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Kappa Distributions
Theory and Applications in Plasmas
Edited by
George Livadiotis
Southwest Research Institute,
San Antonio, Texas, United States
Elsevier
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Notices
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instructions, or ideas contained in the material herein.
ISBN: 978-0-12-804638-8
J.A. Araneda
University of Concepción, Concepción, Chile vii
C. Beck
Queen Mary University of London, London, United Kingdom
I.H. Cairns
University of Sydney, Sydney, NSW, Australia
J.F. Carbary
Johns Hopkins University Applied Physics Laboratory, Laurel, MD,
United States
E.G.D. Cohen
Rockefeller University, New York, NY, United States
University of Iowa, Iowa City, IA, United States
K. Dialynas
Academy of Athens, Athens, Greece
M.A. Dopita
Australian National University, Canberra, ACT, Australia
King Abdulaziz University, Jeddah, Saudi Arabia
University of Hawaii at Manoa, Honolulu, HI, United States
J. Dudı́k
Astronomical Institute of the Czech Academy of Sciences, Ondrejov, Czech
Republic
áková
E. Dzifc
Astronomical Institute of the Czech Academy of Sciences, Ondrejov, Czech
Republic
L.A. Fisk
University of Michigan, Ann Arbor, MI, United States
R. Gaelzer
Federal University of Rio Grande do Sul, Porto Alegre, Brazil
G. Gloeckler
University of Michigan, Ann Arbor, MI, United States
M. Kane
Harford Research Institute, Bel Air, MD, United States
viii Contributors
L.J. Kewley
Australian National University, Canberra, ACT, Australia
University of Hawaii at Manoa, Honolulu, HI, United States
S.M. Krimigis
Academy of Athens, Athens, Greece
Johns Hopkins University Applied Physics Laboratory, Laurel, MD, United
States
G.S. Lakhina
Indian Institute of Geomagnetism, New Panvel (W), Navi Mumbai, India
B. Li
University of Sydney, Sydney, NSW, Australia
G. Livadiotis
Southwest Research Institute, San Antonio, TX, United States
R. Mace
University of KwaZulu-Natal, Durban, South Africa
B.H. Mauk
Johns Hopkins University Applied Physics Laboratory, Laurel, MD, United
States
D.J. McComas
Princeton University, Princeton, NJ, United States
N. Meyer-Vernet
LESIA, Observatoire de Paris, CNRS, PSL Research University, UPMC,
Sorbonne University, Paris Diderot, Paris, France
P.S. Moya
University of Chile, Santiago, Chile
D.C. Nicholls
Australian National University, Canberra, ACT, Australia
C.P. Paranicas
Johns Hopkins University Applied Physics Laboratory, Laurel, MD, United
States
V. Pierrard
Royal Belgian Institute for Space Aeronomy, Brussels, Belgium
Université Catholique de Louvain, Louvain-La-Neuve, Belgium
J.M. Schmidt
University of Sydney, Sydney, NSW, Australia
S. Singh
Indian Institute of Geomagnetism, New Panvel (W), Navi Mumbai, India
R.S. Sutherland
Australian National University, Canberra, ACT, Australia
Contributors ix
A.F. Viñas
NASA Goddard Space Flight Center, Greenbelt, MD, United States
P.H. Yoon
University of Maryland, College Park, MD, United States
Kyung Hee University, Yongin, Korea
G.P. Zank
University of Alabama in Huntsville, Huntsville, AL, United States
Preface
xi
God created everything by number, weight, and measure.
Sir Isaac Newton
distributions on various basic plasma topics, spanning among others, the Debye
shielding, polytropes, superstatistics (superposition of MaxwelleBoltzmann
distributions), linear waves and the nonlinear approach, turbulence, solitons
and double layers.
(C) Applications in space plasmas: This part is devoted to several important ap-
plications of theoretical and analytical developments in space plasmas from all
over the heliosphere and beyond, including the ion and electron kappa distri-
butions; the effect of kappa distributions in planetary magnetospheres, solar
spectra, and radio bursts; shock waves; and beyond the heliosphere, the astro-
physical nebulae. In addition, several mechanisms exist for generating these
distributions in space and other plasmas, where some of them are described in
detail in this book: polytropes (Chapter 5), superstatistics (Chapter 6), turbu-
lence (Chapter 8), effect of pickup ions (Chapter 10), pump acceleration
mechanism (Chapter 15), effect of shock waves (Chapter 16).
