif;font-size: 12pt;">
						<font style="display:inline;">By:</font></p>
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					<p style="margin:0pt;font-family:Times New Roman,Times,serif;font-size: 12pt;">
						<font style="display:inline;">/s/ James&nbsp;W. Sullivan</font></p>
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					<p style="margin:0pt;font-family:Times New Roman,Times,serif;font-size: 12pt;">
						<font style="display:inline;">&nbsp;</font></p>
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					<p style="margin:0pt;font-family:Times New Roman,Times,serif;font-size: 12pt;">
						<font style="display:inline;">&nbsp;</font></p>
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					<p style="margin:0pt;font-family:Times New Roman,Times,serif;font-size: 12pt;">
						<font style="display:inline;">James&nbsp;W. Sullivan</font></p>
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						<font style="display:inline;">&nbsp;</font></p>
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						<font style="display:inline;">&nbsp;</font></p>
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					<p style="margin:0pt;font-family:Times New Roman,Times,serif;font-size: 12pt;">
						<font style="display:inline;">Vice President of Finance and Chief Financial Officer</font></p>
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			<font style="display:inline;">&nbsp;</font>
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