You are on page 1of 780

,(((3D['1RYHPEHU

 ,(((3D[Œ'1RYHPEHU

DPHQGPHQWWR,(((35(9PG'






,(((3D[Œ'


'UDIW 6WDQGDUG IRU ,QIRUPDWLRQ WHFKQRORJ\² 7HOH


FRPPXQLFDWLRQVDQGLQIRUPDWLRQH[FKDQJHEHWZHHQ 

 V\VWHPV /RFDO DQG PHWURSROLWDQ DUHD QHWZRUNV² 

 6SHFLILFUHTXLUHPHQWV






3DUW:LUHOHVV/$10HGLXP$FFHVV&RQWURO


0$& DQG3K\VLFDO/D\HU 3+< 6SHFLILFDWLRQV

 

 $PHQGPHQW  (QKDQFHPHQWV IRU +LJK (IILFLHQF\ 



:/$1


 3UHSDUHGE\WKH:RUNLQJ*URXSRIWKH


 /$10$16WDQGDUGV&RPPLWWHH

 RIWKH
 ,(((&RPSXWHU6RFLHW\


 &RS\ULJKW‹E\WKH,(((
 7KUHH3DUN$YHQXH
 1HZ<RUN1HZ<RUN86$


$OOULJKWVUHVHUYHG

 7KLVGRFXPHQWLVDQXQDSSURYHGGUDIWRIDSURSRVHG,(((6WDQGDUG$VVXFKWKLVGRFXPHQWLVVXEMHFWWR 
 FKDQJH 86( $7 <285 2:1 5,6. %HFDXVH WKLV LV DQ XQDSSURYHG GUDIW WKLV GRFXPHQW PXVW QRW EH
 XWLOL]HG IRU DQ\ FRQIRUPDQFHFRPSOLDQFH SXUSRVHV 3HUPLVVLRQ LV KHUHE\ JUDQWHG IRU ,((( 6WDQGDUGV


&RPPLWWHH SDUWLFLSDQWV WR UHSURGXFH WKLV GRFXPHQW IRU SXUSRVHV RI LQWHUQDWLRQDO VWDQGDUGL]DWLRQ 
 FRQVLGHUDWLRQ3ULRUWR DGRSWLRQRIWKLVGRFXPHQWLQZKROHRULQSDUWE\DQRWKHUVWDQGDUGV GHYHORSPHQW
 RUJDQL]DWLRQ SHUPLVVLRQ PXVW ILUVW EH REWDLQHG IURP WKH ,((( 6WDQGDUGV $FWLYLWLHV 'HSDUWPHQW
 VWGVLSU#LHHHRUJ 2WKHUHQWLWLHVVHHNLQJSHUPLVVLRQWRUHSURGXFHWKLVGRFXPHQWLQZKROHRULQSDUWPXVW
 DOVRREWDLQSHUPLVVLRQIURPWKH,(((6WDQGDUGV$FWLYLWLHV'HSDUWPHQW


 ,(((6WDQGDUGV$FWLYLWLHV'HSDUWPHQW
 +RHV/DQH
 3LVFDWDZD\1-86$





&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $EVWUDFW 7KLV DPHQGPHQW GHILQHV PRGLILFDWLRQV WR ERWK WKH ,(((  SK\VLFDO OD\HU 3+< 
 DQGWKHPHGLXPDFFHVVFRQWURO 0$& VXEOD\HUIRUKLJKHIILFLHQF\RSHUDWLRQLQIUHTXHQF\EDQGV 

EHWZHHQ*+]DQG*+]


 .H\ZRUGVKLJKHIILFLHQF\3+<SK\VLFDOOD\HU0$&PHGLXPDFFHVVFRQWURO2)'0$RUWKRJR
 QDOIUHTXHQF\GLYLVLRQPXOWLSOHDFFHVVZLUHOHVVORFDODUHDQHWZRUN:/$1GHQVHGHSOR\PHQW



























































 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU



,QWURGXFWLRQ

 7KLVLQWURGXFWLRQLVQRWSDUWRI,(((3D['1RYHPEHU,(((6WDQGDUGIRU,QIRUPDWLRQ
 WHFKQRORJ\²7HOHFRPPXQLFDWLRQVDQGLQIRUPDWLRQH[FKDQJHEHWZHHQV\VWHPV²/RFDODQGPHWURSROLWDQDUHD
 QHWZRUN²6SHFLILFUHTXLUHPHQWV²3DUW:LUHOHVV/$10HGLXP$FFHVV&RQWURO 0$& DQG3K\VLFDO/D\HU
 3+< 6SHFLILFDWLRQV²$PHQGPHQW(QKDQFHPHQWVIRU+LJK(IILFLHQF\:/$1



 7KLV DPHQGPHQW GHILQHV PRGLILFDWLRQV WR ERWK WKH ,(((  SK\VLFDO OD\HU 3+<  DQG WKH PHGLXP

 DFFHVV FRQWURO 0$&  VXEOD\HU IRU KLJK HIILFLHQF\ RSHUDWLRQ LQ IUHTXHQF\ EDQGV EHWZHHQ *+] DQG

*+]


 /DZVDQGUHJXODWLRQV

 8VHUV RI WKHVH GRFXPHQWV VKRXOG FRQVXOW DOO DSSOLFDEOH ODZV DQG UHJXODWLRQV &RPSOLDQFH ZLWK WKH

 SURYLVLRQV RI WKLV VWDQGDUG GRHV QRW LPSO\ FRPSOLDQFH WR DQ\ DSSOLFDEOH UHJXODWRU\ UHTXLUHPHQWV
 ,PSOHPHQWHUV RI WKH VWDQGDUG DUH UHVSRQVLEOH IRU REVHUYLQJ RU UHIHUULQJ WR WKH DSSOLFDEOH UHJXODWRU\ 
 UHTXLUHPHQWV ,((( GRHV QRW E\ WKH SXEOLFDWLRQ RI LWV VWDQGDUGV LQWHQG WR XUJH DFWLRQ WKDW LV QRW LQ

 FRPSOLDQFHZLWKDSSOLFDEOHODZVDQGWKHVHGRFXPHQWVPD\QRWEHFRQVWUXHGDVGRLQJVR


 &RS\ULJKWV


 7KLVGRFXPHQWLVFRS\ULJKWHGE\WKH,(((,WLVPDGHDYDLODEOHIRUDZLGHYDULHW\RIERWKSXEOLFDQGSULYDWH
 XVHV 7KHVH LQFOXGH ERWK XVH E\ UHIHUHQFH LQ ODZV DQG UHJXODWLRQV DQG XVH LQ SULYDWH VHOIUHJXODWLRQ
 VWDQGDUGL]DWLRQ DQG WKH SURPRWLRQ RI HQJLQHHULQJ SUDFWLFHV DQG PHWKRGV %\ PDNLQJ WKLV GRFXPHQW
 DYDLODEOHIRUXVHDQGDGRSWLRQE\SXEOLFDXWKRULWLHVDQGSULYDWHXVHUVWKH,(((GRHVQRWZDLYHDQ\ULJKWVLQ 

FRS\ULJKWWRWKLVGRFXPHQW




8SGDWLQJRI,(((GRFXPHQWV

 8VHUV RI ,((( VWDQGDUGV VKRXOG EH DZDUH WKDW WKHVH GRFXPHQWV PD\ EH VXSHUVHGHG DW DQ\ WLPH E\ WKH
 LVVXDQFH RI QHZ HGLWLRQV RU PD\ EH DPHQGHG IURP WLPH WR WLPH WKURXJK WKH LVVXDQFH RI DPHQGPHQWV
 FRUULJHQGDRUHUUDWD$QRIILFLDO,(((GRFXPHQWDWDQ\SRLQWLQWLPHFRQVLVWVRIWKHFXUUHQWHGLWLRQRIWKH

 GRFXPHQWWRJHWKHUZLWKDQ\DPHQGPHQWVFRUULJHQGDRUHUUDWDWKHQLQHIIHFW,QRUGHUWRGHWHUPLQHZKHWKHU
 D JLYHQ GRFXPHQW LV WKH FXUUHQW HGLWLRQ DQG ZKHWKHU LW KDV EHHQ DPHQGHG WKURXJK WKH LVVXDQFH
 RIDPHQGPHQWV FRUULJHQGD RU HUUDWD YLVLW WKH ,((( 6WDQGDUGV $VVRFLDWLRQ ZHEVLWH DW KWWS
 LHHH[SORUHLHHHRUJ[SOVWDQGDUGVMVSRUFRQWDFWWKH,(((DWWKHDGGUHVVOLVWHGSUHYLRXVO\


 )RUPRUHLQIRUPDWLRQDERXWWKH,(((6WDQGDUGV$VVRFLDWLRQRUWKH,(((VWDQGDUGVGHYHORSPHQWSURFHVV
 YLVLWWKH,(((6$ZHEVLWHDWKWWSVWDQGDUGVLHHHRUJ


 (UUDWD

 (UUDWD LI DQ\ IRU WKLV DQG DOO RWKHU VWDQGDUGV FDQ EH DFFHVVHG DW WKH IROORZLQJ 85/ KWWS

VWDQGDUGVLHHHRUJILQGVWGVHUUDWDLQGH[KWPO 8VHUV DUH HQFRXUDJHG WR FKHFN WKLV 85/ IRU HUUDWD

 SHULRGLFDOO\


 3DWHQWV

 $WWHQWLRQLVFDOOHGWRWKHSRVVLELOLW\WKDWLPSOHPHQWDWLRQRIWKLVVWDQGDUGPD\UHTXLUHXVHRIVXEMHFWPDWWHU
 FRYHUHGE\SDWHQWULJKWV%\SXEOLFDWLRQRIWKLVVWDQGDUGQRSRVLWLRQLVWDNHQZLWKUHVSHFWWRWKHH[LVWHQFHRU


&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 YDOLGLW\RIDQ\SDWHQWULJKWVLQFRQQHFWLRQWKHUHZLWK$SDWHQWKROGHURUSDWHQWDSSOLFDQWKDVILOHGDVWDWHPHQW
 RIDVVXUDQFHWKDWLWZLOOJUDQWOLFHQVHVXQGHUWKHVHULJKWVZLWKRXWFRPSHQVDWLRQRUXQGHUUHDVRQDEOHUDWHV

ZLWKUHDVRQDEOHWHUPVDQGFRQGLWLRQVWKDWDUHGHPRQVWUDEO\IUHHRIDQ\XQIDLUGLVFULPLQDWLRQWRDSSOLFDQWV

 GHVLULQJWRREWDLQVXFKOLFHQVHV2WKHU(VVHQWLDO3DWHQW&ODLPVPD\H[LVWIRUZKLFKDVWDWHPHQWRIDVVXUDQFH
 KDV QRW EHHQ UHFHLYHG 7KH ,((( LV QRW UHVSRQVLEOH IRU LGHQWLI\LQJ (VVHQWLDO 3DWHQW &ODLPV IRU ZKLFK D
 OLFHQVH PD\ EH UHTXLUHG IRU FRQGXFWLQJ LQTXLULHV LQWR WKH OHJDO YDOLGLW\ RU VFRSH RI 3DWHQWV &ODLPV RU
 GHWHUPLQLQJ ZKHWKHU DQ\ OLFHQVLQJ WHUPV RU FRQGLWLRQV DUH UHDVRQDEOH RU QRQGLVFULPLQDWRU\ )XUWKHU

LQIRUPDWLRQPD\EHREWDLQHGIURPWKH,(((6WDQGDUGV$VVRFLDWLRQ

























































 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 3DUWLFLSDQWV


 $W WKH WLPH WKLV UHYLVLRQ ZDV VHQW WR VSRQVRU EDOORW WKH ,(((  :RUNLQJ *URXS KDG WKH IROORZLQJ
 RIILFHUV

 'RURWK\6WDQOH\Chair

 -RQ:5RVGDKO1st Vice Chair
 5REHUW6WDFH\2nd Vice Chair
 6WHSKHQ0F&DQQSecretary

 7KHRIILFHUVDQGPHPEHUVRIWKH7DVN*URXSD[:RUNLQJ*URXSEDOORWSRRODUHDVIROORZV


 2VDPD$ERXO0DJGChair
 5RQ3RUDW1st Vice Chair
 $OIUHG$VWHUMDGKL2nd Vice Chair
 <DVXKLNR,QRXH Secretary

 5REHUW6WDFH\Technical Editor

 Editor’s Note: A 3-column list of working group voters at the time the working group first approved the
 draft will be inserted here.


 0DMRUFRQWULEXWLRQVZHUHUHFHLYHGIURPWKHIROORZLQJLQGLYLGXDOV

 Editor’s Note: A 3-column list of those who made major contributions will be inserted here.

 7KHIROORZLQJPHPEHUVRIWKHLQGLYLGXDOEDOORWLQJFRPPLWWHHYRWHGRQWKLVUHYLVLRQ%DOORWHUVPD\KDYH

 YRWHGIRUDSSURYDOGLVDSSURYDORUDEVWHQWLRQ

 Editor’s Note: A 3-column list of sponsor ballot voters will be inserted here.

 Editor’s Note: The date of approval will be inserted on the following line.


 :KHQWKH,(((6$6WDQGDUGV%RDUGDSSURYHGWKLVUHYLVLRQRQGDWH!LWKDGWKHIROORZLQJPHPEHUVKLS

 Editor’s Note: The officers of the IEEE-SA Standards board will be inserted here.


 Editor’s Note: A 3-column list of the IEEE-SA Standards board members will be inserted here.

 $OVRLQFOXGHGDUHWKHIROORZLQJQRQYRWLQJ,(((6$6WDQGDUGV%RDUGOLDLVRQV


 Editor’s Note: The Standards Program Manager and Staff liaison will be inserted below.

QDPH!

,(((6WDQGDUGV3URJUDP0DQDJHU'RFXPHQW'HYHORSPHQW


QDPH!

,(((6WDQGDUGV3URJUDP0DQDJHUV7HFKQLFDO3URJUDP'HYHORSPHQW











&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU



































































 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU



































































&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU



































































 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU



&RQWHQWV

 (GLWRULDO1RWHV  

  1RUPDWLYHUHIHUHQFHV  


  'HILQLWLRQVDFURQ\PVDQGDEEUHYLDWLRQV 

  'HILQLWLRQV  
  'HILQLWLRQVVSHFLILFWR,(((  

 $EEUHYLDWLRQVDQGDFURQ\PV  


  *HQHUDOGHVFULSWLRQ  

  &RPSRQHQWVRIWKH,(((6WGDUFKLWHFWXUH  

D +LJKHIILFLHQF\ +( 67$  

  :LUHOHVVQHWZRUNPDQDJHPHQW  
  (YHQWUHSRUWLQJ 

  /D\HUPDQDJHPHQW 


  0/0(6$3LQWHUIDFH  
  6FDQ 
  0/0(6&$1UHTXHVW  
  0/0(6&$1FRQILUP  

 6\QFKURQL]DWLRQ  

  0/0(-2,1UHTXHVW  
  $VVRFLDWH  
  0/0($662&,$7(UHTXHVW 
  0/0($662&,$7(FRQILUP 

 0/0($662&,$7(LQGLFDWLRQ  

  0/0($662&,$7(UHVSRQVH  
  5HDVVRFLDWH 
  0/0(5($662&,$7(UHTXHVW 
  0/0(5($662&,$7(FRQILUP 

 0/0(5($662&,$7(LQGLFDWLRQ  

  0/0(5($662&,$7(UHVSRQVH  
  6WDUW  
  0/0(67$57UHTXHVW  
  4XLHWWLPHSHULRG  

 ,QWURGXFWLRQ 

  0/0(473UHTXHVW  
  0/0(473LQGLFDWRQ 
  0/0(473UHVSRQVH 
  0/0(473FRQILUP  

 3/0(6$3LQWHUIDFH  

  3/0(7;7,0(FRQILUP 
  6HPDQWLFVRIWKHVHUYLFHSULPLWLYH  

  3+<VHUYLFHVSHFLILFDWLRQ 


  'HWDLOHG3+<VHUYLFHVSHFLILFDWLRQV 
  %DVLFVHUYLFHDQGRSWLRQV 


&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

  3+<6$3LQWHU VXE OD\HUVHUYLFHSULPLWLYHV 


  3+<6$3VHUYLFHSULPLWLYHVSDUDPHWHUV  

 9HFWRUGHVFULSWLRQV  

  3+<6$3GHWDLOHGVHUYLFHVSHFLILFDWLRQ 
  3+<'$7$UHTXHVW 
  3+<'$7$LQGLFDWLRQ  
  3+<&&$5(6(7UHTXHVW  

 3+<&&$LQGLFDWLRQ  

  3+<75,**(5UHTXHVW  

  )UDPHIRUPDWV  


 0$&IUDPHIRUPDWV 

  )UDPHILHOGV  
  )UDPH&RQWUROILHOG 
  $GGUHVVILHOGV 
  4R6&RQWUROILHOG  

 +7&RQWUROILHOG 

 D &RQWUROVXEILHOGYDULDQWVRIDQ$&RQWUROVXEILHOG  
  )UDPH%RG\ILHOG  
  'XUDWLRQ,'ILHOG 4R667$  
  6HWWLQJIRUVLQJOHDQGPXOWLSOHSURWHFWLRQXQGHUHQKDQFHGGLVWULEXWHG

FKDQQHODFFHVV ('&$ 

  6HWWLQJIRUFRQWUROUHVSRQVHIUDPHV  
  6HWWLQJIRURWKHUUHVSRQVHIUDPHV 
  )RUPDWRILQGLYLGXDOIUDPHW\SHV 
  &RQWUROIUDPHV  

 576IUDPHIRUPDW  

  &76IUDPHIRUPDW  
  363ROOIUDPHIRUPDW  
  &)(QGIUDPHIRUPDW  
  %ORFN$FN5HTIUDPHIRUPDW  

 %ORFN$FNIUDPHIRUPDW  

  9+7+(1'3$QQRXQFHPHQWIUDPHIRUPDW 
  7ULJJHUIUDPHIRUPDW 
  'DWDIUDPHV  
  )RUPDWRI'DWDIUDPHV  

 0DQDJHPHQWIUDPHV 

  %HDFRQIUDPHIRUPDW 
  $VVRFLDWLRQ5HTXHVWIUDPHIRUPDW 
  $VVRFLDWLRQ5HVSRQVHIUDPHIRUPDW  
  5HDVVRFLDWLRQ5HTXHVWIUDPHIRUPDW 

 5HDVVRFLDWLRQ5HVSRQVHIUDPHIRUPDW  

  3UREH5HTXHVWIUDPHIRUPDW  
  3UREH5HVSRQVHIUDPHIRUPDW  
  $FWLRQIUDPHIRUPDW 
  ([WHQVLRQIUDPHV 

 '0*%HDFRQ  

  6*%HDFRQIUDPHIRUPDW 
  0DQDJHPHQWDQG([WHQVLRQIUDPHERG\FRPSRQHQWV  
  )LHOGVWKDWDUHQRWHOHPHQWV  
  5HDVRQ&RGHILHOG  

 6WDWXV&RGHILHOG  

  $FWLRQILHOG  

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

  4R6,QIRILHOG 


  %DQG,'ILHOG 

 2SHUDWLQJ0RGHILHOG  

  7:7,QIRUPDWLRQILHOG 
  +(0,02&RQWUROILHOG  
  +(&RPSUHVVHG%HDPIRUPLQJ5HSRUWILHOG  
  +(08([FOXVLYH%HDPIRUPLQJ5HSRUWILHOG 

 +(&4,5HSRUWILHOG  

  (OHPHQWV 
  *HQHUDO  
  6XSSRUWHG5DWHVDQG%660HPEHUVKLS6HOHFWRUVHOHPHQW 
  7,0HOHPHQW 

 ([WHQGHG&DSDELOLWLHVHOHPHQW 

  763(&HOHPHQW  
  1HLJKERU5HSRUWHOHPHQW  
  0XOWLSOH%66,'HOHPHQW 
  &KDQQHO6ZLWFK7LPLQJHOHPHQW 

 (YHQW5HTXHVWHOHPHQW 

  (YHQW5HSRUWHOHPHQW 
  0XOWLSOH%66,',QGH[HOHPHQW  
  $''%$([WHQVLRQHOHPHQW 
  9+7&DSDELOLWLHV  

 ([WHQGHG%66/RDGHOHPHQW 

  7UDQVPLW3RZHU(QYHORSHHOHPHQW  
  5HGXFHG1HLJKERU5HSRUWHOHPHQW  
  ),/65HTXHVW3DUDPHWHUVHOHPHQW  
  7:7HOHPHQW  

 +(&DSDELOLWLHVHOHPHQW 

  +(2SHUDWLRQHOHPHQW 
  825$3DUDPHWHU6HWHOHPHQW  
  08('&$3DUDPHWHU6HWHOHPHQW  
  6SDWLDO5HXVH3DUDPHWHU6HWHOHPHQW 

 1'3)HHGEDFN5HSRUW3DUDPHWHU6HWHOHPHQW  

  %66&RORU&KDQJH$QQRXQFHPHQWHOHPHQW  
  4XLHW7LPH3HULRGHOHPHQW  
  (665HSRUWHOHPHQW  
  236HOHPHQW 

 +(%66/RDGHOHPHQW  

  0XOWLSOH%66,'&RQILJXUDWLRQHOHPHQW  
  .QRZQ%66,'HOHPHQW 
  6KRUW66,'/LVWHOHPHQW  
  +(*+]%DQG&DSDELOLWLHVHOHPHQW 

 8/083RZHU&DSDELOLWLHVHOHPHQW 

  $FWLRQIUDPHIRUPDWGHWDLOV  
  3XEOLF$FWLRQGHWDLOV  
  7'/6'LVFRYHU\5HVSRQVHIUDPHIRUPDW 
  ),/6'LVFRYHU\IUDPHIRUPDW  

 7'/6$FWLRQILHOGIRUPDWV  

  7'/66HWXS5HTXHVW$FWLRQILHOGIRUPDW 
  7'/66HWXS5HVSRQVH$FWLRQILHOGIRUPDW  
  7'/66HWXS&RQILUP$FWLRQILHOGIRUPDW  
  6HOISURWHFWHG$FWLRQIUDPHGHWDLOV  

 0HVK3HHULQJ2SHQIUDPHIRUPDW  

  0HVK3HHULQJ&RQILUPIUDPHIRUPDW  

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

  8QSURWHFWHG6*$FWLRQIUDPHGHWDLOV  


  8QSURWHFWHG6*$FWLRQILHOG 

 7:76HWXSIUDPHIRUPDW 

  7:77HDUGRZQIUDPHIRUPDW 
  7:7,QIRUPDWLRQIUDPHIRUPDW  
  +($FWLRQIUDPHGHWDLOV  
  +($FWLRQILHOG  

 +(&RPSUHVVHG%HDPIRUPLQJ&4,IUDPHIRUPDW  

  4XLHW7LPH3HULRG$FWLRQIUDPHGHWDLOV  
  236IUDPHIRUPDW  
  3URWHFWHG+($FWLRQIUDPHGHWDLOV  
  3URWHFWHG+($FWLRQILHOG  

 +(%66&RORU&KDQJH$QQRXQFHPHQWIUDPHIRUPDW  

  08('&$&RQWUROIUDPHIRUPDW  
  $JJUHJDWH03'8 $03'8  
  $03'8IRUPDW  
  $03'8FRQWHQWV  


  0$&VXEOD\HUIXQFWLRQDOGHVFULSWLRQ 

  ,QWURGXFWLRQ 
  0$&DUFKLWHFWXUH  

 *HQHUDO 

  +\EULGFRRUGLQDWLRQIXQFWLRQ +&)  
  +&)FRQWHQWLRQEDVHGFKDQQHODFFHVV ('&$  
 D 7ULJJHUHGXSOLQNDFFHVV 78$  
  &RPELQHGXVHRI'&)DQG+&)DQG78$ 

 '&) 

  *HQHUDO 
  3URFHGXUHVFRPPRQWRWKH'&)DQG('&$)  
  &6PHFKDQLVP 
  ,)6 

 6HWWLQJDQGUHVHWWLQJWKH1$9  

  576&76ZLWKIUDJPHQWDWLRQ  
  5DQGRPEDFNRIIWLPH 
  08DFNQRZOHGJPHQWSURFHGXUH 
  '&)DFFHVVSURFHGXUH  

 5HFRYHU\SURFHGXUHVDQGUHWUDQVPLWOLPLWV 

  ,QGLYLGXDOO\DGGUHVVHG03'8WUDQVIHUSURFHGXUH  
  '&)WLPLQJUHODWLRQV  
  6LJQDOH[WHQVLRQ  
  06'8$06'8DQG003'8IUDJPHQWDWLRQ 

 06'8$06'8DQG003'8GHIUDJPHQWDWLRQ  

  0XOWLUDWHVXSSRUW 
  2YHUYLHZ 
  5DWHVHOHFWLRQIRU'DWDDQG0DQDJHPHQWIUDPHV  
  5DWHVHOHFWLRQIRUQRQ67%&%HDFRQDQGQRQ67%&3603IUDPHV 

 5DWHVHOHFWLRQIRURWKHUJURXSDGGUHVVHG'DWDDQG0DQDJHPHQWIUDPHV 

 
  5DWHVHOHFWLRQIRU&RQWUROIUDPHV  
  *HQHUDOUXOHVIRUUDWHVHOHFWLRQIRU&RQWUROIUDPHV 
  &KDQQHO:LGWKVHOHFWLRQIRU&RQWUROIUDPHV  

 0RGXODWLRQFODVVHV 

  1RQ+7EDVLFUDWHFDOFXODWLRQ  

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 
5DWHVHOHFWLRQFRQVWUDLQWVIRU9+767$V 
  $GGLWLRQDOUDWHVHOHFWLRQFRQVWUDLQWVIRU9+733'8V  

 +7&RQWUROILHOGRSHUDWLRQ  

  &RQWURO:UDSSHURSHUDWLRQ  
  $06'8RSHUDWLRQ 
  $03'8RSHUDWLRQ 
  $03'8FRQWHQWV  

 $03'8OHQJWKOLPLWUXOHV  

  0LQLPXP03'86VWDUW6VSDFLQJILHOGUXOHV  
  $03'8DJJUHJDWLRQRIJURXSDGGUHVVHG'DWDIUDPHV  
  $03'8SDGGLQJIRU9+7+(RU6*33'8  
  33'8GXUDWLRQFRQVWUDLQW  

 /'3&RSHUDWLRQ  

  +&) 
  *HQHUDO 
  +&)FRQWHQWLRQEDVHGFKDQQHODFFHVV ('&$  
  ('&$EDFNRIISURFHGXUH 

 2EWDLQLQJDQ('&$7;23 

  ('&$FKDQQHODFFHVVLQD9+7+(RU79+7%66 
  6KDULQJDQ('&$7;23  
  0XOWLSOHIUDPHWUDQVPLVVLRQLQDQ('&$7;23  
  7;23OLPLWV  

 7UXQFDWLRQRI7;23  

  7HUPLQDWLRQRI7;23  
  5HWUDQVPLWSURFHGXUHV 
  +&)FRQWUROOHGFKDQQHODFFHVV +&&$  
  +&&$WUDQVIHUUXOHV 

 %ORFNDFNQRZOHGJPHQW EORFNDFN  

  6HWXSDQGPRGLILFDWLRQRIWKHEORFNDFNSDUDPHWHUV  
  6HOHFWLRQRI%ORFN$FNDQG%ORFN$FN5HTYDULDQWV  
  +7LPPHGLDWHEORFNDFNH[WHQVLRQV 
  ,QWURGXFWLRQWR+7LPPHGLDWHEORFNDFNH[WHQVLRQV 

 6FRUHERDUGFRQWH[WFRQWUROGXULQJIXOOVWDWHRSHUDWLRQ 

  *HQHUDWLRQDQGWUDQVPLVVLRQRI%ORFN$FNIUDPHVE\DQ+767$'0*
 67$RU6*67$ 
  5HFHLYHUHRUGHULQJEXIIHUFRQWURORSHUDWLRQ  
  *&5DQG*/.*&5EORFNDFN  

 ,QWURGXFWLRQ*HQHUDO  

  *&5EORFNDFN%ORFN$FN5HTDQG%ORFN$FNIUDPHH[FKDQJHV  
  3URWHFWLRQPHFKDQLVPV  
  3URWHFWLRQUXOHVIRU+(67$V  
  5HYHUVHGLUHFWLRQSURWRFRO  

 *HQHUDO 

  5HYHUVHGLUHFWLRQ 5' H[FKDQJHVHTXHQFH  
  5XOHVIRU5'LQLWLDWRU  
  5XOHVIRU5'UHVSRQGHU  
  QXOOGDWD33'8 1'3 VRXQGLQJ  

 7UDQVPLVVLRQRID9+71'3 

  7DUJHWZDNHWLPH 7:7  
  7:7RYHUYLHZ  

  0/0(  


  6\QFKURQL]DWLRQ  

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

  0DLQWDLQLQJV\QFKURQL]DWLRQ  


  0XOWLSOH%66,'SURFHGXUH 

 $FTXLULQJV\QFKURQL]DWLRQVFDQQLQJ  

  $FWLYHVFDQQLQJ 
  3RZHUPDQDJHPHQW 
  3RZHUPDQDJHPHQWLQDQRQ'0*LQIUDVWUXFWXUHQHWZRUN 
  1RQ$367$SRZHUPDQDJHPHQWPRGHV 

 $3RSHUDWLRQ  

  5HFHLYHRSHUDWLRQIRU67$VLQ36PRGH  
  67$VRSHUDWLQJLQDFWLYHPRGH 
  7,0%URDGFDVW  
  60SRZHUVDYH 

 67$DXWKHQWLFDWLRQDQGDVVRFLDWLRQ 

  )UDPHILOWHULQJEDVHGRQ67$VWDWH  
  $VVRFLDWLRQUHDVVRFLDWLRQDQGGLVDVVRFLDWLRQ  
  $3RU3&3DVVRFLDWLRQUHFHLSWSURFHGXUHV 
  $3RU3&3UHDVVRFLDWLRQUHFHLSWSURFHGXUHV 

 1HLJKERUUHSRUWLQIRUPDWLRQXSRQUHMHFWLRQZLWKVXJJHVWHG%66WUDQVLWLRQ 

  76RSHUDWLRQ 
  76VHWXS  
  76VHWXSSURFHGXUHVIRUERWK$3DQGQRQ$367$LQLWLDWLRQ 
  73&SURFHGXUHV 

 5DGLRPHDVXUHPHQWSURFHGXUHV  

  0XOWLSOH%66,'VHW  
  7XQQHOHGGLUHFWOLQNVHWXS  
  *HQHUDO 
  :LUHOHVVQHWZRUNPDQDJHPHQWSURFHGXUHV  

 (YHQWUHTXHVWDQGUHSRUWSURFHGXUHV 

  (YHQWUHTXHVWDQGHYHQWUHSRUW 
  %66FRORUFROOLVLRQHYHQW 
  %66FRORULQXVHHYHQW  
  )LQHWLPLQJPHDVXUHPHQW )70 SURFHGXUH 

 0HDVXUHPHQWH[FKDQJH 

  %66WUDQVLWLRQPDQDJHPHQWIRUQHWZRUNORDGEDODQFLQJ 
  %66WUDQVLWLRQFDSDELOLW\ 
  %66WUDQVLWLRQPDQDJHPHQWUHVSRQVH  
  3ODQQHG(66 

 0XOWLEDQGRSHUDWLRQ  

  2QFKDQQHO7XQQHOLQJ 2&7 RSHUDWLRQ 
  )DVW,QLWLDO/LQN6HWXS ),/6 SURFHGXUHV  
  ),/6'LVFRYHU\IUDPHJHQHUDWLRQDQGXVDJH 
  ),/6'LVFRYHU\IUDPHWUDQVPLVVLRQ  

 5HGXFHGQHLJKERUUHSRUW 


  6HFXULW\  

  &RQVWUDLQWVRQDOORZHGVHFXULW\SDUDPHWHUV  

 ,QWURGXFWLRQ 

  6HFXULW\FRQVWUDLQWVLQWKH*+]EDQG  

  0/0(PHVKSURFHGXUHV  


 0HVKGLVFRYHU\  

  0HVK67$FRQILJXUDWLRQ  

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

  &DQGLGDWHSHHUPHVK67$  




 ([WHQGHG5DWH3+< (53 VSHFLILFDWLRQ 


  3+<VSHFLILFVHUYLFHSDUDPHWHUOLVW  

  +LJK(IILFLHQF\ +( 0$&VSHFLILFDWLRQ  


  ,QWURGXFWLRQ 
  +(FKDQQHODFFHVV  
  7;23GXUDWLRQEDVHG576&76  
  ,QWUD%66DQGLQWHU%6633'8FODVVLILFDWLRQ 

 65*33'8LGHQWLILFDWLRQ  

  8SGDWLQJWZR1$9V  
  7UXQFDWLRQRI7;23  
  085767ULJJHU&76IUDPHH[FKDQJHSURFHGXUH  
  *HQHUDO  

 085767ULJJHUIUDPHWUDQVPLVVLRQ  

  &76IUDPHUHVSRQVHWRDQ085767ULJJHUIUDPH 
  ('&$RSHUDWLRQXVLQJ08('&$SDUDPHWHUV  
  0XOWLSOHIUDPHWUDQVPLVVLRQLQDQ('&$7;23LQWKH*+]EDQG 
  )UDJPHQWDWLRQDQGGHIUDJPHQWDWLRQ  

 *HQHUDO 

  '\QDPLFIUDJPHQWDWLRQ  
  *HQHUDO  
  /HYHOG\QDPLFIUDJPHQWDWLRQ  
  /HYHOG\QDPLFIUDJPHQWDWLRQ  

 /HYHOG\QDPLFIUDJPHQWDWLRQ  

  '\QDPLFGHIUDJPHQWDWLRQ 
  *HQHUDO  
  /HYHOG\QDPLFGHIUDJPHQWDWLRQ 
  /HYHOG\QDPLFGHIUDJPHQWDWLRQ 

 /HYHOG\QDPLFGHIUDJPHQWDWLRQ 

  +(DFNQRZOHGJPHQWSURFHGXUH 
  2YHUYLHZ 
  $FNQRZOHGJPHQWFRQWH[WLQD0XOWL67$%ORFN$FNIUDPH  
  1HJRWLDWLRQRIEORFNDFNELWPDSOHQJWKV  

 3HU33'8DFNQRZOHGJPHQWVHOHFWLRQUXOHV  

  *HQHUDO  
  5HVSRQGLQJWRDQ+(6833'8RU+((56833'8ZLWKDQ6833'8
 
  5HVSRQGLQJWRDQ+(0833'8ZLWKDQ6833'8  

 5HVSRQGLQJWRDQ+(0833'8+(6833'8RU+((56833'8

 ZLWKDQ+(7%33'8 
  5HVSRQGLQJWRDQ+(7%33'8ZLWKDQ6833'8 
  5HVSRQGLQJWRDQ+(7%33'8ZLWKDQ+(0833'8  
  +(EORFNDFNQRZOHGJPHQWUHTXHVWDQGUHVSRQVHUXOHV 

 08RSHUDWLRQ  

  +('/08RSHUDWLRQ  
  *HQHUDO  
  58DGGUHVVLQJLQDQ+(0833'8  
  58DOORFDWLRQLQDQ+(0833'8  

 8/08RSHUDWLRQ 

  *HQHUDO  

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

  5XOHVIRUVROLFLWLQJ8/08IUDPHV  


  1RQ$367$EHKDYLRUIRU8/08RSHUDWLRQ  

 $03'8FRQWHQWVLQDQ+(7%33'8  

  8/08&6PHFKDQLVP 
  08FDVFDGLQJVHTXHQFH 
  8/2)'0$EDVHGUDQGRPDFFHVV 825$  
  *HQHUDO  

 (OLJLEOH5$58V  

  7UDQVPLVVLRQSURFHGXUHIRU825$  
  5HWUDQVPLVVLRQSURFHGXUHIRU825$  
  $GGLWLRQDOFRQVLGHUDWLRQVIRUXQDVVRFLDWHG67$V  
  %XIIHUVWDWXVUHSRUWRSHUDWLRQ  

 %DQGZLGWKTXHU\UHSRUWRSHUDWLRQ  

  1'3IHHGEDFNUHSRUWSURFHGXUH  
  *HQHUDO  
  67$EHKDYLRU  
  $3EHKDYLRU 

 1'3IHHGEDFNUHSRUWIRUDUHVRXUFHUHTXHVW  

  3RZHUVDYHRSHUDWLRQZLWK1'3IHHGEDFNUHSRUWSURFHGXUH  
  8VHRI763(&E\+(67$V  
  8/08WUDQVPLWSRZHUFDSDELOLWLHV  
  $03'8RSHUDWLRQLQDQ+(33'8  

 *HQHUDO 

  $03'8SDGGLQJLQDQ+(33'8  
  *HQHUDO  
  $03'8SDGGLQJLQDQ+(6833'8+((56833'8DQG+(08
 33'8 

 $03'8SDGGLQJLQDQ+(7%33'8  

  0XOWL7,'$03'8DQGDFNHQDEOHGVLQJOH7,'$03'8  
  *HQHUDO  
  $FNHQDEOHGVLQJOH7,'$03'8RSHUDWLRQ 
  1RQDFNHQDEOHGPXOWL7,'$03'8RSHUDWLRQ 

 $FNHQDEOHGPXOWL7,'$03'8RSHUDWLRQ  

  +(VRXQGLQJSURWRFRO  
  *HQHUDO 
  6RXQGLQJVHTXHQFHVDQGVXSSRUW  
  5XOHVIRU+(VRXQGLQJSURWRFROVHTXHQFHV  

 5XOHVIRUJHQHUDWLQJVHJPHQWHGIHHGEDFN  

  +(VRXQGLQJ1'3WUDQVPLVVLRQ  
  7:7RSHUDWLRQ 
  *HQHUDO 
  ,QGLYLGXDO7:7DJUHHPHQWV  

 %URDGFDVW7:7RSHUDWLRQ 

  *HQHUDO  
  5XOHVIRU7:7VFKHGXOLQJ$3 
  5XOHVIRU7:7VFKHGXOHG67$ 
  8VHRI7:7,QIRUPDWLRQIUDPHV  

 *HQHUDO  

  7:7,QIRUPDWLRQIUDPHH[FKDQJHIRULQGLYLGXDO7:7  
  7:7,QIRUPDWLRQIUDPHH[FKDQJHIRUEURDGFDVW7:7 
  7:7,QIRUPDWLRQIUDPHH[FKDQJHIRUIOH[LEOHZDNHWLPH  
  3RZHUVDYHRSHUDWLRQGXULQJ7:763V  

 1HJRWLDWLRQRIZDNH7%77DQGZDNHLQWHUYDO  

  +(VXEFKDQQHOVHOHFWLYHWUDQVPLVVLRQ  

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

  *HQHUDO  


  667RSHUDWLRQ 

 2SHUDWLQJPRGHLQGLFDWLRQ 

  *HQHUDO 
  5HFHLYHRSHUDWLQJPRGH 520 LQGLFDWLRQ 
  7UDQVPLWRSHUDWLQJPRGH 720 LQGLFDWLRQ  
  6SDWLDOUHXVHRSHUDWLRQ 

 *HQHUDO 

  2%663'EDVHGVSDWLDOUHXVHRSHUDWLRQ  
  *HQHUDO  
  *HQHUDORSHUDWLRQZLWKQRQ65*2%663'OHYHO 
  *HQHUDORSHUDWLRQZLWK65*2%663'OHYHO  

 $GMXVWPHQWRI2%663'DQGWUDQVPLWSRZHU 

  2%663'65WUDQVPLWSRZHUUHVWULFWLRQSHULRG  
  2%663'EDVHGVSDWLDOUHXVHEDFNRIISURFHGXUH  
  365EDVHGVSDWLDOUHXVHRSHUDWLRQ  
  *HQHUDO  

 365EDVHGVSDWLDOUHXVHLQLWLDWLRQ 

  365EDVHGVSDWLDOUHXVHEDFNRIISURFHGXUH  
  8/6SDWLDO5HXVHVXEILHOGRI7ULJJHUIUDPH 
  365733'8WUDQVPLVVLRQUHTXLUHPHQWV 
  365733'8UHFHSWLRQDQGUHVSRQVHWUDQVPLVVLRQUHTXLUHPHQWV  

 ,QWHUDFWLRQRI2%663'DQG365EDVHGVSDWLDOUHXVH  

  6HWWLQJ7;9(&725SDUDPHWHUVIRUDQ+(33'8  
  67$B,' 
  83/,1.B)/$*  
  %($0B&+$1*(  

 %66B&2/25 

  7;23B'85$7,21  
  63$7,$/B5(86(  
  ,1$&7,9(B68%&+$11(/6DQG58B$//2&$7,21  
  67%&DQG'&0 

 +(33'8SRVW)(&SDGGLQJDQGSDFNHWH[WHQVLRQ  

  /LQNDGDSWDWLRQXVLQJWKH+/$&RQWUROVXEILHOG  
  3RZHUPDQDJHPHQW 
  ,QWUD33'8SRZHUVDYHIRUQRQ$3+(67$V 
  3RZHUVDYHZLWK825$DQG7:7  

 2SSRUWXQLVWLFSRZHUVDYH  

  *HQHUDO  
  $3RSHUDWLRQIRURSSRUWXQLVWLFSRZHUVDYH 
  67$RSHUDWLRQIRURSSRUWXQLVWLFSRZHUVDYH  
  +(G\QDPLF60SRZHUVDYH  

 33'8IRUPDW%:0&6166DQG'&0VHOHFWLRQUXOHV  

  *HQHUDO 
  33'8IRUPDWVHOHFWLRQ  
  0&6166%:DQG'&0VHOHFWLRQ  
  5DWHVHOHFWLRQFRQVWUDLQWVIRU+(67$V  

 5HFHLYH+(0&6DQG1666HW  

  7UDQVPLW+(0&6DQG1666HW 
  $GGLWLRQDOUDWHVHOHFWLRQFRQVWUDLQWVIRU+(33'8V  
  5[6XSSRUWHG9+70&6DQG1666HW  
  $GGLWLRQDOUXOHVIRU(5EHDFRQVDQGJURXSDGGUHVVHGIUDPHV  

 $GGLWLRQDOUXOHVIRU+(EHDFRQVDQGJURXSDGGUHVVHGIUDPHV  

  $GGLWLRQDOUXOHVIRUJURXSDGGUHVVHGIUDPHVLQDQ+(0833'8  

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

  $GGLWLRQDOUXOHVIRU33'8VVHQWLQWKH*+]EDQG  


  0LGDPEOHSDUDPHWHUVHWWLQJUXOHV 

 +(%66RSHUDWLRQ  

  %DVLF+(%66RSHUDWLRQ  
  +(%66RSHUDWLRQLQWKH*+]EDQG 
  *HQHUDO  
  %HDFRQVLQWKH*+]EDQG 

 6FDQQLQJLQWKH*+]EDQG  

  2XWRIEDQGGLVFRYHU\RID*+]%66  
  +(67$DQWHQQDLQGLFDWLRQ  
  %66FRORU  
  *HQHUDO  

 ,QLWLDO%66FRORU 

  'LVDEOLQJ%66FRORU 
  6HOHFWLQJDQGDGYHUWLVLQJDQHZ%66FRORU  
  'HWHFWLQJDQGUHSRUWLQJ%66FRORUFROOLVLRQ 
  $,'DVVLJQPHQW  

 4XLHW+(67$VLQDQ+(%66 

  *HQHUDO  
  4735HTXHVWLQJ67$SURFHGXUH 
  5HVSRQGLQJ$3SURFHGXUH  
  (5EHDFRQJHQHUDWLRQLQDQ(5%66  

 &RKRVWHG%66,'VHW  


  +LJK(IILFLHQF\ +( 3+<VSHFLILFDWLRQ  

  ,QWURGXFWLRQ 

 ,QWURGXFWLRQWRWKH+(3+<  

  6FRSH 
  +(3+<IXQFWLRQV  
  *HQHUDO  
  3+<PDQDJHPHQWHQWLW\ 3/0(  

 6HUYLFHVSHFLILFDWLRQPHWKRG  

  33'8IRUPDWV  
  +(3+<VHUYLFHLQWHUIDFH 
  ,QWURGXFWLRQ 
  7;9(&725DQG5;9(&725SDUDPHWHUV  

 75,*9(&725SDUDPHWHUV 

  3+<&21),*B9(&725SDUDPHWHUV  
  (IIHFWVRI&+B%$1':,'7+SDUDPHWHURQ33'8IRUPDW 
  6XSSRUWIRUQRQ+7+7DQG9+7IRUPDWV  
  *HQHUDO  

 6XSSRUWIRUQRQ+7IRUPDW  

  6XSSRUWIRU+7IRUPDW  
  6XSSRUWIRU9+7IRUPDW  
  +(3+<  
  ,QWURGXFWLRQ 

 08WUDQVPLVVLRQ  

  2)'0$  
  6XEFDUULHUDQGUHVRXUFHDOORFDWLRQ 
  *HQHUDO  
  5HVRXUFHXQLWJXDUGDQG'&VXEFDUULHUV 

 1XOOVXEFDUULHUV  

  3LORWVXEFDUULHUV 

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

  5HVRXUFHLQGLFDWLRQDQG8VHULGHQWLILFDWLRQLQDQ+(0833'8  


  5HVRXUFHDOORFDWLRQIRUDQ+(7%33'8 

 0+]RSHUDWLQJQRQ$3+(67$V  

  58UHVWULFWLRQVIRU0+]RSHUDWLRQ  
  0+]RSHUDWLQJQRQ$3+(67$V  
  080,02  
  '/080,02  

 8/080,02  

  +(33'8IRUPDWV 
  7UDQVPLWWHUEORFNGLDJUDP 
  2YHUYLHZRIWKH33'8HQFRGLQJSURFHVV 
  *HQHUDO  

 &RQVWUXFWLRQRI/67)  

  &RQVWUXFWLRQRI//7) 
  &RQVWUXFWLRQRI/6,*  
  &RQVWUXFWLRQRI5/6,* 
  &RQVWUXFWLRQRI+(6,*$  

 &RQVWUXFWLRQRI+(6,*% 

  &RQVWUXFWLRQRI+(67)  
  &RQVWUXFWLRQRI+(/7)  
  &RQVWUXFWLRQRIWKH'DWDILHOGLQDQ+(6833'8+((56833'8DQG
 +(7%33'8 

 &RQVWUXFWLRQRIWKH'DWDILHOGLQDQ+(0833'8  

  +(PRGXODWLRQDQGFRGLQJVFKHPHV +(0&6V  
  +(6,*%PRGXODWLRQDQGFRGLQJVFKHPHV +(6,*%0&6V  
  7LPLQJUHODWHGSDUDPHWHUV  
  0DWKHPDWLFDOGHVFULSWLRQRIVLJQDOV  

 +(SUHDPEOH  

  ,QWURGXFWLRQ 
  &\FOLFVKLIW  
  /67)  
  //7) 

 /6,*  

  5/6,* 
  +(6,*$  
  +(6,*% 
  +(67)  

 +(/7) 

  'DWDILHOG 
  *HQHUDO  
  3UH)(&SDGGLQJSURFHVV 
  6(59,&(ILHOG 

 6FUDPEOHU  

  &RGLQJ 
  6WUHDPSDUVHU 
  6HJPHQWSDUVHU 
  %&&LQWHUOHDYHUV  

 &RQVWHOODWLRQPDSSLQJ  

  /'3&WRQHPDSSHU 
  6HJPHQWGHSDUVHU  
  6SDFHWLPHEORFNFRGLQJ 
  3LORWVXEFDUULHUV 

 2)'0PRGXODWLRQ 

  'XDOFDUULHUPRGXODWLRQ  

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

  0LGDPEOHV 


  3DFNHWH[WHQVLRQ  

 1RQ+7GXSOLFDWHWUDQVPLVVLRQ  

  7UDQVPLWUHTXLUHPHQWVIRU33'8VVHQWLQUHVSRQVHWRDWULJJHULQJIUDPH  
  ,QWURGXFWLRQ 
  3RZHUSUHFRUUHFWLRQ 
  3UHFRUUHFWLRQDFFXUDF\UHTXLUHPHQWV 

 680,02DQG'/080,02EHDPIRUPLQJ  

  *HQHUDO  
  %HDPIRUPLQJIHHGEDFNPDWUL[9 
  &4,IHHGEDFN  
  +(VRXQGLQJ1'3  

 +(7%IHHGEDFN1'3 

  7UDQVPLWVSHFLILFDWLRQ 
  7UDQVPLWVSHFWUDOPDVN  
  6SHFWUDOIODWQHVV  
  7UDQVPLWFHQWHUIUHTXHQF\DQGV\PEROFORFNIUHTXHQF\WROHUDQFH 

 0RGXODWLRQDFFXUDF\ 

  5HFHLYHUVSHFLILFDWLRQ 
  *HQHUDO  
  5HFHLYHUPLQLPXPLQSXWVHQVLWLYLW\  
  $GMDFHQWFKDQQHOUHMHFWLRQ 

 1RQDGMDFHQWFKDQQHOUHMHFWLRQ  

  5HFHLYHUPD[LPXPLQSXWOHYHO  
  &&$VHQVLWLYLW\  
  +(WUDQVPLWSURFHGXUH  
  +(UHFHLYHSURFHGXUH 

 &KDQQHOQXPEHULQJ 

  *HQHUDO  
  &KDQQHODOORFDWLRQLQWKH*+]EDQG  
  5HJXODWRU\UHTXLUHPHQWV 
  +(3/0(  

 3/0(B6$3VXEOD\HUPDQDJHPHQWSULPLWLYHV  

  3+<0,%  
  7;7,0(DQG36'8B/(1*7+FDOFXODWLRQ 
  +(3+<  
  3DUDPHWHUVIRU+(0&6V  

 +(0&6VIRUWRQH58  

  +(0&6VIRUWRQH58  
  +(0&6VIRUWRQH58  
  +(0&6VIRUWRQH58  
  +(0&6VIRUWRQH58  

 +(0&6VIRUWRQH58  

  +(0&6VIRUîWRQH58  
  3DUDPHWHUVIRU+(6,*%0&6V 

 $QQH[%  


 % 3,&6SURIRUPD²,(((6WG\HDU!  
 % ,87FRQILJXUDWLRQ 
 % 0$&SURWRFRO  
 % 0$&SURWRFROFDSDELOLWLHV  

% 0$&IUDPHV 

 % 4R6EDVHIXQFWLRQDOLW\  

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 % +LJKHIILFLHQF\ +( IHDWXUHV  


 % +(0$&IHDWXUHV 

% +(3+<IHDWXUHV 


 $QQH[&  

 & 0,%'HWDLO  


 $QQH[(  

 ( &RXQWU\LQIRUPDWLRQDQGRSHUDWLQJFODVVHV  


$QQH[*  


 * *HQHUDO 
 * +7DQG9+7DQG6*VHTXHQFHV  
 * +(VHTXHQFHV  


 $QQH[7  

 7 ,QWURGXFWLRQ 
 7 %66FRORUDQGVSDWLDOUHXVH  


 $QQH[=  

 = *HQHUDO 
 = ([DPSOH  

= ([DPSOH  

 = ([DPSOH  
 = ([DPSOH  






























&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU



































































 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU



)LJXUHV

 )LJXUH²9+7&RQWURO0LGGOHVXEILHOGRIWKH9+7YDULDQW+7&RQWUROILHOGIRUPDW 
 )LJXUHD²$&RQWUROVXEILHOGRIWKH+(YDULDQW+7&RQWUROILHOGIRUPDW  
 )LJXUHE²&RQWUROVXEILHOGIRUPDW  

)LJXUHD²&RQWURO,QIRUPDWLRQVXEILHOGIRUPDWLQD756&RQWUROVXEILHOG 

 )LJXUHE²&RQWURO,QIRUPDWLRQVXEILHOGIRUPDWLQDQ20&RQWUROVXEILHOG  
 )LJXUHF²&RQWURO,QIRUPDWLRQVXEILHOGIRUPDWLQDQ+/$&RQWUROVXEILHOG 
 )LJXUHG²06,3DUWLDO33'83DUDPHWHUVVXEILHOGIRUPDWLIWKH8QVROLFLWHG0)%VXEILHOGLV 
 )LJXUHH²&RQWURO,QIRUPDWLRQVXEILHOGIRUPDWLQD%65&RQWUROVXEILHOG  

)LJXUHJ²&RQWURO,QIRUPDWLRQVXEILHOGIRUPDWLQD%45&RQWUROVXEILHOG 

 )LJXUHK²&RQWURO,QIRUPDWLRQVXEILHOGIRUPDWLQD&$6&RQWUROVXEILHOG  
 )LJXUHI²&RQWURO,QIRUPDWLRQVXEILHOGIRUPDWLQD83+&RQWUROVXEILHOG  
 )LJXUH²%$5&RQWUROILHOGIRUPDW  
 )LJXUH²%$&RQWUROILHOGIRUPDW  

)LJXUH²%$,QIRUPDWLRQILHOGIRUPDW &RPSUHVVHG%ORFN$FN  

 )LJXUHD²%$,QIRUPDWLRQILHOGIRUPDW 0XOWL67$%ORFN$FN  
 )LJXUHE²$,'7,',QIRVXEILHOGIRUPDW 
 )LJXUHF²3HU$,'7,',QIRVXEILHOGIRUPDWLIWKH$,'VXEILHOGLVQRW 
 )LJXUHG²3HU$,'7,',QIRVXEILHOGIRUPDWLIWKH$,'VXEILHOGLV  

)LJXUH²6RXQGLQJ'LDORJ7RNHQILHOGIRUPDW  

 )LJXUHD²+(1'3$QQRXQFHPHQWIUDPHIRUPDW  
 )LJXUHE²67$,QIRVXEILHOGIRUPDWLQDQ+(1'3$QQRXQFHPHQWIUDPHLIWKH$,'VXEILHOGLVQRW
   
 )LJXUHF²3DUWLDO%:,QIRVXEILHOGIRUPDW 

)LJXUHG²67$,QIRVXEILHOGIRUPDWLQDQ+(1'3$QQRXQFHPHQWIUDPHLIWKH$,'VXEILHOGLV

 
 )LJXUHD²7ULJJHUIUDPHIRUPDW  
 )LJXUHE²&RPPRQ,QIRILHOGIRUPDW  
 )LJXUHF²8/6SDWLDO5HXVHVXEILHOGIRUPDW  

)LJXUHG²8VHU,QIRILHOGIRUPDW  

 )LJXUHH²66$OORFDWLRQVXEILHOGIRUPDW  
 )LJXUHI²5$58,QIRUPDWLRQVXEILHOGIRUPDW  
 )LJXUHJ²7ULJJHU'HSHQGHQW8VHU,QIRVXEILHOGIRUPDWLQWKH%DVLF7ULJJHUYDULDQW 
 )LJXUHK²7ULJJHU'HSHQGHQW8VHU,QIRVXEILHOGIRUPDWLQWKH%)53YDULDQW 

)LJXUHL²7ULJJHU'HSHQGHQW8VHU,QIRVXEILHOGIRUPDWLQWKH08%$5YDULDQW  

 )LJXUHM²8/%:VXEILHOGDQG%±%RI58$OORFDWLRQVXEILHOGLQ085767ULJJHUIUDPH 
 )LJXUHN²7ULJJHU'HSHQGHQW&RPPRQ,QIRVXEILHOGIRUPDWLQWKH*&508%$5YDULDQW  
 )LJXUHO²8VHU,QIRILHOGIRUPDWLQWKH1)537ULJJHUIUDPH  
 )LJXUH²4R6,QIRILHOGIRUPDWZKHQVHQWE\DQ$3  

)LJXUH²7:7,QIRUPDWLRQILHOGIRUPDW  

 )LJXUHD²+(0,02&RQWUROILHOGIRUPDW  
 )LJXUH²%66,',QIRUPDWLRQILHOGIRUPDW  
 )LJXUH²$''%$&DSDELOLWLHVILHOGIRUPDW  
 )LJXUH²7%77,QIRUPDWLRQILHOGIRUPDW 

)LJXUHD²%663DUDPHWHUVVXEILHOGIRUPDW  

 )LJXUH²7:7HOHPHQWIRUPDW 
 )LJXUH²&RQWUROILHOGIRUPDW  
 )LJXUHD²,QGLYLGXDO7:73DUDPHWHU6HWILHOGIRUPDW  
 )LJXUHE²%URDGFDVW7:73DUDPHWHU6HWILHOGIRUPDW 

)LJXUH²5HTXHVW7\SHILHOGIRUPDWLQDQ,QGLYLGXDO7:73DUDPHWHU6HWILHOG  

 )LJXUHD²5HTXHVW7\SHILHOGIRUPDWLQD%URDGFDVW7:73DUDPHWHU6HWILHOG 
 )LJXUHD²%URDGFDVW7:7,QIRVXEILHOGIRUPDW  


&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 )LJXUHD²+(&DSDELOLWLHVHOHPHQWIRUPDW  


 )LJXUHE²+(0$&&DSDELOLWLHV,QIRUPDWLRQILHOGIRUPDW  

)LJXUHF²+(3+<&DSDELOLWLHV,QIRUPDWLRQILHOGIRUPDW  

 )LJXUHG²6XSSRUWHG+(0&6$QG1666HWILHOGIRUPDW 
 )LJXUHH²5[+(0&60DSVXEILHOG7[+(0&60DSVXEILHOGDQG%DVLF+(0&6$QG1666HW
 ILHOGIRUPDW  
 )LJXUHI²33(7KUHVKROGVILHOGIRUPDW 

)LJXUHJ²33(7KUHVKROGV,QIRILHOGIRUPDW  

 )LJXUHK²+(2SHUDWLRQHOHPHQWIRUPDW  
 )LJXUHL²+(2SHUDWLRQ3DUDPHWHUVILHOGIRUPDW  
 )LJXUHM²%66&RORU,QIRUPDWLRQILHOGIRUPDW  
 )LJXUHN²*+]2SHUDWLRQ,QIRUPDWLRQILHOGIRUPDW  

)LJXUHO²&RQWUROILHOGIRUPDW  

 )LJXUHP²825$3DUDPHWHU6HWHOHPHQWIRUPDW 
 )LJXUHQ²2&:5DQJHILHOGIRUPDW  
 )LJXUHR²08('&$3DUDPHWHU6HWHOHPHQWIRUPDW 
 )LJXUHS²08$&3DUDPHWHU5HFRUGILHOGIRUPDW  

)LJXUHT²6SDWLDO5HXVH3DUDPHWHU6HWHOHPHQWIRUPDW  

 )LJXUHU²65&RQWUROILHOGIRUPDW  
 )LJXUHV²1'3)HHGEDFN5HSRUW3DUDPHWHU6HWHOHPHQWIRUPDW  
 )LJXUHW²%66&RORU&KDQJH$QQRXQFHPHQWHOHPHQWIRUPDW  
 )LJXUHX²1HZ%66&RORU,QIRUPDWLRQILHOGIRUPDW 

)LJXUHY²4XLHW7LPH3HULRGHOHPHQWIRUPDW 

 )LJXUHZ²4XLHW7LPH&RQWHQWVXEILHOGIRUPDWLQ4XLHW7LPH3HULRG6HWXSVXEW\SH 
 )LJXUH[²4XLHW7LPH&RQWHQWVXEILHOGIRUPDWLQ4XLHW7LPH3HULRG5HTXHVWVXEW\SH  
 )LJXUH\²4XLHW7LPH&RQWHQWVXEILHOGIRUPDWLQ4XLHW7LPH3HULRG5HVSRQVHVXEW\SH  
 )LJXUH]²(665HSRUWHOHPHQWIRUPDW 

)LJXUHDD²(66,QIRUPDWLRQILHOGIRUPDW  

 )LJXUHDE²236HOHPHQWIRUPDW  
 )LJXUHDF²+(%66/RDGHOHPHQWIRUPDW  
 )LJXUHDG²0XOWLSOH%66,'&RQILJXUDWLRQHOHPHQWIRUPDW  
 )LJXUHDH².QRZQ%66,'HOHPHQWIRUPDW 

)LJXUHDI²%66,'%LWPDSILHOGIRUPDW  

 )LJXUHDJ²6KRUW66,'/LVWHOHPHQWIRUPDW  
 )LJXUHDK²+(*+]%DQG&DSDELOLWLHVHOHPHQWIRUPDW  
 )LJXUHDL²&DSDELOLWLHV,QIRUPDWLRQILHOGIRUPDW 
 )LJXUHDM²8/083RZHU&DSDELOLWLHVHOHPHQWIRUPDW  

)LJXUH²7:7)ORZILHOGIRUPDWLIWKH1HJRWLDWLRQ7\SHVXEILHOGLVRU  

 )LJXUHD²7:7)ORZILHOGIRUPDWLIWKH1HJRWLDWLRQ7\SHVXEILHOGLV  
 )LJXUHE²7:7)ORZILHOGIRUPDWLIWKH1HJRWLDWLRQ7\SHVXEILHOGLV 
 )LJXUHD²08('&$&RQWUROILHOGIRUPDW  
 )LJXUH²1RQ'0*QRQ&00*QRQ6*67$0$&DUFKLWHFWXUH  

)LJXUHD²$QH[DPSOHRIDQ+(0833'8WUDQVPLVVLRQZLWKDQLPPHGLDWH8/2)'0$DFNQRZOHGJ

 PHQW  
 )LJXUHE²$QH[DPSOHRIDQ8/08WUDQVPLVVLRQZLWKDQLPPHGLDWH'/08WUDQVPLVVLRQFRQWDLQLQJ
 LQGLYLGXDOO\DGGUHVVHG%ORFN$FNIUDPHVDFNQRZOHGJLQJWKHIUDPHVUHFHLYHGIURPWKHUHVSHFWLYH67$V 
 )LJXUHF²$QH[DPSOHRI8/08WUDQVPLVVLRQVZLWKDQLPPHGLDWH0XOWL67$%ORFN$FNIUDPHDF

NQRZOHGJLQJWKH03'8V 

 )LJXUHG²$QH[DPSOHRI8/08WUDQVPLVVLRQVZLWKDQLPPHGLDWH'/QRQ+7GXSOLFDWH33'8FRQ
 WDLQLQJWKH0XOWL67$%ORFN$FNIUDPH  
 )LJXUHD²([DPSOHRIDIUDPHH[FKDQJHZLWK*&508%$57ULJJHUIUDPHV  
 )LJXUHD²([DPSOHRID0XOWLSOH%66,'HOHPHQWFDUU\LQJ1RQWUDQVPLWWHG%66,'3URILOHVXEHOHPHQWV



 )LJXUHE²([DPSOHRIDQRQWUDQVPLWWHG%66,'SURILOHVSOLWDFURVVPXOWLSOH0XOWLSOH%66,'HOHPHQWV

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 
 )LJXUH²([DPSOHRI08576&76'/0833'8$FNQRZOHGJPHQW5HVSRQVHDQG1$9VHWWLQJ 

)LJXUH²([DPSOHRI08576&767ULJJHU+(7%33'80XOWL67$%ORFN$FNDQG1$9VHWWLQJ 

 
 )LJXUH²$QH[DPSOHRIDQ085767ULJJHUIUDPHVROLFLWLQJ&76IUDPHUHVSRQVHVRQWKHSULPDU\
 0+]FKDQQHO 
 )LJXUH²([DPSOHRI8VHU,QIRILHOGRUGHULQJDQG58ORFDWLRQPDSSLQJ 

)LJXUH²$QH[DPSOHRIDQ08FDVFDGLQJVHTXHQFH  

 )LJXUH²,OOXVWUDWLRQRIWKH825$SURFHGXUH 
 )LJXUH²$QH[DPSOHRIWKHVRXQGLQJSURWRFROZLWKDVLQJOH+(EHDPIRUPHH  
 )LJXUH²$QH[DPSOHRIWKHVRXQGLQJSURWRFROZLWKPRUHWKDQRQH+(EHDPIRUPHH 
 )LJXUH²([DPSOHRILQGLYLGXDO7:7RSHUDWLRQ  

)LJXUH²([DPSOHRIEURDGFDVW7:7RSHUDWLRQZLWKRSWLRQDO7%77QHJRWLDWLRQ 

 )LJXUH²,OOXVWUDWLRQRIWKHDGMXVWPHQWUXOHVIRU2%663'DQG7;B3:5  
 )LJXUH²([DPSOHRI2%663'65RSHUDWLRQ  
 )LJXUH²365533'8VSDWLDOUHXVH 
 )LJXUH²([DPSOHRISRZHUVDYHRSHUDWLRQZLWK825$DQG7:7  

)LJXUH²4XLHWWLPHSHULRGRSHUDWLRQ  

 )LJXUH²3+<LQWHUDFWLRQRQWUDQVPLWIRUYDULRXV33'8IRUPDWV 
 )LJXUH²3+<LQWHUDFWLRQRQUHFHLYHIRUYDULRXV33'8IRUPDWV  
 )LJXUH²3+<&21),*DQG&&$LQWHUDFWLRQZLWKYDULRXV33'8IRUPDWV  
 )LJXUH²,OOXVWUDWLRQRI2)'0DQG2)'0$FRQFHSWV  

)LJXUH²58ORFDWLRQVLQD0+]+(33'8  

 )LJXUH²58ORFDWLRQVLQD0+]+(33'8  
 )LJXUH²58ORFDWLRQVLQDQ0+]+(33'8  
 )LJXUH²+(6833'8IRUPDW  
 )LJXUH²+(0833'8IRUPDW  

)LJXUH²+((56833'8IRUPDW  

 )LJXUH²+(7%33'8IRUPDW  
 )LJXUH²1XPEHURI0+]FKDQQHOVRFFXSLHGE\WKHSUH+(PRGXODWHGILHOGVLQDQ+(7%33'8
 
 )LJXUH²7UDQVPLWWHUEORFNGLDJUDPIRUWKH/6,*5/6,*DQG+(6,*$ILHOGVIRUDQ+(6833'8

DQG+((56833'8LIWKH%HDP&KDQJHVXEILHOGLV  

 )LJXUH²7UDQVPLWWHUEORFNGLDJUDPIRUWKH/6,*5/6,*DQG+(6,*$ILHOGVIRUDQ+(6833'8
 DQG+((56833'8LIWKH%HDP&KDQJHVXEILHOGLV  
 )LJXUH²7UDQVPLWWHUEORFNGLDJUDPIRUWKH/6,*5/6,*DQG+(6,*$ILHOGVRIDQ+(7%33'8
 

)LJXUH²7UDQVPLWWHUEORFNGLDJUDPIRUWKH+(6,*%ILHOG  

 )LJXUH²7UDQVPLWWHUEORFNGLDJUDPIRUWKH8/WUDQVPLVVLRQRU'/QRQ080,02WUDQVPLVVLRQRID
 'DWDILHOGZLWK%&&HQFRGLQJRQDRUWRQH58  
 )LJXUH²7UDQVPLWWHUEORFNGLDJUDPIRUWKH8/WUDQVPLVVLRQRU'/QRQ080,02WUDQVPLVVLRQRID
 'DWDILHOGZLWK/'3&HQFRGLQJRQDRUWRQH58  

)LJXUH²7UDQVPLWWHUEORFNGLDJUDPIRUWKH'/080,02WUDQVPLVVLRQRID'DWDILHOGZLWK%&&HQ

 FRGLQJRQDRUWRQH58  
 )LJXUH²7UDQVPLWWHUEORFNGLDJUDPIRUWKH'/080,02WUDQVPLVVLRQRID'DWDILHOGZLWK/'3&
 HQFRGLQJRQDRUWRQH58  
 )LJXUH²7UDQVPLWWHUEORFNGLDJUDPIRUWKH'DWDILHOGRIDQ+(6833'8LQ0+]ZLWK/'3&HQ

FRGLQJ 

 )LJXUH²7UDQVPLWWHUEORFNGLDJUDPIRUWKH'DWDILHOGRIDQ+(6833'8LQ0+]ZLWK/'3&
 HQFRGLQJ 
 )LJXUH²7LPLQJERXQGDULHVIRU+(33'8ILHOGVLIPLGDPEOHLVQRWSUHVHQW  
 )LJXUH²&5&FDOFXODWLRQ  

)LJXUH²'DWDVXEFDUULHUFRQVWHOODWLRQRI+(6,*$V\PEROV 

 )LJXUH²+(6,*%FRQWHQWFKDQQHOIRUPDW 

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 )LJXUH²$QH[DPSOHRIWKHPDSSLQJRIWKHELW58$OORFDWLRQVXEILHOGDQGWKHSRVLWLRQRIWKH8VHU
 ILHOGWRWKHXVHU¶VDVVLJQPHQWIRURQH0+]FKDQQHO  

)LJXUH²+(6,*%FRQWHQWFKDQQHOIRUD0+]33'8  

 )LJXUH²+(6,*%FRQWHQWFKDQQHOIRUD0+]33'8  
 )LJXUH²+(6,*%FRQWHQWFKDQQHOVDQGWKHLUGXSOLFDWLRQLQDQ0+]33'8  
 )LJXUH²+(6,*%FRQWHQWFKDQQHOVDQGWKHLUGXSOLFDWLRQLQD0+]33'8  
 )LJXUH²*HQHUDWLRQRI+(/7)V\PEROVSHUIUHTXHQF\VHJPHQWLQDQ+(6833'8+(0833'8

DQG+((56833'8  

 )LJXUH²*HQHUDWLRQRI+(/7)V\PEROVSHUIUHTXHQF\VHJPHQWLQDQ+(7%33'8IRUXVHUXRQ58
 U  
 )LJXUH²*HQHUDWLRQRI[+(/7)V\PEROVSHUIUHTXHQF\VHJPHQW  
 )LJXUH²*HQHUDWLRQRI[+(/7)V\PEROVSHUIUHTXHQF\VHJPHQW  

)LJXUH²+(33'8SDGGLQJSURFHVVLQWKHODVW2)'0V\PERO QRQ67%& LID   

 )LJXUH²&RQVWHOODWLRQELWHQFRGLQJIRU4$0 VWTXDGUDQW  
 )LJXUH²&RQVWHOODWLRQELWHQFRGLQJIRU4$0 QGTXDGUDQW  
 )LJXUH²&RQVWHOODWLRQELWHQFRGLQJIRU4$0 UGTXDGUDQW  
 )LJXUH²&RQVWHOODWLRQELWHQFRGLQJIRU4$0 WKTXDGUDQW  

)LJXUH²+(33'8ZLWKPLGDPEOH  

 )LJXUH²0LGDPEOHDWWKHHQGRIDQ+(33'8  
 )LJXUH²3(ILHOGGXUDWLRQRIDQ+(6833'8RU+((56833'8ZLWKRXWPLGDPEOHVLI7;9(&725
 SDUDPHWHU120,1$/B3$&.(7B3$'',1*LV—VDQG73( 73(QRPLQDO  
 )LJXUH²3(ILHOGGXUDWLRQRIDQ+(6833'8RU+((56833'8ZLWKRXWPLGDPEOHVLI7;9(&725

SDUDPHWHU120,1$/B3$&.(7B3$'',1*LV—V73( 73(QRPLQDO  

 )LJXUH²+(VRXQGLQJ1'3IRUPDW  
 )LJXUH²+(7%IHHGEDFN1'3IRUPDW  
 )LJXUH²([DPSOHWUDQVPLWVSHFWUDOPDVNIRUD0+]PDVN33'8  
 )LJXUH²([DPSOHWUDQVPLWVSHFWUDOPDVNIRUD0+]PDVN33'8  

)LJXUH²([DPSOHWUDQVPLWVSHFWUDOPDVNIRUDQ0+]PDVN33'8  

 )LJXUH²([DPSOHWUDQVPLWVSHFWUDOPDVNIRUD0+]PDVN33'8  
 )LJXUH²([DPSOHWUDQVPLWVSHFWUDOPDVNIRUDQ0+]PDVN33'8  
 )LJXUH²([DPSOHWUDQVPLWVSHFWUDOPDVNIRUWKH1î0+]SUHDPEOHSXQFWXUHGFKDQQHOZLWKWUDQV
 PLVVLRQVRQERWKXSSHUDQGORZHUVXEFKDQQHOV 

)LJXUH²([DPSOHWUDQVPLWVSHFWUDOPDVNIRUWKH1î0+]SUHDPEOHSXQFWXUHGFKDQQHOZLWKWUDQV

 PLVVLRQVRQWKHORZHUVXEFKDQQHO  
 )LJXUH²3+<WUDQVPLWSURFHGXUHIRUDQ+(6833'8  
 )LJXUH²3+<WUDQVPLWSURFHGXUHIRUDQ+((56833'8  
 )LJXUH²3+<WUDQVPLWSURFHGXUHIRUDQ+(0833'8  

)LJXUH²3+<WUDQVPLWSURFHGXUHIRUDQ+(7%33'8  

 )LJXUH²3+<WUDQVPLWVWDWHPDFKLQHIRUDQ+(33'8ZLWKRXWPLGDPEOHV  
 )LJXUH²3+<UHFHLYHSURFHGXUHIRUDQ+(6833'8  
 )LJXUH²3+<UHFHLYHSURFHGXUHIRUDQ+((56833'8  
 )LJXUH²3+<UHFHLYHSURFHGXUHIRUDQ+(0833'8 

)LJXUH²3+<UHFHLYHSURFHGXUHIRUDQ+(7%33'8  

 )LJXUH²3+<UHFHLYHVWDWHPDFKLQHLIPLGDPEOHVDUHQRWSUHVHQW 













 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU



7DEOHV

 7DEOH²'UDIW6WDWXV  
 7DEOH²3+<6$3LQWHU VXE OD\HUVHUYLFHSULPLWLYHV  
 7DEOH²3+<6$3VHUYLFHSULPLWLYHSDUDPHWHUV  

7DEOH²7KHFKDQQHOOLVWSDUDPHWHUHOHPHQWV  

 7DEOH²9DOLGW\SHDQGVXEW\SHFRPELQDWLRQV  
 7DEOH²$FNSROLF\  
 7DEOHD²4XHXH6L]HVXEILHOGHQFRGLQJE\DQRQ$3+(67$  
 7DEOHE²+7&RQWUROILHOGIRUPDW  

7DEOHD²&RQWURO,'VXEILHOGYDOXHV 

 7DEOHD²8/08'LVDEOHDQG8/08'DWD'LVDEOHVXEILHOGVHQFRGLQJ 
 7DEOHE²+/$&RQWUROVXEILHOGV  
 7DEOHF²$&,%LWPDSVXEILHOGHQFRGLQJ  
 7DEOHG²'HOWD7,'VXEILHOGHQFRGLQJ  

7DEOHH²6FDOLQJ)DFWRUVXEILHOGHQFRGLQJ  

 7DEOH²0D[LPXPGDWDXQLWVL]HV LQRFWHWV DQGGXUDWLRQV LQPLFURVHFRQGV  
 7DEOH²%ORFN$FN5HTIUDPHYDULDQWHQFRGLQJ  
 7DEOH²%ORFN$FNIUDPHYDULDQWHQFRGLQJ 
 7DEOHD²)UDJPHQW1XPEHUVXEILHOGHQFRGLQJIRUWKH&RPSUHVVHG%ORFN$FNYDULDQW 

7DEOHE²&RQWH[WRIWKH3HU$,'7,',QIRVXEILHOGDQGSUHVHQFHRIRSWLRQDOVXEILHOGVLIWKH$,'VXE

 ILHOGLVQRW  
 7DEOHF²)UDJPHQW1XPEHUVXEILHOGHQFRGLQJIRUWKH0XOWL67$%ORFN$FNYDULDQW 
 7DEOHD²)HHGEDFN7\SH$QG1JVXEILHOGDQG&RGHERRN6L]HVXEILHOGHQFRGLQJ  
 7DEOHE²7ULJJHU7\SHVXEILHOGHQFRGLQJ  

7DEOHF²8/%:VXEILHOGHQFRGLQJ  

 7DEOHG²*,$QG+(/7)7\SHVXEILHOGHQFRGLQJ  
 7DEOHH²080,02+(/7)0RGHVXEILHOGHQFRGLQJ  
 7DEOHI²3UH)(&3DGGLQJ)DFWRUDQG3('LVDPELJXLW\VXEILHOGV 
 7DEOHJ²$,'VXEILHOGHQFRGLQJ  

7DEOHK²%±%RIWKH58$OORFDWLRQVXEILHOG  

 7DEOHL²8/7DUJHW566,VXEILHOGHQFRGLQJ  
 7DEOHM²)HHGEDFN7\SHVXEILHOGHQFRGLQJ 
 7DEOH²%HDFRQIUDPHERG\ 
 7DEOH²$VVRFLDWLRQ5HTXHVWIUDPHERG\  

7DEOH²$VVRFLDWLRQ5HVSRQVHIUDPHERG\  

 7DEOH²5HDVVRFLDWLRQ5HTXHVWIUDPHERG\ 
 7DEOH²5HDVVRFLDWLRQ5HVSRQVHIUDPHERG\  
 7DEOH²3UREH5HTXHVWIUDPHERG\  
 7DEOH²3UREH5HVSRQVHIUDPHERG\  

7DEOH²$FWLRQIUDPHERG\DQG$FWLRQ1R$FNIUDPHERG\  

 7DEOH²'0*%HDFRQIUDPHERG\  
 7DEOH²0LQLPXPDQGIXOOVHWRIRSWLRQDOHOHPHQWV 
 7DEOH²5HDVRQFRGHV  
 7DEOH²6WDWXVFRGHV  

7DEOH²&DWHJRU\YDOXHV  

 7DEOH²%DQG,'ILHOG  
 7DEOH²6XEILHOGYDOXHVRIWKH2SHUDWLQJ0RGHILHOG  
 7DEOHD²+(0,02&RQWUROILHOGHQFRGLQJ  
 7DEOHE²+(&RPSUHVVHG%HDPIRUPLQJ5HSRUWLQIRUPDWLRQ  

7DEOHF²6XEFDUULHULQGLFHVVFLG[  DQGVFLG[ 1V± IRU1J   

 7DEOHG²6XEFDUULHULQGLFHVVFLG[  DQGVFLG[ 1V± IRU1J  
 7DEOHH²6XEFDUULHULQGLFHVIRUFRPSUHVVHGEHDPIRUPLQJIHHGEDFNPDWUL[  


&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOHI²+(08([FOXVLYH%HDPIRUPLQJ5HSRUWLQIRUPDWLRQ  


 7DEOHJ²+(&4,5HSRUWLQIRUPDWLRQ  

7DEOHK²$YHUDJH615RI58LQGH[NIRUVSDFHWLPHVWUHDPLVXEILHOG  

 7DEOH²(OHPHQW,'V  
 7DEOH²%66PHPEHUVKLSVHOHFWRUYDOXHHQFRGLQJ  
 7DEOH²([WHQGHG&DSDELOLWLHVHOHPHQW  
 7DEOH²'LUHFWLRQVXEILHOGHQFRGLQJ  

7DEOH²76,QIR$FN3ROLF\VXEILHOGHQFRGLQJ  

 7DEOH²6HWWLQJRI6FKHGXOHVXEILHOG 
 7DEOH²$FFHVV3ROLF\VXEILHOG 
 7DEOH²2SWLRQDOVXEHOHPHQW,'VIRU1HLJKERUUHSRUW 
 7DEOH²(YHQW7\SHILHOGGHILQLWLRQVIRUHYHQWUHTXHVWVDQGUHSRUWV 

7DEOHD²+()UDJPHQWDWLRQ2SHUDWLRQVXEILHOG 

 7DEOH²7%77,QIRUPDWLRQILHOGFRQWHQWV  
 7DEOH²3+<6XSSRUW&ULWHULRQVXEILHOG  
 7DEOHD²,QWHUSUHWDWLRQRI1HJRWLDWLRQ7\SHVXEILHOG7DUJHW:DNH7LPH7:7:DNH,QWHUYDO0DQWLV
 VDDQG7:7:DNH,QWHUYDO([SRQHQWILHOGV 

7DEOH²7:76HWXS&RPPDQGILHOGYDOXHV  

 7DEOHD²%URDGFDVW7:75HFRPPHQGDWLRQILHOGIRUDEURDGFDVW7:7HOHPHQW  
 7DEOHD²6XEILHOGVRIWKH+(0$&&DSDELOLWLHV,QIRUPDWLRQILHOG  
 7DEOHE²6XEILHOGVRIWKH+(3+<&DSDELOLWLHV,QIRUPDWLRQILHOG 
 7DEOHF²6XEILHOGVRIWKH6XSSRUWHG+(0&6$QG1666HWILHOG 

7DEOHG²&RQVWHOODWLRQLQGH[ 

 7DEOHH²58DOORFDWLRQLQGH[  
 7DEOHI²4XLHW7LPH3HULRG6XEW\SHILHOGHQFRGLQJ 
 7DEOHJ²6WDWXV&RGH 
 7DEOHK²5HFRPPHQGHG%667UDQVLWLRQ566,7KUHVKROG:LWKLQ(66VXEILHOGHQFRGLQJ  

7DEOH²7'/6'LVFRYHU\5HVSRQVH$FWLRQILHOGIRUPDW  

 7DEOH²),/6'LVFRYHU\IUDPHIRUPDW  
 7DEOH²%662SHUDWLQJ&KDQQHO:LGWK 
 7DEOH²3+<,QGH[VXEILHOG  
 7DEOH²),/60LQLPXP5DWH  

7DEOH²,QIRUPDWLRQIRU7'/66HWXS5HTXHVW$FWLRQILHOG  

 7DEOH²,QIRUPDWLRQIRU7'/66HWXS5HVSRQVH$FWLRQILHOG 
 7DEOH²,QIRUPDWLRQIRU7'/66HWXS&RQILUP$FWLRQILHOG  
 7DEOH²0HVK3HHULQJ2SHQIUDPH$FWLRQILHOGIRUPDW  
 7DEOH²0HVK3HHULQJ&RQILUPIUDPH$FWLRQILHOGIRUPDW  

7DEOHD²+($FWLRQILHOGYDOXHV  

 7DEOHE²+(&RPSUHVVHG%HDPIRUPLQJ&4,IUDPH$FWLRQILHOGIRUPDW 
 7DEOHF²4XLHW7LPH3HULRG)UDPH%RG\ 
 7DEOHG²236IUDPH$FWLRQILHOGIRUPDW  
 7DEOHH²3URWHFWHG+($FWLRQILHOGYDOXHV  

7DEOHI²+(%66&RORU&KDQJH$QQRXQFHPHQWIUDPH$FWLRQILHOGIRUPDW  

 7DEOHJ²08('&$&RQWUROIUDPH$FWLRQILHOGIRUPDW  
 7DEOH²03'8GHOLPLWHUILHOGV QRQ'0*  
 7DEOH²$03'8&RQWH[WV  
 7DEOH²$03'8FRQWHQWVLQWKHQRQ+(GDWDHQDEOHGLPPHGLDWHUHVSRQVHFRQWH[W 

7DEOH²$03'8FRQWHQWVLQWKHGDWDHQDEOHGQRLPPHGLDWHUHVSRQVHFRQWH[W  

 7DEOH²$03'8FRQWHQWVLQWKHFRQWUROUHVSRQVHFRQWH[W 
 7DEOHD²$03'8FRQWHQWVLQWKH+(QRQDFNHQDEOHGVLQJOH7,'LPPHGLDWHUHVSRQVHFRQWH[W  
 7DEOHE²$03'8FRQWHQWVLQWKH+(DFNHQDEOHGVLQJOH7,'LPPHGLDWHUHVSRQVHFRQWH[W  
 7DEOHF²$03'8FRQWHQWVLQWKH+(QRQDFNHQDEOHGPXOWL7,'LPPHGLDWHUHVSRQVHFRQWH[W  

7DEOHG²$03'8FRQWHQWVLQWKH+(DFNHQDEOHGPXOWL7,'LPPHGLDWHUHVSRQVHFRQWH[W  

 7DEOH²0RGXODWLRQFODVVHV  

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²1RQ+7UHIHUHQFHUDWH 
 7DEOHD²&RQGLWLRQVIRULQFOXGLQJ&RQWUROVXEILHOGYDULDQWV  

7DEOH²0RGXODWLRQFODVVHVHOLJLEOHIRU7;23WHUPLQDWLRQ 

 7DEOH²5DWHDQGPRGXODWLRQFODVVRIDILQDOWUDQVPLVVLRQLQD7;23  
 7DEOHD²7:7VHWXSH[FKDQJHFRPPDQGLQWHUSUHWDWLRQ 
 7DEOH²7;9(&725SDUDPHWHUV  
 7DEOH²5;9(&725SDUDPHWHUV  

7DEOH²1HJRWLDWHGEXIIHUVL]HDQG%ORFN$FN%LWPDSVXEILHOGOHQJWK 

 7DEOH²5HODWLRQEHWZHHQ7,'$JJUHJDWLRQ/LPLWILHOG0XOWL7,'$JJUHJDWLRQ7[6XSSRUWILHOGDQG
 VROLFLWHGLPPHGLDWHUHVSRQVH  
 7DEOH²)(('%$&.B67$786GHVFULSWLRQ  
 7DEOH²6HWWLQJVIRU%:586WDUW,QGH[DQG58(QG,QGH[ILHOGVLQ+(1'3$QQRXQFHPHQWIUDPH



 7DEOH²7:7VHWXSH[FKDQJHIRUXQVROLFLWHG7:7DQGUHFRPPHQGHGEURDGFDVW7:7VZLWFK  
 7DEOH²%URDGFDVW7:7DQQRXQFHPHQWV  
 7DEOH²%URDGFDVW7:7PHPEHUVKLSH[FKDQJHV  
 7DEOH²:DNH7%77QHJRWLDWLRQH[FKDQJHV  

7DEOH²6HWWLQJRIWKH9+7&KDQQHO:LGWKDQG9+7166DWDQ+(67$WUDQVPLWWLQJWKH20&RQWURO

 VXEILHOG 
 7DEOH²1RQ65*2%663'0LQDQG1RQ65*2%663'0D[YDOXHVIRUQRQ$367$V 
 7DEOH²65*2%663'0LQDQG65*2%663'0D[YDOXHVIRUQRQ$367$V  
 7DEOH²33(WKUHVKROGVSHU33(7DQG33(7  

7DEOH²([DPSOHRIUDWHVHOHFWLRQIRU+(33'8V  

 7DEOH²*+]%66FKDQQHOZLGWK 
 7DEOH²7;9(&725DQG5;9(&725SDUDPHWHUV 
 7DEOH²75,*9(&725SDUDPHWHUV  
 7DEOH²,QWHUSUHWDWLRQRI)250$7121B+70RGXODWLRQDQG&+B%$1':,'7+SDUDPHWHUV  

7DEOH²,QWHUSUHWDWLRQRI&+B%$1':,'7+DQG,1$&7,9(B68%&+$11(/6SDUDPHWHUVZKHQ

 )250$7LVHTXDOWR121B+7DQG121B+7B02'8/$7,21LVHTXDOWR121B+7B'83B2)'0 
 7DEOH²0DSSLQJRIWKH+(3+<SDUDPHWHUVIRUQRQ+7RSHUDWLRQ  
 7DEOH²0D[LPXPQXPEHURI58VIRUHDFKFKDQQHOZLGWK  
 7DEOH²'DWDDQGSLORWVXEFDUULHULQGLFHVIRU58VLQD0+]+(33'8DQGLQDQRQ2)'0$0+]

+(33'8  

 7DEOH²'DWDDQGSLORWVXEFDUULHULQGLFHVIRU58VLQD0+]+(33'8DQGLQDQRQ2)'0$0+]
 +(33'8  
 7DEOH²'DWDDQGSLORWVXEFDUULHULQGLFHVIRU58VLQDQ0+]+(33'8DQGLQDQRQ2)'0$
 0+]+(33'8 

7DEOH²1XOOVXEFDUULHULQGLFHV 

 7DEOH²+(33'8ILHOGV 
 7DEOH²7LPLQJUHODWHGFRQVWDQWV  
 7DEOH²6XEFDUULHUDOORFDWLRQUHODWHGFRQVWDQWVIRUWKH+(PRGXODWHGILHOGVLQDQRQ2)'0$+(
 33'8  

7DEOH²6XEFDUULHUDOORFDWLRQUHODWHGFRQVWDQWVIRU58VLQDQ2)'0$+(33'8  

 7DEOH²)UHTXHQWO\XVHGSDUDPHWHUV 
 7DEOH²1XPEHURIPRGXODWHGVXEFDUULHUVDQGJXDUGLQWHUYDOGXUDWLRQYDOXHVIRU+(33'8ILHOGV 
 7DEOH²&+B%$1':,'7+DQGIRUSUH+(PRGXODWHGILHOGV 
 7DEOH²+(6,*$ILHOGRIDQ+(6833'8DQG+((56833'8  

7DEOH²,QWHUSUHWDWLRQRI'&067%&DQG*,+(/7)6L]HVXEILHOGV  

 7DEOH²+(6,*$ILHOGRIDQ+(0833'8  
 7DEOH²+(6,*$ILHOGRIDQ+(7%33'8 
 7DEOH²6SDWLDO5HXVHILHOGHQFRGLQJIRUDQ+(6833'8+((56833'8DQG+(0833'8 
 

7DEOH²6SDWLDO5HXVHILHOGHQFRGLQJIRUDQ+(7%33'8  

 7DEOH²&RPPRQILHOG 

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²58VDVVRFLDWHGZLWKHDFK58$OORFDWLRQVXEILHOGIRUHDFK+(6,*%FRQWHQWFKDQQHODQG
 33'8EDQGZLGWK  

7DEOH²58$OORFDWLRQVXEILHOG 

 7DEOH²8VHU%ORFNILHOG 
 7DEOH²8VHUILHOGIRUPDWIRUDQRQ080,02DOORFDWLRQ 
 7DEOH²8VHUILHOGIRUPDWIRUD080,02DOORFDWLRQ  
 7DEOH²6SDWLDO&RQILJXUDWLRQVXEILHOGHQFRGLQJ  

7DEOH²+(/7)W\SHDQG*,GXUDWLRQFRPELQDWLRQVIRUYDULRXV+(33'8IRUPDWV  

 7DEOH²+(/7)VXEFDUULHUPDSSLQJIRUWKH+(7%IHHGEDFN1'3 
 7DEOH²16'VKRUWYDOXHV 
 7DEOH²6(59,&(ILHOG  
 7DEOH²%&&LQWHUOHDYHUSDUDPHWHUV  

7DEOH²/'3&WRQHPDSSLQJGLVWDQFHIRUHDFK58VL]H  

 7DEOH²3LORWLQGLFHVIRUDWRQH58  
 7DEOH²7KHSLORWYDOXHVIRUDWRQH58  
 7DEOH²3LORWLQGLFHVIRUWRQH58WUDQVPLVVLRQ  
 7DEOH²7KHSLORWYDOXHVLQDDQGWRQH58  

7DEOH²3LORWLQGLFHVIRUWRQH58WUDQVPLVVLRQ  

 7DEOH²3LORWLQGLFHVIRUWRQH58WUDQVPLVVLRQ  
 7DEOH²7KHSLORWYDOXHVLQDWRQH58 
 7DEOH²3LORWLQGLFHVIRUWRQH58WUDQVPLVVLRQ  
 7DEOH²3LORWLQGLFHVIRUWRQH58WUDQVPLVVLRQ  

7DEOH²1RPLQDO73(YDOXHV 

 7DEOH²7UDQVPLWSRZHUDQG566,PHDVXUHPHQWDFFXUDF\ 
 7DEOH²0D[LPXPWUDQVPLWVSHFWUDOIODWQHVVGHYLDWLRQV  
 7DEOH²$OORZHGUHODWLYHFRQVWHOODWLRQHUURUYHUVXVFRQVWHOODWLRQVL]HDQGFRGLQJUDWH 
 7DEOH²L58VWDUWIRU58VRWKHUWKDQDWRQH58  

7DEOH²5HFHLYHUPLQLPXPLQSXWOHYHOVHQVLWLYLW\ 

 7DEOH²0LQLPXPUHTXLUHGDGMDFHQWDQGQRQDGMDFHQWFKDQQHOUHMHFWLRQOHYHOV 
 7DEOH²&RQGLWLRQVIRU&&$%86<RQWKHSULPDU\0+]  
 7DEOH²+(3+<0,%DWWULEXWHV  
 7DEOH²+(3+<FKDUDFWHULVWLFV 

7DEOH²+(0&6VIRUWRQH58166   

 7DEOH²+(0&6VIRUWRQH58166   
 7DEOH²+(0&6VIRUWRQH58166   
 7DEOH²+(0&6VIRUWRQH58166   
 7DEOH²+(0&6VIRUWRQH58166   

7DEOH²+(0&6VIRUWRQH58166   

 7DEOH²+(0&6VIRUWRQH58166   
 7DEOH²+(0&6VIRUWRQH58166   
 7DEOH²+(0&6VIRUWRQH58166   
 7DEOH²+(0&6VIRUWRQH58166   

7DEOH²+(0&6VIRUWRQH58166   

 7DEOH²+(0&6VIRUWRQH58166   
 7DEOH²+(0&6VIRUWRQH58166   
 7DEOH²+(0&6VIRUWRQH58166   
 7DEOH²+(0&6VIRUWRQH58166   

7DEOH²+(0&6VIRUWRQH58166   

 7DEOH²+(0&6VIRUWRQH58166   
 7DEOH²+(0&6VIRUWRQH58166   
 7DEOH²+(0&6VIRUWRQH58166   
 7DEOH²+(0&6VIRUWRQH58166   

7DEOH²+(0&6VIRUWRQH58166   

 7DEOH²+(0&6VIRUWRQH58166   

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²+(0&6VIRUWRQH58166   


 7DEOH²+(0&6VIRUWRQH58166   

7DEOH²+(0&6VIRUWRQH58166   

 7DEOH²+(0&6VIRUWRQH58166   
 7DEOH²+(0&6VIRUWRQH58166   
 7DEOH²+(0&6VIRUWRQH58166   
 7DEOH²+(0&6VIRUWRQH58166   

7DEOH²+(0&6VIRUWRQH58166   

 7DEOH²+(0&6VIRUWRQH58166   
 7DEOH²+(0&6VIRUWRQH58166   
 7DEOH²+(0&6VIRUWRQH58166   
 7DEOH²+(0&6VIRUWRQH58166   

7DEOH²+(0&6VIRUWRQH58166   

 7DEOH²+(0&6VIRUWRQH58166   
 7DEOH²+(0&6VIRUWRQH58166   
 7DEOH²+(0&6VIRUWRQH58166   
 7DEOH²+(0&6VIRUWRQH58166   

7DEOH²+(0&6VIRUWRQH58166   

 7DEOH²+(0&6VIRUWRQH58166   
 7DEOH²+(0&6VIRUWRQH58166   
 7DEOH²+(0&6VIRUWRQH58166   
 7DEOH²+(0&6VIRUWRQH58166   

7DEOH²+(0&6VIRUWRQH58166   

 7DEOH²+(0&6VIRUWRQH58166   
 7DEOH²+(0&6VIRUWRQH58166   
 7DEOH²+(0&6VIRUWRQH58166   
 7DEOH²+(0&6VIRUîWRQH58166   

7DEOH²+(0&6VIRUîWRQH58166   

 7DEOH²+(0&6VIRUîWRQH58166   
 7DEOH²+(0&6VIRUîWRQH58166   
 7DEOH²+(0&6VIRUîWRQH58166   
 7DEOH²+(0&6VIRUîWRQH58166   

7DEOH²+(0&6VIRUîWRQH58166   

 7DEOH²+(0&6VIRUîWRQH58166   
 7DEOH²+(6,*%0&6V  
 7DEOH*²$WWULEXWHVDSSOLFDEOHWRIUDPHH[FKDQJHVHTXHQFHGHILQLWLRQ  
 7DEOH=²5HVRXUFHDOORFDWLRQVLJQDOLQJH[DPSOH 

7DEOH=²+(6,*%FRQWHQWIRUH[DPSOH  

 7DEOH=²5HVRXUFHDOORFDWLRQVLJQDOLQJH[DPSOH 
 7DEOH=²+(6,*%FRQWHQWIRUH[DPSOH  
 7DEOH=²5HVRXUFHDOORFDWLRQVLJQDOLQJH[DPSOH 
 7DEOH=²+(6,*%FRQWHQWIRUH[DPSOH  

7DEOH=²58$OORFDWLRQVXEILHOGVIRUGLIIHUHQWG\QDPLFVSOLWVRI8VHUILHOGVIRUWKHH[DPSOHRIWZR08

 0,02XVHUVLQWKHORZHVWWRQH58RIDQ0+]RUZLGHU33'8 













&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU



































































 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU


 ,(((3D[Œ'

 

 'UDIW67$1'$5'IRU



,QIRUPDWLRQ7HFKQRORJ\²


7HOHFRPPXQLFDWLRQV DQG LQIRUPDWLRQ H[FKDQJH 

 EHWZHHQV\VWHPV²

 /RFDODQGPHWURSROLWDQDUHDQHWZRUNV²

 6SHFLILFUHTXLUHPHQWV






3DUW  :LUHOHVV /$1 0HGLXP $FFHVV &RQWURO

 0$& DQG3K\VLFDO/D\HU 3+< VSHFLILFDWLRQV

 

 $PHQGPHQW  (QKDQFHPHQWV IRU +LJK (IILFLHQF\




:/$1




 127(²7KHHGLWLQJLQVWUXFWLRQVFRQWDLQHGLQWKLVDPHQGPHQWGHILQHKRZWRPHUJHWKHPDWHULDOFRQWDLQHGWKHUHLQLQWR

 WKHH[LVWLQJEDVHVWDQGDUGDQGLWVDPHQGPHQWVWRIRUPWKHFRPSUHKHQVLYHVWDQGDUG

7KHHGLWLQJLQVWUXFWLRQVDUHVKRZQLQbold italic)RXUHGLWLQJLQVWUXFWLRQVDUHXVHGFKDQJHGHOHWHLQVHUWDQGUHSODFH

ChangeLVXVHGWRPDNHFRUUHFWLRQVLQH[LVWLQJWH[WRUWDEOHV7KHHGLWLQJLQVWUXFWLRQVSHFLILHVWKHORFDWLRQRIWKHFKDQJH

DQGGHVFULEHVZKDWLVEHLQJFKDQJHGE\XVLQJVWULNHWKURXJK WRUHPRYHROGPDWHULDO DQGXQGHUVFRUH WRDGGQHZPDWH

ULDO DeleteUHPRYHVH[LVWLQJPDWHULDOInsertDGGVQHZPDWHULDOZLWKRXWGLVWXUELQJWKHH[LVWLQJPDWHULDO,QVHUWLRQVPD\

UHTXLUH UHQXPEHULQJ ,I VR UHQXPEHULQJ LQVWUXFWLRQV DUH JLYHQ LQ WKH HGLWLQJ LQVWUXFWLRQ Replace LV XVHG WR PDNH

FKDQJHVLQILJXUHVRUHTXDWLRQVE\UHPRYLQJWKHH[LVWLQJILJXUHRUHTXDWLRQDQGUHSODFLQJLWZLWKDQHZRQH(GLWRULDO

LQVWUXFWLRQVFKDQJHPDUNLQJVDQGWKLV127(ZLOOQRWEHFDUULHGRYHULQWRIXWXUHHGLWLRQVEHFDXVHWKHFKDQJHVZLOOEH

LQFRUSRUDWHGLQWRWKHEDVHVWDQGDUG



 (GLWRULDO1RWHV


 Editor’s Note: Editorial Notes in the body of the standard appear like this. They will be removed before
 publication. They may highlight some issue that the editor has had to address during the implementation
 of a change. Where there may be any technical impact from an editing issue, the editor will raise a tech-
 nical letter ballot comment. There is no need for voters to comment on such issues unless they have a spe-
 cific resolution they wish to present.


 Editor’s Note: Headings with empty content or Headings preceding editing instructions that modify the
 contents of the referenced subclause are there to provide context to the reader of this document, they have
 no other significance.


 Editor’s Note: The default IEEE-SA style for tables is to "float". This means that they be repositioned
 later, usually at the head of the next page, to avoid splitting the table and reduce the amount of blank

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 space. The table can appear to move out of the subclause it is referenced first from, and can even split a
 paragraph. This is the intended IEEE-SA behavior, please do not report it as a defect in the draft. In

many cases, additional line feeds have been inserted to force tables to follow text, rather than float beyond

 sequential text. The additional line feeds will be removed before publication, please do not report them as
 a defect in the text.


Editor’s Note: Line numbering is only approximate. This is a limitation of the FrameMaker tool.

 Whitespace between paragraphs is part of the IEEE-SA style, as defined in their templates. The combina-
 tion of these two facts leads to the appearance of blank lines in the draft between every paragraph. Please
 do not report this as an editorial defect as it is the unavoidable behavior.


 Editor’s Note: A cumulative status of the versions of this draft is shown below.

 7DEOH²'UDIW6WDWXV

 'UDIW 'DWH 6WDWXV

 '  &RQYHUWHGWR)UDPH0DNHUIURPU3URSRVHGGUDIWVSHFLILFDWLRQ

 '  ,QFOXGHVWHQWDWLYHUHVROXWLRQVIRUPRVWHGLWRULDOV,QFOXGHVUHVROXWLRQVIRU
 WHFKQLFDOFRPPHQWVPRWLRQHGLQ0D\VHVVLRQ

 '  ,QFOXGHVUHVROXWLRQVIRUWHFKQLFDOFRPPHQWVPRWLRQHGLQ-XO\VHVVLRQ

 '  ,QFOXGHGPRWLRQHGGUDIWFKDQJHVIURP-XO\VHVVLRQDQGFRUUHFWHG
 HUURUV

 '  ,QFOXGHGFRPPHQWUHVROXWLRQVDQGRWKHUFKDQJHVPRWLRQHGDWWKH6HSWHPEHU
 VHVVLRQ

 '  ,QFOXGHVDOODSSURYHGFKDQJHV5HDG\IRU:*EDOORW

 '  ,QFOXGHVJURXQGKRJV IURPVWDUWRIHGLWLQJ DSSURYHGFKDQJHV
 IURPWKH-DQXDU\VHVVLRQDQGDIHZHGLWRULDOV

 '  ,QFOXGHFRPPHQWUHVROXWLRQDSSURYHGGXULQJ0DUFKVHVVLRQSOXVDIHZ
 HGLWRULDOV

'  ,QFOXGHVDSSURYHGFKDQJHVIURP0D\VHVVLRQSOXVDIHZHGLWRULDOV

 '  ,QFOXGHVDSSURYHGFKDQJHVIURP-XO\VHVVLRQSOXVPRVWUHPDLQLQJHGL
 WRULDOV

 '  ,QFOXGHVDSSURYHGFKDQJHVIURP6HSWHPEHUVHVVLRQ

 '  ,QFOXGHVDSSURYHGFKDQJHVIURP1RYHPEHUVHVVLRQSOXVVRPHHGLWRUL
 DOV

 '  ,QFOXGHVDSSURYHGFKDQJHVIURP-DQXDU\VHVVLRQ

 '  ,QFOXGHVDSSURYHGFKDQJHVIURPWKH0DUFKVHVVLRQSOXVHGLWRULDOV

 '  ,QFOXGHVDOODSSURYHGFKDQJHV5HDG\IRU:*EDOORW

 '  $SSURYHGUHVROXWLRQVIURPWKH-XO\VHVVLRQDQGWHQWDWLYHUHVROXWLRQVIRU
 PRVWHGLWRULDOV

 '  $SSURYHGUHVROXWLRQVIURPWKH6HSWHPEHUVHVVLRQ

 '  $SSURYHGUHVROXWLRQVIURPWKH1RYHPEHUVHVVLRQZLWKIL[HV

'  ,QFOXGHVDSSURYHGFKDQJHVIURP-DQXDU\VHVVLRQ$OOFRPPHQWV

UHVROYHGUHDG\IRU:*EDOORW


 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²'UDIW6WDWXV

 'UDIW 'DWH 6WDWXV


'  ,QFOXGHVDSSURYHGFKDQJHVIURP0DUFKVHVVLRQDQGWHQWDWLYHUHVROX

WLRQVWRDURXQGHGLWRULDOFRPPHQWV

 '  ,QFOXGHVDSSURYHGFKDQJHVIURPWKH0D\VHVVLRQDQGWHQWDWLYHUHVROX
 WLRQVWRHGLWRULDOFRPPHQWV

 '  ,QFOXGHVDSSURYHGFKDQJHVIURPWKH-XO\VHVVLRQ

 '  $OOFRPPHQWVRQ'UHVROYHGUHDG\IRU:*EDOORW

 '  5HVROXWLRQVWRHGLWRULDOFRPPHQWVDQGFRPPHQWVWKDWLGHQWLILHGSUREOHPV
 ZLWK'HGLWV

 '  $OOFRPPHQWVRQ'UHVROYHGUHDG\IRU:*EDOORW
















































&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU



































































 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 1RUPDWLYHUHIHUHQFHV


 Insert the following (maintaining alphabetical order):

 ,(7)5)&2SSRUWXQLVWLF:LUHOHVV(QFU\SWLRQ'+DUNLQV:.XPDUL0DUFK




























































&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 'HILQLWLRQVDFURQ\PVDQGDEEUHYLDWLRQV




'HILQLWLRQV

 Change the following definitions:


 DJJUHJDWHPHGLXPDFFHVVFRQWURO 0$& VHUYLFHGDWDXQLW $06'8 $VWUXFWXUHWKDWFRQWDLQVRQHRU
 PRUH06'8VDQGLVWUDQVSRUWHGZLWKLQDVLQJOH XQIUDJPHQWHG WUDQVPLWWHGLQRQHRUPRUHGDWDPHGLXP

 DFFHVVFRQWURO 0$& 0$&SURWRFROGDWDXQLWV 03'8V ZLWKWKHVDPHVHTXHQFHQXPEHU


 PXOWLXVHU PXOWLSOH LQSXW PXOWLSOH RXWSXW 080,02  $ WHFKQLTXH E\ ZKLFK PXOWLSOH VWDWLRQV
 67$V HDFKZLWKRQHRUPRUHDQWHQQDVHLWKHUVLPXOWDQHRXVO\WUDQVPLWWRDVLQJOH67$RUVLPXOWDQHRXVO\
 UHFHLYHIURPDVLQJOH67$LQGHSHQGHQWGDWDVWUHDPVRYHUWKHVDPHUDGLRIUHTXHQFLHV

 127(²,(((6WGVXSSRUWVRQO\GRZQOLQN '/ 080,026HHGRZQOLQNPXOWLXVHUPXOWLSOHLQSXWPXOWLSOH
 RXWSXW '/080,02  LQ 

 QRQKLJKWKURXJKSXW QRQ+7 $PRGLILHUPHDQLQJQHLWKHUQRWKLJKWKURXJKSXW +7 QRWQRUYHU\KLJK


 WKURXJKSXW 9+7 DQGQRWKLJKHIILFLHQF\ +( 

 SK\VLFDOOD\HU 3+< SURWRFROGDWDXQLW 33'8 7KHXQLWRIGDWDH[FKDQJHGEHWZHHQWZRSHHU3+<HQWL
 WLHVWRSURYLGHWKH3+<GDWDVHUYLFH


 Insert the following definition maintaining alphabetical order:



RUWKRJRQDO IUHTXHQF\ GLYLVLRQ PXOWLSOH DFFHVV 2)'0$  $Q RUWKRJRQDO IUHTXHQF\ GLYLVLRQ PXOWLSOH
 2)'0 EDVHGPXOWLSOHDFFHVVWHFKQLTXHE\ZKLFKPXOWLSOHVWDWLRQV 67$V HLWKHUVLPXOWDQHRXVO\WUDQVPLW
 WRDVLQJOH67$RUVLPXOWDQHRXVO\UHFHLYHIURPDVLQJOH67$LQGHSHQGHQWGDWDVWUHDPVRYHUGLIIHUHQWJURXSV
 RIVXEFDUULHUV


 'HILQLWLRQVVSHFLILFWR,(((


 Change the following definitions:



0+]PDVNSK\VLFDOOD\HU 3+< SURWRFROGDWDXQLW 33'8 2QHRIWKHIROORZLQJ33'8V
 D $&ODXVH 2UWKRJRQDOIUHTXHQF\GLYLVLRQPXOWLSOH[LQJ 2)'0 3+<VSHFLILFDWLRQ 33'8WUDQV
 PLWWHGXVLQJWKH0+]WUDQVPLWVSHFWUDOPDVNGHILQHGLQ&ODXVH 2UWKRJRQDOIUHTXHQF\GLYL

 VLRQPXOWLSOH[LQJ 2)'0 3+<VSHFLILFDWLRQ 
 E $&ODXVH ([WHQGHG5DWH3+< (53 VSHFLILFDWLRQ RUWKRJRQDOIUHTXHQF\GLYLVLRQPXOWLSOH[LQJ


2)'0 33'8WUDQVPLWWHGXVLQJWKHWUDQVPLWVSHFWUDOPDVNGHILQHGLQ&ODXVH ([WHQGHG5DWH

 3+< (53 VSHFLILFDWLRQ 
 F $ KLJK WKURXJKSXW +7  33'8 ZLWK WKH 7;9(&725 SDUDPHWHU &+B%$1':,'7+ HTXDO WR



+7B&%:DQGWKH&+B2))6(7SDUDPHWHUHTXDOWR&+B2))BWUDQVPLWWHGXVLQJWKH0+]
 WUDQVPLWVSHFWUDOPDVNGHILQHGLQ&ODXVH +LJK7KURXJKSXW +7 3+<VSHFLILFDWLRQ 
 G $YHU\KLJKWKURXJKSXW 9+7 33'8ZLWKWKH7;9(&725SDUDPHWHU&+B%$1':,'7+HTXDOWR

 &%: WUDQVPLWWHG XVLQJ WKH  0+] WUDQVPLW VSHFWUDO PDVN GHILQHG LQ &ODXVH 9HU\ +LJK
 7KURXJKSXW 9+7 3+<VSHFLILFDWLRQ 

H $&ODXVH 2UWKRJRQDOIUHTXHQF\GLYLVLRQPXOWLSOH[LQJ 2)'0 3+<VSHFLILFDWLRQ 33'8WUDQV

 PLWWHGE\D9+767$XVLQJWKHWUDQVPLWVSHFWUDOPDVNGHILQHGLQ&ODXVH 9HU\+LJK7KURXJKSXW
 9+7 3+<VSHFLILFDWLRQ 

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 I $Q+733'8ZLWKWKH7;9(&725SDUDPHWHU&+B%$1':,'7+HTXDOWR+7B&%:DQGWKH
 &+B2))6(7SDUDPHWHUHTXDOWR&+B2))BWUDQVPLWWHGE\D9+767$XVLQJWKH0+]WUDQV

PLWVSHFWUDOPDVNGHILQHGLQ&ODXVH 9HU\+LJK7KURXJKSXW 9+7 3+<VSHFLILFDWLRQ 

 J $KLJKHIILFLHQF\ +( 33'8ZLWK7;9(&725SDUDPHWHU&+B%$1':,'7+HTXDOWR&%:
 WUDQVPLWWHGXVLQJWKH0+]WUDQVPLWVSHFWUDOPDVNGHILQHGLQ&ODXVH +LJK(IILFLHQF\ +( 


3+<VSHFLILFDWLRQ 
 K $&ODXVH 2UWKRJRQDOIUHTXHQF\GLYLVLRQPXOWLSOH[LQJ 2)'0 3+<VSHFLILFDWLRQ 33'8WUDQV
 PLWWHGE\DQ+(67$XVLQJWKH0+]WUDQVPLWVSHFWUDOPDVNGHILQHGLQ&ODXVH +LJK(IIL


FLHQF\ +( 3+<VSHFLILFDWLRQ 

 0+]SK\VLFDOOD\HU 3+< SURWRFROGDWDXQLW 33'8 $&ODXVH '6663+<VSHFLILFDWLRQIRUWKH
 *+] EDQG GHVLJQDWHG IRU ,60 DSSOLFDWLRQV  33'8 &ODXVH 2UWKRJRQDO IUHTXHQF\ GLYLVLRQ 

PXOWLSOH[LQJ 2)'0 3+<VSHFLILFDWLRQ 33'8 ZKHQXVLQJ0+]FKDQQHOVSDFLQJ &ODXVH +LJK

 UDWH GLUHFW VHTXHQFH VSUHDG VSHFWUXP +5'666  3+< VSHFLILFDWLRQ  33'8 &ODXVH ([WHQGHG 5DWH
 3+< (53  VSHFLILFDWLRQ  RUWKRJRQDO IUHTXHQF\ GLYLVLRQ PXOWLSOH[LQJ 2)'0  33'8 &ODXVH +LJK
 7KURXJKSXW +7 3+<VSHFLILFDWLRQ 0+]KLJKWKURXJKSXW +7 33'8ZLWKWKH7;9(&725SDUDPHWHU
 &+B%$1':,'7+ HTXDO WR +7B&%: RU &ODXVH 9HU\ +LJK 7KURXJKSXW 9+7  3+< 

VSHFLILFDWLRQ DF   0+] YHU\ KLJK WKURXJKSXW 9+7  33'8 ZLWK WKH 7;9(&725 SDUDPHWHU

 &+B%$1':,'7+HTXDOWR&%:RU&ODXVH +LJK(IILFLHQF\ +( 3+<VSHFLILFDWLRQ 0+]KLJK 
 HIILFLHQF\ +( 33'8ZLWKWKH7;9(&725SDUDPHWHU&+B%$1':,'7+HTXDOWR&%:

 0+]PDVNSK\VLFDOOD\HU 3+< SURWRFROGDWDXQLW 33'8 2QHRIWKHIROORZLQJ33'8V

 D $ 0+] KLJK WKURXJKSXW +7  33'8 7;9(&725 SDUDPHWHU &+B%$1':,'7+ HTXDO WR 
 +7B&%:  WUDQVPLWWHG XVLQJ WKH  0+] WUDQVPLW VSHFWUDO PDVN GHILQHG LQ &ODXVH +LJK

 7KURXJKSXW +7 3+<VSHFLILFDWLRQ 

 E $ 0+] QRQ+7 GXSOLFDWH 33'8 7;9(&725 SDUDPHWHU &+B%$1':,'7+ HTXDO WR 
 121B+7B&%: WUDQVPLWWHGE\DQRQYHU\KLJKWKURXJKSXW QRQ9+7 67$XVLQJWKH0+]

WUDQVPLWVSHFWUDOPDVNGHILQHGLQ&ODXVH +LJK7KURXJKSXW +7 3+<VSHFLILFDWLRQ 

 F $0+]QRQ+7GXSOLFDWH33'8 7;9(&725SDUDPHWHU&+B%$1':,'7+HTXDOWR&%: 
 WUDQVPLWWHGE\DYHU\KLJKWKURXJKSXW 9+7 67$XVLQJWKH0+]WUDQVPLWVSHFWUDOPDVNGHILQHG


LQ&ODXVH 9HU\+LJK7KURXJKSXW 9+7 3+<VSHFLILFDWLRQ 

 G $0+]+733'8ZLWKWKH7;9(&725SDUDPHWHU&+B%$1':,'7+HTXDOWR+7B&%: 
 DQGWKH&+B2))6(7SDUDPHWHUHTXDOWRHLWKHU&+B2))B8RU&+B2))B/WUDQVPLWWHGXVLQJ


WKH0+] WUDQVPLWVSHFWUDO PDVN GHILQHG LQ &ODXVH +LJK 7KURXJKSXW +7 3+< VSHFLILFD
 WLRQ 
 H $  0+] 9+7 33'8 ZLWK WKH 7;9(&725 SDUDPHWHU &+B%$1':,'7+ HTXDO WR &%: 


WUDQVPLWWHGXVLQJWKH0+]WUDQVPLWVSHFWUDOPDVNGHILQHGLQ&ODXVH 9HU\+LJK7KURXJKSXW
 9+7 3+<VSHFLILFDWLRQ 
 I $  0+] 9+7 33'8 ZLWK WKH 7;9(&725 SDUDPHWHU &+B%$1':,'7+ HTXDO WR &%: 

 WUDQVPLWWHGXVLQJWKH0+]WUDQVPLWVSHFWUDOPDVNGHILQHGLQ&ODXVH 9HU\+LJK7KURXJKSXW
 9+7 3+<VSHFLILFDWLRQ 
 J $0+]+733'8 7;9(&725SDUDPHWHU&+B%$1':,'7+HTXDOWR+7B&%: WUDQVPLW

 WHG E\ D 9+7 67$ XVLQJ WKH  0+] WUDQVPLW VSHFWUDO PDVN GHILQHG LQ &ODXVH 9HU\ +LJK

 7KURXJKSXW 9+7 3+<VSHFLILFDWLRQ 
 K $0+]QRQ+733'8 7;9(&725SDUDPHWHU&+B%$1':,'7+HTXDOWR&%: WUDQVPLW

 WHG XVLQJ WKH  0+] WUDQVPLW VSHFWUDO PDVN GHILQHG LQ &ODXVH +LJK 7KURXJKSXW +7  3+<

 VSHFLILFDWLRQ 

L $0+]QRQ+733'8 7;9(&725SDUDPHWHU&+B%$1':,'7+HTXDOWR&%: WUDQVPLW

 WHG E\ D 9+7 67$ XVLQJ WKH  0+] WUDQVPLW VSHFWUDO PDVN GHILQHG LQ &ODXVH 9HU\ +LJK

 7KURXJKSXW 9+7 3+<VSHFLILFDWLRQ 

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 M $0+]KLJKHIILFLHQF\ +( 33'8ZLWK7;9(&725SDUDPHWHU&+B%$1':,'7+HTXDOWR 
 &%:WUDQVPLWWHGXVLQJWKH0+]WUDQVPLWVSHFWUDOPDVNGHILQHGLQ&ODXVH +LJK(IILFLHQF\


+( 3+<VSHFLILFDWLRQ 

 N $0+]9+733'8 7;9(&725SDUDPHWHU&+B%$1':,'7+HTXDOWR&%: WUDQVPLWWHG 

E\DQ+(67$XVLQJWKH0+]WUDQVPLWVSHFWUDOPDVNGHILQHGLQ&ODXVH 9HU\KLJKWKURXJKSXW

 9+7 3+<VSHFLILFDWLRQ 


O $0+]QRQ+7GXSOLFDWH33'8 7;9(&725SDUDPHWHU&+B%$1':,'7+HTXDOWR&%: 
 WUDQVPLWWHG E\ DQ +( 67$ XVLQJ WKH  0+] WUDQVPLW VSHFWUDO PDVN GHILQHG LQ &ODXVH  +LJK

 7KURXJKSXW +7 3+<VSHFLILFDWLRQ 


  0+] SK\VLFDO OD\HU 3+<  SURWRFRO GDWD XQLW 33'8  $  0+] KLJK WKURXJKSXW +7  33'8

 7;9(&725SDUDPHWHU&+B%$1':,'7+HTXDOWR+7B&%: RUD0+]QRQ+7GXSOLFDWH33'8 
 7;9(&725 SDUDPHWHU &+B%$1':,'7+ HTXDO WR 121B+7B&%: RU 7;9(&725 SDUDPHWHU
 &+B%$1':,'7+ HTXDO WR &%:  RU D  0+] YHU\ KLJK WKURXJKSXW 9+7  33'8 7;9(&725 
 SDUDPHWHU&+B%$1':,'7+HTXDOWR&%: RU&ODXVH +LJK(IILFLHQF\ +( 3+<VSHFLILFDWLRQ

 0+]KLJKHIILFLHQF\ +( 33'8ZLWKWKH7;9(&725SDUDPHWHU&+B%$1':,'7+HTXDOWR&%:

 0+]PDVNSK\VLFDOOD\HU 3+< SURWRFROGDWDXQLW 33'8 $33'8WKDWLVWUDQVPLWWHGXVLQJWKH


0+]WUDQVPLWVSHFWUDOPDVNGHILQHGLQ&ODXVH 9HU\+LJK7KURXJKSXW 9+7 3+<VSHFLILFDWLRQ DQG 
 WKDWLVRQH2QHRIWKHIROORZLQJ33'8V

 D $Q0+]YHU\KLJKWKURXJKSXW 9+7 33'8 7;9(&725SDUDPHWHU&+B%$1':,'7+HTXDO
 WR&%: WUDQVPLWWHGXVLQJWKH0+]WUDQVPLWVSHFWUDOPDVNGHILQHGLQ&ODXVH 9HU\+LJK

 7KURXJKSXW 9+7 3+<VSHFLILFDWLRQ 

 E $Q0+]QRQKLJKWKURXJKSXW QRQ+7 GXSOLFDWH33'8 7;9(&725SDUDPHWHU&+B%$1'
 :,'7+HTXDOWR&%: WUDQVPLWWHGXVLQJWKH0+]WUDQVPLWVSHFWUDOPDVNGHILQHGLQ&ODXVH
  9HU\+LJK7KURXJKSXW 9+7 3+<VSHFLILFDWLRQ 

 F $  0+] QRQ+7 KLJK WKURXJKSXW +7  RU9+7 33'8 7;9(&725 SDUDPHWHU &+B%$1'
 :,'7+HTXDOWR&%: WUDQVPLWWHGXVLQJWKH0+]WUDQVPLWVSHFWUDOPDVNGHILQHGLQ&ODXVH
  9HU\+LJK7KURXJKSXW 9+7 3+<VSHFLILFDWLRQ 

 G $  0+] QRQ+7 GXSOLFDWH +7 RU 9+7 33'8 7;9(&725 SDUDPHWHU &+B%$1':,'7+ 
 HTXDOWR&%: WUDQVPLWWHGXVLQJWKH0+]WUDQVPLWVSHFWUDOPDVNGHILQHGLQ&ODXVH 9HU\

 +LJK7KURXJKSXW 9+7 3+<VSHFLILFDWLRQ 
 H $Q  0+] KLJK HIILFLHQF\ +(  33'8 7;9(&725 SDUDPHWHU &+B%$1':,'7+ HTXDO WR 

 &%:  WUDQVPLWWHG XVLQJ WKH  0+] WUDQVPLW VSHFWUDO PDVN GHILQHG LQ &ODXVH +LJK (IIL
 FLHQF\ +( 3+<VSHFLILFDWLRQ 



0+]SK\VLFDOOD\HU 3+< SURWRFROGDWDXQLW 33'8 $&ODXVH 9HU\+LJK7KURXJKSXW 9+7 
 3+< VSHFLILFDWLRQ   0+] YHU\ KLJK WKURXJKSXW 9+7  33'8 7;9(&725 SDUDPHWHU &+B%$1'
 :,'7+HTXDOWR&%: RUD&ODXVH 9HU\+LJK7KURXJKSXW 9+7 3+<VSHFLILFDWLRQ 0+]QRQ
 KLJKWKURXJKSXW QRQ+7 GXSOLFDWH33'8 7;9(&725SDUDPHWHU&+B%$1':,'7+HTXDOWR&%: 
 RU &ODXVH +LJK (IILFLHQF\ +(  3+< VSHFLILFDWLRQ   0+] KLJK HIILFLHQF\ +(  33'8 ZLWK WKH


7;9(&725SDUDPHWHU&+B%$1':,'7+HTXDOWR&%:

 0+]PDVNSK\VLFDOOD\HU 3+< SURWRFROGDWDXQLW 33'8 $33'8WKDWLVWUDQVPLWWHGXVLQJ

WKH0+]WUDQVPLWVSHFWUDOPDVNGHILQHGLQ&ODXVH 9HU\+LJK7KURXJKSXW 9+7 3+<VSHFLILFD

 WLRQ DQGWKDWLVRQH2QHRIWKHIROORZLQJ33'8V

D $Q0+]YHU\KLJKWKURXJKSXW 9+7 33'8 7;9(&725SDUDPHWHU&+B%$1':,'7+ 

 HTXDOWR&%: WUDQVPLWWHGXVLQJWKH0+]WUDQVPLWVSHFWUDOPDVNGHILQHGLQ&ODXVH
 9HU\+LJK7KURXJKSXW 9+7 3+<VSHFLILFDWLRQ 

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 E $Q  0+] QRQKLJK WKURXJKSXW QRQ+7  GXSOLFDWH 33'8 7;9(&725 SDUDPHWHU
 &+B%$1':,'7+HTXDOWR&%: WUDQVPLWWHGXVLQJWKH0+]WUDQVPLWVSHFWUDOPDVN

GHILQHGLQ&ODXVH 9HU\+LJK7KURXJKSXW 9+7 3+<VSHFLILFDWLRQ 

 F $Q0+]KLJKHIILFLHQF\ +( 33'8 7;9(&725SDUDPHWHU&+B%$1':,'7+HTXDOWR 
 &%: WUDQVPLWWHGXVLQJWKH0+]WUDQVPLWVSHFWUDOPDVNGHILQHGLQ&ODXVH +LJK
 (IILFLHQF\ +( 3+<VSHFLILFDWLRQ 


  0+] SK\VLFDO OD\HU 3+<  SURWRFRO GDWD XQLW 33'8  $ &ODXVH  9HU\ +LJK 7KURXJKSXW
 9+7  3+< VSHFLILFDWLRQ   0+] YHU\ KLJK WKURXJKSXW 9+7  33'8 7;9(&725 SDUDPHWHU
 &+B%$1':,'7+HTXDOWR&%: RUD&ODXVH 9HU\+LJK7KURXJKSXW 9+7 3+<VSHFLILFD

WLRQ   0+] QRQKLJK WKURXJKSXW QRQ+7  GXSOLFDWH 33'8 7;9(&725 SDUDPHWHU &+B%$1'

 :,'7+HTXDOWR&%: RU&ODXVH +LJK(IILFLHQF\ +( 3+<VSHFLILFDWLRQ 0+]KLJK
 HIILFLHQF\ +( 33'8ZLWKWKH7;9(&725SDUDPHWHU&+B%$1':,'7+HTXDOWR&%:

 0+]PDVNSK\VLFDOOD\HU 3+< SURWRFROGDWDXQLW 33'8 $33'8WKDWLVWUDQVPLWWHGXVLQJWKH

 0+] WUDQVPLW VSHFWUDO PDVN GHILQHG LQ &ODXVH 9HU\ +LJK 7KURXJKSXW 9+7  3+<

 VSHFLILFDWLRQ DF DQGWKDWLVRQH2QHRIWKHIROORZLQJ33'8V
 D $0+]YHU\KLJKWKURXJKSXW 9+7 33'8 7;9(&725SDUDPHWHU&+B%$1':,'7+HTXDO
 WR &%:  WUDQVPLWWHG XVLQJ WKH  0+] WUDQVPLW VSHFWUDO PDVN GHILQHG LQ &ODXVH  9HU\

 +LJK7KURXJKSXW 9+7 3+<VSHFLILFDWLRQ 
 E $0+]QRQKLJKWKURXJKSXW QRQ+7 GXSOLFDWH33'8 7;9(&725SDUDPHWHU&+B%$1'
 :,'7+HTXDOWR&%: WUDQVPLWWHGXVLQJWKH0+]WUDQVPLWVSHFWUDOPDVNGHILQHGLQ&ODXVH

  9HU\+LJK7KURXJKSXW 9+7 3+<VSHFLILFDWLRQ 
 F $  0+] QRQ+7 KLJK WKURXJKSXW +7  RU9+7 33'8 7;9(&725 SDUDPHWHU &+B%$1'
 :,'7+HTXDOWR&%: WUDQVPLWWHGXVLQJWKH0+]WUDQVPLWVSHFWUDOPDVNGHILQHGLQ&ODXVH


 9HU\+LJK7KURXJKSXW 9+7 3+<VSHFLILFDWLRQ 
 G $  0+] QRQ+7 GXSOLFDWH +7 RU 9+7 33'8 7;9(&725 SDUDPHWHU &+B%$1':,'7+ 
 HTXDOWR&%: WUDQVPLWWHGXVLQJWKH0+]WUDQVPLWVSHFWUDOPDVNGHILQHGLQ&ODXVH 9HU\

+LJK7KURXJKSXW 9+7 3+<VSHFLILFDWLRQ 

 H $Q0+]QRQ+7GXSOLFDWHRU9+733'8 7;9(&725SDUDPHWHU&+B%$1':,'7+HTXDOWR 
 &%: WUDQVPLWWHGXVLQJWKH0+]WUDQVPLWVSHFWUDOPDVNGHILQHGLQ&ODXVH 9HU\+LJK
 7KURXJKSXW 9+7 3+<VSHFLILFDWLRQ 

 I $  0+] KLJK HIILFLHQF\ +(  33'8 7;9(&725 SDUDPHWHU &+B%$1':,'7+ HTXDO WR 
 &%: WUDQVPLWWHGXVLQJWKH0+]WUDQVPLWVSHFWUDOPDVNGHILQHGLQ&ODXVH +LJK(IIL
 FLHQF\ +( 3+<VSHFLILFDWLRQ 


 0+]SK\VLFDOOD\HU 3+< SURWRFROGDWDXQLW 33'8 $&ODXVH 9HU\+LJK7KURXJKSXW 9+7 
 3+< VSHFLILFDWLRQ   0+] YHU\ KLJK WKURXJKSXW 9+7  33'8 7;9(&725 SDUDPHWHU &+B%$1'
 :,'7+HTXDOWR&%: RUD&ODXVH 9HU\+LJK7KURXJKSXW 9+7 3+<VSHFLILFDWLRQ 0+]
 QRQKLJK WKURXJKSXW QRQ+7  GXSOLFDWH 33'8 7;9(&725 SDUDPHWHU &+B%$1':,'7+ HTXDO WR

 &%: RU&ODXVH +LJK(IILFLHQF\ +( 3+<VSHFLILFDWLRQ 0+]KLJKHIILFLHQF\ +( 33'8 
 ZLWKWKH7;9(&725SDUDPHWHU&+B%$1':,'7+HTXDOWR&%:

 EDQGZLGWKVLJQDOLQJWUDQVPLWWHUDGGUHVV 7$ $7$WKDWLVXVHGE\DYHU\KLJKWKURXJKSXW 9+7 VWD
 WLRQ 67$  RU D KLJK HIILFLHQF\ +(  67$ WR LQGLFDWH WKH SUHVHQFH RI DGGLWLRQDO VLJQDOLQJ UHODWHG WR WKH

 EDQGZLGWKWREHXVHGLQDVXEVHTXHQWWUDQVPLVVLRQLQDQHQKDQFHGGLVWULEXWHGFKDQQHODFFHVV ('&$ WUDQV
 PLVVLRQ RSSRUWXQLW\ 7;23  ,W LV UHSUHVHQWHG E\ WKH ,((( PHGLXP DFFHVV FRQWURO 0$&  LQGLYLGXDO
 DGGUHVVRIWKHWUDQVPLWWLQJ9+767$EXWZLWKWKH,QGLYLGXDO*URXSELWVHWWR


IUDJPHQWDWLRQ 7KH SURFHVV RI SDUWLWLRQLQJ D PHGLXP DFFHVV FRQWURO 0$&  VHUYLFH GDWD XQLW 06'8 

 DJJUHJDWHPHGLXPDFFHVVFRQWURO 0$& VHUYLFHGDWDXQLW $06'8 RU0$&PDQDJHPHQWSURWRFROGDWD
 XQLW 003'8 LQWRDVHTXHQFHRIVPDOOHU0$&SURWRFROGDWDXQLWV 03'8V SULRUWRWUDQVPLVVLRQ7KH

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 SURFHVV RI UHFRPELQLQJ D VHW RI IUDJPHQW 03'8V LQWR DQ 06'8 $06'8 RU 003'8 LV NQRZQ DV
 GHIUDJPHQWDWLRQ7KHVHSURFHVVHVDUHGHVFULEHGLQRI,62,(&


 PHGLXPDFFHVVFRQWURO 0$& PDQDJHPHQWSURWRFROGDWDXQLW 003'8 7KHXQLWRIGDWDH[FKDQJHG 
 EHWZHHQWZRSHHU0$&HQWLWLHVXVLQJVHUYLFHVRIWKHSK\VLFDOOD\HU 3+< WRLPSOHPHQWWKH0$&PDQ
 DJHPHQWSURWRFRO7KH003'8LVWUDQVSRUWHGLQRQHRUPRUH0DQDJHPHQWIUDPHV7KH003'8PLJKW


LQFOXGHD0HVK&RQWUROILHOGRUPDQDJHPHQWPHVVDJHLQWHJULW\FRGHHOHPHQW 0DQDJHPHQW0,&HOHPHQW 
 EXW GRHV QRW LQFOXGH D 0$& KHDGHU D IUDPH FKHFN VHTXHQFH )&6  RU DQ\ RWKHU VHFXULW\ HQFDSVXODWLRQ

 RYHUKHDG

 127(²7KH 003'8 RFFXSLHV D SRVLWLRQ LQ WKH PDQDJHPHQW SODQH VLPLODU WR WKDW RI WKH 0$& VHUYLFH GDWD XQLW
 06'8 LQWKHGDWDSODQH$Q06'8$06'8RU003'8LVWUDQVPLWWHGLQRQHRUPRUH0$&SURWRFROGDWDXQLWV
 03'8V  ZLWKWKH7\SHILHOGVHWWR'DWD'DWDRU0DQDJHPHQWUHVSHFWLYHO\ $Q06'8FDQEHFDUULHGLQDQDJJUHJDWH
 0$&VHUYLFHGDWDXQLW $06'8 $Q$06'8LVWUDQVPLWWHGLQRQH03'8$Q06'8$06'8RU003'8FDQ 
 EHFDUULHG LQDQ03'8 LQDQDJJUHJDWH0$&SURWRFROGDWDXQLW $03'8


PXOWLSOHEDVLFVHUYLFHVHWLGHQWLILHU %66,' VHW$FROOHFWLRQRIFRRSHUDWLQJDFFHVVSRLQWV $3V VXFK


 WKDWDOO$3VXVHDFRPPRQRSHUDWLQJFODVVFKDQQHODQGDQWHQQDFRQQHFWRUVDQGDGYHUWLVHLQIRUPDWLRQIRU
 PXOWLSOH%66,'VXVLQJ%HDFRQRU3UREH5HVSRQVHIUDPHVVHQWE\WKH$3FRUUHVSRQGLQJWRWKHWUDQVPLWWHG 
 %66,'


 PXOWLXVHU 08  SK\VLFDO OD\HU 3+<  SURWRFRO GDWD XQLW 33'8  $ 33'8 WKDW FDUULHV RQH RU PRUH
 3+<VHUYLFHGDWDXQLWV 36'8V IRURQHRUPRUHVWDWLRQV 67$V XVLQJWKHGRZQOLQNPXOWLXVHUPXOWLSOH
 LQSXW PXOWLSOH RXWSXW '/080,02  WHFKQLTXH RUWKRJRQDO IUHTXHQF\ GLYLVLRQ PXOWLSOH DFFHVV '/ 
 2)'0$ WHFKQLTXHRUDFRPELQDWLRQRIWKHWZRWHFKQLTXHVRUWKDWFDUULHVD36'8IRUDQ$3DQGLVLQKLJK

 HIILFLHQF\ +( 0833'8IRUPDW

 QRQWUDQVPLWWHGEDVLFVHUYLFHVHW %66 LGHQWLILHU %66,' $%66,'FRUUHVSRQGLQJWRRQHRIWKHEDVLF
 VHUYLFHVHWV %66V ZKHQWKHPXOWLSOH%66,'FDSDELOLW\LVVXSSRUWHGWKDWLVQRWWUDQVPLWWHGH[SOLFLWO\EXW

 WKDWFDQEHGHULYHGIURPWKHLQIRUPDWLRQHQFRGHGLQ3UREH5HVSRQVH%HDFRQDQGGLUHFWLRQDOPXOWLJLJDELW
 '0* %HDFRQIUDPHVDQG1HLJKERUUHSRUWV



Replace the definition of “user” with the following:

 XVHU $Q LQGLYLGXDO VWDWLRQ RU JURXS RI VWDWLRQV 67$V  XVLQJ D VLQJOH LGHQWLILHU LQ WKH FRQWH[W RI VLQJOH
 LQSXW VLQJOH RXWSXW 6,62  VLQJOHXVHU PXOWLSOH LQSXW PXOWLSOH RXWSXW 680,02  PXOWLXVHU PXOWLSOH

 LQSXWPXOWLSOHRXWSXW 080,02 RURUWKRJRQDOIUHTXHQF\GLYLVLRQPXOWLSOHDFFHVV 2)'0$ 

 Insert the following definitions maintaining alphabetical order:


 0+]RQO\QRQDFFHVVSRLQW QRQ$3 KLJKHIILFLHQF\VWDWLRQ +(67$ $QRQ$3+(67$WKDWLQGL
 FDWHVLQWKH6XSSRUWHG&KDQQHO:LGWK6HWVXEILHOGLQWKH+(3+<&DSDELOLWLHV,QIRUPDWLRQILHOGRIWKH+( 
 &DSDELOLWLHVHOHPHQWWKDWLWVXSSRUWVRQO\0+]FKDQQHOZLGWKIRUWKHIUHTXHQF\EDQGLQZKLFKLWLVRSHU


DWLQJ

  0+] RSHUDWLQJ QRQDFFHVVSRLQW QRQ$3  KLJK HIILFLHQF\ VWDWLRQ +( 67$  $ QRQ$3 +( 67$

 WKDWLVRSHUDWLQJLQ0+]FKDQQHOZLGWKPRGHVXFKDVD0+]RQO\QRQ$3+(67$RUDQ+(67$ 

 WKDWKDVUHGXFHGLWVRSHUDWLQJFKDQQHOZLGWKWR0+]XVLQJRSHUDWLQJPRGHLQGLFDWLRQ 20, 

  0+] RSHUDWLQJ QRQDFFHVVSRLQW QRQ$3  KLJK HIILFLHQF\ VWDWLRQ +( 67$  $ QRQ$3 +( 67$


WKDWLVRSHUDWLQJLQ0+]FKDQQHOZLGWKPRGHVXFKDVDQRQ$367$ H[FOXGLQJWKH0+]RQO\QRQ

 $3+(67$ ZKLFKLVQRWFDSDEOHRI0+]RSHUDWLRQRUDQRQ$367$WKDWKDVUHGXFHGLWVRSHUDWLQJ 
 FKDQQHOZLGWKWR0+]XVLQJRSHUDWLQJPRGHLQGLFDWLRQ 20, 

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 DFNHQDEOHGVLQJOHWUDIILFLGHQWLILHU 7,' DJJUHJDWHPHGLXPDFFHVVFRQWURO 0$& SURWRFROGDWDXQLW


 DFNHQDEOHGVLQJOH7,'$03'8 $Q$03'8WKDWFRQWDLQVDWOHDVWWZR$03'8VXEIUDPHVZKHUH

PRUHWKDQRQH03'8LQWKH$03'8VXEIUDPHVIURPVDPHWUDIILFLGHQWLILHG 7,' DUHQRWDOORZHGDQG

 RQO\RQHRIWKH$03'8VXEIUDPHVLQFOXGHVDQ(2)03'8WKDWVROLFLWVDQLPPHGLDWHDFNQRZOHGJPHQW

 127(²7KH VLQJOH 0DQDJHPHQW IUDPH WKDW VROLFLWV WKH DFNQRZOHGJPHQW LQ DQ DFNHQDEOHG VLQJOH7,' $03'8 LV
 WUHDWHGDVDIUDPHIURPD7,'HJVROLFLWLQJ$FNRI7,'LQPXOWL67$%ORFN$FNIUDPH


 DFNHQDEOHGPXOWLWUDIILFLGHQWLILHU 7,' DJJUHJDWHPHGLXPDFFHVVFRQWURO 0$& SURWRFROGDWDXQLW
 DFNHQDEOHG PXOWL7,' $03'8  $Q $03'8 ZKHUH DW OHDVW RQH (2) 03'8 WKDW VROLFLWV $FN
 DFNQRZOHGJPHQW LV DJJUHJDWHG LQ WKH $03'8 DQG 03'8V IURP PRUH WKDQ RQH 7,' WKDW VROLFLW $FN

 DFNQRZOHGJPHQWRU%ORFN$FNDFNQRZOHGJPHQWDUHDJJUHJDWHGLQWKH$03'8


127(²7KH VLQJOH 0DQDJHPHQW IUDPH WKDW VROLFLWV WKH DFNQRZOHGJPHQW LQ DQ DFNHQDEOHG PXOWL7,' $03'8 LV

 WUHDWHGDVDIUDPHIURPD7,'HJVROLFLWLQJ$FNRI7,'LQPXOWL67$%ORFN$FNIUDPH

 EDVLFVHUYLFHVHW %66 FRORU$QLGHQWLILHUIRUD%66RUIRUDVHWRI%66VEHORQJLQJWRDPXOWLSOH%66,'

 VHWRUDFRKRVWHG%66,'VHW


 EURDGFDVWUHVRXUFHXQLW 58  DUHVRXUFHXQLWLQDKLJKHIILFLHQF\ +( PXOWLXVHU 08 SK\VLFDOOD\HU
 3+< SURWRFROGDWDXQLW 33'8 WUDQVPLWWHGE\DQDFFHVVSRLQW $3 WKDWLVLQWHQGHGIRUHLWKHUXQDVVRFLDWHG

 67$VRUPRUHWKDQRQHDVVRFLDWHG67$LQWKHEDVLFVHUYLFHVHW %66 RULQDQ\RIWKHRWKHU%66VLQWKHPXO
 WLSOH%66,'VHWWRZKLFKWKH$3¶V%66EHORQJV


 EURDGFDVWWDUJHWZDNHWLPH 7:7 $VSHFLILFWLPHRUVHWRIWLPHVEURDGFDVWE\DQDFFHVVSRLQW $3 WR

 PXOWLSOHQRQ$3VWDWLRQV QRQ$367$V WRZDNHLQRUGHUWRH[FKDQJHIUDPHVZLWKWKH$3



FRKRVWHGEDVLFVHUYLFHVHWLGHQWLILHU %66,' VHW$FROOHFWLRQRIDFFHVVSRLQWV $3V VXFKWKDWDOO$3V
 XVHDFRPPRQRSHUDWLQJFODVVFKDQQHODQGDQWHQQDFRQQHFWRUVDQGHDFK$3DGYHUWLVHVLQIRUPDWLRQIRULWV
 %66,'XVLQJ%HDFRQRU3UREH5HVSRQVHIUDPHV

 FRORFDWHGDFFHVVSRLQW $3 VHW$VHWRIWZRRUPRUH$3VLQWKHVDPHSK\VLFDOGHYLFH

 127(²$3VLQWKHFRORFDWHGVHWPLJKWEHRSHUDWLQJRQWKHVDPHRUGLIIHUHQWFKDQQHO

 127(²7KH$3VWKDWDUHSDUWRIDFRORFDWHG$3VHWDQGWKDWDUHRSHUDWLQJRQWKHVDPHFKDQQHOPLJKWIRUPDFR
 KRVWHG%66,'VHWRUPXOWLSOH%66,'VHW

 GHWHFWHGDFFHVVSRLQW $3 $Q$3PLJKWEHGHWHFWHGE\DVWDWLRQ 67$ LIWKH67$DQGWKH$3DUHRQWKH

VDPHFKDQQHODQGLQUDQJH


 GRZQOLQN '/ KLJKHIILFLHQF\ +( PXOWLXVHU 08 SK\VLFDOOD\HU 3+< SURWRFROGDWDXQLW 33'8 
 $Q +( 08 33'8 WUDQVPLWWHG E\ DQ DFFHVV SRLQW $3  7KLV 33'8 FDUULHV RQH RU PRUH SK\VLFDO OD\HU
 3+< VHUYLFHGDWDXQLWV 36'8V IRURQHRUPRUHXVHUV


 HQG RI IUDPH (2)  PHGLD DFFHVV FRQWURO 0$&  SURWRFRO GDWD XQLW 03'8  (2) 03'8  $Q
 03'8FDUULHGLQDQDJJUHJDWH03'8 $03'8 VXEIUDPHWKDWKDVWKH(2)ILHOGLQWKH03'8GHOLPLWHU
 VHWWR


 HQKDQFHGPXOWLSOHEDVLFVHUYLFHVHWLGHQWLILHU %66,' DGYHUWLVHPHQW (0$ DFFHVVSRLQW $3 $Q$3 
 ZLWKGRW0XOWL%66,',PSOHPHQWHGVHWWRWUXHWKDWVXSSRUWVHQKDQFHPHQWVUHODWHGWRWKHGLVFRYHU\RIQRQ
 WUDQVPLWWHG%66,'V


 H[WHQGHGUDQJH (5 EHDFRQ$%HDFRQIUDPHWUDQVPLWWHGLQDKLJKHIILFLHQF\ +( (5VLQJOHXVHU 68 
 SK\VLFDOOD\HU 3+< SURWRFROGDWDXQLW 33'8 WRIRUPDQ(5EDVLFVHUYLFHVHW %66 

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 KLJKHIILFLHQF\ +( EDVLFVHUYLFHVHW %66 $%66LQZKLFKWKHWUDQVPLWWHG%HDFRQIUDPHLQFOXGHVDQ


 +(2SHUDWLRQHOHPHQW


 KLJKHIILFLHQF\ +( EHDFRQ$%HDFRQIUDPHWUDQVPLWWHGLQDKLJKHIILFLHQF\ +( VLQJOHXVHU 68 SK\V
 LFDOOD\HU 3+< SURWRFROGDWDXQLW 33'8 


 KLJKHIILFLHQF\ +( EHDPIRUPHH$Q+(VWDWLRQ 67$ WKDWUHFHLYHVDQ+(SK\VLFDOOD\HU 3+< SURWR
 FROGDWDXQLW 33'8 WKDWZDVWUDQVPLWWHGXVLQJDEHDPIRUPLQJVWHHULQJPDWUL[

 KLJKHIILFLHQF\ +( EHDPIRUPHU$Q+(VWDWLRQ 67$ WKDWWUDQVPLWVDQ+(SK\VLFDOOD\HU 3+< SURWR

 FROGDWDXQLW 33'8 XVLQJDEHDPIRUPLQJVWHHULQJPDWUL[

 KLJK HIILFLHQF\ +(  H[WHQGHG UDQJH (5  VLQJOH XVHU 68  SK\VLFDO OD\HU 3+<  SURWRFRO GDWD XQLW
 33'8  +((56833'8 $33'8WUDQVPLWWHGZLWK+((56833'8IRUPDW7KLV33'8FDUULHVDVLQ

 JOHVHUYLFHGDWDXQLW 36'8 

 KLJKHIILFLHQF\ +( PDVNHG+(ORQJWUDLQLQJILHOG /7) VHTXHQFHPRGH$Q+(/7)PRGHXVHGLQ 
 +(7%33'87KHPDVNHG+(/7)VHTXHQFHPRGHGRHVQRWKDYHDQ\SLORWVXEFDUULHUVLQWKH+(/7)ILHOG 

 DQGXVHVDPDVNHG+(/7)VHTXHQFHJHQHUDWHGE\PXOWLSO\LQJDQRUWKRJRQDOFRGH GLVWLQFWWRHDFKVSDWLDO
 VWUHDP RYHUJURXSVRIVXEFDUULHUV

 KLJKHIILFLHQF\ +( PRGXODWLRQDQGFRGLQJVFKHPH +(0&6 $VSHFLILFDWLRQRIWKH+(SK\VLFDOOD\HU

 3+< SDUDPHWHUVWKDWFRQVLVWVRIPRGXODWLRQRUGHU HJ%36.436.4$04$04$0
 4$0 DQGIRUZDUGHUURUFRUUHFWLRQ )(& FRGLQJUDWH HJ DQGWKDWLVXVHGLQDQ

 +(3+<SURWRFROGDWDXQLW 33'8 


 KLJKHIILFLHQF\ +( PXOWLXVHU 08 SK\VLFDOOD\HUSURWRFROGDWDXQLW 33'8 $33'8WUDQVPLWWHG

 ZLWK+(0833'8IRUPDW

 KLJK HIILFLHQF\ +(  QR SLORW +(ORQJ WUDLQLQJ ILHOG /7)  PRGH $Q +(/7) PRGH XVHG LQ +( 7%


 33'87KHQRSLORW+(/7)PRGHGRHVQRWKDYHDQ\SLORWVXEFDUULHUVLQWKH+(/7)ILHOGDQGGRHVQRWXVH
 DPDVNHG+(/7)VHTXHQFH VHH+(PDVNHG+(/7)VHTXHQFHPRGH 

 KLJKHIILFLHQF\ +( SK\VLFDOOD\HU 3+< SURWRFROGDWDXQLW 33'8 $&ODXVH33'8WKDWLVQRWD


&ODXVH33'8

 KLJKHIILFLHQF\ +( VLQJOHVWUHDPSLORW7KHVDPHSLORWVHTXHQFHLVDSSOLHGWRDOOVSDWLDOWLPHVWUHDPVIRU
 DJLYHQUHVRXUFHDOORFDWLRQ


 KLJKHIILFLHQF\ +( VLQJOHVWUHDPSLORW+(ORQJWUDLQLQJILHOG /7) PRGH$Q+(/7)PRGHXVHGLQ 
 DQ +( VLQJOH XVHU 68  +( H[WHQGHG UDQJH (5  68 +( PXOWLXVHU 08  DQG +( WULJJHUEDVHG 7% 
 33'87KH+(VLQJOHVWUHDPSLORW+(/7)PRGHKDVVLQJOHVWUHDPSLORWVXEFDUULHUVLQWKH+(/7)ILHOG


 KLJKHIILFLHQF\ +( VLQJOHXVHU 68 SK\VLFDOOD\HU 3+< SURWRFROGDWDXQLW 33'8 $33'8WUDQV
 PLWWHGZLWK+(6833'8IRUPDW7KLV33'8FDUULHVDVLQJOHSK\VLFDOOD\HUVHUYLFHGDWDXQLW 36'8 


 KLJK HIILFLHQF\ +(  WULJJHUEDVHG 7%  SK\VLFDO OD\HU 3+<  SURWRFRO GDWD XQLW 33'8  $ 33'8

 WUDQVPLWWHGZLWK+(7%33'8IRUPDW7KLV33'8FDUULHVDVLQJOHSK\VLFDOOD\HUVHUYLFHGDWDXQLW 36'8 


QRQDFNHQDEOHGVLQJOHWUDIILFLGHQWLILHU 7,' DJJUHJDWHPHGLXPDFFHVVFRQWURO 0$& SURWRFROGDWD


 XQLW QRQDFNHQDEOHGVLQJOH7,'$03'8 $OHJDF\$03'8ZLWKWKHH[FHSWLRQWKDWD7ULJJHUIUDPH
 FDQEHDJJUHJDWHG

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 QRQDFNHQDEOHGPXOWLWUDIILFLGHQWLILHU 7,' DJJUHJDWHPHGLXPDFFHVVFRQWURO 0$& SURWRFROGDWD



 XQLW QRQDFNHQDEOHGPXOWL7,'$03'8 $Q$03'8ZKHUH(2)03'8VDUHQRWDJJUHJDWHGDQG

WKHDJJUHJDWHGQRQ(2)03'8VIURPDWOHDVWWZR7,'VVROLFLWEORFNDFNQRZOHGJPHQW


 QRQHQG RI IUDPH QRQ(2)  PHGLXP DFFHVV FRQWURO 0$&  SURWRFRO GDWD XQLW 03'8  QRQ(2) 
 03'8  $Q 03'8 FDUULHG LQ DQ DJJUHJDWH 03'8 $03'8  VXEIUDPH WKDW KDV WKH (2) ILHOG LQ WKH

 03'8GHOLPLWHUVHWWR

 QRQRUWKRJRQDOIUHTXHQF\GLYLVLRQPXOWLSOHDFFHVV QRQ2)'0$ KLJKHIILFLHQF\ +( SK\VLFDOOD\HU

3+< SURWRFROGDWDXQLW 33'8 $0+]+(33'8ZLWKDWRQHUHVRXUFHXQLW 58 D0+]

 +(33'8ZLWKDWRQH58DQ0+]+(33'8ZLWKDWRQH58RUD0+]RU0+]+( 
 33'8ZLWKDîWRQH58


 QRQVSDWLDOUHXVHJURXS QRQ65* DQDGMHFWLYHLQGLFDWLQJWKHTXDOLW\RIQRWEHLQJDPHPEHURIDSDUWLF
 XODUVSDWLDOUHXVHJURXSRUWKHTXDOLW\RIQRWRULJLQDWLQJIURPDVWDWLRQ 67$ WKDWLVDPHPEHURIDEDVLF
 VHUYLFHVHW %66 WKDWLVSDUWRIDSDUWLFXODUVSDWLDOUHXVHJURXS


 RSSRUWXQLVWLFSRZHUVDYH 236 DFFHVVSRLQW $3 $KLJKHIILFLHQF\ +( $3WKDWVXSSRUWVWKHRSSRUWX
 QLVWLFSRZHUVDYHPHFKDQLVP


 RSSRUWXQLVWLFSRZHUVDYH 236 PHFKDQLVP$SRZHUVDYHPHFKDQLVPWRDOORZ236QRQDFFHVVSRLQW
 QRQ$3 VWDWLRQV 67$V WRRSSRUWXQLVWLFDOO\JRWRGR]HVWDWHRUEHXQDYDLODEOHIRUDGHILQHGSHULRG


 RSSRUWXQLVWLF SRZHU VDYH 236 QRQDFFHVV SRLQW QRQ$3 VWDWLRQ 67$  $QRQ$3KLJK HIILFLHQF\

 +( 67$WKDWVXSSRUWVWKHRSSRUWXQLVWLFSRZHUVDYHPHFKDQLVP


RSSRUWXQLVWLFSRZHUVDYH 236 SHULRG$SHULRGGXULQJZKLFKDQ236QRQDFFHVVSRLQW QRQ$3 VWDWLRQ 

 67$ LVDOORZHGWREHXQDYDLODEOHLILWUHFHLYHGDQLQGLFDWLRQWKDWLWZLOOQRWEHVFKHGXOHGE\LWVDVVRFLDWHG

 236DFFHVVSRLQW $3 


 RUWKRJRQDOIUHTXHQF\GLYLVLRQ PXOWLSOHDFFHVV 2)'0$ KLJKHIILFLHQF\ +( SK\VLFDO OD\HU 3+< 
 SURWRFROGDWDXQLW 33'8 $0+]+(33'8ZLWKUHVRXUFHXQLWV 58V VPDOOHUWKDQWRQHRUD
 0+]+(33'8ZLWK58VVPDOOHUWKDQWRQHRUDQ0+]+(33'8ZLWK58VVPDOOHUWKDQ
 WRQHRUD0+]RU0+]+(33'8ZLWK58VVPDOOHUWKDQîWRQH


 RYHUODSSLQJEDVLFVHUYLFHVHW 2%66 SDFNHWGHWHFW 3' $SDFNHWGHWHFWLRQOHYHOXVHGIRUVSDWLDOUHXVH
 SURFHGXUH


 SDUDPHWHUL]HGVSDWLDOUHXVH 365 RSSRUWXQLW\DVSDWLDOUHXVHRSSRUWXQLW\WKDWLVHVWDEOLVKHGEDVHGRQ 
 WKHYDOXHRID6SDWLDO5HXVHILHOGLQWKH+(6,*$ILHOGRIDKLJKHIILFLHQF\ +( WULJJHUEDVHG 7% SK\VL
 FDOOD\HU 3+< SURWRFROGDWDXQLW 33'8 DQGRUWKH8/6SDWLDO5HXVHVXEILHOGLQWKH&RPPRQ,QIRILHOG 
 RID7ULJJHUIUDPH


 SDUDPHWHUL]HGVSDWLDOUHXVHUHFHSWLRQ 3655 SK\VLFDOOD\HU 3+< SURWRFROGDWDXQLW 365533'8 
 D33'8WKDWFRQWDLQVD7ULJJHUIUDPHWKDWKDVDYDOXHLQWKH8/6SDWLDO5HXVHVXEILHOGRIWKH&RPPRQ,QIR


 ILHOGWKDWLVQHLWKHU365B',6$//2:QRU365B$1'B121B65*B2%66B3'B352+,%,7('

 SDUDPHWHUL]HG VSDWLDO UHXVH WUDQVPLVVLRQ 3657  SK\VLFDO OD\HU 3+<  SURWRFRO GDWD XQLW 33'8 

365733'8 D33'8WKDWLVWUDQVPLWWHGGXULQJDSDUDPHWHUL]HGVSDWLDOUHXVH 365 RSSRUWXQLW\E\DQ

 +(67$ZKHQ365FRQGLWLRQVIRU365EDVHGVSDWLDOUHXVHRSHUDWLRQDUHVDWLVILHGDQGWKDWKDVWKH6533'8
 VXEILHOGRIWKH&$6&RQWUROILHOGHTXDOWR

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 UDQGRPDFFHVVUHVRXUFHXQLW 5$58 $UHVRXUFHXQLW 58 DOORFDWHGLQD7ULJJHUIUDPHWRVXSSRUWWKH


 XSOLQN 8/ RUWKRJRQDOIUHTXHQF\GLYLVLRQPXOWLSOHDFFHVV 2)'0$ EDVHGUDQGRPDFFHVV 825$ SURFH

GXUH


 UHSRUWHGDFFHVVSRLQW $3 $Q$3WKDWLVGHVFULEHGLQDQHOHPHQWVXFKDVD1HLJKERU5HSRUWHOHPHQWRUD
 5HGXFHG1HLJKERU5HSRUWHOHPHQW


UHSRUWLQJDFFHVVSRLQW $3 $Q$3WKDWLVWUDQVPLWWLQJDQHOHPHQWVXFKDVD1HLJKERU5HSRUWHOHPHQWRU

 D5HGXFHG1HLJKERU5HSRUWHOHPHQWGHVFULELQJDUHSRUWHG$3

 UHVRXUFHXQLW 58 DJURXSRIRUîVXEFDUULHUVDVDQDOORFDWLRQRIVXEFDUUL
 HUVIRUWUDQVPLVVLRQ


 VSDWLDOUHXVH 65 WKHWUDQVPLVVLRQRIDSK\VLFDOOD\HU 3+< SURWRFROGDWDXQLW 33'8 RQWKHPHGLXP
 XQGHUFHUWDLQFRQGLWLRQVZKHQD33'8KDVEHHQGHWHFWHGWKDWZRXOGRWKHUZLVHKDYHSUHYHQWHGWKHWUDQVPLV
 VLRQ



VSDWLDOUHXVHJURXS 65* $JURXSRIEDVLFVHUYLFHVHWV %66V LGHQWLILHGE\WKHLU%66FRORUVRUSDUWLDO
 EDVLFVHUYLFHVHWLGHQWLILHUV %66,'V IRURYHUODSSLQJEDVLFVHUYLFHVHWSDFNHWGHWHFW 2%663' EDVHGVSD
 WLDOUHXVHRSHUDWLRQZLWK65*2%663'OHYHO

 WDUJHWZDNHWLPH 7:7 VFKHGXOHGVWDWLRQ 67$ $67$WKDWIROORZVWKHEURDGFDVW7:7VFKHGXOHVSUR


YLGHGLQDEURDGFDVW7:7HOHPHQW

 WDUJHWZDNHWLPH 7:7 VFKHGXOLQJDFFHVVSRLQW $3 $Q$3WKDWVFKHGXOHVEURDGFDVW7:7VDQGSUR
 YLGHVWKHVHEURDGFDVW7:7VFKHGXOHVLQDEURDGFDVW7:7HOHPHQW


 WULJJHUHGXSOLQNDFFHVV 78$ $PHFKDQLVPE\ZKLFKRQHRUPRUHQRQDFFHVVSRLQW QRQ$3 VWDWLRQV
 67$V VLPXOWDQHRXVO\SDUWLFLSDWHLQDQXSOLQN 8/ WUDQVPLVVLRQWRDQDFFHVVSRLQW $3 XVLQJUHVRXUFH
 XQLWV 58V DOORFDWHGLQWKHSUHFHGLQJ7ULJJHUIUDPH

 WULJJHULQJIUDPH$7ULJJHUIUDPHRUDIUDPHFDUU\LQJD756&RQWUROVXEILHOG


 WULJJHULQJSK\VLFDOOD\HU 3+< SURWRFROGDWDXQLW 33'8 $33'8FDUU\LQJDWULJJHULQJIUDPH

 XSOLQN 8/ KLJKHIILFLHQF\ +( PXOWLXVHU 08 SK\VLFDOOD\HU 3+< SURWRFROGDWDXQLW 33'8 
 $Q+(0833'8WUDQVPLWWHGE\DQRQDFFHVVSRLQW QRQ$3 VWDWLRQ 67$ 7KLV33'8FDUULHVDVLQJOH

 SK\VLFDOOD\HUVHUYLFHGDWDXQLW 36'8 
 127(²7KH8/+(0833'8KDVDQ+(6,*%ILHOGWKDWFRQWDLQVDGGLWLRQDOLQIRUPDWLRQ HJWKHLGHQWLILHURIWKH
 WUDQVPLWWHU WKDWFDQEHXVHGE\WKHUHFLSLHQWRIWKH8/+(0833'8WRGHWHUPLQHWKHWUDQVPLWWHURIWKH33'8HYHQLQ 
 WKRVHFDVHVZKHUHWKH'DWDILHOGRIWKH33'8LVQRWUHFHLYHG)RUH[DPSOHWKLVDOORZVWKHRULJLQDWRURISHUVLVWHQWO\IDLO
 LQJ33'8VWREHLGHQWLILHG


 XSOLQN 8/ RUWKRJRQDOIUHTXHQF\GLYLVLRQPXOWLSOHDFFHVV 2)'0$ EDVHGUDQGRPDFFHVV 825$ 
 $UDQGRPDFFHVVPHFKDQLVPIRUQRQDFFHVVSRLQW QRQ$3 KLJKHIILFLHQF\ +( VWDWLRQV 67$V WRSDUWLFL
 SDWHLQXSOLQN2)'0$WUDQVPLVVLRQVLQRQHRUPRUHGHVLJQDWHGUDQGRPDFFHVVUHVRXUFHXQLWV 58V 


 $EEUHYLDWLRQVDQGDFURQ\PV



Insert the following acronym definitions (maintaining alphabetical order):
 $&RQWURO DJJUHJDWHGFRQWURO

%45 EDQGZLGWKTXHU\UHSRUW

 %453 EDQGZLGWKTXHU\UHSRUWSROO

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 %)53 EHDPIRUPLQJUHSRUWSROO

 %65 EXIIHUVWDWXVUHSRUW
 %653 EXIIHUVWDWXVUHSRUWSROO

 &$6 FRPPDQGDQGVWDWXV
 &&') FRPSOHPHQWDU\FXPXODWLYHGLVWULEXWLRQIXQFWLRQ

 &4, FKDQQHOTXDOLW\LQGLFDWLRQ

'&0 GXDOFDUULHUPRGXODWLRQ

 '/ GRZQOLQN

 '/08 GRZQOLQNPXOWLXVHU
 +( KLJKHIILFLHQF\

 /$ OLQNDGDSWDWLRQ
 08%$5 PXOWLXVHUEORFNDFNUHTXHVW

 08('&$7LPHU PXOWLXVHU('&$WLPHU
 08576 PXOWLXVHUUHTXHVWWRVHQG

 1)53 1'3IHHGEDFNUHSRUWSROO

 2%2 RUWKRJRQDOIUHTXHQF\GLYLVLRQPXOWLSOHDFFHVV 2)'0$ UDQGRPDFFHVVEDFNRII
 2&: RUWKRJRQDOIUHTXHQF\GLYLVLRQPXOWLSOHDFFHVV 2)'0$ FRQWHQWLRQZLQGRZ

 2)'0$ RUWKRJRQDOIUHTXHQF\GLYLVLRQPXOWLSOHDFFHVV
 20 RSHUDWLQJPRGH

 20, RSHUDWLQJPRGHLQGLFDWLRQ
 3' SDFNHWGHWHFW

 33( SK\VLFDOOD\HU 3+< SDFNHWH[WHQVLRQ

 33(7 SK\VLFDOOD\HU 3+< SDFNHWH[WHQVLRQWKUHVKROG
 365 SDUDPHWHUL]HGVSDWLDOUHXVH

 473 TXLHWWLPHSHULRG
 5$58 UDQGRPDFFHVVUHVRXUFHXQLW

 5'3 UHYHUVHGLUHFWLRQSURWRFRO
 520 UHFHLYHRSHUDWLQJPRGH

 53/ UHFHLYHGSRZHUOHYHO


58 UHVRXUFHXQLW
 6) VFDOLQJIDFWRU

 65 VSDWLDOUHXVH
 65* VSDWLDOUHXVHJURXS

 7% WULJJHUEDVHG
 720 WUDQVPLWRSHUDWLQJPRGH

 756 WULJJHUHGUHVSRQVHVFKHGXOLQJ

78$ WULJJHUHGXSOLQNDFFHVV

 8/ XSOLQN

 8/08 XSOLQNPXOWLXVHU
 825$ XSOLQNRUWKRJRQDOIUHTXHQF\GLYLVLRQPXOWLSOHDFFHVV 2)'0$ EDVHGUDQGRP
 DFFHVV

 83+ XSOLQN 8/ SRZHUKHDGURRP

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU



































































 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 *HQHUDOGHVFULSWLRQ


 &RPSRQHQWVRIWKH,(((6WGDUFKLWHFWXUH


 Insert a new subclause after subclause 4.3.15 (Very high throughput (VHT) STA) as follows:

 D+LJKHIILFLHQF\ +( 67$


 7KH,(((+(67$RSHUDWHVLQIUHTXHQF\EDQGVEHWZHHQ*+]DQG*+]

 $Q+(67$WKDWLVDPHVK67$GRHVQRWWUDQVPLWDQGGRHVQRWUHFHLYH+(7%33'8V


 ,QWKHWR*+]EDQGVWKHIROORZLQJDSSO\
 ² $Q+(67$LVDOVRD9+767$LIRSHUDWLQJLQWKH*+]EDQGH[FHSWWKDWD0+]RQO\+(67$

 GRHVQRWVXSSRUW0+]DQG0+]FKDQQHOZLGWKV

 ² 6XSSRUWIRU0+]RSHUDWLQJFKDQQHOZLGWKLVPDQGDWRU\LQDQ+(67$
 ² 6XSSRUWIRU0+]DQG0+]RSHUDWLQJFKDQQHOZLGWKLVPDQGDWRU\LQDQ+(67$WKDWLVQRWD

 0+]RQO\QRQ$3+(67$
 ² 6XSSRUWIRU0+]DQG0+]RSHUDWLQJFKDQQHOZLGWKLVRSWLRQDOLQDQ+(67$



,QWKH*+]EDQGWKHIROORZLQJDSSO\
 ² $Q+(67$LVDOVRDQ+767$

 ² 6XSSRUWIRU0+]RSHUDWLQJFKDQQHOZLGWKLVPDQGDWRU\LQDQ+(67$
 ² 6XSSRUWIRU0+]RSHUDWLQJFKDQQHOZLGWKLVRSWLRQDOLQDQ+(67$


7KHPDLQ3+<IHDWXUHVLQDQ+(67$WKDWDUHQRWSUHVHQWLQ9+767$RU+767$DUHWKHIROORZLQJ

 ² 0DQGDWRU\VXSSRUWIRU'/DQG8/2)'0$


² 0DQGDWRU\VXSSRUWIRU'/080,02E\DQ+($3WKDWVXSSRUWVRUPRUHVSDWLDOVWUHDPVZKHQ
 080,02LVGRQHRQWKHHQWLUH33'8EDQGZLGWK
 ² 0DQGDWRU\VXSSRUWIRU'/080,02UHFHSWLRQIRUDQRQ$3+(67$

 ² 0DQGDWRU\VXSSRUWIRUWKH+(VRXQGLQJSURWRFROWRVXSSRUWEHDPIRUPLQJIRUDQRQ$367$EHDP
 IRUPHHDQGRSWLRQDORWKHUZLVH

² 2SWLRQDOVXSSRUWIRU+(0&6VDQG

 ² 2SWLRQDOVXSSRUWIRU8/080,02


² 2SWLRQDOVXSSRUWIRUSUHDPEOHSXQFWXULQJ
 127(²3UHDPEOHSXQFWXULQJLVDPHFKDQLVPZKHUHE\2)'0$LVXVHGWRDYRLGWUDQVPLVVLRQVLQFHUWDLQVXEFDUULHUV



7KHPDLQ0$&IHDWXUHVLQDQ+(67$WKDWDUHQRWSUHVHQWLQ9+767$RU+767$DUHWKHIROORZLQJ
 ² ,QDQ$3PDQGDWRU\VXSSRUWIRUWKHUROHRIRSHUDWLQJPRGHLQGLFDWLRQ 20, UHVSRQGHUDQGRSWLRQDO
 VXSSRUWIRUWKHUROHRI20,LQLWLDWRU

 ² ,QDQ$3PDQGDWRU\VXSSRUWIRULQGLYLGXDOWDUJHWZDNHWLPH 7:7 RSHUDWLRQ
 ² ,QDQRQ$367$PDQGDWRU\VXSSRUWIRUWZR1$9RSHUDWLRQ

 ² ,QDQRQ$367$PDQGDWRU\VXSSRUWIRUPXOWLSOH%66,'RSHUDWLRQ
 ² ,QDQ$3RSWLRQDOVXSSRUWIRUWZR1$9RSHUDWLRQ

 ² ,QDQRQ$367$RSWLRQDOVXSSRUWIRUWKHUROHVRI20,LQLWLDWRUDQGUHVSRQGHU
 ² ,QDQRQ$367$RSWLRQDOVXSSRUWIRULQGLYLGXDO7:7RSHUDWLRQ

 ² 2SWLRQDOVXSSRUWIRUG\QDPLFIUDJPHQWDWLRQOHYHOVDQG

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ² 2SWLRQDOVXSSRUWIRUEURDGFDVW7:7

 ² 2SWLRQDOVXSSRUWIRU8/2)'0$EDVHGUDQGRPDFFHVV 825$
 ² 2SWLRQDOVXSSRUWIRUVSDWLDOUHXVHRSHUDWLRQ

 ² 2SWLRQDOVXSSRUWIRUPXOWL7,'$03'8RSHUDWLRQ
 ² 2SWLRQDOVXSSRUWIRU(5%66

 ² 2SWLRQDOVXSSRUWIRUWKH1'3IHHGEDFNUHSRUW

 $Q+($3VHQGVD7ULJJHUIUDPHWRLQLWLDWH2)'0$RU080,02WUDQVPLVVLRQVLQWKHXSOLQNGLUHFWLRQRU
 D756&RQWUROVXEILHOGWRLQLWLDWH2)'0$WUDQVPLVVLRQVLQWKHXSOLQNGLUHFWLRQ7KH7ULJJHUIUDPHRU756 
 &RQWUROVXEILHOGLGHQWLILHVQRQ$367$VSDUWLFLSDWLQJLQWKH8/08WUDQVPLVVLRQVDQGDVVLJQV58VDQGRU

 VSDWLDO VWUHDPV WR WKHVH 67$V 0XOWL67$ %ORFN$FN IUDPHV FDQ EH XVHG E\ WKH $3 WR DFNQRZOHGJH WKH
 IUDPHVWUDQVPLWWHGE\PXOWLSOHQRQ$367$V7KHVFKHGXOLQJRIWKHVH7ULJJHUIUDPHVFDQEHVHWXSEHWZHHQ 
 DQRQ$367$DQGWKH$3XVLQJ7:7RSHUDWLRQWRVDYHSRZHUDQGUHGXFHFROOLVLRQV

 7KHVHIHDWXUHVFDQUHGXFHSURWRFRORYHUKHDGDQGLQFUHDVHDJJUHJDWHQHWZRUNWKURXJKSXW HJ'/DQG8/ 

 2)'0$'/8/080,02 HQKDQFHSHDNOLQNWKURXJKSXW HJ+(0&6 HQKDQFHGHQVHQHW
 ZRUNHIILFLHQF\ HJVSDWLDOUHXVH DQGRUHQKDQFHSRZHUFRQVHUYDWLRQ HJ7:7 7KHVHIHDWXUHVFDQ
 XQGHUFHUWDLQFLUFXPVWDQFHVLPSURYHWKHDYHUDJHWKURXJKSXWSHU67$LQD%66E\DIDFWRURIIRXUFRP
 SDUHGWR9+7


 :LUHOHVVQHWZRUNPDQDJHPHQW

 (YHQWUHSRUWLQJ

 Change as follows:


 (YHQWUHTXHVWVHQDEOHD67$WRUHTXHVWDQRQ$367$WRVHQGSDUWLFXODUUHDOWLPHHYHQWUHSRUWV7KHW\SHV
 RIHYHQWVLQFOXGHWUDQVLWLRQ561$:10ORJ%66FRORUFROOLVLRQ%66FRORULQXVHDQGSHHUWRSHHUOLQN 
 HYHQWV$WUDQVLWLRQHYHQWLVWUDQVPLWWHGDIWHUDQRQ$367$VXFFHVVIXOO\FRPSOHWHVD%66WUDQVLWLRQ7UDQ
 VLWLRQHYHQWVDUHXVHGWRGLDJQRVHWUDQVLWLRQSHUIRUPDQFHSUREOHPV$Q561$HYHQWUHSRUWGHVFULEHVWKH

 W\SHRI$XWKHQWLFDWLRQXVHGIRUWKH561$561$HYHQWVDUHXVHGWRGLDJQRVHVHFXULW\DQGDXWKHQWLFDWLRQ 
 SHUIRUPDQFHSUREOHPV$:10ORJHYHQWUHSRUWHQDEOHVDQRQ$367$WRWUDQVPLWDVHWRI:10ORJHYHQW
 PHVVDJHVWRWKHUHTXHVWLQJ67$:10ORJHYHQWUHSRUWVDUHXVHGWRDFFHVVWKHFRQWHQWVRID67$
V:10 
 ORJ$%66FRORUFROOLVLRQHYHQWUHSRUWHQDEOHVDQRQ$3+(67$WRVLJQDO%66FRORUFROOLVLRQWRLWVDVVRFL
 DWHG$3$%66FRORULQXVHHYHQWUHSRUWHQDEOHVDQRQ$3+(67$WRVLJQDOD%66FRORULQXVHE\WKHQRQ

 $3 +( 67$ WR LWV DVVRFLDWHG $3 $ SHHUWRSHHU OLQN HYHQW UHSRUW HQDEOHV D QRQ$3 67$ WR LQIRUP WKH
 UHTXHVWLQJ 67$ WKDW D SHHUWRSHHU OLQN KDV EHHQ HVWDEOLVKHG 3HHUWRSHHU OLQN HYHQW UHSRUWV DUH XVHG WR

 PRQLWRUWKHXVHRISHHUWRSHHUOLQNVLQWKHQHWZRUN



















 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 /D\HUPDQDJHPHQW



 0/0(6$3LQWHUIDFH


 6FDQ


 0/0(6&$1UHTXHVW


 6HPDQWLFVRIWKHVHUYLFHSULPLWLYH


 Change the primitive parameters as follows (not all existing parameters are shown):


 7KHSULPLWLYHSDUDPHWHUVDUHDVIROORZV


0/0(6&$1UHTXHVW
 «

 6KRUW66,'/LVW

 +(&DSDELOLWLHV

 +(*+]%DQG&DSDELOLWLHV
 9HQGRU6SHFLILF,QIR

 


 1DPH 7\SH 9DOLGUDQJH 'HVFULSWLRQ
 6KRUW66,'/LVW $OLVWRIVKRUW66,'V $VGHILQHGLQ 2QHRUPRUH6KRUW66,'ILHOGV
 6KRUW66,'/LVWHOHPHQW WKDWDUHRSWLRQDOO\SUHVHQWLI
 GRW6KRUW66,'/LVWLVWUXH

 +(&DSDELOL $VGHILQHGLQ+( $VGHILQHGLQ 6SHFLILHVWKHSDUDPHWHUVLQWKH
 WLHV &DSDELOLWLHVHOHPHQW +(&DSDELOLWLHVHOHPHQW +(&DSDELOLWLHVHOHPHQWWKDWDUH
 VXSSRUWHGE\WKH67$7KH
 SDUDPHWHULVSUHVHQWLI
 GRW+(2SWLRQ,PSOHPHQWHGLV
 WUXHRWKHUZLVHQRWSUHVHQW

 +(*+] $VGHILQHGLQ+( $VGHILQHGLQ 6SHFLILHVWKHSDUDPHWHUVLQWKH
 %DQG&DSDELOL *+]%DQG&DSDELOL +(*+]%DQG&DSDELO +(*+]%DQG&DSDELOLWLHV
 WLHV WLHVHOHPHQW LWLHVHOHPHQW HOHPHQWWKDWDUHVXSSRUWHGE\
 WKH67$7KHSDUDPHWHULV
 SUHVHQWLI
 GRW+(*2SWLRQ,PSOHPHQWHG
 LVWUXHRWKHUZLVHQRWSUHVHQW


 0/0(6&$1FRQILUP


 6HPDQWLFVRIWKHVHUYLFHSULPLWLYH


 Insert the following rows at the end of the BSSDescriptionSet table:


 1DPH 7\SH 9DOLGUDQJH 'HVFULSWLRQ ,%66DGRSWLRQ

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU


7:7 $VGHILQHGLQIUDPH $VGHILQHGLQ 7KHYDOXHIURPWKH7:7 'RQRWDGRSW

IRUPDW 7:7HOHPHQW HOHPHQW7KHSDUDPHWHULV

RSWLRQDOO\SUHVHQWLI

GRW+(2SWLRQ,PSOHPHQ

WHGLVWUXH

GRW7:72SWLRQ$FWLYDWH

GLVWUXHDQGD7:7

HOHPHQWZDVSUHVHQWLQWKH

EURDGFDVW3UREH5HVSRQVH

RU%HDFRQIUDPHIURP

ZKLFKWKH

%66'HVFULSWLRQ6HWZDV

GHWHUPLQHG2WKHUZLVH

WKHSDUDPHWHULVQRW

SUHVHQW

 +(&DSDELOLWLHV $VGHILQHGLQIUDPH $VGHILQHGLQ 7KHYDOXHIURPWKH+( 'RQRWDGRSW
 IRUPDW +(&DSDELOLWLHVHOHPHQW &DSDELOLWLHVHOHPHQW7KH
 SDUDPHWHULVSUHVHQWLI
 GRW+(2SWLRQ,PSOHPHQ
 WHGLVWUXHDQGDQ+(
 &DSDELOLWLHVHOHPHQWZDV
 SUHVHQWLQWKH3UREH
 5HVSRQVHRU%HDFRQIUDPH
 IURPZKLFKWKH
 %66'HVFULSWLRQZDV
 GHWHUPLQHG2WKHUZLVH
 WKHSDUDPHWHULVQRW
 SUHVHQW

 +(*+]%DQG $VGHILQHGLQIUDPH $VGHILQHGLQ 7KHYDOXHIURPWKH+( 'RQRWDGRSW
 &DSDELOLWLHV IRUPDW +(*+]%DQG&DSDELO *+]%DQG&DSDELOLWLHV
 LWLHVHOHPHQW HOHPHQW7KHSDUDPHWHULV
 SUHVHQWLI
 GRW+(*2SWLRQ,PSOH
 PHQWHGLVWUXHDQGDQ+(
 *+]%DQG&DSDELOLWLHV
 HOHPHQWZDVSUHVHQWLQWKH
 3UREH5HVSRQVHRU%HDFRQ
 IUDPHIURPZKLFKWKH
 %66'HVFULSWLRQZDV
 GHWHUPLQHG2WKHUZLVH
 WKHSDUDPHWHULVQRW
 SUHVHQW

 +(2SHUDWLRQ $VGHILQHGLQIUDPH $VGHILQHGLQ 7KHYDOXHIURPWKH+( $GRSW
 IRUPDW +(2SHUDWLRQHOHPHQW 2SHUDWLRQHOHPHQW7KH
 SDUDPHWHULVSUHVHQWLI
 GRW+(2SWLRQ,PSOHPHQ
 WHGLVWUXHDQGDQ+(
 2SHUDWLRQHOHPHQWZDV
 SUHVHQWLQWKH3UREH
 5HVSRQVHRU%HDFRQIUDPH
 IURPZKLFKWKH
 %66'HVFULSWLRQ6HWZDV
 GHWHUPLQHG2WKHUZLVH
 WKHSDUDPHWHULVQRW
 SUHVHQW








 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU


825$3DUDPH $VGHILQHGLQIUDPH $VGHILQHGLQ 7KHYDOXHIURPWKH825$ 'RQRWDGRSW

WHU6HW IRUPDW 825$3DUDPHWHU6HWHOH 3DUDPHWHU6HWHOHPHQW

PHQW 7KHSDUDPHWHULV

RSWLRQDOO\SUHVHQWLI

GRW2)'0$5DQGRP

$FFHVV2SWLRQ,POHPHQWHG

LVWUXHDQGD825$

3DUDPHWHU6HWHOHPHQW

ZDVSUHVHQWLQWKH3UREH

5HVSRQVHRU%HDFRQIUDPH

IURPZKLFKWKH

%66'HVFULSWLRQ6HWZDV

GHWHUPLQHG2WKHUZLVH

WKHSDUDPHWHULVQRW

SUHVHQW

 08('&$ $VGHILQHGLQIUDPH $VGHILQHGLQ 7KHYDOXHIURPWKH08 'RQRWDGRSW
 3DUDPHWHU6HW IRUPDW 08('&$3DUDPHWHU6HW ('&$3DUDPHWHU6HW
 HOHPHQW HOHPHQW7KHSDUDPHWHULV
 RSWLRQDOO\SUHVHQWLI
 GRW+(2SWLRQ,PSOHPHQ
 WHGLVWUXHDQGD08
 ('&$3DUDPHWHU6HW
 HOHPHQWZDVSUHVHQWLQWKH
 3UREH5HVSRQVHRU%HDFRQ
 IUDPHIURPZKLFKWKH
 %66'HVFULSWLRQ6HWZDV
 GHWHUPLQHG2WKHUZLVH
 WKHSDUDPHWHULVQRW
 SUHVHQW

 6SDWLDO5HXVH $VGHILQHGLQIUDPH $VGHILQHGLQ 7KHYDOXHIURPWKH6SDWLDO 'RQRWDGRSW
 3DUDPHWHU6HW IRUPDW 6SDWLDO5HXVH3DUDPHWHU 5HXVH3DUDPHWHU6HW
 6HWHOHPHQW HOHPHQW7KHSDUDPHWHULV
 RSWLRQDOO\SUHVHQWLI
 GRW+(2SWLRQ,PSOHPHQ
 WHGLVWUXHDQGD6SDWLDO
 5HXVH3DUDPHWHU6HW
 HOHPHQWZDVSUHVHQWLQWKH
 3UREH5HVSRQVHRU%HDFRQ
 IUDPHIURPZKLFKWKH
 %66'HVFULSWLRQ6HWZDV
 GHWHUPLQHG2WKHUZLVH
 WKHSDUDPHWHULVQRW
 SUHVHQW

 1'3)HHGEDFN $VGHILQHGLQIUDPH $VGHILQHGLQ 7KHYDOXHIURPWKH1'3 'RQRWDGRSW
 5HSRUW3DUDPH IRUPDW 1'3)HHGEDFN5HSRUW )HHGEDFN5HSRUW
 WHU6HW 3DUDPHWHU6HWHOHPHQW 3DUDPHWHU6HWHOHPHQW
 7KHSDUDPHWHULV
 RSWLRQDOO\SUHVHQWLI
 GRW+(2SWLRQ,PSOHPHQ
 WHGLVWUXHDQGDQ1'3
 )HHGEDFN5HSRUW
 3DUDPHWHU6HWHOHPHQW
 ZDVSUHVHQWLQWKH3UREH
 5HVSRQVHRU%HDFRQIUDPH
 IURPZKLFKWKH
 %66'HVFULSWLRQ6HWZDV
 GHWHUPLQHG2WKHUZLVH
 WKHSDUDPHWHULVQRW
 SUHVHQW




&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU


%66&RORU $VGHILQHGLQIUDPH $VGHILQHGLQ 7KHYDOXHIURPWKH%66 'RQRWDGRSW

&KDQJH IRUPDW %66&RORU&KDQJH &RORU&KDQJH

$QQRXQFHPHQW $QQRXQFHPHQWHOHPHQW $QQRXQFHPHQWHOHPHQW

7KHSDUDPHWHULV

RSWLRQDOO\SUHVHQWLI

GRW+(2SWLRQ,PSOHPHQ

WHGLVWUXHDQGD%66

&RORU&KDQJH

$QQRXQFHPHQWHOHPHQW

ZDVSUHVHQWLQWKH3UREH

5HVSRQVHRU%HDFRQIUDPH

IURPZKLFKWKH

%66'HVFULSWLRQ6HWZDV

GHWHUPLQHG2WKHUZLVH

WKHSDUDPHWHULVQRW

SUHVHQW

 (665HSRUW $VGHILQHGLQIUDPH $VGHILQHGLQ 7KHYDOXHIURPWKH(66 'RQRWDGRSW
 IRUPDW (665HSRUWHOHPHQW 5HSRUWHOHPHQW7KH
 SDUDPHWHULVRSWLRQDOO\
 SUHVHQWLIDQ(665HSRUW
 HOHPHQWZDVSUHVHQWLQWKH
 3UREH5HVSRQVHRU%HDFRQ
 IUDPHIURPZKLFKWKH
 %66'HVFULSWLRQ6HWZDV
 GHWHUPLQHG2WKHUZLVH
 WKHSDUDPHWHULVQRW
 SUHVHQW

 +(%66/RDG $VGHILQHGLQIUDPH $VGHILQHGLQ 7KHYDOXHIURPWKH+( 'RQRWDGRSW
 IRUPDW +(%66/RDGHOHPHQW %66/RDGHOHPHQW7KH
 SDUDPHWHULVRSWLRQDOO\
 SUHVHQWLI
 GRW4%66/RDG,PSOHPH
 QWHGDQG
 GRW+(2SWLRQ,PSOHPHQ
 WHGDUHWUXHDQGDQ+(
 %66/RDGHOHPHQWZDV
 SUHVHQWLQWKH3UREH
 5HVSRQVHRU%HDFRQIUDPH
 IURPZKLFKWKH
 %66'HVFULSWLRQ6HWZDV
 GHWHUPLQHG2WKHUZLVH
 WKHSDUDPHWHULVQRW
 SUHVHQW

 0XOWLSOH%66,' $VGHILQHGLQIUDPH $VGHILQHGLQ 7KHYDOXHIURPWKH 'RQRWDGRSW
 &RQILJXUDWLRQ IRUPDW 0XOWLSOH%66,'&RQILJX 0XOWLSOH%66,'
 UDWLRQHOHPHQW &RQILJXUDWLRQHOHPHQW
 7KHSDUDPHWHULVSUHVHQWLI
 GRW0XOWL%66,',PSOHP
 HQWHGLVWUXHDQGWKH
 0XOWLSOH%66,'
 &RQILJXUDWLRQHOHPHQW
 ZDVSUHVHQWLQWKH3UREH
 5HVSRQVHRU%HDFRQIUDPH
 IURPZKLFKWKH
 %66'HVFULSWLRQZDV
 GHWHUPLQHG2WKHUZLVH
 WKHSDUDPHWHULVQRW
 SUHVHQW





 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 6\QFKURQL]DWLRQ



0/0(-2,1UHTXHVW

 6HPDQWLFVRIWKHVHUYLFHSULPLWLYH

 Change the primitive parameters as follows (not all existing parameters in the baseline are shown):


 7KHSULPLWLYHSDUDPHWHUVDUHDVIROORZV
 0/0(-2,1UHTXHVW
 «


+(&DSDELOLWLHV
 +(*+]%DQG&DSDELOLWLHV
 9HQGRU6SHFLILF,QIR



 Insert the following entry into the unnumbered table in this subclause maintaining the primitive order
 above:


1DPH 7\SH 9DOLGUDQJH 'HVFULSWLRQ

 +(&DSDELOLWLHV $VGHILQHGLQ+(&DSDELO $VGHILQHGLQ 6SHFLILHVWKHSDUDPHWHUV
 LWLHVHOHPHQW +(&DSDELOLWLHVHOHPHQW ZLWKLQWKH+(&DSDELOLWLHV
 HOHPHQWWKDWDUHVXSSRUWHG
 E\WKH67$7KH
 SDUDPHWHULVSUHVHQWLI
 GRW+(2SWLRQ,PSOHPHQ
 WHGLVWUXHRWKHUZLVHWKLV
 SDUDPHWHULVQRWSUHVHQW

 +(*+]%DQG&DSDELOL $VGHILQHGLQ+(*+] $VGHILQHGLQ 6SHFLILHVWKHSDUDPHWHUV
 WLHV %DQG&DSDELOLWLHVHOHPHQW +(*+]%DQG&DSDELO ZLWKLQWKH+(*+]
 LWLHVHOHPHQW %DQG&DSDELOLWLHVHOHPHQW
 WKDWDUHVXSSRUWHGE\WKH
 67$7KHSDUDPHWHULV
 SUHVHQWLI
 GRW+(*2SWLRQ,PSOH
 PHQWHGLVWUXHRWKHUZLVH
 WKLVSDUDPHWHULVQRW
 SUHVHQW


 (IIHFWRIUHFHLSW

 Insert the following at the end of the subclause:



,IWKH0/0(RIDQ+(67$UHFHLYHVDQ0/0(-2,1UHTXHVWSULPLWLYHZLWKD6HOHFWHG%66SDUDPHWHUFRQ
 WDLQLQJD%DVLF+(0&6$QG1666HWILHOGLQWKH+(2SHUDWLRQSDUDPHWHUWKDWFRQWDLQVDQ\XQVXSSRUWHG 
 +(0&6 166! WXSOH WKHQ WKH 0/0( UHVSRQVH LQ WKH UHVXOWLQJ 0/0(-2,1FRQILUP SULPLWLYH VKDOO
 FRQWDLQD5HVXOW&RGHSDUDPHWHUWKDWLVQRWVHWWRWKHYDOXH68&&(66


 $VVRFLDWH

 0/0($662&,$7(UHTXHVW

 6HPDQWLFVRIWKHVHUYLFHSULPLWLYH


 Change the primitive parameters as follows (not all parameters are shown):

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KHSULPLWLYHSDUDPHWHUVDUHDVIROORZV


 0/0($662&,$7(UHTXHVW
 «
 +(&DSDELOLWLHV

 +(*+]%DQG&DSDELOLWLHV
 &KDQQHO6ZLWFK7LPLQJ
 8/083RZHU&DSDELOLWLHV


9HQGRU6SHFLILF,QIR


 Insert the following entries into the unnumbered table in this subclause maintaining the primitive order

 above:

 1DPH 7\SH 9DOLGUDQJH 'HVFULSWLRQ

 +(&DSDELOLWLHV $VGHILQHGLQ+(&DSDELO $VGHILQHGLQ 6SHFLILHVWKHSDUDPHWHUV
 LWLHVHOHPHQW +(&DSDELOLWLHVHOHPHQW LQWKH+(&DSDELOLWLHV
 HOHPHQWWKDWDUHVXSSRUWHG
 E\WKH67$7KH
 SDUDPHWHULVSUHVHQWLI
 GRW+(2SWLRQ,PSOHPHQ
 WHGLVWUXHRWKHUZLVHQRW
 SUHVHQW

 +(*+]%DQG&DSDELOL $VGHILQHGLQ+(*+] $VGHILQHGLQ 6SHFLILHVWKHSDUDPHWHUV
 WLHV %DQG&DSDELOLWLHVHOHPHQW +(*+]%DQG&DSDELO LQWKH+(*+]%DQG
 LWLHVHOHPHQW &DSDELOLWLHVHOHPHQWWKDW
 DUHVXSSRUWHGE\WKH67$
 7KHSDUDPHWHULVSUHVHQWLI
 GRW+(*2SWLRQ,PSOH
 PHQWHGLVWUXHRWKHUZLVH
 QRWSUHVHQW
 &KDQQHO6ZLWFK7LPLQJ $VGHILQHGLQWKH&KDQQHO $VGHILQHGLQ 3URYLGHVLQIRUPDWLRQ
 6ZLWFK7LPLQJHOHPHQW &KDQQHO6ZLWFK7LPLQJ UHJDUGLQJWKHFKDQQHO
 HOHPHQW VZLWFKWLPLQJ7KH
 SDUDPHWHULVRSWLRQDOO\
 SUHVHQWLI
 GRW+(6XEFKDQQHO6HOHF
 WLYH7UDQVPLVVLRQ,PSOHPH
 QWHGLVWUXHRWKHUZLVHQRW
 SUHVHQW

 8/083RZHU&DSDELOL $VGHILQHGLQ8/08 $VGHILQHGLQ 3URYLGHVLQIRUPDWLRQ
 WLHV 3RZHU&DSDELOLWLHVHOH 8/083RZHU&DSDELOL UHJDUGLQJWKH8/08
 PHQW WLHVHOHPHQW SRZHUFDSDELOLWLHVIRUWKH
 QRQ$367$7KH8/08
 3RZHU&DSDELOLWLHV
 HOHPHQWLVRSWLRQDOO\
 SUHVHQWLI
 GRW+(2SWLRQ,PSOHPHQ
 WHGLVWUXHRWKHUZLVHLWLV
 QRWSUHVHQW


 0/0($662&,$7(FRQILUP

 6HPDQWLFVRIWKHVHUYLFHSULPLWLYH


 Change the primitive parameters as follows (not all parameters are shown):

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KHSULPLWLYHSDUDPHWHUVDUHDVIROORZV


0/0($662&,$7(FRQILUP

 «
 +(&DSDELOLWLHV
 +(*+]%DQG&DSDELOLWLHV
 +(2SHUDWLRQ

%66&RORU&KDQJH$QQRXQFHPHQW

 6SDWLDO5HXVH3DUDPHWHU6HW
 08('&$3DUDPHWHU6HW
 825$3DUDPHWHU6HW
 (665HSRUW

9HQGRU6SHFLILF,QIR



 Change the unnumbered table in this subclause as follows:


 1DPH 7\SH 9DOLGUDQJH 'HVFULSWLRQ
 7:7 7:7HOHPHQW $VGHILQHGLQ 6SHFLILHVWKHSDUDPHWHUV
 7:7HOHPHQW LQWKH7:7HOHPHQW7KLV
 SDUDPHWHULVRSWLRQDOO\
 SUHVHQWLI
 GRW7:72SWLRQ$FWLYDWH
 GLVWUXHDQGWKH7:7
 HOHPHQWLVSUHVHQWLQWKH
 $VVRFLDWLRQ5HTXHVW
 IUDPHWKDWHOLFLWHGWKH
 $VVRFLDWLRQ5HVSRQVH
 IUDPHRUWKH7:7
 5HTXHVWHU6XSSRUWILHOGLQ
 WKH+(&DSDELOLWLHV
 HOHPHQWLQWKH$VVRFLDWLRQ
 5HTXHVWIUDPHWKDWHOLFLWHG
 WKH$VVRFLDWLRQ5HVSRQVH
 IUDPHLVRWKHUZLVHQRW
 SUHVHQW


 Insert the following entries into the unnumbered table in this subclause maintaining the primitive order
 above:


 1DPH 7\SH 9DOLGUDQJH 'HVFULSWLRQ

 +(&DSDELOLWLHV $VGHILQHGLQ+(&DSDELO $VGHILQHGLQ 6SHFLILHVWKHSDUDPHWHUV
 LWLHVHOHPHQW +(&DSDELOLWLHVHOHPHQW ZLWKLQWKH+(&DSDELOLWLHV
 HOHPHQWWKDWDUHVXSSRUWHG
 E\WKH67$7KH
 SDUDPHWHULVSUHVHQWLI
 GRW+(2SWLRQ,PSOHPHQ
 WHGLVWUXHRWKHUZLVHWKLV
 SDUDPHWHULVQRWSUHVHQW










&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU


+(*+]%DQG&DSDELOL $VGHILQHGLQ+(*+] $VGHILQHGLQ 6SHFLILHVWKHSDUDPHWHUV

WLHV %DQG&DSDELOLWLHVHOHPHQW +(*+]%DQG&DSDELO ZLWKLQWKH+(*+]

LWLHVHOHPHQW %DQG&DSDELOLWLHVHOHPHQW

WKDWDUHVXSSRUWHGE\WKH

67$7KHSDUDPHWHULV

SUHVHQWLI

GRW+(*2SWLRQ,PSOH

PHQWHGLVWUXHRWKHUZLVH

WKLVSDUDPHWHULVQRW

SUHVHQW

 +(2SHUDWLRQ $VGHILQHGLQ+(2SHUD $VGHILQHGLQ 3URYLGHVDGGLWLRQDO
 WLRQHOHPHQW +(2SHUDWLRQHOHPHQW LQIRUPDWLRQIRURSHUDWLQJ
 WKH+(%667KH
 SDUDPHWHULVSUHVHQWLI
 GRW+(2SWLRQ,PSOHPHQ
 WHGLVWUXHRWKHUZLVHQRW
 SUHVHQW

 825$3DUDPHWHU6HW $VGHILQHGLQ825$ $VGHILQHGLQ ,QGLFDWHVWKHPHWULFVRI
 3DUDPHWHU6HWHOHPHQW 825$3DUDPHWHU6HWHOH WKH2)'0$EDVHG
 PHQW UDQGRPDFFHVV
 PHFKDQLVP7KH
 SDUDPHWHULVRSWLRQDOO\
 SUHVHQWLI
 GRW2)'0$5DQGRP
 $FFHVV2SWLRQ,POHPHQWHG
 LVWUXHRWKHUZLVHQRW
 SUHVHQW

 08('&$3DUDPHWHU6HW $VGHILQHGLQ08('&$ $VGHILQHGLQ ,QGLFDWHV08('&$
 3DUDPHWHU6HWHOHPHQW 08('&$3DUDPHWHU6HW SDUDPHWHUV7KHSDUDPHWHU
 HOHPHQW LVRSWLRQDOO\SUHVHQWLI
 GRW+(2SWLRQ,PSOHPHQ
 WHGLVWUXHRWKHUZLVHQRW
 SUHVHQW
 6SDWLDO5HXVH3DUDPHWHU $VGHILQHGLQ6SDWLDO $VGHILQHGLQ ,QGLFDWHVSDUDPHWHUV
 6HW 5HXVH3DUDPHWHU6HWHOH 6SDWLDO5HXVH3DUDPHWHU QHHGHGE\67$VZKHQ
 PHQW 6HWHOHPHQW SHUIRUPLQJ2%663'
 EDVHGVSDWLDOUHXVH7KH
 SDUDPHWHULVRSWLRQDOO\
 SUHVHQWLI
 GRW+(2SWLRQ,PSOHPHQ
 WHGLVWUXHRWKHUZLVHQRW
 SUHVHQW

 1'3)HHGEDFN5HSRUW $VGHILQHGLQ1'3)HHG $VGHILQHGLQ ,QGLFDWHV1'3)HHGEDFN
 3DUDPHWHU6HW EDFN5HSRUW3DUDPHWHU6HW 1'3)HHGEDFN5HSRUW 5HSRUWSDUDPHWHUYDOXHV
 HOHPHQW 3DUDPHWHU6HWHOHPHQW 7KHSDUDPHWHULV
 RSWLRQDOO\SUHVHQWLI
 GRW+(2SWLRQ,PSOHPHQ
 WHGLVWUXHRWKHUZLVHQRW
 SUHVHQW

 %66&RORU&KDQJH $VGHILQHGLQ%66&RORU $VGHILQHGLQ ,QGLFDWHVLQIRUPDWLRQRQ
 $QQRXQFHPHQW &KDQJH$QQRXQFHPHQW %66&RORU&KDQJH %66&RORU&KDQJH7KH
 HOHPHQW $QQRXQFHPHQWHOHPHQW SDUDPHWHULVRSWLRQDOO\
 SUHVHQWLI
 GRW+(2SWLRQ,PSOHPHQ
 WHGLVWUXHRWKHUZLVHQRW
 SUHVHQW





 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU


(665HSRUW $VGHILQHGLQ(665HSRUW $VGHILQHGLQ 3URYLGHVLQIRUPDWLRQRQ

HOHPHQW (665HSRUWHOHPHQW (66WRDVVLVW%66

WUDQVLWLRQ7KHSDUDPHWHU

LVRSWLRQDOO\SUHVHQW


 0/0($662&,$7(LQGLFDWLRQ


 6HPDQWLFVRIWKHVHUYLFHSULPLWLYH


 Change the primitive parameters as follows (not all existing parameters in the baseline are shown):


 7KHSULPLWLYHSDUDPHWHUVDUHDVIROORZV
 0/0($662&,$7(LQGLFDWLRQ

 «

 +(&DSDELOLWLHV

 +(*+]%DQG&DSDELOLWLHV
 &KDQQHO6ZLWFK7LPLQJ

 8/083RZHU&DSDELOLWLHV

 9HQGRU6SHFLILF,QIR




 Insert the following entry into the unnumbered table in this subclause maintaining the primitive order

 above:

 1DPH 7\SH 9DOLGUDQJH 'HVFULSWLRQ

 +(&DSDELOLWLHV $VGHILQHGLQ+(&DSDELO $VGHILQHGLQ 6SHFLILHVWKHSDUDPHWHUV
 LWLHVHOHPHQW +(&DSDELOLWLHVHOHPHQW ZLWKLQWKH+(&DSDELOLWLHV
 HOHPHQWWKDWDUHVXSSRUWHG
 E\WKHSHHU67$7KH
 SDUDPHWHULVSUHVHQWLI
 GRW+(2SWLRQ,PSOHPHQ
 WHGLVWUXHDQGWKH+(
 &DSDELOLWLHVHOHPHQWLV
 SUHVHQWLQWKH$VVRFLDWLRQ
 5HTXHVWIUDPHUHFHLYHG
 IURPWKH67$RWKHUZLVH
 WKLVSDUDPHWHULVQRW
 SUHVHQW

 +(*+]%DQG&DSDELOL $VGHILQHGLQ+(*+] $VGHILQHGLQ 6SHFLILHVWKHSDUDPHWHUV
 WLHV %DQG&DSDELOLWLHVHOHPHQW +(*+]%DQG&DSDELO ZLWKLQWKH+(*+]
 LWLHVHOHPHQW %DQG&DSDELOLWLHVHOHPHQW
 WKDWDUHVXSSRUWHGE\WKH
 SHHU67$7KHSDUDPHWHU
 LVSUHVHQWLI
 GRW+(*2SWLRQ,PSOH
 PHQWHGLVWUXHDQGWKH+(
 *+]%DQG&DSDELOLWLHV
 HOHPHQWLVSUHVHQWLQWKH
 $VVRFLDWLRQ5HTXHVW
 IUDPHUHFHLYHGIURPWKH
 67$RWKHUZLVHWKLV
 SDUDPHWHULVQRWSUHVHQW

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU


&KDQQHO6ZLWFK7LPLQJ $VGHILQHGLQWKH&KDQQHO $VGHILQHGLQ 3URYLGHVLQIRUPDWLRQ

6ZLWFK7LPLQJHOHPHQW &KDQQHO6ZLWFK7LPLQJ UHJDUGLQJWKHFKDQQHO

HOHPHQW VZLWFKWLPLQJ7KH

SDUDPHWHULVRSWLRQDOO\

SUHVHQWLI

GRW+(6XEFKDQQHO6HOHF

WLYH7UDQVPLVVLRQ,PSOHPH

QWHGLVWUXHDQGWKH

&KDQQHO6ZLWFK7LPLQJ

HOHPHQWLVSUHVHQWLQWKH

$VVRFLDWLRQ5HTXHVW

IUDPHUHFHLYHGIURPWKH

67$RWKHUZLVHQRW

SUHVHQW

 8/083RZHU&DSDELOL $VGHILQHGLQ8/08 $VGHILQHGLQ 3URYLGHVLQIRUPDWLRQ
 WLHV 3RZHU&DSDELOLWLHVHOH 8/083RZHU&DSDELOL UHJDUGLQJWKH8/08
 PHQW WLHVHOHPHQW SRZHUFDSDELOLWLHVIRUWKH
 QRQ$367$7KH8/08
 3RZHU&DSDELOLWLHV
 HOHPHQWLVSUHVHQWLI
 GRW+(2SWLRQ,PSOHPHQ
 WHGLVWUXHDQGWKH+(
 &DSDELOLWLHVHOHPHQWDQG
 8/083RZHU
 &DSDELOLWLHVHOHPHQWLV
 SUHVHQWLQWKH$VVRFLDWLRQ
 5HTXHVWIUDPHUHFHLYHG
 IURPWKH67$RWKHUZLVHLW
 LVQRWSUHVHQW


 0/0($662&,$7(UHVSRQVH


 6HPDQWLFVRIWKHVHUYLFHSULPLWLYH


Change the primitive parameters as follows (not all existing parameters in the baseline are shown):


 7KHSULPLWLYHSDUDPHWHUVDUHDVIROORZV


 0/0($662&,$7(UHVSRQVH

 «

 +(&DSDELOLWLHV

+(*+]%DQG&DSDELOLWLHV

 +(2SHUDWLRQ

 825$3DUDPHWHU6HW

 08('&$3DUDPHWHU6HW
 6SDWLDO5HXVH3DUDPHWHU6HW

 1'3)HHGEDFN5HSRUW3DUDPHWHU6HW

 %66&RORU&KDQJH$QQRXQFHPHQW
 (665HSRUW

 9HQGRU6SHFLILF,QIR



 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 Change the unnumbered table in this subclause as follows:




 1DPH 7\SH 9DOLGUDQJH 'HVFULSWLRQ
 7:7 7:7HOHPHQW $VGHILQHGLQ 6SHFLILHVWKHSDUDPHWHUV
 7:7HOHPHQW LQWKH7:7HOHPHQW7KLV
 SDUDPHWHULVRSWLRQDOO\
 SUHVHQWLI
 GRW7:72SWLRQ$FWLYDWH
 GLVWUXHDQGWKH7:7
 HOHPHQWLVSUHVHQWLQWKH
 $VVRFLDWLRQ5HTXHVW
 IUDPHWKDWHOLFLWHGWKH
 $VVRFLDWLRQ5HVSRQVH
 IUDPHRUWKH7:7
 5HTXHVWHU6XSSRUWILHOGLQ
 WKH+(&DSDELOLWLHV
 HOHPHQWLQWKH$VVRFLDWLRQ
 5HTXHVWIUDPHWKDWHOLFLWHG
 WKH$VVRFLDWLRQ5HVSRQVH
 IUDPHLVRWKHUZLVHQRW
 SUHVHQW


 Insert the following entries into the unnumbered table in this subclause maintaining the primitive order
 above:


 1DPH 7\SH 9DOLGUDQJH 'HVFULSWLRQ

 +(&DSDELOLWLHV $VGHILQHGLQ+(&DSDELO $VGHILQHGLQ 6SHFLILHVWKHSDUDPHWHUV
 LWLHVHOHPHQW +(&DSDELOLWLHVHOHPHQW ZLWKLQWKH+(&DSDELOLWLHV
 HOHPHQWWKDWDUHVXSSRUWHG
 E\WKH67$7KH
 SDUDPHWHULVSUHVHQWLI
 GRW+(2SWLRQ,PSOHPHQ
 WHGLVWUXHRWKHUZLVHWKLV
 SDUDPHWHULVQRWSUHVHQW
 +(*+]%DQG&DSDELOL $VGHILQHGLQ+(*+] $VGHILQHGLQ 6SHFLILHVWKHSDUDPHWHUV
 WLHV %DQG&DSDELOLWLHVHOHPHQW +(*+]%DQG&DSDELO ZLWKLQWKH+(*+]
 LWLHVHOHPHQW %DQG&DSDELOLWLHVHOHPHQW
 WKDWDUHVXSSRUWHGE\WKH
 67$7KHSDUDPHWHULV
 SUHVHQWLI
 GRW+(*2SWLRQ,PSOH
 PHQWHGLVWUXHRWKHUZLVH
 WKLVSDUDPHWHULVQRW
 SUHVHQW

 +(2SHUDWLRQ $VGHILQHGLQ+(2SHUD $VGHILQHGLQ 3URYLGHVDGGLWLRQDO
 WLRQHOHPHQW +(2SHUDWLRQHOHPHQW LQIRUPDWLRQIRURSHUDWLQJ
 WKH+(%667KH
 SDUDPHWHULVSUHVHQWLI
 GRW+(2SWLRQ,PSOHPHQ
 WHGLVWUXHRWKHUZLVHQRW
 SUHVHQW










&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU


825$3DUDPHWHU6HW $VGHILQHGLQ825$ $VGHILQHGLQ ,QGLFDWHVWKHPHWULFVRI

3DUDPHWHU6HWHOHPHQW 825$3DUDPHWHU6HWHOH WKH2)'0$EDVHG

PHQW UDQGRPDFFHVV

PHFKDQLVP7KH

SDUDPHWHULVRSWLRQDOO\

SUHVHQWLI

GRW2)'0$5DQGRP

$FFHVV2SWLRQ,POHPHQWHG

LVWUXHRWKHUZLVHQRW

SUHVHQW

 08('&$3DUDPHWHU6HW $VGHILQHGLQ08('&$ $VGHILQHGLQ ,QGLFDWHV08('&$
 3DUDPHWHU6HWHOHPHQW 08('&$3DUDPHWHU6HW SDUDPHWHUV7KHSDUDPHWHU
 HOHPHQW LVRSWLRQDOO\SUHVHQWLI
 GRW+(2SWLRQ,PSOHPHQ
 WHGLVWUXHRWKHUZLVHQRW
 SUHVHQW

 6SDWLDO5HXVH3DUDPHWHU $VGHILQHGLQ6SDWLDO $VGHILQHGLQ ,QGLFDWHVSDUDPHWHUV
 6HW 5HXVH3DUDPHWHU6HWHOH 6SDWLDO5HXVH3DUDPHWHU QHHGHGE\67$VZKHQ
 PHQW 6HWHOHPHQW SHUIRUPLQJ2%663'
 EDVHGVSDWLDOUHXVH7KH
 SDUDPHWHULVRSWLRQDOO\
 SUHVHQWLI
 GRW+(2SWLRQ,PSOHPHQ
 WHGLVWUXHRWKHUZLVHQRW
 SUHVHQW

 1'3)HHGEDFN5HSRUW $VGHILQHGLQ1'3)HHG $VGHILQHGLQ ,QGLFDWHV1'3)HHGEDFN
 3DUDPHWHU6HW EDFN5HSRUW3DUDPHWHU6HW 1'3)HHGEDFN5HSRUW 5HSRUWSDUDPHWHUYDOXHV
 HOHPHQW 3DUDPHWHU6HWHOHPHQW 7KHSDUDPHWHULV
 RSWLRQDOO\SUHVHQWLI
 GRW+(2SWLRQ,PSOHPHQ
 WHGLVWUXHRWKHUZLVHQRW
 SUHVHQW
 %66&RORU&KDQJH $VGHILQHGLQ%66&RORU $VGHILQHGLQ ,QGLFDWHVLQIRUPDWLRQRQ
 $QQRXQFHPHQW &KDQJH$QQRXQFHPHQW %66&RORU&KDQJH %66&RORU&KDQJH7KH
 HOHPHQW $QQRXQFHPHQWHOHPHQW SDUDPHWHULVRSWLRQDOO\
 SUHVHQWLI
 GRW+(2SWLRQ,PSOHPHQ
 WHGLVWUXHRWKHUZLVHQRW
 SUHVHQW

 (665HSRUW $VGHILQHGLQ(665HSRUW $VGHILQHGLQ 3URYLGHVLQIRUPDWLRQRQ
 HOHPHQW (665HSRUWHOHPHQW (66WRDVVLVW%66
 WUDQVLWLRQ7KHSDUDPHWHU
 LVRSWLRQDOO\SUHVHQW


5HDVVRFLDWH


 0/0(5($662&,$7(UHTXHVW


 6HPDQWLFVRIWKHVHUYLFHSULPLWLYH

 Change the primitive parameters as follows (not all parameters are shown):


 7KHSULPLWLYHSDUDPHWHUVDUHDVIROORZV

 0/0(5($662&,$7(UHTXHVW


«
 +(&DSDELOLWLHV

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 +(*+]%DQG&DSDELOLWLHV
 &KDQQHO6ZLWFK7LPLQJ


8/083RZHU&DSDELOLWLHV
 9HQGRU6SHFLILF,QIR


 Insert the following entries into the unnumbered table in this subclause maintaining the primitive order

 above:

 1DPH 7\SH 9DOLGUDQJH 'HVFULSWLRQ

 +(&DSDELOLWLHV $VGHILQHGLQ+(&DSDELO $VGHILQHGLQ 6SHFLILHVWKHSDUDPHWHUV
 LWLHVHOHPHQW +(&DSDELOLWLHVHOHPHQW LQWKH+(&DSDELOLWLHV
 HOHPHQWWKDWDUHVXSSRUWHG
 E\WKH67$7KH
 SDUDPHWHULVSUHVHQWLI
 GRW+(2SWLRQ,PSOHPHQ
 WHGLVWUXHRWKHUZLVHQRW
 SUHVHQW

 +(*+]%DQG&DSDELOL $VGHILQHGLQ+(*+] $VGHILQHGLQ 6SHFLILHVWKHSDUDPHWHUV
 WLHV %DQG&DSDELOLWLHVHOHPHQW +(*+]%DQG&DSDELO LQWKH+(*+]%DQG
 LWLHVHOHPHQW &DSDELOLWLHVHOHPHQWWKDW
 DUHVXSSRUWHGE\WKH67$
 7KHSDUDPHWHULVSUHVHQWLI
 GRW+(*2SWLRQ,PSOH
 PHQWHGLVWUXHRWKHUZLVH
 QRWSUHVHQW
 &KDQQHO6ZLWFK7LPLQJ $VGHILQHGLQWKH&KDQQHO $VGHILQHGLQ 3URYLGHVLQIRUPDWLRQ
 6ZLWFK7LPLQJHOHPHQW &KDQQHO6ZLWFK7LPLQJ UHJDUGLQJWKHFKDQQHO
 HOHPHQW VZLWFKWLPLQJ7KH
 SDUDPHWHULVRSWLRQDOO\
 SUHVHQWLI
 GRW+(6XEFKDQQHO6HOHF
 WLYH7UDQVPLVVLRQ,PSOHPH
 QWHGLVWUXHRWKHUZLVHQRW
 SUHVHQW

 8/083RZHU&DSDELOL $VGHILQHGLQ8/08 $VGHILQHGLQ 3URYLGHVLQIRUPDWLRQ
 WLHV 3RZHU&DSDELOLWLHVHOH 8/083RZHU&DSDELOL UHJDUGLQJWKH8/08
 PHQW WLHVHOHPHQW SRZHUFDSDELOLWLHVIRUWKH
 QRQ$367$7KH8/08
 3RZHU&DSDELOLWLHV
 HOHPHQWLVRSWLRQDOO\
 SUHVHQWLI
 GRW+(2SWLRQ,PSOHPHQ
 WHGLVWUXHRWKHUZLVHLWLV
 QRWSUHVHQW


 0/0(5($662&,$7(FRQILUP

 6HPDQWLFVRIWKHVHUYLFHSULPLWLYH


 Change the primitive parameters as follows (not all existing parameters in the baseline are shown):

 7KHSULPLWLYHSDUDPHWHUVDUHDVIROORZV

 0/0(5($662&,$7(FRQILUP

 «
 +(&DSDELOLWLHV

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 +(*+]%DQG&DSDELOLWLHV

+(2SHUDWLRQ

 825$3DUDPHWHU6HW
 08('&$3DUDPHWHU6HW

 6SDWLDO5HXVH3DUDPHWHU6HW
 1'3)HHGEDFN5HSRUW3DUDPHWHU6HW
 %66&RORU&KDQJH$QQRXQFHPHQW

 (665HSRUW
 9HQGRU6SHFLILF,QIR



 Change the unnumbered table in this subclause as follows:


 1DPH 7\SH 9DOLGUDQJH 'HVFULSWLRQ

7:7 7:7HOHPHQW $VGHILQHGLQ 6SHFLILHVWKHSDUDPHWHUV

7:7HOHPHQW LQWKH7:7HOHPHQW7KLV

SDUDPHWHULVRSWLRQDOO\

SUHVHQWLI

GRW7:72SWLRQ$FWLYDWH

GLVWUXHDQGWKH7:7

HOHPHQWLVSUHVHQWLQWKH

5HDVVRFLDWLRQ5HTXHVW

IUDPHWKDWHOLFLWHGWKH

5HDVVRFLDWLRQ5HVSRQVH

IUDPHRUWKH7:7

5HTXHVWHU6XSSRUWILHOGLQ

WKH+(&DSDELOLWLHV

HOHPHQWLQWKH

5HDVVRFLDWLRQ5HTXHVW

IUDPHWKDWHOLFLWHGWKH

5HDVVRFLDWLRQ5HVSRQVH

IUDPHLVRWKHUZLVHQRW

SUHVHQW


 Insert the following entries into the unnumbered table in this subclause maintaining the primitive order

 above:

 1DPH 7\SH 9DOLGUDQJH 'HVFULSWLRQ

 +(&DSDELOLWLHV $VGHILQHGLQ+(&DSDELO $VGHILQHGLQ 6SHFLILHVWKHSDUDPHWHUV
 LWLHVHOHPHQW +(&DSDELOLWLHVHOHPHQW ZLWKLQWKH+(&DSDELOLWLHV
 HOHPHQWWKDWDUHVXSSRUWHG
 E\WKH67$7KH
 SDUDPHWHULVSUHVHQWLI
 GRW+(2SWLRQ,PSOHPHQ
 WHGLVWUXHRWKHUZLVHWKLV
 SDUDPHWHULVQRWSUHVHQW

 +(*+]%DQG&DSDELOL $VGHILQHGLQ+(*+] $VGHILQHGLQ 6SHFLILHVWKHSDUDPHWHUV
 WLHV %DQG&DSDELOLWLHVHOHPHQW +(*+]%DQG&DSDELO ZLWKLQWKH+(*+]
 LWLHVHOHPHQW %DQG&DSDELOLWLHVHOHPHQW
 WKDWDUHVXSSRUWHGE\WKH
 67$7KHSDUDPHWHULV
 SUHVHQWLI
 GRW+(*2SWLRQ,PSOH
 PHQWHGLVWUXHRWKHUZLVH
 WKLVSDUDPHWHULVQRW
 SUHVHQW

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU


+(2SHUDWLRQ $VGHILQHGLQ+(2SHUD $VGHILQHGLQ 3URYLGHVDGGLWLRQDO

WLRQHOHPHQW +(2SHUDWLRQHOHPHQW LQIRUPDWLRQIRURSHUDWLQJ

WKH+(%667KH

SDUDPHWHULVSUHVHQWLI

GRW+(2SWLRQ,PSOHPHQ

WHGLVWUXHRWKHUZLVHQRW

SUHVHQW

 825$3DUDPHWHU6HW $VGHILQHGLQ825$ $VGHILQHGLQ ,QGLFDWHVWKHPHWULFVRI
 3DUDPHWHU6HWHOHPHQW 825$3DUDPHWHU6HWHOH WKH2)'0$EDVHG
 PHQW UDQGRPDFFHVV
 PHFKDQLVP7KH
 SDUDPHWHULVRSWLRQDOO\
 SUHVHQWLI
 GRW2)'0$5DQGRP
 $FFHVV2SWLRQ,POHPHQWHG
 LVWUXHRWKHUZLVHQRW
 SUHVHQW

 08('&$3DUDPHWHU6HW $VGHILQHGLQ08('&$ $VGHILQHGLQ ,QGLFDWHV08('&$
 3DUDPHWHU6HWHOHPHQW 08('&$3DUDPHWHU6HW SDUDPHWHUV7KHSDUDPHWHU
 HOHPHQW LVRSWLRQDOO\SUHVHQWLI
 GRW+(2SWLRQ,PSOHPHQ
 WHGLVWUXHRWKHUZLVHQRW
 SUHVHQW

 6SDWLDO5HXVH3DUDPHWHU $VGHILQHGLQ6SDWLDO $VGHILQHGLQ ,QGLFDWHVSDUDPHWHUV
 6HW 5HXVH3DUDPHWHU6HWHOH 6SDWLDO5HXVH3DUDPHWHU QHHGHGE\67$VZKHQ
 PHQW 6HWHOHPHQW SHUIRUPLQJ2%663'
 EDVHGVSDWLDOUHXVH7KH
 SDUDPHWHULVRSWLRQDOO\
 SUHVHQWLI
 GRW+(2SWLRQ,PSOHPHQ
 WHGLVWUXHRWKHUZLVHQRW
 SUHVHQW
 1'3)HHGEDFN5HSRUW $VGHILQHGLQ1'3)HHG $VGHILQHGLQ ,QGLFDWHV1'3)HHGEDFN
 3DUDPHWHU6HW EDFN5HSRUW3DUDPHWHU6HW 1'3)HHGEDFN5HSRUW 5HSRUWSDUDPHWHUYDOXHV
 HOHPHQW 3DUDPHWHU6HWHOHPHQW 7KHSDUDPHWHULV
 RSWLRQDOO\SUHVHQWLI
 GRW+(2SWLRQ,PSOHPHQ
 WHGLVWUXHRWKHUZLVHQRW
 SUHVHQW

 %66&RORU&KDQJH $VGHILQHGLQ%66&RORU $VGHILQHGLQ ,QGLFDWHVLQIRUPDWLRQRQ
 $QQRXQFHPHQW &KDQJH$QQRXQFHPHQW %66&RORU&KDQJH %66&RORU&KDQJH7KH
 HOHPHQW $QQRXQFHPHQWHOHPHQW SDUDPHWHULVRSWLRQDOO\
 SUHVHQWLI
 GRW+(2SWLRQ,PSOHPHQ
 WHGLVWUXHRWKHUZLVHQRW
 SUHVHQW

 (665HSRUW $VGHILQHGLQ(665HSRUW $VGHILQHGLQ 3URYLGHVLQIRUPDWLRQRQ
 HOHPHQW (665HSRUWHOHPHQW (66WRDVVLVW%66
 WUDQVLWLRQ7KHSDUDPHWHU
 LVRSWLRQDOO\SUHVHQW

 0/0(5($662&,$7(LQGLFDWLRQ


 6HPDQWLFVRIWKHVHUYLFHSULPLWLYH

 Change the primitive parameters as follows (not all parameters are shown):


 7KHSULPLWLYHSDUDPHWHUVDUHDVIROORZV

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 0/0(5($662&,$7(LQGLFDWLRQ
 «

+(&DSDELOLWLHV

 +(*+]%DQG&DSDELOLWLHV
 &KDQQHO6ZLWFK7LPLQJ
 8/083RZHU&DSDELOLWLHV
 9HQGRU6SHFLILF,QIR




 Insert the following entry into the unnumbered table in this subclause maintaining the primitive order
 above:


 1DPH 7\SH 9DOLGUDQJH 'HVFULSWLRQ
 +(&DSDELOLWLHV $VGHILQHGLQ+(&DSDELO $VGHILQHGLQ 6SHFLILHVWKHSDUDPHWHUV
 LWLHVHOHPHQW +(&DSDELOLWLHVHOHPHQW ZLWKLQWKH+(&DSDELOLWLHV
 HOHPHQWWKDWDUHVXSSRUWHG
 E\WKHSHHU67$7KH
 SDUDPHWHULVSUHVHQWLI
 GRW+(2SWLRQ,PSOHPHQ
 WHGLVWUXHDQGWKH+(
 &DSDELOLWLHVHOHPHQWLV
 SUHVHQWLQWKH
 5HDVVRFLDWLRQ5HTXHVW
 IUDPHUHFHLYHGIURPWKH
 67$RWKHUZLVHWKLV
 SDUDPHWHULVQRWSUHVHQW

 +(*+]%DQG&DSDELOL $VGHILQHGLQ+(*+] $VGHILQHGLQ 6SHFLILHVWKHSDUDPHWHUV
 WLHV %DQG&DSDELOLWLHVHOHPHQW +(*+]%DQG&DSDELO ZLWKLQWKH+(*+]
 LWLHVHOHPHQW %DQG&DSDELOLWLHVHOHPHQW
 WKDWDUHVXSSRUWHGE\WKH
 67$7KHSDUDPHWHULV
 SUHVHQWLI
 GRW+(*2SWLRQ,PSOH
 PHQWHGLVWUXHDQGWKH+(
 *+]%DQG&DSDELOLWLHV
 HOHPHQWLVSUHVHQWLQWKH
 5HDVVRFLDWLRQ5HTXHVW
 IUDPHUHFHLYHGIURPWKH
 67$RWKHUZLVHWKLV
 SDUDPHWHULVQRWSUHVHQW

 &KDQQHO6ZLWFK7LPLQJ $VGHILQHGLQWKH&KDQQHO $VGHILQHGLQ 3URYLGHVLQIRUPDWLRQ
 6ZLWFK7LPLQJHOHPHQW &KDQQHO6ZLWFK7LPLQJ UHJDUGLQJWKHFKDQQHO
 HOHPHQW VZLWFKWLPLQJ7KH
 SDUDPHWHULVRSWLRQDOO\
 SUHVHQWLI
 GRW+(6XEFKDQQHO6HOHF
 WLYH7UDQVPLVVLRQ,PSOHPH
 QWHGLVWUXHDQGWKH
 &KDQQHO6ZLWFK7LPLQJ
 HOHPHQWLVSUHVHQWLQWKH
 5HDVVRFLDWLRQ5HTXHVW
 IUDPHUHFHLYHGIURPWKH
 67$RWKHUZLVHQRW
 SUHVHQW







 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU


8/083RZHU&DSDELOL $VGHILQHGLQ8/08 $VGHILQHGLQ 3URYLGHVLQIRUPDWLRQ

WLHV 3RZHU&DSDELOLWLHVHOH 8/083RZHU&DSDELOL UHJDUGLQJWKH8/08

PHQW WLHVHOHPHQW SRZHUFDSDELOLWLHVIRUWKH

QRQ$367$7KH8/08

3RZHU&DSDELOLWLHV

HOHPHQWLVSUHVHQWLI

GRW+(2SWLRQ,PSOHPHQ

WHGLVWUXHDQGWKH+(

&DSDELOLWLHVHOHPHQWDQG

8/083RZHU

&DSDELOLWLHVHOHPHQWLV

SUHVHQWLQWKH$VVRFLDWLRQ

5HTXHVWIUDPHUHFHLYHG

IURPWKH67$RWKHUZLVHLW

LVQRWSUHVHQW


 0/0(5($662&,$7(UHVSRQVH

 6HPDQWLFVRIWKHVHUYLFHSULPLWLYH


 Change the primitive parameters as follows (not all existing parameters in the baseline are shown):

 7KHSULPLWLYHSDUDPHWHUVDUHDVIROORZV


 0/0(5($662&,$7(UHVSRQVH
 «
 +(&DSDELOLWLHV
 +(*+]%DQG&DSDELOLWLHV
 +(2SHUDWLRQ

 825$3DUDPHWHU6HW
 08('&$3DUDPHWHU6HW
 6SDWLDO5HXVH3DUDPHWHU6HW
 1'3)HHGEDFN5HSRUW3DUDPHWHU6HW
 %66&RORU&KDQJH$QQRXQFHPHQW

 (665HSRUW
 9HQGRU6SHFLILF,QIR

























&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 Change the unnumbered table in this subclause as follows:




 1DPH 7\SH 9DOLGUDQJH 'HVFULSWLRQ
 7:7 7:7HOHPHQW $VGHILQHGLQ 6SHFLILHVWKHSDUDPHWHUV
 7:7HOHPHQW LQWKH7:7HOHPHQW7KLV
 SDUDPHWHULVRSWLRQDOO\
 SUHVHQWLI
 GRW7:72SWLRQ$FWLYDWH
 GLVWUXHDQGWKH7:7
 HOHPHQWLVSUHVHQWLQWKH
 5HDVVRFLDWLRQ5HTXHVW
 IUDPHWKDWHOLFLWHGWKH
 5HDVVRFLDWLRQ5HVSRQVH
 IUDPHRUWKH7:7
 5HTXHVWHU6XSSRUWILHOGLQ
 WKH+(&DSDELOLWLHV
 HOHPHQWLQWKH
 5HDVVRFLDWLRQ5HTXHVW
 IUDPHWKDWHOLFLWHGWKH
 5HDVVRFLDWLRQ5HVSRQVH
 IUDPHLVRWKHUZLVHQRW
 SUHVHQW


 Insert the following entries into the unnumbered table in this subclause maintaining the primitive order
 above:


 1DPH 7\SH 9DOLGUDQJH 'HVFULSWLRQ

 +(&DSDELOLWLHV $VGHILQHGLQ+(&DSDELO $VGHILQHGLQ 6SHFLILHVWKHSDUDPHWHUV
 LWLHVHOHPHQW +(&DSDELOLWLHVHOHPHQW ZLWKLQWKH+(&DSDELOLWLHV
 HOHPHQWWKDWDUHVXSSRUWHG
 E\WKH67$7KH
 SDUDPHWHULVSUHVHQWLI
 GRW+(2SWLRQ,PSOHPHQ
 WHGLVWUXHRWKHUZLVHWKLV
 SDUDPHWHULVQRWSUHVHQW
 +(*+]%DQG&DSDELOL $VGHILQHGLQ+(*+] $VGHILQHGLQ 6SHFLILHVWKHSDUDPHWHUV
 WLHV %DQG&DSDELOLWLHVHOHPHQW +(*+]%DQG&DSDELO ZLWKLQWKH+(*+]
 LWLHVHOHPHQW %DQG&DSDELOLWLHVHOHPHQW
 WKDWDUHVXSSRUWHGE\WKH
 67$7KHSDUDPHWHULV
 SUHVHQWLI
 GRW+(*2SWLRQ,PSOH
 PHQWHGLVWUXHRWKHUZLVH
 WKLVSDUDPHWHULVQRW
 SUHVHQW

 +(2SHUDWLRQ $VGHILQHGLQ+(2SHUD $VGHILQHGLQ 3URYLGHVDGGLWLRQDO
 WLRQHOHPHQW +(2SHUDWLRQHOHPHQW LQIRUPDWLRQIRURSHUDWLQJ
 WKH+(%667KH
 SDUDPHWHULVSUHVHQWLI
 GRW+(2SWLRQ,PSOHPHQ
 WHGLVWUXHRWKHUZLVHQRW
 SUHVHQW









 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU


825$3DUDPHWHU6HW $VGHILQHGLQ825$ $VGHILQHGLQ ,QGLFDWHVWKHPHWULFVRI

3DUDPHWHU6HWHOHPHQW 825$3DUDPHWHU6HWHOH WKH2)'0$EDVHG

PHQW UDQGRPDFFHVV

PHFKDQLVP7KH

SDUDPHWHULVRSWLRQDOO\

SUHVHQWLI

GRW2)'0$5DQGRP

$FFHVV2SWLRQ,POHPHQWHG

LVWUXHRWKHUZLVHQRW

SUHVHQW

 08('&$3DUDPHWHU6HW $VGHILQHGLQ08('&$ $VGHILQHGLQ ,QGLFDWHV08('&$
 3DUDPHWHU6HWHOHPHQW 08('&$3DUDPHWHU6HW SDUDPHWHUV7KHSDUDPHWHU
 HOHPHQW LVRSWLRQDOO\SUHVHQWLI
 GRW+(2SWLRQ,PSOHPHQ
 WHGLVWUXHRWKHUZLVHQRW
 SUHVHQW

 6SDWLDO5HXVH3DUDPHWHU $VGHILQHGLQ6SDWLDO $VGHILQHGLQ ,QGLFDWHVSDUDPHWHUV
 6HW 5HXVH3DUDPHWHU6HWHOH 6SDWLDO5HXVH3DUDPHWHU QHHGHGE\67$VZKHQ
 PHQW 6HWHOHPHQW SHUIRUPLQJ2%663'
 EDVHGVSDWLDOUHXVH7KH
 SDUDPHWHULVRSWLRQDOO\
 SUHVHQWLI
 GRW+(2SWLRQ,PSOHPHQ
 WHGLVWUXHRWKHUZLVHQRW
 SUHVHQW

 1'3)HHGEDFN5HSRUW $VGHILQHGLQ1'3)HHG $VGHILQHGLQ ,QGLFDWHV1'3)HHGEDFN
 3DUDPHWHU6HW EDFN5HSRUW3DUDPHWHU6HW 1'3)HHGEDFN5HSRUW 5HSRUWSDUDPHWHUYDOXHV
 HOHPHQW 3DUDPHWHU6HWHOHPHQW 7KHSDUDPHWHULV
 RSWLRQDOO\SUHVHQWLI
 GRW+(2SWLRQ,PSOHPHQ
 WHGLVWUXHRWKHUZLVHQRW
 SUHVHQW
 %66&RORU&KDQJH $VGHILQHGLQ%66&RORU $VGHILQHGLQ ,QGLFDWHVLQIRUPDWLRQRQ
 $QQRXQFHPHQW &KDQJH$QQRXQFHPHQW %66&RORU&KDQJH %66&RORU&KDQJH7KH
 HOHPHQW $QQRXQFHPHQWHOHPHQW SDUDPHWHULVRSWLRQDOO\
 SUHVHQWLI
 GRW+(2SWLRQ,PSOHPHQ
 WHGLVWUXHRWKHUZLVHQRW
 SUHVHQW

 (665HSRUW $VGHILQHGLQ(665HSRUW $VGHILQHGLQ 3URYLGHVLQIRUPDWLRQRQ
 HOHPHQW (665HSRUWHOHPHQW (66WRDVVLVW%66
 WUDQVLWLRQ7KHSDUDPHWHU
 LVRSWLRQDOO\SUHVHQW


6WDUW


 0/0(67$57UHTXHVW


6HPDQWLFVRIWKHVHUYLFHSULPLWLYH


 Change the primitive parameters as follows (not all existing parameters in the baseline are shown):
 0/0(67$57UHTXHVW

 «
 +(&DSDELOLWLHV
 +(*+]%DQG&DSDELOLWLHV

 +(2SHUDWLRQ
 9HQGRU6SHFLILF,QIR

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU




 Insert the following entry into the unnumbered table in this subclause maintaining the primitive order
 above:


1DPH 7\SH 9DOLGUDQJH 'HVFULSWLRQ

 +(&DSDELOLWLHV $VGHILQHGLQ+(&DSDELO $VGHILQHGLQ 6SHFLILHVWKHSDUDPHWHUV
 LWLHVHOHPHQW +(&DSDELOLWLHVHOHPHQW ZLWKLQWKH+(&DSDELOLWLHV
 HOHPHQWWKDWDUHVXSSRUWHG
 E\WKH67$7KH
 SDUDPHWHULVSUHVHQWLI
 GRW+(2SWLRQ,PSOHPHQ
 WHGLVWUXHRWKHUZLVHWKLV
 SDUDPHWHULVQRWSUHVHQW

 +(*+]%DQG&DSDELOL $VGHILQHGLQ+(*+] $VGHILQHGLQ 6SHFLILHVWKHSDUDPHWHUV
 WLHV %DQG&DSDELOLWLHVHOHPHQW +(*+]%DQG&DSDELO ZLWKLQWKH+(*+]
 LWLHVHOHPHQW %DQG&DSDELOLWLHVHOHPHQW
 WKDWDUHVXSSRUWHGE\WKH
 67$7KHSDUDPHWHULV
 SUHVHQWLI
 GRW+(*2SWLRQ,PSOH
 PHQWHGLVWUXHRWKHUZLVH
 WKLVSDUDPHWHULVQRW
 SUHVHQW

 +(2SHUDWLRQ $VGHILQHGLQ+(2SHUD $VGHILQHGLQ 3URYLGHVDGGLWLRQDO
 WLRQHOHPHQW +(2SHUDWLRQHOHPHQW LQIRUPDWLRQIRURSHUDWLQJ
 WKH+(%667KH
 SDUDPHWHULVSUHVHQWLI
 GRW+(2SWLRQ,PSOHPHQ
 WHGLVWUXHRWKHUZLVHWKLV
 SDUDPHWHULVQRWSUHVHQW



(IIHFWRIUHFHLSW

 Insert the following at the end of the subclause:


 ,IWKH0/0(RIDQ+(67$UHFHLYHVDQ0/0(67$57UHTXHVWSULPLWLYHZLWKD%DVLF+(0&6$QG166 
 6HW ILHOG LQ WKH +( 2SHUDWLRQ SDUDPHWHU WKDW FRQWDLQV DQ\ XQVXSSRUWHG +(0&6 166! WXSOH WKHQ WKH
 0/0(UHVSRQVHLQWKHUHVXOWLQJ0/0(67$57FRQILUPSULPLWLYHVKDOOQRWFRQWDLQD5HVXOW&RGHSDUDPH
 WHUWKDWLVVHWWR68&&(66


 Insert the following at the end of 6.3:


 4XLHWWLPHSHULRG

 ,QWURGXFWLRQ


 7KLVPHFKDQLVPVXSSRUWVTXLHWWLPHSHULRGRSHUDWLRQ


 0/0(473UHTXHVW

 )XQFWLRQ


 7KLVSULPLWLYHUHTXHVWVDTXLHWWLPHSHULRGIRUWKHTXLHWWLPHSHULRGRSHUDWLRQ

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 6HPDQWLFVRIWKHVHUYLFHSULPLWLYH


 7KHSULPLWLYHSDUDPHWHUVDUHDVIROORZV
 0/0(473UHTXHVW
 3HHU0$&$GGUHVV

 'LDORJ7RNHQ
 4XLHW3HULRG2IIVHW
 4XLHW3HULRG'XUDWLRQ

 4XLHW3HULRG,QWHUYDO
 5HSHWLWLRQ&RXQW

6HUYLFH6SHFLILF,GHQWLILHU




1DPH 7\SH 9DOLGUDQJH 'HVFULSWLRQ

 3HHU0$&$GGUHVV 0$&DGGUHVV $Q\YDOLGLQGLYLGXDOO\ 7KHDGGUHVVRIWKHSHHU
 DGGUHVVHG0$&DGGUHVV 0$&HQWLW\WRZKLFKWKH
 4735HTXHVWIUDPHLVWR
 EHVHQW

 'LDORJ7RNHQ ,QWHJHU ± 7KHGLDORJWRNHQWR
 LGHQWLI\WKH4735HTXHVW
 IUDPH

 4XLHW3HULRG2IIVHW ,QWHJHU ± ,QGLFDWHVWKHRIIVHWRIWKH
 ILUVW473SHULRGIURPWKH
 7%77H[SUHVVHGLQ78V
 4XLHW3HULRG'XUDWLRQ ,QWHJHU ± ,QGLFDWHVWKHGXUDWLRQRI
 WKH473LQXQLWVRIȝV

 4XLHW3HULRG,QWHUYDO ,QWHJHU ± ,QGLFDWHVWKHUHTXHVWHG
 LQWHUYDOEHWZHHQWKHVWDUW
 RIWZRFRQVHFXWLYH473
 SHULRGVH[SUHVVHGLQ78V

 5HSHWLWLRQ&RXQW ,QWHJHU ± ,QGLFDWHVWKHQXPEHURI
 UHTXHVWHG473SHULRGV$
 UHSHWLWLRQFRXQWHTXDOWR
 LQGLFDWHVWKHVHWXSWLPHRI
 WKH473SHULRGLVIRUD
 RQHWLPHRSHUDWLRQ
 5HSHWLWLRQFRXQWHTXDOWR
 LQGLFDWHVWKHVHWXSRI
 WKH473SHULRGLV
 FDQFHOHG
 6HUYLFH6SHFLILF,GHQWLILHU ,QWHJHU ± ,QGLFDWHVDQLGHQWLILHU
 DVVLJQHGE\DSHHUWRSHHU
 DSSOLFDWLRQWRLGHQWLI\
 IUDPHH[FKDQJHVXVLQJ
 SHHUWRSHHUOLQNV


 :KHQJHQHUDWHG


 7KLVSULPLWLYHLVJHQHUDWHGE\WKH60(WRUHTXHVWWKDWD4735HTXHVWIUDPHWREHVHQWWRLWVDVVRFLDWHG$3

 (IIHFWRIUHFHLSW


 2QUHFHLSWRIWKLVSULPLWLYHWKH0/0(FRQVWUXFWVDQGWUDQVPLWVD4735HTXHVWIUDPH

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 0/0(473LQGLFDWRQ


 )XQFWLRQ

 7KLVSULPLWLYHLQGLFDWHVWKDWD4735HTXHVWIUDPHKDVEHHQUHFHLYHGIRUWKHTXLHWWLPHSHULRGRSHUDWLRQ


 6HPDQWLFVRIWKHVHUYLFHSULPLWLYH


 7KHSULPLWLYHSDUDPHWHUVDUHDVIROORZV
 0/0(473LQGLFDWLRQ


3HHU0$&$GGUHVV
 'LDORJ7RNHQ
 6WDWXV&RGH

 4XLHW3HULRG2IIVHW
 4XLHW3HULRG'XUDWLRQ

 4XLHW3HULRG,QWHUYDO
 5HSHWLWLRQ&RXQW

 6HUYLFH6SHFLILF,GHQWLILHU



 1DPH 7\SH 9DOLGUDQJH 'HVFULSWLRQ
 3HHU0$&$GGUHVV 0$&DGGUHVV $Q\YDOLGLQGLYLGXDOO\ 7KHDGGUHVVRIWKHSHHU
 DGGUHVVHG0$&DGGUHVV 0$&HQWLW\IURPZKLFK
 WKH4735HTXHVWIUDPHLV
 UHFHLYHG

 'LDORJ7RNHQ ,QWHJHU ± 7KHGLDORJWRNHQWR
 LGHQWLI\WKH4735HTXHVW
 IUDPH

 4XLHW3HULRG2IIVHW ,QWHJHU ± ,QGLFDWHVWKHRIIVHWRIWKH
 ILUVW473SHULRGIURPWKH
 7%77H[SUHVVHGLQ78V

4XLHW3HULRG'XUDWLRQ ,QWHJHU ± ,QGLFDWHVWKHGXUDWLRQRI

WKH473LQXQLWVRIȝV

 4XLHW3HULRG,QWHUYDO ,QWHJHU ± ,QGLFDWHVWKHUHTXHVWHG
 LQWHUYDOEHWZHHQWKHVWDUW
 RIWZRFRQVHFXWLYH473
 SHULRGVH[SUHVVHGLQ78V

 5HSHWLWLRQ&RXQW ,QWHJHU ± ,QGLFDWHVWKHQXPEHURI
 UHTXHVWHG473SHULRGV$
 UHSHWLWLRQFRXQWHTXDOWR
 LQGLFDWHVWKHVHWXSWLPHRI
 WKH473SHULRGLVIRUD
 RQHWLPHRSHUDWLRQ
 5HSHWLWLRQFRXQWHTXDOWR
 LQGLFDWHVWKHVHWXSRI
 WKH473SHULRGLV
 FDQFHOHG

 6HUYLFH6SHFLILF,GHQWLILHU ,QWHJHU ± ,QGLFDWHVDQLGHQWLILHU
 DVVLJQHGE\DSHHUWRSHHU
 DSSOLFDWLRQWRLGHQWLI\
 IUDPHH[FKDQJHVXVLQJ
 SHHUWRSHHUOLQNV

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 :KHQJHQHUDWHG


7KLVSULPLWLYHLVJHQHUDWHGE\WKH0/0(ZKHQD4735HTXHVWIUDPHLVUHFHLYHG


 (IIHFWRIUHFHLSW

 2QUHFHLSWRIWKLVSULPLWLYHWKH60(FRQVWUXFWVDQGWUDQVPLWVD4735HVSRQVHIUDPH


 0/0(473UHVSRQVH

 )XQFWLRQ


7KLVSULPLWLYHUHTXHVWVWKHWUDQVPLVVLRQRITXLHWWLPHSHULRGLQIRUPDWLRQWRDSHHUHQWLW\LQUHVSRQVHWRD

 4735HTXHVWIUDPHIRUWKHTXLHWWLPHSHULRGRSHUDWLRQ

 6HPDQWLFVRIWKHVHUYLFHSULPLWLYH


7KHSULPLWLYHSDUDPHWHUVDUHDVIROORZV

 0/0(473UHVSRQVH
 3HHU0$&$GGUHVV
 'LDORJ7RNHQ
 6WDWXV&RGH

4XLHW3HULRG2IIVHW

 4XLHW3HULRG'XUDWLRQ
 4XLHW3HULRG,QWHUYDO
 5HSHWLWLRQ&RXQW
 6HUYLFH6SHFLILF,GHQWLILHU




 1DPH 7\SH 9DOLGUDQJH 'HVFULSWLRQ

 3HHU0$&$GGUHVV 0$&DGGUHVV $Q\YDOLGLQGLYLGXDOO\ 7KHDGGUHVVRIWKHSHHU
 DGGUHVVHG0$&DGGUHVV 0$&HQWLW\IURPZKLFK
 WKH4735HTXHVWIUDPHLV
 UHFHLYHG

'LDORJ7RNHQ ,QWHJHU ± 7KHGLDORJWRNHQWR

LGHQWLI\WKH4735HTXHVW

IUDPH

 6WDWXV&RGH ,QWHJHU ± ,QGLFDWHVWKHVWDWXVRID
 UHTXHVWHGRSHUDWLRQ



















&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU


4XLHW3HULRG2IIVHW ,QWHJHU ± ,QGLFDWHVWKHRIIVHWRIWKH

ILUVW473SHULRGIURPWKH

7%77H[SUHVVHGLQ78V

 4XLHW3HULRG'XUDWLRQ ,QWHJHU ± ,QGLFDWHVWKHGXUDWLRQRI
 WKH473LQXQLWVRIȝV

 4XLHW3HULRG,QWHUYDO ,QWHJHU ± ,QGLFDWHVWKHUHVSRQGHG
 LQWHUYDOEHWZHHQWKHVWDUW
 RIWZRFRQVHFXWLYH473
 SHULRGVH[SUHVVHGLQ78V

 5HSHWLWLRQ&RXQW ,QWHJHU ± ,QGLFDWHVWKHQXPEHURI
 UHVSRQGHG473SHULRGV$
 UHSHWLWLRQFRXQWHTXDOWR
 LQGLFDWHVWKHVHWXSWLPHRI
 WKH473SHULRGLVIRUD
 RQHWLPHRSHUDWLRQ
 5HSHWLWLRQFRXQWHTXDOWR
 LQGLFDWHVWKHVHWXSRI
 WKH473SHULRGLV
 FDQFHOHG
 6HUYLFH6SHFLILF,GHQWLILHU ,QWHJHU ± ,QGLFDWHVDQLGHQWLILHU
 DVVLJQHGE\DSHHUWRSHHU
 DSSOLFDWLRQWRLGHQWLI\
 IUDPHH[FKDQJHVXVLQJ
 SHHUWRSHHUOLQNV


 :KHQJHQHUDWHG

 7KLVSULPLWLYHLVJHQHUDWHGE\WKH60(WRUHTXHVWWKDWD4735HVSRQVHIUDPHEHVHQWWRDSHHUHQWLW\DVD


UHVSRQVHWRDQ0/0(473LQGLFDWLRQSULPLWLYH

 (IIHFWRIUHFHLSW


 2QUHFHLSWRIWKLVSULPLWLYHWKH60(FRQVWUXFWVDQGWUDQVPLWVD4735HVSRQVHIUDPH

 0/0(473FRQILUP


 )XQFWLRQ

 7KLVSULPLWLYHUHSRUWVWKHUHVXOWRID473UHTXHVWWRVHQGD4735HVSRQVHIUDPHIRUWKHTXLHWWLPHSHULRG


RSHUDWLRQ

 6HPDQWLFVRIWKHVHUYLFHSULPLWLYH


 7KHSULPLWLYHSDUDPHWHUVDUHDVIROORZV
 0/0(473FRQILUP
 3HHU0$&$GGUHVV

 'LDORJ7RNHQ
 6WDWXV&RGH
 4XLHW3HULRG2IIVHW

 4XLHW3HULRG'XUDWLRQ
 4XLHW3HULRG,QWHUYDO


5HSHWLWLRQ&RXQW
 6HUYLFH6SHFLILF,GHQWLILHU

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU




 1DPH 7\SH 9DOLGUDQJH 'HVFULSWLRQ
 3HHU0$&$GGUHVV 0$&DGGUHVV $Q\YDOLGLQGLYLGXDOO\ 7KHDGGUHVVRIWKHSHHU
 DGGUHVVHG0$&DGGUHVV 0$&HQWLW\IURPZKLFK
 WKH4735HVSRQVHIUDPH
 LVUHFHLYHG

 'LDORJ7RNHQ ,QWHJHU ± 7KHGLDORJWRNHQWR
 LGHQWLI\WKH473
 5HVSRQVHIUDPH

 6WDWXV&RGH ,QWHJHU ± ,QGLFDWHVWKHVWDWXVRID
 UHTXHVWHGRSHUDWLRQ

4XLHW3HULRG2IIVHW ,QWHJHU ± ,QGLFDWHVWKHRIIVHWRIWKH

ILUVW473SHULRGIURPWKH

7%77H[SUHVVHGLQ78V

 4XLHW3HULRG'XUDWLRQ ,QWHJHU ± ,QGLFDWHVWKHGXUDWLRQRI
 WKH473LQXQLWVRIȝV

 4XLHW3HULRG,QWHUYDO ,QWHJHU ± ,QGLFDWHVWKHUHVSRQGHG
 LQWHUYDOEHWZHHQWKHVWDUW
 RIWZRFRQVHFXWLYH473
 SHULRGVH[SUHVVHGLQ78V

 5HSHWLWLRQ&RXQW ,QWHJHU ± ,QGLFDWHVWKHQXPEHURI
 UHVSRQGHG473SHULRGV$
 UHSHWLWLRQFRXQWHTXDOWR
 LQGLFDWHVWKHVHWXSWLPHRI
 WKH473SHULRGLVIRUD
 RQHWLPHRSHUDWLRQ
 5HSHWLWLRQFRXQWHTXDOWR
 LQGLFDWHVWKHVHWXSRI
 WKH473SHULRGLV
 FDQFHOHG
 6HUYLFH6SHFLILF,GHQWLILHU ,QWHJHU ± ,QGLFDWHVDQLGHQWLILHU
 DVVLJQHGE\DSHHUWRSHHU
 DSSOLFDWLRQWRLGHQWLI\
 IUDPHH[FKDQJHVXVLQJ
 SHHUWRSHHUOLQNV


 :KHQJHQHUDWHG


 7KLVSULPLWLYHLVJHQHUDWHGE\WKH0/0(ZKHQWKH67$UHFHLYHVD4735HVSRQVHIUDPHIURPWKH$3


 (IIHFWRIUHFHLSW

 7KH60(LVQRWLILHGRIWKHUHVXOWVRIWKH4735HTXHVWIUDPH



 3/0(6$3LQWHUIDFH


3/0(7;7,0(FRQILUP


 6HPDQWLFVRIWKHVHUYLFHSULPLWLYH


 Change the 2nd paragraph as follows:

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KH7;7,0(UHSUHVHQWVWKHWLPHLQPLFURVHFRQGVUHTXLUHGWRWUDQVPLWWKH33'8GHVFULEHGLQWKHFRUUH
 VSRQGLQJ3/0(7;7,0(UHTXHVWSULPLWLYH,IWKHFDOFXODWHGWLPHLQFOXGHVD IUDFWLRQDOPLFURVHFRQG DQG


WKH 7;9(&725 SDUDPHWHU )250$7 LQ WKH FRUUHVSRQGLQJ 3/0(7;7,0(UHTXHVW SULPLWLYH LV QRW

 +(B68+(B08+(B7%RU+(B(5B68DQRQ'0*67$URXQGVWKH7;7,0(YDOXHWRWKHQH[WKLJKHU
 LQWHJHU$QRQ'0*67$GRHVQRW URXQGWKH7;7,0( YDOXH XSRUGRZQLIWKH 7;9(&725SDUDPHWHU
 )250$7 LQ WKH FRUUHVSRQGLQJ 3/0(7;7,0(UHTXHVW SULPLWLYH LV +(B68 +(B08 +(B7% RU
 +(B(5B68$'0*67$GRHVQRWURXQGWKH7;7,0(YDOXHXSRUGRZQ VHH 7;7,0(FDOFXOD

WLRQ 

























































 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 3+<VHUYLFHVSHFLILFDWLRQ



 'HWDLOHG3+<VHUYLFHVSHFLILFDWLRQV

 %DVLFVHUYLFHDQGRSWLRQV


 3+<6$3LQWHU VXE OD\HUVHUYLFHSULPLWLYHV


 Insert a new last row in Table 8-2 as follows:


 7DEOH²3+<6$3LQWHU VXE OD\HUVHUYLFHSULPLWLYHV


 3ULPLWLYH 5HTXHVW ,QGLFDWLRQ &RQILUP

 3+<75,**(5 ; 



 3+<6$3VHUYLFHSULPLWLYHVSDUDPHWHUV


 Change Table 8-3 as follows (inserting the new row at the end of the table):


 7DEOH²3+<6$3VHUYLFHSULPLWLYHSDUDPHWHUV


 3DUDPHWHU $VVRFLDWHGSULPLWLYH 9DOXH

 67$7( 3+&&$LQGLFDWLRQ %86<>FKDQQHOOLVWSHUELWPDS@
 ,'/(>SHUELWPDS@

 75,*9(&725 3+<75,**(5UHTXHVW $VHWRISDUDPHWHUV



 9HFWRUGHVFULSWLRQV


 Change the 2nd and 3rd paragraph as follows:


 7KH&ODXVH +LJKWKURXJKSXW +7 3+<VSHFLILFDWLRQ +73+<7;9(&725DQG5;9(&725FRQWDLQ 
 DGGLWLRQDOSDUDPHWHUVUHODWHGWRWKHRSHUDWLRQRIWKH&ODXVH +LJKWKURXJKSXW +7 3+<VSHFLILFDWLRQ
 +73+<PRGHVRIRSHUDWLRQDVGHVFULEHGLQ +73+<VHUYLFHLQWHUIDFH ,QFHUWDLQPRGHVRIRSHUDWLRQ
 WKH'$7$5$7(SDUDPHWHULVUHSODFHGE\0&6&+B%$1':,'7+DQG*,B7<3(YDOXHV7KHPDSSLQJ

IURPWKHVHYDOXHVWRGDWDUDWHLVGHILQHGLQ 3DUDPHWHUVIRU+70&6V 


 7KH&ODXVH 9HU\KLJKWKURXJKSXW 9+7 3+<VSHFLILFDWLRQ 9+73+<7;9(&725DQG5;9(&725 
 FRQWDLQDGGLWLRQDOSDUDPHWHUVUHODWHGWRWKHRSHUDWLRQRIWKH&ODXVH 9HU\KLJKWKURXJKSXW 9+7 3+<


 VSHFLILFDWLRQ 9+73+<PRGHVRIRSHUDWLRQDVGHVFULEHGLQ 9+73+<VHUYLFHLQWHUIDFH ,QFHUWDLQ 
 PRGHV RI RSHUDWLRQ WKH '$7$5$7( SDUDPHWHU LV UHSODFHG E\ 0&6 &+B%$1':,'7+ 180B676
 67%&DQG*,B7<3(YDOXHV7KHPDSSLQJIURPWKHVHYDOXHVWRGDWDUDWHLVGHILQHG 3DUDPHWHUVIRU
 9+70&6V ZKHUH9+70&6LV0&6DQG166LV180B676 67%&


 Insert the following at the end of the subclause:

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KH+(3+<7;9(&725DQG5;9(&725FRQWDLQDGGLWLRQDOSDUDPHWHUVUHODWHGWRWKH+(3+<PRGHV
 RIRSHUDWLRQDVGHVFULEHGLQ +(3+<VHUYLFHLQWHUIDFH ,QFHUWDLQPRGHVRIRSHUDWLRQWKH'$7$

5$7(SDUDPHWHULVUHSODFHGE\0&6&+B%$1':,'7+58B$//2&$7,21180B67667%&*,B

 7<3(DQG'&0YDOXHV7KHPDSSLQJIURPWKHVHYDOXHVWRGDWDUDWHLVGHILQHGLQ 3DUDPHWHUVIRU+(
 0&6V ZKHUH+(0&6LV0&6DQG166LV180B676 67%& 

 7KH+(3+<75,*9(&725FRQWDLQVSDUDPHWHUVIRU8/08RSHUDWLRQ VHH7DEOH 75,*9(&725


SDUDPHWHUV 


 3+<6$3GHWDLOHGVHUYLFHVSHFLILFDWLRQ

 3+<'$7$UHTXHVW


 6HPDQWLFVRIWKHVHUYLFHSULPLWLYH

 Change the subclause as follows:



7KHSULPLWLYHSURYLGHVWKHIROORZLQJSDUDPHWHUV
 3+<'$7$UHTXHVW
 '$7$
 86(5B,1'(;
 67$B,1'(;



 7KH'$7$SDUDPHWHULVDQRFWHWRIYDOXH;

WR;
))


 7KH86(5B,1'(;SDUDPHWHU W\SLFDOO\LGHQWLILHGDVuIRUD9+767$VHH127(IRU08XVDJHDWWKHHQG


 RI7DEOH 7;9(&725DQG5;9(&725SDUDPHWHUV LVSUHVHQWIRUD9+70833'8DQGLQGLFDWHV
 WKHLQGH[RIWKHXVHULQWKH7;9(&725WRZKLFKWKHDFFRPSDQ\LQJ'$7$RFWHWDSSOLHVRWKHUZLVHWKLV
 SDUDPHWHULVQRWSUHVHQW

 7KH 67$B,1'(; SDUDPHWHU LGHQWLILHG DV WKH 67$B,' SDUDPHWHU VHH 67$B,' SDUDPHWHU LQ 7DEOH

 7;9(&725DQG5;9(&725SDUDPHWHUV DQG 67$B,' LVSUHVHQWIRUDQ+(0833'8RWKHU
 ZLVHWKLVSDUDPHWHULVQRWSUHVHQW,IWKH7;9(&725SDUDPHWHU83/,1.B)/$*LVWKLVSDUDPHWHULQGL
 FDWHV WKH 67$ RU JURXS RI 67$V WKDW LV WKH UHFLSLHQW RI DQ 58 WR ZKLFK WKH DFFRPSDQ\LQJ '$7$ RFWHW
 DSSOLHV,IWKH7;9(&725SDUDPHWHU83/,1.B)/$*LVWKLVSDUDPHWHULQGLFDWHVWKH67$WKDWLV WKH
 WUDQVPLWWHURIDQ58WRZKLFKWKHDFFRPSDQ\LQJ'$7$RFWHWDSSOLHV


 3+<'$7$LQGLFDWLRQ

 6HPDQWLFVRIWKHVHUYLFHSULPLWLYH


 Change the subclause as follows:

 7KHSULPLWLYHSURYLGHVWKHIROORZLQJSDUDPHWHU
 3+<'$7$LQGLFDWLRQ
 '$7$

 67$B,1'(;


 7KH'$7$SDUDPHWHULVDQRFWHWRIYDOXH;

WR;
))



 7KH67$B,1'(;SDUDPHWHU LGHQWLILHGDVDQ$,'RIWKHWUDQVPLWWHURIWKH'$7$FRQWDLQHGLQDQ+(7%

 33'8VHH67$B,'SDUDPHWHULQ7DEOH 7;9(&725DQG5;9(&725SDUDPHWHUV LVSUHVHQWIRUDQ

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 +(7%33'8DQGLQGLFDWHVWKH67$RIDQ58IURPZKLFKWKHDFFRPSDQ\LQJ'$7$RFWHWDSSOLHVRWKHU
 ZLVHWKLVSDUDPHWHULVQRWSUHVHQW


 3+<&&$5(6(7UHTXHVW

 :KHQJHQHUDWHG


Insert the following after the 1st paragraph:


 7KLVSULPLWLYHLVDOVRJHQHUDWHGE\WKH0$&VXEOD\HUIRUWKHORFDO3+<HQWLW\ZKHQWKHVSDWLDOUHXVHFRQGL
 WLRQVGHILQHGLQ 6SDWLDOUHXVHRSHUDWLRQ DUHPHW


3+<&&$LQGLFDWLRQ


 6HPDQWLFVRIWKHVHUYLFHSULPLWLYH

 Change the 1st paragraph as follows:


 7KHSULPLWLYHSURYLGHVWKHIROORZLQJSDUDPHWHUV

 3+<&&$LQGLFDWLRQ
 67$7(

,3,5(3257

 FKDQQHOOLVW
 SHUELWPDS




































&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 Change Table 8-5 (The channel-list parameter elements) as follows (only modified rows shown):



7DEOH²7KHFKDQQHOOLVWSDUDPHWHUHOHPHQWV


 FKDQQHOOLVWHOHPHQW 0HDQLQJ

 SULPDU\ ,QDQ+767$WKDWLVQRWQHLWKHUD9+767$QRUDQ+(67$LQGLFDWHV
 WKDWWKHSULPDU\0+]FKDQQHOLVEXV\DFFRUGLQJWRWKHUXOHVVSHFLILHG
 LQ &&$(QHUJ\'HWHFW &&$(' 
 ,QD9+767$WKDWLVQRWDQ+(67$LQGLFDWHVWKDWWKHSULPDU\0+]
 FKDQQHOLVEXV\DFFRUGLQJWRWKHUXOHVVSHFLILHGLQ &&$VHQVL
 WLYLW\IRUVLJQDOVRFFXS\LQJWKHSULPDU\0+]FKDQQHO 
 ,QD79+767$LQGLFDWHVWKDWWKHSULPDU\FKDQQHOLVEXV\DFFRUGLQJWR
 WKHUXOHVVSHFLILHGLQ &&$VHQVLWLYLW\IRUVLJQDOVRFFXS\LQJ
 WKHSULPDU\FKDQQHO 
 ,QDQ+(67$LQGLFDWHVWKDWWKHSULPDU\0+]FKDQQHOLVEXV\DFFRUG
 LQJWRWKHUXOHVVSHFLILHGLQ &&$VHQVLWLYLW\IRUWKHSULPDU\
 0+]FKDQQHO 

 VHFRQGDU\ ,QDQ+767$WKDWLVQRWQHLWKHUD9+767$QRUDQ+(67$LQGLFDWHV
 WKDWWKHVHFRQGDU\FKDQQHOLVEXV\DFFRUGLQJWRWKHUXOHVVSHFLILHGLQ
  &&$VHQVLWLYLW\LQ0+] 
 ,QD9+767$WKDWLVQRWDQ+(67$LQGLFDWHVWKDWWKHVHFRQGDU\0+]
 FKDQQHOLVEXV\DFFRUGLQJWRWKHUXOHVVSHFLILHGLQ &&$VHQVL
 WLYLW\IRUVLJQDOVQRWRFFXS\LQJWKHSULPDU\0+]FKDQQHO 
 ,QD79+767$LQGLFDWHVWKDWWKHVHFRQGDU\FKDQQHOLVEXV\DFFRUGLQJWR
 WKHUXOHVVSHFLILHGLQ &&$VHQVLWLYLW\IRUVLJQDOVQRWRFFXS\
 LQJWKHSULPDU\FKDQQHO 
 ,QDQ+(67$LQGLFDWHVWKDWWKHVHFRQGDU\0+]FKDQQHOLVEXV\
 DFFRUGLQJWRWKHUXOHVVSHFLILHGLQ &&$VHQVLWLYLW\IRUVLJQDOV
 QRWRFFXS\LQJWKHSULPDU\0+]FKDQQHO 

 VHFRQGDU\ ,QD9+767$WKDWLVQRWDQ+(67$LQGLFDWHV,QGLFDWHVWKDWWKHVHFRQG
 DU\0+]FKDQQHOLVEXV\DFFRUGLQJWRWKHUXOHVVSHFLILHGLQ
 &&$VHQVLWLYLW\IRUVLJQDOVQRWRFFXS\LQJWKHSULPDU\0+]FKDQQHO 
 ,QD79+767$LQGLFDWHVWKDWWKHVHFRQGDU\79+7B:FKDQQHOLVEXV\
 DFFRUGLQJWRWKHUXOHVVSHFLILHGLQ &&$VHQVLWLYLW\IRUVLJQDOV
 QRWRFFXS\LQJWKHSULPDU\FKDQQHO 
 ,QDQ+(67$LQGLFDWHVWKDWWKHVHFRQGDU\0+]FKDQQHOLVEXV\
 DFFRUGLQJWRWKHUXOHVVSHFLILHGLQ &&$VHQVLWLYLW\IRUVLJQDOV
 QRWRFFXS\LQJWKHSULPDU\0+]FKDQQHO 

 VHFRQGDU\ ,QD9+767$WKDWLVQRWDQ+(67$LQGLFDWHV,QGLFDWHVWKDWWKHVHFRQG
 DU\0+]FKDQQHOLVEXV\DFFRUGLQJWRWKHUXOHVVSHFLILHGLQ
 &&$VHQVLWLYLW\IRUVLJQDOVQRWRFFXS\LQJWKHSULPDU\0+]FKDQQHO 
 ,QDQ+(67$LQGLFDWHVWKDWWKHVHFRQGDU\0+]FKDQQHOLVEXV\
 DFFRUGLQJWRWKHUXOHVVSHFLILHGLQ &&$VHQVLWLYLW\IRUVLJQDOV
 QRWRFFXS\LQJWKHSULPDU\0+]FKDQQHO 



 Insert the following at the end of the subclause:

 ,I WKH 67$ LV DQ +( 67$ ZLWK DQ RSHUDWLQJ FKDQQHO ZLGWK JUHDWHU WKDQ  0+] WKHQ WKH SHUELWPDS


SDUDPHWHULVSUHVHQWRWKHUZLVHLWLVDEVHQW,ISUHVHQWWKHSHUELWPDSSDUDPHWHULVDELWPDSZKHUHHDFKELW

 UHSUHVHQWV WKH EXV\LGOH VWDWXV RI D  0+] VXEFKDQQHO LQ WKH RSHUDWLQJ FKDQQHO ZLGWK DV GHILQHG LQ

  3HU0+]&&$VHQVLWLYLW\ 

 :KHQJHQHUDWHG


 Change the 1st paragraph and remove the note as follows:

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 )RU&ODXVH '6663+<VSHFLILFDWLRQIRUWKH*+]EDQGGHVLJQDWHGIRU,60DSSOLFDWLRQV WR&ODXVH


 'LUHFWLRQDOPXOWLJLJDELW '0* 3+<VSHFLILFDWLRQ 3+<VWKLVSULPLWLYHLVJHQHUDWHGZLWKLQD&&$7LPH

RIWKHRFFXUUHQFHRIDFKDQJHLQWKHVWDWXVRIWKHSULPDU\FKDQQHOIURPFKDQQHOLGOHWRFKDQQHOEXV\RUIURP 

 FKDQQHOEXV\WRFKDQQHOLGOHRUZKHQWKHHQWULHVRIWKHFKDQQHOOLVWSDUDPHWHUFKDQJH)RU&ODXVHDQG 
 &ODXVH3+<VWKLVSULPLWLYHLVJHQHUDWHGZKHQWKHVWDWXVRIWKHFKDQQHO V FKDQJHVIURPFKDQQHOLGOHWR 
 FKDQQHOEXV\RUIURPFKDQQHOEXV\WRFKDQQHOLGOHRUZKHQWKHHQWULHVRIWKHFKDQQHOOLVWSDUDPHWHUFKDQJH
 7KLVLQFOXGHVWKHSHULRGRIWLPHZKHQWKH3+<LVUHFHLYLQJGDWD)RU&ODXVH3+<VWKLVSULPLWLYHLVJHQ

HUDWHGZKHQWKHVWDWXVRIWKHFKDQQHO V FKDQJHVIURPFKDQQHOLGOHWRFKDQQHOEXV\RUIURPFKDQQHOEXV\WR 

 FKDQQHO LGOH ZKHQ WKH HQWULHV RI WKH FKDQQHOOLVW SDUDPHWHU FKDQJH RU ZKHQ WKH SHUELWPDS SDUDPHWHU
 FKDQJHV 7KH WLPLQJ RI 3+<&&$LQGLFDWLRQ SULPLWLYHV UHODWHG WR WUDQVLWLRQV RQ VHFRQGDU\ FKDQQHO V  LV
 3+<VSHFLILF5HIHUWRVSHFLILF3+<FODXVHVIRUGHWDLOVDERXW&&$EHKDYLRUIRUDJLYHQ3+<

 127(²)RUWKH9+73+<WKHWLPLQJLQIRUPDWLRQLVRPLWWHGKHUHDQGLVGHILQHGLQ

 Insert a new subclause 8.3.5.16 at the end of 8.3.5:


3+<75,**(5UHTXHVW


 )XQFWLRQ

 7KLVSULPLWLYHLVDUHTXHVWE\WKH 0$&VXEOD\HUWRWKHORFDO 3+< HQWLW\WRVHW SDUDPHWHUVIRUWKH UHFHLSW RI +( 7%

 33'8


6HPDQWLFVRIWKHVHUYLFHSULPLWLYH


 7KHSULPLWLYHSURYLGHVWKHIROORZLQJSDUDPHWHU

3+<75,**(5UHTXHVW

 75,*9(&725
 

 7KH75,*9(&725SDUDPHWHUSURYLGHVWKH3+<ZLWKWKHLQIRUPDWLRQQHHGHGWRGHPRGXODWHRIWKHH[SHFWHG+(7%

 33'8V

 :KHQJHQHUDWHG

 7KLVSULPLWLYHLVLVVXHGE\WKH0$&VXEOD\HUWRWKH3+<HQWLW\DIWHULVVXLQJ3+<7;67$57UHTXHVWDQGEHIRUHUHFHLY
 LQJ+(7%33'8


(IIHFWRIUHFHLSW


 7KHHIIHFWRIUHFHLSWRIWKLVSULPLWLYHE\WKH3+<HQWLW\LVWRFRQILJXUHUHFHLYHUPRGXOHZLWKSDUDPHWHUVLQ75,*9(&
 725EHIRUH+(7%33'8VDUULYDO


















&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU



































































 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 )UDPHIRUPDWV


 0$&IUDPHIRUPDWV


 )UDPHILHOGV

 )UDPH&RQWUROILHOG


 7\SHDQG6XEW\SHVXEILHOGV

 Change Table 9-1 (Valid type and subtype combinations) as follows:



 7DEOH²9DOLGW\SHDQGVXEW\SHFRPELQDWLRQV


 7\SHYDOXH 7\SH 6XEW\SHYDOXH
6XEW\SHGHVFULSWLRQ
 %% GHVFULSWLRQ %%%%

  &RQWURO ± 5HVHUYHG

 &RQWURO  7ULJJHU

  &RQWURO  9+7+(1'3$QQRXQFHPHQW



 0RUH'DWDVXEILHOG


 Change paragraphs 3-4 as follows:

 $Q$3RSWLRQDOO\VHWVWKH0RUH'DWDVXEILHOGWRLQ$FNIUDPHVVHQWWRDQRQ'0*DQGQRQ6*QRQ+( 
 67$DQGLQ$FN%ORFN$FNDQG0XOWL67$%ORFN$FNIUDPHVVHQWWRDQ+(67$$Q+($3LQGLFDWHVWKDW

 LWVXSSRUWVVHWWLQJWKH0RUH'DWDVXEILHOGWRLQWKHVHFRQWUROUHVSRQVHIUDPHVE\VHWWLQJWKH0RUH'DWD$FN

 VXEILHOGWRLQWKH4R6,QIRILHOGRIHOHPHQWVLWLQFOXGHVLQIUDPHVWUDQVPLWWHGWRWKH67$

 7KH$3FDQVHWWKH0RUH'DWDVXEILHOGWRWRLQGLFDWHWKDWLWKDVDSHQGLQJWUDQVPLVVLRQIRUWKH67$LILW


IURPZKLFKLWKDVUHFHLYHGDIUDPHWKDWFRQWDLQVD4R6&DSDELOLW\HOHPHQW4R6,QIRILHOGLQZKLFKWKH0RUH
 'DWD$FNVXEILHOGLVHTXDOWRIURPWKH67$DQGWKDWKDVRQHRUPRUH$&VWKDWDUHGHOLYHU\HQDEOHGDQG 
 WKDWLVLQ36PRGHWRLQGLFDWHWKDWWKH$3KDVDSHQGLQJWUDQVPLVVLRQIRUWKH67$RQHRIWKHIROORZLQJFRQ
 GLWLRQVLVWUXH

 ² 7KH67$LVLQ36PRGHDQGKDVRQHRUPRUH$&VWKDWDUHGHOLYHU\HQDEOHG VHH $3RSHUD
 WLRQGXULQJWKH&3 

² 7KH67$LVLQ36PRGHDQGLVD7:7UHTXHVWHURUD7:7VFKHGXOHG67$ VHH 7:7RSHUD

 WLRQ

 $7'/6SHHU67$RSWLRQDOO\VHWVWKH0RUH'DWDVXEILHOGWRLQ$FNIUDPHVVHQWWRDQRQ+(67$DQGLQ
 $FN%ORFN$FNDQG0XOWL67$%ORFN$FNIUDPHVVHQWWRDQ+(67$$Q+(7'/6SHHU67$LQGLFDWHV

 WKDWLWVXSSRUWVVHWWLQJWKH0RUH'DWDVXEILHOGWRLQWKHVHFRQWUROUHVSRQVHIUDPHVE\VHWWLQJWKH0RUH'DWD
 $FNVXEILHOGWRLQWKH4R6,QIRILHOGRIWKH4R6&DSDELOLW\HOHPHQWLWLQFOXGHVLQIUDPHVWUDQVPLWWHGWRWKH
 67$


7KH7'/6SHHU67$FDQVHWWKH0RUH'DWDVXEILHOGWRWRLQGLFDWHWKDWLWKDVSHQGLQJWUDQVPLVVLRQIRUWKH

 67$LILWKDVUHFHLYHGIURPWKH67$D7'/66HWXS5HTXHVWIUDPHRU7'/66HWXS5HVSRQVHIUDPHWKDWKDV
 7'/6SHHU360HQDEOHGDQGWKDWKDVWKH0RUH'DWD$FNVXEILHOGHTXDOWRLQWKH4R6,QIRILHOGRIWKH

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 4R6&DSDELOLW\HOHPHQWRILWVWUDQVPLWWHG7'/66HWXS5HTXHVWIUDPHRU7'/66HWXS5HVSRQVHIUDPHWR 
 LQGLFDWHWKDWLWKDVDSHQGLQJWUDQVPLVVLRQIRUWKH67$DQGRQHRIWKHIROORZLQJFRQGLWLRQVLVWUXH

 ² 7KH67$KDV7'/6SHHU360HQDEOHG VHH $3RSHUDWLRQ
 ² 7KH67$LVLQ36PRGHDQGLVD7:7UHTXHVWHURUD7:7VFKHGXOHG67$ VHH 7:7RSHUD


WLRQ 

 +7&VXEILHOG

 Change as follows:


 7KH+7&VXEILHOGLVELWLQOHQJWK7KHVHWWLQJRIWKHVXEILHOGLVDVIROORZV
 ² ,WLVVHWWRLQD4R6'DWDRU0DQDJHPHQWIUDPHWUDQVPLWWHGZLWKWKH)250$7SDUDPHWHURIWKH

7;9(&725VHWWR+7B*)+7B0)9+7RU6*IRUWRLQGLFDWHWKDWWKHIUDPHFRQWDLQVDQ+7 

 &RQWUROILHOG
 ² ,WLVVHWWRLQDQ576IUDPHWUDQVPLWWHGZLWKWKH)250$7SDUDPHWHURIWKH7;9(&725VHWWR 
 6* WR LQGLFDWH WKDW WKH LQWHQGHG UHFLSLHQW RI WKH IUDPH KDV SHUPLVVLRQ WR H[WHQG WKH 7;23 DV

 GHVFULEHGLQ 5HOD\VKDUHG7;23SURWHFWLRQPHFKDQLVPV 
 ² ,WLVVHWWRLQD4R6'DWDRU0DQDJHPHQWIUDPHWUDQVPLWWHGE\D&00*67$WRLQGLFDWHWKDWWKH
 IUDPHFRQWDLQVD&00*YDULDQW+7&RQWUROILHOG

 ² ,WLVVHWWRLQD4R6'DWD4R61XOORU0DQDJHPHQWIUDPHWUDQVPLWWHGE\DQ+(67$WRDQRWKHU
 +(67$WRLQGLFDWHWKDWWKHIUDPHFRQWDLQVDQ+7&RQWUROILHOG

 2WKHUZLVHWKH+7&VXEILHOGLVVHWWR

 127(²7KH+7&VXEILHOGLVDOZD\VVHWWRIRUIUDPHVWUDQVPLWWHGE\D'0*67$


$GGUHVVILHOGV


 '$ILHOG

 Change as follows:


 7KH'$ILHOGFRQWDLQVDQ,(((0$&LQGLYLGXDORUJURXSDGGUHVVWKDWLGHQWLILHVWKH0$&HQWLW\RUHQWLWLHV
 LQWHQGHGDVWKHILQDOUHFLSLHQW V RIWKH06'8 RUIUDJPHQWWKHUHRI RU$06'8 RUIUDJPHQWWKHUHRI DV
 GHILQHGLQFRQWDLQHGLQWKHIUDPHERG\ILHOG


 6$ILHOG

 Change as follows:

 7KH6$ILHOGFRQWDLQVDQ,(((0$&LQGLYLGXDODGGUHVVWKDWLGHQWLILHVWKH0$&HQWLW\IURPZKLFKWKHWUDQV

 IHURIWKH06'8 RUIUDJPHQWWKHUHRI RU$06'8 RUIUDJPHQWWKHUHRI DVGHILQHGLQFRQWDLQHGLQ
 WKH IUDPH ERG\ ILHOG ZDV LQLWLDWHG 7KH ,QGLYLGXDO*URXS ELW LV DOZD\V WUDQVPLWWHG DV D  LQ WKH VRXUFH
 DGGUHVV

 4R6&RQWUROILHOG


 7,'VXEILHOG

 Change the 1st paragraph as follows:


 7KH7,'VXEILHOGLGHQWLILHVWKH7&RU76WRZKLFKWKHFRUUHVSRQGLQJ06'8 RUIUDJPHQWWKHUHRI RU$
 06'8 RUIUDJPHQWWKHUHRI LQWKH)UDPH%RG\ILHOGEHORQJV7KH7,'VXEILHOGDOVRLGHQWLILHVWKH7&RU76


 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 RIWUDIILFIRUZKLFKD7;23LVEHLQJUHTXHVWHGWKURXJKWKHVHWWLQJRI7;23GXUDWLRQUHTXHVWHGRUTXHXH
 VL]H7KHHQFRGLQJRIWKH7,'VXEILHOGGHSHQGVRQWKHDFFHVVSROLF\ VHH 763(&HOHPHQW DQGLV

VKRZQLQ7DEOH 7,'VXEILHOG $GGLWLRQDOLQIRUPDWLRQRQWKHLQWHUSUHWDWLRQRIWKHFRQWHQWVRIWKLVILHOG 

 DSSHDUVLQ ,QWHUSUHWDWLRQRISULRULW\SDUDPHWHULQ0$&VHUYLFHSULPLWLYHV 

 $FN3ROLF\,QGLFDWRUVXEILHOG


Change Table 9-13 (Ack policy) as follows (only relevant rows shown):



 7DEOH²$FNSROLF\


 %LWVLQ4R6
 $FNSROLF\ &RQWUROILHOG
2WKHUFRQGLWLRQV 0HDQLQJ

 %LW %LW

 1R   %LWRIWKH)UDPH&RQ 7KHUH PLJKW EH D UHVSRQVH IUDPH WR WKH IUDPH WKDW LV
 ([SOLFLW WUROILHOG VHH UHFHLYHGEXWLWLVQHLWKHUWKH$FNIUDPHQRUDQ\'DWDIUDPH
 $FNQRZO 7\SHDQG6XEW\SHVXE RIVXEW\SH&)$FN
 HGJPHQW ILHOGV LVHTXDOWRDQG 7KLV DFN SROLF\ LV XVHG IRU 4R6 &)3ROO DQG 4R6 &)$FN 
 WKHIUDPHLVQRWFDUULHG &)3ROO'DWDIUDPHV
 LQDQ+(0833'8
 +(6833'8RU+((5 127(²%LWRIWKH)UDPH&RQWUROILHOG VHH 7\SH
 6833'8WKDWFRQWDLQV DQG 6XEW\SH VXEILHOGV  LQGLFDWHV WKH DEVHQFH RI D )UDPH
 DIUDPHWKDWVROLFLWVD %RG\ILHOGLQD4R6'DWDIUDPH:KHQ,IHTXDOWRWKH4R6 
 UHVSRQVHLQDQ+(7% 'DWDIUDPHFRQWDLQVQR)UDPH%RG\ILHOGDQGDQ\UHVSRQVH
 33'8 LV JHQHUDWHG LQ UHVSRQVH WR D 4R6 &)3ROO RU 4R6 &)$FN
 &)3ROOIUDPHEXWGRHVQRWVLJQLI\DQDFNQRZOHGJPHQWRI
 GDWD

 3603$FN   %LWRIWKH)UDPH&RQ 7KH DFNQRZOHGJPHQW IRU D IUDPH LQGLFDWLQJ 3603 $FN 
 WUROILHOG VHH ZKHQ LW DSSHDUV LQ D 3603 GRZQOLQN WUDQVPLVVLRQ WLPH
 7\SHDQG6XEW\SHVXE 3603'77 LVWREHUHFHLYHGLQDODWHU3603XSOLQNWUDQV
 ILHOGV LVHTXDOWRDQG PLVVLRQWLPH 3603877 
 WKHIUDPHLVQRWFDUULHG 7KH DFNQRZOHGJPHQW IRU D IUDPH LQGLFDWLQJ 3603 $FN 
 LQDQ+(0833'8 ZKHQLWDSSHDUVLQD3603877LVWREHUHFHLYHGLQDODWHU
 +(6833'8RU+((5 3603'77
 6833'8WKDWFRQWDLQV 6HH 3603DFNQRZOHGJPHQWUXOHV 
 DIUDPHWKDWVROLFLWVD
 UHVSRQVHLQDQ+(7%
 33'8

 +73$FN   7KHIUDPHLVFDUULHGLQ 7KHDGGUHVVHGUHFLSLHQWUHWXUQVDQ$FN&RPSUHVVHG%ORFN
 DQ+(0833'8+( $FN RU 0XOWL67$ %ORFN$FN IUDPH FDUULHG LQ DQ +( 7% 
 6833'8RU+((568 33'8D6,)6DIWHUWKH33'8VXEMHFWWRUHFHSWLRQRID7ULJ
 33'8WKDWFRQWDLQVD JHUIUDPHRU756&RQWUROVXEILHOGLQWKH33'8DVGHILQHGLQ 
 IUDPHWKDWVROLFLWVD  $FNQRZOHGJPHQWSURFHGXUHIRU'/0833'8 
 UHVSRQVHLQDQ+(7% LQ08IRUPDW DQG 8/08RSHUDWLRQ 
 33'8



4XHXH6L]HVXEILHOG


 Replace 9.2.4.5.6 with the following:

 7KH4XHXH6L]HVXEILHOGLVDQELWILHOGWKDWLQGLFDWHVWKHDPRXQWRIEXIIHUHGWUDIILFIRUDJLYHQ7&RU76DW

WKHQRQ$3QRQ+(67$VHQGLQJWKHIUDPHWKDWFRQWDLQVWKLVVXEILHOGDQGWKHDPRXQWRIEXIIHUHGWUDIILFIRU

 DJLYHQ7&RU76DWWKHQRQ$3+(67$IRUWUDQVPLVVLRQWRWKH+(67$LGHQWLILHGE\WKHUHFHLYHUDGGUHVV
 RIWKHIUDPHWKDWFRQWDLQVWKLVVXEILHOG7KH4XHXH6L]HVXEILHOGLVSUHVHQWLQ4R6'DWDIUDPHVZLWKELWRI

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 WKH4R6&RQWUROILHOGVHWWRVHQWE\DQRQ$367$DQGLQ4R61XOOIUDPHVZLWKELWRIWKH4R6&RQWURO
 ILHOGVHWWRVHQWE\DQRQ$3+(67$7KH$3PLJKWXVHLQIRUPDWLRQFRQWDLQHGLQWKH4XHXH6L]HVXEILHOG


WRGHWHUPLQHWKH7;23GXUDWLRQDVVLJQHGWRWKH67$RUWRGHWHUPLQHWKH8/UHVRXUFHVDVVLJQHGWRWKHQRQ

 $3+(67$ VHH 8/08RSHUDWLRQ 

 ,IVHQWE\DQRQ+(67$RUVHQWWRDQRQ+(67$WKHIROORZLQJDSSO\

 ² 7KHTXHXHVL]HYDOXHLVWKHDSSUR[LPDWHWRWDOVL]HURXQGHGXSWRWKHQHDUHVWPXOWLSOHRIRFWHWV
 DQGH[SUHVVHGLQXQLWVRIRFWHWVRIDOO06'8VDQG$06'8VEXIIHUHGDWWKH67$ H[FOXGLQJ 
 WKH06'8RU$06'8RIWKHSUHVHQW4R6'DWDIUDPH LQWKHGHOLYHU\TXHXHXVHGIRU06'8VDQG 
 $06'8VZLWK7,'YDOXHVHTXDOWRWKHYDOXHLQWKH7,'VXEILHOGRIWKLV4R6&RQWUROILHOG

 ² $TXHXHVL]HYDOXHRILVXVHGVROHO\WRLQGLFDWHWKHDEVHQFHRIDQ\EXIIHUHGWUDIILFLQWKHTXHXHXVHG
 IRUWKHVSHFLILHG7,'
 ² $TXHXHVL]HYDOXHRILVXVHGIRUDOOVL]HVJUHDWHUWKDQRFWHWV

 ² $TXHXHVL]HYDOXHRILVXVHGWRLQGLFDWHDQXQVSHFLILHGRUXQNQRZQVL]H

 ,IVHQWE\DQRQ$3+(67$WRDQ+(67$WKHUHPDLQGHURIWKHVXEFODXVHDSSOLHV


 7KHTXHXHVL]HQSLVWKHDSSUR[LPDWHWRWDOVL]HLQRFWHWVRIDOO06'8VDQG$06'8VEXIIHUHGDWWKH67$

 LQFOXGLQJWKH06'8VRU$06'8VLQWKHVDPH36'8DVWKHIUDPHFRQWDLQLQJWKH4XHXH6L]HVXEILHOG LQ
 WKHGHOLYHU\TXHXHXVHGIRU06'8VDQG$06'8VZLWK7,'YDOXHVHTXDOWRWKHYDOXHLQWKH7,'VXEILHOG 
 RIWKLV4R6&RQWUROILHOG

 127(²7KHTXHXHVL]HLVEDVHGRQGDWDUHFHLYHGE\WKH67$DWWKH0$&6$3 0$81,7'$7$UHTXHVW 

 127(²%XIIHUHG06'8VDUHWKRVHWKDWKDYHEHHQUHFHLYHGLQDQ0$81,7'$7$UHTXHVWEXWWKDWKDYHQRWEHHQ

 VXFFHVVIXOO\WUDQVPLWWHGDQGKDYHQRWEHHQGLVFDUGHG

 7KH4XHXH6L]HVXEILHOGFRQVLVWVRID6FDOLQJ)DFWRUVXEILHOGLQ%±%RIWKH4R6&RQWUROVXEILHOGDQG 
 DQXQVFDOHGYDOXHUVLQ%±%RIWKH4R6&RQWUROVXEILHOG7KH6FDOLQJ)DFWRUVXEILHOGSURYLGHVWKH
 VFDOLQJIDFWRUSFZLWKDQHQFRGLQJWKDWLVVKRZQLQ7DEOHH 6FDOLQJ)DFWRUVXEILHOGHQFRGLQJ $QRQ































 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $3+(67$VHWVWKH4XHXH6L]HVXEILHOGLQD4R6IUDPHLWWUDQVPLWVDVVKRZQLQ7DEOHD 4XHXH6L]H
 VXEILHOGHQFRGLQJE\DQRQ$3+(67$ 



 7DEOHD²4XHXH6L]HVXEILHOGHQFRGLQJE\DQRQ$3+(67$


 4XHXH6L]HVXEILHOGV
 4XHXH6L]HQS
 6FDOLQJ
89
 )DFWRU

   

  &HLO QS  QS”
   QS”

  &HLO QS±  QS”

   QS”

  &HLO QS±  QS”
 

   QS”
  &HLO QS±  QS”
 

   QS!

   8QVSHFLILHGRUXQNQRZQ



 $Q+(67$REWDLQVWKHTXHXHVL]HQSIURPDUHFHLYHG4R6&RQWUROILHOGZKLFKFRQWDLQVDVFDOLQJIDFWRU


DQGDQXQVFDOHGYDOXHDVIROORZV


 ­
 °  u UV LIWKH6FDOLQJ)DFWRUVXEILHOGLV
 °    u UV LIWKH6FDOLQJ)DFWRUVXEILHOGLV
 °

°    u UV LIWKH6FDOLQJ)DFWRUVXEILHOGLV
QS ® D
 °    u UV LIWKH6FDOLQJ)DFWRUVXEILHOGLVDQG89VXEILHOGLV
 ° !LIWKH6FDOLQJ)DFWRUVXEILHOGLVDQG89VXEILHOGLV
 °
 ° UnspecifiedRUUnknownLIWKH6FDOLQJ)DFWRUVXEILHOGLVDQG89VXEILHOGLV
 ¯


 7KHTXHXHVL]HYDOXHRI4R6'DWDIUDPHVFRQWDLQLQJIUDJPHQWVPLJKWUHPDLQFRQVWDQWLQDOOIUDJPHQWVHYHQ
 LIWKHDPRXQWRITXHXHGWUDIILFFKDQJHVDVVXFFHVVLYHIUDJPHQWVDUHWUDQVPLWWHG VHH *HQHUDO 
 ,IWKH4R6'DWDIUDPHVFRQWDLQLQJIUDJPHQWVDUHFDUULHGLQDQ$03'8WKHTXHXHVL]HYDOXHVRIWKH03'8 
 FRQWDLQLQJWKHIUDJPHQWVDUHVHWDFFRUGLQJWRWKHUXOHVLQ $03'8FRQWHQWV 


 +7&RQWUROILHOG


 *HQHUDO


 Change the 1st and 2nd paragraphs as follows:

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KH+7&RQWUROILHOGLVDOZD\VSUHVHQWLQD&RQWURO:UDSSHUIUDPHDQGLVSUHVHQWLQ4R6'DWD4R61XOO
 DQG 0DQDJHPHQW IUDPHV DV GHWHUPLQHG E\ WKH +7& VXEILHOG RI WKH )UDPH &RQWURO ILHOG DV GHILQHG LQ


 +7&VXEILHOG 

 127(²7KHRQO\FRQWUROIUDPHVXEW\SHIRUZKLFK+7&RQWUROILHOGLVSUHVHQWLVWKH&RQWURO:UDSSHUIUDPH$&RQWURO
 IUDPH WKDW LV GHVFULEHG DV +7& HJ DQ 576+7& &76+7& %ORFN$FN+7& RU %ORFN$FN5HT+7& IUDPH 
 LPSOLHVWKHXVHRIWKH&RQWURO:UDSSHUIUDPHWRFDUU\WKDW&RQWUROIUDPH


7KHIRUPDWRIWKH+7&RQWUROILHOGWUDQVPLWWHGE\DQRQ&00*67$LVVKRZQLQ)LJXUH 1RQ&00*


 YDULDQW+7&RQWUROILHOGIRUPDW GHILQHGLQ7DEOHE +7&RQWUROILHOGIRUPDW 

 Remove Figure 9-11 (Non-CMMG variant HT Control field format).


Insert Table 9-13b (HT Control field format) as follows:



 7DEOHE²+7&RQWUROILHOGIRUPDW


 9DULDQW % % %±% % %

 +7  +7&RQWURO0LGGOH $&&RQVWUDLQW 5'*0RUH33'8

 9+7   9+7&RQWURO0LGGOH $&&RQVWUDLQW 5'*0RUH33'8
 +(   $&RQWURO



 Change the 3rd and 4th paragraphs as follows:


 7KH+7&RQWUROILHOGWUDQVPLWWHGE\DQRQ&00*67$KDVWZRIRUPVWKUHHYDULDQWVWKH+7YDULDQWDQG 
 WKH9+7YDULDQWDQGWKH+(YDULDQW7KHYDULDQWIRUPDWVDUHGLIIHUHQWLDWHGE\WKHYDOXHVRI%DQG%DV
 GHILQHGLQ7DEOHE +7&RQWUROILHOGIRUPDW 7KHWZRIRUPVGLIIHULQWKHIRUPDWRIWKH+7&RQWURO0LG
 GOHVXEILHOGGHVFULEHGLQ +7YDULDQW IRUWKH+7YDULDQWDQGLQ 9+7YDULDQW IRUWKH

9+7YDULDQWDQGLQWKHYDOXHRIWKH9+7VXEILHOG


 7KH+7&RQWURO0LGGOHVXEILHOGLVGHILQHGLQ +7YDULDQW DQGWKH9+7&RQWURO0LGGOHVXEILHOGLV
 GHILQHGLQ 9+7YDULDQW 7KH$&RQWUROVXEILHOGLVGHILQHGLQD +(YDULDQW 


7KH9+7VXEILHOGRIWKH+7&RQWUROILHOGLQGLFDWHVZKHWKHUWKH+7&RQWURO0LGGOHVXEILHOGLVWKH9+7 

 9DULDQWRUWKH+79DULDQW7KH9+7VXEILHOGLVVHWWRWRLQGLFDWHWKDWWKH+7&RQWURO0LGGOHVXEILHOGLV
 WKH9+79DULDQWDQGLVVHWWRWRLQGLFDWHWKDWWKH+7&RQWURO0LGGOHVXEILHOGLVWKH+79DULDQW

 9+7YDULDQW


 Change the paragraph below as follows:

 ,QDQRQ6*67$WKHIRUPDWRIWKH9+7&RQWURO0LGGOHVXEILHOGRIWKH9+7YDULDQW+7&RQWUROILHOGLV
 VKRZQLQ)LJXUH 9+7&RQWURO0LGGOHVXEILHOGRIWKH9+7YDULDQW+7&RQWUROILHOGIRUPDW 











 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 Change Figure 9-15 as follows (remove Reserved field and change title):



 % % %% %% %% %% % % %

 5HVHUYHG 054 06, 0)6, 0)% *,'+ &RGLQJ )%7[ 8QVROLFLWHG
67%& *,'/ 7\SH 7\SH 0)%

 %LWV         


 )LJXUH²9+7&RQWURO0LGGOHVXEILHOGRIWKH9+7YDULDQW+7&RQWUROILHOGIRUPDW


 Insert a new subclause following 9.2.4.6.3:


 D+(YDULDQW

 7KHIRUPDWRIWKH$&RQWUROVXEILHOGRIWKH+(YDULDQW+7&RQWUROILHOGLVVKRZQLQ)LJXUHD $&RQ
 WUROVXEILHOGRIWKH+(YDULDQW+7&RQWUROILHOGIRUPDW 





 &RQWURO/LVW 3DGGLQJ
 %LWV YDULDEOH RUPRUH


 )LJXUHD²$&RQWUROVXEILHOGRIWKH+(YDULDQW+7&RQWUROILHOGIRUPDW



7KH$&RQWUROVXEILHOGLVELWVLQOHQJWK


 7KH&RQWURO/LVWVXEILHOGFRQWDLQVRQHRUPRUH&RQWUROVXEILHOGV7KHIRUPDWRIHDFK&RQWUROVXEILHOGLV
 VKRZQLQ)LJXUHE &RQWUROVXEILHOGIRUPDW 



 %%

 &RQWURO,' &RQWURO,QIRUPDWLRQ
 %LWV  YDULDEOH


 )LJXUHE²&RQWUROVXEILHOGIRUPDW


 7KH&RQWURO,'VXEILHOGLQGLFDWHVWKHW\SHRILQIRUPDWLRQFDUULHGLQWKH&RQWURO,QIRUPDWLRQVXEILHOG7KH

 OHQJWK RI WKH &RQWURO ,QIRUPDWLRQ VXEILHOG LV IL[HG IRU HDFK YDOXH RI WKH &RQWURO ,' VXEILHOG WKDW LV QRW













&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 UHVHUYHG7KHYDOXHVRIWKH&RQWURO,'VXEILHOGDQGWKHDVVRFLDWHGOHQJWKRIWKH&RQWURO,QIRUPDWLRQVXEILHOG

 DUHGHILQHGLQ7DEOHD &RQWURO,'VXEILHOGYDOXHV 



 7DEOHD²&RQWURO,'VXEILHOGYDOXHV


 /HQJWKRIWKH
 &RQWURO,' &RQWURO &RQWHQWRIWKH&RQWURO
0HDQLQJ
 YDOXH ,QIRUPDWLRQ ,QIRUPDWLRQVXEILHOG
 VXEILHOG ELWV

  7ULJJHUHGUHVSRQVHVFKHGXOLQJ 756  6HHD 756&RQWURO
  2SHUDWLQJPRGH 20  6HHD 20&RQWURO

  +(OLQNDGDSWDWLRQ +/$  6HHD +/$&RQWURO

  %XIIHUVWDWXVUHSRUW %65  6HHD %65&RQWURO

  8/SRZHUKHDGURRP 83+  6HHD 83+&RQWURO

  %DQGZLGWKTXHU\UHSRUW %45  6HHD %45&RQWURO
  &RPPDQGDQGVWDWXV &$6  6HHD &$6&RQWURO

  5HVHUYHG

  2QHVQHHGH[SDQVLRQVXUHO\ 21(6  6HH +7&RQWUROILHOGRSHUD
 WLRQ



 7KH3DGGLQJVXEILHOGLISUHVHQWIROORZVWKHODVW&RQWUROVXEILHOGDQGLVVHWWRDVHTXHQFHRI]HURVVRWKDWWKH
 OHQJWKRIWKH$&RQWUROVXEILHOGFDUULHGLQWKH+7&RQWUROILHOGLVELWV


Insert a new subclause following 9.2.4.6 as follows:


 D&RQWUROVXEILHOGYDULDQWVRIDQ$&RQWUROVXEILHOG

 D756&RQWURO


 7KH&RQWURO,QIRUPDWLRQVXEILHOGLQD756&RQWUROVXEILHOGFRQWDLQVWULJJHUHGUHVSRQVHVFKHGXOLQJ 756 
 LQIRUPDWLRQIRUVROLFLWLQJDQ+(7%33'8WKDWIROORZVDQ+(0833'8+(6833'8RU+((568 
 33'8FDUU\LQJWKH&RQWUROVXEILHOG VHH 5XOHVIRUVROLFLWLQJ8/08IUDPHV 6HH $
 03'8FRQWHQWVLQDQ+(7%33'8 IRUGHWDLOVRQDOORZHGFRQWHQWLQDQ$03'8FDUULHGLQDQ+(7% 

33'87KHIRUPDWRIWKHVXEILHOGLVVKRZQLQ)LJXUHD &RQWURO,QIRUPDWLRQVXEILHOGIRUPDWLQD756

 &RQWUROVXEILHOG 



%% %% %% %% %% %

 8/'DWD 8/+(
 6\PEROV 58$OORFDWLRQ $37[3RZHU 8/7DUJHW566, 0&6 5HVHUYHG

 %LWV      

 )LJXUHD²&RQWURO,QIRUPDWLRQVXEILHOGIRUPDWLQD756&RQWUROVXEILHOG






 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KH 8/ 'DWD 6\PEROV VXEILHOG LQGLFDWHV WKH QXPEHU RI 2)'0 V\PEROV LQ WKH 'DWD ILHOG RI WKH +( 7%

 33'8UHVSRQVHDQGLVVHWWRWKHQXPEHURI2)'0V\PEROVPLQXV


 7KH58$OORFDWLRQVXEILHOGLQGLFDWHVWKHUHVRXUFHXQLW 58 DVVLJQHGIRUWUDQVPLWWLQJWKH+(7%33'8

 UHVSRQVHDQGWKHHQFRGLQJLVGHILQHGLQ7DEOHK %±%RIWKH58$OORFDWLRQVXEILHOG 


 7KH$37[3RZHUVXEILHOGLQGLFDWHVLQXQLWVRIG%PWKH$3¶VFRPELQHGWUDQVPLWSRZHUDWWKHDQWHQQDFRQ
 QHFWRUVRIDOOWKHWUDQVPLWDQWHQQDVXVHGWRWUDQVPLWWKHWULJJHULQJ33'8DQGQRUPDOL]HGWR0+]EDQG
 ZLGWK7KHWUDQVPLWSRZHUPTXLVFDOFXODWHGDVPTX ±îFValZKHUHFValLVWKHYDOXHRIWKH$37[

 3RZHUVXEILHOGH[FHSWIRUWKHYDOXHZKLFKLVUHVHUYHG


 7KH8/7DUJHW566,VXEILHOGLQGLFDWHVLQXQLWVRIG%PWKHH[SHFWHGUHFHLYHSRZHUDWWKH$3 LHDYHU
 DJHG566,RYHUDOOWKH$3¶VDQWHQQDV IRUWKH+(SRUWLRQRIWKH+(7%33'8WUDQVPLWWHGRQWKHDVVLJQHG
 587KHWDUJHWUHFHLYHSRZHULVFDOFXODWHGDVTargetRSSI ±îFValZKHUHFValLVWKHYDOXHRIWKH8/

 7DUJHW566,VXEILHOGH[FHSWWKDWWKHYDOXHLQGLFDWHVWRWKH67$WRWUDQVPLWDWPD[LPXPSRZHUIRUWKH

 DVVLJQHG+(0&6

 127(²,WLVSRVVLEOHWKDWD67$LVXQDEOHWRVDWLVI\WKHWDUJHW566,GXHWRLWVKDUGZDUHRUUHJXODWRU\OLPLWDWLRQ VHH
  3RZHUSUHFRUUHFWLRQ 

 7KH8/+(0&6VXEILHOGLQGLFDWHVWKH+(0&6LQWKHUDQJH+(0&6WRWREHXVHGE\WKHUHFHLYLQJ

 67$IRUWKH+(7%33'8LVVHWWRWKH+(0&6LQGH[ VHH 3DUDPHWHUVIRU+(0&6V 


 D20&RQWURO

 7KH&RQWURO,QIRUPDWLRQVXEILHOGLQDQ20&RQWUROVXEILHOGFRQWDLQVLQIRUPDWLRQUHODWHGWRWKHRSHUDWLQJ 

 PRGH 20  FKDQJH RI WKH 67$ WUDQVPLWWLQJ WKH IUDPH FRQWDLQLQJ WKLV LQIRUPDWLRQ VHH  2SHUDWLQJ
 PRGHLQGLFDWLRQ 7KHIRUPDWRIWKHVXEILHOGLVVKRZQLQ)LJXUHE &RQWURO,QIRUPDWLRQVXEILHOGIRUPDW
 LQDQ20&RQWUROVXEILHOG 



 %% %% % %% % % %

'/080,02
 5[166 &KDQQHO 8/08 7[1676 (568'LV 5HVRXQG 8/08'DWD
 :LGWK 'LVDEOH DEOH 'LVDEOH
5HFRPPHQGDWLRQ

 %LWV       

 )LJXUHE²&RQWURO,QIRUPDWLRQVXEILHOGIRUPDWLQDQ20&RQWUROVXEILHOG



 ,IWKHRSHUDWLQJFKDQQHOZLGWKRIWKH67$LVJUHDWHUWKDQ0+]WKHQWKH5[166VXEILHOGLQGLFDWHVWKH
 PD[LPXP QXPEHU RI VSDWLDO VWUHDPV NSS WKDW WKH 67$ VXSSRUWV LQ UHFHSWLRQ IRU 33'8 EDQGZLGWKV OHVV

WKDQRUHTXDOWR0+]DQGLVVHWWRNSS±,IWKHRSHUDWLQJFKDQQHOZLGWKRIWKH67$LVOHVVWKDQRUHTXDO

 WR0+]WKHQWKH5[166VXEILHOGLQGLFDWHVWKHPD[LPXPQXPEHURIVSDWLDOVWUHDPVNSSWKDWWKH67$ 
 VXSSRUWVLQUHFHSWLRQDQGLVVHWWRNSS±


,IWKHRSHUDWLQJFKDQQHOZLGWKRIWKH67$LVJUHDWHUWKDQ0+]WKHQWKHPD[LPXPQXPEHURIVSDWLDO

 VWUHDPVWKDWWKH67$VXSSRUWVLQUHFHSWLRQIRU33'8EDQGZLGWKVJUHDWHUWKDQ0+]LVGHILQHGLQ

 2SHUDWLQJPRGHLQGLFDWLRQ 


7KH&KDQQHO:LGWKVXEILHOGLQGLFDWHVWKHRSHUDWLQJFKDQQHOZLGWKVXSSRUWHGE\WKH67$IRUERWKUHFHSWLRQ

 DQG WUDQVPLVVLRQ ,W LV VHW WR  IRU 0+]  IRU SULPDU\ 0+]  IRU SULPDU\ 0+] DQG  IRU
 0+]DQG0+]7KHYDOXHLQGLFDWHVDSULPDU\0+]XQOHVVWKH67$LVDQ+(66767$LQ 

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ZKLFKFDVHLWLQGLFDWHVDQ\RIWKHQHJRWLDWHG0+]VXEFKDQQHOVRIWKH667RSHUDWLRQ VHH +(VXE


 FKDQQHOVHOHFWLYHWUDQVPLVVLRQ 


 7KHDOORZHG8/08RSHUDWLRQVDQGIUDPHW\SHVWKDWFDQEHWUDQVPLWWHGDVDUHVSRQVHWRD7ULJJHUIUDPHRU
 DIUDPHFDUU\LQJD756&RQWUROVXEILHOGDUHGHWHUPLQHGE\WKH8/08'LVDEOHVXEILHOG8/08'DWD'LV

DEOHVXEILHOGDQGWKHUHFLSLHQW
VVHWWLQJRIWKH20&RQWURO8/08'DWD'LVDEOH5;6XSSRUWVXEILHOGLQWKH

 +(&DSDELOLWLHVHOHPHQWDVLQGLFDWHGLQ7DEOHD 8/08'LVDEOHDQG8/08'DWD'LVDEOHVXEILHOGV
 HQFRGLQJ 


 ,IWKH20&RQWUROILHOGLVWUDQVPLWWHGE\DQ+($3WKHQWKH8/08'LVDEOHDQG8/08'DWD'LVDEOHVXE
 ILHOGVDUHUHVHUYHG


 7DEOHD²8/08'LVDEOHDQG8/08'DWD'LVDEOHVXEILHOGVHQFRGLQJ


 8/08 ,QWHUSUHWDWLRQE\DQ$3WKDW ,QWHUSUHWDWLRQE\DQ$3WKDW
 8/08
'DWD WUDQVPLWVDYDOXHRILQWKH20 WUDQVPLWVDYDOXHRILQWKH20
 'LVDEOH
'LVDEOH &RQWURO8/08'DWD'LVDEOH5; &RQWURO8/08'DWD'LVDEOH5;
 VXEILHOG
VXEILHOG 6XSSRUW 6XSSRUW

   $OOWULJJHUEDVHG8/08WUDQVPLV $OOWULJJHUEDVHG8/08WUDQVPLV
 VLRQVDUHHQDEOHGE\WKH67$DV VLRQVDUHHQDEOHGE\WKH67$DV
 GHILQHGLQ 8/08RSHUDWLRQ  GHILQHGLQ 8/08RSHUDWLRQ 

   1$ 7ULJJHUEDVHG8/08'DWDIUDPH
 WUDQVPLVVLRQVLQUHVSRQVHWRD%DVLF
 7ULJJHUIUDPHDUHVXVSHQGHGE\WKH
 67$DVGHILQHGLQ 7UDQVPLW
 RSHUDWLQJPRGH 720 LQGLFDWLRQ 

 2WKHUWULJJHUEDVHG8/08WUDQVPLV
 VLRQVUHPDLQHQDEOHGE\WKH67$DV
 GHILQHGLQ 7UDQVPLWRSHUDWLQJ
 PRGH 720 LQGLFDWLRQ 

   $OOWULJJHUEDVHG8/08WUDQVPLV $OOWULJJHUEDVHG8/08WUDQVPLV
 VLRQVDUHVXVSHQGHGE\WKH67$ VLRQVDUHVXVSHQGHGE\WKH67$

 7KH67$ZLOOQRWUHVSRQGWRD 7KH67$ZLOOQRWUHVSRQGWRD
 UHFHLYHG7ULJJHUIUDPHRU03'8FRQ UHFHLYHG7ULJJHUIUDPHRU03'8FRQ
 WDLQLQJD756&RQWUROVXEILHOG WDLQLQJD756&RQWUROVXEILHOG

   5HVHUYHG 5HVHUYHG



 7KH7[1676VXEILHOGLQGLFDWHVWKHPD[LPXPQXPEHURIVSDFHWLPHVWUHDPVNSTSWKDWWKH67$VXSSRUWV
 LQWUDQVPLVVLRQDQGLVVHWWRNSTS±


 $QRQ$3+(67$VHWVWKH(568'LVDEOHVXEILHOGWRWRLQGLFDWHWKDWWRQH+((56833'8UHFHS
 WLRQLVGLVDEOHGDQGWRWRLQGLFDWHWKDWWRQH+((56833'8UHFHSWLRQLVHQDEOHG,IWKH20&RQWURO
 ILHOGLVWUDQVPLWWHGE\DQ+($3WKHQWKH(568'LVDEOHVXEILHOGLVUHVHUYHG


 $ QRQ$3+( 67$ VHWVWKH'/ 080,025HVRXQG 5HFRPPHQGDWLRQVXEILHOGWR WRLQGLFDWHWKDW WKH
 67$VXJJHVWVWKDWWKH$3HLWKHUUHVRXQGWKHFKDQQHORULQFUHDVHWKHFKDQQHOVRXQGLQJIUHTXHQF\ZLWKWKH

67$7KHVXEILHOGLVVHWWRWRLQGLFDWHWKDWWKHQRQ$3+(67$KDVQRUHFRPPHQGDWLRQRQWKH$3FKDQQHO

 VRXQGLQJIUHTXHQF\,IWKH20&RQWUROILHOGLVWUDQVPLWWHGE\DQ+($3WKHQWKH'/080,025HVRXQG
 5HFRPPHQGDWLRQVXEILHOGLVUHVHUYHG

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 D+/$&RQWURO


7KH&RQWURO,QIRUPDWLRQVXEILHOGLQDQ+/$&RQWUROVXEILHOGFRQWDLQVLQIRUPDWLRQUHODWHGWRWKH+(OLQN 

 DGDSWDWLRQ +/$ SURFHGXUH VHH /LQNDGDSWDWLRQXVLQJWKH+/$&RQWUROVXEILHOG 7KHIRUPDWRI
 WKHVXEILHOGLVVKRZQLQ)LJXUHF &RQWURO,QIRUPDWLRQVXEILHOGIRUPDWLQDQ+/$&RQWUROVXEILHOG 



 % % %% %% % %%
 8QVROLFLWHG 58
 054 166 +(0&6 '&0
0)% $OORFDWLRQ

 %LWV      



 %% %% % % %

 06,3DUWLDO
%: 33'8 7[%HDP 8/+(7% 5HVHUYHG
 3DUDPHWHUV
IRUPLQJ 33'80)%

 %LWV     


)LJXUHF²&RQWURO,QIRUPDWLRQVXEILHOGIRUPDWLQDQ+/$&RQWUROVXEILHOG



 7KH+/$&RQWUROVXEILHOGVDUHGHILQHGLQ7DEOHE +/$&RQWUROVXEILHOGV 



7DEOHE²+/$&RQWUROVXEILHOGV


 6XEILHOG 0HDQLQJ 'HILQLWLRQ

 8QVROLFLWHG0)% 8QVROLFLWHG0)%LQGLFD 6HWWRLIWKH+/$&RQWUROLVDQXQVROLFLWHG0)%
 WRU 6HWWRLIWKH+/$&RQWUROLVDQ054RUDVROLFLWHG
 0)%

 054 +/$IHHGEDFNUHTXHVW 6HWWRDQGVHW8QVROLFLWHG0)%VXEILHOGWRWR
 LQGLFDWRU UHTXHVWDQ+/$IHHGEDFN
 6HWWRDQGVHW8QVROLFLWHG0)%VXEILHOGWRWR
 UHVSRQGDQ+/$UHTXHVW
 ,IWKH8QVROLFLWHG0)%VXEILHOGLVWKH054VXE
 ILHOGLVUHVHUYHG

 166 5HFRPPHQGHGQXPEHURI ,IWKH8QVROLFLWHG0)%VXEILHOGLVDQGWKH8/+(
 VSDWLDOVWUHDP 7%33'80)%VXEILHOGLVRULIWKH8QVROLFLWHG
 0)%VXEILHOGLVDQGWKH054VXEILHOGLVWKH
 166VXEILHOGLQGLFDWHVWKHUHFRPPHQGHGQXPEHURI
 VSDWLDOVWUHDPVWRWKH33'8VHQWWRWKH67$NSSDQG
 LVVHWWRNSS±

 ,IWKH8QVROLFLWHG0)%VXEILHOGLVDQGWKH8/+(
 7%33'80)%VXEILHOGLVWKH166VXEILHOGLQGL
 FDWHVWKHUHFRPPHQGHGQXPEHURIVSDWLDOVWUHDPVWR
 WKH+(7%33'8VHQWIURPWKH67$NSSDQGLVVHW
 WRNSS±

 2WKHUZLVHWKLVVXEILHOGLVUHVHUYHG





&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOHE²+/$&RQWUROVXEILHOGV(continued)


 6XEILHOG 0HDQLQJ 'HILQLWLRQ

 +(0&6 5HFRPPHQGHG+(0&6 ,IWKH8QVROLFLWHG0)%VXEILHOGLVDQGWKH8/+(
 7%33'80)%VXEILHOGLVRULIWKH8QVROLFLWHG
 0)%VXEILHOGLVDQGWKH054VXEILHOGLVWKH+(
 0&6VXEILHOGLQGLFDWHVWKHUHFRPPHQGHG+(0&6
 RIWKH33'8VHQWWRWKH67$DQGLVVHWWRWKH+(
 0&6LQGH[ VHH 3DUDPHWHUVIRU+(0&6V 

 ,IWKH8QVROLFLWHG0)%VXEILHOGLVDQGWKH8/+(
 7%33'80)%VXEILHOGLVWKH+(0&6VXEILHOG
 LQGLFDWHVWKHUHFRPPHQGHG+(0&6RIWKH+(7%
 33'8VHQWIURPWKH67$DQGLVVHWWRWKH+(0&6
 LQGH[ VHH 3DUDPHWHUVIRU+(0&6V 

 2WKHUZLVHWKLVVXEILHOGLVUHVHUYHG

 '&0 5HFRPPHQGHGXVDJHRI ,IWKH8QVROLFLWHG0)%VXEILHOGLVDQGWKH8/+(
 GXDOFDUULHUPRGXODWLRQ 7%33'80)%VXEILHOGLVRULIWKH8QVROLFLWHG
 '&0 0)%VXEILHOGLVDQGWKH054VXEILHOGLVWKH
 '&0VXEILHOGLQGLFDWHVWKHUHFRPPHQGHGXVDJHRI
 '&07KLVVXEILHOGLVVHWWRLI'&0LVUHFRP
 PHQGHGWRWKH33'8VHQWWRWKH67$DQGLVVHWWR
 RWKHUZLVH

 ,IWKH8QVROLFLWHG0)%VXEILHOGLVDQGWKH8/+(
 7%33'80)%VXEILHOGLVWKH'&0VXEILHOGLQGL
 FDWHVWKHUHFRPPHQGHGXVDJHRI'&07KLVVXEILHOG
 LVVHWWRLI'&0LVUHFRPPHQGHGWRWKH+(7%
 33'8VHQWIURPWKH67$DQGLVVHWWRRWKHUZLVH

 2WKHUZLVHWKLVVXEILHOGLVUHVHUYHG

 58$OORFDWLRQ 58RIWKHUHFRPPHQGHG ,IWKH8QVROLFLWHG0)%VXEILHOGLVDQGWKH8/+(
 +(0&658VSHFLILHGE\ 7%33'80)%VXEILHOGLVWKH58$OORFDWLRQVXE
 0)%UHTXHVWHUWRJHW ILHOGLQGLFDWHVWKH58IRUZKLFKWKHUHFRPPHQGHG
 IHHGEDFN +(0&6DSSOLHVWRWKH33'8VHQWWRWKH67$DV
 GHILQHGLQ /LQNDGDSWDWLRQXVLQJWKH+/$
 &RQWUROVXEILHOG 

 ,IWKH8QVROLFLWHG0)%VXEILHOGLVDQGWKH054
 VXEILHOGLVWKH58VXEILHOGLQGLFDWHVWKH58
 UHTXHVWHGE\WKH0)%UHTXHVWHUWRJHWIHHGEDFN

 7KH58$OORFDWLRQVXEILHOGLVLQWHUSUHWHGZLWKWKH
 %:VXEILHOGWRVSHFLI\WKH58

 7KH58LQGH[HQFRGLQJLVDVGHILQHGLQ7DEOHK
 %±%RIWKH58$OORFDWLRQVXEILHOG 

 ,IWKH8QVROLFLWHG0)%VXEILHOGLVDQGWKH8/+(
 7%33'80)%VXEILHOGLVWKH58$OORFDWLRQVXE
 ILHOGLQGLFDWHVWKH58IRUZKLFKWKHUHFRPPHQGHG
 +(0&6DSSOLHVWRWKH+(7%33'8VHQWIURPWKH
 67$DVGHILQHGLQ /LQNDGDSWDWLRQXVLQJWKH
 +/$&RQWUROVXEILHOG DQGWKDWWKHDFWXDODOORFDWLRQ
 RIWKH58FDQEHLJQRUHGE\WKHUHFLSLHQW

 2WKHUZLVHWKLVVXEILHOGLVUHVHUYHG




 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOHE²+/$&RQWUROVXEILHOGV(continued)


 6XEILHOG 0HDQLQJ 'HILQLWLRQ

 %: %DQGZLGWKRIWKHUHFRP ,IWKH8QVROLFLWHG0)%VXEILHOGLVDQGWKH8/+(
 PHQGHG+(0&6%DQG 7%33'80)%VXEILHOGLVWKH%:VXEILHOGLQGL
 ZLGWKVSHFLILHGE\0)% FDWHVWKHEDQGZLGWKIRUZKLFKWKHUHFRPPHQGHG+(
 UHTXHVWHUWRJHWIHHGEDFN 0&6DSSOLHVWRWKH33'8VHQWWRWKH67$DVGHILQHG
 LQ /LQNDGDSWDWLRQXVLQJWKH+/$&RQWUROVXE
 ILHOG 

 ,IWKH8QVROLFLWHG0)%VXEILHOGLVDQGWKH8/+(
 7%33'80)%VXEILHOGLVWKH%:VXEILHOGLQGL
 FDWHVWKHEDQGZLGWKIRUZKLFKWKHUHFRPPHQGHG+(
 0&6DSSOLHVWRWKH+(7%33'8VHQWIURPWKH67$
 DVGHILQHGLQ /LQNDGDSWDWLRQXVLQJWKH+/$
 &RQWUROVXEILHOG 

 ,IWKH8QVROLFLWHG0)%VXEILHOGLVDQGWKH054
 VXEILHOGLVWKH%:VXEILHOGLQGLFDWHVWKHEDQGZLGWK
 UHTXHVWHGE\WKH0)%UHTXHVWHUWRJHWIHHGEDFN

 6HWWRIRU0+]
 6HWWRIRU0+]
 6HWWRIRU0+]

 06,3DUWLDO33'8 3DUWLDOSDUDPHWHUVRIWKH ,IWKH8QVROLFLWHG0)%VXEILHOGLVDQGWKH054
 3DUDPHWHUV PHDVXUHG33'8054 VXEILHOGLVWKH06,3DUWLDO33'83DUDPHWHUVVXE
 VHTXHQFHLGHQWLILHU ILHOGFRQWDLQVDVHTXHQFHQXPEHULQWKHUDQJHWR
 WKDWLGHQWLILHVWKHVSHFLILF+(0&6IHHGEDFNUHTXHVW

 ,IWKH8QVROLFLWHG0)%VXEILHOGLVDQGWKH054
 VXEILHOGLVWKH06,3DUWLDO33'83DUDPHWHUVVXE
 ILHOGFRQWDLQVDVHTXHQFHQXPEHULQWKHUDQJHWR
 WKDWUHVSRQGVWRWKHVSHFLILFVROLFLWHG+(0&6IHHG
 EDFNUHTXHVW

 ,IWKH8QVROLFLWHG0)%VXEILHOGLVWKH06,3DUWLDO
 33'83DUDPHWHUVVXEILHOGFRQWDLQVWKH33'8)RU
 PDWDQG&RGLQJ7\SHVXEILHOGVDVVKRZQLQ)LJXUH
 G 06,3DUWLDO33'83DUDPHWHUVVXEILHOGIRUPDWLI
 WKH8QVROLFLWHG0)%VXEILHOGLV 
 7[%HDPIRUPLQJ 7UDQVPLVVLRQW\SHRIWKH ,IWKH8QVROLFLWHG0)%VXEILHOGLVDQGWKH8/+(
 PHDVXUHG33'8 7%33'80)%VXEILHOGLVWKHQWKH7[%HDP
 IRUPLQJVXEILHOGLQGLFDWHVZKHWKHURUQRWWKH33'8
 IURPZKLFKWKHXQVROLFLWHG0)%ZDVHVWLPDWHGLV
 EHDPIRUPHG
 6HWWRIRUQRQEHDPIRUPHG33'8
 6HWWRIRUEHDPIRUPHG33'8

 2WKHUZLVHWKLVVXEILHOGLVUHVHUYHG

 8/+(7%33'8 8/+(7%33'80)% ,IWKH8QVROLFLWHG0)%VXEILHOGLVDYDOXHRILQ
 0)% LQGLFDWLRQ WKLVVXEILHOGLQGLFDWHVWKDWWKH166+(0&6'&0
 %:DQG58$OORFDWLRQILHOGVUHSUHVHQWWKHUHFRP
 PHQGHG0)%IRUWKH+(7%33'8VHQWIURPWKH
 67$DVGHILQHGLQ /LQNDGDSWDWLRQXVLQJ
 WKH+/$&RQWUROVXEILHOG 

 2WKHUZLVHWKLVVXEILHOGLVUHVHUYHG





&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KH IRUPDW RI WKH 06,3DUWLDO 33'8 3DUDPHWHUV VXEILHOG LV GHILQHG LQ )LJXUHG 06,3DUWLDO 33'8

 3DUDPHWHUVVXEILHOGIRUPDWLIWKH8QVROLFLWHG0)%VXEILHOGLV 



 %% %

 33'8)RUPDW &RGLQJ
 7\SH
 %LWV  


 )LJXUHG²06,3DUWLDO33'83DUDPHWHUVVXEILHOGIRUPDWLIWKH8QVROLFLWHG0)%VXEILHOG
 LV



 7KH33'8)RUPDWVXEILHOGLQGLFDWHVWKHIRUPDWRIWKH33'8IURPZKLFKWKHXQVROLFLWHG0)%ZDVHVWL
 PDWHG
 ² 6HWWRIRUDQ+(6833'8

 ² 6HWWRIRUDQ+(0833'8
 ² 6HWWRIRUDQ+((56833'8

 ² 6HWWRIRUDQ+(7%33'8

 7KH&RGLQJ7\SHVXEILHOGFRQWDLQVWKHFRGLQJLQIRUPDWLRQRIWKH33'8IURPZKLFKWKHXQVROLFLWHG0)%

 ZDVHVWLPDWHG

 ² 6HWWRIRU%&&
 ² 6HWWRIRU/'3&


 D%65&RQWURO

 7KH&RQWURO,QIRUPDWLRQVXEILHOGLQD%65&RQWUROVXEILHOGFRQWDLQVEXIIHUVWDWXVLQIRUPDWLRQXVHGIRU8/

 08RSHUDWLRQ VHH 08FDVFDGLQJVHTXHQFH 7KHIRUPDWRIWKHVXEILHOGLVVKRZQLQ)LJXUHH

 &RQWURO,QIRUPDWLRQVXEILHOGIRUPDWLQD%65&RQWUROVXEILHOG 


 %% %% %% %% %% %%

 6FDOLQJ 4XHXH 4XHXH
$&,%LWPDS 'HOWD7,' $&,+LJK
 )DFWRU 6L]H+LJK 6L]H$OO

 %LWV      

 )LJXUHH²&RQWURO,QIRUPDWLRQVXEILHOGIRUPDWLQD%65&RQWUROVXEILHOG



 7KH $&, %LWPDS VXEILHOG LQGLFDWHV WKH DFFHVV FDWHJRULHV IRU ZKLFK WKH EXIIHU VWDWXV LV UHSRUWHG DQG LWV
 HQFRGLQJLVVKRZQLQ7DEOHF $&,%LWPDSVXEILHOGHQFRGLQJ (DFKELWRIWKH$&,%LWPDSVXEILHOGLV
 VHWWRWRLQGLFDWHWKDWWKHEXIIHUVWDWXVRIWKHFRUUHVSRQGLQJ$&LVLQFOXGHGLQWKH4XHXH6L]H$OOVXEILHOG











 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 DQGVHWWRRWKHUZLVHH[FHSWWKDWLIWKH$&,%LWPDSVXEILHOGLVDQGWKH'HOWD7,'VXEILHOGLVWKHQLWLQGL
 FDWHVWKHEXIIHUVWDWXVRIDOO7,'V VHH7DEOHG 'HOWD7,'VXEILHOGHQFRGLQJ 



 7DEOHF²$&,%LWPDSVXEILHOGHQFRGLQJ


 % % % %

 $&B%( $&B%. $&B9, $&B92



7KH'HOWD7,'VXEILHOGWRJHWKHUZLWKWKHYDOXHVRIWKH$&,%LWPDSVXEILHOGLQGLFDWHWKHQXPEHURI7,'V

 IRU ZKLFK WKH 67$ LV UHSRUWLQJ WKH EXIIHU VWDWXV 7KH HQFRGLQJ RI WKH 'HOWD 7,' VXEILHOG LV GHILQHG LQ

 7DEOHG 'HOWD7,'VXEILHOGHQFRGLQJ 


 7DEOHG²'HOWD7,'VXEILHOGHQFRGLQJ


 1XPEHURIELWVLQWKH$&,%LWPDS 0DSSLQJRI'HOWD7,'VXEILHOGYDOXHDQGQXPEHU
 VXEILHOGWKDWDUHVHWWR RI7,'VNTID

  9DOXHVWRDUHQRWDSSOLFDEOH
 9DOXHLQGLFDWHV7,'V LHDOO$&VKDYHWUDIILF

  9DOXHLQGLFDWHV7,'9DOXHLQGLFDWHV7,'V
 9DOXHVWRDUHQRWDSSOLFDEOH

  9DOXHLQGLFDWHV7,'9DOXHLQGLFDWHV7,'V
 9DOXHLQGLFDWHV7,'V9DOXHLVQRWDSSOLFDEOH

  9DOXHLQGLFDWHV7,'9DOXHLQGLFDWHV7,'V
 9DOXHLQGLFDWHV7,'V9DOXHLQGLFDWHV7,'V
  9DOXHLQGLFDWHV7,'9DOXHLQGLFDWHV7,'V
 9DOXHLQGLFDWHV7,'V9DOXHLQGLFDWHV7,'V

 127(²7KHQXPEHURI7,'VFDQEHREWDLQHGDVNTID NonesDValZKHUHNonesLVWKH
 QXPEHURIELWVVHWWRRQHLQWKH$&%LWPDSVXEILHOGDQGDValLVWKHYDOXHRIWKH'HOWD7,'

 VXEILHOGH[FHSWLINonesLVHTXDOWRIRUZKLFKWKHUHLVWKHNTID FDVH

 127(²7KH'HOWD7,'PLJKWEHXVHGE\DQ$3WRGHWHUPLQHWKHVHWWLQJRIWKH7,'$JJUH
 JDWLRQ/LPLWILHOGLQWKH8VHU,QIRILHOGDGGUHVVHGWRWKH67$LQDVXEVHTXHQW%DVLF7ULJJHU
 IUDPH



 7KH$&,+LJKVXEILHOGLQGLFDWHVWKH$&,RIWKH$&IRUZKLFKWKH%65LVLQGLFDWHGLQWKH4XHXH6L]H+LJK

 VXEILHOG7KH$&,WR$&PDSSLQJLVVKRZQLQ7DEOH $&,WR$&FRGLQJ 

 127(²,WLVXSWRWKHQRQ$367$WKDWUHSRUWVWKHEXIIHUVWDWXVWRGHWHUPLQHWKHTXHXHWKDWGHVHUYHVKLJKHUSULRULW\
 ZLWKUHVSHFWWRWKHRWKHUTXHXHV7KHGHWHUPLQDWLRQPLJKWEHEDVHGRQWKHWLPHWKHWUDIILFKDVEHHQRXWVWDQGLQJ4R6

 GHOD\UHTXLUHPHQWVDPRXQWRIEXIIHUHGWUDIILFHWFDQGLVRXWRIVFRSHIRUWKLVVWDQGDUG











&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KH6FDOLQJ)DFWRUVXEILHOGLQGLFDWHVWKHXQLWSFLQRFWHWVRIWKH4XHXH6L]H+LJKDQG4XHXH6L]H$OOVXE
 ILHOGV7KHHQFRGLQJRIWKH6FDOLQJ)DFWRUVXEILHOGLVVKRZQLQ7DEOHH 6FDOLQJ)DFWRUVXEILHOGHQFRG

LQJ 



 7DEOHH²6FDOLQJ)DFWRUVXEILHOGHQFRGLQJ


 6FDOLQJ)DFWRUVXEILHOG 6FDOLQJIDFWRUSF,LQRFWHWV

  

  
  

  



 7KH4XHXH6L]H+LJKVXEILHOGLQGLFDWHVWKHDPRXQWRIEXIIHUHGWUDIILFLQXQLWVRISFRFWHWVIRUWKH$&LGHQ
 WLILHGE\WKH$&,+LJKVXEILHOGWKDWLVLQWHQGHGIRUWKH67$LGHQWLILHGE\WKHUHFHLYHUDGGUHVVRIWKHIUDPH

 FRQWDLQLQJWKH%65&RQWUROVXEILHOG

 7KH4XHXH6L]H$OOVXEILHOGLQGLFDWHVWKHDPRXQWRIEXIIHUHGWUDIILFLQXQLWVRISFRFWHWVIRUDOOWKH$&V
 LGHQWLILHGE\WKH$&,%LWPDSVXEILHOGWKDWLVLQWHQGHGIRUWKH67$LGHQWLILHGE\WKHUHFHLYHUDGGUHVVRIWKH


IUDPHFRQWDLQLQJWKH%65&RQWUROVXEILHOG

 7KHTXHXHVL]HYDOXHVLQWKH4XHXH6L]H+LJKDQG4XHXH6L]H$OOVXEILHOGVDUHWKHWRWDOVL]HVURXQGHGXSWR
 WKHQHDUHVWPXOWLSOHRISFRFWHWVRIDOO06'8VDQG$06'8VEXIIHUHGDWWKH67$ LQFOXGLQJWKH06'8V

RU$06'8VLQWKHVDPH36'8DVWKHIUDPHFRQWDLQLQJWKH%65&RQWUROVXEILHOG LQWKHGHOLYHU\TXHXHV

 XVHGIRU06'8VDQG$06'8VZLWK$& V WKDWDUHVSHFLILHGLQWKH$&,+LJKDQG$&,%LWPDSVXEILHOGV
 UHVSHFWLYHO\

 127(²7KHTXHXHVL]HLVEDVHGRQGDWDUHFHLYHGE\WKH67$DWWKH0$&6$3 0$81,7'$7$UHTXHVW $Q\GDWD
 LQOD\HUVDERYHWKH0$&LVQRWWDNHQLQWRDFFRXQW

127(²%XIIHUHG06'8VDUHWKRVHWKDWKDYHEHHQUHFHLYHGLQDQ0$81,7'$7$UHTXHVWEXWWKDWKDYHQRWEHHQ


VXFFHVVIXOO\WUDQVPLWWHGDQGKDYHQRWEHHQGLVFDUGHG


 $TXHXHVL]HYDOXHRILQWKH4XHXH6L]H+LJKDQG4XHXH6L]H$OOVXEILHOGVLQGLFDWHVWKDWWKHDPRXQWRI
 EXIIHUHGWUDIILFLVJUHDWHUWKDQî SFRFWHWV$TXHXHVL]HYDOXHRILQWKH4XHXH6L]H+LJKDQG4XHXH
 6L]H$OOVXEILHOGVLQGLFDWHVWKDWWKHDPRXQWRIEXIIHUHGWUDIILFLVDQXQVSHFLILHGRUXQNQRZQVL]H


 7KHTXHXHVL]HYDOXHRIWKH4R6'DWDIUDPHVFRQWDLQLQJWKHIUDJPHQWVPLJKWUHPDLQFRQVWDQWLQDOOIUDJ
 PHQWVHYHQLIWKHDPRXQWRITXHXHGWUDIILFFKDQJHVDVVXFFHVVLYHIUDJPHQWVDUHWUDQVPLWWHG VHH

 *HQHUDO ,IWKH4R6'DWDIUDPHVFRQWDLQLQJIUDJPHQWVDUHFDUULHGLQWKH$03'8WKHTXHXHVL]HYDOXHV

RIWKH03'8VFRQWDLQLQJWKHIUDJPHQWVDUHVHWDFFRUGLQJWRWKHUXOHVLQ +7&RQWUROILHOGRSHUDWLRQ 


 D83+&RQWURO



7KH&RQWURO,QIRUPDWLRQVXEILHOGLQDQ83+&RQWUROVXEILHOGFRQWDLQVWKH8/SRZHUKHDGURRP 83+ XVHG
 IRUSRZHUSUHFRUUHFWLRQ VHH $03'8FRQWHQWVLQDQ+(7%33'8 7KHIRUPDWRIWKHVXEILHOG
 LVVKRZQLQ)LJXUHI &RQWURO,QIRUPDWLRQVXEILHOGIRUPDWLQD83+&RQWUROVXEILHOG 


7KH8/3RZHU+HDGURRPVXEILHOGLQGLFDWHVWKHDYDLODEOH8/SRZHUKHDGURRPLQXQLWVRIG%IRUWKHFXU

 UHQW+(0&6 VHH $03'8FRQWHQWVLQDQ+(7%33'8 7KH8/3RZHU+HDGURRPVXEILHOG
 FDUULHVDYDOXHWRWKDWPDSVWRG%WRG%

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU


% % % %%

 0LQLPXP
 8/3RZHU 7UDQVPLW 5HVHUYHG
+HDGURRP
 3RZHU)ODJ

%LWV   


 )LJXUHI²&RQWURO,QIRUPDWLRQVXEILHOGIRUPDWLQD83+&RQWUROVXEILHOG


 7KH0LQLPXP7UDQVPLW3RZHU)ODJVXEILHOGLVVHWWRWRLQGLFDWHWKDWWKHPLQLPXPWUDQVPLWSRZHUIRUWKH

 FXUUHQW+(0&6LVUHDFKHGE\WKH67$DQGVHWWRRWKHUZLVH

 D%45&RQWURO


 7KH&RQWURO,QIRUPDWLRQVXEILHOGLQD%45&RQWUROVXEILHOGFRQWDLQVWKH EDQGZLGWKTXHU\ UHSRUW %45 
 XVHGIRUEDQGZLGWKTXHU\UHSRUWRSHUDWLRQWRDVVLVW+(08WUDQVPLVVLRQ VHH 8/08RSHUDWLRQ 
 7KHIRUPDWRIWKHVXEILHOGLVVKRZQLQ)LJXUHJ &RQWURO,QIRUPDWLRQVXEILHOGIRUPDWLQD%45&RQWURO
 VXEILHOG 



 % % %%

 $YDLODEOH
 &KDQQHO%LW 5HVHUYHG
PDS

 %LWV  



)LJXUHJ²&RQWURO,QIRUPDWLRQVXEILHOGIRUPDWLQD%45&RQWUROVXEILHOG


 7KH$YDLODEOH&KDQQHO%LWPDSVXEILHOGFRQWDLQVDELWPDSLQGLFDWLQJWKHVXEFKDQQHOVDYDLODEOHDWWKH67$ 

WUDQVPLWWLQJ WKH %45 (DFK ELW LQ WKH ELWPDS FRUUHVSRQGV WR D  0+] VXEFKDQQHO ZLWKLQ WKH RSHUDWLQJ

 FKDQQHOZLGWKRIWKH%66LQZKLFKWKH67$LVDVVRFLDWHGZLWKWKH/6%FRUUHVSRQGLQJWRWKHORZHVWQXP
 EHUHGRSHUDWLQJVXEFKDQQHORIWKH%667KHELWLQSRVLWLRQXLQWKHELWPDSLVVHWWRWRLQGLFDWHWKDWWKHVXE
 FKDQQHO X  LV LGOH RWKHUZLVH LW LV VHW WR  WR LQGLFDWH WKDW WKH VXEFKDQQHO LV EXV\ RU XQDYDLODEOH
 $YDLODELOLW\RIHDFK0+]VXEFKDQQHOLVEDVHGRQWKH('EDVHG&&$GHILQHGLQ 3HU0+]

&&$VHQVLWLYLW\ DQGLVUHSRUWHGIRUWKH0+]VXEFKDQQHOVORFDWHGLQWKHRSHUDWLQJFKDQQHORIWKHUHSRUW

 LQJ67$ZKHQWKH:0LVLGOHDVGHILQHGLQ &6PHFKDQLVP DQGLQ 8/08&6PHFKD
 QLVP 

 D&$6&RQWURO


 7KH&RQWURO,QIRUPDWLRQVXEILHOGLQD&$6&RQWUROVXEILHOGFRQWDLQVWKHFRPPDQGDQGVWDWXV &$6 FRQ
 WURO7KHIRUPDWRIWKHVXEILHOGIUDPHLVVKRZQLQ)LJXUHK &RQWURO,QIRUPDWLRQVXEILHOGIRUPDWLQD
 &$6&RQWUROVXEILHOG 



 % % % %%

 $&&RQVWUDLQW
5'*0RUH
365733'8 5HVHUYHG
 33'8
 %LWV    


 )LJXUHK²&RQWURO,QIRUPDWLRQVXEILHOGIRUPDWLQD&$6&RQWUROVXEILHOG

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KH$&&RQVWUDLQWVXEILHOGLVGHILQHGLQ7DEOH $&&RQVWUDLQWVXEILHOGYDOXHV H[FHSWWKDWDYDOXHRI


 LQGLFDWHVWRDQ+(67$WKDWWKHUHVSRQVHFDQFRQWDLQ5''DWDIUDPHVIURPWKHVDPH$&RUKLJKHUSULRULW\ 

$&VDVGHILQHGLQ 5XOHVIRU5'UHVSRQGHU 


 7KH5'*0RUH33'8VXEILHOGLVGHILQHGLQ7DEOH 5'*0RUH33'8VXEILHOGYDOXHV 

 7KH365733'8VXEILHOGLQGLFDWHVZKHWKHURUQRWWKH33'8FDUU\LQJWKHIUDPHZLWKWKH&$6&RQWUROVXE

ILHOGLVDQ365733'87KH365733'8VXEILHOGLVVHWWRLIWKH33'8LVDQ365733'8RWKHUZLVHLWLV

 VHWWR

 )UDPH%RG\ILHOG


*HQHUDO


 Change as Table 9-25 (Maximum data unit sizes (in octets) and durations (in microseconds)) follows:


 7DEOH²0D[LPXPGDWDXQLWVL]HV LQRFWHWV DQGGXUDWLRQV LQPLFURVHFRQGV 


 1RQ+7QRQ
 9+7QRQ+(
 QRQ6*QRQ
 '0*33'8 +733'8 9+733'8 +(33'8 6*33'8 '0*33'8
 DQGQRQ+7
 GXSOLFDWH
 33'8

 003'8   6HH127( 6HH127( 6HH127( 
 VL]H

 06'8      
 VL]H

 $06'8 RU RU 6HH127( *+]EDQG 6HH127( 
 VL]H VHHDOVR RU
 VHH 7DEOH VHHDOVR7DEOH
 127(  +7
 6XEILHOGVRI  6XE
67$VHHDOVR WKH+7&DSD ILHOGVRIWKH+7
 7DEOH
 ELOLW\,QIRUPD &DSDELOLW\
6XEILHOGVRI WLRQILHOG ,QIRUPDWLRQ
 WKH+7&DSD
 ILHOG
ELOLW\,QIRUPD
 WLRQILHOG RU
 2WKHUZLVHVHH
 1$ QRQ+7 127(
 67$VHHDOVR
  $
 06'8RSHUD
 WLRQ














 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²0D[LPXPGDWDXQLWVL]HV LQRFWHWV DQGGXUDWLRQV LQPLFURVHFRQGV (continued)




 1RQ+7QRQ
 9+7QRQ+(
 QRQ6*QRQ
 '0*33'8 +733'8 9+733'8 +(33'8 6*33'8 '0*33'8
 DQGQRQ+7
 GXSOLFDWH
 33'8

 03'8 6HH127( 6HH127( RURU *+]EDQG RU 6HH127(
 VL]H  VHH VHH127( VHHDOVR7DEOH
 DOVR7DEOH  6XE
  6XEILHOGV 2WKHUZLVH ILHOGVRIWKH
 RIWKH9+7 RURU 6*&DSDELOL
 &DSDELOLWLHV  VHH WLHV,QIRUPD
 ,QIRUPDWLRQ DOVR7DEOH WLRQILHOG
 ILHOG  6XEILHOGV
 RIWKH9+7
 &DSDELOLWLHV
 ,QIRUPDWLRQ
 ILHOG 

 6HH127(

 36'8 ± VHH ±    ±
 VL]H 7DEOH VHH7DEOH a  VHH a a  VHH VHH7DEOH
 '6663+<  +73+< 7DEOH VHH7DEOH 7DEOH  '0*3+<
 FKDUDFWHULV FKDUDFWHULV 9+73+<  +(3+< 6*3+< FKDUDFWHULV
 WLFV 7DEOH WLFV FKDUDFWHULV FKDUDFWHULV FKDUDFWHULV WLFV
  +5'666 WLFV WLFV WLFV
 3+<FKDUDFWHU
 LVWLFV 
 7DEOH
 2)'03+<
 FKDUDFWHULV
 WLFV 7DEOH
  (53FKDUDF
 WHULVWLFV


























&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²0D[LPXPGDWDXQLWVL]HV LQRFWHWV DQGGXUDWLRQV LQPLFURVHFRQGV (continued)




 1RQ+7QRQ
 9+7QRQ+(
 QRQ6*QRQ
 '0*33'8 +733'8 9+733'8 +(33'8 6*33'8 '0*33'8
 DQGQRQ+7
 GXSOLFDWH
 33'8

 33'8 6HH127(  +7B0)    VHH 
 GXUDWLRQ VHH VHH7DEOH VHH7DEOH 7DEOH VHH7DEOH
 /B/(1*7+  9+73+<  +(3+< 6*3+<  '0*3+<
 DQG/B'$7$ FKDUDFWHULV FKDUDFWHULV FKDUDFWHULV FKDUDFWHULV
 5$7(SDUDPH WLFV WLFV WLFV WLFV
 WHUYDOXHVIRU
 +7PL[HGIRU
 PDW33'8V 
 RU
 +7B*)VHH
 7DEOH
 +73+<FKDU
 DFWHULVWLFV

 127( ²1R GLUHFW FRQVWUDLQW RQ WKH PD[LPXP 003'8 VL]H LQGLUHFWO\ FRQVWUDLQHG E\ WKH PD[LPXP 03'8 VL]H VHH
  %HDFRQIUDPHIRUPDW 
 127(²,QGLUHFWFRQVWUDLQWIURPWKHPD[LPXP36'8VL]H±RFWHWVPLQXVWKHPLQLPXP4R6'DWDIUDPHRYHUKHDG 

 RFWHWVIRUWKH0$&KHDGHUDQGRFWHWVIRUWKH)&6 

 127(²1RGLUHFWFRQVWUDLQWRQWKHPD[LPXP$06'8VL]HLQGLUHFWO\FRQVWUDLQHGE\WKHPD[LPXP03'8VL]H

 127(²1RGLUHFWFRQVWUDLQWRQWKHPD[LPXP03'8VL]HLQGLUHFWO\FRQVWUDLQHGE\WKHPD[LPXP06'8003'8RU IRU
 +767$VRQO\ $06'8VL]H
 127(²1RGLUHFWFRQVWUDLQWRQWKHPD[LPXP03'8VL]HLQGLUHFWO\FRQVWUDLQHGE\WKHPD[LPXP$06'8VL]H

 127(²1RGLUHFWFRQVWUDLQWRQWKHPD[LPXPGXUDWLRQEXWDQ/B/(1*7+YDOXHDERYHPLJKWQRWEHVXSSRUWHGE\ 
 VRPH UHFHLYHUV VHH ODVW 127( LQ  /B/(1*7+ DQG /B'$7$5$7( SDUDPHWHU YDOXHV IRU +7PL[HG IRUPDW
 33'8V 
 127(²7KHPD[LPXP03'8VL]HPLJKWEHJUHDWHUWKDQWKHVL]HGHFODUHGDVVXSSRUWHGE\WKHUHFLSLHQWLIWKH03'8LVDQ

 +(&RPSUHVVHG%HDPIRUPLQJ&4,IUDPH



 'XUDWLRQ,'ILHOG 4R667$



6HWWLQJIRUVLQJOHDQGPXOWLSOHSURWHFWLRQXQGHUHQKDQFHGGLVWULEXWHGFKDQQHO
 DFFHVV ('&$

 Change the 2nd paragraph as follows:


 7KH67$VHOHFWVEHWZHHQVLQJOHDQGPXOWLSOHSURWHFWLRQZKHQLWWUDQVPLWVWKHILUVWIUDPHRID7;23$OO
 VXEVHTXHQWIUDPHVWUDQVPLWWHGE\WKH67$LQWKHVDPH7;23XVHWKHVDPHFODVVRIGXUDWLRQVHWWLQJV$67$

 DOZD\VXVHVPXOWLSOHSURWHFWLRQLQD7;23WKDWLQFOXGHV


² )UDPHVWKDWKDYHWKH5'*0RUH33'8VXEILHOGHTXDOWR
 ² 3603IUDPHV

 ² 9+7+(1'3$QQRXQFHPHQWIUDPHVRU%HDPIRUPLQJ5HSRUW3ROOIUDPHVRU%)537ULJJHUIUDPHV
 ² 6*%HDFRQIUDPHV

 ² )UDPHV WUDQVPLWWHG E\ DQ 6* 67$ ZLWK WKH 7;9(&725 SDUDPHWHU 5(63216( ,1',&$7,21

 HTXDOWR/RQJ5HVSRQVH

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 Change item a) of the 3rd paragraph as follows:




7KH'XUDWLRQ,'ILHOGLVGHWHUPLQHGDVIROORZV

 D 6LQJOHSURWHFWLRQVHWWLQJV

 ,QDQ576IUDPHWKDWLVQRWSDUWRIDGXDOFOHDUWRVHQG &76 H[FKDQJHDQGLVQRWSDUWRID

 %'7H[FKDQJHWKH'XUDWLRQ,'ILHOGLVVHWWRWKHHVWLPDWHGWLPHLQPLFURVHFRQGVUHTXLUHGWR

 WUDQVPLWWKHSHQGLQJIUDPHSOXVRQH&76IUDPHSOXVRQH$FNRU%ORFN$FNIUDPHLIUHTXLUHG
 SOXVDQ\1'3VUHTXLUHGSOXVH[SOLFLWIHHGEDFNLIUHTXLUHGSOXVDSSOLFDEOH,)6V

 D ,QDQ085767ULJJHUIUDPHWKH'XUDWLRQ,'ILHOGLVVHWWRWKHHVWLPDWHGWLPHLQPLFURVHF
 RQGVUHTXLUHGWRWUDQVPLWWKHSHQGLQJIUDPH V SOXVRQH&76IUDPHSOXVWKHWLPHWRWUDQVPLW
 WKHVROLFLWHG+(7%33'8LIUHTXLUHGSOXVWKHWLPHWRWUDQVPLWWKHDFNQRZOHGJPHQWIRUWKH
 VROLFLWHG+(7%33'8LIUHTXLUHGSOXVDSSOLFDEOH,)6V

 127(²7KHSHQGLQJIUDPH V LQFOXGHDWULJJHULQJIUDPHLIUHTXLUHG

 
  ,QD%ORFN$FN5HTIUDPHWKH'XUDWLRQ,'ILHOGLVVHWWRWKHHVWLPDWHGWLPHUHTXLUHGWRWUDQVPLW
 RQH$FNRU%ORFN$FNIUDPHDVDSSOLFDEOHSOXVRQH6,)6

 D ,Q DQ 08%$5 7ULJJHU IUDPH %653 7ULJJHU IUDPH *&5 08%$5 7ULJJHU IUDPH %453 
 7ULJJHU IUDPH DQG1)53 7ULJJHU IUDPH WKH 'XUDWLRQ,' ILHOGLVVHWWR WKHWLPH UHTXLUHGWR

 WUDQVPLWWKHVROLFLWHG+(7%33'8SOXVRQH6,)6

 
  ,QLQGLYLGXDOO\DGGUHVVHG4R6'DWDIUDPHVZLWKDQDFNSROLF\RI1R$FNRU%ORFN$FNIRU
 $FWLRQ1R$FNIUDPHVDQGIRUJURXSDGGUHVVHGIUDPHVWKH'XUDWLRQ,'ILHOGLVVHWWRRQHRI

 WKHIROORZLQJ
 L ,IWKHIUDPHLVWKHILQDOIUDPHRIWKH7;23

 LL 2WKHUZLVHWKHHVWLPDWHGWLPHUHTXLUHGIRUWKHWUDQVPLVVLRQRIWKHIROORZLQJIUDPHDQGLWV
 UHVSRQVHIUDPHLIUHTXLUHG LQFOXGLQJDSSURSULDWH,)6V
  ,QD%DVLF7ULJJHUIUDPHWKH'XUDWLRQ,'ILHOGLVVHWWRWKHHVWLPDWHGWLPHUHTXLUHGWRWUDQVPLW


WKHVROLFLWHG+(7%33'8SOXVWKHHVWLPDWHGWLPHUHTXLUHGWRWUDQVPLWWKHDFNQRZOHGJPHQW
 IRUWKHVROLFLWHG+(7%33'8LIUHTXLUHGSOXVDSSOLFDEOH6,)6V

 Change item b) of the 3rd paragraph as follows:

 E 0XOWLSOHSURWHFWLRQVHWWLQJV7KH'XUDWLRQ,'ILHOGLVVHWWRDYDOXH'DVIROORZV
  (OVH T END ± NAV ± T PPDU d D d T TXOP ± REMAINING ± T PPDU 

 ZKHUH

 TSINGLE-MSDULV WKH HVWLPDWHG WLPH UHTXLUHG IRU WKH WUDQVPLVVLRQ RI WKH DOORZHG IUDPH
 H[FKDQJHVHTXHQFHGHILQHGLQ 7;23OLPLWV  IRUD7;23OLPLW
 RI LQFOXGLQJDSSOLFDEOH,)6GXUDWLRQV
 TPENDINGLVWKHHVWLPDWHGWLPHUHTXLUHGIRUWKHWUDQVPLVVLRQRI

 ²3HQGLQJ03'8VRIWKHVDPH$&

 ²$Q\DVVRFLDWHGLPPHGLDWHUHVSRQVHIUDPHV
 ²$Q\+71'39+71'3+(VRXQGLQJ1'3RU%HDPIRUPLQJ5HSRUW
 3ROOIUDPHWUDQVPLVVLRQVDQGH[SOLFLWIHHGEDFNUHVSRQVHIUDPHV

 ²$SSOLFDEOH,)6V
 ²$Q\5'*

 ²$Q\%'7
 ²$Q\SHQGLQJ4R61XOOIUDPHH[FKDQJHVE\SDJHG67$V

 ²$Q\SHQGLQJ363ROORU1'3363ROOIUDPHH[FKDQJHVE\SDJHG67$V

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 TTXOPLV WKH GXUDWLRQ JLYHQ E\ GRW('&$7DEOH7;23/LPLW GRW4$3('&$7DEOH7;2


 3/LPLWIRUWKH$3 IRUWKDW$&

 TTXOP-REMAININGLVTTXOPOHVVWKHWLPHDOUHDG\XVHGWLPHZLWKLQWKH7;23
 TEND-NAVLVWKHUHPDLQLQJGXUDWLRQRIDQ\1$9VHWE\WKH7;23KROGHURULIQR1$9KDV

 EHHQHVWDEOLVKHG
 TPPDULVWKHWLPHUHTXLUHGIRUWUDQVPLVVLRQRIWKHFXUUHQW33'8

 127(²7KHUXOHVDOORZLQJRUGLVDOORZLQJWKHWUDQVPLVVLRQRI03'8VZLWKGLIIHUHQW$&VDUHGHVFULEHGLQ 
 6KDULQJ DQ ('&$ 7;23   0XOWLSOH IUDPH WUDQVPLVVLRQ LQ DQ ('&$ 7;23  DQG  0XOWL7,' $
 03'8DQGDFNHQDEOHGVLQJOH7,'$03'8 

 127(²7KHHVWLPDWHGWLPHWRWUDQVPLWDQDFNQRZOHGJPHQWLQUHVSRQVHWRWKHIUDPHVFDUULHGLQDVROLFLWHG+(7% 
 33'8PLJKWEHLQH[DFW7KH7;23KROGHUPLJKWXVHWKHPD[LPXPWLPHUHTXLUHGWRWUDQVPLWWKHDFNQRZOHGJPHQWDVWKH
 HVWLPDWHGWLPH

 6HWWLQJIRUFRQWUROUHVSRQVHIUDPHV


 Change paragraphs 1-4 as follows:

 7KLVVXEFODXVHGHVFULEHVKRZWRVHWWKH'XUDWLRQ,'ILHOGIRU&76$FNDQG%ORFN$FNIUDPHVWUDQVPLWWHG

 E\D4R667$


 ,QD&76IUDPHWKDWLVQRWSDUWRIDGXDO&76VHTXHQFHWUDQVPLWWHGLQUHVSRQVHWRDQ576IUDPHWKH'XUD
 WLRQ,' ILHOG LV VHW WR WKH YDOXH REWDLQHG IURP WKH 'XUDWLRQ,' ILHOG RI WKH 576 IUDPH WKDW HOLFLWHG WKH
 UHVSRQVHPLQXVWKHWLPHLQPLFURVHFRQGVEHWZHHQWKHHQGRIWKH33'8FDUU\LQJWKH576IUDPHDQGWKHHQG 

RIWKH33'8FDUU\LQJWKH&76IUDPH


 ,QD&76IUDPHWKDWLVWUDQVPLWWHGLQUHVSRQVHWRDQ085767ULJJHUIUDPHWKH'XUDWLRQ,'ILHOGLVVHWWR

 WKHYDOXHREWDLQHGIURPWKH'XUDWLRQ,'ILHOGRIWKH085767ULJJHUIUDPHWKDWHOLFLWHGWKH&76IUDPH
 PLQXVWKHWLPHLQPLFURVHFRQGVEHWZHHQWKHHQGRIWKH33'8FDUU\LQJWKH085767ULJJHUIUDPHDQGWKH

 HQGRIWKH33'8FDUU\LQJWKH&76IUDPH

 ,QDQ$FNIUDPHWKH'XUDWLRQ,'ILHOGLVVHWWRWKHYDOXHREWDLQHGIURPWKH'XUDWLRQ,'ILHOGRIWKHIUDPH
 WKDWHOLFLWHGWKHUHVSRQVHPLQXVWKHWLPHLQPLFURVHFRQGVEHWZHHQWKHHQGRIWKH33'8FDUU\LQJWKHIUDPH

WKDWHOLFLWHGWKHUHVSRQVHDQGWKHHQGRIWKH33'8FDUU\LQJWKH$FNIUDPH


 ,QD%ORFN$FNIUDPHWUDQVPLWWHGLQUHVSRQVHWRD%ORFN$FN5HTIUDPH08%$57ULJJHUIUDPHRUWUDQV
 PLWWHGLQUHVSRQVHWRDIUDPHFRQWDLQLQJDQLPSOLFLWEORFNDFNUHTXHVWRUIUDPHFDUULHGLQ+(7%33'8 
 XQGHUVLQJOHSURWHFWLRQVHWWLQJVWKH'XUDWLRQ,'ILHOGLVVHWWRWKHYDOXHREWDLQHGIURPWKH'XUDWLRQ,'ILHOG


 RIWKHIUDPHWKDWHOLFLWHGWKHUHVSRQVHPLQXVWKHWLPHLQPLFURVHFRQGVEHWZHHQWKHHQGRIWKH33'8FDUU\
 LQJWKHIUDPHWKDWHOLFLWHGWKHUHVSRQVHDQGWKHHQGRIWKH33'8FDUU\LQJWKH%ORFN$FNIUDPH

 8QGHUPXOWLSOHSURWHFWLRQVHWWLQJVWKH'XUDWLRQ,'ILHOGLQD%ORFN$FNIUDPHWUDQVPLWWHGLQUHVSRQVHWRD


IUDPHFDUULHGLQ+(7%33'8LVVHWDFFRUGLQJWRWKHPXOWLSOHSURWHFWLRQVHWWLQJVGHILQHGLQ 6HWWLQJ
 IRUVLQJOHDQGPXOWLSOHSURWHFWLRQXQGHUHQKDQFHGGLVWULEXWHGFKDQQHODFFHVV ('&$ 

 6HWWLQJIRURWKHUUHVSRQVHIUDPHV


 Change as follows:

 ,QDQ\IUDPHWUDQVPLWWHGE\D67$WKDWLVQRWWKH7;23KROGHUDQGLVQRWVSHFLILHGE\ *HQHUDO WR 

 6HWWLQJ IRU FRQWURO UHVSRQVH IUDPHV  WKH 'XUDWLRQ,' ILHOG LV VHW WR WKH YDOXH REWDLQHG IURP WKH

 'XUDWLRQ,'ILHOGRIWKHIUDPHWKDWHOLFLWHGWKHUHVSRQVHPLQXVWKHWLPHLQPLFURVHFRQGVEHWZHHQWKHHQGRI
 WKH33'8FDUU\LQJWKHIUDPHWKDWHOLFLWHGWKHUHVSRQVHDQGWKHHQGRIWKH33'8FDUU\LQJWKHIUDPH,IWKH

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 IUDPHLVFRQWDLQHGLQDQ+(7%33'8WKHWLPHLVHTXDOWR6,)6SOXVWKHGXUDWLRQRIWKH+(7%33'8
 ZKHUHWKHGXUDWLRQRIWKH+(7%33'8LVGHILQHGLQ(TXDWLRQ  



)RUPDWRILQGLYLGXDOIUDPHW\SHV


 &RQWUROIUDPHV



576IUDPHIRUPDW

 Change the 3rd paragraph as follows:



7KH7$ILHOGLVWKHDGGUHVVRIWKH67$WUDQVPLWWLQJWKH576IUDPHRUWKHEDQGZLGWKVLJQDOLQJ7$RIWKH
 67$WUDQVPLWWLQJWKH576IUDPH,QDQ576IUDPHWUDQVPLWWHGE\D9+767$RUDQ+(67$LQDQRQ+7RU
 QRQ+7GXSOLFDWHIRUPDWWRDQRWKHU9+767$RU+(67$WKHVFUDPEOLQJVHTXHQFHFDUULHVWKH7;9(&
 725SDUDPHWHUV&+B%$1':,'7+B,1B121B+7DQG'<1B%$1':,'7+B,1B121B+7 VHH
 9+7DQG6*576SURFHGXUH DQGWKH7$ILHOGLVDEDQGZLGWKVLJQDOLQJ7$


 &76IUDPHIRUPDW

 Change the 2nd paragraph of this subclause as follows:


 :KHQ,IWKH&76IUDPHLVDUHVSRQVHWRDQ576IUDPHWKHYDOXHRIWKH5$ILHOGRIWKH&76IUDPHLVVHWWR 
 WKHDGGUHVVIURPWKH7$ILHOGRIWKH576IUDPHZLWKWKH,QGLYLGXDO*URXSELWVHWWR:KHQ,IWKH&76 
 IUDPHLVWKHILUVWIUDPHLQDIUDPHH[FKDQJHWKH5$ILHOGLVVHWWRWKH0$&DGGUHVVRIWKHWUDQVPLWWHU,IWKH

&76IUDPHLVDUHVSRQVHWRDQ085767ULJJHUIUDPHWKHYDOXHRIWKH5$ILHOGRIWKH&76IUDPHLVVHWWR 

 WKHDGGUHVVIURPWKH7$ILHOGRIWKH085767ULJJHUIUDPH

 363ROOIUDPHIRUPDW


 Change the 2nd paragraph as follows:

 7KH%66,' 5$ LVVHWWRWKHDGGUHVVRIWKH67$FRQWDLQHGLQWKH$37KH7$ILHOGYDOXHLVWKHDGGUHVVRI
 WKH67$WUDQVPLWWLQJWKHIUDPHRUDEDQGZLGWKVLJQDOLQJ7$,QD363ROOIUDPHWUDQVPLWWHGE\D9+767$

 RU DQ +( 67$ LQ D QRQ+7 RU QRQ+7 GXSOLFDWH IRUPDW DQG ZKHUH WKH VFUDPEOLQJ VHTXHQFH FDUULHV WKH
 7;9(&725 SDUDPHWHU &+B%$1':,'7+B,1B121B+7 WKH 7$ ILHOG YDOXH LV D EDQGZLGWK VLJQDOLQJ 
 7$



&)(QGIUDPHIRUPDW

 Change the last paragraph as follows:



:KHQ,IWUDQVPLWWHGE\DQRQ'0*67$WKH%66,' 7$ ILHOGLVWKHDGGUHVVRIWKH67$FRQWDLQHGLQWKH
 $3H[FHSWWKDWWKH,QGLYLGXDO*URXSELWRIWKH%66,' 7$ ILHOGLVVHWWRLQD&)(QGIUDPHWUDQVPLWWHGE\

 D9+767$WRD9+7$3RUDQ+(67$WRDQ+($3LQDQRQ+7RUQRQ+7GXSOLFDWHIRUPDWWRLQGLFDWH
 WKDWWKHVFUDPEOLQJVHTXHQFHFDUULHVWKH7;9(&725SDUDPHWHU&+B%$1':,'7+B,1B121B+7:KHQ
 ,IWUDQVPLWWHGE\D'0*67$WKH7$ILHOGLVWKH0$&DGGUHVVRIWKH67$WUDQVPLWWLQJWKHIUDPH


 %ORFN$FN5HTIUDPHIRUPDW

 2YHUYLHZ


 Change the 4th paragraph as follows:

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KH7$ILHOGYDOXHLVWKHDGGUHVVRIWKH67$WUDQVPLWWLQJWKH%ORFN$FN5HTIUDPHRUDEDQGZLGWKVLJQDOLQJ
 7$,QD%ORFN$FN5HTIUDPHWUDQVPLWWHGE\D9+767$RUDQ+(67$LQDQRQ+7RUQRQ+7GXSOLFDWH

IRUPDW DQG ZKHUH WKH VFUDPEOLQJ VHTXHQFH FDUULHV WKH 7;9(&725 SDUDPHWHU &+B%$1'

 :,'7+B,1B121B+7WKH7$ILHOGYDOXHLVDEDQGZLGWKVLJQDOLQJ7$

 Change Figure 9-36 (BAR Control field format) as follows:



 % % % % % %% %% % %

 %$5$FN
0XOWL7,'
&RPSUHVVHG *&5
%$57\SH 5HVHUYHG 7,'B,1)2
 3ROLF\ %LWPDS 0RGH

%LWV       


 )LJXUH²%$5&RQWUROILHOGIRUPDW



 Replace the 7th paragraph (table reference) and Table 9-28 (BlockAckReq frame variant encoding) with
 the following:



7KH%$57\SHVXEILHOGLQGLFDWHVWKH%ORFN$FN5HTIUDPHYDULDQWDVGHILQHGLQ7DEOH %ORFN$FN5HT
 IUDPHYDULDQWHQFRGLQJ 


 7DEOH²%ORFN$FN5HTIUDPHYDULDQWHQFRGLQJ


 %$57\SH %ORFN$FN5HTIUDPHYDULDQW

  5HVHUYHG

  ([WHQGHG&RPSUHVVHG

  &RPSUHVVHG

 0XOWL7,'

  5HVHUYHG

  *&5

  5HVHUYHG

  */.*&5

 5HVHUYHG





%ORFN$FNIUDPHIRUPDW

 2YHUYLHZ


 Change paragraphs 3-4 as follows:

 7KH5$ILHOGRIWKH%ORFN$FNIUDPHLVWKHDGGUHVVRIWKHUHFLSLHQW67$ D%ORFN$FNIUDPHWKDWLVQRWD

0XOWL67$%ORFN$FNYDULDQWLVVHWWRWKH7$ILHOGRIWKHVROLFLWLQJIUDPHRUWKHDGGUHVVRIWKHUHFLSLHQW67$


 IURP ZKLFK 'DWD IUDPHV DUH DFNQRZOHGJHG 7KH 5$ ILHOG RI D 0XOWL67$ %ORFN$FN IUDPH LV VHW DV
 GHVFULEHGLQ 0XOWL67$%ORFN$FNYDULDQW 

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KH7$ILHOGYDOXHLVWKHDGGUHVVRIWKH67$WUDQVPLWWLQJWKH%ORFN$FNIUDPHRUDEDQGZLGWKVLJQDOLQJ7$ 
 LQWKHFRQWH[WRI+7GHOD\HGEORFNDFN,QD%ORFN$FNIUDPHWUDQVPLWWHGLQWKHFRQWH[WRI+7GHOD\HGEORFN 

DFN E\ D 9+7 67$ RU DQ +( 67$ LQ D QRQ+7 RU QRQ+7 GXSOLFDWH IRUPDW DQG ZKHUH WKH VFUDPEOLQJ

 VHTXHQFH FDUULHV WKH 7;9(&725 SDUDPHWHU &+B%$1':,'7+B,1B121B+7 WKH 7$ ILHOG YDOXH LV D
 EDQGZLGWKVLJQDOLQJ7$

 Change Figure 9-42 (BA Control field format) as follows:



 % % % % % %% %% % %

 %$$FN &RPSUHVVHG *&5
 3ROLF\ 0XOWL7,' %LWPDS 0RGH %$7\SH 5HVHUYHG 7,'B,1)2

 %LWV       

 )LJXUH²%$&RQWUROILHOGIRUPDW



 Change the 6th paragraph as follows:


)RU%ORFN$FNIUDPHVVHQWXQGHU+7GHOD\HGDJUHHPHQWVWKH%$$FN3ROLF\VXEILHOGRIWKH%$&RQWURO

 ILHOGKDVWKHPHDQLQJVKRZQLQ7DEOH %$$FN3ROLF\VXEILHOG )RU%ORFN$FNIUDPHVVHQWXQGHURWKHU
 W\SHVRIDJUHHPHQWWKH%$$FN3ROLF\VXEILHOGLVUHVHUYHG$Q+(67$GRHVQRWVHQGD0XOWL67$%ORFN
 $FNIUDPHXQGHU'HOD\HGDQG+7GHOD\HGDJUHHPHQWV


 Replace the paragraphs 7-8 and Table 9-30 (BlockAck frame variant encoding) with the following:

 7KH%$7\SHVXEILHOGLQWKH%$&RQWUROILHOGLQGLFDWHVWKH%ORFN$FNIUDPHYDULDQWDVGHILQHGLQ7DEOH
  %ORFN$FNIUDPHYDULDQWHQFRGLQJ 



 7DEOH²%ORFN$FNIUDPHYDULDQWHQFRGLQJ


 %$7\SH %ORFN$FNIUDPHYDULDQW

  5HVHUYHG

 ([WHQGHG&RPSUHVVHG

  &RPSUHVVHG

  0XOWL7,'

  5HVHUYHG

  *&5

 5HVHUYHG

  */.*&5

  0XOWL67$

  5HVHUYHG



 127(²5HIHUHQFHWR³D%ORFN$FN´IUDPHZLWKRXWDQ\RWKHUTXDOLILFDWLRQIURPRWKHUVXEFODXVHVDSSOLHVWRDQ\RIWKH
 YDULDQWVXQOHVVVSHFLILFH[FOXVLRQVDUHFDOOHGRXW

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KH*&5%ORFN$FNIUDPHLVXVHGLQUHVSRQVHWRD*&5%ORFN$FN5HTIUDPHDQGWKH*/.*&5%ORFN$FN

 IUDPHLVXVHGLQUHVSRQVHWRD*/.*&5%ORFN$FN5HTIUDPH


 &RPSUHVVHG%ORFN$FNYDULDQW

 Change the 2nd paragraph and Figure 9-43 (BA Information field format (Compressed BlockAck)) as
 follows:


 7KH%$,QIRUPDWLRQILHOGRIWKH&RPSUHVVHG%ORFN$FNIUDPHFRPSULVHVWKH%ORFN$FN6WDUWLQJ6HTXHQFH
 &RQWUROVXEILHOGDQGWKH%ORFN$FN%LWPDSVXEILHOGDVLVVKRZQLQ)LJXUH %$,QIRUPDWLRQILHOGIRU
 PDW &RPSUHVVHG%ORFN$FN 7KH%ORFN$FN6WDUWLQJ6HTXHQFH&RQWUROVXEILHOGLVVKRZQLQ)LJXUH
 %ORFN $FN 6WDUWLQJ 6HTXHQFH &RQWURO VXEILHOG IRUPDW  7KH 6WDUWLQJ 6HTXHQFH 1XPEHU VXEILHOG RI WKH

%ORFN $FN 6WDUWLQJ 6HTXHQFH &RQWURO VXEILHOG FRQWDLQV WKH VHTXHQFH QXPEHU RI WKH ILUVW 06'8 RU $

 06'8IRUZKLFKWKLV%ORFN$FNIUDPHLVVHQW7KLVVXEILHOGLVGHILQHGLQ *HQHUDWLRQDQGWUDQV
 PLVVLRQRI%ORFN$FNIUDPHVE\DQ+767$'0*67$RU6*67$ 7KH)UDJPHQW1XPEHUVXEILHOGRI
 WKH%ORFN$FN6WDUWLQJ6HTXHQFH&RQWUROVXEILHOGLVVHWWR



 %ORFN$FN6WDUWLQJ6HTXHQFH&RQWURO %ORFN$FN%LWPDS

 2FWHWV  RU


 )LJXUH²%$,QIRUPDWLRQILHOGIRUPDW &RPSUHVVHG%ORFN$FN



Insert the following paragraph and table after the 2nd paragraph:


 7KH )UDJPHQW 1XPEHU VXEILHOG RI WKH %ORFN $FN 6WDUWLQJ 6HTXHQFH &RQWURO ILHOG LV VHW DV GHILQHG LQ

 7DEOHD )UDJPHQW 1XPEHU VXEILHOG HQFRGLQJ IRU WKH &RPSUHVVHG %ORFN$FN YDULDQW  7KH )UDJPHQW































 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 1XPEHU VXEILHOG RI WKH %ORFN $FN 6WDUWLQJ 6HTXHQFH &RQWURO VXEILHOG LV VHW WR DOO V LI WKH &RPSUHVVHG
 %ORFN$FNIUDPHLVVHQWWRRUIURPDQRQ+(67$