The book of kappa distributions is ideal for space, plasma, and statistical
physicists; geophysicists especially of the upper atmosphere; Earth and planetary
scientists; and astrophysicists. However, we claim, by no means, this book to be
the alpha and omega of kappa distributions; many other topics could fill all
three parts. Nevertheless, the book is, indeed, a necessary and sufficient assistant
for accomplishing basic research in the mentioned physical subjects. It should
be used for future space and plasma physics analyses that seek to apply kappa
distributions in data analyses, simulations, modeling, or other theoretical work.
Usage of the involved concepts and equations guarantees results that remain
firmly grounded on the foundation of nonextensive statistical mechanics.
I must certainly thank all the authors and coauthors of this book. The whole
authoring, reviewing, and editing process took about 2years. Parts B and C were
given to be authored by leading experts on space and plasma physics. Each
leading author and their teams of coauthors have numerous collection of
exceptional representative publications related to their chapter.
I will always be grateful to the ever memorable professor Nikolaos Voglis
(1948e2007) for inspiring me the concept of nonextensive statistical me-
chanics. I would also like to thank professor Xenophon Moussas (National and
Kapodistrian University of Athens) for introducing me the usage of kappa dis-
tributions in space physics, as well as professor David McComas (Princeton
University) for the numerous fruitful collaborations on the topic of kappa dis-
tributions. Finally, I could not be less grateful to my wife Eliana for all her
spiritual support, especially the last 2 years when the book was in preparation.
Tέlo2, su εn Triάdi Qεώ dόxa.
George Livadiotis, PhD,
Senior Scientist
Space Science and Engineering
Southwest Research Institute
CHAPTER 1
Statistical Background
of Kappa Distributions:
Connection With
Nonextensive Statistical 3
Mechanics
G. Livadiotis
Southwest Research Institute, San Antonio, TX, United States
Chapter Outline
1.1 Summary 5 1.5.2 Continuous
1.2 Introduction 5 Description 28
1.3 Mathematical Motivation 14 1.6 Connection of Kappa
1.4 Nonextensive Statistical Distributions With
Mechanics, in Brief! 16 Nonextensive Statistical
1.4.1 General Aspects 16 Mechanics 29
1.4.2 q-Deformed 1.6.1 Derivation 29
Functions 17 1.6.2 Historical Comments 34
1.4.2.1 q-Unity 17 1.7 Structure of the Kappa
1.4.2.2 q-Exponential 17 Distribution 37
1.4.2.3 q-Logarithm 17 1.7.1 The Base of the Kappa
1.4.2.4 q-Hyperbolic 18 Distribution 37
1.4.2.5 q-Gamma 18 1.7.2 The Exponent of the
1.4.3 Ordinary and Escort Kappa Distribution 39
Probability 1.8 The Concept of
Distributions 18 Temperature 41
1.4.4 Tsallis Entropy 20 1.8.1 The Definition of
1.4.5 The Physical Temperature Out of
Temperature 21 Equilibrium and the
1.5 Entropy Maximization 22 Concept of Physical
1.5.1 Discrete Description 22 Temperature 41
1.1 Summary
Classical particle systems reside at thermal equilibrium with their velocity dis-
tribution function stabilized into a Maxwell distribution. On the contrary, col-
lisionless and correlated particle systems, such as space plasmas, are
characterized by a non-Maxwellian behavior, typically described by the kappa
distributions or combinations thereof. Empirical kappa distributions have
become increasingly widespread across space and plasma physics. However, a
breakthrough in the field came with the connection of kappa distributions
with the solid background of nonextensive statistical mechanics.
Understanding the statistical origin of kappa distributions is the cornerstone
of further theoretical developments and applications, which, among others,
involve (1) the physical meaning of temperature, thermal pressure, and other
thermodynamic parameters; (2) the physical meaning of the kappa index and
its connection to the degrees of freedom and their correlation; (3) the
SackureTetrode entropy for kappa distributions; (4) the multiparticle
description of kappa distributions; and (5) the kappa distribution of a
Hamiltonian with a nonzero radial or angular potential. With the results
provided in this study, the full strength and capability of nonextensive
statistical mechanics are available for the physics community to analyze and
understand the kappa-like properties of the various particle and energy distri-
butions observed in geophysical, space, astrophysical and other plasmas.
Science Question: Is there a connection of kappa distributions with statistical
mechanics?
Keywords: Correlations; Entropy; Nonextensive statistical mechanics;
Temperature.
1.2 Introduction
Numerous analyses have established the theory of kappa distributions and
provided a plethora of different applications in geophysical, space, astrophys-
ical, or any other types of plasmas exhibiting non-Maxwellian behavior. Fig. 1.1
shows the number of publications related to kappa or Lorentzian distributions
and their statistical background, the nonextensive statistical mechanics.
Kappa distributions were introduced about half a century ago to describe
magnetospheric electron data by Olbert and its PhD students and colleagues
(e.g., Binsack, 1966; Olbert, 1968; Vasyli~
unas, 1968); it should be noted that
Binsack (1966) was the first to publish the usage of kappa distributions, but he
acknowledged that the kappa function was actually “introduced by Prof. Olbert
of MIT in his studies of IMP-1.”
The kappa distributions were employed to describe numerous space plasma
populations in: (1) the inner heliosphere, including solar wind (e.g., Collier et al.,
1996; Maksimovic et al., 1997, 2005; Pierrard et al., 1999; Mann et al., 2002;
Marsch, 2006; Zouganelis, 2008; Stverák et al., 2009; Livadiotis and McComas,
6 PART 1 Theory and Formalism
FIGURE 1.1
(A) Number of publications cataloged by Google Scholar since 1960 and related with kappa (red) or Lorentzian (green) distributions,
and the nonextensive statistical mechanics (blue); their total number is also shown (black). (B) A magnification of the last 20 years
showing the exponential growth rates l (on a semilog scale). (C) The inset panel explains the selection criteria: (1) (L) without (SM) or
(K); (2) (SM) without (K); and (3) any (K), where we symbolize: Kappa distribution (K), Lorentzian distributions (L), and nonextensive
statistical mechanics (SM). The total number of publications is w15,000, from which w7000 (SM), w3500 (K), and w4500 (L).
Interestingly, the growth publication rate of the kappa distributions is more than doubled the rates of the Lorentzian distributions and
the nonextensive statistical mechanics.
2010a, 2011a, 2013a,c; Yoon, 2014; Pierrard and Pieters, 2015; Pavlos et al.,
2016), solar spectra (e.g., Chapter 13; Dzifcáková and Dudı́k, 2013; Dzifcáková
et al., 2015), solar corona (e.g., Owocki and Scudder, 1983; Vocks et al., 2008;
Lee et al., 2013; Cranmer, 2014), solar energetic particles (e.g., Xiao et al., 2008;
Laming et al., 2013), corotating interaction regions (e.g., Chotoo et al., 2000),
and solar flareserelated (e.g., Mann et al., 2009; Livadiotis and McComas,
2013b; Bian et al., 2014; Jeffrey et al., 2016); (2) the planetary magnetospheres,
including magnetosheath (e.g., Binsack, 1966; Olbert, 1968; Vasyli~ unas, 1968;
Formisano et al., 1973; Ogasawara et al., 2013), near magnetopause (e.g.,
Ogasawara et al., 2015), magnetotail (e.g., Grabbe, 2000), ring current (e.g.,
Pisarenko et al., 2002a), plasma sheet (e.g., Christon, 1987; Wang et al., 2003;
Kletzing et al., 2003), magnetospheric substorms (e.g., Hapgood et al., 2011),
magnetospheres of giant planets (Chapter 12), such as Jovian (e.g., Collier and
Hamilton, 1995; Mauk et al., 2004), Saturnian (e.g., Schippers et al., 2008;
Dialynas et al., 2009; Livi et al., 2014; Carbary et al., 2014), Uranian (e.g., Mauk
et al., 1987), Neptunian (Krimigis et al., 1989), magnetospheres of planetary
moons, such as Io (e.g., Moncuquet et al., 2002) and Enceladus (e.g., Jurac et al.,
2002), or cometary magnetospheres (e.g., Broiles et al., 2016a,b); (3) the outer