 7DEOHD²)UDJPHQW1XPEHUVXEILHOGHQFRGLQJIRUWKH&RPSUHVVHG%ORFN$FNYDULDQW


 )UDJPHQW1XPEHU 0D[LPXPQXPEHURI
VXEILHOG )UDJPHQWDWLRQ %ORFN$FN
 06'8V$06'8V
/HYHO 21 %LWPDSVXEILHOG
 WKDWFDQEH
2)) OHQJWK RFWHWV
 % %% % DFNQRZOHGJHG

     

    5HVHUYHG 5HVHUYHG
2))
     

    5HVHUYHG 5HVHUYHG

     

    5HVHUYHG 5HVHUYHG
 21
     
    5HVHUYHG 5HVHUYHG

  $Q\ $Q\ 5HVHUYHG 5HVHUYHG

 127(²$&RPSUHVVHG%ORFN$FNIUDPHZLWK%RIWKH)UDJPHQW1XPEHUVXEILHOGVHWWRLV
 QRWVHQWWRDQ+(67$ZKRVH'\QDPLF)UDJPHQWDWLRQ6XSSRUWVXEILHOGLQWKH+(&DSDELOLWLHV
 HOHPHQWLWWUDQVPLWVLVQRWVHWWR VHH )UDJPHQWDWLRQDQGGHIUDJPHQWDWLRQ 



 Change the remainder of the subclause as follows:

 ,I%RIWKH)UDJPHQW1XPEHUVXEILHOGLVWKH%ORFN$FN%LWPDSVXEILHOGRIWKH%$,QIRUPDWLRQILHOGRI


WKH&RPSUHVVHG%ORFN$FNIUDPHLQGLFDWHVWKHUHFHLYHVWDWXVRIXSWRRU06'8VDQGRU$06'8V
 GHSHQGLQJXSRQWKHYDOXHRI%%LQWKH)UDJPHQW1XPEHUVXEILHOGDVVKRZQLQ7DEOHD )UDJPHQW
 1XPEHUVXEILHOGHQFRGLQJIRUWKH&RPSUHVVHG%ORFN$FNYDULDQW 7KH%ORFN$FN%LWPDSVXEILHOGRIWKH
 %$,QIRUPDWLRQILHOGRIWKH&RPSUHVVHG%ORFN$FNIUDPHLVRFWHWVLQOHQJWKDQGLVXVHGWRLQGLFDWHWKH
 UHFHLYHGVWDWXVRIXSWRHQWULHVZKHUHHDFKHQWU\UHSUHVHQWVDQ06'8RUDQ$06'8(DFKELWWKDWLV


HTXDOWRLQWKHFRPSUHVVHG%ORFN$FN%LWPDSVXEILHOGDFNQRZOHGJHVWKHUHFHSWLRQRIDVLQJOH06'8RU
 $06'8LQWKHRUGHURIVHTXHQFHQXPEHUZLWKWKHILUVWELWRIWKH%ORFN$FN%LWPDSVXEILHOGFRUUHVSRQG
 LQJWRWKH06'8RU$06'8RUIUDJPHQWWKHUHRIZLWKWKHVHTXHQFHQXPEHUWKDWPDWFKHVWKHYDOXHRIWKH
 6WDUWLQJ6HTXHQFH1XPEHUVXEILHOGRIWKH%ORFN$FN6WDUWLQJ6HTXHQFH&RQWUROVXEILHOG



,I%RIWKH)UDJPHQW1XPEHUVXEILHOGLVWKH%ORFN$FN%LWPDSVXEILHOGRIWKH%$,QIRUPDWLRQILHOGRI
 WKH&RPSUHVVHG%ORFN$FNIUDPHLQGLFDWHVWKHUHFHLYHVWDWXVRIXSWRRU06'8VDQGRU$06'8V
 GHSHQGLQJ XSRQ WKH YDOXH %% LQ WKH )UDJPHQW 1XPEHU VXEILHOG DV VKRZQ LQ 7DEOHD )UDJPHQW
 1XPEHUVXEILHOGHQFRGLQJIRUWKH&RPSUHVVHG%ORFN$FNYDULDQW ,IELWSRVLWLRQnRIWKH%ORFN$FN%LWPDS 
 VXEILHOGLVLWDFNQRZOHGJHVUHFHLSWRIDQ03'8ZLWKVHTXHQFHQXPEHUYDOXHSNDQGIUDJPHQWQXPEHU


YDOXHFNZLWKn î SN±SSN FNZKHUHSSNLVWKHYDOXHRIWKH6WDUWLQJ6HTXHQFH1XPEHUVXEILHOGRI
 WKH %ORFN $FN 6WDUWLQJ 6HTXHQFH &RQWURO VXEILHOG DQG WKH RSHUDWLRQV RQ WKH VHTXHQFH QXPEHUV DUH SHU
 IRUPHGPRGXOR,IELWSRVLWLRQnRIWKH%ORFN$FN%LWPDSVXEILHOGLVLWLQGLFDWHVWKDWWKH03'8KDV
 QRWEHHQUHFHLYHG

 127(²,IWKH%RIWKH)UDJPHQW1XPEHUVXEILHOGLVHTXDOWRWKHQWKH%ORFN$FN%LWPDSVXEILHOGLVVSOLWLQWR %ORFN
 $FN%LWPDSVXEILHOGOHQJWK VXEELWPDSVHDFKRIZKLFKLQGLFDWHVUHFHLYHVWDWXVIRUIUDJPHQWVRIHDFKRIWKH06'8V
 RU$06'8VDVLQGLFDWHGLQ7DEOHD )UDJPHQW1XPEHUVXEILHOGHQFRGLQJIRUWKH&RPSUHVVHG%ORFN$FNYDULDQW 

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 *&5%ORFN$FNYDULDQW


 Change the 3rd paragraph as follows:

 7KH*&5*URXS$GGUHVVVXEILHOGLVVHWWRWKHYDOXHIURPWKH*URXS$GGUHVVVXEILHOGRIWKH*&5%$5 

,QIRUPDWLRQILHOGLQWKH%ORFN$FN5HTIUDPHWRZKLFKWKH%ORFN$FNIUDPHLVVHQWLQUHVSRQVH,IWKH%ORFN

 $FNIUDPHLVVHQWLQUHVSRQVHWRD*&508%$57ULJJHUIUDPHWKH*&5*URXS$GGUHVVVXEILHOGLVVHWWR
 WKHYDOXHIURPWKH5$ILHOGLQWKH*&508%$57ULJJHUIUDPH


Insert the following new subclause after 9.3.1.8.6:


 0XOWL67$%ORFN$FNYDULDQW


 7KH 0XOWL67$ %ORFN$FN IUDPH LV VXSSRUWHG LI HLWKHU 8/ 08 RU PXOWL7,' $03'8 RSHUDWLRQ LV VXS
 SRUWHGDQGDFNQRZOHGJHV03'8VFDUULHGLQDQ+(7%33'8RUPXOWL67$PXOWL7,'PXOWL67$VLQJOH
 7,'RUVLQJOH67$PXOWL7,'$03'8V


 $Q+($3WKDWVHQGVD0XOWL67$%ORFN$FNIUDPHZKHUHWKH3HU$,'7,',QIRILHOGVDUHDGGUHVVHGWR
 PRUHWKDQRQH67$VHWVWKH5$ILHOGWRWKHEURDGFDVWDGGUHVV$Q+($3WKDWVHQGVD0XOWL67$%ORFN$FN 
 IUDPH ZKHUH WKH 3HU $,' 7,' ,QIR ILHOGV DUH DOO DGGUHVVHG WR D VLQJOH UHFLSLHQW 67$ DQG WKDW LV VHQW LQ

 UHVSRQVHWRDQ+(7%33'8VHWVWKH5$ILHOGRIWKH0XOWL67$%ORFN$FNIUDPHWRHLWKHUWKHDGGUHVVRIWKH


UHFLSLHQW67$RUWRWKHEURDGFDVWDGGUHVV$Q+($3WKDWVHQGVD0XOWL67$%ORFN$FNIUDPHZKHUHWKH3HU
 $,'7,',QIRILHOGVDUHDOODGGUHVVHGWRDVLQJOHUHFLSLHQW67$DQGWKDWLVQRWVHQWLQUHVSRQVHWRDQ+(7% 
 33'8VHWVWKH5$ILHOGRIWKH0XOWL67$%ORFN$FNIUDPHWRWKHDGGUHVVRIWKHUHFLSLHQW67$



$QRQ$3+(67$VHWVWKH5$ILHOGWRWKH7$ILHOGRIWKHVROLFLWLQJIUDPHRUWRWKHDGGUHVVRIWKHUHFLSLHQW
 67$ZKRVH'DWDRU0DQDJHPHQWIUDPHVDUHDFNQRZOHGJHG

 7KH7,'B,1)2VXEILHOGRIWKH%$&RQWUROILHOGRIWKH0XOWL67$%ORFN$FNIUDPHLVUHVHUYHG


 7KH%$,QIRUPDWLRQILHOGRIWKH0XOWL67$%ORFN$FNIUDPHFRPSULVHVRQHRUPRUH3HU$,'7,',QIRVXE
 ILHOGVDVGHILQHGLQ)LJXUHD %$,QIRUPDWLRQILHOGIRUPDW 0XOWL67$%ORFN$FN 



 5HSHDWHGIRUHDFK$,'7,'!WXSOH


 3HU$,'7,',QIR

 2FWHWV YDULDEOH

 )LJXUHD²%$,QIRUPDWLRQILHOGIRUPDW 0XOWL67$%ORFN$FN



 7KH$,'7,',QIRVXEILHOGLVVKRZQLQ)LJXUHE $,'7,',QIRVXEILHOGIRUPDW 



 % % % % %

 $,' $FN7\SH 7,'
 %LWV   


 )LJXUHE²$,'7,',QIRVXEILHOGIRUPDW

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KH$,'VXEILHOGFDUULHVWKH/6%VRIWKH$,'RIWKHQRQ$367$IRUZKLFKWKH3HU$,'7,',QIR
 VXEILHOGLVLQWHQGHG7KHIRUPDWRIWKH3HU$,'7,',QIRVXEILHOGGHSHQGVRQWKHYDOXHRIWKH$,'VXE

ILHOG,IWKH0XOWL67$%ORFN$FNIUDPHLVVHQWWRDQ$3WKH$,'VXEILHOGLVVHWWR$YDOXHRILQ

 WKH$,'VXEILHOGLVXVHGDVDXQLTXHLGHQWLILHUIRUDQ\XQDVVRFLDWHG67$,IWKH$,'VXEILHOGLVVHWWR
 WKHQWKH$FN7\SHVXEILHOGDQG7,'VXEILHOGDUHVHWWRDQGUHVSHFWLYHO\

 127(²0RUHWKDQRQH3HU$,'7,',QIRVXEILHOGZLWKWKHVDPHYDOXHLQWKH$,'VXEILHOGEXWGLIIHUHQWYDOXHVLQWKH
 7,'VXEILHOGFDQEHSUHVHQWLQWKH0XOWL67$%ORFN$FNIUDPH

 ,IWKH$,'VXEILHOGRIWKH$,'7,',QIRVXEILHOGLVQRWWKHQWKH3HU$,'7,',QIRVXEILHOGKDVWKH
 IRUPDWVKRZQLQ)LJXUHF 3HU$,'7,',QIRVXEILHOGIRUPDWLIWKH$,'VXEILHOGLVQRW 





 %ORFN$FN6WDUWLQJ
$,'7,',QIR 6HTXHQFH&RQWURO %ORFN$FN%LWPDS

 2FWHWV  RU RU


 )LJXUHF²3HU$,'7,',QIRVXEILHOGIRUPDWLIWKH$,'VXEILHOGLVQRW











































&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ,IWKH$,'VXEILHOGLVQRWWKHQWKHFRQWH[WDQGWKHSUHVHQFHRIHDFKRSWLRQDOVXEILHOGLQD3HU$,'

 7,',QIRVXEILHOGLQD0XOWL67$%ORFN$FNIUDPHLVGHILQHGLQ7DEOHE &RQWH[WRIWKH3HU$,'7,' 

,QIRVXEILHOGDQGSUHVHQFHRIRSWLRQDOVXEILHOGVLIWKH$,'VXEILHOGLVQRW 



 7DEOHE²&RQWH[WRIWKH3HU$,'7,',QIRVXEILHOGDQGSUHVHQFHRIRSWLRQDOVXEILHOGVLI
 WKH$,'VXEILHOGLVQRW


 3UHVHQFHRI%ORFN
 $FN $FN6WDUWLQJ
7,'
 7\SH 6HTXHQFH&RQWURO &RQWH[WRID3HU$,'7,',QIRVXEILHOGLQD0XOWL67$
VXEILHOG
 VXEILHOG VXEILHOGDQG%ORFN %ORFN$FNIUDPH
YDOXHV
 YDOXHV $FN%LWPDS
 VXEILHOGV

  ± 3UHVHQW %ORFNDFNQRZOHGJPHQWFRQWH[W
 6HQWDVDQDFNQRZOHGJPHQWWR4R6'DWDIUDPHVWKDWVROLFLW
 D%ORFN$FNIUDPHUHVSRQVHRUWRD%ORFN$FN5HTIUDPH

  ± 1RWSUHVHQW $FNQRZOHGJPHQWFRQWH[W
 6HQWDVDQDFNQRZOHGJPHQWWRD4R6'DWDRU4R61XOO
 IUDPHWKDWVROLFLWVDQ$FNIUDPHUHVSRQVH

 RU ± 1$ 5HVHUYHG
   1$ 5HVHUYHG

   1RWSUHVHQW $OODFNFRQWH[W
 6HQWDVDQDFNQRZOHGJPHQWWRDQ$03'8WKDWFRQWDLQV
 DQ03'8WKDWVROLFLWVDQLPPHGLDWHUHVSRQVHDQGDOO
 03'8VFRQWDLQHGLQWKH$03'8DUHUHFHLYHGVXFFHVV
 IXOO\

   1$ 5HVHUYHG

   1RWSUHVHQW 0DQDJHPHQW363ROOIUDPHDFNQRZOHGJPHQWFRQWH[W
 6HQWDVDQDFNQRZOHGJPHQWWRD0DQDJHPHQWRU363ROO
 IUDPH

 127(²$GGLWLRQDOUXOHVIRUDFNQRZOHGJPHQWEORFNDFNQRZOHGJPHQWDQGWKHDOODFNFRQWH[WDUHGHILQHG

 LQ $FNQRZOHGJPHQWFRQWH[WLQD0XOWL67$%ORFN$FNIUDPH IRUDPXOWL7,'$03'8
 127(²$V+(67$VGRQRWXVH+&&$ VHH *HQHUDO 7,'YDOXHVIURPWRDUHQRWXVHGLQ

 4R6'DWDIUDPHV






















 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ,IWKH$FN7\SHVXEILHOGLVWKH)UDJPHQW1XPEHUVXEILHOGHQFRGLQJLQGLFDWHVWKHOHQJWKRIWKH%ORFN$FN

 ELWPDSVXEILHOGDVGHILQHGLQ7DEOHF )UDJPHQW1XPEHUVXEILHOGHQFRGLQJIRUWKH0XOWL67$%ORFN

$FNYDULDQW 



 7DEOHF²)UDJPHQW1XPEHUVXEILHOGHQFRGLQJIRUWKH0XOWL67$%ORFN$FNYDULDQW


 )UDJPHQW1XPEHU 0D[LPXPQXPEHURI
VXEILHOG )UDJPHQWDWLRQ %ORFN$FN
 06'8V$06'8V
/HYHO 21 %LWPDSVXEILHOG
 WKDWFDQEH
2)) OHQJWK RFWHWV
 % %% % DFNQRZOHGJHG

     

     
 2))
     
     

     

     
 21
     

     
  $Q\ $Q\ 5HVHUYHG 5HVHUYHG

 127(²$0XOWL67$%ORFN$FNIUDPHZLWK%RIWKH)UDJPHQW1XPEHUVXEILHOGVHWWRFDQ
 QRWEHVHQWWRDQ+(67$XQOHVVWKH+(&DSDELOLWLHVHOHPHQWUHFHLYHGIURPWKH+(67$KDVWKH
 '\QDPLF)UDJPHQWDWLRQ6XSSRUWVXEILHOGHTXDOWR VHH )UDJPHQWDWLRQDQGGHIUDJPHQWD
 WLRQ 





,I%RIWKH)UDJPHQW1XPEHUVXEILHOGRIWKH%ORFN$FN6WDUWLQJ6HTXHQFH&RQWUROVXEILHOGLVWKH%$ 
 ,QIRUPDWLRQILHOGRIWKH0XOWL67$%ORFN$FNIUDPHFRQWDLQVDQRFWHWRFWHWRFWHWRURFWHW%ORFN 
 $FN %LWPDS VXEILHOG GHSHQGLQJ RQ %% RI WKH )UDJPHQW 1XPEHU VXEILHOG DV GHILQHG LQ 7DEOHF
 )UDJPHQW1XPEHUVXEILHOGHQFRGLQJIRUWKH0XOWL67$%ORFN$FNYDULDQW LQGLFDWLQJWKHUHFHLYHVWDWXVRI
 XSWRRU06'8V RUIUDJPHQWVWKHUHRI DQGRU$06'8V RUIUDJPHQWVWKHUHRI UHVSHF


WLYHO\(DFKELWWKDWLVHTXDOWRLQWKH%ORFN$FN%LWPDSVXEILHOGDFNQRZOHGJHVWKHUHFHSWLRQRIDVLQJOH
 06'8 RUIUDJPHQWWKHUHRI RU$06'8 RUIUDJPHQWWKHUHRI LQWKHRUGHURIVHTXHQFHQXPEHUZLWKWKH
 ILUVWELWRIWKH%ORFN$FN%LWPDSVXEILHOGFRUUHVSRQGLQJWRWKH06'8RU$06'8ZLWKWKHVHTXHQFHQXP
 EHUWKDWPDWFKHVWKHYDOXHRIWKH6WDUWLQJ6HTXHQFH1XPEHUVXEILHOGRIWKH%ORFN$FN6WDUWLQJ6HTXHQFH
 &RQWUROVXEILHOG


 ,I%RIWKH)UDJPHQW1XPEHUVXEILHOGRIWKH%ORFN$FN6WDUWLQJ6HTXHQFH&RQWUROVXEILHOGLVWKH%ORFN

 $FN%LWPDSVXEILHOGRIWKH%$,QIRUPDWLRQILHOGRIWKH0XOWL67$%ORFN$FNIUDPHLQGLFDWHVWKHUHFHLYH


VWDWXVRIXSWRRU06'8VDQGRU$06'8VGHSHQGLQJRQ%%RIWKH)UDJPHQW1XPEHUVXE
 ILHOGDVVKRZQLQ7DEOHF )UDJPHQW1XPEHUVXEILHOGHQFRGLQJIRUWKH0XOWL67$%ORFN$FNYDULDQW 
 ,IELWSRVLWLRQnRIWKH%ORFN$FN%LWPDSVXEILHOGLVLWDFNQRZOHGJHVUHFHLSWRIDQ03'8ZLWKVHTXHQFH
 QXPEHUYDOXHSNDQGIUDJPHQWQXPEHUYDOXHFNZLWKn î SN±SSN FNZKHUHSSNLVWKHYDOXHRI
 WKH6WDUWLQJ6HTXHQFH1XPEHUVXEILHOGRIWKH%ORFN$FN6WDUWLQJ6HTXHQFH&RQWUROVXEILHOGDQGWKHRSHUD


WLRQVRQWKHVHTXHQFHQXPEHUVDUHSHUIRUPHGPRGXOR,IELWSRVLWLRQnRIWKH%ORFN$FN%LWPDSVXE
 ILHOGLVLWLQGLFDWHVWKDWWKH03'8KDVQRWEHHQUHFHLYHG

 127(²,I%RIWKH)UDJPHQW1XPEHUVXEILHOGLVWKHQWKH%ORFN$FN%LWPDSILHOGLVVSOLWLQWR%ORFN$FN%LWPDS 
 ILHOGOHQJWKVXEELWPDSVHDFKRIZKLFKLQGLFDWHVUHFHLYHVWDWXVIRUIUDJPHQWVRIHDFKRIWKH06'8VRU$06'8VDV

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 LQGLFDWHGLQ7DEOHF )UDJPHQW1XPEHUVXEILHOGHQFRGLQJIRUWKH0XOWL67$%ORFN$FNYDULDQW )RUDQ$06'8


 RQO\WKHILUVWELWRIWKHVXEELWPDSLVXVHGLIIUDJPHQWDWLRQLVQRWDOORZHGLQDQ$06'8

 ,IWKH$,'VXEILHOGRIWKH$,'7,',QIRVXEILHOGLVWKHQWKH3HU$,'7,',QIRVXEILHOGKDVWKHIRU

PDWVKRZQLQ)LJXUHG 3HU$,'7,',QIRVXEILHOGIRUPDWLIWKH$,'VXEILHOGLV ZKHUHWKH5$ 

 VXEILHOGLQGLFDWHVWKH 0$& DGGUHVV RIDQ XQDVVRFLDWHG 67$ IRU ZKLFK WKH 3HU $,' 7,' ,QIRVXEILHOG LV
 LQWHQGHG




 $,'7,',QIR 5HVHUYHG 5$

 2FWHWV   


 )LJXUHG²3HU$,'7,',QIRVXEILHOGIRUPDWLIWKH$,'VXEILHOGLV


 127(²$QDVVRFLDWHGQRQ$3+(67$WKDWUHFHLYHVD0XOWL67$%ORFN$FNIUDPHDVDUHVSRQVHIURPLWV$3DQGGRHV
 QRWVXSSRUWWKH825$SURFHGXUHLJQRUHVWKHRFWHWVIROORZLQJWKH$,'7,',QIRVXEILHOGWKDWDUHWKHUHPDLQGHURIWKH
 3HU$,'7,',QIRVXEILHOGLIWKH$,'VXEILHOGLVDQGSDUVHVWKHIROORZLQJ3HU$,'7,',QIRVXEILHOGVLIDQ\

 Change the title of 9.3.1.19 as follows:


 9+7+(1'3$QQRXQFHPHQWIUDPHIRUPDW

 Insert the following before the 1st paragraph:


 7KH9+7+(1'3$QQRXQFHPHQWIUDPHKDVWZRYDULDQWVWKH9+71'3$QQRXQFHPHQWIUDPHDQGWKH+( 
 1'3 $QQRXQFHPHQW IUDPH 7KH WZR IRUPDWV DUH GLVWLQJXLVKHG E\ WKH VHWWLQJ RI WKH +( VXEILHOG LQ WKH
 6RXQGLQJ'LDORJ7RNHQILHOG

 Change paragraphs 3-4 as follows:


 7KH 9+7+( 1'3 $QQRXQFHPHQW IUDPH FRQWDLQV DW OHDVW RQH 67$ ,QIR ILHOG ,I WKH 9+7+( 1'3 
 $QQRXQFHPHQWIUDPHFRQWDLQVRQO\RQH67$,QIRILHOGWKHQWKH5$ILHOGLVVHWWRWKHDGGUHVVRIWKH67$ 
 WKDW FDQ SURYLGH IHHGEDFN VHH  5XOHV IRU 9+7 VRXQGLQJ SURWRFRO VHTXHQFHV  ,I WKH 9+7+(
 1'3$QQRXQFHPHQWIUDPHFRQWDLQVPRUHWKDQRQH67$,QIRILHOGWKHQWKH5$ILHOGLVVHWWRWKHEURDGFDVW

 DGGUHVV

 7KH7$ILHOGLVVHWWRWKHDGGUHVVRIWKH67$WUDQVPLWWLQJWKH9+7+(1'3$QQRXQFHPHQWIUDPHRUWKH
 EDQGZLGWKVLJQDOLQJ7$RIWKH67$WUDQVPLWWLQJWKH9+7+(1'3$QQRXQFHPHQWIUDPH,QD9+7+(
 1'3$QQRXQFHPHQWIUDPHWUDQVPLWWHGE\D9+7RU+(67$LQDQRQ+7RUQRQ+7GXSOLFDWHIRUPDWDQG

 ZKHUHWKHVFUDPEOLQJVHTXHQFHFDUULHVWKH7;9(&725SDUDPHWHU&+B%$1':,'7+B,1B121B+7WKH
 7$ILHOGLVVHWWRDEDQGZLGWKVLJQDOLQJ7$














 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 Change Figure 9-59 (Sounding Dialog Token field format) as follows:





 %% % %%

 6RXQGLQJ'LDORJ
 5HVHUYHG +(
7RNHQ1XPEHU

 %LWV   


 )LJXUH²6RXQGLQJ'LDORJ7RNHQILHOGIRUPDW


 Insert the following after the 5th paragraph (“The format of the Sounding…”):


 7KH +( VXEILHOG LQ WKH 6RXQGLQJ 'LDORJ 7RNHQ ILHOG LV VHW WR  WR LGHQWLI\ WKH IUDPH DV D 9+7 1'3

 $QQRXQFHPHQWIUDPHDQGVHWWRWRLGHQWLI\WKHIUDPHDVDQ+(1'3$QQRXQFHPHQWIUDPH

 Insert the following at the end of 9.3.1.19:


 7KHIRUPDWRIWKH+(1'3$QQRXQFHPHQWIUDPHLVVKRZQLQ)LJXUHD +(1'3$QQRXQFHPHQWIUDPH
 IRUPDW 



 0$&KHDGHU



6RXQGLQJ
 )UDPH 'XUDWLRQ 5$ 7$ 'LDORJ 67$,QIR « 67$,QIRn )&6
 &RQWURO
7RNHQ

 2FWHWV        


 )LJXUHD²+(1'3$QQRXQFHPHQWIUDPHIRUPDW


 7KH'XUDWLRQ5$DQG7$ILHOGVDUHVHWDVLQD9+71'3$QQRXQFHPHQWIUDPH


 7KH +( VXEILHOG LQ WKH 6RXQGLQJ 'LDORJ 7RNHQ ILHOG LV VHW WR  WR LGHQWLI\ WKH IUDPH DV DQ +( 1'3

 $QQRXQFHPHQWIUDPH

 7KH6RXQGLQJ'LDORJ7RNHQ1XPEHUILHOGLQWKH6RXQGLQJ'LDORJ7RNHQILHOGFRQWDLQVDYDOXHVHOHFWHGE\


 WKHEHDPIRUPHUWRLGHQWLI\WKH+(1'3$QQRXQFHPHQWIUDPH















&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KHIRUPDWRIWKH67$,QIRILHOGLQDQ+(1'3$QQRXQFHPHQW)UDPHLIWKH$,'VXEILHOGLVQRWVHWWR 
  LV GHILQHG LQ )LJXUHE 67$ ,QIR VXEILHOG IRUPDW LQ DQ +( 1'3 $QQRXQFHPHQW IUDPH LI WKH

$,'VXEILHOGLVQRW 



 %% %% %% % % %%

 $,' 3DUWLDO%: )HHGEDFN 'LVDPELJXDWLRQ &RGHERRN 1F
 ,QIR 7\SH$QG1J 6L]H

%LWV      


 )LJXUHE²67$,QIRVXEILHOGIRUPDWLQDQ+(1'3$QQRXQFHPHQWIUDPHLIWKH$,'
 VXEILHOGLVQRW



 $Q+(1'3$QQRXQFHPHQWIUDPHFRQWDLQVDWPRVW67$,QIRILHOGSHU67$

 ,IWKH$,'VXEILHOGLVQRWWKHQLWFRQWDLQVDQLGHQWLILHURID67$H[SHFWHGWRSURFHVVWKHIROORZLQJ

+(VRXQGLQJ1'3DQGSUHSDUHWKHVRXQGLQJIHHGEDFN


 7KH3DUWLDO%:,QIRVXEILHOGLVGHILQHGLQ)LJXUHF 3DUWLDO%:,QIRVXEILHOGIRUPDW 



 %% %%

586WDUW,QGH[ 58(QG,QGH[

 %LWV  


 )LJXUHF²3DUWLDO%:,QIRVXEILHOGIRUPDW


 7KH586WDUW,QGH[VXEILHOGLQWKH3DUWLDO%:,QIRVXEILHOGLQGLFDWHVWKHILUVWWRQH58IRUZKLFKWKH+(


EHDPIRUPHULVUHTXHVWLQJIHHGEDFN7KH58(QG,QGH[VXEILHOGRIWKH3DUWLDO%:,QIRVXEILHOGLQGLFDWHVWKH

 ODVWWRQH58IRUZKLFKWKH+(EHDPIRUPHULVUHTXHVWLQJIHHGEDFN7KHYDOXHRIWKH586WDUW,QGH[VXE
 ILHOGLVOHVVWKDQRUHTXDOWRWKHYDOXHRIWKH58(QG,QGH[VXEILHOG7KH586WDUW,QGH[VXEILHOGDQG58 
 (QG,QGH[VXEILHOGGHSHQGVRQWKHEDQGZLGWKRIWKH+(1'3$QQRXQFHPHQWIUDPHZKLFKLVLQGLFDWHGE\ 
 WKH7;9(&725SDUDPHWHU&+B%$1':,'7+LIWKHIUDPHLVFDUULHGLQDQ+(9+7RU+733'8DQGE\

WKH7;9(&725SDUDPHWHU&+B%$1':,'7+B,1B121B+7LIWKHIUDPHLVFDUULHGLQDQRQ+7GXSOLFDWH

 33'8DQGLV0+]LIWKHIUDPHLVFDUULHGLQQRQ+733'87KHYDOXHVRIWKH586WDUW,QGH[VXEILHOG 
 DQG58(QG,QGH[VXEILHOGDUHHDFKVHOHFWHGIURPWKHIROORZLQJ
 ² 9DOXHVWRLIWKHEDQGZLGWKRIWKH+(1'3$QQRXQFHPHQWIUDPHLV0+]ZKHUHLQGLFDWHV

 WRQH58DQGLQGLFDWHVWRQH589DOXHVDUHUHVHUYHG6HH7DEOH 'DWDDQG

 SLORWVXEFDUULHULQGLFHVIRU58VLQD0+]+(33'8DQGLQDQRQ2)'0$0+]+(33'8 
 ² 9DOXHVWRLIWKHEDQGZLGWKRIWKH+(1'3$QQRXQFHPHQWIUDPHLV0+]ZKHUHLQGLFDWHV

 WRQH58DQGLQGLFDWHVWRQH589DOXHVDUHUHVHUYHG6HH7DEOH 'DWDDQG

 SLORWVXEFDUULHULQGLFHVIRU58VLQD0+]+(33'8DQGLQDQRQ2)'0$0+]+(33'8 
 ² 9DOXHVWRLIWKHEDQGZLGWKRIWKH+(1'3$QQRXQFHPHQWIUDPHLV0+]ZKHUHLQGLFDWHV


WRQH58DQGLQGLFDWHVWRQH589DOXHVDUHUHVHUYHG6HH7DEOH 'DWDDQG

 SLORWVXEFDUULHULQGLFHVIRU58VLQDQ0+]+(33'8DQGLQDQRQ2)'0$0+]+(33'8 
 ² 9DOXHVWRLIWKHEDQGZLGWKRIWKH+(1'3$QQRXQFHPHQWIUDPHLV0+]ZKHUHLQGLFDWHV

WRQH58DQGLQGLFDWHVWRQH58,QWKH0+]FDVHYDOXHLQGLFDWHVWKHWRQH

 58LQWKHORZHU0+]IUHTXHQF\VHJPHQWDQGLQGLFDWHVWKHWRQH58LQWKHORZHU
 0+]IUHTXHQF\VHJPHQWDQGLQGLFDWHVWKHWRQH58LQWKHXSSHU0+]IUHTXHQF\VHJPHQW

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 DQG  LQGLFDWHV WKH WRQH 58  LQ WKH XSSHU  0+] IUHTXHQF\ VHJPHQW 9DOXHV  DUH
 UHVHUYHG)RU0+]IHHGEDFNLVQRWUHTXHVWHGIRUWKHJDSEHWZHHQWKH0+]VHJPHQWV6HH

7DEOH 'DWD DQG SLORW VXEFDUULHU LQGLFHV IRU 58V LQ DQ  0+] +( 33'8 DQG LQ D QRQ

 2)'0$0+]+(33'8 

 7KH)HHGEDFN7\SH$QG1JDQG&RGHERRN6L]HVXEILHOGVDUHGHILQHGLQ7DEOHD )HHGEDFN7\SH$QG

 1JVXEILHOGDQG&RGHERRN6L]HVXEILHOGHQFRGLQJ 



 7DEOHD²)HHGEDFN7\SH$QG1JVXEILHOGDQG&RGHERRN6L]HVXEILHOGHQFRGLQJ


 &RGHERRN
)HHGEDFN7\SH$QG1J
 6L]H
'HVFULSWLRQ

 % % %

    68Ng TXDQWL]DWLRQUHVROXWLRQ ࢥȥ  ^`

    68Ng TXDQWL]DWLRQUHVROXWLRQ ࢥȥ  ^`
    68Ng TXDQWL]DWLRQUHVROXWLRQ ࢥȥ  ^`

    68Ng TXDQWL]DWLRQUHVROXWLRQ ࢥȥ  ^`

    08Ng TXDQWL]DWLRQUHVROXWLRQ ࢥȥ  ^`

    08Ng TXDQWL]DWLRQUHVROXWLRQ ࢥȥ  ^`

    &4,
    08Ng TXDQWL]DWLRQUHVROXWLRQ ࢥȥ  ^`



 7KH'LVDPELJXDWLRQVXEILHOGLVVHWWRWRSUHYHQWDQRQ+(9+767$IURPZURQJO\GHWHUPLQLQJLWV$,'LQ

WKH +( 1'3 $QQRXQFHPHQW IUDPH 7KH 'LVDPELJXDWLRQ VXEILHOG FRLQFLGHV ZLWK WKH 06% RI WKH $,'


 VXEILHOGRIDQH[SHFWHG9+71'3$QQRXQFHPHQWIUDPHLIWKH+(1'3$QQRXQFHPHQWILHOGLVSDUVHGE\D
 QRQ+(9+767$7KH06%RIWKH$,'VXEILHOGLVDOZD\VIRUDQRQ+(9+767$GXHWRWKHOLPLWD
 WLRQRIWKH$,'WRDPD[LPXPRI


,QDEURDGFDVW+(1'3$QQRXQFHPHQWIUDPHWKDWKDVPRUHWKDQRQH67$,QIRILHOGZLWKDYDOXHRWKHUWKDQ

 LQWKH$,'ILHOGWKHIROORZLQJDSSOLHVWRHDFK67$,QIRVXEILHOGZLWKDYDOXHRWKHUWKDQ
 ² ,IWKH)HHGEDFN7\SHVXEILHOGLQGLFDWHV68RU08WKH1FVXEILHOGLQGLFDWHVWKHQXPEHURIFROXPQV
 NcLQWKHFRPSUHVVHGEHDPIRUPLQJIHHGEDFNPDWUL[DQGLVVHWWRNc±

 ² ,I WKH )HHGEDFN 7\SH VXEILHOG LQGLFDWHV &4, WKH 1F VXEILHOG LQGLFDWHV WKH QXPEHU RI VSDFHWLPH
 VWUHDPVNcLQWKH&4,UHSRUWDQGLVVHWWRNc±


,QDQLQGLYLGXDOO\DGGUHVVHG+(1'3$QQRXQFHPHQWIUDPHWKDWKDVRQO\RQH67$,QIRILHOGZLWKDYDOXH

 RWKHUWKDQLQWKH$,'VXEILHOGWKH1FVXEILHOGLVUHVHUYHG












&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KHIRUPDWRIWKH67$,QIRILHOGLQDQ+(1'3$QQRXQFHPHQWIUDPHLIWKH$,'VXEILHOGLVVHWWRLV
 GHILQHGLQ)LJXUHG 67$,QIRVXEILHOGIRUPDWLQDQ+(1'3$QQRXQFHPHQWIUDPHLIWKH$,'VXE

ILHOGLV 



 %% %% %% % %%

 'LVDOORZHG
 $,' 6XEFKDQQHO 5HVHUYHG 'LVDPELJXDWLRQ 5HVHUYHG
 %LWPDS
 %LWV     


 )LJXUHG²67$,QIRVXEILHOGIRUPDWLQDQ+(1'3$QQRXQFHPHQWIUDPHLIWKH$,'
 VXEILHOGLV



 7KH'LVDOORZHG6XEFKDQQHO%LWPDSVXEILHOGLQGLFDWHVWKH0+]VXEFKDQQHOVDQGWKHWRQH58VWKDW
 DUHSUHVHQWLQ+(VRXQGLQJ1'3VDQQRXQFHGE\WKH+(1'3$QQRXQFHPHQWIUDPHDQGWKHWRQH58V
 WKDWDUHWREHLQFOXGHGLQUHTXHVWHGVRXQGLQJIHHGEDFN$0+]VXEFKDQQHOLVDVGHILQHGLQ&ODXVH 
 2UWKRJRQDOIUHTXHQF\GLYLVLRQPXOWLSOH[LQJ 2)'0 3+<VSHFLILFDWLRQ IRUWKHSRUWLRQVRIWKH33'8WKDW
 XVHDWRQHSODQDVVSHFLILHGLQ&ODXVH 2UWKRJRQDOIUHTXHQF\GLYLVLRQPXOWLSOH[LQJ 2)'0 3+<VSHFL

 ILFDWLRQ DQGDWRQH58LVDVGHILQHGLQ 6XEFDUULHUDQGUHVRXUFHDOORFDWLRQ 7KHORZHVWQXP
 EHUHGELWRIWKH'LVDOORZHG6XEFKDQQHO%LWPDSVXEILHOGFRUUHVSRQGVWRWKH0+]VXEFKDQQHOWKDWOLHV
 ZLWKLQWKH%66ZLGWKDQGWKDWKDVWKHORZHVWIUHTXHQF\RIWKHVHWRIDOO0+]VXEFKDQQHOVZLWKLQWKH%66 
 ZLGWK(DFKVXFFHVVLYHELWLQWKHELWPDSFRUUHVSRQGVWRWKHQH[WKLJKHUIUHTXHQF\0+]VXEFKDQQHO$ELW
 LQWKHELWPDSLVVHWWRWRLQGLFDWHWKDWIRUWKHFRUUHVSRQGLQJ0+]VXEFKDQQHOQRHQHUJ\LVSUHVHQWLQWKH

 +(VRXQGLQJ1'3DVVRFLDWHGZLWKWKLV+(1'3$QQRXQFHPHQWIUDPH)RUHDFKGLVDOORZHG0+]VXE
 FKDQQHOWKHWRQH58WKDWLVPRVWFORVHO\DOLJQHGLQIUHTXHQF\ZLWKWKH0+]VXEFKDQQHOLVGLVDO
 ORZHGIRU33'8VWKDWXVHDWRQHSODQDVVSHFLILHGLQ&ODXVH +LJK(IILFLHQF\ +( 3+<VSHFLILFDWLRQ 
 67$VDGGUHVVHGE\WKH+(1'3$QQRXQFHPHQWIUDPHGRQRWLQFOXGHWRQHVIURPGLVDOORZHGWRQH58V
 ZKHQGHWHUPLQLQJWKHDYHUDJH615RIVSDFHWLPHVWUHDPVWRNcDQGZKHQJHQHUDWLQJUHTXHVWHGVRXQGLQJ 

 IHHGEDFN,ID0+]VXEFKDQQHODQGLWVFRUUHVSRQGLQJWRQH58LVQRWGLVDOORZHGWKHFRUUHVSRQGLQJ
 ELWLQWKHELWPDSLVVHWWR

 Insert a new subclause after 9.3.1.21:


 7ULJJHUIUDPHIRUPDW

 *HQHUDO


 $7ULJJHUIUDPHDOORFDWHVUHVRXUFHVIRUDQGVROLFLWVRQHRUPRUH+(7%33'8WUDQVPLVVLRQV7KH7ULJJHU
 IUDPHDOVRFDUULHVRWKHULQIRUPDWLRQUHTXLUHGE\WKHUHVSRQGLQJ67$WRVHQGDQ+(7%33'8

 7KHIRUPDWIRUWKH7ULJJHUIUDPHLVGHILQHGLQ)LJXUHD 7ULJJHUIUDPHIRUPDW 



 0$&KHDGHU



 )UDPH
'XUDWLRQ 5$ 7$
&RPPRQ 8VHU,QIR
3DGGLQJ )&6
 &RQWURO ,QIR /LVW
 2FWHWV     RUPRUH YDULDEOH YDULDEOH 


 )LJXUHD²7ULJJHUIUDPHIRUPDW

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KH'XUDWLRQILHOGLVVHWDVGHILQHGLQ 'XUDWLRQ,'ILHOG 4R667$ 




7KH5$ILHOGLVVHWDVIROORZV

 ² )RUD7ULJJHUIUDPHWKDWLVQRWD*&508%$51)53RU085767ULJJHUIUDPHDQGWKDWKDVRQH
 8VHU,QIRILHOGDQGWKH$,'VXEILHOGRIWKH8VHU,QIRILHOGFRQWDLQVWKH$,'RIDQRQ$367$WKH
 5$ILHOGLVVHWWRWKHDGGUHVVRIWKDW67$

 ² )RUD7ULJJHUIUDPHWKDWKDVDWOHDVWRQH8VHU,QIRILHOGZLWKWKH$,'VXEILHOGWKDWDOORFDWHVDQ

 5$58WKH5$ILHOGLVVHWWRWKHEURDGFDVWDGGUHVV

 ² )RUD7ULJJHUIUDPHWKDWLVQRWD*&508%$57ULJJHUIUDPHDQGWKDWKDVPRUHWKDQRQH8VHU,QIR

 ILHOGWKH5$ILHOGLVVHWWRWKHEURDGFDVWDGGUHVV
 ² )RUD7ULJJHUIUDPHWKDWLVDQ1)537ULJJHUIUDPHRU085767ULJJHUIUDPHWKH5$ILHOGLVVHWWR


WKHEURDGFDVWDGGUHVV

 ² )RUD7ULJJHUIUDPHWKDWLVD*&508%$57ULJJHUIUDPHWKH5$ILHOGLVVHWWRWKH0$&DGGUHVV
 RIWKHJURXSIRUZKLFKUHFHSWLRQVWDWXVLVEHLQJUHTXHVWHG


 7KH7$ILHOGLVWKHDGGUHVVRIWKH67$WUDQVPLWWLQJWKH7ULJJHUIUDPHLIWKH7ULJJHUIUDPHLVDGGUHVVHGWR 
 67$VWKDWEHORQJWRDVLQJOH%667KH7$ILHOGLVWKHWUDQVPLWWHG%66,'LIWKH7ULJJHUIUDPHLVDGGUHVVHGWR

 67$VIURPDWOHDVWWZRGLIIHUHQW%66VRIWKHPXOWLSOH%66,'VHW7KHUXOHVIRUVHWWLQJRIWKH7$ILHOGDUH
 GHILQHGLQ $OORZHGVHWWLQJVRIWKH7ULJJHUIUDPHILHOGVDQG756&RQWUROVXEILHOG 


 7KH&RPPRQ,QIRILHOGLVGHILQHGLQ)LJXUHE &RPPRQ,QIRILHOGIRUPDW 



%% %% % % %% %% % %%

 *,$QG 080,02 1XPEHU2I+(/7)
 7ULJJHU 8/ &6
7\SH /HQJWK 0RUH7) 5HTXLUHG 8/%: +(/7) +(/7) 6\PEROV$QG0LG
 7\SH 0RGH DPEOH3HULRGLFLW\

 %LWV        



 % % %% %% % %% % %%

 /'3&
3UH)(& 8/+(
8/ ([WUD $37; 3DGGLQJ 3( 8/6SDWLDO 'RSSOHU 6,*$
 67%& 6\PERO 3RZHU 'LVDPELJXLW\ 5HXVH
 6HJPHQW )DFWRU 5HVHUYHG

 %LWV        



 %

7ULJJHU
 'HSHQGHQW
 5HVHUYHG
&RPPRQ
 ,QIR

 %LWV  YDULDEOH

 )LJXUHE²&RPPRQ,QIRILHOGIRUPDW








&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KH7ULJJHU7\SHVXEILHOGLGHQWLILHVWKH7ULJJHUIUDPHYDULDQWDQGLWVHQFRGLQJLVGHILQHGLQ7DEOHE

 7ULJJHU7\SHVXEILHOGHQFRGLQJ 



 7DEOHE²7ULJJHU7\SHVXEILHOGHQFRGLQJ


 7ULJJHU7\SH
7ULJJHUIUDPHYDULDQW
 VXEILHOGYDOXH

  %DVLF
  %HDPIRUPLQJ5HSRUW3ROO %)53

  08%$5

  08576

  %XIIHU6WDWXV5HSRUW3ROO %653

  *&508%$5
  %DQGZLGWK4XHU\5HSRUW3ROO %453

  1'3)HHGEDFN5HSRUW3ROO 1)53

  5HVHUYHG



 7KH8//HQJWKVXEILHOGRIWKH&RPPRQ,QIRILHOGLQGLFDWHVWKHYDOXHRIWKH/6,*/(1*7+ILHOGRIWKH
 VROLFLWHG+(7%33'8


 7KH 0RUH 7) VXEILHOG RI WKH &RPPRQ ,QIR ILHOG LQGLFDWHV ZKHWKHU RU QRW D VXEVHTXHQW 7ULJJHU IUDPH LV
 VFKHGXOHGIRUWUDQVPLVVLRQ7KH0RUH7)VXEILHOGLVVHWDVGHILQHGLQ ,QGLYLGXDO7:7DJUHHPHQWV 
 DQG 5XOHVIRU7:7VFKHGXOLQJ$3 


 7KH&65HTXLUHGVXEILHOGRIWKH&RPPRQ,QIRILHOGLVVHWWRWRLQGLFDWHWKDWWKH67$VLGHQWLILHGLQWKH
 8VHU,QIRILHOGVDUHUHTXLUHGWRXVH('WRVHQVHWKHPHGLXPDQGWRFRQVLGHUWKHPHGLXPVWDWHDQGWKH1$9 
 LQGHWHUPLQLQJZKHWKHURUQRWWRUHVSRQG7KH&65HTXLUHGVXEILHOGLVVHWWRWRLQGLFDWHWKDWWKH67$V

 LGHQWLILHGLQWKH8VHU,QIRILHOGVDUHQRWUHTXLUHGWRFRQVLGHUWKHPHGLXPVWDWHRUWKH1$9LQGHWHUPLQLQJ
 ZKHWKHURUQRWWRUHVSRQG6HH 1RQ$367$EHKDYLRUIRU8/08RSHUDWLRQ DQG 8/ 
 08&6PHFKDQLVP IRUGHWDLOV


 7KH8/%:VXEILHOGRIWKH&RPPRQ,QIRILHOGLQGLFDWHVWKHEDQGZLGWKLQWKH+(6,*$RIWKH+(7%

 33'8DQGLVGHILQHGLQ7DEOHF 8/%:VXEILHOGHQFRGLQJ 


 7DEOHF²8/%:VXEILHOGHQFRGLQJ


 8/%:
 VXEILHOG 'HVFULSWLRQ
 YDOXH

  0+]

  0+]

  0+]

  0+]RU0+]

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KH*,$QG+(/7)7\SHVXEILHOGRIWKH&RPPRQ,QIRILHOGLQGLFDWHVWKH*,DQG+(/7)W\SHRIWKH+(

 7%33'8UHVSRQVH7KH*,$QG+(/7)7\SHVXEILHOGHQFRGLQJLVGHILQHGLQ7DEOHG *,$QG+(

/7)7\SHVXEILHOGHQFRGLQJ 



 7DEOHG²*,$QG+(/7)7\SHVXEILHOGHQFRGLQJ


 *,$QG+(/7)7\SH
'HVFULSWLRQ
 VXEILHOGYDOXH

  [+(/7)—V*,

  [+(/7)—V*,
  [+(/7)—V*,

  5HVHUYHG



 7DEOHH²080,02+(/7)0RGHVXEILHOGHQFRGLQJ


 080,02
 +(/7) 'HVFULSWLRQ
 VXEILHOGYDOXH

  +(VLQJOHVWUHDPSLORW+(/7)PRGH

  +(PDVNHG+(/7)VHTXHQFHPRGH




7KH080,02+(/7)0RGHVXEILHOGRIWKH&RPPRQ,QIRILHOGLQGLFDWHVWKH+(/7)PRGHRIWKHQRQ
 2)'0$080,02+(7%33'8UHVSRQVHZKHQWKH*,$QG+(/7)7\SHVXEILHOGRIWKH&RPPRQ,QIR 
 ILHOGLQGLFDWHVHLWKHU[+(/7)—V*,RU[+(/7)—V*,DVGHILQHGLQ7DEOHG *,$QG
 +(/7)7\SHVXEILHOGHQFRGLQJ 2WKHUZLVHWKLVVXEILHOGLVVHWWRLQGLFDWH+(VLQJOHVWUHDPSLORW+(/7)

 PRGH


 ,IWKH'RSSOHUVXEILHOGRIWKH&RPPRQ,QIRILHOGLVWKHQWKH1XPEHU2I+(/7)6\PEROV$QG0LGDPEOH
 3HULRGLFLW\VXEILHOGRIWKH&RPPRQ,QIRILHOGLQGLFDWHVWKHQXPEHURI+(/7)V\PEROVSUHVHQWLQWKH+(

 7%33'8DQGLVHQFRGHGDVIROORZV

 ² IRU+(/7)V\PERO
 ² IRU+(/7)V\PEROV

 ² IRU+(/7)V\PEROV


² IRU+(/7)V\PEROV
 ² IRU+(/7)V\PEROV

 ² LVUHVHUYHG

 ,IWKH'RSSOHUVXEILHOGRIWKH&RPPRQ,QIRILHOGLVWKHQWKH1XPEHU2I+(/7)6\PEROV$QG0LGDPEOH
 3HULRGLFLW\VXEILHOGLQGLFDWHVWKHQXPEHURI+(/7)V\PEROVDQGWKHSHULRGLFLW\RIWKHPLGDPEOHDQGLV

 HQFRGHGDVIROORZV
 ² IRU+(/7)V\PERODQGV\PEROPLGDPEOHSHULRGLFLW\

 ² IRU+(/7)V\PEROVDQGV\PEROPLGDPEOHSHULRGLFLW\
 ² IRU+(/7)V\PEROVDQGV\PEROPLGDPEOHSHULRGLFLW\

 ² IRU+(/7)V\PERODQGV\PEROPLGDPEOHSHULRGLFLW\

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ² IRU+(/7)V\PEROVDQGV\PEROPLGDPEOHSHULRGLFLW\

 ² IRU+(/7)V\PEROVDQGV\PEROPLGDPEOHSHULRGLFLW\

 ² DQGDUHUHVHUYHG


 7KH8/67%&VXEILHOGRIWKH&RPPRQ,QIRILHOGLQGLFDWHVWKHVWDWXVRI67%&HQFRGLQJWKHVROLFLWHG+(7%

 33'8V,WLVVHWWRWRLQGLFDWH67%&HQFRGLQJDQGVHWWRRWKHUZLVH


 7KH/'3&([WUD6\PERO6HJPHQWVXEILHOGRIWKH&RPPRQ,QIRILHOGLQGLFDWHVWKHVWDWXVRIWKH/'3&H[WUD
 V\PEROVHJPHQW,WLVVHWWRLIWKH/'3&H[WUDV\PEROVHJPHQWLVSUHVHQWLQWKHVROLFLWHG+(7%33'8V

 DQGVHWWRRWKHUZLVH


 7KH$37[3RZHUVXEILHOGRIWKH&RPPRQ,QIRILHOGLQGLFDWHVLQXQLWVRIG%PWKH$3¶VFRPELQHGWUDQVPLW
 SRZHUDWWKHDQWHQQDFRQQHFWRUVRIDOOWKHWUDQVPLWDQWHQQDVXVHGWRWUDQVPLWWKH7ULJJHUIUDPHDQGQRUPDO
 L]HGWR0+]EDQGZLGWK7KHWUDQVPLWSRZHULVUHSRUWHGZLWKDUHVROXWLRQRIG%ZLWKYDOXHVLQWKH
 UDQJHWRUHSUHVHQWLQJ±G%PWRG%PUHVSHFWLYHO\9DOXHVDERYHDUHUHVHUYHG


 7KH3UH)(&3DGGLQJ)DFWRUDQG3('LVDPELJXLW\VXEILHOGVDUHGHILQHGLQ7DEOHI 3UH)(&3DGGLQJ
 )DFWRUDQG3('LVDPELJXLW\VXEILHOGV DQGKDYHWKHVDPHHQFRGLQJDVWKHLUUHVSHFWLYHVXEILHOGVLQ+(6,*

$ VHH7DEOH +(6,*$ILHOGRIDQ+(0833'8 



 7DEOHI²3UH)(&3DGGLQJ)DFWRUDQG3('LVDPELJXLW\VXEILHOGV


 6XEILHOG 'HVFULSWLRQ (QFRGLQJ

 3UH)(&3DGGLQJ)DFWRU ,QGLFDWHVWKHSUH)(&SDGGLQJ 6HWWRWRLQGLFDWHDSUH)(&SDGGLQJIDFWRURI
 IDFWRU 6HWWRWRLQGLFDWHDSUH)(&SDGGLQJIDFWRURI
 6HWWRWRLQGLFDWHDSUH)(&SDGGLQJIDFWRURI
 6HWWRWRLQGLFDWHDSUH)(&SDGGLQJIDFWRURI

 3('LVDPELJXLW\ ,QGLFDWHV3(GLVDPELJXLW\ 6HWWRLIWKHFRQGLWLRQLQ(TXDWLRQ  LVPHW
 RWKHUZLVHLWLVVHWWR



 7KH8/6SDWLDO5HXVHVXEILHOGRIWKH&RPPRQ,QIRILHOGFDUULHVWKHYDOXHVWREHLQFOXGHGLQWKH6SDWLDO
 5HXVHILHOGVLQWKH+(6,*$ILHOGRIWKHVROLFLWHG+(7%33'8V7KHIRUPDWRIWKH8/6SDWLDO5HXVHVXE
 ILHOG LV VKRZQ LQ )LJXUHF 8/ 6SDWLDO 5HXVH VXEILHOG IRUPDW  ZKHUH HDFK 6SDWLDO 5HXVH n VXEILHOG

 ”n”LVVHWWRWKHVDPHYDOXHDVLWVFRUUHVSRQGLQJVXEILHOGLQWKH+(6,*$ILHOGRIWKH+(7%33'8
 ZKLFKDUHGHILQHGLQ7DEOH +(6,*$ILHOGRIDQ+(7%33'8 



 %% %% %% %%
 6SDWLDO5HXVH 6SDWLDO5HXVH 6SDWLDO5HXVH 6SDWLDO5HXVH

 %LWV    



)LJXUHF²8/6SDWLDO5HXVHVXEILHOGIRUPDW



 7KH'RSSOHUVXEILHOGRIWKH&RPPRQ,QIRILHOGLVVHWWRWRLQGLFDWHWKDWDPLGDPEOHLVSUHVHQWLQWKH+(

 7%33'8DQGVHWWRRWKHUZLVH

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KH 8/ +(6,*$ 5HVHUYHG VXEILHOG RI WKH &RPPRQ ,QIR ILHOG FDUULHV WKH YDOXH WR EH LQFOXGHG LQ WKH
 5HVHUYHGILHOGLQWKH+(6,*$VXEILHOGRIWKHVROLFLWHG+(7%33'8V$Q+($3VHWVWKH8/+(6,*

$5HVHUYHGVXEILHOGWRDOOV


 7KH7ULJJHU'HSHQGHQW&RPPRQ,QIRVXEILHOGLQWKH&RPPRQ,QIRILHOGLVRSWLRQDOO\SUHVHQWEDVHGRQWKH
 YDOXHRIWKH7ULJJHU7\SHILHOG VHH %DVLF7ULJJHUYDULDQW WR 1'3)HHGEDFN5HSRUW
 3ROO 1)53 YDULDQW 


 7KH8VHU,QIR/LVWILHOGFRQWDLQV]HURRUPRUH8VHU,QIRILHOGV

 7KH8VHU,QIRILHOGLVGHILQHGLQ)LJXUHG 8VHU,QIRILHOGIRUPDW IRUDOO7ULJJHUIUDPHYDULDQWVH[FHSW
 WKH1)537ULJJHUIUDPHZKLFKLVGHILQHGLQ 1'3)HHGEDFN5HSRUW3ROO 1)53 YDULDQW 



 %% %% % %% % %% %% %

 58 8/)(& 8/+( 8/ 66$OORFDWLRQ 8/7DUJHW 7ULJJHU
 $,' &RGLQJ 5$58,QIRU 5HVHUYHG 'HSHQGHQW
$OORFDWLRQ 7\SH 0&6 '&0 PDWLRQ 566, 8VHU,QIR

 %LWV         YDULDEOH


 )LJXUHG²8VHU,QIRILHOGIRUPDW


 7KH$,'VXEILHOGLQWKH8VHU,QIRILHOGLVHQFRGHGDVGHILQHGLQ7DEOHJ $,'VXEILHOGHQFRGLQJ 



 7DEOHJ²$,'VXEILHOGHQFRGLQJ


$,'VXEILHOG 'HVFULSWLRQ


 8VHU,QIRILHOGDOORFDWHVRQHRUPRUHFRQWLJXRXV5$58VIRUDVVRFLDWHG67$V

 8VHU,QIRILHOGLVDGGUHVVHGWRDQDVVRFLDWHG67$ZKRVH$,'LVHTXDOWRWKHYDOXHLQWKH
 ±
$,'VXEILHOG

 ± 5HVHUYHG

  8VHU,QIRILHOGDOORFDWHVRQHRUPRUHFRQWLJXRXV5$58VIRUXQDVVRFLDWHG67$V

  8QDOORFDWHG58

± 5HVHUYHG

  6WDUWRI3DGGLQJILHOG

 127(²7KHUHPDLQLQJVXEILHOGVLQWKH8VHU,QIRILHOGDUHUHVHUYHGZKHQWKH$,'VXEILHOGLV

 127(²7KHUHPDLQLQJVXEILHOGVRIWKH8VHU,QIRILHOGDUHQRWSUHVHQWZKHQWKH$,'VXEILHOGLV



 7KH58$OORFDWLRQVXEILHOGDORQJZLWKWKH8/%:VXEILHOGLQWKH&RPPRQ,QIRILHOGLGHQWLILHVWKHVL]HDQG 
 WKHORFDWLRQRIWKH58,IWKH8/%:VXEILHOGLQGLFDWHV0+]0+]RU0+]33'8WKHQ%RIWKH
 58$OORFDWLRQVXEILHOGLVVHWWR,IWKH8/%:VXEILHOGLQGLFDWHV0+]RU0+]WKHQ%RIWKH
 58$OORFDWLRQVXEILHOGLVVHWWRWRLQGLFDWHWKDWWKH58DOORFDWLRQDSSOLHVWRWKHSULPDU\0+]FKDQQHO






&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 DQGVHWWRWRLQGLFDWHWKDWWKH58DOORFDWLRQDSSOLHVWRWKHVHFRQGDU\0+]FKDQQHO7KHPDSSLQJRI%±
 %RIWKH58$OORFDWLRQVXEILHOGLVGHILQHGLQ7DEOHK %±%RIWKH58$OORFDWLRQVXEILHOG 



 7DEOHK²%±%RIWKH58$OORFDWLRQVXEILHOG


 %%RIWKH
 58$OORFDWLRQ 8/%:VXEILHOG 58VL]H 58,QGH[
 VXEILHOG

 0+]0+]0+] 58WR58UHVSHFWLYHO\
±
 0+]RU0+]
 0+]0+]0+] 58WR58UHVSHFWLYHO\
 ± 
RU0+]

 0+]0+]RU 58WR58UHVSHFWLYHO\
 ±
0+]

 0+]0+]0+] 58WR58UHVSHFWLYHO\
±
 0+]RU0+]

 0+]0+]0+] 58WR58UHVSHFWLYHO\
± 
 RU0+]

 0+]0+]RU 58WR58UHVSHFWLYHO\
±
 0+]
 0+]0+]0+] 58DQG58UHVSHFWLYHO\
 
0+]RU0+]

 0+]0+]0+] 58DQG58UHVSHFWLYHO\
  
RU0+]

 0+]0+]RU 58WR58UHVSHFWLYHO\
±
 0+]

 0+]0+]0+] 58

 0+]RU0+]

 0+]0+]0+] 58
 
 RU0+]
 0+]0+]RU 58DQG58UHVSHFWLYHO\
 
0+]

 0+]0+]0+] 58
 
RU0+]
 
 0+]0+]RU 58

 0+]

 0+]0+]RU 58
 
 0+]

  0+]RU0+] î 58
 127(²,IWKH8/%:VXEILHOGLQGLFDWHV0+]RU0+]WKHGHVFULSWLRQLQGLFDWHVWKH58LQGH[IRUWKH3UL
 PDU\0+]RU6HFRQGDU\0+]FKDQQHODVLQGLFDWHGE\%RIWKH58$OORFDWLRQVXEILHOG



 ,IWKH8/%:VXEILHOGLQGLFDWHV0+]WKHPDSSLQJRIWKH58LQGH[WR58LVGHILQHGLQ7DEOH 'DWD

DQGSLORWVXEFDUULHULQGLFHVIRU58VLQD0+]+(33'8DQGLQDQRQ2)'0$0+]+(33'8 LQ

 LQFUHDVLQJRUGHU


 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ,IWKH8/%:VXEILHOGLQGLFDWHV0+]WKHPDSSLQJRIWKH58LQGH[58LVGHILQHGLQ7DEOH 'DWD
 DQGSLORWVXEFDUULHULQGLFHVIRU58VLQD0+]+(33'8DQGLQDQRQ2)'0$0+]+(33'8 LQ

LQFUHDVLQJRUGHU


 ,IWKH8/%:VXEILHOGLQGLFDWHV0+]0+]RU0+]WKHPDSSLQJRIWKH58LQGH[WR58LV
 GHILQHG LQ 7DEOH 'DWDDQGSLORWVXEFDUULHULQGLFHV IRU58VLQDQ 0+]+( 33'8DQG LQ D QRQ
 2)'0$0+]+(33'8 LQLQFUHDVLQJRUGHU


 ,IWKH8/%:VXEILHOGLQGLFDWHV0+]RU0+]%±%RIWKH58$OORFDWLRQVXEILHOGLVVHWWR
 DQG%LVVHWWRWRLQGLFDWHDîWRQH58$QRQ$367$LJQRUHV%IRUîWRQH58LQGLFDWLRQ

 ,IWKH$,'VXEILHOGLVLQWKHUDQJHWRWKHQWKH58$OORFDWLRQVXEILHOGLQGLFDWHVWKH58DOORFDWHGWR


 WKH67$LGHQWLILHGE\WKH$,'VXEILHOG,IWKH$,'VXEILHOGLVRUWKHQWKH58$OORFDWLRQVXE
 ILHOGLQGLFDWHVWKHVWDUWLQJ58RIRQHRUPRUHFRQWLJXRXV5$58VDOORFDWHGE\WKH8VHU,QIRILHOG,IWKH
 $,'VXEILHOGLVWKHQWKH58$OORFDWLRQVXEILHOGLQGLFDWHVDQXQDOORFDWHG58

 ,IWKHUHLVPRUHWKDQRQH5$58 LHWKH1XPEHU2I5$58VXEILHOGRIWKLV8VHU,QIRILHOGKDVDYDOXH

 JUHDWHUWKDQ WKHQWKHDOORFDWHG58VDUHFRQWLJXRXVDQGWKH58VL]HVRIDOO5$58VDUHWKHVDPHDQG 
 HTXDOWRWKHVL]HRIWKHILUVW58)XUWKHUDOOWKHUHPDLQLQJVXEILHOGVRIWKH8VHU,QIRILHOGDSSO\WRDOOWKH
 5$58V


7KH8/)(&&RGLQJ7\SHVXEILHOGRIWKH8VHU,QIRILHOGLQGLFDWHVWKHFRGHW\SHRIWKHVROLFLWHG+(7%


 33'87KH8/)(&&RGLQJ7\SHVXEILHOGLVVHWWRWRLQGLFDWH%&&DQGVHWWRWRLQGLFDWH/'3&

 7KH8/+(0&6VXEILHOGRIWKH8VHU,QIRILHOGLQGLFDWHVWKH+(0&6RIWKHVROLFLWHG+(7%33'87KH
 HQFRGLQJ RI WKH 8/ +(0&6 VXEILHOG LV GHILQHG LQ  +( PRGXODWLRQ DQG FRGLQJ VFKHPHV +(


0&6V 

 7KH8/'&0VXEILHOGRIWKH8VHU,QIRILHOGLQGLFDWHV'&0RIWKHVROLFLWHG+(7%33'87KH8/'&0 
 VXEILHOGLVVHWWRWRLQGLFDWHWKDW'&0LVXVHGLQWKHVROLFLWHG+(7%33'8DVGHILQHGLQ 'XDO
 FDUULHUPRGXODWLRQ 7KH8/'&0VXEILHOGLVVHWWRWRLQGLFDWHWKDW'&0LVQRWXVHG7KH8/'&0VXE

 ILHOGLVVHWWRLIWKH8/67%&VXEILHOGRIWKH&RPPRQ,QIRILHOGLVVHWWR

 ,IWKH$,'VXEILHOGLVHLWKHURUWKHQ%±%RIWKH8VHU,QIRILHOGLVWKH5$58,QIRUPDWLRQ

 VXEILHOGRWKHUZLVH%±%RIWKH8VHU,QIRILHOGLVWKH66$OORFDWLRQVXEILHOG


 7KH66$OORFDWLRQVXEILHOGRIWKH8VHU,QIRILHOGLQGLFDWHVWKHVSDWLDOVWUHDPVRIWKHVROLFLWHG+(7%33'8

 DQGWKHIRUPDWLVGHILQHGLQ)LJXUHH 66$OORFDWLRQVXEILHOGIRUPDW 



 % % % %
 6WDUWLQJ6SDWLDO 1XPEHU2I6SDWLDO
 6WUHDP 6WUHDPV

 %LWV  

 )LJXUHH²66$OORFDWLRQVXEILHOGIRUPDW



 7KH 6WDUWLQJ 6SDWLDO 6WUHDP VXEILHOG LQGLFDWHV WKH VWDUWLQJ VSDWLDO VWUHDP DQG LV VHW WR WKH VWDUWLQJ VSDWLDO
 VWUHDPPLQXV


 7KH1XPEHU2I6SDWLDO6WUHDPVVXEILHOGLQGLFDWHVWKHQXPEHURIVSDWLDOVWUHDPVDQGLVVHWWRWKHQXPEHURI
 VSDWLDOVWUHDPVPLQXV

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KH5$58,QIRUPDWLRQVXEILHOGRIWKH8VHU,QIRILHOGLQGLFDWHVWKH5$58LQIRUPDWLRQDQGWKHIRUPDWLV
 GHILQHGLQ)LJXUHI 5$58,QIRUPDWLRQVXEILHOGIRUPDW 



 % % %

 1XPEHU2I5$58 0RUH5$58

%LWV  


 )LJXUHI²5$58,QIRUPDWLRQVXEILHOGIRUPDW



 7KH1XPEHU2I5$58VXEILHOGLQGLFDWHVWKHQXPEHURIFRQWLJXRXV58VDOORFDWHGIRU825$7KHYDOXHRI
 WKH1XPEHU2I5$58VXEILHOGLVHTXDOWRWKHQXPEHURIFRQWLJXRXV5$58VPLQXVRQH


 127(²7KHVWDUWLQJVSDWLDOVWUHDPDQGWKHQXPEHURIVSDWLDOVWUHDPVRIWKH+(7%33'8WUDQVPLWWHGRQHDFK5$58

 DUH


 7KH0RUH5$58VXEILHOGLVVHWWRWRLQGLFDWHWKDW5$58VRIWKHW\SHLQGLFDWHGE\WKH$,'VXEILHOGLQ 
 WKLV8VHU,QIRILHOG VHH7DEOHJ $,'VXEILHOGHQFRGLQJ DUHDOORFDWHGLQVXEVHTXHQW7ULJJHUIUDPHV
 WKDWDUHVHQWXQWLOWKHHQGRIWKH7:763LQZKLFKWKH7ULJJHUIUDPHFDUU\LQJWKLVILHOGLVVHQW2WKHUZLVH
 WKHVXEILHOGLVVHWWR7KH0RUH5$58VXEILHOGLVUHVHUYHGLIWKH0RUH7)ILHOGLQWKH&RPPRQ,QIRILHOG

LVVHWWR



7KH8/7DUJHW566,VXEILHOGRIWKH8VHU,QIRILHOGLQGLFDWHVWKHH[SHFWHGUHFHLYHVLJQDOSRZHUDYHUDJHG 

 RYHUWKH$3¶VDQWHQQDFRQQHFWRUVIRUWKH+(SRUWLRQRIWKH+(7%33'8WUDQVPLWWHGRQWKHDVVLJQHG58
 7KHUHVROXWLRQIRUWKH8/7DUJHW566,VXEILHOGLQWKH8VHU,QIRILHOGLVG%7KH8/7DUJHW566,VXEILHOG

 HQFRGLQJLVGHILQHGLQ7DEOHL 8/7DUJHW566,VXEILHOGHQFRGLQJ 



 7DEOHL²8/7DUJHW566,VXEILHOGHQFRGLQJ


8/7DUJHW566,
 'HVFULSWLRQ
VXEILHOG


± 9DOXHVWRPDSWR±G%PWR±G%P

 ± 5HVHUYHG

  ,QGLFDWHVWRWKH67$WRWUDQVPLWDQ+(7%33'8
 UHVSRQVHDWLWVPD[LPXPWUDQVPLWSRZHUIRUWKH
 DVVLJQHG+(0&6




 7KH7ULJJHU'HSHQGHQW8VHU,QIRVXEILHOGLQWKH8VHU,QIRILHOGLVRSWLRQDOO\SUHVHQWEDVHGRQWKHYDOXHRI
 WKH 7ULJJHU 7\SH ILHOG VHH  %DVLF 7ULJJHU YDULDQW  WR  1'3 )HHGEDFN 5HSRUW 3ROO
 1)53 YDULDQW 


 7KH3DGGLQJILHOGLVRSWLRQDOO\SUHVHQWLQD7ULJJHUIUDPHWRH[WHQGWKHIUDPHOHQJWKWRJLYHWKHUHFLSLHQW
 67$VHQRXJKWLPHWRSUHSDUHDUHVSRQVHIRUWUDQVPLVVLRQD6,)6DIWHUWKHIUDPHLVUHFHLYHG7KH3DGGLQJ 
 ILHOGLISUHVHQWLVDWOHDVWWZRRFWHWVLQOHQJWKDQGLVVHWWRDOOV,IWKH3DGGLQJILHOGLVSUHVHQWLQD7ULJJHU

 IUDPHLWVOHQJWKLVFRPSXWHGDVGHVFULEHGLQ 3DGGLQJIRU7ULJJHUIUDPHRUIUDPHFRQWDLQLQJ756 
 &RQWUROVXEILHOG 

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 %DVLF7ULJJHUYDULDQW


 7KH 7ULJJHU 'HSHQGHQW &RPPRQ ,QIR VXEILHOG LV QRW SUHVHQW LQ WKH %DVLF 7ULJJHU IUDPH 7KH 7ULJJHU
 'HSHQGHQW 8VHU ,QIR VXEILHOG RI WKH %DVLF 7ULJJHU IUDPH LV GHILQHG LQ )LJXUHJ 7ULJJHU 'HSHQGHQW
 8VHU,QIRVXEILHOGIRUPDWLQWKH%DVLF7ULJJHUYDULDQW 



 %% %% % %%

 03'8086SDFLQJ 7,'$JJUHJDWLRQ
5HVHUYHG 3UHIHUUHG$&
)DFWRU /LPLW

 %LWV    


 )LJXUHJ²7ULJJHU'HSHQGHQW8VHU,QIRVXEILHOGIRUPDWLQWKH%DVLF7ULJJHUYDULDQW



7KH03'8086SDFLQJ)DFWRUVXEILHOGLVXVHGIRUFDOFXODWLQJWKHYDOXHE\ZKLFKWKHPLQLPXP03'8


 VWDUWVSDFLQJLVPXOWLSOLHG VHH 0LQLPXP03'86VWDUW6VSDFLQJILHOGUXOHV 

 7KH7,'$JJUHJDWLRQ/LPLWVXEILHOGLQGLFDWHVWKH03'8VDOORZHGLQDQ$03'8FDUULHGLQWKH+(7%



33'8DQGWKHPD[LPXPQXPEHURI7,'VWKDWFDQEHDJJUHJDWHGE\WKH67$LQWKH$03'8DQGLVVHWDV
 GHILQHGLQ $OORZHGVHWWLQJVRIWKH7ULJJHUIUDPHILHOGVDQG756&RQWUROVXEILHOG 

 7KHYDOXHLQWKH7,'$JJUHJDWLRQ/LPLWVXEILHOGLQ7ULJJHUIUDPHLVOHVVWKDQRUHTXDOWRMTZKHUHMT

 LVWKHYDOXHLQGLFDWHGLQWKH0XOWL7,'$JJUHJDWLRQ7[6XSSRUWVXEILHOGLQWKH+(0$&&DSDELOLWLHV,QIRU
 PDWLRQILHOGLQWKH+(&DSDELOLWLHVHOHPHQWWUDQVPLWWHGE\WKHQRQ$367$WKDWLVWKHLQWHQGHGUHFHLYHURI
 WKH8VHU,QIRILHOG


 7KH3UHIHUUHG$&VXEILHOGLQGLFDWHVWKHORZHVW$&WKDWLVUHFRPPHQGHGIRUDJJUHJDWLRQRI03'8VLQWKH
 $03'8FRQWDLQHGLQWKH+(7%33'8VHQWDVDUHVSRQVHWRWKH7ULJJHUIUDPH7KHHQFRGLQJRIWKH3UH
 IHUUHG$&VXEILHOGDVGHILQHGLQ7DEOH $&,WR$&HQFRGLQJ 


 %HDPIRUPLQJ5HSRUW3ROO %)53 YDULDQW

 7KH 7ULJJHU 'HSHQGHQW &RPPRQ ,QIR VXEILHOG LV QRW SUHVHQW LQ WKH %)53 7ULJJHU IUDPH 7KH 7ULJJHU


'HSHQGHQW 8VHU ,QIR VXEILHOG RI WKH %)53 7ULJJHU IUDPH LV GHILQHG LQ )LJXUHK 7ULJJHU 'HSHQGHQW
 8VHU,QIRVXEILHOGIRUPDWLQWKH%)53YDULDQW 




 )HHGEDFN6HJPHQW
 5HWUDQVPLVVLRQ%LWPDS

 2FWHWV 

 )LJXUHK²7ULJJHU'HSHQGHQW8VHU,QIRVXEILHOGIRUPDWLQWKH%)53YDULDQW



 7KH)HHGEDFN6HJPHQW5HWUDQVPLVVLRQ%LWPDSVXEILHOGLQGLFDWHVWKHUHTXHVWHGIHHGEDFNVHJPHQWVRIDQ+( 
 FRPSUHVVHGEHDPIRUPLQJUHSRUW,IWKHELWLQSRVLWLRQn n IRU/6%DQGn IRU06% LVWKHQWKH

IHHGEDFNVHJPHQWZLWKWKH5HPDLQLQJ)HHGEDFN6HJPHQWVVXEILHOGLQWKH+(0,02&RQWUROILHOGHTXDOWR 

 nLVUHTXHVWHG,IWKHELWLQSRVLWLRQnLVWKHQWKHIHHGEDFNVHJPHQWZLWKWKH5HPDLQLQJ)HHGEDFN6HJ
 PHQWVVXEILHOGLQWKH+(0,02&RQWUROILHOGHTXDOWRQLVQRWUHTXHVWHG

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 08%$5YDULDQW


7KH7ULJJHU'HSHQGHQW&RPPRQ,QIRVXEILHOGLVQRWSUHVHQWLQWKH08%$57ULJJHUIUDPH7KH7ULJJHU

 'HSHQGHQW8VHU,QIRVXEILHOGIRUWKH08%$57ULJJHUIUDPHLVGHILQHGLQ)LJXUHL 7ULJJHU'HSHQGHQW
 8VHU,QIRVXEILHOGIRUPDWLQWKH08%$5YDULDQW 




 %$5&RQWURO %$5,QIRUPDWLRQ

 2FWHWV  YDULDEOH


 )LJXUHL²7ULJJHU'HSHQGHQW8VHU,QIRVXEILHOGIRUPDWLQWKH08%$5YDULDQW


 7KH%$5&RQWUROVXEILHOGLVGHILQHGLQ %ORFN$FN5HTIUDPHIRUPDW DQGLQGLFDWHVHLWKHUD&RP
 SUHVVHG%ORFN$FN5HTYDULDQWRUD0XOWL7,'%ORFN$FN5HTYDULDQW


 7KH%$5,QIRUPDWLRQVXEILHOGLVGHILQHGLQ %ORFN$FN5HTIUDPHIRUPDW 

 08576YDULDQW


 7KH7ULJJHU'HSHQGHQW&RPPRQ,QIRVXEILHOGDQG7ULJJHU'HSHQGHQW8VHU,QIRVXEILHOGDUHQRWSUHVHQWLQ

 WKH085767ULJJHUIUDPH

 7KH8/%:VXEILHOGLQWKH&RPPRQ,QIRILHOGLQGLFDWHVWKHEDQGZLGWKRIWKH33'8FDUU\LQJWKH08576

 7ULJJHUIUDPHDQGLVGHILQHGLQ7DEOHF 8/%:VXEILHOGHQFRGLQJ 


 7KH8/ /HQJWK*, $QG +(/7)7\SH 080,02+(/7)0RGH1XPEHU 2I+(/7)6\PEROV$QG 
 0LGDPEOH3HULRGLFLW\8/67%&/'3&([WUD6\PERO6HJPHQW$37;3RZHU3UH)(&3DGGLQJ)DFWRU
 3('LVDPELJXLW\8/6SDWLDO5HXVH'RSSOHUDQG8/+(6,*$5HVHUYHGVXEILHOGVLQWKH&RPPRQ,QIR

 ILHOGDUHUHVHUYHG


 7KH 8/ +(0&6 8/ )(& &RGLQJ 7\SH 8/ '&0 66 $OORFDWLRQ5$58 ,QIRUPDWLRQ DQG 8/ 7DUJHW
 566,ILHOGVLQWKH8VHU,QIRILHOGDUHUHVHUYHG

 7KH58$OORFDWLRQVXEILHOGLQWKH8VHU,QIRILHOGDGGUHVVHGWRWKH67$LQGLFDWHVZKHWKHUWKH&76IUDPHLV

 WUDQVPLWWHGRQWKHSULPDU\0+]FKDQQHOSULPDU\0+]FKDQQHOSULPDU\0+]FKDQQHO0+]
 FKDQQHORU0+]FKDQQHO

 %RIWKH58$OORFDWLRQVXEILHOGLVVHWWRWRLQGLFDWHSULPDU\0+]FKDQQHOSULPDU\0+]FKDQQHO
 DQGSULPDU\0+]FKDQQHO)RU0+]DQG0+]LQGLFDWLRQ%RIWKH58$OORFDWLRQVXEILHOGLV

 VHWWR$QRQ$367$LJQRUHV%IRU0+]DQG0+]LQGLFDWLRQ

 %±%RIWKH58$OORFDWLRQVXEILHOGLVVHWWRLQGLFDWHWKHSULPDU\0+]FKDQQHODVIROORZV


² LIWKHSULPDU\0+]FKDQQHOLVWKHRQO\0+]FKDQQHORUWKHORZHVWIUHTXHQF\0+]FKDQ
 QHOLQWKHSULPDU\0+]FKDQQHORUSULPDU\0+]FKDQQHO
 ² LIWKHSULPDU\0+]FKDQQHOLVWKHVHFRQGORZHVWIUHTXHQF\0+]FKDQQHOLQWKHSULPDU\


0+]FKDQQHORUSULPDU\0+]FKDQQHO

 ²  LI WKH SULPDU\  0+] FKDQQHO LV WKH WKLUG ORZHVW IUHTXHQF\  0+] FKDQQHO LQ WKH SULPDU\

 0+]FKDQQHO

 ² LIWKHSULPDU\0+]FKDQQHOLVWKHIRXUWKORZHVWIUHTXHQF\0+]FKDQQHOLQWKHSULPDU\

 0+]FKDQQHO

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 %±%RIWKH58$OORFDWLRQVXEILHOGLVVHWWRLQGLFDWHWKHSULPDU\0+]FKDQQHODVIROORZV

 ² LIWKHSULPDU\0+]FKDQQHOLVWKHRQO\0+]FKDQQHORUWKHORZHVWIUHTXHQF\0+]FKDQ
 QHOLQWKHSULPDU\0+]FKDQQHO
 ² LIWKHSULPDU\0+]FKDQQHOLVWKHVHFRQGORZHVWIUHTXHQF\0+]FKDQQHOLQWKHSULPDU\



0+]FKDQQHO

 %±%RIWKH58$OORFDWLRQVXEILHOGLVVHWWRWRLQGLFDWHWKHSULPDU\0+]FKDQQHO

 %±%RIWKH58$OORFDWLRQVXEILHOGLVVHWWRWRLQGLFDWHWKHSULPDU\DQGVHFRQGDU\0+]FKDQQHO


 7KHVHWWLQJVIRU%±%RIWKH58$OORFDWLRQVXEILHOGDUHLOOXVWUDWHGLQ)LJXUHM 8/%:VXEILHOGDQG

 %±%RI58$OORFDWLRQVXEILHOGLQ085767ULJJHUIUDPH 




 

8/%:VXEILHOGLQGLFDWLRQ
% 


0+]RU0+]
0+]
 RU0+]


 +LJKHU
)UHT  SULPDU\0+]LV  SULPDU\0+]LVIRXUWKORZHVW0+]
 WKHVHFRQGORZHVW
,QFUHDVLQJ



% 


0+]
0+]  SULPDU\0+]LVWKLUGORZHVW0+]
 SULPDU\
 SULPDU\0+]LVVHFRQGORZHVW0+]

0+]
0+]
 /RZHU
 SULPDU\0+]
LVWKHORZHVW0+]
 )UHT  SULPDU\0+]LVWKHORZHVW0+] 0+]


 )LJXUHM²8/%:VXEILHOGDQG%±%RI58$OORFDWLRQVXEILHOGLQ085767ULJJHUIUDPH

 %XIIHU6WDWXV5HSRUW3ROO %653 YDULDQW


 7KH7ULJJHU'HSHQGHQW&RPPRQ,QIRVXEILHOGDQG7ULJJHU'HSHQGHQW8VHU,QIRVXEILHOGDUHQRWSUHVHQWLQ

 WKH%6537ULJJHUIUDPH

 *&508%$5YDULDQW


 7KH7ULJJHU'HSHQGHQW&RPPRQ,QIRVXEILHOGRIWKH*&508%$57ULJJHUIUDPHLVGHILQHGLQ)LJXUH
 N 7ULJJHU'HSHQGHQW&RPPRQ,QIRVXEILHOGIRUPDWLQWKH*&508%$5YDULDQW 7KH7ULJJHU'HSHQ
 GHQW8VHU,QIRVXEILHOGLVQRWSUHVHQWLQWKH*&508%$57ULJJHUIUDPH





%$5&RQWURO %$5,QIRUPDWLRQ

 2FWHWV  


 )LJXUHN²7ULJJHU'HSHQGHQW&RPPRQ,QIRVXEILHOGIRUPDWLQWKH*&508%$5YDULDQW


 7KH%$5&RQWUROVXEILHOGLVGHILQHGLQ %ORFN$FN5HTIUDPHIRUPDW DQGLQGLFDWHVD*&5%ORFN


$FN5HTYDULDQW

 7KH %$5 ,QIRUPDWLRQ VXEILHOG LV GHILQHG LQ  *&5 %ORFN$FN5HT YDULDQW  H[FHSW WKDW WKH *&5

 *URXS$GGUHVVILHOGLVQRWSUHVHQW

 127(²$*&508%$57ULJJHUIUDPHLVQRWDW\SHRI08%$57ULJJHUIUDPH

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 %DQGZLGWK4XHU\5HSRUW3ROO %453 YDULDQW




 7KH7ULJJHU'HSHQGHQW&RPPRQ,QIRVXEILHOGDQG7ULJJHU'HSHQGHQW8VHU,QIRVXEILHOGDUHQRWSUHVHQWLQ

 WKH%4537ULJJHUIUDPH


1'3)HHGEDFN5HSRUW3ROO 1)53 YDULDQW


 7KH 8/ %: VXEILHOG LQ WKH &RPPRQ ,QIR ILHOG LQGLFDWHV WKH EDQGZLGWK RI WKH 1'3 IHHGEDFN UHSRUW
 UHVSRQVH


 7KH 8/ 67%& /'3& ([WUD 6\PERO 6HJPHQW 3UH)(& 3DGGLQJ )DFWRU 3( 'LVDPELJXLW\ 8/ 6SDWLDO
 5HXVHDQG'RSSOHUVXEILHOGVLQWKH&RPPRQ,QIRILHOGDUHUHVHUYHG


 7KH1XPEHU2I+(/7)6\PEROV$QG0LGDPEOH3HULRGLFLW\VXEILHOGLQWKH&RPPRQ,QIRILHOGLQGLFDWHV
 WKHQXPEHURI+(/7)V\PEROVSUHVHQWLQWKH1'3IHHGEDFNUHSRUWUHVSRQVHDQGLVVHWWR

 7KH*,$QG+(/7)7\SHVXEILHOGLQWKH&RPPRQ,QIRILHOGLVVHWWR


 7KH7ULJJHU'HSHQGHQW&RPPRQ,QIRVXEILHOGLVQRWSUHVHQW


 7KH8VHU,QIRILHOGIRU1)537ULJJHUIUDPHLVGHILQHGLQ)LJXUHO 8VHU,QIRILHOGIRUPDWLQWKH1)53

 7ULJJHUIUDPH 




 6WDUWLQJ )HHGEDFN 8/7DUJHW 0XOWLSOH[LQJ
 5HVHUYHG 5HVHUYHG
$,' 7\SH 566, )ODJ

 %LWV      

 )LJXUHO²8VHU,QIRILHOGIRUPDWLQWKH1)537ULJJHUIUDPH



 7KH)HHGEDFN7\SHVXEILHOGHQFRGLQJLVGHILQHGLQ7DEOHM )HHGEDFN7\SHVXEILHOGHQFRGLQJ 



7DEOHM²)HHGEDFN7\SHVXEILHOGHQFRGLQJ


 9DOXH 'HVFULSWLRQ

  5HVRXUFHUHTXHVW

  5HVHUYHG



 7KHVFKHGXOHGQRQ$3+(67$VDUHLGHQWLILHGE\DUDQJHRI$,'V7KH6WDUWLQJ$,'ILHOGGHILQHVWKHILUVW

$,'RIWKHUDQJHRI$,'VWKDWDUHVFKHGXOHGWRUHVSRQGWRWKH1)537ULJJHUIUDPH


 7KH8/7DUJHW566,VXEILHOGLQGLFDWHVWKHWDUJHW566,DWWKHUHFHLYHU
VDQWHQQDFRQQHFWRU V RYHUWKHVXE
 FDUULHUVDVVLJQHGWRDVFKHGXOHG67$ZLWKLQWKH33'8EDQGZLGWKIURPWKH+(SRUWLRQRIWKH+(7%IHHG

EDFN 1'3 DYHUDJHG RYHU DOO DQWHQQDV XVHG WR UHFHLYH WKH 33'8 IRU HDFK RI WKH VFKHGXOHG 67$V 7KH

 UHVROXWLRQIRUWKH8/7DUJHW566,VXEILHOGLVG%7KH8/7DUJHW566,VXEILHOGHQFRGLQJLVGHILQHGLQ
 7DEOHL 8/7DUJHW566,VXEILHOGHQFRGLQJ 

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KH0XOWLSOH[LQJ)ODJVXEILHOGLQGLFDWHVWKHQXPEHURI67$VWKDWDUHPXOWLSOH[HGRQWKHVDPHVHWRIWRQHV
 LQWKHVDPH58DQGLVHQFRGHGDVWKHQXPEHURI67$VPLQXV


 7KH WRWDO QXPEHU RI 67$V NSTA WKDW DUH VFKHGXOHG WRUHVSRQG WR WKH 1)53 7ULJJHUIUDPH LV FDOFXODWHG

 XVLQJ(TXDWLRQ D[ 


 NSTA îBW × MultiplexingFlag + 1 D[

 ZKHUHBWLVWKHYDOXHRIWKH8/%:VXEILHOGLQWKH&RPPRQ,QIRILHOGRIWKH1)537ULJJHUIUDPHDQG

 MultiplexingFlagLVWKHYDOXHRIWKH0XOWLSOH[LQJ)ODJVXEILHOG


 'DWDIUDPHV

 )RUPDWRI'DWDIUDPHV


 $GGUHVVDQG%66,'ILHOGV

 Change the 1st paragraph as follows:


 7KHFRQWHQWRIWKHDGGUHVVILHOGVRI'DWDIUDPHVDUHGHSHQGHQWXSRQWKHYDOXHVRIWKH7R'6DQG)URP'6 
 VXEILHOGVLQWKH)UDPH&RQWUROILHOGDQGZKHWKHUWKH)UDPH%RG\ILHOGFRQWDLQVHLWKHUDQ06'8 RUIUDJ
 PHQWWKHUHRI RUDQHQWLUH$06'8 RUIUDJPHQWWKHUHRI DVGHWHUPLQHGE\WKH$06'83UHVHQWVXEILHOG 
 RIWKH4R6&RQWUROILHOG VHH $06'83UHVHQWVXEILHOG 7KHFRQWHQWRIWKHDGGUHVVILHOGVWUDQV
 PLWWHGE\QRQPHVK67$VLVGHILQHGLQ7DEOH $GGUHVVILHOGFRQWHQWV 7KHFRQWHQWRIWKHDGGUHVVILHOGV

 WUDQVPLWWHGE\PHVK67$VLVGHILQHGLQ )UDPHDGGUHVVLQJLQDQ0%66 DQGWKHFRQWHQWRIWKHILHOGV
 WUDQVPLWWHGE\*/.67$VLVGHILQHGLQ $GGUHVVLQJRI*/.'DWDIUDPHWUDQVPLVVLRQ :KHUHWKH
 FRQWHQWRIDILHOGLVVKRZQDVQRWDSSOLFDEOH 1$ WKHILHOGLVRPLWWHG1RWHWKDW$GGUHVVDOZD\VKROGVWKH
 UHFHLYHU DGGUHVV RI WKH LQWHQGHG UHFHLYHU RU LQ WKH FDVH RI JURXS DGGUHVVHG IUDPHV UHFHLYHUV  DQG WKDW
 $GGUHVVDOZD\VKROGVWKHDGGUHVVRIWKH67$WKDWLVWUDQVPLWWLQJWKHIUDPH


 Change the subsequent occurrences of the term “A-MSDU” to “A-MSDU (or fragment thereof).”

 0DQDJHPHQWIUDPHV


 %HDFRQIUDPHIRUPDW

 Change the following rows in Table 9-34 (Beacon frame body) maintaining row order:



 7DEOH²%HDFRQIUDPHERG\


 2UGHU ,QIRUPDWLRQ 1RWHV

  ('&$3DUDPHWHU 7KH('&$3DUDPHWHU6HWHOHPHQWLVSUHVHQWLIGRW4RV2SWLRQ,PSOH
 6HW PHQWHGLVWUXHDQGGRW0HVK$FWLYDWHGLVIDOVHDQGWKH4R6&DSDELO
 LW\HOHPHQWLVQRWSUHVHQWRWKHUZLVHLWLVQRWSUHVHQW

  4R6&DSDELOLW\ 7KH4R6&DSDELOLW\HOHPHQWLVSUHVHQWLIGRW4RV2SWLRQ,PSOH
 PHQWHGLVWUXHDQGGRW0HVK$FWLYDWHGLVIDOVHDQGQHLWKHUWKH
 ('&$3DUDPHWHU6HWHOHPHQWQRUWKH08('&$3DUDPHWHU6HWHOH
 PHQWDUHLVQRWSUHVHQWRWKHUZLVHLWLVQRWSUHVHQW

  +7&DSDELOLWLHV 7KH+7&DSDELOLWLHVHOHPHQWLVSUHVHQWZKHQGRW+LJK7KURXJK
 SXW2SWLRQ,PSOHPHQWHGLVWUXHDQGWKH67$LVQRWD*+]67$


&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²%HDFRQIUDPHERG\(continued)


 2UGHU ,QIRUPDWLRQ 1RWHV

  +72SHUDWLRQ 7KH+72SHUDWLRQHOHPHQWLVLQFOXGHGE\DQ$3DQGDPHVK67$
 ZKHQGRW+LJK7KURXJKSXW2SWLRQ,PSOHPHQWHGLVWUXHDQGWKH$3RU
 PHVK67$LVQRWD*+]67$

  9+7&DSDELOLWLHV 7KH9+7&DSDELOLWLHVHOHPHQWLVSUHVHQWZKHQGRW9+72SWLRQ,P
 SOHPHQWHGLVWUXHDQGWKH67$LVQRWD*+]67$


  9+72SHUDWLRQ 7KH9+72SHUDWLRQHOHPHQWLVSUHVHQWZKHQGRW9+72SWLRQ,PSOH
 PHQWHGLVWUXHDQGWKH67$LVQRWD*+]67$DQGLVRSWLRQDOO\SUHV
 HQWLIGRW+(2SWLRQ,PSOHPHQWHGLVWUXHRWKHUZLVHLWLVQRWSUHVHQW

  5HGXFHG1HLJKERU 7KH5HGXFHG1HLJKERU5HSRUWHOHPHQWLVRSWLRQDOO\SUHVHQWLI
 5HSRUW GRW79+72SWLRQ,PSOHPHQWHGRUGRW),/6$FWLYDWHGRUGRW&R
 ORFDWHG515,PSOHPHQWHGLVWUXHRWKHUZLVHQRWSUHVHQW

  0XOWLSOH%66,' 7KH0XOWLSOH%66,'&RQILJXUDWLRQHOHPHQWLVRSWLRQDOO\SUHVHQWLI
 &RQILJXUDWLRQ GRW0XOWL%66,',PSOHPHQWHGLVWUXH

  +(&DSDELOLWLHV 7KH+(&DSDELOLWLHVHOHPHQWLVSUHVHQWLIGRW+(2SWLRQ,PSOH
 PHQWHGLVWUXHRWKHUZLVHLWLVQRWSUHVHQW

  +(2SHUDWLRQ 7KH+(2SHUDWLRQHOHPHQWLVSUHVHQWLIGRW+(2SWLRQ,PSOHPHQWHG
 LVWUXHRWKHUZLVHLWLVQRWSUHVHQW


  7:7 7KH7:7HOHPHQWLVRSWLRQDOO\SUHVHQWLIGRW7:72SWLRQ$FWLYDWHG
 LVWUXHRWKHUZLVHLWLVQRWSUHVHQW

  825$3DUDPHWHU 7KH825$3DUDPHWHU6HWHOHPHQWLVRSWLRQDOO\SUHVHQWLIGRW2)'
 6HW 0$5DQGRP$FFHVV2SWLRQ,PSOHPHQWHGLVWUXHRWKHUZLVHLWLVQRW
 SUHVHQW

  %66&RORU&KDQJH 7KH%66&RORU&KDQJH$QQRXQFHPHQWHOHPHQWLVRSWLRQDOO\SUHVHQWLI
 $QQRXQFHPHQW GRW+(2SWLRQ,PSOHPHQWHGLVWUXHRWKHUZLVHLWLVQRWSUHVHQW

  6SDWLDO5HXVH 7KH6SDWLDO5HXVH3DUDPHWHU6HWHOHPHQWLVRSWLRQDOO\SUHVHQWLI
 3DUDPHWHU6HW GRW+(2SWLRQ,PSOHPHQWHGLVWUXHRWKHUZLVHLWLVQRWSUHVHQW

  08('&$3DUDP 7KH08('&$3DUDPHWHU6HWHOHPHQWLVRSWLRQDOO\SUHVHQWLI
 HWHU6HW GRW+(2SWLRQ,PSOHPHQWHGLVWUXHDQGGRW08('&$3DUDPHWHUV
 $FWLYDWHGLVWUXHRWKHUZLVHLWLVQRWSUHVHQW


  (665HSRUW 7KH(665HSRUWHOHPHQWLVRSWLRQDOO\SUHVHQW

  1'3)HHGEDFN 7KH1'3)HHGEDFN5HSRUW3DUDPHWHU6HWHOHPHQWLVRSWLRQDOO\SUHV
 5HSRUW3DUDPHWHU HQWLIGRW+(2SWLRQ,PSOHPHQWHGLVWUXHRWKHUZLVHLWLVQRWSUHVHQW
 6HW

  +(%66/RDG 7KH+(%66/RDGHOHPHQWLVRSWLRQDOO\SUHVHQWLIGRW4%66/RDG
 ,PSOHPHQWHGDQGGRW+(2SWLRQ,PSOHPHQWHGDUHWUXH

  +(*+]%DQG 7KH+(*+]%DQG&DSDELOLWLHVHOHPHQWLVSUHVHQWLIGRW+(2S
 &DSDELOLWLHV WLRQ,PSOHPHQWHGDQGGRW+(*2SWLRQ,PSOHPHQWHGDUHWUXH






 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $VVRFLDWLRQ5HTXHVWIUDPHIRUPDW


 Change the following rows in Table 9-36 (Association Request frame body) maintaining row order:


 7DEOH²$VVRFLDWLRQ5HTXHVWIUDPHERG\


 2UGHU ,QIRUPDWLRQ 1RWHV

  +7&DSDELOLWLHV 7KH+7&DSDELOLWLHVHOHPHQWLVSUHVHQWZKHQGRW+LJK7KURXJK
 SXW2SWLRQ,PSOHPHQWHGLVWUXHDQGWKH67$LVQRWD*+]67$

  9+7&DSDELOLWLHV 7KH9+7&DSDELOLWLHVHOHPHQWLVSUHVHQWZKHQGRW9+72SWLRQ,P
 SOHPHQWHGLVWUXHDQGWKH67$LVQRWD*+]67$


  +(&DSDELOLWLHV 7KH+(&DSDELOLWLHVHOHPHQWLVSUHVHQWLIGRW+(2SWLRQ,PSOH
 PHQWHGLVWUXHRWKHUZLVHLWLVQRWSUHVHQW

  &KDQQHO6ZLWFK 7KH&KDQQHO6ZLWFK7LPLQJHOHPHQWLVRSWLRQDOO\SUHVHQWLIGRW+(
 7LPLQJ 6XEFKDQQHO6HOHFWLYH7UDQVPLVVLRQ,PSOHPHQWHGLVWUXHRWKHUZLVHLWLV
 QRWSUHVHQW

  +(*+]%DQG 7KH+(*+]%DQG&DSDELOLWLHVHOHPHQWLVSUHVHQWLIGRW+(2S
 &DSDELOLWLHV WLRQ,PSOHPHQWHGDQGGRW+(*2SWLRQ,PSOHPHQWHGDUHWUXHRWKHU
 ZLVHLWLVQRWSUHVHQW

  8/083RZHU 7KH8/083RZHU&DSDELOLWLHVHOHPHQWLVRSWLRQDOO\SUHVHQWLI
 &DSDELOLWLHV GRW+(2SWLRQ,PSOHPHQWHGLVWUXHRWKHUZLVHLWLVQRWSUHVHQW



 $VVRFLDWLRQ5HVSRQVHIUDPHIRUPDW


 Change Table 9-37 (Association Response frame body) as follows maintaining numeric order:


 7DEOH²$VVRFLDWLRQ5HVSRQVHIUDPHERG\


 2UGHU ,QIRUPDWLRQ 1RWHV

  +7&DSDELOLWLHV 7KH+7&DSDELOLWLHVHOHPHQWLVSUHVHQWZKHQGRW+LJK7KURXJK
 SXW2SWLRQ,PSOHPHQWHGLVWUXHDQGWKH67$LVQRWD*+]67$


  +72SHUDWLRQ 7KH+72SHUDWLRQHOHPHQWLVLQFOXGHGE\DQ$3DQGDPHVK67$
 ZKHQGRW+LJK7KURXJKSXW2SWLRQ,PSOHPHQWHGLVWUXHDQGWKH67$
 LVQRWD*+]67$

  9+7&DSDELOLWLHV 7KH9+7&DSDELOLWLHVHOHPHQWLVSUHVHQWZKHQGRW9+72SWLRQ,P
 SOHPHQWHGLVWUXHDQGWKH67$LVQRWD*+]67$

  9+72SHUDWLRQ 7KH9+72SHUDWLRQHOHPHQWLVSUHVHQWZKHQGRW9+72SWLRQ,PSOH
 PHQWHGLVWUXHDQGWKH67$LVQRWD*+]67$DQGLVRSWLRQDOO\SUHV
 HQWLIGRW+(2SWLRQ,PSOHPHQWHGLVWUXHRWKHUZLVHLWLVQRWSUHVHQW







&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²$VVRFLDWLRQ5HVSRQVHIUDPHERG\(continued)


 2UGHU ,QIRUPDWLRQ 1RWHV

  7:7 7KH7:7HOHPHQWLVSUHVHQWLIGRW7:72SWLRQ$FWLYDWHGLVWUXHDQG
 WKH7:7HOHPHQWLVSUHVHQWLQWKH$VVRFLDWLRQ5HTXHVWIUDPHWKDWHOLF
 LWHGWKH$VVRFLDWLRQ5HVSRQVHIUDPH

 7KH7:7HOHPHQWLVRSWLRQDOO\SUHVHQWLIGRW7:72SWLRQ$FWLYDWHG
 LVWUXHGRW+(2SWLRQ,PSOHPHQWHGLVWUXHDQGWKH7:75HTXHVWHU
 6XSSRUWILHOGLQWKH+(&DSDELOLWLHVHOHPHQWLQWKH$VVRFLDWLRQ
 5HTXHVWIUDPHWKDWHOLFLWHGWKLV$VVRFLDWLRQ5HVSRQVHIUDPHLV

 2WKHUZLVHWKH7:7HOHPHQWLVQRWSUHVHQW

 ,IWKH7:7HOHPHQWLVSUHVHQWLQWKH$VVRFLDWLRQ5HTXHVWIUDPHWKDW
 VROLFLWVWKH$VVRFLDWLRQ5HVSRQVHIUDPHEXWWKH7:7HOHPHQWLVQRW
 SUHVHQWLQWKH$VVRFLDWLRQ5HVSRQVHIUDPHWKHQWKH67$FDQWUDQVPLW
 DQRWKHU7:7UHTXHVWIUDPHDIWHUDVVRFLDWLRQ

  +(&DSDELOLWLHV 7KH+(&DSDELOLWLHVHOHPHQWLVSUHVHQWLIGRW+(2SWLRQ,PSOH
 PHQWHGLVWUXHRWKHUZLVHLWLVQRWSUHVHQW


  +(2SHUDWLRQ 7KH+(2SHUDWLRQHOHPHQWLVSUHVHQWLIGRW+(2SWLRQ,PSOHPHQWHG
 LVWUXHRWKHUZLVHLWLVQRWSUHVHQW

  %66&RORU&KDQJH 7KH%66&RORU&KDQJH$QQRXQFHPHQWHOHPHQWLVRSWLRQDOO\SUHVHQWLI
 $QQRXQFHPHQW GRW+(2SWLRQ,PSOHPHQWHGLVWUXHRWKHUZLVHLWLVQRWSUHVHQW

  6SDWLDO5HXVH 7KH6SDWLDO5HXVH3DUDPHWHU6HWHOHPHQWLVRSWLRQDOO\SUHVHQWLI
 3DUDPHWHU6HW GRW+(2SWLRQ,PSOHPHQWHGLVWUXHRWKHUZLVHLWLVQRWSUHVHQW

  08('&$3DUDP 7KH08('&$3DUDPHWHU6HWHOHPHQWLVSUHVHQWLIGRW+(2SWLRQ
 HWHU6HW ,PSOHPHQWHGLVWUXHDQGGRW08('&$3DUDPHWHUV$FWLYDWHGLVWUXH
 RWKHUZLVHLWLVQRWSUHVHQW

  825$3DUDPHWHU 7KH825$3DUDPHWHU6HWHOHPHQWLVRSWLRQDOO\SUHVHQWLIGRW+(
 6HW 2SWLRQ,PSOHPHQWHGLVWUXHRWKHUZLVHLWLVQRWSUHVHQW


  (665HSRUW 7KH(665HSRUWHOHPHQWLVRSWLRQDOO\SUHVHQW

  1'3)HHGEDFN 7KH1'3)HHGEDFN5HSRUW3DUDPHWHU6HWHOHPHQWLVRSWLRQDOO\SUHV
 5HSRUW3DUDPHWHU HQWLIGRW+(2SWLRQ,PSOHPHQWHGLVWUXHRWKHUZLVHLWLVQRWSUHVHQW
 6HW

  +(*+]%DQG 7KH+(*+]%DQG&DSDELOLWLHVHOHPHQWLVSUHVHQWLIGRW+(2S
 &DSDELOLWLHV WLRQ,PSOHPHQWHGDQGGRW+(*2SWLRQ,PSOHPHQWHGDUHWUXH
















 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 5HDVVRFLDWLRQ5HTXHVWIUDPHIRUPDW


 Change the following rows in Table 9-38 (Reassociation Request frame body) maintaining row order:


 7DEOH²5HDVVRFLDWLRQ5HTXHVWIUDPHERG\


 2UGHU ,QIRUPDWLRQ 1RWHV

  +7&DSDELOLWLHV 7KH+7&DSDELOLWLHVHOHPHQWLVSUHVHQWZKHQGRW+LJK7KURXJK
 SXW2SWLRQ,PSOHPHQWHGLVWUXHDQGWKH67$LVQRWD*+]67$

  9+7&DSDELOLWLHV 7KH9+7&DSDELOLWLHVHOHPHQWLVSUHVHQWZKHQGRW9+72SWLRQ,P
 SOHPHQWHGLVWUXHDQGWKH67$LVQRWD*+]67$


  +(&DSDELOLWLHV 7KH+(&DSDELOLWLHVHOHPHQWLVSUHVHQWLIGRW+(2SWLRQ,PSOH
 PHQWHGLVWUXHRWKHUZLVHLWLVQRWSUHVHQW

  &KDQQHO6ZLWFK 7KH&KDQQHO6ZLWFK7LPLQJHOHPHQWLVRSWLRQDOO\SUHVHQWLIGRW+(
 7LPLQJ 6XEFKDQQHO6HOHFWLYH7UDQVPLVVLRQ,PSOHPHQWHGLVWUXHRWKHUZLVHLWLV
 QRWSUHVHQW

  +(*+]%DQG 7KH+(*+]%DQG&DSDELOLWLHVHOHPHQWLVSUHVHQWLIGRW+(2S
 &DSDELOLWLHV WLRQ,PSOHPHQWHGDQGGRW+(*2SWLRQ,PSOHPHQWHGDUHWUXH

  8/083RZHU 7KH8/083RZHU&DSDELOLWLHVHOHPHQWLVRSWLRQDOO\SUHVHQWLI
 &DSDELOLWLHV GRW+(2SWLRQ,PSOHPHQWHGLVWUXHRWKHUZLVHLWLVQRWSUHVHQW



 5HDVVRFLDWLRQ5HVSRQVHIUDPHIRUPDW


 Change Table 9-39 (Reassociation Response frame body) as follows maintaining numeric order:


 7DEOH²5HDVVRFLDWLRQ5HVSRQVHIUDPHERG\


 2UGHU ,QIRUPDWLRQ 1RWHV

  +7&DSDELOLWLHV 7KH+7&DSDELOLWLHVHOHPHQWLVSUHVHQWZKHQGRW+LJK7KURXJK
 SXW2SWLRQ,PSOHPHQWHGLVWUXHDQGWKH67$LVQRWD*+]67$


  +72SHUDWLRQ 7KH+72SHUDWLRQHOHPHQWLVLQFOXGHGE\DQ$3ZKHQ
 GRW+LJK7KURXJKSXW2SWLRQ,PSOHPHQWHGLVWUXHDQGWKH$3LVQRWD
 *+]67$

  9+7&DSDELOLWLHV 7KH9+7&DSDELOLWLHVHOHPHQWLVSUHVHQWZKHQGRW9+72SWLRQ,P
 SOHPHQWHGLVWUXHDQGWKH67$LVQRWD*+]67$

  9+72SHUDWLRQ 7KH9+72SHUDWLRQHOHPHQWLVSUHVHQWZKHQGRW9+72SWLRQ,PSOH
 PHQWHGLVWUXHDQGWKH67$LVQRWD*+]67$DQGLVRSWLRQDOO\SUHV
 HQWLIGRW+(2SWLRQ,PSOHPHQWHGLVWUXHRWKHUZLVHLWLVQRWSUHVHQW








&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²5HDVVRFLDWLRQ5HVSRQVHIUDPHERG\(continued)


 2UGHU ,QIRUPDWLRQ 1RWHV

  7:7 7KH7:7HOHPHQWLVSUHVHQWLIGRW7:72SWLRQ$FWLYDWHGLVWUXHDQG
 WKH7:7HOHPHQWLVSUHVHQWLQWKH5HDVVRFLDWLRQ5HTXHVWIUDPHWKDW
 HOLFLWHGWKLV5HDVVRFLDWLRQ5HVSRQVHIUDPH

 7KH7:7HOHPHQWLVRSWLRQDOO\SUHVHQWLIGRW7:72SWLRQ$FWLYDWHG
 LVWUXHGRW+(2SWLRQ,PSOHPHQWHGLVWUXHDQGWKH7:75HTXHVWHU
 6XSSRUWILHOGLQWKH+(&DSDELOLWLHVHOHPHQWLQWKH5HDVVRFLDWLRQ
 5HTXHVWIUDPHWKDWHOLFLWHGWKLV5HDVVRFLDWLRQ5HVSRQVHIUDPHLV

 2WKHUZLVHWKH7:7HOHPHQWLVQRWSUHVHQW

 ,IWKH7:7HOHPHQWLVSUHVHQWLQWKH5HDVVRFLDWLRQ5HTXHVWIUDPHWKDW
 VROLFLWVWKH5HDVVRFLDWLRQ5HVSRQVHIUDPHEXWWKH7:7HOHPHQWLVQRW
 SUHVHQWLQWKH5HDVVRFLDWLRQ5HVSRQVHIUDPHWKHQWKH67$FDQWUDQV
 PLWDQRWKHU7:7UHTXHVWIUDPHDIWHUDVVRFLDWLRQ

  +(&DSDELOLWLHV 7KH+(&DSDELOLWLHVHOHPHQWLVSUHVHQWLIGRW+(2SWLRQ,PSOH
 PHQWHGLVWUXHRWKHUZLVHLWLVQRWSUHVHQW


  +(2SHUDWLRQ 7KH+(2SHUDWLRQHOHPHQWLVSUHVHQWLIGRW+(2SWLRQ,PSOHPHQWHG
 LVWUXHRWKHUZLVHLWLVQRWSUHVHQW

  %66&RORU&KDQJH 7KH%66&RORU&KDQJH$QQRXQFHPHQWHOHPHQWLVRSWLRQDOO\SUHVHQWLI
 $QQRXQFHPHQW GRW+(2SWLRQ,PSOHPHQWHGLVWUXHRWKHUZLVHLWLVQRWSUHVHQW

  6SDWLDO5HXVH 7KH6SDWLDO5HXVH3DUDPHWHU6HWHOHPHQWLVRSWLRQDOO\SUHVHQWLI
 3DUDPHWHU6HW GRW+(2SWLRQ,PSOHPHQWHGLVWUXHRWKHUZLVHLWLVQRWSUHVHQW

  08('&$3DUDP 7KH08('&$3DUDPHWHU6HWHOHPHQWLVSUHVHQWLIGRW+(2SWLRQ
 HWHU6HW ,PSOHPHQWHGLVWUXHDQGGRW08('&$3DUDPHWHUV$FWLYDWHGLVWUXH
 RWKHUZLVHLWLVQRWSUHVHQW

  825$3DUDPHWHU 7KH825$3DUDPHWHU6HWHOHPHQWLVRSWLRQDOO\SUHVHQWLIGRW+(
 6HW 2SWLRQ,PSOHPHQWHGLVWUXHRWKHUZLVHLWLVQRWSUHVHQW


  (665HSRUW 7KH(665HSRUWHOHPHQWLVRSWLRQDOO\SUHVHQW

  1'3)HHGEDFN 7KH1'3)HHGEDFN5HSRUW3DUDPHWHU6HWHOHPHQWLVRSWLRQDOO\SUHV
 5HSRUW3DUDPHWHU HQWLIGRW+(2SWLRQ,PSOHPHQWHGLVWUXHRWKHUZLVHLWLVQRWSUHVHQW
 6HW

  +(*+]%DQG 7KH+(*+]%DQG&DSDELOLWLHVHOHPHQWLVSUHVHQWLIGRW+(2S
 &DSDELOLWLHV WLRQ,PSOHPHQWHGDQGGRW+(*2SWLRQ,PSOHPHQWHGDUHWUXH
















 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 3UREH5HTXHVWIUDPHIRUPDW


 Change the following rows in Table 9-40 (Probe Request frame body) maintaining row order:


 7DEOH²3UREH5HTXHVWIUDPHERG\


 2UGHU ,QIRUPDWLRQ 1RWHV

  +7&DSDELOLWLHV 7KH+7&DSDELOLWLHVHOHPHQWLVSUHVHQWZKHQGRW+LJK7KURXJK
 SXW2SWLRQ,PSOHPHQWHGLVWUXHDQGWKH67$LVQRWD*+]67$

  9+7&DSDELOLWLHV 7KH9+7&DSDELOLWLHVHOHPHQWLVSUHVHQWZKHQGRW9+72SWLRQ,P
 SOHPHQWHGLVWUXHDQGWKH67$LVQRWD*+]67$


  +(&DSDELOLWLHV 7KH+(&DSDELOLWLHVHOHPHQWLVSUHVHQWLIGRW+(2SWLRQ,PSOH
 PHQWHGLVWUXHRWKHUZLVHLWLVQRWSUHVHQW

  .QRZQ%66,' 7KH.QRZQ%66,'HOHPHQWLVRSWLRQDOO\SUHVHQWLIGRW0XOWL%66,
 ',PSOHPHQWHGLVWUXH

  +(*+]%DQG 7KH+(*+]%DQG&DSDELOLWLHVHOHPHQWLVSUHVHQWLIGRW+(2S
 &DSDELOLWLHV WLRQ,PSOHPHQWHGDQGGRW+(*2SWLRQ,PSOHPHQWHGDUHWUXH

  6KRUW66,'/LVW 7KH6KRUW66,'/LVWHOHPHQWLVRSWLRQDOO\SUHVHQWLIGRW6KRUW66,
 '/LVW,PSOHPHQWHGLVWUXHRWKHUZLVHLWLVQRWSUHVHQW



 3UREH5HVSRQVHIUDPHIRUPDW


 Change the following rows in Table 9-41 (Probe Response frame body) maintaining numeric order:


 7DEOH²3UREH5HVSRQVHIUDPHERG\


 2UGHU ,QIRUPDWLRQ 1RWHV

  +7&DSDELOLWLHV 7KH+7&DSDELOLWLHVHOHPHQWLVSUHVHQWZKHQGRW+LJK7KURXJK
 SXW2SWLRQ,PSOHPHQWHGLVWUXHDQGWKH67$LVQRWD*+]67$


  +72SHUDWLRQ 7KH+72SHUDWLRQHOHPHQWLVLQFOXGHGE\DQ$3DQGDPHVK67$
 ZKHQGRW+LJK7KURXJKSXW2SWLRQ,PSOHPHQWHGLVWUXHDQGWKH$3LV
 QRWD*+]67$

  9+7&DSDELOLWLHV 7KH9+7&DSDELOLWLHVHOHPHQWLVSUHVHQWZKHQGRW9+72SWLRQ,P
 SOHPHQWHGLVWUXHDQGWKH67$LVQRWD*+]67$

  9+72SHUDWLRQ 7KH9+72SHUDWLRQHOHPHQWLVSUHVHQWZKHQGRW9+72SWLRQ,PSOH
 PHQWHGLVWUXHDQGWKH67$LVQRWD*+]67$DQGLVRSWLRQDOO\SUHV
 HQWLIGRW+(2SWLRQ,PSOHPHQWHGLVWUXHRWKHUZLVHLWLVQRWSUHVHQW

  5HGXFHG1HLJKERU 7KH5HGXFHG1HLJKERU5HSRUWHOHPHQWLVRSWLRQDOO\SUHVHQWLI
 5HSRUW GRW79+72SWLRQ,PSOHPHQWHGRUGRW),/6$FWLYDWHGRUGRW&R
 ORFDWHG515,PSOHPHQWHGLVWUXHRWKHUZLVHQRWSUHVHQW

  0XOWLSOH%66,' 7KH0XOWLSOH%66,'&RQILJXUDWLRQHOHPHQWLVRSWLRQDOO\SUHVHQWLI
 &RQILJXUDWLRQ GRW0XOWL%66,',PSOHPHQWHGLVWUXH


&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²3UREH5HVSRQVHIUDPHERG\(continued)


 2UGHU ,QIRUPDWLRQ 1RWHV

  +(&DSDELOLWLHV 7KH+(&DSDELOLWLHVHOHPHQWLVSUHVHQWLIGRW+(2SWLRQ,PSOH
 PHQWHGLVWUXHRWKHUZLVHLWLVQRWSUHVHQW

  +(2SHUDWLRQ 7KH+(2SHUDWLRQHOHPHQWLVSUHVHQWLIGRW+(2SWLRQ,PSOHPHQWHG
 LVWUXHRWKHUZLVHLWLVQRWSUHVHQW


  7:7 7KH7:7HOHPHQWLVRSWLRQDOO\SUHVHQWZLWKLQEURDGFDVW3UREH
 5HVSRQVHIUDPHVLIGRW7:72SWLRQ$FWLYDWHGGRW+(2SWLRQ,P
 SOHPHQWHGDQGGRW),/62PLW5HSOLFDWH3UREH5HVSRQVHVDUHWUXHRWK
 HUZLVHLWLVQRWSUHVHQW,IWKH7:7HOHPHQWLVSUHVHQWWKHQWKH
 1HJRWLDWLRQ7\SHVXEILHOGRIWKH7:7HOHPHQWLV

  825$3DUDPHWHU 7KH825$3DUDPHWHU6HWHOHPHQWLVRSWLRQDOO\SUHVHQWLIGRW2)'
 6HW 0$5DQGRP$FFHVV2SWLRQ,PSOHPHQWHGLVWUXHRWKHUZLVHLWLVQRW
 SUHVHQW

  %66&RORU&KDQJH 7KH%66&RORU&KDQJH$QQRXQFHPHQWHOHPHQWLVRSWLRQDOO\SUHVHQWLI
 $QQRXQFHPHQW GRW+(2SWLRQ,PSOHPHQWHGLVWUXHRWKHUZLVHLWLVQRWSUHVHQW

  6SDWLDO5HXVH 7KH6SDWLDO5HXVH3DUDPHWHU6HWHOHPHQWLVRSWLRQDOO\SUHVHQWLI
 3DUDPHWHU6HW GRW+(2SWLRQ,PSOHPHQWHGLVWUXHRWKHUZLVHLWLVQRWSUHVHQW

  08('&$3DUDP 7KH08('&$3DUDPHWHU6HWHOHPHQWLVSUHVHQWLIGRW+(2SWLRQ
 HWHU6HW ,PSOHPHQWHGLVWUXHDQGGRW08('&$3DUDPHWHUV$FWLYDWHGLVWUXH
 RWKHUZLVHLWLVQRWSUHVHQW


  (665HSRUW 7KH(665HSRUWHOHPHQWLVRSWLRQDOO\SUHVHQW

  1'3)HHGEDFN 7KH1'3)HHGEDFN5HSRUW3DUDPHWHU6HWHOHPHQWLVRSWLRQDOO\SUHV
 5HSRUW3DUDPHWHU HQWLIGRW+(2SWLRQ,PSOHPHQWHGLVWUXHRWKHUZLVHLWLVQRWSUHVHQW
 6HW

  +(%66/RDG 7KH+(%66/RDGHOHPHQWLVRSWLRQDOO\SUHVHQWLIGRW4%66/RDG
 ,PSOHPHQWHGDQGGRW+(2SWLRQ,PSOHPHQWHGDUHWUXH

  +(*+]%DQG 7KH+(*+]%DQG&DSDELOLWLHVHOHPHQWLVSUHVHQWLIGRW+(2S
 &DSDELOLWLHV WLRQ,PSOHPHQWHGDQGGRW+(*2SWLRQ,PSOHPHQWHGDUHWUXH






















 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $FWLRQIUDPHIRUPDW


 Change Table 9-45 (Action frame body and Action No Ack frame body) as follows:


 7DEOH²$FWLRQIUDPHERG\DQG$FWLRQ1R$FNIUDPHERG\


 2UGHU ,QIRUPDWLRQ

 /DVW± 2QHRUPRUHYHQGRUVSHFLILFHOHPHQWVDUHRSWLRQDOO\SUHVHQW

 7KHVHHOHPHQWVDUHDEVHQWZKHQWKH&DWHJRU\VXEILHOGRIWKH$FWLRQ
 ILHOGLV9HQGRU6SHFLILF9HQGRU6SHFLILF3URWHFWHGRU6HOISURWHFWHG
 RUZKHQWKH&DWHJRU\VXEILHOGRIWKH$FWLRQILHOGLV9+7DQGWKH9+7
 $FWLRQVXEILHOGRIWKH$FWLRQILHOGLV9+7&RPSUHVVHG%HDPIRUPLQJ
 RUZKHQWKH&DWHJRU\VXEILHOGRIWKH$FWLRQILHOGLV+(DQGWKH+(
 $FWLRQVXEILHOGRIWKH$FWLRQILHOGLV+(&RPSUHVVHG%HDPIRUPLQJ
 &4,



 ([WHQVLRQIUDPHV


 '0*%HDFRQ

 Insert the following row in Table 9-47 (DMG Beacon frame body) maintaining numeric order:



 7DEOH²'0*%HDFRQIUDPHERG\


 2UGHU ,QIRUPDWLRQ 1RWHV

  0XOWLSOH%66,' 7KH0XOWLSOH%66,'&RQILJXUDWLRQHOHPHQWLVRSWLRQDOO\SUHVHQWLI
 &RQILJXUDWLRQ GRW0XOWL%66,',PSOHPHQWHGLVWUXH



 6*%HDFRQIUDPHIRUPDW

 Insert the following row in Table 9-48 (Minimum and full set of optional elements) maintaining numeric

 order:


 7DEOH²0LQLPXPDQGIXOOVHWRIRSWLRQDOHOHPHQWV


 $OORZHGLQ $OORZHGLQ
2UGHU ,QIRUPDWLRQ 1RWHV
 PLQLPXPVHW IXOOVHW

  0XOWLSOH%66,' 7KH0XOWLSOH%66,'&RQILJXUDWLRQHOH 1R <HV
 &RQILJXUDWLRQ PHQWLVRSWLRQDOO\SUHVHQWLIGRW0XO
 WL%66,',PSOHPHQWHGLVWUXH








&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 0DQDJHPHQWDQG([WHQVLRQIUDPHERG\FRPSRQHQWV


 )LHOGVWKDWDUHQRWHOHPHQWV

 5HDVRQ&RGHILHOG

 Insert a new row in Table 9-51 (Reason codes) as follows (maintaining numeric order and updating the

 reserved range):


 7DEOH²5HDVRQFRGHV


 6WDWXVFRGH 1DPH 0HDQLQJ

  3225B566,B&21',7,216 'LVDVVRFLDWHGGXHWRSRRU566,



6WDWXV&RGHILHOG


 Change Table 9-52 (Status codes) as follows (maintaining numeric order and updating the reserved
 range):



7DEOH²6WDWXVFRGHV


 6WDWXVFRGH 1DPH 0HDQLQJ

  5()86('B%$6,&B5$7(6B0,6 $VVRFLDWLRQGHQLHGGXHWRUHTXHVWLQJ67$QRW
 0$7&+ VXSSRUWLQJDOORIWKHGDWDUDWHVLQWKH%66%DV
 LF5DWH6HWSDUDPHWHUWKH%DVLF+70&66HW
 ILHOGRIWKH+72SHUDWLRQSDUDPHWHURUWKH
 %DVLF9+70&6DQG1666HWILHOGLQWKH
 9+72SHUDWLRQSDUDPHWHURUWKH%DVLF+(
 0&6$QG1666HWILHOGLQWKH+(2SHUDWLRQ
 SDUDPHWHU

  '(1,('B+(B127B6833257(' $VVRFLDWLRQGHQLHGEHFDXVHWKHUHTXHVWLQJ
 67$GRHVQRWVXSSRUW+(IHDWXUHV























 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $FWLRQILHOG


 Insert the following rows into Table 9-53 (Category values) in numerical order and update the Reserved
 row:


 7DEOH²&DWHJRU\YDOXHV


 *URXS
 &RGH 0HDQLQJ 6HHVXEFODXVH 5REXVW DGGUHVVHG
 SULYDF\

  +(  +( 1R 1R
 $FWLRQIUDPH
 GHWDLOV

  3URWHFWHG+(  3UR <HV 1R
 WHFWHG+($FWLRQ
 IUDPHGHWDLOV



 4R6,QIRILHOG


Change Figure 9-100 (QoS Info field format when sent by an AP) as follows:



 % % % % % %

 ('&$3DUDPHWHU 4$FN 4XHXH5HTXHVW 7;235HTXHVW 5HVHUYHG
 6HW8SGDWH&RXQW 0RUH'DWD$FN

%LWV     


 )LJXUH²4R6,QIRILHOGIRUPDWZKHQVHQWE\DQ$3



 Insert the following after the 6th paragraph (“APs set the TXOP Request subfield…”):



$Q+($3VHWVWKH0RUH'DWD$FNVXEILHOGWRWRLQGLFDWHWKDWLWFDQJHQHUDWHLQGLYLGXDOO\DGGUHVVHG$FN 
 DQG%ORFN$FNIUDPHVZLWKWKH0RUH'DWDELWLQWKH)UDPH&RQWUROILHOGHTXDOWRRWKHUZLVHWKH$3VHWVWKH
 0RUH'DWD$FNVXEILHOGWR)RUDQRQ+($3WKH0RUH'DWD$FNVXEILHOGLVUHVHUYHG


 Change the last paragraph of this subclause as follows:

 1RQ$3 67$V VHW WKH 0RUH'DWD $FN VXEILHOGWR  WR LQGLFDWH WKDWWKH\ FDQ SURFHVV $FNDQG %ORFN$FN



IUDPHVZLWKWKH0RUH'DWDELWLQWKH)UDPH&RQWUROILHOGHTXDOWRDQGUHPDLQLQWKHDZDNHVWDWH

 1RQ$3QRQ+(67$VVHWWKH0RUH'DWD$FNVXEILHOGWRWRLQGLFDWHWKDWWKH\FDQSURFHVV$FNIUDPHV
 ZLWKWKH0RUH'DWDELWLQWKH)UDPH&RQWUROILHOGHTXDOWRDQGUHPDLQLQWKHDZDNHVWDWH1RQ$3+( 

 67$VVHWWKH0RUH'DWD$FNVXEILHOGWRWRLQGLFDWHWKDWWKH\FDQSURFHVV$FNDQG%ORFN$FNIUDPHVZLWK 
 WKH0RUH'DWDELWLQWKH)UDPH&RQWUROILHOGHTXDOWRDQGUHPDLQLQWKHDZDNHVWDWH1RQ$367$VVHWWKH
 0RUH'DWD$FNVXEILHOGWRRWKHUZLVH)RU$3VWKH0RUH'DWD$FNVXEILHOGLVUHVHUYHG


 $Q+(7'/6SHHU67$XVHVWKH0RUH'DWD$FNVXEILHOGWRLQGLFDWHVXSSRUWIRUERWKSURFHVVLQJDQGJHQHU
 DWLQJ$FNDQG%ORFN$FNIUDPHV

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 %DQG,'ILHOG


Insert a new row in Table 9-69 (Band ID field) as follows and update the Reserved row as appropriate:



 7DEOH²%DQG,'ILHOG


 %DQG,'YDOXH 0HDQLQJ

  *+]






















































 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 2SHUDWLQJ0RGHILHOG


 Change the Rx NSS row in Table 9-82 (Subfield values of the Operating Mode field) as follows:


 7DEOH²6XEILHOGYDOXHVRIWKH2SHUDWLQJ0RGHILHOG


 6XEILHOG 'HVFULSWLRQ

 5[166 ,IWKH67$WKDWWUDQVPLWVWKH2SHUDWLQJ0RGHILHOG 67$ DQGWKHUHFHLYHURI
 WKH2SHUDWLQJ0RGHILHOG 67$ DUHQRWERWK+(67$VDQGLIWKH5[1667\SH
 VXEILHOGLVWKHQWKLVILHOGFRPELQHGZLWKRWKHULQIRUPDWLRQGHVFULEHGLQ
  6XSSRUWHG9+70&6DQG1666HWILHOG LQGLFDWHVWKHPD[LPXP
 QXPEHURIVSDWLDOVWUHDPVWKDWWKH67$67$FDQUHFHLYH

 ,IWKH67$WKDWWUDQVPLWVWKH2SHUDWLQJ0RGHILHOG 67$ DQGWKHUHFHLYHURI
 WKH2SHUDWLQJ0RGHILHOG 67$ DUHERWK+(67$VDQGLIWKH5[1667\SH
 VXEILHOGLVWKHQWKHIROORZLQJDSSO\
 ² 7KH YDOXH RI WKLVILHOG FRPELQHGZLWKRWKHU LQIRUPDWLRQ GHVFULEHG LQ

  6XSSRUWHG 9+70&6 DQG 166 6HW ILHOG  LQGLFDWHV WKH
 PD[LPXPQXPEHURIVSDWLDOVWUHDPVWKDWWKH+(67$FDQUHFHLYHLQD
 9+733'8

 ² 7KH YDOXH RI WKLVILHOG FRPELQHGZLWKRWKHU LQIRUPDWLRQ GHVFULEHG LQ

  6XSSRUWHG +(0&6 $QG 166 6HW ILHOG  LQGLFDWHV WKH
 PD[LPXP QXPEHU RIVSDWLDO VWUHDPV WKDW 67$ FDQ UHFHLYH LQ DQ+(

 33'8

 ,IWKH5[1667\SHVXEILHOGLVWKLVILHOGLQGLFDWHVWKHPD[LPXPQXPEHURI
 VSDWLDOVWUHDPVWKDWWKH67$FDQUHFHLYHDVDEHDPIRUPHHLQDQ6833'8XVLQJ
 DEHDPIRUPLQJVWHHULQJPDWUL[GHULYHGIURPD9+7&RPSUHVVHG%HDPIRUPLQJ
 UHSRUWZLWK)HHGEDFN7\SHVXEILHOGLQGLFDWLQJ08LQWKHFRUUHVSRQGLQJ9+7
 &RPSUHVVHG%HDPIRUPLQJIUDPHVHQWE\WKH67$

 ,QDQRQ6*67$
 6HWWRIRUNSS 
 6HWWRIRUNSS 
 «
 6HWWRIRUNSS 

 ,QDQ6*67$
 6HWWRIRUNSS 
 6HWWRIRUNSS 
 6HWWRIRUNSS 
 6HWWRIRUNSS 


 127(²,QD67$ZLWKGRW9+7([WHQGHG166%:&DSDEOHHTXDOWRWUXH166 
 PLJKW EH IXUWKHU PRGLILHG IRU 9+7 33'8V SHU 7DEOH 6HWWLQJ RI WKH
 &KDQQHO :LGWK VXEILHOG DQG  %: VXEILHOG DW D 9+7 67$ 
 WUDQVPLWWLQJ WKH 2SHUDWLQJ 0RGH ILHOG  ,Q DQ +( 67$ ZLWK 
 GRW9+7([WHQGHG166%:&DSDEOH HTXDO WR WUXH 166 PLJKW EH IXUWKHU
 PRGLILHGIRU+(33'8VSHU(TXDWLRQ D 



 Insert the following at the end of the subclause:

 7KHPD[LPXPQXPEHURIVSDWLDOVWUHDPVWKDWWKH67$VXSSRUWVLQUHFHSWLRQIRUDJLYHQ+(0&6DVDIXQF
 WLRQRIWKHUHFHLYHG+(33'8EDQGZLGWKDWDQ+(67$WUDQVPLWWLQJDQ2SHUDWLQJ0RGHILHOGLVGHILQHGDV


 IORRU Rx-NSS-from-OMFî Max-HE-NSS-at-BWMax-HE-NSS-at-80 D

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ZKHUH
 Rx-NSS-from-OMFLV5[166IURPWKH2SHUDWLQJ0RGHILHOGWUDQVPLWWHGE\WKH67$

Max-HE-NSS-at-BWLVWKHPD[LPXP166DPRQJDOO+(0&6DWBW0+]IURPWKH6XSSRUWHG+(0&6


 $QG1666HWILHOGWUDQVPLWWHGE\WKH67$
 Max-HE-NSS-at-80LVWKHPD[LPXP166DPRQJDOO+(0&6DW0+]IURPWKH6XSSRUWHG+(0&6

 $QG1666HWILHOGWUDQVPLWWHGE\WKH67$

 127(²)RURSHUDWLQJPRGHEHWZHHQWZR+(67$VWKH5[166VXEILHOGLQGLFDWHVWKHPD[LPXPQXPEHURIVSDWLDO
 VWUHDPVDWFKDQQHOZLGWKVOHVVWKDQRUHTXDOWR0+]

 7:7,QIRUPDWLRQILHOG


Change Figure 9-142 (TWT Information field format) as follows:


 %% % % %% % %%Q


7:7)ORZ 5HVSRQVH 1H[W7:7 1H[W7:7 5HVHUYHG
 ,GHQWLILHU 5HTXHVWHG 5HTXHVW 6XEILHOG6L]H $OO7:7
1H[W7:7


%LWV      RU


 )LJXUH²7:7,QIRUPDWLRQILHOGIRUPDW

 Change the 3rd paragraph as follows:


7KH 7:7 )ORZ ,GHQWLILHU VXEILHOG FRQWDLQV WKH 7:7 IORZ LGHQWLILHU IRU ZKLFK 7:7 LQIRUPDWLRQ LV

 UHTXHVWHGRUEHLQJSURYLGHG7KH7:7)ORZ,GHQWLILHUVXEILHOGLVUHVHUYHGLIWKH$OO7:7VXEILHOGLV

 Insert the following before the last paragraph:


7KH$OO7:7VXEILHOGLVVHWWRE\DQ+(67$WRLQGLFDWHWKDWWKH7:7,QIRUPDWLRQIUDPHUHVFKHGXOHVDOO

 7:7VDVGHILQHGLQ 8VHRI7:7,QIRUPDWLRQIUDPHV 2WKHUZLVHLWLVVHWWR

 Insert the following subclauses after 9.4.1.63:


+(0,02&RQWUROILHOG


 7KH+(0,02&RQWUROILHOGLVGHILQHGLQ)LJXUHD +(0,02&RQWUROILHOGIRUPDW 


 %% %% %% % % %% %% %

 5HPDLQLQJ )LUVW
 1F 1U &RGHERRN )HHGEDFN
,QGH[ ,QGH[ %: *URXSLQJ ,QIRUPDWLRQ 7\SH )HHGEDFN )HHGEDFN
 6HJPHQWV 6HJPHQW


%LW
 V        












 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU


 %% %% %% % %% %% %%

 6RXQGLQJ 'LVDOORZHG
'LVDOORZHG
 586WDUW 58(QG 'LDORJ 6XEFKDQQHO 5HVHUYHG 6XEFKDQQHO 5HVHUYHG
 ,QGH[ ,QGH[ 7RNHQ %LWPDS
1XPEHU 3UHVHQW %LWPDS


%LWV      RU RU


 )LJXUHD²+(0,02&RQWUROILHOGIRUPDW

 7KHVXEILHOGVRIWKH+(0,02&RQWUROILHOGDUHGHILQHGLQ7DEOHD +(0,02&RQWUROILHOGHQFRG

 LQJ 


 7DEOHD²+(0,02&RQWUROILHOGHQFRGLQJ


 6XEILHOG 'HVFULSWLRQ

 1F,QGH[ ,IWKH)HHGEDFN7\SHVXEILHOGLQGLFDWHV68RU08WKH1F,QGH[VXEILHOG
 LQGLFDWHVWKHQXPEHURIFROXPQVNcLQWKHFRPSUHVVHGEHDPIRUPLQJIHHG
 EDFNPDWUL[DQGLVVHWWRNc±

 ,IWKH)HHGEDFN7\SHVXEILHOGLQGLFDWHV&4,WKH1F,QGH[VXEILHOGLQGLFDWHV
 WKHQXPEHURIVSDFHWLPHVWUHDPVNcLQWKH&4,5HSRUWDQGLVVHWWRNc±

 1U,QGH[ ,IWKH)HHGEDFN7\SHVXEILHOGLQGLFDWHV68RU08WKHQWKH1U,QGH[VXE
 ILHOGLQGLFDWHVWKHQXPEHURIURZVNrLQWKHFRPSUHVVHGEHDPIRUPLQJIHHG
 EDFNPDWUL[DQGLVVHWWRNr±7KHYDOXHLVUHVHUYHG

 ,IWKH)HHGEDFN7\SHVXEILHOGLQGLFDWHV&4,WKHQWKH1U,QGH[VXEILHOGLV
 UHVHUYHG


%: ,QGLFDWHVWKHFKDQQHOZLGWKXVHGWRGHWHUPLQHWKHVWDUWLQJDQGHQGLQJVXEFDU

ULHULQGLFHVZKHQLQWHUSUHWLQJWKH586WDUW,QGH[DQG58(QG,QGH[VXE

ILHOGV

6HWWRIRU0+]

6HWWRIRU0+]

6HWWRIRU0+]

6HWWRIRU0+]DQG0+]


 *URXSLQJ ,IWKH)HHGEDFN7\SHVXEILHOGLQGLFDWHV68RU08WKHQWKH*URXSLQJVXE
 ILHOGLQGLFDWHVWKHVXEFDUULHUJURXSLQJNgXVHGIRUWKHFRPSUHVVHGEHDP
 IRUPLQJIHHGEDFNPDWUL[
 6HWWRIRUNg 
 6HWWRIRUNg 
 ,IWKH)HHGEDFN7\SHVXEILHOGLQGLFDWHV&4,WKHQWKH*URXSLQJVXEILHOGLV
 UHVHUYHG














&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOHD²+(0,02&RQWUROILHOGHQFRGLQJ(continued)


 &RGHERRN,QIRUPDWLRQ ,QGLFDWHVWKHVL]HRIFRGHERRNHQWULHV
 ,IWKH)HHGEDFN7\SHVXEILHOGLQGLFDWHV68
 6HWWRIRUELWVIRUࢥDQGELWVIRUȥ
 6HWWRIRUELWVIRUࢥDQGELWVIRUȥ
 ,IWKH)HHGEDFN7\SHVXEILHOGLQGLFDWHV08
 6HWWRIRUELWVIRUࢥDQGELWVIRUȥ
 6HWWRIRUELWVIRUࢥDQGELWVIRUȥ
 ,IWKH)HHGEDFN7\SHVXEILHOGLQGLFDWHV&4,WKHQWKH&RGHERRN,QIRUPDWLRQ
 VXEILHOGLVUHVHUYHG

 127(²7KHFRGHERRNVL]HIRU08)HHGEDFNZLWKNg LVOLPLWHGWR ࢥ
 ȥ  ^`

 )HHGEDFN7\SH ,QGLFDWHVWKHIHHGEDFNW\SH
 6HWWRIRU68
 6HWWRIRU08
 6HWWRIRU&4,
 LVUHVHUYHG

 5HPDLQLQJ)HHGEDFN ,QGLFDWHVWKHQXPEHURIUHPDLQLQJIHHGEDFNVHJPHQWVIRUWKHDVVRFLDWHG+(
 6HJPHQWV &RPSUHVVHG%HDPIRUPLQJ&4,IUDPH
 6HWWRIRUWKHODVWIHHGEDFNVHJPHQWRIDVHJPHQWHGUHSRUWRUWKHRQO\
 IHHGEDFNVHJPHQWRIDQXQVHJPHQWHGUHSRUW
 6HWWRDYDOXHEHWZHHQDQGIRUDIHHGEDFNVHJPHQWWKDWLVQRWWKHODVW
 IHHGEDFNVHJPHQWRIDVHJPHQWHGUHSRUW
 ,QDUHWUDQVPLWWHGIHHGEDFNVHJPHQWWKHVXEILHOGLVVHWWRWKHVDPHYDOXH
 DVVRFLDWHGZLWKWKHIHHGEDFNVHJPHQWLQWKHRULJLQDOWUDQVPLVVLRQ


 )LUVW)HHGEDFN6HJPHQW 6HWWRIRUWKHILUVWIHHGEDFNVHJPHQWRIDVHJPHQWHGUHSRUWRUWKHRQO\
 IHHGEDFNVHJPHQWRIDQXQVHJPHQWHGUHSRUW
 6HWWRLIQRWWKHILUVWIHHGEDFNVHJPHQWRULIWKH+(&RPSUHVVHG%HDP
 IRUPLQJ5HSRUWILHOGDQG+(08([FOXVLYH%HDPIRUPLQJ5HSRUWILHOGDUH
 QRWSUHVHQWLQWKHIUDPH
 ,QDUHWUDQVPLWWHGIHHGEDFNVHJPHQWWKHVXEILHOGLVVHWWRWKHVDPHYDOXH
 DVVRFLDWHGZLWKWKHIHHGEDFNVHJPHQWLQWKHRULJLQDOWUDQVPLVVLRQ

 127(²7KH)LUVW)HHGEDFN6HJPHQWVXEILHOGLVDOZD\VVHWWRLIWKH)HHG
 EDFN7\SHVXEILHOGLQGLFDWHV&4,EHFDXVHWKH+(&RPSUHVVHG%HDPIRUP
 LQJ&4,5HSRUWIUDPHLVDOZD\VOHVVWKDQRFWHWVLQOHQJWK

 586WDUW,QGH[ 7KHVWDUWLQJ58LQGH[LQGLFDWHVWKHILUVWWRQH58IRUZKLFKWKH+(EHDP
 IRUPHULVUHTXHVWLQJIHHGEDFN

 58(QG,QGH[ 7KHHQGLQJ58LQGH[LQGLFDWHVWKHODVWWRQH58IRUZKLFKWKH+(EHDP
 IRUPHULVUHTXHVWLQJIHHGEDFN

 6RXQGLQJ'LDORJ7RNHQ 6HWWRWKHVDPHYDOXHDVWKH6RXQGLQJ'LDORJ7RNHQ1XPEHUILHOGLQWKHFRU
 1XPEHU UHVSRQGLQJ+(1'3$QQRXQFHPHQWIUDPH



 ,QDQ+(&RPSUHVVHG%HDPIRUPLQJ&4,IUDPHQRWFDUU\LQJDQ+(FRPSUHVVHGEHDPIRUPLQJ&4,UHSRUW
 WKH1F,QGH[1U,QGH[&KDQQHO:LGWK*URXSLQJ&RGHERRN,QIRUPDWLRQ)HHGEDFN7\SHDQG6RXQGLQJ

'LDORJ 7RNHQ 1XPEHU VXEILHOGV DUH UHVHUYHG WKH )LUVW )HHGEDFN 6HJPHQW VXEILHOG LV VHW WR  DQG WKH

 5HPDLQLQJ)HHGEDFN6HJPHQWVVXEILHOGLVVHWWR

 7KH 'LVDOORZHG 6XEFKDQQHO %LWPDS 3UHVHQW VXEILHOG LQGLFDWHV ZKHWKHU D 'LVDOORZHG 6XEFKDQQHO %LWPDS

 VXEILHOGDQGDUHVHUYHGILHOGRIELWVDUHSUHVHQWLQWKH+(0,02&RQWUROILHOG7KHVHVXEILHOGVDUHSUHVHQW



 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 LIWKH'LVDOORZHG6XEFKDQQHO%LWPDS3UHVHQWVXEILHOGLVHTXDOWR7KHVHVXEILHOGVDUHQRWSUHVHQWLIWKH
 'LVDOORZHG6XEFKDQQHO%LWPDS3UHVHQWVXEILHOGLVHTXDOWR


 7KH'LVDOORZHG6XEFKDQQHO%LWPDSVXEILHOGLVGHILQHGLQ 9+7+(1'3$QQRXQFHPHQWIUDPH
 IRUPDW 


 +(&RPSUHVVHG%HDPIRUPLQJ5HSRUWILHOG


 7KH +( &RPSUHVVHG %HDPIRUPLQJ 5HSRUW ILHOG FDUULHV WKH DYHUDJH 615 RI HDFK VSDFHWLPH VWUHDP DQG 
 FRPSUHVVHG EHDPIRUPLQJ IHHGEDFN PDWULFHV V IRU XVH E\ D WUDQVPLW EHDPIRUPHU WR GHWHUPLQH VWHHULQJ 

 PDWULFHV Q DV GHVFULEHG LQ  ([SOLFLW IHHGEDFN EHDPIRUPLQJ  DQG  ([SOLFLW IHHGEDFN
 EHDPIRUPLQJ 


 7KHVL]HRIWKH+(&RPSUHVVHG%HDPIRUPLQJ5HSRUWILHOGGHSHQGVRQWKHYDOXHVLQWKH+(0,02&RQWURO
 ILHOG7KH+(&RPSUHVVHG%HDPIRUPLQJ5HSRUWILHOGFRQWDLQV+(&RPSUHVVHG%HDPIRUPLQJ5HSRUWLQIRU
 PDWLRQRUVXFFHVVLYH SRVVLEO\]HUROHQJWK SRUWLRQVWKHUHRILQWKHFDVHRIVHJPHQWHG+(FRPSUHVVHGEHDP
 IRUPLQJ&4,UHSRUW VHH 5XOHVIRUJHQHUDWLQJVHJPHQWHGIHHGEDFN +(&RPSUHVVHG%HDPIRUPLQJ 

 5HSRUWLQIRUPDWLRQLVLQFOXGHGLQWKH+(FRPSUHVVHGEHDPIRUPLQJ&4,UHSRUWLIWKH)HHGEDFN7\SHVXE
 ILHOGLQWKH+(0,02&RQWUROILHOGLQGLFDWHV68RU08,IWKH+(0,02&RQWUROILHOGFRQWDLQVD'LVDO
 ORZHG6XEFKDQQHO%LWPDSVXEILHOGWKHQWKH+(&RPSUHVVHG%HDPIRUPLQJ5HSRUWILHOGGRHVQRWLQFOXGH
 LQIRUPDWLRQIRUWRQHVWKDWDUHLQFOXGHGZLWKLQWRQH58VWKDWDUHLQGLFDWHGDVGLVDOORZHGE\WKHELWPDS


 7KH+(&RPSUHVVHG%HDPIRUPLQJ5HSRUWLQIRUPDWLRQFRQWDLQVWKHFKDQQHOPDWUL[HOHPHQWVLQGH[HGILUVW
 E\PDWUL[DQJOHVLQRUGHUVKRZQLQ7DEOH 2UGHURIDQJOHVLQWKH&RPSUHVVHG%HDPIRUPLQJ)HHGEDFN

0DWUL[VXEILHOGZKHQXVHGLQDQRQ6*EDQG DQGVHFRQGE\GDWDDQGSLORWVXEFDUULHULQGH[IURPORZHVW

 IUHTXHQF\WRKLJKHVWIUHTXHQF\$QH[SODQDWLRQRIKRZWKHVHDQJOHVDUHJHQHUDWHGIURPWKHEHDPIRUPLQJ 
 IHHGEDFN PDWUL[ V LV JLYHQ LQ  &RPSUHVVHG EHDPIRUPLQJ IHHGEDFN PDWUL[  ZKHUH Nc LV WKH
 QXPEHURIFROXPQVLQDFRPSUHVVHGEHDPIRUPLQJIHHGEDFNPDWUL[GHWHUPLQHGE\WKH1F,QGH[VXEILHOGRI
 WKH+(0,02&RQWUROILHOGDQGNrLVWKHQXPEHURIURZVLQDFRPSUHVVHGEHDPIRUPLQJIHHGEDFNPDWUL[ 

GHWHUPLQHGE\WKH1U,QGH[VXEILHOGRIWKH+(0,02&RQWUROILHOG


 7KHEHDPIRUPLQJIHHGEDFNPDWUL[VLVIRUPHGE\WKHEHDPIRUPHHDVIROORZV7KHEHDPIRUPHUWUDQVPLWVDQ 

 +(VRXQGLQJ1'3ZLWKNSTS,NDPVSDFHWLPHVWUHDPVZKHUHNSTS,NDPWDNHVDYDOXHEHWZHHQDQG%DVHG
 RQWKLV+(VRXQGLQJ1'3WKHEHDPIRUPHHHVWLPDWHVWKHNRX,BFEEîNSTS,NDPFKDQQHODQGEDVHGRQWKDW
 FKDQQHOLWGHWHUPLQHVDNr îNcRUWKRJRQDOPDWUL[VZKHUHNrDQGNcVDWLVI\(TXDWLRQ  NRX,BFEELV
 WKHQXPEHURIUHFHLYHUFKDLQVXVHGWRUHFHLYHWKH+(VRXQGLQJ1'3DWWKHEHDPIRUPHH


 )XUWKHUUHVWULFWLRQVRQNcDUHGHVFULEHGLQ +(3+<VHUYLFHLQWHUIDFH 7KHDQJOHVDUHTXDQWL]HGDV
 GHILQHGLQ7DEOH 4XDQWL]DWLRQRIDQJOHV ZLWKbȥGHILQHGE\WKH&RGHERRN,QIRUPDWLRQILHOGRIWKH+(



0,02&RQWUROILHOG VHH +(0,02&RQWUROILHOG 


7KH+(&RPSUHVVHG%HDPIRUPLQJ5HSRUWLQIRUPDWLRQKDVWKHVWUXFWXUHDQGRUGHUGHILQHGLQ7DEOHE 

 +(&RPSUHVVHG%HDPIRUPLQJ5HSRUWLQIRUPDWLRQ ZKHUHNaLVWKHQXPEHURIDQJOHVXVHGIRUWKHFRP
 SUHVVHG EHDPIRUPLQJ IHHGEDFN PDWUL[ VHH 7DEOH  2UGHU RI DQJOHV LQ WKH FRPSUHVVHG EHDPIRUPLQJ

 IHHGEDFNPDWUL[ZKHQXVHGLQDQRQ6*EDQG 



7DEOHE²+(&RPSUHVVHG%HDPIRUPLQJ5HSRUWLQIRUPDWLRQ


 )LHOG 6L]H ELWV 0HDQLQJ


&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOHE²+(&RPSUHVVHG%HDPIRUPLQJ5HSRUWLQIRUPDWLRQ(continued)


 6LJQDOWRQRLVHUDWLRDWWKHEHDPIRUPHHIRUVSDFH
 WLPHVWUHDPDYHUDJHGRYHUDOOGDWDVXEFDUULHUV
$YHUDJH615RI6SDFH7LPH6WUHDP 
 6HH7DEOH $YHUDJH615RI6SDFH7LPH
 6WUHDPLVXEILHOG 

 « «

 6LJQDOWRQRLVHUDWLRDWWKHEHDPIRUPHHIRUVSDFH
 WLPHVWUHDP1FDYHUDJHGRYHUDOOGDWDVXEFDUULHUV
$YHUDJH615RI6SDFH7LPH6WUHDP1F 
 6HH7DEOH $YHUDJH615RI6SDFH7LPH
 6WUHDPLVXEILHOG 

 &RPSUHVVHGEHDPIRUPLQJIHHGEDFN &RPSUHVVHGEHDPIRUPLQJIHHGEDFNPDWUL[GHILQHG
 PDWUL[VIRUVXEFDUULHUk scidx  LQ7DEOH 2UGHURIDQJOHVLQWKH&RPSUHVVHG
Naî bࢥbȥ 
 %HDPIRUPLQJ)HHGEDFN0DWUL[VXEILHOGZKHQXVHG
 LQDQRQ6*EDQG 
 &RPSUHVVHGEHDPIRUPLQJIHHGEDFN &RPSUHVVHGEHDPIRUPLQJIHHGEDFNPDWUL[GHILQHG
 PDWUL[VIRUVXEFDUULHUk scidx  LQ7DEOH 2UGHURIDQJOHVLQWKH&RPSUHVVHG
 Naî bࢥbȥ 
%HDPIRUPLQJ)HHGEDFN0DWUL[VXEILHOGZKHQXVHG
 LQDQRQ6*EDQG 

 &RPSUHVVHGEHDPIRUPLQJIHHGEDFN &RPSUHVVHGEHDPIRUPLQJIHHGEDFNPDWUL[GHILQHG
 PDWUL[VIRUVXEFDUULHUk scidx  LQ7DEOH 2UGHURIDQJOHVLQWKH&RPSUHVVHG
 Naî bࢥbȥ 
%HDPIRUPLQJ)HHGEDFN0DWUL[VXEILHOGZKHQXVHG
 LQDQRQ6*EDQG 

 « «

 &RPSUHVVHGEHDPIRUPLQJIHHGEDFN &RPSUHVVHGEHDPIRUPLQJIHHGEDFNPDWUL[GHILQHG
 PDWUL[VIRUVXEFDUULHUk scidx Ns± LQ7DEOH 2UGHURIDQJOHVLQWKH&RPSUHVVHG
 Naî bࢥbȥ 
%HDPIRUPLQJ)HHGEDFN0DWUL[VXEILHOGZKHQXVHG
 LQDQRQ6*EDQG 



 ,Q 7DEOHE +( &RPSUHVVHG %HDPIRUPLQJ 5HSRUW LQIRUPDWLRQ  Ns LV WKH QXPEHU RI VXEFDUULHUV IRU
 ZKLFKDFRPSUHVVHGEHDPIRUPLQJIHHGEDFNPDWUL[LVVHQWEDFNWRWKHEHDPIRUPHU$EHDPIRUPHURUEHDP

IRUPHH GHSHQGLQJ XSRQ ZKLFK RI WKH WZR GHWHUPLQHV WKH IHHGEDFN SDUDPHWHUV UHGXFHV Ns E\ XVLQJ D

 PHWKRGUHIHUUHGWRDVJURXSLQJLQZKLFKRQO\DVLQJOHFRPSUHVVHGEHDPIRUPLQJIHHGEDFNPDWUL[LVUHSRUWHG
 IRUHDFKJURXSRINgDGMDFHQWVXEFDUULHUVNsLVDIXQFWLRQRIWKH%:586WDUW,QGH[58(QG,QGH[DQG
 *URXSLQJVXEILHOGVLQWKH+(0,02&RQWUROILHOG VHH +(0,02&RQWUROILHOG 


 6XEFDUULHULQGLFHVscidx(0)DQGscidx(Ns ±)DUHLGHQWLILHGE\WKH586WDUW,QGH[DQG58(QG,QGH[VXE

 ILHOGV UHVSHFWLYHO\ WRJHWKHU ZLWK WKH %: DQG *URXSLQJ VXEILHOGV DV GHILQHG LQ 7DEOHF 6XEFDUULHU
 LQGLFHVVFLG[  DQGVFLG[ 1V± IRU1J  DQG7DEOHG 6XEFDUULHULQGLFHVVFLG[  DQGVFLG[ 1V±
  IRU1J  



 7DEOHF²6XEFDUULHULQGLFHVscidx  DQGscidx Ns± IRUNg 


 0+] 0+] 0+] 0+] 0+]
58
 ,QGH[
 6 ( 6 ( 6 ( 6 ( 6 (

  ± ± ± ± ± ± ± ± ± / ± /

  ± ± ± ± ± ± ± ± ± / ± /

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOHF²6XEFDUULHULQGLFHVscidx  DQGscidx Ns± IRUNg (continued)




 0+] 0+] 0+] 0+] 0+]
 58
 ,QGH[
6 ( 6 ( 6 ( 6 ( 6 (

  ± ± ± ± ± ± ± ± ± / ± /

  ± ± ± ± ± ± ± ± ± / ± /

  ±  ± ± ± ± ± ± ± / ± /

    ± ± ± ± ± ± ± / ± /
    ± ± ± ± ± ± ± / ± /

    ± ± ± ± ± ± ± / ± /

    ± ± ± ± ± ± ± / ± /

    ± ± ± ± ± / ± /

    ± ± ± ± ± / ± /
    ± ± ± ± ± / ± /

    ± ± ± ± ± / ± /

    ± ± ± ± ± / ± /

    ± ± ± ± ± / ± /

    ± ± ± ± ± / ± /
    ± ± ± ± ± / ± /

    ± ± ± ± ± / ± /

  ±  ± ± ± /  /

    ± ±  /  /

    ± ±  /  /
    ± ±  /  /

    ± ±  /  /

    ± ±  /  /

    ± ±  /  /

    ± ±  /  /
    ± ±  /  /

    ± ±  /  /

    ± ±  /  /

    ± ±  /  /

    ± ±  /  /
    ± ±  /  /

    ± ±  /  /

    ± ±  /  /


&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOHF²6XEFDUULHULQGLFHVscidx  DQGscidx Ns± IRUNg (continued)




 0+] 0+] 0+] 0+] 0+]
 58
 ,QGH[
6 ( 6 ( 6 ( 6 ( 6 (

    ± ±  /  /

    ± ±  /  /

    ± ±  /  /

    ± + ± +
    ± + ± +

    ± + ± +

    ± + ± +

    ± + ± +

    ± + ± +
    ± + ± +

    ± + ± +

    ± + ± +

    ± + ± +

    ± + ± +
    ± + ± +

    ± + ± +

    ± + ± +

    ± + ± +

    ± + ± +
    ± + ± +

    ± + ± +

    ± +  +

     +  +

     +  +
     +  +

     +  +

     +  +

     +  +

     +  +
     +  +

     +  +

     +  +


 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOHF²6XEFDUULHULQGLFHVscidx  DQGscidx Ns± IRUNg (continued)




 0+] 0+] 0+] 0+] 0+]
 58
 ,QGH[
6 ( 6 ( 6 ( 6 ( 6 (

     +  +

     +  +

     +  +

     +  +
     +  +

     +  +

     +  +

     +  +

 127(²6GHQRWHVVXEFDUULHULQGH[scidx  LGHQWLILHGE\WKH586WDUW,QGH[VXEILHOG(GHQRWHVVXEFDUULHU
 LQGH[scidx Ns± LGHQWLILHGE\WKH58(QG,QGH[VXEILHOG
 127(²x / GHQRWHVVXEFDUULHULQGH[xLQWKHIUHTXHQF\VHJPHQWORZHULQIUHTXHQF\DQGx + GHQRWHVVXE
 FDUULHULQGH[xLQWKHIUHTXHQF\VHJPHQWKLJKHULQIUHTXHQF\



 7DEOHG²6XEFDUULHULQGLFHVscidx  DQGscidx Ns± IRUNg 


 0+] 0+] 0+] 0+] 0+]
58
 ,QGH[
 6 ( 6 ( 6 ( 6 ( 6 (

  ± ± ± ± ± ± ± ± ± / ± /

  ± ± ± ± ± ± ± ± ± / ± /

  ± ± ± ± ± ± ± ± ± / ± /
  ± ± ± ± ± ± ± ± ± / ± /

  ±  ± ± ± ± ± ± ± / ± /

    ± ± ± ± ± ± ± / ± /

    ± ± ± ± ± ± ± / ± /

    ± ± ± ± ± ± ± / ± /
    ± ± ± ± ± ± ± / ± /

    ± ± ± ± ± / ± /

    ± ± ± ± ± / ± /

    ± ± ± ± ± / ± /

    ± ± ± ± ± / ± /
    ± ± ± ± ± / ± /

    ± ± ± ± ± / ± /

    ± ± ± ± ± / ± /


&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOHG²6XEFDUULHULQGLFHVscidx  DQGscidx Ns± IRUNg (continued)




 0+] 0+] 0+] 0+] 0+]
 58
 ,QGH[
6 ( 6 ( 6 ( 6 ( 6 (

    ± ± ± ± ± / ± /

    ± ± ± ± ± / ± /

  ±  ± ± ± /  /

    ± ±  /  /
    ± ±  /  /

    ± ±  /  /

    ± ±  /  /

    ± ±  /  /

    ± ±  /  /
    ± ±  /  /

    ± ±  /  /

    ± ±  /  /

    ± ±  /  /

    ± ±  /  /
    ± ±  /  /

    ± ±  /  /

    ± ±  /  /

    ± ±  /  /

    ± ±  /  /
    ± ±  /  /

    ± ±  /  /

    ± + ± +

    ± + ± +

    ± + ± +
    ± + ± +

    ± + ± +

    ± + ± +

    ± + ± +

    ± + ± +
    ± + ± +

    ± + ± +

    ± + ± +


 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOHG²6XEFDUULHULQGLFHVscidx  DQGscidx Ns± IRUNg (continued)




 0+] 0+] 0+] 0+] 0+]
 58
 ,QGH[
6 ( 6 ( 6 ( 6 ( 6 (

    ± + ± +

    ± + ± +

    ± + ± +

    ± + ± +
    ± + ± +

    ± + ± +

    ± + ± +

    ± +  +

     +  +
     +  +

     +  +

     +  +

     +  +

     +  +
     +  +

     +  +

     +  +

     +  +

     +  +
     +  +

     +  +

     +  +

     +  +

     +  +
     +  +

     +  +

 127(²6GHQRWHVVXEFDUULHULQGH[scidx  LGHQWLILHGE\WKH586WDUW,QGH[VXEILHOG(GHQRWHVVXEFDUULHU
 LQGH[scidx Ns± LGHQWLILHGE\WKH58(QG,QGH[VXEILHOG

 127(²x / GHQRWHVVXEFDUULHULQGH[xLQWKHIUHTXHQF\VHJPHQWORZHULQIUHTXHQF\DQGx + GHQRWHVVXE
 FDUULHULQGH[xLQWKHIUHTXHQF\VHJPHQWKLJKHULQIUHTXHQF\


 6XEFDUULHULQGLFHVscidx i i «Ns±DUHWKHVXEVHWRIWKHVXEFDUULHULQGLFHVLGHQWLILHGE\WKH%:DQG

 *URXSLQJ VXEILHOGV DV GHILQHG LQ 7DEOHH 6XEFDUULHU LQGLFHV IRU FRPSUHVVHG EHDPIRUPLQJ IHHGEDFN

 PDWUL[ VWDUWLQJZLWKscidx  DQGHQGLQJZLWKscidx Ns ± LQWKHRUGHUJLYHQ

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 127(²7KLVLPSOLFLWO\GHILQHVNs

 127(²)RUIXOOEDQGZLGWKIHHGEDFNVXEFDUULHULQGLFHVscidx i i «Ns ±DUHWKHHQWLUHVXSHUVHWVKRZQLQ

 7DEOHH 6XEFDUULHULQGLFHVIRUFRPSUHVVHGEHDPIRUPLQJIHHGEDFNPDWUL[ LQWKHRUGHUJLYHQ




7DEOHH²6XEFDUULHULQGLFHVIRUFRPSUHVVHGEHDPIRUPLQJIHHGEDFNPDWUL[


&KDQQHO:LGWK Ng 6XSHUVHWRIVXEFDUULHULQGLFHV scidx


  ±±±«±±±«
 0+]
  ±±±«±±±«

  ±±«±±«
 0+]
  ±±«±±«


 ±±«±±«

 0+]
  ±±«±±«

 ±±«±±±±«±±

 ««
 0+]
 ±±«±±±±«±±
 
««

 ± / ± / «± / ± /  /  / « /  / 
 
± + ± + «± + ± +  +  + « +  +
 0+]

± / ± / «± / ± /  /  / « /  / 
 
± + ± + «± + ± +  +  + « +  +


127(²x / GHQRWHVVXEFDUULHULQGH[xLQWKHIUHTXHQF\VHJPHQWORZHULQIUHTXHQF\DQGx + GHQRWHVVXEFDUULHU

LQGH[xLQWKHIUHTXHQF\VHJPHQWKLJKHULQIUHTXHQF\

 127(²³«´GHQRWHVDQDULWKPHWLFSURJUHVVLRQLQNgLQFUHPHQWV

 127(²3LORWVXEFDUULHUVDUHQRWVNLSSHG



 7KH$YHUDJH615RI6SDFH7LPH6WUHDPiVXEILHOGLQ7DEOHE +(&RPSUHVVHG%HDPIRUPLQJ5HSRUW
 LQIRUPDWLRQ LVDQELWVFRPSOHPHQWLQWHJHUGHILQHGLQ7DEOH $YHUDJH615RI6SDFH7LPH6WUHDP

 LVXEILHOG 


 7KH AvgSNRi LQ 7DEOH  $YHUDJH 615 RI 6SDFH7LPH 6WUHDP L VXEILHOG  LV IRXQG E\ FRPSXWLQJ WKH


615SHUVXEFDUULHULQGHFLEHOVIRUWKHVXEFDUULHUVLGHQWLILHGLQ7DEOHF 6XEFDUULHULQGLFHVVFLG[  DQG 
 VFLG[ 1V± IRU1J  IRUNg DQG7DEOHG 6XEFDUULHULQGLFHVVFLG[  DQGVFLG[ 1V± IRU1J
  IRUNg DQGWKHQFRPSXWLQJWKHDULWKPHWLFPHDQRIWKRVHYDOXHV(DFK615YDOXHSHUVXEFDUULHU
 LQVWUHDPi EHIRUHEHLQJDYHUDJHG FRUUHVSRQGVWRWKH615DVVRFLDWHGZLWKFROXPQiRIWKHEHDPIRUPLQJ 
 IHHGEDFNPDWUL[VGHWHUPLQHGDWWKHEHDPIRUPHH(DFK615FRUUHVSRQGVWRWKHSUHGLFWHG615DWWKHEHDP


IRUPHHZKHQWKHEHDPIRUPHUDSSOLHVDOOFROXPQVRIWKHPDWUL[V


7KH FRPSXWDWLRQ RI WKH AvgSNRi YDOXHV GRHV QRW LQFOXGH FKDQQHO LQIRUPDWLRQ IURP VXEFDUULHUV WKDW OLH

 ZLWKLQWRQH58VWKDWDUHLQGLFDWHGDVSXQFWXUHGE\WKH'LVDOORZHG6XEFKDQQHO%LWPDSVXEILHOGLISUHV
 HQWRIWKH+(1'3$QQRXQFHPHQWIUDPHWKDWVROLFLWHGWKHIHHGEDFN

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 3DGGLQJLVQRWSUHVHQWEHWZHHQDQJOHVLQWKH+(&RPSUHVVHG%HDPIRUPLQJ5HSRUWLQIRUPDWLRQHYHQLIWKH\ 
 FRUUHVSRQGWRGLIIHUHQWVXEFDUULHUV,IWKHVL]HRIWKH+(&RPSUHVVHG%HDPIRUPLQJ5HSRUWLQIRUPDWLRQLV

QRWDQLQWHJHUPXOWLSOHRIELWVXSWRVHYHQVDUHDSSHQGHGWRWKHHQGRIWKHILHOGWRPDNHLWVVL]HDQLQWH

 JHUPXOWLSOHRIELWV

 +(08([FOXVLYH%HDPIRUPLQJ5HSRUWILHOG


 7KH+(08([FOXVLYH%HDPIRUPLQJ5HSRUWILHOGFDUULHVH[SOLFLWIHHGEDFNLQWKHIRUPRIGHOWD615V7KH
 LQIRUPDWLRQ LQ WKH +( &RPSUHVVHG %HDPIRUPLQJ 5HSRUW ILHOG DQG WKH +( 08 ([FOXVLYH %HDPIRUPLQJ

 5HSRUWILHOGFDQEHXVHGE\WKHWUDQVPLW08EHDPIRUPHUWRGHWHUPLQHWKHVWHHULQJPDWULFHVQDVGHVFULEHG

LQ '/080,02 


 7KHVL]HRIWKH+(08([FOXVLYH%HDPIRUPLQJ5HSRUWILHOGGHSHQGVRQWKHYDOXHVLQWKH+(0,02&RQ
 WURO ILHOG 7KH +( 08 ([FOXVLYH %HDPIRUPLQJ 5HSRUW ILHOG FRQWDLQV +( 08 ([FOXVLYH %HDPIRUPLQJ 

5HSRUWLQIRUPDWLRQRUVXFFHVVLYH SRVVLEO\]HUROHQJWK SRUWLRQVWKHUHRILQWKHFDVHRIVHJPHQWHG+(FRP

 SUHVVHGEHDPIRUPLQJ&4,UHSRUW VHH 5XOHVIRUJHQHUDWLQJVHJPHQWHGIHHGEDFN +(08([FOX
 VLYH %HDPIRUPLQJ 5HSRUW LQIRUPDWLRQ LV LQFOXGHG LQ WKH +( FRPSUHVVHG EHDPIRUPLQJ&4, UHSRUW LQ
 DGGLWLRQ WR +( &RPSUHVVHG %HDPIRUPLQJ 5HSRUW LQIRUPDWLRQ  LI WKH )HHGEDFN 7\SH VXEILHOG LQ WKH +(

 0,02&RQWUROILHOGLQGLFDWHV08,IWKH+(0,02&RQWUROILHOGFRQWDLQVD'LVDOORZHG6XEFKDQQHO%LW

PDSVXEILHOGWKHQWKH+(08([FOXVLYH%HDPIRUPLQJ5HSRUWILHOGGRHVQRWLQFOXGHLQIRUPDWLRQIRUWRQHV

 WKDWDUHLQFOXGHGZLWKLQWRQH58VWKDWDUHLQGLFDWHGDVGLVDOORZHGE\WKHELWPDS

 7KH+(08([FOXVLYH%HDPIRUPLQJ5HSRUWLQIRUPDWLRQFRQVLVWVRI'HOWD615VXEILHOGVIRUHDFKRIWKH

VSDFHWLPHVWUHDPVWRNcRIDVXEVHWRIVXEFDUULHUVW\SLFDOO\VSDFHGNgDSDUWZKHUHNgLVVLJQDOHGLQWKH

 *URXSLQJVXEILHOGRIWKH+(0,02&RQWUROILHOG7KHVXEVHWRIVXEFDUULHUVVWDUWVIURPWKHORZHVWIUHTXHQF\ 
 VXEFDUULHUDQGFRQWLQXHVWRWKHKLJKHVWIUHTXHQF\VXEFDUULHU7KHVXEFDUULHULQGLFHVRIWKHIHHGEDFNIRUHDFK
 'HOWD615VXEILHOGDUHLGHQWLFDOWRWKHVXEFDUULHULQGLFHVIRUWKHFRPSUHVVHGEHDPIRUPLQJIHHGEDFNPDWUL[ 
 V


 1RSDGGLQJLVSUHVHQWEHWZHHQ¨SNRk,iLQWKH+(08([FOXVLYH%HDPIRUPLQJ5HSRUWILHOGHYHQLIWKH\ 
 FRUUHVSRQGWRGLIIHUHQWVXEFDUULHUV7KHVXEVHWRIVXEFDUULHUVLQFOXGHGLVGHWHUPLQHGE\WKHYDOXHVRIWKH58 
 6WDUW ,QGH[ 58 (QG ,QGH[ DQG *URXSLQJ VXEILHOGV RI WKH +( 0,02 &RQWURO ILHOG )RU HDFK VXEFDUULHU

LQFOXGHGWKHGHYLDWLRQLQG%RIWKH615RIWKDWVXEFDUULHUIRUHDFKFROXPQRIVUHODWLYHWRWKHDYHUDJH615 

 RI WKH FRUUHVSRQGLQJ VSDFHWLPH VWUHDP LV FRPSXWHG XVLQJ (TXDWLRQ   H[FHSW WKDW k LV WKH VXEFDUULHU
 LQGH[LQWKHUDQJHscidx  «scidx Ns± DQGSNRiLVWKHDYHUDJH615RIVSDFHWLPHVWUHDPiUHSRUWHGLQ 
 WKH$YHUDJH615RI6SDFH7LPH6WUHDPiILHOGRIWKH+(&RPSUHVVHG%HDPIRUPLQJ5HSRUW,QIRUPDWLRQ
 ILHOG,Q(TXDWLRQ  WKHDYHUDJH615YDOXHLVFRPSXWHGRQO\IRUVXEFDUULHUVWKDWDUHQRWLQGLFDWHGDVGLV

DOORZHGE\D'LVDOORZHG6XEFKDQQHO%LWPDSVXEILHOGZKHQLWLVSUHVHQW


 7KH+(08([FOXVLYH%HDPIRUPLQJ5HSRUWLQIRUPDWLRQKDVWKHVWUXFWXUHDQGRUGHUGHILQHGLQ7DEOHI
 +(08([FOXVLYH%HDPIRUPLQJ5HSRUWLQIRUPDWLRQ 



 7DEOHI²+(08([FOXVLYH%HDPIRUPLQJ5HSRUWLQIRUPDWLRQ


 )LHOG 6L]H ELWV 0HDQLQJ

 'HOWD615IRUVSDFHWLPHVWUHDPIRU 'SNRscidx  DVGHILQHGLQ(TXDWLRQ  DVPRGL

 VXEFDUULHUk scidx  ILHGDERYH

 « «

 'HOWD615IRUVSDFHWLPHVWUHDPNcIRU 'SNRscidx  NcDVGHILQHGLQ(TXDWLRQ  DV

 VXEFDUULHUk scidx  PRGLILHGDERYH

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOHI²+(08([FOXVLYH%HDPIRUPLQJ5HSRUWLQIRUPDWLRQ


 'HOWD615IRUVSDFHWLPHVWUHDPIRU 'SNRscidx  DVGHILQHGLQ(TXDWLRQ  DVPRGL

 VXEFDUULHUk scidx  ILHGDERYH

 « «

 'HOWD615IRUVSDFHWLPHVWUHDPNcIRU 'SNRscidx  NcDVGHILQHGLQ(TXDWLRQ  DV

 VXEFDUULHUk scidx  PRGLILHGDERYH

 « «

 'HOWD615IRUVSDFHWLPHVWUHDPIRU 'SNRscidx Ns DVGHILQHGLQ(TXDWLRQ  DV

 VXEFDUULHUk scidx Ns± PRGLILHGDERYH

 « «

 'HOWD615IRUVSDFHWLPHVWUHDPNcIRU 'SNRscidx Ns NcDVGHILQHGLQ(TXDWLRQ  DV

 VXEFDUULHUk scidx Ns± PRGLILHGDERYH



,Q7DEOHI +(08([FOXVLYH%HDPIRUPLQJ5HSRUWLQIRUPDWLRQ Ns DQG scidx()DUHGHILQHGLQ


 +(&RPSUHVVHG%HDPIRUPLQJ5HSRUWILHOG 



+(&4,5HSRUWILHOG

 7KH+(&4,5HSRUWILHOGFDUULHVWKHSHU58DYHUDJH615VRIHDFKVSDFHWLPHVWUHDPZKHUHHDFKSHU58


 DYHUDJH615LVWKHDULWKPHWLFPHDQRIWKH615LQGHFLEHOVRYHUDWRQH58IRUZKLFKWKHIHHGEDFNLV
 EHLQJUHTXHVWHG7KH+(&4,5HSRUWILHOGFRQWDLQVLQIRUPDWLRQDERXWWKHTXDOLW\RIWKHOLQN


 7KHVL]HRIWKH+(&4,5HSRUWILHOGGHSHQGVRQWKHYDOXHVLQWKH+(0,02&RQWUROILHOG7KH+(&4,
 5HSRUWILHOGFRQWDLQV+(&4,5HSRUWLQIRUPDWLRQ+(&4,5HSRUWLQIRUPDWLRQLVLQFOXGHGLQWKH+(FRP
 SUHVVHG EHDPIRUPLQJ&4, UHSRUW LI WKH )HHGEDFN7\SH VXEILHOG LQ WKH+( 0,02&RQWUROILHOGLQGLFDWHV
 &4,IHHGEDFN,IWKH+(0,02&RQWUROILHOGFRQWDLQVD'LVDOORZHG6XEFKDQQHO%LWPDSVXEILHOGWKHQWKH
 +(&4,5HSRUWILHOGGRHVQRWLQFOXGHLQIRUPDWLRQIRUWRQHVWKDWDUHLQFOXGHGZLWKLQWRQH58VWKDWDUH

 LQGLFDWHGDVGLVDOORZHGE\WKHELWPDS


7KH+(&4,5HSRUWILHOGKDVWKHVWUXFWXUHDQGRUGHUGHILQHGLQ7DEOHJ +(&4,5HSRUWLQIRUPDWLRQ 



 7DEOHJ²+(&4,5HSRUWLQIRUPDWLRQ


 6L]H
)LHOG 0HDQLQJ
 ELWV

 $YHUDJH615IRUVSDFHWLPHVWUHDPIRU58 615DWWKHEHDPIRUPHHIRUVSDFHWLPHVWUHDP
 LQGH[k ruidx  DYHUDJHGRYHUWRQH586HH7DEOHK $YHU

 DJH615RI58LQGH[NIRUVSDFHWLPHVWUHDPL
 VXEILHOG 

 « «

 $YHUDJH615IRUVSDFHWLPHVWUHDPNcIRU 615DWWKHEHDPIRUPHHIRUVSDFHWLPHVWUHDPNc
 58LQGH[k ruidx  DYHUDJHGRYHUWRQH586HH7DEOHK $YHU
 
DJH615RI58LQGH[NIRUVSDFHWLPHVWUHDPL
 VXEILHOG 


 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOHJ²+(&4,5HSRUWLQIRUPDWLRQ(continued)


 $YHUDJH615IRUVSDFHWLPHVWUHDPIRU58 615DWWKHEHDPIRUPHHIRUVSDFHWLPHVWUHDP
 LQGH[k ruidx  DYHUDJHGRYHUWRQH586HH7DEOHK $YHU

 DJH615RI58LQGH[NIRUVSDFHWLPHVWUHDPL
 VXEILHOG 

 « «

 $YHUDJH615IRUVSDFHWLPHVWUHDPNcIRU 615DWWKHEHDPIRUPHHIRUVSDFHWLPHVWUHDPNc
 58LQGH[k ruidx  DYHUDJHGRYHUWRQH586HH7DEOHK $YHU
 
DJH615RI58LQGH[NIRUVSDFHWLPHVWUHDPL
 VXEILHOG 

 «
 «

 $YHUDJH615IRUVSDFHWLPHVWUHDPIRU58 615DWWKHEHDPIRUPHHIRUVSDFHWLPHVWUHDP
 LQGH[k ruidx Ncqi± DYHUDJHGRYHUWRQH586HH7DEOHK $YHU

 DJH615RI58LQGH[NIRUVSDFHWLPHVWUHDPL
 VXEILHOG 

 « «

 $YHUDJH615IRUVSDFHWLPHVWUHDPNcIRU 615DWWKHEHDPIRUPHHIRUVSDFHWLPHVWUHDPNc
 58LQGH[k ruidx Ncqi± DYHUDJHGRYHUWRQH586HH7DEOHK $YHU
 
DJH615RI58LQGH[NIRUVSDFHWLPHVWUHDPL
 VXEILHOG 



 Ncqi LV WKH QXPEHU RI 58 LQGLFHV IRU ZKLFK WKH &4, UHSRUW LV VHQW EDFN WR WKH EHDPIRUPHU
 Ncqi  ruidx Ncqi± ±ruidx  ±'LVDOORZHG  RI 58 ZKHUH ruidx   DQG ruidx Ncqi±  DUH

HTXDOWRWKH586WDUW,QGH[DQG58(QG,QGH[VXEILHOGVUHVSHFWLYHO\7KH58LQGH[ruidx i  ruidx i± 

   ZKHUH ”i”Ncqi± 7KH WRQH 58 VXEFDUULHU LQGLFHV IRU 0+] 0+] DQG 0+] DUH
 GHILQHG LQ 7DEOH 'DWD DQG SLORW VXEFDUULHU LQGLFHV IRU 58V LQ D  0+] +( 33'8 DQG LQ D QRQ
 2)'0$0+]+(33'8 7DEOH 'DWDDQGSLORWVXEFDUULHULQGLFHVIRU58VLQD0+]+(33'8 
 DQGLQDQRQ2)'0$0+]+(33'8 DQG7DEOH 'DWDDQGSLORWVXEFDUULHULQGLFHVIRU58VLQDQ 

0+]+(33'8DQGLQDQRQ2)'0$0+]+(33'8 UHVSHFWLYHO\


 7KH$YHUDJH615RIVSDFHWLPHVWUHDPiIRUWKH58LQGH[kVXEILHOGLQWKH7DEOHJ +(&4,5HSRUW
 LQIRUPDWLRQ LVDELWVFRPSOHPHQWLQWHJHUZKRVHGHILQLWLRQLVVKRZQLQ7DEOHK $YHUDJH615RI
 58LQGH[NIRUVSDFHWLPHVWUHDPLVXEILHOG 



 7DEOHK²$YHUDJH615RI58LQGH[kIRUVSDFHWLPHVWUHDPiVXEILHOG


 $YHUDJH615RI58LQGH[k
AvgSNRk,i G%
 IRUVSDFHWLPHVWUHDPi

 ± ”±

 ± ±

 ± ±






&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOHK²$YHUDJH615RI58LQGH[kIRUVSDFHWLPHVWUHDPiVXEILHOG(continued)


 « «

  

  •



 7KHAvgSNRk,iLQ7DEOHK $YHUDJH615RI58LQGH[NIRUVSDFHWLPHVWUHDPLVXEILHOG LVIRXQGE\ 

FRPSXWLQJWKHDULWKPHWLFPHDQRIWKH615SHUVXEFDUULHULQGHFLEHOVIRUVSDFHWLPHVWUHDPiRYHUWKHVXE

 FDUULHUV LQ 58 LQGH[ k IRU ZKLFK WKH IHHGEDFN LV EHLQJ UHTXHVWHG 7KH 615 SHU VXEFDUULHU FDOFXODWLRQ LV
 GHILQHGLQ +(&RPSUHVVHG%HDPIRUPLQJ5HSRUWILHOG 

 3DGGLQJLVQRWSUHVHQWEHWZHHQSHU58DYHUDJH615VRIHDFKVSDFHWLPHVWUHDPLQIRUPDWLRQHYHQLIWKH\ 

FRUUHVSRQGWRGLIIHUHQW58VDQGVSDFHWLPHVWUHDPV,IWKHVL]HRIWKH+(&4,5HSRUWLQIRUPDWLRQLVQRWDQ 

 LQWHJHUPXOWLSOHRIELWVXSWRVHYHQVDUHDSSHQGHGWRWKHHQGRIWKHILHOGWRPDNHLWVVL]HDQLQWHJHUPXO
 WLSOHRIELWV

 (OHPHQWV


 *HQHUDO

 Insert the following rows into Table 9-94 (Element IDs) and update Reserved rows as appropriate:



7DEOH²(OHPHQW,'V


 (OHPHQW,'
 (OHPHQW (OHPHQW,' ([WHQVLEOH )UDJPHQWDEOH
([WHQVLRQ


 +(&DSDELOLWLHV VHH +(   <HV 1R
 &DSDELOLWLHVHOHPHQW

 +(2SHUDWLRQ VHH +(   <HV 1R
 2SHUDWLRQHOHPHQW

 825$3DUDPHWHU6HWHOHPHQW VHH   <HV 1R
  825$3DUDPHWHU6HWHOH
 PHQW

 08('&$3DUDPHWHU6HW VHH   <HV 1R
  08('&$3DUDPHWHU6HW
 HOHPHQW

 6SDWLDO5HXVH3DUDPHWHU6HWHOHPHQW   <HV 1R
 VHH 6SDWLDO5HXVH3DUDP
 HWHU6HWHOHPHQW


 1'3)HHGEDFN5HSRUW3DUDPHWHU   <HV 1R
 6HWHOHPHQW VHH 1'3
 )HHGEDFN5HSRUW3DUDPHWHU6HWHOH
 PHQW





 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²(OHPHQW,'V(continued)


 %66&RORU&KDQJH$QQRXQFHPHQW   <HV 1R
 VHH %66&RORU&KDQJH
 $QQRXQFHPHQWHOHPHQW

 4XLHW7LPH3HULRG6HWXS VHH   <HV 1R
  4XLHW7LPH3HULRGHOH
 PHQW

 (665HSRUW VHH (66   <HV 1R
 5HSRUWHOHPHQW


 236 VHH 236HOHPHQW   <HV 1R

 +(%66/RDG VHH +(   <HV 1R
 %66/RDGHOHPHQW

 0XOWLSOH%66,'&RQILJXUDWLRQ VHH   <HV 1R
  0XOWLSOH%66,'&RQILJX
 UDWLRQHOHPHQW

 .QRZQ%66,' VHH   1R 1R
 .QRZQ%66,'HOHPHQW

 6KRUW66,'/LVW VHH   1R 1R
 6KRUW66,'/LVWHOHPHQW


 +(*+]%DQG&DSDELOLWLHV VHH   <HV 1R
  +(*+]%DQG&DSDELO
 LWLHVHOHPHQW

 8/083RZHU&DSDELOLWLHV VHH   <HV 1R
  8/083RZHU&DSDELOL
 WLHVHOHPHQW




























&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 6XSSRUWHG5DWHVDQG%660HPEHUVKLS6HOHFWRUVHOHPHQW


 Change Table 9-95 (BSS membership selector value encoding) as follows (only modified rows shown):


 7DEOH²%66PHPEHUVKLSVHOHFWRUYDOXHHQFRGLQJ


 9DOXH )HDWXUH ,QWHUSUHWDWLRQ

  9+73+< 6XSSRUWIRUWKHPDQGDWRU\IHDWXUHVRI&ODXVH 9HU\KLJK
 WKURXJKSXW 9+7 3+<VSHFLILFDWLRQ LVUHTXLUHGLQRUGHUWRMRLQ
 WKH%66WKDWZDVWKHVRXUFHRIWKH6XSSRUWHG5DWHVDQG%660HP
 EHUVKLS6HOHFWRUVHOHPHQWRU([WHQGHG6XSSRUWHG5DWHVDQG%66
 0HPEHUVKLS6HOHFWRUVHOHPHQWFRQWDLQLQJWKLVYDOXHXQOHVVWKH
 67$LVD0+]RQO\QRQ$3+(67$DQGWKH%66LVDQ+(
 %66

  +(3+< 6XSSRUWIRUWKHPDQGDWRU\IHDWXUHVRI&ODXVH +LJK(IILFLHQF\
 +( 3+<VSHFLILFDWLRQ LVUHTXLUHGLQRUGHUWRMRLQWKH%66WKDW
 ZDVWKHVRXUFHRIWKH6XSSRUWHG5DWHVDQG%660HPEHUVKLS6HOHF
 WRUVHOHPHQWRU([WHQGHG6XSSRUWHG5DWHVDQG%660HPEHUVKLS
 6HOHFWRUVHOHPHQWFRQWDLQLQJWKLVYDOXH




 7,0HOHPHQW

 *HQHUDO


 Insert the following at the end of the subclause:

 ,ILQFOXGHGLQDQ236IUDPHRUD),/6'LVFRYHU\IUDPHE\DQ236$3IRUDSHULRGLFRSSRUWXQLVWLFSRZHU


VDYH VHH 2SSRUWXQLVWLFSRZHUVDYH WKHIROORZLQJDSSO\
 ² 7KH'7,0&RXQWILHOGLVUHVHUYHG

 ² 7KH'7,03HULRGILHOGLVUHVHUYHG


² %LWNLQWKHWUDIILFLQGLFDWLRQYLUWXDOELWPDSWKDWFRUUHVSRQGVWRDQ236QRQ$367$ZLWK$,'NLV
 GHWHUPLQHGDVIROORZV
 ‡ %LWNLQWKHWUDIILFLQGLFDWLRQYLUWXDOELWPDSLVVHWWRLIWKH236$3GRHVQRWLQWHQGWRWUDQVPLW

 WRWKH236QRQ$367$LQFOXGLQJWRWULJJHUWKH236QRQ$367$IRUDQ8/08WUDQVPLVVLRQ
 GXULQJWKH236SHULRG
 ‡ 2WKHUZLVHELWNLQWKHWUDIILFLQGLFDWLRQYLUWXDOELWPDSIRUWKH236QRQ$367$LVVHWWR

 ² %LWNLQWKHWUDIILFLQGLFDWLRQYLUWXDOELWPDSWKDWFRUUHVSRQGVWRDQQRQ236QRQ$367$ZLWK$,'

 NLVGHWHUPLQHGDVIROORZV

 ‡ %LWNLQWKHWUDIILFLQGLFDWLRQYLUWXDOELWPDSLVVHWWRWRLQGLFDWHWKDW$3KDVEXIIHUHGIUDPHVIRU
 WKH67$DQGVHWWRRWKHUZLVH


,ILQFOXGHGLQD7,0IUDPHRUD),/6'LVFRYHU\IUDPHE\DQ236$3IRUSHULRGLFRSSRUWXQLVWLFSRZHUVDYH

 VHH 2SSRUWXQLVWLFSRZHUVDYH WKHIROORZLQJDSSO\
 ² 7KH'7,0&RXQWILHOGLVUHVHUYHG

 ² 7KH'7,03HULRGILHOGLVUHVHUYHG

 ² %LWNLQWKHWUDIILFLQGLFDWLRQYLUWXDOELWPDSWKDWFRUUHVSRQGVWRDQ236QRQ$367$ZLWK$,'NLV
 GHWHUPLQHGDVIROORZV

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ‡ %LWNLQWKHWUDIILFLQGLFDWLRQYLUWXDOELWPDSLVVHWWRLIWKH236$3GRHVQRWLQWHQGWRWUDQVPLW
 WRWKH236QRQ$367$LQFOXGLQJWRWULJJHUWKH236QRQ$367$IRUDQ8/08WUDQVPLVVLRQ

GXULQJWKH7:763DQGEHIRUHWKHQH[W7:763

 ‡ 2WKHUZLVHELWNLQWKHWUDIILFLQGLFDWLRQYLUWXDOELWPDSIRUWKH236QRQ$367$LVVHWWR
 ² %LWNLQWKHWUDIILFLQGLFDWLRQYLUWXDOELWPDSWKDWFRUUHVSRQGVWRDQQRQ236QRQ$367$ZLWK$,'

 NLVGHWHUPLQHGDVIROORZV

 ‡ %LWNLQWKHWUDIILFLQGLFDWLRQYLUWXDOELWPDSLVVHWWRWRLQGLFDWHWKDW$3KDVEXIIHUHGIUDPHVIRU
 WKH67$DQGVHWWRRWKHUZLVH


 ([WHQGHG&DSDELOLWLHVHOHPHQW

 Change the following rows in Table 9-153 (Extended Capabilities element) maintaining row order:



7DEOH²([WHQGHG&DSDELOLWLHVHOHPHQW


 %LW ,QIRUPDWLRQ 1RWHV


  7:75HTXHVWHU $67$VHWVWKH7:75HTXHVWHU6XSSRUWILHOGWRLIGRW7:72S
 6XSSRUW WLRQ$FWLYDWHGLVWUXHDQG7:7UHTXHVWHUIXQFWLRQDOLW\LVVXSSRUWHG
 2WKHUZLVHWKH67$VHWVWKH7:75HTXHVWHU6XSSRUWILHOGWR6HH
  7DUJHWZDNHWLPH 7:7 

  7:75HVSRQGHU $67$VHWVWKH7:75HVSRQGHU6XSSRUWILHOGWRLIGRW7:72S
 6XSSRUW WLRQ$FWLYDWHGLVWUXHDQG7:7UHVSRQGHUIXQFWLRQDOLW\LVVXSSRUWHG
 2WKHUZLVHWKH67$VHWVWKH7:75HVSRQGHU6XSSRUWILHOGWR6HH
  7DUJHWZDNHWLPH 7:7 

  2%661DUURZ $Q$367$VHWVWKH2%661DUURZ%DQGZLGWK58,Q2)'0$7ROHU
 %DQGZLGWK58 DQFH6XSSRUWILHOGWRLIGRW2%661DUURZ%:58LQ2)'0$7ROHU
 ,Q2)'0$7RO DWHGLVWUXHDQGVHWVLWWRRWKHUZLVH
 HUDQFH6XSSRUW
 $QRQ$367$VHWVWKH2%661DUURZ%DQGZLGWK58,Q2)'0$
 7ROHUDQFH6XSSRUWILHOGWR

  &RPSOHWH/LVWRI 7KLVILHOGLVUHVHUYHGIRUDQRQ$367$RUZKHQWKH$3KDVGRW
 1RQ7[%66,' 0XOWL%66,',PSOHPHQWHGVHWWRIDOVH
 3URILOHV
 :KHQVHWWR6HWWRWRLQGLFDWHVWKDWWKHIUDPHFDUU\LQJWKLVHOHPHQW
 LQFOXGHVDFRPSOHWHOLVWRIQRQWUDQVPLWWHG%66,'SURILOHV:KHQVHWWR
 6HWWRE\DQRQ+($3LIWKHUHLVQRLQGLFDWLRQDERXWWKHFRP
 SOHWHQHVVRIWKHOLVWRIQRQWUDQVPLWWHG%66,'SURILOHVLQWKHIUDPH6HW
 WRE\DQ+($3WRLQGLFDWHWKDWWKHIUDPHFDUU\LQJWKLVHOHPHQWGRHV
 QRWLQFOXGHDFRPSOHWHOLVWRIQRQWUDQVPLWWHG%66,'SURILOHV

 $OVRVHH 0XOWLSOH%66,'SURFHGXUH 

  (QKDQFHG0XOWL 7KLVILHOGLVUHVHUYHGIRUDQRQ$367$RUZKHQWKH$3KDVGRW0XO
 %66,'$GYHU WL%66,',PSOHPHQWHGVHWWRIDOVH
 WLVHPHQW6XSSRUW
 6HWWRWRLQGLFDWHWKDWWKH$3VXSSRUWVHQKDQFHPHQWVUHODWHGWRGLV
 FRYHU\DQGDGYHUWLVHPHQWRIQRQWUDQVPLWWHG%66,'V6HWWRRWKHU
 ZLVH

 $OVRVHH 0XOWLSOH%66,'SURFHGXUH 

  2&7 7KHQRQ$367$VHWVWKH2&7ILHOGWRZKHQGRW2&72SWLRQ,P
 SOHPHQWHGLVWUXHDQGVHWVLWWRRWKHUZLVH

 7KLVILHOGLVUHVHUYHGIRUDQ$3

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 763(&HOHPHQW


 Change the 1st paragraph as follows:

 7KH763(&HOHPHQWFRQWDLQVWKHVHWRISDUDPHWHUVWKDWGHILQHWKHFKDUDFWHULVWLFVDQG4R6H[SHFWDWLRQVRID
 WUDIILFIORZLQWKHFRQWH[WRIDSDUWLFXODU67$IRUXVHE\WKH+&RU3&3DQG67$ V RUDPHVK67$DQGLWV


SHHUPHVK67$VLQVXSSRUWRI4R6WUDIILFWUDQVIHUXVLQJWKHSURFHGXUHVGHILQHGLQ 76RSHUDWLRQ DQG 
  *&5SURFHGXUHV RUIRUXVHE\+(67$VLQVXSSRUWRI+($3V
VFKHGXOLQJIRUFRQWHQWLRQEDVHG
 FKDQQHODFFHVV ('&$ RU08RSHUDWLRQV VHH 08RSHUDWLRQ 7KHHOHPHQWLQIRUPDWLRQIRUPDWFRP
 SULVHVWKHLWHPVDVGHILQHGLQWKLVVXEFODXVHDQGWKHVWUXFWXUHLVGHILQHGLQ)LJXUH 763(&HOHPHQW
 IRUPDW 


 Change the 4th paragraph and associated tables as follows:

 7KHVXEILHOGVRIWKH76,QIRILHOGDUHGHILQHGDVIROORZV

 ² 7KH7UDIILF7\SHVXEILHOGLVVHWWRIRUDSHULRGLFWUDIILFSDWWHUQ HJLVRFKURQRXV76RI06'8VRU
 $06'8V ZLWK FRQVWDQW RU YDULDEOH VL]HV WKDW DUH RULJLQDWHG DW IL[HG UDWH  RU VHW WR  IRU DQ

 DSHULRGLFRUXQVSHFLILHGWUDIILFSDWWHUQ HJDV\QFKURQRXV76RIORZGXW\F\FOHV 

 ² 7KH76,'VXEILHOGFRQWDLQVDYDOXHWKDWLVD76,'1RWHWKDWWKH06% ELWLQ76,QIRILHOG RIWKH
 76,'VXEILHOGLVDOZD\VVHWWRZKHQWKH763(&HOHPHQWLVLQFOXGHGZLWKLQDQ$''765HVSRQVH
 IUDPH)RU+(67$VWKH76,'VXEILHOGFRQWDLQVWKH7,'DVVRFLDWHGZLWKWKLV763(&

 ² 7KH'LUHFWLRQVXEILHOGVSHFLILHVWKHGLUHFWLRQRIGDWDFDUULHGE\WKH76DVGHILQHGLQ7DEOH

 'LUHFWLRQVXEILHOGHQFRGLQJ 


7DEOH²'LUHFWLRQVXEILHOGHQFRGLQJ


 %LW %LW 8VDJH

 8SOLQNGHILQHGDVIROORZV
 ² 1RQ'0* %66 06'8V RU $06'8V DUH VHQW IURP WKH QRQ$3 QRQ+(

 67$WR+&RUIURPWKHQRQ$3+(67$WRWKH+($3
 

 ² '0* %66 06'8V RU $06'8V DUH VHQW E\ WKH RULJLQDWRU RI WKH
 $''765HTXHVWIUDPH

'RZQOLQNGHILQHGDVIROORZV

 ² 1RQ'0*%6606'8VRU$06'8VDUHVHQWIURPWKH+&WRWKHQRQ$3 
   QRQ+(67$RUIURPWKH+($3WRWKHQRQ$3+(67$
 ² '0* %66 06'8V RU $06'8V DUH VHQW E\ WKH UHFLSLHQW RI WKH $''76

 5HTXHVWIUDPH

 'LUHFWOLQN 06'8VRU$06'8VDUHVHQWIURPWKHQRQ$367$WRDQRWKHUQRQ$3
 
 67$

  %LGLUHFWLRQDOOLQN HTXLYDOHQWWRDGRZQOLQNUHTXHVWSOXVDQXSOLQNUHTXHVWHDFK

GLUHFWLRQKDYLQJWKHVDPHSDUDPHWHUV 

7KHILHOGVLQWKH763(&HOHPHQWVSHFLI\UHVRXUFHVIRUDVLQJOHGLUHFWLRQ'RXEOHWKH

VSHFLILHGUHVRXUFHVDUHUHTXLUHGWRVXSSRUWERWKVWUHDPV


 ² 7KH $FFHVV 3ROLF\ VXEILHOG VSHFLILHV WKH DFFHVV PHWKRG WR EH XVHG IRU WKH 76 DQG LV GHILQHG LQ

 7DEOH $FFHVV3ROLF\VXEILHOG 

 ² 7KH $JJUHJDWLRQ VXEILHOG LV YDOLG RQO\ ZKHQ WKH DFFHVV PHWKRG LV +&&$ RU 63&$ RU ZKHQ WKH
 DFFHVVPHWKRGLV('&$DQGWKH6FKHGXOHVXEILHOGLVHTXDOWR,WLVVHWWRE\DQRQ$367$WR 

LQGLFDWHWKDWDQDJJUHJDWHVFKHGXOHLVUHTXLUHG,WLVVHWWRE\WKH$3LIDQDJJUHJDWHVFKHGXOHLV

 EHLQJSURYLGHGWRWKH67$,WLVVHWWRRWKHUZLVH,QDOORWKHUFDVHVWKH$JJUHJDWLRQVXEILHOGLV
 UHVHUYHG

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²$FFHVV3ROLF\VXEILHOG


 %LW %LW 8VDJH

   5HVHUYHG

   )RUQRQ+(67$V&RQWHQWLRQEDVHGFKDQQHODFFHVV ('&$
 )RU+(67$V&RQWHQWLRQEDVHGFKDQQHODFFHVV ('&$ RU08EDVHGDFFHVV VHH
 08RSHUDWLRQ

   &RQWUROOHGFKDQQHODFFHVV +&&$IRUQRQ'0*67$VDQG63&$IRU'0*67$V
   &RQWUROOHGDQGFRQWHQWLRQEDVHGFKDQQHODFFHVV +&&$('&$PL[HGPRGH +(00 
 IRUQRQ'0*67$V63&$('&$PL[HGPRGH 6(00 IRU'0*67$V


 ² 7KH $36' VXEILHOG LV VHW WR  WR LQGLFDWH WKDW DXWRPDWLF 36 GHOLYHU\ LV WR EH XVHG IRU WKH WUDIILF
 DVVRFLDWHGZLWKWKH763(&DQGVHWWRRWKHUZLVH

 ² 7KH 83 VXEILHOG LQGLFDWHV WKH DFWXDO YDOXH RI WKH 83 WR EH XVHG IRU WKH WUDQVSRUW RI 06'8V RU
 $06'8V EHORQJLQJ WR WKLV 76 ZKHQ LI UHODWLYH SULRULWL]DWLRQ LV UHTXLUHG :KHQ WKH 7&/$6 

 HOHPHQWLVSUHVHQWLQWKHUHTXHVWWKH83VXEILHOGLQ76,QIRILHOGRIWKH763(&HOHPHQWLVUHVHUYHG

 ² 7KH 76 ,QIR $FN 3ROLF\ VXEILHOG LQGLFDWHV ZKHWKHU 0$& DFNQRZOHGJPHQWV DUH UHTXLUHG IRU
 03'8V RU $06'8V EHORQJLQJ WR WKLV 76,' DQG WKH IRUP RI WKRVH DFNQRZOHGJPHQWV 7KH
 HQFRGLQJRIWKH76,QIR$FN3ROLF\VXEILHOGLVVKRZQLQ7DEOH 76,QIR$FN3ROLF\VXEILHOG
 HQFRGLQJ 

 7DEOH²76,QIR$FN3ROLF\VXEILHOGHQFRGLQJ


 %LW %LW 8VDJH

   1RUPDO$FNQRZOHGJPHQW$FN
 7KHDGGUHVVHGUHFLSLHQWUHWXUQVDQ$FNRU4R6&)$FNIUDPHDIWHUD6,)6DFFRUGLQJ
 WRWKHSURFHGXUHVGHILQHGLQ $FNQRZOHGJPHQWSURFHGXUH DQG
 +&&$WUDQVIHUUXOHV 

   1R$FN7KHUHFLSLHQW V GRQRWDFNQRZOHGJHWKHWUDQVPLVVLRQ

   5HVHUYHG

   %ORFN$FN$VHSDUDWHEORFNDFNPHFKDQLVPGHVFULEHGLQ %ORFN
 DFNQRZOHGJPHQW EORFNDFN LVXVHG


 ² 7KH6FKHGXOHVXEILHOGVSHFLILHVWKHUHTXHVWHGW\SHRIVFKHGXOH7KHVHWWLQJRIWKHVXEILHOGZKHQWKH
 DFFHVVSROLF\LV('&$LVVKRZQLQ7DEOH 6HWWLQJRI6FKHGXOHVXEILHOG :KHQWKH$FFHVV
 3ROLF\VXEILHOGLVHTXDOWRDQ\YDOXHRWKHUWKDQ('&$WKH6FKHGXOHVXEILHOGLVUHVHUYHG:KHQWKH

 6FKHGXOHDQG$36'VXEILHOGVDUHHTXDOWRWKH$3VHWVWKH$JJUHJDWLRQVXEILHOGWRLQGLFDWLQJ
 WKDWDQDJJUHJDWHVFKHGXOHLVEHLQJSURYLGHGWRWKH67$

 7DEOH²6HWWLQJRI6FKHGXOHVXEILHOG


 $36' 6FKHGXOH 8VDJH

   1R6FKHGXOH
   8QVFKHGXOHG$36'

   6FKHGXOHG3603RU*&563

   6FKHGXOHG$36'

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 Change the 10th and 11th paragraphs as follows:




 7KH,QDFWLYLW\,QWHUYDOILHOGLVRFWHWVORQJDQGFRQWDLQVDQXQVLJQHGLQWHJHUWKDWVSHFLILHVWKHPLQLPXP
 DPRXQWRIWLPHLQPLFURVHFRQGVWKDWFDQHODSVHZLWKRXWDUULYDORUWUDQVIHURIDQ03'8EHORQJLQJWRWKH76
 EHIRUHWKLV76LVGHOHWHGE\WKH0$&HQWLW\DWWKH+&IRUDQRQ+(67$RUEHIRUHWKHLQIRUPDWLRQSURYLGHG 
 LQWKLV763(&LVFRQVLGHUHGLQYDOLGDW+(67$VIRU+(67$V


 )RUQRQ+(67$VWKH7KH6XVSHQVLRQ,QWHUYDOILHOGLVRFWHWVORQJDQGFRQWDLQVDQXQVLJQHGLQWHJHUWKDW
 VSHFLILHVWKHPLQLPXPDPRXQWRIWLPHLQPLFURVHFRQGVWKDWFDQHODSVHZLWKRXWDUULYDORUWUDQVIHURIDQ 

 06'8EHORQJLQJWRWKH76EHIRUHWKHJHQHUDWLRQRIVXFFHVVLYH4R6  &)3ROOLVVWRSSHGIRUWKLV76$ 
 YDOXHRI ± GLVDEOHVWKHVXVSHQVLRQLQWHUYDOLQGLFDWLQJWKDWSROOLQJIRUWKH76LVQRW
 WREHLQWHUUXSWHGEDVHGRQLQDFWLYLW\7KHVXVSHQVLRQLQWHUYDOLVDOZD\VOHVVWKDQRUHTXDOWRWKHLQDFWLYLW\
 LQWHUYDO7KH6XVSHQVLRQ,QWHUYDOILHOGLVUHVHUYHGIRU+(67$V


 1HLJKERU5HSRUWHOHPHQW


 Change Figure 9-337 (BSSID Information field format) as follows:

 % % % % % % % % % %

 $3 .H\ 0RELOLW\ +LJK 9HU\+LJK
 5HDFKDELOLW\ 6HFXULW\ 6FRSH &DSDELOLWLHV 'RPDLQ 7KURXJKSXW 7KURXJKSXW )70

 %LWV        


 % % % % % % % %%

 8QVROLFLWHG 0HPEHU2I
 2&7
+LJK &R/RFDWHG 3UREH (66:LWK &R/RFDWHG
(IILFLHQF\ (5%66 $3 5HVSRQVHV *+]&R 6XSSRUWHG:LWK :LWK*+]$3 5HVHUYHG
 5HSRUWLQJ$3
 $FWLYH /RFDWHG$3

 %LWV        

 )LJXUH²%66,',QIRUPDWLRQILHOGIRUPDW


 Change paragraphs 11-12 as follows:


 7KH+LJK7KURXJKSXWELWLVVHWWRWRLQGLFDWHWKDWWKH$3UHSUHVHQWHGE\WKLV%66,'LVDQ+7$3LQFOXGLQJ
 WKH+7&DSDELOLWLHVHOHPHQWLQLWV%HDFRQVDQGWKDWWKHFRQWHQWVRIWKDW+7&DSDELOLWLHVHOHPHQWDUHLGHQWL
 FDOLQFRQWHQWWRWKH+7&DSDELOLWLHVHOHPHQWDGYHUWLVHGE\WKH$3VHQGLQJWKHUHSRUW


 7KH+LJK7KURXJKSXWELWLVVHWWRWRLQGLFDWHWKDWWKH$3UHSUHVHQWHGE\WKLV%66,'LVDQ+7$3DQGWKDW
 WKH+7&DSDELOLWLHVHOHPHQW RU+72SHUDWLRQHOHPHQW LILQFOXGHGDVDVXEHOHPHQWLQWKHUHSRUWLVLGHQWLFDO


LQFRQWHQWWRWKH+7&DSDELOLWLHVHOHPHQW RU+72SHUDWLRQHOHPHQW LQFOXGHGLQWKHQHLJKERULQJ$3¶V%HD
 FRQ2WKHUZLVHWKH+LJK7KURXJKSXWVXEILHOGLVVHWWR


7KH9HU\+LJK7KURXJKSXWELWLVVHWWRWRLQGLFDWHWKDWWKH$3UHSUHVHQWHGE\WKLV%66,'LVD9+7$3DQG

 WKDWWKH9+7&DSDELOLWLHVHOHPHQW RU9+72SHUDWLRQHOHPHQW LILQFOXGHGDVDVXEHOHPHQWLQWKHUHSRUWLV
 LGHQWLFDOLQFRQWHQWWRWKH9+7&DSDELOLWLHVHOHPHQW RU9+72SHUDWLRQHOHPHQW LQFOXGHGLQWKHQHLJKERU
 LQJ$3¶V%HDFRQIUDPH2WKHUZLVHWKH9HU\+LJK7KURXJKSXWVXEILHOGLVVHWWR


 Insert the following after paragraph 14 (beginning “The FTM field…”):

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KH+LJK(IILFLHQF\VXEILHOGLVVHWWRWRLQGLFDWHWKDWWKH$3UHSUHVHQWHGE\WKLV%66,'LVDQ+($3DQG
 WKDWWKH+(&DSDELOLWLHVHOHPHQW RU+(2SHUDWLRQHOHPHQW LILQFOXGHGDVDVXEHOHPHQWLQWKHUHSRUWLV

LGHQWLFDOLQFRQWHQWWRWKH+(&DSDELOLWLHVHOHPHQW RU+(2SHUDWLRQHOHPHQW LQFOXGHGLQWKHQHLJKERULQJ 

 $3¶V%HDFRQIUDPH2WKHUZLVHWKH+LJK(IILFLHQF\VXEILHOGLVVHWWR

 7KH(5%66VXEILHOGLVVHWWRLIWKH%66FRUUHVSRQGLQJWRWKH+($3UHSUHVHQWLQJWKLV%66,'LVDQ(5

 %66WUDQVPLWWLQJ%HDFRQIUDPHVXVLQJDQ+((56833'8 VHH (5EHDFRQJHQHUDWLRQLQDQ(5 

 %66 2WKHUZLVHWKH(5%66VXEILHOGLVVHWWR

 7KH&R/RFDWHG$3VXEILHOGLVVHWWRWRLQGLFDWHWKDWWKH$3UHSRUWHGLQWKLV1HLJKERU5HSRUWHOHPHQWLVLQ

 WKHVDPHFRORFDWHG$3VHWDVWKH$3VHQGLQJWKH1HLJKERU5HSRUWHOHPHQW


 7KH8QVROLFLWHG3UREH5HVSRQVHV$FWLYHVXEILHOGLVVHWWRLIWKHUHSRUWHG$3LVSDUWRIDQ(66ZKHUHDOOWKH
 $3VWKDWRSHUDWHLQWKHVDPHFKDQQHODVWKHUHSRUWHG$3DQGWKDWPLJKWEHGHWHFWHGE\D67$UHFHLYLQJWKLV
 IUDPHKDYHGRW8QVROLFLWHG3UREH5HVSRQVH2SWLRQ$FWLYDWHGHTXDOWRWUXHDQGVRDUHWUDQVPLWWLQJXQVROLF
 LWHG3UREH5HVSRQVHIUDPHVHYHU\78VRUOHVV VHH 6FDQQLQJLQWKH*+]EDQG ,WLVVHWWR 

 RWKHUZLVHRULIWKHUHSRUWLQJ$3GRHVQRWKDYHWKDWLQIRUPDWLRQ

 7KH0HPEHU2I(66:LWK*+]&R/RFDWHG$3VXEILHOGLVVHWWRLIWKHUHSRUWHG$3LVSDUWRIDQ(66 
 ZKHUHHDFK$3LQWKH(66DQGRSHUDWLQJLQWKHVDPHEDQGDVWKHUHSRUWHG$3 LUUHVSHFWLYHRIWKHRSHUDWLQJ 


FKDQQHOLQWKDWEDQG WKDWPLJKWEHGHWHFWHGE\D67$UHFHLYLQJWKLVIUDPHKDVGRW0HPEHU2I&RORFDW
 HG*+](662SWLRQ$FWLYDWHGHTXDOWRWUXHDQGDOVRKDVDFRUUHVSRQGLQJ$3RSHUDWLQJLQWKH*+]RU 
 *+]EDQGVWKDWLVLQWKHVDPHFRORFDWHG$3VHWDVWKDW$3,WLVVHWWRRWKHUZLVHRULIWKHUHSRUWLQJ$3 
 GRHVQRWKDYHWKDWLQIRUPDWLRQ,WLVUHVHUYHGLIWKHUHSRUWHG$3LVRSHUDWLQJLQWKH*+]RU*+]EDQGV


127( ²7KLV VXEILHOG LQGLFDWHV WKDW WKH UHSRUWHG $3 LV SDUW RI DQ (66 WKDW KDV QR  *+]RQO\ $3V WKDW PLJKW EH

 GHWHFWHGE\D67$UHFHLYLQJWKLVIUDPH7KLVPHDQVWKDWDOO$3VRSHUDWLQJLQWKH*+]EDQGWKDWDUHSDUWRIWKDW(66 
 WKDWPLJKWEHGHWHFWHGE\D67$UHFHLYLQJWKLVIUDPHFDQEHGLVFRYHUHGLQWKH*+]DQGRU*+]EDQGV

 127(²$Q$3PLJKWEHGHWHFWHGE\D67$LIWKH67$DQGWKH$3DUHRQWKHVDPHFKDQQHODQGLQUDQJH



7KH2&76XSSRUWHG:LWK5HSRUWHG$3VXEILHOGLVVHWWRWRLQGLFDWHWKDW2&7LVVXSSRUWHGWRH[FKDQJH
 003'8VZLWKWKH$3UHSRUWHGLQWKH1HLJKERU5HSRUWHOHPHQW VHH 2QFKDQQHO7XQQHOLQJ 2&7 
 RSHUDWLRQ WKURXJKRYHUWKHDLUWUDQVPLVVLRQVZLWKWKH$3VHQGLQJWKH1HLJKERU5HSRUWHOHPHQW,WLVVHWWR

 RWKHUZLVH


 7KH&R/RFDWHG:LWK*+]$3VXEILHOGLVVHWWRWRLQGLFDWHWKDWWKH$3UHSRUWHGE\WKH1HLJKERU5HSRUW
 HOHPHQWLVLQWKHVDPHFRORFDWHG$3VHWDVWKH*+]$3DQGWKDWWKH*+]$3FDQEHGLVFRYHUHGE\0DQ
 DJHPHQWIUDPHVVHQWE\WKHUHSRUWHG$3,WLVVHWWRRWKHUZLVH



Delete paragraph 15 (“Bits 14-31 are reserved.”)

 Insert new rows in Table 9-173 (Optional subelement IDs for Neighbor report) as follows and update the
 reserved row:



 7DEOH²2SWLRQDOVXEHOHPHQW,'VIRU1HLJKERUUHSRUW


6XEHOHPHQW,' 1DPH ([WHQVLEOH

  +(&DSDELOLWLHV <HV

  +(2SHUDWLRQ <HV

  %66/RDG

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²2SWLRQDOVXEHOHPHQW,'VIRU1HLJKERUUHSRUW


 6XEHOHPHQW,' 1DPH ([WHQVLEOH

  +(%66/RDG <HV
  66,'



 Insert the following after the 2nd last paragraph (beginning “The VHT Operation subelement…”):


7KH +( &DSDELOLWLHV VXEHOHPHQW KDV WKH VDPH IRUPDW DV WKH +( &DSDELOLWLHV HOHPHQW VHH  +(


 &DSDELOLWLHVHOHPHQW 

 7KH+(2SHUDWLRQVXEHOHPHQWKDVWKHVDPHIRUPDWDVWKH+(2SHUDWLRQHOHPHQW VHH +(2SHUD
 WLRQHOHPHQW 


 7KH%66/RDGVXEHOHPHQWKDVWKHVDPHIRUPDWDVWKH%66/RDGHOHPHQW VHH %66/RDGHOHPHQW 

 7KH+(%66/RDGVXEHOHPHQWKDVWKHVDPHIRUPDWDVWKH+(%66/RDGHOHPHQW VHH +(%66

 /RDGHOHPHQW 


 7KH66,'VXEHOHPHQWKDVWKHVDPHIRUPDWDVWKH66,'HOHPHQW VHH 66,'HOHPHQW 

 0XOWLSOH%66,'HOHPHQW


 Change the 3rd paragraph as follows (line break paragraph after first sentence and add note):

 7KH0D[%66,',QGLFDWRUILHOGFRQWDLQVDYDOXHDVVLJQHGWRnZKHUHnLVWKHPD[LPXPQXPEHURI%66,'V
 LQWKHPXOWLSOH%66,'VHWLQFOXGLQJWKHUHIHUHQFH%66,' VHH 0XOWLSOH%66,'VHW 

 127(²”n”VLQFHWKH%66,',QGH[ILHOGLQ 0XOWLSOH%66,',QGH[HOHPHQW LQGLFDWHVWKHQXPEHURI
 %66,'VLQDPXOWLSOH%66,'VHW

 Change the 7th paragraph as follows:


 7KH1RQWUDQVPLWWHG%66,' 3URILOH VXEHOHPHQWFRQWDLQV DOLVWRI HOHPHQWVIRURQHRUPRUH$3VRU'0* 
 67$VWKDWKDYHQRQWUDQVPLWWHG%66,'V$QRQWUDQVPLWWHG%66,'SURILOHFDUULHGLQRQHRUPRUH1RQWUDQV
 PLWWHG%66,'3URILOHVXEHOHPHQWVDFURVVRQHRUPRUHPXOWLSOH%66,'HOHPHQWVLQWKHVDPHIUDPHFRQWDLQV
 DOLVWRIHOHPHQWVIRUWKH$3RUWKH'0*67$WKDWKDVDQRQWUDQVPLWWHG%66,'DQGLVGHILQHGDVIROORZV

 ² )RU HDFK QRQWUDQVPLWWHG %66,' W 7KH 1RQWUDQVPLWWHG %66,' &DSDELOLW\ HOHPHQW VHH 
 1RQWUDQVPLWWHG %66,' &DSDELOLW\ HOHPHQW  LV WKH ILUVW HOHPHQW LQFOXGHG IROORZHG E\ D YDULDEOH
 QXPEHURIHOHPHQWVLQWKHRUGHUGHILQHGLQ7DEOH %HDFRQIUDPHERG\ IRUDQRQ'0*QRQ


6*$37DEOH '0*%HDFRQIUDPHERG\ IRUD'0*$3RU7DEOH 0LQLPXPDQGIXOO
 VHWRIRSWLRQDOHOHPHQWV IRUD6*$3
 ² 7KH 66,' HOHPHQW VHH  66,' HOHPHQW  DQG 0XOWLSOH %66,',QGH[ HOHPHQW VHH 


0XOWLSOH%66,',QGH[HOHPHQW DUHLQFOXGHGDVWKHVHFRQGDQGWKLUGHOHPHQWVUHVSHFWLYHO\LQWKH

 1RQWUDQVPLWWHG%66,'3URILOHVXEHOHPHQW
 ² 7KH)06'HVFULSWRUHOHPHQW VHH )06'HVFULSWRUHOHPHQW LVLQFOXGHGLQWKH1RQWUDQV
 PLWWHG%66,'3URILOHVXEHOHPHQWLIGRW)06$FWLYDWHGLVWUXHIRUWKH%66XVLQJWKLVQRQWUDQVPLW

 WHG%66,'DQGLIWKH0XOWLSOH%66,'HOHPHQWLVLQFOXGHGLQD%HDFRQIUDPH
 ² $Q\HOHPHQWVSHFLILFWRWKH%66RUZLWKFRQWHQWWKDWLVGLIIHUHQWIURPWKHWUDQVPLWWHG%66,'

 ² 7KH7LPHVWDPSDQG%HDFRQ,QWHUYDOILHOGV7,0'6663DUDPHWHU6HW,%663DUDPHWHU6HW&RXQ
 WU\ &KDQQHO 6ZLWFK $QQRXQFHPHQW ([WHQGHG &KDQQHO 6ZLWFK $QQRXQFHPHQW :LGH %DQGZLGWK


 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 &KDQQHO6ZLWFK7UDQVPLW3RZHU(QYHORSH6XSSRUWHG2SHUDWLQJ&ODVVHV,%66')6(53,QIRUPD
 WLRQ+7&DSDELOLWLHV+72SHUDWLRQ9+7&DSDELOLWLHVDQG9+72SHUDWLRQ6*%HDFRQ&RPSDWL

ELOLW\ 6KRUW %HDFRQ ,QWHUYDO 6* &DSDELOLWLHV DQG 6* 2SHUDWLRQ +( &DSDELOLWLHV +( *+]

 %DQG&DSDELOLWLHV+(2SHUDWLRQ%66&RORU&KDQJH$QQRXQFHPHQWDQG6SDWLDO5HXVH3DUDPHWHU
 6HWHOHPHQWVDUHQRWLQFOXGHGLQWKH1RQWUDQVPLWWHG%66,'3URILOHVXEHOHPHQWWKHYDOXHVRIWKHVH
 HOHPHQWV IRU HDFK QRQWUDQVPLWWHG %66,' DUH DOZD\V WKH VDPH DV WKH FRUUHVSRQGLQJ WUDQVPLWWHG
 %66,'HOHPHQWYDOXHV

 ² :KHQLQFOXGHGLQWKH1RQWUDQVPLWWHG%66,'3URILOHVXEHOHPHQWIRUWKLVQRQWUDQVPLWWHG%66,'WKH
 1RQ,QKHULWDQFHHOHPHQW VHH 1RQ,QKHULWDQFHHOHPHQW DSSHDUVDVWKHODVWHOHPHQWLQWKH
 SURILOHDQGFDUULHVDOLVWRIHOHPHQWVWKDWDUHQRWLQKHULWHGE\WKLVQRQWUDQVPLWWHG%66,'IURPWKH
 WUDQVPLWWHG%66,'


 (DFK 1RQWUDQVPLWWHG %66,' 3URILOH VXEHOHPHQW FRQWDLQV RQO\ HOHPHQWV IRU D %66 ZLWK D QRQWUDQVPLWWHG

 %66,'

 &KDQQHO6ZLWFK7LPLQJHOHPHQW


 Change the last paragraph of 9.4.2.64 as follows:

 7KH6ZLWFK7LPHRXWILHOGLVVHWWRDWLPHLQXQLWVRIPLFURVHFRQGV7KH67$VHQGLQJWKH&KDQQHO6ZLWFK 

7LPLQJHOHPHQWZDLWVIRUWKHILUVW'DWDIUDPHH[FKDQJHRQWKHRIIFKDQQHOIRU6ZLWFK7LPHRXWPLFURVHF

 RQGVEHIRUHVZLWFKLQJEDFNWREDVHFKDQQHO7KHWLPHLVPHDVXUHGIURPWKHHQGRIWKHODVWV\PERORIWKH$FN

 IUDPHWKDWLVWUDQVPLWWHGLQUHVSRQVHWR7'/6&KDQQHO6ZLWFK5HVSRQVHIUDPHDVVHHQRQWKH:0,IWUDQV
 PLWWHGLQD 5H $VVRFLDWLRQ5HTXHVWIUDPHWKH6ZLWFK7LPHRXWILHOGLVQRWSUHVHQWLQWKH&KDQQHO6ZLWFK 
 7LPLQJHOHPHQW


 (YHQW5HTXHVWHOHPHQW

 (YHQW5HTXHVWGHILQLWLRQ


 Insert rows in Table 9-193 (Event Type field definitions for event requests and reports) as follows and
 update the Reserved row:


 7DEOH²(YHQW7\SHILHOGGHILQLWLRQVIRUHYHQWUHTXHVWVDQGUHSRUWV


 1DPH (YHQW7\SH

 %66&RORU&ROOLVLRQ 

 %66&RORU,Q8VH 



 (YHQW5HSRUWHOHPHQW

 (YHQW5HSRUW'HILQLWLRQ


 Replace the 6th paragraph (“The Event TSF, …”) with the following:

 ,IWKH(YHQW5HSRUW6WDWXVILHOGLV 6XFFHVVIXO DQGWKH(YHQW7\SHILHOGLVQHLWKHU %66&RORU&ROOLVLRQ 
 QRU %66&RORU,Q8VH WKHQWKH(YHQW76)87&2IIVHW(YHQW7LPH(UURUDQG(YHQW5HSRUWILHOGVDUH

SUHVHQW,IWKH(YHQW5HSRUW6WDWXVILHOGLV 6XFFHVVIXO DQGWKH(YHQW7\SHILHOGLVHLWKHU %66&RORU

 &ROOLVLRQ  RU  %66 &RORU ,Q 8VH  WKHQ (YHQW 76) DQG (YHQW 5HSRUW ILHOGV DUH SUHVHQW 2WKHUZLVH WKH
 (YHQW76)87&2IIVHW(YHQW7LPH(UURURU(YHQW5HSRUWILHOGVDUHQRWSUHVHQW

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 Change the 10th paragraph as follows:




 7KH(YHQW5HSRUWILHOGFRQWDLQVWKHVSHFLILFDWLRQRIDVLQJOHHYHQWUHSRUWDVGHVFULEHGLQ 7UDQVL
 WLRQHYHQWUHSRUW WR :10ORJHYHQWUHSRUW  %66FRORUFROOLVLRQHYHQWUHSRUW DQG 
  %66FRORULQXVHHYHQWUHSRUW 


Insert new subclauses at the end of 9.4.2.67 as follows:


 %66FRORUFROOLVLRQHYHQWUHSRUW



7KH(YHQW5HSRUWILHOGIRUD%66FRORUFROOLVLRQHYHQWUHSRUWLVRFWHWVLQOHQJWKZLWKHDFKELWUHSUHVHQWLQJ

 D%66FRORUYDOXH$YDOXHRIDWDELWSRVLWLRQLQGLFDWHVWKDWWKH%66FRORUYDOXHFRUUHVSRQGLQJWRWKDW
 SRVLWLRQLVLQXVHE\2%66DVGHWHFWHGE\WKHUHSRUWLQJQRQ$3+(67$

 %66FRORULQXVHHYHQWUHSRUW


 7KH(YHQW5HSRUWILHOGIRUD%66FRORULQXVHHYHQWUHSRUWLVRFWHWLQOHQJWK,IDUHSRUWLQJQRQ$3+(

 67$FRPPXQLFDWHVZLWKDSHHU67$ZLWKD%66FRORUWKDWLVGLIIHUHQWIURPWKH%66FRORUXVHGE\LWVDVVR
 FLDWHG$3WKH(YHQW5HSRUWILHOGLVVHWWRWKH%66FRORUXVHGLQWKHFRPPXQLFDWLRQZLWKWKHSHHU67$


 $QRQ$3+(67$VHWVWKH(YHQW5HSRUWILHOGWRWRFDQFHODSUHYLRXVO\VHQW%66FRORULQXVHHYHQWUHSRUW
 6HH %66FRORULQXVHHYHQW 


 0XOWLSOH%66,',QGH[HOHPHQW

 Change paragraphs 3-5 as follows:


 7KH%66,',QGH[ILHOGLVDYDOXHEHWZHHQDQGn±WKDWLGHQWLILHVWKHQRQWUDQVPLWWHG%66,'ZKHUHQLV
 DQRQ]HURSRVLWLYHLQWHJHUYDOXH VHH0D[%66,',QGLFDWRUILHOGLQ 0XOWLSOH%66,'HOHPHQW 

 7KH'7,03HULRGILHOG LQGLFDWHVWKH'7,0 SHULRGIRUWKH%66,'DVGHILQHGLQ  *HQHUDO 7KLV


ILHOGLVQRWSUHVHQWZKHQWKH0XOWLSOH%66,',QGH[HOHPHQWLVLQFOXGHGLQWKH3UREH5HVSRQVHIUDPH

 7KH'7,0&RXQWILHOGLQGLFDWHVWKH'7,0FRXQWIRUWKH%66,'DVGHILQHGLQ *HQHUDO 7KLVILHOG

 LVQRWSUHVHQWZKHQWKH0XOWLSOH%66,',QGH[HOHPHQWLVLQFOXGHGLQWKH3UREH5HVSRQVHIUDPH


 $''%$([WHQVLRQHOHPHQW

 Change Figure 9-580 (ADDBA Capabilities field format) as follows:


 % %% %% %

 1R)UDJPHQWDWLRQ +()UDJPHQWDWLRQ 5HVHUYHG
 2SHUDWLRQ

%LWV   

 )LJXUH²$''%$&DSDELOLWLHVILHOGIRUPDW


 Change the last paragraph as follows:


7KH1R)UDJPHQWDWLRQVXEILHOGGHWHUPLQHVZKHWKHUDIUDJPHQWHG06'8FDQEHFDUULHGLQWKH03'8VHQW

 XQGHUWKHEORFNDFNDJUHHPHQW:KHQ,IWKLVVXEILHOGVHWWRLQWKH$''%$5HTXHVWIUDPHLWLQGLFDWHVWKDW
 WKH QRQ+( RULJLQDWRU LV QRW IUDJPHQWLQJ VHQW 06'8V :KHQ ,I WKLV VXEILHOG VHW WR  LQ WKH $''%$


 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 5HVSRQVHIUDPHLWLQGLFDWHVWKDWWKHQRQ+(UHFLSLHQWLVQRWFDSDEOHRIUHFHLYLQJIUDJPHQWHG06'8V7KH
 1R)UDJPHQWDWLRQVXEILHOGLVUHVHUYHGZKHQWUDQVPLWWHGE\DQ+(67$WRDQRWKHU+(67$


 Insert the following as the new last paragraph:


 ,IWUDQVPLWWHGE\DQ+(67$WKH+()UDJPHQWDWLRQ2SHUDWLRQVXEILHOGLQGLFDWHVWKHOHYHORIG\QDPLFIUDJ
 PHQWDWLRQWKDWLVXQGHUQHJRWLDWLRQIRUWKH7,'LQGLFDWHGLQWKH$''%$IUDPHDVGHILQHGLQ7DEOHD
 +()UDJPHQWDWLRQ2SHUDWLRQVXEILHOG 


 7DEOHD²+()UDJPHQWDWLRQ2SHUDWLRQVXEILHOG


 9DOXH 0HDQLQJLQ$''%$5HTXHVWIUDPH 0HDQLQJLQ$''%$5HVSRQVHIUDPH

 7KHRULJLQDWRUGRHVQRWLQWHQGWRVHQGIUDJ 7KHUHFLSLHQWGRHVQRWVXSSRUWWKHUHFHSWLRQ

 PHQWHG06'8VRU$06'8V LIVXSSRUWHG IUDJPHQWHG06'8VRU$06'8VIRUWKH
 E\WKHWUDQVPLWWHU IRUWKH7,'VSHFLILHGLQ 7,'VSHFLILHGLQWKH%ORFN$FN3DUDPHWHU
 WKH%ORFN$FN3DUDPHWHU6HWILHOGRIWKH 6HWILHOGRIWKH$''%$5HVSRQVHIUDPH
 $''%$5HTXHVWIUDPH

  7KHRULJLQDWRULQWHQGVWRVHQGIUDJPHQWHG 7KHUHFLSLHQWVXSSRUWVWKHUHFHSWLRQRIIUDJ
 06'8VRU$06'8 LIVXSSRUWHGE\WKH PHQWHG06'8VRU$06'8 LIVXSSRUWHG 
 WUDQVPLWWHU XQGHUIUDJPHQWDWLRQOHYHO XQGHUIUDJPHQWDWLRQOHYHORQO\IRUWKH
 VHH /HYHOG\QDPLFIUDJPHQWD 7,'VSHFLILHGLQWKH%ORFN$FN3DUDPHWHU
 WLRQ IRUWKH7,'VSHFLILHGLQWKH%ORFN 6HWILHOGRIWKH$''%$5HVSRQVHIUDPH
 $FN3DUDPHWHU6HWILHOGRIWKH$''%$
 5HTXHVWIUDPH

  7KHRULJLQDWRULQWHQGVWRVHQGIUDJPHQWHG 7KHUHFLSLHQWVXSSRUWVWKHUHFHSWLRQRI
 06'8VRU$06'8V LIVXSSRUWHGE\WKH UHFHLYLQJIUDJPHQWHG06'8VRU$06'8
 WUDQVPLWWHU XQGHUIUDJPHQWDWLRQOHYHO LIVXSSRUWHG XQGHUIUDJPHQWDWLRQOHYHOV
 VHH /HYHOG\QDPLFIUDJPHQWD DQGIRUWKH7,'VSHFLILHGLQWKH%ORFN
 WLRQ IRUWKH7,'VSHFLILHGLQWKH%ORFN $FN3DUDPHWHU6HWILHOGRIWKH$''%$
 $FN3DUDPHWHU6HWILHOGRIWKH$''%$ 5HVSRQVHIUDPH
 5HTXHVWIUDPH

  7KHRULJLQDWRULQWHQGVWRVHQGIUDJPHQWHG 7KHUHFLSLHQWVXSSRUWVWKHUHFHSWLRQRIIUDJ
 06'8VRU$06'8V LIVXSSRUWHGE\WKH PHQWHG06'8VRU$06'8 LIVXSSRUWHG 
 WUDQVPLWWHU XQGHUIUDJPHQWDWLRQOHYHO XQGHUIUDJPHQWDWLRQOHYHOVDQGIRU
 VHH /HYHOG\QDPLFIUDJPHQWD WKH7,'VSHFLILHGLQWKH%ORFN$FN3DUDPH
 WLRQ IRUWKH7,'VSHFLILHGLQWKH%ORFN WHU6HWILHOGRIWKH$''%$5HVSRQVH
 $FN3DUDPHWHU6HWILHOGRIWKH$''%$ IUDPH
 5HTXHVWIUDPH



 9+7&DSDELOLWLHV


6XSSRUWHG9+70&6DQG1666HWILHOG


 Insert the following at the end of this subclause:


 7KHYDOXHRI0D[9+7166IRUDJLYHQ0&6LVHTXDOWRWKHVPDOOHURI


² WKHPD[LPXPYDOXHRInIRUZKLFKWKH0D[9+70&6IRUn66KDVDYDOXHWKDWLQGLFDWHVVXSSRUWIRU
 WKDW0&6

² WKHPD[LPXPVXSSRUWHG166DVLQGLFDWHGLQE\WKHYDOXHRIWKH5[166ILHOGRIWKH20&RQWURO

 VXEILHOG DQGIXUWKHUGHILQHGLQWKH7DEOH 6HWWLQJRIWKH9+7&KDQQHO:LGWKDQG9+7166DW
 DQ+(67$WUDQVPLWWLQJWKH20&RQWUROVXEILHOG

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 127(²$9+70&6LQGLFDWHGDVVXSSRUWHGLQWKH9+70&60DSILHOGVIRUDSDUWLFXODUQXPEHURIVSDWLDOVWUHDPV
 PLJKWQRWEHYDOLGDWDOOEDQGZLGWKV VHH 3DUDPHWHUVIRU9+70&6V PLJKWEHOLPLWHGE\WKHGHFODUDWLRQRI7[ 
 +LJKHVW 6XSSRUWHG /RQJ *, 'DWD 5DWHV DQG 5[ +LJKHVW 6XSSRUWHG /RQJ *, 'DWD 5DWHV DQG PLJKW EH DIIHFWHG E\
  $GGLWLRQDOUDWHVHOHFWLRQFRQVWUDLQWVIRU9+733'8V DQGWKHYDOXHRIWKH([WHQGHG166%:6XSSRUWILHOG 
 RIWKH9+7&DSDELOLWLHV,QIRUPDWLRQILHOGLQ 9+7&DSDELOLWLHV,QIRUPDWLRQILHOG DQGWKH%: 
 VXEILHOGRIWKH2SHUDWLQJ0RGHILHOGLQ 2SHUDWLQJ0RGHILHOG 


([WHQGHG%66/RDGHOHPHQW


 Change the description of the Tbusy,W1 parameter in 7th paragraph as follows:

 7EXV\:LVFRPSXWHGDVWKHVXPRIWKHWLPHVIURP3+<&&$LQGLFDWLRQ %86<^:`SHUELWPDS WR 
 WKHQH[WLVVXHRID3+<&&$LQGLFDWLRQSULPLWLYHDQGWKDWRYHUODSWKHPHDVXUHPHQWLQWHUYDO
 IRU: RUDQGZKHUH:HTXDOVVHFRQGDU\VHFRQGDU\RUVHFRQGDU\IRU: 
 RUUHVSHFWLYHO\)RUD9+7$3IRU: :HTXDOVVHFRQGDU\VHF

 RQGDU\RUVHFRQGDU\UHVSHFWLYHO\)RUDQ+($3IRU: :HTXDOVVHFRQGDU\RU
 SHUELWPDSKDVWKHELWFRUUHVSRQGLQJWRWKHSULPDU\0+]FKDQQHOHTXDOWRDQGWKHELW
 FRUUHVSRQGLQJWRWKHVHFRQGDU\0+]FKDQQHOLVHTXDOWRIRU: :HTXDOVVHFRQG
 DU\ RU SHUELWPDS KDV WKH ELWV FRUUHVSRQGLQJ WR WKH SULPDU\  0+] DQG VHFRQGDU\ 
 0+]FKDQQHOVHTXDOWRDQGDWOHDVWRQHELWFRUUHVSRQGLQJWRDQ\0+]VXEFKDQQHOLQWKH

 VHFRQGDU\0+]FKDQQHOHTXDOWRIRU: :HTXDOVVHFRQGDU\RUSHUELWPDS
 KDVWKHELWVFRUUHVSRQGLQJWRWKHSULPDU\0+]VHFRQGDU\0+]DQGVHFRQGDU\0+]
 FKDQQHOVHTXDOWRDQGDWOHDVWRQHELWFRUUHVSRQGLQJWRDQ\0+]VXEFKDQQHOLQWKHVHF
 RQGDU\0+]FKDQQHOLVHTXDOWR


 7UDQVPLW3RZHU(QYHORSHHOHPHQW

 Change the 6th paragraph as follows:


 /RFDO0D[LPXP7UDQVPLW3RZHU)RUX0+]ILHOGV ZKHUHX RU GHILQHWKHORFDO
 PD[LPXPWUDQVPLWSRZHUOLPLWRIX0+]33'8VH[FHSWIRUDQ+(7%33'8ZKHUHX0+]LVWKHEDQG
 ZLGWKRIWKHSUH+(PRGXODWHGILHOGVRIWKH+(7%33'8WUDQVPLWWHGE\D67$(DFK/RFDO0D[LPXP 

 7UDQVPLW3RZHU)RUX0+]ILHOGLVHQFRGHGDVDQELWVFRPSOHPHQWVLJQHGLQWHJHULQWKHUDQJH±G%P 
 WRG%PZLWKDG%VWHS6HWWLQJWKLVILHOGWRG%PLQGLFDWHVG%PRUKLJKHU LHQRORFDOPD[
 LPXPWUDQVPLWSRZHUFRQVWUDLQW 



5HGXFHG1HLJKERU5HSRUWHOHPHQW

 1HLJKERU$3,QIRUPDWLRQILHOG


 Change the 4th paragraph as follows:

 7KH )LOWHUHG 1HLJKERU $3 VXEILHOG LV  ELW LQ OHQJWK :KHQ LQFOXGHG LQ DQ LQGLYLGXDOO\ DGGUHVVHG 3UREH

5HVSRQVHIUDPHLWLVVHWWRLIWKH66,'FRUUHVSRQGLQJWRHYHU\$3LQWKLV1HLJKERU$3,QIRUPDWLRQILHOG

 PDWFKHVWKH66,'LQWKHFRUUHVSRQGLQJ3UREH5HTXHVWIUDPH:KHQLQFOXGHGLQD%HDFRQEURDGFDVW3UREH
 5HVSRQVHRU),/6'LVFRYHU\IUDPHWUDQVPLWWHGE\DQRQ79+7$3LWLVVHWWRLIWKH66,'FRUUHVSRQGLQJ 
 WRHYHU\$3LQWKLV1HLJKERU$3,QIRUPDWLRQILHOGPDWFKHVWKH66,'RIWKHWUDQVPLWWLQJ$3¶V%66,WLVVHW
 WRRWKHUZLVH


 Change the 6th paragraph as follows:


7KH7%77,QIRUPDWLRQ/HQJWKVXEILHOGLVRFWHWLQOHQJWKDQGLQGLFDWHVWKHOHQJWKRIHDFK7%77,QIRUPD

 WLRQILHOGLQFOXGHGLQWKH7%77,QIRUPDWLRQ6HWILHOGRIWKH1HLJKERU$3,QIRUPDWLRQILHOG:KHQ,IWKH
 7%77,QIRUPDWLRQ)LHOG7\SHVXEILHOGLVVHWWRWKH7%77,QIRUPDWLRQ/HQJWKVXEILHOG

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ² FRQWDLQVWKHOHQJWKLQRFWHWVRIHDFK7%77,QIRUPDWLRQILHOGWKDWLVLQFOXGHGLQWKH7%77,QIRUPD
 WLRQ6HWILHOGRIWKH1HLJKERU$3,QIRUPDWLRQILHOG

 ² LVVHWWRRURURWKHUYDOXHVDUHUHVHUYHG

 ² LQGLFDWHV WKH 7%77 ,QIRUPDWLRQ ILHOG FRQWHQWV DV VKRZQ LQ 7DEOH  7%77 ,QIRUPDWLRQ ILHOG

FRQWHQW 



Change Table 9-281 (TBTT Information field contents) as follows:



 7DEOH²7%77,QIRUPDWLRQILHOGFRQWHQWV


 7%77,QIRUPDWLRQ/HQJWK
7%77,QIRUPDWLRQILHOGFRQWHQWV
 VXEILHOGYDOXH

  7KH1HLJKERU$37%772IIVHWVXEILHOG

  7KH1HLJKERU$37%772IIVHWVXEILHOGDQGWKH%663DUDPHWHUV
 VXEILHOG


 7KH1HLJKERU$37%772IIVHWVXEILHOGDQGWKH6KRUW66,'

VXEILHOG


  7KH1HLJKERU$37%772IIVHWVXEILHOGWKH6KRUW66,'VXEILHOG
 DQGWKH%663DUDPHWHUVVXEILHOG

  7KH1HLJKERU$37%772IIVHWVXEILHOGDQGWKH%66,'VXEILHOG

  7KH1HLJKERU$37%772IIVHWVXEILHOGWKH%66,'VXEILHOGDQG
 WKH%663DUDPHWHUVVXEILHOG

  7KH1HLJKERU$37%772IIVHWVXEILHOGWKH%66,'VXEILHOGDQG
 WKH6KRUW66,'VXEILHOG


 7KH1HLJKERU$37%772IIVHWVXEILHOGWKH%66,'VXEILHOGWKH

6KRUW66,'VXEILHOGDQGWKH%663DUDPHWHUVVXEILHOG


 ±±±± 5HVHUYHG

 ± 5HVHUYHGEXWWKHILUVWRFWHWVRIWKHILHOGDUHWKHVDPHDVIRU
 7%77,QIRUPDWLRQ/HQJWK




Change 9-632 (TBTT Information field format) as follows:



 1HLJKERU$3
 %66,' RSWLRQDO 6KRUW66,' RSWLRQDO %66SDUDPHWHUV
7%772IIVHW

 2FWHWV  RU RU RU


 )LJXUH²7%77,QIRUPDWLRQILHOGIRUPDW



 Change the 3rd to last paragraph as follows:

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KH1HLJKERU$37%772IIVHWVXEILHOGLVRFWHWLQOHQJWKDQGLQGLFDWHVWKHRIIVHWLQ78VURXQGHGGRZQWR
 QHDUHVW78WRWKHQH[W7%77RIDQ$3IURPWKHLPPHGLDWHO\SULRU7%77RIWKH$3WKDWWUDQVPLWVWKLVHOH

PHQW7KHYDOXHLQGLFDWHVDQRIIVHWRI78VRUKLJKHU7KHYDOXHLQGLFDWHVDQXQNQRZQRIIVHW

 YDOXH

 7KH1HLJKERU$37%772IIVHWVXEILHOGLQGLFDWHVWKHRIIVHWLQ78VURXQGHGGRZQWRQHDUHVW78WRWKHIRO
 ORZLQJ

 ² 7KHQH[W7%77RIWKHUHSRUWHG$3IURPWKHLPPHGLDWHO\SULRU7%77RIWKH$3WKDWWUDQVPLWVWKLV
 HOHPHQWLIWKHUHSRUWHG$3LVQRWSDUWRIDPXOWLSOH%66,'VHWRULVWKHWUDQVPLWWHG%66,'RIDPXOWL
 SOH%66,'VHW

 ² 7KHQH[W7%77RIWKHWUDQVPLWWHG%66,'RIWKHPXOWLSOH%66,'VHWRIWKHUHSRUWHG$3IURPWKH
 LPPHGLDWHO\SULRU7%77RIWKH$3WKDWWUDQVPLWVWKLVHOHPHQWLIWKHUHSRUWHG$3LVSDUWRIDPXOWLSOH
 %66,'VHWDQGLVDQRQWUDQVPLWWHG%66,'


 7KHYDOXHLQGLFDWHVDQRIIVHWRI78VRUKLJKHU7KHYDOXHLQGLFDWHVDQXQNQRZQRIIVHWYDOXH

 Insert at the end of this subclause:


 7KHIRUPDWRIWKH%663DUDPHWHUVVXEILHOGLVGHILQHGLQ)LJXUHD %663DUDPHWHUVVXEILHOGIRUPDW 


% % % % % % % %


 0HPEHU2I(66 8QVROLFLWHG
2&7 6DPH 0XOWLSOH 7UDQVPLWWHG 3UREH &R/RFDWHG
 5HFRPPHQGHG 66,' %66,' %66,' :LWK*+]&R 5HVSRQVHV $3 5HVHUYHG
 /RFDWHG$3
$FWLYH

 %LWV        



)LJXUHD²%663DUDPHWHUVVXEILHOGIRUPDW

 7KH2&75HFRPPHQGHGVXEILHOGLVVHWWRWRLQGLFDWHWKDW2&7LVUHFRPPHQGHGWRH[FKDQJH003'8V
 ZLWK WKH $3 LGHQWLILHG LQ WKH 7%77 ,QIRUPDWLRQ ILHOG VHH  2QFKDQQHO 7XQQHOLQJ 2&7  RSHUD
 WLRQ WKURXJKRYHUWKHDLUWUDQVPLVVLRQVZLWKWKH$3VHQGLQJWKH5HGXFHG1HLJKERU5HSRUWHOHPHQW,WLV

 VHWWRRWKHUZLVH

 7KH6DPH66,'VXEILHOGLVVHWWRWRLQGLFDWHWKDWWKHUHSRUWHG$3KDVWKHVDPH66,'DVWKHUHSRUWLQJ$3,W
 LVVHWWRRWKHUZLVH


 7KH0XOWLSOH%66,'VXEILHOGLVVHWWRWRLQGLFDWHWKDWWKHUHSRUWHG$3LVSDUWRIDPXOWLSOH%66,'VHW,WLV
 VHWWRRWKHUZLVH

 7KH7UDQVPLWWHG%66,'VXEILHOGLVVHWWRWRLQGLFDWHWKDWWKHUHSRUWHG$3LVDWUDQVPLWWHG%66,',WLVVHW

 WRLWWKHUHSRUWHG$3LVDQRQWUDQVPLWWHG%66,',WLVUHVHUYHGLIWKH0XOWLSOH%66,'VXEILHOGLVVHWWR

 7KH0HPEHU2I(66:LWK*+]&R/RFDWHG$3VXEILHOGLVVHWWRLIWKHUHSRUWHG$3LVSDUWRIDQ(66 
 ZKHUHHDFK$3LQWKH(66DQGRSHUDWLQJLQWKHVDPHEDQGDVWKHUHSRUWHG$3 LUUHVSHFWLYHRIWKHRSHUDWLQJ 

FKDQQHOLQWKDWEDQG WKDWPLJKWEHGHWHFWHGE\D67$UHFHLYLQJWKLVIUDPHKDVGRW0HPEHU2I&RORFDW

 HG*+](662SWLRQ$FWLYDWHGHTXDOWRWUXHDQGDOVRKDVDFRUUHVSRQGLQJ$3RSHUDWLQJLQWKH*+]RU
 *+]EDQGVWKDWLVLQWKHVDPHFRORFDWHG$3VHWDVWKDW$3,WLVVHWWRRWKHUZLVHRULIWKHUHSRUWLQJ$3
 GRHVQRWKDYHWKDWLQIRUPDWLRQ,WLVUHVHUYHGLIWKHUHSRUWHG$3LVRSHUDWLQJLQWKH*+]RU*+]EDQGV

 127( ²7KLV VXEILHOG LQGLFDWHV WKDW WKH UHSRUWHG $3 LV SDUW RI DQ (66 WKDW KDV QR  *+]RQO\ $3V WKDW PLJKW EH
 GHWHFWHGE\D67$UHFHLYLQJWKLVIUDPH7KLVPHDQVWKDWDOO$3VRSHUDWLQJLQWKH*+]EDQGWKDWDUHSDUWRIWKDW(66 
 WKDWPLJKWEHGHWHFWHGE\D67$UHFHLYLQJWKLVIUDPHFDQEHGLVFRYHUHGLQWKH*+]DQGRU*+]EDQGV

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 127(²$Q$3PLJKWEHGHWHFWHGE\D67$LIWKH67$DQGWKH$3DUHRQWKHVDPHFKDQQHODQGLQUDQJH

 7KH8QVROLFLWHG3UREH5HVSRQVHV$FWLYHVXEILHOGLVVHWWRLIWKHUHSRUWHG$3LVSDUWRIDQ(66ZKHUHDOOWKH

 $3VWKDWRSHUDWHLQWKHVDPHFKDQQHODVWKHUHSRUWHG$3DQGWKDWPLJKWEHGHWHFWHGE\D67$UHFHLYLQJWKLV
 IUDPHKDYHGRW8QVROLFLWHG3UREH5HVSRQVH2SWLRQ$FWLYDWHGHTXDOWRWUXHDQGDUHWUDQVPLWWLQJXQVROLFLWHG 
 3UREH5HVSRQVHIUDPHVHYHU\78VRUOHVV VHH 6FDQQLQJLQWKH*+]EDQG ,WLVVHWWRRWK
 HUZLVHRULIWKHUHSRUWLQJ$3GRHVQRWKDYHWKDWLQIRUPDWLRQ


 7KH&R/RFDWHG$3VXEILHOGLVVHWWRLIHYHU\$3LQWKLV1HLJKERU$3,QIRUPDWLRQILHOGLVLQWKHVDPHFR
 ORFDWHG$3VHWDVWKHWUDQVPLWWLQJ$3,WLVVHWWRRWKHUZLVH

 ),/65HTXHVW3DUDPHWHUVHOHPHQW


 Insert the following in Table 9-289 (PHY Support Criterion subfield) and update the Reserved row as
 appropriate:



 7DEOH²3+<6XSSRUW&ULWHULRQVXEILHOG


 9DOXH ([SODQDWLRQ

  ,QGLFDWHVWKDWDUHVSRQGLQJ),/667$LV+(
 FDSDEOH



 7:7HOHPHQW



Replace Figure 9-686 (TWT element format) with the following:




 (OHPHQW
/HQJWK &RQWURO 7:73DUDPHWHU,QIRUPDWLRQ
,'


 2FWHWV    YDULDEOH

 )LJXUH²7:7HOHPHQWIRUPDW

 Change Figure 9-687 (Control field format) as follows.


 %% %% %% % % %% %%

 1'33DJLQJ 5HVSRQGHU30 1HJRWLDWLRQ 7:7,QIRUPD :DNH'XUDWLRQ 5HVHUYHG
 ,QGLFDWRU 0RGH 7\SH WLRQ)UDPH 8QLW
 'LVDEOHG

%LWV      


)LJXUH²&RQWUROILHOGIRUPDW


 Insert the following (including table) after the 5th paragraph (“The Responder PM Mode subfield…”):


7KH1HJRWLDWLRQ7\SHVXEILHOGLQGLFDWHVZKHWKHUWKHLQIRUPDWLRQLQFOXGHGLQWKH7:7HOHPHQWLVIRUWKH

 QHJRWLDWLRQ RI SDUDPHWHUV RI EURDGFDVWRULQGLYLGXDO7:7 V RUD:DNH7%77LQWHUYDO7KH06% RI WKH
 1HJRWLDWLRQ7\SHVXEILHOGLVWKH%URDGFDVWILHOG

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KH7:7,QIRUPDWLRQ)UDPH'LVDEOHGVXEILHOGLVVHWWRWRLQGLFDWHWKDWWKHUHFHSWLRQRI7:7,QIRUPDWLRQ

 IUDPHVLVGLVDEOHGE\WKH67$RWKHUZLVHLWLVVHWWR


 7KH:DNH'XUDWLRQ8QLWVXEILHOGLQGLFDWHVWKHXQLWRIWKH1RPLQDO0LQLPXP7:7:DNH'XUDWLRQILHOG
 7KH:DNH'XUDWLRQ8QLWVXEILHOGLVVHWWRLIWKHXQLWLVXVDQGLVVHWWRLIWKHXQLWLVD78$QRQ+(

 67$VHWVWKH:DNH'XUDWLRQ8QLWVXEILHOGWR


,IWKH%URDGFDVWILHOGRIWKH1HJRWLDWLRQ7\SHVXEILHOGLVWKHQRQHRUPRUHEURDGFDVW7:7SDUDPHWHUVHWV

 DUHFRQWDLQHGLQWKH7:7HOHPHQW VHH)LJXUHE %URDGFDVW7:73DUDPHWHU6HWILHOGIRUPDW ,IWKH
 %URDGFDVWILHOGRIWKH1HJRWLDWLRQ7\SHVXEILHOGLVWKHQRQO\RQH,QGLYLGXDO7:7SDUDPHWHUVHWLVFRQ
 WDLQHGLQWKH7:7HOHPHQW VHH)LJXUHD ,QGLYLGXDO7:73DUDPHWHU6HWILHOGIRUPDW $Q6*67$ 
 VHWVWKH1HJRWLDWLRQ7\SHVXEILHOGWR


 $7:7HOHPHQWWKDWKDVWKH%URDGFDVWILHOGLQWKH&RQWUROILHOGVHWWRLVUHIHUUHGWRDVEURDGFDVW7:7HOH
 PHQW

 7KH1HJRWLDWLRQ7\SHVXEILHOGGHWHUPLQHVWKHLQWHUSUHWDWLRQRIWKH7DUJHW:DNH7LPH7:7:DNH,QWHUYDO

0DQWLVVD DQG 7:7 :DNH ,QWHUYDO ([SRQHQW VXEILHOGV RI WKH 7:7 HOHPHQW DV GHILQHG LQ 7DEOHD

 ,QWHUSUHWDWLRQRI1HJRWLDWLRQ7\SHVXEILHOG7DUJHW:DNH7LPH7:7:DNH,QWHUYDO0DQWLVVDDQG7:7 
 :DNH,QWHUYDO([SRQHQWILHOGV 


 7DEOHD²,QWHUSUHWDWLRQRI1HJRWLDWLRQ7\SHVXEILHOG7DUJHW:DNH7LPH7:7:DNH

,QWHUYDO0DQWLVVDDQG7:7:DNH,QWHUYDO([SRQHQWILHOGV


 7:7:DNH
 1HJRWLDWLRQ 7DUJHW ,QWHUYDO0DQWLVVD
 7\SH :DNH DQG7:7:DNH 'HVFULSWLRQ
 VXEILHOG 7LPHILHOG ,QWHUYDO([SRQHQW
 ILHOGV


  $IXWXUH ,QWHUYDOEHWZHHQ ,QGLYLGXDO7:7QHJRWLDWLRQEHWZHHQ7:7UHTXHVWLQJ67$
 ,QGLYLGXDO LQGLYLGXDO7:7 DQG7:7UHVSRQGLQJ67$RULQGLYLGXDO7:7
 7:763 63V DQQRXQFHPHQWE\7:7UHVSRQGHU6HH 7DUJHWZDNH
 VWDUWWLPH WLPH 7:7 DQG ,QGLYLGXDO7:7DJUHHPHQWV 

 7KH7:7HOHPHQWFRQWDLQVRQHLQGLYLGXDO7:7SDUDPHWHU
 VHW






















 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOHD²,QWHUSUHWDWLRQRI1HJRWLDWLRQ7\SHVXEILHOG7DUJHW:DNH7LPH7:7:DNH
 ,QWHUYDO0DQWLVVDDQG7:7:DNH,QWHUYDO([SRQHQWILHOGV(continued)


  1H[W:DNH ,QWHUYDOEHWZHHQ :DNH7%77DQGZDNHLQWHUYDOQHJRWLDWLRQEHWZHHQ7:7
 7%77WLPH ZDNH7%77V VFKHGXOHG67$DQG7:7VFKHGXOLQJ$36HH
 1HJRWLDWLRQRIZDNH7%77DQGZDNHLQWHUYDO 

 7KH7:7HOHPHQWFRQWDLQVRQHLQGLYLGXDO7:7SDUDPHWHU
 VHW

  $IXWXUH ,QWHUYDOEHWZHHQ 3URYLGHEURDGFDVW7:7VFKHGXOHVWR7:7VFKHGXOHG67$V
 %URDGFDVW EURDGFDVW7:763V E\LQFOXGLQJWKH7:7HOHPHQWLQEURDGFDVW0DQDJHPHQW
 7:763 IUDPHVVHQWE\7:7VFKHGXOLQJ$36HH 5XOHVIRU
 VWDUWWLPH 7:7VFKHGXOLQJ$3 

 7KH7:7HOHPHQWFRQWDLQVRQHRUPRUHEURDGFDVW7:7
 SDUDPHWHUVHWV


  $IXWXUH ,QWHUYDOEHWZHHQ 0DQDJHPHPEHUVKLSVLQEURDGFDVW7:7VFKHGXOHVE\
 %URDGFDVW EURDGFDVW7:763V LQFOXGLQJWKH7:7HOHPHQWLQLQGLYLGXDOO\DGGUHVVHG
 7:763 0DQDJHPHQWIUDPHVVHQWE\HLWKHUD7:7VFKHGXOHG67$
 VWDUWWLPH RUD7:7VFKHGXOLQJ$36HH %URDGFDVW7:7
 RSHUDWLRQ 

 7KH7:7HOHPHQWFRQWDLQVRQHRUPRUHEURDGFDVW7:7
 SDUDPHWHUVHWV



7KH7:73DUDPHWHU,QIRUPDWLRQILHOGFRQWDLQVDVLQJOH,QGLYLGXDO7:73DUDPHWHU6HWILHOGZLWKIRUPDW

 GHILQHGLQ)LJXUHD ,QGLYLGXDO7:73DUDPHWHU6HWILHOGIRUPDW LIWKH%URDGFDVWVXEILHOGLQWKH&RQ
 WUROILHOGLVDQGFRQWDLQVRQHRUPRUH%URDGFDVW7:73DUDPHWHU6HWILHOGVZLWKIRUPDWGHILQHGLQ)LJXUH
 E %URDGFDVW7:73DUDPHWHU6HWILHOGIRUPDW LIWKH%URDGFDVWVXEILHOGRIWKH&RQWUROILHOGLV7KH
 QXPEHURI%URDGFDVW7:73DUDPHWHU6HWILHOGVSUHVHQWLVGHWHUPLQHGE\WKHYDOXHVRIWKH/DVW%URDGFDVW

3DUDPHWHU6HWVXEILHOGVRIWKH5HTXHVW7\SHILHOGV





1RPLQDO
 7:7
 5HTXHVW 7DUJHW 7:7*URXS 0LQLPXP :DNH 7:7 1'3
:DNH 7:7 3DJLQJ
7\SH 7LPH $VVLJQPHQW ,QWHUYDO &KDQQHO
 :DNH
0DQWLVVD
RSWLRQDO
 'XUDWLRQ

 2FWHWV  RU RU    RU

 )LJXUHD²,QGLYLGXDO7:73DUDPHWHU6HWILHOGIRUPDW




 1RPLQDO
7:7
 5HTXHVW 7DUJHW 0LQLPXP :DNH %URDGFDVW
 :DNH 7:7
7\SH 7LPH :DNH ,QWHUYDO 7:7,QIR
 'XUDWLRQ
0DQWLVVD


2FWHWV     


 )LJXUHE²%URDGFDVW7:73DUDPHWHU6HWILHOGIRUPDW



&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 Change the 6th paragraph as follows:




7KHIRUPDWRIWKH5HTXHVW7\SHILHOGRIWKH,QGLYLGXDO7:73DUDPHWHU6HWILHOGLVVKRZQLQ)LJXUH 

 5HTXHVW7\SHILHOGIRUPDWLQDQ,QGLYLGXDO7:73DUDPHWHU6HWILHOG DQGRID%URDGFDVW7:73DUDPHWHU
 6HWILHOGLVVKRZQLQ)LJXUHD 5HTXHVW7\SHILHOGIRUPDWLQD%URDGFDVW7:73DUDPHWHU6HWILHOG 

 Change Figure 9-688 (Request Type field format in an Individual TWT Parameter Set field) as follows:


 % % % % % % % % % % %

 7:7:DNH
 7:7 7:76HWXS 5HVHUYHG )ORZ 7:7)ORZ 7:7
5HTXHVW &RPPDQG 7ULJJHU ,PSOLFLW 7\SH ,GHQWLILHU ,QWHUYDO 3URWHFWLRQ
 ([SRQHQW

 %LWV        

 )LJXUH²5HTXHVW7\SHILHOGIRUPDWLQDQ,QGLYLGXDO7:73DUDPHWHU6HWILHOG


 Insert a new Figure 9-688a (Request Type field format in a Broadcast TWT Parameter Set field) as
 follows:


 % % % % % % % % % % %

 /DVW %URDGFDVW
7:7:DNH
 7:7 7:76HWXS %URDGFDVW )ORZ 7:7
7ULJJHU ,QWHUYDO 5HVHUYHG
5HTXHVW &RPPDQG 3DUDPHWHU 7\SH 5HFRPPH
 6HW QGDWLRQ
([SRQHQW


%LWV        


 )LJXUHD²5HTXHVW7\SHILHOGIRUPDWLQD%URDGFDVW7:73DUDPHWHU6HWILHOG

 Change the 7th and 8th paragraphs as follows:


$67$WKDWWUDQVPLWVD7:7HOHPHQWZLWKWKH7:75HTXHVWVXEILHOGHTXDOWRLVD7:7UHTXHVWLQJ67$

 RU7:7VFKHGXOHG67$2WKHUZLVHLWLVD7:7UHVSRQGLQJ67$RU7:7VFKHGXOLQJ$3

 7KH7:76HWXS&RPPDQGVXEILHOGYDOXHVLQGLFDWHWKHW\SHRI7:7FRPPDQGDVVKRZQLQ7DEOHN
 7KHXVHRIWKH7:76HWXS&RPPDQGILHOGIRUWKHQHJRWLDWLRQRILQGLYLGXDODQGEURDGFDVW7:7LVGHVFULEHG

LQ7DEOH 7:76HWXS&RPPDQGILHOGYDOXHV 7KHHQWULHVLQWKHWDEOHDSSO\WRFDVHVZKHUHWKH1HJR

 WLDWLRQ7\SHVXEILHOGLVQRW)RU7:76HWXS&RPPDQGILHOGXVHZKHQWKH1HJRWLDWLRQ7\SHVXEILHOGLV
 VHH 1HJRWLDWLRQRIZDNH7%77DQGZDNHLQWHUYDO 


















 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 Change Table 9-297 (TWT Setup Command field values) as follows:





 7DEOH²7:76HWXS&RPPDQGILHOGYDOXHV


 'HVFULSWLRQZKHQ
7:76HWXS 'HVFULSWLRQZKHQWUDQVPLWWHGE\D7:7UHTXHVWLQJ
 &RPPDQG WUDQVPLWWHGE\D
&RPPDQG 67$
 QDPH 7:7UHVSRQGLQJ
ILHOGYDOXH 'HVFULSWLRQ
 67$

  5HTXHVW 7KH7DUJHW:DNH7LPHILHOGRIWKH7:7HOHPHQWFRQWDLQV 1$
 7:7 VDVWKH7:7UHVSRQGLQJ67$VSHFLILHVWKHWDUJHWZDNH
 WLPHYDOXHIRUWKLVFDVHRWKHU7:7SDUDPHWHUV DUH
 VXJJHVWHGE\WKH7:7UHTXHVWLQJ67$LQWKH7:7UHTXHVW

 $7:7UHTXHVWLQJRU7:7VFKHGXOHG67$UHTXHVWVWRMRLQ
 D7:7ZLWKRXWVSHFLI\LQJDWDUJHWZDNHWLPH

 7KLVFRPPDQGLVYDOLGLIWKH7:75HTXHVWILHOGLVHTXDOWR
 RWKHUZLVHWKHFRPPDQGLVQRWDSSOLFDEOH

  6XJJHVW 7:7UHTXHVWLQJ67$LQFOXGHVDVHWRI7:7SDUDPHWHUV 1$
 7:7 VXFKWKDWLIWKHUHTXHVWHGWDUJHWZDNHWLPHYDOXHDQGRU
 RWKHU7:7SDUDPHWHUVFDQQRWEHDFFRPPRGDWHGWKHQWKH
 7:7VHWXSPLJKWVWLOOEHDFFHSWHG

 $7:7UHTXHVWLQJRU7:7VFKHGXOHG67$UHTXHVWVWRMRLQ
 D7:7DQGVSHFLILHVDVXJJHVWHGVHWRI7:7SDUDPHWHUV
 ZLWKWKHSRVVLELOLW\WKDWLIWKHUHTXHVWHGWDUJHWZDNHWLPH
 DQGRURWKHU7:7SDUDPHWHUVFDQQRWEHDFFRPPRGDWHG
 WKHQWKH7:7VHWXSPLJKWVWLOOEHDFFHSWHGE\WKH7:7
 UHTXHVWLQJRU7:7VFKHGXOHG67$

 7KLVFRPPDQGLVYDOLGLIWKH7:75HTXHVWILHOGLVHTXDOWR
 RWKHUZLVHLWLVQRWDSSOLFDEOH

  'HPDQG 7:7UHTXHVWLQJ67$LQFOXGHVDVHWRI7:7SDUDPHWHUV 1$
 7:7 VXFKWKDWLIWKHUHTXHVWHGWDUJHWZDNHWLPHYDOXHDQGRU
 RWKHU7:7SDUDPHWHUVFDQQRWEHDFFRPPRGDWHGWKHQWKH
 7:7VHWXSZLOOEHUHMHFWHG

 $7:7UHTXHVWLQJRU7:7VFKHGXOHG67$UHTXHVWVWRMRLQ
 D7:7DQGVSHFLILHVDGHPDQGHGVHWRI7:7SDUDPHWHUV,I
 WKHGHPDQGHGVHWRI7:7SDUDPHWHUVLVQRWDFFRPPRGDWHG
 E\WKHUHVSRQGLQJ67$RU7:7VFKHGXOLQJ$3WKHQWKH
 7:7UHTXHVWLQJ67$RU7:7VFKHGXOHG67$ZLOOUHMHFW
 WKH7:7VHWXS

 7KLVFRPPDQGLVYDOLGLIWKH7:75HTXHVWILHOGLVHTXDOWR
 RWKHUZLVHLWLVQRWDSSOLFDEOH

  7:7 1$ 7:7UHVSRQGLQJ
 *URXSLQJ 67$VXJJHVWV7:7
 7KH7:7UHVSRQGLQJ67$VXJJHVWV7:7JURXSSDUDPHWHUV JURXSSDUDPHWHUV
 WKDWDUHGLIIHUHQWIURPWKHVXJJHVWHGRUGHPDQGHG7:7 WKDWDUHGLIIHUHQW
 SDUDPHWHUVRIWKH7:7UHTXHVWLQJ67$ IURPWKHVXJJHVWHGRU
 GHPDQGHG7:7
 7KLVFRPPDQGLVYDOLGLIWKH7:75HTXHVWILHOGLVWKH SDUDPHWHUVRIWKH
 1HJRWLDWLRQ7\SHVXEILHOGLVDQGLVVHQWE\DQ6*67$ 7:7UHTXHVWLQJ
 RWKHUZLVHQRWDSSOLFDEOH 67$




&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²7:76HWXS&RPPDQGILHOGYDOXHV(continued)


  $FFHSW 1$ 7:7UHVSRQGLQJ
 7:7 67$DFFHSWVWKH
 $7:7UHVSRQGLQJ67$RU7:7VFKHGXOLQJ$3DFFHSWVWKH 7:7UHTXHVWZLWK
 7:7UHTXHVWZLWKWKH7:7SDUDPHWHUV VHH127(  WKH7:7SDUDPHWHUV
 LQGLFDWHGLQWKH7:7HOHPHQWWUDQVPLWWHGE\WKH7:7 6HH127( 
 UHTXHVWLQJ67$RU7:7VFKHGXOHG67$7KLVYDOXHLVDOVR LQGLFDWHGLQWKH7:7
 XVHGLQXQVROLFLWHG7:7UHVSRQVHV HOHPHQWWUDQVPLWWHG
 E\WKHUHVSRQGLQJ
 7KLVFRPPDQGLVYDOLGLIWKH7:75HTXHVWILHOGLV 67$
 RWKHUZLVHQRWDSSOLFDEOH

  $OWHUQDWH 1$ 7:7UHVSRQGLQJ
 7:7 67$VXJJHVWV7:7
 $7:7UHVSRQGLQJ67$RU7:7VFKHGXOLQJ$3VXJJHVWV SDUDPHWHUVWKDWDUH
 7:7SDUDPHWHUVWKDWDUHGLIIHUHQWIURPWKRVHVXJJHVWHGE\ GLIIHUHQWIURP7:7
 WKH7:7UHTXHVWLQJ67$RU7:7VFKHGXOHG67$ UHTXHVWLQJ67$
 VXJJHVWHGRU
 7KLVFRPPDQGLVYDOLGLIWKH7:75HTXHVWILHOGLV GHPDQGHG7:7
 RWKHUZLVHQRWDSSOLFDEOH SDUDPHWHUV

  'LFWDWH 1$ 7:7UHVSRQGLQJ
 7:7 $7:7UHVSRQGLQJ67$RU7:7VFKHGXOLQJ$3LQGLFDWHV 67$GHPDQGV7:7
 7:7SDUDPHWHUVWKDWDUHGLIIHUHQWIURPWKRVHVXJJHVWHGE\ SDUDPHWHUVWKDWDUH
 WKH7:7UHTXHVWLQJ67$RU7:7VFKHGXOHG67$ GLIIHUHQWIURP7:7
 UHTXHVWLQJ67$
 7KLVFRPPDQGLVYDOLGLIWKH7:75HTXHVWILHOGLV 7:7VXJJHVWHGRU
 RWKHUZLVHQRWDSSOLFDEOH GHPDQGHG
 SDUDPHWHUV


  5HMHFW 1$ 7:7UHVSRQGLQJ
 7:7 $7:7UHVSRQGLQJ67$RU7:7VFKHGXOLQJ$3UHMHFWV 67$UHMHFWV7:7
 VHWXSRUD7:7VFKHGXOLQJ$3WHUPLQDWHVDQH[LVWLQJ VHWXS
 EURDGFDVW7:7RUD7:7VFKHGXOHG67$WHUPLQDWHVLWV
 PHPEHUVKLSLQDEURDGFDVW7:7

 127(²7:73DUDPHWHUVDUH7:71RPLQDO0LQLPXP:DNH'XUDWLRQ7:7:DNH,QWHUYDODQG7:7&KDQQHO
 VXEILHOGYDOXHVLQGLFDWHGLQWKH7:7HOHPHQW7KH7ULJJHUVXEILHOGYDOXHLQGLFDWHGLQWKH7:7HOHPHQWLVDOVRD
 7:7SDUDPHWHUIRUDQ+(67$


 Insert the following paragraph after the 8th paragraph (“The TWT Setup Command subfield…”):


 7KH 7ULJJHU ILHOG LQGLFDWHV ZKHWKHU RU QRW WKH 7:7 63 LQGLFDWHG E\ WKH 7:7 HOHPHQW LQFOXGHV 7ULJJHU
 IUDPHVRUIUDPHVFDUU\LQJD756&RQWUROVXEILHOGDVGHILQHGLQ 7:7RSHUDWLRQ 7KH7ULJJHUILHOGLV
 VHWWRWRLQGLFDWHWKDWDWOHDVWRQH7ULJJHUIUDPHRUIUDPHFDUU\LQJD756&RQWUROVXEILHOGLVWUDQVPLWWHG
 GXULQJWKH7:7637KH7ULJJHUILHOGLVVHWWRRWKHUZLVH


 Change paragraphs 9-12 as follows:

 :KHQWUDQVPLWWHGE\D7:7UHTXHVWLQJ67$W7KH,PSOLFLWVXEILHOGLVVHWWRWRUHTXHVWLQGLFDWHDQLPSOLFLW


7:7DQGLVVHWWRWRLQGLFDWHDQH[SOLFLW7:7

 :KHQWUDQVPLWWHGE\D7:7UHTXHVWLQJ67$WKH,PSOLFLWVXEILHOGLVVHWWRWRUHTXHVWDQH[SOLFLW7:7


7KH/DVW%URDGFDVW3DUDPHWHU6HWVXEILHOGLVVHWWRWRLQGLFDWHWKDWDQRWKHUEURDGFDVW7:73DUDPHWHUVHW

 IROORZVWKLVVHW7KH/DVW%URDGFDVW3DUDPHWHU6HWVXEILHOGLVVHWWRWRLQGLFDWHWKDWWKLVLVWKHODVWEURDGFDVW
 7:73DUDPHWHUVHWLQWKHEURDGFDVW7:7HOHPHQW

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KH)ORZ7\SHVXEILHOGLQGLFDWHVWKHW\SHRILQWHUDFWLRQEHWZHHQWKH7:7UHTXHVWLQJ67$RU7:7VFKHG
 XOHG67$DQGWKH7:7UHVSRQGLQJ67$RU7:7VFKHGXOLQJ$3DWD7:76HWWLQJWKH)ORZ7\SHVXEILHOG 

WRLQGLFDWHVDQDQQRXQFHG7:7LQZKLFKWKH7:7UHTXHVWLQJ67$RU7:7VFKHGXOHG67$ZLOOVHQGD

 363ROORUDQ$36'WULJJHUIUDPH VHH 3RZHUPDQDJHPHQWZLWK$36' WRVLJQDOLWVDZDNHVWDWH
 WRWKH7:7UHVSRQGLQJ67$RU7:7VFKHGXOLQJ$3EHIRUHDIUDPHWKDWLVQRWD7ULJJHUIUDPHLVVHQWIURP 
 WKH7:7UHVSRQGLQJ67$RU7:7VFKHGXOLQJ$3WRWKH7:7UHTXHVWLQJ67$RU7:7VFKHGXOHG67$6HW
 WLQJ WKH )ORZ 7\SH VXEILHOG WR  LQGLFDWHV DQ XQDQQRXQFHG 7:7 LQ ZKLFK WKH 7:7 UHVSRQGLQJ 67$ RU

7:7VFKHGXOLQJ$3ZLOOVHQGDIUDPHWRWKH7:7UHTXHVWLQJ67$RU7:7VFKHGXOHG67$DW7:7ZLWKRXW

 ZDLWLQJWRUHFHLYHD363ROORUDQ$36'WULJJHUIUDPHIURPWKH7:7UHTXHVWLQJ67$RU7:7VFKHGXOHG 
 67$

 127(²7KH7:7UHTXHVWLQJ67$LVH[SHFWHGWRVHQGWKH363ROORU$36'WULJJHUIUDPHLQUHVSRQVHWRD7ULJJHUIUDPH
 LIWKH7:7LVDWULJJHUHQDEOHG7:7

 7KH7:7)ORZ,GHQWLILHUVXEILHOGFRQWDLQVDELWYDOXHZKLFKWKDWLGHQWLILHVWKHVSHFLILFLQIRUPDWLRQIRU
 WKLV 7:7 UHTXHVW XQLTXHO\ IURP RWKHU UHTXHVWV PDGH EHWZHHQ WKH VDPH 7:7 UHTXHVWLQJ 67$ DQG 7:7

 UHVSRQGLQJ67$SDLU7KH%URDGFDVW7:75HFRPPHQGDWLRQVXEILHOGFRQWDLQVDYDOXHWKDWLQGLFDWHVUHFRP

PHQGDWLRQVRQWKHW\SHVRIIUDPHVWKDWDUHWUDQVPLWWHGE\7:7VFKHGXOHG67$VDQGVFKHGXOLQJ$3GXULQJ

 WKHEURDGFDVW7:763HQFRGHGDFFRUGLQJWRWKH%URDGFDVW7:75HFRPPHQGDWLRQILHOGIRUDEURDGFDVW
 7:7HOHPHQWDVGHILQHGLQ7DEOHD %URDGFDVW7:75HFRPPHQGDWLRQILHOGIRUDEURDGFDVW7:7HOH
 PHQW 7KH%URDGFDVW7:75HFRPPHQGDWLRQLVUHVHUYHGLIWUDQVPLWWHGE\D7:7VFKHGXOHG67$


 Insert a new table as follows:


 7DEOHD²%URDGFDVW7:75HFRPPHQGDWLRQILHOGIRUDEURDGFDVW7:7HOHPHQW


 %URDGFDVW7:7
 5HFRPPHQGDWLRQ 'HVFULSWLRQZKHQWUDQVPLWWHGLQDEURDGFDVW7:7HOHPHQW
 ILHOGYDOXH

  1RFRQVWUDLQWVRQWKHIUDPHVWUDQVPLWWHGGXULQJDEURDGFDVW7:763

  )UDPHVWUDQVPLWWHGGXULQJDEURDGFDVW7:763E\D7:7VFKHGXOHG67$DUHUHFRPPHQGHG
 WREHOLPLWHGWRVROLFLWHGVWDWXVDQGVROLFLWHGIHHGEDFN

 ² 363ROODQG4R61XOOIUDPHV
 ² )HHGEDFNFDQEHFRQWDLQHGLQWKH4R6&RQWUROILHOGRULQWKH+(YDULDQW+7&RQWURO
 ILHOGRIWKHIUDPHLIHLWKHULVSUHVHQW VHH 8/08RSHUDWLRQ  2SHUDW
 LQJPRGHLQGLFDWLRQ  /LQNDGDSWDWLRQXVLQJWKH+/$&RQWUROVXEILHOG HWF
 ² )HHGEDFNLQDQ+(7%IHHGEDFN1'3LIVROLFLWHGE\WKH$3 VHH 1'3IHHG

EDFNUHSRUWSURFHGXUH

 ² %45V VHH 8/08RSHUDWLRQ
 ² %65V VHH 08FDVFDGLQJVHTXHQFH
 ² )UDPHVWKDWDUHVHQWDVSDUWRIDVRXQGLQJIHHGEDFNH[FKDQJH VHH +(VRXQG

LQJSURWRFRO

 ² 0DQDJHPHQWIUDPHV$FWLRQRU$FWLRQ1R$FNIUDPHV
 ² &RQWUROUHVSRQVHIUDPHV
 7ULJJHUIUDPHVWUDQVPLWWHGE\WKH7:7VFKHGXOLQJ$3GXULQJWKHEURDGFDVW7:763GRQRW
 FRQWDLQ58VIRUUDQGRPDFFHVV VHH 5XOHVIRU7:7VFKHGXOLQJ$3 DQG 8/
 2)'0$EDVHGUDQGRPDFFHVV 825$ RWKHUZLVHWKHUHDUHQRRWKHUUHVWULFWLRQVRQWKH
 IUDPHVWUDQVPLWWHGE\WKH7:7VFKHGXOLQJ$3







&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOHD²%URDGFDVW7:75HFRPPHQGDWLRQILHOGIRUDEURDGFDVW7:7HOHPHQW


  )UDPHVWUDQVPLWWHGGXULQJDEURDGFDVW7:763E\D7:7VFKHGXOHG67$DUHUHFRPPHQGHG
 WREHOLPLWHGWRVROLFLWHGVWDWXVDQGVROLFLWHGIHHGEDFN
 ² 363ROODQG4R61XOOIUDPHV

² )HHGEDFNFDQEHFRQWDLQHGLQWKH4R6&RQWUROILHOGRULQWKH+(YDULDQW+7&RQWURO

 ILHOGRIWKHIUDPHLIHLWKHULVSUHVHQW VHH 8/08RSHUDWLRQ  2SHUDW
 LQJPRGHLQGLFDWLRQ  /LQNDGDSWDWLRQXVLQJWKH+/$&RQWUROVXEILHOG HWF
 ² %45V VHH 8/08RSHUDWLRQ
 ² %65V VHH 08FDVFDGLQJVHTXHQFH

 ² )UDPHVWKDWDUHVHQWDVSDUWRIDVRXQGLQJIHHGEDFNH[FKDQJH VHH +(VRXQG
 LQJSURWRFRO
 ² 0DQDJHPHQWIUDPHV$FWLRQ$FWLRQ1R$FNIUDPHVRU 5H $VVRFLDWLRQ5HTXHVW
 ² &RQWUROUHVSRQVHIUDPHV

 7ULJJHUIUDPHVWUDQVPLWWHGE\WKH7:7VFKHGXOLQJ$3GXULQJWKHEURDGFDVW7:763FRQ
 WDLQDWOHDVWRQH58IRUUDQGRPDFFHVV VHH 5XOHVIRU7:7VFKHGXOLQJ$3 DQG
  8/2)'0$EDVHGUDQGRPDFFHVV 825$ RWKHUZLVHWKHUHDUHQRUHVWULFWLRQVRQ
 WKHIUDPHVWUDQVPLWWHGE\WKH7:7VFKHGXOLQJ$3

  1RFRQVWUDLQWVRQWKHIUDPHVWUDQVPLWWHGGXULQJDEURDGFDVW7:763H[FHSWWKDWWKH$3
 WUDQVPLWVD7,0IUDPHRUD),/6'LVFRYHU\IUDPHLQFOXGLQJD7,0HOHPHQWDWWKHEHJLQQLQJ
 RIHDFK7:763 VHH $3RSHUDWLRQIRURSSRUWXQLVWLFSRZHUVDYH 

  5HVHUYHG



 Change the 13th and 14th paragraphs as follows:


,QD 7:7HOHPHQWWUDQVPLWWHGE\ D7:7 UHTXHVWLQJRU 7:7 VFKHGXOHG 67$ WKH 7:7ZDNHLQWHUYDO LV

 HTXDOWRWKHDYHUDJHWLPHWKDWWKH7:7UHTXHVWLQJ67$H[SHFWVWRHODSVHEHWZHHQVXFFHVVLYH7:763VVWDUW
 WLPHV VHH7DEOHD ,QWHUSUHWDWLRQRI1HJRWLDWLRQ7\SHVXEILHOG7DUJHW:DNH7LPH7:7:DNH,QWHU
 YDO0DQWLVVDDQG7:7:DNH,QWHUYDO([SRQHQWILHOGV ,QD7:7HOHPHQWWUDQVPLWWHGE\D7:7UHVSRQG
 LQJ 67$ RU 7:7 VFKHGXOLQJ $3 WKH 7:7 ZDNH LQWHUYDO LV HTXDO WR WKH DYHUDJH WLPH WKDW WKH 7:7


UHVSRQGLQJ67$H[SHFWVWRHODSVHEHWZHHQVXFFHVVLYH7:763VVWDUWWLPHV,QD7:7HOHPHQWFRQWDLQHGLQ

 D7:7UHTXHVWWKDWLVVHQWE\WKH7:7VFKHGXOHG67$WRQHJRWLDWHLWVZDNHLQWHUYDOVWKH7:7ZDNHLQWHU
 YDOLQGLFDWHVWKHYDOXHRIWKHZDNHLQWHUYDO VHH 1HJRWLDWLRQRIZDNH7%77DQGZDNHLQWHUYDO 7KH
 7:7:DNH,QWHUYDO([SRQHQWVXEILHOGLVVHWWRWKHYDOXHRIWKHH[SRQHQWRIWKH7:7ZDNHLQWHUYDOYDOXHLQ 
 PLFURVHFRQGV EDVH  7KH 7:7 ZDNH LQWHUYDO RI WKH UHTXHVWLQJ 67$ LV HTXDO WR 7:7 :DNH ,QWHUYDO

0DQWLVVD î 7:7:DNH,QWHUYDO([SRQHQW 


 :KHQ,IWUDQVPLWWHGE\D7:7UHTXHVWLQJ67$RUD7:7VFKHGXOHG67$DQGWKH7:76HWXS&RPPDQG 
 VXEILHOG FRQWDLQV D YDOXH FRUUHVSRQGLQJ WR WKH FRPPDQG 6XJJHVW 7:7 RU 'HPDQG 7:7 WKH 7DUJHW

:DNH 7LPH ILHOGFRQWDLQV DSRVLWLYHDQXQVLJQHGLQWHJHUFRUUHVSRQGLQJ WRD 76)WLPH DWZKLFK WKH67$ 

 UHTXHVWV WR ZDNH RU  ZKHQ WKH 7:7 6HWXS &RPPDQG VXEILHOG FRQWDLQV WKH YDOXH FRUUHVSRQGLQJ WR WKH
 FRPPDQG ³5HTXHVW 7:7´ ,I WUDQVPLWWHG E\ D 7:7 UHTXHVWLQJ 67$ RU D 7:7 VFKHGXOHG 67$ DQG WKH
 7:76HWXS&RPPDQGVXEILHOGFRQWDLQVWKHYDOXHFRUUHVSRQGLQJWRWKHFRPPDQG5HTXHVW7:7WKH7DU
 JHW:DNH7LPHILHOGFRQWDLQVWKHYDOXH7KH7DUJHW:DNH7LPHILHOGLVRFWHWVLIWKH%URDGFDVWILHOGLV

RWKHUZLVHLWLVRFWHWVZLWKWKHORZHVWELWRIWKHRFWHWVFRUUHVSRQGLQJWRELWRIWKHUHOHYDQW76)YDOXH

 :KHQ,ID7:7UHVSRQGLQJ67$ZLWKGRW7:7*URXSLQJ6XSSRUWHTXDOWRWUDQVPLWVD7:7HOHPHQWWR 
 WKH7:7UHTXHVWLQJ67$WKH7:7HOHPHQWFRQWDLQVDYDOXHLQWKH7DUJHW:DNH7LPHILHOGFRUUHVSRQGLQJ 
 WRD76)WLPHDWZKLFKWKH7:7UHVSRQGLQJ67$UHTXHVWVWKH7:7UHTXHVWLQJ67$WRZDNHIRUWKHFRUUH
 VSRQGLQJ7:763DQGLWGRHVQRWFRQWDLQWKH7:7*URXS$VVLJQPHQWILHOG


 Insert the following paragraphs and figure after paragraph 21 (“The TWT Wake Interval Mantissa…”):

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KH%URDGFDVW7:7,QIRVXEILHOGLVGHILQHGLQ)LJXUHD %URDGFDVW7:7,QIRVXEILHOGIRUPDW 


 %% %% %%

 %URDGFDVW7:7
5HVHUYHG %URDGFDVW7:7,'
 3HUVLVWHQFH

 %LWV   

 )LJXUHD²%URDGFDVW7:7,QIRVXEILHOGIRUPDW


 :LWKLQ D 7:7 HOHPHQW WKDW LQFOXGHV D 7:7 VHWXS FRPPDQG YDOXH RI 5HTXHVW 7:7 6XJJHVW 7:7 RU
 'HPDQG7:7WKH%URDGFDVW7:7,'LISUHVHQWLQGLFDWHVDVSHFLILF%URDGFDVW7:7LQZKLFKWKHWUDQVPLW
 WLQJ67$LVUHTXHVWLQJWRSDUWLFLSDWH:LWKLQD7:7HOHPHQWWKDWLQFOXGHVD7:7VHWXSFRPPDQGYDOXHRI
 $FFHSW7:7$OWHUQDWH7:7'LFWDWH7:7RU5HMHFW7:7WKH%URDGFDVW7:7,'LISUHVHQWLQGLFDWHVD

 VSHFLILF%URDGFDVW7:7IRUZKLFKWKHWUDQVPLWWLQJ67$LVSURYLGLQJ7:7SDUDPHWHUV:LWKLQD7:7HOH
 PHQW WKDW LQFOXGHV D 7:7 VHWXS FRPPDQG YDOXH RI 7:7 *URXSLQJ WKH %URDGFDVW VXEILHOG LV  DQG WKH
 %URDGFDVW7:7,'LVQRWSUHVHQW7KHYDOXHLQWKH%URDGFDVW7:7,'VXEILHOGLQGLFDWHVWKHEURDGFDVW
 7:7ZKRVHPHPEHUVKLSFRUUHVSRQGVWRDOO67$VWKDWDUHPHPEHUVRIWKH%66FRUUHVSRQGLQJWRWKH%66,' 
 RIWKH0DQDJHPHQWIUDPHFDUU\LQJWKH7:7HOHPHQWDQGWKDWLVSHUPLWWHGWRFRQWDLQ7ULJJHUIUDPHVZLWK 

 5$58VIRUXQDVVRFLDWHG67$V

 7KH%URDGFDVW7:73HUVLVWHQFHVXEILHOGLQGLFDWHVWKHQXPEHURI7%77VGXULQJZKLFKWKH%URDGFDVW7:7 
 63VFRUUHVSRQGLQJWRWKLVEURDGFDVW7:73DUDPHWHUVHWDUHSUHVHQW7KHQXPEHURIEHDFRQLQWHUYDOVGXULQJ 


ZKLFKWKH%URDGFDVW7:763VDUHSUHVHQWLVHTXDOWRWKHYDOXHLQWKH%URDGFDVW7:73HUVLVWHQFHVXEILHOG 
 SOXVH[FHSWWKDWWKHYDOXHLQGLFDWHVWKDWWKH%URDGFDVW7:763VDUHSUHVHQWXQWLOH[SOLFLWO\WHUPLQDWHG

 Change the 20th paragraph as follows:


 7KH1RPLQDO0LQLPXP7:7:DNH'XUDWLRQILHOGLQGLFDWHVWKHPLQLPXPDPRXQWRIWLPHLQWKHXQLWVRI
 —VLQGLFDWHGE\WKH:DNH'XUDWLRQ8QLWVXEILHOGWKDWWKH7:7UHTXHVWLQJ67$RU7:7VFKHGXOHG67$ 
 LVH[SHFWHGH[SHFWVWKDWLWQHHGVWREHDZDNHLQRUGHUWRFRPSOHWHWKHIUDPHH[FKDQJHVDVVRFLDWHGZLWKWKH
 7:7IORZLGHQWLILHUIRUWKHSHULRGRI7:7ZDNHLQWHUYDOZKHUH7:7ZDNHLQWHUYDOLVWKHDYHUDJHWLPHWKDW

 WKH7:7UHTXHVWLQJ67$RU7:7VFKHGXOHG67$H[SHFWVWRHODSVHEHWZHHQVXFFHVVLYH7:763V

 Change the 22nd and subsequent two paragraphs as follows:


 :KHQWUDQVPLWWHGE\D7:7UHTXHVWLQJ67$WKH7:7&KDQQHOILHOGFRQWDLQVDELWPDSLQGLFDWLQJZKLFK 
 FKDQQHOWKH67$UHTXHVWVWRXVHDVDWHPSRUDU\SULPDU\FKDQQHOGXULQJD7:763:KHQWUDQVPLWWHGE\D
 7:7 UHVSRQGLQJ 67$ WKH 7:7 &KDQQHO ILHOG FRQWDLQV D ELWPDS LQGLFDWLQJ ZKLFK FKDQQHO WKH 7:7 
 UHTXHVWLQJ 67$ LV DOORZHG WR XVH DV D WHPSRUDU\ FKDQQHO GXULQJ WKH 7:7 63 7KH 7:7 &KDQQHO ILHOG

LQFOXGHVDELWPDSWKDWSURYLGHVWKHFKDQQHOWKDWLVEHLQJQHJRWLDWHGE\D67$DVDWHPSRUDU\FKDQQHOGXULQJ 

 D7:763(DFKELWLQWKHELWPDSFRUUHVSRQGVWRRQHPLQLPXPZLGWKFKDQQHOIRUWKHEDQGLQZKLFKWKH
 7:7UHVSRQGLQJ67$
VDVVRFLDWHG%66LVFXUUHQWO\RSHUDWLQJZLWKWKHOHDVWVLJQLILFDQWELWFRUUHVSRQGLQJWR 
 WKHORZHVWQXPEHUHGFKDQQHORIWKHRSHUDWLQJFKDQQHOVRIWKH%66,QDQ6*%66WKH7KHPLQLPXPZLGWK 
 FKDQQHOLVHTXDOWRWKH667&KDQQHO8QLWILHOGRIWKH6672SHUDWLRQHOHPHQWLIVXFKDQHOHPHQWKDVEHHQ 

SUHYLRXVO\UHFHLYHGRULVHTXDOWR0+]IRUD%66ZLWKD%66SULPDU\FKDQQHOZLGWKRI0+]DQG0+]

 IRUD%66ZLWKD%66SULPDU\FKDQQHOZLGWKRI0+]LIQRVXFKHOHPHQWKDVEHHQSUHYLRXVO\UHFHLYHGIURP 
 WKH$3WRZKLFKWKH66767$LVDVVRFLDWHG,QDQ+(%66WKHPLQLPXPZLGWKFKDQQHOLVHTXDOWR0+]
 $YDOXHRILQDELWSRVLWLRQLQWKHELWPDSWUDQVPLWWHGE\D7:7UHTXHVWLQJ67$PHDQVWKDWRSHUDWLRQZLWK 
 WKDWFKDQQHODVWKHSULPDU\WHPSRUDU\FKDQQHOLVUHTXHVWHGGXULQJD7:763$YDOXHRILQDELWSRVLWLRQ 

LQWKHELWPDSWUDQVPLWWHGE\D7:7UHVSRQGLQJ67$PHDQVWKDWRSHUDWLRQZLWKWKDWFKDQQHODVWKHSULPDU\ 

 WHPSRUDU\ FKDQQHO LV DOORZHG GXULQJ WKH 7:7 63 7KH 7:7 &KDQQHO ILHOG LV XVHG E\ DQ 6* 67$ DV
 GHILQHGLQ 6XEFKDQQHO6HOHFWLYH7UDQVPLVVLRQ 667 DQGLVXVHGE\DQ+(67$DVGHILQHGLQ

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 +(VXEFKDQQHOVHOHFWLYHWUDQVPLVVLRQ ,IWKH7:7FKDQQHOILHOGLVWKHQWKH67$RSHUDWHVDVGHILQHLQ

  7DUJHWZDNHWLPH 7:7 RU ,QGLYLGXDO7:7DJUHHPHQWV 


 $7:7UHTXHVWLQJ67$VHWVWKH7:73URWHFWLRQVXEILHOGWRWRUHTXHVWWKH7:7UHVSRQGLQJ67$WRSUR
 YLGHSURWHFWLRQRIWKHVHWRI7:7 63VFRUUHVSRQGLQJ WR WKH UHTXHVWHG 7:7 IORZ LGHQWLILHUE\DOORFDWLQJ
 5$: V WKDWUHVWULFWDFFHVVWRWKHPHGLXPGXULQJWKH7:763 V IRUWKDW WKRVH 7:7V$7:7UHTXHVWLQJ 
 67$VHWVWKH7:73URWHFWLRQVXEILHOGWRLI7:7SURWHFWLRQE\5$:DOORFDWLRQLVQRWUHTXHVWHGIRUWKH

FRUUHVSRQGLQJ7:7 V 


 $7:7UHTXHVWLQJ67$VHWVWKH7:73URWHFWLRQVXEILHOGWRWRUHTXHVWWKH7:7UHVSRQGLQJ67$WRSUR
 YLGHSURWHFWLRQRIWKHVHWRI7:763VFRUUHVSRQGLQJWRWKHUHTXHVWHG7:7IORZLGHQWLILHUE\

 ² $OORFDWLQJ5$: V WKDWUHVWULFWDFFHVVWRWKHPHGLXPGXULQJWKH7:763 V IRUWKH7:7VWKDWDUH
 VHWXSZLWKLQDQ6*%66
 ² (QDEOLQJ1$9SURWHFWLRQGXULQJWKH7:763 V IRUWKH7:7VWKDWDUHVHWXSZLWKLQDQ+(%66


 $7:7UHTXHVWLQJ67$VHWVWKH7:73URWHFWLRQVXEILHOGWRLI7:7SURWHFWLRQLVQRWUHTXHVWHGIRUWKH
 FRUUHVSRQGLQJ7:7 V 

 :KHQWUDQVPLWWHGE\D7:7UHVSRQGLQJ67$WKDWLVDQ$3WKH7:73URWHFWLRQVXEILHOGLQGLFDWHVZKHWKHU

WKH7:763 V LGHQWLILHGLQWKH7:7HOHPHQWZLOOEHSURWHFWHG$7:7UHVSRQGLQJ67$VHWVWKH7:73UR

 WHFWLRQVXEILHOGWRWRLQGLFDWHWKDWWKH7:763 V FRUUHVSRQGLQJWRWKH7:7IORZLGHQWLILHU V RIWKH7:7 
 HOHPHQWZLOOEHSURWHFWHGE\DOORFDWLQJ5$: V WKDWUHVWULFWDFFHVVWRWKHPHGLXPGXULQJWKH7:763 V IRU
 WKDW WKRVH  7:7 V  $ 7:7 UHVSRQGLQJ 67$ VHWV WKH 7:7 3URWHFWLRQ VXEILHOG WR  WR LQGLFDWH WKDW WKH
 7:763 V LGHQWLILHGLQWKH7:7HOHPHQWPLJKWQRWEHSURWHFWHGIURP7,067$VE\DOORFDWLQJ5$: V 


 $7:7UHVSRQGLQJ67$RU7:7VFKHGXOLQJ$3VHWVWKH7:73URWHFWLRQVXEILHOGWRWRLQGLFDWHWKDWWKH
 7:763 V FRUUHVSRQGLQJWRWKH7:7IORZLGHQWLILHU V RIWKH7:7HOHPHQWZLOOEHSURWHFWHGE\
 ² $OORFDWLQJ5$: V WKDWUHVWULFWDFFHVVWRWKHPHGLXPGXULQJWKH7:763 V IRUWKH7:7VZKHUHWKH

 7:7UHVSRQGLQJ67$LVDQ6*67$
 ² (QDEOLQJ1$9SURWHFWLRQGXULQJWKH7:763 V IRUWKH7:7VZKHUHWKH7:7UHVSRQGLQJ67$LV
 DQ+(67$


 $7:7UHVSRQGLQJ67$VHWVWKH7:73URWHFWLRQVXEILHOGWRWRLQGLFDWHWKDWWKH7:763 V LGHQWLILHGLQ

 WKH7:7HOHPHQWPLJKWQRWEHSURWHFWHG

 Insert the following new subclauses after the last subclause in 9.4.2:


 +(&DSDELOLWLHVHOHPHQW

 *HQHUDO


$Q+(67$GHFODUHVWKDWLWLVDQ+(67$E\WUDQVPLWWLQJWKH+(&DSDELOLWLHVHOHPHQW















 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KH+(&DSDELOLWLHVHOHPHQWFRQWDLQVDQXPEHURIILHOGVWKDWDUHXVHGWRDGYHUWLVHWKH+(FDSDELOLWLHVRIDQ 
 +(67$7KH+(&DSDELOLWLHVHOHPHQWLVGHILQHGLQ)LJXUHD +(&DSDELOLWLHVHOHPHQWIRUPDW 




 +(0$& +(3+< 6XSSRUWHG 33(
 (OHPHQW,'
(OHPHQW,' /HQJWK ([WHQVLRQ &DSDELOLWLHV &DSDELOLWLHV +(0&6$QG 7KUHVKROGV
 ,QIRUPDWLRQ ,QIRUPDWLRQ 1666HW RSWLRQDO

 2FWHWV      RU YDULDEOH

 )LJXUHD²+(&DSDELOLWLHVHOHPHQWIRUPDW


 7KH(OHPHQW,'/HQJWKDQG(OHPHQW,'([WHQVLRQILHOGVDUHGHILQHGLQ *HQHUDO 

 7KH+(0$&&DSDELOLWLHV,QIRUPDWLRQ+(3+<&DSDELOLWLHV,QIRUPDWLRQ6XSSRUWHG+(0&6$QG166 
 6HWDQG33(7KUHVKROGVILHOGVDUHGHILQHGLQWKHVXEFODXVHVEHORZ


 +(0$&&DSDELOLWLHV,QIRUPDWLRQILHOG

 7KHIRUPDWRIWKH+(0$&&DSDELOLWLHV,QIRUPDWLRQILHOGLVGHILQHGLQ)LJXUHE +(0$&&DSDELOL
 WLHV,QIRUPDWLRQILHOGIRUPDW 


 % % % % % % % % % %% %%

 0D[LPXP
 1XPEHU2I 7ULJJHU
7:7 7:7 '\QDPLF 0LQLPXP 0XOWL7,'
 +7&+( 5HTXHVWHU 5HVSRQGHU )UDJPHQWDWLRQ )UDJPHQWHG )UDJPHQW )UDPH0$& $JJUHJDWLRQ
 6XSSRUW 06'8V$ 3DGGLQJ
6XSSRUW 6XSSRUW 6XSSRUW 06'8V 6L]H 'XUDWLRQ 5[6XSSRUW
 ([SRQHQW


%LWV        



 %% % % % % % % %

 $FN
+(/LQN %URDGFDVW ELW%$ 08
 $GDSWDWLRQ
$OO$FN 756 %65
7:7 %LWPDS &DVFDGLQJ
(QDEOHG
 6XSSRUW 6XSSRUW 6XSSRUW $JJUHJDWLRQ
6XSSRUW 6XSSRUW 6XSSRUW 6XSSRUW
6XSSRUW


 %LWV        


 % % % %% % % % %

 0D[LPXP
 )OH[LEOH %653
20 2)'0$ $03'8 $06'8 5[&RQWURO
7:7 %453$
 5HVHUYHG &RQWURO 5$ /HQJWK )UDJPHQWDWLRQ
6FKHGXOH
)UDPH7R
03'8
 6XSSRUW 6XSSRUW ([SRQHQW 6XSSRUW 6XSSRUW 0XOWL%66 $JJUHJDWLRQ
([WHQVLRQ


 %LWV        








&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU


 % % % % % % %%

 $06'8
 1'3 1RW8QGHU
473 %45 365 )HHGEDFN 236 %$,Q$FN 0XOWL7,'
 6XSSRUW 6XSSRUW 5HVSRQGHU 5HSRUW 6XSSRUW (QDEOHG$
$JJUHJDWLRQ
 7[6XSSRUW
6XSSRUW 03'8
 6XSSRUW

 %LWV       



% % % % % %


 +7$QG
+(6XEFKDQQHO 20&RQWURO 9+7
 6HOHFWLYH
8/î
8/08'DWD
+('\QDPLF 3XQFWXUHG
7ULJJHU
 7UDQVPLVVLRQ WRQH58 'LVDEOH5; 603RZHU 6RXQGLQJ )UDPH
6XSSRUW 6DYH 6XSSRUW
 6XSSRUW 6XSSRUW 5;
 6XSSRUW

 %LWV      

 )LJXUHE²+(0$&&DSDELOLWLHV,QIRUPDWLRQILHOGIRUPDW

 7KHVXEILHOGVRIWKH+(0$&&DSDELOLWLHV,QIRUPDWLRQILHOGDUHGHILQHGLQ7DEOHD 6XEILHOGVRIWKH

+(0$&&DSDELOLWLHV,QIRUPDWLRQILHOG 



 7DEOHD²6XEILHOGVRIWKH+(0$&&DSDELOLWLHV,QIRUPDWLRQILHOG


 6XEILHOG 'HILQLWLRQ (QFRGLQJ

 +7&+(6XSSRUW ,QGLFDWHVVXSSRUWIRUWKHUHFHSWLRQ )RUDQRQ$367$
 RIDIUDPHWKDWFDUULHVDQ+(YDUL 6HWWRLIWKH67$VXSSRUWVUHFHSWLRQRIDQ+(
 DQW+7&RQWUROILHOG YDULDQW+7&RQWUROILHOGEDVHGRQWKHGHVFULSWLRQLQ
  +7&RQWUROILHOGRSHUDWLRQ 
 6HWWRRWKHUZLVH

 $Q$3VHWVWKH+7&+(6XSSRUWVXEILHOGWR

 7:75HTXHVWHU ,QGLFDWHVVXSSRUWIRUWKHUROHRI 6HWWRLIGRW7:72SWLRQ$FWLYDWHGLVWUXHDQGWKH
 6XSSRUW 7:7UHTXHVWLQJ67$DVGHVFULEHG 67$VXSSRUWV7:7UHTXHVWLQJ67$IXQFWLRQDOLW\ VHH
 LQ 7:7RSHUDWLRQ   7:7RSHUDWLRQ 
 6HWWRRWKHUZLVH

 7:75HVSRQGHU ,QGLFDWHVVXSSRUWIRUWKHUROHRI 6HWWRLIGRW7:72SWLRQ$FWLYDWHGLVWUXHDQGWKH
 6XSSRUW 7:7UHVSRQGHU67$DVGHVFULEHG 67$VXSSRUWV7:7UHVSRQGHU67$IXQFWLRQDOLW\ VHH
 LQ 7:7RSHUDWLRQ   7:7RSHUDWLRQ 
 6HWWRRWKHUZLVH

 $Q$3VHWVWKH7:75HVSRQGHU6XSSRUWVXEILHOGWR












 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOHD²6XEILHOGVRIWKH+(0$&&DSDELOLWLHV,QIRUPDWLRQILHOG(continued)


 6XEILHOG 'HILQLWLRQ (QFRGLQJ

 '\QDPLF)UDJPHQ ,QGLFDWHVWKHOHYHORIG\QDPLF 6HWWRIRUQRVXSSRUWIRUG\QDPLFIUDJPHQWDWLRQ
 WDWLRQ6XSSRUW IUDJPHQWDWLRQWKDWLVVXSSRUWHGE\ 6HWWRIRUVXSSRUWIRUXSWRRQHG\QDPLFIUDJPHQW
 D67$DVDUHFLSLHQW WKDWLVDQRQ$03'8IUDPHQRVXSSRUWIRUG\QDPLF
 IUDJPHQWVZLWKLQDQ$03'8WKDWGRHVQRWFRQWDLQDQ
 603'8
 6HWWRIRUVXSSRUWIRUXSWRRQHG\QDPLFIUDJPHQW
 WKDWLVDQRQ$03'8IUDPHDQGVXSSRUWIRUXSWRRQH
 G\QDPLFIUDJPHQWIRUHDFK06'8HDFK$06'8 LI
 VXSSRUWHGE\WKHUHFLSLHQW DQGRQH003'8 LISUHV
 HQWVHH 0XOWL7,'$03'8DQGDFNHQDEOHG
 VLQJOH7,'$03'8 ZLWKLQDQ$03'8WKDWGRHV
 QRWFRQWDLQDQ603'8
 6HWWRIRUVXSSRUWIRUXSWRRQHG\QDPLFIUDJPHQW
 WKDWLVDQRQ$03'8IUDPHDQGVXSSRUWIRUXSWR
 G\QDPLFIUDJPHQWVIRUHDFK06'8DQGIRUHDFK$
 06'8 LIVXSSRUWHGE\WKHUHFLSLHQW ZLWKLQDQ$
 03'8DQGXSWRRQHG\QDPLFIUDJPHQWIRURQH
 003'8 LISUHVHQWVHH 0XOWL7,'$03'8
 DQGDFNHQDEOHGVLQJOH7,'$03'8 LQDQ$
 03'8WKDWGRHVQRWFRQWDLQDQ603'8

 0D[LPXP1XPEHU ,QGLFDWHVWKHPD[LPXPQXPEHURI ,IWKH'\QDPLF)UDJPHQWDWLRQ6XSSRUWVXEILHOGLV
 2I)UDJPHQWHG IUDJPHQWHG06'8VDQGRU$ JUHDWHUWKDQ
 06'8V$06'8V 06'8V LIVXSSRUWHGE\WKHUHFLS 7KHPD[LPXPQXPEHURIIUDJPHQWHG06'8VDQG
 ([SRQHQW LHQW WKDWWKH67$LVFDSDEOHRI RU$06'8VNmaxGHILQHGE\WKLVILHOGLV
 UHFHLYLQJFRQFXUUHQWO\
 Nmax 0D[LPXP1XPEHU2I)UDJPHQWHG06'8V$
 06'8V([SRQHQWH[FHSWWKDWDYDOXHLQWKH0D[L
 PXP1XPEHU2I)UDJPHQWHG06'8V$06'8V
 ([SRQHQWVXEILHOGLQGLFDWHVWKDWWKHUHLVQRUHVWULF
 WLRQ

 5HVHUYHGLIWKH'\QDPLF)UDJPHQWDWLRQ6XSSRUWVXE
 ILHOGLV

 0LQLPXP)UDJ ,QGLFDWHVWKHPLQLPXPIUDPHERG\ ,IWKH'\QDPLF)UDJPHQWDWLRQ6XSSRUWVXEILHOGLV
 PHQW6L]H VL]HLQRFWHWVRIWKHILUVWIUDJPHQW JUHDWHUWKDQ
 RIDQ06'8$06'8 LIVXS 6HWWRWRLQGLFDWHQRPLQLPXPIUDPHERG\VL]H
 SRUWHG RU003'8WKDWLVVXS 6HWWRWRLQGLFDWHDPLQLPXPIUDPHERG\VL]HRI
 SRUWHGE\WKHUHFLSLHQW67$ RFWHWV
 6HWWRWRLQGLFDWHDPLQLPXPIUDPHERG\VL]HRI
 RFWHWV
 6HWWRWRLQGLFDWHDPLQLPXPIUDPHERG\VL]HRI
 RFWHWV

 5HVHUYHGLIWKH'\QDPLF)UDJPHQWDWLRQ6XSSRUWVXE
 ILHOGLV


 7ULJJHU)UDPH ,QGLFDWHVMinTrigProcTime )RUDQRQ$367$
 0$&3DGGLQJ ZKLFKLVXVHGLQ 3DG 6HWWRWRLQGLFDWH
 'XUDWLRQ GLQJIRU7ULJJHUIUDPHRUIUDPH 6HWWRWRLQGLFDWHPV
 FRQWDLQLQJ756&RQWUROVXEILHOG  6HWWRWRLQGLFDWHPV
 7KHYDOXHLVUHVHUYHG

 5HVHUYHGIRUDQ$3





&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOHD²6XEILHOGVRIWKH+(0$&&DSDELOLWLHV,QIRUPDWLRQILHOG(continued)


 6XEILHOG 'HILQLWLRQ (QFRGLQJ

 0XOWL7,'$JJUH ,QGLFDWHVWKHQXPEHURI7,'VRI 6HWWRWKHQXPEHURI7,'VPLQXVRI4R6'DWDIUDPHV
 JDWLRQ5[6XSSRUW 4R6'DWDIUDPHVWKDWDQ+(67$ WKDWDQ+(67$FDQUHFHLYHLQDPXOWL7,'$03'8
 FDQUHFHLYHLQDPXOWL7,'$
 03'8DVGHVFULEHGLQ
 0XOWL7,'$03'8DQGDFN
 HQDEOHGVLQJOH7,'$03'8 

 0XOWL7,'$JJUH ,QGLFDWHVWKHQXPEHURI7,'VRI 6HWWRWKHQXPEHURI7,'VPLQXVRI4R6'DWDIUDPHV
 JDWLRQ7[6XSSRUW 4R6'DWDIUDPHVWKDWDQ+(67$ WKDWDQ+(67$FDQWUDQVPLWLQDPXOWL7,'$03'8
 FDQWUDQVPLWLQDPXOWL7,'$
 03'8DVGHVFULEHGLQ
 0XOWL7,'$03'8DQGDFN
 HQDEOHGVLQJOH7,'$03'8 


 +(/LQN$GDSWD ,QGLFDWHVVXSSRUWIRUOLQNDGDSWD ,I+7&+(6XSSRUWLV
 WLRQ6XSSRUW WLRQXVLQJWKH+/$&RQWUROVXE 6HWWR 1R)HHGEDFN LIWKH67$GRHVQRWSURYLGH
 ILHOG +(0)%
 6HWWR 8QVROLFLWHG LIWKH67$FDQUHFHLYHDQG
 SURYLGHRQO\XQVROLFLWHG+(0)%
 6HWWR 6ROLFLWHGDQGXQVROLFLWHG LIWKH67$LV
 FDSDEOHRIUHFHLYLQJDQGSURYLGLQJ+(0)%LQ
 UHVSRQVHWR+(054DQGLIWKH67$FDQUHFHLYH
 DQGSURYLGHXQVROLFLWHG+(0)%
 7KHYDOXHLVUHVHUYHG

 +(0)%DQG+(054DUH0)%DQG054XVLQJ
 +/$&RQWUROVXEILHOGUHVSHFWLYHO\

 5HVHUYHGLI+7&+(6XSSRUWLV

 $OO$FN6XSSRUW ,QGLFDWHVVXSSRUWIRUWKHUHFHSWLRQ 6HWWRLIVXSSRUWHG
 RID0XOWL67$%ORFN$FNIUDPH 6HWWRRWKHUZLVH
 XQGHUWKHDOODFNFRQWH[W VHH
  $FNQRZOHGJPHQWFRQWH[W
 LQD0XOWL67$%ORFN$FNIUDPH

 7566XSSRUW )RUDQRQ$367$LQGLFDWHVVXS )RUDQRQ$367$WKDWKDVVHWWKH+7&+(6XSSRUW
 SRUWIRUUHFHLYLQJDIUDPHZLWKD ILHOGWR
 756&RQWUROVXEILHOG 6HWWRLIWKH67$VXSSRUWVUHFHSWLRQRIWKH756
 &RQWUROVXEILHOG
 6HWWRRWKHUZLVH

 5HVHUYHGIRUDQ$3RULIWKH+7&+(6XSSRUWILHOGLV
 

 %656XSSRUW )RUDQ$3LQGLFDWHVVXSSRUWIRU ,I+7&+(6XSSRUWLV
 UHFHLYLQJDIUDPHZLWKD%65&RQ 6HWWRLIWKH67$VXSSRUWVWKH%65&RQWUROVXE
 WUROVXEILHOG)RUDQRQ$367$ ILHOGIXQFWLRQDOLW\
 LQGLFDWHVVXSSRUWIRUJHQHUDWLQJD 6HWWRRWKHUZLVH
 IUDPHZLWKD%65&RQWUROVXE 5HVHUYHGLI+7&+(6XSSRUWLV
 ILHOG

 %URDGFDVW7:7 )RUDQRQ$367$LQGLFDWHVVXS 6HWWRLIWKH67$VXSSRUWVEURDGFDVW7:7IXQFWLRQ
 6XSSRUW SRUWIRUWKHUROHRI7:7VFKHGXOHG DOLW\
 67$)RUDQ$3LQGLFDWHVVXSSRUW 6HWWRRWKHUZLVH
 IRUWKHUROHRI7:7VFKHGXOLQJ$3
 DVGHVFULEHGLQ %URDGFDVW
 7:7RSHUDWLRQ 


 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOHD²6XEILHOGVRIWKH+(0$&&DSDELOLWLHV,QIRUPDWLRQILHOG(continued)


 6XEILHOG 'HILQLWLRQ (QFRGLQJ

 ELW%$%LWPDS ,QGLFDWHVVXSSRUWIRUWKHUHFHSWLRQ 6HWWRLIWKH67$VXSSRUWVUHFHSWLRQRID0XOWL67$
 6XSSRUW RID0XOWL67$%ORFN$FNIUDPH %ORFN$FNIUDPHWKDWKDVD3HU$,',QIRVXEILHOG
 WKDWKDVD3HU$,',QIRVXEILHOG DGGUHVVHGWRLWZLWKDELW%ORFN$FN%LWPDSVXE
 DGGUHVVHGWRLWZLWKDELW%ORFN ILHOG
 $FN%LWPDSVXEILHOG 6HWWRRWKHUZLVH

 08&DVFDGLQJ ,QGLFDWHVVXSSRUWIRUSDUWLFLSDWLQJ )RUDQ+($3
 6XSSRUW LQDQ08FDVFDGLQJVHTXHQFH VHH 6HWWRWRLQGLFDWHWKDWWKH$3LVFDSDEOHRIWUDQV
  08FDVFDGLQJVHTXHQFH  PLWWLQJDQ$03'8WKDWLVFRQVWUXFWHGIROORZLQJ
 WKH08FDVFDGHVHTXHQFHUXOHV VHH 08
 FDVFDGLQJVHTXHQFH XQGHU08FDVFDGHRSHUDWLRQ
 6HWWRRWKHUZLVH

 )RUDQRQ$3+(67$
 6HWWRWRLQGLFDWHWKDWWKHQRQ$367$LVFDSDEOH
 RIUHFHLYLQJDQ$03'8WKDWLVFRQVWUXFWHGIROORZ
 LQJWKH08FDVFDGHVHTXHQFHUXOHV VHH 08
 FDVFDGLQJVHTXHQFH 
 6HWWRRWKHUZLVH


 $FN(QDEOHG ,QGLFDWHVVXSSRUWE\D67$WR 6HWWRLIWKH67$VXSSRUWVUHFHSWLRQRIWKLV$03'8
 $JJUHJDWLRQ6XS UHFHLYHDQ$03'8WKDWFRQWDLQV IRUPDW
 SRUW WZRRUPRUHIUDPHVDWOHDVWRQHRI 6HWWRRWKHUZLVH
 ZKLFKVROLFLWVDQ$FNIUDPHRU
 DFNQRZOHGJPHQWFRQWH[WLQD
 0XOWL67$%ORFN$FNIUDPHDV
 GHVFULEHGLQ 0XOWL7,'$
 03'8DQGDFNHQDEOHGVLQJOH
 7,'$03'8 DQG *HQ
 HUDO 

 20&RQWURO6XS ,QGLFDWHVVXSSRUWIRUUHFHLYLQJD ,IWKH+7&+(6XSSRUWVXEILHOGLVLQDQRQ$3
 SRUW IUDPHZLWKDQ20&RQWUROVXE 67$
 ILHOG 6HWWRLIWKHQRQ$367$VXSSRUWVUHFHSWLRQRIWKH
 20&RQWUROVXEILHOG
 6HWWRRWKHUZLVH
 5HVHUYHGLIWKH+7&+(6XSSRUWVXEILHOGLVLQD
 QRQ$367$

 $Q$3VHWVWKH20&RQWURO6XSSRUWVXEILHOGWR

 2)'0$5$6XS )RUDQRQ$367$LQGLFDWHVVXS 6HWWRLIVXSSRUWHG
 SRUW SRUWIRUWKH2)'0$UDQGRP 6HWWRRWKHUZLVH
 DFFHVVSURFHGXUH)RUDQ$3LQGL
 FDWHVVXSSRUWIRUVHQGLQJ7ULJJHU
 IUDPHVWKDWDOORFDWH5$58V6HH
  8/2)'0$EDVHGUDQ
 GRPDFFHVV 825$ 

 0D[LPXP$ ,QGLFDWHVWKHH[SRQHQWH[WHQVLRQ 6HWWRWKHYDOXHRIWKHPD[LPXP$03'8H[SRQHQW
 03'8/HQJWK IRUWKHPD[LPXP$03'8OHQJWK H[WHQVLRQYDOXH
 ([SRQHQW([WHQ VXSSRUWHGLQUHFHSWLRQ VHH
 VLRQ $03'8RSHUDWLRQLQDQ+(
 33'8 






&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOHD²6XEILHOGVRIWKH+(0$&&DSDELOLWLHV,QIRUPDWLRQILHOG(continued)


 6XEILHOG 'HILQLWLRQ (QFRGLQJ

 $06'8)UDJ ,QGLFDWHVVXSSRUWIRUWKHUHFHSWLRQ ,IWKH'\QDPLF)UDJPHQWDWLRQ6XSSRUWVXEILHOGLVQRW
 PHQWDWLRQ6XSSRUW RIIUDJPHQWHG$06'8V 
 6HWWRWRLQGLFDWHVXSSRUWIRUWKHUHFHLSWRIIUDJ
 PHQWHG$06'8V
 6HWWRWRLQGLFDWHWKDWUHFHSWLRQRIIUDJPHQWHG$
 06'8VLVQRWVXSSRUWHG

 5HVHUYHGLIWKH'\QDPLF)UDJPHQWDWLRQ6XSSRUWVXE
 ILHOGLV

 )OH[LEOH7:7 ,QGLFDWHVVXSSRUWIRUWKHUHFHSWLRQ 6HWWRLIWKH67$VXSSRUWVUHFHSWLRQRID7:7,QIRU
 6FKHGXOH6XSSRUW RI7:7,QIRUPDWLRQIUDPHVZLWK PDWLRQIUDPHZLWKIOH[LEOH7:7VFKHGXOHV
 IOH[LEOH7:7VFKHGXOHVDVGHILQHG 6HWWRRWKHUZLVH
 LQ 7:7,QIRUPDWLRQ
 IUDPHH[FKDQJHIRUIOH[LEOHZDNH
 WLPH 


 5[&RQWURO)UDPH )RUDQRQ$367$DVVRFLDWHGZLWK )RUDQRQ$367$
 7R0XOWL%66 D%66FRUUHVSRQGLQJWRDQRQ 6HWWRLIVXSSRUWHG
 WUDQVPLWWHG%66,'LQGLFDWHVVXS 6HWWRRWKHUZLVH
 SRUWIRUWKHUHFHSWLRQRID&RQWURO
 IUDPHZLWK7$HTXDOWRWKHWUDQV 5HVHUYHGIRUDQ$3
 PLWWHG%66,'

 %653%453$ )RUDQRQ$367$LQGLFDWHV )RUDQRQ$367$
 03'8$JJUHJD ZKHWKHURUQRWWKH67$DFFHSWVD 6HWWRLIVXSSRUWHG
 WLRQ %6537ULJJHUIUDPHRU%453 6HWWRRWKHUZLVH
 7ULJJHUIUDPHWKDWLVDJJUHJDWHG
 ZLWKRWKHU&RQWURO'DWDDQG0DQ 5HVHUYHGIRUDQ$3
 DJHPHQWIUDPHVLQDQ$03'8
 GHVWLQHGWRWKH67$

 4736XSSRUW ,QGLFDWHVVXSSRUWIRUTXLHWWLPH 6HWWRLIVXSSRUWHG
 SHULRG 473 RSHUDWLRQDV 6HWWRRWKHUZLVH
 GHVFULEHGLQ 4XLHW+(
 67$VLQDQ+(%66 

 %456XSSRUW )RUDQ$3LQGLFDWHVVXSSRUWIRU ,I+7&+(6XSSRUWLV
 UHFHLYLQJDIUDPHZLWKD%45 6HWWRLIWKH67$VXSSRUWVWKH%45&RQWUROVXE
 &RQWUROVXEILHOG)RUDQRQ$3 ILHOGIXQFWLRQDOLW\
 67$LQGLFDWHVVXSSRUWIRUJHQHU 6HWWRRWKHUZLVH
 DWLQJDIUDPHZLWKD%45&RQWURO 5HVHUYHGLI+7&+(6XSSRUWLV
 VXEILHOG

 3655HVSRQGHU ,QGLFDWHVVXSSRUWIRUWKHUROHRI 6HWWRLIWKH67$VXSSRUWVWKHUROHRI365UHVSRQGHU
 365UHVSRQGHU 6HWWRRWKHUZLVH


 1'3)HHGEDFN )RUDQ$3LQGLFDWHVVXSSRUWIRU 6HWWRLIVXSSRUWHG
 5HSRUW6XSSRUW WKH1'3IHHGEDFNUHSRUWSURFH 6HWWRRWKHUZLVH
 GXUH
 )RUDQRQ$367$LQGLFDWHVVXS
 SRUWIRUUHVSRQGLQJWRDQ1)53
 7ULJJHUIUDPH






 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOHD²6XEILHOGVRIWKH+(0$&&DSDELOLWLHV,QIRUPDWLRQILHOG(continued)


 6XEILHOG 'HILQLWLRQ (QFRGLQJ

 2366XSSRUW )RUDQ$3LQGLFDWHVVXSSRUWIRU 6HWWRLIVXSSRUWHG
 HQFRGLQJ236LQIRUPDWLRQLQWKH 6HWWRRWKHUZLVH
 7,0HOHPHQWRI),/6'LVFRYHU\
 IUDPHV7,0IUDPHVRU236
 IUDPHVDVGHVFULEHGLQ
 $3RSHUDWLRQIRURSSRUWXQLVWLF
 SRZHUVDYH )RUDQRQ$367$
 LQGLFDWHVVXSSRUWIRUUHFHLYLQJWKH
 RSSRUWXQLVWLFSRZHUVDYHHQFRGHG
 7,0HOHPHQWV

 $06'81RW ,QGLFDWHVVXSSRUWE\D67$WR 6HWWRLIVXSSRUWHG
 8QGHU%$,Q$FN UHFHLYHDQDFNHQDEOHGVLQJOH7,' 6HWWRRWKHUZLVH
 (QDEOHG$03'8 $03'8WKDWFDUULHVDQ$06'8
 6XSSRUW WKDWLVQRWXQGHUDEORFNDFNDJUHH
 PHQW


 +(6XEFKDQQHO ,QGLFDWHVZKHWKHUDQ+(67$VXS 6HWWRLIVXSSRUWHG
 6HOHFWLYH7UDQVPLV SRUWVDQ+(VXEFKDQQHOVHOHFWLYH 6HWWRRWKHUZLVH
 VLRQ6XSSRUW WUDQVPLVVLRQRSHUDWLRQGHVFULEHG
 LQ +(VXEFKDQQHOVHOHFWLYH
 WUDQVPLVVLRQ 

 8/îWRQH58 ,QGLFDWHVVXSSRUWE\DQRQ$3 )RUDQRQ$367$
 6XSSRUW 67$WRUHFHLYHD756&RQWUROVXE 6HWWRLIWKH67$VXSSRUWVUHFHSWLRQRID756
 ILHOGRUD7ULJJHUIUDPHZLWKD &RQWUROVXEILHOGZLWKWKH58$OORFDWLRQVXEILHOG
 8VHU,QIRILHOGDGGUHVVHGWRWKH LQGLFDWLQJDîWRQH58RUD7ULJJHUIUDPHZLWK
 67$ZLWKWKH58$OORFDWLRQVXE D8VHU,QIRILHOGDGGUHVVHGWRWKH67$ZLWKWKH58
 ILHOGRIWKH756&RQWUROVXEILHOG $OORFDWLRQVXEILHOGLQGLFDWLQJîWRQH58
 RUWKH8VHU,QIRILHOGLQGLFDWLQJ 6HWWRRWKHUZLVH
 îWRQH58
 5HVHUYHGIRUDQ$3

 20&RQWURO8/ ,QGLFDWHVZKHWKHUDQ$3VXSSRUWV )RUDQ$3
 08'DWD'LVDEOH LQWHUSUHWDWLRQRIWKH8/08'DWD 6HWWRLIVXSSRUWHG
 5;6XSSRUW 'LVDEOHVXEILHOGRIWKH20&RQ 6HWWRRWKHUZLVH
 WUROVXEILHOGDVGHVFULEHGLQ
 8/08RSHUDWLRQ  5HVHUYHGIRUDQRQ$367$

 +('\QDPLF60 ,QGLFDWHVWKHVSDWLDOPXOWLSOH[LQJ )RUDQRQ$367$
 3RZHU6DYH SRZHUVDYHPRGHDIWHUUHFHLYLQJD 6HWWRLI+(G\QDPLF60SRZHUVDYHLVQRWVXS
 7ULJJHUIUDPHWKDWLVLQRSHUDWLRQ SRUWHG
 LPPHGLDWHO\DIWHU UH DVVRFLDWLRQ 6HWWRLI+(G\QDPLF60SRZHUVDYHLVVXSSRUWHG
 6HH +(G\QDPLF60
 SRZHUVDYH  5HVHUYHGIRUDQ$3

 3XQFWXUHG6RXQG ,QGLFDWHVVXSSRUWIRUSXQFWXUHG 6HWWRLIGRW+(3XQFWXUHG6RXQGLQJ2SWLRQ,PSOH
 LQJ6XSSRUW VRXQGLQJDVGHVFULEHGLQ +( PHQWHGLVWUXH VHH +(VRXQGLQJSURWRFRO 
 VRXQGLQJSURWRFRO  6HWWRRWKHUZLVH


 +7$QG9+77ULJ ,QGLFDWHVVXSSRUWIRUUHFHLYLQJD )RUDQRQ$367$
 JHU)UDPH5[6XS 7ULJJHUIUDPHLQDQ+733'8DQG 6HWWRLIVXSSRUWHG
 SRUW UHFHLYLQJD7ULJJHUIUDPHLQD 6HWWRRWKHUZLVH
 9+733'8
 5HVHUYHGIRUDQ$3




&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 +(3+<&DSDELOLWLHV,QIRUPDWLRQILHOG


7KHIRUPDWRIWKH+(3+<&DSDELOLWLHV,QIRUPDWLRQILHOGLVGHILQHGLQ)LJXUHF +(3+<&DSDELOLWLHV

 ,QIRUPDWLRQILHOGIRUPDW 


% %% %% % % % %% %


 +(6833'8 0LGDPEOH
6XSSRUWHG 3XQFWXUHG /'3& 1'3:LWK[
'HYLFH :LWK[+( 7[5[
 5HVHUYHG &KDQQHO 3UHDPEOH
&ODVV
&RGLQJ,Q
/7)$QG 0D[
+(/7)$QG
 :LGWK6HW 5[ 3D\ORDG —V*, 1676 —V*,

 %LWV        



 % % % % % % %% %

 )XOO 3DUWLDO
'&00D[ '&0
 67%&7[ 67%&5[ 'RSSOHU 'RSSOHU %DQGZLGWK %DQGZLGWK &RQVWHOODWLRQ 0D[
”0+] ”0+] 7[ 5[ 8/ 8/
 080,02 080,02 7[ 1667[


%LWV        



 %% % % % % % %% %%

 5[3DUWLDO
 '&00D[ '&0 %:68,Q
68 68 08
%HDPIRUPHH %HDPIRUPHH
 &RQVWHOODWLRQ 0D[ 0+] 676 676
%HDPIRUPHU %HDPIRUPHH %HDPIRUPHU
5[ 1665[ +(08 ”0+] !0+]
 33'8


%LWV        



 %% %% % % % % %

 1XPEHU2I 1XPEHU2I &RGHERRN &RGHERRN
1J  1J  7ULJJHUHG68
 6RXQGLQJ 6RXQGLQJ
68 08
6L]H ࢥȥ   6L]H ࢥȥ  
%HDPIRUPLQJ
 'LPHQVLRQV 'LPHQVLRQV )HHGEDFN )HHGEDFN ^`68 ^`08 )HHGEDFN
”0+] !0+] )HHGEDFN )HHGEDFN


 %LWV       


 % % % % % % % %

 +(6833'8
 7ULJJHUHG08 7ULJJHUHG 3DUWLDO 3DUWLDO 33( 365 3RZHU $QG+(08
%HDPIRUPLQJ %DQGZLGWK %DQGZLGWK %RRVW
 3DUWLDO%: &4, ([WHQGHG '/ 7KUHVKROGV EDVHG65 )DFWRU 33'8:LWK[
 )HHGEDFN 3UHVHQW 6XSSRUW +(/7)$QG
)HHGEDFN 5DQJH 080,02 6XSSRUW —V*,


 %LWV        









 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU


 %% % % % % % % %

 +((5 0+] +((5
 68 0+] 0+] 68
33'8 ,Q ,Q ,Q 33'8
 0D[1F
67%&7[ 67%&5[
:LWK[
0+]+(
  :LWK[
 !0+] !0+] 33'8,Q
+(/7) 0+]+( 0+]+( +(/7)
*+]
 $QG
%DQG
33'8 33'8 $QG
 —V*, —V*,

 %LWV        


 % %% % % % % % %


/RQJHU 5[)XOO%: 5[)XOO%:
 0LGDPEOH 7KDQ 1RQ
7[ 5[
688VLQJ+( 688VLQJ+(
 7[5[[ '&0 +(6,*% 7ULJJHUHG 4$0 4$0 0833'8 0833'8
WRQH WRQH
 $QG[ 0D[58 2)'0 &4, 58 58 :LWK :LWK1RQ
 +(/7) 6\PEROV )HHGEDFN &RPSUHVVHG &RPSUHVVHG
6XSSRUW 6XSSRUW 6XSSRUW +(6,*% +(6,*%


 %LWV        


 %% %%

 1RPLQDO
 3DFNHW 5HVHUYHG
 3DGGLQJ

 %LWV  

 )LJXUHF²+(3+<&DSDELOLWLHV,QIRUPDWLRQILHOGIRUPDW
































&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KHVXEILHOGVRIWKH+(3+<&DSDELOLWLHV,QIRUPDWLRQILHOGDUHGHILQHGLQ7DEOHE 6XEILHOGVRIWKH
 +(3+<&DSDELOLWLHV,QIRUPDWLRQILHOG 



 7DEOHE²6XEILHOGVRIWKH+(3+<&DSDELOLWLHV,QIRUPDWLRQILHOG


 6XEILHOG 'HILQLWLRQ (QFRGLQJ

 6XSSRUWHG&KDQQHO ,QWKH*+]EDQG %LVVHWWRLIQRWVXSSRUWHG%
 :LGWK6HW ² %LQGLFDWHVVXSSRUWIRUD0+]FKDQQHO LVVHWWRLIVXSSRUWHG
 ZLGWK
 %LVVHWWRLIQRWVXSSRUWHGLH
² %%DQG%DUHUHVHUYHG LWLQGLFDWHVD0+]RQO\QRQ

² %LQGLFDWHVVXSSRUWRIWRQH58VLQD $3+(67$LQWKH*+]EDQGRU

 0+]+(0833'8LIDQRQ$367$RSHU *+]EDQG%LVVHWWRLIVXS
 DWHVZLWKD0+]FKDQQHOZLGWKDQGWKH SRUWHG
 0+],Q0+]+(33'8,Q*+]VXE
 ILHOGLVRWKHUZLVH%LVUHVHUYHG %LVVHWWRLIQRWVXSSRUWHG%
 LVVHWWRLIVXSSRUWHG,I%LV
² %DQG%DUHUHVHUYHG WKHQ%LVVHWWR


,QWKH*+]DQG*+]EDQGV %LVVHWWRLIQRWVXSSRUWHG%

 ² %LVUHVHUYHG LVVHWWRLIVXSSRUWHG,I%LV
 ² %LQGLFDWHVVXSSRUWIRUD0+]DQG WKHQ%LVVHWWR
 0+]FKDQQHOZLGWK
 %LVVHWWRLIQRWVXSSRUWHG%
² %LQGLFDWHVVXSSRUWIRUD0+]FKDQQHO LVVHWWRLIVXSSRUWHG

ZLGWK

 ² %LQGLFDWHVVXSSRUWIRUD0+] %LVVHWWRLIQRWVXSSRUWHG%
 FKDQQHOZLGWK LVVHWWRLIVXSSRUWHG
 ² %LVUHVHUYHG
 127(²,IDQRQ$367$RSHU
² %LQGLFDWHVVXSSRUWRIWRQH58VLQD DWHVZLWK0+]FKDQQHOZLGWK

 ‡ 0+]DQG0+]+(0833'8LID DQGWKH0+],Q0+]+(
 QRQ$367$RSHUDWHVZLWK0+]FKDQ 33'8,Q*+]VXEILHOGLV
 QHOZLGWKDQGWKH0+],Q WKHQ%LVVHWWR
 0+]+(33'8VXEILHOGLVVHWWRRU
 127(²,IDQRQ$367$RSHU
‡ 0+]0+]0+]0+] DWHVZLWK0+]FKDQQHOZLGWK
 +(0833'8LIDQRQ$367$RSHUDWHV
 DQGWKH0+],Q
ZLWK0+]FKDQQHOZLGWKDQGWKH 0+]+(33'8VXEILHOGLVWKHQ

0+],Q0+]+(33'8VXE WKHWRQH58LQD0+]

 ILHOGLVVHWWRRU DQG0+]+(0833'8LQ
 ‡ ,VUHVHUYHGRWKHUZLVH WKH*+]EDQGRU*+]EDQGLV
 ² %LVUHVHUYHG QRWVXSSRUWHG

 3XQFWXUHG3UHDPEOH %LQGLFDWHVVXSSRUWIRUWKHUHFHSWLRQRIDQ0+] %LVVHWWRLIQRWVXSSRUWHG%
 5[ SUHDPEOHZKHUHWKHVHFRQGDU\0+]VXEFKDQQHOLV LVVHWWRLIVXSSRUWHG
 SXQFWXUHG
 %LVVHWWRLIQRWVXSSRUWHG%
 %LQGLFDWHVVXSSRUWIRUWKHUHFHSWLRQRIDQ0+] LVVHWWRLIVXSSRUWHG
 SUHDPEOHZKHUHRQHRIWKHWZR0+]VXEFKDQQHOVLQ
 WKHVHFRQGDU\0+]LVSXQFWXUHG %LVVHWWRLIQRWVXSSRUWHG%
 LVVHWWRLIVXSSRUWHG
 %LQGLFDWHVVXSSRUWIRUWKHUHFHSWLRQRID0+]RU
 0+]SUHDPEOHZKHUHRQO\WKHVHFRQGDU\ %LVVHWWRLIQRWVXSSRUWHG%
 0+]FKDQQHOLQWKHSULPDU\0+]FKDQQHOLV LVVHWWRLIVXSSRUWHG
 SXQFWXUHG

 %LQGLFDWHVVXSSRUWIRUWKHUHFHSWLRQRID0+]RU
 0+]SUHDPEOHZKHUHWKHSULPDU\0+]
 FKDQQHOLQWKHSULPDU\0+]FKDQQHOLVSUHVHQW


 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOHE²6XEILHOGVRIWKH+(3+<&DSDELOLWLHV,QIRUPDWLRQILHOG(continued)


 6XEILHOG 'HILQLWLRQ (QFRGLQJ

 'HYLFH&ODVV )RUDQRQ$367$LQGLFDWHVZKHWKHUWKH67$LVD )RUDQRQ$367$
 &ODVV$RUD&ODVV%GHYLFH 6HWWRIRUD&ODVV$GHYLFH
 6HWWRIRUD&ODVV%GHYLFH

 5HVHUYHGIRUDQ$3

 /'3&&RGLQJ,Q ,QGLFDWHVVXSSRUWIRUWKHWUDQVPLVVLRQDQGUHFHSWLRQRI 6HWWRLIQRWVXSSRUWHG
 3D\ORDG /'3&HQFRGHG33'8V 6HWWRLIVXSSRUWHG

 127(²6HWWRE\D67$WKDW
 VXSSRUWVPRUHWKDQVSDWLDO
 VWUHDPVDQ+(33'8EDQGZLGWK
 JUHDWHUWKDQ0+]+(0&6
 RU+(0&6

 +(6833'8:LWK ,QGLFDWHVVXSSRUWRIWKHUHFHSWLRQRIDQ+(6833'8 6HWWRLIQRWVXSSRUWHG
 [+(/7)$QG ZLWK[+(/7)DQG—VJXDUGLQWHUYDOGXUDWLRQ 6HWWRLIVXSSRUWHG
 —V*,
 0LGDPEOH7[5[ ,IWKH'RSSOHU5[VXEILHOGLVLQGLFDWHVWKHPD[LPXP 6HWWRIRUVSDFHWLPHVWUHDP
 0D[1676 QXPEHURIVSDFHWLPHVWUHDPVVXSSRUWHGIRUUHFHSWLRQ 6HWWRIRUVSDFHWLPHVWUHDPV
 ZKHQDPLGDPEOHLVSUHVHQWLQWKH'DWDILHOG 6HWWRIRUVSDFHWLPHVWUHDPV
 6HWWRIRUVSDFHWLPHVWUHDPV
 ,IWKH'RSSOHU7[VXEILHOGLVLQGLFDWHVWKHPD[LPXP
 QXPEHURIVSDFHWLPHVWUHDPVVXSSRUWHGIRUWUDQVPLV
 VLRQZKHQDPLGDPEOHLVSUHVHQWLQWKH'DWDILHOG

 ,IERWK'RSSOHU5[DQG'RSSOHU7[VXEILHOGVDUH
 LQGLFDWHVWKHPD[LPXPQXPEHURIVSDFHWLPHVWUHDPV
 VXSSRUWHGIRUWUDQVPLVVLRQDQGUHFHSWLRQZKHQDPLG
 DPEOHLVSUHVHQWLQWKH'DWDILHOG

 1'3:LWK[+( )RUDEHDPIRUPHHLQGLFDWHVVXSSRUWIRUUHFHLYLQJDQ ,IWKH68%HDPIRUPHHILHOGLV
 /7)$QG—V*, +(VRXQGLQJ1'3ZLWK[+(/7)DQG—VJXDUG 6HWWRLIQRWVXSSRUWHG
 LQWHUYDOGXUDWLRQ 6HWWRLIVXSSRUWHG

 67%&7[”0+] ,QGLFDWHVVXSSRUWIRUWKHWUDQVPLVVLRQRIDQ+(7% )RUDQRQ$367$
 33'8XVLQJ67%&WKDWKDVDEDQGZLGWKOHVVWKDQRU 6HWWRLIQRWVXSSRUWHG
 HTXDOWR0+] 6HWWRLIVXSSRUWHG

 5HVHUYHGIRUDQ$3

 67%&5[”0+] ,QGLFDWHVVXSSRUWIRUWKHUHFHSWLRQRIDQ+(33'8 6HWWRLIQRWVXSSRUWHG
 XVLQJ67%&WKDWKDVDEDQGZLGWKOHVVWKDQRUHTXDOWR 6HWWRLIVXSSRUWHG
 0+]

 'RSSOHU7[ ,QGLFDWHVVXSSRUWIRUWUDQVPLWWLQJ+(33'8VZLWK 6HWWRLIQRWVXSSRUWHG
 PLGDPEOH 6HWWRLIVXSSRUWHG
 'RSSOHU5[ ,QGLFDWHVVXSSRUWIRUUHFHLYLQJ+(33'8VZLWKPLG 6HWWRLIQRWVXSSRUWHG
 DPEOH 6HWWRLIVXSSRUWHG

 )XOO%DQGZLGWK8/ )RUDQ$3LQGLFDWHVVXSSRUWIRU080,02UHFHSWLRQ 6HWWRLIQRWVXSSRUWHG
 080,02 RIDQ+(7%33'8RQDQ58WKDWVSDQVWKHHQWLUH 6HWWRLIVXSSRUWHG
 33'8EDQGZLGWK 8/080,02 

 )RUDQRQ$367$LQGLFDWHVVXSSRUWIRUWKHWUDQVPLV
 VLRQRIDQ+(7%33'8RQDQ58WKDWVSDQVWKHHQWLUH
 33'8EDQGZLGWK 8/080,02 




&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOHE²6XEILHOGVRIWKH+(3+<&DSDELOLWLHV,QIRUPDWLRQILHOG(continued)


 6XEILHOG 'HILQLWLRQ (QFRGLQJ

 3DUWLDO%DQGZLGWK )RUDQ$3LQGLFDWHVVXSSRUWIRUUHFHLYLQJDQ+(7% 6HWWRLIQRWVXSSRUWHG
 8/080,02 33'8RQDQ58ZKHUH080,02LVHPSOR\HGDQG 6HWWRLIVXSSRUWHG
 ZKHUHWKH58GRHVQRWVSDQWKHHQWLUH33'8EDQG
 ZLGWK 8/080,02LQ2)'0$ 

 )RUDQRQ$367$LQGLFDWHVVXSSRUWIRUWUDQVPLWWLQJ
 DQ+(7%33'8RQDQ58ZKHUH080,02LV
 HPSOR\HGDQGZKHUHWKH58GRHVQRWVSDQWKHHQWLUH
 33'8EDQGZLGWK 8/080,02LQ2)'0$ 

 127(²7KH58LVDWRQHRUODUJHU58
 '&00D[&RQVWHO ,QGLFDWHVWKHPD[LPXPVXSSRUWHGFRQVWHOODWLRQIRU )RUDQRQ$367$
 ODWLRQ7[ '&0LQWKH'DWDILHOGRIDQ+(7%33'8WKDWWKH 6HWWRLI'&0LVQRWVXS
 67$LVFDSDEOHRIWUDQVPLWWLQJ SRUWHG
 6HWWRIRU%36.
 6HWWRIRU436.
 6HWWRIRU4$0

 5HVHUYHGIRUDQ$3

 '&00D[1667[ ,QGLFDWHVWKHPD[LPXPQXPEHURIVSDWLDOVWUHDPVVXS )RUDQRQ$367$LIWKH'&0
 SRUWHGIRUWUDQVPLVVLRQZKHQ'&0LVXVHGLQWKH'DWD 0D[&RQVWHOODWLRQ7[VXEILHOGLV
 ILHOGRIDQ+(7%33'8 QRW
 6HWWRIRUVSDWLDOVWUHDP
 6HWWRIRUVSDWLDOVWUHDPV

 5HVHUYHGIRUDQ$3RULIWKH'&0
 0D[&RQVWHOODWLRQ7[VXEILHOGLV
 

 '&00D[&RQVWHO ,QGLFDWHVWKHPD[LPXPVXSSRUWHGFRQVWHOODWLRQIRU 6HWWRLI'&0LVQRWVXSSRUWHG
 ODWLRQ5[ '&0LQERWKWKH'DWDILHOGDQG+(6,*%ILHOGWKDW 6HWWRIRU%36.
 WKH67$LVFDSDEOHRIUHFHLYLQJ 6HWWRIRU436.
 6HWWRIRU4$0

 '&00D[1665[ ,QGLFDWHVWKHPD[LPXPQXPEHURIVSDWLDOVWUHDPVVXS 6HWWRIRUVSDWLDOVWUHDP
 SRUWHGIRUUHFHSWLRQZKHQ'&0LVXVHGLQWKH'DWD 6HWWRIRUVSDWLDOVWUHDPV
 ILHOG

 5[3DUWLDO%:68,Q )RUDQ$37'/667$RU,%6667$LQGLFDWHVVXSSRUW )RUDQ$37'/667$RU,%66
 0+]+(08 IRUWKHUHFHSWLRQRID0+]+(0833'8ZLWKMXVW 67$
 33'8 DWRQH58 6HWWRLIQRWVXSSRUWHG
 6HWWRLIVXSSRUWHG
 127(²,WLVPDQGDWRU\IRUDQRQ$3+(67$WRVXS
 SRUWUHFHSWLRQRID0+]+(0833'8ZLWKMXVWD 5HVHUYHGIRUDQRQ$367$
 WRQH58
 68%HDPIRUPHU ,QGLFDWHVVXSSRUWIRURSHUDWLRQDVDQ68EHDPIRUPHU 6HWWRLIQRWVXSSRUWHG
 6HWWRLIVXSSRUWHG

 127(²6HWWRE\DQ$3ZLWK
 VXSSRUWIRURUPRUHVSDWLDO
 VWUHDPV

 68%HDPIRUPHH ,QGLFDWHVVXSSRUWIRURSHUDWLRQDVDQ68EHDPIRUPHH )RUDQ$3
 6HWWRLIQRWVXSSRUWHG
 6HWWRLIVXSSRUWHG

 6HWWRIRUDQRQ$367$



 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOHE²6XEILHOGVRIWKH+(3+<&DSDELOLWLHV,QIRUPDWLRQILHOG(continued)


 6XEILHOG 'HILQLWLRQ (QFRGLQJ

 08%HDPIRUPHU ,QGLFDWHVVXSSRUWIRURSHUDWLRQDVDQ08EHDPIRUPHU )RUDQ$3
 6HWWRLIQRWVXSSRUWHG
 6HWWRLIWKH68%HDPIRUPHU
 ILHOGLVDQGRSHUDWLRQDVDQ
 08EHDPIRUPHULVVXSSRUWHG

 6HWWRIRUDQRQ$367$

 127(²6HWWRE\DQ$3ZLWK
 VXSSRUWIRURUPRUHVSDWLDO
 VWUHDPV

 %HDPIRUPHH676 )RUD33'8EDQGZLGWKOHVVWKDQRUHTXDOWR0+] ,IWKH68%HDPIRUPHHVXEILHOGLV
 ”0+] LQGLFDWHVWKHPD[LPXPQXPEHURIVSDFHWLPHVWUHDPV 
 WKDWWKH67$FDQUHFHLYHLQDQ+(VRXQGLQJ1'3 6HWWRWKHPD[LPXPQXPEHURI
 ZKLFKLVDOVRWKHPD[LPXPWRWDOQXPEHURIVSDFHWLPH VSDFHWLPHVWUHDPVWKDWWKH
 VWUHDPVRYHUDOOWKHXVHUVWKDWFDQEHVHQWLQD'/08 67$LVFDSDEOHRIUHFHLYLQJLQ
 0,02WUDQVPLVVLRQRQDQ58WKDWLQFOXGHVWKDW67$ DQ+(VRXQGLQJ1'3PLQXV
 ZKHUHWKH58PLJKWRUPLJKWQRWVSDQWKHHQWLUH33'8 7KHPLQLPXPYDOXHRIWKLV
 EDQGZLGWK ILHOGLV

 5HVHUYHGLIWKH68%HDPIRUPHH
 ILHOGLV

 %HDPIRUPHH676 )RUD33'8EDQGZLGWKJUHDWHUWKDQ0+]LQGLFDWHV ,IWKH68%HDPIRUPHHVXEILHOGLV
 !0+] WKHPD[LPXPQXPEHURIVSDFHWLPHVWUHDPVWKDWWKH 
 67$FDQUHFHLYHLQDQ+(VRXQGLQJ1'3ZKLFKLVDOVR 6HWWRWKHPD[LPXPQXPEHURI
 WKHPD[LPXPWRWDOQXPEHURIVSDFHWLPHVWUHDPVRYHU VSDFHWLPHVWUHDPVWKDWWKH
 DOOWKHXVHUVWKDWFDQEHVHQWLQD'/080,02WUDQV 67$LVFDSDEOHRIUHFHLYLQJLQ
 PLVVLRQRQDQ58WKDWLQFOXGHVWKDW67$ZKHUHWKH DQ+(VRXQGLQJ1'3PLQXV
 58PLJKWRUPLJKWQRWVSDQWKHHQWLUH33'8EDQG 7KHPLQLPXPYDOXHRIWKLV
 ZLGWK ILHOGLV

 5HVHUYHGLIWKH68%HDPIRUPHH
 VXEILHOGLVRUWKH6XSSRUWHG
 &KDQQHO:LGWK6HWILHOGGRHVQRW
 LQGLFDWHVXSSRUWIRUEDQGZLGWKV
 JUHDWHUWKDQ0+]
 1XPEHU2I6RXQG )RUEDQGZLGWKOHVVWKDQRUHTXDOWR0+]LWLQGL ,IWKH68%HDPIRUPHUVXEILHOGLV
 LQJ'LPHQVLRQV FDWHVWKHEHDPIRUPHU¶VFDSDELOLW\LQGLFDWLQJWKHPD[L 
 ”0+] PXPYDOXHRIWKH7;9(&725SDUDPHWHU180B676 6HWWRWKHVXSSRUWHGPD[LPXP
 IRUDQ+(VRXQGLQJ1'3 7;9(&725SDUDPHWHU
 180B676YDOXHPLQXV

 5HVHUYHGLIWKH68%HDPIRUPHU
 VXEILHOGLV

 1XPEHU2I6RXQG )RUEDQGZLGWKJUHDWHUWKDQ0+]LQGLFDWHVWKH ,IWKH68%HDPIRUPHUVXEILHOGLV
 LQJ'LPHQVLRQV EHDPIRUPHU¶VFDSDELOLW\LQGLFDWLQJWKHPD[LPXP 
 !0+] YDOXHRIWKH7;9(&725SDUDPHWHU180B676IRUDQ 6HWWRWKHVXSSRUWHGPD[LPXP
 +(VRXQGLQJ1'3 7;9(&725SDUDPHWHU
 180B676YDOXHPLQXV

 5HVHUYHGLIWKH68%HDPIRUPHU
 VXEILHOGLVRUWKH6XSSRUWHG
 &KDQQHO:LGWK6HWILHOGGRHVQRW
 LQGLFDWHVXSSRUWIRUEDQGZLGWKV
 JUHDWHUWKDQ0+]



&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOHE²6XEILHOGVRIWKH+(3+<&DSDELOLWLHV,QIRUPDWLRQILHOG(continued)


 6XEILHOG 'HILQLWLRQ (QFRGLQJ

 1J 68)HHG ,QGLFDWHV+(EHDPIRUPHHVXSSRUWIRUDVXEFDUULHU 6HWWRLIQRWVXSSRUWHG
 EDFN JURXSLQJRILQWKH+(&RPSUHVVHG%HDPIRUPLQJ 6HWWRLIVXSSRUWHG
 5HSRUWILHOGIRU68IHHGEDFN

 1J 08)HHG ,QGLFDWHV+(EHDPIRUPHHVXSSRUWIRUDVXEFDUULHU 6HWWRLIQRWVXSSRUWHG
 EDFN JURXSLQJRILQWKH+(&RPSUHVVHG%HDPIRUPLQJ 6HWWRLIVXSSRUWHG
 5HSRUWILHOGIRU08IHHGEDFN

 &RGHERRN6L]H ࢥ ,QGLFDWHV+(EHDPIRUPHHVXSSRUWIRUDFRGHERRNVL]H 6HWWRLIQRWVXSSRUWHG
 ȥ  ^`68 ࢥȥ  ^`LQWKH+(&RPSUHVVHG%HDPIRUPLQJ 6HWWRLIVXSSRUWHG
 )HHGEDFN 5HSRUWILHOGIRU68IHHGEDFN
 &RGHERRN6L]H ࢥ ,QGLFDWHV+(EHDPIRUPHHVXSSRUWIRUDFRGHERRNVL]H 6HWWRLIQRWVXSSRUWHG
 ȥ  ^`08 ࢥȥ  ^`LQWKH+(&RPSUHVVHG%HDPIRUPLQJ 6HWWRLIVXSSRUWHG
 )HHGEDFN 5HSRUWILHOGIRU08IHHGEDFN

 7ULJJHUHG68%HDP )RUDQ$3LQGLFDWHVVXSSRUWIRUWKHUHFHSWLRQRISDUWLDO 6HWWRLIQRWVXSSRUWHG
 IRUPLQJ)HHGEDFN DQGIXOOEDQGZLGWK68IHHGEDFNLQDQ+(7%VRXQGLQJ 6HWWRLIVXSSRUWHG
 VHTXHQFH

 )RUDQRQ$367$LQGLFDWHVVXSSRUWIRUWKHWUDQVPLV
 VLRQRISDUWLDODQGIXOOEDQGZLGWK68IHHGEDFNLQDQ
 +(7%VRXQGLQJVHTXHQFH

 7ULJJHUHG08 )RUDQ$3LQGLFDWHVVXSSRUWIRUWKHUHFHSWLRQRISDUWLDO 6HWWRLIQRWVXSSRUWHG
 %HDPIRUPLQJ3DUWLDO EDQGZLGWK08IHHGEDFNLQDQ+(7%VRXQGLQJ 6HWWRLIVXSSRUWHG
 %:)HHGEDFN VHTXHQFH

 )RUDQRQ$367$LQGLFDWHVVXSSRUWIRUWKHWUDQVPLV
 VLRQRISDUWLDOEDQGZLGWK08IHHGEDFNLQDQ+(7%
 VRXQGLQJVHTXHQFH

 7ULJJHUHG&4,)HHG )RUDQ$3LQGLFDWHVVXSSRUWIRUWKHUHFHSWLRQRISDUWLDO 6HWWRLIQRWVXSSRUWHG
 EDFN DQGIXOOEDQGZLGWK&4,IHHGEDFNLQDQ+(7%VRXQG 6HWWRLIVXSSRUWHG
 LQJVHTXHQFH

 )RUDQRQ$367$LQGLFDWHVVXSSRUWIRUWKHWUDQVPLV
 VLRQRISDUWLDODQGIXOOEDQGZLGWK&4,IHHGEDFNLQDQ
 +(7%VRXQGLQJVHTXHQFH

 3DUWLDO%DQGZLGWK ,QGLFDWHVVXSSRUWIRUWKHWUDQVPLVVLRQDQGUHFHSWLRQRI 6HWWRLIQRWVXSSRUWHG
 ([WHQGHG5DQJH DQ+((56833'8LQZKLFKWKH+(PRGXODWHGILHOGV 6HWWRLIVXSSRUWHG
 DUHWUDQVPLWWHGRYHUWKHKLJKHUIUHTXHQF\WRQH58
 ZLWKLQSULPDU\0+]FKDQQHO
 3DUWLDO%DQGZLGWK )RUDQRQ$367$LQGLFDWHVVXSSRUWIRUWKHUHFHSWLRQ )RUDQRQ$367$
 '/080,02 RID'/080,02WUDQVPLVVLRQRQDQ58LQDQ+( 6HWWRLIQRWVXSSRUWHG
 0833'8ZKHUHWKH58GRHVQRWVSDQWKHHQWLUH 6HWWRLIVXSSRUWHG
 33'8EDQGZLGWK '/080,02ZLWKLQ2)'0$ 
 127(²$QRQ$367$WKDWVHWV
 WKLVILHOGWRVXSSRUWVUHFHLYLQJD
 SDUWLDOEDQGZLGWK58DOORFDWHGWR
 DVLQJOHXVHUZLWKLQDQ+(08
 33'8ZKHUHVRPHRWKHU58LV
 HPSOR\LQJ'/080,02

 5HVHUYHGIRUDQ$3

 33(7KUHVKROGV ,QGLFDWHVZKHWKHURUQRWWKH33(7KUHVKROGVILHOGLV 6HWWRLI33(7KUHVKROGVILHOGLV
 3UHVHQW SUHVHQW SUHVHQW
 6HWWRRWKHUZLVH


 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOHE²6XEILHOGVRIWKH+(3+<&DSDELOLWLHV,QIRUPDWLRQILHOG(continued)


 6XEILHOG 'HILQLWLRQ (QFRGLQJ

 365EDVHG656XS ,QGLFDWHVVXSSRUWIRU365EDVHG65RSHUDWLRQ 6HWWRLIQRWVXSSRUWHG
 SRUW 6HWWRLIVXSSRUWHG

 3RZHU%RRVW)DFWRU ,QGLFDWHVWKDWWKH67$VXSSRUWVDSRZHUERRVWIDFWRU 6HWWRLIQRWVXSSRUWHG
 6XSSRUW IRUWKH58VLQDQ+(0833'8LQWKHUDQJH>@ 6HWWRLIVXSSRUWHG

 +(6833'8$QG ,QGLFDWHVVXSSRUWIRUWKHUHFHSWLRQRIDQ+(6833'8 6HWWRLIQRWVXSSRUWHG
 +(0833'8:LWK DQG+(0833'8ZLWK[+(/7)DQG—VJXDUG 6HWWRLIVXSSRUWHG
 [+(/7)$QG LQWHUYDOGXUDWLRQ
 —V*, 7KLVVXEILHOGLVVHWWRLIWKH+(
 (56833'8:LWK[+(/7)
 $QG—V*,VXEILHOGLV
 0D[1F ,QGLFDWHVWKHPD[LPXPVXSSRUWHGNcIRUDQ+(FRP ,IWKH68%HDPIRUPHHVXEILHOGLV
 SUHVVHGEHDPIRUPLQJ&4,UHSRUW 
 6HWWRWKHPD[LPXPVXSSRUWHG
 NcIRUDQ+(FRPSUHVVHG
 EHDPIRUPLQJ&4,UHSRUWPLQXV
 

 5HVHUYHGLIWKH68%HDPIRUPHH
 VXEILHOGLV

 67%&7[!0+] ,QGLFDWHVVXSSRUWIRUWKHWUDQVPLVVLRQRIDQ+(7% )RUDQRQ$367$
 33'8XVLQJ67%&WKDWKDVDEDQGZLGWKJUHDWHUWKDQ 6HWWRLIQRWVXSSRUWHG
 0+] 6HWWRLIVXSSRUWHG

 5HVHUYHGIRUDQ$3RULIWKH6XS
 SRUWHG&KDQQHO:LGWK6HWILHOG
 GRHVQRWLQGLFDWHVXSSRUWIRUEDQG
 ZLGWKVJUHDWHUWKDQ0+]

 67%&5[!0+] ,QGLFDWHVVXSSRUWIRUWKHUHFHSWLRQRIDQ+(33'8 6HWWRLIQRWVXSSRUWHG
 XVLQJ67%&WKDWKDVDEDQGZLGWKJUHDWHUWKDQ0+] 6HWWRLIVXSSRUWHG

 5HVHUYHGLIWKH6XSSRUWHG&KDQ
 QHO:LGWK6HWILHOGGRHVQRWLQGL
 FDWHVXSSRUWIRUEDQGZLGWKV
 JUHDWHUWKDQ0+]

 +((56833'8 ,QGLFDWHVVXSSRUWIRUWKHUHFHSWLRQRIDQ+((568 6HWWRLIQRWVXSSRUWHG
 :LWK[+(/7) 33'8ZLWK[+(/7)DQG—VJXDUGLQWHUYDOGXUD 6HWWRLIVXSSRUWHG
 $QG—V*, WLRQ

 0+],Q0+] ,QGLFDWHVVXSSRUWIRUDQGWRQH58PDS 6HWWRLIQRWVXSSRUWHG
 +(33'8,Q SLQJIRUD0+]RSHUDWLQJQRQ$3+(67$WKDWLV 6HWWRLIVXSSRUWHG
 *+]%DQG WKHUHFHLYHURID0+]+(0833'8LQ*+]
 EDQGRUWKHWUDQVPLWWHURID0+]+(7%33'8LQ 127(²6HWWRLI%RIWKH6XS
 *+]EDQG SRUWHG&KDQQHO:LGWK6HWVXEILHOG
 LV

 5HVHUYHGIRUDQ$3
 0+],Q ,QGLFDWHVVXSSRUWIRUDQGWRQH58PDS 6HWWRLIQRWVXSSRUWHG
 0+]+( SLQJIRUD0+]RSHUDWLQJQRQ$3+(67$WKDWLV 6HWWRLIVXSSRUWHG
 33'8 WKHUHFHLYHURIDQ0+]RUD0+]+(08
 33'8RUWKHWUDQVPLWWHURIDQ0+]RU 127(²6HWWRLI%RIWKH6XS
 0+]+(7%33'8 SRUWHG&KDQQHO:LGWK6HWVXEILHOG
 LV

 5HVHUYHGIRUDQ$3


&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOHE²6XEILHOGVRIWKH+(3+<&DSDELOLWLHV,QIRUPDWLRQILHOG(continued)


 6XEILHOG 'HILQLWLRQ (QFRGLQJ

 0+],Q ,QGLFDWHVVXSSRUWVRI0+]2)'0$IRUD 6HWWRLIQRWVXSSRUWHG
 0+]+( QRQ$3+(67$WKDWVHWV%RI6XSSRUWHG&KDQQHO 6HWWRLIVXSSRUWHG
 33'8 :LGWK6HWWRDQGVHWV%DQG%RI6XSSRUWHG&KDQ
 QHO:LGWK6HWHDFKWRZKHQRSHUDWLQJZLWK0+] 127(²6HWWRLI%RIWKH6XS
 FKDQQHOZLGWK7KHFDSDELOLW\ELWLVDSSOLFDEOHZKLOH SRUWHG&KDQQHO:LGWK6HWVXEILHOG
 UHFHLYLQJDQ0+]RUD0+]+(08 LV
 33'8RUWUDQVPLWWLQJDQ0+]RUD0+]
 +(7%33'8 5HVHUYHGIRUDQ$3

 +((56833'8 ,QGLFDWHVVXSSRUWRIWKHUHFHSWLRQRIDQ+((568 6HWWRLIQRWVXSSRUWHG
 :LWK[+(/7) 33'8ZLWK[+(/7)DQG—VJXDUGLQWHUYDOGXUD 6HWWRLIVXSSRUWHG
 $QG—V*, WLRQ

 0LGDPEOH7[5[[ ,IWKH'RSSOHU5[VXEILHOGLVLQGLFDWHVVXSSRUWIRU 6HWWRLIQRWVXSSRUWHG
 $QG[+(/7) UHFHLYLQJPLGDPEOHVZLWK[+(/7)[+(/7)LQ 6HWWRLIVXSSRUWHG
 +(6833'8LIWKH+(6833'8:LWK[+(/7)
 $QG—V*,VXEILHOGLVDQG[+(/7)LQ+((5
 6833'8LIWKH+((56833'8:LWK[+(/7)
 $QG—V*,VXEILHOGLV

 ,IWKH'RSSOHU7[VXEILHOGLVLQGLFDWHVVXSSRUWIRU
 WUDQVPLWWLQJPLGDPEOHVZLWK[+(/7)[+(/7)
 LQ+(7%33'8ZKHQDOORZHG

 ,IERWKWKH'RSSOHU5[DQG'RSSOHU7[VXEILHOGVDUH
 LQGLFDWHVVXSSRUWIRUUHFHLYLQJPLGDPEOHVZLWK[+(
 /7)[+(/7)LQ+(6833'8LIWKH+(6833'8
 :LWK[+(/7)$QG—V*,VXEILHOGLVDQG[
 +(/7)LQ+((56833'8LIWKH+((56833'8
 :LWK[+(/7)$QG—V*,VXEILHOGLVDQGDOVR
 VXSSRUWIRUWUDQVPLWWLQJPLGDPEOHVZLWK[+(/7)
 [+(/7)LQ+(7%33'8ZKHQDOORZHG
 '&00D[58 ,IWKH'&00D[&RQVWHOODWLRQ7[VXEILHOGLVJUHDWHU 6HWWRIRUWRQH58
 WKDQWKHQWKH'&00D[58VXEILHOGLQGLFDWHVWKH 6HWWRIRUWRQH58
 PD[LPXP58VL]HWKDWWKH67$PLJKWWUDQVPLWZLWK 6HWWRIRUWRQH58
 '&0DSSOLHG 6HWWRIRUîWRQH58

 ,IWKH'&00D[&RQVWHOODWLRQ5[VXEILHOGLVJUHDWHU
 WKDQWKHQWKH'&00D[58VXEILHOGLQGLFDWHVWKH
 PD[LPXP58VL]HZLWK'&0DSSOLHGWKDWWKH67$FDQ
 UHFHLYH

 ,IERWKWKH'&00D[&RQVWHOODWLRQ7[VXEILHOGDQG
 '&00D[&RQVWHOODWLRQ5[VXEILHOGDUHWKHQWKLV
 VXEILHOGLVUHVHUYHG

 /RQJHU7KDQ+( )RUDQRQ$367$LQGLFDWHVVXSSRUWIRUUHFHLYLQJD 6HWWRLIQRWVXSSRUWHG
 6,*%2)'06\P '/+(0833'8ZKHUHWKHQXPEHURI2)'0V\P 6HWWRLIVXSSRUWHG
 EROV6XSSRUW EROVLQWKH+(6,*%ILHOGLVJUHDWHUWKDQ
 $0+]RQO\QRQ$3+(67$
 VHWVWKLVWR

 1RQ7ULJJHUHG&4, )RUDQ$3LQGLFDWHVVXSSRUWIRUWKHUHFHSWLRQRIIXOO 6HWWRLIQRWVXSSRUWHG
 )HHGEDFN EDQGZLGWKQRQWULJJHUHG&4,IHHGEDFN 6HWWRLIVXSSRUWHG

 )RUDQRQ$367$LQGLFDWHVVXSSRUWIRUWKHWUDQVPLV
 VLRQRIIXOOEDQGZLGWKQRQWULJJHUHG&4,IHHGEDFN




 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOHE²6XEILHOGVRIWKH+(3+<&DSDELOLWLHV,QIRUPDWLRQILHOG(continued)


 6XEILHOG 'HILQLWLRQ (QFRGLQJ

 7[4$0 )RUDQRQ$367$LQGLFDWHVVXSSRUWIRUWKHWUDQVPLV )RUDQRQ$367$
 WRQH586XS VLRQRI4$0RQDDQGWRQH58 6HWWRLIQRWVXSSRUWHG
 SRUW 6HWWRLIVXSSRUWHG

 5HVHUYHGIRUDQ$3

 5[4$0 ,QGLFDWHVVXSSRUWIRUWKHUHFHSWLRQRI4$0RQD 6HWWRLIQRWVXSSRUWHG
 WRQH586XS DQGWRQH58 6HWWRLIVXSSRUWHG
 SRUW

 5[)XOO%:68 ,QGLFDWHVVXSSRUWIRUUHFHSWLRQRIDQ+(0833'8 6HWWRLIQRWVXSSRUWHG
 8VLQJ+(08 ZLWKDVLQJOHXVHUDOORFDWHGDQ58VSDQQLQJWKHHQWLUH 6HWWRLIVXSSRUWHG
 33'8:LWK&RP 33'8EDQGZLGWKDQGDFRPSUHVVHG+(6,*%IRUPDW
 SUHVVHG+(6,*%
 5[)XOO%:68 ,QGLFDWHVVXSSRUWIRUUHFHSWLRQRIDQ+(0833'8 6HWWRLIQRWVXSSRUWHG
 8VLQJ+(08 ZLWKDEDQGZLGWKOHVVWKDQRUHTXDOWR0+]DVLQJOH 6HWWRLIVXSSRUWHG
 33'8:LWK1RQ XVHUDOORFDWHGDQ58VSDQQLQJWKHHQWLUH33'8EDQG
 &RPSUHVVHG+( ZLGWKDQGDQRQFRPSUHVVHG+(6,*%IRUPDW
 6,*%

 1RPLQDO3DFNHW ,QGLFDWHVWKHQRPLQDOSDFNHWSDGGLQJWREHXVHGIRUDOO 6HWWRLIWKHQRPLQDOSDFNHWSDG
 3DGGLQJ FRQVWHOODWLRQV166DQG58DOORFDWLRQVWKH67$VXS GLQJLV—VIRUDOOFRQVWHOODWLRQV
 SRUWVLIWKH33(7KUHVKROGV3UHVHQWVXEILHOGLVVHWWR 166DQG58DOORFDWLRQVWKH67$
 VXSSRUWV

 6HWWRLIWKHQRPLQDOSDFNHWSDG
 GLQJLV—VIRUDOOFRQVWHOODWLRQV
 166DQG58DOORFDWLRQVWKH67$
 VXSSRUWV

 6HWWRLIWKHQRPLQDOSDFNHWSDG
 GLQJLV—VIRUDOOFRQVWHOODWLRQV
 166DQG58DOORFDWLRQVWKH67$
 VXSSRUWV

 7KHYDOXHLVUHVHUYHG

 5HVHUYHGLIWKH33(7KUHVKROGV
 3UHVHQWVXEILHOGLV



 6XSSRUWHG+(0&6$QG1666HWILHOG

 7KH6XSSRUWHG+(0&6$QG1666HWILHOGLQGLFDWHVWKHFRPELQDWLRQVRI+(0&6VDQGVSDWLDOVWUHDPV

WKDWD67$VXSSRUWVIRUUHFHSWLRQDQGWKHFRPELQDWLRQVWKDWLWVXSSRUWVIRUWUDQVPLVVLRQ7KHIRUPDWRIWKH

 ILHOGLVVKRZQLQ)LJXUHG 6XSSRUWHG+(0&6$QG1666HWILHOGIRUPDW 




 5[+(0&6 7[+(0&6 5[+(0&6 7[+(0&6 5[+(0&6 7[+(0&6
0DS 0DS
 0DS”0+] 0DS”0+] 0DS0+] 0DS0+] 0+] 0+]


2FWHWV   RU RU RU RU


 )LJXUHG²6XSSRUWHG+(0&6$QG1666HWILHOGIRUPDW


&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KHVXEILHOGVRIWKH6XSSRUWHG+(0&6$QG1666HWILHOGDQGWKHLUSUHVHQFHDUHGHILQHGLQ7DEOHF
 6XEILHOGVRIWKH6XSSRUWHG+(0&6$QG1666HWILHOG 



 7DEOHF²6XEILHOGVRIWKH6XSSRUWHG+(0&6$QG1666HWILHOG


 6XEILHOG 'HILQLWLRQ (QFRGLQJ

 5[+(0&60DS ,IWKHRSHUDWLQJFKDQQHOZLGWKRIWKH 7KHIRUPDWDQGHQFRGLQJRIWKLVVXEILHOGDUH
 ”0+] 67$LVJUHDWHUWKDQ0+]LQGLFDWHV GHILQHGLQ)LJXUHG 6XSSRUWHG+(0&6
 WKHPD[LPXPYDOXHRIWKH5;9(&725 $QG1666HWILHOGIRUPDW DQGWKHDVVRFLDWHG
 SDUDPHWHU0&6RID33'8WKDWFDQEH GHVFULSWLRQ
 UHFHLYHGE\WKH67$IRUD33'8ZLWK
 EDQGZLGWKOHVVWKDQRUHTXDOWR0+] 7KH5[+(0&60DS”0+]VXEILHOGLV
 IRUHDFKQXPEHURIVSDWLDOVWUHDPV DOZD\VSUHVHQWLQWKH6XSSRUWHG+(0&6$QG
 1666HWILHOG
 ,IWKHRSHUDWLQJFKDQQHOZLGWKRIWKLV
 67$LVOHVVWKDQRUHTXDOWR0+]
 LQGLFDWHVWKHPD[LPXPYDOXHRIWKH
 5;9(&725SDUDPHWHU0&6IRUD
 33'8WKDWFDQEHUHFHLYHGE\WKH67$
 IRUHDFKQXPEHURIVSDWLDOVWUHDPV

 7[+(0&60DS ,IWKHRSHUDWLQJFKDQQHOZLGWKRIWKLV 7KHIRUPDWDQGHQFRGLQJRIWKLVVXEILHOGDUH
 ”0+] 67$LVJUHDWHUWKDQ0+]LQGLFDWHV GHILQHGLQ)LJXUHG 6XSSRUWHG+(0&6
 WKHPD[LPXPYDOXHRIWKH7;9(&725 $QG1666HWILHOGIRUPDW DQGWKHDVVRFLDWHG
 SDUDPHWHU0&6RID33'8WKDWFDQEH GHVFULSWLRQ
 WUDQVPLWWHGE\WKH67$IRUD33'8ZLWK
 EDQGZLGWKOHVVWKDQRUHTXDOWR0+] 7KH7[+(0&60DS”0+]VXEILHOGLV
 IRUHDFKQXPEHURIVSDWLDOVWUHDPV DOZD\VSUHVHQWLQWKH6XSSRUWHG+(0&6$QG
 1666HWILHOG
 ,IWKHRSHUDWLQJFKDQQHOZLGWKRIWKLV
 67$LVOHVVWKDQRUHTXDOWR0+]
 LQGLFDWHVWKHPD[LPXPYDOXHRIWKH
 7;9(&725SDUDPHWHU0&6IRUD
 33'8WKDWFDQEHWUDQVPLWWHGE\WKH
 67$IRUHDFKQXPEHURIVSDWLDOVWUHDPV

 5[+(0&60DS ,IWKHRSHUDWLQJFKDQQHOZLGWKRIWKH 7KHIRUPDWDQGHQFRGLQJRIWKLVVXEILHOGDUH
 0+] 67$LV0+]LQGLFDWHVWKHPD[L GHILQHGLQ)LJXUHG 6XSSRUWHG+(0&6
 PXPYDOXHRIWKH5;9(&725SDUDPH $QG1666HWILHOGIRUPDW DQGWKHDVVRFLDWHG
 WHU0&6IRUD0+]33'8WKDWFDQ GHVFULSWLRQ
 EHUHFHLYHGE\WKLV67$IRUHDFKQXPEHU
 RIVSDWLDOVWUHDPV 7KH5[+(0&60DS0+]VXEILHOGLVSUHV
 HQWLI%RIWKH6XSSRUWHG&KDQQHO:LGWK6HW
 VXEILHOGRIWKH+(3+<&DSDELOLWLHV,QIRUPDWLRQ
 ILHOGLVRWKHUZLVHLWLVQRWSUHVHQW

 7[+(0&60DS ,IWKHRSHUDWLQJFKDQQHOZLGWKRIWKH 7KHIRUPDWDQGHQFRGLQJRIWKLVVXEILHOGDUH
 0+] 67$LV0+]LQGLFDWHVWKHPD[L GHILQHGLQ)LJXUHG 6XSSRUWHG+(0&6
 PXPYDOXHRIWKH7;9(&725SDUDPH $QG1666HWILHOGIRUPDW DQGWKHDVVRFLDWHG
 WHU0&6IRUD0+]33'8WKDWFDQ GHVFULSWLRQ
 EHWUDQVPLWWHGE\WKLV67$IRUHDFKQXP
 EHURIVSDWLDOVWUHDPV 7KH7[+(0&60DS0+]VXEILHOGLVSUHV
 HQWLI%RIWKH6XSSRUWHG&KDQQHO:LGWK6HW
 VXEILHOGRIWKH+(3+<&DSDELOLWLHV,QIRUPDWLRQ
 ILHOGLVRWKHUZLVHLWLVQRWSUHVHQW







 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOHF²6XEILHOGVRIWKH6XSSRUWHG+(0&6$QG1666HWILHOG(continued)


 6XEILHOG 'HILQLWLRQ (QFRGLQJ

 5[+(0&60DS ,IWKHRSHUDWLQJFKDQQHOZLGWKRIWKH 7KHIRUPDWDQGHQFRGLQJRIWKLVVXEILHOGDUH
 0+] 67$LV0+]LQGLFDWHVWKHPD[L GHILQHGLQ)LJXUHG 6XSSRUWHG+(0&6
 PXPYDOXHRIWKH5;9(&725SDUDPH $QG1666HWILHOGIRUPDW DQGWKHDVVRFLDWHG
 WHU0&6IRUDQ0+]33'8WKDW GHVFULSWLRQ
 FDQEHUHFHLYHGE\WKLV67$IRUHDFK
 QXPEHURIVSDWLDOVWUHDPV 7KH5[+(0&60DS0+]VXEILHOGLV
 SUHVHQWLI%RIWKH6XSSRUWHG&KDQQHO:LGWK
 6HWVXEILHOGRIWKH+(3+<&DSDELOLWLHV,QIRU
 PDWLRQILHOGLVRWKHUZLVHLWLVQRWSUHVHQW

 7[+(0&60DS ,IWKHRSHUDWLQJFKDQQHOZLGWKRIWKH 7KHIRUPDWDQGHQFRGLQJRIWKLVVXEILHOGDUH
 0+] 67$LV0+]LQGLFDWHVWKHPD[L GHILQHGLQ)LJXUHG 6XSSRUWHG+(0&6
 PXPYDOXHRIWKH7;9(&725SDUDPH $QG1666HWILHOGIRUPDW DQGWKHDVVRFLDWHG
 WHU0&6IRUDQ0+]33'8WKDW GHVFULSWLRQ
 FDQEHWUDQVPLWWHGE\WKLV67$IRUHDFK
 QXPEHURIVSDWLDOVWUHDPV 7KH7[+(0&60DS0+]VXEILHOGLV
 SUHVHQWLI%RIWKH6XSSRUWHG&KDQQHO:LGWK
 6HWVXEILHOGRIWKH+(3+<&DSDELOLWLHV,QIRU
 PDWLRQILHOGLVRWKHUZLVHLWLVQRWSUHVHQW



 7KH5[+(0&60DSDQG7[+(0&60DSVXEILHOGVKDYHWKHIRUPDWVKRZQLQ)LJXUHH 5[+(

0&60DSVXEILHOG7[+(0&60DSVXEILHOGDQG%DVLF+(0&6$QG1666HWILHOGIRUPDW 


 %% %% %% %% %% %% %% %%


0D[+( 0D[+( 0D[+( 0D[+( 0D[+( 0D[+( 0D[+( 0D[+(
 0&6)RU 0&6)RU 0&6)RU 0&6)RU 0&6)RU 0&6)RU 0&6)RU 0&6)RU
 66 66 66 66 66 66 66 66

 %LWV        


)LJXUHH²5[+(0&60DSVXEILHOG7[+(0&60DSVXEILHOGDQG%DVLF+(0&6$QG166

 6HWILHOGIRUPDW

 7KH0D[+(0&6)RUn66VXEILHOG ZKHUHn « LVHQFRGHGDVIROORZV

 ² LQGLFDWHVVXSSRUWIRU+(0&6IRUnVSDWLDOVWUHDPV
 ² LQGLFDWHVVXSSRUWIRU+(0&6IRUnVSDWLDOVWUHDPV

 ² LQGLFDWHVVXSSRUWIRU+(0&6IRUnVSDWLDOVWUHDPV

 ² LQGLFDWHVWKDWnVSDWLDOVWUHDPVLVQRWVXSSRUWHGIRU+(33'8V

 7KHPD[LPXPUHFHLYH166IRUDJLYHQ+(0&6LVHTXDOWRWKHVPDOOHURI

 ² 7KHPD[LPXPYDOXHRInIRUZKLFKWKH0D[+(0&6)RUn66KDVDYDOXHWKDWLQGLFDWHVVXSSRUWIRU
 WKDW+(0&6

² 7KHPD[LPXPVXSSRUWHG166DVLQGLFDWHGE\WKHYDOXHRIWKH5[166ILHOGRIWKH2SHUDWLQJ0RGH

 1RWLILFDWLRQIUDPHLIWKHYDOXHRI5[1667\SHLVRURIWKH20&RQWUROVXEILHOG

127(²$Q+(0&6LQGLFDWHGDVVXSSRUWHGLQWKH5[+(0&60DSILHOGVIRUDSDUWLFXODUQXPEHURIVSDWLDOVWUHDPV

PLJKWQRWEHYDOLGDWDOOEDQGZLGWKV VHH 3DUDPHWHUVIRU+(0&6V DQGPLJKWEHDIIHFWHGE\ $GGL

WLRQDOUDWHVHOHFWLRQFRQVWUDLQWVIRU+(33'8V 


 7KHPD[LPXPWUDQVPLW166IRUDJLYHQ+(0&6LVHTXDOWRWKHVPDOOHURI

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ² 7KHPD[LPXPYDOXHRInIRUZKLFKWKH0D[+(0&6)RUn66KDVDYDOXHWKDWLQGLFDWHVVXSSRUWIRU
 WKDW+(0&6 RUIRU+(0&6RUIRU+(0&6IRU+(0&6

 ² 7KHPD[LPXPVXSSRUWHG1676DVLQGLFDWHGE\WKHYDOXHRIWKH7[1676ILHOGRIWKH20&RQWURO
 VXEILHOGVHQWE\DQRQ$367$

 127(²$Q +(0&6 LQGLFDWHG DV VXSSRUWHG LQ WKH 7[ +(0&6 0DS ILHOGV IRU D SDUWLFXODU QXPEHU RI VSDFHWLPH
 VWUHDPVPLJKWQRWEHYDOLGDWDOOEDQGZLGWKV VHH 3DUDPHWHUVIRU+(0&6V DQGPLJKWEHDIIHFWHGE\ 
 $GGLWLRQDOUDWHVHOHFWLRQFRQVWUDLQWVIRU+(33'8V 

 33(7KUHVKROGVILHOG


 7KH33(7KUHVKROGVILHOGGHWHUPLQHVWKHQRPLQDOSDFNHWSDGGLQJYDOXH VHH +(33'8SRVW)(& 
 SDGGLQJDQGSDFNHWH[WHQVLRQ IRUDQ+(33'8RIDSDUWLFXODU58DOORFDWLRQVL]HDQG1676YDOXH7KHIRU
 PDWRIWKH33(7KUHVKROGVILHOGLVGHILQHGLQ)LJXUHI 33(7KUHVKROGVILHOGIRUPDW 


 % % % %

 33(
58,QGH[
 1676
%LWPDVN
7KUHVKROGV 33(3DG
 ,QIR

 %LWV   YDULDEOH WR

 )LJXUHI²33(7KUHVKROGVILHOGIRUPDW


 7KH1676VXEILHOGFRQWDLQVDQXQVLJQHGLQWHJHUWKDWLVWKHQXPEHURI1676YDOXHVPLQXVIRUZKLFK33(

 WKUHVKROGYDOXHVDUHLQFOXGHGLQWKH33(7KUHVKROGV/LVWVXEILHOG

 7KH 58 ,QGH[ %LWPDVN VXEILHOG FRQWDLQV D ELWPDVN WKDW LQGLFDWHV ZKHWKHU WKH 33( 7KUHVKROGV ,QIR ILHOG

FRQWDLQV33(7DQG33(7YDOXHVIRUWKHIRXUSRVVLEOH58VL]HVLQGLFDWHGLQ7DEOHH 58DOORFDWLRQ 

 LQGH[ 7KH33(7DQG33(7YDOXHVIRU58DOORFDWLRQLQGH[kLVSUHVHQWLQWKH33(7KUHVKROGV,QIRILHOG 
 RQO\LIELWkRIWKH58,QGH[%LWPDVNVXEILHOG ELWkRIWKH33(7KUHVKROGVILHOG LV)RUH[DPSOHLI%
 RIWKH58,QGH[%LWPDVNVXEILHOG %RIWKH33(7KUHVKROGVILHOG LV33(7DQG33(7YDOXHVDUH
 SUHVHQWLQWKH33(7KUHVKROGV,QIRILHOGIRUWKH58DOORFDWLRQVL]HFRUUHVSRQGLQJWR58DOORFDWLRQLQGH[

WRQH58 ,I%RIWKH58,QGH[%LWPDVNVXEILHOGLV33(7DQG33(7YDOXHVDUHQRWSUHVHQWLQ

 WKH33(7KUHVKROGV,QIRILHOGIRUWKH58DOORFDWLRQVL]HFRUUHVSRQGLQJWR58DOORFDWLRQLQGH[

 7KH33(7KUHVKROGV/LVWILHOGFRQWDLQVî NSTS ELWVZKHUHNSTSLVWKHYDOXHLQWKH1676ILHOGIRU
 HYHU\ELWLQWKH58,QGH[%LWPDVNVXEILHOGWKDWLVQRQ]HUR7KHIRUPDWRIWKH33(7KUHVKROGV,QIRILHOGLV

 GHILQHGLQ)LJXUHJ 33(7KUHVKROGV,QIRILHOGIRUPDW 

 %% %%


 33(7 33(7 33(7 33(7 33(7 33(7
1676 1676 « 1676 1676 « 1676n 1676n
 58x 58x 58m 58m 58m 58m

 %LWV      


 )LJXUHJ²33(7KUHVKROGV,QIRILHOGIRUPDW

 7KH33(7DQG33(7VXEILHOGVIRUYDULRXV1676DQG58YDOXHVDSSHDULQLQFUHDVLQJ1676YDOXHDQG 
 LQFUHDVLQJ 58 LQGH[ YDOXH RUGHU /RZHU QXPEHUHG 33( 7KUHVKROGV ,QIR ILHOG ELWV FRQWDLQ 33(7 DQG

33(7VXEILHOGVFRUUHVSRQGLQJWRORZHUQXPEHUHG1676YDOXHV:LWKLQDVHWRI33(7DQG33(7VXE

 ILHOGV FRUUHVSRQGLQJ WR D VLQJOH YDOXH RI NSTS ORZHU QXPEHUHG 33( 7KUHVKROGV ,QIR ILHOG ELWV FRQWDLQ
 33(7 DQG 33(7 VXEILHOGV FRUUHVSRQGLQJ WR ORZHU QXPEHUHG 58 LQGH[ YDOXHV 7KH 33(7 1676n

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 58bDQG33(71676n58bVXEILHOGVDUHSUHVHQWIRUDOOYDOXHVRInDQGbZKHUH”n” NSTS DQG 


 ZKHUHb >x«m@LVWKHVHWRILQWHJHUVHTXDOWRWKHRUGHUHGOLVWRIELWSRVLWLRQVRIDOOELWVWKDWDUHVHWWRLQ


WKH58,QGH[%LWPDVNVXEILHOGZLWKxEHLQJWKHORZHVWYDOXH


 (DFK33(71676n58bDQG33(71676n58bVXEILHOGFRQWDLQVDQLQWHJHUDVGHILQHGLQ7DEOHG

 &RQVWHOODWLRQLQGH[ ZKLFKLVXVHGWRFRPSXWHWKHQRPLQDOSDFNHWSDGGLQJYDOXH



7DEOHG²&RQVWHOODWLRQLQGH[


 &RUUHVSRQGLQJ
 &RQVWHOODWLRQ,QGH[ 7UDQVPLVVLRQ
 &RQVWHOODWLRQ


  %36.

  436.

  4$0

  4$0

  4$0


  4$0

  5HVHUYHG

  1RQH



 7KHYDOXHRIWKH33(71676n58bVXEILHOGLVDOZD\VOHVVWKDQWKHYDOXHRIWKH33(71676n58bVXE
 ILHOGH[FHSWLIWKH33(7VXEILHOGLV


 7KH58DOORFDWLRQLQGH[IRUHDFK58DOORFDWLRQVL]HLVGHILQHGLQ7DEOHH 58DOORFDWLRQLQGH[ 


 7DEOHH²58DOORFDWLRQLQGH[


 58DOORFDWLRQLQGH[ 58DOORFDWLRQVL]H

  

  


  

  î



 7KH 33( 3DG ILHOG FRQWDLQV DOO V 7KH QXPEHU RI ELWV LQ WKH 33( 3DG ILHOG LV WKH OHDVW QXPEHU RI ELWV
 UHTXLUHGWRURXQGWKHOHQJWKRIWKH33(7KUHVKROGV,QIRILHOGWRDQLQWHJHUQXPEHURIRFWHWV





&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 +(2SHUDWLRQHOHPHQW


 7KHRSHUDWLRQRI+(67$VLQDQ+(%66LVFRQWUROOHGE\WKHIROORZLQJ

 ² WKH+72SHUDWLRQHOHPHQWDQGWKH+(2SHUDWLRQHOHPHQWLIRSHUDWLQJLQWKH*+]EDQG

² WKH +7 2SHUDWLRQ HOHPHQW 9+7 2SHUDWLRQ HOHPHQW LI SUHVHQW  DQG WKH +( 2SHUDWLRQ HOHPHQW LI

 RSHUDWLQJLQWKH*+]EDQG

² 7KH+(2SHUDWLRQHOHPHQWLIRSHUDWLQJLQWKH*+]EDQG


 7KHIRUPDWRIWKH+(2SHUDWLRQHOHPHQWLVGHILQHGLQ)LJXUHK +(2SHUDWLRQHOHPHQWIRUPDW 




 %DVLF 0D[&R
 (OHPHQW +( 9+7 *+]
(OHPHQW /HQJWK ,' 2SHUDWLRQ %66&RORU +(0&6 2SHUDWLRQ +RVWHG 2SHUDWLRQ
 ,' ,QIRUPDWLRQ $QG166 %66,'
([WHQVLRQ 3DUDPHWHUV 6HW ,QIRUPDWLRQ ,QGLFDWRU ,QIRUPDWLRQ


 2FWHWV       RU RU RU

 )LJXUHK²+(2SHUDWLRQHOHPHQWIRUPDW


 7KH(OHPHQW,'/HQJWKDQG(OHPHQW,'([WHQVLRQILHOGVDUHGHILQHGLQ *HQHUDO 


7KHIRUPDWRIWKH+(2SHUDWLRQ3DUDPHWHUVILHOGLVGHILQHGLQ)LJXUHL +(2SHUDWLRQ3DUDPHWHUVILHOG

 IRUPDW 


%% % %% % % % % %%


 7;23 9+7 *+]
'HIDXOW3( 7:7 'XUDWLRQ 2SHUDWLRQ &R+RVWHG (568 2SHUDWLRQ 5HVHUYHG
 'XUDWLRQ 5HTXLUHG 576 ,QIRUPDWLRQ %66 'LVDEOH ,QIRUPDWLRQ
 7KUHVKROG 3UHVHQW 3UHVHQW

 %LWV        


)LJXUHL²+(2SHUDWLRQ3DUDPHWHUVILHOGIRUPDW


 7KH'HIDXOW3('XUDWLRQVXEILHOGLQGLFDWHVWKH3(ILHOGGXUDWLRQLQXQLWVRI—VIRUDQ+(7%33'8WKDWLV
 VROLFLWHGZLWKD756&RQWUROVXEILHOGDQGLWVXVHLVGHILQHGLQ 1RQ$367$EHKDYLRUIRU8/08 

 RSHUDWLRQ 9DOXHVRIWKH'HIDXOW3('XUDWLRQVXEILHOGDUHUHVHUYHG

 7KH7:75HTXLUHGVXEILHOGLVVHWWRWRLQGLFDWHWKDWWKH$3UHTXLUHVLWVDVVRFLDWHGQRQ$3+(67$VWKDW


KDYHGHFODUHGVXSSRUWIRU7:7E\VHWWLQJDQ\RQHRI7:75HTXHVWHU6XSSRUWRU7:75HVSRQGHU6XSSRUW 
 RU%URDGFDVW7:76XSSRUWVXEILHOGLQ+(&DSDELOLWLHVHOHPHQWWKDWLWWUDQVPLWVWRWRRSHUDWHLQWKHUROHRI
 HLWKHU7:7UHTXHVWLQJ67$E\IROORZLQJWKHUXOHVLQ ,QGLYLGXDO7:7DJUHHPHQWV RU7:7VFKHG
 XOHG67$E\IROORZLQJWKHUXOHVLQ %URDGFDVW7:7RSHUDWLRQ DQGVHWWRRWKHUZLVH


 7KH7;23'XUDWLRQ5767KUHVKROGVXEILHOGHQDEOHVDQ+($3WRPDQDJH576&76XVDJHE\QRQ$3+( 
 67$VWKDWDUHDVVRFLDWHGZLWKLW VHH 7;23GXUDWLRQEDVHG576&76 7KH7;23'XUDWLRQ576 
 7KUHVKROGVXEILHOGFRQWDLQVWKH7;23GXUDWLRQ576WKUHVKROGLQXQLWVRI—VZKLFKHQDEOHVWKHXVHRI

576&76H[FHSWIRUWKHYDOXH7KHYDOXHLQGLFDWHVWKDW7;23GXUDWLRQEDVHG576LVGLVDEOHG

 7KHYDOXHRILVDOORZHGLQ%HDFRQDQG3UREH5HVSRQVHIUDPHVDQGLQGLFDWHVWKDWWKHSUHYLRXVO\DQQRXQFHG
 7;23GXUDWLRQ576WKUHVKROGUHPDLQVLQHIIHFW,QDOORWKHUIUDPHVWKHYDOXHRILVUHVHUYHG

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KH9+72SHUDWLRQ,QIRUPDWLRQ3UHVHQWVXEILHOGLVVHWWRWRLQGLFDWHWKDWWKH9+72SHUDWLRQ,QIRUPDWLRQ
 ILHOGLVSUHVHQWLQWKH+(2SHUDWLRQHOHPHQWDQGVHWWRRWKHUZLVH7KH9+72SHUDWLRQ,QIRUPDWLRQ3UHVHQW

VXEILHOGLVVHWDVGHILQHGLQ +(%66RSHUDWLRQ 


 7KH&R+RVWHG%66VXEILHOGLVVHWWRWRLQGLFDWHWKDWWKH$3WUDQVPLWWLQJWKLVHOHPHQWVKDUHVWKHVDPH
 RSHUDWLQJFODVVFKDQQHODQGDQWHQQDFRQQHFWRUVZLWKDWOHDVWRQHRWKHU$3WKDWLVSURYLGLQJLWV%66LQIRUPD
 WLRQE\WUDQVPLWWLQJ%HDFRQDQG3UREH5HVSRQVHIUDPHV2WKHUZLVHWKHVXEILHOGLVVHWWR$Q$3RSHUDWLQJ 


LQWKH*+]EDQGD7'/667$DQ,%6667$DPHVK67$RUDQ$3ZLWKGRW0XOWL%66,PSOHPHQWHG 
 HTXDOWRWUXHVHWVWKHVXEILHOGWR

 7KH(568'LVDEOHVXEILHOGLQGLFDWHVZKHWKHUWRQH+((56833'8UHFHSWLRQE\WKH$3LVGLVDEOHG 
 RUHQDEOHG7KH(568'LVDEOHVXEILHOGLVVHWWRWRLQGLFDWHWKDWLWLVGLVDEOHGDQGVHWWRWRLQGLFDWHWKDWLW

 LVHQDEOHG

 7KH*+]2SHUDWLRQ,QIRUPDWLRQ3UHVHQWILHOGLVVHWWRWRLQGLFDWHWKDWWKH*+]2SHUDWLRQ,QIRUPDWLRQ 
 ILHOGLVSUHVHQWDQGVHWWRRWKHUZLVH7KH*+]2SHUDWLRQ,QIRUPDWLRQ3UHVHQWILHOGLVVHWWRE\DQ$3

 RSHUDWLQJLQWKH*+]EDQG


 7KH%66&RORU,QIRUPDWLRQILHOGLVGHILQHGLQ)LJXUHM %66&RORU,QIRUPDWLRQILHOGIRUPDW 


 %% % %

 %66&RORU 3DUWLDO %66&RORU
 %66&RORU 'LVDEOHG

 %LWV   

 )LJXUHM²%66&RORU,QIRUPDWLRQILHOGIRUPDW


7KH%66&RORUVXEILHOGLVDQXQVLJQHGLQWHJHUZKRVHYDOXHLVWKH%66&RORURIWKH%66FRUUHVSRQGLQJWR


 WKH$3,%6667$PHVK67$RU7'/667$WKDWWUDQVPLWWHGWKLVHOHPHQWDQGLVVHWDVGHILQHGLQ
 %66B&2/25 

 7KH3DUWLDO%66&RORUVXEILHOGLVVHWWRWRLQGLFDWHWKDWDQ$,'DVVLJQPHQWUXOHEDVHGRQWKH%66FRORUDV


GHILQHGLQ $,'DVVLJQPHQW LVDSSOLHGIRUWKH%662WKHUZLVHWKH3DUWLDO%66&RORUVXEILHOGLVVHW
 WR

 7KH%66&RORU'LVDEOHGVXEILHOGLVVHWWRWRWHPSRUDULO\GLVDEOHWKHXVHRIFRORUIRUWKH%66DVGHVFULEHG

 LQ %66B&2/25 RWKHUZLVHLWLVVHWWR


 7KH%DVLF+(0&6$QG1666HWILHOGLQGLFDWHVWKH+(0&6VIRUHDFKQXPEHURIVSDWLDOVWUHDPVLQ+( 
 33'8VWKDWDUHVXSSRUWHGE\DOO+(67$VLQWKH%66 LQFOXGLQJ,%66DQG0%66 LQWUDQVPLWDQGUHFHLYH
 7KH%DVLF+(0&6$QG1666HWILHOGLVGHILQHGLQ)LJXUHH 5[+(0&60DSVXEILHOG7[+(
 0&60DSVXEILHOGDQG%DVLF+(0&6$QG1666HWILHOGIRUPDW 


 7KHIRUPDWRIWKH9+72SHUDWLRQ,QIRUPDWLRQILHOGLVGHILQHGLQ)LJXUH 9+72SHUDWLRQ,QIRUPDWLRQ
 ILHOG DQGLWVVXEILHOGVDUHGHILQHGLQ7DEOH 9+72SHUDWLRQ,QIRUPDWLRQVXEILHOGV 7KH9+72SHUD
 WLRQ,QIRUPDWLRQILHOGLVSUHVHQWLIWKH9+72SHUDWLRQ,QIR3UHVHQWILHOGLVRWKHUZLVHQRWSUHVHQW


 7KH0D[&R+RVWHG%66,',QGLFDWRUILHOGFRQWDLQVDYDOXHDVVLJQHGWRnZKHUHnLVWKHPD[LPXPQXPEHU
 RI%66,'VLQWKHFRKRVWHG%66,'VHWDVGHILQHGLQ &RKRVWHG%66,'VHW 7KLVILHOGLVSUHVHQWLI
 WKH&R+RVWHG%66VXEILHOGLQ+(2SHUDWLRQ3DUDPHWHUVILHOGLVDQGLVQRWSUHVHQWRWKHUZLVH

 127(²7KH0D[&R+RVWHG%66,',QGLFDWRUILHOGGRHVQRWSURYLGHWKHH[DFWQXPEHURUWKHLGHQWLW\RIHDFKFRKRVWHG

 %66,'

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KH*+]2SHUDWLRQ,QIRUPDWLRQILHOGSURYLGHVFKDQQHODQGEDQGZLGWKLQIRUPDWLRQUHODWHGWR*+]RSHU
 DWLRQ VHH &KDQQHODOORFDWLRQLQWKH*+]EDQG 7KHIRUPDWRIWKH*+]2SHUDWLRQ,QIRUPD

WLRQILHOGLVGHILQHGLQ)LJXUHN *+]2SHUDWLRQ,QIRUPDWLRQILHOGIRUPDW 





&KDQQHO &KDQQHO
 3ULPDU\ &HQWHU &HQWHU 0LQLPXP
 &RQWURO
&KDQQHO )UHTXHQF\ )UHTXHQF\ 5DWH
 6HJPHQW 6HJPHQW

 2FWHWV     

 )LJXUHN²*+]2SHUDWLRQ,QIRUPDWLRQILHOGIRUPDW


 7KH3ULPDU\&KDQQHOILHOGLQGLFDWHVWKHFKDQQHOQXPEHURIWKHSULPDU\FKDQQHOLQWKH*+]EDQG

 7KH&RQWUROILHOGLVGHILQHGLQ)LJXUHO &RQWUROILHOGIRUPDW 


 %% % %%

 &KDQQHO 'XSOLFDWH
5HVHUYHG
 :LGWK %HDFRQ

 %LWV   

 )LJXUHO²&RQWUROILHOGIRUPDW


 7KH&KDQQHO:LGWKILHOGLQGLFDWHVWKH%66FKDQQHOZLGWKDQGLVVHWWRIRU0+]IRU0+]IRU
 0+]DQGIRURU0+]

 7KH'XSOLFDWH%HDFRQVXEILHOGLVVHWWRLIWKH$3WUDQVPLWV%HDFRQIUDPHVLQQRQ+7GXSOLFDWH33'8ZLWK


D7;9(&725SDUDPHWHU&+B%$1':,'7+YDOXHWKDWLVXSWRWKH%66EDQGZLGWKDQGLVVHWWRRWKHU

 ZLVH

 7KH &KDQQHO &HQWHU )UHTXHQF\ 6HJPHQW  ILHOG LQGLFDWHV WKH FKDQQHO FHQWHU IUHTXHQF\ LQGH[ IRU WKH
 0+]0+]RU0+]RU0+]FKDQQHORQZKLFKWKH%66RSHUDWHVLQWKH*+]EDQG,IWKH

%66FKDQQHOZLGWKLV0+]RU0+]WKHQWKH&KDQQHO&HQWHU)UHTXHQF\6HJPHQWILHOGLQGLFDWHV

 WKHFKDQQHOFHQWHUIUHTXHQF\LQGH[RIWKHSULPDU\0+]

 7KH &KDQQHO &HQWHU )UHTXHQF\ 6HJPHQW  ILHOG LQGLFDWHV WKH FKDQQHO FHQWHU IUHTXHQF\ LQGH[ RI WKH
 0+]FKDQQHORQZKLFKWKH%66RSHUDWHVLQWKH*+]EDQG,IWKHFKDQQHOZLGWKLV0+]WKHQLW

LQGLFDWHVWKHFKDQQHOFHQWHUIUHTXHQF\LQGH[RIWKHVHFRQGDU\0+]


 7KH0LQLPXP5DWHILHOGLQGLFDWHVWKHPLQLPXPUDWHLQXQLWVRI0EVWKDWWKHQRQ$367$LVDOORZHGWR
 XVHIRUVHQGLQJ33'8V VHH $GGLWLRQDOUDWHVHOHFWLRQFRQVWUDLQWVIRU+(33'8V ZKHUHWKHUDWH
 LVREWDLQHGZLWKDQ166WKDWLVOHVVWKDQRUHTXDOWRDQGDQ0&6WKDWLVOHVVWKDQRUHTXDOWR












 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 825$3DUDPHWHU6HWHOHPHQW


7KH PHWULFV RI WKH 2)'0$EDVHG UDQGRP DFFHVV PHFKDQLVP VHH  8/ 2)'0$EDVHG UDQGRP


 DFFHVV 825$ DUHVLJQDOHGLQWKH825$3DUDPHWHU6HWHOHPHQW7KHIRUPDWRIWKH825$3DUDPHWHU6HW
 HOHPHQWLVGHILQHGLQ)LJXUHP 825$3DUDPHWHU6HWHOHPHQWIRUPDW 




 (OHPHQW,' /HQJWK
(OHPHQW,' 2&:
 ([WHQVLRQ 5DQJH

 2FWHWV    

 )LJXUHP²825$3DUDPHWHU6HWHOHPHQWIRUPDW


7KH(OHPHQW,'/HQJWK(OHPHQW,'([WHQVLRQILHOGVDUHGHILQHGLQ *HQHUDO 


 7KH2&:5DQJHILHOGLQGLFDWHVWKHPLQLPXPDQGPD[LPXPYDOXHVRIWKH2&: 2)'0$FRQWHQWLRQZLQ
 GRZ GHULYHGIURPWKHILHOGVGHILQHGLQ)LJXUHQ 2&:5DQJHILHOGIRUPDW 


 %% %% %%

 (2&:PLQ (2&:PD[ 5HVHUYHG


 %LWV   

 )LJXUHQ²2&:5DQJHILHOGIRUPDW

 7KH(2&:PLQVXEILHOGLQGLFDWHVWKHPLQLPXPYDOXHRI2&:IRUWKHLQLWLDO+(7%33'8WUDQVPLVVLRQ 


XVLQJ825$7KHOCWminSDUDPHWHULVXVHGE\D67$HLWKHUIRUDQLQLWLDOWUDQVPLVVLRQRUIROORZLQJDVXF
 FHVVIXO+(7%33'8WUDQVPLVVLRQDQGLVGHULYHGDVIROORZV
 OCWmin EOCWmin±


 ZKHUH
 EOCWminLVWKHYDOXHLQWKH(2&:PLQVXEILHOG

 7KH(2&:PD[VXEILHOGLQGLFDWHVWKHPD[LPXPYDOXHRI2&:IRU825$7KHOCWmaxSDUDPHWHUXVHG

 E\D67$IRULWVUHWUDQVPLVVLRQDWWHPSWVRI825$DQGLVGHULYHGDVIROORZV

 OCWmax EOCWmax±

 ZKHUH

EOCWmaxLVWKHYDOXHLQWKH(2&:PD[VXEILHOG
















&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 08('&$3DUDPHWHU6HWHOHPHQW


 7KHIRUPDWRIWKH08('&$3DUDPHWHU6HWHOHPHQWLVGHILQHGLQ)LJXUHR 08('&$3DUDPHWHU6HW
 HOHPHQWIRUPDW 




 08$&B%( 08$&B%. 08$&B9, 08$&B92
 (OHPHQW /HQJWK (OHPHQW,' 4R6,QIR 3DUDPHWHU 3DUDPHWHU 3DUDPHWHU 3DUDPHWHU
,' ([WHQVLRQ
 5HFRUG 5HFRUG 5HFRUG 5HFRUG

 2FWHWV        

 )LJXUHR²08('&$3DUDPHWHU6HWHOHPHQWIRUPDW


 7KH(OHPHQW,'/HQJWKDQG(OHPHQW,'([WHQVLRQILHOGVDUHGHILQHGLQ *HQHUDO 


 )RUDQLQIUDVWUXFWXUH%66WKH08('&$3DUDPHWHU6HWHOHPHQWLVXVHGE\DQ$3WRFRQWUROWKH('&$ 

 IURP QRQ$3 +( 67$V DV GHILQHG LQ  ('&$ RSHUDWLRQ XVLQJ 08 ('&$ SDUDPHWHUV  7KH PRVW
 UHFHQW08('&$3DUDPHWHU6HWHOHPHQWUHFHLYHGE\DQRQ$3+(67$LVXVHGWRXSGDWHWKHDSSURSULDWH
 0,%YDOXHV


 7KHIRUPDWRIWKH4R6,QIRILHOGLVGHILQHGLQ 4R6,QIRILHOG ZKHQVHQWE\WKH$37KH4R6,QIR 
 ILHOGFRQWDLQVWKH('&$3DUDPHWHU6HW8SGDWH&RXQWVXEILHOGZKLFKLVLQLWLDOO\VHWWRDQGLVLQFUHPHQWHG


HDFKWLPHDQ\RIWKH08('&$SDUDPHWHUVLQWKH08('&$3DUDPHWHU6HWHOHPHQWFKDQJHV7KLVVXEILHOG 
 LVXVHGE\DQRQ$3+(67$WRGHWHUPLQHZKHWKHUWKH08('&$3DUDPHWHU6HWKDVFKDQJHGDQGUHTXLUHV
 XSGDWLQJWKHDSSURSULDWH0,%DWWULEXWHV


 7KHIRUPDWRIWKH08$&B%(08$&B%.08$&B9,DQG08$&B923DUDPHWHU5HFRUGILHOGVDUH
 LGHQWLFDODQGGHILQHGLQ)LJXUHS 08$&3DUDPHWHU5HFRUGILHOGIRUPDW 




 (&:PLQ 08('&$
 $&,$,)61 (&:PD[ 7LPHU

 2FWHWV   

 )LJXUHS²08$&3DUDPHWHU5HFRUGILHOGIRUPDW


 7KHIRUPDWRIWKH$&,$,)61ILHOGLVGHILQHGLQ)LJXUH $&,$,)61ILHOG DQGWKHHQFRGLQJRILWV

 VXEILHOGVLVGHILQHGLQ ('&$3DUDPHWHU6HWHOHPHQW H[FHSWWKDWWKHYDOXHLQWKH$,)61ILHOG
 LQGLFDWHV WKDW ('&$ LV GLVDEOHG IRU WKH GXUDWLRQ VSHFLILHG E\ WKH 08('&$7LPHU IRU WKH FRUUHVSRQGLQJ
 $&


 7KHIRUPDWRIWKH(&:PLQ(&:PD[ILHOGLVGHILQHGLQ)LJXUH (&:PLQDQG(&:PD[ILHOGV DQG

 WKHHQFRGLQJRILWVVXEILHOGVLVGHILQHGLQ ('&$3DUDPHWHU6HWHOHPHQW 


 7KH08('&$7LPHUILHOGLQGLFDWHVWKHGXUDWLRQRIWLPHLQXQLWVRI78VGXULQJZKLFKWKH+(67$XVHV

 WKH 08 ('&$ SDUDPHWHUV IRU WKH FRUUHVSRQGLQJ $& DV GHILQHG LQ  ('&$ RSHUDWLRQ XVLQJ 08

 ('&$SDUDPHWHUV H[FHSWWKDWWKHYDOXHLVUHVHUYHG

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 6SDWLDO5HXVH3DUDPHWHU6HWHOHPHQW


 7KH6SDWLDO5HXVH3DUDPHWHU6HWHOHPHQWSURYLGHVLQIRUPDWLRQQHHGHGE\67$VZKHQSHUIRUPLQJ2%66 
 3'EDVHGVSDWLDOUHXVHDVGHILQHGLQ 2%663'EDVHGVSDWLDOUHXVHRSHUDWLRQ DQG365EDVHGVSD
 WLDOUHXVHDVGHILQHGLQ 365EDVHGVSDWLDOUHXVHRSHUDWLRQ 7KHIRUPDWRIWKH6SDWLDO5HXVH3DUDP
 HWHU6HWHOHPHQWLVGHILQHGLQ)LJXUHT 6SDWLDO5HXVH3DUDPHWHU6HWHOHPHQWIRUPDW 





1RQ 65* 65* 65*
 65* 65*%66
 (OHPHQW /HQJWK (OHPHQW,' 65 2%66 2%66 2%66 &RORU 3DUWLDO
,' ([WHQVLRQ &RQWURO 3'0LQ 3'0D[ %66,'
 3'0D[ 2IIVHW 2IIVHW %LWPDS %LWPDS
 2IIVHW

 2FWHWV     RU RU RU RU RU

 )LJXUHT²6SDWLDO5HXVH3DUDPHWHU6HWHOHPHQWIRUPDW


 7KH(OHPHQW,'(OHPHQW,'H[WHQVLRQDQG/HQJWKILHOGVDUHGHILQHGLQ *HQHUDO 

 7KH65&RQWUROILHOGLVGHILQHGLQ)LJXUHU 65&RQWUROILHOGIRUPDW 


 % % % % % %%


1RQ65* 1RQ65* 65* +(6,*$B6
 365 2%663' SDWLDOBUHXV
 'LVDOORZHG 65 2IIVHW ,QIRUPDWLRQ HBYDOXHB 5HVHUYHG
3UHVHQW 3UHVHQW
 'LVDOORZHG DOORZHG

 %LWV      

 )LJXUHU²65&RQWUROILHOGIRUPDW


 7KH365'LVDOORZHGVXEILHOGLQWKH65&RQWUROILHOGLQGLFDWHVZKHWKHURUQRW365EDVHG65WUDQVPLVVLRQV
 DUHDOORZHGDWQRQ$367$VWKDWDUHDVVRFLDWHGZLWKWKH$3WKDWWUDQVPLWWHGWKLVHOHPHQW365EDVHG65 
 WUDQVPLVVLRQV DUH GLVDOORZHG ZKHQ WKH 365 'LVDOORZHG VXEILHOG LV  365EDVHG 65 WUDQVPLVVLRQV DUH


DOORZHGZKHQWKH365'LVDOORZHGVXEILHOGLV7KH365'LVDOORZHGVXEILHOGDOVRDIIHFWVWKHYDOXHRIWKH
 63$7,$/B5(86(SDUDPHWHURIWKH7;9(&725DVGHVFULEHGLQ 63$7,$/B5(86( 

 7KH1RQ65*2%663'65'LVDOORZHGVXEILHOGLQWKH65&RQWUROILHOGLQGLFDWHVZKHWKHUQRQ65*2%66 

 3'65WUDQVPLVVLRQVDUHDOORZHGRUQRWDWQRQ$367$VWKDWDUHDVVRFLDWHGZLWKWKH$3WKDWWUDQVPLWWHGWKLV
 HOHPHQW 1RQ65* 2%66 3' 65 WUDQVPLVVLRQV DUH GLVDOORZHG ZKHQ WKH 1RQ65* 2%66 3' 65 'LVDO
 ORZHGVXEILHOGLV1RQ65*2%663'65WUDQVPLVVLRQVDUHDOORZHGZKHQWKH1RQ65*2%663'65 
 'LVDOORZHGVXEILHOGLV


 7KH1RQ65*2IIVHW3UHVHQWVXEILHOGLQWKH65&RQWUROILHOGLQGLFDWHVZKHWKHURUQRWWKH1RQ65*2%66 
 3'0D[2IIVHWILHOGLVSUHVHQWLQWKHHOHPHQW,IWKH1RQ65*2IIVHW3UHVHQWVXEILHOGLVWKHQWKH1RQ
 65*2%663'0D[2IIVHWILHOGLVSUHVHQWRWKHUZLVHWKH1RQ65*2%663'0D[2IIVHWILHOGLVQRWSUHV

 HQW

 7KH65*,QIRUPDWLRQ3UHVHQWVXEILHOGLQWKH65&RQWUROILHOGLQGLFDWHVZKHWKHURUQRWWKH65*2%663' 

0LQ2IIVHW65*2%663'0D[2IIVHW65*%66&RORU%LWPDSDQG65*3DUWLDO%66,'%LWPDSILHOGVDUH

 SUHVHQWLQWKHHOHPHQW,IWKH65*,QIRUPDWLRQ3UHVHQWVXEILHOGLVWKHQWKHVXEILHOGVDUHSUHVHQWRWKHUZLVH
 WKHILHOGVDUHQRWSUHVHQW

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KH +(6,*$B6SDWLDOBUHXVHBYDOXHBDOORZHG VXEILHOG LQ WKH 65 &RQWURO ILHOG LQGLFDWHV ZKHWKHU QRQ$3

 67$VWKDWDUHDVVRFLDWHGZLWKWKH$3WKDWWUDQVPLWWHGWKLVHOHPHQWFDQVHWWKH7;9(&725SDUDPHWHU63$

7,$/B5(86( WR 365B$1'B121B65*B2%66B3'B352+,%,7(' 7KH VXEILHOG LV VHW DV GHVFULEHG LQ

  63$7,$/B5(86( 

 7KH1RQ65*2%663'0D[2IIVHWILHOGFRQWDLQVDQXQVLJQHGLQWHJHUWKDWLVDGGHGWR±G%PWRJHQHUDWH


WKHYDOXHRIWKH1RQ65*2%663'0D[SDUDPHWHU

 7KH65*2%663'0LQ2IIVHWILHOGFRQWDLQVDQXQVLJQHGLQWHJHUWKDWLVDGGHGWR±G%PWRJHQHUDWHWKH
 YDOXHRIWKH65*2%663'0LQSDUDPHWHU


 7KH65*2%663'0D[2IIVHWILHOGFRQWDLQVDQXQVLJQHGLQWHJHUWKDWLVDGGHGWR±G%PWRJHQHUDWHWKH
 YDOXHRIWKH65*2%663'0D[SDUDPHWHU


 7KH65*%66&RORU%LWPDSILHOGLVDELWPDSWKDWLQGLFDWHVWKH%66FRORUYDOXHVXVHGE\PHPEHUVRIWKH
 65*RIZKLFKWKHWUDQVPLWWLQJ67$LVDPHPEHU(DFKELWRIWKHELWPDSFRUUHVSRQGVWRRQHRIWKH%66 
 FRORUVZKHUHWKHORZHVWQXPEHUHGELWFRUUHVSRQGVWR%66FRORUYDOXHDQGWKHKLJKHVWQXPEHUHGELWFRUUH
 VSRQGVWR%66FRORUYDOXH$%66FRORUYDOXHLVXVHGE\DWOHDVWRQH%66WKDWLVDPHPEHURIWKHVDPH

 65*RIWKHWUDQVPLWWLQJ67$LIWKHFRUUHVSRQGLQJELWRIWKHELWPDSLV,IDELWLQWKHELWPDSLVWKHQQR

 %66LQWKHVDPH65*RIWKHWUDQVPLWWLQJ67$XVHVWKHFRUUHVSRQGLQJ%66FRORUYDOXH7KHELWLQWKHELWPDS 
 WKDWFRUUHVSRQGVWRWKH%66FRORUYDOXHLVUHVHUYHG


 7KH65*3DUWLDO%66,'%LWPDSILHOGLVDELWPDSWKDWLQGLFDWHVWKH3DUWLDO%66,'YDOXHVXVHGE\PHPEHUV
 RIWKH65*RIZKLFKWKHWUDQVPLWWLQJ67$LVDPHPEHU(DFKELWRIWKHELWPDSFRUUHVSRQGVWRRQHRIWKH
 SRVVLEOHYDOXHVRI%66,'>@ZKHUHWKHORZHVWQXPEHUHGELWFRUUHVSRQGVWR3DUWLDO%66,'YDOXHDQG
 WKHKLJKHVWQXPEHUHGELWFRUUHVSRQGVWR3DUWLDO%66,'YDOXH$3DUWLDO%66,'YDOXHLVXVHGE\DWOHDVW

RQH%66WKDWLVDPHPEHURIWKHVDPH65*RIWKHWUDQVPLWWLQJ67$LIWKHFRUUHVSRQGLQJELWRIWKHELWPDSLV

 ,IDELWLQWKHELWPDSLVWKHQQR%66LQWKHVDPH65*RIWKHWUDQVPLWWLQJ67$XVHVWKHFRUUHVSRQGLQJ

 3DUWLDO%66,'YDOXH



1'3)HHGEDFN5HSRUW3DUDPHWHU6HWHOHPHQW

 7KHIRUPDWRIWKH1'3IHHGEDFNUHSRUW3DUDPHWHU6HWHOHPHQWLVGHILQHGLQ)LJXUHV 1'3)HHGEDFN
 5HSRUW3DUDPHWHU6HWHOHPHQWIRUPDW 




 5HVRXUFH5HTXHVW
 (OHPHQW (OHPHQW,'
/HQJWK %XIIHU7KUHVKROG
 ,' ([WHQVLRQ ([SRQHQW

 2FWHWV    

 )LJXUHV²1'3)HHGEDFN5HSRUW3DUDPHWHU6HWHOHPHQWIRUPDW


 7KH(OHPHQW,'/HQJWKDQG(OHPHQW,'([WHQVLRQILHOGVDUHGHILQHGLQ *HQHUDO 


 7KH5HVRXUFH5HTXHVW%XIIHU7KUHVKROG([SRQHQWILHOGLVXVHGWRFDOFXODWHWKHEXIIHUWKUHVKROGEHWZHHQ 
 WZR GLIIHUHQW UHVRXUFH UHTXHVWV DV GHILQHG LQ  1'3 IHHGEDFN UHSRUW IRU D UHVRXUFH UHTXHVW  7KH
 UHVRXUFHUHTXHVWEXIIHUWKUHVKROGYDOXHLVHTXDOWR 5HVRXUFH5HTXHVW%XIIHU7KUHVKROG([SRQHQW RFWHWV


 7KHUHVRXUFHUHTXHVWEXIIHUWKUHVKROGLVHTXDOWRRFWHWVLIQR1'3)HHGEDFN5HSRUW3DUDPHWHU6HWHOH
 PHQWLVVHQWE\WKH$3

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 %66&RORU&KDQJH$QQRXQFHPHQWHOHPHQW


 7KH %66 &RORU &KDQJH $QQRXQFHPHQW HOHPHQW LV XVHG E\ DQ $3 WR DGYHUWLVH DQ XSFRPLQJ %66 FRORU
 FKDQJHDQGWKHQHZ%66FRORUWKDWZLOOWDNHHIIHFWDIWHUWKH%66FRORUFKDQJH VHH 6HOHFWLQJDQG 
 DGYHUWLVLQJDQHZ%66FRORU 7KHIRUPDWRIWKH%66&RORU&KDQJH$QQRXQFHPHQWHOHPHQWLVVKRZQLQ 
 )LJXUHW %66&RORU&KDQJH$QQRXQFHPHQWHOHPHQWIRUPDW 




 &RORU 1HZ%66
 (OHPHQW (OHPHQW,'
/HQJWK 6ZLWFK &RORU
,' ([WHQVLRQ
 &RXQWGRZQ ,QIRUPDWLRQ

 2FWHWV     

 )LJXUHW²%66&RORU&KDQJH$QQRXQFHPHQWHOHPHQWIRUPDW


 7KH(OHPHQW,'/HQJWKDQG(OHPHQW,'([WHQVLRQILHOGVDUHGHILQHGLQ *HQHUDO 


7KH&RORU6ZLWFK&RXQWGRZQILHOGLVVHWWRWKHQXPEHURI7%77VWKDWUHPDLQXQWLOWKH+($3VHQGLQJWKH

 %66&RORU&KDQJH$QQRXQFHPHQWHOHPHQWVZLWFKHVWRWKHQHZ%66FRORU$YDOXHRILQGLFDWHVWKDWWKH
 VZLWFKRFFXUVDWWKHFXUUHQW7%77LIWKHHOHPHQWLVFDUULHGLQD%HDFRQIUDPHRUDWWKHQH[W7%77IROORZLQJ

 WKHIUDPHWKDWFDUULHGWKHHOHPHQWLIWKHIUDPHLVQRWD%HDFRQIUDPH


 7KHIRUPDWRIWKH1HZ%66&RORU,QIRUPDWLRQILHOGLVGHILQHGLQ)LJXUHX 1HZ%66&RORU,QIRUPD
 WLRQILHOGIRUPDW 7KH1HZ%66&RORUVXEILHOGLVVHWWRWKHQHZ%66FRORUYDOXHWKDWWKH+($3LQWHQGVWR

 XVHVWDUWLQJIURPWKH7%77DWZKLFKWKHFRORUVZLWFKFRXQWGRZQUHDFKHV


 %% %%

 1HZ%66
5HVHUYHG
 &RORU

 %LWV  

 )LJXUHX²1HZ%66&RORU,QIRUPDWLRQILHOGIRUPDW


 4XLHW7LPH3HULRGHOHPHQW


*HQHUDO


 7KHIRUPDWRIWKH4XLHW7LPH3HULRGHOHPHQWLVVKRZQLQ)LJXUHY 4XLHW7LPH3HULRGHOHPHQWIRU
 PDW 




 4XLHW
 (OHPHQW (OHPHQW,'
,' /HQJWK ([WHQVLRQ &RQWURO 7LPH
 &RQWHQW

 2FWHWV     YDULDEOH

 )LJXUHY²4XLHW7LPH3HULRGHOHPHQWIRUPDW


 7KH(OHPHQW,'/HQJWKDQG(OHPHQW,'([WHQVLRQILHOGVDUHGHILQHGLQ *HQHUDO 

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $RQHRFWHW&RQWUROILHOGVSHFLILHVWKHVXEW\SHRIWKH4XLHW7LPH3HULRGHOHPHQW7KHWZR/6%VGHILQHWKH
 VXEW\SH DQG DUH UHIHUUHG WR DV WKH 4XLHW 7LPH 3HULRG 6XEW\SH ILHOG 7KH UHPDLQLQJ  ELWV DUH UHVHUYHG

 7DEOHI 4XLHW 7LPH 3HULRG 6XEW\SH ILHOG HQFRGLQJ  VKRZV WKH HQFRGLQJ RI WKH 4XLHW 7LPH 3HULRG
 6XEW\SHILHOG



7DEOHI²4XLHW7LPH3HULRG6XEW\SHILHOGHQFRGLQJ


 4XLHW7LPH
 3HULRG6XEW\SH 0HDQLQJ
 ILHOGYDOXH


  4XLHW7LPH3HULRG6HWXS

  4XLHW7LPH3HULRG5HTXHVW

  4XLHW7LPH3HULRG5HVSRQVH

  5HVHUYHG




 7KH4XLHW7LPH&RQWHQWILHOGLVDYDULDEOHOHQJWKILHOGDQGFDUULHVLQIRUPDWLRQRITXLHWWLPHRSHUDWLRQLQGL
 FDWHGE\WKHYDOXHLQWKH&RQWUROILHOG


 4XLHW7LPH3HULRG6HWXS


 7KH4XLHW7LPH3HULRG6HWXSVXEW\SHGHILQHVDSHULRGRIWLPHIRU473 VHH 4XLHW+(67$VLQDQ 


+(%66  7KH473FDQ EH XVHGE\ DQ$3WRPLWLJDWH LQWHUIHUHQFH E\ UHGXFLQJWKHFRQWHQWLRQ IURP+(

 67$VLQDSHULRGWKDWJLYHVSUHIHUHQFHWR+(67$VSDUWLFLSDWLQJLQWKHH[FKDQJHRIVSHFLILFIUDPHVXVLQJ 
 SHHUWRSHHUOLQN


 7KHFRQWHQWRIWKH4XLHW7LPH&RQWHQWVXEILHOGLQWKH4XLHW7LPH3HULRG6HWXSVXEW\SHLVVKRZQ)LJXUH


Z 4XLHW7LPH&RQWHQWVXEILHOGIRUPDWLQ4XLHW7LPH3HULRG6HWXSVXEW\SH 




 4XLHW 6HUYLFH
3HULRG 6SHFLILF
 'XUDWLRQ ,GHQWLILHU

 2FWHWV  



)LJXUHZ²4XLHW7LPH&RQWHQWVXEILHOGIRUPDWLQ4XLHW7LPH3HULRG6HWXSVXEW\SH



7KH4XLHW3HULRG'XUDWLRQILHOGLVVHWWRWKHGXUDWLRQRIWKH473SHULRGLQXQLWVRI—VWKDWLVQRODUJHU
 WKDQWKHYDOXHLQGLFDWHGLQWKH4XLHW3HULRG,QWHUYDOVXEW\SHILHOGRIWKH4XLHW7LPH3HULRG5HTXHVWVXEW\SH
 VHQWE\WKH473UHTXHVWLQJ67$


 7KH6HUYLFH6SHFLILF,GHQWLILHUILHOGFRQWDLQVDQLGHQWLILHUDVVLJQHGE\DSHHUWRSHHUDSSOLFDWLRQWRLGHQWLI\



VSHFLILFIUDPHH[FKDQJHVXVLQJSHHUWRSHHUOLQNVGXULQJZKLFK+(67$VWKDWKDYHUHTXHVWHGSDUWLFLSDWLRQ 
 RIWKHVSHFLILHGIUDPHH[FKDQJHVPLJKWWUDQVPLWIUDPHVGXULQJWKHTXLHWWLPHSHULRG

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 4XLHW7LPH3HULRG5HTXHVW


 7KH4XLHW7LPH3HULRG5HTXHVWVXEW\SHGHILQHVDSHULRGLFVHTXHQFHRI473SHULRGVWKDWWKH473UHTXHVWLQJ

 67$UHTXHVWVWKH473$3WRVFKHGXOH


7KH FRQWHQW RI WKH 4XLHW 7LPH &RQWHQW VXEILHOG LQ WKH 4XLHW 7LPH 3HULRG 5HTXHVW VXEW\SH LV VKRZQ

 )LJXUH[ 4XLHW7LPH&RQWHQWVXEILHOGIRUPDWLQ4XLHW7LPH3HULRG5HTXHVWVXEW\SH 




 4XLHW 4XLHW
'LDORJ 3HULRG 3HULRG 4XLHW3HULRG 5HSHWLWLRQ 6HUYLFH6SHFLILF
 7RNHQ
2IIVHW 'XUDWLRQ
,QWHUYDO &RXQW ,GHQWLILHU


2FWHWV      


 )LJXUH[²4XLHW7LPH&RQWHQWVXEILHOGIRUPDWLQ4XLHW7LPH3HULRG5HTXHVWVXEW\SH

 7KH'LDORJ7RNHQILHOGLGHQWLILHVWKH4XLHW7LPH3HULRG5HVSRQVHVXEW\SHWRZKLFKWKH4XLHW7LPH3HULRG


5HTXHVWVXEW\SHFRUUHVSRQGV


 7KH4XLHW3HULRG2IIVHWILHOGLVVHWWRWKHRIIVHWRIWKHILUVW473SHULRGIURPWKH7%77H[SUHVVHGLQ78V


 7KH4XLHW3HULRG,QWHUYDOILHOGLVVHWWRWKHUHTXHVWHGLQWHUYDOEHWZHHQWKHVWDUWRIWZRFRQVHFXWLYH473SHUL
 RGVH[SUHVVHGLQ78V


7KH4XLHW3HULRG'XUDWLRQILHOGLVVHWWRWKHGXUDWLRQRIWKH473LQXQLWVRI—V


 7KH5HSHWLWLRQ&RXQWILHOGLVVHWWRWKHQXPEHURIUHTXHVWHG473SHULRGV$UHSHWLWLRQFRXQWHTXDOWRLQGL
 FDWHVWKHVHWXSWLPHRIWKH473SHULRGLVIRUDQRQHWLPHRSHUDWLRQ5HSHWLWLRQFRXQWHTXDOVWR[))LQGL

FDWHVWKHVHWXSRIWKH473SHULRGLVFDQFHOHG


 7KH6HUYLFH6SHFLILF,GHQWLILHUILHOGFRQWDLQVDQLGHQWLILHUDVVLJQHGE\DSHHUWRSHHUDSSOLFDWLRQWRLGHQWLI\

 VSHFLILFIUDPHH[FKDQJHVXVLQJSHHUWRSHHUOLQNVGXULQJZKLFK+(67$VWKDWKDYHUHTXHVWHGWKHSDUWLFLSD

WLRQRIWKHVSHFLILHGIUDPHH[FKDQJHVPLJKWWUDQVPLWIUDPHVGXULQJWKHTXLHWWLPHSHULRG


 4XLHW7LPH3HULRG5HVSRQVH


 7KH4XLHW3HULRG5HVSRQVHVXEW\SHGHILQHVWKHIHHGEDFNLQIRUPDWLRQIURPWKH$3WKDWUHFHLYHGWKH4XLHW
 7LPH3HULRG5HTXHVWHOHPHQW,IDQ$3GHFLGHVQRWWRDFFHSWWKHYDOXHUHTXHVWHGE\WKH473UHTXHVWLQJ

 67$WKH$3FDQVHWGLIIHUHQWYDOXHVFDUULHGLQWKH4XLHW3HULRG5HVSRQVHIUDPH


 7KH FRQWHQW RI WKH 4XLHW 7LPH&RQWHQW VXEILHOG LQ WKH 4XLHW 7LPH 3HULRG5HVSRQVH VXEW\SH LV VKRZQ LQ

 )LJXUH\ 4XLHW7LPH&RQWHQWVXEILHOGIRUPDWLQ4XLHW7LPH3HULRG5HVSRQVHVXEW\SH 




 'LDORJ 6WDWXV 4XLHW 4XLHW 4XLHW 5HSHWLWLRQ 6HUYLFH
 3HULRG 3HULRG 3HULRG 6SHFLILF
7RNHQ &RGH 2IIVHW 'XUDWLRQ ,QWHUYDO &RXQW ,GHQWLILHU


 2FWHWV       

 )LJXUH\²4XLHW7LPH&RQWHQWVXEILHOGIRUPDWLQ4XLHW7LPH3HULRG5HVSRQVHVXEW\SH

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KH'LDORJ7RNHQILHOGLGHQWLILHVWKH4XLHW7LPH3HULRG5HTXHVWVXEW\SHWRZKLFKWKLV4XLHW7LPH3HULRG
 5HVSRQVHVXEW\SHFRUUHVSRQGV


 7KH6WDWXV&RGHILHOGLQGLFDWHVWKHVWDWXVRIDUHTXHVWHGRSHUDWLRQ7KHYDOXHRIWKHVWDWXVFRGHLVVKRZQLQ
 7DEOHJ 6WDWXV&RGH 


 7DEOHJ²6WDWXV&RGH


 9DOXH 0HDQLQJ

  6XFFHVV


  5HMHFW

  &RXQWHU

  5HVHUYHG



 7KH4XLHW3HULRG2IIVHWILHOGLVVHWWRWKHRIIVHWRIWKHILUVW473SHULRGIURPWKH7%77H[SUHVVHGLQ78V


7KH4XLHW3HULRG,QWHUYDOILHOGLVVHWWRWKHLQWHUYDOEHWZHHQWKHVWDUWRIWZRFRQVHFXWLYHTXLHWWLPHSHULRGV

 H[SUHVVHGLQ78V

 7KH4XLHW3HULRG'XUDWLRQILHOGLVDRQHRFWHWILHOGZLWKUHVROXWLRQRI—V


7KH5HSHWLWLRQ&RXQWILHOGLVVHWWRWKHQXPEHURIUHTXHVWHG473SHULRGV


 7KH6HUYLFH6SHFLILF,GHQWLILHUILHOGFRQWDLQVDQLGHQWLILHUDVVLJQHGE\DSHHUWRSHHUDSSOLFDWLRQWRLGHQWLI\

 VSHFLILFIUDPHH[FKDQJHVXVLQJSHHUWRSHHUOLQNVZKLFK+(67$VWKDWKDYHUHTXHVWHGWKHSDUWLFLSDWLRQRI
 WKHVSHFLILFIUDPHH[FKDQJHVPLJKWWUDQVPLWIUDPHVGXULQJWKHTXLHWWLPHSHULRG


 (665HSRUWHOHPHQW

 7KHIRUPDWRIWKH(665HSRUWHOHPHQWLVVKRZQLQ)LJXUH] (665HSRUWHOHPHQWIRUPDW 




 (OHPHQW (OHPHQW,'
/HQJWK (66,QIRUPDWLRQ
 ,' ([WHQVLRQ

 2FWHWV    

 )LJXUH]²(665HSRUWHOHPHQWIRUPDW


 7KH(OHPHQW,'/HQJWKDQG(OHPHQW,'([WHQVLRQILHOGVDUHGHILQHGLQ *HQHUDO 










 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KHIRUPDWRIWKH(66,QIRUPDWLRQILHOGLVGHILQHGLQ)LJXUHDD (66,QIRUPDWLRQILHOGIRUPDW 




 5HFRPPHQGHG
(GJH
 3ODQQHG 2I %667UDQVLWLRQ
 (66 566,7KUHVKROG
(66 :LWKLQ(66


 %LWV   

 )LJXUHDD²(66,QIRUPDWLRQILHOGIRUPDW

 7KH3ODQQHG(66VXEILHOGLQGLFDWHVZKHWKHUWKH%66LVSDUWRIDQ(66WKDWLVSODQQHGZLWKVHYHUDO%66VLQ 

 DQRYHUODSSLQJFRQILJXUDWLRQ7KLVVXEILHOGLVVHWWRWRLQGLFDWHWKDWWKH(66LVGHSOR\HGWRHQVXUHEODQNHW
 FRYHUDJHRYHUWKH([WHQGHG6HUYLFH$UHD (6$ 2WKHUZLVHWKLVVXEILHOGLVVHWWRDQGWKH(GJH2I(66DQG 
 5HFRPPHQGHG%667UDQVLWLRQ566,7KUHVKROG:LWKLQ(66VXEILHOGVDUHUHVHUYHG

 7KH(GJH2I(66VXEILHOGLQGLFDWHVZKHWKHUWKH%66LVDWWKHHGJHRIWKH(667KLVVXEILHOGLVVHWWRWR


 LQGLFDWHWKH%66LVDWWKHHGJHRIWKH(662WKHUZLVHWKLVVXEILHOGLVVHWWR

 7KH5HFRPPHQGHG%667UDQVLWLRQ566,7KUHVKROG:LWKLQ(66VXEILHOGLQGLFDWHVWKH566,EHORZZKLFKDQ
 DVVRFLDWHG67$LVUHFRPPHQGHGWRLQLWLDWH%66WUDQVLWLRQWRDQHLJKERU%66EHORQJLQJWRWKH(66


 7KH UHVROXWLRQ IRU WKH 5HFRPPHQGHG %66 7UDQVLWLRQ 566, 7KUHVKROG :LWKLQ (66 VXEILHOG LV  G% 7KH
 HQFRGLQJLVGHILQHGLQ7DEOHK 5HFRPPHQGHG%667UDQVLWLRQ566,7KUHVKROG:LWKLQ(66VXEILHOG
 HQFRGLQJ 



 7DEOHK²5HFRPPHQGHG%667UDQVLWLRQ566,7KUHVKROG:LWKLQ(66VXEILHOG
 HQFRGLQJ


 9DOXH 'HVFULSWLRQ

 ± ±G%PWR±G%P

  1RUHFRPPHQGDWLRQ



 7KHXVHRIWKH(665HSRUWHOHPHQWLVGHVFULEHGLQ 3ODQQHG(66 


 236HOHPHQW

 7KH236HOHPHQWSURYLGHVLQIRUPDWLRQQHHGHGE\67$VZKHQRSHUDWLQJZLWK236DVGHILQHGLQ

2SSRUWXQLVWLFSRZHUVDYH 7KHIRUPDWRIWKH236HOHPHQWLVVKRZQLQ)LJXUHDE 236HOHPHQWIRU

 PDW 




 (OHPHQW (OHPHQW,'
,' /HQJWK ([WHQVLRQ 236'XUDWLRQ


 2FWHWV    

 )LJXUHDE²236HOHPHQWIRUPDW

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KH(OHPHQW,'(OHPHQW,'H[WHQVLRQDQG/HQJWKILHOGVDUHGHILQHGLQ *HQHUDO 


 ,IWKH236HOHPHQWLVLQFOXGHGLQDQ236IUDPHRUD),/6'LVFRYHU\IUDPHWKH236'XUDWLRQILHOGLQGLFDWHV
 WKH236SHULRGGXUDWLRQGXULQJZKLFKD67$FDQJRWRGR]HVWDWHLILWLVH[SOLFLWO\QRWVFKHGXOHGGXULQJWKDW
 SHULRGDVGHILQHGLQ 2SSRUWXQLVWLFSRZHUVDYH 7KH236'XUDWLRQILHOGLVHQFRGHGLQXQLWVRIPLO

OLVHFRQGV


 +(%66/RDGHOHPHQW


 7KH+(%66/RDGHOHPHQWUHSRUWHGE\WKH$3FRQWDLQVLQIRUPDWLRQRQXWLOL]DWLRQIUHTXHQF\XQGHUXWLOL]D
 WLRQDQGVSDWLDOVWUHDPXQGHUXWLOL]DWLRQ7KHHOHPHQWIRUPDWLVGHILQHGLQ)LJXUHDF +(%66/RDGHOH

PHQW IRUPDW  $ 67$ UHFHLYLQJ WKH HOHPHQW PLJKW XVH WKH LQIRUPDWLRQ LW FRQYH\V LQ DQ LPSOHPHQWDWLRQ

 VSHFLILF$3VHOHFWLRQDOJRULWKP




 (OHPHQW /HQJWK (OHPHQW,' +(67$ 8WLOL]DWLRQ )UHTXHQF\ 6SDWLDO6WUHDP
,' ([WHQVLRQ &RXQW 8QGHUXWLOL]DWLRQ 8QGHUXWLOL]DWLRQ


 2FWHWV       

 )LJXUHDF²+(%66/RDGHOHPHQWIRUPDW


 7KH(OHPHQW,'/HQJWKDQG(OHPHQW,'H[WHQVLRQILHOGVDUHGHILQHGLQ *HQHUDO 



7KH+(67$&RXQWILHOGLQGLFDWHVWKHWRWDOQXPEHURI67$VFXUUHQWO\DVVRFLDWHGZLWKWKLV%66WKDWGHFODUH
 WKDWWKH\DUH+(67$VE\WUDQVPLWWLQJWKHLU+(&DSDELOLWLHVHOHPHQWV



7KH8WLOL]DWLRQILHOG)UHTXHQF\8QGHUXWLOL]DWLRQILHOGDQG6SDWLDO6WUHDP8QGHUXWLOL]DWLRQILHOGDUHGHILQHG

 DVWKHSHUFHQWDJHRIWLPHOLQHDUO\VFDOHGZLWKUHSUHVHQWLQJ



7KH8WLOL]DWLRQILHOGLVWKDW$3VHQVHGWKHPHGLXPZDVEXV\GXHWRDWUDQVPLVVLRQEHWZHHQWKH$3DQG+( 
 67$VDVLQGLFDWHGE\WKHSK\VLFDOFDUULHUVHQVH &6 PHFKDQLVP:KHQPRUHWKDQRQHFKDQQHOVDUHLQXVH
 IRUWKH%66WKH8WLOL]DWLRQILHOGYDOXHLVFDOFXODWHGRQO\IRUWKHSULPDU\FKDQQHO7KLVSHUFHQWDJHLVFRP
 SXWHGXVLQJ(TXDWLRQ D 


 T busy
 8WLOL]DWLRQ  u 
 D

GRW&KDQQHO8WLOL]DWLRQ%HDFRQ,QWHUYDO u GRW%HDFRQ3HULRG u 

 7KH )UHTXHQF\ 8QGHUXWLOL]DWLRQ ILHOG LV WKDW $3 KDV XQGHUXWLOL]HG IUHTXHQF\ GRPDLQ UHVRXUFHV IRU JLYHQ


EXV\WLPHRIWKHPHGLXP7KLVSHUFHQWDJHLVFRPSXWHGXVLQJ(TXDWLRQ E 



 N ­ NRU ½
 °§ · °

T busy ± ¦ ® ¨ ¦ B j i u RU j¸ u T i ¾
 i 
°©j  ¹ °
¯ ¿
 )UHTXHQF\8QGHUXWLOL]DWLRQ  u  E
 T busy


 7KH6SDWLDO6WUHDP8QGHUXWLOL]DWLRQILHOGLVWKDW$3KDVXQGHUXWLOL]HGVSDWLDOGRPDLQUHVRXUFHVIRUJLYHQ

 EXV\WLPHRIWKHPHGLXP7KLVSHUFHQWDJHLVFRPSXWHGXVLQJ(TXDWLRQ F 

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU


 N ­ NRUM ½
 °§ · °
N maxSS u T busy ± ¦ ® ¨ ¦ N SS j i u RUM j¸ u T i ¾
 °© j  ¹ °
 i 
¯ ¿
 6SDWLDO6WUHDP8QGHUXWLOL]DWLRQ  u  F
 N maxSS u T busy

 ZKHUH
 GRW&KDQQHO8WLOL]DWLRQ%HDFRQ,QWHUYDOV UHSUHVHQWV WKH QXPEHU RI FRQVHFXWLYH EHDFRQ LQWHUYDOV GXULQJ 

 ZKLFKWKHFKDQQHOEXV\WLPHLVPHDVXUHG VHH %66/RDGHOHPHQW 
 TbusyLVWKHQXPEHURIPLFURVHFRQGVGXULQJZKLFK&&$LQGLFDWHGWKHFKDQQHOZDVEXV\GXHWRDWUDQVPLV
 VLRQEHWZHHQWKH$3 DQG +(67$VGXULQJWKHPHDVXUHPHQWGXUDWLRQ7KH UHVROXWLRQRI WKH


&&$EXV\PHDVXUHPHQWLVLQPLFURVHFRQGV
 TiLVWKHWLPHLQWHUYDOLQXQLWVRIPLFURVHFRQGVGXULQJZKLFKWKHSULPDU\0+]FKDQQHOLVEXV\GXHWR 
 DWUDQVPLVVLRQEHWZHHQWKH$3DQG+(67$V

NLVWKHQXPEHURIEXV\HYHQWVWKDWRFFXUUHGGXULQJWKHWRWDOPHDVXUHPHQWWLPHWKDWLVOHVVWKDQRUHTXDO

 WRGRW&KDQQHO8WLOL]DWLRQ%HDFRQ,QWHUYDOVFRQVHFXWLYHEHDFRQLQWHUYDOV
 NRULVWKHQXPEHURI58VWKDWDUHDOORFDWHGZLWKLQWKH%66EDQGZLGWKGXULQJWLPHLQWHUYDOTi
 RUjLVDQRUPDOL]LQJIDFWRUGHSHQGLQJRQWKH58VL]HDQGHTXDOVWKHUDWLRRIWKHjWK58VL]HWRWKHPD[L

 PXP58VL]HZLWKLQWKH%66EDQGZLGWKLHLIWKHjWK58LVDWRQH58DQGWKH%66EDQG
 ZLGWKLV0+]WKHQ58j 

Bj,iLVLIWKHjWK58LVRFFXSLHGRULQWHUIHUHGLQWKHEXV\WLPHTiRWKHUZLVHLWLV$Q\0+]VXEFKDQ

 QHOVWKDWDUHQRWRFFXSLHGE\D33'8DUHUHJDUGHGDVLQWHUIHUHG58VLIWKHEDQGZLGWKRI33'8 
 LVOHVVWKDQWKH%66EDQGZLGWK
 NmaxSSLVWKHPD[LPXPQXPEHURIVSDWLDOVWUHDPVVXSSRUWHGE\WKH$3

 NRUMLVWKHQXPEHURI58VZLWKDVL]HRIDWOHDVWWRQHVDQGWKDWDUHDOORFDWHGZLWKLQWKH%66EDQG
 ZLGWKGXULQJWLPHLQWHUYDOTi

 RUMjLVDQRUPDOL]LQJIDFWRUGHSHQGLQJRQWKH58VL]H580LVDSSOLHGWR58VZLWKDVL]HRIDWOHDVW 
 WRQHVDQGHTXDOVWKHUDWLRRIWKHjWK58VL]HWRWKHPD[LPXP580VL]HZLWKLQWKH%66EDQG
 ZLGWK LH LI WKH jWK 580 LV D WRQH 58 DQG WKH %66 EDQGZLGWK LV  0+] WKHQ


RUMj 

 NSS,j,iLVWKHQXPEHURIVWUHDPVRYHUWKHjWK580LQWKHEXV\WLPHTi


 ,ITbusyLVWKH8WLOL]DWLRQILHOG)UHTXHQF\8QGHUXWLOL]DWLRQILHOGDQG6SDWLDO6WUHDP8QGHUXWLOL]DWLRQILHOG

 DUHUHVHUYHG

 0XOWLSOH%66,'&RQILJXUDWLRQHOHPHQW


 7KH 0XOWLSOH %66,' &RQILJXUDWLRQ HOHPHQW LV XVHG WR SURYLGH FRQILJXUDWLRQ LQIRUPDWLRQ IRU D PXOWLSOH
 %%6,'VHW


7KH IRUPDW RI WKH 0XOWLSOH %66,' &RQILJXUDWLRQ HOHPHQW LV VKRZQ LQ )LJXUHDG 0XOWLSOH %66,'


 &RQILJXUDWLRQHOHPHQWIRUPDW 




 (OHPHQW,' 3URILOH
(OHPHQW,' /HQJWK ([WHQVLRQ %66,'&RXQW 3HULRGLFLW\


 2FWHWV     

 )LJXUHDG²0XOWLSOH%66,'&RQILJXUDWLRQHOHPHQWIRUPDW

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KH(OHPHQW,'/HQJWKDQG(OHPHQW,'([WHQVLRQILHOGVDUHGHILQHGLQ *HQHUDO 


7KH%66,'&RXQWILHOGFDUULHVWKHWRWDOQXPEHURIDFWLYH%66,'VLQWKHPXOWLSOH%66,'VHW


 3URILOH3HULRGLFLW\ILHOGLQGLFDWHVWKHOHDVWQXPEHURI%HDFRQIUDPHVRU'0*%HDFRQIUDPHVD67$QHHGV
 WRUHFHLYHLQRUGHUWRGLVFRYHUDOOWKHDFWLYHQRQWUDQVPLWWHG%66,'VLQWKHVHW


.QRZQ%66,'HOHPHQW


 7KH.QRZQ%66,'HOHPHQWLGHQWLILHVWKHQRQWUDQVPLWWHG%66,'VWKDWDQRQ$367$KDVGLVFRYHUHGVRIDU
 $QRQ$367$FDQLQFOXGHWKLVHOHPHQWLQDGLUHFWHG3UREH5HTXHVWIUDPHWRGLVFRYHURWKHUQRQWUDQVPLWWHG

 %66,'VQRWNQRZQWRWKHUHTXHVWLQJ67$


 7KHIRUPDWRIWKH.QRZQ%66,'HOHPHQWLVGHILQHGLQ)LJXUHDH .QRZQ%66,'HOHPHQWIRUPDW 




 (OHPHQW (OHPHQW,'
/HQJWK %66,'%LWPDS
,' ([WHQVLRQ


 2FWHWV    YDULDEOH

 )LJXUHDH².QRZQ%66,'HOHPHQWIRUPDW

 7KH(OHPHQW,'/HQJWKDQG(OHPHQW,'([WHQVLRQILHOGVDUHGHILQHGLQ *HQHUDO 


 7KHIRUPDWRIWKH%66,'%LWPDSILHOGLVDVGHILQHGLQ)LJXUHDI %66,'%LWPDSILHOGIRUPDW 




 %LWPDS 3DG

 %LWV YDULDEOH RU



)LJXUHDI²%66,'%LWPDSILHOGIRUPDW

 7KH%LWPDSVXEILHOGKDVDOHQJWKRInELWVZKHUHnLVWKHYDOXHFDUULHGLQWKH0D[%66,',QGLFDWRUILHOGRI
 WKH0XOWLSOH%66,'HOHPHQWDGYHUWLVHGE\WKH$3WRZKLFKWKH3UREH5HTXHVWIUDPHLVEHLQJVHQW%LWSRVL
 WLRQ  LV UHVHUYHG 7KH UHPDLQGHU RI WKH ELWV UHSUHVHQW RQH RI n ±  SRVVLEOH %66,' ,QGH[ YDOXHV VHH


 0XOWLSOH%66,',QGH[HOHPHQW LQWKHPXOWLSOH%66,'VHW$YDOXHRIDWELWSRVLWLRQkLQGLFDWHV
 WKDWWKHQRQ$367$KDVNQRZOHGJHRIQRQWUDQVPLWWHG%66,'ZLWK%66,'LQGH[k2WKHUZLVHWKHELWLVVHW
 WR

 7KH3DGVXEILHOGFRQWDLQVDGGLWLRQDOELWVVHWWRWRPDNHWKHWRWDOQXPEHURIELWVLQWKH%66,'%LWPDSILHOG



HTXDOWRDQLQWHJHUQXPEHURIRFWHWV












 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 6KRUW66,'/LVWHOHPHQW



7KHIRUPDWRIWKH6KRUW66,'/LVW(OHPHQWLVVKRZQLQ)LJXUHDJ 6KRUW66,'/LVWHOHPHQWIRUPDW 




(OHPHQW (OHPHQW,'
 ,' /HQJWK ([WHQVLRQ 6KRUW66,'/LVW


2FWHWV    YDULDEOH


 )LJXUHDJ²6KRUW66,'/LVWHOHPHQWIRUPDW

 7KH(OHPHQW,'/HQJWKDQG(OHPHQW,'([WHQVLRQILHOGVDUHGHILQHGLQ *HQHUDO 


 7KH 6KRUW 66,' /LVW ILHOG FRQWDLQV WKH RQH RU PRUH IRXU RFWHW 6KRUW 66,' ILHOGV IRU ZKLFK WKH 67$ LV
 UHTXHVWLQJLQIRUPDWLRQ7KHXVHRIWKH6KRUW66,'/LVWHOHPHQWDQGIUDPHVLVGHVFULEHGLQ $FWLYH
 VFDQQLQJSURFHGXUHIRUDQRQ'0*67$ 7KH6KRUW66,'ILHOGLVGHILQHGLQ &DOFXODWLQJWKH
 6KRUW66,' 


 +(*+]%DQG&DSDELOLWLHVHOHPHQW

 $Q+(67$RSHUDWLQJLQWKH*+]EDQGGHFODUHVLWVH[WHQGHGFDSDELOLWLHVE\WUDQVPLWWLQJWKH+(*+]
 %DQG&DSDELOLWLHVHOHPHQW7KH+(*+]%DQG&DSDELOLWLHVHOHPHQWLVGHILQHGLQ)LJXUHDK +(

*+]%DQG&DSDELOLWLHVHOHPHQWIRUPDW 





(OHPHQW (OHPHQW,' &DSDELOLWLHV
 ,' /HQJWK ([WHQVLRQ ,QIRUPDWLRQ


2FWHWV    


 )LJXUHDK²+(*+]%DQG&DSDELOLWLHVHOHPHQWIRUPDW

 7KH(OHPHQW,'/HQJWKDQG(OHPHQW,'([WHQVLRQILHOGVDUHGHILQHGLQ *HQHUDO 


 7KH&DSDELOLWLHV,QIRUPDWLRQILHOGLVGHILQHGLQ)LJXUHDL &DSDELOLWLHV,QIRUPDWLRQILHOGIRUPDW 

 %% %% %% % %% % % % %%

 0LQLPXP 0D[LPXP
 03'8 $03'8 0D[LPXP 60 5' 5[$QWHQQD 7[$QWHQQD
03'8 5HVHUYHG 3RZHU 3DWWHUQ 3DWWHUQ 5HVHUYHG
6WDUW /HQJWK /HQJWK 6DYH 5HVSRQGHU &RQVLVWHQF\ &RQVLVWHQF\
 6SDFLQJ ([SRQHQW

 %LWV         

 )LJXUHDL²&DSDELOLWLHV,QIRUPDWLRQILHOGIRUPDW


 7KH0LQLPXP03'86WDUW6SDFLQJVXEILHOGLVGHILQHGLQ $03'83DUDPHWHUVILHOG 

 7KH0D[LPXP$03'8/HQJWK([SRQHQWVXEILHOGLVGHILQHGLQ7DEOH 6XEILHOGRIWKH9+7&DSD
 ELOLWLHV,QIRUPDWLRQILHOG 


 7KH0D[LPXP03'8/HQJWKVXEILHOGLVGHILQHGLQ7DEOH 6XEILHOGVRIWKH9+7&DSDELOLWLHV,QIRU
 PDWLRQILHOG 

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KH603RZHU6DYHVXEILHOGLVGHILQHGLQGHILQHGLQ7DEOH 6XEILHOGVRIWKH+7&DSDELOLWLHV,QIRUPD
 WLRQILHOG 


 7KH5'5HVSRQGHUVXEILHOGLVGHILQHGLQGHILQHGLQ7DEOH 6XEILHOGVRIWKH+7([WHQGHG&DSDELOLWLHV
 ILHOG 

 7KH5[$QWHQQD3DWWHUQ&RQVLVWHQF\VXEILHOGLVGHILQHGLQGHILQHGLQ7DEOH 6XEILHOGRIWKH9+7


&DSDELOLWLHV,QIRUPDWLRQILHOG 


 7KH7[$QWHQQD3DWWHUQ&RQVLVWHQF\VXEILHOGLVGHILQHGLQGHILQHGLQ7DEOH 6XEILHOGRIWKH9+7

 &DSDELOLWLHV,QIRUPDWLRQILHOG 


8/083RZHU&DSDELOLWLHVHOHPHQW


 7KH8/083RZHU&DSDELOLWLHVHOHPHQWVSHFLILHVWKHUHODWLYHPD[LPXPWUDQVPLWSRZHUVZLWKZKLFKD67$ 
 LVFDSDEOHRIWUDQVPLWWLQJDQ+(7%33'8ZKHQXVLQJDQ58VL]HJUHDWHUWKDQRUHTXDOWRWRQHVDVD
 IXQFWLRQ RI +(0&6 7KH 8/ 08 3RZHU &DSDELOLWLHV HOHPHQW LQGLFDWHV WKH UHODWLYH PD[LPXP WUDQVPLW

SRZHUWKDWD67$LVFDSDEOHRIWUDQVPLWWLQJDQ+(7%33'8IRUHDFK+(0&6LQWKHRSHUDWLQJFKDQQHO

 ZLGWKZKHQXVLQJ58VL]HJUHDWHUWKDQRUHTXDOWRVXEFDUULHUV7KHIRUPDWRIWKH8/083RZHU&DSD
 ELOLWLHVHOHPHQWLVVKRZQLQ)LJXUHDM 8/083RZHU&DSDELOLWLHVHOHPHQWIRUPDW 




 (OHPHQW (OHPHQW,' 5HODWLYH0D[ 5HODWLYH0D[
 /HQJWK 7UDQVPLW3RZHU « 7UDQVPLW3RZHU
,' ([WHQVLRQ +(0&6 +(0&6


 2FWHWV      

 )LJXUHDM²8/083RZHU&DSDELOLWLHVHOHPHQWIRUPDW

 7KH(OHPHQW,'/HQJWKDQG(OHPHQW,'([WHQVLRQILHOGVDUHGHILQHGLQ *HQHUDO 


 7KH 8/083RZHU &DSDELOLWLHV HOHPHQWFRQWDLQV 5HODWLYH0D[7UDQVPLW3RZHU +(0&6 n ILHOGVLQ

 DVFHQGLQJRUGHURI+(0&6 IURPWR

 7KH5HODWLYH0D[7UDQVPLW3RZHU+(0&6nILHOG ZKHUHn « LVDQXQVLJQHGLQWHJHULQG%DQG

FRQWDLQVWKHGLIIHUHQFHEHWZHHQWKHQRPLQDOPD[LPXPWUDQVPLWSRZHULQG%PRIDQ+(7%33'8XVLQJDQ 

 58VL]HJUHDWHUWKDQRUHTXDOWRVXEFDUULHUVIRU+(0&6DQGWKDWIRU+(0&6n7KH5HODWLYH0D[

 7UDQVPLW3RZHU+(0&6QILHOGVFRUUHVSRQGLQJWR+(0&6VWKDWDUHQRWVXSSRUWHGE\WKH+(67$WKDW
 WUDQVPLWVWKLVHOHPHQWDUHUHVHUYHG


















 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $FWLRQIUDPHIRUPDWGHWDLOV


 3XEOLF$FWLRQGHWDLOV

 7'/6'LVFRYHU\5HVSRQVHIUDPHIRUPDW

 Insert the following row into Table 9-374 (TDLS Discovery Response Action field format) after the row

 for Order 18:


 7DEOH²7'/6'LVFRYHU\5HVSRQVH$FWLRQILHOGIRUPDW


 2UGHU ,QIRUPDWLRQ 1RWHV

  +(&DSDELOLWLHV 7KH+(&DSDELOLWLHVHOHPHQWLVSUHVHQWLIGRW+(2SWLRQ,P
 SOHPHQWHGLVWUXHRWKHUZLVHLWLVQRWSUHVHQW7KH+(&DSDELOL
 WLHVHOHPHQWLVGHILQHGLQ +(&DSDELOLWLHVHOHPHQW



 ),/6'LVFRYHU\IUDPHIRUPDW


 Insert the following rows into Table 9-383 (FILS Discovery frame format):


 7DEOH²),/6'LVFRYHU\IUDPHIRUPDW


 2UGHU ,QIRUPDWLRQ 1RWHV


 7,0HOHPHQW 7KH7,0HOHPHQWLVRSWLRQDOO\SUHVHQWLIGRW+(2SWLRQ,P

SOHPHQWHGLVWUXHRWKHUZLVHLWLVQRWSUHVHQW


  7:7HOHPHQW 7KH7:7HOHPHQWLVRSWLRQDOO\SUHVHQWLIGRW+(2SWLRQ,P
 SOHPHQWHGLVWUXHRWKHUZLVHLWLVQRWSUHVHQW,ISUHVHQWWKH
 %URDGFDVWILHOGRIWKH7:7HOHPHQWLV

  236HOHPHQW 7KH236HOHPHQWLVRSWLRQDOO\SUHVHQWLIGRW+(2SWLRQ,P
 SOHPHQWHGLVWUXHRWKHUZLVHLWLVQRWSUHVHQW



 Change the header row of Table 9-384 (BSS Operating Channel Width) as follows:



 7DEOH²%662SHUDWLQJ&KDQQHO:LGWK


%662SHUDWLQJ +5'6662)'0(53+7RU
 79+7%66RSHUDWLQJFKDQQHO
&KDQQHO:LGWK 9+7RU+(%66RSHUDWLQJFKDQQHO
 ZLGWK
ILHOG ZLGWK










&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 Insert a new row in Table 9-386 (PHY Index subfield) as follows and update the Reserved row as
 appropriate:



 7DEOH²3+<,QGH[VXEILHOG


 3+<,QGH[
3+<
 VXEILHOG

  +( VHH&ODXVH +LJK(IILFLHQF\
 +( 3+<VSHFLILFDWLRQ




Change Table 9-386 (PHY Index subfield) as follows:



 7DEOH²),/60LQLPXP5DWH


 3+<,QGH[ 3+<,QGH[
3+<,QGH[ 3+<,QGH[ 3+<,QGH[
 ),/60LQLPXP VXEILHOGLV VXEILHOGLV
VXEILHOGLV VXEILHOGLV VXEILHOGLV
 5DWHVXEILHOG (53 9+7RU
+5'666 +7 +(
 2)'0 79+7

  0ESV 0ESV 0&6 0&6 +(0&6

  0ESV 0ESV 0&6 0&6 +(0&6


 0ESV 0ESV 0&6 0&6 +(0&6


  0ESV 0ESV 0&6 0&6 +(0&6

  5HVHUYHG 0ESV 0&6 0&6 +(0&6

  5HVHUYHG 5HVHUYHG 5HVHUYHG 5HVHUYHG 5HVHUYHG



 Change the following paragraph:


 7KH&KDQQHO&HQWHU)UHTXHQF\6HJPHQWVXEILHOGLVVHWWRWKHLQGH[RIWKHFKDQQHOFHQWHUIUHTXHQF\RIWKH
 IUHTXHQF\VHJPHQWIRUDQ0+]9+7RU+(%66LIWKH),/6'LVFRYHU\IUDPHLVWUDQVPLWWHGDVD
 QRQ+7GXSOLFDWH33'8VDWDQ0+]FKDQQHOEDQGZLGWKRWKHUZLVHWKHVXEILHOGLVQRWSUHVHQW


 Insert the following at the end of the subclause:


 7KH7,0HOHPHQWLVGHILQHGLQ 7,0HOHPHQW DQGLVLQFOXGHGIRURSHUDWLRQDVGHILQHGLQ
 2SSRUWXQLVWLFSRZHUVDYH 


 7KH7:7HOHPHQWLVGHILQHGLQ 7:7HOHPHQW DQGLVLQFOXGHGZLWKWKH%URDGFDVWILHOGVHWWRWR

 DLGDQXQDVVRFLDWHG67$GHWHUPLQHWKHWDUJHWWUDQVPLVVLRQWLPHRI7ULJJHUIUDPHVWKDWFRQWDLQDWOHDVWRQH
 8VHU,QIRILHOGWKDWDOORFDWHV5$58VIRUXQDVVRFLDWHG67$V VHH $GGLWLRQDOFRQVLGHUDWLRQVIRU
 XQDVVRFLDWHG67$V DQG *HQHUDO 


 7KH236HOHPHQWLVGHILQHGLQ 236HOHPHQW 

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7'/6$FWLRQILHOGIRUPDWV


7'/66HWXS5HTXHVW$FWLRQILHOGIRUPDW


 Change Table 9-414 (Information for TDLS Setup Request Action field) as follows (maintaining numeric
 order):



 7DEOH²,QIRUPDWLRQIRU7'/66HWXS5HTXHVW$FWLRQILHOG


 2UGHU ,QIRUPDWLRQ 1RWHV

  $,' 7KH$,'HOHPHQWFRQWDLQLQJWKH$,'RIWKH67$VHQGLQJWKH
 IUDPHLVSUHVHQWLIGRW9+72SWLRQ,PSOHPHQWHGGRW+(
 2SWLRQ,PSOHPHQWHGRUGRW6*2SWLRQ,PSOHPHQWHGLVWUXH

  +(&DSDELOLWLHV 7KH+(&DSDELOLWLHVHOHPHQWLVSUHVHQWLIGRW+(2SWLRQ,P
 SOHPHQWHGLVWUXHRWKHUZLVHLWLVQRWSUHVHQW7KH+(&DSDELOL
 WLHVHOHPHQWLVGHILQHGLQ +(&DSDELOLWLHVHOHPHQW

  7:7 7KH7:7HOHPHQWLVRSWLRQDOO\SUHVHQWLIGRW7:72SWLRQ
 $FWLYDWHGLVWUXHRWKHUZLVHQRWSUHVHQW

 7KH7ULJJHUVXEILHOGDQGWKH1HJRWLDWLRQ7\SHVXEILHOGRIWKH
 7:7HOHPHQWDUHVHWWR






































&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7'/66HWXS5HVSRQVH$FWLRQILHOGIRUPDW


Change Table 9-415 (Information for TDLS Setup Response Action field) as follows (maintaining

 numeric order):


 7DEOH²,QIRUPDWLRQIRU7'/66HWXS5HVSRQVH$FWLRQILHOG


 2UGHU ,QIRUPDWLRQ 1RWHV

  $,' 7KH$,'HOHPHQWFRQWDLQLQJWKH$,'RIWKH67$VHQGLQJWKH
 IUDPHLVSUHVHQWLIGRW9+72SWLRQ,PSOHPHQWHGGRW+(
 2SWLRQ,PSOHPHQWHGRUGRW6*2SWLRQ,PSOHPHQWHGLVWUXH


  +(&DSDELOLWLHV 7KH+(&DSDELOLWLHVHOHPHQWLVSUHVHQWLIGRW+(2SWLRQ,P
 SOHPHQWHGLVWUXHDQGWKH6WDWXV&RGHLV68&&(66RWKHUZLVH
 LWLVQRWSUHVHQW7KH+(&DSDELOLWLHVHOHPHQWLVGHILQHGLQ
  +(&DSDELOLWLHVHOHPHQW

  7:7 7KH7:7HOHPHQWLVSUHVHQWLIGRW7:72SWLRQ$FWLYDWHGLV
 WUXHDQGWKH7:7HOHPHQWLVSUHVHQWLQWKH7'/66HWXS
 5HTXHVWIUDPHWKDWHOLFLWHGWKLV7'/66HWXS5HVSRQVHIUDPH
 7KH7:7HOHPHQWLVRSWLRQDOO\SUHVHQWLIGRW7:72SWLRQ
 $FWLYDWHGLVWUXHDQGWKH7:75HTXHVWHU6XSSRUWILHOGRUWKH
 7:75HVSRQGHU6XSSRUWILHOGLVHTXDOWRLQWKH+(&DSDELOL
 WLHVLQWKH7'/66HWXS5HTXHVWIUDPHWKDWHOLFLWHGWKLV7'/6
 6HWXS5HVSRQVHIUDPH2WKHUZLVHWKH7:7HOHPHQWLVQRW
 SUHVHQW

 7KH7ULJJHUVXEILHOGDQGWKH1HJRWLDWLRQ7\SHVXEILHOGRIWKH
 7:7HOHPHQWDUHVHWWR



 7'/66HWXS&RQILUP$FWLRQILHOGIRUPDW

 Insert the following row in Table 9-416 (Information for TDLS Setup Confirm Action field):



 7DEOH²,QIRUPDWLRQIRU7'/66HWXS&RQILUP$FWLRQILHOG


 2UGHU ,QIRUPDWLRQ 1RWHV

  +(2SHUDWLRQ 7KH+(2SHUDWLRQHOHPHQWLVSUHVHQWZKHQGRW+(2SWLRQ,P
 SOHPHQWHGLVWUXHWKH7'/66HWXS5HVSRQVHIUDPHFRQWDLQHG
 DQ+(&DSDELOLWLHVHOHPHQWDQGWKH6WDWXV&RGHLV68&&(66
 RWKHUZLVHLWLVQRWSUHVHQW7KH+(2SHUDWLRQHOHPHQWLV
 GHILQHGLQ +(2SHUDWLRQHOHPHQW 













 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 6HOISURWHFWHG$FWLRQIUDPHGHWDLOV


 0HVK3HHULQJ2SHQIUDPHIRUPDW

 0HVK3HHULQJ2SHQIUDPHGHWDLOV


 Insert the following rows in Table 9-436 (Mesh Peering Open frame Action field format):


 7DEOH²0HVK3HHULQJ2SHQIUDPH$FWLRQILHOGIRUPDW


 2UGHU ,QIRUPDWLRQ 1RWHV


  +(&DSDELOLWLHV 7KH+(&DSDELOLWLHVHOHPHQWLVSUHVHQWZKHQGRW+(2SWLRQ
 ,PSOHPHQWHGLVWUXHRWKHUZLVHLWLVQRWSUHVHQW

  +(2SHUDWLRQ 7KH+(2SHUDWLRQHOHPHQWLVSUHVHQWZKHQGRW+(2SWLRQ,P
 SOHPHQWHGLVWUXHRWKHUZLVHLWLVQRWSUHVHQW



 0HVK3HHULQJ&RQILUPIUDPHIRUPDW


 0HVK3HHULQJ&RQILUPIUDPHGHWDLOV

 Insert the following rows in Table 9-437 (Mesh Peering Confirm frame Action field format):



 7DEOH²0HVK3HHULQJ&RQILUPIUDPH$FWLRQILHOGIRUPDW


 2UGHU ,QIRUPDWLRQ 1RWHV

  +(&DSDELOLWLHV 7KH+(&DSDELOLWLHVHOHPHQWLVSUHVHQWZKHQGRW+(2SWLRQ
 ,PSOHPHQWHGLVWUXHRWKHUZLVHLWLVQRWSUHVHQW

  +(2SHUDWLRQ 7KH+(2SHUDWLRQHOHPHQWLVSUHVHQWZKHQGRW+(2SWLRQ,P
 SOHPHQWHGLVWUXHRWKHUZLVHLWLVQRWSUHVHQW



 8QSURWHFWHG6*$FWLRQIUDPHGHWDLOV


 8QSURWHFWHG6*$FWLRQILHOG



Change the 1st paragraph as follows:

 6HYHUDO$FWLRQIUDPHIRUPDWVDUHGHILQHGWRVXSSRUW6*IXQFWLRQDOLW\$Q8QSURWHFWHG6*$FWLRQILHOGLQ
 WKH RFWHW LPPHGLDWHO\ DIWHU WKH &DWHJRU\ ILHOG GLIIHUHQWLDWHV WKH 8QSURWHFWHG 6* $FWLRQ IUDPH IRUPDWV


7KH8QSURWHFWHG6*$FWLRQILHOGYDOXHVDVVRFLDWHGZLWKHDFKIUDPHIRUPDWZLWKLQWKH8QSURWHFWHG6* 
 FDWHJRU\DUHGHILQHGLQ7DEOH 8QSURWHFWHG6*$FWLRQILHOGYDOXHV 

 7:76HWXSIUDPHIRUPDW


 Change the last paragraph as follows:

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ,QD7:76HWXSIUDPHZLWKD7:75HTXHVWILHOGWKDWLVHTXDOWRWKH'LDORJ7RNHQILHOGLVVHWWRDQRQ]HUR
 YDOXHFKRVHQE\WKHWUDQVPLWWLQJ67$WRLGHQWLI\WKHUHTXHVWUHVSRQVHWUDQVDFWLRQ,QD7:76HWXSIUDPH

ZLWKD7:75HTXHVWILHOGHTXDOWRWKDWLVVHQWLQUHVSRQVHWRD7:76HWXSIUDPHZLWKD7:75HTXHVW

 ILHOGWKDWLVHTXDOWRWKH'LDORJ7RNHQILHOGLVVHWWRWKHYDOXHFRSLHGIURPWKHFRUUHVSRQGLQJUHFHLYHG
 7:76HWXSIUDPHZLWKD7:75HTXHVWILHOGHTXDOWR,QD7:76HWXSIUDPHZLWKD7:75HTXHVWILHOG 
 VHWWRWKDWLVQRWVHQWLQUHVSRQVHWRD7:76HWXSIUDPHZLWKD7:75HTXHVWILHOGHTXDOWRWKH'LDORJ 
 7RNHQILHOGLVVHWWR


 7:77HDUGRZQIUDPHIRUPDW

 Change the 4th paragraph as follows:


 7KH7:7)ORZILHOGFRQWDLQVWKH7:7)ORZ,GHQWLILHUILHOGDQGUHVHUYHGELWVDVVKRZQLQ)LJXUH 
 7:7)ORZILHOGIRUPDW 7KHIRUPDWRIWKH7:7)ORZILHOGLIWKH1HJRWLDWLRQ7\SHVXEILHOGLVRULV
 GHILQHGLQ)LJXUH 7:7)ORZILHOGIRUPDWLIWKH1HJRWLDWLRQ7\SHVXEILHOGLVRU 7KHIRUPDWRI

 WKH7:7)ORZILHOGLIWKH1HJRWLDWLRQ7\SHVXEILHOGLVLVGHILQHGLQ)LJXUHE 7:7)ORZILHOGIRU
 PDWLIWKH1HJRWLDWLRQ7\SHVXEILHOGLV 7KHIRUPDWRIWKH7:7)ORZILHOGLIWKH1HJRWLDWLRQ7\SHILHOGLV
 LVGHILQHGLQ)LJXUHD 7:7)ORZILHOGIRUPDWLIWKH1HJRWLDWLRQ7\SHVXEILHOGLV 


 Change Figure 9-957 (TWT Flow field format if the Negotiation Type subfield is 0 or 1) as follows:


 %% %%% %% %

 7:7)ORZ
,GHQWLILHU 5HVHUYHG 1HJRWLDWLRQ7\SH 7HDUGRZQ$OO7:7


 %LWV    

 )LJXUH²7:7)ORZILHOGIRUPDWLIWKH1HJRWLDWLRQ7\SHVXEILHOGLVRU


 Insert two figures as follows:

 %% %% %

 5HVHUYHG 1HJRWLDWLRQ7\SH 5HVHUYHG

 %LWV   

 )LJXUHD²7:7)ORZILHOGIRUPDWLIWKH1HJRWLDWLRQ7\SHVXEILHOGLV


 %% %% %

 %URDGFDVW7:7,' 1HJRWLDWLRQ7\SH
7HDUGRZQ$OO
 7:7

 %LWV   

 )LJXUHE²7:7)ORZILHOGIRUPDWLIWKH1HJRWLDWLRQ7\SHVXEILHOGLV


 Change the last paragraph as follows (splitting it into two paragraphs and adding a third):

 7KH7:7)ORZ,GHQWLILHU%URDGFDVW7:7,'ILHOGFRQWDLQVWKH7:7)ORZ,GHQWLILHUZKHQWKH1HJRWLDWLRQ 

7\SHVXEILHOGLVRUDQGFRQWDLQVWKH%URDGFDVW7:7,'ILHOGZKHQWKH1HJRWLDWLRQ7\SHVXEILHOGLV

 7KH7:7)ORZ,GHQWLILHUILHOGDQGWKH%URDGFDVW7:7,'ILHOGDUHLVGHILQHGLQDQGDUHUHVHUYHG
 LIWKH7HDUGRZQ$OO7:7ILHOGLV

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ,QD7:77HDUGRZQIUDPHWKH7KH7:7)ORZ,GHQWLILHUILHOGLQD7:77HDUGRZQIUDPHLVVHWWRWKHYDOXH
 RIWKH7:7)ORZ,GHQWLILHUILHOGRIWKH7:7HOHPHQWLQWKHIUDPHWKDWVXFFHVVIXOO\FRQFOXGHGWKHVHWXSRI

WKH 7:7 WKDW LV WKH VXEMHFW RI WKH WHDUGRZQ UHTXHVW 7KH %URDGFDVW 7:7 ,' ILHOG RI D 7:7 7HDUGRZQ


 IUDPHLVVHWWRWKHYDOXHRIWKH%URDGFDVW7:7LGHQWLILHURIWKHEURDGFDVW7:7VFKHGXOHWKDWLVVXEMHFWRI
 WKHWHDUGRZQUHTXHVW

 7KH1HJRWLDWLRQ7\SHVXEILHOGLQGLFDWHVWKHW\SHRIQHJRWLDWLRQWKDWLVVXEMHFWWRWKHWHDUGRZQUHTXHVWDQGLV

VHWDVGHILQHGLQ7DEOHD ,QWHUSUHWDWLRQRI1HJRWLDWLRQ7\SHVXEILHOG7DUJHW:DNH7LPH7:7:DNH

 ,QWHUYDO0DQWLVVDDQG7:7:DNH,QWHUYDO([SRQHQWILHOGV $Q6*67$VHWVWKH1HJRWLDWLRQ7\SHVXE
 ILHOGWR7KH1HJRWLDWLRQ7\SHVXEILHOGLVUHVHUYHGLIWKH7HDUGRZQ$OO7:7ILHOGLV

 7KH7HDUGRZQ$OO7:7ILHOGLVVHWWRE\DQ+(67$WRLQGLFDWHWKDWWKH7:77HDUGRZQIUDPHWHDUVGRZQ

DOO7:7VDVGHILQHGLQ 7:7RSHUDWLRQ 2WKHUZLVHLWLVVHWWR


 7:7,QIRUPDWLRQIUDPHIRUPDW

 Change the 1st paragraph as follows:


 7KH7:7,QIRUPDWLRQIUDPHLVVHQWE\D67$WRUHTXHVWRUGHOLYHULQIRUPDWLRQDERXWD7:7DJUHHPHQWDQG 
 LVWUDQVPLWWHGE\HLWKHU67$RIDQH[LVWLQJ7:7DJUHHPHQWRULVWUDQVPLWWHGE\D67$WRDSHHU67$WKDW
 KDVLQGLFDWHGVXSSRUWRILWVUHFHSWLRQ7KH$FWLRQILHOGRIWKH7:7,QIRUPDWLRQIUDPHFRQWDLQVWKHLQIRUPD
 WLRQVKRZQLQ7DEOH 7:7,QIRUPDWLRQIUDPH$FWLRQILHOGIRUPDW 


 Insert subclauses 9.6.31 and 9.6.32 to at the end of 9.6:

 +($FWLRQIUDPHGHWDLOV


+($FWLRQILHOG


 $Q+($FWLRQILHOGLQWKHRFWHWLPPHGLDWHO\DIWHUWKH&DWHJRU\ILHOGGLIIHUHQWLDWHVWKH+($FWLRQIUDPH
 IRUPDWV7KH+($FWLRQILHOGYDOXHVDVVRFLDWHGZLWKHDFKIUDPHIRUPDWZLWKLQWKH+(FDWHJRU\DUHGHILQHG
 LQ7DEOHD +($FWLRQILHOGYDOXHV 



 7DEOHD²+($FWLRQILHOGYDOXHV


 9DOXH 0HDQLQJ

  +(&RPSUHVVHG%HDPIRUPLQJ&4,

  4XLHW7LPH3HULRG

  236

  5HVHUYHG













&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 +(&RPSUHVVHG%HDPIRUPLQJ&4,IUDPHIRUPDW


 7KH+(&RPSUHVVHG%HDPIRUPLQJ&4,IUDPHLVDQ$FWLRQ1R$FNIUDPHRIFDWHJRU\+(7KH$FWLRQILHOG
 RIDQ+(&RPSUHVVHG%HDPIRUPLQJ&4,IUDPHFRQWDLQVWKHLQIRUPDWLRQVKRZQLQ7DEOHE +(&RP
 SUHVVHG%HDPIRUPLQJ&4,IUDPH$FWLRQILHOGIRUPDW 


 7DEOHE²+(&RPSUHVVHG%HDPIRUPLQJ&4,IUDPH$FWLRQILHOGIRUPDW


 2UGHU ,QIRUPDWLRQ


 &DWHJRU\


  +($FWLRQ

  +(0,02&RQWURO VHH +(0,02&RQWUROILHOG

  +(&RPSUHVVHG%HDPIRUPLQJ5HSRUW VHH +(&RPSUHVVHG%HDPIRUPLQJ
 5HSRUWILHOG

  +(08([FOXVLYH%HDPIRUPLQJ5HSRUW VHH +(08([FOXVLYH%HDP
 IRUPLQJ5HSRUWILHOG


 +(&4,5HSRUW VHH +(&4,5HSRUWILHOG




 7KH&DWHJRU\ILHOGLVGHILQHGLQ7DEOH &DWHJRU\YDOXHV 

 7KH+($FWLRQILHOGLVGHILQHGLQ7DEOHD +($FWLRQILHOGYDOXHV 


 7KH+(0,02&RQWUROILHOGLVDOZD\VSUHVHQWLQWKHIUDPH7KHSUHVHQFHDQGFRQWHQWVRIWKH+(&RP
 SUHVVHG%HDPIRUPLQJ5HSRUWILHOG+(08([FOXVLYH%HDPIRUPLQJ5HSRUWILHOGDQG+(&4,5HSRUWILHOG 
 DUHGHSHQGHQWRQWKHYDOXHVRIWKH)HHGEDFN7\SHVXEILHOGRIWKH+(0,02&RQWUROILHOG VHH +(

 &RPSUHVVHG %HDPIRUPLQJ 5HSRUW ILHOG   +( 08 ([FOXVLYH %HDPIRUPLQJ 5HSRUW ILHOG  DQG


  +(&4,5HSRUWILHOG 

 $9HQGRU6SHFLILFHOHPHQWLVQRWSUHVHQWLQWKH+(&RPSUHVVHG%HDPIRUPLQJ&4,IUDPH


 4XLHW7LPH3HULRG$FWLRQIUDPHGHWDLOV

 7KH4XLHW7LPH3HULRGDFWLRQIUDPHLVDQ$FWLRQ1R$FNIUDPHRIFDWHJRU\+(7KH$FWLRQILHOGRID4XLHW

7LPH3HULRGFRQWDLQVWKHLQIRUPDWLRQVKRZQLQ7DEOHF 4XLHW7LPH3HULRG)UDPH%RG\ 



 7DEOHF²4XLHW7LPH3HULRG)UDPH%RG\


 2UGHU ,QIRUPDWLRQ

  &DWHJRU\

  +($FWLRQ

  4XLHW7LPH3HULRGHOHPHQW VHH 4XLHW
 7LPH3HULRGHOHPHQW


 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KH&DWHJRU\ILHOGLVGHILQHGLQ7DEOH &DWHJRU\YDOXHV 


 7KH+($FWLRQILHOGLVGHILQHGLQ7DEOHD +($FWLRQILHOGYDOXHV 


 7KH4XLHW7LPH3HULRGHOHPHQWLVGHILQHGLQ 4XLHW7LPH3HULRGHOHPHQW 


 236IUDPHIRUPDW


 7KH236IUDPHLVDQ$FWLRQ1R$FNIUDPHRIFDWHJRU\+(7KH$FWLRQILHOGRIDQ236IUDPHFRQWDLQVWKH
 LQIRUPDWLRQVKRZQLQ7DEOHG 236IUDPH$FWLRQILHOGIRUPDW 



 7DEOHG²236IUDPH$FWLRQILHOGIRUPDW


 2UGHU ,QIRUPDWLRQ

  &DWHJRU\

  +($FWLRQ

  7,0HOHPHQW VHH 7,0HOHPHQW

  236HOHPHQW VHH 236HOHPHQW




 7KH&DWHJRU\ILHOGLVGHILQHGLQ7DEOH &DWHJRU\YDOXHV 


 7KH+($FWLRQILHOGLVGHILQHGLQ7DEOHD +($FWLRQILHOGYDOXHV 


 7KH7,0HOHPHQWDQG236HOHPHQWDUHDOZD\VSUHVHQWLQWKHIUDPH


 3URWHFWHG+($FWLRQIUDPHGHWDLOV


 3URWHFWHG+($FWLRQILHOG


 $3URWHFWHG+($FWLRQILHOGLQWKHRFWHWLPPHGLDWHO\DIWHUWKH&DWHJRU\ILHOGGLIIHUHQWLDWHVWKH3URWHFWHG

 +($FWLRQIUDPHIRUPDWV7KH3URWHFWHG+($FWLRQILHOGYDOXHVDVVRFLDWHGZLWKHDFKIUDPHIRUPDWZLWKLQ 

WKH+(FDWHJRU\DUHGHILQHGLQ7DEOHH 3URWHFWHG+($FWLRQILHOGYDOXHV 



 7DEOHH²3URWHFWHG+($FWLRQILHOGYDOXHV


 9DOXH 0HDQLQJ

  +(%66&RORU&KDQJH$QQRXQFHPHQW

  08('&$&RQWURO

  5HVHUYHG


&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 +(%66&RORU&KDQJH$QQRXQFHPHQWIUDPHIRUPDW


7KH+(%66&RORU&KDQJH$QQRXQFHPHQWIUDPHLVDQ$FWLRQRU$FWLRQ1R$FNIUDPHRIFDWHJRU\3UR

 WHFWHG+(7KH$FWLRQILHOGRIDQ+(%66&RORU&KDQJH$QQRXQFHPHQWIUDPHFRQWDLQVWKHLQIRUPDWLRQ

 VKRZQLQ7DEOHI +(%66&RORU&KDQJH$QQRXQFHPHQWIUDPH$FWLRQILHOGIRUPDW 


 7DEOHI²+(%66&RORU&KDQJH$QQRXQFHPHQWIUDPH$FWLRQILHOGIRUPDW


 2UGHU ,QIRUPDWLRQ

  &DWHJRU\


  3URWHFWHG+($FWLRQ

  %66&RORU&KDQJH$QQRXQFHPHQWHOHPHQW VHH %66&RORU&KDQJH
 $QQRXQFHPHQWHOHPHQW



 7KH&DWHJRU\ILHOGLVGHILQHGLQ7DEOH &DWHJRU\YDOXHV 

 7KH3URWHFWHG+($FWLRQILHOGLVGHILQHGLQ7DEOHH 3URWHFWHG+($FWLRQILHOGYDOXHV 


 $%66&RORU&KDQJH$QQRXQFHPHQWHOHPHQWLVDOZD\VSUHVHQWLQWKHIUDPH

 08('&$&RQWUROIUDPHIRUPDW


7KH08('&$&RQWUROIUDPHLVDQ$FWLRQIUDPHRIFDWHJRU\3URWHFWHG+(7KH$FWLRQILHOGRIDQ08


 ('&$&RQWUROIUDPHFRQWDLQVWKHLQIRUPDWLRQVKRZQLQ7DEOHJ 08('&$&RQWUROIUDPH$FWLRQ
 ILHOGIRUPDW 


 7DEOHJ²08('&$&RQWUROIUDPH$FWLRQILHOGIRUPDW


 2UGHU ,QIRUPDWLRQ

  &DWHJRU\


  3URWHFWHG+($FWLRQ

  08('&$&RQWURO



 7KH&DWHJRU\ILHOGLVGHILQHGLQ7DEOH &DWHJRU\YDOXHV 

 7KH3URWHFWHG+($FWLRQILHOGLVGHILQHGLQ7DEOHH 3URWHFWHG+($FWLRQILHOGYDOXHV 











 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KH08('&$&RQWUROILHOGLVGHILQHGLQ)LJXUHD 08('&$&RQWUROILHOGIRUPDW 


 %% %%

 $IIHFWHG$&V 5HVHUYHG


 %LWV  

 )LJXUHD²08('&$&RQWUROILHOGIRUPDW


 7KH$IIHFWHG$&VVXEILHOGFRQWDLQVDELWPDSWKDWLQGLFDWHVWKH$&VIRUZKLFKWKH08('&$7LPHU>$&@DV
 GHILQHG LQ  ('&$ RSHUDWLRQ XVLQJ 08 ('&$ SDUDPHWHUV  DUH UHVHW WR  XSRQ UHFHLSW RI WKH 08


('&$&RQWUROIUDPHIRUDIIHFWHG67$V(DFKELWLQWKHELWPDSFRUUHVSRQGVWRRQH$&ZLWK%PDSSHGWR

 $&B%.%PDSSHGWR$&B%(%PDSSHGWR$&B9,DQG%PDSSHGWR$&B92$YDOXHRILQWKHELW
 SRVLWLRQFRUUHVSRQGLQJWRDJLYHQ$&LQGLFDWHVWKDWWKH08('&$7LPHU>$&@IRUWKDW$&LVUHVHWWRRWK
 HUZLVHWKHYDOXHRIWKHELWLV



 $JJUHJDWH03'8 $03'8


 $03'8IRUPDW


 Change the 4th paragraph as follows:


 7KH(2)3DGGLQJILHOGLVVKRZQLQ)LJXUH (2)3DGGLQJILHOGIRUPDW 7KLVLVSUHVHQWRQO\LQD9+7

 RU+(33'8


 Change the 6th and subsequent paragraphs as follows:


 ,QD9+7RU+(33'8WKHIROORZLQJSDGGLQJLVSUHVHQWDVGHWHUPLQHGE\WKHUXOHVLQ $03'8


 SDGGLQJIRU9+7+(RU6*33'8 

 ² ±RFWHWVLQWKH3DGGLQJVXEILHOGRIWKHILQDO$03'8VXEIUDPH VHH)LJXUH $03'8VXE
 IUDPHIRUPDW EHIRUHDQ\(2)SDGGLQJVXEIUDPHV7KHFRQWHQWRIWKHVHRFWHWVLVXQVSHFLILHG

 ² =HURRUPRUH(2)SDGGLQJVXEIUDPHVLQWKH(2)3DGGLQJ6XEIUDPHVVXEILHOG

 ² ±RFWHWVLQWKH(2)3DGGLQJ2FWHWVVXEILHOG7KHFRQWHQWRIWKHVHRFWHWVLVXQVSHFLILHG


 $Q$03'8SUH(2)SDGGLQJUHIHUVWRWKHFRQWHQWVRIWKH$03'8XSWREXWQRWLQFOXGLQJWKH(2)3DG

GLQJILHOG


 127(²$03'8SUH(2)SDGGLQJLQFOXGHVDQ\$03'8VXEIUDPHVZLWKLQWKH03'8/HQJWKILHOGDQGLQWKH
 (2)ILHOGLQVHUWHGLQRUGHUWRPHHWWKHPLQLPXP03'8VWDUWVSDFLQJUHTXLUHPHQW


 7KH PD[LPXP OHQJWK RI DQ $03'8 LQ DQ +7 33'8 LV  RFWHWV 7KH PD[LPXP OHQJWK RI DQ $
 03'8LQD '0*33'8 LV RFWHWV7KHPD[LPXPOHQJWKRIDQ $03'8SUH(2)SDGGLQJLQD
 9+733'8LVRFWHWV7KHPD[LPXPOHQJWKRIDQ$03'8SUH(2)SDGGLQJLQDQ+(33'8LV

 RFWHWV7KHOHQJWKRIDQ$03'8DGGUHVVHGWRDSDUWLFXODU67$FDQEHIXUWKHUFRQVWUDLQHGDV
 GHVFULEHGLQ $03'8OHQJWKOLPLWUXOHV 

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 Change Table 9-527 (MPDU delimiter fields (non-DMG)) as follows:





7DEOH²03'8GHOLPLWHUILHOGV QRQ'0*


 6L]H
 )LHOG 'HVFULSWLRQ
ELWV

 (2)  (QGRIIUDPHLQGLFDWLRQDQGRUDFNVROLFLWLQJLQGLFDWLRQLQFRPELQDWLRQZLWKWKH
 03'8/HQJWKILHOG6HWWRLQDQ$03'8VXEIUDPHWKDWKDVLQWKH03'8
 /HQJWKILHOGDQGWKDWLVXVHGWRSDGWKH$03'8LQD9+7RU+(33'8DV
 GHVFULEHGLQ $03'8SDGGLQJIRU9+733'8 6HWWRLQWKH03'8
 GHOLPLWHURIDQ603'8DVGHVFULEHGLQ 6HWWLQJWKH(2)ILHOGRIWKH
 03'8GHOLPLWHU DQGVHWWRLQDQ03'8GHOLPLWHUSUHFHGLQJD4R6'DWD
 IUDPHRU0DQDJHPHQWIUDPHVROLFLWLQJDQ$FNRU3HU$,'7,',QIRILHOGZLWK
 $FN7\SHILHOGVHWWRLQD0XOWL67$%ORFN$FNIUDPHLQDUHVSRQVHWKDWLVFRQ
 WDLQHGLQDQDFNHQDEOHGPXOWL7,'$03'8DVGHVFULEHGLQ $FN
 HQDEOHGPXOWL7,'$03'8RSHUDWLRQ DQGDFNHQDEOHGVLQJOH7,'$03'8
 DVGHVFULEHGLQ *HQHUDO 6HWWRRWKHUZLVH

 5HVHUYHG 

03'8/HQJWK  /HQJWKRIWKH03'8LQRFWHWV6HWWRLIQR03'8LVSUHVHQW$Q$03'8

VXEIUDPHZLWKLQWKH03'8/HQJWKILHOGLVXVHGDVGHILQHGLQ 0LQL

PXP03'86WDUW6SDFLQJILHOG WRPHHWWKHPLQLPXP03'8VWDUWVSDFLQJ

UHTXLUHPHQWDQGDOVRWRSDGWKH$03'8WRILOOWKHDYDLODEOHRFWHWVLQD9+7RU

+(33'8DVGHILQHGLQ $03'8SDGGLQJIRU9+733'8RU6*

33'8 

 &5&  ELW&5&RIWKHSUHFHGLQJELWV

 'HOLPLWHU6LJQDWXUH  3DWWHUQWKDWPD\EHXVHGWRGHWHFWDQ03'8GHOLPLWHUZKHQVFDQQLQJIRUDQ
 03'8GHOLPLWHU
 7KHXQLTXHSDWWHUQLV[(ZKLFKLVWKH$6&,,YDOXHRIWKHFKDUDFWHU
1
 VHH
 127(EHORZ 
 127(²7KH$6&,,YDOXHRIWKHFKDUDFWHU
1
ZDVFKRVHQDVWKHXQLTXHSDWWHUQIRUWKHYDOXHLQWKH'HOLPLWHU6LJQD
 WXUHILHOG



 Change the 12th paragraph as follows:


 7KH IRUPDW RI WKH 03'8 /HQJWK ILHOG ZKHQ WUDQVPLWWHG E\ D QRQ'0* 67$ LV VKRZQ LQ )LJXUH 
 03'8/HQJWKILHOG QRQ'0* 7KH03'8/HQJWK/RZVXEILHOGFRQWDLQVWKHORZRUGHUELWVRIWKH
 03'8OHQJWK,QD9+7RU+(33'8WKH03'8/HQJWK+LJKVXEILHOGFRQWDLQVWKHWZRKLJKRUGHUELWVRI

WKH03'8OHQJWK,QDQ+733'8WKH03'8/HQJWK+LJKVXEILHOGLVUHVHUYHG


 Replace Equation (9-5) with the equation below (introductory sentence and variable list unchanged):


 7KH03'8OHQJWKYDOXHLVGHULYHGIURPWKH03'8/HQJWKILHOGVXEILHOGVDVIROORZV


 ­ L low  L high u  IRUD9+7DQG+(33'8
 °
L MPDU ® L low IRUDQ+733'8 
 °
 ¯ L IRUD'0*33'8


 ZKHUH
 Llow LVWKHYDOXHRIWKH03'8/HQJWK/RZVXEILHOG

 Lhigh LVWKHYDOXHRIWKH03'8/HQJWK+LJKVXEILHOG

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 L LVWKHYDOXHRIWKH03'8/HQJWKILHOG


 Change the NOTE as follows:

 127(²7KH IRUPDW RI WKH 03'8 /HQJWK ILHOG PDLQWDLQV D FRPPRQ HQFRGLQJ VWUXFWXUH IRU ERWK +( 9+7 DQG +7

 33'8V)RU+733'8VRQO\WKH03'8/HQJWK/RZVXEILHOGLVXVHGZKLOHIRU9+7DQG+(33'8VERWKVXEILHOGV
 DUHXVHG


 $03'8FRQWHQWV


 Change the 1st paragraph of this subclause as follows:


 ,QDQRQ'0*33'8DQ$03'8LVDVHTXHQFHRI$03'8VXEIUDPHVFDUULHGLQDVLQJOH33'8ZLWKRQH

RIWKHIROORZLQJFRPELQDWLRQVRI5;9(&725RU7;9(&725SDUDPHWHUYDOXHV


 ² 7KH)250$7SDUDPHWHUVHWWR9+7

 ² 7KH)250$7SDUDPHWHUVHWWR+7B0)RU+7B*)DQGWKH$**5(*$7,21SDUDPHWHUVHWWR

 ² 7KH)250$7SDUDPHWHUVHWWR6*6*B'83B0RU6*B'83B0DQGWKH$**5(*$7,21

 SDUDPHWHUVHWWR

 ² 7KH)250$7SDUDPHWHUVHWWR+(B68+(B08+(B7%RU+(B(5B68


 Insert the following after the 1st paragraph:


 $Q$03'8FDUULHGLQDQ+(6833'8+((56833'8+(7%33'8RU+(0833'8FDQLQFOXGH
 03'8VZLWKGLIIHUHQWYDOXHVRIWKH7,'ILHOGDVGHVFULEHGLQ 0XOWL7,'$03'8DQGDFNHQDEOHG

VLQJOH7,'$03'8 



Change the 3rd paragraph as follows:



$OO RI WKH 03'8V ZLWKLQ DQ $03'8 DUH DGGUHVVHG WR WKH VDPH 5$ $OO RI WKH 03'8V ZLWKLQ DQ $

 03'8 KDYH WKH VDPH 7$ $OO 4R6 'DWD IUDPHV ZLWKLQ DQ $03'8 WKDW KDYH D 7,' IRU ZKLFK DQ +7
 LPPHGLDWHEORFNDFNDJUHHPHQWH[LVWVKDYHWKHVDPHYDOXHIRUWKH$FN3ROLF\,QGLFDWRUVXEILHOGRIWKH4R6 
 &RQWUROILHOG


 Change paragraphs 5-7 and Table 9-529 (A-MPDU Contexts) as follows:


 7KH'XUDWLRQ,'ILHOGVLQWKH0$&KHDGHUVRIDOO03'8VLQDQ$03'8FDUU\WKHVDPHYDOXH7KH'XUD
 WLRQ,'ILHOGVLQWKH0$&KHDGHUVRIWKH03'8VLQWKH$03'8VFDUULHGLQWKHVDPHD9+70833'8

DQGDQ+(0833'8DOOFDUU\WKHVDPHYDOXH


 127(²7KHUHIHUHQFHSRLQWIRUWKH'XUDWLRQ,'ILHOGLVWKHHQGRIWKH33'8FDUU\LQJWKH03'86HWWLQJWKH'XUDWLRQ
 ,'ILHOGWRWKHVDPHYDOXHLQWKHFDVHRI$03'8DJJUHJDWLRQPHDQVWKDWHDFK03'8FRQVLVWHQWO\VSHFLILHVWKHVDPH

1$9VHWWLQJ



$Q$03'8LVWUDQVPLWWHGLQRQHRIWKHFRQWH[WVVSHFLILHGLQ7DEOH $03'8&RQWH[WV DVGHILQHG

 E\WKHGHVFULSWLRQLQWKH³'HILQLWLRQRIFRQWH[W´FROXPQLQGHSHQGHQWO\RIZKHWKHUWKH$03'8LVFRQ
 WDLQHGLQD9+70833'8RUDQ6833'87KHFRQWHQWRIDQ$03'8GHSHQGVRQWKHFRQWH[WLQZKLFKLW

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 LVWUDQVPLWWHGDVGHILQHGLQWKHWDEOHVEHORZ2UGHULQJRI03'8VZLWKLQDQ$03'8LVQRWFRQVWUDLQHG
 H[FHSWZKHUHQRWHGLQWKHVHWDEOHV6HH $03'8FRQWHQWV 



 7DEOH²$03'8&RQWH[WV


 7DEOHGHILQLQJ
1DPHRI&RQWH[W 'HILQLWLRQRI&RQWH[W
 SHUPLWWHGFRQWHQWV

 7KH$03'8LVWUDQVPLWWHGRXWVLGHD3603
1RQ+('DWD 7DEOH $03'8FRQWHQWVLQWKH
 VHTXHQFHE\D7;23KROGHURUDQ5'
(QDEOHG,PPHGLDWH QRQ+(GDWDHQDEOHGLPPHGLDWHUHVSRQVH
 UHVSRQGHULQFOXGLQJSRWHQWLDOLPPHGLDWH
5HVSRQVH FRQWH[W
 UHVSRQVHV

 7KH$03'8LVWUDQVPLWWHGRXWVLGHD3603
 VHTXHQFHE\D7;23KROGHU7;23
 'DWD(QDEOHG1R UHVSRQGHUZKHQWUDQVPLWWHGE\DQ+(67$ 7DEOH $03'8FRQWHQWVLQWKH
 ,PPHGLDWH WRDQRWKHU+(67$DQGWKH$03'8WKDW GDWDHQDEOHGQRLPPHGLDWHUHVSRQVH
 5HVSRQVH GRHVQRWLQFOXGHRUVROLFLWDQLPPHGLDWH FRQWH[W
 UHVSRQVH
 6HH127(

 7KH$03'8LVWUDQVPLWWHGZLWKLQD3603 7DEOH $03'8FRQWHQWVLQWKH
 3603
VHTXHQFH 3603FRQWH[W

 7KH$03'8LVWUDQVPLWWHGE\D67$WKDWLV
 QHLWKHUD7;23KROGHUQRUDQ5'UHVSRQGHU
 RUWKH$03'8LVWUDQVPLWWHGE\DQ+($3
 LQUHVSRQVHWRDQ+(7%33'8DQGWKH
 WUDQVPLWWHUWKDWDOVRQHHGVWRWUDQVPLWRQHRI
 WKHIROORZLQJLPPHGLDWHUHVSRQVHIUDPHV
 7DEOH $03'8FRQWHQWVLQWKH
&RQWURO5HVSRQVH ² $FNIUDPH
 FRQWUROUHVSRQVHFRQWH[W
 ² %ORFN$FNIUDPHZLWKD7,'IRU
 ZKLFKDQ+7LPPHGLDWHEORFNDFN
 DJUHHPHQWH[LVWV
 ² 0XOWL67$%ORFN$FNIUDPHIRU

DFNQRZOHGJLQJPXOWL7,'$03'8


 7KH$03'8LVWUDQVPLWWHGZLWKLQD9+7
7DEOH $03'8FRQWHQWVLQWKH6
 603'8FRQWH[W 33'8RUDQ+(33'8DQGFRQWDLQVDQ6
03'8FRQWH[W
 03'8

 +(1RQ$FN 7KH$03'8LVWUDQVPLWWHGE\D7;23
7DEOHD $03'8FRQWHQWVLQWKH
 (QDEOHG6LQJOH KROGHURU7;23UHVSRQGHULQDQ+(33'8
+(QRQDFNHQDEOHGVLQJOH7,'
 7,',PPHGLDWH DQGVROLFLWVEORFNDFNQRZOHGJPHQWIRUVLQJOH
LPPHGLDWHUHVSRQVHFRQWH[W
 5HVSRQVH 7,'

 +($FN(QDEOHG
 7KH$03'8LVWUDQVPLWWHGE\D7;23 7DEOHE $03'8FRQWHQWVLQWKH
6LQJOH7,'
 KROGHURU7;23UHVSRQGHULQDQ+(33'8 +(DFNHQDEOHGVLQJOH7,'LPPHGLDWH
,PPHGLDWH
 DQGVROLFLWVVLQJOHDFNQRZOHGJPHQW UHVSRQVHFRQWH[W
5HVSRQVH

 +(1RQ$FN 7KH$03'8LVWUDQVPLWWHGE\D7;23
 7DEOHF $03'8FRQWHQWVLQWKH
(QDEOHG0XOWL7,' KROGHURU7;23UHVSRQGHULQDQ+(33'8
 +(QRQDFNHQDEOHGPXOWL7,'LPPHGLDWH
,PPHGLDWH DQGVROLFLWVEORFNDFNQRZOHGJPHQWVIRU
 UHVSRQVHFRQWH[W
5HVSRQVH PXOWLSOH7,'V






 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²$03'8&RQWH[WV


 7DEOHGHILQLQJ
1DPHRI&RQWH[W 'HILQLWLRQRI&RQWH[W
 SHUPLWWHGFRQWHQWV

 +($FN(QDEOHG 7KH$03'8LVWUDQVPLWWHGE\D7;23
 7DEOHG $03'8FRQWHQWVLQWKH
0XOWL7,' KROGHURU7;23UHVSRQGHULQDQ+(33'8
 +(DFNHQDEOHGPXOWL7,'LPPHGLDWH
,PPHGLDWH DQGVROLFLWVDWOHDVWRQHDFNQRZOHGJPHQWDQG
 UHVSRQVHFRQWH[W
5HVSRQVH ]HURRUPRUHEORFNDFNQRZOHGJPHQWV

 127(²7KLVFRQWH[WLQFOXGHVFDVHVZKHQQRUHVSRQVHLVJHQHUDWHGRUZKHQDUHVSRQVHLVJHQHUDWHGODWHUE\WKH
 RSHUDWLRQRIWKH+7GHOD\HGEORFNDFNUXOHV



 127(²,IWKHQXPEHUTXDOLILHUIRUDIUDPHVXEW\SHGRHVQRWH[LVW]HURRUPRUHIUDPHVRIWKHIUDPHVXEW\SHFDQEH
 DJJUHJDWHGLQWKH$03'8


$9+70833'8RU6*0833'8DQG+(0833'8GRHVQRWFDUU\PRUHWKDQRQH$03'8WKDWFRQ

 WDLQVRQHRUPRUH03'8VVROLFLWLQJDQLPPHGLDWHUHVSRQVHLIWKHLPPHGLDWHUHVSRQVHLVFDUULHGLQD33'8

 WKDWLVQRWDQ+(7%33'8$Q+(0833'8FDQFDUU\PRUHWKDQRQH$03'8HDFKRIZKLFKFRQWDLQV
 RQHRUPRUH03'8VVROLFLWLQJDQLPPHGLDWHUHVSRQVHLIWKHLPPHGLDWHUHVSRQVHLVFDUULHGLQDQ+(7% 
 33'8

 127(²7KH7,'VSUHVHQWLQDGDWDHQDEOHG$03'8FRQWH[WDUHDOVRFRQVWUDLQHGE\WKHFKDQQHODFFHVVUXOHV IRUD
 7;23KROGHUVHH +&)FRQWHQWLRQEDVHGFKDQQHODFFHVV ('&$ DQG +&)FRQWUROOHGFKDQQHODFFHVV
 +&&$ WKH7;23UHVSRQGHUUXOHV VHH $03'8RSHUDWLRQLQDQ+(33'8 DQG 8/08RSHUDWLRQ
 DQG WKH 5' UHVSRQVH UXOHV IRU DQ 5' UHVSRQGHU VHH  5XOHV IRU 5' UHVSRQGHU  7KLV LV QRW VKRZQ LQ WKHVH
 WDEOHV

 127(²,ID67$VXSSRUWV$06'8VRIRFWHWV LQGLFDWHGE\WKH0D[LPXP$06'8/HQJWKILHOGLQWKH+7 
 &DSDELOLWLHV HOHPHQW  $06'8V WUDQVPLWWHG E\ WKDW 67$ ZLWKLQ DQ $03'8 FDUULHG LQ D 33'8 ZLWK )250$7 
 +7B0)RU+7B*)DUHFRQVWUDLQHGVRWKDWWKHOHQJWKRIWKH4R6'DWDIUDPHFDUU\LQJWKH$06'8LVQRPRUHWKDQ
 RFWHWV7KHRFWHW03'8OHQJWKOLPLWGRHVQRWDSSO\WR$03'8VFDUULHGLQ9+7+(RU'0*33'8V7KHXVHRI

$06'8 ZLWKLQ $03'8 PLJKW EH IXUWKHU FRQVWUDLQHG DV GHVFULEHG LQ  %ORFN $FN 3DUDPHWHU 6HW ILHOG 

 WKURXJKWKHRSHUDWLRQRIWKH$06'86XSSRUWHGILHOG



























&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 Change Table 9-530 (A-MPDU contents in the non-HE data enabled immediate response context) as fol-
 lows:


7DEOH²$03'8FRQWHQWVLQWKHQRQ+(GDWDHQDEOHGLPPHGLDWHUHVSRQVHFRQWH[W


 03'8'HVFULSWLRQ &RQGLWLRQV

 $FN ,IWKHSUHFHGLQJ33'8FRQWDLQVDQ03'8
 WKDWUHTXLUHVDQ$FNIUDPHUHVSRQVHDVLQ
 JOH$FNIUDPHDWWKHVWDUWRIWKH$03'8

 +7LPPHGLDWH%ORFN$FN ,QDQRQ'0*67$LIWKHSUHFHGLQJ 2IWKHVHLQDQRQ'0*
 33'8FRQWDLQVDQLPSOLFLWRUH[SOLFLWEORFN 67$DWPRVWRQHRIWKHVH
 DFNUHTXHVWIRUD7,'IRUZKLFKDQ+7 03'8VLVSUHVHQW
 LPPHGLDWHEORFNDFNDJUHHPHQWH[LVWVDW
 PRVWRQH%ORFN$FNIUDPHIRUWKLV7,'LQ 2IWKHVHLQD'0*67$
 ZKLFKFDVHLWRFFXUVDWWKHVWDUWRIWKH$ DWPRVWRQH$FNIUDPHLV
 03'8 SUHVHQWDQG]HURRUPRUH
 +7LPPHGLDWH%ORFN$FN
 ,QD'0*67$LIWKHSUHFHGLQJ33'8 IUDPHVDUHSUHVHQW
 FRQWDLQVDQLPSOLFLWRUH[SOLFLWEORFNDFN
 UHTXHVWIRUD7,'IRUZKLFKDQ+7LPPHGL
 DWHEORFNDFNDJUHHPHQWH[LVWVRQHRUPRUH
 FRSLHVRIWKHVDPH%ORFN$FNIRUWKLV7,'

 +7GHOD\HG%ORFN$FNV %ORFN$FNIUDPHVZLWKWKH%$$FN3ROLF\VXEILHOGHTXDOWR1R$FNQRZO
 HGJPHQWZLWKD7,'IRUZKLFKDQ+7GHOD\HGEORFNDFNDJUHHPHQWH[LVWV
 +7GHOD\HGEORFNDFNGDWD 4R6'DWDIUDPHVZLWKD7,'WKDWFRUUHVSRQGVWRDQ+7GHOD\HGEORFNDFN
 DJUHHPHQW
 7KHVHKDYH%ORFN$FNDFNSROLF\

 $FWLRQ1R$FN $FWLRQ1R$FNIUDPHV

 +7GHOD\HG%ORFN$FN5HTV %ORFN$FN5HTIUDPHVZLWKD7,'WKDWFRUUHVSRQGVWRDQ+7GHOD\HGEORFN
 DFNDJUHHPHQWDQGLQZKLFKWKH%$5$FN3ROLF\VXEILHOGLVHTXDOWR1R
 $FNQRZOHGJPHQW
 'DWDIUDPHVVHQWXQGHUDQ+7 4R6'DWDIUDPHVZLWKWKHVDPH 2IWKHVHDWPRVWRQHRIWKHIROORZLQJ
 LPPHGLDWHEORFNDFNDJUHH 7,'ZKLFKFRUUHVSRQGVWRDQ LVSUHVHQWLQDQRQ'0*%66
 PHQW +7LPPHGLDWHEORFNDFNDJUHH ² 2QH RU PRUH 4R6 'DWD IUDPHV
 PHQW ZLWK,PSOLFLW%$5DFNSROLF\
 6HH127(
 ² $%ORFN$FN5HTIUDPH
 4R61XOOIUDPHVZLWKWKH1R ,QD'0*%664R61XOO
 $FNDFNSROLF\ IUDPHVZLWKWKH1R$FNDFN 2IWKHVHDWPRVWRQHRIWKHIROORZLQJ
 SROLF\ LVSUHVHQWLQD'0*%66
 ² 2QH RU PRUH 4R6 'DWD IUDPHV
,PPHGLDWH%ORFN$FN5HT $WPRVWRQH%ORFN$FN5HT
 ZLWK,PSOLFLW%$5DFNSROLF\
IUDPHZLWKD7,'WKDWFRUUH

VSRQGVWRDQ+7LPPHGLDWH ² 4R61XOOIUDPHZLWKWKH1R$FN 

EORFNDFNDJUHHPHQW DFNSROLF\

7KLVLVWKHODVW03'8LQWKH$
 ² $ %ORFN$FN5HT IUDPH ZLWK DQ 
03'8
 RSWLRQDO4R61XOOIUDPHZLWK1R 
 $FNDFNSROLF\
,WLVQRWSUHVHQWLIDQ\4R6'DWD

IUDPHVIRUWKDW7,'DUHSUHVHQW

 127(²7KHVH03'8VDOOKDYHWKHVDPHDFNSROLF\ZKLFKLVHLWKHU,PSOLFLW%$5RU%ORFN$FN









 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 Change Table 9-531 (A-MPDU contents in the data enabled no immediate response context) as follows:

 7DEOH²$03'8FRQWHQWVLQWKHGDWDHQDEOHGQRLPPHGLDWHUHVSRQVHFRQWH[W


 03'8'HVFULSWLRQ &RQGLWLRQV

 'HOD\HG%ORFN$FNV )RUDQRQ+(67$%ORFN$FNIUDPHVIRUD7,'IRUZKLFKDQ+7GHOD\HGEORFNDFN
 DJUHHPHQWH[LVWVZLWKWKH%$$FN3ROLF\VXEILHOGHTXDOWR1R$FNQRZOHGJPHQW

 'HOD\HG%ORFN$FNGDWD )RUDQRQ+(67$4R6'DWDIUDPHVZLWKD7,'WKDWFRUUHVSRQGVWRDQ+7GHOD\HG
 EORFNDFNDJUHHPHQW
 7KHVHKDYHWKH%ORFN$FNDFNSROLF\
 'DWDZLWKRXWDEORFNDFN 4R6'DWDIUDPHVZLWKD7,'WKDWGRHVQRWFRUUHVSRQGWRDEORFNDFNDJUHHPHQW
 DJUHHPHQW 7KHVHKDYH1R$FNDFNSROLF\DQGWKH$06'83UHVHQWVXEILHOGHTXDOWR

 $FWLRQ1R$FN $FWLRQ1R$FNIUDPHV

 +7GHOD\HG%ORFN$FN5HTV )RUDQRQ+(67$%ORFN$FN5HTIUDPHVZLWKWKH%$5$FN3ROLF\VXEILHOGHTXDO
 WR1R$FNQRZOHGJPHQWDQGZLWKD7,'WKDWFRUUHVSRQGVWRDQ+7GHOD\HGEORFN
 DFNDJUHHPHQW

 7ULJJHU )RUDQ+($37ULJJHUIUDPHVZKHUHWKH7ULJJHU7\SHILHOGLV%DVLF7ULJJHUIUDPH
 RU%6537ULJJHUIUDPH

 7KH7ULJJHUIUDPHVDUHWKHILUVW03'8VRIWKH$03'8XQOHVVWKH$03'8DOVR
 FDUULHVDQ$FNRU%ORFN$FNIUDPHLQZKLFKFDVHWKH7ULJJHUIUDPHVDUHLQFOXGHG
 LPPHGLDWHO\DIWHUWKH$FNRU%ORFN$FNIUDPH
 4R61XOOIUDPHZLWK1R )RUDQ+(67$4R61XOOIUDPHVZLWK1R$FNDFNSROLF\
 $FNDFNSROLF\




































&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 Change Table 9-532 (A-MPDU contents in the control response context) as follows:

 7DEOH²$03'8FRQWHQWVLQWKHFRQWUROUHVSRQVHFRQWH[W


 03'8 &RQGLWLRQV

 $FN $FNIUDPHWUDQVPLWWHGLQUHVSRQVHWRDQ
 03'8WKDWUHTXLUHVDQ$FNIUDPH
 2QHRI$FNDQGFRPSUHVVHG%ORFN
 %ORFN$FN &RPSUHVVHG%ORFN$FNIUDPHZLWKD7,'WKDW
FRUUHVSRQGVWRDQ+7LPPHGLDWHEORFNDFN $FNIUDPHLVSUHVHQWDWWKHVWDUWRIWKH
 $03'8EHWZHHQWZR67$VWKDWDUH
 DJUHHPHQW
QRWERWK+(67$VWKHVHDUHQRWSUHV
 HQWRWKHUWKDQDWWKHVWDUWRIWKH$
 0XOWL67$%ORFN$FNIUDPHLIWKHSUHFHGLQJ
33'8LVHLWKHUDQ+(7%33'8WKDWVROLFLWV 03'8

 DQLPPHGLDWHUHVSRQVH VHH
5HVSRQGLQJWRDQ+(7%33'8ZLWKDQ68 2QHRIWKHVH2QHRI$FN&RPSUHVVHG
 %ORFN$FNDQG0XOWL67$%ORFN$FN
 33'8 RULVDQ+(33'8WKDWFDUULHVD
PXOWL7,'$03'8RUDFNHQDEOHGPXOWL IUDPHLVSUHVHQWDWWKHVWDUWRIWKH$
 03'8EHWZHHQWZR+(67$VWKHVH
 7,'$03'8 VHH 0XOWL7,'$
03'8DQGDFNHQDEOHGVLQJOH7,'$ DUHQRWSUHVHQWRWKHUWKDQDWWKHVWDUW
 RIWKH$03'8
 03'8 


 $FWLRQ1R$FN ,QDQ$03'8EHWZHHQWZR67$VWKDWDUHQRWERWK+(67$V+7&$FWLRQ1R$FN
 IUDPHVFDUU\LQJD0DQDJHPHQW$FWLRQ%RG\FRQWDLQLQJDQH[SOLFLWIHHGEDFNUHVSRQVHRU
 %53IUDPH
 )ORZ&RQWURO$FWLRQ1R$FNIUDPHVFDUU\LQJDIORZVXVSHQVLRQIUDPHRUDIORZ
 UHVXPSWLRQIUDPH

 ,QDQ$03'8EHWZHHQWZR+(67$V$FWLRQ1R$FNIUDPHV

 4R61XOOIUDPHZLWK )RUDQ+(67$4R61XOOIUDPHVZLWK1R$FNDFNSROLF\
 1R$FNDFNSROLF\































 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 Insert new tables as follows:



 7DEOHD²$03'8FRQWHQWVLQWKH+(QRQDFNHQDEOHGVLQJOH7,'LPPHGLDWHUHVSRQVH

FRQWH[W


 03'8 &RQGLWLRQV

 $FN ,IWKHSUHFHGLQJ33'8FRQWDLQVDQ
 03'8WKDWUHTXLUHVDQ$FNIUDPH
 UHVSRQVHDVLQJOH$FNIUDPHDWWKH
 VWDUWRIWKH$03'8

 +7LPPHGLDWH%ORFN ,IWKHSUHFHGLQJ33'8FRQWDLQVDQ
 $FN LPSOLFLWRUH[SOLFLWEORFNDFNUHTXHVW
 IRUD7,'IRUZKLFKDQ+7LPPHGLDWH $WPRVWRQHQRQ(2)03'8WKDWLV$FN
 EORFNDFNDJUHHPHQWH[LVWVDWPRVW &RPSUHVVHG%ORFN$FNRU0XOWL67$%ORFN
 RQH&RPSUHVVHG%ORFN$FNIUDPHIRU $FNIUDPHLVSUHVHQW
 WKLV7,'DWWKHVWDUWRIWKH$03'8

 ,IWKHSUHFHGLQJ33'8FRQWDLQV
 H[SOLFLWEORFNDFNUHTXHVWVIRUPXOWL
 SOH7,'VRUDPXOWL7,'$03'8DW
 PRVWRQH0XOWL67$%ORFN$FNIUDPH
 DWWKHVWDUWRIWKH$03'8

 $FWLRQ1R$FN 1RQ(2)03'8VWKDWDUH$FWLRQ1R$FNIUDPHV
 4R61XOOIUDPHZLWK QRQ(2)03'8VWKDWDUH4R61XOOIUDPHVZLWK$FN3ROLF\VXEILHOGVHWWR1R$FN
 $FN3ROLF\VXEILHOGVHW
 WR1R$FN




































&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOHD²$03'8FRQWHQWVLQWKH+(QRQDFNHQDEOHGVLQJOH7,'LPPHGLDWHUHVSRQVH
 FRQWH[W(continued)


 03'8 &RQGLWLRQV

 'DWDIUDPHVVHQWXQGHU 2QHRUPRUH4R6'DWDIUDPHVZLWK 2QHRIWKHIROORZLQJLVSUHVHQW
 DQ+7LPPHGLDWHEORFN WKHVDPH7,'ZKLFKFRUUHVSRQGVWR ² 2QH RU PRUH 1RQ(2) 03'8V HDFK 
 DFNDJUHHPHQW DQ+7LPPHGLDWHEORFNDFNDJUHH RI ZKLFK LV D 4R6 'DWD IUDPH ZLWK 
 PHQW ,PSOLFLW%$5+73$FNRU%ORFN$FN 

 DFN SROLF\ DQG EHORQJLQJ WR D EORFN
6HH127(
 DFNDJUHHPHQW]HURRUPRUHQRQ(2) 
 03'8VHDFKRIZKLFKLVD%DVLF7ULJ
 JHU %653 7ULJJHU RU %453 7ULJJHU
 IUDPH
&RPSUHVVHG%ORFN$FN $WPRVWRQH%ORFN$FN5HTIUDPH
 ² 2QH QRQ(2) 03'8 WKDW LV %ORFN
5HT ZLWKD7,'WKDWFRUUHVSRQGVWRDQ+7
 $FN5HTIUDPH]HURRUPRUHQRQ(2) 
LPPHGLDWHEORFNDFNDJUHHPHQW

03'8V HDFK RI ZKLFK LV D 4R6 1XOO

7KLVIUDPHLVWKHODVW03'8LQWKH$ IUDPHZLWK1R$FNDFNSROLF\

03'8 ² 2QHRUPRUHQRQ(2)03'8VHDFKRI

 ZKLFK LV D %DVLF 7ULJJHU 08%$5 
%ORFN$FN5HTLVQRWSUHVHQWLIDQ\
 7ULJJHU%4537ULJJHURU%6537ULJ
4R6'DWDIUDPHVDUHSUHVHQW
 JHU IUDPH 7KH 08%$5 7ULJJHU
 7ULJJHU 7ULJJHUIUDPHVZKHUHWKH7ULJJHU IUDPH VROLFLWV EORFN DFNQRZOHGJPHQW
 7\SHILHOGLV%DVLF7ULJJHU08%$5 IRURQH7,'
 7ULJJHU%4537ULJJHURU%6537ULJ
 JHU

 08%$57ULJJHUIUDPHLVQRWSUHVHQW
 LIDQ\4R6'DWDIUDPHVDUHSUHVHQW

 7KH7ULJJHUIUDPHVDUHWKHILUVW
 03'8VRIWKH$03'8XQOHVVWKH
 $03'8DOVRFDUULHVDQ$FNRU
 %ORFN$FNIUDPHLQZKLFKFDVHWKH
 7ULJJHUIUDPHVDUHLQFOXGHGLPPHGL
 DWHO\DIWHUWKH$FNRU%ORFN$FN
 IUDPH

 6HH127(DQG127(

 127(²03'8VIURPWKHVDPH7,'DOOKDYHWKHVDPHDFNSROLF\ZKLFKLV,PSOLFLW%$5+73$FNRU%ORFN$FN

127(²2QO\DQ+($3LVDOORZHGWRLQFOXGHD7ULJJHUIUDPHLQWKH$03'87KHSUHVHQFHRIPRUHWKDQRQH

FRS\RID7ULJJHUIUDPHLQDQ$03'8PLJKWLQFUHDVHWKHSUREDELOLW\RIWKHVXFFHVVIXOUHFHSWLRQRIWKH7ULJJHU

IUDPH7KHFRQWHQWRIDOO7ULJJHUIUDPHVLQWKH$03'8LVWKHVDPH

 127(±7KH%653DQG%4537ULJJHUIUDPHVFDQEHDJJUHJDWHGZLWKRWKHU03'8VLQWKH$03'8LIWKHUHFHLYHU
 KDVLQGLFDWHGWKHVXSSRUWRIUHFHLYLQJWKHVHWULJJHUW\SHVLQWKH%653%453$03'8$JJUHJDWLRQILHOGRIWKH+(

 &DSDELOLWLHVHOHPHQW















 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOHE²$03'8FRQWHQWVLQWKH+(DFNHQDEOHGVLQJOH7,'LPPHGLDWHUHVSRQVH
 FRQWH[W


 03'8 &RQGLWLRQV

 $FN ,IWKHSUHFHGLQJ33'8FRQWDLQVDQ
 03'8WKDWUHTXLUHVDQ$FNIUDPH
 UHVSRQVHDVLQJOH$FNIUDPHDWWKH
 VWDUWRIWKH$03'8

 +7LPPHGLDWH%ORFN ,IWKHSUHFHGLQJ33'8FRQWDLQVDQ
 $FN LPSOLFLWRUH[SOLFLWEORFNDFNUHTXHVW
 IRUD7,'IRUZKLFKDQ+7LPPHGLDWH $WPRVWRQHQRQ(2)03'8WKDWLVDQ$FN
 EORFNDFNDJUHHPHQWH[LVWVDWPRVW &RPSUHVVHG%ORFN$FNRU0XOWL67$%ORFN
 RQH&RPSUHVVHG%ORFN$FNIUDPHIRU $FNIUDPHLVSUHVHQW
 WKLV7,'DWWKHVWDUWRIWKH$03'8

 ,IWKHSUHFHGLQJ33'8FRQWDLQV
 H[SOLFLWEORFNDFNUHTXHVWVIRUPXOWL
 SOH7,'VRUDPXOWL7,'$03'8DW
 PRVWRQH0XOWL67$%ORFN$FNIUDPH
 DWWKHVWDUWRIWKH$03'8
 $FWLRQ1R$FN 1RQ(2)03'8VWKDWDUH$FWLRQ1R$FNIUDPHV

 'DWDIUDPHVQRWVHQW $WPRVWRQH'DWDIUDPHZLWKD7,' 2QH(2)03'8WKDWLVHLWKHUD4R6'DWD
 XQGHUDQ+7LPPHGLDWH WKDWGRHVQRWFRUUHVSRQGWRDQ+7 IUDPHZLWK1RUPDO$FNRU+73$FNDFNSRO
 EORFNDFNDJUHHPHQW LPPHGLDWHEORFNDFNDJUHHPHQWDQG LF\RUD0DQDJHPHQWIUDPHWKDWVROLFLWVDQ
 DFNSROLF\1RUPDO$FNRU+73$FN LPPHGLDWHUHVSRQVHRQHRUPRUHQRQ(2)
 03'8VHDFKRIZKLFKLVD4R61XOOIUDPH
 'DWDIUDPHVVHQWXQGHU $WPRVWRQH4R6'DWDIUDPHZLWKD ZLWK1R$FNDFNSROLF\RUD7ULJJHUIUDPH
 DQ+7LPPHGLDWHEORFN 7,'WKDWFRUUHVSRQGVWRDQ+7LPPH 7KH7ULJJHUIUDPHLVD%DVLF7ULJJHU%653
 DFNDJUHHPHQW GLDWHEORFNDFNDJUHHPHQW 7ULJJHURU%4537ULJJHUIUDPH

4R61XOOIUDPHZLWK 4R61XOOIUDPHVZLWK1R$FNDFN

1R$FNDFNSROLF\ SROLF\

 0DQDJHPHQWIUDPH $WPRVWRQH0DQDJHPHQWIUDPHWKDW
 VROLFLWVDQDFNQRZOHGJPHQW

 7ULJJHU %DVLF7ULJJHU%4537ULJJHURU
 %6537ULJJHUIUDPHV

 7KH7ULJJHUIUDPHVDUHWKHILUVW
 03'8VRIWKH$03'8XQOHVVWKH
 $03'8DOVRFDUULHVDQ$FNRU
 %ORFN$FNIUDPHLQZKLFKFDVHWKH
 7ULJJHUIUDPHVDUHLQFOXGHGLPPHGL
 DWHO\DIWHUWKH$FNRU%ORFN$FN
 IUDPH

 6HH127(

 127(²2QO\DQ+($3LVDOORZHGWRLQFOXGHD7ULJJHUIUDPHLQWKH$03'80XOWLSOH7ULJJHUIUDPHVLQRQH$
 03'8LQFUHDVHVUREXVWQHVV7KHFRQWHQWRIDOO7ULJJHUIUDPHVLQWKH$03'8LVWKHVDPH
 127(²7KH%6537ULJJHUDQG%4537ULJJHUIUDPHVFDQEHDJJUHJDWHGZLWKRWKHU03'8VLQWKH$03'8LI
 WKHUHFHLYHUKDVLQGLFDWHGWKHVXSSRUWRIUHFHLYLQJWKHVH7ULJJHUIUDPHW\SHVLQWKH%653%453$03'8$JJUHJD
 WLRQILHOGRIWKH+(&DSDELOLWLHVHOHPHQW

 127(²7KHVLQJOH0DQDJHPHQWIUDPHWKDWVROLFLWVWKHDFNQRZOHGJPHQWLQDFNHQDEOHGVLQJOH7,'$03'8LV
 WUHDWHGDVVLQJOH7,'IUDPHHJVROLFLWLQJ$FNRI7,'LQPXOWL67$%ORFN$FNIUDPH






&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOHF²$03'8FRQWHQWVLQWKH+(QRQDFNHQDEOHGPXOWL7,'LPPHGLDWHUHVSRQVH
 FRQWH[W


 03'8 &RQGLWLRQV

 $FN ,IWKHSUHFHGLQJ33'8FRQWDLQVDQ
 03'8WKDWUHTXLUHVDQ$FNIUDPH
 UHVSRQVHDVLQJOH$FNIUDPHDWWKH
 VWDUWRIWKH$03'8

 +7LPPHGLDWH%ORFN ,IWKHSUHFHGLQJ33'8FRQWDLQVDQ
 $FN LPSOLFLWRUH[SOLFLWEORFNDFNUHTXHVW
 IRUD7,'IRUZKLFKDQ+7LPPHGLDWH $WPRVWRQHQRQ(2)03'8WKDWLVDQ$FN
 EORFNDFNDJUHHPHQWH[LVWVDWPRVW &RPSUHVVHG%ORFN$FNRU0XOWL67$%ORFN
 RQH&RPSUHVVHG%ORFN$FNIUDPHIRU $FNIUDPHLVSUHVHQW
 WKLV7,'DWWKHVWDUWRIWKH$03'8

 ,IWKHSUHFHGLQJ33'8FRQWDLQV
 H[SOLFLWEORFNDFNUHTXHVWVIRUPXOWL
 SOH7,'VRUDPXOWL7,'$03'8DW
 PRVWRQH0XOWL67$%ORFN$FNIUDPH
 DWWKHVWDUWRIWKH$03'8
 $FWLRQ1R$FN 1RQ(2)03'8VWKDWDUH$FWLRQ1R$FNIUDPHV

 4R61XOOIUDPHZLWK QRQ(2)03'8VWKDWDUH4R61XOOIUDPHVZLWK$FN3ROLF\VXEILHOGVHWWR1R$FN
 $FN3ROLF\VXEILHOGVHW
 WR1R$FN






































 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOHF²$03'8FRQWHQWVLQWKH+(QRQDFNHQDEOHGPXOWL7,'LPPHGLDWHUHVSRQVH
 FRQWH[W(continued)


 03'8 &RQGLWLRQV

 'DWDIUDPHVVHQWXQGHU 4R6'DWDIUDPHVZLWKGLIIHUHQW7,'V 2QHRIWKHIROORZLQJLVSUHVHQW
 DQ+7LPPHGLDWHEORFN HDFKRIZKLFKFRUUHVSRQGVWRDQ+7 ² 7ZR RU PRUH QRQ(2) 03'8V WKDW
 DFNDJUHHPHQW LPPHGLDWHEORFNDFNDJUHHPHQW DUH 4R6 'DWD IUDPHV WKDW EHORQJ WR


WZRRUPRUHEORFNDFNDJUHHPHQWVDQG 
 6HH127(
 ZLWK ,PSOLFLW %$5 +73 $FN RU
 %ORFN $FN DFN SROLF\ ]HUR RU PRUH
 QRQ(2) 03'8V HDFK RI ZKLFK LV D
 7ULJJHUIUDPH7KH7ULJJHUIUDPHLVD
,PPHGLDWH%ORFN$FN $WPRVWRQHPXOWL7,'%ORFN$FN %DVLF 7ULJJHU %653 7ULJJHU RU

5HT 5HTIUDPHZLWK7,'VWKDWFRUUHVSRQG
 %4537ULJJHUIUDPH
WR+7LPPHGLDWHEORFNDFNDJUHH
 ² 2QH QRQ(2) 03'8 WKDW LV D 0XOWL
PHQWV

7,'%ORFN$FN5HTIUDPH

7KLVIUDPHLVWKHODVW03'8LQWKH$ ² 2QHRUPRUHQRQ(2)03'8VHDFKRI

03'8 ZKLFK LV DQ 08%$5 7ULJJHU IUDPH

 WKDWVROLFLWVEORFNDFNQRZOHGJPHQWIRU
0XOWL7,'%ORFN$FN5HTIUDPHLVQRW
 PRUHWKDQRQH7,'
SUHVHQWLIDQ\4R6'DWDIUDPHVDUH

SUHVHQW

 7ULJJHU %DVLF7ULJJHU08%$57ULJJHU
 %4537ULJJHURU%6537ULJJHU
 IUDPHV

 08%$57ULJJHUIUDPHLVQRWSUHVHQW
 LIDQ\4R6'DWDIUDPHVDUHSUHVHQW

 7KH7ULJJHUIUDPHVDUHWKHILUVW
 03'8VRIWKH$03'8XQOHVVWKH
 $03'8DOVRFDUULHVDQ$FNRU
 %ORFN$FNIUDPHLQZKLFKFDVHWKH
 7ULJJHUIUDPHVDUHLQFOXGHGLPPHGL
 DWHO\DIWHUWKH$FNRU%ORFN$FN
 IUDPH

 6HH127(DQG127(

 127(²03'8VIURPWKHVDPH7,'DOOKDYHWKHVDPHDFNSROLF\ZKLFKLV,PSOLFLW%$5+73$FNRU%ORFN$FN

127(²2QO\DQ+($3LVDOORZHGWRLQFOXGHD7ULJJHUIUDPHLQWKH$03'80XOWLSOH7ULJJHUIUDPHVLQRQH$

03'8LQFUHDVHVWKHUREXVWQHVV7KHFRQWHQWRIDOO7ULJJHUIUDPHVLQWKH$03'8LVWKHVDPH

 127(²7KH%6537ULJJHUDQG%4537ULJJHUIUDPHVFDQEHDJJUHJDWHGZLWKRWKHU03'8VLQWKH$03'8LI
 WKHUHFHLYHUKDVLQGLFDWHGWKHVXSSRUWRIUHFHLYLQJWKHVHWULJJHUW\SHVLQWKH%653%453$03'8$JJUHJDWLRQ

 ILHOGRIWKH+(&DSDELOLWLHVHOHPHQW
















&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOHG²$03'8FRQWHQWVLQWKH+(DFNHQDEOHGPXOWL7,'LPPHGLDWHUHVSRQVH
 FRQWH[W


 03'8 &RQGLWLRQV

 $FN ,IWKHSUHFHGLQJ33'8FRQWDLQVDQ
 03'8WKDWUHTXLUHVDQ$FNIUDPH
 UHVSRQVHDVLQJOH$FNIUDPHDWWKH
 VWDUWRIWKH$03'8

 +7LPPHGLDWH%ORFN ,IWKHSUHFHGLQJ33'8FRQWDLQVDQ
 $FN LPSOLFLWRUH[SOLFLWEORFNDFNUHTXHVW
 IRUD7,'IRUZKLFKDQ+7LPPHGLDWH $WPRVWRQHQRQ(2)03'8WKDWLVDQ$FN
 EORFNDFNDJUHHPHQWH[LVWVDWPRVW &RPSUHVVHG%ORFN$FNRU0XOWL67$%ORFN
 RQH&RPSUHVVHG%ORFN$FNIUDPHIRU $FNIUDPHLVSUHVHQW
 WKLV7,'DWWKHVWDUWRIWKH$03'8

 ,IWKHSUHFHGLQJ33'8FRQWDLQV
 H[SOLFLWEORFNDFNUHTXHVWVIRUPXOWL
 SOH7,'VRUDPXOWL7,'$03'8DW
 PRVWRQH0XOWL67$%ORFN$FNIUDPH
 DWWKHVWDUWRIWKH$03'8
 $FWLRQ1R$FN 1RQ(2)03'8VWKDWDUH$FWLRQ1R$FNIUDPHV

 4R61XOOIUDPHZLWK QRQ(2)03'8VWKDWDUH4R61XOOIUDPHVZLWK$FN3ROLF\VXEILHOGVHWWR1R$FN
 $FN3ROLF\VXEILHOGVHW
 WR1R$FN






































 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOHG²$03'8FRQWHQWVLQWKH+(DFNHQDEOHGPXOWL7,'LPPHGLDWHUHVSRQVHFRQ
 WH[W(continued)


 03'8 &RQGLWLRQV

 'DWDIUDPHVZLWKRXWDQ 2QHRUPRUH4R6'DWDIUDPHVZLWK 2QHRIWKHIROORZLQJLVSUHVHQW
 +7LPPHGLDWHEORFN HDFKZLWKGLIIHUHQW7,'VZKHUHQRQH ² (2)03'8VHDFKRIZKLFKLVD4R6 
 DFNDJUHHPHQW RIWKH7,'KDYH+7LPPHGLDWHEORFN 'DWD IUDPH ZLWK 1RUPDO $FN RU +73 
 DFNDJUHHPHQW $FNDFNSROLF\DQGZKHUHWKH7,'VRI

 WKH 4R6 'DWD IUDPHV GLIIHU LI WKHUH LV
6HH127(
 PRUHWKDQRQH]HURRUPRUHQRQ(2) 
 'DWDIUDPHVVHQWXQGHU 2QHRIWKHIROORZLQJ 03'8VHDFKRIZKLFKLVD%DVLF7ULJ
 DQ+7LPPHGLDWHEORFN ² 2QH RU PRUH 4R6 'DWD JHU %653 7ULJJHU RU %453 7ULJJHU
 DFNDJUHHPHQW IUDPHVZLWKD7,'WKDWFRUUH IUDPH
 VSRQGLQJ WR DQ +7LPPHGL ² =HUR RU PRUH QRQ(2) 03'8V HDFK 
 DWHEORFNDFNDJUHHPHQW RI ZKLFK LV D 4R6 'DWD IUDPH ZLWK 

² 4R6 'DWD IUDPHV ZLWK 7,'V ,PSOLFLW%$5+73$FNRU%ORFN$FN 

 WKDW FRUUHVSRQG WR WZR RU DFN SROLF\ DQG EHORQJLQJ WR D EORFN 
 PRUH +7LPPHGLDWH EORFN DFN DJUHHPHQW RQH RU PRUH (2) 
 DFNDJUHHPHQWV 03'8VHDFKRIZKLFKLVD4R6'DWD
 6HH127( IUDPH ZLWK 1RUPDO $FN RU +73 $FN 
 DFN SROLF\ DQG ZKHUH WKH 7,'V RI WKH
 0DQDJHPHQW $WPRVWRQH0DQDJHPHQWIUDPHWKDW 4R6'DWDIUDPHVGLIIHULIWKHUHLVPRUH
 VROLFLWVDQDFNQRZOHGJPHQW WKDQ RQH DQ (2) 03'8 WKDW LV D
 0DQDJHPHQWIUDPH]HURRUPRUHQRQ
 7ULJJHU 2QHRUPRUH%DVLF7ULJJHU%453
7ULJJHURU%6537ULJJHUIUDPHV (2)03'8VHDFKRIZKLFKLVD%DVLF

7ULJJHU%6537ULJJHURU%4537ULJ

 7KH7ULJJHUIUDPHVDUHWKHILUVW JHUIUDPH
 03'8VRIWKH$03'8XQOHVVWKH ² =HUR RU PRUH QRQ(2) 03'8V HDFK 
 $03'8DOVRFDUULHVDQ$FNRU RI ZKLFK LV D 4R6 'DWD IUDPH ZLWK 
 %ORFN$FNIUDPHLQZKLFKFDVHWKH
,PSOLFLW%$5+73$FNRU%ORFN$FN 
 7ULJJHUIUDPHVDUHLQFOXGHGLPPHGL
DWHO\DIWHUWKH$FNRU%ORFN$FN DFN SROLF\ DQG EHORQJLQJ WR D EORFN 
 DFNDJUHHPHQWDQGWZRRUPRUH(2) 
 IUDPH
03'8VHDFKRIZKLFKLVD4R6'DWD

6HH127(DQG127( IUDPH ZLWK 1RUPDO $FN RU +73 $FN 

 DFN SROLF\ DQG ZKHUH WKH 7,'V RI WKH
 4R6'DWDIUDPHVGLIIHULIWKHUHLVPRUH
 WKDQ RQH ]HUR RU PRUH QRQ(2) 
 03'8VHDFKRIZKLFKLVD%DVLF7ULJ
 JHU %653 7ULJJHU RU %453 7ULJJHU
 IUDPH

 127(²03'8VZLWKWKHVDPH7,'DOOKDYHWKHVDPHDFNSROLF\ZKLFKLV,PSOLFLW%$5+73$FNRU%ORFN$FN
 127(²2QO\DQ+($3LVDOORZHGWRLQFOXGHD7ULJJHUIUDPHLQWKH$03'80XOWLSOH7ULJJHUIUDPHVLQRQH$
 03'8LQFUHDVHVWKHUREXVWQHVV7KHFRQWHQWRIDOO7ULJJHUIUDPHVLQWKH$03'8LVWKHVDPH

 127(²7KH%6537ULJJHUDQG%4537ULJJHUIUDPHVFDQEHDJJUHJDWHGZLWKRWKHU03'8VLQWKH$03'8LI
 WKHUHFHLYHUKDVLQGLFDWHGWKHVXSSRUWRIUHFHLYLQJWKHVHWULJJHUW\SHVLQWKH%653%453$03'8$JJUHJDWLRQ

 ILHOGRIWKH+(&DSDELOLWLHVHOHPHQW












&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU



































































 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 0$&VXEOD\HUIXQFWLRQDOGHVFULSWLRQ


 ,QWURGXFWLRQ


 Change as follows:

 7KH0$&IXQFWLRQDOGHVFULSWLRQLVSUHVHQWHGLQWKLVFODXVH7KHDUFKLWHFWXUHRIWKH0$&VXEOD\HULQFOXGLQJ 


WKHGLVWULEXWHGFRRUGLQDWLRQIXQFWLRQ '&) WKHK\EULGFRRUGLQDWLRQIXQFWLRQ +&) WKHPHVKFRRUGLQDWLRQ 
 IXQFWLRQ 0&) WKHWULJJHUHG8/DFFHVV 78$ DQGWKHLUFRH[LVWHQFHLQDQ,(((/$1DUHLQWUR
 GXFHGLQ 0$&DUFKLWHFWXUH 7KHVHIXQFWLRQVDUHH[SDQGHGRQLQ '&)  +&) DQG 
 0HVKFRRUGLQDWLRQIXQFWLRQ 0&) DQG +(FKDQQHODFFHVV )UDJPHQWDWLRQDQGGHIUDJPHQWDWLRQDUH
 GHILQHG LQ  06'8 $06'8 DQG 003'8 IUDJPHQWDWLRQ  DQG  06'8 $06'8 DQG


003'8GHIUDJPHQWDWLRQ 0XOWLUDWHVXSSRUWLVDGGUHVVHGLQ 0XOWLUDWHVXSSRUW $QXPEHURIDGGL
 WLRQDO UHVWULFWLRQV WR OLPLW WKH FDVHV LQ ZKLFK 06'8V DUH UHRUGHUHG RU GLVFDUGHG DUH GHVFULEHG LQ 

 06'8 WUDQVPLVVLRQ UHVWULFWLRQV  2SHUDWLRQ DFURVV UHJXODWRU\ GRPDLQV LV GHILQHG LQ  2SHUDWLRQ 
 DFURVVUHJXODWRU\GRPDLQV 7KHEORFNDFNPHFKDQLVPLVGHVFULEHGLQ %ORFNDFNQRZOHGJPHQW EORFN
 DFN 7KH1R$FNPHFKDQLVPLVGHVFULEHGLQ 1R$FNQRZOHGJPHQW 1R$FN 7KHSURWHFWLRQPHFK


DQLVPLVGHVFULEHGLQ 3URWHFWLRQPHFKDQLVPV 5XOHVIRUSURFHVVLQJ0$&IUDPHVDUHGHVFULEHGLQ 
  0$&IUDPHSURFHVVLQJ 


 0$&DUFKLWHFWXUH

 *HQHUDO


 Replace Figure 10-1 (Non-DMG non-CMMG non-S1G STA MAC architecture) with the following:


 5HTXLUHGIRU
 5HTXLUHGIRU 3ULRULWL]HG4R6 5HTXLUHGIRU
3DUDPHWHUL]HG
 4R66HUYLFHV
6HUYLFHV &RQWUROOHG0HVK
 6HUYLFHV
5HTXLUHGIRU
 7ULJJHUHG8SOLQN



$FFHVV
 0HVK&RRUGLQDWLRQ)XQFWLRQ 0&)
8VHGIRU&RQWHQWLRQ



6HUYLFHVEDVLVIRU3&)
 +\EULG&RRUGLQDWLRQ)XQFWLRQ +&) +&)DQG0&)


 +&)
+&) 0&) 7ULJJHUHG
&RQWHQ
 &RQWUROOHG
WLRQ
&RQWUROOHG 8SOLQN
 0$& $FFHVV $FFHVV $FFHVV
$FFHVV
H[WHQW +&&$ 0&&$ 78$
 ('&$


 'LVWULEXWHG&RRUGLQDWLRQ)XQFWLRQ '&)


 '6662)'0+5'666(53+79+779+7RU+(3+<


 )LJXUH²1RQ'0*QRQ&00*QRQ6*67$0$&DUFKLWHFWXUH


 Change the 2nd paragraph as follows:

 ,QDQRQ'0*QRQ&00*QRQ6*67$

 ² 7KH0$&SURYLGHVWKH+&)DQG0&)DQG78$VHUYLFHVXVLQJWKHVHUYLFHVRIWKH'&)

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ² 7KH+&)LVSUHVHQWLQ4R667$VDQGDEVHQWRWKHUZLVH

 ² 7KH0&)LVSUHVHQWLQPHVK67$VDQGDEVHQWRWKHUZLVH
 ² 7KH78$LVSUHVHQWLQQRQ$3+(67$VDQGDEVHQWRWKHUZLVH


 +\EULGFRRUGLQDWLRQIXQFWLRQ +&)

 +&)FRQWHQWLRQEDVHGFKDQQHODFFHVV ('&$


 Change the 2nd paragraph as follows:

 )RU HDFK $& DQ HQKDQFHG YDULDQW RI WKH '&) FDOOHG DQ enhanced distributed channel access function
 EDCAF FRQWHQGVIRU7;23VXVLQJDVHWRI('&$SDUDPHWHUV:KHQFRPPXQLFDWLQJ'DWDIUDPHVRXWVLGH
 WKHFRQWH[WRID%66 GRW2&%$FWLYDWHGLVWUXH WKH('&$SDUDPHWHUVDUHWKHFRUUHVSRQGLQJGHIDXOWYDO

 XHVRUDUHDVVHWE\WKH60(LQGRW('&$7DEOH H[FHSWIRU7;23OLPLWVZKLFKVKDOOEHVHWWRIRUHDFK 
 $& :KHQFRPPXQLFDWLQJZLWKLQDQRQPHVK4R6%66WKH('&$SDUDPHWHUVXVHGDUHIURPWKH('&$ 
 3DUDPHWHU6HWHOHPHQWRU IRUDQRQ$367$SULRUWRDVVRFLDWLRQLQDQLQIUDVWUXFWXUH%66DPHVK67$RUD
 67$WKDWRSHUDWHV2&% IURPWKHGHIDXOWYDOXHVIRUWKHSDUDPHWHUVZKHQQR('&$3DUDPHWHU6HWHOHPHQW
 LVUHFHLYHGIURPWKH$3RIWKH%66ZLWKZKLFKWKH67$LVDVVRFLDWHGRUZKHQWKH67$LVDPHVK67$7KH

 SDUDPHWHUVXVHGE\WKH('&$)WRFRQWUROLWVRSHUDWLRQDUHGHILQHGE\GRW4$3('&$7DEOHDWWKH$3DQG
 E\GRW('&$7DEOHDWWKHQRQ$367$

 Change the 4th paragraph as follows:


 7KH4R6$3VKDOODQQRXQFHWKH('&$SDUDPHWHUVLQVHOHFWHG%HDFRQIUDPHVDQGLQDOO3UREH5HVSRQVHDQG
 5H $VVRFLDWLRQ5HVSRQVHIUDPHVE\WKHLQFOXVLRQRIWKH('&$3DUDPHWHU6HWHOHPHQWXVLQJWKHLQIRUPD
 WLRQIURPWKH0,%HQWULHVLQGRW(&'$7DEOHGRW('&$7DEOH,IQRVXFKHOHPHQWLVKDVEHHQUHFHLYHG
 HJSULRUWRDVVRFLDWLRQLQDQLQIUDVWUXFWXUH%66 DQRQ$34R667$VKDOOXVHWKHGHIDXOWYDOXHVIRUWKH


SDUDPHWHUV7KHILHOGVIROORZLQJWKH4R6,QIRILHOGLQWKH('&$3DUDPHWHU6HWHOHPHQWVKDOOEHLQFOXGHGLQ 
 DOO%HDFRQIUDPHVRFFXUULQJZLWKLQWZR RSWLRQDOO\PRUH GHOLYHU\WUDIILFLQGLFDWLRQPDS '7,0 SHULRGV
 IROORZLQJDFKDQJHLQ$&SDUDPHWHUVZKLFKSURYLGHVDOO67$VDQRSSRUWXQLW\WRUHFHLYHWKHXSGDWHG('&$ 
 SDUDPHWHUV,IDQ\DVVRFLDWHG67$VDUHLQ:10VOHHSPRGHRUXVLQJ)06WKHVHILHOGVVKRXOGEHLQFOXGHG
 E\WKH$3IRUDVPDQ\'7,0SHULRGVDVQHHGHGWRH[FHHGWKHORQJHVWLQWHUYDODQ\67$LVH[SHFWHGWRQRW


UHFHLYH%HDFRQIUDPHV

 $Q +( $3 FDQ DGGLWLRQDOO\ SURYLGH 08 ('&$ SDUDPHWHUV IRU QRQ$3 +( 67$V DV GHILQHG LQ 
 ('&$RSHUDWLRQXVLQJ08('&$SDUDPHWHUV 


 Change the 13th paragraph as follows:

 %ORFN$FN5HTDQG%ORFN$FNIUDPHVVKDOOEHVHQWXVLQJWKHVDPHDFFHVVFDWHJRU\IRUPHGLXPDFFHVVDVWKH
 FRUUHVSRQGLQJ 4R6 'DWD IUDPHV ,I DQ +( 67$ WUDQVPLWV D %ORFN$FN5HT 0XOWL7,' %ORFN$FN5HT RU

0XOWL67$ %ORFN$FN IUDPH WKHQ IXUWKHU FRQVWUDLQWV GHILQHG LQ  +( DFNQRZOHGJPHQW SURFHGXUH 

 DSSO\

 Insert a new subclause as follows after 10.2.4:


 D7ULJJHUHGXSOLQNDFFHVV 78$

 $QRQ$3+(67$DOVRLPSOHPHQWVWULJJHUEDVHG8/DFFHVVPHWKRGV7ULJJHUHG8/DFFHVV 78$ LVXVHG 
 ZKHQDQ+($3WULJJHUVRQHRUPRUH QRQ$3+(67$VWRWUDQVPLW+(7%33'8VVLPXOWDQHRXVO\7KH

RSWLRQDO825$DGGLWLRQDOO\DOORZVDQRQ$3+(67$WRDFFHVVRQHRIDQXPEHURIUHVRXUFHXQLWVGHVLJ

 QDWHGIRUUDQGRPDFFHVVE\WKH+($36HH 8/08RSHUDWLRQ DQG 8/2)'0$EDVHGUDQ
 GRPDFFHVV 825$ 

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 Change the title and first paragraph of 10.2.5 as follows:




 &RPELQHGXVHRI'&)DQG+&)DQG78$

 7KH'&)DQGWKHK\EULGFRRUGLQDWLRQIXQFWLRQDQG78$DUHGHILQHGVRWKH\PD\RSHUDWHZLWKLQWKHVDPH
 %667KH+&)DFFHVVPHWKRGV FRQWUROOHGDQGFRQWHQWLRQEDVHG RSHUDWHVHTXHQWLDOO\6HTXHQWLDORSHUDWLRQ 

 DOORZVWKHSROOHGDQGFRQWHQWLRQEDVHGDFFHVVPHWKRGVWRDOWHUQDWHZLWKLQLQWHUYDOVDVVKRUWDVWKHWLPHWR

 WUDQVPLWDIUDPHH[FKDQJHVHTXHQFHXQGHUUXOHVGHILQHGLQ +&) 


 '&)


 *HQHUDO

 Change the 6th paragraph as follows:


 7KHYLUWXDO&6PHFKDQLVPLVDFKLHYHGE\GLVWULEXWLQJUHVHUYDWLRQLQIRUPDWLRQDQQRXQFLQJWKHLPSHQGLQJ 
 XVHRIWKHPHGLXP7KHH[FKDQJHRI576DQG&76IUDPHVSULRUWRWKHDFWXDO'DWDIUDPHLVRQHPHDQVRIGLV
 WULEXWLRQRIWKLVPHGLXPUHVHUYDWLRQLQIRUPDWLRQ7KH576DQG&76IUDPHVFRQWDLQD'XUDWLRQILHOGWKDW
 GHILQHVWKHSHULRGRIWLPHWKDWWKHPHGLXPLVWREHUHVHUYHGWRWUDQVPLWWKHDFWXDO'DWDIUDPHDQGWKHUHWXUQ
 LQJ$FNIUDPH$67$UHFHLYLQJHLWKHUWKH576IUDPH VHQWE\WKHRULJLQDWLQJ67$ RUWKH&76IUDPH VHQW

 E\WKHGHVWLQDWLRQ67$ VKDOOSURFHVVWKHPHGLXPUHVHUYDWLRQ7KXVD67$PLJKWEHXQDEOHWRUHFHLYHIURP 
 WKHRULJLQDWLQJ67$DQG\HWVWLOONQRZDERXWWKHLPSHQGLQJXVHRIWKHPHGLXPWRWUDQVPLWD'DWDIUDPH7KH
 H[FKDQJHRIDQ085767ULJJHUIUDPHDQGVLPXOWDQHRXV&76IUDPHUHVSRQVHVE\+(67$VSULRUWRWKH
 DFWXDO'DWDIUDPHVLVDQRWKHUPHDQVRIGLVWULEXWLRQRIWKLVPHGLXPUHVHUYDWLRQLQIRUPDWLRQ


 Change the 11th paragraph as follows:

 7KH XVH RI WKH 576&76 PHFKDQLVP XQGHU FRQWURO RI GRW5767KUHVKROG LI GRW7;23'XUDWLRQ576


7KUHVKROG LV  RU LV QRW SUHVHQW LV GHVFULEHG LQ  ,QGLYLGXDOO\ DGGUHVVHG 03'8 WUDQVIHU SURFH
 GXUH 

 7KHXVHRIWKH576&76PHFKDQLVPLVXQGHUFRQWURORIGRW7;23'XUDWLRQ5767KUHVKROGLIGRW7;23

'XUDWLRQ5767KUHVKROGLVSUHVHQWDQGLVQRW,IWKLVPHFKDQLVPLVHQDEOHGDQRQ$3+(67$VKDOOLQL

 WLDWHD7;23WKDWLVXVHGIRULQGLYLGXDOO\DGGUHVVHGIUDPHVZLWKDQ576&76H[FKDQJHDVGHILQHGLQ

 7;23GXUDWLRQEDVHG576&76 

 3URFHGXUHVFRPPRQWRWKH'&)DQG('&$)


 &6PHFKDQLVP



Change the 4th paragraph of the subclause as follows:

 7KH 1$9 PDLQWDLQV D SUHGLFWLRQ RI IXWXUH WUDIILF RQ WKH PHGLXP EDVHG RQ GXUDWLRQ LQIRUPDWLRQ WKDW LV
 DQQRXQFHGLQ576&76IUDPHVE\QRQ'0*67$V085767ULJJHU&76IUDPHVE\+(67$VDVGHILQHG 

LQ 085767ULJJHU&76IUDPHH[FKDQJHSURFHGXUH DQG576'0*&76IUDPHVE\'0*67$V

 SULRUWRWKHDFWXDOH[FKDQJHRIGDWD7KHGXUDWLRQLQIRUPDWLRQLVDOVRDYDLODEOHLQWKH0$&KHDGHUVRIDOO
 IUDPHV RWKHU WKDQ 39 0$& IUDPHV DQG 363ROO IUDPHV DQG GXULQJ WKH %7, WKH $%)7 WKH $7, WKH
 &%$3DQGWKH637KHGXUDWLRQLQIRUPDWLRQLQDIUDPHWUDQVPLWWHGE\DQ6*67$LVDOVRDYDLODEOHLQ36
 3ROO%'7IUDPHVLQ1'3&76IUDPHVLQ1'3$FNIUDPHVZKRVH,GOH,QGLFDWLRQILHOGYDOXHLVDQGLQ 

1'3B0 363ROO$FN IUDPHV ZKRVH ,GOH ,QGLFDWLRQ ILHOG LV  7KH GXUDWLRQ LQIRUPDWLRQ PLJKW DOVR EH

 DYDLODEOHLQWKH5;9(&725SDUDPHWHU7;23B'85$7,21ZKHQDQ+(33'8LVUHFHLYHG VHH 
 7;23B'85$7,21 

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 Change the 7th paragraph as follows:




 7KH&6PHFKDQLVPFRPELQHVWKH1$9VWDWHDQGLQ6*67$VDOVRWKH5,'VWDWHDQGWKH67$¶VWUDQVPLWWHU
 VWDWXVZLWKSK\VLFDO&6WRGHWHUPLQHWKHEXV\LGOHVWDWHRIWKHPHGLXP7KH1$9DQG5,'PD\EHWKRXJKWRI
 DVDFRXQWHUZKLFKFRXQWVGRZQWRDWDXQLIRUPUDWH,QQRQ6*67$VZKHQWKH1$9FRXQWHULVWKHYLU
 WXDO&6LQGLFDWLRQLVWKDWWKHPHGLXPLVLGOHZKHQWKHFRXQWHULVQRQ]HURWKHLQGLFDWLRQLVEXV\,Q6*67$V
 ZKHQERWK1$9DQG5,'FRXQWHUVDUHWKHYLUWXDO&6LQGLFDWLRQLVWKDWWKHPHGLXPLVLGOHZKHQHLWKHUWKH

 1$9FRXQWHURUWKH5,'FRXQWHULVQRQ]HURWKHLQGLFDWLRQLVWKDWWKHPHGLXPLVEXV\7KHYLUWXDO&6LQGLFDWLRQ 
 RIPHGLXPIRU+(67$VZLWKWZR1$9VLVGHVFULEHGLQ 8SGDWLQJWZR1$9V ,ID'0*67$VXSSRUWV
 PXOWLSOH1$9VDVGHILQHGLQ 8SGDWLQJPXOWLSOH1$9 DQGDOOFRXQWHUVDUHWKHYLUWXDO&6LQGLFD
 WLRQLVWKDWWKHPHGLXPLVLGOHZKHQDWOHDVWRQHRIWKHFRXQWHUVLVQRQ]HURWKHLQGLFDWLRQLVEXV\7KHPHGLXP

 VKDOOEHGHWHUPLQHGWREHEXV\ZKHQWKH67$LVWUDQVPLWWLQJ


 ,)6

 6,)6


 Insert the following before the 1st paragraph:


$Q+(67$WKDWWUDQVPLWVDQ+(7%33'8D6,)6DIWHUWKHHQGRIDUHFHLYHG33'8IROORZVWKHSURFHGXUH

 LQ 1RQ$367$EHKDYLRUIRU8/08RSHUDWLRQ 

 (,)6


 Change as follows:

 $'&)VKDOOXVH(,)6EHIRUHWUDQVPLVVLRQZKHQLWGHWHUPLQHVWKDWWKHPHGLXPLVLGOHIROORZLQJUHFHSWLRQ 
 RIDIUDPHIRUZKLFKWKH3+<5;(1'LQGLFDWLRQSULPLWLYHFRQWDLQHGDQHUURURUDIUDPHIRUZKLFKWKH)&6 

 YDOXH ZDV QRW FRUUHFW 6LPLODUO\ D 67$
V ('&$ PHFKDQLVP XQGHU +&) VKDOO XVH WKH (,)6
 ',)6$,)6>$&@LQWHUYDO7KHGXUDWLRQRIDQ(,)6LVGHILQHGLQ '&)WLPLQJUHODWLRQV 7KH(,)6RU
 (,)6',)6$,)6>$&@LQWHUYDOVKDOOEHJLQIROORZLQJLQGLFDWLRQE\WKH3+<WKDWWKHPHGLXPLVLGOHDIWHU
 GHWHFWLRQRIWKHHUURQHRXVIUDPHZLWKRXWUHJDUGWRWKHYLUWXDO&6PHFKDQLVP7KH67$VKDOOQRWEHJLQD
 WUDQVPLVVLRQXQWLOWKHH[SLUDWLRQRIWKHODWHURIWKH1$9DQG(,)6RU(,)6',)6$,)6>$&@7KH(,)6DQG 

 (,)6',)6$,)6>$&@DUHGHILQHGWRSURYLGHHQRXJKWLPHIRUDQRWKHU67$WRDFNQRZOHGJHZKDWZDVWR 
 WKLV67$DQLQFRUUHFWO\UHFHLYHGIUDPHEHIRUHWKLV67$FRPPHQFHVWUDQVPLVVLRQ5HFHSWLRQRIDQHUURU
 IUHHIUDPHRUUHFHSWLRQRIDQ+(33'8ZLWKWKH5;9(&725SDUDPHWHU7;23B'85$7,21WKDWLVQRWVHW
 WR8163(&,),('GXULQJWKH(,)6RU(,)6',)6$,)6>$&@UHV\QFKURQL]HVWKH67$WRWKHDFWXDOEXV\
 LGOHVWDWH RI WKHPHGLXPVR WKH (,)6RU(,)6',)6$,)6>$&@ LVWHUPLQDWHGDQG PHGLXPDFFHVV XVLQJ 

 ',)6RU$,)6DVDSSURSULDWHDQGLIQHFHVVDU\EDFNRII FRQWLQXHVIROORZLQJUHFHSWLRQRIWKDWWKHHUURUIUHH
 IUDPHRUIROORZLQJDQH[SHFWHGHQGRIWKHUHFHLYHG+(33'8$WWKHH[SLUDWLRQRUWHUPLQDWLRQRIWKH(,)6 
 RU(,)6',)6$,)6>$&@WKH67$UHYHUWVWRWKH1$9DQGSK\VLFDO&6WRFRQWURODFFHVVWRWKHPHGLXP



(,)6VKDOOQRWEHLQYRNHGLIWKH1$9LVXSGDWHGE\WKHIUDPHWKDWZRXOGKDYHFDXVHGDQ(,)6(,)6VKDOO
 QRW EH LQYRNHG IRU DQ $03'8 LI RQH RU PRUH RI LWV IUDPHV DUH UHFHLYHG FRUUHFWO\ (,)6 VKDOO QRW EH
 LQYRNHGLIWKH5;9(&725SDUDPHWHU7;23B'85$7,21RIDUHFHLYHG+(33'8LVQRWVHWWR8163(&
 ,),('


 6HWWLQJDQGUHVHWWLQJWKH1$9

 Change paragraphs 1-2 as follows:


 7KLVVXEFODXVHGHVFULEHVWKHVHWWLQJDQGUHVHWWLQJRIWKH1$9IRUQRQ'0*67$VDQG'0*67$VWKDWVXS
 SRUWDVLQJOH1$9'0*67$VWKDWVXSSRUWPXOWLSOH1$9VVKDOOXSGDWHWKHLU1$9VDFFRUGLQJWRWKHSURFH

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 GXUHVGHVFULEHGLQ 8SGDWLQJPXOWLSOH1$9V +(67$VZLWKWZR1$9WLPHUVVKDOOXSGDWHWKHLU


 1$9WLPHUVDFFRUGLQJWRWKHSURFHGXUHVGHVFULEHGLQ 8SGDWLQJWZR1$9V 


 $67$WKDWUHFHLYHVDWOHDVWRQHYDOLGIUDPHLQD36'8FDQXSGDWHLWV1$9ZLWKWKHLQIRUPDWLRQIURPDQ\ 
 YDOLG'XUDWLRQILHOGLQWKH36'8:KHQWKHUHFHLYHGIUDPH¶V5$LVHTXDOWRWKH67$¶VRZQ0$&DGGUHVV
 WKH67$VKDOOQRWXSGDWHLWV1$9)XUWKHUZKHQWKHUHFHLYHGIUDPHLVD'0*&76IUDPHDQGLWV7$LV
 HTXDOWRWKH67$¶VRZQ0$&DGGUHVVWKH67$VKDOOQRWXSGDWHLWV1$9)RUDOORWKHUUHFHLYHGIUDPHVWKH

 67$VKDOOXSGDWHLWV1$9ZKHQWKHUHFHLYHG'XUDWLRQLVJUHDWHUWKDQWKH67$¶VFXUUHQW1$9YDOXH8SRQ 
 UHFHLSW RI D 363ROO IUDPH D 67$ DK  H[FHSW IRU DQ 6* 67$ IRU ZKLFK WKH 5;9(&725 SDUDPHWHU
 5(63216(B,1',&$7,21RIWKHUHFHLYHG363ROOIUDPHLV1'35HVSRQVHVKDOOXSGDWHLWV1$9VHWWLQJV
 DVDSSURSULDWHXQGHUWKHGDWDUDWHVHOHFWLRQUXOHVXVLQJDGXUDWLRQYDOXHHTXDOWRWKHWLPHLQPLFURVHFRQGV
 UHTXLUHGWRWUDQVPLWRQH$FNIUDPHSOXVRQH6,)6EXWRQO\ZKHQWKHQHZ1$9YDOXHLVJUHDWHUWKDQWKHFXU

 UHQW1$9YDOXH,IWKHFDOFXODWHGGXUDWLRQLQFOXGHVDIUDFWLRQDOPLFURVHFRQGWKDWYDOXHLVURXQGHGXSWRWKH
 QH[W KLJKHU LQWHJHU :KHQ WKH 1$9 LV UHVHW D 3+<&&$5(6(7UHTXHVW SULPLWLYH VKDOO EH LVVXHG 7KLV
 1$9XSGDWHRSHUDWLRQLVSHUIRUPHGZKHQWKH3+<5;(1'LQGLFDWLRQSULPLWLYHLVUHFHLYHGH[FHSWZKHQ 
 WKH 3+<5;(1'LQGLFDWLRQ SULPLWLYH LV UHFHLYHG EHIRUH WKH HQG RI WKH 33'8 LQ ZKLFK FDVH WKH 1$9

 XSGDWHLVSHUIRUPHGDWWKHH[SHFWHGHQGRIWKH33'8


 Insert the following after the 4th paragraph:


 $Q+($3WKDWLVQRWD7;23KROGHUVKDOOXSGDWHWKH1$9ZLWKWKHGXUDWLRQLQIRUPDWLRQLQGLFDWHGE\WKH
 5;9(&725SDUDPHWHU7;23B'85$7,21IRUDQ+(33'8LIDOORIWKHIROORZLQJFRQGLWLRQVDUHPHW
 DQGVKDOOQRWXSGDWHWKH1$9ZLWKWKHGXUDWLRQLQIRUPDWLRQLQGLFDWHGE\WKH5;9(&725SDUDPHWHU7;2
 3B'85$7,21RWKHUZLVH

 ² 7KH5;9(&725SDUDPHWHU7;23B'85$7,21LVQRW8163(&,),('

 ² 7KH+($3GRHVQRWUHFHLYHDIUDPHZLWKD'XUDWLRQILHOGLQWKH33'8
 ² 7KHGXUDWLRQLQGLFDWHGE\WKH5;9(&725SDUDPHWHU7;23B'85$7,21LVJUHDWHUWKDQWKHFXU
 UHQW1$9YDOXHRIWKH+($3


 $Q +( $3 WKDW LV D 7;23 KROGHU VKDOO XSGDWH WKH 1$9 ZLWK WKH GXUDWLRQ LQIRUPDWLRQ LQGLFDWHG E\ WKH
 5;9(&725SDUDPHWHU7;23B'85$7,21IRUDQ+(33'8LIDOORIWKHIROORZLQJFRQGLWLRQVDUHPHW
 DQGVKDOOQRWXSGDWHWKH1$9ZLWKWKHGXUDWLRQLQIRUPDWLRQLQGLFDWHGE\WKH5;9(&725SDUDPHWHU7;2

 3B'85$7,21RWKHUZLVH
 ² 7KH5;9(&725SDUDPHWHU7;23B'85$7,21LVQRW8163(&,),('

 ² 7KH+($3GRHVQRWUHFHLYHDIUDPHZLWKD'XUDWLRQILHOGLQWKH33'8

 ² 7KHGXUDWLRQLQGLFDWHGE\WKH5;9(&725SDUDPHWHU7;23B'85$7,21LVJUHDWHUWKDQWKHFXU
 UHQW1$9YDOXHRIWKH+($3


² 7KH5;9(&725SDUDPHWHU%66B&2/25LVQRWHTXDOWRWKH%66FRORURIWKH+($3

127(²$QRQ$3+(67$PDLQWDLQVWZR1$9VEXWDQ+($3PLJKWRQO\PDLQWDLQRQH1$9 VHH 8SGDWLQJ


WZR1$9V 

 127(²,ID67$UHFHLYHVDQ+(33'8ZLWKWKHGXUDWLRQLQIRUPDWLRQLQGLFDWHGE\ERWKIUDPHZLWKD'XUDWLRQILHOG

 DQG WKH 5;9(&725 SDUDPHWHU 7;23B'85$7,21 WKHQ WKH GXUDWLRQ LQIRUPDWLRQ LQGLFDWHG E\ WKH 5;9(&725
 SDUDPHWHU7;23B'85$7,21LVLJQRUHG


 Change the 6th and 7th paragraph as follows:

 $67$WKDWXVHGLQIRUPDWLRQIURPDQ576IUDPHRU085767ULJJHUIUDPHDVWKHPRVWUHFHQWEDVLVWRXSGDWH

LWV1$9VHWWLQJLVSHUPLWWHGWRUHVHWLWV1$9LIQR3+<5;67$57LQGLFDWLRQSULPLWLYHLVUHFHLYHGIURPWKH

 3+<GXULQJD1$97LPHRXWSHULRGVWDUWLQJZKHQWKH0$&UHFHLYHVD3+<5;(1'LQGLFDWLRQSULPLWLYHFRU
 UHVSRQGLQJWRWKHGHWHFWLRQRIWKH576IUDPHRU085767ULJJHUIUDPH

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ,QQRQ'0*%661$97LPHRXWSHULRGLVHTXDOWR [D6,)67LPH  &76B7LPH D5[3+<6WDUW'HOD\ 


 [D6ORW7LPH  îD6,)67LPH  &76B7LPH D5[3+<6WDUW'HOD\ îD6ORW7LPH ,QDQRQ6*67$LI

DQ576IUDPHLVXVHGIRUWKHPRVWUHFHQW1$9XSGDWHWKH&76B7LPHVKDOOEHFDOFXODWHGXVLQJWKHOHQJWKRI

 WKH&76IUDPHDQGWKHGDWDUDWHDWZKLFKWKH576IUDPHXVHGIRUWKHPRVWUHFHQW1$9XSGDWHZDVUHFHLYHG,I
 DQ085767ULJJHUIUDPHZDVXVHGIRUWKHPRVWUHFHQW1$9XSGDWH&76B7LPHVKDOOEHFDOFXODWHGXVLQJWKH
 OHQJWKRIWKH&76IUDPHDQGWKH0EVGDWDUDWH VHH 085767ULJJHU&76IUDPHH[FKDQJHSURFH
 GXUH ,QDQ6*67$WKH³&76B7LPH´VKDOOEHFDOFXODWHGXVLQJWKHWLPHUHTXLUHGWRWUDQVPLWDQ1'3&76 

IUDPHWKDWLVHTXDOWR1'37[7LPHZKLFKLVVSHFLILHGLQ 5,'XSGDWH 


 576&76ZLWKIUDJPHQWDWLRQ


Change the 2nd paragraph as follows:


 (DFKIUDPHFRQWDLQVLQIRUPDWLRQWKDWGHILQHVWKHGXUDWLRQRIWKHQH[WWUDQVPLVVLRQ7KHGXUDWLRQLQIRUPDWLRQ
 IURP576IUDPHVVKDOOEHXVHGWRXSGDWHWKH1$9WRLQGLFDWHEXV\XQWLOWKHHQGRI$FNIUDPH7KHGXUD
 WLRQLQIRUPDWLRQIURPWKH&76IUDPHVKDOODOVREHXVHGWRXSGDWHWKH1$9WRLQGLFDWHEXV\XQWLOWKHHQGRI


$FNIUDPH%RWK)UDJPHQWDQG$FNIUDPHVKDOOFRQWDLQGXUDWLRQLQIRUPDWLRQWRXSGDWHWKH1$9WR 
 LQGLFDWHEXV\XQWLOWKHHQGRI$FNIUDPH7KLVVKDOOEHGRQHE\XVLQJWKH'XUDWLRQ,'ILHOGLQWKH'DWDDQG

 $FNIUDPHV7KLVVKDOOFRQWLQXHXQWLOWKHODVWIUDJPHQWZKLFKVKDOOKDYHDGXUDWLRQRIRQH$FNWLPHSOXVRQH
 6,)6DQGLWV$FNIUDPHZKLFKVKDOOKDYHLWV'XUDWLRQ,'ILHOGVHWWR(DFKIUDJPHQWDQG$FNIUDPHDFWV
 DVDYLUWXDO576IUDPHDQG&76IUDPHWKHUHIRUHQRIXUWKHU576&76IUDPHVQHHGWREHJHQHUDWHGDIWHUWKH


576&76WKDWEHJDQWKHIUDPHH[FKDQJHVHTXHQFHHYHQWKRXJKWKH36'8VFDUU\LQJVXEVHTXHQWIUDJPHQWV
 PD\EHODUJHUWKDQGRW5767KUHVKROG

 5DQGRPEDFNRIIWLPH


 Insert the following note after the 2nd to last paragraph:

 127(²)RUQRQ+(67$VWKDWXVH'&)IRUFKDQQHODFFHVVGRW7;23'XUDWLRQ5767KUHVKROGLVQRWSUHVHQWDQGWKH
 XVHRIWKH576&76PHFKDQLVPLVXQGHUWKHFRQWURORIGRW5767KUHVKROG

 08DFNQRZOHGJPHQWSURFHGXUH

 Insert a new subclause heading before the 1st paragraph as follows:


 $FNQRZOHGJPHQWSURFHGXUHIRU'/0833'8LQ6833'8

 Change the subclause as follows:


 7KHDFNQRZOHGJPHQWSURFHGXUHSHUIRUPHGE\D67$WKDWUHFHLYHV03'8VWKDWZHUHWUDQVPLWWHGZLWKLQD
 9+70833'8RUDQ+(0833'8LVWKHVDPHDVWKHDFNQRZOHGJPHQWSURFHGXUHIRU03'8VWKDWZHUH
 QRWWUDQVPLWWHGZLWKLQD9+70833'8RUDQ+(0833'8VHQWE\DQ$3H[FHSWLIWKH67$LVDQ+( 

67$WKDWIROORZVWKHUXOHVGHILQHGLQ )UDJPHQWDWLRQDQGGHIUDJPHQWDWLRQ DQGLQ +(DFNQRZO

 HGJPHQWSURFHGXUH 

127(²$OO03'8VWUDQVPLWWHGZLWKLQD9+70833'8RUDQ+(0833'8DUHFRQWDLQHGZLWKLQ$03'8VDQG 

WKHUXOHVVSHFLILHGLQ $03'8FRQWHQWV SUHYHQWDQLPPHGLDWHUHVSRQVHFDUULHGLQDQ6833'8WRPRUHWKDQRQH

RIWKH$03'8V


 5HVSRQVHVWR$03'8VZLWKLQD9+70833'8RUDQ+(0833'8IRU'/WUDQVPLVVLRQWKDWDUHQRW
 LPPHGLDWHUHVSRQVHVWRWKH9+70833'8RUWKH+(0833'8DUHWUDQVPLWWHGLQUHVSRQVHWRH[SOLFLW
 %ORFN$FN5HTIUDPHVE\WKH$3([DPSOHVRI9+70833'8IUDPHH[FKDQJHVHTXHQFHVDUHVKRZQLQ)LJ

XUH $QH[DPSOHRID7;23FRQWDLQLQJD9+70833'8WUDQVPLVVLRQZLWKDQLPPHGLDWHDFNQRZO

 HGJPHQWWRWKH9+70833'8 DQG)LJXUH $QH[DPSOHRID7;23FRQWDLQLQJD9+70833'8 
 WUDQVPLVVLRQZLWKQRLPPHGLDWHDFNQRZOHGJPHQWWRWKH9+70833'8 

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 5HFRYHU\ZLWKLQWKH7;23WKDWFRQWDLQVD9+70833'8RUDQ+(0833'8FDQEHSHUIRUPHGDFFRUG
 LQJWRWKHUXOHVRI 0XOWLSOHIUDPHWUDQVPLVVLRQLQDQ('&$7;23 %ORFN$FN5HTXHVWIUDPHV

UHODWHGWR$03'8VZLWKLQD9+70833'8RUDQ+(0833'8FDQEHWUDQVPLWWHGLQD7;23VHSDUDWH

 IURPWKHRQHWKDWFRQWDLQHGWKH9+70833'8RUWKH+(0833'8

 127(²$%ORFN$FNIUDPHRUDQ$FNIUDPHLVVHQWLQLPPHGLDWHUHVSRQVHWRWKH%ORFN$FN5HTIUDPHIRU+7LPPH
 GLDWHRU+7GHOD\HGEORFNDFNUHVSHFWLYHO\$Q$FNIUDPHPLJKWEHVHQWLQLPPHGLDWHUHVSRQVHFDUULHGLQDQ6833'8
 WRDQ603'8LQWKH9+70833'8RUWKH+(0833'85HVSRQVHVWR603'8VIRUPRUHWKDQRQH67$FRQWDLQHG 
 LQDQ+(0833'8DUHWUDQVPLWWHGDVVSHFLILHGLQ $FNQRZOHGJPHQWSURFHGXUHIRU'/0833'8LQ08 
 IRUPDW $0XOWL67$%ORFN$FNIUDPHLVVHQWLQLPPHGLDWHUHVSRQVHWRD0XOWL7,'%ORFN$FN5HTIUDPH

 127(²$%ORFN$FN5HTXHVWIUDPHZRXOGW\SLFDOO\QRWEHVHQWWRD67$LQWKHFDVHZKHUHWKH$03'8WRWKH67$

 FRQWDLQHGQR03'8VUHTXLULQJLPPHGLDWHDFNQRZOHGJPHQW,WFRXOGEHVHQWLI03'8VLQDSUHYLRXV$03'8UHPDLQ

 XQDFNQRZOHGJHG


Insert a new subclauses 10.3.2.13.2 and 10.3.2.13.3 as follows:


 $FNQRZOHGJPHQWSURFHGXUHIRU'/0833'8LQ08IRUPDW


 $QRQ$367$VKDOOQRWVHWWKHDFNSROLF\WR+73$FN


 $QRQ$367$WKDWLVWKHUHFLSLHQWZLWKLQDQ+(0833'8RID4R6'DWDIUDPHRU4R61XOOIUDPHZLWK
 DFNSROLF\+73$FNRIDQ08%$57ULJJHUIUDPHRUD*&508%$57ULJJHUIUDPHRURID0DQDJHPHQW
 IUDPHWKDWVROLFLWVDFNQRZOHGJPHQWVKDOOVHQGWKHLPPHGLDWHUHVSRQVHDFFRUGLQJWRWKHVFKHGXOLQJLQIRUPD
 WLRQ WKDW LV FDUULHG HLWKHU LQ WKH 7ULJJHU IUDPH V  RU 756 &RQWURO VXEILHOG ,I D %DVLF 7ULJJHU IUDPH VHH

  7ULJJHUIUDPHIRUPDW RUIUDPHFDUU\LQJD756&RQWUROVXEILHOG VHHD 756&RQWURO LV
 QRWUHFHLYHGWKHQWKH67$VKDOOQRWUHVSRQG


 $QH[DPSOHRI8/2)'0$DFNQRZOHGJPHQWWRDQ+(0833'8LVVKRZQLQ)LJXUHD $QH[DPSOH
 RIDQ+(0833'8WUDQVPLVVLRQZLWKDQLPPHGLDWH8/2)'0$DFNQRZOHGJPHQW 



+(0833'8 2)'0$%$
 6,)6

 $03'8ZLWKWULJJHULQJIUDPH %ORFN$FN




 $03'8ZLWKWULJJHULQJIUDPH %ORFN$FN

 $03'8ZLWKWULJJHULQJIUDPH %ORFN$FN
 $03'8ZLWKWULJJHULQJIUDPH %ORFN$FN

 $03'8ZLWKWULJJHULQJIUDPH %ORFN$FN

 %DFNRII '/ 8/
 dyKW

 )LJXUHD²$QH[DPSOHRIDQ+(0833'8WUDQVPLVVLRQZLWKDQLPPHGLDWH8/2)'0$

DFNQRZOHGJPHQW


 $Q$3PD\XVHDQ08%$57ULJJHUIUDPHRUD*&508%$57ULJJHUIUDPHWRVROLFLWDFNQRZOHGJPHQW

IUDPHVIURPPXOWLSOH+(67$VWRZKLFKWKH$3KDVVHQW4R6'DWDIUDPHVZLWK%ORFN$FNDFNSROLF\RU

 IURPZKLFKWKH$3KDVQRWUHFHLYHGLPPHGLDWHDFNQRZOHGJPHQWIUDPHVDIWHUVHQGLQJ4R6'DWDIUDPHVZLWK
 +73$FNDFNSROLF\LQDQ+(0833'8

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $FNQRZOHGJPHQWSURFHGXUHIRUDQ8/08WUDQVPLVVLRQ


$Q$3WKDWUHFHLYHVIUDPHVIURPPRUHWKDQRQH67$WKDWDUHSDUWRIDQ8/08WUDQVPLVVLRQ VHH 

 DQG WKDW UHTXLUH DQ LPPHGLDWH DFNQRZOHGJPHQW LH D 4R6 'DWD IUDPH ZLWK DFN SROLF\ 1RUPDO $FN RU
 ,PSOLFLW %$5 RU D 0DQDJHPHQW IUDPH RWKHU WKDQ DQ $FWLRQ 1R $FN IUDPH  VKDOO VHQG DQ LPPHGLDWH
 DFNQRZOHGJPHQWLQHLWKHUDQ6833'8 VHH 5HVSRQGLQJWRDQ+(7%33'8ZLWKDQ6833'8 
 RUDQ+(0833'8 VHH 5HVSRQGLQJWRDQ+(7%33'8ZLWKDQ+(0833'8 7KH0XOWL

67$%ORFN$FNIUDPHPD\EHWUDQVPLWWHGLQDQRQ+733'8QRQ+7GXSOLFDWH33'8+733'89+7 

 33'8+(6833'8+((56833'8RU+(0833'8$IWHUDVXFFHVVIXOUHFHSWLRQRIDQ8/IUDPH 
 UHTXLULQJDFNQRZOHGJPHQWWUDQVPLVVLRQRIWKH'/DFNQRZOHGJPHQWVKDOOFRPPHQFHDIWHUD6,)6ZLWKRXW
 UHJDUGWRWKHEXV\LGOHVWDWHRIWKHPHGLXP:KHQDQ$3WUDQVPLWVDQLPPHGLDWHDFNQRZOHGJPHQWLQDQ+( 
 0833'8LQUHVSRQVHWRDQ$03'8VHQWLQDQ+(7%33'8WKH$3VKRXOGVHQGLWZLWKLQWKH0+]

FKDQQHO V ZKHUHWKHSUH+(PRGXODWHGILHOGVRIWKH+(7%33'8VHQWE\WKH67$DUHORFDWHG7KHLPPH

 GLDWHDFNQRZOHGJPHQWLVDQ$FNIUDPH&RPSUHVVHG%ORFN$FNIUDPHRU0XOWL67$%ORFN$FNIUDPH

 $QH[DPSOHRIPXOWLSOH%ORFN$FNIUDPHVVHQWLQ'/08LVVKRZQLQ)LJXUHE $QH[DPSOHRIDQ8/ 
 08 WUDQVPLVVLRQ ZLWK DQ LPPHGLDWH '/ 08 WUDQVPLVVLRQ FRQWDLQLQJ LQGLYLGXDOO\ DGGUHVVHG %ORFN$FN 

IUDPHVDFNQRZOHGJLQJWKHIUDPHVUHFHLYHGIURPWKHUHVSHFWLYH67$V 



 6,)6 6,)6


 +(7%33'867$n %ORFN$FN




 7ULJJHU +(7%33'867$ %ORFN$FN

 +(7%33'867$ %ORFN$FN

 +(7%33'867$ %ORFN$FN

 +(7%33'867$ %ORFN$FN
 %DFNRII '/ 8/ '/
 7;23

 )LJXUHE²$QH[DPSOHRIDQ8/08WUDQVPLVVLRQZLWKDQLPPHGLDWH'/08WUDQVPLVVLRQ

 FRQWDLQLQJLQGLYLGXDOO\DGGUHVVHG%ORFN$FNIUDPHVDFNQRZOHGJLQJWKHIUDPHVUHFHLYHGIURPWKH
 UHVSHFWLYH67$V




















 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $QH[DPSOHRID0XOWL67$%ORFN$FNIUDPHDFNQRZOHGJPHQWLQDQRQ+733'8+733'89+733'8
 +(6833'8RU+((56833'8LVJLYHQLQ)LJXUHF $QH[DPSOHRI8/08WUDQVPLVVLRQVZLWKDQ

LPPHGLDWH0XOWL67$%ORFN$FNIUDPHDFNQRZOHGJLQJWKH03'8V 



 ^/&^
 ^/&^

 ,dWWh^dŶ




 ,dWWh^dϰ DƵůƚŝͲ^d
dƌŝŐŐĞƌ
 ůŽĐŬĐŬ
 ,dWWh^dϯ

 ,dWWh^dϮ

 ,dWWh^dϭ
 %DFNRII > h> >
 dyKW



)LJXUHF²$QH[DPSOHRI8/08WUDQVPLVVLRQVZLWKDQLPPHGLDWH0XOWL67$%ORFN$FN
 IUDPHDFNQRZOHGJLQJWKH03'8V

 $QH[DPSOHRID0XOWL67$%ORFN$FNIUDPHDFNQRZOHGJPHQWLQDQRQ+7'XSOLFDWH33'8LVJLYHQLQ 
 )LJXUHG $QH[DPSOHRI8/08WUDQVPLVVLRQVZLWKDQLPPHGLDWH'/QRQ+7GXSOLFDWH33'8FRQ


WDLQLQJWKH0XOWL67$%ORFN$FNIUDPH 


 EŽŶͲ,dĚƵƉůŝĐĂƚĞ
 ^/&^ ^/&^ WWh

 ,dWWh^dŶ DƵůƚŝͲ^důŽĐŬĐŬ


 dƌŝŐŐĞƌ
 ,dWWh^dϮ DƵůƚŝͲ^důŽĐŬĐŬ

,dWWh^dϭ DƵůƚŝͲ^důŽĐŬĐŬ

 > h> >
 dyKW




)LJXUHG²$QH[DPSOHRI8/08WUDQVPLVVLRQVZLWKDQLPPHGLDWH'/QRQ+7GXSOL
 FDWH33'8FRQWDLQLQJWKH0XOWL67$%ORFN$FNIUDPH

 7KH$FN3ROLF\,QGLFDWLRQVXEILHOGRID4R6'DWDIUDPHVHQWLQDQ+(7%33'8VKDOOQRWEHVHWWR%ORFN
 $FN


 $67$PD\VHQGD%ORFN$FN5HTIUDPHRU0XOWL7,'%ORFN$FN5HTIUDPHWRVROLFLWWKHDFNQRZOHGJPHQW
 IUDPH V IURPDQ$3








&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 '&)DFFHVVSURFHGXUH


 5HFRYHU\SURFHGXUHVDQGUHWUDQVPLWOLPLWV

 Insert the following note after the 4th paragraph:

 127(²)RUQRQ+(67$VWKDWXVH'&)IRUFKDQQHODFFHVVGRW7;23'XUDWLRQ5767KUHVKROGLVQRWSUHVHQWDQGWKH
 XVHRIWKH576&76PHFKDQLVPLVXQGHUWKHFRQWURORIGRW5767KUHVKROG


 ,QGLYLGXDOO\DGGUHVVHG03'8WUDQVIHUSURFHGXUH

 Change as follows:


 $,IGRW7;23'XUDWLRQ5767KUHVKROGLVRUQRWSUHVHQWD67$VKDOOXVHDQ576&76SUHFHGLQJD
 IUDPH H[FKDQJH LQFOXGLQJ DQ LQGLYLGXDOO\ DGGUHVVHG 'DWD RU 0DQDJHPHQW IUDPH ZKHQ WKH OHQJWK RI WKH
 36'8LVJUHDWHUWKDQWKHOHQJWKWKUHVKROGLQGLFDWHGE\GRW5767KUHVKROG,IGRW7;23'XUDWLRQ576
 7KUHVKROGLVSUHVHQWDQGLVQRWDQRQ$3+(67$XVLQJ('&$VKDOOXVHDQ576&76H[FKDQJHDV


GHILQHGLQ 7;23GXUDWLRQEDVHG576&76 $67$PD\DOVRXVHDQ576&76H[FKDQJHWRSURWHFW
 WKHWUDQVPLVVLRQRIIRULQGLYLGXDOO\DGGUHVVHGIUDPHVZKHQLWLVQHFHVVDU\WRGLVWULEXWHWKH1$9RUZKHQLW
 LVQHFHVVDU\WRHVWDEOLVKSURWHFWLRQ VHH 3URWHFWLRQPHFKDQLVPV RUIRURWKHUSXUSRVHV

 127(²,IGRW5767KUHVKROGLVDQ576&76H[FKDQJHSUHFHGHVDOOIUDPHH[FKDQJHVLQFOXGLQJDQLQGLYLGXDOO\ 
 DGGUHVVHG'DWDRU0DQDJHPHQWIUDPHH[FHSWIRUDQRQ$367$ZLWKGRW7;23'XUDWLRQ5767KUHVKROGSUHVHQWDQG
 QRWHTXDOWRLQZKLFKFDVHXVHRIDQ576&76H[FKDQJHLVFRQWUROOHGE\GRW7;23'XUDWLRQ5767KUHVKROG VHH
  7;23GXUDWLRQEDVHG576&76 

 127(²$QRQ$367$WKDWWUDQVPLWVDQ+(7%33'8RXWVLGHWKHFRQWH[WRIDQ5'*LVH[HPSWIURPUHTXLUHPHQWV
 UHODWHGWRGRW5767KUHVKROGDQGGRW7;23'XUDWLRQ5767KUHVKROGEHFDXVHWKH67$LVQRWWKH7;23KROGHU

 :KHQ,IDQ576&76H[FKDQJHLVXVHGWKH33'8FRQWDLQLQJWKH36'8VKDOOEHWUDQVPLWWHGVWDUWLQJRQH
 6,)6DIWHUWKHHQGRIWKH&76IUDPH

 127(²1RUHJDUGLVJLYHQWRWKHEXV\RULGOHVWDWXVRIWKHPHGLXPZKHQWUDQVPLWWLQJWKLV36'8


 :KHQ,IDQ576&76H[FKDQJHLVQRWXVHGWKH36'8VKDOOEHWUDQVPLWWHGIROORZLQJWKHVXFFHVVRIWKHEDVLF
 DFFHVVSURFHGXUH:LWKRUZLWKRXWWKHXVHRIWKH576&76H[FKDQJHSURFHGXUHWKH67$WKDWLVWKHGHVWLQD
 WLRQRID'DWDIUDPHVKDOOIROORZWKHDFNQRZOHGJPHQWSURFHGXUH



'&)WLPLQJUHODWLRQV

 Change the 9th paragraph as follows:


 :KHQ GRW'\QDPLF(,)6$FWLYDWHG LV WUXH LI WKH 33'8 WKDW FDXVHV WKH (,)6 GRHV QRW FRQWDLQ D VLQJOH
 03'8 ZLWK D OHQJWK HTXDO WR  RU  RFWHWV DQG WKH PRGXODWLRQ RI WKH 33'8 WKDW FDXVHV WKH (,)6 LV
 LQFOXGHGLQ7DEOH 'HWHUPLQDWLRQRIWKH(VWLPDWHG$FN7[7LPHEDVHGRQSURSHUWLHVRIWKH33'8FDXV
 LQJWKH(,)6 WKHQ(,)6LVGHWHUPLQHGDVVKRZQLQ(TXDWLRQ  


 (,)6 D6,)67LPH(VWLPDWHG$FN7[7LPH',)6 

 ZKHUH

 (VWLPDWHG$FN7[7LPHLVEDVHGRQDQHVWLPDWHGGXUDWLRQRIWKH33'8WKDWLVWKHSRVVLEOHUHVSRQVHWRWKH
 33'8WKDWFDXVHVWKH(,)6DVVSHFLILHGLQ7DEOH 'HWHUPLQDWLRQRIWKH(VWLPDWHG$FN7[
 7LPHEDVHGRQSURSHUWLHVRIWKH33'8FDXVLQJWKH(,)6 

 127(²7KLVDOVRDSSOLHVWRDQ+(67$ZLWKGRW'\QDPLF(,)6$FWLYDWHGVHWWRWUXHWKDWUHFHLYHVDQ+(33'8ZLWK
 WKH5;9(&725SDUDPHWHU7;23B'85$7,21VHWWR8163(&,),('WKDWFDXVHVWKH(,)6

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 6LJQDOH[WHQVLRQ


Change the 1st paragraph as follows:


 7UDQVPLVVLRQVRIIUDPHVZLWK7;9(&725SDUDPHWHU)250$7RIW\SH121B+7ZLWK121B+7B02'
 8/$7,21YDOXHVRI(532)'0DQG121B+7B'83B2)'0DQGWUDQVPLVVLRQVRIIUDPHVZLWK7;9(&
 725SDUDPHWHU)250$7ZLWKYDOXHVRI+7B0)DQG+7B*)+(B68+(B08+(B(5B68RU+(B7%

LQFOXGHDSHULRGRIQRWUDQVPLVVLRQRIGXUDWLRQD6LJQDO([WHQVLRQH[FHSWIRU5,)6WUDQVPLVVLRQV7KHSXU

 SRVH RIWKLV VLJQDOH[WHQVLRQ LVWR HQDEOH WKH1$9 YDOXHRI &ODXVH  +LJK UDWH GLUHFW VHTXHQFHVSUHDG

 VSHFWUXP +5'666 3+<VSHFLILFDWLRQ 67$VWREHVHWFRUUHFWO\

 Change the title of 10.4 as follows:


 06'8$06'8DQG003'8IUDJPHQWDWLRQ


 Change the 3rd and 4th paragraph as follows:

 $IUDJPHQWLVDQ03'8WKH)UDPH%RG\ILHOGRIZKLFKFDUULHVRQO\DSRUWLRQRIDQ06'8$06'8RU
 003'8:KHQGDWDDUHWREHWUDQVPLWWHGWKHQXPEHURIRFWHWVLQWKHIUDJPHQW EHIRUHSURFHVVLQJE\WKH

 VHFXULW\ PHFKDQLVP  VKDOO EH OLPLWHG E\ GRW)UDJPHQWDWLRQ7KUHVKROG DQG WKH QXPEHU RI RFWHWV LQ WKH
 03'8WKDWKDYH\HWWREHDVVLJQHGWRDIUDJPHQWDWWKHLQVWDQWWKHIUDJPHQWLVFRQVWUXFWHGIRUWKHILUVWWLPH
 2QFHDIUDJPHQWLVWUDQVPLWWHGIRUWKHILUVWWLPHLWVIUDPHERG\FRQWHQWDQGOHQJWKVKDOOEHIL[HGXQWLOLWLV
 VXFFHVVIXOO\GHOLYHUHGWRWKHLPPHGLDWHUHFHLYLQJ67$


 $67$VKDOOEHFDSDEOHRIUHFHLYLQJ03'8VFRQWDLQLQJDOORUSDUWRIDQ06'8RIDUELWUDU\OHQJWKWKDWLV
 OHVV WKDQ RU HTXDO WR WKH PD[LPXP 06'8 VL]H DV VSHFLILHG LQ 7DEOH  0D[LPXP GDWD XQLW VL]HV LQ
 RFWHWV DQGGXUDWLRQV LQPLFURVHFRQGV GHILQHGLQ *HQHUDOIUDPHIRUPDW SOXVDQ\VHFXULW\HQFDSVX
 ODWLRQRYHUKHDGSOXV0$&KHDGHUDQG)&6


 Insert the following at the end of the subclause:

 $Q+(67$PD\DOVRXVHWKHG\QDPLFIUDJPHQWDWLRQDVGHILQHGLQ '\QDPLFIUDJPHQWDWLRQ LIWKH
 FRQGLWLRQVLQ *HQHUDO DUHPHW'\QDPLFIUDJPHQWDWLRQDOORZV$06'8VWREHIUDJPHQWHG


 Change the title of 10.5 as follows:


 06'8$06'8DQG003'8GHIUDJPHQWDWLRQ

 Insert the following at the end of the subclause:


 $Q+(67$PD\DOVRXVHWKHG\QDPLFGHIUDJPHQWDWLRQDVGHILQHGLQ '\QDPLFGHIUDJPHQWDWLRQ LI
 WKHFRQGLWLRQVLQ *HQHUDO DUHPHW'\QDPLFIUDJPHQWDWLRQDOORZV$06'8VWREHIUDJPHQWHG


 0XOWLUDWHVXSSRUW

 2YHUYLHZ


 Change paragraphs 5-6 as follows:

 )RUVSHFLILF3+<VWKHYDOXHRIWKH'XUDWLRQ,'ILHOGLVGHWHUPLQHGXVLQJWKH3/0(7;7,0(UHTXHVWSULP
 LWLYHDQGWKH3/0(7;7,0(FRQILUPSULPLWLYH7KHVHVSHFLILF3+<VDUHGHILQHGLQ

 ² &ODXVH +LJKUDWHGLUHFWVHTXHQFHVSUHDGVSHFWUXP +5'666 3+<VSHFLILFDWLRQ IRU+5'666

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ² &ODXVH 2UWKRJRQDOIUHTXHQF\GLYLVLRQPXOWLSOH[LQJ 2)'0 3+<VSHFLILFDWLRQ IRU2)'0



 ² &ODXVH ([WHQGHG5DWH3+< (53 VSHFLILFDWLRQ IRU(53
 ² &ODXVH +LJK7KURXJKSXW +7 3+<VSHFLILFDWLRQ IRU+7

 ² &ODXVH 'LUHFWLRQDOPXOWLJLJDELW '0* 3+<VSHFLILFDWLRQ IRU'0*
 ² &ODXVH 9HU\+LJK7KURXJKSXW 9+7 3+<VSHFLILFDWLRQ IRU9+7

 ² &ODXVH 7HOHYLVLRQ9HU\+LJK7KURXJKSXW 79+7 3+<VSHFLILFDWLRQ IRU79+7
 ² &ODXVH &KLQDGLUHFWLRQDOPXOWLJLJDELW &'0* 3+<VSHFLILFDWLRQ IRU&'0*

 ² &ODXVH &KLQDPLOOLPHWHUZDYHPXOWLJLJDELW &00* 3+<VSHFLILFDWLRQ IRU&00*

² &ODXVH +LJK(IILFLHQF\ +( 3+<VSHFLILFDWLRQ IRU+(


 7KHWZR3/0(7;7,0(SULPLWLYHVDUHGHILQHGLQWKHUHVSHFWLYH3+<VSHFLILFDWLRQV


²  +5'6667;7,0(FDOFXODWLRQ IRU+57;7,0(FDOFXODWLRQ
 ²  2)'07;7,0(FDOFXODWLRQ IRU2)'07;7,0(FDOFXODWLRQ

 ²  (532)'07;7,0(FDOFXODWLRQV
 ²  7;7,0(FDOFXODWLRQ IRU+77;7,0(FDOFXODWLRQ

 ²  7;7,0(FDOFXODWLRQ IRU'0*3/0(7;7,0(FDOFXODWLRQ
 ²  7;7,0(DQG36'8B/(1*7+FDOFXODWLRQ IRU9+73/0(7;7,0(FDOFXODWLRQ

 ²  7;7,0(DQG36'8B/(1*7+FDOFXODWLRQ IRU79+73/0(7;7,0(FDOFXODWLRQ
 ²  7;7,0(FDOFXODWLRQ IRU&00*3/0(7;7,0(FDOFXODWLRQ

 ²  7;7,0(DQG36'8B/(1*7+FDOFXODWLRQ IRU+(3/0(7;7,0(FDOFXODWLRQ

 5DWHVHOHFWLRQIRU'DWDDQG0DQDJHPHQWIUDPHV


 5DWHVHOHFWLRQIRUQRQ67%&%HDFRQDQGQRQ67%&3603IUDPHV

 Change the 2nd paragraph as follows:


 ,IWKH%66%DVLF5DWH6HWSDUDPHWHULVQRWHPSW\DQRQ67%&3603IUDPHRUDQRQ67%&%HDFRQIUDPH
 WKDW LV QRW DQ (5 EHDFRQ RU +( EHDFRQ VKDOO EH WUDQVPLWWHG LQ D QRQ+7 33'8 XVLQJ RQH RI WKH UDWHV
 LQFOXGHGLQWKH%66%DVLF5DWH6HWSDUDPHWHU$Q(5EHDFRQLVWUDQVPLWWHGDVGHILQHG $GGLWLRQDO
 UXOHVIRU(5EHDFRQVDQGJURXSDGGUHVVHGIUDPHV DQGDQ+(EHDFRQLVWUDQVPLWWHGDVGHILQHGLQ 

 $GGLWLRQDOUXOHVIRU+(EHDFRQVDQGJURXSDGGUHVVHGIUDPHV 

 5DWHVHOHFWLRQIRURWKHUJURXSDGGUHVVHG'DWDDQG0DQDJHPHQWIUDPHV


Change the 1st paragraph as follows:


 7KLVVXEFODXVHGHVFULEHVWKHUDWHVHOHFWLRQUXOHVIRUJURXSDGGUHVVHG'DWDDQG0DQDJHPHQWIUDPHVH[FOXG
 LQJWKHIROORZLQJ

 ² 1RQ67%&%HDFRQDQGQRQ67%&3603IUDPHV
 ² (5EHDFRQDQG+(EHDFRQ

 ² 67%&JURXSDGGUHVVHG'DWDDQG0DQDJHPHQWIUDPHV
 ² 'DWDIUDPHVORFDWHGLQDQ)06VWUHDP VHH )06PXOWLFDVWUDWHSURFHVVLQJ

 ² *URXS DGGUHVVHG IUDPHVWUDQVPLWWHGWR WKH*&5FRQFHDOPHQWDGGUHVV VHH &RQFHDO
 PHQWRI*&5WUDQVPLVVLRQV

 ² *URXS DGGUHVVHG 'DWD DQG 0DQDJHPHQW IUDPHV WUDQVPLWWHG LQ DQ +( (5 68 33'8 VHH 
 $GGLWLRQDOUXOHVIRU(5EHDFRQVDQGJURXSDGGUHVVHGIUDPHV

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ² *URXSDGGUHVVHG'DWDDQG0DQDJHPHQWIUDPHVWUDQVPLWWHGLQDQ+(6833'8 VHH $GGL


 WLRQDOUXOHVIRU+(EHDFRQVDQGJURXSDGGUHVVHGIUDPHV

 ² *URXSDGGUHVVHG'DWDDQG0DQDJHPHQWIUDPHVWUDQVPLWWHGLQDQ+(0833'8 VHH $GGL
 WLRQDOUXOHVIRUJURXSDGGUHVVHGIUDPHVLQDQ+(0833'8

 5DWHVHOHFWLRQIRU&RQWUROIUDPHV


 *HQHUDOUXOHVIRUUDWHVHOHFWLRQIRU&RQWUROIUDPHV

 Insert the following as the last bullet to the 3rd paragraph:


 7KHIROORZLQJUXOHVGHWHUPLQHZKHWKHUD&RQWUROIUDPHLVFDUULHGLQDQRQ+7+7RU9+733'8
 I $FRQWUROUHVSRQVHIUDPHPD\EHFDUULHGLQD9+733'8RU+733'8LIWKHHOLFLWLQJIUDPHZDVD
 )LQH7LPLQJ0HDVXUHPHQWIUDPHFDUULHGLQD9+733'8RU+733'8UHVSHFWLYHO\


 Insert the following at the end of the subclause:

 $Q+(67$WKDWWUDQVPLWVD7ULJJHUIUDPH0XOWL67$%ORFN$FNIUDPHRU+(9+71'3$QQRXQFHPHQW
 IUDPHDGGUHVVHGWRPRUHWKDQRQH67$VKDOOXVHDUDWH+70&69+70&6166!WXSOHRU+(0&6

166!WXSOHWKDWLVVXSSRUWHGE\DOOUHFLSLHQW67$V


 &KDQQHO:LGWKVHOHFWLRQIRU&RQWUROIUDPHV

 Change the 2nd paragraph as follows:


 ,ID9+7RU+(67$WUDQVPLWVWRDQRWKHU9+7RU+(67$D&RQWUROIUDPHWKDWLVQRWDQ576IUDPHRUD
 &)(QGIUDPHLIWKDW&RQWUROIUDPHLVDQ+(1'3$QQRXQFHPHQWIUDPHRUHOLFLWVDFRQWUROUHVSRQVHIUDPH
 RUD9+7&RPSUHVVHG%HDPIRUPLQJIUDPHRUDQ+(&RPSUHVVHG%HDPIRUPLQJ&4,IUDPHDQG

 ² ,IWKH&RQWUROIUDPHLVWUDQVPLWWHGLQDQRQ+7GXSOLFDWH33'8 FKDQQHOZLGWK0+]RUZLGHU 
 WKHWUDQVPLWWLQJ9+7RU+(67$VKDOOVHWWKH7$ILHOGWRDEDQGZLGWKVLJQDOLQJ7$
 ² ,I WKH &RQWURO IUDPH LV WUDQVPLWWHG LQ D QRQ+7 33'8 FKDQQHO ZLGWK  0+]  WKH WUDQVPLWWLQJ

9+7RU+(67$PD\VHWWKH7$ILHOGWRDEDQGZLGWKVLJQDOLQJ7$



























&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 0RGXODWLRQFODVVHV


Change Table 10-9 (Modulation classes) as follows:



 7DEOH²0RGXODWLRQFODVVHV


 &RQGLWLRQWKDWVHOHFWVWKLVPRGXODWLRQFODVV

 &ODXVH '666
 3+<VSHFLILFDWLRQIRU
 WKH*+]EDQG
 GHVLJQDWHGIRU,60
 DSSOLFDWLRQV WR
 &ODXVH ([WHQGHG
 5DWH3+< (53 
 VSHFLILFDWLRQ 3+<V
 'HVFULSWLRQRI RU&ODXVH
&ODXVH +LJK &ODXVH 9HU\+LJK
 PRGXODWLRQ 'LUHFWLRQDOPXOWL &ODXVH +LJK
WKURXJKSXW +7  7KURXJKSXW 9+7 
 JLJDELW '0* 3+< (IILFLHQF\ +( 3+<
3+<VSHFLILFDWLRQ  3+<VSHFLILFDWLRQ 
 VSHFLILFDWLRQ 3+<RU VSHFLILFDWLRQ
3+< 3+<
 &ODXVH &KLQD
 GLUHFWLRQDOPXOWL
 JLJDELW &'0* 
 3+<VSHFLILFDWLRQ 
 3+<RU&ODXVH
 &KLQDPLOOLPHWHU
 ZDYHPXOWLJLJDELW
 &00* 3+<
 VSHFLILFDWLRQ 3+<

 '666DQG+5 &ODXVH '6663+< )250$7LV 1$ )250$7LV
 '666 VSHFLILFDWLRQIRUWKH 121B+7 121B+7
 *+]EDQGGHVLJ 121B+7B02'8/$ 121B+7B02'8/$

QDWHGIRU,60 7,21LV(53'666RU 7,21LV(53'666RU

 DSSOLFDWLRQV RU (53&&. (53&&.
 &ODXVH +LJKUDWH
 GLUHFWVHTXHQFHVSUHDG
 VSHFWUXP +5'666 
 3+<VSHFLILFDWLRQ 
 WUDQVPLVVLRQ

 (532)'0  (53RSHUDWLQJ )250$7LV 1$ )250$7LV
 VSHFLILFDWLRQV JHQ 121B+7 121B+7
 HUDO WUDQVPLVVLRQ 121B+7B02'8/$ 121B+7B02'8/$
 7,21LV(532)'0 7,21LV(532)'0

 2)'0 &ODXVH 2UWKRJR )250$7LV )250$7LV )250$7LV
 QDOIUHTXHQF\GLYLVLRQ 121B+7 121B+7 121B+7

PXOWLSOH[LQJ 2)'0  121B+7B02'8/$ 121B+7B02'8/$ 121B+7B02'8/$

 3+<VSHFLILFDWLRQ  7,21LV2)'0RU 7,21LV2)'0 7,21LV2)'0
 WUDQVPLVVLRQ 121B+7B'83B2)' RU RU
 0 121B+7B'83B2)' 121B+7B'83B2)'
 0 0

 +7 1$ )250$7LV+7B0) )250$7LV+7B0) )250$7LV+7B0)
 RU+7B*) RU+7B*) RU+7B*)





 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²0RGXODWLRQFODVVHV(continued)


 &RQGLWLRQWKDWVHOHFWVWKLVPRGXODWLRQFODVV

 &ODXVH '666
 3+<VSHFLILFDWLRQIRU
 WKH*+]EDQG
 GHVLJQDWHGIRU,60
 DSSOLFDWLRQV WR
 &ODXVH ([WHQGHG
 5DWH3+< (53 
 VSHFLILFDWLRQ 3+<V
 RU&ODXVH
 'HVFULSWLRQRI &ODXVH +LJK &ODXVH 9HU\+LJK
PRGXODWLRQ 'LUHFWLRQDOPXOWL &ODXVH +LJK
 WKURXJKSXW +7  7KURXJKSXW 9+7 
JLJDELW '0* 3+< (IILFLHQF\ +( 3+<
 3+<VSHFLILFDWLRQ  3+<VSHFLILFDWLRQ 
VSHFLILFDWLRQ 3+<RU VSHFLILFDWLRQ
 3+< 3+<
&ODXVH &KLQD
 GLUHFWLRQDOPXOWL
 JLJDELW &'0* 
 3+<VSHFLILFDWLRQ 
 3+<RU&ODXVH
 &KLQDPLOOLPHWHU
 ZDYHPXOWLJLJDELW
 &00* 3+<
 VSHFLILFDWLRQ 3+<

 '0*&RQWURO &ODXVH 'LUHF 1$ 1$ 1$
 WLRQDOPXOWLJLJDELW
 '0* 3+<VSHFLIL
 FDWLRQ WUDQVPLVVLRQ
 DQG0&6LV

 '0*6& &ODXVH 'LUHF 1$ 1$ 1$
 WLRQDOPXOWLJLJDELW
 '0* 3+<VSHFLIL
 FDWLRQ WUDQVPLVVLRQ
 DQG  d 0&6 d 

 '0*/RZ &ODXVH 'LUHF 1$ 1$ 1$
 SRZHU6& WLRQDOPXOWLJLJDELW
 '0* 3+<VSHFLIL
 FDWLRQ WUDQVPLVVLRQ
 DQG  d 0&6 d 

 9+7 1$ 1$ )250$7LV9+7 )250$7LV9+7

 &'0*&RQWURO &ODXVH &KLQD 1$ 1$ 1$
 GLUHFWLRQDOPXOWLJLJD
 ELW &'0* 3+<
 VSHFLILFDWLRQ WUDQV
 PLVVLRQDQG0&6LV

 &'0*6& &ODXVH &KLQD 1$ 1$ 1$
 GLUHFWLRQDOPXOWLJLJD
 ELW &'0* 3+<

VSHFLILFDWLRQ WUDQV

 PLVVLRQDQG
  d 0&6 d 






&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²0RGXODWLRQFODVVHV(continued)


 &RQGLWLRQWKDWVHOHFWVWKLVPRGXODWLRQFODVV

 &ODXVH '666
 3+<VSHFLILFDWLRQIRU
 WKH*+]EDQG
 GHVLJQDWHGIRU,60
 DSSOLFDWLRQV WR
 &ODXVH ([WHQGHG
 5DWH3+< (53 
 VSHFLILFDWLRQ 3+<V
 RU&ODXVH
 'HVFULSWLRQRI &ODXVH +LJK &ODXVH 9HU\+LJK
PRGXODWLRQ 'LUHFWLRQDOPXOWL &ODXVH +LJK
 WKURXJKSXW +7  7KURXJKSXW 9+7 
JLJDELW '0* 3+< (IILFLHQF\ +( 3+<
 3+<VSHFLILFDWLRQ  3+<VSHFLILFDWLRQ 
VSHFLILFDWLRQ 3+<RU VSHFLILFDWLRQ
 3+< 3+<
&ODXVH &KLQD
 GLUHFWLRQDOPXOWL
 JLJDELW &'0* 
 3+<VSHFLILFDWLRQ 
 3+<RU&ODXVH
 &KLQDPLOOLPHWHU
 ZDYHPXOWLJLJDELW
 &00* 3+<
 VSHFLILFDWLRQ 3+<

 &'0*/RZ &ODXVH &KLQD 1$ 1$ 1$

SRZHU6& GLUHFWLRQDOPXOWLJLJD

 ELW &'0* 3+<
 VSHFLILFDWLRQ WUDQV
 PLVVLRQDQG
  d 0&6 d 

 &00*&RQWURO &ODXVH &KLQDPLO 1$ 1$ 1$
 OLPHWHUZDYHPXOWL
 JLJDELW &00* 3+<
 VSHFLILFDWLRQ WUDQV

PLVVLRQDQG0&6LV


&00*6& &ODXVH &KLQDPLO 1$ 1$ 1$

OLPHWHUZDYHPXOWL

 JLJDELW &00* 3+<
 VSHFLILFDWLRQ WUDQV
 PLVVLRQDQG
  d 0&6 d 

 &00*2)'0 &ODXVH &KLQDPLO 1$ 1$ 1$
 OLPHWHUZDYHPXOWL
 JLJDELW &00* 3+<
 VSHFLILFDWLRQ WUDQV

PLVVLRQDQG

 d 0&6 d 


 +( 1$ 1$ 1$ )250$7LV+(B68
 +(B(5B68+(B08
 RU+(B7%






 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 1RQ+7EDVLFUDWHFDOFXODWLRQ


 Change as follows:


 7KLVVXEFODXVHGHILQHVKRZWRFRQYHUWDQ+70&6RUD9+70&6RUDQ+(0&6WRDQRQ+7EDVLFUDWHIRU
 WKHSXUSRVHRIGHWHUPLQLQJWKHUDWHRIWKHUHVSRQVHIUDPH,WFRQVLVWVRIWZRVWHSVDVIROORZV

 D 8VHWKHPRGXODWLRQDQGFRGLQJUDWHGHWHUPLQHGIURPWKH+70&6 GHILQHGLQ 3DUDPHWHUVIRU
 +70&6V RU9+70&6 GHILQHGLQ 3DUDPHWHUVIRU9+70&6V RU+(0&6 GHILQHGLQ 
  3DUDPHWHUV IRU +(0&6V  WR ORFDWH D QRQ+7 UHIHUHQFH UDWH E\ ORRNXS LQWR 7DEOH

 1RQ+7UHIHUHQFHUDWH ,QWKHFDVHRIDQ0&6ZLWK8(40WKHPRGXODWLRQRIVWUHDPLVXVHG

 E 7KHQRQ+7EDVLFUDWHLVWKHKLJKHVWUDWHLQWKH%66%DVLF5DWH6HWWKDWLVOHVVWKDQRUHTXDOWRWKLV


QRQ+7UHIHUHQFHUDWH

 127(²7KHVHOHFWLRQRIDQRQ+7EDVLFUDWHIRUWKHIUDPHVHQWLQUHVSRQVHWRDQ+(33'8LVQRWLQIOXHQFHGE\'&0

 HQFRGLQJLQWKH+(33'8

 127(²,QD79:6EDQGWKHQRQ+7UHIHUHQFHUDWHLVVFDOHGDVGHVFULEHGLQ

 Change Table 10-10 (Non-HT reference rate) as follows:



 7DEOH²1RQ+7UHIHUHQFHUDWH


 &RGLQJUDWH 1RQ+7UHIHUHQFHUDWH
0RGXODWLRQ
 5 0EV

 %36.  

%36.  

 436.  

 436.  

 4$0  

 4$0  

4$0  

 4$0  

 4$0  

 4$0  

 4$0  

4$0  

 4$0  

 4$0  



 127(²,QD79:6EDQGWKHQRQ+7UHIHUHQFHUDWHLVVFDOHGDVGHVFULEHGLQ 6XSSRUWIRU121B+7DQG+7IRU
 PDWV 

 
 )RUH[DPSOHLIDQ+733'8WUDQVPLVVLRQXVHV4$0DQGFRGLQJUDWHRIWKHUHODWHGQRQ+7UHIHUHQFHUDWHLV0EV

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 5DWHVHOHFWLRQFRQVWUDLQWVIRU9+767$V


 $GGLWLRQDOUDWHVHOHFWLRQFRQVWUDLQWVIRU9+733'8V

 Replace the 1st paragraph with the following:


 $ 67$ VKRXOG QRW WUDQVPLW D 0+] RU 0+] 9+7 33'8 ZLWK D 9+70&6 166! WXSOH WKDW KDV
 9+70&6RUDQG166OHVVWKDQRUHTXDOWRWRDUHFHLYHU67$WKDWKDVPDUNHGDVXQVXSSRUWHGWKH
 +70&6ZLWKYDOXH9+70&6î 166± LQWKH5[0&6%LWPDVNVXEILHOGLQWKH6XSSRUWHG0&6 
 6HWILHOGLQWKH+7&DSDELOLWLHVHOHPHQWLWWUDQVPLWV7KHWUDQVPLVVLRQRID0+]RU0+]9+733'8 


ZLWK9+70&6JUHDWHUWKDQLVQRWVXEMHFWWRWKLVFRQVWUDLQW

 $67$VKRXOGQRWWUDQVPLWDQ0+]0+]RU0+]9+733'8ZLWKD9+70&6166! 
 WXSOHWKDWKDV9+70&6RUDQG166OHVVWKDQRUHTXDOWRWRDUHFHLYHU67$WKDWKDVPDUNHGDVXQVXS


SRUWHGWKH+70&6YDOXHVRIERWKî9+70&6î 166± DQGî9+70&6î 166± 
 LQWKH5[0&6%LWPDVNVXEILHOGLQWKH6XSSRUWHG0&66HWILHOGLQWKH+7&DSDELOLWLHVHOHPHQWLWWUDQVPLWV
 7KHWUDQVPLVVLRQRIDQ0+]0+]RU0+]9+733'8ZLWK9+70&6JUHDWHUWKDQLVQRW
 VXEMHFWWRWKLVFRQVWUDLQW


 +7&RQWUROILHOGRSHUDWLRQ


 Change as follows:


,IWKHYDOXHRIGRW+7&RQWURO)LHOG6XSSRUWHGLVWUXHD67$VKDOOVHWWKH+7&6XSSRUWVXEILHOGRIWKH+7 

 ([WHQGHG&DSDELOLWLHVILHOGRIWKH+7&DSDELOLWLHVHOHPHQWWRLQ+7&DSDELOLWLHVHOHPHQWVWKDWLWWUDQVPLWV
 ,IWKHYDOXHRIGRW9+7&RQWURO)LHOG2SWLRQ,PSOHPHQWHGLVWUXHD67$VKDOOVHWWKH+7&9+76XSSRUW
 VXEILHOGRIWKH9+7&DSDELOLWLHV,QIRUPDWLRQILHOGRIWKH9+7&DSDELOLWLHVHOHPHQWWRLQ9+7&DSDELOL
 WLHV HOHPHQWV WKDW LW WUDQVPLWV ,I GRW+(&RQWURO)LHOG2SWLRQ,PSOHPHQWHG LV WUXH D 67$ VKDOO VHW WKH

+7&+(6XSSRUWVXEILHOGLQWKH+(0$&&DSDELOLWLHV,QIRUPDWLRQILHOGWRRIWKH+(&DSDELOLWLHVHOH

 PHQWVWKDWLWWUDQVPLWV

 $67$WKDWKDVDYDOXHRIWUXHIRUDWOHDVWRQHRIGRW5'5HVSRQGHU2SWLRQ,PSOHPHQWHGGRW0&6)HHG
 EDFN2SWLRQ,PSOHPHQWHG DQG GRW$OWHUQDWH('&$$FWLYDWHG VKDOO VHW GRW+7&RQWURO)LHOG6XSSRUWHG RU

 GRW9+7&RQWURO)LHOG2SWLRQ,PSOHPHQWHGRUERWKWRWUXH$67$WKDWKDVDWOHDVWRQHRIGRW7562SWLRQ
 ,PSOHPHQWHG GRW20,2SWLRQ,PSOHPHQWHG GRW+(%65&RQWURO,PSOHPHQWHG GRW+(%45&RQWUR
 O,PSOHPHQWHG GRW5'5HVSRQGHU2SWLRQ,PSOHPHQWHG RU GRW655HVSRQGHU2SWLRQ,PSOHPHQWHG HTXDO WR 
 WUXHRUKDVGRW+(0&6)HHGEDFN2SWLRQ,PSOHPHQWHGJUHDWHUWKDQ]HURVKDOOVHWGRW+(&RQWURO)LHOG2S
 WLRQ,PSOHPHQWHGWRWUXH$Q+($3VKDOOVHWGRW+(&RQWURO)LHOG2SWLRQ,PSOHPHQWHGWRWUXH


 $Q+7YDULDQW+7&RQWUROILHOGVKDOOQRWEHSUHVHQWLQDIUDPHDGGUHVVHGWRD67$XQOHVVWKDW67$GHFODUHV
 VXSSRUWIRU+7&+7LQWKH+7([WHQGHG&DSDELOLWLHVILHOGRILWV+7&DSDELOLWLHVHOHPHQW VHH +7

 &RQWUROILHOG 


 $9+7YDULDQW+7&RQWUROILHOGVKDOOQRWEHSUHVHQWLQDIUDPHDGGUHVVHGWRD67$XQOHVVWKDW67$GHFODUHV
 VXSSRUWIRU+7&9+7LQWKH9+7&DSDELOLWLHV,QIRUPDWLRQILHOGRILWV9+7&DSDELOLWLHVHOHPHQWRULQWKH
 6*&DSDELOLWLHV,QIRUPDWLRQILHOGRI6*&DSDELOLWLHVHOHPHQWVWKDWLWWUDQVPLWV

 127(²$Q+767$WKDWGRHVQRWVXSSRUW+7& +7RU9+7YDULDQW WKDWUHFHLYHVD+7&IUDPHDGGUHVVHGWRDQRWKHU
 67$VWLOOSHUIRUPVWKH&5&RQWKHDFWXDOOHQJWKRIWKH03'8DQGXVHVWKH'XUDWLRQ,'ILHOGWRXSGDWHWKH1$9DV
 GHVFULEHGLQ 6HWWLQJDQGUHVHWWLQJWKH1$9 


 $Q+(YDULDQW+7&RQWUROILHOGVKDOOQRWEHSUHVHQWLQDIUDPHDGGUHVVHGWRD67$XQOHVVWKDW67$GHFODUHV
 VXSSRUWIRU+7&+(LQWKH+(0$&&DSDELOLWLHV,QIRUPDWLRQILHOGRIWKH+(&DSDELOLWLHVHOHPHQW7KH

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 +(YDULDQW+7&RQWUROILHOGFDUULHGLQWKHIUDPHPD\FRQWDLQRQHRUPRUH&RQWUROVXEILHOGVXQGHUWKHFRQ
 GLWLRQVOLVWHGLQ7DEOHD &RQGLWLRQVIRULQFOXGLQJ&RQWUROVXEILHOGYDULDQWV 



 7DEOHD²&RQGLWLRQVIRULQFOXGLQJ&RQWUROVXEILHOGYDULDQWV


 &RQWUROVXEILHOG
&RQGLWLRQ
 YDULDQW

 756 7KHWUDQVPLWWLQJ67$H[SHFWVDQ+(7%33'8WKDWIRO
 ORZVWKH756LQIRUPDWLRQDVGHVFULEHGLQ 5XOHV
 IRUVROLFLWLQJ8/08IUDPHV DQGWKHUHFLSLHQW67$KDVVHW
 WKH7566XSSRUWVXEILHOGLQWKH+(0$&&DSDELOLWLHV
 ,QIRUPDWLRQILHOGRIWKH+(&DSDELOLWLHVHOHPHQWVLWWUDQV
 PLWVWR
 20 7KHWUDQVPLWWLQJ67$FKDQJHVLWVRSHUDWLQJPRGHDV
 GHVFULEHGLQ 2SHUDWLQJPRGHLQGLFDWLRQ DQGWKH
 UHFLSLHQW67$KDVVHWWKH20&RQWURO6XSSRUWVXEILHOGLQ
 WKH+(0$&&DSDELOLWLHV,QIRUPDWLRQILHOGRIWKH+(
 &DSDELOLWLHVHOHPHQWVLWWUDQVPLWVWR

 +/$ 7KHWUDQVPLWWLQJ67$IROORZVWKH+(OLQNDGDSWDWLRQSUR
 FHGXUHDVGHVFULEHGLQ /LQNDGDSWDWLRQXVLQJWKH
 +/$&RQWUROVXEILHOG DQGWKHUHFLSLHQW67$KDVVHWWKH
 +(/LQN$GDSWDWLRQ6XSSRUWVXEILHOGLQWKH+(0$&
 &DSDELOLWLHV,QIRUPDWLRQILHOGRIWKH+(&DSDELOLWLHVHOH
 PHQWVLWWUDQVPLWVWRDQRQ]HURYDOXH

 %65 7KHWUDQVPLWWLQJ67$IROORZVWKHFRUUHVSRQGLQJEXIIHUVWD
 WXVUHSRUWSURFHGXUHDVGHVFULEHGLQ 08FDVFDGLQJ
 VHTXHQFH DQGWKHUHFLSLHQW67$KDVVHWWKH%656XSSRUW
 VXEILHOGLQWKH+(0$&&DSDELOLWLHV,QIRUPDWLRQILHOGRI
 WKH+(&DSDELOLWLHVHOHPHQWVLWWUDQVPLWVWR

 83+ 7KHWUDQVPLWWLQJ67$IROORZVWKH8/08RSHUDWLRQSURFH
 GXUHDVGHVFULEHGLQ 1RQ$367$EHKDYLRUIRU
 8/08RSHUDWLRQ 

 %45 7KHWUDQVPLWWLQJ67$IROORZVWKHEDQGZLGWKTXHU\UHSRUW
 SURFHGXUHDVGHVFULEHGLQ 8/08RSHUDWLRQ DQG
 WKHUHFLSLHQW67$KDVVHWWKH%456XSSRUWVXEILHOGLQWKH
 +(0$&&DSDELOLWLHV,QIRUPDWLRQILHOGRIWKH+(&DSDELO
 LWLHVHOHPHQWVLWWUDQVPLWVWR
 &$6 7KHWUDQVPLWWLQJ67$IROORZVHLWKHU

 ² 7KHUHYHUVHGLUHFWLRQSURWRFROSURFHGXUHGHVFULEHG 
 LQ  5HYHUVH 'LUHFWLRQ 3URWRFRO  DQG WKH
 UHFLSLHQW67$KDVVHWWKH5'5HVSRQGHURIWKH+7 
 ([WHQGHG&DSDELOLWLHVILHOGLQWKH+7&DSDELOLWLHV
 HOHPHQWVLWWUDQVPLWVWRRU
 ² 7KH 365 SURFHGXUH GHVFULEHG LQ  365
 EDVHG VSDWLDO UHXVH RSHUDWLRQ  DQG WKH UHFLSLHQW

67$KDVVHWWKH655HVSRQGHUVXEILHOGRIWKH+( 

 0$& &DSDELOLWLHV ,QIRUPDWLRQ ILHOG RI WKH +( 
 &DSDELOLWLHVHOHPHQWVLWWUDQVPLWVWR

21(6 7KHWUDQVPLWWLQJ67$LQFOXGHVDQ$&RQWUROVXEILHOGWKDW

FRQWDLQVD&RQWUROVXEILHOGZLWK&RQWURO,'VXEILHOGHTXDO

WRDQG&RQWURO,QIRUPDWLRQVXEILHOGHTXDOWRDOOVDQG

ZKRVHFRQWHQWFDQEHLJQRUHGE\WKH+(UHFLSLHQW67$




&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ,IWKH+7&RQWUROILHOGLVSUHVHQWLQDQ03'8DJJUHJDWHGLQDQ$03'8WKHQDOO03'8VRIWKHVDPH
 IUDPHW\SH LHKDYLQJWKHVDPHYDOXHIRUWKH7\SHVXEILHOGRIWKH)UDPH&RQWUROILHOG DJJUHJDWHGLQWKH

VDPH$03'8VKDOOFRQWDLQDQ+7&RQWUROILHOG7KH+7&RQWUROILHOGRIDOO03'8VFRQWDLQLQJWKH+7 

 &RQWUROILHOGDJJUHJDWHGLQWKHVDPH$03'8VKDOOEHVHWWRWKHVDPHYDOXH

 $Q+(67$WKDWWUDQVPLWVDIUDPHFRQWDLQLQJDQ$&RQWUROVXEILHOGVKDOOLQFOXGHDWOHDVWRQH&RQWUROVXE
 ILHOGLQWKH$&RQWUROVXEILHOGDQGWKH&RQWUROVXEILHOGVLQFOXGHGVKDOOEHVXSSRUWHGE\WKHUHFHLYLQJ67$V

XQOHVVWKH&RQWURO,'VXEILHOGLV


 $Q+(67$WKDWUHFHLYHVD&RQWUROVXEILHOGLQDQ$&RQWUROVXEILHOGZLWKD&RQWURO,'VXEILHOGYDOXHWKDWLV
 QRWUHFRJQL]HGRUQRWVXSSRUWHGE\WKH+(67$VKDOOLJQRUHWKH&RQWUROVXEILHOGDQGWKHUHPDLQGHURIWKH$
 &RQWUROVXEILHOG,IPRUHWKDQRQH&RQWUROVXEILHOGLVSUHVHQWLQDQ$&RQWUROVXEILHOGWKH&RQWUROVXEILHOGV

VKDOOQRWKDYHWKHVDPH&RQWURO,'YDOXH


 $Q+(67$WKDWUHFHLYHVD&RQWUROVXEILHOGZLWK&RQWURO,'VXEILHOGHTXDOWRVKDOOLJQRUHWKHUHPDLQGHU
 RIWKH$&RQWUROVXEILHOG


,IWKH+7YDULDQW+7&RQWUROILHOGLVSUHVHQWLQDQ03'8WKH'(,VXEILHOGSURYLGHVLQIRUPDWLRQRQWKH

 GURSHOLJLELOLW\RIWKHFRQWHQWVRIWKHUHFHLYHG03'8:KHQWKHUHDUHLQVXIILFLHQWUHVRXUFHVLQD67$WKH
 67$DUELWUDULO\GLVFDUGVIUDPHVLQRUGHUWRUHFRYHUIURPWKHODFNRIUHVRXUFHV:LWKWKHLQIRUPDWLRQIURPWKH
 '(,VXEILHOGD67$PD\VHOHFWLYHO\GURSIUDPHVZLWKWKH'(,VXEILHOGVHWWRLQSUHIHUHQFHWRIUDPHVZLWK 
 WKH'(,VXEILHOGVHWWRLIUHVRXUFHVDUHLQVXIILFLHQW1RWHWKDWWKLVPLJKWQRWKHOSLQWKHUHFRYHU\LQDOOFRQ

GLWLRQVDQGWKH67$PLJKWVWLOOKDYHWRIDOOEDFNWRWKHDUELWUDU\GLVFDUGVWUDWHJ\7KHPHFKDQLVPVIRUGHWHU

 PLQLQJZKHWKHUUHVRXUFHVDUHLQVXIILFLHQWRUZKHQWRGLVFDUG06'8VRU$06'8VDUHEH\RQGWKHVFRSHRI
 WKLVVWDQGDUG

 ,I WKH YDOXH RI GRW6*&RQWURO)LHOG2SWLRQ,PSOHPHQWHG LV WUXH DQ 6* 67$ VKDOO VHW WKH +7&9+7


&DSDEOHVXEILHOGRIWKH6*&DSDELOLWLHV,QIRUPDWLRQILHOGRIWKH6*&DSDELOLWLHVHOHPHQWWKDWLWWUDQVPLWV

 WR

 $Q6*VKDOOQRWXVHDQ+7&RQWUROILHOGRWKHUWKDQD9+7YDULDQW+7&RQWUROILHOG$Q6*67$VKDOOQRW
 XVHD9+7YDULDQW+7&RQWUROILHOGIRUDQ\SXUSRVHRWKHUWKDQOLQNDGDSWDWLRQ VHH /LQNDGDSWDWLRQ


XVLQJWKH9+7YDULDQW+7&RQWUROILHOG 




&RQWURO:UDSSHURSHUDWLRQ

 Change as follows:

 $67$VXSSRUWLQJWKH+7&RQWUROILHOGWKDWUHFHLYHVD&RQWURO:UDSSHUIUDPHVKDOOSURFHVVLWDVWKRXJKLW

 UHFHLYHGDIUDPHRIWKHVXEW\SHRIWKHZUDSSHGIUDPH$Q+(67$VKDOOQRWVHQGD&RQWURO:UDSSHUIUDPH
 WRDQRWKHU+(67$


 $06'8RSHUDWLRQ

 Change the 3rd paragraph as follows:


 ,IWKH$06'8)UDJPHQWDWLRQ6XSSRUWVXEILHOGLQWKH0$&&DSDELOLWLHV,QIRUPDWLRQILHOGLQWKH+(&DSD
 ELOLWLHVHOHPHQWWUDQVPLWWHGE\WKHUHFLSLHQW67$LVWKHQDQ$Q$06'8VKDOOEHFDUULHGZLWKRXWIUDJ
 PHQWDWLRQ ZLWKLQ D VLQJOH 4R6 'DWD IUDPH ,I WKH $06'8 )UDJPHQWDWLRQ 6XSSRUW VXEILHOG LQ WKH +(

 &DSDELOLWLHVHOHPHQWWUDQVPLWWHGE\WKHUHFLSLHQW67$LVWKHQDQ$06'8PD\EHIUDJPHQWHGDQGHDFK 

IUDJPHQWVHQWWRWKHUHFLSLHQWLQD4R6'DWDIUDPH


 Change the 5th paragraph as follows:

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KHFKDQQHODFFHVVUXOHVIRUD4R6'DWDIUDPHFDUU\LQJDQ$06'8 RUDIUDJPHQWWKHUHRI DUHWKHVDPHDV


 D'DWDIUDPHFDUU\LQJDQ06'8 RUIUDJPHQWWKHUHRI RIWKHVDPH7,'


 Change the 16th paragraph as follows:

 $67$VKDOOVXSSRUWWKHUHFHSWLRQRIDQ$06'8ZKHUHWKH$06'8LVFDUULHGLQD4R6'DWDIUDPHZLWK


1RUPDO$FNDFNSROLF\LQWKHIROORZLQJFDVHV

 ² %\DQ+767$ZKHQLIWKH$06'8LVQRWDJJUHJDWHGZLWKLQDQ$03'8

 ² %\D9+7RU+(67$ZKHQLIWKH$06'8LVVHQWDVDQ603'8
 ² )RUD&00*67$LIWKH$06'8LVQRWDJJUHJDWHGZLWKLQDQ$03'8


 Insert the following after the 17th paragraph:

 $Q +( 67$ VKDOO QRW WUDQVPLW DQ $06'8 WKDWLV FDUULHG LQ D 4R6 'DWD IUDPHIRU ZKLFKQR EORFN DFN


DJUHHPHQWH[LVWVDQGWKDWLVSDUWRIDQDFNHQDEOHGVLQJOH7,'$03'8XQOHVVWKHUHFLSLHQWKDVVHWWKH$

 06'81RW8QGHU%$,Q$FN(QDEOHG$03'86XSSRUWVXEILHOGLQWKH+(0$&&DSDELOLWLHV,QIRUPDWLRQ
 ILHOGRIWKH+(&DSDELOLWLHVHOHPHQWWR

 Change the 20th paragraph as follows:


 7KHOHQJWKRIDQ$06'8WUDQVPLWWHGLQD9+733'8RU+(33'8LVOLPLWHGE\WKHPD[LPXP03'8 
 VL]HVXSSRUWHGE\WKHUHFLSLHQW67$ VHH 7UDQVSRUWRI$03'8E\WKH3+<GDWDVHUYLFH 

 127(²$Q$06'8WKDWPHHWVWKH$06'8OHQJWKOLPLWIRUWUDQVPLVVLRQLQD9+733'8RU+(33'8PLJKW
 H[FHHGWKH$06'8OHQJWKOLPLWIRUDQ+733'8LQZKLFKFDVHLWFDQQRWEHUHWUDQVPLWWHGLQDQ+733'8

 127( ²6XSSRUW IRU $06'8 DJJUHJDWLRQ GRHV QRW DIIHFW WKH PD[LPXP VL]H RI 06'8 WUDQVSRUWHG E\ WKH 0$
 81,7'$7$SULPLWLYHV


 $03'8RSHUDWLRQ

 $03'8FRQWHQWV


 Change the 3rd paragraph as follows:

 :KHQ,IDQ$03'8FRQWDLQVPXOWLSOH4R6&RQWUROILHOGVWKHQELWVRIDOOWKH4R6&RQWUROILHOGVVKDOO
 KDYHWKHVDPHYDOXHDQGELWV±RIWKHVH4R6&RQWUROILHOGVWKDWKDYHWKHVDPHYDOXHLQELWV±VKDOOEH

 LGHQWLFDOKDYHWKHVDPHYDOXH

 $03'8OHQJWKOLPLWUXOHV


 Change as follows:

 $67$LQGLFDWHVLQWKH0D[LPXP$03'8/HQJWK([SRQHQWILHOGLQLWV+7&DSDELOLWLHVHOHPHQWWKHPD[L
 PXP$03'8OHQJWKWKDWLWFDQUHFHLYHLQDQ+733'8$67$LQGLFDWHVLQWKH0D[LPXP$03'8/HQJWK 

([SRQHQWILHOGLQLWV9+7&DSDELOLWLHVHOHPHQWWKHPD[LPXPOHQJWKRIWKH$03'8SUH(2)SDGGLQJWKDWLW

 FDQUHFHLYHLQD9+733'8$67$LQGLFDWHVLQWKH0D[LPXP$03'8/HQJWK([SRQHQWILHOGLQLWV6* 
 &DSDELOLWLHV HOHPHQW WKH PD[LPXP OHQJWK RI WKH $03'8 SUH(2) SDGGLQJ WKDW LW FDQ UHFHLYH LQ DQ 6*

 33'8$67$LQGLFDWHVLQWKH0D[LPXP$03'8/HQJWK([SRQHQWILHOGLQLWV'0*&DSDELOLWLHVHOHPHQW
 WKHPD[LPXP$03'8OHQJWKWKDWLWFDQUHFHLYH$67$LQGLFDWHVWKHPD[LPXPOHQJWKRIWKH$03'8SUH

(2)SDGGLQJWKDWLWFDQUHFHLYHLQDQ+(33'8LQWKH0D[LPXP$03'8/HQJWK([SRQHQWILHOGLQLWV+7 

 &DSDELOLWLHV9+7&DSDELOLWLHVDQG+(*+]%DQG&DSDELOLWLHVHOHPHQWV LISUHVHQW DQGWKH0D[LPXP$
 03'8/HQJWK([SRQHQW([WHQVLRQILHOGLQLWV+(&DSDELOLWLHVHOHPHQW

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $9+767$WKDWVHWVWKH0D[LPXP$03'8/HQJWK([SRQHQWILHOGLQLWV9+7&DSDELOLWLHVHOHPHQWWRD
 YDOXHLQWKHUDQJHWRVKDOOVHWWKH0D[LPXP$03'8/HQJWK([SRQHQWLQLWV+7&DSDELOLWLHVWRWKHVDPH

YDOXH$9+767$WKDWVHWVWKH0D[LPXP$03'8/HQJWK([SRQHQWILHOGLQWKH9+7&DSDELOLWLHVHOHPHQW

 WRDYDOXHODUJHUWKDQVKDOOVHWWKH0D[LPXP$03'8/HQJWK([SRQHQWLQLWV+7&DSDELOLWLHVHOHPHQWWR

 8VLQJ WKH 0D[LPXP $03'8 /HQJWK ([SRQHQW ILHOGV LQ WKH +7 &DSDELOLWLHV DQG 9+7 &DSDELOLWLHV +(

 &DSDELOLWLHVDQG+(*+]%DQG&DSDELOLWLHVHOHPHQWV LISUHVHQW WKH67$HVWDEOLVKHVDWDVVRFLDWLRQWKHPD[

LPXPOHQJWKRIDQ$03'8SUH(2)SDGGLQJWKDWFDQEHVHQWWRLW$Q+767$VKDOOEHFDSDEOHRIUHFHLYLQJ

 $03'8VRIOHQJWKXSWRWKHYDOXHLQGLFDWHGE\WKH0D[LPXP$03'8/HQJWK([SRQHQWILHOGLQLWV+7 
 &DSDELOLWLHVHOHPHQW$9+767$VKDOOEHFDSDEOHRIUHFHLYLQJ$03'8VZKHUHWKH$03'8SUH(2)SDG
 GLQJOHQJWKLVXSWRWKHYDOXHLQGLFDWHGE\WKH0D[LPXP$03'8/HQJWK([SRQHQWILHOGLQLWV9+7&DSDELO
 LWLHVHOHPHQW$Q6*67$WKDWVHWVWKH$03'86XSSRUWHGVXEILHOGLQWKH6*&DSDELOLWLHVHOHPHQWWR 

VKDOOEHFDSDEOHRIUHFHLYLQJ$03'8VZKHUHWKH$03'8SUH(2)SDGGLQJOHQJWKLVXSWRWKHYDOXHLQGL

 FDWHGE\WKH0D[LPXP$03'8/HQJWK([SRQHQWILHOGLQLWV6*&DSDELOLWLHVHOHPHQW

 $Q+(67$VKDOOEHFDSDEOHRIUHFHLYLQJ$03'8VZKHUHWKH$03'8SUH(2)SDGGLQJOHQJWKLVXSWRWKH
 YDOXHLQGLFDWHGE\WKH0D[LPXP$03'8/HQJWK([SRQHQWILHOGLQLWV+7&DSDELOLWLHVDQG9+7&DSDELOLWLHV


HOHPHQWVDQGWKH0D[LPXP$03'8/HQJWK([SRQHQW([WHQVLRQILHOGLQLWV+(&DSDELOLWLHVHOHPHQWLQWKH
 *+]RU*+]EDQGV$Q+(67$VKDOOEHFDSDEOHRIUHFHLYLQJ$03'8VZKHUHWKH$03'8SUH(2) 
 SDGGLQJOHQJWKLVXSWRWKHYDOXHLQGLFDWHGE\WKH0D[LPXP$03'8/HQJWK([SRQHQW([WHQVLRQILHOGLQWKH
 +(&DSDELOLWLHVHOHPHQWDQGWKH0D[LPXP$03'8/HQJWK([SRQHQWILHOGLQ+(*+]%DQG&DSDELOLWLHV
 HOHPHQWLQWKH*+]EDQG


 $67$VKDOOQRWWUDQVPLWDQ$03'8LQDQ+733'8WKDWLVORQJHUWKDQWKHYDOXHLQGLFDWHGE\WKH0D[LPXP 
 $03'8/HQJWK([SRQHQWILHOGLQWKH+7&DSDELOLWLHVHOHPHQWUHFHLYHGIURPWKHLQWHQGHGUHFHLYHU03'8V
 LQDQ$03'8FDUULHGLQDQ+733'8VKDOOEHOLPLWHGWRDPD[LPXPOHQJWKRIRFWHWV$67$VKDOOQRW
 WUDQVPLWDQ$03'8LQD9+733'8ZKHUHWKH$03'8SUH(2)SDGGLQJOHQJWKLVORQJHUWKDQWKHYDOXH


LQGLFDWHGE\WKH0D[LPXP$03'8/HQJWK([SRQHQWILHOGLQWKH9+7&DSDELOLWLHVHOHPHQWUHFHLYHGIURP 
 WKHLQWHQGHGUHFHLYHU$Q6*67$VKDOOQRWWUDQVPLWDQ$03'8LQDQ6*33'8ZKHUHWKH$03'8SUH
 (2)SDGGLQJOHQJWKILHOGLVORQJHUWKDQWKHYDOXHLQGLFDWHGE\WKH0D[LPXP$03'8/HQJWK([SRQHQWILHOG 
 LQWKH6*&DSDELOLWLHVHOHPHQWUHFHLYHGIURPWKHLQWHQGHGUHFHLYHU$67$VKDOOQRWWUDQVPLWDQ$03'8LQ
 D'0*33'8WKDWLVORQJHUWKDQWKHYDOXHLQGLFDWHGE\WKH0D[LPXP$03'8/HQJWK([SRQHQWILHOGLQWKH


'0*&DSDELOLWLHVHOHPHQWUHFHLYHGIURPWKHLQWHQGHGUHFHLYHU

 $67$VKDOOQRWWUDQVPLWDQ$03'8LQDQ+(33'8ZKHUHWKH$03'8SUH(2)SDGGLQJOHQJWKLVJUHDWHU
 WKDQWKHYDOXHLQGLFDWHGE\WKH0D[LPXP$03'8/HQJWK([SRQHQWILHOGLQWKH+7&DSDELOLWLHVDQG9+7 
 &DSDELOLWLHVHOHPHQWVDQGWKH0D[LPXP$03'8/HQJWK([SRQHQW([WHQVLRQILHOGLQLWV+(&DSDELOLWLHV

 HOHPHQWVUHFHLYHGIURPWKHLQWHQGHGUHFHLYHULQWKH*+]RU*+]EDQGV$67$VKDOOQRWWUDQVPLWDQ$
 03'8LQDQ+(33'8ZKHUHWKH$03'8SUH(2)SDGGLQJOHQJWKLVJUHDWHUWKDQWKHYDOXHLQGLFDWHGE\WKH
 0D[LPXP$03'8/HQJWK([SRQHQW([WHQVLRQILHOGLQWKH+(&DSDELOLWLHVHOHPHQWDQGWKH0D[LPXP$
 03'8/HQJWK([SRQHQWILHOGLQWKH+(*+]%DQG&DSDELOLWLHVHOHPHQWUHFHLYHGIURPWKHLQWHQGHGUHFHLYHU
 LQWKH*+]EDQG


 $Q6*67$VKDOOQRWWUDQVPLWDQ$03'8H[FHSWIRUDQ603'8WRDQ6*67$IURPZKLFKLWUHFHLYHGD
 IUDPHFRQWDLQLQJDQ6*&DSDELOLW\HOHPHQWZLWKWKH$03'86XSSRUWHGVXEILHOGHTXDOWR

 Change the title and content of 10.13.3 as follows:


 0LQLPXP03'86VWDUW6VSDFLQJILHOGUXOHV

 ,IWKHLQWHQGHGUHFHLYHULVDQRQ+(67$D$67$VKDOOQRWVWDUWWKHWUDQVPLVVLRQRIPRUHWKDQRQH03'8 

ZLWKLQWKHWLPHOLPLWGHVFULEHGLQWKH0LQLPXP03'86WDUW6SDFLQJILHOGGHFODUHGE\WKHLQWHQGHGUHFHLYHU,I

 WKHLQWHQGHGUHFHLYHULVDQ+(67$DQ+(67$VKDOOQRWVWDUWWKHWUDQVPLVVLRQRIPRUHWKDQRQH4R6'DWD
 IUDPH4R61XOOIUDPHRU0DQDJHPHQWIUDPHZLWKLQWKHWLPHOLPLWGHVFULEHGLQWKH0LQLPXP03'86WDUW

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 6SDFLQJILHOGGHFODUHGE\WKHLQWHQGHGUHFHLYHU7RVDWLVI\WKLVUHTXLUHPHQWWKHQXPEHURIRFWHWVEHWZHHQWKH
 VWDUWRIWZRFRQVHFXWLYH03'8VLQDQ$03'8NPHDVXUHGDWWKH3+<6$3VKDOOEHHTXDOWRRUJUHDWHU

WKDQPHHWWKHFRQGLWLRQGHILQHGE\(TXDWLRQ  


 t MMSS u r e 



 ­ t MMSS u r e  LIWKH$03'8LVQRWFDUULHGLQDQ+(7%33'8
Nt® MMSF
 ¯ t MMSS u  u r e  LIWKH$03'8LVFDUULHGLQDQ+(7%33'8
 

 ZKHUH


 t MMSS  LVWKHWLPH LQPLFURVHFRQGV GHILQHGLQWKH³(QFRGLQJ´FROXPQRI7DEOH 6XEILHOGVRI
 WKH$03'83DUDPHWHUVILHOG IRUDQ+767$RI7DEOH 6XEILHOGVRIWKH6*&DSDELO
 LWLHV,QIRUPDWLRQILHOG IRUDQ6*67$IRUWKHYDOXHRIWKH0LQLPXP03'86WDUW6SDFLQJ 

 ILHOGDQGRI7DEOH 6XEILHOGVRIWKH$03'83DUDPHWHUVVXEILHOG IRUD'0*67$IRU
 WKHYDOXHRIWKH0LQLPXP03'86WDUW6SDFLQJILHOG
 MMSF LVWKHYDOXHRIWKH03'8086SDFLQJ)DFWRUVXEILHOGRIWKH8VHU,QIRILHOGDGGUHVVHGWRWKH
 +(67$LQWKH7ULJJHUIUDPHVROLFLWLQJWKH+(7%33'8 VHH 7ULJJHUIUDPHIRU

 PDW
 r LVWKHYDOXHRIWKH3+<'DWD5DWH LQPHJDELWVSHUVHFRQG GHILQHGLQ 3DUDPHWHUVIRU
 +70&6V  IRU +7 33'8V LQ  3DUDPHWHUV IRU 9+70&6V  IRU 9+7 33'8V LQ 
 3DUDPHWHUV IRU 6*0&6V  IRU 6* 33'8V DQG LQ &ODXVH 'LUHFWLRQDO PXOWLJLJDELW


'0* 3+<VSHFLILFDWLRQ IRUD'0*67$

 ,IQHFHVVDU\LQRUGHUWRVDWLVI\WKLVUHTXLUHPHQWD67$VKDOODGGSDGGLQJEHWZHHQ03'8VLQDQ$03'8
 $Q\VXFKSDGGLQJVKDOOEHLQWKHIRUPRIRQHRUPRUH03'8GHOLPLWHUVZLWKWKH03'8/HQJWKILHOGVHWWR


 4R61XOOIUDPHVWUDQVPLWWHGE\'0*67$VDUHQRWVXEMHFWWRWKLVVSDFLQJLHQR03'8GHOLPLWHUVZLWK]HUR
 OHQJWKQHHGWREHLQVHUWHGDIWHUWKH03'8LPPHGLDWHO\SUHFHGLQJWKH4R61XOOIUDPHLQDQ$03'8



$03'8DJJUHJDWLRQRIJURXSDGGUHVVHG'DWDIUDPHV

 Change the second note following the first paragraph as follows:


 $67$WKDWLVQHLWKHUDQ$3QRUDPHVK67$VKDOOQRWWUDQVPLWDQ$03'8FRQWDLQLQJDQ03'8ZLWKDQ
 5$WKDWLVDJURXSDGGUHVV

 127(²$Q+7$3DQGDQ+7PHVK67$FDQWUDQVPLWDQ$03'8FRQWDLQLQJ03'8VZLWKDQ5$WKDWLVDJURXS

 DGGUHVV


 127(²$VD9+767$DQGDQ+(67$LVDQ+767$127(DOVRDSSOLHVWR9+7$3VDQG9+7PHVK67$V+(

 $3VDQG+(PHVK67$V

 Change the 4th paragraph as follows:


 :KHQ D 67$ WUDQVPLWV D 33'8 FRQWDLQLQJ DW OHDVW RQH $ 03'8 WKDW FRQWDLQV 03'8V ZLWK DQ 5$ WKDW LV D JURXS

 DGGUHVVWKHIROORZLQJVKDOODSSO\
 ² ,IWKH33'8LVDQ+733'8WUDQVPLWWHGE\DQ$3WKHPD[LPXP$03'8OHQJWKH[SRQHQWYDOXHLV

WKHPLQLPXPYDOXHLQWKH0D[LPXP$03'8/HQJWK([SRQHQWVXEILHOGRIWKH$03'83DUDPH

 WHUVILHOGRIWKH+7&DSDELOLWLHVHOHPHQWVDFURVVRIDOO+767$VDVVRFLDWHGZLWKWKHWUDQVPLWWLQJ$3

 RUDFURVVDOOSHHU+7PHVK67$V

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ² ,IWKH33'8LVDQ+733'8WUDQVPLWWHGE\DPHVK67$WKHPD[LPXP$03'8OHQJWKH[SRQHQW
 YDOXHLVWKHPLQLPXPYDOXHLQWKH0D[LPXP$03'8/HQJWK([SRQHQWVXEILHOGRIWKH$03'8


3DUDPHWHUVILHOGRIWKH+7&DSDELOLWLHVHOHPHQWRIDOOSHHU+7PHVK67$V

 ² ,IWKH33'8LVD9+733'8WKHYDOXHRIPD[LPXP$03'8OHQJWKH[SRQHQWYDOXHWKDWDSSOLHVLV

WKHPLQLPXPYDOXHLQWKH0D[LPXP$03'8/HQJWK([SRQHQWVXEILHOGVRIWKH$03'83DUDPH

 WHUVILHOGVRIWKH9+7&DSDELOLWLHVHOHPHQWVDFURVVDOO9+767$VDVVRFLDWHGZLWKWKHWUDQVPLWWLQJ
 $3RUDFURVVDOOSHHU9+7PHVK67$V

 ² ,IWKH33'8LVDQ+(33'8VHQWLQWKH*+]RU*+]EDQGWKHPD[LPXP$03'8OHQJWK 
 H[SRQHQWYDOXHLVWKHPLQLPXPYDOXHLQWKH0D[LPXP$03'8/HQJWK([SRQHQWVXEILHOGRIWKH
 9+7&DSDELOLWLHVHOHPHQWVDFURVVDOO+(67$VDVVRFLDWHGZLWKWKHWUDQVPLWWLQJ$3RUDFURVVDOOSHHU
 +(PHVK67$V

 ² ,IWKH33'8LVDQ+(33'8VHQWLQWKH*+]EDQGWKHPD[LPXP$03'8OHQJWKH[SRQHQWYDOXH
 LVWKHPLQLPXPYDOXHLQWKH0D[LPXP$03'8/HQJWK([SRQHQWVXEILHOGRIWKH+(*+]%DQG 
 &DSDELOLWLHVHOHPHQWVDFURVVDOO+(67$VDVVRFLDWHGZLWKWKHWUDQVPLWWLQJ$3RUDFURVVDOOSHHU+(


 PHVK67$V
 ² ,IWKH33'8LVD9+733'8WKHYDOXHRIPLQLPXP03'8VWDUWVSDFLQJYDOXHWKDWDSSOLHVLVWKH

 PD[LPXPYDOXHLQWKH0LQLPXP03'86WDUW6SDFLQJVXEILHOGVRIWKH$03'83DUDPHWHUVILHOGV
 RIWKH+7&DSDELOLWLHVHOHPHQWVDFURVVDOO9+767$VDVVRFLDWHGZLWKWKHWUDQVPLWWLQJ$3RUDFURVV
 DOOSHHU9+7PHVK67$VRIWKHWUDQVPLWWLQJPHVK67$

 ² ,IWKH33'8LVDQ+733'8WUDQVPLWWHGE\DQ$3WKHPLQLPXP03'8VWDUWVSDFLQJYDOXHWKDW
 DSSOLHV LV WKH PD[LPXP YDOXH LQ WKH 0LQLPXP 03'8 6WDUW 6SDFLQJ VXEILHOG RI WKH $ 03'8

 3DUDPHWHUVILHOGRIWKH+7&DSDELOLWLHVHOHPHQWDFURVVRIDOO+767$VDVVRFLDWHGZLWKWKHWUDQVPLW
 WLQJ$3RUDFURVVDOOSHHU+7PHVK67$V

 ² ,IWKH33'8LVDQ+733'8WUDQVPLWWHGE\DPHVK67$WKHPLQLPXP03'8VWDUWVSDFLQJYDOXH
 WKDWDSSOLHVLVWKHPD[LPXPYDOXHLQWKH0LQLPXP03'86WDUW6SDFLQJVXEILHOGRIWKH$03'8


 3DUDPHWHUVILHOGRIWKH+7&DSDELOLWLHVHOHPHQWRIDOOSHHU+7PHVK67$V
 ² ,IWKH33'8LVDQ+(33'8VHQWLQWKH*+]RU*+]EDQGWKHPLQLPXP03'8VWDUWVSDFLQJ 

 YDOXHLVWKHPD[LPXPYDOXHLQWKH0LQLPXP03'86WDUW6SDFLQJVXEILHOGRIWKH$03'83DUDP
 HWHUVILHOGRIWKH+7&DSDELOLWLHVHOHPHQWDFURVVDOO+(67$VDVVRFLDWHGZLWKWKHWUDQVPLWWLQJ$3RU
 DFURVVDOOSHHU+(PHVK67$V

 ² ,IWKH33'8LVDQ+(33'8VHQWLQWKH*+]EDQGWKHPLQLPXP03'8VWDUWVSDFLQJYDOXHLVWKH
 PD[LPXPYDOXHLQWKH0LQLPXP03'86WDUW6SDFLQJVXEILHOGRIWKH+(*+]%DQG&DSDELOLWLHV
 HOHPHQWVDFURVVDOO+(67$VDVVRFLDWHGZLWKWKHWUDQVPLWWLQJ$3RUDFURVVDOOSHHU+(PHVK67$V

 ² ,IWKH33'8LVD'0*33'8WKHPD[LPXP$03'8OHQJWKH[SRQHQWYDOXHWKDWDSSOLHVLVWKHPLQ
 LPXPYDOXHLQWKH0D[LPXP$03'8/HQJWK([SRQHQWVXEILHOGRIWKH$03'83DUDPHWHUVILHOG
 RIWKH'0*&DSDELOLWLHVHOHPHQWRIDOO'0*67$VDVVRFLDWHGZLWKWKH$3RU3&3

 ² ,IWKH33'8LVD'0*33'8WKHPLQLPXP03'8VWDUWVSDFLQJYDOXHWKDWDSSOLHVLVWKHPD[LPXP

 YDOXHLQWKH0LQLPXP03'86WDUW6SDFLQJVXEILHOGRIWKH$03'83DUDPHWHUVILHOGRIWKH'0*

 &DSDELOLWLHVHOHPHQWRIDOO'0*67$VDVVRFLDWHGZLWKWKH$3RU3&3
 ² ,IWKH33'8LVDQ6*33'8WKHYDOXHRIPD[LPXP$03'8OHQJWKH[SRQHQWYDOXHWKDWDSSOLHVLV

 WKHPLQLPXPYDOXHLQWKH0D[LPXP$03'8/HQJWK([SRQHQWVXEILHOGVRIWKH6*&DSDELOLWLHV
 ,QIRUPDWLRQILHOGRIWKH6*&DSDELOLWLHVHOHPHQWVDFURVVDOO6*67$VDVVRFLDWHGZLWKWKHWUDQVPLW
 WLQJ$3

 ² ,IWKH33'8LVDQ6*33'8WKHYDOXHRIPLQLPXP03'8VWDUWVSDFLQJYDOXHWKDWDSSOLHVLVWKH
 PD[LPXPYDOXHLQWKH0LQLPXP03'86WDUW6SDFLQJVXEILHOGVRIWKH6*&DSDELOLWLHV,QIRUPDWLRQ 
 ILHOGRIWKH6*&DSDELOLWLHVHOHPHQWVDFURVVDOO6*67$VDVVRFLDWHGZLWKWKHWUDQVPLWWLQJ$3


 Change the title of 10.13.6 as follows:

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $03'8SDGGLQJIRU9+7+(RU6*33'8


 Change the second to last paragraph as follows:

 $Q$03'8VXEIUDPHZLWK(2)VHWWRVKDOOQRWEHDGGHGDIWHUDQ\$03'8VXEIUDPHZLWK(2)VHWWR
 H[FHSWLIWKH$03'8VXEIUDPHLVLQDQDFNHQDEOHGVLQJOH7,'$03'8RUDFNHQDEOHGPXOWL7,'$


03'8 VHH $03'8FRQWHQWV 


 33'8GXUDWLRQFRQVWUDLQW

 Insert the following at the end of 10.14:


 $Q+(67$VKDOOQRWWUDQVPLWDQ+(33'8WKDWKDVDGXUDWLRQ DVGHWHUPLQHGE\WKH3+<7;7,0(FRQ
 ILUPSULPLWLYHGHILQHGLQ 3/0(7;7,0(FRQILUP WKDWLVJUHDWHUWKDQaPPDUMaxTimeGHILQHGLQ

 7DEOH +(3+<FKDUDFWHULVWLFV 


 /'3&RSHUDWLRQ


 Insert the following at the end of the subclause:

 $Q+(67$VKDOOQRWWUDQVPLWDIUDPHLQDQ+(33'8ZLWKWKH7;9(&725SDUDPHWHU)(&B&2',1*VHW

 WR/'3&B&2',1*XQOHVVIUDPHLVDGGUHVVHGWRDQ+(67$IRUZKLFKWKH/'3&&RGLQJ,Q3D\ORDGVXE
 ILHOGRIWKH+(&DSDELOLWLHVHOHPHQWUHFHLYHGIURPWKDW67$FRQWDLQHGDYDOXHRIDQGGRW+(/'3&
 &RGLQJ,Q3D\ORDG,PSOHPHQWHGLVWUXH


 +&)


 *HQHUDO

 Change the 3rd paragraph as follows:


 +&&$LVQRWXVHGE\HLWKHU'0*RU6*DQG+(67$V

 +&)FRQWHQWLRQEDVHGFKDQQHODFFHVV ('&$


 ('&$EDFNRIISURFHGXUH

 Change the 2nd paragraph as follows:


 )RUWKHSXUSRVHVRIWKLVVXEFODXVHWUDQVPLVVLRQIDLOXUHRIDQ03'8LVGHILQHGDVIROORZV


² $IWHUWUDQVPLWWLQJDQ03'8 HYHQLILWLVFDUULHGLQDQ$03'8RUDVSDUWRID9+7RU6*08

 33'8RUDVSDUWRIDQ+(0833'8WKDWLVVHQWXVLQJ7;9(&725SDUDPHWHU180B86(56! 
 WKDWUHTXLUHVDQLPPHGLDWHUHVSRQVH


‡ 7KH67$VKDOOZDLWIRUDWLPHRXWLQWHUYDORIGXUDWLRQD6,)67LPHD6ORW7LPHD5[3+<6WDUW
 'HOD\ VWDUWLQJ ZKHQ WKH 0$& UHFHLYHV D 3+<7;(1'FRQILUP SULPLWLYH ,I D 3+<
 5;67$57LQGLFDWLRQSULPLWLYHGRHVQRWRFFXUGXULQJWKHWLPHRXWLQWHUYDOWKHWUDQVPLVVLRQRI
 WKH03'8KDVIDLOHG

‡ ,ID3+<5;67$57LQGLFDWLRQSULPLWLYHGRHVRFFXUGXULQJWKHWLPHRXWLQWHUYDOWKH67$VKDOO

 ZDLW IRU WKH FRUUHVSRQGLQJ 3+<5;(1'LQGLFDWLRQ SULPLWLYH WR UHFRJQL]H D YDOLG UHVSRQVH
 03'8 VHH$QQH[ *  WKDW HLWKHU GRHV QRW KDYH D 7$ ILHOG RU LV VHQW E\ WKH UHFLSLHQW RI WKH

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 03'8UHTXLULQJDUHVSRQVH,IDQ\WKLQJHOVHLQFOXGLQJDQ\RWKHUYDOLGIUDPHLVUHFRJQL]HGWKH
 WUDQVPLVVLRQRIWKH03'8KDVIDLOHG

 ² 7KHQRQILQDO UH WUDQVPLVVLRQRIDQ03'8WKDWLVGHOLYHUHGXVLQJWKH*&5XQVROLFLWHGUHWU\UHWUDQV
 PLVVLRQSROLF\  8QVROLFLWHGUHWU\SURFHGXUH LVGHILQHGWREHDIDLOXUH

² ,QDOORWKHUFDVHVWKHWUDQVPLVVLRQRIWKH03'8KDVQRWIDLOHG


 Change the 4th and 5th paragraph as follows:

 7KHEDFNRIISURFHGXUHVKDOOEHLQYRNHGE\DQ('&$)ZKHQLIDQ\RIWKHIROORZLQJHYHQWVRFFXUV

 D $Q0$81,7'$7$UHTXHVWSULPLWLYHLVUHFHLYHGWKDWFDXVHVDIUDPHZLWKWKDW$&WREHTXHXHGIRU
 WUDQVPLVVLRQ VXFK WKDW RQH RIWKH WUDQVPLW TXHXHV DVVRFLDWHG ZLWK WKDW $& KDV QRZ EHFRPH QRQ
 HPSW\DQGDQ\RWKHUWUDQVPLWTXHXHVDVVRFLDWHGZLWKWKDW$&DUHHPSW\WKHPHGLXPLVEXV\RQWKH
 SULPDU\FKDQQHODVLQGLFDWHGE\DQ\RIWKHIROORZLQJ

 ² SK\VLFDO&6
 ² YLUWXDO&6

 ² DQRQ]HUR7;1$9WLPHUYDOXH
 ² D PHVK 67$ WKDW KDV GRW0&&$$FWLYDWHG WUXH DQG D QRQ]HUR 5$9 WLPHU YDOXH DQG WKH

 EDFNRIIFRXQWHUKDVDYDOXHRIIRUWKDW$&
 E 7KHWUDQVPLVVLRQRIWKH03'8LQWKHILQDO33'8WUDQVPLWWHGE\WKH7;23KROGHUGXULQJWKH7;23

 IRUWKDW$&KDVFRPSOHWHGDQGWKH7;1$9WLPHUKDVH[SLUHGWKH33'8GRHVQRWVROLFLWDQ+(7%



33'8DQGWKH$&ZDVDSULPDU\$& 6HH 
 F 7KHWUDQVPLVVLRQRIDQ03'8LQWKHLQLWLDO33'8RID7;23IDLOVDVGHILQHGLQWKLVVXEFODXVHWKH
 33'8GRHVQRWVROLFLW+(7%33'8DQGWKH$&ZDVDSULPDU\$&

 G 7KHWUDQVPLVVLRQDWWHPSWFROOLGHVLQWHUQDOO\ZLWKDQRWKHU('&$)RIDQ$&WKDWKDVKLJKHUSULRULW\
 WKDWLVWZRRUPRUH('&$)VLQWKHVDPH67$DUHJUDQWHGD7;23DWWKHVDPHWLPH

H 7KHWUDQVPLVVLRQRIDWOHDVWRQH03'8LQWKHILQDO33'8WUDQVPLWWHGE\WKH7;23KROGHUGXULQJ

 WKH7;23IRUWKDW$&KDVFRPSOHWHGWKH33'8FRQWDLQVDQ03'8WKDWVROLFLWVDQ+(7%33'8 
 DQGWKH7;1$9WLPHUKDVH[SLUHG
 I 7KHWUDQVPLVVLRQRIDOO03'8VLQWKHLQLWLDO33'8RID7;23IDLOVDVGHILQHGLQWKLVVXEFODXVH

 DQGWKH33'8FRQWDLQVDQ03'8WKDWVROLFLWVDQ+(7%33'8
 J ,IH[SOLFLWO\LQGLFDWHGVXFKDVLQ 1RQ$367$VFDQQLQJEHKDYLRU


,QDGGLWLRQWKHEDFNRIISURFHGXUHPD\EHLQYRNHGE\DQ('&$)ZKHQLI

 K 7KH WUDQVPLVVLRQ E\ WKH 7;23 KROGHU RI DQ 03'8 LQ D QRQLQLWLDO 33'8 RI D 7;23 IDLOV DV
 GHILQHGLQWKLVVXEFODXVHDQGDQ03'8LQWKHQRQLQLWLDO33'8GRHVQRWVROLFLWDQ+(7%33'8

 L 7KH WUDQVPLVVLRQ E\ WKH 7;23 KROGHU RI DOO 03'8V LQ D QRQLQLWLDO 33'8 RI D 7;23 IDLOV DV


GHILQHGLQWKLVVXEFODXVHDQGWKH33'8FRQWDLQVDQ03'8WKDWVROLFLWVDQ+(7%33'8

 Change the last two paragraphs as follows:

 ,IWKHEDFNRIISURFHGXUHLVLQYRNHGIRUUHDVRQD DERYHWKHYDOXHRI&:>$&@VKDOOEHOHIWXQFKDQJHG,IWKH


EDFNRIISURFHGXUHLVLQYRNHGIRUUHDVRQE DQGI DERYHWKHYDOXHRI&:>$&@VKDOOEHUHVHWWR&:PLQ>$&@

 ,IWKHEDFNRIISURFHGXUHLVLQYRNHGIRUUHDVRQF G H J K RUI L DERYHWKHYDOXHRI&:>$&@VKDOOEH
 XSGDWHGDVIROORZVEHIRUHLQYRNLQJWKHEDFNRIISURFHGXUH

 ² ,IWKH465&>$&@LVOHVVWKDQGRW6KRUW5HWU\/LPLW
 ‡ 465&>$&@VKDOOEHLQFUHPHQWHGE\
 ‡ &:>$&@VKDOOEHVHWWRWKHOHVVHURI&:PD[>$&@DQG465&>$&@î &:PLQ>$&@ ±

 ² (OVH

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ‡ 465&>$&@VKDOOEHVHWWR
 ‡ &:>$&@VKDOOEHVHWWR&:PLQ>$&@

 ² :KHQ GRW5REXVW$96WUHDPLQJ,PSOHPHQWHG LV WUXH DQG HLWKHU WKH 46'5&>$&@ RU WKH
 4/'5&>$&@ KDV UHDFKHG GRW6KRUW'(,5HWU\/LPLW RU GRW/RQJ'(,5HWU\/LPLW UHVSHFWLYHO\

&:>$&@VKDOOEHUHVHWWR&:PLQ>$&@

 127(²$Q+(67$XSGDWHVLWVORFDO0,%YDULDEOHVUHODWHGWR&:PLQDQG&:PD[DVGHILQHGLQ ('&$RSHUD
 WLRQXVLQJ08('&$SDUDPHWHUV 


 Insert the following at the end of the subclause:

 $IWHUWUDQVPLVVLRQRIDQ03'8LQDQ+(7%33'8DQ+(67$UHVXPHVWKH('&$EDFNRIISURFHGXUH

ZLWKRXWPRGLI\LQJ&:RUWKHEDFNRIIFRXQWHUIRUWKHDVVRFLDWHG('&$)UHJDUGOHVVRIZKHWKHUWKH67$KDV

 UHFHLYHGWKHFRUUHVSRQGLQJDFNQRZOHGJPHQWIUDPHLQUHVSRQVHWRWKH03'8VHQWLQWKH+(7%33'8

 2EWDLQLQJDQ('&$7;23


 Change the last paragraph as follows:

 $67$VKDOOVDYHWKH7;23KROGHUDGGUHVVIRUWKH%66LQZKLFKLWLVDVVRFLDWHGZKLFK7KH7;23KROGHU

DGGUHVVLVWKH0$&DGGUHVVIURPWKH$GGUHVVILHOGRIWKHIUDPHWKDWLQLWLDWHGDIUDPHH[FKDQJHVHTXHQFH

 H[FHSWZKHQLIWKLVLVD&76IUDPHLQZKLFKFDVHWKH7;23KROGHUDGGUHVVLVWKH$GGUHVVILHOG,IWKH
 7;23KROGHUDGGUHVVLVREWDLQHGIURPD&RQWUROIUDPHD9+767$RU+(67$VKDOOVDYHWKHQRQEDQG
 ZLGWKVLJQDOLQJ7$YDOXHREWDLQHGIURPWKH$GGUHVVILHOG,IDQRQ9+7QRQ+(67$UHFHLYHVDQ576 
 IUDPHZLWKWKH5$DGGUHVVPDWFKLQJWKH0$&DGGUHVVRIWKH67$DQGWKH0$&DGGUHVVLQWKH7$ILHOGLQ 

WKH576IUDPHPDWFKHVWKHVDYHG7;23KROGHUDGGUHVVWKHQWKH67$VKDOOVHQGWKH&76IUDPHDIWHU6,)6

 ZLWKRXWUHJDUGIRUDQGZLWKRXWUHVHWWLQJLWV1$9,ID9+767$RU+(67$UHFHLYHVDQ576IUDPHZLWK 
 WKH5$DGGUHVVPDWFKLQJWKH0$&DGGUHVVRIWKH67$DQGWKHQRQEDQGZLGWKVLJQDOLQJ7$YDOXHREWDLQHG 
 IURPWKH$GGUHVVILHOGLQWKH576IUDPHPDWFKHVWKHVDYHG7;23KROGHUDGGUHVVWKHQWKH67$VKDOOVHQG 
 WKH&76IUDPHDIWHU6,)6ZLWKRXWUHJDUGIRUDQGZLWKRXWUHVHWWLQJLWV1$9:KHQD67$UHFHLYHVDIUDPH

DGGUHVVHGWRLWWKDWUHTXLUHVDQLPPHGLDWHUHVSRQVHH[FHSWIRU576DQG7ULJJHUIUDPHV VHH 8/ 

 08 &6 PHFKDQLVP  LW VKDOO WUDQVPLW WKH UHVSRQVH LQGHSHQGHQW RI LWV 1$9 7KH VDYHG 7;23 KROGHU
 DGGUHVVVKDOOEHFOHDUHGZKHQWKH1$9LVUHVHWRUZKHQWKH1$9FRXQWVGRZQWR

 'XULQJDQ('&$7;23WKH$GGUHVVILHOGH[FOXGLQJWKH,QGLYLGXDO*URXSELWRIDOO&RQWUROIUDPHVVHQW

 E\DQ+(67$WKDWLVD7;23KROGHUDQGFDUULHGLQD33'8WKDWLVQRWDQ+(0833'8VKDOOEHVHWWRWKH
 VDPHDGGUHVVYDOXH

 Change the title of subclause 10.23.2.5 as follows:


 ('&$FKDQQHODFFHVVLQD9+7+(RU79+7%66


Insert the following after the 1st paragraph:


 ,IWKH0$&UHFHLYHVD3+<&&$LQGLFDWLRQSULPLWLYHZLWKWKHSHUELWPDSSDUDPHWHUSUHVHQWWKHSDUDPH
 WHULQGLFDWHVWKHEXV\LGOHVWDWXVRIHDFKRIWKH0+]VXEFKDQQHOVWKDWFRPSULVHWKHRSHUDWLQJFKDQQHO
 ZLGWK


 Change 4th paragraph as follows:


,ID67$LVSHUPLWWHGWREHJLQD7;23 DVGHILQHGLQ 2EWDLQLQJDQ('&$7;23 DQGWKH67$ 

 KDVDWOHDVWRQH06'8SHQGLQJIRUWUDQVPLVVLRQIRUWKH$&RIWKHSHUPLWWHG7;23WKH67$VKDOOSHUIRUP

 H[DFWO\RQHRIWKHIROORZLQJDFWLRQV

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 D 7UDQVPLWD0+]RU0+]PDVN33'8LIWKHVHFRQGDU\FKDQQHOWKHVHFRQGDU\0+]
 FKDQQHODQGWKHVHFRQGDU\0+]FKDQQHOZHUHLGOHGXULQJDQLQWHUYDORI3,)6LPPHGLDWHO\SUH

FHGLQJWKHVWDUWRIWKH7;23

 E 7UDQVPLWDQ0+]PDVN33'8RQWKHSULPDU\0+]FKDQQHOLIERWKWKHVHFRQGDU\FKDQQHODQG 
 WKHVHFRQGDU\0+]FKDQQHOZHUHLGOHGXULQJDQLQWHUYDORI3,)6LPPHGLDWHO\SUHFHGLQJWKHVWDUW

 RIWKH7;23
 F 7UDQVPLWD0+]PDVN33'8RQWKHSULPDU\0+]FKDQQHOLIWKHVHFRQGDU\FKDQQHOZDVLGOH

 GXULQJDQLQWHUYDORI3,)6GXUDWLRQ ',)6LIWKH33'8LVWUDQVPLWWHGLQWKH*+]EDQGRU 
 3,)6RWKHUZLVHLPPHGLDWHO\SUHFHGLQJWKHVWDUWRIWKH7;23

 G 7UDQVPLWD0+]PDVN33'8RQWKHSULPDU\0+]FKDQQHO
 H 5HVWDUWWKHFKDQQHODFFHVVDWWHPSWE\LQYRNLQJWKHEDFNRIISURFHGXUHDVVSHFLILHGLQ +&)



FRQWHQWLRQEDVHGFKDQQHODFFHVV ('&$ DVWKRXJKWKHPHGLXPLVEXV\RQWKHSULPDU\FKDQQHODV
 LQGLFDWHGE\HLWKHUSK\VLFDORUYLUWXDO&6DQGWKHEDFNRIIFRXQWHUKDVDYDOXHRI


I 7UDQVPLWD79+7B:RU79+7B::PDVN33'8LIWKHVHFRQGDU\79+7B:FKDQQHODQGWKH
 VHFRQGDU\79+7B:FKDQQHOZHUHLGOHGXULQJDQLQWHUYDORI3,)6LPPHGLDWHO\SUHFHGLQJWKHVWDUW
 RIWKH7;23

 J 7UDQVPLWD79+7B:RU79+7B::PDVN33'8LIWKHVHFRQGDU\79+7B:FKDQQHOZDVLGOH
 GXULQJDQLQWHUYDORI3,)6LPPHGLDWHO\SUHFHGLQJWKHVWDUWRIWKH7;23

 K 7UDQVPLWD79+7B:PDVN33'8RQWKHSULPDU\79+7B:FKDQQHO
 L 7UDQVPLWDQ+(0833'8ZLWKSUHDPEOHSXQFWXULQJLQ0+]ZKHUHLQWKHSUHDPEOHRQO\WKH

 VHFRQGDU\  0+] LV SXQFWXUHG LI WKH VHFRQGDU\  0+] FKDQQHO ZDV LGOH GXULQJ DQ LQWHUYDO RI
 3,)6LPPHGLDWHO\SUHFHGLQJWKHVWDUWRIWKH7;23

 M 7UDQVPLWDQ+(0833'8ZLWKSUHDPEOHSXQFWXULQJLQ0+]ZKHUHLQWKHSUHDPEOHRQO\RQHRI
 WKHWZR0+]VXEFKDQQHOVLQWKHVHFRQGDU\0+]LVSXQFWXUHGLIWKHVHFRQGDU\0+]FKDQ
 QHODQGRQHRIWKHWZR0+]VXEFKDQQHOVRIWKHVHFRQGDU\0+]ZHUHLGOHGXULQJDQLQWHUYDO
 RI3,)6LPPHGLDWHO\SUHFHGLQJWKHVWDUWRIWKH7;23

 N 7UDQVPLWDQ+(0833'8ZLWKSUHDPEOHSXQFWXULQJLQ0+]RU0+]ZKHUHLQWKHSUL
 PDU\0+]RIWKHSUHDPEOHRQO\WKHVHFRQGDU\0+]LVSXQFWXUHGLIWKHVHFRQGDU\0+]
 FKDQQHODQGDWOHDVWRQHRIWKHIRXU0+]VXEFKDQQHOVLQWKHVHFRQGDU\0+]FKDQQHOZHUH

 LGOHGXULQJDQLQWHUYDORI3,)6LPPHGLDWHO\SUHFHGLQJWKHVWDUWRIWKH7;23
 O 7UDQVPLWDQ+(0833'8ZLWKSUHDPEOHSXQFWXULQJLQ0+]RU0+]ZKHUHLQWKHSUL


PDU\0+]RIWKHSUHDPEOHRQO\WKHSULPDU\0+]LVSUHVHQWLIWKHVHFRQGDU\0+]FKDQQHO
 DQGDWOHDVWRQHRIWKHIRXU0+]VXEFKDQQHOVLQWKHVHFRQGDU\0+]FKDQQHOZHUHLGOHGXULQJ

 DQLQWHUYDORI3,)6LPPHGLDWHO\SUHFHGLQJWKHVWDUWRIWKH7;23

 127(²,QWKHFDVHRIUXOHH WKH67$VHOHFWVDQHZUDQGRPQXPEHUXVLQJWKHFXUUHQWYDOXHRI&:>$&@DQGWKHUHWU\
 FRXQWHUVDUHQRWXSGDWHG DVGHVFULEHGLQ 0XOWLSOHIUDPHWUDQVPLVVLRQLQDQ('&$7;23 EDFNRIISURFHGXUH
 LQYRNHGIRUHYHQWD 

 127(²)RUERWKDQ+7DQGD9+767$DQ('&$7;23LVREWDLQHG$Q+79+7RU+(67$REWDLQVDQ('&$ 
 7;23EDVHGRQDFWLYLW\RQWKHSULPDU\FKDQQHO VHH 2EWDLQLQJDQ('&$7;23 7KHZLGWKRIWUDQVPLVVLRQ 
 LVGHWHUPLQHGE\WKH&&$VWDWXVRIWKHQRQSULPDU\FKDQQHOVGXULQJWKH3,)6DQLQWHUYDORIGXUDWLRQ ',)6LIWUDQVPLW
 WLQJLQWKH*+]EDQGRU 3,)6RWKHUZLVHEHIRUHWUDQVPLVVLRQ VHH9+7GHVFULSWLRQLQ 3URFHGXUHVFRPPRQ 
 WRWKH'&)DQG('&$) 

 127(²,QWKHFDVHRIUXOHM WKHUHLVRQO\RQHLGOH0+]VXEFKDQQHOLQWKHVHFRQGDU\0+]FKDQQHODQGWKH
 RWKHU0+]VXEFKDQQHOLQWKHVHFRQGDU\0+]LVSUHDPEOHSXQFWXUHG

 6KDULQJDQ('&$7;23


 Change paragraphs 1-3 as follows:

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KH$&DVVRFLDWHGZLWKWKH('&$)WKDWJDLQVDQ('&$7;23LVUHIHUUHGWRDVWKHSULPDU\$&)UDPHV
 IURP $&V RWKHU WKDQ WKH SULPDU\ $& VKDOO QRW EH LQFOXGHG LQ WKH 7;23 ZLWK WKH IROORZLQJ H[FHSWLRQV

7;23VKDULQJ 

 ² )UDPHVIURPDKLJKHUSULRULW\$&PD\EHLQFOXGHGZKHQDWOHDVWRQHIUDPHIURPWKHSULPDU\$&KDV
 EHHQ WUDQVPLWWHG DQG DOO IUDPHV IURP WKH SULPDU\ $& KDYH EHHQ WUDQVPLWWHG DQG IUDPHV IURP WKH

$& V  GHILQHG LQ  0XOWL7,' $03'8 DQG DFNHQDEOHG VLQJOH7,' $03'8  IRU +( 

 33'8V
 ² :KHQDQ$3VXSSRUWV'/080,020833'8VIUDPHVIURPDKLJKHURUORZHUSULRULW\$&PD\ 

EHLQFOXGHGLQD9+7RU6*0833'8ZLWKWKH7;9(&725SDUDPHWHU180B86(56!RUDQ

 +( 08 33'8 ZKHQ WKHVH IUDPHV GR QRW LQFUHDVH WKH GXUDWLRQ RI WKH 9+7 RU 6* EH\RQG WKDW
 UHTXLUHGIRUWKH WUDQVPLVVLRQVRIWKHIUDPHVRIWKHSULPDU\$&WDUJHWLQJXSWRIRXU67$V LILWLV
 WUDQVPLWWHGLQD9+70833'8,QDQRQ+(0833'8)IUDPHVIURPWKHSULPDU\$&VKDOOEH
 WUDQVPLWWHGILUVW7KHLQFOXVLRQRIVHFRQGDU\$&WUDIILFLQDQ+(0833'8LVGHVFULEHGLQ 

0XOWLSOHIUDPHWUDQVPLVVLRQLQDQ('&$7;23 7KHLQFOXVLRQRIVHFRQGDU\$&WUDIILFLQDQ+( 

 0833'8VKDOOQRWFDXVHWKH7;23OLPLWRIWKHSULPDU\$&WREHH[FHHGHG

 :KHQVKDULQJWKH7;23OLPLWWKDWDSSOLHVLVWKH7;23OLPLWRIWKHSULPDU\$&


 :LWK UHVSHFW WR DGPLVVLRQ FRQWURO VHH  &RQWHQWLRQ EDVHG DGPLVVLRQ FRQWURO SURFHGXUHV  DOO
 IUDPHVWUDQVPLWWHGXQGHU7;23VKDULQJVKDOOEHWUHDWHGDVLIWKH\ZHUHIURPWKHSULPDU\$&

 127(²$Q$3FDQSURWHFWDQLPPHGLDWHUHVSRQVHE\SUHFHGLQJWKH9+7RU6,*RUWKH+(0833'8 ZKLFKPLJKW
 KDYH 7;9(&725 SDUDPHWHU 180B86(56 !   ZLWK DQ 576&76 RU 08576 7ULJJHU&76 IUDPH H[FKDQJH RU D
 &76WRVHOIWUDQVPLVVLRQ

 0XOWLSOHIUDPHWUDQVPLVVLRQLQDQ('&$7;23



Change the 1st paragraph as follows:

 $IUDPHH[FKDQJHLQWKHFRQWH[WRIPXOWLSOHIUDPHWUDQVPLVVLRQLQDQ('&$7;23PD\EHRQHRIWKHIRO
 ORZLQJ

 ² $ IUDPH QRW UHTXLULQJ LPPHGLDWH DFNQRZOHGJPHQW VXFK DV D JURXS DGGUHVVHG IUDPH RU D IUDPH
 WUDQVPLWWHGZLWKDQDFNSROLF\WKDWGRHV QRWUHTXLUHLPPHGLDWHDFNQRZOHGJPHQW RUDQ$03'8 
 FRQWDLQLQJRQO\VXFKIUDPHV

 ² $IUDPHUHTXLULQJLPPHGLDWHDFNQRZOHGJPHQW VXFKDVDQLQGLYLGXDOO\DGGUHVVHGIUDPHWUDQVPLWWHG

 ZLWKDQDFNSROLF\WKDWUHTXLUHVLPPHGLDWHDFNQRZOHGJPHQW RUDQ$03'8FRQWDLQLQJDWOHDVWRQH
 VXFKIUDPHIROORZHGDIWHU6,)6E\DFRUUHVSRQGLQJDFNQRZOHGJPHQWIUDPH

 ² $WULJJHULQJIUDPHRUDQ$03'8FRQWDLQLQJDWOHDVWRQHVXFKIUDPHIROORZHGDIWHU6,)6E\DQ+(

 7%33'8ZKHUHWKH+(7%33'8LVRSWLRQDOO\IROORZHGDIWHU6,)6E\DQDFNQRZOHGJPHQW

 ² (LWKHU
 ² D9+71'3$QQRXQFHPHQWIUDPHIROORZHGDIWHU6,)6E\D9+71'3IROORZHGDIWHU6,)6E\D
 33'8FRQWDLQLQJRQHRUPRUH9+7&RPSUHVVHG%HDPIRUPLQJIUDPHVRU

 ² D%HDPIRUPLQJ5HSRUW3ROOIUDPHIROORZHGDIWHU6,)6E\D33'8FRQWDLQLQJRQHRUPRUH9+7 
 &RPSUHVVHG%HDPIRUPLQJIUDPHV
 ² DQ+(1'3$QQRXQFHPHQWIUDPHIROORZHGDIWHU6,)6E\DQ+(VRXQGLQJ1'3IROORZHGDIWHU
 6,)6E\D33'8FRQWDLQLQJRQHRUPRUH+(&RPSUHVVHG%HDPIRUPLQJ&4,IUDPHVRU

 ² D EURDGFDVW +( 1'3 $QQRXQFHPHQW IUDPH IROORZHG DIWHU 6,)6 E\ DQ +( VRXQGLQJ 1'3 
 IROORZHGDIWHU6,)6E\D%)537ULJJHUIUDPHIROORZHGE\+(7%33'8VRU
 ² D %)53 7ULJJHU IUDPH IROORZHG DIWHU 6,)6 E\ DQ +( 7% 33'8 FRQWDLQLQJ RQH RU PRUH +(

 &RPSUHVVHG%HDPIRUPLQJ&4,IUDPHV


 Change the paragraphs 7-9 as follows:

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ,ID 7;23LVSURWHFWHG E\ DQ 576 RU&76IUDPHFDUULHGLQ DQRQ+7RU DQRQ+7GXSOLFDWH 33'8 WKH
 7;23KROGHUVKDOOVHWWKH7;9(&725SDUDPHWHU&+B%$1':,'7+RID33'8DVIROORZV

 ² 7REHWKHVDPHRUQDUURZHUWKDQWKH5;9(&725SDUDPHWHU&+B%$1':,'7+B,1B121B+7RI
 WKHODVWUHFHLYHG&76IUDPHLQWKHVDPH7;23LIWKH576IUDPHZLWKDEDQGZLGWKVLJQDOLQJ7$DQG
 7;9(&725SDUDPHWHU'<1B%$1':,'7+B,1B121B+7VHWWR'\QDPLFKDVEHHQVHQWE\WKH

 7;23KROGHULQWKHODVW576&76H[FKDQJH
 ² 2WKHUZLVHWREHWKHVDPHRUQDUURZHUWKDQWKH7;9(&725SDUDPHWHU&+B%$1':,'7+RIWKH

 576IUDPHWKDWKDVEHHQVHQWE\WKH7;23KROGHULQWKHODVW576&76H[FKDQJHLQWKHVDPH7;23

 ,ID7;23LVSURWHFWHGE\DQ085767ULJJHUIUDPHRU&76IUDPHFDUULHGLQDQRQ+7RUDQRQ+7GXSOL
 FDWH33'8WKH7;23KROGHUVKDOOVHWWKH7;9(&725SDUDPHWHU&+B%$1':,'7+RID33'8DVIRO

 ORZV
 ² 7REHWKHVDPHRUQDUURZHUWKDQWKH7;9(&725SDUDPHWHU&+B%$1':,'7+RIWKH08576 

 7ULJJHU IUDPH WKDW KDV EHHQ VHQW E\ WKH 7;23 KROGHU LQ WKH ODVW 08576 7ULJJHU&76 IUDPH
 H[FKDQJHLQWKHVDPH7;23LIWKH58$OORFDWLRQVXEILHOGVRIWKH085767ULJJHUIUDPHIRUDOO
 LQWHQGHGUHFHLYHUVDUHHTXDOWRDYDOXHWKDWFRUUHVSRQGVWRWKHFKDQQHOEDQGZLGWKWKDWLVLQGLFDWHGLQ
 WKH8/%:VXEILHOGLQWKH&RPPRQ,QIRILHOGRIWKH085767ULJJHUIUDPH

 ² 2WKHUZLVHWREHWKHVDPHRUQDUURZHUWKDQWKH7;9(&725SDUDPHWHU&+B%$1':,'7+RIWKH
 SUHFHGLQJ33'8WKDWLWKDVWUDQVPLWWHGLQWKHVDPH7;23


 ,IWKHUHLVQR576&76RU085767ULJJHU&76IUDPHH[FKDQJHLQQRQ+7GXSOLFDWHIRUPDWLQD7;23
 DQGWKH7;23LQFOXGHVDWOHDVWRQHQRQ+7GXSOLFDWHIUDPHH[FKDQJHWKDWGRHVQRWLQFOXGHD363ROOWKHQ

 WKH7;23KROGHUVKDOOVHWWKH&+B%$1':,'7+SDUDPHWHULQ7;9(&725RID33'8VHQWDIWHUWKHILUVW
 QRQ+7GXSOLFDWHIUDPHWKDWLVQRWD363ROOWREHWKHVDPHRUQDUURZHUWKDQWKH&+B%$1':,'7+SDUDP


HWHULQ7;9(&725RIWKHLQLWLDOIUDPHLQWKHILUVWQRQ+7GXSOLFDWHIUDPHH[FKDQJHLQWKHVDPH7;23

 ,IWKHUHLVQRQRQ+7GXSOLFDWHIUDPHH[FKDQJH LQD7;23WKH 7;23 KROGHUVKDOOVHWWKH7;9(&725 
 SDUDPHWHU &+B%$1':,'7+ RI D QRQLQLWLDO 33'8 WR EH WKH VDPH RU QDUURZHU WKDQ WKH 7;9(&725


 SDUDPHWHU&+B%$1':,'7+RIWKHSUHFHGLQJ33'8WKDWLWKDVWUDQVPLWWHGLQWKHVDPH7;23VXEMHFWWR
 WKHIROORZLQJFRQVWUDLQWV


² ,IWKHSUHFHGLQJ33'8LVD'/+(0833'8ZLWKSUHDPEOHSXQFWXUHWKH7;23KROGHUVKDOOVHW
 WKH 7;9(&725 SDUDPHWHU &+B%$1':,'7+ RI WKH QRQLQLWLDO 33'8 WR D YDOXH ZKRVH FRUUH
 VSRQGLQJ0+]FKDQQHOVDUHZLWKLQDVHWRI0+]FKDQQHOVZKHUHSUH+(PRGXODWHGILHOGVRI
 WKHSUHFHGLQJ33'8DUHORFDWHG

 ² ,IWKHQRQLQLWLDO33'8LVD'/+(0833'8ZLWKSUHDPEOHSXQFWXUHWKH7;23KROGHUVKDOOVHW
 WKH 7;9(&725 SDUDPHWHU 58B$//2&$7,21 RI WKHQRQLQLWLDO 33'8 WR D YDOXH ZKRVHFRUUH
 VSRQGLQJ58LVZLWKLQDVHWRI0+]FKDQQHOVZKHUHSUH+(PRGXODWHGILHOGVRIWKHSUHFHGLQJ

33'8DUHORFDWHG


 7;23OLPLWV


 Change as follows:

 7KHGXUDWLRQRID7;23LVWKHWLPHD67$REWDLQLQJD7;23 WKH7;23KROGHU PDLQWDLQVXQLQWHUUXSWHGFRQ

 WURORIWKHPHGLXPDQGLWLQFOXGHVWKHWLPHUHTXLUHGWRWUDQVPLWIUDPHVVHQWDVDQLPPHGLDWHUHVSRQVHWR7;23

 KROGHUWUDQVPLVVLRQV7KH7;23KROGHUVKDOOVXEMHFWWRWKHH[FHSWLRQVEHORZHQVXUHWKDWWKHGXUDWLRQRID
 7;23GRHVQRWH[FHHGWKH7;23OLPLWZKHQQRQ]HUR


 7KH7;23OLPLWVDUHDGYHUWLVHGE\WKH$3LQWKH('&$3DUDPHWHU6HWHOHPHQWLQ%HDFRQDQG3UREH5HVSRQVH
 IUDPHVWUDQVPLWWHGE\WKH$3

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $7;23OLPLWRILQGLFDWHVWKDWWKH7;23KROGHUPD\WUDQVPLWRUFDXVHWREHWUDQVPLWWHG DVUHVSRQVHV WKH


 IROORZLQJZLWKLQWKHFXUUHQW7;23

 D 2QHRIWKHIROORZLQJDWDQ\UDWHVXEMHFWWRWKHUXOHVLQ 0XOWLUDWHVXSSRUW


 2QHRUPRUH6833'8VFDUU\LQJIUDJPHQWVRIDVLQJOH06'8RU003'8
  $Q6833'8RUD9+70833'8RUDQ+(0833'8RUDQ+(7%33'8FDUU\LQJDVLQJOH
 06'8DVLQJOH003'8DVLQJOH$06'8RUDVLQJOH$03'8

  $9+7 08 33'8 RU DQ+(0833'8 FDUU\LQJ $03'8V WRGLIIHUHQW XVHUV D VLQJOH$
 03'8WRHDFKXVHU

  $4R61XOOIUDPHRU363ROOIUDPHWKDWLVQRWDQ363ROO%'7IUDPH
  $%DVLF7ULJJHUIUDPH%6537ULJJHUIUDPHRU%4537ULJJHUIUDPH

  $Q+(7%33'8FDUU\LQJ$03'8VIURPGLIIHUHQWXVHUV DVLQJOH$03'8IURPHDFKXVHU

 E $Q\UHTXLUHGDFNQRZOHGJPHQWV
 F $Q\IUDPHVUHTXLUHGIRUSURWHFWLRQLQFOXGLQJRQHRIWKHIROORZLQJ

  $Q576&76RU085767ULJJHU&76IUDPHH[FKDQJH

  &76WRLWVHOI
  'XDO&76DVVSHFLILHGLQ 'XDO&76SURWHFWLRQ

 G $Q\ IUDPHV UHTXLUHG IRU EHDPIRUPLQJ DV VSHFLILHG LQ  6RXQGLQJ 33'8V   9+7

 VRXQGLQJSURWRFRO  +(VRXQGLQJSURWRFRO DQG '0*EHDPIRUPLQJ 

 H $Q\ IUDPHV UHTXLUHG IRU OLQN DGDSWDWLRQ DV VSHFLILHG LQ  /LQN DGDSWDWLRQ  DQG  /LQN
 DGDSWDWLRQXVLQJWKH+(YDULDQW+7&RQWUROILHOG 


I $Q\ QXPEHU RI %ORFN$FN5HT 08%$5 7ULJJHU RU 0XOWL7,' %ORFN$FN5HT RU*&5 08%$5

 7ULJJHUIUDPHV

 127(²7KLVLVDUXOHIRUWKH7;23KROGHU$7;23UHVSRQGHUQHHGQRWEHDZDUHRIWKH7;23OLPLWQRURIZKHQWKH
 7;23ZDVVWDUWHG
 127(²7KLVUXOHSUHYHQWVWKHXVHRI5'%'7DQG7;23VKDULQJZKHQWKH7;23OLPLWLV


 :KHQGRW2&%$FWLYDWHGLVWUXH7;23OLPLWVVKDOOEHIRUHDFK$&

 7KH7;23KROGHUPD\H[FHHGWKH7;23OLPLWRQO\LILWGRHVQRWWUDQVPLWPRUHWKDQRQH'DWDRU0DQDJH
 PHQWIUDPHLQWKH7;23RQO\LILWGRHVQRWWUDQVPLWD'/080,0233'8LQWKH7;23DQGRQO\IRUWKH

 IROORZLQJVLWXDWLRQV
 ² 5HWUDQVPLVVLRQRIDQ03'8QRWLQDQ$03'8FRQVLVWLQJRIPRUHWKDQRQH03'8ZKHUHWKHVL]H

RIWKHUHWUDQVPLWWHG03'8LVWKHVDPHDVWKHLQLWLDOO\WUDQVPLWWHG03'8

 ² 7UDQVPLVVLRQRIDQ06'8RU003'8OHVVWKDQRFWHWVE\DQ6*QRQVHQVRU67$

 ² 7UDQVPLVVLRQRIDIUDJPHQWRIDQ06'8RU003'8WKHIUDJPHQWEHLQJOHVVWKDQRFWHWVE\DQ

 6*QRQVHQVRU67$

 ² ,QLWLDO WUDQVPLVVLRQ RI DQ 06'8 XQGHU D EORFN DFN DJUHHPHQW ZKHUH WKH 06'8 LV QRW LQ DQ $
 03'8FRQVLVWLQJRIPRUHWKDQRQH03'8DQGWKH06'8LVQRWLQDQ$06'8
 ² 7UDQVPLVVLRQRID&RQWUROIUDPHRUD4R61XOOIUDPHQRWLQDQ$03'8FRQVLVWLQJRIPRUHWKDQ

 RQH03'8
 ² ,QLWLDO WUDQVPLVVLRQ RI D QRQG\QDPLF IUDJPHQW RI DQ 06'8 RU 003'8 VHH  06'8 $
 06'8 DQG 003'8 IUDJPHQWDWLRQ  LI D SUHYLRXV IUDJPHQW RI WKDW 06'8 RU 003'8 ZDV

 UHWUDQVPLWWHG
 ² 7UDQVPLVVLRQRIDQRQG\QDPLFIUDJPHQWRIDQ06'8RU003'8IUDJPHQWHGLQWRIUDJPHQWV

 ² 7UDQVPLVVLRQRIWKHWKG\QDPLFIUDJPHQWRIDQ06'8RU003'8

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ² ,QLWLDOWUDQVPLVVLRQRIWKHILUVWG\QDPLFIUDJPHQWRIDQ06'8RU003'8ZKHUHWKHVL]HRIWKH
 ILUVWIUDJPHQWLVHTXDOWRWKHPLQLPXPIUDJPHQWVL]HVSHFLILHGE\WKHUHFHLYHU67$DQGWKH06'8


RU003'8LVQRWLQDQ$03'8FRQVLVWLQJRIPRUHWKDQRQH03'8

 ² 7UDQVPLVVLRQRIDQ$03'8FRQVLVWLQJRIWKHLQLWLDOWUDQVPLVVLRQRIDVLQJOH03'8QRWFRQWDLQLQJ
 DQ06'8DQGWKDWLVQRWDQLQGLYLGXDOO\DGGUHVVHG0DQDJHPHQWIUDPH

 ² 7UDQVPLVVLRQRIDJURXSDGGUHVVHG03'8QRWLQDQ$03'8FRQVLVWLQJRIPRUHWKDQRQH03'8
 ² 7UDQVPLVVLRQRIDQXOOGDWD33'8 1'3

 ² 7UDQVPLVVLRQ RI D 9+7 1'3 $QQRXQFHPHQW IUDPH DQG 1'3 RU WUDQVPLVVLRQ RI D %HDPIRUPLQJ
 5HSRUW3ROOIUDPHZKHUHWKHVHILWZLWKLQWKH7;23OLPLWDQGLWLVRQO\WKHUHVSRQVHDQGWKHLPPHGL
 DWHO\SUHFHGLQJ6,)6WKDWFDXVHWKH7;23OLPLWWREHH[FHHGHG

 ² 7UDQVPLVVLRQRIRQHRIWKHIROORZLQJVHTXHQFHVSURYLGHGWKDWWKHVHTXHQFHILWVZLWKLQWKH7;23 
 OLPLWDQGLWLVRQO\WKHUHVSRQVHDQGWKHLPPHGLDWHO\SUHFHGLQJ6,)6WKDWFDXVHVWKH7;23OLPLWWR
 EHH[FHHGHG

 ‡ $Q+(1'3$QQRXQFHPHQWIUDPHDQG+(VRXQGLQJ1'3
 ‡ $Q+(1'3$QQRXQFHPHQWIUDPHDQG+(VRXQGLQJ1'3DQG%)537ULJJHUIUDPH
 ‡ $%)537ULJJHUIUDPH


 ([FHSWDVGHVFULEHGDERYHD67$VKDOOIUDJPHQWDQLQGLYLGXDOO\DGGUHVVHG06'8RU003'8VRWKDWWKH
 LQLWLDOWUDQVPLVVLRQRIWKHILUVWIUDJPHQWGRHVQRWFDXVHWKH7;23OLPLWWREHH[FHHGHG

 127(²7KH7;23OLPLWLVQRWH[FHHGHGIRUWKHIROORZLQJVLWXDWLRQV
 ² ,QLWLDOWUDQVPLVVLRQRIDQ03'8FRQWDLQLQJDQXQIUDJPHQWHGWKRXJKIUDJPHQWDEOH VHHDQG )UDJ
 PHQWDWLRQDQGGHIUDJPHQWDWLRQ 06'8003'8

 ² ,QLWLDOWUDQVPLVVLRQRIWKHILUVWIUDJPHQWRIDIUDJPHQWHG06'8003'8H[FHSWIRUDQLIWKH06'8003'8 
 LVIUDJPHQWHGLQWRIUDJPHQWV
 ² ,QLWLDOWUDQVPLVVLRQRIDQ$06'8

² ,QLWLDOWUDQVPLVVLRQRIDQRQG\QDPLFIUDJPHQWRIDIUDJPHQWHG06'8003'8LIQRSUHYLRXVIUDJPHQWRI

 WKDW06'8003'8ZDVUHWUDQVPLWWHGH[FHSWIRUDQLIWKH06'8003'8LVIUDJPHQWHGLQWRIUDJPHQWV
 ² ,QLWLDO WUDQVPLVVLRQ RI D G\QDPLF IUDJPHQW RI D IUDJPHQWHG 06'8003'8 H[FHSW IRU HLWKHU WKH ILUVW
 G\QDPLFIUDJPHQWRIDIUDJPHQWHG06'8003'8XVLQJWKHPLQLPXPIUDJPHQWVL]HVSHFLILHGE\WKHUHFHLYHU
 67$RUWKHWKG\QDPLFIUDJPHQWRIDIUDJPHQWHG06'8003'8

² 7UDQVPLVVLRQRIDQ$03'8FRQVLVWLQJRIDVLQJOH03'8FRQWDLQLQJDQ$06'8RULQGLYLGXDOO\DGGUHVVHG

 0DQDJHPHQWIUDPHXQOHVVWKLVLVDUHWUDQVPLVVLRQRIWKDW03'8
 ² 7UDQVPLVVLRQRIDQ$03'8FRQVLVWLQJRIPRUHWKDQRQH03'8HYHQLIVRPHRUDOORIWKH03'8VDUHUHWUDQV
 PLVVLRQV
 ² 7UDQVPLVVLRQ RI D 7ULJJHU IUDPH RWKHU WKDQ D %)53 7ULJJHU IUDPH ZKHUH HLWKHU WKH 7ULJJHU IUDPH RU LWV

UHVSRQVHGRHVQRWILWZLWKLQWKH7;23OLPLW


 ,IWKH7;23KROGHUH[FHHGVWKH7;23OLPLWLWVKRXOGXVHDVKLJKD3+<UDWHDVSRVVLEOHWRPLQLPL]HWKH
 GXUDWLRQRIWKH7;23


7KH GXUDWLRQ RI D 7;23 IRU D PHVK 67$ WKDW KDV GRW0&&$$FWLYDWHG WUXH VKDOO QRW H[FHHG WKH WLPH

 EHWZHHQWKHVWDUWRIWKH7;23DQGWKHHQGRIWKHFXUUHQW0&&$23UHVHUYDWLRQ

127(²7KHUXOHVLQWKLVVXEFODXVHDOVRDSSO\WRSULRULW\GRZQJUDGHG06'8VDQG$06'8V VHH &RQWHQ

WLRQEDVHGDGPLVVLRQFRQWUROSURFHGXUHV 


 ,IWKH'XUDWLRQILHOGLQDIUDPHFDUULHGLQDQ+(7%33'8LVVHWWRWKH+(7%33'8VKDOOQRWLQFOXGHDQ\
 IUDPHVWKDWVROLFLWDFRQWUROUHVSRQVHIUDPHIURPWKH$3

 7UXQFDWLRQRI7;23


 Change the 7th paragraph as follows:

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ,QDQRQ'0*%66DQRQ6*QRQ+( 67$VKDOOLQWHUSUHWWKHUHFHSWLRQRID&)(QGIUDPHDVD1$9 
 UHVHWLHLWUHVHWVLWV1$9WRDWWKHHQGRIWKH33'8FRQWDLQLQJWKLVIUDPH$IWHUUHFHLYLQJD&)(QG

IUDPHZLWKDPDWFKLQJ%66,' 7$ ZLWKRXWFRPSDULQJ,QGLYLGXDO*URXSELWDQ$3PD\UHVSRQGE\WUDQV

 PLWWLQJD&)(QGIUDPHDIWHU6,)6$Q+(67$LQWHUSUHWVWKHUHFHSWLRQRID&)(QGIUDPHDVGHILQHGLQ 
  7UXQFDWLRQRI7;23 

 Change the 10th paragraph as follows:


 1RQ'0*QRQ6*QRQ+(67$VWKDWDUHQRW6*67$VWKDWUHFHLYHD&)(QGIUDPHUHVHWWKHLU1$9DQG
 FDQVWDUWFRQWHQGLQJIRUWKHPHGLXPZLWKRXWIXUWKHUGHOD\$Q+(67$WKDWUHFHLYHD&)(QGIUDPHPD\ 
 VWDUWFRQWHQGLQJIRUWKHPHGLXPZLWKRXWIXUWKHUGHOD\DVGHILQHGLQ 7UXQFDWLRQRI7;23 $'0* 

67$WKDWUHFHLYHVD&)(QGIUDPHFDQVWDUWFRQWHQGLQJIRUWKHPHGLXPDWWKHHQGRIWKHWLPHLQWHUYDOHTXDO

 WRWKHYDOXHLQ'XUDWLRQ,'ILHOGRIWKHIUDPHLIQRQHRILWV1$9VKDVDQRQ]HURYDOXH  8SGDWLQJ
 PXOWLSOH1$9V 

 7HUPLQDWLRQRI7;23


 Insert the following row at the end of Table 10-18 (Modulation classes eligible for TXOP termination) as
 follows:



7DEOH²0RGXODWLRQFODVVHVHOLJLEOHIRU7;23WHUPLQDWLRQ


 0RGXODWLRQFODVVHVHOLJLEOHIRU7;23
 WHUPLQDWLRQ VHH7DEOH

 +(




Change Table 10-19 (Rate and modulation class of a final transmission in a TXOP) as follows:



 7DEOH²5DWHDQGPRGXODWLRQFODVVRIDILQDOWUDQVPLVVLRQLQD7;23


 0RGXODWLRQFODVVDQGGDWDUDWHRILPPHGLDWHO\SUHFHGLQJ 5DWHDQGPRGXODWLRQFODVVRIILQDO
 IUDPHLQ7;23 WUDQVPLVVLRQ

 '666RU+5'666ZLWKORQJSUHDPEOHGDWDUDWH!0EV 0EV'666

 +5'666ZLWKVKRUWSUHDPEOHGDWDUDWH!0EV 0EV+5'666VKRUWSUHDPEOH
 +(DQ\GDWDUDWH 0EV2)'0

 2WKHUHOLJLEOHPRGXODWLRQFODVVHVGDWDUDWH!0EVH[FHSW 0EV2)'0
 0EV2)'0



 5HWUDQVPLWSURFHGXUHV


 *HQHUDO

 Insert the following at the end of the subclause:


 ,IDQ+(67$WUDQVPLWVDQ+(7%33'8WKH465&>$&@DQG4/5&>$&@IRUWKHDVVRFLDWHG('&$)DUH
 QRWFKDQJHG

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 +&)FRQWUROOHGFKDQQHODFFHVV +&&$


 +&&$WUDQVIHUUXOHV

 8VHRI576&76


 Change the 1st paragraph as follows:

 ,QRUGHUWRSURYLGHLPSURYHG1$9SURWHFWLRQD67$PD\VHQGDQ576IUDPHDVWKHILUVWIUDPHRIDQ\IUDPH
 H[FKDQJHVHTXHQFHZLWKRXWUHJDUGIRUGRW5767KUHVKROGRUGRW7;23'XUDWLRQ5767KUHVKROG



 %ORFNDFNQRZOHGJPHQW EORFNDFN

 6HWXSDQGPRGLILFDWLRQRIWKHEORFNDFNSDUDPHWHUV


 Change the 11th paragraph as follows:

 :KHQDEORFNDFNDJUHHPHQWLVHVWDEOLVKHGEHWZHHQWZR+767$V'0*67$VRUWZR6*67$VWKHRULJ
 LQDWRUPD\FKDQJHWKHVL]HRILWVWUDQVPLVVLRQZLQGRZLIWKHYDOXHLQWKH%XIIHU6L]HILHOGRIWKH$''%$ 

 5HVSRQVHIUDPHLVODUJHUWKDQWKHYDOXHLQWKH$''%$5HTXHVWIUDPH,IWKHYDOXHLQWKH%XIIHU6L]HILHOGRI
 WKH$''%$5HVSRQVHIUDPHLVVPDOOHUWKDQWKHYDOXHLQWKH$''%$5HTXHVWIUDPHWKHRULJLQDWRUVKDOO
 FKDQJHWKHVL]HRILWVWUDQVPLVVLRQZLQGRZ :LQ6L]H2 VRWKDWLWLVQRWJUHDWHUWKDQWKHYDOXHLQWKH%XIIHU
 6L]HILHOGRIWKH$''%$5HVSRQVHIUDPHDQGLVQRWJUHDWHUWKDQWKHYDOXH,IWKHYDOXHLQWKH%XIIHU6L]H
 ILHOGRIWKH$''%$5HVSRQVHIUDPHLVVPDOOHUWKDQWKHYDOXHLQWKH$''%$5HTXHVWIUDPHWKHRULJLQDWRU

 VKDOOFKDQJHWKHVL]HRILWVWUDQVPLVVLRQZLQGRZ :LQ6L]H2 VRWKDWLWPHHWVWKHIROORZLQJFRQGLWLRQV
 ² 1RWJUHDWHUWKDQWKHYDOXHLQWKH%XIIHU6L]HILHOGRIWKH$''%$5HVSRQVHIUDPH

 ² 1RWJUHDWHUWKDQLIWKHVHQGHURIWKH$''%$5HVSRQVHIUDPHLVDQRQ+(67$

² 1RWJUHDWHUWKDQLIWKHVHQGHURIWKH$''%$5HVSRQVHIUDPHLVDQ+(67$


 6HOHFWLRQRI%ORFN$FNDQG%ORFN$FN5HTYDULDQWV


 Replace the 1st seven paragraphs of this subclause with the following:

 7KH0XOWL7,'%ORFN$FNYDULDQWVKDOOEHXVHGIRUDOO%ORFN$FNIUDPHVUHODWHGWRDQ+7LPPHGLDWHDJUHH
 PHQWWUDQVPLWWHGLQVLGHD3603VHTXHQFHDQGVKDOOQRWEHXVHGRWKHUZLVH)RUQRQ+(67$VWKH0XOWL7,' 

%ORFN$FN5HT YDULDQW VKDOO EH XVHG IRU DOO %ORFN$FN5HT IUDPHV UHODWHG WR DQ +7LPPHGLDWH DJUHHPHQW

 WUDQVPLWWHGLQVLGHD3603VHTXHQFHDQGVKDOOQRWEHXVHGRWKHUZLVH7KH0XOWL7,'%ORFN$FN5HTYDULDQW
 FDQEHXVHGEHWZHHQ+(67$VWRVROLFLWD0XOWL67$%ORFN$FNIUDPHIRU0XOWL7,'$03'8V

 ,QD'0*%66LIWKH&RPSUHVVHG%ORFN$FN5HTYDULDQWLVXVHGUHODWHGWRDQ+7LPPHGLDWHDJUHHPHQW

 WKHQ DOO RI WKH IROORZLQJ %ORFN$FN DQG %ORFN$FN5HT IUDPHV WUDQVPLWWHG DV SDUW RI WKH +7LPPHGLDWH
 DJUHHPHQWVKDOOXVHWKH&RPSUHVVHG%ORFN$FNDQG&RPSUHVVHG%ORFN$FN5HTYDULDQWV

 ,Q D '0* %66 LI WKH ([WHQGHG &RPSUHVVHG %ORFN$FN5HT YDULDQW LV XVHG UHODWHG WR DQ +7LPPHGLDWH


DJUHHPHQW WKHQ DOO RI WKH IROORZLQJ %ORFN$FN DQG %ORFN$FN5HT IUDPHV WUDQVPLWWHG DV SDUW RI WKH +7
 LPPHGLDWHDJUHHPHQWVKDOOXVHWKH([WHQGHG&RPSUHVVHG%ORFN$FNDQG([WHQGHG&RPSUHVVHG%ORFN$FN
 5HTYDULDQWV


:KHUHWKHWHUPV%ORFN$FNDQG%ORFN$FN5HTDUHXVHGZLWKLQ +7LPPHGLDWHEORFNDFNH[WHQVLRQV 

 DQG  +7GHOD\HG EORFN DFN H[WHQVLRQV  WKH DSSURSULDWH YDULDQW DFFRUGLQJ WR WKLV VXEFODXVH HJ
 &RPSUHVVHG0XOWL7,' LVUHIHUHQFHGE\WKHJHQHULFWHUP7KHWHUP%ORFN$FNDVXVHGZLWKLQ +7

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 LPPHGLDWH EORFN DFN H[WHQVLRQV  LQFOXGHV WKH DGGLWLRQDO 1'3B0 %ORFN$FN 1'3B0 %ORFN$FN %$7

 DQG%ORFN$FNIUDPHYDULDQWV


 *&5%ORFN$FNDQG*&5%ORFN$FN5HTYDULDQWVVKDOOEHXVHGZLWKLQD*&5EORFNDFNDJUHHPHQW*/.
 *&5%ORFN$FNDQG*/.*&5%ORFN$FN5HTYDULDQWVVKDOOEHXVHGZLWKLQD*/.*&5EORFNDFNDJUHH
 PHQW



+7LPPHGLDWHEORFNDFNH[WHQVLRQV

 ,QWURGXFWLRQWR+7LPPHGLDWHEORFNDFNH[WHQVLRQV

 Insert the following as the last paragraph in this subclause:


 ,IWKH%RI)UDJPHQW1XPEHUVXEILHOGRID&RPSUHVVHG%ORFN$FNIUDPHRU0XOWL67$%ORFN$FNIUDPHLV
 HTXDOWRWKHQWKHSDUDPHWHUBitmapLengthUHSUHVHQWVWKHPD[LPXPOHQJWKLQELWVRIWKH%ORFN$FN%LW
 PDSVXEILHOGLQWKH&RPSUHVVHG%ORFN$FNIUDPHDQG0XOWL67$%ORFN$FNIUDPHIRUDSDUWLFXODU7,'RWK
 HUZLVHWKHSDUDPHWHUBitmapLengthLVGHULYHGE\GLYLGLQJE\WKHOHQJWKUHSUHVHQWHGLQWKH%ORFN$FN

 %LWPDSVXEILHOGLQWKH&RPSUHVVHG%ORFN$FNIUDPHDQG0XOWL67$%ORFN$FNIUDPHIRUDSDUWLFXODU7,'
 )RUDQRQ+(67$BitmapLengthLV)RUDQ+(67$BitmapLengthLVQHJRWLDWHGZKHQWKHEORFNDFN 
 DJUHHPHQWLVHVWDEOLVKHGDVGHILQHGLQ 1HJRWLDWLRQRIEORFNDFNELWPDSOHQJWKV 

 6FRUHERDUGFRQWH[WFRQWUROGXULQJIXOOVWDWHRSHUDWLRQ


 Change the first paragraph as follows (replace 64 with BitmapLength):

 )RUHDFK+7LPPHGLDWHEORFNDFNDJUHHPHQWWKDWXVHVIXOOVWDWHRSHUDWLRQDUHFLSLHQWVKDOOPDLQWDLQDEORFN
 DFNQRZOHGJPHQW UHFRUG 7KLV UHFRUG LQFOXGHV D ELWPDS LQGH[HG E\ VHTXHQFH QXPEHU D ELW XQVLJQHG 

 LQWHJHUVWDUWLQJVHTXHQFHQXPEHUWinStartRUHSUHVHQWLQJWKHORZHVWVHTXHQFHQXPEHUSRVLWLRQLQWKHELW
 PDSDYDULDEOHWinEndRDQGWKHPD[LPXPWUDQVPLVVLRQZLQGRZVL]HWinSizeRZKLFKLVVHWWRWKHVPDOOHU
 RIBitmapLengthDQGWKHYDOXHRIWKH%XIIHU6L]HILHOGRIWKHDVVRFLDWHG$''%$5HVSRQVHIUDPHWKDW
 HVWDEOLVKHG WKH EORFN DFN DJUHHPHQW WinEndR LV GHILQHG DV WKH KLJKHVW VHTXHQFH QXPEHU LQ WKH FXUUHQW
 WUDQVPLVVLRQZLQGRZ$67$LPSOHPHQWLQJIXOOVWDWHRSHUDWLRQIRUDQ+7LPPHGLDWHEORFNDFNDJUHHPHQW

 VKDOOPDLQWDLQWKHEORFNDFNQRZOHGJPHQWUHFRUGIRUWKDWDJUHHPHQWDFFRUGLQJWRWKHIROORZLQJUXOHV

 *HQHUDWLRQDQGWUDQVPLVVLRQRI%ORFN$FNIUDPHVE\DQ+767$'0*67$RU
 6*67$


 Change the 2nd paragraph as follows:

 :KHQUHVSRQGLQJZLWKD%ORFN$FNIUDPHWRHLWKHUDUHFHLYHG%ORFN$FN5HTIUDPHRUDUHFHLYHG$03'8 
 ZLWK,PSOLFLW%$5DFNSROLF\GXULQJHLWKHUIXOOVWDWHRSHUDWLRQRUSDUWLDOVWDWHRSHUDWLRQDQ\DGMXVWPHQWWRWKH

YDOXHRIWinStartRDFFRUGLQJWRWKHSURFHGXUHVGHILQHGZLWKLQ 6FRUHERDUGFRQWH[WFRQWUROGXULQJ

 IXOOVWDWH RSHUDWLRQ  DQG  6FRUHERDUG FRQWH[W FRQWURO GXULQJ SDUWLDOVWDWH RSHUDWLRQ  VKDOO EH SHU
 IRUPHGEHIRUHWKHJHQHUDWLRQDQGWUDQVPLVVLRQRIWKHUHVSRQVH%ORFN$FNIUDPH7KH6WDUWLQJ6HTXHQFH1XP
 EHUVXEILHOGRIWKH%ORFN$FN6WDUWLQJ6HTXHQFH&RQWUROVXEILHOGRIWKH%ORFN$FNIUDPHVKDOOEHVHWWRDQ\
 YDOXHLQWKHUDQJH WinEndR±BitmapLength  1 WRWinStartR7KH6WDUWLQJ6HTXHQFH1XPEHUVXEILHOG 

VWRUHGLQWKH6WDUWLQJ6HTXHQFH&RQWUROILHOGRI1'3%ORFN$FNDQG%$7IUDPHVVKDOOEHVHWWRWinStartR

 7KHYDOXHVLQWKHUHFLSLHQW¶VUHFRUGRIVWDWXVRI03'8VEHJLQQLQJZLWKWKH03'8IRUZKLFKWKH6HTXHQFH
 1XPEHUVXEILHOGYDOXHLVHTXDOWR:LQ6WDUW5DQGHQGLQJZLWKWKH03'8IRUZKLFKWKH6HTXHQFH1XPEHU
 VXEILHOGYDOXHLVHTXDOWRWinEndRVKDOOEHLQFOXGHGLQWKHELWPDSRIWKH%ORFN$FNIUDPH7KHELWPDSRI
 WKH1'3%ORFN$FNIUDPHLVSURWHFWHGXVLQJWKHHQFRGLQJSURFHGXUHGHVFULEHGLQ %LWPDSSURWHFWLRQ 

IRU1'3%ORFN$FNIUDPHV 


 Change the 4th paragraph as follows:

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 :KHQUHVSRQGLQJZLWKD%ORFN$FNIUDPHWRHLWKHUDUHFHLYHG%ORFN$FN5HTIUDPHRUDUHFHLYHG$03'8 
 ZLWK$FN3ROLF\HTXDOWR1RUPDO$FN LHLPSOLFLWEORFNDFNUHTXHVW GXULQJHLWKHUIXOOVWDWHRUSDUWLDOVWDWH

RSHUDWLRQLIWKHDGMXVWHGYDOXHRIWinEndRLVOHVVWKDQWKHYDOXHRIWKHVWDUWLQJVHTXHQFHQXPEHURIWKH%ORFN

 $FNIUDPHSOXVBitmapLength  1ZLWKLQWKHELWPDSRIWKH%ORFN$FNIUDPHWKHVWDWXVRI03'8VZLWK
 VHTXHQFH QXPEHUV WKDW DUH JUHDWHU WKDQ WKH DGMXVWHG YDOXH RI WinEndR VKDOO EH UHSRUWHG DV XQVXFFHVVIXOO\
 UHFHLYHG LHWKHFRUUHVSRQGLQJELWLQWKHELWPDSVKDOOEHVHWWR 


5HFHLYHUHRUGHULQJEXIIHUFRQWURORSHUDWLRQ


 *HQHUDO

 Change the 4th paragraph as follows:


 WinEndBLVLQLWLDOL]HGWRWinStartBWinSizeB±ZKHUHWinSizeBLVVHWWRWKHVPDOOHURIBitmapLength
 DQGWKHYDOXHRIWKH%XIIHU6L]HILHOGRIWKH$''%$5HVSRQVHIUDPHWKDWHVWDEOLVKHGWKHEORFNDFNDJUHH
 PHQW


 *&5DQG*/.*&5EORFNDFN

 Change the title of 10.25.9.1 as follows:


,QWURGXFWLRQ*HQHUDO


 Insert as the last paragraph:

 $Q+($3VKDOOQRWVHQGD*&508%$57ULJJHUIUDPHWRDQRQ$3+(67$LIWKHPRVWUHFHQWO\UHFHLYHG 


([WHQGHG &DSDELOLWLHV HOHPHQW IURP WKH 67$ GRHV QRW LQGLFDWH VXSSRUW IRU 5REXVW $9 6WUHDPLQJ RU
 $GYDQFHG*&5

 *&5EORFNDFN%ORFN$FN5HTDQG%ORFN$FNIUDPHH[FKDQJHV


 Change paragraphs 2-3 as follows:

 :KHQ,IWKHUHWUDQVPLVVLRQSROLF\IRUDJURXSDGGUHVVLV*&5%ORFN$FNDQRULJLQDWRUVKDOOQRWWUDQVPLW
 PRUHWKDQWKH*&5EXIIHUVL]HQXPEHURI$06'8VZLWK5$ILHOGVHWWRWKH*&5FRQFHDOPHQWDGGUHVVDQG 
 WKH'$ILHOGRIWKH$06'8VXEIUDPHVHWWRWKH*&5JURXSDGGUHVVEHIRUHVHQGLQJD%ORFN$FN5HTIUDPH

 WRRQHRIWKH67$VWKDWKDVD*&5EORFNDFNDJUHHPHQWIRUWKLVJURXSDGGUHVV7KH5$ILHOGRIWKH%ORFN
 $FN5HTIUDPHVKDOOEHVHWWRWKH0$&DGGUHVVRIWKHGHVWLQDWLRQ67$8SRQUHFHSWLRQRIWKH%ORFN$FN 
 IUDPHDQRULJLQDWRUPD\VHQGD%ORFN$FN5HTIUDPHWRDQRWKHU67$WKDWKDVDEORFNDFNDJUHHPHQWIRUWKLV
 JURXSDGGUHVVDQGWKLVSURFHVVPD\EHUHSHDWHGPXOWLSOHWLPHV,IWKHRULJLQDWRUKDVD*&5EORFNDFNDJUHH
 PHQWZLWKRQHRUPRUHRIWKH+(67$VIRUWKLVJURXSDGGUHVVWKHRULJLQDWRUPD\VHQGD*&508%$5 

 7ULJJHUIUDPHWRRQHRUPRUHRIWKH+(67$VWKDWDUHLQWKHDZDNHVWDWH8SRQUHFHSWLRQRIWKH%ORFN$FN 
 IUDPHIURPRQHRUPRUH+(67$VWKHRULJLQDWRUPD\VHQGD*&508%$57ULJJHUIUDPHWRRQHRUPRUH
 RWKHU+(67$VWKDWKDYHD*&5EORFNDFNDJUHHPHQWDQGWKLVSURFHVVPD\EHUHSHDWHGPXOWLSOHWLPHV

 127(²,IWKHRULJLQDWRUVHQGVD%ORFN$FN5HTIUDPHWRD67$ZLWKD0$&DGGUHVVWKDWPDWFKHVWKH6$LQDQ\RIWKH
 $06'8VWUDQVPLWWHGGXULQJWKH*&57;23WKH%ORFN$FN%LWPDSVXEILHOGGRHVQRWLQGLFDWHWKH06'8VVRXUFHG 
 IURPWKLV67$7KLVLVEHFDXVHWKH67$ZLOOKDYHGLVFDUGHGDOOJURXSDGGUHVVHG03'8VWUDQVPLWWHGE\WKH$3WKDWKDYH
 WKHVRXUFHDGGUHVVHTXDOWRWKHLU0$&DGGUHVV VHH *URXSDGGUHVVHG03'8WUDQVIHUSURFHGXUH 

 :KHQ,IDUHFLSLHQWUHFHLYHVD%ORFN$FN5HTIUDPHZLWKWKH*&5*URXS$GGUHVVVXEILHOGHTXDOWRD*&5 
 JURXS DGGUHVV WKH UHFLSLHQW VKDOO WUDQVPLW D %ORFN$FN IUDPH DW D GHOD\ RI 6,)6 DIWHU WKH %ORFN$FN5HT

IUDPH 7KH %ORFN$FN IUDPH DFNQRZOHGJHV WKH 67$¶V UHFHSWLRQ VWDWXV RI WKH EORFN RI JURXS DGGUHVVHG

 IUDPHVUHTXHVWHGE\WKH%ORFN$FN5HTIUDPH,IDQ+(67$UHFHLYHVD*&508%$57ULJJHUIUDPHZLWK 
 WKH$,'VXEILHOGVHWWRWKH/6%VRIWKH$,'RIWKH+(67$WKH+(67$VKDOOLQFOXGHWKH%ORFN$FN 

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 IUDPHLQWKH+(7%33'8VHQWLQUHVSRQVHWRWKH7ULJJHUIUDPH7KH%ORFN$FNIUDPHVDFNQRZOHGJHWKH+( 
 67$
V UHFHSWLRQ VWDWXV RI WKH EORFN RI JURXS DGGUHVVHG IUDPHV UHTXHVWHG E\ WKH *&5 08%$5 7ULJJHU

IUDPH



Insert the following paragraph and associated figure after the 4th paragraph:



)LJXUHD ([DPSOHRIDIUDPHH[FKDQJHZLWK*&508%$57ULJJHUIUDPHV VKRZVDQRWKHUH[DPSOH

 RIDIUDPHH[FKDQJHZKHQWKH*&5EORFNDFNUHWUDQVPLVVLRQSROLF\LVXVHG7KH+($3VHQGVVHYHUDO$
 06'8VXVLQJWKH*&5EORFNDFNUHWUDQVPLVVLRQSROLF\7KH+($3WKHQVHQGVD*&508%$57ULJJHU
 IUDPHWRJURXSPHPEHUVDQGRIWKH*&5JURXSZDLWVIRUWKH%ORFN$FNIUDPHVDQGWKHQVHQGVD*&5 
 08%$57ULJJHUIUDPHWRJURXSPHPEHUVDQGDQGWKHQZDLWVIRUWKH%ORFN$FNIUDPHV7KH+($3 

WKHQVHQGVD%ORFN$FN5HTIUDPHWRJURXSPHPEHUZKLFKLVDQRQ+(67$DQGZDLWVIRUWKH%ORFN$FN

 IUDPH $IWHU UHFHLYLQJ WKH %ORFN$FN IUDPHV WKH +( $3 GHWHUPLQHV ZKHWKHU DQ\ $06'8V QHHG WR EH
 UHWUDQVPLWWHG DQG VHQGV DGGLWLRQDO $06'8V VRPH RI ZKLFK PLJKW EH UHWUDQVPLVVLRQV RI SUHYLRXV $
 06'8V XVLQJWKH*&5EORFNDFNUHWUDQVPLVVLRQSROLF\



 *&508 *&508
%ORFN$FN 'DWD
 'DWD 'DWD %$5 %$5 7UDQVPLVVLRQDQGRU
5HT
7ULJJHU 7ULJJHU UHWUDQVPLVVLRQ

 $3
 %ORFN
 $FN

 *&5JURXSPHPEHU
 %ORFN
 $FN

 *&5JURXSPHPEHU
 %ORFN
$FN


*&5JURXSPHPEHU
 %ORFN
 $FN

 *&5JURXSPHPEHU %ORFN
 $FN

 *&5JURXSPHPEHU
 QRQ+(67$

 )LJXUHD²([DPSOHRIDIUDPHH[FKDQJHZLWK*&508%$57ULJJHUIUDPHV


 Change paragraphs 6-8 as follows:


 $IWHUFRPSOHWLQJWKH%ORFN$FN5HTRU*&508%$57ULJJHUDQG%ORFN$FNIUDPHH[FKDQJHVWKHRULJLQD

 WRU GHWHUPLQHV IURP WKH LQIRUPDWLRQ SURYLGHG LQ WKH %ORFN$FN ELWPDS DQG IURP WKH PLVVLQJ %ORFN$FN

 IUDPHZKLFKLIDQ\WKH$06'8VLIDQ\WKDWQHHGWREHUHWUDQVPLWWHG


 $QRULJLQDWRUDGRSWLQJWKH*&5EORFNDFNUHWUDQVPLVVLRQSROLF\IRUD*&5JURXSDGGUHVVFKRRVHVDOLIHWLPH
 OLPLWIRUWKHJURXSDGGUHVV7KHRULJLQDWRUPD\YDU\WKHOLIHWLPHOLPLWIRUWKHJURXSDGGUHVVDWDQ\WLPHDQG 
 PD\ XVH GLIIHUHQW OLIHWLPH OLPLWV IRU GLIIHUHQW *&5 JURXS DGGUHVVHV 7KH RULJLQDWRU WUDQVPLWV DQG UHWULHV

HDFK$06'8XQWLOWKHDSSURSULDWHOLIHWLPHOLPLWLVUHDFKHGRUXQWLOHDFKRQHKDVEHHQUHFHLYHGE\DOOJURXS 

 PHPEHUV WR ZKLFK D %ORFN$FN5HT IUDPH RU D *&5 08%$5 7ULJJHU IUDPH KDV EHHQ VHQW ZKLFKHYHU
 RFFXUVILUVW

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 )RU*&5VWUHDPVZLWKUHWUDQVPLVVLRQSROLF\HTXDOWR*&5%ORFN$FNDQRULJLQDWRUPD\UHJXODUO\VHQGD
 %ORFN$FN5HTIUDPHZLWKWKH*&5*URXS$GGUHVVVXEILHOGLQWKH%$5,QIRUPDWLRQILHOGVHWWRWKH*&5 

JURXSDGGUHVVDQGWKH%ORFN$FN6WDUWLQJ6HTXHQFH&RQWUROVXEILHOGVHWWRWKH6HTXHQFH1XPEHUILHOGRI

 WKHHDUOLHVW$06'8RIWKH*&5VWUHDPWKDWKDVQRWEHHQDFNQRZOHGJHGE\DOOJURXSPHPEHUVDQGKDVQRW
 H[SLUHGGXHWROLIHWLPHOLPLWVLQRUGHUWRPLQLPL]HEXIIHULQJODWHQF\DWUHFHLYHUVLQWKH*&5JURXS$QRULJ
 LQDWRUPD\DOVRVHQGD*&508%$57ULJJHUIUDPHZLWKWKH$,'ILHOGVVHWWR/6%VRIWKH$,'VRI
 +(67$VWKDWWUDQVPLWWKH%ORFN$FNIUDPHVDQGWKH%ORFN$FN6WDUWLQJ6HTXHQFH&RQWUROVXEILHOGVHWWR 

WKH6HTXHQFH1XPEHUILHOGRIWKHHDUOLHVW$06'8RIWKH*&5VWUHDPWKDWKDVQRWEHHQDFNQRZOHGJHGE\ 

 DOO JURXS PHPEHUV DQG KDV QRW H[SLUHG GXH WR OLIHWLPH OLPLWV LQ RUGHU WR PLQLPL]H EXIIHULQJ ODWHQF\ DW
 UHFHLYHUVLQWKH*&5JURXS

 127(²7KLVLVEHFDXVHDQRULJLQDWRUPLJKWWUDQVPLW0DQDJHPHQWIUDPHV4R6'DWDIUDPHVZLWKDJURXSDGGUHVVLQWKH
 $GGUHVVILHOG LQFOXGLQJGLIIHUHQW*&5VWUHDPV DQGQRQ4R6'DWDIUDPHVLQWHUPLQJOHG6LQFHWKHVHDUHWUDQVPLWWHG 
 XVLQJ D VLQJOH VHTXHQFH FRXQWHU PLVVLQJ IUDPHV RU IUDPHV VHQW WR JURXS DGGUHVVHV DEVHQW IURP D UHFHLYLQJ 67$¶V
 GRW*URXS$GGUHVVHVWDEOHFRPSOLFDWHUHFHLYHUSURFHVVLQJIRU*&5VWUHDPVZLWKD*&5EORFNDFNUHWUDQVPLVVLRQSRO
 LF\VLQFHWKHFDXVHRIDKROHLQDUHFHLYHU¶VEORFNDFNELWPDSLVDPELJXRXVLWLVGXHHLWKHUWRDQ03'8EHLQJORVWIURP 
 WKH*&5VWUHDPRUWRWUDQVPLVVLRQVRI03'8VQRWUHODWHGWRWKH*&5VHUYLFHXVLQJWKHVDPHVHTXHQFHQXPEHUFRXQWHU

 Change the last paragraph as follows:


,IWKHEHJLQQLQJRIVXFKUHFHSWLRQGRHVQRWRFFXUGXULQJWKHILUVWVORWWLPHIROORZLQJD6,)6WKHQWKHRULJL

 QDWRU PD\ SHUIRUP HUURU UHFRYHU\ E\ UHWUDQVPLWWLQJ D %ORFN$FN5HT IUDPH RU D *&5 08%$5 7ULJJHU
 IUDPH3,)6DIWHUWKHSUHYLRXV%ORFN$FN5HTIUDPHRUD*&508%$57ULJJHUIUDPHLIZKHQERWKRIWKH
 IROORZLQJFRQGLWLRQVDUHPHW

 ² 7KHFDUULHUVHQVHPHFKDQLVP VHH &6PHFKDQLVP LQGLFDWHVWKDWWKHPHGLXPLVLGOHDWWKH
 7[3,)6 VORW ERXQGDU\ VHH )LJXUH  ('&$ PHFKDQLVP WLPLQJ UHODWLRQVKLSV  DIWHU WKH
 H[SHFWHGVWDUWRID%ORFN$FNIUDPHDQG

 ² 7KHUHPDLQLQJGXUDWLRQRIWKH*&57;23LVORQJHUWKDQWKHWRWDOWLPHUHTXLUHGWRUHWUDQVPLWWKH
 *&5%ORFN$FN5HTIUDPHRUD*&508%$57ULJJHUIUDPHSOXVRQHVORWWLPH

 127(²,IDQRULJLQDWRUIDLOVWRUHFHLYHD%ORFN$FNIUDPHLQUHVSRQVHWRD%ORFN$FN5HTIUDPHDQGWKHUHLVLQVXIILFLHQW
 WLPHWRWUDQVPLWDUHFRYHU\IUDPHWKH$3UHWUDQVPLWVWKH%ORFN$FN5HTIUDPHLQDQHZ7;23


 3URWHFWLRQPHFKDQLVPV

 Insert a new subclause at the end of 10.27 as follows:


 3URWHFWLRQUXOHVIRU+(67$V

 $Q+(67$RSHUDWLQJLQWKH*+]EDQGLVVXEMHFWWRDOORIWKHUXOHVIRU+767$VWKDWDSSO\WRWKDWEDQG
 H[FHSWWKDW D 33'8 ZLWK WKH 7;9(&725 SDUDPHWHU)250$7 VHWWR +(B68 +(B(5B68 +(B08 RU
 +(B7%PD\EHVXEVWLWXWHGIRUD33'8ZLWKWKH7;9(&725SDUDPHWHU)250$7VHWWR+7B0)


 $Q+(67$RSHUDWLQJLQWKH*+]EDQGLVVXEMHFWWRDOORIWKHUXOHVIRU9+767$VWKDWDSSO\WRWKDWEDQG
 H[FHSWWKDW D 33'8 ZLWK WKH 7;9(&725 SDUDPHWHU)250$7 VHWWR +(B68 +(B(5B68 +(B08 RU
 +(B7%PD\EHVXEVWLWXWHGIRUD33'8ZLWKWKH7;9(&725SDUDPHWHU)250$7VHWWR9+7


 $GGLWLRQDOO\DQ+(67$FDQXVHWKH08576&76IUDPHH[FKDQJHSURFHGXUH


 5HYHUVHGLUHFWLRQSURWRFRO

 *HQHUDO


 Change the 2nd paragraph as follows:

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $Q+767$LQGLFDWHVVXSSRUWRIWKH5'IHDWXUHDVDQ5'UHVSRQGHUXVLQJWKH5'5HVSRQGHUVXEILHOGRIWKH
 +7 ([WHQGHG &DSDELOLWLHV ILHOG RI WKH +7 &DSDELOLWLHV HOHPHQW RU WKH 5' 5HVSRQGHU VXEILHOG RI WKH +(

*+]%DQG&DSDELOLWLHVHOHPHQW$67$VKDOOVHWWKH5'5HVSRQGHUVXEILHOGWRLQIUDPHVWKDWLWWUDQVPLWV

 FRQWDLQLQJWKH+7&DSDELOLWLHVHOHPHQWLQWKH*+]RU*+]EDQGDQGVHWVWKH5'5HVSRQGHUVXEILHOGWR
  LQ IUDPHV WKDW LW WUDQVPLWV FRQWDLQLQJ WKH +( *+] %DQG &DSDELOLWLHV HOHPHQW LQ WKH  *+] EDQG LI
 GRW5'5HVSRQGHU2SWLRQ,PSOHPHQWHGLVWUXH2WKHUZLVHWKH67$VKDOOVHWWKH5'5HVSRQGHUVXEILHOGWR
 ,QDQDQRQ+(+767$WKH5'*0RUH33'8VXEILHOGDQGWKH$&&RQVWUDLQWVXEILHOGDUHSUHVHQWLQWKH

+7&ILHOG,QDQ+(67$WKH5'*0RUH33'8VXEILHOGDQGWKH$&&RQVWUDLQWVXEILHOGDUHSUHVHQWLQWKH

 &$6&RQWUROVXEILHOG

 5HYHUVHGLUHFWLRQ 5' H[FKDQJHVHTXHQFH


 Change NOTE 2 following the 1st paragraph as follows:

 127( ²,I WKH 5' UHVSRQGHU LV D 9+7 $3 WKH 5' UHVSRQVH EXUVW FDQ FRQWDLQ 9+7 08 33'8V WKDW PLJKW KDYH
 7;9(&725SDUDPHWHU180B86(56!,IWKH5'UHVSRQGHULVDQ+($3WKH5'UHVSRQVHEXUVWFDQFRQWDLQ+( 
 0833'8VWKDWPLJKWKDYH7;9(&725SDUDPHWHU180B86(56!