heliosphere and the inner heliosheath (e.g., Decker and Krimigis, 2003; Decker
et al., 2005; Heerikhuisen et al., 2008, 2010, 2014, 2015; Zank et al., 2010;
Livadiotis et al., 2011, 2012, 2013; Livadiotis and McComas, 2011a,b, 2012,
2013a,c,d; Livadiotis, 2014a; Fuselier et al., 2014; Zirnstein and McComas,
Statistical Background of Kappa Distributions CHAPTER 1 7
2015); (4) beyond the heliosphere, including HII regions (e.g., Nicholls et al.,
2012), planetary nebula (e.g., Nicholls et al., 2012; Zhang et al., 2014), and
supernova magnetospheres (e.g., Raymond et al., 2010); or (5) other space
plasmaerelated analyses (e.g., Milovanov and Zelenyi, 2000; Saito et al., 2000;
Du, 2004; Yoon et al., 2006; Raadu and Shafiq, 2007; Livadiotis, 2009, 2014a,
2015a,b,c,e, 2016a,b,d; Tribeche et al., 2009; Hellberg et al., 2009; Livadiotis and
McComas, 2009, 2010a,b,c, 2011b, 2014a; Baluku et al., 2010; Le Roux et al.,
2010; Eslami et al., 2011; Kourakis et al., 2012; Randol and Christian, 2014, 2016;
Varotsos et al., 2014; Fisk and Gloeckler, 2014; Liu et al., 2015; Viñas et al., 2015;
Ourabah et al., 2015; Dos Santos et al., 2016; Nicolaou and Livadiotis, 2016).
Maxwell distributions have also been used in space science (e.g., Hammond
et al., 1996), especially due to their simplicity; for example, they are often used to
fit the “core” of the observed distributions, that is, the part of the distribution
around its maximum.
Table 1.1 contains the representative values of density n, temperature T, and
kappa index k of w40 different space plasmas. The kappa indices were collected
from the results of one or more published analyses. The values of the triplet
(n,T,k) and their processing are shown in Figs. 1.2 and 1.3. We also calculate the
measure M ¼ 1/(k0.5), an alternative of the kappa index k. This is a measure of
how far the system resides from thermal equilibrium (Livadiotis and McComas,
2010a,b, 2011b).
Fig. 1.2 illustrates the parameter values of space plasmas of Table 1.1. Panel
(A) plots the parameters in an (n,T) diagram and uses a color map to illustrate
the values of the kappa index k and the measure M ¼ 1/(k 0.5). Panel
(B) shows a 3-D scatter map of the triplet values (n,T,M), while panel (C) depicts
the histogram of the values of M. In Figs. 1.2A and B, we observe that hotter and
denser space plasmas reside closer to thermal equilibrium (i.e., larger k, smaller M).
The histogram of M values in Fig. 1.2C shows that the most frequent values
are M w 0.25 and M w 0.45, corresponding to k w 4.5 and k w 2.5. The value
of k w 4.5 coincides with that of the most frequent solar wind value (Gloeckler
and Geiss, 1998). The value of k w 2.5 is frequently observed in space plasmas
characterizing a special state called “escape state” (e.g., Chapters 2 and 8;
Livadiotis and McComas, 2010a, 2013d; Yoon, 2014).
Fig. 1.3 shows that the measure M is negatively correlated with both the density
and the temperature. We would like to find out when this correlation is maxi-
mized, that is, when do we consider only the density or the temperature, or when
do we use some combination of both? More precisely, the correlation between
M and logðnT n Þ is examined for various values of the exponent n. A linear relation
is fitted for (a) n ¼ 0, (b) n ¼ 0.6, and (c) n ¼ 1. Then we seek for the maximum
correlation. In particular, panel (d) shows the modified coefficient Rh1 r 2
(where r denotes the Pearson’s correlation coefficient), which is plotted as a
function of the exponent n. The modified correlation R is minimized, and the
correlation r is maximized, for n ¼ 0.55. The error derived from the corre-
lation maximization method (Livadiotis and McComas, 2013c) is dn ¼ 0.38.