 Insert the following after the 1st paragraph:


 ,IWKH5'LQLWLDWRULVDQ+(67$DQGWKH5'UHVSRQGHULVDQ+($3WKH5'UHVSRQVHEXUVWPD\FRQWDLQRQH
 RUPRUH%DVLF7ULJJHUIUDPHV7KH%DVLF7ULJJHUIUDPHVVKDOOWULJJHUWKH5'LQLWLDWRUDQGDWOHDVWRQHRWKHU
 67$LQDIXOOEDQGZLGWK8/080,02WUDQVPLVVLRQ


 5XOHVIRU5'LQLWLDWRU

 Change the 3rd and subsequent 3 paragraphs as follows:


 7UDQVPLVVLRQRID+7&RU'0*IUDPHE\DQ5'LQLWLDWRUZLWKWKH5'*0RUH33'8VXEILHOGHTXDOWR 
 HLWKHUWUDQVPLWWHGDVDQRQ$03'8IUDPHRUZLWKLQDQ$03'8 LQGLFDWHVWKDWWKHGXUDWLRQLQGLFDWHGE\ 
 WKH'XUDWLRQ,'ILHOGLVDYDLODEOHIRUWKH5'UHVSRQVHEXUVWDQG5'LQLWLDWRUILQDO33'8 LISUHVHQW 7UDQV

PLVVLRQ RI DQ 03'8 E\ DQ +( 5' LQLWLDWRU WKDW FRQWDLQV D &$6 &RQWURO VXEILHOG ZLWK WKH 5'*0RUH

 33'8VXEILHOGHTXDOWRLQGLFDWHVWKDWWKHGXUDWLRQLQGLFDWHGE\WKH'XUDWLRQ,'ILHOGLVDYDLODEOHIRUWKH
 5'UHVSRQVHEXUVWDQG5'LQLWLDWRUILQDO33'8 LISUHVHQW 

 $Q5'LQLWLDWRUWKDWVHWVWKH5'*0RUH33'8ILHOGWRLQD+7&RU'0*IUDPHWUDQVPLWWHGGXULQJD

 7;23VKDOOVHWWKH$&&RQVWUDLQWVXEILHOGWRLQWKDWIUDPHLIWKH7;23ZDVJDLQHGWKURXJKWKH('&$ 
 FKDQQHODFFHVVPHFKDQLVPDQGVKDOORWKHUZLVHVHWLWWR$Q5'LQLWLDWRUWKDWVHWVWKH5'*0RUH33'8 
 ILHOGWRLQD'0*IUDPHWUDQVPLWWHGGXULQJDQ63FDQVHWWKH$&&RQVWUDLQWVXEILHOGWRWROLPLWWKH'DWD
 IUDPHVWUDQVPLWWHGE\WKH5'UHVSRQGHU$Q+(67$5'LQLWLDWRUWKDWVHWVWKH5'*0RUH33'8ILHOGWR 
 LQD&$6&RQWUROVXEILHOGLQDIUDPHWUDQVPLWWHGGXULQJD7;23PD\VHWWKH$&&RQVWUDLQWVXEILHOGLQWKH

 &$6&RQWUROVXEILHOGWR

 $Q5'LQLWLDWRUVKDOOQRWWUDQVPLWD+7&RU'0*IUDPHZLWKWKH5'*0RUH33'8VXEILHOGVHWWRWKDW
 UHTXLUHVDUHVSRQVH03'8WKDWLVQRWRQHRIWKHIROORZLQJIUDPHV

 ² $FN

 ² &RPSUHVVHG%ORFN$FN
 ² ([WHQGHG&RPSUHVVHG%ORFN$FN

 ² 0XOWL67$%ORFN$FN


 6XEMHFWWR7;23RU63FRQVWUDLQWVDIWHUWUDQVPLWWLQJDQ5'*33'8DQ5'LQLWLDWRUPD\WUDQVPLWLWVQH[W
 33'8DVIROORZV

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 D Normal continuation: 7KH 5' LQLWLDWRU PD\ WUDQVPLW LWV QH[W 33'8 D PLQLPXP RI D 6,)6 DIWHU
 UHFHLYLQJDUHVSRQVH33'8WKDWPHHWVRQHRIWKHIROORZLQJFRQGLWLRQV

  &RQWDLQV RQH RU PRUH UHFHLYHG +7& RU '0* IUDPHV ZLWK WKH 5'*0RUH 33'8 VXEILHOG
 HTXDOWR


 ,Q DQ +7 67$ FRQWDLQV RQH RU PRUH UHFHLYHG IUDPHV WKDW DUH FDSDEOH RI FDUU\LQJ WKH +7

 &RQWUROILHOGEXWGLGQRWFRQWDLQDQ+7&RQWUROILHOG
  &RQWDLQVDUHFHLYHGIUDPHWKDWUHTXLUHVDQLPPHGLDWHUHVSRQVH

  ,QD'0*67$QRQHRIWKHFRUUHFWO\UHFHLYHGIUDPHVLQWKH33'8FDUU\WKH4R6&RQWUROILHOG
 E Error recovery: 7KH 5' LQLWLDWRU PD\ WUDQVPLW LWV QH[W 33'8 ZKHQ LI WKH &6 PHFKDQLVP VHH


 &6 PHFKDQLVP  LQGLFDWHV WKDW WKH PHGLXP LV LGOH DW WKH 7[3,)6 VORW ERXQGDU\ VHH
 )LJXUH ('&$ PHFKDQLVP WLPLQJ UHODWLRQVKLSV  WKLV WUDQVPLVVLRQ LV D FRQWLQXDWLRQ RI WKH
 FXUUHQW7;23RU63 

 127(²(UURUUHFRYHU\RIWKH5'*PHFKDQLVPLVWKHUHVSRQVLELOLW\RIWKH5'LQLWLDWRU

 127(²$IWHUWUDQVPLWWLQJD33'8FRQWDLQLQJDQ5'*LIWKHUHVSRQVHLVFRUUXSWHGVRWKDWWKHVWDWHRIWKH5'*0RUH
 33'8VXEILHOGLVXQNQRZQWKH5'LQLWLDWRURIWKH5'H[FKDQJHLVQRWDOORZHGWRWUDQVPLWDIWHUD6,)67UDQVPLVVLRQ

 FDQRFFXUD3,)6DIWHUGHDVVHUWLRQRI&6

 127(²&RQWUROUHVSRQVHIUDPHVJHQHUDWHGE\+(67$VGRQRWFDUU\WKH+7&RQWUROILHOG


5XOHVIRU5'UHVSRQGHU


 Change the 2nd paragraph as follows:

 7KHUHFLSLHQWRIDQ5'*PD\GHFOLQHWKH5'*E\

 ² 1RWWUDQVPLWWLQJDQ\IUDPHVIROORZLQJWKH5'*33'8ZKHQLIQRUHVSRQVHLVRWKHUZLVHUHTXLUHGRU
 ² 7UDQVPLWWLQJDFRQWUROUHVSRQVHIUDPHZLWKWKH5'*0RUH33'8VXEILHOGVHWWRRU

 ² 7UDQVPLWWLQJDFRQWUROUHVSRQVHIUDPHWKDWFRQWDLQVQR+7&RQWUROILHOG

² 7UDQVPLWWLQJDFRQWUROUHVSRQVHIUDPHDJJUHJDWHGZLWKRWKHU03'8VZLWKWKH5'*0RUH33'8


 VXEILHOGVHWWR

 Change paragraphs 5-7 as follows:



$Q5'UHVSRQGHUVKDOOQRWWUDQVPLWDQ03'8 HLWKHULQGLYLGXDOO\RUDJJUHJDWHGZLWKLQDQ$03'8 WKDWLV
 QRWRQHRIWKHIROORZLQJIUDPHV
 ² $FN

 ² &RPSUHVVHG%ORFN$FN
 ² &RPSUHVVHG%ORFN$FN5HT

 ² ([WHQGHG&RPSUHVVHG%ORFN$FN
 ² ([WHQGHG&RPSUHVVHG%ORFN$FN5HT

 ² 0XOWL67$%ORFN$FN
 ² 4R6'GDWD

 ² 4R61XOO


² 0DQDJHPHQW
 ² %DVLF7ULJJHU


,IWKH$&&RQVWUDLQWVXEILHOGLVHTXDOWRWKH5'UHVSRQGHUVKDOOWUDQVPLW'DWDIUDPHVRIRQO\WKHVDPH$&


 DVWKHODVWIUDPHUHFHLYHGIURPWKH5'LQLWLDWRU,IWKH$&&RQVWUDLQWVXEILHOGLVHTXDOWRLQODVWIUDPH
 UHFHLYHGIURPDQ5'LQLWLDWRU

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ² $QRQ+(5'UHVSRQGHUVKDOOWUDQVPLW'DWDIUDPHVRIRQO\WKHVDPH$&DVWKHODVWIUDPHUHFHLYHG

 IURPWKH5'LQLWLDWRU

 ² $Q+(5'UHVSRQGHUPD\WUDQVPLW$03'8ZLWKRUPXOWL7,'$03'8ZLWK03'8VIURPRQHRU
 PRUH$&VWKDWKDYHDSULRULW\WKDWLVHTXDOWRRUKLJKHUWKDQWKHORZHVWSULRULW\$&RIWKH03'8 V 


FDUULHGLQWKHODVW33'8UHFHLYHGIURPWKH5'LQLWLDWRU VHH $03'8RSHUDWLRQ DQGLIWKH
 5'LQLWLDWRULVDQ+(67$VXEMHFWWRWKHDGGLWLRQDOUXOHVGHILQHGLQ 0XOWL7,'$03'8DQG
 DFNHQDEOHGVLQJOH7,'$03'8 


 )RUD%ORFN$FN5HTRU%ORFN$FNIUDPHWKH$&LVGHWHUPLQHGE\H[DPLQLQJWKH7,'ILHOG)RUD0DQDJH
 PHQWIUDPHWKH$&LV$&B927KH5'LQLWLDWRUVKDOOQRWWUDQVPLWD+7&RU'0*03'8ZLWKWKH5'*
 0RUH33'8VXEILHOGVHWWRIURPZKLFKWKH$&FDQQRWEHGHWHUPLQHG,IWKH$&&RQVWUDLQWVXEILHOGLV
 HTXDOWRWKH5'UHVSRQGHUPD\WUDQVPLW'DWDIUDPHVRIDQ\7,'

 127(²,IWKH5'LQLWLDWRU¶VODVW33'8FRQWDLQHGDQ$03'8WKHODVWIUDPHLVWKHODVW'DWDIUDPHLQWKH$03'8


 'XULQJDQ5'UHVSRQVHEXUVWDQ\33'8WUDQVPLWWHGE\DQ5'UHVSRQGHUVKDOOFRQWDLQDWOHDVWRQH03'8ZLWK
 DQ $GGUHVV  ILHOG WKDW PDWFKHV WKH 0$& DGGUHVV RI WKH 5' LQLWLDWRU RU DW OHDVW RQH 7ULJJHU IUDPH WKDW
 DGGUHVVHVWKH5'LQLWLDWRUDQGWKHLQFOXVLRQRIWUDIILFWR67$VRWKHUWKDQWKH5'LQLWLDWRULQD9+70833'8

 RUDQ6*0833'8RU+(0833'8VKDOOQRWLQFUHDVHWKHGXUDWLRQRIWKH9+70833'8EH\RQGWKDW
 UHTXLUHGWRWUDQVSRUWWKHWUDIILFWRWKH5'LQLWLDWRU7KH5'UHVSRQGHUVKDOOQRWWUDQVPLWDQ\IUDPHFDXVLQJD
 IUDPHWKDWLVQRWD%DVLF7ULJJHUIUDPHDQGWKDWFDXVHVDUHVSRQVHDIWHU6,)6ZLWKDQ$GGUHVVILHOGWKDWGRHV
 QRW PDWFK WKH 0$& DGGUHVV RI WKH 5' LQLWLDWRU 7KH 5' UHVSRQGHU VKDOO QRW WUDQVPLW DQ\ 33'8V ZLWK D
 &+B%$1':,'7+WKDWLVZLGHUWKDQWKH&+B%$1':,'7+RIWKH33'8FRQWDLQLQJWKHIUDPH V WKDWGHOLY

 HUHGWKH5'JUDQW

 $Q5'UHVSRQGHUWKDWWUDQVPLWVD%DVLF7ULJJHUIUDPHVKDOOVHWWKH&65HTXLUHGVXEILHOGWRDQGVKDOODOORFDWH


DQXPEHURIVWUHDPVIRUWKH5'LQLWLDWRUWKDWLVQRWVPDOOHUWKDQWKHQXPEHURIVWUHDPVRIWKH5'LQLWLDWRU
VODVW
 33'8


,IDQ5'LQLWLDWRUVHWVWKH5'*0RUH33'8ILHOGWRLQD+7&IUDPHWUDQVPLWWHGGXULQJD7;23DQGVHWV

 WKH$&&RQVWUDLQWVXEILHOGWRLQWKDWIUDPHWKH5'UHVSRQGHUVKDOOVHWWKH3UHIHUUHG$&VXEILHOGRIWKH7ULJ
 JHU'HSHQGHQW8VHU,QIRILHOGLQWKH7ULJJHUIUDPHWRWKHVDPH$&DVWKHODVWIUDPHUHFHLYHGIURPWKH5'LQL
 WLDWRU




QXOOGDWD33'8 1'3 VRXQGLQJ

 7UDQVPLVVLRQRID9+71'3


 Insert the following after the 2nd paragraph:


 ,IDQ+(67$WUDQVPLWVD9+71'3ZKHUHDWOHDVWRQHRIWKHLQWHQGHGUHFLSLHQWVRIWKH9+71'3LVDQ+(

 67$WKHQWKHIROORZLQJFRQGLWLRQVDSSO\

 ² ,IWKHEDQGZLGWKRIDQ9+71'3LVOHVVWKDQRUHTXDOWR0+]WKHQXPEHURIVSDFHWLPHVWUHDPV
 VRXQGHGDVLQGLFDWHGE\WKH7;9(&725SDUDPHWHU180B676VKDOOQRWH[FHHGWKHYDOXHLQGLFDWHG 
 LQWKH%HDPIRUPHH676”0+]VXEILHOGLQWKH+(&DSDELOLWLHVHOHPHQWRIDQ\LQWHQGHG+(67$ 
 UHFLSLHQWRIWKH9+71'3

 ² ,IWKHEDQGZLGWKRIDQ9+71'3LVJUHDWHUWKDQ0+]WKHQXPEHURIVSDFHWLPHVWUHDPVVRXQGHG


DVLQGLFDWHGE\WKH7;9(&725SDUDPHWHU180B676VKDOOQRWH[FHHGWKHYDOXHLQGLFDWHGLQWKH

 %HDPIRUPHH676!0+]VXEILHOGLQWKH+(&DSDELOLWLHVHOHPHQWRIDQ\LQWHQGHG+(67$UHFLS
 LHQWRIWKH9+71'3

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DUJHWZDNHWLPH 7:7


 7:7RYHUYLHZ

 Change the 5th paragraph as follows:

 67$VWKDWUHTXHVWD7:7DJUHHPHQWDUHFDOOHG7:7UHTXHVWLQJ67$VDQGWKH67$VWKDWUHVSRQGWRWKHLU

 UHTXHVWV DUH 7:7 UHVSRQGLQJ 67$V $ 7:7 UHTXHVWLQJ 67$ LV DVVLJQHG VSHFLILF WLPHV WR ZDNH DQG
 H[FKDQJHIUDPHVZLWKWKH7:7UHVSRQGLQJ67$$7:7UHTXHVWLQJ67$FRPPXQLFDWHVZDNHVFKHGXOLQJ 
 LQIRUPDWLRQ WR LWV 7:7 UHVSRQGLQJ 67$ DQG WKH 7:7 UHVSRQGLQJ 67$ GHYLVHV D VFKHGXOH DQG GHOLYHUV
 7:7YDOXHVWRWKH7:7UHTXHVWLQJ67$ZKHQD7:7DJUHHPHQWKDVEHHQHVWDEOLVKHGEHWZHHQWKHP:KHQ 
 H[SOLFLW7:7LVHPSOR\HGD7:7UHTXHVWLQJ67$ZDNHVDQGSHUIRUPVDIUDPHH[FKDQJHDQGUHFHLYHVWKH

 QH[W7:7LQIRUPDWLRQLQDUHVSRQVHIURPWKH7:7UHVSRQGLQJ67$DVGHVFULEHGLQ ([SOLFLW7:7 
 RSHUDWLRQ :KHQLPSOLFLW7:7LVXVHGWKH7:7UHTXHVWLQJ67$FDOFXODWHVWKH1H[W7:7E\DGGLQJD
 IL[HGYDOXHWRWKHFXUUHQW7:7YDOXHDVGHVFULEHGLQ ,PSOLFLW7:7RSHUDWLRQ 67$VQHHGQRWEH
 PDGHDZDUHRIWKH7:7YDOXHVRIRWKHU67$V$7:7UHTXHVWLQJ67$DQGD7:7UHVSRQGLQJ67$VKDOO
 VHWWKH1HJRWLDWLRQ7\SHVXEILHOGWRLQWKH7:7HOHPHQWRIWUDQVPLWWHGIUDPHVFRQWDLQLQJWKH7:7HOH

 PHQWH[FHSWZKHQWKH67$VDUH+(67$V$GGLWLRQDO7:7VHWXSH[FKDQJHVEHWZHHQ+(67$VIRULQGLYLG
 XDO7:7RSHUDWLRQDUHGHILQHGLQ 7:7RSHUDWLRQ 

 Change paragraphs 7-9 as follows:


 $Q6*67$ZLWKGRW7:72SWLRQ$FWLYDWHGHTXDOWRWUXHDQGWKDWRSHUDWHVLQWKHUROHRI7:7UHTXHVWLQJ 
 67$VKDOOVHWWKH7:75HTXHVWHU6XSSRUWVXEILHOGWRLQDOO6*&DSDELOLWLHVHOHPHQWVWKDWLWWUDQVPLWV$Q

 6*67$ZLWKGRW7:72SWLRQ$FWLYDWHGHTXDOWRWUXHDQGWKDWRSHUDWHVLQWKHUROHRI7:7UHVSRQGLQJ
 67$VKDOOVHWWKH7:75HVSRQGHU6XSSRUWVXEILHOGWRLQDOO6*&DSDELOLWLHVHOHPHQWVWKDWLWWUDQVPLWV


 $67$WKDWLVQRWDQ6*67$DQGLVQRWDQ+(67$DQGZLWKGRW7:72SWLRQ$FWLYDWHGHTXDOWRWUXHDQG
 WKDWRSHUDWHVLQWKHUROHRI7:7UHTXHVWLQJ67$VKDOOVHWWKH7:75HTXHVWHU6XSSRUWVXEILHOGWRLQDOO
 ([WHQGHG&DSDELOLWLHVHOHPHQWVWKDWLWWUDQVPLWV$67$WKDWLVQRWDQ6*67$DQGLVQRWDQ+(67$DQG
 ZLWKGRW7:72SWLRQ$FWLYDWHGHTXDOWRWUXHDQGWKDWRSHUDWHVLQWKHUROHRI7:7UHVSRQGLQJ67$VKDOOVHW
 WKH7:75HVSRQGHU6XSSRUWVXEILHOGWRLQDOO([WHQGHG&DSDELOLWLHVHOHPHQWVWKDWLWWUDQVPLWV


 ,I WKH 7:7 5HVSRQGHU 6XSSRUW VXEILHOG RI WKH 6* &DSDELOLWLHV HOHPHQW +( &DSDELOLWLHV HOHPHQW RU
 ([WHQGHG &DSDELOLWLHV HOHPHQW UHFHLYHG IURP LWV DVVRFLDWHG $3 LV HTXDO WR  D QRQ$3 67$ ZLWK 
 GRW7:72SWLRQ$FWLYDWHGHTXDOWRWUXHPD\WUDQVPLWD7:7HOHPHQWWRWKH$3ZLWKDYDOXHRI5HTXHVW

7:76XJJHVW7:7RU'HPDQG7:7LQWKH7:76HWXS&RPPDQGILHOGDQGZLWKWKH7:75HTXHVWILHOG 

 HTXDOWR

 $Q$3ZLWKGRW7:72SWLRQ$FWLYDWHGHTXDOWRWUXHVKDOOWUDQVPLWD7:7HOHPHQWWRD67$WKDWLVDVVRFL
 DWHG WR WKH $3 DQG IURP ZKLFK LW UHFHLYHG D IUDPH FRQWDLQLQJ D 7:7 HOHPHQW WKDW FRQWDLQHG D YDOXH RI

5HTXHVW 7:7 6XJJHVW 7:7 RU 'HPDQG 7:7 LQ WKH 7:7 6HWXS &RPPDQG ILHOG DQG ZLWK WKH 7:7 

 5HTXHVWILHOGHTXDOWR7KHWUDQVPLWWHG7:7HOHPHQWVKDOOEHLQFOXGHGLQWKHIUDPHWKDWLVWKHDSSURSULDWH
 UHVSRQVHIUDPHWRWKHUHFHLYHGIUDPH7KH$3VKDOOLQFOXGHDYDOXHRI$FFHSW7:7$OWHUQDWH7:7'LFWDWH
 7:7RU5HMHFW7:7LQWKH7:76HWXS&RPPDQGILHOGRIWKHUHVSRQVHDQGVKDOOVHWWKH7:75HTXHVWILHOG 
 WR,IWKH$3UHVSRQVH¶V7:76HWXS&RPPDQGILHOGLQFOXGHVDQ\WKLQJRWKHUWKDQ$FFHSW7:7RU5HMHFW

7:7WKH67$VKRXOGVHQGDQHZUHTXHVWIRUD7:7YDOXHE\VHQGLQJDQRWKHUIUDPHWKDWFRQWDLQVD7:7 

 HOHPHQWPRGLI\LQJWKHSDUDPHWHUVRIWKHUHTXHVWWRLQGLFDWHIRUH[DPSOHDQDFFHSWDQFHRIDSURSRVHGDOWHU
 QDWH7:7RUGLFWDWHG7:7YDOXH,IWKH67$UHFHLYHVD7:7UHVSRQVHWRD7:7UHTXHVWZLWKWKH7:7 
 6HWXS&RPPDQGILHOGYDOXHRI$FFHSW7:7WKHQWKH67$KDVVXFFHVVIXOO\FRPSOHWHGD7:7VHWXSZLWK 
 WKDW67$IRUWKH7:7)ORZ,GHQWLILHULQGLFDWHGLQWKH7:7UHVSRQVHDQGWKH67$EHFRPHVD7:7UHTXHVW

LQJ67$DQGWKH67$PD\HQWHUWKHGR]HVWDWHXQWLOWKH76)PDWFKHVWKHQH[W7:7YDOXHRIWKH67$SUR

 YLGHGWKDWWKH67$KDVLQGLFDWHGWKDWLWLVLQDSRZHUVDYHPRGHDQGQRRWKHUFRQGLWLRQUHTXLUHVWKH67$WR 
 UHPDLQDZDNH7KH$3EHFRPHVD7:7UHVSRQGLQJ67$RIWKH7:7UHTXHVWLQJ67$

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 127(²$7:7UHVSRQGLQJ67$PLJKWFKRRVHD7:7)ORZ,GHQWLILHUIRUWKH7:7UHVSRQVHWKDWLVGLIIHUHQWIURPWKH
 7:7)ORZ,GHQWLILHURIDUHFHLYHG7:7UHTXHVW

 127(²$7:7UHTXHVWLQJ67$PLJKWUHQHJRWLDWHWKH7:7SDUDPHWHUVRIDQH[LVWLQJ7:7DJUHHPHQWE\VHQGLQJWR
 WKH7:7UHVSRQGLQJ67$D7:7UHTXHVWZLWKD)ORZ,GHQWLILHUWKDWFRUUHVSRQGVWRWKDW7:7DJUHHPHQW7KH7:7 
 UHVSRQVHVHQWE\WKH7:7UHVSRQGLQJ67$FRQWDLQLQJWKH7:76HWXS&RPPDQGILHOGRI$FFHSW7:7ZLOOLQGLFDWH
 ZKHWKHUWKHQHZO\UHTXHVWHG7:7SDUDPHWHUVDUHDFFHSWHGRUZKHWKHUWKHSUHYLRXVO\QHJRWLDWHG7:7SDUDPHWHUVDUH
 VWLOOLQSODFH

 Insert new paragraphs and table as follows after the 9th paragraph:

 7KHUHVXOWRIDQH[FKDQJHRI7:76HWXSIUDPHVEHWZHHQD7:7UHTXHVWLQJ67$DQGD7:7UHVSRQGLQJ

67$LVGHILQHGLQ7DEOHD 7:7VHWXSH[FKDQJHFRPPDQGLQWHUSUHWDWLRQ 7KHPHDQLQJRI³5HTXHVW

 7:7´LVWKDWWKHUHTXHVWLQJ67$GRHVQRWSURYLGHDVHWRI7:7SDUDPHWHUVIRUD7:7DJUHHPHQWOHDYLQJ 
 WKHFKRLFHRISDUDPHWHUVWRWKHUHVSRQGLQJ67$³6XJJHVW7:7´LQGLFDWHVWKDWWKHUHTXHVWLQJ67$RIIHUVD
 VHWRISUHIHUUHG7:7SDUDPHWHUVIRUD7:7DJUHHPHQWEXWPLJKWDFFHSWDOWHUQDWLYH7:7SDUDPHWHUVWKDW
 WKHUHVSRQGLQJ67$LQGLFDWHVDQG³'HPDQG7:7´LQGLFDWHVWKDWWKHUHTXHVWLQJ67$ZLOOFXUUHQWO\DFFHSW

RQO\WKHLQGLFDWHG7:7SDUDPHWHUVIRUD7:7DJUHHPHQW:KHQWUDQVPLWWHGE\DUHVSRQGLQJ67$³$FFHSW

 7:7´LQGLFDWHVWKDWWKHUHVSRQGLQJ67$KDVLQLWLDWHGD7:7DJUHHPHQWZLWKWKHJLYHQSDUDPHWHUV³$OWHU
 QDWH7:7´LQGLFDWHVDFRXQWHURIIHURI7:7SDUDPHWHUV DOWKRXJKDOWHUQDWLYH7:7SDUDPHWHUVPLJKWEH
 DFFHSWHGDVZHOO ZLWKRXWWKHFUHDWLRQRID7:7DJUHHPHQW³'LFWDWH7:7´LQGLFDWHVWKDWQR7:7DJUHH
 PHQW LV FUHDWHG EXW RQH LV OLNHO\ WR EH DFFHSWHG RQO\ LI WKH UHTXHVWLQJ 67$ WUDQVPLWV D QHZ 7:7 VHWXS


UHTXHVWZLWKWKHLQGLFDWHG7:7SDUDPHWHUV LHQRRWKHU7:7SDUDPHWHUVZLOOEHDFFHSWHG DQG5HMHFW

 7:7WUDQVPLWWHGE\DUHVSRQGLQJ67$DVSDUWRIDQHJRWLDWLRQIRUDQHZ7:7DJUHHPHQWLVXVHGWRLQGL
 FDWHWKDWWKHQHJRWLDWLRQKDVHQGHGLQIDLOXUHWRFUHDWHDQHZ7:7DJUHHPHQW


 7DEOHD²7:7VHWXSH[FKDQJHFRPPDQGLQWHUSUHWDWLRQ


 7:76HWXS&RPPDQG
 7:76HWXS&RPPDQGILHOG 7:7FRQGLWLRQDIWHUWKHFRPSOHWLRQRIWKH
ILHOGYDOXHLQDUHVSRQVH
 LQDQLQLWLDWLQJIUDPH H[FKDQJH
IUDPH

 5HTXHVW7:7RU6XJJHVW 1RIUDPHWUDQVPLWWHG 1RQHZLQGLYLGXDO7:7DJUHHPHQWH[LVWVZLWKWKH
 7:7RU'HPDQG7:7 7:7IORZLGHQWLILHUFRUUHVSRQGLQJWRWKH7:7
 IORZLGHQWLILHULQWKHLQLWLDWLQJIUDPH1RQHZ
 LQGLYLGXDO7:7DJUHHPHQWH[LVWV

 'HPDQG7:7 $FFHSW7:7 $QLQGLYLGXDO7:7DJUHHPHQWH[LVWVWKDWXVHVWKH
 7:7SDUDPHWHUVLGHQWLILHGLQWKHLQLWLDWLQJIUDPH
 7KH7:7SDUDPHWHUVLQWKHUHVSRQVHIUDPHPDWFK
 WKH7:7SDUDPHWHUVRIWKHLQLWLDWLQJIUDPH

 6XJJHVW7:7RU5HTXHVW $FFHSW7:7 $QLQGLYLGXDO7:7DJUHHPHQWH[LVWVDQGWKDWXVHV
 7:7 WKH7:7SDUDPHWHUVLGHQWLILHGLQWKHUHVSRQVH
 IUDPH

 'HPDQG7:7RU6XJJHVW $OWHUQDWH7:7 1RLQGLYLGXDO7:7DJUHHPHQWH[LVWVZLWKWKH
 7:7 DVVRFLDWHG7:7IORZLGHQWLILHU7KHUHVSRQGHULV
 RIIHULQJDQDOWHUQDWLYHVHWRISDUDPHWHUVYVWKRVH
 LQGLFDWHGLQWKHLQLWLDWLQJIUDPH7KHUHTXHVWLQJ
 67$FDQVHQGDQHZUHTXHVWZLWKDQ\VHWRI7:7
 SDUDPHWHUVDQGWKHUHVSRQGHUPLJKWFUHDWHDQLQGL
 YLGXDO7:7DJUHHPHQWXVLQJWKRVHSDUDPHWHUV








&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOHD²7:7VHWXSH[FKDQJHFRPPDQGLQWHUSUHWDWLRQ


 'HPDQG7:7RU6XJJHVW 'LFWDWH7:7 1RLQGLYLGXDO7:7DJUHHPHQWH[LVWVZLWKWKH
 7:7 DVVRFLDWHG7:7IORZLGHQWLILHU7KHUHVSRQGHU
 RIIHUVDQDOWHUQDWLYHVHWRISDUDPHWHUVYVWKRVH
 LQGLFDWHGLQWKH7:7UHTXHVW%\VHOHFWLQJ³'LF
 WDWH7:7´WKHUHVSRQGHULQGLFDWHVWKDWLWLVQRW
 ZLOOLQJWRDFFHSWDQ\RWKHU7:7SDUDPHWHUVIRU
 WKHUHTXHVWLQJ67$DWWKLVWLPH7KHUHTXHVWLQJ
 67$FDQVHQGDQHZUHTXHVWEXWZLOORQO\UHFHLYH
 DQ$FFHSW7:7LILWXVHVWKHGLFWDWHG7:7
 SDUDPHWHUV

 5HTXHVW7:7RU6XJJHVW 5HMHFW7:7 1RLQGLYLGXDO7:7DJUHHPHQWH[LVWVZLWKWKH
 7:7RU'HPDQG7:7 DVVRFLDWHG7:7IORZLGHQWLILHU7KHUHVSRQGLQJ
 67$ZLOOQRWFUHDWHDQ\QHZLQGLYLGXDO7:7
 DJUHHPHQWZLWKWKHUHTXHVWHUDWWKLVWLPH
 127(²1HJRWLDWLRQ7\SHVXEILHOGRIWKH7:7HOHPHQWFRQWDLQHGLQWKHVHIUDPHVLVHTXDOWR

 127(²7KHLQLWLDWLQJIUDPHLVD7:7UHTXHVWDQGWKHUHVSRQVHIUDPHLVD7:7UHVSRQVH



 Change the last paragraph of 10.47.1 as follows:

 $ 7:7 UHTXHVWLQJ 67$ LQGLFDWHV ZKLFK VLQJOH FKDQQHO LW GHVLUHV WR XVH DV D WHPSRUDU\ SULPDU\ FKDQQHO
 GXULQJD7:763E\VHWWLQJDVLQJOHELWWRZLWKLQWKH7:7&KDQQHOILHOGRIWKH7:7HOHPHQWDFFRUGLQJ 

WRWKHPDSSLQJGHVFULEHGIRUWKDWILHOG$7:7UHVSRQGLQJ67$LQGLFDWHVZKLFKVLQJOHFKDQQHOWKH7:7 

 UHTXHVWLQJ67$LVSHUPLWWHGWRXVHDVDWHPSRUDU\SULPDU\FKDQQHOGXULQJD7:763E\VHWWLQJDVLQJOHELW
 WRZLWKLQWKH7:7&KDQQHOILHOGRIWKH7:7HOHPHQWDFFRUGLQJWRWKHPDSSLQJGHVFULEHGIRUWKDWILHOG,Q
 DQ6*%66GXULQJ'XULQJD7:763DFFHVVWRDFKDQQHOWKDWLVQRWWKHSULPDU\FKDQQHORIWKH%66VKDOO
 EHSHUIRUPHGDFFRUGLQJWRWKHSURFHGXUHGHVFULEHGLQ 6XEFKDQQHOVHOHFWLYHWUDQVPLVVLRQ 667 


 ,QDQ+(%66GXULQJDWULJJHUHQDEOHG7:763DFFHVVWRDFKDQQHOWKDWLVQRWWKHSULPDU\FKDQQHORIWKH
 %66VKDOOEHSHUIRUPHGDFFRUGLQJWRWKHSURFHGXUHGHVFULEHGLQ +(VXEFKDQQHOVHOHFWLYHWUDQVPLV
 VLRQ 



























 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 0/0(


 6\QFKURQL]DWLRQ


 0DLQWDLQLQJV\QFKURQL]DWLRQ

 0XOWLSOH%66,'SURFHGXUH


 Insert the following subclause heading before the 1st paragraph:

 *HQHUDO


Change the 1st paragraph as follows:


 $67$WKDWVXSSRUWVWKH0XOWLSOH%66,'FDSDELOLW\KDVGRW0XOWL%66,',PSOHPHQWHGHTXDOWRWUXHDQG 
 VKDOOVHWWRWKH0XOWLSOH%66,'ILHOGRIWKH([WHQGHG&DSDELOLWLHVHOHPHQWVWKDWLWWUDQVPLWV6XSSRUWIRU
 WKH0XOWLSOH%66,'FDSDELOLW\LVPDQGDWRU\IRUD),/667$DQGQRQ$3+(67$$Q$3WKDWVXSSRUWV

HQKDQFHPHQWVUHODWHGWRWKHGLVFRYHU\DQGDGYHUWLVHPHQWRIDQRQWUDQVPLWWHG%66,'VKDOOVHWWKH(QKDQFHG 

 0XOWL%66,'$GYHUWLVHPHQW6XSSRUWELWLQWKH([WHQGHG&DSDELOLWLHVHOHPHQWWRDQGLVUHIHUUHGWRDVDQ 
 (0$$3$*+]$3ZLWKGRW0XOWL%66,',PSOHPHQWHGHTXDOWRWUXHDQGDGYHUWLVLQJDSDUWLDOOLVWRI
 QRQWUDQVPLWWHG%66,'SURILOHVVKDOORSHUDWHDVDQ(0$$3,IDQ+($3RSHUDWLQJLQWKH*+]RU*+]
 EDQGV KDV GRW0XOWL%66,',PSOHPHQWHG HTXDO WR WUXH DGYHUWLVHV D SDUWLDO OLVW RI QRQWUDQVPLWWHG %66,'


SURILOHVDQGLQWHQGVDQRQ$367$WRGLVFRYHUWKHFRPSOHWHOLVWRIQRQWUDQVPLWWHG%66,'SURILOHVZKHUHD

 FRPSOHWHOLVWRIQRQWUDQVPLWWHG%66,'SURILOHFRPSULVHVRQO\%66,'VWKDWDUHGLVFRYHUDEOHWKHQWKH+( 
 $3VKDOORSHUDWHDVDQ(0$$3

 127(²$ %66,' LV GLVFRYHUDEOH LI WKH $3 LQFOXGHV LQIRUPDWLRQ RI WKDW %66,' LQ LWV %HDFRQ DQG 3UREH 5HVSRQVH
 IUDPHV WKRXJKQRWQHFHVVDULO\HYHU\IUDPH 

 Replace the 2nd paragraph and NOTE with the following:

 $Q$3ZLWKGRW0XOWL%66,',PSOHPHQWHGHTXDOWRWUXHVKDOOVHWWKH&R+RVWHG%66VXEILHOGLQ+(2SHU

 DWLRQHOHPHQWWKDWLWWUDQVPLWVWR

 7KH%66,'RIWKH$3EHORQJLQJWRDPXOWLSOH%66,'VHWLVUHIHUUHGWRDVWKHWUDQVPLWWHG%66,'LIWKH$3 
 LQFOXGHVWKH0XOWLSOH%66,'HOHPHQWLQWKH%HDFRQIUDPHWKDWLWWUDQVPLWV,QDPXOWLSOH%66,'VHWWKHUH
 VKDOOQRWEHPRUHWKDQRQH$3FRUUHVSRQGLQJWRWKHWUDQVPLWWHG%66,'7KH%66,'RIDQ$3EHORQJLQJWRD

 PXOWLSOH%66,'VHWLVDQRQWUDQVPLWWHG%66,'LIWKH$3¶V%66,'LVGHULYHGDFFRUGLQJWR 0XOWLSOH
 %66,'HOHPHQW DQG 0XOWLSOH%66,',QGH[HOHPHQW $PRQJDOO$367$VLQPXOWLSOH%66,'VHW
 RQO\WKH$3FRUUHVSRQGLQJWRWKHWUDQVPLWWHG%66,'VKDOOWUDQVPLWD%HDFRQIUDPH

 The 3rd paragraph remains unchanged:


 6HH  &ULWHULD IRU VHQGLQJ D UHVSRQVH  IRU WKH UXOHV JRYHUQLQJ WUDQVPLVVLRQ RI 3UREH 5HVSRQVH
 IUDPHVLQDPXOWLSOH%66,'VHW

 Insert new subclauses 11.1.3.8.2 and 11.1.3.8.3 as follows:


 1RQWUDQVPLWWHG%66,'SURILOH

 $ QRQWUDQVPLWWHG %66,' SURILOH UHSUHVHQWV LQIRUPDWLRQ DERXW D SDUWLFXODU QRQWUDQVPLWWHG %66,' DQG 

FRQVLVWV RI D VHW RI HOHPHQWV WKDW DUH FDUULHG LQ RQH RU PRUH 1RQWUDQVPLWWHG %66,' 3URILOH VXEHOHPHQWV

 DFURVVRQHRUPRUHPXOWLSOH%66,'HOHPHQWVLQWKHVDPHIUDPH(DFKQRQWUDQVPLWWHG%66,'SURILOHDWD
 PLQLPXP VKDOO LQFOXGH WKH HOHPHQWV WKDW DUH PDQGDWRU\ IRU WKDW %66 LH 1RQWUDQVPLWWHG %66,' 

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 &DSDELOLW\ HOHPHQW 66,' HOHPHQW 0XOWLSOH %66,',QGH[ HOHPHQW DV GHVFULEHG LQ  0XOWLSOH
 %66,' HOHPHQW  $Q H[DPSOH RI 0XOWLSOH %66,' HOHPHQW FDUU\LQJ RQH RU PRUH 1RQWUDQVPLWWHG %66,' 

3URILOH VXEHOHPHQWV LV VKRZQ LQ )LJXUHD ([DPSOH RI D 0XOWLSOH %66,' HOHPHQW FDUU\LQJ

 1RQWUDQVPLWWHG %66,' 3URILOH VXEHOHPHQWV  7KH ILJXUH DOVR VKRZV WKH RUGHU LQ ZKLFK WKH HOHPHQWV DUH
 SUHVHQWZLWKLQHDFK1RQWUDQVPLWWHG%66,'3URILOHVXEHOHPHQW



 KƉƚŝŽŶĂůƐƵďĞůĞŵĞŶƚƐ
 ůĞŵĞŶƚ/ DĂdž^^/ EŽŶƚƌĂŶƐŵŝƚƚĞĚ^^/
EŽŶƚƌĂŶƐŵŝƚƚĞĚ^^/ EŽŶƚƌĂŶƐŵŝƚƚĞĚ^^/ sĞŶĚŽƌ^ƉĞĐŝĨŝĐ
 ;сϳϭͿ
>ĞŶŐƚŚ
/ŶĚŝĐĂƚŽƌ WƌŽĨŝůĞƐƵďĞůĞŵĞŶƚĨŽƌ^^ϭ
WƌŽĨŝůĞƐƵďĞůĞŵĞŶƚĨŽƌ^^Ϯ ͘͘͘ WƌŽĨŝůĞƐƵďĞůĞŵĞŶƚĨŽƌ^^Ŭ ƐƵďĞůĞŵĞŶƚ
;ŝĨƉƌĞƐĞŶƚͿ ;ŝĨƉƌĞƐĞŶƚͿ ;ŝĨƉƌĞƐĞŶƚͿ





 ^ƵďĞůĞŵĞŶƚ/
>ĞŶŐƚŚ ĂƚĂ
 ;сϬͿ




 EŽŶƚƌĂŶƐŵŝƚƚĞĚ &D^ĞƐĐƌŝƉƚŽƌ EŽŶͲ/ŶŚĞƌŝƚĂŶĐĞ
 ^^/ĂƉĂďŝůŝƚLJ ^^/ĞůĞŵĞŶƚ
DƵůƚŝƉůĞ^^/Ͳ ĞůĞŵĞŶƚ
ůĞŵĞŶƚϭ ͘͘͘ ůĞŵĞŶƚ> ͘͘͘ ;ŝĨĚŽƚϭϭ&D^ĐƚŝǀĂƚĞĚ ͘͘͘ ůĞŵĞŶƚz ͘͘͘ ĞůĞŵĞŶƚ
 /ŶĚĞdžĞůĞŵĞŶƚ
ĞůĞŵĞŶƚ ŝƐƚƌƵĞͿ ;ŝĨƉƌĞƐĞŶƚͿ

 &ŝƌƐƚƚŚƌĞĞĞůĞŵĞŶƚƐ;ĨŝdžĞĚŽƌĚĞƌͿ ůĞŵĞŶƚŽƌĚĞƌĂƐĚĞĨŝŶĞĚŝŶĞĂĐŽŶͬD'ͬ^ϭ'ĞĂĐŽŶĨƌĂŵĞ >ĂƐƚĞůĞŵĞŶƚ

 )LJXUHD²([DPSOHRID0XOWLSOH%66,'HOHPHQWFDUU\LQJ1RQWUDQVPLWWHG%66,'3URILOHVXE

 HOHPHQWV

 $ QRQWUDQVPLWWHG %66,' SURILOH FRQVLVWV RI DOO HOHPHQWV FDUULHG LQ DOO VXFK 0XOWLSOH %66,' HOHPHQWV
 VKDULQJ WKH VDPH %66,' LQGH[ $Q $3 VKDOO QRW FDUU\ D QRQWUDQVPLWWHG %66,' SURILOH DFURVV PXOWLSOH
 0XOWLSOH %66,' HOHPHQWV LQ D IUDPH XQOHVV WKH QRQWUDQVPLWWHG %66,' SURILOH FDQQRW EH FDUULHG LQ RQH

 PXOWLSOH%66,'HOHPHQWGXHWRWKHVL]HOLPLWRIWKHPXOWLSOH%66,'HOHPHQW

 ,IWKHUHLVDQHHGWRVSOLWDQRQWUDQVPLWWHG%66,'SURILOHDFURVVPRUHWKDQRQH0XOWLSOH%66,'HOHPHQWLQD
 IUDPHDQ$3VKDOOQRWVSOLWDQHOHPHQWLQWKHSURILOHLQWRPXOWLSOH0XOWLSOH%66,'HOHPHQWVDQGLWVKDOO
 SODFHWKHQH[WHOHPHQWLQWKHQRQWUDQVPLWWHG%66,'SURILOHDVWKHILUVWHOHPHQWLQWKHILUVWQRQWUDQVPLWWHG 

 %66,'SURILOHVXEHOHPHQWRIWKHLPPHGLDWHO\IROORZLQJ0XOWLSOH%66,'HOHPHQW






















 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $Q H[DPSOH RI D QRQWUDQVPLWWHG %66,' SURILOH VSOLW DFURVV WZR 0XOWLSOH %66,' HOHPHQWV LQ D IUDPH LV
 VKRZQLQ)LJXUHE ([DPSOHRIDQRQWUDQVPLWWHG%66,'SURILOHVSOLWDFURVVPXOWLSOH0XOWLSOH%66,' 

HOHPHQWV 



 dǁŽDƵůƚŝƉůĞ^^/ĞůĞŵĞŶƚƐŝŶƐĂŵĞĨƌĂŵĞ


ůĞŵĞŶƚ/ DĂdž^^/ EŽŶƚƌĂŶƐŵŝƚƚĞĚ^^/WƌŽĨŝůĞ ůĞŵĞŶƚ/ DĂdž^^/ EŽŶƚƌĂŶƐŵŝƚƚĞĚ^^/WƌŽĨŝůĞ
 ;сϳϭͿ
>ĞŶŐƚŚ
/ŶĚŝĐĂƚŽƌ ƐƵďĞůĞŵĞŶƚĨŽƌ^^ŝ ;сϳϭͿ
>ĞŶŐƚŚ
/ŶĚŝĐĂƚŽƌ ƐƵďĞůĞŵĞŶƚĨŽƌ^^ŝ




 ^ƵďĞůĞŵĞŶƚ/ ^ƵďĞůĞŵĞŶƚ/
>ĞŶŐƚŚ ĂƚĂ >ĞŶŐƚŚ ĂƚĂ
 ;сϬͿ ;сϬͿ



 EŽŶƚƌĂŶƐŵŝƚƚĞĚ EŽŶͲ/ŶŚĞƌŝƚĂŶĐĞ
DƵůƚŝƉůĞ^^/Ͳ
 ^^/ĂƉĂďŝůŝƚLJ ^^/ĞůĞŵĞŶƚ
/ŶĚĞdžĞůĞŵĞŶƚ
ůĞŵĞŶƚϭ ͘͘͘ ůĞŵĞŶƚ> ůĞŵĞŶƚ>нϭ ͘͘͘ ůĞŵĞŶƚz ͘͘͘ ĞůĞŵĞŶƚ
 ĞůĞŵĞŶƚ ;ŝĨƉƌĞƐĞŶƚͿ

 )LJXUHE²([DPSOHRIDQRQWUDQVPLWWHG%66,'SURILOHVSOLWDFURVVPXOWLSOH0XOWLSOH%66,'


HOHPHQWV

 127(²$VGHVFULEHGLQ 6XEHOHPHQWV WKH/HQJWKILHOGRIWKH1RQWUDQVPLWWHG%66,'3URILOHVXEHOHPHQWLQGL
 FDWHVWKHQXPEHURIRFWHWVRQO\LQWKH'DWDILHOGRIWKHVXEHOHPHQW

 'LVFRYHU\RIDQRQWUDQVPLWWHG%66,'SURILOH


 $Q$3RU3&3PD\FKRRVHWRLQFOXGHRQO\DSDUWLDOOLVWRIQRQWUDQVPLWWHG%66,'SURILOHVLQWKH%HDFRQ 
 IUDPH 6* %HDFRQ IUDPH RU '0* %HDFRQ IUDPH RU WR LQFOXGH GLIIHUHQW VHWV RI QRQWUDQVPLWWHG %66,' 
 SURILOHVLQGLIIHUHQW%HDFRQIUDPHV6*%HDFRQIUDPHVRU'0*%HDFRQIUDPHV$Q$3FRUUHVSRQGLQJWR 


WKH WUDQVPLWWHG %66,' PD\ FKRRVH WR LQFOXGH RQO\ D SDUWLDO OLVW RI QRQWUDQVPLWWHG %66,' SURILOHV LQ DQ
 XQVROLFLWHGEURDGFDVW3UREH5HVSRQVHIUDPHRUD3UREH5HVSRQVHIUDPHVHQWLQUHVSRQVHWRD3UREH5HTXHVW
 IUDPHZLWK$GGUHVVILHOGVHWWRZLOGFDUG%66,'DQG66,'VHWWRZLOGFDUG$Q$3DGYHUWLVLQJDFRPSOHWH
 OLVW RI QRQWUDQVPLWWHG %66,' SURILOHV VKDOO VHW WKH &RPSOHWH /LVW 2I 1RQ7[%66,' 3URILOHV ILHOG RI
 ([WHQGHG&DSDELOLWLHVHOHPHQWWR


 $Q(0$$3RSHUDWLQJLQWKH*+]RU*+]EDQGVKRXOGLQFOXGHLQ%HDFRQDQG3UREH5HVSRQVHIUDPHV
 D 5HGXFHG 1HLJKERU 5HSRUW HOHPHQW FDUU\LQJ LQIRUPDWLRQ DERXW QRQWUDQVPLWWHG %66,'V WKDW DUH QRW
 DGYHUWLVHGLQWKH0XOWLSOH%66,'HOHPHQWFDUULHGLQWKDWIUDPH VHH 5HGXFHGQHLJKERUUHSRUW 7KH

 (0$$3GRHVWKLVWRDLGWKHIDVWGLVFRYHU\RIDOOQRQWUDQVPLWWHG%66,'VLQWKHPXOWLSOH%66,'VHWWKDWDUH
 GLVFRYHUDEOH



$Q(0$$3DGYHUWLVLQJDSDUWLDOOLVWRI%66,'SURILOHVVKDOOLQFOXGHWKH0XOWLSOH%66,'&RQILJXUDWLRQ 
 HOHPHQW VHH 0XOWLSOH%66,'&RQILJXUDWLRQHOHPHQW LQLWV%HDFRQIUDPH6*%HDFRQIUDPH
 RU '0* %HDFRQ IUDPH DQG LQ DQ\ 3UREH 5HVSRQVH IUDPH LW VHQGV WR LQGLFDWH WKH FRQILJXUDWLRQ RI WKH
 PXOWLSOH%66,'VHW


 $Q$3VKDOOVHWWKH%66,'&RXQWILHOGRIWKH0XOWLSOH%66,'&RQILJXUDWLRQHOHPHQWWRLQGLFDWHWKHQXPEHU
 RIDFWLYH%66,'VLQWKHPXOWLSOH%66,'VHWDQGVKDOOVHWWKH3URILOH3HULRGLFLW\ILHOGWRLQGLFDWHWKHQXPEHU
 RIEHDFRQVDVFDQQLQJ67$LVUHTXLUHGWRUHFHLYHLQRUGHUWRGLVFRYHUDOOWKHDFWLYHQRQWUDQVPLWWHG%66,'V

LQ WKH VHW $Q $3 FRUUHVSRQGLQJ WR WKH WUDQVPLWWHG %66,' VKDOO VHQG D 3UREH 5HVSRQVH IUDPH FDUU\LQJ


 0XOWLSOH%66,'HOHPHQWWKDWLQFOXGHVDWDPLQLPXPWKHQRQWUDQVPLWWHG%66,'SURILOHVUHTXHVWHGE\WKH
 VROLFLWLQJ3UREH5HTXHVWIUDPH

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $Q XQDVVRFLDWHG QRQ$3 67$ PD\ VHQG D GLUHFWHG 3UREH 5HTXHVW IUDPH FRQWDLQLQJ D .QRZQ %66,' 
 HOHPHQW VHH .QRZQ%66,'HOHPHQW WRDQ(0$$3WKDWDGYHUWLVHVSDUWLDOOLVWRIQRQWUDQVPLWWHG 

%66,'SURILOHVWRJDWKHULQIRUPDWLRQRQQRQWUDQVPLWWHG%66,'VLWKDVQRWGLVFRYHUHG$Q(0$$3ZKHQ 

 WUDQVPLWWLQJ D 3UREH 5HVSRQVH IUDPH LQ UHVSRQVH WR D 3UREH 5HTXHVW IUDPH FRQWDLQLQJ .QRZQ %66,' 
 HOHPHQW VKRXOG QRW LQFOXGH WKH QRQWUDQVPLWWHG %66,' SURILOHV IRU %66,'V OLVWHG LQ WKH .QRZQ %66,' 
 HOHPHQW DQG VKDOO DW D PLQLPXP LQFOXGH WKH QRQWUDQVPLWWHG %66,' SURILOHV UHTXHVWHG E\ WKH VROLFLWLQJ
 3UREH5HTXHVWIUDPH


 $Q(0$$3WKDWLQFOXGHVDSDUWLDOOLVWRIQRQWUDQVPLWWHG%66,'SURILOHVLQLWV%HDFRQIUDPH6*%HDFRQ 
 IUDPH RU '0* %HDFRQ IUDPH VKDOO DGYHUWLVH D SDUWLFXODU QRQWUDQVPLWWHG %66,' SURILOH LQ D UHSHDWLQJ

 SDWWHUQVXFKWKDWWKHSURILOHLVSUHVHQWLQDWOHDVWRQHEHDFRQLQDVHTXHQFHRIEHDFRQVLQGLFDWHGE\WKH3URILOH
 3HULRGLFLW\ ILHOG RI WKH 0XOWLSOH %66,' &RQILJXUDWLRQ HOHPHQW XQOHVV WKH PHPEHUVKLS RI WKH PXOWLSOH

%66,'VHWFKDQJHV,IWKHUHLVDFKDQJHLQDSDUWLFXODUQRQWUDQVPLWWHG%66,'¶VSURILOH LHVHWRIHOHPHQWV

 EHORQJWRWKHSURILOHRUWKHHOHPHQWYDOXHV WKH(0$$3VKDOOLQFOXGHWKHSURILOHLQWKHQH[W'7,0EHDFRQ 
 RIWKDW%66VRWKDW67$VZLWKWKDW%66EHFRPHDZDUHRIWKHFKDQJHLPPHGLDWHO\

 127(²,WLVUHFRPPHQGHGWKDWDQ$3VHOHFWWKHSHULRGLFLW\LQZKLFKDQRQWUDQVPLWWHG%66,'¶VSURILOHUHSHDWVWREHD
 PXOWLSOHRIWKH'7,0LQWHUYDORIWKH%66ZLWKWKDWQRQWUDQVPLWWHG%66,'VRWKDW67$VLQ36PRGHWKDWDUHDVVRFLDWHG
 ZLWKWKDW%66,'GRQRWKDYHWRZDNHIRUDGGLWLRQDOEHDFRQV
 127(²,QRUGHUWRDLGIDVWGLVFRYHU\RIQRQWUDQVPLWWHG%66,'VYLDSDVVLYHVFDQQLQJLWLVUHFRPPHQGHGWKDWDQ$3

 VHOHFWDVPDOOYDOXHIRUWKH3URILOH3HULRGLFLW\ILHOG


Insert a new subclause heading:


 ,QKHULWDQFHRIHOHPHQWYDOXHV

 Change the 4th paragraph as follows:


 :KHQDVWDWLRQUHFHLYHVD%HDFRQIUDPHRU'0*%HDFRQIUDPHZLWKD0XOWLSOH%66,'HOHPHQWWKDWFRQVLVWV
 RIDQRQWUDQVPLWWHG%66,'SURILOHZLWKRQO\WKHPDQGDWRU\HOHPHQWVLWPD\LQKHULWWKHFRPSOHWHSURILOH
 IURPDSUHYLRXVO\UHFHLYHG%HDFRQIUDPH'0*%HDFRQIUDPHRU3UREH5HVSRQVHIUDPHRULWPD\VHQGD
 3UREH5HTXHVWIUDPHWRREWDLQWKHFRPSOHWH%66,'SURILOHV(DFK%HDFRQHOHPHQWQRWWUDQVPLWWHGLQDQRQ

WUDQVPLWWHG%66,'VXEHOHPHQWLVLQKHULWHGIURPSUHYLRXV%HDFRQ'0*%HDFRQRU3UREH5HVSRQVHIUDPH

 LQZKLFKWKHHOHPHQWLVSUHVHQWH[FHSWIRUWKH4XLHWHOHPHQWZKLFKVKDOOWDNHHIIHFWRQO\LQWKH%HDFRQ 
 IUDPHRU'0*%HDFRQIUDPHWKDWFRQWDLQVLWDQGQRWFDUU\IRUZDUGDVDSDUWRIWKHLQKHULWDQFH$Q$3RU
 3&3LVQRWUHTXLUHGWRLQFOXGHDOOVXSSRUWHGQRQWUDQVPLWWHG%66,'SURILOHVLQD3UREH5HVSRQVHIUDPHDQG
 PD\FKRRVHWRRQO\LQFOXGHDVXEVHWEDVHGRQDQ\FULWHULD:KHQDQRQWUDQVPLWWHG%66,'SURILOHLVSUHVHQW

LQWKHRQHRUPRUH0XOWLSOH%66,'HOHPHQWVRIWKHD3UREH5HVSRQVHIUDPHRUD%HDFRQIUDPHWKH$3RU

 3&3VKDOOLQFOXGHDOOHOHPHQWVWKDWDUHVSHFLILFWRWKLV%66$QHOHPHQWLVFRQVLGHUHGWREHVSHFLILFWRD%66 
 LILWVYDOXHLVGLIIHUHQWIURPWKHFRUUHVSRQGLQJHOHPHQWDGYHUWLVHGE\WKHWUDQVPLWWHG%66,'RULIWKHQRQ
 WUDQVPLWWHG %66,' VDWLVILHV WKH FRQGLWLRQ DV VSHFLILHG LQ WKH 7DEOH %HDFRQ IUDPH ERG\  IRU D QRQ
 '0*QRQ6*$37DEOH '0*%HDFRQIUDPHERG\ IRUD'0*$3RU7DEOH 0LQLPXPDQG 

IXOOVHWRIRSWLRQDOHOHPHQWV IRUD6*$3IRUWKDWHOHPHQWWREHSUHVHQWZKLOHWKHWUDQVPLWWHG%66,'GRHV

 QRWVDWLVI\WKHFRUUHVSRQGLQJFRQGLWLRQ,IDQ\RIWKHRSWLRQDOHOHPHQWVFDUULHGLQWKH3UREH5HVSRQVHIUDPH
 %HDFRQIUDPHRU'0*%HDFRQIUDPHRU6*%HDFRQIUDPHRIWKHWUDQVPLWWHG%66,'DUHQRWSUHVHQWLQD
 QRQWUDQVPLWWHG%66,'SURILOHWKHFRUUHVSRQGLQJYDOXHVDUHWKHHOHPHQWYDOXHVWRXVHIRUWKHQRQWUDQVPLWWHG 
 %66,'DUHWKHYDOXHVRIWKHFRUUHVSRQGLQJHOHPHQWRIWKHWUDQVPLWWHG%66,'XQOHVVWKHHOHPHQWLVOLVWHGLQ 

WKH1RQ,QKHULWDQFHHOHPHQW LILQFOXGHG LQWKHQRQWUDQVPLWWHG%66,'SURILOHIRUWKDW%66


 The 5th paragraph remains unchanged:

 $ QRQ$3 DQG QRQ3&3 67$ GHULYHV LWV QRQWUDQVPLWWHG %66,' YDOXH DFFRUGLQJ WR  0XOWLSOH

%66,'HOHPHQW DQG 0XOWLSOH%66,',QGH[HOHPHQW 


 Insert a new subclause heading:

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7UDIILFDGYHUWLVHPHQWLQDPXOWLSOH%66,'VHW


 Change the 6th paragraph as follows:

 7KH3DUWLDO9LUWXDO%LWPDSILHOGRIWKH7,0HOHPHQWFDUULHGLQWKH%HDFRQ6*%HDFRQ'0*%HDFRQRU
 7,0 IUDPH VKDOO LQGLFDWH WKH SUHVHQFH RU DEVHQFH RI WUDIILF WREH GHOLYHUHG WR DOO VWDWLRQV DVVRFLDWHG WR D


WUDQVPLWWHGRUQRQWUDQVPLWWHG%66,'7KHILUVWnELWVRIWKHELWPDSDUHUHVHUYHGIRUWKHLQGLFDWLRQRIJURXS
 DGGUHVVHGIUDPHIRUWKHWUDQVPLWWHGDQGDOOQRQWUDQVPLWWHG%66,'V VHH *HQHUDO 7KH$,'VSDFH
 LVVKDUHGE\DOO%66VDQGWKHORZHVW$,'YDOXHWKDWVKDOOEHDVVLJQHGWRDQRQ6*67$LVn VHH 
 7,0HOHPHQW 7KHGHFLPDOYDOXHRIWKH/6%VRIWKH$,'DVVLJQHGWRDQ6*67$VKDOOEHJUHDWHUWKDQ 
 n7KH(QFRGHG%ORFNVWKDWFRQWDLQWKHVHILUVWn$,'V LIDQ\ VKDOOSUHFHGHWKH(QFRGHG%ORFNVWKDWFRQ


WDLQ$,'VIRUWKH6*67$VLQWKH6*3DUWLDO9LUWXDO%LWPDSILHOGRIHDFKSDJH(DFK%66RIWKH0XOWLSOH
 %66,' VHW PD\ KDYH D GLIIHUHQW '7,0 LQWHUYDO ZKLFK LV VLJQDOHG LQ WKH '7,0 3HULRG DQG '7,0 &RXQW
 ILHOGVWKDWDUHSUHVHQWLQWKH0XOWLSOH%66,',QGH[HOHPHQWFDUULHGLQWKHQRQWUDQVPLWWHG%66,'SURILOHIRU
 WKDW%66


 Insert the following paragraph and NOTE:

 %DVHG XSRQ LWV NQRZOHGJH RI WKH FDSDELOLW\ RI DVVRFLDWHG QRQ$3 67$V WR VXSSRUW WKH PXOWLSOH %66,'

 FDSDELOLW\DVLQGLFDWHGE\WKHFRUUHVSRQGLQJILHOGLQWKH([WHQGHG&DSDELOLWLHVHOHPHQWDQGWKHFRQWHQWRI

 WKHWUDIILFLQGLFDWLRQYLUWXDOELWPDSDQ$3VKDOOHQFRGHWKH3DUWLDO9LUWXDO%LWPDSDQGWKH%LWPDS&RQWURO
 ILHOGRIWKH7,0HOHPHQWXVLQJRQHRIWKHWKUHHPHWKRGV 0HWKRG$0HWKRG%RU0HWKRG& GHILQHGLQ
  *HQHUDO 6SHFLILFDOO\DQRQ6*$3VKDOOXVH 0HWKRG% LILW GHWHUPLQHVWKDWWKHELWIRUHDFK 
 DVVRFLDWHGQRQ$367$LQWKHWUDIILFLQGLFDWLRQYLUWXDOELWPDSWKDWLVUHFRQVWUXFWHGE\HDFKQRQ$367$ 
 IURPWKHUHFHLYHG7,0HOHPHQWHQFRGHGXVLQJ0HWKRG%LVVHWFRUUHFWO\2WKHUZLVHDQRQ6*$3VKDOOXVH

 0HWKRG$DQGDQ6*$3VKDOOXVH0HWKRG&
 127(²,IDOOWKHUHFLSLHQWVRIWKH7,0HOHPHQWDUH67$VWKDWVXSSRUWWKHPXOWLSOH%66,'FDSDELOLW\IRUH[DPSOHZKHQ 
 WKH7,0HOHPHQWLVFDUULHGLQ+(EHDFRQ(5EHDFRQ),/6'LVFRYHU\IUDPHRU236IUDPHZKHUHDOOWKHDGGUHVVHHVDUH
 QRQ$3 +( 67$V WKH WUDQVPLWWLQJ $3 XVHV 0HWKRG % WR HQFRGH WKH 3DUWLDO 9LUWXDO %LWPDS DQG WKH %LWPDS &RQWURO
 ILHOGVRIWKH7,0HOHPHQW


 The final paragraph remains unchanged:

 0XOWLSOH%66,'UDWHVHOHFWLRQLVGHILQHGLQ 0XOWLSOH%66,'5DWH6HOHFWLRQ 


 $FTXLULQJV\QFKURQL]DWLRQVFDQQLQJ

 $FWLYHVFDQQLQJ


 $FWLYHVFDQQLQJSURFHGXUHIRUDQRQ'0*67$


Change item b), c) and d) in the 2nd paragraph as follows:


 )RUHDFKFKDQQHOWREHVFDQQHG

 E ,IWKH67$LVD),/667$RUD*+]+(67$VHWWKH),/63UREH7LPHUWRDQGVWDUWVWKH),/63UR
 EH7LPHU:KLOHWKH),/63UREH7LPHULVOHVVWKDQGRW),/63UREH'HOD\WKH67$PD\VNLSDSUREH
 UHTXHVWWUDQVPLVVLRQDQGSURFHHGWRVWHSL DIWHUVHWWLQJWKH$FWLYH6FDQQLQJ7LPHUWRDQGVWDUWLQJ
 WKH$FWLYH6FDQQLQJ7LPHULIRQHRIWKHIROORZLQJFRQGLWLRQVPDWFKHV

  7KH67$UHFHLYHVD EURDGFDVW DGGUHVVHG3UREH5HTXHVW IUDPH WKDW WKH60(FRQVLGHUV WR EH
 VXLWDEOHWRGLVFRYHUDFDQGLGDWH$3IRUDVVRFLDWLRQ

  7KH67$UHFHLYHVRQHRUPRUHRI3UREH5HVSRQVH%HDFRQ0HDVXUHPHQW3LORWRU),/6'LV
 FRYHU\IUDPHWKDWLGHQWLI\DQ$3WKDWWKH60(FRQVLGHUVDVXLWDEOHFDQGLGDWHIRUDVVRFLDWLRQ

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

  7KH 67$ VXFFHVVIXOO\ VHQW D 3UREH 5HTXHVW IUDPH E\ IROORZLQJ WKH 825$ SURFHGXUH DV
 GHILQHGLQ 8/2)'0$EDVHGUDQGRPDFFHVV 825$ 

 127(²+RZDQ60(FRQVLGHUVDSUREHUHTXHVWRU$3VXLWDEOHLVRXWVLGHWKHVFRSHRIWKLVVWDQGDUG

 F 3HUIRUPWKHEDVLFDFFHVVSURFHGXUHDVGHILQHGLQ %DVLFDFFHVV :KLOHZDLWLQJIRUDFFHVVWR

 :067$PD\VHQGRQHRUPRUH3UREH5HTXHVWIUDPHVE\IROORZLQJWKH825$SURFHGXUHDQGSUR


FHHGWRVWHSL
 G 6HQGDSUREHUHTXHVWWRWKHEURDGFDVWGHVWLQDWLRQDGGUHVV7KHSUREHUHTXHVWLVVHQWZLWKWKH66,' 

DQG%66,'IURPWKHUHFHLYHG0/0(6&$1UHTXHVWSULPLWLYH:KHQHLWKHUWKH66,'/LVWRU6KRUW

 66,' /LVW RU ERWK DUH LV SUHVHQW LQ WKH 0/0(6&$1UHTXHVW SULPLWLYH VHQG RQH RU PRUH 3UREH
 5HTXHVWIUDPHVHDFKZLWKDQ66,'RQHRUPRUH66,'VLQGLFDWHGLQHLWKHUWKH66,'/LVWRU6KRUW
 66,'/LVWRUERWKDQGWKH%66,'IURPWKH0/0(6&$1UHTXHVWSULPLWLYH


 &ULWHULDIRUVHQGLQJDUHVSRQVH

 Change item g) in the first paragraph as follows:


 $67$WKDWUHFHLYHVD3UREH5HTXHVWIUDPHVKDOOQRWUHVSRQGLIDQ\RIWKHIROORZLQJDSSO\

 J 7KH67$LVQRWDPHVK67$DQGQRQHRIWKHIROORZLQJFULWHULDDUHPHW

 7KH66,'LQWKH3UREH5HTXHVWIUDPHLVWKHZLOGFDUG66,'

  7KH66,'LQWKH3UREH5HTXHVWIUDPHPDWFKHVWKH66,'RIWKH67$¶V

 D 7KH67$LVDQ$3WKDWLVLQWKHVDPHFRORFDWHG$3VHWDVD*+]$3WKH66,'LQWKH3UREH
 5HTXHVWIUDPHPDWFKHVWKH66,'RIWKH*+]$3DQGWKH67$UHSRUWVWKHFRORFDWHG*+]
 $3LQ%HDFRQDQG3UREH5HVSRQVHIUDPHVVHH 2XWRIEDQGGLVFRYHU\RID*+]

 %66 
  7KH 67$ LV D PHPEHU RI D PXOWLSOH %66,' VHW DQG WKH 66,' LQ WKH 3UREH 5HTXHVW IUDPH

PDWFKHVDQ\RIWKH66,'VRIWKHPHPEHUVRIWKDWPXOWLSOH%66,'VHW

  7KHGRW66,'/LVW,PSOHPHQWHGLVWUXHWKH66,'/LVWHOHPHQWLVSUHVHQWLQWKH3UREH5HTXHVW
 IUDPHDQGLQFOXGHVWKH66,'RIWKH67$¶V%66

  GRW66,'/LVW,PSOHPHQWHGLVWUXHWKH67$LVDQ$3WKDWLVLQWKHVDPHFRORFDWHG$3VHWDVD
 *+]$3WKH66,'/LVWHOHPHQWLVSUHVHQWLQWKH3UREH5HTXHVWIUDPHDQGLQFOXGHVWKH66,' 

 FRUUHVSRQGLQJ WR WKH FRORFDWHG  *+] $3 DQG WKH $3 UHSRUWV WKH FRORFDWHG  *+] $3 LQ
 %HDFRQDQG3UREH5HVSRQVHIUDPHVVHH 2XWRIEDQGGLVFRYHU\RID*+]%66 


 GRW6KRUW66,'/LVW,PSOHPHQWHGLVWUXHWKH6KRUW66,'/LVWHOHPHQWLVSUHVHQWLQWKH3UREH
 5HTXHVWIUDPHDQGLQFOXGHVWKH6KRUW66,'ILHOGFRUUHVSRQGLQJWRWKH66,'RIWKH67$¶V%66

 GRW6KRUW66,'/LVW,PSOHPHQWHGLVWUXHWKH67$LVDQ$3WKDWLVLQWKHVDPHFRORFDWHG$3 

 VHW DV D  *+] $3 WKH 6KRUW 66,' /LVW HOHPHQW LV SUHVHQW LQ WKH 3UREH 5HTXHVW IUDPH DQG
 LQFOXGHVWKH6KRUW66,'ILHOGFRUUHVSRQGLQJWRWKH66,'RIWKH*+]$3DQGWKH$3UHSRUWV
 WKLV*+]$3LQLWV%HDFRQDQG3UREH5HVSRQVHIUDPHVVHH 2XWRIEDQGGLVFRYHU\ 
 RID*+]%66 


 Change the 2nd paragraph, inserting a new item in the list following item 3) as follows:



$),/667$VKDOOQRWUHVSRQGWRD3UREH5HTXHVWIUDPHLIDQ\RIWKHIROORZLQJFULWHULDLVPHWIRUD),/6

 5HTXHVW3DUDPHWHUVHOHPHQWFRQWDLQHGLQWKH3UREH5HTXHVWIUDPH

D ,IWKH),/6&ULWHULDILHOGLVSUHVHQWLQWKH),/65HTXHVWV3DUDPHWHUVHOHPHQWDQGWKH3+<6XSSRUW

 &ULWHULRQRIWKH),/6&ULWHULDILHOGRIWKH),/65HTXHVW3DUDPHWHUVHOHPHQWLVDQGWKHUHVSRQGLQJ

 67$LVQRW+(FDSDEOH

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 (QKDQFHG),/6DFWLYHVFDQQLQJWRSUHIHUUHG$3



Insert the following into bulleted list of the 1st paragraph after Fragment element and before Vendor
 specific element:
 ² 7:7HOHPHQW

 ² 08('&$3DUDPHWHU6HWHOHPHQW
 ² 1'3)HHGEDFN5HSRUW3DUDPHWHUVHWHOHPHQW

 ² 825$3DUDPHWHU6HWHOHPHQW


² 6SDWLDO5HXVH3DUDPHWHU6HWHOHPHQW
 ² +(%66/RDGHOHPHQW

 ² 4XLHW7LPH3DUDPHWHUHOHPHQW


 3RZHUPDQDJHPHQW

 3RZHUPDQDJHPHQWLQDQRQ'0*LQIUDVWUXFWXUHQHWZRUN


 1RQ$367$SRZHUPDQDJHPHQWPRGHV

 Change the 1st paragraph as follows:


 $QRQ$367$FDQEHLQRQHRIWZRSRZHUPDQDJHPHQWPRGHV
 ² $FWLYHPRGH7KH67$UHFHLYHVDQGWUDQVPLWVIUDPHVDWDQ\WLPHLIWKH67$LVLQDZDNHVWDWH7KH
 QRQ+(67$UHPDLQVLQWKHDZDNHVWDWH7KH+(67$UHPDLQVLQWKHDZDNHVWDWHXQOHVVWKH67$LV

 XQDYDLODEOH$67$WKDWLVXQDYDLODEOHLVQRWFDSDEOHRIUHFHLYLQJ33'8V$67$LVSHUPLWWHGWREH
 XQDYDLODEOHDVGHVFULEHGLQ 2SSRUWXQLVWLFSRZHUVDYH  ,QWUD33'8SRZHUVDYHIRU
 QRQ$3+(67$V DQG 7:7,QIRUPDWLRQIUDPHH[FKDQJHIRUIOH[LEOHZDNHWLPH 

 ² 3RZHU VDYH 36  PRGH 7KH 67$ HQWHUV WKH DZDNH VWDWH WR UHFHLYH RU WUDQVPLW IUDPHV 7KH 67$

 UHPDLQVLQWKHGR]HVWDWHRWKHUZLVH

 $3RSHUDWLRQ


 Change the 1st paragraph as follows:

 $Q$3VKDOOPDLQWDLQIRUHDFKFXUUHQWO\DVVRFLDWHG67$D3RZHU0DQDJHPHQWVWDWXVWKDWLQGLFDWHVLQZKLFK 
 SRZHUPDQDJHPHQWPRGHWKH67$LVFXUUHQWO\RSHUDWLQJ$3VWKDWLPSOHPHQWDQGVLJQDOWKHLUVXSSRUWRI

 $36'VKDOOPDLQWDLQIRUHDFKFXUUHQWO\DVVRFLDWHG67$DQ$36'DQGDQDFFHVVSROLF\VWDWXVWKDWLQGLFDWHV
 ZKHWKHUWKH67$LVSUHVHQWO\XVLQJ$36'DQGVKDOOPDLQWDLQWKHVFKHGXOH LIDQ\ IRUWKH67$$Q$3VKDOO
 GHSHQGLQJRQWKHSRZHUPDQDJHPHQWPRGHRIWKH67$WHPSRUDULO\EXIIHU%8VGHVWLQHGWRWKH67$$Q$3 
 LPSOHPHQWLQJ$36'VKDOOLID67$LVXVLQJ$36'DQGLVLQ36PRGHWHPSRUDULO\EXIIHU%8VGHVWLQHGWR 
 WKDW67$1R%8VDGGUHVVHGGLUHFWO\WR67$VRSHUDWLQJLQWKHDFWLYHPRGHVKDOOEHEXIIHUHGIRUSRZHUPDQ

 DJHPHQWUHDVRQV$Q+($3VKRXOGQRWWUDQVPLWWRDQ+(67$LIWKH67$PLJKWEHXQDYDLODEOHDVGHILQHG 
 LQ  7:7 ,QIRUPDWLRQ IUDPH H[FKDQJH IRU IOH[LEOHZDNH WLPH  DQG  2SSRUWXQLVWLF SRZHU
 VDYH XQOHVVWKHWUDQVPLVVLRQLVVROLFLWHGE\WKH67$

 Change items f) and g) in the 2nd paragraph as follows:


 7KHIROORZLQJUXOHVGHVFULEHWKHRSHUDWLRQ

I :KHQ GRW)06$FWLYDWHG LV IDOVH WKH $3 VKDOO WUDQVPLW DOO EXIIHUHG QRQ*&563 DN QRQ

 6<15$JURXSDGGUHVVHG%8VLPPHGLDWHO\DIWHUHYHU\'7,0RUGXULQJEURDGFDVW7:763VZLWKLQ 
 WKDWEHDFRQLQWHUYDODVGHILQHGLQ 5XOHVIRU7:7VFKHGXOLQJ$3 

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 :KHQGRW)06$FWLYDWHGLVWUXHDQGWKH$3KDVHVWDEOLVKHGDQ)06GHOLYHU\LQWHUYDOIRUDPXOWL
 FDVW VWUHDP WKH $3 VKDOO WUDQVPLW DOO QRQ*&563 DN QRQ6<15$ JURXS DGGUHVVHG %8V

EHORQJLQJWRSDUWLFXODU)06VWUHDPLPPHGLDWHO\DIWHUWKH'7,0WKDWKDVWKH&XUUHQW&RXQWILHOGRI

 WKH)06&RXQWHUILHOG 0 VHWWRIRUWKDWSDUWLFXODU)06VWUHDPRUGXULQJEURDGFDVW7:763V
 ZLWKLQWKDWEHDFRQLQWHUYDODVGHILQHGLQ 5XOHVIRU7:7VFKHGXOLQJ$3 


7KH0RUH'DWDVXEILHOGRIHDFKJURXSDGGUHVVHGIUDPHVKDOOEHVHWWRLQGLFDWHWKHSUHVHQFHRIIXU
 WKHUEXIIHUHGQRQ*&563JURXSDGGUHVVHG%8VWKDWZLOOEHGHOLYHUHGXVLQJ03'8VZLWKDQ5$ 
 RWKHU WKDQ D 6<15$ ,I WKH $3 LV XQDEOH EHIRUH WKH SULPDU\ RU VHFRQGDU\ 7%77 IROORZLQJ WKH
 '7,0WRWUDQVPLWDOORIWKHEXIIHUHGQRQ*&563JURXSDGGUHVVHG%8V DN WKDWZLOOEHGHOLY
 HUHGXVLQJ03'8VZLWKDQ5$RWKHUWKDQD6<15$WKHQWKH$3VKDOOVHWWKHELWIRU$,' ]HUR LQ 


WKH7,0HOHPHQWWRIRUDVLQJOH%66,'RUVHWWKHFRUUHVSRQGLQJJURXSDGGUHVVELWWRIRUPXOWLSOH
 %66,'VDVGHILQHGLQ 7,0HOHPHQW DQGZKHQGRW)06$FWLYDWHGLVWUXHVKDOOVHWWKH
 DSSURSULDWHELWVLQWKH)06'HVFULSWRUHOHPHQWDVGHVFULEHGLQ )06'HVFULSWRUHOHPHQW 
 WRLQGLFDWHIRUZKLFKQRQ*&563QRQ6<15$JURXSDGGUHVVHVWKHUHDUHVWLOOEXIIHUHG%8VXQWLO
 DOO EXIIHUHG QRQ*&563 JURXS DGGUHVVHG %8V WKDW ZLOO EH GHOLYHUHG XVLQJ 03'8V ZLWK DQ 5$ 


RWKHUWKDQD6<15$KDYHEHHQWUDQVPLWWHG
 :KHQ WKH $3 WUDQVPLWV DQ 67%& '7,0 RU 7,0 %HDFRQ IUDPH WKH $3 VKDOO UHWUDQVPLW DOO QRQ
 *&563 JURXS DGGUHVVHG %8V WKDW ZLOO EH GHOLYHUHG XVLQJ 03'8V ZLWK DQ 5$ RWKHU WKDQ D

 6<15$ DQG WKDW ZHUH WUDQVPLWWHG IROORZLQJ WKH QRQ67%& '7,0 RU 7,0 %HDFRQ IUDPH H[FHSW
 WKDWWKH\DUHWUDQVPLWWHGXVLQJWKHEDVLF67%&0&6,WPD\EHWKHFDVHWKDWDFRPSOHWHVHWRIEXII
 HUHG QRQ*&563 QRQ6<15$ JURXS DGGUHVVHG %8V LV VHQW RYHU D SHULRG RI WLPH GXULQJ ZKLFK 
 QRQ67%& DQG 67%& WUDQVPLVVLRQV DUH LQWHUOHDYHG EXW WKH WUDQVLWLRQ IURP QRQ67%& JURXS
 DGGUHVVHGWUDQVPLVVLRQVWR67%&JURXSDGGUHVVHGWUDQVPLVVLRQVVKDOOEHSUHFHGHGE\WKHWUDQVPLV

 VLRQRIDQ67%&%HDFRQIUDPHDQGWKHWUDQVLWLRQIURP67%&JURXSDGGUHVVHGWUDQVPLVVLRQVWRQRQ
 67%&JURXSDGGUHVVHGWUDQVPLVVLRQVVKDOOEHSUHFHGHGE\WKHWUDQVPLVVLRQRIDQRQ67%&%HDFRQ
 IUDPH

 J :KHQWKH$3UHFHLYHVD363ROOIUDPHIURPD67$WKDWLVLQ36PRGHLWVKDOOIRUZDUGWRWKH67$D
 VLQJOHEXIIHUHG%87KH$3VKDOOUHVSRQGDIWHUD6,)6HLWKHUZLWKD'DWDRU0DQDJHPHQWIUDPHRU
 ZLWKDQ$FNIUDPHLQZKLFKFDVHWKHFRUUHVSRQGLQJ'DWDRU0DQDJHPHQWIUDPHLVGHOD\HG8QWLO
 WKHWUDQVPLVVLRQRIWKLV%8HLWKHUKDVVXFFHHGHGRULVSUHVXPHGIDLOHG ZKHQPD[LPXPUHWULHVDUH

H[FHHGHG WKH$3VKDOODFNQRZOHGJHEXWLJQRUHDOO363ROOIUDPHVIURPWKHVDPH67$7KLVSUH

 YHQWVDUHWULHG363ROOIUDPHIURPEHLQJWUHDWHGDVDQHZUHTXHVWWRGHOLYHUDEXIIHUHG%8
 
 )RUD67$XVLQJ8$36'WKH$3WUDQVPLWVRQH%8GHVWLQHGIRUWKH67$IURPDQ\$&WKDWLVQRW
 GHOLYHU\HQDEOHGLQUHVSRQVHWR363ROOIUDPHIURPWKH67$7KH$3VKRXOGWUDQVPLWWKH%8IURP 

WKHKLJKHVWSULRULW\$&WKDWLVQRWGHOLYHU\HQDEOHGDQGWKDWKDVDEXIIHUHG%8:KHQDOO$&VDVVR

 FLDWHGZLWKWKH67$DUHGHOLYHU\HQDEOHGWKH$3WUDQVPLWVRQH%8IURPWKHKLJKHVWSULRULW\$&WKDW
 KDVD%8
 
 )RU D 67$ LQ 36 PRGH DQG QRW XVLQJ 8$36' WKH $3 VKDOO VHW WKH 0RUH 'DWD VXEILHOG RI WKH

UHVSRQVH 'DWD RU 0DQDJHPHQW IUDPH WR  WR LQGLFDWH WKH SUHVHQFH RI IXUWKHU EXIIHUHG %8V QRW

 LQFOXGLQJWKH%8FXUUHQWO\EHLQJWUDQVPLWWHG IRUWKHSROOLQJ67$)RUD67$XVLQJ8$36'WKH
 $3VKDOOVHWWKH0RUH'DWDVXEILHOGWRWRLQGLFDWHWKHSUHVHQFHRIIXUWKHUEXIIHUHG%8V QRWLQFOXG
 LQJWKH%8FXUUHQWO\EHLQJWUDQVPLWWHG WKDWGRQRWXVHGHOLYHU\HQDEOHG$&V:KHQDOO$&VDVVRFL
 DWHGZLWKWKH67$DUHGHOLYHU\HQDEOHGWKH$3VKDOOVHWWKH0RUH'DWDVXEILHOGWRWRLQGLFDWHWKH

SUHVHQFHRIIXUWKHUEXIIHUHG%8V QRWLQFOXGLQJWKH%8FXUUHQWO\EHLQJWUDQVPLWWHG XVLQJGHOLYHU\

 HQDEOHG$&V
 
 ,I WKHUH DUH EXIIHUHG %8V WR WUDQVPLW WR WKH 67$ WKH $3 PD\ VHW WKH 0RUH 'DWD ELW LQ D 4R6
 &)$FNIUDPHWRLQUHVSRQVHWRD4R6'DWDIUDPHWRLQGLFDWHWKDWLWKDVRQHRUPRUHSHQGLQJ%8V

EXIIHUHGIRUWKH3667$LGHQWLILHGE\WKH5$LQWKH4R6&)$FNIUDPH$Q$3PD\DOVRVHWWKH

 0RUH'DWDELWLQDQ$FNIUDPHWRLQUHVSRQVHWRD4R6'DWDIUDPHWRLQGLFDWHWKDWLWKDVRQHRU
 PRUHSHQGLQJ%8VEXIIHUHGIRUWKH3667$LGHQWLILHGE\WKH5$LQWKH$FNIUDPHLIWKDW3667$ 

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 KDVVHWWKH0RUH'DWD$FNVXEILHOGLQWKH4R6,QIRILHOG4R6&DSDELOLW\HOHPHQWWR$Q+($3 
 PD\DOVRVHWWKH0RUH'DWDELWLQD%ORFN$FNRU0XOWL67$%ORFN$FNIUDPHWRWRLQGLFDWHWKDWLW

KDVRQHRUPRUHSHQGLQJ%8VEXIIHUHGIRUWKH+(3667$LGHQWLILHGE\WKH5$LQWKH%ORFN$FNRU

 0XOWL67$%ORFN$FNIUDPHLIWKDW+(3667$KDVVHWWKH0RUH'DWD$FNVXEILHOGLQWKH4R6,QIR 
 ILHOGWR$Q+($3LQGLFDWHVVXSSRUWRIVHQGLQJ$FN%ORFN$FNRU0XOWL67$%ORFN$FNIUDPHV
 ZLWKDQRQ]HUR0RUH'DWDVXEILHOGE\VHWWLQJWKH0RUH'DWD$FNVXEILHOGWRLQWKH4R6,QIRILHOG
 RIIUDPHVLWWUDQVPLWV



 8QOHVVLQGLFDWHGDERYHWKH$3VKDOOVHWWKH0RUH'DWDELWWR



5HFHLYHRSHUDWLRQIRU67$VLQ36PRGH

 Change item e) in the 2nd paragraph as follows:


 7KHIROORZLQJUXOHVGHVFULEHRSHUDWLRQRID67$LQ36PRGH

 H :KHQGRW)06$FWLYDWHGLVIDOVHDQG5HFHLYH'7,0VLVWUXHWKH67$VKDOOZDNHXSHDUO\HQRXJK 
 WREHDEOHWRUHFHLYHHLWKHUHYHU\QRQ67%&'7,0RUHYHU\67%&'7,0VHQWE\WKH$3RIWKH%66

 :KHQGRW)06$FWLYDWHGLVWUXHDQG5HFHLYH'7,0VLVWUXHDQGWKH67$KDVEHHQJUDQWHGE\WKH


$3DQDOWHUQDWHGHOLYHU\LQWHUYDOIRUDPXOWLFDVWVWUHDPWKH67$VKDOOZDNHXSEHIRUHWKHQRQ67%&

 '7,0RU67%&'7,0KDYLQJ&XUUHQW&RXQWRI)06&RXQWHUILHOGVHWWRIRUWKDWSDUWLFXODU)06 
 VWUHDP

 $67$WKDWVWD\VDZDNHWRUHFHLYHJURXSDGGUHVVHG%8VVKDOOHOHFWWRUHFHLYHDOOJURXSDGGUHVVHG 
 QRQ67%& WUDQVPLVVLRQV RU DOO JURXS DGGUHVVHG 67%& WUDQVPLVVLRQV DQG UHPDLQ DZDNH XQWLO WKH
 0RUH'DWDVXEILHOGRIWKHDSSURSULDWHW\SH QRQ67%&RU67%& RIJURXSDGGUHVVHG%8VLQGLFDWHV


WKHUHDUHQRIXUWKHUEXIIHUHGJURXSDGGUHVVHG%8VRIWKDWW\SHRUXQWLOD7,0LVUHFHLYHGLQGLFDWLQJ 
 WKHUHDUHQRPRUHEXIIHUHGJURXSDGGUHVVHG%8VRIWKDWW\SHRUXQWLODQ)06'HVFULSWRUHOHPHQWLV
 UHFHLYHGLQGLFDWLQJWKDWWKHUHDUHQRIXUWKHUEXIIHUHGJURXSDGGUHVVHG%8VIRUZKLFKWKH67$KDV
 SUHYLRXVO\UHFHLYHGDQ)065HVSRQVHHOHPHQWLQDIUDPHWKDWKDVDYDOXHLQ$GGUHVVWKDWPDWFKHV
 LWV0$&DGGUHVVRUWKDWKDVDQ$GGUHVVYDOXHWKDWLVDJURXSDGGUHVVFRUUHVSRQGLQJWRDJURXSRI


ZKLFKLWLVDPHPEHUDQGWKDWZDVWUDQVPLWWHGE\WKH$3ZLWKZKLFKLWLVDVVRFLDWHGDQGZKLFKKDG 
 DQ (OHPHQW 6WDWXV YDOXH LQ WKH )06 6WDWXV VXEHOHPHQW RI ³$FFHSW´ ,I D 67$ UHFHLYHV D 4R6 
 &)$FNIUDPHIURPLWV$3ZLWKWKH0RUH'DWDELWHTXDOWRWKHQWKH67$VKDOORSHUDWHH[DFWO\DV
 LILWUHFHLYHGD7,0ZLWKLWV$,'ELWHTXDOWR,ID67$KDVVHWWKH0RUH'DWD$FNVXEILHOGLQWKH
 4R6,QIRILHOG4R6&DSDELOLW\HOHPHQWWRWKHQLILWUHFHLYHVDQ$FNIUDPHIURPLWV$3ZLWKWKH


0RUH'DWDELWHTXDOWRWKH67$VKDOORSHUDWHH[DFWO\DVLILWUHFHLYHGD7,0ZLWKLWV$,'ELWHTXDO
 WR,IDQ+(67$KDVVHWWKH0RUH'DWD$FNVXEILHOGLQWKH4R6,QIRILHOGWRWKHQLILWUHFHLYHV
 D%ORFN$FNRU0XOWL67$%ORFN$FNIUDPHIURPLWV$3ZLWKWKH0RUH'DWDELWHTXDOWRWKH67$ 
 VKDOORSHUDWHDVLILWUHFHLYHGD7,0ZLWKLWV$,'ELWHTXDOWR)RUH[DPSOHD67$WKDWLVXVLQJWKH
 363ROO GHOLYHU\ PHWKRG VKDOO LVVXH D 363ROO IUDPH WR UHWULHYH D EXIIHUHG %8 6HH DOVR 


*URXSDGGUHVVHG03'8WUDQVIHUSURFHGXUH 

 67$VRSHUDWLQJLQDFWLYHPRGH


 Change as follows:


 $67$RSHUDWLQJLQWKLVPRGHVKDOOKDYHLWVUHFHLYHUDFWLYDWHGFRQWLQXRXVO\XQOHVVWKH67$LVDOORZHGWREH
 WHPSRUDULO\ XQDYDLODEOH ZLWK RSSRUWXQLVWLF SRZHU VDYH SURFHGXUH DV GHILQHG LQ  2SSRUWXQLVWLF

SRZHUVDYH RUZLWKLQWUD33'8SRZHUVDYHSURFHGXUHDVGHILQHGLQ ,QWUD33'8SRZHUVDYHIRU

 QRQ$3+(67$V RULQ 7:7,QIRUPDWLRQIUDPHH[FKDQJHIRUIOH[LEOHZDNHWLPH VXFK67$VGR
 QRWQHHGWRLQWHUSUHWWKH7,0HOHPHQWVLQ%HDFRQIUDPHV

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7,0%URDGFDVW


Change the 3rd paragraph as follows (splitting it into two paragraphs):


 $QRQ$367$PD\DFWLYDWHWKH7,0EURDGFDVWVHUYLFHE\LQFOXGLQJD7,0%URDGFDVW5HTXHVWHOHPHQWLQD
 7,0%URDGFDVW5HTXHVWIUDPH$VVRFLDWLRQ5HTXHVWIUDPHRU5HDVVRFLDWLRQ5HTXHVWIUDPHWKDWLVWUDQVPLW
 WHGWRWKH$3ZKLFKVSHFLILHVWKHUHTXHVWHGLQWHUYDOEHWZHHQ7,0IUDPHWUDQVPLVVLRQV WKH7,0EURDGFDVW


LQWHUYDO 2QUHFHLSWRIDSURSHUO\IRUPDWWHG7,0%URDGFDVW5HTXHVWHOHPHQWLQD7,0%URDGFDVW5HTXHVW
 IUDPH$VVRFLDWLRQ5HTXHVWIUDPHRU5HDVVRFLDWLRQ5HTXHVWIUDPHWKH$3VKDOOLQFOXGHD7,0%URDGFDVW
 5HVSRQVH HOHPHQW LQ WKH FRUUHVSRQGLQJ 7,0 %URDGFDVW 5HVSRQVH IUDPH $VVRFLDWLRQ 5HVSRQVH IUDPH RU
 5HDVVRFLDWLRQ5HVSRQVHIUDPHZKHQGRW7,0%URDGFDVW$FWLYDWHGLVWUXH$QRQ$367$VKDOOWUDQVPLWD
 7,0%URDGFDVW5HTXHVWRQO\LIWKHDVVRFLDWHG$3KDVLQGLFDWHGVXSSRUWIRU7,0%URDGFDVWE\VHWWLQJWKH


7,0%URDGFDVWILHOGRIWKH([WHQGHG&DSDELOLWLHVHOHPHQWVWKDWLWWUDQVPLWVWR
 127(²$Q 236 $3 WKDW WUDQVPLWV 7,0 IUDPHV DV GHVFULEHG LQ  2SSRUWXQLVWLF SRZHU VDYH  LV H[SHFWHG WR

 HQFRGHWKH7,0ELWVVXFKWKDWDQDVVRFLDWHGQRQ$367$WKDWGRHVQRWVXSSRUW236RSHUDWLRQFDQXVHWKHLQIRUPDWLRQ 
 UHFHLYHGLQWKH7,0IUDPHDVLWZRXOGGRZKHQUHFHLYLQJD7,0IUDPHWUDQVPLWWHGIROORZLQJWKH7,0%URDGFDVWSURFH
 GXUH


 :KHQWKHUHTXHVWHG7,0EURDGFDVWLQWHUYDOLVDFFHSWDEOHWKH$3VKDOOLQFOXGHD7,0%URDGFDVW5HVSRQVH
 HOHPHQW VSHFLI\LQJ WKH UHTXHVWHG 7,0 EURDGFDVW LQWHUYDO DQG D 6WDWXV ILHOG LQGLFDWLQJ ³$FFHSW´ ZKHQ QR 
 YDOLG 76) WLPHVWDPS LV SUHVHQW LQ WKH 7,0 IUDPHV RU ³$FFHSW YDOLG WLPHVWDPS SUHVHQW LQ 7,0 IUDPHV´
 ZKHQDYDOLG76)WLPHVWDPSLVSUHVHQWLQWKH7,0IUDPHV:KHQWKH$3RYHUULGHVWKHUHTXHVWHG7,0EURDG
 FDVWLQWHUYDOLWVKDOOLQFOXGHD7,0%URDGFDVW5HVSRQVHHOHPHQWVSHFLI\LQJDGLIIHUHQW7,0EURDGFDVWLQWHU

 YDODQGD6WDWXVILHOGLQGLFDWLQJ³2YHUULGGHQ´ZKHQQRYDOLG76)WLPHVWDPSLVSUHVHQWLQWKH7,0IUDPHVRU
 ³2YHUULGGHQYDOLGWLPHVWDPSSUHVHQWLQ7,0IUDPHV´ZKHQDYDOLG76)WLPHVWDPSLVSUHVHQWLQWKH7,0 
 IUDPHVDQGLQFOXGHLQWKH7,0%URDGFDVW5HVSRQVHHOHPHQWWKHVPDOOHVW7,0EURDGFDVWLQWHUYDOWKDWLVFXU
 UHQWO\DFWLYH2WKHUZLVHWKH$3VKDOOLQFOXGHD7,0%URDGFDVW5HVSRQVHHOHPHQWZLWKD6WDWXVILHOGLQGLFDW
 LQJ ³'HQLHG´ 7KH 6WDWXV ILHOG LQ D 7,0 %URDGFDVW 5HVSRQVH HOHPHQW WKDW LV LQFOXGHG LQ DQ $VVRFLDWLRQ

 5HVSRQVHIUDPHRU5HDVVRFLDWLRQ5HVSRQVHIUDPHKDVLPSOLFDWLRQVRQO\IRUWKH7,0%URDGFDVWQHJRWLDWLRQ

 Change the 11th paragraph as follows:


7KH $3 VKDOO LQFUHDVH WKH YDOXH PRGXOR   RI WKH &KHFN %HDFRQ ILHOG LQ WKH QH[W WUDQVPLWWHG 7,0


 IUDPH V ZKHQDFULWLFDOXSGDWHRFFXUVWRDQ\RIWKHHOHPHQWVLQVLGHWKH%HDFRQIUDPH7KHIROORZLQJHYHQWV
 VKDOOFODVVLI\DVDFULWLFDOXSGDWH
 D ,QFOXVLRQRID&KDQQHO6ZLWFK$QQRXQFHPHQWHOHPHQW

 E ,QFOXVLRQRIDQ([WHQGHG&KDQQHO6ZLWFK$QQRXQFHPHQWHOHPHQW

F 0RGLILFDWLRQRIWKH('&$SDUDPHWHUVHOHPHQW

 G ,QFOXVLRQRID4XLHWHOHPHQW


H 0RGLILFDWLRQRIWKH'6663DUDPHWHU6HW
 I 0RGLILFDWLRQRIWKH&)3DUDPHWHU6HWHOHPHQW

 J 0RGLILFDWLRQRIWKH+72SHUDWLRQHOHPHQW
 K ,QFOXVLRQRID:LGH%DQGZLGWK&KDQQHO6ZLWFKHOHPHQW

 L ,QFOXVLRQRID&KDQQHO6ZLWFK:UDSSHUHOHPHQW
 M ,QFOXVLRQRIDQ2SHUDWLQJ0RGH1RWLILFDWLRQHOHPHQW

 N ,QFOXVLRQRID4XLHW&KDQQHOHOHPHQW
 O 0RGLILFDWLRQRIWKH9+72SHUDWLRQHOHPHQW

 P 0RGLILFDWLRQRIWKH+(2SHUDWLRQHOHPHQW
 Q ,QVHUWLRQRID%URDGFDVW7:7HOHPHQW

 R ,QFOXVLRQRIWKH%66&RORU&KDQJH$QQRXQFHPHQWHOHPHQW

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 S 0RGLILFDWLRQRIWKH08('&$3DUDPHWHU6HWHOHPHQW

 T 0RGLILFDWLRQRIWKH6SDWLDO5HXVH3DUDPHWHU6HWHOHPHQW
 127(²0RGLILFDWLRQRIDQHOHPHQWPHDQVWKDWDWOHDVWRQHYDOXHRIDILHOGLQWKHHOHPHQWLVFKDQJHG,QFOXVLRQRIDQ 
 HOHPHQWPHDQVWKDWWKHHOHPHQWLVLQFOXGHGLQD%HDFRQIUDPH7KH,QVHUWLRQRIDQHOHPHQWPHDQVWKDWWKHHOHPHQWZDV
 QRWSUHVHQWLQWKHSUHYLRXV%HDFRQIUDPHDQGLVSUHVHQWLQWKHFXUUHQW%HDFRQIUDPHZLOOEHFDUULHGLQWKHQH[W%HDFRQ

 IUDPH


 60SRZHUVDYH

 Insert the following after the 2nd paragraph:


 7KHEDVLFUXOHVIRUD67$DUHGHILQHGEHORZ$GGLWLRQDOUXOHVIRUDQ+(67$WKDWVHWVWKH+('\QDPLF60

 3RZHU6DYHVXEILHOGWRLQWKH+(0$&&DSDELOLWLHV,QIRUPDWLRQILHOGRIWKH+(&DSDELOLWLHVHOHPHQWLW
 WUDQVPLWVLQWKH*+]RU*+]EDQGRUVHWVWKH603RZHU6DYHVXEILHOGWRLQWKH+(*+]%DQG 
 &DSDELOLWLHVHOHPHQWLWWUDQVPLWVLQWKH*+]EDQGLVGHILQHGLQ +(G\QDPLF60SRZHUVDYH 


 Change the 4th paragraph as follows:

 7KH67$FDQGHWHUPLQHWKHHQGRIWKHIUDPHH[FKDQJHVHTXHQFHWKURXJKDQ\RIWKHIROORZLQJ

 ² ,WUHFHLYHVDQLQGLYLGXDOO\DGGUHVVHGIUDPHDGGUHVVHGWRDQRWKHU67$
 ² ,WUHFHLYHVDIUDPHZLWKD7$WKDWGLIIHUVIURPWKH7$RIWKHIUDPHWKDWVWDUWHGWKH7;23

 ² ,WUHFHLYHVD33'8DQGFODVVLILHVWKH33'8DVLQWHU%6633'8 VHH ,QWUD%66DQGLQWHU
 %6633'8FODVVLILFDWLRQ 

 ² ,WUHFHLYHVDQ+(0833'8ZKHUHWKH5;9(&725SDUDPHWHU%66B&2/25LVWKH%66FRORURI
 WKH%66LQZKLFKWKH67$LVDVVRFLDWHGWKH5;9(&725SDUDPHWHUGRHVQRWKDYHDQ\67$B,'RI
 DQ 58 WKDW LGHQWLILHV WKH 67$ DV WKH UHFLSLHQW RU RQH RI WKH UHFLSLHQWV RI WKH 58 VHH 

 67$B,' DQGWKH%66&RORU'LVDEOHGVXEILHOGLQWKHPRVWUHFHQWO\UHFHLYHG+(2SHUDWLRQHOH

PHQWIURPWKH$3ZLWKZKLFKWKH67$LVDVVRFLDWHGLV

 ² 7KH&6PHFKDQLVP VHH &6PHFKDQLVP LQGLFDWHVWKDWWKHPHGLXPLVLGOHDWWKH7[3,)6

 VORWERXQGDU\ GHILQHGLQ '&)WLPLQJUHODWLRQV 


 67$DXWKHQWLFDWLRQDQGDVVRFLDWLRQ


 )UDPHILOWHULQJEDVHGRQ67$VWDWH

 Insert a new item xiv) under item 1) under item a) in the 5th paragraph as follows:


 7KHIUDPHFODVVHVDUHGHILQHGDVIROORZV
 D &ODVVIUDPHV

  &RQWUROIUDPHV


[LY ,QDQ+(%66%DVLF7ULJJHUIUDPHDQG0XOWL67$%ORFN$FNIUDPH

 $VVRFLDWLRQUHDVVRFLDWLRQDQGGLVDVVRFLDWLRQ

 $3RU3&3DVVRFLDWLRQUHFHLSWSURFHGXUHV


 Insert the following list item after item h:

K 7KH60(VKDOOUHIXVHDQDVVRFLDWLRQUHTXHVWIURPDQ+(67$WKDWGRHVQRWVXSSRUWDOORIWKH+(

 0&6166!WXSOHVLQGLFDWHGE\WKH%DVLF+(0&6$QG1666HWILHOGRIWKH+(2SHUDWLRQSDUDP
 HWHULQWKH0/0(67$57UHTXHVWSULPLWLYH

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $3RU3&3UHDVVRFLDWLRQUHFHLSWSURFHGXUHV


Insert the following list item after item h:

 K 7KH60(VKDOOUHIXVHDUHDVVRFLDWLRQUHTXHVWIURPDQ+(67$WKDWGRHVQRWVXSSRUWDOORIWKH+(
 0&6166!WXSOHVLQGLFDWHGE\WKH%DVLF+(0&6$QG1666HWILHOGRIWKH+(2SHUDWLRQSDUDP
 HWHULQWKH0/0(67$57UHTXHVWSULPLWLYH


 1HLJKERUUHSRUWLQIRUPDWLRQXSRQUHMHFWLRQZLWKVXJJHVWHG%66WUDQVLWLRQ

 Insert the following at the end of the subclause:


 $Q+(67$WKDWKDVUHFHLYHGIURPDQ+($3DQ$XWKHQWLFDWLRQRU 5H $VVRFLDWLRQ5HVSRQVHIUDPHWKDWKDV
 WKH6WDWXV&RGHILHOGVHWWR5(-(&7('B:,7+B68**(67('B%66B75$16,7,21DQGWKDWLQFOXGHVRQH
 RUPRUH1HLJKERU5HSRUWHOHPHQWVIRU%66VWKDWDUHSDUWRIWKH(66RIWKH+($3VKDOOLILWUHDWWHPSWVWR

 DVVRFLDWHZLWKWKH(66VHOHFWDQ$3IURP RQHRI WKH1HLJKERU5HSRUWHOHPHQW V 


 76RSHUDWLRQ


 76VHWXS

 76VHWXSSURFHGXUHVIRUERWK$3DQGQRQ$367$LQLWLDWLRQ


 Change the 1st paragraph as follows:

 7KHQRQ$367$¶V60(GHFLGHVWKDWD76QHHGVWREHFUHDWHGRUQRQ$3+(67$WUDIILFFKDUDFWHULVWLFVDQG
 4R6UHTXLUHPHQWVQHHGVWREHSURYLGHG7KHPHFKDQLVPWRSURYLGHWUDIILFFKDUDFWHULVWLFVDQG4R6UHTXLUH


PHQWVDUHGHVFULEHGLQ 8VHRI763(&E\+(67$V +RZLWGRHVWKLVDQGKRZLWVHOHFWVWKH763(& 
 RU '0* 763(& SDUDPHWHUV LV EH\RQG WKH VFRSH RI WKLV VWDQGDUG 7KH 60( JHQHUDWHV DQ 0/0($'
 '76UHTXHVWSULPLWLYHFRQWDLQLQJD763(&RU'0*763(&$763(&RU'0*763(&PD\DOVREHJHQHU
 DWHGDXWRQRPRXVO\E\WKH0$&ZLWKRXWDQ\LQLWLDWLRQE\WKH60(


 73&SURFHGXUHV


 Change the 1st paragraph as follows:

 5HJXODWLRQVWKDWDSSO\WRWKH*+]EDQGLQPRVWUHJXODWRU\GRPDLQVUHTXLUH5/$1VRSHUDWLQJLQWKH*+]
 EDQGDQG*+]EDQGWRXVHWUDQVPLWWHUSRZHUFRQWUROLQYROYLQJVSHFLILFDWLRQRIDUHJXODWRU\PD[LPXP 

WUDQVPLWSRZHUDQGDPLWLJDWLRQUHTXLUHPHQWIRUHDFKDOORZHGFKDQQHO7KLVVWDQGDUGGHVFULEHVVXFKDPHFK

 DQLVPUHIHUUHGWRDVWUDQVPLWSRZHUFRQWURO 73& 


 5DGLRPHDVXUHPHQWSURFHGXUHV

 0XOWLSOH%66,'VHW


 Change the 1st paragraph as follows:

 $PXOWLSOH%66,'VHWLVFKDUDFWHUL]HGDVIROORZV

 ² $OO PHPEHUV RI WKH VHW XVH D FRPPRQ RSHUDWLQJ FODVV FKDQQHO &KDQQHO $FFHVV )XQFWLRQV DQG

 DQWHQQDFRQQHFWRU
 ² 7KHVHWKDVDPD[LPXPUDQJHRIQIRUDWOHDVWRQHQZKHUH”Q”

 ‡ ”Q”LIGRW0XOWL%66,',PSOHPHQWHGLVWUXH

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ‡ ”Q”LIGRW0XOWL%66,',PSOHPHQWHG LISUHVHQW LVIDOVHDQGGRW500HDVXUHPHQW3LOR


 W$FWLYDWHGLVQRQ]HUR

 ² 0HPEHUVRIWKHVHWKDYHWKHVDPHQELWV %66,'> Q @ LQWKHLU%66,'V

 ² $OO%66,'VZLWKLQWKHPXOWLSOH%66,'VHWDUHDVVLJQHGLQDZD\WKDWWKH\DUHQRWDYDLODEOHDV0$&

 DGGUHVVHVIRU67$VXVLQJDGLIIHUHQWRSHUDWLQJFODVVFKDQQHORUDQWHQQDFRQQHFWRU

 127(²)RUH[DPSOHLIWKH$3VZLWKLQ%66VZLWK%66,'VDQGVKDUHWKHVDPHRSHUDWLQJFODVVFKDQQHODQG 
 DQWHQQD FRQQHFWRU DQG WKH UDQJH RI 0$& DGGUHVVHV IURP ± LQFOXVLYH DUH QRW DVVLJQHG WR RWKHU 67$V XVLQJ D
 GLIIHUHQWDQWHQQDFRQQHFWRUWKHQWKH%66,'VDQGDUHPHPEHUVRIDPXOWLSOH%66,'VHW7KHVHWLVGHVFULEHG 
 E\Q  Q  ZLWK%66,'VLQWKHUDQJH±7KHVHWFDQQRWEHGHVFULEHGE\Q IRULQVWDQFHVLQFHDWOHDVWRQH
 RIWKH%66,'VLQWKHUDQJH±PLJKWEHXVHGDVD%66,'E\DQ$3WKDWGRHVQRWVKDUHWKHVDPHRSHUDWLQJFODVV
 FKDQQHODQGDQWHQQDFRQQHFWRU


 7XQQHOHGGLUHFWOLQNVHWXS


 *HQHUDO


 Insert the following before the last paragraph:


7KH+(2SHUDWLRQHOHPHQWVKDOOEHSUHVHQWLQD7'/66HWXS&RQILUPIUDPHZKHQERWK67$VDUH+(FDSD

 EOH


 :LUHOHVVQHWZRUNPDQDJHPHQWSURFHGXUHV


 (YHQWUHTXHVWDQGUHSRUWSURFHGXUHV


(YHQWUHTXHVWDQGHYHQWUHSRUW


 Change the 1st paragraph as follows:


 7KH (YHQW 5HTXHVW DQG (YHQW 5HSRUW IUDPHV HQDEOH QHWZRUN UHDOWLPH GLDJQRVWLFV $ 67$ ZKRVH
 GRW(YHQWV$FWLYDWHGHTXDOWRWUXHVKDOOVXSSRUWHYHQWUHTXHVWVDQGUHSRUWVDQGVKDOOVHWWRWKH(YHQWILHOG

 RIWKH([WHQGHG&DSDELOLWLHVHOHPHQWVWKDWLWWUDQVPLWV,IGRW(YHQWV$FWLYDWHGLVWUXHDQGWKH(YHQW7\SH

ILHOGLVQHLWKHU%66&RORU&ROOLVLRQQRU%66&RORU,Q8VHD67$VKDOOORJDOO7UDQVLWLRQ561$SHHUWR

 SHHUDQG:10ORJHYHQWVLQFOXGLQJWKHFRUUHVSRQGLQJ76)87&2IIVHWDQG(YHQW7LPH(UURU$Q+( 
 67$WKDWKDVGRW(YHQWV$FWLYDWHGHTXDOWRWUXHDQGUHSRUWV%66FRORUFROOLVLRQVVKDOOORJDOO%66FRORU
 FROOLVLRQHYHQWVLQFOXGLQJWKH76)YDOXHZKHQWKH67$ILQLVKHGORJJLQJWKHHYHQWVWKDWDUHUHSRUWHG VHH
  %66FRORUFROOLVLRQHYHQW 


 $67$ZLWKHLWKHUGRW$XWRQRPRXV%66&RORU&ROOLVLRQ5HSRUWLQJ,PSOHPHQWHGHTXDOWRWUXHRUGRW$X
 WRQRPRXV%66&RORU,Q8VH5HSRUWLQJ,PSOHPHQWHG HTXDO WR WUXH VKDOO VHW WKH (YHQW ILHOG RI WKH ([WHQGHG

 &DSDELOLWLHVHOHPHQWVWKDWLWWUDQVPLWVWR


 Insert two new subclauses at the end of 11.22.2:


 %66FRORUFROOLVLRQHYHQW


7KH%66FRORUFROOLVLRQHYHQWUHSRUWHQDEOHVDQRQ$3+(67$WRLQIRUPLWVDVVRFLDWHG$3ZKHWKHUD%66 

 FRORUFROOLVLRQKDV RFFXUUHG7KHUHSRUWFDUULHV LQIRUPDWLRQDERXWWKH%66FRORU XVHGE\2%66VWKDW WKH
 UHSRUWLQJ67$LVDEOHWRGHWHFW VHH $XWRQRPRXVUHSRUWLQJRI%66FRORUFROOLVLRQ 

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 %66FRORULQXVHHYHQW


,IDQRQ$3+(67$FRPPXQLFDWHVZLWKDSHHU67$ZLWKD%66FRORUWKDWLVGLIIHUHQWIURPWKH%66FRORU

 XVHGE\LWVDVVRFLDWHG$3WKHQRQ$3+(67$PD\VHQGD%66FRORULQXVHHYHQWUHSRUWWRLWVDVVRFLDWHG
 $3LQZKLFKWKH(YHQW5HSRUWILHOGKDVWKH%66FRORUXVHGLQWKHFRPPXQLFDWLRQZLWKWKHSHHU67$

 $QRQ$3+(67$VKDOOVHQGD%66FRORULQXVHHYHQWUHSRUWWRLWVDVVRFLDWHG$3ZLWKWKH(YHQW5HSRUW

ILHOGVHWWRWRFDQFHODSUHYLRXVO\VHQW%66FRORULQXVHHYHQWUHSRUW


 $Q$3VKDOOQRWWUDQVPLWIUDPHVWRDQRQ$3+(67$GXULQJD7;23LILWKDVUHFHLYHGD%66FRORULQXVH
 HYHQW UHSRUW IURP WKDW QRQ$3 +( 67$ ZLWK D QRQ]HUR %66 FRORU LQ WKH (YHQW 5HSRUW ILHOG DQG WKH $3

 LJQRUHVDQLQWHU%6633'8ZLWKWKHVDPH%66FRORUYDOXHDVWKHRQHFDUULHGLQWKH(YHQW5HSRUWILHOGWR 


REWDLQD7;23E\IROORZLQJWKHSURFHGXUHLQ *HQHUDORSHUDWLRQZLWKQRQ65*2%663'OHYHO 
 DQG *HQHUDORSHUDWLRQZLWK65*2%663'OHYHO 

 )LQHWLPLQJPHDVXUHPHQW )70 SURFHGXUH



0HDVXUHPHQWH[FKDQJH

 Change the 10th paragraph as follows:

 )RUWKH)LQH7LPLQJ0HDVXUHPHQWIUDPHVWUDQVPLWWHGGXULQJWKH)70VHVVLRQ

 ² 7KHUHVSRQGLQJ67$VKDOOQRWXVHDEDQGZLGWKZLGHUWKDQWKDWLQGLFDWHGE\WKH67$LQWKHLQLWLDO
 )LQH7LPLQJ0HDVXUHPHQWIUDPH

 ² 7KHUHVSRQGLQJ67$VKDOOQRWXVHDQ+(IRUPDWLIWKH67$LQGLFDWHG9+7RU+7PL[HGRUQRQ+7

 IRUPDWLQWKHLQLWLDO)LQH7LPLQJ0HDVXUHPHQWIUDPH
 ² 7KHUHVSRQGLQJ67$VKDOOQRWXVHD9+7IRUPDWLIWKH67$LQGLFDWHG+7PL[HGRUQRQ+7IRUPDW

LQWKHLQLWLDO)LQH7LPLQJ0HDVXUHPHQWIUDPH

 ² 7KHUHVSRQGLQJ67$VKDOOQRWXVHDQ+7IRUPDWLIWKH67$LQGLFDWHGQRQ+7IRUPDWLQWKHLQLWLDO
 )LQH7LPLQJ0HDVXUHPHQWIUDPH


 %66WUDQVLWLRQPDQDJHPHQWIRUQHWZRUNORDGEDODQFLQJ

 %66WUDQVLWLRQFDSDELOLW\

 Change the 3rd paragraph as follows:


 ,PSOHPHQWDWLRQRI%66WUDQVLWLRQPDQDJHPHQWLVRSWLRQDOIRUD:1067$WKDWLVQRWDQRQ$3+(67$$ 
 67$WKDWLPSOHPHQWV%66WUDQVLWLRQPDQDJHPHQWKDVGRW%667UDQVLWLRQ,PSOHPHQWHGHTXDOWRWUXH:KHQ 
 ,IGRW%667UDQVLWLRQ,PSOHPHQWHGLVWUXHGRW:LUHOHVV0DQDJHPHQW,PSOHPHQWHGVKDOOEHWUXH$67$ 
 ZLWKGRW%667UDQVLWLRQ$FWLYDWHGHTXDOWRWUXHVKDOOVXSSRUW%66WUDQVLWLRQPDQDJHPHQWDQGVKDOOVHWWR

 WKH%667UDQVLWLRQILHOGRIWKH([WHQGHG&DSDELOLWLHVHOHPHQWVWKDWLWWUDQVPLWV$QRQ$3+(67$VKDOO
 KDYHGRW%667UDQVLWLRQ,PSOHPHQWHGDQGGRW%667UDQVLWLRQ$FWLYDWHGHTXDOWRWUXH

 %66WUDQVLWLRQPDQDJHPHQWUHVSRQVH


 Change the 2nd paragraph as follows:

 7KH67$¶V60(PD\LQFOXGHWKHUHVXOWRILWV%66WUDQVLWLRQGHFLVLRQLQWKH7DUJHW%66,'ILHOGDQG%70 
 6WDWXV&RGHILHOGLQWKH0/0(%70UHVSRQVHSULPLWLYH$%706WDWXV&RGHILHOGVHWWRDYDOXHRI LH

$FFHSW  LQGLFDWHV WKH 67$ ZLOO WUDQVLWLRQ IURP WKH FXUUHQW %66 ,I D QRQ+( 67$¶V 60( UHFHLYHV DQ

 0/0(%70LQGLFDWLRQSULPLWLYHLQGLFDWLQJD%66WUDQVLWLRQPDQDJHPHQWUHTXHVWWKDWLWLVXQDEOHWRFRP
 SO\ZLWKLWPD\LVVXHDQ0/0(%70UHVSRQVHSULPLWLYHZLWKDVWDWXVFRGHLQGLFDWLQJUHMHFWLRQPD\LVVXH

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 DQ0/0(%70UHVSRQVHSULPLWLYHZLWKDYDOLGVWDWXVFRGHQRWHTXDOWRDYDOXHRI LH$FFHSW LQGLFDWLQJ



 UHMHFWLRQLILWLVXQDEOHWRFRPSO\ZLWKWKLV%66WUDQVLWLRQPDQDJHPHQWUHTXHVW


 Insert a new subclause at the end of 11.22.7 as follows:

 3ODQQHG(66


 7KH$3PD\WUDQVPLWDQ(665HSRUWHOHPHQW VHH (665HSRUWHOHPHQW WRLQGLFDWHZKHWKHURU
 QRWLWLVLQDSODQQHG(66WRDVVLVWDVVRFLDWHG67$V
URDPLQJ,ILWLQGLFDWHVWKDWLWLVLQDSODQQHG(66LW
 LQGLFDWHVZKHWKHURUQRWLWLVDWWKHSK\VLFDOHGJHRIWKH(66DQGFDQSURYLGHDUHFRPPHQGDWLRQRQWKH566,

OHYHOWRFRQVLGHUIRU%66WUDQVLWLRQ


 ,IWKH$3WUDQVPLWVDQ(665HSRUWHOHPHQWLWVKDOOVHWWKH3ODQQHG(66VXEILHOGLQWKH(66,QIRUPDWLRQILHOG
 WRLILWLVSDUWRIDQ(66WKDWLVSODQQHGZLWKVHYHUDO%66VLQRYHUODSSLQJFRQILJXUDWLRQZKHUHE\DQDVVR
 FLDWHG67$PD\DGMXVWLWV%66WUDQVLWLRQDOJRULWKPVDFFRUGLQJO\2WKHUZLVHLWVKDOOVHWWKH3ODQQHG(66 

 VXEILHOGWR

 ,IWKH3ODQQHG(66VXEILHOGLVWKHQWKH$3VKDOOVHWWKH(GJH2I(66VXEILHOGLQWKH(66,QIRUPDWLRQILHOG
 RIWKH(665HSRUWHOHPHQWWRLIWKH$3¶V%66LVDWWKHHGJHRIDQ(66 HJH[LWRIDEXLOGLQJ 2WKHUZLVH

 LWVKDOOVHWWKH(GJH2I(66VXEILHOGWR
 127(²$QRQ$367$FRXOGWKHQSUHSDUHIRUPRUHDJJUHVVLYHURDPLQJRUWKHGHYLFHWKHQRQ$367$LVLQFRXOGWKHQ 
 SUHSDUHIRUVZLWFKLQJWRDGLIIHUHQWV\VWHP+RZHYHUKRZWKHQRQ$367$XVHVWKHHGJHRI(66LQIRUPDWLRQLVLPSOH
 PHQWDWLRQVSHFLILFDQGEH\RQGWKHVFRSHRIWKLVVWDQGDUG


 ,IWKH3ODQQHG(66VXEILHOGLVWKHQWKH$3VKDOOVHWWKH5HFRPPHQGHG%667UDQVLWLRQ566,7KUHVKROG 
 :LWKLQ(66VXEILHOGLQWKH(66,QIRUPDWLRQILHOGRIWKH(665HSRUWHOHPHQWWRLQGLFDWHWKH%HDFRQ566,
 EHORZZKLFKDQDVVRFLDWHG67$VKRXOGLQLWLDWHD%66WUDQVLWLRQ2WKHUZLVHLWVKDOOVHWWKH5HFRPPHQGHG

 %667UDQVLWLRQ566,7KUHVKROG:LWKLQ(66VXEILHOGWR

 127(²$ QRQ$3 67$ FRXOG WKHQ XVH WKH 5HFRPPHQGHG %66 7UDQVLWLRQ 566, 7KUHVKROG :LWKLQ (66 VXEILHOG WR

 PRGLI\ZKHQLWVWDUWVVFDQQLQJIRUDQHZ%66+RZHYHUKRZWKHQRQ$367$DGMXVWVLWV%66WUDQVLWLRQDOJRULWKPVLV
 LPSOHPHQWDWLRQVSHFLILFDQGEH\RQGWKHVFRSHRIWKLVVWDQGDUG


 7KHYDOXHRIWKH(GJH2I(66VXEILHOGDQGWKH5HFRPPHQGHG%667UDQVLWLRQ566,7KUHVKROG:LWKLQ(66 
 VXEILHOGPD\EHFKDQJHGE\WKH$3LIFRQGLWLRQVLQWKH(66FKDQJH$Q$3VKDOOQRWFKDQJHWKHYDOXHRIWKH
 3ODQQHG(66VXEILHOGRYHUWKHOLIHWLPHRIWKH%66


 0XOWLEDQGRSHUDWLRQ


 2QFKDQQHO7XQQHOLQJ 2&7 RSHUDWLRQ

 Change the 1st paragraph as follows:


 (LWKHU RI WKH IROORZLQJ FRQGLWLRQV LQGLFDWHV WKDW D 67$ VXSSRUWV 2&7 DQG KDV GRW2&72SWLRQ,PSOH
 PHQWHGHTXDOWRWUXH

 ² $67$VXSSRUWVWKH2&7LIWKH2&71RW6XSSRUWHGVXEILHOGZLWKLQWKH67$¶V0XOWLEDQGHOHPHQWLV
 

 ² $QRQ$367$VXSSRUWV2&7LIWKH2&7ILHOGLVHTXDOWRWUXHLQWKH([WHQGHG&DSDELOLWLHVHOHPHQWV
 LWWUDQVPLWV

² ,IDUHSRUWLQJ$3VHQGVDIUDPHZLWKD5HGXFHG1HLJKERU5HSRUWHOHPHQWZLWKD7%77,QIRUPDWLRQ


 ILHOGGHVFULELQJDUHSRUWHG$3WKDWKDVWKH2&75HFRPPHQGHGVXEILHOGHTXDOWRWKHQERWKWKH
 UHSRUWLQJ$3DQGWKHUHSRUWHG$3VXSSRUW2&7

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ² ,IDUHSRUWLQJ$3VHQGVDIUDPHZLWKD1HLJKERU5HSRUWHOHPHQWGHVFULELQJDUHSRUWHG$3WKDWKDV
 WKH 2&7 6XSSRUWHG :LWK 5HSRUWLQJ $3 VXEILHOG HTXDO WR  WKHQ ERWK WKH UHSRUWLQJ $3 DQG WKH

UHSRUWHG$3VXSSRUW2&7


 $67$VKRXOGQRWSHUIRUP2&7ZLWKDSHHU67$WKDWGRHVQRWVXSSRUWWKH2&7$67$WKDWGRHVQRWVXS
 SRUWWKH2&7VKDOOLJQRUHDUHFHLYHG2&7003'8


 Change the 2nd paragraph as follows:

 2&7DOORZVD67$RIDPXOWLEDQGFDSDEOHGHYLFHWRWUDQVPLWDQ003'8WKDWZDVFRQVWUXFWHGE\DGLIIHU
 HQW67$RIWKHVDPHGHYLFH2&7SURYLGHVWKHIROORZLQJ

 ² DOORZVD67$RIDPXOWLEDQGFDSDEOHGHYLFHRUD67$WKDWLVLQWKHVDPHGHYLFHDVDQRWKHU67$WR

 WUDQVPLWRUIRUZDUGDQ003'8WKDWZDVFRQVWUXFWHGE\DGGUHVVHGE\RUDGGUHVVHGWRDGLIIHUHQW
 67$LQWKHVDPHGHYLFH

 ² DOORZVDQ$3WRWUDQVPLWRUIRUZDUGDQ003'8WKDWZDVFRQVWUXFWHGE\DGGUHVVHGE\RUDGGUHVVHG
 WRDQRWKHU$3LIHLWKHURQHRIWKH$3VVHQGVD5HGXFHG1HLJKERU5HSRUWHOHPHQWZLWKD7%77,QIRU
 PDWLRQILHOGGHVFULELQJWKHRWKHU$3RULIHLWKHURQHRIWKH$3VVHQGVD1HLJKERU5HSRUWHOHPHQW
 GHVFULELQJWKHRWKHU$3DQGZKHUHERWK$3VVXSSRUW2&7


 $Q003'8WUDQVPLWWHGWKLVZD\LVUHIHUUHGWRDVDQOCT MMPDU7KH0/0(RIWKHQRQWUDQVPLWWLQJ
 67$WKDWFRQVWUXFWVRULVWKHGHVWLQDWLRQRIDQ2&7003'8LVUHIHUUHGWRDVDQNT-MLME7KH0/0(RI
 WKH 67$ WKDW WUDQVPLWV RUUHFHLYHV DQ 2&7 003'8 RYHU WKH DLU LV UHIHUUHGWR DV D TR-MLME $Q 17
 0/0(WKDWFRQVWUXFWVDQ2&7003'8GHVWLQHGWRDSHHU170/0(GRHVVRDFFRUGLQJWRWKHFDSDELOLWLHV

 RIWKH67$WKDWFRQWDLQVWKHSHHU170/0(
 127(²2&7FDQEHXVHGLQFRQMXQFWLRQZLWKRULQGHSHQGHQWIURPWKH)67VHWXSSURWRFRO


 Change the 7th paragraph as follows:

 7RWUDQVPLWDWXQQHOHG003'8WKH60(RIDPXOWLEDQGFDSDEOHGHYLFH67$WKDWVXSSRUWV2&7JHQHUDWHV
 DQ2&70/0(UHTXHVWSULPLWLYHWKDWLQFOXGHVWKHSHHU0XOWLEDQGHOHPHQWDQGWKHORFDO0XOWLEDQGHOH

 PHQW,IWKH2&70/0(UHTXHVWSULPLWLYHLVWKH0/0(6&$1UHTXHVWSULPLWLYHZLWK6FDQ7\SHSDUDPHWHU
 VHWWR$&7,9(WKH%66,'ILHOGZLWKLQWKHSHHU0XOWLEDQGHOHPHQWVKDOOEHVHWWRWKHYDOXHRIWKH%66,'

 SDUDPHWHULQWKH0/0(6&$1UHTXHVWSULPLWLYHDQGWKH%66,'ILHOGZLWKLQWKHORFDO0XOWLEDQGHOHPHQW
 VKDOOEHVHWWRDQLQGLYLGXDO0$&DGGUHVV


 )DVW,QLWLDO/LQN6HWXS ),/6 SURFHGXUHV


 ),/6'LVFRYHU\IUDPHJHQHUDWLRQDQGXVDJH

 ),/6'LVFRYHU\IUDPHWUDQVPLVVLRQ


 Change the 3rd and 4th paragraph as follows:

 ,IDQ$3WUDQVPLWVD),/6'LVFRYHU\IUDPHDVDQRQ+7GXSOLFDWH33'8LQDQ0+]FKDQQHOEDQG
 ZLGWKWKH&KDQQHO&HQWHU)UHTXHQF\6HJPHQWILHOGVKDOOEHSUHVHQWLQWKH),/6'LVFRYHU\IUDPHDQGVKDOO

 EHVHWWRWKHFKDQQHOFHQWHUIUHTXHQF\RIWKHIUHTXHQF\VHJPHQWIRUDQ0+]9+7RU+(RSHUDWLQJ
 FKDQQHO

 $ ),/6 $3 VKRXOG WUDQVPLW ),/6 'LVFRYHU\ IUDPH V  LQ HYHU\ EHDFRQ LQWHUYDO 7KH LQWHUYDO EHWZHHQ WKH

WUDQVPLVVLRQRID%HDFRQIUDPHDQGDVXEVHTXHQW),/6'LVFRYHU\IUDPHVKDOOEHQROHVVWKDQWKHLQWHUYDO

 LQGLFDWHG LQ GRW),/6)')UDPH%HDFRQ0LQLPXP,QWHUYDO 7KH WUDQVPLVVLRQ LQWHUYDO EHWZHHQ VXEVHTXHQW
 ),/6'LVFRYHU\IUDPHVE\DQ$3LQDEHDFRQLQWHUYDOVKDOOEHQROHVVWKDQWKHLQWHUYDOLQGLFDWHGLQGRW

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ),/6)')UDPH%HDFRQ0LQLPXP,QWHUYDO ,I GRW),/6)')UDPH%HDFRQ0D[LPXP,QWHYDO LV QRW HTXDO WR 


 DQGLID%HDFRQIUDPHEURDGFDVW3UREH5HVSRQVHIUDPHRU)'IUDPHKDVQRWEHHQWUDQVPLWWHGE\DQ$3IRU

DSHULRGWKDWLVHTXDOWRGRW),/6)')UDPH%HDFRQ0D[LPXP,QWHUYDOWKDW$3VKDOOTXHXHIRUWUDQVPLVVLRQ 

 D)'IUDPHEURDGFDVW3UREH5HVSRQVHIUDPHRUD%HDFRQIUDPHXQOHVVWKHQH[W7%77LVZLWKLQDGXUDWLRQ
 LQGLFDWHGE\WKHYDOXHRIGRW),/6)')UDPH%HDFRQ0LQLPXP,QWHUYDO

 Insert the following at the end of the subclause:


 7KH$GGUHVVILHOGRIWKH),/6'LVFRYHU\IUDPHVKDOOEHVHWWRWKHEURDGFDVWDGGUHVV

 )RUWKH$3VLQDPXOWLSOH%66,'VHWRQO\WKH$3FRUUHVSRQGLQJWRWKHWUDQVPLWWHG%66,'PD\WUDQVPLWD


),/6'LVFRYHU\IUDPHRWKHU$3VFRUUHVSRQGLQJWRQRQWUDQVPLWWHG%66,'VVKDOOQRWWUDQVPLWD),/6'LV
 FRYHU\IUDPH,IGRW0XOWL%66,',PSOHPHQWHGLVWUXHWKHQWKHIROORZLQJDSSOLHVWRWKHILHOGVLQWKH),/6

 'LVFRYHU\IUDPH


² 7KH66,'RU6KRUW66,'ILHOGVKDOOEHVHWWRWKH66,'RUVKRUW66,'UHVSHFWLYHO\RIWKHWUDQVPLWWHG

 %66,'
 ² 7KH),/6&DSDELOLW\ILHOGVKDOOEHSUHVHQWDQGWKH0XOWLSOH%66,'V3UHVHQFH,QGLFDWRUVXEILHOGVKDOO

EHVHWWR



 5HGXFHGQHLJKERUUHSRUW

 Change the 1st paragraph as follows:


 ,Q%HDFRQDQG3UREH5HVSRQVHIUDPHVD5HGXFHG1HLJKERU5HSRUWHOHPHQWPD\EHWUDQVPLWWHGE\DQ$3 
 ZLWKGRW79+72SWLRQ,PSOHPHQWHGRUGRW),/6$FWLYDWHGRUGRW&RORFDWHG515,PSOHPHQWHGHTXDOWR
 WUXH,Q),/6'LVFRYHU\IUDPHVD5HGXFHG1HLJKERU5HSRUWHOHPHQWLVRSWLRQDOO\VHQWE\D),/6$3$Q 
 $3WKDWRSHUDWHVLQWKH*+]RU*+]EDQGDQGWKDWLVLQWKHVDPHFRORFDWHG$3VHWDVRQHRUPRUH 
 *+] $3V VKDOO IROORZ WKH UXOHV LQ  2XW RI EDQG GLVFRYHU\ RI D  *+] %66  IRU LQFOXGLQJ D

 5HGXFHG1HLJKERU5HSRUWHOHPHQWLQ%HDFRQDQG3UREH5HVSRQVHIUDPHV$5HGXFHG1HLJKERU5HSRUWHOH
 PHQWFRQWDLQVLQIRUPDWLRQRQQHLJKERU$3V$5HGXFHG1HLJKERU5HSRUWHOHPHQWPLJKWQRWEHH[KDXVWLYH
 HLWKHUE\FKRLFHRUE\WKHIDFWWKDWWKHUHPD\EHQHLJKERU$3VQRWNQRZQWRWKH$3



$Q$3ZLWKGRW0XOWL%66,',PSOHPHQWHGHTXDOWRWUXHVKDOOQRWLQFOXGH5HGXFHG1HLJKERU5HSRUWHOH
 PHQWLQWKH1RQWUDQVPLWWHG%66,'3URILOHVXEHOHPHQWRIWKH0XOWLSOH%66,'HOHPHQW

 127(²7KH%HDFRQ3UREH5HVSRQVHRU),/6'LVFRYHU\IUDPHRIDQ$3ZLWKGRW0XOWL%66,',PSOHPHQWHGHTXDO
WUXHFDQFDUU\WKH5HGXFHG1HLJKERU5HSRUWHOHPHQW


 Insert the following paragraphs after the 1st paragraph

 ,IDQ$3UHSRUWHGLQD7%77,QIRUPDWLRQILHOGLQD5HGXFHG1HLJKERU5HSRUWHOHPHQWLVQRWSDUWRIDPXOWL

 SOH%66,'VHWWKHQWKH%663DUDPHWHUVVXEILHOGLILQFOXGHGVKDOOKDYHWKH0XOWLSOH%66,'VXEILHOGVHWWR
 ,IDQ$3UHSRUWHGLQD7%77,QIRUPDWLRQILHOGLQD5HGXFHG1HLJKERU5HSRUWHOHPHQWLVDWUDQVPLWWHG 
 %66,'WKHQWKH%663DUDPHWHUVVXEILHOGLILQFOXGHGVKDOOKDYHWKH0XOWLSOH%66,'VXEILHOGVHWWRDQG 
 WKH7UDQVPLWWHG%66,'VXEILHOGVHWWR,IDQ$3UHSRUWHGLQD7%77,QIRUPDWLRQILHOGLQD5HGXFHG1HLJK
 ERU5HSRUWHOHPHQWLVDQRQWUDQVPLWWHG%66,'WKHQWKH%663DUDPHWHUVVXEILHOGLILQFOXGHGVKDOOKDYHWKH

 0XOWLSOH%66,'VXEILHOGVHWWRDQGWKH7UDQVPLWWHG%66,'VXEILHOGVHWWR

 $Q +( $3 ZLWK GRW0XOWL%66,',PSOHPHQWHG HTXDO WR WUXH PD\ DGYHUWLVH RQH RU PRUH QRQWUDQVPLWWHG

 %66,'VLQWKHPXOWLSOH%66,'VHWE\LQFOXGLQJWKH5HGXFHG1HLJKERU5HSRUWHOHPHQWLQLWV%HDFRQ3UREH

5HVSRQVHRU),/6'LVFRYHU\IUDPHVZLWKWKH%663DUDPHWHUVVXEILHOGRIWKH7%77,QIRUPDWLRQILHOGFRQ

 WDLQLQJWKH&R/RFDWHGVXEILHOGVHWWRWKH0XOWLSOH%66,'VXEILHOGVHWWRDQGWKH7UDQVPLWWHG%66,' 
 VXEILHOGVHWWRDQGWKH2SHUDWLQJ&ODVVDQG&KDQQHO1XPEHUILHOGVRIWKH1HLJKERU$3,QIRUPDWLRQILHOG

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 VHW WR WKH RSHUDWLQJ FODVV DQG FKDQQHO QXPEHU UHVSHFWLYHO\ RI WKH WUDQVPLWWLQJ $3 LH WKH WUDQVPLWWHG

 %66,' 


 $UHSRUWLQJ$3VKRXOGVHWWKH2&75HFRPPHQGHGVXEILHOGWRLQWKH%663DUDPHWHUVVXEILHOGRID7%77 
 ,QIRUPDWLRQILHOGLQD5HGXFHG1HLJKERU5HSRUWHOHPHQWLIERWKWKHUHSRUWLQJ$3DQGWKHUHSRUWHG$3KDYH
 GRW2&72SWLRQ,PSOHPHQWHGHTXDOWRWUXHDQGWKH&R/RFDWHG$3VXEILHOGLVLQWKH%663DUDPHWHUVVXE
 ILHOGFRUUHVSRQGLQJWRWKHUHSRUWHG$3$UHSRUWLQJ$3PD\VHWWKH2&75HFRPPHQGHGVXEILHOGWRLQWKH

%663DUDPHWHUVVXEILHOGRID7%77,QIRUPDWLRQILHOGLQD5HGXFHG1HLJKERU5HSRUWHOHPHQWLIERWKWKH

 UHSRUWLQJ$3DQGWKHUHSRUWHG$3KDYHWKHVDPH66,'DQGKDYHGRW2&72SWLRQ,PSOHPHQWHGHTXDOWRWUXH
 DQGWKH&R/RFDWHG$3VXEILHOGLVLQWKH%663DUDPHWHUVVXEILHOGFRUUHVSRQGLQJWRWKHUHSRUWHG$3,IWKH
 2&75HFRPPHQGHGVXEILHOGLVDQGWKH&R/RFDWHG$3VXEILHOGLVLQWKH1HLJKERU$3,QIRUPDWLRQILHOG 
 GHVFULELQJ D UHSRUWHG +( $3 LQ WKH 5HGXFHG 1HLJKERU 5HSRUW HOHPHQW WKHQ D QRQ$3 67$ WKDW KDV

GRW2&72SWLRQ,PSOHPHQWHGHTXDOWRWUXHVKRXOGXVHWKH2&7SURFHGXUHGHVFULEHGLQ 2QFKDQ

 QHO 7XQQHOLQJ 2&7  RSHUDWLRQ  WR SHUIRUP DFWLYH VFDQQLQJ DXWKHQWLFDWLRQ DQGRU DVVRFLDWLRQ ZLWK WKH
 UHSRUWHG$3WKURXJKRYHUWKHDLUWUDQVPLVVLRQVZLWKWKH$3WKDWVHQWWKH5HGXFHG1HLJKERU5HSRUWHOHPHQW
 ,IWKH2&75HFRPPHQGHGVXEILHOGLVDQGWKH&R/RFDWHG$3VXEILHOGLVLQWKH1HLJKERU$3,QIRUPDWLRQ 
 ILHOGGHVFULELQJDUHSRUWHG+($3LQWKH5HGXFHG1HLJKERU5HSRUWHOHPHQWWKHQDQRQ$367$WKDWKDV

GRW2&72SWLRQ,PSOHPHQWHGHTXDOWRWUXHPD\XVHWKH2&7SURFHGXUHGHVFULEHGLQ 2QFKDQQHO

 7XQQHOLQJ 2&7 RSHUDWLRQ WRSHUIRUPDFWLYHVFDQQLQJDXWKHQWLFDWLRQDQGRUDVVRFLDWLRQZLWKWKHUHSRUWHG
 $3WKURXJKRYHUWKHDLUWUDQVPLVVLRQVZLWKWKH$3WKDWVHQWWKH5HGXFHG1HLJKERU5HSRUWHOHPHQW

 Change the last paragraph of the subclause as follows:


 $67$WKDWUHFHLYHVD1HLJKERU$3,QIRUPDWLRQILHOGZLWKDUHFRJQL]HG7%77,QIRUPDWLRQ)LHOG7\SHVXE
 ILHOG EXW DQ XQUHFRJQL]HG 7%77 ,QIRUPDWLRQ /HQJWK VXEILHOG VKDOO LJQRUH WKDW 1HLJKERU $3 ,QIRUPDWLRQ 
 ILHOGDQGFRQWLQXHWRSURFHVVUHPDLQLQJ1HLJKERU$3,QIRUPDWLRQILHOGVKDVWZRSRVVLEOHZD\VRISURFHVV
 LQJWKHUHFHLYHGLQIRUPDWLRQ  LJQRUHWKDW1HLJKERU$3,QIRUPDWLRQILHOGDQGFRQWLQXHWRSURFHVVWKHVXE

VHTXHQW1HLJKERU$3,QIRUPDWLRQILHOGVRU  SURFHVVWKHILUVWRFWHWVRIHDFK7%77,QIRUPDWLRQILHOGRI

 WKH 1HLJKERU $3 ,QIRUPDWLRQ ILHOG DV LI WKH 7%77 ,QIRUPDWLRQ /HQJWK VXEILHOG KDG YDOXH  LJQRUH WKH
 UHPDLQLQJ7%77,QIRUPDWLRQ/HQJWKPLQXVRFWHWVRIHDFK7%77,QIRUPDWLRQILHOGRIWKH1HLJKERU$3 
 ,QIRUPDWLRQILHOGDQGFRQWLQXHWRSURFHVVWKHVXEVHTXHQW1HLJKERU$3,QIRUPDWLRQILHOGV,IWKHXQUHFRJ
 QL]HG7%77,QIRUPDWLRQ/HQJWKYDOXHLVOHVVWKDQRUHTXDOWRWKH67$VKDOOIROORZWKHDOWHUQDWLYH  ,I

WKHXQUHFRJQL]HG7%77,QIRUPDWLRQ/HQJWKYDOXHLVJUHDWHUWKDQDQ+(67$VKDOOIROORZWKHDOWHUQDWLYH

  DQGDQRQ+(67$VKDOOIROORZHLWKHUWKHDOWHUQDWLYH  RU  

























 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 6HFXULW\


 Insert the following at the end if Clause 12:


 &RQVWUDLQWVRQDOORZHGVHFXULW\SDUDPHWHUV

 ,QWURGXFWLRQ


 7KLVVWDQGDUGGHILQHVYDULRXVVHFXULW\PHFKDQLVPVRIZKLFKVRPHDUHGHSUHFDWHGRUREVROHWHDQGDUHQRW
 FRQVLGHUHGWRPHHWFXUUHQWUHTXLUHPHQWVIRUVHFXULW\6XFKPHFKDQLVPVHQDEOHLQWHURSHUDELOLW\ZLWKOHJDF\ 
 GHYLFHVEXWDUHQRWVXLWDEOHIRUQHZXVHVZKHUHOHJDF\VXSSRUWLVQRWQHHGHG7KLVVXEFODXVHGHVFULEHVFRQ
 VWUDLQWVRQVHFXULW\SDUDPHWHUVHOHFWLRQIRUVRPHXVHFDVHV


 6HFXULW\FRQVWUDLQWVLQWKH*+]EDQG

 7KHIROORZLQJDSSO\WRD67$RSHUDWLQJLQWKH*+]EDQG

² 7KH67$VKDOOQRWXVHWKHIROORZLQJSUH561$VHFXULW\PHWKRGV:(32SHQ6\VWHPDXWKHQWLFD

 WLRQZLWKRXWHQFU\SWLRQ6KDUHG.H\DXWKHQWLFDWLRQ
 ² 7KH67$VKDOOQRWXVHWKHIROORZLQJFLSKHUVXLWHVHOHFWRUV

 ‡ )$& 8VHJURXSFLSKHUVXLWH
 ‡ )$& :(3
 ‡ )$& 7.,3
 ‡ )$& :(3

 ² 7KH67$VKRXOGXVH2SSRUWXQLVWLF:LUHOHVV(QFU\SWLRQDVVSHFLILHGLQ,(7)5)&ZKHQFRQ
 QHFWLQJLQDQLQIUDVWUXFWXUH%66ZLWKRXWDXWKHQWLFDWLRQ DVDUHSODFHPHQWIRU2SHQ6\VWHPDXWKHQWL
 FDWLRQZLWKRXWHQFU\SWLRQ

 ² 7KH67$VKDOOQRWXVHWKHIROORZLQJ$.0VXLWHVHOHFWRUV
 ‡ )$& 36.
 ‡ )$& )7DXWKHQWLFDWLRQXVLQJ36.

 ‡ )$& 36.ZLWK6+$
 ‡ )$& )7DXWKHQWLFDWLRQXVLQJ36.ZLWK6+$
 ‡ )$& 36.ZLWK6+$

² 7KH67$VKRXOGXVH6$( $.0VXLWHVHOHFWRUV)$&DQGRU)$& LIDXWKHQWLFDWLQJ


 XVLQJDSDVVZRUGZKHUH,(((6WG;LVQRWXVHG DVDUHSODFHPHQWIRU36.
 ² 7KH67$VKDOOXVHPDQDJHPHQWIUDPHSURWHFWLRQ 0)35  ZKHQXVLQJ561





















&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU



































































 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 0/0(PHVKSURFHGXUHV


 0HVKGLVFRYHU\


 0HVK67$FRQILJXUDWLRQ

 Change as follows:


 7KHPHVK67$FRQILJXUDWLRQFRQVLVWVRIWKHPHVKSURILOH VHH 0HVKSURILOH WKH6XSSRUWHG5DWHV
 DQG%660HPEHUVKLS6HOHFWRUVHOHPHQWWKH([WHQGHG6XSSRUWHG5DWHVDQG%660HPEHUVKLS6HOHFWRUVHOH
 PHQW WKH +7 2SHUDWLRQV HOHPHQW LI SUHVHQW  DQG WKH 9+7 2SHUDWLRQV HOHPHQW LI SUHVHQW  DQG WKH +(

 2SHUDWLRQHOHPHQW LISUHVHQW 


 0HVK67$FRQILJXUDWLRQVDUHLGHQWLFDOLIWKHIROORZLQJFRQGLWLRQVKROG
 ² 7KHPHVKSURILOHVDUHLGHQWLFDO

 ² 7KH %66%DVLF5DWH6HW SDUDPHWHU RI WKH 0/0(67$57UHTXHVW SULPLWLYH LV LGHQWLFDO WR WKH EDVLF
 UDWHVHWLQGLFDWHGE\WKH6XSSRUWHG5DWHVDQG%660HPEHUVKLS6HOHFWRUVHOHPHQWDQG([WHQGHG6XS
 SRUWHG 5DWHV DQG %66 0HPEHUVKLS 6HOHFWRUV HOHPHQW LI SUHVHQW UHFHLYHG LQ WKH 0/0(0(6+
 3((5,1*0$1$*(0(17LQGLFDWLRQSULPLWLYH

 ² )RU +7 PHVK 67$V WKH %DVLF +70&6 6HW ILHOG RI WKH +7 2SHUDWLRQ SDUDPHWHU RI WKH 0/0(
 67$57UHTXHVWSULPLWLYHLVLGHQWLFDOWRWKH+72SHUDWLRQHOHPHQWUHFHLYHGLQWKH0/0(0(6+
 3((5,1*0$1$*(0(17LQGLFDWLRQSULPLWLYH

 ² )RU9+7PHVK67$VWKH%DVLF9+70&6DQG166ILHOGVLQWKH9+72SHUDWLRQHOHPHQWRIWKH
 0/0(67$57UHTXHVWSULPLWLYHDUHLGHQWLFDOWRWKH%DVLF9+70&6DQG166ILHOGVLQWKH9+7

 2SHUDWLRQHOHPHQWUHFHLYHGLQWKH0/0(0(6+3((5,1*0$1$*(0(17LQGLFDWLRQSULPLWLYH

² )RU +( PHVK 67$V WKH %DVLF +(0&6 DQG 166 6HW ILHOG LQ WKH +( 2SHUDWLRQ HOHPHQW RI WKH

 0/0(67$57UHTXHVWSULPLWLYHDUHLGHQWLFDOWRWKH%DVLF+(0&6DQG1666HWILHOGLQWKH+( 
 2SHUDWLRQHOHPHQWUHFHLYHGLQWKH0/0(0(6+3((5,1*0$1$*(0(17LQGLFDWLRQSULPLWLYH

 &DQGLGDWHSHHUPHVK67$


 Insert a new bullet after bullet e) in the second paragraph and reletter:

 7KHGLVFRYHUHGQHLJKERUPHVK67$VKDOOEHFRQVLGHUHGDFDQGLGDWHSHHUPHVK67$LIDQGRQO\LIDOORIWKH
 IROORZLQJFRQGLWLRQVDUHPHW

 H ,IERWKWKHVFDQQLQJPHVK67$DQGWKHGLVFRYHUHGQHLJKERU67$DUH+(67$VWKHPHVK67$XVHV
 WKHVDPHYDOXHIRUWKH%DVLF+(0&6$QG1666HWILHOGLQLWV+(2SHUDWLRQHOHPHQWDVUHFHLYHGLQ

 WKH%HDFRQRU3UREH5HVSRQVHIUDPHIURPWKHQHLJKERUPHVK67$


















&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU



































































 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ([WHQGHG5DWH3+< (53 VSHFLILFDWLRQ




 3+<VSHFLILFVHUYLFHSDUDPHWHUOLVW


 Insert the following rows after the last row in Table 18-1:


 7DEOH²7;9(&725SDUDPHWHUV


 3DUDPHWHU 9DOXH

 &+B%$1':,'7+B,1B121B+7 ,ISUHVHQW&%:RU&%:

 '<1B%$1':,'7+B,1B121B+7 ,ISUHVHQW6WDWLFRU'\QDPLF



 Insert the following rows after the last row in Table 18-3:


 7DEOH²5;9(&725SDUDPHWHUV


 3DUDPHWHU 9DOXH

 &+B%$1':,'7+B,1B121B+7 ,ISUHVHQW&%:RU&%:

 '<1B%$1':,'7+B,1B121B+7 ,ISUHVHQW6WDWLFRU'\QDPLF



































&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU



































































 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 Insert new Clauses 26 and 27 following Clause 25 as follows:





 +LJK(IILFLHQF\ +( 0$&VSHFLILFDWLRQ


 ,QWURGXFWLRQ


 $Q+(67$VXSSRUWVWKH0$&DQG0/0(IXQFWLRQVGHILQHGLQ&ODXVHLQDGGLWLRQWRWKH0$&IXQFWLRQV
 GHILQHG LQ &ODXVH WKH 0/0( IXQFWLRQV GHILQHG LQ &ODXVH DQG WKH VHFXULW\ IXQFWLRQV GHILQHG LQ
 &ODXVHH[FHSWZKHQWKHIXQFWLRQVLQ&ODXVHVXSHUVHGHWKHIXQFWLRQVLQ&ODXVHRU&ODXVH$VXF
 FHVVIXOO\DFNQRZOHGJHGIUDPHWUDQVPLWWHGE\DQRQ$367$LQUHVSRQVHWRD%DVLF7ULJJHUIUDPHLVDVXF
 FHVVIXOIUDPHH[FKDQJHLQLWLDWHGE\WKH67$DVUHIHUUHGWRLQ&ODXVHDQG&ODXVH



 +(FKDQQHODFFHVV

 7;23GXUDWLRQEDVHG576&76


 ,QDQ+(%66WKHXVHRI576&76FDQEH7;23GXUDWLRQEDVHGRU36'8OHQJWKEDVHG$Q+($3FDQ 
 FRQILJXUHDQRQ$3+(67$WRXVHWKH7;23GXUDWLRQEDVHG576&76H[FKDQJHVWRKHOSPLWLJDWHLQWHUIHU
 HQFHLQGHQVHHQYLURQPHQWV

 $Q+($3PD\VHWWKH7;23'XUDWLRQ5767KUHVKROGVXEILHOGLQWKH+(2SHUDWLRQ3DUDPHWHUVILHOGLQWKH

 +(2SHUDWLRQHOHPHQWLWWUDQVPLWVWRDYDOXHEHWZHHQDQGWRHQDEOH7;23GXUDWLRQEDVHG576&76

 H[FKDQJHVRILWVDVVRFLDWHG67$V7KH$3PD\VHWWKH7;23'XUDWLRQ5767KUHVKROGILHOGWRWRGLV
 DEOH7;23GXUDWLRQEDVHG576&76H[FKDQJHVRILWVDVVRFLDWHG67$V7KH$3PD\LQ%HDFRQDQG3UREH
 5HVSRQVHIUDPHVVHWWKH7;23'XUDWLRQ5767KUHVKROGILHOGWRWRPDNHQRFKDQJHVWR7;23GXUDWLRQ
 EDVHG576&76H[FKDQJHVRILWVDVVRFLDWHG67$V


 ,IWKH7;23'XUDWLRQ5767KUHVKROGVXEILHOGLQWKH+(2SHUDWLRQ3DUDPHWHUVILHOGLQWKHPRVWUHFHQWO\ 
 UHFHLYHG+(2SHUDWLRQHOHPHQWVHQWE\WKH$3ZLWKZKLFKDQRQ$3+(67$LVDVVRFLDWHGLVHTXDOWRDQRQ
 ]HURYDOXHWKHQWKHQRQ$3+(67$VKDOOVHWGRW7;23'XUDWLRQ5767KUHVKROGWRWKHYDOXHRIWKH7;23 


'XUDWLRQ 576 7KUHVKROG VXEILHOG 2WKHUZLVH WKH QRQ$3 +( 67$ VKDOO QRW XSGDWH GRW7;23'XUD
 WLRQ5767KUHVKROG

 7KH7;23GXUDWLRQEDVHG576&76H[FKDQJHLVGLVDEOHGDWDQRQ$3+(67$LIGRW7;23'XUDWLRQ57
 67KUHVKROGLV7KH7;23GXUDWLRQEDVHG576&76H[FKDQJHLVHQDEOHGDWDQRQ$3+(67$ZKHQ

 GRW7;23'XUDWLRQ5767KUHVKROGLVOHVVWKDQ

 $QRQ$3+(67$VKDOOXVHDQ576&76H[FKDQJHWRLQLWLDWHD7;23LI7;23GXUDWLRQEDVHG576&76

 H[FKDQJHLVHQDEOHGDWDQRQ$3+(67$DQGWKHIROORZLQJFRQGLWLRQVDUHPHW

 ² 7KH67$LQWHQGVWRWUDQVPLWLQGLYLGXDOO\DGGUHVVHGIUDPHVWRWKH+($3RUWRD7'/6SHHU67$
 ² 7KH7;23GXUDWLRQLVJUHDWHUWKDQRUHTXDOWR—VîGRW7;23'XUDWLRQ5767KUHVKROG


 2WKHUZLVHWKHQRQ$3+(67$IROORZVWKHUXOHVGHILQHGLQ *HQHUDO 

 ,QWUD%66DQGLQWHU%6633'8FODVVLILFDWLRQ


 $67$VKDOOFODVVLI\DUHFHLYHG33'8DVDQLQWHU%6633'8LIDWOHDVWRQHRIWKHIROORZLQJFRQGLWLRQVLV
 WUXH

 ² 7KH5;9(&725SDUDPHWHU%66B&2/25LVQRWDQGLVQRWWKH%66FRORURIWKH%66RIZKLFKWKH
 67$LVDPHPEHU

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ² 7KH 33'8 LV D 9+7 33'8 ZLWK 5;9(&725 SDUDPHWHU 3$57,$/B$,' QRW HTXDO WR WKH
 %66,'>@RIWKH%66LQZKLFKWKH67$LVDVVRFLDWHGRUDQ\RIWKHRWKHU%66VLQWKHVDPHPXO

WLSOH%66,'VHWRUFRKRVWHG%66,'VHWWRZKLFKLWV%66EHORQJVDQGWKH5;9(&725SDUDPHWHU

 *5283B,'LV
 ² 7KH33'8LVD9+733'8ZLWK5;9(&725SDUDPHWHU3$57,$/B$,'>@QRWHTXDOWRWKH 


/6%VRIWKH%66FRORUDQQRXQFHGE\WKH%66RIZKLFKWKH67$ZKRVHGRW3DUWLDO%66&RORU,PSOH
 PHQWHGLVHTXDOWRWUXHLVDPHPEHUDQG5;9(&725SDUDPHWHU*5283B,'HTXDOWRZKHQWKH
 3DUWLDO%66&RORUILHOGLQWKHPRVWUHFHQW+(2SHUDWLRQHOHPHQWLV

 ² 7KH 33'8 LV HLWKHU D 9+7 08 33'8 RU DQ +( 08 33'8 ZLWK WKH 5;9(&725 SDUDPHWHU
 83/,1.B)/$*HTXDOWRDQGWKH67$LVDQ$3
 ² 7KH33'8FDUULHVDIUDPHWKDWKDVD%66,'ILHOGWKHYDOXHRIZKLFKLVQRWWKH%66,'RIWKH%66LQ


 ZKLFKWKH67$LVDVVRFLDWHGRUDQ\RIWKHRWKHU%66VLQWKHVDPHPXOWLSOH%66,'VHWRUFRKRVWHG 
 %66,'VHWWRZKLFKLWV%66EHORQJVRUWKHZLOGFDUG%66,'

² 7KH33'8FDUULHVDIUDPHWKDWGRHVQRWKDYHD%66,'ILHOGEXWKDVERWKDQ5$ILHOGDQG7$ILHOG

 QHLWKHUYDOXHRIZKLFKLVHTXDOWRWKH%66,'RIWKH%66LQZKLFKWKH67$LVDVVRFLDWHGRUDQ\RIWKH
 RWKHU%66VLQWKHVDPHPXOWLSOH%66,'VHWRUFRKRVWHG%66,'VHWWRZKLFKLWV%66EHORQJV7KH
 ,QGLYLGXDO*URXSELWLQWKH7$ILHOGYDOXHLVIRUFHGWRSULRUWRFRPSDULVRQ


 $67$VKDOOFODVVLI\WKHUHFHLYHG33'8DVDQLQWUD%6633'8LIDWOHDVWRQHRIWKHIROORZLQJFRQGLWLRQVLV
 WUXH

² 7KH5;9(&725SDUDPHWHU%66B&2/25RIWKH33'8FDUU\LQJWKHIUDPHLVWKH%66FRORURIWKH

 %66RIZKLFKWKH67$LVDPHPEHURUWKH%66FRORURIDQ\7'/6OLQNVWRZKLFKWKH67$EHORQJVLI
 WKH67$LVDQ+(67$DVVRFLDWHGZLWKDQRQ+($3


² 7KH 33'8 LV D 9+7 33'8 ZLWK 5;9(&725 SDUDPHWHU 3$57,$/B$,' HTXDO WR WKH
 %66,'>@RIWKH%66LQZKLFKWKH67$LVDVVRFLDWHGRUDQ\RIWKHRWKHU%66VLQWKHVDPHPXO
 WLSOH%66,'VHWRUFRKRVWHG%66,'VHWWRZKLFKLWV%66EHORQJVDQGWKH5;9(&725SDUDPHWHU
 *5283B,'HTXDOWR

 ² 7KH33'8LVD9+733'8ZLWK5;9(&725SDUDPHWHU3$57,$/B$,'>@HTXDOWRWKH/6%V
 RIWKH%66FRORUDQQRXQFHGE\RIWKH%66RIZKLFKWKH67$ZKRVHGRW3DUWLDO%66&RORU,PSOH
 PHQWHGLVHTXDOWRWUXHLVDPHPEHUWKH5;9(&725SDUDPHWHU*5283B,'LVHTXDOWRDQGWKH
 3DUWLDO%66&RORUILHOGLQWKHPRVWUHFHQW+(2SHUDWLRQHOHPHQWLV

 ² 7KH33'8FDUULHVDIUDPHWKDWKDVDQ5$7$RU%66,'ILHOGYDOXHWKDWLVHTXDOWRWKH%66,'RIWKH
 %66RUWKH%66,'RIDQ\%66LQZKLFKWKH67$LVDVVRFLDWHGRUDQ\RIWKHRWKHU%66VLQWKHVDPH
 PXOWLSOH%66,'VHWRUFRKRVWHG%66,'VHWWRZKLFKLWV%66EHORQJV7KH,QGLYLGXDO*URXSELWLQ 

 WKH7$ILHOGYDOXHLVIRUFHGWRWKHYDOXHSULRUWRWKHFRPSDULVRQ
 ² 7KH33'8FDUULHVD&RQWUROIUDPHWKDWGRHVQRWKDYHD7$ILHOGDQGWKDWKDVDQ5$ILHOGYDOXHWKDW

PDWFKHVWKHVDYHG7;23KROGHUDGGUHVVRIWKH%66RUDQ\%66LQZKLFKWKH67$LVDVVRFLDWHGRU

 DQ\ RI WKH RWKHU %66V LQ WKH VDPH PXOWLSOH %66,' VHW RU FRKRVWHG %66,' VHW WR ZKLFK LWV %66

 EHORQJV

 127(²6HH *URXS,'DQGSDUWLDO$,'LQ9+7DQG&00*33'8V IRUWKHGHILQLWLRQRI3$57,$/B$,'>@
 DQG%66,'>@

 2WKHUZLVHWKH33'8FDQQRWEHGHWHUPLQHGDVDQLQWUD%66RULQWHU%6633'8


 ,IEDVHGRQWKH0$&DGGUHVVLQIRUPDWLRQRIDIUDPHFDUULHGLQDUHFHLYHG33'8WKHUHFHLYHG33'8VDWLV
 ILHVERWKLQWUD%66DQGLQWHU%66FRQGLWLRQVWKHQWKHUHFHLYHG33'8LVFODVVLILHGDVDQLQWUD%6633'8


,IWKHUHFHLYHG33'8VDWLVILHVWKHLQWUD%66FRQGLWLRQVXVLQJWKH5;9(&725SDUDPHWHU%66B&2/25DQG 

 DOVRVDWLVILHVWKHLQWHU%66FRQGLWLRQVXVLQJ0$&DGGUHVVLQIRUPDWLRQRIDIUDPHFDUULHGLQWKH33'8WKHQ
 WKHFODVVLILFDWLRQPDGHXVLQJWKH0$&DGGUHVVLQIRUPDWLRQWDNHVSUHFHGHQFH

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $IUDPHFDUULHGLQD33'8LGHQWLILHGDVDQLQWUD%6633'8LVDQLQWUD%66IUDPH$IUDPHFDUULHGLQD
 33'8LGHQWLILHGDVDQLQWHU%6633'8LVDQLQWHU%66IUDPH


 ,ID67$GHWHUPLQHVWKDWWKH%66FRORULVWHPSRUDULO\GLVDEOHG VHH 'LVDEOLQJ%66FRORU WKHQ
 WKH5;9(&725SDUDPHWHU%66B&2/25RID33'8VKDOOQRWEHXVHGWRFODVVLI\WKH33'8


65*33'8LGHQWLILFDWLRQ


 ,GHQWLILFDWLRQ RI 65* DQG QRQ65* 33'8V LV XVHG GXULQJ 65* 2%66 3' VSDWLDO UHXVH RSHUDWLRQ DV
 GHVFULEHGLQ 6SDWLDOUHXVHRSHUDWLRQ 


 $QRQ$3+(67$WKDWKDVUHFHLYHGD6SDWLDO5HXVH3DUDPHWHU6HWHOHPHQWIURPLWVDVVRFLDWHG$3ZLWKD
 YDOXH RI  LQ WKH 65* ,QIRUPDWLRQ 3UHVHQW VXEILHOG VKDOO XVH LQIRUPDWLRQ SURYLGHG LQ WKH 6SDWLDO 5HXVH
 3DUDPHWHU6HWHOHPHQWWRLGHQWLI\%66VWKDWDUHPHPEHUVRIWKH67$¶V65*WRGHWHUPLQHLIDUHFHLYHGLQWHU
 %6633'8LVDQ65*33'8$Q+($3PD\XVHDQ65*WKDWLVGLIIHUHQWIURPWKH65*WKDWLWWUDQVPLWVWR 


RWKHU 67$V LQ 6SDWLDO 5HXVH 3DUDPHWHU 6HW HOHPHQWV WR GHWHUPLQH ZKHWKHU RU QRW D UHFHLYHG LQWHU %66 
 33'8LVDQ65*33'8

 $UHFHLYHG+(33'8WKDWLVDQLQWHU%6633'8LVDQ65*33'8LIWKHELWLQWKH65*%66&RORU%LWPDS 
 ILHOGLQGH[HGE\WKHYDOXHRIWKH5;9(&725SDUDPHWHU%66B&2/25LV VHH 6SDWLDO5HXVH

 3DUDPHWHU 6HW HOHPHQW  $ UHFHLYHG 9+7 33'8 WKDW LV DQ LQWHU%66 33'8 LV DQ 65* 33'8 LI WKH
 *5283B,'SDUDPHWHURIWKH5;9(&725KDVDYDOXHRIDQGWKHELWLQWKH65*3DUWLDO%66,'%LWPDS 
 ILHOGWKDWFRUUHVSRQGVWRWKHQXPHULFDOYDOXHRI3$57,$/B$,'>@RIWKH5;9(&725LV VHH 
 6SDWLDO5HXVH3DUDPHWHU6HWHOHPHQW 


 $UHFHLYHG33'8WKDWLVDQLQWHU%6633'8LVDQ65*33'8LI%66,'LQIRUPDWLRQIURPDIUDPHFDUULHGLQ 
 WKH33'8LVFRUUHFWO\UHFHLYHGDQGWKHELWLQWKH65*3DUWLDO%66,'%LWPDSILHOGWKDWFRUUHVSRQGVWRWKH
 QXPHULFDOYDOXHRI%66,'>@LV


 $9+733'8WKDWLVDQLQWHU%6633'8DQGWKDWLVUHFHLYHGZLWK5;9(&725SDUDPHWHU*5283B,' 
 HTXDOWRLVDQ65*33'8LIWKHELWLQWKH65*3DUWLDO%66,'%LWPDSILHOGWKDWFRUUHVSRQGVWRWKHQXPHUL
 FDOYDOXHRIELWV>@RIWKH5$ILHOGRIDQ\FRUUHFWO\UHFHLYHGIUDPHIURPWKH33'8LV


 $9+733'8WKDWLVDQLQWHU%6633'8DQGWKDWLVUHFHLYHGZLWK5;9(&725SDUDPHWHU*5283B,' 
 HTXDOWRLVDQ65*33'8LIWKHELWLQWKH65*3DUWLDO%66,'%LWPDSILHOGWKDWFRUUHVSRQGVWRWKHQXPHU
 LFDOYDOXHRIELWV>@RIWKH7$ILHOGRIDQ\FRUUHFWO\UHFHLYHGIUDPHIURPWKH33'8LV



$Q+(6833'8+((56833'8RU+(0833'8WKDWLVDQLQWHU%6633'8DQGWKDWLVUHFHLYHGZLWK 
 WKH 5;9(&725 SDUDPHWHU 83/,1.B)/$* HTXDO WR  LV DQ 65* 33'8 LI WKH ELW LQ WKH 65* 3DUWLDO
 %66,'%LWPDSILHOGWKDWFRUUHVSRQGVWRWKHQXPHULFDOYDOXHRIELWV>@RIWKH5$ILHOGRIDQ\FRUUHFWO\

 UHFHLYHGIUDPHIURPWKH33'8LV


 2WKHUZLVHWKH33'8LVQRWGHWHUPLQHGWREHDQ65*33'8$QRQ$3+(67$WKDWKDVQRWUHFHLYHGD
 6SDWLDO5HXVH3DUDPHWHU6HWHOHPHQWIURPLWVDVVRFLDWHG$3ZLWKDYDOXHRILQWKH65*,QIRUPDWLRQ3UHV
 HQWVXEILHOGVKDOOQRWFODVVLI\DQ\UHFHLYHG33'8VDVDQ65*33'8$Q+($3WKDWKDVQRWWUDQVPLWWHGD
 6SDWLDO5HXVH3DUDPHWHU6HWHOHPHQWZLWKDYDOXHRILQWKH65*,QIRUPDWLRQ3UHVHQWVXEILHOGPD\FODVVLI\
 UHFHLYHG33'8VDV65*33'8VXVLQJLQIRUPDWLRQWKDWLWKDVQRWWUDQVPLWWHG


 8SGDWLQJWZR1$9V


$QRQ$3+(67$VKDOOPDLQWDLQWZR1$9VDQGDQ+($3PD\PDLQWDLQWZR1$9VDQLQWUD%661$9 

 DQGDEDVLF1$97KHLQWUD%661$9LVXSGDWHGE\DQLQWUD%6633'87KHEDVLF1$9LVXSGDWHGE\DQ
 LQWHU%6633'8RUD33'8WKDWFDQQRWEHFODVVLILHGDVLQWUD%66RULQWHU%667KHPHFKDQLVPE\ZKLFKD

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 33'8LVFODVVLILHGLQWUD%66RULQWHU%66LVGHILQHGLQ ,QWUD%66DQGLQWHU%6633'8FODVVLILFD
 WLRQ 


 0DLQWDLQLQJWZR1$9VLVEHQHILFLDOLQGHQVHGHSOR\PHQWVFHQDULRVLQZKLFKD67$UHTXLUHVSURWHFWLRQIURP
 IUDPHVWUDQVPLWWHGE\67$VZLWKLQLWV%66LHLQWUD%66DQGDYRLGLQWHUIHUHQFHIURPIUDPHVWUDQVPLWWHG
 E\67$VLQDQHLJKERULQJ%66LHLQWHU%66)RUH[DPSOHLQD7;23LQLWLDWHGE\WKH$3ZLWKZKLFKD
 67$LVDVVRFLDWHGIRUDQ+(7%33'8WUDQVPLVVLRQWKHLQWUD%661$9RIWKH67$LVVHWE\WKH$3WRSUH


YHQWWKH67$IURPFRQWHQGLQJIRUWKHFKDQQHO7KHEDVLF1$9RIWKH67$LVQRWXSGDWHGE\WUDQVPLVVLRQV
 IURPWKH$3GXULQJWKH7;23VRWKDWLIWKHEDVLF1$9RIWKH67$LVQRQ]HURDQGWKH67$UHFHLYHVIURP 
 WKH$3D7ULJJHUIUDPHZLWKWKH&65HTXLUHGVXEILHOGHTXDOWRWKH67$ZLOOQRWUHVSRQG VHH 
 8/08&6PHFKDQLVP 


 7KHUHTXLUHPHQWVLQ &6PHFKDQLVP DSSO\WRDQ+(67$PDLQWDLQLQJWZR1$9VZLWKWKHH[FHS
 WLRQRIWKHYLUWXDO&6LQGLFDWLRQRIPHGLXP)RUDQ+(67$PDLQWDLQLQJWZR1$9VLIERWKWKH1$9WLPHUV
 DUHWKHYLUWXDO&6LQGLFDWLRQLVWKDWWKHPHGLXPLVLGOHLIDWOHDVWRQHRIWKHWZR1$9WLPHUVLVQRQ]HUR
 WKHYLUWXDO&6LQGLFDWLRQLVWKDWWKHPHGLXPLVEXV\


 7KHSURFHGXUHLQ &76DQG'0*&76SURFHGXUH DSSOLHVWRDQ+(67$PDLQWDLQLQJWZR1$9V
 DQGWKH1$9UHIHUUHGE\WKHGHVFULSWLRQLQ 6HWWLQJDQGUHVHWWLQJWKH1$9 LVWKHEDVLF1$9

 7KHGXUDWLRQLQIRUPDWLRQLVLQGLFDWHGE\DIUDPHDVIROORZV

 ² ,IWKHUHLVD'XUDWLRQILHOGLQWKHIUDPHWKHQWKHGXUDWLRQLQIRUPDWLRQLVLQGLFDWHGE\WKH'XUDWLRQ

 ILHOG

 ² ,IWKHIUDPHLVD363ROOWKHQWKHGXUDWLRQLQIRUPDWLRQLVHTXDOWRWKHWLPHLQPLFURVHFRQGVUHTXLUHG
 WRWUDQVPLWRQH$FNIUDPHSOXVRQH6,)6XQGHUWKHGDWDUDWHVHOHFWLRQUXOHV,IWKHFDOFXODWHGGXUD
 WLRQLQIRUPDWLRQLQFOXGHVDIUDFWLRQDOPLFURVHFRQGWKDWGXUDWLRQLQIRUPDWLRQLVURXQGHGXSWRWKH
 QH[WKLJKHULQWHJHU


 $67$VKDOOXSGDWHWKHLQWUD%661$9ZLWKWKHGXUDWLRQLQIRUPDWLRQLQGLFDWHGE\WKHUHFHLYHGIUDPHLQD
 36'8LIDQGRQO\LIDOOWKHIROORZLQJFRQGLWLRQVDUHPHW

² 7KHIUDPHLVLGHQWLILHGDVLQWUD%66DFFRUGLQJWRWKHUXOHGHVFULEHGLQ ,QWUD%66DQGLQWHU

 %6633'8FODVVLILFDWLRQ 
 ² 7KHLQGLFDWHGGXUDWLRQLVJUHDWHUWKDQWKHFXUUHQWLQWUD%661$9YDOXH

 ² 7KH5$RIWKHUHFHLYHGIUDPHLVQRWWKH67$¶V0$&DGGUHVVRUWKH67$LVQRWD7;23KROGHUDQG 
 WKH33'8FDUU\LQJWKHIUDPHGRHVQRWFRQWDLQDIUDPHWKDWVROLFLWVDQLPPHGLDWHUHVSRQVHIURPWKH
 67$RUWKH67$LVQRWD7;23KROGHUDQGWKHUHFHLYHGIUDPHLVD7ULJJHUIUDPH


 $67$VKDOOXSGDWHWKHEDVLF1$9ZLWKWKHGXUDWLRQLQIRUPDWLRQLQGLFDWHGE\WKHUHFHLYHGIUDPHLQD36'8

 LIDQGRQO\LIDOOWKHIROORZLQJFRQGLWLRQVDUHPHW
 ² 7KHIUDPHLVLGHQWLILHGDVLQWHU%66RUFDQQRWEHLGHQWLILHGDVLQWUD%66RULQWHU%66DFFRUGLQJWR


 WKHUXOHGHVFULEHGLQ ,QWUD%66DQGLQWHU%6633'8FODVVLILFDWLRQ 
 ² 7KHLQGLFDWHGGXUDWLRQLVJUHDWHUWKDQWKHFXUUHQWEDVLF1$9YDOXH

 ² 7KH5$RIWKHUHFHLYHGIUDPHLVQRWWKH67$¶V0$&DGGUHVV

 $67$WKDWLVD7;23KROGHUVKDOOQRWXSGDWHWKHLQWUD%661$9ZLWKWKHGXUDWLRQLQIRUPDWLRQLQGLFDWHG

 E\WKH5;9(&725SDUDPHWHU7;23B'85$7,21


 $67$WKDWLVQRWD7;23KROGHUVKDOOXSGDWHWKHLQWUD%661$9ZLWKWKHGXUDWLRQLQIRUPDWLRQLQGLFDWHG

 E\WKH5;9(&725SDUDPHWHU7;23B'85$7,21IRUDQ+(33'8LIDQGRQO\LIDOOWKHIROORZLQJFRQGL
 WLRQVDUHPHW

 ² 7KH5;9(&725SDUDPHWHU7;23B'85$7,21LVQRW8163(&,),('

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ² 7KH33'8WKDWFDUULHGLQIRUPDWLRQRIWKH5;9(&725SDUDPHWHULVLGHQWLILHGDVLQWUD%66DFFRUG
 LQJWRWKHUXOHGHVFULEHGLQ ,QWUD%66DQGLQWHU%6633'8FODVVLILFDWLRQ 

 ² 7KH67$GRHVQRWUHFHLYHDIUDPHZLWKD'XUDWLRQILHOGLQWKH33'8

 ² 7KH GXUDWLRQ LQIRUPDWLRQ LQGLFDWHG E\ WKH 5;9(&725 SDUDPHWHU 7;23B'85$7,21 LV JUHDWHU
 WKDQWKHFXUUHQWLQWUD%661$9RIWKH67$

 $67$VKDOOXSGDWHWKHEDVLF1$9ZLWKWKHGXUDWLRQLQIRUPDWLRQLQGLFDWHGE\WKH5;9(&725SDUDPHWHU


7;23B'85$7,21IRUDQ+(33'8LIDQGRQO\LIDOOWKHIROORZLQJFRQGLWLRQVDUHPHW
 ² 7KH5;9(&725SDUDPHWHU7;23B'85$7,21LVQRW8163(&,),('

 ² 7KH33'8WKDWFDUULHGLQIRUPDWLRQIRUWKH5;9(&725SDUDPHWHULVLGHQWLILHGDVLQWHU%66RUFDQ
 QRWEHLGHQWLILHGDVLQWUD%66RULQWHU%66DFFRUGLQJWRWKHUXOHGHVFULEHGLQ ,QWUD%66DQG
 LQWHU%6633'8FODVVLILFDWLRQ 

 ² 7KH67$GRHVQRWUHFHLYHDIUDPHZLWKD'XUDWLRQILHOGLQWKH33'8


² 7KH GXUDWLRQ LQIRUPDWLRQ LQGLFDWHG E\ WKH 5;9(&725 SDUDPHWHU 7;23B'85$7,21 LV JUHDWHU
 WKDQWKHFXUUHQWEDVLF1$9RIWKH67$

 127(²,ID363ROOIUDPHLVUHFHLYHGLQDQ+(6833'8+((56833'8RU+(0833'8WKHQWKH5;9(&
 725SDUDPHWHU7;23B'85$7,21GRHVQRWLQGLFDWHGXUDWLRQLQIRUPDWLRQ VHH 7;23B'85$7,21 
 127(²,ID67$UHFHLYHVDQ+(33'8ZLWKWKHGXUDWLRQLQIRUPDWLRQLQGLFDWHGE\ERWKDIUDPHZLWKD'XUDWLRQILHOG

 DQG WKH 5;9(&725 SDUDPHWHU 7;23B'85$7,21 WKHQ WKH GXUDWLRQ LQIRUPDWLRQ LQGLFDWHG E\ WKH 5;9(&725 
 SDUDPHWHU7;23B'85$7,21LVLJQRUHG

 127(²7KHDGGLWLRQDOUXOHVRI1$9FRQVLGHUDWLRQIRUD67$WKDWLVVROLFLWHGIRUDQLPPHGLDWHUHVSRQVHDUHGHVFULEHG
 LQ &76DQG'0*&76SURFHGXUH  $FNQRZOHGJPHQWSURFHGXUH DQG 8/08&6PHFKD
 QLVP 



$3+<&&$5(6(7UHTXHVWSULPLWLYHVKDOOEHLVVXHGLIRQHRIWKHIROORZLQJFRQGLWLRQLVPHW
 ² 2QH1$9LVUHVHWDQGWKHRWKHU1$9WLPHULV

 ² %RWK1$9VDUHUHVHWVLPXOWDQHRXVO\

 7KH1$9V LIDQ\ DUHXSGDWHGDWWKHH[SHFWHGHQGRIWKH33'8DVGHILQHGLQ 6HWWLQJDQGUHVHWWLQJ

 WKH1$9 

 $Q +( 67$ WKDW XVHG LQIRUPDWLRQ IURP DQ 576 RU 08576 7ULJJHU IUDPH DV WKH PRVW UHFHQW EDVLV WR

 XSGDWHLWV1$9LVSHUPLWWHGWRUHVHWWKH1$9WKDWLVXSGDWHGE\WKH576RU085767ULJJHUIUDPHLIQR 


3+<5;67$57LQGLFDWLRQ SULPLWLYH LV UHFHLYHG IURP WKH 3+< GXULQJ D SHULRG ZLWK D GXUDWLRQ RI
 îD6,)67LPH&76B7LPHD5[3+<6WDUW'HOD\îD6ORW7LPH VWDUWLQJ ZKHQ WKH 0$& UHFHLYHV D
 3+<5;(1'LQGLFDWLRQ SULPLWLYH FRUUHVSRQGLQJ WR WKH GHWHFWLRQ RI WKH 576 RU 08576 7ULJJHU IUDPH
 VHH 6HWWLQJDQGUHVHWWLQJWKH1$9 IRUWKHGHILQLWLRQRI&76B7LPH 


 7UXQFDWLRQRI7;23

 $QRQ$3+(67$WKDWLVQRWDVVRFLDWHGZLWKDQ+($3VKDOOLQWHUSUHWWKHUHFHSWLRQRID&)(QGIUDPHDVD
 1$9UHVHWLHLWUHVHWLWVPDLQWDLQHG1$9WRDWWKHHQGRIWKH33'8FRQWDLQLQJWKLVIUDPH


 $Q+($3WKDWPDLQWDLQVRQH1$9 VHH &6PHFKDQLVP DQGUHFHLYHVD&)(QGIUDPHVKRXOG

 UHVHWWKH1$9XQOHVVHLWKHURIIROORZLQJFRQGLWLRQVDUHPHW

 ² 7KHUHFHLYHG&)(QGIUDPHLVDQLQWHU%66IUDPHDQGWKHPRVWUHFHQWO\XSGDWHG1$9ZDVGXHWRDQ

 LQWUD%66IUDPH VHH ,QWUD%66DQGLQWHU%6633'8FODVVLILFDWLRQ 

 ² 7KHUHFHLYHG&)(QGIUDPHLVDQLQWUD%66IUDPHDQGWKHPRVWUHFHQWO\XSGDWHG1$9ZDVGXHWRDQ

 LQWHU%66IUDPH VHH ,QWUD%66DQGLQWHU%6633'8FODVVLILFDWLRQ 

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $Q +( 67$ WKDW PDLQWDLQV WZR 1$9V VHH  8SGDWLQJ WZR 1$9V  DQG UHFHLYHV D &)(QG IUDPH
 VKRXOG UHVHW WKH EDVLF 1$9 LI WKH UHFHLYHG &)(QG IUDPH LV DQ LQWHU%66 IUDPH DQG UHVHW WKH LQWUD%66


1$9LIWKHUHFHLYHG&)(QGIUDPHLVDQLQWUD%66IUDPH


 $Q+(67$WKDWPDLQWDLQVWZR1$9VPD\UHVHWERWK1$9VLIWKHUHFHLYHG&)(QGIUDPHLVDQLQWUD%66 
 IUDPHDQGWKHEDVLF1$9ZDVXSGDWHGGXHWRDIUDPHWKDWFDQQRWEHLGHQWLILHGDVHLWKHULQWHU%66IUDPHRU
 LQWUD%66IUDPH


 $Q+(67$WKDWUHFHLYHVD&)(QGIUDPHDQGUHVHWVDOOLWVPDLQWDLQHG1$9 V FDQVWDUWFRQWHQGLQJIRUWKH
 PHGLXPZLWKRXWIXUWKHUGHOD\

 085767ULJJHU&76IUDPHH[FKDQJHSURFHGXUH


 *HQHUDO

 7KH 08576 7ULJJHU&76 IUDPH H[FKDQJH SURFHGXUH DOORZV DQ $3 WR LQLWLDWH D 7;23 DQG SURWHFW WKH
 7;23IUDPHH[FKDQJHV$Q$3PD\WUDQVPLWDQ085767ULJJHUIUDPHWRVROLFLWVLPXOWDQHRXV&76IUDPH

UHVSRQVHVIURPRQHRUPRUHQRQ$367$V


 )LJXUH ([DPSOH RI 08576&76'/ 08 33'8$FNQRZOHGJPHQW 5HVSRQVH DQG 1$9 VHWWLQJ 
 VKRZV DQ H[DPSOH RI WKH H[FKDQJH RI 08576 DQG VLPXOWDQHRXV &76 UHVSRQVHV WR SURWHFW WKH '/ 08

 33'8DQGWKHDFNQRZOHGJPHQWUHVSRQVHV




 DhͲZd^ƚŽ ,DhWWhƚŽ
 W
^dϭĂŶĚ^dϮ ^dϭĂŶĚ^dϮ


 d^ƌĞƐƉŽŶƐĞ
,dWWhǁŝƚŚ
 ĂĐŬŶŽǁůĞĚŐĞŵĞŶƚ
ƚŽW
EŽŶͲW^dϭ ƌĞƐƉŽŶƐĞƚŽW


 ,dWWhǁŝƚŚ
d^ƌĞƐƉŽŶƐĞ
 ĂĐŬŶŽǁůĞĚŐĞŵĞŶƚ
ƚŽW
 EŽŶͲW^dϮ ƌĞƐƉŽŶƐĞƚŽW


 Es;DhͲZd^Ϳ

 Es;d^Ϳ





)LJXUH²([DPSOHRI08576&76'/0833'8$FNQRZOHGJPHQW5HVSRQVHDQG1$9
 VHWWLQJ














 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 )LJXUH ([DPSOH RI 08576&767ULJJHU+( 7% 33'80XOWL67$ %ORFN$FN DQG 1$9 VHWWLQJ 
 VKRZV DQ H[DPSOH RI WKH H[FKDQJH RI 08576 DQG VLPXOWDQHRXV &76 UHVSRQVHV WR SURWHFW WKH +( 7%


 33'8DQG0XOWL67$%ORFN$FNIUDPH




DƵůƚŝͲ^d
 W
DhͲZd^ƚŽ dƌŝŐŐĞƌƚŽ^dϭ
ůŽĐŬĐŬƚŽ
 ^dϭĂŶĚ^dϮ ĂŶĚ^dϮ
^dϭĂŶĚ^dϮ

 d^ƌĞƐƉŽŶƐĞ ,dWWhƚŽ
 EŽŶͲW^dϭ ƚŽW W


 d^ƌĞƐƉŽŶƐĞ ,dWWhƚŽ
 EŽŶͲW^dϮ ƚŽW W


 Es;DhͲZd^Ϳ

 Es;d^Ϳ



 )LJXUH²([DPSOHRI08576&767ULJJHU+(7%33'80XOWL67$%ORFN$FNDQG1$9
 VHWWLQJ


 085767ULJJHUIUDPHWUDQVPLVVLRQ


 ,QHDFK0+]FKDQQHORFFXSLHGE\WKH33'8WKDWFRQWDLQVDQ085767ULJJHUIUDPHWKHWUDQVPLWWHURI


WKH085767ULJJHUIUDPHVKDOOUHTXHVWDWOHDVWRQHQRQ$367$WRVHQGD&76IUDPHUHVSRQVHWKDWRFFX
 SLHVWKH0+]FKDQQHO7KHWUDQVPLWWHURIDQ085767ULJJHUIUDPHVKDOOQRWUHTXHVWDQRQ$367$WR
 VHQGD&76IUDPHUHVSRQVHLQD0+]FKDQQHOWKDWLVQRWRFFXSLHGE\WKH33'8WKDWFRQWDLQVWKH08
 5767ULJJHUIUDPH


 $IWHU WUDQVPLWWLQJ DQ 08576 7ULJJHU IUDPH WKH $3 VKDOO ZDLW IRU D &767LPHRXW LQWHUYDO RI


D6,)67LPHD6ORW7LPHD5[3+<6WDUW'HOD\WKDWEHJLQVZKHQWKH0$&UHFHLYHVWKH3+<7;(1'FRQ
 ILUP SULPLWLYH IRU WKH WUDQVPLWWHG 08576 7ULJJHU IUDPH ,I WKH 0$& GRHV QRW UHFHLYH D 3+<
 5;67$57LQGLFDWLRQSULPLWLYHGXULQJWKH&767LPHRXWLQWHUYDOWKH$3VKDOOFRQFOXGHWKDWWKHWUDQVPLV
 VLRQRIWKH085767ULJJHUIUDPHKDVIDLOHGDQGLIWKH085767ULJJHUIUDPHLQLWLDWHGD7;23WKH$3 

 VKDOOLQYRNHLWVEDFNRIISURFHGXUH,IWKH0$&UHFHLYHVD3+<5;67$57LQGLFDWLRQSULPLWLYHGXULQJWKH
 &767LPHRXWLQWHUYDOWKHQWKH0$&VKDOOZDLWIRUWKHFRUUHVSRQGLQJ3+<5;(1'LQGLFDWLRQSULPLWLYHWR
 GHWHUPLQH ZKHWKHU WKH 08576 7ULJJHU IUDPH WUDQVPLVVLRQ ZDV VXFFHVVIXO 7KH UHFHLSW RI D &76 IUDPH
 IURPDQ\QRQ$367$DGGUHVVHGE\WKH085767ULJJHUIUDPHEHIRUHWKH3+<5;(1'LQGLFDWLRQSULPL

 WLYHVKDOOEHLQWHUSUHWHGDVWKHVXFFHVVIXOWUDQVPLVVLRQRIWKH085767ULJJHUIUDPHSHUPLWWLQJWKHIUDPH
 H[FKDQJHVHTXHQFHWRFRQWLQXH7KHUHFHLSWRIDQ\RWKHUW\SHRIIUDPHVKDOOEHLQWHUSUHWHGDVDIDLOXUHRIWKH
 085767ULJJHUIUDPHWUDQVPLVVLRQ,QWKLVLQVWDQFHWKH$3PD\SURFHVVWKHUHFHLYHGIUDPHDQGLIWKH
 085767ULJJHUIUDPHLQLWLDWHGD7;23VKDOOLQYRNHLWVEDFNRIISURFHGXUHDWWKH3+<5;(1'LQGLFDWLRQ 

 SULPLWLYH

 127(²,IDQ$3WUDQVPLWVDQ085767ULJJHUIUDPHLQDQDOUHDG\LQLWLDWHG7;23DQGWKH085767ULJJHUIUDPH
 WUDQVPLVVLRQIDLOVWKHQWKH$3PLJKWSHUIRUPD3,)6UHFRYHU\DVGHVFULEHGLQ 0XOWLSOHIUDPHWUDQVPLVVLRQLQ

 DQ('&$7;23 RULQYRNHWKHEDFNRIISURFHGXUHGHVFULEHGLQ ('&$EDFNRIISURFHGXUH 


 $Q085767ULJJHUIUDPHVKDOOQRWEHFDUULHGLQD9+70833'8RUDQ+(0833'8

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 &76IUDPHUHVSRQVHWRDQ085767ULJJHUIUDPH


 ,IDQRQ$367$UHFHLYHVDQ085767ULJJHUIUDPHWKHQRQ$367$VKDOOFRPPHQFHWKHWUDQVPLVVLRQRI
 D&76IUDPHUHVSRQVHDWWKH6,)6WLPHERXQGDU\DIWHUWKHHQGRIDUHFHLYHG33'8ZKHQDOOWKHIROORZLQJ

 FRQGLWLRQVDUHPHW

 ² 7KH085767ULJJHUIUDPHKDVRQHRIWKH8VHU,QIRILHOGVDGGUHVVHGWRWKHQRQ$367$7KH8VHU
 ,QIRILHOGLVDGGUHVVHGWRDQRQ$367$LIWKH$,'VXEILHOGLVHTXDOWRWKH/6%VRIWKH$,'RI

 WKH67$DQGWKH085767ULJJHUIUDPHLVVHQWE\WKH$3ZLWKZKLFKWKHQRQ$367$LVDVVRFLDWHG 
 RUE\WKH$3FRUUHVSRQGLQJWRWKHWUDQVPLWWHG%66,'LIWKHQRQ$367$LVDVVRFLDWHGZLWKDQRQ
 WUDQVPLWWHG%66,'DQGKDVLQGLFDWHGVXSSRUWIRUUHFHLYLQJ&RQWUROIUDPHVZLWK7$ILHOGVHWWRWKH

 WUDQVPLWWHG%66,'E\VHWWLQJWKH5[&RQWURO)UDPH7R0XOWL%66VXEILHOGWRLQWKH+(&DSDELOL
 WLHVHOHPHQWWKDWWKHQRQ$367$WUDQVPLWV

 ² 7KH8/08&6FRQGLWLRQLQGLFDWHVWKDWWKHPHGLXPLVLGOH VHH 8/08&6PHFKDQLVP 


 2WKHUZLVHWKHQRQ$367$VKDOOQRWVHQGD&76IUDPHUHVSRQVH

 127(²7KH58$OORFDWLRQVXEILHOGLQWKH8VHU,QIRILHOGDGGUHVVHGWRWKHQRQ$367$LQGLFDWHVZKHWKHUWKH&76 

 IUDPH UHVSRQVH LV WR EH VHQW RQ WKH SULPDU\  0+] FKDQQHO SULPDU\  0+] FKDQQHO SULPDU\  0+] FKDQQHO
 0+]FKDQQHORU0+]FKDQQHODVGHVFULEHGLQ 08576YDULDQW 

 127(²$FRPELQDWLRQRIYLUWXDO&6DQG('EDVHG&&$GXULQJWKH6,)6DIWHUWKH33'8FRQWDLQLQJWKH08576

 7ULJJHUIUDPHLVXVHGWRGHWHUPLQHWKHVWDWHRIWKHPHGLXP VHH 8/08&6PHFKDQLVP 


 7KH&76IUDPHVHQWLQUHVSRQVHWRDQ085767ULJJHUIUDPHVKDOOEHFDUULHGLQDQRQ+7RUQRQ+7GXSOL
 FDWH33'8 VHH&ODXVH ZLWKD0EVUDWHDQGZLWKWKH7;9(&725SDUDPHWHU6&5$0%/(5B,1,

 7,$/B9$/8(VHWWRWKHVDPHYDOXHDVWKH5;9(&725SDUDPHWHU6&5$0%/(5B,1,7,$/B9$/8(RI
 WKH33'8FDUU\LQJWKH085767ULJJHUIUDPH7KH33'8FDUU\LQJWKH&76IUDPHVKDOOEHWUDQVPLWWHGRQ 
 WKH0+]FKDQQHOVLQGLFDWHGLQWKH58$OORFDWLRQVXEILHOGRIWKH8VHU,QIRILHOGRIWKH085767ULJJHU

 IUDPH

 127(²$EDQGZLGWKVLJQDOLQJ7$LVQRWXVHGLQDQ085767ULJJHUIUDPHRUD&76IUDPHUHVSRQVHWRDQ08576 
 7ULJJHU IUDPH VHH  7ULJJHU IUDPH IRUPDW  DQG  &76 IUDPH IRUPDW  $V D UHVXOW WKH 7;9(&725

 SDUDPHWHU&+B%$1':,'7+B,1B121B+7LVQRWSUHVHQWZKHQWUDQVPLWWLQJDQ085767ULJJHUIUDPHRU&76IUDPH

UHVSRQVHWRDQ085767ULJJHUIUDPH,Q)LJXUH 'DWDVFUDPEOHU WKHILUVWELWVRIVFUDPEOLQJVHTXHQFHRIDQ 

 085767ULJJHUIUDPHRU&76IUDPHUHVSRQVHWRDQ085767ULJJHUIUDPHDUHQRWGHILQHGE\7DEOH &RQWHQWVRI
 WKHILUVWELWVRIWKHVFUDPEOLQJVHTXHQFH 


 7KH3RZHU0DQDJHPHQWDQG0RUH'DWDVXEILHOGVLQD&76IUDPHVHQWLQUHVSRQVHWRDQ085767ULJJHU
 IUDPHVKDOOEHVHWWR

 127(²2WKHUVXEILHOGVRIWKH)UDPH&RQWUROILHOGRIWKH&76IUDPHVVHQWLQUHVSRQVHWRDQ085767ULJJHUIUDPHDUH

VHW DV GHVFULEHG LQ )LJXUH  )UDPH &RQWURO ILHOG VXEILHOG YDOXHV ZLWKLQ &RQWURO IUDPHV FDUULHG LQ D QRQ6*


 33'8 


)LJXUH $QH[DPSOHRIDQ085767ULJJHUIUDPHVROLFLWLQJ&76IUDPHUHVSRQVHVRQWKHSULPDU\

 0+] FKDQQHO  VKRZV DQ H[DPSOH RI WKH H[FKDQJH RI DQ 08576 7ULJJHU IUDPH DQG VLPXOWDQHRXV &76

 IUDPHUHVSRQVHVRQWKHSULPDU\0+]FKDQQHO,QWKLVH[DPSOH085767ULJJHUIUDPHLVWUDQVPLWWHGLQ


D0+]QRQ+7GXSOLFDWH33'8RQWKHSULPDU\0+]FKDQQHO)XUWKHUWKH085767ULJJHUIUDPH
 UHTXHVWVQRQ$367$WRWUDQVPLWD&76IUDPHUHVSRQVHLQDQRQ+733'8RQWKHSULPDU\0+]FKDQ

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 QHODQGQRQ$367$WRWUDQVPLWD&76IUDPHUHVSRQVHLQD0+]QRQ+7GXSOLFDWH33'8RQWKHSUL
 PDU\0+]FKDQQHO






ĐŚĂŶŶĞů

WƌŝŵĂƌLJ
ϮϬD,nj

 DhͲZd^ƚŽ^dϭĂŶĚ

ĐŚĂŶŶĞů
ϰϬD,nj
^dϮƚƌĂŶƐŵŝƚƚĞĚŝŶĂ
 W
ϰϬD,njŶŽŶͲ,d


LJ
ĚƵƉůŝĐĂƚĞWWh



d^ƚŽWƚƌĂŶƐŵŝƚƚĞĚŝŶ

ĐŚĂŶŶĞů

WƌŝŵĂƌLJ
ϮϬD,nj
 ĂŶŽŶͲ,dWWhĂƐ


ĐŚĂŶŶĞů
ϰϬD,nj
ŝŶĚŝĐĂƚĞĚďLJDhͲZd^
 EŽŶͲW^dϭ


LJ




ĐŚĂŶŶĞů

WƌŝŵĂƌLJ
ϮϬD,nj
 d^ƚŽWƚƌĂŶƐŵŝƚƚĞĚŝŶ


ĐŚĂŶŶĞů
ϰϬD,nj
ĂϰϬD,njŶŽŶͲ,d
 EŽŶͲW^dϮ ĚƵƉůŝĐĂƚĞWWhĂƐ

LJ
 ŝŶĚŝĐĂƚĞĚďLJDhͲZd^




 )LJXUH²$QH[DPSOHRIDQ085767ULJJHUIUDPHVROLFLWLQJ&76IUDPHUHVSRQVHVRQ
 WKHSULPDU\0+]FKDQQHO


 $QRQ$367$WKDWWUDQVPLWVD&76IUDPHLQUHVSRQVHWRDQ085767ULJJHUIUDPHVKDOOIROORZWKHV\Q
 FKURQL]DWLRQUHTXLUHPHQWGHILQHGLQ 3UHFRUUHFWLRQDFFXUDF\UHTXLUHPHQWV 



('&$RSHUDWLRQXVLQJ08('&$SDUDPHWHUV

 $QRQ$367$WKDWUHFHLYHVDQ08('&$3DUDPHWHU6HWHOHPHQWIURPWKH$3ZLWKZKLFKLWLVDVVRFLDWHG

 IROORZVWKHSURFHGXUHGHILQHGLQWKLVVXEFODXVH


 $Q+($3WKDWKDVGRW08('&$3DUDPHWHUV$FWLYDWHGHTXDOWRWUXHLQFOXGHVWKH08('&$3DUDPHWHU
 6HWHOHPHQWLQWKH0DQDJHPHQWIUDPHVLWWUDQVPLWVWKDWLQFOXGHWKH('&$3DUDPHWHU6HWHOHPHQW$Q+( 
 $3VKDOOVHWWKH4R6,QIRILHOGRIDQ08('&$3DUDPHWHU6HWHOHPHQW LISUHVHQW WRWKHVDPHYDOXHDVWKH

 4R6 ,QIR ILHOG RI DQ ('&$ 3DUDPHWHU 6HW HOHPHQW LI SUHVHQW  $Q +( $3 PD\ FKDQJH WKH 08 ('&$
 SDUDPHWHUVE\LQFOXGLQJWKH08('&$3DUDPHWHU6HWHOHPHQWZLWKXSGDWHG08('&$SDUDPHWHUVLQWKH
 %HDFRQIUDPHVDQG3UREH5HVSRQVHIUDPHVLWWUDQVPLWV7KH('&$3DUDPHWHU6HW8SGDWH&RXQWVXEILHOGLQ
 WKH 4R6 ,QIR ILHOG RI WKH ('&$ 3DUDPHWHU 6HW HOHPHQW DQG 08 ('&$ 3DUDPHWHU 6HW HOHPHQW LV LQFUH
 PHQWHGHYHU\WLPHDQ\RIWKH('&$SDUDPHWHUVRUWKH08('&$SDUDPHWHUVFKDQJH


 $Q+(67$VKDOOXSGDWHWKHGRW('&$7DEOHDQGGRW08('&$7DEOHWKDWFRUUHVSRQGWRILHOGVLQDQ 
 ('&$3DUDPHWHU6HWHOHPHQWRUDQ08('&$3DUDPHWHU6HWHOHPHQWZLWKLQDQLQWHUYDORIWLPHHTXDOWR 
 RQHEHDFRQLQWHUYDODIWHUUHFHLYLQJDQXSGDWHG('&$RU08('&$SDUDPHWHUVHW:KHQXSGDWLQJLWV0,% 

 DWWULEXWHVDQ+(67$VWRUHVWKHYDOXHRIWKH('&$3DUDPHWHU6HW8SGDWH&RXQWVXEILHOGLQWKH4R6,QIR

 ILHOGRIWKHUHFHLYHG('&$3DUDPHWHU6HWHOHPHQWRU08('&$3DUDPHWHU6HWHOHPHQW


$Q+(67$VKDOOFKHFNWKH('&$3DUDPHWHU6HW8SGDWH&RXQWVXEILHOGYDOXHLQWKH4R6,QIRILHOGRIWKH

 4R6&DSDELOLW\HOHPHQWLQWKHPRVWUHFHQWO\UHFHLYHG%HDFRQIUDPHDJDLQVWWKHVWRUHGYDOXHWRGHWHUPLQHLI
 WKH+( 67$LVXVLQJ WKHFXUUHQW ('&$DQG08 ('&$SDUDPHWHUV ,I WKH('&$3DUDPHWHU6HW8SGDWH

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 &RXQWVXEILHOGYDOXHLVGLIIHUHQWIURPWKHVWRUHGYDOXHWKHQWKH+(67$VKDOOVHQGD3UREH5HTXHVWIUDPH
 WRWKH$3WRVROLFLWDQXSGDWH

 127(²,IWKH 4R6 &DSDELOLW\ HOHPHQW LVSUHVHQW LQ D %HDFRQ IUDPHWKH ('&$3DUDPHWHU6HWHOHPHQWDQG WKH 08

 ('&$3DUDPHWHU6HWHOHPHQWDUHQRWSUHVHQW,QWKLVFDVHWKHRQO\ZD\IRUDQ+(67$WRREWDLQWKHXSGDWHGSDUDPHWHUV
 LVWRVHQGD3UREH5HTXHVWIUDPHWRWKH$3

 $QRQ$3+(67$WKDWUHFHLYHVD%DVLF7ULJJHUIUDPHWKDWFRQWDLQVD8VHU,QIRILHOGDGGUHVVHGWRWKH67$ 

 VKDOO XSGDWH LWV &:PLQ>$&@ &:PD[>$&@ $,)61>$&@ DQG 08('&$7LPHU>$&@ VWDWH YDULDEOHV WR WKH
 YDOXHVFRQWDLQHGLQWKHPRVWUHFHQWO\UHFHLYHG08('&$3DUDPHWHU6HWHOHPHQWVHQWE\WKH$3ZLWKZKLFK 
 WKH67$LVDVVRFLDWHGIRUDOOWKH$&VIURPZKLFKDWOHDVWRQH4R6'DWDIUDPHZDVWUDQVPLWWHGVXFFHVVIXOO\ 
 LQDQ+(7%33'8LQUHVSRQVHWRWKH7ULJJHUIUDPH$4R6'DWDIUDPHLVWUDQVPLWWHGVXFFHVVIXOO\E\WKH
 67$ LQ DQ +( 7% 33'8 IRU DQ $& LI LW UHTXLUHV LPPHGLDWH DFNQRZOHGJPHQW DQG WKH 67$ UHFHLYHV DQ


 LPPHGLDWHDFNQRZOHGJPHQWIRUWKDWIUDPHRULIWKH4R6'DWDIUDPHGRHVQRWUHTXLUHLPPHGLDWHDFNQRZO
 HGJPHQW

 7KH08('&$7LPHU>$&@VWDWHYDULDEOHLVXSGDWHGZLWKWKHYDOXHFRQWDLQHGLQWKH08('&$7LPHUVXE


ILHOG RI WKH 08 ('&$ 3DUDPHWHU 6HW HOHPHQW 7KH EDFNRII FRXQWHU PDLQWHQDQFH FRUUHVSRQGLQJ WR WKH
 XSGDWHG VWDWH YDULDEOHV VKDOO IROORZ WKH UXOHV LQ  ('&$ EDFNRII SURFHGXUH  H[FHSW WKDW LI
 $,)61>$&@ LV  WKHQ WKH ('&$) FRUUHVSRQGLQJ WR WKDW $& VKDOO EH VXVSHQGHG XQWLO WKH 08('&$
 7LPHU>$&@UHDFKHVRULVUHVHWWR7KHXSGDWHG08('&$7LPHU>$&@VKDOOVWDUWDWWKHHQGRIWKHLPPHGL
 DWHUHVSRQVHLIWKHWUDQVPLWWHG+(7%33'8FRQWDLQVDWOHDVWRQH4R6'DWDIUDPHIRUWKDW$&WKDWUHTXLUHV


LPPHGLDWHDFNQRZOHGJPHQWDQGVKDOOVWDUWDWWKHHQGRIWKH+(7%33'8LIWKHWUDQVPLWWHG+(7%33'8 
 GRHVQRWFRQWDLQDQ\4R6'DWDIUDPHVIRUWKDW$&WKDWUHTXLUHLPPHGLDWHDFNQRZOHGJPHQW

 ,QDQRQ$3+(67$HDFK08('&$7LPHU>$&@VKDOOXQLIRUPO\FRXQWGRZQZLWKRXWVXVSHQVLRQWRZKHQ
 LWVYDOXHLVQRQ]HUR

 127(²$QRQ$367$WKDWVHQGVDIUDPHWRWKH$3ZLWKDQ20&RQWUROVXEILHOGFRQWDLQLQJDYDOXHRILQWKH8/ 
 08'LVDEOHVXEILHOGRUDYDOXHRILQWKH8/08'LVDEOHVXEILHOGDQGDYDOXHRILQWKH8/08'DWD'LVDEOHVXEILHOG

 GRHVQRWSDUWLFLSDWHLQ8/08RSHUDWLRQ$VVXFKLWLVH[HPSWIURPXSGDWLQJLWV('&$DFFHVVSDUDPHWHUVWRWKHYDOXHV
 FRQWDLQHGLQWKH08('&$3DUDPHWHU6HWHOHPHQWDVGHILQHGLQWKLVVXEFODXVH

 127(²$QRQ$367$GRHVQRWXSGDWHLWVVWDWHYDULDEOHVWRWKHYDOXHVFRQWDLQHGLQWKH08('&$3DUDPHWHU6HW
 HOHPHQWLIDQ\RIWKHIROORZLQJDSSO\

 ² 7KH7ULJJHUIUDPHDGGUHVVHGWRWKH67$LVQRWD%DVLF7ULJJHUIUDPH
 ² 7KH67$GRHVQRWLQFOXGH4R6'DWDIUDPHVLQWKH+(7%33'8UHVSRQVHVHQWLQUHVSRQVHWRWKH%DVLF7ULJJHU
 IUDPH
 ² 7KH67$WUDQVPLWVWKH+(7%33'8LQUHVSRQVHWRD%DVLF7ULJJHUIUDPHIROORZLQJWKHUXOHVGHILQHGLQ

 8/2)'0$EDVHGUDQGRPDFFHVV 825$

 127(²7KH7;23OLPLWVDUHQRWXSGDWHGE\WKHSURFHGXUHGHILQHGLQWKLVVXEFODXVHEXWE\WKDWLQ 7;23

 OLPLWV 

 $QRQ$367$WKDWVHQGVIUDPHVWKDWDUHQRWDGGUHVVHGWRLWVDVVRFLDWHG$3PD\XVHWKH('&$SDUDPHWHUV

YDOXHVWKDWDUHFRQWDLQHGLQWKHPRVWUHFHQWO\UHFHLYHG('&$3DUDPHWHU6HWHOHPHQWVHQWE\WKH$3ZLWK 

 ZKLFKWKH67$LVDVVRFLDWHGRUWRWKHGHIDXOW('&$SDUDPHWHUYDOXHV VHH7DEOH 'HIDXOW('&$ 
 3DUDPHWHU 6HW HOHPHQW SDUDPHWHU YDOXHV LI GRW2&%$FWLYDWHG LV IDOVH  IROORZLQJ WKH UXOHV LQ 
 +&)FRQWHQWLRQEDVHGFKDQQHODFFHVV ('&$ 


 ,IWKH08('&$7LPHU>$&@RIDQRQ$3+(67$UHDFKHVHLWKHUE\FRXQWLQJGRZQRUGXHWRDUHVHWIRO
 ORZLQJWKHUHFHSWLRQRIDQ08('&$&RQWUROIUDPHWKH67$VKDOOXSGDWH&:PLQ>$&@&:PD[>$&@DQG
 $,)61>$&@WRWKHYDOXHVWKDWDUHFRQWDLQHGLQWKHPRVWUHFHQWO\UHFHLYHG('&$3DUDPHWHU6HWHOHPHQWVHQW
 E\WKH$3ZLWKZKLFKWKH67$LVDVVRFLDWHG


 $QRQ$3+(67$WKDWVHQGVDIUDPHZLWKDQ20&RQWUROVXEILHOGZLWKWKH8/08'LVDEOHVXEILHOGVHWWR
 RUZLWKWKH8/08'LVDEOHVXEILHOGVHWWRDQGWKH8/08'DWD'LVDEOHVXEILHOGVHWWRDVGHILQHGLQ


 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

  7UDQVPLWRSHUDWLQJPRGH 720 LQGLFDWLRQ PD\VHWWKH08('&$7LPHU>$&@IRUDOO$&VWRRQ


 UHFHLYLQJDQLPPHGLDWHDFNQRZOHGJPHQWIURPWKH20,UHVSRQGHU7KH67$FRQWLQXHVWKHFXUUHQW('&$ 

 EDFNRIISURFHGXUHZLWKRXWPRGLI\LQJWKH465&>$&@4/5&>$&@RUWKHEDFNRIIFRXQWHUIRUWKHDVVRFLDWHG 
 ('&$)UHJDUGOHVV RIZKHWKHU WKH08('&$7LPHU>$&@ KDV UHDFKHG ]HUR XQWLO WKH 67$LQYRNHV D QHZ

 ('&$EDFNRIISURFHGXUH7KH67$IROORZVWKHUXOHVGHILQHGLQ ('&$EDFNRIISURFHGXUH IRU
 XSGDWLQJ&:PLQ&:PD[DQG$,)61IRUWKDW$&


 $QRQ$3+(67$WKDWUHFHLYHVDQLQGLYLGXDOO\DGGUHVVHG08('&$&RQWUROIUDPHIURPLWVDVVRFLDWHG$3


 PD\UHVHWWKH08('&$7LPHU>$&@WRIRUDQ$&LIWKHELWFRUUHVSRQGLQJWRWKDW$&LQWKH$IIHFWHG$&V
 VXEILHOGLVHTXDOWRZKHQWKH08('&$7LPHU>$&@RIWKH67$LVQRWHTXDOWR7KH67$PD\LQYRNHD
 QHZ('&$EDFNRIISURFHGXUHDIWHUWKH08('&$7LPHU>$&@LVUHVHWIRUWKDW$&DQGDIWHU&:PLQ>$&@
 &:PD[>$&@DQG$,)61>$&@DUHXSGDWHGIRUWKDW$&DVSHUWKLVVXEFODXVHLQUHVSRQVHWRWKH08('&$

 7LPHU>$&@UHVHW


 0XOWLSOHIUDPHWUDQVPLVVLRQLQDQ('&$7;23LQWKH*+]EDQG


 $ 67$ WKDW RSHUDWHV LQ WKH  *+] EDQG DQG WUDQVPLWV PXOWLSOH IUDPHV VKDOO IROORZ WKH UXOHV GHILQHG LQ
  6KDULQJDQ('&$7;23 ZLWKWKHH[FHSWLRQVOLVWHGEHORZ

 127(²,QWKH*+]EDQGWKH7;23ILHOGLQWKH+(6,*$ILHOGFDQEHXQGHUVWRRGE\DOO67$V7KH7;23ILHOGSUR
 YLGHV7;23SURWHFWLRQHTXLYDOHQWWRQRQ+7GXSOLFDWH576&76


 ,QD7;23ZLWKRXWQRQ+7GXSOLFDWH33'8VLIWKH7;23LVSURWHFWHGE\WKH7;23ILHOGLQWKH+(6,*$ 
 ILHOGRIWKHILUVW+(33'8LQWKH7;23LHWKH7;23ILHOGLVQRWVHWWR8163(&,),('WKH7;23KROGHU

 VKDOOVHWWKH7;9(&725SDUDPHWHU&+B%$1':,'7+RIWKHVXEVHTXHQW33'8VLQWKH7;23WRLQGLFDWH
 DEDQGZLGWKWKDWLVWKHVDPHRUQDUURZHUWKDQWKHEDQGZLGWKLQGLFDWHGE\WKH&+B%$1':,'7+SDUDPHWHU
 RIWKHILUVW+(33'8LQWKH7;23


127(²)UDPHH[FKDQJHVLQD7;23WKDWLVSURWHFWHGE\576&76IROORZWKHUXOHVLQ 0XOWLSOHIUDPHWUDQV

PLVVLRQLQDQ('&$7;23 


 $GGLWLRQDOO\LIWKHILUVW+(33'8ZKRVH7;23ILHOGLQ+(6,*$LVQRWVHWWR8163(&,),('LVD'/+( 

 0833'8ZLWKSUHDPEOHSXQFWXUHWKHQWKH7;23KROGHUVKDOOXVHWKH0+]FKDQQHOVIRUWKHQRQLQLWLDO
 33'8WKDWDUHZLWKLQWKHVHWRI0+]FKDQQHOV ZKHUH SUH+(PRGXODWHG ILHOGVRIWKH ILUVW+(33'8

 ZKRVH7;23ILHOGLQ+(6,*$LVQRWVHWWR8163(&,),('DUHORFDWHG


 :LWKLQ DQ REWDLQHG 7;23 WKDW GRHV QRW LQFOXGH +( 33'8V ZKRVH 7;23 ILHOG LQ +(6,*$ LV QRW
 8163(&,),(' QRU QRQ+7 GXSOLFDWH 33'8V WKH 7;23 KROGHU VKDOO VHW WKH 7;9(&725 SDUDPHWHU

 &+B%$1':,'7+ RI D QRQLQLWLDO 33'8 WR EH WKH HTXDO WR RU OHVV WKDQ WKH 7;9(&725 SDUDPHWHU
 &+B%$1':,'7+RIWKHSUHFHGLQJ33'8WKDWZDVWUDQVPLWWHGLQWKHVDPH7;23VXEMHFWWRWKHIROORZLQJ 
 FRQVWUDLQWV

 ² ,IWKHSUHFHGLQJ33'8LVD'/+(0833'8ZLWKSUHDPEOHSXQFWXUHWKH7;23KROGHUVKDOOVHW


WKH 7;9(&725 SDUDPHWHU &+B%$1':,'7+ RI WKH QRQLQLWLDO 33'8 WR D YDOXH ZKRVH FRUUH
 VSRQGLQJ0+]FKDQQHOVDUHZLWKLQDVHWRI0+]FKDQQHOVZKHUHSUH+(PRGXODWHGILHOGVRI
 WKHSUHFHGLQJ33'8DUHORFDWHG

 ² ,IWKHQRQLQLWLDO33'8LVD'/+(0833'8ZLWKSUHDPEOHSXQFWXUHWKH7;23KROGHUVKDOOVHW
 WKH 7;9(&725 SDUDPHWHU 58B$//2&$7,21 RI WKHQRQLQLWLDO 33'8 WR D YDOXH ZKRVHFRUUH

 VSRQGLQJ58LVZLWKLQDVHWRI0+]FKDQQHOVZKHUHSUH+(PRGXODWHGILHOGVRIWKHSUHFHGLQJ
 33'8DUHORFDWHG

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 )UDJPHQWDWLRQDQGGHIUDJPHQWDWLRQ


 *HQHUDO

 $Q+(67$VKDOOIROORZWKHIUDJPHQWDWLRQSURFHGXUHVGHILQHGLQ )UDJPHQWDWLRQGHIUDJPHQWDWLRQ

 RYHUYLHZ   06'8 $06'8 DQG 003'8 IUDJPHQWDWLRQ  DQG  06'8 $06'8 DQG
 003'8 GHIUDJPHQWDWLRQ  H[FHSW WKDW VRPH RI WKH UXOHV DUH UHOD[HG DV GHILQHG LQ WKH VXEFODXVHV EHORZ
 '\QDPLFIUDJPHQWDWLRQSURYLGHVIXUWKHUIOH[LELOLW\LQDJJUHJDWLQJGDWDWRILWLQDFRQVWUDLQHG33'8GXUDWLRQ 
 VHH 08RSHUDWLRQ 


 6XEFODXVHV )UDJPHQWDWLRQGHIUDJPHQWDWLRQRYHUYLHZ DQG 06'8$06'8DQG003'8 
 IUDJPHQWDWLRQ GHILQHWKHSURFHGXUHWRJHQHUDWHXQLIRUPO\IUDJPHQWHG06'8RU003'8ZKHUHWKHOHQJWK
 RIHDFKIUDJPHQWLVWKHVDPHH[FHSWIRUWKHODVWIUDJPHQW7KHVHIUDJPHQWVDUHQRWLQFOXGHGLQDQ$03'8


XQGHU+7LPPHGLDWHEORFNDFNDJUHHPHQWV


 $Q+(67$FDQQHJRWLDWHWKHXVHRIGLIIHUHQWOHYHOVRIG\QDPLFIUDJPHQWDWLRQ

 ² /HYHO  VXSSRUW IRU RQH G\QDPLF IUDJPHQW WKDW LV D QRQ$03'8 QR VXSSRUW IRU G\QDPLF IUDJ
 PHQWVLQDQ$03'8WKDWLVGRHVQRWFRQWDLQDQ603'8

 ² /HYHOVXSSRUWIRUXSWRRQHG\QDPLFIUDJPHQWIRUHDFK06'8HDFK$06'8 LIVXSSRUWHGE\
 WKHUHFLSLHQW DQGRQH003'8 VHH 0XOWL7,'$03'8DQG DFNHQDEOHGVLQJOH7,'$
 03'8 LQDQ$03'8WKDWGRHVQRWFRQWDLQDQ603'8ZKHUHWKH$03'8FRQWDLQVDWOHDVW
 RQHG\QDPLFIUDJPHQWDQGLVVHQWXQGHUDQ+7LPPHGLDWHEORFNDFNDJUHHPHQW

 ² /HYHOVXSSRUWIRUXSWRG\QDPLFIUDJPHQWVIRUHDFK06'8DQGHDFK$06'8 LIVXSSRUWHGE\
 WKHUHFLSLHQW LQDQ$03'8DQGXSWRRQHG\QDPLFIUDJPHQWIRURQH003'8 VHH 0XOWL


7,'$03'8DQGDFNHQDEOHGVLQJOH7,'$03'8 LQDQ$03'8WKDWGRHVQRWFRQWDLQDQ6
 03'8ZKHUHWKH$03'8FRQWDLQVDWOHDVWRQHG\QDPLFIUDJPHQWDQGLVVHQWXQGHUDQ+7LPPH
 GLDWHEORFNDFNDJUHHPHQWWKDWKDVHQDEOHGG\QDPLFOHYHOIUDJPHQWDWLRQ

 127(²$Q+(67$WKDWLVRSHUDWLQJLQ/HYHORU/HYHOFDQVWLOOWUDQVPLWDQGUHFHLYHWKHG\QDPLFIUDJPHQWVXQGHU
 /HYHO

 7KLV VXEFODXVH GHILQHV WKH SURFHGXUH IRU JHQHUDWLQJ QRQXQLIRUPO\ IUDJPHQWHG 06'8V $06'8V RU

 003'8VZKHUHWKHOHQJWKRIHDFKIUDJPHQWLVQRWQHFHVVDULO\WKHVDPH7KHOHQJWKRIWKHILUVWIUDJPHQW
 VKDOOEHJUHDWHUWKDQRUHTXDOWRWKHPLQLPXPIUDJPHQWVL]HLQGLFDWHGLQWKH0LQLPXP)UDJPHQW6L]HVXE
 ILHOGRIWKH+(&DSDELOLWLHV,QIRUPDWLRQILHOGLQWKH+(&DSDELOLWLHVHOHPHQWVHQWE\WKHUHFLSLHQW67$,I
 WKHOHQJWKRIWKH06'8$06'8RU003'8LVOHVVWKDQWKHPLQLPXPIUDJPHQWVL]HWKHQWKH06'8$
 06'8 RU 003'8 VKDOO QRW EH IUDJPHQWHG 7KH IUDJPHQWV JHQHUDWHG ZLWK G\QDPLF IUDJPHQWDWLRQ DUH

 UHIHUUHGWRDVG\QDPLFIUDJPHQWV

 7KHVHSURFHGXUHVDOORZWKHLQFOXVLRQRIRQHG\QDPLFIUDJPHQWWKDWLVDQRQ$03'8LQOHYHOOHYHODQG

 OHYHODQGDOORZWKHLQFOXVLRQRIRQHRUPRUHG\QDPLFIUDJPHQWVZLWKLQDQ$03'8WKDWFRQWDLQVRQHRU

 PRUH03'8VLQOHYHODQGOHYHO

 $Q+(67$IROORZVWKHUXOHVGHILQHGLQ '\QDPLFIUDJPHQWDWLRQ IRUJHQHUDWLQJWKHVHIUDJPHQWVDQG 

WKH UXOHV GHILQHG LQ  '\QDPLF GHIUDJPHQWDWLRQ  IRU GHIUDJPHQWLQJ RI WKH UHFHLYHG G\QDPLF IUDJ

 PHQWV,QWKHVXEFODXVHV '\QDPLFIUDJPHQWDWLRQ DQG '\QDPLFGHIUDJPHQWDWLRQ WKH+( 
 67$IROORZVWKHIUDJPHQWDWLRQOHYHOWKDWLVLQGLFDWHGLQWKH'\QDPLF)UDJPHQWDWLRQ6XSSRUWVXEILHOGLQWKH
 +( 0$& &DSDELOLWLHV ,QIRUPDWLRQ ILHOG RI WKH +( &DSDELOLWLHV HOHPHQW LW WUDQVPLWV XQOHVV DQ $''%$ 
 ([WHQVLRQHOHPHQWLVLQFOXGHGLQWKH$''%$5HTXHVWDQG$''%$5HVSRQVHIUDPHVH[FKDQJHGGXULQJWKH

EORFNDFNVHWXSSURFHGXUHLQZKLFKFDVHWKH+(67$IROORZVWKHIUDJPHQWDWLRQOHYHOWKDWLVLQGLFDWHGLQDQ 

 $''%$([WHQVLRQHOHPHQWLQWKH$''%$5HVSRQVHIUDPHLWUHFHLYHV VHHWKHVXEFODXVH *HQ
 HUDO GXULQJWKHEORFNDFNVHWXSSURFHGXUH

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $Q+(67$VKDOOVHWWKH+()UDJPHQWDWLRQ2SHUDWLRQVXEILHOGLQWKH$''%$([WHQVLRQHOHPHQWLISUHV
 HQWLQWKH$''%$5HTXHVWRU$''%$5HVSRQVHIUDPHWRDYDOXHWKDWLVOHVVWKDQRUHTXDOWRWKHYDOXHRI

WKH'\QDPLF)UDJPHQWDWLRQ6XSSRUWVXEILHOGLQWKH+(&DSDELOLWLHVHOHPHQWLWWUDQVPLWV


 $Q+(67$VKDOOVHWWKH+()UDJPHQWDWLRQ2SHUDWLRQVXEILHOGLQWKH$''%$([WHQVLRQHOHPHQWLISUHV
 HQWLQWKH$''%$5HVSRQVHIUDPHWRDYDOXHWKDWLVOHVVWKDQRUHTXDOWRWKHYDOXHRI+()UDJPHQWDWLRQ

 2SHUDWLRQVXEILHOGLQWKH$''%$([WHQVLRQHOHPHQWLISUHVHQWLQWKHUHFHLYHG$''%$5HTXHVWIUDPH


 '\QDPLFIUDJPHQWDWLRQ

 *HQHUDO


 :LWKOHYHODQGOHYHOG\QDPLFIUDJPHQWDWLRQWKHIROORZLQJDSSO\
 ² $QRULJLQDWRU67$WUDQVPLWWLQJRQHRUPRUHG\QDPLFIUDJPHQWVVKDOOVROLFLWDQLPPHGLDWHUHVSRQVH

 IURPWKHUHFLSLHQW67$IRUHDFKRIWKHIUDJPHQWV
 ² 7KHRULJLQDWRU67$VKDOOWUDQVPLWWKHIUDJPHQWVLQRUGHUDVGHILQHGLQ 06'8$06'8DQG
 003'8IUDJPHQWDWLRQ 


 :LWKOHYHOG\QDPLFIUDJPHQWDWLRQQRWDOOG\QDPLFIUDJPHQWVUHTXLUHDQLPPHGLDWHUHVSRQVHDQGG\QDPLF
 IUDJPHQWVDUHQRWUHTXLUHGWREHVHQWLQRUGHU


$Q+(67$PD\WUDQVPLWG\QDPLFIUDJPHQWVRIDQ$06'8SURYLGHGWKH$06'8)UDJPHQWDWLRQ6XS

 SRUWVXEILHOGRIWKH+(&DSDELOLWLHVHOHPHQWWUDQVPLWWHGE\WKHUHFLSLHQWLV

 7KH RULJLQDWRU 67$ VKDOO QRW WUDQVPLW FRQFXUUHQWO\ WKH G\QDPLF IUDJPHQWV RI D QXPEHU RI RXWVWDQGLQJ
 03'8VDQG$06'8V LIVXSSRUWHG WRWKHVDPHUHFLSLHQW67$WKDWLVJUHDWHUWKDQNmaxZKHUHNmaxIRU

 06'8VDQG$06'8V LIVXSSRUWHG LVFDOFXODWHGEDVHGRQWKH0D[LPXP1XPEHURI)UDJPHQWV([SRQHQW
 VXEILHOGRIWKH+(&DSDELOLWLHVHOHPHQWWUDQVPLWWHGE\WKHUHFLSLHQW67$7KHWHUPoutstandingUHIHUVWRDQ 
 03'8FRQWDLQLQJDOORUSDUWRIDQ06'8RU$06'8IRUZKLFKWUDQVPLVVLRQKDVEHHQVWDUWHGDQGIRU
 ZKLFKGHOLYHU\RIWKH06'8RU$06'8KDVQRW\HWEHHQFRPSOHWHG LHDQDFNQRZOHGJPHQWRIWKHILQDO
 IUDJPHQWKDVQRWEHHQUHFHLYHGDQGWKH06'8$06'8RU003'8KDVQRWEHHQGLVFDUGHGGXHWRUHWULHV

 OLIHWLPHRUIRUVRPHRWKHUUHDVRQ 

 $QRULJLQDWRU67$PD\UHWUDQVPLWWKHIXOO06'8$06'8RU003'8LIDOOWKHSUHYLRXVO\WUDQVPLWWHG 
 G\QDPLFIUDJPHQWVRIWKDW06'8$06'8RU003'8KDYHH[SOLFLWO\IDLOHGDWWKHUHFHLYLQJ67$$Q

RULJLQDWRU67$PD\UHWUDQVPLWDIDLOHGIUDJPHQWLIRQHRUPRUHRIWKHSUHYLRXVO\WUDQVPLWWHGIUDJPHQWVRI

 WKDW06'8$06'8RU003'8KDYHH[SOLFLWO\IDLOHGDWWKHUHFHLYLQJ67$ VHHEHORZIRUDGHILQLWLRQRI
 WKLVWHUP 7KHIUDPHERG\OHQJWKDQGFRQWHQWVRIWKHUHWUDQVPLWWHGIUDJPHQWVKDOOEHWKHVDPHDVWKHLQL
 WLDOO\WUDQVPLWWHGIUDJPHQWDQGVKDOOUHPDLQIL[HGIRUWKHOLIHWLPHRIWKH06'8$06'8RU003'8DW
 WKDW67$H[FHSWZKHQDOOWKHIUDJPHQWVSUHFHGLQJWKHLQLWLDOWUDQVPLWWHGIUDJPHQWZHUHUHFHLYHGDQGDOOWKH

IUDJPHQWVIROORZLQJWKHLQLWLDOWUDQVPLWWHGIUDJPHQWKDYHHLWKHUH[SOLFLWO\IDLOHGRUKDYHQRWEHHQWUDQVPLW

 WHGLQZKLFKFDVHWKHIUDPHERG\OHQJWKDQGFRQWHQWVRIWKHUHWUDQVPLWWHGIUDJPHQWPD\EHGLIIHUHQWIURP 
 WKHLQLWLDOO\WUDQVPLWWHGIUDJPHQW

 $IUDJPHQWKDVH[SOLFLWO\IDLOHGDWWKHUHFHLYLQJ67$LIWKHRULJLQDWRU67$UHFHLYHVDQLPPHGLDWHUHVSRQVH


WKDWFRQWDLQV
 ² $YDOLGILUVW03'8WKDWLVQRWDQ$FNIUDPH&RPSUHVVHG%ORFN$FNIUDPHRU0XOWL67$%ORFN$FN

 IUDPHRIZKLFKDOOWKHSUHFHGLQJSUH(2)03'8GHOLPLWHUVDUHUHFHLYHG

 ² $0XOWL67$%ORFN$FNIUDPHWKDWGRHVQRWFRQWDLQD%$,QIRUPDWLRQILHOGZLWK7,'HTXDOWRWKDWRI
 WKHIUDJPHQW

 ² $&RPSUHVVHG%ORFN$FNIUDPHRU0XOWL67$%ORFN$FNIUDPHWKDWFRQWDLQVD%$,QIRUPDWLRQILHOG
 ZLWK7,'HTXDOWRWKDWRIWKHIUDJPHQWEXWGRHVQRWDFNQRZOHGJHUHFHLSWRIWKHIUDJPHQW

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $QRULJLQDWRU67$VKDOOQRWWUDQVPLWWRDUHFLSLHQW67$DQ03'8WKDWLVQRWFDUULHGLQDQ$03'8RUDQ 
 $03'8 WKDW FDUULHV G\QDPLF IUDJPHQWV WKDW GR QRW VDWLVI\ WKH FRQGLWLRQV LQ  /HYHO  G\QDPLF

IUDJPHQWDWLRQ  /HYHOG\QDPLFIUDJPHQWDWLRQ DQG /HYHOG\QDPLFIUDJPHQWDWLRQ 


 /HYHOG\QDPLFIUDJPHQWDWLRQ


 $QRULJLQDWRU67$PD\WUDQVPLWRQHG\QDPLFIUDJPHQWRIDQ06'8$06'8 LIVXSSRUWHGE\WKHUHFLSL
 HQW RU003'8WKDWLVDQRQ$03'8DQGWKDWLVQRWVHQWXQGHUDEORFNDFNDJUHHPHQWWRDUHFLSLHQW67$ 
 XVLQJOHYHOG\QDPLFIUDJPHQWDWLRQLIWKH'\QDPLF)UDJPHQWDWLRQ6XSSRUWVXEILHOGLQWKH+(0$&&DSD
 ELOLWLHV,QIRUPDWLRQILHOGRIWKH+(&DSDELOLWLHVHOHPHQWUHFHLYHGIURPWKHUHFLSLHQW67$LVRU


 $QRULJLQDWRU67$PD\WUDQVPLWDIUDJPHQWHG06'8RU$06'8 LIVXSSRUWHGE\WKHUHFLSLHQW XQGHUD
 EORFNDFNDJUHHPHQWWRDUHFLSLHQW67$XVLQJOHYHOG\QDPLFIUDJPHQWDWLRQSURYLGHGWKHIROORZLQJFRQGL
 WLRQLVPHWWKH'\QDPLF)UDJPHQWDWLRQ6XSSRUWVXEILHOGLQWKH+(&DSDELOLWLHVHOHPHQWUHFHLYHGIURPWKH

 UHFLSLHQW67$LV RUDQGIRU WKH EORFNDFNDJUHHPHQWDVVRFLDWHGZLWKWKH7,'RIWKH06'8RU$
 06'8WKH+()UDJPHQWDWLRQ2SHUDWLRQVXEILHOGLVLIWKH$''%$([WHQVLRQHOHPHQWLVSUHVHQWLQWKH
 $''%$5HVSRQVHIUDPHUHFHLYHGIURPWKHUHFLSLHQW67$


 /HYHOG\QDPLFIUDJPHQWDWLRQ

 $QRULJLQDWRU67$PD\WUDQVPLWIUDJPHQWHG06'8VRU$06'8 LIVXSSRUWHGE\WKHUHFLSLHQW XQGHUD


EORFNDFNDJUHHPHQWWRDUHFLSLHQW67$XVLQJOHYHOG\QDPLFIUDJPHQWDWLRQSURYLGHGRQHRIWKHIROORZLQJ
 FRQGLWLRQVLVPHW

² 7KH '\QDPLF )UDJPHQWDWLRQ 6XSSRUW VXEILHOG LQ WKH +( &DSDELOLWLHV HOHPHQW UHFHLYHG IURP WKH

 UHFLSLHQW67$LVDQGIRUWKHEORFNDFNDJUHHPHQWDVVRFLDWHGZLWKWKH7,'RIWKH06'8RU$
 06'8WKH+()UDJPHQWDWLRQ2SHUDWLRQVXEILHOGLVLIWKH$''%$([WHQVLRQHOHPHQWLVSUHVHQW
 LQWKH$''%$5HVSRQVHIUDPHUHFHLYHGIURPWKHUHFLSLHQW67$

 ² 7KH '\QDPLF )UDJPHQWDWLRQ 6XSSRUW VXEILHOG LQ WKH +( &DSDELOLWLHV HOHPHQW UHFHLYHG IURP WKH
 UHFLSLHQW67$LVDQGIRUWKHEORFNDFNDJUHHPHQWDVVRFLDWHGZLWKWKH7,'RIWKH06'8RU$
 06'8WKH$''%$([WHQVLRQHOHPHQWLVSUHVHQWDQGWKH+()UDJPHQWDWLRQ2SHUDWLRQVXEILHOGLV
 LQWKH$''%$5HVSRQVHIUDPHUHFHLYHGIURPWKHUHFLSLHQW67$


 $QRULJLQDWRU67$PD\WUDQVPLWWRDUHFLSLHQW67$WKHIROORZLQJ

 ² 2QHG\QDPLFIUDJPHQWRIDQ06'8$06'8 LIVXSSRUWHGE\WKHUHFLSLHQW RU003'8WKDWLVD
 QRQ$03'8XVLQJOHYHOG\QDPLFIUDJPHQWDWLRQ

 ² 8S WR RQH G\QDPLF IUDJPHQW RI DQ 06'8 RU $06'8 LI VXSSRUWHG E\ WKH UHFLSLHQW  IRU HDFK

 06'8RU$06'8DQGXSWRRQHG\QDPLFIUDJPHQWRIDQ003'8LQDQ$03'8IRUPDWZKHUH
 WKH$03'8FRQWDLQVDWOHDVWRQHG\QDPLFIUDJPHQWXVLQJOHYHOG\QDPLFIUDJPHQWDWLRQXQGHUD
 EORFNDFNDJUHHPHQW

 127(²7KHRULJLQDWRU67$IROORZVWKHUXOHVLQ 7UDQVSRUWRI603'8V IRUJHQHUDWLQJWKH603'8WKHUXOHV
 LQ 2ULJLQDWRU¶VEHKDYLRU IRUJHQHUDWLQJWKH$03'8DQGWKHUXOHVLQ 0XOWL7,'$03'8DQGDFN
 HQDEOHGVLQJOH7,'$03'8 IRUJHQHUDWLQJDPXOWL7,'$03'8WKDWFDQFRQWDLQWKHIUDJPHQWRIWKH003'8


 /HYHOG\QDPLFIUDJPHQWDWLRQ



$QRULJLQDWRU67$PD\WUDQVPLWIUDJPHQWHG06'8VRU$06'8 LIVXSSRUWHGE\WKHUHFLSLHQW XQGHUD
 EORFNDFNDJUHHPHQWRUIUDJPHQWHG003'8WRDUHFLSLHQW67$XVLQJOHYHOG\QDPLFIUDJPHQWDWLRQSUR
 YLGHGWKHIROORZLQJFRQGLWLRQVDUHPHW

 ² 7KH '\QDPLF )UDJPHQWDWLRQ 6XSSRUW VXEILHOG LQ WKH +( &DSDELOLWLHV HOHPHQW UHFHLYHG IURP WKH
 UHFLSLHQW67$LV

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ² )RUWKHEORFNDFNDJUHHPHQWDVVRFLDWHGZLWKWKH7,'RIWKH06'8RU$06'8WKH+()UDJPHQWD
 WLRQ2SHUDWLRQVXEILHOGLVLIWKH$''%$([WHQVLRQHOHPHQWLVSUHVHQWLQWKH$''%$5HVSRQVH

IUDPHUHFHLYHGIURPWKHUHFLSLHQW67$


 /HYHOIUDJPHQWDWLRQDOORZVPXOWLSOHIUDJPHQWVRIDQ06'8RU$06'8LQFOXGHGLQWKHVDPH$03'8
 UHGXFLQJWKHIUDJPHQWV¶WUDQVPLVVLRQGHOD\


$QRULJLQDWRU67$PD\WUDQVPLWWRDUHFLSLHQW67$WKHIROORZLQJ

 ² 2QHG\QDPLFIUDJPHQWRIDQ06'8$06'8 LIVXSSRUWHGE\WKHUHFLSLHQW RU003'8WKDWLVD
 QRQ$03'8XVLQJOHYHOG\QDPLFIUDJPHQWDWLRQ

 ‡ 7KHRULJLQDWRU67$VKDOOIROORZWKHUXOHVGHILQHGLQ 7UDQVSRUWRI603'8V IRUJHQHU
 DWLQJWKH603'8
 ² 8S WR IRXU G\QDPLF IUDJPHQWV RI DQ 06'8 RU $06'8 LI VXSSRUWHG E\ WKH UHFLSLHQW  IRU HDFK


 06'8RU$06'8DQGXSWRRQHG\QDPLFIUDJPHQWRIDQ003'8LQDQ$03'8ZKHUHWKH$
 03'8FRQWDLQVDWOHDVWRQHG\QDPLFIUDJPHQWXVLQJOHYHOG\QDPLFIUDJPHQWDWLRQXQGHUEORFNDFN 
 DJUHHPHQW


‡ 7KHRULJLQDWRU67$VKDOOVHWWKH)UDJPHQW1XPEHUVXEILHOGRIHDFK03'8WRDYDOXHOHVVWKDQ
 ‡ 7KHRULJLQDWRU67$VKDOOIROORZWKHUXOHVGHILQHGLQ 2ULJLQDWRU¶VEHKDYLRU IRUJHQHU
 DWLQJWKH$03'8ZLWKWKHH[FHSWLRQWKDWWKH$03'8VKDOOFRQWDLQ03'8VZKRVHUDQJHRI
 WKH6HTXHQFH1XPEHUVXEILHOGVGRHVQRWH[FHHGBLZKHUHBLLVWKHOHQJWKRIWKH%ORFN$FN 
 %LWPDS ILHOG RI WKH %ORFN$FN RU 0XOWL67$ %ORFN$FN IUDPH WKDW FRUUHVSRQGV WR D 7,' RI D

 WUDQVPLWWHGIUDJPHQW VHH +7LPPHGLDWHEORFNDFNH[WHQVLRQV DQG +(DFNQRZO
 HGJPHQWSURFHGXUH 

 '\QDPLFGHIUDJPHQWDWLRQ


 *HQHUDO

 $Q+(67$VKDOOVHWWKH'\QDPLF)UDJPHQWDWLRQ6XSSRUWVXEILHOGLQWKH+(0$&&DSDELOLWLHV,QIRUPDWLRQ 
 ILHOGRIWKH+(&DSDELOLWLHVHOHPHQWLWWUDQVPLWVWRLILWGRHVQRWVXSSRUWG\QDPLFIUDJPHQWV2WKHUZLVH
 WKH+(67$VKDOOVHWWKH'\QDPLF)UDJPHQWDWLRQ6XSSRUWVXEILHOGDVIROORZV

 ² 6HWWRRULIWKH67$VXSSRUWVUHFHSWLRQRIG\QDPLFIUDJPHQWVIROORZLQJWKHSURFHGXUHGHILQHG
 LQ /HYHOG\QDPLFIUDJPHQWDWLRQ

 ² 6HWWRRULIWKH67$VXSSRUWVUHFHSWLRQRIG\QDPLFIUDJPHQWVIROORZLQJWKHSURFHGXUHGHILQHGLQ

  /HYHOG\QDPLFIUDJPHQWDWLRQ
 ² 6HW WR  LI WKH 67$ VXSSRUWV UHFHSWLRQ RI G\QDPLF IUDJPHQWV IROORZLQJ WKH SURFHGXUH GHILQHG LQ



 /HYHOG\QDPLFIUDJPHQWDWLRQ

 $Q+(67$VKDOOVHWGRW+('\QDPLF)UDJPHQWDWLRQ/HYHOWRWKHYDOXHRI'\QDPLF)UDJPHQWDWLRQ6XSSRUW
 VXEILHOGRIWKH+(&DSDELOLWLHVHOHPHQWLWWUDQVPLWVLILWVXSSRUWVUHFHSWLRQRIG\QDPLFIUDJPHQWV



,IDIUDJPHQWLVVHQWXQGHUOHYHOOHYHORUOHYHOIUDJPHQWDWLRQLWEHORQJVWRG\QDPLFIUDJPHQW

 'HIUDJPHQWDWLRQ RI G\QDPLF IUDJPHQWV VKDOO IROORZ WKH UXOHV GHILQHG LQ  06'8 $06'8 DQG

 003'8GHIUDJPHQWDWLRQ ZLWKWKHIROORZLQJH[FHSWLRQV

 ² 7KHUHFLSLHQW67$VKDOOVXSSRUWWKHFRQFXUUHQWUHFHSWLRQRIG\QDPLFIUDJPHQWVRIDQXPEHURIout-
 standing06'8VDQG$06'8VZKHQVXSSRUWHGIURPWKHVDPHWUDQVPLWWLQJ67$WKDWLVHTXDOWR 
 NmaxZKHUHNmaxIRU06'8VDQG$06'8V LIVXSSRUWHG LVREWDLQHGIURPWKH0D[LPXP1XPEHU
 2I)UDJPHQWHG06'8V$06'8V([SRQHQWVXEILHOGRIWKH+(&DSDELOLWLHVHOHPHQWWUDQVPLWWHG 

E\ WKH 67$ 7KH WHUP outstanding UHIHUV WR DQ 03'8 FRQWDLQLQJ DOO RU SDUW RI DQ 06'8 RU $

 06'8IRUZKLFKWUDQVPLVVLRQKDVEHHQVWDUWHGDQGIRUZKLFKGHOLYHU\RIWKH06'8RU$06'8 
 KDVQRW\HWEHHQFRPSOHWHG LHDQDFNQRZOHGJPHQWRIWKHILQDOIUDJPHQWKDVQRWEHHQUHFHLYHGDQG 

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 WKH06'8$06'8RU003'8KDVQRWEHHQGLVFDUGHGGXHWRUHWULHVOLIHWLPHRUIRUVRPHRWKHU
 UHDVRQ 7KHUHFLSLHQW67$VKDOOVXSSRUWWKHFRQFXUUHQWUHFHSWLRQRIG\QDPLFIUDJPHQWVRIRQHRXW

VWDQGLQJ003'8IURPDWUDQVPLWWLQJ67$

 ² 7KHUHFLSLHQW67$PD\EHVXEMHFWWRWKHUHFHLYHWLPHUUXOHVIRUHDFKRIWKH06'8V$06'8VDQG
 003'8VGHILQHGLQ 'HIUDJPHQWDWLRQ 


 $67$WKDWKDVGRW$06'8)UDJPHQWDWLRQ2SWLRQ,PSOHPHQWHGWUXHVKDOOVHWWKH$06'8)UDJPHQWDWLRQ 
 6XSSRUWVXEILHOGLQWKH+(&DSDELOLW\HOHPHQWWR2WKHUZLVHWKH67$VKDOOVHWWKH$06'8)UDJPHQWD
 WLRQ6XSSRUWVXEILHOGLQWKH+(&DSDELOLW\HOHPHQWWR


 /HYHOG\QDPLFGHIUDJPHQWDWLRQ


8SRQ UHFHSWLRQ RI D QRQ$03'8 RU $03'8 WKDW FDUULHV D G\QDPLF IUDJPHQW WKH UHFLSLHQW 67$ 

 UHVSRQGVZLWKDQ$FNIUDPHRUD0XOWL67$%ORFN$FNIUDPHLIWKHUHFHLYHGIUDJPHQWLVFRQWDLQHGLQDQ 
 03'8WKDWVROLFLWVDQLPPHGLDWHUHVSRQVH7KHUHFHLYHU67$VKDOOIROORZWKHUXOHVGHILQHGLQ $FN
 SURFHGXUH IRUJHQHUDWLQJWKH$FNIUDPHIRUWKHVROLFLWLQJG\QDPLFIUDJPHQWWKDWLVDQ03'8RUFDUULHGLQ 
 DQ603'8RUDFNHQDEOHGVLQJOH7,'$03'8DQGWKHUXOHVGHILQHGLQ +(DFNQRZOHGJPHQWSURFH

GXUH IRUJHQHUDWLQJWKH0XOWL67$%ORFN$FNIUDPHWKDWFRQWDLQVWKHDFNQRZOHGJPHQWIRUWKHVROLFLWLQJ6

 03'8 WKDW FDUULHV RQH G\QDPLF IUDJPHQW DQG FDUULHG LQ DQ +( 7% 33'8 DFNHQDEOHG VLQJOH7,' $
 03'8RUDFNHQDEOHGPXOWL7,'$03'8


/HYHOG\QDPLFGHIUDJPHQWDWLRQ


 8SRQUHFHSWLRQRIDQRQ$03'8WKDWLVDG\QDPLFIUDJPHQWRU$03'8WKDWFDUULHVRQHRUPRUHG\QDPLF
 IUDJPHQWVWKHUHFLSLHQW67$UHVSRQGVZLWKRQHRIWKHIROORZLQJIUDPHV

 ² $Q$FNIUDPHRU0XOWL67$%ORFN$FNIUDPHLIWKHUHFHLYHGIUDJPHQWLVDQRQ$03'8RUFRQ
 WDLQHGLQDQ$03'8DQGVROLFLWVWKHLPPHGLDWHUHVSRQVH7KHUHFLSLHQW67$VKDOOIROORZWKHUXOHV
 GHILQHGLQ $FNSURFHGXUH IRUJHQHUDWLQJWKH$FNIUDPHIRUWKHVROLFLWLQJG\QDPLFIUDJ

 PHQWWKDWLVDQ03'8RUFDUULHGLQDQ603'8RUDFNHQDEOHGVLQJOH7,'$03'8DQGWKHUXOHV
 GHILQHGLQ +(DFNQRZOHGJPHQWSURFHGXUH IRUJHQHUDWLQJWKH0XOWL67$%ORFN$FNIUDPHWKDW
 FRQWDLQVWKHDFNQRZOHGJPHQWIRUWKHVROLFLWLQJ603'8FDUULHGLQDQ+(7%33'8DFNHQDEOHG 
 VLQJOH7,'$03'8RUDFNHQDEOHGPXOWL7,'$03'8

 ² $ &RPSUHVVHG %ORFN$FN IUDPH RU 0XOWL67$ %ORFN$FN IUDPH LI WKH UHFHLYHG IUDJPHQWV RI DQ

 06'8RU$06'8 LIDQ\ XSWRRQHIUDJPHQWIRUHDFK06'8RU$06'8DUHFRQWDLQHGLQDQ 
 $03'8WKDWFRQWDLQVDQ03'8WKDWVROLFLWVDQLPPHGLDWHUHVSRQVH7KHUHFLSLHQW67$VKDOOIRO
 ORZWKHUXOHVGHILQHGLQ *HQHUDWLRQDQGWUDQVPLVVLRQRI%ORFN$FNIUDPHVE\DQ+767$

 '0*67$RU6*67$ IRUJHQHUDWLQJWKH%ORFN$FNIUDPHDQGWKHUXOHVLQ +(DFNQRZOHGJ
 PHQWSURFHGXUH IRUJHQHUDWLQJWKH0XOWL67$%ORFN$FNIUDPHH[FHSWWKDWWKH67$VKDOO


‡ 6HWWRWKH/6%RIWKH)UDJPHQW1XPEHUVXEILHOGLQWKH%ORFN$FN6WDUWLQJ6HTXHQFH&RQWURO
 VXEILHOGRIWKH&RPSUHVVHG%ORFN$FNIUDPHRU0XOWL67$%ORFN$FNIUDPHWKDWFRUUHVSRQGVWR 
 D7,'RIDUHFHLYHGIUDJPHQWWKDWLVVHQWXQGHUDEORFNDFNDJUHHPHQW
 ‡ 6HWWRHDFKELWRIWKH%ORFN$FN%LWPDSILHOGWKDWFRUUHVSRQGVWRD6HTXHQFH1XPEHUVXEILHOG 


DQG7,'VXEILHOGRIDUHFHLYHGIUDJPHQWWKDWLVVHQWXQGHUDEORFNDFNDJUHHPHQWFRQWDLQHGLQWKH
 VROLFLWLQJ$03'8WKDWLVQRWDQ603'8
 ² 7KH67$VKDOOXSGDWHWKHFRUUHVSRQGLQJEORFNDFNQRZOHGJPHQWUHFRUGIRUDQ06'8RU$06'8 

 IRUZKLFKIUDJPHQWVDUHUHFHLYHGRQO\LIWKDW06'8RU$06'8LVVXFFHVVIXOO\UHFRQVWUXFWHG VHH
  'HIUDJPHQWDWLRQ 2WKHUZLVHWKH67$VKDOOQRWXSGDWHWKHEORFNDFNUHFRUGIRUWKDW06'8RU
 $06'8

 127(²7KHUHFLSLHQW67$VHWVWKHELWVRIWKH%ORFN$FN%LWPDSILHOGWKDWFRUUHVSRQGWRD6HTXHQFH1XPEHUDQG7,' 
 VXEILHOGRIDQ03'8WKDWLVQRWDIUDJPHQWDVGHILQHGLQ *HQHUDWLRQDQGWUDQVPLVVLRQRI%ORFN$FNIUDPHVE\
 DQ+767$'0*67$RU6*67$ 

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $UHFLSLHQW67$VKDOOGLVFDUGDQ\IUDJPHQWVRILQFRPSOHWH06'8VRU$06'8VWKDWKDYHEHHQUHFHLYHG 
 GXULQJDQ+7LPPHGLDWHEORFNDFNVHVVLRQIRUD7,'LILWUHFHLYHVD%ORFN$FN5HTIUDPHIURPWKHRULJLQDWRU

67$IRUWKDW7,'LIWKHIUDJPHQWVKDYHD6HTXHQFH1XPEHUILHOGYDOXHWKDWLVOHVVWKDQWKHYDOXHRIWKH

 6WDUWLQJ6HTXHQFH1XPEHUILHOGRIWKH%ORFN$FN5HTIUDPHRUWKDWKDYHDVHTXHQFHQXPEHUWKDWLVOHVVWKDQ
 WinStartB VHH 5HFHLYHUHRUGHULQJEXIIHUFRQWURORSHUDWLRQ 7KHFRPSDULVRQRIWKHWZRYDOXHV
 LVSHUIRUPHGFLUFXODUPRGXORDVGHVFULEHGLQ ,QWURGXFWLRQ 


 /HYHOG\QDPLFGHIUDJPHQWDWLRQ

 8SRQUHFHSWLRQRIDQRQ$03'8WKDWLVDG\QDPLFIUDJPHQWRU$03'8WKDWFDUULHVRQHRUPRUHG\QDPLF
 IUDJPHQWVWKHUHFLSLHQW67$UHVSRQGVZLWKRQHRIWKHIROORZLQJIUDPHV

 ² $Q$FNIUDPHRUD0XOWL67$%ORFN$FNIUDPHLIWKHUHFHLYHGIUDJPHQWLVDQRQ$03'8RUFRQ
 WDLQHGLQDQ$03'8WKDWVROLFLWVWKHLPPHGLDWHUHVSRQVH7KHUHFLSLHQW67$VKDOOIROORZWKHUXOHV
 GHILQHG LQ  $FNQRZOHGJPHQWSURFHGXUH  IRUJHQHUDWLQJWKH $FN IUDPHIRUWKHVROLFLWLQJ


G\QDPLFIUDJPHQWWKDWLVD03'8RUFDUULHGLQDQ603'8RUDFNHQDEOHGVLQJOH7,'$03'8 
 DQGWKHUXOHVGHILQHGLQ +(DFNQRZOHGJPHQWSURFHGXUH IRUJHQHUDWLQJWKH0XOWL67$%ORFN
 $FNIUDPHWKDWFRQWDLQVWKHDFNQRZOHGJPHQWIRUWKHVROLFLWLQJ603'8FDUULHGLQDQ+(7%33'8
 DFNHQDEOHGVLQJOH7,'$03'8RUDFNHQDEOHGPXOWL7,'$03'8

 ² $ &RPSUHVVHG %ORFN$FN IUDPH RU 0XOWL67$ %ORFN$FN IUDPH LI WKH UHFHLYHG IUDJPHQWV RI DQ
 06'8RU$06'8 LIDQ\ FRUUHVSRQGLQJWRD7,'RQHRUPRUHIUDJPHQWVIRUHDFK06'8RU$
 06'8DUHFRQWDLQHGLQDQ$03'8ZKHUHDWOHDVWRQHUHFHLYHG03'8¶V)UDJPHQW1XPEHUILHOG 
 FRUUHVSRQGLQJWRWKHVDPH7,'DVWKHUHFHLYHGIUDJPHQWVLVRIQRQ]HURYDOXHWKDWVROLFLWVWKHLPPH

 GLDWHUHVSRQVH7KHUHFLSLHQW67$VKDOOIROORZWKHUXOHVLQ *HQHUDWLRQDQGWUDQVPLVVLRQRI
 %ORFN$FNIUDPHVE\DQ+767$'0*67$RU6*67$ IRUJHQHUDWLQJWKH%ORFN$FNIUDPHDQG 
 WKHUXOHVLQ +(DFNQRZOHGJPHQWSURFHGXUH IRUJHQHUDWLQJWKH0XOWL67$%ORFN$FNIUDPH
 H[FHSWWKDWWKH67$VKDOO

 ‡ 6HWWRWKH/6%RIWKH)UDJPHQW1XPEHUVXEILHOGLQWKH%ORFN$FN6WDUWLQJ6HTXHQFH&RQWURO
 VXEILHOGRIWKH&RPSUHVVHG%ORFN$FNIUDPHRU0XOWL67$%ORFN$FNIUDPHWKDWFRUUHVSRQGVWR 
 D7,'RIDUHFHLYHGIUDJPHQWWKDWLVVHQWXQGHUDEORFNDFNDJUHHPHQW

‡ 6HWWRHDFKELWLQSRVLWLRQBRIWKH%ORFN$FN%LWPDSILHOGWKDWFRUUHVSRQGVWRDUHFHLYHGIUDJ

 PHQWWKDWLVVHQWXQGHUDEORFNDFNDJUHHPHQWDQGVKDOOVHWLWWRRWKHUZLVHZLWKBFDOFXODWHGDV
 B î(SN±SSN) + FNZKHUHWKHRSHUDWLRQVRQWKHVHTXHQFHQXPEHUVDUHSHUIRUPHGPRGXOR 
 
 SNLVWKHYDOXHRIWKH6HTXHQFH1XPEHUVXEILHOGRIDQ03'8FRQWDLQLQJWKHIUDJPHQWIRUZKLFK 

WKHUHFHLYHVWDWXVLVLQGLFDWHG

 SSNLVWKHYDOXHRIWKH6WDUWLQJ6HTXHQFH1XPEHUVXEILHOGRIWKH%ORFN$FN6WDUWLQJ6HTXHQFH
 &RQWUROVXEILHOGRIWKH%ORFN$FNIUDPH
 FNLVWKHYDOXHLQWKH)UDJPHQW1XPEHUVXEILHOG

 ² $ &RPSUHVVHG %ORFN$FN IUDPH RU 0XOWL67$ %ORFN$FN IUDPH LI WKH UHFHLYHG IUDJPHQWV RI DQ 
 06'8RU$06'8 LIDQ\ FRUUHVSRQGLQJWRD7,'RQHRUPRUHIUDJPHQWVIRUHDFK06'8RU$
 06'8DUHFRQWDLQHGLQDQ$03'8ZKHUHDOOWKHUHFHLYHG03'8V
)UDJPHQW1XPEHUILHOGVFRU
 UHVSRQGLQJWRWKHVDPH7,'DVWKHUHFHLYHGIUDJPHQWVDUHRI]HURYDOXHVWKDWVROLFLWWKHLPPHGLDWH


UHVSRQVH 7KH UHFLSLHQW 67$ VKDOO IROORZ WKH UXOHV LQ  *HQHUDWLRQ DQG WUDQVPLVVLRQ RI
 %ORFN$FNIUDPHVE\DQ+767$'0*67$RU6*67$ IRUJHQHUDWLQJWKH%ORFN$FNIUDPHDQG 
 WKHUXOHVLQ +(DFNQRZOHGJPHQWSURFHGXUH IRUJHQHUDWLQJWKH0XOWL67$%ORFN$FNIUDPH
 H[FHSWWKDWWKH67$VKDOO

 ‡ 6HWWRWKH/6%RIWKH)UDJPHQW1XPEHUVXEILHOGLQWKH%ORFN$FN6WDUWLQJ6HTXHQFH&RQWURO
 VXEILHOGRIWKH&RPSUHVVHG%ORFN$FNIUDPHRU0XOWL67$%ORFN$FNIUDPHWKDWFRUUHVSRQGVWR 
 D7,'RIDUHFHLYHGIUDJPHQWWKDWLVVHQWXQGHUDEORFNDFNDJUHHPHQW

‡ 6HWWRHDFKELWRIWKH%ORFN$FN%LWPDSILHOGWKDWFRUUHVSRQGVWRD6HTXHQFH1XPEHUVXEILHOG 

 DQG7,'VXEILHOGRIDUHFHLYHGIUDJPHQWWKDWLVVHQWXQGHUDEORFNDFNDJUHHPHQWFRQWDLQHGLQWKH
 VROLFLWLQJ$03'8WKDWLVQRWDQ603'8

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ² 7KH67$VKDOOXSGDWHWKHFRUUHVSRQGLQJEORFNDFNQRZOHGJPHQWUHFRUGIRUDQ06'8RU$06'8 
 IRUZKLFKIUDJPHQWVDUHUHFHLYHGRQO\LIWKDW06'8RU$06'8LVVXFFHVVIXOO\UHFRQVWUXFWHG VHH

 06'8$06'8DQG003'8GHIUDJPHQWDWLRQ 2WKHUZLVHWKH67$VKDOOQRWXSGDWHWKH

 EORFNDFNUHFRUGIRUWKDW06'8RU$06'8
 127(²7KHUHFLSLHQW67$VHWVWKHELWVRIWKH%ORFN$FN%LWPDSILHOGWKDWFRUUHVSRQGWRD6HTXHQFH1XPEHUDQG7,' 
 VXEILHOGRIDQ03'8WKDWLVQRWDIUDJPHQWDVGHILQHGLQ *HQHUDWLRQDQGWUDQVPLVVLRQRI%ORFN$FNIUDPHVE\
 DQ+767$'0*67$RU6*67$ 


 7KHUHFLSLHQW67$VKDOOGLVFDUGDQ\IUDJPHQWVRILQFRPSOHWH06'8VRU$06'8VWKDWKDYHEHHQUHFHLYHG 
 GXULQJDQ+7LPPHGLDWHEORFNDFNVHVVLRQIRUD7,'LILWUHFHLYHVD%ORFN$FN5HTIUDPHIURPWKHRULJLQDWRU
 67$IRUWKDW7,'DQGWKHIUDJPHQWVKDYHD6HTXHQFH1XPEHUILHOGYDOXHWKDWLVOHVVWKDQWKHYDOXHRIWKH
 6WDUWLQJ6HTXHQFH1XPEHUILHOGRIWKH%ORFN$FN5HTIUDPHRUWKDWKDYHDVHTXHQFHQXPEHUWKDWLVOHVVWKDQ


WinStartB VHH 5HFHLYHUHRUGHULQJEXIIHUFRQWURORSHUDWLRQ 7KHFRPSDULVRQRIWKHWZRYDOXHV
 LVSHUIRUPHGFLUFXODUPRGXORDVGHVFULEHGLQ ,QWURGXFWLRQ 


 +(DFNQRZOHGJPHQWSURFHGXUH

 2YHUYLHZ


 7KH+(DFNQRZOHGJPHQWSURFHGXUHEXLOGVRQWKHIHDWXUHVGHILQHGIRU+7LPPHGLDWHEORFNDFN VHH

 +7LPPHGLDWHEORFNDFNH[WHQVLRQV ZLWKWKHIROORZLQJH[WHQVLRQV
 ² 6XSSRUWIRUD0XOWL67$%ORFN$FNIUDPH

 ² 6XSSRUWIRUD08%$57ULJJHUIUDPH

² 6XSSRUWIRUD0XOWL7,'%ORFN$FN5HTIUDPH

 ² 6XSSRUWIRU%ORFN$FN%LWPDSILHOGOHQJWKVRIDQG


² $FNQRZOHGJLQJ4R6'DWDIUDPHVZLWKWZRRUPRUH7,'VXVLQJD0XOWL67$%ORFN$FNIUDPH
 ² $FNQRZOHGJLQJ4R6'DWDIUDPHVZLWKRQHRUPRUH7,'VDQGD0DQDJHPHQWIUDPHXVLQJD0XOWL
 67$%ORFN$FNIUDPH

 ² $FNQRZOHGJLQJDOO03'8VLQD33'8XVLQJDYDULDQWRIWKH0XOWL67$%ORFN$FNIUDPH
 ² $FNQRZOHGJLQJ03'8VIURPPXOWLSOHDVVRFLDWHG67$VXVLQJDVLQJOH0XOWL67$%ORFN$FNIUDPH

 ² $FNQRZOHGJLQJ 03'8V IURP PXOWLSOH XQDVVRFLDWHG 67$V ZLWK D VLQJOH 0XOWL67$ %ORFN$FN
 IUDPH

 $Q+(67$VKDOOEHDEOHWRUHVSRQGZLWK&RPSUHVVHG%ORFN$FNIUDPHVLI+7LPPHGLDWHEORFNDFNLVVXS

 SRUWHGLQWKHUROHRIUHFLSLHQW VHH ,QWURGXFWLRQ $Q+(67$VKDOOEHDEOHWRUHVSRQGZLWKD
 0XOWL67$ %ORFN$FN IUDPH LI PXOWL7,' $03'8 RSHUDWLRQ  0XOWL7,' $03'8 DQG DFN
 HQDEOHGVLQJOH7,'$03'8 LVVXSSRUWHGLQWKHUROHRIUHFLSLHQW

 $QRQ$3+(67$WKDWLVDVVRFLDWHGZLWKDQ$3DQGWKDWVHQGVD0XOWL67$%ORFN$FNIUDPHVKDOOVHWWKH

 $,'VXEILHOGLQWKH3HU$,'7,',QIRILHOGRIWKH0XOWL67$%ORFN$FNIUDPHWRDQGWKH5$ILHOGWRWKH
 0$&DGGUHVVRIWKHLQWHQGHGUHFLSLHQW$QRQ$3+(67$WKDWLVQRWDVVRFLDWHGZLWKDQ$3VKDOOQRWVHQG
 D0XOWL67$%ORFN$FNIUDPH


$Q+($3WKDWVHQGVD0XOWL67$%ORFN$FNIUDPHZKHUHWKH3HU$,'7,',QIRILHOGVDUHDGGUHVVHGWR 

 PRUH WKDQ RQH 67$ VKDOO VHW WKH 5$ ILHOG WR WKH EURDGFDVW DGGUHVV $Q +( $3 WKDW VHQGV D 0XOWL67$

 %ORFN$FNIUDPHZKHUHWKH3HU$,'7,',QIRILHOGVDUHDOODGGUHVVHGWRDVLQJOHUHFLSLHQW67$DQGWKDWLV
 VHQWLQUHVSRQVHWRDQ+(7%33'8PD\VHWWKH5$ILHOGRIWKH0XOWL67$%ORFN$FNIUDPHWRHLWKHUWKH
 DGGUHVV RI WKH UHFLSLHQW 67$ RU WR WKH EURDGFDVW DGGUHVV $Q +( $3 WKDW VHQGV D 0XOWL67$ %ORFN$FN 

IUDPHZKHUHWKH3HU$,'7,',QIRILHOGVDUHDOODGGUHVVHGWRDVLQJOHUHFLSLHQW67$DQGWKDWLVQRWVHQWLQ

 UHVSRQVHWRDQ+(7%33'8VKDOOVHWWKH5$ILHOGRIWKH0XOWL67$%ORFN$FNIUDPHWRWKHDGGUHVVRIWKH
 UHFLSLHQW67$

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $Q+($3WKDWVHQGVD0XOWL67$%ORFN$FNIUDPHWRDQDVVRFLDWHG67$VKDOOVHWWKH$,'VXEILHOGLQWKH
 3HU$,'7,',QIRILHOGRIWKH0XOWL67$%ORFN$FNIUDPHWRWKH/6%VRIWKH$,'RIWKHLQWHQGHG67$

$Q+($3WKDWVHQGVD0XOWL67$%ORFN$FNIUDPHWRDQXQDVVRFLDWHG67$VKDOOVHWWKH$,'VXEILHOGLQ

 WKH3HU$,'7,',QIRILHOGRIWKH0XOWL67$%ORFN$FNIUDPHWR

 $Q+(67$WKDWWUDQVPLWVD0XOWL67$%ORFN$FNIUDPHVKDOOXVHDUDWH+70&69+70&6166!

 WXSOHRU+(0&6166!WXSOHWKDWLVVXSSRUWHGE\DOOUHFLSLHQW67$V


 $Q+(67$WKDWUHFHLYHVD0XOWL67$%ORFN$FNIUDPHWKDWLVDUHVSRQVHWRIUDPHVUHTXLULQJDFNQRZOHGJ
 PHQWVKDOOH[DPLQH3HU$,'7,',QIRILHOGUHFHLYHGLQWKH0XOWL67$%ORFN$FNIUDPHDQGVKDOOSURFHVV
 HDFK3HU$,'7,',QIRILHOGXVLQJWKHSURFHGXUHGHILQHGLQ $FNQRZOHGJPHQWFRQWH[WLQD0XOWL
 67$%ORFN$FNIUDPH 


 $ QRQ$3 +( 67$ WKDW UHFHLYHV D 0XOWL67$ %ORFN$FN IUDPH WKDW LV D UHVSRQVH WR IUDPHV UHTXLULQJ
 DFNQRZOHGJPHQWEXWWKDWGRQRWEHORQJWRDQHVWDEOLVKHGDEORFNDFNDJUHHPHQWVKDOOH[DPLQHHDFK3HU$,' 
 7,',QIRILHOGUHFHLYHGLQWKH0XOWL67$%ORFN$FNIUDPHDVIROORZV

 ² ,IWKH$FN7\SHILHOGLVDQGWKH7,'ILHOGLVOHVVWKDQWKHQWKH3HU$,'7,',QIRILHOGLQGLFDWHV
 WKHDFNQRZOHGJPHQWRIDQ(2)03'8WKDWLVD4R6'DWDIUDPHZLWKWKHLQGLFDWHG7,'7KH%$ 
 ,QIRUPDWLRQILHOGLVDGGUHVVHGWRWKH67$LIWKH$,'RIWKH%$,QIRUPDWLRQILHOGFRQWDLQVWKH67$¶V
 $,'DQGLVSURFHVVHGDFFRUGLQJWRWKHSURFHGXUHGHILQHGLQ $FNQRZOHGJPHQWFRQWH[WLQD

0XOWL67$%ORFN$FNIUDPH 

 ² ,I WKH $FN 7\SH ILHOG LV  DQG WKH 7,' ILHOG LV  WKHQ WKH 3HU $,' 7,' ,QIR ILHOG LQGLFDWHV WKH
 DFNQRZOHGJPHQWRIDQ(2)03'8WKDWLVD0DQDJHPHQWIUDPHWKDWVROLFLWVDFNQRZOHGJPHQWRUD
 363ROOIUDPH7KH%$,QIRUPDWLRQILHOGLVDGGUHVVHGWRWKH67$LIWKH$,'RIWKH%$,QIRUPDWLRQ 

 ILHOG FRQWDLQV WKH 67$¶V $,' DQG LV SURFHVVHG DFFRUGLQJ WR WKH SURFHGXUH GHILQHG LQ  
 $FNQRZOHGJPHQWFRQWH[WLQD0XOWL67$%ORFN$FNIUDPH 
 ² ,IWKH$FN7\SHILHOGLVDQGWKH$,'ILHOGLVDQGWKH7,'ILHOGLVWKHQ3HU$,'7,',QIR


ILHOGLQGLFDWHVWKHDFNQRZOHGJPHQWRIDQ(2)03'8WKDWLVD0DQDJHPHQWIUDPHVROLFLWLQJLPPH
 GLDWHDFNQRZOHGJPHQW7KH5$ILHOGLQWKH3HU$,'7,',QIRILHOGLVWKH0$&DGGUHVVRIDQXQDVVR
 FLDWHG 67$ IRU ZKLFK WKH 3HU $,' 7,' ,QIR VXEILHOG LV LQWHQGHG 7KH %$ ,QIRUPDWLRQ ILHOG LV
 DGGUHVVHGWRWKH67$LIWKH5$ILHOGRIWKH%$,QIRUPDWLRQILHOGFRQWDLQVWKH67$¶V0$&DGGUHVV
 DQGLVSURFHVVHGDFFRUGLQJWRWKHSURFHGXUHGHILQHGLQ $FNQRZOHGJPHQWFRQWH[WLQD0XOWL


67$%ORFN$FNIUDPH 

 $Q+($3ZLWKGRW0XOWL%66,',PSOHPHQWHGHTXDOWRWUXHVKDOOQRWVHQGWRDQRQ$367$WKDWLVDVVRFL
 DWHG ZLWKD QRQWUDQVPLWWHG %66,'LQWKHPXOWLSOH%66,' VHWD 0XOWL67$ %ORFN$FNIUDPHZLWKWKH7$

 ILHOGVHWWRWKHWUDQVPLWWHG%66,'XQOHVVWKH+($3KDVUHFHLYHGIURPWKHQRQ$367$DQ+(&DSDELOLWLHV

 HOHPHQWZLWKWKH5[&RQWURO)UDPH7R0XOWL%66VXEILHOGLQ+(0$&&DSDELOLWLHV,QIRUPDWLRQILHOGHTXDO
 WR

 $Q $3 WKDW WUDQVPLWV D 0XOWL67$ %ORFN$FN IUDPH DGGUHVVHG WR +( 67$V VKDOO VHW WKH 7$ ILHOG RI WKH
 IUDPH WR WKH 0$& DGGUHVV RI WKH $3 XQOHVV GRW0XOWL%66,',PSOHPHQWHG LV WUXH DQG WKH 0XOWL67$ 

 %ORFN$FNIUDPHLVGLUHFWHGWR67$VIURPDWOHDVWWZRGLIIHUHQW%66VRIWKHPXOWLSOH%66,'VHWLQZKLFK 
 FDVHWKH$3VKDOOVHWWKH7$ILHOGRIWKHIUDPHWRWKHWUDQVPLWWHG%66,'

 127(²$Q$3VHWVWKH7$ILHOGRIWKH0XOWL67$%ORFN$FNIUDPHWKDWLVQRWFDUULHGLQ+(0833'8WRWKHWUDQVPLW
 WHG%66,'ZKHQWKH7;23LVREWDLQHGIURPWKHWUDQVPLWWHG%66,' VHH 2EWDLQLQJDQ('&$7;23 

 $Q+(67$WKDWWUDQVPLWVD0XOWL7,'%ORFN$FN5HTIUDPHLQD33'8WKDWLVQRWDQ+(7%33'8VKDOOVHW
 WKH7,'VXEILHOGVLQWKH3HU7,',QIRVXEILHOGVRIWKH%$5,QIRUPDWLRQILHOGRIWKH0XOWL7,'%ORFN$FN
 5HTIUDPHWR7,'VWKDWFRUUHVSRQGWR$&VWKDWKDYHWKHVDPHRUKLJKHUSULRULW\DVWKHSULPDU\$&$Q+(


67$WKDWWUDQVPLWVD0XOWL7,'%ORFN$FN5HTIUDPHLQDQ+(7%33'8PD\VHWWKH7,'VXEILHOGVLQWKH

 3HU7,',QIRVXEILHOGVRIWKH%$5,QIRUPDWLRQILHOGRIWKH0XOWL7,'%ORFN$FN5HTIUDPHWRD7,'WKDW
 FRUUHVSRQGVWRDQ\$&

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $Q+(67$WKDWWUDQVPLWVD%ORFN$FN5HTIUDPHLQDQ+(7%33'8PD\VHWWKH7,'VXEILHOGLQWKH$,' 
 7,',QIRILHOGLQWKH%$5,QIRUPDWLRQILHOGRIWKH%ORFN$FN5HTIUDPHWRD7,'WKDWFRUUHVSRQGVWRDQ\

$&


 $FNQRZOHGJPHQWFRQWH[WLQD0XOWL67$%ORFN$FNIUDPH

 $UHFLSLHQWRIDQ$03'8VKDOOVHWWKH$FN7\SHVXEILHOGDQG7,'VXEILHOGLQWKH3HU$,'7,',QIRILHOG


RIWKH0XOWL67$%ORFN$FNIUDPHVHQWDVDUHVSRQVHGHSHQGLQJRQWKHDFNQRZOHGJPHQWFRQWH[WDVIROORZV

 ² $Q+($3WKDWUHFHLYHVDQ$03'8WKDWLQFOXGHVRQH03'8DQGWKH03'8LVDQ(2)03'8 
 WKDW LV D 0DQDJHPHQW IUDPH WKDW VROLFLWV DQ DFNQRZOHGJPHQW SULRU WR DVVRFLDWLRQ PD\ JHQHUDWH D
 0XOWL67$%ORFN$FNIUDPHXVLQJWKHSURFHGXUHGHVFULEHGLQWKHSUHDVVRFLDWLRQDFNFRQWH[WGHILQHG 

 EHORZ
 ² $Q+(67$WKDWUHFHLYHVDQ$03'8WKDWGRHVQRWLQFOXGHDQ(2)03'8EXWGRHVLQFOXGHRQHRU
 PRUH QRQ(2) 03'8V WKDW DUH 4R6 'DWD IUDPHV ZLWK 1RUPDO $FN RU ,PSOLFLW %$5 DFN SROLF\



EHORQJLQJWRWKHVDPHEORFNDFNDJUHHPHQWPD\JHQHUDWHD0XOWL67$%ORFN$FNIUDPHDVIROORZV
 ‡ ,IDOO03'8VLQWKH$03'8DUHUHFHLYHGVXFFHVVIXOO\WKHQWKHUHFLSLHQWPD\IROORZWKHSURFH
 GXUHGHVFULEHGLQWKHDOODFNFRQWH[WDVGHILQHGEHORZ
 ‡ 2WKHUZLVHWKHUHFLSLHQWVKDOOIROORZWKHSURFHGXUHGHVFULEHGLQWKH%ORFN$FNFRQWH[WGHILQHG

 EHORZ
 ² ,IDQ+(67$VXSSRUWVDFNHQDEOHGDJJUHJDWLRQE\VHWWLQJWKH$FN(QDEOHG$JJUHJDWLRQ6XSSRUW
 VXEILHOG LQ WKH +( 0$& &DSDELOLWLHV ,QIRUPDWLRQ ILHOG WR  DQG WKH $03'8 LQFOXGHV DQ (2)



03'8WKDWLVD0DQDJHPHQWIUDPHWKDWVROLFLWVDFNQRZOHGJPHQWDQGRQHRUPRUH03'8V HLWKHU
 (2)03'8VRUQRQ(2)03'8V WKDWDUH4R6'DWDIUDPHVZLWK1RUPDO$FNRU,PSOLFLW%$5DFN 
 SROLF\WKHQWKHUHFLSLHQWVKDOOJHQHUDWH0XOWL67$%ORFN$FNIUDPHDVIROORZV

‡ ,IDOOWKH03'8VLQWKH$03'8DUHUHFHLYHGVXFFHVVIXOO\WKHQWKHUHFLSLHQWPD\IROORZWKH

 SURFHGXUHGHVFULEHGLQWKHDOODFNFRQWH[W
 ‡ 2WKHUZLVH
 ‡ )RUWKH03'8WKDWLVD0DQDJHPHQWIUDPHWKHUHFLSLHQWVKDOOFUHDWHD3HU$,'7,'LQIRILHOG

 XVLQJWKHSURFHGXUHGHVFULEHGEHORZLQ$FNFRQWH[WZLWKWKH7,'YDOXHVHWWR

‡ )RUWKH(2)03'8VWKDWDUH4R6'DWDIUDPHVWKHUHFLSLHQWVKDOOFUHDWHD3HU$,'7,'LQIR 

 ILHOGXVLQJWKHSURFHGXUHGHVFULEHGEHORZLQ$FNFRQWH[WZLWKWKH7,'VHWWRWKH7,'RIWKH
 4R6'DWDIUDPH
 ‡ )RUWKHQRQ(2)03'8VWKDWDUH4R6'DWDIUDPHVWKHUHFLSLHQWVKDOOFUHDWHD3HU$,'7,' 
 LQIRILHOGXVLQJWKHSURFHGXUHGHVFULEHGEHORZLQ%ORFN$FNFRQWH[WZLWKWKH7,'VHWWRWKH

7,'RIWKH4R6'DWDIUDPH

 ² ,IDQ+(67$VXSSRUWVPXOWL7,'DJJUHJDWLRQDQGWKH$03'8GRHVQRWLQFOXGHDQ(2)03'8 
 EXWGRHVLQFOXGHQRQ(2)03'8VWKDWDUH4R6'DWDIUDPHVZLWK,PSOLFLW%$5DFNSROLF\DQGDUH
 EHORQJLQJ WR PRUH WKDQ RQH EORFN DFN DJUHHPHQW WKHQ WKH UHFLSLHQW VKDOO JHQHUDWH D 0XOWL67$


 %ORFN$FNIUDPHDVIROORZV
 ‡ ,IDOO03'8VLQWKH$03'8DUHUHFHLYHGVXFFHVVIXOO\WKHQWKHUHFLSLHQWPD\IROORZWKHSURFH
 GXUHGHVFULEHGLQWKHDOODFNFRQWH[W


‡ 2WKHUZLVH IRU HDFK7,' LQFOXGHG WKH UHFHLYHG$03'8 WKH UHFLSLHQW VKDOO FUHDWH D SHU$,'

 7,'LQIRILHOGXVLQJWKHSURFHGXUHGHVFULEHGLQ%ORFN$FNFRQWH[WZLWKWKH7,'VHWWRWKH7,'RI
 WKH4R6'DWDIUDPH

 127(²$67$LQGLFDWHVWKHPD[LPXPQXPEHURI3HU$,'7,',QIRILHOGVZLWKWKHVDPH$,'H[FOXGLQJWKHRQHIRUD
 0DQDJHPHQWIUDPHWKDWLWFDQLQFOXGHLQWKH0XOWL67$%ORFN$FNIUDPHLQWKH0XOWL7,'$JJUHJDWLRQ5[6XSSRUWILHOG

 LQWKH+(&DSDELOLWLHVHOHPHQWLWWUDQVPLWV

 7KHSURFHGXUHIRUGLIIHUHQWDFNQRZOHGJPHQWFRQWH[WVIRUJHQHUDWLQJ0XOWL67$%ORFN$FNIUDPHLVGHILQHG
 EHORZ

 D $OODFNFRQWH[WLIWKHRULJLQDWRUKDGVHWWKH$OO$FN6XSSRUWVXEILHOGLQWKH+(&DSDELOLWLHVHOHPHQW
 WRWKHQWKHUHFLSLHQWPD\VHWWKH$FN7\SHILHOGWRDQGWKH7,'VXEILHOGWRWRLQGLFDWHWKH

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 UHFHSWLRQRIDOOWKH03'8VFDUULHGLQWKHHOLFLWLQJ$03'8RUPXOWL7,'$03'82WKHUZLVHWKH
 UHFLSLHQWVKDOOQRWVHWWKH$FN7\SHILHOGWRDQGWKH7,'VXEILHOGWR7KH0XOWL67$%ORFN$FN 

IUDPHVKDOOFRQWDLQRQO\RQH3HU$,'7,',QIRILHOGDGGUHVVHGWRDQRULJLQDWRULQWKH0XOWL67$ 

 %ORFN$FN IUDPH 7KH UHFLSLHQW GHWHUPLQHV WKDW DOO WKH 03'8V FDUULHG LQ WKH HOLFLWLQJ $03'8

 ZHUHUHFHLYHGLIWKHUHZHUHQR03'8GHOLPLWHU&5&HUURUVDQGQR03'8)&6HUURUVLQWKDW$
 03'8

 E 3UHDVVRFLDWLRQDFNFRQWH[W$UHFLSLHQWUHFHLYLQJD0DQDJHPHQWIUDPHIURPDQXQDVVRFLDWHG67$
 WKDWUHTXLUHVDQDFNQRZOHGJPHQWVKDOOVHWWKH$FN7\SHILHOGWR$,'VXEILHOGWRDQGWKH
 7,'ILHOGWRLQWKH3HU$,'7,',QIRILHOGDQGWKH5$ILHOGRIWKH3HU$,'7,',QIRILHOGWRWKH
 LQWHQGHGUHFLSLHQW¶V0$&DGGUHVVWRLQGLFDWHWKHVXFFHVVIXOUHFHSWLRQRIWKDW0DQDJHPHQWIUDPH

 F $FNFRQWH[W$UHFLSLHQWWKDWVHWVWKH$FN(QDEOHG$JJUHJDWLRQ6XSSRUWVXEILHOGLQWKH+(&DSDELO
 LWLHV HOHPHQW WR  DQG WKDW UHFHLYHV DQ (2) 03'8 VROLFLWLQJ DFNQRZOHGJPHQW VKDOO VHW WKH $FN

 7\SHILHOGWRDQGLIWKH(2)03'8LVD4R6'DWDIUDPHVHWWKH7,'ILHOGWRWKH7,'RIWKH4R6 

'DWDIUDPHRULIWKH(2)03'8LVD0DQDJHPHQWIUDPHRU363ROOIUDPHVHWWKH7,'ILHOGWR

 
 ,IDUHFHLYHG$03'8FRQWDLQVPRUHWKDQRQH(2)03'8WKDWVROLFLWVDQLPPHGLDWHDFNQRZOHGJ
 PHQWWKHQWKH0XOWL67$%ORFN$FNIUDPHVKDOOFRQWDLQPXOWLSOH3HU$,'7,',QIRILHOGVZLWK$FN
 7\SHILHOGHTXDOWRRQHIRUHDFKVXFKUHFHLYHG(2)03'8UHTXHVWLQJDQDFNQRZOHGJPHQW



 7KH7,'ILHOGLVVHWWRWKH7,'RIWKH4R6'DWDRU4R61XOOIUDPHWKDWLVEHLQJDFNQRZOHGJHGDQG 
 VHWWRIRUD363ROOIUDPHRU0DQDJHPHQWIUDPHWKDWLVEHLQJDFNQRZOHGJHG

G %ORFN$FNFRQWH[W7KHUHFLSLHQWVKDOOVHWWKH$FN7\SHILHOGWRDQGWKH7,'ILHOGRID3HU$,' 

 7,',QIRILHOGWRWKH7,'YDOXHRI03'8VUHTXHVWLQJEORFNDFNQRZOHGJPHQWWKDWDUHFDUULHGLQWKH
 HOLFLWLQJ$03'8RUPXOWL7,'$03'8
 
 7KH0XOWL67$%ORFN$FNIUDPHPD\FRQWDLQPXOWLSOHRFFXUUHQFHVRIWKHVH3HU$,'7,',QIRILHOGV

DGGUHVVHGWRDQRULJLQDWRURQHIRUHDFK03'8WKDWLVUHTXHVWLQJEORFNDFNQRZOHGJPHQWLQZKLFK 

 FDVHWKH%ORFN$FN6WDUWLQJ6HTXHQFH&RQWURODQG%ORFN$FN%LWPDSILHOGVVKDOOEHVHWDFFRUGLQJWR 
  +7LPPHGLDWH EORFN DFN H[WHQVLRQV  IRU HDFK EORFN DFN VHVVLRQ DQG DFFRUGLQJ WR  
 )UDJPHQWDWLRQDQGGHIUDJPHQWDWLRQ IRUHDFKEORFNDFNVHVVLRQZLWKG\QDPLFIUDJPHQWDWLRQ
 

7KHDOORZHGYDOXHVIRUWKH7,'ILHOGLQWKLVFRQWH[WDUHWR IRULQGLFDWLQJEORFNDFNQRZOHGJPHQW

 RI4R6'DWDIUDPHV 
 
 9DULDEOH ELWPDS OHQJWKV PD\ EH LQFOXGHG LQ WKH 3HU $,' 7,' ,QIR ILHOG ZKHQ WKH RULJLQDWRU DQG
 UHFLSLHQWQHJRWLDWHWKHLUXVHDVGHILQHGLQ 1HJRWLDWLRQRIEORFNDFNELWPDSOHQJWKV 


 7KH $FN 7\SH VXEILHOG V  LQ D 0XOWL67$ %ORFN$FN IUDPH VKDOO EH VHW WR  LI WKH 0XOWL67$ %ORFN$FN

 IUDPHLVVHQWLQUHVSRQVHWRDQ08%$57ULJJHUIUDPH


8SRQUHFHLSWRID0XOWL67$%ORFN$FNIUDPHWKHRULJLQDWRUVKDOOH[DPLQHHDFK3HU$,'7,',QIRILHOGDQG

 VKDOOSHUIRUPWKHIROORZLQJRSHUDWLRQV
 ² ,IWKH$,'VXEILHOGLVIRUDQ$3RULJLQDWRURUWKHQRQ$367$¶V$,'IRUDQRQ$367$RULJLQDWRU

WKH$FN7\SHILHOGLVDQGWKH7,'ILHOGLVOHVVWKDQWKHQWKH%ORFN$FN6WDUWLQJ6HTXHQFH&RQ

 WURO7,'DQG%ORFN$FN%LWPDSILHOGVRIWKH3HU$,'7,',QIRILHOGDUHSURFHVVHGDFFRUGLQJWR 
  +7LPPHGLDWH EORFN DFN H[WHQVLRQV   )UDJPHQWDWLRQ DQG GHIUDJPHQWDWLRQ  DQG DV
 GHILQHGEHORZ

 ² ,IWKH$,'VXEILHOGLVWKH$FN7\SHILHOGLVDQGWKH7,'ILHOGLVWKHQWKH3HU$,'7,' 
 ,QIR ILHOG LQGLFDWHV WKH DFNQRZOHGJPHQW RI D VLQJOH 0DQDJHPHQW IUDPH VHQW E\ WKH XQDVVRFLDWHG

 67$DVGHILQHGE\WKHDFNQRZOHGJPHQWFRQWH[W

 ² ,IWKH$,'VXEILHOGLVIRUDQ$3RULJLQDWRURUWKHQRQ$367$¶V$,'IRUDQRQ$367$RULJLQDWRU
 WKH$FN7\SHILHOGLVDQGWKH7,'LVOHVVWKDQRUHTXDOWRRULVHTXDOWRWKHQWKH3HU$,'7,'


&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ,QIRILHOGLQGLFDWHVWKHDFNQRZOHGJPHQWRIDQ(2)03'8WKDWLVD4R6'DWDIUDPHLGHQWLILHGE\
 WKHYDOXHRIWKH7,'D0DQDJHPHQWIUDPHRUD363ROOIUDPH

 ² ,IWKH$,'VXEILHOGLVIRUDQ$3RULJLQDWRURUWKHQRQ$367$¶V$,'IRUDQRQ$367$RULJLQDWRU
 WKH$FN7\SHILHOGLVDQGWKH7,'VXEILHOGRI$,'7,',QIRILHOGLVWKHQWKH3HU$,'7,',QIR

 ILHOGLQGLFDWHVWKHDFNQRZOHGJPHQWRIDOO03'8VFDUULHGLQWKHHOLFLWLQJ$03'8DVGHILQHGE\WKH
 DFNQRZOHGJPHQWFRQWH[W


 ,IDQDVVRFLDWHGQRQ$367$WKDWGRHVQRWVXSSRUWWKH825$SURFHGXUHUHFHLYHVD0XOWL67$%ORFN$FN 
 IUDPHLQUHVSRQVHWRDQHOLFLWLQJIUDPHDQGLIWKH0XOWL67$%ORFN$FNIUDPHFRQWDLQVD3HU$,'7,',QIR
 VXEILHOGZLWKWKH$,'VXEILHOGVHWWRWKHQWKH67$VKDOOLJQRUHWKHRFWHWVIROORZLQJWKH$,'7,'

 ,QIRVXEILHOGDQGVKDOOFRQWLQXHWRSDUVHWKHIROORZLQJ3HU$,'7,',QIRVXEILHOGV LIDQ\ 


 1HJRWLDWLRQRIEORFNDFNELWPDSOHQJWKV

 %RWKWKH&RPSUHVVHG%ORFN$FNIUDPHDQG0XOWL67$%ORFN$FNIUDPHDOORZGLIIHUHQW%ORFN$FN%LWPDS 
 VXEILHOGOHQJWKV7KHOHQJWKRIWKH%ORFN$FN%LWPDSVXEILHOGLVLQGLFDWHGLQWKH)UDJPHQW1XPEHUVXEILHOG 

 RI WKH %ORFN $FN 6WDUWLQJ 6HTXHQFH &RQWURO ILHOG DV GHILQHG LQ  %ORFN$FN IUDPH IRUPDW  7KH
 DOORZHG%ORFN$FN%LWPDSOHQJWKVIRUHDFKRIWKHQHJRWLDWHGEXIIHUVL]HVDUHGHILQHGLQ7DEOH 1HJRWL
 DWHGEXIIHUVL]HDQG%ORFN$FN%LWPDSVXEILHOGOHQJWK 


 7DEOH²1HJRWLDWHGEXIIHUVL]HDQG%ORFN$FN%LWPDSVXEILHOGOHQJWK


 %ORFN$FN%LWPDSVXEILHOG
 %ORFN$FN%LWPDSVXEILHOG
1HJRWLDWHG OHQJWK ELWV LQD
 OHQJWK ELWV LQD0XOWL67$
EXIIHUVL]H &RPSUHVVHG%ORFN$FN
 %ORFN$FNIUDPH
IUDPH

 ±  RU

 ± RU RU

 ± RU RU

 127(²$ELW%ORFN$FN%LWPDSVXEILHOGOHQJWKLVQRWDOORZHGXQOHVVWKHRULJL
 QDWRUKDVVHWWKHELW%$%LWPDS6XSSRUWILHOGLQWKH+(0$&&DSDELOLWLHV,QIRU
 PDWLRQILHOGLQWKH+(&DSDELOLWLHVHOHPHQWWR



 $Q +( 67$ WKDW WUDQVPLWV D &RPSUHVVHG %ORFN$FN IUDPH RU D 0XOWL67$ %ORFN$FN IUDPH VKDOO XVH D
 %ORFN$FN%LWPDSVXEILHOGOHQJWKLGHQWLILHGLQ7DEOH 1HJRWLDWHGEXIIHUVL]HDQG%ORFN$FN%LWPDS 
 VXEILHOGOHQJWK IRUWKHQHJRWLDWHGEXIIHUVL]HRIWKHEORFNDFNDJUHHPHQWWRZKLFKWKH%$,QIRUPDWLRQILHOG 
 FRUUHVSRQGV


 7KHUHFLSLHQWLVDOORZHGWRUHVSRQGZLWKD%ORFN$FN%LWPDSVXEILHOGLQWKH%$,QIRUPDWLRQILHOGWKDWLVOHVV
 WKDQWKHPD[LPXPDOORZHG%ORFN$FN%LWPDSIRUWKHQHJRWLDWHGEXIIHUVL]H7KHOHQJWKRIWKH%ORFN$FN 
 %LWPDSVXEILHOGLQD&RPSUHVVHG%ORFN$FNIUDPHRUD0XOWL67$%ORFN$FNIUDPHPD\EHOHVVWKDQWKH
 QHJRWLDWHGEXIIHUVL]HEXWVKDOOEHVXIILFLHQWWRLQFOXGHWKHUHFLSLHQW¶VVFRUHERDUGVWDWHIRU03'8VEHJLQ

QLQJ ZLWK WKH 03'8 IRU ZKLFK WKH 6HTXHQFH 1XPEHU VXEILHOG YDOXH LV WinStartR DQG HQGLQJ ZLWK WKH

 03'8IRUZKLFKWKH6HTXHQFH1XPEHUVXEILHOGLVWinEndR

 7KHUHFLSLHQWVKDOOQRWLQFOXGHLQWKH%XIIHU6L]HILHOGRIDQ$''%$5HVSRQVHIUDPHDYDOXHWKDWZRXOG 
 FDXVHWKH%ORFN$FN%LWPDSOHQJWKRILWVEORFNDFNUHVSRQVHVWRH[FHHGWKH%ORFN$FN%LWPDSOHQJWKWKDWLV

GHULYHGE\WKH%XIIHU6L]HILHOGRIWKH$''%$5HTXHVWIUDPHVHQWE\WKHRULJLQDWRU:KHQWKH%XIIHU6L]H

 ILHOGLQWKH$''%$5HTXHVWIUDPHLVWKH%XIIHU6L]HILHOGRIDQ$''%$5HVSRQVHIUDPHLVLQWKHUDQJH
 WR

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 127(²5HIHUWR%ORFN$FN%LWPDSVXEILHOGOHQJWKLGHQWLILHGLQ7DEOH 1HJRWLDWHGEXIIHUVL]HDQG%ORFN$FN%LW
 PDSVXEILHOGOHQJWK IRUWKHQHJRWLDWHGEXIIHUVL]HRIWKHEORFNDFNDJUHHPHQW

 $UHFLSLHQWVKDOOQRWLQFOXGHLQD0XOWL67$%ORFN$FNIUDPHD3HU$,'7,',QIRILHOGZLWKDELW%ORFN

 $FN%LWPDSILHOGDGGUHVVHGWRDQRULJLQDWRULIWKHELW%$%LWPDS6XSSRUWILHOGLQWKH+(0$&&DSDELO
 LWLHV,QIRUPDWLRQILHOGLQWKH+(&DSDELOLWLHVHOHPHQWUHFHLYHGIURPWKDWRULJLQDWRULV

 127(²$0XOWL67$%ORFN$FNIUDPHPLJKWLQFOXGH3HU$,'7,',QIRILHOGVZLWKDELW%ORFN$FN%LWPDSILHOG 
 DGGUHVVHGWRRWKHURULJLQDWRUVDQGWKHQRQVXSSRUWLQJRULJLQDWRUQHHGVWRDEOHWRSDUVHWKHVHILHOGVWRORFDWHDSRVVLEOH3HU
 $,'7,',QIRILHOGDGGUHVVHGWRLW

 7KHRULJLQDWRURID%ORFN$FN5HTIUDPH08%$57ULJJHUIUDPH*&508%$57ULJJHUIUDPHRUD$
 03'8WKDWLQFOXGHV4R6'DWDIUDPHVWKDWVROLFLWVDQLPPHGLDWH%ORFN$FNIUDPHUHVSRQVHRU0DQDJHPHQW

IUDPHWKDWVROLFLWVDFNQRZOHGJPHQWVKDOOVHWWKH'XUDWLRQILHOGDFFRXQWLQJIRUWKHODUJHVW%ORFN$FN%LWPDS


 OHQJWKEDVHGRQQHJRWLDWHGEXIIHUVL]H

 $UHFLSLHQWVKDOOQRWWUDQVPLWD&RPSUHVVHG%ORFN$FNIUDPHRUD0XOWL67$%ORFN$FNIUDPHZLWKWKH/6% 
 RIWKH)UDJPHQW1XPEHUVXEILHOGVHWWRXQOHVVWKHUHFLSLHQWKDVUHFHLYHGIURPWKHRULJLQDWRUDQ+(&DSD

 ELOLWLHVHOHPHQWZLWKWKH'\QDPLF)UDJPHQWDWLRQ6XSSRUWVXEILHOGHTXDOWR,IWKH/6%RIWKH)UDJPHQW
 1XPEHUVXEILHOGRIWKH%ORFN$FNIUDPHLVWKHQWKH%ORFN$FN%LWPDSILHOGVDUHVHWDVGHILQHGLQ

 /HYHOG\QDPLFIUDJPHQWDWLRQ 


 3HU33'8DFNQRZOHGJPHQWVHOHFWLRQUXOHV

 *HQHUDO


 $67$WKDWWUDQVPLWVD33'8FDQVROLFLWGLIIHUHQWLPPHGLDWHUHVSRQVHVIRUIUDPHVFRQWDLQHGLQWKH33'8
 E\XVLQJWKH$FN3ROLF\,QGLFDWLRQVXEILHOGRI4R6'DWDRU4R61XOOIUDPHVWKHW\SHRIWKHIUDPH33'8

 IRUPDWQXPEHURI7,'VLQWKH$03'8DQGWKH(2)ILHOGVHWWLQJRIWKH$03'8GHOLPLWHU


 5HVSRQGLQJWRDQ+(6833'8RU+((56833'8ZLWKDQ6833'8

 $Q+(67$WKDWUHFHLYHVDQ+(6833'8RU+((56833'8FDUU\LQJDQ$03'8WKDWLQFOXGHV03'8V
 WKDWVROLFLWVDFNQRZOHGJPHQWDQGWKDWGRHVQRWLQFOXGHDWULJJHULQJIUDPHVKDOOUHVSRQGXVLQJDQ6833'8



DVIROORZV
  ,IWKH$03'8LQFOXGHVRQO\RQH03'8DQGWKH03'8LVDQ(2)03'8WKDWLVHLWKHUD4R6 
 'DWDIUDPHRU4R61XOOIUDPHZLWK1RUPDO$FNDFNSROLF\RUD0DQDJHPHQWIUDPHWKDWVROLF

 LWVDFNQRZOHGJPHQWWKHQWKH67$VKDOOUHVSRQGZLWKDQ$FNIUDPH
  ,IWKH$03'8LQFOXGHVRQO\RQH03'8DQGWKH03'8LVDQ(2)03'WKDWLVD363ROO
 IUDPHWKH67$VKDOOUHVSRQGZLWKDQ$FNIUDPHRUD4R6'DWDIUDPH

  ,IWKH+(67$VXSSRUWVDFNHQDEOHGDJJUHJDWLRQE\VHWWLQJWKH$FN(QDEOHG$JJUHJDWLRQ6XS
 SRUWVXEILHOGLQWKH+(0$&&DSDELOLWLHV,QIRUPDWLRQILHOGWRDQGLIWKH$03'8LQFOXGHV
 PRUHWKDQRQH03'8RQO\RQHRIZKLFKVROLFLWVDFNQRZOHGJPHQWDQGWKH03'8WKDWVROLFLWV

 DFNQRZOHGJPHQWLVDQ(2)03'8WKDWLVD4R6'DWDIUDPHRUD4R61XOOIUDPHZLWK1RUPDO
 $FNDFNSROLF\RUD0DQDJHPHQWIUDPHWKDWVROLFLWVDFNQRZOHGJPHQWWKHQWKH+(67$VKDOO
 UHVSRQGZLWKDQ$FNIUDPH

  ,I WKH $03'8 GRHV QRW LQFOXGH DQ (2) 03'8 EXW GRHV LQFOXGH RQH RU PRUH QRQ(2) 
 03'8VWKDWDUH4R6'DWDIUDPHVEHORQJLQJWRWKHVDPHEORFNDFNDJUHHPHQWDQGZLWKWKH$FN 
 3ROLF\,QGLFDWLRQVXEILHOGHTXDOWR,PSOLFLW%$5IRUDWOHDVWRQH03'8WKHQWKH67$VKDOO
 HLWKHU UHVSRQG ZLWK D &RPSUHVVHG %ORFN$FN IUDPH DV GHILQHG LQ  *HQHUDWLRQ DQG

WUDQVPLVVLRQRI%ORFN$FNIUDPHVE\DQ+767$'0*67$RU6*67$ RUD0XOWL67$ 

 %ORFN$FNIUDPHZLWK$FN7\SHILHOGVHWWRDQGWKH7,'ILHOGVHWWRDVGHILQHGLQ 
 $FNQRZOHGJPHQWFRQWH[WLQD0XOWL67$%ORFN$FNIUDPH LIWKHUHFLSLHQWKDVLQGLFDWHGVXS

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 SRUWIRUWKHDOODFNFRQWH[WE\VHWWLQJWKH$OO$FN6XSSRUWVXEILHOGLQWKH+(0$&&DSDELOLWLHV
 ,QIRUPDWLRQILHOGWR

  ,IWKH+(67$VXSSRUWVDFNHQDEOHGDJJUHJDWLRQE\VHWWLQJWKH$FN(QDEOHG$JJUHJDWLRQ6XS
 SRUWVXEILHOGLQWKH+(0$&&DSDELOLWLHV,QIRUPDWLRQILHOGWRDQGLIWKH$03'8LQFOXGHVD
 0DQDJHPHQWIUDPHWKDWVROLFLWVDQDFNQRZOHGJPHQWDQGRQHRUPRUH4R6'DWDIUDPHVZLWK 

 DFNSROLF\1RUPDO$FNRU,PSOLFLW%$5WKHQWKH67$VKDOOUHVSRQGZLWKD0XOWL67$%ORFN
 $FNIUDPHDVGHILQHGLQ $FNQRZOHGJPHQWFRQWH[WLQD0XOWL67$%ORFN$FNIUDPH 
  ,IWKH+(67$VXSSRUWVPXOWL7,'DJJUHJDWLRQDQGLIWKH$03'8LQFOXGHVWZRRUPRUH4R6 

 'DWDIUDPHVZLWKDFNSROLF\,PSOLFLW%$5DQGEHORQJLQJWRPRUHWKDQRQHEORFNDFNDJUHH
 PHQW WKHQ WKH 67$ VKDOO UHVSRQG ZLWK D 0XOWL67$ %ORFN$FN IUDPH DV GHILQHG LQ 

 $FNQRZOHGJPHQWFRQWH[WLQD0XOWL67$%ORFN$FNIUDPH 


 5HVSRQGLQJWRDQ+(0833'8ZLWKDQ6833'8

 ,IDQ$3LQWHQGVWRVROLFLWDQLPPHGLDWHUHVSRQVHLQDQ6833'8WKHIROORZLQJDSSO\

 ² $Q$3VKDOOVHWWKH$FN3ROLF\,QGLFDWLRQVXEILHOGLQWKH4R6'DWDDQG4R61XOOIUDPHVWR1RUPDO
 $FNRU,PSOLFLW%$5LQDWPRVWRQH$03'8LQWKH+(0833'8 VHH $FNQRZOHGJ
 PHQWSURFHGXUHIRU'/0833'8LQ6833'8 IRUDQH[DPSOHRIWKLVVHTXHQFH 

 ² 7KH$03'8VLQWKH+(0833'8VKDOOQRWFRQWDLQD0DQDJHPHQWIUDPHWKDWVROLFLWVDFNQRZO
 HGJPHQW


 $Q+(67$WKDWUHFHLYHVDQ+(0833'8ZLWKDQ$03'8WKDWFRQWDLQV03'8VWKDWVROLFLWDFNQRZO
 HGJPHQWDQGWKDWGRHVQRWLQFOXGHDWULJJHULQJIUDPHVKDOOUHVSRQGXVLQJDQ6833'8DVIROORZV

  ,IWKH$03'8FDUULHVRQO\RQH03'8DQGWKH03'8LVDQ(2)03'8WKDWLVHLWKHUD4R6'DWD
 IUDPH RU 4R6 1XOO IUDPH ZLWK 1RUPDO $FN DFN SROLF\ WKHQ WKH 67$ VKDOO UHVSRQG ZLWK DQ $FN
 IUDPH

  ,IWKH+(67$VXSSRUWVDFNHQDEOHGDJJUHJDWLRQE\VHWWLQJWKH$FN(QDEOHG$JJUHJDWLRQ6XSSRUW
 VXEILHOGLQWKH+(0$&&DSDELOLWLHV,QIRUPDWLRQILHOGWRDQGLIWKH$03'8LQFOXGHVPRUHWKDQ
 RQH03'8RQO\RQHRIZKLFKVROLFLWVDFNQRZOHGJPHQWDQGWKH03'8WKDWVROLFLWVDFNQRZOHGJ
 PHQWLVDQ(2)03'8WKDWLVD4R6'DWDIUDPHRUD4R61XOOIUDPHZLWK1RUPDO$FNDFNSROLF\


WKHQWKH+(67$VKDOOUHVSRQGZLWKDQ$FNIUDPH
  ,IWKH$03'8GRHVQRWLQFOXGHDQ(2)03'8EXWGRHVLQFOXGHRQHRUPRUHQRQ(2)03'8V
 WKDWDUH4R6'DWDIUDPHEHORQJLQJWRWKHVDPHEORFNDFNDJUHHPHQWDQGZLWKWKH$FN3ROLF\,QGLFD

 WLRQVXEILHOGHTXDOWR,PSOLFLW%$5IRUDWOHDVWRQH03'8WKHQWKH67$VKDOOHLWKHUUHVSRQGZLWKD
 &RPSUHVVHG %ORFN$FN IUDPH DV GHILQHG LQ  *HQHUDWLRQ DQG WUDQVPLVVLRQ RI %ORFN$FN

 IUDPHVE\DQ+767$'0*67$RU6*67$ RUD0XOWL67$%ORFN$FNIUDPHZLWKWKH$FN 
 7\SHVHWWRDQGWKH7,'ILHOGVHWWRDVGHILQHGLQ $FNQRZOHGJPHQWFRQWH[WLQD0XOWL
 67$%ORFN$FNIUDPH LIWKHUHFLSLHQWKDVLQGLFDWHGVXSSRUWIRUWKHDOODFNFRQWH[WE\VHWWLQJWKH$OO

 $FN6XSSRUWVXEILHOGLQWKH+(0$&&DSDELOLWLHV,QIRUPDWLRQILHOGWR
  ,IWKH+(67$VXSSRUWVPXOWL7,'DJJUHJDWLRQDQGLIWKH$03'8LQFOXGHVWZRRUPRUH4R6'DWD


IUDPHV ZLWK ,PSOLFLW %$5 DFN SROLF\ DGGUHVVHG WR LW DQG EHORQJLQJ WR PRUH WKDQ RQH EORFN DFN

 DJUHHPHQW WKHQ WKH 67$ VKDOO UHVSRQG ZLWK D 0XOWL67$ %ORFN$FN IUDPH DV GHILQHG LQ 
 $FNQRZOHGJPHQWFRQWH[WLQD0XOWL67$%ORFN$FNIUDPH 

 127(²$FRQWUROUHVSRQVHIUDPHFDUULHGLQDQ6833'8WKDWLVDQLPPHGLDWHUHVSRQVHWRDQ+(0833'8IROORZV
 WKHUXOHVGHILQHGLQ 5DWHVHOHFWLRQIRUFRQWUROUHVSRQVHIUDPHV 

 $Q $3 WKDW VHQGV DQ +( 08 33'8 VKDOO QRW VHW WKH $FN 3ROLF\ ,QGLFDWLRQ VXEILHOG WR 1RUPDO $FN RU

,PSOLFLW%$5IRUDQ\RIWKH03'8VFDUULHGLQWKH+(0833'8LIWKHVROLFLWHG33'8FRQWDLQLQJDFRQWURO

 UHVSRQVH ZRXOG RFFXS\ RQH RU PRUH  0+] FKDQQHOV ZKHUH SUH+( PRGXODWHG ILHOGV RI WKH VROLFLWLQJ 
 33'8DUHQRWORFDWHG

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 5HVSRQGLQJWRDQ+(0833'8+(6833'8RU+((56833'8ZLWKDQ+(7%
 33'8


 $Q$3WKDWVHQGVDQ+(0833'8+(6833'8RU+((56833'8WKDWFRQWDLQVDQ03'8WKDWVROLFLWV
 DQLPPHGLDWHUHVSRQVHFDUULHGLQDQ+(7%33'8VKDOOVHWWKH$FN3ROLF\,QGLFDWLRQVXEILHOGWR+73$FN 
 IRU HDFK RI WKH 4R6 'DWD IUDPHV IRU ZKLFK LW LQWHQGV WR VROLFLW DQ LPPHGLDWH UHVSRQVH VHH 


$FNQRZOHGJPHQW SURFHGXUH IRU '/ 08 33'8 LQ 08 IRUPDW  ,I D 0DQDJHPHQW IUDPH WKDW VROLFLWV

 DFNQRZOHGJPHQWLVFDUULHGLQDQ+(0833'8WKHQWKHUHVSRQVHLVFDUULHGLQDQ+(7%33'8$QRQ$3 
 67$WKDWUHFHLYHVDQ+(0833'8+(6833'8RU+((56833'8ZLWKDQ$03'8WKDWFRQWDLQVD
 4R6'DWDIUDPHDGGUHVVHGWRLWDQGZLWK+73$FNDFNSROLF\RUD0DQDJHPHQWIUDPHWKDWVROLFLWVDQLPPH
 GLDWHDFNQRZOHGJPHQWVKDOOQRWUHVSRQGLILWKDVQRWUHFHLYHGWKH8/UHVRXUFHDOORFDWLRQLQIRUPDWLRQHLWKHU
 WKURXJK756&RQWUROVXEILHOGRUD7ULJJHUIUDPHLQWKHVROLFLWLQJ33'8


 $QRQ$367$WKDWUHFHLYHVDQ+(0833'8+(6833'8RU+((56833'8ZLWKDQ$03'8WKDW
 FRQWDLQVRQHRUPRUH03'8VWKDWVROLFLWVDFNQRZOHGJPHQWDQGLQFOXGHVDWULJJHULQJIUDPHVKDOOUHVSRQG

 ZLWKDQ+(7%33'8DVIROORZV

  ,IWKH$03'8LQFOXGHVRQO\RQH03'8DQGWKH03'8LVDQ(2)03'8WKDWLVHLWKHUD4R6 
 'DWDRU4R61XOOIUDPHZLWK+73$FNDFNSROLF\RUD0DQDJHPHQWIUDPHWKDWVROLFLWVDFNQRZOHGJ


PHQWWKHQWKH67$VKDOOUHVSRQGZLWKDQ$FNIUDPH
  ,IWKH+(67$VXSSRUWVDFNHQDEOHGDJJUHJDWLRQE\VHWWLQJWKH$FN(QDEOHG$JJUHJDWLRQ6XSSRUW
 VXEILHOGLQWKH+(0$&&DSDELOLWLHV,QIRUPDWLRQILHOGWRDQGLIWKH$03'8LQFOXGHVPRUHWKDQ

 RQH03'8RQO\RQHRIZKLFKVROLFLWVDFNQRZOHGJPHQWDQGWKH03'8WKDWVROLFLWVDFNQRZOHGJ
 PHQWLVDQ(2)03'8WKDWLVD4R6'DWDRU4R61XOOIUDPHZLWK+73$FNDFNSROLF\RUD0DQ
 DJHPHQWIUDPHWKDWVROLFLWVDFNQRZOHGJPHQWWKHQWKH+(67$VKDOOUHVSRQGZLWKDQ$FNIUDPH

  ,IWKH$03'8GRHVQRWLQFOXGHDQ(2)03'8EXWGRHVLQFOXGHRQHRUPRUHQRQ(2)03'8V
 WKDWDUH4R6'DWDIUDPHVEHORQJLQJWRWKHVDPHEORFNDFNDJUHHPHQWDQGZLWKWKH$FN3ROLF\,QGL
 FDWLRQVXEILHOGHTXDOWR+73$FNIRUDWOHDVWRQH03'8WKHQWKH67$VKDOOUHVSRQGZLWKD&RP
 SUHVVHG%ORFN$FNIUDPHDVGHILQHGLQ *HQHUDWLRQDQGWUDQVPLVVLRQRI%ORFN$FNIUDPHV

E\DQ+767$'0*67$RU6*67$ RUD0XOWL67$%ORFN$FNIUDPHZLWKWKH$FN7\SHVHWWR 

 DQGWKH7,'ILHOGVHWWRDVGHILQHGLQ $FNQRZOHGJPHQWFRQWH[WLQD0XOWL67$%ORFN
 $FNIUDPH LIWKHUHFLSLHQWKDVLQGLFDWHGVXSSRUWIRUWKHDOODFNFRQWH[WE\VHWWLQJWKH$OO$FN6XS
 SRUWVXEILHOGLQWKH+(0$&&DSDELOLWLHV,QIRUPDWLRQILHOGWR

  ,IWKH+(67$VXSSRUWVDFNHQDEOHGDJJUHJDWLRQE\VHWWLQJWKH$FN(QDEOHG$JJUHJDWLRQ6XSSRUW
 VXEILHOGLQWKH+(0$&&DSDELOLWLHV,QIRUPDWLRQILHOGWRDQGLIWKH$03'8LQFOXGHVD0DQDJH
 PHQWIUDPHWKDWVROLFLWVDQDFNQRZOHGJPHQWDQGRQHRUPRUH4R6'DWDIUDPHVZLWKDFNSROLF\+73

 $FNRU,PSOLFLW%$5WKHQWKH67$VKDOOUHVSRQGZLWKD0XOWL67$%ORFN$FNIUDPHDVGHILQHGLQ 

  $FNQRZOHGJPHQWFRQWH[WLQD0XOWL67$%ORFN$FNIUDPH 
  ,IWKH+(67$VXSSRUWVPXOWL7,'DJJUHJDWLRQDQGLIWKH$03'8LQFOXGHVWZRRUPRUH4R6'DWD
 IUDPHV ZLWK +73 $FN DFN SROLF\ DQG EHORQJLQJ WR PRUH WKDQ RQH EORFN DFN DJUHHPHQW WKHQ WKH

 67$VKDOOUHVSRQGZLWKD0XOWL67$%ORFN$FNIUDPH

 5HVSRQGLQJWRDQ+(7%33'8ZLWKDQ6833'8


 $QRQ$367$WKDWVHQGVDQ+(7%33'8DVDUHVSRQVHWRD%DVLF7ULJJHUIUDPHVKDOOVHWWKH$FN3ROLF\ 
 ,QGLFDWLRQ VXEILHOG RI WKH 4R6 'DWD IUDPHV RU 4R6 1XOO IUDPHV WR 1RUPDO $FN RU ,PSOLFLW %$5 VHH
  $FNQRZOHGJPHQWSURFHGXUHIRUDQ8/08WUDQVPLVVLRQ IRUDQH[DPSOHRIWKLVVHTXHQFH 


 ,IWKH+(7%33'8FDUULHV03'8VRQO\IURPRQH67$DQGLIWKH+($3LQWHQGVWRVHQGWKHUHVSRQVHLQDQ

 6833'8WKHQWKH+($3VKDOOUHVSRQGXVLQJDQ6833'8DVIROORZV

  ,IWKH$03'8LQFOXGHVRQO\RQH03'8DQGWKH03'8LVDQ(2)03'8WKDWLVHLWKHUD4R6 
 'DWDIUDPHRU4R61XOOIUDPHZLWK1RUPDO$FNDFNSROLF\RUD0DQDJHPHQWIUDPHWKDWVROLFLWV

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 DFNQRZOHGJPHQWWKHQWKH+($3VKDOOUHVSRQGZLWKHLWKHUDQ$FNIUDPHRUD0XOWL67$%ORFN$FN

 IUDPHZLWKWKH$FN7\SHILHOGVHWWR

  ,I WKH +( $3 VXSSRUWV DFNHQDEOHG DJJUHJDWLRQ E\ VHWWLQJ WKH $FN(QDEOHG $JJUHJDWLRQ 6XSSRUW
 VXEILHOGLQWKH+(0$&&DSDELOLWLHV,QIRUPDWLRQILHOGWRDQGLIWKH$03'8LQFOXGHVPRUHWKDQ
 RQH03'8RQO\RQHRIZKLFKVROLFLWVDFNQRZOHGJPHQWDQGWKH03'8WKDWVROLFLWVDFNQRZOHGJ

 PHQWLVDQ(2)03'8WKDWLVD4R6'DWDRU4R61XOOIUDPHZLWK1RUPDO$FNDFNSROLF\RUD
 0DQDJHPHQWIUDPHWKDWVROLFLWVDFNQRZOHGJPHQWWKHQWKH+($3VKDOOUHVSRQGZLWKDQ$FNIUDPH
 RUD0XOWL67$%ORFN$FNIUDPHZLWKWKH$FN7\SHILHOGVHWWR

  ,IWKH$03'8GRHVQRWLQFOXGHDQ(2)03'8EXWGRHVLQFOXGHRQHRUPRUHQRQ(2)03'8V
 WKDWDUH4R6'DWDIUDPHVEHORQJLQJWRWKHVDPHEORFNDFNDJUHHPHQWDQGZLWK$FN3ROLF\,QGLFD
 WLRQVXEILHOGHTXDOWR,PSOLFLW%$5IRUDWOHDVWRQH03'8WKHQWKH+($3VKDOOUHVSRQGZLWKD
 &RPSUHVVHG %ORFN$FN IUDPH DV GHILQHG LQ  *HQHUDWLRQ DQG WUDQVPLVVLRQ RI %ORFN$FN 

IUDPHVE\DQ+767$'0*67$RU6*67$ D0XOWL67$%ORFN$FNIUDPHZLWKWKH$FN7\SH

 ILHOGVHWWRDQGWKH7,'ILHOGVHWWRLIWKHUHFLSLHQWKDVLQGLFDWHGVXSSRUWIRUWKHDOODFNFRQWH[W
 E\ VHWWLQJ WKH $OO $FN 6XSSRUW VXEILHOG LQ WKH +( 0$& &DSDELOLWLHV ,QIRUPDWLRQ ILHOG WR  RU D
 0XOWL67$%ORFN$FNIUDPHZLWKWKH$FN7\SHILHOGVHWWRDVGHILQHGLQ $FNQRZOHGJPHQW
 FRQWH[WLQD0XOWL67$%ORFN$FNIUDPH 

  ,I WKH +( $3 VXSSRUWV DFNHQDEOHG DJJUHJDWLRQ E\ VHWWLQJ WKH $FN(QDEOHG $JJUHJDWLRQ 6XSSRUW
 VXEILHOGLQWKH+(0$&&DSDELOLWLHV,QIRUPDWLRQILHOGWRDQGLIWKH$03'8FDUULHVD0DQDJH
 PHQWIUDPHWKDWVROLFLWVDFNQRZOHGJPHQWDQGRQHRUPRUH4R6'DWDIUDPHVZLWK,PSOLFLW%$5DFN 

 SROLF\ WKHQ WKH +( $3 VKDOO UHVSRQG ZLWK D 0XOWL67$ %ORFN$FN IUDPH DV GHILQHG LQ 

 $FNQRZOHGJPHQWFRQWH[WLQD0XOWL67$%ORFN$FNIUDPH 

 ,IWKH+($3VXSSRUWVPXOWL7,'DJJUHJDWLRQDQGLIWKH$03'8LQFOXGHVWZRRUPRUH4R6'DWD

 IUDPHV ZLWK 1RUPDO $FN RU ,PSOLFLW %$5 DFN SROLF\ DQG EHORQJLQJ WR PRUH WKDQ RQH EORFN DFN
 DJUHHPHQWWKHQWKH+($3VKDOOUHVSRQGZLWKD0XOWL67$%ORFN$FNIUDPHDVGHILQHGLQ
 $FNQRZOHGJPHQWFRQWH[WLQD0XOWL67$%ORFN$FNIUDPH 


 ,IWKH$3UHFHLYHV+(7%33'8VIURPPRUHWKDQRQH67$DQGLIWKH$3LQWHQGVWRVHQGWKHUHVSRQVHLQDQ
 6833'8WKHQWKH$3VKDOOUHVSRQGZLWKD0XOWL67$%ORFN$FNIUDPHFDUULHGLQDQ6833'8WKDWFRQ
 WDLQVWKHDSSURSULDWHVHWWLQJVLQHDFK3HU$,'7,',QIRILHOGDGGUHVVHGWRHDFK67$DVGHILQHGLQ

 $FNQRZOHGJPHQWFRQWH[WLQD0XOWL67$%ORFN$FNIUDPH 


 5HVSRQGLQJWRDQ+(7%33'8ZLWKDQ+(0833'8


$QRQ$367$WKDWVHQGVDQ+(7%33'8DVDUHVSRQVHWRD%DVLF7ULJJHUIUDPHWKDWVROLFLWVDQLPPHGLDWH

 UHVSRQVHVKDOOVHWWKH$FN3ROLF\,QGLFDWLRQVXEILHOGWR1RUPDO$FNRU,PSOLFLW%$5IRUHDFKRIWKH4R6

 'DWDIUDPHVFDUULHGLQWKH$03'8 VHH $FNQRZOHGJPHQWSURFHGXUHIRUDQ8/08WUDQVPLV
 VLRQ IRUDQH[DPSOHRIWKLVVHTXHQFH 


 ,IDQ+($3VHQGVUHVSRQVHWRDQ+(7%33'8WKDWLWUHFHLYHGXVLQJDQ+(0833'8WKHQWKH$3VKDOO
 UHVSRQGWRHDFK$03'8WKDWLWUHFHLYHGXVLQJWKHIROORZLQJSURFHGXUH

  ,IWKH$03'8UHFHLYHGIURPD67$LQFOXGHVRQO\RQH03'8DQGWKH03'8LVDQ(2)03'8 
 WKDWLVHLWKHUD4R6'DWDIUDPHRU4R61XOOIUDPHZLWK1RUPDO$FNDFNSROLF\RUD0DQDJHPHQW
 IUDPHWKDWVROLFLWVDFNQRZOHGJPHQWWKHQWKH67$VKDOOUHVSRQGZLWKDQ$FNIUDPHRUD0XOWL67$

 %ORFN$FNIUDPHZLWKWKH$FN7\SHILHOGVHWWRFDUULHGLQWKH+(0833'8

  ,I WKH +( $3 VXSSRUWV DFNHQDEOHG DJJUHJDWLRQ E\ VHWWLQJ WKH $FN(QDEOHG $JJUHJDWLRQ 6XSSRUW
 VXEILHOGLQWKH+(0$&&DSDELOLWLHV,QIRUPDWLRQILHOGWRDQGLIWKH$03'8LQFOXGHVPRUHWKDQ
 RQH03'8RQO\RQHRIZKLFKVROLFLWVDFNQRZOHGJPHQWDQGWKH03'8WKDWVROLFLWVDFNQRZOHGJ

PHQWLVDQ(2)03'8WKDWLVD4R6'DWDIUDPHZLWK1RUPDO$FNDFNSROLF\RUD0DQDJHPHQW

 IUDPHWKDWVROLFLWVDFNQRZOHGJPHQWWKHQWKH+($3VKDOOUHVSRQGZLWKDQ$FNIUDPHRUD0XOWL
 67$%ORFN$FNIUDPHZLWKWKH$FN7\SHILHOGVHWWRFDUULHGLQWKH+(0833'8

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

  ,IWKH$03'8GRHVQRWLQFOXGHDQ(2)03'8EXWGRHVLQFOXGHRQHRUPRUHQRQ(2)03'8V
 WKDWDUH4R6'DWDIUDPHVEHORQJLQJWRWKHVDPHEORFNDFNDJUHHPHQWDQGZLWKWKH$FN3ROLF\,QGL

FDWLRQVXEILHOGHTXDOWR,PSOLFLW%$5IRUDWOHDVWRQH03'8WKHQWKH+($3VKDOOUHVSRQGZLWKD

 &RPSUHVVHG %ORFN$FN IUDPH DV GHILQHG LQ  *HQHUDWLRQ DQG WUDQVPLVVLRQ RI %ORFN$FN

 IUDPHVE\DQ+767$'0*67$RU6*67$ D0XOWL67$%ORFN$FNIUDPHZLWKWKH$FN7\SH
 ILHOGVHWWRDQGWKH7,'ILHOGVHWWRRUD0XOWL67$%ORFN$FNIUDPHZLWKWKH$FN7\SHILHOGVHW
 WRDVGHILQHGLQ $FNQRZOHGJPHQWFRQWH[WLQD0XOWL67$%ORFN$FNIUDPH FDUULHGLQWKH

+(0833'8

  ,I WKH +( $3 VXSSRUWV DFNHQDEOHG DJJUHJDWLRQ E\ VHWWLQJ WKH $FN(QDEOHG $JJUHJDWLRQ 6XSSRUW
 VXEILHOGLQWKH+(0$&&DSDELOLWLHV,QIRUPDWLRQILHOGWRDQGWKH$03'8FDUULHVD0DQDJHPHQW
 IUDPHWKDWVROLFLWVDFNQRZOHGJPHQWDQGRQHRUPRUH4R6'DWDIUDPHVZLWK,PSOLFLW%$5DFNSRO

 LF\ WKHQ WKH +( $3 VKDOO UHVSRQG ZLWK D 0XOWL67$ %ORFN$FN IUDPH DV GHILQHG LQ 
 $FNQRZOHGJPHQWFRQWH[WLQD0XOWL67$%ORFN$FNIUDPH FDUULHGLQWKH+(0833'8
  ,IWKH+($3VXSSRUWVPXOWL7,'DJJUHJDWLRQDQGLIWKH$03'8LQFOXGHVWZRRUPRUH4R6'DWD

IUDPHVZLWK,PSOLFLW%$5DFNSROLF\DQGDUHEHORQJLQJWRPRUHWKDQRQHEORFNDFNDJUHHPHQWWKHQ


 WKH+($3VKDOOUHVSRQGZLWKD0XOWL67$%ORFN$FNIUDPHDVGHILQHGLQ $FNQRZOHGJPHQW
 FRQWH[WLQD0XOWL67$%ORFN$FNIUDPH 

 ,QDGGLWLRQDQ$3ZLWKGRW0XOWL%66,',PSOHPHQWHGHTXDOWRWUXHPD\GRRQHRIWKHIROORZLQJ

 ² )RUHDFK%66EHORQJLQJWRWKHPXOWLSOH%66,'VHWIRUZKLFKWKH$3KDVUHFHLYHGDQ+(7%33'8
 WKH$3UHVSRQGVZLWKD0XOWL67$%ORFN$FNIUDPHZLWK5$ILHOGVHWWRWKHEURDGFDVWDGGUHVVDQG 
 FDUULHGLQD'/+(0833'87KH$FN7\SHILHOGDQG$,'ILHOGRIWKH0XOWL67$%ORFN$FN 
 IUDPHDUHVHWDVGHVFULEHGLQ 0XOWL67$%ORFN$FNYDULDQW 7KH$3VKDOOVHWWKH7;9(&

 725 SDUDPHWHU 67$B,' IRU WKH 58 FDUU\LQJ WKH 0XOWL67$ %ORFN$FN IUDPH WR WKH YDOXH RI WKH
 %66,',QGH[ILHOGDVGHILQHGLQ 67$B,' 
 ² 7KH $3 PD\ UHVSRQG ZLWK D 0XOWL67$ %ORFN$FN IUDPH ZLWK WKH 7$ ILHOG VHW WR WKH WUDQVPLWWHG


%66,'DQGFDUULHGLQD'/+(0833'8WRDFNQRZOHGJHWKH67$¶VWUDQVPLVVLRQLIWKHUHFLSLHQW

 QRQ$367$LVDVVRFLDWHGZLWKDQRQWUDQVPLWWHG%66,'RIWKHPXOWLSOH%66,'VHWDQGWKH$3KDV
 UHFHLYHGDQ+(&DSDELOLWLHVHOHPHQWIURPWKH67$ZLWKWKH5[&RQWURO)UDPH7R0XOWL%66VXEILHOG 
 HTXDO WR  7KH $FN 7\SH ILHOG DQG $,' ILHOG RI WKH 0XOWL67$ %ORFN$FN IUDPH DUH VHW DV
 GHVFULEHGLQ 0XOWL67$%ORFN$FNYDULDQW 7KH$3VKDOOVHWWKH7;9(&725SDUDPHWHU

67$B,'IRUWKH58FDUU\LQJWKH0XOWL67$%ORFN$FNIUDPHWR

 127(²$Q$3LQFOXGHVDWPRVWRQH$FNRU%ORFN$FNIUDPH JURXSDGGUHVVHG0XOWL67$%ORFN$FNIUDPHLQFOXGHG 
 LQDQ$03'8DVVSHFLILHGLQ7DEOH $03'8FRQWHQWV 


+(EORFNDFNQRZOHGJPHQWUHTXHVWDQGUHVSRQVHUXOHV


 $Q+($3PD\VROLFLW%ORFN$FNIUDPHUHVSRQVHVIURPPXOWLSOH+(67$VXVLQJDQ08%$57ULJJHUIUDPH
 RU*&508%$57ULJJHUIUDPH$Q+($3VKDOOQRWVHQGD0XOWL7,'%ORFN$FN5HT QHLWKHUDVSDUWRID
 8VHU,QIRILHOGDGGUHVVHGWRWKH67$LQDQ08%$57ULJJHUIUDPHQRUDVD%ORFN$FN5HTIUDPH WRD67$ 

WKDWKDVQRWLQGLFDWHGVXSSRUWIRUPXOWL7,'$03'87KH%ORFN$FN%LWPDSOHQJWKRIWKHEORFNDFNVHQW

 LQUHVSRQVHWRDQHOLFLWLQJ0XOWL7,'%ORFN$FN5HTIUDPH%ORFN$FN5HTIUDPH*&508%$57ULJJHU
 IUDPH RU 08%$5 7ULJJHU IUDPH LV GHWHUPLQHG DV GHILQHG LQ  1HJRWLDWLRQ RI EORFN DFN ELWPDS
 OHQJWKV 


$Q+(67$WKDWUHFHLYHVD%ORFN$FN5HTIUDPHRUDQ08%$57ULJJHUIUDPHWKDWFRQWDLQVD&RPSUHVVHG 

 %ORFN$FN5HTYDULDQWLQWKH8VHU,QIRILHOGDGGUHVVHGWRWKH67$RUD*&508%$57ULJJHUIUDPHWKDW
 FRQWDLQVD&RPSUHVVHG%ORFN$FN5HTYDULDQWLQWKH&RPPRQ,QIRILHOGVKDOOUHVSRQGZLWKD&RPSUHVVHG
 %ORFN$FN IUDPH DV GHILQHG LQ  +7LPPHGLDWH EORFN DFN H[WHQVLRQV  RU D 0XOWL67$ %ORFN$FN

 IUDPHDVGHILQHGLQ +(DFNQRZOHGJPHQWSURFHGXUH ZLWK6WDUWLQJ6HTXHQFH1XPEHUVXEILHOGVHWWR 

WKH6WDUWLQJ6HTXHQFH1XPEHUVXEILHOGRIWKH%ORFN$FN5HTXHVW6WDUWLQJ6HTXHQFH&RQWUROVXEILHOGDQG

 WKHOHQJWKRIWKH%ORFN$FN%LWPDSVXEILHOGFDOFXODWHGDVGHILQHGLQ 1HJRWLDWLRQRIEORFNDFNELW
 PDSOHQJWKV 

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $Q+(67$WKDWUHFHLYHVD0XOWL7,'%ORFN$FN5HTIUDPHRUDQ08%$57ULJJHUIUDPHWKDWFRQWDLQVD
 0XOWL7,'%ORFN$FN5HTYDULDQWLQWKH8VHU,QIRILHOGDGGUHVVHGWRWKH67$RUD*&508%$57ULJJHU

IUDPHWKDWFRQWDLQVD0XOWL7,'%ORFN$FN5HTYDULDQWLQWKH&RPPRQ,QIRILHOGVKDOOUHVSRQGZLWKD0XOWL

 67$%ORFN$FNIUDPHWKDWFRQWDLQVD3HU$,'7,',QIRILHOGZLWKD%ORFN$FN%LWPDSVXEILHOGIRUHDFKRI
 WKH7,'V ZLWKYDOXHVOHVVWKDQ FRQWDLQHGLQWKH%ORFN$FN5HTIUDPHZLWK6WDUWLQJ6HTXHQFH1XPEHU
 VXEILHOGVHWWRWKH6WDUWLQJ6HTXHQFH1XPEHUVXEILHOGRIWKH%ORFN$FN5HTXHVW6WDUWLQJ6HTXHQFH&RQWURO
 VXEILHOGDQGWKHOHQJWKRIWKH%ORFN$FN%LWPDSVXEILHOGFDOFXODWHGDVGHILQHGLQ 1HJRWLDWLRQRI

EORFNDFNELWPDSOHQJWKV 


 $QRQ$3+(67$WKDWUHVSRQGVWRD&RPSUHVVHG%ORFN$FN5HTIUDPH0XOWL7,'%ORFN$FN5HTIUDPH
 08%$57ULJJHUIUDPHRU*&508%$57ULJJHUIUDPHZLWKD0XOWL67$%ORFN$FNIUDPHVKDOOVHWWKH
 $FN7\SHVXEILHOGRIWKH0XOWL67$%ORFN$FNIUDPHWR


 08RSHUDWLRQ


 +('/08RSHUDWLRQ

 *HQHUDO


 +( '/ 08 RSHUDWLRQ DOORZV DQ $3 WR WUDQVPLW VLPXOWDQHRXVO\ WR RQH RU PRUH QRQ$3 67$V LQ '/

 2)'0$'/080,02RUERWK

 7KH36'8RQHDFK58LQDQ+(0833'8VKDOOEHSDGGHGWRHQGDWWKHVDPHWLPHLQGLFDWHGE\WKH/6,*



ILHOGDVGHVFULEHGLQ /6,* 

 7KHSDGGLQJSURFHGXUHIRUHDFK$03'8LQDQ+(0833'8LVGHILQHGLQ $03'8SDGGLQJLQ
 DQ+(6833'8+((56833'8DQG+(0833'8 


 $Q$3VKDOOQRWWUDQVPLWDQ+(0833'8ZLWKDQ58WKDWLVQDUURZHUWKDQWKH33'8EDQGZLGWKDQGWKDW
 LV DOORFDWHG WR PRUH WKDQ RQH 67$ '/ 080,02  XQOHVV WKH $3 KDV UHFHLYHG IURP HDFK 67$ DQ +(

 &DSDELOLWLHVHOHPHQWZLWKWKH3DUWLDO%DQGZLGWK'/080,02VXEILHOGLQWKH+(3+<&DSDELOLWLHV,QIRU
 PDWLRQILHOGHTXDOWR


 $Q$3VKDOOQRWVHQGWRD67$DQ$03'8FRQWDLQHGLQDQ+(0833'8WKDWFRQWDLQVRQHRIWKHIROORZ
 LQJFRPELQDWLRQVRIIUDPHVXQOHVVWKH$3KDVUHFHLYHGIURPWKH67$DQ+(&DSDELOLWLHVHOHPHQWZLWKWKH
 $FN(QDEOHG$JJUHJDWLRQ6XSSRUWVXEILHOGLQWKH+(0$&&DSDELOLWLHV,QIRUPDWLRQILHOGHTXDOWR


² $4R6'DWDIUDPHZLWK+73$FNDFNSROLF\FDUULHGLQDQ$03'8VXEIUDPHZLWKWKH(2)ILHOGVHW
 WRDQGD7ULJJHUIUDPH
 ² $0DQDJHPHQWIUDPHFDUULHGLQDQ$03'8VXEIUDPHZLWKWKH(2)ILHOGVHWWRZKHUHWKH0DQ

DJHPHQWIUDPHLVD'LVDVVRFLDWLRQIUDPH 5H $VVRFLDWLRQ5HVSRQVHIUDPH$XWKHQWLFDWLRQIUDPHRU

 $FWLRQIUDPHDQGD7ULJJHUIUDPH

 7KH$3VKDOOIROORZWKH('&$SURFHGXUHGHILQHGLQ +&) DQGWKHIROORZLQJDGGLWLRQDOUXOHV

 ² ,IDWOHDVWRQHRIWKHIUDPHH[FKDQJHVLQ+('/08RSHUDWLRQUHTXLUHVDQLPPHGLDWHUHVSRQVH LH
 WKH$3LQFOXGHVDWOHDVWRQH7ULJJHUIUDPHRUIUDPHFDUU\LQJD756&RQWUROVXEILHOG DQGLIWKH$3

 UHFHLYHVDQLPPHGLDWHUHVSRQVHZLWKDWOHDVWRQHFRUUHFW03'8IURPDWOHDVWRQHRIWKHVROLFLWHG 
 67$VWKHIUDPHH[FKDQJHLVVXFFHVVIXO

 ² ,IDWOHDVWRQHRIWKHIUDPHH[FKDQJHVLQ+('/08RSHUDWLRQUHTXLUHVDQLPPHGLDWHUHVSRQVH LH
 WKH$3LQFOXGHVDWOHDVWRQH7ULJJHUIUDPHRUIUDPHFDUU\LQJD756&RQWUROVXEILHOG DQGLIWKH$3

 UHFHLYHVQRLPPHGLDWHUHVSRQVHWKHIUDPHH[FKDQJHLVQRWVXFFHVVIXO

 ² 7KH $3 IROORZV WKH 03'8 DJJUHJDWLRQ UXOHV LQ  $03'8 RSHUDWLRQ LQ DQ +( 33'8  WKDW
 VXSHUVHGHWKHUXOHVLQ 6KDULQJDQ('&$7;23 

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $Q$3VKDOOQRWWUDQVPLWDQ+(0833'8ZKHUHWKHQXPEHURI2)'0V\PEROVLQWKH+(6,*%ILHOGLV
 JUHDWHUWKDQWRDQRQ$367$ZLWKD0+]RSHUDWLQJFKDQQHOZLGWK


 58DGGUHVVLQJLQDQ+(0833'8

 7KH 7\SH DQG 6XEW\SH VXEILHOGV LQ WKH )UDPH &RQWURO ILHOG DQG DGGUHVV W\SH LQGLYLGXDOO\ DGGUHVVHG RU
 JURXSDGGUHVVHG RI03'8VPD\EHGLIIHUHQWDFURVV$03'8VLQGLIIHUHQW36'8VZLWKLQWKHVDPH+(08 


33'8

 $Q$3LQFOXGHVLQWKH7;9(&725IRUDQ+(0833'8DWOHDVWRQHSDUDPHWHU67$B,'IRUHDFK58LQWKH
 +(0833'8DVGHILQHGLQ 67$B,' 7KH$3VKDOOQRWLQFOXGHLQWKH7;9(&725PRUHWKDQRQH
 SDUDPHWHU67$B,'ZLWKWKHVDPHYDOXHXQOHVVWKHYDOXHLV LQGLFDWLQJDQXQDOORFDWHG58 


 $QRQ$367$WKDWUHFHLYHVDQ+(0833'8ZKHUHWKH5;9(&725LQFOXGHVDSDUDPHWHU67$B,'WKDW
 PDWFKHVWKH/6%VRIWKHQRQ$367$¶V$,'PD\GLVUHJDUGDQ\EURDGFDVW58LQWKH+(0833'8$ 
 QRQ$367$WKDWUHFHLYHVDQ+(0833'8ZKHUHWKH5;9(&725LQFOXGHVDSDUDPHWHU67$B,'WKDWLV
 HTXDOWRWKH%66,',QGH[RIWKH%66,'RIWKH$3ZLWKZKLFKWKH67$LVDVVRFLDWHG VHH 0XOWLSOH


%66,',QGH[HOHPHQW PD\GLVUHJDUGDEURDGFDVW58 SDUDPHWHU67$B,'HTXDOWR 

 $Q03'8RIDQ+(0833'8VHQWLQDEURDGFDVW58VKDOOQRWLQFOXGHLQIRUPDWLRQLQWHQGHGIRUD67$WKDW
 LVLGHQWLILHGDVWKHUHFLSLHQWRIDQRWKHU58LQWKHVDPH+(0833'8


 58DOORFDWLRQLQDQ+(0833'8

 $Q$3VKDOOQRWWUDQVPLWD0+]+(0833'8LQWKH*+]EDQGZLWKDQ58DOORFDWHGWRD0+]
 RSHUDWLQJQRQ$3+(67$XQOHVVWKH$3KDVUHFHLYHGIURPWKH0+]RSHUDWLQJQRQ$3+(67$DQ+( 
 &DSDELOLWLHV HOHPHQW ZLWK WKH  0+] ,Q  0+] +( 33'8 ,Q  *+] %DQG VXEILHOG LQ WKH +( 3+<


 &DSDELOLWLHV,QIRUPDWLRQILHOGHTXDOWR

 $Q$3VKDOOQRWWUDQVPLWD0+]RU0+]+(0833'8ZLWKDQ58DOORFDWHGWRD0+]RSHU
 DWLQJ QRQ$3 +( 67$ XQOHVV WKH $3 KDV UHFHLYHG IURP WKH  0+] RSHUDWLQJ QRQ$3 +( 67$ DQ +(

 &DSDELOLWLHVHOHPHQWZLWKWKH0+],Q0+]+(33'8VXEILHOGLQWKH+(3+<&DSDELOLWLHV

 ,QIRUPDWLRQILHOGHTXDOWR

 $Q$3VKDOOQRWWUDQVPLWD0+]RU0+]+(0833'8ZLWKDQ58DOORFDWHGWRDQ0+]
 RSHUDWLQJQRQ$3+(67$XQOHVVWKH$3KDVUHFHLYHGIURPWKH0+]RSHUDWLQJQRQ$3+(67$DQ+(

 &DSDELOLWLHVHOHPHQWZLWKWKH0+],Q0+]+(33'8VXEILHOGLQWKH+(3+<&DSDELOLWLHV

 ,QIRUPDWLRQILHOGHTXDOWR

 $Q$3VKDOOIROORZWKH58UHVWULFWLRQUXOHVGHILQHGLQ 58UHVWULFWLRQVIRU0+]RSHUDWLRQ ZKHQ
 DVVLJQLQJDQ58WRD0+]RSHUDWLQJQRQ$367$LQD0+]0+]0+]RU0+]+( 
 0833'8$Q$3VKDOOIROORZWKHUXOHVLQ 0+]RSHUDWLQJQRQ$3+(67$V DQG 

 0+]RSHUDWLQJQRQ$3+(67$V RUWKH667VXEFKDQQHO LIDSSOLFDEOH LQZKLFKWKH67$LVRSHUDWLQJ VHH
  +(VXEFKDQQHOVHOHFWLYHWUDQVPLVVLRQ LIDOORFDWLQJ58VWRDQRQ$367$

 $Q$3VKDOOQRWWUDQVPLWD0+]+(0833'8LQWKH*+]EDQGZLWKDWRQH58DOORFDWHGWRD

0+]RSHUDWLQJQRQ$3+(67$XQOHVVWKH$3KDVUHFHLYHGIURPWKH0+]RSHUDWLQJQRQ$3+(67$DQ 

 +(&DSDELOLWLHVHOHPHQWZLWK%RIWKH6XSSRUWHG&KDQQHO:LGWK6HWVXEILHOGRIWKH+(3+<&DSDELOLWLHV
 ,QIRUPDWLRQILHOGHTXDOWR

 $Q$3VKDOOQRWWUDQVPLWD0+]0+]0+]RU0+]+(0833'8LQWKH*+]EDQG

ZLWKDWRQH58DOORFDWHGWRD0+]RSHUDWLQJQRQ$3+(67$XQOHVVWKH$3KDVUHFHLYHGIURPWKH

 0+]RSHUDWLQJQRQ$3+(67$DQ+(&DSDELOLWLHVHOHPHQWZLWK%RIWKH6XSSRUWHG&KDQQHO:LGWK 
 6HWVXEILHOGRIWKH+(3+<&DSDELOLWLHV,QIRUPDWLRQILHOGHTXDOWR

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $Q+(0833'8VKDOOKDYHDVXIILFLHQWQXPEHURI58VDOORFDWHGWRXVHUVVXFKWKDWDOORIWKHIROORZLQJ
 FRQGLWLRQVDUHVDWLVILHG

 ² $WOHDVWNîîVXEFDUULHUVDUHPRGXODWHGE\WKHDOORFDWHG58VZLWKLQWKHHQWLUH33'8ZKHUHN
 LVWKHQXPEHURI0+]VXEFKDQQHOVWKDWDUHQRWSUHDPEOHSXQFWXUHGLQWKH33'8

 ² )RUHDFK0+]VXEFKDQQHOSZLWKLQWKHEDQGZLGWKRIWKH+(0833'8DWOHDVWîVXEFDUUL
 HUVDUHPRGXODWHGE\WKHDOORFDWHG58VLQWKH0+]VXEFKDQQHOSLIDOORIWKHIROORZLQJDUHWUXH

 ‡ $WOHDVWRQH58LVDOORFDWHGLQWKH0+]VXEFKDQQHOS
 ‡ 7UDQVPLWWHULVDQ$3
 ‡ 7KH$3 LV RSHUDWLQJ LQ DQ RSHUDWLQJ FODVV IRU ZKLFK WKH EHKDYLRU OLPLWV VHW OLVWHG LQ$QQH[ (

LQFOXGHVWKH')6BBB%HKDYLRU

 ‡ 7KH$3KDVUHFHLYHGDWOHDVWRQH%HDFRQIUDPHIURP2%66BZLWKLQWKHSDVWGRW2EVV1E5X
 7ROHUDQFH7LPHLQWKHFXUUHQWRSHUDWLQJFKDQQHOLQZKLFKDQ\RIWKHIROORZLQJDUHWUXH
 ‡ 7KH([WHQGHG&DSDELOLWLHVHOHPHQWLVQRWSUHVHQW

 ‡ 7KH2%661DUURZ%DQGZLGWK58,Q2)'0$7ROHUDQFH6XSSRUWILHOGLQWKH([WHQGHG&DSD
 ELOLWLHVHOHPHQWLVQRWSUHVHQW
 ‡ 7KH2%661DUURZ%DQGZLGWK58,Q2)'0$7ROHUDQFH6XSSRUWILHOGLQWKH([WHQGHG&DSD
 ELOLWLHVHOHPHQWLV

 ‡ 7KH0+]VXEFKDQQHOSRYHUODSVZLWKWKHRSHUDWLQJEDQGZLGWKRIWKH2%66B
 ² $WOHDVWRQH58LVDOORFDWHGLQWKHSULPDU\0+]


 8/08RSHUDWLRQ


*HQHUDO


 8/08RSHUDWLRQDOORZVDQ$3WRVROLFLWVLPXOWDQHRXVLPPHGLDWHUHVSRQVHIUDPHVIURPRQHRUPRUHQRQ
 $3+(67$V$QRQ$3+(67$VKDOOIROORZWKHUXOHVLQWKLVVXEFODXVHIRUWKHWUDQVPLVVLRQRIUHVSRQVH
 IUDPHV LQ DQ +( 7% 33'8 XQOHVV WKH 7ULJJHU IUDPH LV DQ 08576 7ULJJHU IUDPH LQ ZKLFK FDVH WKH

 UHVSRQVHLVD&76IUDPHVHQWLQDQRQ+733'8 VHH 085767ULJJHU&76IUDPHH[FKDQJHSURFH
 GXUH 

 $QRQ$367$VKDOOQRWVHQGDWULJJHULQJIUDPH


 $QRQ$3+(67$VKDOOVHWWKH7566XSSRUWVXEILHOGRIWKH+(&DSDELOLWLHVHOHPHQWLWWUDQVPLWVWRLILWV
 GRW7562SWLRQ,PSOHPHQWHGLVWUXHRWKHUZLVHWKH67$VKDOOVHWLWWR


 $QRQ$3+(67$VKDOOVHWWKH8/îWRQH586XSSRUWVXEILHOGLQ+(&DSDELOLWLHVHOHPHQWWRLILW
 VXSSRUWVUHFHLYLQJDIUDPHWKDWFDUULHVD756&RQWUROVXEILHOGWKDWDOORFDWHVDîWRQH58RUD7ULJJHU
 IUDPHZLWK8VHU,QIRILHOGDGGUHVVHGWRWKH67$ZLWK58$OORFDWLRQVXEILHOGLQGLFDWLQJDîWRQH58



,IDQRQ$3+(67$VXSSRUWVWUDQVPLWWLQJDQ+(7%33'8WKDWXVHV8/080,02ZLWKLQDQ58WKDW
 VSDQV WKH HQWLUH 33'8 EDQGZLGWK WKHQ WKH 67$ VKDOO VHW GRW+()XOO%:8/080,02,PSOHPHQWHG WR
 WUXHDQGWKH)XOO%DQGZLGWK8/080,02VXEILHOGRIWKH+(3+<&DSDELOLWLHV,QIRUPDWLRQILHOGRIWKH
 +(&DSDELOLWLHVHOHPHQWLWWUDQVPLWVWR2WKHUZLVHWKH+(67$VKDOOVHWGRW+()XOO%:8/080,02
 ,PSOHPHQWHGWRIDOVHDQGWKH)XOO%DQGZLGWK8/080,02VXEILHOGWR


 ,IDQRQ$3+(67$ZLWKGRW+()XOO%:8/080,02,PSOHPHQWHGHTXDOWRWUXHDOVRVXSSRUWVWUDQVPLW
 WLQJDQ+(7%33'8WKDWXVHV8/080,02ZLWKLQDQ58WKDWGRHVQRWVSDQWKHHQWLUH33'8EDQGZLGWK
 WKHQWKH67$VKDOOVHWGRW+(3DUWLDO%:8/080,02,PSOHPHQWHGWRWUXHDQGWKH3DUWLDO%DQGZLGWK8/ 

080,02VXEILHOGLQWKH+(3+<&DSDELOLWLHV,QIRUPDWLRQILHOGRIWKH+(&DSDELOLWLHVHOHPHQWLWWUDQV

 PLWVWR2WKHUZLVHWKHQRQ$3+(67$VKDOOVHWGRW+(3DUWLDO%:8/080,02,PSOHPHQWHGWRIDOVH
 DQGWKH3DUWLDO%DQGZLGWK8/080,02VXEILHOGWR

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ,IDQRQ$367$LQGLFDWHV&ODVV$LQWKH'HYLFH&ODVVVXEILHOGRIWKH+(3+<&DSDELOLWLHV,QIRUPDWLRQ
 ILHOGRIWKH+(&DSDELOLWLHVHOHPHQWWKHQWKH+(7%33'8WUDQVPLWWHGE\WKHQRQ$367$VKDOOPHHWWKH

&ODVV$UHTXLUHPHQWVLQ 7UDQVPLWUHTXLUHPHQWVIRU33'8VVHQWLQUHVSRQVHWRDWULJJHULQJIUDPH 

 2WKHUZLVHWKH+(7%33'8WUDQVPLWWHGE\WKHQRQ$367$VKDOOPHHWWKH&ODVV%UHTXLUHPHQWVLQ 
 7UDQVPLWUHTXLUHPHQWVIRU33'8VVHQWLQUHVSRQVHWRDWULJJHULQJIUDPH 

 $QRQ$3+(67$ZLWKGRW+79+77ULJJHU2SWLRQ,PSOHPHQWHGHTXDOWRWUXHVKDOOVHWWKH+7$QG9+7 

7ULJJHU)UDPH5[6XSSRUWILHOGWRLQWKH+(0$&&DSDELOLWLHV,QIRUPDWLRQILHOGLQ+(&DSDELOLWLHVHOH

 PHQWV WKDW LW WUDQVPLWV $ QRQ$3 +( 67$ ZLWK GRW+79+77ULJJHU2SWLRQ,PSOHPHQWHG HTXDO WR IDOVH
 VKDOOVHWWKH+7$QG9+77ULJJHU)UDPH5[6XSSRUWILHOGWR

 5XOHVIRUVROLFLWLQJ8/08IUDPHV


 *HQHUDO

 $Q+($3VKDOOQRWDOORFDWHDQ58IRUD0+]+(7%33'8WRD0+]RSHUDWLQJQRQ$3+(67$LQ
 WKH*+]EDQGXQOHVVWKH$3KDVUHFHLYHGIURPWKH0+]RSHUDWLQJQRQ$3+(67$DQ+(&DSDELOL

WLHVHOHPHQWZLWKWKH0+],Q0+]+(33'8,Q*+]%DQGVXEILHOGLQWKH+(3+<&DSDELOLWLHV

 ,QIRUPDWLRQILHOGLQLWV+(&DSDELOLWLHVHOHPHQWHTXDOWR

 $Q+($3VKDOOQRWDOORFDWHDQ58IRUDQ0+]RU0+]+(7%33'8WRD0+]RSHUDWLQJ
 QRQ$3+(67$XQOHVVWKH$3KDVUHFHLYHGIURPWKH0+]RSHUDWLQJQRQ$3+(67$DQ+(&DSDELOL


WLHVHOHPHQWZLWKWKH0+],Q0+]+(33'8LQWKH+(3+<&DSDELOLWLHV,QIRUPDWLRQILHOG

 HTXDOWR

 $Q$3VKDOOQRWDOORFDWHWRD0+]RSHUDWLQJQRQ$3+(67$DWRQH58IRUD0+]0+]
 0+]RU0+]+(7%33'8WUDQVPLVVLRQ


 $Q$3VKDOOQRWWUDQVPLWD7ULJJHUIUDPHVROLFLWLQJDQ+(7%33'8WKDWXVHV8/080,02ZLWKLQDQ58 
 WKDWGRHVQRWVSDQWKHHQWLUH33'8EDQGZLGWKWRDQRQ$367$IURPZKLFKLWKDVQRWUHFHLYHGDQ+(&DSD
 ELOLWLHVHOHPHQWZLWKWKH3DUWLDO%DQGZLGWK8/080,02VXEILHOGRIWKH+(3+<&DSDELOLWLHV,QIRUPD
 WLRQILHOGHTXDOWR


 $Q$3VKDOOQRWWUDQVPLWD7ULJJHUIUDPHVROLFLWLQJDQ+(7%33'8WKDWXVHV8/080,02ZLWKLQDQ58 
 WKDWVSDQVWKHIXOOEDQGZLGWKWRDQRQ$367$IURPZKLFKLWKDVQRWUHFHLYHGDQ+(&DSDELOLWLHVHOHPHQW
 ZLWKWKH)XOO%DQGZLGWK8/080,02VXEILHOGRIWKH+(3+<&DSDELOLWLHV,QIRUPDWLRQILHOGHTXDOWR



$Q$3VKDOOQRWVHQGDIUDPHWKDWFDUULHVD756&RQWUROVXEILHOGWRDQRQ$367$WKDWKDVQRWVHWWKH756
 6XSSRUWVXEILHOGWRLQWKH+(0$&&DSDELOLWLHV,QIRUPDWLRQILHOGRIWKH+(&DSDELOLWLHVHOHPHQWLWWUDQV
 PLWV

 $Q$3VKDOOQRWVHQGDIUDPHWKDWFDUULHVD756&RQWUROVXEILHOGWKDWDOORFDWHVDîWRQH58WRDQRQ


$367$RUD7ULJJHUIUDPHZLWKD8VHU,QIRILHOGWKDWDOORFDWHVDîWRQH58WRDQRQ$367$XQOHVV
 WKH$3KDVUHFHLYHGIURPWKHQRQ$367$DQ+(0$&&DSDELOLWLHVHOHPHQWZLWKWKH8/îWRQH58 
 6XSSRUWVXEILHOGLQWKH0$&&DSDELOLWLHV,QIRUPDWLRQILHOGHTXDOWR

 127(²$Q$3GRHVQRWVHQGD7ULJJHUIUDPHFRQWDLQLQJD8VHU,QIRILHOGZLWK$,'VXEILHOGFDUU\LQJWKH/6%VRI
 WKH$,'RIDQRQ$367$RUDIUDPHDGGUHVVHGWRDQRQ$367$WKDWFDUULHVD756&RQWUROVXEILHOGLIWKH$3KDV
 UHFHLYHGIURPWKHQRQ$367$DQ20&RQWUROVXEILHOGZLWK8/08'LVDEOHGVXEILHOGVHWWRDQG8/08'DWD'LV
 DEOHVXEILHOGVHWWR VHH 7UDQVPLWRSHUDWLQJPRGH 720 LQGLFDWLRQ 

 $Q$3WKDWWUDQVPLWVD33'8PD\VROLFLWDQ+(7%33'8IURPRQHRUPRUHQRQ$367$VWKURXJKRQHRI
 WKHIROORZLQJPHFKDQLVPV

 ² ,QFOXGLQJLQWKH33'8RQHRUPRUH7ULJJHUIUDPHVWKDWLQFOXGHRQHRUPRUH8VHU,QIRILHOGVZLWK
 RQHRIWKHIROORZLQJ$,'VXEILHOGVHWWLQJV

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ‡ 7KH$,'VXEILHOGLVVHWWRWKH/6%VRIWKH$,'RIWKHQRQ$367$LIWKH8VHU,QIRILHOGLV
 DGGUHVVHGWRD67$WKDWLVDVVRFLDWHGZLWKWKH$3

 ‡ 7KH$,'VXEILHOGLVVHWWRWKH/6%VRIWKH$,'RIWKHQRQ$367$LIWKH8VHU,QIRILHOGLV
 DGGUHVVHGWRD67$WKDWLVDVVRFLDWHGZLWKDQRQWUDQVPLWWHG%66,'LQDPXOWLSOH%66,'VHWWR 
 ZKLFKWKH$3EHORQJVWKH7$ILHOGRIWKH7ULJJHUIUDPHLVVHWWRWKHWUDQVPLWWHG%66,'DQGWKH
 QRQ$367$KDVVHWWKH5[&RQWURO)UDPH7R0XOWL%66VXEILHOGLQWKH+(&DSDELOLWLHVHOHPHQW

LWWUDQVPLWVWR

 ‡ 7KH$,'VXEILHOGLVVHWWRLIWKH8VHU,QIRILHOGLVDGGUHVVHGWRQRQ$367$VWKDWDUHDVVRFL
 DWHGZLWKWKH$3DQGWKDWVXSSRUWWKH825$SURFHGXUH VHH 8/2)'0$EDVHGUDQGRP 
 DFFHVV 825$ 

 ‡ 7KH$,'VXEILHOGLVVHWWRLIWKH8VHU,QIRILHOGLVDGGUHVVHGWRQRQ$367$VWKDWDUHQRW
 DVVRFLDWHGZLWKWKH$3DQGWKDWVXSSRUWWKH825$SURFHGXUH VHH 8/2)'0$EDVHG 
 UDQGRPDFFHVV 825$ 

 ² ,QFOXGLQJLQWKH33'8RQHRUPRUHLQGLYLGXDOO\DGGUHVVHGIUDPHVWKDWLQFOXGHD756&RQWUROVXE
 ILHOGDQGWKDW

 ‡ $UHFDUULHGLQDQ603'8IRUPDWWKDWVROLFLWVDQLPPHGLDWH$FNIUDPH VHH 7UDQVSRUW
 RI603'8V
 ‡ $UH FDUULHG LQ DQ$03'8 IRUPDW WKDW VROLFLWV DQ LPPHGLDWH %ORFN$FN IUDPH VHH 


 2ULJLQDWRU¶VEHKDYLRU
 ‡ $UH FDUULHG LQ D PXOWL7,'$03'8 IRUPDW WKDW VROLFLWV DQ LPPHGLDWH 0XOWL67$ %ORFN$FN 
 IUDPH VHH 0XOWL7,'$03'8DQGDFNHQDEOHGVLQJOH7,'$03'8


 7KH$3VKDOOIROORZWKHUXOHVLQ '\QDPLFIUDJPHQWDWLRQ LIDQ\RIWKH03'8VDUHIUDJPHQWV


0RUHWKDQRQH7ULJJHUIUDPHPD\EHDJJUHJDWHGLQDQ$03'8,IPRUHWKDQRQH7ULJJHUIUDPHLVDJJUH

 JDWHGLQDQ$03'8DOORIWKHPVKDOOKDYHWKHVDPHFRQWHQW$Q$3PD\LQFOXGHDIUDPHFDUU\LQJD756

 &RQWUROVXEILHOGLQDQ+(0833'8+(6833'8RU+((56833'8

 127(²7KH756&RQWUROVXEILHOGVZLWKLQ03'8VFDUULHGLQDQ$03'8KDYHWKHVDPHYDOXH VHH +7&RQWURO
 ILHOGRSHUDWLRQ 

 $Q$03'8VKDOOQRWLQFOXGHERWKD7ULJJHUIUDPHDQGDIUDPHFDUU\LQJD756&RQWUROVXEILHOG


 $Q$3VKDOOQRWWUDQVPLWDWULJJHULQJIUDPHLIDOORIWKHIROORZLQJFRQGLWLRQVDUHVDWLVILHG

 ² 7KH$3LVRSHUDWLQJLQDQRSHUDWLQJFODVVIRUZKLFKWKHEHKDYLRUOLPLWVVHWOLVWHGLQ$QQH[(LQFOXGHV
 WKH')6BBB%HKDYLRU VHH7DEOH(

 ² 7KH$3KDVUHFHLYHGDWOHDVWRQH%HDFRQIUDPHIURP2%66BZLWKLQWKHSDVWGRW2EVV1E5X7ROHU
 DQFH7LPHLQWKHFXUUHQWRSHUDWLQJFKDQQHOLQZKLFKDQ\RIWKHIROORZLQJDUHWUXH

‡ 7KH([WHQGHG&DSDELOLWLHVHOHPHQWLVQRWSUHVHQW

 ‡ 7KH2%661DUURZ%DQGZLGWK58,Q2)'0$7ROHUDQFH6XSSRUWILHOGLQWKH([WHQGHG&DSDELO
 LWLHVHOHPHQWLVQRWSUHVHQW


‡ 7KH2%661DUURZ%DQGZLGWK58,Q2)'0$7ROHUDQFH6XSSRUWILHOGLQWKH([WHQGHG&DSDELO
 LWLHVHOHPHQWLV

² 7KH7ULJJHUIUDPHRUWKHIUDPHFRQWDLQLQJD756&RQWUROVXEILHOGDOORFDWHVDWOHDVWRQHWRQH58


 ZKRVHORFDWLRQLQIUHTXHQF\RYHUODSVZLWKWKHRSHUDWLQJEDQGZLGWKRIWKH2%66B

 ,IDQRQ$3+(67$RSHUDWLQJLQDQRSHUDWLQJFODVVIRUZKLFKWKHEHKDYLRUOLPLWVVHWOLVWHGLQ$QQH[(


LQFOXGHVWKH')6BBB%HKDYLRUGRHVQRWUHVSRQGWRDWULJJHULQJIUDPHLQZKLFKWKHQRQ$3+(67$LV

 DOORFDWHGDWRQH58WKHQWKH$3VKRXOGQRWDOORFDWHDWRQH58WRWKHQRQ$3+(67$LQWKHQH[W
 WULJJHULQJIUDPH

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $Q$3VKDOOQRWWUDQVPLWD7ULJJHUIUDPHZLWKD8VHU,QIRILHOGDGGUHVVHGWRDQRQ$367$LQDQ+7RU
 9+733'8XQOHVVWKH$3KDVUHFHLYHGIURPWKHQRQ$367$DQ+(&DSDELOLWLHVHOHPHQWZLWKWKH+7$QG 

9+77ULJJHU)UDPH5[6XSSRUWVXEILHOGLQ+(0$&&DSDELOLWLHV,QIRUPDWLRQILHOGHTXDOWR


 $Q$3VKDOOQRWXVHWKHVKRUWJXDUGLQWHUYDOIRUDQ+7RU9+733'8WKDWFDUULHVD7ULJJHUIUDPH$7ULJJHU
 IUDPHVKDOOQRWEHFDUULHGLQD'666RU+5'66633'8$Q$3VKDOOQRWXVH67%&HQFRGLQJIRUD33'8 
 WKDWFDUULHVDWULJJHULQJIUDPH


 5HTXLUHPHQWVIRUDOORFDWLQJUHVRXUFHV

 $Q$3WKDWVHQGVD%DVLF7ULJJHUIUDPHD%4537ULJJHUIUDPHRUD%6537ULJJHUIUDPHWKDWLVQRWDJJUH
 JDWHGZLWKD4R6'DWDIUDPHZLWK+73$FNDFNSROLF\RUZLWKD0DQDJHPHQWIUDPHWKDWVROLFLWVDFNQRZO

HGJPHQWVKDOODOORFDWHVXIILFLHQWUHVRXUFHVIRUWKHUHVSRQGLQJ67$LQGLFDWHGE\HDFK8VHU,QIRILHOGIRUWKH

 VROLFLWHGDVVRFLDWHGQRQ$367$RUWKH825$UHVSRQVHIURPDQDVVRFLDWHGQRQ$367$WRVHQGDWOHDVW
 RQH4R61XOOIUDPHWKDWFDUULHVDQ+7&RQWUROILHOG

 127(²$Q $3 WKDW VHQGV D %DVLF 7ULJJHU IUDPH XVHV DQ LPSOHPHQWDWLRQ VSHFLILF PHWKRG WR GHFLGH WKH DPRXQW RI
 UHVRXUFHVLQGLFDWHGIRU825$DOORFDWLRQV

 $Q$3WKDWVROLFLWVDQ$FNRU%ORFN$FNIUDPHFDUULHGLQDQ+(7%33'8IURPDQRQ$367$VKDOODOORFDWH
 VXIILFLHQWUHVRXUFHVIRUWKHQRQ$367$WRVHQGWKHH[SHFWHGDFNQRZOHGJPHQW,IWKH$3VROLFLWVD%ORFN
 $FNIUDPHWKHDOORFDWHGUHVRXUFHVKDOOEHVXIILFLHQWIRUWKHQRQ$367$WRVHQGWKH%ORFN$FNIUDPHZLWK 

%ORFN $FN %LWPDS VXEILHOGV WKDW DUH WKH QHJRWLDWHG EORFN DFN ELWPDS OHQJWK VHH  1HJRWLDWLRQ RI

 EORFNDFNELWPDSOHQJWKV 

 $Q$3WKDWVHQGVD%)537ULJJHUIUDPHVKDOODOORFDWHVXIILFLHQWUHVRXUFHVIRUWKH+(7%33'8UHVSRQVH
 IRUPHDFK+(EHDPIRUPHHWRLQFOXGHDOOWKHVROLFLWHGIHHGEDFNLQFOXGLQJIHHGEDFNWKDWLVVHJPHQWHGDQG


LQFOXGLQJDQ+7&RQWUROILHOGLQHDFKIUDPH


 3DGGLQJIRU7ULJJHUIUDPHRUIUDPHFRQWDLQLQJ756&RQWUROVXEILHOG

 $Q$3WUDQVPLWWLQJD33'8WKDWFRQWDLQVD%&&HQFRGHG7ULJJHUIUDPHRUIUDPHFRQWDLQLQJD756&RQWURO


VXEILHOGVROLFLWLQJDUHVSRQVHIURPDQRQ$367$VKDOOHQVXUHWKDWWKHQXPEHURIELWVLQWKH36'8IROORZ
 LQJWKHODVWELWRI6&+LVDWOHDVWLPAD,MACDVGHILQHGLQ(TXDWLRQ  ZKLFKLVEDVHGRQWKHMinTrig-
 ProcTime LQGLFDWHG E\ WKH QRQ$3 67$ VHH 7DEOHD 6XEILHOGV RI WKH +( 0$& &DSDELOLWLHV
 ,QIRUPDWLRQILHOG ZKHUH
 SCH LVHLWKHU


‡ WKH8VHU,QIRILHOGDGGUHVVHGWRWKH67$RIWKHODVWRURQO\7ULJJHUIUDPHRU
 ‡ WKHODVW756&RQWUROVXEILHOGLQWKH36'8

 LPAD,MAC NDBPSmPAD 



ZKHUH
 NDBPS LVGHILQHGLQ7DEOH 0RGXODWLRQGHSHQGHQWSDUDPHWHUV IRUDQRQ+733'87DEOH )UH
 TXHQWO\ XVHG SDUDPHWHUV  IRU DQ +7 33'8 7DEOH  )UHTXHQWO\ XVHG SDUDPHWHUV  IRU D
 9+733'8 DQG7DEOH )UHTXHQWO\XVHG SDUDPHWHUV IRU DQ+( 33'8,I WKH 7ULJJHU

IUDPHRU756&RQWUROVXEILHOGLVFDUULHGLQ+(0833'8NDBPSLVUHSODFHGE\NDBPS,u RI

 WKHWDUJHWXVHULQ(TXDWLRQ  
 )RUDQRQ+733'8+733'8DQG9+733'8

 ­  LIMinTrigProcTimeLV
 °

m PAD ®  LIMinTrigProcTimeLVPV
°
 ¯  LIMinTrigProcTimeLVPV

 )RUDQ+(33'8

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU


 ­  LIMinTrigProcTimeLV
m PAD ®
 ¯  LIMinTrigProcTimeLVRUPV


 $Q$3WUDQVPLWWLQJD7ULJJHUIUDPHWKDWFRQWDLQVDWOHDVWRQH8VHU,QIRILHOGZLWK$,'VXEILHOGVHWWR

 LHDQ5$58IRUDVVRFLDWHG67$V VKDOOHQVXUHWKDWWKHQXPEHURIELWVIROORZLQJWKHODVWELWRI6&+LVDW
 OHDVWLPAD,MACDVGHILQHGLQ(TXDWLRQ  ZKLFKLVEDVHGRQWKHODUJHVWMinTrigProcTimeRIDOODVVRFL
 DWHGQRQ$367$VZKHUHSCHLVWKHODVW8VHU,QIRILHOGZLWK$,'VXEILHOGHTXDOWRHLWKHURU


 $Q$3WUDQVPLWWLQJD7ULJJHUIUDPHWKDWFRQWDLQVDWOHDVWRQH8VHU,QIRILHOGZLWK$,'VXEILHOGVHWWR
  LHDQ5$58IRUXQDVVRFLDWHGQRQ$367$V VKRXOGHQVXUHWKDWWKHQXPEHURIELWVIROORZLQJWKH
 ODVWELWRI6&+LVDWOHDVWîNDBPSIRUDQRQ+733'8+733'8RU9+733'8RUNDBPSIRUDQ+( 
 33'8ZKHUH6CHLVWKHODVW8VHU,QIRILHOGZLWK$,'VXEILHOGHTXDOWRHLWKHURU


 $Q$3WUDQVPLWWLQJDQ1)537ULJJHUIUDPHVKDOOHQVXUHWKDWWKHQXPEHURIELWVIROORZLQJWKHODVW8VHU,QIR
 ILHOGZLWKWKH$,'QRWHTXDOWRLVDWOHDVWîNDBPSIRUDQRQ+733'8+733'8RU9+733'8
 RUNDBPSIRUDQ+(33'8


 $Q$3PD\XVHDQ\W\SHRISDGGLQJWRVDWLVI\WKHMinTrigProcTimeUHTXLUHPHQWRIDQRQ$367$VXFKDV
 XVLQJWKH3DGGLQJILHOGLQD7ULJJHUIUDPHSRVW(2)$03'8SDGGLQJRUDJJUHJDWLQJRWKHU03'8VLQWKH
 $03'8


 ,ID7ULJJHUIUDPHRUIUDPHFRQWDLQLQJD756&RQWUROVXEILHOGLV/'3&HQFRGHGWKHQWKHWUDQVPLWWLQJ$3

 HQVXUHVWKDWTTrigProcPHHWVWKHIROORZLQJUHTXLUHPHQWV

 ² TTrigProcVKDOOEHJUHDWHUWKDQRUHTXDOWRWKHMinTrigProcTimeVSHFLILHGE\WKHQRQ$367$VWKDW
 DUHWKHUHFLSLHQWVRIWKH7ULJJHUIUDPH

 ² )RU7ULJJHUIUDPHWKDWFRQWDLQVDWOHDVWRQH8VHU,QIRILHOGZLWK$,'VXEILHOGVHWWRTTrigProc
 VKDOOEHJUHDWHUWKDQRUHTXDOWRWKHODUJHVW0LQ7ULJ3URF7LPHRIDOODVVRFLDWHGQRQ$367$V

 ² )RU7ULJJHUIUDPHWKDWFRQWDLQVDWOHDVWRQH8VHU,QIRILHOGZLWK$,'VXEILHOGVHWWRTTrigProc
 VKRXOGEHDWOHDVW—V

 ² )RU1)537ULJJHUIUDPHTTrigProcVKDOOEHDWOHDVW—V


 TTrigProcLVGHILQHGDVWKHGXUDWLRQRI33'8WKDWLVDIWHUWKH2)'0V\PEROFRQWDLQLQJWKHODVWFRGHGELWRI
 WKH/'3&FRGHZRUGWKDWHQFRGHVWKHODVWELWRI6&+PLQXVTPE,nominalGHILQHGLQ 3DFNHWH[WHQ
 VLRQ 


 $OORZHGVHWWLQJVRIWKH7ULJJHUIUDPHILHOGVDQG756&RQWUROVXEILHOG

 $Q $3 ZLWK GRW0XOWL%66,',PSOHPHQWHG HTXDO WR WUXH VKDOO QRW VHQG D 7ULJJHU IUDPH RWKHU WKDQ DQ


 1)537ULJJHUIUDPH ZLWKWKH7$ILHOGVHWWRWKHWUDQVPLWWHG%66,'WRDQRQ$367$WKDWLVDVVRFLDWHG 
 ZLWKDQRQWUDQVPLWWHG%66,'LQWKHPXOWLSOH%66,'VHWXQOHVVWKH$3KDVUHFHLYHGDQ+(&DSDELOLWLHVHOH
 PHQW IURP QRQ$3 67$ ZLWK WKH 5[ &RQWURO )UDPH 7R 0XOWL%66 VXEILHOG LQ WKH +( 0$& &DSDELOLWLHV
 ,QIRUPDWLRQILHOGHTXDOWR$Q$3ZLWKGRW0XOWL%66,',PSOHPHQWHGHTXDOWRWUXHPD\VHQGDQ1)53 
 7ULJJHUIUDPHZLWKWKH7$ILHOGVHWWRWKHWUDQVPLWWHG%66,'WRDQRQ$367$WKDWLVDVVRFLDWHGZLWKDQRQ

 WUDQVPLWWHG%66,'LQDPXOWLSOH%66,'VHW

 $Q$3WKDWWUDQVPLWVD7ULJJHUIUDPHVKDOOVHWWKH7$ILHOGRIWKHIUDPHWRWKH0$&DGGUHVVRIWKH$3

H[FHSWLIGRW0XOWL%66,',PSOHPHQWHGLVWUXHDQGWKH7ULJJHUIUDPHLVGLUHFWHGWRQRQ$367$VIURPDW

 OHDVWWZRGLIIHUHQW%66VRIDPXOWLSOH%66,'VHWLQZKLFKFDVHWKH$3VKDOOVHWWKH7$ILHOGRIWKHIUDPHWR

 WKHWUDQVPLWWHG%66,'

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $Q$3VKDOOQRWVHWDQ\VXEILHOGVRIWKH&RPPRQ,QIRILHOGRID7ULJJHUIUDPHWRDYDOXHWKDWLVQRWVXS
 SRUWHGE\DOOWKHUHFLSLHQWQRQ$367$VRIWKH7ULJJHUIUDPHDQGWKH$3


 7KH$3VKDOOVHWWKH8//HQJWKVXEILHOGRID7ULJJHUIUDPHWRWKHYDOXHJLYHQE\(TXDWLRQ  ZLWK

 m 

 ,IDQ$3WUDQVPLWVD7ULJJHUIUDPHWKDWDOORFDWHVDQ58WKDWVSDQVWKHHQWLUH+(7%33'8EDQGZLGWKDQG


DVVLJQVWKH58WRPRUHWKDQRQHQRQ$367$ LHIRU8/080,02 DQGZLWKWKH*,$QG+(/7)7\SH
 VXEILHOGRIWKH&RPPRQ,QIRILHOGVHWWRLQGLFDWHHLWKHU[+(/7)ȝV*,RU[+(/7)ȝV*,
 WKH$3PD\VHWWKH080,02+(/7)0RGHVXEILHOGLQWKH&RPPRQ,QIRILHOGRIWKH7ULJJHUIUDPHWR 
 LQGLFDWHHLWKHU+(VLQJOHVWUHDPSLORW+(/7)PRGHRU+(PDVNHG+(/7)VHTXHQFHPRGH2WKHUZLVHWKH
 $3VKDOOVHWWKH080,02+(/7)0RGHVXEILHOGLQWKH&RPPRQ,QIRILHOGWRLQGLFDWH+(VLQJOHVWUHDP 


SLORW+(/7)PRGH

 $Q$3WKDWWUDQVPLWV7ULJJHUIUDPHVLQPRUHWKDQRQH$03'8LQDQ+(0833'8VKDOOVHWHDFKVXEILHOG
 H[FHSW WKH 7ULJJHU 7\SH 0RUH 7) &6 5HTXLUHG DQG 7ULJJHU 'HSHQGHQW &RPPRQ ,QIR VXEILHOGV LQ WKH
 &RPPRQ,QIRILHOGRIWKH7ULJJHUIUDPHLQRQH$03'8WRWKHVDPHYDOXHDVWKHFRUUHVSRQGLQJVXEILHOGLQ

 WKH&RPPRQ,QIRILHOGRIWKH7ULJJHUIUDPHVLQWKHRWKHU$03'8V

 $Q $3 WKDW WUDQVPLWV IUDPHV FDUU\LQJD 756 &RQWURO VXEILHOGLQPRUHWKDQ RQH$03'8 LQ DQ +( 08

 33'8VKDOOVHWWKH8/'DWD6\PEROVDQG$37[3RZHUVXEILHOGVRIWKH756&RQWUROVXEILHOGLQWKHIUDPHV
 RIRQH$03'8WRWKHVDPHYDOXHDVWKHFRUUHVSRQGLQJVXEILHOGVRIWKH756&RQWUROVXEILHOGLQWKHIUDPHV

 RIWKHRWKHU$03'8V

 $Q$3WKDWWUDQVPLWVRQHRUPRUH7ULJJHUIUDPHVLQRQHRUPRUH$03'8VDQGIUDPHVFDUU\LQJD756&RQ
 WUROVXEILHOGLQRQHRUPRUHRWKHU$03'8VLQDQ+(0833'8VKDOOVHWWKH&RPPRQ,QIRILHOGRIWKH
 7ULJJHUIUDPHVDQGWKH756&RQWUROVXEILHOGVLQHDFK$03'8DVIROORZV

 ² 7KH8//HQJWKVXEILHOGLQWKH&RPPRQ,QIRILHOGRIWKH7ULJJHUIUDPHVDQGWKH8/'DWD6\PEROV
 VXEILHOGLQWKH756&RQWUROVXEILHOGVLQGLFDWHWKHVDPH+(7%33'8GXUDWLRQ

 ² 7KH$37[3RZHUVXEILHOGLQWKH&RPPRQ,QIRILHOGRIWKH7ULJJHUIUDPHVDQGWKH$37[3RZHU
 VXEILHOGLQWKH756&RQWUROVXEILHOGVLQGLFDWHWKHVDPHWUDQVPLWSRZHU

² ,QWKH&RPPRQ,QIRILHOGRIWKH7ULJJHUIUDPHV

 ‡ 7KH080,02+(/7)0RGHDQG8/67%&VXEILHOGVDUHVHWWR
 ‡ 7KH1XPEHU2I+(/7)6\PEROV$QG0LGDPEOH3HULRGLFLW\VXEILHOGLVVHWWR

‡ 7KH'RSSOHUVXEILHOGLVVHWWR

 ‡ 7KH3UH)(&3DGGLQJ)DFWRUVXEILHOGLVVHWWRWKHGHIDXOW3(GXUDWLRQYDOXHZKLFKLVLQGLFDWHG

 E\WKH$3LQWKH'HIDXOW3('XUDWLRQVXEILHOGRIWKH+(2SHUDWLRQHOHPHQWLWWUDQVPLWVDQGWKH
 SUH)(&SDGGLQJIDFWRULVVHWWR
 ‡ 7KH8/6SDWLDO5HXVHVXEILHOGLVVHWWR365B$1'B121B65*B2%66B3'B352+,%,7('

 ‡ ,I WKH 7;9(&725 SDUDPHWHUV +(B/7)B7<3( DQG *,B7<3( RI WKH +( 33'8 FDUU\LQJ WKH
 7ULJJHU IUDPH DUH HLWKHU [+(/7) DQG XVB*, UHVSHFWLYHO\ RU [+(/7) DQG XVB*,
 UHVSHFWLYHO\WKHQWKH*,$QG+(/7)7\SHVXEILHOGLVVHWWR2WKHUZLVHWKH*,$QG+(/7) 
 7\SHVXEILHOGLVVHWWR
 ‡ 7KHRWKHUUHPDLQLQJVXEILHOGVDUHVHWWRDQ\YDOLGYDOXH

 127(²$QRQ$367$REWDLQVWKHLQIRUPDWLRQUHTXLUHGWRSUHSDUHDQ+(7%33'8H[SOLFLWO\DQGLPSOLFLWO\([SOLFLW
 LQIRUPDWLRQLVREWDLQHGLQWKH&RPPRQ,QIRILHOGRID7ULJJHUIUDPHRULQWKH8/'DWD6\PEROVDQG$37[3RZHUVXE
 ILHOGV RI WKH 756 &RQWURO VXEILHOG FRQWDLQHG LQ WKH VROLFLWLQJ 33'8 ,PSOLFLW LQIRUPDWLRQ LV REWDLQHG LQ SUHYLRXVO\

 H[FKDQJHGIUDPHVZLWKWKH$3HJLQWKH%66&RORUDQGWKH'HIDXOW3('XUDWLRQVXEILHOGVRIWKH+(2SHUDWLRQHOH
 PHQWRUIURPGHIDXOWYDOXHVVSHFLILHGLQ 1RQ$367$EHKDYLRUIRU8/08RSHUDWLRQ 


$Q$3VKDOOQRWVHWDQ\VXEILHOGVRIWKH8VHU,QIRILHOGRID7ULJJHUIUDPHWRDYDOXHWKDWLVQRWVXSSRUWHGE\


 WKHUHFLSLHQWQRQ$367$RIWKH8VHU,QIRILHOGDQGWKH$3$Q$3VKDOOQRWVHWDQ\VXEILHOGVRID756 
 &RQWUROVXEILHOGWRDYDOXHWKDWLVQRWVXSSRUWHGE\WKHUHFLSLHQWQRQ$367$RIWKH756&RQWUROVXEILHOG 

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 DQGWKH$3,IDQ58LVDOORFDWHGWRRQO\RQHQRQ$367$WKH6WDUWLQJ6SDWLDO6WUHDPVXEILHOGIRUWKDWQRQ
 $367$VKDOOEHVHWWR


 $Q$3VKDOOIROORZWKH58UHVWULFWLRQUXOHVGHILQHGLQ 58UHVWULFWLRQVIRU0+]RSHUDWLRQ ZKHQ
 DVVLJQLQJDQ58WRD0+]RSHUDWLQJQRQ$367$IRUD0+]0+]0+]RU0+]+( 
 7%33'8$Q$3VKDOOQRWVHWWKH58$OORFDWLRQVXEILHOGRIWKH8VHU,QIRILHOGRID7ULJJHUIUDPHRU756 
 &RQWUROVXEILHOGWKDWLVDGGUHVVHGWRDQRQ$367$WRDYDOXHVXFKWKDWWKH58DOORFDWHGWRWKH67$OLHVRXW

VLGHWKHFKDQQHOLQZKLFKWKH67$LVRSHUDWLQJ VHH 5HVRXUFHDOORFDWLRQIRUDQ+(7%33'8 DQG 

  0+]RSHUDWLQJQRQ$3+(67$V RURXWVLGHWKH667VXEFKDQQHO LIDSSOLFDEOH LQZKLFKWKH
 67$LVRSHUDWLQJ VHH +(VXEFKDQQHOVHOHFWLYHWUDQVPLVVLRQ 

 ,ID7ULJJHUIUDPHLVWUDQVPLWWHGLQWKHEURDGFDVW58RIDQ+(0833'8WKHQWKH7ULJJHUIUDPHVKDOOQRW

LQFOXGHDQ\8VHU,QIRILHOGVDGGUHVVHGWRDQRQ$367$WKDWLVLGHQWLILHGDVUHFLSLHQWRIDQRWKHU58RUVSD

 WLDOVWUHDPRIWKHVDPH+(0833'8

 $756&RQWUROVXEILHOGVKDOOQRWEHLQFOXGHGLQDJURXSDGGUHVVHGIUDPH


,IDQ$3WUDQVPLWVRQHRUPRUH7ULJJHUIUDPHVRUIUDPHVFDUU\LQJD756&RQWUROVXEILHOGWKHQWKHIUDPHV

 VKDOOFROOHFWLYHO\HOLFLW+(7%33'8UHVSRQVHVVXFKWKDWDWOHDVWRQHVFKHGXOHG58LVDOORFDWHGIRUHDFK

 0+]FKDQQHORFFXSLHGE\WKHHOLFLWLQJ33'8$Q$3VKDOOQRWDOORFDWHDQ58LQDQ\0+]FKDQQHO
 WKDWLVQRWRFFXSLHGE\WKHLPPHGLDWHO\SUHFHGLQJ'/33'8


$Q$3PD\LQGLFDWHDQXQDOORFDWHG58LQD7ULJJHUIUDPHE\LQFOXGLQJD8VHU,QIRILHOGZLWKWKH$,' 

 VXEILHOGVHWWR7KH$3VKDOOSODFHDQ\8VHU,QIRILHOGVZLWKWKH$,'VXEILHOGVHWWRDIWHU8VHU
 ,QIRILHOGVZLWKWKH$,'VXEILHOGVHWWRDYDOXHOHVVWKDQ

 $Q$3VKDOOQRWWUDQVPLWD7ULJJHUIUDPHWKDWFRQWDLQVPRUHWKDQRQH8VHU,QIRILHOGZLWKWKHVDPHYDOXHLQ

WKH$,'VXEILHOGXQOHVVWKHYDOXHLQWKH$,'VXEILHOGLVRUJUHDWHUWKDQ7KH$3VKDOOSODFH8VHU

 ,QIRILHOGVZLWKWKHVDPHYDOXHLQWKH$,'VXEILHOGWRJHWKHUDVDFRQWLJXRXVEORFNLQWKH7ULJJHUIUDPH
 7KH$3VKDOOSODFH8VHU,QIRILHOGVZLWKWKH$,'VXEILHOGVHWWRRUDYDOXHJUHDWHUWKDQDIWHU8VHU
 ,QIRILHOGVZLWKWKH$,'VXEILHOGVHWWRDYDOXHLQWKHUDQJHWR LIDQ\SUHVHQW 


$Q$3WKDWWUDQVPLWVDQLQGLYLGXDOO\DGGUHVVHG7ULJJHUIUDPHVKDOOLQFOXGHRQO\RQH8VHU,QIRILHOGLQWKH

 7ULJJHUIUDPHZLWKWKH$,'VXEILHOGVHWWRWKH/6%VRIWKH$,'RIWKHQRQ$367$DGGUHVVHGE\WKH
 5$ILHOG
























 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $QH[DPSOHRI8VHU,QIRILHOGRUGHULQJLQD7ULJJHUIUDPHDQGWKHUHODWLRQVKLSWR58ORFDWLRQVLVVKRZQLQ

 )LJXUH ([DPSOHRI8VHU,QIRILHOGRUGHULQJDQG58ORFDWLRQPDSSLQJ 



 2UGHURI8VHU,QIRILHOGVLQD7ULJJHUIUDPH

8QDVVLJQHG58V $,' 
 &RPPRQ,QIR
'LUHFWHG58V $,' 67$¶V$,' 5$58V $,' RU 
>LISUHVHQW@ >LISUHVHQW@
 0$&+HDGHU ILHOG

   

 8VHU,QIRILHOGV



  
 8QDVVLJQHG 'LUHFWHG 6LQJOH5$58 'LUHFWHG &RQWLJXRXV5$58VHW 8QDVVLJQHG 8QDVVLJQHG 'LUHFWHG &RQWLJXRXV5$58VHW
 58ORFDWLRQV LQFUHDVLQJRUGHU


 )LJXUH²([DPSOHRI8VHU,QIRILHOGRUGHULQJDQG58ORFDWLRQPDSSLQJ


 $Q$3WKDWVHQGVD%DVLF7ULJJHUIUDPHVKDOOVHWWKH7,'$JJUHJDWLRQ/LPLWVXEILHOGRID8VHU,QIRILHOGWKDW


LVDGGUHVVHGWRDQRQ$367$WRDYDOXHEHWZHHQDQGSOXVWKHYDOXHRIWKH0XOWL7,'$JJUHJDWLRQ7[ 
 6XSSRUWVXEILHOGLQWKH+(&DSDELOLWLHVHOHPHQWPRVWUHFHQWO\UHFHLYHGIURPWKHQRQ$367$$YDOXHLQ 
 WKH 7,' $JJUHJDWLRQ /LPLW VXEILHOG LQGLFDWHV WR WKH QRQ$3 67$ WKDW LW VKDOO QRW VROLFLW DQ\ LPPHGLDWH
 UHVSRQVHIRUWKH03'8VWKDWWKHQRQ$367$DJJUHJDWHVLQWKH+(7%33'8$YDOXHRILQWKH7,' 
 $JJUHJDWLRQ/LPLWVXEILHOGLQGLFDWHVWRWKHQRQ$367$WKDWLWPD\DJJUHJDWH4R6'DWDIUDPHVIURPDQ\ 


QXPEHURIGLIIHUHQW7,'YDOXHVLQWKHPXOWL7,'$03'87DEOH 5HODWLRQEHWZHHQ7,'$JJUHJDWLRQ 
 /LPLWILHOG0XOWL7,'$JJUHJDWLRQ7[6XSSRUWILHOGDQGVROLFLWHGLPPHGLDWHUHVSRQVH SURYLGHVDVXPPDU\ 
 RIWKHSRVVLEOHFRPELQDWLRQV


 7DEOH²5HODWLRQEHWZHHQ7,'$JJUHJDWLRQ/LPLWILHOG0XOWL7,'$JJUHJDWLRQ7[6XS


SRUWILHOGDQGVROLFLWHGLPPHGLDWHUHVSRQVH


1RQ$367$0XOWL7,'
 $37,'$JJUHJDWLRQ 1RQ$367$6ROLFLWHG
$JJUHJDWLRQ7[6XSSRUW
 /LPLWILHOG LPPHGLDWHUHVSRQVH"
ILHOG


 $Q\YDOXH 1R

  $Q\YDOXH <HVIRUDWPRVW7,'DQGRU
 0DQDJHPHQWIUDPH

 tal WRmta mta <HVDWPRVWtal7,'VDQGRU
 DWPRVWRQH0DQDJHPHQW
 IUDPH

 ZKHUH
 talLVWKHYDOXHLQWKH7,'$JJUHJDWLRQ/LPLWILHOG
 mtaLVWKHYDOXHLQWKH0XOWL7,'$JJUHJDWLRQ7[6XSSRUWILHOG



 7KH$3PD\DVVLJQDQ\$&,YDOXHGHILQHGLQ7DEOH $&,WR$&HQFRGLQJ LQWKH3UHIHUUHG$&VXE

ILHOGLQWKH7ULJJHU'HSHQGHQW8VHU,QIRILHOGIRUDQ+(67$DQGLGHQWLILHGE\WKH$,'VXEILHOGRIWKH

 8VHU,QIRILHOGRID%DVLF7ULJJHUIUDPH,IWKH$3GRHVQRWKDYHDUHFRPPHQGDWLRQWKHQLWVKDOOVHWWKH3UH
 IHUUHG$&VXEILHOGWRWKHYDOXH $&B%( 

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 :KHQWUDQVPLWWLQJD33'8FDUU\LQJDWULJJHULQJIUDPHDQ$3VKRXOGQRWDSSO\WUDQVPLWEHDPIRUPLQJWR

 ² 1RQ+733'8V
 ² )LHOGVSULRUWRWKH+767)ILHOGRIDQ+7PL[HGIRUPDW33'8

 ² 3UH9+7PRGXODWHGILHOGVRIDQ9+733'8

² 3UH+(PRGXODWHGILHOGVRIDQ+(33'8


 $Q$3VKDOOWUDQVPLWDQ+(33'8WKDWFDUULHVD7ULJJHUIUDPHRUIUDPHWKDWLQFOXGHVD756&RQWUROVXE
 ILHOGZLWKWKH7;9(&725SDUDPHWHU%($0B&+$1*(VHWWR


 $Q$3VKRXOGVHWWKH7,'$JJUHJDWLRQ/LPLWVXEILHOGLQWKH8VHU,QIRILHOGVRID%DVLF7ULJJHUIUDPHWRLI
 WKH&65HTXLUHGVXEILHOGLQWKH&RPPRQ,QIRILHOGRIWKH%DVLF7ULJJHUIUDPHLV

 $Q$3VKDOOVHWWKH7,'$JJUHJDWLRQ/LPLWVXEILHOGLQWKH8VHULQIRILHOGVRID%DVLF7ULJJHUIUDPHWRLI

 WKHVROLFLWHG+(7%33'8LVWKHODVW33'8RIWKH7;23
 127(²$Q+(7%33'8LVWKHODVW33'8LIWKH'XUDWLRQ,'ILHOGLVHTXDOWRLQWKH03'8 V FRQWDLQHGLQWKH+(

 7%33'8


 $3DFFHVVSURFHGXUHVIRU8/08RSHUDWLRQ

 7KH$3VKDOOIROORZWKH('&$SURFHGXUHGHILQHGLQ +&) DQGWKHDGGLWLRQDOUXOHVLQWKLVVXEFODXVH


 ,IDQ$3UHFHLYHVDQLPPHGLDWHUHVSRQVHZLWKDWOHDVWRQHIUDPHIURPDWOHDVWRQHQRQ$367$VROLFLWHGE\

 D7ULJJHUIUDPHRUIUDPHFDUU\LQJD756&RQWUROVXEILHOGWKHIUDPHH[FKDQJHLVVXFFHVVIXO



,IDQ$3GRHVQRWUHFHLYHDQLPPHGLDWHUHVSRQVHZLWKDWOHDVWRQHIUDPHIURPDWOHDVW RQHQRQ$367$ 
 VROLFLWHGE\D33'8WKDWFRQWDLQVDWOHDVWRQH7ULJJHUIUDPHWKHQWKHIUDPHH[FKDQJHLVQRWVXFFHVVIXODQG
 WKH$3VKDOOIROORZWKHEDFNRIISURFHGXUHLQ ('&$EDFNRIISURFHGXUH 

 $Q$3PD\XVHDQ\$&IRUVHQGLQJD33'8WKDWFRQWDLQVRQO\7ULJJHUIUDPHV


 ,IWKH33'8FRQWDLQVIUDPHVWKDWDUHQRW7ULJJHUIUDPHVLQDGGLWLRQWRD7ULJJHUIUDPHWKHQWKH$3IROORZV
 WKH03'8DJJUHJDWLRQUXOHVLQ $03'8RSHUDWLRQLQDQ+(33'8 ZKLFKVXSHUVHGHVWKHUXOHVLQ
  6KDULQJDQ('&$7;23 


 1RQ$367$EHKDYLRUIRU8/08RSHUDWLRQ

 *HQHUDO


 $QRQ$367$VKDOOQRWVHQGDQ+(7%33'8XQOHVVLWLVH[SOLFLWO\WULJJHUHGE\DQ$3LQRQHRIWKHRSHU
 DWLRQPRGHVGHVFULEHGLQWKLVVXEFODXVH


 7KHLQWHUIUDPHVSDFHEHWZHHQD33'8WKDWFRQWDLQVD7ULJJHUIUDPHRUIUDPHWKDWLQFOXGHVD756&RQWURO
 VXEILHOGDQGWKH+(7%33'8LVD6,)6

 $QRQ$367$VKDOOQRWWUDQVPLWDQ+(7%33'8LIDOORIWKHFRQGLWLRQVLQ &RQGLWLRQVIRUQRW

UHVSRQGLQJZLWKDQ+(7%33'8 DUHVDWLVILHG2WKHUZLVHDQRQ$367$VKDOOWUDQVPLWDQ+(7%33'8D

 6,)6DIWHUDUHFHLYHG33'8LIDOORIWKHIROORZLQJFRQGLWLRQVDUHPHW
 ² 7KHUHFHLYHG33'8FRQWDLQVHLWKHUD7ULJJHUIUDPH WKDWLVQRWDQ08576YDULDQW ZLWKD8VHU,QIR

ILHOGDGGUHVVHGWRWKHQRQ$367$RUDIUDPHDGGUHVVHGWRWKHQRQ$367$WKDWFRQWDLQVDQ756 

 &RQWUROVXEILHOG$8VHU,QIRILHOGLQWKH7ULJJHUIUDPHLVDGGUHVVHGWRDQRQ$367$LIRQHRIWKH
 IROORZLQJFRQGLWLRQVDUHPHW

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ‡ 7KH$,' VXEILHOG LV HTXDO WR WKH  /6%V RI WKH$,' RI WKH QRQ$3 67$ DQG WKH 7ULJJHU
 IUDPHLVVHQWE\WKH$3ZLWKZKLFKWKHQRQ$367$LVDVVRFLDWHGZLWKRUE\WKH$3FRUUHVSRQG

LQJWRWKHWUDQVPLWWHG%66,'LIWKHQRQ$367$LVDVVRFLDWHGZLWKDQRQWUDQVPLWWHG%66,'DQG 

 KDVLQGLFDWHGVXSSRUWIRUUHFHLYLQJ&RQWUROIUDPHVZLWK7$ILHOGVHWWRWKHWUDQVPLWWHG%66,'E\
 VHWWLQJWKH5[&RQWURO)UDPH7R0XOWL%66VXEILHOGWRLQWKH+(&DSDELOLWLHVHOHPHQWWKDWWKH
 67$WUDQVPLWV
 ‡ 7KH$,'VXEILHOGLVWKHQRQ$367$LVDVVRFLDWHGZLWKWKH$3WKDWVHQWWKH7ULJJHUIUDPH

WKHQRQ$367$VXSSRUWVWKH825$SURFHGXUHDQGWKHFRQGLWLRQVWKHFRQGLWLRQVLQ 8/ 

 2)'0$EDVHGUDQGRPDFFHVV 825$ DUHVDWLVILHG
 ‡ 7KH$,'VXEILHOGLVWKHQRQ$367$LVQRWDVVRFLDWHGZLWKWKH$3WKDWVHQWWKH7ULJJHU
 IUDPHWKHQRQ$367$VXSSRUWVWKH825$SURFHGXUHWKHFRQGLWLRQVLQ 8/2)'0$
 EDVHGUDQGRPDFFHVV 825$ DUHVDWLVILHGDQGWKHUHVRXUFHWKDWWKHQRQ$367$JDLQVDFFHVV

WRLVVXIILFLHQWIRUWKHQRQ$367$WRLQFOXGHWKHSHQGLQJIUDPH

 ² 7KH &6 5HTXLUHG VXEILHOG LQ WKH 7ULJJHU IUDPH LV  DQG WKH 8/ 08 &6 FRQGLWLRQ GHVFULEHG LQ

  8/08&6PHFKDQLVP LQGLFDWHVWKHPHGLXPLVLGOHRUWKH&65HTXLUHGVXEILHOGLQD
 7ULJJHUIUDPHLVRUWKHUHVSRQVHZDVVROLFLWHGE\DIUDPHFRQWDLQLQJD756&RQWUROVXEILHOG

 ² 7KH8/08'LVDEOHVXEILHOGLVDQGWKH8/08'DWD'LVDEOHVXEILHOGLVLQWKHPRVWUHFHQW20 
 &RQWUROVXEILHOG LIDQ\ VHQWE\WKHQRQ$367$WRWKH$3RUWKH8/08'LVDEOHVXEILHOGLVDQG 
 WKH8/08'DWD'LVDEOHVXEILHOGLVLQWKHPRVWUHFHQW20&RQWUROVXEILHOG LIDQ\ VHQWE\WKH


QRQ$3 67$ WR WKH $3 DQG WKH IUDPH WKDW LV EHLQJ WULJJHUHG LV DQ DFNQRZOHGJPHQW VHH 
 7UDQVPLWRSHUDWLQJPRGH 720 LQGLFDWLRQ 

 $QRQ$367$DGGUHVVHGE\D8VHU,QIRILHOGLQD7ULJJHUIUDPH LHWKH$,'VXEILHOGLVHTXDOWRWKH
 /6%VRIWKH$,'RIWKHQRQ$367$ PD\LJQRUHWKHUHPDLQGHURI8VHU,QIRILHOGVLQWKH7ULJJHUIUDPH


 $QRQ$367$JHQHUDWHVWKH$03'8FDUULHGLQWKH+(7%33'8DVGHILQHGLQ $03'8FRQ
 WHQWVLQDQ+(7%33'8 

 &RQGLWLRQVIRUQRWUHVSRQGLQJZLWKDQ+(7%33'8


 $QRQ$367$VKDOOQRWWUDQVPLWDQ+(7%33'8WKDWLVQRWDQ+(7%IHHGEDFN1'3LIDOOWKHIROORZLQJ

 FRQGLWLRQVDUHVDWLVILHG

² 7KHQRQ$367$LVRSHUDWLQJLQDQRSHUDWLQJFODVVIRUZKLFKWKHEHKDYLRUOLPLWVVHWOLVWHGLQ$QQH[


 (LQFOXGHVWKH')6BBB%HKDYLRU VHH7DEOH( 
 ² 7KH+(7%33'8ZRXOGEHLQUHVSRQVHWRRQHRIWKHIROORZLQJ

 ‡ $7ULJJHUIUDPHFRQWDLQLQJD8VHU,QIRILHOGZLWK$,'VXEILHOGFDUU\LQJWKH/6%VRIWKH
 $,'RIWKH67$
 ‡ $IUDPHDGGUHVVHGWRWKHQRQ$367$WKDWLQFOXGHVD756&RQWUROVXEILHOG
 ‡ $7ULJJHUIUDPHWKDWDOORFDWHVDWOHDVWRQH5$58

 ² 7KH58LVDWRQH58
 ² ,IWKHQRQ$367$KDVUHFHLYHGDWOHDVWRQH%HDFRQIUDPHZLWKLQWKHSDVWGRW2EVV1E5X7ROHUDQ


FH7LPHIURPDQ$3ZLWKZKLFKWKHQRQ$367$LVQRWDVVRFLDWHGDQGWKH%HDFRQIUDPHPHHWVDQ\ 
 RIWKHIROORZLQJFRQGLWLRQV
 ‡ 7KH([WHQGHG&DSDELOLWLHVHOHPHQWLVQRWSUHVHQW
 ‡ 7KH2%661DUURZ%DQGZLGWK58,Q2)'0$7ROHUDQFH6XSSRUWILHOGLQWKH([WHQGHG&DSDELO

 LWLHVHOHPHQWLVQRWSUHVHQW
 ‡ 7KH2%661DUURZ%DQGZLGWK58,Q2)'0$7ROHUDQFH6XSSRUWILHOGLQWKH([WHQGHG&DSDELO
 LWLHVHOHPHQWLV


$QRQ$367$PD\FKRRVHWRQRWUHVSRQGWRD7ULJJHUIUDPHWKDWFRQWDLQVRQHRUPRUHVXEILHOGVLQWKH

 &RPPRQ,QIRILHOGRULQWKH8VHU,QIRILHOGDGGUHVVHGWRRUVHOHFWHGE\WKHQRQ$367$ZLWKYDOXHVWKDWDUH
 QRWUHFRJQL]HGQRWVXSSRUWHGRUFDQQRWEHVDWLVILHGE\WKHQRQ$367$

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 127(²7KH8VHU,QIRILHOGLQWKLVFRQWH[WFRUUHVSRQGVWRWKHRQHGLUHFWHGWRWKHQRQ$367$ LHYDOXHLQWKH$,' 
 VXEILHOGPDWFKHVWKH67$¶V$,' RUWKHRQHDOORFDWLQJDQ5$58 VLQJOHRUZLWKLQDFRQWLJXRXVVHW WKDWLVVHOHFWHGE\

 WKHQRQ$367$

 $QRQ$367$PD\FKRRVHWRQRWUHVSRQGD756&RQWUROVXEILHOGLQDIUDPHDGGUHVVHGWRWKHQRQ$367$ 


LI WKH 756 &RQWURO VXEILHOG FRQWDLQV RQH RU PRUH VXEILHOGV ZLWK YDOXHV WKDW DUH QRW UHFRJQL]HG QRW VXS
 SRUWHG RU FDQQRW EH VDWLVILHG E\ WKH QRQ$3 67$ $ QRQ$3 67$ VKDOO XSGDWH WKH LQWUD%66 1$9 VHH
  8SGDWLQJWZR1$9V EDVHGRQWKHGXUDWLRQLQIRUPDWLRQRIWKH7ULJJHUIUDPHRUIUDPHFRQWDLQLQJ
 756&RQWUROVXEILHOGHYHQLILWGHFLGHVWRQRWUHVSRQGWRWKHIUDPH


 7;9(&725SDUDPHWHUVIRU+(7%33'8UHVSRQVHWR7ULJJHUIUDPH

 $ QRQ$3 67$ WUDQVPLWWLQJ DQ +( 7% 33'8 LQ UHVSRQVH WR D 7ULJJHU IUDPH VKDOO VHW WKH 7;9(&725

 SDUDPHWHUVDVIROORZV

 ² 7KH)250$7SDUDPHWHULVVHWWR+(B7%

² 7KH75,**(5B0(7+2'SDUDPHWHULVVHWWR75,**(5B)5$0(

 ² 7KH7;23B'85$7,21SDUDPHWHULVVHWDVGHILQHGLQ 7;23B'85$7,21 

 ² 7KH%66B&2/25SDUDPHWHULVVHWDVIROORZV
 ‡ ,I WKH7ULJJHU IUDPH ZDV UHFHLYHG LQ DQ +( 33'8 WKHQ VHW WR WKH YDOXH RI WKH 5;9(&725

 SDUDPHWHU%66B&2/25RIWKH+(33'8

 ‡ ,IWKH7ULJJHUIUDPHZDVUHFHLYHGLQDQRQ+(33'8WKHQVHWWRWKHYDOXHRIWKHDFWLYH%66 
 FRORUDVGHILQHGLQ %66B&2/25 

² 7KH/B/(1*7+SDUDPHWHULVVHWWRWKHYDOXHLQGLFDWHGE\WKH8//HQJWKVXEILHOGLQWKH&RPPRQ


 ,QIRILHOGRIWKH7ULJJHUIUDPH
 ² 7KH*,B7<3(DQG+(B/7)B7<3(SDUDPHWHUVDUHVHWWRWKHYDOXHLQGLFDWHGE\WKH*,DQG+(/7)


7\SHVXEILHOGRIWKH&RPPRQ,QIRILHOGRIWKH7ULJJHUIUDPH

 ² 7KH180B676SDUDPHWHULVVHWWRWKHQXPEHURIVSDFHWLPHVWUHDPVLQGLFDWHGE\WKH1XPEHU2I
 6SDWLDO6WUHDPVVXEILHOGRIWKH66$OORFDWLRQILHOGRIWKH8VHU,QIRILHOGDQG8/67%&VXEILHOGLQ 
 WKH&RPPRQ,QIRILHOGRI WKH 7ULJJHU IUDPH 7KH180B676 SDUDPHWHULVVHW WR  LIWKH +(7%


 33'8LVVHQWRQDQ5$58IROORZLQJWKH825$SURFHGXUH
 ² 7KH&+B%$1':,'7+SDUDPHWHULVVHWWRWKHYDOXHRIWKH8/%:VXEILHOGLQWKH&RPPRQ,QIR

 ILHOGRIWKH7ULJJHUIUDPH

 ² 7KH+(B/7)B02'(SDUDPHWHULVVHWWRWKHYDOXHLQGLFDWHGE\WKH080,02+(/7)0RGHVXE
 ILHOGRIWKH&RPPRQ,QIRILHOGRIWKH7ULJJHUIUDPH

 ² 7KH180B+(B/7)SDUDPHWHULVVHWWRWKHYDOXHLQGLFDWHGE\WKH1XPEHU2I+(/7)6\PEROV$QG
 0LGDPEOH3HULRGLFLW\VXEILHOGRIWKH&RPPRQ,QIRILHOGRIWKH7ULJJHUIUDPH

 ² 7KH67%&SDUDPHWHULVVHWWRWKHYDOXHLQGLFDWHGE\WKH8/67%&VXEILHOGRIWKH&RPPRQ,QIR

 ILHOGRIWKH7ULJJHUIUDPH
 ² 7KH/'3&B(;75$B6<0%2/SDUDPHWHULVVHWWRWKHYDOXHLQGLFDWHGE\WKH/'3&([WUD6\PERO


6HJPHQWVXEILHOGRIWKH&RPPRQ,QIRILHOGRIWKH7ULJJHUIUDPH
 ² 7KH63$7,$/B5(86(SDUDPHWHULVVHWWRWKHYDOXHRIWKH8/6SDWLDO5HXVHVXEILHOGLQWKH&RP
 PRQ,QIRILHOGRIWKHHOLFLWLQJ7ULJJHUIUDPH

 ² 7KH'233/(5SDUDPHWHULVVHWWRWKHYDOXHRIWKH'RSSOHUVXEILHOGLQWKH&RPPRQ,QIRILHOGRIWKH
 7ULJJHUIUDPH

 ² 7KH0,'$0%/(B3(5,2',&,7<SDUDPHWHULVSUHVHQWLIWKH'RSSOHUVXEILHOGLQWKH&RPPRQ,QIR 
 ILHOGRIWKH7ULJJHUIUDPHLV,ISUHVHQWLWLVVHWWRWKHYDOXHLQGLFDWHGE\WKH1XPEHU2I+(/7)

 6\PEROV$QG0LGDPEOH3HULRGLFLW\VXEILHOGLQWKH&RPPRQ,QIRILHOGRIWKH7ULJJHUIUDPH

 ² 7KH+(B6,*B$B5(6(59('SDUDPHWHULVVHWWRWKHYDOXHRIWKH8/+(6,*$5HVHUYHGVXE
 ILHOGLQWKH&RPPRQ,QIRILHOGRIWKH7ULJJHUIUDPH

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ² 7KH0&6SDUDPHWHULVVHWWRWKHYDOXHRIWKH8/+(0&6VXEILHOGLQWKH8VHU,QIRILHOGRIWKH7ULJ
 JHUIUDPH

 ² 7KH'&0SDUDPHWHULVVHWWRWKHYDOXHLQGLFDWHGE\WKH8/'&0VXEILHOGRIWKH8VHU,QIRILHOGRI
 WKH7ULJJHUIUDPH

² 7KH67$57,1*B676B180SDUDPHWHULVVHWWRWKHYDOXHRIWKH6WDUWLQJ6SDWLDO6WUHDPVXEILHOGLQ 

 WKH 66 $OORFDWLRQ ILHOG LQ WKH 8VHU ,QIR ILHOG RI WKH 7ULJJHU IUDPH 7KH 67$57,1*B676B180

 SDUDPHWHULVVHWWRLIWKH+(7%33'8LVVHQWRQDQ5$58IROORZLQJWKH825$SURFHGXUH
 ² 7KH)(&B&2',1*SDUDPHWHULVVHWWRWKHYDOXHLQGLFDWHGE\WKH8/)(&&RGLQJ7\SHVXEILHOGRI

 WKH8VHU,QIRILHOGRIWKH7ULJJHUIUDPH
 ² 7KH58B$//2&$7,21SDUDPHWHULVVHWDVIROORZV

 ‡ ,IWKH58LVQRWDQ5$58RUDQ5$58ZLWK1XPEHU2I5$58VXEILHOGRIWKH8VHU,QIRVXE
 ILHOGRIWKH7ULJJHUIUDPHVHWWRLWLVVHWWRWKHYDOXHLQGLFDWHGE\WKH58$OORFDWLRQVXEILHOGRI
 WKH8VHU,QIRVXEILHOGRIWKH7ULJJHUIUDPH
 ‡ ,IWKH58LVWKHkWK58RIDVHWRIFRQWLJXRXV5$58VVWDUWLQJZLWKDQ5$58ZLWK1XPEHU2I
 5$58VXEILHOGRIWKH8VHU,QIRVXEILHOGRIWKH7ULJJHUIUDPHVHWWRDQRQ]HURYDOXHLWLVVHWWR 

 WKHYDOXHLQGLFDWHGE\WKH58$OORFDWLRQVXEILHOGRIWKHFRUUHVSRQGLQJ8VHU,QIRVXEILHOGRIWKH
 7ULJJHUIUDPHSOXVkPLQXV
 ² 7KH 7;3:5B/(9(/B,1'(; SDUDPHWHU LV VHW WR D YDOXH EDVHG RQ WKH FRPSXWHG WUDQVPLVVLRQ



SRZHU VHH 3RZHUSUHFRUUHFWLRQ IRUDQ+(7%33'8DQGWKHYDOXHRIWKH$37[3RZHU
 VXEILHOGLQWKH&RPPRQ,QIRILHOGDQGWKH8/7DUJHW566,VXEILHOGLQWKH8VHU,QIRILHOGRIWKH
 7ULJJHUIUDPH
 ² 7KH+(B7%B3(B',6$0%,*8,7<SDUDPHWHULVVHWWRWKHYDOXHLQGLFDWHGE\WKH3('LVDPELJXLW\


 VXEILHOGLQWKH&RPPRQ,QIRILHOGLQWKH7ULJJHUIUDPH

 7;9(&725SDUDPHWHUVIRU+(7%33'8UHVSRQVHWR756&RQWUROVXEILHOG


$QRQ$367$WUDQVPLWWLQJDQ+(7%33'8LQUHVSRQVHWRDIUDPHFRQWDLQLQJD756&RQWUROVXEILHOGVKDOO

 VHWWKH7;9(&725SDUDPHWHUVDVIROORZV
 ² 7KH)250$7SDUDPHWHULVVHWWR+(B7%

 ² 7KH75,**(5B0(7+2'SDUDPHWHULVVHWWR756
 ² 7KH/B/(1*7+SDUDPHWHULVFRPSXWHGDVGHVFULEHGLQ(TXDWLRQ  XVLQJWKH7;7,0(YDOXH
 7KH7;7,0(LV GHILQHG E\ (TXDWLRQ   ZKHUH NSYMLVVHW WR FVAL ZKHUH FVAL LV WKH

 YDOXHRIWKH8/'DWD6\PEROVVXEILHOGRIWKH756&RQWUROVXEILHOG
 ² 7KH58B$//2&$7,21DQG0&6SDUDPHWHUVDUHVHWWRWKHYDOXHVRIWKH58$OORFDWLRQDQG8/

 +(0&6VXEILHOGVRIWKH756&RQWUROVXEILHOGUHVSHFWLYHO\

 ² 7KH&+B%$1':,7'7+SDUDPHWHULVVHWWRWKHYDOXHRIWKH5;9(&725SDUDPHWHU&+B%$1'
 :,'7+RIWKHVROLFLWLQJ'/+(33'8 VHH7DEOH 7;9(&725DQG5;9(&725SDUDPH
 WHUV

 ² 7KH%66B&2/25DQG'&0SDUDPHWHUVDUHVHWWRWKHYDOXHVRIWKH5;9(&725SDUDPHWHUV%66B
 &2/25DQG'&0RIWKHVROLFLWLQJ'/+(33'8UHVSHFWLYHO\
 ² 7KH'233/(5SDUDPHWHULVVHWWRDQGWKH0,'$0%/(B3(5,2',&,7<SDUDPHWHULVDEVHQW

 ² 7KH180B+(B/7)SDUDPHWHULVVHWWR
 ² 7KH67$57,1*B676B180SDUDPHWHULVVHWWR

 ² 7KH+(B/7)B02'(DQG67%&SDUDPHWHUVDUHVHWWRDQGWKH180B676SDUDPHWHULVVHWWR

² 7KH )(&B&2',1* SDUDPHWHU LV VHW WR  LI WKH 58 $OORFDWLRQ VXEILHOG LQGLFDWHV DQ 58 WKDW LV

 VPDOOHUWKDQDWRQH58RWKHUZLVHVHWWR
 ² 7KH/'3&B(;75$B6<0%2/SDUDPHWHULVQRWSUHVHQWLIWKH58$OORFDWLRQVXEILHOGLQGLFDWHVOHVV
 WKDQDWRQH58RWKHUZLVHVHWWR

 ² 7KH63$7,$/B5(86(SDUDPHWHULVVHWWR365B$1'B121B65*B2%66B3'B352+,%,7('

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ² 7KH '()$8/7B3(B'85$7,21 SDUDPHWHU LV VHW WR WKH GHIDXOW 3( GXUDWLRQ YDOXH IRU 8/ 08

 UHVSRQVHVFKHGXOLQJZKLFKLVLQGLFDWHGE\WKH$3LQWKH'HIDXOW3('XUDWLRQVXEILHOGRIWKH+(

2SHUDWLRQHOHPHQWLWWUDQVPLWV

 ² 7KH7;23B'85$7,21SDUDPHWHULVVHWDVGHILQHGLQ 7;23B'85$7,21

 ² 7KH+(B6,*B$B5(6(59('SDUDPHWHULVVHWWR DOOV

 ² ,IWKH5;9(&725SDUDPHWHUV+(B/7)B7<3(DQG*,B7<3(RI+(0833'8FDUU\LQJWKHIUDPH
 ZLWKWKH756&RQWUROVXEILHOGDUHHLWKHU[+(/7)DQGXVB*,UHVSHFWLYHO\RU[+(/7)DQG

 XVB*,UHVSHFWLYHO\WKHQWKH+(B/7)B7<3(DQG*,B7<3(SDUDPHWHUVDUHVHWWR[+(/7)DQG 
 XVB*,UHVSHFWLYHO\2WKHUZLVHWKH+(B/7)B7<3(DQG*,B7<3(SDUDPHWHUVDUHVHWWR[+(

/7)DQGXVB*,UHVSHFWLYHO\

 ² 7KH 7;3:5B/(9(/B,1'(; SDUDPHWHU LV VHW WR D YDOXH EDVHG RQ WKH FRPSXWHG WUDQVPLVVLRQ
 SRZHU VHH 3RZHUSUHFRUUHFWLRQ IRUDQ+(7%33'8DQGWKHYDOXHRIWKH$37[3RZHU

 VXEILHOGRIWKH756&RQWUROVXEILHOGDQGWKH8/7DUJHW566,VXEILHOGRIWKH756&RQWUROVXEILHOG

 127(²$QRQ$367$WUDQVPLWWLQJDQ+(7%33'8LQUHVSRQVHWRDIUDPHFDUU\LQJD756&RQWUROVXEILHOGFRQVLG
 HUVERWKSK\VLFDO&6DQGYLUWXDO&6WREH VHH 8/08&6PHFKDQLVP 

127( ²7KH RQO\ SHUPLVVLEOH YDOXHV IRU &+B%$1':,'7+ DUH &%: &%: &%: &%: DQG


&%:LIWKHVROLFLWLQJ33'8LVDQ+(6833'8RU+(0833'87KHRQO\SHUPLVVLEOHYDOXHIRU&+B%$1'

:,'7+LV&%:LIWKHVROLFLWLQJ33'8LVDQ+((56833'8


 5$ILHOGIRUIUDPHVFDUULHGLQDQ+(7%33'8


 7KH5$ILHOGRIWKHIUDPHVVHQWLQUHVSRQVHWRD085767ULJJHUIUDPHLVVHWDVGHILQHGLQ &76 
 IUDPHIRUPDW 7KH5$ILHOGRIWKHIUDPHVVHQWLQUHVSRQVHRID*&508%$57ULJJHUIUDPHRU08%$5 
 7ULJJHUIUDPHLVVHWDVGHILQHGLQ %ORFN$FNIUDPHIRUPDW 7KH5$ILHOGRIWKH4R61XOOIUDPHV
 4R6 'DWD IUDPHV DQG 0DQDJHPHQW IUDPHV VHQW LQ UHVSRQVH WR D 7ULJJHU IUDPH VKDOO EH VHW WR WKH 0$&

 DGGUHVV RI WKH GHVWLQDWLRQ $3 VHH  )RUPDW RI 'DWD IUDPHV  DQG  )RUPDW RI 0DQDJHPHQW

 IUDPHV 7KH5$ILHOGRID4R61XOOIUDPHRU$FWLRQ1R$FNIUDPHVHQWLQUHVSRQVHWRDIUDPHFDUU\LQJ 
 756&RQWUROVXEILHOGVKDOOEHWKH0$&DGGUHVVRIWKHGHVWLQDWLRQ$3 VHH )RUPDWRI'DWDIUDPHV 
 DQG )RUPDWRI0DQDJHPHQWIUDPHV 

 127(²,IGRW0XOWL%66,',PSOHPHQWHGLVWUXHDQGWKH7$ILHOGRIWKHVROLFLWLQJ7ULJJHUIUDPHFRQWDLQVWKHWUDQV
 PLWWHG%66,'WKHGHVWLQDWLRQ$3LVWKH%66,'WRZKLFKWKHQRQ$367$LQWHQGVWRVHQGWKHIUDPH

 127(²$OO03'8VZLWKLQDQ$03'8FDUULHGLQDQ+(7%33'8KDYHWKHVDPH5$ VHH $03'8FRQ
 WHQWV 7KHVHWWLQJVRIWKHDGGUHVVILHOGVRI03'8VZLWKLQWKH$03'8GHSHQGRQWKHW\SHDQGVXEW\SHRIWKH03'8

 DVGHILQHGLQ )RUPDWRILQGLYLGXDOIUDPHW\SHV 

 $03'8FRQWHQWVLQDQ+(7%33'8


 $QRQ$367$WKDWUHFHLYHVDWULJJHULQJIUDPHRWKHUWKDQDQ085767ULJJHUIUDPHRUDQ1)537ULJJHU
 IUDPHDQGWKDWWUDQVPLWVDQ+(7%33'8UHVSRQVHVKDOOIROORZWKH$03'8SDGGLQJSURFHGXUHGHVFULEHG
 LQ $03'8SDGGLQJLQDQ+(7%33'8 DQGFRQVWUXFWWKH$03'8FDUULHGLQWKH+(7%33'8 

 DVGHVFULEHGEHORZSURYLGHGWKH$3DOORFDWHVVXIILFLHQWUHVRXUFHVIRUWKHQRQ$367$WRLQFOXGH03'8 V 
 LQ WKH $03'8 2WKHUZLVH WKH QRQ$3 67$ LV QRW UHTXLUHG WR LQFOXGH 03'8V LQ WKH $03'8 DQG
 LQFOXGHVRQO\SDGGLQJLQWKH$03'8

 127(²7KHUHVSRQVHVWRD085767ULJJHUIUDPHDQGD1)537ULJJHUIUDPHDUHH[HPSWIURPWKHVHFRQVWUXFWLRQUXOHV
 VLQFH WKH 08576 7ULJJHU IUDPH GRHV QRW VROLFLW DQ +( 7% 33'8 DQG WKH 1)53 7ULJJHU IUDPH VROLFLWV DQ +( 7%

 33'8WKDWGRHVQRWFDUU\DQ$03'8


$QRQ$367$VKDOOIROORZWKHUXOHVLQ $GGLWLRQDOFRQVLGHUDWLRQVIRUXQDVVRFLDWHG67$V WRFRQ

 VWUXFWDQ+(7%33'8LQUHVSRQVHWRD7ULJJHUIUDPHIURPDQ$3ZLWKZKLFKLWLVQRWDVVRFLDWHGDQGWKDW
 DOORFDWHV5$58VIRUXQDVVRFLDWHG67$V

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $QRQ$367$WKDWUHVSRQGVWRD'/0833'8FRQWDLQLQJRQHRUPRUHIUDPHVDGGUHVVHGWRLWWKDWLQFOXGH
 D756&RQWUROVXEILHOGIROORZVWKHUXOHVGHILQHGLQ $FNQRZOHGJPHQWSURFHGXUH IRUJHQHUDWLQJ

WKH$FNIUDPHWKHUXOHVGHILQHGLQ *HQHUDWLRQDQGWUDQVPLVVLRQRI%ORFN$FNIUDPHVE\DQ+7 

 67$RU'0*67$ IRUJHQHUDWLQJWKH%ORFN$FNIUDPHDQGWKHUXOHVGHILQHGLQ +(DFNQRZOHGJPHQW
 SURFHGXUH IRUJHQHUDWLQJWKH0XOWL67$%ORFN$FNIUDPHLIDWOHDVWRQHRIWKHUHFHLYHG03'8VVROLFLWVDQ
 LPPHGLDWHDFNQRZOHGJPHQW7KHFRQWHQWVRIWKH$03'8FDUULHGLQWKH+(7%33'8VKDOOEHDVGHILQHG 
 LQ

 ² 7DEOH $03'8 FRQWHQWV LQ WKH FRQWURO UHVSRQVH FRQWH[W  LI DW OHDVW RQH RI WKH UHFHLYHG
 03'8VVROLFLWVDQLPPHGLDWHDFNQRZOHGJPHQW

 ² 7DEOH $03'8FRQWHQWVLQWKHGDWDHQDEOHGQRLPPHGLDWHUHVSRQVHFRQWH[W ZLWKWKHH[FHS
 WLRQWKDWWKH$03'8GRHVQRWFRQWDLQ4R6'DWDIUDPHVLIQRQHRIWKHUHFHLYHG03'8VVROLFLWDQ

 LPPHGLDWHDFNQRZOHGJPHQW

 127(²7KHQRQ$367$DGGLWLRQDOO\IROORZVWKHUXOHVLQ '\QDPLFIUDJPHQWDWLRQ LIIUDJPHQWVDUHSUHVHQWLQ

 WKHVROLFLWLQJ$03'8

 127( ²$Q $3 PLJKW WUDQVPLW DQ +( 08 33'8 ZLWK DQ 58 DOORFDWHG WR 67$,'  ZLWK DQ $03'8 WKDW
 LQFOXGHVD0DQDJHPHQWIUDPHDGGUHVVHGWRDQXQDVVRFLDWHGQRQ$367$WKDWVROLFLWVDQDFNQRZOHGJPHQWDQGWKDWFDU
 ULHVD756&RQWUROVXEILHOG7KH756&RQWUROVXEILHOGDOORFDWHVUHVRXUFHVIRUWKHXQDVVRFLDWHGQRQ$367$WRUHVSRQG

 ZLWKDQ+(7%33'8WKDWFDUULHVWKHDFNQRZOHGJPHQW

 $Q DVVRFLDWHG QRQ$367$WKDWUHVSRQGVWRD%DVLF 7ULJJHU IUDPHDGGUHVVHG WRLWVKDOOFRQVWUXFWWKH$

 03'8FDUULHGLQWKH+(7%33'8DVGHILQHGLQWKHIROORZLQJ
 ² 7DEOH $03'8FRQWHQWVLQWKHFRQWUROUHVSRQVHFRQWH[W LIWKH7ULJJHUIUDPHLVFRQWDLQHGLQ


DQ$03'8DQGWKHQRQ$367$UHFHLYHGLQWKHVDPH$03'8DWOHDVWRQH03'8WKDWVROLFLWVDQ 

 LPPHGLDWHDFNQRZOHGJPHQW7KH7,'$JJUHJDWLRQ/LPLWILHOGRIWKH8VHU,QIRILHOGDGGUHVVHGWRWKH
 QRQ$367$PD\KDYHDQ\YDOXH

 ² 7DEOH $03'8FRQWHQWVLQWKHGDWDHQDEOHGQRLPPHGLDWHUHVSRQVHFRQWH[W ZLWKWKHH[FHS
 WLRQWKDWWKH$03'8GRHVQRWFRQWDLQ4R6'DWDIUDPHVLIWKH7ULJJHUIUDPHLVHLWKHUQRWFDUULHGLQ

 DQ$03'8RULVFDUULHGLQDQ$03'8EXWWKHQRQ$367$UHFHLYHVQRRWKHU03'8VWKDWVROLFLW
 DQLPPHGLDWHDFNQRZOHGJPHQW7KH7,'$JJUHJDWLRQ/LPLWILHOGRIWKH8VHU,QIRILHOGDGGUHVVHGWR
 WKHQRQ$367$PD\KDYHDQ\YDOXH

 ² 7DEOH $03'8FRQWHQWVLQWKH603'8FRQWH[W ZLWKWKHIROORZLQJUHVWULFWLRQV

 ‡ 7KH 603'8 VKDOO EH D FRQWURO UHVSRQVH IUDPH LI WKH QRQ$3 67$ UHFHLYHG LQ WKH VDPH$
 03'8DWOHDVWRQH03'8WKDWVROLFLWVDQLPPHGLDWHDFNQRZOHGJPHQW7KH7,'$JJUHJDWLRQ 
 /LPLWILHOGRIWKH8VHU,QIRILHOGDGGUHVVHGWRWKHQRQ$367$PD\KDYHDQ\YDOXH


‡ 7KH603'8PD\EHD0XOWL7,'%ORFN$FN5HTIUDPHSURYLGHGWKDWWKHQXPEHURI7,'VSUHV
 HQWLQWKH0XOWL7,'%ORFN$FN5HTIUDPHGRHVQRWH[FHHGWKH7,'DJJUHJDWLRQOLPLWLQGLFDWHG 
 E\WKH7,'$JJUHJDWLRQ/LPLWILHOGRIWKH8VHU,QIRILHOGDGGUHVVHGWRWKHQRQ$367$
 ‡ 7KH603'8PD\EHD4R6'DWD4R61XOO0DQDJHPHQW%ORFN$FN5HTRU363ROOIUDPHLI


WKH7,'$JJUHJDWLRQ/LPLWILHOGRIWKH8VHU,QIRILHOGDGGUHVVHGWRWKHQRQ$367$LVJUHDWHU
 WKDQ
 ‡ 2WKHUZLVH WKH 603'8 VKDOO EH D 4R6 'DWD 4R6 1XOO RU 0DQDJHPHQW IUDPH WKDW GRHV QRW
 VROLFLWDQLPPHGLDWHDFNQRZOHGJPHQW

 ² 7DEOHD $03'8FRQWHQWVLQWKH+(QRQDFNHQDEOHGVLQJOH7,'LPPHGLDWHUHVSRQVHFRQ
 WH[W RU7DEOHF $03'8FRQWHQWVLQWKH+(QRQDFNHQDEOHGPXOWL7,'LPPHGLDWHUHVSRQVH
 FRQWH[W LIWKH7,'$JJUHJDWLRQ/LPLWILHOGRIWKH8VHU,QIRILHOGDGGUHVVHGWRWKHQRQ$367$LQ

 WKH 7ULJJHU IUDPH LV JUHDWHU WKDQ  DQG WKH QRQ$3 67$ LQWHQGV WR FDUU\ RQH RU PRUH QRQ(2)

 03'8V VHH $03'8RSHUDWLRQ DQG 1RQDFNHQDEOHGPXOWL7,'$03'8RSHU
 DWLRQ 7KH$03'8LVVXEMHFWWRWKHIROORZLQJUHVWULFWLRQV

 ‡ ,WVKDOOFRQWDLQDFRQWUROUHVSRQVHIUDPHLIWKHQRQ$367$UHFHLYHGLQWKHVDPH$03'8DW
 OHDVWRQH03'8WKDWVROLFLWVDQLPPHGLDWHDFNQRZOHGJPHQW

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ‡ 7KHQXPEHURI7,'VSUHVHQWLQWKH$03'8VKDOOFRXQWWRZDUGVUHDFKLQJWKH7,'DJJUHJDWLRQ 
 OLPLWLQGLFDWHGE\WKH7,'$JJUHJDWLRQ/LPLWILHOGRIWKH8VHU,QIRILHOGDGGUHVVHGWRWKHQRQ$3


67$LQWKH7ULJJHUIUDPH

 ² 7DEOHE $03'8FRQWHQWVLQWKH+(DFNHQDEOHGVLQJOH7,'LPPHGLDWHUHVSRQVHFRQWH[W RU
 7DEOHG $03'8FRQWHQWVLQWKH+(DFNHQDEOHGPXOWL7,'LPPHGLDWHUHVSRQVHFRQWH[W LI

WKH7,'$JJUHJDWLRQ/LPLWILHOGRIWKH8VHU,QIRILHOGDGGUHVVHGWRWKHQRQ$367$LQWKH7ULJJHU

 IUDPHLVJUHDWHUWKDQDQGWKHQRQ$367$LQWHQGVWRFDUU\DQDFNHQDEOHGVLQJOH7,'$03'8 
 VHH *HQHUDO DQG $FNHQDEOHGPXOWL7,'$03'8RSHUDWLRQ 7KH$03'8LV
 VXEMHFWWRWKHIROORZLQJUHVWULFWLRQV

 ‡ ,WVKDOOFRQWDLQDFRQWUROUHVSRQVHIUDPHLIWKHQRQ$367$UHFHLYHVDWOHDVWDQRWKHU03'8WKDW
 VROLFLWVDQLPPHGLDWHDFNQRZOHGJPHQW
 ‡ 7KHQXPEHURI7,'VSUHVHQWLQWKH$03'8LQHLWKHU4R6'DWDRU%ORFN$FN5HTIUDPHVVKDOO
 FRXQW WRZDUGV UHDFKLQJ WKH 7,' DJJUHJDWLRQ OLPLW WKDW LV REWDLQHG IURP WKH 7,'$JJUHJDWLRQ


 /LPLWILHOGRIWKH8VHU,QIRILHOGDGGUHVVHGWRWKHQRQ$367$LQWKH7ULJJHUIUDPH

 $QRQ$367$VKDOOIROORZWKHUXOHVLQ $GGLWLRQDOFRQVLGHUDWLRQVIRUXQDVVRFLDWHG67$V WRFRQ
 VWUXFWDQ+(7%33'8LQUHVSRQVHWRD7ULJJHUIUDPHIURPDQ$3ZLWKZKLFKLWLVQRWDVVRFLDWHGDQGWKDW


DOORFDWHV5$58VIRUXQDVVRFLDWHG67$V

 ,IWKHDVVRFLDWHGQRQ$367$KDVQRIUDPHVSHQGLQJRULVXQDEOHWRLQFOXGHSHQGLQJIUDPHVLQUHVSRQVHWRD
 %DVLF7ULJJHUIUDPHEHFDXVHWKHDOORFDWHGUHVRXUFHLVLQVXIILFLHQWWKHQWKHDVVRFLDWHGQRQ$367$VKDOO
 LQFOXGHLQWKH$03'8DWOHDVWRQH4R61XOOIUDPHLIWKHDOORFDWHGUHVRXUFHLVVXIILFLHQWIRUFRQWDLQLQJD

 4R61XOOIUDPH

127(²7KHQRQ$367$FDQWUDQVPLWRQH4R61XOOIUDPHDVGHILQHGLQ7DEOH $03'8FRQWHQWVLQWKH6

03'8FRQWH[W RURQHRUPRUH4R61XOOIUDPHVDVGHILQHGLQ7DEOH $03'8FRQWHQWVLQWKHGDWDHQDEOHGQR

LPPHGLDWHUHVSRQVHFRQWH[W 


 $QRQ$367$WKDWUHVSRQGVWRD%)537ULJJHUIUDPHDGGUHVVHGWRLWVKDOOFRQVWUXFWDQ$03'8FDUULHGLQ

 WKH+(7%33'8ZLWKRQHRUPRUH+(&RPSUHVVHG%HDPIRUPLQJ&4,IUDPHV VHH +(VRXQGLQJSUR
 WRFRO RWKHUIUDPHVVKDOOQRWEHDOORZHGLQWKH$03'8


 127(²,WLVQRWDOZD\VSRVVLEOHWRIUDJPHQWDQ+(FRPSUHVVHGEHDPIRUPLQJ&4,UHSRUW VHH 5XOHVIRUJHQHU
 DWLQJ VHJPHQWHG IHHGEDFN  ,I WKH OHQJWK LV LQVXIILFLHQW WR FRQWDLQ WKH +( FRPSUHVVHG EHDPIRUPLQJ&4, UHSRUW
 UHTXHVWHGE\D%)537ULJJHUIUDPHQRIHHGEDFNLVVHQW

 $QRQ$367$WKDWUHVSRQGVWRDQ08%$57ULJJHUIUDPHDGGUHVVHGWRLWVKDOOFRQVWUXFWWKH$03'8FDU

ULHGLQWKH+(7%33'8DVGHILQHGLQ7DEOH $03'8FRQWHQWVLQWKHFRQWUROUHVSRQVHFRQWH[W 7KH

 QRQ$367$LQFOXGHVHLWKHUD%ORFN$FNIUDPHRUD0XOWL67$%ORFN$FNIUDPHLQWKH$03'8DVGHILQHG 
 LQ +(DFNQRZOHGJPHQWSURFHGXUH 

 $QRQ$367$WKDWUHVSRQGVWRD*&508%$57ULJJHUIUDPHDGGUHVVHGWRLWVKDOOFRQVWUXFWWKH$03'8

 FDUULHGLQWKH+(7%33'8DVGHILQHGLQ7DEOH $03'8FRQWHQWVLQWKHFRQWUROUHVSRQVHFRQWH[W 
 7KHQRQ$367$LQFOXGHVD*&5%ORFN$FNIUDPHLQWKH$03'8DVGHILQHGLQ *&5DQG*/.
 *&5EORFNDFN 


$QRQ$367$WKDWUHVSRQGVWRD%653RU%4537ULJJHUIUDPHDGGUHVVHGWRLWDQGWKDWLVQRWDJJUHJDWHG 

 ZLWKDQ\03'8VWKDWVROLFLWDQLPPHGLDWHDFNQRZOHGJPHQWVKDOOFRQVWUXFWWKH$03'8FDUULHGLQWKH+( 
 7%33'8DVGHILQHGLQ7DEOH $03'8FRQWHQWVLQWKHGDWDHQDEOHGQRLPPHGLDWHUHVSRQVHFRQWH[W 
 ZLWKWKHH[FHSWLRQWKDWWKH$03'8GRHVQRWFRQWDLQ4R6'DWDIUDPHV7KHQRQ$367$VKDOOLQFOXGHLQ 
 WKH$03'8DWOHDVWRQH4R61XOOIUDPH$QRQ$367$WKDWUHVSRQGVWRD%653RU%4537ULJJHUIUDPH

DGGUHVVHGWRLWDQGWKDWLVDJJUHJDWHGZLWKDWOHDVWRQH03'8WKDWVROLFLWVDQLPPHGLDWHDFNQRZOHGJPHQW

 VKDOOFRQVWUXFWWKH$03'8FDUULHGLQWKH+(7%33'8DVGHILQHGLQ7DEOH $03'8FRQWHQWVLQ
 WKHFRQWUROUHVSRQVHFRQWH[W 

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 127(²7KHIUDPHW\SHRI03'8VPD\EHGLIIHUHQWDFURVV$03'8VZLWKLQWKHVDPH+(7%33'8VXEMHFWWR$
 03'8FRQWH[W

 127(²$QRQ$367$IROORZVWKHUXOHVLQ 0XOWL7,'$03'8DQGDFNHQDEOHGVLQJOH7,'$03'8 IRU
 DJJUHJDWLQJWKH4R6'DWDIUDPHVZLWKPXOWLSOH7,'VLQ+(7%33'8V

 $QRQ$367$PD\VHWGRW+(83+&RQWURO$FWLYDWHGWRIDOVHLIWKHPRVWUHFHQW20&RQWUROILHOGVHQW LI
 DQ\ WRWKH$3KDGWKH8/08'LVDEOHILHOGHTXDOWRRWKHUZLVHWKHQRQ$367$VKDOOVHWGRW+(83+

 &RQWURO$FWLYDWHGWRWUXH

 $67$WKDWWUDQVPLWVDQ+(7%33'8WUDQVPLWVWKHG%YDOXHRILWV8/SRZHUKHDGURRPHRSTALQWKH
 83+ &RQWURO VXEILHOG RI IUDPHV WKDW FDQ FDUU\ DQ +(YDULDQW +7 &RQWURO ILHOG  FDUULHG LQ WKH +( 7%



33'8 WR DVVLVW LQ WKH $3¶V +(0&6 VHOHFWLRQ 7KH 8/ SRZHU KHDGURRP IRU WKH DVVLJQHG +(0&6 LV
 GHILQHGLQ(TXDWLRQ  

 Max STA
 HR STA Tx pwr ± Tx pwr 

 ZKHUH

 Max
Tx pwr UHSUHVHQWVWKHPD[LPXP8/WUDQVPLWSRZHURIDQ+(7%33'8ZLWKWKHDVVLJQHG+(0&6DIWHU

 FRQVLGHULQJKDUGZDUHFDSDELOLW\UHJXODWRU\UHTXLUHPHQWVDQGORFDOPD[LPXPWUDQVPLWSRZHU
 OHYHOV VHH 6SHFLILFDWLRQRIUHJXODWRU\DQGORFDOPD[LPXPWUDQVPLWSRZHUOHYHOV DV
 ZHOODVQRQLQGHYLFHFRH[LVWHQFHUHTXLUHPHQWV

STA
 Tx pwr UHSUHVHQWVWKHFXUUHQW8/WUDQVPLWSRZHURIWKH+(7%33'8IRUWKHDVVLJQHG+(0&6ZKLFKLV


GHWHUPLQHGE\SRZHUFRQWURODQGVXEMHFWWRWKHQRQ$367$¶VFDSDELOLWLHVDQGRWKHUUHTXLUH
 PHQWVDVGHILQHGLQ 3RZHUSUHFRUUHFWLRQ
 HRSTA LV WKH 8/ SRZHU KHDGURRP LQ G% RI WKH +( 7% 33'8 WKH HQFRGLQJ RI ZKLFK LV VSHFLILHG LQ

D 83+&RQWURO 

 127(²,IWKH0LQLPXP7UDQVPLW3RZHU)ODJVXEILHOGLQWKH83+&RQWUROVXEILHOGLVWKHQWKHQRQ$367$LVWUDQV
 STA
 PLWWLQJWKH+(7%33'8DWLWVPLQLPXP Tx pwr IRUWKHDVVLJQHG+(0&67KH8/SRZHUKHDGURRPLVFDOFXODWHGIRU
 WKHDVVLJQHG+(0&6DQGLVLQGHSHQGHQWRI720SDUDPHWHUVSURYLGHGLQDQ\20&RQWUROILHOGFRQWDLQHGLQWKHVDPH
 $&RQWUROILHOG VHH 7UDQVPLWRSHUDWLQJPRGH 720 LQGLFDWLRQ 


 $QRQ$367$VKDOOLQFOXGHDQ+(YDULDQW+7&RQWUROILHOGFRQWDLQLQJWKH83+&RQWUROVXEILHOGLQWKH
 IUDPHVFDUULHGLQWKH$03'8RIWKH+(7%33'8ZLWKWKHIROORZLQJH[FHSWLRQV


² $83+&RQWUROVXEILHOGLVQRWLQFOXGHGLQDQ\IUDPHLIWKHUHPDLQLQJVSDFHLQWKH$03'8DIWHU
 LQFOXVLRQRIVROLFLWHGIUDPHVWKDWFDQQRWFRQWDLQDQ+(YDULDQW+7&RQWUROILHOGLVQRWVXIILFLHQWWR

 FRQWDLQIUDPH V WKDWFRQWDLQDQ+(YDULDQW+7&RQWUROILHOG

 ² $83+&RQWUROVXEILHOGLVQRWLQFOXGHGLQDIUDPHLIWKHRWKHU&RQWUROVXEILHOGVLQWKH+(YDULDQW+7
 &RQWUROILHOGDQGWKHDYDLODEOHVSDFHLQWKH+(YDULDQW+7&RQWUROILHOGRWKHUWKDQ&RQWUROVXEILHOGV
 ZLWKD&RQWURO,'VXEILHOGHTXDOWRDUHLQFOXGHGLQWKH+(YDULDQW+7&RQWUROILHOGRIWKHIUDPH
 LVQRWVXIILFLHQWWRFRQWDLQDQDGGLWLRQDO83+&RQWUROVXEILHOGDVZHOO

 ² $83+&RQWUROVXEILHOGLVQRWLQFOXGHGLQDIUDPHWKDWLVD&RQWUROIUDPH

 $QRQ$367$VKDOOQRWLQFOXGHD&RQWUROVXEILHOGZLWKD&RQWURO,'VXEILHOGVHWWRLQWKH+(YDULDQW+7


 &RQWUROILHOGRIWKHIUDPHVFDUULHGLQDQ+(7%33'8

 8/08&6PHFKDQLVP


 7KH('EDVHG&&$DQGYLUWXDO&6IXQFWLRQVDUHXVHGWRGHWHUPLQHWKHVWDWHRIWKHPHGLXPLI&6LVUHTXLUHG

 EHIRUHUHVSRQGLQJWRDUHFHLYHG7ULJJHUIUDPH('EDVHG&&$IRUWKH8/08&6PHFKDQLVPLVGHILQHGLQ 

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

  &&$ VHQVLWLYLW\ IRU VLJQDOV QRW RFFXS\LQJ WKH SULPDU\  0+] FKDQQHO  DQG YLUWXDO &6 LV
 GHILQHGLQ &6PHFKDQLVP 


 ,IWKH&65HTXLUHGVXEILHOGLQDUHFHLYHG7ULJJHUIUDPHLVRUDIUDPHWKDWLQFOXGHVD756&RQWUROVXEILHOG

 DQGVROLFLWVDUHVSRQVHLVUHFHLYHGWKHQWKHQRQ$367$PD\UHVSRQGZLWKRXWUHJDUGWRWKHEXV\LGOHVWDWH
 RIWKHPHGLXP

 127(²5HVSRQGLQJZLWKRXWUHJDUGWRWKHEXV\LGOHVWDWHRIWKHPHGLXPPHDQVWKDWDQRQ$367$FDQUHVSRQGZLWKRXW
 WKHQHHGWRFKHFNWKHPHGLXPLQGLFDWLRQIURPSK\VLFDO&6DQGYLUWXDO&6 LHEDVLF1$9DQGLQWUD%661$9 

 7KHLQWUD%661$9LVQRWFRQVLGHUHGLQYLUWXDO&6E\DQRQ$367$LQGHWHUPLQLQJZKHWKHUWRUHVSRQGWR

 D7ULJJHUIUDPHVHQWE\WKH$3ZLWKZKLFKWKHQRQ$367$LVDVVRFLDWHG


 7KHEDVLF1$9LVFRQVLGHUHGLQYLUWXDO&6E\DQRQ$367$LQGHWHUPLQLQJZKHWKHUWRUHVSRQGWRD7ULJJHU
 IUDPHVHQWE\WKH$3ZLWKZKLFKWKHQRQ$367$LVDVVRFLDWHGLIWKHFRXQWHURIWKHEDVLF1$9LVQRW

 $1$9LVFRQVLGHUHGLQYLUWXDO&6E\DQRQ$367$LQGHWHUPLQLQJZKHWKHUWRUHVSRQGWRD7ULJJHUIUDPH

 VHQWE\DQ$3ZLWKZKLFKWKHQRQ$367$LVQRWDVVRFLDWHGWKURXJKWKH825$SURFHGXUH VHH 8/
 2)'0$EDVHGUDQGRPDFFHVV 825$ XQOHVVRQHRIWKHIROORZLQJFRQGLWLRQVLVPHW
 ² 7KH1$9ZDVVHWE\DIUDPHRULJLQDWLQJIURPWKH$3VHQGLQJWKH7ULJJHUIUDPH

 ² 7KH1$9FRXQWHULV

 127( ²7KH LQWUD%66 1$9 LV FRQVLGHUHG LQ YLUWXDO &6 E\ D QRQ$3 67$ DVVRFLDWHG ZLWK DQ $3 LQ GHWHUPLQLQJ

 ZKHWKHUWRUHVSRQGWRD7ULJJHUIUDPHZLWK58DOORFDWLRQVIRUXQDVVRFLDWHG67$VVHQWE\DQRWKHU$3
 127( ²7KH GHWDLOV RI KRZ D QRQ$3 67$ LV VROLFLWHG E\ WKH 7ULJJHU IUDPH IRU WUDQVPLVVLRQ DUH GHVFULEHG LQ
  $OORZHGVHWWLQJVRIWKH7ULJJHUIUDPHILHOGVDQG756&RQWUROVXEILHOG 

 127(²,IDQRQ$367$UHVSRQGVWRD7ULJJHUIUDPHIURPDQ$3ZLWKZKLFKLWLVQRWDVVRFLDWHGWKURXJKWKH825$ 
 SURFHGXUHWKHPHWKRGWRLGHQWLI\WKDWD1$9ZDVVHWE\DIUDPHRULJLQDWLQJIURPWKH$3VHQGLQJWKH7ULJJHUIUDPHLV
 LPSOHPHQWDWLRQVSHFLILF)RUH[DPSOHWKHQRQ$367$FDQVDYHWKH7;23KROGHUDGGUHVVDQGPDWFKWKHVDYHG7;23 
 KROGHUDGGUHVVZLWKWKH7$ILHOGRIWKH7ULJJHUIUDPH

 )RUDQRQ$367$WKDWLVVROLFLWHGE\D7ULJJHUIUDPHIRUWUDQVPLVVLRQWKHLQGLFDWLRQRIWKHYLUWXDO&6LV
 GHVFULEHGDVIROORZV,IQR1$9LVFRQVLGHUHGWKHQWKHYLUWXDO&6LQGLFDWHVLGOH2WKHUZLVHWKHYLUWXDO&6



LQGLFDWHVEXV\

 ,IWKH&65HTXLUHGVXEILHOGLQD7ULJJHUIUDPHLVWKHQWKHQRQ$367$VKDOOFRQVLGHUWKHVWDWXVRIWKH
 &&$ XVLQJ(QHUJ\'HWHFWGHILQHGLQ 3HU0+]&&$VHQVLWLYLW\ DQGWKHYLUWXDOFDUULHUVHQVH
 1$9 GXULQJWKH6,)6EHWZHHQWKH7ULJJHUIUDPHDQGWKH33'8VHQWLQUHVSRQVHWRWKH7ULJJHUIUDPH,Q 

 WKLVFDVHWKHQRQ$367$VKDOOVHQVHWKHPHGLXPXVLQJHQHUJ\GHWHFW (' DIWHUUHFHLYLQJWKH33'8WKDW
 FRQWDLQVWKH7ULJJHUIUDPH LHGXULQJWKH6,)6 DQGLWVKDOOSHUIRUPWKHHQHUJ\GHWHFW (' DWOHDVWLQWKH
 VXEFKDQQHOWKDWFRQWDLQVWKHQRQ$367$¶V8/DOORFDWLRQZKHUHWKHVHQVHGVXEFKDQQHOFRQVLVWVRIRQHRU
 PRUH0+]FKDQQHOV7KHQRQ$367$PD\WUDQVPLWWKHVROLFLWHG33'8LIWKH0+]FKDQQHOVFRQWDLQ
 LQJWKH58VDOORFDWHGLQWKH7ULJJHUIUDPHDUHFRQVLGHUHGLGOH,IWKHQRQ$367$GHWHFWVWKDWWKH0+]

 FKDQQHOVFRQWDLQLQJWKHDOORFDWHG58VDUHQRWDOOLGOHWKHQWKHQRQ$367$VKDOOQRWWUDQVPLW
 127(²7KHVROLFLWHG33'8LVDQRQ+7RUQRQ+7GXSOLFDWH33'8LIWKH7ULJJHUIUDPHLVDQ085767ULJJHUIUDPH
 VHH 085767ULJJHU&76IUDPHH[FKDQJHSURFHGXUH RWKHUZLVHWKHVROLFLWHG33'8LVDQ+(7%33'8 VHH
  1RQ$367$EHKDYLRUIRU8/08RSHUDWLRQ 


 7KH&65HTXLUHGVXEILHOGLQWKH085767ULJJHUIUDPHVKDOOEHVHWWR

 $Q$3WKDWWUDQVPLWVD%)537ULJJHUIUDPHZLWKWKH8//HQJWKVXEILHOGLQWKH&RPPRQ,QIRILHOGVHWWRD
 YDOXHJUHDWHUWKDQVKDOOVHWWKH&65HTXLUHGVXEILHOGLQWKH&RPPRQ,QIRILHOGWR


 $Q$3WKDWWUDQVPLWVD%DVLF%65308%$5%453RU*&508%$57ULJJHUIUDPHVKDOOVHWWKH&6

 5HTXLUHGVXEILHOGWRXQOHVVRQHRIWKHIROORZLQJFRQGLWLRQVLVPHW

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ² 7KH5$RIWKH7ULJJHUIUDPHLVDQLQGLYLGXDOO\DGGUHVVHGQRQ$367$¶V0$&DGGUHVVDQGD4R6
 'DWDIUDPHZLWK+73$FNDFNSROLF\DQGRUD0DQDJHPHQWIUDPHWKDWVROLFLWVDQDFNQRZOHGJPHQW

DUHDJJUHJDWHGZLWKWKH7ULJJHUIUDPHLQDQ$03'8DQGWKH8//HQJWKVXEILHOGLQWKH&RPPRQ


 ,QIRILHOGRIWKH7ULJJHUIUDPHLVOHVVWKDQRUHTXDOWR
 ² 7KH7ULJJHUIUDPHLVHLWKHUDQ08%$5RU*&508%$57ULJJHUIUDPHDQGWKH8//HQJWKVXE

ILHOGLQWKH&RPPRQ,QIRILHOGRIWKH7ULJJHUIUDPHLVOHVVWKDQRUHTXDOWR

 ² 7KH8//HQJWKVXEILHOGLQWKH&RPPRQ,QIRILHOGRIWKH7ULJJHUIUDPHLVOHVVWKDQRUHTXDOWR

 127(²7KHWKUHVKROGYDOXHRIWKH8//HQJWKVXEILHOGLQWKH&RPPRQ,QIRILHOGRIWKH7ULJJHUIUDPHLVREWDLQHG 
 IURP WKH PD[LPXP +( 7% 33'8 GXUDWLRQ  —V WKDW FDQ EH VROLFLWHG E\ WKH 756 &RQWURO VXEILHOG EDVHG RQ

 (TXDWLRQ  7KLVGXUDWLRQLVWKHVXPRI—VIRUWKH/67)//7)DQG/6,*ILHOGV—VIRUWKH5/6,*+(
 6,*$DQG+(67)ILHOGV—VIRUWKH[+(/7)ILHOGZLWK—V*,—VIRU2)'0V\PEROVLQWKH'DWDILHOG 
 ZLWK—V*,DQG—V3(ILHOG VHHD 756&RQWURO  1RQ$367$EHKDYLRUIRU8/08RSHUD
 WLRQ DQG +(33'8IRUPDWV 

 127(²7KH8//HQJWKVXEILHOGYDOXHLVGHULYHGIURPWKHGXUDWLRQ—VZKLFKLVWKHGXUDWLRQRIDQ+(7%

 33'8ZLWK+(/7)V\PEROVDQGD3(ILHOG

 $Q$3PD\WUDQVPLWDQ1)537ULJJHUIUDPHZLWKWKH&65HTXLUHGVXEILHOGVHWWRRU

 08FDVFDGLQJVHTXHQFH


 $Q08FDVFDGLQJVHTXHQFHLVDIUDPHH[FKDQJHVHTXHQFHEHWZHHQDQ$3DQGRQHRUPRUHQRQ$367$V
 FDUULHG LQ DQ +( 08 33'8 LQ WKH GRZQOLQN DQG +( 7% 33'8 LQ WKH XSOLQN DQG FKDUDFWHUL]HG E\ WKH
 H[FKDQJHRI&RQWURO'DWDDQGRU0DQDJHPHQWIUDPHVLQERWKGLUHFWLRQV$QH[DPSOHRIDQ08FDVFDGLQJ 

VHTXHQFHLVVKRZQLQ)LJXUH $QH[DPSOHRIDQ08FDVFDGLQJVHTXHQFH 




7;23


 08FDVFDGLQJVHTXHQFH

 0XOWL67$
 $3 +(0833'8 +(0833'8
%ORFN$FN




 67$ +(7%33'8


 67$
 +(7%33'8 +(7%33'8


 67$ +(7%33'8



 6,)6 6,)6 6,)6 6,)6


 )LJXUH²$QH[DPSOHRIDQ08FDVFDGLQJVHTXHQFH

 $Q$3VKDOOQRWWUDQVPLWDQ$03'8WRDQRQ$367$WKDWLQFOXGHVDQ$FNRU%ORFN$FNIUDPHWRJHWKHU
 ZLWKDWULJJHULQJIUDPHXQOHVVERWKWKH$3DQGWKHQRQ$367$KDYHLQGLFDWHGVXSSRUWE\VHWWLQJWKH08

&DVFDGLQJ6XSSRUWVXEILHOGWRLQWKH0$&&DSDELOLWLHV,QIRUPDWLRQILHOGLQWKH+(&DSDELOLWLHVHOHPHQW

 WKH\WUDQVPLW7KH$03'8PD\DGGLWLRQDOO\FRQWDLQRQHRUPRUH03'8VDQGLVFRQVWUXFWHGIROORZLQJWKH
 UXOHVLQ $03'8RSHUDWLRQLQDQ+(33'8 

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KH08FDVFDGLQJVHTXHQFHPD\KDYHDGLIIHUHQWVHWRIWUDQVPLWWHUVLQ+(7%33'8VDVFRPSDUHGWRWKH
 UHFHLYHUVRIWKH+(0833'8WKDWLPPHGLDWHO\IROORZVWKH+(7%33'8VZLWKLQWKHVDPH7;237KH

08FDVFDGLQJVHTXHQFHPD\KDYHDGLIIHUHQWVHWRIUHFHLYHUVLQWKH+(0833'8DVFRPSDUHGWRWKHVHWRI

 WUDQVPLWWHUVRI+(7%33'8VWKDWLPPHGLDWHO\IROORZWKH+(0833'8ZLWKLQWKHVDPH7;23

 $Q$3IROORZVWKHSURFHGXUHLQ $3DFFHVVSURFHGXUHVIRU8/08RSHUDWLRQ 


 8/2)'0$EDVHGUDQGRPDFFHVV 825$

 *HQHUDO


 $Q+(67$ZLWKGRW2)'0$5DQGRP$FFHVV2SWLRQ,PSOHPHQWHGHTXDOWRWUXHVKDOOVHWWKH2)'0$5$ 
 6XSSRUWVXEILHOGLQWKH+(0$&&DSDELOLWLHV,QIRUPDWLRQILHOGRIWKH+(&DSDELOLWLHVHOHPHQWWR2WKHU
 ZLVHLWVKDOOVHWWKH2)'0$5$6XSSRUWVXEILHOGWR

 127(²$QRQ$367$WKDWGRHVQRWVXSSRUW825$FDQFRQWHQGIRUWKH:0XVLQJ('&$IRUVHQGLQJ8/IUDPHVWR
 WKH$3ZLWKZKLFKLWLQWHQGVWRFRPPXQLFDWH


$QRQ$3 67$ZLWKGRW2)'0$5DQGRP$FFHVV2SWLRQ,PSOHPHQWHGVHWWRWUXHVKDOOIROORZWKHSURFH

 GXUHGHILQHGLQ 7UDQVPLVVLRQSURFHGXUHIRU825$ DQG $GGLWLRQDOFRQVLGHUDWLRQVIRU
 XQDVVRFLDWHG67$V WRFRQWHQGIRUDQHOLJLEOH5$58

 $Q+($3WKDWWUDQVPLWVD7ULJJHUIUDPHIRUUDQGRPDFFHVVVKDOOVHWWKH$,'VXEILHOGRID8VHU,QIRILHOG 

 LQWKH7ULJJHUIUDPHWRWRLQGLFDWHWKDWRQHRUPRUH5$58VDUHDYDLODEOHIRUQRQ$367$VDVVRFLDWHG 
 ZLWKLWDQGVKDOOVHWWKH$,'VXEILHOGLQD8VHU,QIRILHOGLQWKH7ULJJHUIUDPHWRWRLQGLFDWHWKDWRQH
 RUPRUH5$58VDUHDYDLODEOHIRUQRQ$367$VQRWDVVRFLDWHGZLWKLW


 $Q+($3PD\WUDQVPLWD%DVLF7ULJJHUIUDPH%4537ULJJHUIUDPHRU%6537ULJJHUIUDPHWKDWFRQWDLQV
 RQHRUPRUH58VIRUUDQGRPDFFHVV$Q$3WKDWWUDQVPLWVD%DVLF7ULJJHUIUDPHPD\VHWWKH$,'VXEILHOG 
 RIDQ\8VHU,QIRILHOGRIWKHIUDPHWR$Q$3WKDWWUDQVPLWVD7ULJJHUIUDPHWKDWLVQRWD%DVLF7ULJJHU
 IUDPH%4537ULJJHUIUDPHRU%6537ULJJHUIUDPHVKDOOQRWVHWWKH$,'VXEILHOGRIDQ\8VHU,QIRILHOG
 RIWKHIUDPHWR

 127(²$QQRQ$3+(67$WKDWFKDQJHVWKHPD[LPXPQXPEHURIUHFHLYLQJVSDWLDOVWUHDPVWRDQGVHWVWKH2)'0$ 
 5$6XSSRUWVXEILHOGLQWKH+(0$&&DSDELOLWLHV,QIRUPDWLRQILHOGRIWKH+(&DSDELOLWLHVHOHPHQWWRFDQQRWUHFHLYHD
 7ULJJHUIUDPHVHQWZLWKPRUHWKDQRQHVSDWLDOVWUHDP$VDUHVXOWLIWKH7ULJJHUIUDPHLQGLFDWHVHOLJLEOH5$58VIRU
 DVVRFLDWHGQRQ$367$VWKHQRQ$3+(67$FDQQRWSHUIRUP825$GHILQHGLQ 8/2)'0$EDVHGUDQGRP 
 DFFHVV 825$ $Q$3PLJKWWDNHWKLVEHKDYLRULQWRFRQVLGHUDWLRQZKHQVHQGLQJD7ULJJHUIUDPHLQGLFDWLQJHOLJLEOH
 5$58VIRUDVVRFLDWHGQRQ$367$V


 $Q+($3WKDWWUDQVPLWVD%DVLF7ULJJHUIUDPHVKRXOGVHWWKH7,'$JJUHJDWLRQ/LPLWVXEILHOGLQWKH8VHU
 ,QIRILHOGLQGLFDWLQJDQ5$58WRRU

 $Q$3VKDOOVHWWKH0RUH5$58VXEILHOGLQWKH8VHU,QIRILHOGWRLILWLQWHQGVWRWUDQVPLWDGGLWLRQDO7ULJ

 JHUIUDPHVLQWKHFXUUHQWEURDGFDVW7:763WKDWDOORFDWH5$58VPDWFKLQJWKH$,'VXEILHOGYDOXHLQWKH
 8VHU,QIRILHOG VHH7DEOHJ $,'VXEILHOGHQFRGLQJ 

 $QRQ$3+(67$VKDOOLJQRUHWKH0RUH5$58VXEILHOGLIWKH0RUH7)ILHOGLQWKH7ULJJHUIUDPHLVHTXDO


WR

 7KH+($3PD\LQFOXGHWKH825$3DUDPHWHU6HWHOHPHQW VHH 825$3DUDPHWHU6HWHOHPHQW LQ 
 0DQDJHPHQW IUDPHV WKDW LW WUDQVPLWV 7KH $3 VKDOO LQGLFDWH WKH UDQJH RI 2)'0$ FRQWHQWLRQ ZLQGRZ


2&: LQWKH825$3DUDPHWHU6HWHOHPHQWIRUQRQ$367$VWRLQLWLDWHUDQGRPDFFHVVIROORZLQJWKH7ULJ

 JHUIUDPHWUDQVPLVVLRQ$Q$3FRUUHVSRQGLQJWRDQRQWUDQVPLWWHG%66,'LQDPXOWLSOH%66,'VHWVKDOOIRO
 ORZWKHUXOHVLQ ,QKHULWDQFHRIHOHPHQWYDOXHV 

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 127(²$Q$3ZLWKGRW0XOWL%66,',PSOHPHQWHGHTXDOWRWUXHFDQDOORFDWH5$58VIRUQRQ$367$VDVVRFLDWHG
 ZLWKGLIIHUHQW%66,'VLQDPXOWLSOH%66,'VHWE\WUDQVPLWWLQJD'/0833'8FDUU\LQJEURDGFDVW58VRQHSHU%66LQ
 WKHVHW VHH 58DGGUHVVLQJLQDQ+(0833'8 ZLWKDQ$03'8LQHDFKEURDGFDVW58FDUU\LQJD7ULJJHU
 IUDPHZLWKDWOHDVWRQH8VHU,QIRILHOGZLWKWKH$,'VXEILHOGVHWWR

 $QRQ$3+(67$VKDOOPDLQWDLQDQLQWHUQDO2&:DQGDQLQWHUQDO2%2FRXQWHU2&:LVDQLQWHJHULQWKH


UDQJH OCWmin WR OCWmax $ QRQ$3 +( 67$ VKDOO REWDLQ OCWmin DQG OCWmax IURP WKH PRVW
 UHFHQWO\ UHFHLYHG825$3DUDPHWHU 6HW HOHPHQWFDUULHGLQ D %HDFRQ3UREH5HVSRQVH RU 5H $VVRFLDWLRQ
 5HVSRQVHIUDPHWUDQVPLWWHGE\LWVDVVRFLDWHG$3XQOHVVWKHQRQ$3+(67$LVDVVRFLDWHGZLWKDQRQWUDQV
 PLWWHG%66,'RIDPXOWLSOH%66,'VHWLQZKLFKFDVHLWVKDOOGHWHUPLQHOCWminDQGOCWmaxE\IROORZ
 LQJWKHUXOHVLQ ,QKHULWDQFHRIHOHPHQWYDOXHV 


 $QRQ$3+(67$WKDWKDVQRWUHFHLYHGD825$3DUDPHWHU6HWHOHPHQWIURPWKH$3ZLWKZKLFKLWLQWHQGV
 WR FRPPXQLFDWH VKDOO XVH WKH GHIDXOW YDOXHV OCWmin  DQG OCWmax  LI FRQWHQGLQJ IRU 5$58V
 DOORFDWHGE\WKDW$3


 (DFKWLPHDQRQ$3+(67$DVVRFLDWHVZLWKDGLIIHUHQW$3 RUDGLIIHUHQW%66,'IRUQRQ$367$ZLWK
 GRW0XOWL%66,',PSOHPHQWHGVHWWRWUXH DQGSULRUWRWKHLQLWLDODWWHPSWRI5$58WUDQVPLVVLRQWRZDUGV
 LWWKHQRQ$367$VKDOOVHWWKHYDOXHRI2&:WRWKHOCWminYDOXHDQGVKDOOLQLWLDOL]HLWV2%2FRXQWHULQ

 WKHUDQJHWR2&:DVGHILQHGLQ 7UDQVPLVVLRQSURFHGXUHIRU825$ 


 (OLJLEOH5$58V

 $QRQ$367$WKDWLVWKHLQWHQGHGUHFHLYHURID8VHU,QIRILHOGLQD7ULJJHUIUDPH LHWKH$,'VXEILHOG
 HTXDOWRWKH/6%VRIWKH$,'RIWKHQRQ$367$ VKDOOQRWFRQWHQGIRUDQ5$58WKDWLVLQGLFDWHGE\D

 7ULJJHUIUDPHFRQWDLQHGLQWKHVDPH33'8DQGVKDOOQRWGHFUHPHQWLWV2%2FRXQWHU

 $QRQ$367$VKDOOFRQVLGHUDQ58DVDQHOLJLEOH5$58LILWVXSSRUWVDOOWKHWUDQVPLWSDUDPHWHUVLQGL
 FDWHGLQWKH&RPPRQ,QIRILHOGDQGLQWKH8VHU,QIRILHOGWKDWDOORFDWHVWKDW58 DVGHVFULEHGLQ



1RQ$367$EHKDYLRUIRU8/08RSHUDWLRQ WKHQRQ$367$LVDVVRFLDWHGZLWKWKH%66ZKRVH%66,' 
 LVWKHYDOXHLQWKH7$ILHOGRIWKH7ULJJHUIUDPHDQGWKH5$58LVDOORFDWHGIRUDVVRFLDWHG67$V

 $QRQ$367$PD\FRQVLGHUDQ58DVDQHOLJLEOH5$58LILWVXSSRUWVDOOWKHWUDQVPLWSDUDPHWHUVLQGLFDWHG 
 LQWKH&RPPRQ,QIRILHOGDQGLQWKH8VHU,QIRILHOGWKDWDOORFDWHVWKDW58 DVGHVFULEHGLQ 1RQ$3


 67$EHKDYLRUIRU8/08RSHUDWLRQ WKHQRQ$367$LVQRWDVVRFLDWHGZLWKWKH%66DQGWKH5$58LV
 DOORFDWHGIRUXQDVVRFLDWHG67$V

 $Q+($3PD\DOORFDWHDFRQWLJXRXVVHWRI58VIRUUDQGRPDFFHVVE\VHWWLQJWKH1XPEHU2I5$58VXE
 ILHOGLQWKH8VHU,QIRILHOGRIWKH7ULJJHUIUDPHWRDYDOXHJUHDWHUWKDQ7KH5$58LQGLFDWHGE\WKH58 

 $OORFDWLRQVXEILHOGLQWKH8VHU,QIRILHOGVKDOOUHSUHVHQWWKHVWDUWLQJ58RIWKHVHW7KHVL]HRIDOO5$58VLQ

 WKHVHWVKDOOEHWKHVDPHDQGHTXDOWRWKHVL]HRIWKH5$58LQGLFDWHGE\WKH58$OORFDWLRQVXEILHOGLQWKH
 8VHU,QIRILHOG7KHUHPDLQLQJVXEILHOGVRIWKH8VHU,QIRILHOGDSSO\WRHDFK5$58LQWKHVHW$Q$3DOOR
 FDWLQJDFRQWLJXRXVVHWRI5$58VLQD7ULJJHUIUDPHZLWKDQ8/%:VXEILHOGWKDWLQGLFDWHV0+]RU

0+]VKDOOVHWWKH1XPEHU2I5$58VVXEILHOGVXFKWKDWDOOWKH5$58VLQWKHVHWOLHLQRQH0+]

 IUHTXHQF\VHJPHQW

127(²$Q$3FDQWUDQVPLWD7ULJJHUIUDPHFDUU\LQJPRUHWKDQRQH8VHU,QIRILHOGHDFKDOORFDWLQJDVLQJOHRUDFRQWLJ

XRXVVHWRI5$58VWRHQVXUHWKDWDQ5$58VHWGRHVQRWRYHUODSZLWKRWKHU58VDOORFDWHGE\WKHIUDPH


 $QRQ$3+(67$VKDOOGHWHUPLQHWKHQXPEHURIHOLJLEOH5$58VLQDFRQWLJXRXVVHWE\DGGLQJWKHYDOXH
 FDUULHGLQWKH1XPEHU2I5$58VXEILHOGVSOXVRQHIRUWKH8VHU,QIRILHOGFRUUHVSRQGLQJWRDQHOLJLEOH5$
 58


 $QRQ$3+(67$PD\FRQVLGHUDVHOLJLEOH5$58VDOORUDVXEVHWRIWKH5$58VLQGLFDWHGE\WKH8VHU
 ,QIRILHOGVLQD7ULJJHUIUDPHWKDWFDUULHVPRUHWKDQRQH8VHU,QIRILHOGWKDWDOORFDWHV5$58V7KHQXPEHU

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 RI HOLJLEOH 5$58V WKDW WKH QRQ$3 67$ FRQVLGHUV IRU 2%2 FRXQWGRZQ DQG WUDQVPLVVLRQ VHH 

 7UDQVPLVVLRQSURFHGXUHIRU825$ VKDOOEHWKHWRWDOQXPEHURIHOLJLEOH5$58VLQGLFDWHGE\WKHVHOHFWHG 

VXEVHWRI8VHU,QIRILHOGV

 127(²$67$WKDWFRQVLGHUVRQO\DVXEVHWRI8VHU,QIRILHOGVFDQUDQGRPO\VHOHFW8VHU,QIRILHOGVIURPWKHDYDLODEOH
 VHWRI8VHU,QIRILHOGVWKDWDOORFDWH5$58VVRWKDWWKH825$FRQWHQWLRQLVQRWFRQFHQWUDWHGDWWKH5$58VHWLQGLFDWHG

 E\WKHILUVW8VHU,QIRILHOG


 7UDQVPLVVLRQSURFHGXUHIRU825$

 ,QWKLVVXEFODXVHWKHWUDQVPLWSURFHGXUHXVLQJ5$58VLVGHVFULEHGZLWKUHVSHFWWR825$SDUDPHWHUV7KH
 SURFHGXUHLVDOVRLOOXVWUDWHGLQ)LJXUH ,OOXVWUDWLRQRIWKH825$SURFHGXUH 


 7ULJJHUIUDPH 7ULJJHUIUDPH
 UDQGRPDFFHVV UDQGRPDFFHVV
 $,' $,' +(7%33'8
 58 58 IURP67$ 58
67$$VVRFLDWHG$,' 
67$$VVRFLDWHG$,' 

67$$VVRFLDWHG$,' 

 $,'
58
+(7%33'8
IURP67$ 58
$,'
58
+(7%33'8
IURP67$ 58
67$8QDVVRFLDWHG



)UHTXHQF\
)UHTXHQF\

$,' $,'
 58 0XOWL67$ 58 0XOWL67$
 $,' %ORFN$FN $,' +(7%33'8 %ORFN$FN
58 58 IURP67$ 58
 $,' $,'
 58 58
 $,' +(7%33'8 $,'
58 6,)6 IURP67$ 58 6,)6 58 6,)6 6,)6
 đ 7LPH
 $IWHU7ULJJHUIUDPHUHFHSWLRQ $IWHU7ULJJHUIUDPHUHFHSWLRQ
 67$ 67$ 67$ 67$ 67$ 67$ 67$ 67$
 ,QLWLDO2%2  ,QLWLDO2%2  ,QLWLDO2%2  ,QLWLDO2%2  1HZ2%2  2%2  2%2  2%2 

 58 58 2%2±   2%2± 


$,'  $,' 
 58
2%2± 
5DQGRPO\SLFN
2%2±   2%2 
58
2%2±  5DQGRPO\SLFN
RQHRIWKHUDQGRP

5DQGRPO\SLFN
RQHRIWKHUDQGRP
$,'  $,' 
 58
RQHRIWKHUDQGRP
DFFHVV58V 58

DFFHVV58V

2%2± 
DFFHVV58V

 $,' 
58
  
$,' 
58
 
5DQGRPO\SLFN
RQHRIWKHUDQGRP

 $,' 
58 2%2± 
$,'  DFFHVV58V

   58    
 $,' 

58    8VHWKLV58 58    



 6HOHFWQHZ2%2 5HVXPH2%2LQ 5HVXPH2%2LQ
YDOXH QH[W7ULJJHUIUDPH QH[W7ULJJHUIUDPH
2%2XQFKDQJHG
5HVXPH2%2LQ 6HOHFWQHZ2%2 6HOHFWQHZ2%2
QH[W7ULJJHUIUDPH YDOXH YDOXH
6HOHFWQHZ2%2
YDOXH



)LJXUH²,OOXVWUDWLRQRIWKH825$SURFHGXUH


 $QRQ$367$VKDOOQRWFRQWHQGIRUDQHOLJLEOH5$58RUGHFUHPHQWLWV2%2FRXQWHULILWGRHVQRWKDYH
 SHQGLQJIUDPHVIRUWKH$3


 $Q+(67$WKDWKDVDSHQGLQJIUDPHIRUWKH$3XSRQWKHUHFHSWLRQRID7ULJJHUIUDPHFRQWDLQLQJDWOHDVW
 RQHHOLJLEOH5$58LIWKH2%2FRXQWHURIDQ+(67$LVQRWJUHDWHUWKDQWKHQXPEHURIHOLJLEOH5$58VLQ 
 D7ULJJHUIUDPHIURPWKDW$3WKHQWKH+(67$VKDOOVHWLWV2%2FRXQWHUWR]HURDQGUDQGRPO\VHOHFWRQHRI
 WKHHOLJLEOH5$58VWREHFRQVLGHUHGIRUWUDQVPLVVLRQ2WKHUZLVHWKH+(67$GHFUHPHQWVLWV2%2FRXQWHU

E\WKHQXPEHURIHOLJLEOH5$58VLQWKH7ULJJHUIUDPH


 ,QWKHH[DPSOHLQ)LJXUH ,OOXVWUDWLRQRIWKH825$SURFHGXUH 

 ² %HIRUH7ULJJHUIUDPHZDVVHQWE\WKH$3+(67$67$67$DQG67$KDGLQLWLDO2%2

 YDOXHVRIDQGUHVSHFWLYHO\
 ² 8SRQUHFHLYLQJ7ULJJHUIUDPH

 ‡ 67$ZKLFKLVDVVRFLDWHGZLWKWKH$3DQGKDVSHQGLQJIUDPHVIRUWKH$3LVDOORFDWHGDGHGL
 FDWHG 58 58  7KH 67$ GRHV QRW FRQWHQG IRU 5$58V DQG LQVWHDG WUDQVPLWV LWV SHQGLQJ

 IUDPHVRQ58

 ‡ 67$DQG67$ERWKDVVRFLDWHGZLWKWKH$3DQGKDYLQJSHQGLQJIUDPHVIRUWKH$3GHFUHPHQW
 WKHLUUHVSHFWLYH2%2FRXQWHUVE\WKHQXPEHURIHOLJLEOH5$58VLQGLFDWHGLQWKH7ULJJHUIUDPH

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 LHWKUHH5$58VIRUDVVRFLDWHG67$V 6LQFH67$¶V2%2FRXQWHUGHFUHPHQWVWRLWWUDQV
 PLWVLWVSHQGLQJIUDPHVRQ58WKDWLWUDQGRPO\VHOHFWVIURPWKHHOLJLEOHVHWRI58V LH58

58DQG58 6LQFH67$¶V2%2FRXQWHUGHFUHPHQWVWRDQRQ]HURYDOXHLWPDLQWDLQVWKH

 QHZ2%2YDOXH  XQWLOLWUHFHLYHVDODWHU7ULJJHUIUDPHFDUU\LQJ5$58VIRUDVVRFLDWHG67$V
 ‡ 67$ZKLFKLVQRWDVVRFLDWHGZLWKWKH$3EXWKDVDSHQGLQJIUDPHIRUWKH$3GHFUHPHQWVLWV
 2%2FRXQWHUE\WKHQXPEHURIHOLJLEOH5$58VLQGLFDWHGLQWKH7ULJJHUIUDPH LHWZR5$
 58V IRU XQDVVRFLDWHG 67$V  6LQFH 67$ ¶V 2%2 FRXQWHU GHFUHPHQWV WR D QRQ]HUR YDOXH LW

PDLQWDLQV WKHQHZ2%2YDOXH   XQWLOLWUHFHLYHVDODWHU7ULJJHU IUDPHFDUU\LQJ 5$58VIRU

 XQDVVRFLDWHG67$V
 ² $IWHUWUDQVPLVVLRQRI+(7%33'8LQUHVSRQVHWR7ULJJHUIUDPH

 ‡ 67$KDVDGGLWLRQDOIUDPHVSHQGLQJIRUWKH$37KHUHIRUHLWPDLQWDLQVLWVLQLWLDO2%2YDOXH  
 XQWLOLWUHFHLYHVDODWHU7ULJJHUIUDPHFDUU\LQJ5$58VIRUDVVRFLDWHG67$V
 ‡ 67$KDVDGGLWLRQDOIUDPHVSHQGLQJIRUWKH$3DQGUDQGRPO\VHOHFWVDQHZ2%2YDOXH  

 ² 8SRQUHFHLYLQJ7ULJJHUIUDPH
 ‡ 67$67$DQG67$GHFUHPHQWWKHLUUHVSHFWLYH2%2FRXQWHUVE\QXPEHURIHOLJLEOH5$
 58V WZRLQWKLVFDVH 6LQFH67$DQG67$¶V2%2FRXQWHUVGHFUHPHQWVWRWKH\ERWKWUDQV

 PLWWKHLUSHQGLQJIUDPHVRQDUDQGRPO\VHOHFWHG58 58LQWKHFDVHRI67$DQG58LQWKH
 FDVHRI67$ ,IHLWKHU67$VKDYHDGGLWLRQDOIUDPHVSHQGLQJIRUWKH$3HDFKZRXOGUDQGRPO\
 VHOHFWDQHZ2%2YDOXH6LQFH67$¶V2%2GHFUHPHQWVWRDQRQ]HURYDOXHLWPDLQWDLQVWKH
 QHZ2%2YDOXH  XQWLOLWUHFHLYHVDODWHU7ULJJHUIUDPHFDUU\LQJ5$58VIRUDVVRFLDWHG67$V
 ‡ 67$GHFUHPHQWVLWV2%2FRXQWHUE\WKHQXPEHURIHOLJLEOH5$58V WZRLQWKLVFDVH 6LQFH

 WKH67$¶V2%2FRXQWHUGHFUHPHQWVWRLWWUDQVPLWVLWVSHQGLQJIUDPHRQDUDQGRPO\VHOHFWHG 
 58 58LQWKLVFDVH 

 $QRQ$367$VKDOOIROORZWKHUXOHVLQ 1RQ$367$EHKDYLRUIRU8/08RSHUDWLRQ WRFRQVWUXFW
 DQ+(7%33'8DQGVKDOOIROORZWKHUXOHVDVGHILQHGLQ 8/08&6PHFKDQLVP WRGHWHUPLQHWKH

 VWDWHRIWKHPHGLXPEHIRUHWUDQVPLWWLQJWKH+(7%33'8,I&6LVUHTXLUHGDQGWKHVHOHFWHG58LVFRQVLG
 HUHGEXV\WKHQWKHQRQ$367$VKDOOQRWWUDQVPLWWKH+(7%33'8DQGWKHQRQ$367$VKDOOVHWLWV2%2 
 FRXQWHUWRDUDQGRPYDOXHGUDZQIURPDXQLIRUPGLVWULEXWLRQLQWKHUDQJHWR2&:

 7KH08DFNQRZOHGJPHQWSURFHGXUHIRU825$IROORZVWKHSURFHGXUHDVGHILQHGLQ $FNQRZO

 HGJPHQWSURFHGXUHIRUDQ8/08WUDQVPLVVLRQ 

 ,IDQRQ$367$WUDQVPLWVDQ+(7%33'8WKDWFRQWDLQVDIUDPHWKDWVROLFLWVDQLPPHGLDWHUHVSRQVHLQDQ 
 5$58DQGWKHH[SHFWHGUHVSRQVHLVQRWUHFHLYHGWKHWUDQVPLVVLRQLVFRQVLGHUHGXQVXFFHVVIXO2WKHUZLVH
 WKHWUDQVPLVVLRQLVFRQVLGHUHGVXFFHVVIXO$IWHUHDFKVXFFHVVIXO+(7%33'8WUDQVPLVVLRQLQDQ5$58D

 QRQ$3+(67$VKDOOVHWWKHYDOXHRI2&:WRWKHOCWminREWDLQHGIURPWKHPRVWUHFHQWOCWminLQGL
 FDWHGLQWKH825$3DUDPHWHU6HWHOHPHQWIURPWKH+($3RUWKHGHIDXOW LI825$3DUDPHWHU6HWHOHPHQW
 ZDVQRWUHFHLYHG DQGVKDOOLQLWLDOL]HLWV2%2FRXQWHUWRDQLQWHJHUYDOXHUDQGRPO\VHOHFWHGIURPDXQLIRUP

 GLVWULEXWLRQLQWKHUDQJHWR2&:7KHQRQ$367$VKDOOIROORZWKHUHWUDQVPLVVLRQSURFHGXUHGHILQHGLQ 
  5HWUDQVPLVVLRQSURFHGXUHIRU825$ LIWKHWUDQVPLVVLRQLVQRWVXFFHVVIXO

 127(²$QRQ$367$WKDWWUDQVPLWVDQ+(7%33'8LQUHVSRQVHWRD7ULJJHUIUDPHWKDWDOORFDWHV5$58 V E\IRO
 ORZLQJWKH825$SURFHGXUHGRHVQRWXSGDWHLWVVWDWHYDULDEOHVWRWKHYDOXHVFRQWDLQHGLQWKH08('&$3DUDPHWHU6HW
 HOHPHQW VHH ('&$RSHUDWLRQXVLQJ08('&$SDUDPHWHUV 

 5HWUDQVPLVVLRQSURFHGXUHIRU825$


 $QRQ$367$ZKRVH+(7%33'8WUDQVPLVVLRQVHQWLQDQ5$58RID7ULJJHUIUDPHLVXQVXFFHVVIXO
 PD\DWWHPSWWRUHWUDQVPLWWKHIDLOHG33'8XVLQJ('&$RUDVDUHVSRQVHWRD7ULJJHUIUDPH


,I WKH +( 7% 33'8 LV QRW VXFFHVVIXOO\ WUDQVPLWWHG LQ WKH VHOHFWHG 5$58 WKHQ WKH QRQ$3 67$ VKDOO

 XSGDWHLWV2&:WRî2&:ZKHQWKH2&:LVOHVVWKDQWKHYDOXHRIOCWmaxDQGVKDOOUDQGRPO\ 
 VHOHFWLWV2%2FRXQWHULQWKHUDQJHRIDQG2&:2QFHWKH2&:UHDFKHVOCWmaxIRUVXFFHVVLYHUHWUDQV

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 PLVVLRQDWWHPSWVWKH2&:VKDOOUHPDLQDWWKHYDOXHRIOCWmaxXQWLOWKH2&:LVUHVHWDVGHVFULEHGLQ

  7UDQVPLVVLRQSURFHGXUHIRU825$ 


 $QRQ$367$VKDOOXSGDWHLWV2&:YDOXHXQGHUWKHFRQGLWLRQWKDWWKHXSGDWHG2&:UHPDLQVLQWKHUDQJH
 OCWmin WR OCWmax REWDLQHG IURP WKH PRVW UHFHQWO\ UHFHLYHG 825$ 3DUDPHWHU 6HW HOHPHQW VHH
  825$3DUDPHWHU6HWHOHPHQW ,IWKHXSGDWHG2&:EHFRPHVJUHDWHUWKDQOCWmaxDVFRQVH
 TXHQFHRIUHFHLYLQJDPRGLILHG825$3DUDPHWHU6HWHOHPHQWWKHQWKHQRQ$367$VKDOOVHWWKHYDOXHRI

2&:WRWKHQHZOCWmaxYDOXH


 $GGLWLRQDOFRQVLGHUDWLRQVIRUXQDVVRFLDWHG67$V

 $Q$3WUDQVPLWWLQJD7ULJJHUIUDPHWKDWDOORFDWHVRQHRUPRUH5$58VIRUXQDVVRFLDWHG67$VVKDOOWUDQV

PLWWKH7ULJJHUIUDPHLQDQ+(33'8VRWKDWDQXQDVVRFLDWHGQRQ$367$FDQGHWHUPLQHWKH$3¶V%66 

 FRORU

 $Q+($3WKDWVXSSRUWVWKH825$SURFHGXUHDQGEURDGFDVW7:7RSHUDWLRQDQGWKDWLQWHQGVWRWUDQVPLW
 7ULJJHUIUDPHVWKDWDOORFDWHRQHRUPRUH5$58VIRUXQDVVRFLDWHG67$VVKDOOVFKHGXOHWKHWUDQVPLVVLRQRI

DWOHDVWRQHVXFK7ULJJHUIUDPHZLWKLQHDFK7:763FRUUHVSRQGLQJWRD%URDGFDVW7:73DUDPHWHU6HWILHOG

 LQD7:7HOHPHQWZLWKD%URDGFDVW7:7,'VXEILHOGHTXDOWR)ORZ7\SHVXEILHOGHTXDOWR7ULJJHUVXE
 ILHOGHTXDOWRDQG%URDGFDVW7:75HFRPPHQGDWLRQVXEILHOGHTXDOWR

 $Q$3WKDWUHFHLYHVDQ$XWKHQWLFDWLRQIUDPHZLWKLQDQ5$58VKRXOGVFKHGXOHIRUWUDQVPLVVLRQDWDWLPH

QROHVVWKDQ78VDQGQRJUHDWHUWKDQ78VVXEVHTXHQWWRWKHWUDQVPLVVLRQRIWKH$XWKHQWLFDWLRQIUDPHWKDW

 LVDUHVSRQVHWRWKDWUHFHSWLRQD7ULJJHUIUDPHWKDWDOORFDWHVRQHRUPRUH5$58VIRUXQDVVRFLDWHG67$V
 127(²7KLV7ULJJHUIUDPHSURYLGHVDSRWHQWLDORSSRUWXQLW\IRUDQXQDVVRFLDWHG67$WKDWWUDQVPLWWHGWKH$XWKHQWLFD
 WLRQIUDPHWRWUDQVPLWDQRWKHU$XWKHQWLFDWLRQIUDPHRUDQ$VVRFLDWLRQ5HTXHVWIUDPH


 $Q$3WKDWVXSSRUWVWKH825$SURFHGXUHDQGEURDGFDVWV7:7RSHUDWLRQDQGWKDWRSHUDWHVD%66ZLWKD
 ZLGWKRI0+]RUJUHDWHUDQGWUDQVPLWWLQJD7ULJJHUIUDPHWKDWDOORFDWHVRQHRUPRUH5$58VIRUXQDVVR
 FLDWHG67$VVKDOOLQFOXGHDWOHDVW5$58VIRUXQDVVRFLDWHG67$VIRUDWOHDVWRQHWUDQVPLVVLRQRIVXFKD
 7ULJJHUIUDPHZLWKLQD%URDGFDVW7:763WKDWPHHWVWKHFRQGLWLRQVGHVFULEHGDERYH


 $Q$3WKDWLQWHQGVWRWUDQVPLW7ULJJHUIUDPHVWKDWDOORFDWHVRQHRUPRUH5$58VIRUXQDVVRFLDWHG67$V
 VKRXOGWUDQVPLW),/6'LVFRYHU\IUDPHVDVGHVFULEHGLQ ),/6'LVFRYHU\IUDPHWUDQVPLVVLRQ DW
 UHJXODULQWHUYDOVZLWKLQDEHDFRQSHULRGWRDVVLVWXQDVVRFLDWHG67$GLVFRYHU\RIWKH%66DQGLWVRSHUDWLQJ
 SDUDPHWHUV


 7KH7:7VFKHGXOLQJ$3 VHH *HQHUDO WKDWVXSSRUWVWKH825$SURFHGXUHPD\LQFOXGHDEURDG
 FDVW7:7HOHPHQWLQ),/6'LVFRYHU\IUDPHVDQGLQEURDGFDVW3UREH5HVSRQVHIUDPHVWRLQGLFDWHWKH7:7 
 63VGXULQJZKLFKWKH$3LQWHQGVWRVFKHGXOHIRUWUDQVPLVVLRQDWOHDVWRQH7ULJJHUIUDPHDOORFDWLQJRQHRU
 PRUH5$58VIRU67$VQRWDVVRFLDWHGZLWKWKH$37KHEURDGFDVW7:7HOHPHQWVKDOOFDUU\RQO\DEURDG

FDVW7:7SDUDPHWHUVHWZLWKWKH%URDGFDVW7:75HFRPPHQGDWLRQVXEILHOGVHWWRWKH7ULJJHUVXEILHOGVHW

 WRWKH)ORZ7\SHVXEILHOGVHWWRDQGWKH%URDGFDVW7:7,'VXEILHOGVHWWR7KH$3WUDQVPLWVEURDG
 FDVW3UREH5HVSRQVHIUDPHVLILWKDVGRW),/62PLW5HSOLFDWH3UREH5HVSRQVHVHTXDOWRWUXH

 $QRQ$367$WKDWUHFHLYHVD),/6'LVFRYHU\IUDPHIURPDQ$3ZLWKZKLFKLWLVQRWDVVRFLDWHGPD\XVH

WKHYDOXHVFDUULHGLQWKHIUDPHWRGHWHUPLQHWKHRSHUDWLQJSDUDPHWHUVIRUWKDW$3DQGPD\XVHWKHLQIRUPD

 WLRQZKHQUHVSRQGLQJWRD7ULJJHUIUDPHIURPWKH$3FRQWDLQLQJ5$58VIRUXQDVVRFLDWHGQRQ$367$V

 $Q XQDVVRFLDWHG QRQ$3 67$ WKDW KDV QRW UHFHLYHG DQ 825$ 3DUDPHWHU 6HW HOHPHQW IURP WKH $3 ZLWK
 ZKLFKLWLQWHQGVWRFRPPXQLFDWHVKDOOXVHWKHGHIDXOW2&:YDOXHVDVGHILQHGLQ *HQHUDO (DFK 

WLPHDQXQDVVRFLDWHGQRQ$367$FRPPXQLFDWHVZLWKDGLIIHUHQW$3XVLQJUDQGRPDFFHVVLWVKDOOLQLWLDOL]H

 LWV2&:XVLQJWKHGHIDXOWYDOXHVRUWKHSDUDPHWHUVIURPWKH825$3DUDPHWHU6HWHOHPHQWUHFHLYHGIURP 
 WKDW$3DQGVKDOOLQLWLDOL]HLWV2%2FRXQWHUDVGHILQHGLQ 7UDQVPLVVLRQSURFHGXUHIRU825$ 

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $QXQDVVRFLDWHGQRQ$367$WKDWVXSSRUWVWKH825$DQG7:7SURFHGXUHPD\EHJLQOLVWHQLQJIRU7ULJJHU
 IUDPHV DW WKH VWDUW RI D SDUWLFXODU EURDGFDVW 7:7 63 DIWHU UHFHLYLQJ D %HDFRQ IUDPH D EURDGFDVW 3UREH

5HVSRQVHIUDPHRUD),/6'LVFRYHU\IUDPHFRQWDLQLQJD7:7HOHPHQWZLWKD%URDGFDVW7:73DUDPHWHU

 6HWILHOGWKDWKDVWKH%URDGFDVW7:7,'VXEILHOGHTXDOWRWKH)ORZ7\SHVXEILHOGHTXDOWRWKH7ULJJHU
 VXEILHOGHTXDOWRDQGWKH%URDGFDVW7:75HFRPPHQGDWLRQVXEILHOGHTXDOWR

 $QRQ$367$VKDOOLQFOXGHDWPRVWRQH0DQDJHPHQWIUDPHLQ603'8IRUPDWZKHQLWWUDQVPLWVDQ+( 

7%33'8LQUHVSRQVHWRD7ULJJHUIUDPHVHQWE\DQ$3ZLWKZKLFKWKHQRQ$367$LVQRWDVVRFLDWHG


 $Q$3WKDWUHFHLYHV0DQDJHPHQWIUDPHVIURPRQHRUPRUHXQDVVRFLDWHGQRQ$367$VFDUULHGLQ+(7%
 33'8VWUDQVPLWWHGRQ5$58VVKDOOUHVSRQGZLWKD0XOWL67$%ORFN$FNIUDPHFDUULHGHLWKHULQDQ68

 33'8RULQD'/+(0833'8RQDEURDGFDVW58ZLWK67$,'


 $Q $3 ZLWK GRW),/62PLW5HSOLFDWH3UREH5HVSRQVHV HTXDOWR WUXHVKDOO IROORZWKH SURFHGXUHGHILQHGLQ

  &ULWHULDIRUVHQGLQJDUHVSRQVH WRUHVSRQGZLWKDEURDGFDVW3UREH5HVSRQVHIUDPHRUWKHQH[W
 %HDFRQIUDPHLILWUHFHLYHVRQHRUPRUH3UREH5HTXHVWIUDPHVYLDWKH825$SURFHGXUH



%XIIHUVWDWXVUHSRUWRSHUDWLRQ

 $QRQ$367$GHOLYHUVEXIIHUVWDWXVUHSRUWV %65V WRDVVLVWLWV$3LQDOORFDWLQJ8/08UHVRXUFHV7KH
 QRQ$367$FDQHLWKHULPSOLFLWO\GHOLYHU%65VLQWKH4R6&RQWUROILHOGRU%65&RQWUROVXEILHOGRIDQ\
 IUDPHWUDQVPLWWHGWRWKH $3 XQVROLFLWHG%65 RUH[SOLFLWO\GHOLYHU%65V LQDQ\IUDPH VHQWWRWKH$3LQ


UHVSRQVHWRD%6537ULJJHUIUDPH VROLFLWHG%65 7KHEXIIHUVWDWXVUHSRUWHGLQWKH4R6&RQWUROILHOGFRQ
 VLVWVRIDTXHXHVL]HYDOXHIRUDJLYHQ7,' VHH 4XHXH6L]HVXEILHOG 7KHEXIIHUVWDWXVUHSRUWHGLQ

 WKH%65&RQWUROILHOGFRQVLVWVRIDQ$&,ELWPDSGHOWD7,'DKLJKSULRULW\$&DQGWZRTXHXHVL]HV VHH
 D %65&RQWURO 


 $Q +( 67$ VKDOO VHW WKH %65 6XSSRUW VXEILHOG RI WKH +( &DSDELOLWLHV HOHPHQW LW WUDQVPLWV WR  LI
 GRW+(%65&RQWURO,PSOHPHQWHGLVWUXHRWKHUZLVHWKH+(67$VKDOOVHWWKH%656XSSRUWVXEILHOGWR

 $QRQ$367$UHSRUWVLWVEXIIHUVWDWXV XQVROLFLWHG%65 WRWKH$3ZLWKZKLFKLWLVDVVRFLDWHGLQWKH4R6

 &RQWUROILHOGLQ4R61XOODQG4R6'DWDIUDPHVDQGLQWKH%65&RQWUROVXEILHOG LISUHVHQW LQ4R61XOO

 4R6'DWDDQG0DQDJHPHQWIUDPHVDVGHILQHGEHORZ
 ² 7KH+(67$VKDOOUHSRUWWKHTXHXHVL]HIRUDJLYHQ7,'LQWKH4XHXH6L]HVXEILHOGRIWKH4R6&RQ
 WUROILHOGLQ4R6'DWDRU4R61XOOIUDPHVLWWUDQVPLWVWKH67$PD\VHWWKH4XHXH6L]HVXEILHOGWR


WRLQGLFDWHDQXQNQRZQXQVSHFLILHGTXHXHVL]HIRUWKDW7,'

 ‡ 7KH+(67$PD\DJJUHJDWHPXOWLSOH4R6'DWDIUDPHVRU4R61XOOIUDPHVLQDQ$03'8WR 
 UHSRUW WKH TXHXH VL]H IRU GLIIHUHQW7,'V7KH +( 67$ VKDOO IROORZ WKH$03'8 DJJUHJDWLRQ
 UXOHVGHILQHGLQ 0XOWL7,'$03'8DQGDFNHQDEOHGVLQJOH7,'$03'8 IRUDJJUH

 JDWLQJ4R6'DWDIUDPHVZLWKPXOWLSOH7,'V7KH+(67$GRHVQRWIROORZWKHUXOHVGHILQHGLQ 
  0XOWL7,'$03'8DQGDFNHQDEOHGVLQJOH7,'$03'8 IRU4R61XOOIUDPHVZLWK 
 1R$FNDFNSROLF\


² 7KH+(67$PD\UHSRUWWKHEXIIHUVWDWXVLQWKH%65&RQWUROVXEILHOGRIIUDPHVLWWUDQVPLWVLIWKH$3

 KDVLQGLFDWHGLWVVXSSRUWLQWKH%656XSSRUWVXEILHOGRILWV+(&DSDELOLWLHVHOHPHQWRWKHUZLVHWKH
 67$VKDOOQRWUHSRUWWKHEXIIHUVWDWXVLQWKH%65&RQWUROVXEILHOG
 ‡ 7KH+(67$VKDOOUHSRUWWKHTXHXHVL]HIRULWVSUHIHUUHG$&LQGLFDWHGE\WKH$&,+LJKVXEILHOG

 LQWKH4XHXH6L]H+LJKVXEILHOGRIWKH%65&RQWUROVXEILHOGWKH67$PD\VHWWKH4XHXH6L]H
 +LJKVXEILHOGWRWRLQGLFDWHDQXQNQRZQXQVSHFLILHGTXHXHVL]HIRUWKDW$&
 ‡ 7KH+(67$VKDOOUHSRUWWKHTXHXHVL]HIRUWKH$&VLQGLFDWHGE\WKH$&,%LWPDSVXEILHOGLQ
 WKH4XHXH6L]H$OOVXEILHOGRIWKH%65&RQWUROVXEILHOGWKH67$PD\VHWWKH4XHXH6L]H$OO

VXEILHOGWRWRLQGLFDWHDQXQNQRZQXQVSHFLILHG%65IRUWKRVH$&V

 ‡ 7KH +( 67$ VKDOO VHW WKH 'HOWD 7,' VXEILHOG DFFRUGLQJ WR 7DEOHG 'HOWD 7,' VXEILHOG

 HQFRGLQJ DQGWKH6FDOLQJ)DFWRUVXEILHOGDVGHILQHGLQD %65&RQWURO 

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 127(²7KH67$FDQVHQGDQXQVROLFLWHG%65LQUHVSRQVHWRFHUWDLQ7ULJJHUIUDPHVH[FHSW08576DQG%653 ZLWK
 RUZLWKRXW5$58VDVGHILQHGLQ 1RQ$367$EHKDYLRUIRU8/08RSHUDWLRQ DQGLQ 8/2)'0$
 EDVHGUDQGRPDFFHVV 825$ RULWFDQVHQGWKHXQVROLFLWHG%65DIWHUDFFHVVLQJWKH:0XVLQJ('&$

 127(²7KH67$PLJKWLQFOXGHD%65&RQWUROVXEILHOGLQD4R6'DWDRU4R61XOOIUDPH,QWKLVFDVHWKH4XHXH6L]H
 VXEILHOGLQWKH4R6&RQWUROILHOGDQGWKH4XHXH6L]H+LJKDQG4XHXH6L]H$OOVXEILHOGVLQWKH%65&RQWUROVXEILHOG 
 PLJKWGLIIHUDQGDQ\RIWKHWKUHHVXEILHOGVPLJKWEHVHWWRWRLQGLFDWHXQVSHFLILHGRUXQNQRZQTXHXHVL]H7KH67$

 PLJKWLQFOXGHRQO\WKH%65&RQWUROVXEILHOGLQD0DQDJHPHQWIUDPH

 $Q$3FDQDOVRVROLFLWRQHRUPRUHDVVRFLDWHGQRQ$367$VIRUWKHLU%65 V E\VHQGLQJD%6537ULJJHU
 IUDPH VHH  %XIIHU 6WDWXV 5HSRUW 3ROO %653  YDULDQW  7KH QRQ$3 67$ UHVSRQGV VROLFLWHG


 %65 DVGHILQHGEHORZ
 ² 7KHQRQ$367$WKDWUHFHLYHVD%6537ULJJHUIUDPHVKDOOIROORZWKHUXOHVGHILQHGLQ 1RQ

$367$EHKDYLRUIRU8/08RSHUDWLRQ WRJHQHUDWHWKH+(7%33'8LIWKH7ULJJHUIUDPHFRQWDLQV

 WKH/6%VRIWKHQRQ$367$¶V$,'LQDQ\RIWKH8VHU,QIRILHOGVRWKHUZLVHLIWKHQRQ$367$¶V
 EXIIHUVDUHQRWHPSW\DQGWKHQRQ$367$VXSSRUWVWKH825$SURFHGXUHLWPD\IROORZWKHUXOHV
 GHILQHG LQ  8/ 2)'0$EDVHG UDQGRP DFFHVV 825$  WR JDLQ DFFHVV WR DQ 5$58 DQG
 JHQHUDWHWKH+(7%33'8ZKHQWKH7ULJJHUIUDPHFRQWDLQVRQHRUPRUH5$58V

 ² 7KHQRQ$367$VKDOOLQFOXGHLQWKH+(7%33'8RQHRUPRUH4R61XOOIUDPHVFRQWDLQLQJRQHRU
 PRUHRIWKHIROORZLQJ

 ‡ 7KH4R6&RQWUROILHOG V ZLWK4XHXH6L]HVXEILHOGVIRUHDFKRIWKH7,'VIRUZKLFKWKHQRQ$3 
 67$KDVTXHXHVL]HWRUHSRUWWRWKH$3
 ‡ 7KH %65 &RQWURO VXEILHOG ZLWK WKH 4XHXH 6L]H$OO VXEILHOG LQGLFDWLQJ WKH TXHXH VL]H IRU WKH

 $&VLQGLFDWHGE\WKH$&,%LWPDSVXEILHOGIRUZKLFKWKHQRQ$367$KDVTXHXHVL]HWRUHSRUW
 WRWKH$3LIWKH$3KDVLQGLFDWHGLWVVXSSRUWLQWKH%656XSSRUWVXEILHOGRILWV+(&DSDELOLWLHV
 HOHPHQW7KHQRQ$367$VKDOOVHW'HOWD7,'6)$&,+LJKDQG4XHXH6L]H+LJKVXEILHOGVRI
 WKH%65&RQWUROVXEILHOGDVGHILQHGLQD %65&RQWURO 

 ² 7KHQRQ$367$VKDOOQRWVROLFLWDQLPPHGLDWHUHVSRQVHIRUWKHIUDPHVFDUULHGLQWKH+(7%33'8 
 HJ WKH $FN 3ROLF\ ,QGLFDWLRQ VXEILHOG RI D 4R6 1XOO IUDPH VKDOO QRW EH VHW WR 1RUPDO $FN RU
 ,PSOLFLW%$5 

 127(²$VZLWKXQVROLFLWHG%65WKH67$PLJKWLQFOXGHD%65&RQWUROVXEILHOGLQD4R61XOOIUDPHWKDWLVVHQWLQ 
 UHVSRQVHWRWKH%6537ULJJHUIUDPH,QWKLVFDVHWKH4XHXH6L]HVXEILHOGLQWKH4R6&RQWUROILHOGDQGWKH4XHXH6L]H
 +LJKDQG4XHXH6L]H$OOVXEILHOGVLQWKH%65&RQWUROVXEILHOGPLJKWGLIIHUDQGDQ\RIWKHWKUHHVXEILHOGVPLJKWEHVHW
 WRWRLQGLFDWHDQXQVSHFLILHGRUXQNQRZQTXHXHVL]H

 127(²$Q$3GRHVQRWVHQGD%6537ULJJHUIUDPHFRQWDLQLQJWKH/6%VRIWKH$,'RIWKHQRQ$367$WKDWVHWV
 WKH8/08'LVDEOHILHOGWR

 $Q$3PD\LQFOXGHD%6537ULJJHUIUDPHWRJHWKHUZLWKRWKHU&RQWURO'DWDDQG0DQDJHPHQWIUDPHVLQRQH

 $03'8WRDQRQ$367$LIWKH+(&DSDELOLWLHVHOHPHQWUHFHLYHGIURPWKHQRQ$367$KDVWKH%653 
 %453$03'8$JJUHJDWLRQILHOGHTXDOWR$QRQ$367$FRQVWUXFWVWKH$03'8FRQWDLQHGLQWKH+( 
 7%33'8VHQWLQUHVSRQVHWRD%6537ULJJHUIUDPHDVGHVFULEHGLQ $03'8FRQWHQWVLQDQ+( 
 7%33'8 


 7KH1'3IHHGEDFNUHSRUWSURFHGXUHGHVFULEHGLQ 1'3IHHGEDFNUHSRUWSURFHGXUH FDQEHXVHGIRU
 EXIIHUVWDWXVIHHGEDFNRSHUDWLRQ$Q$3WKDWVHQWDQ1)537ULJJHUIUDPHWRRQHRUPRUHQRQ$367$VPD\

 VHQGD%6537ULJJHUIUDPHWRWKRVHQRQ$367$VWRJHWPRUHSUHFLVHEXIIHUVWDWXVLQIRUPDWLRQ


 %DQGZLGWKTXHU\UHSRUWRSHUDWLRQ

 $QRQ$367$PD\VHQGEDQGZLGWKTXHU\UHSRUWV %45V WRDVVLVWLWV$3LQDOORFDWLQJ'/08DQG8/08 

UHVRXUFHV 7KHQRQ$367$PD\HLWKHULPSOLFLWO\GHOLYHU %45VLQWKH %45&RQWURO VXEILHOG RID IUDPH

 WUDQVPLWWHGWRWKH$3 XQVROLFLWHG%45 RUH[SOLFLWO\GHOLYHU%45VLQDIUDPHVHQWWRWKH$3LQUHVSRQVHWR

 D%4537ULJJHUIUDPH VROLFLWHG%45 

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $Q +( 67$ VKDOO VHW WKH %45 6XSSRUW VXEILHOG RI WKH +( &DSDELOLWLHV HOHPHQW LW WUDQVPLWV WR  LI
 GRW+(%45&RQWURO,PSOHPHQWHGLVWUXHRWKHUZLVHWKH+(67$VKDOOVHWWKH%456XSSRUWVXEILHOGWR


 7KH+(67$PD\UHSRUWWKHFKDQQHODYDLODELOLW\LQIRUPDWLRQDVVSHFLILHGLQ 3HU0+]&&$ 
 VHQVLWLYLW\ LQWKH%45&RQWUROVXEILHOGRIIUDPHVLWWUDQVPLWVLIWKH$3KDVLQGLFDWHGLWVVXSSRUWLQWKH%45

 6XSSRUWVXEILHOGRILWV+(&DSDELOLWLHVHOHPHQWRWKHUZLVHWKH67$VKDOOQRWUHSRUWWKHFKDQQHODYDLODELOLW\ 
 LQIRUPDWLRQLQWKH%45&RQWUROVXEILHOG

 127(²7KH 67$ FDQ VHQG DQ XQVROLFLWHG %45 LQ UHVSRQVH WR FHUWDLQ 7ULJJHU IUDPHV H[FHSW 1)53 08576 DQG
 %453 ZLWKRUZLWKRXW5$58VDVGHILQHGLQ 1RQ$367$EHKDYLRUIRU8/08RSHUDWLRQ DQGLQ
 8/2)'0$EDVHGUDQGRPDFFHVV 825$ RULWFDQVHQGWKHXQVROLFLWHG%45DIWHUDFFHVVLQJWKH:0XVLQJ('&$


 $Q$3PD\VROLFLW%45VIURPDQRQ$367$RQO\LIWKHQRQ$367$KDVLQGLFDWHGVXSSRUWE\VHWWLQJWKH
 %456XSSRUWILHOGLQWKH+(&DSDELOLWLHVHOHPHQWLWWUDQVPLWVWRRWKHUZLVHWKH$3VKDOOQRWVROLFLW%45V
 IURPWKHQRQ$367$$Q$3PD\VROLFLW%45VIURPRQHRUPRUHQRQ$3+(67$VWKDWVXSSRUWJHQHUDW
 LQJ%45VE\VHQGLQJD%4537ULJJHUIUDPH VHH %DQGZLGWK4XHU\5HSRUW3ROO %453 YDUL
 DQW $QRQ$367$WKDWVXSSRUWVJHQHUDWLQJD%45UHVSRQGV VROLFLWHG%45 DVGHILQHGEHORZ

 ² 7KH67$WKDW UHFHLYHV D%4537ULJJHUIUDPHVKDOOIROORZ WKH UXOHV GHILQHG LQ  1RQ$3

 67$EHKDYLRUIRU8/08RSHUDWLRQ WRJHQHUDWHWKH+(7%33'8LIWKH7ULJJHUIUDPHFRQWDLQVWKH
 67$¶V$,'LQDQ\RIWKH8VHU,QIRILHOGVRWKHUZLVHWKH67$VKDOOIROORZWKHUXOHVGHILQHGLQ

 8/2)'0$EDVHGUDQGRPDFFHVV 825$ WRJDLQDFFHVVWRDQ5$58DQGJHQHUDWHWKH+(7% 
 33'8LIWKH7ULJJHUIUDPHFRQWDLQVRQHRUPRUH5$58V
 ² 7KH67$VKDOOLQFOXGHLQWKH+(7%33'8RQHRUPRUH4R61XOOIUDPHVFRQWDLQLQJWKH%45&RQ

 WUROVXEILHOGZLWKWKHFKDQQHODYDLODELOLW\LQIRUPDWLRQRIWKH67$7KH+(67$VKDOOQRWVROLFLWDQ
 LPPHGLDWHUHVSRQVHIRUWKHIUDPHVFDUULHGLQWKH+(7%33'87KH$FN3ROLF\,QGLFDWLRQVXEILHOG 
 RIWKHIUDPHVKDOOEHVHWWR1R$FN

 127(²$Q$3GRHVQRWVHQGD%4537ULJJHUIUDPHDGGUHVVHGWRD67$WKDWKDVVHWWKH8/08'LVDEOHILHOGWR

 $Q$3PD\LQFOXGHD%4537ULJJHUIUDPHWRJHWKHUZLWKRWKHU&RQWURO'DWDDQG0DQDJHPHQWIUDPHVLQ 

RQH $03'8 WR D 67$ LI WKH +( &DSDELOLWLHV HOHPHQW UHFHLYHG IURP WKH 67$ KDV WKH %653 %453 $

 03'8 $JJUHJDWLRQ ILHOG HTXDO WR  $ QRQ$3 67$ FRQVWUXFWV WKH $03'8 FRQWDLQHG LQ WKH +( 7% 
 33'8VHQWLQUHVSRQVHWRD%4537ULJJHUIUDPHDVGHVFULEHGLQ $03'8FRQWHQWVLQDQ+(7% 
 33'8 


 1'3IHHGEDFNUHSRUWSURFHGXUH

 *HQHUDO


 7KH1'3IHHGEDFNUHSRUWSURFHGXUHDOORZVDQ+($3WRFROOHFWIHHGEDFNWKDWLVQRWFKDQQHOVRXQGLQJIURP

 PXOWLSOHQRQ$3+(67$V

 $Q+($3VHQGVDQ1)537ULJJHUIUDPHWRVROLFLW1'3IHHGEDFNUHSRUWUHVSRQVHIURPPDQ\QRQ$367$V


WKDWDUHLGHQWLILHGE\DUDQJHRIVFKHGXOHG$,'VLQWKH7ULJJHUIUDPH7KH1'3IHHGEDFNUHSRUWUHVSRQVH
 IURPDQRQ$367$LVDQ+(7%IHHGEDFN1'3 VHH +(7%IHHGEDFN1'3 $QRQ$367$XVHV
 WKHLQIRUPDWLRQFDUULHGLQWKH1)537ULJJHUIUDPHWRNQRZLILWLVVFKHGXOHGDQGLQWKLVFDVHWRGHULYHWKH
 SDUDPHWHUVIRUWKHWUDQVPLVVLRQRIWKHUHVSRQVH


 ,QWKLVVXEFODXVHWKH1'3IHHGEDFNUHSRUWSURFHGXUHLVGHVFULEHG

 67$EHKDYLRU


 $QRQ$367$VKDOOVHWWKH1'3)HHGEDFN5HSRUW6XSSRUWVXEILHOGLQWKH+(&DSDELOLWLHVHOHPHQWWRLILW
 VXSSRUWV1'3IHHGEDFNUHSRUWDQGVHWLWRWKHUZLVH

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $QRQ$367$VKDOOQRWWUDQVPLWDQ1'3IHHGEDFNUHSRUWUHVSRQVHXQOHVVLWLVH[SOLFLWO\HQDEOHGE\DQ$3
 LQRQHRIWKHRSHUDWLRQPRGHVGHVFULEHGLQWKLVVXEFODXVH7KHLQWHUIUDPHVSDFHEHWZHHQD33'8WKDWFRQ

WDLQVDQ1)537ULJJHUIUDPHDQGWKH1'3IHHGEDFNUHSRUWSROOUHVSRQVHLV6,)6$QRQ$367$VKDOOFRP

 PHQFHWKHWUDQVPLVVLRQRIDQ1'3IHHGEDFNUHSRUWUHVSRQVHDWWKH6,)6WLPHERXQGDU\DIWHUWKHHQGRID
 UHFHLYHG33'8LIDOOWKHIROORZLQJFRQGLWLRQVDUHPHW
 ² 7KHUHFHLYHG33'8FRQWDLQVDQ1)537ULJJHUIUDPH

 ² 7KHQRQ$367$LVVFKHGXOHGE\WKH1)537ULJJHUIUDPH
 ² 7KH1'3IHHGEDFNUHSRUWVXSSRUWVXEILHOGLQ+(0$&&DSDELOLWLHV,QIRUPDWLRQILHOGLVVHWWR

 ² 7KHQRQ$367$LQWHQGVWRSURYLGHDUHVSRQVHWRWKHW\SHRIWKH1'3IHHGEDFNFRQWDLQHGLQWKH
 1)537ULJJHUIUDPHDVGHVFULEHGLQ 1'3IHHGEDFNUHSRUWIRUDUHVRXUFHUHTXHVW 


 $ QRQ$3 67$ WKDW GRHV QRW VDWLVI\ DOO RI WKH DERYH FRQGLWLRQV VKDOO QRW UHVSRQG WR WKH 1)53 7ULJJHU
 IUDPH

 $QRQ$367$LVVFKHGXOHGWRUHVSRQGWRWKH1)537ULJJHUIUDPHLIDOOWKHIROORZLQJFRQGLWLRQVDUHPHW

 ² 7KHQRQ$367$LVDVVRFLDWHGZLWKWKH%66,'LQGLFDWHGLQWKH7$ILHOGRIWKH1)537ULJJHUIUDPH
 RUWKHQRQ$367$LVDVVRFLDWHGZLWKDQRQWUDQVPLWWHG%66,'RIDPXOWLSOH%66,'VHWDQGWKH7$
 ILHOGRIWKH1)537ULJJHUIUDPHLVVHWWRWKHWUDQVPLWWHG%66,'RIWKDWPXOWLSOH%66,'VHW

 ² 7KHQRQ$367$¶V$,'LVJUHDWHUWKDQRUHTXDOWRWKHVWDUWLQJ $,'DQGOHVVWKDQVWDUWLQJ$,' 
 NSTAXVLQJWKH6WDUWLQJ$,'VXEILHOGLQWKHHOLFLWLQJ7ULJJHUIUDPHDQGZLWKNSTAWKHWRWDOQXPEHU
 RIQRQ$367$VWKDWDUHVFKHGXOHGWRUHVSRQGWRWKH1)537ULJJHUIUDPHNSTALVFDOFXODWHGE\WKH
 IROORZLQJHTXDWLRQZLWK8/%:VXEILHOGDQG0XOWLSOH[LQJ)ODJVXEILHOGIURPWKHHOLFLWLQJ7ULJJHU

IUDPH

 NSTA îBW î Multiplexing Flag + 1

 $QRQ$367$VKDOOREWDLQ1'3IHHGEDFNUHSRUWSDUDPHWHUYDOXHVIURPWKHPRVWUHFHQWO\UHFHLYHG1'3 
 )HHGEDFN5HSRUW3DUDPHWHU6HWHOHPHQWFDUULHGLQD%HDFRQ3UREH5HVSRQVHRU 5H $VVRFLDWLRQ5HVSRQVH

IUDPHIURPLWVDVVRFLDWHG$3XQOHVVWKHQRQ$367$LVDVVRFLDWHGZLWKDQRQWUDQVPLWWHG%66,'RIDPXOWL

 SOH%66,'VHWLQZKLFKFDVHLWVKDOOIROORZWKHUXOHVLQ ,QKHULWDQFHRIHOHPHQWYDOXHV WRGHWHU
 PLQH WKH 1'3 IHHGEDFN SDUDPHWHU YDOXHV ,I WKH 1'3 )HHGEDFN 5HSRUW 3DUDPHWHU 6HW HOHPHQW LV QRW
 UHFHLYHGLQD0DQDJHPHQWIUDPHZLWKD7$HTXDOWRWKH%66,'RIWKHDVVRFLDWHG$3RUWRWKHWUDQVPLWWHG 
 %66,'RIWKHPXOWLSOH%66,'VHWWKHQRQ$367$VKDOOXVHGHIDXOWYDOXHVIRUWKH1'3)HHGEDFN5HSRUW

SDUDPHWHUV


 $Q1'3IHHGEDFNUHSRUWUHVSRQVHLVDQ+(7%IHHGEDFN1'3DVGHILQHGLQ +(33'8IRUPDWV 

 $QRQ$367$WUDQVPLWWLQJDQ1'3IHHGEDFNUHSRUWVKDOOVHWWKH7;9(&725SDUDPHWHUDVIRUWUDQVPLW


WLQJDQ+(7%33'8LQUHVSRQVHWRD7ULJJHUIUDPHDVGHVFULEHGLQ 1RQ$367$EHKDYLRUIRU8/

 08RSHUDWLRQ H[FHSWIRUWKHIROORZLQJSDUDPHWHUV
 ² 7KH)250$7SDUDPHWHUVKDOOEHVHWWR+(B7%

 ² 7KH$3(3B/(1*7+SDUDPHWHUVKDOOEHVHWWR
 ² 7KH58B$//2&$7,21SDUDPHWHUVKDOOEHVHWWREHPD[LPXP58VL]HIRUWKH%:

 ² 7KH58B721(B6(7B,1'(;SDUDPHWHUVKDOOEHVHWZLWKWKHIROORZLQJHTXDWLRQZLWKWKHYDOXHRI
 WKH6WDUWLQJ$,'VXEILHOGLQWKH8VHU,QIRILHOGRIWKHHOLFLWLQJ7ULJJHUIUDPH

 ‡ 58B721(B6(7B,1'(;  $,'±6WDUWLQJ$,' PRG îBW
 ² 7KH180B676SDUDPHWHUVKDOOEHVHWWR

 ² 7KH63$7,$/B5(86(SDUDPHWHUVKDOOEHVHWWR365B',6$//2:
 ² 7KH67$57,1*B676B180SDUDPHWHUVKDOOEHVHWZLWKWKHIROORZLQJHTXDWLRQZLWKWKHYDOXHVRI
 WKH6WDUWLQJ$,'VXEILHOGLQWKH8VHU,QIRILHOGRIWKHHOLFLWLQJ7ULJJHUIUDPH

 ‡ 67$57,1*B676B180 ¬ $,'±6WDUWLQJ$,' BW¼

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ² 7KH0&6SDUDPHWHUVKDOOEHVHWWR

 ² 7KH'&0SDUDPHWHUVKDOOEHVHWWR

 ² 7KH)(&B&2',1*SDUDPHWHUVKDOOEHVHWWR

 ² 7KH 7;3:5B/(9(/B,1'(; SDUDPHWHU VKDOO EH VHW WR WKH YDOXH EDVHG RQ WKH 7UDQVPLW 3RZHU

 &RQWUROIRUDQ+(7%33'8DQGEDVHGRQWKHYDOXHRIWKH$37[3RZHUVXEILHOGDQGWKH8/7DUJHW
 566,VXEILHOGLQWKH8VHU,QIRILHOGRIWKHHOLFLWLQJ7ULJJHUIUDPH VHH 3RZHUSUHFRUUHF
 WLRQ


127(²7KHVXEFDUULHUVIRUHDFK58B721(B6(7LQGH[DUHFRQWDLQHGLQD0+]FKDQQHODQGFDQEHWUDQVPLWWHGE\D

 0+]RSHUDWLQJ67$


$3EHKDYLRU



$Q$3VKDOOVHWWKH1'3)HHGEDFN5HSRUW6XSSRUWVXEILHOGLQWKH+(&DSDELOLWLHVHOHPHQWWRLILWVXSSRUWV

 1'3IHHGEDFNUHSRUWDQGVHWLWRWKHUZLVH


 $Q$3PD\LQFOXGHWKH1'3)HHGEDFN5HSRUW3DUDPHWHU6HWHOHPHQWLQ%HDFRQIUDPHV3UREH5HVSRQVH
 IUDPHVDQG 5H $VVRFLDWLRQ5HVSRQVHIUDPHVLQRUGHUWRPRGLI\SDUDPHWHUVIRU1'3)HHGEDFN5HSRUWRSHU
 DWLRQ7KHSURFHGXUHRI1'3)HHGEDFNUHSRUWGHVFULEHGLQWKLVVXEFODXVHDOORZVRSHUDWLRQHYHQLIWKH1'3


 )HHGEDFN5HSRUW3DUDPHWHU6HWHOHPHQWLVQRWVHQWE\WKH$3


 7KH1)537ULJJHUIUDPHVKDOOEHWUDQVPLWWHGLQDQRQ+733'8RU+733'8RUDVDQ(2)03'8LQD
 9+7+((56833'8RU+(6833'8


 $Q$3WKDWWUDQVPLWVDQ1)537ULJJHUIUDPHVKDOOVHWWKH7$ILHOGRIWKHIUDPHWRWKH0$&DGGUHVVRIWKH
 $3XQOHVVGRW0XOWL%66,',PSOHPHQWHGLVWUXHDQGWKH7ULJJHUIUDPHLVGLUHFWHGWR67$VIURPDWOHDVW
 WZRGLIIHUHQW%66VRIDPXOWLSOH%66,'VHWLQZKLFKFDVHWKH$3VKDOOVHWWKH7$ILHOGRIWKHIUDPHWRWKH

 WUDQVPLWWHG%66,'


 )ROORZLQJWKHWUDQVPLVVLRQIURPDQ$3RIDQ1)537ULJJHUIUDPHPXOWLSOH67$VPD\VLPXOWDQHRXVO\VHQG 
 1'3 IHHGEDFN UHSRUW UHVSRQVHV WR WKH $3 %DVHG RQ WKH 5;9(&725 SDUDPHWHU 1'3B5(3257 ZKLFK
 SURYLGHVWKHGHWHFWHGVWDWXVDUUD\IRUWKHUHVRXUFHVRIHDFKVSDWLDOVWUHDPDQGWRQHVHWDVVLJQHGE\WKH7ULJ

JHUIUDPHWKH$3FDQGHULYHWKHOLVWRI$,'VIURPWKHUHVRXUFHVRIZKLFKDQ1'3IHHGEDFNUHSRUWUHVSRQVH

 ZDVVHQWDQGWKHLUUHVSRQVH


 7KH$3VKDOOQRWVHQGDQ\DFNQRZOHGJPHQWLQUHVSRQVHWRWKHUHFHSWLRQRI1'3IHHGEDFNUHSRUWUHVSRQVHV


 1'3IHHGEDFNUHSRUWIRUDUHVRXUFHUHTXHVW


 ,IWKH)HHGEDFN7\SHVXEILHOGLQWKH8VHU,QIRILHOGRIWKH1)537ULJJHUIUDPHLVD67$WKDWLVVFKHGXOHG

 PD\VHQGDQ1'3IHHGEDFNUHSRUWUHVSRQVHLQRUGHUWRVLJQDOWRWKH$3WKDWLWLVLQWKHDZDNHVWDWHDQGWKDW
 LWPLJKWKDYHIUDPHVLQLWVTXHXHVIRU8/08,IWKH67$GRHVQRWVDWLVI\HLWKHURIWKHFRQGLWLRQVLQ7DEOH

  )(('%$&.B67$786GHVFULSWLRQ WKHQWKH67$VKDOOQRWUHVSRQGWRWKH1)537ULJJHUIUDPH


 (DFK 67$ WKDW LV VFKHGXOHG LV DVVLJQHG D 67$57,1*B676B180 DQG DQ 58B721(B6(7B,1'(; WR
 WUDQVPLWD)(('%$&.B67$786ELW

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KHPHDQLQJRIWKH)(('%$&.B67$786ELWLVGHILQHGLQ7DEOH )(('%$&.B67$786GHVFULS
 WLRQ 



 7DEOH²)(('%$&.B67$786GHVFULSWLRQ


 )(('%$&.B67$786 &RQGLWLRQ

  7KH67$LVLQWKHDZDNHVWDWHDQGUHSRUWVEXIIHUHGRFWHWV
 IRUWUDQVPLVVLRQQRWH[FHHGLQJWKHUHVRXUFHUHTXHVWEXI
 IHUWKUHVKROG

 127(²7KH67$FDQXVHWKLVYDOXHWRLQGLFDWHWKDWLWLV
 LQWKHDZDNHVWDWHHYHQLILWGRHVQRWKDYHDQ\EXIIHUHG
 RFWHWVIRUWUDQVPLVVLRQIRUH[DPSOHWRVROLFLWGHOLYHU\RI
 %8VNQRZQWREHEXIIHUHGDWWKH$3
  7KH67$LVLQWKHDZDNHVWDWHDQGUHSRUWVEXIIHUHGRFWHWV
 IRUWUDQVPLVVLRQH[FHHGLQJWKHUHVRXUFHUHTXHVWEXIIHU
 WKUHVKROG



 7KH UHVRXUFH UHTXHVW EXIIHU WKUHVKROG LV HTXDO WR  5HVRXUFH UHTXHVW EXIIHU WKUHVKROG H[SRQHQW  RFWHWV XVLQJ WKH

5HVRXUFH5HTXHVW%XIIHU7KUHVKROG([SRQHQWVXEILHOGLQWKHPRVWUHFHQWO\UHFHLYHG1'3)HHGEDFN5HSRUW

 3DUDPHWHU6HWHOHPHQWVHQWE\WKH$3ZLWKZKLFKWKH67$LVDVVRFLDWHG7KHUHVRXUFHUHTXHVWEXIIHUWKUHVK
 ROGLVHTXDOWRRFWHWVLIWKH67$GLGQRWUHFHLYHDQ1'3)HHGEDFN5HSRUW3DUDPHWHU6HWHOHPHQWIURP 
 WKH$3ZLWKZKLFKWKH67$LVDVVRFLDWHG



3RZHUVDYHRSHUDWLRQZLWK1'3IHHGEDFNUHSRUWSURFHGXUH

 $Q+($3WKDWVHQGVDQ1)537ULJJHUIUDPHWRDQRQ$367$LQ36PRGHDQGUHFHLYHVDQ1'3IHHGEDFN 
 UHSRUWUHVSRQVHIURPWKH67$VKDOODVVXPHWKH67$WREHRUWRKDYHWUDQVLWLRQHGWRWKHDZDNHVWDWHDQG

 ² IROORZWKHUXOHVGHILQHGLQ 3RZHUPDQDJHPHQWZLWK$36' WRGHOLYHU%8VWRWKH67$DVLI
 WKH67$KDGVHQWD8$36'WULJJHUIUDPHLIWKH67$LVXVLQJ8$36'
 ² IROORZWKHUXOHVGHILQHGLQ *HQHUDO WRGHOLYHU%8VWRWKH67$DVLIWKH67$KDGVHQWD36

 3ROOIUDPHLIWKH67$LVQRWXVLQJ8$36'
 ² LQDGGLWLRQWKH$3VKDOOIROORZWKHUXOHVGHILQHGLQ 7:7RSHUDWLRQ IRUGHOLYHU\RI%8VGXULQJ
 WKH7:763LIWKH67$RSHUDWHVZLWK7:7

 127(²$VWKH$3GRHVQRWVHQGDQDFNQRZOHGJPHQWLQUHVSRQVHWRWKH1'3)HHGEDFN5HSRUWUHVSRQVHD67$WKDW
 VHQGVDQ1'3)HHGEDFN5HSRUWUHVSRQVHDQGLQGLFDWHVWKDWLWLVLQWKHDZDNHVWDWHPLJKWVWLOOVFKHGXOHIRUWUDQVPLVVLRQD
 363ROORU8$36'WULJJHUIUDPHLQRUGHUWRLQGLFDWHWKDWLWLVLQWKHDZDNHVWDWH

 8VHRI763(&E\+(67$V


 ,Q DGGLWLRQ WR WKH 76 6HWXS RSHUDWLRQV DV GHVFULEHG LQ  76 VHWXS  D QRQ$3 +( 67$ PD\ XVH D
 763(&FRQWDLQHGLQD%DVLF$''765HTXHVWIUDPHWRSURYLGHLWVWUDIILFFKDUDFWHULVWLFVDQG4R6UHTXLUH
 PHQWVWRDQ+($3WKDWVXSSRUWVWKHUHFHSWLRQRI%DVLF$''765HTXHVWIUDPHLQRUGHUWRIDFLOLWDWHHIILFLHQW
 VFKHGXOLQJIRU+($3¶V8/DQG'/08RSHUDWLRQV$763(&SURYLGHGE\DQRQ$3+(67$LVXVHGE\D

 UHFHLYLQJ+($3WRIDFLOLWDWHWKHFUHDWLRQRIDVFKHGXOHIRUFRQWHQWLRQEDVHGFKDQQHODFFHVV ('&$ RU08 
 RSHUDWLRQ+RZWKH+($3XVHVWKHLQIRUPDWLRQSURYLGHGE\WKHQRQ$3+(67$LVEH\RQGWKHVFRSHRIWKH
 VSHFLILFDWLRQ


$QRQ$3+(67$WUDQVPLWVDQ$''765HTXHVWZLWK6FKHGXOHDQG$36'VXEILHOGVLQWKH763(&HOHPHQW

 VHWWRWRVLJQDOLWVWUDIILFFKDUDFWHULVWLFVDQG4R6UHTXLUHPHQWV$Q+($3WUDQVPLWVDQ$''765HVSRQVH
 IUDPHDVDUHVSRQVHWR$''765HTXHVWIUDPHDVGHVFULEHGLQ 76VHWXS 

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $QRQ$3+(67$VKRXOGVHQGD'(/76IUDPHZLWKWKHFRUUHVSRQGLQJ76,'LIWKHWUDIILFDVVRFLDWHGZLWK

 WKH76,'KDVEHHQWHUPLQDWHG:KHQUHFHLYLQJD'(/76IURPDQRQ$3+(67$WKH+($3VKDOOFRQVLGHU

WKHLQIRUPDWLRQSURYLGHGLQWKH763(&DVQRORQJHUYDOLG


 8/08WUDQVPLWSRZHUFDSDELOLWLHV

 $QRQ$3+(67$PD\XVHWKH8/083RZHU&DSDELOLWLHVHOHPHQWLQDQ 5H $VVRFLDWLRQ5HTXHVWIUDPHLQ 


RUGHUWRLQIRUPDQ+($3RIWKHUHODWLYHPD[LPXPWUDQVPLWSRZHUDWZKLFKWKHQRQ$3+(67$LVFDSDEOH
 RIWUDQVPLWWLQJDQ+(7%33'8IRUHDFK+(0&6LQWKHFXUUHQWRSHUDWLQJFKDQQHOZLGWKZKHQXVLQJDQ
 58VL]HJUHDWHUWKDQRUHTXDOWRVXEFDUULHUV

 $Q+($3PLJKWXVHWKLVLQIRUPDWLRQDVDQLQSXWLQWRWKHDOJRULWKPXVHGWRVFKHGXOHWKHQRQ$3+(67$


IRU8/08WUDQVPLVVLRQ7KHVSHFLILFDWLRQRIWKHDOJRULWKPLVEH\RQGWKHVFRSHRIWKLVVWDQGDUG


 $03'8RSHUDWLRQLQDQ+(33'8

 *HQHUDO



$03'8RSHUDWLRQIRUDQ+(33'8 IROORZVWKHSURFHGXUHVGHILQHGLQ $03'8RSHUDWLRQ DQG
 DGGLWLRQDOO\WKHSURFHGXUHVGHILQHGLQWKLVVXEFODXVH

 $Q+(67$WKDWVHQGVD&ODVVIUDPHRUD&ODVVIUDPHLQDQ+(33'8VKDOOVHQGWKHIUDPHDVDQ6
 03'8 VHH7DEOH $03'8FRQWHQWVLQWKH603'8FRQWH[W 


 $Q +(67$ WKDW VHQGVD9+7 &DSDELOLWLHV HOHPHQWDQ+7&DSDELOLWLHV HOHPHQWRUDQ+(*+]%DQG
 &DSDELOLWLHVHOHPHQWDQGDQ+(&DSDELOLWLHVHOHPHQWZLWK0D[LPXP$03'8/HQJWK([SRQHQW([WHQVLRQ
 ILHOGRIVKDOOVXSSRUWLQUHFHSWLRQDQ$03'8SUH(2)SDGGLQJZLWKPD[LPXPOHQJWKGHILQHGLQ
 $03'8OHQJWKOLPLWUXOHV 


 $Q +( 67$ WKDW VHQGV D 9+7 &DSDELOLWLHV HOHPHQW DQG DQ +( &DSDELOLWLHV HOHPHQW ZLWK 0D[LPXP $
 03'8/HQJWK([SRQHQW([WHQVLRQVXEILHOGJUHDWHUWKDQVKDOOVXSSRUWUHFHSWLRQRIDQ+(33'8ZLWKDQ
 $03'8SUH(2)SDGGLQJDVGHILQHGLQ $03'8OHQJWKOLPLWUXOHV H[FHSWWKDWWKHPD[LPXP 
 OHQJWK IRU WKH $03'8 SUH(2) SDGGLQJ VKDOO EH HTXDO WR
   0D[LPXP$03'8/HQJWK([SRQHQW([WHQVLRQ
 min  ±    $Q +( 67$ WKDW VHWV WKH 0D[LPXP $
 03'8/HQJWK([SRQHQW([WHQVLRQVXEILHOGRIWKH+(&DSDELOLWLHVHOHPHQWWRDYDOXHJUHDWHUWKDQVKDOO
 VHWWKH0D[LPXP$03'8/HQJWK([SRQHQWVXEILHOGRIWKH9+7&DSDELOLWLHVHOHPHQWWR

 127(²LVGHILQHGLQ7DEOH 0D[LPXPGDWDXQLWVL]HV LQRFWHWV DQGGXUDWLRQV LQPLFURVHFRQGV DVWKH
 XSSHUERXQGRI$03'8VL]H

 $Q+(67$WKDWGRHVQRWVHQGD9+7&DSDELOLWLHVHOHPHQWEXWVHQGVDQ+7&DSDELOLWLHVHOHPHQWDQGDQ+( 
 &DSDELOLWLHV HOHPHQW ZLWK 0D[LPXP $03'8 /HQJWK ([SRQHQW ([WHQVLRQ VXEILHOG JUHDWHU WKDQ  VKDOO
 VXSSRUWLQUHFHSWLRQDQ$03'8SUH(2)SDGGLQJLQDQ+(33'8DVGHILQHGLQ $03'8OHQJWK

 OLPLWUXOHV H[FHSWWKDWWKHPD[LPXPOHQJWKIRUWKH$03'8SUH(2)SDGGLQJVKDOOEHHTXDOWR 0D[L
PXP$03'8/HQJWK([SRQHQW([WHQVLRQ
 ±$Q+(67$WKDWVHWVWKH0D[LPXP$03'8/HQJWK([SRQHQW
 ([WHQVLRQVXEILHOGRIWKH+(&DSDELOLWLHVHOHPHQWWRDYDOXHJUHDWHUWKDQVKDOOVHWWKH0D[LPXP$03'8 
 /HQJWK([SRQHQWVXEILHOGRIWKH+7&DSDELOLWLHVHOHPHQWWR

 127(²$Q+(67$WKDWLVD9+767$VHQGVD9+7&DSDELOLWLHVHOHPHQW$Q+(67$WKDWLVQRWD9+767$GRHV
 QRWVHQGD9+7&DSDELOLWLHVHOHPHQW

 $Q+(67$WKDWVHQGVDQ+(*+]%DQG&DSDELOLWLHVHOHPHQWDQGDQ+(&DSDELOLWLHVHOHPHQWZLWK0D[L

PXP$03'8/HQJWK([SRQHQW([WHQVLRQVXEILHOGJUHDWHUWKDQVKDOOVXSSRUWLQUHFHSWLRQDQ$03'8 

 SUH(2)SDGGLQJLQDQ+(33'8DVGHILQHGLQ $03'8OHQJWKOLPLWUXOHV H[FHSWWKDWWKHPD[L
 PXP OHQJWK IRU WKH $03'8 SUH(2) SDGGLQJ VKDOO EH HTXDO WR

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

  0D[LPXP$03'8/HQJWK([SRQHQW([WHQVLRQ
 min  ±    $Q +( 67$ WKDW VHWV WKH 0D[LPXP $
 03'8/HQJWK([SRQHQW([WHQVLRQVXEILHOGRIWKH+(&DSDELOLWLHVHOHPHQWWRDYDOXHJUHDWHUWKDQVKDOO

VHWWKH0D[LPXP$03'8/HQJWK([SRQHQWVXEILHOGRIWKH+(*+]%DQG&DSDELOLWLHVHOHPHQWWR


 $Q+(67$VKDOOQRWWUDQVPLWDQ$03'8LQDQ+(33'8WRD67$WKDWH[FHHGVWKHPD[LPXP$03'8 
 OHQJWKFDSDELOLW\LQGLFDWHGLQWKH+(&DSDELOLWLHV9+7&DSDELOLWLHVDQG+7&DSDELOLWLHVHOHPHQWVUHFHLYHG

 IURPWKHUHFLSLHQW67$,ID9+7&DSDELOLWLHVHOHPHQWLVUHFHLYHGIURPWKHUHFLSLHQW67$WKHQWKHPD[L

 PXP$03'8OHQJWKFDSDELOLW\LVGHULYHGIURPWKH0D[LPXP$03'8/HQJWK([SRQHQW([WHQVLRQVXE
 ILHOGLQWKH+(&DSDELOLWLHVDQGWKH0D[LPXP$03'8/HQJWK([SRQHQWVXEILHOGLQWKH9+7&DSDELOLWLHV
 HOHPHQW 2WKHUZLVH WKH PD[LPXP $03'8 OHQJWK FDSDELOLW\ LV GHULYHG IURP WKH 0D[LPXP $03'8 
 /HQJWK([SRQHQWVXEILHOGVLQWKH+(&DSDELOLWLHVHOHPHQWDQGWKH0D[LPXP$03'8/HQJWK([SRQHQW
 VXEILHOGLQWKH+7&DSDELOLWLHVHOHPHQWRULQWKH+(*+]%DQG&DSDELOLWLHVHOHPHQW


 $Q +( 67$ PD\ WUDQVPLW DQ +( 68 33'8 RU +( 08 33'8 WKDW FDUULHV DQ $03'8 ZLWK FRQWHQWV
 GHILQHGLQ7DEOH $03'8FRQWHQWVLQWKHGDWDHQDEOHGQRLPPHGLDWHUHVSRQVHFRQWH[W RU7DEOH
 D $03'8FRQWHQWVLQWKH+(QRQDFNHQDEOHGVLQJOH7,'LPPHGLDWHUHVSRQVHFRQWH[W 


 $Q$03'8ZLWKDQ\QXPEHURI4R61XOOIUDPHVZLWKDQ\7,'DQGZLWK1R$FNDFNSROLF\DQGDJJUH
 JDWHGZLWKRUZLWKRXWRWKHUIUDPHVPD\EHWUDQVPLWWHGWRDUHFLSLHQW67$LQDQ+(33'8WKDWLVQRWDQ+(

 7%33'8UHJDUGOHVVRIWKHYDOXHRIWKH0XOWL7,'$JJUHJDWLRQ5[7[6XSSRUWVXEILHOGLQWKH+(0$& 
 &DSDELOLWLHV,QIRUPDWLRQILHOGLQWKH+(&DSDELOLWLHVHOHPHQWUHFHLYHGIURPWKHUHFLSLHQW67$


 $Q$03'8ZLWKDQ\QXPEHURI4R61XOOIUDPHVZLWKDQ\7,'DQGZLWK1R$FNDFNSROLF\DQGDJJUH
 JDWHGZLWKRUZLWKRXWRWKHUIUDPHVLQDQ$03'8PD\EHWUDQVPLWWHGLQWKH+(7%33'8UHJDUGOHVVRIWKH
 YDOXHRIWKH7,'$JJUHJDWLRQ/LPLWVXEILHOGDQGWKHYDOXHRIWKH3UHIHUUHG$&VXEILHOGLQWKH%DVLF7ULJJHU
 IUDPHDQGWKHYDOXHRIWKH0XOWL7,'$JJUHJDWLRQ5[6XSSRUWRIWKH$3WKDWVROLFLWVWKH$03'8

 127(²$4R61XOO IUDPHZLWK1RUPDO$FNRU,PSOLFLW%$5DFNSROLF\LV QRWDOORZHGWR EH VHQWLQDQ$03'8
 H[FHSWIRUD4R61XOOIUDPHZLWK1RUPDO$FNDFNSROLF\LQDQ603'8 DVGHILQHGLQ7DEOHD $03'8FRQ
 WHQWV LQ WKH +( QRQDFNHQDEOHG VLQJOH7,' LPPHGLDWH UHVSRQVH FRQWH[W  LQ +( 33'8 FRQWH[W  7DEOHE $
 03'8FRQWHQWVLQWKH+(DFNHQDEOHGVLQJOH7,'LPPHGLDWHUHVSRQVHFRQWH[W 7DEOHF $03'8FRQWHQWVLQ 
 WKH +( QRQDFNHQDEOHG PXOWL7,' LPPHGLDWH UHVSRQVH FRQWH[W  7DEOHG $03'8 FRQWHQWV LQ WKH +( DFN
 HQDEOHG PXOWL7,' LPPHGLDWH UHVSRQVH FRQWH[W  7DEOH  $03'8 FRQWHQWV LQ WKH GDWD HQDEOHG QR LPPHGLDWH
 UHVSRQVHFRQWH[W DQG7DEOH $03'8FRQWHQWVLQWKHFRQWUROUHVSRQVHFRQWH[W 


 $03'8SDGGLQJLQDQ+(33'8

 *HQHUDO


 ,QDQ+(33'8D67$VKDOOQRWDGGDQ$03'8VXEIUDPHZLWKWKH(2)ILHOGVHWWRDQGZLWKWKH03'8

 /HQJWKILHOGVHWWREHIRUHDQ$03'8VXEIUDPHZLWKDQRQ]HUR03'8/HQJWKILHOG

 $03'8SDGGLQJLQDQ+(6833'8+((56833'8DQG+(0833'8


 $Q+(67$WKDWWUDQVPLWVD'/+(0833'8WKDWFRQWDLQVRQHRUPRUH36'8VHDFKRIZKLFKFDUULHVDQ
 $03'8VKDOOFRQVWUXFWWKH$03'8VDVGHVFULEHGLQ $03'8SDGGLQJIRU9+733'8 H[FHSW
 WKDWRQHRUPRUH$03'8VXEIUDPHVZLWKDQRQ]HUR03'8/HQJWKILHOGDQGZLWKDQ(2)ILHOGHTXDOWR

 PD\EHDGGHGLIWKH$03'8LVDQDFNHQDEOHGVLQJOH7,'$03'8 VHH 0XOWL7,'$03'8DQG

 DFNHQDEOHGVLQJOH7,'$03'8 

 $Q+(67$WKDWWUDQVPLWVDQ+(6833'8+((56833'8RU8/+(0833'8WKDWFRQWDLQVRQH$
 03'8VKDOOFRQVWUXFWWKH$03'8DVGHVFULEHGLQ $03'8SDGGLQJIRU9+733'8 H[FHSWWKDW

RQHRUPRUH$03'8VXEIUDPHVZLWKDQRQ]HUR03'8/HQJWKILHOGDQGZLWKDQ(2)ILHOGHTXDOWRPD\


 EHDGGHGLIWKH$03'8LVDQDFNHQDEOHGVLQJOH7,'$03'8 VHH 0XOWL7,'$03'8DQGDFN
 HQDEOHGVLQJOH7,'$03'8 

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $03'8SDGGLQJLQDQ+(7%33'8



$QRQ$367$WKDWWUDQVPLWVDQ+(7%33'8VKDOOFRQVWUXFWWKH36'8FDUULHGLQWKH+(7%33'8DV
 GHVFULEHGLQWKLVVXEFODXVH

 7KH 67$ FDOFXODWHV WKH 36'8B/(1*7+ DV GHILQHG LQ  3/0( 6$3 LQWHUIDFH  DQG LQLWLDOL]HV $
 03'8B/HQJWKWR


 7KH67$PD\DGG$03'8VXEIUDPHVWRWKH$03'8FRQWDLQHGLQWKH36'8SURYLGHGWKDWWKHIROORZLQJ
 FRQVWUDLQWVDUHIXOILOOHG


² 7KH $03'8 FRQWHQW FRQVWUDLQWV VHH  $03'8 FRQWHQWV  DQG  0XOWL7,' $
 03'8DQGDFNHQDEOHGVLQJOH7,'$03'8 IRUWKHLQWHQGHGUHFLSLHQW
 ² 7KH/HQJWKOLPLWFRQVWUDLQWV VHH $03'8IRUPDW DQG $03'8OHQJWKOLPLWUXOHV 

IRUWKHLQWHQGHGUHFLSLHQW

 ² 7KH 03'8 VWDUW VSDFLQJ FRQVWUDLQWV VHH  0LQLPXP 03'8 6WDUW 6SDFLQJ ILHOG  IRU WKH
 LQWHQGHGUHFLSLHQW


 SURYLGHGWKDWWKHIROORZLQJFRQGLWLRQVDUHPHW
 ² 7KH$03'8VXEIUDPHVKDYHDYDOXHJUHDWHUWKDQLQWKH03'8/HQJWKILHOGRUKDYHDYDOXHLQ

 WKH03'8/HQJWKILHOGDQGDYDOXHLQWKH(2)ILHOG

 ² $IWHULQFUHPHQWLQJWKH$03'8B/HQJWKZLWKWKHOHQJWKRIHDFKVXFKDGGHG$03'8VXEIUDPH
 WKHUHODWLRQVKLS$03'8B/HQJWK”36'8B/(1*7+LVWUXH


 3DGGLQJLVWKHQDGGHGVXFKWKDWWKHUHVXOWLQJ$03'8FRQWDLQVH[DFWO\36'8B/(1*7+RFWHWVDVIROORZV
 ² )LUVWZKLOH$03'8B/HQJWK36'8B/(1*7+DQG$03'8B/HQJWKPRGDGGDQRFWHWWR

 WKHILQDO$03'8VXEIUDPH¶V3DGGLQJVXEILHOGDQGLQFUHPHQW$03'8B/HQJWKE\

 ² 7KHQZKLOH$03'8B/HQJWK”36'8B/(1*7+DGGDQ(2)SDGGLQJVXEIUDPHWRWKH(2)

 3DGGLQJ6XEIUDPHVILHOGDQGLQFUHPHQW$03'8B/HQJWKE\

 ² )LQDOO\ZKLOH$03'8B/HQJWK36'8B/(1*7+DGGDQRFWHWWRWKH(2)3DGGLQJ2FWHWVVXE
 ILHOGDQGLQFUHPHQW$03'8B/HQJWKE\

 $Q$03'8SUH(2)SDGGLQJLVFRQVWUXFWHGIURPHDFKXVHUIURPDQ\RIWKHIROORZLQJ

 ² $03'8VXEIUDPHVFRQVWUXFWHGIURPWKH03'8VDYDLODEOHIRUWUDQVPLVVLRQIURPDQ\$&WKDWLV
 VHOHFWHGE\WKH67$

² $03'8VXEIUDPHVZLWKLQWKH03'8/HQJWKILHOGDQGLQWKH(2)ILHOG


 0XOWL7,'$03'8DQGDFNHQDEOHGVLQJOH7,'$03'8

 *HQHUDO


 $QRQDFNHQDEOHGPXOWL7,'$03'8LVDQ$03'8WKDWGRHVQRWFRQWDLQDQ(2)03'8EXWGRHVFRQ
 WDLQQRQ(2) 03'8VIURPDW OHDVW WZR 7,'V VHH7DEOHF $03'8FRQWHQWV LQ WKH +(QRQDFN
 HQDEOHGPXOWL7,'LPPHGLDWHUHVSRQVHFRQWH[W 


 $Q DFNHQDEOHG PXOWL7,' $03'8 LV DQ $03'8 WKDW FRQWDLQV DW OHDVW RQH (2) 03'8 WKDW VROLFLWV
 DFNQRZOHGJPHQWDQGRQHRUPRUH03'8VIURPDWOHDVWRQH7,' VHH7DEOHG $03'8FRQWHQWVLQ
 WKH+(DFNHQDEOHGPXOWL7,'LPPHGLDWHUHVSRQVHFRQWH[W 


$QDFNHQDEOHGVLQJOH7,'$03'8LVDQ$03'8WKDWFRQWDLQVRQH(2)03'8WKDWVROLFLWVDFNQRZO

 HGJPHQWDQGRQHRUPRUHQRQ(2)03'8VWKDWGRQRWVROLFLWDQLPPHGLDWHUHVSRQVH VHH7DEOHE $
 03'8FRQWHQWVLQWKH+(DFNHQDEOHGVLQJOH7,'LPPHGLDWHUHVSRQVHFRQWH[W 

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $Q+(67$ZLWKGRW+($03'8ZLWK0XOWLSOH7,'2SWLRQ,PSOHPHQWHGHTXDOWRWUXHVKDOOVHWWKH0XOWL
 7,'$JJUHJDWLRQ5[6XSSRUWVXEILHOGWRDQRQ]HURYDOXHLQWKH+(0$&&DSDELOLWLHV,QIRUPDWLRQILHOGLQ


WKH+(&DSDELOLWLHVHOHPHQWLWWUDQVPLWV$Q+(67$ZLWKGRW+($03'8ZLWK0XOWLSOH7,'2SWLRQ,PSOH

 PHQWHGHTXDOWRIDOVHVKDOOVHWWKH0XOWL7,'$JJUHJDWLRQ5[6XSSRUWVXEILHOGWR

 $Q +( 67$ ZLWK GRW$FN(QDEOHG$03'82SWLRQ,PSOHPHQWHG HTXDO WR WUXH VKDOO VHW WKH $FN(QDEOHG 
 $JJUHJDWLRQ6XSSRUWVXEILHOGWRLQWKH+(0$&&DSDELOLWLHV,QIRUPDWLRQILHOGLQWKH+(&DSDELOLWLHVHOH


PHQWLWWUDQVPLWV$Q+(67$ZLWKGRW$FN(QDEOHG$03'82SWLRQ,PSOHPHQWHGHTXDOWRIDOVHVKDOOVHW
 WKH$FN(QDEOHG$JJUHJDWLRQ6XSSRUWVXEILHOGWR

 $ PXOWL7,' $03'8LVHLWKHU DQRQDFNHQDEOHG PXOWL7,'$03'8 RUDQ DFNHQDEOHGPXOWL7,'$
 03'8$ILUVW+(67$PD\WUDQVPLWDQRQDFNHQDEOHGPXOWL7,'$03'8WRDVHFRQG+(67$LIWKH

 ILUVW+(67$KDVUHFHLYHGIURPWKHVHFRQG67$DQ+(&DSDELOLWLHVHOHPHQWZKHUHWKH0XOWL7,'$JJUHJD
 WLRQ5[6XSSRUWVXEILHOGLVQRQ]HUR$ILUVW+(67$PD\WUDQVPLWDQDFNHQDEOHGPXOWL7,'$03'8RUD
 QRQDFNHQDEOHGPXOWL7,'$03'8WRDVHFRQG+(67$LIWKHILUVW+(67$KDVUHFHLYHGIURPWKHVHFRQG
 +(67$DQ+(&DSDELOLWLHVHOHPHQWZKHUHWKH0XOWL7,'$JJUHJDWLRQ5[6XSSRUWVXEILHOGLVQRQ]HURDQG
 ZKHUHWKH$FN(QDEOHG$JJUHJDWLRQ6XSSRUWVXEILHOGLV2WKHUZLVHWKHILUVW+(67$VKDOOQRWWUDQVPLWD

 PXOWL7,'$03'8WRWKHVHFRQG+(67$

 $Q+(67$VKDOOQRWWUDQVPLWDPXOWL7,'$03'8RUDFNHQDEOHGVLQJOH7,'$03'8LQD9+733'8

 RUD+733'8


 $QRQ$367$VKDOOQRWVHQGDQRQDFNHQDEOHGPXOWL7,'$03'8LQDQ+(7%33'8XQOHVVLWLVLQ 
 UHVSRQVHWRD%DVLF7ULJJHUIUDPHZKHUHWKH7,'$JJUHJDWLRQ/LPLWILHOGRIWKH8VHU,QIRILHOGDGGUHVVHGWR

 WKH67$LVJUHDWHUWKDQ$QRQ$367$VKDOOQRWVHQGDQDFNHQDEOHGPXOWL7,'$03'8LQDQ+(7% 
 33'8XQOHVVLWLVLQUHVSRQVHWRD%DVLF7ULJJHUIUDPHZKHUHWKH7,'$JJUHJDWLRQ/LPLWILHOGRIWKH8VHU
 ,QIRILHOGDGGUHVVHGWRWKH67$LVJUHDWHUWKDQ

 127(²$Q DFNHQDEOHG PXOWL7,' $03'8 VROLFLWHG E\ D %DVLF 7ULJJHU IUDPH ZLWK 7,' $JJUHJDWLRQ /LPLW ILHOG

 HTXDOWRFDQFRQWDLQRQH0DQDJHPHQWIUDPHWKDWVROLFLWVDFNQRZOHGJPHQWDQGRQHRUPRUH4R6'DWDIUDPHVIURPWKH
 VDPH7,'LIWKH$3VXSSRUWVUHFHSWLRQRIDFNHQDEOHGPXOWL7,'$03'8V



$PXOWL7,'$03'8VKDOOQRWEHWUDQVPLWWHGLQDQ+(6833'8+((56833'8RU+(0833'8
 XQOHVVWKH7;23OLPLWLVJUHDWHUWKDQIRUWKH$&WKDWLVXVHGWRJDLQDFFHVVWRWKHPHGLXP7KH$&XVHGWR

 JDLQDFFHVVWRWKHPHGLXPLVWKHSULPDU\$& VHH 7;23OLPLWV ,IWKH7;23OLPLWRIWKHSUL
 PDU\$&LVJUHDWHUWKDQWKHQWKH67$PD\DJJUHJDWH4R6'DWDIUDPHVIURPRQHRUPRUH7,'VLQWKH$
 03'8XQGHUWKHIROORZLQJFRQGLWLRQV

 ² 7KH$03'8VKDOOEHFDUULHGLQHLWKHUDQ+(6833'8RUDQ+((56833'8WUDQVPLWWHGE\WKH
 67$ ZLWKLQ WKH REWDLQHG 7;23 RU DQ +( 08 33'8 WUDQVPLWWHG E\ D QRQ$3 67$ ZLWKLQ WKH
 REWDLQHG7;23

 ² 7KH$03'8VKDOOFRQWDLQRQHRUPRUH03'8VZLWKDQ\RIWKH7,'VWKDWFRUUHVSRQGWRWKHSULPDU\
 $&

 ² ,IQRPRUH03'8VFDQEHDJJUHJDWHGLQWKH$03'8IURPDQ\RIWKH7,'VWKDWFRUUHVSRQGWRWKH
 SULPDU\$&WKHQWKH$03'8PD\DGGLWLRQDOO\FRQWDLQRQHRUPRUH03'8VZLWK7,'VWKDWGRQRW
 FRUUHVSRQG WR WKH SULPDU\ $& LI WKH 7,'V FRUUHVSRQG WR DQ\ $& WKDW KDV D KLJKHU SULRULW\ ZLWK

 UHVSHFWWRWKHSULPDU\$&DQGWKHDGGLWLRQRIWKHVH03'8VGRHVQRWFDXVHWKH67$WRH[FHHGWKH
 FXUUHQW7;23GXUDWLRQ


 $Q+($3PD\DJJUHJDWH03'8VIURPDQ\7,'VLQPXOWL7,'$03'8IRU'/+(0833'8WUDQVPLV
 VLRQDQGWKHQXPEHURI7,'VLQPXOWL7,'$03'8VKDOOQRWEHPRUHWKDQWKH0XOWL7,'$JJUHJDWLRQ5[

 6XSSRUWDQQRXQFHGE\WKHUHFLSLHQW


 7KH0XOWL67$%ORFN$FNIUDPHLVXVHGWRDFNQRZOHGJHWKH03'8VLQDPXOWL7,'$03'8DVGHILQHGLQ

  +(DFNQRZOHGJPHQWSURFHGXUH 

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ,QDPXOWL7,'$03'803'8VZLWKWKHVDPH7,'DUHQRWQHFHVVDULO\FRQWLJXRXV


 ,IWKH$3VSHFLILHVDYDOXHGHILQHGLQ7DEOH $&,WR$&HQFRGLQJ LQWKH3UHIHUUHG$&VXEILHOGLQWKH
 7ULJJHU'HSHQGHQW8VHU,QIRILHOGRID%DVLF7ULJJHUIUDPHWKHQDQ+(67$WKDWWUDQVPLWVDPXOWL7,'$
 03'8WRWKH$3VKRXOGDJJUHJDWH4R6'DWDIUDPHVZLWK7,'VWKDWDUHIURPWKHVDPH$&DVRUDKLJKHUSUL
 RULW\ $& WKDQ LQGLFDWHG LQ WKH 3UHIHUUHG $& VXEILHOG RI WKH 7ULJJHU 'HSHQGHQW 8VHU ,QIR ILHOG WKDW LV

DGGUHVVHGWRWKH67$LQWKH7ULJJHUIUDPH7KHQXPEHURI7,'VIURPZKLFK4R6'DWDIUDPHVDQGWKH0DQ

 DJHPHQWIUDPHWKDWVROLFLWV$FNIUDPHDUHDJJUHJDWHGLQDQ+(7%33'8E\D67$VKDOOIROORZWKHUHVWULF
 WLRQ GHILQHG LQ 7DEOH 5HODWLRQ EHWZHHQ 7,' $JJUHJDWLRQ /LPLW ILHOG 0XOWL7,' $JJUHJDWLRQ 7[ 
 6XSSRUWILHOGDQGVROLFLWHGLPPHGLDWHUHVSRQVH 

 127(²:KLOHLWLVUHFRPPHQGHGWKDWWKH67$WUDQVPLW4R6'DWDIURPWKH$&WKDWKDVWKHVDPHRUDKLJKHUSULRULW\ 
 WKDQWKHSUHIHUUHG$&WKH67$PLJKWVWLOOWRDJJUHJDWH4R6'DWDIURPDQ$&WKDWKDVORZHUSULRULW\WKDQWKHSUHIHUUHG

 $&


7KH67$PD\DJJUHJDWH03'8VIURP7,'VLQRWKHU$&VZLWKLQWKHUHPDLQLQJWLPHWRWKH+(7%33'8 

 GXUDWLRQYDOXHLQGLFDWHGLQWKH8//HQJWKVXEILHOGLQWKH&RPPRQ,QIRILHOGRIWKHUHFHLYHG7ULJJHUIUDPH
 XSWRWKHOLPLWLQGLFDWHGLQWKH7,'$JJUHJDWLRQ/LPLWVXEILHOGLQ7ULJJHU'HSHQGHQW8VHU,QIRILHOGRIWKH
 7ULJJHUIUDPH

 127(²,IWKH$3LQGLFDWHV$&B%.LQWKH3UHIHUUHG$&VXEILHOGLQWKH7ULJJHU'HSHQGHQW8VHU,QIRILHOGRID%DVLF
 7ULJJHUIUDPHWKHQDQ+(67$WKDWWUDQVPLWVDPXOWL7,'$03'8WRWKH$3PLJKWDJJUHJDWH03'8VIURPDQ\$&
 7,'RUFRPELQDWLRQRI7,'VXSWRWKHOLPLWLQGLFDWHGLQWKH7,'$JJUHJDWLRQ/LPLWVXEILHOGLQ7ULJJHU'HSHQGHQW8VHU
 ,QIRILHOGRIWKH7ULJJHUIUDPH



$Q+(67$WKDWLQWHQGVWRVHQG4R6'DWDIUDPHVIURPDVLQJOH7,'VKRXOGVHOHFWD7,'WKDWLVIURPWKH$& 
 LQGLFDWHGLQWKH3UHIHUUHG$&VXEILHOGLQWKH7ULJJHU'HSHQGHQW8VHU,QIRILHOGRID%DVLF7ULJJHUIUDPHRU
 IURPDKLJKHUSULRULW\$&,IWKH+(67$KDVQREXIIHUHG03'8IRU7,'VEHORQJLQJWRWKHVDPH$&DVRU
 DKLJKHUSULRULW\$&WKDQLQGLFDWHGLQWKH3UHIHUUHG$&VXEILHOGLQWKH7ULJJHU'HSHQGHQW8VHU,QIRILHOGRI
 D%DVLF7ULJJHUIUDPHWKHQWKH+(67$PD\LQFOXGH03'8VIRUD7,'EHORQJLQJWRDQ\RWKHU$&LQWKDW


$03'8FDUULHGLQWKH+(7%33'8
 127(²$PXOWL7,'$03'8DOORZVWKHDJJUHJDWLRQRID0DQDJHPHQWIUDPHUHJDUGOHVVRIWKHYDOXHLQGLFDWHGLQWKH
 0XOWL7,'$JJUHJDWLRQ5[6XSSRUWVXEILHOGLQWKH+(0$&&DSDELOLWLHV,QIRUPDWLRQILHOGRIWKH+(&DSDELOLWLHVHOH

PHQWDVORQJDVWKHLQGLFDWHGLQWKHYDOXHRIWKH7,'$JJUHJDWLRQ/LPLWVXEILHOGLQWKH7ULJJHU'HSHQGHQW8VHU,QIR

 ILHOGRIDWKH%DVLF7ULJJHUIUDPHLVQRQ]HUR


 $FNHQDEOHGVLQJOH7,'$03'8RSHUDWLRQ



$QDFNHQDEOHGVLQJOH7,'$03'8LVDQ$03'8ZLWKFRQWHQWVGHILQHGLQ7DEOHE $03'8FRQ
 WHQWVLQWKH+(DFNHQDEOHGVLQJOH7,'LPPHGLDWHUHVSRQVHFRQWH[W 

 127(²$Q DFNHQDEOHG VLQJOH7,' $03'8 GRHV QRW FRQWDLQ PRUH WKDQ RQH RI WKH IROORZLQJ IUDPHV 4R6 'DWD
 IUDPHV0DQDJHPHQWIUDPHWKDWVROLFLWVDFNQRZOHGJPHQW,QWKLVFDVHWKH0DQDJHPHQWIUDPHWKDWVROLFLWVDFNQRZOHGJ
 PHQWLVWUHDWHGDVLILWZHUHD4R6'DWDIUDPHZLWK7,'HTXDOWR

 $Q+(67$VKDOOQRWWUDQVPLWDQDFNHQDEOHGVLQJOH7,'$03'8WRDUHFLSLHQW67$XQOHVVLWKDVUHFHLYHG 
 IURP WKH UHFLSLHQW 67$ DQ +( &DSDELOLWLHV HOHPHQW ZLWK WKH $FN(QDEOHG $JJUHJDWLRQ 6XSSRUW VXEILHOG


HTXDOWR

 1RQDFNHQDEOHGPXOWL7,'$03'8RSHUDWLRQ


 $QRQDFNHQDEOHGPXOWL7,'$03'8LVDQ$03'8ZLWKFRQWHQWVGHILQHGLQ7DEOHF $03'8

 FRQWHQWVLQWKH+(QRQDFNHQDEOHGPXOWL7,'LPPHGLDWHUHVSRQVHFRQWH[W 

 127(²$QRQDFNHQDEOHGPXOWL7,'$03'8PLJKWLQFOXGHRWKHUIUDPHVVXFKDVD7ULJJHUIUDPH%ORFN$FNIUDPH
 RU4R61XOOIUDPH VHH7DEOH $03'8FRQWHQWVLQWKHQRQ+(GDWDHQDEOHGLPPHGLDWHUHVSRQVHFRQWH[W

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $Q +( 67$ VKDOO QRW WUDQVPLW D QRQDFNHQDEOHG PXOWL7,' $03'8 WR D UHFLSLHQW 67$ XQOHVV LW KDV
 UHFHLYHGIURPWKHUHFLSLHQW67$DQ+(&DSDELOLWLHVHOHPHQWZKHUHWKH0XOWL7,'$JJUHJDWLRQ5[6XSSRUW

VXEILHOGLVQRQ]HUR


 $ 67$ WKDW UHFHLYHV D QRQDFNHQDEOHG PXOWL7,' $03'8 UHVSRQGV DV GHILQHG LQ  3HU33'8

 DFNQRZOHGJPHQWVHOHFWLRQUXOHV 


 $FNHQDEOHGPXOWL7,'$03'8RSHUDWLRQ

 $QDFNHQDEOHGPXOWL7,'$03'8LVDQ$03'8ZLWKFRQWHQWVGHILQHGLQ7DEOHG $03'8FRQ
 WHQWVLQWKH+(DFNHQDEOHGPXOWL7,'LPPHGLDWHUHVSRQVHFRQWH[W 


 4R6'DWDIUDPHVZLWKWKHVDPH7,'VKDOOKDYHWKHVDPHDFNSROLF\

 4R6'DWDIUDPHVZLWKWKHVDPH7,'VKDOOEHFDUULHGLQ$03'8VXEIUDPHVZLWKWKHVDPHYDOXHLQWKH(2)

 ILHOGVHWWLQJ


 ,QDQDFNHQDEOHGPXOWL7,'$03'8WKH(2)ILHOGLQWKH03'8GHOLPLWHURIHDFK$03'8VXEIUDPH
 FDUU\LQJDIUDPHWKDWVROLFLWVDQ$FNIUDPHDVGHILQHGLQ7DEOHG $03'8FRQWHQWVLQWKH+(DFN
 HQDEOHGPXOWL7,'LPPHGLDWHUHVSRQVHFRQWH[W VKDOOEHVHWWR7KH(2)ILHOGLQDOORWKHU$03'8VXE
 IUDPHVLQWKH$03'8WKDWFDUU\IUDPHVVKDOOEHVHWWR


 $Q+(67$VKDOOQRWWUDQVPLWDQDFNHQDEOHGPXOWL7,'$03'8WRDUHFLSLHQW67$XQOHVVLWKDVUHFHLYHG

 IURPWKHUHFLSLHQW67$DQ+(&DSDELOLWLHVHOHPHQWZKHUHWKH0XOWL7,'$JJUHJDWLRQ5[6XSSRUWVXEILHOG
 LVQRQ]HURDQGWKH$FN(QDEOHG$JJUHJDWLRQ6XSSRUWVXEILHOGLV


 $ 67$ WKDW UHFHLYHV DQ DFNHQDEOHG PXOWL7,' $03'8 UHVSRQGV DV GHILQHG LQ  3HU33'8

 DFNQRZOHGJPHQWVHOHFWLRQUXOHV 

 $ 67$ WKDW WUDQVPLWV DQ DFNHQDEOHG PXOWL7,' $03'8 WKDW FRQWDLQV DW OHDVW WZR (2) 03'8V VKDOO

 LJQRUHWKHLPPHGLDWHUHVSRQVHLILWLVDQ$FNIUDPH


 +(VRXQGLQJSURWRFRO

 *HQHUDO


 7UDQVPLWEHDPIRUPLQJDQG'/080,02UHTXLUHNQRZOHGJHRIWKHFKDQQHOVWDWHWRFRPSXWHDVWHHULQJ 
 PDWUL[WKDWLVDSSOLHGWRWKHWUDQVPLWVLJQDOWRRSWLPL]HUHFHSWLRQDWRQHRUPRUHUHFHLYHUV+(67$VXVHWKH
 +( VRXQGLQJ SURWRFRO WR GHWHUPLQH WKH FKDQQHO VWDWH LQIRUPDWLRQ 7KH +( VRXQGLQJ SURWRFRO SURYLGHV
 H[SOLFLWIHHGEDFNPHFKDQLVPVGHILQHGDV+(QRQWULJJHUEDVHG QRQ7% VRXQGLQJDQG+(WULJJHUEDVHG 


7% VRXQGLQJZKHUHWKH+(EHDPIRUPHHPHDVXUHVWKHFKDQQHOXVLQJDWUDLQLQJVLJQDO LHDQ+(VRXQG
 LQJ1'3 WUDQVPLWWHGE\WKH+(EHDPIRUPHUDQGVHQGVEDFNDWUDQVIRUPHGHVWLPDWHRIWKHFKDQQHOVWDWH
 7KH+(EHDPIRUPHUXVHVWKLVHVWLPDWHWRGHULYHWKHVWHHULQJPDWUL[

 7KH+(EHDPIRUPHHUHWXUQVDQHVWLPDWHRIWKHFKDQQHOVWDWHLQDQ+(FRPSUHVVHGEHDPIRUPLQJ&4,UHSRUW

 FDUULHGLQRQHRUPRUH+(&RPSUHVVHG%HDPIRUPLQJ&4,IUDPHV7KHUHDUHWKUHHW\SHVRI+(FRPSUHVVHG
 EHDPIRUPLQJ&4,UHSRUW
 ² 68IHHGEDFN7KH+(FRPSUHVVHGEHDPIRUPLQJ&4,UHSRUWFRQVLVWVRIDQ+(&RPSUHVVHG%HDP


IRUPLQJ5HSRUWILHOG
 ² 08IHHGEDFN7KH+(FRPSUHVVHGEHDPIRUPLQJ&4,UHSRUWFRQVLVWVRIDQ+(&RPSUHVVHG%HDP
 IRUPLQJ5HSRUWILHOGDQG+(08([FOXVLYH%HDPIRUPLQJ5HSRUWILHOG

 ² &4,IHHGEDFN7KH+(FRPSUHVVHGEHDPIRUPLQJ&4,UHSRUWFRQVLVWVRIDQ+(&4,5HSRUWILHOG

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 127(²8VHRI+(7%VRXQGLQJGRHVQRWQHFHVVDULO\LPSO\08IHHGEDFN+(7%VRXQGLQJLVDOVRXVHGWRREWDLQ68

 IHHGEDFNDQG&4,IHHGEDFN

 7KH +( FRPSUHVVHG EHDPIRUPLQJ&4, UHSRUW LV FDUULHG LQ D VLQJOH +( &RPSUHVVHG %HDPIRUPLQJ&4,


IUDPHLIWKHUHVXOWLQJIUDPHLVOHVVWKDQRUHTXDOWRRFWHWVLQOHQJWK VHH 5XOHVIRU+(VRXQG
 LQJSURWRFROVHTXHQFHV 2WKHUZLVHWKH+(EHDPIRUPLQJIHHGEDFNLVVHJPHQWHGDQGHDFKVHJPHQWLVFDU
 ULHGLQDQ+(&RPSUHVVHG%HDPIRUPLQJ&4,IUDPH

 $Q +( EHDPIRUPHU VKDOO VXSSRUW D PD[LPXP 03'8 OHQJWK IRU WKH +( FRPSUHVVHG EHDPIRUPLQJ&4,

 UHSRUWWKDWLVWKHPLQLPXPRIRFWHWVDQGWKHPD[LPXPOHQJWKRIWKH+(FRPSUHVVHGEHDPIRUPLQJ
 &4,UHSRUWWKDWWKH+(EHDPIRUPHULQWHQGVWRVROLFLWIURPLWV+(EHDPIRUPHHV

 6RXQGLQJVHTXHQFHVDQGVXSSRUW


 $Q68EHDPIRUPHULVDQ+(67$WKDWVHWVWKH68%HDPIRUPHUVXEILHOGLQWKH+(3+<&DSDELOLWLHV,QIRU
 PDWLRQILHOGRIWKH+(&DSDELOLWLHVHOHPHQWLWWUDQVPLWVWR

 $Q68EHDPIRUPHHLVDQ+(67$WKDWVHWVWKH68%HDPIRUPHHVXEILHOGLQWKH+(3+<&DSDELOLWLHV,QIRU


PDWLRQILHOGLQWKH+(&DSDELOLWLHVHOHPHQWLWWUDQVPLWVWR$QRQ$3+(67$VKDOOVHWWKH68%HDPIRU
 PHHVXEILHOGWR$Q+($3PD\VHWWKH68%HDPIRUPHHVXEILHOGWR

 $Q08EHDPIRUPHULVDQ+($3WKDWVHWVWKH08%HDPIRUPHUVXEILHOGLQWKH+(3+<&DSDELOLWLHV,QIRU
 PDWLRQILHOGLQWKH+(&DSDELOLWLHVHOHPHQWLWWUDQVPLWVWR$Q+($3WKDWLQGLFDWHVVXSSRUWIRURUPRUH

 VSDFHWLPHVWUHDPVLQWKH7[+(0&60DS”0+]VXEILHOGLQWKH6XSSRUWHG+(0&6$QG166ILHOGLQ
 WKH+(&DSDELOLWLHVHOHPHQWVKDOOVHWWKH08%HDPIRUPHUVXEILHOGWR$QRQ$3+(67$VKDOOVHWWKH
 08%HDPIRUPHUVXEILHOGWR$Q08EHDPIRUPHULVDOVRDQ68EHDPIRUPHUDQGVKDOOVHWWKH68%HDP
 IRUPHUVXEILHOGWR


 $QRQ$3+(67$VKDOOVXSSRUWRSHUDWLRQDVDQ08EHDPIRUPHH$Q+($3GRHVQRWVXSSRUWRSHUDWLRQDV
 DQ08EHDPIRUPHH

 7KHWHUP+(EHDPIRUPHUUHIHUVWRERWKWKH68EHDPIRUPHUDQG08EHDPIRUPHU7KHWHUP+(EHDPIRU


PHHUHIHUVWRERWKWKH68EHDPIRUPHHDQG08EHDPIRUPHH

 7KHW\SHRIIHHGEDFN 6808RU&4, VROLFLWHGE\DQ+(EHDPIRUPHUIURPDQ+(EHDPIRUPHHLVLQGL
 FDWHGLQWKH)HHGEDFN7\SH$QG1JDQG&RGHERRNVXEILHOGVLQWKH67$,QIRILHOGLGHQWLI\LQJWKH+(EHDP
 IRUPHHLQWKH+(1'3$QQRXQFHPHQWIUDPHDVGHILQHGLQ7DEOHD )HHGEDFN7\SH$QG1JVXEILHOG

 DQG&RGHERRN6L]HVXEILHOGHQFRGLQJ 

 7KHEDQGZLGWK SDUWLDORUIXOO RIWKHIHHGEDFNVROLFLWHGE\DQ+(EHDPIRUPHUIURPDQ+(EHDPIRUPHH
 GHSHQGVRQWKH3DUWLDO%:,QIRVXEILHOGLQWKH67$,QIRILHOGLGHQWLI\LQJWKH+(EHDPIRUPHHLQWKH+( 
 1'3$QQRXQFHPHQWIUDPHWKHEDQGZLGWKRIWKH+(1'3$QQRXQFHPHQWIUDPHDQGWKHYDOXHRIWKH'LVDO

 ORZHG6XEFKDQQHO%LWPDSVXEILHOGLISUHVHQW)XOOEDQGZLGWKIHHGEDFNLVVROLFLWHGLIWKH586WDUW,QGH[ 
 VXEILHOGLQWKH3DUWLDO%:,QIRVXEILHOGLVWKH'LVDOORZHG6XEFKDQQHO%LWPDSVXEILHOGLVDEVHQWRUFRQ
 WDLQVDOO]HURHVDQGWKH58(QG,QGH[VXEILHOGLQWKH3DUWLDO%:VXEILHOGLVWKHYDOXHVKRZQLQ7DEOH
 6HWWLQJVIRU%:586WDUW,QGH[DQG58(QG,QGH[ILHOGVLQ+(1'3$QQRXQFHPHQWIUDPH ZKHUHSDUWLDO
 EDQGZLGWKLVQRWVXSSRUWHGE\WKH+(EHDPIRUPHUIRUWKHEDQGZLGWKRIWKH+(1'3$QQRXQFHPHQWIUDPH


 2WKHU VHWWLQJV RI WKH 3DUWLDO %: ,QIR VXEILHOG VROLFLW SDUWLDO EDQGZLGWK IHHGEDFN 3XQFWXUHG VRXQGLQJ LV
 LQGLFDWHGE\WKHLQFOXVLRQRIDQRQ]HUR'LVDOORZHG6XEFKDQQHO%LWPDSVXEILHOGLQWKH+(1'3$QQRXQFH
 PHQWIUDPHDQGLQVXFKDFDVHWKHGLVDOORZHGVXEFKDQQHOVDUHDSSOLHGWRWKHWRQHLQIRUPDWLRQWREHLQFOXGHG 

LQWKHIHHGEDFNDIWHUVHOHFWLQJWRQHVIRUIHHGEDFNEDVHGRQWKH586WDUW,QGH[DQG58(QG,QGH[VXEILHOG 

 YDOXHVDQG+(1'3$QQRXQFHPHQWIUDPHEDQGZLGWKDVGHVFULEHGDERYH6HH7DEOH 6HWWLQJVIRU%:
 586WDUW,QGH[DQG58(QG,QGH[ILHOGVLQ+(1'3$QQRXQFHPHQWIUDPH 

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KH586WDUW,QGH[DQG58(QG,QGH[VXEILHOGVVKDOOFRYHUDWOHDVWRQHDOORZHGVXEFKDQQHO


 $Q 68 EHDPIRUPHU PD\ VROLFLW IXOO EDQGZLGWK 68 IHHGEDFN IURP DQ 68 EHDPIRUPHH LQ DQ +( QRQ7% 
 VRXQGLQJVHTXHQFH$Q68EHDPIRUPHUVKDOOQRWVROLFLWSDUWLDOEDQGZLGWK68IHHGEDFNLQDQ+(QRQ7% 
 VRXQGLQJVHTXHQFH$Q68EHDPIRUPHUPD\VROLFLWSDUWLDOEDQGZLGWKRUIXOOEDQGZLGWK68IHHGEDFNIURP 
 DQ68EHDPIRUPHHLQDQ+(7%VRXQGLQJVHTXHQFHLIWKH68EHDPIRUPHHLQGLFDWHVVXSSRUWE\VHWWLQJWKH

 7ULJJHUHG 68 %HDPIRUPLQJ )HHGEDFN VXEILHOG LQ WKH +( 3+< &DSDELOLWLHV ,QIRUPDWLRQ ILHOG LQ WKH +(
 &DSDELOLWLHVHOHPHQWLWWUDQVPLWVWR

 $Q08EHDPIRUPHUPD\VROLFLWIXOOEDQGZLGWK08IHHGEDFNIURPDQ08EHDPIRUPHHLQDQ+(7%VRXQG

 LQJVHTXHQFH$Q08EHDPIRUPHUPD\VROLFLWSDUWLDOEDQGZLGWK08IHHGEDFNIURPDQ08EHDPIRUPHHLQ 
 DQ+(7%VRXQGLQJVHTXHQFHLIWKH08EHDPIRUPHHLQGLFDWHVVXSSRUWE\VHWWLQJWKH7ULJJHUHG08%HDP
 IRUPLQJ3DUWLDO%:)HHGEDFNVXEILHOGWR$Q08EHDPIRUPHUVKDOOQRWVROLFLW08IHHGEDFNLQDQ+(
 QRQ7%VRXQGLQJVHTXHQFH


 $Q08EHDPIRUPHUPD\VROLFLWIXOOEDQGZLGWKRUSDUWLDOEDQGZLGWK&4,IHHGEDFNIURPDQ08EHDPIRU
 PHHLQDQ+(7%VRXQGLQJVHTXHQFHLIWKH08EHDPIRUPHHLQGLFDWHVVXSSRUWE\VHWWLQJWKH7ULJJHUHG&4,
 %HDPIRUPLQJ)HHGEDFNVXEILHOGWR


 $Q08EHDPIRUPHUPD\VROLFLWIXOOEDQGZLGWK&4,IHHGEDFNIURPDQ08EHDPIRUPHHLQDQ+(QRQ7% 
 VRXQGLQJVHTXHQFHLIWKH08EHDPIRUPHHLQGLFDWHVVXSSRUWE\VHWWLQJWKH1RQ7ULJJHUHG&4,%HDPIRUP
 LQJ)HHGEDFNVXEILHOGWR


 $Q+(EHDPIRUPHUPD\VROLFLWSXQFWXUHG68IHHGEDFNIURPDQ+(EHDPIRUPHHLQDQ+(7%VRXQGLQJ
 VHTXHQFHLIWKH+(EHDPIRUPHHLQGLFDWHVVXSSRUWIRUSXQFWXUHGVRXQGLQJE\VHWWLQJWKH3XQFWXUHG6RXQGLQJ 


6XSSRUWVXEILHOGLQWKH+(&DSDELOLWLHVHOHPHQWVLWWUDQVPLWVWR$Q+(EHDPIRUPHUVKDOOLQGLFDWHSXQF
 WXUHGVXEFKDQQHOVLQWKH+(VRXQGLQJ1'3RIDQ+(7%VRXQGLQJVHTXHQFHE\VHWWLQJWKHDSSURSULDWHELWV
 RIWKH'LVDOORZHG6XEFKDQQHO%LWPDSVXEILHOGRIWKH67$,QIRILHOGZLWKWKH$,'VXEILHOGVHWWRLQ
 WKHSUHFHGLQJ+(1'3$QQRXQFHPHQWIUDPH$Q68EHDPIRUPHUWKDWLQGLFDWHVSXQFWXUHGVXEFKDQQHOVLQ 
 DQ +( 1'3$QQRXQFHPHQW IUDPH LQDQ+( 7% VRXQGLQJVHTXHQFH VKDOO VHW WKH 7;9(&725 SDUDPHWHU


,1$&7,9(B68%&+$11(/6RIWKHQRQ+7GXSOLFDWH33'8FDUU\LQJWKH+(1'3$QQRXQFHPHQWIUDPH
 DQG WKH +( VRXQGLQJ 1'3 DV GHVFULEHG LQ  ,1$&7,9(B68%&+$11(/6 DQG 58B$//2&$
 7,21 


 $Q68EHDPIRUPHHWKDWVXSSRUWVSXQFWXUHGVRXQGLQJVKDOOJHQHUDWHIHHGEDFNFRUUHVSRQGLQJWRWKHVXEFKDQ
 QHOVLQGLFDWHGLQWKH67$,QIRILHOGDGGUHVVHGWRLWLQDQ+(1'3$QQRXQFHPHQWIUDPHEXWH[FOXGLQJVXE
 FDUULHUV WKDW DUH GLVDOORZHG DFFRUGLQJ WR WKH YDOXH RI WKH 'LVDOORZHG 6XEFKDQQHO %LWPDS VXEILHOG LQ WKDW
 IUDPH


 $Q +( EHDPIRUPHU VKDOO QRW VHQG DQ +( 1'3 $QQRXQFHPHQW IUDPH WKDW LQLWLDWHV DQ +( 7% VRXQGLQJ

 VHTXHQFHZLWKD67$,QIRILHOGLGHQWLI\LQJDQ+(EHDPIRUPHHLIWKH67$,QIRILHOGDQGWKH3+<&DSDELOL
 WLHV,QIRUPDWLRQILHOGLQWKH+(&DSDELOLWLHVHOHPHQWPRVWUHFHQWO\UHFHLYHGIURPWKH+(EHDPIRUPHHPHHW

DQ\RIWKHIROORZLQJFRQGLWLRQV VHH7DEOHD )HHGEDFN7\SH$QG1JVXEILHOGDQG&RGHERRN6L]HVXE

 ILHOGHQFRGLQJ 

² 7KH)HHGEDFN7\SH$QG1JVXEILHOGLQWKH67$,QIRILHOGLQGLFDWHV68DQGNg DQGWKH1J

 68)HHGEDFNVXEILHOGLQWKH+(3+<&DSDELOLWLHV,QIRUPDWLRQILHOGLV

² 7KH)HHGEDFN7\SH$QG1JVXEILHOGLQWKH67$,QIRILHOGLQGLFDWHV08DQGNg DQGWKH1J

 08)HHGEDFNVXEILHOGLQWKH+(3+<&DSDELOLWLHV,QIRUPDWLRQILHOGLV

² 7KH)HHGEDFN7\SH$QG1JVXEILHOGLQWKH67$,QIRILHOGLQGLFDWHV68WKH&RGHERRN6L]HVXEILHOG


 LQGLFDWHVFRGHERRNUHVROXWLRQ ࢥȥ  ^`DQGWKH&RGHERRN6L]H ࢥȥ  ^`68)HHGEDFN
 VXEILHOGLQWKH+(3+<&DSDELOLWLHV,QIRUPDWLRQILHOGLV

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ² 7KH)HHGEDFN7\SH$QG1JVXEILHOGLQWKH67$,QIRILHOGLQGLFDWHV08WKH&RGHERRN6L]HVXE
 ILHOGLQWKH67$,QIRILHOGLQGLFDWHVFRGHERRNUHVROXWLRQ ࢥȥ  ^`DQGWKH&RGHERRN6L]H ࢥ

ȥ  ^`08)HHGEDFNVXEILHOGLQWKH+(3+<&DSDELOLWLHV,QIRUPDWLRQILHOGLV

 ² 7KH)HHGEDFN7\SH$QG1JDQG&RGHERRN6L]HVXEILHOGVLQWKH67$,QIRILHOGLQGLFDWH&4,DQGWKH

7ULJJHUHG&4,%HDPIRUPLQJ)HHGEDFNVXEILHOGLQWKH+(3+<&DSDELOLWLHV,QIRUPDWLRQILHOGLV

 ² 7KH)HHGEDFN7\SH$QG1JVXEILHOGLQWKH67$,QIRILHOGLQGLFDWHV08WKH3DUWLDO%:,QIRVXE

ILHOGLQWKH67$,QIRILHOGLQGLFDWHVSDUWLDOEDQGZLGWKDQGWKH7ULJJHUHG08%HDPIRUPLQJ3DUWLDO

 %:)HHGEDFNVXEILHOGLQWKH+(3+<&DSDELOLWLHV,QIRUPDWLRQILHOGLV
 ² 7KH)HHGEDFN7\SH$QG1JVXEILHOGLQGLFDWHV68DQGWKH7ULJJHUHG68%HDPIRUPLQJ)HHGEDFN


 VXEILHOGLQWKH+(3+<&DSDELOLWLHV,QIRUPDWLRQILHOGLV

 $Q +( EHDPIRUPHH LQGLFDWHV WKH PD[LPXP QXPEHU RI +(/7) V\PEROV LW FDQ UHFHLYH LQ D  0+]


0+]RU0+]+(VRXQGLQJ1'3LQWKH%HDPIRUPHH676”0+]VXEILHOGLQWKH3+<&DSDELOLWLHV
 ,QIRUPDWLRQILHOGLQWKH+(&DSDELOLWLHVHOHPHQWLWWUDQVPLWV

 $Q+(EHDPIRUPHHVKDOOVHWWKH%HDPIRUPHH676”0+]VXEILHOGWRLQGLFDWHDPD[LPXPQXPEHURI

 +(/7)V\PEROVRIRUJUHDWHU

 $Q+(EHDPIRUPHHWKDWVXSSRUWV0+]RU0+]FKDQQHOZLGWKVLQGLFDWHVWKHPD[LPXPQXPEHU


RI+(/7)V\PEROVLWFDQUHFHLYHLQD0+]RU0+]+(VRXQGLQJ1'3LQWKH%HDPIRUPHH676 
 !0+]VXEILHOGLQWKH3+<&DSDELOLWLHV,QIRUPDWLRQILHOGLQWKH+(&DSDELOLWLHVHOHPHQWLWWUDQVPLWV

 $Q+(EHDPIRUPHUVKDOOQRWWUDQVPLWD0+]0+]RU0+]+(VRXQGLQJ1'3ZLWKD7;9(&

 725SDUDPHWHU180B676WKDWLVJUHDWHUWKDQWKHPD[LPXPQXPEHURI+(/7)V\PEROVLQGLFDWHGLQWKH
 %HDPIRUPHH676”0+]VXEILHOGRIDQ\67$LGHQWLILHGE\D67$,QIRILHOGLQWKHSUHFHGLQJ+(1'3

 $QQRXQFHPHQWIUDPH


 $Q+(EHDPIRUPHUVKDOOQRWWUDQVPLWD0+]RU0+]+(VRXQGLQJ1'3ZLWKD7;9(&725 
 SDUDPHWHU180B676WKDWLVJUHDWHUWKDQWKHPD[LPXPQXPEHURI+(/7)V\PEROVLQGLFDWHGLQWKH%HDP
 IRUPHH 676 !0+] VXEILHOG RI DQ\ 67$ LGHQWLILHG E\ D 67$ ,QIR ILHOG LQ WKH SUHFHGLQJ +( 1'3

 $QQRXQFHPHQWIUDPH


 $Q +(EHDPIRUPHULQGLFDWHVWKHPD[LPXPQXPEHURI+(/7)V\PEROVLWPLJKWWUDQVPLWLQD0+]
 0+]RU0+]+(VRXQGLQJ1'3LQWKH1XPEHU2I6RXQGLQJ'LPHQVLRQV”0+]VXEILHOG


 $Q+(EHDPIRUPHULQGLFDWHVWKHPD[LPXPQXPEHURI+(/7)V\PEROVLWPLJKWWUDQVPLWLQDQ0+]
 RU0+]+(VRXQGLQJ1'33LQWKH1XPEHU2I6RXQGLQJ'LPHQVLRQV!0+]VXEILHOG


 $Q+(EHDPIRUPHUVKDOOQRWWUDQVPLWD0+]0+]RU0+]+(VRXQGLQJ1'3ZKHUHWKHQXPEHU
 RI+(/7)V\PEROVH[FHHGVWKHYDOXHLQGLFDWHGLQWKH1XPEHU2I6RXQGLQJ'LPHQVLRQV”0+]VXE
 ILHOG


 $Q+(EHDPIRUPHUVKDOOQRWWUDQVPLWDQ0+]RU0+]+(VRXQGLQJ1'3ZKHUHWKHQXPEHURI
 +(/7)V\PEROVH[FHHGVWKHYDOXHLQGLFDWHGLQWKH1XPEHU2I6RXQGLQJ'LPHQVLRQV!0+]VXEILHOG


 5XOHVIRU+(VRXQGLQJSURWRFROVHTXHQFHV


$Q+(QRQ7%VRXQGLQJVHTXHQFHLVDVRXQGLQJVHTXHQFHLQLWLDWHGE\DQ+(EHDPIRUPHUZLWKDEXUVWRI

 WZRIUDPHVFRPSULVLQJDQLQGLYLGXDOO\DGGUHVVHG+(1'3$QQRXQFHPHQWIUDPHZLWKDVLQJOH67$,QIR 
 ILHOGWKH67$,QIRILHOGKDYLQJDYDOXHLQWKH$,'ILHOGRWKHUWKDQIROORZHGDIWHUD6,)6E\DQ+(


&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 VRXQGLQJ1'3$QH[DPSOHRIDQ+(QRQ7%VRXQGLQJSURWRFROZLWKDVLQJOH+(EHDPIRUPHHLVVKRZQLQ

 )LJXUH $QH[DPSOHRIWKHVRXQGLQJSURWRFROZLWKDVLQJOH+(EHDPIRUPHH 



 ,ďĞĂŵĨŽƌŵĞƌ ,EW ,ƐŽƵŶĚŝŶŐ
 ŶŶŽƵŶĐĞŵĞŶƚ ^/&^ EW ^/&^

 ,ŽŵƉƌĞƐƐĞĚ
 ,ďĞĂŵĨŽƌŵĞĞ ĞĂŵĨŽƌŵŝŶŐͬY/


 )LJXUH²$QH[DPSOHRIWKHVRXQGLQJSURWRFROZLWKDVLQJOH+(EHDPIRUPHH


 $Q+(EHDPIRUPHUWKDWLQLWLDWHVWKH+(QRQ7%VRXQGLQJVHTXHQFHVKDOOWUDQVPLWWKH+(1'3$QQRXQFH
 PHQWIUDPHZLWKDVLQJOH67$,QIRILHOGWKDWKDVDYDOXHLQWKH$,'ILHOGRWKHUWKDQDQGZLWKWKH
 $,'ILHOGLQWKDW67$,QIRILHOGVHWWRWKH$,'RIWKH67$LGHQWLILHGE\WKH5$ILHOGRUWRLIWKH67$

 LGHQWLILHGE\WKH5$ILHOGLVDPHVK67$$3RU,%66PHPEHU67$


 $Q+(EHDPIRUPHUPD\LQLWLDWHDQ+(QRQ7%VRXQGLQJVHTXHQFHZLWKDQ+(EHDPIRUPHHWRVROLFLW68

 IHHGEDFNRYHUIXOOEDQGZLGWK


 $Q+(EHDPIRUPHUVKDOOQRWLQLWLDWHDQ+(QRQ7%VRXQGLQJVHTXHQFHZLWKDQ+(1'3$QQRXQFHPHQW

IUDPHWKDWKDVD3DUWLDO%:,QIRVXEILHOGWKDWLQGLFDWHVOHVVWKDQIXOOEDQGZLGWK VHH7DEOH 6HWWLQJVIRU

 %:586WDUW,QGH[DQG58(QG,QGH[ILHOGVLQ+(1'3$QQRXQFHPHQWIUDPH 


 $Q+(7%VRXQGLQJVHTXHQFHLVDVRXQGLQJVHTXHQFHLQLWLDWHGE\DQ+(EHDPIRUPHUZLWKDEXUVWRIWKUHH
 IUDPHVFRPSULVLQJDEURDGFDVW+(1'3$QQRXQFHPHQWIUDPHZLWKWZRRUPRUH67$,QIRILHOGVIROORZHG
 DIWHUD6,)6E\DQ+(VRXQGLQJ1'3IROORZHGDIWHUD6,)6E\D%)537ULJJHUIUDPH$QH[DPSOHRIDQ+( 
 7% VRXQGLQJ SURWRFRO ZLWK PRUH WKDQ RQH +( EHDPIRUPHH LV VKRZQ LQ )LJXUH $Q H[DPSOH RI WKH
 VRXQGLQJSURWRFROZLWKPRUHWKDQRQH+(EHDPIRUPHH 



 KŶĞŽƌŵŽƌĞƐĞƋƵĞŶĐĞƐ


 ,EW ,ƐŽƵŶĚŝŶŐ &ZW
 ,ďĞĂŵĨŽƌŵĞƌ
ŶŶŽƵŶĐĞŵĞŶƚ ^/&^ EW ^/&^ dƌŝŐŐĞƌ ^/&^

 ,ŽŵƉƌĞƐƐĞĚ
 ,ďĞĂŵĨŽƌŵĞĞϭ
ĞĂŵĨŽƌŵŝŶŐͬY/ϭ

 ,ŽŵƉƌĞƐƐĞĚ
,ďĞĂŵĨŽƌŵĞĞϮ
 ĞĂŵĨŽƌŵŝŶŐͬY/Ϯ
 ͗ ͗
 ͗ ͗
 ͗ ͗
 ,ŽŵƉƌĞƐƐĞĚ
 ,ďĞĂŵĨŽƌŵĞĞŶ ĞĂŵĨŽƌŵŝŶŐͬY/Ŷ


 )LJXUH²$QH[DPSOHRIWKHVRXQGLQJSURWRFROZLWKPRUHWKDQRQH+(EHDPIRUPHH


 $Q+(EHDPIRUPHUWKDWLQLWLDWHVDQ+(7%VRXQGLQJVHTXHQFHVKDOOWUDQVPLWWKH+(1'3$QQRXQFHPHQW
 IUDPHZLWKWZRRUPRUH67$,QIRILHOGVDQGWKH5$ILHOGVHWWRWKHEURDGFDVWDGGUHVV


 $Q+(EHDPIRUPHUPD\LQLWLDWHDQ+(7%VRXQGLQJVHTXHQFHWRVROLFLW08IHHGEDFNRYHUIXOOEDQGZLGWK

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $Q+(EHDPIRUPHUPD\LQLWLDWHDQ+(7%VRXQGLQJVHTXHQFHWRVROLFLWDIHHGEDFNYDULDQWRQO\LIWKHIHHG
 EDFNYDULDQWLVFRPSXWHGEDVHGRQSDUDPHWHUVVXSSRUWHGE\WKH+(EHDPIRUPHHRWKHUZLVHWKH+(EHDP

IRUPHU VKDOO QRW VROLFLW D IHHGEDFN YDULDQW FRPSXWHG EDVHG RQ SDUDPHWHUV QRW VXSSRUWHG E\ WKH +(


 EHDPIRUPHH VHH 6RXQGLQJVHTXHQFHVDQGVXSSRUW 

 $Q+(EHDPIRUPHUWKDWLQLWLDWHVDQ+(QRQ7%VRXQGLQJVHTXHQFHRUDQ+(7%VRXQGLQJVHTXHQFHVKDOO
 WUDQVPLWDQ+(VRXQGLQJ1'3D6,)6DIWHUWKH+(1'3$QQRXQFHPHQWIUDPH


 $Q +( $3 ZLWK GRW0XOWL%66,',PSOHPHQWHG HTXDO WR WUXH VKDOO QRW VHQG DQ +( 1'3 $QQRXQFHPHQW
 IUDPHZLWKWKH7$ILHOGVHWWRWKHWUDQVPLWWHG%66,'WRDQRQ$367$WKDWLVDVVRFLDWHGZLWKDQRQWUDQVPLW
 WHG%66,'LQWKHPXOWLSOH%66,'VHWXQOHVVWKH$3KDVUHFHLYHGIURPWKHQRQ$367$DQ+(&DSDELOLWLHV

 HOHPHQWZLWKWKH5[&RQWURO)UDPH7R0XOWL%66VXEILHOGLQWKH+(0$&&DSDELOLWLHV,QIRUPDWLRQILHOG
 HTXDOWR

 $Q$3WKDWWUDQVPLWVDQ+(1'3$QQRXQFHPHQWIUDPHLGHQWLI\LQJ+(67$VVKDOOVHWWKH7$ILHOGRIWKH


IUDPH WR WKH 0$& DGGUHVV RI WKH $3 XQOHVV GRW0XOWL%66,',PSOHPHQWHG LV WUXH DQG WKH +( 1'3

 $QQRXQFHPHQWIUDPHLGHQWLILHV67$VIURPDWOHDVWWZRGLIIHUHQW%66VRIWKHPXOWLSOH%66,'VHWLQZKLFK 
 FDVHWKH$3VKDOOVHWWKH7$ILHOGRIWKHIUDPHWRWKHWUDQVPLWWHG%66,',IWKH+(1'3$QQRXQFHPHQW
 IUDPHLVWUDQVPLWWHGLQDQRQ+7GXSOLFDWH33'8WKHQWKH7$ILHOGRIWKH+(1'3$QQRXQFHPHQWIUDPHLV
 DEDQGZLGWKVLJQDOLQJ7$ VHH &KDQQHO:LGWKVHOHFWLRQIRU&RQWUROIUDPHV 


 $Q+(EHDPIRUPHUWKDWWUDQVPLWVDQ+(1'3$QQRXQFHPHQWIUDPHWRDQ+(EHDPIRUPHHWKDWLVDQ$3
 7'/6SHHU67$PHVK67$RU,%6667$VKDOOLQFOXGHRQH67$,QIRILHOGLQWKH+(1'3$QQRXQFHPHQW
 IUDPHDQGVKDOOVHWWKH$,'ILHOGLQWKH67$,QIRILHOGRIWKHIUDPHWR$Q+(EHDPIRUPHUWKDWLVDQ$3


DQGWKDWWUDQVPLWVDQ+(1'3$QQRXQFHPHQWIUDPHWRRQHRUPRUH+(EHDPIRUPHHVVKDOOVHWWKH$,' 

 ILHOGLQWKH67$,QIRILHOGLGHQWLI\LQJDQRQ$367$WRWKH/6%VRIWKH$,'RIWKHQRQ$367$$Q+( 
 1'3$QQRXQFHPHQWIUDPHVKDOOQRWLQFOXGHPXOWLSOH67$,QIRILHOGVWKDWKDYHWKHVDPHYDOXHLQWKH$,' 
 VXEILHOG$Q+(EHDPIRUPHUWKDWWUDQVPLWVDQ+(1'3$QQRXQFHPHQWIUDPHPD\LQFOXGHD67$,QIRILHOG 
 ZLWKDQ$,'VXEILHOGYDOXHRIWRLQGLFDWHGLVDOORZHGVXEFKDQQHOVGXULQJSXQFWXUHGFKDQQHORSHUD

WLRQ:KHQSUHVHQWWKH67$,QIRILHOGZLWK$,'YDOXHRIVKDOOEHWKHILUVW67$,QIRILHOGLQWKH

 IUDPH$Q+(EHDPIRUPHUWKDWWUDQVPLWVDQ+(1'3$QQRXQFHPHQWIUDPHVKDOOQRWLQFOXGHPRUHWKDQRQH
 67$,QIRILHOGZLWKDQ$,'VXEILHOGYDOXHRI

 ,QDQ+(7%VRXQGLQJVHTXHQFHD67$,QIRILHOGLQWKH+(1'3$QQRXQFHPHQWIUDPHWKDWVROLFLWV68RU

 08IHHGEDFNLQGLFDWHVWKHVXEFDUULHUJURXSLQJNgFRGHERRNVL]HDQGWKHQXPEHURIFROXPQVNcWREH
 XVHGE\WKH+(EHDPIRUPHHLGHQWLILHGE\WKH67$,QIRILHOGIRUWKHJHQHUDWLRQRIWKH68RU08IHHGEDFN

 ,QDQ+(QRQ7%VRXQGLQJVHTXHQFHZKHUHWKH67$,QIRILHOGLQWKH+(1'3$QQRXQFHPHQWIUDPHVROLFLWV

 68IHHGEDFNWKHVXEFDUULHUJURXSLQJNgFRGHERRNVL]HDQGWKHQXPEHURIFROXPQVNcXVHGIRUWKHJHQ
 HUDWLRQRIWKH68IHHGEDFNDUHGHWHUPLQHGE\WKH+(EHDPIRUPHH

 ,QDQ+(7%VRXQGLQJVHTXHQFHD67$,QIRILHOGLQWKH+(1'3$QQRXQFHPHQWIUDPHWKDWVROLFLWV&4,

 IHHGEDFNLQGLFDWHVWKHNcWREHXVHGE\WKH+(EHDPIRUPHHLGHQWLILHGE\WKH67$,QIRILHOGIRUWKHJHQHUD
 WLRQRIWKH&4,IHHGEDFN

 ,QDQ+(QRQ7%VRXQGLQJVHTXHQFHZKHUHWKH67$,QIRILHOGLQWKH+(1'3$QQRXQFHPHQWIUDPHVROLFLWV


&4,IHHGEDFNWKHNcXVHGIRUWKHJHQHUDWLRQRIWKH&4,IHHGEDFNLVGHWHUPLQHGE\WKH+(EHDPIRUPHH

 $Q+(EHDPIRUPHUWKDWKDVLQLWLDWHGDQ+(7%VRXQGLQJVHTXHQFHPD\VHQGDQRWKHU%)537ULJJHUIUDPH
 LQWKHVDPH7;23DVVKRZQLQ)LJXUH $QH[DPSOHRIWKHVRXQGLQJSURWRFROZLWKPRUHWKDQRQH+( 

EHDPIRUPHH  7KH +( EHDPIRUPHU XVHV WKH DGGLWLRQDO %)53 7ULJJHU IUDPHV WR VROLFLW +( FRPSUHVVHG 

 EHDPIRUPLQJ&4, UHSRUWV IURP +( EHDPIRUPHHV QRW DGGUHVVHG LQ D SUHYLRXV %)53 7ULJJHU IUDPH RU WR

 VROLFLWUHWUDQVPLVVLRQRIDQ+(FRPSUHVVHGEHDPIRUPLQJ&4,UHSRUW$Q+(EHDPIRUPHUVKDOOQRWWUDQVPLW

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 D%)537ULJJHUIUDPHWKDWLGHQWLILHVD67$LGHQWLILHGLQWKH+(1'3$QQRXQFHPHQWIUDPHRIDQ+(7%

 VRXQGLQJVHTXHQFHXQOHVVLWLVLQWKHVDPH7;23DVWKH+(7%VRXQGLQJVHTXHQFH


 $Q +( EHDPIRUPHU WKDW WUDQVPLWV DQ +( 1'3 $QQRXQFHPHQW IUDPH DV SDUW RI DQ +( 7% VRXQGLQJ
 VHTXHQFHVKDOOVHWWKH1FVXEILHOGRIWKH67$,QIRILHOGWRLQGLFDWHDYDOXHOHVVWKDQRUHTXDOWRWKHPLQLPXP


 RI


² 7KH PD[LPXP QXPEHU RI VXSSRUWHG VSDWLDO VWUHDPV DFFRUGLQJ WR WKH FRUUHVSRQGLQJ +( EHDPIRU
 PHH¶V 5[ +(0&6 0DS ”0+] 5[ +(0&6 0DS 0+] DQG 5[ +(0&6 0DS
 0+]VXEILHOGVLQWKH6XSSRUWHG+(0&6$QG1666HWILHOGRIWKH+(&DSDELOLWLHVHOHPHQW
 VHQWE\WKH+(EHDPIRUPHH

 ² 7KHPD[LPXPQXPEHURIVXSSRUWHGVSDWLDOVWUHDPVDFFRUGLQJWRWKH5[166VXEILHOGYDOXHLQWKH
 PRVWUHFHQWO\UHFHLYHG2SHUDWLQJ0RGH1RWLILFDWLRQIUDPH2SHUDWLQJ0RGH1RWLILFDWLRQHOHPHQW


ZLWKWKH5[1667\SHVXEILHOGHTXDOWRRU20&RQWUROVXEILHOGVHQWE\WKHFRUUHVSRQGLQJ+(

 EHDPIRUPHH VHH 2SHUDWLQJPRGHLQGLFDWLRQ 

 ² 7KHPD[LPXPNcLQGLFDWHGE\WKH0D[1FVXEILHOGLQWKH+(3+<&DSDELOLWLHV,QIRUPDWLRQILHOGRI
 WKH+(&DSDELOLWLHVHOHPHQWVHQWE\WKH+(EHDPIRUPHH


 $Q+(EHDPIRUPHUWKDWWUDQVPLWVDQ+(1'3$QQRXQFHPHQWIUDPHVKDOOVHWWKH586WDUW,QGH[DQG58 
 (QG ,QGH[ VXEILHOGV LQ D 67$ ,QIR ILHOG WR LQGLFDWH WKH VWDUWLQJ WRQH 58 DQG WKH HQGLQJ WRQH 58
 UHVSHFWLYHO\ RI WKH VROLFLWHG +( FRPSUHVVHG EHDPIRUPLQJ&4, UHSRUW VHH  9+7+( 1'3 
 $QQRXQFHPHQWIUDPHIRUPDW )RUSUHDPEOHSXQFWXUHGVRXQGLQJWKH586WDUW,QGH[DQG58(QG,QGH[

 FRUUHVSRQGWRWKHEDQGZLGWKEHIRUHSXQFWXULQJDQGWKH'LVDOORZHG6XEFKDQQHO%LWPDSVXEILHOGLVXVHGWR
 LQGLFDWHWKHVXEFDUULHUVWKDWDUHSXQFWXUHGLQWKH+(VRXQGLQJ1'3DQGLQWKHVROLFLWHGIHHGEDFN

 127(²,QRUGHUWRPD[LPL]HWKHFKDQQHOHVWLPDWHTXDOLW\DIWHULQWHUSRODWLRQH[WUDSRODWLRQUHVXOWLQJIURPJURXSLQJWKH
 VXEFDUULHUVIRUZKLFKIHHGEDFNLVUHTXHVWHGXVLQJWKH586WDUW,QGH[DQG58(QG,QGH[VXEILHOGVGRQRWQHFHVVDULO\OLH
 ZLWKLQWKHDFWXDO58DVGHILQHGLQ7DEOH 'DWDDQGSLORWVXEFDUULHULQGLFHVIRU58VLQD0+]+(33'8DQGLQD
 QRQ2)'0$0+]+(33'8 7DEOH 'DWDDQGSLORWVXEFDUULHULQGLFHVIRU58VLQD0+]+(33'8DQGLQ
 DQRQ2)'0$0+]+(33'8 DQG7DEOH 'DWDDQGSLORWVXEFDUULHULQGLFHVIRU58VLQDQ0+]+(33'8 
 DQGLQDQRQ2)'0$0+]+(33'8  5DWKHUWKH\DUHGHILQHGLQ7DEOHF 6XEFDUULHULQGLFHV VFLG[   DQG 
 VFLG[ 1V± IRU1J  DQG7DEOHG 6XEFDUULHULQGLFHVVFLG[  DQGVFLG[ 1V± IRU1J  


 7KH EDQGZLGWK RI WKH +( 1'3 $QQRXQFHPHQW IUDPH LV REWDLQHG IURP WKH 5;9(&725 SDUDPHWHU
 &+B%$1':,'7+RIWKH+(1'3$QQRXQFHPHQWIUDPHLIUHFHLYHGLQDQ+(9+7RU+733'8DQGIURP 
 WKH 5;9(&725 SDUDPHWHU &+B%$1':,'7+B,1B121B+7 LI WKH +( 1'3 $QQRXQFHPHQW IUDPH LV
 UHFHLYHGLQDQRQ+7GXSOLFDWH33'8DQGLV0+]LIWKH+(1'3$QQRXQFHPHQWIUDPHLVUHFHLYHGLQD

 QRQ+733'8


,QDQ+(QRQ7%VRXQGLQJVHTXHQFHDQ+(EHDPIRUPHUVKDOOVROLFLWIXOOEDQGZLGWKIHHGEDFN,QDQ+(7% 

 VRXQGLQJVHTXHQFHDQ+(EHDPIRUPHUVKDOOVROLFLWIXOOEDQGZLGWKIHHGEDFNLQD67$,QIRILHOGLGHQWLI\LQJ
 DQ+(EHDPIRUPHHWKDWKDVQRWLQGLFDWHGVXSSRUWIRUSDUWLDOEDQGZLGWKIHHGEDFN,QDQ+(7%VRXQGLQJ
 VHTXHQFHDQ+(EHDPIRUPHUPD\VROLFLWIXOOEDQGZLGWKRUSDUWLDOEDQGZLGWKIHHGEDFNLQD67$,QIRILHOG 
 LGHQWLI\LQJDQ+(EHDPIRUPHHWKDWKDVLQGLFDWHGVXSSRUWIRUSDUWLDOEDQGZLGWKIHHGEDFN VHH 6RXQG

LQJVHTXHQFHVDQGVXSSRUW 


 )RU0+]IHHGEDFNLVQRWUHTXHVWHGIRUWKHJDSEHWZHHQWKH0+]VHJPHQWV


 7KH +( EHDPIRUPHU VKDOO VHW WKH 7;9(&725 SDUDPHWHU &+B%$1':,'7+ RU &+B%$1'

:,'7+B,1B121B+7WKH586WDUW,QGH[ILHOGDQGWKH58(QG,QGH[ILHOGRIWKH+(1'3$QQRXQFH

 PHQWIUDPHGHSHQGLQJRQWKHRSHUDWLQJFKDQQHOZLGWKDQGSDUWLDO%:VXSSRUWRIWKH+(EHDPIRUPHHDV
 GHILQHGLQ7DEOH 6HWWLQJVIRU%:586WDUW,QGH[DQG58(QG,QGH[ILHOGVLQ+(1'3$QQRXQFH

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 PHQWIUDPH 7KHEDQGZLGWKRIWKH+(1'3$QQRXQFHPHQWIUDPHLVGHWHUPLQHGEHIRUHDSSO\LQJSXQFWXU
 LQJEDVHGRQGLVDOORZHGVXEFKDQQHOV



 7DEOH²6HWWLQJVIRU%:586WDUW,QGH[DQG58(QG,QGH[ILHOGVLQ+(1'3$QQRXQFH
 PHQWIUDPH


 3DUWLDO
2SHUDWLQJFKDQQHO %DQGZLGWKRI+(
 EDQGZLGWK 586WDUW 58(QG
ZLGWKRIWKH+( 1'3$QQRXQFHPHQW
 VXSSRUWHGE\ ,QGH[ILHOG ,QGH[ILHOG
EHDPIRUPHH 0+] IUDPH
 +(EHDPIRUPHU

 1R  0+]  

 <HV  ± ±
 1R  0+]  

 <HV  ± ±

 1R  0+]  

 <HV  ± ±

 1R  0+]RU  
 0+]
<HV  ± ±

 127(²7KHYDOXHRIWKH586WDUW,QGH[ILHOGLVDOZD\VOHVVWKDQRUHTXDOWRWKHYDOXHRIWKH58(QG

 ,QGH[ILHOG

 127(²3DUWLDO%:IHHGEDFNFDQRQO\EHVROLFLWHGZLWKDQ+(7%VRXQGLQJVHTXHQFHDQGFDQQRWEH
 VROLFLWHGZLWKDQ+(QRQ7%VRXQGLQJVHTXHQFH



 7KH+(EHDPIRUPHUVKDOOXVHDORZHVWWRQH58ZKLFKLVWKHORZHUERXQGRIWKHVWDUWLQJWRQHLQWKH
 586WDUW,QGH[VXEILHOGRID67$,QIRILHOGWKDWLVHTXDOWRWKHPD[LPXPRI


² 7KHPLQLPXPWRQH58ORFDWHGZLWKLQWKHFKDQQHOZLGWKLQGLFDWHGLQWKH9+72SHUDWLRQ,QIRU
 PDWLRQILHOGRIHLWKHUWKH+(2SHUDWLRQHOHPHQWRUWKH9+72SHUDWLRQHOHPHQWZKLFKHYHULVSUHV
 HQWDQGZLWKLQWKHFKDQQHOZLGWKLQGLFDWHGLQWKH+72SHUDWLRQHOHPHQW


² 7KHPLQLPXPWRQH58ORFDWHGZLWKLQWKHFKDQQHOZLGWKLQGLFDWHGLQWKHPRVWUHFHQWO\UHFHLYHG

 2SHUDWLQJ0RGH1RWLILFDWLRQIUDPH2SHUDWLQJ0RGH1RWLILFDWLRQHOHPHQWZLWKWKH5[1667\SH
 VXEILHOGHTXDOWRRU20&RQWUROVXEILHOGVHQWE\WKHFRUUHVSRQGLQJ+(EHDPIRUPHH VHH
 2SHUDWLQJPRGHLQGLFDWLRQ


 7KH+(EHDPIRUPHUVKDOOXVHDKLJKHVWWRQH58ZKLFKLVWKHXSSHUERXQGRIWKHHQGLQJWRQH58LQ

 WKH58(QG,QGH[VXEILHOGRID67$,QIRILHOGWKDWLVHTXDOWRWKHPLQLPXPRI
 ² 7KHPD[LPXPWRQH58ORFDWHGZLWKLQWKHFKDQQHOZLGWKLQGLFDWHGLQWKH9+72SHUDWLRQ,QIRU

 PDWLRQILHOGRIHLWKHUWKH+(2SHUDWLRQHOHPHQWRUWKH9+72SHUDWLRQHOHPHQWZKLFKHYHULVSUHV
 HQWDQGZLWKLQWKHFKDQQHOZLGWKLQGLFDWHGLQWKH+72SHUDWLRQHOHPHQW
 ² 7KHPD[LPXPWRQH58ORFDWHGZLWKLQWKHFKDQQHOZLGWKLQGLFDWHGLQWKHPRVWUHFHQWO\UHFHLYHG

 2SHUDWLQJ0RGH1RWLILFDWLRQIUDPH2SHUDWLQJ0RGH1RWLILFDWLRQHOHPHQWZLWKWKH5[1667\SH
 VXEILHOGHTXDOWRRU20&RQWUROILHOGVHQWE\WKHFRUUHVSRQGLQJ+(EHDPIRUPHH VHH 2SHU
 DWLQJPRGHLQGLFDWLRQ


$Q+(EHDPIRUPHUVROLFLWLQJ68RU&4,IHHGEDFNLQDQ+(QRQ7%VRXQGLQJVHTXHQFHVKDOOVHWWKH)HHG

 EDFN7\SH$QG1J&RGHERRN6L]HDQG1FVXEILHOGVLQWKH+(1'3$QQRXQFHPHQWIUDPHWR$Q+( 
 EHDPIRUPHHWKDWUHFHLYHVDQ+(1'3$QQRXQFHPHQWIUDPHVROLFLWLQJ68IHHGEDFNDVSDUWRIDQ+(QRQ

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7%VRXQGLQJVHTXHQFHVKDOOJHQHUDWHDQ+(FRPSUHVVHGEHDPIRUPLQJ&4,UHSRUWIRU68IHHGEDFNZLWKNc
 LQWKHUDQJHWRNg RUNg DQGFRGHERRNVL]H ࢥȥ  ^`RU ࢥȥ  ^`7KH+(EHDPIRU

PHHVKDOOWUDQVPLWWKH+(FRPSUHVVHGEHDPIRUPLQJ&4,UHSRUWD6,)6DIWHUWKH+(VRXQGLQJ1'3


 $Q+(EHDPIRUPHHWKDWUHFHLYHVDQ+(1'3$QQRXQFHPHQWIUDPHVROLFLWLQJ&4,IHHGEDFNDVSDUWRIDQ

 +(QRQ7%VRXQGLQJVHTXHQFHVKDOOJHQHUDWHDQ+(FRPSUHVVHGEHDPIRUPLQJ&4,UHSRUWIRU&4,IHHG
 EDFNZLWKNcGHWHUPLQHGE\WKH+(EHDPIRUPHH


 $Q+(EHDPIRUPHHWKDWUHFHLYHVDQ+(1'3$QQRXQFHPHQWIUDPHVROLFLWLQJ&4,IHHGEDFNDVSDUWRIDQ 
 +( 7% VRXQGLQJ VHTXHQFH VKDOO JHQHUDWH DQ +( FRPSUHVVHG EHDPIRUPLQJ&4, UHSRUW IRU &4, IHHGEDFN
 ZLWKNcGHWHUPLQHGE\WKH+(EHDPIRUPHU


 $Q+(EHDPIRUPHHWKDWUHFHLYHVDQ+(1'3$QQRXQFHPHQWIUDPHIURPDQ+(EHDPIRUPHUZLWKZKLFKLW
 LVDVVRFLDWHGDQGWKDWFRQWDLQVWKH+(EHDPIRUPHH¶V0$&DGGUHVVLQWKH5$ILHOG LQGLFDWLQJDQRQ7% 
 VRXQGLQJVHTXHQFH DQGDOVRUHFHLYHVDQ+(VRXQGLQJ1'3D6,)6DIWHUWKH+(1'3$QQRXQFHPHQWIUDPH
 VKDOO WUDQVPLW LWV +( FRPSUHVVHG EHDPIRUPLQJ&4, UHSRUW D 6,)6 DIWHU WKH +( VRXQGLQJ 1'3 7KH


7;9(&725 SDUDPHWHU &+B%$1':,'7+ IRU WKH 33'8 FRQWDLQLQJ WKH +( FRPSUHVVHG EHDPIRUPLQJ
 &4,UHSRUWVKDOOEHVHWWRLQGLFDWHDEDQGZLGWKQRWZLGHUWKDQWKDWLQGLFDWHGE\WKH5;9(&725SDUDPHWHU
 &+B%$1':,'7+RIWKH+(VRXQGLQJ1'3

 $Q+(EHDPIRUPHHWKDWUHFHLYHVDQ+(1'3$QQRXQFHPHQWIUDPHDVSDUWRIDQ+(7%VRXQGLQJVHTXHQFH

 ZLWKD67$,QIRILHOGLGHQWLI\LQJLWVROLFLWLQJ68RU08IHHGEDFNVKDOOJHQHUDWHDQ+(FRPSUHVVHGEHDP
 IRUPLQJ&4,UHSRUWXVLQJWKHIHHGEDFNW\SHNgFRGHERRNVL]HDQGNcLQGLFDWHGLQWKH67$,QIRILHOG,I
 WKH+(EHDPIRUPHHWKHQUHFHLYHVD%)537ULJJHUIUDPHZLWKDPDWFKLQJ67$,QIRILHOGWKH+(EHDPIRU
 PHHWUDQVPLWVDQ+(7%33'8FRQWDLQLQJWKH+(FRPSUHVVHGEHDPIRUPLQJ&4,UHSRUWIROORZLQJWKHUXOHV
 GHILQHGLQ 1RQ$367$EHKDYLRUIRU8/08RSHUDWLRQ ,IWKH+(1'3$QQRXQFHPHQWIUDPHKDV

 WKH7$ILHOGVHWWRWKHWUDQVPLWWHG%66,'DQGWKH+(EHDPIRUPHHLVDQRQ$367$DVVRFLDWHGWRDQRQ
 WUDQVPLWWHG%66,'WKDWVXSSRUWVUHFHLYLQJ&RQWUROIUDPHVZLWK7$ILHOGVHWWRWKHWUDQVPLWWHG%66,'WKHQ

 WKH+(FRPSUHVVHGEHDPIRUPLQJ&4,UHSRUWVHQWLQUHVSRQVHVKDOOKDYHWKH5$ILHOGVHWWRDVGHILQHGLQ 
  5$ILHOGIRUIUDPHVFDUULHGLQDQ+(7%33'8 

 127(²$QRQ$3+(EHDPIRUPHHWKDWWUDQVPLWVDQ20&RQWUROVXEILHOGZLWKWKH8/08'LVDEOHILHOGVHWWRGRHV
 QRWUHVSRQGWR%)537ULJJHUIUDPHV VHH 2SHUDWLQJPRGHLQGLFDWLRQ 

 $Q+(EHDPIRUPHHWKDWLVDQRQ$367$WKDWWUDQVPLWVDQ+(&RPSUHVVHG%HDPIRUPLQJ&4,5HSRUWVKDOO

 VHWWKH586WDUW,QGH[DQG58(QG,QGH[VXEILHOGVRIWKH+(0,02&RQWUROILHOGWRLQGLFDWHWKHUDQJHRI
 WRQHV IRU ZKLFK FRPSUHVVHG EHDPIRUPLQJ&4, LQIRUPDWLRQ LV SURYLGHG ,I WKH +( 1'3 $QQRXQFHPHQW
 IUDPHWKDWVROLFLWHGWKHIHHGEDFNLQFOXGHVD'LVDOORZHG6XEFKDQQHO%LWPDSILHOGZLWKDQRQ]HURYDOXHWKHQ

 DEHDPIRUPHHWKDWLQGLFDWHVVXSSRUWIRUSXQFWXUHGVRXQGLQJE\VHWWLQJWKH3XQFWXUHG6RXQGLQJ6XSSRUWVXE
 ILHOGLQWKH+(&DSDELOLWLHVHOHPHQWVWKDWLWWUDQVPLWVWRVKDOOLQFOXGHD'LVDOORZHG6XEFKDQQHO%LWPDS

 VXEILHOGLQWKHVROLFLWHGIHHGEDFNZLWKWKHVDPHYDOXHDVWKH'LVDOORZHG6XEFKDQQHO%LWPDSVXEILHOGRIWKH
 +(1'3$QQRXQFHPHQWIUDPHWKDWVROLFLWHGWKHIHHGEDFNWRLQGLFDWHVXEFDUULHUVIRUZKLFKIHHGEDFNLQIRU
 PDWLRQLVQRWSURYLGHGIURPZLWKLQWKHUDQJHRIVXEFDUULHUVLQGLFDWHGE\WKH586WDUW,QGH[DQG58(QG 
 ,QGH[VXEILHOGV


 7KH6RXQGLQJ'LDORJ7RNHQ1XPEHUILHOGLQWKH+(0,02&RQWUROILHOGVKDOOEHVHWWRWKHVDPHYDOXHDV
 WKH6RXQGLQJ'LDORJ7RNHQ1XPEHUILHOGLQWKHFRUUHVSRQGLQJ+(1'3$QQRXQFHPHQWIUDPH

 $Q+(EHDPIRUPHUWKDWVHQGVD%)537ULJJHUIUDPHVKDOOVHWWKH)HHGEDFN6HJPHQW5HWUDQVPLVVLRQ%LW


PDS ILHOGV RI WKH %)53 7ULJJHU IUDPH WR DOO V H[FHSW ZKHQ WKH +( EHDPIRUPHU LQWHQGV WR VROLFLW WKH
 UHWUDQVPLVVLRQRIVHJPHQWHGIHHGEDFNDVGHILQHGLQ 5XOHVIRUJHQHUDWLQJVHJPHQWHGIHHGEDFN 

127(²7KH%)537ULJJHUIUDPHFRQWDLQVRQHRUPRUH8VHU,QIRILHOGVHDFKRIZKLFKLGHQWLILHVDQ+(EHDPIRUPHH


 7KH615SHUVXEFDUULHUFRPSXWDWLRQLVUHFRPPHQGHGWREHGRQHRQDWOHDVWVXEFDUULHUVLQDWRQH58

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 5XOHVIRUJHQHUDWLQJVHJPHQWHGIHHGEDFN


 ,IWKH+(FRPSUHVVHGEHDPIRUPLQJ&4,UHSRUWVROLFLWHGE\WKH+(EHDPIRUPHUZRXOGUHVXOWLQDQ+(&RP
 SUHVVHG%HDPIRUPLQJ&4,IUDPHWKDWH[FHHGVRFWHWVLQOHQJWKWKHQWKH+(FRPSUHVVHGEHDPIRUP
 LQJ&4,UHSRUWVKDOOEHVSOLWLQWRXSWRIHHGEDFNVHJPHQWV(DFKIHHGEDFNVHJPHQWVKDOOEHLQFOXGHGLQD
 VHSDUDWH+( &RPSUHVVHG %HDPIRUPLQJ&4, IUDPH DQG VKDOO FRQWDLQ VXFFHVVLYHSRUWLRQV RIWKH+( FRP
 SUHVVHGEHDPIRUPLQJ&4,UHSRUW(DFKIHHGEDFNVHJPHQWVKDOOEHRIHTXDOOHQJWKH[FHSWWKHODVWIHHGEDFN 

 VHJPHQWWKDWPD\EHVPDOOHU(DFK+(&RPSUHVVHG%HDPIRUPLQJ&4,IUDPHWKDWLQFOXGHVDIHHGEDFNVHJ
 PHQWWKDWLVQRWWKHODVWIHHGEDFNVHJPHQWVKDOOKDYHDOHQJWKRIRFWHWV(DFKIHHGEDFNVHJPHQWLV
 LGHQWLILHGE\WKHYDOXHRIWKH5HPDLQLQJ)HHGEDFN6HJPHQWVVXEILHOGDQGWKH)LUVW)HHGEDFN6HJPHQWVXE
 ILHOGLQWKH+(0,02&RQWUROILHOGDVGHILQHGLQ +(0,02&RQWUROILHOG WKHRWKHUQRQUHVHUYHG
 VXEILHOGVRIWKH+(0,02&RQWUROILHOGVKDOOEHWKHVDPHIRUDOOIHHGEDFNVHJPHQWV$OOIHHGEDFNVHJPHQWV

 VKDOO EH VHQW LQ D VLQJOH $03'8 FRQWDLQHG LQ D 33'8 DQG VKDOO EH LQFOXGHG LQ WKH $03'8 LQ WKH
 GHVFHQGLQJRUGHURIWKH5HPDLQLQJ)HHGEDFN6HJPHQWVVXEILHOGYDOXHV

 $Q +( EHDPIRUPHU WKDW VHQGV D %)53 7ULJJHU IUDPH LQ LWV ILUVW DWWHPSW WR UHWULHYH DQ +( FRPSUHVVHG


EHDPIRUPLQJ&4,UHSRUWIURPDQ+(EHDPIRUPHHVKDOOVROLFLWDOOSRVVLEOHIHHGEDFNVHJPHQWVE\VHWWLQJDOO

 RIWKHELWVLQWKH)HHGEDFN6HJPHQW5HWUDQVPLVVLRQ%LWPDSVXEILHOGWRLQWKH8VHU,QIRILHOGLGHQWLI\LQJ
 WKH+(EHDPIRUPHH

 $Q+(EHDPIRUPHUWKDWIDLOVWRUHFHLYHVRPHRUDOORIWKHIHHGEDFNVHJPHQWVRIWKH+(FRPSUHVVHGEHDP

 IRUPLQJ&4,UHSRUWIURPWKH+(EHDPIRUPHHPD\VROLFLWWKHVHOHFWLYHUHWUDQVPLVVLRQRIPLVVLQJIHHGEDFN
 VHJPHQWVE\VHQGLQJD%)537ULJJHUIUDPHWKDWLQGLFDWHVLQWKH)HHGEDFN6HJPHQW5HWUDQVPLVVLRQ%LWPDS 
 VXEILHOGRIWKH8VHU,QIRILHOGLGHQWLI\LQJWKH+(EHDPIRUPHHWKHOLVWRIIHHGEDFNVHJPHQWVVROLFLWHGIRU
 UHWUDQVPLVVLRQ VHH %HDPIRUPLQJ5HSRUW3ROO %)53 YDULDQW 

 127(²,QDQ+(QRQ7%VRXQGLQJVHTXHQFHLIWKH+(EHDPIRUPHUGRHVQRWUHFHLYHDOOIHHGEDFNVHJPHQWVIURPWKH
 +(EHDPIRUPHHWKH+(EHDPIRUPHUFDQQRWXVHD%)537ULJJHUIUDPHWRUHTXHVWUHWUDQVPLVVLRQRIWKHIHHGEDFNVHJ
 PHQWV,QWKLVFDVHWKH+(EHDPIRUPHHFDQRQO\UHSHDWWKHHQWLUHQRQ7%VRXQGLQJVHTXHQFH

 $Q+(EHDPIRUPHUWKDWIDLOVWRUHFHLYHWKHILUVWIHHGEDFNVHJPHQW LGHQWLILHGE\WKH)LUVW)HHGEDFN6HJ

 PHQWILHOGVHWWR PD\VROLFLWWKHVHOHFWLYHUHWUDQVPLVVLRQRIWKHPLVVLQJIHHGEDFNVHJPHQWVDVVXPLQJWKH
 +(FRPSUHVVHGEHDPIRUPLQJ&4,UHSRUWLVVSOLWLQWRIHHGEDFNVHJPHQWV7KH+(EHDPIRUPHUPD\DOVR 
 VROLFLW WKH UHWUDQVPLVVLRQ RI DOO IHHGEDFN VHJPHQWV E\ VHWWLQJ DOO RI WKH ELWV LQ WKH )HHGEDFN 6HJPHQW
 5HWUDQVPLVVLRQ%LWPDSVXEILHOGWRLQWKH8VHU,QIRILHOGLGHQWLI\LQJWKH+(EHDPIRUPHH


 $Q +( EHDPIRUPHH WKDW WUDQVPLWV DQ +( FRPSUHVVHG EHDPIRUPLQJ&4, UHSRUW LQFOXGLQJ WKH +( &RP
 SUHVVHG%HDPIRUPLQJ5HSRUWLQIRUPDWLRQDQGDQ\+(08([FOXVLYH%HDPIRUPLQJ5HSRUWLQIRUPDWLRQLQ 
 UHVSRQVHWRD%)537ULJJHUIUDPHVKDOOHLWKHUWUDQVPLWRQO\WKHIHHGEDFNVHJPHQWVLQGLFDWHGLQWKH)HHG
 EDFN6HJPHQW5HWUDQVPLVVLRQ%LWPDSILHOGLQWKH8VHU,QIRILHOGRIWKH%)537ULJJHUIUDPHLGHQWLI\LQJWKH


+(EHDPIRUPHHRUWUDQVPLWDOOWKHIHHGEDFNVHJPHQWVDYDLODEOHDWWKH+(EHDPIRUPHHH[FOXGLQJWKHIHHG
 EDFNVHJPHQWVWKDWGRQRWH[LVWDWWKH+(EHDPIRUPHH

 127(²,I DQ +( EHDPIRUPHU VROLFLWV WKH PLVVLQJ IHHGEDFN VHJPHQWV IURP D EHDPIRUPHH DQG GRHV QRW UHFHLYH D
 UHVSRQVHIURPWKHEHDPIRUPHHWKH+(EHDPIRUPHUPLJKWHLWKHULQLWLDWHDQ+(7%VRXQGLQJVHTXHQFHRUWUDQVPLWDQ 
 DGGLWLRQDO%)537ULJJHUIUDPHWRWKH+(EHDPIRUPHH

 +(VRXQGLQJ1'3WUDQVPLVVLRQ

 7KH7;9(&725SDUDPHWHUVIRUDQ+(VRXQGLQJ1'3VKDOOEHVHWDVIROORZV

 ² )250$7LVVHWWR+(B68

 ² $3(3B/(1*7+LVVHWWR
 ² +(B/7)B7<3(LVVHWWRHLWKHU[+(/7)RU[+(/7)

 ² ,I+(B/7)B7<3(LV[+(/7)WKHQ*,B7<3(LVVHWWRHLWKHUXVB*,RUXVB*,

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ² ,I+(B/7)B7<3(LV[+(/7)WKHQ*,B7<3(LVVHWWRXVB*,

 ² 180B676LQGLFDWHVWZRRUPRUHVSDFHWLPHVWUHDPVLIWKH)HHGEDFN7\SHILHOGLQWKH+(0,02 
 &RQWUROILHOGRIWKHSUHFHGLQJ+(1'3$QQRXQFHPHQWIUDPHLQGLFDWHVHLWKHU68RU08RURQHRU
 PRUHVSDFHWLPHVWUHDPVLIWKH)HHGEDFN7\SHILHOGLQWKH+(0,02&RQWUROILHOGRIWKHSUHFHGLQJ
 +(1'3$QQRXQFHPHQWIUDPHLQGLFDWHV&4,6HHEHORZIRUDGGLWLRQDOFRQVWUDLQWVRQ180B676

 ² &+B%$1':,'7+LVVHWWRWKHVDPHYDOXHDVWKH7;9(&725SDUDPHWHU&+B%$1':,'7+LQ

 WKHSUHFHGLQJ+(1'3$QQRXQFHPHQWIUDPH

 ² 63$7,$/B5(86(LVVHWWR365B$1'B121B65*B2%66B3'B352+,%,7(' VHH 63$
 7,$/B5(86(

 ² %66B&2/25LVVHWWRWKHYDOXHLQGLFDWHGLQWKH%66&RORUVXEILHOGRIWKH+(2SHUDWLRQHOHPHQW
 UHFHLYHGRUWUDQVPLWWHGE\WKH+($3


² 7;23B'85$7,21VHWWRHLWKHURUDYDOXHGHILQHGLQ(TXDWLRQ 

 D +(B1'3$ ± 6,)6 ± 7;7,0(
 PD[ PLQ     
  
 D +(B1'3$ ± 6,)6 ± 7;7,0(
PLQ    
 

 ZKHUH

 D+(B1'3$LVWKHYDOXHRIWKH'XUDWLRQ,'ILHOGLQWKH0$&KHDGHURIWKHSUHFHGLQJ+(1'3$QQRXQFH
 PHQWIUDPH


7;7,0(LVWKHWUDQVPLVVLRQWLPHRIDQ+(VRXQGLQJ1'3GHILQHGLQ(TXDWLRQ 

 7KH6XSSRUWHG+(0&6DQG1666HWILHOGRIWKH+(&DSDELOLWLHVHOHPHQWWUDQVPLWWHGE\WKHWUDQVPLWWHU
 DQGWKHUHFHLYHURIWKH+(VRXQGLQJ1'3GRQRWDIIHFWWKHYDOXHVXVHGIRUWKH180B676SDUDPHWHUIRUWKH

7;9(&725RIDQ+(VRXQGLQJ1'3


 7KH GHVWLQDWLRQ RI DQ +( VRXQGLQJ 1'3 LV HTXDO WR WKH 5$ RI WKH LPPHGLDWHO\ SUHFHGLQJ +( 1'3

 $QQRXQFHPHQWIUDPH


 7KHVRXUFHRIDQ+(VRXQGLQJ1'3LVHTXDOWRWKH7$RIWKHLPPHGLDWHO\SUHFHGLQJ+(1'3$QQRXQFH
 PHQWIUDPH


 7:7RSHUDWLRQ


 *HQHUDO

 7DUJHW ZDNH WLPH 7:7  DOORZV DQ $3 WR PDQDJH DFWLYLW\ LQ WKH %66 LQ RUGHU WR PLQLPL]H FRQWHQWLRQ


EHWZHHQ67$VDQGWRUHGXFHWKHUHTXLUHGDPRXQWRIWLPHWKDWD67$LQ36PRGHQHHGVWREHDZDNH7KLVLV
 DFKLHYHG E\ DOORFDWLQJ 67$V WR RSHUDWH DW QRQRYHUODSSLQJ WLPHV DQGRU IUHTXHQFLHV DQG FRQFHQWUDWH WKH
 IUDPHH[FKDQJHVLQSUHGHILQHGVHUYLFHSHULRGV


$Q+(67$QHJRWLDWHVLQGLYLGXDO7:7DJUHHPHQWVDVGHILQHGLQ 7DUJHWZDNHWLPH 7:7 VXEMHFW

 WRWKHDGGLWLRQDOUXOHVDQGUHVWULFWLRQVWKDWDUHGHILQHGLQ ,QGLYLGXDO7:7DJUHHPHQWV DQG 
 +( VXEFKDQQHO VHOHFWLYH WUDQVPLVVLRQ  $ QRQ$3 +( 67$ HVWDEOLVKHV PHPEHUVKLS LQ EURDGFDVW 7:7 
 VFKHGXOHVDVGHILQHGLQ %URDGFDVW7:7RSHUDWLRQ ZKLFKDUHXVHGDVGHILQHGLQ 5XOHVIRU
 7:7 VFKHGXOHG 67$   3RZHU VDYH ZLWK 825$ DQG 7:7  DQG  2SSRUWXQLVWLF SRZHU

VDYH  $Q +( $3 GHOLYHUV EURDGFDVW 7:7 SDUDPHWHU VHWV WR QRQ$3 +( 67$V DV GHVFULEHG LQ 


 5XOHVIRU7:7VFKHGXOLQJ$3  3RZHUVDYHZLWK825$DQG7:7 DQG 2SSRUWXQLVWLF
 SRZHUVDYH 

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $67$GRHVQRWQHHGWREHDZDUHRIWKHYDOXHVRI7:7SDUDPHWHUVRIWKH7:7DJUHHPHQWVRIRWKHU67$VLQ
 WKH%66RIWKH67$RURI7:7DJUHHPHQWVRI67$VLQRWKHU%66V$67$GRHVQRWQHHGWREHDZDUHWKDWD

7:7VHUYLFHSHULRG 63 LVXVHGWRH[FKDQJHIUDPHVZLWKRWKHU67$V)UDPHVWUDQVPLWWHGGXULQJD7:763


 DUHFDUULHGLQDQ\33'8IRUPDWVXSSRUWHGE\WKHSDLURI67$VWKDWKDYHHVWDEOLVKHGWKH7:7DJUHHPHQW
 FRUUHVSRQGLQJWRWKDW7:763LQFOXGLQJ+(0833'8+(7%33'8HWF



$Q+(67$ZLWKGRW7:72SWLRQ,PSOHPHQWHGHTXDOWRWUXHVKDOOVHW
 ² 7KH7:75HTXHVWHU6XSSRUWVXEILHOGWRLQWKH+(&DSDELOLWLHVHOHPHQWWKDWLWWUDQVPLWVLILWVXS

SRUWVRSHUDWLQJLQWKHUROHRID7:7UHTXHVWLQJ67$RWKHUZLVHVHWWR

 ² 7KH7:75HVSRQGHU6XSSRUWVXEILHOGWRLQWKH+(&DSDELOLWLHVHOHPHQWVWKDWLWWUDQVPLWVLILWVXS
 SRUWVRSHUDWLQJLQWKHUROHRID7:7UHVSRQGLQJ67$RWKHUZLVHVHWWR

 ² 7KH%URDGFDVW7:76XSSRUWVXEILHOGWRLQWKH+(&DSDELOLWLHVHOHPHQWWKDWLWWUDQVPLWVLILWVXS
 SRUWVRSHUDWLQJLQWKHUROHRID7:7VFKHGXOHG67$RULQWKHUROHRID7:7VFKHGXOLQJ$3RWKHU

 ZLVHVHWWR

 $Q +( $3 VKDOO VHW WKH 7:7 5HVSRQGHU 6XSSRUW VXEILHOG RI WKH ([WHQGHG &DSDELOLWLHV HOHPHQW DQG +(

 &DSDELOLWLHVHOHPHQWWR


 $Q+($3PD\UHTXHVW7:7SDUWLFLSDWLRQE\DOODVVRFLDWHG67$VWKDWKDYHGHFODUHGVXSSRUWIRU7:7$ 
 QRQ$367$GHFODUHVVXSSRUWIRUWKHUROHRI7:7UHTXHVWLQJ67$E\VHWWLQJWKH7:75HTXHVWHU6XSSRUW

VXEILHOGLQWKH([WHQGHG&DSDELOLWLHVHOHPHQWRULQWKH+(&DSDELOLWLHVHOHPHQWWRDQGGHFODUHVVXSSRUWIRU

 WKHUROHRI7:7VFKHGXOHG67$E\VHWWLQJWKH%URDGFDVW7:76XSSRUWVXEILHOGLQWKH+(&DSDELOLWLHVHOH
 PHQWWR7KH+($3PDNHVWKHUHTXHVWIRU7:7SDUWLFLSDWLRQE\VHWWLQJWKH7:75HTXLUHGVXEILHOGWR
 LQ+(2SHUDWLRQHOHPHQWVLWWUDQVPLWV$67$WKDWVXSSRUWV7:7DQGWKDWKDVUHFHLYHGDQ+(2SHUDWLRQ 
 HOHPHQWZLWKWKH7:75HTXLUHGVXEILHOGHTXDOWRIURPWKH+($3ZLWKZKLFKLWLVDVVRFLDWHGVKDOOHLWKHU

QHJRWLDWHLQGLYLGXDO7:7DJUHHPHQWVDVGHILQHGLQ ,QGLYLGXDO7:7DJUHHPHQWV RUSDUWLFLSDWHLQ 

 EURDGFDVW7:7RSHUDWLRQDVGHILQHGLQ %URDGFDVW7:7RSHUDWLRQ 

 127(²7KH$3VHWVWKH7:75HTXLUHGVXEILHOGWRLILWLVQRWDYDLODEOHRXWVLGH7:763V VHH ,QGLYLGXDO7:7 
 DJUHHPHQWV  DQG  %URDGFDVW 7:7 RSHUDWLRQ  7KH $3 PLJKW QRW EH DYDLODEOH RXWVLGH 7:7 63V LI LW VHWV WKH
 5HVSRQGHU300RGHVXEILHOGWR VHH 7:76OHHS6HWXS 

 ,QGLYLGXDO7:7DJUHHPHQWV


 $Q+(67$PD\QHJRWLDWHLQGLYLGXDO7:7DJUHHPHQWVZLWKDQRWKHU+(67$DVGHILQHGLQ 7:7

 RYHUYLHZ H[FHSWWKDWWKH67$

 ² 0D\VHWWKH5HVSRQGHU300RGHVXEILHOGWRLILWLVD7:7UHVSRQGLQJ67$WKDWLQWHQGVWRJRWR

 GR]HVWDWHRXWVLGHRI7:763V

 ‡ ,IWKH7:7UHVSRQGLQJ67$LVDQ$3WKHQLWPD\VHWWKH5HVSRQGHU300RGHVXEILHOGWRRQO\
 LIDOOQRQ$367$VWKDWDUHDVVRFLDWHGWRLWLQGLFDWHVXSSRUWRI7:7DQGWKH$3KDVVHWWKH7:7 
 5HTXLUHG VXEILHOG WR  LQ WKH +( 2SHUDWLRQ HOHPHQW LW WUDQVPLWV RWKHUZLVH LW VKDOO VHW WKH
 5HVSRQGHU300RGHVXEILHOGWR

 ‡ $Q$3WKDWVHWVWKH5HVSRQGHU300RGHVXEILHOGWRIROORZVWKHUXOHVGHILQHGLQ 7:7 
 6OHHS6HWXS 

 ² 6KDOOVHWWKH,PSOLFLWVXEILHOGWRDQGWKH1'33DJLQJ,QGLFDWRUVXEILHOGWRLQDOO7:7HOHPHQWV
 WKDWLWWUDQVPLWVGXULQJWKH7:7VHWXS

 ² 0D\VHWWKH7ULJJHUVXEILHOGWRLQWKH7:7HOHPHQWLWWUDQVPLWVGXULQJWKH7:7VHWXSWRQHJRWLDWH
 DWULJJHUHQDEOHG7:7

 ‡ $VXFFHVVIXO7:7DJUHHPHQWZKRVH7ULJJHUVXEILHOGLQWKH7:7UHVSRQVHVHQWE\WKH$3LVLV
 DWULJJHUHQDEOHG7:7RWKHUZLVHLWLVQRWDWULJJHUHQDEOHG7:7

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ² 6KDOOVHWWKH7:7&KDQQHOVXEILHOGLQWKH7:7HOHPHQWLWWUDQVPLWVWRXQOHVVWKH+(67$VHWVXS
 DVXEFKDQQHOVHOHFWLYHWUDQVPLVVLRQRSHUDWLRQDVGHILQHGLQ +(VXEFKDQQHOVHOHFWLYHWUDQV

PLVVLRQ 

 ² 0D\VHWWKH7:73URWHFWLRQILHOGWRWRLQGLFDWHWKDW7;23VZLWKLQWKH7:763VVKDOOEHLQLWLDWHG

 ZLWKD1$9SURWHFWLRQPHFKDQLVPVXFKDV 08 576&76RU&76WRVHOIIUDPHRWKHUZLVHLWVKDOO

VHWLWWR

 ² $Q+(67$VKDOOQRWXVHWKH5$:PHFKDQLVPIRUSURWHFWLRQRI7:763V


 $Q+(67$WKDWVXFFHVVIXOO\VHWVXSD7:7DJUHHPHQWZLWKDQRWKHU+(67$VKDOOIROORZWKHUXOHVGHILQHG 
 LQ  7:7 RYHUYLHZ  DQG  ,PSOLFLW 7:7 RSHUDWLRQ  H[FHSW WKDW DOO WKH DGGLWLRQDO UXOHV
 GHILQHGLQ 7:7RSHUDWLRQ VXSHUVHGHDOOWKHUHVSHFWLYHUXOHVGHILQHGLQ 7:7RYHUYLHZ DQG
  ,PSOLFLW7:7RSHUDWLRQ $7:7RU7:763WKDWLVVHWXSXQGHUDQLPSOLFLW7:7DJUHHPHQWLVDQ 
 LPSOLFLW7:7RULPSOLFLW7:763UHVSHFWLYHO\ VHH 7:7RYHUYLHZ $7:7RU7:763WKDWLV

 VHW XS XQGHU D WULJJHUHQDEOHG 7:7 DJUHHPHQW LV D WULJJHUHQDEOHG 7:7 RU WULJJHUHQDEOHG 7:7 63
 UHVSHFWLYHO\

 $QH[DPSOHRILQGLYLGXDO7:7RSHUDWLRQLVVKRZQLQ)LJXUHD ([DPSOHRILQGLYLGXDO7:7RSHUDWLRQ 


ZKHUHWKH$3LVWKH7:7UHVSRQGLQJ67$DQG67$DQG67$DUHWKH7:7UHTXHVWLQJ67$V


 dƌŝŐŐĞƌͲĞŶĂďůĞĚdtd^W


dtdƌĞƐƉ͘

dtdƌĞƐƉ͘

DƵůƚŝͲ^d
ůŽĐŬĐŬ
dƌŝŐŐĞƌ

 >DhWWh

 W
 EĞdžƚdtd

dtdƌĞƋ͘

ůŽĐŬĐŬ

W^ͲWŽůů



^dϭ
 ŽnjĞ
ŽnjĞ


ůŽĐŬĐŬ
YŽ^EƵůů



 ^dϮ ŽnjĞ
ŽnjĞ


 )LJXUH²([DPSOHRILQGLYLGXDO7:7RSHUDWLRQ


 ,QWKLVH[DPSOH67$VHQGVD7:7UHTXHVWWRWKH7:7UHVSRQGLQJ67$WRVHWXSDWULJJHUHQDEOHG7:7 
 DJUHHPHQW7KH7:7UHVSRQGLQJ67$DFFHSWVWKH7:7DJUHHPHQWZLWK67$DQGFRQILUPVWKHDFFHSWDQFH
 LQWKH7:7UHVSRQVHVHQWWR67$6XEVHTXHQWO\WKH7:7UHVSRQGLQJ67$VHQGVDQXQVROLFLWHG7:7 


UHVSRQVHWR67$WRVHWXSDWULJJHUHQDEOHG7:7DJUHHPHQWZLWK67$%RWKWKHVH7:7DJUHHPHQWVDUH
 VHWXSDVDQQRXQFHG7:7V'XULQJWKHWULJJHUHQDEOHG7:763WKH7:7UHVSRQGLQJ67$VHQGVD7ULJJHU
 IUDPHWRZKLFKWKH7:7UHTXHVWLQJ67$VLQGLFDWHWKDWWKH\DUHDZDNHGXULQJWKH7:76367$LQGLFDWHV
 WKDWLWLVDZDNHE\VHQGLQJD363ROOIUDPHDQG67$LQGLFDWHVWKDWLWLVDZDNHE\VHQGLQJD4R61XOO
 IUDPHLQUHVSRQVHWRWKH7ULJJHUIUDPH67$DQG67$UHFHLYHWKHLU'/%8VLQDVXEVHTXHQWH[FKDQJH


ZLWKWKH7:7UHVSRQGLQJ67$DQGJRWRGR]HVWDWHRXWVLGHRIWKLV7:763

 $Q+(67$PD\H[HFXWHWKHLQGLYLGXDO7:7VHWXSH[FKDQJHVGHILQHGLQ7DEOH 7:7VHWXSH[FKDQJH
 IRU XQVROLFLWHG 7:7 DQG UHFRPPHQGHG EURDGFDVW 7:7 VZLWFK  LQ DGGLWLRQ WR WKH H[FKDQJHV GHILQHG LQ


 7DUJHWZDNHWLPH 7:7 $Q+(67$WKDWLQWHQGVWRVHWXSDQLQGLYLGXDO7:7VKDOOVHWWKH1HJRWL

 DWLRQ7\SHVXEILHOGWRDVGHILQHGLQ 7DUJHWZDNHWLPH 7:7 RUDVGHILQHGLQ7DEOH 7:7 
 VHWXSH[FKDQJHIRUXQVROLFLWHG7:7DQGUHFRPPHQGHGEURDGFDVW7:7VZLWFK 7KH+(67$PD\UHVSRQG

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 WRWKH7:7UHTXHVWZLWKD7:7UHVSRQVHWKDWKDVWKH1HJRWLDWLRQ7\SHVXEILHOGHTXDOWRDVLQGLFDWHGLQ

 7DEOH 7:7VHWXSH[FKDQJHIRUXQVROLFLWHG7:7DQGUHFRPPHQGHGEURDGFDVW7:7VZLWFK WRSUR

YLGHUHFRPPHQGHGEURDGFDVW7:7VFKHGXOHVIRUWKHUHTXHVWLQJ67$



 7DEOH²7:7VHWXSH[FKDQJHIRUXQVROLFLWHG7:7DQGUHFRPPHQGHGEURDGFDVW7:7
 VZLWFK


 7:76HWXS&RPPDQGILHOG 7:76HWXS&RPPDQG 7:7FRQGLWLRQDIWHUWKHFRPSOHWLRQRIWKH
 LQDQLQLWLDWLQJIUDPH ILHOGLQDUHVSRQVHIUDPH H[FKDQJH

 5HTXHVW7:7RU6XJJHVW7:7 $FFHSW7:7ZLWK%URDG 7KLVUHVSRQVHLVQRWDOORZHG
 RU'HPDQG7:7ZLWK%URDG FDVWVXEILHOG 
 FDVWVXEILHOG 

 5HTXHVW7:76XJJHVW7:7RU 'LFWDWH7:7ZLWK%URDG 1RLQGLYLGXDO7:7DJUHHPHQWH[LVWVZLWKWKH
 'HPDQG7:7ZLWK%URDGFDVW FDVWVXEILHOG  DVVRFLDWHG7:7)ORZLGHQWLILHU2QHRUPRUH
 VXEILHOG  EURDGFDVW7:7VFKHGXOHH[LVWVWKDWXVHVWKH7:7
 SDUDPHWHUVLGHQWLILHGLQWKHUHVSRQVHIUDPH
 LQFOXGLQJD%URDGFDVW7:7,'V7KHEURDGFDVW
 7:7VFKHGXOHVDUHQRWQHFHVVDULO\QHZO\FUHDWHG
 7KHUHVSRQGLQJ67$ZLOOQRWFUHDWHDQ\QHZLQGL
 YLGXDO7:7DJUHHPHQWZLWKWKHUHTXHVWHUDWWKLV
 WLPH7KH67$WUDQVPLWWLQJWKHLQLWLDWLQJIUDPHLV
 QRWDPHPEHURIWKHEURDGFDVW7:7KRZHYHUWKH
 67$LVUHFRPPHQGHGWRMRLQDQ\RIWKHEURDGFDVW
 7:7VFKHGXOHV

 $FFHSW7:7ZLWK%URDGFDVW 1RIUDPHWUDQVPLWWHG 7KH67$UHFHLYLQJWKLVIUDPHQRZKDVDQLQGLYLG
 VXEILHOGVHWWR XDO7:7DJUHHPHQWZLWKWKHWUDQVPLWWHURIWKH
 IUDPHZKHUHWKHSDUDPHWHUVRIWKHLQGLYLGXDO
 7:7DJUHHPHQWDUHLGHQWLILHGE\WKHLQLWLDWLQJ
 IUDPH
 $OWHUQDWH7:7RU'LFWDWH7:7 1RIUDPHWUDQVPLWWHG 7KH67$UHFHLYLQJWKLVIUDPHLVQRWWKURXJKWKH
 ZLWK%URDGFDVWVXEILHOG  UHFHLSWRIWKLVIUDPHDPHPEHURIWKH7:7LGHQWL
 ILHGE\WKHLQLWLDWLQJIUDPHEXWFDQXVHWKHLQIRU
 PDWLRQSURYLGHGWRFUHDWHDUHTXHVWWRVHWXSD
 7:7LQDVXEVHTXHQWLQLWLDWLQJIUDPHWKDWLWWUDQV
 PLWV

 127(²7KH1HJRWLDWLRQ7\SHVXEILHOGLQWKH7:7HOHPHQWFRQWDLQHGLQWKHVHIUDPHVLVLIWKH%URDGFDVWVXE
 ILHOGLVDQGLVLIWKH%URDGFDVWVXEILHOGLV

 127( ²7KH LQLWLDWLQJ IUDPH DQG UHVSRQVH IUDPH VHWWLQJV QRW OLVWHG LQ WKH WDEOHV LQ  7DUJHW ZDNH WLPH
 7:7 RU 7:7RSHUDWLRQ DUHQRWDOORZHG7KHLQLWLDWLQJIUDPHLVD7:7UHTXHVWLIWKH7:7HOHPHQWFDUULHG 
 LQWKH IUDPHKDVWKH 7:7 5HTXHVW ILHOGVHWWRRWKHUZLVH LWLV D7:7UHVSRQVH VHH7DEOH 7:76HWXS 
 &RPPDQGILHOGYDOXHV 7KHUHVSRQVHIUDPHLVD7:7UHVSRQVHLIWKH7:7HOHPHQWFRQWDLQHGLQWKHIUDPHKDVWKH
 7:75HTXHVWILHOGHTXDOWR



 $Q+(67$WKDWVXFFHVVIXOO\VHWVXSDQLQGLYLGXDO7:7DJUHHPHQWDQGRSHUDWHVLQ36PRGHPD\OLVWHQWR 
 %HDFRQ IUDPHV EXW LV H[HPSW IURP WKH UHTXLUHPHQWV IRU UHFHLYLQJ %HDFRQ IUDPHV DV GHILQHG LQ 

 *HQHUDO 7KH+(67$IROORZVWKHUXOHVLQ 3RZHUPDQDJHPHQWLQDQRQ'0*LQIUDVWUXFWXUHQHW
 ZRUN WRUHFHLYHJURXSDGGUHVVHGIUDPHV

 127(²$Q+($3VHWVWKHELWLQWKH7,0HOHPHQWRIWKH%HDFRQIUDPHWKDWFRUUHVSRQGVWRWKH$,'RIWKH7:7 
 UHTXHVWLQJ67$WRWRLQGLFDWHWKHSUHVHQFHRIDYDLODEOHEXIIHUHG%8VIRUWKH67$ VHH 5HFHLYHRSHUDWLRQIRU
 67$VLQ36PRGH 

 127(²7KH7:7UHVSRQGLQJ67$PLJKWLQIRUPWKH7:7UHTXHVWLQJ67$LILWVXSSRUWV7,0%URDGFDVWRIDQ\FULW
 LFDO XSGDWH DV GHILQHG LQ  7,0 %URDGFDVW  E\ VHQGLQJ D 0DQDJHPHQW IUDPH WR WKH 7:7 UHTXHVWLQJ 67$

 ZKHQWKH67$LVLQWKHDZDNHVWDWH

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $Q+(67$PD\WHDUGRZQDQLQGLYLGXDO7:7DJUHHPHQWE\VHQGLQJD7:77HDUGRZQIUDPHZLWKWKH
 1HJRWLDWLRQ7\SHVXEILHOGVHWWR$Q+(67$PD\WHDUGRZQDOOLQGLYLGXDO7:7DJUHHPHQWVE\VHQGLQJD

7:77HDUGRZQIUDPHZLWKWKH7HDUGRZQ$OO7:7ILHOGVHWWR


 $Q+($3PD\VHQGDQXQVROLFLWHG7:7UHVSRQVHZLWKWKH7ULJJHUVXEILHOGHTXDOWRWRDQRQ$3+(67$ 
 WKDWKDVVHWWKH7:75HTXHVWHU6XSSRUWVXEILHOGWRLQWKH+(&DSDELOLWLHVHOHPHQWVWKDWLWWUDQVPLWVWRWKH
 $37KH7:7UHVSRQVHVKDOOKDYHRQHRIWKHVHYDOXHVLQWKH7:76HWXS&RPPDQGILHOG$FFHSW7:7

$OWHUQDWH7:7RU'LFWDWH7:7$QXQVROLFLWHG7:7UHVSRQVHZLWK7:76HWXS&RPPDQGILHOGRI$OWHU

 QDWH7:7RU'LFWDWH7:7FRQWDLQVDQDGYLVRU\QRWLILFDWLRQWRWKHUHFLSLHQWRI7:7SDUDPHWHUVWKDWDUH
 OLNHO\WREHDFFHSWHGE\WKH$3LIWKHUHFLSLHQWWUDQVPLWVDVXEVHTXHQW7:7UHTXHVWWRWKH$3WKDWLQFOXGHV
 WKRVH7:7SDUDPHWHUV$QXQVROLFLWHG7:7UHVSRQVHZLWKWKH7:76HWXS&RPPDQGILHOGRI$FFHSW7:7 
 FUHDWHVD7:7DJUHHPHQWEHWZHHQWKHWZR67$V$67$WKDWUHFHLYHGDQXQVROLFLWHG7:7UHVSRQVHZLWK

WKH7:76HWXS&RPPDQGILHOGRI$FFHSW7:7PD\WUDQVPLWD7:77HDUGRZQIUDPHWRGHOHWHWKHXQVROLF

 LWHGLQGLYLGXDO7:7DJUHHPHQW
 127(²7KH+($3PLJKWVHQGDQXQVROLFLWHG7:7UHVSRQVHWRDQRQ$3+(67$ZLWKD7:7)ORZ,GHQWLILHUWKDW
 FRUUHVSRQGVWRDQH[LVWLQJ7:7DJUHHPHQW7KHXQVROLFLWHG7:7UHVSRQVHZLWK7:76HWXS&RPPDQGILHOGRI$FFHSW
 7:7ZLOOLQGLFDWHQHZ7:7SDUDPHWHUVWKDWDUHGLIIHUHQWIURPWKHSUHYLRXVO\QHJRWLDWHG7:7SDUDPHWHUVIRUWKDW7:7

 DJUHHPHQW


 $Q +( 67$ VKDOO QRW WUDQVPLW %$7 7$&. RU 67$&. IUDPHV ZKLFK DUH DOORZHG LQ  7:7

 DFNQRZOHGJPHQWSURFHGXUH 

 $7:7UHTXHVWLQJ67$VKRXOGQRWWUDQVPLWIUDPHVWRWKH7:7UHVSRQGLQJ67$RXWVLGHRIQHJRWLDWHG7:7


 63VDQGVKRXOGQRWWUDQVPLWIUDPHVWKDWDUHQRWFRQWDLQHGZLWKLQ+(7%33'8VWRWKH7:7UHVSRQGLQJ
 67$ZLWKLQWULJJHUHQDEOHG7:763V

127(²7KH7:7UHTXHVWLQJ67$GHFLGHVZKLFKIUDPHVWRWUDQVPLWZLWKLQRURXWVLGHD7:763DQGZKLOHLWLVUHFRP

PHQGHGWKDWWKH7:7UHTXHVWLQJ67$QRWWUDQVPLWXVLQJ('&$ZLWKLQRURXWVLGH7:763VWKH7:7UHTXHVWLQJ67$ 

PLJKWVWLOOGRVR,IWKH67$GHFLGHVWRWUDQVPLWWKHQWKH67$PLJKWFRQWHQGIRUDFFHVVWRWKHPHGLXPDVGHILQHGLQ


 +&)FRQWHQWLRQEDVHGFKDQQHODFFHVV ('&$ DQGLQ ('&$RSHUDWLRQXVLQJ08('&$SDUDPHWHUV 


 7KH7:7UHVSRQGLQJ67$RIDWULJJHUHQDEOHG7:7DJUHHPHQWVKDOOVFKHGXOHIRUWUDQVPLVVLRQD7ULJJHU
 IUDPHIRUWKH7:7UHTXHVWLQJ67$DVGHVFULEHGLQ 8/08RSHUDWLRQ ZLWKLQHDFK7:763IRUWKDW
 7:7DJUHHPHQW7KH7:7UHVSRQGLQJ67$VKRXOGVROLFLWEXIIHUVWDWXVUHSRUWVIURPWKH7:7UHTXHVWLQJ 
 67$DWWKHVWDUWRIWKH7:763IROORZLQJWKHSURFHGXUHGHVFULEHGLQ 08FDVFDGLQJVHTXHQFH RUDV

 GHVFULEHGLQ 1'3IHHGEDFNUHSRUWSURFHGXUH 7KH7:7UHVSRQGLQJ67$WKDWLQWHQGVWRVFKHGXOH
 IRUWUDQVPLVVLRQDGGLWLRQDO7ULJJHUIUDPHVGXULQJDWULJJHUHQDEOHG7:763VKDOOVHWWKH0RUH7)VXEILHOG
 LQWKH&RPPRQ,QIRILHOGRIWKH7ULJJHUIUDPHWRWRLQGLFDWHWKDWLWZLOOVFKHGXOHIRUWUDQVPLVVLRQDQRWKHU
 7ULJJHU IUDPH ZLWKLQ WKH VDPH 7:7 63 7KH 7:7 UHVSRQGLQJ 67$ VKDOO VHW WKH 0RUH 7) VXEILHOG WR 
 ZKHQWKH7ULJJHUIUDPHLVWKHODVWVFKHGXOHG7ULJJHUIUDPHRIWKH7:763RUZKHQWKH7ULJJHUIUDPHLV

 VFKHGXOHGIRUWUDQVPLVVLRQRXWVLGHRID7:763
 127(²7KH7:7UHVSRQGLQJ67$FDQFDQFHOWKHWUDQVPLVVLRQRIDVFKHGXOHG7ULJJHUIUDPHLIWKH67$JDLQVDFFHVV
 WRWKHZLUHOHVVPHGLXPRXWVLGHRIWKH7:7637KH7:7UHVSRQGLQJ67$GRHVQRWVFKHGXOHIRUWUDQVPLVVLRQD7ULJJHU
 IUDPH IRU WKH 7:7 UHTXHVWLQJ 67$ ZKHQ WKH 7:7DJUHHPHQW LV QRWD WULJJHUHQDEOHG 7:7 DJUHHPHQW RU ZKHQ WKH
 7:7UHTXHVWLQJ67$KDVVHQWDQ20&RQWUROVXEILHOGWKDWKDVWKH8/08'LVDEOHVXEILHOGHTXDOWR VHH 2SHU
 DWLQJPRGHLQGLFDWLRQ 

 127(²7KH7ULJJHUIUDPHFDQEHUHSODFHGE\DIUDPHFDUU\LQJD756&RQWUROVXEILHOGSURYLGHGWKDWWKHIUDPHLVFDU
 ULHGLQD'/0833'8DQGWKH$3DOORFDWHVHQRXJKUHVRXUFHVLQWKH+(7%33'8IRUWKH67$WRDWOHDVWGHOLYHULWV
 %65VLQUHVSRQVHWRWKHVROLFLWLQJ'/0833'8,QWKLVFDVHWKH$3LVUHFRPPHQGHGWRDOORFDWHHQRXJKUHVRXUFHVLQ 
 VXEVHTXHQW7ULJJHUIUDPHVVHQWGXULQJWKH7:763VRWKDWWKH67$FDQVHQGDVPXFKDVSRVVLEOHRIWKHGDWDUHSRUWHGLQ

 WKH%65

 $7:7UHTXHVWLQJ67$WUDQVPLWVDQ+(7%33'8DVDUHVSRQVHWRD7ULJJHUIUDPHWKDWLGHQWLILHVLWDQGLV

VHQWGXULQJDWULJJHUHQDEOHG7:763 VHH 8/08RSHUDWLRQ $7:7UHTXHVWLQJ67$WKDWLVLQ36


 PRGHDQGLVDZDNHVKDOOLQFOXGHD363ROOIUDPHRUD8$36'WULJJHUIUDPHLQWKH+(7%33'8LIWKH
 7:7LVDQDQQRXQFHG7:7XQOHVVWKH67$KDVDOUHDG\WUDQVPLWWHGD363ROORU8$36'WULJJHUIUDPHRU

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 WUDQVPLWWHGDQ\RWKHULQGLFDWLRQWKDWWKH67$LVLQWKHDZDNHVWDWHZLWKLQWKDW7:763RUKDVSUHYLRXVWR 
 WKHVWDUWRIWKH7:763EXWDIWHUWKHHQGRIWKHPRVWUHFHQW7:763LQGLFDWHGWRWKH$3WKDWLWLVFXUUHQWO\

LQWKHDZDNHVWDWH7KH67$PD\LQFOXGHRWKHUIUDPHVLQWKH+(7%33'8ZKHQRWKHUUXOHVGRQRWSURKLELW

 WKHLULQFOXVLRQVHH 8/08RSHUDWLRQ 

 127(±$7ULJJHUIUDPHLGHQWLILHVD7:7UHTXHVWLQJ67$LILWLVVHQWE\WKH$3ZLWKZKLFKWKH67$LVDVVRFLDWHGDQG 
 WKHIUDPHFRQWDLQVWKH/6%VRIWKH67$¶V$,'LQDQ\RILWV8VHU,QIRILHOGV7KH7ULJJHUIUDPHFDQKDYHPXOWLSOH
 UHFLSLHQWVHDFKRIZKLFKLVLGHQWLILHGE\WKHSUHVHQFHRIWKH/6%VRIWKHUHFLSLHQW¶V$,'LQDQ\RILWV8VHU,QIRILHOGV
 VHH 8/08RSHUDWLRQ DQGFDQKDYHLQWKH7$ILHOGWKH0$&DGGUHVVRIWKH$3RUWKHWUDQVPLWWHG%66,' 
 XQGHUWKHFRQGLWLRQVGHILQHGLQ $OORZHGVHWWLQJVRIWKH7ULJJHUIUDPHILHOGVDQG756&RQWUROVXEILHOG 

 127( ²2WKHU LQGLFDWLRQV WKDW WKH 67$ LV LQ WKH DZDNH VWDWH DUH WKH WUDQVPLVVLRQ RI DQ +( 7% IHHGEDFN 1'3 LQ
 UHVSRQVHWRDQ1)537ULJJHUIUDPH VHH 1'3IHHGEDFNUHSRUWSURFHGXUH RUWKHWUDQVPLVVLRQRIDIUDPHWKDW
 LQGLFDWHVWKDWWKH67$LVLQDFWLYHPRGH VHH 67$SRZHUPDQDJHPHQWPRGHV 

 $7:7UHVSRQGLQJ67$WKDWUHFHLYHVD363ROOIUDPHRUD8$36'WULJJHUIUDPHRUDQ\RWKHULQGLFDWLRQ 
 IURPD7:7UHTXHVWLQJ67$WKDWLVLQ36PRGHGXULQJRUEHIRUHDQDQQRXQFHG7:763EXWDIWHUWKHHQGRI


WKHPRVWUHFHQW7:763WKDWWKH7:7UHTXHVWLQJ67$LVLQWKHDZDNHVWDWHGXULQJWKH7:763VKDOOIRO
 ORZWKHUXOHVGHILQHGLQ $3RSHUDWLRQGXULQJWKH&3 H[FHSWWKDWWKH7:7UHVSRQGLQJ67$VKRXOG 
 GHOLYHUWRWKH7:7UHTXHVWLQJ67$DVPDQ\EXIIHUHG%8VDVDUHDYDLODEOHDWWKH7:7UHVSRQGLQJ67$
 SURYLGHGWKDWWKH%8GHOLYHU\GRHVQRWH[FHHGWKHGXUDWLRQRIWKH7:763WKH7:7UHTXHVWLQJ67$KDV
 LQGLFDWHG WKDW LW LV LQ WKH DZDNH VWDWH IRU WKDW 7:7 63 DQG DV ORQJ DV WKH 7:7 UHTXHVWLQJ 67$ KDV QRW


HQWHUHG WKH GR]H VWDWH VHH  7:7 ,QIRUPDWLRQ IUDPH H[FKDQJH IRU LQGLYLGXDO 7:7  DQG  
 3RZHUVDYHRSHUDWLRQGXULQJ7:763V 

 127(²7KHLQGLFDWLRQWKDWWKH7:7UHTXHVWLQJ67$LVLQWKHDZDNHVWDWHIRUWKDW7:763PLJKWEHD363ROO8
 $36'WULJJHUIUDPHRUDQ\IUDPHIRUZKLFKDQLPPHGLDWHUHVSRQVHLVVROLFLWHGDQGWKDWIROORZVWKHUXOHVLQ
 1RQ$367$SRZHUPDQDJHPHQWPRGHV EXWWKHFRUUHVSRQGLQJLPPHGLDWHUHVSRQVHIUDPHLVQRWUHFHLYHGE\WKH7:7 
 UHTXHVWLQJ67$2WKHULQGLFDWLRQVWKDWWKH67$LVLQWKHDZDNHVWDWHDUHWKHWUDQVPLVVLRQRIDQ+(7%IHHGEDFN1'3LQ

 UHVSRQVHWRDQ1)537ULJJHUIUDPH VHH 1'3IHHGEDFNUHSRUWSURFHGXUH RUWKHWUDQVPLVVLRQRIDIUDPHWKDW
 LQGLFDWHVWKDWWKH67$LVLQDFWLYHPRGH VHH 1RQ$367$SRZHUPDQDJHPHQWPRGHV 

 $7:7UHVSRQGLQJ67$WKDWVHQGVIUDPHVWRD7:7UHTXHVWLQJ67$WKDWLVLQ36PRGHGXULQJDQXQDQ

QRXQFHG7:763VKDOOIROORZWKHUXOHVGHILQHGLQ $3RSHUDWLRQGXULQJWKH&3 H[FHSWWKDWWKH

 7:7UHVSRQGLQJ67$VKRXOGGHOLYHUWRWKH7:7UHTXHVWLQJ67$DVPDQ\EXIIHUHG%8VDVDUHDYDLODEOHDW
 WKH7:7UHVSRQGLQJ67$SURYLGHGWKDWWKH%8GHOLYHU\GRHVQRWH[FHHGWKHGXUDWLRQRIWKH7:763DQG 
 DVORQJDVWKH7:7UHTXHVWLQJ67$KDVQRWHQWHUHGWKHGR]HVWDWH VHH 7:7,QIRUPDWLRQIUDPH
 H[FKDQJHIRULQGLYLGXDO7:7 DQG 3RZHUVDYHRSHUDWLRQGXULQJ7:763V 

 127(²7KH7:7UHVSRQGLQJ67$FDQGHOLYHUWKHEXIIHUHG%8VLQ$03'8VVHQWXQGHUDEORFNDFNDJUHHPHQWLIWKH
 7:7LVDQDQQRXQFHG7:7DQGWKH7:7UHTXHVWLQJ67$LVDZDNHIRUWKDW7:763RULIWKH7:7LVDQXQDQQRXQFHG 
 7:7 DWWKHVWDUWRIZKLFKWKH7:7UHTXHVWLQJ67$LVDVVXPHGWRDOUHDG\EHDZDNH 7KHEXIIHUHG%8VFDQEHGHOLY
 HUHG LQ PXOWLSOH 33'8V WUDQVPLWWHG ZLWKLQ WKH 7:7 63 7KH 7:7 UHVSRQGLQJ 67$ FDQ WUDQVPLW IUDPHV WR 7:7

 UHTXHVWLQJ67$DIWHUWKHHQGRIWKH7:763LIWKH67$LVLQ$FWLYHPRGH


 $7:7UHVSRQGLQJ67$PD\WUDQVPLWWRD7:7UHTXHVWLQJ67$WKDWLVLQ$FWLYHPRGHDWDQ\WLPH VHH
  67$SRZHUPDQDJHPHQWPRGHV $7:7UHVSRQGLQJ67$PD\WUDQVPLWWRD7:7UHTXHVWLQJ 
 67$WKDWLVLQ36PRGHDQGDZDNHRXWVLGHRID7:763IROORZLQJWKHUXOHVLQ $3RSHUDWLRQ 


 %URDGFDVW7:7RSHUDWLRQ


 *HQHUDO

 $7:7VFKHGXOLQJ$3LVDQ+($3ZLWKGRW7:72SWLRQ$FWLYDWHGHTXDOWRWUXHWKDWVHWVWKH%URDGFDVW

7:76XSSRUWILHOGRIWKH+(&DSDELOLWLHVHOHPHQWLWWUDQVPLWVWRDQGWKDWIROORZVWKHUXOHVLQ

 5XOHVIRU7:7VFKHGXOLQJ$3  3RZHUVDYHZLWK825$DQG7:7 DQGWKRVHIRUSHULRGLFRSSRU
 WXQLVWLFSRZHUVDYHGHILQHGLQ 2SSRUWXQLVWLFSRZHUVDYH 

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $ 7:7 VFKHGXOLQJ $3 LQFOXGHV D EURDGFDVW 7:7 HOHPHQW LQ WKH %HDFRQ IUDPH DV GHVFULEHG LQ 

 5XOHVIRU7:7VFKHGXOLQJ$3 $Q$3FRUUHVSRQGLQJWRDQRQWUDQVPLWWHG%66,'LQDPXOWLSOH%66,'VHW

VKDOOIROORZWKHUXOHVLQ ,QKHULWDQFHRIHOHPHQWYDOXHV 


 $7:7VFKHGXOLQJ$3PD\LQFOXGHD7:7HOHPHQWZLWKWKH1HJRWLDWLRQ7\SHVXEILHOGHTXDOWRLQDQ 
 5H $VVRFLDWLRQ5HVSRQVHIUDPHRULQD7:7VHWXSIUDPHWRDVVLJQWKHUHFLSLHQW67$WRDEURDGFDVW7:7 
 VFKHGXOHZLWKRXWKDYLQJUHFHLYHGDUHTXHVWIURPWKH67$WREHFRPHDPHPEHURIWKHEURDGFDVW7:7VFKHG

 XOHLIWKDW67$KDVVHWWKH%URDGFDVW7:76XSSRUWILHOGRI+(&DSDELOLWLHVHOHPHQWLWWUDQVPLWVWR

 $QRQ$3+(67$VKDOOREWDLQ7:7SDUDPHWHUYDOXHVIURPWKHPRVWUHFHQWO\UHFHLYHG7:7HOHPHQWFDU
 ULHG LQ D %HDFRQ3UREH 5HVSRQVH RU 5H $VVRFLDWLRQ5HVSRQVH IUDPH IURPLWVDVVRFLDWHG $3XQOHVV WKH


QRQ$3+(67$LVDVVRFLDWHGZLWKDQRQWUDQVPLWWHG%66,'RIDPXOWLSOH%66,'VHWLQZKLFKFDVHLWVKDOO
 IROORZWKHUXOHVLQ ,QKHULWDQFHRIHOHPHQWYDOXHV WRGHWHUPLQHWKH7:7SDUDPHWHUYDOXHV

 $7:7VFKHGXOHG67$LVDQRQ$3+(67$WKDWVHWVWKH%URDGFDVW7:76XSSRUWILHOGRIWKH+(&DSDELO

LWLHVHOHPHQWLWWUDQVPLWVWRDQGUHFHLYHVDEURDGFDVW7:7HOHPHQWWUDQVPLWWHGE\DQ+($3WKDWLVD7:7


 VFKHGXOLQJ$3

 $7:7VFKHGXOHG67$IROORZVWKHVFKHGXOHSURYLGHGE\WKH7:7VFKHGXOLQJ$3DVGHVFULEHGLQ
 5XOHVIRU7:7VFKHGXOHG67$ DQGLQDGGLWLRQWKHUXOHVLQ 3RZHUVDYHZLWK825$DQG7:7 

 LIWKH67$VXSSRUWVWKH825$SURFHGXUHDQGWKHUXOHVLQ 2SSRUWXQLVWLFSRZHUVDYH LIWKH67$ 
 VXSSRUWV236RSHUDWLRQ$7:7VFKHGXOHG67$FDQQHJRWLDWHWKHZDNH7%77DQGZDNHLQWHUYDOIRU%HD
 FRQIUDPHVLWLQWHQGVWRUHFHLYHDVGHVFULEHGLQ 1HJRWLDWLRQRIZDNH7%77DQGZDNHLQWHUYDO RUFDQ

 MRLQDSDUWLFXODUEURDGFDVW7:7DVGHVFULEHGEHORZ


 $QH[DPSOHRIEURDGFDVW7:7RSHUDWLRQLVVKRZQLQ)LJXUH ([DPSOHRIEURDGFDVW7:7RSHUDWLRQ

 ZLWKRSWLRQDO7%77QHJRWLDWLRQ ZKHUHWKH$3LVWKH7:7VFKHGXOLQJ$3DQG67$DQG67$DUHWKH
 7:7VFKHGXOHG67$V


 KƉƚŝŽŶĂůdddEĞŐŽƚŝĂƚŝŽŶ
 ;&ŝƌƐƚddd͕>ŝƐƚĞŶ/ŶƚĞƌǀĂůͿ
 ƌŽĂĚĐĂƐƚ
dƌŝŐŐĞƌͲĞŶĂďůĞĚdtd^W
dtd/

dtdƌĞƐƉ͘

DƵůƚŝͲ^d

 ƌŽĂĚĐĂƐƚ
ůŽĐŬĐŬ
ĞĂĐŽŶ

ĞĂĐŽŶ

ĞĂĐŽŶ
dƌŝŐŐĞƌ

dtdϭ

͘͘͘ ͘͘͘
>DhWWh

 W
 &ŝƌƐƚddd >ŝƐƚĞŶ/ŶƚĞƌǀĂů

dtdƌĞƋ͘

ůŽĐŬĐŬ


W^ͲWŽůů


 ^dϭ
 ŽnjĞ
ŽnjĞ
ŽnjĞ


ůŽĐŬĐŬ
YŽ^EƵůů



 ^dϮ ŽnjĞ ŽnjĞ ŽnjĞ



)LJXUH²([DPSOHRIEURDGFDVW7:7RSHUDWLRQZLWKRSWLRQDO7%77QHJRWLDWLRQ

 7KH7:7VFKHGXOLQJ$3LQFOXGHVDEURDGFDVW7:7HOHPHQWLQWKH%HDFRQIUDPHWKDWLQGLFDWHVDEURDGFDVW
 7:763GXULQJZKLFKWKH$3LQWHQGVWRVHQG7ULJJHUIUDPHVRU'/%8VWRWKH7:7VFKHGXOHG67$V67$ 

DQG67$ZDNHWRUHFHLYHWKH%HDFRQIUDPHWRGHWHUPLQHWKHEURDGFDVW7:7'XULQJWKHWULJJHUHQDEOHG 

 7:763WKH$3VHQGVD7ULJJHUIUDPHWRZKLFK67$DQG67$LQGLFDWHWKDWWKH\DUHDZDNHGXULQJWKH
 7:76367$LQGLFDWHVWKDWLWLVDZDNHE\VHQGLQJD363ROODQG67$LQGLFDWHVWKDWLWLVDZDNHE\VHQG

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 LQJD4R61XOOIUDPHLQUHVSRQVHWRWKH7ULJJHUIUDPH67$DQG67$UHFHLYHWKHLU'/%8VLQDVXEVH
 TXHQWH[FKDQJHZLWKWKH$3DQGJRWRGR]HVWDWHRXWVLGHRIWKLV7:763


 (DFK EURDGFDVW 7:7 LV XQLTXHO\ LGHQWLILHG E\ WKH EURDGFDVW 7:7 ,' 0$& DGGUHVV! WXSOH ZKHUH WKH
 EURDGFDVW7:7,'LVWKHYDOXHRIWKH%URDGFDVW7:7,'VXEILHOGDQGLVJUHDWHUWKDQDQGWKH0$&DGGUHVV
 LVWKHDGGUHVVRIWKH7:7VFKHGXOLQJ$3



%URDGFDVW7:7VFKHGXOHVDUHDGYHUWLVHGE\WKH7:7VFKHGXOLQJ$3LQIUDPHVWKDWFDUU\7:7HOHPHQWV
 ZLWKWKH1HJRWLDWLRQ7\SHVXEILHOGVHWWRDVGHVFULEHGLQ 5XOHVIRU7:7VFKHGXOLQJ$3 %URDG
 FDVW7:7VFKHGXOHVWKDWDUHLQWHQGHGIRUPHPEHU7:7VFKHGXOHG67$VDUHLGHQWLILHGE\D%URDGFDVW7:7 
 ,'VXEILHOGWKDWLV JUHDWHUWKDQ DQGEURDGFDVW7:7VFKHGXOHVWKDWDUHLQWHQGHGIRU DOO 7:7VFKHGXOHG
 67$VDUHLGHQWLILHGE\D%URDGFDVW7:7,'VXEILHOGHTXDOWR


 1HJRWLDWLRQVWREHFRPHDPHPEHURIRUWHUPLQDWHPHPEHUVKLSLQDEURDGFDVW7:7LGHQWLILHGE\D%URDG
 FDVW7:7,'VXEILHOGJUHDWHUWKDQDUHSHUIRUPHGZLWKDQH[FKDQJHRIIUDPHVWKDWFDUU\7:7HOHPHQWV
 ZLWKWKH1HJRWLDWLRQ7\SHVXEILHOGVHWWRDVGHVFULEHGLQ 5XOHVIRU7:7VFKHGXOHG67$ 


 7KH7:7VFKHGXOLQJ$3PD\VHQGDQXQVROLFLWHG7:7UHVSRQVHZLWKWKH7ULJJHUVXEILHOGVHWWRWRDQRQ
 $3+(67$WKDWKDVVHWWKH%URDGFDVW7:76XSSRUWVXEILHOGWRLQWKH+(&DSDELOLWLHVHOHPHQWVWKDWLW
 WUDQVPLWVWRWKH$37KH7:7UHVSRQVHVKDOOLQGLFDWHRQHRIWKHIROORZLQJYDOXHVLQWKH7:76HWXS&RP
 PDQGILHOG$FFHSW7:7$OWHUQDWH7:7RU'LFWDWH7:7$QXQVROLFLWHG7:7UHVSRQVHZLWK7:76HWXS
 &RPPDQGILHOGLQGLFDWLQJ$OWHUQDWH7:7RU'LFWDWH7:7FRQWDLQVDQDGYLVRU\QRWLILFDWLRQWRWKHUHFLSLHQW

 RI7:7SDUDPHWHUVWKDWDUHOLNHO\WREHDFFHSWHGE\WKH$3LIWKHUHFLSLHQWWUDQVPLWVDVXEVHTXHQW7:7
 UHTXHVWWRWKH$3WKDWLQFOXGHVWKRVH7:7SDUDPHWHUV$QXQVROLFLWHG7:7UHVSRQVHZLWKD7:76HWXS 
 &RPPDQGILHOGWKDWLQGLFDWHV$FFHSW7:7DOORFDWHVDEURDGFDVW7:7VFKHGXOHWRWKHUHFHLYLQJ67$$ 
 67$WKDWUHFHLYHVDQXQVROLFLWHG7:7UHVSRQVHZLWKD7:76HWXS&RPPDQGILHOGWKDWLQGLFDWHV$FFHSW
 7:7PD\WUDQVPLWD7:77HDUGRZQIUDPHRUD7:7UHVSRQVHZLWK7:76HWXS&RPPDQGILHOGLQGLFDWLQJ 

 5HMHFW7:7WRZLWKGUDZIURPWKHXQVROLFLWHGEURDGFDVW7:7VFKHGXOH

 5XOHVIRU7:7VFKHGXOLQJ$3

 $ 7:7 VFKHGXOLQJ $3 PD\ LQFOXGH D EURDGFDVW 7:7 HOHPHQW LQ D %HDFRQ IUDPH WKDW LV VFKHGXOHG DW D

 7%77 VHH %HDFRQJHQHUDWLRQLQQRQ'0*LQIUDVWUXFWXUHQHWZRUNV 7KH7:7VFKHGXOLQJ$3 
 VKDOOLQFOXGHRQHRUPRUH7:7SDUDPHWHUVHWVLQWKH7:7HOHPHQWDQGHDFK7:7SDUDPHWHUVHWPD\LQGL
 FDWHDSHULRGLFRFFXUUHQFHRI7:7V7KH7:7VFKHGXOLQJ$3VKDOOVHWWKH/DVW%URDGFDVW3DUDPHWHU6HW
 VXEILHOGWRLQHDFK7:7SDUDPHWHUVHWH[FHSWIRUWKDWWKHODVW RURQO\ 7:7SDUDPHWHUVHWRIWKH7:7 
 HOHPHQWWKDWVKDOOKDYHWKH/DVW%URDGFDVW3DUDPHWHU6HWVXEILHOGVHWWR7KH7:7VFKHGXOLQJ$3VKDOOVHW

 WKH1'33DJLQJ,QGLFDWRUVXEILHOGWRDQGWKH1HJRWLDWLRQ7\SHVXEILHOGWRDQGPD\VHWWKH5HVSRQGHU
 300RGHVXEILHOGWRLQWKH7:7HOHPHQW VHH 7:76OHHS6HWXS (DFK7:7SDUDPHWHUVHW
 VSHFLILHVWKH7:7SDUDPHWHUVRIDVSHFLILFEURDGFDVW7:7WKDWDUHYDOLGZLWKLQDEURDGFDVW7:763(DFK 
 VSHFLILFEURDGFDVW7:7LVLGHQWLILHGDVLQGLFDWHGLQ *HQHUDO ,QGLYLGXDO67$VPD\KDYHPHPEHU
 VKLS LQ EURDGFDVW 7:7V DV WKH UHVXOW RI QHJRWLDWLRQ ZLWK D 7:7 VFKHGXOLQJ $3 DV GHVFULEHG LQ 


 *HQHUDO 

 7KH7:7VFKHGXOLQJ$3VHWVWKH7:7SDUDPHWHUVRIHDFK7:7SDUDPHWHUVHWDVGHVFULEHGEHORZ

 7KH7:7VFKHGXOLQJ$3VKDOOVHWWKH7:75HTXHVWVXEILHOGWRDQGWKH7:76HWXS&RPPDQGVXEILHOGDV

 GHILQHGLQ7DEOH %URDGFDVW7:7DQQRXQFHPHQWV DQGVKDOOLQFOXGHWKHEURDGFDVW7:7HOHPHQWLQWKH
 %HDFRQ IUDPHV IRU DV ORQJ DV WKHUH LV DW OHDVW RQH DFWLYH EURDGFDVW 7:7 VFKHGXOH %URDGFDVW 7:7

 DQQRXQFHPHQWVDUHEURDGFDVW7:7VFKHGXOHVDGYHUWLVHGLQEURDGFDVW7:7HOHPHQWVFRQWDLQHGLQEURDGFDVW
 0DQDJHPHQWIUDPHV VHH7DEOH %URDGFDVW7:7DQQRXQFHPHQWV 


 7KH7:7VFKHGXOLQJ$3VKDOOVHWWKH%URDGFDVW7:73HUVLVWHQFHVXEILHOGIRUHDFKEURDGFDVW7:7WRWKH
 QXPEHURI7%77VIRUZKLFKWKH%URDGFDVW7:7VFKHGXOHZLOOEHLQH[LVWHQFHFRXQWLQJIRUZDUGIURPWKH

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 FXUUHQW7%777KH$3PD\FKDQJHWKHYDOXHRIWKH%URDGFDVW7:73HUVLVWHQFHVXEILHOGIRUDQ\%URDGFDVW
 7:7ZLWKLQDQ\WUDQVPLWWHG7:7HOHPHQW,IWKH$3UHGXFHVWKHYDOXHRIWKHVXEILHOGLWVKDOOQRWUHGXFH

WKHYDOXHE\PRUHWKDQRQHDVFRPSDUHGWRWKHYDOXHWUDQVPLWWHGGXULQJWKHLPPHGLDWHO\SUHFHGLQJEHDFRQ 

 LQWHUYDO,IWKH$3LQFUHDVHVWKHYDOXHRIWKH%URDGFDVW7:73HUVLVWHQFHVXEILHOGLWPD\LQFUHDVHWKHYDOXH
 E\DQ\DPRXQWDVFRPSDUHGWRWKHYDOXHWUDQVPLWWHGGXULQJWKHLPPHGLDWHO\SUHFHGLQJ7%77

 $7:7VFKHGXOLQJ$3WKDWVHWVWKH7:76HWXS&RPPDQGVXEILHOGWR5HMHFW7:7VKDOOLQGLFDWHWKH7%77 


DWZKLFKWKHSHULRGLFEURDGFDVW7:7ZLOOEHWHUPLQDWHGE\VHWWLQJWKHYDOXHRIWKH%URDGFDVW7:73HU
 VLVWHQFHVXEILHOGWRLQGLFDWHWKHQXPEHURI7%77VWKDWUHPDLQXQWLOWKHEURDGFDVW7:7VFKHGXOHLVWHUPL
 QDWHG7KHEURDGFDVW7:7VFKHGXOHWHUPLQDWHVDWWKHQH[W7%77WKDWIROORZVWKH7%77DWZKLFKWKH7:7 
 VFKHGXOLQJ $3 WUDQVPLWV WKH EURDGFDVW 7:7 HOHPHQW ZLWK %URDGFDVW 7:7 3HUVLVWHQFH VXEILHOG IRU WKDW
 EURDGFDVW7:7VFKHGXOHHTXDOWR$7:7VFKHGXOLQJ$3PD\WHUPLQDWHWKHPHPEHUVKLSRID7:7VFKHG


XOHG67$LQDOOEURDGFDVW7:7VE\WUDQVPLWWLQJD7:77HDUGRZQIUDPHZLWKWKH7HDUGRZQ$OO7:7ILHOG
 VHWWR

 $ 7:7 VFKHGXOLQJ $3 WKDW VHWV WKH 7:7 6HWXS &RPPDQG VXEILHOG WR $OWHUQDWH 7:7 VKDOO LQGLFDWH WKH
 7%77DWZKLFKWKHSHULRGLFEURDGFDVW7:7SDUDPHWHUVHWZLOOEHPRGLILHGE\VHWWLQJWKH%URDGFDVW7:7 

 3HUVLVWHQFHVXEILHOGWRLQGLFDWHWKHQXPEHURI7%77VWKDWUHPDLQXQWLOWKHEURDGFDVW7:7VFKHGXOHLVPRG
 LILHG7KHEURDGFDVW7:7VFKHGXOHZLOOEHPRGLILHGDWWKHQH[W7%77ZKLFKIROORZVWKH7%77DWZKLFK 
 WKH7:7VFKHGXOLQJ$3WUDQVPLWVWKHEURDGFDVW7:7HOHPHQWZLWK%URDGFDVW7:73HUVLVWHQFHVXEILHOGIRU
 WKDW EURDGFDVW 7:7 VFKHGXOH HTXDO WR  7KH $3 VKDOO LQFOXGH LQ WKH EURDGFDVW 7:7 HOHPHQW WKH IXWXUH
 EURDGFDVW7:7SDUDPHWHUVHWWKDWZLOOWDNHHIIHFWDWWKDW7%777KHIXWXUHEURDGFDVW7:7SDUDPHWHUVHW

 VKDOOKDYHWKHVDPHYDOXHVLQWKH7:76HWXS&RPPDQGDQG%URDGFDVW7:7,'VXEILHOGVDVWKHFXUUHQW
 EURDGFDVW7:7SDUDPHWHUVHWWKDWLVEHLQJPRGLILHGDQGVZLWFKWKH7:76HWXS&RPPDQGVXEILHOGIURP 
 $OWHUQDWH7:7WR$FFHSW7:7DWWKDW7%777KHIXWXUHEURDGFDVW7:7SDUDPHWHUVHWVKDOOEHLQD%URDG
 FDVW7:73DUDPHWHU6HWILHOGWKDWLVORFDWHGDIWHUWKH%URDGFDVW7:73DUDPHWHU6HWILHOGWKDWFRQWDLQVWKH
 FXUUHQWEURDGFDVW7:7SDUDPHWHUVHW

 127(²7:7VFKHGXOHG67$VIROORZWKHEURDGFDVW7:7SDUDPHWHUVWKDWDUHLQFOXGHGLQWKHFXUUHQWEURDGFDVW7:7 
 SDUDPHWHUVHWDQGRQO\VZLWFKWRIROORZLQJWKHEURDGFDVW7:7SDUDPHWHUVLQWKHIXWXUHEURDGFDVW7:7SDUDPHWHUVHWLI
 WKH7:76HWXS&RPPDQGILHOGLVHTXDOWR$FFHSW7:7LQWKH%URDGFDVW7:73DUDPHWHU6HWILHOGWKDWFRQWDLQVWKH
 IXWXUHEURDGFDVW7:7SDUDPHWHUVHW


$7:7VFKHGXOLQJ$3VKRXOGLQGLFDWH$OWHUQDWH7:7RU5HMHFW7:7LQWKH7:76HWXS&RPPDQGILHOGRI

 WKH EURDGFDVW 7:7 HOHPHQW IRU DV PDQ\ 7%77V DV QHHGHG WR H[FHHG WKH ORQJHVW LQWHUYDO DQ\ 67$ LV
 H[SHFWHGWRQRWUHFHLYH%HDFRQIUDPHVHLWKHUZKHQWKH7:7SDUDPHWHUVRIDSHULRGLF7:7ZLOOFKDQJHRU
 ZKHQWKHSHULRGLF7:7VSHFLILHGE\WKDW7:7SDUDPHWHUVHWZLOOEHWHUPLQDWHG


 7KH7:7VFKHGXOLQJ$3VKDOOVHWWKH7ULJJHUILHOGWRWRLQGLFDWHDWULJJHUHQDEOHG7:72WKHUZLVHLW
 VKDOOVHWWKH7ULJJHUILHOGWR LHWKH7:7LVQRWDWULJJHUHQDEOHG7:7 7KH$3LVQRWH[SHFWHGWRVFKHG
 XOHIRUWUDQVPLVVLRQ7ULJJHUIUDPHVGXULQJDQRQWULJJHUHQDEOHG7:763DQGLVH[SHFWHGWRVFKHGXOH7ULJ
 JHUIUDPHVGXULQJDWULJJHUHQDEOHG7:763DVGHVFULEHGEHORZ


 7KH7:7VFKHGXOLQJ$3VKDOOVFKHGXOHIRUWUDQVPLVVLRQRID7ULJJHUIUDPHDGGUHVVHGWRRQHRUPRUH7:7 
 VFKHGXOHG67$VGXULQJDWULJJHUHQDEOHG7:763$7:7VFKHGXOLQJ$3VKRXOGQRWLQFOXGHWKH/6%V
 RIWKH67$¶V$,'LQD8VHU,QIRILHOGRID7ULJJHUIUDPHWUDQVPLWWHGZLWKLQDEURDGFDVW7:763XQOHVVWKH
 67$LVLQWKHDZDNHVWDWHKDVHVWDEOLVKHGPHPEHUVKLSLQWKHEURDGFDVW7:7ZLWKWKDW%URDGFDVW7:7,'
 RUKDVLQGLFDWHGWRUHFHLYHWKH%HDFRQIUDPHSUHFHGLQJWKHEHDFRQLQWHUYDOWKDWFRQWDLQVWKLV7:763 VHH

  1HJRWLDWLRQRIZDNH7%77DQGZDNHLQWHUYDO 

 7KH7:7VFKHGXOLQJ$3WKDWVFKHGXOHVIRUWUDQVPLVVLRQDGGLWLRQDO7ULJJHUIUDPHVGXULQJDWULJJHUHQDEOHG 
 7:763VKDOOVHWWKH0RUH7)VXEILHOGLQWKH&RPPRQ,QIRILHOGRIWKH7ULJJHUIUDPHWRWRLQGLFDWHWKDWLW

ZLOOVFKHGXOHIRUWUDQVPLVVLRQDQRWKHU7ULJJHUIUDPHZLWKLQWKHVDPH7:7637KH7:7VFKHGXOLQJ$3 

 VKDOOVHWWKH0RUH7)VXEILHOGWRLIWKH7ULJJHUIUDPHLVWKHODVWVFKHGXOHG7ULJJHUIUDPHRIWKH7:763RU
 LIWKH7ULJJHUIUDPHLVVFKHGXOHGIRUWUDQVPLVVLRQRXWVLGHRIDWULJJHUHQDEOHG7:7637KH7:7VFKHGXO

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 LQJ$3VKRXOGSROODVPDQ\67$VDVSRVVLEOHDPRQJ7:7VFKHGXOHG67$VWKDWDUHPHPEHUVRIWKDWQRQ
 ]HUR %URDGFDVW 7:7 ,' VR WKDW WKH 67$V FDQ SHUIRUP D IUDPH H[FKDQJH ZLWK WKH 7:7 VFKHGXOLQJ $3


GXULQJWKDW7:763

 127(²7KH7:7VFKHGXOLQJ$3GRHVQRWLQWHQGWRVFKHGXOHIRUWUDQVPLVVLRQRID7ULJJHUIUDPHIRUWKH7:7VFKHG
 XOHG67$ZKHQWKHEURDGFDVW7:7LVQRWDWULJJHUHQDEOHG7:7RUZKHQWKH7:7VFKHGXOHG67$KDVVHQWDQ20 
 &RQWUROVXEILHOGWKDWKDVWKH8/08GLVDEOHELWHTXDOWR VHH 2SHUDWLQJPRGHLQGLFDWLRQ 

 127(²7KH7:7VFKHGXOLQJ$3FDQFDQFHOWKHWUDQVPLVVLRQRIDVFKHGXOHG7ULJJHUIUDPHLIWKH$3JDLQVDFFHVVWR

 WKHZLUHOHVVPHGLXPRXWVLGHRIWKH7:763

 127(²7KH7ULJJHUIUDPHFDQEHUHSODFHGE\DIUDPHFDUU\LQJD756&RQWUROVXEILHOGSURYLGHGWKDWWKHIUDPHLVFDU
 ULHGLQD'/0833'8DQGWKH$3DOORFDWHVHQRXJKUHVRXUFHVLQWKH+(7%33'8IRUWKH67$WRDWOHDVWGHOLYHULWV
 %65VLQUHVSRQVHWRWKHVROLFLWLQJ'/0833'8,QWKLVFDVHLWLVUHFRPPHQGHGWRDOORFDWHHQRXJKUHVRXUFHVLQVXEVH
 TXHQW7ULJJHUIUDPHVVHQWGXULQJWKH7:763VRWKDWWKH67$FDQVHQGDVPXFKDVSRVVLEOHRIWKHGDWDUHSRUWHGLQWKH
 %65

 7KH7:7VFKHGXOLQJ$3VKDOOVHWWKH)ORZ7\SHILHOGWRWRLQGLFDWHDQXQDQQRXQFHG7:72WKHUZLVHLW
 VKDOOVHWWKH)ORZ7\SHILHOGWRWRLQGLFDWHDQDQQRXQFHG7:7


 7KH7:7VFKHGXOLQJ$3VKRXOGVFKHGXOHGHOLYHU\RILQGLYLGXDOO\DGGUHVVHG'/%8VGXULQJXQDQQRXQFHG
 7:763VZLWKQRQ]HUR%URDGFDVW7:7,'VXEILHOG


 7KH7:7VFKHGXOLQJ$3VKDOOVHWWKH%URDGFDVW7:75HFRPPHQGDWLRQVXEILHOGDFFRUGLQJWR7DEOHD
 %URDGFDVW7:75HFRPPHQGDWLRQILHOGIRUDEURDGFDVW7:7HOHPHQW 7KH7:7VFKHGXOLQJ$3VKDOOVHW
 WKH7ULJJHUILHOGWRLIWKH%URDGFDVW7:75HFRPPHQGDWLRQVXEILHOGLVRUDQGPD\VHWWKH7ULJJHUILHOG
 WRDQ\YDOXHLIWKH%URDGFDVW7:75HFRPPHQGDWLRQVXEILHOGLVRU


 $ 7:7 VFKHGXOLQJ $3 WKDW KDV DGYHUWLVHG D EURDGFDVW 7:7 ZLWK D %URDGFDVW 7:7 ,' HTXDO WR  VKDOO
 VFKHGXOHWKHIROORZLQJ

 ² 7KHGHOLYHU\RIJURXSDGGUHVVHG'/%8VGXULQJWKHEURDGFDVW7:763VORFDWHGZLWKLQWKHEHDFRQ 
 LQWHUYDOWKDWIROORZVWKH'7,0%HDFRQIUDPHLIWKH7:7SDUDPHWHUVHWLQGLFDWHGQRQWULJJHUHQDEOHG

 XQDQQRXQFHG7:763DQGKDGWKH%URDGFDVW7:75HFRPPHQGDWLRQVXEILHOGHTXDOWR

 ² 7KHWUDQVPLVVLRQRID7ULJJHUIUDPHWKDWGRHVQRWFRQWDLQDQ5$58GXULQJWKHEURDGFDVW7:763V
 LIWKH7:7SDUDPHWHUVHWLQGLFDWHGWULJJHUHQDEOHGDQQRXQFHG7:763DQGKDGWKH%URDGFDVW7:7 
 5HFRPPHQGDWLRQVXEILHOGHTXDOWR7KH7ULJJHUIUDPHVKDOOFRQWDLQDWOHDVWRQH8VHU,QIRILHOG

 DGGUHVVHGWRD7:7VFKHGXOHG67$ZKRVH7,0ELWLQWKH%HDFRQIUDPHLVDQGWKDWLVQRWDPHP
 EHURIDQ\QRQ]HUREURDGFDVW7:7GXULQJWKLVEHDFRQLQWHUYDO

 ² 7KH WUDQVPLVVLRQ RI D 7ULJJHU IUDPH WKDW FRQWDLQV DW OHDVW RQH 5$58 VHH  8/ 2)'0$
 EDVHGUDQGRPDFFHVV 825$ GXULQJWKHEURDGFDVW7:763VLIWKH7:7SDUDPHWHUVHWLQGLFDWHGD
 WULJJHUHQDEOHGDQQRXQFHG7:763DQGKDGWKH%URDGFDVW7:75HFRPPHQGDWLRQVXEILHOGVHWWR 

 VHH 3RZHUVDYHZLWK825$DQG7:7 
 ² 7KHWUDQVPLVVLRQRID7,0IUDPHRU),/6'LVFRYHU\IUDPHDWWKHVWDUWRIDEURDGFDVW7:763LIWKH
 7:7SDUDPHWHUVHWLQGLFDWHGDQRQWULJJHUHQDEOHGXQDQQRXQFHG7:763DQGKDGWKH%URDGFDVW

 7:75HFRPPHQGDWLRQVXEILHOGVHWWR VHH $3RSHUDWLRQIRURSSRUWXQLVWLFSRZHUVDYH 

 $7ULJJHUIUDPHWUDQVPLWWHGGXULQJDEURDGFDVW7:763ZKRVH7:7SDUDPHWHUVHWKDVWKH%URDGFDVW7:7 
 5HFRPPHQGDWLRQ VXEILHOG HTXDO WR  RU  PD\ FRQWDLQ ]HUR RU PRUH 5$58V VHH  8/ 2)'0$


EDVHG UDQGRP DFFHVV 825$  $ 7ULJJHU IUDPH WUDQVPLWWHG GXULQJ D EURDGFDVW 7:7 63 ZKRVH 7:7 
 SDUDPHWHUVHWKDVWKH%URDGFDVW7:75HFRPPHQGDWLRQVXEILHOGHTXDOWRVKDOOFRQWDLQQR5$58

 7KH7:7VFKHGXOLQJ$3VKDOOVHWWKH7:7ILHOGWRWKH76)WLPHU>@WKDWFRUUHVSRQGVWRWKHQH[W7:7 

WKDWLVVFKHGXOHGIRUWKLV7:7SDUDPHWHUVHWZKHQLWTXHXHVIRUWUDQVPLVVLRQWKHIUDPHWKDWFRQWDLQVWKH

 7:7HOHPHQW7KH76)WLPHUDWZKLFKWKHQH[W7:7LVVFKHGXOHGKDVELWVWRHTXDOWRDQGELWVWR

 HTXDOWRWKHVDPHYDOXHDVWKHUHVSHFWLYHELWVLQWKHFXUUHQW76)WLPHU

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KH7:7VFKHGXOLQJ$3VKDOOLQFOXGHDQRQ]HURYDOXHIRUWKH7:7ZDNHLQWHUYDOLQWKH7:7:DNH,QWHU
 YDO([SRQHQWDQG7:7:DNH,QWHUYDO0DQWLVVDILHOGVIRUDSHULRGLF7:7DQGD]HURYDOXHIRUDQDSHULRGLF

7:7


 7KH7:7SDUDPHWHUVDUHYDOLGIRUHDFKVXFFHVVLYH7:7RIDSHULRGLF7:7DQGIRUWKHRQO\7:7RIDQDSH
 ULRGLF7:7



7KH7:7VFKHGXOLQJ$3VKDOOLQFOXGHDXQLTXHYDOXHLQWKH%URDGFDVW7:7,'VXEILHOGIRUHDFK%URDGFDVW
 7:7 WR DOORZ LGHQWLILFDWLRQ RI HDFK %URDGFDVW 7:7 XQOHVV WKH 7:7 6HWXS &RPPDQG ILHOG LV $OWHUQDWH
 7:7RUWKH%URDGFDVW7:7,'VXEILHOGLV]HUR

 127(²7KHEURDGFDVW7:7HOHPHQWFRQWDLQVWZR%URDGFDVW7:73DUDPHWHU6HWILHOGVZLWKWKHVDPH%URDGFDVW7:7 
 ,'VXEILHOGYDOXHLIWKH7:76HWXS&RPPDQGILHOGLQGLFDWHV$OWHUQDWH7:7LQRQHRIWKH%URDGFDVW7:73DUDPHWHU
 6HWILHOGV7KHEURDGFDVW7:7HOHPHQWPLJKWFRQWDLQPXOWLSOH%URDGFDVW7:73DUDPHWHU6HWILHOGVZLWKWKH%URDGFDVW
 7:7,'VXEILHOGHTXDOWR

 $7:7VFKHGXOLQJ$3WKDWUHFHLYHVD363ROORUD8$36'WULJJHUIUDPHRUDQ\RWKHULQGLFDWLRQIURPD
 7:7VFKHGXOHG67$WKDWLVLQ36PRGHGXULQJRUEHIRUHDQDQQRXQFHG7:763EXWDIWHUWKHHQGRIWKH
 PRVWUHFHQW7:763WKDWWKH7:7VFKHGXOHG67$LVLQWKHDZDNHVWDWHGXULQJWKH7:763VKDOOIROORZWKH


UXOHVGHILQHGLQ $3RSHUDWLRQ H[FHSWWKDWWKH$3VKRXOGGHOLYHUWRWKH7:7VFKHGXOHG67$DV
 PDQ\EXIIHUHG%8VDVDUHDYDLODEOHDWWKH$3SURYLGHGWKDWWKH%8GHOLYHU\GRHVQRWH[FHHGWKHGXUDWLRQRI
 WKH7:763WKH7:7VFKHGXOHG67$KDVLQGLFDWHGWKDWLWLVLQWKHDZDNHVWDWHIRUWKDW7:763DQGDVORQJ
 DVWKH7:7VFKHGXOHG67$KDVQRWHQWHUHGWKHGR]HVWDWH VHH 7:7,QIRUPDWLRQIUDPHH[FKDQJH
 IRUEURDGFDVW7:7 DQG 3RZHUVDYHRSHUDWLRQGXULQJ7:763V 

 127(²7KHLQGLFDWLRQ WKDW WKH7:7VFKHGXOHG67$ LVLQ WKHDZDNHVWDWHIRUWKDW7:763 PLJKW EHD363ROO8
 $36'WULJJHUIUDPHRUDQ\IUDPHIRUZKLFKDQLPPHGLDWHUHVSRQVHLVVROLFLWHGDQGWKDWIROORZVWKHUXOHVLQ

 1RQ$367$SRZHUPDQDJHPHQWPRGHV EXWWKHFRUUHVSRQGLQJLPPHGLDWHUHVSRQVHIUDPHLVQRWUHFHLYHGE\WKH7:7 
 VFKHGXOHG67$2WKHULQGLFDWLRQVWKDWWKH67$LVLQWKHDZDNHVWDWHDUHWKHWUDQVPLVVLRQRIDQ+(7%IHHGEDFN1'3LQ

 UHVSRQVHWRDQ1)537ULJJHUIUDPH VHH 1'3IHHGEDFNUHSRUWSURFHGXUH RUWKHWUDQVPLVVLRQRIDIUDPHWKDW
 LQGLFDWHVWKDWWKH67$LVLQDFWLYHPRGH VHH 1RQ$367$SRZHUPDQDJHPHQWPRGHV 

 $ 7:7 VFKHGXOLQJ $3 WKDW VHQGV IUDPHV WR D 7:7 VFKHGXOHG 67$ WKDW LV LQ 36 PRGH GXULQJ DQ XQDQ

 QRXQFHG7:763VKDOOIROORZWKHUXOHVGHILQHGLQ $3RSHUDWLRQ H[FHSWWKDWWKH$3VKRXOGGHOLYHU
 WRWKH7:7VFKHGXOHG67$DVPDQ\EXIIHUHG%8VDVDYDLODEOHDWWKH$3SURYLGHGWKDWWKH%8GHOLYHU\ 
 GRHVQRWH[FHHGWKHGXUDWLRQRIWKH7:763DQGDVORQJDVWKH7:7VFKHGXOHG67$KDVQRWHQWHUHGWKH
 GR]H VWDWH VHH  7:7 ,QIRUPDWLRQ IUDPH H[FKDQJH IRU EURDGFDVW 7:7  DQG  3RZHU VDYH
 RSHUDWLRQGXULQJ7:763V 

 127(²7KH7:7VFKHGXOLQJ$3FDQGHOLYHUWKHEXIIHUHG%8VLQ$03'8VVHQWXQGHUD%ORFN$FNDJUHHPHQWLIWKH
 7:7LVDQDQQRXQFHG7:7DQGWKH7:7VFKHGXOHG67$LVDZDNHIRUWKDW7:763RULIWKH7:7LVDQXQDQQRXQFHG
 7:7 DWWKHVWDUWRIZKLFKWKH7:7VFKHGXOHG67$LVDVVXPHGWRDOUHDG\EHDZDNH 7KHEXIIHUHG%8VFDQEHGHOLY
 HUHGLQPXOWLSOH33'8VWUDQVPLWWHGZLWKLQWKH7:7637KH7:7VFKHGXOLQJ$3FDQH[FHHGWKHGXUDWLRQRIWKH7:7
 63LIWKH7:7VFKHGXOHG67$LVLQ$FWLYHPRGH

 $ 7:7 VFKHGXOLQJ $3 PD\ WUDQVPLW WR D 7:7 VFKHGXOHG 67$ WKDW LV LQ $FWLYH PRGH DW DQ\ WLPH VHH

  1RQ$367$SRZHUPDQDJHPHQWPRGHV $7:7VFKHGXOLQJ$3PD\WUDQVPLWWRD7:7VFKHG
 XOHG67$WKDWLVLQ36PRGHDQGDZDNHRXWVLGHRID7:763IROORZLQJWKHUXOHVLQ $3RSHUDWLRQ 

 $7:7VFKHGXOLQJ$3WKDWUHFHLYHVD7:7HOHPHQWZLWKWKH7:75HTXHVWILHOGHTXDOWRWKH1HJRWLDWLRQ

 7\SHVXEILHOGHTXDOWRDQGWKH7:76HWXS&RPPDQGILHOGVHWWR6XJJHVWRU'HPDQGPD\UHVSRQGZLWKD

 IUDPHFRQWDLQLQJD7:7HOHPHQWDVVKRZQLQ7DEOH %URDGFDVW7:7PHPEHUVKLSH[FKDQJHV 

 $7:7VFKHGXOLQJ$3WKDWUHFHLYHVD7:7HOHPHQWZLWKWKH7:75HTXHVWILHOGHTXDOWRWKH1HJRWLDWLRQ 
 7\SHVXEILHOGHTXDOWRDQGWKH7:76HWXS&RPPDQGILHOGVHWWR5HMHFWVKDOOGHOHWHWKHPHPEHUVKLSRIWKH

67$FRUUHVSRQGLQJWRWKH7$RIWKH003'8WKDWFRQWDLQHGWKH7:7HOHPHQWIURPWKHEURDGFDVW7:7 

 VFKHGXOHWKDWKDVWKH%URDGFDVW7:7,'YDOXHWKDWLVHTXDOWRWKHYDOXHRIWKH%URDGFDVW7:7,'ILHOGRI
 WKH7:7HOHPHQW

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $7:7VFKHGXOLQJ$3PD\WUDQVPLWDEURDGFDVW7:7DQQRXQFHPHQWDWDQ\WLPH9DOLGEURDGFDVW7:7

 DQQRXQFHPHQWVDUHGHVFULEHGLQ7DEOH %URDGFDVW7:7DQQRXQFHPHQWV 



 7DEOH²%URDGFDVW7:7DQQRXQFHPHQWV


 7:76HWXS&RPPDQG 7:76HWXS&RPPDQGILHOG
&RQGLWLRQDIWHUWKHFRPSOHWLRQRIWKHH[FKDQJH
 ILHOGLQDQLQLWLDWLQJIUDPH LQDUHVSRQVHIUDPH

 $FFHSW7:7 1RIUDPHWUDQVPLWWHG 2QO\DQ+($3LVSHUPLWWHGWRWUDQVPLWWKLV
 VHTXHQFH

 7:7VFKHGXOHG67$VWKDWUHFHLYHWKLVIUDPHXVH
 WKHSURYLGHG7:7SDUDPHWHUVWRGHWHUPLQHWKH
 EURDGFDVW7:7VFKHGXOH

 7KHEURDGFDVW7:7VFKHGXOHLVLGHQWLILHGE\WKH
 EURDGFDVW7:7,'DQGWKH7$RIWKHLQLWLDWLQJ
 IUDPH
 $OWHUQDWH7:7 1RIUDPHWUDQVPLWWHG :KHQWUDQVPLWWHGE\D7:7VFKHGXOLQJ$3VRPH
 RIWKHSDUDPHWHUVRIWKHEURDGFDVW7:7VFKHGXOH
 LGHQWLILHGE\WKHEURDGFDVW7:7,'DQGWKH7$RI
 WKHLQLWLDWLQJIUDPHZLOOFKDQJHDWWKH7%77WKDW
 RFFXUVDIWHUWKH%URDGFDVW7:73HUVLVWHQFHILHOG
 RIWKDWEURDGFDVW7:7SDUDPHWHUVHWUHDFKHV
 7KHQHZSDUDPHWHUVZLOOEHSUHVHQWLQWKHILUVW
 %HDFRQIUDPHWUDQVPLWWHGE\WKH7:7VFKHGXOLQJ
 $3DWWKH7%77ZKLFKKDVDEURDGFDVW7:7
 SDUDPHWHUVHWZLWKWKHVDPHEURDGFDVW7:7,'
 DQGVDPH7$EXWZLWKWKH7:7FRPPDQGYDOXH
 VHWWR$FFHSW7:7

 5HMHFW7:7 1RIUDPHWUDQVPLWWHG :KHQWUDQVPLWWHGE\D7:7VFKHGXOLQJ$3WKH
 EURDGFDVW7:7VFKHGXOHLGHQWLILHGE\WKHEURDG
 FDVW7:7,'DQGWKH7$RIWKHLQLWLDWLQJIUDPH
 ZLOOEHWHUPLQDWHGDWWKH7%77WKDWRFFXUVDIWHU
 WKH%URDGFDVW7:73HUVLVWHQFHILHOGRIWKDW
 EURDGFDVW7:7SDUDPHWHUUHDFKHV7KHWHUPLQD
 WLRQRFFXUVDWWKH7%77DWZKLFKD%HDFRQIUDPH
 LVWUDQVPLWWHGE\WKH7:7VFKHGXOLQJ$3WKDW
 GRHVQRWLQFOXGHDEURDGFDVW7:7SDUDPHWHUVHW
 ZLWKWKHVDPHEURDGFDVW7:7,'DQGVDPH7$DV
 WKHLQLWLDWLQJIUDPH

 127(²7KH1HJRWLDWLRQ7\SHVXEILHOGRIWKH7:7HOHPHQWFRQWDLQHGLQWKHVHIUDPHVLV

 127( ²7KH LQLWLDWLQJ IUDPH DQG UHVSRQVH IUDPH VHWWLQJV QRW OLVWHG LQ WKH WDEOHV LQ  7DUJHW ZDNH WLPH
 7:7 RU 7:7RSHUDWLRQ DUHQRWDOORZHG7KHLQLWLDWLQJIUDPHLVD7:7UHVSRQVH
 127(²003'8VWKDWFRQWDLQDEURDGFDVW7:7HOHPHQWJHQHUDWHGE\D7:7VFKHGXOLQJ$3FDQEHEURDGFDVW
 3UREH5HVSRQVH),/6'LVFRYHU\DQG%HDFRQIUDPHV7KH7:7HOHPHQWKDVWKH7:75HTXHVWILHOGHTXDOWRDQG 
 WKH1HJRWLDWLRQ7\SHVXEILHOGHTXDOWR7KH7:7VFKHGXOLQJ$3FDQLQFOXGHD7:7SDUDPHWHUVHWZLWK%URDGFDVW
 7:7,'YDOXHWRLQGLFDWHD7:7DOORFDWHGIRUDOO67$VDQG%URDGFDVW7:7,'JUHDWHUWKDQWRLQGLFDWHD7:7

 LQWHQGHGWR7:7VFKHGXOHG67$VWKDWDUHPHPEHUVRIWKDWEURDGFDVW7:7



 5XOHVIRU7:7VFKHGXOHG67$


$7:7VFKHGXOHG67$WKDWUHFHLYHVDEURDGFDVW7:7HOHPHQWLQD%HDFRQIUDPHVKDOOIROORZWKHUXOHV

 GHILQHGLQWKLVVXEFODXVHWRLQWHUDFWZLWKWKH7:7VFKHGXOLQJ$3



&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $7:7VFKHGXOHG67$VKRXOGQRWWUDQVPLWIUDPHVWRWKH7:7VFKHGXOLQJ$3RXWVLGHRIEURDGFDVW7:7 
 63VDQGVKRXOGQRWWUDQVPLWIUDPHVWKDWDUHQRWFRQWDLQHGZLWKLQ+(7%33'8VWRWKH7:7VFKHGXOLQJ$3 

ZLWKLQWULJJHUHQDEOHGEURDGFDVW7:763VH[FHSWWKDWWKH67$FDQWUDQVPLWIUDPHVZLWKLQQHJRWLDWHGLQGL

 YLGXDO7:763VDVGHILQHGLQ ,QGLYLGXDO7:7DJUHHPHQWV 

127(²7KH7:7VFKHGXOHG67$GHFLGHVZKLFKIUDPHVWRWUDQVPLWZLWKLQRURXWVLGHD7:763DQGZKLOHLWLVUHFRP

PHQGHGWKDWWKH7:7VFKHGXOHG67$QRWWUDQVPLWXVLQJ('&$ZLWKLQRURXWVLGH7:763VWKH7:7VFKHGXOHG67$ 

PLJKWVWLOOGRVR,IWKH67$GHFLGHVWRWUDQVPLWWKHQWKH67$PLJKWFRQWHQGIRUDFFHVVLQJWKHPHGLXPDVGHILQHGLQ


 +&)FRQWHQWLRQEDVHGFKDQQHODFFHVV ('&$ DQGLQ ('&$RSHUDWLRQXVLQJ08('&$SDUDPHWHUV 


 $7:7VFKHGXOHG67$PD\UHTXHVWWREHFRPHDPHPEHURIDEURDGFDVW7:7E\WUDQVPLWWLQJDIUDPHWRLWV
 DVVRFLDWHG$3WKDWFRQWDLQVD7:7HOHPHQWZLWKWKH1HJRWLDWLRQ7\SHVXEILHOGVHWWRDQGWKH7:76HWXS

 &RPPDQGILHOGVHWWR5HTXHVW7:7RU6XJJHVW7:7RU'HPDQG7:77KH7:73DUDPHWHUVHWLQGLFDWHV
 WKH%URDGFDVW7:7,'RIWKHEURDGFDVW7:7WKDWWKH67$LVUHTXHVWLQJWRMRLQ6HH7DEOH %URDGFDVW

 7:7PHPEHUVKLSH[FKDQJHV 

 $7:7VFKHGXOHG67$PD\WHUPLQDWHPHPEHUVKLSLQDEURDGFDVW7:7E\WUDQVPLWWLQJDIUDPHWRLWVDVVR
 FLDWHG $3 WKDW FRQWDLQV D 7:7 HOHPHQW ZLWK WKH 1HJRWLDWLRQ 7\SH VXEILHOG VHW WR  DQG WKH 7:7 6HWXS



&RPPDQGILHOGVHWWR5HMHFW7:7RUE\WUDQVPLWWLQJD7:77HDUGRZQIUDPHWKDWKDVWKH1HJRWLDWLRQ7\SH
 VXEILHOGVHWWR$7:7VFKHGXOHG67$PD\WHUPLQDWHPHPEHUVKLSLQDOOEURDGFDVW7:7VE\WUDQVPLWWLQJ 
 D7:77HDUGRZQIUDPHZLWKWKH7HDUGRZQ$OO7:7ILHOGVHWWR

 $7:7VFKHGXOHG67$WKDWUHFHLYHVD7:7HOHPHQWZLWKWKH7:75HTXHVWILHOGHTXDOWRWKH1HJRWLD

 WLRQ7\SHVXEILHOGHTXDOWRDQGWKH7:76HWXS&RPPDQGILHOGLQGLFDWLQJ$FFHSW7:7LVDPHPEHURIWKH
 EURDGFDVW7:7LGHQWLILHGE\WKHEURDGFDVW7:7,'0$&DGGUHVV!WXSOHZKHUHWKHEURDGFDVW7:7,'LV
 WKHYDOXHRIWKH%URDGFDVW7:7,'VXEILHOGLQWKH7:7HOHPHQWDQGWKH0$&DGGUHVVWKDWLVWKH7$RIWKH
 003'8WKDWFRQWDLQHGWKH7:7HOHPHQWLVHTXDOWRWKH0$&DGGUHVVRIWKH$3ZLWKZKLFKWKH67$LV
 DVVRFLDWHGUHJDUGOHVVRIZKHWKHUWKH7:7VFKHGXOHG67$KDGSUHYLRXVO\WUDQVPLWWHGDFRUUHVSRQGLQJ7:7

 HOHPHQWWRWKH$3ZLWKWKH7:76HWXS&RPPDQGILHOGLQGLFDWLQJ5HTXHVW7:76XJJHVW7:7RU'HPDQG 
 7:7

 9DOLG EURDGFDVW 7:7 PHPEHUVKLS H[FKDQJHV DUH GHVFULEHG LQ 7DEOH %URDGFDVW 7:7 PHPEHUVKLS


H[FKDQJHV 



 7DEOH²%URDGFDVW7:7PHPEHUVKLSH[FKDQJHV


 7:76HWXS&RPPDQGILHOG 7:76HWXS&RPPDQG
&RQGLWLRQDIWHUWKHFRPSOHWLRQRIWKHH[FKDQJH
 LQDQLQLWLDWLQJIUDPH ILHOGLQDUHVSRQVHIUDPH

 'HPDQG7:7 $FFHSW7:7 $EURDGFDVW7:7VFKHGXOHH[LVWVRUKDVEHHQFUH
 DWHGZLWKWKH7:7SDUDPHWHUVLQGLFDWHGLQWKHLQL
 WLDWLQJIUDPHDQGUHSHDWHGLQWKHUHVSRQGLQJ
 IUDPH

 7KH7:7VFKHGXOHG67$WUDQVPLWWLQJWKHLQLWLDW
 LQJIUDPHLVDPHPEHURIWKH%URDGFDVW7:7
 VFKHGXOHLGHQWLILHGE\WKH%URDGFDVW7:7,'DQG
 WKH7$RIWKHUHVSRQVHIUDPH

 5HTXHVW7:7RU6XJJHVW7:7 $FFHSW7:7 $EURDGFDVW7:7VFKHGXOHH[LVWVRUKDVEHHQFUH
 DWHGZLWKWKH7:7SDUDPHWHUVLQGLFDWHGLQWKH
 UHVSRQVHIUDPH

 7KH7:7VFKHGXOHG67$WUDQVPLWWLQJWKHLQLWLDW
 LQJIUDPHLVDPHPEHURIWKHEURDGFDVW7:7
 VFKHGXOHLGHQWLILHGE\WKHEURDGFDVW7:7,'DQG
 WKH7$RIWKHUHVSRQVHIUDPH

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²%URDGFDVW7:7PHPEHUVKLSH[FKDQJHV


 6XJJHVW7:7RU'HPDQG7:7 $OWHUQDWH7:7 1RQHZEURDGFDVW7:7VFKHGXOHKDVEHHQFUHDWHG
 ZLWKWKH7:7SDUDPHWHUVLQGLFDWHGLQWKHLQLWLDW
 LQJIUDPH

 7KH7:7VFKHGXOLQJ$3LVRIIHULQJDQDOWHUQDWLYH
 VHWRISDUDPHWHUVYVWKRVHLQGLFDWHGLQWKHLQLWLDW
 LQJIUDPHDVDPHDQVRIQHJRWLDWLQJ7:7SDUDP
 HWHUVZLWKWKH7:7VFKHGXOHG67$

 7KH7:7VFKHGXOHG67$FDQVHQGDQHZUHTXHVW
 ZLWKDQ\VHWRI7:7SDUDPHWHUVDQGWKH7:7
 VFKHGXOLQJ$3PLJKWFUHDWHDQHZEURDGFDVW7:7
 VFKHGXOHXVLQJWKHSDUDPHWHUVLQGLFDWHGLQWKH
 UHVSRQGLQJIUDPH

 6XJJHVW7:7RU'HPDQG7:7 'LFWDWH7:7 $EURDGFDVW7:7VFKHGXOHLVHLWKHUFUHDWHGRU
 DOUHDG\H[LVWVDQGLVXVLQJWKH7:7SDUDPHWHUV
 LGHQWLILHGLQWKHUHVSRQVHIUDPHLQFOXGLQJD
 EURDGFDVW7:7,'

 7KH7:7VFKHGXOLQJ$3ZLOOQRWFUHDWHDQ\QHZ
 EURDGFDVW7:7VFKHGXOHZLWKWKH7:7VFKHGXOHG
 67$DWWKLVWLPH

 7KH7:7VFKHGXOHG67$WUDQVPLWWLQJWKHLQLWLDW
 LQJIUDPHLVQRWDPHPEHURIWKHEURDGFDVW7:7
 VFKHGXOHLGHQWLILHGE\WKHEURDGFDVW7:7,'DQG
 WKH7$RIWKHUHVSRQVHIUDPH

 7KH7:7VFKHGXOHG67$FDQVHQGDQHZUHTXHVW
 EXWZLOOUHFHLYHDQ$FFHSW7:7RQO\LILWXVHVWKH
 GLFWDWHG7:7SDUDPHWHUV
 5HTXHVW7:7RU6XJJHVW7:7 5HMHFW7:7 7KH7:7VFKHGXOHG67$WUDQVPLWWLQJWKHLQLWLDW
 RU'HPDQG7:7 LQJIUDPHLVDQRWDPHPEHURIDEURDGFDVW7:7
 LGHQWLILHGE\WKHEURDGFDVW7:7,'DQGWKH7$RI
 WKHUHVSRQVHIUDPHLIVXFKDEURDGFDVW7:7
 H[LVWV

 7KH7:7VFKHGXOLQJ$3ZLOOQRWDFFHSWDQ\QHZ
 UHTXHVWIURPWKH7:7VFKHGXOHG67$WRMRLQRU
 FUHDWHDEURDGFDVW7:7DWWKLVWLPH

 $FFHSW7:7 1RIUDPHWUDQVPLWWHG 1RWSHUPLWWHGWREHWUDQVPLWWHGE\D7:7VFKHG
 XOHG67$

 :KHQWUDQVPLWWHGE\D7:7VFKHGXOLQJ$3WKH
 UHFLSLHQW67$¶VPHPEHUVKLSLQWKHEURDGFDVW7:7
 VFKHGXOHLGHQWLILHGE\WKHEURDGFDVW7:7,'DQG
 WKH7$RIWKHLQLWLDWLQJIUDPHLVHVWDEOLVKHG

 $OWHUQDWH7:7RU'LFWDWH7:7 1RIUDPHWUDQVPLWWHG 1RWSHUPLWWHGWREHWUDQVPLWWHGE\D7:7VFKHG
 XOHG67$

 :KHQWUDQVPLWWHGE\D7:7VFKHGXOLQJ$3WKH
 7:7VFKHGXOHG67$UHFHLYLQJWKLVIUDPHLVQRW
 WKURXJKWKHUHFHLSWRIWKLVIUDPHDPHPEHURIWKH
 EURDGFDVW7:7LGHQWLILHGE\WKHLQLWLDWLQJIUDPH

 7KH7:7VFKHGXOHG67$FDQXVHWKHLQIRUPDWLRQ
 SURYLGHGWRFUHDWHDUHTXHVWWRMRLQD7:7LQD
 VXEVHTXHQWLQLWLDWLQJIUDPHWKDWLWWUDQVPLWV


&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²%URDGFDVW7:7PHPEHUVKLSH[FKDQJHV


 5HMHFW7:7 1RIUDPHWUDQVPLWWHG :KHQWUDQVPLWWHGE\D7:7VFKHGXOHG67$WKH
 WUDQVPLWWLQJ67$¶VPHPEHUVKLSLQWKHEURDGFDVW
 7:7VFKHGXOHLGHQWLILHGE\WKHEURDGFDVW7:7
 ,'DQGWKH5$RIWKHLQLWLDWLQJIUDPHLVWHUPL
 QDWHG

 :KHQWUDQVPLWWHGE\D7:7VFKHGXOLQJ$3WKH
 UHFHLYLQJ67$¶VPHPEHUVKLSLQWKHEURDGFDVW
 7:7VFKHGXOHLGHQWLILHGE\WKHEURDGFDVW7:7
 ,'DQGWKH7$RIWKHLQLWLDWLQJIUDPHLVWHUPLQDWHG

 127(²7KH1HJRWLDWLRQ7\SHVXEILHOGRIWKH7:7HOHPHQWFRQWDLQHGLQWKHVHIUDPHVLV
 127(²7KHLQLWLDWLQJIUDPHDQGUHVSRQVHIUDPHVHWWLQJVQRWOLVWHGLQWKHWDEOHVLQ 7DUJHWZDNHWLPH 7:7 
 RU 7:7RSHUDWLRQ DUHQRWDOORZHG7KHLQLWLDWLQJIUDPHLVD7:7UHTXHVWLIWKH7:7HOHPHQWFRQWDLQHGLQWKH
 IUDPHKDVWKH7:75HTXHVWILHOGHTXDOWR VHH7DEOH 7:76HWXS&RPPDQGILHOGYDOXHV RWKHUZLVHLWLVD
 7:7UHVSRQVH7KHUHVSRQVHIUDPHLVD7:7UHVSRQVH

 127(²,QDGGLWLRQWRWKHVHH[FKDQJHVWKH7:7VFKHGXOLQJ$3PLJKWUHVSRQGWRDQLQLWLDWLQJIUDPHWKDWVROLFLWV
 PHPEHUVKLS LQ D EURDGFDVW 7:7 VFKHGXOH ZLWK DQ LQGLFDWLRQ RU VROLFLWDWLRQ RI WKH HVWDEOLVKPHQW RI DQ LQGLYLGXDO
 7:7DJUHHPHQW
 127(²003'8VWKDWFRQWDLQDEURDGFDVW7:7HOHPHQWJHQHUDWHGE\D7:7VFKHGXOHG67$FDQEH 5H $VVRFL
 DWLRQ5HTXHVWDQG7:76HWXSIUDPHVZLWK7:75HTXHVWILHOGHTXDOWR7KH7:7HOHPHQWKDVWKH1HJRWLDWLRQ 
 7\SHVXEILHOGHTXDOWRDQGWKH%URDGFDVW7:7,' V WKDWWKH67$LQWHQGVWRMRLQRUZLWKGUDZ003'8VWKDWFRQ
 WDLQDEURDGFDVW7:7HOHPHQWJHQHUDWHGE\D7:7VFKHGXOHG$3FDQEH 5H $VVRFLDWLRQ5HVSRQVHDQG7:76HWXS
 IUDPHVZLWK7:75HTXHVWILHOGHTXDOWR7KH7:7HOHPHQWKDVWKH1HJRWLDWLRQ7\SHVXEILHOGHTXDOWRDQGWKH
 %URDGFDVW7:7,' V WRZKLFKWKH67$LVDVVLJQHGRUIURPZKLFKWKH67$LVZLWKGUDZQ