Therefore, the fitting for the optimal exponent n ¼ 0.6 (in Fig. 1.3B) gives
8
PART 1 Theory and Formalism
Table 1.1 Space Plasmas Out of Thermal Equilibrium and Characteristic Values of n, T, and k
9
10 PART 1 Theory and Formalism
FIGURE 1.2
Examples of space plasmas with their representative values of density n, temperature T, and kappa index k (Table 1.1). (A) A color
map based on the measure M ¼ 1/(k 0.5) in the n-T plane. This measure M takes values from M ¼ 0 (thermal equilibrium) to
M ¼ 1 (“antiequilibrium,” the furthest state from thermal equilibrium). (B) 3-D scatter map of the values of (n,T,M). (C) Histogram of
the values of M. Adopted from Livadiotis (2015a).
Mw2:27 0:19$logðnT n Þ. This is written as 1 Mw0:19$log nT n 5 106 or
nT n y5 106 $105:26ð1MÞ . If we consider the value n w 0.5, the product nT n can
be thought as the “electron thermal flux,” given by Jhnqe wnT 1=2, where we find
Mw2:22 0:19$log nT 1=2 or J ¼ J0 eaj M with J0 w 2 1015 s1m2 and
aj w 12. Also, near the error bars is the exponent value of n ¼ 1 that corresponds
to thermal pressure nT ¼ P=kB. In this case, the fitting gives
Mw2:43
0:16$logðnTÞ, which is written as 1 Mw0:16$log P kB 0:87 10 9 or
P kB ¼ 0:87 109 ∙105:88ð1MÞ , i.e., P ¼ P0 eap M with P0 w 0.91 108 Pa
and ap w 13.54. Thus the lowest and highest thermal pressure of a space
plasma that is stabilized on a single kappa distribution are, on average, given by
P=kB ¼ 0:87 109 or Py0:12 pdyne$cm2, and P=kB ¼ 1:54 1015 or
Py2:13 105 pdyne$cm2 , respectively. (Note that we used the pressure units
of kB$m3$K, Pa, and pdyne$cm2.) The previously described relations quanti-
fied the existence of negatively correlated trends between M (or the positive
correlated trends between and the kappa index) and the densityetemperature
quantity nT n.
Statistical Background of Kappa Distributions CHAPTER 1 11
(A) (B)
1.0 V=0 1.0 V = 0.6
M=1.82-0.22 log n M=2.27-0.19 log nT 0.6
0.8 0.8
0.6 0.6
M
M
0.4 0.4
0.2 0.2
0.0 0.0
2 4 6 8 10 12 14 16 4 6 8 10 12 14 16 18 20 22
log n [m-3] log n/[m-3]+0.6 log T/[K]
(C)
1.0 V=1
M=2.43-0.16 log nT (D)
0.8
0.9
1 - correlation2
0.6
0.8
M
0.4
0.7
0.2
0.0
6 8 10 12 14 16 18 20 22 24 –1 0 1 2 3
log P/kB [Km-3] V
FIGURE 1.3
Fitting and correlation between M ¼ 1/(k 0.5) and logðnT n Þ are examined for various values of the exponent n, (A) n ¼ 0, (B)
n ¼ 0.6, and (C) n ¼ 1. Panel (D) shows the modified correlation coefficient (h1 correlation2) and its minimization at n ¼ 0.6
(corresponding to a maximization of correlation). Notes: panels (AeC) apply a fitting that takes into account the errors of both the
variables (e.g., see the fitting method in Frisch et al., 2013); panel (D) applies a correlation maximization method (as defined in
Livadiotis and McComas, 2013c). Adopted from Livadiotis (2015a).
12 PART 1 Theory and Formalism
ðkB TÞ2dK
1
GðkÞkk
PðεK ; k0 ; TÞ ¼ $
dK
G kdK
2 dK dK 2
G k k
2 2
k1
1 εK hεK i 1
d 1
1þ $ εK2 K ; (1.1a)
k kB T
GðkÞkk
P !u ; k; T ¼ p2dK qdK $
1
dK ðk 2 Þ
dK
dK
G k k
2 2
2 3k1 (1.1b)
1 ! ! 2 dK
m u u k T
6 1 b B
7
4 1 þ $2 2 5 ;
k kB T
with normalization
Z N Z N
Pð!
u ; k0 ; TÞd!
u ¼ 1; PðεK ; k0 ; TÞdεK ¼ 1: (1.1c)
N 0
The bases of the distributions can be written in terms of the kinetic energy
εK ð!
u Þ ¼ 12 mð!u !