 $7:7VFKHGXOHG67$WKDWLVLQ36PRGHPD\HQWHUWKHGR]HVWDWHDIWHUUHFHLYLQJD%HDFRQIUDPHZLWKD
 7:7HOHPHQWLQGLFDWLQJWKHH[LVWHQFHRIDEURDGFDVW7:7DQGVKDOOEHLQWKHDZDNHVWDWHDWWKHEURDGFDVW

7:7VWDUWWLPHVIRUZKLFKWKH67$KDVLQGLFDWHGLWZLOOEHDZDNHE\DQ\RIWKHIROORZLQJPHDQV

 ² (VWDEOLVKLQJDPHPEHUVKLSIRUWKHXQDQQRXQFHGEURDGFDVW7:7ZLWKWKRVHEURDGFDVW7:7,'V

 ² 1HJRWLDWLQJ D ZDNH 7%77 DQG ZDNH LQWHUYDO EHWZHHQ %HDFRQ IUDPHV WKDW WKH 67$ UHFHLYHV DV
 GHILQHGLQ 1HJRWLDWLRQRIZDNH7%77DQGZDNHLQWHUYDO

 ² +DYLQJVHQWD363ROORU8$36'WULJJHUIUDPHGXULQJWKHEHDFRQLQWHUYDO

 ² +DYLQJVHQWDQRWKHULQGLFDWLRQWKDWLWLVLQWKHDZDNHVWDWHGXULQJWKDWEHDFRQLQWHUYDO

 127( ²2WKHU LQGLFDWLRQV WKDW WKH 67$ LV LQ WKH DZDNH VWDWH DUH WKH WUDQVPLVVLRQ RI DQ +( 7% IHHGEDFN 1'3 LQ
 UHVSRQVHWRDQ1)537ULJJHUIUDPH VHH 1'3IHHGEDFNUHSRUWSURFHGXUH RUWKHWUDQVPLVVLRQRIDIUDPHWKDW
 LQGLFDWHVWKDWWKH67$LVLQDFWLYHPRGH VHH 1RQ$367$SRZHUPDQDJHPHQWPRGHV 

 127(²7KH67$PLJKWLQGLFDWHWKDWLWZLOOQRWEHDZDNHDWFHUWDLQEURDGFDVW7:7VWDUWWLPHVE\VHQGLQJD7:7 
 ,QIRUPDWLRQIUDPH7KH$3PLJKWLQGLFDWHWRD67$WKDWLWQHHGQRWEHDZDNHDWFHUWDLQEURDGFDVW7:7VWDUWWLPHVE\

 VHQGLQJD7:7LQIRUPDWLRQIUDPH VHH 8VHRI7:7,QIRUPDWLRQIUDPHV 


 $7:7VFKHGXOHG67$LVQRWUHTXLUHGWREHLQWKHDZDNHVWDWHDWEURDGFDVW7:763VWDUWWLPHVFRUUHVSRQG
 LQJWRWKHEURDGFDVW7:7WKDWKDVWKHEURDGFDVW7:7,'YDOXHRI


 $7:7VFKHGXOHG67$WKDWGLGQRWUHFHLYHD%HDFRQIUDPHDWD7%77VKDOODFWDVLILWKDGUHFHLYHGWKH
 H[SHFWHG%HDFRQIUDPHFRQWDLQLQJD7:7HOHPHQWIRUDEURDGFDVW7:7LIWKHPLVVHGEHDFRQFRUUHVSRQGV
 WRD7%77WKDWLVZLWKLQWKHQH[Wn7%77VEH\RQGWKHPRVWUHFHQWO\UHFHLYHG%HDFRQIUDPHWKDWLQFOXGHGD

7:7HOHPHQWIRUWKDWEURDGFDVW7:7ZKHUHnLVHTXDOWRRQHSOXVWKHYDOXHREWDLQHGIURPWKH%URDGFDVW

 7:73HUVLVWHQFHVXEILHOGRIWKHFRUUHVSRQGLQJ%URDGFDVW7:7H[FHSWWKDWnLVLQILQLWHLIWKH%URDGFDVW
 7:73HUVLVWHQFHVXEILHOGLV

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $7:7VFKHGXOHG67$WUDQVPLWVDQ+(7%33'8DVDUHVSRQVHWRD7ULJJHUIUDPHWKDWLVDGGUHVVHGWRLW
 DQGLVVHQWGXULQJDWULJJHUHQDEOHG7:763 VHH 8/08RSHUDWLRQ $7:7VFKHGXOHG67$WKDW

LVLQ36PRGHDQGLVDZDNHGXULQJDQDQQRXQFHG7:763VKDOOLQFOXGHD363ROOIUDPHRUD8$36'WULJ

 JHU IUDPH LQ WKH +( 7% 33'8 LI LW LQWHQGV WR VROLFLW EXIIHUHG %8V IURP WKH 7:7 VFKHGXOLQJ $3 VHH
  5HFHLYHRSHUDWLRQIRU67$VLQ36PRGH XQOHVVWKH67$KDVDOUHDG\WUDQVPLWWHGZLWKLQWKDW7:7 
 63D363ROORU8$36'WULJJHUIUDPHRUKDVWUDQVPLWWHGDQ\RWKHULQGLFDWLRQWKDWWKH67$LVLQWKHDZDNH
 VWDWHZLWKLQWKDW7:763RUKDVSUHYLRXVWRWKHVWDUWRIWKH7:763EXWDIWHUWKHHQGRIWKHPRVWUHFHQW

7:763LQGLFDWHGWRWKH$3WKDWLWLVFXUUHQWO\LQWKHDZDNHVWDWH$7:7VFKHGXOHG67$WKDWLVLQ36 

 PRGHVKDOOWUDQVLWLRQWRWKHDZDNHVWDWHDWWKHVWDUWRIDQXQDQQRXQFHG7:763RIZKLFKLWLVDPHPEHU7KH
 67$PD\LQFOXGHRWKHUIUDPHVLQWKH+(7%33'8ZKHQRWKHUUXOHVGRQRWSURKLELWWKHLULQFOXVLRQ VHH
  8/08RSHUDWLRQ

 127(²$7:7VFKHGXOLQJ$3VHWVWKHELWLQWKH7,0HOHPHQWRIWKH%HDFRQIUDPHWKDWFRUUHVSRQGVWRWKH$,'RIWKH
 7:7 VFKHGXOHG 67$ WR  WR LQGLFDWH WKDW LW H[SHFWV WKH 7:7 VFKHGXOHG 67$ WR VROLFLW DYDLODEOH EXIIHUHG %8V VHH
  5HFHLYHRSHUDWLRQIRU67$VLQ36PRGH 

 127( ²2WKHU LQGLFDWLRQV WKDW WKH 67$ LV LQ WKH DZDNH VWDWH DUH WKH WUDQVPLVVLRQ RI DQ +( 7% IHHGEDFN 1'3 LQ
 UHVSRQVHWRDQ1)537ULJJHUIUDPH VHH 1'3IHHGEDFNUHSRUWSURFHGXUH RUWKHWUDQVPLVVLRQRIDIUDPHWKDW
 LQGLFDWHVWKDWWKH67$LVLQDFWLYHPRGH VHH 1RQ$367$SRZHUPDQDJHPHQWPRGHV 

 $7:7VFKHGXOHG67$VKRXOGQRWVHQGIUDPHVWKDWGRQRWVDWLVI\WKH%URDGFDVW7:75HFRPPHQGDWLRQ 
 VXEILHOGUHFRPPHQGDWLRQVLQ7DEOHD %URDGFDVW7:75HFRPPHQGDWLRQILHOGIRUDEURDGFDVW7:7 
 HOHPHQW GXULQJWKHFRUUHVSRQGLQJ7:763 V )UDPHVVHQWDVDUHVSRQVHWRD7ULJJHUIUDPHDUHVXEMHFWWR


 IXUWKHUUHVWULFWLRQVDVGHILQHGLQ 8/08RSHUDWLRQ 

 8VHRI7:7,QIRUPDWLRQIUDPHV


 *HQHUDO

 $Q+(67$PD\WUDQVPLWD7:7,QIRUPDWLRQIUDPHWRLWVSHHU67$GXULQJDQLQGLYLGXDO7:7DJUHHPHQW
 EURDGFDVW7:7VFKHGXOHRUDWDQ\WLPHDVGHILQHGLQ 7:7,QIRUPDWLRQIUDPHH[FKDQJHIRULQGL

 YLGXDO7:7  7:7,QIRUPDWLRQIUDPHH[FKDQJHIRUEURDGFDVW7:7 DQG 7:7,QIRUPD
 WLRQIUDPHH[FKDQJHIRUIOH[LEOHZDNHWLPH UHVSHFWLYHO\

 127(²$Q+($3PLJKWLQFOXGHPXOWLSOH7:7,QIRUPDWLRQIUDPHVHDFKDGGUHVVHGWRDGLIIHUHQWSHHU67$LQDQ+(

 0833'8 VHH +('/08RSHUDWLRQ 

 7KH7:7,QIRUPDWLRQIUDPHVKDOOKDYHWKH5HVSRQVH5HTXHVWHGVXEILHOGHTXDOWRWKH1H[W7:75HTXHVW
 VXEILHOGHTXDOWRDQGRQHRIWKHIROORZLQJ

 ² $QRQ]HURYDOXHLQWKH1H[W7:7VXEILHOGLIWKHIUDPHLVWUDQVPLWWHGE\D7:7UHVSRQGLQJ67$D
 7:7VFKHGXOLQJ$3RUE\DQ\+(67$WRDSHHU67$WKDWKDVVHWWKH)OH[LEOH7:76FKHGXOH6XS
 SRUWILHOGWRLQWKH+(&DSDELOLWLHVHOHPHQWLWWUDQVPLWV

 ‡ 7KHYDOXHRIWKH1H[W7:7VXEILHOGVKDOOEHVHOHFWHGIURPH[LVWLQJ7:7YDOXHVIRUDQLQGLYLG
 XDO7:7DJUHHPHQWLIWKH)OH[LEOH7:76FKHGXOH6XSSRUWILHOGLQWKH+(&DSDELOLWLHVHOHPHQW
 UHFHLYHGIURPWKHSHHU67$LVDQGVKDOOEHVHOHFWHGIURPH[LVWLQJ7:7YDOXHVIRUDEURDGFDVW
 7:7VFKHGXOHUHJDUGOHVVRIWKHYDOXHRIWKH)OH[LEOH7:76FKHGXOH6XSSRUWILHOGUHFHLYHGIURP

 WKHSHHU67$
 ‡ 7KH1H[W7:7VXEILHOGPD\FRQWDLQDQ\QRQ]HURYDOXHLI)OH[LEOH7:76FKHGXOH6XSSRUWILHOG
 LQWKH+(&DSDELOLWLHVHOHPHQWUHFHLYHGIURPWKHSHHU67$LV

‡ 7KH$OO7:7ILHOGLVLIWKHUHVXPSWLRQDSSOLHVWRDOOEURDGFDVW7:7VFKHGXOHVIROORZHGE\WKH

 7:7VFKHGXOHG67$DQGRUWRDOOLQGLYLGXDO7:7DJUHHPHQWVIROORZHGE\WKH7:7UHVSRQGLQJ
 67$

² $1H[W7:7VXEILHOGWKDWLVSUHVHQWLIWKHIUDPHLVWUDQVPLWWHGE\D7:7UHTXHVWLQJ67$D7:7 

 VFKHGXOHG67$RULIWKHIUDPHLVWUDQVPLWWHGE\DQ\+(67$WRDSHHU67$WKDWKDVVHWWKH)OH[LEOH
 7:76FKHGXOH6XSSRUWILHOGWRLQWKH+(&DSDELOLWLHVHOHPHQWLWWUDQVPLWV

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ‡ 7KH1H[W7:7VXEILHOGLQGLFDWHVWKHHDUOLHVW7:7DWZKLFKWKHLQGLYLGXDO7:7DJUHHPHQWRU
 EURDGFDVW7:7 VFKHGXOH LV UHVXPHG DQG VKDOO EH VHOHFWHG IURP H[LVWLQJ7:7 YDOXHV IRU WKDW

7:7DJUHHPHQWRUEURDGFDVW7:7VFKHGXOHLIWKH)OH[LEOH7:76FKHGXOH6XSSRUWILHOGLQWKH

 +(&DSDELOLWLHVHOHPHQWUHFHLYHGIURPWKHSHHU67$LV
 ‡ 7KH$OO7:7ILHOGLVLIWKHUHVXPSWLRQDSSOLHVWRDOOEURDGFDVW7:7VFKHGXOHVIROORZHGE\WKH
 7:7VFKHGXOHG67$DQGRUWRDOOLQGLYLGXDO7:7DJUHHPHQWVIROORZHGE\WKH7:7UHTXHVWLQJ 

67$

 ‡ 7KH1H[W7:7VXEILHOGPD\FRQWDLQDQ\QRQ]HURYDOXHLI)OH[LEOH7:76FKHGXOH6XSSRUWILHOG
 LQWKH+(&DSDELOLWLHVHOHPHQWUHFHLYHGIURPWKHSHHU67$LV

 ² $1H[W7:7VXEILHOGWKDWLVQRWSUHVHQWLIWKHIUDPHLVWUDQVPLWWHGE\D7:7UHTXHVWLQJ67$RUD
 7:7VFKHGXOHG67$ WR LQGLFDWHVXVSHQVLRQRI WKH LQGLYLGXDO 7:7 DJUHHPHQW RUEURDGFDVW7:7

 VFKHGXOH

 ‡ 7KH$OO7:7VXEILHOGLVLIWKHVXVSHQVLRQDSSOLHVWRDOOEURDGFDVW7:7VFKHGXOHVIROORZHGE\

 WKH7:7VFKHGXOHG67$DQGRUWRDOOLQGLYLGXDO7:7DJUHHPHQWVIROORZHGE\WKH7:7UHTXHVW
 LQJ67$

 127(²,QIRUPDWLRQH[FKDQJHGZLWK7:7,QIRUPDWLRQIUDPHVGRHVQRWPRGLI\WKH7:7SDUDPHWHUVRIDQ\H[LVWLQJ 
 7:7VHVVLRQH[FHSWLIWKH7:7,QIRUPDWLRQIUDPHLVVHQWXQGHUIOH[LEOH7:7 VHH 7:7,QIRUPDWLRQIUDPH
 H[FKDQJHIRUIOH[LEOHZDNHWLPH 


 7KHXVHRI7:7,QIRUPDWLRQIUDPHVIRUVXVSHQGLQJDQGRUUHVXPLQJH[LVWLQJLQGLYLGXDO7:7DJUHHPHQWVLV
 GHVFULEHGLQ 7:7,QIRUPDWLRQIUDPHH[FKDQJHIRULQGLYLGXDO7:7 7KHXVHRI7:7,QIRUPDWLRQ
 IUDPHVIRUVXVSHQGLQJDQGRUUHVXPLQJH[LVWLQJEURDGFDVW7:7VFKHGXOHVLVGHVFULEHGLQ 7:7
 ,QIRUPDWLRQIUDPHH[FKDQJHIRUEURDGFDVW7:7 7KHXVHRI7:7,QIRUPDWLRQIUDPHVIRUSURYLGLQJDIOH[

 LEOH7:7WKDWLVLQGHSHQGHQWRIDQ\H[LVWLQJ7:7DJUHHPHQWVRU7:7VFKHGXOHVLVGHVFULEHGLQ
 7:7,QIRUPDWLRQIUDPHH[FKDQJHIRUIOH[LEOHZDNHWLPH 


7:7,QIRUPDWLRQIUDPHH[FKDQJHIRULQGLYLGXDO7:7


 $Q+(67$WKDWKDVDQLQGLYLGXDO7:7DJUHHPHQWPD\WUDQVPLWD7:7,QIRUPDWLRQIUDPHWRDSHHU67$ 
 ZLWKZKLFKLWKDVWKHDJUHHPHQWLIWKHSHHU67$KDVVHWWKH7:7,QIRUPDWLRQ)UDPH'LVDEOHGILHOGWRLQ 

WKH 7:7 HOHPHQW VHQW GXULQJ 7:7 VHWXS RWKHUZLVH WKH +( 67$ VKDOO QRW WUDQVPLW D 7:7 ,QIRUPDWLRQ

 IUDPHWRWKHSHHU67$7KH+(67$VHWVWKHILHOGVRIWKH7:7,QIRUPDWLRQIUDPHDVGHILQHGLQ
 *HQHUDO 



$7:7UHTXHVWLQJ67$WKDWUHFHLYHVD7:7,QIRUPDWLRQIUDPHFRQWDLQLQJD1H[W7:7VXEILHOGIROORZV
 WKHUXOHVLQ ,PSOLFLW7:7RSHUDWLRQ DQGWKHUXOHVEHORZ

 $7:7UHTXHVWLQJ67$WKDWUHFHLYHVDQDFNQRZOHGJPHQWLQUHVSRQVHWRD7:7,QIRUPDWLRQIUDPHWUDQV

 PLWWHGE\WKH67$
 ² 7KDWGRHVQRWFRQWDLQD1H[W7:7VXEILHOGVKDOOFRQVLGHUWKHFRUUHVSRQGLQJ7:7DJUHHPHQWVXV

SHQGHGXQWLOWKH7:7VHVVLRQLVUHVXPHG

 ² 7KDWFRQWDLQVD1H[W7:7VXEILHOGVKDOOFRQVLGHUWKHFRUUHVSRQGLQJ7:7DJUHHPHQWVXVSHQGHGDQG
 VKDOOUHVXPHWKH7:7DJUHHPHQWVWDUWLQJIURPWKHYDOXHLQGLFDWHGLQWKH1H[W7:7VXEILHOGRIWKH

 WUDQVPLWWHG7:7,QIRUPDWLRQIUDPH
 ² $VVXPHVWKDWDQ\RWKHULQGLYLGXDO7:7DJUHHPHQWVEURDGFDVW7:7VFKHGXOHV VHH %URDG


FDVW7:7RSHUDWLRQ DUHQRWDIIHFWHGE\WKHWUDQVPLVVLRQRIWKLVIUDPHH[FHSWZKHQWKH$OO7:7 
 VXEILHOGRIWKH7:7,QIRUPDWLRQIUDPHLVHTXDOWR2WKHUGHIDXOW36SURFHGXUHVDUHQRWDIIHFWHGE\

 WKHWUDQVPLVVLRQRIWKLVIUDPH VHH 3RZHUPDQDJHPHQW 

 127(²7KH7:7)ORZ,GHQWLILHUWRJHWKHUZLWKWKH0$&DGGUHVVHVRIWKH7:7UHTXHVWLQJ67$DQG7:7UHVSRQGLQJ 
 67$LGHQWLILHVWKH7:7DJUHHPHQWIRUZKLFKWKH7:7,QIRUPDWLRQIUDPHLVVHQW VHH 7:7RYHUYLHZ 

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ,IWKH7:7,QIRUPDWLRQIUDPHFRQWDLQVDQ$OO7:7VXEILHOGHTXDOWRWKHQWKHDERYHUXOHVDSSO\WRDOOLQGL
 YLGXDO7:7DJUHHPHQWVH[FHSWWKDWWKHUHVXPSWLRQVRIWKHUHVSHFWLYH7:7VVKDOORFFXUDWWKHILUVW7:7RI

WKHUHVSHFWLYH7:7DJUHHPHQWWKDWRFFXUVQRWHDUOLHUWKDQWKH1H[W7:7YDOXHFRQWDLQHGLQWKH7:7,QIRU

 PDWLRQIUDPHUHJDUGOHVVRIWKHYDOXHRIWKH)OH[LEOH7:76FKHGXOH6XSSRUWILHOGLQWKH+(&DSDELOLWLHV
 HOHPHQWH[FKDQJHGEHWZHHQWKHWZR67$V

 $7:7UHTXHVWLQJ67$WKDWLVLQ36PRGHDQGWKDWWUDQVPLWVD7:7,QIRUPDWLRQIUDPHWRD7:7UHVSRQG

LQJ67$VKDOOVXVSHQGWKHFRUUHVSRQGLQJ7:7DJUHHPHQWDQGPD\WUDQVLWLRQWRGR]HVWDWHDIWHUUHFHLYLQJ 

 WKHDFNQRZOHGJPHQWHYHQLILWKDVSUHYLRXVO\WUDQVPLWWHGD363ROORU8$36'WULJJHUIUDPHDQGKDVQRW\HW
 UHFHLYHGWKHH[SHFWHGIUDPHVIURPWKH$3LQUHVSRQVHDQGVKDOOUHVXPH7:7RSHUDWLRQIRUWKHFRUUHVSRQG
 LQJ7:7DJUHHPHQWDWWKHVSHFLILHG7:7LQGLFDWHG LIDQ\ LQWKH7:7,QIRUPDWLRQIUDPH$7:7UHTXHVW
 LQJ67$WKDWLVLQ36PRGHDQGWKDWUHFHLYHVD7:7,QIRUPDWLRQIUDPHIURPD7:7UHVSRQGLQJ67$VKDOO

VXVSHQGWKH7:7DJUHHPHQWDQGPD\JRWRGR]HVWDWHDIWHUWUDQVPLWWLQJWKHDFNQRZOHGJPHQWHYHQLILWKDV

 SUHYLRXVO\ WUDQVPLWWHG D 363ROO RU 8$36' WULJJHU IUDPH DQG KDV QRW \HW UHFHLYHG WKH H[SHFWHG IUDPHV
 IURPWKH7:7UHVSRQGLQJ67$LQUHVSRQVHDQGVKDOOUHVXPH7:7RSHUDWLRQIRUWKHFRUUHVSRQGLQJ7:7 
 DJUHHPHQWDWWKHVSHFLILHG7:7LQGLFDWHG LIDQ\ LQWKH7:7,QIRUPDWLRQIUDPH


7:7,QIRUPDWLRQIUDPHH[FKDQJHIRUEURDGFDVW7:7


 $Q+(67$WKDWLVD7:7VFKHGXOLQJ$3PD\WUDQVPLWD7:7,QIRUPDWLRQIUDPHWRDQ\RIWKHPHPEHUVRI
 DEURDGFDVW 7:7 VFKHGXOH LI WKH PHPEHU KDV VHWWKH 7:7,QIRUPDWLRQ )UDPH 'LVDEOHG ILHOG WRLQ WKH
 7:7HOHPHQWVHQWZKHQMRLQLQJWKHEURDGFDVW7:7VFKHGXOH$Q+(67$WKDWLVD7:7VFKHGXOHG67$ 

PD\ WUDQVPLW D 7:7 ,QIRUPDWLRQ IUDPH WR WKH 7:7 VFKHGXOLQJ $3 FRUUHVSRQGLQJ WR D EURDGFDVW 7:7 

 VFKHGXOHHVWDEOLVKHGE\WKDW67$LIWKH$3KDVVHWWKH7:7,QIRUPDWLRQ)UDPH'LVDEOHGILHOGWRLQWKH
 EURDGFDVW7:7HOHPHQWLWWUDQVPLWV7KH+(67$VHWVWKHILHOGVRIWKH7:7,QIRUPDWLRQIUDPHDVGHILQHG 
 LQ *HQHUDO 


$7:7VFKHGXOHG67$WKDWUHFHLYHVD7:7,QIRUPDWLRQIUDPHWKDWFRQWDLQVDQ$OO7:7VXEILHOGHTXDOWR 

  IROORZV WKH UXOHVGHILQHGLQ  5XOHV IRU 7:7 VFKHGXOHG 67$  H[FHSWWKDW WKH 7:7 VFKHGXOHG

 67$VKDOOFRQVLGHUDOOWKHEURDGFDVW7:7VFKHGXOHVDVVXVSHQGHGDQGVKDOOUHVXPHHDFKEURDGFDVW7:7 
 VFKHGXOHDWWKHILUVW7:7WKDWRFFXUVQRWHDUOLHUWKDQWKH1H[W7:7VXEILHOGYDOXHFRQWDLQHGLQWKHUHFHLYHG 
 7:7,QIRUPDWLRQIUDPH


 $7:7VFKHGXOHG67$WKDWUHFHLYHVDQDFNQRZOHGJPHQWLQUHVSRQVHWRD7:7,QIRUPDWLRQIUDPHWUDQVPLW
 WHGE\WKH67$WKDWFRQWDLQVDQ$OO7:7VXEILHOGHTXDOWRDQGWKDWGRHVQRWFRQWDLQD1H[W7:7VXEILHOG

 VKDOOFRQVLGHUDOOEURDGFDVW7:7VFKHGXOHVVXVSHQGHGDQGFDQIROORZWKHGHIDXOW36SURFHGXUHGHILQHGLQ
  3RZHUPDQDJHPHQW XQWLOWKHEURDGFDVW7:7VFKHGXOHVDUHUHVXPHG


 $7:7VFKHGXOHG67$WKDWUHFHLYHVDQDFNQRZOHGJPHQWLQUHVSRQVHWRD7:7,QIRUPDWLRQIUDPHWUDQVPLW
 WHGE\WKH67$WKDWFRQWDLQVDQ$OO7:7VXEILHOGHTXDOWRDQGWKDWFRQWDLQVD1H[W7:7VXEILHOGVKDOO
 VXVSHQGDOOEURDGFDVW7:7VFKHGXOHVDQGVKDOOUHVXPHWKHEURDGFDVW7:7VFKHGXOHVDWWKHILUVWVFKHGXOHG 
 7:7IRUHDFKUHVSHFWLYHEURDGFDVW7:7VFKHGXOHWKDWRFFXUVQRWHDUOLHUWKDQWKHYDOXHLQGLFDWHGLQWKH1H[W

7:7VXEILHOGFRQWDLQHGLQWKHWUDQVPLWWHG7:7,QIRUPDWLRQIUDPHUHJDUGOHVVRIWKHYDOXHVRIWKH)OH[LEOH

 7:76FKHGXOH6XSSRUWILHOGLQWKH+(&DSDELOLWLHVHOHPHQWH[FKDQJHGEHWZHHQWKHWZR67$V
 127(²7:7VXVSHQVLRQDQGUHVXPSWLRQDVLQGLFDWHGE\D7:7,QIRUPDWLRQIUDPHZLWKWKH$OO7:7VXEILHOGHTXDOWR

 DSSOLHVWRDOOEURDGFDVW7:7VFKHGXOHVRIWKH7:7VFKHGXOLQJ$3


 $7:7VFKHGXOHG67$WKDWLVLQ36PRGHDQGWKDWWUDQVPLWVD7:7,QIRUPDWLRQIUDPHWRD7:7VFKHGXO
 LQJ $3 VKDOO VXVSHQG WKH FRUUHVSRQGLQJ EURDGFDVW 7:7 VFKHGXOH DQG PD\ WUDQVLWLRQ WR GR]H VWDWH DIWHU
 UHFHLYLQJWKHDFNQRZOHGJPHQWHYHQLILWKDVSUHYLRXVO\WUDQVPLWWHGD363ROORU8$36'WULJJHUIUDPHDQG 
 KDVQRW\HWUHFHLYHGWKHH[SHFWHGIUDPHVIURPWKH7:7VFKHGXOLQJ$3LQUHVSRQVHDQGVKDOOUHVXPH7:7 

RSHUDWLRQ IRU WKH FRUUHVSRQGLQJ EURDGFDVW 7:7 VFKHGXOH DW WKH VSHFLILHG 7:7 LQGLFDWHG LI DQ\  LQ WKH

 7:7,QIRUPDWLRQIUDPH$7:7VFKHGXOHG67$WKDWLVLQ36PRGHDQGWKDWUHFHLYHVD7:7,QIRUPDWLRQ 
 IUDPHIURPD7:7VFKHGXOLQJ$3VKDOOVXVSHQGWKHFRUUHVSRQGLQJEURDGFDVW7:7VFKHGXOHDQGPD\WUDQVL

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 WLRQWRGR]HVWDWHDIWHUWUDQVPLWWLQJWKHDFNQRZOHGJPHQWHYHQLILWKDVSUHYLRXVO\WUDQVPLWWHGD363ROORU
 8$36' WULJJHU IUDPH DQG KDV QRW \HW UHFHLYHG WKH H[SHFWHG IUDPHV IURP WKH 7:7 VFKHGXOLQJ $3 LQ


UHVSRQVHDQGVKDOOUHVXPH7:7RSHUDWLRQIRUWKHFRUUHVSRQGLQJEURDGFDVW7:7VFKHGXOHDWWKHVSHFLILHG

 7:7LQGLFDWHG LIDQ\ LQWKH7:7,QIRUPDWLRQIUDPH

 7:7,QIRUPDWLRQIUDPHH[FKDQJHIRUIOH[LEOHZDNHWLPH


 $Q+(67$PD\WUDQVPLWD7:7,QIRUPDWLRQIUDPHWKDWFRQWDLQVDIOH[LEOH7:7WRDSHHU67$LIWKHSHHU
 67$KDVVHWWKH)OH[LEOH7:76FKHGXOH6XSSRUWILHOGRIWKH+(&DSDELOLWLHVLWWUDQVPLWVWRRWKHUZLVHWKH
 +(67$VKDOOQRWWUDQVPLWD7:7,QIRUPDWLRQIUDPHWKDWFRQWDLQVDIOH[LEOH7:7WRWKHSHHU67$

 $IOH[LEOH7:7LVDQRQ]HURYDOXHLQGLFDWHGLQWKH1H[W7:7VXEILHOGRID7:7,QIRUPDWLRQIUDPHZLWK

 $OO7:7VXEILHOGHTXDOWRZKLFKLVLQGHSHQGHQWIURPDQ\H[LVWLQJ7:7YDOXHVRI7:7DJUHHPHQWVWKDW
 WKH+(67$PLJKWEHIROORZLQJ LIDQ\ 7KH+(67$VHWVWKHILHOGVRIWKHWUDQVPLWWHG7:7,QIRUPDWLRQ

 IUDPHDVGHILQHGLQ *HQHUDO 

 127(²)OH[LEOH7:7VXSSRUWGRHVQRWGHSHQGRQWKH67$¶V7:7FDSDELOLWLHVLHWKH67$FDQXVHIOH[LEOH7:7

 ZLWKRXWEHLQJUHTXLUHGWRVHWXSDQLQGLYLGXDO7:7DJUHHPHQWRUEURDGFDVW7:7VFKHGXOH

 $Q+(67$WKDWUHFHLYHVDFNQRZOHGJPHQWIRUD7:7,QIRUPDWLRQIUDPHZLWKIOH[LEOH7:7DQGWKDWFRQ
 WDLQV D 7:7 )ORZ ,GHQWLILHU WKDW LGHQWLILHV DQ H[LVWLQJ LQGLYLGXDO 7:7 DJUHHPHQW VKDOO UHSODFH WKH QH[W

 7:763VWDUWWLPHIRUWKDW7:7DJUHHPHQWZLWKWKHYDOXHFRQWDLQHGLQWKH1H[W7:7VXEILHOGRIWKH7:7 
 ,QIRUPDWLRQIUDPH

 $QRQ$3+(67$WKDWUHFHLYHVDFNQRZOHGJPHQWIRUD7:7,QIRUPDWLRQIUDPHZLWKIOH[LEOH7:7DQGWKDW
 FRQWDLQVD7:7)ORZ,GHQWLILHUWKDWGRHVQRWLGHQWLI\DQ\H[LVWLQJLQGLYLGXDO7:7DJUHHPHQWSUHVHUYHVWKH

 30PRGHIURPWKHWLPHWKH7:7,QIRUPDWLRQIUDPHZDVVHQWWRWKHWLPHLQGLFDWHGLQWKH1H[W7:7VXE
 ILHOGRIWKH7:7,QIRUPDWLRQIUDPHDVGHVFULEHGEHORZ

 127(²,IWKH7:7,QIRUPDWLRQIUDPHKDVWKH$OO7:7ILHOGHTXDOWRWKHQWKH7:7VDUHVXVSHQGHGDQGUHVXPHGDV
 GHVFULEHGLQ 7:7,QIRUPDWLRQIUDPHH[FKDQJHIRULQGLYLGXDO7:7 DQG 7:7,QIRUPDWLRQIUDPH
 H[FKDQJHIRUEURDGFDVW7:7 

 $QRQ$3+(67$WKDWWUDQVPLWVD7:7,QIRUPDWLRQIUDPHWKDWFRQWDLQVDIOH[LEOH7:7WRDSHHU67$ 
 PD\JRWRGR]HVWDWHDIWHUUHFHLYLQJWKHDFNQRZOHGJPHQWVHQWLQUHVSRQVHWRWKH7:7,QIRUPDWLRQIUDPHLI
 LWLVLQ36PRGH LHWKH30VXEILHOGRIWKH)UDPH&RQWUROILHOGRIWKH7:7,QIRUPDWLRQIUDPHLV DQG 

 PD\EHXQDYDLODEOHLILWLVLQDFWLYHPRGH LHWKH30VXEILHOGRIWKH)UDPH&RQWUROILHOGRIWKH7:7,QIRU
 PDWLRQIUDPHLV DQGVKDOOEHLQWKHDZDNHVWDWHDWWKHWLPHLWLQGLFDWHGLQWKH1H[W7:7VXEILHOGRIWKH
 7:7,QIRUPDWLRQIUDPHDQGVKDOOEHLQWKH36PRGHLIWKH30VXEILHOGRIWKH7:7,QIRUPDWLRQIUDPHZDV
 DQGLQDFWLYHPRGHLIWKH30VXEILHOGRIWKH7:7,QIRUPDWLRQIUDPHZDV7KH67$RQFHLQWKHDZDNH
 VWDWHVKDOOIROORZWKHUXOHVWKDWFRUUHVSRQGWRWKHSRZHUPDQDJHPHQWPRGHRIWKH67$ZKLFKDUHGHILQHGLQ 

  3RZHUPDQDJHPHQWLQDQRQ'0*LQIUDVWUXFWXUHQHWZRUN IRUWKH$FWLYHDQG36PRGHDQGLQ
 7:7RSHUDWLRQ ZKHQWKH67$RSHUDWHVZLWKLQ7:763V

127(²$Q+($3GHOLYHUV'/%8VWRWKH67$DWRUDIWHUWKHIOH[LEOH7:7LQGLFDWHGLQWKHIOH[LEOH7:7E\IROORZLQJ 

WKHUXOHVLQ $3RSHUDWLRQ LIWKH67$GRHVQRWIROORZ7:7DQGE\IROORZLQJWKHUXOHVLQ 7:7RSHUD

WLRQ LIWKH67$IROORZV7:7DQGWKHGHOLYHU\IDOOVZLWKLQD7:7637KH67$LVQRWUHTXLUHGWRVHQGDIUDPHDWRU

DIWHU WKH IOH[LEOH 7:7 WR LQGLFDWH LWV DZDNH VWDWH WR WKH $3 ,I WKH 67$ LV IROORZLQJ 8$36' WKHQ WKH RSHUDWLRQ LV

UHVXPHGDWDWLPHWKDWRFFXUVDWWKHIOH[LEOH7:7DQGLIWKH67$LVIROORZLQJDQ$36'VFKHGXOHWKHQWKHRSHUDWLRQLV

UHVXPHGDWDWLPHWKDWRFFXUVDWRUDIWHUWKHIOH[LEOH7:7


 $QRQ$3+(67$WKDWUHFHLYHVD7:7,QIRUPDWLRQIUDPHWKDWFRQWDLQVDIOH[LEOH7:7IURPDSHHU67$ 
 PD\JRWRGR]HVWDWHDIWHUWUDQVPLWWLQJWKHDFNQRZOHGJPHQWLILWLVLQ36PRGHDQGPD\EHXQDYDLODEOHLILW
 LVLQDFWLYHPRGHDQGVKDOOEHLQWKHDZDNHVWDWHDWWKHWLPHLWLQGLFDWHGLQWKH1H[W7:7VXEILHOGRIWKH

7:7,QIRUPDWLRQIUDPHDQGVKDOOEHLQWKH36PRGHLIWKH67$ZDVLQ36PRGHZKHQLWUHFHLYHGWKH7:7 

 ,QIRUPDWLRQIUDPHDQGLQDFWLYHPRGHLIWKH67$ZDVLQDFWLYHPRGHZKHQLWUHFHLYHGWKH7:7,QIRUPDWLRQ 
 IUDPH7KH67$RQFHLQWKHDZDNHVWDWHVKDOOIROORZWKHUXOHVWKDWFRUUHVSRQGWRWKHSRZHUPDQDJHPHQW

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 PRGHRIWKH67$ZKLFKDUHGHILQHGLQ 3RZHUPDQDJHPHQWLQDQRQ'0*LQIUDVWUXFWXUHQHWZRUN 
 IRUWKH$FWLYHDQG36PRGHDQGLQ 7:7RSHUDWLRQ ZKHQWKH67$RSHUDWHVZLWKLQ7:763V


 3RZHUVDYHRSHUDWLRQGXULQJ7:763V


 7KHIROORZLQJUXOHVDSSO\WR7:763VIRUERWKEURDGFDVW7:7VFKHGXOHVDQGLQGLYLGXDO7:7DJUHHPHQWV
 ZKHUHWKH7:763RIDEURDGFDVW7:7LVXQLTXHO\LGHQWLILHGE\WKHEURDGFDVW7:7,'0$&DGGUHVVRI
 7:7VFKHGXOLQJ$3!WXSOHDQGWKH7:763RIDQLQGLYLGXDO7:7LVXQLTXHO\LGHQWLILHGE\WKH7:7IORZ

 LGHQWLILHU0$&DGGUHVVRI7:7UHTXHVWLQJ67$0$&DGGUHVVRI7:7UHVSRQGLQJ67$!WULSOH


 $7:7UHTXHVWLQJ67$RUD7:7VFKHGXOHG67$WKDWLVQRWLQ36PRGHDQGWKDWWUDQVPLWVDIUDPHZLWKWKH
 3RZHU0DQDJHPHQWVXEILHOGVHWWRGXULQJD7:763VKDOOUHPDLQLQWKHDZDNHVWDWHXQWLOWKH$GMXVWHG
 0LQLPXP7:7:DNH'XUDWLRQWLPHKDVHODSVHGIURPWKH7:763VWDUWWLPHRUXQWLOD7:763WHUPLQDWLRQ

 HYHQWLVGHWHFWHGZKLFKHYHURFFXUVILUVWIRUWKDWSDUWLFXODU7:763

 $7:7UHTXHVWLQJ67$RUD7:7VFKHGXOHG67$LQ36PRGHWKDWLVLQWKHDZDNHVWDWHIRUD7:763PD\ 


WUDQVLWLRQWRWKHGR]HVWDWHDIWHU$GMXVWHG0LQLPXP7:7:DNH'XUDWLRQWLPHKDVHODSVHGIURPWKH7:763 
 VWDUWWLPHHYHQLILWKDVSUHYLRXVO\WUDQVPLWWHGD363ROOIUDPHRU8$36'WULJJHUIUDPHDQGKDVQRW\HW
 UHFHLYHGWKHH[SHFWHGIUDPHVIURPWKH$3LQUHVSRQVH)RUDWULJJHUHQDEOHG7:763LIWKH$GMXVWHG0LQL
 PXP7:7:DNH'XUDWLRQWLPHKDVHODSVHGIURPWKHVFKHGXOHG7:763VWDUWWLPHDQGQR7ULJJHUIUDPHVDUH
 UHFHLYHGE\WKH67$WKH+(67$PD\HQWHUGR]HVWDWHLIQRRWKHUFRQGLWLRQUHTXLUHVWKH67$WRUHPDLQ 


DZDNH

 :KHQD7:763WHUPLQDWLRQHYHQWLVGHWHFWHGZLWKLQD7:763E\D67$LQ36PRGHWKDWLVSDUWLFLSDWLQJ

LQWKH7:763WKH67$PD\WUDQVLWLRQWRWKHGR]HVWDWHZLWKRXWZDLWLQJIRUWKHH[SLUDWLRQRIWKH$GMXVWHG

 0LQLPXP7:7:DNH'XUDWLRQWLPHDVGHVFULEHGLQ 7:7RYHUYLHZ HYHQLILWKDVSUHYLRXVO\WUDQV
 PLWWHGD363ROOIUDPHRU8$36'WULJJHUIUDPHDQGKDVQRW\HWUHFHLYHGWKHH[SHFWHGIUDPHVIURPWKH$3 
 LQUHVSRQVH


 $7:7UHTXHVWLQJ67$RUD7:7VFKHGXOHG67$VKDOOFODVVLI\DQ\RIWKHIROORZLQJHYHQWVDVD7:763

 WHUPLQDWLRQHYHQW

  7KHWUDQVPLVVLRQE\WKH7:7UHTXHVWLQJ67$RU7:7VFKHGXOHG67$RIDQDFNQRZOHGJPHQW
 LQ UHVSRQVH WR DQ LQGLYLGXDOO\ DGGUHVVHG 4R6 'DWD RU 4R6 1XOO IUDPH VHQW E\ WKH 7:7

 UHVSRQGLQJ67$RU7:7VFKHGXOLQJ$3UHVSHFWLYHO\WKDWKDGWKH(263VXEILHOGHTXDOWR

  7KHWUDQVPLVVLRQE\WKH7:7UHTXHVWLQJ67$RU7:7VFKHGXOHG67$RIDQDFNQRZOHGJPHQW
 LQUHVSRQVHWRDQLQGLYLGXDOO\DGGUHVVHGIUDPHWKDWLVQHLWKHUD4R6'DWDIUDPHQRUD4R61XOO
 IUDPHVHQWE\WKH7:7UHVSRQGLQJ67$RU7:7VFKHGXOLQJ$3UHVSHFWLYHO\ZLWKWKH0RUH

 'DWDILHOGHTXDOWR
  7KHUHFHSWLRQRIDQLQGLYLGXDOO\DGGUHVVHGRUEURDGFDVW4R6'DWDRU4R61XOOIUDPHVHQWE\


 WKH7:7UHVSRQGLQJ67$RU7:7VFKHGXOLQJ$3WKDWGRHVQRWVROLFLWDQLPPHGLDWHUHVSRQVH
 DQGZLWKWKH(263VXEILHOGHTXDOWR

  7KHUHFHSWLRQRIDQLQGLYLGXDOO\DGGUHVVHGIUDPHWKDWLVQHLWKHUD4R6'DWDIUDPHQRUD4R6

 1XOOIUDPHVHQWE\WKH7:7UHVSRQGLQJ67$RU7:7VFKHGXOLQJ$3WKDWGRHVQRWVROLFLWDQ 
 LPPHGLDWHUHVSRQVHDQGZLWKWKH0RUH'DWDILHOGHTXDOWR

  7KHUHFHSWLRQRID7ULJJHUIUDPHVHQWE\WKH7:7UHVSRQGLQJ67$RU7:7VFKHGXOLQJ$3WKDW
 KDVWKH 0RUH7) ILHOGHTXDO WRDQGLVQRW DGGUHVVHGWR WKH 7:7UHTXHVWLQJ67$RU7:7 
 VFKHGXOHG67$SURYLGHGWKDWWKH7:7UHTXHVWLQJ67$RU7:7VFKHGXOHG67$LVHLWKHUDZDNH

IRUDQDQQRXQFHGWULJJHUHQDEOHG7:763EXWGLGQRWWUDQVPLWDQLQGLFDWLRQWKDWLWLVLQWKH

 DZDNH VWDWH WR WKH 7:7 UHVSRQGLQJ 67$ RU 7:7 VFKHGXOLQJ $3 RU LV DZDNH IRU DQ XQDQ
 QRXQFHGWULJJHUHQDEOHG7:763

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KHFODVVLILFDWLRQRID0RUH'DWDILHOGHTXDOWRLQDQ$FN%ORFN$FNDQGLQGLYLGXDOO\DGGUHVVHG0XOWL
 67$%ORFN$FNIUDPHDVDQHYHQWWKDWWHUPLQDWHVD7:763LVRQO\SRVVLEOHZKHQERWK67$VKDYHLQGLFDWHG 

VXSSRUWRIWUDQVPLWWLQJRUUHFHLYLQJWKHIUDPHZLWKDQRQ]HUR0RUH'DWDVXEILHOGZKLFKLVLQGLFDWHGLQWKH

 0RUH'DWD$FNVXEILHOGRIWKH4R6,QIRILHOGRIIUDPHVWKH\WUDQVPLW VHH 3RZHUPDQDJHPHQWLQD
 QRQ'0*LQIUDVWUXFWXUHQHWZRUN 

 127(²$67$SDUWLFLSDWLQJLQPXOWLSOH7:763VWKDWRYHUODSLQWLPHVWD\VLQWKHDZDNHVWDWHXQWLOWKHODWHVW$GMXVW
 HG0LQLPXP7:7:DNH'XUDWLRQWLPHRIDOORIWKH7:763VH[SLUHVH[FHSWWKDWD7:763WHUPLQDWLRQHYHQWFDXVHVDOO
 RIWKHRYHUODSSLQJ7:763VWRWHUPLQDWH
 127(²$7ULJJHUIUDPHLVDGGUHVVHGWRWKH67$LIWKH7ULJJHUIUDPHFRQWDLQVWKH$,'RIWKH67$LQRQHRILWV8VHU
 ,QIRILHOGV VHH 8/08RSHUDWLRQ DQGKDVLQLWV7$ILHOGHLWKHUWKH0$&DGGUHVVRILWVDVVRFLDWHG$3RUWKH
 WUDQVPLWWHG%66,' VHH $OORZHGVHWWLQJVRIWKH7ULJJHUIUDPHILHOGVDQG756&RQWUROVXEILHOG 2WKHUZLVH
 WKH7ULJJHUIUDPHLVQRWDGGUHVVHGWRWKH67$,IWKH7ULJJHUIUDPHFRQWDLQVRQHRUPRUH5$58VIRUZKLFKWKH67$FDQ
 JDLQDFFHVVDFFRUGLQJWR 8/2)'0$EDVHGUDQGRPDFFHVV 825$ WKHQWKH67$FDQIROORZWKHUXOHVGHILQHG
 LQ 3RZHUVDYHZLWK825$DQG7:7 WRGHWHUPLQHDQHDUO\7:763WHUPLQDWLRQHYHQW



$GGLWLRQDO 7:7 63 WHUPLQDWLRQHYHQWV IRU D7:7 UHTXHVWLQJ 67$ RFFXU DIWHU WKH DFNQRZOHGJPHQW RI D
 7:7,QIRUPDWLRQIUDPHDVGHILQHGLQ 7:7,QIRUPDWLRQIUDPHH[FKDQJHIRULQGLYLGXDO7:7 DQG
 LQ 7:7,QIRUPDWLRQIUDPHH[FKDQJHIRUIOH[LEOHZDNHWLPH 

 $GGLWLRQDO 7:7 63 WHUPLQDWLRQ HYHQWV IRU D 7:7 VFKHGXOHG 67$ RFFXU DIWHU WKH DFNQRZOHGJPHQW RI D


7:7,QIRUPDWLRQIUDPHDVGHILQHGLQ 7:7,QIRUPDWLRQIUDPHH[FKDQJHIRUEURDGFDVW7:7 DQG 
 LQ 7:7,QIRUPDWLRQIUDPHH[FKDQJHIRUIOH[LEOHZDNHWLPH 

 1HJRWLDWLRQRIZDNH7%77DQGZDNHLQWHUYDO



$ 7%77 VFKHGXOHG 67$ WKDW LQWHQGV WR RSHUDWH LQ SRZHU VDYH PRGH VHH  1RQ$3 67$ SRZHU
 PDQDJHPHQW PRGHV  PD\ WUDQVPLW D 7:7 UHTXHVW WR WKH 7%77 VFKHGXOLQJ $3 WKDW LGHQWLILHV WKH ZDNH
 7%77 RI WKH ILUVW %HDFRQ IUDPH DQG WKH ZDNH LQWHUYDO EHWZHHQ VXEVHTXHQW %HDFRQ IUDPHV LW LQWHQGV WR

 UHFHLYH7KH7:7UHTXHVWVKDOOFRQWDLQ

 ² 7KH1HJRWLDWLRQ7\SHVXEILHOGHTXDOWRDQGWKH7:76HWXS&RPPDQGILHOGWR6XJJHVW7:7RU
 'HPDQG7:7
 ² 7KHUHTXHVWHGILUVWZDNH7%77LQWKH7DUJHW:DNH7LPHILHOG

 ² 7KHUHTXHVWHGZDNHLQWHUYDOEHWZHHQFRQVHFXWLYH7%77VLQWKH7:7:DNH,QWHUYDO0DQWLVVDDQG

 7:7:DNH,QWHUYDO([SRQHQWILHOGV

 ² 7KHUHTXHVWHG7%77ZDNHGXUDWLRQLQWKH1RPLQDO0LQLPXP7:7:DNH'XUDWLRQILHOG
 ² $OORWKHUILHOGVLQWKH7:7HOHPHQWDUHUHVHUYHG


$7%77VFKHGXOLQJ$3WKDWUHFHLYHVD7:7UHTXHVWIURPD67$ZKRVHYDOXHRIWKH1HJRWLDWLRQ7\SHVXE

 ILHOGLVVKDOOUHVSRQGZLWKD7:7UHVSRQVHWKDWFRQWDLQVHLWKHU$FFHSW7:7$OWHUQDWH7:7RU5HMHFW
 7:7LQWKH7:76HWXS&RPPDQGILHOGDQGLQWKHFDVHRIDQ$FFHSW7:7LWVKDOODOVRFRQWDLQ
 ² 7KH1HJRWLDWLRQ7\SHVXEILHOGHTXDOWR

 ² 7KHDOORFDWHGILUVWZDNH7%77LQWKH7DUJHW:DNH7LPHILHOG
 ² 7KHDOORFDWHGZDNHLQWHUYDOEHWZHHQFRQVHFXWLYH7%77VLQWKH7:7:DNH,QWHUYDO0DQWLVVDDQG


 7:7:DNH,QWHUYDO([SRQHQWILHOGV
 ² 7KHDOORFDWHG7%77ZDNHGXUDWLRQLQWKH1RPLQDO0LQLPXP7:7:DNH'XUDWLRQILHOG

 ² $OORWKHUILHOGVLQWKH7:7HOHPHQWDUHUHVHUYHG

 $IWHUVXFFHVVIXOO\FRPSOHWLQJWKHQHJRWLDWLRQWKH7%77VFKHGXOHG67$PD\JRWRGR]HVWDWHXQWLOLWV76)

 PDWFKHVWKHQH[WQHJRWLDWHGZDNH7%77SURYLGHGWKDWWKH67$LVLQSRZHUVDYHPRGHDQGQRRWKHUFRQGL

WLRQUHTXLUHVWKH67$WRUHPDLQDZDNH7KH7%77VFKHGXOHG67$VKDOOEHLQWKHDZDNHVWDWHWROLVWHQWR 

 %HDFRQIUDPHVWUDQVPLWWHGDWQHJRWLDWHGZDNH7%77VDQGVKDOORSHUDWHDVGHVFULEHGLQ 5XOHVIRU
 7:7VFKHGXOHG67$ 

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ,IWKH7%77VFKHGXOHG67$UHFHLYHVD%HDFRQIUDPHIURPWKH7%77VFKHGXOLQJ$3DWRUDIWHU7%77WKH
 7%77VFKHGXOHG67$PD\JRWRGR]HVWDWHXQWLOWKHQH[WZDNH7%77LIQRRWKHUFRQGLWLRQUHTXLUHVWKH67$ 

WRUHPDLQDZDNH7KH7%77VFKHGXOHG67$PD\JRWRGR]HVWDWHDIWHUDQRPLQDOPLQLPXP7%77ZDNH

 GXUDWLRQWLPHKDVHODSVHGIURPWKH7%77VWDUWWLPHLIQRRWKHUFRQGLWLRQUHTXLUHVWKH67$WRUHPDLQDZDNH



(LWKHU67$WKDWLVDSDUW\WRDQHVWDEOLVKHGZDNH7%77DJUHHPHQWFDQWHDUGRZQWKHZDNH7%77DJUHHPHQW
 E\IROORZLQJWKHWHDUGRZQSURFHGXUHGHVFULEHGLQ 7:77HDUGRZQ DQGE\VHWWLQJWKH1HJRWLDWLRQ
 7\SHVXEILHOGWRLQWKH7:77HDUGRZQIUDPH


 7DEOH :DNH7%77QHJRWLDWLRQH[FKDQJHV VXPPDUL]HVWKHLQWHUDFWLRQVEHWZHHQGHYLFHVWKDWQHJRWLDWH
 D:DNH7%77DJUHHPHQW


 7DEOH²:DNH7%77QHJRWLDWLRQH[FKDQJHV


 7:76HWXS&RPPDQGILHOG 7:76HWXS&RPPDQG
 &RQGLWLRQDIWHUWKHFRPSOHWLRQRIWKHH[FKDQJH
LQDQLQLWLDWLQJIUDPH ILHOGLQDUHVSRQVHIUDPH

 5HTXHVW7:7 $FFHSW7:7RU$OWHUQDWH 7KLVH[FKDQJHLVQRWDOORZHG
 7:7RU'LFWDWH7:7RU
 5HMHFW7:7RUQRUHVSRQVH

 'HPDQG7:7RU6XJJHVW7:7 $FFHSW7:7 $:DNH7%77DJUHHPHQWKDVEHHQFUHDWHGZLWK
 WKH:DNH7%77SDUDPHWHUVLQGLFDWHGLQWKHLQLWL
 DWLQJIUDPH

 'HPDQG7:7RU6XJJHVW7:7 5HMHFW7:7 1R:DNH7%77DJUHHPHQWKDVEHHQFUHDWHG

 'HPDQG7:7RU6XJJHVW7:7 $OWHUQDWH7:7 1R:DNH7%77DJUHHPHQWKDVEHHQFUHDWHG7KH
 7%77VFKHGXOLQJ$3LVRIIHULQJDQDOWHUQDWLYHVHW
 RISDUDPHWHUVYVWKRVHLQGLFDWHGLQWKHLQLWLDWLQJ
 IUDPH7KH7%77VFKHGXOHG67$FDQVHQGDQHZ
 UHTXHVWZLWKDQ\VHWRI:DNH7%77SDUDPHWHUV
 DQGWKHUHVSRQGHUPLJKWFUHDWHD:DNH7%77
 DJUHHPHQWXVLQJWKRVHSDUDPHWHUV

 7KH7%77VFKHGXOHG67$LVXQOLNHO\WRVHQGD
 QHZUHTXHVWLIWKH7:76HWXS&RPPDQGLV
 'HPDQG7:7DQGLVYHU\OLNHO\WRVHQGDQHZ
 UHTXHVWLIWKH7:76HWXS&RPPDQGLV6XJJHVW
 7:7

127(²7KH1HJRWLDWLRQ7\SHVXEILHOGRIWKH7:7HOHPHQWFRQWDLQHGLQWKHVHIUDPHVLVHTXDOWR

 127(²7KHLQLWLDWLQJIUDPHDQGUHVSRQVHIUDPHVHWWLQJVQRWOLVWHGLQWKHWDEOHVLQ 7DUJHWZDNHWLPH 7:7 
 RU 7:7RSHUDWLRQ DUHQRWDOORZHG7KHLQLWLDWLQJIUDPHLVD7:7UHTXHVWDQGWKHUHVSRQVHIUDPHLVD7:7 
 UHVSRQVH



 +(VXEFKDQQHOVHOHFWLYHWUDQVPLVVLRQ


 *HQHUDO


 $Q+(67$WKDWVXSSRUWV+(VXEFKDQQHOVHOHFWLYHWUDQVPLVVLRQ 667 RSHUDWLRQVKDOOVHWGRW+(6XEFKDQ
 QHO6HOHFWLYH7UDQVPLVVLRQ,PSOHPHQWHGWRWUXHDQGVKDOOVHWWKH+(6XEFKDQQHO6HOHFWLYH7UDQVPLVVLRQ6XS

SRUW ILHOG LQ WKH +( &DSDELOLWLHV HOHPHQW LW WUDQVPLWV WR  $Q +( 67$ WKDW GRHV QRW VXSSRUW +( 667


 RSHUDWLRQVKDOOVHWWKH+(6XEFKDQQHO6HOHFWLYH7UDQVPLVVLRQ6XSSRUWILHOGLQWKH+(&DSDELOLWLHVHOHPHQW
 LWWUDQVPLWVWR

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $QRQ$3+(67$ZLWKGRW+(6XEFKDQQHO6HOHFWLYH7UDQVPLVVLRQ,PSOHPHQWHGWRWUXHLVD+(667QRQ
 $367$


 $Q+($3ZLWKGRW+(6XEFKDQQHO6HOHFWLYH7UDQVPLVVLRQ,PSOHPHQWHGWRWUXHLVDQ+(667$3


$Q+(66767$PD\VHWXS667RSHUDWLRQE\QHJRWLDWLQJDWULJJHUHQDEOHG7:7DVGHILQHGLQ ,QGL

 YLGXDO7:7DJUHHPHQWV H[FHSWWKDW
 ² 7KH7:7UHTXHVWPD\KDYHD7:7&KDQQHOILHOGZLWKXSWRRQHELWVHWWRWRLQGLFDWHWKHVHFRQGDU\


 FKDQQHOUHTXHVWHGWRFRQWDLQWKH58DOORFDWLRQVDGGUHVVHGWRWKH+(667QRQ$367$WKDWLVD 
 0+]RSHUDWLQJ67$

² 7KH7:7UHTXHVWPD\KDYHD7:7&KDQQHOILHOGZLWKDOOWKHIRXU/6%VRUDOOWKHIRXU06%VVHWWR

 WRLQGLFDWHZKHWKHUWKHSULPDU\0+]FKDQQHORUWKHVHFRQGDU\0+]FKDQQHOLVUHTXHVWHGWR

 FRQWDLQWKH58DOORFDWLRQVDGGUHVVHGWRWKH+(667QRQ$367$WKDWLVDQ0+]RSHUDWLQJ67$

 ² 7KH7:7UHVSRQVHVKDOOKDYHD7:7&KDQQHOILHOGZLWKXSWRRQHELWVHWWRWRLQGLFDWHWKHVHFRQG
 DU\FKDQQHOWKDWZLOOFRQWDLQWKH58DOORFDWLRQVDGGUHVVHGWRWKH+(667QRQ$367$WKDWLVD 
 0+]RSHUDWLQJ67$

 ² 7KH7:7UHVSRQVHVKDOOKDYHD7:7&KDQQHOILHOGZLWKDOOWKH/6%VRUDOOWKH06%VWRLQGLFDWH
 ZKHWKHUWKHSULPDU\0+]FKDQQHORUWKHVHFRQGDU\0+]FKDQQHOZLOOFRQWDLQWKH58DOORFD
 WLRQVDGGUHVVHGWRWKH+(667QRQ$367$WKDWLVD0+]RSHUDWLQJ67$


 667RSHUDWLRQ

 $Q+(667QRQ$367$DQG+(667$3WKDWVXFFHVVIXOO\VHWVXS667RSHUDWLRQVKDOOIROORZWKHUXOHV


GHILQHGLQWKLVVXEFODXVH

 ,IDQ+(667$3FDXVHVLWVRSHUDWLQJFKDQQHORUFKDQQHOZLGWKWRFKDQJHDQGLIDQ\VHFRQGDU\FKDQQHORID
 WULJJHUHQDEOHG7:7LVQRWZLWKLQWKHQHZRSHUDWLQJFKDQQHORUFKDQQHOZLGWKWKHQWKH+(667$3DQGWKH


+(66767$LPSOLFLWO\WHUPLQDWHWKHWULJJHUHQDEOHG7:7

 7KH+(667$3IROORZVWKHUXOHVLQ ,QGLYLGXDO7:7DJUHHPHQWV WRH[FKDQJHIUDPHVZLWKWKH+(

 667QRQ$367$GXULQJWULJJHUHQDEOHG7:763VH[FHSWWKDWWKH$3VKDOOHQVXUHWKHIROORZLQJ

 ² 7KHLQGLYLGXDOO\DGGUHVVHG58VDOORFDWHGLQ'/0833'8VDQGLQ7ULJJHUIUDPHVDGGUHVVHGWRWKH
 +(667QRQ$367$DUHZLWKLQWKHVXEFKDQQHOLQGLFDWHGLQWKH7:7&KDQQHOILHOGRIWKH7:7 
 UHVSRQVHDQGIROORZVWKH58UHVWULFWLRQUXOHVGHILQHGLQ 58UHVWULFWLRQVIRU0+]RSHUD

 WLRQ LIWKH+(66767$LVD0+]RSHUDWLQJ67$DQGLQ 0+]RSHUDWLQJQRQ$3+( 
 67$V LIWKH+(667QRQ$367$LVDQ0+]RSHUDWLQJ67$


² 7KHWULJJHUHQDEOHG7:763VGRQRWRYHUODSZLWK7%77VDWZKLFK'7,0%HDFRQIUDPHVDUHVHQW
 ² 7KHVDPHVXEFKDQQHOLVXVHGIRUDOOWULJJHUHQDEOHG7:763VZLWKWKHVDPH+(667QRQ$367$
 WKDWRYHUODSLQWLPH


 $Q+(667QRQ$367$RSHUDWLQJRQWKHVHFRQGDU\FKDQQHOVKDOOQRWFRQGXFW20,RSHUDWLRQDVGHILQHGLQ

  2SHUDWLQJPRGHLQGLFDWLRQ RU201RSHUDWLRQDVGHILQHGLQ 1RWLILFDWLRQRIRSHUDWLQJPRGH

FKDQJHV WRFKDQJHWKHRSHUDWLQJEDQGZLGWK


 7KH+(667QRQ$367$IROORZVWKHUXOHVLQ ,QGLYLGXDO7:7DJUHHPHQWV WRH[FKDQJHIUDPHVZLWKWKH
 +(667$3GXULQJWULJJHUHQDEOHG7:763VH[FHSWWKDWWKH67$

 ² 6KDOO EH DYDLODEOH LQ WKH VXEFKDQQHO LQGLFDWHG LQ WKH 7:7 &KDQQHO ILHOG RI WKH 7:7 UHVSRQVH DW
 7:7VWDUWWLPHV

 ² 6KDOOQRWDFFHVVWKHPHGLXPLQWKHVXEFKDQQHOXVLQJ'&)RU('&$)

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ² 6KDOOQRWUHVSRQGWR7ULJJHUIUDPHVDGGUHVVHGWRLW VHH 08RSHUDWLRQ DQG  ,QGLYLGXDO


 7:7DJUHHPHQWV XQOHVVLWKDVSHUIRUPHG&&$XQWLODIUDPHLVGHWHFWHGE\ZKLFKLWFDQVHWLWV1$9

RUXQWLODSHULRGHTXDOWR1$96\QF'HOD\KDVWUDQVSLUHGZKLFKHYHULVHDUOLHU

 ² 6KDOOXSGDWHLWV1$9DFFRUGLQJWR 8SGDWLQJWZR1$9V LILWUHFHLYHVD33'8LQWKHVXE
 FKDQQHO


 $Q +( 667 QRQ$3 67$ PD\ LQFOXGH D &KDQQHO 6ZLWFK 7LPLQJ HOHPHQW LQ 5H $VVRFLDWLRQ 5HTXHVW
 IUDPHVLWWUDQVPLWVWRDQ+(667$3WRLQGLFDWHWKHWLPHUHTXLUHGE\WKH67$WRVZLWFKEHWZHHQGLIIHUHQW

VXEFKDQQHOV7KHUHFHLYHGFKDQQHOVZLWFKWLPHLQIRUPVWKH+(667$3RIWKHGXUDWLRQRIWLPHWKDWWKH+( 

 667QRQ$367$PLJKWQRWEHDYDLODEOHWRUHFHLYHIUDPHVEHIRUHWKH7:7VWDUWWLPHDQGDIWHUWKHHQGRIWKH
 WULJJHUHQDEOHG7:763

 127(²$Q+(66767$LQ36PRGHLVQRWUHTXLUHGWRPRYHWRWKHSULPDU\FKDQQHODIWHUWKHHQGRIWKHWULJJHUHQDEOHG

 7:763


 2SHUDWLQJPRGHLQGLFDWLRQ


 *HQHUDO

 20, LV D SURFHGXUH XVHG EHWZHHQ DQ 20, LQLWLDWRU DQG DQ 20, UHVSRQGHU $Q +( 67$WKDW WUDQVPLWV D

 IUDPHLQFOXGLQJDQ20&RQWUROVXEILHOGLVGHILQHGDVDQ20,LQLWLDWRU$Q+(67$ZLWKGRW20,2SWLRQ
 ,PSOHPHQWHGHTXDOWRWUXHWKDWUHFHLYHVDIUDPHLQFOXGLQJDQ20&RQWUROVXEILHOGLVGHILQHGDVDQ20,
 UHVSRQGHU


 $Q+(67$ZLWKGRW20,2SWLRQ,PSOHPHQWHGHTXDOWRWUXHVKDOOVHWWKH20&RQWURO6XSSRUWVXEILHOGLQ 
 WKH+(0$&&DSDELOLWLHV,QIRUPDWLRQILHOGRIWKH+(&DSDELOLWLHVHOHPHQWLWWUDQVPLWVWRRWKHUZLVHWKH
 +(67$VKDOOVHWWKH20&RQWURO6XSSRUWVXEILHOGWR$Q+($3VKDOOVHWGRW20,2SWLRQ,PSOHPHQWHG 
 WRWUXHDQGWKH+($3VKDOOLPSOHPHQWWKHUHFHSWLRQRIWKH20&RQWUROVXEILHOG


 $Q20,LQLWLDWRUPD\VHQGWRDQ20,UHVSRQGHUDQLQGLYLGXDOO\DGGUHVVHG4R6'DWD4R61XOORU&ODVV
 0DQDJHPHQWIUDPHDIWHUDVVRFLDWLRQWKDWFRQWDLQVWKH20&RQWUROVXEILHOGDQGWKDWVROLFLWVDQLPPHGLDWH
 DFNQRZOHGJPHQWWRLQGLFDWHDFKDQJHLQLWVUHFHLYHRSHUDWLQJPRGH 520 DVGHILQHGLQ 5HFHLYH


RSHUDWLQJPRGH 520 LQGLFDWLRQ DQGRUWUDQVPLWRSHUDWLQJSDUDPHWHUV 720 DVGHILQHGLQ 7UDQV
 PLW RSHUDWLQJ PRGH 720  LQGLFDWLRQ  $Q 20, UHVSRQGHU LPSOHPHQWV WKH UHFHSWLRQ RI DQ LQGLYLGXDOO\

 DGGUHVVHG4R6'DWD4R61XOORU&ODVV0DQDJHPHQWIUDPHWKDWFRQWDLQVWKH20&RQWUROVXEILHOGWKDW
 LQGLFDWHVDFKDQJHLQ520DQGRU720SDUDPHWHUV


 7KH20,LQLWLDWRUVKDOOLQGLFDWHDFKDQJHLQLWV520SDUDPHWHUVE\LQFOXGLQJWKH20&RQWUROVXEILHOGLQD
 4R6'DWD4R61XOORU&ODVV0DQDJHPHQWIUDPHWKDWVROLFLWVDFNQRZOHGJPHQWDQGLVDGGUHVVHGWRWKH
 20,UHVSRQGHUDVGHILQHGLQ 5HFHLYHRSHUDWLQJPRGH 520 LQGLFDWLRQ 

 127(²)UDPHVWKDWVROLFLWDQLPPHGLDWHDFNQRZOHGJPHQWDUHIRUH[DPSOH4R61XOOIUDPHVDQG4R6'DWDIUDPHV
 ZLWK1RUPDO$FNRU,PSOLFLW%$5DFNSROLF\DQG$FWLRQIUDPHV


 $Q+(67$FDQFKDQJHLWVRSHUDWLQJPRGHVHWWLQJXVLQJHLWKHURSHUDWLQJPRGHQRWLILFDWLRQDVGHVFULEHGLQ 
  1RWLILFDWLRQ RI RSHUDWLQJ PRGH FKDQJHV  RU WKH RSHUDWLQJ PRGH LQGLFDWLRQ 20,  SURFHGXUH
 GHVFULEHG LQ WKLV VXEFODXVH $Q +( 67$ VKRXOG QRW WUDQVPLW DQ 20 &RQWURO VXEILHOG DQG DQ 2SHUDWLQJ
 0RGHILHOGLQWKHVDPH33'8,ID67$WUDQVPLWVERWKDQ20&RQWUROVXEILHOGDQG2SHUDWLQJ0RGHILHOGLQ


WKHVDPH33'8WKHQWKH20,UHVSRQGHUVKDOOXVHWKHFKDQQHOZLGWKDQGWKHPD[LPXPQXPEHURIVSDWLDO
 VWUHDPVLQGLFDWHGE\WKHPRVWUHFHQWO\UHFHLYHG20&RQWUROVXEILHOGRU2SHUDWLQJ0RGHILHOGIURPWKH20,
 LQLWLDWRU

 127(²$Q20&RQWUROILHOGLVWUDQVPLWWHGEHIRUHDQ2SHUDWLQJ0RGHILHOGLQWKHVDPHIUDPH

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KH 20, LQLWLDWRU VXSSRUWV UHFHLYLQJ 33'8V ZLWK D EDQGZLGWK XSWR WKH YDOXH LQGLFDWHG E\ WKH &KDQQHO
 :LGWKVXEILHOGDQGZLWKDQXPEHURIVSDWLDOVWUHDPVNssDVLQGLFDWHGLQWKH5[166VXEILHOGRIWKH20 

&RQWUROVXEILHOGDQGFDOFXODWHGLQWKH(TXDWLRQ  


 ,IWKHRSHUDWLQJFKDQQHOZLGWKRIWKH67$LVJUHDWHUWKDQ0+]WKHQWKHPD[LPXPQXPEHURIVSDWLDO
 VWUHDPVWKDWWKH67$VXSSRUWVLQUHFHSWLRQIRUDJLYHQ+(0&6DVDIXQFWLRQRIWKHUHFHLYHG+(33'8

 EDQGZLGWKBWDWDQ+(67$WUDQVPLWWLQJDQ20&RQWUROVXEILHOGLVGHILQHGLQ(TXDWLRQ  


 IORRU Rx-NSS-from-OMIî Max-HE-NSS-at-BWMax-HE-NSS-at-80 

 ZKHUH

 Rx-NSS-from-OMILV5[166IURPWKH20&RQWUROVXEILHOGWUDQVPLWWHGE\WKH67$
 Max-HE-NSS-at-BWLVWKHPD[LPXP166DPRQJDOO+(0&6DWBW0+]IURPWKH6XSSRUWHG+(0&6 
 $QG1666HWILHOGWUDQVPLWWHGE\WKH67$DVGHVFULEHGLQ 5DWHVHOHFWLRQFRQVWUDLQWV
 IRU+(67$V

 Max-HE-NSS-at-80LVWKHPD[LPXP166DPRQJDOO+(0&6DW0+]IURPWKH6XSSRUWHG+(0&6 
 $QG1666HWILHOGWUDQVPLWWHGE\WKH67$

 127(²,IWKHRSHUDWLQJFKDQQHOZLGWKRIWKH67$LVJUHDWHUWKDQ0+]WKHQWKH5[166VXEILHOGLQGLFDWHVWKHPD[
 LPXPQXPEHURIVSDWLDOVWUHDPVIRU33'8EDQGZLGWKVWKDWDUHHTXDOWRRUOHVVWKDQ0+],IWKHRSHUDWLQJFKDQQHO
 ZLGWKRIWKH67$LVOHVVWKDQRUHTXDOWR0+]WKHQWKH5[166VXEILHOGLQGLFDWHVWKHPD[LPXPQXPEHURIVSDWLDO
 VWUHDPVNSSWKDWWKH67$VXSSRUWVLQUHFHSWLRQ

 7KH9+7FKDQQHOZLGWKDQGWKH9+7166DOORZHGDWDQ+(67$WUDQVPLWWLQJDQ20&RQWUROVXEILHOGDUH
 GHILQHGLQ7DEOH 6HWWLQJRIWKH9+7&KDQQHO:LGWKDQG9+7166DWDQ+(67$WUDQVPLWWLQJWKH20 

&RQWURO VXEILHOG WR GHWHUPLQH WKH DOORZHG 166 ZKHQ RSHUDWLQJDV +( 67$ XVLQJ FKDQQHOEDQGZLGWKRI

 0+]RU0+]


 7DEOH²6HWWLQJRIWKH9+7&KDQQHO:LGWKDQG9+7166DWDQ+(67$WUDQVPLWWLQJWKH20
 &RQWUROVXEILHOG


 9+7166VXSSRUWRI67$WUDQVPLWWLQJ
 20 9+7FDSDELOLWLHVRI /RFDWLRQRI /RFDWLRQRI
WKH20&RQWUROVXEILHOGDVDIXQFWLRQRI
 &RQWURO 67$WUDQVPLWWLQJ20 0+] VHFRQGDU\
WKH33'8EDQGZLGWK î0D[9+7166 
 VXEILHOG &RQWUROVXEILHOG FHQWHU 0+]FHQWHU
VHHUHTXLUHPHQWV5DQG5
 IUHTXHQF\LI IUHTXHQF\LI
 %66 %66
6XSSRUWHG ([WHQGHG EDQGZLGWKLV EDQGZLGWKLV
 &KDQQHO     
&KDQQHO 166%: 0+] 0+]
 :LGWK 0+] 0+] 0+] 0+] 0+]
:LGWK 6XSSRUW

    

     

      

        &&)6

         &&)6 &&)6
         &&)6 &&)6

        &&)6

         &&)6 &&)6

         &&)6 &&)6

         &&)6 &&)6

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²6HWWLQJRIWKH9+7&KDQQHO:LGWKDQG9+7166DWDQ+(67$WUDQVPLWWLQJWKH20
 &RQWUROVXEILHOG(continued)


 9+7166VXSSRUWRI67$WUDQVPLWWLQJ
 20 9+7FDSDELOLWLHVRI /RFDWLRQRI /RFDWLRQRI
WKH20&RQWUROVXEILHOGDVDIXQFWLRQRI
 &RQWURO 67$WUDQVPLWWLQJ20 0+] VHFRQGDU\
WKH33'8EDQGZLGWK î0D[9+7166 
 VXEILHOG &RQWUROVXEILHOG FHQWHU 0+]FHQWHU
VHHUHTXLUHPHQWV5DQG5
 IUHTXHQF\LI IUHTXHQF\LI
 %66 %66
6XSSRUWHG ([WHQGHG EDQGZLGWKLV EDQGZLGWKLV
 &KDQQHO     
&KDQQHO 166%: 0+] 0+]
 :LGWK 0+] 0+] 0+] 0+] 0+]
:LGWK 6XSSRUW

         &&)6 &&)6

         &&)6 &&)6

 5166VXSSRUWVKDOOEHURXQGHGGRZQWRWKHQHDUHVWLQWHJHU
 57KHPD[LPXP166VXSSRUWVKDOOEH

 127(²0D[9+7166DVLQGLFDWHGE\WKHYDOXHRIWKH5[166ILHOG7KH5[166ILHOGLQGLFDWHVWKHVDPH0D[+(166

 DQG0D[9+71660D[9+7166LVDWWKHEDQGZLGWKLQGLFDWHGLQWKH9+7&DSDELOLWLHVHOHPHQW)RUDOODOORZHG0&6
 YDOXHVWKH0D[9+7166YDOXHVDUHVDPHEXWWKHVXSSRUWHG166FDQEHGLIIHUHQW
 127(²îRUî0D[9+7166VXSSRUWPLJKWHQGXSEHLQJLQGLFDWLQJQRVXSSRUW

 127(²$Q\RWKHUFRPELQDWLRQWKDQWKHRQHVOLVWHGLQWKLVWDEOHLVUHVHUYHG
 127(²&&)6UHIHUVWRWKHYDOXHRI WKH&KDQQHO&HQWHU )UHTXHQF\6HJPHQWILHOGRIWKHPRVWUHFHQWO\WUDQVPLWWHG

 9+72SHUDWLRQHOHPHQW LIDQ\ RU+(2SHUDWLRQHOHPHQW

 127(²&&)6UHIHUVWRWKHYDOXHRIWKH&KDQQHO&HQWHU)UHTXHQF\6HJPHQWILHOGRIWKHPRVWUHFHQWO\WUDQVPLWWHG+7

 2SHUDWLRQHOHPHQW

 127(²&&)6LVQRQ]HURZKHQWKHFXUUHQW%66EDQGZLGWKLV0+]RU0+]DQGWKH166VXSSRUWLVDWOHDVW
 0D[9+7166&&)6LV]HURLQWKLVFDVH
 127(²&&)6LVQRQ]HURZKHQWKHFXUUHQW%66EDQGZLGWKLV0+]RU0+]DQGWKH166VXSSRUWLVOHVVWKDQ
 0D[9+7166&&)6LV]HURLQWKLVFDVH

 127(²$WPRVWRQHRI&&)6DQG&&)6LVQRQ]HUR
 127(²$VXSSRUWHGPXOWLSOHRI0D[9+7166DSSOLHVWRERWKWUDQVPLWDQGUHFHLYH$VXSSRUWHGPXOWLSOHRI0D[+(

 166DSSOLHVWRUHFHLYH

 127(²6RPHFRPELQDWLRQVRI6XSSRUWHG&KDQQHO:LGWK6HWDQG([WHQGHG166%:VXSSRUWPLJKWQRWRFFXULQSUDF
 WLFH



 7KH20,LQLWLDWRUVKDOOLQGLFDWHDFKDQJHLQLWV720SDUDPHWHUVE\LQFOXGLQJWKH20&RQWUROVXEILHOGLQD
 4R6'DWD4R61XOORU&ODVV0DQDJHPHQWIUDPHWKDWVROLFLWVDQLPPHGLDWHDFNQRZOHGJPHQWIUDPHDQGLV
 DGGUHVVHGWRWKH20,UHVSRQGHUDVGHILQHGLQ 7UDQVPLWRSHUDWLQJPRGH 720 LQGLFDWLRQ 


 $QRQ$367$20,LQLWLDWRUWKDWVHQGVDQ20&RQWUROVXEILHOGZLWK8/08'LVDEOHVXEILHOGHTXDOWR
 VXSSRUWVWUDQVPLWWLQJDQ+(7%33'8ZLWKDQ58DOORFDWLRQWKDWLVZLWKLQWKHRSHUDWLQJFKDQQHOZLGWKLQGL
 FDWHGLQWKH&KDQQHO:LGWKVXEILHOGDQGZLWKDQXPEHURIVSDFHWLPHVWUHDPVNSTSWKDWLVXSWRWKHYDOXH
 LQGLFDWHG E\ WKH 7[ 1676 VXEILHOG RI WKH 20 &RQWURO VXEILHOG DV GHILQHG LQ  7UDQVPLW RSHUDWLQJ


PRGH 720 LQGLFDWLRQ 

127( ²7R DYRLG SRVVLEOH IUDPH ORVV DQ 20, LQLWLDWRU FDQ FRQWLQXH ZLWK LWV FXUUHQW RSHUDWLQJ FKDQQHO ZLGWK DQG


DFWLYHUHFHLYHFKDLQVDQGDFWLYHWUDQVPLWFKDLQVLQ+(7%33'8VDQGQRWVXVSHQG+(7%33'8VRU'DWDIUDPHVLQ+( 

7%33'8VXQWLOLWLQIHUVWKDWWKH20,UHVSRQGHUKDVSURFHVVHGDQ20&RQWUROVXEILHOGIURPWKH20,LQLWLDWRULQGLFDW

LQJDQ\RIWKHIROORZLQJFKDQJHV

 ² 5HGXFHGRSHUDWLQJFKDQQHOZLGWK

 ² 5HGXFWLRQLQWKHQXPEHURIDFWLYHUHFHLYHFKDLQV

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ² 5HGXFWLRQLQWKHQXPEHURIDFWLYHWUDQVPLWFKDLQVLQ+(7%33'8V
 ² 6XVSHQVLRQRI8/08RSHUDWLRQ

 7KH20,LQLWLDWRUPLJKWPDNHWKLVLQIHUHQFHIURPDQ\FRPELQDWLRQRIWKHIROORZLQJ

 ² %\UHFHLYLQJDIUDPHDGGUHVVHGWRLWVHOIIURPWKHVHFRQG+(67$LQD33'8ZLWKDEDQGZLGWKDQG166WKDWDUH
 OHVVWKDQRUHTXDOWRWKHFKDQQHOZLGWKDQG166UHVSHFWLYHO\LQGLFDWHGLQWKH20&RQWUROVXEILHOG
 ² %DVHGRQWKHSDVVDJHRIWLPHLQVRPHLPSOHPHQWDWLRQGHSHQGHQWZD\ZKLFKLVRXWVLGHWKHVFRSHRIWKLV6WDQ
 GDUG

 127(²,WPLJKWWDNHDORQJWLPHIRUD67$WRFKDQJHLWVRSHUDWLQJPRGHIROORZLQJWKHWUDQVPLVVLRQRIWKH20&RQ
 WUROVXEILHOGDQGGXULQJWKDWWLPHWKH67$PLJKWQRWEHDEOHWRUHFHLYHIUDPHVUHVXOWLQJLQIUDPHORVV,IDQRQ$367$

 FDQQRWWROHUDWHIUDPHORVVGXULQJWKDWSHULRGLWFDQVHWWKH3RZHU0DQDJHPHQWVXEILHOGRIWKH)UDPH&RQWUROILHOGRIWKH
 IUDPHWKDWFDUULHVWKH20&RQWUROVXEILHOGWRWRLQGLFDWHWKDWWKH67$KDVHQWHUHGSRZHUVDYH:KHQWKHQRQ$367$ 
 KDVFRPSOHWHGLWVRSHUDWLQJPRGHFKDQJHLWFDQVHQGDQRWKHUIUDPH VXFKDVD4R61XOO ZLWKWKH)UDPH&RQWUROILHOG 
 3RZHU0DQDJHPHQWVXEILHOGVHWWRWRLQGLFDWHWKDWWKH67$KDVH[LWHGSRZHUVDYH

 5HFHLYHRSHUDWLQJPRGH 520 LQGLFDWLRQ


 520LQGLFDWLRQDOORZVWKH20,LQLWLDWRUWRDGDSWWKHPD[LPXPRSHUDWLQJFKDQQHOZLGWKDQGRUWKHPD[L
 PXPQXPEHURIVSDWLDOVWUHDPVNssLWFDQUHFHLYHIURPWKH20,UHVSRQGHU

 $Q20,LQLWLDWRUWKDWVHQGVDIUDPHWKDWLQFOXGHVDQ20&RQWUROVXEILHOGVKRXOGFKDQJHLWV20,SDUDPH
 WHUV5[166DQG&KDQQHO:LGWKDVIROORZV

 ² :KHQWKH20,LQLWLDWRUFKDQJHVD520SDUDPHWHUIURPKLJKHUWRORZHULWVKRXOGPDNHWKHFKDQJH
 IRUWKDWSDUDPHWHURQO\DIWHUWKH7;23LQZKLFKLWUHFHLYHGWKHLPPHGLDWHDFNQRZOHGJPHQWIURP

 WKH20,UHVSRQGHU

 ² :KHQWKH20,LQLWLDWRUFKDQJHVD520SDUDPHWHUIURPORZHUWRKLJKHULWVKRXOGPDNHWKHFKDQJH
 IRU WKDW SDUDPHWHU RQO\ DIWHU WKH 7;23 LQ ZKLFK LW H[SHFWV WR UHFHLYH DFNQRZOHGJPHQW IURP WKH
 20,UHVSRQGHU


 $Q20,LQLWLDWRUWKDWLVDQ+($3VKRXOGEHFDSDEOHRIUHFHLYLQJZLWKLQDQRSHUDWLQJFKDQQHOZLGWKDQG
 ZLWKNSSWKDWDUHXSWRWKHYDOXHVRIWKHPRVWUHFHQWO\WUDQVPLWWHG&KDQQHO:LGWKVXEILHOGDQG5[166VXE
 ILHOGWKDWWKH20,LQLWLDWRUKDVVXFFHVVIXOO\LQGLFDWHGLQWKH20&RQWUROVXEILHOGRULQWKH2SHUDWLQJ0RGH
 ILHOGVHQWWRDQ\DVVRFLDWHG67$

 127(²,QWKHHYHQWRIWUDQVPLVVLRQIDLOXUHRIWKHIUDPHFRQWDLQLQJWKH20&RQWUROVXEILHOGWKH20,LQLWLDWRUDWWHPSWV
 WKHUHFRYHU\SURFHGXUHGHILQHGLQ 0XOWLSOHIUDPHWUDQVPLVVLRQLQDQ('&$7;23 

 7KH20,UHVSRQGHUVKDOOXSGDWHWKHRSHUDWLQJFKDQQHOZLGWKDQGWKHPD[LPXPNSSYDOXHVDVREWDLQHGIURP 
 WKH&KDQQHO:LGWKDQG5[166VXEILHOGVUHVSHFWLYHO\RIWKHPRVWUHFHQWO\UHFHLYHG20&RQWUROVXEILHOG 

 VHQWE\WKH20,LQLWLDWRUWRVHQG6833'8VDQGWRDVVLJQDQ58DOORFDWLRQLQVHQW0833'8VVXEMHFWWR 
 UHVWULFWLRQVGHILQHGLQ 2)'0$ DGGUHVVHGWRWKH20,LQLWLDWRULQVXEVHTXHQW7;23V7KH20,
 UHVSRQGHU VKDOO XSGDWH WKH PD[LPXP NSS YDOXH WR D YDOXH GHWHUPLQHG IURP WKH 5[ 166 VXEILHOG DQG
 7DEOH 6HWWLQJRIWKH9+7&KDQQHO:LGWKDQG9+7166DWDQ+(67$WUDQVPLWWLQJWKH20&RQWURO
 VXEILHOG LIWKH&KDQQHO:LGWKVXEILHOGRIWKH20&RQWUROILHOGLQGLFDWHV0+]RU0+]


 $IWHU WUDQVPLWWLQJ WKH DFNQRZOHGJPHQW IRU WKH IUDPH FRQWDLQLQJ WKH 20 &RQWURO VXEILHOG WKH 20,
 UHVSRQGHUPD\WUDQVPLWVXEVHTXHQW6833'8VRU0833'8VWKDWDUHDGGUHVVHGWRWKH20,LQLWLDWRU

 127(²7KHDFNQRZOHGJPHQWLVWUDQVPLWWHGD6,)6DIWHUWKHIUDPH$VXEVHTXHQW33'8LVD33'8WKDWLVLQWHQGHGIRU
 WKH20,LQLWLDWRUDQGQHHGQRWEHWKH33'8LPPHGLDWHO\IROORZLQJWKHDFNQRZOHGJPHQW

 $Q20,LQLWLDWRUWKDWLVDQRQ$367$PD\VHWWKH'/080,025HVRXQG5HFRPPHQGDWLRQVXEILHOGWR
 LQWKH20&RQWUROILHOGLQIUDPHVDGGUHVVHGWRDQ20,UHVSRQGHUWKDWLVDQ$3WRLQGLFDWHWKDWWKHQRQ$3

67$VXJJHVWVWKDWWKH$3UHVRXQGWKHFKDQQHOZLWKWKHQRQ$367$$Q20,LQLWLDWRUWKDWLVDQRQ$3 

 67$ DQG WKDW KDV QR UHFRPPHQGDWLRQ RQ WKH $3¶V '/ 080,02 RSHUDWLRQ VKDOO VHW '/ 080,02 
 5HVRXQG5HFRPPHQGDWLRQVXEILHOGWR

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $Q20,UHVSRQGHUWKDWUHFHLYHVDIUDPHWKDWFDUULHVDQ20&RQWUROILHOGZLWKWKH'/080,025HVRXQG
 5HFRPPHQGDWLRQILHOGHTXDOWRIURPDQ20,LQLWLDWRUPD\UHVRXQGWKHFKDQQHORULQFUHDVHWKHIUHTXHQF\ 

RI WKH FKDQQHO VRXQGLQJ ZLWK WKH 20, LQLWLDWRU LI WKH 20, UHVSRQGHU VHQGV D '/ 080,02 33'8


 DGGUHVVHGWRWKH20,LQLWLDWRU

 7UDQVPLWRSHUDWLQJPRGH 720 LQGLFDWLRQ


 720LQGLFDWLRQDOORZVWKH20,LQLWLDWRUWRVXVSHQGDQGUHVXPHUHVSRQGLQJWRYDULDQWVRIWKH7ULJJHUIUDPH
 DQG756&RQWUROVXEILHOGVSHUWKH8/08'LVDEOHDQG8/08'DWD'LVDEOHVXEILHOGVVHWWLQJVDVLQGLFDWHG 
 LQ7DEOHD 8/08'LVDEOHDQG8/08'DWD'LVDEOHVXEILHOGVHQFRGLQJ RUWRDGDSWWKHPD[LPXP 
 RSHUDWLQJFKDQQHOZLGWKDQGRUWKHPD[LPXPQXPEHURIVSDFHWLPHVWUHDPVNSTSWKDWLWFDQWUDQVPLWLQ 


UHVSRQVHWRDWULJJHULQJIUDPHVHQWE\WKH20,UHVSRQGHU
 127(²720LQGLFDWLRQGRHVQRWUHODWHWRWUDQVPLVVLRQVLQ33'8VRWKHUWKDQ+(7%33'8V$Q$3GRHVQRWSHUIRUP

 720LQGLFDWLRQDVDQ20,LQLWLDWRU


 $Q20,LQLWLDWRUWKDWLVDQRQ$367$PD\LQGLFDWHFKDQJHVLQLWVWUDQVPLWSDUDPHWHUVE\VHQGLQJDIUDPH
 WKDWFRQWDLQVWKH20&RQWUROVXEILHOGWRWKH20,UHVSRQGHU7KH20,LQLWLDWRUVKDOOVHW

 ² 7KH8/08'LVDEOHVXEILHOGWRWRLQGLFDWHVXVSHQVLRQWRUHVSRQVHWRDWULJJHULQJIUDPH VHH

 8/08RSHUDWLRQ 
 ‡ $Q$3WKDWLVDQ20,LQLWLDWRUVKDOOVHWWKH8/08'LVDEOHVXEILHOGWR

 ² 7KH 7[ 1676 VXEILHOG WR WKH PD[LPXP NSTS WKDW WKH 67$ ZLOO XVH IRU DQ +( 7% 33'8 VHQW LQ

 UHVSRQVHWRD7ULJJHUIUDPHRUIUDPHFDUU\LQJD756&RQWUROVXEILHOG

 ² 7KH&KDQQHO:LGWKVXEILHOGWRWKHPD[LPXPRSHUDWLQJFKDQQHOZLGWKWKDWWKH67$ZLOOXVHIRUDQ
 +(7%33'8VHQWLQUHVSRQVHWRD7ULJJHUIUDPHRUIUDPHFDUU\LQJD756&RQWUROVXEILHOG



,IDQRQ$3+(67$KDVUHFHLYHGWKH20&RQWURO8/08'DWD'LVDEOH5;6XSSRUWILHOGLQWKH+(&DSD
 ELOLWLHVHOHPHQWVHWWRWKHQWKHQRQ$3+(67$DFWLQJDVDQ20,LQLWLDWRUPD\VHWWKH8/08'LVDEOH
 VXEILHOGWRDQGWKH8/08'DWD'LVDEOHVXEILHOGWRWRLQGLFDWHWKDWRQO\8/08'DWDIUDPHWUDQVPLV
 VLRQLVVXVSHQGHGEXW8/08FRQWUROUHVSRQVHIUDPHWUDQVPLVVLRQVLQUHVSRQVHWRD%DVLF7ULJJHUIUDPHLV
 QRWVXVSHQGHG VHH 8/08RSHUDWLRQ 5HVSRQVHVWRRWKHU7ULJJHUIUDPHYDULDQWVDUHQRWVXVSHQGHG


PDQDJHPHQWIUDPHWUDQVPLVVLRQVDUHQRWVXVSHQGHG

 $Q20,LQLWLDWRUVKDOOVHWWKH8/08'LVDEOHVXEILHOGWRDQGWKH8/08'DWD'LVDEOHVXEILHOGWRWR

 LQGLFDWHUHVXPSWLRQRUFRQWLQXDWLRQRISDUWLFLSDWLRQLQDOOWULJJHUHG8/08RSHUDWLRQV


 ,IDQ+($3KDVVHWWKH20&RQWURO8/08'DWD'LVDEOH5;6XSSRUWILHOGLQWKH+(&DSDELOLWLHVHOHPHQW
 LWWUDQVPLWVWRDQDVVRFLDWHG67$VKDOOQRWVHWWKH8/08'DWD'LVDEOHVXEILHOGLQWKH20&RQWUROILHOG

 WR


 $Q20,LQLWLDWRUWKDWVHQWDIUDPHLQFOXGLQJWKH20&RQWUROVXEILHOGVKRXOGFKDQJHLWV720SDUDPHWHUV
 7[16768/08'LVDEOH8/08'DWD'LVDEOHDQG&KDQQHO:LGWKDVIROORZV


² ,IWKH20,LQLWLDWRUFKDQJHVD720SDUDPHWHUIURPKLJKHUWRORZHULWVKRXOGPDNHWKHFKDQJHIRU
 WKDWSDUDPHWHURQO\DIWHUWKH7;23LQZKLFKLWUHFHLYHGWKHLPPHGLDWHDFNQRZOHGJPHQWIURPWKH
 20,UHVSRQGHU

 ² ,IWKH20,LQLWLDWRUFKDQJHVD720SDUDPHWHUIURPORZHUWRKLJKHULWVKRXOGPDNHWKHFKDQJHIRU
 WKDWSDUDPHWHURQO\DIWHUWKH7;23LQZKLFKLWH[SHFWVWRUHFHLYHDFNQRZOHGJPHQWIURPWKH20,
 UHVSRQGHU


7KH720SDUDPHWHUV8/08'LVDEOHDQG8/08'DWD'LVDEOHFKDQJHVIURPKLJKHUWRORZHULILWVYDOXH

 FKDQJHVIURPWR7KHFKDQJHRI8/08'LVDEOHIURPWRDQG8/08'DWD'LVDEOHIURPWRLVD
 FKDQJHIURPORZHUWRKLJKHU

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $Q20,UHVSRQGHUWKDWUHFHLYHVDIUDPHFRQWDLQLQJDQ20&RQWUROVXEILHOGIURPDQ20,LQLWLDWRUSHUIRUPV
 WKHIROORZLQJRSHUDWLRQV


 $Q$320,UHVSRQGHUVKDOOQRWVHQGDQ\7ULJJHUIUDPHVRUIUDPHVFDUU\LQJD756&RQWUROVXEILHOGWRD
 QRQ$367$20,LQLWLDWRUIRUVXEVHTXHQW7;23V VHH 8/08RSHUDWLRQ LIWKH8/08'LVDEOH
 VXEILHOGLVLQWKHPRVWUHFHQWO\UHFHLYHG20&RQWUROVXEILHOGVHQWE\WKH67$

 127(²$ GHYLFH PLJKW KDYH PXOWLSOH UDGLRV WKDW FDQ FUHDWH GLIILFXOW LQGHYLFH FRH[LVWHQFH FKDOOHQJHV 7KH GHYLFH
 PLJKWVHW8/08'LVDEOHVXEILHOGWRDQGWKH8/08'DWD'LVDEOHVXEILHOGWRLILWKDVWURXEOHUHVSRQGLQJWRDWULJ
 JHULQJIUDPHEHFDXVHWKHWLPLQJRUKLJKWUDQVPLWSRZHUZRXOGFDXVHLQWHUIHUHQFHZLWKDQRWKHUUDGLRLQWKHGHYLFH

 $Q 20, UHVSRQGHU VKDOO FRQVLGHU WKH 20, LQLWLDWRU DV SDUWLFLSDWLQJ LQ 8/ 08 RSHUDWLRQ IRU VXEVHTXHQW
 7;23VLIWKH8/08'LVDEOHVXEILHOGLVLQWKHPRVWUHFHQWO\UHFHLYHG20&RQWUROVXEILHOGZLWKWKHIRO

 ORZLQJUHVWULFWLRQV
 ² 7KHPD[LPXPNSTSWKDWWKH20,LQLWLDWRUFDQWUDQVPLWLQDQ+(7%33'8LVLQGLFDWHGLQWKH7[

 1676VXEILHOGRIWKH20&RQWUROVXEILHOG

 ² 7KH PD[LPXP RSHUDWLQJ FKDQQHO ZLGWK RYHU ZKLFK WKH 20, LQLWLDWRU FDQ WUDQVPLW LQ DQ +( 7%

 33'8LVLQGLFDWHGLQWKH&KDQQHO:LGWKVXEILHOGRIWKH20&RQWUROVXEILHOG


 $Q20,UHVSRQGHUWKDWKDVWUDQVPLWWHGWKH20&RQWURO8/08'DWD'LVDEOH5;6XSSRUWVXEILHOGVHWWR 
 VKDOOUHJDUGDQ20,LQLWLDWRUDVFDSDEOHRISDUWLFLSDWLQJLQ8/08RSHUDWLRQRQO\IRUWKHSXUSRVHRIWUDQV
 PLVVLRQRIDFNQRZOHGJPHQWVLIWKH8/08'LVDEOHVXEILHOGLVHTXDOWRDQGWKH8/08'DWD'LVDEOHVXE
 ILHOGLVHTXDOWRLQWKHPRVWUHFHQWO\UHFHLYHG20&RQWUROVXEILHOGIURPWKDW20,LQLWLDWRU


 7KH20,UHVSRQGHUVKDOOLQGLFDWHDQXPEHURIVSDWLDOVWUHDPVNSSLQWKH8VHU,QIRILHOGRID7ULJJHUIUDPH
 ZKLFKFRQWDLQVWKH$,'RIWKH20,LQLWLDWRUWKDWLVOHVVWKDQRUHTXDOWRWKHNSTSWKDWLVFDOFXODWHGIURPWKH
 7[1676VXEILHOGRIWKH20&RQWUROVXEILHOGUHFHLYHGIURPWKH20,LQLWLDWRU

 7KH20,UHVSRQGHUVKDOOLQGLFDWHDQ58DOORFDWLRQLQWKH58$OORFDWLRQVXEILHOGRIWKH8VHU,QIRILHOGRID

 7ULJJHUIUDPHRU756&RQWUROVXEILHOGDGGUHVVHGWRWKH20,LQLWLDWRUWKDWLVZLWKLQWKHRSHUDWLQJFKDQQHO
 ZLGWKVSHFLILHGLQWKH&KDQQHO:LGWKVXEILHOGRIWKH20&RQWUROVXEILHOGUHFHLYHGIURPWKH20,LQLWLDWRU
 DQGVXEMHFWWRWKHUHVWULFWLRQVGHILQHGLQ 2)'0$ 


 6SDWLDOUHXVHRSHUDWLRQ


 *HQHUDO

 7KHREMHFWLYHRI+(VSDWLDOUHXVHRSHUDWLRQLVWRDOORZWKHPHGLXPWREHUHXVHGPRUHRIWHQEHWZHHQ2%66V
 LQ GHQVH GHSOR\PHQW VFHQDULRV E\ WKH HDUO\ LGHQWLILFDWLRQ RI VLJQDOV IURP RYHUODSSLQJ EDVLF VHUYLFH VHWV

2%66V DQGLQWHUIHUHQFHPDQDJHPHQW


 7KHUHDUHWZRLQGHSHQGHQWVSDWLDOUHXVHPRGHV2%663'EDVHGVSDWLDOUHXVHDQG365EDVHGVSDWLDOUHXVH

 $Q+($3SDUWLFLSDWLQJLQVSDWLDOUHXVHPD\UHTXHVWDQDVVRFLDWHGQRQ$3+(67$WRJDWKHULQIRUPDWLRQ

 UHJDUGLQJWKHQHLJKERUKRRGE\VHQGLQJD%HDFRQUHTXHVW VHH %HDFRQUHTXHVW E\IROORZLQJWKH
 SURFHGXUH GHVFULEHG LQ  5DGLR PHDVXUHPHQW SURFHGXUHV  $Q +( $3 VKDOO QRW VHW D PHDVXUHPHQW
 PRGHLQD%HDFRQUHTXHVWWRDQDVVRFLDWHG67$WRDPRGHIRUZKLFKWKH67$KDVQRWH[SOLFLWO\LQGLFDWHG 
 VXSSRUWYLDWKH50(QDEOHG&DSDELOLWLHVHOHPHQW VHH 50(QDEOHG&DSDELOLWLHVHOHPHQW $Q+( 
 $3WKDWVHQGVD%HDFRQUHTXHVWIRUWKLVSXUSRVH

 ² 0D\UHTXHVWWKDWWKHQRQ$3+(67$JDWKHULQIRUPDWLRQRI%66VPDWFKLQJDSDUWLFXODU%66,'DQG
 RU66,'

 ² 0D\UHTXHVWWKDWWKHQRQ$3+(67$JHQHUDWHDUHSRUWWKDWLVRQO\IRUWKHFKDQQHORQZKLFKWKH
 UHTXHVWLQJ$3LVRSHUDWLQJRUWRZKLFKWKHUHTXHVWLQJ$3LVFRQVLGHULQJVZLWFKLQJ

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ² 6KDOOUHTXHVWWKDWWKHQRQ$3+(67$LQFOXGHWKH+(2SHUDWLRQHOHPHQWRIQHLJKERULQJ+($3VLQ

 RUGHUWRKHOSGHWHUPLQHWKH%66FRORULQIRUPDWLRQRIWKHQHLJKERULQJ$3V


 $QRQ$3+(67$WKDWSHUIRUPVVSDWLDOUHXVHRSHUDWLRQVKDOOKDYHGRW5DGLR0HDVXUHPHQW$FWLYDWHGVHW
 WRWUXHDQGVKDOOUHVSRQGWRD%HDFRQUHTXHVWIURPLWVDVVRFLDWHG$3ZLWKD%HDFRQUHSRUWDVGHVFULEHGLQ
  5DGLRPHDVXUHPHQWSURFHGXUHV 


 &ODVV%GHYLFHDVGHILQHGLQ 3UHFRUUHFWLRQDFFXUDF\UHTXLUHPHQWV VKDOOQRWRSHUDWHZLWKWKHSUR
 FHGXUHVGHILQHGLQWKLVVXEFODXVH



2%663'EDVHGVSDWLDOUHXVHRSHUDWLRQ

 *HQHUDO


 2%66 3'EDVHG VSDWLDO UHXVH RSHUDWLRQ FRPSULVHV WZR W\SHV RI RSHUDWLRQ 7KH ILUVW W\SH LV GHILQHG LQ

  *HQHUDORSHUDWLRQZLWKQRQ65*2%663'OHYHO DQGDOORZVD67$XQGHUVSHFLILFFRQGLWLRQV
 WRLJQRUHDQLQWHU%6633'8XVLQJDQRQ65*2%663'OHYHO7KHVHFRQGW\SHLVGHILQHGLQ 
 *HQHUDORSHUDWLRQZLWK65*2%663'OHYHO DQGDOORZVD67$XQGHUVSHFLILFFRQGLWLRQVWRLJQRUHLQWHU
 %6633'8VWKDWDUHLGHQWLILHGDVEHLQJ65*33'8VXVLQJDQ65*2%663'OHYHO,QDGGLWLRQWRWKHVHGLI

 IHUHQFHVEHWZHHQWKHWZRW\SHV1RQ65*2%663'0LQRIIVHWLVIL[HGDQGGHILQHGLQWKHVSHFLILFDWLRQ 
 ZKLOHWKH65*2%663'0LQRIIVHWFDQEHGHILQHGE\WKH$3$67$PD\RSHUDWHXVLQJRQHRIWKHWZR
 W\SHVQHLWKHUW\SHRUERWKW\SHVVLPXOWDQHRXVO\


 *HQHUDORSHUDWLRQZLWKQRQ65*2%663'OHYHO

 ,IWKH3+<RID67$LVVXHVD3+<&&$LQGLFDWLRQ %86< IROORZHGE\D3+<5;67$57LQGLFDWLRQGXH
 WR D 33'8 UHFHSWLRQ WKHQ WKH 67$¶V 0$& VXEOD\HU PD\ D  LVVXH D 3+<&&$5(6(7UHTXHVW SULPLWLYH


EHIRUHWKHHQGRIWKH33'8DQGQRWXSGDWHLWVEDVLF1$9WLPHUEDVHGRQWKH33'8RUPD\E QRWXSGDWHLWV
 EDVLF1$9WLPHUEDVHGRQWKH33'8LIDOOWKHIROORZLQJFRQGLWLRQVDUHPHW
 ² 7KH 67$ KDV QRW VHW WKH 7;9(&725 SDUDPHWHU 63$7,$/B5(86( WR WKH YDOXH

 365B$1'B121B65*B2%66B3'B352+,%,7('LQDQ\+(33'8LWKDVWUDQVPLWWHGLQWKHFXU
 UHQWEHDFRQSHULRGDQGLQWKHSUHYLRXVEHDFRQSHULRG

² 7KHPRVWUHFHQWO\UHFHLYHG6SDWLDO5HXVH3DUDPHWHU6HWHOHPHQWIURPLWVDVVRFLDWHG$3KDGWKH1RQ

 65*2%663'65'LVDOORZHGVXEILHOGHTXDOWRRUWKHQRQ$367$KDVQRWUHFHLYHGD6SDWLDO
 5HXVH3DUDPHWHU6HWHOHPHQWIURPLWVDVVRFLDWHG$3RUWKH67$LVDQ$3DQGLWVPRVWUHFHQWO\WUDQV
 PLWWHG6SDWLDO5HXVH3DUDPHWHU6HWHOHPHQWKDGWKH1RQ65*2%663'65'LVDOORZHGVXEILHOG
 HTXDOWRRUWKH67$LVDQ$3DQGKDVQRWWUDQVPLWWHGD6SDWLDO5HXVH3DUDPHWHU6HWHOHPHQW

 ² 7KHUHFHLYHG33'8LVDQLQWHU%6633'8 VHH ,QWUD%66DQGLQWHU%6633'8FODVVLILFD
 WLRQ DQGWKHUHFHLYHG33'8LVQRWDQRQ+733'8FDUU\LQJDUHVSRQVHIUDPH $FN%ORFN$FNRU
 &76 IUDPH  RU WKH UHFHLYHG 33'8 FRQWDLQV D &76 DQG D 3+<&&$LQGLFDWLRQ WUDQVLWLRQ IURP



%86< WR,'/( RFFXUUHG ZLWKLQWKH3,)6WLPH LPPHGLDWHO\SUHFHGLQJWKH UHFHLYHG&76DQGWKDW
 WUDQVLWLRQFRUUHVSRQGHGWRWKHHQGRIDQLQWHU%6633'8WKDWFRQWDLQHGDQ576WKDWZDVLJQRUHG 
 IROORZLQJWKLVSURFHGXUH

 ² 7KH67$LVRSHUDWLQJZLWKDQ65*2%663'OHYHODVGHVFULEHGLQ *HQHUDORSHUDWLRQZLWK

 65*2%663'OHYHO DQGWKHUHFHLYHG33'8LVQRWDQ65*33'8RUWKH67$LVQRWRSHUDWLQJZLWK 
 DQ65*2%663'OHYHO

 ² 7KH 63$7,$/B5(86( VXEILHOG LQ WKH +(6,*$ LI SUHVHQW  RI WKH UHFHLYHG 33'8 LV QRW VHW WR
 365B$1'B121B65*B2%66B3'B352+,%,7('

² 7KHUHFHLYHGVLJQDOVWUHQJWKOHYHOZKLFKLVPHDVXUHGIURPWKH/67)RU//7)ILHOGVRIWKH33'8


 DQGZKLFKLVXVHGWRGHWHUPLQH3+<&&$LQGLFDWLRQLVEHORZWKHQRQ65*2%663'OHYHO7KH
 QRQ65*2%663'OHYHOLVGHILQHGLQ $GMXVWPHQWRI2%663'DQGWUDQVPLWSRZHU ,I

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 WKH67$KDVGRW+(3652SWLRQ,PSOHPHQWHGVHWWRWUXHLWDOVRIROORZVWKHUXOHVGHILQHGLQ
 ,QWHUDFWLRQRI2%663'DQG365EDVHGVSDWLDOUHXVH WRGHWHUPLQHQRQ65*2%663'OHYHO

 ² 7KH33'8LVQRWRQHRIWKHIROORZLQJ
 ‡ $QRQ+(33'8WKDWFDUULHVDIUDPHZKHUHWKH5$ILHOGLVHTXDOWRWKH67$0$&DGGUHVV

‡ $QRQ+(33'8WKDWFDUULHVD3XEOLF$FWLRQIUDPH

 ‡ $QRQ+(33'8WKDWFDUULHVD9+7+(1'3$QQRXQFHPHQWIUDPHRU)LQH7LPLQJ0HDVXUH
 PHQWIUDPH
 ‡ $QRQ+(1'3

 127(²$ 67$ FDQQRW SHUIRUP 65 RYHU DQ +( VRXQGLQJ 1'3 RU +( 7% IHHGEDFN 1'3 VHH  63$
 7,$/B5(86( 

 ,I WKH LQWHU%66 IUDPH LV FDUULHG LQ DQ +( (5 68 33'8 ZKHUH SRZHU RI WKH /67)//7) V\PEROV LV
 ERRVWHGG% WKHUHFHLYHGVLJQDOVWUHQJWKZKLFKLVPHDVXUHGIURPWKH/67)RU//7)ILHOGVRIWKH33'8 

DQG ZKLFK LV XVHG WR GHWHUPLQH 3+<&&$LQGLFDWLRQ VKDOO EH GHFUHDVHG E\  G% WR FRPSHQVDWH IRU WKH

 SRZHUGLIIHUHQFH
 127(²,QWKHFDVHRIDUHFHLYHG&)(QGIUDPHWKDWVDWLVILHVWKHFRQGLWLRQVDERYHHLWKHUWKHLVVXDQFHRID3+<&&$
 5(6(7UHTXHVWRUWKHFKRLFHWRQRWXSGDWHWKHEDVLF1$9WLPHUERWKUHVXOWLQWKH1$9QRWEHLQJFDQFHOHGDVZRXOGQRU
 PDOO\RFFXUIROORZLQJWKHVXFFHVVIXOUHFHSWLRQRID&)(QGIUDPH


 7KH3+<&&$5(6(7UHTXHVWSULPLWLYHVKDOOEHLVVXHGDWWKHHQGRIWKH33'8LIWKH33'8LVDQ+(68

 33'8 RU DQ +( (5 68 33'8 DQG WKH 5;9(&725 SDUDPHWHU 63$7,$/B5(86( LQGLFDWHV 65B'(
 /$<('

 127(²$67$VHWVWKH7;9(&725SDUDPHWHU63$7,$/B5(86(WR65B'(/$<('LQD33'8LILWDOORZV2%66

 3'EDVHGVSDWLDOUHXVHRSHUDWLRQEXWRQO\DIWHUWKHHQGRIWKH33'8
 127(²$Q$3FDQJHWSURWHFWLRQHTXLYDOHQWWR65B'(/$<('E\WUDQVPLWWLQJWKH7ULJJHUIUDPHLQDQRQ+733'8

 RU+733'8ZLWKWKH7;9(&725SDUDPHWHU$**5(*$7,21VHWWRLQVWHDGRILQD9+733'8


 ,IWKH3+<&&$5(6(7UHTXHVWSULPLWLYHLVLVVXHGEHIRUHWKHHQGRIWKHUHFHLYHG33'8DQGD7;23LVLQL
 WLDWHGZLWKLQWKHGXUDWLRQRIWKHUHFHLYHG33'8WKHQWKH7;23DQGWKHGXUDWLRQRIWKHWUDQVPLWWHG33'8

 ZLWKLQWKDW7;23VKDOOEHOLPLWHGWRWKHGXUDWLRQRIWKHUHFHLYHG33'8LIWKHUHFHLYHG33'8LVDQ+(08

 33'8DQGWKH5;9(&725SDUDPHWHU63$7,$/B5(86(LQGLFDWHV65B5(675,&7('

 127(²$ 67$ VHWV WKH 7;9(&725 SDUDPHWHU 63$7,$/B5(86( WR 65B5(675,&7(' LQ D 33'8 LI LW DOORZV
 2%663'EDVHGVSDWLDOUHXVHRSHUDWLRQEXWRQO\EHIRUHWKHHQGRIWKH33'8

 $67$WKDWLJQRUHVD33'8IROORZLQJWKHSURFHGXUHGHVFULEHGLQWKLVVXEFODXVHLVGHHPHGWRSHUIRUPQRQ

65*2%663'EDVHGVSDWLDOUHXVH


 *HQHUDORSHUDWLRQZLWK65*2%663'OHYHO

 ,IWKH3+<RID67$LVVXHVD3+<&&$LQGLFDWLRQ %86< IROORZHGE\D3+<5;67$57LQGLFDWLRQGXH

WR D 33'8 UHFHSWLRQ WKHQ WKH 67$¶V 0$& VXEOD\HU PD\ D  LVVXH D 3+<&&$5(6(7UHTXHVW SULPLWLYH

 EHIRUHWKHHQGRIWKH33'8DQGQRWXSGDWHLWVEDVLF1$9WLPHUEDVHGRQWKH33'8RUPD\E QRWXSGDWHLWV
 EDVLF1$9WLPHUEDVHGRQWKH33'8LIDOOWKHIROORZLQJFRQGLWLRQVDUHPHW
 ² 7KHUHFHLYHG33'8LVDQ65*33'8 VHH 65*33'8LGHQWLILFDWLRQ

 ² 7KHUHFHLYHGVLJQDOVWUHQJWKOHYHOZKLFKLVPHDVXUHGIURPWKH/67)RU//7)ILHOGVRIWKH33'8 
 DQGZKLFKLVXVHGWRGHWHUPLQH3+<&&$LQGLFDWLRQLVEHORZWKH65*2%663'OHYHO7KH65* 
 2%663'OHYHOLVGHILQHGLQ $GMXVWPHQWRI2%663'DQGWUDQVPLWSRZHU ,IWKH67$ 

KDVGRW+(3652SWLRQ,PSOHPHQWHGVHWWRWUXHLWDOVRIROORZVWKHUXOHVGHILQHGLQ ,QWHUDF

 WLRQRI2%663'DQG365EDVHGVSDWLDOUHXVH WRGHWHUPLQH65*2%663'OHYHO
 ² 7KH33'8LVQRWRQHRIWKHIROORZLQJ

 ‡ $QRQ+(33'8WKDWFDUULHVDIUDPHZKHUHWKH5$ILHOGLVHTXDOWRWKH67$0$&DGGUHVV
 ‡ $QRQ+(33'8WKDWFDUULHVD3XEOLF$FWLRQIUDPH

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ‡ $QRQ+(33'8WKDWFDUULHVD9+7+(1'3$QQRXQFHPHQWIUDPHRU)LQH7LPLQJ0HDVXUH
 PHQWIUDPH

 ‡ $QRQ+(1'3

 127(²$ 67$ FDQQRW SHUIRUP 65 RYHU DQ +( VRXQGLQJ 1'3 RU +( 7% IHHGEDFN 1'3 VHH  63$
 7,$/B5(86( 


 ,I WKH LQWHU%66 IUDPH LV FDUULHG LQ DQ +( (5 68 33'8 ZKHUH SRZHU RI WKH /67)//7) V\PEROV LV
 ERRVWHGG% WKHUHFHLYHGVLJQDOVWUHQJWKZKLFKLVPHDVXUHGIURPWKH/67)RU//7)ILHOGVRIWKH33'8 
 DQG ZKLFK LV XVHG WR GHWHUPLQH 3+<&&$LQGLFDWLRQ VKDOO EH GHFUHDVHG E\  G% WR FRPSHQVDWH IRU WKH
 SRZHUGLIIHUHQFHZKHQFRPSDUHGWRWKH2%663'OHYHO

 127(²,QWKHFDVHRIDUHFHLYHG&)(QGIUDPHWKDWVDWLVILHVWKHFRQGLWLRQVDERYHHLWKHUWKHLVVXDQFHRID3+<&&$
 5(6(7UHTXHVWRUWKHFKRLFHWRQRWXSGDWHWKHEDVLF1$9WLPHUERWKUHVXOWLQWKH1$9QRWEHLQJFDQFHOHGDVZRXOGQRU
 PDOO\RFFXUIROORZLQJWKHVXFFHVVIXOUHFHSWLRQRID&)(QGIUDPH


 7KH3+<&&$5(6(7UHTXHVWSULPLWLYHVKDOOEHLVVXHGDWWKHHQGRIWKH33'8LIWKH33'8LVDQ+(68

 33'8 RU DQ +( (5 68 33'8 DQG WKH 5;9(&725 SDUDPHWHU 63$7,$/B5(86( LQGLFDWHV 65B'(

/$<('


 127(²$Q$3FDQJHWSURWHFWLRQHTXLYDOHQWWR65B'(/$<('E\WUDQVPLWWLQJWKH7ULJJHUIUDPHLQDQRQ+733'8

 RU+733'8ZLWKWKH7;9(&725SDUDPHWHU$**5(*$7,21VHWWRLQVWHDGRILQD9+733'8

 ,IWKH3+<&&$5(6(7UHTXHVWSULPLWLYHLVLVVXHGEHIRUHWKHHQGRIWKHUHFHLYHG33'8DQGD7;23LVLQL

WLDWHGZLWKLQWKHGXUDWLRQRIWKHUHFHLYHG33'8WKHQWKH7;23DQGWKHGXUDWLRQRIWKHWUDQVPLWWHG33'8


 ZLWKLQWKDW7;23VKDOOEHOLPLWHGWRWKHGXUDWLRQRIWKHUHFHLYHG33'8LIWKHUHFHLYHG33'8LVDQ+(08

 33'8DQGWKH5;9(&725SDUDPHWHU63$7,$/B5(86(LQGLFDWHV65B5(675,&7('

 127(²7KHUHVWULFWLRQLQDGGLWLRQWRWKH7;23OLPLWRIWKH33'8GXUDWLRQZLWKLQWKH7;23LVLQFOXGHGLQWKHDERYH
 SDUDJUDSKUHODWHGWR65B5(675,&7('DVWKHUHDUHFRQGLWLRQVZKHUHWKH7;23OLPLWFDQEHH[FHHGHG VHH
 7;23OLPLWV 


 $Q$3WKDWVHQGVD6SDWLDO5HXVH3DUDPHWHU6HWHOHPHQWZLWKWKH65*,QIRUPDWLRQ3UHVHQWVXEILHOGLQWKH
 65&RQWUROILHOGVHWWRVKDOOVHWWKH65*%66&RORU%LWPDSDQG65*3DUWLDO%66,'%LWPDSILHOGVDVIRO
 ORZV

 ² ,IWKHWUDQVPLWWLQJ$3LVLQWKHVDPH(66DVDQRWKHU$3 LHZLWKWKHVDPH66,'DQGFRQQHFWHGE\D
 '6 RULVFRQWUROOHGE\WKHVDPHH[WHUQDOPDQDJHPHQWHQWLW\DVDQRWKHU$3 LUUHVSHFWLYHRI66,' 
 WKHQWKHWUDQVPLWWLQJ$3 PD\VHW WKH 65*%66&RORU%LWPDS DQGRU 65*3DUWLDO %66,' %LWPDS

 ILHOGVWKDWFRUUHVSRQGWRWKDWRWKHU$3WR

² (OVHWKH$3VKDOOVHWWKHELWVLQWKH65*%66&RORU%LWPDSDQGRU65*3DUWLDO%66,'%LWPDSWR


 ,IDQ+($3GHWHUPLQHVYDOXHVIRUGRW65*$3%66&RORU%LWPDSDQGGRW65*$3%66,'%LWPDS LHWKH

65*IRUWKH$3¶VRZQWUDQVPLVVLRQV WKHQWKHYDOXHVVKDOOEHGHWHUPLQHGDFFRUGLQJWRWKHDERYHUXOHV


 $GMXVWPHQWRI2%663'DQGWUDQVPLWSRZHU


 ,IXVLQJ2%663'EDVHGVSDWLDOUHXVHDQ+(67$VKDOOPDLQWDLQDQ2%663'OHYHODQGPD\DGMXVWWKLV
 2%663'OHYHOLQFRQMXQFWLRQZLWKLWVWUDQVPLWSRZHUDQGWKLVDGMXVWPHQWVKDOOEHPDGHLQDFFRUGDQFHZLWK


(TXDWLRQ  



OBSSBPD level d max OBSSBPD min 

 min OBSSBPD max OBSSBPD min  TXBPWR ref ± TXBPWR

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KH DGMXVWPHQW UXOH LV LOOXVWUDWHG LQ )LJXUH ,OOXVWUDWLRQ RI WKH DGMXVWPHQW UXOHV IRU 2%66 3' DQG

 7;B3:5 





 K^^ͺWŵĂdž

 ůůŽǁĂďůĞK^^ͺWůĞǀĞů
 ĂŶĚdyͺWtZ

 K^^ͺWůĞǀĞů




 K^^ͺWŵŝŶ





 dyͺWtZ





 )LJXUH²,OOXVWUDWLRQRIWKHDGMXVWPHQWUXOHVIRU2%663'DQG7;B3:5

 7KHYDOXHRIWKHOBSS_PDlevelLVDSSOLFDEOHWRWKHVWDUWRID0+]33'8UHFHLYHGRQWKHSULPDU\0+]

 FKDQQHO,IWKHEDQGZLGWKRIWKHUHFHLYHG33'8GLIIHUVIURP0+]WKHQWKHYDOXHRIWKHOBSS_PDlevelLV
 LQFUHDVHGE\ORJ EDQGZLGWK0+] XVLQJWKHEDQGZLGWKLQ0+]LQGLFDWHGE\WKHYDOXHRI5;9(&
 725SDUDPHWHU&+B%$1':,'7+RU&+B%$1':,'7+B,1B121B+7LISUHVHQW


 TX_PWRref G%PIRUQRQ$367$V

 TX_PWRref G%P IRU DQ $3 ZLWK WKH 0D[ +(0&6 )RU  66 VXEILHOG LQ WKH 7[ +(0&6 0DS 
 ”0+]VXEILHOGLQWKH6XSSRUWHG+(0&6DQG1666HWILHOGRILWV+(&DSDELOLWLHVHOHPHQWILHOGVHWWR


 TX_PWRref G%P IRU DQ $3 ZLWK WKH 0D[ +(0&6 )RU  66 VXEILHOG LQ WKH 7[ +(0&6 0DS 
 ”0+]VXEILHOGLQWKH6XSSRUWHG+(0&6DQG1666HWILHOGRILWV+(&DSDELOLWLHVHOHPHQWILHOGVHWWRD
 YDOXHRWKHUWKDQ


 TX_PWRLVWKH67$WUDQVPLVVLRQSRZHULQG%PDWWKHRXWSXWRIWKHDQWHQQDFRQQHFWRUDQGLVVHWIROORZLQJ
 WKHUXOHVLQ 7UDQVPLWSRZHUVHOHFWLRQ DQGIRUWUDQVPLVVLRQRI+(7%33'8DOVRIROORZLQJWKH
 UXOHVLQ 3RZHUSUHFRUUHFWLRQ 

 127(²7KHTX_PWRrefLVG%KLJKHUIRU$3VZLWKPRUHWKDQVSDWLDOVWUHDPVDVWKRVH$3VW\SLFDOO\KDYHKLJKHU
 WUDQVPLWSRZHUWKDQRWKHUGHYLFHVDQGDVWKH2%663'SURFHGXUHLVEDVHGRQDUHODWLYHUHGXFWLRQRISRZHU


 $Q$3PD\GHILQH65*2%663'0LQ2IIVHWDQG65*2%663'0D[2IIVHWYDOXHVWKDWDUHXVHGE\LWV
 DVVRFLDWHG67$VWRGHULYHDQ65*2%663'OHYHOIRUGHWHUPLQLQJUHFHSWLRQEHKDYLRUIRULQWHU%6633'8V
 WKDWDUHGHWHUPLQHGWREH65*33'8V$Q$3PD\GHILQHDQRQ65*2%663'0D[2IIVHWYDOXHWKDWLV
 XVHGE\LWVDVVRFLDWHG67$VWRGHULYHDQRQ65*2%663'OHYHOIRUGHWHUPLQLQJUHFHSWLRQEHKDYLRUIRU

LQWHU%6633'8VWKDWDUHQRWGHWHUPLQHGWREH65*33'8V7KHYDOXHVRI65*2%663'0LQ2IIVHW

 65*2%663'0D[2IIVHWDQG1RQ65*2%663'0D[2IIVHWDUHWUDQVPLWWHGWRDVVRFLDWHG67$VZLWKLQ 
 WKH6SDWLDO5HXVH3DUDPHWHU6HWHOHPHQW

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $Q$3WUDQVPLWWLQJD6SDWLDO5HXVH3DUDPHWHU6HWHOHPHQWVKDOOUHVSHFWWKHIROORZLQJFRQVWUDLQWV

 ² ±”±65*2%663'0LQ2IIVHW”±
 ² 65*2%663'0LQ2IIVHW”65*2%663'0D[2IIVHW

 ² ±65*2%663'0D[2IIVHW”±
 ² ±1RQ65*2%663'0D[2IIVHW”±


$Q+(67$VKDOOPDLQWDLQDQRQ65*2%663'OHYHOZLWKLWVYDOXHVHOHFWHGE\UHVSHFWLQJWKH2%663'


 OHYHOFRQGLWLRQLQ(TXDWLRQ  EXWZLWK1RQ65*2%663'0LQDQG1RQ65*2%663'0D[LQSODFH
 RIOBSS_PDminDQGOBSS_PDmaxUHVSHFWLYHO\$QRQ$367$VKDOOGHWHUPLQH1RQ65*2%663'0LQ 
 DQG1RQ65*2%663'0D[DFFRUGLQJWR7DEOH 1RQ65*2%663'0LQDQG1RQ65*2%663' 
 0D[YDOXHVIRUQRQ$367$V $Q+($3VKDOOVHW1RQ65*2%663'0LQWR±G%PDQG1RQ65* 

2%663'0D[WR±G%PGRW1RQ65*$32%663'0D[2IIVHW



 7DEOH²1RQ65*2%663'0LQDQG1RQ65*2%663'0D[YDOXHVIRUQRQ$367$V


 1RQ65*2%663' 1RQ65*2IIVHW
 65'LVDOORZHGILHOG 3UHVHQWILHOGLQ
9DOXHRI1RQ65*2%66 9DOXHRI1RQ65*2%66
 LQ6SDWLDO5HXVH 6SDWLDO5HXVH
3'0LQ G%P 3'0D[ G%P
 3DUDPHWHU6HW 3DUDPHWHU6HW
 HOHPHQW HOHPHQW

 1RWDSSOLFDEOHLIWKH 1RWDSSOLFDEOHLIWKH ± ±
 6SDWLDO5HXVH3DUDP 6SDWLDO5HXVH3DUDP
 HWHU6HWHOHPHQWLVQRW HWHU6HWHOHPHQWLVQRW
 UHFHLYHG UHFHLYHG

   ± ±
   ± ±1RQ65*2%663'
 0D[2IIVHW

  1$ ± ±



 $Q+(67$VKDOOPDLQWDLQDQ65*2%663'OHYHOZLWKLWVYDOXHVHOHFWHGE\UHVSHFWLQJWKH2%663'OHYHO
 FRQGLWLRQLQ(TXDWLRQ  EXWZLWK65*2%663'0LQDQG65*2%663'0D[LQSODFHRIOBSS_PD-

 minDQGOBSS_PDmaxUHVSHFWLYHO\$QRQ$367$VKDOOGHWHUPLQH65*2%663'0LQDQG65*2%66 
 3'0D[WR7DEOH 65*2%663'0LQDQG65*2%663'0D[YDOXHVIRUQRQ$367$V $Q+( 
 $3VKDOOVHW65*2%663'0LQWR±GRW65*$32%663'0LQ2IIVHWG%PDQG65*2%663'0D[




















&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 WR ±GRW65*$32%663'0D[2IIVHWG%P$Q+( $3PD\WUDQVPLW65*2%66 3' 0LQDQG65*



 2%663'0D[RIIVHWYDOXHVWKDWDUHGLIIHUHQWIURPWKHRQHVWKDWLWXVHV



 7DEOH²65*2%663'0LQDQG65*2%663'0D[YDOXHVIRUQRQ$367$V


 65*,QIRUPDWLRQ
 3UHVHQWILHOGLQ
9DOXHRI65*2%663' 9DOXHRI65*2%663'
 6SDWLDO5HXVH
0LQ G%P 0D[ G%P
 3DUDPHWHU6HW
 HOHPHQW

 1RWDSSOLFDEOHLIWKH 1$ 1$
 6SDWLDO5HXVH3DUDP VHH127( VHH127(
 HWHU6HWHOHPHQWLVQRW
 UHFHLYHG
  1$ 1$
 VHH127( VHH127(

  ±65*2%663'0LQ ±65*2%663'0D[
 2IIVHW 2IIVHW

 127(²,I65*,QIRUPDWLRQLVQRWSUHVHQWD67$FDQQRWGHWHUPLQHD33'8WREH65*
 DQGVRZLOOQRWXVH65*2%663'0LQRU65*2%663'0D[YDOXHV



 7KH6SDWLDO5HXVH3DUDPHWHU6HWHOHPHQWLVRSWLRQDOO\SUHVHQWLQ%HDFRQIUDPHV3UREH5HVSRQVHIUDPHV
 DQG 5H $VVRFLDWLRQ5HVSRQVHIUDPHV


 2%663'65WUDQVPLWSRZHUUHVWULFWLRQSHULRG



,ID67$LJQRUHVDQLQWHU%6633'8IROORZLQJWKHSURFHGXUHLQ *HQHUDORSHUDWLRQZLWK65* 
 2%66 3' OHYHO  XVLQJD FKRVHQ65* 2%66 3' OHYHORU IROORZLQJ WKH SURFHGXUH LQ  *HQHUDO
 RSHUDWLRQZLWKQRQ65*2%663'OHYHO XVLQJDFKRVHQQRQ65*2%663'OHYHOWKHQWKH67$VKDOOVWDUW
 DQ 2%66 3' 65 WUDQVPLW SRZHU UHVWULFWLRQ SHULRG 7KLV 2%66 3' 65 WUDQVPLW SRZHU UHVWULFWLRQ SHULRG
 VKDOOEHWHUPLQDWHGDWWKHHQGRIWKH7;23WKDWWKH67$JDLQVRQFHLWVEDFNRIIUHDFKHV]HUR


 ,ID67$VWDUWVDQ2%663'65WUDQVPLWSRZHUUHVWULFWLRQSHULRGZLWKDFKRVHQQRQ65*2%663'OHYHO
 WKH67$¶VWUDQVPLWSRZHUDVPHDVXUHGDWWKHRXWSXWRIWKHDQWHQQDFRQQHFWRUVKDOOEHHTXDORUORZHUWKDQWKH
 TX_PWRmaxFDOFXODWHGZLWKWKLVFKRVHQQRQ65*2%663'OHYHOZLWK(TXDWLRQ  ZLWKWKHDSSURSUL


DWHQRQ65*SDUDPHWHUVDFFRUGLQJWR7DEOH 1RQ65*2%663'0LQDQG1RQ65*2%663'0D[
 YDOXHVIRUQRQ$367$V IRUWKHWUDQVPLVVLRQVRIDQ\33'8WKDWLVQRWFDUU\LQJDIUDPHWKDWLVDOORZHGWR 
 EHVHQWZLWKRXWUHJDUGWRWKHEXV\LGOHVWDWHRIWKHPHGLXPXQWLOWKHHQGRIWKH2%663'65WUDQVPLWSRZHU
 UHVWULFWLRQSHULRG


 ,ID67$VWDUWVDQ2%663'65WUDQVPLWSRZHUUHVWULFWLRQSHULRGZLWKDFKRVHQ65*2%663'OHYHOWKH
 67$¶VWUDQVPLWSRZHUDVPHDVXUHGDWWKHRXWSXWRIWKHDQWHQQDFRQQHFWRUVKDOOEHHTXDORUORZHUWKDQWKH
 TX_PWRmaxFDOFXODWHGZLWKWKLVFKRVHQ65*2%663'OHYHOZLWK(TXDWLRQ  ZLWKWKHDSSURSULDWH
 65*SDUDPHWHUVDFFRUGLQJWR7DEOH 65*2%663'0LQDQG65*2%663'0D[YDOXHVIRUQRQ$3 

 67$V IRUWKHWUDQVPLVVLRQVRIDQ\33'8WKDWLVQRWFDUU\LQJDUHVSRQVHIUDPHWKDWLVDOORZHGWREHVHQW
 ZLWKRXWUHJDUGWRWKHEXV\LGOHVWDWHRIWKHPHGLXPXQWLOWKHHQGRIWKH2%663'65WUDQVPLWSRZHUUHVWULF
 WLRQSHULRG

 127(²([DPSOHVRIIUDPHVWKDWDUHWUDQVPLWWHGZLWKRXWUHJDUGWRWKHEXV\LGOHVWDWHRIWKHPHGLXPLQFOXGHEXWDUHQRW
 OLPLWHGWRDIUDPHFRQWDLQHGLQDQ+(7%33'8WKDWLVDUHVSRQVHWRD7ULJJHUIUDPHZLWKWKH&65HTXLUHGVXEILHOGVHW
 WRDQGDQ$FNRU%ORFN$FNIUDPHVHQWDVDQLPPHGLDWHUHVSRQVH

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $67$PD\KDYHPXOWLSOHRQJRLQJ2%663'65WUDQVPLWSRZHUUHVWULFWLRQSHULRGVWKDWRYHUODSLQWLPH

 127(²7KH67$¶VWUDQVPLWSRZHULVDOZD\VHTXDORUORZHUWKDQWKHPLQLPXPTX_PWRmaxDPRQJDOOTX_PWRmax
 IURPRQJRLQJ2%663'65WUDQVPLWSRZHUUHVWULFWLRQSHULRGV


 ­ XQFRQVWUDLQHG LIOBSSBPD level d OBSSBPD min 
TXBPWR max ®
 ¯ TXPWR ref ± OBSSBPD level ± OBSSBPD min  LIOBSSBPD max t OBSSBPD level ! OBSSBPD min


 127(²(TXDWLRQ  LVHTXLYDOHQWWRWKHFRQGLWLRQGHILQHGLQ(TXDWLRQ  7KH67$FDQGHULYHOBSS_PDlevel
 IURPLWVWUDQVPLWSRZHURUFDQGHULYHTX_PWRmaxIURPOBSS_PDlevel

127( ²$Q\WLPH HYHQ LI TX_PWRmax LV XQFRQVWUDLQHG WKH 67$ KDV WR UHVSHFW WKH WUDQVPLW SRZHU UHVWULFWLRQV

GHILQHGLQ 7UDQVPLWSRZHUVHOHFWLRQ 




















































&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $QH[DPSOHRI2%663'65RSHUDWLRQLVVKRZQLQ)LJXUH ([DPSOHRI2%663'65RSHUDWLRQ 



 K^^ddžKW^ϭ


 K^^WWh
 /ŶƚĞƌͲ^^ŝŶƚĞƌͲ ^ϭͲϭ
 ^Z'^ϭ ddž
 Zdž
 K^^
 /ŶƚĞƌͲ^^ WWh
ϭͲ^ϭ
K^^ddžKW^ϭΖ
 ŝŶƚĞƌͲ^Z'ϭ
 K^^
 WWh^ϭΖͲ
 /ŶƚĞƌͲ^^/ŶƚƌĂͲ
^Z'^ϭΖ ddž ϭΖ


 K^^
 /ŶƚĞƌͲ^^/ŶƚƌĂͲ ddžKW^ϭΖ͛ WWh
 ^Z'ϭΖ ϭΖͲ^ϭΖ


 WWh
 ^ϭΖ͛ͲϭΖ͛
/ŶƚƌĂͲ^^^ϭΖ͛ ddž
 Zdž


/ŶƚƌĂͲ^^ϭΖ͛ K^^ddžKWϭΖ


 ^ZddžKW


^Z^Ϯ ddž WWh^ϮͲϮ
 Zdž K^^WWh
 K^^WWh^ϭͲϭ
ϭͲ^ϭ
WWhϭΖ͛Ͳ^ϭΖ͛ K^^WWh^ϭΖͲϭΖ

 /&^
/&^ͬK /&^ͬK
 ͬK

 K^^ͺW^ZƉŽǁĞƌƌĞƐƚƌŝĐƚŝŽŶƉĞƌŝŽĚϭǁŝƚŚdyͺWtZŵĂdžϭ



K^^ͺW^ZƉŽǁĞƌƌĞƐƚƌŝĐƚŝŽŶƉĞƌŝŽĚϯǁŝƚŚdyͺWtZŵĂdžϯ
 /ŶĚŝĐĂƚŝŽŶŽĨƉĞƌŝŽĚƐĚƵƌŝŶŐǁŚŝĐŚ^Ϯ
 ƉĞƌĨŽƌŵƐďĂĐŬŽĨĨĚĞĐƌĞŵĞŶƚ

^ϮŵĂdždyWtZŝƐĞƋƵĂůƚŽ
 ŵŝŶ;dyͺWtZŵĂdžϭ͕dyͺWtZŵĂdžϮ͕
 dyͺWtZŵĂdžϯͿĨŽƌƚŚŝƐWWh


 )LJXUH²([DPSOHRI2%663'65RSHUDWLRQ


 ,QWKLVH[DPSOH

 ² 67$656UHFHLYHVWKH33'8IURP6DQGLILWFODVVLILHVLWDVLQWHU%6633'8LJQRUHVLWXVLQJ
 2%66 3'EDVHG VSDWLDO UHXVH ZLWK QRQ65* 2%66 3' VWDUWV WKH 2%66 3' 65 WUDQVPLW SRZHU

 UHVWULFWLRQSHULRGZLWK7;B3:5PD[DQGGHFUHPHQWVLWVEDFNRIIFRXQWHUXQWLOWKHUHFHSWLRQRI
 WKH33'8IURP'

 ² ,ILWFODVVLILHVWKH33'8IURP'DVLQWHU%6633'8LWLJQRUHVLWLILWFKRRVHVWRGRVRXVLQJ2%66
 3'EDVHGVSDWLDOUHXVHZLWKQRQ65*2%663'VWDUWVWKH2%663'65WUDQVPLWSRZHUUHVWULFWLRQ 

 SHULRGZLWK7;B3:5PD[DQGGHFUHPHQWVLWVEDFNRIIFRXQWHUXQWLOWKHUHFHSWLRQRIWKH33'8 
 IURP6

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ² ,WGHIHUVGXULQJWKH7;236

VHWE\WKHLQWUD%6633'8IURP6

WKDWEHORQJVWRLWVRZQ%66$W
 WKHHQGRIWKH7;236

LWUHVXPHVLWVEDFNRIIGHFUHPHQWXQWLOWKHUHFHSWLRQRIWKH33'8IURP6


 ² ,ILWFODVVLILHVWKH33'8IURP6
DV65*33'8LWLJQRUHVLWLILWFKRRVHVWRGRVRXVLQJ2%663'
 EDVHGVSDWLDOUHXVHZLWK65*2%663'VWDUWVWKH2%663'65WUDQVPLWSRZHUUHVWULFWLRQSHULRG 


ZLWK7;B3:5PD[DQGGHFUHPHQWVLWVEDFNRIIFRXQWHUXQWLOLWUHDFKHV]HURDVLWGRHVQRWUHFHLYH
 WKH33'8IURP'


 ² ,WVWDUWVWUDQVPLWWLQJD33'8ZLWKD7;B3:5PD[HTXDOWRPLQ 7;B3:5PD[7;B3:5PD[
 7;B3:5PD[ DQGUHVSHFWWKLVWUDQVPLWSRZHUUHVWULFWLRQXQWLOWKHHQGRIWKH657;23


 2%663'EDVHGVSDWLDOUHXVHEDFNRIISURFHGXUH

 ,I DQ +( 67$ LJQRUHV DQ LQWHU%66 33'8 IROORZLQJ WKH SURFHGXUH LQ  *HQHUDO RSHUDWLRQ ZLWK



QRQ65* 2%66 3' OHYHO  WKH +( 67$ PD\ UHVXPH ('&$) SURFHGXUHV DIWHU WKH 3+<&&$5(
 6(7UHTXHVWSULPLWLYHLVVHQWSURYLGHGWKDWWKHPHGLXPFRQGLWLRQLVQRWRWKHUZLVHLQGLFDWHGDV%86<



365EDVHGVSDWLDOUHXVHRSHUDWLRQ

 *HQHUDO


 $Q+(67$VXSSRUWLQJ365EDVHG365733'8WUDQVPLVVLRQLQGLFDWHVWKLVE\VHWWLQJWKH365EDVHG65 
 6XSSRUW VXEILHOG WR  LQ WKH +( 3+< &DSDELOLWLHV ,QIRUPDWLRQ ILHOG RI WKH +( &DSDELOLWLHV HOHPHQW VHH
 7DEOHE 6XEILHOGV RI WKH +( 3+< &DSDELOLWLHV ,QIRUPDWLRQ ILHOG  $Q +(67$ VXSSRUWLQJ 365

 EDVHG 3657 33'8 UHFHSWLRQ LQGLFDWHV WKLV E\ VHWWLQJ WKH 365 5HVSRQGHU VXEILHOG WR  LQ WKH +( 0$& 
 &DSDELOLWLHV,QIRUPDWLRQILHOGRIWKH+(&DSDELOLWLHVHOHPHQW VHH7DEOHD 6XEILHOGVRIWKH+(0$& 
 &DSDELOLWLHV,QIRUPDWLRQILHOG 


 $Q+(67$VKDOOVHWWKH365EDVHG656XSSRUWILHOGWRLQWKH+(&DSDELOLWLHVHOHPHQWLWWUDQVPLWVLILW
 VXSSRUWVWUDQVPLWWLQJDQ365733'8XQGHUWKHFRQGLWLRQVVSHFLILHGLQWKLVVXEFODXVHRWKHUZLVHWKH67$
 VKDOOVHWWKH365EDVHG656XSSRUWILHOGWR


 67$VWKDWUHFHLYHD6SDWLDO5HXVH3DUDPHWHU6HWHOHPHQWIURPWKHLUDVVRFLDWHG$3WKDWKDVDYDOXHRILQ

 WKH365'LVDOORZHGVXEILHOGVKDOOQRWSHUIRUP365EDVHG65WUDQVPLVVLRQV


 $Q365RSSRUWXQLW\LVLGHQWLILHGIURPWKHYDOXHRIWKH5;9(&725SDUDPHWHU63$7,$/B5(86(RIDQ+( 
 7%33'8DQGRUWKHFRQWHQWVRID7ULJJHUIUDPH$Q+(67$PD\LQLWLDWHDQ65WUDQVPLVVLRQGXULQJDQ 
 365RSSRUWXQLW\IRUWKHGXUDWLRQRIDQRQJRLQJ33'8ZKHQFHUWDLQFRQGLWLRQVGHVLJQHGWRDYRLGLQWHUIHU


LQJZLWKWKHUHFHSWLRQRIWKHRQJRLQJ33'8DWWKHUHFLSLHQWDUHPHW,IWKH5;9(&725SDUDPHWHU63$
 7,$/B5(86( RI WKH RQJRLQJ 33'8 KDV WKH YDOXH 365B',6$//2: RU
 365B$1'B121B65*B2%66B3'B352+,%,7('QR365EDVHG65WUDQVPLVVLRQLVDOORZHGIRUWKHGXUD
 WLRQRIWKDW33'8


 $Q$3VHQGLQJD7ULJJHUIUDPHPD\VHWWKH6SDWLDO5HXVHnILHOG V LQWKH8/6SDWLDO5HXVHVXEILHOGLQWKH
 &RPPRQ,QIRILHOGRIWKH7ULJJHUIUDPHWR365B',6$//2:RULISHUPLWWHGE\WKHUXOHVLQ 63$
 7,$/B5(86( WR365B$1'B121B65*B2%66B3'B352+,%,7('WRGLVDOORZ2%6667$VIURPSHU

IRUPLQJ365EDVHG65WUDQVPLVVLRQGXULQJWKHHQVXLQJXSOLQN33'8GXUDWLRQ$Q$3VHQGLQJD7ULJJHU

 IUDPHVKDOOQRWVHWWKH65ILHOGLQWKH&RPPRQ,QIRILHOGRIWKH7ULJJHUIUDPHWR65B'(/$<('RU65B5(
 675,&7('


 $Q+(67$VKDOOVHWWKH655HVSRQGHUVXEILHOGRIWKH+(&DSDELOLWLHVHOHPHQWLWWUDQVPLWVWRLIGRW65
 5HVSRQGHU2SWLRQ,PSOHPHQWHGLVWUXHRWKHUZLVHWKH+(67$VKDOOVHWWKH655HVSRQGHUVXEILHOGWR

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 365EDVHGVSDWLDOUHXVHLQLWLDWLRQ


$Q+(67$LGHQWLILHVDQ365RSSRUWXQLW\LIWKHIROORZLQJWZRFRQGLWLRQVDUHPHW

  7KH67$UHFHLYHVD3+<5;67$57LQGLFDWLRQFRUUHVSRQGLQJWRWKHUHFHSWLRQRID365533'8 
 WKDWLVLGHQWLILHGDVDQLQWHU%6633'8 VHH ,QWUD%66DQGLQWHU%6633'8FODVVLILFDWLRQ

  $Q365733'8LVTXHXHGIRUWUDQVPLVVLRQDQGWKHLQWHQGHGWUDQVPLWSRZHURIWKH365733'8
 DIWHUQRUPDOL]DWLRQWR0+]EDQGZLGWK LHWKHWUDQVPLWSRZHULQG%PPLQXVWKHYDOXHLQG%RI
 WKHLQWHQGHGWUDQVPLWEDQGZLGWKGLYLGHGE\0+] LVEHORZWKHYDOXHRI365PLQXV53/ZKHUH
 365LV WKH YDOXHREWDLQHG IURP7DEOH 6SDWLDO5HXVH ILHOG HQFRGLQJ IRU DQ +(7% 33'8 

 EDVHGRQDWOHDVWRQHRI
 D 7KHYDOXHRIWKH8/6SDWLDO5HXVHILHOGLQWKH&RPPRQ,QIRILHOGRIWKH7ULJJHUIUDPHRIWKH
 365533'8

 E 7KHYDOXHRIWKH5;9(&725SDUDPHWHU6SDWLDO5HXVHRIWKH+(7%33'8WKDWIROORZVWKH
 365533'8


7KHYDOXHRI53/LVHTXDOWRWKH566,DWWKHDQWHQQDFRQQHFWRU V RYHUWKH365533'8EDQGZLGWKGXULQJ

 WKHQRQ+(SRUWLRQRIWKH+(33'8SUHDPEOHRIWKHWULJJHULQJ33'8DYHUDJHGRYHUDOODQWHQQDVXVHGWR 
 UHFHLYHWKH33'8

 $Q+(67$WKDWLGHQWLILHVDQ365RSSRUWXQLW\PD\FKRRVHQRWWRSHUIRUP1$9XSGDWHRSHUDWLRQVQRUPDOO\ 

H[HFXWHG EDVHG RQ WKH UHFHLSW RI WKH 5;9(&725 SDUDPHWHU 7;23B'85$7,21 DQG WKH 7ULJJHU IUDPH

 'XUDWLRQ ILHOG 6HH )LJXUH 3655 33'8 VSDWLDO UHXVH  $ 67$ WKDW LGHQWLILHV DQ 365 RSSRUWXQLW\

 PD\LVVXHD3+<&&$5(6(7UHTXHVWWRLJQRUHWKHDVVRFLDWHG+(7%33'8 V WKDWDUHWULJJHUHGE\WKH
 7ULJJHUIUDPHRIWKH365533'8DQGWKDWRFFXUVZLWKLQD6,)67LPHD5[3+<6WDUW'HOD\îD6ORW7LPH
 RIWKHHQGRIWKHODVWV\PERORQWKHDLURIWKH33'8WKDWFRQWDLQHGWKH7ULJJHUIUDPHSURYLGHGWKDWWKHYDOXH

RI WKH 5;9(&725 SDUDPHWHU %66B&2/25 RI WKH +( 7% 33'8 PDWFKHV WKH %66 FRORU RI WKH 3655 

 33'8$67$WKDWLGHQWLILHVDQ365RSSRUWXQLW\VKDOOQRWWUDQVPLWDQ365733'8WKDWWHUPLQDWHVEH\RQG 
 WKH33'8GXUDWLRQRIWKH+(7%33'8WKDWLVWULJJHUHGE\WKH7ULJJHUIUDPHRIWKH365533'8



 'XUDWLRQIURP&RPPRQ,QIRILHOG

 365533'8


 +(7%33'8



 365733'8

 W,zͲZ^d͘ƌĞƋƵĞƐƚ
 %ORFN$FN


 )LJXUH²365533'8VSDWLDOUHXVH

 365EDVHGVSDWLDOUHXVHEDFNRIISURFHGXUH


 ,IDQ+(67$LGHQWLILHVDQ365RSSRUWXQLW\DVDOORZHGLQ 365EDVHGVSDWLDOUHXVHLQLWLDWLRQ WKH
 +(67$PD\FRQWLQXHWKHFRXQWGRZQRIDQH[LVWLQJEDFNRIISURFHGXUHSURYLGHGWKDWWKHPHGLXPFRQGLWLRQ 
 LVQRWRWKHUZLVHLQGLFDWHGDV%86<,IWKH+(67$UHFHLYHVDQRWKHU33'8GXULQJWKHEDFNRIISURFHGXUHLW

VKDOOVXVSHQGLWVEDFNRIIDQGVXEVHTXHQWO\LIDQ365RSSRUWXQLW\LVLGHQWLILHGEDVHGRQWKHLGHQWLILFDWLRQRI

 WKHQHZ33'8DVDQ365533'8WKHQWKH67$PD\UHVXPHLWVEDFNRIISURFHGXUH7KH7;23WKDWWKH+( 
 67$JDLQVRQFHLWVEDFNRIIUHDFKHV]HURVKDOOQRWH[WHQGEH\RQGWKH365RSSRUWXQLW\HQGSRLQWWKDWLVWKH

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 HDUOLHVWHQGLQJRIDOORIWKHGXUDWLRQVRIDOORIWKH365533'8VWKDWZHUHXVHGWRFRQILUPWKH365RSSRUWX
 QLW\DQGDOORIWKHGXUDWLRQVLQGLFDWHGLQWKH&RPPRQ,QIRILHOGVRI7ULJJHUIUDPHVZLWKLQDOO365533'8V

WKDWZHUHXVHGWRFRQILUPWKH365RSSRUWXQLW\


 ,IWKH+(67$LVHPSOR\LQJOBSS_PDlevelDVDWKUHVKROGIRUGHWHUPLQDWLRQRIDQ,'/(PHGLXPFRQGLWLRQ
 SULRUWRWKHUHFHSWLRQRIDQ365533'8SHUWKHUXOHVVSHFLILHGLQ 2%663'EDVHGVSDWLDOUHXVH
 RSHUDWLRQ WKHLQWHQGHGWUDQVPLWSRZHURIWKHQH[W365733'8LQWKHWUDQVPLVVLRQTXHXHDVPHDVXUHGDW

 WKHRXWSXWRIWKHDQWHQQDFRQQHFWRUVKDOOEHHTXDOWRRUORZHUWKDQWKHTX_PWRmaxFDOFXODWHGZLWKWKLVVSH
 FLILFOBSS_PDlevelXVLQJ(TXDWLRQ  

 $IWHU D 67$ KDV LGHQWLILHG WKH VWDUW RI DQ 365 RSSRUWXQLW\ DQG XQWLO WKH 365 RSSRUWXQLW\ HQGSRLQW LV
 UHDFKHGWKHWUDQVPLVVLRQRIDQ\33'8E\WKH67$VKDOOEHOLPLWHGE\WKHWUDQVPLWSRZHUUHVWULFWLRQVLGHQ

 WLILHGLQ 365EDVHGVSDWLDOUHXVHRSHUDWLRQ 

 8/6SDWLDO5HXVHVXEILHOGRI7ULJJHUIUDPH


 $Q$3ZLWKGRW+(3652SWLRQ,PSOHPHQWHGVHWWRWUXHWKDWWUDQVPLWVD7ULJJHUIUDPHPD\GHWHUPLQHWKH
 YDOXHRIWKH8/6SDWLDO5HXVHVXEILHOGRIWKH&RPPRQ,QIRILHOGRIWKH7ULJJHUIUDPHLQHDFK0+]EDQG
 ZLGWKIRU0+]0+]0+]33'8RULQHDFK0+]EDQGZLGWKIRURU0+]33'8E\
 VHOHFWLQJWKHURZLQ7DEOH 6SDWLDO5HXVHILHOGHQFRGLQJIRUDQ+(7%33'8 WKDWKDVDQXPHULFDO
 YDOXHLQWKHFROXPQODEHOHG0HDQLQJWKDWLVWKHKLJKHVWYDOXHWKDWLVHTXDOWRRUEHORZWKHYDOXHRIWKH

 FRPSXWHG0$&SDUDPHWHU365B,1387DVIROORZV

 365B,1387 TX_PWRAP$FFHSWDEOH5HFHLYHU,QWHUIHUHQFH/HYHO$3 


 ZKHUH
 TX_PWRAPLVWKHWRWDOSRZHUDWWKHDQWHQQDFRQQHFWRU V LQG%PSHU0+]EDQGZLGWKRYHUDOODQWHQ
 QDVXVHGWRWUDQVPLWWKH365533'8FRQWDLQLQJWKH7ULJJHUIUDPHIRUHDFK0+]WUDQVPLW
 EDQGZLGWKIRU0+]0+]DQG0+]33'8RULQHDFKRIWKH0+]WUDQVPLWEDQG

 ZLGWKVIRUDQ0+]RU0+]33'8
 $FFHSWDEOH5HFHLYHU,QWHUIHUHQFH/HYHO$3LVDYDOXHLQG%PQRUPDOL]HGWR D 0+]EDQGZLGWK LH
 PLQXV WUDQVPLW EDQGZLGWK GLYLGHG E\ 0+] EDQGZLGWK LQ G%  IRU HDFK 0+] WUDQVPLW


EDQGZLGWKIRU0+]0+]DQG0+]33'8RULQHDFKRIWKH0+]WUDQVPLWEDQG
 ZLGWKVIRUDQ0+]RU0+]33'8DQGVKRXOGEHVHWWRYDOXHRIWKH8/WDUJHW566,
 LQGLFDWHGLQWKH7ULJJHUIUDPHPLQXVWKHPLQLPXP615YDOXHWKDW\LHOGV”3(5IRUWKH
 KLJKHVW +(0&6 RI WKH HQVXLQJ XSOLQN +( 7% 33'8 PLQXV D VDIHW\ PDUJLQ YDOXH QRW WR

 H[FHHGG%DVGHWHUPLQHGE\WKH$3


 $Q$3ZLWKGRW+(3652SWLRQ,PSOHPHQWHGVHWWRWUXHWKDWWUDQVPLWVD7ULJJHUIUDPHPD\VHWWKHYDOXHRI
 WKH8/6SDWLDO5HXVHVXEILHOGYDOXHRIWKH&RPPRQ,QIRILHOGRIWKH7ULJJHUIUDPHLQHDFK0+]EDQG
 ZLGWKIRU0+]0+]0+]33'8RULQHDFK0+]EDQGZLGWKIRURU0+]33'8WR 
 365B',6$//2:


 $Q$3ZLWKGRW+(3652SWLRQ,PSOHPHQWHGVHWWRIDOVHWKDWWUDQVPLWVD7ULJJHUIUDPHVKDOOVHWWKHYDOXH
 RIWKH8/6SDWLDO5HXVHVXEILHOGYDOXHRIWKH&RPPRQ,QIRILHOGRIWKH7ULJJHUIUDPHLQHDFK0+]EDQG
 ZLGWKIRU0+]0+]0+]33'8RULQHDFK0+]EDQGZLGWKIRURU0+]33'8WR 

365B',6$//2:


 365733'8WUDQVPLVVLRQUHTXLUHPHQWV


$Q+(67$WKDWLGHQWLILHVDQ365RSSRUWXQLW\VKDOOQRWWUDQVPLWDIUDPHGXULQJWKH365RSSRUWXQLW\WKDW

 HOLFLWVDUHVSRQVHWUDQVPLVVLRQIURPD67$IURPZKLFKLWKDVQRWUHFHLYHGDQ+(&DSDELOLWLHVHOHPHQWZLWK

 WKH3655HVSRQGHUVXEILHOGHTXDOWR$Q+(67$WKDWLGHQWLILHVDQ365RSSRUWXQLW\VKDOOQRWWUDQVPLWD

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 IUDPHWKDWGRHVQRWLQFOXGHD&$6&RQWUROVXEILHOGZLWKWKH365733'8VXEILHOGVHWWRDQGWKDWVROLFLWVD
 UHVSRQVHWUDQVPLVVLRQGXULQJWKDW365RSSRUWXQLW\


 365733'8UHFHSWLRQDQGUHVSRQVHWUDQVPLVVLRQUHTXLUHPHQWV

 $Q +(67$ WKDW UHFHLYHVD 33'8 WKDWFRQWDLQVDW OHDVW RQH IUDPH ZLWKD &$6&RQWURO VXEILHOGZLWK DQ
 365733'8VXEILHOGHTXDOWRVKDOOQRWWUDQVPLWDUHVSRQVH33'8HOLFLWHGE\WKHUHFHLYHG33'8LIDOORXW

VWDQGLQJ365DQG2%663'WUDQVPLWSRZHUUHTXLUHPHQWVDUHQRWPHWE\WKHUHVSRQVHWUDQVPLVVLRQ


 ,QWHUDFWLRQRI2%663'DQG365EDVHGVSDWLDOUHXVH

 $Q+(67$ZLWKGRW+(3652SWLRQ,PSOHPHQWHGVHWWRWUXHWKDWUHFHLYHVD33'8WKDWLVLGHQWLILHGDVDQ



LQWHU%6633'8ZLWKDYDOXHRWKHUWKDQ365B',6$//2:RU365B$1'B121B65*B2%66B3'B352
 +,%,7('IRUWKH5;9(&725SDUDPHWHU63$7,$/B5(86(DQGIDLOVWRLGHQWLI\DQ365RSSRUWXQLW\EDVHG
 RQWKHUHFHLSWRIWKH33'8VKDOOGLVDEOH2%663'65RSHUDWLRQRQWKLV33'8

 $Q+(67$ZLWKGRW+(3652SWLRQ,PSOHPHQWHGVHWWRWUXHWKDWUHFHLYHVD33'8WKDWLVLGHQWLILHGDVDQ


LQWHU%66 33'8 ZLWK D YDOXH RWKHU WKDQ 365B',6$//2: 65B'(/$<(' RU 365B$1'B121B6
 5*B2%66B3'B352+,%,7(' IRUWKH 5;9(&725 SDUDPHWHU 63$7,$/B5(86( DQG LGHQWLILHV DQ 365 
 RSSRUWXQLW\EDVHGRQWKHUHFHLSWRIWKH33'8PD\GLVDEOH2%663'65RSHUDWLRQRQWKLV33'8

 $Q+(67$ZLWKGRW+(3652SWLRQ,PSOHPHQWHGVHWWRWUXHWKDWUHFHLYHVD33'8WKDWLVLGHQWLILHGDVDQ 


LQWHU%6633'8ZLWKDYDOXHRWKHUWKDQ365B',6$//2:RU365B$1'B121B65*B2%66B3'B352
 +,%,7('LQ WKH &RPPRQ,QIR)LHOG63$7,$/B5(86(RI D 7ULJJHUIUDPH DQG IDLOVWRLGHQWLI\DQ 365

 RSSRUWXQLW\EDVHGRQWKHUHFHLSWRIWKH33'8VKDOOGLVDEOH2%663'65RSHUDWLRQRQWKH+(7%33'8WKDW
 LVHOLFLWHGE\WKH7ULJJHUIUDPH



$Q+(67$ZLWKGRW+(3652SWLRQ,PSOHPHQWHGVHWWRWUXHWKDWUHFHLYHVD33'8WKDWLVLGHQWLILHGDVDQ 
 LQWHU%6633'8ZLWKDYDOXHRWKHUWKDQ365B',6$//2:LQWKH&RPPRQ,QIR)LHOG63$7,$/B5(86( 
 RID7ULJJHUIUDPHDQGLGHQWLILHVDQ365RSSRUWXQLW\EDVHGRQWKHUHFHLSWRIWKH33'8PD\GLVDEOH2%66

 3'65RSHUDWLRQRQWKH'DWDILHOGRIWKH+(7%33'8WKDWLVHOLFLWHGE\WKH7ULJJHUIUDPH


 6HWWLQJ7;9(&725SDUDPHWHUVIRUDQ+(33'8


 67$B,'

 (DFKSDUDPHWHU67$B,'LQWKH7;9(&725LGHQWLILHVWKH67$RUJURXSRI67$VWKDWLVWKHUHFLSLHQWRIDQ 
 58LQWKH+(0833'8WUDQVPLWWHGZLWKWKH7;9(&725SDUDPHWHU83/,1.B)/$*VHWWR$QLQGLYLG

XDOO\DGGUHVVHG58LVDQ58DGGUHVVHGWRHLWKHUDQDVVRFLDWHGQRQ$367$RUD7'/6SHHU67$DQGWKH

 SDUDPHWHU67$B,'IRUWKDW58LVVHWWRWKH/6%VRIWKH$,'RIWKH67$UHFHLYLQJWKH36'8FRQWDLQHGLQ 
 WKDW58,IDQ58LVLQWHQGHGIRURQHRUPRUHXQDVVRFLDWHGQRQ$367$VWKHQWKHSDUDPHWHU67$B,'IRU
 WKDW58LVVHWWR,IDQ58LVLQWHQGHGIRUQRXVHUWKHQWKHSDUDPHWHU67$B,'IRUWKDW58LVVHWWR
  ,I DQ 58 LV LQWHQGHG IRU DQ $3 LH WKH 7;9(&725 SDUDPHWHU 83/,1.B)/$* LV   WKHQ WKH

SDUDPHWHU67$B,' FRQWDLQVRQO\ RQH HOHPHQW WKDWLV VHWWR WKH  /6%V RI WKH $,'RI WKH QRQ$367$


 WUDQVPLWWLQJWKH33'8,IDQ58LVLQWHQGHGIRUPXOWLSOH67$VIRU080,02WKHQPXOWLSOH67$VLGHQWL
 ILHGE\67$,'VLQWKHSDUDPHWHU67$B,'VZLOOXVHWKHVDPHUHVRXUFHXQLW VHH 8/08RSHUDWLRQ 
 ,IDQ58LVLQWHQGHGIRUPXOWLSOHDVVRFLDWHG67$VDQGFDUULHVDVLQJOH$03'8WKHQWKHSDUDPHWHU67$B,' 
 LVVHWDVIROORZV

 ² )RUDQ$3ZLWKGRW0XOWL%66,',PSOHPHQWHGHTXDOWRIDOVHLIWKH58LVLQWHQGHGIRUPRUHWKDQ 
 RQHDVVRFLDWHG67$LQWKH%66WKDWLVQRWDUHFLSLHQWRIDQLQGLYLGXDOO\DGGUHVVHG58WKHSDUDPHWHU
 67$B,'LVVHWWR

 ² )RUDQ$3ZLWKGRW0XOWL%66,',PSOHPHQWHGHTXDOWRWUXHLIWKH58LVLQWHQGHGIRUPRUHWKDQRQH
 DVVRFLDWHG67$LQDQ\RILWV%66VWKDWLVQRWDUHFLSLHQWRIDQLQGLYLGXDOO\DGGUHVVHG58WKHSDUDP

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 HWHU67$B,'LVVHWWRIRUWUDQVPLWWHG%66,'RUWRWKHYDOXHRIWKH%66,',QGH[ILHOGFRUUHVSRQG
 LQJWRWKDW%66 VHH 0XOWLSOH%66,',QGH[HOHPHQW IRUDQRQWUDQVPLWWHG%66,'7KH

QXPEHURIVXFKHOHPHQWVVKDOOQRWH[FHHGWKHPD[LPXPQXPEHURI%66VRIWKHPXOWLSOH%66,'VHW

 ² )RUDQ$3ZLWKGRW0XOWL%66,',PSOHPHQWHGHTXDOWRWUXHLIWKH58LVLQWHQGHGIRUPRUHWKDQRQH
 DVVRFLDWHG67$RQDQ\RILWV%66VWKHSDUDPHWHU67$B,'LVVHWWR


 7KHSDUDPHWHU67$B,'YDOXHVEHWZHHQDQGDUHUHVHUYHG

 $QRQ$367$VKDOOQRWWUDQVPLWDQ+(0833'8ZKHUHWKH7;9(&725SDUDPHWHU67$B,'LQFOXGHV
 PRUHWKDQRQHHQWU\LQWKHUDQJHWR


 83/,1.B)/$*

 $Q +( 67$ WUDQVPLWWLQJ DQ +( 68 33'8 +( (5 68 33'8 RU +( 08 33'8 VHWV WKH 7;9(&725



SDUDPHWHU83/,1.B)/$*DVIROORZV
 ² $ 67$ WUDQVPLWWLQJ DQ +( 33'8 FRQWDLQLQJ IUDPHV WKDW DUH DGGUHVVHG WR DQ $3 VKDOO VHW WKH
 7;9(&725SDUDPHWHU83/,1.B)/$*WRXQOHVVWKH+(33'8LVDQ+((56833'8ZLWKWKH

7;9(&725 SDUDPHWHU 7;23B'85$7,21 VHW WR 8163(&,),(' DQG FRQWDLQV DQ 576 RU &76 

 IUDPHLQZKLFKFDVHWKH67$PD\VHWWKH7;9(&725SDUDPHWHU83/,1.B)/$*WR
 ² 2WKHUZLVHWKH+(67$VKDOOVHWWKH7;9(&725SDUDPHWHU83/,1.B)/$*WR


 %($0B&+$1*(

 $Q+(67$XVHVWKH7;9(&725SDUDPHWHU%($0B&+$1*(WRLQGLFDWHDFKDQJHLQWKHVSDWLDOPDSSLQJ 
 RIWKHSUH+(67)SRUWLRQRIWKH33'8DQGWKHILUVWV\PERORI+(/7) VHH7DEOH 7;9(&725DQG

 5;9(&725SDUDPHWHUV 

 $Q+(67$WKDWWUDQVPLWVDQ+(6833'8RUDQ+((56833'8VKDOOVHWWKH7;9(&725SDUDPHWHU
 %($0B&+$1*(WRLIRQHRUPRUHRIWKHIROORZLQJFRQGLWLRQVDUHPHW

 ² 7KHQXPEHURIVSDWLDOVWUHDPVLVJUHDWHUWKDQ
 ² 7KH33'8LVWKHILUVW33'8LQD7;23

 ² 7KH33'8FDUULHVD7ULJJHUIUDPH

 %66B&2/25


 $Q +( 67$ WKDW WUDQVPLWV +( 2SHUDWLRQ HOHPHQW VKDOO VHOHFW DQG DGYHUWLVH D %66 FRORU DV GHVFULEHG LQ

  %66FRORU 


 $Q+(67$WKDWWUDQVPLWWHGDQ+(2SHUDWLRQHOHPHQWVKDOOVHWWKH7;9(&725SDUDPHWHU%66B&2/25

 DVIROORZV
 ² )RUDQ+(6833'8+((56833'8RU'/+(0833'8WKHSDUDPHWHU%66B&2/25LVVHWWR 

 WKHYDOXHLQGLFDWHGLQWKH%66&RORUVXEILHOGRIWKH+(2SHUDWLRQHOHPHQWLIDOOWKHUHFLSLHQW67$V
 DUHPHPEHUVRIWKH+(67$¶V+(%66RUWKH33'8FDUULHVDWOHDVWRQHWULJJHULQJIUDPH
 ² )RUDQ+(6833'8+((56833'8RU'/+(0833'8WKHSDUDPHWHU%66B&2/25LVVHWWR 


LIWKH+(67$H[SHFWVWKDWDWOHDVWRQHLQWHQGHGUHFLSLHQW67$LVQRWDPHPEHURIWKH+(67$¶V
 +(%66DQGWKH33'8GRHVQRWFDUU\DWULJJHULQJIUDPH

 $QRQ$3+(67$WKDWWUDQVPLWVDQ+(6833'8RU+((56833'8WRD67$WKDWLVQRWDPHPEHURI
 WKHWUDQVPLWWLQJ67$¶V+(%66VKDOOVHWWKH7;9(&725SDUDPHWHU%66B&2/25WR


 7KHDFWLYH%66FRORULVRQHRIWKHIROORZLQJ

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ² 7KHYDOXHRIWKH%66&RORUILHOGLQWKHPRVWUHFHQWO\UHFHLYHG+(2SHUDWLRQHOHPHQWLIDQ+(67$

 UHFHLYHVDQ+(2SHUDWLRQHOHPHQWIURPDSHHU+(67$

 ² 7KHYDOXHRIWKH1HZ%66&RORUILHOGLQWKHPRVWUHFHQWO\UHFHLYHG%66&RORU&KDQJH$QQRXQFH
 PHQWHOHPHQWLIDQ+(67$UHFHLYHVD%66&RORU&KDQJH$QQRXQFHPHQWHOHPHQWIURPDSHHU+( 
 67$DQGWKH%66FRORUFKDQJH7%77KDVSDVVHG VHH 6HOHFWLQJDQGDGYHUWLVLQJDQHZ

 %66FRORU 


 $Q+(67$VKDOOVHWWKH7;9(&725SDUDPHWHU%66B&2/25IRUDQ+(6833'8+((56833'8RU
 8/+(0833'8WKDWLVDGGUHVVHGWRDSHHU67$WRWKHDFWLYH%66FRORUYDOXHLIWKH+(67$KDVHVWDE
 OLVKHGDQ\RIWKHIROORZLQJ

 ² $QDVVRFLDWLRQZLWKWKHSHHU67$
 ² $7'/6OLQNZLWKWKHSHHU67$

 ² $Q,%66PHPEHUVKLSZLWKWKHSHHU67$

 127(²$QRQ$3+(67$VHWVWKH7;9(&725SDUDPHWHU%66B&2/25IRUDQ+(7%33'8WRWKHDFWLYHFRORU
 VHH 1RQ$367$EHKDYLRUIRU8/08RSHUDWLRQ 
 127(²$Q+(PHVK67$VHWVWKH7;9(&725SDUDPHWHU%66B&2/25IRUDQ+(33'8WKDWLWWUDQVPLWVWRDSHHU
 +(PHVK67$WRWKHYDOXHLQWKH%66&RORUVXEILHOGRILWVWUDQVPLWWHG+(2SHUDWLRQHOHPHQW


 $Q+(67$WKDWUHFHLYHVDQ+(33'8ZLWK5;9(&725SDUDPHWHU%66B&2/25ZLWKDYDOXHEHWZHHQ

 DQGIROORZVWKHVSDWLDOUHXVHUXOHGHVFULEHGLQ 6SDWLDOUHXVHRSHUDWLRQ 

 127(²$Q+(67$WKDWUHFHLYHGDQ+(33'8ZLWKWKH5;9(&725SDUDPHWHU%66B&2/25HTXDOWRGRHVQRWIRO
 ORZWKHVSDWLDOUHXVHUXOHGHVFULEHGLQ 6SDWLDOUHXVHRSHUDWLRQ 

 $Q+(67$WKDWUHFHLYHGDQ+(6833'8+((56833'8RU+(0833'8ZLWKWKH5;9(&725

 SDUDPHWHU%66B&2/25HTXDOWRVKDOOQRWGLVFDUGWKH+(33'8


 :KLOHWKH%66&RORU'LVDEOHGVXEILHOGLVDQ+(67$VKDOOFRQWLQXHWRDGYHUWLVHDQRQ]HURYDOXH VDPHDV
 EHIRUHWKHFRORUZDVGLVDEOHG LQWKH%66&RORUVXEILHOGRI+(2SHUDWLRQHOHPHQWDQGLQWKH7;9(&725 
 SDUDPHWHU%66B&2/25RIDQ+(33'8WKDWLWWUDQVPLWV

 127(²$QRQ$3+(67$VHWVWKH7;9(&725SDUDPHWHU%66B&2/25RIDQ+(33'8WKDWLWWUDQVPLWVWRWKHYDOXH
 DGYHUWLVHGE\WKH$3LWLQWHQGVWRFRPPXQLFDWHZLWKHYHQLIWKH$3KDVWHPSRUDULO\GLVDEOHG%66FRORU

 ,IWKHYDOXHRI7;9(&725SDUDPHWHU3$57,$/B$,'>@IRU9+733'8VWUDQVPLWWHGIURPDQ+($3WR 
 DOODVVRFLDWHG9+7DQG+(67$VZLWKWKH7;9(&725SDUDPHWHU*5283B,'HTXDOWRZRXOGQRWEH

 FRQVLVWHQWZLWKWKHSDUWLDO%66FRORU LHBCB  GHVFULEHGLQ $,'DVVLJQPHQW DQQRXQFHGE\
 WKH+($3WKHQWKH+($3VKDOOVHWWKH3DUWLDO%66&RORUILHOGLQWKH+(2SHUDWLRQHOHPHQWWR2WKHU
 ZLVHWKH+($3PD\VHWWKH3DUWLDO%66&RORUVXEILHOGLQWKH+(2SHUDWLRQHOHPHQWWR VHH $,'

 DVVLJQPHQW 


 7;23B'85$7,21

 7KH7;9(&725SDUDPHWHU7;23B'85$7,21RIDQ+(33'8LQGLFDWHVGXUDWLRQLQIRUPDWLRQIRU1$9 
 VHWWLQJDQGSURWHFWLRQRIWKH7;23H[FHSWWKDWWKH7;9(&725SDUDPHWHU7;23B'85$7,21LVVHWWR


 8163(&,),('WRLQGLFDWHQRGXUDWLRQLQIRUPDWLRQ
 127(²7KHYDOXHRI7;9(&725SDUDPHWHU7;23B'85$7,21LVFRQYHUWHGWRDQLQGLFDWLRQLQWKH7;23ILHOGRI
 +(6,*$DVGHVFULEHGLQ7DEOH +(6,*$ILHOGRIDQ+(6833'8DQG+((56833'8 7DEOH +(
 6,*$ILHOGRIDQ+(0833'8 DQG7DEOH +(6,*$ILHOGRIDQ+(7%33'8 7KHLQGLFDWLRQLQWKH7;23 
 ILHOG RI +(6,*$ LV FRQYHUWHG WR WKH 5;9(&725 SDUDPHWHU 7;23B'85$7,21 DV GHVFULEHG LQ 7DEOH
 7;9(&725DQG5;9(&725SDUDPHWHUV 


 $67$WKDWLVQRWD7;23UHVSRQGHUDQGWKDWWUDQVPLWVDQ+(6833'8+((56833'8RU+(08

 33'8PD\VHWWKH7;9(&725SDUDPHWHU7;23B'85$7,21WR8163(&,),('

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $67$WKDWWUDQVPLWVDQ+(6833'8+((56833'8RU+(0833'8WKDWFDUULHVD363ROOIUDPH
 VKDOOVHWWKH7;9(&725SDUDPHWHU7;23B'85$7,21WR8163(&,),('


 $67$WKDWLVD7;23UHVSRQGHUWKDWWUDQVPLWVDQ+(6833'8+((56833'8RU+(7%33'8VKDOO
 VHW WKH 7;9(&725 SDUDPHWHU 7;23B'85$7,21 WR 8163(&,),(' LI WKH 5;9(&725 SDUDPHWHU
 7;23B'85$7,21RIWKHVROLFLWLQJ33'8LV8163(&,),('


$Q+($3WKDWKDVVHWWKH%66&RORU'LVDEOHGILHOGLQWKH+(2SHUDWLRQHOHPHQWWRVKDOOVHWWKH7;9(&

 725SDUDPHWHU7;23B'85$7,21WR8163(&,),('IRUDQ+(33'8WKDWLWWUDQVPLWVWRQRQ$367$V
 DVVRFLDWHGWRLW

 ,IWKH%66&RORU'LVDEOHGILHOGLVLQWKH+(2SHUDWLRQHOHPHQWPRVWUHFHQWO\UHFHLYHGIURPDQ$3E\D

QRQ$3 67$ WKHQ WKH QRQ$3 67$ VKRXOG VHW WKH 7;9(&725 SDUDPHWHU 7;23B'85$7,21 WR

 8163(&,),('IRUDQ+(33'8WKDWLVQRWDQ+(7%33'8VHQWWRWKDW$3

 $ 67$ WKDW WUDQVPLWV DQ +( 7% 33'8 VKDOO QRW VHW WKH 7;9(&725 SDUDPHWHU 7;23B'85$7,21 WR

 8163(&,),('LIDQ\RQHRIWKHIROORZLQJFRQGLWLRQLVPHW

 ² 7KH5;9(&725SDUDPHWHU7;23B'85$7,21RIWKHVROLFLWLQJ33'8LVQRW8163(&,),('
 ² 7KHVROLFLWLQJ33'8LVQRWDQ+(33'8


 $67$WKDWWUDQVPLWVDIUDPHZLWKD'XUDWLRQILHOGLQDQ+(33'8ZLWKWKH7;9(&725SDUDPHWHU7;2
 3B'85$7,21QRWVHWWR8163(&,),('VKDOOVHWWKH7;9(&725SDUDPHWHU7;23B'85$7,21WRWKH
 GXUDWLRQLQIRUPDWLRQLQGLFDWHGE\WKH'XUDWLRQILHOGLIWKHYDOXHRIWKH'XUDWLRQILHOGLVVPDOOHUWKDQ
 2WKHUZLVHWKH67$VKDOOVHWWKH7;9(&725SDUDPHWHU7;23B'85$7,21WR

 127(²)RUD7;23UHVSRQGHUWKH'XUDWLRQILHOGLQDIUDPHFDUULHGLQDUHVSRQVH33'8LVVHWEDVHGRQWKH'XUDWLRQ 
 ILHOGLQDIUDPHFDUULHGLQWKHVROLFLWLQJ33'8DVGHVFULEHGLQ 6HWWLQJIRUFRQWUROUHVSRQVHIUDPHV RU

 6HWWLQJIRURWKHUUHVSRQVHIUDPHV 

 ,ID67$WUDQVPLWVHLWKHUDQ+(7%IHHGEDFN1'3RUDQ+(7%33'8FDUU\LQJD363ROOIUDPHZLWKWKH

7;9(&725SDUDPHWHU7;23B'85$7,21QRWVHWWR8163(&,),('LWVKDOOFDOFXODWHWKHGXUDWLRQLQIRU

 PDWLRQDQGVHWWKH7;9(&725SDUDPHWHU7;23B'85$7,21IRUWKH+(7%IHHGEDFN1'3RU+(7% 
 33'8 WR WKH YDOXH RI WKH FRPSXWHG GXUDWLRQ LQIRUPDWLRQ 7KH 7;23 UHVSRQGHU VKDOO FDOFXODWH GXUDWLRQ
 LQIRUPDWLRQHTXDOWRWKHGXUDWLRQLQIRUPDWLRQLQGLFDWHGE\WKH'XUDWLRQILHOGRIWKHIUDPHWKDWVROLFLWVWKH
 UHVSRQVHPLQXVWKHWLPHLQPLFURVHFRQGVEHWZHHQWKHHQGRIWKH33'8FDUU\LQJWKHIUDPHWKDWVROLFLWLQJ 

WKH+(7%33'8DQGWKHHQGRIWKH+(7%33'8,IWKHFDOFXODWHGGXUDWLRQLQIRUPDWLRQLQFOXGHVDIUDF

 WLRQDOPLFURVHFRQGWKHGXUDWLRQLQIRUPDWLRQLVURXQGHGXSWRWKHQH[WKLJKHULQWHJHU,IWKHFDOFXODWHGGXUD
 WLRQLQIRUPDWLRQLVVPDOOHUWKDQ—VWKH7;9(&725SDUDPHWHU7;23B'85$7,21VKDOOEHVHWWRWKH
 FDOFXODWHGGXUDWLRQLQIRUPDWLRQ2WKHUZLVHWKH7;9(&725SDUDPHWHU7;23B'85$7,21VKDOOEHVHWWR
 

 127(²7KHWLPHLVHTXDOWR6,)6SOXVWKHGXUDWLRQRIWKH+(7%33'8ZKHUHWKHGXUDWLRQRIWKH+(7%33'8LV
 GHILQHGLQ(TXDWLRQ  

 ,QWKH*+]EDQGD7;23KROGHUVKDOOQRWVHWWKH7;9(&725SDUDPHWHU7;23B'85$7,21IRUDWUDQV

PLWWHG+(33'8WR8163(&,),('XQOHVVDWOHDVWRQHRIWKHIROORZLQJFRQGLWLRQVLVWUXH

 ² 7KH%66&RORU'LVDEOHGILHOGLVLQWKH+(2SHUDWLRQHOHPHQWWUDQVPLWWHGZLWKLQWKH%66RIZKLFK

 WKH7;23KROGHULVDPHPEHU

 ² 7KH+(33'8FDUULHVD363ROOIUDPH

 63$7,$/B5(86(


7KHFRQWHQWVRIWKH6SDWLDO5HXVHILHOGVDUHFDUULHGLQWKH7;9(&725SDUDPHWHU63$7,$/B5(86(IRUDQ 

 +(33'8LQGLFDWLQJVSDWLDOUHXVHLQIRUPDWLRQ7KHEHKDYLRURI67$VXSRQUHFHSWLRQRIDQ+(33'8ZLWK
 GLIIHUHQW63$7,$/B5(86(YDOXHVLVGHVFULEHGLQ 2%663'EDVHGVSDWLDOUHXVHRSHUDWLRQ DQG 

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

  365EDVHG VSDWLDO UHXVH RSHUDWLRQ  7KH GLIIHUHQW YDOXHV WKDW PD\ EH LQGLFDWHG LQ WKH 63$
 7,$/B5(86(SDUDPHWHURIWKH7;9(&725DUHOLVWHGLQ7DEOH 6SDWLDO5HXVHILHOGHQFRGLQJIRUDQ 

+(6833'8+((56833'8DQG+(0833'8 DQG7DEOH 6SDWLDO5HXVHILHOGHQFRGLQJIRUDQ 

 +(7%33'8 7KHYDOXH365B',6$//2:LVXVHGWRSURKLELW365EDVHGVSDWLDOUHXVHGXULQJWKHWUDQV
 PLVVLRQRIWKHFRUUHVSRQGLQJ33'87KHYDOXH365B$1'B121B65*B2%66B3'B352+,%,7('LVXVHG
 WRSURKLELWERWK365EDVHGVSDWLDOUHXVHDQGQRQ65*2%663'EDVHGVSDWLDOUHXVHGXULQJWKHWUDQVPLVVLRQ
 RIWKHFRUUHVSRQGLQJ33'87KHLQWHUSUHWDWLRQRIRWKHUYDOXHVDUHGHVFULEHGLQWKLVVXEFODXVHDQGLQ 

6SDWLDOUHXVHRSHUDWLRQ 7KHFRQGLWLRQVIRUD67$WRVHWWKH63$7,$/B5(86(SDUDPHWHUWRLWVGLIIHUHQW

 YDOXHVDUHGHVFULEHGLQWKLVVXEFODXVH

 )RU D 33'8 ZLWK D YDOXH RI +(B7% IRU WKH 7;9(&725 SDUDPHWHU )250$7 WKH 63$7,$/B5(86( 
 SDUDPHWHUFRQWDLQVDQDUUD\RIIRXUYDOXHV7KHILUVWYDOXHLQWKHDUUD\LVWKH63$7,$/B5(86(SDUDPHWHU

WKDWDSSOLHVWRWKHORZHVWIUHTXHQF\0+]VXEEDQGWKHVHFRQGYDOXHLQWKHDUUD\DSSOLHVWRWKHVHFRQG 

 ORZHVWIUHTXHQF\0+]VXEEDQGWKHWKLUGYDOXHLQWKHDUUD\DSSOLHVWRWKHWKLUGORZHVWIUHTXHQF\0+]
 VXEEDQG DQG WKH IRXUWK YDOXH LQ WKH DUUD\ DSSOLHV WR WKH KLJKHVW IUHTXHQF\  0+] VXEEDQG LI WKH
 &+B%$1':,'7+SDUDPHWHUKDVWKHYDOXHRI&%:&%:RU&%:7KHILUVWYDOXHLQWKHDUUD\ 
 DSSOLHVWRWKHORZHVWIUHTXHQF\0+]VXEEDQGWKHVHFRQGYDOXHLQWKHDUUD\DSSOLHVWRWKHVHFRQGORZHVW

IUHTXHQF\0+]VXEEDQGWKHWKLUGYDOXHLQWKHDUUD\DSSOLHVWRWKHWKLUGORZHVWIUHTXHQF\0+]VXE

 EDQGDQGWKHIRXUWKYDOXHLQWKHDUUD\DSSOLHVWRWKHKLJKHVWIUHTXHQF\0+]VXEEDQGLIWKH&+B%$1'
 :,'7+ SDUDPHWHU KDV WKH YDOXH RI &%: RU &%: ,I WKH 63$7,$/B5(86( SDUDPHWHU LV DQ 
 DUUD\HDFKYDOXHLQWKHDUUD\VKDOOLQGLYLGXDOO\FRQIRUPWRWKHUXOHVLQWKLVVXEFODXVH



$Q+(67$WKDWWUDQVPLWVDQ+(7%33'8VHWVWKH7;9(&725SDUDPHWHU63$7,$/B5(86(DVGHILQHG
 LQ 1RQ$367$EHKDYLRUIRU8/08RSHUDWLRQ 

 $Q$3ZLWKGRW+(3652SWLRQ,PSOHPHQWHGVHWWRWUXHWKDWWUDQVPLWVDQ+((56833'8WKDWGRHVQRW
 FRQWDLQD7ULJJHUIUDPHVKRXOGVHWWKH7;9(&725SDUDPHWHU63$7,$/B5(86(WR365B',6$//2:


 $QRQ$367$ZLWKGRW+(3652SWLRQ,PSOHPHQWHGVHWWRWUXHWKDWWUDQVPLWVDQ+(6833'8+((5 
 6833'8RU+(0833'8PD\VHWWKH7;9(&725SDUDPHWHU63$7,$/B5(86(ZKHQSHUPLWWHGE\
 RWKHUFRQGLWLRQVWR365B$1'B121B65*B2%66B3'B352+,%,7('LIWKH+(6,*$B6SDWLDOBUHXVHBYDO
 XHBDOORZHGVXEILHOGRIWKH65&RQWUROILHOGRIWKHPRVWUHFHQWO\UHFHLYHG6SDWLDO5HXVH3DUDPHWHU6HW

 HOHPHQWIURPLWVDVVRFLDWHG$3LVHTXDOWR2WKHUZLVHWKHQRQ$367$VKDOOVHWLWWR365B',6$//2:

 $Q +( 67$ WKDW WUDQVPLWV DQ +( 7% 33'8 GHWHUPLQHV WKH YDOXH RI WKH 7;9(&725 SDUDPHWHU 63$
 7,$/B5(86(DFFRUGLQJWR 1RQ$367$EHKDYLRUIRU8/08RSHUDWLRQ 


 $Q+($3ZLWKGRW+(3652SWLRQ,PSOHPHQWHGVHWWRWUXHWKDWWUDQVPLWVDQ+(6833'8+((568 
 33'8RU+(0833'8PD\VHWWKH7;9(&725SDUDPHWHU63$7,$/B5(86(WR365B',6$//2:WR 
 GLVDOORZ2%6667$VIURPSHUIRUPLQJ365EDVHG65WUDQVPLVVLRQGXULQJWKHGXUDWLRQRIWKHFRUUHVSRQGLQJ
 33'8


 $Q+(67$ZLWKGRW+(3652SWLRQ,PSOHPHQWHGVHWWRIDOVHPD\VHWWKH7;9(&725SDUDPHWHU63$
 7,$/B5(86( WR 365B',6$//2: IRU DQ\ 33'8 WKDW LV QRW DQ +( 7% 33'8 DQ +( 1'3 33'8 D
 33'8 FRQWDLQLQJ DQ +( 1'3 $QQRXQFHPHQW IUDPH RU D 33'8 FRQWDLQLQJ D UHVSRQVH WR DQ +( 1'3

 $QQRXQFHPHQWIUDPH


 $67$VKDOOVHWWKH7;9(&725SDUDPHWHU63$7,$/B5(86(RIDQ+(33'8WR365B',6$//2:RULI
 SHUPLWWHGE\WKHRWKHUUXOHVLQWKLVVXEFODXVHWR365B$1'B121B65*B2%66B3'B352+,%,7('LIWKH
 67$LVDQRQ$3+(67$DQGWKH365'LVDOORZHGVXEILHOGRIWKH65&RQWUROILHOGRIWKHPRVWUHFHQWO\

 UHFHLYHG6SDWLDO5HXVH3DUDPHWHU6HWHOHPHQWIURPLWVDVVRFLDWHG$3LVHTXDOWR


 $Q+(67$VKDOOVHWWKH7;9(&725SDUDPHWHU63$7,$/B5(86(WR365B$1'B121B65*B2%66B3
 'B352+,%,7('IRUDQ+(1'333'8

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $Q+(67$VKDOOVHWWKH7;9(&725SDUDPHWHU63$7,$/B5(86(WR365B$1'B121B65*B2%66B3
 'B352+,%,7('IRUD33'8FRQWDLQLQJDQ1'3$QQRXQFHPHQWIUDPHDQGLQDQ\IUDPHWKDWLVWUDQVPLWWHG


DVDUHVSRQVHWRDQ1'3$QQRXQFHPHQWIUDPH


 $ QRQ$3 +( 67$ PD\ VHW WKH 7;9(&725 SDUDPHWHU 63$7,$/B5(86( RI DQ +( 33'8 WR
 365B$1'B121B65*B2%66B3'B352+,%,7(' LI WKH +(6,*$B6SDWLDOBUHXVHBYDOXHBDOORZHG VXE

 ILHOG RI WKH 65 &RQWURO ILHOG RIWKH PRVW UHFHQWO\ UHFHLYHG 6SDWLDO 5HXVH 3DUDPHWHU 6HW HOHPHQW IURP LWV
 DVVRFLDWHG$3LVHTXDOWR,IWKH+(6,*$B6SDWLDOBUHXVHBYDOXHBDOORZHGVXEILHOGRIWKH65&RQWUROILHOG 
 RIWKHPRVWUHFHQWO\UHFHLYHG6SDWLDO5HXVH3DUDPHWHU6HWHOHPHQWIURPLWVDVVRFLDWHG$3LVHTXDOWRRULI
 67$KDVQRWUHFHLYHGD6SDWLDO5HXVH3DUDPHWHU6HWHOHPHQWIURPLWVDVVRFLDWHG$3WKH67$VKDOOQRWVHW
 WKH 7;9(&725 SDUDPHWHU 63$7,$/B5(86( RI DQ\ +( 33'8 WR 365B$1'B121B65*B2%66B3

 'B352+,%,7('XQOHVVWKH+(33'8FRQWDLQVDQ1'3DQ1'3$QQRXQFHPHQWIUDPHRULVDIUDPHWKDWLV
 WUDQVPLWWHGDVDUHVSRQVHWRDQ1'3$QQRXQFHPHQWIUDPH

 $Q $3 +( 67$ PD\ VHW WKH 7;9(&725 SDUDPHWHU 63$7,$/B5(86( RI DQ +( 33'8 WR

 365B$1'B121B65*B2%66B3'B352+,%,7(' LI WKH +(6,*$B6SDWLDOBUHXVHBYDOXHBDOORZHG VXE
 ILHOGRIWKH65&RQWUROILHOGRIWKHPRVWUHFHQWO\WUDQVPLWWHG6SDWLDO5HXVH3DUDPHWHU6HWHOHPHQWLVHTXDOWR 
  ,I WKH +(6,*$B6SDWLDOBUHXVHBYDOXHBDOORZHG VXEILHOG RI WKH 65 &RQWURO ILHOG RI WKH PRVW UHFHQWO\ 
 WUDQVPLWWHG 6SDWLDO 5HXVH 3DUDPHWHU 6HW HOHPHQW LVHTXDO WR  RU LI WKH $3 KDV QRW WUDQVPLWWHGD 6SDWLDO
 5HXVH3DUDPHWHU6HWHOHPHQWWKH$3VKDOOQRWVHWWKH7;9(&725SDUDPHWHU63$7,$/B5(86(RIDQ\

 +(33'8WR365B$1'B121B65*B2%66B3'B352+,%,7('

 $Q+($3WKDWWUDQVPLWVDQ+(6833'8RUDQ+((56833'8WKDWFRQWDLQVD7ULJJHUIUDPHVKRXOGVHW


WKH7;9(&725SDUDPHWHU63$7,$/B5(86(WR65B'(/$<('$Q+(67$WKDWWUDQVPLWVDQ+(08 
 33'8VKDOOQRWVHWWKH7;9(&725SDUDPHWHU63$7,$/B5(86(WR65B'(/$<('

 $Q+(67$WKDWWUDQVPLWVDQ+(6833'8RU+((56833'8VKDOOQRWVHWWKH7;9(&725SDUDPHWHU

 63$7,$/B5(86(WR65B5(675,&7('

 $Q +( $3 WKDW WUDQVPLWV DQ +( 08 33'8 WKDW FRQWDLQV D 7ULJJHU IUDPH VKRXOG VHW WKH 7;9(&725



SDUDPHWHU63$7,$/B5(86(WR65B5(675,&7('

 $Q +( 67$ WKDW WUDQVPLWV D 33'8 WKDW GRHV QRW FRQWDLQ D 7ULJJHU IUDPH VKDOO QRW VHW WKH 7;9(&725

 SDUDPHWHU63$7,$/B5(86(WR65B'(/$<('RU65B5(675,&7('


 ,1$&7,9(B68%&+$11(/6DQG58B$//2&$7,21


 7KHLQGLFDWLRQRIZKLFKVXEFKDQQHOVDUHSXQFWXUHGLQDQ+(VRXQGLQJ1'3RULQDQ+(1'3$QQRXQFH
 PHQWIUDPHWKDWLVFDUULHGLQDQRQ+7'XSOLFDWH33'8LVFRQYH\HGIURPWKH0$&WRWKH3+<WKURXJKWKH
 7;9(&725 SDUDPHWHUV ,1$&7,9(B68%&+$11(/6 DQG 58B$//2&$7,21 7KH SDUDPHWHU ,1$&
 7,9(B68%&+$11(/6PD\EHSUHVHQWLQWKH7;9(&725RIDQRQ+7GXSOLFDWH33'8WKDWFDUULHVDQ 

 +(1'3$QQRXQFHPHQWIUDPHRURIDQ+(VRXQGLQJ33'87KHSDUDPHWHU,1$&7,9(B68%&+$11(/6 
 VKDOOQRWEHSUHVHQWRWKHUZLVH7KHVHWWLQJRIWKH58B$//2&$7,21SDUDPHWHUIRURWKHU33'8VLVVSHFL
 ILHG LQ  7;9(&725 SDUDPHWHUV IRU +( 7% 33'8 UHVSRQVH WR 7ULJJHU IUDPH  
 7;9(&725SDUDPHWHUVIRU+(7%33'8UHVSRQVHWR756&RQWUROVXEILHOG DQG 67$EHKDY
 LRU 


 ,1$&7,9(B68%&+$11(/6LVDQHLJKWELWELWPDSZLWKDQHQFRGLQJWKDWLVWKHVDPHDVWKHHQFRGLQJIRU
 WKH'LVDOORZHG6XEFKDQQHO%LWPDSVXEILHOGGHILQHGLQ 9+7+(1'3$QQRXQFHPHQWIUDPHIRU

PDW $ELWLQWKH,1$&7,9(B68%&+$11(/6ELWPDSLVVHWWRWRLQGLFDWHWKDWQRHQHUJ\LVWUDQVPLWWHG


 RQWKHFRUUHVSRQGLQJVXEFKDQQHOIRUWKHFRUUHVSRQGLQJ33'87KH58B$//2&$7,21SDUDPHWHULVVHWWR 
 DYDOXHWKDWFRUUHVSRQGVWRWKHSXQFWXULQJVLJQDOHGE\WKH,1$&7,9(B68%&+$11(/6ELWPDS

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $67$WUDQVPLWWLQJDQ+(VRXQGLQJ1'3PD\VHWWKH7;9(&725SDUDPHWHU,1$&7,9(B68%&+$1
 1(/6WRDQ\YDOXHSURYLGHGWKDWWKHELWUHSUHVHQWLQJWKHSULPDU\0+]FKDQQHOLVVHWWR


 ,I DQ +( $3 WUDQVPLWV DQ +( 1'3 $QQRXQFHPHQW IUDPH LQ D 33'8 ZLWK SXQFWXUHG FKDQQHOV WKHQ WKH
 7;9(&725 SDUDPHWHUV )250$7 121B+7B02'8/$7,21 &+B%$1':,'7+ DQG ,1$&7,9(B
 68%&+$11(/6VKDOOEHVHWDVIROORZV

 ² 7KH7;9(&725SDUDPHWHU)250$7VKDOOEHVHWWR121B+7
 ² 7KH7;9(&725SDUDPHWHU121B+7B02'8/$7,21VKDOOEHVHWWR121B+7B'83B2)'0

 ² 7KH,1$&7,9(B68%&+$11(/6SDUDPHWHUPD\KDYHDQ\YDOXHH[FHSWWKDWWKHELWLQWKHELWPDS

 UHSUHVHQWLQJWKHSULPDU\0+]VXEFKDQQHOVKDOOEHVHWWR

 ² 7KH&+B%$1':,'7+SDUDPHWHUYDOXHVKDOOEHVHWWR&%:LIWKHUHDUHQRELWVVHWWRLQWKH
 ,1$&7,9(B68%&+$11(/6ELWPDSWKDWFRUUHVSRQGWRDQ\0+]VXEFKDQQHORIWKHVHFRQGDU\ 
 0+]DQGDWOHDVWRQHELWVHWWRWKDWFRUUHVSRQGVWRDQ\0+]VXEFKDQQHORIWKHVHFRQGDU\
 0+]

 ² 7KH&+B%$1':,'7+SDUDPHWHUYDOXHVKDOOEHVHWWR&%:LIWKHUHLVDWOHDVWRQHELWVHWWRLQ

 WKH,1$&7,9(B68%&+$11(/6ELWPDSWKDWFRUUHVSRQGVWRDQ\0+]VXEFKDQQHORIWKHVHF
 RQGDU\0+]


 (DFKELWVRIWKH58B$//2&$7,21DUHVHWWR LQELQDU\UHSUHVHQWDWLRQ IRUWKHWRQH
 58WKDWLVPRVWFORVHO\DOLJQHGLQIUHTXHQF\ZLWKWKH0+]VXEFKDQQHOWKDWLVLQGLFDWHGDVGLVDOORZHGE\
 WKHYDOXHLQWKH,1$&7,9(B68%&+$11(/6SDUDPHWHU(DFKELWVRIWKH58B$//2&$7,21DUHVHW
 WR LQELQDU\UHSUHVHQWDWLRQ IRUWKHWRQH58WKDWLVPRVWFORVHO\DOLJQHGLQIUHTXHQF\ 

 ZLWK WKH  0+] VXEFKDQQHO WKDW LV LQGLFDWHGDV QRW GLVDOORZHGE\ WKH YDOXH  LQWKH ,1$&7,9(B68%
 &+$11(/6SDUDPHWHU

 67%&DQG'&0


 $Q +( 67$ VKDOO QRW WUDQVPLW DQ +( 68 33'8 RU +( (5 68 33'8 ZLWK WKH 7;9(&725 SDUDPHWHU
 67%&VHWWRLIDQ\RIWKHIROORZLQJFRQGLWLRQVDUHPHW

 ² 7;9(&725SDUDPHWHU'&0LVVHWWR
 ² 7;9(&725SDUDPHWHU180B676LVQRWHTXDOWR

 ² 7;9(&725SDUDPHWHUV+(B/7)B7<3(DQG*,B7<3(DUHVHWWR[+(/7)DQGXVB*,UHVSHF
 WLYHO\

 $Q+(67$VKDOOQRWWUDQVPLWDQ+(7%33'8ZLWKWKH7;9(&725SDUDPHWHU67%&VHWWRLIDQ\RIWKH

 IROORZLQJFRQGLWLRQVDUHPHW
 ² 7;9(&725SDUDPHWHU'&0LVVHWWR

 ² 7;9(&725SDUDPHWHU180B676LVQRWHTXDOWR

 $Q+(67$VKDOOQRWWUDQVPLWDQ+(0833'8ZLWKWKH7;9(&725SDUDPHWHU67%&VHWWRLIDQ\RI


WKHIROORZLQJFRQGLWLRQVDUHPHW
 ² $WOHDVWRQHHOHPHQWLQWKH7;9(&725SDUDPHWHU'&0LVVHWWR

 ² $WOHDVWRQHHOHPHQWLQWKH7;9(&725SDUDPHWHU180B676LVQRWHTXDOWR
 ² 7KHUHDUHWZRRUPRUH67$B,'SDUDPHWHUVLQWKH7;9(&725XVLQJWKHVDPH58

 127(²7ZRRUPRUH67$B,'SDUDPHWHUVLQWKH7;9(&725XVLQJWKHVDPH58PHDQVWKDW'/080,02LVXVHG


$Q+(67$VKDOOQRWWUDQVPLWDQ+(6833'8RU+((56833'8ZLWKWKH7;9(&725SDUDPHWHUV

 67%&RU'&0VHWWRLIWKH7;9(&725SDUDPHWHUV+(B/7)B7<3(DQG*,B7<3(DUHVHWWR[+(/7)

 DQGXVB*,UHVSHFWLYHO\

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 +(33'8SRVW)(&SDGGLQJDQGSDFNHWH[WHQVLRQ


 $Q+(67$ZLWKGRW33(7KUHVKROGV5HTXLUHGVHWWRIDOVHPD\VHWWKH33(7KUHVKROGV3UHVHQWVXEILHOGLQ

 +(&DSDELOLWLHVHOHPHQWVWKDWLWWUDQVPLWVWR

 $Q+(67$ZLWKGRW33(7KUHVKROGV5HTXLUHGVHWWRWUXHVKDOOVHWWKH33(7KUHVKROGV3UHVHQWVXEILHOGLQ

 +(&DSDELOLWLHVHOHPHQWVWKDWLWWUDQVPLWVWR


 $67$WKDWVHWVWKH33(7KUHVKROGV3UHVHQWVXEILHOGWRDQGWKH1RPLQDO3DFNHW3DGGLQJVXEILHOGWRLQ 
 +(&DSDELOLWLHVHOHPHQWVWKDWLWWUDQVPLWVKDVDVDQRPLQDOSDFNHWSDGGLQJRI—VIRUDOOFRQVWHOODWLRQV166

 DQG58DOORFDWLRQVWKDWLWVXSSRUWV


 $67$WKDWVHWVWKH33(7KUHVKROGV3UHVHQWVXEILHOGWRDQGWKH1RPLQDO3DFNHW3DGGLQJVXEILHOGWRLQ 
 WKH+(&DSDELOLWLHVHOHPHQWVWKDWLWWUDQVPLWVKDVDQRPLQDOSDFNHWSDGGLQJRI—VIRUDOOFRQVWHOODWLRQV
 166DQG58DOORFDWLRQVWKDWLWVXSSRUWV

 $67$WKDWVHWVWKH33(7KUHVKROGV3UHVHQWVXEILHOGWRDQGWKH1RPLQDO3DFNHW3DGGLQJVXEILHOGWRLQ

 WKH+(&DSDELOLWLHVHOHPHQWVWKDWLWWUDQVPLWVKDVQRPLQDOSDFNHWSDGGLQJRI—VIRUDOOFRQVWHOODWLRQV
 166DQG58DOORFDWLRQVWKDWLWVXSSRUWV

 $67$WKDWVHWVWKH33(7KUHVKROGV3UHVHQWVXEILHOGWRLQWKH+(&DSDELOLWLHVHOHPHQWVWKDWLWWUDQVPLWV
 VKDOOLQGLFDWHLWVQRPLQDOSDFNHWSDGGLQJSHUFRQVWHOODWLRQ166DQG58DOORFDWLRQE\VHWWLQJWKHVXEILHOGV

 RIWKH33(7KUHVKROGVILHOGDFFRUGLQJWR +(&DSDELOLWLHVHOHPHQW DQGXVLQJWKHFRUUHVSRQGLQJ 
 YDOXHVIURPGRW33(7KUHVKROGV0DSSLQJ7DEOH

 $IWHU UHFHLYLQJ WKH 33( 7KUHVKROGV ILHOG IURP D VHFRQG 67$ WKH ILUVW 67$ XVHV WKH FRPELQDWLRQ RI WKH
 33(7 1676n 58b VXEILHOG DQG 33(7 1676n 58b VXEILHOG YDOXHV WR GHWHUPLQH WKH QRPLQDO SDFNHW

 SDGGLQJIRU+(33'8VWKDWDUHWUDQVPLWWHGWRWKHVHFRQG67$XVLQJ1676 nDQGDQ58DOORFDWLRQFRUUH
 VSRQGLQJWR58$OORFDWLRQ,QGH[EIRUHDFKYDOXHRI1676DQG58VSHFLILHGE\WKHILHOG7KHQRPLQDO
 SDFNHWSDGGLQJLVXVHGLQFRPSXWLQJWKH3(ILHOGGXUDWLRQ VHH 3DFNHWH[WHQVLRQ 

 127(²,IWKHSUH)(&SDGGLQJIDFWRULVWKHQWKHYDOXHRIQRPLQDOTPELVHTXDOWRWKHQRPLQDOSDFNHWSDGGLQJ VHH
 7DEOH 1RPLQDO73(YDOXHV 

 )RUDOOYDOXHVRInDQGbIRUZKLFK33(7DQG33(7DUHQRWSUHVHQWWKHQRPLQDOSDFNHWSDGGLQJLVIRU
 +(33'8VWKDWDUHWUDQVPLWWHGWRWKH67$XVLQJ1676 nDQGDQ58DOORFDWLRQFRUUHVSRQGLQJWR58DOOR
























&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 FDWLRQ LQGH[ b 7KH QRPLQDO SDFNHW SDGGLQJ DV D IXQFWLRQ RI WKH 33( WKUHVKROGV WKH QXPEHU RI VSDWLDO
 VWUHDPVDQGWKH58DOORFDWLRQLQGH[LVGHVFULEHGLQ7DEOH 33(WKUHVKROGVSHU33(7DQG33(7 



 7DEOH²33(WKUHVKROGVSHU33(7DQG33(7


 5HVXOWRIFRPSDULVRQRIWKH 5HVXOWRIFRPSDULVRQRIWKH 1RPLQDOSDFNHWSDGGLQJIRU
 FRQVWHOODWLRQLQGH[xRIDQ+( FRQVWHOODWLRQLQGH[xRIDQ+( DQ+(33'8WUDQVPLWWHGWR
 33'8ZLWK1676YDOXHnDQG 33'8ZLWK1676YDOXHnDQG58 WKLV67$XVLQJWKH
 58DOORFDWLRQVL]HWKDW DOORFDWLRQVL]HWKDWFRUUHVSRQGVWR FRQVWHOODWLRQLQGH[ x
 FRUUHVSRQGVWRWKH58 WKH58$OORFDWLRQLQGH[ YDOXH b 1676 nDQG58DOORFDWLRQ
 $OORFDWLRQLQGH[  b'&0  '&0 WRWKHYDOXHLQWKH VL]HWKDWFRUUHVSRQGVWRWKH
 WRWKHYDOXHLQWKH33(7 33(71676n58 b '&0  58$OORFDWLRQLQGH[  b
 1676n58 b '&0 VXEILHOG VXEILHOG '&0

 xJUHDWHUWKDQRUHTXDOWR33(7 xOHVVWKDQ33(7RU33(7 —V
 HTXDOWR1RQH

 xJUHDWHUWKDQ33(7RU33(7 xJUHDWHUWKDQRUHTXDOWR33(7 —V
 HTXDOWR1RQH

 $OORWKHUFRPELQDWLRQVQRWRWKHUZLVHOLVWHGLQWKLVWDEOH 

 127(²'&0 LIWKH+(33'8XVHV'&0'&0 RWKHUZLVH




 ,Q7DEOH 33(WKUHVKROGVSHU33(7DQG33(7 58$OORFDWLRQLQGH[  b'&0 PHDQVWKH
 IROORZLQJ:LWKWKHH[FHSWLRQRIDîWRQH58LI'&0LVDSSOLHGLQDJLYHQ58WKHQRPLQDOSDFNHW
 SDGGLQJYDOXHLVEDVHGRQWKHQH[WODUJHU58VL]H 58LQGH[ )RUH[DPSOHLI'&0LVDSSOLHGWRD
 WRQH58WKHQWKHQRPLQDOSDFNHWSDGGLQJYDOXHIRUDWRQH58LVXVHG,I'&0LVDSSOLHGWRWRQH

 58WKHQWKHQRPLQDOSDFNHWSDGGLQJYDOXHIRUDWRQH58LVXVHG,I'&0LVDSSOLHGWRDîWRQH58
 WKHQWKHQRPLQDOSDFNHWSDGGLQJYDOXHIRUDîWRQH58LVXVHG


 7KHQRPLQDOSDFNHWSDGGLQJYDOXHVKDOOEHIRUDOO58OHVVWKDQXQOHVVWKH58VL]HLVDQG'&0LV
 HQDEOHG



$ 67$ WUDQVPLWWLQJ DQ +( 33'8 SURYLGHV WKH QRPLQDO SDFNHW SDGGLQJ LQ WKH 7;9(&725 SDUDPHWHU
 120,1$/B3$&.(7B3$'',1*IRUWKHPLQLPDO3(FDOFXODWLRQ VHH 3DFNHWH[WHQVLRQ 


$ 67$ WUDQVPLWWLQJ DQ +( 33'8 WKDW FDUULHV D EURDGFDVW IUDPH VKDOO VHW WKH YDOXH RI WKH 7;9(&725


 SDUDPHWHU 120,1$/B3$&.(7B3$'',1* WR  —V $ 67$ WUDQVPLWWLQJ DQ +( 33'8 WKDW FDUULHV D
 JURXS DGGUHVVHG EXW QRW EURDGFDVW IUDPH VKDOO QRW VHW WKH YDOXH RI WKH 7;9(&725 SDUDPHWHU 120,
 1$/B3$&.(7B3$'',1*WRDYDOXHWKDWLVOHVVWKDQWKDWUHTXLUHGIRUDQ\RIWKHUHFLSLHQWVLQWKHJURXS


 $67$WUDQVPLWWLQJDQ+(33'8WRDUHFHLYLQJ67$VKDOOLQFOXGHSRVW)(&SDGGLQJGHWHUPLQHGE\WKHSUH
 )(&SDGGLQJIDFWRU VHH 'DWDILHOG DQGDIWHULQFOXGLQJWKHSRVW)(&SDGGLQJWKHWUDQVPLWWLQJ
 67$ VKDOO LQFOXGH D SDFNHW H[WHQVLRQ ZLWK D GXUDWLRQ LQGLFDWHG E\ WKH 7;9(&725 SDUDPHWHU 120,

1$/B3$&.(7B3$'',1* VHH 3DFNHWH[WHQVLRQ 



 /LQNDGDSWDWLRQXVLQJWKH+/$&RQWUROVXEILHOG


 7KLVVXEFODXVHDSSOLHVWRIUDPHH[FKDQJHVHTXHQFHVWKDWLQFOXGH33'8VFRQWDLQLQJDQ+(YDULDQW+7&RQ
 WUROILHOG

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $Q+(67$VKDOOVHWWKH+(/LQN$GDSWDWLRQ6XSSRUWVXEILHOGLQWKH+(&DSDELOLWLHV,QIRUPDWLRQILHOGLQ

 WKH+(&DSDELOLWLHVHOHPHQWLWWUDQVPLWVWRWKHYDOXHRIGRW+(0&6)HHGEDFN2SWLRQ,PSOHPHQWHG


 $67$WKDWVXSSRUWV+(OLQNDGDSWDWLRQXVLQJWKH+/$&RQWUROVXEILHOGVKDOOVHWWKH+(/LQN$GDSWDWLRQ 
 6XSSRUWVXEILHOGLQWKH+(&DSDELOLWLHV,QIRUPDWLRQILHOGLQWKH+(&DSDELOLWLHVHOHPHQWWRRUGHSHQG
 LQJRQLWVRZQOLQNDGDSWDWLRQIHHGEDFNFDSDELOLW\$67$VKDOOQRWVHQGDQ054WRD67$WKDWKDVQRWVHW
 WKH+(/LQN$GDSWDWLRQ6XSSRUWVXEILHOGWRLQWKH+(&DSDELOLWLHV,QIRUPDWLRQILHOGRIWKH+(&DSDELOL


WLHVHOHPHQW$67$VKDOOQRWVHQGDQXQVROLFLWHG0)%LQDQ\IUDPHWKDWFRQWDLQVDQ+/$&RQWUROVXEILHOG 
 WRD67$WKDWKDVQRWVHWWKH+(/LQN$GDSWDWLRQ6XSSRUWVXEILHOGWRHLWKHURULQWKH+(&DSDELOLWLHV
 ,QIRUPDWLRQILHOGRIWKH+(&DSDELOLWLHVHOHPHQW

 7KH0)%UHTXHVWHUPD\VHWWKH054VXEILHOGWRDQG8QVROLFLWHG0)%VXEILHOGWRLQWKH+/$&RQWURO


VXEILHOGRIDIUDPHWRUHTXHVWD67$WRSURYLGHOLQNDGDSWDWLRQIHHGEDFN,QHDFKUHTXHVWWKH0)%UHTXHVWHU
 VKDOOVHWWKH06,ILHOGWRDYDOXHUDQJLQJIURPWR)RUWKH0)%UHTXHVWHUKRZWRFKRRVHWKH06,YDOXH
 LVLPSOHPHQWDWLRQGHSHQGHQW

 7KHDSSHDUDQFHRIPRUHWKDQRQHLQVWDQFHRIDQ+/$&RQWUROVXEILHOGZLWKWKH054ILHOGHTXDOWRZLWKLQ


 DVLQJOH33'8VKDOOEHLQWHUSUHWHGE\WKHUHFHLYHUDVDVLQJOHUHTXHVWIRUOLQNDGDSWDWLRQIHHGEDFN

 7KH0)%UHTXHVWHUVKDOOVSHFLI\WKH58LQGH[DQG%:UHTXHVWLQJWKHOLQNDGDSWDWLRQIHHGEDFN

 2QUHFHLSWRIDQ+/$&RQWUROVXEILHOGZLWKWKH054VXEILHOGHTXDOWRDQ0)%UHVSRQGHUFRPSXWHVWKH

 +(0&6166DQG'&0RIWKH58DQG%:VSHFLILHGLQWKH054DQGWKHVHHVWLPDWHVDUHEDVHGRQWKH
 VDPH58RIWKH33'8FDUU\LQJWKH0547KH33'8FDUU\LQJ054VKDOOLQFOXGHWKH58UHTXHVWHGIRU
 0)%7KH0)%UHVSRQGHUODEHOVWKHUHVXOWRIWKLVFRPSXWDWLRQZLWKWKH06,YDOXHIURPWKH+/$&RQWURO
 VXEILHOGLQWKHUHFHLYHGIUDPHFDUU\LQJWKH0547KH0)%UHVSRQGHUPD\LQFOXGHWKHUHFHLYHG06,YDOXH
 LQWKH06,ILHOGRIWKHFRUUHVSRQGLQJUHVSRQVHIUDPH,QWKHFDVHRIDGHOD\HGUHVSRQVHWKLVDOORZVWKH0)%


 UHTXHVWHUWRDVVRFLDWHWKH0)%ZLWKWKHVROLFLWLQJ054

 $Q0)%UHVSRQGHUWKDWVHQGVDVROLFLWHG0)%VKDOOVHWWKH8QVROLFLWHG0)%VXEILHOGWRDQG054VXE
 ILHOGWRLQWKH+/$&RQWUROVXEILHOG


 7KH67$UHFHLYLQJ0)%PD\XVHWKHUHFHLYHG0)%WRFRPSXWHWKHDSSURSULDWH+(0&6'&0DQG166

 7KH0)%UHVSRQGHUPD\VHQGDVROLFLWHGUHVSRQVHIUDPHZLWKDQ\RIWKHIROORZLQJFRPELQDWLRQVRI+(
 0&6166DQG06,

 ² +(0&6 166 06, ±WKHUHVSRQGHUZLOOQRWSURYLGHIHHGEDFNIRUWKHUHTXHVWWKDWKDG
 WKH06,YDOXH

 ² +(0&6 YDOLGYDOXH166 YDOLGYDOXH06, ±WKHUHVSRQGHULVSURYLGLQJIHHGEDFNIRUWKH
 UHTXHVWWKDWKDGWKH06,YDOXH7KH06,YDOXHLQWKHUHVSRQVHIUDPHPDWFKHVWKH06,YDOXHRIWKH
 054UHTXHVW


$67$VHQGLQJXQVROLFLWHG0)%XVLQJWKH+/$&RQWUROVXEILHOGVKDOOVHWWKH8QVROLFLWHG0)%VXEILHOGWR


 

 8QVROLFLWHG+(0&6166'&0%:DQG58HVWLPDWHVUHSRUWHGLQDQ+/$&RQWUROVXEILHOGVHQWE\D
 67$DUHFRPSXWHGEDVHGRQWKHPRVWUHFHQW33'8UHFHLYHGE\WKH67$WKDWPDWFKHVWKHGHVFULSWLRQLQGL

FDWHGE\WKH33'8IRUPDW7[%HDPIRUPLQJDQG&RGLQJ7\SHVXEILHOGVLQWKHVDPH+/$&RQWUROVXEILHOG


 ,QDQXQVROLFLWHG0)%UHVSRQVHWKH33'8)RUPDWV&RGLQJ7\SHDQG7[%HDPIRUPLQJVXEILHOGVDUHVHW
 DFFRUGLQJWRWKH5;9(&725SDUDPHWHUVRIWKHUHFHLYHG33'8IURPZKLFKWKH+(0&658%:DQG
 166DUHHVWLPDWHGDVIROORZV

 ² 7KH33'8IRUPDWVXEILHOGLVVHWDQGHQFRGHGDVIROORZV

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ‡ LIWKHSDUDPHWHU)250$7LVHTXDOWR+(B68
 ‡ LIWKHSDUDPHWHU)250$7LVHTXDOWR+(B08

‡ LIWKHSDUDPHWHU)250$7LVHTXDOWR+(B(5B68

 ‡ LIWKHSDUDPHWHU)250$7LVHTXDOWR+(B7%
 ² 7KH&RGLQJ7\SHVXEILHOGLVVHWWRLIWKHSDUDPHWHU)(&B&2',1*LVHTXDOWR%&&B&2',1*DQG
 VHWWRLIHTXDOWR/'3&B&2',1*

 ² 7KH7[%HDPIRUPLQJVXEILHOGLVVHWWRLIWKHSDUDPHWHU%($0)250('LVHTXDOWRDQGVHWWR
 LIHTXDOWR

 ² 7KH %: VXEILHOG VKDOO LQGLFDWH D EDQGZLGWK OHVV WKDQ RU HTXDO WR WKH EDQGZLGWK LQGLFDWHG E\ WKH
 SDUDPHWHU&+B%$1':,'7+
 ² 7KH 58 VXEILHOG LQGLFDWHV WKH 58 DW ZKLFK WKH UHFRPPHQGHG +(0&6 LV DSSOLHG 7KH UHFRP

PHQGHG58VKDOOEHZLWKLQDQ58RUDEDQGZLGWKLQZKLFKWKHUHFHLYHG+(33'8LVORFDWHG


 )RU HLWKHU D VROLFLWHG RU DQ XQVROLFLWHG UHVSRQVH WKH UHFRPPHQGHG +(0&6 DQG 166 VXEILHOGV RI +/$

 &RQWUROVXEILHOGVKDOOEHVHOHFWHGIURPWKH+(0&6DQG166VHWVXSSRUWHGE\WKHUHFLSLHQW67$


7KH+(0&6VXEILHOGRI+/$&RQWUROVXEILHOGLVWKHUHFRPPHQGHGGDWDUDWHIRUJLYHQWUDQVPLVVLRQSURS

 HUWLHV FDUULHG LQ WKH 5;9(&725 RI WKH 33'8 XVHG IRU 0)% HVWLPDWLRQ ZKLFK UHVXOWV LQ DQ HVWLPDWHG

 IUDPHHUURUUDWHRIRUORZHUIRUDQ03'8OHQJWKRIRFWHWV

 127(²6RPH+(33'8PLJKWQRWEHDEOHWRFDUU\RFWHWVGXHWR33'8GXUDWLRQOLPLWDWLRQV

 ,IWKH0)%UHTXHVWHUVHWVWKH054VXEILHOGWRDQGVHWVWKH06,VXEILHOGWRDYDOXHWKDWPDWFKHVWKH06,
 VXEILHOGYDOXHRIDSUHYLRXVUHTXHVWIRUZKLFKWKHUHVSRQGHUKDVQRW\HWSURYLGHGIHHGEDFNWKHUHVSRQGHU
 VKDOOGLVFDUGRUDEDQGRQWKHFRPSXWDWLRQIRUWKH054WKDWFRUUHVSRQGVWRWKHSUHYLRXVXVHRIWKDW06,VXE

ILHOGYDOXHDQGVWDUWDQHZFRPSXWDWLRQEDVHGRQWKHQHZUHTXHVW


 $67$PD\UHVSRQGLPPHGLDWHO\WRDFXUUHQWUHTXHVWIRU0)%ZLWKDIUDPHFRQWDLQLQJDQ06,ILHOGYDOXH
 DQG166+(0&6DQG'&0VXEILHOGVWKDWFRUUHVSRQGWRDUHTXHVWWKDWSUHFHGHVWKHFXUUHQWUHTXHVW


$QRQ$3+(67$PD\VHWWKH8/+(7%33'80)%WRLQWKH+/$&RQWUROILHOGLWWUDQVPLWVWRWKH$3 

 WRLQGLFDWHWKDWWKH166+(0&6'&0%:DQG58$OORFDWLRQLQWKH+/$&RQWUROILHOGUHSUHVHQWWKH
 UHFRPPHQGHG0)%IRUWKH+(7%33'8VHQWIURPWKHQRQ$3+(67$7KH$3VKRXOGQRWH[FHHGWKH
 UHFRPPHQGHG58VL]HLQGLFDWHGLQWKHPRVWUHFHQWO\UHFHLYHG58$OORFDWLRQILHOGRIWKH+/$&RQWUROILHOG
 ZKHQLWVHQGVD7ULJJHUIUDPHRUD756&RQWUROILHOGDGGUHVVHGWRWKH67$


 3RZHUPDQDJHPHQW


 ,QWUD33'8SRZHUVDYHIRUQRQ$3+(67$V

 ,QWUD33'8 SRZHU VDYH LV WKH SRZHU VDYH PHFKDQLVP IRU DQ +( 67$ WR HQWHU WKH GR]H VWDWH RU EHFRPH
 XQDYDLODEOHXQWLOWKHHQGRIDUHFHLYHG33'8WKDWLVLGHQWLILHGDVDQLQWUD%6633'87KH67$FDQHQWHUWKH

 GR]HVWDWHLILWLVLQ36PRGHDQGFDQEHFRPHXQDYDLODEOHLILWLVLQ$FWLYHPRGH VHH 1RQ$367$ 
 SRZHUPDQDJHPHQWPRGHV 

 $ QRQ$3 +( 67$ WKDW KDV GRW,QWUD33'83RZHU6DYH2SWLRQ$FWLYDWHG HTXDO WR WUXH RSHUDWHV LQ LQWUD
 33'8SRZHUVDYHPRGH


 $QRQ$3+(67$WKDWLVLQLQWUD33'8SRZHUVDYHPRGHPD\HQWHUWKHGR]HVWDWHRUEHFRPHXQDYDLODEOH
 XQWLOWKHHQGRID33'8FXUUHQWO\EHLQJUHFHLYHGLIRQHRIWKHIROORZLQJFRQGLWLRQVLVPHW

² 7KH33'8LVDQ+(0833'8ZKHUHWKH5;9(&725SDUDPHWHU%66B&2/25LVWKH%66FRORURI

 WKH%66LQZKLFKWKH67$LVDVVRFLDWHGWKH5;9(&725SDUDPHWHU83/,1.B)/$*LVDQGWKH
 5;9(&725SDUDPHWHUV67$B,'GRQRWLQFOXGHWKHLGHQWLILHURIWKH67$RUWKHEURDGFDVWLGHQWL

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ILHU V LQWHQGHGIRUWKH67$DQGWKH%66&RORU'LVDEOHGVXEILHOGLVLQWKHPRVWUHFHQWO\UHFHLYHG

 +(2SHUDWLRQHOHPHQWIURPWKH$3ZLWKZKLFKLWLVDVVRFLDWHG

 ² 7KH33'8LVDQ+(0833'8+(6833'8RU+((56833'8DQGRQHRIWKHIROORZLQJFRQGL


WLRQVDUHWUXH

 ‡ 7KH 5;9(&725 SDUDPHWHU %66B&2/25 LV WKH %66 FRORU RI WKH %66 LQ ZKLFK WKH 67$ LV
 DVVRFLDWHGWKH5;9(&725SDUDPHWHU83/,1.B)/$*LVDQGWKH%66&RORU'LVDEOHGVXE
 ILHOGLVLQWKHPRVWUHFHQWO\UHFHLYHG+(2SHUDWLRQHOHPHQWIURPWKH$3ZLWKZKLFKLWLVDVVR
 FLDWHG

 ‡ 7KH 5;9(&725 SDUDPHWHU %66B&2/25 LV WKH %66 FRORU RI WKH %66 LQ ZKLFK WKH 67$ LV
 DVVRFLDWHG WKH 5;9(&725 SDUDPHWHU 83/,1.B)/$* LV  DQG D 3+<5;(1'LQGLFD
 WLRQ 8QVXSSRUWHG5DWH SULPLWLYHZDVUHFHLYHGDQGWKH%66&RORU'LVDEOHGVXEILHOGLVLQWKH


PRVWUHFHQWO\UHFHLYHG+(2SHUDWLRQHOHPHQWIURPWKH$3ZLWKZKLFKLWLVDVVRFLDWHG

 ² 7KH33'8LVDQ+(7%33'8ZKHUHWKH5;9(&725SDUDPHWHU%66B&2/25LVWKH%66FRORURI
 WKH %66 LQ ZKLFK WKH 67$ LV DVVRFLDWHG DQG WKH %66 &RORU 'LVDEOHG VXEILHOG LV  LQ WKH PRVW
 UHFHQWO\UHFHLYHG+(2SHUDWLRQHOHPHQWIURPWKH$3ZLWKZKLFKLWLVDVVRFLDWHG

 ² 7KH33'8LVD9+733'8ZKHUHWKH5;9(&725SDUDPHWHU3$57,$/B$,'LVWKH%66,'>@
 RIWKH%66LQZKLFKWKH67$LVDVVRFLDWHGRUDQ\RIWKHRWKHU%66VLQWKHVDPHPXOWLSOH%66,'VHW
 RUFRKRVWHG%66,'VHWWRZKLFKLWV%66EHORQJVDQGWKH5;9(&725SDUDPHWHU*5283B,'LV


² 7KH33'8LVD33'8ZLWK



‡ $Q$03'8 LQFOXGLQJ7$ RU 5$ HTXDO WR HLWKHU WKH %66,' RI WKH %66 LQ ZKLFK WKH 67$ LV
 DVVRFLDWHGRUDQ\RIWKHRWKHU%66VLQWKHVDPHPXOWLSOH%66,'VHWRUFRKRVWHG%66,'VHWWR
 ZKLFKLWV%66EHORQJVDQG

 ‡ 7KH5$LVQRWWKHLQGLYLGXDO0$&DGGUHVVRIWKH67$RUWKHJURXSDGGUHVV HV RIWKH67$

 ² 7KH33'8LVHLWKHUDQ+(0833'8ZLWKWKH5;9(&725SDUDPHWHU83/,1.B)/$*VHWWRRU
 D9+70833'8FRQWDLQLQJDQ$03'8ZLWK

 ‡ 7KH5$ V LQWKH$03'8LV DUH HTXDOWRWKH67$¶VLQGLYLGXDODGGUHVVDQG

 ‡ 7KH67$KDVUHFHLYHGLQWKH$03'8DWOHDVWRQH03'8GHOLPLWHUZLWK(2)HTXDOWRDQG
 ZLWK03'8OHQJWKILHOGHTXDOWR


 $ QRQ$3 +( 67$ WKDW LV LQ LQWUD33'8 SRZHU VDYH PRGH DQG KDV HQWHUHG GR]H VWDWH RU KDV EHFRPH
 XQDYDLODEOHVKDOOFRQWLQXHWRRSHUDWHLWV1$9WLPHUVDQGFRQVLGHUWKHPHGLXPEXV\DQGVKDOOWUDQVLWLRQWR
 WKHDZDNHVWDWHDWWKHHQGRIWKH33'8


 $QRQ$3+(67$WKDWLVLQLQWUD33'8SRZHUVDYHPRGHPD\GLVFDUGD33'8LGHQWLILHGDVDQLQWHU%66

33'8DVGHILQHGLQ ,QWUD%66DQGLQWHU%6633'8FODVVLILFDWLRQ XQWLOWKHHQGRIWKH33'8


 127(²7KH67$FDQFRQWHQGIRUDFFHVVWRWKHPHGLXPLPPHGLDWHO\RQWKHH[SLU\RIWKH1$9WLPHUV


 3RZHUVDYHZLWK825$DQG7:7



7KLVVXEFODXVHGHILQHVWKHSRZHUVDYHPHFKDQLVPVIRUDQRQ$3+(67$WKDWLVRSHUDWLQJLQ36PRGHDQG

 LV825$DQG7:7FDSDEOH


 $Q+($3PD\LQGLFDWHVWDUWWLPHVIRURQHRUPRUHEURDGFDVW7:763VFRQWDLQLQJ7ULJJHUIUDPHVZLWKUDQ
 GRPDFFHVVDOORFDWLRQVLQWKHEURDGFDVW7:7HOHPHQWWKDWLVLQFOXGHGLQD0DQDJHPHQWIUDPHDVGHVFULEHG


&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 LQ 5XOHVIRU7:7VFKHGXOLQJ$3 $QH[DPSOHRISRZHUVDYHRSHUDWLRQLVVKRZQLQ)LJXUH



 ([DPSOHRISRZHUVDYHRSHUDWLRQZLWK825$DQG7:7 



 %URDGFDVW7:7

0RUH5$58 
0RUH5$58 
3DUDPHWHU6HW
 Broadcast TWT ID = 0,
 Flow Type = 0 (announced),
7:7 Trigger = 1 (trigger-enabled),
 HOHPHQW Broadcast TWT
 Recommendation = 2 (RA-RU)
 7
7 7
 Broadcast TWT
U U U
Recommendation  2
 7:763ZLWK 7ULJJHUIUDPH L L L
%HDFRQ

7ULJJHUIUDPH
ZLWK5$58V J J J
 QRJXDUDQWHH
J J J
ZLWKRXW5$58V
RI5$58
 $3 H H H
U U U

 7:763 $ZDNH
VWDWH

 7:763
 'R]H
67$ LQ36
 VWDWH


 )LJXUH²([DPSOHRISRZHUVDYHRSHUDWLRQZLWK825$DQG7:7


 $7:763ZLWK5$58LVD7:763FRUUHVSRQGLQJWRD%URDGFDVW7:73DUDPHWHU6HWILHOGLQD7:7HOH
 PHQWWKDWKDVD%URDGFDVW7:7,'VXEILHOGHTXDOWR)ORZ7\SHVXEILHOGHTXDOWR7ULJJHUVXEILHOGHTXDO
 WRDQGD%URDGFDVW7:75HFRPPHQGDWLRQVXEILHOGHTXDOWR$QDVVRFLDWHG+(67$WKDWVXSSRUWVWKH
 7:7DQG825$SURFHGXUHZKHQRSHUDWLQJLQ36PRGHXSRQUHFHLYLQJD%HDFRQIUDPHIURPLWVDVVRFLDWHG 

 $3FDUU\LQJD7:7HOHPHQWLQGLFDWLQJDVFKHGXOHIRU7:763 V ZLWK5$58PD\HQWHUWKHGR]HVWDWHLI
 QRRWKHUFRQGLWLRQUHTXLUHVLWWREHDZDNH7KH67$PD\WUDQVLWLRQWRDZDNHVWDWHDWWKHVWDUWRID7:763

 ZLWK5$58DQGIROORZWKHSURFHGXUHLQ 8/2)'0$EDVHGUDQGRPDFFHVV 825$ WRVHQGDQ
 +(7%33'8WRLWVDVVRFLDWHG$3


 $Q +( 67$ VKDOO IROORZ WKH SURFHGXUH GHVFULEHG LQ  3RZHU VDYH RSHUDWLRQ GXULQJ 7:7 63V  WR

 GHWHUPLQHLI7:763WHUPLQDWLRQHYHQWKDVRFFXUUHGDQGPD\HQWHUGR]HVWDWHLIQRRWKHUFRQGLWLRQUHTXLUHV
 WKH67$WRUHPDLQDZDNH

 $QRQ$3+(67$VKDOOGHFUHPHQWLWV2%2FRXQWHUE\IROORZLQJWKHSURFHGXUHLQ 7UDQVPLVVLRQ

 SURFHGXUHIRU825$ ,IWKH2%2FRXQWHUGHFUHPHQWVWRDQRQ]HURYDOXHWKHQWKH67$PD\HQWHUWKHGR]H
 VWDWHXQWLOWKHHQGRIWKHFXUUHQW7:763LIWKH67$KDVQRWGHFODUHGWRWKH$3WKDWLWLVLQDZDNHVWDWH DV
 GHVFULEHGLQ 5XOHVIRU7:7VFKHGXOHG67$ QRRWKHUFRQGLWLRQUHTXLUHVLWWRUHPDLQDZDNHDQG 
 RQHRIWKHIROORZLQJFRQGLWLRQVLVPHW

 ² 7KH0RUH7)VXEILHOGLQWKH&RPPRQ,QIRILHOGRIWKH7ULJJHUIUDPHLVHTXDOWR
 ² 7KH0RUH7)VXEILHOGLQWKH&RPPRQ,QIRILHOGRIWKH7ULJJHUIUDPHLVHTXDOWRDQGWKH0RUH5$
 58VXEILHOGLQWKH8VHU,QIRILHOGLVHTXDOWRLQGLFDWLQJWKDWVXEVHTXHQW7ULJJHUIUDPHVLQWKHFXU

 UHQWEURDGFDVW7:763ZLOOQRWLQFOXGH5$58VPDWFKLQJWKHYDOXHLQ$,'VXEILHOG VHH7DEOH
 J $,'VXEILHOGHQFRGLQJ 

 2SSRUWXQLVWLFSRZHUVDYH


 *HQHUDO

 $Q236QRQ$367$LVDQRQ$3+(67$WKDWVHWVWKH2366XSSRUWVXEILHOGLQWKH+(0$&&DSDELOLWLHV
 ,QIRUPDWLRQILHOGRIWKH+(&DSDELOLWLHVHOHPHQWWR


 $Q236$3LVDQ$3+(67$WKDWVHWVWKH2366XSSRUWVXEILHOGLQWKH+(0$&&DSDELOLWLHV,QIRUPDWLRQ

 ILHOGLQ+(&DSDELOLWLHVHOHPHQWWR

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KHREMHFWLYHRIWKHRSSRUWXQLVWLFSRZHUVDYHPHFKDQLVPLVWRDOORZ236QRQ$367$VWKDWDUHLQDFWLYH
 PRGHWREHXQDYDLODEOHDQGWRDOORZ236QRQ$367$VWKDWDUHLQ36PRGHDQGKDYHWREHLQWKHDZDNH

VWDWHEHFDXVHRIWKHSRZHUPDQDJHPHQWPRGHWKH\XVHWREHLQGR]HVWDWHWRVDYHSRZHUIRUDGHILQHGSHULRG

 7KHRSSRUWXQLVWLFSRZHUVDYHPHFKDQLVPKDVWZRPRGHVDSHULRGLFDQGSHULRGLF

 ,QWKHDSHULRGLFPRGHDQ236$3VHQGVDQ236IUDPHRUD),/6'LVFRYHU\IUDPHDWDQ\WLPHWRSURYLGHWKH
 VFKHGXOLQJLQIRUPDWLRQIRUDOO236QRQ$367$VIRUWKH236SHULRGWKDWIROORZVWKHWUDQVPLVVLRQRIWKH


236IUDPHRU),/6'LVFRYHU\IUDPH%DVHGRQWKLVLQIRUPDWLRQWKH236QRQ$367$VWKDWDUHLQDFWLYH
 PRGHPD\EHXQDYDLODEOHGXULQJWKH236SHULRGDQGWKH236QRQ$367$VWKDWDUHLQ36PRGHPD\EHLQ 
 GR]HVWDWHGXULQJWKH236SHULRG

 ,QWKHVFKHGXOHGPRGHDQ236$3VSOLWVDEHDFRQLQWHUYDOLQWRVHYHUDOSHULRGLFEURDGFDVW7:763VDQG 

 SURYLGHVDWWKHEHJLQQLQJRIHDFK63WKHVFKHGXOLQJLQIRUPDWLRQIRUDOO236QRQ$367$V%DVHGRQWKLV
 LQIRUPDWLRQWKH236QRQ$367$VWKDWDUHLQDFWLYHPRGHPD\EHXQDYDLODEOHXQWLOWKHQH[W7:763DQG 
 WKH236QRQ$367$VWKDWDUHLQ36PRGHPD\EHLQGR]HVWDWHXQWLOWKHQH[W7:763



$3RSHUDWLRQIRURSSRUWXQLVWLFSRZHUVDYH

 7RHQDEOHDSHULRGLFRSSRUWXQLVWLFSRZHUVDYHDQ236$3VKDOOVFKHGXOHIRUWUDQVPLVVLRQDQ236IUDPHRUD
 ),/6 'LVFRYHU\ IUDPH ZLWK WKH 5$ ILHOG VHW WR WKH EURDGFDVW DGGUHVV WKDW LQFOXGHV D 7,0 HOHPHQW VHH
  7,0HOHPHQW DQGDQ236HOHPHQW VHH 236HOHPHQW 7KH$3VKRXOGWUDQVPLWD),/6 

 'LVFRYHU\IUDPHLQVWHDGRIDQ236IUDPHLIWKHWDUJHWWUDQVPLVVLRQWLPHFORVHO\DOLJQVZLWKWKHWUDQVPLVVLRQ
 WLPHRID),/6'LVFRYHU\IUDPH7KH236'XUDWLRQILHOGLQWKH236HOHPHQWVKDOOEHVHWWRWKHGXUDWLRQRI
 WKH236SHULRGWKDWLPPHGLDWHO\IROORZVWKHWUDQVPLVVLRQRIWKH236IUDPHRU),/6'LVFRYHU\IUDPH7KH
 7,0HOHPHQWLVHQFRGHGVSHFLILFDOO\DVGHILQHGLQ 7,0HOHPHQW LQRUGHUWRSURYLGHWKHLQIRUPDWLRQ 
 RIZKLFK67$VDUHQRWVFKHGXOHGGXULQJWKH236SHULRG,IWKH236$3VHWVWKHELWFRUUHVSRQGLQJWRDQ236 

 QRQ$367$LQWKHWUDIILFLQGLFDWLRQYLUWXDOELWPDSILHOGFDUULHGE\WKH3DUWLDO9LUWXDO%LWPDSRIWKH7,0 
 HOHPHQWRIWKH236IUDPHRU),/6'LVFRYHU\IUDPHWRWKH$3VKRXOGVHQGQHLWKHULQGLYLGXDOO\DGGUHVVHG
 IUDPHVWRWKH67$QRU7ULJJHUIUDPHVZLWKD8VHU,QIRILHOGWKDWDGGUHVVHVWKH67$GXULQJWKH236SHULRG


7RHQDEOHSHULRGLFRSSRUWXQLVWLFSRZHUVDYHDQ236$3VKDOOLQFOXGHD7:7HOHPHQWLQEHDFRQVWRVHWD

 SHULRGLF%URDGFDVW7:763ZLWKWKHIROORZLQJLQIRUPDWLRQ
 ² 7KH%URDGFDVW7:75HFRPPHQGDWLRQILHOGVHWWR

 ² 7KH%URDGFDVW7:7,'VXEILHOGLVVHWWR

 $WWKHEHJLQQLQJRIWKHVHSHULRGLF7:763VZLWKWKH%URDGFDVW7:75HFRPPHQGDWLRQILHOGVHWWRWKH


$3VKDOOVFKHGXOHIRUWUDQVPLVVLRQD7,0IUDPHRU D ),/6'LVFRYHU\IUDPHZLWKWKH5$ILHOGVHWWRWKH
 EURDGFDVWDGGUHVVWKDWLQFOXGHVD7,0HOHPHQW VHH 7,0HOHPHQW 7KH),/6'LVFRYHU\IUDPHPD\
 LQFOXGHDQ236HOHPHQW7KH$3VKRXOGWUDQVPLWD),/6'LVFRYHU\IUDPHLQVWHDGRID7,0IUDPHLIWKH
 7:763VWDUWWLPHFORVHO\DOLJQVZLWKWKHWUDQVPLVVLRQWLPHRID),/6'LVFRYHU\IUDPH,IWKH236$3DOVR 
 RSHUDWHVZLWK7,0%URDGFDVWDQGXVHV7,0IUDPHVIRURSSRUWXQLVWLFSRZHUVDYHWKH236$3VKRXOGDOLJQ 


WKHWUDQVPLVVLRQWLPHRID7,0IUDPHIRU7,0%URDGFDVWZLWKWKHVWDUWWLPHRIWKHEURDGFDVW7:763ZLWK
 WKH%URDGFDVW7:75HFRPPHQGDWLRQILHOGVHWWR,IWKH236$3VHWVWKHELWFRUUHVSRQGLQJWRDQ236QRQ
 $367$LQWKHWUDIILFLQGLFDWLRQYLUWXDOELWPDSFDUULHGLQWKH3DUWLDO9LUWXDO%LWPDSILHOGRIWKH7,0HOHPHQW
 RIWKH7,0IUDPHRU),/6'LVFRYHU\IUDPHWRWKH$3VKRXOGVHQGQHLWKHULQGLYLGXDOO\DGGUHVVHGIUDPHVWR 
 WKH67$QRU7ULJJHUIUDPHVZLWKD8VHU,QIRILHOGWKDWDGGUHVVHVWKH67$GXULQJWKH7:763DQGXQWLOWKH


QH[W7:763ZLWKWKH%URDGFDVW7:75HFRPPHQGDWLRQILHOGVHWWR

 67$RSHUDWLRQIRURSSRUWXQLVWLFSRZHUVDYH


:LWK DSHULRGLF RSSRUWXQLVWLF SRZHU VDYH LI DQ 236 QRQ$3 67$ ZLWK $,' N WKDW LV LQ WKH DZDNH VWDWH

 UHFHLYHVD7,0HOHPHQWDQGDQ236HOHPHQWLQDQ236IUDPHRUD),/6'LVFRYHU\IUDPHIURPWKHDVVRFL
 DWHG236$3WKHQWKH67$PD\EHXQDYDLODEOHLIWKH67$LVLQDFWLYHPRGHRUPD\EHLQGR]HVWDWHLIWKH

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 67$LVLQ36PRGHXQWLOWKHHQGRIWKH236SHULRGLQGLFDWHGLQWKH236HOHPHQWLIWKHELWNLQWKHWUDIILF
 LQGLFDWLRQYLUWXDOELWPDSFDUULHGLQWKH3DUWLDO9LUWXDO%LWPDSILHOGRIWKHFXUUHQW7,0HOHPHQWLVXQOHVV

RWKHUFRQGLWLRQVQRWUHODWHGWRRSHUDWLRQZLWKWKH236$3UHTXLUHWKH67$WREHLQWKHDZDNHVWDWH$WWKH

 HQGRIWKH236SHULRGWKH67$VKDOOEHLQWKHDZDNHVWDWHXQOHVVGHWHUPLQHGRWKHUZLVHE\RWKHUSRZHUVDYH
 SURWRFROV

 :LWK SHULRGLF RSSRUWXQLVWLF SRZHU VDYH LI DQ 236 QRQ$3 67$ ZLWK $,' N WKDW LV LQ WKH DZDNH VWDWH

UHFHLYHVIURPWKH236$3ZLWKZKLFKLWDVVRFLDWHGD7,0HOHPHQWZLWKELWNRIWKHWUDIILFLQGLFDWLRQYLUWXDO

 ELWPDSILHOGHTXDOWRLQD7,0IUDPHRU),/6'LVFRYHU\IUDPHZLWKLQDEURDGFDVW7:763ZLWKWKH%URDG
 FDVW7:75HFRPPHQGDWLRQILHOGVHWWRWKHQWKH67$PD\EHXQDYDLODEOHLIWKH67$LVLQDFWLYHPRGHRU
 PD\EHLQGR]HVWDWHLIWKH67$LVLQ36PRGHGXULQJWKH7:763DQGXQWLOWKHQH[W7:763ZLWKWKH
 %URDGFDVW7:7 5HFRPPHQGDWLRQILHOG VHWWR XQOHVVRWKHUFRQGLWLRQV QRW UHODWHGWRRSHUDWLRQZLWK WKH

236$3UHTXLUHWKH67$WREHLQWKHDZDNHVWDWH


 $Q236QRQ$367$VKDOOQRWRSHUDWHZLWK7,0EURDGFDVWSURFHGXUHLILWVDVVRFLDWHG$3LVDQ236$3

 +(G\QDPLF60SRZHUVDYH


 $67$WKDWVXSSRUWV+(G\QDPLF60SRZHUVDYHKDVGRW+('\QDPLF603RZHU6DYH2SWLRQ,PSOHPHQWHG
 VHWWRWUXHDQGVKDOOVHWWKH+('\QDPLF603RZHU6DYHVXEILHOGLQWKH+(0$&&DSDELOLWLHV,QIRUPDWLRQ 
 ILHOGRIWKH+(&DSDELOLWLHVHOHPHQWLWWUDQVPLWVLQWKH*+]RU*+]EDQGWRDQGVHWVWKH603RZHU
 6DYHVXEILHOGLQWKH+(*+]%DQG&DSDELOLWLHVHOHPHQWLWWUDQVPLWVLQWKH*+]EDQGWR


 ,Q G\QDPLF 60 SRZHU VDYH PRGH VHH  60 SRZHU VDYH  D QRQ$3 +( 67$ WKDW VHWV WKH +( 
 '\QDPLF603RZHU6DYHVXEILHOGLQWKH+(0$&&DSDELOLWLHV,QIRUPDWLRQILHOGRIWKH+(&DSDELOLWLHVHOH
 PHQWLWWUDQVPLWVWRRUWKDWVHWVWKH603RZHU6DYHVXEILHOGLQWKH+(*+]%DQG&DSDELOLWLHVHOHPHQWLW
 WUDQVPLWV WR  VKDOO IROORZ WKH G\QDPLF 60 SRZHU VDYH SURFHGXUHV GHILQHG LQ  60 SRZHU VDYH 


H[FHSW WKDW WKH QRQ$3 +( 67$ PD\ HQDEOH LWV PXOWLSOH UHFHLYH FKDLQV LI LW UHFHLYHV D 7ULJJHU IUDPH DV
 GHVFULEHGEHORZ

 7KHQRQ$3+(67$HQDEOHVLWVPXOWLSOHUHFHLYHFKDLQVLILWUHFHLYHVD7ULJJHUIUDPHWKDWVWDUWVDIUDPH
 H[FKDQJHVHTXHQFH6XFKDIUDPHH[FKDQJHVHTXHQFHVKDOOVDWLVI\WKHIROORZLQJFRQGLWLRQV

 ² 7KHVWDUWLQJ7ULJJHUIUDPHLVWUDQVPLWWHGZLWKDVLQJOHVSDWLDOVWUHDP
 ² 7KHVWDUWLQJ7ULJJHUIUDPHLVIURPWKHDVVRFLDWHG$3RUIURPWKH$3FRUUHVSRQGLQJWRWKHWUDQVPLWWHG


 %66,'LIWKHQRQ$3+(67$LVDVVRFLDWHGZLWKDQRQWUDQVPLWWHG%66,'DQGKDVLQGLFDWHGVXSSRUW
 IRUUHFHLYLQJ&RQWUROIUDPHVZLWK7$VHWWRWKHWUDQVPLWWHG%66,'E\VHWWLQJWKH5[&RQWURO)UDPH
 7R0XOWL%66VXEILHOGWRLQWKH+(&DSDELOLWLHVHOHPHQWWKDWWKHQRQ$3+(67$WUDQVPLWV


² 7KH VWDUWLQJ 7ULJJHU IUDPH LV DQ 08576 7ULJJHU IUDPH %653 7ULJJHU IUDPH RU %453 7ULJJHU
 IUDPHWKDWLQFOXGHVD8VHU,QIRILHOGZLWKWKH$,'VXEILHOGHTXDOWRWKH/6%VRIWKH$,'RIWKH
 QRQ$3+(67$ VHH *HQHUDO LQG\QDPLF60SRZHUVDYHPRGH

 7KH QRQ$3 +( 67$ VKDOO VXEMHFW WR LWV VSDWLDO VWUHDP FDSDELOLWLHV VHH  6XSSRUWHG 0&6 6HW


ILHOG  6XSSRUWHG9+70&6DQG1666HWILHOG DQG +(&DSDELOLWLHVHOHPHQW DQG 
 RSHUDWLQJPRGH VHH 1RWLILFDWLRQRIRSHUDWLQJPRGHFKDQJHV DQG 2SHUDWLQJPRGHLQGLFDWLRQ 
 EHFDSDEOHRIUHFHLYLQJD33'8WKDWLVVHQWXVLQJPRUHWKDQRQHVSDWLDOVWUHDPD6,)6DIWHUWKHHQGRILWV
 UHVSRQVHIUDPHWUDQVPLVVLRQ7KH67$VZLWFKHVWRWKHPXOWLSOHUHFHLYHFKDLQPRGHLILWUHFHLYHVWKH7ULJJHU
 IUDPHDGGUHVVHGWRLWDVGHILQHGDERYHDQGVZLWFKHVEDFNLPPHGLDWHO\DIWHUWKHIUDPHH[FKDQJHVHTXHQFH


HQGV
 127(²$7ULJJHUIUDPHDOZD\VVROLFLWVDQLPPHGLDWHUHVSRQVH

 127(²$QRQ$3+(67$WKDWLVLQG\QDPLF60SRZHUVDYHPRGHDQGWKDWVHWVWKH+('\QDPLF603RZHU6DYH
 VXEILHOGLQWKH+(0$&&DSDELOLWLHV,QIRUPDWLRQILHOGRIWKH+(&DSDELOLWLHVHOHPHQWLWWUDQVPLWVWRRUWKDWVHWVWKH
 603RZHU6DYHVXEILHOGLQWKH+(*+]%DQG&DSDELOLWLHVHOHPHQWLWWUDQVPLWVWRFDQQRWGLVWLQJXLVKEHWZHHQD7ULJ
 JHUIUDPHVWKDWSUHFHGHVD0,02WUDQVPLVVLRQDQGD7ULJJHUIUDPHVWKDWGRHVQRWSUHFHGHD0,02WUDQVPLVVLRQDQG

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 WKHUHIRUHDOZD\VHQDEOHVLWVPXOWLSOHUHFHLYHFKDLQVLILWUHFHLYHVDQ085767ULJJHUIUDPH%6537ULJJHUIUDPHRU
 %4537ULJJHUIUDPHWKDWKDVD8VHU,QIRILHOGDGGUHVVHGWRLW


 33'8IRUPDW%:0&6166DQG'&0VHOHFWLRQUXOHV


*HQHUDO


 $Q +( 67$ FDQ WUDQVPLW GLIIHUHQW 33'8V IRUPDWV ZLWK GLIIHUHQW WUDQVPLW SDUDPHWHUV VXFK DV FKDQQHO
 ZLGWK 0&6 166 '&0 7KLV VXEFODXVH GHILQHV WKH UXOHV IROORZHG E\ DQ +( 67$ IRU VHOHFWLQJ WKHVH
 SDUDPHWHUVGHSHQGLQJRQWKHFDSDELOLWLHVRIWKHLQWHQGHGUHFHLYHU V DQGRWKHUFRQVLGHUDWLRQV


 33'8IRUPDWVHOHFWLRQ

 $Q+(67$WKDWWUDQVPLWVQRQ+7+7RU9+733'8VVKDOOIROORZWKHUXOHVLQ 0XOWLUDWHVXSSRUW 
 $Q+(67$PD\WUDQVPLWDQ+(6833'8WRDSHHU+(67$VXEMHFWWRWKHUHVWULFWLRQVGHILQHGEHORZ


 $Q+($3PD\WUDQVPLWDQ+(0833'8DVGHILQHGLQ +('/08RSHUDWLRQ $QRQ$3+(67$

 WUDQVPLWV+(7%33'8VDVGHILQHGLQ 8/08RSHUDWLRQ 


$67$VKDOOQRWWUDQVPLWDWRQH+((56833'8WRDSHHUQRQ$367$LIWKHPRVWUHFHQWO\UHFHLYHG

 20&RQWUROILHOGIURPWKDWSHHUQRQ$367$LIDQ\KDVWKH(568'LVDEOHVXEILHOGHTXDOWR

 $67$VKDOOQRWWUDQVPLWDWRQH+((56833'8WRDQ$3LIWKHPRVWUHFHQWO\UHFHLYHG+(2SHUDWLRQ

 HOHPHQWIURPWKDW$3KDVWKH(568'LVDEOHVXEILHOGHTXDOWR


 $ 67$ VKDOO QRW WUDQVPLW D WRQH +( (5 68 33'8 WR D SHHU 67$ LI WKH +( &DSDELOLWLHV HOHPHQW
 UHFHLYHGIURPWKDWSHHU67$KDVWKH3DUWLDO%DQGZLGWK([WHQGHG5DQJHILHOGHTXDOWR

 $QRQ$367$7'/667$RU,%6667$VKDOOQRWWUDQVPLWD0+]+(0833'8ZLWKMXVWDWRQH

 58WRDSHHU67$XQOHVVLWKDVUHFHLYHGIURPWKHSHHU67$DQ+(&DSDELOLWLHVHOHPHQWZLWKWKH5[3DUWLDO
 %:68,Q0+]+(0833'8VXEILHOGLQWKH+(3+<&DSDELOLWLHV,QIRUPDWLRQILHOGHTXDOWR

 127(²$QRQ$367$WUDQVPLWWLQJDQ+(0833'8VHWVWKH7;9(&725SDUDPHWHU83/,1.B)/$*WRLIWKH
 33'8LVVHQWWRWKH$3DQGWRLIWKH33'8LVVHQWWRD7'/667$ VHH 83/,1.B)/$* 7KH+(08 
 33'8IRUPDWHQDEOHVWKHQRQ$367$WRLQFOXGHLWV$,' LHWUDQVPLWWHU¶V$,'LIWKH83/,1.B)/$*LVDQGWKH
 UHFHLYHU¶V$,'LIWKH83/,1.B)/$*LV LQWKH3+<KHDGHURIWKH33'8DQGLWVXVHLVRXWRIVFRSHRIWKHVWDQGDUG

 $Q+(67$VKDOOQRWWUDQVPLWDQ+(0833'8ZLWKDVLQJOHXVHUEHLQJDOORFDWHGDQ58RFFXS\LQJWKH
 HQWLUH33'8EDQGZLGWKDQGDFRPSUHVVHG+(6,*%WRDSHHU67$XQOHVVWKH+(67$KDVUHFHLYHGIURP

 WKHSHHU67$DQ+(&DSDELOLWLHVHOHPHQWZLWKWKH5[)XOO%:688VLQJ+(0833'8:LWK&RPSUHVVHG

+(6,*%VXEILHOGLQWKH+(3+<&DSDELOLWLHV,QIRUPDWLRQILHOGHTXDOWR


 $Q+(67$VKDOOQRWWUDQVPLWDQ+(0833'8ZLWKDVLQJOHXVHUEHLQJDOORFDWHGDQ58RFFXS\LQJWKH
 HQWLUH33'8EDQGZLGWKDQGDQRQFRPSUHVVHG+(6,*%WRDSHHU67$XQOHVVWKH33'8EDQGZLGWKLVOHVV
 WKDQRUHTXDOWR0+]DQGWKH+(67$KDVUHFHLYHGIURPWKHSHHU67$DQ+(&DSDELOLWLHVHOHPHQWZLWK



WKH5[)XOO%:688VLQJ+(0833'8:LWK1RQ&RPSUHVVHG+(6,*%VXEILHOGLQWKH+(3+<&DSD
 ELOLWLHV,QIRUPDWLRQILHOGHTXDOWR

 $Q +( 67$ VKDOO VHQG &RQWURO IUDPHV IROORZLQJ WKH UXOHV GHILQHG LQ  5DWH VHOHFWLRQ IRU &RQWURO
 IUDPHV ZLWKWKHIROORZLQJH[FHSWLRQV

 ² $&RQWUROIUDPHVKDOOEHFDUULHGLQDQ+733'89+733'8+((56833'8RU+(6833'8

 ZKHQWKH&RQWUROIUDPHLVVHQWXVLQJDQ67%&IUDPH

 ² $&RQWUROIUDPHVHQWE\WKH$3DVDUHVSRQVHWRDQ+(7%33'8PD\EHFDUULHGLQDQ\33'8IRU
 PDWWKDWLVVXSSRUWHGE\WKHLQWHQGHGUHFHLYHUV

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ² $7ULJJHUIUDPHWKDWLVQRWDQ085767ULJJHUIUDPHPD\EHFDUULHGLQDQ\33'8IRUPDWWKDWLV
 VXSSRUWHGE\WKHLQWHQGHGUHFHLYHUVVXEMHFWWRWKHUHVWULFWLRQVLQ 8/08RSHUDWLRQ 

 ² $&RQWUROIUDPHLVFDUULHGLQDQ+(7%33'8LILWLVVHQWDVDUHVSRQVHWRD33'8WKDWFRQWDLQVD
 7ULJJHUIUDPHWKDWLVQRWDQ085767ULJJHUIUDPHRULILWLVVHQWDVDUHVSRQVHWRD33'8WKDWFRQ
 WDLQVDIUDPHFRQWDLQLQJD756&RQWUROVXEILHOG VHH 8/08RSHUDWLRQ 

 ² $&RQWUROIUDPHVHQWE\DQ+(67$DVDUHVSRQVHWRDQ+((56833'8WKDWGRHVQRWFRQWDLQD
 7ULJJHUIUDPHRUIUDPHFDUU\LQJD756&RQWUROILHOGVKRXOGEHFDUULHGLQDQ+((56833'8XQOHVV
 WKHPRVWUHFHQWO\UHFHLYHG33'8VHQWE\DUHFLSLHQWRIWKH+((56833'8WRWKH+(67$DIWHU

 DVVRFLDWLRQZDVQRWDQ+((56833'8LQZKLFKFDVHWKH&RQWUROIUDPHVKRXOGEHFDUULHGLQQRQ
 +733'8
 ² $&RQWUROIUDPHVHQWE\DQ+(67$DVDUHVSRQVHWRDQ+(6833'8RUDQRQ+733'8WKDWGRHV

 QRWFRQWDLQD7ULJJHUIUDPHRUIUDPHFDUU\LQJD756&RQWUROILHOGVKRXOGEHFDUULHGLQDQRQ+7

 33'8XQOHVVWKHPRVWUHFHQWO\UHFHLYHG33'8VHQWE\DUHFLSLHQWRIWKH+(6833'8WRWKH+( 
 67$DIWHUDVVRFLDWLRQZDVDQ+((56833'8LQZKLFKFDVHWKH&RQWUROIUDPHVKRXOGEHFDUULHGLQ

 DQ+((56833'8

 ² $&RQWUROIUDPHVKDOOQRWEHVHQWLQDQ+((56833'8LIWKHFKDQQHOEDQGZLGWKRIWKHVROLFLWLQJ

 33'8LVJUHDWHUWKDQ0+]

 ² $&RQWUROIUDPHWKDWLVQRWVROLFLWHGE\DQRWKHUIUDPHDQGLVQRWD7ULJJHUIUDPHPD\EHFDUULHGLQDQ

 +((56833'8


² $&RQWUROIUDPHVHQWLQWKH*+]EDQGDVDUHVSRQVHWRDQ+(6833'8RU+(0833'8DQGWKDW
 LVQRWFDUULHGLQ+(7%33'8PD\EHFDUULHGLQDQ+(6833'8LIWKHWUDQVPLWWLPHRI+(68 
 33'8LVOHVVWKDQRUHTXDOWRWKH33'8GXUDWLRQRIDQRQ+733'8FRQWDLQLQJWKH&RQWUROIUDPH
 VHQWDWWKHSULPDU\UDWH VHH 6HOHFWLRQRIDUDWHRU0&6 

 127(²$FKDQJHLQWKHIRUPDWRIWKH33'8FRQWDLQLQJWKHFRQWUROUHVSRQVHIUDPH EHWZHHQQRQ+7DQG+((568 
 33'8 RFFXUVLQVXEVHTXHQW7;23V$67$WKDWVROLFLWVDFRQWUROUHVSRQVHIUDPHIURPDUHVSRQGLQJ67$DFFRXQWVIRU
 WKH33'8IRUPDWRIWKHFRQWUROUHVSRQVHIUDPHWRFDOFXODWHWKHH[SHFWHGGXUDWLRQRIWKH7;237KHUHVSRQGLQJ67$ 
 GHWHUPLQHVWKDWWKHPRVWUHFHQW33'8VHQWWRWKHVROLFLWLQJ67$LVUHFHLYHGLILWUHFHLYHVDQLPPHGLDWHDFNQRZOHGJPHQW
 E\WKHVROLFLWLQJ67$LQUHVSRQVHWRWKH33'8

 127(²$67$GRHVQRWWUDQVPLWD&RQWUROIUDPHLQDQ+((56833'8WRDUHFHLYLQJ67$XQOHVVWKHUHFHLYLQJ

 67$LQGLFDWHVWKDW+((56833'8UHFHSWLRQLVHQDEOHG

 $Q+(67$VKRXOGVHQGDQ$FNIUDPHLQWKHVDPH33'8IRUPDWDVWKHVROLFLWLQJ33'8LIWKHVROLFLWLQJ
 33'8LVD9+733'8RU+733'8FRQWDLQLQJD)LQH7LPLQJ0HDVXUHPHQWIUDPH


 0&6166%:DQG'&0VHOHFWLRQ


$Q+(67$VKDOOIROORZWKHUXOHVGHILQHGLQ 0XOWLUDWHVXSSRUW DQG 5DWHVHOHFWLRQFRQVWUDLQWV

 IRU+(67$V IRUVHOHFWLQJWKHUDWH0&6166DQGWKHUXOHVGHILQHGLQ 9+7DQG6*576SURFH
 GXUH  &76DQG'0*&76SURFHGXUH  &KDQQHO:LGWKVHOHFWLRQIRU&RQWUROIUDPHV DQG
  &KDQQHO:LGWKLQQRQ+7DQGQRQ+7GXSOLFDWH33'8V IRUVHOHFWLQJWKHFKDQQHOZLGWK %: RI
 WUDQVPLWWHG33'8VZLWKWKHIROORZLQJH[FHSWLRQV

 ² +(0&6166DQG%:VHOHFWLRQIRUDQ+(7%33'8DUHGHILQHGLQ 1RQ$367$EHKDY
 LRUIRU8/08RSHUDWLRQ 

 ² 5DWHDQG%:VHOHFWLRQIRUD&76VHQWLQUHVSRQVHWRDQ085767ULJJHUIUDPHDUHGHILQHGLQ

 085767ULJJHU&76IUDPHH[FKDQJHSURFHGXUH 

 ² $ 67$ WKDW WUDQVPLWV D &RQWURO IUDPH FDUULHG LQ D QRQ+7 33'8 WKDW LV D UHVSRQVH WR D IUDPH
 UHFHLYHGLQDQ+((56833'8VKDOOVHWWKHUDWHRIWKHQRQ+733'8WR0EV

² $67$WKDWWUDQVPLWVD&RQWUROIUDPHWKDWLVDQ603'8FDUULHGLQDQ+((56833'8DQGWKDWLV

 DUHVSRQVHWRDIUDPHUHFHLYHGLQDQ+((56833'8VKDOOXVHWKH+(0&6166!WXSOH+(
 0&6!

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ² 166DQG%:VHOHFWLRQLVIXUWKHUFRQVWUDLQHGDVGHILQHGLQ 2SHUDWLQJPRGHLQGLFDWLRQ 


 1RWLILFDWLRQRIRSHUDWLQJPRGHFKDQJHV  33'8IRUPDWVHOHFWLRQ  +(%66RSHUD

WLRQ DQGLQWKHUHPDLQLQJVXEFODXVHVRI 33'8IRUPDW%:0&6166DQG'&0VHOHFWLRQ 

 UXOHV 

 $Q+(67$WKDWWUDQVPLWVDQ+(33'8WRDUHFHLYLQJ67$VKDOOXVHDQ+(0&6166!WXSOHWKDWLVVXS
 SRUWHGE\WKHUHFHLYLQJ67$DVLQGLFDWHGE\WKH6XSSRUWHG+(0&6$QG1666HWILHOGLQWKH+(&DSDELOL

 WLHVHOHPHQWWKDWWKHUHFHLYLQJ67$WUDQVPLWV,IWKH6XSSRUWHG+(0&6DQG166VHWRIWKHUHFHLYLQJ67$

 RU67$VLVQRWNQRZQWKHWUDQVPLWWLQJ67$VKDOOWUDQVPLWXVLQJD+(0&6166!WXSOHLQWKHEDVLF+(
 0&6DQG166VHWLIWKHEDVLF+(0&6DQG166VHWLVQRWHPSW\RWKHUZLVHWKHWUDQVPLWWLQJ67$VKDOO
 WUDQVPLWXVLQJD+(0&6166!WXSOHLQWKHPDQGDWRU\+(0&6DQG1666HW$Q+(67$LVVXEMHFWWR 
 DOORIWKHUXOHVIRU+767$VDQG9+767$VWKDWDSSO\WRLWVRSHUDWLQJEDQG VHH 3URWHFWLRQPHFKD

 QLVPV 

 $Q+(67$PD\WUDQVPLWDQ+(33'8ZLWK4$0RQDDQGWRQH58WRDUHFLSLHQW67$ 
 LILWKDVUHFHLYHGIURPWKHUHFLSLHQW67$DQ+(&DSDELOLWLHVHOHPHQWZLWKWKH5[4$0WRQH58


 6XSSRUWVXEILHOGLQWKH+(3+<&DSDELOLWLHV,QIRUPDWLRQILHOGHTXDOWRRWKHUZLVHWKH+(67$VKDOOQRW
 WUDQVPLWDQ+(33'8ZLWK4$0RQDDQGWRQH58

 $Q+($3VKDOOQRWVHWWKH8/+(0&6VXEILHOGRID8VHU,QIRILHOGLQD7ULJJHUIUDPHWRRUIRUD

 RUWRQH58DOORFDWLRQXQOHVVWKH8VHU,QIRILHOGLVDGGUHVVHGWRDQRQ$3+(67$IURPZKLFKWKH
 +($3KDVUHFHLYHGDQ+(&DSDELOLWLHVHOHPHQWZLWKWKH7[4$0WRQH586XSSRUWVXEILHOGLQ
 WKH+(3+<&DSDELOLWLHV,QIRUPDWLRQILHOGHTXDOWR


 $Q+(67$WKDWVHQGVD&RQWUROIUDPHLQUHVSRQVHWRDIUDPHFDUULHGLQDQ+(6833'8RUDQ+((568 
 33'8RUDQ+(0833'8WKDWFDUULHVDIUDPHZLWKWKH1RUPDO$FNRU,PSOLFLW%$5DFNSROLF\VKDOOVHW
 WKH7;9(&725SDUDPHWHU&+B%$1':,'7+WRLQGLFDWHDFKDQQHOZLGWKWKDWLVWKHVDPHDVWKHFKDQQHO
 ZLGWKLQGLFDWHGE\WKH5;9(&725SDUDPHWHU&+B%$1':,'7+RIWKHIUDPHHOLFLWLQJWKHUHVSRQVH,I
 WKHPRVWUHFHQWO\UHFHLYHG33'8VHQWE\WKHUHVSRQGLQJ67$WRWKHVROLFLWLQJ67$DIWHUDVVRFLDWLRQZDVDQ

 +((56833'8WKHVROLFLWLQJ67$VKDOOVHWWKH7;9(&725SDUDPHWHU&+B%$1':,'7+WR&%: 
 IRUDQ+(6833'8DQGWR(558RU(558+IRUDQ+((56833'8

 127(²$SUHDPEOHSXQFWXUHG+(0833'8FDQQRWFDUU\DIUDPHZLWK1RUPDO$FNRU,PSOLFLW%$5DFNSROLF\LIWKH
 VROLFLWHG33'8FRQWDLQLQJDFRQWUROUHVSRQVHRFFXSLHVRQHRUHPRUHSXQFWXUHG0+]FKDQQHOVRIWKHSUHDPEOHSXQF
 WXUHG+(0833'8 VHH 5HVSRQGLQJWRDQ+(0833'8ZLWKDQ6833'8 

 ,I D FRQWURO UHVSRQVH IUDPH LV WUDQVPLWWHG LQ DQ +( 68 33'8 RU +( 08 33'8 WKH FKDQQHO ZLGWK

 &+B%$1':,'7+SDUDPHWHURIWKH7;9(&725 VKDOOEHVHOHFWHGILUVWDFFRUGLQJWR &KDQQHO


:LGWKVHOHFWLRQIRU&RQWUROIUDPHV DQGWKHQWKH+(0&6166!WXSOHVKDOOEHVHOHFWHGIURPDVHWRI
 +(0&6166!WXSOHVFDOOHGWKHCandidateMCSSet7KHCandidateMCSSetLVGHILQHGLQ &RQ
 WUROUHVSRQVHIUDPH0&6FRPSXWDWLRQ H[FHSWWKDWWKHVHWDGGLWLRQDOO\FRQWDLQVWKH+(0&6166!WXSOHV
 IRUDQ+(67$


 $Q+(67$PD\WUDQVPLWDQ+(6833'8RU+((56833'8ZLWK'&0DSSOLHGWRWKH'DWDILHOGWRD
 UHFLSLHQW67$LILWKDVUHFHLYHGIURPWKHUHFLSLHQW67$DQ+(&DSDELOLWLHVHOHPHQWZLWKWKH'&00D[&RQ
 VWHOODWLRQ5[VXEILHOGLQWKH+(3+<&DSDELOLWLHV,QIRUPDWLRQILHOGJUHDWHUWKDQRWKHUZLVHWKH+(67$

 VKDOOQRWWUDQVPLWDQ+(6833'8RU+((56833'8ZLWK'&0DSSOLHGWRWKH'DWDILHOGWRWKHUHFLSLHQW

67$


 $Q+(67$PD\WUDQVPLWWRDUHFLSLHQW67$DQ+(0833'8ZLWK'&0DSSOLHGWRWKH+(6,*%ILHOG
 DQGRUDQ58LQWKH'DWDILHOGDGGUHVVHGWRWKH67$LILWKDVUHFHLYHGIURPWKHUHFLSLHQW67$DQ+(&DSD

ELOLWLHVHOHPHQWZLWKWKH'&00D[&RQVWHOODWLRQ5[VXEILHOGLQWKH+(3+<&DSDELOLWLHV,QIRUPDWLRQILHOG

 JUHDWHUWKDQRWKHUZLVHWKH+(67$VKDOOQRWWUDQVPLWWRWKHUHFLSLHQW67$DQ+(0833'8ZLWK'&0 
 DSSOLHGWRWKH+(6,*%ILHOGDQGRUDQ58LQWKH'DWDILHOGDGGUHVVHGWRWKH67$

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $Q+(67$WUDQVPLWVDQ+(7%33'8ZLWK'&0DVGHILQHGLQ 1RQ$367$EHKDYLRUIRU8/ 
 08RSHUDWLRQ $Q+($3VKDOOQRWVHWWKH'&0VXEILHOGRID8VHU,QIRILHOGLQD7ULJJHUIUDPHWRLILWKDV

QRWUHFHLYHGIURPWKHUHFLSLHQW67$DQ+(&DSDELOLWLHVHOHPHQWZLWKWKH'&00D[&RQVWHOODWLRQ7[VXE

 ILHOGLQWKH+(3+<&DSDELOLWLHV,QIRUPDWLRQILHOGJUHDWHUWKDQ

 $Q+(67$WKDWWUDQVPLWVDQ+(33'8ZLWK'&0DSSOLHGWRWKH'DWDILHOGWRDUHFLSLHQW67$VKDOOXVHDQ 
 58VL]HWKDWLVOHVVWKDQRUHTXDOWRWKHPD[LPXP58VL]HLQGLFDWHGLQWKH'&00D[58VXEILHOGLQWKH+(



3+<&DSDELOLWLHV,QIRUPDWLRQILHOGLQWKH+(&DSDELOLWLHVHOHPHQWUHFHLYHGIURPWKHUHFLSLHQW67$

 $Q+($3WKDWWUDQVPLWVD7ULJJHUIUDPHDGGUHVVHGWRDUHFLSLHQW67$WKDWVROLFLWVDQ+(7%33'8ZLWK
 '&0VKDOOVHWWKH58$OORFDWLRQVXEILHOGLQWKH7ULJJHUIUDPHWRLQGLFDWHDQ58VL]HWKDWLVOHVVWKDQRU
 HTXDOWRWKHPD[LPXP58VL]HLQGLFDWHGLQWKH'&00D[58VXEILHOGLQ+(3+<&DSDELOLWLHV,QIRUPDWLRQ 

 ILHOGLQWKH+(&DSDELOLWLHVHOHPHQWUHFHLYHGIURPWKHUHFLSLHQW67$

 $Q+(67$WKDWWUDQVPLWVDQ+(33'8ZLWK'&0DSSOLHGWRWKH'DWDILHOGWRDUHFLSLHQW67$VKDOOXVHDQ 
 166WKDWLVOHVVWKDQRUHTXDOWRWKHYDOXHLQGLFDWHGLQWKH'&00D[1665[VXEILHOGLQWKH+(3+<&DSD

ELOLWLHV,QIRUPDWLRQILHOGLQWKH+(&DSDELOLWLHVHOHPHQWUHFHLYHGIURPWKHUHFLSLHQW67$


 $Q+($3WKDWWUDQVPLWVD7ULJJHUIUDPHZLWKD8VHU,QIRILHOGDGGUHVVHGWRDUHFLSLHQW67$DQGZLWKWKH
 8/'&0VXEILHOGLQWKH8VHU,QIRILHOGVHWWRVKDOOVHWWKH1XPEHU2I6SDWLDO6WUHDPVVXEILHOGLQWKH66
 $OORFDWLRQVXEILHOGLQWKH8VHU,QIRILHOGWROHVVWKDQRUHTXDOWRWKH'&00D[1667[VXEILHOGLQ+(3+<

 &DSDELOLWLHV,QIRUPDWLRQILHOGLQWKH+(&DSDELOLWLHVHOHPHQWUHFHLYHGIURPWKHUHFLSLHQW67$

 $Q+($3VKDOOQRWWUDQVPLWD7ULJJHUIUDPHZLWKWKH8/67%&VXEILHOGVHWWRDQGWKH8/%:VXEILHOG 
 VHWWRLQGLFDWHDEDQGZLGWKOHVVWKDQRUHTXDOWR0+]LIDWOHDVWRQH8VHU,QIRILHOGLVDGGUHVVHGWRDQRQ

$3+(67$IURPZKLFKWKH+($3KDVUHFHLYHGDQ+(&DSDELOLWLHVHOHPHQWZLWKWKH67%&7[”0+]

 VXEILHOGLQ+(3+<&DSDELOLWLHV,QIRUPDWLRQILHOGHTXDOWR

 $Q+($3VKDOOQRWWUDQVPLWD7ULJJHUIUDPHZLWKWKH8/67%&VXEILHOGVHWWRDQGWKH8/%:VXEILHOG 
 VHWWRLQGLFDWH0+]RU0+]LIDWOHDVWRQH8VHU,QIRILHOGLVDGGUHVVHGWRDQRQ$3+(67$IURP



ZKLFKWKH+($3KDVUHFHLYHGDQ+(&DSDELOLWLHVHOHPHQWZLWKWKH67%&7[!0+]VXEILHOGLQ+( 
 3+<&DSDELOLWLHV,QIRUPDWLRQILHOGHTXDOWR

 $Q+(67$WKDWVHQGVD&RQWUROIUDPHLQDQ+((56833'8IRUPDWVKRXOGXVH

 ² '&0HQFRGLQJLIWKHPRVWUHFHQWO\UHFHLYHG33'8VHQWE\WKH+(67$DIWHUDVVRFLDWLRQWRWKH
 67$VROLFLWLQJWKH&RQWUROIUDPHXVHG'&0RWKHUZLVHWKH67$VKRXOGQRWXVH'&0IRUWKH&RQWURO
 IUDPH

 ² WRQH+((56833'8LIWKHPRVWUHFHQWO\UHFHLYHG33'8VHQWE\WKH+(67$DIWHUDVVRFLD
 WLRQWRWKH67$VROLFLWLQJWKH&RQWUROIUDPHZDVDWRQH+((56833'8RWKHUZLVHWKH67$

 VKRXOGQRWXVHDWRQH+((56833'8IRUWKH&RQWUROIUDPH

 127(²7UDQVPLWSDUDPHWHUVZLWFKLQJRFFXUVLQVXEVHTXHQW7;23V$67$WKDWVROLFLWVD&RQWUROIUDPHIURPDSHHU
 67$ DFFRXQWV IRU WKH WUDQVPLW SDUDPHWHU RI WKH &RQWURO IUDPH WR FDOFXODWH WKH H[SHFWHG GXUDWLRQ RI WKH 7;23 7KH
 UHVSRQGLQJ67$GHWHUPLQHVWKDWWKHPRVWUHFHQW33'8VHQWWRWKHVROLFLWLQJ67$LVUHFHLYHGLILWUHFHLYHVDQLPPHGLDWH
 DFNQRZOHGJPHQWE\WKHVROLFLWLQJ67$LQUHVSRQVHWRWKH33'8

 5DWHVHOHFWLRQFRQVWUDLQWVIRU+(67$V


 5HFHLYH+(0&6DQG1666HW

 7KHUHFHLYH+(0&6DQG166VHWLVWKHVHWRI+(0&6166!WXSOHVIRU33'8EDQGZLGWKVOHVVWKDQRU

HTXDOWR0+]0+]33'8VRU0+]33'8VWKDWD67$LVFDSDEOHRIUHFHLYLQJ7KHUHFHLYH

 +(0&6DQG166VHWIRUDILUVW67$LVGHWHUPLQHGE\DVHFRQG+(67$IRUHDFK+(0&6166!WXSOH
 166 «DQG33'8EDQGZLGWK OHVVWKDQRUHTXDOWR0+]DQG0+]RU0+] IURPWKH

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 6XSSRUWHG+(0&6$QG1666HWILHOGRIWKH+(&DSDELOLWLHVHOHPHQWUHFHLYHGIURPWKHILUVW67$DVIRO
 ORZV

 ² ,IVXSSRUWIRUWKH+(0&6IRU166VSDWLDOVWUHDPVDWWKDW33'8EDQGZLGWKLVPDQGDWRU\ VHH
 ,QWURGXFWLRQWRWKH+(3+< WKHQWKH+(0&6166!WXSOHDWWKDWEDQGZLGWKLVVXSSRUWHGE\
 WKHILUVW67$RQUHFHLYH

 ² 2WKHUZLVHLIWKH0D[+(0&6)RUn66VXEILHOG n 166 LQHDFK5[+(0&60DSbVXEILHOGIRU
 b^”0+]0+]0+]`LQGLFDWHVVXSSRUWDQGQHLWKHUWKH2SHUDWLQJ0RGHILHOGQRU
 WKH 20 &RQWURO VXEILHOG LV UHFHLYHG IURP WKH ILUVW +( 67$ WKHQ WKH +(0&6 166! WXSOH DW
 33'8EDQGZLGWKbIRUDJLYHQRSHUDWLQJFKDQQHOZLGWKLVVXSSRUWHGE\WKHILUVW67$RQUHFHLYHDV

 GHILQHGLQ 6XSSRUWHG+(0&6$QG1666HWILHOG 
 ² 2WKHUZLVH

 ‡ ,IWKH2SHUDWLQJ0RGHILHOGLVUHFHLYHGIURPWKHILUVW+(67$WKH+(0&6166!WXSOHDWWKDW
 33'8EDQGZLGWKIRUDJLYHQRSHUDWLQJFKDQQHOZLGWKLVVXSSRUWHGE\WKHILUVW67$RQUHFHLYHDV
 GHILQHGLQ 6XSSRUWHG+(0&6$QG1666HWILHOG DQGE\(TXDWLRQ D 


‡ ,IWKH20&RQWUROVXEILHOGLVUHFHLYHGIURPWKHILUVW+(67$WKH+(0&6166!WXSOHDWWKDW
 33'8EDQGZLGWKIRUDJLYHQRSHUDWLQJFKDQQHOZLGWKLVVXSSRUWHGE\WKHILUVW67$RQUHFHLYHDV
 GHILQHGLQ 6XSSRUWHG+(0&6$QG1666HWILHOG DQGE\(TXDWLRQ  

² 2WKHUZLVHWKH+(0&6166!WXSOHDWWKDW33'8EDQGZLGWKLVQRWVXSSRUWHGE\WKHILUVW67$RQ

 UHFHLYH

 7KH+(0&6166!WXSOHVH[FOXGHGE\ $GGLWLRQDOUDWHVHOHFWLRQFRQVWUDLQWVIRU+(33'8V 
 FDQDOVREHHOLPLQDWHGIURPWKHUHFHLYH+(0&6DQG166VHW


 $Q+(67$VKDOOQRWXQOHVVH[SOLFLWO\VWDWHGRWKHUZLVHWUDQVPLWDQ+(33'8XQOHVVWKH+(0&6166!

 WXSOHDQGEDQGZLGWKXVHGDUHLQWKHUHFHLYH+(0&6DQG166VHWRIWKHUHFHLYLQJ67$ V 


 7UDQVPLW+(0&6DQG1666HW

 7KHWUDQVPLW+(0&6DQG166VHWLVWKHVHWRI+(0&6166!WXSOHVIRU33'8EDQGZLGWKOHVVWKDQRU
 HTXDOWR0+]0+]33'8VRU0+]33'8VWKDWD67$LVFDSDEOHRIWUDQVPLWWLQJ7KHWUDQV
 PLW+(0&6DQG166VHWRIDILUVW67$LVGHWHUPLQHGE\DVHFRQG67$IRUHDFK+(0&6166!WXSOH

 166 «DQG33'8EDQGZLGWK OHVVWKDQRUHTXDOWR0+]DQG0+]RU0+] IURPWKH
 6XSSRUWHG+(0&6$QG1666HWILHOGUHFHLYHGIURPWKHILUVW67$DVIROORZV
 ² ,IVXSSRUWIRUWKH+(0&6166!WXSOHDWWKDWEDQGZLGWKLVPDQGDWRU\ VHH ,QWURGXFWLRQWR


 WKH+(3+< WKHQWKH+(0&6166!WXSOHDWWKDW33'8EDQGZLGWKLVVXSSRUWHGE\WKHILUVW
 67$RQWUDQVPLW
 ² 2WKHUZLVHLIWKH0D[+(0&6)RUn66VXEILHOG n 166 LQHDFK7[+(0&60DSbVXEILHOGIRU

 b^” 0+]  0+]  0+]` LQGLFDWHV VXSSRUW WKHQ WKH +(0&6 166! WXSOH DW
 33'8EDQGZLGWKbIRUDJLYHQRSHUDWLQJFKDQQHOZLGWKLVVXSSRUWHGE\WKHILUVW67$RQWUDQVPLWDV
 GHILQHGLQ 6XSSRUWHG+(0&6$QG1666HWILHOG 

 ² 2WKHUZLVHWKH+(0&6166!WXSOHDWWKDW33'8EDQGZLGWKLVQRWVXSSRUWHGE\WKHILUVW67$RQ
 WUDQVPLW

 $QRQ$367$PD\H[FOXGHFHUWDLQQXPEHUVRIVSDFHWLPHVWUHDPVNSTSDVGHILQHGLQ 7UDQVPLW

RSHUDWLQJPRGH 720 LQGLFDWLRQ IURPLWVWUDQVPLW+(0&6DQG166VHW


 $GGLWLRQDOUDWHVHOHFWLRQFRQVWUDLQWVIRU+(33'8V


$67$VKDOOQRWWUDQVPLWD0+]RU0+]+(33'8ZLWKDQ+(0&6166!WXSOHWKDWKDV+(0&6 

 RUDQG166OHVVWKDQRUHTXDOWRWRDUHFHLYHU67$WKDWKDVPDUNHGDVXQVXSSRUWHGWKH+70&6

 ZLWKYDOXH+(0&6î 166± LQWKH5[0&6%LWPDVNVXEILHOGLQWKH6XSSRUWHG0&66HWILHOGLQWKH

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 +7&DSDELOLWLHVHOHPHQWLWWUDQVPLWV7KHWUDQVPLVVLRQRID0+]RU0+]+(33'8ZLWK+(0&6

 JUHDWHUWKDQLVQRWVXEMHFWWRWKLVFRQVWUDLQW


 $67$VKDOOQRWWUDQVPLWDQ0+]0+]RU0+]+(33'8ZLWKDQ+(0&6166!WXSOH
 WKDWKDV+(0&6RUDQG166OHVVWKDQRUHTXDOWRWRDUHFHLYHU67$WKDWKDVPDUNHGDVXQVXSSRUWHG
 WKH+70&6YDOXHVRIERWKî+(0&6î 166± DQGî+(0&6î 166± LQWKH5[ 
 0&6 %LWPDVN VXEILHOG LQ WKH 6XSSRUWHG 0&6 6HW ILHOG LQ WKH +7 &DSDELOLWLHV HOHPHQW LW WUDQVPLWV 7KH

 WUDQVPLVVLRQRIDQ0+]0+]RU0+]+(33'8ZLWK+(0&6JUHDWHUWKDQLVQRWVXEMHFW
 WRWKLVFRQVWUDLQW

 $QH[DPSOHWDEXODWLRQRIWKLVEHKDYLRULVJLYHQLQ7DEOH ([DPSOHRIUDWHVHOHFWLRQIRU+(33'8V 



 7DEOH²([DPSOHRIUDWHVHOHFWLRQIRU+(33'8V


 +(0&6166!WXSOHV
+(0&6166!WXSOHV
 +70&6VWKDWDUHPDUNHG WKDWDUHQRWXVHGIRU
WKDWDUHQRWXVHGIRU
 DVXQVXSSRUWHG &%:&%:DQG
&%:DQG&%:
 &%:

  !!! 

 !! 

  ! 

  ! 

  !! !

  !! !

 !!!! !!





5[6XSSRUWHG9+70&6DQG1666HW

 )RUHDFK9+70&6166!WXSOH166 «DQGEDQGZLGWK 0+]0+]0+]DQG
 0+]RU0+] IURPWKH6XSSRUWHG9+70&6DQG1666HWILHOGUHFHLYHGIURPDILUVW67$DVHFRQG
 +(67$VKDOOIROORZWKHUXOHVLQVXEFODXVH 5[6XSSRUWHG9+70&6DQG1666HW WRGHWHUPLQH

 WKH5[6XSSRUWHG9+70&6DQG1666HWRIWKHILUVW+(67$ZLWKWKHIROORZLQJH[FHSWLRQ
 ² ,IWKHVHFRQG+(67$UHFHLYHV20&RQWUROVXEILHOGIURPWKHILUVW+(67$WKHUHFHLYH+(0&6 

DQG1666HWRIDILUVW+(67$LVGHWHUPLQHGE\DVHFRQG+(67$DFFRUGLQJWR 6XS

 SRUWHG9+70&6DQG1666HWILHOG DQG7DEOH 6HWWLQJRIWKH9+7&KDQQHO:LGWKDQG9+7 
 166DWDQ+(67$WUDQVPLWWLQJWKH20&RQWUROVXEILHOG 

 127(²,IWKHVHFRQG67$UHFHLYHVERWKDQ2SHUDWLQJ0RGHILHOGDQGDQ20&RQWUROVXEILHOGIURPWKHILUVW67$WKH
 UXOHVLQ *HQHUDO DSSO\

 $GGLWLRQDOUXOHVIRU(5EHDFRQVDQGJURXSDGGUHVVHGIUDPHV


 $Q$3WKDWWUDQVPLWVD%HDFRQIUDPHRUJURXSDGGUHVVHGIUDPHVLQDQ+((56833'8VKDOOWUDQVPLWWKH
 +( (5 68 33'8 ZLWK DQ +(0&6 166! WXSOH ZKHUH WKH +(0&6 LV D PDQGDWRU\ +(0&6 DQG

 166 


 $%HDFRQIUDPHRUDJURXSDGGUHVVHGIUDPHWUDQVPLWWHGLQDQ+((56833'8VKDOOEHVHQWDVDQ603'8

 VHH7DEOH $03'8FRQWHQWVLQWKH603'8FRQWH[W H[FHSWIRUJURXSDGGUHVVHG'DWDIUDPHV

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ZKLFKDUHQRWUHTXLUHGWREHVHQWDVDQ603'8EXWDUHUHTXLUHGWRIROORZWKHUXOHVLQ $03'8

 DJJUHJDWLRQRIJURXSDGGUHVVHG'DWDIUDPHV 


 7KH+($3WUDQVPLWWLQJWKH+((56833'8VKDOOVHWWKH7;9(&725SDUDPHWHUVDVIROORZV
 ² &+B%$1':,'7+WR(558

 ² +(B/7)B7<3(WR[+(/7)DQG*,B7<3(WRXVB*,RUXVB*,RU+(B/7)B7<3(WR[+(
 /7)DQG*,B7<3(WRXVB*,

 ² )(&B&2',1*WR%&&B&2',1*
 ² 67%&WR

 ² '&0WR
 ² '233/(5WR

 ² %($0)250('WR


² 180B676WR
 ² 120,1$/B3$&.(7B3$'',1*WR—V

 ² 12B6,*B(;71WRIDOVHLQWKH*+]EDQGDQGWUXHRWKHUZLVH
 ² %($0B&+$1*(DVGHILQHGLQ %($0B&+$1*(


 $GGLWLRQDOUXOHVIRU+(EHDFRQVDQGJURXSDGGUHVVHGIUDPHV

 $Q$3WKDWWUDQVPLWVD%HDFRQIUDPHRUJURXSDGGUHVVHGIUDPHVLQDQ+(6833'8VKDOOWUDQVPLWWKH+(

 6833'8ZLWKDQ+(0&6166!WXSOHZKHUHWKH+(0&6LVDPDQGDWRU\+(0&6DQG166 

 127(²$Q$3PLJKWVHQGD%HDFRQIUDPHLQDQ+(6833'8RQO\ZKHQRSHUDWLQJLQWKH*+]EDQG VHH

 %HDFRQVLQWKH*+]EDQG 


 $%HDFRQIUDPHRUDJURXSDGGUHVVHGIUDPHWUDQVPLWWHGLQDQ+(6833'8VKDOOEHVHQWDVDQ603'8 
 VHH7DEOH $03'8FRQWHQWVLQWKH603'8FRQWH[W H[FHSWIRUJURXSDGGUHVVHG'DWDIUDPHV
 ZKLFKDUHQRWUHTXLUHGWREHVHQWDVDQ603'8EXWDUHUHTXLUHGWRIROORZ $03'8DJJUHJDWLRQ
 RIJURXSDGGUHVVHG'DWDIUDPHV 


 ,IWKH+(6833'8FRQWDLQVDJURXSDGGUHVVHGIUDPHLQWHQGHGIRUDWOHDVWRQH67$WKDWLVQRWDVVRFLDWHGWR

 WKH$3WKHQWKH+($3VKDOOVHWWKH7;9(&725SDUDPHWHUVIRUWKH+(33'8DVIROORZV
 ² &+B%$1':,'7+WR&%:

 ² +(B/7)B7<3(WR[+(/7)DQG*,B7<3(WRXVB*,RUXVB*,RU+(B/7)B7<3(WR[+(
 /7)DQG*,B7<3(WRXVB*,

 ² )(&B&2',1*WR%&&B&2',1*
 ² 67%&WR

 ² '&0WR

² '233/(5WR

 ² %($0)250('WR

 ² 120,1$/B3$&.(7B3$'',1*WR—V
 ² 12B6,*B(;71WRIDOVHLQWKH*+]EDQGDQGWUXHRWKHUZLVH

 ² %($0B&+$1*(DVGHILQHGLQ %($0B&+$1*(

 2WKHUZLVHLIWKH+(6833'8FRQWDLQVJURXSDGGUHVVHGIUDPHVLQWHQGHGRQO\IRUDVVRFLDWHG67$VWKHQWKH

$3VKDOOVHWWKH7;9(&725SDUDPHWHUVOLVWHGDERYHWRYDOXHVWKDWDUHLQGLFDWHGDVVXSSRUWHGE\DOOWKH

 LQWHQGHG67$VH[FHSWWKDWWKH&+B%$1':,'7+VKDOOEHVHWWR&%:LIDWOHDVWRQHRIWKHLQWHQGHG 
 67$VLVFXUUHQWO\QRWLQWKHDZDNHVWDWH

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $GGLWLRQDOUXOHVIRUJURXSDGGUHVVHGIUDPHVLQDQ+(0833'8


 $Q+($3PD\LQFOXGHJURXSDGGUHVVHGIUDPHVLQDQ+(0833'8VXEMHFWWRWKHUXOHVGHILQHGLQWKLVVXE
 FODXVH


 $Q+($3VKDOOQRWLQFOXGHD%HDFRQIUDPHLQDQ+(0833'8

 $Q+($3WKDWLQFOXGHVDJURXSDGGUHVVHGIUDPHLQDQ+(0833'8VKDOOHQVXUHWKDWWKHIUDPHLVLQFOXGHG

 LQDEURDGFDVW58LQWKH+(0833'87KH+($3VKDOODGGLWLRQDOO\HQVXUHWKDWWKHIROORZLQJFRQGLWLRQV

 DUHVDWLVILHGIRUWKHEURDGFDVW58
 ² 7KH58DOORFDWLRQVKDOOFRPSO\ZLWKWKHUXOHVLQ 58DOORFDWLRQLQDQ+(0833'8 DQG

  58UHVWULFWLRQVIRU0+]RSHUDWLRQ
 ² 7KH+(0&6166!WXSOHVKDOOKDYHDPDQGDWRU\+(0&6DQG166 

 ² 7KHEURDGFDVW58VKDOOEHORFDWHGZLWKLQ

 ‡ 7KH SULPDU\  0+] FKDQQHO LI WKH JURXS DGGUHVVHG IUDPH LV D ),/6 'LVFRYHU\ RU D 3UREH
 5HVSRQVHIUDPHH[FHSWZKHQWKHSULPDU\0+]FKDQQHOGRHVQRWFRLQFLGHZLWKD36&DQGWKH
 $3LVD*+]RQO\$3LQZKLFKFDVHWKHEURDGFDVW58PD\EHLQD36&WKDWLVZLWKLQWKH%66 

RSHUDWLQJFKDQQHOZLGWK VHH 6FDQQLQJLQWKH*+]EDQG 7KHEURDGFDVW58VL]H

 VKDOOQRWH[FHHGVXEFDUULHUVLIWKH0833'8KDVDEDQGZLGWKWKDWLVJUHDWHUWKDQ0+]
 ‡ 7KHSULPDU\0+]FKDQQHOLIWKHJURXSDGGUHVVHGIUDPHLVDGGUHVVHGWRDWOHDVWRQHDVVRFLDWHG
 QRQ$3 67$ WKDW KDV QRW GHFODUHG WR EH LQ WKH DZDNH VWDWH 7KH EURDGFDVW 58 VL]H VKDOO QRW


H[FHHGVXEFDUULHUVLIWKH0833'8KDVDEDQGZLGWKWKDWLVJUHDWHUWKDQ0+]
 ‡ $EDQGZLGWKWKDWLVLQGLFDWHGDVVXSSRUWHGLQUHFHSWLRQE\RQHRUPRUHDVVRFLDWHGQRQ$367$V
 LI WKH JURXS DGGUHVVHG IUDPH LV DGGUHVVHG RQO\ WR WKRVH QRQ$3 67$V DQG WKH 67$V KDYH
 GHFODUHGWREHLQWKHDZDNHVWDWH7KHEURDGFDVW58VL]HVKDOOQRWH[FHHGWKHPLQLPXPFRPPRQ 

 EDQGZLGWKWKDWLVVXSSRUWHGLQUHFHSWLRQE\DOO67$VLQWKH+(&DSDELOLWLHVHOHPHQWWKH\WUDQV
 PLWRULQWKHPRVWUHFHQWO\VHQW20&RQWURORU201IUDPHV
 ‡ 7KH667VXEFKDQQHOLIWKHJURXSDGGUHVVHGIUDPHLVDGGUHVVHGWRRQHRUPRUH+(66767$VWKH
 SULPDU\0+]FKDQQHOGRHVQRWFRLQFLGHZLWKWKHVXEFKDQQHODVVLJQHGWRWKH+(66767$V

 DQGWKHIUDPHLVQRWDGGUHVVHGWRDQ\67$VRWKHUWKDQWKH+(66767$VLQWKDWVXEFKDQQHO VHH
  667 RSHUDWLRQ 7KHEURDGFDVW 58 VL]H VKDOOQRW H[FHHG  VXEFDUULHUV LI WKH 667 
 VXEFKDQQHOLV0+]

 ² 7KH7;9(&725SDUDPHWHUVOLVWHGEHORZVKDOOEHVHWDVIROORZV


‡ +(B/7)B7<3( WR [+(/7) DQG *,B7<3( WR XVB*, RU XVB*, RU +(B/7)B7<3( WR

 [+(/7)DQG*,B7<3(WRXVB*,
 ‡ )(&B&2',1*WR%&&B&2',1*

 ‡ 67%&WR
 ‡ '&0WR


‡ '233/(5WR
 ‡ %($0)250('WR

‡ 120,1$/B3$&.(7B3$'',1*WR—V

 ‡ 12B6,*B(;71WRIDOVHLQWKH*+]EDQGDQGWUXHRWKHUZLVH
 ‡ %($0B&+$1*(DVGHILQHGLQ %($0B&+$1*(

 ‡ 67$B,'DVGHILQHGLQ 67$B,'


*URXSDGGUHVVHGIUDPHVWUDQVPLWWHGLQDQ+(0833'8VKDOOEHVHQWDVDQ603'8 VHH7DEOH $

 03'8FRQWHQWVLQWKH603'8FRQWH[W H[FHSWIRUJURXSDGGUHVVHG'DWDIUDPHVZKLFKPD\DOVREHVHQW
 ZLWKLQDQ$03'8VXEMHFWWRWKHUXOHVLQ $03'8DJJUHJDWLRQRIJURXSDGGUHVVHG'DWDIUDPHV 

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $GGLWLRQDOUXOHVIRU33'8VVHQWLQWKH*+]EDQG


 $Q+(67$WKDWWUDQVPLWVD33'8WKDWLVQRWVHQWLQUHVSRQVHWRD7ULJJHUIUDPHLQWKH*+]EDQGDQGWKDW
 FRQWDLQVDIUDPHWKDWLVQRWDFRQWUROUHVSRQVHIUDPHZLWKWKH$GGUHVVILHOGVHWWRWKH0$&DGGUHVVRIDQ
 +($3ZLWKZKLFKLWLVQRWDVVRFLDWHGDQGIURPZKLFKLWKDVUHFHLYHGD),/6'LVFRYHU\IUDPHRUDQ+( 
 2SHUDWLRQHOHPHQWVKDOOHQVXUHWKDWWKH33'8PHHWVWKHIROORZLQJFRQGLWLRQV

 ² 7KHEDQGZLGWKRIWKH33'8LVOHVVWKDQRUHTXDOWRWKHRSHUDWLQJEDQGZLGWKRIWKH+(%66DVLQGL
 FDWHGLQWKH%662SHUDWLQJ&KDQQHO:LGWKVXEILHOGRIWKH),/6'LVFRYHU\IUDPHRULQWKH&KDQQHO

 :LGWKVXEILHOGRIWKH+(2SHUDWLRQHOHPHQWVHQWE\WKH$3
 ² 7KH33'8LVWUDQVPLWWHGZLWKDQXPEHURIVSDWLDOVWUHDPVWKDWLVOHVVWKDQRUHTXDOWRWKHPD[LPXP


 QXPEHURIVSDWLDOVWUHDPVRIWKH+(%66DVLQGLFDWHGLQWKH0D[LPXP1XPEHURI6SDWLDO6WUHDP 
 VXEILHOGRIWKH),/6'LVFRYHU\IUDPHRULQWKH%DVLF+(0&6DQG1666HWILHOGRIWKH+(2SHUD
 WLRQHOHPHQWVHQWE\WKH$3

 ² ,IWKH33'8LVDQ+(33'8WKHQWKH33'8LVWUDQVPLWWHGZLWKDQ+(0&6166!WXSOHSURYLG
 LQJDGDWDUDWHWKDWLVJUHDWHUWKDQRUHTXDOWRWKHPLQLPXPUDWHLQGLFDWHGLQWKH),/60LQLPXP5DWH
 ILHOG LISUHVHQW RIWKH),/6'LVFRYHU\IUDPHRULQWKH0LQLPXP5DWHILHOGRIWKH+(2SHUDWLRQHOH
 PHQWVHQWE\WKH$3

 ² ,IWKH33'8LVDQRQ+733'8WKHQWKH33'8LVWUDQVPLWWHGZLWKDGDWDUDWHWKDWLVJUHDWHUWKDQRU
 HTXDOWRWKHPLQLPXPRI50EV!ZKHUH5LVWKHPLQLPXPUDWHLQGLFDWHGLQWKH),/60LQL

 PXP5DWHILHOG LISUHVHQW RIWKH),/6'LVFRYHU\IUDPHRULQWKH0LQLPXP5DWHILHOGRIWKH+( 
 2SHUDWLRQHOHPHQWVHQWE\WKH$3



$Q+(67$WKDWWUDQVPLWVD33'8WKDWLVQRWVHQWLQUHVSRQVHWRD7ULJJHUIUDPHLQWKH*+]EDQGDQGWKDW
 FRQWDLQVDIUDPHWKDWLVQRWDFRQWUROUHVSRQVHIUDPHZLWK$GGUHVVILHOGVHWWRWKH0$&DGGUHVVRIWKH$3

 ZLWKZKLFKLWLVDVVRFLDWHGVKDOOHQVXUHWKDWWKH33'8PHHWVWKHIROORZLQJFRQGLWLRQV

 ² ,I WKH 33'8 LV D QRQ+7 GXSOLFDWH  33'8 WKHQ WKH 33'8 LV WUDQVPLWWHG ZLWK D GDWD UDWH WKDW LV
 JUHDWHUWKDQRUHTXDOWRWKHPLQLPXPRI50EV!ZKHUH5LVWKHPLQLPXPUDWHLQGLFDWHGLQWKH
 0LQLPXP5DWHILHOGRIWKH+(2SHUDWLRQHOHPHQWVHQWE\WKH$3

 ² ,IWKH33'8LVDQ+(33'8WKHQWKH33'8LVWUDQVPLWWHGZLWKDQ+(0&6166!WXSOHSURYLGLQJ 
 DGDWDUDWHWKDWLVQRWOHVVWKDQWKHGDWDUDWHLQGLFDWHGLQWKH0LQLPXP5DWHILHOGRIWKH+(2SHUDWLRQ

 HOHPHQWVHQWE\WKH$3


 $Q+(67$WKDWWUDQVPLWVD33'8WKDWLVQRWDQ+(7%33'8LQWKH*+]EDQGDQGWKDWFRQWDLQVDIUDPH
 WKDWLVQRWDFRQWUROUHVSRQVHIUDPHZLWK$GGUHVVILHOGVHWWRWKH0$&DGGUHVVRIDQ$3ZLWKZKLFKLWLV
 QRWDVVRFLDWHGVKDOOGHWHUPLQHDORFDOPD[LPXPWUDQVPLWSRZHUIRUWKDWWUDQVPLVVLRQIROORZLQJWKHUXOHVLQ 

  6SHFLILFDWLRQRIUHJXODWRU\DQGORFDOPD[LPXPWUDQVPLWSRZHUOHYHOV LIWKHORFDOPD[LPXPWUDQV
 PLW SRZHU LV UHFHLYHG LQ 7UDQVPLW 3RZHU (QYHORSH HOHPHQWV DQG FRPELQDWLRQV RI &RXQWU\ HOHPHQWV DQG
 3RZHU&RQVWUDLQWHOHPHQWVLQWKHPRVWUHFHQW%HDFRQRU3UREH5HVSRQVHIUDPHRQWKHFKDQQHOIURPWKDW
 $3



 0LGDPEOHSDUDPHWHUVHWWLQJUXOHV

 $67$VKDOOQRWVHWWKH7;9(&725SDUDPHWHU'233/(5WRIRUDQ+(6833'8+((56833'8RU

 +(0833'8XQOHVVWKH67$KDVUHFHLYHGIURPHDFKRIWKHLQWHQGHGUHFLSLHQW67$VDQ+(&DSDELOLWLHV
 HOHPHQWZLWKWKH'RSSOHU5[VXEILHOGLQWKH+(3+<&DSDELOLWLHV,QIRUPDWLRQILHOGHTXDOWR


$67$VKDOOQRWVHQGD7ULJJHUIUDPHZLWKWKH'RSSOHUVXEILHOGLQWKH&RPPRQ,QIRILHOGVHWWRXQOHVVWKH

 67$KDVUHFHLYHGIURPHDFKRIWKHLQWHQGHGUHFLSLHQW67$VRIWKH7ULJJHUIUDPHDQ+(&DSDELOLWLHVHOHPHQW
 ZLWKWKH'RSSOHU7[VXEILHOGLQWKH+(3+<&DSDELOLWLHV,QIRUPDWLRQILHOGHTXDOWR

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $ 67$ VKDOO QRW VHW WKH7;9(&725 SDUDPHWHU +(B/7)B7<3( WR [+(/7) DQG WKH SDUDPHWHU'23
 3/(5WRIRUDQ+(6833'8XQOHVVWKH67$KDVUHFHLYHGDQ+(&DSDELOLWLHVHOHPHQWIURPHDFKRIWKH

LQWHQGHGUHFLSLHQW67$VZKHUHWKH+(3+<&DSDELOLWLHV,QIRUPDWLRQILHOGPHHWVWKHIROORZLQJFRQGLWLRQV

 ² 7KH0LGDPEOH7[5[[$QG[+(/7)VXEILHOGLV

 ² 7KH+(6833'8:LWK[+(/7)$QG—V*,VXEILHOGLV

 $ 67$ VKDOO QRW VHW WKH7;9(&725 SDUDPHWHU +(B/7)B7<3( WR [+(/7) DQG WKH SDUDPHWHU'23

3/(5WRIRUDQ+((56833'8XQOHVVWKH+(67$KDVUHFHLYHGIURPHDFKRIWKHLQWHQGHGUHFLSLHQW

 67$VDQ+(&DSDELOLWLHVHOHPHQWLQZKLFKWKH+(3+<&DSDELOLWLHV,QIRUPDWLRQILHOGPHHWVWKHIROORZLQJ
 FRQGLWLRQV


² 7KH0LGDPEOH7[5[[$QG[+(/7)VXEILHOGLV
 ² 7KH+((56833'8:LWK[+(/7)$QG—V*,VXEILHOGLV


 $ 67$ VKDOO QRW VHW WKH7;9(&725 SDUDPHWHU +(B/7)B7<3( WR [+(/7) DQG WKH SDUDPHWHU'23
 3/(5WRIRUDQ+(6833'8+((56833'8RU+(0833'8XQOHVVWKH+(67$KDVUHFHLYHGDQ+( 
 &DSDELOLWLHVHOHPHQWZLWKWKH0LGDPEOH7[5[[$QG[+(/7)VXEILHOGLQWKH+(3+<&DSDELOLWLHV
 ,QIRUPDWLRQILHOGHTXDOWR


 $QRQ$367$VKDOOQRWWUDQVPLWDQ+(&DSDELOLWLHVHOHPHQWZLWKWKH'RSSOHU7[VXEILHOGLQWKH+(3+<
 &DSDELOLWLHV,QIRUPDWLRQILHOGVHWWRXQOHVVWKHQRQ$367$PHHWVDOORIWKHIROORZLQJFRQGLWLRQV

 ² 7KHQRQ$367$LVFDSDEOHRIWUDQVPLWWLQJDQ+(7%33'8ZLWKPLGDPEOHVDQGD[+(/7)
 ² ,IQRQ$367$KDVVHWWKH0LGDPEOH7[5[[$QG[+(/7)VXEILHOGLQWKH+(3+<&DSDELOL


WLHV,QIRUPDWLRQILHOGWRWKHQRQ$367$LVFDSDEOHRIWUDQVPLWWLQJDQ+(7%33'8ZLWKPLGDP
 EOHVDQGD[+(/7)
 ² ,IWKHQRQ$367$KDVVHWERWKWKH0LGDPEOH7[5[[$QG[+(/7)DQGWKH)XOO%DQGZLGWK8/


080,02VXEILHOGVLQWKH+(3+<&DSDELOLWLHV,QIRUPDWLRQILHOGWRWKHQRQ$367$LVFDSDEOH
 RIWUDQVPLWWLQJDQ+(7%33'8ZLWKPLGDPEOHVXVLQJIXOOEDQGZLGWK8/080,02DQGD[
 +(/7)


$67$WKDWWUDQVPLWVDQ+(6833'8RU+((56833'8ZLWKWKH7;9(&725SDUDPHWHU'233/(5VHW

 WRVKDOOQRWVHWWKH7;9(&725SDUDPHWHU180B676WRLQGLFDWHGDQXPEHURIVSDFHWLPHVWUHDPVWKDWLV
 JUHDWHUWKDQLQGLFDWHGLQWKH0LGDPEOH7[5[0D[1676VXEILHOGLQWKH+(3+<&DSDELOLWLHV,QIRUPDWLRQ

 VXEILHOGRIWKH+(&DSDELOLWLHVHOHPHQWUHFHLYHGIURPDQ\RIWKHLQWHQGHGUHFLSLHQW67$V


 $67$WUDQVPLWWLQJDQ+(0833'8ZLWKWKH7;9(&725SDUDPHWHU'233/(5VHWWRVKDOOQRWVHWWKH
 7;9(&725SDUDPHWHU180B676>u@WRLQGLFDWHDQXPEHURIVSDFHWLPHVWUHDPVWKDWLVJUHDWHUWKDQLQGL
 FDWHGLQWKH0LGDPEOH7[5[0D[1676VXEILHOGLQWKH+(3+<&DSDELOLWLHV,QIRUPDWLRQVXEILHOGRIWKH
 +(&DSDELOLWLHVHOHPHQWUHFHLYHGIURPWKHLQWHQGHGUHFLSLHQW67$u


 $Q$3WUDQVPLWWLQJD7ULJJHUIUDPHZLWKWKH'RSSOHUVXEILHOGLQWKH&RPPRQ,QIRILHOGVHWWRVKDOOQRWVHW
 WKH1XPEHU2I6SDWLDO6WUHDPVVXEILHOGLQD8VHU,QIRILHOGLQWKH7ULJJHUIUDPHWRLQGLFDWHDQXPEHURI
 VSDFHWLPHVWUHDPVWKDWLVJUHDWHUWKDQLQGLFDWHGLQWKH0LGDPEOH7[5[0D[1676VXEILHOGLQWKH+(3+< 
 &DSDELOLWLHV,QIRUPDWLRQVXEILHOGRIWKH+(&DSDELOLWLHVHOHPHQWUHFHLYHGIURPWKH67$DGGUHVVHGE\WKH

 8VHU,QIRILHOG


 +(%66RSHUDWLRQ

 %DVLF+(%66RSHUDWLRQ


 7KH%HDFRQIUDPHVJHQHUDWHGZLWKLQDQ+(%66FRQWDLQDQ+(2SHUDWLRQHOHPHQW

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $Q+(67$KDVGRW+(2SWLRQ,PSOHPHQWHGHTXDOWRWUXH



$67$WKDWLVRSHUDWLQJLQDQ+(%66VKDOOEHDEOHWRUHFHLYHDQGWUDQVPLWDWHDFKRIWKH+(0&6166! 
 WXSOH YDOXHV LQGLFDWHG E\ WKH %DVLF +(0&6 $QG 166 6HW ILHOG RI WKH +( 2SHUDWLRQ SDUDPHWHU RI WKH
 0/0(67$57UHTXHVWSULPLWLYHDQGVKDOOEHDEOHWRUHFHLYHDWHDFKRIWKH+(0&6166!WXSOHYDOXHV
 LQGLFDWHGE\WKH6XSSRUWHG+(0&6DQG1666HWILHOGRIWKH+(&DSDELOLWLHVSDUDPHWHURIWKH0/0(
 67$57UHTXHVWSULPLWLYH


 7KHEDVLF+(0&6DQG166VHWLVWKHVHWRI+(0&6166!WXSOHVWKDWDUHVXSSRUWHGE\DOO+(67$V
 WKDWDUHPHPEHUVRIDQ+(%66,WLVHVWDEOLVKHGE\WKH67$WKDWVWDUWVWKH+(%66LQGLFDWHGE\WKH%DVLF
 +(0&6$QG1666HWILHOGRIWKH+(2SHUDWLRQSDUDPHWHULQWKH0/0(67$57UHTXHVWSULPLWLYH2WKHU
 +(67$VGHWHUPLQHWKHEDVLF+(0&6DQG166VHWIURPWKH%DVLF+(0&6$QG1666HWILHOGRIWKH+( 


2SHUDWLRQHOHPHQWLQWKH%66'HVFULSWLRQGHULYHGWKURXJKWKHVFDQPHFKDQLVP VHH *HQHUDO 

 $Q+(67$VKDOOQRWDWWHPSWWRMRLQ 0/0(-2,1UHTXHVWSULPLWLYH D%66XQOHVVLWVXSSRUWV LHLVDEOH
 WRERWKWUDQVPLWDQGUHFHLYHXVLQJ DOORIWKH+(0&6166!WXSOHVLQWKHEDVLF+(0&6DQG166VHW

 127(²$Q+(67$ GRHV QRWDWWHPSWWR UH DVVRFLDWHZLWKDQ +( $3XQOHVVWKH 67$VXSSRUWV LH LVDEOHWR ERWK

 WUDQVPLWDQGUHFHLYHXVLQJ DOORIWKH+(0&6166!WXSOHVLQWKH%DVLF+(0&6$QG1666HWILHOGLQWKH+(2SHU
 DWLRQHOHPHQWWUDQVPLWWHGE\WKH$3EHFDXVHWKH0/0(-2,1UHTXHVWSULPLWLYHLVDQHFHVVDU\SUHFXUVRUWR UH DVVRFLD
 WLRQ

 $ 67$ RSHUDWLQJ LQ WKH  *+] EDQG WKDW VHWV GRW+(2SWLRQ,PSOHPHQWHG WR WUXH VKDOO VHW

GRW+LJK7KURXJKSXW2SWLRQ,PSOHPHQWHGWRWUXH$67$RSHUDWLQJLQWKH*+]RU*+]EDQGWKDWVHWV

 GRW+(2SWLRQ,PSOHPHQWHGWRWUXHVKDOOVHWERWKGRW9+72SWLRQ,PSOHPHQWHGDQGGRW+LJK7KURXJK
 SXW2SWLRQ,PSOHPHQWHGWRWUXH$QRQ$367$WKDWVHWVGRW+(2SWLRQ,PSOHPHQWHGWRWUXHVKDOOVHWGRW
 0XOWL%66,',PSOHPHQWHGWRWUXH


$Q+(67$RSHUDWLQJLQWKH*+]EDQGVKDOOLQKHULWWKHIXQFWLRQDOLWLHVRID9+767$H[FHSWWKDWLWLV

 H[HPSWIURPIROORZLQJ9+7DQG+7IXQFWLRQDOLWLHVDQGRUUHTXLUHPHQWVWKDWDUHXQDYDLODEOHRUVXSHUVHGHG 
 E\HTXLYDOHQW+(IXQFWLRQDOLWLHVDQGRUUHTXLUHPHQWV VHH&ODXVHV +LJK(IILFLHQF\ +( 0$&VSHFLIL
 FDWLRQ DQG +LJK(IILFLHQF\ +( 3+<VSHFLILFDWLRQ DQGWKDWLWVKDOOXVHWKH+(IRUPDWLQVWHDGRIWKH
 9+7+7B*)RU+7B0)IRUPDWIRU33'8VWUDQVPLWWHGLQWKH*+]EDQG$GGLWLRQDO+(IXQFWLRQDOLWLHV

DQGRUUHTXLUHPHQWVIRUWKH*+]EDQGDUHGHILQHGLQ +(%66RSHUDWLRQLQWKH*+]EDQG 


 $67$WKDWLVDQ+($3RUDQ+(PHVK67$GHFODUHVWKHFKDQQHOZLGWKVDWZKLFKLWLVFDSDEOHRIRSHUDWLQJ 
 LQWKH3+<&DSDELOLWLHV,QIRUPDWLRQILHOGRIWKH+(&DSDELOLWLHVHOHPHQWWKDWLWWUDQVPLWV VHH7DEOHE

 6XEILHOGVRIWKH+(3+<&DSDELOLWLHV,QIRUPDWLRQILHOG 


 $Q+($3RSHUDWLQJLQWKH*+]RU*+]EDQGVVKDOOVHW%LQWKH6XSSRUWHG&KDQQHO:LGWK6HWILHOGLQ
 WKH3+<&DSDELOLWLHV,QIRUPDWLRQILHOGLQWKH+(&DSDELOLWLHVHOHPHQWWRLQGLFDWHVXSSRUWIRU0+]DQG

 0+]FKDQQHOZLGWK


 $67$WUDQVPLWWLQJDQ+7&DSDELOLWLHVHOHPHQWDQG+(&DSDELOLWLHVHOHPHQWVKDOOVHWWKH6XSSRUWHG&KDQ
 QHO :LGWK 6HW VXEILHOG RI WKH +7 &DSDELOLWLHV HOHPHQW WR  LI HLWKHU % RU % RI WKH 6XSSRUWHG &KDQQHO
 :LGWK6HWVXEILHOGRIWKH+(&DSDELOLWLHVHOHPHQWLVXQOHVVWKH67$LVD0+]RQO\QRQ$3+(67$
 LQZKLFKFDVHWKH6XSSRUWHG&KDQQHO:LGWK6HWVXEILHOGRIWKH+7&DSDELOLWLHVHOHPHQWLVVHWWR


 $67$WUDQVPLWWLQJD9+7&DSDELOLWLHVHOHPHQWDQG+(&DSDELOLWLHVHOHPHQWVKDOOVHWWKH6XSSRUWHG&KDQ
 QHO:LGWK6HWVXEILHOGRIWKH9+7&DSDELOLWLHVHOHPHQWWRLQGLFDWHWKHVDPHFKDQQHOZLGWKDVLQGLFDWHGLQ

 WKH+(&DSDELOLWLHVHOHPHQWXQOHVVWKH67$LVD0+]RQO\QRQ$3+(67$LQZKLFKFDVHWKH6XS
 SRUWHG&KDQQHO:LGWK6HWVXEILHOGRIWKH9+7&DSDELOLWLHVHOHPHQWLVUHVHUYHG


 $WDPLQLPXPDQ+(67$VHWVWKH5[0&6%LWPDVNVXEILHOGRIWKH6XSSRUWHG0&66HWILHOGRILWV+7 
 &DSDELOLWLHV HOHPHQW DFFRUGLQJ WR WKH VHWWLQJ RI HDFK 5[ +(0&6 0DS b VXEILHOG b^” 0+] 


&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 0+]0+]`RIWKH6XSSRUWHG+(0&6$QG1666HWILHOGRILWV+(&DSDELOLWLHVHOHPHQWDVIRO
 ORZVIRUHDFK0D[+(0&6)RUn66VXEILHOG”n”RIHDFK5[+(0&60DSbVXEILHOGb^” 

0+]0+]0+]`ZLWKDYDOXHRWKHUWKDQ QRVXSSRUWIRUWKDWQXPEHURIVSDWLDOVWUHDPV WKH

 67$ VKDOO LQGLFDWH VXSSRUW IRU +7 0&6V î n ±  WR î n ±  LQ WKH 5[ 0&6 %LWPDVN VXEILHOG
 ZKHUHnLVWKHQXPEHURIVSDWLDOVWUHDPVH[FHSWIRUWKRVH+70&6VPDUNHGDVXQVXSSRUWHGDVGHVFULEHGLQ
  $GGLWLRQDOUDWHVHOHFWLRQFRQVWUDLQWVIRU+(33'8V 


 $Q+($3RUDQ+(PHVK67$VKDOOVHWWKH9+72SHUDWLRQ,QIRUPDWLRQ3UHVHQWILHOGLQWKH+(2SHUDWLRQ 
 HOHPHQWWRLID9+72SHUDWLRQHOHPHQWLVSUHVHQWLQWKHIUDPHWKDWFDUULHVWKH+(2SHUDWLRQHOHPHQWRULI
 WKHIUDPHWKDWFDUULHVWKH+(2SHUDWLRQHOHPHQWLVVHQWLQWKH*+]EDQG$Q+($3RU+(PHVK67$ 
 VKDOOVHWWKH9+72SHUDWLRQ,QIRUPDWLRQ3UHVHQWILHOGLQWKH+(2SHUDWLRQHOHPHQWWRLID9+72SHUDWLRQ 


HOHPHQWLVQRWSUHVHQWLQWKHIUDPHWKDWFDUULHVWKH+(2SHUDWLRQHOHPHQWDQGWKHIUDPHLVVHQWLQWKH*+]
 EDQG

 $Q+($3RUDQ+(PHVK67$WKDWWUDQVPLWVDQ+(2SHUDWLRQHOHPHQWWKDWKDVWKH9+72SHUDWLRQ,QIRU

 PDWLRQ3UHVHQWILHOGVHWWRVKDOOGRRQHRIWKHIROORZLQJWRVHWWKH%66RSHUDWLQJFKDQQHO
 ² 6HWWKH67$&KDQQHO:LGWKVXEILHOGDQG&KDQQHO&HQWHU)UHTXHQF\6HJPHQWVXEILHOGLQWKH+7 

 2SHUDWLRQ,QIRUPDWLRQILHOGLQWKH+72SHUDWLRQHOHPHQWWKH&KDQQHO:LGWKVXEILHOGLQWKH9+7 
 2SHUDWLRQ,QIRUPDWLRQILHOGLQWKH+(2SHUDWLRQHOHPHQWWKH&KDQQHO&HQWHU)UHTXHQF\6HJPHQW
 DQG&KDQQHO&HQWHU)UHTXHQF\6HJPHQWVXEILHOGVLQWKH9+72SHUDWLRQ,QIRUPDWLRQILHOGLQWKH
 +(2SHUDWLRQHOHPHQWWRLQGLFDWHWKH%66EDQGZLGWKDVGHILQHGLQ7DEOH 9+7%66EDQG
 ZLGWK DQG7DEOH ([WHQGHG166FKDQQHOZLGWK UHVSHFWLYHO\EDVHGRQWKH([WHQGHG166%:

 6XSSRUWDQG6XSSRUWHG&KDQQHO:LGWK6HWILHOGV
 ² 6HWWKH67$&KDQQHO:LGWKVXEILHOGDQG&KDQQHO&HQWHU)UHTXHQF\6HJPHQWVXEILHOGLQWKH+7 


2SHUDWLRQ,QIRUPDWLRQILHOGLQWKH+72SHUDWLRQHOHPHQWWKH&KDQQHO:LGWKVXEILHOGLQWKH9+7
 2SHUDWLRQ,QIRUPDWLRQILHOGLQWKH+(2SHUDWLRQHOHPHQWWKH&KDQQHO&HQWHU)UHTXHQF\6HJPHQW

 DQG&KDQQHO&HQWHU)UHTXHQF\6HJPHQWVXEILHOGVLQWKH9+72SHUDWLRQ,QIRUPDWLRQILHOGLQWKH
 +(2SHUDWLRQHOHPHQWWRLQGLFDWHWKH%66EDQGZLGWKDVGHILQHGLQ7DEOH 9+7%66EDQG
 ZLGWK DQG7DEOH ([WHQGHG166FKDQQHOZLGWK UHVSHFWLYHO\EDVHGRQWKH5[+(0&60DS


”0+]5[+(0&60DS0+]DQG5[+(0&60DS0+]ILHOGV

127(²7KH&KDQQHO&HQWHU)UHTXHQF\6HJPHQWLVLI7DEOH 9+7%66EDQGZLGWK LVDSSOLHG

 127(²7KHVHWZRPHWKRGVJLYHWKHVDPHUHVXOW


 7KHVHWWLQJRIWKH&KDQQHO&HQWHU)UHTXHQF\6HJPHQW&KDQQHO&HQWHU)UHTXHQF\6HJPHQWDQG&KDQQHO
 &HQWHU)UHTXHQF\6HJPHQWVXEILHOGVLVGHILQHGLQ7DEOH 6HWWLQJRI&KDQQHO&HQWHU)UHTXHQF\6HJ
 PHQW&KDQQHO&HQWHU)UHTXHQF\6HJPHQWDQG&KDQQHO&HQWHU)UHTXHQF\6HJPHQWVXEILHOGV H[FHSW


WKDWWKH0D[166VXSSRUWLVSURYLGHGE\WKH+(67$LQIUDPHVWKDWFRQWDLQDQ+(&DSDELOLWLHVHOHPHQW VHH
  +(&DSDELOLWLHVHOHPHQW DQGDQ2SHUDWLQJ0RGHILHOG VHH 2SHUDWLQJ0RGH DQG
  2SHUDWLQJ0RGHILHOG ZKHUHLQWKHWDEOHWKHPD[LPXP166VXSSRUWUHIHUVWRWKH+(PD[LPXP 
 166VXSSRUWLQVWHDGRIWKH9+7PD[LPXP166VXSSRUWIRUDQ+(67$


 $Q+(67$VKDOOGHWHUPLQHWKHFKDQQHOL]DWLRQXVLQJWKHLQIRUPDWLRQLQWKH3ULPDU\&KDQQHOILHOGRIWKH+7

 2SHUDWLRQHOHPHQWZKHQRSHUDWLQJLQ*+]DQGWKHFRPELQDWLRQRIWKHLQIRUPDWLRQLQWKH3ULPDU\&KDQ
 QHOILHOGLQWKH+72SHUDWLRQHOHPHQWDQGWKH&KDQQHO&HQWHU)UHTXHQF\6HJPHQWDQG&KDQQHO&HQWHU
 )UHTXHQF\6HJPHQWVXEILHOGVLQWKH9+72SHUDWLRQ,QIRUPDWLRQILHOGLQWKH9+72SHUDWLRQHOHPHQWLI

 RSHUDWLQJLQWKH*+]EDQG VHH &KDQQHOL]DWLRQ $Q+(67$GHWHUPLQHVWKHFKDQQHOL]DWLRQDV
 GHILQHGLQ +(%66RSHUDWLRQLQWKH*+]EDQG LIRSHUDWLQJLQWKH*+]EDQG


$Q+($3RUDQ+(PHVK67$VKDOOVHWWKH6HFRQGDU\&KDQQHO2IIVHWVXEILHOGLQWKH+72SHUDWLRQ,QIRU

 PDWLRQILHOGLQWKH+72SHUDWLRQHOHPHQWWRLQGLFDWHWKHVHFRQGDU\0+]FKDQQHODVGHILQHGLQ7DEOH
  +72SHUDWLRQHOHPHQWILHOGVDQGVXEILHOGV LIWKH%66EDQGZLGWKLVPRUHWKDQ0+]

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $Q+(67$WKDWLVDPHPEHURIDQ+(%66VKDOOIROORZWKHUXOHVLQ %DVLF9+7%66IXQFWLRQDOLW\ 
 ZKHQWUDQVPLWWLQJD0+]0+]0+]0+]RU0+]+(33'8VZLWKWKHIROORZLQJ

H[FHSWLRQV

 ² $Q+(7%33'8VHQWLQUHVSRQVHWRDWULJJHULQJIUDPHIROORZVWKHUXOHVGHILQHGLQ 1RQ
 $367$EHKDYLRUIRU8/08RSHUDWLRQ 

 ² $Q0+]0+]RU0+]'/+(0833'8ZLWKSUHDPEOHSXQFWXULQJPD\EHWUDQV
 PLWWHGLIWKHSULPDU\0+]RUWKHSULPDU\0+]DUHRFFXSLHGE\WKHWUDQVPLVVLRQDQGFHUWDLQ

 0+]VXEFKDQQHOVRIWKHVHFRQGDU\FKDQQHODUHLGOH VHH7DEOH +(6,*$ILHOGRIDQ+(
 0833'8 DQG ('&$FKDQQHODFFHVVLQ9+7+(RU79+7%66 


 $Q+(67$VKDOOQRWWUDQVPLWWRDUHFLSLHQW+(67$XVLQJDFKDQQHOZLGWKWKDWLVQRWLQGLFDWHGDVVXSSRUWHG

 LQWKH6XSSRUWHG&KDQQHO:LGWK6HWVXEILHOGLQWKH+(&DSDELOLWLHVHOHPHQWUHFHLYHGIURPWKDW+(67$


 $Q+(67$VKDOOQRWWUDQVPLWWRDUHFLSLHQW+(67$XVLQJDFKDQQHOZLGWKWKDWH[FHHGVWKH%66FKDQQHO
 ZLGWKLQWKH&KDQQHO:LGWKILHOGWKDWLVFRQWDLQHGLQ
 ² 7KH+(2SHUDWLRQHOHPHQWPRVWUHFHQWO\H[FKDQJHGZLWKWKHUHFLSLHQW67$LIDQ\DQGLIWKH&KDQ

 QHO:LGWKILHOGLVSUHVHQW
 ² 2WKHUZLVHWKH9+72SHUDWLRQHOHPHQWPRVWUHFHQWO\H[FKDQJHGZLWKWKHUHFLSLHQW67$LIDQ\

 ² 2WKHUZLVHWKH+72SHUDWLRQHOHPHQWPRVWUHFHQWO\H[FKDQJHGZLWKWKHUHFLSLHQW67$LIDQ\

 $67$VKDOOQRWWUDQVPLWDQ+(33'8WRDUHFLSLHQW67$WKDWFDUULHVDIUDPHWKDWLVQRWDQ+(&RPSUHVVHG 
 %HDPIRUPLQJ&4, IUDPH VHH  5XOHV IRU +( VRXQGLQJ SURWRFRO VHTXHQFHV  DQG WKDW H[FHHGV WKH

 PD[LPXP03'8OHQJWKFDSDELOLW\LQGLFDWHGLQWKH9+7&DSDELOLWLHVHOHPHQWODVWUHFHLYHGIURPWKHUHFLSL
 HQW67$LQWKH*+]RU*+]EDQGRULID9+7&DSDELOLWLHVHOHPHQWKDVQRWEHHQUHFHLYHGIURPWKH
 UHFLSLHQW67$WKDWH[FHHGVWKHPD[LPXP$06'8OHQJWKLQGLFDWHGLQWKH+7&DSDELOLWLHVHOHPHQWODVW
 UHFHLYHGIURPWKHUHFLSLHQW67$LQWKH*+]RU*+]EDQG


 $67$VKDOOQRWWUDQVPLWDQ+(33'8WRDUHFLSLHQW67$WKDWFDUULHVDIUDPHWKDWLVQRWDQ+(&RPSUHVVHG 
 %HDPIRUPLQJ&4, IUDPH VHH  5XOHV IRU +( VRXQGLQJ SURWRFRO VHTXHQFHV  DQG WKDW H[FHHGV WKH
 PD[LPXP03'8OHQJWKFDSDELOLW\LQGLFDWHGLQWKH+(*+]%DQG&DSDELOLWLHVHOHPHQWODVWUHFHLYHGIURP 
 WKHUHFLSLHQW67$LQWKH*+]EDQG


 $Q+($3VKDOOVHWWKH5,)60RGHILHOGLQWKH+72SHUDWLRQHOHPHQWWR

 $Q+(67$IROORZVWKHUXOHVLQ 9+7%66RSHUDWLRQ IRUFKDQQHOVHOHFWLRQGHWHUPLQLQJVFDQQLQJ 
 UHTXLUHPHQWVFKDQQHOVZLWFKLQJ1$9DVVHUWLRQDQGDQWHQQDLQGLFDWLRQZKHQRSHUDWLQJLQWKH*+]RU 

 *+]EDQGXQOHVVH[SOLFLWO\VWDWHGRWKHUZLVHLQ&ODXVH$Q+(67$VKDOODGGLWLRQDOO\IROORZWKHUXOHVLQ

  +(%66RSHUDWLRQLQWKH*+]EDQG IRUVFDQQLQJDQGRSHUDWLRQLQWKH*+]EDQG

 $Q+(67$VKDOOIROORZWKHUXOHVLQ 0+]%66RSHUDWLRQ IRUFKDQQHOVHOHFWLRQGHWHUPLQLQJ 


VFDQQLQJ UHTXLUHPHQWV FKDQQHO VZLWFKLQJ 1$9 DVVHUWLRQ ZKHQ RSHUDWLQJ LQ  *+] XQOHVV H[SOLFLWO\

 VWDWHGRWKHUZLVHLQ&ODXVH

 7KH$3RIDQ(5%66VKDOOQRWWUDQVPLWD3UREH5HVSRQVHRU 5H $VVRFLDWLRQ5HVSRQVHIUDPHLQUHVSRQVH
 WRD3UREH5HTXHVWRU 5H $VVRFLDWLRQ5HTXHVWIUDPHUHVSHFWLYHO\VHQWE\DQRQ+767$RUWKDWLQFOXGHV

 DQ+(&DSDELOLWLHVHOHPHQWZKHUHWKH3DUWLDO%DQGZLGWK([WHQGHG5DQJHVXEILHOGLQWKH+(3+<&DSDELOL
 WLHV,QIRUPDWLRQILHOGLVHTXDOWRLIWKH+($3WUDQVPLWVDQ(5EHDFRQLQDQ+((56833'8ZLWKD
 WRQH58$Q+($3WKDWLVQRWRSHUDWLQJDQ(5%66PD\VHWWKH(568'LVDEOHVXEILHOGLQWKH+(2SHUD
 WLRQHOHPHQWLWWUDQVPLWVWR


 $67$VKDOOKDYHWKHVDPHYDOXHRIPD[LPXP9+7166GHILQHGE\LWV5[+(0&60DS”0+]VXE
 ILHOGLQWKH+(&DSDELOLWLHVHOHPHQWDVWKHPD[LPXP166YDOXHLQGLFDWHGE\LWV5[9+70&60DSILHOGLQ


&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 WKH9+7&DSDELOLWLHVHOHPHQW,ID67$VXSSRUWV0+]WKH0D[LPXP166GHILQHGE\LWV5[9+7
 0&60DSILHOGDQG([WHQGHG166%:6XSSRUWILHOGLQWKH9+7&DSDELOLWLHVHOHPHQWDW0+]VKDOOQRW

EHPRUHWKDQWKHPD[LPXP166GHILQHGE\LWV5[+(0&60DS0+]VXEILHOGLQWKH+(&DSDELOLWLHV

 HOHPHQWDW0+],ID67$VXSSRUWV0+]WKHPD[LPXP166GHILQHGE\LWV5[9+70&60DS
 ILHOGDQG([WHQGHG166%:6XSSRUWILHOGLQWKH9+7&DSDELOLWLHVHOHPHQWDW0+]VKDOOQRWEHPRUH
 WKDQWKHPD[LPXP166GHILQHGE\LWV5[+(0&60DS0+]VXEILHOGLQWKH+(&DSDELOLWLHVHOH
 PHQWDW0+])RUHYHU\166LQ9+7&DSDELOLWLHVHOHPHQWVDQG+(&DSDELOLWLHVHOHPHQWVWUDQVPLWWHG 

E\D67$LIWKHPD[LPXP+(0&6LVRUPRUHWKHPD[LPDO9+70&6VKDOOEH2WKHUZLVHWKHPD[L

 PDO9+70&6VKDOOEHWKHVDPHDVWKH+(0&6$Q+(67$VKDOOQRWWUDQVPLWD9+7&DSDELOLWLHVHOH
 PHQWZLWKWKH6XSSRUWHG&KDQQHO:LGWK6HWILHOGHTXDOWRDQGWKH([WHQGHG166%:6XSSRUWILHOGHTXDO
 WRRUZLWKWKH6XSSRUWHG&KDQQHO:LGWK6HWILHOGHTXDOWRDQGWKH([WHQGHG166%:6XSSRUWILHOGHTXDO
 WR


 ,IDQ+(67$VXSSRUWV0+]WKHPD[LPXP166GHILQHGE\LWV5[+(0&60DS0+]VXEILHOGIRU
 DQ+(0&6LQWKH+(&DSDELOLWLHVHOHPHQWDW0+]VKDOOQRWEHPRUHWKDQWKHPD[LPXP166GHILQHG

 E\LWV5[+(0&60DS”0+]VXEILHOGIRUWKH+(0&6LQWKH+(&DSDELOLWLHVHOHPHQWDW0+]


,IDQ+(67$VXSSRUWV0+]WKHPD[LPXP166GHILQHGE\LWV5[+(0&60DS0+]VXE

 ILHOGIRUDQ+(0&6LQWKH+(&DSDELOLWLHVHOHPHQWDW0+]VKDOOQRWEHPRUHWKDQWKHPD[LPXP

 166GHILQHGE\LWV5[+(0&60DS”0+]VXEILHOGIRUWKH+(0&6LQWKH+(&DSDELOLWLHVHOHPHQWDW
 0+]



+(%66RSHUDWLRQLQWKH*+]EDQG

 *HQHUDO

 $Q+(67$WKDWVXSSRUWVRSHUDWLRQLQWKH*+]EDQGVHWVGRW+(*2SWLRQ,PSOHPHQWHGWRWUXH


 $Q+(67$ZLWKGRW+(*2SWLRQ,PSOHPHQWHGHTXDOWRWUXHDQGRSHUDWLQJLQWKH*+]EDQGLVD*+]
 +(67$

 $ 67$ ZLWK GRW+(*2SWLRQ,PSOHPHQWHG HTXDO WR WUXH VKDOO KDYH GRW([WHQGHG&KDQQHO6ZLWFK$FWL

 YDWHG GRW0XOWL'RPDLQ&DSDELOLW\$FWLYDWHG DQG GRW2SHUDWLQJ&ODVVHV5HTXLUHGHTXDO WR WUXHDQGVKDOO
 VHWWRWKHYDOXHRIWKH([WHQGHG&KDQQHO6ZLWFKLQJILHOGLQWKH([WHQGHG&DSDELOLWLHVHOHPHQWVLWWUDQV
 PLWV

 $*+]+(67$VKDOOPHHWWKH&ODVV$UHTXLUHPHQWVLQ 7UDQVPLWUHTXLUHPHQWVIRU33'8VVHQWLQ


 UHVSRQVHWRDWULJJHULQJIUDPH 

 $Q+($3RSHUDWLQJLQWKH*+]EDQGVKDOOLQGLFDWHVXSSRUWIRUDWOHDVW0+]FKDQQHOZLGWK

 $Q+($3RSHUDWLQJLQWKH*+]EDQGVKDOOVHWWKH&R+RVWHG%66VXEILHOGLQ+(2SHUDWLRQHOHPHQWWR


 $*+]+(67$VKDOOQRWWUDQVPLWDQ+7&DSDELOLWLHVHOHPHQW9+7&DSDELOLWLHVHOHPHQW+72SHUDWLRQ

 HOHPHQW9+72SHUDWLRQHOHPHQWRUDQ+(2SHUDWLRQHOHPHQWWKDWFRQWDLQVD9+72SHUDWLRQ,QIRUPDWLRQ
 ILHOG


 $*+]+(67$VKDOOQRWWUDQVPLWLQDQ+(33'8DIUDPHRWKHUWKDQDQ+(&RPSUHVVHG%HDPIRUPLQJ
 &4, IUDPH VHH  5XOHV IRU +( VRXQGLQJ SURWRFRO VHTXHQFHV  WKDW H[FHHGV WKH PD[LPXP 03'8

 OHQJWKFDSDELOLW\LQGLFDWHGLQWKH+(*+]%DQG&DSDELOLWLHVHOHPHQWUHFHLYHGIURPWKHUHFLSLHQW+(67$ 
 *


 $Q$3RUPHVK67$RSHUDWLQJLQWKH*+]EDQGVKDOOLQFOXGHWKH*+]2SHUDWLRQ,QIRUPDWLRQILHOGLQWKH
 +(2SHUDWLRQHOHPHQWVLWWUDQVPLWV7KH$3RUPHVK67$VKDOOVHWWKH&KDQQHO:LGWKVXEILHOGWKH&KDQQHO

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 &HQWHU)UHTXHQF\6HJPHQWDQGWKH&KDQQHO&HQWHU)UHTXHQF\6HJPHQWVXEILHOGVRIWKH*+]2SHUD
 WLRQ,QIRUPDWLRQILHOGDVGHILQHGLQ7DEOH *+]%66FKDQQHOZLGWK EDVHGRQWKH5[+(0&60DS


”0+]5[+(0&60DS0+]DQG5[+(0&60DS0+]VXEILHOGVRIWKH6XSSRUWHG+( 

 0&6$QG1666HWILHOGRIWKH+(&DSDELOLWLHVHOHPHQWWUDQVPLWWHGE\WKH$3


 7DEOH²*+]%66FKDQQHOZLGWK


 &KDQQHO:LGWK &HQWHU)UHTXHQF\
%66FKDQQHOZLGWK
 ILHOG 6HJPHQWILHOG

   0+]

   0+]

   0+]
  &&)6!DQG 0+]
 _&&)6±&&)6_ 

  &&)6!DQG 0+]
 _&&)6±&&)6_!