2
u b Þ instead of the meanless kinetic energy εK hεK i ¼
1 mð!u !
2
u Þ dK k T,
2 b 2 B
1dK 0 1k1
dK 2
k kB T
εK C
$B
2 1 1
d 1
PðεK ; k0 ; T Þ ¼ @1 þ $ A εK2 K ; (1.2a)
dK dK dK k B T
B ;k þ 1 k
2 2 2
2 3k1
1dK ! ! 2
Gðk þ 1Þ ð u u bÞ 7
$6
dK 2 1
Pð!
2
u ; k; TÞ ¼ p k q $ 41 þ $ 5 .
2 dK dK q2
G k þ1 k
2 2
(1.2b)
where the Beta function is defined by B(x,y)hG(x)$G(y)/G(xþy).
In terms of the invariant kappa index k0 hk d2K , the distributions become
ðk0 kB TÞ2dK 1 εK k0 12dK 12dK 1
1 1
PðεK ; k0 ; TÞ ¼ $ 1 þ $ εK ; (1.3a)
dK k 0 kB T
B ; k0 þ 1
2
Statistical Background of Kappa Distributions CHAPTER 1 13
dK " #k0 11dK
G k0 þ 1 þ
1 1 ð!
u !u b Þ2
2
!
Pð u ; k0 ; TÞ ¼ p k0 q2 2dK
$
2
$ 1þ $ .
Gðk0 þ 1Þ k0 q2
(1.3b)
At thermal equilibrium, these distributions become
ðkB T Þ2dK
1
εK
P ðεK ; k0 /N; T Þ ¼ $exp ; (1.4a)
dK kB T
G
2
2 3
1 ! ! 2
1d 6 2 mð u u b Þ 7
Pð!
u ; k0 /N; TÞ ¼ p q2 2 K $exp6
4
7.
5 (1.4b)
kB T
pffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffiffi
where qh 2kB T=m is the thermal speed of a particle with mass m, that is, the
particle temperature T expressed in speed units; both the particle ! u and bulk
!
u b hh! u i velocities are in an inertial reference frame. Note that the kinetic en-
ergy is expressed in the co-moving system of the particle flow with bulk velocity
!
u b , i.e., εK ¼ 12 mð! u !
2
u bÞ .
This chapter presents the connection between the basic theory and formalism
of kappa distributions and the statistical framework of nonextensive statistical
mechanics. In Section 1.3, we provide a brief mathematical motivation for
generating and using the kappa distribution, that is, the deformation of the
exponential canonical distribution and the logarithmic entropic form. In
Section 1.4, we briefly review the basic aspects of nonextensive statistical me-
chanics, emphasizing on the Tsallis entropic formulation. In Section 1.5, we
develop the particle canonical distribution function derived from the maxi-
mization of the Tsallis entropy under the constraints of canonical ensemble.
The derivation is shown for both discrete and continuous datasets. Then in
Section 1.6, we proceed in the connection of kappa distributions with non-
extensive statistical mechanics, providing also important historical facts and
comments. In Section 1.7, we analyze the structure of the kappa distribution,
focusing on its base and exponent. In Section 1.8, we determine the physical
meaning of the concept of temperature for stationary states out of the specific
stationary state called “thermal equilibrium,” utilizing the main classical def-
initions of temperature. Then we specify eight misleading considerations
regarding the temperature and provide their resolution. We state the relativity
principle for statistical mechanics, which concerns the constancy of the mean
kinetic energy along the stationary states. In Section 1.9, we analyze and
discuss the concept of the kappa index, emphasizing on the dependence of the
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*****
Iisakki löi kiroten kirjan kiinni. Hänelle oli samalla selvinnyt, mihin
Nuusperi oli mennyt ja mitä varten hän oli pirullisia kuviaan kirjoihin
piirrellyt.
— Älä!
— Ka, kun vielä siinä… Samoin kävi meidän kaupalle kuin
Korpijoenkin, ellei vielä hullummin. Olisit, Rietula, aikanaan katsonut.
— Niin, ei osuuskunta…
Rietula kirosi.
Rietula aprikoi, istuako vai ei. Siinä olisi ollut sopiva kantokin,
mutta maa tuntui polttavan kantapäitä.