 127(²&&)6UHSUHVHQWVWKHYDOXHRIWKH&KDQQHO&HQWHU)UHTXHQF\6HJPHQWILHOG

 DQG&&)6UHSUHVHQWVWKHYDOXHRIWKH&KDQQHO&HQWHU)UHTXHQF\6HJPHQWILHOG



 $*+]+(67$VKDOOGHWHUPLQHWKH%66FKDQQHOL]DWLRQXVLQJWKH3ULPDU\&KDQQHO&KDQQHO&HQWHU)UH
 TXHQF\6HJPHQWDQG&KDQQHO&HQWHU)UHTXHQF\6HJPHQWVXEILHOGVLQWKH*+]2SHUDWLRQ,QIRUPDWLRQ

 ILHOGLQWKH+(2SHUDWLRQHOHPHQWZKHQRSHUDWLQJLQ*+]EDQG VHH &KDQQHOL]DWLRQ IRUWKHFKDQ
 QHOL]DWLRQDQG &KDQQHODOORFDWLRQLQWKH*+]EDQG IRUWKHHTXDWLRQGHILQLQJWKHFKDQQHOFHQWHU
 IUHTXHQFLHVLQWKH*+]EDQG 


 $67$VKDOOQRWWUDQVPLWDQ+733'8LQWKH*+]EDQG$67$VKDOOQRWWUDQVPLWD9+733'8LQWKH
 *+]EDQG$67$VKDOOQRWWUDQVPLWD'666+5'666RU(532)'033'8LQWKH*+]EDQG


 $*+]+(67$VKDOOVHWGRW6SHFWUXP0DQDJHPHQW5HTXLUHGWRWUXHDQGRSHUDWHDVGHILQHGLQ 73&

 SURFHGXUHV 


 $*+]$3VKDOOVHWGRW),/62PLW5HSOLFDWH3UREH5HVSRQVHVWRWUXH

 $*+]+($3PD\UHVSRQGZLWKD 5H $VVRFLDWLRQ5HVSRQVHIUDPHZLWKWKH6WDWXV&RGHILHOGLQGLFDWLQJ 


'(1,('B3225B&+$11(/B&21',7,216LILWUHFHLYHVD 5H $VVRFLDWLRQ5HTXHVWIUDPHIURPDQRQ
 $367$EHORZDPLQLPXP566,WKUHVKROGYDOXH$*+]+($3PD\VHQGD'LVDVVRFLDWLRQIUDPHZLWK 
 WKH5HDVRQ&RGHILHOGLQGLFDWLQJ3225B566,B&21',7,216WRDQDVVRFLDWHGQRQ$367$LILWUHFHLYHV
 IUDPHVIURPWKH67$EHORZDPLQLPXP566,WKUHVKROGYDOXHIRUDVXIILFLHQWO\ORQJSHULRGRIWLPH+RZDQ 
 $3VHOHFWVDPLQLPXP566,WKUHVKROGYDOXHRUVXIILFLHQWLQWHUYDORIWLPHLVRXWRIVFRSHRIWKLVVSHFLILFD


WLRQ

 $*+]QRQ$3+(67$WKDWUHFHLYHVD 5H $VVRFLDWLRQ5HVSRQVHIUDPHZLWKWKH6WDWXV&RGHILHOGLQGL
 FDWLQJ'(1,('B3225B&+$11(/B&21',7,216RUD'LVDVVRFLDWLRQIUDPHZLWKWKH5HDVRQ&RGHILHOG 

 LQGLFDWLQJ 3225B566,B&21',7,216 IURP D  *+] +( $3 VKRXOG QRW WUDQVPLW D 5H $VVRFLDWLRQ

 5HTXHVWIUDPHRUD3UREH5HTXHVWIUDPHWRWKH$3XQWLORQHRIWKHIROORZLQJFRQGLWLRQLVPHW

 ² 6XIILFLHQWWLPHKDVSDVVHGVLQFHLWUHFHLYHGWKH 5H $VVRFLDWLRQ5HVSRQVHIUDPHRU'LVDVVRFLDWLRQ

 IUDPHIURPWKH$3

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ² 7KH67$KDVGHWHUPLQHGWKDWD 5H $VVRFLDWLRQ5HTXHVWIUDPHRU3UREH5HTXHVWIUDPHWKDWLWWUDQV
 PLWVZLOOEHUHFHLYHGE\WKH$3DWDVXIILFLHQWO\KLJK566,OHYHODQGLQVXIILFLHQWO\JRRGFRQGLWLRQV

FRPSDUHGZLWKLWVSUHYLRXVWUDQVPLVVLRQWRWKH$3


 +RZDQRQ$367$GHWHUPLQHVVXIILFLHQWWLPHKDVSDVVHGRUDVXLWDEOH566,WKUHVKROGLVRXWRIVFRSHRIWKH
 VWDQGDUG


 %HDFRQVLQWKH*+]EDQG


 $Q+($3*WUDQVPLWV%HDFRQIUDPHVDVGHILQHGLQ 6\QFKURQL]DWLRQ ZKLFKPD\EHFRQWDLQHGLQD
 QRQ+733'8QRQ+7GXSOLFDWH33'8RU+(6833'8

 $Q+($3*WKDWWUDQVPLWVD%HDFRQIUDPHLQDQRQ+733'8IROORZVWKHUXOHVLQ 5DWHVHOHFWLRQ


 IRUQRQ67%&%HDFRQDQGQRQ67%&3603IUDPHV 

 $Q+($3*WKDWWUDQVPLWVD%HDFRQIUDPHLQDQRQ+7GXSOLFDWH33'8VKDOOIROORZWKHUXOHVLQ

5DWHVHOHFWLRQIRUQRQ67%&EHDFRQDQGQRQ67%&3603IUDPHV DQGVKDOOVHWWKH7;9(&725SDUDPH

 WHU&+B%$1':,'7+RIWKH33'8WRDYDOXHWKDWLVXSWRWKHRSHUDWLQJFKDQQHOZLGWKRIWKH%66

 ,IDQ+($3*VFKHGXOHVD%HDFRQIUDPHIRUWUDQVPLVVLRQLQDQRQ+7GXSOLFDWH33'8WKHQLWVKDOOVHWWKH

'XSOLFDWH%HDFRQVXEILHOGWRLQWKH*+]2SHUDWLRQ,QIRUPDWLRQILHOGRIWKH+(2SHUDWLRQHOHPHQWLW

 WUDQVPLWVRWKHUZLVHWKH$3VKDOOVHWWKH'XSOLFDWH%HDFRQVXEILHOGWR

 $Q+($3*WKDWWUDQVPLWVD%HDFRQIUDPHLQDQ+(6833'8VKDOOIROORZWKHUXOHVGHILQHGLQ


$GGLWLRQDOUXOHVIRU+(EHDFRQVDQGJURXSDGGUHVVHGIUDPHV 

 $Q$3VKDOOQRWWUDQVPLWD%HDFRQIUDPHLQDQ+(6833'8RUQRQ+7GXSOLFDWH33'8LQWKH*+]RU
 *+]EDQGV


 6FDQQLQJLQWKH*+]EDQG


 *HQHUDO

 $  *+] $3 PD\ VHW GRW&RORFDWHG515,PSOHPHQWHG WR WUXH DQG VKDOO VHW GRW6KRUW66,'/LVW,PSOH

PHQWHGWRWUXH$Q$3WKDWLVLQWKHVDPHFRORFDWHG$3VHWDVD*+]$3VKDOOVHWGRW&RORFDWHG515,P

 SOHPHQWHGWRWUXHDQGGRW6KRUW66,'/LVW,PSOHPHQWHGWRWUXH

 ,QWKH*+]EDQGD67$VKDOOQRWWUDQVPLWD3UREH5HTXHVWIUDPHWRWKHEURDGFDVWGHVWLQDWLRQDGGUHVVWKDW


LQFOXGHVD6KRUW66,'/LVWHOHPHQWZLWKPRUHWKDQRQH6KRUW66,'ILHOG

127(²,QEDQGVRWKHUWKDQWKH*+]EDQGWKHUHPLJKWEHPRUHWKDQRQH6KRUW66,'ILHOGLQD6KRUW66,'/LVWHOH

PHQWLQD3UREH5HTXHVWIUDPHWRWKHEURDGFDVWGHVWLQDWLRQDGGUHVV$3UREH5HTXHVWIUDPHGRHVQRWFRQWDLQPRUHWKDQ


RQH6KRUW66,'/LVWHOHPHQW VHH7DEOH 3UREH5HTXHVWIUDPHERG\ 


 $3EHKDYLRUIRUIDVWSDVVLYHVFDQQLQJ


 $*+]$3WKDWGRHVQRWVKDUHWKHVDPHFRORFDWHG$3VHWDVDQ$3RSHUDWLQJLQWKH*+]EDQGRU
 *+]EDQGLVUHIHUUHGWRDVD*+]RQO\$3


$*+]RQO\$3VKDOOXQOHVVLWGRHVQRWLQWHQGWREHHIILFLHQWO\GLVFRYHUHGE\67$VXVLQJVFDQQLQJLQWKH

 *+]EDQGVHWGRW),/6)')UDPH%HDFRQ0D[LPXP,QWHUYDOWRDQRQ]HURYDOXHWKDWLVOHVVWKDQRUHTXDO
 WR78V

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $*+]$3WKDWKDVGRW),/6)')UDPH%HDFRQ0D[LPXP,QWHUYDOHTXDOWRDQRQ]HURYDOXHVKDOOVFKHGXOH
 IRU WUDQVPLVVLRQ ),/6 'LVFRYHU\ IUDPHV DV GHVFULEHG LQ  ),/6 'LVFRYHU\ IUDPH WUDQVPLVVLRQ 

H[FHSWWKDWWKHIROORZLQJDSSO\

 ² ,IWKH),/6'LVFRYHU\IUDPHLVFRQWDLQHGLQD '/+( 08 33'8 WKHQLWVKDOO EHLQFOXGHGLQ WKH
 EURDGFDVW58RIWKH'/+(0833'8DVGHILQHGLQ $GGLWLRQDOUXOHVIRUJURXSDGGUHVVHG
 IUDPHVLQDQ+(0833'8 

 ² ,IGRW8QVROLFLWHG3UREH5HVSRQVH2SWLRQ$FWLYDWHGLVWUXHDOO),/6'LVFRYHU\IUDPHVVKDOOEHRPLW
 WHGDQGDQXQVROLFLWHGEURDGFDVW3UREH5HVSRQVHIUDPHVKDOOEHVFKHGXOHGIRUWUDQVPLVVLRQDWWKHWDU
 JHWWUDQVPLWWLPHLQVWHDGRIHDFK),/6'LVFRYHU\IUDPH

 ² ,I GRW8QVROLFLWHG3UREH5HVSRQVH2SWLRQ$FWLYDWHG LV IDOVH WKHQ D ),/6 'LVFRYHU\ IUDPH PD\ EH
 RPLWWHGDQGDQXQVROLFLWHGEURDGFDVW3UREH5HVSRQVHIUDPHVKDOOEHVFKHGXOHGIRUWUDQVPLVVLRQDW
 WKHWDUJHWWUDQVPLWWLPHLQVWHDGRIWKDW),/6'LVFRYHU\IUDPH


 $Q $3 ZLWK GRW8QVROLFLWHG3UREH5HVSRQVH2SWLRQ$FWLYDWHG HTXDO WR WUXH VKDOO VHW GRW),/6)')UDPH
 %HDFRQ0D[LPXP,QWHUYDOWRDQRQ]HURYDOXHWKDWLVOHVVWKDQRUHTXDOWR78V

 $Q $3 RSHUDWLQJ LQ WKH  *+] EDQG PD\ VHW GRW),/6)')UDPH%HDFRQ0D[LPXP,QWHUYDO WR D QRQ]HUR

 YDOXH

 $Q$3RSHUDWLQJLQWKH*+]EDQGPD\VHQGDQXQVROLFLWHGEURDGFDVW3UREH5HVSRQVHIUDPH7KH3UREH
 5HVSRQVHIUDPHPD\EHLQFOXGHGLQWKHEURDGFDVW58RID'/+(0833'8DVGHILQHGLQ $GGL

WLRQDOUXOHVIRUJURXSDGGUHVVHGIUDPHVLQDQ+(0833'8 7KH3UREH5HVSRQVHPD\EHFDUULHGLQDQRQ

 +7GXSOLFDWH33'8LQZKLFKFDVHWKH33'8VKDOOKDYHWKH7;9(&725SDUDPHWHU&+B%$1':,'7+VHW
 WRDYDOXHWKDWLVXSWRWKHRSHUDWLQJFKDQQHOZLGWKRIWKH%66

 $Q+($3RSHUDWLQJLQWKH*+]EDQGWKDWWUDQVPLWVD),/6'LVFRYHU\IUDPHFDUU\LQJDQ)'&DSDELOLW\


ILHOGVKDOOVHWWKH3+<,QGH[VXEILHOGWR

 $Q $3 WKDW FRUUHVSRQGV WR D QRQWUDQVPLWWHG %66,' GRHV QRW VFKHGXOH IRU WUDQVPLVVLRQ ),/6 'LVFRYHU\

 IUDPHV VHH  ),/6 'LVFRYHU\ IUDPH WUDQVPLVVLRQ  RU XQVROLFLWHG EURDGFDVW 3UREH 5HVSRQVH
 IUDPHV VHH &ULWHULDIRUVHQGLQJDUHVSRQVH 


 ,ID*+]RQO\(0$$3WUDQVPLWVD),/6'LVFRYHU\IUDPHWKHQWKH$3VKDOOLQFOXGHLQWKH),/6'LVFRY
 HU\IUDPHD5HGXFHG1HLJKERU5HSRUWHOHPHQWFDUU\LQJLQIRUPDWLRQRQDOOQRQWUDQVPLWWHG%66,'VLQWKH
 PXOWLSOH%66,'VHWWKDWDUHGLVFRYHUDEOH VHH 5HGXFHGQHLJKERUUHSRUW 

 127(²$ ),/6 'LVFRYHU\ IUDPH UHFHLYHG IURP D  *+] $3 ZLWK WKH 0XOWLSOH %66,'V 3UHVHQFH ,QGLFDWRU VXEILHOG
 HTXDOWRDQGQRWFDUU\LQJD5HGXFHG1HLJKERU5HSRUWHOHPHQWLPSOLHVWKDWWKH$3¶V%HDFRQIUDPHDWWKHDGYHUWLVHG 
 7%77FDUULHVDFRPSOHWHOLVWRIQRQWUDQVPLWWHG%66,'SURILOHVRUWKDWWKHLQIRUPDWLRQRIWKHQRQWUDQVPLWWHG%66,' V LV
 DGYHUWLVHGLQWKH*+]RU*+]EDQGE\DFRORFDWHG$3

 ,ID*+]RQO\(0$$3WUDQVPLWVD%HDFRQRUEURDGFDVW3UREH5HVSRQVHIUDPHFDUU\LQJDSDUWLDOOLVWRI


QRQWUDQVPLWWHG%66,'SURILOHVWKHQWKH$3VKDOOLQFOXGHLQWKHIUDPHD5HGXFHG1HLJKERU5HSRUWHOHPHQW
 ZLWKLQIRUPDWLRQRQDOOQRQWUDQVPLWWHG%66,'VLQWKHPXOWLSOH%66,'VHWWKDWDUHGLVFRYHUDEOHDQGQRWFDU
 ULHGLQWKDWIUDPH VHH 5HGXFHGQHLJKERUUHSRUW 

 $*+]RQO\$3VKRXOGVHWXSWKH%66ZLWKDSULPDU\0+]FKDQQHOWKDWFRLQFLGHVZLWKDSUHIHUUHG


 VFDQQLQJFKDQQHO 36&  VHH 1RQ$367$VFDQQLQJEHKDYLRU 
 127(²$Q$3PLJKWLQLWLDWHD%66ZLWKDSULPDU\FKDQQHOWKDWFRLQFLGHVZLWKD36&LQRUGHUWRDVVLVW67$VWKDWDUH
 VFDQQLQJWKH*+]EDQGWRGLVFRYHUWKH%667KH$3PLJKWVXEVHTXHQWO\VZLWFKLWVRSHUDWLQJFKDQQHOWRDQRQ36& 
 HJXVLQJD&6$PHFKDQLVP LILWGRHVQRWH[SHFWDGGLWLRQDO QRW\HWDVVRFLDWHG 67$VZLOOQHHGWRGLVFRYHUWKH%66


 $*+]$3VKDOOQRWUHVSRQGWRD3UREH5HTXHVWIUDPHLIWKHIUDPHFDUULHVD),/65HTXHVW3DUDPHWHUVHOH
 PHQWDQGWKH$3LVXQDEOHWRVDWLVI\WKHUHVSRQVHWLPHFRQVWUDLQWVSHFLILHGLQWKH0D[&KDQQHO7LPHILHOGLQ


&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 WKHHOHPHQW VHH &ULWHULDIRUVHQGLQJDUHVSRQVH ,ID*+]$3UHFHLYHVD3UREH5HTXHVWIUDPH


 DQGUHVSRQGVZLWKD3UREH5HVSRQVHIUDPH SHU &ULWHULDIRUVHQGLQJDUHVSRQVH WKH$GGUHVV 

ILHOGRIWKH3UREH5HVSRQVHIUDPHVKDOOEHVHWWRWKHEURDGFDVWDGGUHVVXQOHVVWKH$3LVQRWLQGLFDWLQJLWV

 DFWXDO66,'LQWKH66,'HOHPHQWRILWV%HDFRQIUDPHV

 1RQ$367$VFDQQLQJEHKDYLRU


 7KHVHWRI0+]FKDQQHOVLQWKH*+]EDQGZLWKFKDQQHOFHQWHUIUHTXHQF\FKBD &KDQQHOVWDUWLQJIUH
 TXHQF\±îQ 0+] DUHUHIHUUHGWRDVSUHIHUUHGVFDQQLQJFKDQQHOV 36&V &KDQQHOVWDUWLQJIUH
 TXHQF\LVGHILQHGLQ &KDQQHODOORFDWLRQLQWKH*+]EDQG DQGQ «

 127(²36&VPLJKWQRWDOOEHDYDLODEOHLQDVSHFLILFORFDWLRQGXHWRUHJXODWRU\UHVWULFWLRQV$67$VFDQQLQJWKH*+]
 EDQGNQRZVZKHUHWKHVH36&VDUHORFDWHGVLQFHWKHLUSRVLWLRQLVIL[HG



$QRQ$367$WKDWLVDFWLYHO\VFDQQLQJDFKDQQHOLQWKH*+]EDQGVKDOORSHUDWHDVGHILQHGLQ

 $FWLYHVFDQQLQJSURFHGXUHIRUDQRQ'0*67$ XQOHVVDJLYHQUXOHLVVXSHUVHGHGE\WKHUXOHVGHILQHGLQ
  6FDQQLQJLQWKH*+]EDQG 


7KH QRQ$3 67$ VKDOO QRW WUDQVPLW D 3UREH 5HTXHVW IUDPH WR WKH EURDGFDVW GHVWLQDWLRQ DGGUHVV ZLWK WKH

 $GGUHVVILHOGVHWWRWKHZLOGFDUG%66,'DQGWKH66,'VHWWRWKHZLOGFDUG66,'

 7KHQRQ$367$VKDOOQRWVHQGD3UREH5HTXHVWIUDPHWRWKHEURDGFDVWGHVWLQDWLRQDGGUHVVZLWKWKH$GGUHVV
 ILHOG %66,' VHWWRWKH%66,'RIDQ$3IURPZKLFKLWKDVDOUHDG\UHFHLYHGD3UREH5HVSRQVHRUD%HDFRQ


 IUDPHVLQFHWKHVWDUWRILWVVFDQQLQJRQWKDWFKDQQHO

 7KHQRQ$367$VKDOOQRWVHQGD3UREH5HTXHVWIUDPHWRWKHEURDGFDVWGHVWLQDWLRQDGGUHVVZLWKWKH$GGUHVV
 ILHOG %66,' VHWWRWKH%66,'RIDQRQWUDQVPLWWHG%66,'LILWKDVDOUHDG\UHFHLYHGWKHQRQWUDQVPLWWHG

 %66,'SURILOHIRUWKDW%66,'YLDD%HDFRQIUDPHRU3UREH5HVSRQVHIUDPHVHQWE\WKHWUDQVPLWWHG%66,' 
 VLQFHWKHVWDUWRILWVVFDQQLQJRQWKDWFKDQQHO

 7KHQRQ$367$VKDOOQRWVHQGD3UREH5HTXHVWIUDPHWRWKHEURDGFDVWGHVWLQDWLRQDGGUHVVZLWKWKH66,' 

 ILHOG DQGRU WKH $GGUHVV  ILHOG VHW WR WKH 66,' DQGRU %66,' UHVSHFWLYHO\ RI DQ $3 IRU ZKLFK LW KDV
 UHFHLYHG D 5HGXFHG 1HLJKERU 5HSRUW RU 1HLJKERU 5HSRUW HOHPHQW ZLWK WKH 8QVROLFLWHG 3UREH 5HVSRQVHV
 $FWLYHVXEILHOGFRUUHVSRQGLQJWRWKDW$3VHWWRDQGWKDWLQGLFDWHVWKDWWKH$3LVRSHUDWLQJLQWKDWFKDQQHO
 XQWLOWKH),/63UREH7LPHUUHDFKHVGRW),/63UREH'HOD\


 7KHQRQ$367$VKDOOQRWWUDQVPLWPRUHWKDQRQH3UREH5HTXHVWIUDPHWRWKHEURDGFDVWGHVWLQDWLRQDGGUHVV
 ZLWKWKH$GGUHVVILHOGVHWWRWKHZLOGFDUG%66,'DQGWKH66,'ILHOGQRWVHWWRWKHZLOGFDUG66,'GXULQJ 
 HDFK78SHULRGVFDQQLQJWKHFKDQQHO7KHQRQ$367$VKDOOQRWWUDQVPLWPRUHWKDQWKUHH3UREH5HTXHVW
 IUDPHVWRWKHEURDGFDVWGHVWLQDWLRQDGGUHVVZLWK$GGUHVVILHOGVHWWRDQRQZLOGFDUG%66,'GXULQJHDFK



78SHULRGVFDQQLQJWKHFKDQQHO

 7KHQRQ$367$VKDOOVHWGRW),/63UREH'HOD\WRDYDOXHHTXDOWRRUJUHDWHUWKDQ78

 127(²$QRQ$367$ZDLWVIRUDWOHDVW78VRWKDWLWPD[LPL]HVWKHSUREDELOLW\RIUHFHLYLQJ),/6'LVFRYHU\RU
 EURDGFDVW3UREH5HVSRQVHIUDPHVLIDQ\VHQWE\DQ$3LQWKDWFKDQQHO VHH $3EHKDYLRUIRUIDVWSDVVLYH
 VFDQQLQJ 

 ,IWKHQRQ$367$LVVFDQQLQJDFKDQQHOWKHQWKHIROORZLQJDSSO\

 ² ,IWKH67$KDVUHFHLYHGD),/6'LVFRYHU\IUDPHLQGLFDWLQJWKDWDQ$3LVRSHUDWLQJLQWKDWFKDQQHORU
 LIWKH67$KDVUHFHLYHGD5HGXFHG1HLJKERU5HSRUWRU1HLJKERU5HSRUWHOHPHQWLQGLFDWLQJWKDWDQ 

$3LVRSHUDWLQJLQWKDWFKDQQHOWKHQWKH67$PD\VXEMHFWWRWKHRWKHUUXOHVLQWKLVFODXVHVHQGD

 3UREH5HTXHVWIUDPHWRWKHEURDGFDVWGHVWLQDWLRQDGGUHVVLQWKDWFKDQQHOZLWKWKH66,'ILHOGVHWWR
 WKH66,'WKDWFRUUHVSRQGVWRWKDW$3RUZLWKWKH6KRUW66,'ILHOGRIWKH6KRUW66,'/LVWHOHPHQWVHW

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 WRWKHVKRUW66,'WKDWFRUUHVSRQGVWRWKDW$3DQGRUZLWKWKH$GGUHVVILHOGVHWWRWKH%66,'RIWKDW
 $3VWDUWLQJIURPVWHSF RI $FWLYHVFDQQLQJSURFHGXUHIRUDQRQ'0*67$

 ² 2WKHUZLVHLIWKHFKDQQHOLVD36&DQGWKH67$KDVGHWHUPLQHGWKHPHGLXPWREHLGOHIRUDFRQWLQX
 RXVSHULRGRIDWOHDVWGRW0LQ36&3UREH'HOD\IURPWKHVWDUWRIWKHVFDQRQWKHFKDQQHOWKHQWKH
 67$PD\VXEMHFWWRRWKHUUXOHVLQWKLVVXEFODXVHVHQGD3UREH5HTXHVWIUDPHWRWKHEURDGFDVWGHVWL
 QDWLRQDGGUHVVLQWKDWFKDQQHOZLWKWKH66,'ILHOGVHWWRWKH66,'WKDWFRUUHVSRQGVWRDQ$3RUZLWK 

 WKH6KRUW66,'ILHOGRIWKH6KRUW66,'/LVWHOHPHQWVHWWRWKHVKRUW66,'WKDWFRUUHVSRQGVWRDQ$3
 DQGRUZLWKWKH$GGUHVVILHOGVHWWRWKH%66,'RIDQ$3DIWHULQYRNLQJWKHEDFNRIISURFHGXUH
 GHVFULEHG LQ  ('&$ EDFNRII SURFHGXUH  DQG VWDUWLQJ IURP VWHS F  RI  $FWLYH
 VFDQQLQJSURFHGXUHIRUDQRQ'0*67$

 ² 2WKHUZLVHLIWKH67$KDVGLVFRYHUHGWKHSUHVHQFHRIDQ$3LQWKDWFKDQQHOWKURXJKPHDQVWKDWDUH
 RXWRIVFRSHRIWKHVWDQGDUGDQGWKH$3PLJKWEHGHWHFWHGE\WKH67$WKHQWKH67$PD\VHQGD
 3UREH5HTXHVWIUDPHWRWKHEURDGFDVWGHVWLQDWLRQDGGUHVVLQWKDWFKDQQHOZLWKWKH$GGUHVVILHOGVHW
 WRWKH%66,'RIWKDW$3VWDUWLQJIURPVWHSF RI $FWLYHVFDQQLQJSURFHGXUHIRUDQRQ

 '0*67$
 ² 2WKHUZLVHLIWKH),/63UREH7LPHUUHDFKHVGRW),/63UREH'HOD\DQGWKHFKDQQHOLVD36&WKHQWKH
 67$PD\VXEMHFWWRWKHRWKHUUXOHVLQWKLVVXEFODXVHVHQGD3UREH5HTXHVWWRWKHEURDGFDVWGHVWLQD

 WLRQDGGUHVVLQWKDWFKDQQHOVWDUWLQJIURPVWHSF RI $FWLYHVFDQQLQJSURFHGXUHIRUDQRQ
 '0*67$ 
 ² 2WKHUZLVHWKH67$VKDOOQRWVHQGD3UREH5HTXHVWIUDPHWRWKHEURDGFDVWGHVWLQDWLRQDGGUHVVLQWKDW


FKDQQHO
 127(²7KH67$PLJKWVHQGDQLQGLYLGXDOO\DGGUHVVHG3UREH5HTXHVWIUDPHWRDQ$3IRUUHDVRQVRWKHUWKDQDFWLYH
 VFDQ HJWRREWDLQDQXSGDWHG('&$SDUDPHWHUVHW HYHQLILWKDVDOUHDG\UHFHLYHGD),/6'LVFRYHU\3UREH5HVSRQVH
 RU%HDFRQIUDPHIURPWKDW$3

 127(²$Q$3PLJKWEHGHWHFWHGE\D67$LIWKH67$DQGWKH$3DUHRQWKHVDPHFKDQQHODQGLQUDQJH

 ,IDQRQ$367$VHQGVD3UREH5HTXHVWIUDPHLQWKH*+]EDQGWKDWLQFOXGHVD),/65HTXHVW3DUDPHWHUV

 HOHPHQWWKHQWKHQRQ$367$VKDOOVHWWKHYDOXHRI3+<6XSSRUW&ULWHULRQVXEILHOGLQWKHHOHPHQWWRHLWKHU
 RU

 2XWRIEDQGGLVFRYHU\RID*+]%66


 $Q$3WKDWRSHUDWHVLQWKH*+]RU*+]EDQGDQGWKDWLVLQWKHVDPHFRORFDWHG$3VHWDVRQHRUPRUH
 *+]$3VVKDOOLQFOXGHLQ%HDFRQDQG3UREH5HVSRQVHIUDPHVWKDWLWWUDQVPLWVD5HGXFHG1HLJKERU5HSRUW
 HOHPHQWZLWKWKH&R/RFDWHG$3VXEILHOGLQWKH%663DUDPHWHUVVXEILHOGLQWKH7%77,QIRUPDWLRQILHOGVHW
 WRWRSURYLGHDWOHDVWWKHRSHUDWLQJFKDQQHOVDQGRSHUDWLQJFODVVHVRIWKRVH*+]$3V

 127(²7KH5HGXFHG1HLJKERU5HSRUWHOHPHQWPLJKWFRQWDLQLQIRUPDWLRQRQ*+]$3VWKDWDUHQRWLQWKHVDPHFR
 ORFDWHG$3VHWDVWKHWUDQVPLWWLQJ$3,QWKLVFDVHWKH&R/RFDWHG$3VXEILHOGLVVHWWR

 $Q $3 UHVSRQGV WR D SUREH UHTXHVW E\ IROORZLQJ WKH UXOHV GHILQHG LQ  &ULWHULD IRU VHQGLQJ D

 UHVSRQVH 

 ,IQHLWKHURIWKHIROORZLQJFRQGLWLRQVLVPHW

 ² WKH$3WUDQVPLWVDQLQGLYLGXDOO\DGGUHVVHG3UREH5HVSRQVHIUDPHWRD67$WKDWKDVVLJQDOHGWKDWLW
 GRHVQRWVXSSRUWRSHUDWLQJLQWKH*+]EDQG VHH 6XSSRUWHG2SHUDWLQJ&ODVVHVHOHPHQW 
 ² WKH$3RSHUDWLQJLQWKH*+]EDQGGRHVQRWLQWHQGWREHGLVFRYHUHGE\67$V


 WKHQWKHIROORZLQJDSSOLHV

² ,IDQ$3RSHUDWLQJLQWKH*+]RU*+]EDQGLVLQWKHVDPHFRORFDWHG$3VHWDVRQHRUPRUH

 *+]$3VDQGKDVWKHVDPH66,'DVWKRVH*+]$3VWKHQWKH%HDFRQDQG3UREH5HVSRQVHIUDPHV
 WUDQVPLWWHGE\WKH$3RUE\WKHWUDQVPLWWHG%66,'RIWKHVDPH0XOWLSOH%66,'VHWDVWKH$3VKDOO

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 LQFOXGHIRUHDFKRIWKHVH*+]$3VD7%77,QIRUPDWLRQILHOGLQD5HGXFHG1HLJKERU5HSRUWHOH
 PHQWZLWKWKH%66,'ILHOGVHWWRWKH%66,'RIWKH*+]$3DQGZLWKHLWKHUWKH6KRUW66,'ILHOG

VHWWRWKHVKRUW66,'RIWKH*+]$3RUWKH6DPH66,'VXEILHOGLQWKH%663DUDPHWHUVVXEILHOGVHW

 WR
 ² ,IDQ$3RSHUDWLQJLQWKH*+]RU*+]EDQGLVLQWKHVDPHFRORFDWHG$3VHWDVD*+]$3DQG


KDVDGLIIHUHQW66,'DQGQRRWKHU$3LQWKHVDPHFRORFDWHG$3VHWDQGRSHUDWLQJLQWKH*+]RU
 *+]EDQGLVLQGLFDWLQJWKH*+]$3LQD5HGXFHG1HLJKERU5HSRUWHOHPHQWRIWKH%HDFRQDQG
 3UREH5HVSRQVHIUDPHVWKH\WUDQVPLWWKHQ%HDFRQDQG3UREH5HVSRQVHIUDPHVWUDQVPLWWHGE\WKH
 $3 RUE\WKHWUDQVPLWWHG%66,'RIWKHVDPH0XOWLSOH%66,'VHWDVWKH$3 VKDOOLQFOXGHD7%77 
 ,QIRUPDWLRQILHOGLQD5HGXFHG1HLJKERU5HSRUWHOHPHQWZLWKWKH%66,'ILHOGDQGWKH6KRUW66,' 

ILHOGVHWWRWKH%66,'DQGVKRUW66,'RIWKH*+]$3UHVSHFWLYHO\


 ,IWKH$3UHSRUWHGLQWKH7%77,QIRUPDWLRQILHOGLQWKH5HGXFHG1HLJKERU5HSRUWHOHPHQWLVD*+]$3
 WKHUHSRUWLQJ$3VKDOOLQFOXGHWKH%663DUDPHWHUVVXEILHOGLQWKH7%77,QIRUPDWLRQILHOGDQGVKDOOIROORZ

 WKHUXOHVLQ 5HGXFHGQHLJKERUUHSRUW WRVHWWKH0XOWLSOH%66,'VXEILHOGWKH7UDQVPLWWHG%66,' 

 VXEILHOGWKH&R/RFDWHG$3VXEILHOGDQGWKH2&75HFRPPHQGHGVXEILHOG

 $67$UHFHLYLQJDIUDPHFRQWDLQLQJD5HGXFHG1HLJKERU5HSRUWHOHPHQWGHVFULELQJDUHSRUWHG$3RSHUDW
 LQJDW*+]ZLWKWKH2&75HFRPPHQGHGVXEILHOGVHWWRLQWKH%663DUDPHWHUVVXEILHOGVKDOOIROORZWKH

 UXOHVLQ 5HGXFHGQHLJKERUUHSRUW WRSHUIRUPDFWLYHVFDQQLQJDXWKHQWLFDWLRQDQGRUDVVRFLDWLRQZLWK

 WKHUHSRUWHG$3

 $Q$3WKDWRSHUDWHVLQWKH*+]RU*+]EDQGDQGWKDWLVLQWKHVDPHFRORFDWHG$3VHWDVRQHRUPRUH


*+]$3VVKDOOLQFOXGHWKH$GYHUWLVHPHQW3URWRFROHOHPHQWLQ%HDFRQDQG3UREH5HVSRQVHIUDPHVWKDWLW
 WUDQVPLWVDQGVKDOOVXSSRUWUHVSRQGLQJZLWKD1HLJKERU5HSRUW$143HOHPHQW 1HLJKERU5HSRUW
 $143HOHPHQW FDUU\LQJRQHRUPRUH1HLJKERU5HSRUWHOHPHQWV VHH 1HLJKERU5HSRUWHOHPHQW 
 WKDWLQFOXGHDWOHDVWWKH66,'LQIRUPDWLRQRIDOOWKH*+]$3VLQWKHVDPHFRORFDWHG$3VHWH[FHSWWKH
 *+]$3VWKDWGRQRWLQWHQGWREHGLVFRYHUHG

 127( ²7KH1HLJKERU 5HSRUW $143HOHPHQW FDQDOVRFDUU\ 1HLJKERU5HSRUW HOHPHQWV FRQWDLQLQJLQIRUPDWLRQRQ

 *+]$3VWKDWDUHQRWLQWKHVDPHFRORFDWHG$3VHW

 127(²,WLVUHFRPPHQGHGWKDWWKH$3UHVSRQGVZLWKD*$6FRPHEDFNGHOD\RI]HUR

 127(²,IWKH6DPH66,'VXEILHOGLVVHWWRLQWKH%663DUDPHWHUVRIDUHSRUWHG*+]$3DQRQ$367$WKDWGRHV
 QRWNQRZWKHVKRUW66,'RIWKHUHSRUWHG*+]$3DQGWKDWLQWHQGVWRGLVFRYHUWKH66,'RIWKHUHSRUWHG*+]$3
 PLJKW
 ² 8VHWKH2&7SURFHGXUHGHVFULEHGLQ 2QFKDQQHO7XQQHOLQJ 2&7 RSHUDWLRQ WRVHQGD3UREH5HTXHVW

IUDPHWRWKHUHSRUWHG$3WKURXJKRYHUWKHDLUWUDQVPLVVLRQVZLWKWKHUHSRUWLQJ$3LIWKH2&75HFRPPHQGHG


 VXEILHOGLVLQWKH1HLJKERU$3,QIRUPDWLRQILHOGGHVFULELQJWKHUHSRUWHG$3
 ² 8VHWKH$143SURFHGXUHGHVFULEHGLQ $1433URFHGXUH WRVHQGDQ$143UHTXHVWZLWKD4XHU\,' 
 FRUUHVSRQGLQJWR1HLJKERU5HSRUWWRWKHUHSRUWLQJ$3WRUHWULHYHWKH66,'RIWKH*+]$3VLQFOXGLQJWKH
 UHSRUWHG$3

 ² 6HQGD3UREH5HTXHVWIUDPHWRWKHUHSRUWHG$3LQFOXGLQJWKH%66,'RIWKHUHSRUWHG$3
 ² 6HQGD3UREH5HTXHVWIUDPHWRWKHUHSRUWHG$3LQFOXGLQJWKHVKRUW66,'RIWKHUHSRUWHG$3

² 3HUIRUPSDVVLYHVFDQQLQJLQWKHRSHUDWLQJFKDQQHORIWKHUHSRUWHG$3


 $Q$3PD\VHWWKH8QVROLFLWHG3UREH5HVSRQVHV$FWLYHVXEILHOGWRIRUDUHSRUWHG$3LQD5HGXFHG1HLJK
 ERU5HSRUWHOHPHQWRU1HLJKERU5HSRUWHOHPHQWLQDIUDPHLWWUDQVPLWVLIDOO*+]$3VRIWKHVDPH(66DV
 WKHUHSRUWHG$3WKDWRSHUDWHLQWKHVDPHFKDQQHODVWKHUHSRUWHG$3DQGWKDWPLJKWEHGHWHFWHGE\D67$ 

 UHFHLYLQJWKLVIUDPHKDYHGRW8QVROLFLWHG3UREH5HVSRQVH2SWLRQ$FWLYDWHGHTXDOWRWUXHDQGVRDUHWUDQV
 PLWWLQJ XQVROLFLWHG 3UREH 5HVSRQVH IUDPHV HYHU\  78V VHH  $3 EHKDYLRU IRU IDVW SDVVLYH
 VFDQQLQJ 2WKHUZLVHWKH$3VKDOOVHWWKH8QVROLFLWHG3UREH5HVSRQVHV$FWLYHVXEILHOGWR

 127(²$Q$3PLJKWEHGHWHFWHGE\D67$LIWKH67$DQGWKH$3DUHRQWKHVDPHFKDQQHODQGLQUDQJH

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $Q$3PD\VHWWKH0HPEHU2I(66:LWK*+]&R/RFDWHG$3VXEILHOGWRLQD5HGXFHG1HLJKERU
 5HSRUWHOHPHQWLQDIUDPHLWWUDQVPLWVLIWKHUHSRUWHG$3RSHUDWHVLQWKH*+]EDQGDQGLVSDUWRIDQ(66


ZKHUHHDFK$3LQWKH(66WKDWLVRSHUDWLQJLQWKHVDPHEDQGDVWKHUHSRUWHG$3DQGWKDWPLJKWEHGHWHFWHG 

 E\D67$UHFHLYLQJWKLVIUDPH LUUHVSHFWLYHRIWKHRSHUDWLQJFKDQQHO KDVGRW0HPEHU2I&RORFDWHG*+]
 (662SWLRQ$FWLYDWHGHTXDOWRWUXHDQGDOVRKDVDFRUUHVSRQGLQJ$3RSHUDWLQJLQWKH*+]RU*+]EDQG
 WKDWLVLQWKHVDPHFRORFDWHG$3VHWDVWKDW$3


127(²7KLV VXEILHOG LQGLFDWHV WKDW WKH UHSRUWHG $3 LV SDUW RI DQ (66 WKDW KDV QR  *+]RQO\ $3V WKDW PLJKW EH

 GHWHFWHGE\D67$UHFHLYLQJWKLVIUDPH7KLVPHDQVWKDWDOO$3VRSHUDWLQJLQWKH*+]EDQGWKDWDUHSDUWRIWKDW(66 
 WKDWPLJKWEHGHWHFWHGE\D67$UHFHLYLQJWKLVIUDPHFDQEHGLVFRYHUHGLQWKH*+]DQGRU*+]EDQGV

 +(67$DQWHQQDLQGLFDWLRQ


 $*+]+(67$WKDWGRHVQRWFKDQJHLWVUHFHLYHDQWHQQDSDWWHUQDIWHUDVVRFLDWLRQVKDOOVHWWKH5[$QWHQQD
 3DWWHUQ&RQVLVWHQF\VXEILHOGLQWKH+(*+]%DQG&DSDELOLWLHVHOHPHQWWRRWKHUZLVHWKH67$VKDOOVHW
 WKH5[$QWHQQD3DWWHUQ&RQVLVWHQF\VXEILHOGLQWKH+(*+]%DQG&DSDELOLWLHVHOHPHQWWR


 $*+]+(67$WKDWGRHVQRWFKDQJHLWVWUDQVPLWDQWHQQDSDWWHUQDIWHUDVVRFLDWLRQVKDOOVHWWKH7[$QWHQQD
 3DWWHUQ&RQVLVWHQF\VXEILHOGLQWKH+(*+]%DQG&DSDELOLWLHVHOHPHQWWRRWKHUZLVHWKH67$VKDOOVHW
 WKH7[$QWHQQD3DWWHUQ&RQVLVWHQF\VXEILHOGLQWKH+(*+]%DQG&DSDELOLWLHVHOHPHQWWR


 %66FRORU


 *HQHUDO

 %66FRORULGHQWLILHVD%66DQGDVVLVWVD67$UHFHLYLQJD33'8WKDWFDUULHV%66FRORULQLGHQWLI\LQJWKH

%66IURPZKLFKWKH33'8RULJLQDWHVVRWKDWWKH67$FDQXVHWKHFKDQQHODFFHVVUXOHVLQ 6SDWLDO

 UHXVHRSHUDWLRQ UHGXFHSRZHUFRQVXPSWLRQDVGHVFULEHGLQ ,QWUD33'8SRZHUVDYHIRUQRQ$3 
 +(67$V RUXSGDWHLWV1$9DVGHVFULEHGLQ 8SGDWLQJWZR1$9V 



$OO$3VWKDWDUHPHPEHUVRIDPXOWLSOH%66,'VHWRUFRKRVWHG%66,'VHWVKDOOXVHWKHVDPH%66FRORU

 $QRQ$3+(67$DVVRFLDWHGZLWKDQ+($3WKDWLVWUDQVPLWWLQJDQ+(33'8LQDGLUHFWSDWKWRD7'/6 
 SHHU67$VKDOOVHWWKH%66&RORUVXEILHOGRIWKH+(2SHUDWLRQHOHPHQWLWWUDQVPLWVWRWKHSHHU67$WRWKH


YDOXHLQGLFDWHGLQWKH%66&RORUVXEILHOGRIWKH+(2SHUDWLRQHOHPHQWUHFHLYHGIURPWKH+($3$Q+( 
 67$DVVRFLDWHGZLWKDQRQ+($3WKDWLVWKHLQLWLDWLQJ67$RIWKH7'/6OLQNVKDOOXVHWKHVDPHDFWLYH%66 
 FRORUIRUDOOLWV7'/6OLQNVE\VHWWLQJWKH%66&RORUVXEILHOGRIWKH+(2SHUDWLRQHOHPHQWLWWUDQVPLWVWRWKH
 7'/6 SHHU +( 67$ WR WKH YDOXH RI GHF %66,'>@  RI WKH QRQ+( $3 RU WKH GHF WUDQVPLWWHG 
 %66,'>@ RIWKHQRQ+($3LIWKH$3LQGLFDWHVWKHVXSSRUWRIPXOWLSOH%66,'LQLWV([WHQGHG&DSD


ELOLWLHVHOHPHQW

 $Q+(67$WKDWWUDQVPLWVDQ+(2SHUDWLRQHOHPHQWVKDOOVHOHFWDQLQLWLDO%66FRORUE\IROORZLQJWKHSURFH
 GXUHLQ ,QLWLDO%66FRORU 


 $Q +( 67$ WKDW WUDQVPLWV DQ +( 2SHUDWLRQ HOHPHQW PD\ GLVDEOH %66 FRORU E\ IROORZ WKH SURFHGXUH LQ
  'LVDEOLQJ%66FRORU 


 $Q+(67$WKDWWUDQVPLWVDQ+(2SHUDWLRQHOHPHQWPD\GHWHUPLQHWKDWD%66FRORUFROOLVLRQKDVRFFXUUHG

 E\IROORZLQJWKHSURFHGXUHLQ 'HWHFWLQJDQGUHSRUWLQJ%66FRORUFROOLVLRQ 


 $Q+($3PD\IROORZWKHSURFHGXUHLQ 6HOHFWLQJDQGDGYHUWLVLQJDQHZ%66FRORU WRVHOHFWDQG
 DGYHUWLVHDQHZ%66FRORU

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $QRQ$3+(67$PD\IROORZLQJWKHSURFHGXUHLQ 'HWHFWLQJDQGUHSRUWLQJ%66FRORUFROOLVLRQ 
 WRGHWHUPLQHDQGUHSRUWD%66FRORUFROOLVLRQWRWKH$3ZLWKZKLFKLVDVVRFLDWHG


 ,QLWLDO%66FRORU

 $Q+(67$VKDOOVHWWKH%66&RORUVXEILHOGRIWKHILUVW+(2SHUDWLRQHOHPHQWLWWUDQVPLWVWRDYDOXHLQWKH
 UDQJHWRDQGVKDOOPDLQWDLQWKDWYDOXHLQVXEVHTXHQW+(2SHUDWLRQHOHPHQWVLWWUDQVPLWVIRUWKHOLIHWLPH

 RIWKH%66RUXQWLOWKH%66FRORULVFKDQJHGDVGHVFULEHGLQ 6HOHFWLQJDQGDGYHUWLVLQJDQHZ%66 
 FRORU 

 'LVDEOLQJ%66FRORU


 $Q+(67$WKDWWUDQVPLWVDQ+(2SHUDWLRQHOHPHQWDQGWKDWGHFLGHVWRWHPSRUDULO\GLVDEOHWKHXVHRI%66 
 FRORULQWKH%66WRZKLFKLWEHORQJVIRUH[DPSOHDIWHUGHWHFWLQJD%66FRORUFROOLVLRQZLWKDQ2%66 VHH
  'HWHFWLQJDQGUHSRUWLQJ%66FRORUFROOLVLRQ VKDOOVHWWKHYDOXHRI%66&RORU'LVDEOHGVXEILHOG

 LQWKH+(2SHUDWLRQHOHPHQWWRWRLQIRUPLWVDVVRFLDWHGSHHU+(67$VWKDWWKH%66FRORULVGLVDEOHGRWK


HUZLVHWKH+(67$VKDOOVHWWKH%66&RORU'LVDEOHGVXEILHOGWR

 ,IWKHPRVWUHFHQWO\UHFHLYHG +(2SHUDWLRQ HOHPHQWIURP WKH $3 ZLWKZKLFK LW LVDVVRFLDWHGFRQWDLQHGD
 YDOXHRILQWKH%66&RORU'LVDEOHGVXEILHOGWKHQ

 ² $QRQ$3+(67$VKRXOGXVHWKH$GGUHVV$GGUHVVDQG'XUDWLRQ,'ILHOGVRIWKHIUDPHVFRQ
 WDLQHGLQWKHUHFHLYHG+(33'8VLQVWHDGRIWKH5;9(&725SDUDPHWHUV%66B&2/25DQG7;2
 3B'85$7,21WRGHWHUPLQHZKHWKHUWKH67$VKRXOGXSGDWHWKHLQWUD%661$9

 ² $ QRQ$3 +( 67$ VKRXOG XVH WKH $GGUHVV  $GGUHVV  ILHOGV RI WKH IUDPHV FRQWDLQHG LQ WKH
 UHFHLYHG+(33'8VLQVWHDGRIWKH5;9(&725SDUDPHWHUV%66B&2/25DQG67$B,'WRGHWHU
 PLQHZKHWKHUWKH67$PD\JRWRGR]HVWDWHIRUWKHGXUDWLRQRIWKDW33'8 VHH ,QWUD33'8 
 SRZHUVDYHIRUQRQ$3+(67$V 


 $ QRQ$3 +( 67$ PD\ XVH WKH 5;9(&725 SDUDPHWHU %66B&2/25 RI DQ +( 33'8 WR GHWHUPLQH
 ZKHWKHULWVKRXOGXSGDWHWKHLQWUD%661$9 VHH 8SGDWLQJWZR1$9V DQGRUWKH67$PD\JRWR
 GR]HVWDWHIRUWKHGXUDWLRQRIWKH33'8 VHH ,QWUD33'8SRZHUVDYHIRUQRQ$3+(67$V LIWKH
 PRVWUHFHQWO\UHFHLYHG+(2SHUDWLRQHOHPHQWIURPWKH$3ZLWKZKLFKLWLVDVVRFLDWHGFRQWDLQHGDYDOXHRI


 LQWKH%66&RORU'LVDEOHGVXEILHOG

 6HOHFWLQJDQGDGYHUWLVLQJDQHZ%66FRORU



$Q+(67$WKDWWUDQVPLWVDQ+(2SHUDWLRQHOHPHQWVKDOOVHOHFWD%66FRORUDVGHILQHGLQ ,QLWLDO
 %66FRORU IRULWV%66$Q+($3PD\FKDQJHWKH%66FRORUXQGHUFHUWDLQFRQGLWLRQVIRUH[DPSOHLILW
 GHWHFWVWKDWDQ2%66LVXVLQJWKHVDPHFRORU:KHQVHOHFWLQJRUFKDQJLQJWKH%66FRORUWKH+($3PD\ 
 FRQVLGHUWKH%66FRORUVRI2%66VWKDWWKH+($3KDVLGHQWLILHGE\LWVHOIRUYLDWKHDXWRQRPRXVFROOLVLRQ
 UHSRUWVUHFHLYHGIURPDVVRFLDWHGQRQ$3+(67$V VHH 'HWHFWLQJDQGUHSRUWLQJ%66FRORUFROOL


VLRQ 

 $Q+($3VKDOODQQRXQFHDQXSFRPLQJ%66FRORUFKDQJHXVLQJWKH%66&RORU&KDQJH$QQRXQFHPHQWHOH
 PHQW 7KH %66 &RORU &KDQJH $QQRXQFHPHQW HOHPHQW PD\ EH FDUULHG LQ WKH %HDFRQ 3UREH 5HVSRQVH
 5H $VVRFLDWLRQ5HVSRQVHDQG+(%66&RORU&KDQJH$QQRXQFHPHQW IUDPHVWUDQVPLWWHGE\WKH$3$Q 

 +($3VKRXOGDQQRXQFHDQXSFRPLQJ%66FRORUFKDQJHIRUDSHULRGRIWLPHWKDWLVVXIILFLHQWO\ORQJIRUDOO
 67$VLQWKH%66LQFOXGLQJ67$VLQ36PRGHWRKDYHDQRSSRUWXQLW\WRUHFHLYHDWOHDVWRQHIUDPHFDUU\LQJ
 D%66&RORU&KDQJH$QQRXQFHPHQWHOHPHQWEHIRUHWKH%66FRORUFKDQJH


,IWKH&RORU6ZLWFK&RXQWGRZQILHOGLQ%66&RORU&KDQJH$QQRXQFHPHQWHOHPHQWKDVDYDOXHJUHDWHUWKDQ 

  WKHQ DW WKH QH[W 7%77 WKH $3 VKDOO GHFUHPHQW WKH &RORU 6ZLWFK &RXQWGRZQ ILHOG YDOXH E\  XQWLO LW
 UHDFKHV%66FRORUFKDQJH7%77LVWKHRQHDWZKLFKWKH&RORU6ZLWFK&RXQWGRZQILHOGYDOXHKDVGHFUH

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 PHQWHGWR$Q+($3VKDOOQRWDOWHUWKH%66FRORUFKDQJH7%77DIWHULWKDVDQQRXQFHGDSHQGLQJ%66 
 FRORUFKDQJH$Q$3EHORQJLQJWRDFRKRVWHG%66,'VHW VHH &RKRVWHG%66,'VHW VKRXOGVHOHFW

WKHYDOXHRI&RORU6ZLWFK&RXQWGRZQILHOGVXFKWKDWWKH%66FRORUFKDQJH7%77LQWHUYDOEHWZHHQWKH%66V

 LQWKHVHWVKDOOQRWEHJUHDWHUWKDQRQHEHDFRQLQWHUYDORIWKH%66ZLWKODUJHVWEHDFRQLQWHUYDOLQWKHVHW

 'XULQJWKHWLPHOHDGLQJXSWRWKH%66FRORUFKDQJH7%77

 ² $Q+($3VKDOOVHWWKH%66&RORU'LVDEOHGVXEILHOGWRDQGVKDOOFRQWLQXHWRDGYHUWLVHWKHH[LVWLQJ
 %66FRORUYLDWKH%66&RORUVXEILHOGLQWKH+(2SHUDWLRQHOHPHQW

 ² $Q+($3VKDOOQRWFKDQJHWKHYDOXHLWDGYHUWLVHVLQWKH1HZ%66&RORUVXEILHOGRIWKH%66&RORU
 &KDQJH$QQRXQFHPHQWHOHPHQW


² $Q+($3VKDOOVHWWKH7;9(&725SDUDPHWHU%66B&2/25RIDQ+(33'8WRWKHH[LVWLQJ%66

 FRORU

 $WWKH%66FRORUFKDQJH7%77DQ+($3VKDOO

 ² 6HWWKH%66&RORU'LVDEOHGVXEILHOGLQWKH+(2SHUDWLRQHOHPHQWWKDWLWWUDQVPLWVWRXQOHVVWKH+(

 $3EHORQJVWRDFRKRVWHG%66,'VHWLQZKLFKFDVHLWVKDOOFRQWLQXHWRVHWWKH%66&RORU'LVDEOHG 
 VXEILHOGWRXQWLODOOWKH%66VLQWKHFRKRVWHG%66,'VHWKDYHSDVVHGWKHLUUHVSHFWLYH%66FRORU

FKDQJH7%77

 ² 6WDUWDGYHUWLVLQJWKHQHZ%66FRORULQWKH%66&RORUVXEILHOGLQWKH+(2SHUDWLRQHOHPHQW

 ² 6WDUWXVLQJWKHQHZ%66FRORUIRUDOOIUDPHVWKDWLWWUDQVPLWVDIWHUWKH7%77

 $FRKRVWHG$3VKRXOGQRWWUDQVPLWDQ+(33'8GXULQJWKHWUDQVLWLRQSHULRGXQWLODOOWKH%66VLQWKHFR

KRVWHGVHWKDYHFRPSOHWHGWKHLUVZLWFKWRWKHQHZFRORU


 $QRQ$3+(67$WKDWUHFHLYHV D %66&RORU&KDQJH$QQRXQFHPHQW HOHPHQWIURPDQ$3VKDOOXVH WKH
 YDOXHVSHFLILHGLQWKH1HZ%66&RORUILHOGRIWKHHOHPHQWDVWKH%66FRORUZKHQFRPPXQLFDWLQJZLWKWKDW
 $3IROORZLQJWKH%66FRORUFKDQJH7%77


 $QRQ$3+(67$LQDQLQIUDVWUXFWXUH%66VKDOOQRWWUDQVPLWWKH%66&RORU&KDQJH$QQRXQFHPHQWHOH
 PHQW$Q+(67$EHORQJLQJWRDQ,%66RUDPHVK%66VKDOOQRWWUDQVPLWD%66&RORU&KDQJH$QQRXQFH
 PHQWHOHPHQW$Q+(67$SDUWLFLSDWLQJLQDQ,%66RUDPHVK%66PD\WHPSRUDULO\GLVDEOHWKHXVHRI%66 

 FRORU LI WKH +( 67$ GHWHUPLQHV WKDW D %66 FRORU FROOLVLRQ KDV RFFXUUHG VHH  'LVDEOLQJ %66

 FRORU 

 127(²7KHFRORUFKDQJHPHFKDQLVPGHVFULEHGLQWKLVVXEFODXVHGRHVQRWDSSO\WRDQ,%66RUDPHVK%66VLQFHWKHVH
 %66VGRQRWKDYHDVLQJOHFRRUGLQDWRU


 'HWHFWLQJDQGUHSRUWLQJ%66FRORUFROOLVLRQ

 *HQHUDO


 $Q+($3PD\GHWHUPLQHWKDWD%66FRORUFROOLVLRQKDVRFFXUUHGLILWUHFHLYHVIUDPHVRQLWVSULPDU\FKDQ
 QHOIURPDQ2%6667$FRQWDLQLQJWKHVDPH%66FRORUDVWKHRQHLWKDVVHOHFWHGIRULWV%66RULILWUHFHLYHV
 DXWRQRPRXV%66FRORUFROOLVLRQHYHQWUHSRUWVIURPLWVDVVRFLDWHG67$V7KH+($3VKDOOVHWWKH%66&RORU
 'LVDEOHGVXEILHOGWRLQWKH+(2SHUDWLRQHOHPHQWWKDWLWWUDQVPLWVLIWKH%66FRORUFROOLVLRQSHUVLVWVIRUD

 GXUDWLRQRIDWOHDVWGRW%66&RORU&ROOLVLRQ$33HULRG

 $XWRQRPRXVUHSRUWLQJRI%66FRORUFROOLVLRQ


 $67$WKDWVXSSRUWVDXWRQRPRXVUHSRUWLQJRI%66FRORUFROOLVLRQVKDOOVHWGRW$XWRQRPRXV%66&RORU&RO
 OLVLRQ5HSRUWLQJ,PSOHPHQWHGWRWUXH

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $QRQ$3+(67$WKDWVXSSRUWVDXWRQRPRXVUHSRUWLQJRI%66FRORUFROOLVLRQPD\VHQGDFRORUFROOLVLRQ 
 UHSRUWWRLWVDVVRFLDWHG$3ZKHQLWGHWHFWVWKDWFRORUFROOLVLRQKDVRFFXUUHG7KH67$VKDOOGHFODUHWKDWD

FRORUFROOLVLRQKDVRFFXUUHGLILWUHFHLYHVRQLWVDVVRFLDWHG$3¶VSULPDU\FKDQQHODIUDPHZLWKDWOHDVWWKUHH

 $GGUHVV ILHOGV LQ WKH 0$& KHDGHU DQG ZLWK WKH VDPH FRORU DV LWV DVVRFLDWHG %66 LQ ZKLFK QRQH RI WKH
 $GGUHVVILHOGVPDWFKWKH%66,'RIWKH%66WKDWWKH67$LVDVVRFLDWHGZLWKRUDQ\RIWKHRWKHU%66VLQWKH
 VDPHPXOWLSOH%66,'VHWRUFRKRVWHG%66,'VHWWRZKLFKLWV%66EHORQJV



7KH+(67$¶VDXWRQRPRXVUHSRUWVKDOOLQFOXGH%66FRORULQIRUPDWLRQRIDOO2%66VWKDWWKH67$LVDEOHWR

 GHWHFWIUDPHVIURPLQRUGHUWRKHOSLWVDVVRFLDWHG$3VHOHFWDQHZQRQRYHUODSSLQJ%66FRORUZKHQWKH$3

 GHFLGHVWRVZLWFKWRDGLIIHUHQW%66FRORU

 $ QRQ$3 +( 67$ WKDW LV DXWRQRPRXVO\ UHSRUWLQJ D %66 FRORU FROOLVLRQ VKDOO WUDQVPLW DQ (YHQW 5HSRUW

 IUDPH VHH (YHQW5HSRUWIUDPHIRUPDW FRQWDLQLQJDVLQJOH(YHQW5HSRUWHOHPHQW VHH 
 (YHQW5HSRUWHOHPHQW 7KH(YHQW5HSRUWHOHPHQWVKDOOFDUU\(YHQW7RNHQILHOGYDOXHVHWWR DXWRQR
 PRXVUHSRUW DQG(YHQW7\SHILHOGYDOXHVHWWR %66&RORU&ROOLVLRQ 7KH(YHQW5HSRUW6WDWXVILHOGVKDOO
 EH VHW WR  6XFFHVVIXO  DQG WKH (YHQW 5HSRUW ILHOG VKDOO FDUU\ LQIRUPDWLRQ DERXW WKH %66 FRORU XVHG E\
 2%66VWKDWWKHUHSRUWLQJ67$LVDEOHWRGHWHFW


 $QRQ$3+(67$WKDWLQWHQGVWRDXWRQRPRXVO\UHSRUWD%66FRORUFROOLVLRQWRLWVDVVRFLDWHG+($3VKDOO
 GRVRE\VFKHGXOLQJIRUWUDQVPLVVLRQD%66FRORUFROOLVLRQ(YHQW5HSRUWIUDPHHYHU\GRW%66&RORU&ROOL
 VLRQ67$3HULRGXQOHVVWKH%66FRORUFROOLVLRQQRORQJHUH[LVWVRULIWKHDVVRFLDWHG+($3KDVVHWWKH%66

 &RORU'LVDEOHGILHOGWRLQ+(2SHUDWLRQHOHPHQWWKDWLWWUDQVPLWVRULIWKHQRQ$367$KDVWUDQVPLWWHG

 VHYHUDOVXFKUHSRUWVWRLWVDVVRFLDWHG+($3
 127(²7KHPD[LPXPQXPEHURI%66FRORUFROOLVLRQHYHQWUHSRUWVDQRQ$367$WUDQVPLWVLVRXWRIVFRSHRIWKLVVWDQ
 GDUG


 $,'DVVLJQPHQW

 $Q+($3WKDWWUDQVPLWVDQ+(2SHUDWLRQHOHPHQWZLWKWKH3DUWLDO%66&RORUVXEILHOGLQWKH%66&RORU
 ,QIRUPDWLRQILHOGVHWWRVKDOODOORFDWH$,'VWKDWPHHWWKHFRQVWUDLQWLQ(TXDWLRQ  


 $,'   bin> BCB  ± BSSID>@†BSSID>@ mod@ 

 ZKHUHBCB  UHSUHVHQWVELWVWRLQFOXVLYHRIWKH%66FRORULQWKHWUDQVPLWWHG+(2SHUDWLRQHOHPHQW

 ZLWKELWEHLQJWKHILUVWWUDQVPLWWHGDQG$,'  UHSUHVHQWVELWVWRLQFOXVLYHRIWKHDOORFDWHG$,'ZLWK

 ELWEHLQJWKHILUVWWUDQVPLWWHG

 127(²6HHIRUWKHEHKDYLRURIWKHPRGRSHUDWRUZLWKDQHJDWLYHILUVWRSHUDQG

 4XLHW+(67$VLQDQ+(%66

 *HQHUDO


 4XLHWWLPHSHULRG 473 LVDQRSWLRQDOIHDWXUHWKDWGHILQHVDSHULRGRIWLPH 473SHULRG WKDWLVLQWHQGHGWR 
 EHXVHGSULPDULO\IRUWKHH[FKDQJHRIVSHFLILFIUDPHVEHWZHHQD67$UHTXHVWLQJD473DQGLWVSHHUVXVLQJ 
 SHHUWRSHHUOLQNV7KHSDUWLFXODUIUDPHVWREHH[FKDQJHGXVLQJSHHUWRSHHUOLQNVGXULQJWKH473SHULRGDUH
 LGHQWLILHGE\DVHUYLFHVSHFLILFLGHQWLILHU7KHGHWHUPLQDWLRQRIZKLFKIUDPHVDUHDVVRFLDWHGZLWKWKHVHUYLFH

 VSHFLILFLGHQWLILHULVEH\RQGWKHVFRSHRIWKHVWDQGDUG7KHPHWKRGIRUVHOHFWLRQRIWKHVHUYLFHVSHFLILFLGHQ
 WLILHUE\WKHSHHUWRSHHURSHUDWLRQLVEH\RQGWKHVFRSHRIWKHVWDQGDUG

 $Q$3WKDWVXSSRUWV473LVD473$3DQGVKDOOVHWWKH4736XSSRUWILHOGWRLQ+(&DSDELOLWLHVHOHPHQWV

WKDWLWWUDQVPLWVDQGVKDOOVHWWKH4736XSSRUWILHOGWRRWKHUZLVH$QRQ$3+(67$WKDWVXSSRUWV473LV

 D473QRQ$367$DQGVKDOOVHWWKH4736XSSRUWILHOGWRLQ+(&DSDELOLWLHVHOHPHQWVWKDWLWWUDQVPLWV
 DQGVKDOOVHWWKH4736XSSRUWILHOGWRRWKHUZLVH

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $473QRQ$367$PD\UHTXHVWLWV473$3WRVHWXSD473DQGLIVXFFHVVIXOWKH473$3LQIRUPVRWKHU
 DVVRFLDWHG473QRQ$367$VRIWKH473DQGRIWKHVHUYLFHVSHFLILFLGHQWLILHUDVVRFLDWHGZLWKWKDW473


 7KH 473 PHFKDQLVP LQIRUPV RWKHU +( 67$V RI WKH SHULRG DQG WKH LQWHQGHG SHHUWRSHHU RSHUDWLRQ DQG
 UHTXHVWVWKDWGXULQJWKH473WKH473QRQ$367$VVKRXOGQRWH[FKDQJHIUDPHVWKDWDUHQRWDVVRFLDWHG 
 ZLWKWKHVHUYLFHVSHFLILFLGHQWLILHU



$473QRQ$367$PD\LJQRUHWKH473$473QRQ$367$WKDWGHFLGHVWRVWD\TXLHWGXULQJD473 
 SHULRGVXVSHQGVWKHGHFUHPHQWLQJRILWVEDFNRIIFRXQWHUVDWWKHVWDUWWLPHRIWKH473SHULRGDQGUHVXPHV
 WKHPZKHQWKH473SHULRGHQGV

 127(²2WKHUZLVHD67$WKDWGRHVQRWVWD\TXLHWGRHVQRWVXVSHQGWKHGHFUHPHQWLQJRILWVEDFNRIIFRXQWHUV

 4735HTXHVWLQJ67$SURFHGXUH


$473UHTXHVWLQJ67$LVD473QRQ$367$WKDWUHTXHVWVD473


 8SRQWKHUHFHSWLRQRIDQ0/0(473UHTXHVWSULPLWLYHD473UHTXHVWLQJ67$VKDOOSHUIRUPWKHIROORZLQJ
 SURFHGXUH )LJXUH 4XLHWWLPHSHULRGRSHUDWLRQ 



 5HTXHVWLQJ67$ 5HTXHVWLQJ67$ 5HVSRQGLQJ$3 5HVSRQGLQJ$3
 60( 0$& 0$& 60(



 0/0(473UHTXHVW
4XLHW7LPH3HULRG
 5HTXHVW

 0/0(473LQGLFDWLRQ



0/0(473UHVSRQVH


 4XLHW7LPH3HULRG
 5HVSRQVH
 0/0(473FRQILUP



 4XLHW7LPH3HULRG6HWXS





 )LJXUH²4XLHWWLPHSHULRGRSHUDWLRQ

 D ,I D 473 UHTXHVWLQJ 67$ LV DVVRFLDWHG ZLWK D 473 $3 WKH 473 UHTXHVWLQJ 67$ VHQGV D 473
 5HTXHVW IUDPH ZKLFK LV D 4XLHW 7LPH 3HULRG $FWLRQ IUDPH  4XLHW 7LPH 3HULRG $FWLRQ

 IUDPHGHWDLOV ZLWKWKH&RQWUROILHOGRIWKH4XLHW7LPH3HULRGHOHPHQWLQGLFDWLQJWKH4XLHW7LPH
 3HULRG5HTXHVWVXEW\SH7KH4735HTXHVWIUDPHLQGLFDWHVWKHGXUDWLRQLQWHUYDODQGW\SHRIRSHUD


WLRQ LQGLFDWHGE\6HUYLFH6SHFLILF,GHQWLILHU 7KH473UHTXHVWLQJ67$PD\LQFOXGHPXOWLSOH4XLHW
 7LPH3HULRGHOHPHQWVZLWK5HTXHVWVXEW\SHLQRQH4735HTXHVWIUDPHIRUPXOWLSOHW\SHVRIIUDPHV
 DVVRFLDWHGZLWKGLIIHUHQWVHUYLFHVSHFLILFLGHQWLILHUV

E $4735HVSRQVHIUDPHLVD4XLHW7LPH3HULRG$FWLRQIUDPH  4XLHW7LPH3HULRG$FWLRQ 

 IUDPHGHWDLOV ZLWKWKH&RQWUROILHOGRIWKH4XLHW7LPH3HULRGHOHPHQWLQGLFDWLQJ4XLHW7LPH3HULRG

 5HVSRQVHVXEW\SH,ID4735HVSRQVHIUDPHLVUHFHLYHGZLWKWKHGLDORJWRNHQPDWFKLQJWKHUHTXHVW

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 WRNHQZLWKDVWDWXVFRGHVHWWRDYDOXHRI68&&(66WKH473$3KDVFRQILUPHGWKHUHFHSWLRQRIWKH
 473 5HTXHVW IUDPH DQG WKH 0/0( VKDOO LVVXH DQ 0/0(473FRQILUP SULPLWLYH LQGLFDWLQJ WKH

VXFFHVVRIWKHSURFHGXUH$4736HWXSIUDPHLVD4XLHW7LPH3HULRG$FWLRQIUDPH  4XLHW

 7LPH3HULRG$FWLRQIUDPHGHWDLOV ZLWKWKH&RQWUROILHOGRIWKH4XLHW7LPH3HULRGHOHPHQWLQGLFDW
 LQJ4XLHW7LPH3HULRG6HWXSVXEW\SH,ID4736HWXSIUDPHLVUHFHLYHGDWWKHVWDUWWLPHIRUD473 
 SHULRGWKH473UHTXHVWLQJ67$PD\VFKHGXOHIUDPHVIRUWUDQVPLVVLRQWKDWDUHDVVRFLDWHGZLWKWKH
 VHUYLFHVSHFLILFLGHQWLILHULQGLFDWHGLQWKH4736HWXSIUDPHDQGVKRXOGQRWWUDQVPLWIUDPHVWKDWDUH

QRWDVVRFLDWHGZLWKWKHVHUYLFHVSHFLILFLGHQWLILHU


 5HVSRQGLQJ$3SURFHGXUH

 8SRQUHFHLSWRID473UHTXHVWD473$3VKDOORSHUDWHDVIROORZV )LJXUH 4XLHWWLPHSHULRGRSHUD


WLRQ 
 D 7KH0/0(RIWKH$3VKDOOLVVXHDQ0/0(473LQGLFDWLRQSULPLWLYH


E 8SRQUHFHLSWRIWKH0/0(473UHVSRQVHSULPLWLYHWKH$3PD\UHVSRQGE\VHQGLQJDEURDGFDVW
 4735HVSRQVHIUDPH
  ,I WKH VWDWXV FRGH LQ WKH EURDGFDVW 473 5HVSRQVH IUDPH LV 68&&(66 WKH $3 DFFHSWV WKH

UHTXHVW7KH$3VKDOOVFKHGXOHWKHTXLHWSHULRG V DFFRUGLQJWRWKHDFFHSWHGUHTXHVW&RQWDLQHG 

 LQWKHWUDQVPLWWHG4735HVSRQVHIUDPHLVDFRS\RIWKHGLDORJWRNHQIURPWKH473UHTXHVWLQJ 
 67$7KH473SURFHGXUHVKDOOEHWHUPLQDWHGLIWKHQXPEHURITXLHWSHULRGVH[FHHGVWKHYDOXH
 RIWKH5HSHWLWLRQ&RXQWILHOGVSHFLILHG

  ,IWKHVWDWXVFRGHLQWKHEURDGFDVW4735HVSRQVHIUDPHLV5(-(&7('WKH$3LQGLFDWHVWKDW
 WKHUHTXHVWFDQQRWEHIXOILOOHG
  ,IWKHVWDWXVFRGHLQWKHEURDGFDVW4735HVSRQVHIUDPHLV&2817(5('WKH$3FRXQWHUVWKH


UHTXHVW ZLWK UHFRPPHQGHG YDOXHV DQG WKH FXUUHQW UHTXHVW LV UHMHFWHG 8SRQ UHFHLYLQJ WKH
 FRXQWHUSURSRVDOD47367$FDQVHQGD4735HTXHVWIUDPHWRVHWXSDQRWKHU473SHULRG
 F :KHQ WKH VFKHGXOHG TXLHW WLPH SHULRGV DUULYH WKH $3 PD\ WUDQVPLW D 4XLHW 7LPH 3HULRG $FWLRQ
 IUDPH LQFOXGLQJ D 4XLHW 7LPH 3HULRG 6HWXS HOHPHQW 7KH $3 VKDOO VHW WKH 4XLHW 3HULRG 'XUDWLRQ


 ILHOGRIWKH4XLHW7LPH3HULRG6HWXSIUDPHWRDYDOXHQRODUJHUWKDQLQGLFDWHGLQWKH4XLHW3HULRG 
 'XUDWLRQILHOGRIWKH4XLHW7LPH3HULRG5HTXHVWHOHPHQWVHQWE\WKHUHTXHVWLQJ67$
 G $WWKHVWDUWWLPHIRUDTXLHWWLPHSHULRGWKH$3PD\VFKHGXOHIRUWUDQVPLVVLRQD4736HWXSIUDPH

 7KH$3VKDOOVHWWKH4XLHW3HULRG'XUDWLRQILHOGRIWKH4736HWXSIUDPHWRDYDOXHQRODUJHUWKDQ

 LQGLFDWHGLQWKH4XLHW3HULRG'XUDWLRQILHOGRIWKH4735HTXHVWIUDPHVHQWE\WKH473UHTXHVWLQJ
 67$

 127(²7KH$3LVQRWUHTXLUHGWRWUDQVPLWD4736HWXSIUDPHZKHQDVFKHGXOHG473SHULRGDUULYHV7KHLQWHUIHUHQFH
 PLWLJDWLRQSURWRFROLVWRSURYLGHDQ$3DWRROWRPDQDJHDQGDYRLGLQWHUIHUHQFH+RZRUZKHWKHUWKH$3ZLOOWUDQVPLW
 4736HWXSIUDPHZKHQDVFKHGXOHG473SHULRGVDUULYHVLVQRWLQWKHVFRSHRIWKLVVSHFLILFDWLRQ

 (5EHDFRQJHQHUDWLRQLQDQ(5%66

 $Q(5EHDFRQLVD%HDFRQIUDPHFDUULHGLQDQ+((56833'8XVLQJDWRQH58DQGWUDQVPLWWHGLQWKH

 SULPDU\  0+] FKDQQHO $Q (5 EHDFRQ SURYLGHV DGGLWLRQDO OLQN EXGJHW IRU GRZQOLQN WUDQVPLVVLRQV WR
 FRPSHQVDWHIRUWKHOLQNEXGJHWLPEDODQFHEHWZHHQGRZQOLQNDQGXSOLQNGXHWRLQWURGXFWLRQRI8/2)'0$ 
 WUDQVPLVVLRQ$Q+($3VKDOORSHUDWHDQ(5%66LQDGGLWLRQWRDQRQ(5%66RSHUDWHGE\DQRWKHU$3WKDW
 LVLQWKHVDPHFRORFDWHG$3VHW$Q(5%66LISUHVHQWVKDOORSHUDWHLQGHSHQGHQWO\RIWKHFROORFDWHGQRQ
 (5%66WKDWLVLQWKHVDPHFRORFDWHG$3VHWDQGWKH$3RSHUDWLQJWKH(5%66VKDOOKDYHD%66,'GLIIHUHQW

 IURPWKH$3RSHUDWLQJWKHQRQ(5%66
 127(²$Q$3WKDWXVHV(5%HDFRQIUDPHVFDQEDODQFHWKHOLQNEXGJHWE\DOORFDWLQJQDUURZ58VWR67$V$Q(5%66

 LVH[SHFWHGWRKDYHDODUJHUFRYHUDJHDUHDWKDQDQRQ(5%66


 7KH+($3RIDQ(5%66VKDOOQRWVHWWKH(568'LVDEOHVXEILHOGWRLQ+(2SHUDWLRQHOHPHQWVLWWUDQV
 PLWV

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KH+($3RIDQ(5%66VKDOOWUDQVPLW%HDFRQIUDPHVDQGJURXSDGGUHVVHGIUDPHVLQ+((56833'8V
 IROORZLQJWKHUXOHVLQ $GGLWLRQDOUXOHVIRU(5EHDFRQVDQGJURXSDGGUHVVHGIUDPHV 


 &RKRVWHG%66,'VHW

 +(%66VWKDWDUHQRWSDUWRIDPXOWLSOH%66,'VHW LHGRW0XOWL%66,',PSOHPHQWHGLVIDOVH EXWVKDUH
 WKHVDPHRSHUDWLQJFODVVFKDQQHODQGDQWHQQDFRQQHFWRUVEHORQJWRDFRKRVWHG%66,'VHW


 $ 67$ WKDW VXSSRUWV FRKRVWHG %66,' FDSDELOLW\ VKDOO KDYH GRW&R+RVWHG%66,',PSOHPHQWHG HTXDO WR

 WUXH

 $Q$3WKDWEHORQJVWRDFRKRVWHG%66,'VHWVKDOOSHUIRUPWKHIROORZLQJRSHUDWLRQV

 ² 6HWWKH&R+RVWHG%66VXEILHOGLQWKH+(2SHUDWLRQHOHPHQWWKDWLWWUDQVPLWVWR
 ² 6HWWKH0D[&R+RVWHG%66,',QGLFDWRUILHOGLQWKH+(2SHUDWLRQHOHPHQWWKDWLWWUDQVPLWVWRDQRQ

]HUR YDOXH n, ZKHUH  ” n ” , VXFK WKDW n LQGLFDWHV WKH PD[LPXP QXPEHU RI %66,'V LQ WKH FR

 KRVWHGVHW

 0HPEHUVRIWKHFRKRVWHG%66,'VHWKDYHWKHVDPH±nELWV %66,'> ± n @ LQWKHLU%66,'V


,ILWVDVVRFLDWHG$3KDVVHWWKH&R+RVWHG%66VXEILHOGLQWKH+(2SHUDWLRQ3DUDPHWHUVILHOGWRDQRQ$3


 67$VKDOOLGHQWLI\D%66DVDFRKRVWHG%66LIWKH±nELWV %66,'> ± n @ RIWKH%66,'RIWKH%66

 DUHWKHVDPHDVWKH±nELWV %66,'> ± n @ RIWKH%66,'RILWVDVVRFLDWHG$3ZKHUHnLVWKHYDOXH
 FDUULHGLQWKH0D[&R+RVWHG%66,',QGLFDWRUILHOGRIWKH+(2SHUDWLRQHOHPHQWWUDQVPLWWHGE\WKHDVVRFL
 DWHG$3





































&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU



































































 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 +LJK(IILFLHQF\ +( 3+<VSHFLILFDWLRQ



 ,QWURGXFWLRQ

 ,QWURGXFWLRQWRWKH+(3+<


 &ODXVH +LJK(IILFLHQF\ +( 3+<VSHFLILFDWLRQ  VSHFLILHV WKH3+< HQWLW\IRU D KLJKHIILFLHQF\ +( 
 RUWKRJRQDOIUHTXHQF\GLYLVLRQPXOWLSOH[LQJ 2)'0 V\VWHP,QDGGLWLRQWRWKHUHTXLUHPHQWVLQ&ODXVH 
 +LJK (IILFLHQF\ +(  3+< VSHFLILFDWLRQ  DQ +( 67$ VKDOO EH FDSDEOH RI WUDQVPLWWLQJ DQG UHFHLYLQJ

 33'8VWKDWDUHFRPSOLDQWZLWKWKHPDQGDWRU\UHTXLUHPHQWVRIWKHIROORZLQJ3+<VSHFLILFDWLRQV

 ² &ODXVH +LJK7KURXJKSXW +7 3+<VSHFLILFDWLRQ DQG&ODXVH 9HU\+LJK7KURXJKSXW 9+7 
 3+< VSHFLILFDWLRQ  LI WKH +( 67$ VXSSRUWV DQ RSHUDWLQJ FKDQQHO ZLGWK JUHDWHU WKDQ RU HTXDO WR


 0+]DQGLVRSHUDWLQJLQWKH*+]EDQG
 ² &ODXVH +LJK7KURXJKSXW +7 3+<VSHFLILFDWLRQ DQG&ODXVH 9HU\+LJK7KURXJKSXW 9+7 

3+<VSHFLILFDWLRQ WUDQVPLVVLRQDQGUHFHSWLRQRQ0+]FKDQQHOZLGWK VHH %DVLF+(


 %66RSHUDWLRQ LIWKH+(67$LVD0+]RQO\QRQ$3+(67$DQGLVRSHUDWLQJLQWKH*+]
 EDQG

 ² &ODXVH +LJK7KURXJKSXW +7 3+<VSHFLILFDWLRQ LIWKH+(67$LVRSHUDWLQJLQWKH*+]
 EDQG


² &ODXVH 2UWKRJRQDOIUHTXHQF\GLYLVLRQPXOWLSOH[LQJ 2)'0 3+<VSHFLILFDWLRQ LIWKH+(67$

 LVRSHUDWLQJLQWKH*+]EDQG

 )RU*+]EDQGRSHUDWLRQWKH+(3+<LVEDVHGRQ+73+<GHILQHGLQ&ODXVH +LJK7KURXJKSXW +7 

 3+<VSHFLILFDWLRQ ZKLFKLQWXUQLVEDVHGRQWKH2)'03+<GHILQHGLQ&ODXVH 2UWKRJRQDOIUHTXHQF\

 GLYLVLRQPXOWLSOH[LQJ 2)'0 3+<VSHFLILFDWLRQ 

 )RU *+] EDQG RSHUDWLRQ WKH +( 3+< LV EDVHG RQ WKH 9+7 3+< GHILQHG LQ &ODXVH 9HU\ +LJK


 7KURXJKSXW 9+7 3+<VSHFLILFDWLRQ ZKLFKLQWXUQLVEDVHGRQWKH+73+<GHILQHGLQ&ODXVH +LJK
 7KURXJKSXW +7 3+<VSHFLILFDWLRQ ZKLFKLQWXUQLVIXUWKHUEDVHGRQWKH2)'03+<GHILQHGLQ&ODXVH
  2UWKRJRQDOIUHTXHQF\GLYLVLRQPXOWLSOH[LQJ 2)'0 3+<VSHFLILFDWLRQ 


 )RU*+]EDQGRSHUDWLRQWKH+(3+<LVEDVHGRQWKH2)'03+<GHILQHGLQ&ODXVH 2UWKRJRQDOIUH
 TXHQF\GLYLVLRQPXOWLSOH[LQJ 2)'0 3+<VSHFLILFDWLRQ 

 7KH+(3+<H[WHQGVWKHPD[LPXPQXPEHURIXVHUVVXSSRUWHGIRU'/080,02WUDQVPLVVLRQVWRXVHUV

 SHUUHVRXUFHXQLW 58 DQGSURYLGHVVXSSRUWIRU'/DQG8/RUWKRJRQDOIUHTXHQF\GLYLVLRQPXOWLSOHDFFHVV
 2)'0$ DVZHOODVIRU8/080,02%RWK'/DQG8/080,02WUDQVPLVVLRQVDUHVXSSRUWHGRQSRU
 WLRQV RI WKH 33'8 EDQGZLGWK RQ UHVRXUFH XQLWV JUHDWHU WKDQ RU HTXDO WR  WRQHV  ,Q DQ 080,02

 UHVRXUFHXQLWWKHUHLVVXSSRUWIRUXSWRXVHUVZLWKXSWRVSDFHWLPHVWUHDPVSHUXVHUZLWKWKHWRWDODFURVV
 DOOXVHUVQRWH[FHHGLQJVSDFHWLPHVWUHDPV


 7KH+(3+<SURYLGHVVXSSRUWIRU0+]0+]0+]DQG0+]FRQWLJXRXVFKDQQHOZLGWKVDQG 
 VXSSRUWIRU0+]QRQFRQWLJXRXVFKDQQHOZLGWKGHSHQGLQJRQWKHIUHTXHQF\EDQGDQGFDSDELOLW\)RU
 33'8 EDQGZLGWKV JUHDWHU WKDQ RU HTXDO WR 0+] WKH +( 3+< VXSSRUWV SUHDPEOH SXQFWXUHG +( 08


 33'8WUDQVPLVVLRQVZKHUHSUH+(PRGXODWHGILHOGV VHH)LJXUH 7LPLQJERXQGDULHVIRU+(33'8 
 ILHOGVLIPLGDPEOHLVQRWSUHVHQW DUHQRWWUDQVPLWWHGLQRQHRUPRUHRIWKHQRQSULPDU\0+]FKDQQHOV
 DQG58VDVVRFLDWHGZLWKWKRVHSXQFWXUHG0+]FKDQQHOVDVGHILQHGLQ &RPPRQILHOG DUHQRW
 DOORFDWHG


 7KH+(3+<SURYLGHVVXSSRUWIRU—V—VDQG—VJXDUGLQWHUYDOGXUDWLRQV

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KH +( 3+< SURYLGHV VXSSRUW IRU —V [  —V [  DQG —V [  +(/7) V\PERO GXUDWLRQV
 H[FOXGLQJWKH*,GXUDWLRQ7KH+(3+<VXSSRUWVD')7SHULRGRI—VDQG—VIRUWKHSUH+(PRGX

ODWHGILHOGVDQGWKH+(PRGXODWHGILHOGVLQDQ+(33'8UHVSHFWLYHO\7KH+(3+<GDWDVXEFDUULHUIUH

 TXHQF\VSDFLQJLVDTXDUWHURI9+73+<DQG+73+<VXEFDUULHUIUHTXHQF\VSDFLQJGHILQHGLQ&ODXVH 
 9HU\+LJK7KURXJKSXW 9+7 3+<VSHFLILFDWLRQ DQG&ODXVH +LJK7KURXJKSXW +7 3+<VSHFLILFD
 WLRQ UHVSHFWLYHO\


7KH+(3+<GDWDVXEFDUULHUVDUHPRGXODWHGXVLQJ%36.%36.'&0436.436.'&04$0

 4$0'&04$04$0DQG4$0)RUZDUGHUURUFRUUHFWLRQ )(& FRGLQJ FRQYROXWLRQDO
 RU/'3&FRGLQJ LVXVHGZLWKFRGLQJUDWHVRIDQG

 7KH+(3+<SURYLGHVVXSSRUWIRUPLGDPEOHV0LGDPEOHVIDFLOLWDWHXSGDWLQJRIWKHFKDQQHOHVWLPDWHGXULQJ 


+(33'8UHFHSWLRQDQGPLJKWEHRIXVHLQKLJKPRELOLW\VFHQDULRVWKDWRIWHQUHVXOWLQVLJQLILFDQWYDULDWLRQV
 RIWKHZLUHOHVVFKDQQHORYHUWKHGXUDWLRQRID33'8

 $Q+(67$VKDOOVXSSRUWWKHIROORZLQJIHDWXUHV

 ² 7UDQVPLVVLRQ DQG UHFHSWLRQ RI DQ +( 68 33'8 WKDW FRQVLVWV RI D VLQJOH 58 VSDQQLQJ WKH HQWLUH
 33'8EDQGZLGWK
 ² 7UDQVPLVVLRQ DQG UHFHSWLRQ RI DQ +( (5 68 33'8 WKDW FRQVLVWV RI D WRQH 58 VSDQQLQJ WKH

 HQWLUHSULPDU\0+]33'8EDQGZLGWK
 ² %&&FRGLQJ WUDQVPLWDQGUHFHLYH %&&FRGLQJLVQRWXVHGLQWKHIROORZLQJFDVHV

 ‡ $Q+(6833'8ZLWKDEDQGZLGWKJUHDWHUWKDQ0+]
 ‡ $Q58RIVL]HJUHDWHUWKDQVXEFDUULHUVLQDQ+(0833'8RUDQ+(7%33'8
 ‡ $Q+(6833'8ZLWKQXPEHURIVSDWLDOVWUHDPVJUHDWHUWKDQ
 ‡ $Q58DOORFDWHGWRDVLQJOHXVHULQDQ+(0833'8RUIRUDQ+(7%33'8ZLWKDQXPEHURI

VSDWLDOVWUHDPVJUHDWHUWKDQ

 ‡ $Q+(6833'8XVLQJ+(0&6VRU
 ‡ $Q58LQDQ+(0833'8RUDQ+(7%33'8XVLQJ+(0&6VRU
 ² /'3&FRGLQJ WUDQVPLWDQGUHFHLYH LQDOOVXSSRUWHG+(33'8W\SHV58VL]HVDQGQXPEHURIVSD

 WLDO VWUHDPV LI WKH 67$ VXSSRUWV WUDQVPLWWLQJ DQG UHFHLYLQJ LQ FKDQQHO EDQGZLGWKV JUHDWHU WKDQ

 0+]
 ² /'3&FRGLQJ WUDQVPLWDQGUHFHLYH LQDOOVXSSRUWHG+(33'8W\SHV58VL]HVDQGQXPEHURIVSD

 WLDOVWUHDPVLIWKH67$GHFODUHVVXSSRUWIRUWUDQVPLWWLQJRUUHFHLYLQJPRUHWKDQVSDWLDOVWUHDPV
 ² /'3&FRGLQJ WUDQVPLWDQGUHFHLYH LQDOOVXSSRUWHG+(33'8W\SHV58VL]HVDQGQXPEHURIVSD
 WLDOVWUHDPVLIWKH67$GHFODUHVVXSSRUWIRU+(0&6VDQG WUDQVPLWDQGUHFHLYH 

 ² 6LQJOHVSDWLDOVWUHDP+(0&6VWR WUDQVPLWDQGUHFHLYH LQDOOVXSSRUWHGFKDQQHOZLGWKVIRU+(

 6833'8V


² +(6833'8VDQG+((56833'8VZLWKD[+(/7)DQG—V*,GXUDWLRQRQWKH+(/7)DQG
 'DWDILHOG2)'0V\PEROV WUDQVPLWDQGUHFHLYH 
 ² +(6833'8VDQG+((56833'8VZLWKD[+(/7)DQG—V*,GXUDWLRQRQWKH+(/7)DQG

'DWDILHOG2)'0V\PEROV WUDQVPLWDQGUHFHLYH 

 ² +(6833'8DQG+((56833'8VZLWKD[+(/7)DQG—V*,GXUDWLRQRQWKH+(/7)DQG
 'DWDILHOG2)'0V\PEROV WUDQVPLWDQGUHFHLYH 

 ² )XOOEDQGZLGWK8/080,02ZLWKD[+(/7)DQG—V*,GXUDWLRQRQWKH+(/7)DQG'DWD
 ILHOG2)'0V\PEROVLIWKH67$VXSSRUWV8/080,02
 ² +( 68 33'8VZLWK D [ +(/7)DQG—V *, GXUDWLRQ RQ WKH+(/7) DQG 'DWD ILHOG 2)'0


 V\PEROVLIWKH67$VXSSRUWV+((56833'8VZLWKD[+(/7)DQG—V*,GXUDWLRQRQWKH
 +(/7)DQG'DWDILHOG2)'0V\PEROV WUDQVPLWDQGUHFHLYH 
 ² 6LQJOHVSDWLDOVWUHDP+(0&6VWRLQSULPDU\0+]FKDQQHOIRU+((56833'8V

 ² +((56833'8LVQRWXVHGLQWKHIROORZLQJFDVHV

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ‡ 1XPEHURIVSDWLDOVWUHDPVJUHDWHUWKDQ
 ‡ +(0&6JUHDWHUWKDQZKHQVXEFDUULHUVDUHXVHGLQWKH'DWDILHOG2)'0V\PEROV


‡ +(0&6JUHDWHUWKDQZKHQVXEFDUULHUVDUHXVHGLQWKH'DWDILHOG2)'0V\PEROV
 ‡ %DQGZLGWKJUHDWHUWKDQ0+]
 ² 0+]FKDQQHOZLGWKDQGDOO58VL]HVDQGORFDWLRQVDSSOLFDEOHWRWKH0+]FKDQQHOZLGWKLQ



*+]*+]DQG*+]EDQGV WUDQVPLWDQGUHFHLYH 

 $Q+(67$PD\VXSSRUWWKHIROORZLQJIHDWXUHV


² +(0&6VWR WUDQVPLWDQGUHFHLYH 
 ² 7ZRRUPRUHVSDWLDOVWUHDPV WUDQVPLWDQGUHFHLYH 

 ² '&0 WUDQVPLWDQGUHFHLYH 
 ² +(6833'8VDQG+((56833'8VZLWKD[+(B/7)DQG—V*,GXUDWLRQRQWKH+(/7)

 DQG'DWDILHOG2)'0V\PEROV WUDQVPLWDQGUHFHLYH 

 ² +(6833'8VZLWKD[+(/7)DQG—V*,GXUDWLRQRQWKH+(/7)DQG'DWDILHOG2)'0 
 V\PEROVLIWKH67$GRHVQRWVXSSRUW+((56833'8VZLWKD[+(/7)DQG—V*,GXUDWLRQ
 RQERWKWKH+(/7)DQG'DWDILHOG2)'0V\PEROV WUDQVPLWDQGUHFHLYH 

 ² +((56833'8VZLWKD[+(/7)DQG—V*,GXUDWLRQRQERWKWKH+(/7)DQG'DWDILHOG

 2)'0V\PEROV WUDQVPLWDQGUHFHLYH 

 ² /'3&FRGLQJ WUDQVPLWDQGUHFHLYH LIWKHPD[LPXPQXPEHURIVSDWLDOVWUHDPVWKH67$LVFDSDEOH
 RIWUDQVPLWWLQJRUUHFHLYLQJLQDQ+(6833'8LVOHVVWKDQRUHTXDOWR
 ² 6LQJOHVSDWLDOVWUHDP+(0&6LQWKHKLJKHUIUHTXHQF\WRQH58RIWKHSULPDU\0+]FKDQ

QHOIRUDQ+((56833'8

 ² 67%& WUDQVPLWDQGUHFHLYH 


$Q+($3VKDOOVXSSRUWWKHIROORZLQJIHDWXUHV

 ² 7UDQVPLVVLRQRIDQ+(0833'8ZKHUHQRQHRIWKH58VXWLOL]H080,02 '/2)'0$ 

 ² 5HFHSWLRQRIDQ+(7%33'8ZKHUHQRQHRIWKH58VXWLOL]H080,02 8/2)'0$ 
 ² 7UDQVPLVVLRQRIDQ+(0833'8FRQVLVWLQJRIDVLQJOH58VSDQQLQJWKHHQWLUH33'8EDQGZLGWK
 DQGXWLOL]LQJ080,02 '/080,02 SURYLGHGWKH$3LVFDSDEOHRIWUDQVPLWWLQJRUPRUH

VSDWLDOVWUHDPV

 ² 7UDQVPLVVLRQRIWKH+(6,*%ILHOGLQDQ+(0833'8DW+(0&6VWR

 ² 6LQJOH VSDWLDO VWUHDP +(0&6V  WR  LQ DOO VXSSRUWHG FKDQQHO ZLGWKV DQG 58 VL]HV IRU +( 08

 33'8V WUDQVPLW RU+(7%33'8V UHFHLYH 
 ² 0+]DQG0+]FKDQQHOZLGWKVDQGDOO58VL]HVDQGORFDWLRQVDSSOLFDEOHWRWKH0+]DQG



0+]FKDQQHOZLGWKLQ*+]DQG*+]EDQGV WUDQVPLWDQGUHFHLYH 
 ² +(0833'8VZLWKD[+(/7)DQG—VDQG—V*,GXUDWLRQRQWKH+(/7)DQG'DWDILHOG

 2)'0V\PEROV WUDQVPLW 

 ² 5HFHSWLRQRIDQ+(7%33'8ZLWKD[+(/7)DQG—V*,GXUDWLRQRQWKH+(/7)DQG'DWD
 ILHOG2)'0V\PEROV


² 5HFHSWLRQRIDQ+(7%33'8ZLWKD[+(/7)DQG—V*,GXUDWLRQRQWKH+(/7)DQG'DWD
 ILHOG2)'0V\PEROV
 ² 7UDQVPLVVLRQRIDQ+(0833'8ZLWKD[+(/7)DQG—V*,GXUDWLRQRQWKH+(/7)DQG


'DWDILHOG2)'0V\PEROV

 ² 7UDQVPLVVLRQRIDQ+(0833'8ZLWKD[+(/7)DQG—V*,GXUDWLRQRQWKH+(/7)DQG
 'DWDILHOG2)'0V\PEROVLIWKH+($3VXSSRUWV+((56833'8VZLWKWKHVDPH+(/7)DQG*,
 FRPELQDWLRQV


 $Q+($3PD\VXSSRUWWKHIROORZLQJIHDWXUHV

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ² 080,02 WUDQVPLVVLRQ RQ DQ 58 LQ DQ +( 08 33'8 ZKHUH WKH 58 GRHV QRW VSDQ WKH HQWLUH
 33'8EDQGZLGWK '/080,02ZLWKLQ2)'0$ 

 ² 080,02UHFHSWLRQRQDQ58LQDQ+(7%33'8ZKHUHWKH58VSDQVWKHHQWLUH33'8EDQGZLGWK
 8/080,02 

 ² 080,02UHFHSWLRQRQDQ58LQDQ+(7%33'8ZKHUHWKH58GRHVQRWVSDQWKHHQWLUH33'8

 EDQGZLGWK 8/080,02ZLWKLQ2)'0$ 
 ² 5HFHSWLRQRIWKHSD\ORDGRQDQ58LQDQ+(0833'8ZKHUH58VSDQVWKHHQWLUH33'8EDQGZLGWK


 RUDWRQH58ZLWKLQ0+]33'8EDQGZLGWK
 ² 0+]FKDQQHOZLGWKLQWKH*+]EDQG WUDQVPLWDQGUHFHLYH ,ILWLVVXSSRUWHGWKHQDOO58VL]HV
 DQG ORFDWLRQV DSSOLFDEOH WR  0+] FKDQQHO ZLGWK DUH VXSSRUWHG LQ  *+] EDQG WUDQVPLW DQG


 UHFHLYH 
 ²  0+] DQG  0+] FKDQQHO ZLGWKV DQG îWRQH 58 VL]H DSSOLFDEOH WR WKH 

 0+]FKDQQHOZLGWKLQWKH*+]DQG*+]EDQGV WUDQVPLWDQGUHFHLYH 

 ² 7UDQVPLVVLRQRIDQ+(0833'8ZLWKSUHDPEOHSXQFWXULQJ

 ² +(0833'8VZLWKD[+(/7)DQG—V*,GXUDWLRQRQWKH+(/7)DQG'DWDILHOG2)'0 
 V\PEROVLIWKH67$GRHVQRWVXSSRUW+((56833'8VZLWKD[+(/7)DQG—V*,GXUDWLRQ
 RQWKH+(/7)DQG'DWDILHOG2)'0V\PEROV WUDQVPLW 


² 3XQFWXUHGVRXQGLQJRSHUDWLRQ

 $QRQ$3+(67$VKDOOVXSSRUWWKHIROORZLQJIHDWXUHV

 ² 5HFHSWLRQ RI DQ +( 08 33'8ZKHUH WKH 58 DOORFDWHG WRWKH QRQ$3 67$LVQRW XWLOL]LQJ 08
 0,02 '/2)'0$ 
 ² 7UDQVPLVVLRQRIDQ+(7%33'8ZKHUHWKH58DOORFDWHGWRWKHQRQ$367$LVQRWXWLOL]LQJ08

 0,02 8/2)'0$ 
 ² 5HFHSWLRQRIDQ+(0833'8FRQVLVWLQJRIDVLQJOH58VSDQQLQJWKHHQWLUH33'8EDQGZLGWKDQG 
 XWLOL]LQJ080,02 '/080,02 7KHPD[LPXPQXPEHURIVSDWLDOVWUHDPVSHUXVHUWKHQRQ

 $367$FDQUHFHLYHLQWKH'/080,02WUDQVPLVVLRQVKDOOEHHTXDOWRWKHPLQLPXPRIDQGWKH
 PD[LPXPQXPEHURIVSDWLDOVWUHDPVVXSSRUWHGIRUUHFHSWLRQRI+(6833'8V7KHQRQ$367$ 
 VKDOOEH DEOH WR UHFHLYHLWVLQWHQGHGVSDWLDO VWUHDPV LQD'/ 080,02WUDQVPLVVLRQ ZLWKD WRWDO
 QXPEHURIVSDWLDOVWUHDPVDFURVVDOOXVHUVRIDWOHDVW

 ² 5HVSRQGLQJZLWKWKHUHTXHVWHGEHDPIRUPLQJIHHGEDFNLQDQ+(VRXQGLQJSURFHGXUHZLWKWKHPD[L
 PXPQXPEHURIVSDFHWLPHVWUHDPVLQWKH+(VRXQGLQJ1'3WKDWWKHQRQ$367$FDQUHVSRQGWR
 EHLQJDWOHDVW

 ² 5HFHSWLRQRIWKH+(6,*%ILHOGLQDQ+(0833'8DW+(0&6VWR
 ² 6LQJOH VSDWLDO VWUHDP +(0&6V  WR  LQ DOO VXSSRUWHG FKDQQHO ZLGWKV DQG 58 VL]HV IRU +( 08



33'8V UHFHLYH RU+(7%33'8V WUDQVPLW 
 ² 0+]DQG0+]FKDQQHOZLGWKVDQGDOO58VL]HVDQGORFDWLRQVDSSOLFDEOHWRWKH0+]DQG

 0+]FKDQQHOZLGWKVLQWKH*+]EDQG WUDQVPLWDQGUHFHLYH H[FHSWIRUD0+]RQO\QRQ$3+(


67$LQZKLFKFDVHWKH0+]DQG0+]FKDQQHOZLGWKVWRQH58DQGWRQH58VL]HVLQ
 WKH*+]DQG*+]EDQGVDUHQRWDSSOLFDEOH
 ² 5HFHSWLRQRIDQ+(0833'8ZLWKD[+(/7)DQG—V*,GXUDWLRQRQWKH+(/7)DQG'DWD


ILHOG2)'0V\PEROV
 ² 5HFHSWLRQRIDQ+(0833'8ZLWKD[+(/7)DQG—V*,GXUDWLRQRQWKH+(/7)DQG'DWD
 ILHOG2)'0V\PEROV

 ² 7UDQVPLVVLRQRIDQ+(7%33'8ZLWKD[+(/7)DQG—V*,GXUDWLRQRQWKH+(/7)DQG

 'DWDILHOG2)'0V\PEROV

 ² 5HFHSWLRQRIDQ+(0833'8ZLWKD[+(/7)DQG—V*,GXUDWLRQRQWKH+(/7)DQG'DWD
 ILHOG2)'0V\PEROV

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ² 7UDQVPLVVLRQRIDQ+(7%33'8ZLWKD[+(/7)DQG—V*,GXUDWLRQRQWKH+(/7)DQG

 'DWDILHOG2)'0V\PEROV

 ² 5HFHSWLRQRIDQ+(0833'8ZLWKD[+(/7)DQG—V*,GXUDWLRQRQWKH+(/7)DQGWKH
 'DWDILHOG2)'0V\PEROVLIWKHQRQ$3+(67$VXSSRUWV+((56833'8VZLWKWKHVDPH+(
 /7)DQG*,FRPELQDWLRQV


 $0+]RSHUDWLQJQRQ$3+(67$VKDOOVXSSRUWDQGWRQH58VL]HVRQORFDWLRQVDOORZHGLQ
  58UHVWULFWLRQVIRU0+]RSHUDWLRQ LQWKHSULPDU\0+]FKDQQHOZLWKLQ0+]DQGWKHSUL
 PDU\0+]FKDQQHOZLWKLQ0+]FKDQQHOZLGWKVLQWKH*+]DQG*+]EDQGV WUDQVPLWDQGUHFHLYH 

 $QRQ$3+(67$PD\VXSSRUWWKHIROORZLQJ

 ² 7UDQVPLVVLRQ RI DQ +( 08 33'8 ZLWK D VLQJOH 58 VSDQQLQJ WKH HQWLUH 33'8 EDQGZLGWK RU D
 0+]+(0833'8ZLWKDVLQJOHWRQH58LQWKHSULPDU\0+]FKDQQHO

 ² 0+]FKDQQHOZLGWKLQWKH*+]EDQG WUDQVPLWDQGUHFHLYH ,I0+]FKDQQHOZLGWKLQWKH
 *+]EDQGLVVXSSRUWHGWKHQDOO58VL]HVDQGORFDWLRQVDSSOLFDEOHWR0+]FKDQQHOZLGWKDUH
 VXSSRUWHGH[FHSWIRUD0+]RQO\QRQ$3+(67$LQZKLFKFDVHWKH0+]FKDQQHOZLGWKDQG 
 DOO58VL]HVDQGORFDWLRQVRI0+]FKDQQHOZLGWKLQ*+]EDQGDUHQRWDSSOLFDEOH

 ² 0+]DQG0+]FKDQQHOZLGWKDQGîWRQH58VL]HDSSOLFDEOHWRWKH0+]DQG 
 0+] FKDQQHO ZLGWK LQ WKH  *+] DQG  *+] EDQGV WUDQVPLW DQG UHFHLYH  H[FHSW IRU D
 0+]RQO\ QRQ$3 +( 67$ LQ ZKLFK FDVH WKH  0+] DQG  0+] FKDQQHO ZLGWK DQG 
 îWRQH58VL]HLQWKH*+]DQG*+]EDQGVDUHQRWDSSOLFDEOH

 ² 080,02UHFHSWLRQRQDQ58LQDQ+(0833'8ZKHUHWKH58GRHVQRWVSDQWKHHQWLUH33'8 
 EDQGZLGWK '/080,02ZLWKLQ2)'0$ 7KHPD[LPXPQXPEHURIVSDWLDOVWUHDPVSHUXVHULQ 
 WKH'/080,02ZLWKLQ2)'0$WUDQVPLVVLRQWKDWWKHQRQ$367$FDQUHFHLYHVKDOOEHDPLQL

PXPRIDQGWKHPD[LPXPQXPEHURIVSDWLDOVWUHDPVVXSSRUWHGIRUUHFHSWLRQRI+(6833'8V

 7KHWRWDOQXPEHURIVSDWLDOVWUHDPV DFURVVDOOXVHUV LQWKH'/080,02ZLWKLQ2)'0$WUDQV
 PLVVLRQWKDWWKHQRQ$367$FDQUHFHLYHVKDOOEHDWOHDVW
 ² 080,02WUDQVPLVVLRQRQDQ58LQDQ+(7%33'8ZKHUHWKH58VSDQVWKHHQWLUH33'8EDQG

 ZLGWK 8/080,02 ,IVXSSRUWHGWKHQWKHQRQ$3+(67$VKDOOVXSSRUWWUDQVPLWWLQJ8/08
 0,02ZKHUHWKHWRWDOVSDFHWLPHVWUHDPVVXPPHGDFURVVDOOXVHUVLVOHVVWKDQRUHTXDOWR
 ² 080,02WUDQVPLVVLRQRQDQ58LQDQ+(7%33'8ZKHUHWKH58GRHVQRWVSDQWKHHQWLUH33'8 

EDQGZLGWK 8/080,02ZLWKLQ2)'0$ ,IVXSSRUWHGWKHQWKHQRQ$3+(67$VKDOOVXSSRUW

 WUDQVPLWWLQJ8/080,02ZKHUHWKHWRWDOVSDFHWLPHVWUHDPVVXPPHGDFURVVDOOXVHUVLVOHVVWKDQ

 RUHTXDOWR
 ² 7KHUHFHSWLRQRID0+]RU0+]+(0833'8RUWKHWUDQVPLVVLRQRID0+]RU

 0+]+(7%33'8ZKHUHWKHDVVLJQHG58LVLQWKHSULPDU\0+]FKDQQHOLIWKHQRQ$3
 +(67$LVFDSDEOHRIXSWR0+]FKDQQHOZLGWKDQGRSHUDWLQJZLWK0+]FKDQQHOZLGWK
 ² +(0833'8VZLWKD[+(/7)DQG—V*,GXUDWLRQRQWKH+(/7)DQG'DWDILHOG2)'0 


V\PEROVLIWKHQRQ$3+(67$GRHVQRWVXSSRUW+((56833'8VZLWKD[+(/7)DQG—V
 *,GXUDWLRQRQWKH+(/7)DQG'DWDILHOG2)'0V\PEROV UHFHLYH 
 ² 3XQFWXUHGVRXQGLQJRSHUDWLRQ


 $0+]RQO\QRQ$3+(67$PD\VXSSRUWWKHIROORZLQJ
 ² DQGWRQH58VL]HVRQORFDWLRQVDOORZHGLQ 58UHVWULFWLRQVIRU0+]
 RSHUDWLRQ LQWKHSULPDU\0+]FKDQQHOZLWKLQ0+]FKDQQHOZLGWKLQWKH*+]EDQGLIWKH

 0+]RQO\QRQ$3+(67$GRHVQRWVXSSRUWWKH+(VXEFKDQQHOVHOHFWLYHWUDQVPLVVLRQRSHUDWLRQ 
 GHVFULEHGLQ +(VXEFKDQQHOVHOHFWLYHWUDQVPLVVLRQ 
 ² DQGWRQH58VL]HVRQORFDWLRQVDOORZHGLQ 58UHVWULFWLRQVIRU0+]

RSHUDWLRQ LQDQ\0+]FKDQQHOZLWKLQ0+]FKDQQHOZLGWKLQWKH*+]EDQGLIWKH0+]

 RQO\QRQ$3+(67$VXSSRUWVWKH+(VXEFKDQQHOVHOHFWLYHWUDQVPLVVLRQRSHUDWLRQDVGHVFULEHGLQ 
  +(VXEFKDQQHOVHOHFWLYHWUDQVPLVVLRQ 

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ² DQGWRQH58VL]HVRQORFDWLRQVDOORZHGLQ 58UHVWULFWLRQVIRU0+]
 RSHUDWLRQ  LQ DQ\  0+] FKDQQHO ZLWKLQ  0+] 0+]  0+] DQG  0+] FKDQQHO

ZLGWKVLQWKH*+]DQG*+]EDQGVLIWKH0+]RQO\QRQ$3+(67$VXSSRUWVWKH+(VXE

 FKDQQHOVHOHFWLYHWUDQVPLVVLRQRSHUDWLRQDVGHVFULEHGLQ +(VXEFKDQQHOVHOHFWLYHWUDQVPLV
 VLRQ 

 $  0+] RSHUDWLQJ QRQ$3 +( 67$ PD\ VXSSRUW    DQG WRQH 58 VL]HV RQ ORFDWLRQV

 DOORZHGLQ 58UHVWULFWLRQVIRU0+]RSHUDWLRQ LQWKHSULPDU\0+]FKDQQHOZLWKLQ0+]
 DQG0+]FKDQQHOZLGWKVLQWKH*+]DQG*+]EDQGV

 6FRSH


 7KHVHUYLFHVSURYLGHGWRWKH0$&E\WKH+(3+<FRQVLVWRIWKHIROORZLQJSURWRFROIXQFWLRQV

 D $IXQFWLRQWKDWPDSVWKH36'8UHFHLYHGIURPWKH0$&LQWRD33'8IRUWUDQVPLVVLRQWRRQHRU
 PRUHUHFHLYLQJ67$V
 E $IXQFWLRQWKDWGHILQHVWKHFKDUDFWHULVWLFVDQGPHWKRGRIWUDQVPLWWLQJDQGUHFHLYLQJGDWDWKURXJKD

 ZLUHOHVVPHGLXPEHWZHHQWZRRUPRUH67$V'HSHQGLQJRQWKH33'8IRUPDWWKHVH67$VVXSSRUW
 D PL[WXUH RI +( &ODXVH 9HU\ +LJK 7KURXJKSXW 9+7  3+< VSHFLILFDWLRQ  &ODXVH +LJK

 7KURXJKSXW +7  3+< VSHFLILFDWLRQ  &ODXVH  ([WHQGHG 5DWH 3+< (53  VSHFLILFDWLRQ 
 &ODXVH 2UWKRJRQDO IUHTXHQF\ GLYLVLRQ PXOWLSOH[LQJ 2)'0  3+< VSHFLILFDWLRQ  &ODXVH 
 +LJKUDWHGLUHFWVHTXHQFHVSUHDGVSHFWUXP +5'666 3+<VSHFLILFDWLRQ DQG&ODXVH '666 

 3+<VSHFLILFDWLRQIRUWKH*+]EDQGGHVLJQDWHGIRU,60DSSOLFDWLRQV 3+<V$0+]RQO\
 QRQ$3+(67$VXSSRUWVDPL[WXUHRI+(&ODXVHDQG&ODXVH3+<VDQGDOVRVXSSRUWVWUDQV
 PLVVLRQDQGUHFHSWLRQRI9+733'8VRI0+]33'8EDQGZLGWK



+(3+<IXQFWLRQV

 *HQHUDO


 7KH+(3+<FRQWDLQVWZRIXQFWLRQDOHQWLWLHVWKH3+<IXQFWLRQDQGWKHSK\VLFDOOD\HUPDQDJHPHQWIXQF
 WLRQ LHWKH3/0( 7KHVHIXQFWLRQVDUHGHVFULEHGLQGHWDLOLQ +(3+< DQG +(3/0( 7KH
 +(3+<VHUYLFHLVSURYLGHGWRWKH0$&WKURXJKWKH3+<VHUYLFHSULPLWLYHVGHILQHGLQ&ODXVH 3+<VHU
 YLFHVSHFLILFDWLRQ 7KH+(3+<VHUYLFHLQWHUIDFHLVGHVFULEHGLQ +(3+<VHUYLFHLQWHUIDFH 


 3+<PDQDJHPHQWHQWLW\ 3/0(

 7KH3/0(SHUIRUPVPDQDJHPHQWRIWKHORFDO3+<IXQFWLRQVLQFRQMXQFWLRQZLWKWKH0/0(


 6HUYLFHVSHFLILFDWLRQPHWKRG

 7KHPRGHOVUHSUHVHQWHGE\ILJXUHVDQGVWDWHGLDJUDPVDUHLQWHQGHGWREHLOOXVWUDWLRQVRIWKHIXQFWLRQVSUR


YLGHG,WLVLPSRUWDQWWRGLVWLQJXLVKEHWZHHQDPRGHODQGDUHDOLPSOHPHQWDWLRQ7KHPRGHOVDUHRSWLPL]HG 
 IRUVLPSOLFLW\DQGFODULW\RISUHVHQWDWLRQ

 7KHVHUYLFHRIDOD\HULVWKHVHWRIFDSDELOLWLHVWKDWLWRIIHUVWRDXVHULQWKHQH[WKLJKHUOD\HU$EVWUDFWVHU

YLFHVDUHVSHFLILHGKHUHE\GHVFULELQJWKHVHUYLFHSULPLWLYHVDQGSDUDPHWHUVWKDWFKDUDFWHUL]HHDFKVHUYLFH

 7KLVGHILQLWLRQLVLQGHSHQGHQWRIDQ\SDUWLFXODULPSOHPHQWDWLRQ

 33'8IRUPDWV


 7KH VWUXFWXUH RI WKH 33'8 WUDQVPLWWHG E\ DQ +( 67$ LV GHWHUPLQHG E\ WKH 7;9(&725 SDUDPHWHUV DV
 GHILQHGLQ7DEOH 7;9(&725DQG5;9(&725SDUDPHWHUV 

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KH)250$7SDUDPHWHUGHWHUPLQHVWKHRYHUDOOVWUXFWXUHRIWKH33'8DQGFDQWDNHRQRQHRIWKHIROORZLQJ

 YDOXHV

 ² 1RQ+7 IRUPDW 121B+7  EDVHG RQ &ODXVH 2UWKRJRQDO IUHTXHQF\ GLYLVLRQ PXOWLSOH[LQJ

 2)'0 3+<VSHFLILFDWLRQ RU&ODXVH ([WHQGHG5DWH3+< (53 VSHFLILFDWLRQ DQGLQFOXGLQJ 
 QRQ+7GXSOLFDWHIRUPDW

 ² +7PL[HGIRUPDW +7B0) DVVSHFLILHGLQ&ODXVH +LJK7KURXJKSXW +7 3+<VSHFLILFDWLRQ 
 ² +7JUHHQILHOG IRUPDW +7B*)  DV VSHFLILHG LQ &ODXVH +LJK 7KURXJKSXW +7  3+< VSHFLILFD
 WLRQ 

 ² 9+7IRUPDW 9+7 DVGHILQHGLQ&ODXVH 9HU\+LJK7KURXJKSXW 9+7 3+<VSHFLILFDWLRQ 
 ² +(6833'8IRUPDW +(B68 FDUULHVDVLQJOH36'8:LWKWKLVIRUPDWWKH+(6,*$ILHOGLVQRW

 UHSHDWHG
 ² +((56833'8IRUPDW +(B(5B68 FDUULHVDVLQJOH36'8,WLVVLPLODUWRWKH+(6833'8IRU
 PDWH[FHSWWKDWWKH+(6,*$ILHOGLVUHSHDWHG

 ² +(0833'8IRUPDW +(B08 FDUULHVRQHRUPRUH36'8VWRRQHRUPRUHXVHUV
 ² +(7%33'8IRUPDW +(B7% FDUULHVDVLQJOH36'8DQGLVVHQWLQUHVSRQVHWRD33'8WKDWFDUULHV

DWULJJHULQJIUDPH7KHSUHDPEOHIRUPDWSULRUWRWKH+(67)ILHOGLVLGHQWLFDOWRWKH+(6833'8




+(3+<VHUYLFHLQWHUIDFH

 ,QWURGXFWLRQ

 7KH 3+< SURYLGHV DQ LQWHUIDFH WR WKH 0$& WKURXJK DQ H[WHQVLRQ RI WKH JHQHULF 3+< VHUYLFH LQWHUIDFH

 GHILQHGLQ %DVLFVHUYLFHDQGRSWLRQV 7KHLQWHUIDFHLQFOXGHV7;9(&7255;9(&7253+<&21
 ),*B9(&725DQG75,*B9(&725

 7KH0$&XVHVWKH7;9(&725WRVXSSO\WKH3+<ZLWKSHU33'8WUDQVPLWSDUDPHWHUV7KH3+<XVHVWKH
 5;9(&725 WR LQIRUP WKH 0$& RI WKH UHFHLYHG 33'8 SDUDPHWHUV 7KH 0$& XVHV WKH 3+<&21),*B

 9(&725WRFRQILJXUHWKH3+<IRURSHUDWLRQWKDWLVLQGHSHQGHQWRIIUDPHWUDQVPLVVLRQRUUHFHSWLRQ7KH
 0$&XVHVWKH75,*B9(&725WRFRQILJXUHWKH3+<WRUHFHLYH+(7%33'8VRYHUHDFKDVVLJQHG58




























&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7;9(&725DQG5;9(&725SDUDPHWHUV


7KH SDUDPHWHUV LQ 7DEOH 7;9(&725 DQG 5;9(&725 SDUDPHWHUV  DUH GHILQHG DV SDUW RI WKH

 7;9(&725 SDUDPHWHU OLVW LQ WKH 3+<7;67$57UHTXHVW SULPLWLYH DQGRU DV SDUW RI WKH 5;9(&725

 SDUDPHWHUOLVWLQWKH3+<5;67$57LQGLFDWLRQDQG3+<5;(1'LQGLFDWLRQSULPLWLYHV


 7DEOH²7;9(&725DQG5;9(&725SDUDPHWHUV




5;9(&725
7;9(&725
3DUDPHWHU


 &RQGLWLRQ 9DOXH



 'HWHUPLQHVWKHIRUPDWRIWKH33'8
 < <
(QXPHUDWHGW\SH
 121B+7LQGLFDWHV&ODXVH&ODXVH&ODXVH
 &ODXVHRUQRQ+7GXSOLFDWH33'8IRUPDW,QWKLVFDVH
 WKHPRGXODWLRQLVGHWHUPLQHGE\WKH121B+7B02'8/$

)250$7

7,21SDUDPHWHU
 +7B0)LQGLFDWHV+7PL[HGIRUPDW
 +7B*)LQGLFDWHV+7JUHHQILHOGIRUPDW
 9+7LQGLFDWHV9+7IRUPDW
 +(B68LQGLFDWHV+(6833'8IRUPDW
 +(B08LQGLFDWHV+(0833'8IRUPDW
 +(B(5B68LQGLFDWHV+((56833'8IRUPDW
 +(B7%LQGLFDWHV+(7%33'8IRUPDW

 6HHFRUUHVSRQGLQJHQWU\LQ7DEOH 7;9(&725DQG5;9(&725SDUDPHWHUV 
121B+7B02'8/$7,21












 )250$7LV+(B68+(B 1RWSUHVHQW 1 1
 08RU+(B(5B68
127(²7KH/(1*7+ILHOGRIWKH/6,*ILHOGIRU+(33'8 
 LV GHILQHG LQ (TXDWLRQ   XVLQJ WKH 7;7,0( YDOXH
 GHILQHG LQ  7;7,0( DQG 36'8B/(1*7+ FDOFXOD
 WLRQ ZKLFKLQWXUQGHSHQGRQRWKHUSDUDPHWHUVLQFOXGLQJWKH

/B/(1*7+

7;9(&725SDUDPHWHU$3(3B/(1*7+


 )250$7LV+(B7% ,QGLFDWHVWKHYDOXHLQWKH/(1*7+ILHOGRIWKH/6,*ILHOGLQ < 1
 WKHUDQJHRIWR7KHYDOXHLVREWDLQHGIURPWKH7ULJJHU
 IUDPHRUWKH756&RQWUROVXEILHOGLQWKHIUDPHWRZKLFKWKH
 +(7%33'8LVDUHVSRQVH

 2WKHUZLVH 6HHFRUUHVSRQGLQJHQWU\LQ7DEOH 7;9(&725DQG5;9(&725
 SDUDPHWHUV RU7DEOH 7;9(&725DQG5;9(&725SDUDPHWHUV 

 )250$7LV+(B68+(B ,QGLFDWHVWKHQXPEHURIWUDQVPLWFKDLQV < 1
 08+(B(5B68RU+(B7%
1B7;


 2WKHUZLVH 6HHFRUUHVSRQGLQJHQWU\LQ7DEOH 7;9(&725DQG5;9(&725
 SDUDPHWHUV 


 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²7;9(&725DQG5;9(&725SDUDPHWHUV(continued)




5;9(&725
7;9(&725
3DUDPHWHU

 &RQGLWLRQ 9DOXH



 )250$7LV+(B68+(B &RQWDLQVDYHFWRULQWKHQXPEHURIVHOHFWHGVXEFDUULHUVFRQ < 1
 (5B68RU+(B7% WDLQLQJIHHGEDFNPDWULFHVDVGHILQHGLQ %HDPIRUP
 LQJIHHGEDFNPDWUL[9 EDVHGRQWKHFKDQQHOPHDVXUHGGXULQJ
 WKHWUDLQLQJV\PEROVRISUHYLRXV+(VRXQGLQJ1'3VRU9+7

(;3$16,21B0$7

1'3V


 )250$7LV+(B08 )RUHDFKXVHUFRQWDLQVDYHFWRULQWKHQXPEHURIDOOWKHVXE 0 1
 FDUULHUVLQWKH58WKDWLVDVVLJQHGWRWKLVXVHU7KHYHFWRUIRU 8
 HDFKVXEFDUULHUFRQWDLQVIHHGEDFNPDWULFHVDVGHILQHGLQ
  %HDPIRUPLQJIHHGEDFNPDWUL[9 EDVHGRQWKH
 FKDQQHOPHDVXUHGGXULQJWKHWUDLQLQJV\PEROVRISUHYLRXV+(
 VRXQGLQJ1'3VRU9+71'3V

 2WKHUZLVH 6HHFRUUHVSRQGLQJHQWU\LQ7DEOH 7;9(&725DQG5;9(&725
 SDUDPHWHUV 

 )250$7LV+(B68DQG &RQWDLQVDYHFWRULQWKHQXPEHURIVHOHFWHGVXEFDUULHUVFRQ 1 <
 36'8B/(1*7+LV WDLQLQJIHHGEDFNPDWULFHVDVGHILQHGLQ %HDPIRUP
 LQJIHHGEDFNPDWUL[9 EDVHGRQWKHFKDQQHOPHDVXUHGGXULQJ
 WKHWUDLQLQJV\PEROVRISUHYLRXV+(VRXQGLQJ1'3

&+$1B0$7

 )250$7LV+(B08+(B 1RWSUHVHQW 1 1
 (5B68RU+(B7%
 )250$7LV+(B68DQG
 36'8B/(1*7+LVJUHDWHU
 WKDQ

 2WKHUZLVH 6HHFRUUHVSRQGLQJHQWU\LQ7DEOH 7;9(&725DQG5;9(&725
 SDUDPHWHUV 


 )250$7LV+(B08 &RQWDLQVDQDUUD\RIGHOWD615YDOXHVDVGHILQHGLQ 0 1
 +(08([FOXVLYH%HDPIRUPLQJ5HSRUWILHOG EDVHGRQWKH 8
 FKDQQHOPHDVXUHGGXULQJWKHWUDLQLQJV\PEROVRIWKHUHFHLYHG
 )250$7LV+(B68DQG +(VRXQGLQJ1'3 2 1
36'8B/(1*7+JUHDWHUWKDQ
'(/7$B615


 RU)250$7LV+(B(5B
 68RU+(B7%

 )250$7LV+(B68DQG 1 <
 36'8B/(1*7+LV

 2WKHUZLVH 6HHFRUUHVSRQGLQJHQWU\LQ7DEOH 7;9(&725DQG5;9(&725
 SDUDPHWHUV RU7DEOH 7;9(&725DQG5;9(&725SDUDPHWHUV 

 6HHFRUUHVSRQGLQJHQWU\LQ7DEOH 7;9(&725DQG5;9(&725SDUDPHWHUV RU7DEOH 7;9(&
5&3,

 725DQG5;9(&725SDUDPHWHUV 









&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²7;9(&725DQG5;9(&725SDUDPHWHUV(continued)




5;9(&725
7;9(&725
3DUDPHWHU

 &RQGLWLRQ 9DOXH



 )250$7LV+(B68DQG &RQWDLQVDQDUUD\RIDYHUDJHYDOXHVRIUHFHLYHG615PHDVXUH 1 <
 36'8B/(1*7+LV PHQWVIRUHDFKVSDWLDOVWUHDP615LQGLFDWLRQVRIELWVDUH
 VXSSRUWHG$YHUDJHYDOXHRI615VKDOOEHWKHVXPRIWKHGHFL
 EHOYDOXHVRI615SHUVXEFDUULHUGLYLGHGE\WKHQXPEHURI
 VXEFDUULHUVUHSUHVHQWHGLQHDFKVWUHDPDVGHVFULEHGLQ
 +(&RPSUHVVHG%HDPIRUPLQJ5HSRUWILHOG 

615


 )250$7LV+(B08+(B 1RWSUHVHQW 1 1
 (5B68RU+(B7%RU)25
 0$7LV+(B68DQG36'8B
 /(1*7+LVJUHDWHUWKDQ

 2WKHUZLVH 6HHFRUUHVSRQGLQJHQWU\LQ7DEOH 7;9(&725DQG5;9(&725
 SDUDPHWHUV RU7DEOH 7;9(&725DQG5;9(&725SDUDPHWHUV 

 )250$7LV+(B68DQG &RQWDLQVDQDUUD\RIUHFHLYHGSHU58DYHUDJH615VIRUHDFK 1 <
 36'8B/(1*7+LV VSDFHWLPHVWUHDPZKHUHHDFKSHU58DYHUDJH615LVWKH
 DULWKPHWLFPHDQRIWKH615LQGHFLEHOVRYHUDWRQH58DV
&4,

 GHVFULEHGLQ +(&4,5HSRUWILHOG 

 2WKHUZLVH 1RWSUHVHQW 1 1


 )250$7LV+(B68+(B ,QGLFDWHVZKHWKHUVLJQDOH[WHQVLRQQHHGVWREHDSSOLHGDWWKH < 1
 08+(B(5B68RU+(B7% HQGRIWUDQVPLVVLRQ
12B6,*B(;71

 %RROHDQ
 WUXHLQGLFDWHVWKDWQRVLJQDOH[WHQVLRQLVSUHVHQW
 IDOVHLQGLFDWHVWKDWDVLJQDOH[WHQVLRQLVSUHVHQW

 2WKHUZLVH 6HHFRUUHVSRQGLQJHQWU\LQ7DEOH 7;9(&725DQG5;9(&725
 SDUDPHWHUV RU7DEOH 7;9(&725DQG5;9(&725SDUDPHWHUV 

 )250$7LV+(B68+(B ,QGLFDWHVWKH)(&HQFRGLQJXVHG 0 0

)(&B&2',1*

08+(B(5B68RU+(B7% (QXPHUDWHGW\SH 8 8
 %&&B&2',1*LQGLFDWHV%&&FRGLQJ
 /'3&B&2',1*LQGLFDWHV/'3&FRGLQJ


 2WKHUZLVH 6HHFRUUHVSRQGLQJHQWU\LQ7DEOH 7;9(&725DQG5;9(&725
 SDUDPHWHUV 

)250$7LV+(B7% ,QGLFDWHVWKHSUHVHQFHRIWKHH[WUD2)'0V\PEROVHJPHQWIRU < 1
/'3&B(;75$B6<0%2/


 /'3&LQDQ+(7%33'8
 ,QWHJHU
 LQGLFDWHVWKDWDQH[WUD2)'0V\PEROVHJPHQWIRU/'3&
 LVSUHVHQW
 LQGLFDWHVWKDWDQH[WUD2)'0V\PEROVHJPHQWIRU/'3&
 LVQRWSUHVHQW

 2WKHUZLVH 1RWSUHVHQW 1 1






 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²7;9(&725DQG5;9(&725SDUDPHWHUV(continued)




5;9(&725
7;9(&725
3DUDPHWHU

 &RQGLWLRQ 9DOXH



 )250$7LV+(B68+(B ,QGLFDWHVLI67%&LVXVHG < <
 08+(B(5B68RU+(B7%
 )RUDQ+(0833'8DQG+(7%33'8ZKHUHHDFK58
 LQFOXGHVQRPRUHWKDQXVHU
 6HWWRWRLQGLFDWHWKDWIRUDOO58VWKH'DWDILHOGLV67%&
 HQFRGHG
 6HWWRWRLQGLFDWHWKDWLQQR58LVWKH'DWDILHOG67%&
67%&

 HQFRGHG

 )RUDQ+(6833'8RU+((56833'8
 6HWWRWRLQGLFDWHWKDWWKH'DWDILHOGLV67%&HQFRGHG
 6HWWRWRLQGLFDWHWKDWWKH'DWDILHOGLVQRW67%&HQFRGHG


 2WKHUZLVH 6HHFRUUHVSRQGLQJHQWU\LQ7DEOH 7;9(&725DQG5;9(&725
 SDUDPHWHUV RU7DEOH 7;9(&725DQG5;9(&725SDUDPHWHUV 

 )250$7LV+(B68+(B ,QGLFDWHVWKHOHQJWKRIWKH*,IRUWKH+(/7)DQG'DWDILHOGV < <
 08+(B(5B68RU+(B7% (QXPHUDWHGW\SH
 XVB*,LQGLFDWHV—V
 XVB*,LQGLFDWHV—V
*,B7<3(

 XVB*,LQGLFDWHV—V

 127(²WKHOHQJWKRI*,IRUSUH+(PRGXODWHGILHOGVLV
 —V

 2WKHUZLVH 6HHFRUUHVSRQGLQJHQWU\LQ7DEOH 7;9(&725DQG5;9(&725
 SDUDPHWHUV 

 )250$7LV+(B68+(B 7KHDOORZHGYDOXHVIRUWKH7;3:5B/(9(/B,1'(;SDUDPH < 1
7;3:5B/(9(/B,1'(;

 08+(B(5B68RU+(B7% WHUDUHLQWKHUDQJHIURPWRQXPEHU2I2FWHWV GRW7[3RZHU


 /HYHO([WHQGHG 7KLVSDUDPHWHULVXVHGWRLQGLFDWHZKLFKRI
 WKHDYDLODEOHWUDQVPLWRXWSXWSRZHUOHYHOVGHILQHGLQGRW7[
 3RZHU/HYHO([WHQGHGVKDOOEHXVHGIRUWKHFXUUHQWWUDQVPLV
 VLRQ

 2WKHUZLVH 6HHFRUUHVSRQGLQJHQWU\LQ7DEOH 7;9(&725DQG5;9(&725
 SDUDPHWHUV 


 )250$7LV+(B68+(B 7KHDOORZHGYDOXHVIRUWKH566,SDUDPHWHUDUHLQWKHUDQJH 1 <
 (5B68+(B08RU+(B7% WRLQFOXVLYH7KLVSDUDPHWHULVDPHDVXUHE\WKH3+<RI
 WKHSRZHUREVHUYHGDWWKHDQWHQQDVXVHGWRUHFHLYHWKHFXUUHQW
 33'8PHDVXUHGGXULQJWKHUHFHSWLRQRIWKH+(/7)ILHOG
566,

 566,LVLQWHQGHGWREHXVHGLQDUHODWLYHPDQQHUDQGLWLVD
 PRQRWRQLFDOO\LQFUHDVLQJIXQFWLRQRIWKHUHFHLYHGSRZHU

 2WKHUZLVH 6HHFRUUHVSRQGLQJHQWU\LQ7DEOH 7;9(&725DQG5;9(&725
 SDUDPHWHUV 








&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²7;9(&725DQG5;9(&725SDUDPHWHUV(continued)




5;9(&725
7;9(&725
3DUDPHWHU

 &RQGLWLRQ 9DOXH



 )250$7LV+(B68+(B 7KHDOORZHGYDOXHVIRUWKH566,B/(*$&<SDUDPHWHUDUHLQ 1 <
 08+(B(5B68RU+(B7% WKHUDQJHWRLQFOXVLYH7KLVSDUDPHWHULVDPHDVXUHE\

566,B/(*$&<

WKH3+<RIWKHSRZHUREVHUYHGDWWKHDQWHQQDVXVHGWRUHFHLYH
 WKHFXUUHQW33'8PHDVXUHGGXULQJWKHUHFHSWLRQRIQRQ+(
 SRUWLRQRIWKH+(33'8SUHDPEOH566,B/(*$&<LV
 LQWHQGHGWREHXVHGLQDUHODWLYHPDQQHUDQGLWLVDPRQRWRQL
 FDOO\LQFUHDVLQJIXQFWLRQRIWKHUHFHLYHGSRZHU

 2WKHUZLVH 1RWSUHVHQW 1 1


 )250$7LV+(B68+(B ,QGLFDWHVWKHPRGXODWLRQDQGFRGLQJVFKHPHVXVHGLQWKHWUDQV 0 0
 08+(B(5B68RU+(B7% PLVVLRQRIWKH33'8 8 8
 ,QWHJHUUDQJHWR
0&6


 2WKHUZLVH 6HHFRUUHVSRQGLQJHQWU\LQ7DEOH 7;9(&725DQG5;9(&725
 SDUDPHWHUV 


 )250$7LV+(B68+(B 6HWWRWRLQGLFDWHWKDW'&0LVXVHGIRUWKH'DWDILHOG 0 0
 08+(B(5B68RU+(B7% 6HWWRWRLQGLFDWHWKDW'&0LVQRWXVHGIRUWKH'DWDILHOG 8 8
 127(²'&0 LV DSSOLFDEOH WR RQO\ +(0&6V   DQG 
'&0

 '&0LVDSSOLFDEOHWRRQO\DQGVSDWLDOVWUHDPV

 2WKHUZLVH 1RWSUHVHQW


 )250$7LV+(B08 ,QGLFDWHVWKHPRGXODWLRQDQGFRGLQJVFKHPHXVHGIRU+(6,* < <
 %ILHOG
 ,QWHJHU
 LQGLFDWHV+(0&6
0&6B6,*B%

 LQGLFDWHV+(0&6
 LQGLFDWHV+(0&6
 LQGLFDWHV+(0&6
 LQGLFDWHV+(0&6
 LQGLFDWHV+(0&6

 2WKHUZLVH 1RWSUHVHQW 1 1


 )250$7LV+(B08 6HWWRWRLQGLFDWHWKDW'&0LVXVHGIRUWKH+(6,*%ILHOG < <
'&0B6,*B%

 6HWWRWRLQGLFDWHWKDW'&0LVQRWXVHGIRUWKH+(6,*%
 ILHOG

 2WKHUZLVH 1RWSUHVHQW 1 1












 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²7;9(&725DQG5;9(&725SDUDPHWHUV(continued)




5;9(&725
7;9(&725
3DUDPHWHU

 &RQGLWLRQ 9DOXH



 )250$7LV+(B08 ,QGLFDWHVZKHWKHURUQRWWKH&RPPRQILHOGLVSUHVHQWLQWKH < 1
6,*B%B&2035(66,21B02'(

 +(6,*%ILHOG
 ,QWHJHU
 LQGLFDWHVWKDWWKH&RPPRQILHOGLVSUHVHQW
 LQGLFDWHVWKDWWKH&RPPRQILHOGLVQRWSUHVHQW


 2WKHUZLVH 1RWSUHVHQW 1 1






 )250$7LV+(B68+(B ,QGLFDWHVWKH+(0&6WKDWWKHUHFHLYHUUHFRPPHQGV 1 2
 08RU+(B(5B68
5(&B0&6


 )250$7LV+(B7% 1RWSUHVHQW 1 1


 2WKHUZLVH 6HHFRUUHVSRQGLQJHQWU\LQ7DEOH 7;9(&725DQG5;9(&725
 SDUDPHWHUV 



































&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²7;9(&725DQG5;9(&725SDUDPHWHUV(continued)




5;9(&725
7;9(&725
3DUDPHWHU

 &RQGLWLRQ 9DOXH



 )250$7LV+(B68 ,QGLFDWHVWKHFKDQQHOZLGWKRIWKH33'8 < <
 (QXPHUDWHGW\SH
 &%:IRU0+]
 &%:IRU0+]
 &%:IRU0+]
 &%:IRU0+]
 &%:IRU0+]

 )250$7LV+(B(5B68 ,QGLFDWHVWKHFKDQQHOZLGWKRIWKH33'8 < <
 (QXPHUDWHGW\SH
 (558IRUWKHWRQH58LQWKHSULPDU\0+]
 FKDQQHO
 (558+IRUWKHKLJKHUIUHTXHQF\WRQH58LQWKH
 SULPDU\0+]FKDQQHO


 )250$7LV+(B08 ,QGLFDWHVWKHFKDQQHOZLGWKRIWKH33'8 < <
 (QXPHUDWHGW\SH
 &%:IRUIXOO0+]
 &%:IRUIXOO0+]
 &%:IRUIXOO0+]
 &%:IRUIXOO0+]
 &%:IRU0+]
 +(&%:381&35,IRUSUHDPEOHSXQFWXULQJLQ
 0+]ZKHUHLQWKHSUHDPEOHRQO\WKHVHFRQGDU\0+]
 LVSXQFWXUHG
 +(&%:381&6(&IRUSUHDPEOHSXQFWXULQJLQ
&+B%$1':,'7+

 0+]ZKHUHLQWKHSUHDPEOHRQO\RQHRIWKHWZR
 0+]VXEFKDQQHOVLQVHFRQGDU\0+]LVSXQFWXUHG
 +(&%:381&35,IRUSUHDPEOHSXQFWXULQJLQ
 0+]ZKHUHLQWKHSULPDU\0+]RIWKHSUHDPEOH
 RQO\WKHVHFRQGDU\0+]FKDQQHOLVSXQFWXUHG
 +(&%:381&35,IRUSUHDPEOHSXQFWXULQJLQ
 0+]ZKHUHLQWKHSULPDU\0+]RIWKHSUHDPEOH
 RQO\WKHVHFRQGDU\0+]FKDQQHOLVSXQFWXUHG
 +(&%:381&6(&IRUSUHDPEOHSXQFWXULQJLQ
 0+]RU0+]ZKHUHLQWKHSULPDU\0+]RI
 WKHSUHDPEOHWKHSULPDU\0+]LVSUHVHQWDQGDWOHDVW
 RQH0+]VXEFKDQQHOWKDWLVQRWLQWKHSULPDU\0+]
 LVSXQFWXUHG
 +(&%:381&6(&IRUSUHDPEOHSXQFWXULQJLQ
 0+]ZKHUHLQWKHSULPDU\0+]RIWKHSUHDPEOH
 WKHSULPDU\0+]LVSUHVHQWDQGDWOHDVWRQH0+]
 VXEFKDQQHOWKDWLVQRWLQWKHSULPDU\0+]LVSXQFWXUHG

 )250$7LV+(B7% ,QGLFDWHVWKH%DQGZLGWKILHOGRIWKH+(6,*$LQWKHWUDQVPLW < <
 WHGRUUHFHLYHG33'8
 (QXPHUDWHGW\SH
 &%:IRU0+]
 &%:IRU0+]
 &%:IRU0+]
 &%:IRU0+]
 &%:IRU0+]

 127(²7KH7;9(&725SDUDPHWHU&+B%$1':,'7+
 GRHVQRWUHSUHVHQWWKHFKDQQHOZLGWKRIWKHWUDQVPLWWHG33'8

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²7;9(&725DQG5;9(&725SDUDPHWHUV(continued)




5;9(&725
7;9(&725
3DUDPHWHU

 &RQGLWLRQ 9DOXH



 )250$7LV+(B08DQG ,QGLFDWHVWKH0+]VXEFKDQQHOVWKDWDUHSXQFWXUHG < 1
,1$&7,9(B68%&+$11(/6

 &+B%$1':,'7+LVDQ\
 YDOXHIRUSUHDPEOHSXQFWXU $ELWPDSLQGH[HGE\WKH0+]VXEFKDQQHOVLQDVFHQGLQJ
 LQJRU)250$7LV121B+7 RUGHUZLWKWKH/6%LQGLFDWLQJWKHORZHVWIUHTXHQF\0+]
 DQG121B+7B02'8/$ VXEFKDQQHO$ELWLVVHWWRWRLQGLFDWHWKDWWKHFRUUHVSRQGLQJ
 7,21LV121B+7B'83B 0+]VXEFKDQQHOLVSXQFWXUHGDQGVHWWRWRLQGLFDWHWKH
 2)'0RU)250$7LV+(B FRUUHVSRQGLQJ0+]VXEFKDQQHOLVQRWSXQFWXUHG
 68DQG36'8B/(1*7+LV


 2WKHUZLVH 1RWSUHVHQW 1 1


 )250$7LV+(B68+(B 1RWSUHVHQW 1 1
'<1B%$1':,'7+B,1B

 08+(B(5B68RU+(B7%

 2WKHUZLVH 6HHFRUUHVSRQGLQJHQWU\LQ7DEOH 7;9(&725DQG5;9(&725
121B+7

 SDUDPHWHUV 






 )250$7LV+(B68+(B 1RWSUHVHQW 1 1
&+B%$1':,'7+B,1B

 08+(B(5B68RU+(B7%

 2WKHUZLVH 6HHFRUUHVSRQGLQJHQWU\LQ7DEOH 7;9(&725DQG5;9(&725
121B+7

 SDUDPHWHUV 






 )250$7LV+(B68+(B 1RWSUHVHQW 1 1

/(1*7+

08+(B(5B68RU+(B7%


2WKHUZLVH 6HHFRUUHVSRQGLQJHQWU\LQ7DEOH 7;9(&725DQG5;9(&725

SDUDPHWHUV 


 )250$7LV+(B68RU+(B ,QWHJHU < 2
 (5B68
 ,IDQG)250$7LV+(B68LQGLFDWHVDQ+(VRXQGLQJ1'3
$3(3B/(1*7+

 )250$7LV+(B08RU+(B 0 2
 7% 2WKHUZLVHLQGLFDWHVWKHQXPEHURIRFWHWVLQWKHUDQJHWR 8
 aPSDUMaxLengthLQWKH$03'8SUH(2)SDGGLQJ VHH
 7DEOH +(3+<FKDUDFWHULVWLFV WKDWLVFDUULHGLQWKH
 36'8

 2WKHUZLVH 6HHFRUUHVSRQGLQJHQWU\LQ7DEOH 7;9(&725DQG5;9(&725
 SDUDPHWHUV RU7DEOH 7;9(&725DQG5;9(&725SDUDPHWHUV 




&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²7;9(&725DQG5;9(&725SDUDPHWHUV(continued)




5;9(&725
7;9(&725
3DUDPHWHU

 &RQGLWLRQ 9DOXH



 )250$7LV+(B68+(B ,QGLFDWHVWKHQXPEHURIRFWHWVLQWKH36'8LQWKHUDQJHRIWR 1 <
36'8B/(1*7+

 08+(B(5B68RU+(B7% aPSDUMaxLengthRFWHWV VHH7DEOH +(3+<FKDUDF


 WHULVWLFV $YDOXHRILQGLFDWHVDQ+(VRXQGLQJ1'3


 2WKHUZLVH 6HHFRUUHVSRQGLQJHQWU\LQ7DEOH 7;9(&725DQG5;9(&725
 SDUDPHWHUV 

 )250$7LV+(B68+(B 1RWSUHVHQW 1 1
86(5B326,7,21

 08+(B(5B68RU+(B7%

 2WKHUZLVH 6HHFRUUHVSRQGLQJHQWU\LQ7DEOH 7;9(&725DQG5;9(&725
 SDUDPHWHUV 



 )250$7LV+(B68 ,QGLFDWHVWKHQXPEHURIVSDFHWLPHVWUHDPV < <
 ,QWHJHULQWKHUDQJH

 )250$7LV+(B(5B68 ,QGLFDWHVWKHQXPEHURIVSDFHWLPHVWUHDPV < <
 ,QWHJHULQWKHUDQJH


)250$7LV+(B08 ,QGLFDWHVWKHQXPEHURIVSDFHWLPHVWUHDPV,QWHJHULQWKH 0 <

UDQJH 8

SHUXVHUSHU080,0258LQWKH7;9(&725

SHU080,0258LQWKH5;9(&725

SHU58DVVLJQHGWRQRPRUHWKDQXVHULQWKH7;9(&

180B676

725DQG5;9(&725


180B676VXPPHGRYHUDOOXVHUVSHU58LVQRWJUHDWHUWKDQ


 )250$7LV+(B7% ,QGLFDWHVWKHQXPEHURIVSDFHWLPHVWUHDPV,QWHJHULQWKH < 1
 UDQJH
 IRUD080,0258LQWKH7;9(&725
 SHUXVHUSHU080,0258LQWKH5;9(&725
 IRUDQ58DVVLJQHGWRQRPRUHWKDQXVHULQWKH
 7;9(&725DQG5;9(&725

 180B676VXPPHGRYHUDOOXVHUVSHU58LVQRWJUHDWHUWKDQ

 2WKHUZLVH 6HHFRUUHVSRQGLQJHQWU\LQ7DEOH 7;9(&725DQG5;9(&725
 SDUDPHWHUV 

 )250$7LV+(B68+(B 1RWSUHVHQW 1 1
*5283B,'

 08+(B(5B68RU+(B7%

 2WKHUZLVH 6HHFRUUHVSRQGLQJHQWU\LQ7DEOH 7;9(&725DQG5;9(&725
 SDUDPHWHUV 








 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²7;9(&725DQG5;9(&725SDUDPHWHUV(continued)




5;9(&725
7;9(&725
3DUDPHWHU

 &RQGLWLRQ 9DOXH



 )250$7LV+(B68+(B 1RWSUHVHQW 1 1
3$57,$/B$,'

 08+(B(5B68RU+(B7%


 2WKHUZLVH 6HHFRUUHVSRQGLQJHQWU\LQ7DEOH 7;9(&725DQG5;9(&725
 SDUDPHWHUV 


)250$7LV+(B68+(B 3URYLGHWKHGXUDWLRQRI7;23 < <

08+(B(5B68RU+(B7%

(QXPHUDWHGW\SHRULQWHJHU

8163(&,),('LQGLFDWHVQR1$9GXUDWLRQLQIRUPDWLRQ VHH

 7;23B'85$7,21 


±LQGLFDWHVDGXUDWLRQLQXQLWVRI—VWKDWLVXVHGWR

7;23B'85$7,21

XSGDWHWKH1$9IRUWKLV7;23 VHH 8SGDWLQJWZR



1$9V 


:KHQWKHYDOXHRIWKH7;23ILHOGLQWKH+(6,*$RID

UHFHLYHG+(33'8LVOHVVWKDQLI%RIWKH7;23ILHOGLV

WKH5;9(&725SDUDPHWHU7;23B'85$7,21LVVHWWR 

îYDOXHRI%WR%RIWKH7;23ILHOG 2WKHUZLVHWKH

5;9(&725SDUDPHWHU7;23B'85$7,21LVVHWWR 

îYDOXHRI%WR%RIWKH7;23ILHOG 


6HH 7;23B'85$7,21 IRUPRUHGHWDLOV


 2WKHUZLVH 1RWSUHVHQW 1 1


)250$7LV+(B68+(B ,QGLFDWHVWKHVSDWLDOUHXVHSDUDPHWHUYDOXH7KHUHLVRQHYDOXH < <

08+(B(5B68RU+(B7% RIWKHSDUDPHWHUIRUHDFKRIDQ+(6833'8+((568

33'8DQG+(0833'87KHUHDUHRQHWRIRXUYDOXHVRIWKH
63$7,$/B5(86(


SDUDPHWHUSUHVHQWIRUDQ+(7%33'8ZLWKWKHQXPEHURI

YDOXHVSUHVHQWGHSHQGHQWRQWKHEDQGZLGWKRIWKH33'86HH

WKH6SDWLDO5HXVHILHOGGHILQLWLRQLQ &RQWHQW 


6HH 1RQ$367$EHKDYLRUIRU8/08RSHUDWLRQ 

DQG 63$7,$/B5(86( 


 2WKHUZLVH 1RWSUHVHQW 1 1


)250$7LV+(B68+(B 6HWWRWRLQGLFDWHWKDWHLWKHUWKHPLGDPEOHLVSUHVHQWIRUWKH < <

'233/(5

08+(B(5B68RU+(B7% 33'8RUWKDWWKHFKDQQHOLVZLWKKLJK'RSSOHU6HWWRRWKHU

ZLVH


 2WKHUZLVH 1RWSUHVHQW 1 1









&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²7;9(&725DQG5;9(&725SDUDPHWHUV(continued)




5;9(&725
7;9(&725
3DUDPHWHU

 &RQGLWLRQ 9DOXH



 )250$7LV+(B68+(B 1RWSUHVHQW 1 1
 08+(B(5B68RU+(B7%

180B86(56

127(²7KHQXPEHURIXVHUVIRUDQ+(6833'8+((568
 33'8RU+(7%33'8LVDOZD\V7KHQXPEHURIXVHUVLQDQ
 58LQDQ+(0833'8LVGHWHUPLQHGE\58B$//2&$
 7,21DQG67$B,'SDUDPHWHUVIRUWKDW58


 2WKHUZLVH 6HHFRUUHVSRQGLQJHQWU\LQ7DEOH 7;9(&725DQG5;9(&725
 SDUDPHWHUV 

 )250$7LV+(B08DQG )RUWKH7;9(&725LQGLFDWHVWKH58$OORFDWLRQVXEILHOGRI < <
 6,*B%B&2035(66,21B &RPPRQILHOGLQWKH+(6,*%RIWKHWUDQVPLWWHG33'8
 02'(LV
 ELWVIRUD0+]33'8
 ELWVIRUD0+]33'8
 ELWVIRUDQ0+]33'8
 ELWVIRUD0+]RU0+]33'8

 6HH &RPPRQILHOG IRUGHWDLOV

 )RUWKH5;9(&725ELWVDUHXVHGWRLQGLFDWHWKH58DOOR
 FDWHGLQWKHZKROHEDQGZLGWK

58B$//2&$7,21

 6HH 7ULJJHUIUDPHIRUPDW IRUGHWDLOV



 )250$7LV+(B7% ELWVDUHXVHGWRLQGLFDWHWKH58DOORFDWHGLQWKHZKROHEDQG < 1
 ZLGWKSHUXVHU

 6HH 7ULJJHUIUDPHIRUPDW IRUGHWDLOV

 )250$7LV+(B68$3(3B )RUWKH7;9(&725LQGLFDWHVWKHDFWLYH58V < 1
 /(1*7+LVDQG&+B
 %$1':,'7+LVQRW&%: ELWVIRU0+]33'8
 RU&%: ELWVIRU0+]DQG0+]33'8

 )250$7LV121B+7 )RUHDFKELWVRQO\WKHIROORZLQJYDOXHVDUHDOORZHG
 121B+7B02'8/$7,21  LQELQDU\UHSUHVHQWDWLRQ
 LV121B+7B'83B2)'0  LQELQDU\UHSUHVHQWDWLRQ
 DQG&+B%$1':,'7+LV
 QRW&%:RU&%: 6HH &RPPRQILHOG IRUGHWDLOV


 2WKHUZLVH 1RWSUHVHQW 1 1













 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²7;9(&725DQG5;9(&725SDUDPHWHUV(continued)




5;9(&725
7;9(&725
3DUDPHWHU

 &RQGLWLRQ 9DOXH



 )250$7LV+(B68RU+(B 6HWWRLIDEHDPIRUPLQJVWHHULQJPDWUL[LVDSSOLHGWRWKH < <
 (5B68 ZDYHIRUPLQDQ68WUDQVPLVVLRQ6HWWRRWKHUZLVH

%($0)250('


 )250$7LV+(B08RU+(B )RUDQ58DVVLJQHGWRQRPRUHWKDQXVHUVHWWRLIDEHDP 0 2
 7% IRUPLQJVWHHULQJPDWUL[LVDSSOLHGDQGVHWWRRWKHUZLVH 8

 )RUHDFKXVHULQDQ58DVVLJQHGWRPRUHWKDQXVHUDOZD\V
 VHWWR

 2WKHUZLVH 6HHFRUUHVSRQGLQJHQWU\LQ7DEOH 7;9(&725DQG5;9(&725
 SDUDPHWHUV 

 )250$7LV+(B08DQG ,QGLFDWHWKHSUHVHQFHRIWKHFHQWHUWRQH58ZLWKUHJDUGWR < 1
 &+B%$1':,'7+LV EDQGZLGWK
 &%:&%:
 &%:+(&%: ,IWKH&+B%$1':,'7+SDUDPHWHULV&%:+(&%:
 381&35,+(&%: 381&35,RU+(&%:381&6(&
 381&6(&+(&%: 6HWWRWRLQGLFDWHWKDWDXVHULVDOORFDWHGWRWKHFHQWHU
 381&35,+(&%: WRQH58 VHH)LJXUH 58ORFDWLRQVLQDQ0+]+(
 381&35,+( 33'8
 &%:381&6(&RU 6HWWRWRLQGLFDWHWKDWQRXVHULVDOORFDWHGWRWKHFHQWHU
 +(&%:381& WRQH58
 6(&
&(17(5BB721(B58

 ,IWKH&+B%$1':,'7+SDUDPHWHULV&%:&%:
 +(&%:381&35,+(&%:381&35,
 +(&%:381&6(&RU+(&%:381&
 6(&
 6HWWRWRLQGLFDWHWKDWQRXVHULVDOORFDWHGWRHLWKHUWKHFHQ
 WHUWRQH58RIWKHORZHUIUHTXHQF\0+]RUWKDWRIWKH
 KLJKHUIUHTXHQF\0+]
 6HWWRWRLQGLFDWHWKDWDXVHULVDOORFDWHGWRWKHFHQWHU
 WRQH58RIWKHORZHUIUHTXHQF\0+]
 6HWWRWRLQGLFDWHWKDWDXVHULVDOORFDWHGWRWKHFHQWHU
 WRQH58RIWKHKLJKHUIUHTXHQF\0+]
 6HWWRWRLQGLFDWHWKDWDXVHULVDOORFDWHGWRHDFKRIWKHFHQ
 WHUWRQH58RIWKHORZHUIUHTXHQF\0+]DQGWKDWRI
 WKHKLJKHUIUHTXHQF\0+]LQGLYLGXDOO\

 6HH &RPPRQILHOG 

 2WKHUZLVH 1RWSUHVHQW 1 1


 )250$7LV+(B68+(B ,QGLFDWHVWKHW\SHRI+(/7) < <
 08+(B(5B68RU+(B7% (QXPHUDWHGW\SH
+(B/7)B7<3(

 [+(/7)LQGLFDWHVD[+(/7)
 [+(/7)LQGLFDWHVD[+(/7)
 [+(/7)LQGLFDWHVD[+(/7)

 6HH +(/7) 

 2WKHUZLVH 1RWSUHVHQW 1 1




&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²7;9(&725DQG5;9(&725SDUDPHWHUV(continued)




5;9(&725
7;9(&725
3DUDPHWHU

 &RQGLWLRQ 9DOXH



 )250$7LV+(B7% ,QWHJHU 2 1
 6HWWRWRLQGLFDWHWKDWWKHWUDQVPLWWHG33'8XVHV+(VLQ
 JOHVWUHDPSLORW+(/7)PRGH

+(B/7)B02'(

6HWWRWRLQGLFDWHWKHWUDQVPLWWHG33'8XVHV+(PDVNHG
 +(/7)VHTXHQFHPRGH
 3UHVHQWIRUIXOOEDQGZLGWK080,02QRWXVLQJ[+(/7)
 DQGQRWSUHVHQWRWKHUZLVH

 6HH +(/7) 


 2WKHUZLVH 1RWSUHVHQW 1 1

 )250$7LV+(B08RU+(B ,QGLFDWHVWKHQXPEHURI2)'0V\PEROVLQWKH+(/7)ILHOG < 1
180B+(B/7)

 7%
 6HH 1RQ$367$EHKDYLRUIRU8/08RSHUDWLRQ 
 DQG &RQWHQW 


 2WKHUZLVH 1RWSUHVHQW 1 1

 )250$7LV+(B7% ,QGLFDWHVWKH5HVHUYHGILHOGVHWWLQJIRU+(6,*$RI+(7% < 1
+(B6,*B$B5(6(59('

 33'8
 6HH 1RQ$367$EHKDYLRUIRU8/08RSHUDWLRQ 
 DQG7DEOH +(6,*$ILHOGRIDQ+(7%33'8 IRU
 GHWDLOV


 2WKHUZLVH 1RWSUHVHQW 1 1



 )250$7LV+(B7% 6HWWRWKHVWDUWLQJVSDWLDOVWUHDPQXPEHUPLQXV VSDWLDO < 1
67$57,1*B676B180

 VWUHDPVDUHJOREDOO\QXPEHUHGVWDUWLQJIURP


 2WKHUZLVH 1RWSUHVHQW 1 1






 )250$7LV+(B68+(B 1RWSUHVHQW 1 1
 08+(B(5B68RU+(B7%
7;23B36B127B


$//2:('

 2WKHUZLVH 6HHFRUUHVSRQGLQJHQWU\LQ7DEOH 7;9(&725DQG5;9(&725


 SDUDPHWHUV 









 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²7;9(&725DQG5;9(&725SDUDPHWHUV(continued)




5;9(&725
7;9(&725
3DUDPHWHU

 &RQGLWLRQ 9DOXH




)5$0(B2))6(7

6HHFRUUHVSRQGLQJHQWU\LQ7DEOH 7;9(&725DQG5;9(&725SDUDPHWHUV 
5;B67$57B2)B








 )250$7LV121B+7DQG (QXPHUDWHGW\SH < <
35($0%/(B7<3(

 121B+7B02'8/$7,21 6+25735($0%/(
 LVRQHRI /21*35($0%/(
 (53'666
 (53&&.


 2WKHUZLVH 1RWSUHVHQW 1 1

 )250$7LV+(B68+(B 7KHQRPLQDOSDFNHWSDGGLQJDVGHILQHGLQ 33( 0 1
120,1$/B3$&.(7B3$'',1*

 08RU+(B(5B68 7KUHVKROGVILHOG  8

 3RVVLEOHYDOXHVDUH—V—VDQG—V


 2WKHUZLVH 1RWSUHVHQW 1 1







 )250$7LV+(B7% ,QGLFDWHVWKHPHWKRGXVHGWRWULJJHUWKLV+(7%33'8WUDQV < 1
75,**(5B0(7+2'

 PLVVLRQ
 (QXPHUDWHGW\SH
 75,**(5B)5$0(IRU7ULJJHUIUDPH
 756IRU756&RQWUROVXEILHOG


2WKHUZLVH 1RWSUHVHQW 1 1



)250$7LV+(B7%DQG 'XUDWLRQRIWKH3(ILHOGWREHWUDQVPLWWHG VHH 1RQ < 1
'()$8/7B3(B'85$7,21


 75,**(5B0(7+2'LV756 $367$EHKDYLRUIRU8/08RSHUDWLRQ $YDOXH
 RULQGLFDWLQJWKH3(ILHOGGXUDWLRQLQ—V

 2WKHUZLVH 1RWSUHVHQW 1 1











&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²7;9(&725DQG5;9(&725SDUDPHWHUV(continued)




5;9(&725
7;9(&725
3DUDPHWHU

 &RQGLWLRQ 9DOXH



 )250$7LV+(B68RU+(B ,QWHJHU < <
 (5B68 6HWWRWRLQGLFDWHWKDWWKHVSDWLDOPDSSLQJRIWKHSUH+(
%($0B&+$1*(

 PRGXODWHGILHOGVDUHWKHVDPHDVWKHILUVWV\PERORI+(
 /7)ILHOG
 6HWWRWRLQGLFDWHWKDWWKHVSDWLDOPDSSLQJRIWKHSUH+(
 PRGXODWHGILHOGVDUHGLIIHUHQWIURPWKHILUVWV\PERORI+(
 /7)ILHOG


 2WKHUZLVH 1RWSUHVHQW 1 1

 )250$7LV+(B68+(B 6HWWRDYDOXHLQWKHUDQJHWR VHH 6HWWLQJ7;9(& < <
%66B&2/25

 08+(B(5B68RU+(B7% 725SDUDPHWHUVIRUDQ+(33'8 


 2WKHUZLVH 1RWSUHVHQW 1 1


 )250$7LV+(B68RU+(B 6HWWRLIWKH33'8LVDGGUHVVHGWRDQ$3 < <
 08 6HWWRRWKHUZLVH
83/,1.B)/$*


 )250$7LV+(B(5B68 6HWWRLIWKH33'8LVQRWDGGUHVVHGWRDQ$3RULIWKH33'8 < <
 LVDGGUHVVHGWRDQ$3DQGPHHWVWKHH[FHSWLRQLQ
 83/,1.B)/$* 
 6HWWRRWKHUZLVH

 2WKHUZLVH 1RWSUHVHQW 1 1


 )250$7LV+(B08 ,QGLFDWHVWKHOLVWRI67$,'VIRUDQ+(0833'8 VHH 0 0
67$B,'

 6HWWLQJ7;9(&725SDUDPHWHUVIRUDQ+(33'8  8 8

 2WKHUZLVH 1RWSUHVHQW 1 1


 )250$7LV121B+7 ,Q7;9(&725LISUHVHQWLQGLFDWHVWKHYDOXHRIWKH6FUDP 2 <
 EOHU,QLWLDOL]DWLRQILHOGLQWKH6(59,&(ILHOGDIWHUVFUDPEOLQJ
6&5$0%/(5B,1,7,$/B9$/8(


 ,Q5;9(&725LQGLFDWHVWKHYDOXHRIWKH6FUDPEOHU,QLWLDO
 L]DWLRQILHOGLQWKH6(59,&(ILHOGSULRUWRGHVFUDPEOLQJ

 )250$7LV+(B08RU+(B 1RWSUHVHQW 1 1
 7%

 )250$7LV9+7DQG 1RWSUHVHQW 1 1
 *5283B,'LVQHLWKHUQRU
 


2WKHUZLVH ,QGLFDWHVWKHYDOXHLQWKH6FUDPEOHU,QLWLDOL]DWLRQILHOGLQWKH 1 <

6(59,&(ILHOGSULRUWRGHVFUDPEOLQJ







 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²7;9(&725DQG5;9(&725SDUDPHWHUV(continued)




5;9(&725
7;9(&725
3DUDPHWHU

 &RQGLWLRQ 9DOXH



 )250$7LV121B+7 %RROHDQYDOXH < 1
 WUXHLQGLFDWHVWKDWWKH0$&HQWLW\UHTXHVWVWKDWWKH3+<

75,**(5B5(6321',1*

HQWLW\GRV\QFKURQL]DWLRQDVGHILQHGLQ 3UHFRU
 UHFWLRQDFFXUDF\UHTXLUHPHQWV 
 IDOVHLQGLFDWHVWKDWWKH0$&HQWLW\GRHVQRWUHTXHVWWKDWWKH
 3+<HQWLW\GRV\QFKURQL]DWLRQDVGHILQHGLQ 3UH
 FRUUHFWLRQDFFXUDF\UHTXLUHPHQWV 

 6HWWRWUXHLIWKHQRQ+7RUQRQ+7GXSOLFDWH33'8LVVHQWLQ
 UHVSRQVHWRDQ085767ULJJHUIUDPH
 6HWWRIDOVHRWKHUZLVH


 2WKHUZLVH 1RWSUHVHQW 1 1

 )250$7LV+(B7%DQG 3URYLGHVWKHGHWHFWHGVWDWXVDUUD\RQWKHUHVRXUFHVDVVLJQHGE\ 1 <
 36'8B/(1*7+  WKH7ULJJHUIUDPH7KHDUUD\KDVNSTAHQWULHV NSTALVGHILQHG
 LQ 67$EHKDYLRU ZKHUHHDFKHQWU\WDNHVRQWKH
 YDOXH
1'3B5(3257

 LIWUDQVPLVVLRQLVGHWHFWHGRQWKHILUVWJURXSRIWKHWRQHVHW
 LIWUDQVPLVVLRQLVGHWHFWHGRQWKHVHFRQGJURXSRIWKHWRQH
 VHW
 121(LIWUDQVPLVVLRQLVQRWGHWHFWHGRQHLWKHUJURXSRIWKH
 WRQHVHW


 2WKHUZLVH 1RWSUHVHQW 1 1

 )250$7LV+(B7%DQG ,QGLFDWHVWKHYDOXHRIWKHRQHELWXVHGWRPRGXODWHWKHWRQHVLQ < 1
)(('%$&.B67$786

 $3(3B/(1*7+  HDFKWRQHVHW6HH +(33'8IRUPDWV DQG 1'3


 IHHGEDFNUHSRUWSURFHGXUH 


 2WKHUZLVH 1RWSUHVHQW 1 1




 )250$7LV+(B7%DQG ,QGLFDWHVWKH58WRQHVHWXVHGIRUDQ+(7%IHHGEDFN1'3 < 1
58B721(B6(7B,1'(;

 $3(3B/(1*7+  6HH +(7%IHHGEDFN1'3 



 2WKHUZLVH 1RWSUHVHQW 1 1















&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²7;9(&725DQG5;9(&725SDUDPHWHUV(continued)




5;9(&725
7;9(&725
3DUDPHWHU

 &RQGLWLRQ 9DOXH



 )250$7LV+(B68+(B ,QGLFDWHVWKHPLGDPEOHSHULRGLFLW\LQQXPEHURI2)'0V\P < 1
0,'$0%/(B3(5,2',&,7<

 08+(B(5B68RU+(B7% EROVLQWKH'DWDILHOG6HWWRRU
 DQG'233/(5LV


 2WKHUZLVH 1RWSUHVHQW 1 1







)250$7LV+(B7%DQG ,QGLFDWHV3(GLVDPELJXLW\IRUWKH+(7%33'8WUDQVPLVVLRQ < 1
+(B7%B3(B',6$0%,*8,7<


 75,**(5B0(7+2'LV
 75,**(5B)5$0( 6HWWRWRLQGLFDWHQR3(GLVDPELJXLW\
 6HWWRWRLQGLFDWH3(GLVDPELJXLW\

 2WKHUZLVH 1RWSUHVHQW 1 1






 127(²,QWKH³7;9(&725´DQG³5;9(&725´FROXPQVWKHIROORZLQJDSSO\
 < 3UHVHQW
 1 1RWSUHVHQW

2 2SWLRQDO

 08LQGLFDWHVWKDWWKHSDUDPHWHULVSUHVHQWRQFHIRUDQ+(6833'8DQG+((56833'8DQGSUHVHQWSHUXVHU
 IRUDQ+(0833'8)RUDQ+(7%33'808LQWKH7;9(&725FROXPQLQGLFDWHVWKDWWKHSDUDPHWHULVSUHV
 HQWRQFHDQG08LQWKH5;9(&725FROXPQLQGLFDWHVWKHSDUDPHWHULVQRWSUHVHQW3DUDPHWHUVVSHFLILHGWREH
 SUHVHQWSHUXVHUDUHFRQFHSWXDOO\VXSSOLHGDVDQDUUD\RIYDOXHVLQGH[HGE\uZKHUHuWDNHVYDOXHVWR180B
 86(56±

 127(²5HIHUWR&ODXVHDQGIRUWKH7;9(&7255;9(&725SDUDPHWHUVWKDWDUHQRWSUHV
 HQWLQWKLVWDEOHZKHQ)250$7LVQRW+(B68+(B08+(B(5B68RU+(B7%



 75,*9(&725SDUDPHWHUV

 7KH75,*9(&725LVFDUULHGLQD3+<75,**(5UHTXHVWSULPLWLYHDQGSURYLGHVWKH3+<RIWKH$3ZLWK
 WKHSDUDPHWHUVQHHGHGWRUHFHLYHDQ+(7%33'8RYHUHDFKDVVLJQHG587KHSDUDPHWHUVLQ7DEOH













 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 75,*9(&725 SDUDPHWHUV  DUH GHILQHG DV SDUW RI WKH 75,*9(&725 SDUDPHWHU OLVW LQ WKH 3+<75,*
 *(5UHTXHVWSULPLWLYH



 7DEOH²75,*9(&725SDUDPHWHUV


 3DUDPHWHU 9DOXH

 &+B%$1':,'7+ ,QGLFDWHVWKHEDQGZLGWKLQWKH+(6,*$RIWKHH[SHFWHG+(7%33'8

 (QXPHUDWHGW\SH
 &%:IRU0+]
 &%:IRU0+]
 &%:IRU0+]
 &%:IRU0+]
 &%:IRU0+]
 8/B/(1*7+ ,QGLFDWHVWKHYDOXHRIWKH/6,*/(1*7+ILHOGRIWKHH[SHFWHG+(7%33'8

 *,B$1'B+(B/7)B7<3( ,QGLFDWHVWKH*,DQG+(/7)W\SHRIWKHH[SHFWHG+(7%33'8
 
 (QXPHUDWHGW\SH
 [+(/7)—V*,
 [+(/7)—V*,
 [+(/7)—V*,

 08B0,02B+(B/7)B02'( ,QGLFDWHVWKH+(/7)PRGHRIWKHH[SHFWHG8/080,02+(7%33'8LILW
 XVHVIXOOEDQGZLGWK080,02DQGGRHVQRWXVH[+(/7)
 6HWWRWRLQGLFDWHWKDW+(VLQJOHVWUHDPSLORW+(/7)PRGHLVXVHG
 6HWWRWRLQGLFDWHWKDW+(PDVNHG+(/7)VHTXHQFHPRGHLVXVHG

 180%(5B2)B+(B/7)B ,QGLFDWHVWKHQXPEHURI+(/7)V\PEROVSUHVHQWLQWKHH[SHFWHG+(7%33'8
 6<0%2/6
 ,IWKHSDUDPHWHU'233/(5LV
 6HWWRIRU+(/7)V\PERO
 6HWWRIRU+(/7)V\PEROV
 6HWWRIRU+(/7)V\PEROV
 6HWWRIRU+(/7)V\PEROV
 6HWWRIRU+(/7)V\PEROV

 ,IWKHSDUDPHWHU'233/(5LV
 6HWWRIRU+(/7)V\PERO
 6HWWRIRU+(/7)V\PEROV
 6HWWRIRU+(/7)V\PEROV

 0,'$0%/(B35(,2',&,7< ,QGLFDWHVWKHPLGDPEOHSHULRGLFLW\3UHVHQWRQO\LIWKHSDUDPHWHU'233/(5LV

 ,QWHJHUYDOXH
 6HWWRWRLQGLFDWHDV\PEROPLGDPEOHSHULRGLFLW\
 6HWWRWRLQGLFDWHDV\PEROPLGDPEOHSHULRGLFLW\
 67%& ,QGLFDWHVWKHVWDWXVRI67%&HQFRGLQJLQWKHH[SHFWHG+(7%33'8
 6HWWRLI67%&HQFRGLQJLVXVHG
 6HWWRRWKHUZLVH

 /'3&B(;75$B6<0%2/ ,QGLFDWHVWKHVWDWXVRIWKH/'3&H[WUDV\PEROVHJPHQWLQWKHH[SHFWHG+(7%
 33'8
 6HWWRLI/'3&H[WUDV\PEROVHJPHQWLVSUHVHQW
 6HWWRRWKHUZLVH







&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²75,*9(&725SDUDPHWHUV(continued)


 3DUDPHWHU 9DOXH

 35(B)(&B)$&725 ,QGLFDWHVWKHSUH)(&SDGGLQJIDFWRUIRUWKHH[SHFWHG+(7%33'8
 6HWWRWRLQGLFDWHDSUH)(&SDGGLQJIDFWRURI
 6HWWRWRLQGLFDWHDSUH)(&SDGGLQJIDFWRURI
 6HWWRWRLQGLFDWHDSUH)(&SDGGLQJIDFWRURI
 6HWWRWRLQGLFDWHDSUH)(&SDGGLQJIDFWRURI

 3(B',6$0%,*8,7< ,QGLFDWHVWKH3(GLVDPELJXLW\IRUWKHH[SHFWHG+(7%33'8
 6HWWRWRLQGLFDWHQR3(GLVDPELJXLW\
 6HWWRWRLQGLFDWH3(GLVDPELJXLW\

 '233/(5 ,QGLFDWHVDKLJK'RSSOHUPRGHIRUWKHH[SHFWHG+(7%33'8
 6HWWRWRLQGLFDWHWKDWPLGDPEOHVDUHSUHVHQW
 6HWWRRWKHUZLVH
 $,'B/,67 &DUULHVWKH/6%VRIWKH$,'RIHDFKWULJJHUHG67$

 127(²(DFKHQWU\RI$,'B/,67LV ELW $,'RIWKHFRUUHVSRQGLQJ+(7%
 33'86HHWKH$,'VXEILHOGLQ 7ULJJHUIUDPHIRUPDW 

 58B$//2&$7,21B/,67 ELWVDUHXVHGSHU67$WRLQGLFDWHWKH58DOORFDWHGLQWKHZKROHEDQGZLGWK6HH
  7ULJJHUIUDPHIRUPDW 

 )(&B&2',1*B/,67 ,QGLFDWHVWKHFRGLQJW\SHIRUHDFKH[SHFWHG+(7%33'8

 127(²(DFKHQWU\LQGLFDWHVWKHFRGLQJW\SHRIWKHFRUUHVSRQGLQJ+(7%33'8
 6HHWKH8/)(&&RGLQJ7\SHVXEILHOGGHVFULSWLRQLQ 7ULJJHUIUDPH
 IRUPDW 

 +(B0&6B/,67 ,QGLFDWHVWKH+(0&6IRUHDFKH[SHFWHG+(7%33'8

 127(²(DFKHQWU\RI+(B0&6B/,67LQGLFDWHVWKH+(0&6RIWKH
 FRUUHVSRQGLQJ+(7%33'86HHWKH8/+(0&6VXEILHOGLQ 7ULJJHU
 IUDPHIRUPDW IRUPRUHLQIRUPDWLRQRIHDFKHQWU\

 8/B'&0B/,67 ,QGLFDWHVZKHWKHURUQRW'&0LVDSSOLHGIRUHDFKH[SHFWHG+(7%33'8

 127(²(DFKHQWU\LQGLFDWHVELW8/'&0RIWKHFRUUHVSRQGLQJ+(7%33'8
 6HHWKH8/'&0VXEILHOGGHVFULSWLRQLQ 7ULJJHUIUDPHIRUPDW IRU
 GHWDLOV
 66B$//2&$7,21B/,67 ,QGLFDWHVWKHVSDWLDOVWUHDPVRIHDFKH[SHFWHG+(7%33'8

 127(²(DFKHQWU\LQGLFDWHVWKHVSDWLDOVWUHDPVRIWKHFRUUHVSRQGLQJ+(7%
 33'86HHWKH66$OORFDWLRQVXEILHOGGHVFULSWLRQLQ 7ULJJHUIUDPH
 IRUPDW 



 3+<&21),*B9(&725SDUDPHWHUV


 7KH 3+<&21),*B9(&725 FDUULHG LQ D 3+<&21),*UHTXHVW SULPLWLYH IRU DQ +( 3+< FRQWDLQV DQ

 23(5$7,1*B&+$11(/SDUDPHWHUZKLFKLGHQWLILHVWKHRSHUDWLQJRUSULPDU\FKDQQHO7KH3+<VKDOOVHW
 GRW&XUUHQW3ULPDU\&KDQQHOWRWKHYDOXHRIWKLVSDUDPHWHU


 7KH 3+<&21),*B9(&725 FDUULHG LQ D 3+<&21),*UHTXHVW SULPLWLYH IRU DQ +( 3+< FRQWDLQV D
 &+$11(/B:,'7+SDUDPHWHUZKLFKLGHQWLILHVWKHRSHUDWLQJFKDQQHOZLGWKDQGWDNHVRQHRIWKHYDOXHV

0+]0+]0+]0+]DQG0+]7KH3+<VKDOOVHWGRW&XUUHQW&KDQQHO:LGWKWR

 WKHYDOXHRIWKLVSDUDPHWHU7KH3+<VKDOOVHWGRW+(&XUUHQW&KDQQHO:LGWK6HWWRDYDOXHWKDWLVREWDLQHG

 IURPWKH6XSSRUWHG&KDQQHO:LGWK6HWVXEILHOGRIDWUDQVPLWWHG+(&DSDELOLWLHVHOHPHQW

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KH3+<&21),*B9(&725FDUULHGLQD3+<&21),*UHTXHVWSULPLWLYHIRUDQ+(3+<FRQWDLQVD&(1
 7(5B)5(48(1&<B6(*0(17BSDUDPHWHUZKLFKLGHQWLILHVWKHFHQWHUIUHTXHQF\RIWKHFKDQQHO RURI

 VHJPHQWLIWKH&+$11(/B:,'7+SDUDPHWHULQGLFDWHV0+] DQGWDNHVDYDOXHEHWZHHQDQG 
  7KH 3+< VKDOO VHW GRW&XUUHQW&KDQQHO&HQWHU)UHTXHQF\,QGH[ WR WKH YDOXH RI WKLV SDUDPHWHU 7KH

 3+<&21),*B9(&725 FDUULHG LQ D 3+<&21),*UHTXHVW SULPLWLYH IRU DQ +( 3+< FRQWDLQV D &(1
 7(5B)5(48(1&<B6(*0(17BSDUDPHWHUZKLFKWDNHVWKHYDOXHLIWKH&+$11(/B:,'7+SDUDP
 HWHUGRHVQRWLQGLFDWH0+]DQGRWKHUZLVHLGHQWLILHVWKHFHQWHUIUHTXHQF\RIVHJPHQWDQGWDNHVD

 YDOXHEHWZHHQDQG7KH3+<VKDOOVHWGRW&XUUHQW&KDQQHO&HQWHU)UHTXHQF\,QGH[WRWKHYDOXHRI
 WKLVSDUDPHWHU


 (IIHFWVRI&+B%$1':,'7+SDUDPHWHURQ33'8IRUPDW


 7DEOH ,QWHUSUHWDWLRQRI)250$7121B+70RGXODWLRQDQG&+B%$1':,'7+SDUDPHWHUV VKRZV


WKHYDOLGFRPELQDWLRQVRIWKH)250$7121B+702'8/$7,21DQG&+B%$1':,'7+SDUDPHWHUV
 DQG WKH FRUUHVSRQGLQJ 33'8 IRUPDW DQG YDOXH RI &+B2))6(7 LI DSSOLFDEOH  2WKHU FRPELQDWLRQV DUH
 UHVHUYHG



 7DEOH²,QWHUSUHWDWLRQRI)250$7121B+70RGXODWLRQDQG&+B%$1':,'7+
 SDUDPHWHUV


 121B+7B
)250$7 &+B%$1':,'7+ &+B2))6(7 33'8IRUPDW
 02'8/$7,21

 +( 1$ &%: 1$ 7KH67$WUDQVPLWVDQ+(33'8RI
 0+]EDQGZLGWK,IWKH%66
 EDQGZLGWKLVZLGHUWKDQ0+]
 WKHQWKHWUDQVPLVVLRQVKDOOXVHWKH
 SULPDU\0+]FKDQQHO

 +( 1$ &%: 1$ 7KH67$WUDQVPLWVDQ+(33'8RI
 0+]EDQGZLGWK,IWKH%66
 EDQGZLGWKLVZLGHUWKDQ0+]
 WKHQWKHWUDQVPLVVLRQVKDOOXVHWKH
 SULPDU\0+]FKDQQHO
 +( 1$ &%: 1$ 7KH67$WUDQVPLWVDQ+(33'8RI
 0+]EDQGZLGWK,IWKH%66
 EDQGZLGWKLVZLGHUWKDQ0+]
 WKHQWKHWUDQVPLVVLRQVKDOOXVHWKH
 SULPDU\0+]FKDQQHO

 +( 1$ &%: 1$ 7KH67$WUDQVPLWVDQ+(33'8RI
 0+]EDQGZLGWK

 +( 1$ &%: 1$ 7KH67$WUDQVPLWVDQ+(33'8RI
 0+]EDQGZLGWK

 +( 1$ +(&%:381& 1$ 7KH67$WUDQVPLWVDQ+(33'8RQ
 35, WKHSXQFWXUHG0+]EDQGZLGWK
 ZKHUHRQO\WKHVHFRQGDU\0+]
 LVSXQFWXUHG

 +( 1$ +(&%:381& 1$ 7KH67$WUDQVPLWVDQ+(33'8RQ
 6(& WKHSXQFWXUHG0+]EDQGZLGWK
 ZKHUHRQO\RQHRIWKHWZR0+]
 VXEFKDQQHOVLQVHFRQGDU\0+]
 LVSXQFWXUHG

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²,QWHUSUHWDWLRQRI)250$7121B+70RGXODWLRQDQG&+B%$1':,'7+SDUDPH
 WHUV(continued)


 121B+7B
 )250$7 &+B%$1':,'7+ &+B2))6(7 33'8IRUPDW
02'8/$7,21

 +( 1$ +(&%: 1$ 7KH67$WUDQVPLWVDQ+(33'8RQ
 381&35, WKHSXQFWXUHG0+]EDQGZLGWK
 ZKHUHRQO\WKHVHFRQGDU\0+]
 LQWKHSULPDU\0+]LV
 SXQFWXUHG

 +( 1$ +(&%: 1$ 7KH67$WUDQVPLWVDQ+(33'8RQ
 381&35, WKHSXQFWXUHG0+]
 EDQGZLGWKZKHUHRQO\WKH
 VHFRQGDU\0+]LQWKHSULPDU\
 0+]LVSXQFWXUHG

 +( 1$ +(&%: 1$ 7KH67$WUDQVPLWVDQ+(33'8RQ
 381&6(& WKHSXQFWXUHG0+]EDQGZLGWK
 ZKHUHWKHSULPDU\0+]LQWKH
 SULPDU\0+]LVSUHVHQWDQGDW
 OHDVWRQH0+]VXEFKDQQHOWKDW
 LVQRWLQWKHSULPDU\0+]LV
 SXQFWXUHG

 +( 1$ +(&%: 1$ 7KH67$WUDQVPLWVDQ+(33'8RQ
 381&6(& WKHSXQFWXUHG0+]
 EDQGZLGWKZKHUHWKHSULPDU\
 0+]LQWKHSULPDU\0+]LV
 SUHVHQWDQGDWOHDVWRQH0+]
 VXEFKDQQHOWKDWLVQRWLQWKH
 SULPDU\0+]LVSXQFWXUHG
 +7B0) 6HH7DEOH ,QWHUSUHWDWLRQRI)250$7121B+7B02'8/$7,21&+B%$1':,'7+DQG
 +7B*) &+B2))6(7SDUDPHWHUV DQG7DEOH ,QWHUSUHWDWLRQRI)250$7&+B%$1':,'7+DQG&+B
 9+7 2))6(7SDUDPHWHUV

 121B+7 ,I,1$&7,9(B68%&+$11(/6LVQRWSUHVHQWVHH7DEOH ,QWHUSUHWDWLRQRI)250$7121B
 +7B02'8/$7,21&+B%$1':,'7+DQG&+B2))6(7SDUDPHWHUV DQG7DEOH
 ,QWHUSUHWDWLRQRI)250$7&+B%$1':,'7+DQG&+B2))6(7SDUDPHWHUV

 121B+7 ,I,1$&7,9(B68%&+$11(/6LVSUHVHQWVHH7DEOH ,QWHUSUHWDWLRQRI&+B%$1':,'7+
 DQG,1$&7,9(B68%&+$11(/6SDUDPHWHUVZKHQ)250$7LVHTXDOWR121B+7DQG121B
 +7B02'8/$7,21LVHTXDOWR121B+7B'83B2)'0



 9DOLGFRPELQDWLRQVRIWKH&+B%$1':,'7+DQG,1$&7,9(B68%&+$11(/6SDUDPHWHUVZKHQ)25
 0$7LV121B+7DQGWKHFRUUHVSRQGLQJ33'8DQG&+B2))6(7 LIDSSOLFDEOH DUHVKRZQLQ7DEOH
 ,QWHUSUHWDWLRQ RI &+B%$1':,'7+ DQG ,1$&7,9(B68%&+$11(/6 SDUDPHWHUV ZKHQ )250$7 LV
 HTXDOWR121B+7DQG121B+7B02'8/$7,21LVHTXDOWR121B+7B'83B2)'0 2WKHUFRPELQD

WLRQVDUHUHVHUYHG


 6XSSRUWIRUQRQ+7+7DQG9+7IRUPDWV


 *HQHUDO

 $Q+(67$ORJLFDOO\FRQWDLQV&ODXVH '6663+<VSHFLILFDWLRQIRUWKH*+]EDQGGHVLJQDWHGIRU

,60DSSOLFDWLRQV &ODXVH +LJKUDWHGLUHFWVHTXHQFHVSUHDGVSHFWUXP +5'666 3+<VSHFLILFDWLRQ 

 &ODXVH 2UWKRJRQDOIUHTXHQF\GLYLVLRQPXOWLSOH[LQJ 2)'0 3+<VSHFLILFDWLRQ &ODXVH ([WHQGHG 
 5DWH 3+< (53  VSHFLILFDWLRQ  &ODXVH  +LJK 7KURXJKSXW +7 3+< VSHFLILFDWLRQ  &ODXVH  9HU\


 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²,QWHUSUHWDWLRQRI&+B%$1':,'7+DQG,1$&7,9(B68%&+$11(/6SDUDPHWHUV
 ZKHQ)250$7LVHTXDOWR121B+7DQG121B+7B02'8/$7,21LVHTXDOWR121B+7B'83B

2)'0


 &+B%$1':,'7+ ,1$&7,9(B68%&+$11(/6 &+B2))6(7 33'8IRUPDW

 &%: $OOELWVVHWWRH[FHSWIRUWKH 1$ 7KH67$WUDQVPLWVD121B+7
 IRXUELWVFRUUHVSRQGLQJWRWKH 33'8RI0+]EDQGZLGWK,IWKH
 SULPDU\0+]FKDQQHOZKLFK %66EDQGZLGWKLVZLGHUWKDQ
 DUHVHWWR 0+]WKHQWKHWUDQVPLVVLRQVKDOO
 XVHWKHSULPDU\0+]FKDQQHO

 &%: 7KHELWFRUUHVSRQGLQJWRWKH 1$ 7KH67$WUDQVPLWVDSXQFWXUHG
 SULPDU\0+]FKDQQHOVHWWR 121B+733'8RI0+]
 DQGRQHRUWZRRWKHUELWVVHWWR EDQGZLGWK,IWKH%66EDQGZLGWKLV
 WKDWFRUUHVSRQGWRDQ\RWKHU ZLGHUWKDQ0+]WKHQWKH
 VXEFKDQQHOVLQWKHSULPDU\ WUDQVPLVVLRQVKDOOXVHWKHSULPDU\
 0+]DOORWKHUELWVVHWWR 0+]FKDQQHO

 &%: $OOHLJKWELWVVHWWR 1$ 7KH67$WUDQVPLWVD121B+7
 33'8RI0+]EDQGZLGWK

 &%: 7KHELWFRUUHVSRQGLQJWRWKH 1$ 7KH67$WUDQVPLWVDSXQFWXUHG
 SULPDU\0+]FKDQQHOVHWWR 121B+733'8RI0+]
 DQGRQHWRVL[RWKHUELWVVHWWR EDQGZLGWK
 WKDWFRUUHVSRQGWRDQ\RWKHU
 VXEFKDQQHOVLQWKH0+]DOO
 RWKHUELWVVHWWR

 &%: $OOHLJKWELWVVHWWR 1$ 7KH67$WUDQVPLWVD121B+7
 33'8RI0+]EDQGZLGWK
 &%: 7KHELWFRUUHVSRQGLQJWRWKH 1$ 7KH67$WUDQVPLWVDSXQFWXUHG
 SULPDU\0+]FKDQQHOVHWWR 121B+733'8RI0+]
 DQGRQHWRVL[RWKHUELWVVHWWR EDQGZLGWK
 WKDWFRUUHVSRQGWRDQ\RWKHU
 VXEFKDQQHOVLQWKH0+]
 DOORWKHUELWVVHWWR



 +LJK 7KURXJKSXW 9+7  3+< VSHFLILFDWLRQ  DQG &ODXVH +LJK (IILFLHQF\ +(  3+< VSHFLILFDWLRQ 
 3+<V7KH0$&LQWHUDFWVZLWKWKH3+<VYLDWKH&ODXVH +LJK(IILFLHQF\ +( 3+<VSHFLILFDWLRQ 3+< 

VHUYLFHLQWHUIDFHZKLFKLQWXUQLQWHUDFWVZLWKWKH&ODXVH '6663+<VSHFLILFDWLRQIRUWKH*+]EDQG

 GHVLJQDWHGIRU,60DSSOLFDWLRQV &ODXVH +LJKUDWHGLUHFWVHTXHQFHVSUHDGVSHFWUXP +5'666 3+< 
 VSHFLILFDWLRQ &ODXVH 2UWKRJRQDOIUHTXHQF\GLYLVLRQPXOWLSOH[LQJ 2)'0 3+<VSHFLILFDWLRQ &ODXVH
  ([WHQGHG5DWH3+< (53 VSHFLILFDWLRQ &ODXVH +LJK7KURXJKSXW +7 3+<VSHFLILFDWLRQ 3+< 
 VHUYLFHLQWHUIDFHVDQG&ODXVH 9HU\+LJK7KURXJKSXW 9+7 3+<VSHFLILFDWLRQ DVVKRZQLQ)LJXUH

















&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

  3+<LQWHUDFWLRQRQWUDQVPLWIRUYDULRXV33'8IRUPDWV )LJXUH 3+<LQWHUDFWLRQRQUHFHLYHIRUYDU


 LRXV33'8IRUPDWV DQG)LJXUH 3+<&21),*DQG&&$LQWHUDFWLRQZLWKYDULRXV33'8IRUPDWV 



 &ODXVH &ODXVH3+<7;67$57UHTXHVW 7;9(&725

 3+<7;67$57FRQILUP
3+<'$7$UHTXHVW
3+<'$7$FRQILUP
 3+<7;(1'UHTXHVW

 3+<7;(1'FRQILUP


 )250$7 9+7 )250$7 +7 )250$7 121B+7 )250$7 121B+7 )250$7 +(
 121B+7B02'8/$7,21
121B+7B'83B2)'0



&ODXVH
 &ODXVH  &ODXVH  &ODXVH&ODXVH
&ODXVH&ODXVH
 &ODXVH WUDQVPLW
SURFHGXUH
 3+<7;67$57FRQILUP 3+<7;67$57FRQILUP 3+<7;67$57FRQILUP

7;9(&725

7;9(&725
&ODXVH &ODXVH 3+<7;67$57FRQILUP
3+<'$7$UHTXHVW 3+<'$7$UHTXHVW 3+<'$7$UHTXHVW
 3+<'$7$FRQILUP
3+<7;(1'UHTXHVW
3+<7;67$57UHTXHVW
3+<'$7$FRQILUP
3+<7;(1'UHTXHVW
3+<7;67$57UHTXHVW 3+<'$7$UHTXHVW
3+<'$7$FRQILUP
&ODXVH&ODXVH
&ODXVH&ODXVH 3+<'$7$FRQILUP
3+<7;(1'UHTXHVW
3+<7;(1'UHTXHVW 3+<7;67$57UHTXHVW
 3+<7;(1'FRQILUP
7;9(&725
3+<7;(1'FRQILUP
7;9(&725
3+<7;(1'FRQILUP 7;9(&725 3+<7;(1'FRQILUP




 &ODXVHWUDQVPLWSURFHGXUH &ODXVHWUDQVPLWSURFHGXUH
&ODXVH&ODXVH&ODXVH&ODXVH
&ODXVHWUDQVPLWSURFHGXUH

 D0+]RQO\QRQ$3+(67$VXSSRUWV9+7
WUDQVPLVVLRQRQO\RQ0+]FKDQQHOZLGWK
D0+]RQO\QRQ$3+(67$VXSSRUWV+7
WUDQVPLVVLRQRQO\RQ0+]FKDQQHOZLGWK
WUDQVPLWSURFHGXUH
&ODXVH1RQ+7
'XSOLFDWH33'8 &ODXVH+(33'8






 )LJXUH²3+<LQWHUDFWLRQRQWUDQVPLWIRUYDULRXV33'8IRUPDWV



 &ODXVH
3+<'$7$LQGLFDWLRQ
&ODXVH3+<5;67$57LQGLFDWLRQ 5;9(&725

 3+<5;(1'LQGLFDWLRQ





 &ODXVH&ODXVH&ODXVH
&ODXVH
&ODXVH
3+<'$7$LQGLFDWLRQ
&ODXVH
3+<'$7$LQGLFDWLRQ
  3+<'$7$LQGLFDWLRQ
3+<5;(1'LQGLFDWLRQ

3+<5;(1'LQGLFDWLRQ

3+<5;(1'LQGLFDWLRQ

 &ODXVH&ODXVH&ODXVH &ODXVH
&ODXVH
&ODXVH
&ODXVH
&ODXVH
&ODXVH&ODXVH
 &ODXVH
3+<5;67$57LQGLFDWLRQ &ODXVH&ODXVH
UHFHLYHSURFHGXUH
3+<5;67$57LQGLFDWLRQ
5;9(&725
UHFHLYHSURFHGXUH
D0+]RQO\QRQ$3+(67$VXSSRUWV
+733'8UHFHSWLRQRQO\RQ0+]
3+<5;67$57LQGLFDWLRQ
5;9(&725
UHFHLYHSURFHGXUH
D0+]RQO\QRQ$3+(67$VXSSRUWV
9+733'8UHFHSWLRQRQO\RQ0+]
UHFHLYHSURFHGXUH
5;9(&725
 FKDQQHOZLGWK FKDQQHOZLGWK

 121B+7
+7 9+7 +(


 )RUPDW'HWHFWLRQ



127(²1RWDOOSDUDPHWHUVDUHVKRZQ


 )LJXUH²3+<LQWHUDFWLRQRQUHFHLYHIRUYDULRXV33'8IRUPDWV














 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU


 &ODXVH3+<&&$5(6(7UHTXHVW
 &ODXVH3+<&21),*UHTXHVW 3+<&21),*B9(&725 &ODXVH3+<&21),*FRQILUP 3+<&&$5(6(7FRQILUP
3+<&&$LQGLFDWLRQ


 ŽŶĨŝŐƵƌĞĂůůW,zƐ ŽŶĨŝƌŵĐŽŶĨŝŐƵƌĂƚŝŽŶŽĨĂůůW,zƐ

 7KH3+<&&$DQG3+<&&$5(6(7SULPLWLYHVIURP
&ODXVH&ODXVH&ODXVH&ODXVH&ODXVH

Ϯϳ͘Ϯ͘ϲ͘Ϯ Ϯϳ͘Ϯ͘ϲ͘ϯ Ϯϳ͘Ϯ͘ϲ͘ϰ
DQG&ODXVHDUHXQXVHG &&$UHTXLUHPHQWVDUH
&ODXVH3+< &ODXVH3+< GHILQHGLQ&ODXVHLQVWHDG 

&ODXVH&ODXVH &ODXVH&ODXVH
&ODXVH&ODXVH3+< &21),*UHTXHVW &21),*UHTXHVW &ODXVH&ODXVH3+<
&ODXVH3+< &ODXVH3+<
&21),*UHTXHVW 3+<&21),*B 3+<&21),*B ůĂƵƐĞϮϴ ůĂƵƐĞϮϳ


3+<&21),*B
&21),*FRQILUP &21),*FRQILUP &21),*FRQILUP
9(&725 9(&725
 9(&725


 )LJXUH²3+<&21),*DQG&&$LQWHUDFWLRQZLWKYDULRXV33'8IRUPDWV

 6XSSRUWIRUQRQ+7IRUPDW



7KH EHKDYLRU RI WKH +( 3+< RQ UHFHLSW RI D 3+<7;67$57UHTXHVW 7;9(&725  SULPLWLYH ZLWK WKH
 )250$7SDUDPHWHUHTXDOWR121B+7DQGWKH121B+7B02'8/$7,21SDUDPHWHUQRWHTXDOWR121B
 +7B'83B2)'0LVGHILQHGLQ&ODXVH '6663+<VSHFLILFDWLRQIRUWKH*+]EDQGGHVLJQDWHGIRU
 ,60DSSOLFDWLRQV &ODXVH +LJKUDWHGLUHFWVHTXHQFHVSUHDGVSHFWUXP +5'666 3+<VSHFLILFDWLRQ 
 &ODXVH  2UWKRJRQDO IUHTXHQF\ GLYLVLRQ PXOWLSOH[LQJ 2)'0  3+< VSHFLILFDWLRQ  DQG &ODXVH 



([WHQGHG5DWH3+< (53 VSHFLILFDWLRQ DQGGHSHQGVRQWKHSDUDPHWHU121B+7B02'8/$7,21,IWKH
 SDUDPHWHU121B+7B02'8/$7,21LV2)'0RU121B+7B'83B2)'0WKHQWKHIROORZLQJDGGLWLRQDO
 UHTXLUHPHQWVDSSO\
 ² 7KHUHTXLUHPHQWVLQ 7UDQVPLVVLRQRI0+]121B+733'8VZLWKPRUHWKDQRQHWUDQV

 PLWFKDLQ
 ² 7KH UHTXLUHPHQWV LQ  7UDQVPLW VSHFWUXP PDVN  LQVWHDG RI WKH UHTXLUHPHQWV LQ 
 7UDQVPLWVSHFWUXPPDVN

 ² 7KHUHTXLUHPHQWVLQ 7UDQVPLWFHQWHUIUHTXHQF\DQGV\PEROFORFNIUHTXHQF\WROHUDQFH 
 LQVWHDGRIWKHUHTXLUHPHQWVLQ 7UDQVPLWWHUFHQWHUIUHTXHQF\OHDNDJH

 7KHPRGXODWLRQHTXDWLRQIRUQRQ+7GXSOLFDWHWUDQVPLVVLRQLVGHILQHGLQ 1RQ+7GXSOLFDWHWUDQV

 PLVVLRQ 

 7KH +( 3+< 7;9(&725 SDUDPHWHUV LQ 7DEOH 7;9(&725 DQG 5;9(&725 SDUDPHWHUV  DUH
 PDSSHG WR &ODXVH  '666 3+< VSHFLILFDWLRQ IRU WKH  *+] EDQG GHVLJQDWHG IRU ,60 DSSOLFDWLRQV 
 &ODXVH +LJKUDWHGLUHFWVHTXHQFHVSUHDGVSHFWUXP +5'666 3+<VSHFLILFDWLRQ &ODXVH 2UWKRJR

 QDO IUHTXHQF\ GLYLVLRQ PXOWLSOH[LQJ 2)'0  3+< VSHFLILFDWLRQ  DQG &ODXVH  ([WHQGHG 5DWH 3+< 






















&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 (53 VSHFLILFDWLRQ 7;9(&725SDUDPHWHUVDFFRUGLQJWR7DEOH 0DSSLQJRIWKH+(3+<SDUDPHWHUV


 IRUQRQ+7RSHUDWLRQ 7KH+(3+<SDUDPHWHUVQRWOLVWHGLQWKHWDEOHDUHQRWSUHVHQW



 7DEOH²0DSSLQJRIWKH+(3+<SDUDPHWHUVIRUQRQ+7RSHUDWLRQ


 *+] *+]DQG*+]
*+]
 RSHUDWLRQGHILQHG RSHUDWLRQGHILQHG
RSHUDWLRQGHILQHG *+]
 E\&ODXVH E\&ODXVH
E\&ODXVH RSHUDWLRQGHILQHG
 '6663+< 2UWKRJRQDO
+(3+< +LJKUDWHGLUHFW E\&ODXVH 3DUDPHWHU
 VSHFLILFDWLRQIRU IUHTXHQF\
3DUDPHWHU VHTXHQFHVSUHDG ([WHQGHG5DWH /LVW
 WKH*+]EDQG GLYLVLRQ
VSHFWUXP 3+< (53 
 GHVLJQDWHGIRU PXOWLSOH[LQJ
+5'666 3+< VSHFLILFDWLRQ
 ,60 2)'0 3+<
VSHFLILFDWLRQ
 DSSOLFDWLRQV VSHFLILFDWLRQ

 /B/(1*7+ /(1*7+ /(1*7+ /(1*7+ /(1*7+ 7;9(&725
 5;9(&725
 /B'$7$5$7( '$7$5$7( '$7$5$7( '$7$5$7( '$7$5$7( 7;9(&725
 5;9(&725

 7;3:5B 7;3:5B 7;3:5B 7;3:5B 7;3:5B 7;9(&725
 /(9(/B /(9(/B,1'(; /(9(/B,1'(; /(9(/B,1'(; /(9(/B,1'(;
 ,1'(;

 566, 566, 566, 566, 566, 5;9(&725

 6(59,&( 6(59,&( 6(59,&( 6(59,&( 6(59,&( 7;9(&725
 5;9(&725

 5&3, 5&3, 5&3, 5&3, 5&3, 5;9(&725
 &+B GLVFDUGHG GLVFDUGHG &+B &+B 7;9(&725
 %$1':,'7+ %$1':,'7+B %$1':,'7+B 5;9(&725
 B,1B121B+7 ,1B121B+7 ,1B121B+7

 '<1B GLVFDUGHG GLVFDUGHG '<1B '<1B 7;9(&725
 %$1':,'7+ %$1':,'7+B %$1':,'7+B 5;9(&725
 B,1B121B+7 ,1B121B+7 ,1B121B+7

 23(5$7,1*B GLVFDUGHG GLVFDUGHG GLVFDUGHG 23(5$7,1*B 3+<&21),*
 &+$11(/ &+$11(/ B9(&725



 7KH EHKDYLRU RI WKH +( 3+< RQ UHFHLSW RI D 3+<7;67$57UHTXHVW 7;9(&725  SULPLWLYH ZLWK WKH
 )250$7SDUDPHWHUHTXDOWR121+7DQGWKH121B+7B02'8/$7,21SDUDPHWHUHTXDOWR121B+7B
 '83B2)'0LVGHILQHGLQ 1RQ+7GXSOLFDWHWUDQVPLVVLRQ 


 7RVXSSRUWWKHQRQ+7IRUPDWWKH+(3+<RQUHFHLSWRID3+<&21),*UHTXHVW 3+<&21),*B9(&
 725 SULPLWLYHEHKDYHVDVLILWZHUHD&ODXVH '6663+<VSHFLILFDWLRQIRUWKH*+]EDQGGHVLJQDWHG 
 IRU,60DSSOLFDWLRQV &ODXVH +LJKUDWHGLUHFWVHTXHQFHVSUHDGVSHFWUXP +5'666 3+<VSHFLILFD
 WLRQ  &ODXVH  2UWKRJRQDO IUHTXHQF\ GLYLVLRQ PXOWLSOH[LQJ 2)'0  3+< VSHFLILFDWLRQ  RU &ODXVH 


([WHQGHG5DWH3+< (53 VSHFLILFDWLRQ 3+<WKDWKDGUHFHLYHGD3+<&21),*UHTXHVW 3+<&21),*B

 9(&725 SULPLWLYHEXWZLWKRXWWKH3+<&21),*B9(&725SDUDPHWHUV&+$11(/B:,'7+&(17(5B
 )5(48(1&<B6(*0(17BDQG&(17(5B)5(48(1&<B6(*0(17B

 $VGHILQHGLQ +(UHFHLYHSURFHGXUH RQFHD33'8LVUHFHLYHGDQGGHWHFWHGDVDQRQ+733'8

WKHEHKDYLRURIWKH+(3+<LVGHILQHGLQ&ODXVH '6663+<VSHFLILFDWLRQIRUWKH*+]EDQGGHVLJ

 QDWHGIRU,60DSSOLFDWLRQV &ODXVH +LJKUDWHGLUHFWVHTXHQFHVSUHDGVSHFWUXP +5'666 3+<VSHFLIL
 FDWLRQ &ODXVH 2UWKRJRQDOIUHTXHQF\GLYLVLRQPXOWLSOH[LQJ 2)'0 3+<VSHFLILFDWLRQ RU&ODXVH

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ([WHQGHG5DWH3+< (53 VSHFLILFDWLRQ GHSHQGLQJRQWKH33'8IRUPDW7KH5;9(&725SDUDPHWHUV


 IURPWKH&ODXVH '6663+<VSHFLILFDWLRQIRUWKH*+]EDQGGHVLJQDWHGIRU,60DSSOLFDWLRQV &ODXVH

 +LJKUDWHGLUHFWVHTXHQFHVSUHDGVSHFWUXP +5'666 3+<VSHFLILFDWLRQ &ODXVH 2UWKRJRQDOIUH

 TXHQF\GLYLVLRQPXOWLSOH[LQJ 2)'0 3+<VSHFLILFDWLRQ &ODXVH ([WHQGHG5DWH3+< (53 VSHFLILFD
 WLRQ DUHPDSSHGWRWKH+(3+<5;9(&725SDUDPHWHUVDVGHILQHGLQ7DEOH 0DSSLQJRIWKH+( 
 3+<SDUDPHWHUVIRUQRQ+7RSHUDWLRQ 7KH+(3+<SDUDPHWHUVQRWOLVWHGLQWKHWDEOHDUHQRWSUHVHQW


 6XSSRUWIRU+7IRUPDW

 7KH EHKDYLRU RI DQ +( 3+< RQ UHFHLSW RI D 3+<7;67$57UHTXHVW 7;9(&725  SULPLWLYH ZLWK WKH

7;9(&725SDUDPHWHU)250$7HTXDOWR+7B0)RU+7B*)LVGHILQHGLQ&ODXVH +LJK7KURXJKSXW

 +7 3+<VSHFLILFDWLRQ ZLWKWKHIROORZLQJDGGLWLRQDOUHTXLUHPHQWV
 ² 7KHUHTXLUHPHQWVLQ 7UDQVPLVVLRQRI+733'8VZLWKPRUHWKDQIRXUWUDQVPLWFKDLQV

 ² 7KH UHTXLUHPHQWV LQ  7UDQVPLW FHQWHU IUHTXHQF\ DQG V\PERO FORFN IUHTXHQF\ WROHUDQFH 
 LQVWHDGRIWKHUHTXLUHPHQWVLQ 7UDQVPLWFHQWHUIUHTXHQF\WROHUDQFH


 7KH +( 3+< 7;9(&725 SDUDPHWHUV LQ 7DEOH 7;9(&725 DQG 5;9(&725 SDUDPHWHUV  DUH
 PDSSHGGLUHFWO\WR&ODXVH +LJK7KURXJKSXW +7 3+<VSHFLILFDWLRQ 7;9(&725SDUDPHWHUVLQ7DEOH
  7;9(&725DQG5;9(&725SDUDPHWHUV 7KH+(3+<SDUDPHWHUVQRWOLVWHGLQ7DEOHDUHQRW

SUHVHQW7KH3+<VKDOOXVHDYDOXHRI&+B2))6(7LQWKH&ODXVH +LJK7KURXJKSXW +7 3+<VSHFLIL

 FDWLRQ 7;9(&725WKDWLVFRQVLVWHQWZLWK7DEOH ,QWHUSUHWDWLRQRI)250$7121B+70RGXODWLRQ
 DQG&+B%$1':,'7+SDUDPHWHUV $0+]RQO\QRQ$3+(67$VXSSRUWV+7WUDQVPLVVLRQRQO\RQ
 0+]FKDQQHOZLGWK


 2QUHFHLSWRID3+<&21),*UHTXHVW 3+<&21),*B9(&725 SULPLWLYHWKH+(3+<EHKDYHVIRUWKH
 SXUSRVHVRI+733'8WUDQVPLVVLRQDQGUHFHSWLRQDVLILWZHUHD&ODXVH +LJK7KURXJKSXW +7 3+<

 VSHFLILFDWLRQ 3+<WKDWKDGUHFHLYHG3+<&21),*UHTXHVW 3+<&21),*B9(&725 SULPLWLYHEXWZLWK
 RXWWKH3+<&21),*B9(&725SDUDPHWHUV&+$11(/B:,'7+&(17(5B)5(48(1&<B6(*0(17B

 DQG &(17(5B)5(48(1&<B6(*0(17B DQG ZLWK WKH 3+<&21),*B9(&725 SDUDPHWHU 6(&

 21'$5<B&+$11(/B2))6(7VHWWR6(&21'$5<B&+$11(/B121(LIGRW&XUUHQW&KDQQHO:LGWK
 LQGLFDWHV  0+] WR 6(&21'$5<B&+$11(/B$%29( LI fP20,idx  fS20,idx RU WR 6(&21'$5<B
 &+$11(/B%(/2:RWKHUZLVH


 $VGHILQHGLQ +(UHFHLYHSURFHGXUH RQFHD33'8LVUHFHLYHGDQGGHWHFWHGDVDQ+733'8WKH
 EHKDYLRURIWKH+(3+<LVGHILQHGLQ&ODXVH +LJK7KURXJKSXW +7 3+<VSHFLILFDWLRQ 7KH5;9(&
 725 SDUDPHWHUV LQ 7DEOH  7;9(&725 DQG 5;9(&725 SDUDPHWHUV  DUH PDSSHG GLUHFWO\ WR WKH
 5;9(&725SDUDPHWHUVLQ7DEOH 7;9(&725DQG5;9(&725SDUDPHWHUV 7KH+(3+<SDUDPH

WHUVQRWOLVWHGLQ7DEOHDUHQRWSUHVHQW$0+]RQO\QRQ$3+(67$VXSSRUWV+7UHFHSWLRQRQO\RQ


 0+]FKDQQHOZLGWK

 6XSSRUWIRU9+7IRUPDW


 7KH EHKDYLRU RI DQ +( 3+< RQ UHFHLSW RI D 3+<7;67$57UHTXHVW 7;9(&725  SULPLWLYH ZLWK WKH
 7;9(&725SDUDPHWHU)250$7HTXDOWR9+7LVGHILQHGLQ&ODXVH 9HU\+LJK7KURXJKSXW 9+7 
 3+<VSHFLILFDWLRQ H[FHSWWKDWWKHUHTXLUHPHQWVLQ 7UDQVPLWFHQWHUIUHTXHQF\DQGV\PEROFORFN 

IUHTXHQF\WROHUDQFH DSSO\LQVWHDGRIWKHUHTXLUHPHQWVLQ 7UDQVPLWFHQWHUIUHTXHQF\WROHUDQFH 


 7KH +( 3+< 7;9(&725 SDUDPHWHUV LQ 7DEOH 7;9(&725 DQG 5;9(&725 SDUDPHWHUV  DUH
 PDSSHGGLUHFWO\WRWKH&ODXVH 9HU\+LJK7KURXJKSXW 9+7 3+<VSHFLILFDWLRQ 7;9(&725SDUDPH

WHUVLQ7DEOH 7;9(&725DQG5;9(&725SDUDPHWHUV 7KH+(3+<SDUDPHWHUVQRWOLVWHGLQ7DEOH

 DUHQRWSUHVHQW7KH0+]RQO\QRQ$3+(67$VXSSRUWV9+7WUDQVPLVVLRQRQO\RQ0+]FKDQ
 QHOZLGWK

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 2QUHFHLSWRID3+<&21),*UHTXHVW 3+<&21),*B9(&725 SULPLWLYHWKH+(3+<EHKDYHVIRUWKH


 SXUSRVHVRI9+733'8WUDQVPLVVLRQDQGUHFHSWLRQDVLILWZHUHD&ODXVH 9HU\+LJK7KURXJKSXW 9+7 

3+<VSHFLILFDWLRQ 3+<WKDWUHFHLYHGWKH3+<&21),*UHTXHVW 3+<&21),*B9(&725 SULPLWLYH


 $VGHILQHGLQ +(UHFHLYHSURFHGXUH RQFHD33'8LVUHFHLYHGDQGGHWHFWHGDVDQ9+733'8WKH
 EHKDYLRURIWKH+(3+<LVGHILQHGLQ&ODXVH 9HU\+LJK7KURXJKSXW 9+7 3+<VSHFLILFDWLRQ 7KH

5;9(&725SDUDPHWHUVLQ7DEOH 7;9(&725DQG5;9(&725SDUDPHWHUV DUHPDSSHGGLUHFWO\WR 

 WKH 5;9(&725 SDUDPHWHUV LQ 7DEOH 7;9(&725 DQG 5;9(&725 SDUDPHWHUV  7KH +( 3+< 
 SDUDPHWHUVQRWOLVWHGLQ7DEOHDUHQRWSUHVHQW$0+]RQO\QRQ$3+(67$VXSSRUWV9+7UHFHS
 WLRQRQO\RQ0+]FKDQQHOZLGWK


 +(3+<


 ,QWURGXFWLRQ


 7KLV VXEFODXVH SURYLGHV WKH SURFHGXUH E\ ZKLFK 36'8V DUH FRQYHUWHG WR DQG IURP WUDQVPLVVLRQV RQ WKH
 ZLUHOHVVPHGLXP


'XULQJWUDQVPLVVLRQD36'8 LQWKH68FDVH RURQHRUPRUH36'8V LQWKH08FDVH DUHSURFHVVHG LH

 VFUDPEOHGDQGFRGHG DQGDSSHQGHGWRWKH3+<SUHDPEOHWRFUHDWHWKH33'8$WWKHUHFHLYHUWKH3+<SUH
 DPEOHLVSURFHVVHGWRDLGLQWKHGHWHFWLRQGHPRGXODWLRQDQGGHOLYHU\RIWKH36'8



08WUDQVPLVVLRQ

 7KH08WUDQVPLVVLRQVLQFOXGH'/08WUDQVPLVVLRQVDQG8/08WUDQVPLVVLRQV


 '/08WUDQVPLVVLRQDOORZVDQ$3WRVLPXOWDQHRXVO\WUDQVPLWLQIRUPDWLRQWRPRUHWKDQRQHQRQ$367$
 )RUD'/08WUDQVPLVVLRQWKH$3XVHVWKH+(0833'8IRUPDWDQGHPSOR\VHLWKHU'/2)'0$'/ 
 080,02RUDPL[WXUHRIERWK8/08WUDQVPLVVLRQDOORZVDQ$3WRVLPXOWDQHRXVO\UHFHLYHLQIRUPDWLRQ 
 IURPPRUHWKDQRQHQRQ$367$8/08WUDQVPLVVLRQVDUHSUHFHGHGE\DWULJJHULQJIUDPHIURPWKH$3

 7KH QRQ$3 67$V WUDQVPLW XVLQJ WKH +( 7% 33'8 IRUPDW DQG HPSOR\ HLWKHU 8/ 2)'0$ 8/ 08
 0,02RUDPL[WXUHRIERWK

 7KH+(3+<VXSSRUWV2)'0$WUDQVPLVVLRQVERWKLQWKH'/DQGWKH8/ZKHUHGLIIHUHQWXVHUVFDQRFFXS\ 

 GLIIHUHQW58VLQD33'8 VHH 0DWKHPDWLFDOGHVFULSWLRQRIVLJQDOV 7KHWUDQVPLVVLRQZLWKLQDQ
 58LQD33'8PD\EHDVLQJOHVWUHDPWRRQHXVHUVSDWLDOO\PXOWLSOH[HGWRRQHXVHU 680,02 RUVSD
 WLDOO\PXOWLSOH[HGWRPXOWLSOHXVHUV 080,02 

 127(²7KH9+73+<VXSSRUWVRQO\IXOOEDQGZLGWK'/080,02DVGHVFULEHGLQ 680,02DQG'/08
 0,02%HDPIRUPLQJ 

 7KH+(3+<VXSSRUWV'/080,02DQG8/080,02IRUERWKWKHIXOOEDQGZLGWKFDVHDVZHOODVIRU

 WKHSDUWLDOEDQGZLGWKFDVHZKHUH080,02LVXVHGRQO\RQFHUWDLQ58VLQWKH33'87KHFRPELQDWLRQRI
 68WUDQVPLVVLRQVDQG080,02WUDQVPLVVLRQVRQGLIIHUHQW58VLQRQH33'8LVDOVRVXSSRUWHG

 2)'0$


 2)'0$LVDQ2)'0EDVHGPXOWLSOHDFFHVVVFKHPHZKHUHGLIIHUHQWVXEVHWVRIVXEFDUULHUVDUHDOORFDWHGWR 
 GLIIHUHQWXVHUVDOORZLQJVLPXOWDQHRXVGDWDWUDQVPLVVLRQWRRUIURPRQHRUPRUHXVHUV,Q2)'0$XVHUVDUH

DOORFDWHG GLIIHUHQW VXEVHWV RI VXEFDUULHUV WKDW FDQ FKDQJH IURP RQH 33'8 WR WKH QH[W 7KH GLIIHUHQFH

 EHWZHHQ2)'0DQG2)'0$LVLOOXVWUDWHGLQ)LJXUH ,OOXVWUDWLRQRI2)'0DQG2)'0$FRQFHSWV 
 6LPLODUWR2)'02)'0$HPSOR\VPXOWLSOHVXEFDUULHUVEXWWKHVXEFDUULHUVDUHGLYLGHGLQWRVHYHUDOJURXSV

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ZKHUHHDFKJURXSLVUHIHUUHGWRDVDQ58:LWK2)'0$GLIIHUHQWWUDQVPLWSRZHUVPD\EHDSSOLHGWRGLIIHU
 HQW58V



 K&D

^ƵďĐĂƌƌŝĞƌƐŝŶ&ƌĞƋƵĞŶĐLJ



 hƐĞƌ





 K&D
 hƐĞƌ
^ƵďĐĂƌƌŝĞƌƐŝŶ&ƌĞƋƵĞŶĐLJ


 hƐĞƌ
 hƐĞƌ

 hƐĞƌ





 )LJXUH²,OOXVWUDWLRQRI2)'0DQG2)'0$FRQFHSWV


6XEFDUULHUDQGUHVRXUFHDOORFDWLRQ


 *HQHUDO

 $Q2)'0V\PEROLVFRQVWUXFWHGRIVXEFDUULHUVWKHQXPEHURIZKLFKLVDIXQFWLRQRIWKH33'8EDQGZLGWK


7KHUHDUHVHYHUDOVXEFDUULHUW\SHV
  'DWDVXEFDUULHUVZKLFKDUHXVHGIRUGDWDWUDQVPLVVLRQ VHH 5HVRXUFHXQLWJXDUGDQG
 '&VXEFDUULHUV

  3LORW VXEFDUULHUV ZKLFK DUH XVHG IRU SKDVH LQIRUPDWLRQ DQG SDUDPHWHU WUDFNLQJ VHH 

 3LORWVXEFDUULHUV

  8QXVHGVXEFDUULHUVZKLFKDUHQRWXVHGIRUHLWKHUGDWDRUSLORWWUDQVPLVVLRQ7KHXQXVHGVXE
 FDUULHUV DUH WKH '& VXEFDUULHU VHH  5HVRXUFH XQLW JXDUG DQG '& VXEFDUULHUV  WKH
 *XDUGEDQGVXEFDUULHUVDWWKHEDQGHGJHV VHH 5HVRXUFHXQLWJXDUGDQG'&VXEFDUUL
 HUV DQGWKH1XOOVXEFDUULHUV VHH 1XOOVXEFDUULHUV 


 7KHIROORZLQJQRWDWLRQLVXVHGWRGHVFULEHWKHLQGLFHVIRUDVHWRIVXEFDUULHUV
 ² >x1y1@UHSUHVHQWVWKHVHWRIVXEFDUULHUVZLWKLQGH[kWKDWVDWLVILHVx1”k”y1

 ² >x1y1x2y2@UHSUHVHQWVWKHVHWRIVXEFDUULHUVZLWKLQGH[kWKDWVDWLVILHVHLWKHUx1”k”y1RUx2”k”

 y2

 5HVRXUFHXQLWJXDUGDQG'&VXEFDUULHUV


 7KH58VGHILQHGIRU'/DQG8/WUDQVPLVVLRQDUHDVIROORZVWRQH58WRQH58WRQH58
 WRQH58WRQH58WRQH58DQGîWRQH58


7KHWRQH58WRQH58WRQH58DQGWRQH58DUHXVHGLQWKH0+]0+]0+]

 0+]DQG0+]+(0833'8IRUPDW7KHWRQH58WRQH58DQGWRQH58DUHXVHG
 LQWKH0+]0+]0+]0+]DQG0+]+(7%33'8IRUPDW7KHWRQH58LVXVHG


&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 LQWKH0+]0+]0+]0+]DQG0+]+(7%33'8IRUPDWXQOHVVD67$LVRSHUDW
 LQJ LQ DQ RSHUDWLQJ FODVV IRU ZKLFK WKH EHKDYLRU OLPLWV VHW OLVWHG LQ $QQH[ ( LQFOXGHV WKH ')6BBB

%HKDYLRU VHH *HQHUDO DQG 1RQ$367$EHKDYLRUIRU8/08RSHUDWLRQ 7KH

 WRQH58LVXVHGLQWKH+((56833'8IRUPDW

 7KHWRQH58LVXVHGLQWKH0+]0+]0+]DQG0+]+(0833'8DQG+(7% 
 33'8IRUPDWV7KHWRQH58LVXVHGLQWKH0+]0+]DQG0+]+(0833'8DQG+(

7%33'8IRUPDWV7KHîWRQH58LVXVHGLQWKH0+]DQG0+]+(0833'8IRUPDWDQG

 0+]DQG0+]+(7%33'8IRUPDW

 7KHWRQHDQGODUJHU58VDUHXVHGLQWKH+(6833'8IRUPDW7KHWRQH58LVXVHGLQWKH0+]
 +(6833'8DQG+((56833'8IRUPDWV7KHWRQH58LVXVHGLQWKH0+]+(6833'8IRU

PDW7KHWRQH58LVXVHGLQWKH0+]+(6833'8IRUPDW7KHîWRQH58LVXVHGLQWKH 

 0+]DQG0+]+(6833'8IRUPDWV

 7KHPD[LPXPQXPEHURI58VLQWKH0+]0+]0+]0+]DQG0+]+(33'8IRU
 PDWVDUHGHILQHGLQ7DEOH 0D[LPXPQXPEHURI58VIRUHDFKFKDQQHOZLGWK 



 7DEOH²0D[LPXPQXPEHURI58VIRUHDFKFKDQQHOZLGWK


 &%:DQG
58W\SH &%: &%: &%:
 &%:

 WRQH58    
 WRQH58    

 WRQH58    

 WRQH58    

 WRQH58 1$   

 WRQH58 1$ 1$  
 îWRQH58 1$ 1$ 1$ 



 $Q+(0833'8XVLQJ2)'0$WUDQVPLVVLRQFDQFDUU\DPL[WXUHRIDQG

WRQH58V


 $WRQH58FRQVLVWVRIGDWDVXEFDUULHUVDQGSLORWVXEFDUULHUV7KHSRVLWLRQVRIWKHSLORWVIRUWKH
 WRQH58DUHGHILQHGLQ 3LORWVXEFDUULHUV 7KHORFDWLRQRIWKHWRQH58VDUHIL[HGDVGHILQHGLQ
 7DEOH 'DWDDQG SLORW VXEFDUULHULQGLFHV IRU58V LQD0+]+( 33'8 DQG LQ DQRQ2)'0$ 

0+]+(33'8 7DEOH 'DWDDQGSLORWVXEFDUULHULQGLFHVIRU58VLQD0+]+(33'8DQGLQD















 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 QRQ2)'0$0+]+(33'8 DQG7DEOH 'DWDDQGSLORWVXEFDUULHULQGLFHVIRU58VLQDQ0+]


 +(33'8DQGLQDQRQ2)'0$0+]+(33'8 



 7DEOH²'DWDDQGSLORWVXEFDUULHULQGLFHVIRU58VLQD0+]+(33'8DQGLQDQRQ2)'0$
 0+]+(33'8


 58W\SH 58LQGH[DQGVXEFDUULHUUDQJH

 58 58 58 58 58
 >±±@ >±±@ >±±@ >±±@ >±±@
 WRQH58
 58 58 58 58
 >@ >@ >@ >@
 58 58 58 58
 WRQH58 >±±@ >±±@ >@ >@

 58 58
 WRQH58 >±±@ >@

 58
WRQH58
 >±±@

 7KHVXEFDUULHULQGH[RIFRUUHVSRQGVWRWKH'&WRQH1HJDWLYHVXEFDUULHULQGLFHVFRUUHVSRQGWRVXEFDUULHVZLWKIUHTXHQF\
 ORZHUWKDQWKH'&WRQHDQGSRVLWLYHVXEFDUULHULQGLFHVFRUUHVSRQGWRVXEFDUULHUVZLWKIUHTXHQF\KLJKHUWKDQWKH'&WRQH

 58LVWKHPLGGOHWRQH58



7DEOH²'DWDDQGSLORWVXEFDUULHULQGLFHVIRU58VLQD0+]+(33'8DQGLQDQRQ

 2)'0$0+]+(33'8


 58W\SH 58LQGH[DQGVXEFDUULHUUDQJH

 58 58 58 58 58
 >±±@ >±±@ >±±@ >±±@ >±±@
 58 58 58 58
 >±±@ >±±@ >±±@ >±±@
 WRQH58
 58 58 58 58 58
 >@ >@ >@ >@ >@

 58 58 58 58
 >@ >@ >@ >@

 58 58 58 58
 >±±@ >±±@ >±±@ >±±@
 WRQH58
 58 58 58 58
 >@ >@ >@ >@
 58 58 58 58
 WRQH58
>±±@ >±±@ >@ >@

 58 58
 WRQH58
>±±@ >@

 58
WRQH58
 >±±@




&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²'DWDDQGSLORWVXEFDUULHULQGLFHVIRU58VLQD0+]+(33'8DQGLQDQRQ
 2)'0$0+]+(33'8(continued)


 58W\SH 58LQGH[DQGVXEFDUULHUUDQJH

 7KHVXEFDUULHULQGH[RIFRUUHVSRQGVWRWKH'&WRQH1HJDWLYHVXEFDUULHULQGLFHVFRUUHVSRQGWRVXEFDUULHVZLWKIUHTXHQF\
 ORZHUWKDQWKH'&WRQHDQGSRVLWLYHVXEFDUULHULQGLFHVFRUUHVSRQGWRVXEFDUULHUVZLWKIUHTXHQF\KLJKHUWKDQWKH'&WRQH



 7DEOH²'DWDDQGSLORWVXEFDUULHULQGLFHVIRU58VLQDQ0+]+(33'8DQGLQDQRQ
 2)'0$0+]+(33'8


 58W\SH 58LQGH[DQGVXEFDUULHUUDQJH

 58 58 58 58 58
 >±±@ >±±@ >±±@ >±±@ >±±@

 58 58 58 58
 >±±@ >±±@ >±±@ >±±@

 58 58 58 58 58
 >±±@ >±±@ >±±@ >±±@ >±±@
 58 58 58 58 58
 >±±@ >±±@ >±±@ >±±@ >±±@
 WRQH58
 58 58 58 58 58
 >@ >@ >@ >@ >@

 58 58 58 58
 >@ >@ >@ >@

 58 58 58 58 58
 >@ >@ >@ >@ >@

 58 58 58 58
 >@ >@ >@ >@
 58 58 58 58
 >±±@ >±±@ >±±@ >±±@

 58 58 58 58
 >±±@ >±±@ >±±@ >±±@
 WRQH58
 58 58 58 58
 >@ >@ >@ >@

 58 58 58 58
 >@ >@ >@ >@

 58 58 58 58
 >±±@ >±±@ >±±@ >±±@
WRQH58
 58 58 58 58
 >@ >@ >@ >@

 58 58 58 58
 WRQH58
>±±@ >±±@ >@ >@

 58 58
WRQH58
 >±±@ >@





 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²'DWDDQGSLORWVXEFDUULHULQGLFHVIRU58VLQDQ0+]+(33'8DQGLQDQRQ
 2)'0$0+]+(33'8(continued)


 58W\SH 58LQGH[DQGVXEFDUULHUUDQJH

 58
 WRQH58
>±±@

 7KHVXEFDUULHULQGH[RIFRUUHVSRQGVWRWKH'&WRQH1HJDWLYHVXEFDUULHULQGLFHVFRUUHVSRQGWRVXEFDUULHVZLWKIUHTXHQF\
 ORZHUWKDQWKH'&WRQHDQGSRVLWLYHVXEFDUULHULQGLFHVFRUUHVSRQGWRVXEFDUULHUVZLWKIUHTXHQF\KLJKHUWKDQWKH'&WRQH

 58LVWKHFHQWHUWRQH58



 7KHGDWDDQGSLORWVXEFDUULHULQGLFHVIRUDQRQ2)'0$0+]+(33'8DUHWKHVDPHDVWKRVHIRUD
 WRQH58

 7KH ORFDWLRQ RI WKH WRQH 58V DUH VKRZQ LQ )LJXUH 58 ORFDWLRQV LQ D  0+] +( 33'8 

)LJXUH 58ORFDWLRQVLQD0+]+(33'8 DQG)LJXUH 58ORFDWLRQVLQDQ0+]+(33'8 

 IRUWKH0+]0+]DQG0+]+(0833'8IRUPDWVRU+(7%33'8IRUPDWVXVLQJ2)'0$ 
 WUDQVPLVVLRQUHVSHFWLYHO\7KHVDPHVWUXFWXUHDVXVHGIRUWKH0+]+(0833'8IRUPDWVRU+(7% 
 33'8IRUPDWVXVLQJ2)'0$WUDQVPLVVLRQLVXVHGIRUERWKWKH3ULPDU\0+]DQG6HFRQGDU\0+]
 FKDQQHOV LQ WKH 0+] DQG 0+] +( 08 33'8 RU +( 7% 33'8 IRUPDWV XVLQJ 2)'0$ 

WUDQVPLVVLRQ



 *XDUG 1XOO *XDUG
 6XEFDUULHUV


 0LGGOH
 WRQH58

          




      



    


 '&


 


 '&

 )LJXUH²58ORFDWLRQVLQD0+]+(33'8








&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU



 *XDUG 1XOO 1XOO *XDUG
 6XEFDUULHUV 6XEFDUULHUV





                  




         




      



  





 


 '&

 )LJXUH²58ORFDWLRQVLQD0+]+(33'8
































 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU



 1XOO &HQWHUWRQH 1XOO
 6XEFDUULHUV 58 6XEFDUULHUV
 *XDUG *XDUG
 



                  

                 



                    




           




    



  


 '&


 


 '&

 )LJXUH²58ORFDWLRQVLQDQ0+]+(33'8



$WRQH58FRQVLVWVRIGDWDVXEFDUULHUVDQGSLORWVXEFDUULHUV7KHSRVLWLRQVRIWKHSLORWVIRUWKH
 WRQH58DUHGHILQHGLQ 3LORWVXEFDUULHUV 7KHORFDWLRQVRIWKHWRQH58VDUHIL[HGDVGHILQHGLQ
 7DEOH 'DWDDQG SLORW VXEFDUULHULQGLFHV IRU58V LQD0+]+( 33'8 DQG LQ DQRQ2)'0$ 
 0+]+(33'8 7DEOH 'DWDDQGSLORWVXEFDUULHULQGLFHVIRU58VLQD0+]+(33'8DQGLQD
 QRQ2)'0$0+]+(33'8 DQG7DEOH 'DWDDQGSLORWVXEFDUULHULQGLFHVIRU58VLQDQ0+]


+(33'8DQGLQDQRQ2)'0$0+]+(33'8 DQGLOOXVWUDWHGLQ)LJXUH 58ORFDWLRQVLQD 
 0+]+(33'8 )LJXUH 58ORFDWLRQVLQD0+]+(33'8 DQG)LJXUH 58ORFDWLRQVLQDQ
 0+]+(33'8 IRUWKH0+]0+]DQG0+]+(0833'8IRUPDWVRU+(7%33'8IRUPDWV
 XVLQJ2)'0$WUDQVPLVVLRQUHVSHFWLYHO\7KHVDPHVWUXFWXUHDVXVHGLQWKH0+]+(0833'8IRUPDW
 RU+(7%33'8IRUPDWVXVLQJ2)'0$WUDQVPLVVLRQLVXVHGIRUERWKWKH3ULPDU\0+]DQG6HFRQGDU\ 


0+]FKDQQHOVLQWKH0+]DQG0+]+(0833'8IRUPDWVRU+(7%33'8IRUPDWVXVLQJ
 2)'0$WUDQVPLVVLRQ


$WRQH58FRQVLVWVRIGDWDVXEFDUULHUVDQGSLORWVXEFDUULHUV7KHSRVLWLRQVRIWKHSLORWVIRUWKH

 WRQH 58 DUH GHILQHG LQ  3LORW VXEFDUULHUV  7KH ORFDWLRQV RI WKH WRQH 58V DUH IL[HG DV
 GHILQHG LQ 7DEOH 'DWD DQG SLORW VXEFDUULHU LQGLFHV IRU 58V LQ D  0+] +( 33'8 DQG LQ D QRQ
 2)'0$0+]+(33'8 7DEOH 'DWDDQGSLORWVXEFDUULHULQGLFHVIRU58VLQD0+]+(33'8 
 DQGLQDQRQ2)'0$0+]+(33'8 DQG7DEOH 'DWDDQGSLORWVXEFDUULHULQGLFHVIRU58VLQDQ 

0+]+(33'8DQGLQDQRQ2)'0$0+]+(33'8 DQGLOOXVWUDWHGLQ)LJXUH 58ORFDWLRQV

 LQD0+]+(33'8 )LJXUH 58ORFDWLRQVLQD0+]+(33'8 DQG)LJXUH 58ORFDWLRQV
 LQDQ0+]+(33'8 IRUWKH0+]0+]DQG0+]+(0833'8IRUPDWVRU+(7%33'8 

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 IRUPDWVXVLQJ2)'0$WUDQVPLVVLRQUHVSHFWLYHO\7KHVDPHVWUXFWXUHDVXVHGLQWKH0+]+(0833'8

 IRUPDWVRU+(7%33'8IRUPDWVXVLQJ2)'0$WUDQVPLVVLRQLVXVHGIRUERWKWKH3ULPDU\0+]DQG6HF


RQGDU\0+]FKDQQHOVLQWKH0+]DQG0+]+(0833'8IRUPDWVRU+(7%33'8IRUPDWV
 XVLQJ2)'0$WUDQVPLVVLRQ


 $WRQH58FRQVLVWVRIGDWDVXEFDUULHUVDQGSLORWVXEFDUULHUV7KHSRVLWLRQVRISLORWVIRUWKH
 WRQH58DUHGHILQHGLQ 3LORWVXEFDUULHUV 7KHORFDWLRQVRIWKHWRQH58VDUHIL[HGDVGHILQHGLQ
 7DEOH 'DWDDQG SLORW VXEFDUULHULQGLFHV IRU58V LQD0+]+( 33'8 DQG LQ DQRQ2)'0$ 

0+]+(33'8 7DEOH 'DWDDQGSLORWVXEFDUULHULQGLFHVIRU58VLQD0+]+(33'8DQGLQD

 QRQ2)'0$0+]+(33'8 DQG7DEOH 'DWDDQGSLORWVXEFDUULHULQGLFHVIRU58VLQDQ0+]
 +(33'8DQGLQDQRQ2)'0$0+]+(33'8 DQGLOOXVWUDWHGLQ)LJXUH 58ORFDWLRQVLQD 
 0+]+(33'8 )LJXUH 58ORFDWLRQVLQD0+]+(33'8 DQG)LJXUH 58ORFDWLRQVLQDQ
 0+]+(33'8 IRUWKH0+]0+]DQG0+]+(33'8IRUPDWVUHVSHFWLYHO\7KHVDPHVWUXF

 WXUHDVXVHGLQWKH0+]+(33'8IRUPDWVLVXVHGIRUERWKWKH3ULPDU\0+]DQG6HFRQGDU\0+]
 FKDQQHOVLQWKH0+]DQG0+]+(33'8IRUPDWV


 $WRQH58FRQVLVWVRIGDWDVXEFDUULHUVDQGSLORWVXEFDUULHUV7KHSRVLWLRQRIWKHSLORWVIRUWKH
 WRQH 58 LV GHILQHG LQ  3LORW VXEFDUULHUV  7KH ORFDWLRQV RI WKH WRQH 58V DUH IL[HG DV
 GHILQHG LQ 7DEOH 'DWD DQG SLORW VXEFDUULHU LQGLFHV IRU 58V LQ D  0+] +( 33'8 DQG LQ D QRQ

 2)'0$0+]+(33'8 DQG7DEOH 'DWDDQGSLORWVXEFDUULHULQGLFHVIRU58VLQDQ0+]+( 
 33'8DQGLQDQRQ2)'0$0+]+(33'8 DQGLOOXVWUDWHGLQ)LJXUH 58ORFDWLRQVLQD0+]
 +(33'8 DQG)LJXUH 58ORFDWLRQVLQDQ0+]+(33'8 IRUWKH0+]DQG0+]+(33'8 
 IRUPDWV7KHVDPHVWUXFWXUHDVXVHGIRUWKH0+]+(33'8IRUPDWVLVXVHGIRUERWKWKH3ULPDU\0+]

 DQG6HFRQGDU\0+]FKDQQHOVLQWKH0+]DQG0+]+(33'8IRUPDWV


 $WRQH58FRQVLVWVRIGDWDVXEFDUULHUVDQGSLORWVXEFDUULHUV7KHSRVLWLRQRIWKHSLORWVIRUWKH
 WRQH 58 LV GHILQHG LQ  3LORW VXEFDUULHUV  7KH ORFDWLRQV RI WKH WRQH 58V DUH IL[HG DQG

 ORFDWHGRQVXEFDUULHU>± ± ± ±@DQG>@IRUHDFKKDOIRIWKH%:UHVSHF
 WLYHO\IRU0+]DQG0+]+(33'8IRUPDWV


 $îWRQH58FRQVLVWVRIWZRWRQH58VRQH58LQHDFKRIWKH0+]FKDQQHOVIRU0+]DQG


0+]+(33'8IRUPDWV



7KH0+]+(0833'8DQG+(7%33'8ZLWKRQHRUPRUH58VVPDOOHUWKDQWRQHVKDYH'& 
 VXEFDUULHUVORFDWHGDW>±@7KH0+]+(6833'8+(0833'8DQG+(7%33'8ZLWKDWRQH
 58KDYH'&VXEFDUULHUVORFDWHGDW>±@7KH0+]+(33'8KDV'&VXEFDUULHUVORFDWHGDW>±@
 7KH0+]+(0833'8DQG+(7%33'8ZLWKRQHRUPRUH58VVPDOOHUWKDQWRQHVKDYH'& 

VXEFDUULHUVORFDWHGDW>±@7KH0+]+(6833'8+(0833'8DQG+(7%33'8ZLWKDWRQH

 58KDYH'&VXEFDUULHUVORFDWHGDW>±@7KHVWUXFWXUHXVHGLQWKH0+]+(33'8LVXVHGIRUERWK 
 WKH3ULPDU\0+]DQG6HFRQGDU\0+]FKDQQHOVLQWKH0+]DQG0+]+(33'87KH'& 
 VXEFDUULHUVDUHORFDWHGRQVXEFDUULHUV>±@


 7KH 0+] +( 33'8 KDV  JXDUG VXEFDUULHUV WKH  ORZHVW IUHTXHQF\ VXEFDUULHUV >± ±@ DQG 
 KLJKHVWIUHTXHQF\VXEFDUULHUV>@DVVKRZQLQ)LJXUH 58ORFDWLRQVLQD0+]+(33'8 

 7KH0+]+(33'8KDVJXDUGVXEFDUULHUVWKHORZHVWIUHTXHQF\VXEFDUULHUV>± ±@DQGWKH
 KLJKHVWIUHTXHQF\VXEFDUULHUV>@DVVKRZQLQ)LJXUH 58ORFDWLRQVLQD0+]+(33'8 
 7KH0+]+(33'8KDVJXDUGVXEFDUULHUVWKHORZHVWIUHTXHQF\VXEFDUULHUV>± ±@DQGWKH
  KLJKHVW IUHTXHQF\ VXEFDUULHUV > @ DV VKRZQ LQ )LJXUH 58 ORFDWLRQV LQ DQ  0+] +(


 33'8 )RUWKH0+]DQG0+]+(33'8WKHVDPHQXPEHURIORZHVWIUHTXHQF\DQGKLJKHVWIUH
 TXHQF\JXDUGVXEFDUULHUVDV0+]DUHGHILQHGDWHDFKHGJHRIWKH0+]DQG0+]

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 1XOOVXEFDUULHUV


7KHUHDUHQXOOVXEFDUULHUVEHWZHHQWKHDQGWRQH58ORFDWLRQVDVLOOXVWUDWHGLQ)LJXUH 58


 ORFDWLRQVLQD0+]+(33'8 )LJXUH 58ORFDWLRQVLQD0+]+(33'8 DQG)LJXUH 58 
 ORFDWLRQVLQDQ0+]+(33'8 7KHQXOOVXEFDUULHUVDUHORFDWHGQHDUWKH'&RUHGJHWRQHVWRSURYLGH
 SURWHFWLRQIURPWUDQVPLWFHQWHUIUHTXHQF\OHDNDJHUHFHLYHU'&RIIVHWDQGLQWHUIHUHQFHIURPQHLJKERULQJ 
 58V7KHQXOOVXEFDUULHUVKDYH]HURHQHUJ\7KHLQGLFHVRIWKHQXOOVXEFDUULHUDUHHQXPHUDWHGLQ7DEOH

 1XOOVXEFDUULHULQGLFHV 



 7DEOH²1XOOVXEFDUULHULQGLFHV


 &KDQQHO:LGWK 586L]H 1XOO6XEFDUULHU,QGLFHV

  ““

 0+]  QRQH
  QRQH

  ““““““““

 0+]  ““““

  QRQH

  ““““““““““
 ““““““
  ““““““““
 0+]
  QRQH

  QRQH

  ^QXOOVXEFDUULHULQGLFHVLQ0+]±QXOOVXEFDUULHULQGLFHV
 LQ0+]`
 0+]
  QRQH
 î



7KHQXOOVXEFDUULHUVORFDWLRQVIRUHDFK0+]IUHTXHQF\VHJPHQWRIDQ0+]+(33'8VKDOOIROORZ


 WKHORFDWLRQVRIDQ0+]+(33'8

 3LORWVXEFDUULHUV


:LWKLQWKH+(PRGXODWHGILHOGV VHH 0DWKHPDWLFDOGHVFULSWLRQRIVLJQDOV RIDQ+(33'8SLORW

 VXEFDUULHUVDUHSUHVHQWLQWKH'DWDILHOGDQGPD\EHSUHVHQWLQWKH+(/7)ILHOG VHH +(/7) 
 7KHSLORWVXEFDUULHULQGLFHVIRUWKH'DWDILHOG2)'0V\PEROVDUHGHILQHGLQ 3LORWVXEFDUULHUV 

 2QHRIWKUHH+(/7)W\SHVLVXVHGLQWKH+(/7)ILHOGRIDQ+(33'8[+(/7)[+(/7)DQG[

+(/7) VHH +(/7) ,ISLORWVXEFDUULHUVDUHSUHVHQWLQWKH+(/7)ILHOGRIDQ+(33'8

 WKHQIRUD[+(/7)DQG[+(/7)WKHSLORWVXEFDUULHUORFDWLRQVLQWKH+(/7)ILHOGDUHWKHVDPHDVWKH
 SLORWVXEFDUULHUORFDWLRQVLQWKH'DWDILHOG)RUD[+(/7)WKHSLORWVXEFDUULHUORFDWLRQVLQWKH+(/7)

 ILHOGDUHWKHSLORWVXEFDUULHUVORFDWLRQVLQWKH'DWDILHOGWKDWDUHPXOWLSOHVRI


5HVRXUFHLQGLFDWLRQDQG8VHULGHQWLILFDWLRQLQDQ+(0833'8


 $Q$3WKDWWUDQVPLWVDQ+(0833'8VKDOOVHWWKH8/'/ILHOGLQWKH+(6,*$ILHOGWR

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KH+(6,*%ILHOGFRQVLVWVRIRQHRUWZR+(6,*%FRQWHQWFKDQQHOVZLWKHDFK+(6,*%FRQWHQWFKDQ
 QHOFRQYH\LQJXVHUDOORFDWLRQIRURQHRUPRUH0+]VXEFKDQQHOV$0+]+(0833'8KDVRQH+(


6,*%FRQWHQWFKDQQHOZKLOHDQ+(0833'8ZLWKJUHDWHUWKDQ0+]33'8EDQGZLGWKKDVWZR+(
 6,*%FRQWHQWFKDQQHOV


 $IXOOEDQGZLGWK080,02WUDQVPLVVLRQXVLQJWKH+(0833'8IRUPDWVKDOOKDYHDYDOXHRIIRUWKH
 +(6,*%&RPSUHVVLRQILHOGLQ+(6,*$ZKHUHWKH&RPPRQILHOGLQ+(6,*%LVQRWSUHVHQWWKH+( 
 PRGXODWHGILHOGVRIWKH33'8FRQVLVWRIRQH58WKDWVSDQVWKHHQWLUH33'8EDQGZLGWKDQGWKHSUHDPEOHLV
 QRWSXQFWXUHG7KHQXPEHURIXVHUVLQWKH080,02JURXSLVLQGLFDWHGLQWKH1XPEHU2I+(6,*%6\P

 EROV2U080,028VHUVILHOGLQ+(6,*$7KHDOORFDWHGVSDWLDOVWUHDPVIRUHDFKXVHUDQGWKHWRWDOQXP
 EHU RI VSDWLDO VWUHDPV DUH LQGLFDWHG LQ WKH 6SDWLDO &RQILJXUDWLRQ ILHOG RI WKH 8VHU ILHOG LQ +(6,*%

 FRQWDLQLQJWKH67$,'RIWKHGHVLJQDWHG080,0267$DVGHILQHGLQ7DEOH 6SDWLDO&RQILJXUDWLRQ 
 VXEILHOGHQFRGLQJ 


 ,IWKHYDOXHRI+(6,*%&RPSUHVVLRQILHOGLQ+(6,*$LVWKHQWKH58$OORFDWLRQVXEILHOGLQWKH&RP


PRQILHOGLQHDFK+(6,*%FRQWHQWFKDQQHOLQGLFDWHVWKHFRPELQDWLRQRI58VLQWKHFXUUHQW33'8DQGWKH
 QXPEHU RI 8VHU ILHOGV LQFOXGHG LQ WKH FRUUHVSRQGLQJ +(6,*% FRQWHQW FKDQQHO IRU HDFK 58 6HH
  +(6,*%FRQWHQWFKDQQHOV IRUDGHVFULSWLRQRIWKH+(6,*%FRQWHQWFKDQQHOV


 ,IWKHUHLVRQO\RQH8VHUILHOG VHH7DEOH 8VHUILHOGIRUPDWIRUDQRQ080,02DOORFDWLRQ IRUDQ
 58LQWKH+(6,*%FRQWHQWFKDQQHOWKHQWKHQXPEHURIVSDWLDOVWUHDPVIRUWKHXVHULQWKH58LVLQGLFDWHG

 E\WKH1676ILHOGLQWKH8VHUILHOG


 ,IWKHUHLVPRUHWKDQRQH8VHUILHOG VHH7DEOH 8VHUILHOGIRUPDWIRUD080,02DOORFDWLRQ IRUDQ 

 58LQWKH+(6,*%FRQWHQWFKDQQHOWKHQWKHQXPEHURIDOORFDWHGVSDWLDOVWUHDPVIRUHDFKXVHULQWKH58LV
 LQGLFDWHGE\WKH6SDWLDO&RQILJXUDWLRQILHOGRIWKH8VHUILHOGLQ+(6,*%1RWHWKDWLIWKHYDOXHRI+(
 6,*%&RPSUHVVLRQILHOGLQ+(6,*$LVIRUDQ58ZLWKRUPRUHVXEFDUULHUVDQGKDYLQJWZRRUPRUH
 LQWHQGHGXVHUVWKH8VHUILHOGVFRUUHVSRQGLQJWRWKH58PD\EHVSOLWEHWZHHQWZR+(6,*%FRQWHQWFKDQ


QHOV,QWKLVFDVHWKHWRWDOQXPEHURIXVHUVDQGWKHWRWDOQXPEHURIVSDWLDOVWUHDPVLQWKH58DUHWKHVXPRI
 WKHQXPEHURIXVHUVDQGQXPEHURIVSDWLDOVWUHDPVSHUXVHUUHVSHFWLYHO\LQGLFDWHGLQERWK+(6,*%FRQ
 WHQWFKDQQHOV)RU33'8EDQGZLGWKVJUHDWHUWKDQ0+]WKHVSOLWLVDQHTXLWDEOHVSOLWLQWKHFDVHRIIXOO
 EDQGZLGWK'/080,02 VHH 8VHU6SHFLILFILHOG RUDG\QDPLFVSOLWLQWKHFDVHZKHUHWKH
 +(6,*%&RPSUHVVLRQILHOGLQWKH+(6,*$ILHOGLVHTXDOWR VHH &RPPRQILHOG 


 ,QHDFK+(6,*%FRQWHQWFKDQQHOWKH8VHUILHOGVDUHRUGHUHGVXFKWKDWWRJHWKHUZLWKWKH+(6,*%&RP

 SUHVVLRQILHOGLQWKH+(6,*$DQGWKH&RPPRQILHOGLQWKH+(6,*% LISUHVHQW WKH58ORFDWLRQDQG 
 VSDWLDOVWUHDPVDOORFDWHGWRHDFKXVHUFDQEHLGHQWLILHG VHH 8VHU6SHFLILFILHOG ,IWKH8/'/

 ILHOGLQWKH+(6,*$ILHOGLVVHWWRWKH67$,'ILHOGLQHDFK8VHUILHOGLQGLFDWHVWKHLQWHQGHGUHFLSLHQW
 XVHURIWKHFRUUHVSRQGLQJVSDWLDOVWUHDPVDQGWKH582WKHUZLVHWKH67$,'ILHOGLQGLFDWHVWKH67$WKDW


WUDQVPLWVWKH33'8LQWKHFRUUHVSRQGLQJVSDWLDOVWUHDPVDQGWKH58



+(/7) V\PEROV LQ WKH '/ +( 08 33'8 DUH XVHG WR PHDVXUH WKH FKDQQHO IRU WKH VSDFHWLPH VWUHDPV
 LQWHQGHGIRUWKH67$DQGFDQDOVREHXVHGWRPHDVXUHWKHFKDQQHOIRUWKHLQWHUIHULQJVSDFHWLPHVWUHDPV7R 
 VXFFHVVIXOO\GHPRGXODWHWKHVSDFHWLPHVWUHDPVLQWHQGHGIRUWKH67$LWLVUHFRPPHQGHGWKDWWKH67$XVHV
 WKH FKDQQHO NQRZOHGJH IRU DOO VSDFHWLPH VWUHDPV WR UHGXFH WKH HIIHFW RI VSDFHWLPH VWUHDPV DOORFDWHG WR

 RWKHUXVHUV


 ,ID67$LVLQFOXGHGDVDPHPEHURIWKH080,02JURXSLQ58rLWVFRUUHVSRQGLQJNSTS,r,uFRQWDLQHGLQ 

 WKH8VHUILHOGLQ+(6,*%IRUXVHUuVKDOOQRWEH]HUR,ID67$GHWHUPLQHVWKDWLWLVQRWDPHPEHURIWKH
 080,02JURXSLQ58rWKHQWKH67$PD\HOHFWQRWWRSURFHVV58rLQWKHUHPDLQGHURIWKH33'8

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 5HVRXUFHDOORFDWLRQIRUDQ+(7%33'8


 8/08WUDQVPLVVLRQVDUHSUHFHGHGE\D7ULJJHUIUDPHRUIUDPHFDUU\LQJD756&RQWUROVXEILHOGIURPWKH
 $3 7KH 7ULJJHU IUDPH RU IUDPH FDUU\LQJ WKH 756 &RQWURO VXEILHOG LQGLFDWHV WKH SDUDPHWHUV VXFK DV WKH
 GXUDWLRQRIWKH+(7%33'858DOORFDWLRQWDUJHW566,DQG+(0&6 VHH 7ULJJHUIUDPHIRU
 PDW  D 756 &RQWURO  DQG  1RQ$3 67$ EHKDYLRU IRU 8/ 08 RSHUDWLRQ  UHTXLUHG WR 

 WUDQVPLWDQ+(7%33'8

 7KH7ULJJHUIUDPHLQGLFDWHVZKHWKHUWKH8/08WUDQVPLVVLRQIROORZLQJLWXVHV+(VLQJOHVWUHDPSLORW+(
 /7)PRGHRU+(PDVNHG+(/7)VHTXHQFHPRGHLIWKH+(/7)W\SHRIWKH+(7%33'8LV[+(/7)RU

 [+(/7)+(QRSLORW+(/7)PRGHLVXVHGLIWKH+(/7)W\SHRIWKH+(7%33'8LV[+(/7),I
 +(VLQJOHVWUHDPSLORW+(/7)PRGHLVXVHGQRPDVNLQJLVDSSOLHGWRWKH+(/7)+(VLQJOHVWUHDPSLORW
 +(/7)PRGHLVXVHGIRUDQ\8/2)'0$WUDQVPLVVLRQLQFOXGLQJ8/2)'0$ZLWK080,02WUDQVPLV
 VLRQV


 0+]RSHUDWLQJQRQ$3+(67$V


 $0+]RQO\QRQ$3+(67$LVDQRQ$3+(67$WKDWLQGLFDWHVLQWKH6XSSRUWHG&KDQQHO:LGWK6HW
 VXEILHOGLQWKH+(3+<&DSDELOLWLHV,QIRUPDWLRQILHOGRIWKH+(&DSDELOLWLHVHOHPHQWWKDWLWWUDQVPLWV VHH
  +(3+<&DSDELOLWLHV,QIRUPDWLRQILHOG VXSSRUWIRURQO\0+]FKDQQHOZLGWKIRUWKHIUH
 TXHQF\EDQGLQZKLFKLWLVRSHUDWLQJ$0+]RSHUDWLQJQRQ$3+(67$LVDQRQ$3+(67$WKDWLV
 RSHUDWLQJLQ0+] FKDQQHOZLGWK PRGH VXFKDVD 0+]RQO\ QRQ$3+(67$RUDQ+(67$WKDW

 UHGXFHGLWVRSHUDWLQJFKDQQHOZLGWKWR0+]XVLQJRSHUDWLQJPRGHLQGLFDWLRQ 20, 

 $0+]RSHUDWLQJQRQ$3+(67$VKDOORSHUDWHLQWKHSULPDU\0+]FKDQQHOH[FHSWZKHQWKH 


0+]RSHUDWLQJQRQ$3+(67$VHWVGRW+(6XEFKDQQHO6HOHFWLYH7UDQVPLVVLRQ,PSOHPHQWHGHTXDOWRWUXH
 ,QWKLVFDVHWKH0+]RSHUDWLQJQRQ$3+(67$PD\RSHUDWHLQDQ\0+]FKDQQHOZLWKLQWKH%66

 EDQGZLGWKE\IROORZLQJWKHSURFHGXUHLQ +(VXEFKDQQHOVHOHFWLYHWUDQVPLVVLRQ 


 $Q +( $3 RSHUDWLQJ LQ WKH *+] RU  *+] EDQG VKDOO EH DEOH WR LQWHURSHUDWH ZLWK QRQ$3 +( 67$V
 UHJDUGOHVVRIWKHLQGLFDWHGYDOXHRI%LQWKH6XSSRUWHG&KDQQHO:LGWK6HWVXEILHOGLQWKH+(3+<&DSDELO
 LWLHV,QIRUPDWLRQILHOGLQWKH+(&DSDELOLWLHVHOHPHQW VHH +(3+<&DSDELOLWLHV,QIRUPDWLRQ
 ILHOG 


 $0+]RSHUDWLQJQRQ$3+(67$VKDOOVXSSRUWWRQHPDSSLQJRIWRQH58WRQH58WRQH58 
 DQGWRQH58IRUD0+]+(33'8 VHH7DEOH 'DWDDQGSLORWVXEFDUULHULQGLFHVIRU58VLQD
 0+]+(33'8DQGLQDQRQ2)'0$0+]+(33'8 LQWKH*+]*+]DQG*+]IUHTXHQF\ 

EDQGV


 $0+]RSHUDWLQJQRQ$3+(67$LQGLFDWHVVXSSRUWRIWRQHPDSSLQJRIWRQH58WRQH58DQG 
 WRQH58IRUD0+]+(33'8 VHH7DEOH 'DWDDQGSLORWVXEFDUULHULQGLFHVIRU58VLQD 

 0+]+(33'8DQGLQDQRQ2)'0$0+]+(33'8 LQWKH*+]EDQGXVLQJWKH0+],Q 
 0+]+(33'8,Q*+]%DQGVXEILHOGLQWKH+(3+<&DSDELOLWLHV,QIRUPDWLRQILHOGLQWKH+(&DSDELO
 LWLHVHOHPHQW VHH +(3+<&DSDELOLWLHV,QIRUPDWLRQILHOG ZLWKWKHH[FHSWLRQRI58VWKDWDUH
 UHVWULFWHGIURPRSHUDWLRQDVVSHFLILHGLQ 58UHVWULFWLRQVIRU0+]RSHUDWLRQ 


 $0+]RSHUDWLQJQRQ$3+(67$VKDOOVXSSRUWWRQHPDSSLQJRIWRQH58WRQH58DQGWRQH
 58 IRU 0+] +( 33'8 VHH 7DEOH 'DWD DQG SLORW VXEFDUULHU LQGLFHV IRU 58V LQ D  0+] +(

 33'8DQGLQDQRQ2)'0$0+]+(33'8 LQWKH*+]IUHTXHQF\EDQGDQGIRU0+]+(33'8 

VHH7DEOH 'DWDDQGSLORWVXEFDUULHULQGLFHVIRU58VLQDQ0+]+(33'8DQGLQDQRQ2)'0$ 

 0+]+(33'8 LQWKH*+]DQG*+]EDQGVZLWKWKHH[FHSWLRQRI58VWKDWDUHUHVWULFWHGIURPRSHU
 DWLRQDVVSHFLILHGLQ 58UHVWULFWLRQVIRU0+]RSHUDWLRQ 

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $0+]RSHUDWLQJQRQ$3+(67$LQGLFDWHVVXSSRUWRIWRQHPDSSLQJRIWRQH58WRQH58DQG 
 WRQH58IRU0+]DQG0+]+(33'8XVLQJWKH0+],Q0+]+(33'8VXE

ILHOGLQWKH+(3+<&DSDELOLWLHV,QIRUPDWLRQILHOGLQWKH+(&DSDELOLWLHVHOHPHQW VHH +(3+< 

 &DSDELOLWLHV,QIRUPDWLRQILHOG ZLWKWKHH[FHSWLRQRI58VWKDWDUHUHVWULFWHGIURPRSHUDWLRQDVVSHFLILHGLQ
  58UHVWULFWLRQVIRU0+]RSHUDWLRQ 

 $0+]RSHUDWLQJQRQ$3+(67$PD\VXSSRUWWRQHPDSSLQJRIWRQH58IRUWKHUHFHSWLRQRI 


0+]+(0833'8 VHH7DEOH 'DWDDQGSLORWVXEFDUULHULQGLFHVIRU58VLQD0+]+(33'8DQG
 LQDQRQ2)'0$0+]+(33'8 LQWKH*+]*+]DQG*+]EDQGVDQG0+]0+]
 DQG0+]+(0833'8 VHH7DEOH 'DWDDQGSLORWVXEFDUULHULQGLFHVIRU58VLQDQ0+]+( 
 33'8DQGLQDQRQ2)'0$0+]+(33'8 LQWKH*+]DQG*+]EDQGV7KLVVXSSRUWLVLQGLFDWHG 
 LQWKH6XSSRUWHG&KDQQHO:LGWK6HWVXEILHOGLQWKH+(3+<&DSDELOLWLHV,QIRUPDWLRQILHOGRIWKH+(&DSD


ELOLWLHVHOHPHQW VHH +(3+<&DSDELOLWLHV,QIRUPDWLRQILHOG 

 58UHVWULFWLRQVIRU0+]RSHUDWLRQ

 ,ID0+]RSHUDWLQJQRQ$3+(67$LVWKHUHFHLYHURID0+]0+]0+]RU0+]+(


 0833'8RUWKHWUDQVPLWWHURID0+]0+]0+]RU0+]+(7%33'8WKHQWKH58 
 WRQHPDSSLQJLQ0+]LVQRWDOLJQHGZLWKWKH0+]0+]0+]RU0+]58WRQHPDS
 SLQJ VHH 5HVRXUFHXQLWJXDUGDQG'&VXEFDUULHUV 

 $Q$3VKDOOQRWDVVLJQWKHIROORZLQJ58VWRD0+]RSHUDWLQJQRQ$3+(67$ZKHUHWKH58LQGH[LV

 GHILQHG LQ 7DEOH 'DWD DQG SLORW VXEFDUULHU LQGLFHV IRU 58V LQ D  0+] +( 33'8 DQG LQ D QRQ
 2)'0$0+]+(33'8 
 ² WRQH58DQGRID0+]+(0833'8DQG+(7%33'8


 $Q$3VKDOOQRWDVVLJQWKHIROORZLQJ58VWRD0+]RSHUDWLQJQRQ$3+(67$ZKHUHWKH58LQGH[LV
 GHILQHG LQ 7DEOH 'DWDDQGSLORWVXEFDUULHULQGLFHV IRU58VLQDQ 0+]+( 33'8DQG LQ D QRQ
 2)'0$0+]+(33'8 

 ² WRQH58DQGRIDQ0+]+(0833'8DQG+(7%33'8
 ² WRQH58DQGRIWKHORZHU0+]RIDQ0+]DQG0+]+(



0833'8DQG+(7%33'8
 ² WRQH58DQGRIWKHXSSHU0+]RIDQ0+]+(0833'8DQG
 +(7%33'8

 ² WRQH58DQGRIDQ0+]+(0833'8DQG+(7%33'8
 ² WRQH58DQGRIWKHORZHU0+]RIDQ0+]DQG0+]+(0833'8DQG+(


 7%33'8
 ² WRQH58DQGRIWKHXSSHU0+]RIDQ0+]+(0833'8DQG+(7%33'8

 ² WRQH58DQGRIDQ0+]+(0833'8DQG+(7%33'8
 ² WRQH58DQGRIWKHORZHU0+]RIDQ0+]DQG0+]+(0833'8DQG+(

 7%33'8

 ² WRQH58DQGRIWKHXSSHU0+]RIDQ0+]+(0833'8DQG+(7%33'8

 0+]RSHUDWLQJQRQ$3+(67$V


 $Q+($3VKDOOQRWDOORFDWHDQ58LQD0+]RU0+]+(08RU+(7%33'8WRDQ0+]
 RSHUDWLQJQRQ$3+(67$LIWKHQRQ$367$KDVVHWWKH0+],Q0+]+(33'8VXEILHOGLQ

 WKH+(3+<&DSDELOLWLHV,QIRUPDWLRQILHOGLQWKH+(&DSDELOLWLHVHOHPHQWWR


 $Q+($3VKDOOQRWDOORFDWHDQ58RXWVLGHRIWKHSULPDU\0+]LQD0+]RU0+]+(08RU
 +(7% 33'8WRDQ  0+] RSHUDWLQJQRQ$3+( 67$ LIWKHQRQ$3 67$KDV VHWWKH+( 6XEFKDQQHO

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 6HOHFWLYH7UDQVPLVVLRQ6XSSRUWVXEILHOGLQWKH+(0$&&DSDELOLWLHV,QIRUPDWLRQILHOGLQWKH+(&DSDELOL
 WLHVHOHPHQWWR


 $Q+($3VKDOOQRWDOORFDWHDQ58RXWVLGHRIWKHSULPDU\0+]LQD0+]RU0+]+(08RU
 +(7% 33'8WRDQ  0+] RSHUDWLQJQRQ$3+( 67$ LIWKHQRQ$3 67$KDV VHWWKH+( 6XEFKDQQHO
 6HOHFWLYH7UDQVPLVVLRQ6XSSRUWVXEILHOGLQWKH+(0$&&DSDELOLWLHV,QIRUPDWLRQILHOGLQWKH+(&DSDELOL

 WLHVHOHPHQWWREXWKDVQRWVHWXS667RSHUDWLRQRQWKHVHFRQGDU\0+]FKDQQHOZLWKWKH+($3

 080,02


 '/080,02


 6XSSRUWHG58VL]HVLQ'/080,02

 $67$WKDWVHWVWKH3DUWLDO%DQGZLGWK'/080,02VXEILHOGRIWKH+(3+<&DSDELOLWLHV,QIRUPDWLRQ 


ILHOGLQWKH+(&DSDELOLWLHVHOHPHQWWKDWLWWUDQVPLWVWRVKDOOVXSSRUWUHFHLYLQJDQ58LQDQ+(0833'8

 ZKHUH080,02LVHPSOR\HGLQWKH58WKH58VL]HLVJUHDWHUWKDQRUHTXDOWRWRQHVDQGWKH58GRHV
 QRWVSDQWKHHQWLUH33'8EDQGZLGWK


 0D[LPXPQXPEHURIVSDWLDOVWUHDPVLQDQ+(0833'8

 $Q+(67$VKDOOVXSSRUWWKHUHFHSWLRQRI'/080,02WUDQVPLVVLRQVRQIXOOEDQGZLGWKZLWKDPD[LPXP 


QXPEHURIVSDFHWLPHVWUHDPV SHUXVHU WKDWLVWKHPLQLPXPRIDQGWKHPD[LPXPQXPEHURIVSDFHWLPH
 VWUHDPVVXSSRUWHGIRUUHFHSWLRQRI+(6833'8V7KHPD[LPXPQXPEHURIVSDFHWLPHVWUHDPVVXSSRUWHG 
 IRUUHFHSWLRQRI+(6833'8VLVLQGLFDWHGIRUYDULRXVEDQGZLGWKVLQWKH6XSSRUWHG+(0&6DQG1666HW
 ILHOGLQWKH+(&DSDELOLWLHVHOHPHQW


 )RUWUDQVPLVVLRQVXVLQJEDQGZLGWKOHVVWKDQRUHTXDOWR0+]DQ+(67$VKDOOVXSSRUWUHFHSWLRQRI'/ 
 080,02WUDQVPLVVLRQVRQIXOOEDQGZLGWKZLWKWKHWRWDOQXPEHURIVSDFHWLPHVWUHDPV DFURVVDOOXVHUV 
 XSWRWKHYDOXHLQGLFDWHGE\WKH%HDPIRUPHH676”0+]VXEILHOGLQWKH+(3+<&DSDELOLWLHV,QIRUPD
 WLRQILHOGLQWKH+(&DSDELOLWLHVHOHPHQW)RUWUDQVPLVVLRQVXVLQJEDQGZLGWKJUHDWHUWKDQ0+]DQ+( 

 67$VKDOOVXSSRUWUHFHSWLRQRI'/080,02WUDQVPLVVLRQVRQIXOOEDQGZLGWKZLWKWKHWRWDOQXPEHURI
 VSDFHWLPHVWUHDPV DFURVVDOOXVHUV XSWRWKHYDOXHLQGLFDWHGE\WKH%HDPIRUPHH676!0+]VXEILHOGLQ
 WKH+(3+<&DSDELOLWLHV,QIRUPDWLRQILHOGLQWKH+(&DSDELOLWLHVHOHPHQW


 $Q+($3WKDWLVFDSDEOHRIWUDQVPLWWLQJRUPRUHVSDFHWLPHVWUHDPVVKDOOVXSSRUW'/080,02WUDQV
 PLVVLRQVRQIXOOEDQGZLGWK


 $OORIWKHDIRUHPHQWLRQHGUHTXLUHPHQWVLQWKLVVXEFODXVHRQWKHSHUXVHUDQGWRWDOQXPEHURIVSDFHWLPH
 VWUHDPVDUHDOVRDSSOLFDEOHWRDQ080,02WUDQVPLVVLRQRQDQ58LQDQ+(0833'8ZKHUHWKH58 
 GRHVQRWVSDQWKHHQWLUH33'8EDQGZLGWK


 8/080,02

 ,QWURGXFWLRQ


 8/080,02LVDWHFKQLTXHWRDOORZPXOWLSOH67$VWRWUDQVPLWVLPXOWDQHRXVO\RYHUWKHVDPHIUHTXHQF\ 
 UHVRXUFHWRWKHUHFHLYHU7KHFRQFHSWLVYHU\VLPLODUWR680,02ZKHUHPXOWLSOHVSDFHWLPHVWUHDPVDUH

WUDQVPLWWHGVLPXOWDQHRXVO\RYHUWKHVDPHIUHTXHQF\UHVRXUFHXWLOL]LQJVSDWLDOPXOWLSOH[LQJWKURXJKPXOWLSOH

 DQWHQQDVDWWKHWUDQVPLWWHUDQGUHFHLYHU7KHNH\GLIIHUHQFHIURP680,02LVWKDWLQ8/080,02WKH
 WUDQVPLWWHGVWUHDPVRULJLQDWHIURPPXOWLSOH67$V

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 6XSSRUWHG58VL]HVLQ8/080,02


 $Q$3WKDWVHWVWKH3DUWLDO%DQGZLGWK8/080,02VXEILHOGRIWKH+(3+<&DSDELOLWLHV,QIRUPDWLRQ 
 ILHOGLQWKH+(&DSDELOLWLHVHOHPHQWWKDWLWWUDQVPLWVWRVKDOOVXSSRUWUHFHLYLQJDQ58LQDQ+(7%33'8

 ZKHUH080,02LVHPSOR\HGLQWKH58WKH58VL]HLVJUHDWHUWKDQRUHTXDOWRWRQHVDQGWKH58GRHV
 QRWVSDQWKHHQWLUH33'8EDQGZLGWK


 $QRQ$367$WKDWVHWVWKH3DUWLDO%DQGZLGWK8/080,02VXEILHOGRIWKH+(3+<&DSDELOLWLHV,QIRU
 PDWLRQILHOGLQWKH+(&DSDELOLWLHVHOHPHQWWKDWLWWUDQVPLWVWRVKDOOVXSSRUWWUDQVPLWWLQJDQ58LQDQ+(

 7%33'8ZKHUH8/080,02LVHPSOR\HGLQWKH58WKH58VL]HLVJUHDWHUWKDQRUHTXDOWRWRQHV
 DQGWKH58GRHVQRWVSDQWKHHQWLUH33'8EDQGZLGWK


 $67$WKDWVHWVWKH3DUWLDO%DQGZLGWK8/080,02VXEILHOGWRVKDOOVHWWKH)XOO%DQGZLGWK8/08
 0,02VXEILHOGLQWKH+(3+<&DSDELOLWLHV,QIRUPDWLRQILHOGWR


 080,02+(/7)0RGH

 $QRQ$367$WKDWVHWVWKH)XOO%DQGZLGWK8/080,02VXEILHOGRIWKH+(3+<&DSDELOLWLHV,QIRUPD
 WLRQILHOGLQWKH+(&DSDELOLWLHVHOHPHQWLWWUDQVPLWVWRVKDOOVXSSRUWERWKWKH+(VLQJOHVWUHDPSLORW+(


/7)PRGHDQGWKH+(PDVNHG+(/7)VHTXHQFHPRGHDVGHILQHGLQ(TXDWLRQ  IRUWKHWUDQVPLVVLRQ
 RIDQ+(7%33'8ZLWKRQH58VSDQQLQJWKHHQWLUH33'8EDQGZLGWKDQGWKH58XVLQJ080,02

 $Q$3WKDWVHWVWKH3DUWLDO%DQGZLGWK8/080,02VXEILHOGRIWKH+(3+<&DSDELOLWLHV,QIRUPDWLRQ 

ILHOGLQWKH+(&DSDELOLWLHVHOHPHQWLWWUDQVPLWVWRVKDOOVXSSRUWUHFHLYLQJ+(7%33'8VXVLQJWKH+(


 VLQJOHVWUHDPSLORW+(/7)PRGHLIWKH+(7%33'8VXVH080,02LQDQ58WKDWGRHVQRWVSDQWKH
 HQWLUH33'8EDQGZLGWK

 $QRQ$367$WKDWVHWVWKH3DUWLDO%DQGZLGWK8/080,02VXEILHOGRIWKH+(3+<&DSDELOLWLHV,QIRU

 PDWLRQILHOG LQ WKH +( &DSDELOLWLHV HOHPHQW LWWUDQVPLWV WR  VKDOO VXSSRUW WUDQVPLWWLQJ DQ +( 7%33'8

 XVLQJWKH+(VLQJOHVWUHDPSLORW+(/7)PRGHLIWKH+(7%33'8XVHV080,02LQDQ58WKDWGRHVQRW
 VSDQWKHHQWLUH33'8EDQGZLGWK



0D[LPXPQXPEHURIVSDWLDOVWUHDPVLQ8/080,02

 $QRQ$367$WKDWVXSSRUWV8/080,02VKDOOVXSSRUWWUDQVPLWWLQJDQ+(7%33'8XVLQJ080,02

 ZKHUH

 ² 7KH QXPEHU RI VSDWLDO VWUHDPV DOORFDWHG WR WKH QRQ$3 67$ UDQJHV IURP  WR N ZKHUH N LV WKH
 VPDOOHURIDQGWKHPD[LPXPQXPEHURIVSDWLDOVWUHDPVVXSSRUWHGE\WKHQRQ$367$IRUWUDQVPLW
 WLQJ+(6833'8V

 ² 7KHQXPEHURIWRWDOVSDWLDOVWUHDPV VXPPHGRYHUDOOXVHUV LVOHVVWKDQRUHTXDOWR


7KHPD[LPXPQXPEHURIVSDWLDOVWUHDPVVXSSRUWHGE\D67$IRUWKHWUDQVPLVVLRQRIDQ+(6833'8LV

 LQGLFDWHGLQWKH6XSSRUWHG+(0&6$QG1666HWILHOGLQWKH+(&DSDELOLWLHVHOHPHQW

 $OOWKHUHTXLUHPHQWVLQWKLVVXEFODXVHRQWKHSHUXVHUDQGWRWDOQXPEHURIVSDWLDOVWUHDPVDUHDSSOLFDEOHWR

 ERWKIXOOEDQGZLGWKDQGSDUWLDOEDQGZLGWK080,02


 +(33'8IRUPDWV


)RXU+(33'8IRUPDWVDUHGHILQHG+(6833'8+(0833'8+((56833'8DQG+(7%33'8

 7KH+(VRXQGLQJ1'3LVDYDULDQWRIWKH+(6833'8DQGGHILQHGLQ +(VRXQGLQJ1'3 7KH+(

 7%IHHGEDFN1'3LVDYDULDQWRIWKH+(7%33'8DQGGHILQHGLQ +(7%IHHGEDFN1'3 

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 127(²7KH+((56833'8LVQRWDYDULDQWRIWKH+(6833'85HTXLUHPHQWVUHODWHGWR+(6833'8VDQG+((5

 6833'8VDUHVSHFLILHGVHSDUDWHO\


7KHIRUPDWRIWKH+(6833'8LVGHILQHGDVLQ)LJXUH +(6833'8IRUPDW 7KLV33'8IRUPDWLV

 XVHGIRU68WUDQVPLVVLRQDQGLQWKLVIRUPDWWKH+(6,*$ILHOGLVQRWUHSHDWHG


 9DULDEOHGXUDWLRQVSHU+(/7)V\PERO
 —V —V —V —V —V —V


/67) //7) /6,* 5/6,* +(6,*$ +(67) +(/7)  +(/7) 'DWD 3(



 )LJXUH²+(6833'8IRUPDW

 7KHIRUPDWRIWKH+(0833'8LVGHILQHGDVLQ)LJXUH +(0833'8IRUPDW 7KLVIRUPDWLVXVHG
 IRU WUDQVPLVVLRQ WR RQH RU PRUH XVHUV LI WKH 33'8 LV QRW D UHVSRQVH RI D 7ULJJHU IUDPH ,Q WKH +( 08

 33'8WKH+(6,*$ILHOGLVQRWUHSHDWHG7KH+(6,*%ILHOGLVSUHVHQWLQWKLVIRUPDW



 —VSHU 9DULDEOHGXUDWLRQVSHU+(/7)V\PERO
—V —V —V —V —V V\PERO —V

 /67) //7) /6,* 5/6,* +(6,*$ +(6,*% +(67) +(/7)  +(/7) 'DWD 3(


 )LJXUH²+(0833'8IRUPDW



7KHIRUPDWRIWKH+((56833'8LVGHILQHGDVLQ)LJXUH +((56833'8IRUPDW 7KLVIRUPDWLV
 XVHGIRU68WUDQVPLVVLRQDQGLQWKLVIRUPDWWKH+(6,*$ILHOGLVWZLFHDVORQJDVWKH+(6,*$ILHOGLQ

 RWKHU+(33'8IRUPDWV



9DULDEOHGXUDWLRQVSHU+(/7)V\PERO
 —V —V —V —V —V —V

 /67) //7) /6,* 5/6,* +(6,*$ +(67) +(/7)  +(/7) 'DWD 3(



)LJXUH²+((56833'8IRUPDW


 7KHIRUPDWRIWKH+(7%33'8LVGHILQHGDVLQ)LJXUH +(7%33'8IRUPDW 7KLVIRUPDWLVXVHG

 IRUDWUDQVPLVVLRQWKDWLVDUHVSRQVHWRDWULJJHULQJIUDPHIURPDQ$3


7KHIRUPDWRIWKH+(7%33'8LVWKHVDPHDVWKH+(6833'8H[FHSWWKDWWKHGXUDWLRQRIWKH+(67)


 ILHOGLQWKH+(7%33'8LVWZLFHWKHGXUDWLRQRIWKH+(67)ILHOGLQWKH+(6833'8


 9DULDEOHGXUDWLRQVSHU+(/7)V\PERO
 —V —V —V —V —V —V


/67) //7) /6,* 5/6,* +(6,*$ +(67) +(/7)  +(/7) 'DWD 3(



 )LJXUH²+(7%33'8IRUPDW








&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KHILHOGVRIWKH+(33'8IRUPDWVDUHVXPPDUL]HGLQ7DEOH +(33'8ILHOGV 



7DEOH²+(33'8ILHOGV


 )LHOG 'HVFULSWLRQ

 /67) 1RQ+76KRUW7UDLQLQJILHOG


//7) 1RQ+7/RQJ7UDLQLQJILHOG


 /6,* 1RQ+76,*1$/ILHOG

 5/6,* 5HSHDWHG1RQ+76,*1$/ILHOG

 +(6,*$ +(6,*1$/$ILHOG

 +(6,*% +(6,*1$/%ILHOG

 +(67) +(6KRUW7UDLQLQJILHOG

 +(/7) +(/RQJ7UDLQLQJILHOG

 'DWD 7KH'DWDILHOGFDUU\LQJWKH36'8 V

 3( 3DFNHWH[WHQVLRQILHOG




7KH5/6,*+(6,*$+(67)+(/7)DQG3(ILHOGVDUHSUHVHQWLQDOO+(33'8IRUPDWV7KH+(

 6,*%ILHOGLVSUHVHQWRQO\LQWKH+(0833'87KH3(ILHOGLVGHILQHGLQ 3DFNHWH[WHQVLRQ 

 7KH/67)//7)/6,*5/6,*+(6,*$DQG+(6,*%ILHOGVDUHUHIHUUHGWRDVSUH+(PRGXODWHG

 ILHOGVZKLOHWKH+(67)+(/7)DQG'DWDILHOGVDUHUHIHUUHGWRDVWKH+(PRGXODWHGILHOGV


 ,QWKH+(7%33'8WKHSUH+(PRGXODWHGILHOGVZKLFKLQFOXGH/67)//7)/6,*5/6,*DQG+(
 6,*$ILHOGVDUHVHQWRQO\RQWKH0+]FKDQQHOVZKHUHWKH67$¶V+(PRGXODWHGILHOGVDUHORFDWHG,IWKH
 +(PRGXODWHGILHOGVDUHORFDWHGLQPRUHWKDQRQH0+]FKDQQHOWKHSUH+(PRGXODWHGILHOGVDUHGXSOL
























 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 FDWHGRYHUWKHPXOWLSOH0+]FKDQQHOVDVVKRZQLQ)LJXUH 1XPEHURI0+]FKDQQHOVRFFXSLHG
 E\WKHSUH+(PRGXODWHGILHOGVLQDQ+(7%33'8 


 58VORFDWHGLQRQH0+]FKDQQHO QHHG0+]SUH+(PRGXODWHGILHOGV

58VORFDWHGLQWZR0+]FKDQQHOV QHHG0+]GXSOLFDWHGSUH+(PRGXODWHGILHOGV

 58VORFDWHGLQIRXU0+]FKDQQHOV QHHG0+]GXSOLFDWHGSUH+(PRGXODWHGILHOGV

 0+]+(33'8
0+]+(33'8 '&
 *XDUG *XDUG
*XDUG '& *XDUG
 WRQH58                  
   
 WRQH58    



     WRQH58                
   
 WRQH58     WRQH58    
 WRQH58   WRQH58  
 WRQH58 '& WRQH58 '&

 *XDUG
0+]+(33'8 *XDUG
'&
  
WRQH58                                    
    
 
   
WRQH58                              

WRQH58        

WRQH58    

WRQH58  

WRQH58 '&

 7KH0+]DQG0+]+(33'8XVHVWKH0+]+(33'858ORFDWLRQVLQ3ULPDU\0+]DQG6HFRQGDU\0+]FKDQQHOV

 )LJXUH²1XPEHURI0+]FKDQQHOVRFFXSLHGE\WKHSUH+(PRGXODWHGILHOGVLQDQ+(

 7%33'8

 $33'8WUDQVPLWWHGZLWKWKH7;9(&725SDUDPHWHU12B6,*B(;71VHWWRIDOVHLVIROORZHGE\DSHULRG
 RIGXUDWLRQD6LJQDO([WHQVLRQZLWKRXWWUDQVPLVVLRQ6HH 6LJQDOH[WHQVLRQ 


 $VLJQDOH[WHQVLRQVKDOOEHSUHVHQWLQDWUDQVPLWWHG33'8LIWKH7;9(&725SDUDPHWHU12B6,*B(;71LV
 IDOVHDQGRQHRIWKHIROORZLQJFRQGLWLRQVDSSO\


² 7KH7;9(&9725SDUDPHWHU)250$7LV+(+7B0)RU+7B*)
 ² 7KH 7;9(&725 SDUDPHWHU )250$7 LV 121B+7 DQG WKH 7;9(&725 SDUDPHWHU 121B+7B
 02'8/$7,21LV(532)'0RU121B+7B'83B2)'0


 $VLJQDOH[WHQVLRQVKDOOEHDVVXPHGWREHSUHVHQW IRUWKHSXUSRVHRIWLPLQJRI3+<5;(1'LQGLFDWLRQDQG

 3+<&&$LQGLFDWLRQSULPLWLYHVDVGHVFULEHGEHORZDQGLQ +(UHFHLYHSURFHGXUH LQDUHFHLYHG 
 33'8LIRQHRIWKHIROORZLQJFRQGLWLRQVDSSO\

 ² 7KH5;9(&725SDUDPHWHU)250$7LV+(+7B0)RU+7B*)
 ² 7KH 5;9(&725 SDUDPHWHU )250$7 LV 121B+7 DQG WKH 5;9(&725 SDUDPHWHU 121B+7B


02'8/$7,21LV(532)'0RU121B+7B'83B2)'0

 $ 33'8 FRQWDLQLQJ D VLJQDO H[WHQVLRQ LV FDOOHG D VLJQDO H[WHQGHG 33'8 :KHQ WUDQVPLWWLQJ D VLJQDO
 H[WHQGHG33'8WKH3+<7;(1'LQGLFDWLRQSULPLWLYHVKDOOEHHPLWWHGDSHULRGRID6LJQDO([WHQVLRQDIWHU
 WKH HQG RI WKH DFWXDO HQGLQJ WLPH RI WKH 33'8 :KHQ UHFHLYLQJ D VLJQDO H[WHQGHG 33'8 WKH 3+<

 5;(1'LQGLFDWLRQSULPLWLYHVKDOOEHHPLWWHGDSHULRGRID6LJQDO([WHQVLRQDIWHUWKHHQGRIWKHDFWXDOHQGLQJ 
 WLPHRIWKH33'8

 7UDQVPLWWHUEORFNGLDJUDP


 7KHJHQHUDWLRQRIHDFKILHOGLQDQ+(33'8XVHVPDQ\RIWKHIROORZLQJEORFNV
 D SUH)(&3+<SDGGLQJ

 E 6FUDPEOHU

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 F )(& %&&RU/'3& HQFRGHUV



 G SRVW)(&3+<SDGGLQJ
 H 6WUHDPSDUVHU

 I 6HJPHQWSDUVHU IRUFRQWLJXRXV0+]DQGQRQFRQWLJXRXV0+]WUDQVPLVVLRQV
 J %&&LQWHUOHDYHU

 K &RQVWHOODWLRQPDSSHU
 L '&0WRQHPDSSHU

 M 3LORWLQVHUWLRQ
 N 5HSOLFDWLRQRYHUPXOWLSOH0+] IRU%:!0+]

 O 0XOWLSOLFDWLRQE\VWFROXPQRIPHE-LTF
 P /'3&WRQHPDSSHU

 Q 6HJPHQWGHSDUVHU
 R 6SDFHWLPHEORFNFRGH 67%& HQFRGHUIRURQHVSDWLDOVWUHDP

 S &\FOLFVKLIWGLYHUVLW\ &6' SHU676LQVHUWLRQ
 T 6SDWLDOPDSSHU

 U )UHTXHQF\PDSSLQJ
 V ,QYHUVHGLVFUHWH)RXULHUWUDQVIRUP ,')7

 W &\FOLFVKLIWGLYHUVLW\ &6' SHUFKDLQLQVHUWLRQ
 X *XDUGLQWHUYDO *, LQVHUWLRQ

 Y :LQGRZLQJ

 )LJXUH 7UDQVPLWWHUEORFNGLDJUDPIRUWKH/6,*5/6,*DQG+(6,*$ILHOGVIRUDQ+(6833'8 
 DQG+((56833'8LIWKH%HDP&KDQJHVXEILHOGLV WR)LJXUH 7UDQVPLWWHUEORFNGLDJUDPIRUWKH
 'DWDILHOGRIDQ+(6833'8LQ0+]ZLWK/'3&HQFRGLQJ VKRZH[DPSOHWUDQVPLWWHUEORFNGLD

 JUDPV7KHDFWXDOVWUXFWXUHRIWKHWUDQVPLWWHULVLPSOHPHQWDWLRQGHSHQGHQW

 ,QSDUWLFXODU)LJXUH 7UDQVPLWWHUEORFNGLDJUDPIRUWKH/6,*5/6,*DQG+(6,*$ILHOGVIRUDQ
 +(6833'8DQG+((56833'8LIWKH%HDP&KDQJHVXEILHOGLV VKRZVWKHWUDQVPLWSURFHVVIRUWKH/
 6,*5/6,*DQG+(6,*$ILHOGVRIDQ+(33'8XVLQJRQHIUHTXHQF\VHJPHQWZKHQWKH%HDP&KDQJH

 VXEILHOGLQ+(6,*$ILHOGLV7KHVHWUDQVPLWEORFNVDUHDOVRXVHGWRJHQHUDWHWKH/67)DQG//7)ILHOGV
 RIWKH+(33'8ZKHQWKH%HDP&KDQJHVXEILHOGLQ+(6,*$ILHOGLVZLWKWKHIROORZLQJH[FHSWLRQV
 ² 7KH%&&HQFRGHUDQGLQWHUOHDYHUDVZHOODVFRQVWHOODWLRQPDSSHUDUHQRWXVHGZKHQJHQHUDWLQJWKH

/67)DQG//7)ILHOGV





















 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ² 7KH%&&LQWHUOHDYHULVQRWDSSOLHGLQWKHQGDQGWKHWK2)'0V\PEROVRI+(6,*$ILHOGLQWKH
 +((56833'8



 ,QVHUW*,
$QDORJ
DQG
 :LQGRZ
DQG5)



0+]LI%:!0+]
&6' ,QVHUW*,

'XSOLFDWHRYHUPXOWLSOH
&RQVWHOODWLRQ0DSSHU
$QDORJ
 SHU DQG

%&&,QWHUOHDYHU
DQG5)
 %&&(QFRGHU FKDLQ :LQGRZ



,')7





 &6' ,QVHUW*,
$QDORJ
 SHU DQG
DQG5)
FKDLQ :LQGRZ

 6LQJOH6SDWLDO6WUHDP

 NTX7UDQVPLW&KDLQV


 )LJXUH²7UDQVPLWWHUEORFNGLDJUDPIRUWKH/6,*5/6,*DQG+(6,*$ILHOGVIRUDQ
 +(6833'8DQG+((56833'8LIWKH%HDP&KDQJHVXEILHOGLV


 )LJXUH 7UDQVPLWWHUEORFNGLDJUDPIRUWKH/6,*5/6,*DQG+(6,*$ILHOGVIRUDQ+(6833'8 
 DQG+((56833'8LIWKH%HDP&KDQJHVXEILHOGLV VKRZVWKHWUDQVPLWSURFHVVIRUWKH/6,*5/6,*
 DQG+(6,*$ILHOGVRIDQ+(33'8XVLQJRQHIUHTXHQF\VHJPHQWZKHQWKH%HDP&KDQJHVXEILHOGLQ+(
 6,*$ILHOGLV7KHVHWUDQVPLWEORFNVDUHDOVRXVHGWRJHQHUDWHWKH/67)DQG//7)ILHOGVRIWKH+(


33'8LIWKH%HDP&KDQJHVXEILHOGLQ+(6,*$ILHOGLVZLWKWKHIROORZLQJH[FHSWLRQV


² 7KH%&&HQFRGHUDQGLQWHUOHDYHUDVZHOODVFRQVWHOODWLRQPDSSHUDUHQRWXVHGZKHQJHQHUDWLQJWKH

 /67)DQG//7)ILHOGV

 ² 7KH%&&LQWHUOHDYHULVQRWDSSOLHGLQWKHQGDQGWKHWK2)'0V\PEROVRI+(6,*$ILHOGLQWKH
 +((56833'8

 127(²)RUDQ+(0833'8WKHGXSOLFDWLRQRQ0+]FKDQQHOVLVVXEMHFWWRWKHDYDLODELOLW\RI0+]FKDQQHOVLQ

 WKHFDVHRISUHDPEOHSXQFWXULQJ



 ,QVHUW*,
$QDORJ
,')7 DQG
 :LQGRZ
DQG5)

0XOWLSO\E\VW&ROXPQRI3HE-LTF
0+]LI%:!0+]


'XSOLFDWHRYHUPXOWLSOH
&RQVWHOODWLRQ0DSSHU

,QVHUW*,
$QDORJ

%&&,QWHUOHDYHU

6SDWLDO0DSSLQJ

,')7 DQG
%&&(QFRGHU

DQG5)
:LQGRZ





 &6'
SHU
 676
 ,QVHUW*,
$QDORJ
,')7 DQG
 :LQGRZ
DQG5)


 6LQJOH6SDWLDO6WUHDP NSTS ” 6SDFH7LPH NTX7UDQVPLW&KDLQV
 6WUHDPV


 )LJXUH²7UDQVPLWWHUEORFNGLDJUDPIRUWKH/6,*5/6,*DQG+(6,*$ILHOGVIRUDQ
 +(6833'8DQG+((56833'8LIWKH%HDP&KDQJHVXEILHOGLV

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 )LJXUH 7UDQVPLWWHUEORFNGLDJUDPIRUWKH/6,*5/6,*DQG+(6,*$ILHOGVRIDQ+(7%33'8 
 VKRZVWKHWUDQVPLWSURFHVVIRUWKH/6,*5/6,*DQG+(6,*$ILHOGVRIDQ+(7%33'8XVLQJRQHIUH

TXHQF\VHJPHQW,QWKH+(7%33'8WKHWUDQVPLVVLRQRIWKHSUH+(PRGXODWHGILHOGVUHIHUWRWKHGHVFULS

 WLRQLQ +(33'8IRUPDWV DQGDOVRVKRZQLQ)LJXUH 7UDQVPLWWHUEORFNGLDJUDPIRUWKH/
 6,*5/6,*DQG+(6,*$ILHOGVRIDQ+(7%33'8 7KH%&&HQFRGHUDQGLQWHUOHDYHUDUHQRWXVHG
 ZKHQJHQHUDWLQJWKH/67)DQG//7)ILHOGV



 ,QVHUW*,
$QDORJ
DQG

6HQWRQO\RQWKH0+]FKDQQHOVZKHUH
 :LQGRZ
DQG5)

WKH+(PRGXODWHGILHOGVDUHORFDWHG

 &6' ,QVHUW*,

&RQVWHOODWLRQ0DSSHU
$QDORJ
 SHU DQG
%&&,QWHUOHDYHU

DQG5)
%&&(QFRGHU

FKDLQ :LQGRZ


,')7






 &6' ,QVHUW*,
$QDORJ
SHU DQG
 FKDLQ :LQGRZ
DQG5)


 6LQJOH6SDWLDO6WUHDP NTX7UDQVPLW&KDLQV


 )LJXUH²7UDQVPLWWHUEORFNGLDJUDPIRUWKH/6,*5/6,*DQG+(6,*$ILHOGVRIDQ

 +(7%33'8

 )LJXUH 7UDQVPLWWHUEORFNGLDJUDPIRUWKH+(6,*%ILHOG VKRZVWKHWUDQVPLWSURFHVVIRUWKH+(

 6,*%ILHOGRIDQ+(0833'8XVLQJRQHIUHTXHQF\VHJPHQW7KLVEORFNGLDJUDPLVIRUWUDQVPLWWLQJ+(
 6,*%LQRQH0+]VXEFKDQQHO5HIHUWR +(6,*% FRQWHQWFKDQQHOV IRUWKHPHWKRGVRI
 WUDQVPLWWLQJ +(6,*% LQ  0+]  0+] DQG  0+] 7KH '&0 WRQH PDSSHU ZKLFK LV GHILQHG LQ

  &RQVWHOODWLRQPDSSLQJ LVDSSOLHGRQO\LIWKH+(6,*%'&0ILHOGLQWKH+(6,*$ILHOGLV



 ,QVHUW*,
$QDORJ
DQG
 :LQGRZ
DQG5)

 &6' ,QVHUW*,
3UH)(&3+<3DGGLQJ

&RQVWHOODWLRQ0DSSHU

$QDORJ
 SHU DQG
%&&,QWHUOHDYHU

DQG5)
%&&(QFRGHU

FKDLQ :LQGRZ

,')7







 &6' ,QVHUW*,
$QDORJ
 SHU DQG
DQG5)
FKDLQ :LQGRZ
 6LQJOH6SDWLDO6WUHDP


NTX7UDQVPLW&KDLQV



)LJXUH²7UDQVPLWWHUEORFNGLDJUDPIRUWKH+(6,*%ILHOG


 )LJXUH 7UDQVPLWWHUEORFNGLDJUDPIRUWKH8/WUDQVPLVVLRQRU'/QRQ080,02WUDQVPLVVLRQRID

'DWDILHOGZLWK%&&HQFRGLQJRQDRUWRQH58 VKRZVWKHWUDQVPLWWHUEORFNVIRUWKH8/ 

 WUDQVPLVVLRQRU'/QRQ080,02WUDQVPLVVLRQRID'DWDILHOGZLWK%&&HQFRGLQJRQDRU
 WRQH58IRUDVLQJOHIUHTXHQF\VHJPHQWLIWKHQXPEHURIVSDWLDOVWUHDPVLVOHVVWKDQRUHTXDOWR)LJXUH

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 DSSOLHVWRWKH'DWDILHOGRIDQ+(0833'8WKDWLVWUDQVPLWWHGRQDQ58DOORFDWHGWRDVLQJOHXVHU
 WKH'DWDILHOGRIDQ+(6833'8DQGWKH'DWDILHOGRIDQ+(7%33'8 ZKHWKHURUQRWLWLVVSDWLDOO\PXO

WLSOH[HGZLWKRWKHUXVHUV 


 7KH'&0WRQHPDSSHUZKLFKLVSDUWRIWKHFRQVWHOODWLRQPDSSHULVDSSOLHGRQO\LI'&0LVLQGLFDWHGIRUWKH
 58$VXEVHWRIWKHVHWUDQVPLWWHUEORFNVFRQVLVWLQJRIWKHFRQVWHOODWLRQPDSSHUDQG&6'EORFNVDVZHOODV
 WKHEORFNVWRWKHULJKWRIDQGLQFOXGLQJWKHVSDWLDOPDSSLQJEORFNDUHDOVRXVHGWRJHQHUDWHWKH+(/7) 

ILHOGV7KLVLVLOOXVWUDWHGLQ)LJXUH *HQHUDWLRQRI+(/7)V\PEROVSHUIUHTXHQF\VHJPHQWLQDQ+( 

 6833'8+(0833'8DQG+((56833'8 $VXEVHWRIWKHVHWUDQVPLWWHUEORFNVFRQVLVWLQJRIWKH
 FRQVWHOODWLRQPDSSHUDQG&6'EORFNVDVZHOODVWKHEORFNVWRWKHULJKWRIDQGLQFOXGLQJWKHVSDWLDODQGIUH
 TXHQF\PDSSLQJEORFNRI)LJXUH 7UDQVPLWWHUEORFNGLDJUDPIRUWKH8/WUDQVPLVVLRQRU'/QRQ08
 0,02WUDQVPLVVLRQRID'DWDILHOGZLWK%&&HQFRGLQJRQDRUWRQH58 DUHDOVRXVHGWR

JHQHUDWH WKH +(67) ILHOG 7KLV ILJXUH DOVR DSSOLHV WR WKH 'DWD ILHOG ZLWK %&& HQFRGLQJ LQ DQ +( 7%

 33'8



&RQVWHOODWLRQ

,QWHUOHDYHU

,QVHUW*,
PDSSHU
%&&

$QDORJ
 ,')7 DQG
DQG5)
:LQGRZ

67%& )RURQHVSDWLDOVWUHDPRQO\

6SDWLDODQG)UHTXHQF\0DSSLQJ

 ,QVHUW*,
3UH)(&3+<

3RVW)(&3+<
%&&(QFRGHU

&6'SHU $QDORJ
&RQVWHOODWLRQ

,')7 DQG
6FUDPEOHU

,QWHUOHDYHU


3DGGLQJ

6WUHDP3DUVHU

DQG5)
3DGGLQJ

676
PDSSHU

:LQGRZ
%&&











&RQVWHOODWLRQ

,QVHUW*,
 $QDORJ
,QWHUOHDYHU

&6'SHU ,')7 DQG


PDSSHU

DQG5)
%&&

 676 :LQGRZ



 NSS6SDWLDO NSTS ” 6SDFH7LPH NTX7UDQVPLW&KDLQV
 6WUHDPV
 6WUHDPV


)LJXUH²7UDQVPLWWHUEORFNGLDJUDPIRUWKH8/WUDQVPLVVLRQRU'/QRQ080,02WUDQVPLV

 VLRQRID'DWDILHOGZLWK%&&HQFRGLQJRQDRUWRQH58

 )LJXUH 7UDQVPLWWHUEORFNGLDJUDPIRUWKH8/WUDQVPLVVLRQRU'/QRQ080,02WUDQVPLVVLRQRID
 'DWDILHOGZLWK/'3&HQFRGLQJRQDRUWRQH58 VKRZVWKHWUDQVPLWWHUEORFNV


IRUWKH8/WUDQVPLVVLRQRU'/QRQ080,02WUDQVPLVVLRQRID'DWDILHOGZLWK/'3&HQFRGLQJRQD
 RUWRQH58IRUDVLQJOHIUHTXHQF\VHJPHQW)LJXUHDSSOLHVWRWKH'DWDILHOG
 RIDQ+(0833'8WKDWLVWUDQVPLWWHGRQDQ58DOORFDWHGWRDVLQJOHXVHUWKH'DWDILHOGRIDQ+(68 
 33'8DQGWKH'DWDILHOGRIDQ+(7%33'8 ZKHWKHURUQRWLWLVVSDWLDOO\PXOWLSOH[HGZLWKRWKHUXVHUV 
 7KLVILJXUHDOVRDSSOLHVWRWKHGDWDILHOGZLWK/'3&HQFRGLQJLQDQ+(7%33'8














&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KH'&0WRQHPDSSHUZKLFKLVSDUWRIWKHFRQVWHOODWLRQPDSSHULVDSSOLHGRQO\LI'&0LVLQGLFDWHGIRUWKH
 587KLVILJXUHDOVRDSSOLHVWRWKHGDWDILHOGZLWK/'3&HQFRGLQJLQDQ+(7%33'8





&RQVWHOODWLRQ

/'3&7RQH
,QVHUW*,


0DSSHU
PDSSHU
$QDORJ
,')7 DQG
 :LQGRZ
DQG5)

67%& )RURQHVSDWLDOVWUHDPRQO\


6SDWLDODQG)UHTXHQF\0DSSLQJ
 ,QVHUW*,
3UH)(&3+<

3RVW)(&3+<
/'3&(QFRGHU

 &6'SHU $QDORJ

&RQVWHOODWLRQ

/'3&7RQH
,')7 DQG
6FUDPEOHU

6WUHDP3DUVHU
DQG5)
3DGGLQJ

676
3DGGLQJ

PDSSHU

0DSSHU
 :LQGRZ










 &RQVWHOODWLRQ
,QVHUW*,

/'3&7RQH
$QDORJ
&6'SHU ,')7 DQG
 PDSSHU

0DSSHU
DQG5)
676 :LQGRZ




 NSS6SDWLDO NSTS ” 6SDFH7LPH NTX7UDQVPLW&KDLQV
 6WUHDPV 6WUHDPV


 )LJXUH²7UDQVPLWWHUEORFNGLDJUDPIRUWKH8/WUDQVPLVVLRQRU'/QRQ080,02WUDQVPLV
 VLRQRID'DWDILHOGZLWK/'3&HQFRGLQJRQDRUWRQH58






































 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 )LJXUH 7UDQVPLWWHU EORFN GLDJUDP IRU WKH '/ 080,02 WUDQVPLVVLRQ RI D 'DWD ILHOG ZLWK %&&

 HQFRGLQJRQDRUWRQH58 VKRZVWKHWUDQVPLWWHUEORFNVIRUWKHWUDQVPLVVLRQLQDQ+(0833'8

RIWKH'DWDILHOGZLWK%&&HQFRGLQJRQDRUWRQH58DOORFDWHGWRPRUHWKDQRQHXVHU





&RQVWHOODWLRQ


,QWHUOHDYHU

PDSSHU
%&&



3RVW)(&3+<3DGGLQJ
3UH)(&3+<3DGGLQJ



6WUHDP3DUVHU
%&&(QFRGHU

&RQVWHOODWLRQ

6FUDPEOHU

,QWHUOHDYHU

PDSSHU
%&&
&6'
 SHU676


6SDWLDODQG)UHTXHQF\0DSSLQJ





&RQVWHOODWLRQ


,QWHUOHDYHU

PDSSHU
%&&
 &6'
SHU676
 8VHU





&RQVWHOODWLRQ



,QWHUOHDYHU

PDSSHU
%&&
 &6'
3UH)(&3+<


3+<3DGGLQJ

6WUHDP3DUVHU
SHU676
%&&(QFRGHU

3RVW)(&
6FUDPEOHU
3DGGLQJ






&RQVWHOODWLRQ
 ,QWHUOHDYHU

PDSSHU
%&&

&6'
 SHU676
 8VHUNuser,total

 $QDORJ
,QVHUW*,
DQG ,')7
 DQG5)
:LQGRZ





,QVHUW*,
 $QDORJ
DQG5)
DQG ,')7
 :LQGRZ

 ,QVHUW*,
 $QDORJ
DQG5)
DQG ,')7
:LQGRZ


 )LJXUH²7UDQVPLWWHUEORFNGLDJUDPIRUWKH'/080,02WUDQVPLVVLRQRID'DWDILHOG
 ZLWK%&&HQFRGLQJRQDRUWRQH58


 )LJXUH 7UDQVPLWWHUEORFNGLDJUDPIRUWKH'/080,02WUDQVPLVVLRQRID'DWDILHOGZLWK/'3& 
 HQFRGLQJRQDRUWRQH58 VKRZVWKHWUDQVPLWWHUEORFNVIRUWKHWUDQVPLVVLRQLQDQ+(























&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 0833'8RIWKH'DWDILHOGZLWK/'3&HQFRGLQJRQDRUWRQH58DOORFDWHGWRPRUH
 WKDQRQHXVHU






&RQVWHOODWLRQ
/'3&


PDSSHU
WRQH
 PDSSHU


3RVW)(&3+<3DGGLQJ
3UH)(&3+<3DGGLQJ



6WUHDP3DUVHU

&RQVWHOODWLRQ
/'3&(QFRGHU

6FUDPEOHU

/'3&

PDSSHU
&6'
 WRQH
SHU676

6SDWLDODQG)UHTXHQF\0DSSLQJ
PDSSHU









&RQVWHOODWLRQ


PDSSHU
/'3&
&6'
WRQH
 PDSSHU
SHU676
 8VHU




&RQVWHOODWLRQ





PDSSHU
 /'3&
&6'
 WRQH
3UH)(&3+<

3+<3DGGLQJ

6WUHDP3DUVHU

SHU676
3RVW)(&

PDSSHU

6FUDPEOHU
3DGGLQJ

(QFRGHU
/'3&





&RQVWHOODWLRQ


PDSSHU

/'3&
&6'
 WRQH
SHU676
PDSSHU

8VHUNuser,total

 ,QVHUW*,
 $QDORJ
DQG ,')7
DQG5)
 :LQGRZ





 $QDORJ
,QVHUW*,
DQG ,')7
 DQG5)
:LQGRZ

 ,QVHUW*,
$QDORJ
 DQG5)
DQG ,')7
 :LQGRZ



)LJXUH²7UDQVPLWWHUEORFNGLDJUDPIRUWKH'/080,02WUDQVPLVVLRQRID'DWDILHOG

 ZLWK/'3&HQFRGLQJRQDRUWRQH58





















 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 )LJXUH 7UDQVPLWWHUEORFNGLDJUDPIRUWKH'DWDILHOGRIDQ+(6833'8LQ0+]ZLWK/'3& 
 HQFRGLQJ VKRZVWKHWUDQVPLWWHUEORFNVXVHGWRJHQHUDWHWKH'DWDILHOGRIDVLQJOHXVHU+(WUDQVPLVVLRQLQ


0+]ZLWK/'3&HQFRGLQJ




 &RQVWHOODWLRQ /'3&WRQH

6HJPHQW
PDSSHU PDSSHU

3DUVHU
 6HJPHQW
&RQVWHOODWLRQ
/'3&WRQH 'HSDUVHU
 ,QWHUOHDYHU

67%& )RU2QH6SDWLDO6WUHDP2QO\
PDSSHUPDSSHU
 &6'
 SHU676
3UH)(&3+<

3RVW)(&3+<
/'3&(QFRGHU



6SDWLDO0DSSLQJ
6FUDPEOHU
3DGGLQJ

6WUHDP3DUVHU

3DGGLQJ





 &RQVWHOODWLRQ /'3&WRQH

6HJPHQW

PDSSHU PDSSHU
3DUVHU

6HJPHQW &6'
 &RQVWHOODWLRQ /'3&WRQH 'HSDUVHU SHU676
 PDSSHU PDSSHU


 ,QVHUW*,
$QDORJ
 DQG5)
DQG ,')7
:LQGRZ




,QVHUW*,
 $QDORJ
DQG ,')7
 DQG5)
:LQGRZ


 )LJXUH²7UDQVPLWWHUEORFNGLDJUDPIRUWKH'DWDILHOGRIDQ+(6833'8LQ0+]ZLWK
 /'3&HQFRGLQJ






























&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 )LJXUH 7UDQVPLWWHUEORFNGLDJUDPIRUWKH'DWDILHOGRIDQ+(6833'8LQ0+]ZLWK/'3& 
 HQFRGLQJ VKRZVWKHWUDQVPLWWHUEORFNVXVHGWRJHQHUDWHWKH'DWDILHOGRIDVLQJOHXVHU+(WUDQVPLVVLRQLQ


0+]ZLWK/'3&HQFRGLQJ




 &RQVWHOODWLRQ /'3&WRQH

6HJPHQW
PDSSHU PDSSHU

3DUVHU


67%& )RU2QH6SDWLDO6WUHDP2QO\
 &RQVWHOODWLRQ
,QWHUOHDYHU
PDSSHU &6'
 SHU676


6SDWLDO0DSSLQJ
3UH)(&3+<

3RVW)(&3+<
/'3&(QFRGHU


6FUDPEOHU
3DGGLQJ

6WUHDP3DUVHU
3DGGLQJ


6SDWLDO0DSSLQJ


67%&



 &RQVWHOODWLRQ /'3&WRQH &6'

6HJPHQW

PDSSHU PDSSHU SHU676


3DUVHU

 &6'
&RQVWHOODWLRQ /'3&WRQH
 PDSSHU PDSSHU
SHU676


 $QDORJ
,QVHUW*,
DQG ,')7
 DQG5)
:LQGRZ
 ,QVHUW*,
$QDORJ
 DQG5)
DQG ,')7
:LQGRZ


 ,QVHUW*,
$QDORJ
 DQG5)
DQG ,')7
 :LQGRZ
,QVHUW*,
 $QDORJ
DQG ,')7
 DQG5)
:LQGRZ


 )LJXUH²7UDQVPLWWHUEORFNGLDJUDPIRUWKH'DWDILHOGRIDQ+(6833'8LQ0+]
 ZLWK/'3&HQFRGLQJ


 2YHUYLHZRIWKH33'8HQFRGLQJSURFHVV

 *HQHUDO


 7KLVVXEFODXVHSURYLGHVDQRYHUYLHZRIWKH+(33'8HQFRGLQJSURFHVV


&RQVWUXFWLRQRI/67)


 &RQVWUXFWWKH/67)ILHOGDVGHILQHGLQ /67) ZLWKWKHIROORZLQJKLJKOLJKWV

 D 'HWHUPLQHWKHFKDQQHOEDQGZLGWKIURPWKH7;9(&725SDUDPHWHU&+B%$1':,'7+

E 6HTXHQFH JHQHUDWLRQ *HQHUDWH WKH /67) VHTXHQFH RYHU WKH FKDQQHO EDQGZLGWK DV GHVFULEHG LQ


  /67) $SSO\DG%SRZHUERRVWLIWUDQVPLWWLQJDQ+((56833'8DVGHVFULEHGLQ
  /67) 

 F 3KDVH URWDWLRQ $SSO\ DSSURSULDWH SKDVH URWDWLRQ IRU HDFK  0+] VXEFKDQQHO DV GHVFULEHG LQ
  0DWKHPDWLFDOGHVFULSWLRQRIVLJQDOV DQG 'HILQLWLRQRIWRQHURWDWLRQ 

G &6'SHU676,IWKH7;9(&725SDUDPHWHU%($0B&+$1*(LVDSSO\&6'SHU676IRUHDFK 

 VSDFHWLPHVWUHDPDQGIUHTXHQF\VHJPHQWDVGHVFULEHGLQ &\FOLFVKLIWIRU+(PRGX
 ODWHGILHOGV 

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 H 6SDWLDOPDSSLQJ,IWKH7;9(&725SDUDPHWHU%($0B&+$1*(LVDSSO\WKHAPDWUL[DQGWKH
 QPDWUL[DVGHVFULEHGLQ /67) 

 I ,')7&RPSXWHWKHLQYHUVHGLVFUHWH)RXULHUWUDQVIRUP
 J &6'SHUFKDLQ,IWKH7;9(&725SDUDPHWHU%($0B&+$1*(LVRUQRWSUHVHQWDSSO\&6'SHU

 FKDLQIRUHDFKWUDQVPLWFKDLQDQG IUHTXHQF\VHJPHQWDVGHVFULEHGLQ &\FOLFVKLIWIRU
 SUH+(PRGXODWHGILHOGV 
 K ,QVHUW *, DQG DSSO\ ZLQGRZLQJ 3UHSHQG D *, TGI,3UH+(  DQG DSSO\ ZLQGRZLQJ DV GHVFULEHG LQ


  0DWKHPDWLFDOGHVFULSWLRQRIVLJQDOV 
 L $QDORJDQG5)8SFRQYHUWWKHUHVXOWLQJFRPSOH[EDVHEDQGZDYHIRUPDVVRFLDWHGZLWKHDFKWUDQVPLW
 FKDLQWRDQ5)VLJQDODFFRUGLQJWRWKHFHQWHUIUHTXHQF\RIWKHGHVLUHGFKDQQHODQGWUDQVPLW5HIHUWR


  0DWKHPDWLFDOGHVFULSWLRQRIVLJQDOV DQG +(SUHDPEOH IRUGHWDLOV

 &RQVWUXFWLRQRI//7)



&RQVWUXFWWKH//7)ILHOGDVGHILQHGLQ //7) ZLWKWKHIROORZLQJKLJKOLJKWV
 D 'HWHUPLQHWKHFKDQQHOEDQGZLGWKIURPWKH7;9(&725SDUDPHWHU&+B%$1':,'7+

 E 6HTXHQFH JHQHUDWLRQ *HQHUDWH WKH //7) VHTXHQFH RYHU WKH FKDQQHO EDQGZLGWK DV GHVFULEHG LQ

  //7) $SSO\DG%SRZHUERRVWLIWUDQVPLWWLQJDQ+((56833'8DVGHVFULEHGLQ
  //7) 

 F 3KDVH URWDWLRQ $SSO\ DSSURSULDWH SKDVH URWDWLRQ IRU HDFK  0+] VXEFKDQQHO DV GHVFULEHG LQ
  0DWKHPDWLFDOGHVFULSWLRQRIVLJQDOV DQG 'HILQLWLRQRIWRQHURWDWLRQ 
 G &6'SHU676,IWKH7;9(&725SDUDPHWHU%($0B&+$1*(LVDSSO\&6'SHU676IRUHDFK 

 VSDFHWLPHVWUHDPDQGIUHTXHQF\VHJPHQWDVGHVFULEHGLQ &\FOLFVKLIWIRU+(PRGX
 ODWHGILHOGV EHIRUHVSDWLDOPDSSLQJ
 H 6SDWLDOPDSSLQJ,IWKH7;9(&725SDUDPHWHU%($0B&+$1*(LVDSSO\WKHAPDWUL[DQGWKH

 QPDWUL[DVGHVFULEHGLQ //7) 
 I ,')7&RPSXWHWKHLQYHUVHGLVFUHWH)RXULHUWUDQVIRUP

 J &6'SHUFKDLQ,IWKH7;9(&725SDUDPHWHU%($0B&+$1*(LVRUQRWSUHVHQWDSSO\&6'SHU
 FKDLQIRUHDFKWUDQVPLWFKDLQDQG IUHTXHQF\VHJPHQWDVGHVFULEHGLQ &\FOLFVKLIWIRU
 SUH+(PRGXODWHGILHOGV 

 K ,QVHUW *, DQG DSSO\ ZLQGRZLQJ 3UHSHQG D *, TGI//7)  DQG DSSO\ ZLQGRZLQJ DV GHVFULEHG LQ
  0DWKHPDWLFDOGHVFULSWLRQRIVLJQDOV 

L $QDORJDQG5)8SFRQYHUWWKHUHVXOWLQJFRPSOH[EDVHEDQGZDYHIRUPDVVRFLDWHGZLWKHDFKWUDQVPLW

 FKDLQWRDQ5)VLJQDODFFRUGLQJWRWKHFDUULHUIUHTXHQF\RIWKHGHVLUHGFKDQQHODQGWUDQVPLW5HIHUWR

  0DWKHPDWLFDOGHVFULSWLRQRIVLJQDOV DQG +(SUHDPEOH IRUGHWDLOV

 &RQVWUXFWLRQRI/6,*


 &RQVWUXFWWKH/6,*ILHOGDVWKH6,*1$/ILHOGGHILQHGLQ /6,* ZLWKWKHIROORZLQJKLJKOLJKWV
 D 6HWWKH5$7(VXEILHOGLQWKH6,*1$/ILHOGWR0EV6HWWKH/(1*7+3DULW\DQG7DLOILHOGVLQ


 WKH6,*1$/ILHOGDVGHVFULEHGLQ /6,* 
 E %&& HQFRGHU (QFRGH WKH 6,*1$/ ILHOG E\ D FRQYROXWLRQDO HQFRGHU DW WKH UDWH RI R  DV
 GHVFULEHGLQ %&&FRGLQJDQGSXQFWXULQJ 

 F %&&LQWHUOHDYHU,QWHUOHDYHDVGHVFULEHGLQ %&&LQWHUOHDYHUV 


G &RQVWHOODWLRQ0DSSHU%36.PRGXODWHDVGHVFULEHGLQ &RQVWHOODWLRQPDSSLQJ 
 H 3LORWLQVHUWLRQ,QVHUWSLORWVDVGHVFULEHGLQ /6,* 

 I ([WUDVXEFDUULHULQVHUWLRQ)RXUH[WUDVXEFDUULHUVDUHLQVHUWHGDW k  ^ ±  ±    ` IRUFKDQQHO
 HVWLPDWLRQSXUSRVHDQGWKHYDOXHVRQWKHVHIRXUH[WUDVXEFDUULHUVDUH^±±±`UHVSHFWLYHO\

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $SSO\ D  G% SRZHU ERRVW WR WKH IRXU H[WUD VXEFDUULHUV LI WUDQVPLWWLQJ DQ +( (5 68 33'8 DV
 GHVFULEHGLQ /6,* 

 J 'XSOLFDWLRQDQGSKDVHURWDWLRQ'XSOLFDWHWKH/6,*ILHOGRYHUHDFKRFFXSLHG0+]VXEFKDQQHO
 RIWKHFKDQQHOEDQGZLGWK$SSO\DSSURSULDWHSKDVHURWDWLRQIRUHDFKRFFXSLHG0+]VXEFKDQQHO
 DVGHVFULEHGLQ 0DWKHPDWLFDOGHVFULSWLRQRIVLJQDOV DQG 'HILQLWLRQRIWRQHURWD

WLRQ 

 K &6'SHU676,IWKH7;9(&725SDUDPHWHU%($0B&+$1*(LVDSSO\&6'SHU676IRUHDFK 
 VSDFHWLPHVWUHDPDQGIUHTXHQF\VHJPHQWDVGHVFULEHGLQ &\FOLFVKLIWIRU+(PRGX

ODWHGILHOGV EHIRUHVSDWLDOPDSSLQJ

 L 6SDWLDOPDSSLQJ,IWKH7;9(&725SDUDPHWHU%($0B&+$1*(LVDSSO\WKHAPDWUL[DQGQ
 PDWUL[DVGHVFULEHGLQ /6,* 

 M ,')7&RPSXWHWKHLQYHUVHGLVFUHWH)RXULHUWUDQVIRUP

N &6'SHUFKDLQ,IWKH7;9(&725SDUDPHWHU%($0B&+$1*(LVRUQRWSUHVHQWDSSO\&6'SHU

 FKDLQIRUHDFKWUDQVPLWFKDLQDQG IUHTXHQF\VHJPHQWDVGHVFULEHGLQ &\FOLFVKLIWIRU
 SUH+(PRGXODWHGILHOGV 

O ,QVHUW *, DQG DSSO\ ZLQGRZLQJ 3UHSHQG D *, TGI3UH+(  DQG DSSO\ ZLQGRZLQJ DV GHVFULEHG LQ


  0DWKHPDWLFDOGHVFULSWLRQRIVLJQDOV 
 P $QDORJDQG5)8SFRQYHUWWKHUHVXOWLQJFRPSOH[EDVHEDQGZDYHIRUPDVVRFLDWHGZLWKHDFKWUDQVPLW

FKDLQ5HIHUWR 0DWKHPDWLFDOGHVFULSWLRQRIVLJQDOV DQG +(SUHDPEOH IRUGHWDLOV


 &RQVWUXFWLRQRI5/6,*


&RQVWUXFWWKH5/6,*ILHOGDVWKHUHSHDW6,*1$/ILHOGGHILQHGLQ 5/6,* ZLWKWKHIROORZLQJ

 KLJKOLJKWV
 D 6HW WKH 5$7(VXEILHOGLQWKHUHSHDW 6,*1$/ILHOG WR 0EV6HW WKH /(1*7+ 3DULW\ DQG 7DLO

ILHOGVLQWKHUHSHDW6,*1$/ILHOGDVGHVFULEHGLQ 5/6,* 

 E %&&HQFRGHU(QFRGHWKHUHSHDW6,*1$/ILHOGE\DFRQYROXWLRQDOHQFRGHUDWWKHUDWHRIR DV
 GHVFULEHGLQ %&&FRGLQJDQGSXQFWXULQJ 

 F %&&LQWHUOHDYHU,QWHUOHDYHDVGHVFULEHGLQ %&&LQWHUOHDYHUV 

G &RQVWHOODWLRQ0DSSHU%36.PRGXODWHDVGHVFULEHGLQ &RQVWHOODWLRQPDSSLQJ 

 H 3LORWLQVHUWLRQ,QVHUWSLORWVDVGHVFULEHGLQ 5/6,* 

 I ([WUDVXEFDUULHULQVHUWLRQ)RXUH[WUDVXEFDUULHUVDUHLQVHUWHGDW k  ^ ±  ±    ` IRUFKDQQHO
 HVWLPDWLRQSXUSRVHDQGWKHYDOXHVRQWKHVHIRXUH[WUDVXEFDUULHUVDUH^±±±`UHVSHFWLYHO\
 $SSO\ D  G% SRZHU ERRVW WR WKH IRXU H[WUD VXEFDUULHUV LI WUDQVPLWWLQJ DQ +( (5 68 33'8 DV
 GHVFULEHGLQ 5/6,* 

 J 'XSOLFDWLRQDQGSKDVHURWDWLRQ'XSOLFDWHWKH5/6,*ILHOGRYHUHDFKRFFXSLHG0+]VXEFKDQQHO
 RIWKHFKDQQHOEDQGZLGWK$SSO\DSSURSULDWHSKDVHURWDWLRQIRUHDFKRFFXSLHG0+]VXEFKDQQHO
 DVGHVFULEHGLQ 0DWKHPDWLFDOGHVFULSWLRQRIVLJQDOV DQG 'HILQLWLRQRIWRQHURWD

WLRQ 

 K &6'SHU676,IWKH7;9(&725SDUDPHWHU%($0B&+$1*(LVDSSO\&6'SHU676IRUHDFK 
 VSDFHWLPHVWUHDPDQGIUHTXHQF\VHJPHQWDVGHVFULEHGLQ &\FOLFVKLIWIRU+(PRGX

ODWHGILHOGV EHIRUHVSDWLDOPDSSLQJ

 L 6SDWLDOPDSSLQJ,IWKH7;9(&725SDUDPHWHU%($0B&+$1*(LVDSSO\WKHAPDWUL[DQGWKH
 QPDWUL[DVGHVFULEHGLQ 5/6,* 

 M ,')7&RPSXWHWKHLQYHUVHGLVFUHWH)RXULHUWUDQVIRUP

N &6'SHUFKDLQ,IWKH7;9(&725SDUDPHWHU%($0B&+$1*(LVRUQRWSUHVHQWDSSO\&6'SHU

 FKDLQIRUHDFKWUDQVPLWFKDLQDQG IUHTXHQF\VHJPHQWDVGHVFULEHGLQ &\FOLFVKLIWIRU
 SUH+(PRGXODWHGILHOGV 

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 O ,QVHUW *, DQG DSSO\ ZLQGRZLQJ 3UHSHQG D *, TGI3UH+(  DQG DSSO\ ZLQGRZLQJ DV GHVFULEHG LQ

  0DWKHPDWLFDOGHVFULSWLRQRIVLJQDOV 

 P $QDORJDQG5)8SFRQYHUWWKHUHVXOWLQJFRPSOH[EDVHEDQGZDYHIRUPDVVRFLDWHGZLWKHDFKWUDQVPLW
 FKDLQ5HIHUWR 0DWKHPDWLFDOGHVFULSWLRQRIVLJQDOV DQG +(SUHDPEOH IRUGHWDLOV


 &RQVWUXFWLRQRI+(6,*$

 )RUDQ+(6833'8+(0833'8DQG+(7%33'8WKH+(6,*$ILHOGFRQVLVWVRIWZRSDUWV+(
 6,*$DQG+(6,*$DVGHILQHGLQ +(6,*$ DQGLVFRQVWUXFWHGDVIROORZV

 D 2EWDLQWKH+(6,*$ILHOGYDOXHVIURPWKH7;9(&725$GGWKHUHVHUYHGELWVDSSHQGWKHFDOFX
 ODWHG&5&DQGWKHQDSSHQGWKHNtailWDLOELWVDVVKRZQLQ +(6,*$ 7KLVUHVXOWVLQ
 XQFRGHGELWV

 E %&& HQFRGHU (QFRGH WKH GDWD E\ D FRQYROXWLRQDO HQFRGHU DW WKH UDWH RI R  DV GHVFULEHG LQ

  &RQYROXWLRQDOHQFRGHU 

 F %&&LQWHUOHDYHU,QWHUOHDYHDVGHVFULEHGLQ %&&LQWHUOHDYHUV 


G &RQVWHOODWLRQPDSSHU%36.PRGXODWHWKHILUVWLQWHUOHDYHGELWVDVGHVFULEHGLQ 6XEFDU
 ULHUPRGXODWLRQPDSSLQJ WRIRUPWKHILUVW2)'0V\PERORI+(6,*$%36.PRGXODWHWKHVHFRQG
 LQWHUOHDYHGELWVWRIRUPWKHVHFRQG2)'0V\PERORI+(6,*$

 H 3LORWLQVHUWLRQ,QVHUWSLORWVDVGHVFULEHGLQ 3LORWVXEFDUULHUV 
 I 'XSOLFDWHDQGSKDVHURWDWLRQ'XSOLFDWHWKH+(6,*$2)'0V\PEROVRYHUHDFKRFFXSLHG0+]
 VXEFKDQQHORIWKHFKDQQHOZLGWK$SSO\WKHDSSURSULDWHSKDVHURWDWLRQIRUHDFKRFFXSLHG0+]

 VXEFKDQQHODVGHVFULEHGLQ 0DWKHPDWLFDOGHVFULSWLRQRIVLJQDOV DQG 'HILQLWLRQRI
 WRQHURWDWLRQ 
 J &6'SHU676,IWKH7;9(&725SDUDPHWHU%($0B&+$1*(LVDSSO\&6'SHU676IRUHDFK 

 VSDFHWLPHVWUHDPDQGIUHTXHQF\VHJPHQWDVGHVFULEHGLQ &\FOLFVKLIWIRU+(PRGX
 ODWHGILHOGV EHIRUHVSDWLDOPDSSLQJ

K 6SDWLDOPDSSLQJ,IWKH7;9(&725SDUDPHWHU%($0B&+$1*(LVDSSO\WKHAPDWUL[DQGWKH

 QPDWUL[DVGHVFULEHGLQ (QFRGLQJDQGPRGXODWLRQ 
 L ,')7&RPSXWHWKHLQYHUVHGLVFUHWH)RXULHUWUDQVIRUP

 M &6'SHUFKDLQ,IWKH7;9(&725SDUDPHWHU%($0B&+$1*(LVRUQRWSUHVHQWDSSO\&6'SHU
 FKDLQIRUHDFKWUDQVPLWFKDLQDQG IUHTXHQF\VHJPHQWDVGHVFULEHGLQ &\FOLFVKLIWIRU
 SUH+(PRGXODWHGILHOGV 

 N ,QVHUW *, DQG DSSO\ ZLQGRZLQJ 3UHSHQG D *, TGI3UH+(  DQG DSSO\ ZLQGRZLQJ DV GHVFULEHG LQ

  0DWKHPDWLFDOGHVFULSWLRQRIVLJQDOV 

 O $QDORJDQG5)8SFRQYHUWWKHUHVXOWLQJFRPSOH[EDVHEDQGZDYHIRUPDVVRFLDWHGZLWKHDFKWUDQVPLW
 FKDLQWRDQ5)VLJQDODFFRUGLQJWRWKHFHQWHUIUHTXHQF\RIWKHGHVLUHGFKDQQHODQGWUDQVPLW5HIHUWR

  0DWKHPDWLFDOGHVFULSWLRQRIVLJQDOV DQG +(SUHDPEOH IRUGHWDLOV


 )RUDQ+((56833'8WKH+(6,*$ILHOGFRQVLVWVRIIRXUSDUWV+(6,*$+(6,*$+(6,*$
 DQG+(6,*$+(6,*$DQG+(6,*$KDYHWKHVDPHGDWDELWVZKLOH+(6,*$DQG+(6,*$ 
 KDYHWKHVDPHGDWDELWVDVGHILQHGLQ +(6,*$ 7KH+(6,*$ILHOGLVFRQVWUXFWHGDVIROORZV

 D 2EWDLQWKH +(6,*$ ILHOGV IURP WKH 7;9(&725 $GG WKH UHVHUYHG ELWV DSSHQGWKH FDOFXODWHG 
 &5& DQG WKHQ DSSHQG WKH Ntail WDLO ELWV DV VKRZQ LQ  +(6,*$  7KLV UHVXOWV LQ 
 XQFRGHGELWV

 E %&& HQFRGHU (QFRGH WKH GDWD E\ D FRQYROXWLRQDO HQFRGHU DW WKH UDWH RI R  DV GHVFULEHG LQ

  &RQYROXWLRQDOHQFRGHU 

 F %&&LQWHUOHDYHU,QWHUOHDYHWKHGDWDELWVRI+(6,*$DQG+(6,*$DVGHVFULEHGLQ

 %&&LQWHUOHDYHUV 7KHGDWDELWVRI+(6,*$DQG+(6,*$DUHQRWLQWHUOHDYHG

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 G &RQVWHOODWLRQPDSSHU%36.PRGXODWHWKH+(6,*$+(6,*$DQG+(6,*$GDWDELWVDV
 GHVFULEHGLQ  6XEFDUULHUPRGXODWLRQ PDSSLQJ WRIRUP WKHILUVW WKLUGDQGIRXUWK 2)'0


V\PERORI+(6,*$UHVSHFWLYHO\4%36.PRGXODWHWKH+(6,*$HQFRGHGGDWDELWVWRIRUPWKH

 VHFRQG2)'0V\PERORI+(6,*$
 H 3LORWLQVHUWLRQ,QVHUWSLORWVDVGHVFULEHGLQ 3LORWVXEFDUULHUV 

 I 'XSOLFDWLRQDQGSKDVHURWDWLRQ'XSOLFDWHWKH+(6,*$ILHOGRYHUHDFKRFFXSLHG0+]VXEFKDQ
 QHORIWKHFKDQQHOEDQGZLGWK$SSO\DSSURSULDWHSKDVHURWDWLRQIRUHDFKRFFXSLHG0+]VXEFKDQ
 QHODVGHVFULEHGLQ 0DWKHPDWLFDOGHVFULSWLRQRIVLJQDOV DQG 'HILQLWLRQRIWRQH

URWDWLRQ 

 J &6'SHU676,IWKH7;9(&725SDUDPHWHU%($0B&+$1*(LVDSSO\&6'SHU676IRUHDFK 
 VSDFHWLPHVWUHDPDQGIUHTXHQF\VHJPHQWDVGHVFULEHGLQ &\FOLFVKLIWIRU+(PRGX

ODWHGILHOGV EHIRUHVSDWLDOPDSSLQJ

 K 6SDWLDOPDSSLQJ,IWKH7;9(&725SDUDPHWHU%($0B&+$1*(LVDSSO\WKHAPDWUL[DQGWKH
 QPDWUL[DVGHVFULEHGLQ (QFRGLQJDQGPRGXODWLRQ 

 L ,')7&RPSXWHWKHLQYHUVH)RXULHUWUDQVIRUP

M &6'SHUFKDLQ,IWKH7;9(&725SDUDPHWHU%($0B&+$1*(LVRUQRWSUHVHQWDSSO\&6'SHU

 FKDLQIRUHDFKWUDQVPLWFKDLQDQG IUHTXHQF\VHJPHQWDVGHVFULEHGLQ &\FOLFVKLIWIRU
 SUH+(PRGXODWHGILHOGV 

N ,QVHUW *, DQG DSSO\ ZLQGRZLQJ 3UHSHQG D *, TGI3UH+(  DQG DSSO\ ZLQGRZLQJ DV GHVFULEHG LQ


  0DWKHPDWLFDOGHVFULSWLRQRIVLJQDOV 
 O $QDORJDQG5)8SFRQYHUWWKHUHVXOWLQJFRPSOH[EDVHEDQGZDYHIRUPDVVRFLDWHGZLWKHDFKWUDQVPLW

FKDLQWRDQ5)VLJQDODFFRUGLQJWRWKHFHQWHUIUHTXHQF\RIWKHGHVLUHGFKDQQHODQGWUDQVPLW5HIHUWR


  0DWKHPDWLFDOGHVFULSWLRQRIVLJQDOV DQG +(SUHDPEOH IRUGHWDLOV

 &RQVWUXFWLRQRI+(6,*%


 )RUDQ+(0833'8WKH+(6,*%ILHOGFRQVLVWVRID&RPPRQILHOGIROORZHGE\D8VHU6SHFLILFILHOGDV
 GHILQHGLQ +(6,*% DQGLVFRQVWUXFWHGDVIROORZV

D 2EWDLQWKH+(6,*%ILHOGYDOXHVIURPWKH7;9(&725$GGWKHUHVHUYHGELWVDSSHQGWKHFDOFX

 ODWHG&5&DQGWKHQDSSHQGWKHNtailWDLOELWVDVVKRZQLQ +(6,*% 
 E %&&HQFRGHU(QFRGHWKH&RPPRQILHOGGDWDDQGHDFK8VHU%ORFNILHOGGDWDLQGLYLGXDOO\E\DFRQ

YROXWLRQDOHQFRGHUDVGHVFULEHGLQ %&&FRGLQJDQGSXQFWXULQJ 

 F %&&LQWHUOHDYHU,QWHUOHDYHDVGHVFULEHGLQ %&&LQWHUOHDYHUV 

 G &RQVWHOODWLRQPDSSHU2EWDLQ0&6B6,*B%IURPWKH7;9(&725DQGXVHLWWRPRGXODWHWKHLQWHU
 OHDYHGELWVDVGHVFULEHGLQ &RQVWHOODWLRQPDSSLQJ WRIRUPWKH+(6,*%2)'0V\P
 EROV

 H 3LORWLQVHUWLRQ,QVHUWSLORWVDVGHVFULEHGLQ 3LORWVXEFDUULHUV 
 I 'XSOLFDWH DQG SKDVH URWDWLRQ 'XSOLFDWH +(6,*% 2)'0 V\PEROV DV GHVFULEHG LQ 

(QFRGLQJDQGPRGXODWLRQ $SSO\WKHDSSURSULDWHSKDVHURWDWLRQIRUHDFK0+]VXEFKDQQHODV

 GHVFULEHGLQ 0DWKHPDWLFDOGHVFULSWLRQRIVLJQDOV DQG 'HILQLWLRQRIWRQHURWDWLRQ 
 J &6'$SSO\&6'IRUHDFKWUDQVPLWFKDLQDQGIUHTXHQF\VHJPHQWDVGHVFULEHGLQ &\FOLF

VKLIWIRUSUH+(PRGXODWHGILHOGV 

 K ,')7&RPSXWHWKHLQYHUVH)RXULHUWUDQVIRUP

 L ,QVHUW *, DQG DSSO\ ZLQGRZLQJ 3UHSHQG D *, TGI3UH+(  DQG DSSO\ ZLQGRZLQJ DV GHVFULEHG LQ

  0DWKHPDWLFDOGHVFULSWLRQRIVLJQDOV 

M $QDORJDQG5)8SFRQYHUWWKHUHVXOWLQJFRPSOH[EDVHEDQGZDYHIRUPDVVRFLDWHGZLWKHDFKWUDQVPLW

 FKDLQWRDQ5)VLJQDODFFRUGLQJWRWKHFHQWHUIUHTXHQF\RIWKHGHVLUHGFKDQQHODQGWUDQVPLW5HIHUWR

  0DWKHPDWLFDOGHVFULSWLRQRIVLJQDOV DQG +(SUHDPEOH IRUGHWDLOV

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 &RQVWUXFWLRQRI+(67)



7KH+(67)ILHOGLVGHILQHGLQ +(67) DQGLVFRQVWUXFWHGDVIROORZV
 D 6HTXHQFHJHQHUDWLRQ*HQHUDWHWKH+(67)LQWKHIUHTXHQF\GRPDLQRYHUWKHEDQGZLGWKLQGLFDWHG

 E\WKH7;9(&725SDUDPHWHU&+B%$1':,'7+DVGHVFULEHGLQ +(67) $SSO\D

G%SRZHUERRVWLIWUDQVPLWWLQJDQ+((56833'8DVGHVFULEHGLQ +(67) 

 E &6' $SSO\ &6' IRU HDFK VSDFHWLPH VWUHDP DQG IUHTXHQF\ VHJPHQW DV GHVFULEHG LQ 

 &\FOLFVKLIWIRU+(PRGXODWHGILHOGV 

 F 6SDWLDOPDSSLQJ$SSO\WKHQPDWUL[DVGHVFULEHGLQ +(67) 
 G ,')7&RPSXWHWKHLQYHUVHGLVFUHWH)RXULHUWUDQVIRUP

 H ,QVHUW*,DQGDSSO\ZLQGRZLQJ3UHSHQGD*,—V*,IRU+(6833'8+((56833'8DQG
 +(0833'8DQG—V*,IRUDQ+(7%33'8$SSO\ZLQGRZLQJDVGHVFULEHGLQ 0DWK
 HPDWLFDOGHVFULSWLRQRIVLJQDOV 

 I $QDORJDQG5)8SFRQYHUWWKHUHVXOWLQJFRPSOH[EDVHEDQGZDYHIRUPDVVRFLDWHGZLWKHDFKWUDQVPLW
 FKDLQWRDQ5)VLJQDODFFRUGLQJWRWKHFHQWHUIUHTXHQF\RIWKHGHVLUHGFKDQQHODQGWUDQVPLW5HIHUWR

  0DWKHPDWLFDOGHVFULSWLRQRIVLJQDOV DQG +(SUHDPEOH IRUGHWDLOV


 &RQVWUXFWLRQRI+(/7)

 7KH+(/7)ILHOGLVGHILQHGLQ +(/7) DQGLVFRQVWUXFWHGDVIROORZV

 D 6HTXHQFHJHQHUDWLRQ*HQHUDWHWKH+(/7)VHTXHQFHLQIUHTXHQF\GRPDLQRYHUWKHEDQGZLGWKLQGL
 FDWHG E\ &+B%$1':,'7+ DV GHVFULEHG LQ  +(/7)  $SSO\ D  G% SRZHU ERRVW LI
 WUDQVPLWWLQJDQ+((56833'8DVGHVFULEHGLQ +(/7) 

 E A+(/7)PDWUL[PDSSLQJ$SSO\WKHP+(/7)PDWUL[WRWKHGDWDWRQHVRIWKH+(/7)VHTXHQFHDQG
 DSSO\WKHR+(/7)PDWUL[WRSLORWVXEFDUULHUVRIWKH+(/7)VHTXHQFHH[FHSWWKH8/080,02 
 WUDQVPLVVLRQQRWXVLQJ+(VLQJOHVWUHDPSLORW+(/7)PRGHDVGHVFULEHGLQ +(/7) 
 7KHUHLVQRSLORWPDSSLQJIRUDQ+(7%IHHGEDFN1'3

 F &6' $SSO\ &6' IRU HDFK VSDFHWLPH VWUHDP DQG IUHTXHQF\ VHJPHQW DV GHVFULEHG LQ 

 &\FOLFVKLIWIRU+(PRGXODWHGILHOGV 

G 6SDWLDOPDSSLQJ$SSO\WKHQPDWUL[DVGHVFULEHGLQ +(/7) 

 H ,')7&RPSXWHWKHLQYHUVHGLVFUHWH)RXULHUWUDQVIRUP

 I ,QVHUW*,DQGDSSO\ZLQGRZLQJ3UHSHQGD*,LQGLFDWHGE\WKH7;9(&725SDUDPHWHU*,B7<3(

 DQGDSSO\ZLQGRZLQJDVGHVFULEHGLQ 0DWKHPDWLFDOGHVFULSWLRQRIVLJQDOV 
 J $QDORJDQG5)8SFRQYHUWWKHUHVXOWLQJFRPSOH[EDVHEDQGZDYHIRUPDVVRFLDWHGZLWKHDFKWUDQVPLW


FKDLQWRDQ5)VLJQDODFFRUGLQJWRWKHFHQWHUIUHTXHQF\RIWKHGHVLUHGFKDQQHODQGWUDQVPLW5HIHUWR

  0DWKHPDWLFDOGHVFULSWLRQRIVLJQDOV DQG +(SUHDPEOH IRUGHWDLOV

 &RQVWUXFWLRQRIWKH'DWDILHOGLQDQ+(6833'8+((56833'8DQG+(7%
 33'8


 8VLQJ%&&

 7KHFRQVWUXFWLRQRIWKH'DWDILHOGLQDQ+(6833'8+((56833'8DQG+(7%33'8ZLWK%&&


HQFRGLQJSURFHHGVDVIROORZV

 D &RQVWUXFWWKH6(59,&(ILHOGDVGHVFULEHGLQ 6(59,&(ILHOG DQGDSSHQGWKH36'8WR

 WKH6(59,&(ILHOG

 E 3UH)(&SDGGLQJ$SSHQGWKHSUH)(&SDGELWVDQGWDLOELWVDVGHVFULEHGLQ 'DWDILHOG 
 F 6FUDPEOHU6FUDPEOHWKHSUH)(&SDGGHGGDWD

 G %&&HQFRGHU%&&HQFRGHDVGHVFULEHGLQ %&&FRGLQJDQGSXQFWXULQJ 

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 H 3RVW)(&SDGGLQJ$SSHQGWKHSRVW)(&SDGELWVDQG3(ILHOGDVGHVFULEHGLQ 'DWDILHOG 

 I 6WUHDPSDUVHU5HDUUDQJHWKHRXWSXWRI%&&HQFRGHULQWREORFNVDVGHVFULEHGLQ 6WUHDP

 SDUVHU 
 J %&&LQWHUOHDYHU,QWHUOHDYHDVGHVFULEHGLQ %&&LQWHUOHDYHUV 

 K &RQVWHOODWLRQPDSSHU0DSWR%36.%36.'&0436.436.'&04$04$0'&0
 4$0RU4$0FRQVWHOODWLRQSRLQWVDVGHVFULEHGLQ &RQVWHOODWLRQPDSSLQJ 

L 67%&$SSO\67%&DVGHVFULEHGLQ 6SDFHWLPHEORFNFRGLQJ 

 M 3LORWLQVHUWLRQ,QVHUWSLORWVIROORZLQJWKHVWHSVGHVFULEHGLQ 3LORWVXEFDUULHUV 


N &6' $SSO\ &6' IRU HDFK VSDFHWLPH VWUHDP DQG IUHTXHQF\ VHJPHQW DV GHVFULEHG LQ 

 &\FOLFVKLIWIRU+(PRGXODWHGILHOGV 
 O 6SDWLDOPDSSLQJ$SSO\WKHQPDWUL[DVGHVFULEHGLQ 2)'0PRGXODWLRQ 

 P ,')7,QDQ0+]WUDQVPLVVLRQPDSHDFKIUHTXHQF\VXEEORFNWRDVHSDUDWH,')7&RPSXWH
 WKHLQYHUVHGLVFUHWH)RXULHUWUDQVIRUP
 Q ,QVHUW*,DQGDSSO\ZLQGRZLQJ3UHSHQGD*,GHWHUPLQHGE\WKH7;9(&725SDUDPHWHU*,B7<3(


 DQGDSSO\ZLQGRZLQJDVGHVFULEHGLQ 0DWKHPDWLFDOGHVFULSWLRQRIVLJQDOV 
 R $QDORJDQG5)8SFRQYHUWWKHUHVXOWLQJFRPSOH[EDVHEDQGZDYHIRUPZLWKHDFKWUDQVPLWFKDLQWRDQ 
 5)VLJQDODFFRUGLQJWRWKHFHQWHUIUHTXHQF\RIWKHGHVLUHGFKDQQHODQGWUDQVPLW5HIHUWR



0DWKHPDWLFDOGHVFULSWLRQRIVLJQDOV DQG +(SUHDPEOH IRUGHWDLOV

 8VLQJ/'3&

 7KHFRQVWUXFWLRQRIWKH'DWDILHOGLQDQ+(6833'8+((56833'8DQG+(7%33'8ZLWK/'3&


 HQFRGLQJSURFHHGVDVIROORZV
 D &RQVWUXFWWKH6(59,&(ILHOGDVGHVFULEHGLQ 6(59,&(ILHOG DQGDSSHQGWKH36'8WR

 WKH6(59,&(ILHOG

 E 3UH)(&SDGGLQJ$SSHQGWKHSUH)(&SDGGLQJELWVDVGHVFULEHGLQ 'DWDILHOG 7KHUHDUH
 QRWDLOELWV

F 6FUDPEOHU6FUDPEOHWKHSUH)(&SDGGHGGDWD

 G /'3&HQFRGHU/'3&HQFRGHDVGHVFULEHGLQ /'3&FRGLQJ 

H 3RVW)(&SDGGLQJ$SSHQGWKHSRVW)(&SDGELWVDQG3(ILHOGDVGHVFULEHGLQ 'DWDILHOG 

 I 6WUHDPSDUVHU5HDUUDQJHWKHRXWSXWRI/'3&HQFRGHULQWREORFNVDVGHVFULEHGLQ 6WUHDP

 SDUVHU 

 J 6HJPHQW SDUVHU LI QHHGHG  ,Q D  0+] RU  0+] WUDQVPLVVLRQ ZLWK D îWRQH 58
 GLYLGH WKH RXWSXW RI HDFK VWUHDP SDUVHU LQWR WZR IUHTXHQF\ VXEEORFNV DV GHVFULEHG LQ 
 6WUHDPSDUVHU 7KLVEORFNLVE\SDVVHGIRU0+]0+]DQG0+]WUDQVPLVVLRQV

 K &RQVWHOODWLRQPDSSHU0DSWR%36.%36.'&0436.436.'&04$04$0'&0
 4$0 4$0 RU 4$0 FRQVWHOODWLRQ SRLQWV DV GHVFULEHG LQ  &RQVWHOODWLRQ
 PDSSLQJ 


L /'3&WRQHPDSSHUWKH/'3&WRQHPDSSLQJVKDOOEHSHUIRUPHGRQDOO/'3&HQFRGHGVWUHDPVDV
 GHVFULEHGLQ /'3&WRQHPDSSHU 
 M 6HJPHQWGHSDUVHU LIQHHGHG ,Q0+]WUDQVPLVVLRQPHUJHWKHWZRIUHTXHQF\VXEEORFNVLQWR
 RQHIUHTXHQF\VHJPHQWDVGHVFULEHGLQ 6HJPHQWGHSDUVHU 7KLVEORFNLVE\SDVVHGIRU

 0+]0+]0+]DQG0+]WUDQVPLVVLRQV
 N 67%&$SSO\67%&DVGHVFULEHGLQ 6SDFHWLPHEORFNFRGLQJ 

 O 3LORWLQVHUWLRQ,QVHUWSLORWVIROORZLQJWKHVWHSVGHVFULEHGLQ 3LORWVXEFDUULHUV 
 P &6' $SSO\ &6' IRU HDFK VSDFHWLPH VWUHDP DQG IUHTXHQF\ VHJPHQW DV GHVFULEHG LQ 

 &\FOLFVKLIWIRU+(PRGXODWHGILHOGV 

 Q 6SDWLDOPDSSLQJ$SSO\WKHQPDWUL[DVGHVFULEHGLQ 2)'0PRGXODWLRQ 

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 R ,')7,QDQ0+]WUDQVPLVVLRQPDSHDFKIUHTXHQF\VXEEORFNWRDVHSDUDWH,')7&RPSXWH
 WKHLQYHUVHGLVFUHWH)RXULHUWUDQVIRUP

 S ,QVHUW*,DQGDSSO\ZLQGRZLQJ3UHSHQGD*,GHWHUPLQHGE\WKH7;9(&725SDUDPHWHU*,B7<3(

 DQGDSSO\ZLQGRZLQJDVGHVFULEHGLQ 0DWKHPDWLFDOGHVFULSWLRQRIVLJQDOV 

 T $QDORJDQG5)8SFRQYHUWWKHUHVXOWLQJFRPSOH[EDVHEDQGZDYHIRUPZLWKHDFKWUDQVPLWFKDLQWRDQ 
 5)VLJQDODFFRUGLQJWRWKHFHQWHUIUHTXHQF\RIWKHGHVLUHGFKDQQHODQGWUDQVPLW5HIHUWR

 0DWKHPDWLFDOGHVFULSWLRQRIVLJQDOV DQG +(SUHDPEOH IRUGHWDLOV

 &RQVWUXFWLRQRIWKH'DWDILHOGLQDQ+(0833'8


 *HQHUDO

 ,QDQ+(08WUDQVPLVVLRQWKH33'8HQFRGLQJSURFHVVLVSHUIRUPHGLQGHSHQGHQWO\LQDQ58RQDSHUXVHU

EDVLV XS WR WKH LQSXW RI WKH VSDWLDO PDSSLQJ EORFN H[FHSW WKDW &6' LV SHUIRUPHG ZLWK NQRZOHGJH RI WKH

 VSDFHWLPHVWUHDPVVWDUWLQJLQGH[IRUWKDWXVHU$OOXVHUGDWDLQDQ58LVFRPELQHGDQGPDSSHGWRWKHWUDQV
 PLWFKDLQVLQWKHVSDWLDOPDSSLQJEORFN

 8VLQJ%&&


 $'DWDILHOGZLWK%&&HQFRGLQJLVFRQVWUXFWHGXVLQJVWHSV D WR O LQ 8VLQJ%&& WKHQDSSO\
 LQJ&6'IRUDQ+(0833'8DVGHVFULEHGLQ &\FOLFVKLIWIRU+(PRGXODWHGILHOGV 

 8VLQJ/'3&


 $'DWDILHOGZLWK/'3&HQFRGLQJLVFRQVWUXFWHGXVLQJVWHSV D WR O LQ 8VLQJ/'3& WKHQ
 DSSO\LQJ&6'IRUDQ+(0833'8DVGHVFULEHGLQ &\FOLFVKLIWIRU+(PRGXODWHGILHOGV 



&RPELQLQJWRIRUPDQ+(0833'8

 7KHSHUXVHUGDWDLVFRPELQHGDVIROORZV


D 6SDWLDOPDSSLQJ7KHQPDWUL[LVDSSOLHGDVGHVFULEHGLQ 2)'0PRGXODWLRQ 7KHFRP
 ELQLQJRIDOOXVHUGDWDRIDQ58LVGRQHLQWKLVEORFN
 E ,')7&RPSXWHWKHLQYHUVHGLVFUHWH)RXULHUWUDQVIRUP

 F ,QVHUW*,DQGDSSO\ZLQGRZLQJ3UHSHQGD*,GHWHUPLQHGE\WKH7;9(&725SDUDPHWHU*,B7<3(

 DQGDSSO\ZLQGRZLQJDVGHVFULEHGLQ 0DWKHPDWLFDOGHVFULSWLRQRIVLJQDOV 


G $QDORJDQG5)8SFRQYHUWWKHUHVXOWLQJFRPSOH[EDVHEDQGZDYHIRUPZLWKHDFKWUDQVPLWFKDLQWRDQ 
 5)VLJQDODFFRUGLQJWRWKHFHQWHUIUHTXHQF\RIWKHGHVLUHGFKDQQHODQGWUDQVPLW5HIHUWR

 0DWKHPDWLFDOGHVFULSWLRQRIVLJQDOV DQG +(SUHDPEOH IRUGHWDLOV

 +(PRGXODWLRQDQGFRGLQJVFKHPHV +(0&6V


 7KH+(0&6LVDFRPSDFWUHSUHVHQWDWLRQRIWKHPRGXODWLRQDQGFRGLQJXVHGLQWKH'DWDILHOGRIWKH33'8
 )RUDQ+(6833'8DQGDQ+((56833'8LWLVFDUULHGLQWKH+(6,*$ILHOG)RUDQ+(0833'8LW
 LVFDUULHGSHUXVHULQWKH8VHU6SHFLILFILHOGRIWKH+(6,*%ILHOG)RUDQ+(7%33'8LWLVFDUULHGLQWKH
 8VHU,QIRILHOGRIWKH7ULJJHUIUDPHVROLFLWLQJWKH+(7%33'8


 5DWHGHSHQGHQWSDUDPHWHUVIRUWKHIXOOVHWRI+(0&6VDUHVKRZQLQ7DEOH +(0&6VIRUWRQH
 58 166    WR 7DEOH +(0&6V IRU îWRQH 58 166   LQ  3DUDPHWHUV IRU +(
 0&6V 7KHVHWDEOHVJLYHUDWHGHSHQGHQWSDUDPHWHUVIRU+(0&6VZLWKLQGLFHVWRZLWKQXPEHURI

VSDWLDOVWUHDPVIURPWR58RSWLRQVRIWRQH58WRQH58WRQH58WRQH58WRQH

 58DQGWRQH58DQGEDQGZLGWKRSWLRQVRI0+]0+]0+]DQGHLWKHU0+]RU 
 0+]

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KH+((56833'8VXSSRUWVRQO\DVLQJOHWRQHRUWRQH58$Q+((56833'8ZLWKD
 WRQH58VKDOORQO\EHWUDQVPLWWHGZLWKWKH+(0&6166!WXSOHV+(0&6!+(0&6!DQG 

+(0&6!$Q+((56833'8ZLWKDWRQH58VKDOORQO\EHWUDQVPLWWHGZLWKWKH+(0&6

 166!WXSOH+(0&6!7KHWRQH58ORFDWLRQZLWKLQWKH0+]WRQHSODQLVIL[HGDVWKHRQHWKDW
 LVKLJKHULQIUHTXHQF\

 '&0LVDQRSWLRQDOPRGXODWLRQVFKHPHXVHGIRUWKH+(6,*%ILHOGDQGWKH'DWDILHOGLQDQ+(33'87KH

 XVHRI'&0IRUWKH+(6,*%ILHOGLQDQ+(0833'8LVLQGLFDWHGLQWKH+(6,*$ILHOG)RUWKH+(
 6,*%ILHOG'&0LVDSSOLFDEOHWRRQO\WKH+(6,*%0&6VDQG7KHXVHRI'&0RQWKH'DWD
 ILHOGRIDQ+(6833'8DQG+((56833'8LVLQGLFDWHGLQWKH+(6,*$ILHOG7KHXVHRI'&0LQWKH
 'DWDILHOGRIDQ+(0833'8LVLQGLFDWHGLQWKH+(6,*%ILHOG)RUWKH'DWDILHOG'&0LVDSSOLFDEOHWR

 RQO\WKH+(0&6VDQG


 7KHSUH+(PRGXODWHGILHOGV VHH)LJXUH 7LPLQJERXQGDULHVIRU+(33'8ILHOGVLIPLGDPEOHLVQRW
 SUHVHQW  DUH QRW WUDQVPLWWHG LQ  0+] VXEFKDQQHOV LQ ZKLFK WKH SUHDPEOH LV SXQFWXUHG DV GHVFULEHG LQ

  /67) 


 +(6,*%PRGXODWLRQDQGFRGLQJVFKHPHV +(6,*%0&6V



7KH+(6,*%0&6LVDFRPSDFWUHSUHVHQWDWLRQRIWKHPRGXODWLRQDQGFRGLQJXVHGLQWKH+(6,*%ILHOG
 RI WKH +( 08 33'8 7KH +(6,*% PRGXODWLRQ DQG FRGLQJ VFKHPHV LV FDUULHG LQ WKH +(6,*%0&6

 VXEILHOGRIWKH+(6,*$ILHOGLQWKH+(0833'8DQGLQGLFDWHVDQ+(6,*%0&6LQWKHUDQJHWR



7LPLQJUHODWHGSDUDPHWHUV

 5HIHUWR7DEOH 7LPLQJUHODWHGFRQVWDQWV DQG7DEOH 7LPLQJUHODWHGFRQVWDQWV IRUWLPLQJUHODWHG

 SDUDPHWHUVIRUQRQ+(33'8IRUPDWV


 7DEOH 7LPLQJUHODWHGFRQVWDQWV GHILQHVWKHWLPLQJUHODWHGSDUDPHWHUVIRU+(33'8IRUPDWV


 7DEOH²7LPLQJUHODWHGFRQVWDQWV


 3DUDPHWHU 9DOXHV 'HVFULSWLRQ

 ' F 3UH+( N+] 6XEFDUULHUIUHTXHQF\VSDFLQJIRUWKHSUH+(
 PRGXODWHGILHOGV

 ' F +( N+] 6XEFDUULHUIUHTXHQF\VSDFLQJIRUWKH+(
 PRGXODWHGILHOGV

 TDFT,3UH+( —V ,')7')7SHULRGIRUWKHSUH+(PRGXODWHG
 ILHOGV

 TDFT,+( —V ,')7')7SHULRGIRUWKH'DWDILHOG
 TGI,3UH+( —V *XDUGLQWHUYDOGXUDWLRQIRUWKHSUH+(PRGX
 ODWHGILHOGV

 TGI,//7) —V *XDUGLQWHUYDOGXUDWLRQIRUWKH//7)ILHOG

 TGI1,Data —V %DVHJXDUGLQWHUYDOGXUDWLRQIRUWKH'DWDILHOG

 TGI2,Data —V 'RXEOHJXDUGLQWHUYDOGXUDWLRQIRUWKH'DWD
 ILHOG

 TGI4,Data —V 4XDGUXSOHJXDUGLQWHUYDOGXUDWLRQIRUWKH
 'DWDILHOG

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²7LPLQJUHODWHGFRQVWDQWV(continued)


 3DUDPHWHU 9DOXHV 'HVFULSWLRQ

 TGI,+(/7) TGI1,DataTGI2,DataRUTGI4,DataGHSHQGLQJRQWKH *XDUGLQWHUYDOGXUDWLRQIRUWKH+(/7)ILHOG
 *,XVHGIRUGDWD VDPHDVTGI,Data

 TGI,Data TGI1,DataTGI2,DataRUTGI4,DataGHSHQGLQJRQWKH *XDUGLQWHUYDOGXUDWLRQIRUWKH'DWDILHOG
 *,XVHGIRUGDWD

 TSYM1 —V TDFT,+(TGI1,Data îTDFT,HE 2)'0V\PEROGXUDWLRQZLWKEDVH*,
 TSYM2 —V TDFT,+(TGI2,Data îTDFT,HE 2)'0V\PEROGXUDWLRQZLWKGRXEOH*,

 TSYM4 —V TDFT,+(TGI4,Data îTDFT,+( 2)'0V\PEROGXUDWLRQZLWKTXDGUXSOH*,

 TSYM TSYM1TSYM2RUTSYM4GHSHQGLQJRQWKH*,XVHG 2)'0V\PEROLQWHUYDOIRU+(33'8ILHOGV
 IRUGDWD 6HH7DEOH 1XPEHURIPRGXODWHGVXE
 FDUULHUVDQGJXDUGLQWHUYDOGXUDWLRQYDOXHVIRU
 +(33'8ILHOGV 

 T/67) —V îTDFT,3UH+( 1RQ+76KRUW7UDLQLQJILHOGGXUDWLRQ

 T//7) —V îTDFT,3UH+(TGI,//7) 1RQ+7/RQJ7UDLQLQJILHOGGXUDWLRQ
 T/6,* —V 1RQ+76,*1$/ILHOGGXUDWLRQ

 T5/6,* —V 5HSHDWHGQRQ+76,*1$/ILHOGGXUDWLRQ

 T+(6,*$ —V î—V +(6,*$ILHOGGXUDWLRQLQDQ+(6833'8
 +(0833'8DQG+(7%33'8

 T+(6,*$5 —V î—V +(6,*$ILHOGGXUDWLRQLQDQ+((568
 33'8

 T+(6,*% —V TDFT,3UH+(TGI,3UH+( 'XUDWLRQRIHDFK2)'0V\PEROLQWKH+(
 6,*%ILHOG
 T+(67)7 —V î—V +(67)ILHOGGXUDWLRQIRUDQ+(7%33'8

 T+(67)17 —V î—V +(67)ILHOGGXUDWLRQIRUDQ+(6833'8
 +((56833'8DQG+(0833'8

 T+(/7); —V 'XUDWLRQRIHDFK[+(/7)2)'0V\PERO
 ZLWKRXW*,

 T+(/7); —V 'XUDWLRQRIHDFK[+(/7)2)'0V\PERO
 ZLWKRXW*,

 T+(/7); —V 'XUDWLRQRIHDFK[+(/7)2)'0V\PERO
 ZLWKRXW*,
 T+(/7) T+(/7);T+(/7);RUT+(/7);GHSHQGLQJ 'XUDWLRQRIHDFK2)'0V\PEROZLWKRXW*,
 XSRQWKH+(/7)GXUDWLRQXVHG LQWKH+(/7)ILHOG

 T+(/7)6<0 T+(/7)TGI,+(/7) 'XUDWLRQRIHDFK2)'0V\PEROLQFOXGLQJ*,
 LQWKH+(/7)ILHOG

 Nservice  1XPEHURIELWVLQWKH6(59,&(ILHOG

 NtailNtail,u IRU%&&HQFRGHUIRU/'3&HQFRGHU 1XPEHURIWDLOELWVSHUHQFRGHU IRUXVHUu

 TSYML —V 2)'0V\PEROGXUDWLRQLQFOXGLQJ*,SULRUWR
 WKH+(67)ILHOG
 TPE —V—V—VRU—VGHSHQGLQJRQWKH 'XUDWLRQRIWKH3(ILHOG
 DFWXDOH[WHQVLRQGXUDWLRQXVHG



&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH 6XEFDUULHU DOORFDWLRQ UHODWHG FRQVWDQWV IRU WKH +(PRGXODWHG ILHOGV LQ D QRQ2)'0$ +(

 33'8 GHILQHVWRQHDOORFDWLRQUHODWHGSDUDPHWHUVIRUDQRQ2)'0$+(33'8



 7DEOH²6XEFDUULHUDOORFDWLRQUHODWHGFRQVWDQWVIRUWKH+(PRGXODWHGILHOGVLQDQRQ
 2)'0$+(33'8


 3DUDPHWHU &%: &%: &%: &%: &%: 'HVFULSWLRQ

 NSD      1XPEHURIGDWDVXE
 FDUULHUVSHUIUH
 TXHQF\VHJPHQW

 NSP      1XPEHURISLORW
 VXEFDUULHUVSHUIUH
 TXHQF\VHJPHQW
 NST      7RWDOQXPEHURI
 VXEFDUULHUVSHUIUH
 TXHQF\VHJPHQW

 NSR      +LJKHVWGDWDVXEFDU
 ULHULQGH[SHUIUH
 TXHQF\VHJPHQW

 NSeg      1XPEHURIIUH
 TXHQF\VHJPHQWV

 NDC      1XPEHURIQXOOVXE
 FDUULHUVDW'&SHU
 VHJPHQW

 NGuard,Left      1XPEHURIORZIUH
 TXHQF\JXDUGVXE
 FDUULHUV
 NGuard,Right      1XPEHURIKLJKIUH
 TXHQF\JXDUGVXE
 FDUULHUV

 127(NST NSDNSP

























 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH 6XEFDUULHUDOORFDWLRQUHODWHGFRQVWDQWVIRU58VLQDQ2)'0$+(33'8 GHILQHVWRQHDOORFD


 WLRQUHODWHGSDUDPHWHUVIRUDQ2)'0$+(33'8



 7DEOH²6XEFDUULHUDOORFDWLRQUHODWHGFRQVWDQWVIRU58VLQDQ2)'0$+(33'8


 586L]H VXEFDUULHUV
 3DUDPHWHU 'HVFULSWLRQ
       î

 NSD        1XPEHURIGDWDVXEFDUULHUV
 SHU58

 NSP        1XPEHURISLORWVXEFDUUL
 HUVSHU58
 NST        7RWDOQXPEHURIVXEFDUUL
 HUVSHU58

 127(NST NSDNSP



 7DEOH )UHTXHQWO\XVHGSDUDPHWHUV GHILQHVSDUDPHWHUVXVHGIUHTXHQWO\LQ&ODXVH +LJK(IILFLHQF\

 +( 3+<VSHFLILFDWLRQ 



 7DEOH²)UHTXHQWO\XVHGSDUDPHWHUV


 6\PERO ([SODQDWLRQ

 NRU )RUSUH+(PRGXODWHGILHOGVNRU 
 )RU+(PRGXODWHGILHOGVNRUUHSUHVHQWVWKHQXPEHURIRFFXSLHG58VLQWKHWUDQVPLVVLRQ

 Nuser,r )RUSUH+(PRGXODWHGILHOGVNuser,r )RU+(PRGXODWHGILHOGVNuser,rUHSUHVHQWVWKH
 WRWDOQXPEHURIXVHUVLQWKHrWKRFFXSLHG58RIWKHWUDQVPLVVLRQ


 Nuser,total 7RWDOQXPEHURIXVHUVLQDOORFFXSLHG58VRIDQ+(WUDQVPLVVLRQLH
 N RU ± 

 N user total ¦ N user r
 r 

 NCBPS, NCBPS,u 1XPEHURIFRGHGELWVSHU2)'0V\PEROIRUXVHUuu «Nuser,total±

 )RUDQ+(6833'8DQG+((56833'8NCBPS NCBPS,0
 )RUDQ+(0833'8NCBPSLVXQGHILQHG

 NCBPSS, NCBPSS,u 1XPEHURIFRGHGELWVSHU2)'0V\PEROSHUVSDWLDOVWUHDPIRUXVHUu
 u «Nuser,total±

 )RUWKH'DWDILHOGRIDQ+(6833'8DQG+((56833'8NCBPSS = NCBPSS,0
 )RUWKH'DWDILHOGRIDQ+(0833'8NCBPSSLVXQGHILQHG

 NDBPS, NDBPS,u 1XPEHURIGDWDELWVSHU2)'0V\PEROIRUXVHUuu «Nuser,total±
 )RUDQ+(6833'8DQG+((56833'8NDBPS NDBPS,0

 )RUDQ+(0833'8NDBPSLVXQGHILQHG




&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²)UHTXHQWO\XVHGSDUDPHWHUV(continued)


 6\PERO ([SODQDWLRQ

 NBPSCS, NBPSCS,u 1XPEHURIFRGHGELWVSHUVXEFDUULHUSHUVSDWLDOVWUHDPIRUXVHUuu «Nuser,total±

)RUDQ+(6833'8DQG+((56833'8NBPSCS NBPSCS,0

 )RUDQ+(0833'8NBPSCSLVXQGHILQHG

 NRX 1XPEHURIUHFHLYHFKDLQV

 NSTSNSTS,r,u )RU+(PRGXODWHGILHOGVNSTS,r,uUHSUHVHQWVWKHQXPEHURIVSDFHWLPHVWUHDPVLQWKHrWK
 RFFXSLHG58IRUXVHUuu «Nuser,r±)RU67%&NSTS,r,u 


 )RUDQ+(6833'8DQG+((56833'8NSTS NSTS,0,0
 )RUDQ+(0833'8NSTSLVXQGHILQHGLIDQ\RQHRIWKH58VLVDVVLJQHGWRPRUHWKDQRQH
 XVHUDQGNSTS LIDOO58VDUHDVVLJQHGWRQRPRUHWKDQRQHXVHUDQGWKH67%&ILHOGLVVHW

 WR

 NSTS,r,total )RU+(PRGXODWHGILHOGVNSTS,r,totalLVWKHWRWDOQXPEHURIVSDFHWLPHVWUHDPVRYHUDOOWKH
 XVHUVLQWKHrWKRFFXSLHG58
 N user r ± 


N STS r total ¦ N STS r u
 u 
 )RUSUH+(PRGXODWHGILHOGVNSTS,r,totalLVXQGHILQHGLIWKH7;9(&725SDUDPHWHU

 %($0B&+$1*(LVRUQRWSUHVHQWDQGNSTS,r,total NSTSLI%($0B&+$1*(LV

 127(²NSTS,r,total NSTSIRUDQ+(6833'8DQG+((56833'8

 NSSNSS,r,uNSS,u 1XPEHURIVSDWLDOVWUHDPV)RUWKH'DWDILHOGNSS,r,uLVWKHQXPEHURIVSDWLDOVWUHDPVDWrWK
 58IRUXVHUuu «Nuser,r±DQGNSS,uLVWKHQXPEHURIVSDWLDOVWUHDPVIRUXVHUu

 u «Nuser,total±

 )RUWKH'DWDILHOGRIDQ+(6833'8DQG+((56833'8NSS NSS,0,0

 N ±

)RUWKH'DWDILHOGRIDQ+(0833'8 N SS max r RU N SS r total

 NSS,r,total )RU+(PRGXODWHGILHOGVNSS,r,totalLVWKHWRWDOQXPEHURIVSDWLDOVWUHDPVDWrWK58LQD
 33'8
 N user r ± 

 N SS r total ¦ N SS r u
 u 

 )RUSUH+(PRGXODWHGILHOGVNSS,r,totalLVXQGHILQHG

 127(²NSS,r,total NSSIRUDQ+(6833'8DQG+((56833'8

 NTX 1XPEHURIWUDQVPLWFKDLQV

 NHE-LTF 7KHQXPEHURI2)'0V\PEROVLQWKH+(/7)ILHOG VHH +(/7)

 NHE-SIG-B 7KHQXPEHURI2)'0V\PEROVLQWKH+(6,*%ILHOG VHH +(6,*%

 Kr 6HWRIXVHGVXEFDUULHULQGLFHVLQWKHrWKRFFXSLHG58




 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²)UHTXHQWO\XVHGSDUDPHWHUV(continued)


 6\PERO ([SODQDWLRQ

 R, Ru Ru LVWKHFRGLQJUDWHIRUXVHUuu «Nuser,total±

)RUDQ+(6833'8R = R0

 )RUDQ+(0833'8RLVXQGHILQHG

 Mr,u 7KHVXPRIWKHQXPEHURIVSDFHWLPHVWUHDPVRIXVHUVSULRUWRXVHUuLQ58r)RUSUH+(
 PRGXODWHGILHOGVMr,u )RU+(PRGXODWHGILHOGVMr,0 IRUu DQG
 u±

M r u ¦u
N
 STS r u

IRUu «Nuser,r±



 0DWKHPDWLFDOGHVFULSWLRQRIVLJQDOV

 )RUDGHVFULSWLRQRIWKHFRQYHQWLRQVXVHGIRUWKHPDWKHPDWLFDOGHVFULSWLRQRIWKHVLJQDOVVHH 0DWK

 HPDWLFDOFRQYHQWLRQVLQWKHVLJQDOGHVFULSWLRQV ,QDGGLWLRQWKHIROORZLQJQRWDWLRQDOFRQYHQWLRQVDUHXVHG 
 LQ&ODXVH +LJK(IILFLHQF\ +( 3+<VSHFLILFDWLRQ 
 >Q@m,nLQGLFDWHVWKHHOHPHQWLQURZmDQGFROXPQnRIPDWUL[ZKHUH”m”NrowDQG”n”Ncol

 NrowDQGNcolDUHWKHQXPEHURIURZVDQGFROXPQVUHVSHFWLYHO\RIWKHPDWUL[Q

 >Q@m:nLQGLFDWHVDPDWUL[FRQVLVWLQJRIFROXPQVmWRnRIPDWUL[Q


)RU D GHVFULSWLRQ RQ VXEFDUULHU LQGLFHV RYHU ZKLFK WKH VLJQDO LV WUDQVPLWWHG IRU QRQ+7 +7 DQG 9+7


 33'8VVHH 0DWKHPDWLFDOGHVFULSWLRQRIVLJQDOV 

 )RUD0+]QRQ2)'0$+(33'8WUDQVPLVVLRQWKH0+]LVGLYLGHGLQWRVXEFDUULHUV7KHVLJQDO

 LVWUDQVPLWWHGRQDOORUDVXEVHWRIVXEFDUULHUV±WR±DQGWRZLWKEHLQJWKHFHQWHU '& VXEFDU
 ULHU


)RUD0+]2)'0$+(33'8WUDQVPLVVLRQWKH0+]LVGLYLGHGLQWRVXEFDUULHUV7KHVLJQDOLV

 WUDQVPLWWHGRQDOORUDVXEVHWRIWKHVXEFDUULHUV±WR±DQGWRZLWKEHLQJWKHFHQWHU '& VXEFDU
 ULHU



)RUD0+]QRQ2)'0$+(33'8WUDQVPLVVLRQWKH0+]LVGLYLGHGLQWRVXEFDUULHUV7KHVLJQDO
 LVWUDQVPLWWHGRQVXEFDUULHUV±WR±DQGWRZLWKEHLQJWKHFHQWHU '& VXEFDUULHU

 )RUD0+]2)'0$+(33'8WUDQVPLVVLRQWKH0+]LVGLYLGHGLQWRVXEFDUULHUV7KHVLJQDOLV

 WUDQVPLWWHGRQDOORUDVXEVHWRIVXEFDUULHUV±WR±DQGWRZLWKEHLQJWKHFHQWHU '& VXEFDUULHU

 )RUDQ0+]QRQ2)'0$+(33'8WUDQVPLVVLRQWKH0+]LVGLYLGHGLQWRVXEFDUULHUV7KHVLJ


QDOLVWUDQVPLWWHGRQVXEFDUULHUV±WR±DQGWRZLWKEHLQJWKHFHQWHU '& VXEFDUULHU

 )RUDQ0+]2)'0$+(33'8WUDQVPLVVLRQWKH0+]LVGLYLGHGLQWRVXEFDUULHUV7KHVLJQDOLV
 WUDQVPLWWHGRQDOORUDVXEVHWRIWKHVXEFDUULHUV±WR±DQGWRZLWKEHLQJWKHFHQWHU '& VXEFDU

 ULHU

 )RUD0+]+(33'8WUDQVPLVVLRQRUDQRQFRQWLJXRXV0+]WUDQVPLVVLRQHDFKKDOI0+]

EDQGZLGWKLVGLYLGHGLQWRVXEFDUULHUVDQGWKHVXEFDUULHUVRQZKLFKWKHVLJQDOLVWUDQVPLWWHGLQHDFK


 0+] EDQGZLGWK LV LGHQWLFDO WR DQ  0+] +( 33'8 WUDQVPLVVLRQ GHSHQGLQJ RQ QRQ2)'0$ RU
 2)'0$WUDQVPLVVLRQZLWKLQWKHFRUUHVSRQGLQJ0+]

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KHWUDQVPLWWHGVLJQDOLVGHVFULEHGLQFRPSOH[EDVHEDQGVLJQDOQRWDWLRQ7KHDFWXDOWUDQVPLWWHGVLJQDORQ
 WUDQVPLW FKDLQ iTX DQG IUHTXHQF\ VHJPHQW iSeg LV UHODWHG WR WKH FRPSOH[ EDVHEDQG VLJQDO E\ WKH UHODWLRQ


VKRZQLQ(TXDWLRQ  



 i  i TX ­  i Seg i TX i ½
 r RFSeg t 5H ®  r PPDU t H[S jSf c Seg t ¾ i Seg  } N Seg ±  i TX  } N TX 
 ¯ N Seg ¿


 ZKHUH

 NSeg UHSUHVHQWVWKHQXPEHURIIUHTXHQF\VHJPHQWVLQWKHWUDQVPLWVLJQDODVGHILQHGLQ7DEOH 6XE
 FDUULHUDOORFDWLRQUHODWHGFRQVWDQWVIRUWKH+(PRGXODWHGILHOGVLQDQRQ2)'0$+(33'8

 iSeg TX i
 r PPDU UHSUHVHQWVWKHFRPSOH[EDVHEDQGVLJQDORIIUHTXHQF\VHJPHQWiSegDQGWUDQVPLWFKDLQiTX

 i
f c Seg UHSUHVHQWVWKHFHQWHUIUHTXHQF\RIWKHSRUWLRQRIWKH33'8WUDQVPLWWHGLQIUHTXHQF\VHJPHQWiSeg

 7DEOH &HQWHUIUHTXHQF\RIWKHSRUWLRQ RIWKH 33'8 WUDQVPLWWHG LQ IUHTXHQF\VHJPHQW
 i
 L6HJ VKRZV f c Seg DVDIXQFWLRQRIWKHFKDQQHOVWDUWLQJIUHTXHQF\GRW&XUUHQW&KDQQHO:LGWK
 VHH7DEOH )LHOGVWRVSHFLI\9+7FKDQQHOV DQG&+B%$1':,'7+ZKHUH f CH start 

 f P idx  f P idx DQG f P idx DUHJLYHQLQ(TXDWLRQ  (TXDWLRQ  (TXDWLRQ  

 DQG(TXDWLRQ  UHVSHFWLYHO\)RUDQ+(67$RSHUDWLQJLQWKH*+]EDQGVHH
 &KDQQHO DOORFDWLRQ LQ WKH  *+] EDQG  IRU WKH YDOXH RI FKDQQHO VWDUWLQJ IUHTXHQF\ DQG WKH
 YDOLGUDQJHRIGRW&XUUHQW&KDQQHO&HQWHU)UHTXHQF\,QGH[DQGGRW&XUUHQW&KDQQHO&HQWHU
 )UHTXHQF\,QGH[


 7KHWUDQVPLWWHG5)VLJQDOLVGHULYHGE\XSFRQYHUWLQJWKHFRPSOH[EDVHEDQGVLJQDOZKLFKFRQVLVWVRIVHY
 HUDO ILHOGV 7KH WLPLQJ ERXQGDULHV IRU WKH YDULRXV ILHOGV ZKHQ WKH PLGDPEOH LV QRW SUHVHQW DUH VKRZQ LQ

 )LJXUH 7LPLQJ ERXQGDULHV IRU +( 33'8 ILHOGV LI PLGDPEOH LV QRW SUHVHQW  ZKHUH N+(/7) LV WKH
 QXPEHURI+(/7)V\PEROVDQGLVGHILQHGLQ7DEOH )UHTXHQWO\XVHGSDUDPHWHUV N+(6,*%LVWKH
 QXPEHURI2)'0V\PEROVLQWKH+(6,*%ILHOGSUHVHQWLQDQ+(0833'8DQGNSYMLVWKHQXPEHURI
 GDWD2)'0V\PEROV


 1RQ+(SRUWLRQ +(SRUWLRQ
 3UH+(PRGXODWHGILHOGV +(PRGXODWHGILHOGV

 +(/7) 'DWD
 +(/7) +(/7) «« +(/7) 'DWD 'DWD
/67) //7) /6,* 5/6,* +(6,*$ +(6,*% +(67) «« 3(
 V\PERO V\PERO V\PERO 6\PERO 6\PERO

 N +(6,*% N +(/7) N SYM
 t  t//7) t/6,* t5/6,* t+(6,*$ t+(6,*% t+(67) t+(/7) t+('DWD t3(

 )LJXUH²7LPLQJERXQGDULHVIRU+(33'8ILHOGVLIPLGDPEOHLVQRWSUHVHQW


 127(²'DWD2)'0V\PEROVDUH2)'0V\PEROVLQWKH'DWDILHOGRIDQ+(33'8WKDWDUHQRWPLGDPEOHV\PEROV


7KHWLPHRIIVHWtFieldGHWHUPLQHVWKHVWDUWLQJWLPHRIWKHFRUUHVSRQGLQJILHOGUHODWLYHWRWKHVWDUWRI/67)


 t  


 7KHVLJQDOWUDQVPLWWHGRQIUHTXHQF\VHJPHQWiSegDQGWUDQVPLWFKDLQiTXVKDOOEHDVVKRZQLQ(TXDWLRQ 
  LIPLGDPEOHLVQRWSUHVHQW

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 i i
Seg TX i
Seg TXi Seg TX i i
 r PPDU t r /67) t  r //7) t ± t //7) 
 i Seg i TX i Seg i TX i Seg i TX i Seg i TX
 r /6,* t ± t /6,*  r 5/6,* t ± t 5/6,*  r +(6,*$ t ± t +(6,*$  r +(6,*% t ± t +(6,*%
 i Seg i TX i Seg i TX i Seg i TX i Seg i TX
  r +(67) t ± t +(67)  r +(/7) t ± t +(/7)  r +('DWD t ± t +('DWD  r +(3( t ± t +(3(


 ZKHUH
 i i
Seg TX
 r +(6,*% t ± t +(6,*% LVRQO\DSSOLFDEOHWRDQ+(0833'8

  d i Seg d N Seg ± 

   d i TX d N TX
 t //7) T /67)

 t /6,* t //7)  T //7)

 t 5/6,* t /6,*  T /6,*


t +(6,*$ t 5/6,*  T 5/6,*

 ­ t +(6,*$  T +(6,*$ IRUDQ+(0833'8
 t +(6,*% ®
 ¯ undefined RWKHUZLVH


 ­ t +(6,*$  T +(6,*$ IRUDQ+(6833'8DQG+(7%33'8

°
 t +(67) ® t +(6,*$  T +(6,*$5 IRUDQ+((56833'8
 °
 ¯ t +(6,*%  N +(6,*% T +(6,*% IRUDQ+(0833'8

 ­ t +(67)  T +(67)7 IRUDQ+(7%33'8
 t +(/7) ®
 ¯ t +(67)  T +(67)17 RWKHUZLVH

 t +('DWD t +(/7)  N +(/7) T +(/7)6<0


t +(3( t +('DWD  N SYM T SYM

 ,Q DQ +( 68 33'8 +( 08 33'8 DQG +( (5 68 33'8 IRU HDFK ILHOG H[FOXGLQJ WKH 3( ILHOG

i i i i
 Seg TX
r Field t LVGHILQHGDVWKHVXPPDWLRQRIRQHRUPRUHVXEILHOGV(DFKVXEILHOG r Subfield
Seg TX
t LVGHILQHGWR


 EHDQLQYHUVHGLVFUHWH)RXULHUWUDQVIRUPLQ(TXDWLRQ  

 N RU ± 
Field
N user r ±  N STS r u
 i Seg i TX Dr Er
 r Subfield t w TSubfield t ¦  ¦ K Field k

N Norm r k  Kr
¦ ¦ i
Q k Seg

i TX M r u  m
b k BW 
 r  u  m 

i m
 X kSeg
 r u H[S jSk' F Field t ± T GI Field ± T CS +( M r u  m


 i i
 r u t LVGHILQHG
Seg TX
 ,QDQ+(7%33'8WUDQVPLWWHGE\XVHUuLQWKHrWKRFFXSLHG58HDFKVXEILHOG r Subfield 
 LQ(TXDWLRQ  


 Field N STS r u
 i Seg i TX Er
r Subfield  r u t 
 wT t ¦ K Field k ¦ i
Q kSeg
b k BW 
 N Norm r Subfield k  K u i TX m
 r m 
 i  m
 X kSeg
r u H[S jSk' F Field t ± T GI Field ± T CS +( M r u  m


&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ,QWKHUHPDLQGHU RI WKLVVXEFODXVH SUH+(PRGXODWHGILHOGV UHIHUWRWKH/67) //7)/6,* 5/6,*


 +(6,*$DQG+(6,*%ILHOGVZKLOH+(PRGXODWHGILHOGVUHIHUWRWKH+(67)+(/7)DQG'DWDILHOGV

DVVKRZQLQ)LJXUH 7LPLQJERXQGDULHVIRU+(33'8ILHOGVLIPLGDPEOHLVQRWSUHVHQW 


 )RUDQ+(6833'8+(0833'8DQG+((56833'8WKHWRWDOSRZHURIWKHWLPHGRPDLQ+(PRGX
 ODWHGILHOGVLJQDOVVXPPHGRYHUDOOWUDQVPLWFKDLQVVKRXOGQRWH[FHHGWKHWRWDOSRZHURIWKHWLPHGRPDLQ 
 SUH+( PRGXODWHG ILHOG VLJQDOV VXPPHG RYHU DOO WUDQVPLW FKDLQV LI WKH 7;9(&725 SDUDPHWHU %($0B

 &+$1*(LVRUQRWSUHVHQWDQGSRZHUERRVWLQ+(PRGXODWHGILHOGVLVQRWSUHVHQW

 )RUDQ+(7%33'8WKHWRWDOSRZHURIWKHWLPHGRPDLQ+(PRGXODWHGILHOGVLJQDOVVXPPHGRYHUDOOWUDQV
 PLWFKDLQVPD\H[FHHGWKHWRWDOSRZHURIWKHWLPHGRPDLQSUH+(PRGXODWHGILHOGVLJQDOVVXPPHGRYHUDOO


WUDQVPLWFKDLQVE\XSWRG%

 )RUQRWDWLRQDOVLPSOLFLW\WKHSDUDPHWHU%:LVRPLWWHGIURPVRPHEDQGZLGWKGHSHQGHQWWHUPV


 ,Q(TXDWLRQ  DQG(TXDWLRQ  WKHIROORZLQJQRWDWLRQVDUHXVHG
 NNorm,r,IWKH7;9(&725SDUDPHWHU%($0B&+$1*(LVRUQRWSUHVHQWWKHQIRUSUH+(PRGXODWHG 
 ILHOGVNNorm,r NTX,IWKH7;9(&725SDUDPHWHU%($0B&+$1*(LVWKHQIRUSUH+( 
 PRGXODWHG ILHOGV NNorm,r NSTS,r,total ZKHUH NSTS,r,total LV JLYHQ LQ 7DEOH )UHTXHQWO\


XVHGSDUDPHWHUV )RU+(PRGXODWHGILHOGVNNorm,r NSTS,r,total

  w Subfield t LVDZLQGRZLQJIXQFWLRQ$QH[DPSOHIXQFWLRQ w Subfield t LVJLYHQLQ 0DWKHPDW

LFDOFRQYHQWLRQVLQWKHVLJQDOGHVFULSWLRQV 

 Kr )RUSUH+(PRGXODWHGILHOGVKrLVWKHVHWRIVXEFDUULHUVLQGLFHVLQWKHDOORFDWHG0+]FKDQQHOV
 )RU+(PRGXODWHGILHOGVLQDQRQ2)'0$+(33'8KrLVWKHVHWRIVXEFDUULHUVLQGLFHVIURP 

 ±NSR WR NSR DV GHILQHG LQ 7DEOH 6XEFDUULHU DOORFDWLRQ UHODWHG FRQVWDQWV IRU WKH +(
 PRGXODWHGILHOGVLQDQRQ2)'0$+(33'8 H[FOXGLQJ'&VXEFDUULHUV)RU+(PRGXODWHG
 ILHOGVLQDQ2)'0$+(33'8KrLVWKHVHWRIVXEFDUULHULQGLFHVIRUWKHWRQHVLQWKHrWK58 

 DVGHILQHGLQ7DEOH 'DWDDQGSLORWVXEFDUULHULQGLFHVIRU58VLQD0+]+(33'8DQG
 LQDQRQ2)'0$0+]+(33'8 7DEOH 'DWDDQGSLORWVXEFDUULHULQGLFHVIRU58V
 LQD0+]+(33'8DQGLQDQRQ2)'0$0+]+(33'8 DQG7DEOH 'DWDDQG 
 SLORWVXEFDUULHULQGLFHVIRU58VLQDQ0+]+(33'8DQGLQDQRQ2)'0$0+]+( 
 33'8 

 K Field k LVWKHSRZHUVFDOHIDFWRURIWKHkWKVXEFDUULHURIDJLYHQILHOGZLWKLQDQ2)'0V\PEROZKLFKLV

  IRUDOOWKHVXEFDUULHUVRIWKH/67)//7)+(67)DQG+(/7)ILHOGVLQWKH+((568

 33'8)RUWKH/6,*DQG5/6,*ILHOGVRIDQ+((56833'8

 ­  k ±  ±   
 K Field k ® 
 ¯  RWKHUZLVH
 )RUWKH+(6,*$DQG'DWDILHOGVLQDQ+((56833'8 K Field k  )RUWKHSUH+(SRU

  
 WLRQRIWKH+(7%33'8 K Field k   PHDQLQJLQWKHUDQJH  WR)RUDOORWKHU
  
 ILHOGVLQRWKHU+(33'8V K Field k 

 Dr LVWKHSRZHUERRVWIDFWRULQWKHUDQJH>@RIWKHrWKRFFXSLHG58LQDQ+(33'8)RUD'/ 
 +(0833'8DQ$3VKDOOOLPLWWKHUDWLREHWZHHQWKHPD[LPXPYDOXHRI D r DQGWKHPLQL
 PXPYDOXHRI D r WRXQOHVVWKH3RZHU%RRVW)DFWRU6XSSRUWVXEILHOGRIWKH+(3+<&DSDELO
 LWLHV,QIRUPDWLRQILHOGLQWKH+(&DSDELOLWLHVHOHPHQWIURPDOOUHFLSLHQW67$VLVLQZKLFK



FDVHWKH $3FDQXVH D UDWLRRIXSWR)RUDQ+( 6833'8DQG +((56833'8 D r LV
 DOZD\VVHWWR
 Field
 Er LVWKHSRZHUQRUPDOL]DWLRQIDFWRUDQGLVGHILQHGLQ(TXDWLRQ 

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU


 ­ H
 ° 
Field
 IRUSUH+(PRGXODWHGILHOGV
° 7RQH
 ° N Field
 ° 
 Field ° 
 IRU+(PRGXODWHGILHOGVLQDQ+(7%33'8
 Er ® K Field 
 ° r

 °
° N RU ± 
 ° Kr 
 ° 
Field
e ¦ D r Kr  RWKHUZLVH
 ¯ Kr r 


 K r LVWKHFDUGLQDOLW\RIWKHVHWRIVXEFDUULHUVKr
 Field
 Kr LVWKHFDUGLQDOLW\RIWKHVHWRIPRGXODWHGVXEFDUULHUVZLWKLQKrIRUWKH+(67)DQG'DWD
 ILHOGV)RUWKH+(/7)ILHOG

 ­ K r  IRUD[+(/7)
 +(/7) °
 Kr ® K r e  IRUD[+(/7)
 °

¯ K r e  IRUD[+(/7)
 7RQH
 N Field 7DEOH 1XPEHURIPRGXODWHGVXEFDUULHUVDQGJXDUGLQWHUYDOGXUDWLRQYDOXHVIRU+(33'8

 7RQH
 ILHOGV VXPPDUL]HVWKHYDULRXVYDOXHVRI N Field DVDIXQFWLRQRIEDQGZLGWKSHUIUHTXHQF\VHJ
 PHQW



7DEOH²1XPEHURIPRGXODWHGVXEFDUULHUVDQGJXDUGLQWHUYDOGXUDWLRQYDOXHVIRU+(

 33'8ILHOGV


Tone
 N Field DVDIXQFWLRQRIEDQGZLGWKDQG58
 *XDUGLQWHUYDO
 )LHOG VL]HSHUIUHTXHQF\VHJPHQW
GXUDWLRQ

 0+] 0+] 0+] 0+]

 /67)     

 //7)     TGI,//7)

 /6,*LQDQ+(33'8    
 TGI,3UH+(
 /6,*LQDQRQ+7GXSOLFDWH    
 33'8

 5/6,*     TGI,3UH+(

+(6,*$     TGI,3UH+(


+(6,*%     TGI,3UH+(





NRU LVGHILQHGLQ7DEOH )UHTXHQWO\XVHGSDUDPHWHUV






&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU


 ­ N 7RQH
//7)
  IRUWKH/67)DQG//7)ILHOGV
° 
H Field ® N 7RQH
 ° /6,*
 ¯  RWKHUZLVH

 i
 Q k Seg LV WKHVSDWLDO PDSSLQJPDWUL[IRUWKHVXEFDUULHUk LQ IUHTXHQF\VHJPHQWiSeg)RU+(PRGXODWHG

i
 ILHOGV Q k Seg LVDPDWUL[ZLWKNTXURZVDQGNSTS,r,totalFROXPQV,IWKH7;9(&725SDUDPHWHU

 i
 %($0B&+$1*(LVRUQRWSUHVHQWWKHQIRUSUH+(PRGXODWHGILHOGV Q k Seg LVDFROXPQ

 i i
 YHFWRUZLWKNTXHOHPHQWVZLWKHOHPHQWiTXEHLQJ H[S ± jSk' F 3UH+( T CS
TX
ZKHUH T CS UHS
TX


 UHVHQWVWKHF\FOLFVKLIWIRUWKHWUDQVPLWWHUFKDLQZKRVHYDOXHVDUHGHILQHGLQ &\FOLF
 i Seg
 VKLIWIRUSUH+(PRGXODWHGILHOGV RWKHUZLVHLWLVLGHQWLFDOWRWKHVSDWLDOPDSSLQJ Q k IRU
 +(PRGXODWHGILHOGV

 i
 Q kSeg
u LVWKHVSDWLDOPDSSLQJPDWUL[IRUXVHUuRQVXEFDUULHUkLQIUHTXHQF\VHJPHQWiSeg)RU+(PRGX

i
 ODWHG ILHOGV Q kSeg
u  LV D PDWUL[ ZLWK NTX URZV DQG NSTS,r,u FROXPQV )RU SUH+( PRGXODWHG


 i
ILHOGV Q kSeg
u  LV D FROXPQ YHFWRU ZLWK NTX HOHPHQWV ZLWK HOHPHQW iTX EHLQJ


 i i
 H[S ± jSk' F 3UH+( T CS
TX
 ZKHUH T CS
TX
 UHSUHVHQWV WKH F\FOLF VKLIW IRU WKH WUDQVPLWWHU FKDLQ



ZKRVHYDOXHVDUHGHILQHGLQ &\FOLFVKLIWIRUSUH+(PRGXODWHGILHOGV 

' F Field LVWKHVXEFDUULHUIUHTXHQF\VSDFLQJ)RUSUH+(PRGXODWHGILHOGV ' F Field ' F 3UH+( JLYHQLQ


 7DEOH 7LPLQJUHODWHGFRQVWDQWV )RU+(PRGXODWHGILHOGV ' F Field ' F +( JLYHQLQ


 7DEOH 7LPLQJUHODWHGFRQVWDQWV 

 Mr,u LVJLYHQLQ7DEOH )UHTXHQWO\XVHGSDUDPHWHUV 

 i  m

X kSeg
r u LVWKHIUHTXHQF\GRPDLQV\PEROLQVXEFDUULHUkRIXVHUuLQWKHrWK58IRUIUHTXHQF\VHJPHQW
 i Seg m
 iSegRIVSDFHWLPHVWUHDPP6RPHRIWKH X k r u ZLWKLQ ± N SR d k d N SR KDYHDYDOXHRI]HUR


([DPSOHVRIVXFKFDVHVLQFOXGHWKH'&WRQHVJXDUGWRQHVRQHDFKVLGHRIWKHWUDQVPLWVSHF
 WUXPWKHQXOOVXEFDUULHUVLQDQ+(2)'0$33'8DVZHOODVWKHXQPRGXODWHGWRQHVRI/
 67)+(67)DQG+(/7)ILHOGV

 T GI Field LVWKHJXDUGLQWHUYDOGXUDWLRQXVHGIRUHDFK2)'0V\PEROLQWKHILHOG7KHYDOXHIRUHDFKILHOG



LVGHILQHGLQ7DEOH 7LPLQJUHODWHGFRQVWDQWV 
 T CS +( l )RUSUH+(PRGXODWHGILHOGVLIWKH7;9(&725SDUDPHWHU%($0B&+$1*(LVRUQRWSUHV

 HQW T CS +( l   )RU +( PRGXODWHG ILHOGV DQG SUH+( PRGXODWHG ILHOGV LI WKH 7;9(&
 725SDUDPHWHU%($0B&+$1*(LV T CS +( l UHSUHVHQWVWKHF\FOLFVKLIWSHUVSDFHWLPH

VWUHDPZKRVHYDOXHLVGHILQHGLQ &\FOLFVKLIWIRU+(PRGXODWHGILHOGV 

 b k BW LVXVHGWRUHSUHVHQWWRQHURWDWLRQBWLQ b k BW LVGHWHUPLQHGE\WKH7;9(&725SDUDPHWHU&+B

 %$1':,'7+ DV GHILQHG LQ 7DEOH &+B%$1':,'7+ DQG  IRU SUH+( PRGXODWHG 
 ILHOGV  ,Q +( PRGXODWHG ILHOGV b k BW   IRU DOO WKH VXEFDUULHUV ,Q SUH+( PRGXODWHG


ILHOGV b k BW LVGHILQHGDVLQ 'HILQLWLRQRIWRQHURWDWLRQ LI7;9(&725SDUDPHWHU

 %($0B&+$1*( LV  DQG b k BW   IRU DOO WKH VXEFDUULHUV LI 7;9(&725 SDUDPHWHU

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 %($0B&+$1*(LV,IWKH7;9(&725SDUDPHWHU%($0B&+$1*(LVQRWSUHVHQW VXFK

 DVLQDQ+(0833'8DQG+(7%33'8 %($0B&+$1*(LVDVVXPHGWREH



 7DEOH²&+B%$1':,'7+DQG b k BW IRUSUH+(PRGXODWHGILHOGV


 &+B%$1':,'7+ bk,%:

 &%: b k 

 &%: b k 

 &%: b k 

 &%: b k 

 &%: b k  SHUIUHTXHQF\VHJPHQW

 +(&%:381&35, b k 

+(&%:381&6(& b k 

 b k 
 +(&%:381&35,
 b k  SHUIUHTXHQF\VHJPHQW
+(&%:381&35,

 +(&%:381&6(& b k 

 +(&%:381&6(& b k  SHUIUHTXHQF\VHJPHQW



 +(SUHDPEOH


 ,QWURGXFWLRQ

 7KH +( SUHDPEOH FRQVLVWV RI SUH+( PRGXODWHG ILHOGV DQG +( PRGXODWHG ILHOGV 7KH SUH+( PRGXODWHG


ILHOGVIRUWKHYDULRXV+(33'8IRUPDWVDUHWKHIROORZLQJ

 ² /67)//7)/6,*5/6,*DQG+(6,*$ILHOGVRIDQ+(6833'8+((56833'8DQG+(

 7%33'8

 ² /67)//7)/6,*5/6,*+(6,*$DQG+(6,*%ILHOGVRIDQ+(0833'8


7KH+(PRGXODWHGILHOGVLQWKHSUHDPEOHIRUDOO+(33'8IRUPDWVDUHWKH+(67)DQG+(/7)ILHOGV


 &\FOLFVKLIW


 &\FOLFVKLIWIRUSUH+(PRGXODWHGILHOGV
 i
TX
 ,IWKH7;9(&725SDUDPHWHU%($0B&+$1*(LVRUQRWSUHVHQWWKHQWKHF\FOLFVKLIWYDOXH T CS IRUWKH
 /67)//7)/6,*5/6,*+(6,*$DQG+(6,*%ILHOGVRIWKH33'8IRUWUDQVPLWFKDLQiTXRXWRI


DWRWDORINTXDUHGHILQHGLQ7DEOH &\FOLFVKLIWYDOXHVIRU/67)//7)/6,*DQG9+76,*$ 
i TX
 ILHOGVRIWKH33'8 ,Q8/08WUDQVPLVVLRQWKHF\FOLFVKLIWYDOXH T CS LVEDVHGRQWKHORFDOWUDQVPLWFKDLQ 
 LQGLFHVDWHDFK67$


,IWKH7;9(&725SDUDPHWHU%($0B&+$1*(LVWKHQWKHF\FOLFVKLIWYDOXH T CS +( n IRUWKH/67)

 //7) /6,* 5/6,* DQG +(6,*$ ILHOGV LV VSHFLILHG LQ  &\FOLF VKLIW IRU +( PRGXODWHG

 ILHOGV 

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 &\FOLFVKLIWIRU+(PRGXODWHGILHOGV



7KHF\FOLFVKLIWYDOXHVGHILQHGLQWKLVVXEFODXVHDSSO\WRWKH+(67)+(/7)DQG'DWDILHOGVRIWKH+(

 33'8LIWKH7;9(&725SDUDPHWHU%($0B&+$1*(LVRUQRWSUHVHQWDQGDSSO\WRWKHHQWLUH33'8LI
 WKH7;9(&725SDUDPHWHU%($0B&+$1*(LV

 7KURXJKRXWWKH+(PRGXODWHGILHOGVRIWKHSUHDPEOHF\FOLFVKLIWVDUHDSSOLHGWRSUHYHQWXQLQWHQGHGEHDP

 IRUPLQJZKHQFRUUHODWHGVLJQDOVDUHWUDQVPLWWHGLQPXOWLSOHVSDFHWLPHVWUHDPV7KHVDPHF\FOLFVKLIWVDUH
 DOVRDSSOLHGWRWKHVHVWUHDPVGXULQJWKHWUDQVPLVVLRQRIWKH'DWDILHOGRIWKH+(33'8)RUWKHrWK58WKH
 F\FOLF VKLIW YDOXH T CS +( n  IRU WKH +( PRGXODWHG ILHOGV IRU VSDFHWLPH VWUHDP n RXW RI NSTS,r,total WRWDO
 VSDFHWLPHVWUHDPVLVVKRZQLQ7DEOH &\FOLFVKLIWYDOXHVIRUWKH9+7PRGXODWHGILHOGVRID33'8 


 /67)

 ,IWKH7;9(&725SDUDPHWHU%($0B&+$1*(LVRUQRWSUHVHQWWKHWLPHGRPDLQUHSUHVHQWDWLRQRIWKH
 /67) ILHOG WUDQVPLWWHG RQ IUHTXHQF\ VHJPHQW iSeg DQG WUDQVPLW FKDLQ iTX VKDOO EH DV VSHFLILHG LQ



(TXDWLRQ  7KHHTXDWLRQDSSOLHVWRDOOFRQWLJXRXVVLJQDOVXSWR0+]DQGQRQFRQWLJXRXV 
 0+]


 i i H
t  w T t
Seg TX
r /67) 
 7RQH /67)

 N TX ˜ N /67)

§ b k ± K6KLIW iBW  %: S k 

 ·
 ¦ ¦ K /67) k ¨ i TX ¸
©  ˜ H[S jS k ± K 6KLIW i %: ' F 3UH+( t ± T CS ¹
 i BW  : 0+] k ± 


 ZKHUH

7RQH
 N //7)
 H LVDSRZHUVFDOLQJIDFWRUZLWKWKHYDOXH H 
7RQH
 N /6,*

 K /67) k LVD33'8IRUPDWGHSHQGHQWVFDOLQJIDFWRUIRUWKH/67)ILHOGRQVXEFDUULHULQGH[kZLWKWKHIRO
 ORZLQJYDOXH


 ­  IRUDQ+((56833'8
 °
 ° 
 K /67) k ®    IRUDQ+(7%33'8 
 ° 
°
 ¯  RWKHUZLVH


 K Shift i N 0+] ±  ± i ˜ 

 TXi
T CS UHSUHVHQWVWKHF\FOLFVKLIWIRUWUDQVPLWFKDLQiTXZLWKDYDOXHJLYHQLQ &\FOLFVKLIWIRU

 SUH+(PRGXODWHGILHOGV 
 7RQH
 N /67) KDVWKHYDOXHJLYHQLQ7DEOH 1XPEHURIPRGXODWHGVXEFDUULHUVDQGJXDUGLQWHUYDOGXUDWLRQ

 YDOXHVIRU+(33'8ILHOGV 

 : 0+] LVDVHWRI0+]FKDQQHOVZKHUHSUH+(PRGXODWHGILHOGVDUHORFDWHG7KHVHWRI0+]FKDQ
 QHOVFRQWDLQVRQHRUPRUHYDOXHVLQWKHUDQJHWRN0+]±IRUDQ+(7%33'8+(VRXQG

LQJ1'3RU+(0833'8ZLWKSUHDPEOHSXQFWXULQJDQGLWFRQWDLQVDOOYDOXHVLQWKHUDQJH

 WRN0+]±IRURWKHU+(33'8IRUPDWV

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU


 ­  LI&+B%$1':,'7+LV&%:
 °
°  LI&+B%$1':,'7+LV&%:
 °
 °  LI&+B%$1':,'7+LV&%:+(&%:381&35,
 N 0+] ® +(&%:381&6(&&%:+(&%:381&35,
 °
° RU+(&%:381&6(&

 °  LI&+B%$1':,'7+LV&%:+(&%:381&35,
°
 ¯ RU+(&%:381&6(&

 Sk,20 LVGHILQHGDVS-26,26LQ(TXDWLRQ  
 iBW LVWKHLQGH[RI0+]FKDQQHOV”iBW”N0+]±


 ,IWKH7;9(&725SDUDPHWHU%($0B&+$1*(LVWKHWLPHGRPDLQUHSUHVHQWDWLRQRIWKH/67)ILHOG 
 VKDOOEHDVVSHFLILHGLQ(TXDWLRQ  7KHHTXDWLRQDSSOLHVWRDOOFRQWLJXRXVVLJQDOVXSWR0+]DQG


QRQFRQWLJXRXV0+]



 i i H
t  w T t
Seg TX
 r /67) /67)

7RQH
 N STS ˜ N /67)
 N 0+] ±  N STS

 § iSeg  k ± K 6KLIW i BW S k  ·
¨ Q  k ± K6KLIW iBW iTX m A +(/7) ¸


¦ ¦ ¦ /67) k ¨
K m  
¸
i BW  k ±  m  ©  ˜ H[S jS k ± K 6KLIW i %: ' F 3UH+( t ± T CS +( m ¹


 ZKHUH

 T CS +( m UHSUHVHQWVWKHF\FOLFVKLIWIRUVSDFHWLPHVWUHDPmDVGHILQHGLQ &\FOLFVKLIWIRU
 +(PRGXODWHGILHOGV
 i
 Q k Seg LV WKH VSDWLDO PDSSLQJVWHHULQJ PDWUL[ IRU VXEFDUULHU k LQ IUHTXHQF\ VHJPHQW iSeg RQ WKH GDWD

 2)'0V\PEROVRYHUVXEFDUULHUVSDFLQJ ' F +( DVGHILQHGLQ7DEOH 7LPLQJUHODWHGFRQ
 VWDQWV 5HIHUWRWKHGHVFULSWLRQVLQ 7UDQVPLVVLRQLQ9+7IRUPDW IRUH[DPSOHV
 i Seg
 RI Q k 

k
 A +(/7) LVGHILQHGLQ(TXDWLRQ 

 NSTS LVWKHQXPEHURIVSDFHWLPHVWUHDPVRIWKH+(PRGXODWHGILHOGVLQDQ+(6833'8RU+((568

 33'8DVGHILQHGLQ7DEOH )UHTXHQWO\XVHGSDUDPHWHUV


 //7)

 ,IWKH7;9(&725SDUDPHWHU%($0B&+$1*(LVRUQRWSUHVHQWWKHWLPHGRPDLQUHSUHVHQWDWLRQRIWKH
 //7) ILHOG WUDQVPLWWHG RQ IUHTXHQF\ VHJPHQW iSeg DQG WUDQVPLW FKDLQ iTX VKDOO EH DV VSHFLILHG LQ


 (TXDWLRQ  7KHHTXDWLRQDSSOLHVWRDOOFRQWLJXRXVVLJQDOVXSWR0+]DQGQRQFRQWLJXRXV 
 0+]


 i Seg i H
 r //7)TX t  w T t
//7)

7RQH
 N TX ˜ N //7)

§ b k ± K6KLIW iBW  %: L k 

 ·
 ¦ ¦ K //7) k ¨ i TX ¸
©  ˜ H[S jS k ± K 6KLIW i %: ' F 3UH+( t ± T GI //7) ± T CS ¹
 i BW  : 0+] k ± 


&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 K //7) k LVD33'8IRUPDWGHSHQGHQWVFDOLQJIDFWRUIRUWKH//7)ILHOGRQVXEFDUULHULQGH[ k ZLWKWKH



 VDPHYDOXHDV K /67) k 

 7RQH
N //7)
 H LVDSRZHUVFDOLQJIDFWRUZLWKWKHYDOXH H 
7RQH

 N /6,*


7GI//7)LVJLYHQLQ7DEOH 7LPLQJUHODWHGFRQVWDQWV
 K Shift i N 0+] ±  ± i ˜ 

i
 TX
T CS UHSUHVHQWVWKHF\FOLFVKLIWIRUWUDQVPLWFKDLQiTXZLWKDYDOXHJLYHQLQ &\FOLFVKLIWIRU

 SUH+(PRGXODWHGILHOGV 
 7RQH

N //7) KDVWKHYDOXHJLYHQLQ7DEOH 1XPEHURIPRGXODWHGVXEFDUULHUVDQGJXDUGLQWHUYDOGXUDWLRQ

 YDOXHVIRU+(33'8ILHOGV 
 Lk,20 LVGHILQHGDVL-26,26LQ(TXDWLRQ  


 ,IWKH7;9(&725SDUDPHWHU%($0B&+$1*(LVWKHWLPHGRPDLQUHSUHVHQWDWLRQRIWKH//7)ILHOG 
 VKDOOEHDVVSHFLILHGLQ(TXDWLRQ  7KHHTXDWLRQDSSOLHVWRDOOFRQWLJXRXVVLJQDOVXSWR0+]DQG

 QRQFRQWLJXRXV0+]



 i Seg i TX H
r //7) t  w T t 
 7RQH //7)

 N STS ˜ N //7)
 N 0+] ±  N STS

 § iSeg  k ± K 6KLIW i BW L k  ·
¨ Q  k ± K6KLIW iBW iTX m A +(/7) ¸
 ¦ ¦ ¦ //7) k ¨
K m  
¸
 i BW  k ±  m  ©  ˜ H[S jS k ± K 6KLIW i %: ' F 3UH+( t ± T GI //7) ± T CS +( m ¹


 ZKHUH
 T CS +( m UHSUHVHQWVWKHF\FOLFVKLIWIRUVSDFHWLPHVWUHDPmDVGHILQHGLQ &\FOLFVKLIWIRU

 +(PRGXODWHGILHOGV
 i
 Q k Seg LVGHILQHGLQ 0DWKHPDWLFDOGHVFULSWLRQRIVLJQDOV
 k
 A +(/7) LVGHILQHGLQ(TXDWLRQ 

 /6,*


 7KH /6,* ILHOG LV XVHG WR FRPPXQLFDWH UDWH DQG OHQJWK LQIRUPDWLRQ 7KH VWUXFWXUH RI WKH /6,* ILHOG LV
 GHILQHGLQ)LJXUH 6,*1$/ILHOGELWDVVLJQPHQW 

 ,QDQ+(33'8WKH5$7(ILHOGVKDOOEHVHWWRWKHYDOXHUHSUHVHQWLQJ0EVLQWKH0+]FKDQQHOVSDFLQJ

 FROXPQRI 7DEOH  &RQWHQWV RI WKH 6,*1$/ ILHOG  ,Q DQRQ+7 GXSOLFDWH 33'8 WKH 5$7( ILHOG LV
 GHILQHGLQ 5$7(ILHOG XVLQJWKH/B'$7$5$7(SDUDPHWHULQWKH7;9(&725

 )RUDQ+(7%33'8WKH/(1*7+ILHOGLVVHWWRWKH7;9(&725SDUDPHWHU/B/(1*7+)RUDQ+(68 

33'8 +( (5 68 33'8 DQG +( 08 33'8 WKH /(1*7+ ILHOG LV VHW WR WKH YDOXH JLYHQ E\ WKH

 (TXDWLRQ  

 7;7,0( ± SignalExtension ±  u  ±  ± m
 /HQJWK  



 ZKHUH

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7;7,0( LQ—V LVGHILQHGLQ 7;7,0(DQG36'8B/(1*7+FDOFXODWLRQ 




m LVIRUDQ+(0833'8DQG+((56833'8DQGRWKHUZLVH
 SignalExtensionLV—VLIWKH7;9(&725SDUDPHWHU12B6,*B(;71LVWUXHDQGLVD6LJQDO([WHQVLRQDV
 GHILQHG LQ 7DEOH +( 3+< FKDUDFWHULVWLFV  LI WKH 7;9(&725 SDUDPHWHU 12B6,*B
 (;71LVIDOVH


 ,Q D QRQ+7 GXSOLFDWH 33'8 WKH /(1*7+ ILHOG LV GHILQHG LQ  /(1*7+ ILHOG  XVLQJ WKH /B
 /(1*7+SDUDPHWHULQWKH7;9(&725


 7KH5HVHUYHG 5 ILHOGVKDOOEHVHWWR



7KH3DULW\ 3 ILHOGKDVWKHHYHQSDULW\RIELWV

 7KH6,*1$/7$,/ILHOGVKDOOEHVHWWR


 7KH/6,*ILHOGVKDOOEHHQFRGHGLQWHUOHDYHGDQGPDSSHGIROORZLQJWKHVWHSVGHVFULEHGLQ &RQ
 YROXWLRQDOHQFRGHU  'DWDLQWHUOHDYLQJ DQG 6XEFDUULHUPRGXODWLRQPDSSLQJ 7KHVWUHDP 
 RIFRPSOH[QXPEHUVJHQHUDWHGE\WKHVHVWHSVLVGHQRWHGE\ d k k  }  DQGDUHPDSSHGWRVXEFDU
 ULHUV>±@,QDGGLWLRQYDOXHV>±±±@DUHPDSSHGWRWKHH[WUDVXEFDUULHUV>±±@RI

 WKH/6,*ILHOGRID0+]+(33'86XEFDUULHUV>±±@DUHDOVR%36.PRGXODWHG3LORWV
 VKDOOEHLQVHUWHGDVGHVFULEHGLQ 3LORWVXEFDUULHUV 


,IWKH7;9(&725SDUDPHWHU%($0B&+$1*(LVRUQRWSUHVHQWWKHWLPHGRPDLQZDYHIRUPRIWKH/

 6,*ILHOGWUDQVPLWWHGRQIUHTXHQF\VHJPHQWiSegDQGWUDQVPLWFKDLQiTXVKDOOEHDVJLYHQE\(TXDWLRQ 
  


 i Seg i 
 r /6,* TX t  w T t
/6,*

7RQH
 N TX ˜ N /6,*

§ b k ± K6KLIW iBW  %: K /6,* k D k   p  P k
 
·

¦ ¦ ¨© i TX ¸
 i BW  : 0+] k ± 
 ˜ H[S jS k ± K 6KLIW i %: ' F 3UH+( t ± T GI 3UH+( ± T CS ¹


 ZKHUH

 K /6,* k LVD33'8GHSHQGHQWVFDOLQJIDFWRUIRUWKH/6,*ILHOGRQWKHVXEFDUULHUkGHILQHGDVIROORZV

 ­  k r  r IRUDQ+((56833'8
 °
 ° 
 K /6,* k ®    IRUDQ+(7%33'8
 ° 
°
 ¯  RWKHUZLVH

 7GI3UH+(LVJLYHQLQ7DEOH 7LPLQJUHODWHGFRQVWDQWV

 K Shift i N 0+] ±  ± i ˜ 

 ­
  k  r  r 
°
 ° ±  k ±  ±  
 D k  ®
 °  k 
 ° d Mr k  RWKHUZLVH
 ¯ 

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU


 ­
 ° k   ±  d k d ± 
°
 ° k   ±  d k d ± 
 r ° k   ±  d k d ± 
 M  k ®
 ° k    d k d 
 ° k    d k d 
 °
° k    d k d 
 ¯


 Pk LVGHILQHGLQ 2)'0PRGXODWLRQ

 p LVWKHILUVWSLORWYDOXHLQWKHVHTXHQFHGHILQHGLQ 2)'0PRGXODWLRQ

 7RQH
N /6,* LVGHILQHGLQ7DEOH 1XPEHURIPRGXODWHGVXEFDUULHUVDQGJXDUGLQWHUYDOGXUDWLRQYDOXHVIRU

 +(33'8ILHOGV

 i
TX
T CS UHSUHVHQWVWKHF\FOLFVKLIWIRUWUDQVPLWFKDLQiTXZLWKDYDOXHJLYHQLQ &\FOLFVKLIWIRU

 SUH+(PRGXODWHGILHOGV 

 r
127(² M  k LVD³UHYHUVH´IXQFWLRQRIWKHIXQFWLRQM k GHILQHGLQ 2)'0PRGXODWLRQ 


 ,IWKH7;9(&725SDUDPHWHU%($0B&+$1*(LVWKHWLPHGRPDLQZDYHIRUPRIWKH/6,*ILHOGWUDQV

 PLWWHGRQIUHTXHQF\VHJPHQWiSegDQGWUDQVPLWFKDLQiTXVKDOOEHDVJLYHQE\(TXDWLRQ  



 i i 
Seg TX
r /6,* t  w T t 
 7RQH /6,*
N STS ˜ N /6,*

 N 0+] ±  N STS
§ iSeg K /6,* k D k   p  P k ·¸
  k ± K 6KLIW i BW
 ¨ Q  k ± K6KLIW iBW iTX m A +(/7)
 ¦ ¦ ¦¨ m  
¸
 i BW  k ±  m  ©  ˜ H[S jS k ± K 6KLIW i %: ' F 3UH+( t ± T GI 3UH+( ± T CS +( m ¹


 ZKHUH

 T CS +( m UHSUHVHQWVWKHF\FOLFVKLIWIRUVSDFHWLPHVWUHDPmDVGHILQHGLQ &\FOLFVKLIWIRU

 +(PRGXODWHGILHOGV
 i
 Q k Seg LVGHILQHGLQ 0DWKHPDWLFDOGHVFULSWLRQRIVLJQDOV

 k
 A +(/7) LVGHILQHGLQ(TXDWLRQ 


 5/6,*


 7KH5/6,*ILHOGLVDUHSHDWRIWKH/6,*ILHOGDQGLVXVHGWRGLIIHUHQWLDWHDQ+(33'8IURPDQRQ+7

 33'8+733'8DQG9+733'8


 ,IWKH7;9(&725SDUDPHWHU%($0B&+$1*(LVRUQRWSUHVHQWWKHWLPHGRPDLQZDYHIRUPRIWKH5/

 6,*ILHOGWUDQVPLWWHGRQIUHTXHQF\VHJPHQWiSegDQGWUDQVPLWFKDLQiTXVKDOOEHDVJLYHQE\(TXDWLRQ 
  

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU


 i Seg i TX 
r 5/6,* t  w T t 
 7RQH 5/6,*

 N TX ˜ N 5/6,*

§ b k ± K6KLIW iBW  %: K /6,* k D k   p  P k

 ·
 ¦ ¦ ¨© i TX ¸
 i BW  : 0+] k ± 
 ˜ H[S jS k ± K 6KLIW i %: ' F 3UH+( t ± T GI 3UH+( ± T CS ¹


 ,I WKH 7;9(&725 SDUDPHWHU %($0B&+$1*( LV  WKH WLPH GRPDLQ ZDYHIRUP RI WKH 5/6,* ILHOG
 WUDQVPLWWHGRQIUHTXHQF\VHJPHQWiSegDQGWUDQVPLWFKDLQiTXVKDOOEHDVJLYHQE\(TXDWLRQ  


 i Seg i TX 
 r 5/6,* t  w T
5/6,*
t 
7RQH
 N STS ˜ N 5/6,*

N 0+] ±  N STS
  § iSeg  k ± K 6KLIW i BW K /6,* k D k   p  P k ·¸
¨ Q  k ± K6KLIW iBW iTX m A +(/7)

 ¦ ¦ ¦¨ m  
¸
 i BW  k ±  m  ©  ˜ H[S jS k ± K 6KLIW i %: ' F 3UH+( t ± T GI 3UH+( ± T CS +( m ¹


 ZKHUH
 p LVWKHVHFRQGSLORWYDOXHLQWKHVHTXHQFHGHILQHGLQ 2)'0PRGXODWLRQ

 2WKHU YDULDEOHV DUH GHILQHG EHORZ (TXDWLRQ   (TXDWLRQ   (TXDWLRQ   (TXDWLRQ  
 (TXDWLRQ  DQG(TXDWLRQ 

 +(6,*$


 *HQHUDO

 7KH+(6,*$ILHOGFDUULHVLQIRUPDWLRQQHFHVVDU\WRLQWHUSUHW+( 33'8V7KH LQWHJHU ILHOGVRI WKH +(
 6,*$ILHOGDUHWUDQVPLWWHGLQXQVLJQHGELQDU\IRUPDW/6%ILUVWZKHUHWKH/6%LVLQWKHORZHVWQXPEHUHG


ELWSRVLWLRQ

 &RQWHQW

 7KH+(6,*$ILHOGIRUDQ+(6833'8RUDQ+((56833'8FRQWDLQVWKHILHOGVOLVWHGLQ7DEOH


 +(6,*$ILHOGRIDQ+(6833'8DQG+((56833'8 


 7DEOH²+(6,*$ILHOGRIDQ+(6833'8DQG+((56833'8


 7ZR3DUWVRI 1XPEHU
%LW )LHOG 'HVFULSWLRQ
 +(6,*$ RIELWV

 +(6,* % )RUPDW  'LIIHUHQWLDWHDQ+(6833'8DQG+((56833'8
 IURPDQ+(7%33'8
$
 6HWWRIRUDQ+(6833'8DQG+((56833'8










&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²+(6,*$ILHOGRIDQ+(6833'8DQG+((56833'8(continued)


 7ZR3DUWVRI 1XPEHU
%LW )LHOG 'HVFULSWLRQ
 +(6,*$ RIELWV

 % %HDP  6HWWRWRLQGLFDWHWKDWWKHSUH+(PRGXODWHGILHOGVRI
 &KDQJH WKH33'8PD\EHVSDWLDOO\PDSSHGGLIIHUHQWO\IURPWKH
 ILUVWV\PERORIWKH+(/7)(TXDWLRQ  
 (TXDWLRQ  (TXDWLRQ  (TXDWLRQ  
 (TXDWLRQ  DQG(TXDWLRQ  DSSO\LIWKH
 %HDP&KDQJHILHOGLV
 6HWWRWRLQGLFDWHWKDWWKHSUH+(PRGXODWHGILHOGVRI
 WKH33'8DUHVSDWLDOO\PDSSHGWKHVDPHZD\DVWKH
 ILUVWV\PERORIWKH+(/7)RQHDFKVXEFDUULHU
 (TXDWLRQ  (TXDWLRQ  (TXDWLRQ  
 (TXDWLRQ  (TXDWLRQ  DQG(TXDWLRQ 
  DSSO\LIWKH%HDP&KDQJHILHOGLV

 % 8/'/  ,QGLFDWHVZKHWKHUWKH33'8LVVHQW8/RU'/6HWWR
 LIWKH33'8LVDGGUHVVHGWRDQ$36HWWRRWKHUZLVH
 6HHWKH7;9(&725SDUDPHWHU83/,1.B)/$*


 %% +(0&6  )RUDQ+(6833'8
 6HWWRnIRU+(0&6nZKHUHn «
 9DOXHVDUHUHVHUYHG
 
 )RUDQ+((56833'8ZLWK%DQGZLGWKILHOGVHWWR
 WRQH58 
 6HWWRnIRU+(0&6nZKHUHn 
 9DOXHVDUHUHVHUYHG

 )RUDQ+((56833'8ZLWK%DQGZLGWKILHOGVHWWR
 XSSHUIUHTXHQF\WRQH58 
 6HWWRIRU+(0&6
 9DOXHVDUHUHVHUYHG

 % '&0  ,QGLFDWHVZKHWKHURUQRW'&0LVDSSOLHGWRWKH'DWD
 ILHOGIRUWKH+(0&6LQGLFDWHG6HH7DEOH
 ,QWHUSUHWDWLRQRI'&067%&DQG*,+(/7)6L]H
 VXEILHOGV IRUWKHLQWHUSUHWDWLRQRIWKLVILHOG
 127(²'&0 LV DSSOLFDEOH WR RQO\ +(0&6V  
 DQG  '&0 LV DSSOLFDEOH WR RQO\ DQG  VSDWLDO
 VWUHDPV


 %% %66&RORU  7KH%66&RORUILHOGLVDQLGHQWLILHURIWKH%66

 6HWWRWKHYDOXHRIWKH7;9(&725SDUDPHWHU%66B
 &2/25

 % 5HVHUYHG  5HVHUYHGDQGVHWWR

 %% 6SDWLDO5HXVH  ,QGLFDWHVZKHWKHURUQRWVSDWLDOUHXVHPRGHVDUH
 DOORZHGGXULQJWKHWUDQVPLVVLRQRIWKLV33'8DQGLI
 365VSDWLDOUHXVHLVDOORZHGLQGLFDWHVDYDOXHWKDWLV
 XVHGWRGHWHUPLQHDOLPLWRQWKHWUDQVPLWSRZHURIWKH
 365733'8

 6HWWRDYDOXHIURP7DEOH 6SDWLDO5HXVHILHOG
 HQFRGLQJIRUDQ+(6833'8+((56833'8DQG
 +(0833'8 VHH 63$7,$/B5(86( DQG
  6SDWLDOUHXVHRSHUDWLRQ 


 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²+(6,*$ILHOGRIDQ+(6833'8DQG+((56833'8(continued)


 7ZR3DUWVRI 1XPEHU
%LW )LHOG 'HVFULSWLRQ
 +(6,*$ RIELWV

 %% %DQGZLGWK  )RUDQ+(6833'8
 6HWWRIRU0+]
 6HWWRIRU0+]
 6HWWRIRU0+]
 6HWWRIRU0+]DQG0+]

 )RUDQ+((56833'8
 6HWWRIRUWRQH58
 6HWWRIRUXSSHUIUHTXHQF\WRQH58ZLWKLQWKH
 SULPDU\0+]
 9DOXHVDQGDUHUHVHUYHG

 %% *,+(/7)  ,QGLFDWHVWKH*,GXUDWLRQDQG+(/7)VL]H6HH
 6L]H 7DEOH ,QWHUSUHWDWLRQRI'&067%&DQG
 *,+(/7)6L]HVXEILHOGV IRUWKHLQWHUSUHWDWLRQRI
 WKLVILHOG

 %% 1676$QG  ,IWKH'RSSOHUILHOGLVLQGLFDWHVWKHQXPEHURIVSDFH
 0LGDPEOH WLPHVWUHDPV
 3HULRGLFLW\ 6HWWRWKHQXPEHURIVSDFHWLPHVWUHDPVPLQXV
 )RUDQ+((56833'8YDOXHVDUHUHVHUYHG

 ,IWKH'RSSOHUILHOGLVWKHQ%%LQGLFDWHVWKH
 QXPEHURIVSDFHWLPHVWUHDPVXSWRDQG%LQGL
 FDWHVWKHPLGDPEOHSHULRGLFLW\
 %%LVVHWWRWKHQXPEHURIVSDFHWLPHVWUHDPV
 PLQXV
 )RUDQ+((56833'8YDOXHVDQGDUHUHVHUYHG

 %LVVHWWRLI7;9(&725SDUDPHWHU0,'$0
 %/(B3(5,2',&,7<LVDQGVHWWRLI7;9(&725
 SDUDPHWHU0,'$0%/(B3(5,2',&,7<LV

 +(6,* %% 7;23  6HWWRWRLQGLFDWHQRGXUDWLRQLQIRUPDWLRQLI
 $ +( 7;9(&725SDUDPHWHU7;23B'85$7,21LVVHWWR
 8163(&,),('
 68
 33'8 RU 6HWWRDYDOXHOHVVWKDQWRLQGLFDWHGXUDWLRQLQIRU
 +(6,* PDWLRQIRU1$9VHWWLQJDQGSURWHFWLRQRIWKH7;23DV
 IROORZV
 $ +( ,I7;9(&725SDUDPHWHU7;23B'85$7,21LV
 (568 OHVVWKDQWKHQ%LVVHWWRDQG%%LVVHWWR
 33'8 IORRU 7;23B'85$7,21 
 2WKHUZLVH%LVVHWWRDQG%%LVVHWWRIORRU
 7;23B'85$7,21±  
 ZKHUH
 %LQGLFDWHVWKH7;23OHQJWKJUDQXODULW\6HWWR
 IRU—VRWKHUZLVHVHWWRIRU—V
 %%LQGLFDWHVWKHVFDOHGYDOXHRIWKH7;23B
 '85$7,21

 % &RGLQJ  ,QGLFDWHVZKHWKHU%&&RU/'3&LVXVHG
 6HWWRWRLQGLFDWH%&&
 6HWWRWRLQGLFDWH/'3&






&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²+(6,*$ILHOGRIDQ+(6833'8DQG+((56833'8(continued)


 7ZR3DUWVRI 1XPEHU
%LW )LHOG 'HVFULSWLRQ
 +(6,*$ RIELWV

 % /'3&([WUD  ,QGLFDWHVWKHSUHVHQFHRIWKHH[WUD2)'0V\PEROVHJ
 6\PERO6HJ PHQWIRU/'3&
 PHQW 6HWWRLIDQH[WUD2)'0V\PEROVHJPHQWIRU
 /'3&LVSUHVHQW
 6HWWRLIDQH[WUD2)'0V\PEROVHJPHQWIRU
 /'3&LVQRWSUHVHQW

 5HVHUYHGDQGVHWWRLIWKH&RGLQJILHOGLV

 % 67%&  ,QGLFDWHVZKHWKHURUQRW67%&LVDSSOLHGWRWKH'DWD
 ILHOG6HH7DEOH ,QWHUSUHWDWLRQRI'&067%&
 DQG*,+(/7)6L]HVXEILHOGV IRUWKHLQWHUSUHWDWLRQ
 RIWKLVILHOG


 % %HDPIRUPHG  6HWWRLIDEHDPIRUPLQJVWHHULQJPDWUL[LVDSSOLHGWR
 WKHSRUWLRQRIWKHZDYHIRUPFRQWULEXWHGE\WKH58WKDW
 FRQWDLQVWKLVXVHU
VDOORFDWLRQDQGWKH58FRQWDLQVQR
 PRUHWKDQRQHXVHU
 6HWWRRWKHUZLVH

 %% 3UH)(&  ,QGLFDWHVWKHSUH)(&SDGGLQJIDFWRU
 3DGGLQJ)DF 6HWWRWRLQGLFDWHDSUH)(&SDGGLQJIDFWRURI
 WRU 6HWWRWRLQGLFDWHDSUH)(&SDGGLQJIDFWRURI
 6HWWRWRLQGLFDWHDSUH)(&SDGGLQJIDFWRURI
 6HWWRWRLQGLFDWHDSUH)(&SDGGLQJIDFWRURI

 % 3('LVDPEL  ,QGLFDWHV3(GLVDPELJXLW\DVGHILQHGLQ 3DFNHW
 JXLW\ H[WHQVLRQ 

 % 5HVHUYHG  5HVHUYHGDQGVHWWR

 % 'RSSOHU  6HWWRLIRQHRIWKHIROORZLQJDSSOLHV

 ² 7KH QXPEHU RI 2)'0 V\PEROV LQ WKH 'DWD
 ILHOGLVODUJHUWKDQWKHVLJQDOHGPLGDPEOHSHUL
 RGLFLW\SOXVDQGWKHPLGDPEOHLVSUHVHQW
 ² 7KH QXPEHU RI 2)'0 V\PEROV LQ WKH 'DWD
 ILHOGLVOHVVWKDQRUHTXDOWRWKHVLJQDOHGPLG
 DPEOHSHULRGLFLW\SOXV VHH 0LG
 DPEOHV  WKH PLGDPEOH LV QRW SUHVHQW EXW WKH

FKDQQHO LV IDVW YDU\LQJ ,W UHFRPPHQGV WKDW

 PLGDPEOH PD\ EH XVHG IRU WKH 33'8V RI WKH
 UHYHUVHOLQN
 6HWWRRWKHUZLVH

 %% &5&  &5&IRUELWV±RIWKH+(6,*$ILHOG VHH
  &5&FRPSXWDWLRQ %LWV±RIWKH+(
 6,*$ILHOGFRUUHVSRQGWRELWV±RI+(6,*$IRO
 ORZHGE\ELWV±RI+(6,*$ 

 %% 7DLO  8VHGWRWHUPLQDWHWKHWUHOOLVRIWKHFRQYROXWLRQDO
 GHFRGHU
 6HWWR





 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 )RUDQ+(6833'8DQG+((56833'8WKH'&067%&DQG*,+(/7)6L]HVXEILHOGVLQWKH+(
 6,*$ILHOGDUHLQWHUSUHWHGDVGHILQHGLQ7DEOH ,QWHUSUHWDWLRQRI'&067%&DQG*,+(/7)6L]H

VXEILHOGV 



 7DEOH²,QWHUSUHWDWLRQRI'&067%&DQG*,+(/7)6L]HVXEILHOGV


 6XEILHOGVLQWKH+(6,*$ILHOGRIDQ+(
 6833'8RU+((56833'8 VHH
,QWHUSUHWDWLRQ
 7DEOH +(6,*$ILHOGRIDQ+(68
 33'8DQG+((56833'8

 *,+(/7) '&0 67%&
'&0 67%& *,+(/7)VL]H
 6L]H $SSOLHG $SSOLHG

    1R 1R [+(/7)DQG—V*,

  [+(/7)DQG—V*,


  [+(/7)DQG—V*,

  [+(/7)DQG—V*,

    <HV 1R [+(/7)DQG—V*,

  [+(/7)DQG—V*,

  [+(/7)DQG—V*,


  [+(/7)DQG—V*,

    1R <HV [+(/7)DQG—V*,

  [+(/7)DQG—V*,

  [+(/7)DQG—V*,

  [+(/7)DQG—V*,


   ± 5HVHUYHG

  1R 1R [+(/7)DQG—V*,



















&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KH+(6,*$ILHOGRIDQ+(0833'8FRQWDLQVWKHILHOGVOLVWHGLQ7DEOH +(6,*$ILHOGRIDQ
 +(0833'8 



 7DEOH²+(6,*$ILHOGRIDQ+(0833'8


 7ZR3DUWVRI 1XPEHU
%LW )LHOG 'HVFULSWLRQ
 +(6,*$ RIELWV

 % 8/'/  ,QGLFDWHVZKHWKHUWKH33'8LVVHQW8/RU'/6HWWR
 LIWKH33'8LVDGGUHVVHGWRDQ$36HWWRRWKHUZLVH
 6HHWKH7;9(&725SDUDPHWHU83/,1.B)/$*
 +(6,*$
 127(²7KH7'/6SHHUFDQLGHQWLI\WKH7'/6IUDPH
 E\7R'6DQG)URP'6ILHOGVLQWKH0$&KHDGHURIWKH
 IUDPH

 %% +(6,*%  ,QGLFDWHVWKH+(0&6RIWKH+(6,*%ILHOG
 0&6 6HWWRIRU+(6,*%0&6
 6HWWRIRU+(6,*%0&6
 6HWWRIRU+(6,*%0&6
 6HWWRIRU+(6,*%0&6
 6HWWRIRU+(6,*%0&6
 6HWWRIRU+(6,*%0&6
 9DOXHVDQGDUHUHVHUYHG

 % +(6,*%  6HWWRLQGLFDWHVWKDWWKH+(6,*%LVPRGXODWHGZLWK
 '&0 '&0IRUWKH+(0&6
 6HWWRLQGLFDWHVWKDWWKH+(6,*%LVQRWPRGXODWHG
 ZLWK'&0IRUWKH+(0&6

 127(²'&0LVRQO\DSSOLFDEOHWR+(6,*%0&6
 DQG

 %% %66&RORU  7KH%66&RORUILHOGLVDQLGHQWLILHURIWKH%66

 6HWWRWKHYDOXHRIWKH7;9(&725SDUDPHWHU%66B
 &2/25

 %% 6SDWLDO5HXVH  ,QGLFDWHVZKHWKHURUQRWVSDWLDOUHXVHPRGHVDUH
 DOORZHGGXULQJWKHWUDQVPLVVLRQRIWKLV33'8DQGLI
 365VSDWLDOUHXVHLVDOORZHGLQGLFDWHVDYDOXHWKDWLV
 XVHGWRGHWHUPLQHDOLPLWRQWKHWUDQVPLWSRZHURIWKH
 365733'8

 6HWWRWKHYDOXHRIWKH63$7,$/B5(86(SDUDPHWHURI
 WKH7;9(&725ZKLFKFRQWDLQVDYDOXHIURP
 7DEOH 6SDWLDO5HXVHILHOGHQFRGLQJIRUDQ+(
 6833'8+((56833'8DQG+(0833'8  VHH
  63$7,$/B5(86( DQG 6SDWLDOUHXVH
 RSHUDWLRQ 













 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²+(6,*$ILHOGRIDQ+(0833'8(continued)


 7ZR3DUWVRI 1XPEHU
%LW )LHOG 'HVFULSWLRQ
 +(6,*$ RIELWV

 %% %DQGZLGWK  6HWWRIRU0+]
 6HWWRIRU0+]
 6HWWRIRU0+]QRQSUHDPEOHSXQFWXULQJPRGH
 6HWWRIRU0+]DQG0+]QRQSUHDPEOH
 SXQFWXULQJPRGH

 ,IWKH+(6,*%&RPSUHVVLRQILHOGLV
 6HWWRIRUSUHDPEOHSXQFWXULQJLQ0+]ZKHUH
 LQWKHSUHDPEOHRQO\WKHVHFRQGDU\0+]LVSXQF
 WXUHG
 6HWWRIRUSUHDPEOHSXQFWXULQJLQ0+]ZKHUH
 LQWKHSUHDPEOHRQO\RQHRIWKHWZR0+]VXE
 FKDQQHOVLQVHFRQGDU\0+]LVSXQFWXUHG
 6HWWRIRUSUHDPEOHSXQFWXULQJLQ0+]RU
 0+]ZKHUHLQWKHSULPDU\0+]RIWKH
 SUHDPEOHRQO\WKHVHFRQGDU\0+]LVSXQFWXUHG
 6HWWRIRUSUHDPEOHSXQFWXULQJLQ0+]RU
 0+]ZKHUHLQWKHSULPDU\0+]RIWKH
 SUHDPEOHWKHSULPDU\0+]LVSUHVHQWDQGDWOHDVW
 RQH0+]VXEFKDQQHOWKDWLVQRWLQWKHSULPDU\
 0+]LVSXQFWXUHG

 ,IWKH+(6,*%&RPSUHVVLRQILHOGLVWKHQYDOXHV
 DUHUHVHUYHG

 %% 1XPEHU2I  ,IWKH+(6,*%&RPSUHVVLRQILHOGLVLQGLFDWHVWKH
 +(6,*% QXPEHURI2)'0V\PEROVLQWKH+(6,*%ILHOG
 6\PEROV2U 6HWWRWKHQXPEHURI2)'0V\PEROVLQWKH+(6,*
 080,02 %ILHOGPLQXVLIWKHQXPEHURI2)'0V\PEROVLQ
 8VHUV WKH+(6,*%ILHOGLVOHVVWKDQ
 6HWWRWRLQGLFDWHWKDWWKHQXPEHURI2)'0V\P
 EROVLQWKH+(6,*%ILHOGLVHTXDOWRLI/RQJHU
 7KDQ+(6,*%2)'06\PEROV6XSSRUWVXE
 ILHOGRIWKH+(&DSDELOLWLHVHOHPHQWWUDQVPLWWHGE\
 DWOHDVWRQHUHFLSLHQW67$LV
 6HWWRWRLQGLFDWHWKDWWKHQXPEHURI2)'0V\P
 EROVLQWKH+(6,*%ILHOGLVJUHDWHUWKDQRUHTXDOWR
 LIWKH/RQJHU7KDQ+(6,*%2)'06\P
 EROV6XSSRUWVXEILHOGRIWKH+(&DSDELOLWLHVHOHPHQW
 WUDQVPLWWHGE\DOOWKHUHFLSLHQW67$VDUHDQGLIWKH
 +(6,*%0&6ILHOGLVVHWWRRUUHJDUGOHVV
 RIWKHYDOXHRIWKH+(6,*%'&0ILHOGRUWKH+(
 6,*%0&6ILHOGLVVHWWRDQGWKH+(6,*%
 '&0ILHOGLVVHWWR7KHH[DFWQXPEHURI2)'0
 V\PEROVLQWKH+(6,*%ILHOGLVFDOFXODWHGEDVHG
 RQWKHQXPEHURI8VHUILHOGVLQWKH+(6,*%FRQ
 WHQWFKDQQHOZKLFKLVLQGLFDWHGE\+(6,*%&RP
 PRQILHOGLQWKLVFDVH

 ,IWKH+(6,*%&RPSUHVVLRQILHOGLVLQGLFDWHVWKH
 QXPEHURI080,02XVHUVDQGLVVHWWRWKHQXPEHURI
 080,02XVHUVPLQXV


 % +(6,*%  6HWWRLIWKH&RPPRQILHOGLQ+(6,*%LVSUHVHQW
 &RPSUHVVLRQ 6HWWRLIWKH&RPPRQILHOGLQ+(6,*%LVQRWSUHV
 HQW



&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²+(6,*$ILHOGRIDQ+(0833'8(continued)


 7ZR3DUWVRI 1XPEHU
%LW )LHOG 'HVFULSWLRQ
 +(6,*$ RIELWV

 %% *,+(/7)  ,QGLFDWHVWKH*,GXUDWLRQDQG+(/7)VL]H
 6L]H 6HWWRWRLQGLFDWHD[+(/7)DQG—V*,
 6HWWRWRLQGLFDWHD[+(/7)DQG—V*,
 6HWWRWRLQGLFDWHD[+(/7)DQG—V*,
 6HWWRWRLQGLFDWHD[+(/7)DQG—V*,

 % 'RSSOHU  6HWWRLIRQHRIWKHIROORZLQJDSSOLHV

 ² 7KH QXPEHU RI 2)'0 V\PEROV LQ WKH 'DWD
 ILHOGLVODUJHUWKDQWKHVLJQDOHGPLGDPEOHSHUL
 RGLFLW\SOXVDQGWKHPLGDPEOHLVSUHVHQW
 ² 7KH QXPEHU RI 2)'0 V\PEROV LQ WKH 'DWD
 ILHOGLVOHVVWKDQRUHTXDOWRWKHVLJQDOHGPLG
 DPEOHSHULRGLFLW\SOXV VHH 0LG
 DPEOHV  WKH PLGDPEOH LV QRW SUHVHQW EXW WKH

FKDQQHO LV IDVW YDU\LQJ ,W UHFRPPHQGV WKDW

 PLGDPEOH PD\ EH XVHG IRU WKH 33'8V RI WKH
 UHYHUVHOLQN
 6HWWRRWKHUZLVH

 +(6,* %% 7;23  6HWWRWRLQGLFDWHQRGXUDWLRQLQIRUPDWLRQLI
 7;9(&725SDUDPHWHU7;23B'85$7,21LV
 $
8163(&,),('

 6HWWRDYDOXHOHVVWKDQWRLQGLFDWHGXUDWLRQLQIRU
 PDWLRQIRU1$9VHWWLQJDQGSURWHFWLRQRIWKH7;23DV
 IROORZV
 ,I7;9(&725SDUDPHWHU7;23B'85$7,21LV
 OHVVWKDQWKHQ%LVVHWWRDQG%±%LVVHWWR
 IORRU 7;23B'85$7,21 
 2WKHUZLVH%LVVHWWRDQG%±%LVVHWWRIORRU
 7;23B'85$7,21±  
 ZKHUH
 %LQGLFDWHVWKH7;23OHQJWKJUDQXODULW\6HWWR
 IRU—VRWKHUZLVHVHWWRIRU—V
 %%LQGLFDWHVWKHVFDOHGYDOXHRIWKH7;23B
 '85$7,21

 % 5HVHUYHG  5HVHUYHGDQGVHWWR




















 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²+(6,*$ILHOGRIDQ+(0833'8(continued)


 7ZR3DUWVRI 1XPEHU
%LW )LHOG 'HVFULSWLRQ
 +(6,*$ RIELWV

 %% 1XPEHURI  ,IWKH'RSSOHUILHOGLVLQGLFDWHVWKHQXPEHURI+(
 +(/7) /7)V\PEROV
 6\PEROV$QG 6HWWRIRU+(/7)V\PERO
 0LGDPEOH 6HWWRIRU+(/7)V\PEROV
 3HULRGLFLW\ 6HWWRIRU+(/7)V\PEROV
 6HWWRIRU+(/7)V\PEROV
 6HWWRIRU+(/7)V\PEROV
 2WKHUYDOXHVDUHUHVHUYHG

 ,IWKH'RSSOHUILHOGLV%±%LQGLFDWHVWKHQXPEHURI
 +(/7)V\PEROVDQG%LQGLFDWHVPLGDPEOHSHULRG
 LFLW\
 %%LVHQFRGHGDVIROORZV
 LQGLFDWHV+(/7)V\PERO
 LQGLFDWHV+(/7)V\PEROV
 LQGLFDWHV+(/7)V\PEROV
 LVUHVHUYHG
 %LVVHWWRWRLQGLFDWHV\PEROVPLGDPEOHSHULRG
 LFLW\DQGVHWWRWRLQGLFDWHV\PEROVPLGDPEOHSHUL
 RGLFLW\

 % /'3&([WUD  ,QGLFDWLRQRIWKHSUHVHQFHRIWKHH[WUD2)'0V\PERO
 6\PERO6HJ VHJPHQWIRU/'3&
 PHQW 6HWWRLIDQH[WUD2)'0V\PEROVHJPHQWIRU
 /'3&LVSUHVHQW
 6HWWRRWKHUZLVH


 % 67%&  ,QDQ+(0833'8ZKHUHHDFK58LQFOXGHVQRPRUH
 WKDQXVHUVHWWRWRLQGLFDWHDOO58VDUH67%&
 HQFRGHGLQWKHSD\ORDGVHWWRWRLQGLFDWHDOO58VDUH
 QRW67%&HQFRGHGLQWKHSD\ORDG
 67%&GRHVQRWDSSO\WR+(6,*%

 %% 3UH)(&  ,QGLFDWHVWKHSUH)(&SDGGLQJIDFWRU
 3DGGLQJ)DF 6HWWRWRLQGLFDWHDSUH)(&SDGGLQJIDFWRURI
 WRU 6HWWRWRLQGLFDWHDSUH)(&SDGGLQJIDFWRURI
 6HWWRWRLQGLFDWHDSUH)(&SDGGLQJIDFWRURI
 6HWWRWRLQGLFDWHDSUH)(&SDGGLQJIDFWRURI

 % 3('LVDPEL  ,QGLFDWHV3(GLVDPELJXLW\DVGHILQHGLQ 3DFNHW
 JXLW\ H[WHQVLRQ 

 %% &5&  &5&IRUELWVRIWKH+(6,*$ILHOG VHH
  &5&FRPSXWDWLRQ %LWVRIWKH+(
 6,*$ILHOGFRUUHVSRQGWRELWVRI+(6,*$IRO
 ORZHGE\ELWVRI+(6,*$ 

 %% 7DLO  8VHGWRWHUPLQDWHWKHWUHOOLVRIWKHFRQYROXWLRQDO
 GHFRGHU
 6HWWR



 ,WLVRSWLRQDOIRUDQ+(67$WRUHFHLYHDSUHDPEOHSXQFWXUHG+(0833'8ZLWKWKH%DQGZLGWKILHOGLQ

+(6,*$LQWKHUDQJHRIWR$Q+(67$LQGLFDWHVWKDWLWLVFDSDEOHRIUHFHLYLQJDSUHDPEOHSXQFWXUHG

 +(0833'8ZLWKWKH%DQGZLGWKILHOGRI+(6,*$ILHOGLQWKHUDQJHRIWRXVLQJWKH3XQFWXUHG3UH


&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 DPEOH 5[ VXEILHOG LQ WKH +( 3+< &DSDELOLWLHV ,QIRUPDWLRQ ILHOG LQ WKH +( &DSDELOLWLHV HOHPHQW VHH
  +(&DSDELOLWLHVHOHPHQW 


 7KH+(6,*$ILHOGIRUDQ+(7%33'8FRQWDLQVWKHILHOGVOLVWHGLQ7DEOH +(6,*$ILHOGRIDQ
 +(7%33'8 


 7DEOH²+(6,*$ILHOGRIDQ+(7%33'8


 7ZR3DUWVRI 1XPEHU
 %LW )LHOG 'HVFULSWLRQ
+(6,*$ RIELWV

 % )RUPDW  'LIIHUHQWLDWHDQ+(6833'8DQG+((56833'8
 +(6,*$ IURPDQ+(7%33'8
 6HWWRIRUDQ+(7%33'8

 7KH%66&RORUILHOGLVDQLGHQWLILHURIWKH%66
 %% %66&RORU 
 6HWWRWKHYDOXHRIWKH7;9(&725SDUDPHWHU%66B
 &2/25

 %% 6SDWLDO5HXVH  ,QGLFDWHVZKHWKHURUQRWVSHFLILFVSDWLDOUHXVHPRGHV
  DUHDOORZHGLQDVXEEDQGRIWKH33'8GXULQJWKHWUDQV
 PLVVLRQRIWKLV33'8DQGLI365VSDWLDOUHXVHLV
 DOORZHGLQGLFDWHVDYDOXHWKDWLVXVHGWRGHWHUPLQHD
 OLPLWRQWKHWUDQVPLWSRZHURIWKH365733'8

 ,IWKH%DQGZLGWKILHOGLQGLFDWHV0+]0+]RU
 0+]WKHQWKLV6SDWLDO5HXVHILHOGDSSOLHVWRWKHILUVW
 0+]VXEEDQG

 ,IWKH%DQGZLGWKILHOGLQGLFDWHV0+]WKHQ
 WKLV6SDWLDO5HXVHILHOGDSSOLHVWRWKHILUVW0+]VXE
 EDQGRIWKH0+]RSHUDWLQJEDQG

 6HWWRWKHYDOXHRIWKH63$7,$/B5(86(  SDUDPHWHU
 RIWKH7;9(&725ZKLFKFRQWDLQVDYDOXHIURP
 7DEOH 6SDWLDO5HXVHILHOGHQFRGLQJIRUDQ+(
 7%33'8 IRUDQ+(7%33'8 VHH 63$
 7,$/B5(86( DQG 6SDWLDOUHXVHRSHUDWLRQ 
























 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²+(6,*$ILHOGRIDQ+(7%33'8(continued)


 7ZR3DUWVRI 1XPEHU
%LW )LHOG 'HVFULSWLRQ
 +(6,*$ RIELWV

 %% 6SDWLDO5HXVH  ,QGLFDWHVZKHWKHURUQRWVSHFLILFVSDWLDOUHXVHPRGHV
  DUHDOORZHGLQDVXEEDQGRIWKH33'8GXULQJWKHWUDQV
 PLVVLRQRIWKLV33'8DQGLI365VSDWLDOUHXVHLV
 DOORZHGLQGLFDWHVDYDOXHWKDWLVXVHGWRGHWHUPLQHD
 OLPLWRQWKHWUDQVPLWSRZHURIWKH365733'8

 ,IWKH%DQGZLGWKILHOGLQGLFDWHV0+]RU0+]
 7KLV6SDWLDO5HXVHILHOGDSSOLHVWRWKHVHFRQG
 0+]VXEEDQG
 ,IWKH67$RSHUDWLQJFKDQQHOZLGWKLV0+]WKHQ
 WKLVILHOGLVVHWWRWKHVDPHYDOXHDVWKH6SDWLDO5HXVH
 ILHOG
 ,IWKH67$RSHUDWLQJFKDQQHOZLGWKLV0+]LQWKH
 *+]EDQGWKLVILHOGLVVHWWRWKHVDPHYDOXHDV
 WKH6SDWLDO5HXVHILHOG

 ,IWKH%DQGZLGWKILHOGLQGLFDWHV0+]WKH
 WKLV6SDWLDO5HXVHILHOGDSSOLHVWRWKHVHFRQG0+]
 VXEEDQGRIWKH0+]RSHUDWLQJEDQG

 6HWWRWKHYDOXHRIWKH63$7,$/B5(86(  SDUDPHWHU
 RIWKH7;9(&725ZKLFKFRQWDLQVDYDOXHIURP
 7DEOH 6SDWLDO5HXVHILHOGHQFRGLQJIRUDQ+(
 7%33'8 IRUDQ+(7%33'8 VHH 63$
 7,$/B5(86( DQG 6SDWLDOUHXVHRSHUDWLRQ 

 %% 6SDWLDO5HXVH  ,QGLFDWHVZKHWKHURUQRWVSHFLILFVSDWLDOUHXVHPRGHV
  DUHDOORZHGLQDVXEEDQGRIWKH33'8GXULQJWKHWUDQV
 PLVVLRQRIWKLV33'8DQGLI365VSDWLDOUHXVHLV
 DOORZHGLQGLFDWHVDYDOXHWKDWLVXVHGWRGHWHUPLQHD
 OLPLWRQWKHWUDQVPLWSRZHURIWKH365733'8

 ,IWKH%DQGZLGWKILHOGLQGLFDWHV0+]
 7KLV6SDWLDO5HXVHILHOGDSSOLHVWRWKHWKLUG0+]
 VXEEDQG
 ,IWKH67$RSHUDWLQJFKDQQHOZLGWKLV0+]RU
 0+]WKLVILHOGLVVHWWRWKHVDPHYDOXHDVWKH
 6SDWLDO5HXVHILHOG

 ,IWKH%DQGZLGWKILHOGLQGLFDWHV0+]
 7KLV6SDWLDO5HXVHILHOGDSSOLHVWRWKHWKLUG0+]
 VXEEDQGRIWKH0+]RSHUDWLQJEDQG
 ,IWKH67$RSHUDWLQJFKDQQHOZLGWKLV0+]
 WKLVILHOGLVVHWWRWKHVDPHYDOXHDVWKH6SDWLDO5HXVH
 ILHOG

 6HWWRWKHYDOXHRIWKH63$7,$/B5(86(  SDUDPHWHU
 RIWKH7;9(&725ZKLFKFRQWDLQVDYDOXHIURP
 7DEOH 6SDWLDO5HXVHILHOGHQFRGLQJIRUDQ+(
 7%33'8 IRUDQ+(7%33'8 VHH 63$
 7,$/B5(86( DQG 6SDWLDOUHXVHRSHUDWLRQ 









&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²+(6,*$ILHOGRIDQ+(7%33'8(continued)


 7ZR3DUWVRI 1XPEHU
%LW )LHOG 'HVFULSWLRQ
 +(6,*$ RIELWV

 %% 6SDWLDO5HXVH  ,QGLFDWHVZKHWKHURUQRWVSHFLILFVSDWLDOUHXVHPRGHV
  DUHDOORZHGLQDVXEEDQGRIWKH33'8GXULQJWKHWUDQV
 PLVVLRQRIWKLV33'8DQGLI365VSDWLDOUHXVHLV
 DOORZHGLQGLFDWHVDYDOXHWKDWLVXVHGWRGHWHUPLQHD
 OLPLWRQWKHWUDQVPLWSRZHURIWKH365733'8

 ,IWKH%DQGZLGWKILHOGLQGLFDWHV0+]
 7KLV6SDWLDO5HXVHILHOGDSSOLHVWRWKHIRXUWK
 0+]VXEEDQG
 ,IWKH67$RSHUDWLQJFKDQQHOZLGWKLV0+]WKHQ
 WKLVILHOGLVVHWWRWKHVDPHYDOXHDVWKH6SDWLDO5HXVH
 ILHOG
 ,IWKH67$RSHUDWLQJFKDQQHOZLGWKLV0+]WKHQ
 WKLVILHOGLVVHWWRWKHVDPHYDOXHDVWKH6SDWLDO5HXVH
 ILHOG

 ,IWKH%DQGZLGWKILHOGLQGLFDWHV0+]
 7KLV6SDWLDO5HXVHILHOGDSSOLHVWRWKHIRXUWK
 0+]VXEEDQGRIWKH0+]RSHUDWLQJEDQG
 ,IWKH67$RSHUDWLQJFKDQQHOZLGWKLV0+]
 WKHQWKLVILHOGLVVHWWRVDPHYDOXHDVWKH6SDWLDO
 5HXVHILHOG

 6HWWRWKHYDOXHRIWKH63$7,$/B5(86(  SDUDPHWHU
 RIWKH7;9(&725ZKLFKFRQWDLQVDYDOXHIURP
 7DEOH 6SDWLDO5HXVHILHOGHQFRGLQJIRUDQ+(
 7%33'8 IRUDQ+(7%33'8 VHH 63$
 7,$/B5(86( DQG 6SDWLDOUHXVHRSHUDWLRQ 

 % 5HVHUYHG  5HVHUYHGDQGVHWWR

 127(²8QOLNHRWKHU5HVHUYHGILHOGVLQ+(6,*$RI
 WKH+(7%33'8%GRHVQRWKDYHDFRUUHVSRQGLQJ
 ELWLQWKH7ULJJHUIUDPH

 %% %DQGZLGWK  6HWWRIRU0+]
 6HWWRIRU0+]
 6HWWRIRU0+]
 6HWWRIRU0+]DQG0+]

 %% 7;23  6HWWRWRLQGLFDWHQRGXUDWLRQLQIRUPDWLRQLI
+(6,*
 7;9(&725SDUDPHWHU7;23B'85$7,21LV
 $
8163(&,),('

 6HWWRDYDOXHOHVVWKDQWRLQGLFDWHGXUDWLRQLQIRU
 PDWLRQIRU1$9VHWWLQJDQGSURWHFWLRQRIWKH7;23DV
 IROORZV
 ,I7;9(&725SDUDPHWHU7;23B'85$7,21LV
 OHVVWKDQWKHQ%LVVHWWRDQG%±%LVVHWWR
 IORRU 7;23B'85$7,21 
 2WKHUZLVH%LVVHWWRDQG%%LVVHWWRIORRU
 7;23B'85$7,21±  
 ZKHUH
 %LQGLFDWHVWKH7;23OHQJWKJUDQXODULW\6HWWR
 IRU—VRWKHUZLVHVHWWRIRU—V
 %±%LQGLFDWHVWKHVFDOHGYDOXHRIWKH7;23B
 '85$7,21



 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²+(6,*$ILHOGRIDQ+(7%33'8(continued)


 7ZR3DUWVRI 1XPEHU
%LW )LHOG 'HVFULSWLRQ
 +(6,*$ RIELWV

 %% 5HVHUYHG  5HVHUYHGDQGVHWWRYDOXHLQGLFDWHGLQWKH8/+(6,*
 $5HVHUYHGVXEILHOGLQWKH7ULJJHUIUDPH

 %% &5&  &5&RIELWV±RIWKH+(6,*$ILHOG6HH
  &5&FRPSXWDWLRQ %LWV±RIWKH+(
 6,*$ILHOGFRUUHVSRQGWRELWV±RI+(6,*$IRO
 ORZHGE\ELWV±RI+(6,*$ 

 %% 7DLO  8VHGWRWHUPLQDWHWKHWUHOOLVRIWKHFRQYROXWLRQDO
 GHFRGHU
 6HWWR



 7KHIRXU6SDWLDO5HXVHILHOGVDQGDUHDUUDQJHGLQLQFUHDVLQJRUGHURIIUHTXHQF\DQGFRUUHVSRQGWR

 ² )RU0+]RQH6SDWLDO5HXVHILHOGFRUUHVSRQGLQJWRWKHHQWLUH0+] RWKHUILHOGVLQGLFDWHLGHQ
 WLFDOYDOXHV 7KH6SDWLDO5HXVHILHOGVRQO\DSSO\WRWKH0+]XVHGIRUWKHWUDQVPLVVLRQ

 ² )RU  0+] WZR 6SDWLDO 5HXVH ILHOGV ZLWK 6SDWLDO 5HXVH  ILHOG LGHQWLFDO LQ YDOXH WR WKH 6SDWLDO
 5HXVHILHOGDQG6SDWLDO5HXVHILHOGLGHQWLFDOLQYDOXHWR6SDWLDO5HXVHILHOG7KH6SDWLDO5HXVH
 ILHOGVRQO\DSSO\WRWKH0+]XVHGIRUWKHWUDQVPLVVLRQ

 ² )RU0+]IRXU6SDWLDO5HXVHILHOGVRQHIRUHDFK0+]VXEFKDQQHO

 ‡ )RUDQ2)'0$WUDQVPLVVLRQRIDJLYHQ%:HDFKRIWKH6SDWLDO5HXVHILHOGVWKDWFRUUHVSRQGVWR 
 D 0+] VXEEDQG LV DOVR DSSOLFDEOH WR WKH WRQH 58 WKDW LV PRVW FORVHO\ DOLJQHG LQ IUH
 TXHQF\ LQ WKHWRQH SODQIRUWKDW %: ZLWKWKH DIRUHPHQWLRQHG 0+] VXEEDQG7KHFRUUH
 VSRQGHQFHIURPDQ6SDWLDO5HXVHILHOGWRDWRQH58DOVRKROGVIRUDQ\58ZLWKLQWKH
 WRQH587KHDERYHDOVRLPSOLHVWKDWD0+]2%6667$XVHVWKH6SDWLDO5HXVHILHOGFRUUH

 VSRQGLQJWRLWV0+]FKDQQHOD0+]2%6667$ORFDWHGRQWKHORZHUIUHTXHQF\KDOIRI
 WKH0+]%66XVHV6SDWLDO5HXVHILHOG6SDWLDO5HXVHILHOGYDOXHVDQGD0+]2%66 
 67$ORFDWHGRQWKHXSSHUIUHTXHQF\KDOIRIWKH0+]%66XVHV6SDWLDO5HXVHILHOG6SDWLDO
 5HXVHILHOGYDOXHV

 ² )RU0+]DQG0+]IRXU6SDWLDO5HXVHILHOGVRQHIRUHDFK0+]VXEFKDQQHO

 ‡ )RUDQ2)'0$WUDQVPLVVLRQRIDJLYHQ%:HDFKRIWKH6SDWLDO5HXVHILHOGVWKDWFRUUHVSRQGVWR 
 D 0+] VXEEDQG LV DOVR DSSOLFDEOH WR WKH WRQH 58 WKDW LV PRVW FORVHO\ DOLJQHG LQ IUH
 TXHQF\ LQWKHWRQHSODQRIWKDW%: ZLWKWKHDIRUHPHQWLRQHG0+]VXEEDQG7KHFRUUHVSRQ
 GHQFHIURPDQ6SDWLDO5HXVHILHOGWRDWRQH58DOVRKROGVIRUDQ\58ZLWKLQWKHWRQH
 58


 7DEOH 6SDWLDO5HXVHILHOGHQFRGLQJIRUDQ+(6833'8+((56833'8DQG+(0833'8 
 GHILQHVWKHHQFRGLQJIRUWKH6SDWLDO5HXVHILHOGIRUDQ+(6833'8+((56833'8DQG+(0833'8



 7DEOH²6SDWLDO5HXVHILHOGHQFRGLQJIRUDQ+(6833'8+((56833'8DQG+(
 0833'8


 9DOXH 0HDQLQJ

  365B',6$//2:

  5HVHUYHG

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²6SDWLDO5HXVHILHOGHQFRGLQJIRUDQ+(6833'8+((56833'8DQG+(
 0833'8(continued)


 9DOXH 0HDQLQJ

  65B5(675,&7('

  65B'(/$<('

  365B$1'B121B65*B2%66B3'B352+,%,7('



7DEOH 6SDWLDO5HXVHILHOGHQFRGLQJIRUDQ+(7%33'8 GHILQHVWKHHQFRGLQJIRUWKH6SDWLDO5HXVH

 6SDWLDO5HXVH6SDWLDO5HXVHDQG6SDWLDO5HXVHILHOGVIRUDQ+(7%33'8


 7DEOH²6SDWLDO5HXVHILHOGHQFRGLQJIRUDQ+(7%33'8


 9DOXH 0HDQLQJ

  365B',6$//2:

  365 ±G%P

  365 ±G%P
  365 ±G%P

  365 ±G%P

  365 ±G%P

  365 ±G%P

  365 ±G%P
  365 ±G%P

  365 ±G%P

  365 ±G%P

  365 ±G%P

  365 ±G%P
  365 ±G%P

  365•±G%P

  365B$1'B121B65*B2%66B3'B352+,%,7('



 &5&FRPSXWDWLRQ



7KH&5&FRPSXWDWLRQGHILQHGLQWKLVVXEFODXVHDSSOLHVWR+(6,*$WKH&RPPRQILHOGRI+(6,*%DQG
 WKH8VHU%ORFNILHOGRI+(6,*%

 7KH&5&LVFDOFXODWHGRYHUELWVWRRIWKH+(6,*$ILHOGDQGRYHUELWVWRLRIWKH+(6,*%ILHOG 

L xIRUHDFK&RPPRQILHOGZKHUHx NîLIWKH&HQWHUWRQH58ILHOGLVSUHVHQWDQGx Nî± 

 RWKHUZLVHDQGL IRUDQ8VHU%ORFNILHOGWKDWFRQWDLQVRQH8VHUILHOGDQGL IRUDQ8VHU%ORFNILHOG

 WKDWFRQWDLQVWZR8VHUILHOGV %LWVWRRIWKH+(6,*$ILHOGFRUUHVSRQGWRELWV±RI+(6,*$IRO

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ORZHGE\ELWV±RI+(6,*$ 5HIHUWR7DEOH &RPPRQILHOG IRUNDQGWKHFRQGLWLRQVXQGHU


 ZKLFKWKH&HQWHUWRQH58ILHOGLVSUHVHQW


 7KHYDOXHRIWKH&5&ILHOGVKDOOEHWKHVFRPSOHPHQWRI
 
 crc D M D  I D D modG D

 ZKHUH

 L
 i

M D ¦ mL ± i D
 i 
 L
 i
 I D ¦ D
 i L±

 G D  LVGHILQHGLQ &5&FDOFXODWLRQIRU+76,*
  
crc D c D  c D  }  c D  c

 m L LVWKHVHULDOLQSXWVKRZQLQ)LJXUH &5&FDOFXODWLRQ


 7KH&5&ILHOGLVWUDQVPLWWHGIURPc4WRc7ZLWKc7ILUVW



)LJXUH &5&FDOFXODWLRQ VKRZVWKHRSHUDWLRQRIWKH&5&)LUVWWKHVKLIWUHJLVWHULVUHVHWWRDOOV7KH
 ELWVDUHWKHQSDVVHGWKURXJKWKH;25RSHUDWLRQDWWKHLQSXW:KHQWKHODVWELWKDVHQWHUHGWKHRXWSXWLVJHQ
 HUDWHGE\VKLIWLQJWKHELWVRXWRIWKHVKLIWUHJLVWHUc7ILUVWWKURXJKDQLQYHUWHU


 m/WR 7KHIHHGEDFNWHUPLVVHWWR
 m GXULQJWKHVKLIWLQJRXWRIWKHUHVXOW
 
 6HULDO c7 c6 c5 c4 c3 c2 c1 c0
 ,QSXW


 6HULDO2XWSXW


 )LJXUH²&5&FDOFXODWLRQ


$VDQH[DPSOHLIELWV ^ m  }m  ` DUHJLYHQE\^

 `WKHRXWSXWELWV^ B  }B  ` ZKHUHBLVRXWSXWILUVWDUH^`

 (QFRGLQJDQGPRGXODWLRQ


 )RUDQ+(6833'8+(0833'8DQG+(7%33'8WKH+(6,*$ILHOGLVFRPSRVHGRIWZRSDUWV+(
 6,*$DQG+(6,*$HDFKFRQWDLQLQJGDWDELWV+(6,*$LVWUDQVPLWWHGEHIRUH+(6,*$7KH
 GDWDELWVRIWKH+(6,*$2)'0V\PEROVVKDOOEH%&&HQFRGHGDWUDWH5 LQWHUOHDYHGPDSSHGWRD

%36. FRQVWHOODWLRQ DQG KDYH SLORWV LQVHUWHG IROORZLQJ WKH VWHSV GHVFULEHG LQ  &RQYROXWLRQDO

 HQFRGHU  %&&LQWHUOHDYHUV  6XEFDUULHUPRGXODWLRQPDSSLQJ DQG 3LORWVXE
 FDUULHUV UHVSHFWLYHO\7KHFRQVWHOODWLRQPDSSLQJVRI+(6,*$LQ+(6833'8+(0833'8DQG+( 
 7%33'8DUHVKRZQLQ)LJXUH 'DWDVXEFDUULHUFRQVWHOODWLRQRI+(6,*$V\PEROV 7KHILUVWDQG
 VHFRQG KDOI RI WKH VWUHDP RI  FRPSOH[ QXPEHUV JHQHUDWHG E\ WKHVH VWHSV EHIRUH SLORW LQVHUWLRQ  LV

GLYLGHGLQWRWZRJURXSVRIFRPSOH[QXPEHUVZKHUHUHVSHFWLYHO\WKHILUVWFRPSOH[QXPEHUVIRUPWKH

 ILUVW2)'0V\PERORI+(6,*$DQGWKHVHFRQGFRPSOH[QXPEHUVIRUPWKHVHFRQG2)'0V\PERORI
 +(6,*$

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ,IWKH7;9(&725SDUDPHWHU%($0B&+$1*(LVRUQRWSUHVHQWWKHWLPHGRPDLQZDYHIRUPIRUWKH+(
 6,*$ILHOGRIDQ+(6833'8+(0833'8DQG+(7%33'8WUDQVPLWWHGRQIUHTXHQF\VHJPHQWiSeg

DQGWUDQVPLWFKDLQiTXVKDOOEHDVVSHFLILHGLQ(TXDWLRQ  


 
 i i 
Seg TX
r +(6,*$ t  ¦ w T t ± nT SYML 
 7RQH SYML

 N TX ˜ N +(6,*$ n 

§ b k ± K6KLIW iBW  %: D k n   p n   P k

 ·
 ¦ ¦ K +(6,*$ k ¨ i TX ¸
©  ˜ H[S jS k ± K 6KLIW i %: ' F 3UH+( t ± nT SYML ± T GI 3UH+( ± T CS ¹
 i BW  : 0+] k ± 



 ZKHUH
 TSYML LVJLYHQLQ7DEOH 7LPLQJUHODWHGFRQVWDQWV

 K 6KLIW i N 0+] ±  ± i ˜ 

 ­
 °  k  r  r 
 D k n  ® d
 ° M r k  n RWKHUZLVH
¯


 ­
 ° k   ±  d k d ± 
°
 ° k   ±  d k d ± 
 r ° k   ±  d k d ± 
 M  k ®
 ° k    d k d 
 ° k    d k d 
 °
° k    d k d 
 ¯


 ­ 
°    IRUDQ+(7%33'8
 K +(6,*$ k ® 
 °
 ¯  RWKHUZLVH

 PkDQGpnDUHGHILQHGLQ 2)'0PRGXODWLRQ
 7RQH
 N +(6,*$ LVGHILQHGLQ7DEOH 1XPEHURIPRGXODWHGVXEFDUULHUVDQGJXDUGLQWHUYDOGXUDWLRQYDOXHV
 IRU+(33'8ILHOGV

i TX
 T CS UHSUHVHQWVWKHF\FOLFVKLIWIRUWUDQVPLWFKDLQiTXZLWKDYDOXHJLYHQLQ &\FOLFVKLIWIRU

 SUH+(PRGXODWHGILHOGV 

 ,IWKH7;9(&725SDUDPHWHU%($0B&+$1*(LVWKHWLPHGRPDLQZDYHIRUPRIWKH+(6,*$ILHOG


VKDOOEHDVJLYHQE\(TXDWLRQ  

 
 i Seg i TX 
 r +(6,*$ t  ¦ w T t ± nT SYML
 
7RQH SYML
 N STS ˜ N +(6,*$ n 

N 0+] ±  N STS
  § iSeg  k ± K 6KLIW i BW D k n   p n   P k ·
¨ Q  k ± K6KLIW iBW iTX m A +(/7) ¸


¦ ¦ ¦¨ m  
¸
i BW  k ±  m  ©  ˜ H[S jS k ± K 6KLIW i %: ' F 3UH+( t ± nT SYML ± T *, 3UH+( ± T CS HE m ¹


 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ZKHUH

 T CS +( m UHSUHVHQWVWKHF\FOLFVKLIWIRUVSDFHWLPHVWUHDPmDVGHILQHGLQ &\FOLFVKLIWIRU
 +(PRGXODWHGILHOGV

 i Seg
Qk LVGHILQHGLQ 0DWKHPDWLFDOGHVFULSWLRQRIVLJQDOV

 k
 A +(/7) LVGHILQHGLQ(TXDWLRQ 


 )RUDQ+((56833'8WKH+(6,*$ILHOGLVFRPSRVHGRIIRXUSDUWVLH+(6,*$+(6,*$+(
 6,*$ DQG +(6,*$ HDFK SDUW FRQWDLQLQJ  GDWD ELWV 7KHVH IRXU SDUWV DUH WUDQVPLWWHG VHTXHQWLDOO\

 IURP+(6,*$WR+(6,*$7KHGDWDELWVRI+(6,*$DQG+(6,*$VKDOOEH%&&HQFRGHGDW
 UDWH R  LQWHUOHDYHG PDSSHG WR D%36. FRQVWHOODWLRQ DQG KDYH SLORWV LQVHUWHG +(6,*$ KDV WKH
 VDPHHQFRGHGELWVDV+(6,*$DQGWKHHQFRGHGELWVVKDOOEHPDSSHGWRD4%36.FRQVWHOODWLRQZLWKRXW

 LQWHUOHDYLQJDQGKDYHSLORWVLQVHUWHG7KHFRQVWHOODWLRQPDSSLQJVRIWKH+(6,*$ILHOGLQDQ+((568 
 33'8LVVKRZQLQ)LJXUH 'DWDVXEFDUULHUFRQVWHOODWLRQRI+(6,*$V\PEROV 7KH4%36.FRQVWHO
 ODWLRQRQ+(6,*$LVXVHGWRGLIIHUHQWLDWHEHWZHHQDQ+((56833'8DQGDQ+(0833'8ZKHQ
 m LQ(TXDWLRQ  +(6,*$KDVWKHVDPHHQFRGHGELWVDV+(6,*$DQGWKHHQFRGHGELWVVKDOO
 EHPDSSHGWRD%36.FRQVWHOODWLRQZLWKRXWLQWHUOHDYLQJDQGKDYHSLORWVLQVHUWHG%&&HQFRGLQJGDWDLQWHU

 OHDYLQJ FRQVWHOODWLRQ PDSSLQJ DQG SLORW LQVHUWLRQ IROORZ WKH VWHSV GHVFULEHG LQ  &RQYROXWLRQDO
 HQFRGHU  %&&LQWHUOHDYHUV  6XEFDUULHUPRGXODWLRQPDSSLQJ DQG 3LORWVXE
 FDUULHUV UHVSHFWLYHO\



 +(6833'8+(0833'8
+(6,*$ +(6,*$
DQG+(7%33'8

 4 4


, ,
    



 +((56833'8 +(6,*$ +(6,*$ +(6,*$ +(6,*$

4 4 4 4

 
 , , , ,
     
 


 )LJXUH²'DWDVXEFDUULHUFRQVWHOODWLRQRI+(6,*$V\PEROV


,IWKH7;9(&725SDUDPHWHU%($0B&+$1*(LVRUQRWSUHVHQWWKHWLPHGRPDLQZDYHIRUPIRUWKH+(

 6,*$ILHOGLQDQ+((56833'8VKDOOEHDVVSHFLILHGLQ(TXDWLRQ  


 
 i Seg i TX   ¦ w T t ± nT SYML
r +(6,*$ t  
 7RQH 6<0/

 N TX ˜ N +(6,*$ n 

 i
¦ R n D k n   p n   P k ˜ H[S jSk ˜ ' F 3UH+( t ± nT SYML ± T GI 3UH+( ± T CS
TX

 k ± 


 ZKHUH

 Rn LVDSKDVHURWDWLRQYHFWRUGHILQHGDV>j@

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ,IWKH7;9(&725SDUDPHWHU%($0B&+$1*(LVWKHWLPHGRPDLQZDYHIRUPIRUWKH+(6,*$ILHOGLQ

 DQ+((56833'8VKDOOEHDVVSHFLILHGLQ(TXDWLRQ  


 
 i Seg i TX   ¦ w T t ± nT SYML
 r +(6,*$ t 
SYML

7RQH
 N STS ˜ N +(6,*$ n 
 N STS
 § iSeg ·
¨ Q k iTX m A +(/7) m  R n D k n   p n   P k
 k
¸
 ¦ ¦¨ ¸
 k ±  m  ©  ˜ H[S jSk ˜ ' F 3UH+( t ± nT SYML ± T *, 3UH+( ± T CS HE m ¹


 +(6,*%


 *HQHUDO

 7KH+(6,*%ILHOGSURYLGHVWKHQHFHVVDU\VLJQDOLQJLQFOXGLQJWKH2)'0$DQG'/080,02UHVRXUFH
 DOORFDWLRQLQIRUPDWLRQWRDOORZWKH67$VWRORRNXSWKHFRUUHVSRQGLQJUHVRXUFHVWREHXVHGLQWKH+(PRG

 XODWHGILHOGVRIWKH33'87KHLQWHJHUILHOGVRIWKH+(6,*%ILHOGDUHWUDQVPLWWHGLQXQVLJQHGELQDU\IRU
 PDW/6%ILUVWZKHUHWKH/6%LVLQWKHORZHVWQXPEHUHGELWSRVLWLRQ

 '\QDPLFVSOLWLVGHILQHGDVWKHVSOLWRI8VHUILHOGVDFURVV+(6,*%FRQWHQWFKDQQHOVDFFRUGLQJWRWKH&RP

 PRQILHOGLQHDFK+(6,*%FRQWHQWFKDQQHODQGXVHGZKHQWKH+(6,*%&RPSUHVVLRQILHOGLQWKH+(
 6,*$ILHOGLVVHWWR

 (TXLWDEOHVSOLWLVGHILQHGDVWKHVSOLWRI8VHUILHOGVDFURVV+(6,*%FRQWHQWFKDQQHOVXVHGZKHQWKH+(

 6,*%&RPSUHVVLRQILHOGLQWKH+(6,*$ILHOGLVVHWWR

 +(6,*%FRQWHQWFKDQQHOV


 7KH+(6,*%ILHOGRID0+]+(0833'8FRQWDLQVRQH+(6,*%FRQWHQWFKDQQHO7KH+(6,*%

 ILHOGRIDQ+(0833'8WKDWLV0+]RUZLGHUFRQWDLQVWZR+(6,*%FRQWHQWFKDQQHOV



7KH+(6,*%FRQWHQWFKDQQHOIRUPDWLVVKRZQLQ)LJXUH +(6,*%FRQWHQWFKDQQHOIRUPDW 7KH
 +(6,*%FRQWHQWFKDQQHOFRQVLVWVRID&RPPRQILHOGLISUHVHQWIROORZHGE\D8VHU6SHFLILFILHOG


 +(6,*%FRQWHQWFKDQQHO



 &RPPRQILHOG 8VHU6SHFLILFILHOG
 LISUHVHQW

 8VHUILHOGV&5& 8VHUILHOGV&5& RU8VHUILHOGV
 &RPPRQ%LWV&5&7DLO āāā 3DGGLQJ
7DLO 7DLO &5&7DLO

 VW8VHU%ORFNILHOG QG8VHU%ORFNILHOG ILQDO8VHU%ORFNILHOG


 )LJXUH²+(6,*%FRQWHQWFKDQQHOIRUPDW

 ,IWKH+(6,*%&RPSUHVVLRQILHOGLQWKH+(6,*$ILHOGRIDQ+(0833'8LV LQGLFDWLQJIXOOEDQG

ZLGWK080,02WUDQVPLVVLRQ WKH&RPPRQILHOGLVQRWSUHVHQWDQGWKH+(6,*%FRQWHQWFKDQQHOFRQ

 VLVWVRIRQO\WKH8VHU6SHFLILFILHOG,IWKH+(6,*%&RPSUHVVLRQILHOGLQWKH+(6,*$ILHOGRIDQ+(

 0833'8LVWKH&RPPRQILHOGLVSUHVHQWLQ+(6,*%FRQWHQWFKDQQHO

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KH&RPPRQILHOGRIDQ+(6,*%FRQWHQWFKDQQHOFRQWDLQVLQIRUPDWLRQUHJDUGLQJWKHUHVRXUFHXQLWDOORFD
 WLRQVXFKDVWKH58DVVLJQPHQWWREHXVHGLQWKH+(PRGXODWHGILHOGVRIWKH33'8WKH58VDOORFDWHGIRU

080,02DQGWKHQXPEHURIXVHUVLQ080,02DOORFDWLRQV7KH&RPPRQILHOGLVGHILQHGLQ 

 &RPPRQILHOG 

 7KHXQLRQRIWKH8VHU6SHFLILFILHOGVLQWKH+(6,*%FRQWHQWFKDQQHOVFRQWDLQVLQIRUPDWLRQIRUDOOXVHUVLQ
 WKH33'8RQKRZWRGHFRGHWKHLUSD\ORDG$VVKRZQLQ)LJXUH +(6,*%FRQWHQWFKDQQHOIRUPDW 

WKH8VHU6SHFLILFILHOGLVRUJDQL]HGLQWR8VHU%ORFNILHOGVWKDWLQWXUQFRQWDLQ8VHUILHOGV6HH


 8VHU6SHFLILFILHOG IRUDGHVFULSWLRQRIWKHFRQWHQWVRIWKH8VHU6SHFLILFILHOG

 6HH$QQH[=IRU+(6,*%FRQWHQWH[DPSOHV


&RPPRQILHOG


 7KLVVXEFODXVHLVQRWDSSOLFDEOHLIWKH+(6,*%&RPSUHVVLRQILHOGLQWKH+(6,*$ILHOGRIDQ+(08

 33'8LV


7KH&RPPRQILHOGIRUPDWLVGHILQHGLQ7DEOH &RPPRQILHOG 



 7DEOH²&RPPRQILHOG


 1XPEHU
1XPEHU
 RIELWV
6XEILHOG RI 'HVFULSWLRQ
 SHU
VXEILHOGV
 VXEILHOG

 58$OORFDWLRQ N  N 58$OORFDWLRQVXEILHOGVDUHSUHVHQWLQDQ+(6,*%FRQ
 WHQWFKDQQHOZKHUH
 N LIWKH%DQGZLGWKILHOGLQWKH+(6,*$ILHOGLVRU
  LQGLFDWLQJD0+]RU0+]+(0833'8
 N LIWKH%DQGZLGWKILHOGLQWKH+(6,*$ILHOGLV
 RU LQGLFDWLQJDQ0+]+(0833'8
 N LIWKH%DQGZLGWKILHOGLQWKH+(6,*$ILHOGLV
 RU LQGLFDWHVD0+]RU0+]+(0833'8

 (DFK58$OORFDWLRQVXEILHOGLQDQ+(6,*%FRQWHQWFKDQQHO
 FRUUHVSRQGLQJWRD0+]IUHTXHQF\VHJPHQWLQGLFDWHVWKH
 58DVVLJQPHQWLQFOXGLQJWKHVL]HRIWKH58 V DQGWKHLU
 SODFHPHQWLQWKHIUHTXHQF\GRPDLQWREHXVHGLQWKH+(
 PRGXODWHGILHOGVRIWKH+(0833'8LQWKHIUHTXHQF\
 GRPDLQDOVRLQGLFDWHVLQIRUPDWLRQQHHGHGWRFRPSXWHWKH
 QXPEHURIXVHUVDOORFDWHGWRHDFK58ZKHUHWKHVXEFDUULHU
 LQGLFHVRIWKH58 V PHHWWKHFRQGLWLRQVLQ7DEOH 58V
 DVVRFLDWHGZLWKHDFK58$OORFDWLRQVXEILHOGIRUHDFK+(
 6,*%FRQWHQWFKDQQHODQG33'8EDQGZLGWK 















&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²&RPPRQILHOG(continued)


 1XPEHU
1XPEHU
 RIELWV
6XEILHOG RI 'HVFULSWLRQ
 SHU
VXEILHOGV
 VXEILHOG

 &HQWHUWRQH58 RU  7KH&HQWHUWRQH58ILHOGLVSUHVHQWLIWKH%DQGZLGWKILHOG
 LQWKH+(6,*$ILHOGLQGLFDWHVDEDQGZLGWKJUHDWHUWKDQ
 0+]DQGQRWSUHVHQWRWKHUZLVH

 ,IWKH%DQGZLGWKILHOGLQWKH+(6,*$ILHOGLVRU LQGL
 FDWLQJ0+] 
 6HWWRWRLQGLFDWHWKDWDXVHULVDOORFDWHGWRWKHFHQWHU
 WRQH58 VHH)LJXUH 58ORFDWLRQVLQDQ0+]+(
 33'8 DQGWKDWLWV8VHUILHOGLVSUHVHQWLQ+(6,*%FRQ
 WHQWFKDQQHORWKHUZLVHVHWWR7KHVDPHYDOXHLV
 DSSOLHGWRERWK+(6,*%FRQWHQWFKDQQHOV

 ,IWKH%DQGZLGWKILHOGLQWKH+(6,*$ILHOGLVRU LQGL
 FDWLQJ0+]RU0+] 
 )RU+(6,*%FRQWHQWFKDQQHOVHWWRWRLQGLFDWHWKDWD
 XVHULVDOORFDWHGWRWKHFHQWHUWRQH58RIWKHORZHUIUH
 TXHQF\0+]RWKHUZLVHVHWWR
 )RU+(6,*%FRQWHQWFKDQQHOVHWWRWRLQGLFDWHWKDWD
 XVHULVDOORFDWHGWRWKHFHQWHUWRQH58RIWKHKLJKHUIUH
 TXHQF\0+]RWKHUZLVHVHWWR

 &5&   7KH&5&LVFDOFXODWHGRYHUELWVWRN îLIWKH%DQGZLGWK
 ILHOGLQWKH+(6,*$ILHOGLQGLFDWHVDEDQGZLGWKJUHDWHU
 WKDQ0+]DQGELWVWRN î±RWKHUZLVH6HH
  &5&FRPSXWDWLRQ 


 7DLO   8VHGWRWHUPLQDWHWKHWUHOOLVRIWKHFRQYROXWLRQDOGHFRGHU6HW
 WR



$WRQH58LVUHIHUUHGWRE\WZRFRQVHFXWLYH58$OORFDWLRQVXEILHOGVSHU+(6,*%FRQWHQWFKDQQHO

 IRUERWK+(6,*%FRQWHQWFKDQQHOV7KHWZRFRQVHFXWLYH58$OORFDWLRQVXEILHOGVSHU+(6,*%FRQWHQW
 FKDQQHODUHODEHOHGWKHILUVW58$OORFDWLRQVXEILHOGDQGWKHVHFRQG58$OORFDWLRQVXEILHOG$WRQH58 
 LVUHIHUUHGWRE\DVLQJOH58$OORFDWLRQVXEILHOGSHU+(6,*%FRQWHQWFKDQQHOIRUERWK+(6,*%FRQWHQW
 FKDQQHOV 6PDOOHU 58V DUH UHIHUUHG WR E\ D VLQJOH 58 $OORFDWLRQ VXEILHOG LQ D VLQJOH +(6,*% FRQWHQW

FKDQQHO,ID&RPPRQILHOGLVSUHVHQWLQD0+]RU0+]33'8DîWRQH58LVQRWSHUPLW

 WHG QRQHDUHGHILQHGLQ7DEOH 58$OORFDWLRQVXEILHOG 

 )RUDQ58WKDWLVUHIHUUHGWRE\DILUVWRURQO\58$OORFDWLRQVXEILHOGLQDQ+(6,*%FRQWHQWFKDQQHOWKH
 58$OORFDWLRQVXEILHOGHQFRGHVWKHQXPEHURI8VHUILHOGVSHU58FRQWULEXWHGWRWKH8VHU6SHFLILFILHOGLQ 

WKHVDPH+(6,*%FRQWHQWFKDQQHODVWKH58$OORFDWLRQVXEILHOG7KLVQXPEHULVODEHOHGNuser rc IRU

 58rDQG+(6,*%FRQWHQWFKDQQHOcDVGHVFULEHGLQ7DEOH 58$OORFDWLRQVXEILHOG 

 )RUDQ58WKDWLVUHIHUUHGWRE\WZR58$OORFDWLRQVXEILHOGVLQDQ+(6,*%FRQWHQWFKDQQHO LHD
 WRQH58LQD0+]RU0+]33'8 WKHVHFRQG58$OORFDWLRQVXEILHOGLQWKH+(6,*%FRQWHQW


FKDQQHOHQFRGHV]HURDGGLWLRQDO8VHUILHOGVSHU58FRQWULEXWHGWRWKH8VHU6SHFLILFILHOGLQWKHVDPH+(
 6,*%FRQWHQWFKDQQHODVWKH58$OORFDWLRQVXEILHOG

 ,QDQ+(0833'8DQ58WKDWLVQRWDOORFDWHGWRDXVHUFDQEHLQGLFDWHGDVIROORZV

 ² 7KH&HQWHUWRQH58VXEILHOGLQWKH+(6,*%&RPPRQILHOGLVVHWWR VHH7DEOH &RP
 PRQILHOG 

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ² 7KH58$OORFDWLRQVXEILHOGLQWKH+(6,*%&RPPRQILHOGLVVHWWRDYDOXHEHWZHHQDQGRU
 EHWZHHQDQG VHH7DEOH 58$OORFDWLRQVXEILHOG 

 ² %RWK58$OORFDWLRQVXEILHOGVDWWKHVDPHSRVLWLRQLQHDFK+(6,*%&RPPRQILHOGRIWKHWZR+(
 6,*%FRQWHQWFKDQQHOVDUHVHWWR VHH7DEOH 58$OORFDWLRQVXEILHOG 

 ² 7KH 67$,' VXEILHOG LQ WKH +(6,*% 8VHU ILHOG LV VHW WR  VHH  67$B,'  DQG
  8VHU6SHFLILFILHOG 


 7KHVXEFDUULHUVLQWKH+(PRGXODWHGILHOGVRID33'8WKDWFRUUHVSRQGWRDQXQDOORFDWHG58VKDOOQRWEH
 PRGXODWHG


 ,IDQ58LVDQXQDOORFDWHG58]HURXVHUVDUHDOORFDWHGWRLW2WKHUZLVHWKHQXPEHURIXVHUVDOORFDWHGWR58

 rLVGHWHUPLQHGIURPWKH58VL]HDQGNuser rc DVIROORZV

 ² ,I58rLVDWRQHRUWRQH58WKHQRQHXVHULVDOORFDWHGWRWKH58

 ² ,I58rLVD WRQHRUWRQH58WKHQWKHQXPEHURIXVHUVDOORFDWHGWRWKH58LVNuser rc 

 ² ,I58rLVDWRQHRUODUJHU58WKHQWKHQXPEHURIXVHUVDOORFDWHGWRWKH58HTXDOVWKHQXPEHURI
 8VHUILHOGVIRUWKH58VXPPHGDFURVVERWK+(6,*%FRQWHQWFKDQQHOVLHNuser r Nuser r 

 127(²7KHH[DFWG\QDPLFVSOLWRI8VHUILHOGVEHWZHHQWKHWZRFRQWHQWFKDQQHOVNuser r DQGNuser r LVQRW
 VSHFLILHGDQGPLJKWEHXVHGWRUHGXFHDQ\GLVSDULW\LQWKHQXPEHURI8VHUILHOGVEHWZHHQFRQWHQWFKDQQHOV

 127(²,IWKHQXPEHURIXVHUVSHU58LVJUHDWHUWKDQRQHWKHQWKHXVHUVLQWKH58DUHPXOWLSOH[HGXVLQJ080,02



)RUDWRQH58IRUHDFK+(6,*%FRQWHQWFKDQQHOWKHILUVWELW58$OORFDWLRQVXEILHOGUHIHUULQJWR 
 WKH58PD\XVHYDOXHVLQWKHUDQJH± \\\LQELQDU\UHSUHVHQWDWLRQ DVLQ7DEOH 58 
 $OORFDWLRQVXEILHOG ZLWK\\\LQGLFDWLQJWKHQXPEHURI8VHUILHOGVVLJQDOHGLQWKHFRUUHVSRQGLQJFRQWHQW
 FKDQQHOZKLOHWKHVHFRQGELW58$OORFDWLRQVXEILHOGUHIHUULQJWRWKH58VKDOOEHVHWWR LQ

 ELQDU\UHSUHVHQWDWLRQ 

 127(²$OWKRXJKWKHUHDUHWZR58$OORFDWLRQVXEILHOGVSHU+(6,*%FRQWHQWFKDQQHOIRUWKHXVHUVRIDWRQH58
 HDFKXVHULVGHVFULEHGE\RQO\RQH8VHUILHOGZKLFKLVORFDWHGLQRQH+(6,*%FRQWHQWFKDQQHO


 $VGHILQHGLQ7DEOH &RPPRQILHOG DQG7DEOH 58VDVVRFLDWHGZLWKHDFK58$OORFDWLRQVXE
 ILHOGIRUHDFK+(6,*%FRQWHQWFKDQQHODQG33'8EDQGZLGWK WKH&HQWHUWRQH58ILHOGFDUULHVWKH
 VDPHYDOXHLQERWK+(6,*%FRQWHQWFKDQQHOV7KH8VHUILHOGWKDWFRUUHVSRQGVWRWKHFHQWHUWRQH58LV

 FDUULHGLQ+(6,*%FRQWHQWFKDQQHO


 7DEOH²58VDVVRFLDWHGZLWKHDFK58$OORFDWLRQVXEILHOGIRUHDFK+(6,*%FRQWHQW
 FKDQQHODQG33'8EDQGZLGWK


 58VLQWKHVXEFDUULHUUDQJH
 33'8 58$OORFDWLRQVXEILHOGDQG&HQWHUWRQH58VXEILHOG RURYHUODSSLQJZLWKWKH
 EDQGZLGWK LISUHVHQW VXEFDUULHUUDQJHLIWKH58LV
 ODUJHUWKDQDWRQH58

 0+] 7KH 58 $OORFDWLRQ VXEILHOG LQ D VLQJOH +(6,*%
 >±@
 FRQWHQWFKDQQHO

 0+] 7KH 58 $OORFDWLRQ VXEILHOG LQ +(6,*% FRQWHQW >±±@

FKDQQHO

 7KH 58 $OORFDWLRQ VXEILHOG LQ +(6,*% FRQWHQW >@

 FKDQQHO

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²58VDVVRFLDWHGZLWKHDFK58$OORFDWLRQVXEILHOGIRUHDFK+(6,*%FRQWHQW
 FKDQQHODQG33'8EDQGZLGWK(continued)


 58VLQWKHVXEFDUULHUUDQJH
 33'8 58$OORFDWLRQVXEILHOGDQG&HQWHUWRQH58VXEILHOG RURYHUODSSLQJZLWKWKH
 EDQGZLGWK LISUHVHQW VXEFDUULHUUDQJHLIWKH58LV
 ODUJHUWKDQDWRQH58

 0+] 7KHILUVW58$OORFDWLRQVXEILHOGLQ+(6,*%FRQ >±±@

WHQWFKDQQHO

 7KHILUVW58$OORFDWLRQVXEILHOGLQ+(6,*%FRQ >±±@

 WHQWFKDQQHO

&HQWHU WRQH 58 VXEILHOG LQ +(6,*% FRQWHQW >±±@

 FKDQQHODQG

 7KH VHFRQG 58 $OORFDWLRQ VXEILHOG LQ +(6,*%
 >@
 FRQWHQWFKDQQHO

 7KH VHFRQG 58 $OORFDWLRQ VXEILHOG LQ +(6,*%
 >@
 FRQWHQWFKDQQHO

  0+] 7KHILUVW58$OORFDWLRQVXEILHOGLQ+(6,*%FRQ >±±@
 RU 
 WHQWFKDQQHO
 0+]
 7KHILUVW58$OORFDWLRQVXEILHOGLQ+(6,*%FRQ >±±@
 WHQWFKDQQHO

 &HQWHU WRQH 58 VXEILHOG IRU ORZHU IUHTXHQF\ >±±±±@
 0+]LQ+(6,*%FRQWHQWFKDQQHO

 7KH VHFRQG 58 $OORFDWLRQ VXEILHOG LQ +(6,*%
 >±±@
 FRQWHQWFKDQQHO

 7KH VHFRQG 58 $OORFDWLRQ VXEILHOG LQ +(6,*%
 >±±@
 FRQWHQWFKDQQHO

 7KHWKLUG58$OORFDWLRQVXEILHOGLQ+(6,*%FRQ >@

WHQWFKDQQHO

 7KHWKLUG58$OORFDWLRQVXEILHOGLQ+(6,*%FRQ >@

 WHQWFKDQQHO

&HQWHU WRQH 58 VXEILHOG IRU KLJKHU IUHTXHQF\ >@

 0+]LQ+(6,*%FRQWHQWFKDQQHO

 7KH IRXUWK 58 $OORFDWLRQ VXEILHOG LQ +(6,*%
 >@
 FRQWHQWFKDQQHO

 7KH IRXUWK 58 $OORFDWLRQ VXEILHOG LQ +(6,*%
 >@
 FRQWHQWFKDQQHO











 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KHPDSSLQJIURPWKHELW58$OORFDWLRQVXEILHOGWRWKH58DVVLJQPHQWDQGWKHQXPEHURI8VHUILHOGVSHU
 58FRQWULEXWHGWRWKH8VHU6SHFLILFILHOGLQWKHVDPH+(6,*%FRQWHQWFKDQQHODVWKH58$OORFDWLRQVXE

ILHOGLVGHILQHGLQWKH7DEOH 58$OORFDWLRQVXEILHOG 



 7DEOH²58$OORFDWLRQVXEILHOG


 58$OORFDWLRQ
 VXEILHOG 1XPEHU
        
 %%%% RIHQWULHV
 %%%%

            

           

           

  
        

           

          

          

         

  
         

          

          

         

          

  
       

         

        

      
 \\\

      
 \\\

        
 \\\
 
      
\\\

       
 \\\




&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²58$OORFDWLRQVXEILHOG(continued)


 58$OORFDWLRQ
 VXEILHOG 1XPEHU
        
 %%%% RIHQWULHV
 %%%%

      
 \\\

        
 \\\

       
 \\\
 
      
\\\

      
 \\\

     
 \\]]

        

   WRQH58HPSW\ ZLWK]HURXVHUV  

   WRQH58FRQWULEXWHV]HUR8VHUILHOGVWRWKH8VHU6SHFLILFILHOGLQWKH 
 VDPH+(6,*%FRQWHQWFKDQQHODVWKLV58$OORFDWLRQVXEILHOG

  
 WRQH58FRQWULEXWHV]HUR8VHUILHOGVWRWKH8VHU6SHFLILFILHOGLQWKH 
 VDPH+(6,*%FRQWHQWFKDQQHODVWKLV58$OORFDWLRQVXEILHOG

  5HVHUYHG 
 [[
 
 5HVHUYHG 
\\\

     
 \\\]]]

   
 \\\

   
 \\\

   
 \\\
 
 5HVHUYHG 
\\\

  5HVHUYHG 
 [[[[[









 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²58$OORFDWLRQVXEILHOG(continued)


 58$OORFDWLRQ
 VXEILHOG 1XPEHU
        
 %%%% RIHQWULHV
 %%%%

 ,IVLJQDOLQJ58VRIVL]HJUHDWHUWKDQVXEFDUULHUV\\\ ±LQGLFDWHVWKHQXPEHURI8VHUILHOGVLQWKH
 +(6,*%FRQWHQWFKDQQHOWKDWFRQWDLQVWKHFRUUHVSRQGLQJELW58$OORFDWLRQVXEILHOG2WKHUZLVH\\\ 
 ±LQGLFDWHVWKHQXPEHURIXVHUVPXOWLSOH[HGLQWKHWRQH58WRQH58RUWKHORZHUIUHTXHQF\
 WRQH58LIWKHUHDUHWZRWRQH58VDQGRQHWRQH58LVDVVLJQHGEHWZHHQWZRWRQH58V7KHELQDU\ 
 YHFWRU\\\LQGLFDWHVNuser rc  î\î\\XVHUVPXOWLSOH[HGLQWKH58

 ]]] ±LQGLFDWHVWKHQXPEHURIXVHUVPXOWLSOH[HGLQWKHKLJKHUIUHTXHQF\WRQH58LIWKHUHDUHWZR
 WRQH58VDQGRQHWRQH58LVDVVLJQHGEHWZHHQWZRWRQH58V7KHELQDU\YHFWRU]]]LQGLFDWHV
 Nuser rc  î]î]]XVHUVPXOWLSOH[HGLQWKH58
 6LPLODUO\ \\  ± LQGLFDWHV WKH QXPEHU RI XVHUV PXOWLSOH[HG LQ WKH ORZHU IUHTXHQF\ WRQH 58 7KH
 ELQDU\YHFWRU\\LQGLFDWHVNuser rc  î\\XVHUVPXOWLSOH[HGLQWKH58

 6LPLODUO\ ]] ±LQGLFDWHVWKH QXPEHURI XVHUV PXOWLSOH[HGLQWKH KLJKHUIUHTXHQF\ WRQH 587KH
 ELQDU\YHFWRU]]LQGLFDWHVNuser rc  î]]XVHUVPXOWLSOH[HGLQWKH58
 WR IURPOHIWWRWKHULJKW LVRUGHUHGLQLQFUHDVLQJRUGHURIWKHDEVROXWHIUHTXHQF\

 [[ [[[[[ ±

 µ¶PHDQVQRXVHULQWKDW58LHNuser rc  
 )RU58rWKDWLVDWRQHRUODUJHU58Nuser rc LVLQGLFDWHGE\WKHOHWWHUV VXFKDV\\\RU]]] LQWKH58

 DOORFDWLRQVXEILHOGDERYHLIWKHOHWWHUVDUHSUHVHQWLQWKH58DOORFDWLRQVXEILHOGRWKHUZLVHNuser rc  

 )RU58rWKDWLVDWRQHRUWRQH58Nuser rc  



,IDVLQJOH58LQD0+]33'8RYHUODSVWKHVXEFDUULHUUDQJHV>±±@DQG>@WKHFRUUHVSRQGLQJ


 58$OORFDWLRQVXEILHOGVLQWKHUHVSHFWLYHFRQWHQWFKDQQHOVVKDOOERWKUHIHUWRWKHVDPH58

 ,IDVLQJOH58LQDQ0+]33'8RYHUODSVPRUHWKDQRQHRIWKHVXEFDUULHUUDQJHV>±±@>±±

 @>@RU>@WKHFRUUHVSRQGLQJ58$OORFDWLRQVXEILHOGVLQWKHUHVSHFWLYHFRQWHQWFKDQQHOV
 VKDOODOOUHIHUWRWKHVDPH58



,IDVLQJOH58LQD0+]RU0+]33'8RYHUODSVPRUHWKDQRQHRIWKHVXEFDUULHUUDQJHV>±±
 @>±±@>±±@>±±@>@>@>@RU>@WKHFRUUHVSRQG
 LQJ58$OORFDWLRQVXEILHOGVLQWKHUHVSHFWLYHFRQWHQWFKDQQHOVVKDOODOOUHIHUWRWKHVDPH58


 ,Q7DEOH 58$OORFDWLRQVXEILHOG WKHQXPEHURIHQWULHVFROXPQUHIHUVWRWKHQXPEHURI58$OORFD
 WLRQVXEILHOGYDOXHVWKDWUHIHUWRWKHVDPH58DVVLJQPHQWWREHXVHGLQWKHIUHTXHQF\GRPDLQEXWGLIIHULQWKH
 QXPEHURI8VHUILHOGVSHU587KHQXPEHURI8VHUILHOGVSHU58LQGLFDWHGE\WKH58$OORFDWLRQVXEILHOGV
 DQGWKH&HQWHUWRQH58VXEILHOGRIDQ+(6,*%FRQWHQWFKDQQHOLQGLFDWHWKHQXPEHURI8VHUILHOGVLQ 
 WKH8VHU6SHFLILFILHOGRIWKH+(6,*%FRQWHQWFKDQQHO


 )RU DQ 080,02 DOORFDWLRQ RI 58 VL]H JUHDWHU WKDQ  VXEFDUULHUV WKH G\QDPLF VSOLW RI 8VHU ILHOGV
 EHWZHHQ+(6,*%FRQWHQWFKDQQHODQG+(6,*%FRQWHQWFKDQQHOLVGHFLGHGE\WKH$3 RQDSHUFDVH


EDVLV DQGVLJQDOHGE\WKH$3XVLQJWKH58$OORFDWLRQVXEILHOGVLQHDFK+(6,*%FRQWHQWFKDQQHO6HH
 $QQH[=IRUH[DPSOHV


7KHSUH+(PRGXODWHGILHOGV VHH)LJXUH 7LPLQJERXQGDULHVIRU+(33'8ILHOGVLIPLGDPEOHLVQRW

 SUHVHQW DUHQRWWUDQVPLWWHGLQ0+]VXEFKDQQHOVLQZKLFKWKHSUHDPEOHLVSXQFWXUHG VHH +(

 PRGXODWLRQDQGFRGLQJVFKHPHV +(0&6V 

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ,IWKH%DQGZLGWKILHOGLQWKH+(6,*$ILHOGRIDQ+(0833'8LVRUWKHQRQHRUPRUH0+]

VXEFKDQQHOV RI WKH SUHDPEOH DUH SXQFWXUHG DV GHILQHG LQ 7DEOH +(6,*$ ILHOG RI DQ +( 08


 33'8 ,IWZRDGMDFHQW0+]VXEFKDQQHOVWKDWFRPSULVHD0+]VXEFKDQQHOLQZKLFKDWRQH58LV
 ORFDWHGDUHSXQFWXUHGWKHQ%±%RIWKH58$OORFDWLRQVXEILHOGVFRUUHVSRQGLQJWRWKHWZR0+]VXE

 FKDQQHOVVKDOOERWKEHVHWWR WRQH58LVHPSW\ RUVKDOOERWKEHVHWWR VHH7DEOH 58 
 $OORFDWLRQVXEILHOG WRLQGLFDWHWKDWWKHSUHDPEOHLVSXQFWXUHGLQERWKWKH0+]VXEFKDQQHOV(DFKSXQF
 WXUHG0+]VXEFKDQQHOWKDWGRHVQRWKDYH%±%RILWVFRUUHVSRQGLQJ58$OORFDWLRQVXEILHOGVHWWR 

 VKDOOKDYH%±%RILWV58$OORFDWLRQVXEILHOGVHWWR


 7KHFHQWHUWRQH58LQDSUHDPEOHSXQFWXUHG0+]0+]RU0+]+(0833'8VKDOOQRW
 EHDOORFDWHGWRDXVHULIHLWKHURIWKHWZR0+]VXEFKDQQHOVWKDWWKHFHQWHUWRQH58VWUDGGOHVKDYHWKH

 SUHDPEOHSXQFWXUHG


 8VHU6SHFLILFILHOG


 7KH8VHU6SHFLILFILHOGRIDQ+(6,*%FRQWHQWFKDQQHOFRQVLVWVRI]HURRUPRUH8VHU%ORFNILHOGVIROORZHG
 E\SDGGLQJ LISUHVHQW DVVKRZQLQ)LJXUH +(6,*%FRQWHQWFKDQQHOIRUPDW (DFKQRQILQDO8VHU
 %ORFNILHOGLVPDGHXSRIWZR8VHUILHOGVWKDWFRQWDLQLQIRUPDWLRQIRUWZR67$VWKDWLVXVHGWRGHFRGHWKHLU

 SD\ORDGV7KHILQDO8VHU%ORFNILHOGFRQWDLQVLQIRUPDWLRQIRURQHRUWZRXVHUVGHSHQGLQJRQWKHQXPEHURI
 XVHUVLQWKH+(6,*%FRQWHQWFKDQQHO,IWKH+(6,*%&RPSUHVVLRQILHOGLQWKH+(6,*$ILHOGRIDQ+( 


0833'8LVWKHQWKHQXPEHURI8VHUILHOGVLVLQGLFDWHGE\WKH58$OORFDWLRQVXEILHOGVDQGWKH&HQWHU
 WRQH58VXEILHOGLQWKHVDPH+(6,*%FRQWHQWFKDQQHO,IWKH+(6,*%&RPSUHVVLRQILHOGLQWKH+(
 6,*$ILHOGRIDQ+(0833'8LVWKHQWKHQXPEHURIXVHUVLVLQGLFDWHGE\WKH1XPEHU2I+(6,*% 

 6\PEROV2U080,028VHUVILHOGLQWKH+(6,*$ILHOG


 ,IWKH+(6,*%&RPSUHVVLRQILHOGLQWKH+(6,*$ILHOGRIDQ+(0833'8LV LQGLFDWLQJIXOOEDQG
 ZLGWK080,02WUDQVPLVVLRQ DQGWKH1XPEHU2I+(6,*%6\PEROV2U080,028VHUVILHOGLQWKH

+(6,*$ILHOGRIDQ+(0833'8LV LQGLFDWLQJXVHU WKHQWKH8VHU6SHFLILFILHOGLQWKH+(6,*% 

 ILHOG FRQVLVWV RI D VLQJOH 8VHU %ORFN ILHOG FRQWDLQLQJ RQH 8VHU ILHOG IRU D QRQ080,02 DOORFDWLRQ DV
 VKRZQLQ7DEOH 8VHUILHOGIRUPDWIRUDQRQ080,02DOORFDWLRQ 


 7KH8VHU%ORFNILHOGLVGHILQHGLQ7DEOH 8VHU%ORFNILHOG 



 7DEOH²8VHU%ORFNILHOG


 1XPEHU
1XPEHU
 )LHOG RIELWV 'HVFULSWLRQ
RIILHOGV
 SHUILHOG

 8VHUILHOG N  N8VHUILHOGVDUHSUHVHQWZKHUH
 N LILWLVWKHILQDO8VHU%ORFNILHOGDQGLIWKHUHLVRQO\
 RQHXVHULQWKHILQDO8VHU%ORFNILHOG
 N RWKHUZLVH

 7KH8VHUILHOGIRUPDWIRUDQRQ080,02DOORFDWLRQLV
 GHILQHGLQ7DEOH 8VHUILHOGIRUPDWIRUDQRQ08
 0,02DOORFDWLRQ 7KH8VHUILHOGIRUPDWIRUD080,02
 DOORFDWLRQLVGHILQHGLQ7DEOH 8VHUILHOGIRUPDWIRUD
 080,02DOORFDWLRQ 

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²8VHU%ORFNILHOG(continued)


 1XPEHU
1XPEHU
 )LHOG RIELWV 'HVFULSWLRQ
RIILHOGV
 SHUILHOG

 &5&   7KH&5&LVFDOFXODWHGRYHUELWVWRIRUD8VHU%ORFNILHOG
 WKDWFRQWDLQVRQH8VHUILHOGDQGELWVWRIRUD8VHU%ORFN
 ILHOGWKDWFRQWDLQVWZR8VHUILHOGV6HH &5&
 FRPSXWDWLRQ 

 7DLO   8VHGWRWHUPLQDWHWKHWUHOOLVRIWKHFRQYROXWLRQDOGHFRGHU6HW
 WR



 ,IWKH+(6,*%&RPSUHVVLRQILHOGLQWKH+(6,*$ILHOGRIDQ+(0833'8LVWKHQIRUDQ080,02 

DOORFDWLRQ RI 58 VL]H JUHDWHU WKDQ  VXEFDUULHUV WKH $3 SHUIRUPV D G\QDPLF VSOLW RI WKH 8VHU ILHOGV

 EHWZHHQ+(6,*%FRQWHQWFKDQQHODQG+(6,*%FRQWHQWFKDQQHODVGHVFULEHGLQ &RP
 PRQILHOG 



,IWKH+(6,*%&RPSUHVVLRQILHOGLQWKH+(6,*$ILHOGRIDQ+(0833'8LVIRUEDQGZLGWKVODUJHU
 WKDQ0+]WKH$3SHUIRUPVDQHTXLWDEOHVSOLWRIWKH8VHUILHOGVEHWZHHQWZR+(6,*%FRQWHQWFKDQ
 QHOVLH8VHUILHOGkRIDKXVHU080,0233'8LVFDUULHGLQ+(6,*%FRQWHQWFKDQQHOcZKHUHcLV
 GHILQHGLQ(TXDWLRQ  


 ­  LIk   } K e 
 c ® 
 ¯  LI k  K e    } K


 6LQFHDVLQJOH67$LVQRWUHTXLUHGWRGHFRGHWKHGDWDIRUPRUHWKDQRQHXVHU VHH 58DGGUHVVLQJLQ
 DQ+(0833'8 WKHVLJQDOLQJWKDWHQDEOHVD67$WRGHFRGHLWVGDWDLVFDUULHGLQRQO\RQH8VHUILHOG


 7KHRUGHULQJRI8VHUILHOGVLQWKH8VHU6SHFLILFILHOGLQDQ+(6,*%FRQWHQWFKDQQHOLVGHWHUPLQHGXVLQJ

 WKHIROORZLQJWKUHHVWHSSURFHGXUH

  ,IWKH+(6,*%&RPSUHVVLRQILHOGLQWKH+(6,*$ILHOGRIDQ+(0833'8LVWKLVILUVWVWHSLV
 E\SDVVHG2WKHUZLVHWKH8VHUILHOGVLQWKH8VHU6SHFLILFILHOGRIDQ+(6,*%FRQWHQWFKDQQHODUH
 JURXSHGLQWRVHWVRI8VHUILHOGVZKHUHHDFKVHWFRPSULVHVWKH8VHUILHOGVLQGLFDWHGE\RQH58$OOR
 FDWLRQVXEILHOGRUWKH&HQWHUWRQH587KHVHVHWVVKDOOEHRUGHUHGDVIROORZV

 D ,IWKH%DQGZLGWKILHOGLQ+(6,*$LVRUWKHQWKHUHLVRQO\RQHVHWVRWKHQHHGIRURUGHULQJ

 LQWKLVILUVWVWHSGRHVQRWDULVH

 E ,IWKH%DQGZLGWKILHOGLQ+(6,*$LVRUWKHQWKHVHWRI8VHUILHOGVLQGLFDWHGE\WKHILUVW
 58$OORFDWLRQVXEILHOGDUHIROORZHGE\WKHVHWRIWKH8VHUILHOGVLQGLFDWHGE\WKHVHFRQG58 


$OORFDWLRQVXEILHOGLQWXUQLIWKHFHQWHUWRQH58LVDVVLJQHGWKHQLWV8VHUILHOGLVDSSHQGHG
 DVWKHODVW8VHUILHOGWR+(6,*%FRQWHQWFKDQQHORQO\

F ,IWKH%DQGZLGWKILHOGLQ+(6,*$LVRUWKHQWKHVHWRI8VHUILHOGVLQGLFDWHGE\WKHILUVW

 58$OORFDWLRQVXEILHOGDUHIROORZHGE\WKHVHWRIWKH8VHUILHOGVLQGLFDWHGE\WKHVHFRQG58 
 $OORFDWLRQ VXEILHOG LQ WXUQ WKHVH DUH IROORZHG E\ WKH VHW RI WKH 8VHU ILHOGV LQGLFDWHG E\ WKH
 WKLUG58$OORFDWLRQVXEILHOGDQGWKHQE\WKHVHWRIWKH8VHUILHOGVLQGLFDWHGE\WKHIRXUWK58 
 $OORFDWLRQVXEILHOG,IWKHFHQWHUWRQH58WKDWVSDQVVXEFDUULHUV>±±±±@LV

DVVLJQHGWKHQLWV8VHUILHOGLVDSSHQGHGWR+(6,*%FRQWHQWFKDQQHO,IWKHFHQWHUWRQH

 58WKDWVSDQVVXEFDUULHUV>@LVDVVLJQHGWKHQLWV8VHUILHOGLVDSSHQGHGDVWKH
 ODVW8VHUILHOGWR+(6,*%FRQWHQWFKDQQHO

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

  ,IWKH+(6,*%&RPSUHVVLRQILHOGLQWKH+(6,*$ILHOGRIDQ+(0833'8LVWKHQWKLVVHF
 RQGVWHSLVE\SDVVHG2WKHUZLVHHDFKVXEVHWRI8VHUILHOGVLQGLFDWHGE\DQ58$OORFDWLRQVXEILHOG

VKDOOEHRUGHUHGE\LQFUHDVLQJIUHTXHQF\RI58LH±LQ7DEOH 58$OORFDWLRQVXEILHOG 

  :LWKRXWUHJDUGWRWKHYDOXHRI+(6,*%&RPSUHVVLRQILHOGWKHRUGHULQJRI8VHUILHOGVLQWKHVDPH
 58VKDOOIROORZWKHXVHURUGHULQJLQ7DEOH 6SDWLDO&RQILJXUDWLRQVXEILHOGHQFRGLQJ 


 ,QWKLVZD\58$OORFDWLRQVXEILHOGV&HQWHUWRQH58ILHOGV LISUHVHQW DQGWKHSRVLWLRQRIDXVHU¶V8VHU
 ILHOGLQWKH8VHU6SHFLILFILHOGRIDQ+(6,*%FRQWHQWFKDQQHOLQGLFDWHWKHXVHU¶V58DVVLJQPHQW

 ,IWKH%DQGZLGWKILHOGLQWKH+(6,*$ILHOGRIDQ+(0833'8 VHH7DEOH +(6,*$ILHOGRIDQ
 +(0833'8 LVRU SUHDPEOHLVSXQFWXUHG WKHFRQWHQWRIWKH+(6,*%FRQWHQWFKDQQHODQG 

 VKDOOEHFRQVWUXFWHGDVGHVFULEHGDERYHIRUDQ0+]33'8ZLWKRXWSUHDPEOHSXQFWXULQJ

 ,IWKH%DQGZLGWKILHOGLQWKH+(6,*$ILHOGRIDQ+(0833'8LVRU SUHDPEOHLVSXQFWXUHG WKHFRQ
 WHQW RI WKH +(6,*% FRQWHQW FKDQQHO  DQG  VKDOO EH FRQVWUXFWHG DV GHVFULEHG DERYH IRU DQ  0+]
 33'8ZLWKRXWSUHDPEOHSXQFWXULQJ


 $Q H[DPSOH IRU WKH PDSSLQJ RI WKH ELW 58 $OORFDWLRQ VXEILHOG DQG WKH SRVLWLRQ RI WKH 8VHU ILHOG WR D
 XVHU¶VGDWDLVLOOXVWUDWHGLQ)LJXUH $QH[DPSOHRIWKHPDSSLQJRIWKHELW58$OORFDWLRQVXEILHOG
 DQGWKHSRVLWLRQRIWKH8VHUILHOGWRWKHXVHU¶VDVVLJQPHQWIRURQH0+]FKDQQHO 7KH58$OORFDWLRQVXE
 ILHOGLQGLFDWHVDQDUUDQJHPHQWRIRQHWRQH58IROORZHGE\ILYHWRQH58VDQGWKDWWKHWRQH58 

 FRQWDLQVWKUHH8VHUILHOGVLHWKHWRQH58VXSSRUWVPXOWLSOH[LQJRIWKUHHXVHUVXVLQJ080,027KH
 8VHUILHOGVLQWKH8VHU6SHFLILFILHOGWKXVPDSWRWKH58VZLWKWKHILUVWWKUHH8VHUILHOGVLQGLFDWLQJ08
 0,02DOORFDWLRQVLQWKHILUVWWRQH58IROORZHGE\8VHUILHOGVFRUUHVSRQGLQJWRWKHHDFKRIWKHILYH
 WRQH58V




 58$OORFDWLRQVXEILHOG
 \\\ 




8VHUILHOG 8VHUILHOG 8VHUILHOG 8VHUILHOG 8VHUILHOG 8VHUILHOG 8VHUILHOG 8VHUILHOG


 080,02DOORFDWLRQ



58DVVLJQPHQW WRQH WRQH WRQH WRQH WRQH WRQH


 1XPEHURIXVHUVSHU58      



 )LJXUH²$QH[DPSOHRIWKHPDSSLQJRIWKHELW58$OORFDWLRQVXEILHOGDQGWKHSRVL
 WLRQRIWKH8VHUILHOGWRWKHXVHU¶VDVVLJQPHQWIRURQH0+]FKDQQHO

 7KHFRQWHQWVRIWKH8VHUILHOGGLIIHUGHSHQGLQJRQZKHWKHUWKHILHOGDGGUHVVHVDXVHULQDQRQ080,02 

 DOORFDWLRQLQDQ58RUDXVHULQDQ080,02DOORFDWLRQLQDQ58,UUHVSHFWLYHRIZKHWKHUWKHDOORFDWLRQLV
 IRUDXVHULQDQRQ080,02RUDQ080,02DOORFDWLRQWKHVL]HRIWKH8VHUILHOGLVWKHVDPH








 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KH8VHUILHOGIRUPDWIRUDQRQ080,02DOORFDWLRQLVGHILQHGLQ7DEOH 8VHUILHOGIRUPDWIRUD
 QRQ080,02DOORFDWLRQ 



 7DEOH²8VHUILHOGIRUPDWIRUDQRQ080,02DOORFDWLRQ


 1XPEHU
%LW 6XEILHOG 'HVFULSWLRQ
 RIELWV

 %±% 67$,'  6HWWRDYDOXHRIWKH7;9(&725SDUDPHWHU67$B,'
 VHH 67$B,' 

 %±% 1676  ,IWKH67$,'VXEILHOGLVQRWLQGLFDWHVWKHQXP
 EHURIVSDFHWLPHVWUHDPVDQGLVVHWWRWKHQXPEHURI
 VSDFHWLPHVWUHDPVPLQXV

 6HWWRDQDUELWUDU\YDOXHLIWKH67$,'VXEILHOGLV

 % %HDPIRUPHG  ,IWKH67$,'VXEILHOGLVQRWXVHGLQWUDQVPLW
 EHDPIRUPLQJ
 6HWWRLIDEHDPIRUPLQJVWHHULQJPDWUL[LVDSSOLHG
 WRWKHZDYHIRUPLQDQ68WUDQVPLVVLRQ
 6HWWRRWKHUZLVH

 6HWWRDQDUELWUDU\YDOXHLIWKH67$,'VXEILHOGLV

 %±% +(0&6  ,IWKH67$,'VXEILHOGLVQRWLQGLFDWHVWKHPRGX
 ODWLRQDQGFRGLQJVFKHPH
 6HWWRnIRU+(0&6nZKHUHn «
 9DOXHVDUHUHVHUYHG

 6HWWRDQDUELWUDU\YDOXHLIWKH67$,'VXEILHOGLV

 % '&0  ,IWKH67$,'VXEILHOGLVQRWLQGLFDWHVZKHWKHU
 RUQRW'&0LVXVHG
 6HWWRWRLQGLFDWHWKDWWKHSD\ORDGRIWKHFRUUH
 VSRQGLQJXVHURIWKH+(0833'8LVPRGXODWHG
 ZLWK'&0IRUWKH+(0&6
 6HWWRWRLQGLFDWHWKDWWKHSD\ORDGRIWKHFRUUH
 VSRQGLQJXVHURIWKH33'8LVQRWPRGXODWHGZLWK
 '&0IRUWKH+(0&6

 6HWWRDQDUELWUDU\YDOXHLIWKH67$,'VXEILHOGLV

 % &RGLQJ  ,IWKH67$,'VXEILHOGLVQRWLQGLFDWHVZKHWKHU
 %&&RU/'3&LVXVHG
 6HWWRIRU%&&
 6HWWRIRU/'3&

 6HWWRDQDUELWUDU\YDOXHLIWKH67$,'VXEILHOGLV














&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KH8VHUILHOGIRUPDWIRUDQ080,02DOORFDWLRQLVGHILQHGLQ7DEOH 8VHUILHOGIRUPDWIRUD08
 0,02DOORFDWLRQ 



 7DEOH²8VHUILHOGIRUPDWIRUD080,02DOORFDWLRQ


 1XPEHU
%LW 6XEILHOG 'HVFULSWLRQ
 RIELWV

 %±% 67$,'  6HWWRDYDOXHLQGLFDWHGIURP7;9(&725SDUDPHWHU
 67$B,' VHH 67$B,' 

 %±% 6SDWLDO&RQ  ,QGLFDWHVWKHQXPEHURIVSDWLDOVWUHDPVIRUDXVHULQDQ
 ILJXUDWLRQ 080,02DOORFDWLRQ VHH7DEOH 6SDWLDO&RQ
 ILJXUDWLRQVXEILHOGHQFRGLQJ 

 %±% +(0&6  0RGXODWLRQDQGFRGLQJVFKHPH

 6HWWRnIRU+(0&6nZKHUHn «
 9DOXHVDUHUHVHUYHG

 % 5HVHUYHG  5HVHUYHGDQGVHWWR

 % &RGLQJ  ,QGLFDWHVZKHWKHU%&&RU/'3&LVXVHG
 6HWWRIRU%&&
 6HWWRIRU/'3&

 127(²,IWKH67$,'VXEILHOGLVWKHQWKHRWKHUVXEILHOGVFDQEHVHWWRDUELWUDU\YDOXHV





$8VHUILHOGIRUDQ080,02DOORFDWLRQLQFOXGHVDELW6SDWLDO&RQILJXUDWLRQVXEILHOGWKDWLQGLFDWHVWKH
 QXPEHURIVSDWLDOVWUHDPVIRUHDFKXVHUDQGWKHWRWDOQXPEHURIVSDWLDOVWUHDPVLQWKH080,02DOORFDWLRQ
 7KH VXEILHOG VKRZQ LQ7DEOH 6SDWLDO &RQILJXUDWLRQ VXEILHOG HQFRGLQJ  LV FRQVWUXFWHGE\ XVLQJ WKH
 HQWULHVFRUUHVSRQGLQJWRWKHYDOXHRIQXPEHURIXVHUV Nuser PXOWLSOH[HGXVLQJ080,02LQDQ58


 ,IWKH+(6,*%&RPSUHVVLRQILHOGLQWKH+(6,*$ILHOGLVDQG080,02LVXVHGLQDQ58RIVL]HOHVV
 WKDQRUHTXDOWRVXEFDUULHUVWKHQXPEHURIXVHUV Nuser LQDQ080,02DOORFDWLRQLVHTXDOWRWKHQXP
 EHURI8VHUILHOGVSHU58VLJQDOHGIRUWKH58LQWKHDVVRFLDWHG58$OORFDWLRQVXEILHOGRIWKH&RPPRQILHOG
 LQWKHVDPH+(6,*%FRQWHQWFKDQQHO


 ,I WKH +(6,*% &RPSUHVVLRQ ILHOG LQ WKH +(6,*$ ILHOG LV  DQG 080,02 LV XVHG LQ 58V RI VL]H
 JUHDWHUWKDQVXEFDUULHUVWKH$3SHUIRUPVDG\QDPLFVSOLWRIWKH8VHUILHOGVFRUUHVSRQGLQJWRWKHVDPH
 080,02DOORFDWLRQVDVGHVFULEHGLQ &RPPRQILHOG  LQWRWZR+(6,*%FRQWHQWFKDQQHOV
 DQGWKHQXPEHURIXVHUV Nuser LVFRPSXWHGDVWKHVXPRIWKHQXPEHURI8VHUILHOGVLQGLFDWHGIRUWKH58E\ 

WKHELW58$OORFDWLRQVXEILHOGLQHDFK+(6,*%FRQWHQWFKDQQHO


 ,IWKH+(6,*%&RPSUHVVLRQILHOGLQWKH+(6,*$ILHOGLVWKHQWKHQXPEHURIXVHUVNuserLVVLJQDOHG
 E\WKH1XPEHU2I+(6,*%6\PEROV2U080,028VHUVILHOGLQWKH+(6,*$ILHOGDQGWKH$3SHU
 IRUPVDQHTXLWDEOHVSOLWRIWKH8VHUILHOGVIROORZLQJ(TXDWLRQ  


 7KH8VHUILHOGSRVLWLRQVZLWKLQDQ58DUHGHILQHGWREHORJLFDOO\FRQWLQXRXVWKHODVW8VHUILHOGFRUUHVSRQG
 LQJWRDQ58LQ+(6,*%FRQWHQWFKDQQHOLVLPPHGLDWHO\IROORZHGE\WKHILUVW8VHUILHOGFRUUHVSRQGLQJ
 WRWKHVDPH58LQ+(6,*%FRQWHQWFKDQQHO


 )RUDJLYHQYDOXHRINuserWKHIRXUELWVRIWKH6SDWLDO&RQILJXUDWLRQVXEILHOGDUHXVHGDVIROORZV$67$

 ZLWKD67$,'WKDWPDWFKHVWKHELW,'VLJQDOHGLQWKH8VHUILHOGIRUDQ080,02DOORFDWLRQGHULYHVWKH

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 QXPEHURIVSDWLDOVWUHDPVDOORFDWHGWRLWXVLQJWKHURZFRUUHVSRQGLQJWRWKHVLJQDOHGELW6SDWLDO&RQILJXUD
 WLRQVXEILHOGDQGWKHFROXPQFRUUHVSRQGLQJWRWKH8VHUILHOGSRVLWLRQLQWKH8VHU6SHFLILFILHOG7KHVWDUWLQJ

VWUHDPLQGH[IRUWKHXVHULVFRPSXWHGE\VXPPLQJWKHNSTSLQWKHFROXPQVSULRUWRWKHFROXPQLQGLFDWHGE\ 

 WKHXVHU¶V8VHUILHOGSRVLWLRQ


 7DEOH²6SDWLDO&RQILJXUDWLRQVXEILHOGHQFRGLQJ


 NSTS NSTS NSTS NSTS NSTS NSTS NSTS NSTS 7RWDO 1XPEHU

Nuser %«%
>@ >@ >@ >@ >@ >@ >@ >@ NSTS RIHQWULHV

 ± ±  ±

 ± ±  ±

 
 ±
 ±  ±

    

 ± ±   ±

 ± ±   ±

  ± ±   ± 

 ±
 ±   ±

     

 ± ±    ±

 ± ±    ±

        

 ±
 ±    ±

      

  ± ±     ±

 ± ±     ± 

       

 ±
  ±      ±
 
        

  ± ±       ± 

            




7KHXVHURUGHULQJLGHQWLILHGE\WKHFROXPQKHDGHUVNSTS>s@s «LQ7DEOH 6SDWLDO&RQILJX

 UDWLRQ VXEILHOG HQFRGLQJ  VKDOO EH WKH VDPH DV WKH XVHU LQGH[ u u    « LQ (TXDWLRQ  
 (TXDWLRQ  DQG(TXDWLRQ  LHu s±

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KHWRWDOQXPEHURIVSDWLDOVWUHDPV WRWDONSTS LVFRPSXWHGE\VXPPLQJDOOFROXPQVIRUWKHURZVLJQDOHG 


 E\WKH6SDWLDO&RQILJXUDWLRQILHOGDQGLVLQGLFDWHGLQ7DEOH 6SDWLDO&RQILJXUDWLRQVXEILHOGHQFRGLQJ 

XQGHUWKHFROXPQ7RWDONSTS


 (QFRGLQJDQGPRGXODWLRQ


 7KHELWVLQWKH&RPPRQILHOGRIHDFK+(6,*%FRQWHQWFKDQQHOVKDOOEH%&&HQFRGHGDWUDWHR 


 ,QWKH8VHU6SHFLILFILHOGHDFK8VHU%ORFNILHOGRIHDFK+(6,*%FRQWHQWFKDQQHOVKDOOEH%&&HQFRGHGDW
 UDWH R  ,I WKH QXPEHU RI 8VHU ILHOGV LQ DQ +(6,*% FRQWHQW FKDQQHO LV RGG &5& DQG WDLO ELWV DUH
 DGGHGDIWHUWKHODVW8VHUILHOGZKLFKLVQRWJURXSHG3DGGLQJELWVDUHDSSHQGHGLPPHGLDWHO\DIWHUWKHWDLO
 ELWVFRUUHVSRQGLQJWRWKHILQDO8VHU%ORFNILHOGLQHDFK+(6,*%FRQWHQWFKDQQHOWRURXQGXSWRWKHQH[W

 PXOWLSOHRIQXPEHURIGDWDELWVSHU+(6,*%2)'0V\PERO7KHSDGGLQJELWVPD\EHVHWWRDQ\YDOXH
 )XUWKHUSDGGLQJELWVDUHDSSHQGHGWRHDFK+(6,*%FRQWHQWFKDQQHOVRWKDWWKHQXPEHURI2)'0V\PEROV
 DIWHUHQFRGLQJDQGPRGXODWLRQLQGLIIHUHQW0+]EDQGVHQGVDWWKHVDPH2)'0V\PERO)RUERWKWKH
 &RPPRQ ILHOG DQG8VHU %ORFN ILHOG WKH LQIRUPDWLRQ ELWVWDLO ELWV DQG SDGGLQJ ELWV LI SUHVHQW  DUH %&& 
 HQFRGHGDWUDWHR XVLQJWKHHQFRGHUGHVFULEHGLQ &RQYROXWLRQDOHQFRGHU ,IWKHFRGLQJUDWH

 RIWKH+(6,*%0&6LVQRWHTXDOWRWKHFRQYROXWLRQDOHQFRGHURXWSXWELWVIRUHDFKILHOGDUHFRQFDWH
 QDWHGWKHQWKHFRQFDWHQDWHGELWVWUHDPVDUHSXQFWXUHGDVGHVFULEHGLQ &RQYROXWLRQDOHQFRGHU 



7KHFRGHGELWVDUHLQWHUOHDYHGDVLQ %&&LQWHUOHDYHUV 7KHLQWHUOHDYHGELWVDUHPDSSHGWRFRQ
 VWHOODWLRQ SRLQWV IURP WKH +(6,*%0&6 VSHFLILHG LQ +(6,*$ DQG KDYH SLORWV LQVHUWHG IROORZLQJ WKH
 VWHSVGHVFULEHGLQ 6XEFDUULHUPRGXODWLRQPDSSLQJ DQG 3LORWVXEFDUULHUV UHVSHFWLYHO\
 (DFK+(6,*%2)'0V\PEROVKDOOKDYHGDWDWRQHV


 7KHJXDUGLQWHUYDOXVHGIRU+(6,*%VKDOOEHȝV


 7KHQXPEHURI2)'0V\PEROVLQWKH+(6,*%ILHOGGHQRWHGE\NSYM,+(6,*%VKDOOEHVLJQDOHGE\WKH
 1XPEHU2I+(6,*%6\PEROV2U080,028VHUVILHOGLQWKH+(6,*$ILHOGRIDQ+(0833'8 VHH
  &RQWHQW 


 )RUWKH+(6,*%FRQWHQWFKDQQHOc c RU GHQRWHWKHFRPSOH[QXPEHUDVVLJQHGWRWKHk-WKGDWDVXE
 FDUULHURIWKHn-WKV\PEROE\dk,n,c7KHWLPHGRPDLQZDYHIRUPIRUWKH+(6,*%ILHOGWUDQVPLWWHGRQIUH
 TXHQF\VHJPHQWiSegDQGWUDQVPLWFKDLQiTXLVJLYHQE\(TXDWLRQ  



N SYM +(6,*B% ± 

i Seg i TX 


r +(6,*% t 
7RQH
 ¦ w T+(6,*% t ± nT SYML 
N TX ˜ N +(6,*% n 


 § ·
 § i Seg ·
 ¨ b k ± K6KLIW iBW  %: © * M r k D k n iBW  p n   P k¹ ¸
 ¦ ¦ ¨¨ ¸
i TX ¸
 i BW  : 0+] k ±  ©  ˜ H[S jS k ± K
 6KLIW i %: ' F 3UH+( t ± nT SYML ± T GI 3UH+( ± T CS ¹


 ZKHUH

 * Mr LVWKHSKDVHURWDWLRQYDOXHIRU+(6,*%ILHOG3$35UHGXFWLRQ,IWKH+(6,*%ILHOGLVPRGX
 k

 ODWHGZLWK+(6,*%0&6DQG'&0  * M r  )RUDOORWKHUPRGXODWLRQVFKHPHVRI
 k

 +(6,*%ILHOG

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU


 ­ r
°   d M  k  
 * r ®
 M  k r
° ±  M  k  d M r k  
 ¯ 

 Tone
N +(6,*% LVJLYHQLQ7DEOH 1XPEHURIPRGXODWHGVXEFDUULHUVDQGJXDUGLQWHUYDOGXUDWLRQYDOXHV

 IRU+(33'8ILHOGV
 K6KLIW i LVGHILQHGLQ /6,*GHILQLWLRQ

 ­
 i Seg °  k  r  r 
 D k n iBW ® d
 ° Mr k  n iBW mod   RWKHUZLVH
 ¯

 ­
 ° k   ±  d k d ± 
°
 ° k   ±  d k d ± 
 °
r
M  k k   ±  d k d ± 
 ®
 ° k    d k d 
 ° k    d k d 
 °

° k    d k d 
¯

 PkDQGpnDUHGHILQHGLQ 2)'0PRGXODWLRQ

 N SYM +(6,*% LVWKHQXPEHURI2)'0V\PEROVLQWKH+(6,*%ILHOG

 )URP(TXDWLRQ  DQG +(6,*%FRQWHQWFKDQQHOV D0+]33'8FRQWDLQVRQH+(

 6,*%FRQWHQWFKDQQHODVVKRZQLQ)LJXUH +(6,*%FRQWHQWFKDQQHOIRUD0+]33'8 


 &RPPRQILHOG LISUHVHQW 8VHU6SHFLILFILHOG
 58$OORFDWLRQVXEILHOG
+(6,*%
 8VHUILHOGVIRU58VVLJQDOHGLQ&RPPRQILHOG FRQWHQW
IRU58VRYHUODSSLQJWRQHUDQJH± ELWV
FKDQQHO


 )LJXUH²+(6,*%FRQWHQWFKDQQHOIRUD0+]33'8


 )URP(TXDWLRQ  DQG +(6,*%FRQWHQWFKDQQHOV D0+]33'8FRQWDLQVWZR+(
 6,*%FRQWHQWFKDQQHOVHDFKRFFXS\LQJD0+]IUHTXHQF\VHJPHQWDVVKRZQLQ)LJXUH +(6,*
 %FRQWHQWFKDQQHOIRUD0+]33'8 +(6,*%FRQWHQWFKDQQHORFFXSLHVWKH0+]IUHTXHQF\VHJ
 PHQWWKDWLVORZHULQIUHTXHQF\+(6,*%FRQWHQWFKDQQHORFFXSLHVWKH0+]IUHTXHQF\VHJPHQWWKDW

 LVXSSHULQIUHTXHQF\


 &RPPRQILHOG LISUHVHQW 8VHU6SHFLILFILHOG
 58$OORFDWLRQVXEILHOG
+(6,*%
 8VHUILHOGVIRU58VVLJQDOHGLQ&RPPRQILHOG FRQWHQW
IRU58VRYHUODSSLQJWRQHUDQJH ELWV
 FKDQQHO
 58$OORFDWLRQVXEILHOG
+(6,*%
 8VHUILHOGVIRU58VVLJQDOHGLQ&RPPRQILHOG FRQWHQW
IRU58VRYHUODSSLQJWRQHUDQJH±± ELWV
FKDQQHO


 )LJXUH²+(6,*%FRQWHQWFKDQQHOIRUD0+]33'8


 )URP(TXDWLRQ  DQG +(6,*%FRQWHQWFKDQQHOV DQ0+]33'8FRQWDLQVWZR+(
 6,*%FRQWHQWFKDQQHOVHDFKRIZKLFKDUHGXSOLFDWHGRQFHDVVKRZQLQ)LJXUH +(6,*%FRQWHQW

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 FKDQQHOVDQGWKHLUGXSOLFDWLRQLQDQ0+]33'8 +(6,*%FRQWHQWFKDQQHORFFXSLHVWKH0+]IUH
 TXHQF\VHJPHQWWKDWLVORZHVWLQIUHTXHQF\DQGLVGXSOLFDWHGRQWKH0+]IUHTXHQF\VHJPHQWWKDWLVWKLUG


ORZHVWLQIUHTXHQF\+(6,*%FRQWHQWFKDQQHORFFXSLHVWKH0+]IUHTXHQF\VHJPHQWWKDWLVVHFRQG 

 ORZHVWLQIUHTXHQF\DQGLVGXSOLFDWHGRQWKH0+]IUHTXHQF\VHJPHQWWKDWLVIRXUWKORZHVWLQIUHTXHQF\



&RPPRQILHOG LISUHVHQW 8VHU6SHFLILFILHOG
 +(6,*%
58$OORFDWLRQVXEILHOGIRU58VRYHUODSSLQJZLWKWRQH
 UDQJHV±±DQGFHQWHUWRQH58
8VHUILHOGVIRU58VVLJQDOHGLQ&RPPRQILHOG FRQWHQW
 FKDQQHO
 58$OORFDWLRQVXEILHOGIRU58VRYHUODSSLQJZLWKWRQH
+(6,*%
 8VHUILHOGVIRU58VVLJQDOHGLQ&RPPRQILHOG FRQWHQW
'83 UDQJHV±±DQGFHQWHUWRQH58
 FKDQQHO
 +(6,*%
 58$OORFDWLRQVXEILHOGIRU58VRYHUODSSLQJZLWKWRQH
'83 8VHUILHOGVIRU58VVLJQDOHGLQ&RPPRQILHOG FRQWHQW
UDQJHV±±DQGFHQWHUWRQH58
 FKDQQHO
 +(6,*%
58$OORFDWLRQVXEILHOGIRU58VRYHUODSSLQJZLWKWRQH
 8VHUILHOGVIRU58VVLJQDOHGLQ&RPPRQILHOG FRQWHQW
UDQJHV±±DQGFHQWHUWRQH58
 FKDQQHO


)LJXUH²+(6,*%FRQWHQWFKDQQHOVDQGWKHLUGXSOLFDWLRQLQDQ0+]33'8


 )URP(TXDWLRQ  DQG +(6,*%FRQWHQWFKDQQHOV D0+]33'8FRQWDLQVWZR+(
 6,*%FRQWHQWFKDQQHOVHDFKRIZKLFKDUHGXSOLFDWHGIRXUWLPHVDVVKRZQLQ)LJXUH +(6,*%FRQ
 WHQWFKDQQHOVDQGWKHLUGXSOLFDWLRQLQD0+]33'8 +(6,*%FRQWHQWFKDQQHORFFXSLHVWKH0+]

 IUHTXHQF\VHJPHQWWKDWLVORZHVWLQIUHTXHQF\DQGLVGXSOLFDWHGRQWKH0+]IUHTXHQF\VHJPHQWVWKDWDUH
 WKLUGILIWKDQGVHYHQWKORZHVWLQIUHTXHQF\+(6,*%FRQWHQWFKDQQHORFFXSLHVWKH0+]IUHTXHQF\ 
 VHJPHQWWKDWLVVHFRQGORZHVWLQIUHTXHQF\DQGLVGXSOLFDWHGRQWKH0+]IUHTXHQF\VHJPHQWVWKDWDUH
 IRXUWKVL[WKDQGHLJKWKORZHVWLQIUHTXHQF\



&RPPRQILHOG LISUHVHQW 8VHU6SHFLILFILHOG
 +(6,*%
58$OORFDWLRQVXEILHOGIRU58VRYHUODSSLQJZLWKWRQHUDQJHV±±
 ±±DQG>@
8VHUILHOGVIRU58VVLJQDOHGLQ&RPPRQILHOG FRQWHQW
FKDQQHO

+(6,*%
 58$OORFDWLRQVXEILHOGIRU58VRYHUODSSLQJZLWKWRQHUDQJHV±±
8VHUILHOGVIRU58VVLJQDOHGLQ&RPPRQILHOG FRQWHQW
±±DQG>±±±±@
 '83
FKDQQHO
 +(6,*%
 58$OORFDWLRQVXEILHOGIRU58VRYHUODSSLQJZLWKWRQHUDQJHV±±
'83 8VHUILHOGVIRU58VVLJQDOHGLQ&RPPRQILHOG FRQWHQW
/RZWRKLJKVXEFDUULHULQGH[

±±DQG>@
 FKDQQHO

 58$OORFDWLRQVXEILHOGIRU58VRYHUODSSLQJZLWKWRQHUDQJHV±±
8VHUILHOGVIRU58VVLJQDOHGLQ&RPPRQILHOG
+(6,*%
FRQWHQW
 ±±DQG>±±±±@
FKDQQHO
 +(6,*%
58$OORFDWLRQVXEILHOGIRU58VRYHUODSSLQJZLWKWRQHUDQJHV±±
 ±±DQG>@
8VHUILHOGVIRU58VVLJQDOHGLQ&RPPRQILHOG FRQWHQW
 FKDQQHO
+(6,*%
 58$OORFDWLRQVXEILHOGIRU58VRYHUODSSLQJZLWKWRQHUDQJHV±±
8VHUILHOGVIRU58VVLJQDOHGLQ&RPPRQILHOG FRQWHQW
±±DQG>±±±±@
 FKDQQHO
 +(6,*%
58$OORFDWLRQVXEILHOGIRU58VRYHUODSSLQJZLWKWRQHUDQJHV±±
 ±±DQG>@
8VHUILHOGVIRU58VVLJQDOHGLQ&RPPRQILHOG FRQWHQW
FKDQQHO

 58$OORFDWLRQVXEILHOGIRU58VRYHUODSSLQJZLWKWRQHUDQJHV±±
8VHUILHOGVIRU58VVLJQDOHGLQ&RPPRQILHOG
+(6,*%
FRQWHQW
 ±±DQG>±±±±@
FKDQQHO


 )LJXUH²+(6,*%FRQWHQWFKDQQHOVDQGWKHLUGXSOLFDWLRQLQD0+]33'8

 ,IWKH%DQGZLGWKILHOGLQWKH+(6,*$ILHOGRIDQ+(0833'8 VHH7DEOH +(6,*$ILHOGRIDQ
 +( 08 33'8  LV  RU  SUHDPEOH LV SXQFWXUHG  WKH PDSSLQJ RI WKH +(6,*% FRQWHQW FKDQQHOV WR


0+]VHJPHQWVVKDOOEHWKHVDPHDVIRUDQ0+]33'8 VHH)LJXUH +(6,*%FRQWHQWFKDQQHOV

 DQGWKHLUGXSOLFDWLRQLQDQ0+]33'8 ZLWKWKHH[FHSWLRQWKDWSXQFWXUHG0+]FKDQQHOVVKDOOEH
 H[FOXGHG

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ,IWKH%DQGZLGWKILHOGLQWKH+(6,*$ILHOGRIDQ+(0833'8 VHH7DEOH +(6,*$ILHOGRIDQ


 +(0833'8 LVRU SUHDPEOHLVSXQFWXUHG WKHPDSSLQJRIWKH+(6,*%FRQWHQWFKDQQHOVWR 

0+]VHJPHQWVVKDOOEHWKHVDPHDVIRUDQ0+]33'8 VHH)LJXUH +(6,*%FRQWHQWFKDQQHOV

 DQGWKHLUGXSOLFDWLRQLQD0+]33'8 ZLWKWKHH[FHSWLRQWKDWSXQFWXUHG0+]FKDQQHOVVKDOOEH
 H[FOXGHG

 +(67)


 7KHPDLQSXUSRVHRIWKH+(67)ILHOGLVWRLPSURYHDXWRPDWLFJDLQFRQWUROHVWLPDWLRQLQD0,02WUDQVPLV
 VLRQ7KHGXUDWLRQRIWKH+(67)ILHOGIRU+(33'8VWKDWDUHQRW+(7%33'8VLVT+(67)17 SHULRGLFLW\ 
 RI—VZLWKSHULRGVDVJLYHQLQ7DEOH 7LPLQJUHODWHGFRQVWDQWV DQGWKHGXUDWLRQRIWKH+(67)

 ILHOGIRUDQ+(7%33'8LVT+(67)7 SHULRGLFLW\RI—VZLWKSHULRGVDVJLYHQLQ7DEOH 7LP

 LQJUHODWHGFRQVWDQWV 

 )RUWKH+(67)ILHOGWKHMVHTXHQFHLVGHILQHGE\(TXDWLRQ  


 M ^±±±±±±` 

 7KH+(67)ILHOGLVFRQVWUXFWHGE\PDSSLQJWKHMVHTXHQFH V PXOWLSOLHGE\   j e  RU ±  ± j e 
 WRHDFKWRQH58)RUDWUDQVPLVVLRQEDQGZLGWKJUHDWHUWKDQ0+]   j e  RU ±  ± j e  LV
 DVVLJQHGWRVXEFDUULHULQGLFHVWKDWDUHLQVLGHWKHFHQWHUWRQH58V


 )RUD0+]WUDQVPLVVLRQWKHIUHTXHQF\GRPDLQVHTXHQFHIRU+(33'8VWKDWDUHQRW+(7%33'8VLV
 JLYHQE\(TXDWLRQ  


 HES ± ^M` ˜   j e 
 
 7KHYDOXHRIWKH+(67)VHTXHQFHDWQXOOWRQHLQGH[LVHES  

 ZKHUHHESa:b:cPHDQVFRHIILFLHQWVRIWKH+(67)RQHYHU\bVXEFDUULHULQGLFHVIURPaWRcVXEFDUULHULQGL
 FHVDQGFRHIILFLHQWVRQRWKHUVXEFDUULHULQGLFHVDUHVHWWR]HUR


 )RUD0+]WUDQVPLVVLRQWKHIUHTXHQF\GRPDLQVHTXHQFHIRU+(33'8VWKDWDUHQRW+(7%33'8VLV
 JLYHQE\(TXDWLRQ  


 HES  ^ M   ± M ` ˜   j e  


 )RUDQ0+]WUDQVPLVVLRQWKHIUHTXHQF\GRPDLQVHTXHQFHIRU+(33'8VWKDWDUHQRW+(7%33'8VLV
 JLYHQE\(TXDWLRQ  


 HES ± ^ M  ± M  ± M  ± M ` ˜   j e  

 )RUD0+]WUDQVPLVVLRQWKHIUHTXHQF\GRPDLQVHTXHQFHIRU+(33'8VWKDWDUHQRW+(7%33'8VLV

JLYHQE\(TXDWLRQ  


 HES ± ^ M  ± M  ± M  ± M  ± M ±  M  ± M  ± M ` ˜   j e  


 )RUDQ0+]WUDQVPLVVLRQWKHORZHU0+]VHJPHQWIRU+( 33'8VWKDWDUHQRW+(7%33'8V
 VKDOOXVHWKH+(67)SDWWHUQIRUWKH0+]GHILQHGLQ(TXDWLRQ  


 )RU DQ  0+] WUDQVPLVVLRQ WKH IUHTXHQF\ GRPDLQ VHTXHQFH RI WKH XSSHU 0+] VHJPHQW IRU +(

 33'8VWKDWDUHQRW+(7%33'8VLVJLYHQE\(TXDWLRQ  

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU


HES ± ^ ± M  ±   M   ± M    ± M ` ˜   j e  


 )RUD0+]WUDQVPLVVLRQWKHIUHTXHQF\GRPDLQVHTXHQFHIRU+(7%33'8VLVJLYHQE\(TXDWLRQ 

  


 HES  ^ M   ± M ` ˜   j e  


 )RU DQ +( 7% IHHGEDFN 1'3 LQ 0+] FKDQQHO ZLGWK WKH IUHTXHQF\ GRPDLQ VHTXHQFH LV JLYHQ E\

 (TXDWLRQ  


7%1'3
 HES  HES  


 )RUD0+]WUDQVPLVVLRQWKHIUHTXHQF\GRPDLQVHTXHQFHIRU+(7%33'8VLVJLYHQE\(TXDWLRQ 
  


 HES ± ^ M ±  ± M  M ±  M ` ˜   j e 
 
 7KHYDOXHRIWKH+(67)VHTXHQFHDWHGJHWRQHLQGLFHV r  LVHES r  


 )RU DQ +( 7% IHHGEDFN 1'3 LQ 0+] FKDQQHO ZLGWK WKH IUHTXHQF\ GRPDLQ VHTXHQFH LV JLYHQ E\

 (TXDWLRQ  


 7%1'3
HES ± ±  ^ M ±  ± M ` ˜   j e  LI58B721(B6(7B,1'(; d 

 7%1'3
HES  ^ M ±  M ` ˜   j e  LI58B721(B6(7B,1'(; !  

 7%1'3
HES r 


 )RUDQ0+]WUDQVPLVVLRQWKHIUHTXHQF\GRPDLQVHTXHQFHIRU+(7%33'8VLVJLYHQE\(TXDWLRQ 


 


 HES ± ^ M ±  M ±  ± M ±  M  ± M  M  ± M  ± M ` ˜   j e 

 7KHYDOXHRIWKH+(67)VHTXHQFHDWHGJHWRQHLQGLFHV r  LVHES r  


 )RU DQ +( 7% IHHGEDFN 1'3 LQ 0+] FKDQQHO ZLGWK WKH IUHTXHQF\ GRPDLQ VHTXHQFH LV JLYHQ E\


(TXDWLRQ  


 7%1'3
 HES ± ±  ^ M ±  M ` ˜   j e  LI58B721(B6(7B,1'(; d 
 7%1'3
 HES ± ±  ^ ± M ±  M ` ˜   j e  LI58B721(B6(7B,1'(; d 
 7%1'3
 HES  ^ ± M  M ` ˜   j e  LI58B721(B6(7B,1'(; d  
 7%1'3
 HES  ^ ± M  ± M ` ˜   j e  LI58B721(B6(7B,1'(; d 
 7%1'3
 HES r 


 )RUD0+]WUDQVPLVVLRQWKHIUHTXHQF\GRPDLQVHTXHQFHIRU+(7%33'8VLVJLYHQE\(TXDWLRQ 
  

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 HES ± ^ M ±  M ±  ± M ±  M  ± M  M  ± M  ± M 

 ± M  ± M  M  ± M  ± M  M  ± M  ± M ` ˜   j e  

 7KHYDOXHRIWKH+(67)VHTXHQFHDWHGJHWRQHLQGLFHV r  DQG r  LVHES r   HES r 


)RU DQ +( 7% IHHGEDFN 1'3 LQ 0+] FKDQQHO ZLGWK WKH IUHTXHQF\ GRPDLQ VHTXHQFH LV JLYHQ E\


 (TXDWLRQ  

 7%1'3
 HES ± ±  ^ M ±  M ` ˜   j e  LI58B721(B6(7B,1'(; d 
 7%1'3
 HES ± ±  ^ ± M ±  M ` ˜   j e  LI58B721(B6(7B,1'(; d 
 7%1'3
 HES ± ±  ^ ± M  M ` ˜   j e  LI58B721(B6(7B,1'(; d 
 7%1'3
 HES ± ±  ^ ± M  ± M ` ˜   j e  LI58B721(B6(7B,1'(; d 
 7%1'3
 HES  ^ ± M  ± M ` ˜   j e  LI58B721(B6(7B,1'(; d  
 7%1'3
 HES  ^ M  ± M ` ˜   j e  LI58B721(B6(7B,1'(; d 
 7%1'3
 HES  ^ ± M  M ` ˜   j e  LI58B721(B6(7B,1'(; d 
 7%1'3
 HES  ^ ± M  ± M ` ˜   j e  LI58B721(B6(7B,1'(; d 
 7%1'3 7%1'3
 HES r HES r  


 )RUDQ0+]WUDQVPLVVLRQWKHORZHU0+]VHJPHQWIRU+(7%33'8VVKDOOXVHWKH+(67)SDW
 WHUQIRUWKH0+]GHILQHGLQ(TXDWLRQ  


 )RUDQ0+]WUDQVPLVVLRQWKHIUHTXHQF\GRPDLQVHTXHQFHRIWKHXSSHU0+]VHJPHQWIRU+(7%

 33'8VLVJLYHQE\(TXDWLRQ  


 HES ± ^ ± M  ± M  M  ± M  ± M  M  ± M  ± M ` ˜   j e 
 
 7KHYDOXHRIWKH+(67)VHTXHQFHDWHGJHWRQHLQGLFHV r  LVHES r  

 )RUDQ+(7%IHHGEDFN1'3LQWKHORZHU0+]VHJPHQWRIDQ0+]FKDQQHOZLGWKWKHIUHTXHQF\


 GRPDLQVHTXHQFHLVJLYHQE\(TXDWLRQ  

 )RUDQ+(7%IHHGEDFN1'3LQWKHXSSHU0+]VHJPHQWRIDQ0+]FKDQQHOZLGWKWKHIUHTXHQF\


GRPDLQVHTXHQFHLVJLYHQE\(TXDWLRQ  


 7%1'3
 HES ± ±  ^ ± M  ± M ` ˜   j e  LI58B721(B6(7B,1'(; d 
 7%1'3
 HES ± ±  ^ M  ± M ` ˜   j e  LI58B721(B6(7B,1'(; d 
 7%1'3
 HES  ^ ± M  M ` ˜   j e  LI58B721(B6(7B,1'(; d  
 7%1'3
 HES  ^ ± M  ± M ` ˜   j e  LI58B721(B6(7B,1'(; d 
 7%1'3
 HES r 


,ID0+]RSHUDWLQJQRQ$367$VHQGVDQ+(7%IHHGEDFN1'3UHSRUWUHVSRQVH VHH 1'3IHHG

 EDFNUHSRUWSURFHGXUH RQDFKDQQHOZLGWKJUHDWHUWKDQ0+]WKH+(67)VXEFDUULHUWKDWRYHUODSVWKH
 '&VXEFDUULHURIWKH0+]RSHUDWLQJQRQ$367$LVQRWWUDQVPLWWHG

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 )RU DQ 2)'0$ WUDQVPLVVLRQ WKH FRHIILFLHQWV LQ (TXDWLRQ   WR (TXDWLRQ   DUH VHW WR ]HUR LI
 WKRVHYDOXHVDUHFRUUHVSRQGLQJWRVXEFDUULHULQGLFHVWKDWIDOOZLWKLQ58VWKDWKDYHQRXVHUVDVVLJQHGWRWKHP


 7KHWLPHGRPDLQUHSUHVHQWDWLRQRIWKHVLJQDOIRUDQ+(33'8WKDWLVQRWDQ+(7%33'8RQIUHTXHQF\VHJ
 PHQWiSegDQGWUDQVPLWFKDLQiTXVKDOOEHDVVSHFLILHGLQ(TXDWLRQ  


N RU ± 
 i Seg i TX Dr Er


r +(67) t w T +(67)17 t ˜ ¦ 
N STS r total
 
 r 
N user r ±  N STS r u

§ iSeg HES k ˜ H[S jSk' F +( t ± T CS HE M r u  m ·
 ¦ K +(67) k ¦ ¦ © Qk i TX M r u  m ¹
 k  Kr u  m 


 ZKHUH
 Dr LVGHILQHGLQ 0DWKHPDWLFDOGHVFULSWLRQRIVLJQDOV
 Ș+(67)kLVDQ+(33'8IRUPDWGHSHQGHQWVFDOLQJIDFWRUGHILQHGE\

 ­  IRUDQ+((56833'8
 K +(67) k ®
 ¯  RWKHUZLVH


Er  LVWKHSHU58SRZHUQRUPDOL]DWLRQIDFWRUDQGGHILQHGE\
 N RU ± 
§ § ·
 Kr · ¨
Dr Kr ¸

 Er ¨ 
© K +(67)
 ¸ e
¹ ¨©
¦ ¸
 r r  ¹

 K r LVWKHFDUGLQDOLW\RIWKHVHWRIVXEFDUULHUVKrDVGHILQHGLQ 0DWKHPDWLFDOGHVFULSWLRQ

 RIVLJQDOV
 +(67)
 Kr LVWKHVHWRIVXEFDUULHUVWKDWKDYHQRQ]HURYDOXHVZLWKLQKrLQWKH+(67)ILHOG

 T CS +( M r u  m UHSUHVHQWV WKH F\FOLF VKLIW IRU VSDFHWLPH VWUHDP Mr,um DV GHILQHG LQ 

 &\FOLFVKLIWIRU+(PRGXODWHGILHOGV
 i
 Q k Seg LVGHILQHGLQ 0DWKHPDWLFDOGHVFULSWLRQRIVLJQDOV

 w T+(67)17 LVWKHZLQGRZLQJIXQFWLRQIRU+(67)ILHOGLQWKHQRQ+(7%33'8
 +(67) +(67)
 Kr LVWKHFDUGLQDOLW\RIWKHVHWRIVXEFDUULHUV K r
 NRUNSTS,r,totalNuser,rDQGNSTS,r,uDUHGHILQHGLQ )UHTXHQWO\XVHGSDUDPHWHUV


 7KHWLPHGRPDLQUHSUHVHQWDWLRQRIWKHVLJQDOIRUDQ+(7%33'8WUDQVPLWWHGE\XVHUuLQWKHr-WK58RQ
 IUHTXHQF\VHJPHQWiSegDQGWUDQVPLWFKDLQiTXVKDOOEHDVVSHFLILHGLQ(TXDWLRQ  


 i Seg i TX 
 r +(67) r u t  w T
+(67)7
t 
 +(67)
Kr N STS r total
 N STS r u
 § iSeg
 ¦ ¦ HES k ˜ H[S jSk' F +( t ± T CS HE M r u  m ·
© Q k u i TX m ¹
 k  Kr m 


 ZKHUH
 w T+(67)7 LVWKHZLQGRZLQJIXQFWLRQIRU+(67)ILHOGLQWKH+(7%33'8

 i
Seg
 Q k u LVGHILQHGLQ 0DWKHPDWLFDOGHVFULSWLRQRIVLJQDOV

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ,WLVUHFRPPHQGHGWKDWWKHVSDWLDOPDSSLQJPDWUL[DSSOLHGWR+(67)DQGEH\RQGLVFKRVHQVXFKWKDWLWSUH
 VHUYHVWKHVPRRWKQHVVRIWKHSK\VLFDOFKDQQHODFKLHYHGE\OLPLWLQJWKHYDULDWLRQRIHDFKHOHPHQW¶VUHDODQG


LPDJLQDU\YDOXHVLQWKHVSDWLDOPDSSLQJPDWUL[DFURVVVXFFHVVLYHWRQHVZLWKLQRQH58


 +(/7)

 7KH+(/7)ILHOGSURYLGHVDPHDQVIRUWKHUHFHLYHUWRHVWLPDWHWKH0,02FKDQQHOEHWZHHQWKHVHWRIFRQ

VWHOODWLRQPDSSHURXWSXWV RULI67%&LVDSSOLHGWKH67%&HQFRGHURXWSXWV DQGWKHUHFHLYHFKDLQV,QDQ 

 +(6833'8DQG+((56833'8WKHWUDQVPLWWHUSURYLGHVWUDLQLQJIRUNSTSVSDFHWLPHVWUHDPV VSDWLDO
 PDSSHULQSXWV XVHGIRUWKHWUDQVPLVVLRQRIWKH36'8,QDQ+(0833'8WKHWUDQVPLWWHUSURYLGHVWUDLQ
 LQJIRUNSTS,r,totalVSDFHWLPHVWUHDPVXVHGIRUWKHWUDQVPLVVLRQRIWKH36'8 V LQWKHrWK58,QDQ+(7%
 33'8WKHWUDQVPLWWHURIXVHUuLQWKHrWK58SURYLGHVWUDLQLQJIRUNSTS,r,uVSDFHWLPHVWUHDPVXVHGIRUWKH

WUDQVPLVVLRQRIWKH36'8)RUHDFKVXEFDUULHULQWKHrWK58WKH0,02FKDQQHOWKDWFDQEHHVWLPDWHGLVDQ 

 NRXîNSTS,r,totalPDWUL[$Q+(WUDQVPLVVLRQKDVDSUHDPEOHWKDWFRQWDLQV+(/7)V\PEROVZKHUHWKHGDWD
 WRQHVRIHDFK+(/7)V\PERODUHPXOWLSOLHGE\HQWULHVEHORQJLQJWRDPDWUL[P+(/7)WRHQDEOHFKDQQHO
 HVWLPDWLRQDWWKHUHFHLYHU:KHQVLQJOHVWUHDPSLORWLVXVHGLQ+(/7)WKHSLORWVXEFDUULHUVRIHDFK+(/7)
 V\PERODUHPXOWLSOLHGE\WKHHQWULHVRIDPDWUL[R+(/7)GHILQHGEHORZWRDOORZUHFHLYHUVWRWUDFNSKDVH

DQGRUIUHTXHQF\RIIVHWGXULQJ0,02FKDQQHOHVWLPDWLRQXVLQJWKH+(/7)6LQJOHVWUHDPSLORWVVKDOOEH

 XVHGLQWKH+(/7)ILHOGIRU68'/DQG8/2)'0$'/080,02DQGSDUWLDOEDQGZLGWK8/08
 0,02WUDQVPLVVLRQV6LQJOHVWUHDPSLORWVVKDOOEHXVHGLQWKH+(/7)ILHOGIRUDIXOOEDQGZLGWK8/08
 0,02WUDQVPLVVLRQLIVLQJOHVWUHDPSLORW+(/7)PRGHLVVHOHFWHG


,QDQ+(6833'8+((56833'8DQG+(0833'8ZLWKDVLQJOH58 WKH58KDYLQJDQ080,02 

 DOORFDWLRQRUDQ68DOORFDWLRQ WKHQXPEHURI+(/7)V\PEROVN+(/7)LVDIXQFWLRQRIWKHWRWDOQXPEHU
 RIVSDFHWLPHVWUHDPVNSTSDVVKRZQLQ7DEOH 1XPEHURI9+7/7)VUHTXLUHGIRUGLIIHUHQWQXPEHUV
 RIVSDFHWLPHVWUHDPV LQ 9+7/7)GHILQLWLRQ UHSODFLQJNVHT-LTFE\NHE-LTFDQGUHSODFLQJ
 NSTS,totalE\NSTS,QDQ+(7%33'8N+(/7)LVLQGLFDWHGLQWKH7ULJJHUIUDPHWKDWWULJJHUVWKHWUDQVPLV

VLRQRIWKH33'8,QDQ+(0833'8N+(/7)LVLQGLFDWHGLQWKH+(6,*$ILHOG,QDQ+(0833'8 

 ZLWKPRUHWKDQRQH58DQGLQDQ+(7%33'8N+(/7)PD\WDNHDYDOXHRUWKDWLVJUHDWHUWKDQ 
 RUHTXDOWRWKHPD[LPXPYDOXHRI WKH LQLWLDO QXPEHURI+(/7)V\PEROVIRUHDFK 58ZKHUHWKHLQLWLDO
 QXPEHURI+(/7)V\PEROVLVFDOFXODWHGDVDIXQFWLRQRINSTS,r,total ZKHUHrLVWKHLQGH[RIWKH58 EDVHG

 RQ7DEOH 1XPEHURI9+7/7)VUHTXLUHGIRUGLIIHUHQWQXPEHUVRIVSDFHWLPHVWUHDPV LQ 

9+7/7)GHILQLWLRQ ZLWKNVHT-LTFUHSODFHGE\NHE-LTF


 ,QDQRQ2)'0$+(7%33'8WKHQXPEHURI+(/7)V\PEROVNHE-LTFLVDIXQFWLRQRIWKHWRWDOQXP
 EHU RI VSDFHWLPH VWUHDPV NSTS DV VKRZQ LQ 7DEOH  1XPEHU RI 9+7/7)V UHTXLUHG IRU GLIIHUHQW
 QXPEHUVRIVSDFHWLPHVWUHDPV LQ 9+7/7)GHILQLWLRQ UHSODFLQJNVHT-LTFE\NHE-LTF)RUDQ

2)'0$+(7%33'8NHE-LTFPD\EHRUZKLFKLVJUHDWHUWKDQRUHTXDOWRWKHPD[LPXPYDOXH

 RIWKHLQLWLDOQXPEHURI+(/7)V\PEROVIRUHDFK58rZKLFKLVFDOFXODWHGDVDIXQFWLRQRINSTS,r,totalVHS
 DUDWHO\EDVHGRQ7DEOH 1XPEHURI9+7/7)VUHTXLUHGIRUGLIIHUHQWQXPEHUVRIVSDFHWLPHVWUHDPV 
 LQ 9+7/7)GHILQLWLRQ UHSODFLQJNVHT-LTFE\NHE-LTF


$Q+(33'8VXSSRUWV+(/7)W\SHV[+(/7)[+(/7)DQG[+(/7)7DEOH +(/7) 

 W\SH DQG *, GXUDWLRQ FRPELQDWLRQV IRU YDULRXV +( 33'8 IRUPDWV  GHILQHV ZKHWKHU D SDUWLFXODU +(/7)














&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 W\SHDQG*,GXUDWLRQFRPELQDWLRQLVPDQGDWRU\FRQGLWLRQDOPDQGDWRU\RURSWLRQDOIRUHDFK+(33'8IRU
 PDW



 7DEOH²+(/7)W\SHDQG*,GXUDWLRQFRPELQDWLRQVIRUYDULRXV+(33'8IRUPDWV


 +(/7)W\SH
+( +(7%
 DQG*, +(68 +(08 +((568 +(7%
VRXQGLQJ IHHGEDFN
 GXUDWLRQ 33'8 33'8 33'8 33'8
1'3 1'3
 FRPELQDWLRQ

 [+(/7) 2 1$ 2 1$ 1$ 1$
 —V*,
 [+(/7) 1$ 1$ 1$ &0 1$ 1$
 —V*,

 [+(/7) 0 0 0 1$ 0 1$
 —V*,

 [+(/7) 0 0 0 0 0 1$
 —V*,

 [+(/7) &0 &0 2 1$ 1$ 1$
 —V*,

 [+(/7) 0 0 0 0 2 0
 —V*,
 0 PDQGDWRU\
 &0 0DQGDWRU\LIWKH67$VXSSRUWV[+(/7)—V*,IRU+((56833'82WKHUZLVHRSWLRQDO
 &0 )RUDQ$3PDQGDWRU\IRUWUDQVPLVVLRQLIWKH$3VXSSRUWV[+(/7)—V*,IRU+((56833'8)RUD
 QRQ$367$PDQGDWRU\IRUUHFHSWLRQLIWKHQRQ$367$VXSSRUWV[+(/7)—V*,IRU+((56833'82WK
 HUZLVHRSWLRQDO
 &0 0DQGDWRU\IRUIXOOEDQGZLGWK8/080,02LIWKH67$VXSSRUWV8/080,022WKHUZLVHQRWVXS
 SRUWHG1$IRUSDUWLDOEDQGZLGWK8/080,02RU8/2)'0$
 2 RSWLRQDO
 1$ QRWVXSSRUWHGE\WKH33'8IRUPDW

 ,ID67$GRHVQRWVXSSRUWWUDQVPLVVLRQRUUHFHSWLRQRIDSDUWLFXODU33'8IRUPDWWKHQWKH0&02GHVLJQDWLRQLV
 QRWDSSOLFDEOHIRUWKHWUDQVPLVVLRQRUUHFHSWLRQUHVSHFWLYHO\RIWKDW33'8IRUPDW




 ,QDQ+(6833'8+(0833'8DQG+((56833'8WKHFRPELQDWLRQRI+(/7)W\SHDQG*,GXUD
 WLRQLVLQGLFDWHGLQ+(6,*$ILHOG,QDQ+(7%33'8WKHFRPELQDWLRQRI+(/7)W\SHDQG*,GXUDWLRQ 
 LVLQGLFDWHGLQWKH7ULJJHUIUDPHWKDWWULJJHUVWKHWUDQVPLVVLRQRIWKH33'8,IDQ+(33'8LVDQ+(VRXQG
 LQJ1'3WKHFRPELQDWLRQVRI+(/7)W\SHVDQG*,GXUDWLRQVDUHOLVWHGLQ 7UDQVPLWVSHFLILFDWLRQ 

 ,IDQ+(33'8LVDQ+(7%IHHGEDFN1'3WKHFRPELQDWLRQVRIW\SHVDQG*,GXUDWLRQVDUHOLVWHGLQ
 +(7%IHHGEDFN1'3 


 7KHGXUDWLRQRIHDFK+(/7)V\PEROH[FOXGLQJ*,LVT+(/7)GHILQHGLQ(TXDWLRQ  


 ­ T +(/7); LI[+(/7)
 °
 T +(/7) ® T +(/7); LI[+(/7) 
 °
 ¯ T +(/7); LI[+(/7)


 ZKHUHT+(/7);T+(/7);T+(/7);DUHGHILQHGLQ7DEOH 7LPLQJUHODWHGFRQVWDQWV 

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ,Q D 0+] WUDQVPLVVLRQ WKH [ +(/7) VHTXHQFH WUDQVPLWWHG RQ VXEFDUULHUV >± @ LV JLYHQ E\

 (TXDWLRQ  


 HELTF-122,122 
 ^±±±

±±±

 ±±±±
 ±±±±± 
 ±±
 ±±±±±±±

±±±±±

 ±±±±±`


,Q D  0+] WUDQVPLVVLRQ WKH [ +(/7) VHTXHQFH WUDQVPLWWHG RQ VXEFDUULHUV >± @ LV JLYHQ E\

 (TXDWLRQ  


HELTF-122,122 

 ^±±±±±±±±±
 ±±±±±
 ±±±±±±±±
 ±±±±±±±±±±
 
±±±±±

 ±±±±±
 ±±±±±±±±±
 ±±±±±±±
 ±±±±±±±±`


 ,Q D  0+] WUDQVPLVVLRQ WKH [ +(/7) VHTXHQFH WUDQVPLWWHG RQ VXEFDUULHUV >± @ LV JLYHQ E\
 (TXDWLRQ  


 HELTF-122,122 
 ^±±±±±±±±±±±±

±±±±±±±±±±

 ±±±±±±±±±±±±
 ±±±±±±±±±±±±±±±±±±
 ±±±±±±±±±±±±
 
±±±±±±±±±

±±±±±±±±±±±±

 ±±±±±±±±±±±±±±±±
 ±±±±±±±±±
 ±±±±±±±±±±
 ±±±±±±±±`














&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ,Q D  0+] WUDQVPLVVLRQ WKH [ +(/7) VHTXHQFH WUDQVPLWWHG RQ VXEFDUULHUV >± @ LV JLYHQ E\
 (TXDWLRQ  


 HELTF-244,244 
 ^±±

±±±±±

 ±±±
 ±
 ±±±
 ±±±±

±±±

 ±±±± 
 ±±±
 ±±±
 ±

±±±±±

 ±±±±±±
 ±±±±±
 ±±±±
 ±±`


 ,Q D  0+] WUDQVPLVVLRQ WKH [ +(/7) VHTXHQFH WUDQVPLWWHG RQ VXEFDUULHUV >± @ LV JLYHQ E\
 (TXDWLRQ  


 HELTF-244,244 
 ^±±±±±±±±±

±±±±±±±

 ±±±±±±±±±
 ±±±±±±
 ±±±±±±
 ±±±±

±±±±±±±±±±

 ±±±±±±
 ±±±±±±±±± 
 ±±±±±±±±±±
 ±±±±

±±±±±±±±±

 ±±±
 ±±±±±±±±±
 ±±±±±±±±±±
 ±±±±±±±

±±±±±±

 ±±±`













 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ,Q D  0+] WUDQVPLVVLRQ WKH [ +(/7) VHTXHQFH WUDQVPLWWHG RQ VXEFDUULHUV >± @ LV JLYHQ E\
 (TXDWLRQ  


 HELTF-244,244 
 ^±±±±±±±±±±±±±

±±±±±±±±±±±±±±±±

 ±±±±±±±±±
 ±±±±±±±±±±±±
 ±±±±±±±±±
 ±±±±±±±±±±±±±±±

±±±±±±±±±±±±±

 ±±±±±±±±±±±±±±
 ±±±±±±±±±±±±
 ±±±±±±±±±±
 ±±±±±±±±± 

±±±±±±±±±

 ±±±±±±±±±±±
 ±±±±±±±±±±±±±
 ±±±±±±±±±
 ±±±±±±±±±±±±±±

±±±±±±±±±±±±±±±

 ±±±±±±±±±±±±±±
 ±±±±±±±±±±±±±
 ±±±±±±±±±±±±±
 ±±±±±±±±

±±±±`



































&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ,QDQ0+]WUDQVPLVVLRQWKH[+(/7)VHTXHQFHWUDQVPLWWHGRQVXEFDUULHUV>±@LVJLYHQ E\

 (TXDWLRQ  


 HELTF-500,500 
 ^±±±

±±±±±

 ±±±±±±
 ±±±±±
 ±±±±±
 ±±

±±±±

 ±±±±±±
 ±±±±±
 ±±±
 ±±

±±

 ±±±±
 ±±±
 ±±±
 ±±±±±±
 
±±±

 ±±±±
 ±±
 ±±
 ±±±

±±±±±±

 ±±±±
 ±±±
 ±±±±
 ±±

±±±

 ±±
 ±±±±
 ±±
 ±±±±±

±±±±±

 `





















 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ,QDQ0+]WUDQVPLVVLRQWKH[+(/7)VHTXHQFHWUDQVPLWWHGRQVXEFDUULHUV>±@LVJLYHQ E\

 (TXDWLRQ  


 HELTF-500,500 
 ^±±±±±

±±±±±±±

 ±±±±±±
 ±±±±±±±±
 ±±±±±±±±±
 ±±±±±±±

±±±±±

 ±±±±±±±
 ±±±±±±±±
 ±±±±±±±
 ±±±±±

±±±±±±±

 ±±±±±±±±
 ±±±±±±
 ±±±±±±±±±
 ±±±±±±±

±±±±±±±±

 ±±±± 
 ±±±±±±
 ±±±±±±±
 ±±±±±±±

±±±±±±±

 ±±±±±
 ±±±±±±±±
 ±±±±±±±±
 ±±±±±±±

±±±±±±±

 ±±±±±±±±
 ±±±±±±
 ±±±±±
 ±±±±±±±±

±±±±±±±±

 ±±±±±±±±±
 ±±±±±±
 ±±±±±±±±
 ±±`


















&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ,QDQ0+]WUDQVPLVVLRQWKH[+(/7)VHTXHQFHWUDQVPLWWHGRQVXEFDUULHUV>±@LVJLYHQ E\

 (TXDWLRQ  


 HELTF-500,500 
 ^±±±±±±±±±±±

±±±±±±±±±±±

 ±±±±±±±±±
 ±±±±±±±±±±
 ±±±±±±±±±±
 ±±±±±±±±±±±

±±±±±±±±±±±±±

 ±±±±±±±±±±±
 ±±±±±±±
 ±±±±±±±±±
 ±±±±±±±±±±

±±±±±±±±±±±±±±±

 ±±±±±±±±±±±
 ±±±±±±±±±±±±±
 ±±±±±±±±±±±±±±±
 ±±±±±±±±

±±±±±±±±±±

 ±±±±±±±±±±±±±±±±
 ±±±±±±±
 ±±±±±±±±±
 ±±±±±±±±±±

±±±±±±±±±±±±± 

 ±±±±±±±±±±±±±
 ±±±±±±±±
 ±±±±±±±±±±±±±±±
 ±±±±±±±±±±±±±

±±±±±±±±±±±±

 ±±±±±±±±±±±±±±±±
 ±±±±±±±±±±±
 ±±±±±±±±±±±±±±
 ±±±±±±±±±±±

±±±±±±±±±±±±

 ±±±±±±±±±±±
 ±±±±±±±±±±±±±±±
 ±±±±±±±±±±±
 ±±±±±±

±±±±±±±±±±

 ±±±±±±±±±±±±±±±±
 ±±±±±±±±±±±±
 ±±±±±±±±±±±±±±±
 ±±±±±±±±

±±±±±±±±±±±±±

 ±±±±±±±±±±±±±
 ±±±±±`








 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ,QD0+]WUDQVPLVVLRQXVLQJD[+(/7)WKH[+(/7)VHTXHQFHLVJLYHQE\(TXDWLRQ  


 HELTF-1012,1012 
 ^LTF0+]BORZHUB[                        
 LTF0+]BXSSHUB[`


 ZKHUH

 LTF0+]BORZHUB[ ^LTF0+]BOHIWB[  LTF0+]BULJKWB[` VKDOO EH XVHGLQWKHORZHU0+] IUH
 TXHQF\VHJPHQW

 LTF0+]BXSSHUB[ ^LTF0+]BOHIWB[±LTF0+]BULJKWB[`VKDOOEHXVHGLQWKHXSSHU0+]IUH
 TXHQF\VHJPHQW
 LTF0+]BOHIWB[ ^±±±

 ±±±±±
 ±±±±±±
 ±±±±±±
 ±±±±±

 ±±±
 ±±±±±
 ±±±±±±±
 ±±±
 ±±

 ±±±
 ±±±±
 ±±
 ±±±±
 ±±±±±±`

 LTF0+]BULJKWB[ ^±±±
 ±±±±
 ±±

 ±±±
 ±±±±
 ±±±±±±
 ±±±
 ±±±±

 ±±±±
 ±±
 ±±±
 ±±±±
 ±±

 ±±±±±±
 ±±±±`


,QD0+]WUDQVPLVVLRQXVLQJD[+(/7)WKH[+(/7)VHTXHQFHLVJLYHQE\(TXDWLRQ  


 HELTF-1012,1012 ^LTF0+]BORZHUB[
 
 LTF0+]BXSSHUB[`


 ZKHUH
 LTF0+]BORZHUB[  ^LTF0+]BSDUWB[ LTF0+]BSDUWB[ LTF0+]BSDUWB[ LTF0+]BSDUWB[

 LTF0+]BSDUWB[`VKDOOEHXVHGLQWKHORZHU0+]IUHTXHQF\VHJPHQW

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 LTF0+]BXSSHUB[ ^LTF0+]BSDUWB[±LTF0+]BSDUWB[LTF0+]BSDUWB[LTF0+]BSDUWB[±
 LTF0+]BSDUWB[`VKDOOEHXVHGLQWKHXSSHU0+]IUHTXHQF\VHJPHQW

 LTF0+]BSDUWB[ ^±±±±±
 ±±±±±±±


±±±±±±±
 ±±±±±±±
 ±±±±±±±±±±
 ±±±±±±±
 ±±±±±±


±±±±±±±±±
 ±`
 LTF0+]BSDUWB[ ^±±±±±±±±
 ±±±±±±

 ±±±±±±
 ±±±±±±±
 ±±±±±±±±±
 ±±±±±±±±±
 ±±±±±±±

 ±±±±±±±±±
 `
 LTF0+]BSDUWB[ ^±±±±±


±`
 LTF0+]BSDUWB[ ^±±±±±
 ±±±±±±±±±
 ±±±±±

 ±±±±±±±±±
 ±±±±±±
 ±±±±±±±±
 ±±±±±±±±±±
 ±±±±±±±

 ±`
 LTF0+]BSDUWB[ ^±±±±±±±±
 ±±±±±±

±±±±±±±

 ±±±±±±±±
 ±±±±±±±±
 ±±±±±±±±±
 ±±±±±±

±±±±±±

 ±`

 ,QD0+]WUDQVPLVVLRQXVLQJD[+(/7)WKH[+(/7)VHTXHQFHLVJLYHQE\(TXDWLRQ  


 HELTF-1012,1012 ^LTF0+]BORZHUB[
 
LTF0+]BXSSHUB[`



ZKHUH

 LTF0+]BORZHUB[ ^LTF0+]BOHIWB[  LTF0+]BULJKWB[` VKDOO EH XVHGLQWKHORZHU0+] IUH
 TXHQF\VHJPHQW

LTF0+]BXSSHUB[ ^LTF0+]BOHIWB[±LTF0+]BULJKWB[`VKDOOEHXVHGLQWKHXSSHU0+]IUH

 TXHQF\VHJPHQW

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 LTF0+]BOHIWB[ ^±±±±±±±±±±


±±±±±±±±±±±±
 ±±±±±±±±±±±
 ±±±±±±±±±±±
 ±±±±±±±±

 ±±±±±±±±±±±±
 ±±±±±±±±±±±±±±±±±
 ±±±±±±±
 ±±±±±±±±±±±

 ±±±±±±±±±±±
 ±±±±±±±±±±±±±±
 ±±±±±±±±±±±
 ±±±±±±±±±±±±±±±±

 ±±±±±±±±±±±±±±±
 ±±±±±±±±±±
 ±±±±±±±±±±±±±

±±±±±±±±±±±±

 ±±±±±±±±±±
 ±±±±±±±±±
 ±±±±±±±±±±±±±±


±`
 LTF0+]BULJKWB[ ^±±±±±±±±±±±±

 ±±±±±±±±±
 ±±±±±±±±±±±±±±±±
 ±±±±±±±±±±±±±±

 ±±±±±±±±±±±±±±
 ±±±±±±±±±±±±±±±±±
 ±±±±±±±±±±±±
 ±±±±±±±±±±±±±±

 ±±±±±±±±±±±±±
 ±±±±±±±±±±±±±±
 ±±±±±±±±±±
 ±±±±±±±±±±±±±±±±±

 ±±±±±±±
 ±±±±±±±±±±±±
 ±±±±±±±±±±±±±±

±±±±±±±±±±±±±±

 ±±±±±±±±±±±±±±±±
 ±±±±±±±±±
 ±±±±±±±±±±±±±±


±±±±±±±±±±±±±±±
 ±`


 )RUDQ0+]WUDQVPLVVLRQXVLQJD[+(/7)WKHORZHU0+]IUHTXHQF\VHJPHQWVKDOOXVHWKH
 0+][+(/7)VHTXHQFHHELTF-500,500 LTF0+]BORZHUB[DQGWKHXSSHU0+]IUHTXHQF\VHJ
 PHQWVKDOOXVHWKH0+][+(/7)VHTXHQFHHELTF-500,500 LTF0+]BXSSHUB[


 )RUDQ0+]WUDQVPLVVLRQXVLQJD[+(/7)WKHORZHU0+]IUHTXHQF\VHJPHQWVKDOOXVHWKH

 0+][+(/7)VHTXHQFHHELTF-500,500 LTF0+]BORZHUB[DQGWKHXSSHU0+]IUHTXHQF\VHJ
 PHQWVKDOOXVHWKH0+][+(/7)VHTXHQFHHELTF-500,500 LTF0+]BXSSHUB[

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 )RUDQ0+]WUDQVPLVVLRQXVLQJD[+(/7)WKHORZHU0+]IUHTXHQF\VHJPHQWVKDOOXVHWKH
 0+][+(/7)VHTXHQFHHELTF-500,500 LTF0+]BORZHUB[DQGWKHXSSHU0+]IUHTXHQF\VHJ

 PHQWVKDOOXVHWKH0+][+(/7)VHTXHQFHHELTF-500,500 LTF0+]BXSSHUB[


 )RUDQ2)'0$WUDQVPLVVLRQWKHYDOXHVRI+(/7)VHTXHQFH GHILQHGLQ(TXDWLRQ  WR(TXDWLRQ 
   DUH VHW WR ]HUR LI WKH\ DUH DVVLJQHG WR VXEFDUULHUV ZLWKLQ 58V WKDW DUH QRW DOORFDWHG WR DQ\ XVHU VHH
  0DWKHPDWLFDOGHVFULSWLRQRIVLJQDOV 


 ,QDQ8/080,02WUDQVPLVVLRQXVLQJWKH+(PDVNHG+(/7)VHTXHQFHPRGHWKH+(/7)VHTXHQFH
 SHU IUHTXHQF\ VHJPHQW LV JHQHUDWHG E\ PDVNLQJ WKH QRQ]HUR HOHPHQWV LQ WKH FRPPRQ +(/7) VHTXHQFH

 UHSHDWHGO\ZLWKDGLVWLQFWRUWKRJRQDOFRGHDVGHILQHGE\(TXDWLRQ  


0DVN
 HELTF
k u m HELTF k ˜ P  u  
 M r u  m §© §© 
k · ·
 ± ¹ PRG¹  
N +(/7)7\SH


 ZKHUH

 HELTFkLVWKHYDOXHRIWKHFRPPRQ+(/7)VHTXHQFHRQVXEFDUULHUkJHQHUDWHGE\RQHRIWKHHTXDWLRQV

 IURP(TXDWLRQ  WR(TXDWLRQ  GHSHQGLQJRQWKHEDQGZLGWKDQGWKH+(/7)W\SH
 H[FOXGLQJWKH[+(/7)ZKLFKVKDOOQRWEHPDVNHG 

 P  u  LVGHILQHGLQ(TXDWLRQ 


 M r u  m LVWKHURZLQGH[RIWKH P  u  FRUUHVSRQGLQJWRVSDWLDOWLPHVWUHDPmRIXVHUuLQWKHrWK58



­  IRU[+(/7)
 N +(/7)7\SH ®
 ¯  IRU[+(/7)



,Q WKH +( 7% IHHGEDFN 1'3 QHLWKHU +( VLQJOH VWUHDP SLORW +(/7) PRGH QRU +( PDVNHG +(/7)


 VHTXHQFHPRGHLVDSSOLHGWRWKH+(/7)VHTXHQFH2QO\[+(/7)VKDOOEHXVHGLQWKH+(7%IHHGEDFN 
 1'37KH[+(/7)VHTXHQFHLVJHQHUDWHGE\(TXDWLRQ  



 7%B1'3 ­ HELTF k LIk  K WRQHB1'3u
HELTF k u ® 
 ¯  RWKHUZLVH



ZKHUH

 HELTFkLVWKHYDOXHRIWKHFRPPRQ+(/7)VHTXHQFHRQVXEFDUULHUkJHQHUDWHGE\RQHRIWKH[+(

 /7) HTXDWLRQV (TXDWLRQ   (TXDWLRQ   (TXDWLRQ   (TXDWLRQ  
 DFFRUGLQJWRWKHFKDQQHOEDQGZLGWK

 KWRQHB1'3uLVWKHVHWRIVXEFDUULHULQGLFHVIRUXVHUu DQGLVGHILQHGLQ7DEOH +(/7)VXEFDUULHU
 PDSSLQJIRUWKH+(7%IHHGEDFN1'3 DFFRUGLQJWRWKH58B721(B6(7B,1'(;DQG)(('

 %$&.B67$786


 7KHJHQHUDWLRQRIWKHWLPHGRPDLQ+(/7)V\PEROVSHUIUHTXHQF\VHJPHQWLQDQ+(6833'8+(08 
 33'8DQG+((56833'8LVVKRZQLQ)LJXUH *HQHUDWLRQRI+(/7)V\PEROVSHUIUHTXHQF\VHJ

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²+(/7)VXEFDUULHUPDSSLQJIRUWKH+(7%IHHGEDFN1'3


 0+] 0+] 0+]

 58B KWRQHB1'3uLI KWRQHB1'3uLI KWRQHB1'3uLI KWRQHB1'3uLI
 KWRQHB1'3uLI KWRQHB1'3uLI
721(B )(('%$&. )(('%$&. )(('%$&. )(('%$&.
 )(('%$&.B )(('%$&.B
6(7B B67$786LV B67$786LV B67$786LV B67$786LV
 67$786LV 67$786LV
,1'(;    

  8VH0+] 8VH0+] 8VH0+] 8VH0+] ±±± ±±±
 )((' )((' )((' )(('  
 %$&.B67$ %$&.B67$ %$&.B67$ %$&.B67$
  786  786  786  786  ±±± ±±±
 6XEFDUULHU 6XEFDUULHU 6XEFDUULHU 6XEFDUULHU  
 ,QGLFHV± ,QGLFHV± ,QGLFHV± ,QGLFHV±
  ±±± ±±±
  

  ±±± ±±±
  
  ±±± ±±±
  

  ±±± ±±±
  

  ±±± ±±±
  

  ±±± ±±±
  

  ±±± ±±±
  
  ±±± ±±±
  

  ±±± ±±±
  

  ±±± ±±±
  

  ±±± ±±±
  

  ±±± ±±±
  
  ±±± ±±±
  

  ±±± ±±±
  

  ±±± ±±±
  

  ±±± ±±±
  






&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²+(/7)VXEFDUULHUPDSSLQJIRUWKH+(7%IHHGEDFN1'3(continued)


 0+] 0+] 0+]

 58B KWRQHB1'3uLI KWRQHB1'3uLI KWRQHB1'3uLI KWRQHB1'3uLI
 KWRQHB1'3uLI KWRQHB1'3uLI
721(B )(('%$&. )(('%$&. )(('%$&. )(('%$&.
 )(('%$&.B )(('%$&.B
6(7B B67$786LV B67$786LV B67$786LV B67$786LV
 67$786LV 67$786LV
,1'(;    

  8VH0+] 8VH0+] 8VH0+] 8VH0+]
 )((' )((' )((' )(('
 %$&.B67$ %$&.B67$ %$&.B67$ %$&.B67$
 786  786  786  786 
 6XEFDUULHU 6XEFDUULHU 6XEFDUULHU 6XEFDUULHU
 ,QGLFHV± ,QGLFHV± ,QGLFHV ,QGLFHV

  8VH0+] 8VH0+]
 )((' )(('
 %$&.B67$ %$&.B67$
 786  786 
 6XEFDUULHU 6XEFDUULHU
 ,QGLFHV ,QGLFHV

  8VH0+] 8VH0+]
 )((' )(('
 %$&.B67$ %$&.B67$
 786  786 
 6XEFDUULHU 6XEFDUULHU
 ,QGLFHV ,QGLFHV

 7KH58B721(B6(7B,1'(;IRU0+]DQG0+]VKDOOXVHWKH0+]58B721(B6(7B,1'(;GHILQLWLRQ
 IRUWKHORZHUDQGXSSHU0+]7KH58B721(B6(7B,1'(;YDOXHVDUHPDSSHGWRWKHORZHU0+]DQGWKH
 58B721(B6(7B,1'(;YDOXHVDUHPDSSHGWRWKHXSSHU0+]


 k
PHQWLQDQ+(6833'8+(0833'8DQG+((56833'8 ZKHUH A +(/7) LVJLYHQE\(TXDWLRQ 

 




 ª¬ AHELTF
k
º¼
 n


 HELTFk ; ,')7






¬ªQHELTF ¼ºN STS r total


k




 &6'



,')7

 ;


 ª¬ AHELTF
k
º¼
 N STS r total  n


 )LJXUH²*HQHUDWLRQRI+(/7)V\PEROVSHUIUHTXHQF\VHJPHQWLQDQ+(6833'8

 +(0833'8DQG+((56833'8



 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KHJHQHUDWLRQRIWKHWLPHGRPDLQ+(/7)V\PEROVSHUIUHTXHQF\VHJPHQWLQDQ+(7%33'8LVVKRZQLQ

 )LJXUH *HQHUDWLRQRI+(/7)V\PEROVSHUIUHTXHQF\VHJPHQWLQDQ+(7%33'8IRUXVHUXRQ58


U 





¬ª AHELTF ¼º M r u n
k



 HELTFk ,')7



   
   
  &6'
 ª¬Qk u º¼N 
STS r u





,')7



 ª¬ AHELTF
k
º¼
M r  u  N sts  r  u  n


 )LJXUH²*HQHUDWLRQRI+(/7)V\PEROVSHUIUHTXHQF\VHJPHQWLQDQ+(7%33'8IRU

XVHUuRQ58r


 7KHJHQHUDWLRQRIWKHWLPHGRPDLQV\PERORID[+(/7)LVHTXLYDOHQWWRPRGXODWLQJHYHU\VXEFDUULHUV
 LQDQ2)'0V\PERORI—VH[FOXGLQJ*,DQGWKHQWUDQVPLWWLQJRQO\WKHILUVWóRIWKH2)'0V\PEROLQ
 WKHWLPHGRPDLQDVVKRZQLQ)LJXUH *HQHUDWLRQRI[+(/7)V\PEROVSHUIUHTXHQF\VHJPHQW 



 7UXQFDWHóRI ,QVHUW*,
$QDORJ
,')7 DQG
 WLPHV\PERO DQG5)
0RGXODWHHYHU\WRQHV

:LQGRZ

6SDWLDO0DSSLQJ

 &6'SHU 7UXQFDWHóRI ,QVHUW*,


$QDORJ
$+(/7)

,')7
 676 WLPHV\PERO DQG
DQG5)
:LQGRZ













&6'SHU 7UXQFDWHóRI ,QVHUW*,
 676
,')7
WLPHV\PERO DQG
$QDORJ
DQG5)
 :LQGRZ


 )LJXUH²*HQHUDWLRQRI[+(/7)V\PEROVSHUIUHTXHQF\VHJPHQW

 7KHJHQHUDWLRQRIWKHWLPHGRPDLQV\PERORID[+(/7)LVHTXLYDOHQWWRPRGXODWLQJHYHU\RWKHUVXEFDU
 ULHULQDQ2)'0V\PERORI—VH[FOXGLQJ*,DQGWKHQWUDQVPLWWLQJRQO\WKHILUVWKDOIRIWKH2)'0













&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 V\PEROLQWLPHGRPDLQDVVKRZQLQ)LJXUH *HQHUDWLRQRI[+(/7)V\PEROVSHUIUHTXHQF\VHJ
 PHQW 



 7UXQFDWHòRI ,QVHUW*,
$QDORJ
,')7 DQG
 0RGXODWHHYHU\WRQHV WLPHV\PERO
:LQGRZ
DQG5)


6SDWLDO0DSSLQJ
 &6'SHU 7UXQFDWHòRI ,QVHUW*,
$+(/7) ,')7 $QDORJ
 676 WLPHV\PERO DQG
DQG5)
:LQGRZ













&6'SHU 7UXQFDWHòRI ,QVHUW*,
 676
,')7
WLPHV\PERO DQG
$QDORJ
DQG5)
 :LQGRZ


 )LJXUH²*HQHUDWLRQRI[+(/7)V\PEROVSHUIUHTXHQF\VHJPHQW

k
 A +(/7) LVJLYHQE\(TXDWLRQ  


 ­ R +(/7) LIk  K 3LORW DQG+(VLQJOHVWUHDPSLORW+(/7)PRGHLVXVHG
k
 A +(/7) ® 
 ¯ P +(/7) RWKHUZLVH


 ZKHUH
 K3LORW LVWKHVHWRIVXEFDUULHULQGLFHVIRUWKHSLORWVXEFDUULHUVDVGHILQHGLQ 3LORWVXEFDUULHUV 

R+(/7)LVDN+(/7)îN+(/7)PDWUL[ZKRVHHOHPHQWVDUHGHILQHGLQ(TXDWLRQ  



 R +(/7) P +(/7)   d m n d N +(/7) 
m n  n


 P+(/7)LVGHILQHGLQ(TXDWLRQ  


 ­ P  u  N +(/7)  
 °

P +(/7) ® P  u  N +(/7)   
 °
¯ P  u  N +(/7)  


 ZKHUH P  u  LVGHILQHGLQ(TXDWLRQ   P  u  LVGHILQHGLQ(TXDWLRQ  DQG P  u  LVGHILQHGLQ

 (TXDWLRQ  


 ,IWKH[+(/7)LVXVHGIRUQRQ2)'0$8/080,02WKH+(QRSLORW+(/7)PRGHLVXVHG

 ,QDQ+(6833'8+(0833'8DQG+((56833'8WKHWLPHGRPDLQUHSUHVHQWDWLRQRIWKHZDYHIRUP 
 WUDQVPLWWHGRQIUHTXHQF\VHJPHQWiSegDQGWUDQVPLWFKDLQiTXVKDOOEHDVGHVFULEHGE\(TXDWLRQ  


 N +(/7) ±  N RU ± 
 i Seg i TX  Dr Kr
 r +(/7) t 
N RU ±  ¦ w T+(/7) t ± nT +(/7) ¦ 
+(/7)
 
  n  r  N STS r total K r
 ¦ Dr Kr
 r 
 N user r ±  N STS r u
§ iSeg ·
A +(/7) M  m  n   HELTF

k u m
k
 ¨ Qk ¸
 ¦ K +(/7) k ¦ ¦ ¨
i TX M r u  m r u
¸
 k  Kr u  m  ©  ˜ H[S jSk' F +( t ± nT +(/7)6<0 ± T GI +(/7) ± T CS +( M r u  m ¹


 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ,QDQ+(7%33'8WKHWLPHGRPDLQUHSUHVHQWDWLRQRIWKHZDYHIRUPRIXVHUuLQWKHrWK58WUDQVPLWWHGRQ

 IUHTXHQF\VHJPHQWiSegDQGWUDQVPLWFKDLQiTXVKDOOEHDVGHVFULEHGE\(TXDWLRQ  


 N +(/7) ± 
 i Seg i TX 

r +(/7) r u t 
+(/7) ¦ w T+(/7) t ± nT +(/7) 
 N STS r u K r n 
 N STS r u

§ i k HELTF

k u m ·
¨ u i TX m A +(/7) M r u  m  n  
Q kSeg ¸
 ¦ ¦ ¨ ¸
 k  Kr m  ©  ˜ H[S jSk' F +( t ± nT +(/7)6<0 ± T GI +(/7) ± T CS +( M r u  m ¹


 ,Q(TXDWLRQ  DQG(TXDWLRQ  WKHIROORZLQJQRWDWLRQVDUHXVHG
 Nuser,r LVWKHQXPEHURI+(0833'8UHFLSLHQWV VHH7DEOH )UHTXHQWO\XVHGSDUDPHWHUV LQ58r
 HELTF

k u m LVWKH+(/7)VHTXHQFHDSSOLHGRQVXEFDUULHUkIRUVSDWLDOVWUHDPmRIXVHUu


 ­
° HELTF 0DVN
k u m LI+(PDVNHG+(/7)VHTXHQFHPRGHLVXVHG
 °
 HELTF

k u m ® HELTF 7%B1'3 IRUDQ+(7%1'3UHSRUWUHVSRQVH


 ° k u
 ° HELTF k RWKHUZLVH
 ¯
 Dr LVGHILQHGLQ 0DWKHPDWLFDOGHVFULSWLRQRIVLJQDOV

Ș+(/7),kLVDQ+(33'8IRUPDWGHSHQGHQWVFDOLQJIDFWRUGHILQHGE\


­  IRUDQ+((56833'8
 K +(/7) k ®
 ¯  RWKHUZLVH

 N+(/7)LVWKHQXPEHURI2)'0V\PEROVLQWKH+(/7)ILHOG
 T CS +( M r u  m UHSUHVHQWV WKH F\FOLF VKLIW IRU VSDFHWLPH VWUHDP Mr,um DV GHILQHG LQ 


 &\FOLFVKLIWIRU+(PRGXODWHGILHOGV
 i Seg i Seg
 Q k DQG Q k u DUHGHILQHGLQ 0DWKHPDWLFDOGHVFULSWLRQRIVLJQDOV
 k
 A +(/7) LVGHILQHGLQ(TXDWLRQ 
 Mr,u LVJLYHQLQ7DEOH )UHTXHQWO\XVHGSDUDPHWHUV IRU+(6833'8+((56833'8DQG+( 

 0833'8)RUDQ+(7%33'8LWLVJLYHQLQWKH6WDUWLQJ6SDWLDO6WUHDPVXEILHOGLQWKH66 
 $OORFDWLRQ VXEILHOG RI 7ULJJHU IUDPH 8VHU LQIR ILHOG IRU u-WK XVHU LQ rWK RFFXSLHG 58 LQ
 )LJXUHH 66$OORFDWLRQVXEILHOGIRUPDW 
 Kr LV WKH VHW RI VXEFDUULHU LQGLFHV IRU WKH WRQHV LQ WKH 58 r DV GHILQHG LQ  0DWKHPDWLFDO

 GHVFULSWLRQRIVLJQDOV
 +(/7)
K r DQG K r DUHGHILQHGEHORZ(TXDWLRQ 

 +(/7)
Kr LVWKHFDUGLQDOLW\RIWKHVHWRIPRGXODWHGVXEFDUULHUVZLWKLQKrIRU+(/7)ILHOGDVGHILQHGLQ

  0DWKHPDWLFDOGHVFULSWLRQRIVLJQDOV
 2WKHU YDULDEOHV DUH GHILQHG EHORZ (TXDWLRQ   (TXDWLRQ   (TXDWLRQ   (TXDWLRQ  
 (TXDWLRQ  (TXDWLRQ  DQG(TXDWLRQ 


 'DWDILHOG

 *HQHUDO


7KHQXPEHURI2)'0V\PEROVLQWKH'DWDILHOGLVGHWHUPLQHGE\WKH/(1*7+ILHOGLQWKH/6,*ILHOG VHH

 (TXDWLRQ  WKHSUHDPEOHGXUDWLRQDQGWKHVHWWLQJVRIWKH*,+(/7)6L]H3UH)(&3DGGLQJ)DFWRU
 DQG3('LVDPELJXLW\ILHOGVLQWKH+(6,*$ILHOG VHH +(6,*$ IRUDQ+(6833'8+((5 

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 6833'8DQG+(0833'8RULQWKHVROLFLWLQJ7ULJJHULQJIUDPHIRUDQ+(7%33'8'DWDILHOG2)'0 
 V\PEROVLQDQ+(33'8VKDOOXVHD')7SHULRGRI—VDQGVXEFDUULHUVSDFLQJRIN+]$Q+( 

67$VKDOOVXSSRUW'DWDILHOG2)'0V\PEROVLQDQ+(33'8ZLWKJXDUGLQWHUYDOGXUDWLRQVRI—V—V

 DQG—V+(33'8VVKDOOKDYH+(VLQJOHVWUHDPSLORWLQWKH'DWDILHOG,Q8/080,02WUDQVPLVVLRQV
 DOOVWUHDPVXVHWKHVDPHSLORWVHTXHQFH


 ,I%&&HQFRGLQJLVXVHGWKH'DWDILHOGVKDOOFRQVLVWRIWKH6(59,&(ILHOGWKH36'8WKHSUH)(&3+< 
 SDGGLQJELWVWKHWDLOELWVDQGWKHSRVW)(&SDGGLQJELWV,I/'3&HQFRGLQJLVXVHGWKH'DWDILHOGVKDOOFRQ
 VLVWRIWKH6(59,&(ILHOGWKH36'8WKHSUH)(&3+<SDGGLQJELWVDQGWKHSRVW)(&SDGGLQJELWV1RWDLO
 ELWVDUHSUHVHQWLI/'3&HQFRGLQJLVXVHG


 7KH'DWDILHOGRIWKH+(33'8FRQWDLQVGDWDIRURQHRUPRUHXVHUV


 3UH)(&SDGGLQJSURFHVV



$WZRVWHSSDGGLQJSURFHVVLVDSSOLHGWRDQ+(33'8$SUH)(&SDGGLQJSURFHVVLQFOXGLQJERWKSUH)(&

 0$&DQGSUH)(&3+<SDGGLQJLVDSSOLHGEHIRUHFRQGXFWLQJ)(&FRGLQJDQGDSRVW)(&3+<SDGGLQJ
 SURFHVVLVDSSOLHGRQWKH)(&HQFRGHGELWV


 )RXUSUH)(&SDGGLQJERXQGDULHVSDUWLWLRQWKHODVWRQH LQWKHFDVHRIQRQ67%& RUWZR LQWKHFDVHRI
 67%& 2)'0V\PEROVRIDQ+(33'8LQWRIRXUV\PEROVHJPHQWV7KHSUH)(&SDGGLQJPD\SDGWRZDUG
 RQHRIWKHIRXUSRVVLEOHERXQGDULHV7KHIRXUSUH)(&SDGGLQJERXQGDULHVDUHUHSUHVHQWHGE\DSUH)(&
 SDGGLQJIDFWRUSDUDPHWHU


 )LJXUH +(33'8SDGGLQJSURFHVVLQWKHODVW2)'0V\PERO QRQ67%& LID  LOOXVWUDWHVWKHVH
 IRXUSRVVLEOHV\PEROVHJPHQWVLQWKHODVW2)'0V\PERORIDQRQ67%&FDVHDQGWKHJHQHUDOSDGGLQJSUR
 FHVVDVVXPLQJWKHGHVLUHGSUH)(&SDGGLQJERXQGDU\UHSUHVHQWHGE\WKHSUH)(&SDGGLQJIDFWRULV,Q

 WKHFDVHRI67%&WKH)(&RXWSXWELWVDQGSRVW)(&SDGGLQJELWVDUHPRGXODWHGLQWRWKHODVWWZR2)'0 
 V\PEROVE\67%&HQFRGLQJHDFKZLWKWKHVDPHSUH)(&SDGGLQJERXQGDU\


 ([FHVV 3UH)(&
 LQIRUPDWLRQELWV SDGGLQJELWV



 6FUDPEOHU


 )(&
 SRVW)(&SDGGLQJELWV


)(&RXWSXWELWV


%LWVWUHDPLQWKHODVW
 a 
2)'0V\PERO

 NCBPS.LASTELWV
 NCBPSELWV



)LJXUH²+(33'8SDGGLQJSURFHVVLQWKHODVW2)'0V\PERO QRQ67%& LIa 

 7KHSUH)(&SDGGLQJSURFHVVLVGHVFULEHGLQWKLVVXEFODXVHDQGWKHHQFRGLQJDQGSRVW)(&SDGGLQJSUR

FHVVDUHGHVFULEHGLQ &RGLQJ :KLOHWKLVVXEFODXVHGHVFULEHVWKHSUH)(&SDGGLQJSURFHVVLQJRI

 DQ68WUDQVPLVVLRQLWVH[WHQVLRQWR08WUDQVPLVVLRQLVGHVFULEHGLQ (QFRGLQJSURFHVVIRUDQ
 +(0833'8 DQG (QFRGLQJSURFHVVIRUDQ+(7%33'8 

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ,QDQ+(6833'8DQG+((56833'8WUDQVPLVVLRQWKHWUDQVPLWWHUILUVWFRPSXWHVWKHQXPEHURIELWV
 OHIWLQWKHODVW2)'0V\PERO V EDVHGRQ(TXDWLRQ  


 N Excess mod  ˜ $3(3B/(1*7+  N Tail  N service m STBC ˜ N DBPS 


 ZKHUH

 mSTBC LVLI67%&LVXVHGDQGRWKHUZLVH

 $3(3B/(1*7+LVWKH7;9(&725SDUDPHWHU$3(3B/(1*7+
 NTail LVWKHQXPEHURIWDLOELWVSHUHQFRGHUDVGHILQHGLQ7DEOH 7LPLQJUHODWHGFRQVWDQWV

 NserviceLVWKHQXPEHURIELWVLQWKH6(59,&(ILHOGDVGHILQHGLQ7DEOH 7LPLQJUHODWHGFRQVWDQWV

 NDBPS LVWKHQXPEHURIGDWDELWVSHUV\PERO


 %DVHGRQNExcessFRPSXWHWKHLQLWLDOQXPEHURIV\PEROVHJPHQWVLQWKHODVW2)'0V\PERO V LQLWLDOSUH
 )(&SDGGLQJIDFWRUYDOXHRUainitDVVKRZQLQ(TXDWLRQ  



 ­  LIN Excess 
°
 a init ® PLQ § N Excess 
 °   ·¹  RWKHUZLVH
© 
 ¯ m STBC ˜ N DBPS  short


 ZKHUH

 N DBPS short N CBPS short ˜ R LQZKLFKRLVWKHFRGLQJUDWHDQG

 N CBPS short N SD short ˜ N SS ˜ N BPSCS 


 7KHSDUDPHWHUNSD,shortYDOXHVIRUGLIIHUHQW58VL]HVDUHDVVKRZQLQ7DEOH 16'VKRUWYDOXHV 


 7DEOH²NSD,shortYDOXHV


 NSD,short

586L]H

 '&0  '&0 

 WRQH  
 WRQH  

 WRQH  

 WRQH  

 WRQH  

 WRQH  
 îWRQH  




 *LYHQWKHainitYDOXHVWKHLQLWLDOQXPEHURIGDWDELWVSHUV\PERODQGWKHLQLWLDOQXPEHURIFRGHGELWVSHU
 V\PEROLQWKHODVW2)'0V\PERO V DUHGHILQHGLQ(TXDWLRQ  

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU


 ­ a init N DBPS short LIa init  
N DBPS last init ®


¯ N DBPS LIa init  


 ­ a init N CBPS short LIa init  
 N CBPS last init ®
 ¯ N CBPS LIa init  

 )RU DQ +( 68 33'8 DQG +( (5 68 33'8 WKH QXPEHU RI SUH)(& SDG ELWV LV FDOFXODWHG XVLQJ


 (TXDWLRQ  

 N PAD 3UH)(& N SYMinit ± m STBC N DBPS  m STBC N DBPS last init 

 ±  ˜ $3(3B/(1*7+ ± N Tail ± N service

 ZKHUHNSYM,initLVWKHLQLWLDOQXPEHURIGDWD2)'0V\PEROVZLWK%&&RU/'3&HQFRGLQJLQDQ+(68

 33'8RU+((56833'8DVGHILQHGE\(TXDWLRQ  


  ˜ $3(3B/(1*7+  N Tail  N service
 N SYM init m STBC ˜ 
 
 m STBC N DBPS

 $PRQJWKHSUH)(&SDGGLQJELWVWKH0$&GHOLYHUVD36'8WKDWILOOVWKHDYDLODEOHRFWHWVLQWKH'DWDILHOG 

RIWKH+(33'8 VHH$03'8SDGGLQJIRU+(33'8VLQ $03'8SDGGLQJLQDQ+(6833'8

 +((56833'8DQG+(0833'8 DQG $03'8SDGGLQJLQDQ+(7%33'8 WRZDUGWKH
 GHVLUHGLQLWLDOSUH)(&SDGGLQJERXQGDU\UHSUHVHQWHGE\ainitYDOXHLQWKHODVW2)'0V\PERO V 7KHQXP
 EHURISUH)(&SDGELWVDGGHGE\0$&ZLOODOZD\VEHDPXOWLSOHRI7KH3+<WKHQGHWHUPLQHVWKHQXPEHU
 RIUHPDLQLQJSDGELWVWRDGGDQGDSSHQGVWKHPWRWKH36'87KHQXPEHURISUH)(&SDGELWVDGGHGE\3+< 

ZLOODOZD\VEHWR7KHSURFHGXUHLVGHILQHGLQ(TXDWLRQ  


 N PAD 3UH)(&
 N PAD 3UH)(&0$&  ˜
  
 N PAD 3UH)(&3+< N PAD 3UH)(& PRG


 6(59,&(ILHOG


7KH6(59,&(ILHOGRI+(33'8LVVKRZQLQ7DEOH 6(59,&(ILHOG 



 7DEOH²6(59,&(ILHOG


 %LWV )LHOG 'HVFULSWLRQ

 %% 6FUDPEOHU,QLWLDOL]DWLRQ 6HWWR

 %% 5HVHUYHG 6HWWR



 6FUDPEOHU

 7KH6(59,&(ILHOG36'8DQGSUH)(&3+<SDGGLQJRIWKH'DWDILHOGVKDOOEHVFUDPEOHGE\WKHVFUDP

EOHUGHILQHGLQ 3+<'$7$VFUDPEOHUDQGGHVFUDPEOHU 7KH&ODXVH 2UWKRJRQDOIUHTXHQF\

 GLYLVLRQ PXOWLSOH[LQJ 2)'0  3+< VSHFLILFDWLRQ  7;9(&725 SDUDPHWHUV &+B%$1':,'7+B,1B
 121B+7 DQG '<1B%$1':,'7+B,1B121B+7 DUH QRW SUHVHQW DQG WKHUHIRUH WKH LQLWLDO VWDWH RI WKH

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 VFUDPEOHULVVHWWRDQRQ]HURSVHXGRUDQGRPVHHG$GLIIHUHQWQRQ]HURSVHXGRUDQGRPVHHGPD\EHXVHGIRU
 HDFKXVHULQDQ+(0833'8


 &RGLQJ

 7KH'DWD ILHOGVKDOOEHHQFRGHGXVLQJHLWKHUWKHELQDU\FRQYROXWLRQDOFRGH %&& GHILQHGLQ  

%&&FRGLQJDQGSXQFWXULQJ RUWKHORZGHQVLW\SDULW\FKHFN /'3& FRGHGHILQHGLQ /'3& 

 FRGLQJ 7KHFRGLQJW\SHLVVHOHFWHGE\WKH&RGLQJILHOGLQ+(6,*$LQDQ+(6833'8RUDQ+((568 
 33'8RUWKH&RGLQJILHOGLQ+(6,*%SHUXVHUVXEILHOG V LQDQ+(0833'8RUWKH8/)(&&RGLQJ
 7\SH VXEILHOG LQ 8VHU ,QIR ILHOG LQ WKH FRUUHVSRQGLQJ 7ULJJHU IUDPH LQ WKH FDVH RI DQ +( 7% 33'8 DV
 GHILQHGLQ +(6,*$  +(6,*% DQG 7ULJJHUIUDPHIRUPDW UHVSHFWLYHO\


 :KHQFRQGXFWLQJ%&&)(&HQFRGLQJIRUDQ+(33'8WKHQXPEHURIHQFRGHUVLVDOZD\V

 /'3&LVWKHRQO\)(&FRGLQJVFKHPHLQWKH+(33'8'DWDILHOGIRUDDQGîWRQH58

/'3&LVWKHRQO\)(&FRGLQJVFKHPHLQWKH+(33'8'DWDILHOGIRU+(0&6VDQG6XSSRUWIRU

 %&&FRGLQJLVOLPLWHGWROHVVWKDQRUHTXDOWRIRXUVSDWLDOVWUHDPVDQG+(0&6VWR SHUXVHULQWKHFDVH
 RI080,02 DQGLVPDQGDWRU\ IRUERWKWUDQVPLWDQGUHFHLYH IRU58VL]HVOHVVWKDQRUHTXDOWRD
 WRQH587KH/'3&&RGLQJ,Q3D\ORDGVXEILHOGRIWKH+(&DSDELOLWLHVHOHPHQWLQGLFDWHVVXSSRUWIRUWKH
 WUDQVPLVVLRQDQGUHFHSWLRQRIWKH/'3&HQFRGHG33'8V6XSSRUWIRU/'3&FRGLQJ IRUERWKWUDQVPLWDQG 

UHFHLYH LVPDQGDWRU\IRU+(67$VGHFODULQJVXSSRUWIRUDWOHDVWRQHRI+(6833'8 

 EDQGZLGWKVIRU+(67$VGHFODULQJVXSSRUWIRUPRUHWKDQVSDWLDOVWUHDPVRUIRU+(67$VGHFODULQJVXS
 SRUWIRU+(0&6VDQGDFFRUGLQJWRWKH/'3&&RGLQJ,Q3D\ORDGVXEILHOGRIWKH+(&DSDELOLWLHVHOH
 PHQW DV GHILQHG LQ  +( &DSDELOLWLHV HOHPHQW  2WKHUZLVH VXSSRUW RI /'3& FRGLQJ IRU HLWKHU
 WUDQVPLWRUUHFHLYHLVRSWLRQDO


 %&&FRGLQJDQGSXQFWXULQJ

 7KHLQIRUPDWLRQELWVDQGSUH)(&SDGGLQJELWVRIXVHUuDUHHQFRGHGE\DUDWHR FRQYROXWLRQDOHQFRGHU

GHILQHGLQ &RQYROXWLRQDOHQFRGHU $IWHUHQFRGLQJWKHHQFRGHGGDWDLVSXQFWXUHGE\WKHPHWKRG

 GHILQHGLQ &RQYROXWLRQDOHQFRGHU  H[FHSWIRUUDWH WRDFKLHYHWKHUDWHVHOHFWHGE\WKHPRGXOD
 WLRQDQGFRGLQJVFKHPH,QWKHFDVHWKDWUDWHFRGLQJLVVHOHFWHGWKHSXQFWXULQJVFKHPHZLOOEHWKHVDPH
 DVGHVFULEHGLQ %LQDU\FRQYROXWLRQDOFRGLQJDQGSXQFWXULQJ 


 ,I '&0 LV XVHG ZLWK %36. PRGXODWLRQ LQ D WRQH RU WRQH 58 ZLWK NSS  WKHQ DIWHU HYHU\

 îNDBPSFRGHGELWVRQHSDGGLQJELWLVDGGHG7KHSDGGLQJELWPD\EHVHWWRDQ\YDOXH

 )RUDQ+(6833'8DQG+((56833'8ZLWK%&&HQFRGLQJ


 NSYM NSYM,init 

 DQG


 a ainit 

 ZKHUHNSYM,initLVGHILQHGLQ(TXDWLRQ  ainit LVGHILQHGLQ(TXDWLRQ  DQGaLVWKHSUH)(&SDG

GLQJIDFWRU


 7KHQXPEHURIGDWDELWVSHUV\PEROLQWKHODVW2)'0V\PERO V RIDQ+(6833'8RU+((56833'8LV
 NDBPS,last NDBPS,last,initZKHUHNDBPS,last,initLVGHILQHGLQ(TXDWLRQ  


 7KHQXPEHURIFRGHGELWVSHUV\PEROLQWKHODVW2)'0V\PERO V RIDQ+(6833'8RU+((56833'8

 LVNCBPS,last NCBPS,last,initZKHUHNCBPS,last,initLVGHILQHGLQ(TXDWLRQ  

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 /'3&FRGLQJ


 )RUDQ+(6833'8RU+((56833'8XVLQJ/'3&FRGLQJRQWKH'DWDILHOGWKH/'3&FRGLQJSURFHVV
 GHVFULEHGLQ /'3&FRGHV VKDOOEHXVHGZLWKWKHIROORZLQJPRGLILFDWLRQV)LUVWDOOELWVLQWKH
 'DWDILHOGLQFOXGLQJWKHVFUDPEOHG6(59,&(36'8DQGSUH)(&SDGELWVDUHHQFRGHG7KXVNpldIRU+( 
 33'8VVKDOOEHFRPSXWHGXVLQJ(TXDWLRQ  LQVWHDGRI(TXDWLRQ  


 N pld N SYM init ± m STBC N DBPS  m STBC N DBPS last init 



ZKHUHNSYM,initLVGHILQHGLQ(TXDWLRQ  

 )ROORZLQJWKHFDOFXODWLRQRINpldNavbitsVKDOOEHFRPSXWHGXVLQJ(TXDWLRQ  LQVWHDGRI(TXDWLRQ 
  


 N avbits N SYM init ± m STBC ˜ N CBPS  m STBC ˜ N CBPS last init 


 ,QDGGLWLRQLQVWHSG RI/'3&HQFRGLQJSURFHVVDVGHVFULEHGLQ /'3&33'8HQFRGLQJSUR
 FHVV LIWKHIROORZLQJFRQGLWLRQLVPHW

R
 N punc !  u N CW u L LDPC u  ± R $1' § N shrt   u N punc u · LVWUXH25LI
 ©  ± R¹


N punc !  u N CW u L LDPC u  ± R LVWUXH

 WKHQWKH/'3&([WUD6\PERO6HJPHQWILHOGRI+(6,*$VKDOOEHVHWWRNavbitsVKDOOEHLQFUHDVHGDFFRUG


LQJWRWKH(TXDWLRQ  LQVWHDGRI(TXDWLRQV  DQGNpuncVKDOOEHUHFRPSXWHGDVLQ(TXDWLRQ 
  


 ­ N avbits  m STBC ˜ N CBPS ± N CBPS short  LIa init 
 N avbits ® 
 ¯ N avbits  m STBC ˜ N CBPS short RWKHUZLVH

 DQGWKHQFRPSXWHWKHSUH)(&SDGGLQJIDFWRUaDQGNSYMXVLQJ(TXDWLRQ  


 ­ N SYM N SYM init  m STBC DQGa  LIa init 
 ® 
 ¯ N SYM N SYM init DQGa a init   RWKHUZLVH


 ,ILQVWHSG RI/'3&HQFRGLQJSURFHVVDVGHVFULEHGLQ /'3&33'8HQFRGLQJSURFHVV WKH
 DERYHPHQWLRQHGFRQGLWLRQLVQRWPHWWKHQWKH/'3&([WUD6\PERO6HJPHQWILHOGLQ+(6,*$VKDOOEHVHW
 WRDQG


 N SYM N SYMā  init
 
 a a init

 8VLQJWKHSUH)(&SDGGLQJIDFWRUaFRPSXWHWKHNCBPSRIWKHODVWV\PERODV


 ­ a ˜ N CBPS short LIa  
 N CBPS last ® 
 ¯ N CBPS LIa 


 7KHQXPEHURIGDWDELWVRIWKHODVWV\PEROLVFDOFXODWHGDVNDBPS,last NDBPS,last,init

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 /'3&FRGLQJXVHGLQ+(0833'8VVKDOODOVRIROORZWKHGHILQLWLRQVLQ /'3&FRGHV 5HIHUWR


  (QFRGLQJSURFHVVIRUDQ+(0833'8 IRUDGHVFULSWLRQRIWKH/'3&HQFRGLQJSURFHVVIRU

+(0833'8V


 3RVW)(&SDGGLQJ


 7KHQXPEHURISRVW)(&SDGGLQJELWVLQHDFKRIWKHODVWmSTBCV\PERO V LVFRPSXWHGE\

 NPAD,Post-FEC NCBPS±NCBPS,last 


 7KHODVWmSTBCV\PEROVVKDOOFRQVLVWRINCBPS,lastELWVIURPWKH)(&RXWSXWIROORZHGE\NPAD,Post-FECSRVW
 )(&SDGGLQJELWV7KHYDOXHVRIWKHSRVW)(&SDGGLQJELWVDUHQRWVSHFLILHGDQGDUHOHIWXSWRLPSOHPHQWD
 WLRQ


 (QFRGLQJSURFHVVIRUDQ+(0833'8

 )RUDQ+(0833'8DOOWKHXVHUVVKDOOXVHDFRPPRQSUH)(&SDGGLQJIDFWRUYDOXHDQGDFRPPRQNSYM


YDOXH7KHSDGGLQJSURFHVVLVGHVFULEHGDVIROORZV

 )LUVWFRPSXWHLQLWLDOSUH)(&SDGGLQJIDFWRUYDOXHainit,uIRUHDFKXVHUuXVLQJ(TXDWLRQ  DQGWKH
 LQLWLDOQXPEHURI2)'0V\PEROVNSYM,init,uIRUHDFKXVHUuXVLQJ(TXDWLRQ  $PRQJDOOWKHXVHUV


GHULYHWKHXVHULQGH[ZLWKWKHORQJHVWHQFRGHGSDFNHWGXUDWLRQDVLQ(TXDWLRQ  

 N ± m STBC a init u
 u PD[ DUJPD[ u user total N SYM init u ± m STBC  
 
 

 ZKHUH

 DUJPD[f x   ^ x x  >  N user total ±  @ š y  >  N user total ±  @ f y d f x `
 mSTBC LVWKHFRPPRQ67%&VHWWLQJDPRQJDOOWKHXVHUVDVGHVFULEHGLQ +(6,*$ 


 7KHQWKHFRPPRQainitDQGNSYM,initYDOXHVDPRQJDOOWKHXVHUVDUHGHULYHGE\(TXDWLRQ  


 N SYM init N SYM init uPD[
 
 a init a init uPD[


 &DOFXODWHHDFKXVHU¶VLQLWLDOQXPEHURIFRGHGELWVLQLWVODVWV\PERODVEHORZ


 ­ a init N DBPS short u LIa init  
 N DBPS last init u ®
 ¯ N DBPS u LIa init  
 
 ­ a init N CBPS short u LIa init  
 N CBPS last init u ®
 ¯ N CBPS u LIa init  



)RUHDFKXVHUZLWK/'3&HQFRGLQJWKHQXPEHURISUH)(&SDGGLQJELWVLVFRPSXWHGDVLQ(TXDWLRQ 
  


N PAD 3UH)(& u N SYM init ± m STBC N DBPS u  m STBC N DBPS last init u 

 ±  ˜ $3(3B/(1*7+ u ± N service

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 )RUHDFKXVHUZLWK/'3&HQFRGLQJWKHSDUDPHWHUVNpld,uDQGNavbits,uDUHFRPSXWHGXVLQJ(TXDWLRQ  
 DQG(TXDWLRQ  UHVSHFWLYHO\


 N pld u N SYM init ± m STBC N DBPS u  m STBC N DBPS last init u 


 N avbits u N SYM init ± m STBC N CBPS u  m STBC N CBPS last init u 

 )RUHDFKXVHUZLWK/'3&HQFRGLQJFRQWLQXH/'3&HQFRGLQJSURFHVVDVLQ /'3&33'8HQFRG

 LQJSURFHVV VWDUWLQJZLWKWKHSDUDPHWHUVNpld,uDQGNavbits,u,IWKHUHLVDWOHDVWRQHXVHUZLWK/'3&HQFRGLQJ
 IRUZKLFKVWHSG RIWKH/'3&HQFRGLQJSURFHVVLQ /'3&33'8HQFRGLQJSURFHVV PHHWVWKH
 IROORZLQJFRQGLWLRQ

Ru
 N punc u !  u N CW u u L LDPC u u  ± R u $1' § N shrt u   u N punc u u · LVWUXH25LI
 ©  ± R u¹

 N punc u !  u N CW u u L LDPC u u  ± R u LVWUXH
 ZKHUH Npunc,u NCW,u LLDPC,u DQG Nshrt,u DUH WKH /'3& HQFRGLQJ SDUDPHWHUV IRU XVHU u DV GHILQHG LQ

  /'3&33'8HQFRGLQJSURFHVV DQGRuLVWKHFRGLQJUDWHRIXVHUuWKHQWKH/'3&([WUD6\P
 ERO 6HJPHQW ILHOG LQ +(6,*$ VKDOO EH VHW WR  DQG DOO WKH XVHUV ZLWK /'3& HQFRGLQJ VKDOO LQFUHPHQW
 NavbitsDQGUHFRPSXWHGNpuncE\WKHIROORZLQJWZRHTXDWLRQVRQFH


 ­ N avbits u  m STBC ˜ N CBPS u ± N CBPS short u  LIa init 
 N avbits u ® 
 ¯ N avbits u  m STBC ˜ N CBPS short u RWKHUZLVH


 N punc u PD[  N CW u u L LDPC u ± N avbits u ± N shrt u 

 8SGDWHWKHFRPPRQSUH)(&SDGGLQJIDFWRUDQGNSYMYDOXHVIRUDOOXVHUVE\WKHIROORZLQJHTXDWLRQ


 ­ N SYM N SYM init  m STBC DQGa  LIa init 
 ® 
 ¯ N SYM N SYM init DQGa a init   RWKHUZLVH


 ,IQRQHRIWKHXVHUVZLWK/'3&HQFRGLQJLQVWHSG RI /'3&33'8HQFRGLQJSURFHVV PHHWWKH
 Ru ·
 FRQGLWLRQ N punc u !  u N CW u u L LDPC u u  ± R u  DQG § N shrt u   u N punc u u 
  DUH WUXH RU
©  ± R u¹

 N punc u !  u N CW u u L LDPC u u  ± R u  LV WUXH RU LI DOO WKH XVHUV LQ WKH +( 08 33'8 DUH %&&


 HQFRGHGWKHQWKH/'3&([WUD6\PERO6HJPHQWILHOGLQ+(6,*$VKDOOEHVHWWRDQGWKHFRPPRQSUH
 )(&SDGGLQJIDFWRUDQGNSYMYDOXHVIRUDOOXVHUVVKDOOEHXSGDWHGE\(TXDWLRQ  


 a a init N SYM N SYMā  init 


 )RUWKHXVHUVZLWK/'3&HQFRGLQJNDBPS,last,u NDBPS,last,init,u

 )RUWKHXVHUVZLWK%&&HQFRGLQJXSGDWHWKHNDBPSRIWKHODVWV\PERODV


 ­ a ˜ N DBPS short u LIa  
 N DBPS last u ® 
 ¯ N DBPS u LIa 


 )RUHDFKXVHUZLWKHLWKHU/'3&RU%&&HQFRGLQJXSGDWHWKHNCBPSRIWKHODVWV\PERODV

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU


 ­ a ˜ N CBPS short u LIa  
N CBPS last u ®


¯ N CBPS u LIa 


)RUWKHXVHUVZLWK%&&HQFRGLQJWKHQXPEHURISUH)(&SDGGLQJELWVLVVKRZQLQ(TXDWLRQ  


 N PAD 3UH)(& u N SYM ± m STBC N DBPS u  m STBC N DBPS last u 
 ±  ˜ $3(3B/(1*7+ u ± N Tail ± N service


 )RUHDFKXVHUZLWKHLWKHU/'3&RU%&&HQFRGLQJWKHQXPEHURISRVW)(&SDGGLQJELWVLQHDFKRIWKHODVW
 mSTBCV\PERO V LVFRPSXWHGDVLQ(TXDWLRQ  


 N PAD 3RVW)(& u N CBPS u ± N CBPS last u 

 $PRQJWKHSUH)(&SDGGLQJELWVWKH0$&GHOLYHUVD36'8WKDWILOOVWKHDYDLODEOHRFWHWVLQWKH'DWDILHOG 

 RIWKH+(33'8WRZDUGWKHGHVLUHGLQLWLDOSUH)(&SDGGLQJERXQGDU\UHSUHVHQWHGE\ainitIRUXVHUVHQFRGHG
 E\/'3&DQGWKHSUH)(&SDGGLQJERXQGDU\UHSUHVHQWHGE\aIRUXVHUVHQFRGHGE\%&&LQWKHODVW2)'0 
 V\PERO V 7KH3+<WKHQGHWHUPLQHVWKHQXPEHURISDGELWVWRDGGDQGDSSHQGVWKHPWRWKH36'87KH
 QXPEHURISUH)(&SDGELWVDGGHGE\3+<ZLOODOZD\VEHWR7KHSURFHGXUHLVGHILQHGLQ(TXDWLRQ 
  DQG(TXDWLRQ  


 N PAD 3UH)(& u
 N PAD 3UH)(& MAC u  ˜ 
 



 N PAD 3UH)(& PHY u N PAD 3UH)(& u PRG 


 (QFRGLQJSURFHVVIRUDQ+(7%33'8

 )RUDQ+(7%33'8VHQWLQUHVSRQVHWRD7ULJJHUIUDPHWKH$3LQGLFDWHVWKH8//HQJWK*,$QG+(/7)


7\SH1XPEHU2I+(/7)6\PEROV$QG0LGDPEOH3HULRGLFLW\3UH)(&3DGGLQJ)DFWRU8/67%&/'3& 

 ([WUD6\PERO6HJPHQW3('LVDPELJXLW\DQG'RSSOHUILHOGVLQWKH7ULJJHUIUDPH7KHFRPPRQYDOXHVTPE
 DQGNSYMDUHGHULYHGE\QRQ$367$VDVVKRZQLQ(TXDWLRQ  DQG(TXDWLRQ  

 127(²7KH$3PLJKWVHOHFWDQ\YDOXHIRUWKHSUH)(&SDGGLQJIDFWRUDQG/'3&([WUD6\PERO6HJPHQWILHOGVIRUWKH
 VROLFLWHG+(7%33'8UHJDUGOHVVRIWKHUHVSHFWLYHYDOXHVGHULYHGIURPWKHFDOFXODWLRQVGHVFULEHGLQWKH%&&RU/'3&

 HQFRGLQJSURFHVV

 )RUDQ+(7%33'8VHQWLQUHVSRQVHWRDIUDPHFRQWDLQLQJD756&RQWUROVXEILHOGWKHSDUDPHWHUVXVHGWR
 GHULYHWKHFRPPRQYDOXHVTPEDQGNSYMDUHGHVFULEHGLQ 7;9(&725SDUDPHWHUVIRU+(7% 


33'8UHVSRQVHWR756&RQWUROVXEILHOG 

 )RUDQ+(7%33'8ZLWK%&&HQFRGLQJIROORZWKH+(6833'8SDGGLQJDQGHQFRGLQJSURFHVVDVLQWUR
 GXFHGLQ 3UH)(&SDGGLQJSURFHVV  %&&FRGLQJDQGSXQFWXULQJ DQG

 3RVW)(&SDGGLQJ ZLWKLQLWLDOSDUDPHWHUVDVIROORZV

 ² ,IWKH7;9(&725SDUDPHWHU75,**(5B0(7+2'LV75,**(5B)5$0(WKHLQLWLDOSDUDPHWHUV
 DUHNSYM,init NSYMDQGainit aZKHUHaLVWKHSUH)(&SDGGLQJIDFWRULQGLFDWHGLQWKH3UH)(&


3DGGLQJ)DFWRUVXEILHOGRIWKH&RPPRQ,QIRILHOGLQWKH7ULJJHUIUDPHDQGNSYMLVWKHFRPPRQ 

 QXPEHURIGDWD2)'0V\PEROVGHULYHGIURPWKH8//HQJWK1XPEHU2I+(/7)6\PEROV$QG
 0LGDPEOH3HULRGLFLW\DQG'RSSOHUVXEILHOGVRIWKH&RPPRQ,QIRILHOGLQWKH7ULJJHUIUDPH

² ,I WKH 7;9(&725 SDUDPHWHU 75,**(5B0(7+2' LV 756 WKH LQLWLDO SDUDPHWHUV DUH

 NSYM,init FVALDQGainit ZKHUHFVALLVWKHYDOXHRIWKH8/'DWD6\PEROVVXEILHOGRIWKH
 756&RQWUROVXEILHOG

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 )RUDQ+(7%33'8ZLWK/'3&HQFRGLQJIROORZWKH+(6833'8SDGGLQJDQGHQFRGLQJSURFHVVDVLQWUR
 GXFHGLQ 3UH)(&SDGGLQJSURFHVV  /'3&FRGLQJ DQG 3RVW)(&SDG

GLQJ ZLWKWKHIROORZLQJH[FHSWLRQV

 ² ,I WKH 7;9(&725 SDUDPHWHU 75,**(5B0(7+2' LV 75,**(5B)5$0( DQG WKH /'3& ([WUD
 6\PERO6HJPHQWILHOGLQWKH7ULJJHUIUDPHLVVHWWKHLQLWLDOSDUDPHWHUVIROORZLQJ(TXDWLRQ 

  


 ­ a init  DQGN SYM init N SYM ± m STBC LIa 
 ® 
¯ a init a ± DQGN SYM init N SYM RWKHUZLVH


 ZKHUH mSTBC LV  LI WKH 7ULJJHU IUDPH LQGLFDWHV 67%& DQG  RWKHUZLVH 7KHQ FRQWLQXH ZLWK WKH


/'3&HQFRGLQJSURFHVVDVLQ /'3&33'8HQFRGLQJSURFHVV GXULQJZKLFKLQVWHSG 
 RI  /'3& 33'8 HQFRGLQJ SURFHVV  DOZD\V LQFUHPHQW Navbits DV LQ (TXDWLRQ  
 DQGDOZD\VUHFRPSXWHNpuncDVLQ(TXDWLRQ  

 ² ,I WKH 7;9(&725 SDUDPHWHU 75,**(5B0(7+2' LV 75,**(5B)5$0( DQG WKH /'3& ([WUD
 6\PERO 6HJPHQW ILHOG LQ WKH 7ULJJHU IUDPH LV  VHW LQLWLDO SDUDPHWHUV WR NSYM,init NSYM DQG

 ainit a7KHQFRQWLQXHZLWKWKH/'3&HQFRGLQJSURFHVVDVLQ /'3&33'8HQFRGLQJ
 SURFHVV GXULQJZKLFKLQVWHSG RI /'3&33'8HQFRGLQJSURFHVV NavbitsDQGNpunc

DUHQRWFKDQJHGDQGa ainit

 ² ,I WKH 7;9(&725 SDUDPHWHU 75,**(5B0(7+2' LV 756 WKHQ WKH SDUDPHWHU /'3&B(;75$B
 6<0%2/LVDQGLQLWLDOSDUDPHWHUVVHWWRNSYM,init FVALDQGainit ZKHUHFVALLVWKHYDOXH

 RIWKH8/'DWD6\PEROVVXEILHOGRIWKH756&RQWUROVXEILHOG7KHQFRQWLQXHZLWKWKH/'3&HQFRG
 LQJSURFHVVDVLQ /'3&33'8HQFRGLQJSURFHVV GXULQJZKLFKLQVWHSG RI
 /'3& 33'8 HQFRGLQJ SURFHVV  DOZD\V LQFUHPHQW Navbits DV LQ (TXDWLRQ   DQG DOZD\V
 UHFRPSXWHNpuncDVLQ(TXDWLRQ  


 6WUHDPSDUVHU

 $IWHUVFUDPEOLQJFRGLQJSXQFWXULQJDQGSRVW)(&SDGGLQJWKHGDWDELWVDUHSURFHVVHGLQJURXSVRINCBPS

 ELWV(DFKRIWKHVHJURXSVLVUHDUUDQJHGLQWRNSSEORFNVRINCBPSSELWV NSS,uEORFNVRINCBPSS,uELWVLQWKH
 FDVHRIDQ+(08WUDQVPLVVLRQ 7KLVRSHUDWLRQLVUHIHUUHGWRDV³VWUHDPSDUVLQJ´DQGLVGHVFULEHGLQWKLV
 VXEFODXVH


 7KHGHVFULSWLRQLVJLYHQLQWHUPVRIDQ68WUDQVPLVVLRQ)RU08WUDQVPLVVLRQVWKHUHDUUDQJHPHQWVDUHFDU
 ULHGRXWLQWKHVDPHZD\SHUXVHU



7KHQXPEHURIELWVDVVLJQHGWRDVLQJOHD[LV UHDORULPDJLQDU\ LQDFRQVWHOODWLRQSRLQWLQDVSDWLDOVWUHDPLV
 GHQRWHGE\(TXDWLRQ  



N BPSCS
s max   
 


7KHVXPRIWKHVHRYHUDOOVWUHDPVLV S N SS ˜ s 


 &RQVHFXWLYHEORFNVRIVELWVDUHDVVLJQHGWRGLIIHUHQWVSDWLDOVWUHDPVLQDURXQGURELQIDVKLRQ


 )RUWKHNCBPSELWVRIHDFK2)'0V\PEROSELWVIURPWKHRXWSXWRIWKHHQFRGHUDUHGLYLGHGDPRQJDOOVSD
 WLDOVWUHDPVsELWVSHUVWUHDP

 127(²)RUDOO58VL]HVWKHFRGHGELWVSHU2)'0V\PERODUHDOZD\VHYHQO\DOORFDWHGWRNSSVSDWLDOVWUHDPV

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KH IROORZLQJ HTXDWLRQV DUH DQ HTXLYDOHQW GHVFULSWLRQ WR WKH DERYH SURFHGXUH %LW i DW WKH RXWSXW RI WKH
 HQFRGHULVDVVLJQHGWRLQSXWELWkRIVSDWLDOVWUHDPiSSZKHUH

 i i SS ±  s  S ˜ k  kPRGs
 s

 i SS   } N SS

 i   } N CBPS ± 

 k   } N CBPSS ± 


 6HJPHQWSDUVHU


 7KHGHVFULSWLRQLQWKLVVXEFODXVHLVIRUDQ68WUDQVPLVVLRQ)RUDQ08WUDQVPLVVLRQVWKHUHDUUDQJHPHQWV
 DUHFDUULHGRXWLQWKHVDPHZD\EXWSHUXVHU


 )RUD0+]0+]0+]0+]DQG0+]WUDQVPLVVLRQZLWKD
 RUWRQH58WKHVHJPHQWSDUVHULVE\SDVVHGDQGWKHRXWSXWELWVDUHDVVSHFLILHGLQ(TXDWLRQ  


 y k l xk 


 ZKHUH
 xk LVELWkRIDEORFNRINCBPSSELWVk WRNCBPSS ±

 l LVWKHIUHTXHQF\VXEEORFNLQGH[DQGl IRUDDQGWRQH58

 yk,l LVELWkRIWKHIUHTXHQF\VXEEORFNl


)RUD0+]DQG0+]WUDQVPLVVLRQZLWKDîWRQH58WKHRXWSXWELWVRIHDFKVWUHDPSDUVHU

 DUHILUVWGLYLGHGLQWREORFNVRINCBPSSELWV NCBPSS,uELWVLQWKHFDVHRIDQ08WUDQVPLVVLRQ 7KHQHDFK

 EORFNLVIXUWKHUGLYLGHGLQWRWZRIUHTXHQF\VXEEORFNVRINCBPSSELWVDVVKRZQLQ(TXDWLRQ  


 y k l xm 


 N CBPSS
 m s ˜ k  l ˜ s  kPRGs  k   } 
± 
s 


 DQG

 xm LVELWmRIDEORFNRINCBPSSELWVDQGm «NCBPSS±
 l LVWKHIUHTXHQF\VXEEORFNLQGH[DQGl 

 yk,l LVELWkRIWKHIUHTXHQF\VXEEORFNl

 s LVGHILQHGLQ(TXDWLRQ 

 %&&LQWHUOHDYHUV


 )RUHDVHRIH[SODQDWLRQWKHRSHUDWLRQRIWKHLQWHUOHDYHULVGHVFULEHGRQO\IRUWKH68FDVH)RUXVHUuRIDQ 
 08WUDQVPLVVLRQWKHLQWHUOHDYHURSHUDWHVLQWKHVDPHZD\RQWKHRXWSXWELWVIRUWKHXVHUIURPWKHVWUHDP 

SDUVHUE\UHSODFLQJNSSNCBPSSNCBPSDQGNBPSCSZLWKNSS,uNCBPSS,uNCBPS,uDQGNBPSCS,uUHVSHF

 WLYHO\7KDWLVWKHRSHUDWLRQRIWKHLQWHUOHDYHULVWKHVDPHDVLIWKHWUDQVPLVVLRQZHUHDQ68RQHFRQVLVWLQJ
 RIELWVIURPRQO\WKDWXVHU

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KH %&& LQWHUOHDYHU RSHUDWLRQ LV VSHFLILHG LQ  %&& LQWHUOHDYHU  7KH LQWHUOHDYHU SDUDPHWHUV
 NCOLNROWDQGNROTIRUWKH'DWDILHOGGHSHQGRQWKH58VL]HDQGZKHWKHURUQRW'&0LVXVHGDQGDUH

GHILQHGLQWKH58VL]HFROXPQRI7DEOH %&&LQWHUOHDYHUSDUDPHWHUV 



 7DEOH²%&&LQWHUOHDYHUSDUDPHWHUV


 +(6,*
 58VL]H WRQHV $+(6,*
 '&0 3DUDPHWHU % WRQHV

     

 NCOL     

 1RWXVHG NROW îNBPSCS îNBPSCS îNBPSCS îNBPSCS îNBPSCS

 NROT     
 NCOL     

 8VHG NROW îNBPSCS î NBPSCS îNBPSCS îNBPSCS îNBPSCS

 NROT     



 7KHLQWHUOHDYHUSDUDPHWHUVNCOLDQGNROWIRUWKH+(6,*$DQG+(6,*%ILHOGVDUHGHILQHGLQWKH+(
 6,*$+(6,*%FROXPQRI7DEOH %&&LQWHUOHDYHUSDUDPHWHUV 

 127(²'&0LVQRWXVHGRQWKH+(6,*$ILHOG

 &RQVWHOODWLRQPDSSLQJ


7KHPDSSLQJEHWZHHQWKHLQSXWELWVRIWKHFRQVWHOODWLRQPDSSHUDQGFRPSOH[FRQVWHOODWLRQSRLQWVIRU%36.

 436.4$04$0DQG4$0LVGHILQHGLQ &RQVWHOODWLRQPDSSLQJ 

 )RU4$0WKHPDSSLQJRIWKHELWVDWWKHRXWSXWRIWKHVWUHDPSDUVHURUVHJPHQWSDUVHU LISUHVHQW WR 
 WKHFRPSOH[FRQVWHOODWLRQSRLQWVLVGHILQHGLQ)LJXUH &RQVWHOODWLRQELWHQFRGLQJIRU4$0 VW

TXDGUDQW  )LJXUH &RQVWHOODWLRQ ELW HQFRGLQJ IRU 4$0 QG TXDGUDQW  )LJXUH &RQ
























 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 VWHOODWLRQ ELW HQFRGLQJ IRU 4$0 UG TXDGUDQW  DQG )LJXUH &RQVWHOODWLRQ ELW HQFRGLQJ IRU
 4$0 WKTXDGUDQW 




























 )LJXUH²&RQVWHOODWLRQELWHQFRGLQJIRU4$0 VWTXDGUDQW




























 )LJXUH²&RQVWHOODWLRQELWHQFRGLQJIRU4$0 QGTXDGUDQW






&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU





























 )LJXUH²&RQVWHOODWLRQELWHQFRGLQJIRU4$0 UGTXDGUDQW































 )LJXUH²&RQVWHOODWLRQELWHQFRGLQJIRU4$0 WKTXDGUDQW

 7KH ELW VWULQJ FRQYHQWLRQ LQ )LJXUH &RQVWHOODWLRQ ELW HQFRGLQJ IRU 4$0 VW TXDGUDQW 
 )LJXUH &RQVWHOODWLRQ ELW HQFRGLQJ IRU 4$0 QG TXDGUDQW  )LJXUH &RQVWHOODWLRQ ELW


 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 HQFRGLQJIRU4$0 UGTXDGUDQW DQG)LJXUH &RQVWHOODWLRQELWHQFRGLQJIRU4$0 WK



 TXDGUDQW IROORZVWKHELWVWULQJFRQYHQWLRQRXWOLQHGLQ


 7KHQRUPDOL]DWLRQIDFWRUKmodIRU4$0LV  e  

 '&0LVDQRSWLRQDOPRGXODWLRQVFKHPHIRUWKH+(6,*%DQG'DWDILHOGV'&0FDQEHDSSOLHGWRDQ+( 

 6833'8DQGDQ+((56833'8,QDQ+(0833'8RU+(7%33'8'&0FDQEHDSSOLHGWRDQ58 
 FRQWDLQLQJGDWDIRURQHXVHUEXWFDQQRWEHDSSOLHGWRDQ58FRQWDLQLQJGDWDIRUPRUHWKDQRQHXVHU

 '&0LVDSSOLFDEOHWRRQO\+(0&6VDQG'&0LVDSSOLFDEOHWRRQO\NSS RUNSS  LQWKH

 FDVHRIVLQJOHXVHU58LQDQ+(0833'8NSS,r,u RUNSS,r,u  '&0LVQRWDSSOLFDEOH ZLWK08
 0,02RUZLWK67%&



,I'&0LVHPSOR\HGELWVHTXHQFHVDUHPDSSHGWRDSDLURIV\PEROV d
k d
q k ZKHUHkLVLQWKHUDQJHRI
  d k d N SD ±  DQG q k LVLQWKHUDQJHRI N SD d q k d N SD ±  LQRUGHUWRH[SORLWIUHTXHQF\GLYHUVLW\


 IRUDWRQHRUVPDOOHU58DQG  d k d N SD e  ±  DQG q k LVLQWKHUDQJHRIN SD e  d q k d N SD ± 
 IRU D îWRQH 58 7R PD[LPL]H WKH IUHTXHQF\ GLYHUVLW\ WKH LQGLFHV RI D SDLU RI '&0 VXEFDUULHUV

 k q k LV q k k  N SD IRUDWRQHRUVPDOOHU58DQG q k k  N SD e  IRUDîWRQH58
 7KHNSDKHUHUHIHUVWRWKHNSDZLWK'&0 ZKLFKLVKDOIWKHYDOXHRINSDZLWK'&0 


 )RU %36. PRGXODWLRQ ZLWK '&0 WKH LQSXW VWUHDP LV EURNHQ LQWR JURXSV RI NCBPS RU NCBPS,u ELWV

 B  B  } B NCBPS u ±  (DFKELWBkLV%36.PRGXODWHGWRDVDPSOH d
k 7KLVJHQHUDWHVWKHVDPSOHVIRUWKH
 ORZHU KDOI RI WKH GDWD VXEFDUULHUV )RU WKH XSSHU KDOI RI WKH VXEFDUULHUV WKH VDPSOHV DUH JHQHUDWHG DV
 j k  N SD S
 d
k  NSD d
k u e k   } N SD ±  7KHNSDKHUHUHIHUVWRWKHNSDZLWK'&0 ZKLFKLV

 KDOIWKHYDOXHRINSDZLWK'&0 



)RU 436. PRGXODWLRQ ZLWK '&0 WKH LQSXW VWUHDP LV EURNHQ LQWR JURXSV RI NCBPS RU NCBPS,u ELWV
 B  B  } B NCBPS u ±  (DFKSDLURIELWV B k B k   LV436.PRGXODWHGWRDV\PERO d
k 7KLVJHQHUDWHV

 WKHFRQVWHOODWLRQSRLQWVIRUWKHORZHUKDOIWKHGDWDVXEFDUULHUVLQWKH58)RUWKHXSSHUKDOIRIWKHGDWDVXE
 FDUULHUVLQWKH58 d
k  NSD conj d
k ZKHUHconj UHSUHVHQWVWKHFRPSOH[FRQMXJDWHRSHUDWLRQ7KHNSD

 KHUHUHIHUVWRWKHNSDZLWK'&0 ZKLFKLVKDOIWKHYDOXHRINSDZLWK'&0 


)RU 4$0 PRGXODWLRQ ZLWK '&0 WKH LQSXW VWUHDP LV EURNHQ LQWR JURXSV RI NCBPS RU NCBPS,u ELWV

 B  B  } B NCBPS u ±  $JURXSRIELWV B4k, B4k+1, B4k+2, B4k+3 LV4$0PRGXODWHGWRDVDPSOH d
k

 DVGHVFULEHGLQ 6XEFDUULHUPRGXODWLRQPDSSLQJ 7KLVLVWKHVDPSOHRQVXEFDUULHUkLQWKHORZHU
 KDOI,QWKHXSSHUKDOIWKHVDPSOH d
k  NSD RQVXEFDUULHUk + NSDLVREWDLQHGE\4$0PRGXODWLQJDSHU

 PXWDWLRQRIWKHELWV B4k, B4k+1, B4k+2, B4k+3 6SHFLILFDOO\ d
k  NSD LVREWDLQHGE\DSSO\LQJWKH4$0


 PRGXODWLRQSURFHGXUHLQWRWKHELWJURXS B4k+1B4kB4k+3B4k+2 7KHNSDKHUHUHIHUVWRWKHNSD
 ZLWK'&0 ZKLFKLVKDOIWKHYDOXHRINSDZLWK'&0 


 /'3&WRQHPDSSHU

 7KH/'3&WRQHPDSSLQJVKDOOEHSHUIRUPHGRQDOO/'3&HQFRGHGVWUHDPVPDSSHGLQDQ58DVGHVFULEHGLQ 

WKLVVXEFODXVH/'3&WRQHPDSSLQJVKDOOQRWEHSHUIRUPHGRQVWUHDPVWKDWDUHHQFRGHGXVLQJ%&&,I'&0 

 LVDSSOLHGWR/'3&HQFRGHGVWUHDPVD70B'&0VKDOOEHDSSOLHGRQERWKWKHORZHUKDOIGDWDVXEFDUULHUVLQDQ
 58DQGWKHXSSHUKDOIGDWDVXEFDUULHUVRIWKH587KH/'3&WRQHPDSSLQJGLVWDQFHSDUDPHWHUVDTMDQG 

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 DTM_DCM DUH FRQVWDQW IRU HDFK 58 VL]H DQG WKH YDOXHV IRU GLIIHUHQW 58 VL]HV DUH JLYHQ LQ 7DEOH

 /'3&WRQHPDSSLQJGLVWDQFHIRUHDFK58VL]H 



 7DEOH²/'3&WRQHPDSSLQJGLVWDQFHIRUHDFK58VL]H


 586L]H WRQHV
 3DUDPHWHU
       î

 DTM       

 DTM_DCM       



 127(²7KH/'3&WRQHPDSSLQJSDUDPHWHUVDTMDQGDTM_DCMDUHDSSOLHGIRUHDFKIUHTXHQF\VXEEORFNl DQG
 l 

 )RUDQ+(33'8ZLWKRXW'&0WKH/'3&WRQHPDSSLQJIRUWKH/'3&HQFRGHGVWUHDPIRUXVHUuLQWKHrWK 
 58 LV GRQH E\ SHUPXWLQJ WKH VWUHDP RI FRPSOH[ QXPEHUV JHQHUDWHG E\ WKH FRQVWHOODWLRQ PDSSHUV VHH
  &RQVWHOODWLRQPDSSLQJ DVGHILQHGE\(TXDWLRQ  


 d

t k  i n l r u d
k i n l r u 


 ZKHUH

 ­   } N SD ±  IRUDDQGWRQH58
 k ®
 ¯   } N SD e  ±  IRUDîWRQH58

i  } N SS r u

 n   } N SYM ± 


 ­ IRUDDQGWRQH58
l ®
 ¯  IRUDîWRQH58

 u  } N user r ± 

 r  } N RU ± 

 NSDLVWKHQXPEHURIGDWDWRQHVLQWKHrWK58

 ­ N SD · ˜ D TM
§
° D TM © kPRG   k  IRUDDQGWRQH58
 D ¹ N SD
 ° TM
t k ®
 ° N SD e · ˜ D TM
 §   k
° D TM © kPRG   IRUDîWRQH58
D TM ¹ N SD e 
 ¯


 )RU DQ +( 33'8 ZLWK '&0 DSSOLHG WR WKH 'DWD ILHOG WKH /'3& WRQH PDSSLQJ IRU WKH /'3& HQFRGHG

 VWUHDPFRUUHVSRQGLQJWRXVHUuLQWKHrWK58LVGRQHE\SHUPXWLQJWKHVWUHDPRIFRPSOH[QXPEHUVJHQHU
 DWHGE\WKHFRQVWHOODWLRQPDSSHUV VHH &RQVWHOODWLRQPDSSLQJ DVGHILQHGE\(TXDWLRQ  


 d

t k  i n l r u d
k i n l r u 


 ZKHUH

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU


 ­   } N SD ±  IRUDDQGWRQH58
k ®
 ¯   } N SD ±  IRUDîWRQH58

 i  } N SS r u

 n   } N SYM ± 



­ IRUDDQGWRQH58
l ®
 ¯  IRUDîWRQH58

 u  } N user r ± 

 r  } N RU ± 

 NSDLVWKHQXPEHURIGDWDWRQHVLQWKHrWK58LI'&0LVDSSOLHG
 )RUDDQGWRQH58

 ­ N SD · ˜ D TMBDCM
 §   k
° D TMBDCM © kPRG    IRUk  N SD
D ¹ N SD
 ° TMBDCM
 t k ®
° § N SD · k ± N SD ˜ D TMBDCM

 ° D TMBDCM © k ± N SD PRG 
D TMBDCM¹
  N SD IRUk t N SD
  
¯ N SD

 )RUDîWRQH58

 ­ N SD e  · ˜ D TMBDCM

§   k
° D TMBDCM © kPRG    IRU d k  N SD e 
D ¹ N SD e 
 ° TMBDCM
 t k ®
N SD e  ·
 ° §
° D TMBDCM © k ± N SD e  PRG    
k ± N SD e  ˜ D TMBDCM
  N SD e  IRUN SD e  d k  N SD
 D TMBDCM¹ N SD e 
¯

 DTM_DCMLVWKH/'3&WRQHPDSSLQJGLVWDQFHIRUWKHrWK58LI'&0LVDSSOLHG

 127(²/'3&WRQHPDSSHUIRUDDQGWRQH58LVGHILQHGDVRQHVHJPHQW/'3&WRQH
 PDSSLQJLVSHUIRUPHGVHSDUDWHO\IRUWKHXSSHUDQGORZHU0+]IUHTXHQF\VHJPHQWVRIDîWRQH58DVLQGLFDWHG

 E\WKHIUHTXHQF\VXEEORFNLQGH[O


 6LQFH /'3& WRQH PDSSLQJ LV QRW SHUIRUPHG RQ %&& FRGHG VWUHDPV IRU %&& FRGHG VSDWLDO VWUHDPV
 (TXDWLRQ  DSSOLHV


 d

k i n l r u d
k i n l r u 

 ZKHUH

 ­   } N SD ±  IRUDDQGWRQH58
 k ®
 ¯   } N SD e  ±  IRUDîWRQH58

 i  } N SS r u

 n   } N SYM ± 

 ­ IRUDDQGWRQH58
 l ®
 ¯  IRUDîWRQH58

 u  } N user r ± 

 r  } N RU ± 

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 6HJPHQWGHSDUVHU

 i
)RUDDQGWRQH58WKHVHJPHQWGHSDUVLQJLVQRWSHUIRUPHGDQG d kSeg
i n r u LV


 VSHFLILHGLQ(TXDWLRQ  

 i Seg
 d k i n r u d

k i n  r u LI d k d N SD ±  i Seg  



 )RUDîWRQH58LQD0+]+(33'8WKHWZRIUHTXHQF\VXEEORFNVDWWKHRXWSXWRIWKH/'3&WRQH
 PDSSHUDUHFRPELQHGLQWRRQHIUHTXHQF\VHJPHQWDVVSHFLILHGLQ(TXDWLRQ  



­ N SD
 ° d

k i n  r u LI d k d  ± 
 i ° 
 d kSeg
i n r u ®  i Seg  
N SD
 ° d

 LI 
 d k d N ± 
 ° k ± 
N SD
 i n l r u  SD

 ¯ 

 i
 )RUDîWRQH58LQDQ0+]+(33'8WKHVHJPHQWGHSDUVLQJLVQRWSHUIRUPHGDQG d kSeg
i n r u LV

 VSHFLILHGLQ(TXDWLRQ  


 i
d kSeg
i n r u d

k i n i Seg r u LI d k d N SD ±  i Seg   




 127(²$VSHU7DEOH FHQWHUIUHTXHQF\IRUIUHTXHQF\VHJPHQWL6HJ   f c LVDOZD\VOHVVWKDQ f c LQWKHFDVHRI
 DQ0+]+(33'8+HQFH d

k i n  r u  IUHTXHQF\VXEEORFN LVDOZD\VWUDQVPLWWHGLQWKHIUHTXHQF\VHJPHQW
 ORZHULQIUHTXHQF\ZKLOH d

k i n  r u  IUHTXHQF\VXEEORFN LVDOZD\VWUDQVPLWWHGLQWKHIUHTXHQF\VHJPHQWKLJKHULQ

 IUHTXHQF\

 6SDFHWLPHEORFNFRGLQJ


 )RUDQ+(33'867%&LVDSSOLHGRQO\ZLWKVSDWLDOVWUHDPDQGRQO\LI'&0LVQRWDSSOLHG,WVDSSOLFDWLRQ
 LVLQGLFDWHGE\WKH67%&ILHOGLQ+(6,*$,QDQ+(0833'867%&FRGLQJLVXVHGLQDOO58VRUQRW
 XVHGLQDQ\RIWKH58V,IDQ\58LQDQ+(0833'8XVHV'/080,0267%&VKDOOQRWEHXVHGLQDQ\ 
 58LQWKH+(0833'8

 7KH 67%& HQFRGLQJ SURFHVV LV GHVFULEHG LQ  6SDFHWLPH EORFN FRGLQJ  ZLWK NSS  DQG
 NSTS,0 























 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 3LORWVXEFDUULHUV


)RUDXVHUWUDQVPLWWLQJRQWKHiWKWRQH58LQDJLYHQ33'8%:WZRSLORWVXEFDUULHUVVKDOOEHLQVHUWHG 

 LQVXEFDUULHUV k  K R i ZKHUH K R i LVJLYHQE\WKHiWKSLORWLQGH[VHWLQWKHURZRIJLYHQ33'8%:RI
 7DEOH 3LORWLQGLFHVIRUDWRQH58 


 7DEOH²3LORWLQGLFHVIRUDWRQH58


 33'8%: K R i

 0+]i  ^`^`^`^`^`^`^`^
 `^`

 0+]i  ^`^`^`^`^`^`
 ^`^`^`^`^`^`^`^`
 ^`^`^`^`

 0+]i  ^`^`^`^`^`^`
 ^`^`^`^`^`^`
 ^`^`^`^`^`^`^
 `^`^`^`^`^`^`^`^
 `^`^`^`^`^`^`^`
 ^`^`^`

 0+]i  ^SLORWVXEFDUULHULQGLFHVLQ0+]SLORWVXEFDUULHULQGLFHVLQ0+]`


 k
 7KHSLORWPDSSLQJ P n IRUWKHVXEFDUULHUkIRUV\PEROnVKDOOEHDVVSHFLILHGLQ(TXDWLRQ  

 K R
^ < nPRG < n   PRG `
i
 Pn
 
k  K R
 Pn i



 ZKHUH
 <m LVGHILQHGLQ7DEOH 7KHSLORWYDOXHVIRUDWRQH58



 7DEOH²7KHSLORWYDOXHVIRUDWRQH58


 < <

  
















&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 )RUDXVHUWUDQVPLWWLQJRQWKHiWKWRQH58LQDJLYHQ33'8%:IRXUSLORWVXEFDUULHUVVKDOOEHLQVHUWHG 
 LQVXEFDUULHUV k  K R i ZKHUH K R i LVJLYHQE\WKHiWKSLORWLQGH[VHWLQWKHURZRIJLYHQ33'8%:RI

7DEOH 3LORWLQGLFHVIRUWRQH58WUDQVPLVVLRQ 



 7DEOH²3LORWLQGLFHVIRUWRQH58WUDQVPLVVLRQ


 33'8%: K R i

 0+]i  ^`^`^`^`

 0+]i  ^`^`^`^
 `^`^`^`^`

0+]i  ^`^`^`^


`^`^`^

`^`^`^`^
`^`^`^`^

`^`

 0+]i  ^SLORWVXEFDUULHULQGLFHVLQ0+]SLORWVXEFDUULHULQGLFHVLQ0+]`



k
 7KHSLORWPDSSLQJ P n IRUWKHVXEFDUULHUkIRUV\PEROnVKDOOEHDVVSHFLILHGLQ(TXDWLRQ  


K R

^ < nPRG < n   PRG < n   PRG < n   PRG `
i
Pn
 
 k  K R
i
 Pn 

 ZKHUH

 <m LVGHILQHGLQ7DEOH 7KHSLORWYDOXHVLQDDQGWRQH58



7DEOH²7KHSLORWYDOXHVLQDDQGWRQH58


 < < < <

    ±






















 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 )RUDXVHUWUDQVPLWWLQJRQWKHiWKWRQH58LQDJLYHQ33'8%:IRXUSLORWVXEFDUULHUVVKDOOEHLQVHUWHG 
 DWVXEFDUULHUV k  K R i ZKHUH K Ri LVJLYHQE\WKHiWKSLORWLQGH[VHWLQWKHURZRIJLYHQ33'8%:RI

7DEOH 3LORWLQGLFHVIRUWRQH58WUDQVPLVVLRQ 



 7DEOH²3LORWLQGLFHVIRUWRQH58WUDQVPLVVLRQ


 33'8%: K R i

 0+]i  ^`^`

 0+]i  ^`^`^`^`


0+]i  ^`^`^`^
`^`^`^`^

`

 0+]i  ^SLORWVXEFDUULHULQGLFHVLQ0+]SLORWVXEFDUULHULQGLFHVLQ0+]`



 k
7KHSLORWPDSSLQJ P n IRUWKHVXEFDUULHUkIRUV\PEROnVKDOOEHDVVSHFLILHGLQ(TXDWLRQ  


 K R
 Pn i
^ < nPRG < n   PRG < n   PRG < n   PRG `


k  K R
i
 Pn 


 ZKHUH
 <m LVGHILQHGLQ7DEOH 7KHSLORWYDOXHVLQDDQGWRQH58


 )RUDXVHUWUDQVPLWWLQJRQWKHiWKWRQH58LQDJLYHQ33'8%:SLORWVXEFDUULHUVVKDOOEHLQVHUWHGLQ 
 VXEFDUULHUV k  K R i ZKHUH K Ri LVJLYHQE\WKHiWKSLORWLQGH[VHWLQWKHURZRIJLYHQ33'8%:RI
 7DEOH 3LORWLQGLFHVIRUWRQH58WUDQVPLVVLRQ 



 7DEOH²3LORWLQGLFHVIRUWRQH58WUDQVPLVVLRQ


 33'8%: K R i

 0+]i  ^`


0+]i  ^`^`
 0+]i  ^`^
 `^`^`

 0+]i  ^SLORWVXEFDUULHULQGLFHVLQ0+]SLORWVXEFDUULHULQGLFHVLQ0+]`



k
 7KHSLORWPDSSLQJ P n IRUWKHVXEFDUULHUkIRUV\PEROnVKDOOEHDVVSHFLILHGLQ(TXDWLRQ  


K R

Pn i
^ < nPRG < n   PRG < n   PRG < n   PRG 

 < n   PRG < n   PRG < n   PRG < n   PRG ` 

k  K R
 i
 Pn 

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ZKHUH
 <m LVGHILQHGLQ7DEOH 7KHSLORWYDOXHVLQDWRQH58



 7DEOH²7KHSLORWYDOXHVLQDWRQH58


 < < < < < < < <

    ± ±   



 )RUDXVHUWUDQVPLWWLQJRQWKHiWKWRQH58LQDJLYHQ33'8%:SLORWVXEFDUULHUVVKDOOEHLQVHUWHG 
 LQVXEFDUULHUV k  K Ri ZKHUH K R i LVJLYHQE\WKHiWKSLORWLQGH[VHWLQWKHURZRIJLYHQ33'8%:RI
 7DEOH 3LORWLQGLFHVIRUWRQH58WUDQVPLVVLRQ 



 7DEOH²3LORWLQGLFHVIRUWRQH58WUDQVPLVVLRQ


 33'8%: K R i

 0+]i  ^`

 0+]i  ^
 `^`
 0+]i  ^SLORWVXEFDUULHULQGLFHVLQ0+]SLORWVXEFDUULHULQGLFHVLQ0+]`



 k
7KHSLORWPDSSLQJ P n IRUWKHVXEFDUULHUkIRUV\PEROnVKDOOEHDVVSHFLILHGLQ(TXDWLRQ  


K R


Pn i
^ < nPRG < n   PRG < n   PRG < n   PRG 
 < n   PRG < n   PRG < n   PRG < n   PRG 

 < n   PRG < n   PRG < n   PRG < n   PRG  

 < n   PRG < n   PRG < n   PRG < n   PRG `
 k  K R
i
 Pn 



ZKHUH
 <m LVGHILQHGLQ7DEOH 7KHSLORWYDOXHVLQDWRQH58

















 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 )RUDXVHUWUDQVPLWWLQJRQWKHiWKWRQH58LQDJLYHQ33'8%:SLORWVXEFDUULHUVVKDOOEHLQVHUWHG 
 LQVXEFDUULHUV k  K Ri ZKHUH K R i LVJLYHQE\WKHiWKSLORWLQGH[VHWLQWKHURZRIJLYHQ33'8%:RI

7DEOH 3LORWLQGLFHVIRUWRQH58WUDQVPLVVLRQ 



 7DEOH²3LORWLQGLFHVIRUWRQH58WUDQVPLVVLRQ


 33'8%: K R i

 0+]i  ^`

 0+]i  ^IRUi SLORWVXEFDUULHULQGLFHVLQ0+]IRUi SLORWVXEFDUULHULQGLFHVLQ
 0+]`


 k
 7KHSLORWPDSSLQJ P n IRUWKHVXEFDUULHUkIRUV\PEROnVKDOOEHDVVSHFLILHGLQ(TXDWLRQ  

 K R
 ^ < nPRG < n   PRG < n   PRG < n   PRG 
i
Pn

 < n   PRG < n   PRG < n   PRG < n   PRG 

 < n   PRG < n   PRG < n   PRG < n   PRG  
 < n   PRG < n   PRG < n   PRG < n   PRG `

 k  K R
i
 Pn 

 ZKHUH

 <m LVGHILQHGLQ7DEOH 7KHSLORWYDOXHVLQDWRQH58


 )RUD0+]WUDQVPLVVLRQ HTXLYDOHQWO\WZRWRQH58WUDQVPLVVLRQV WKH0+] HTXLYDOHQWO\
 WRQH58 SLORWPDSSLQJLVUHSOLFDWHGLQWKHWZR0+]VXEFKDQQHOVRIWKH0+]WUDQVPLVVLRQ6SHFLIL
 FDOO\SLORWVXEFDUULHUVVKDOOEHLQVHUWHGLQVXEFDUULHUV k  K 5î i ZKHUH K 5î i LVJLYHQE\^±±
 ±±±±±±±±±±±±±±
 k

`7KHSLORWPDSSLQJ P n IRUWKHVXEFDUULHUkIRU
 V\PEROnVKDOOEHDVVSHFLILHGLQ(TXDWLRQ  

 K Rî
 ^ < nPRG < n   PRG < n   PRG < n   PRG 
i
Pn

 < n   PRG < n   PRG < n   PRG < n   PRG 


< n   PRG < n   PRG < n   PRG < n   PRG 
 < n   PRG < n   PRG < n   PRG < n   PRG 

 < nPRG < n   PRG < n   PRG < n   PRG  

 < n   PRG < n   PRG < n   PRG < n   PRG 
 < n   PRG < n   PRG < n   PRG < n   PRG 

 < n   PRG < n   PRG < n   PRG < n   PRG `
 k  K Rî
 Pn i



 ZKHUH

 <m LVGHILQHGLQ7DEOH 7KHSLORWYDOXHVLQDWRQH58

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 )RUDQRQFRQWLJXRXV0+]WUDQVPLVVLRQHDFKIUHTXHQF\VHJPHQWVKDOOIROORZWKH0+]SLORWVXE
 FDUULHUDOORFDWLRQDQGYDOXHVGHILQHGIRUWRQH58LQ0+]WUDQVPLVVLRQDVVSHFLILHGLQ(TXDWLRQ 

 


 7KHDERYHSLORWPDSSLQJVKDOOEHFRSLHGWRDOOVSDFHWLPHVWUHDPVEHIRUHWKHVSDFHWLPHVWUHDPF\FOLFVKLIWV
 DUHDSSOLHG


2)'0PRGXODWLRQ


 ,IPLGDPEOHVDUHQRWSUHVHQWWKHWLPHGRPDLQZDYHIRUPRIWKH'DWDILHOGRIDQ+(33'8WKDWLVQRWDQ+( 
 7% 33'8 IRU WUDQVPLW FKDLQ i TX  d i TX d N TX  DQG IUHTXHQF\ VHJPHQW iSeg VKDOO EH DV GHILQHG LQ

 (TXDWLRQ  


 N SYM ±  N RU ± 
 i Seg i TX  Dr

r +('DWD t 
N RU ±  ¦ w T+('DWD t ± nT SYM ¦ 
N STS r total
 
  n  r 
 ¦ Dr Kr
 r 
 N user r ±  N STS r u
§ iSeg × iSeg u  p k ·
 ¨ Qk D k m n r n    N +(6,*$  N +(6,*% P n ¸
 ¦ ¦ ¦ ¨
i TX M r u  m
¸
 k  Kr u  m  ©  ˜ H[S jSk' F +( t ± nT SYM ± T GI Data ± T CS +( M r u  m ¹


 ZKHUH


TSYM LVGHILQHGLQ7DEOH 7LPLQJUHODWHGFRQVWDQWV
 pn LVGHILQHGLQ 2)'0PRGXODWLRQ
 k
 Pn LVGHILQHGLQ 3LORWVXEFDUULHUV


T CS +( M r u  m UHSUHVHQWV WKH F\FOLF VKLIW IRU VSDFHWLPH VWUHDP Mr,um DV GHILQHG LQ 

 &\FOLFVKLIWIRU+(PRGXODWHGILHOGV
 T GI Data LVWKHJXDUGLQWHUYDOGXUDWLRQDVGHILQHGLQ7DEOH 7LPLQJUHODWHGFRQVWDQWV

 × iSeg u LVWKHWUDQVPLWWHGFRQVWHOODWLRQIRUXVHUuLQWKHrWK58DWVXEFDUULHUkVSDFHWLPHVWUHDPmDQG
D 
 k m n r
 'DWDILHOG2)'0V\PEROnDQGLVGHILQHGE\(TXDWLRQ  


 k  K 3LORW
 × iSeg u ­
 D k m n r ® iSeg 
 ¯ d× M r k  m n r u RWKHUZLVH

 ZKHUH

 K3LORW LVWKHVHWRIVXEFDUULHULQGLFHVRISLORWVXEFDUULHUVDVGHILQHGLQ 3LORWVXEFDUULHUV
 Mr k LVGHILQHGLQ(TXDWLRQ 


 M r k k ± K r PLQ ± ^ k
K r PLQ d k
 k ` ˆ K 3LORW 

 ZKHUH

Kr,min LVWKHPLQLPXPYDOXHRIWKHVHWKr

 ) LVWKHFDUGLQDOLW\RIDVHWɎ

 127(²Mr k  WUDQVODWHV D VXEFDUULHU LQGH[ k  K r  LQWR WKH LQGH[ RI GDWD V\PEROV LQ D WUDQVPLVVLRQ RYHU 58 r
 ”Mr k ”NSD 7KHVXEFDUULHULQGH[kIRUWKHGDWDVXEFDUULHULVILUVWRIIVHWE\WKHPLQLPXPYDOXHRIVXEFDUULHULQGH[ 
 Kr,min IRU WKH ORZHU HGJH VXEFDUULHU  LQ WKLV 58 DQG WKHQ VXEWUDFWHG E\ WKH QXPEHU RI SLORW VXEFDUULHUV IDOOLQJ LQ

 EHWZHHQWKHGDWDVXEFDUULHUDQGWKHHGJHVXEFDUULHU

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ,QDQRQFRQWLJXRXV0+]WUDQVPLVVLRQHDFKIUHTXHQF\VHJPHQWVKDOOIROORZWKH0+]+(VXEFDU
 ULHUPDSSLQJDVVSHFLILHGLQ 0DWKHPDWLFDOGHVFULSWLRQRIVLJQDOV 


 ,IPLGDPEOHVDUHQRWSUHVHQWWKHWLPHGRPDLQZDYHIRUPRIWKH'DWDILHOGRIDQ+(7%33'8IRUXVHUuLQ

 WKHrWK58IURPWUDQVPLWFKDLQ i TX  d i TX d N TX VKDOOEHDVGHILQHGLQ(TXDWLRQ  


 N SYM ± 
 i Seg i TX  
 r +('DWD r u t 
Kr
¦ w T+('DWD t ± nT SYM 
N STS r u

 n 
 N STS r u
§ iSeg × iSeg u k ·
¨ Q k u iTX m D k m n r  p n   P n

¸
 ¦ ¦ ¨ ¸
 k  Kr m  ©  ˜ H[S jSk' F +( t ± nT SYM ± T GI Data ± T CS HE M r u  m ¹


 ZKHUH
 i
 Q kSeg
u LVGHILQHGLQ 0DWKHPDWLFDOGHVFULSWLRQRIVLJQDOV 


 'XDOFDUULHUPRGXODWLRQ


 '&0PRGXODWHVWKHVDPHLQIRUPDWLRQRQDSDLURIVXEFDUULHUV'&0LVDQRSWLRQDOPRGXODWLRQVFKHPHIRU
 WKH+(6,*%DQG'DWDILHOGV'&0LVDSSOLFDEOHWRRQO\+(0&6VDQG+(6,*%0&6VZLWKLQGLFHV
 DQG


 7KHFRQVWHOODWLRQPDSSHUIRU'&0LVGHILQHGLQ &RQVWHOODWLRQPDSSLQJ 7KH/'3&WRQHPDSSHU
 IRU '&0 LV GHILQHG LQ  /'3& WRQH PDSSHU  7KH %&& LQWHUOHDYHU IRU '&0 LV GHILQHG LQ

  %&&LQWHUOHDYHUV 


 0LGDPEOHV


 $Q+(67$PD\LQFOXGHPLGDPEOHVLQDQ+(33'8WUDQVPLVVLRQLQIDVWYDU\LQJFKDQQHOVLHFKDQQHOV
 ZLWKKLJK'RSSOHUWRIDFLOLWDWHFKDQQHOHVWLPDWLRQXSGDWHGXULQJWKH33'80LGDPEOHVDUHLQVHUWHGRQO\LI
 NSTS”7KHUHFLSLHQWPLJKWXVHWKHPLGDPEOHVWRFRPSHQVDWHWKHFKDQQHOHVWLPDWLRQLILWLVYDU\LQJIDVWLQ

 FKDQQHOVZLWKKLJK'RSSOHU


 ,IWKH'RSSOHUILHOGRIWKH+(6,*$ILHOGLVLQDQ+(6833'8+((56833'8RU+(0833'8RU
 LIWKH'RSSOHUVXEILHOGLQWKH&RPPRQ,QIRILHOGLQWKH7ULJJHUIUDPHSUHFHGLQJDQ+(7%33'8LVWKHQ
 PLGDPEOHVDUHSUHVHQWLQWKH'DWDILHOGRIWKH+(33'8HYHU\MMA2)'0V\PEROVZKHUHMMALVHLWKHU
 RUDVLQGLFDWHGE\WKH1676$QG0LGDPEOH3HULRGLFLW\ILHOGLQWKH+(6,*$ILHOG VHH 

 +(6,*$ RUE\WKH1XPEHU2I+(/7)6\PEROV$QG0LGDPEOH3HULRGLFLW\VXEILHOGLQWKH&RPPRQ 
 ,QIRILHOGLQWKH7ULJJHUIUDPH VHH 7ULJJHUIUDPHIRUPDW 


(DFK PLGDPEOH LV WKH VDPH DV WKH +(/7) ILHOG V  LQ WKH SUHDPEOH RI WKH VDPH 33'8 DV GHILQHG LQ


  +(/7) DVVKRZQLQ)LJXUH +(33'8ZLWKPLGDPEOH 

 $Q+(67$VKDOOQRWWUDQVPLWDQ+(0833'8ZLWKPLGDPEOHVLIWKHUHLV080,02RQDQ\58


 7KHVFUDPEOLQJDQGHQFRGLQJSURFHVVRIWKHELWVLQWKH'DWDILHOG2)'0V\PEROVDUHLGHQWLFDOIRUWUDQVPLV
 VLRQVZLWKRUZLWKRXWPLGDPEOH


 ,ISUHVHQWWKHQXPEHURIPLGDPEOHSHULRGVNMALQD33'8LVFDOFXODWHGXVLQJ(TXDWLRQ  

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 N SYM ± 
 N MA max §   ± · 
© M MA ¹


 ZKHUHNSYMLVDVGHILQHGLQ &RGLQJ 


 $VVKRZQLQ)LJXUH +(33'8ZLWKPLGDPEOH WKHILUVWPLGDPEOHLVLQVHUWHGLPPHGLDWHO\DIWHUWKH
 MMAWK2)'0V\PEROLQWKH'DWDILHOGDQGDPLGDPEOHLVQRWLQVHUWHGDIWHUWKHODVWGDWD2)'0V\PEROLI

PRG NSYM MMA   $W WKH HQG RI DQ +( 33'8 LI PRG NSYM MMA   WKHUH LV DOVR QR PLGDPEOH

 LQVHUWHGEHIRUHWKHODVW2)'0V\PERODVVKRZQLQ)LJXUH 0LGDPEOHDWWKHHQGRIDQ+(33'8 


 MMA'DWDILHOGV\PEROV MMA'DWDILHOGV\PEROV


 « « «
+(3UHDPEOH 0LGDPEOH 0LGDPEOH




 +(/7) « +(/7)


,GHQWLFDOWRWKH+(/7)
 ILHOGLQWKHSUHDPEOH


 )LJXUH²+(33'8ZLWKPLGDPEOH



 MMA'DWDILHOGV\PEROV
 (QGRI+(33'8



« 0LGDPEOH « 3(





 +(/7) « +(/7)


 )LJXUH²0LGDPEOHDWWKHHQGRIDQ+(33'8


 ,QDQ+(6833'8+((56833'8RU+(0833'8LIWKH'RSSOHUILHOGRI+(6,*$ILHOGLVDQG 
 NSYM”MMAWKHUHLVQRPLGDPEOHSUHVHQWLQWKHFXUUHQW33'8,QWKLVFDVHWKH'RSSOHUILHOGVHWWLQJWR
 LQGLFDWHVWKDWWKHFXUUHQWFKDQQHOEHWZHHQWKHWUDQVPLWWHUDQGWKHUHFLSLHQWLVZLWKKLJKFKDQQHO'RSSOHU
 DQGUHFRPPHQGVWKDWPLGDPEOHPD\EHXVHGIRUWKH33'8VRIWKHUHYHUVHOLQN


 3DFNHWH[WHQVLRQ


 $3(ILHOGRIGXUDWLRQ—V—V—VRU—VPD\EHSUHVHQWLQDQ+(33'87KH3(ILHOGSURYLGHV
 DGGLWLRQDOUHFHLYHSURFHVVLQJWLPHDWWKHHQGRIWKH+(33'87KH3(ILHOGLISUHVHQWVKDOOEHWUDQVPLWWHG

 ZLWKWKHVDPHDYHUDJHSRZHUDVWKH'DWDILHOGDQGVKDOOQRWFDXVHVLJQLILFDQWSRZHUOHDNDJHRXWVLGHRIWKH
 VSHFWUXPXVHGE\WKH'DWDILHOG2WKHUWKDQWKDWLWVFRQWHQWLVDUELWUDU\,QDQ2)'0$+(33'8WKHVSHF

WUXPXVHGE\WKH'DWDILHOGIRUWKHSXUSRVHRISDFNHWH[WHQVLRQLVFRPPHQVXUDWHZLWKWKHORFDWLRQVDQGVL]HV

 RIWKHRFFXSLHG58VQRWWKH33'8EDQGZLGWK)RUH[DPSOHWKH'DWDILHOGDQ2)'0$+(33'8XVLQJD
 VLQJOHWRQHV58ZRXOGKDYHDVSHFWUXPWKDWLVDSSUR[LPDWHO\0+]ZLGH

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KHGXUDWLRQRIWKH3(ILHOGIRUDQ+(6833'8+((56833'8RU+(0833'8LVGHWHUPLQHGE\ERWK
 WKH SUH)(& SDGGLQJ IDFWRU YDOXH LQ WKH ODVW 2)'0 V\PERO V  RI WKH 'DWD ILHOG DQG WKH 7;9(&725


SDUDPHWHU120,1$/B3$&.(7B3$'',1*


 )RUDQ+(68RU+((56833'8WKHQRPLQDOTPEYDOXH TPE,nominal LVJLYHQE\7DEOH 1RPLQDO
 73( YDOXHV  ,Q WKLV FDVH a LQ 7DEOH 1RPLQDO 73( YDOXHV  LV JLYHQ E\ (TXDWLRQ   RU
 (TXDWLRQ  


 )RUDQ+(0833'8WKHQRPLQDOTPEYDOXH TPE,nominal LVJLYHQE\(TXDWLRQ  

 TPE,nominal PD[uTPE,nominal,u 


ZKHUH

 TPE,nominal,uLVWKHQRPLQDOTPEYDOXHIRUXVHUuDQGLVDOVRJLYHQE\7DEOH 1RPLQDO73(YDOXHV
 PD[uf u LVWKHPD[LPXPYDOXHRIf u RYHUDOOYDOXHVRIu


 ,QWKLVFDVHaLQ7DEOH 1RPLQDO73(YDOXHV LVJLYHQE\(TXDWLRQ  RU(TXDWLRQ  


 7DEOH²1RPLQDOTPEYDOXHV


 7;9(&725SDUDPHWHU120,1$/B3$&.(7B3$'',1* +(6833'8RU+((5
 6833'8 RU120,1$/B3$&.(7B3$'',1*>u@ +(0833'8
 a
 —V —V —V

  —V —V —V

  —V —V —V

  —V —V —V

  —V —V —V


 7KHGXUDWLRQRIWKH3(ILHOGTPEPD\WDNHYDOXHVRIRU—VTPEIRUDQ+(68+((568RU

 +(0833'8VKDOOQRWEHOHVVWKDQTPE,nominalTPEIRUDQ+(68+((568RU+(0833'8VKRXOGEH
 HTXDOWRTPE,nominalWRPLQLPL]HWKHSDFNHWH[WHQVLRQRYHUKHDG)LJXUH 3(ILHOGGXUDWLRQRIDQ+(

 6833'8RU+((56833'8ZLWKRXWPLGDPEOHVLI7;9(&725SDUDPHWHU120,1$/B3$&.(7B3$'
 ',1*LV—VDQG73( 73(QRPLQDO DQG)LJXUH 3(ILHOGGXUDWLRQRIDQ+(6833'8RU+((5 
 6833'8ZLWKRXWPLGDPEOHVLI7;9(&725SDUDPHWHU120,1$/B3$&.(7B3$'',1*LV—V73(

 73(QRPLQDO VKRZH[DPSOHVRIWKH3(ILHOGGXUDWLRQLQDQ+(6833'8RU+((56833'8ZLWKRXW

















&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 PLGDPEOHV LI WKH 7;9(&725 SDUDPHWHU 120,1$/B3$&.(7B3$'',1* LV  —V DQG  —V UHVSHF
 WLYHO\DQGTPE TPE,nominal67%&LVQRWXVHGLQWKHVHH[DPSOHV



 2)'0
 PRGXODWLRQ
)(&RXWSXWELWV 3RVW)(&3DGGLQJELWV 6\PERO16<0


 a  'DWD)LHOG

2)'0
 PRGXODWLRQ
 )(&RXWSXWELWV 3RVW)(&3DGGLQJELWV 6\PERO16<0

 'DWD)LHOG
a 

 2)'0
ʅs
 PRGXODWLRQ
3RVW)(&
6\PERO16<0 3(
 )(&RXWSXWELWV
3DGGLQJELWV


 a  'DWD)LHOG

2)'0
 PRGXODWLRQ
ʅs
 )(&RXWSXWELWV 6\PERO16<0 3(


a  'DWD)LHOG


 )LJXUH²3(ILHOGGXUDWLRQRIDQ+(6833'8RU+((56833'8ZLWKRXWPLGDPEOHVLI

7;9(&725SDUDPHWHU120,1$/B3$&.(7B3$'',1*LV—VDQGTPE TPE,nominal



 2)'0
 ʅs
 PRGXODWLRQ
6\PERO16<0 3(
 )(&RXWSXWELWV 3RVW)(&3DGGLQJELWV


 a  'DWD)LHOG

2)'0
 8 ʅs
PRGXODWLRQ
 )(&RXWSXWELWV 3RVW)(&3DGGLQJELWV 6\PERO16<0 3(


 a  'DWD)LHOG
 2)'0
ʅs
 PRGXODWLRQ
3RVW)(&
 )(&RXWSXWELWV
3DGGLQJELWV
6\PERO16<0 3(


 a  'DWD)LHOG

 2)'0 ʅs
PRGXODWLRQ
 )(&RXWSXWELWV 6\PERO16<0 3(


'DWD)LHOG
 a 

 )LJXUH²3(ILHOGGXUDWLRQRIDQ+(6833'8RU+((56833'8ZLWKRXWPLGDPEOHVLI

7;9(&725SDUDPHWHU120,1$/B3$&.(7B3$'',1*LV—VTPE TPE,nominal


 TPEIRUDQ+(VRXQGLQJ1'3LV—V


 ,I WUDQVPLWWLQJ DQ +( 7% 33'8 IRU ZKLFK WKH 7;9(&725 SDUDPHWHU 75,**(5B0(7+2' LV 75,*
 *(5B)5$0(HDFKWUDQVPLWWHURIDQ+(7%33'8VKDOODSSHQGD3(ILHOGZLWKDGXUDWLRQTPEFDOFXODWHG


 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 XVLQJ(TXDWLRQ  H[FHSWIRUDQ+(7%IHHGEDFN1'3 VHH +(33'8IRUPDWV ZKLFKKDV


 TPE 


 § /(1*7+ m
 u  ± T +(35($0%/(· ± N SYM T SYM ± N MA N +(/7) T +(/7)6<0
 ©  ¹
 T PE  u  
 

 ZKHUH
 m IRUDQ+(7%33'8

 /(1*7+LVWKHYDOXHLQGLFDWHGE\8//HQJWKVXEILHOGRIWKH&RPPRQ,QIRILHOGLQWKH7ULJJHUIUDPH
 T+(35($0%/(LVWKHYDOXHIRUDQ+(7%33'8LQ(TXDWLRQ 

T+(67)7T+(/7)6<0T5/6,*DQGT+(6,*$DUHGHILQHGLQ7DEOH 7LPLQJUHODWHGFRQVWDQWV

 NMA LVWKHQXPEHURIPLGDPEOHSHULRGVLQWKHFXUUHQW33'8



N SYM § /(1*7+  m  
 u  ± T +(35($0%/( ± N MA N +(/7) T +(/7)6<0· e T SYM ± b 3('LVDPELJXLW\
 ©  ¹
 


b3('LVDPELJXLW\LVWKHYDOXHRIWKH7;9(&725SDUDPHWHU+(B7%B3(B',6$0%,*8,7<


 7KHUHDUHPXOWLSOHPHWKRGVIRUFRPSXWLQJNMAIRUDQ+(7%33'8WKDWJHWWKHVDPHUHVXOWRQHH[DPSOHLV
 DVIROORZV7KHGXUDWLRQRIRQHPLGDPEOHSHULRGLVGHILQHGLQ(TXDWLRQ  


 T MA M MA T SYM  N +(/7) T +(/7)6<0 


 ZKHUHMMALVWKHPLGDPEOHSHULRGLFLW\LQGLFDWHGE\WKH1XPEHURI+(/7)6\PEROV$QG0LGDPEOH3HUL
 RGLFLW\VXEILHOGRIWKH&RPPRQ,QIRILHOGLQWKH7ULJJHUIUDPH(TXDWLRQ  IRUFRPSXWLQJNMAFDQ

 EHXVHGLQVWHDGRI(TXDWLRQ  


 ­  LI'RSSOHU  
 °
 N MA ® § § LENGTH    m u  ± T · ·
 ° max ©  © 
 +(35($0%/( ± b 3('LDPELJXLW\   ˜ T SYM¹ e T MA ¹  LI'RSSOHU 
¯


 ZKHUH'RSSOHULVLQGLFDWHGE\WKH'RSSOHUVXEILHOGRIWKH&RPPRQ,QIRILHOGRIWKH7ULJJHUIUDPH


 ,IWUDQVPLWWLQJDQ+(7%33'8IRUZKLFKWKH7;9(&725SDUDPHWHU75,**(5B0(7+2'LV756HDFK 
 WUDQVPLWWHURIWKH+(7%33'8VKDOODSSHQGD3(ILHOGZLWKWKHGXUDWLRQTPEHTXDOWRWKHYDOXHVSHFLILHGLQ

 WKH7;9(&725SDUDPHWHU'()$8/7B3(B'85$7,21



7KH3('LVDPELJXLW\ILHOGRIWKH+(6,*$ILHOGIRUDQ+(68+((568 VHH7DEOH +(6,*$ 
 ILHOGRIDQ+(6833'8DQG+((56833'8 RU+(0833'8 VHH7DEOH +(6,*$ILHOGRIDQ 
 +(0833'8 VKDOOEHVHWWRLIWKHFRQGLWLRQLQ(TXDWLRQ  LVPHWRWKHUZLVHLWVKDOOEHVHWWR

 7KH3('LVDPELJXLW\VXEILHOGLQWKH&RPPRQ,QIRILHOGRIWKH7ULJJHUIUDPH VHH7DEOHI 3UH)(& 

 3DGGLQJ)DFWRUDQG3('LVDPELJXLW\VXEILHOGV VKDOOEHVHWWRLIWKHFRQGLWLRQLQ(TXDWLRQ  LVPHW
 IRUWKH+(7%33'8VROLFLWHGE\WKH7ULJJHUIUDPH2WKHUZLVHLWVKDOOEHVHWWR


 T PE   u § 7;7,0( ± SignalExtension ±  ± § 7;7,0( ± SignalExtension ± 
· · t T SYM
 © 
 ©  ¹¹
 

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ZKHUH
 TPE LVWKH3(ILHOGGXUDWLRQ

 TSYM LVWKHV\PEROGXUDWLRQRIWKH'DWDILHOGDVGHILQHGLQ 7LPLQJUHODWHGSDUDPHWHUV
 7;7,0( LQ—V LVGHILQHGLQ 7;7,0(DQG36'8B/(1*7+FDOFXODWLRQ
 SignalExtensionLV—VLI7;9(&725SDUDPHWHU12B6,*B(;71LVWUXHDQGLVD6LJQDO([WHQVLRQDV

 GHILQHGLQ7DEOH +(3+<FKDUDFWHULVWLFV LI7;9(&725SDUDPHWHU12B6,*B(;71 
 LVIDOVH

 7KHUHFHLYHUFRPSXWHVNSYMTPEDQGNMAXVLQJ(TXDWLRQ  (TXDWLRQ  DQG(TXDWLRQ 
  UHVSHFWLYHO\


 § /B/(1*7+ m
 N SYM  u  ± T +(35($0%/( ± N MA N +(/7) T +(/7)6<0· e T SYM ± b 3('LVDPELJXLW\
©  ¹




 § /B/(1*7+  m   
 ©
 u  ± T +(35($0%/(·¹ ± N SYM T SYM ± N MA N +(/7) T +(/7)6<0

 T PE  u 
 

 ZKHUH
 /B/(1*7+LVWKHYDOXHLQGLFDWHGE\WKH/(1*7+ILHOGRIWKH/6,*ILHOG



 T +(35($0%/( 

 ­ T 5/6,*  T +(6,*$  T +(67)7  N +(/7) T +(/7)6<0 IRUDQ+(7%33'8
 °
 ° T 5/6,*  T +(6,*$  T +(67)17  N +(/7) T +(/7)6<0 IRUDQ+(6833'8
 ®
 ° T 5/6,*  T +(6,*$  N +(6,*% T +(6,*%  T +(67)17  N +(/7) T +(/7)6<0 IRUDQ+(0833'8
°
 ¯ T 5/6,*  T +(6,*$5  T +(67)17  N +(/7) T +(/7)6<0 IRUDQ+((56833'8


 T5/6,*T+(67)7T+(67)17T+(/7)6<0T+(6,*$T+(6,*$5T+(6,*% DUH GHILQHG LQ

 7DEOH 7LPLQJUHODWHGFRQVWDQWV
 N+(6,*%N+(/7)DUHGHILQHGLQ7DEOH )UHTXHQWO\XVHGSDUDPHWHUV
 b3('LVDPELJXLW\LVWKHYDOXHLQGLFDWHGE\WKH3('LVDPELJXLW\VXEILHOGRIWKH+(6,*$ILHOGIRUDQ+(


 68+((568RU+(0833'8RUWKHYDOXHLQGLFDWHGE\WKH3('LVDPELJXLW\VXEILHOGLQ
 WKH&RPPRQ,QIRILHOGLQWKH7ULJJHUIUDPH VHH7DEOHI 3UH)(&3DGGLQJ)DFWRUDQG3( 
 'LVDPELJXLW\VXEILHOGV IRUDQ+(7%33'8
 NMAPD\EHFRPSXWHGE\PXOWLSOHPHWKRGVWKDWJHWWKHVDPHUHVXOWRQHH[DPSOHRIZKLFKLVJLYHQLQ 

 (TXDWLRQ  


 ­  LI'RSSOHU  
 °
N MA ® § § /B/(1*7+    m u  ± T · ·
 ° max ©  © 
 +(35($0%/( ± b 3('LDPELJXLW\   ˜ T SYM¹ e T MA ¹  LI'RSSOHU 
 ¯


 ZKHUH
 TMA LV GHILQHG LQ (TXDWLRQ   H[FHSW WKDW MMA LV WKH PLGDPEOH SHULRGLFLW\ LQGLFDWHG E\ WKH

1676$QG0LGDPEOH3HULRGLFLW\VXEILHOGRIWKH+(6,*$ILHOGLQDQ+(6833'8DQG+( 

 (56833'8RUE\WKH1XPEHU2I+(/7)6\PEROV$QG0LGDPEOH3HULRGLFLW\VXEILHOGRI
 WKH+(6,*$ILHOGLQDQ+(0833'8

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 'RSSOHULVLQGLFDWHGE\WKH'RSSOHUILHOGRI+(6,*$ILHOG



1RQ+7GXSOLFDWHWUDQVPLVVLRQ

 ,IWKH7;9(&725SDUDPHWHU)250$7LV121B+7DQGWKH7;9(&725SDUDPHWHU121B+7B02'8
 /$7,21LV121B+7B'83B2)'0WKHWUDQVPLWWHG33'8LVDQRQ+7GXSOLFDWH1RQ+7GXSOLFDWHWUDQV
 PLVVLRQ LV XVHG WR WUDQVPLW WR QRQ+7 2)'0 67$V +7 67$V 9+7 67$V DQG +( 67$V WKDW PD\ EH

 SUHVHQWLQDSDUWRID0+]0+]RU0+]FKDQQHO VHH7DEOH ,QWHUSUHWDWLRQRI)250$7
 121B+7 0RGXODWLRQ DQG &+B%$1':,'7+ SDUDPHWHUV  7KH 5/6,* +(6,*$ +(6,*% +(
 67)DQG+(/7)ILHOGVDUHQRWWUDQVPLWWHG

 7KH/67)DQG//7)ILHOGVVKDOOEHWUDQVPLWWHGLQWKHVDPHZD\DVLQWKH+(WUDQVPLVVLRQ7KH/6,* 

 ILHOGVKDOOEHWUDQVPLWWHGLQWKHVDPHZD\DVLQWKH+(WUDQVPLVVLRQZLWKWKHIROORZLQJH[FHSWLRQV
 ² 7KH5DWHDQG/HQJWKILHOGVVKDOOIROORZ 6,*1$/ILHOG

 ² 7KHIRXUDGGLWLRQDOVXEFDUULHUVDWLQGLFHV“DQG“DUHQRWPRGXODWHG QRHQHUJ\

127(²7KH/67)//7)DQG/6,*ILHOGVDUHQRWWUDQVPLWWHGLQ0+]VXEFKDQQHOVLQZKLFKWKHSUHDPEOHLVSXQF

WXUHG VHH +(PRGXODWLRQDQGFRGLQJVFKHPHV +(0&6V 


 ,QD0+]QRQ+7GXSOLFDWHWUDQVPLVVLRQWKH'DWDILHOGVKDOOEHDVGHILQHGE\(TXDWLRQ  

 )RU  0+] DQG  0+] QRQ+7 GXSOLFDWH WUDQVPLVVLRQV WKH 'DWD ILHOG VKDOO EH DV GHILQHG E\


(TXDWLRQ  


 N SYM ± 


¦
i TX
 r QRQ+7  BW t  w TSYM t ± nT SYM 
 7RQH
N 121B+7B'83B2)'0'DWD
n 


 N 0+] ± 
§ 
·
¨  ± ,1$&7,9(B68%&+$11(/6>i @

¨ BW ¦ k ± K6KLIW iBW  BW k n n   k ¸¸
b D  p P


˜ ¦ ¨ k ±  ¸
i BW  ¨ i TX ¸
 ©  ˜ H[S jS k ± K 6KLIW i BW ' F t ± nT SYM ± T GI ± T &6 ¹



 ZKHUH
 N20MHzDQGKShift i DUHGHILQHGLQ
 PkDQGPnDUHGHILQHGLQ

 Dk,n LVGHILQHGLQ(TXDWLRQ 
 b k BW LVGHILQHGLQ(TXDWLRQ  DQG(TXDWLRQ 

 i
TX
 T CS UHSUHVHQWVWKHF\FOLFVKLIWIRUWUDQVPLWFKDLQiTXZLWKDYDOXHJLYHQLQ7DEOH
 7RQH
 N 121B+7B'83B2)'0'DWD KDVWKHYDOXHJLYHQLQ7DEOH 1XPEHURIPRGXODWHGVXEFDUULHUVDQGJXDUG

 LQWHUYDOGXUDWLRQYDOXHVIRU+(33'8ILHOGV
 ,1$&7,9(B68%&+$11(/6>x@LVELWxRIWKH7;9(&725SDUDPHWHU,1$&7,9(B68%&+$11(/6


 LISUHVHQWDQGLVRWKHUZLVH

 ,QDQRQFRQWLJXRXV0+]QRQ+7GXSOLFDWHWUDQVPLVVLRQGDWDWUDQVPLVVLRQLQHDFKIUHTXHQF\VHJ
 PHQWVKDOOEHDVGHILQHGIRUDQ0+]QRQ+7GXSOLFDWHWUDQVPLVVLRQLQ(TXDWLRQ  


 )RUHDFKQRQ+7GXSOLFDWH33'8WUDQVPLVVLRQWKDWLVDSUHDPEOHSXQFWXUHG33'8HDFKSXQFWXUHG0+]
 VXEFKDQQHOLVLQGLFDWHGDVSXQFWXUHGE\LQFOXGLQJWKHYDOXHRI LQELQDU\UHSUHVHQWDWLRQ LQ


&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 WKHELWVRIWKH7;9(&725SDUDPHWHU58B$//2&$7,21FRUUHVSRQGLQJWRWKHWRQH58WKDWLVPRVW
 FORVHO\DOLJQHGZLWKWKHSXQFWXUHG0+]VXEFKDQQHO(DFK0+]VXEFKDQQHOWKDWLVQRWSXQFWXUHGLV

LQGLFDWHG DV VXFK E\ LQFOXGLQJ WKH YDOXH RI   LQ ELQDU\ UHSUHVHQWDWLRQ  LQ WKH  ELWV RI WKH

 7;9(&725SDUDPHWHU58B$//2&$7,21FRUUHVSRQGLQJWRWKHWRQH58WKDWLVPRVWFORVHO\DOLJQHG
 ZLWKWKDW0+]VXEFKDQQHO

 7UDQVPLWUHTXLUHPHQWVIRU33'8VVHQWLQUHVSRQVHWRDWULJJHULQJIUDPH


 ,QWURGXFWLRQ

 $Q$3PD\VROLFLWVLPXOWDQHRXV+(7%33'8WUDQVPLVVLRQVRUVLPXOWDQHRXVQRQ+7RUQRQ+7GXSOLFDWH

 33'8WUDQVPLVVLRQVIURPPXOWLSOHQRQ$367$VXVLQJDWULJJHULQJIUDPH6LQFHWKHUHDUHPXOWLSOHWUDQV
 PLWWHUVWUDQVPLVVLRQWLPHIUHTXHQF\VDPSOLQJV\PEROFORFNDQGSRZHUSUHFRUUHFWLRQ LQWKHFDVHRIDQ 
 +(7%33'8 E\WKHQRQ$367$VLVQHFHVVDU\WRPLWLJDWHV\QFKURQL]DWLRQDQGLQWHUIHUHQFHLVVXHVDWWKH
 $3)UHTXHQF\DQGVDPSOLQJFORFNSUHFRUUHFWLRQVDUHQHHGHGWRSUHYHQWLQWHUFDUULHULQWHUIHUHQFH3RZHU
 SUHFRUUHFWLRQLVQHFHVVDU\WRFRQWUROLQWHUIHUHQFHEHWZHHQ+(7%33'8WUDQVPLVVLRQVIURPWKHQRQ$3 

 67$V$Q$3PD\VROLFLWVLPXOWDQHRXV+(7%33'8WUDQVPLVVLRQVIURPERWK&ODVV$DQG&ODVV%GHYLFHV
 $QRQ$367$WKDWVXSSRUWV+(7%33'8WUDQVPLVVLRQVKDOOVXSSRUWSRZHUSUHFRUUHFWLRQDVGHVFULEHGLQ 
  3RZHU SUHFRUUHFWLRQ  DQG VKDOO PHHW WKH SUHFRUUHFWLRQ DFFXUDF\ UHTXLUHPHQWV GHVFULEHG LQ

  3UHFRUUHFWLRQDFFXUDF\UHTXLUHPHQWV 


 3RZHUSUHFRUUHFWLRQ

 STA
(DFK67$WKDWLVVFKHGXOHGLQDWULJJHULQJIUDPHFDOFXODWHVWKH8/WUDQVPLWSRZHU Tx pwr RIWKH+(7%

 33'8IRUWKHDVVLJQHG+(0&6XVLQJ(TXDWLRQ  


 STA
Tx pwr PL DL  Target RSSI 


 ZKHUH
 PLDL UHSUHVHQWV'/SDWKORVV

 TargetRSSIUHSUHVHQWVWKHWDUJHWUHFHLYHVLJQDOSRZHURIWKH+(7%33'8DYHUDJHGRYHUWKH$3¶VDQWHQQD
 FRQQHFWRUVTargetRSSILVWKHYDOXHLQG%PLQGLFDWHGLQWKH8/7DUJHW566,VXEILHOGRI8VHU

 ,QIRILHOGLQ7ULJJHUIUDPHRUWKH756FRQWUROILHOG

127(²$YDOXHRILQWKH8/7DUJHW566,VXEILHOGLQGLFDWHVWKDWWKH+(7%33'8LVWUDQVPLWWHGDWLWVPD[LPXP


WUDQVPLWSRZHUIRUWKHDVVLJQHG+(0&6DQG(TXDWLRQ  LVQRWXVHG


 (DFK67$FRPSXWHVPLDLXVLQJ(TXDWLRQ  

 AP
 PL DL Tx pwr ± DL RSSI 


ZKHUH

 AP
Tx pwr  LV LQ G%P DQG UHSUHVHQWV WKH $3¶V WUDQVPLVVLRQ SRZHU DQG LV HTXDO WR WKH YDOXH RI WKH $3 7[


 3RZHUVXEILHOGRIWKH&RPPRQ,QIRILHOGLQWKH7ULJJHUIUDPHWKHHQFRGLQJRIZKLFKLVVSHFL
 ILHGLQ 7ULJJHUIUDPHIRUPDW RUWKH'/7[3RZHUVXEILHOGRIWKH756&RQWUROILHOG
 DVVSHFLILHGLQD 756&RQWURO 


DLRSSIUHSUHVHQWVWKH566,DWWKHDQWHQQDFRQQHFWRU V RIWKH67$RIWKHWULJJHULQJ33'8QRUPDOL]HGWR
 0+]EDQGZLGWKDLRSSILQG%PLVDQDYHUDJHRIWKHUHFHLYHGSRZHURYHUWKHDQWHQQDVRQ 
 ZKLFKWKHDYHUDJHPLDLLVEHLQJFRPSXWHG,IWKHWULJJHULQJ33'8LVD+7PL[HG9+7RU+( 

 33'8WKHQWKHUHFHLYHGSRZHULVPHDVXUHGIURPWKHILHOGVSULRUWRWKH+767)9+767)RU
 +(67)UHVSHFWLYHO\

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 127(²$Q$3FRXOGDFFRXQWIRULWVEHDPIRUPLQJJDLQLQ Tx AP
pwr RUTargetRSSILIWKHWULJJHULQJ33'8XVHGEHDPIRUP
 LQJ

 $67$WKDWDSSOLHVEHDPIRUPLQJ %) LQWKH8/VKRXOGWDNHWKH%)JDLQLQWRDFFRXQWZKHQFDOFXODWLQJWKH

 WUDQVPLWSRZHUQHHGHGWRPHHWWKHWDUJHW566,

 7KH8/WUDQVPLWSRZHURIWKH+(7%33'8LVIXUWKHUVXEMHFWWRD67$¶VPLQLPXPDQGPD[LPXPWUDQVPLW
 SRZHUOLPLWGXHWRKDUGZDUHFDSDELOLW\UHJXODWRU\UHTXLUHPHQWVDQGORFDOPD[LPXPWUDQVPLWSRZHUOHYHOV

 VHH 6SHFLILFDWLRQRIUHJXODWRU\DQGORFDOPD[LPXPWUDQVPLWSRZHUOHYHOV DVZHOODVQRQ

 LQGHYLFHFRH[LVWHQFHUHTXLUHPHQWV

 $67$WKDWLVVFKHGXOHGLQD7ULJJHUIUDPHLQFOXGHVLWV8/SRZHUKHDGURRPLQWKH+(7%33'8IROORZLQJ



WKHUXOHVGHILQHGLQ 1RQ$367$EHKDYLRUIRU8/08RSHUDWLRQ 

 3UHFRUUHFWLRQDFFXUDF\UHTXLUHPHQWV


 $67$WKDWWUDQVPLWVDQ+(7%33'8VKDOOVXSSRUWSHUFKDLQPD[ P±± G%PDVWKHPLQLPXPWUDQV
 PLWSRZHUZKHUHPLVWKHPD[LPXPSRZHULQG%PWKDWWKH67$FDQWUDQVPLWDWWKHDQWHQQDFRQQHFWRURI
 WKDWFKDLQXVLQJ+(0&6ZKLOHPHHWLQJWKHWUDQVPLW(90DQGVSHFWUDOPDVNUHTXLUHPHQWV$67$WUDQV
 PLWWLQJDWDQGDERYHWKHPLQLPXPSRZHUVKDOOVXSSRUWWKH(90UHTXLUHPHQWVIRU+(0&6


 $67$WKDWWUDQVPLWVDQ+(7%33'8VKDOOVXSSRUWWKHDEVROXWHDQGUHODWLYHWUDQVPLWSRZHUUHTXLUHPHQWV
 DQGWKH566,PHDVXUHPHQWDFFXUDF\UHTXLUHPHQWVGHILQHGLQ7DEOH 7UDQVPLWSRZHUDQG566,PHD
 VXUHPHQWDFFXUDF\ 



 7DEOH²7UDQVPLWSRZHUDQG566,PHDVXUHPHQWDFFXUDF\


0LQLPXP5HTXLUHPHQW

 3DUDPHWHU &RPPHQWV
 &ODVV$ &ODVV%

 $EVROXWHWUDQVPLWSRZHU “G% “G% $FFXUDF\RIDFKLHYLQJDVSHFLILHGWUDQVPLWSRZHU
 DFFXUDF\

566,PHDVXUHPHQWDFFX “G% “G% 7KHGLIIHUHQFHEHWZHHQWKH566,DQGWKHUHFHLYHG

UDF\ SRZHU


5HTXLUHPHQWVDUHYDOLGIURPPLQLPXPUHFHLYHWR

PD[LPXPUHFHLYHLQSXWSRZHU

 5HODWLYHWUDQVPLWSRZHU 1$ “G% $FFXUDF\RIDFKLHYLQJDFKDQJHLQWUDQVPLWSRZHU
 DFFXUDF\ IRUFRQVHFXWLYH+(7%33'8

 7KHUHODWLYHWUDQVPLWSRZHUDFFXUDF\LVDSSOLFDEOH
 RQO\WR&ODVV%GHYLFHV



 7KHDEVROXWHWUDQVPLWSRZHUDFFXUDF\LVDSSOLFDEOHIRUWKHHQWLUHUDQJHRIWUDQVPLWSRZHUWKDWWKH67$LV


LQWHQGLQJ WR XVH IRU WKH FXUUHQW EDQG RI RSHUDWLRQ 7KH 566, DFFXUDF\ UHTXLUHPHQWV VKDOO EH DSSOLHG WR

 UHFHLYHVLJQDOOHYHOUDQJHIURP±G%PWR±G%PLQWKH*+]EDQGDQG±G%PWR±G%PLQWKH 
 *+]DQG*+]EDQGV7KHUHTXLUHPHQWVDUHIRUQRPLQDO URRP WHPSHUDWXUHFRQGLWLRQV7KH566,VKDOOEH
 PHDVXUHGGXULQJWKHUHFHSWLRQRIWKHQRQ+(SRUWLRQRIWKH+(33'8SUHDPEOH


 $67$FRPSHQVDWHVIRUFDUULHUIUHTXHQF\RIIVHW &)2 HUURUDQGV\PEROFORFNHUURUZLWKUHVSHFWWRWKHFRU
 UHVSRQGLQJWULJJHULQJ33'8ZKHQWUDQVPLWWLQJWKHIROORZLQJW\SHVRI33'8V

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ² +(7%33'8

 ² 1RQ+7RUQRQ+7GXSOLFDWH33'8ZLWKWKH7;9(&725SDUDPHWHU75,**(5B5(6321',1*

 VHWWRWUXH

127(²7KH085767ULJJHUIUDPHLVWKHRQO\7ULJJHUIUDPHWKDWVROLFLWVWUDQVPLVVLRQRIDQRQ+7RUQRQ+7GXSOL

FDWH33'8DQGQRWDQ+(7%33'87KHQRQ+7RUQRQ+7GXSOLFDWH33'8WUDQVPLWWHGDVDUHVSRQVHWRDQ08576 

7ULJJHUIUDPHFDUULHVD&76IUDPH


 $IWHUFRPSHQVDWLRQWKHDEVROXWHYDOXHRIUHVLGXDO&)2HUURUZLWKUHVSHFWWRWKHFRUUHVSRQGLQJWULJJHULQJ
 33'8VKDOOQRWH[FHHGWKHIROORZLQJOHYHOVZKHQPHDVXUHGDWWKHSRLQWRIWKHFRPSOHPHQWDU\FXPXOD
 WLYHGLVWULEXWLRQIXQFWLRQ &&') RI&)2HUURUVLQ$:*1DWDUHFHLYHGSRZHURI ±G%PLQWKHSULPDU\ 
 0+]

 ² +]IRUWKHGDWDVXEFDUULHUVRIDQ+(7%33'8
 ² N+]IRUDQRQ+733'8RUQRQ+7GXSOLFDWH33'8


 7KH UHVLGXDO &)2 HUURU PHDVXUHPHQW RQ DQ +( 7% 33'8 VKDOO EH PDGH DIWHU WKH +(6,*$ ILHOG 7KH
 UHVLGXDO&)2HUURUPHDVXUHPHQWRQWKHQRQ+7RUQRQ+7GXSOLFDWH33'8VKDOOEHPDGHDIWHUWKH/67) 
 ILHOG7KHV\PEROFORFNHUURUVKDOOEHFRPSHQVDWHGE\WKHVDPHSSPDPRXQWDVWKH&)2HUURU


 $67$WKDWWUDQVPLWVDQ+(7%33'8QRQ+733'8RUQRQ+7GXSOLFDWH33'8LQUHVSRQVHWRDWULJJHU
 LQJ 33'8 VKDOO HQVXUH WKDW WKH WUDQVPLVVLRQ VWDUW WLPH RI WKH +( 7% 33'8 QRQ+7 33'8 RU QRQ+7 
 GXSOLFDWH33'8LVZLWKLQ“—V—VIURPWKHHQGDWWKH67$¶VDQWHQQDFRQQHFWRURIWKHODVW2)'0 
 V\PERORIWKHWULJJHULQJ33'8 LILWFRQWDLQVQR3(ILHOG RURIWKH3(ILHOGRIWKHWULJJHULQJ33'8 LIWKH
 3(ILHOGLVSUHVHQW 

 127(²7KLVHQGLQVWDQWLVEHIRUHDQ\VLJQDOH[WHQVLRQVRWKLVLVHTXLYDOHQWWR+(7%33'8WUDQVPLVVLRQZLWKLQ—V
 RI6,)6DIWHUWKHHQGRIWKHWULJJHULQJ33'8LQFOXGLQJVLJQDOH[WHQVLRQ


680,02DQG'/080,02EHDPIRUPLQJ


 *HQHUDO

 680,02 DQG '/ 080,02 EHDPIRUPLQJ DUH WHFKQLTXHV XVHG E\ D 67$ ZLWK PXOWLSOH DQWHQQDV WKH

EHDPIRUPHU  WR VWHHU VLJQDOV XVLQJ NQRZOHGJH RI WKH FKDQQHO WR LPSURYH WKURXJKSXW :LWK 680,02


 EHDPIRUPLQJDOOVSDFHWLPHVWUHDPVLQWKHWUDQVPLWWHGVLJQDODUHLQWHQGHGIRUUHFHSWLRQDWDVLQJOH67$LQDQ

 58:LWK'/080,02EHDPIRUPLQJGLVMRLQWVXEVHWVRIWKHVSDFHWLPHVWUHDPVDUHLQWHQGHGIRUUHFHS
 WLRQDWGLIIHUHQW67$VLQDQ58RIVL]HJUHDWHUWKDQRUHTXDOWRWRQHV


)RU680,02DQG'/080,02EHDPIRUPLQJLQ58rWKHUHFHLYHVLJQDOYHFWRULQVXEFDUULHUk ZKHUH

 VXEFDUULHUkLVRQHRIWKHVXEFDUULHUVLQ58rKrLVWKHVHWRIXVHGVXEFDUULHULQGLFHVLQ58rDQG k  K r DW
T
 EHDPIRUPHH u y k u > y k  y k  } y k N RX ±  @  LV VKRZQ LQ (TXDWLRQ   ZKHUH
T T T T
> x k  x k  } x k Nuser r ±  @ GHQRWHVWKHWUDQVPLWVLJQDOYHFWRULQVXEFDUULHUkIRUDOONuser,rEHDPIRU
u
 xk
 T
PHHVZLWK x k u > x k  x k  } x k NSTS r u ±  @ EHLQJWKHWUDQVPLWVLJQDOIRUEHDPIRUPHHu


 y k u H k u u > Q k  Q k  } Q k Nuser r ±  @ u x k  n 



ZKHUH
 Hk,u LV WKH FKDQQHO PDWUL[ IURP WKH EHDPIRUPHU WR EHDPIRUPHH u LQ VXEFDUULHU k ZLWK GLPHQVLRQV
 N RX u u N TX

 N RXu LVWKHQXPEHURIUHFHLYHDQWHQQDVDWEHDPIRUPHHu

 Q k u LVDVWHHULQJPDWUL[IRUEHDPIRUPHHu LQVXEFDUULHUkZLWKGLPHQVLRQV N TX u N STS r u

Nuser,r LVWKHQXPEHURI+(0833'8UHFLSLHQWV VHH7DEOH )UHTXHQWO\XVHGSDUDPHWHUV LQ58r

 n LVDYHFWRURIDGGLWLYHQRLVHDQGPD\LQFOXGHLQWHUIHUHQFH

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KH '/ 080,02 VWHHULQJ PDWUL[ Q k > Q k  Q k  } Q k N user r ±  @  FDQ EH GHWHUPLQHG E\ WKH EHDP
 IRUPHU XVLQJ WKH EHDPIRUPLQJ IHHGEDFN IRU VXEFDUULHU k IURP EHDPIRUPHH u ZKHUH

 u   } N user r ±  7KHIHHGEDFNUHSRUWIRUPDWLVGHVFULEHGLQ +(&RPSUHVVHG%HDPIRUP
 LQJ5HSRUWILHOG DQG +(08([FOXVLYH%HDPIRUPLQJ5HSRUWILHOG 7KHVWHHULQJPDWUL[WKDWLV
 FRPSXWHG RU XSGDWHG  XVLQJ QHZ EHDPIRUPLQJ IHHGEDFN IURP VRPH RU DOO RI SDUWLFLSDWLQJ EHDPIRUPHHV

PLJKWUHSODFHWKHH[LVWLQJVWHHULQJPDWUL[ Q k IRUWKHQH[W'/080,02GDWDWUDQVPLVVLRQ



)RU 680,02 EHDPIRUPLQJ WKH VWHHULQJ PDWUL[ Qk FDQ EH GHWHUPLQHG IURP WKH EHDPIRUPLQJ IHHGEDFN 

 PDWUL[VkWKDWLVVHQWEDFNWRWKHEHDPIRUPHUE\WKHEHDPIRUPHHXVLQJWKHFRPSUHVVHGEHDPIRUPLQJIHHG
 EDFN PDWUL[ IRUPDW DV GHILQHG LQ  &RPSUHVVHG EHDPIRUPLQJ IHHGEDFN PDWUL[  7KH IHHGEDFN

 UHSRUWIRUPDWLVGHVFULEHGLQ +(&RPSUHVVHG%HDPIRUPLQJ5HSRUWILHOG 


 %HDPIRUPLQJIHHGEDFNPDWUL[V


 8SRQUHFHLSWRIDQ+(VRXQGLQJ1'3WKHEHDPIRUPHHFRPSXWHVDVHWRIPDWULFHVIRUIHHGEDFNWRWKHEHDP

 IRUPHU DV GHVFULEHG LQ  %HDPIRUPLQJ )HHGEDFN 0DWUL[ 9  7KH HOLJLEOH EHDPIRUPHHV VKDOO
 UHPRYHWKHVSDFHWLPHVWUHDP&6'LQ7DEOH &\FOLFVKLIWYDOXHVIRUWKH9+7PRGXODWHGILHOGVRID
 33'8 IURPWKHPHDVXUHGFKDQQHOEHIRUHFRPSXWLQJDVHWRIPDWULFHVIRUIHHGEDFNWRWKHEHDPIRUPHU


 7KHEHDPIRUPLQJIHHGEDFNPDWUL[Vk,uIRXQGE\WKHEHDPIRUPHHuIRUVXEFDUULHUkLQ58rVKDOOEHFRP

SUHVVHGLQWKHIRUPRIDQJOHVXVLQJWKHPHWKRGGHVFULEHGLQ &RPSUHVVHGEHDPIRUPLQJIHHG

 EDFNPDWUL[ 7KHDQJOHV‫(׋‬k,u)DQGȥ(k,u)DUHTXDQWL]HGDFFRUGLQJWR7DEOH 4XDQWL]DWLRQRIDQJOHV 
 ZLWKbȥGHILQHGE\WKH&RGHERRN,QIRUPDWLRQILHOGRIWKH+(0,02&RQWUROILHOG VHH +(0,02 
 &RQWURO ILHOG  7KH FRPSUHVVHG EHDPIRUPLQJ IHHGEDFN PDWUL[ DV GHILQHG LQ  &RPSUHVVHG

 EHDPIRUPLQJIHHGEDFNPDWUL[ LVWKHRQO\&ODXVH +LJK(IILFLHQF\ +( 3+<VSHFLILFDWLRQ EHDPIRUP
 LQJIHHGEDFNPDWUL[GHILQHG


 7KHEHDPIRUPHHVKDOOJHQHUDWHWKHEHDPIRUPLQJIHHGEDFNPDWULFHVZLWKWKHQXPEHURIURZV Nr HTXDOWR

 WKHNSTSRIWKH+(VRXQGLQJ1'3


 $IWHU UHFHLYLQJ WKH DQJOH LQIRUPDWLRQ ‫(׋‬k,u) DQG ȥ(k,u) WKH EHDPIRUPHU UHFRQVWUXFWV Vk,u XVLQJ 

(TXDWLRQ  )RU680,02EHDPIRUPLQJWKHEHDPIRUPHUXVHVVk,0PDWUL[WRGHWHUPLQHWKHVWHHULQJ 

 PDWUL[ Qk )RU '/ 080,02 EHDPIRUPLQJ WKH EHDPIRUPHU PD\ FDOFXODWH D VWHHULQJ PDWUL[ 
 Qk > Q k  Q k  } Q k Nuser r ±  @ XVLQJVk,uDQGǻSNRk,u ”u”Nuser,r± LQRUGHUWRVXSSUHVVFURVVWDON

 EHWZHHQSDUWLFLSDWLQJEHDPIRUPHHV7KHPHWKRGXVHGE\WKHEHDPIRUPHUWRFDOFXODWHWKHVWHHULQJPDWUL[Qk

 LVLPSOHPHQWDWLRQVSHFLILF


 &4,IHHGEDFN


 ,IWKH+(1'3$QQRXQFHPHQWIUDPHUHTXHVWV&4,IHHGEDFNWKHQXSRQUHFHLSWRIWKH+(VRXQGLQJ1'3
 WKHEHDPIRUPHHFRPSXWHV&4,IHHGEDFNDVGHVFULEHGLQ +(&4,5HSRUWILHOG 7KH&4,IHHGEDFN
 CQIs,r,uIRUEHDPIRUPHHuLQ58rIRUVSDFHWLPHVWUHDPsVKDOOEHHVWLPDWHGXVLQJWKHPHWKRGGHVFULEHGLQ


 +(&4,5HSRUWILHOG 7KH&4,YDOXHVWREHIHGEDFNDUHGHULYHGIURPTXDQWL]HG615VDFFRUGLQJ 

 WR7DEOHK $YHUDJH615RI58LQGH[NIRUVSDFHWLPHVWUHDPLVXEILHOG 7KHEHDPIRUPHHVKDOOWUDQV
 PLWWKH&4,IHHGEDFNIRUVSDFHWLPHVWUHDP«NcIRUHDFKRIWKH58LQGLFHVIRUZKLFKWKH&4,UHSRUWLV
 EHLQJUHTXHVWHGE\WKHEHDPIRUPHU7KHEHDPIRUPHUPD\XVHWKH&4,IHHGEDFNWRGHWHUPLQHWKHEHVWUDQJH

 RI58VIRUDFRPSUHVVHGEHDPIRUPLQJ&4,UHSRUWRUIRU58DVVLJQPHQWGXULQJDVXEVHTXHQW08WUDQVPLV
 VLRQV7KHDFWXDOXVHLVLPSOHPHQWDWLRQVSHFLILF

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 +(VRXQGLQJ1'3


 7KH+(VRXQGLQJ1'3LVDYDULDQWRIWKH+(6833'87KHIRUPDWRIDQ+(VRXQGLQJ1'3LVGHILQHGLQ
 )LJXUH +(VRXQGLQJ1'3IRUPDW 



—VRU—VSHU+(/7)V\PEROXVLQJ[+(/7)
 —V —V —V —V —V —V
—VSHU+(/7)V\PEROXVLQJ[+(/7) —V

 5/ +(
 /67) //7) /6,* +(6,*$ +(/7) 3(
6,* 67)



 )LJXUH²+(VRXQGLQJ1'3IRUPDW

127(²7KHQXPEHURI+(/7)V\PEROVLQWKH+(VRXQGLQJ1'3LVLQGLFDWHGLQWKH1676$QG0LGDPEOH3HULRGLFLW\

ILHOGLQWKH+(6,*$ILHOG


 7KH+(VRXQGLQJ1'3KDVWKHIROORZLQJSURSHUWLHV

² 8VHVWKH+(6833'8IRUPDWEXWZLWKRXWWKH'DWDILHOG

 ² +DVD3(ILHOGWKDWLV—VLQGXUDWLRQ


 7KH+(VRXQGLQJ1'3RYHUODSSLQJWKHWRQH58VFRUUHVSRQGLQJWRELWVZLWKDYDOXHRILQWKHELWPDS

 RI WKH 7;9(&725 SDUDPHWHU ,1$&7,9(B68%&+$11(/6 RU RYHUODSSLQJ D SXQFWXUHG FHQWHU WRQH
 58RIDQ+(VRXQGLQJ1'3DUHSXQFWXUHG7KHFHQWHUWRQH58RIWKH+(VRXQGLQJ1'3LVSXQFWXUHGLI
 HLWKHURQHRIWKHDGMDFHQWWRQH58VLVSXQFWXUHG


 ,WLVPDQGDWRU\WRVXSSRUWWKH[+(/7)ZLWK—V*,DQG[+(/7)ZLWK—V*,,WLVRSWLRQDOWR
 VXSSRUWWKH[+(/7)ZLWK—V*,7KHRWKHUFRPELQDWLRQVRI+(/7)W\SHDQG*,GXUDWLRQDUHGLVDO
 ORZHG


 ,IWKH%HDPIRUPHGILHOGLQ+(6,*$RIDQ+(VRXQGLQJ1'3LVWKHQWKHUHFHLYHURIWKH+(VRXQGLQJ

 1'3VKRXOGQRWSHUIRUPFKDQQHOVPRRWKLQJZKHQJHQHUDWLQJWKHFRPSUHVVHGEHDPIRUPLQJIHHGEDFNUHSRUW

 +(7%IHHGEDFN1'3


 7KH+(7%IHHGEDFN1'3LVXVHGWRFDUU\WKH1'3IHHGEDFNUHSRUWLQIRUPDWLRQDVLQWURGXFHGLQ

 1'3IHHGEDFNUHSRUWSURFHGXUH 7KH33'8VWUXFWXUHRIDQ+(7%IHHGEDFN1'3LVVKRZQLQ)LJXUH
  +(7%IHHGEDFN1'3IRUPDW 



 —V —V —V —V —V —V +(/7)V\PEROVZLWK—VSHUV\PEROXVLQJ[+(/7)

 5/ +(
 /67) //7) /6,* +(6,*$ +(/7)
6,* 67)


 )LJXUH²+(7%IHHGEDFN1'3IRUPDW

 7KH+(7%IHHGEDFN1'3KDVWKHIROORZLQJSURSHUWLHV

 ² 8VHVWKH+(7%33'8IRUPDWEXWZLWKRXWWKH'DWDILHOGDQG3(ILHOG

 ² +DVWZR[+(/7)V\PEROV
 ² [+(/7)ZLWK—V*,LVWKHRQO\+(/7)W\SHDQG*,GXUDWLRQFRPELQDWLRQIRUWKH+(/7)

 ² 7KHJHQHUDWLRQRI+(/7)V\PEROVIRUWKH+(7%IHHGEDFN1'3LVGHILQHGLQ +(/7)

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ² 7KH+(67)DQGWKHSUH+(PRGXODWHGILHOGVDUHWUDQVPLWWHGRQO\RQWKH0+]FKDQQHOZKHUHWKH
 67$LVDVVLJQHG


 7UDQVPLWVSHFLILFDWLRQ

 7UDQVPLWVSHFWUDOPDVN


 7KHEDQGZLGWKRIWKHVSHFWUDOPDVNDSSOLHGWRDQ+(6833'8DQ+(7%33'8DQGDQ+(0833'8 
 ZLWKWKH%DQGZLGWKILHOGRIWKH+(6,*$ILHOGHTXDOWRRUVKDOOEHGHWHUPLQHGE\WKHEDQGZLGWK 
 LQGLFDWHGLQWKH%DQGZLGWKILHOGRIWKH+(6,*$ILHOG7KHEDQGZLGWKRIWKHVSHFWUDOPDVNDSSOLHGWRDQ 
 +((56833'8LV0+]7KHEDQGZLGWKRIWKHVSHFWUDOPDVNDSSOLHGWRDQ+(0833'8ZLWKWKH

 %DQGZLGWK ILHOG RI WKH +(6,*$ ILHOG HTXDO WR  RU  LV  0+] 7KH EDQGZLGWK RI WKH VSHFWUDO PDVN

 DSSOLHGWRDQ+(0833'8ZLWKWKH%DQGZLGWKILHOGRIWKH+(6,*$ILHOGHTXDOWRRULV0+]$OO
 +(33'8IRUPDWVVKDOOEHFRPSOLDQWZLWKWKHWUDQVPLWVSHFWUDOPDVNGHVFULEHGLQWKLVVHFWLRQ

 127(²,QWKHSUHVHQFHRIDGGLWLRQDOUHJXODWRU\UHVWULFWLRQVWKHGHYLFHKDVWRPHHWERWKWKHUHJXODWRU\UHTXLUHPHQWV
 DQGWKHPDVNGHILQHGLQWKLVVXEFODXVH

127(²7UDQVPLWVSHFWUDOPDVNILJXUHVLQWKLVVXEFODXVHDUHQRWGUDZQWRVFDOH

 127(²)RUUXOHVUHJDUGLQJWUDQVPLWFHQWHUIUHTXHQF\OHDNDJHOHYHOVVHH 7UDQVPLWFHQWHUIUHTXHQF\OHDN
 DJH 7KHVSHFWUDOPDVNUHTXLUHPHQWVLQWKLVVXEFODXVHGRQRWDSSO\WRWKH5)/2


 )RUD0+]PDVN33'8RI+(IRUPDWWKHLQWHULPWUDQVPLWVSHFWUDOPDVNVKDOOKDYHDG%U G%UHODWLYH
 WRWKHPD[LPXPVSHFWUDOGHQVLW\RIWKHVLJQDO EDQGZLGWKRI0+]±G%UDW0+]IUHTXHQF\RII
 VHW±G%UDW0+]IUHTXHQF\RIIVHWDQG±G%UDW0+]IUHTXHQF\RIIVHWDQGDERYH7KHLQWHULP
 WUDQVPLWVSHFWUDOPDVNIRUIUHTXHQF\RIIVHWVEHWZHHQDQG0+]DQG0+]DQGDQG 
 0+]VKDOOEHOLQHDUO\LQWHUSRODWHGLQG%GRPDLQIURPWKHUHTXLUHPHQWVIRU0+]0+]0+]

 DQG0+]IUHTXHQF\RIIVHWV7KHWUDQVPLWVSHFWUXPVKDOOQRWH[FHHGWKHPD[LPXPRIWKHLQWHULPWUDQVPLW
 VSHFWUDOPDVNDQG±G%P0+]DWDQ\IUHTXHQF\RIIVHW)LJXUH ([DPSOHWUDQVPLWVSHFWUDOPDVNIRU
 D0+]PDVN33'8 VKRZVDQH[DPSOHRIWKHUHVXOWLQJRYHUDOOVSHFWUDOPDVNZKHQWKH±G%UVSHFWUXP 
 OHYHOLVDERYH±G%P0+]



 36'

 G%U




 G%U

 G%U





 G%U
 )UHT>0+]@

        


 )LJXUH²([DPSOHWUDQVPLWVSHFWUDOPDVNIRUD0+]PDVN33'8


 )RUD0+]PDVN33'8RI+(IRUPDWWKHLQWHULPWUDQVPLWVSHFWUDOPDVNVKDOOKDYHDG%U G%UHODWLYH
 WRWKHPD[LPXPVSHFWUDOGHQVLW\RIWKHVLJQDO EDQGZLGWKRI0+]±G%UDW0+]IUHTXHQF\RII

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 VHW±G%UDW0+]IUHTXHQF\RIIVHWDQG±G%UDW0+]IUHTXHQF\RIIVHWDQGDERYH7KHLQWHULP 
 WUDQVPLWVSHFWUDOPDVNIRUIUHTXHQF\RIIVHWVLQEHWZHHQDQG0+]DQG0+]DQGDQG

0+]VKDOOEHOLQHDUO\LQWHUSRODWHGLQG%GRPDLQIURPWKHUHTXLUHPHQWVIRU0+]0+] 

 0+]DQG0+]IUHTXHQF\RIIVHWV7KHWUDQVPLWVSHFWUXPVKDOOQRWH[FHHGWKHPD[LPXPRIWKHLQWHULP 
 WUDQVPLW VSHFWUDO PDVN DQG ± G%P0+] DW DQ\ IUHTXHQF\ RIIVHW JUHDWHU WKDQ  0+] )LJXUH
 ([DPSOHWUDQVPLWVSHFWUDOPDVNIRUD0+]PDVN33'8 VKRZVDQH[DPSOHRIWKHUHVXOWLQJRYHUDOOVSHF
 WUDOPDVNZKHQWKH±G%UVSHFWUXPOHYHOLVDERYH±G%P0+]



 36'

 G%U




 G%U

 G%U





 G%U
 )UHT>0+]@

        


 )LJXUH²([DPSOHWUDQVPLWVSHFWUDOPDVNIRUD0+]PDVN33'8


 )RUDQ0+]PDVN33'8RI+(IRUPDWWKHLQWHULPWUDQVPLWVSHFWUDOPDVNVKDOOKDYHDG%U G%UHODWLYH
 WRWKHPD[LPXPVSHFWUDOGHQVLW\RIWKHVLJQDO EDQGZLGWKRI0+]±G%UDW0+]IUHTXHQF\RII
 VHW±G%UDW0+]IUHTXHQF\RIIVHWDQG±G%UDW0+]IUHTXHQF\RIIVHWDQGDERYH7KHLQWHULP

 WUDQVPLWVSHFWUDOPDVNIRUIUHTXHQF\RIIVHWVLQEHWZHHQDQG0+]DQG0+]DQGDQG
 0+]VKDOOEHOLQHDUO\LQWHUSRODWHGLQG%GRPDLQIURPWKHUHTXLUHPHQWVIRU0+]0+]

 0+]DQG0+]IUHTXHQF\RIIVHWV7KHWUDQVPLWVSHFWUXPVKDOOQRWH[FHHGWKHPD[LPXPRIWKHLQWHULP 
 WUDQVPLWVSHFWUXPPDVNDQG±G%P0+]DWDQ\IUHTXHQF\RIIVHW)LJXUH ([DPSOHWUDQVPLWVSHF























 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 WUDOPDVNIRUDQ0+]PDVN33'8 VKRZVDQH[DPSOHRIWKHUHVXOWLQJRYHUDOOVSHFWUDOPDVNZKHQWKH±

 G%UVSHFWUXPOHYHOLVDERYH±G%P0+]



 36'

 G%U




 G%U

 G%U





 G%U
 )UHT>0+]@

        


 )LJXUH²([DPSOHWUDQVPLWVSHFWUDOPDVNIRUDQ0+]PDVN33'8


 )RUD0+]PDVN33'8RI+(IRUPDWWKHLQWHULPWUDQVPLWVSHFWUDOPDVNVKDOOKDYHDG%U G%UHODWLYH
 WRWKHPD[LPXPVSHFWUDOGHQVLW\RIWKHVLJQDO EDQGZLGWKRI0+]±G%UDW0+]IUHTXHQF\RII

 VHW±G%UDW0+]IUHTXHQF\RIIVHWDQG±G%UDW0+]IUHTXHQF\RIIVHWDQGDERYH7KHLQWHULP

 WUDQVPLWVSHFWUDOPDVNIRUIUHTXHQF\RIIVHWVLQEHWZHHQDQG0+]DQG0+]DQGDQG
 0+]VKDOOEHOLQHDUO\LQWHUSRODWHGLQG%GRPDLQIURPWKHUHTXLUHPHQWVIRU0+]0+] 
 0+]DQG0+]IUHTXHQF\RIIVHWV7KHWUDQVPLWVSHFWUXPVKDOOQRWH[FHHGWKHPD[LPXPRIWKHLQWHULP 


WUDQVPLWVSHFWUXPPDVNDQG±G%P0+]DWDQ\IUHTXHQF\RIIVHW)LJXUH ([DPSOHWUDQVPLWVSHF
 WUDOPDVNIRUD0+]PDVN33'8 VKRZVDQH[DPSOHRIWKHUHVXOWLQJRYHUDOOVSHFWUDOPDVNZKHQWKH± 
 G%UVSHFWUXPOHYHOLVDERYH±G%P0+]



 36'
 G%U





 G%U

 G%U





 G%U
 )UHT>0+]@

        


 )LJXUH²([DPSOHWUDQVPLWVSHFWUDOPDVNIRUD0+]PDVN33'8

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 )RUDQ0+]PDVN33'8RI+(IRUPDWWKHRYHUDOOWUDQVPLWVSHFWUDOPDVNLVFRQVWUXFWHGLQWKHIRO
 ORZLQJPDQQHU)LUVWWKH0+]LQWHULPVSHFWUDOPDVNLVSODFHGRQHDFKRIWKHWZR0+]VHJPHQWV)RU

 HDFKIUHTXHQF\DWZKLFKHLWKHURIWKH0+]LQWHULPVSHFWUDOPDVNKDVYDOXHHTXDOWRG%UWKHQG%U
 VKDOOEHWDNHQDVWKHRYHUDOOLQWHULPVSHFWUDOPDVNYDOXH7KHQIRUHDFKIUHTXHQF\DWZKLFKERWKRIWKH 
 0+]LQWHULPVSHFWUDOPDVNVKDYHYDOXHVJUHDWHUWKDQ±G%UDQGOHVVWKDQ±G%UWKHVXPRIWKHWZR 
 LQWHULPPDVNYDOXHV VXPPHGLQOLQHDUGRPDLQ VKDOOEHWDNHQDVWKHRYHUDOOLQWHULPVSHFWUDOPDVNYDOXH

 1H[W IRUHDFKIUHTXHQF\ DWZKLFK QHLWKHU RIWKHWZR  0+]LQWHULPPDVNVKDYHYDOXHVJUHDWHUWKDQRU
 HTXDOWR±G%UWKHKLJKHUYDOXHRIWKHWZRLQWHULPPDVNVVKDOOEHWDNHQDVWKHRYHUDOOLQWHULPVSHFWUDO
 PDVNYDOXH)LQDOO\IRUDQ\IUHTXHQF\UHJLRQZKHUHWKHRYHUDOOLQWHULPVSHFWUDOPDVNYDOXHKDVQRWEHHQ 
 GHILQHG\HWOLQHDULQWHUSRODWLRQ LQG%GRPDLQ EHWZHHQWKHQHDUHVWWZRIUHTXHQF\SRLQWVZLWKWKHRYHUDOO

 LQWHULP VSHFWUDO PDVN YDOXH GHILQHG VKDOO EH XVHG WR GHILQH WKH RYHUDOO LQWHULP VSHFWUDO PDVN YDOXH 7KH
 WUDQVPLW VSHFWUXP VKDOO QRW H[FHHG WKH PD[LPXP RI WKH RYHUDOO LQWHULP WUDQVPLW VSHFWUXP PDVN DQG ±
 G%P0+]DWDQ\IUHTXHQF\RIIVHW)LJXUH ([DPSOHWUDQVPLWVSHFWUDOPDVNIRUDQ0+]PDVN

33'8 VKRZVDQH[DPSOHRIDWUDQVPLWVSHFWUDOPDVNIRUDQRQFRQWLJXRXVWUDQVPLVVLRQXVLQJWZR0+]

 FKDQQHOVZKHUHWKHFHQWHUIUHTXHQF\RIWKHWZR0+]FKDQQHOVDUHVHSDUDWHGE\0+]DQGWKH±G%U
 VSHFWUXPOHYHOLVDERYH±G%P0+]


 36' 36'
 G%U G%U

 0+]0DVN 0+]0DVN

G%U G%U

 G%U G%U





 G%U G%U


          I>0+]@          I>0+]@


 36'
 G%U
 2YHUDOOWUDQVPLWVSHFWUDOPDVN
EROGOLQH


G%U

 ERWKRIWKH0+] G%U
QHLWKHURIWKHWZR
VSHFWUDOPDVNVKDYH
 YDOXHVJUHDWHUWKDQ
G%U 0+]PDVNVKDYH
YDOXHVJUHDWHUWKDQ
 G%UDQGOHVV
RUHTXDOWRG%U
WKDQG%U
 DQGOHVVWKDQRU
HTXDOWRG%U


 G%U


I>0+]@
              
 KLJKHU 2ULJLQDO OLQ 2ULJLQDO KLJKHU
YDOXH 0DVN VXP 0DVN YDOXH


 )LJXUH²([DPSOHWUDQVPLWVSHFWUDOPDVNIRUDQ0+]PDVN33'8


 'LIIHUHQWFHQWHUIUHTXHQF\VHSDUDWLRQEHWZHHQWKHWZR0+]IUHTXHQF\VHJPHQWVRIWKHVSHFWUDOPDVNDV
 ZHOODVGLIIHUHQWSHDNOHYHOVRIHDFK0+]IUHTXHQF\VHJPHQWRIWKHVSHFWUDOPDVNDUHSRVVLEOHLQZKLFK

 FDVH D VLPLODU SURFHGXUH LQ GHWHUPLQLQJ WKH VSHFWUDO PDVN DV LQ )LJXUH ([DPSOH WUDQVPLW VSHFWUDO
 PDVNIRUDQ0+]PDVN33'8 LVIROORZHG

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KH WUDQVPLW VSHFWUDO PDVN IRU QRQFRQWLJXRXV WUDQVPLVVLRQV XVLQJ WZR QRQDGMDFHQW  0+] FKDQQHOV LV
 DSSOLFDEOHRQO\LQUHJXODWRU\GRPDLQVWKDWDOORZIRUVXFKWUDQVPLVVLRQV


 0HDVXUHPHQWVVKDOOEHPDGHXVLQJDN+]UHVROXWLRQEDQGZLGWKDQGDN+]YLGHREDQGZLGWK

 )RUSUHDPEOHSXQFWXUHWKHVLJQDOOHDNDJHWRWKHSUHDPEOHSXQFWXUHGFKDQQHOIURPWKHRFFXSLHGVXEFKDQQHOV
 VKDOOEHOHVVWKDQRUHTXDOWR±G%U G%UHODWLYHWRWKHPD[LPXPVSHFWUDOGHQVLW\RIWKHVLJQDO VWDUWLQJ

0+]IURPWKHERXQGDU\RIWKHSUHDPEOHSXQFWXUHGFKDQQHO'HQRWHWKHQXPEHURI0+]SXQFWXUHG 

 FKDQQHOVE\N

 $QH[DPSOHWUDQVPLWVSHFWUDOPDVNIRUDQNî0+]SUHDPEOHSXQFWXUHGFKDQQHOZLWKWUDQVPLVVLRQRQWKH
 ERWK WKH XSSHU DQG ORZHU VXEFKDQQHOV LV VKRZQ LQ )LJXUH ([DPSOH WUDQVPLW VSHFWUDO PDVN IRU WKH

1î0+]SUHDPEOHSXQFWXUHGFKDQQHOZLWKWUDQVPLVVLRQVRQERWKXSSHUDQGORZHUVXEFKDQQHOV ZKHUH

 WKH;D[LVLQWKHSORWLVFHQWHUHGLQWKHPLGGOHRIWKHSXQFWXUHGVXEEDQGV



 36'


 G%U G%U







 G%U G%U
 )UHT>0+]@

 -(Nx10) -(Nx10)+0.5 Nx10-0.5 Nx10


 )LJXUH²([DPSOHWUDQVPLWVSHFWUDOPDVNIRUWKHNî0+]SUHDPEOHSXQFWXUHGFKDQ
 QHOZLWKWUDQVPLVVLRQVRQERWKXSSHUDQGORZHUVXEFKDQQHOV



























&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 $QH[DPSOHWUDQVPLWVSHFWUDOPDVNIRUWKHNî0+]SUHDPEOHSXQFWXUHGFKDQQHOZLWKWUDQVPLVVLRQRQWKH
 ORZHUVXEFKDQQHOLVVKRZQLQ)LJXUH ([DPSOHWUDQVPLWVSHFWUDOPDVNIRUWKH1î0+]SUHDPEOH

SXQFWXUHGFKDQQHOZLWKWUDQVPLVVLRQVRQWKHORZHUVXEFKDQQHO




 36'


 G%U







G%U

 )UHT>0+]@

 -(Nx10) -(Nx10)+0.5 Nx10


 )LJXUH²([DPSOHWUDQVPLWVSHFWUDOPDVNIRUWKHNî0+]SUHDPEOHSXQFWXUHGFKDQ
 QHOZLWKWUDQVPLVVLRQVRQWKHORZHUVXEFKDQQHO


 6SHFWUDOIODWQHVV


 6SHFWUDO IODWQHVV PHDVXUHPHQWV VKDOO EH FRQGXFWHG XVLQJ %36. PRGXODWHG +( 33'8V 7KH +( 33'8V
 VKDOOEHGHPRGXODWHGXVLQJWKHIROORZLQJ RUHTXLYDOHQW SURFHGXUH

 D 6WDUWRI33'8VKDOOEHGHWHFWHG

 E 7UDQVLWLRQIURP/67)WR//7)VKDOOEHGHWHFWHGDQGILQHWLPLQJVKDOOEHHVWDEOLVKHG

 F &RDUVHDQGILQHIUHTXHQF\RIIVHWVVKDOOEHHVWLPDWHG

 G 6\PEROVLQD33'8VKDOOEHPDQLSXODWHGWRDFFRXQWIRUERWKIUHTXHQF\HUURUDQGVDPSOLQJRIIVHW

GULIW



H )RUHDFK+(/7)V\PEROWUDQVIRUPWKHV\PEROLQWRVXEFDUULHUUHFHLYHGYDOXHVHVWLPDWHWKHSKDVH
 IURPWKHSLORWVXEFDUULHUVDQGFRPSHQVDWHWKHVXEFDUULHUYDOXHVDFFRUGLQJWRWKHHVWLPDWHGSKDVH

 I )RUHDFKRIWKHGDWD2)'0V\PEROVWUDQVIRUPWKHV\PEROLQWRVXEFDUULHUUHFHLYHGYDOXHV


 7KHVSHFWUDOIODWQHVVWHVWVKDOOEHSHUIRUPHGRYHUDWOHDVW+(33'8V7KH33'8VXQGHUWHVWVKDOOEHDW
 OHDVWGDWD2)'0V\PEROVORQJ


 (YDOXDWHVSHFWUDOIODWQHVVXVLQJWKHVXEFDUULHUUHFHLYHGYDOXHVRUWKHPDJQLWXGHRIWKHFKDQQHOHVWLPDWLRQRI
 WKH RFFXSLHG VXEFDUULHUV RI WKH WUDQVPLVVLRQ +( 33'8V 1RQRFFXSLHG VXEFDUULHUV RI WKH WUDQVPLWWHG +(

 33'8V VKDOO EH LJQRUHG GXULQJ DYHUDJLQJ DQG WHVWLQJ 5HVRXUFH XQLW SRZHU ERRVWLQJ DQG EHDPIRUPLQJ
 VKRXOGQRWEHXVHGZKHQPHDVXULQJVSHFWUDOIODWQHVV


 /HWEi,avgGHQRWHWKHPDJQLWXGHRIWKHFKDQQHOHVWLPDWLRQRQVXEFDUULHUiRUWKHDYHUDJHFRQVWHOODWLRQHQHUJ\

RID%36.PRGXODWHGVXEFDUULHUiLQDQ+(GDWDV\PERO,QDFRQWLJXRXV+(WUDQVPLVVLRQKDYLQJDEDQG

 ZLGWKOLVWHGLQ7DEOH 0D[LPXPWUDQVPLWVSHFWUDOIODWQHVVGHYLDWLRQV Ei,avgRIHDFKRIWKHVXEFDUULHUV
 ZLWKLQGLFHVOLVWHGDVWHVWHGVXEFDUULHULQGLFHVVKDOOQRWGHYLDWHE\PRUHWKDQWKHVSHFLILHGPD[LPXPGHYLD

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 WLRQLQ7DEOH 0D[LPXPWUDQVPLWVSHFWUDOIODWQHVVGHYLDWLRQV IURPWKHDYHUDJHRIEi,avgRYHUVXEFDU


 ULHULQGLFHVOLVWHGDVDYHUDJLQJVXEFDUULHULQGLFHV$YHUDJLQJRIEi,avgLVGRQHLQWKHOLQHDUGRPDLQ



 7DEOH²0D[LPXPWUDQVPLWVSHFWUDOIODWQHVVGHYLDWLRQV


 %DQGZLGWKRI 0D[LPXP
$YHUDJLQJVXEFDUULHU 7HVWHGVXEFDUULHULQGLFHV
 WUDQVPLVVLRQ GHYLDWLRQ
LQGLFHV LQFOXVLYH LQFOXVLYH
 0+] G%

 ±WR±DQGWR ±WR±DQGWR “

 ±WR±DQGWR ±

 ±WR±DQGWR ±WR±DQGWR “
 
 ±WR±DQGWR ±

 ±WR±DQGWR ±WR±DQGWR “
 
 ±WR±DQGWR ±
 ±WR±±WR± ±WR±±WR± “
 WRDQGWR WRDQGWR
  
 ±WR±±WR± ±
 WRDQGWR



 ,QDQ0+]WUDQVPLVVLRQHDFKVHJPHQWVKDOOPHHWWKHVSHFWUDOIODWQHVVUHTXLUHPHQWIRUDQ0+]
 WUDQVPLVVLRQ


 )RUWKHVSHFWUDOIODWQHVVWHVWWKHWUDQVPLWWLQJ67$VKDOOEHFRQILJXUHGWRXVHDVSDWLDOPDSSLQJPDWUL[Qk
 VHH 2)'0PRGXODWLRQ ZLWKIODWIUHTXHQF\UHVSRQVH(DFKRXWSXWSRUWXQGHUWHVWRIWKHWUDQV
 PLWWLQJ67$VKDOOEHFRQQHFWHGWKURXJKDFDEOHWRRQHLQSXWSRUWRIWKHWHVWLQJLQVWUXPHQWDWLRQ7KHUHTXLUH

PHQWV VKDOO DSSO\ WR  0+]  0+]  0+] DQG  0+] FRQWLJXRXV WUDQVPLVVLRQV DV ZHOO DV

 0+]WUDQVPLVVLRQV

 7UDQVPLWFHQWHUIUHTXHQF\DQGV\PEROFORFNIUHTXHQF\WROHUDQFH


 7UDQVPLWFHQWHUIUHTXHQF\DQGWKHV\PEROFORFNIUHTXHQF\IRUDOOWUDQVPLWDQWHQQDVDQGIUHTXHQF\VHJPHQWV
 VKDOOEHGHULYHGIURPWKHVDPHUHIHUHQFHRVFLOODWRU7KHV\PEROFORFNIUHTXHQF\DQGWUDQVPLWFHQWHUIUH
 TXHQF\WROHUDQFHVKDOOEH“SSPLQWKH*+]DQG*+]EDQGVDQG“SSPLQWKH*+]EDQG+(7% 
 33'8IRUPDWLVVXEMHFWWRDGGLWLRQDOUHTXLUHPHQWVDVGHILQHGLQ 7UDQVPLWUHTXLUHPHQWVIRU33'8V


VHQWLQUHVSRQVHWRDWULJJHULQJIUDPH 

 7UDQVPLWVLJQDOVZLWK7;9(&725SDUDPHWHU&+B%$1':,'7+VHWWR&%:RU&%:PD\EH
 JHQHUDWHGXVLQJWZRVHSDUDWH5)/2VRQHIRUHDFKRIWKHORZHUDQGXSSHU0+]IUHTXHQF\SRUWLRQV

 127(²7KHVLJQDOSKDVHRIWKHWZR0+]IUHTXHQF\SRUWLRQVPLJKWQRWEHFRUUHODWHG


0RGXODWLRQDFFXUDF\


 ,QWURGXFWLRQWRPRGXODWLRQDFFXUDF\WHVWV


7UDQVPLWPRGXODWLRQDFFXUDF\VSHFLILFDWLRQVDUHGHVFULEHGLQ 7UDQVPLWFHQWHUIUHTXHQF\OHDN

 DJH DQG 7UDQVPLWWHUFRQVWHOODWLRQHUURU 7KHWHVWPHWKRGLVGHVFULEHGLQ 7UDQV
 PLWWHUPRGXODWLRQDFFXUDF\ (90 WHVW 

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7UDQVPLWFHQWHUIUHTXHQF\OHDNDJH


)RUDQ0+]WUDQVPLVVLRQZKHUHWKH5)/2IDOOVRXWVLGHERWKIUHTXHQF\VHJPHQWVWKH5)/2VKDOO

 PHHWWKHVSHFWUDOPDVNUHTXLUHPHQWVDVGHILQHGLQ 7UDQVPLWVSHFWUDOPDVN 2WKHUZLVHWKHSRZHU
 PHDVXUHGDWWKHORFDWLRQRIWKH5)/2XVLQJUHVROXWLRQ%:N+]VKDOOQRWH[FHHGWKHPD[LPXPRI±
 G%UHODWLYHWRWKHWRWDOWUDQVPLWSRZHUDQG ±G%PRUHTXLYDOHQWO\PD[ P ± ± ZKHUHPLVWKH
 WUDQVPLWSRZHUSHUDQWHQQDLQG%P7KHWUDQVPLWFHQWHUIUHTXHQF\OHDNDJHLVVSHFLILHGSHUDQWHQQD


 7UDQVPLWWHUFRQVWHOODWLRQHUURU

 7KHUHODWLYHFRQVWHOODWLRQ506HUURULQWKHWHVWFDOFXODWHGE\ILUVWDYHUDJLQJRYHUVXEFDUULHUVIUHTXHQF\
 VHJPHQWV+(33'8VDQGVSDWLDOVWUHDPV VHH(TXDWLRQ  DVGHVFULEHGLQ 7UDQVPLWWHU

PRGXODWLRQ DFFXUDF\ (90  WHVW  VKDOO QRW H[FHHG D GDWDUDWH GHSHQGHQW YDOXH DFFRUGLQJ WR 7DEOH 

 $OORZHG UHODWLYH FRQVWHOODWLRQ HUURU YHUVXV FRQVWHOODWLRQ VL]H DQG FRGLQJ UDWH  7KH QXPEHU RI VSDWLDO
 VWUHDPVXQGHUWHVWVKDOOEHHTXDOWRWKHQXPEHURIXWLOL]HGWUDQVPLWWLQJ67$DQWHQQD RXWSXW SRUWVDQGDOVR
 HTXDOWRWKHQXPEHURIXWLOL]HGWHVWLQJLQVWUXPHQWDWLRQLQSXWSRUWV,QWKHWHVWNSS NSTS QR67%& DQGQR
 EHDPIRUPLQJ VWHHULQJ PDWUL[ VKDOO EH XVHG (DFK RXWSXW SRUW RI WKH WUDQVPLWWLQJ 67$ VKDOO EH FRQQHFWHG


WKURXJKDFDEOHWRRQHLQSXWSRUWRIWKHWHVWLQJLQVWUXPHQWDWLRQ7KHUHTXLUHPHQWVVKDOODSSO\WR0+]

 0+]0+]DQG0+]FRQWLJXRXVWUDQVPLVVLRQVDVZHOODV0+]QRQFRQWLJXRXVWUDQVPLV
 VLRQV


 7DEOH²$OORZHGUHODWLYHFRQVWHOODWLRQHUURUYHUVXVFRQVWHOODWLRQVL]HDQGFRGLQJUDWH


 0RGXODWLRQ 5HODWLYH
 5HODWLYH
FRQVWHOODWLRQ
 5HODWLYH FRQVWHOODWLRQHUURU
HUURULQDQ+(
 FRQVWHOODWLRQHUURU LQDQ+(7%33'8
7%33'8ZKHQ
 &RGLQJ LQDQ+(6833'8 ZKHQWUDQVPLW
WUDQVPLWSRZHULV
 :LWKRXW UDWH +((56833'8 SRZHULVOHVVWKDQ
:LWK'&0 ODUJHUWKDQWKH
 '&0 DQG+(0833'8 RUHTXDOWRWKH
PD[LPXPSRZHU
 G% PD[LPXPSRZHURI
RI+(0&6
 +(0&6 G%
G%

 1$ %36.  ± ± ±

 %36. 436.  ± ± ±

 436. 4$0  ± ± ±

 436. 4$0  ± ± ±
 4$0 1$  ± ± ±

 4$0 1$  ± ± ±

 4$0 1$  ± ± ±

 4$0 1$  ± ± ±

 4$0 1$  ± ± ±
 4$0 1$  ± ± ±

 4$0 1$  ± ± ±

 4$0 1$  ±± ±± ±±






 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²$OORZHGUHODWLYHFRQVWHOODWLRQHUURUYHUVXVFRQVWHOODWLRQVL]HDQGFRGLQJUDWH


 0RGXODWLRQ 5HODWLYH
5HODWLYH
 FRQVWHOODWLRQ
5HODWLYH FRQVWHOODWLRQHUURU
 HUURULQDQ+(
FRQVWHOODWLRQHUURU LQDQ+(7%33'8
 7%33'8ZKHQ
&RGLQJ LQDQ+(6833'8 ZKHQWUDQVPLW
 WUDQVPLWSRZHULV
:LWKRXW UDWH +((56833'8 SRZHULVOHVVWKDQ
 :LWK'&0 ODUJHUWKDQWKH
'&0 DQG+(0833'8 RUHTXDOWRWKH
 PD[LPXPSRZHU
G% PD[LPXPSRZHURI
 RI+(0&6
+(0&6 G%
 G%

 4$0 1$  ±± ±± ±±

 127(²7KHPD[LPXPSRZHURI+(0&6FDQEHPHDVXUHGE\VHWWLQJWKH8/7DUJHW566,VXEILHOGDV
 GHILQHGLQ7DEOHL 8/7DUJHW566,VXEILHOGHQFRGLQJ LQWKH7ULJJHUIUDPHWRIRUWKH58IRUZKLFKWKH
 (90WHVWLVFRQGXFWHG



)RU4$0WKHUHODWLYHFRQVWHOODWLRQHUURUVKDOOPHHWRQHRIWKHIROORZLQJUHTXLUHPHQWV

 ² 7KHUHODWLYHFRQVWHOODWLRQHUURUVKDOOOHVVWKDQRUHTXDOWR±G%LIDPSOLWXGHGULIWFRPSHQVDWLRQLV
 GLVDEOHGLQWKHWHVWHTXLSPHQW

 ² 7KHUHODWLYHFRQVWHOODWLRQHUURUVKDOOEHOHVVWKDQRUHTXDOWR±G%ZLWKDPSOLWXGHGULIWFRPSHQVD
 WLRQHQDEOHGLQWKHWHVWHTXLSPHQWDQGWKHUHODWLYHFRQVWHOODWLRQHUURUVKDOOEHOHVVWKDQRUHTXDOWR±
 G%ZLWKDPSOLWXGHGULIWFRPSHQVDWLRQGLVDEOHGLQWKHWHVWHTXLSPHQW


 )RU DOO RWKHU FRQVWHOODWLRQV WKH UHODWLYH FRQVWHOODWLRQ HUURU VKDOO EH OHVV WKDQ RU HTXDO WR WKH YDOXHV LQ

 7DEOH $OORZHGUHODWLYHFRQVWHOODWLRQHUURUYHUVXVFRQVWHOODWLRQVL]HDQGFRGLQJUDWH ZKHWKHURUQRW
 DPSOLWXGHGULIWFRPSHQVDWLRQLVHQDEOHGLQWKHWHVWHTXLSPHQW


 7UDQVPLWWHUPRGXODWLRQDFFXUDF\ (90 WHVW

 7KH WUDQVPLW PRGXODWLRQ DFFXUDF\ WHVW VKDOO EH SHUIRUPHG E\ LQVWUXPHQWDWLRQ FDSDEOH RI FRQYHUWLQJ WKH
 WUDQVPLWWHGVLJQDOVLQWRDVWUHDPRIFRPSOH[VDPSOHVDWVDPSOLQJUDWHJUHDWHUWKDQRUHTXDOWRWKHEDQGZLGWK 

 RIWKHVLJQDOEHLQJWUDQVPLWWHGH[FHSWWKDWIRUDQRQFRQWLJXRXVWUDQVPLVVLRQVHDFKIUHTXHQF\VHJPHQWPD\ 
 EHWHVWHGLQGHSHQGHQWO\

 ,Q WKLV FDVH WUDQVPLW PRGXODWLRQ DFFXUDF\ RI HDFK VHJPHQW VKDOO PHHW WKH UHTXLUHG YDOXH LQ 7DEOH

 $OORZHGUHODWLYHFRQVWHOODWLRQHUURUYHUVXVFRQVWHOODWLRQVL]HDQGFRGLQJUDWH XVLQJRQO\WKHRFFXSLHGGDWD
 VXEFDUULHUVZLWKLQWKHFRUUHVSRQGLQJVHJPHQW)RU+(7%33'8WUDQVPLVVLRQWZRVHWVRI(90UHTXLUH
 PHQWVDUHGHILQHGLQ7DEOH $OORZHGUHODWLYHFRQVWHOODWLRQHUURUYHUVXVFRQVWHOODWLRQVL]HDQGFRGLQJ
 UDWH IRUGLIIHUHQWWUDQVPLVVLRQSRZHUOHYHOVWRDVVLVW$3LQEHWWHUPDQDJLQJWKHLQWHUIHUHQFHDPRQJPXOWLSOH
 67$VUHVSRQGLQJWRD7ULJJHUIUDPH


 /2OHDNDJHWKDWFDQSRWHQWLDOO\VKRZXSDWWKHFHQWHUIUHTXHQF\RIWKH+(33'8WRQHSODQDQGZLWKLQ“ 
 QHLJKERULQJVXEFDUULHUVVKDOOEHH[FOXGHGIURPWKHFRPSXWDWLRQRIWKHWUDQVPLWWHUPRGXODWLRQDFFXUDF\WHVW
 7KHSRWHQWLDO/2OHDNDJHVXEFDUULHUVIRU0+]RSHUDWLQJGHYLFHVDUHWKHFHQWHURISULPDU\0+]RIWKH

+(33'8WRQHSODQDQG“VXEFDUULHUVRILW7KHSRWHQWLDO/2OHDNDJHVXEFDUULHUVIRU0+]RSHUDWLQJ

 GHYLFHVDUHWKHFHQWHURIWKHSULPDU\0+]RIWKH33'8WRQHSODQDQG“VXEFDUULHUV7KHSRWHQWLDO/2 
 OHDNDJHVXEFDUULHUVIRU0+]RSHUDWLQJGHYLFHVDUHWKHFHQWHURIWKHSULPDU\0+]RIWKH33'8WRQH
 SODQDQG“VXEFDUULHUVRILW7KHSRWHQWLDO/2OHDNDJHWRQHVIRU0+]RSHUDWLQJGHYLFHVDUHWKHFHQWHU
 RIWKH0+]RIWKH33'8WRQHSODQDQG“VXEFDUULHUVRILW7KHSRWHQWLDO/2OHDNDJHWRQHVIRU

0+]RSHUDWLQJGHYLFHVH[LVWRXWVLGHWKH33'8EDQGZLGWKDQGVKRXOGQRWDIIHFWWKHWUDQVPLWWHUPRGXODWLRQ 

 DFFXUDF\WHVW)RU0+]FDSDEOHGHYLFHVWKDWWUDQVPLWV0+]WKHSRWHQWLDO/2OHDNDJHVXEFDUULHUVH[LVW
 RXWVLGHWKH33'8EDQGZLGWKDQGVKRXOGQRWDIIHFWWKHWUDQVPLWWHUPRGXODWLRQDFFXUDF\WHVW)RU0+]

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 FDSDEOHGHYLFHVWKDWWUDQVPLWV0+]RU0+]33'8WKHSRWHQWLDO/2OHDNDJHVXEFDUULHUVH[LVWRXWVLGH
 WKH33'8EDQGZLGWKDQGVKRXOGQRWDIIHFWWKHWUDQVPLWWHUPRGXODWLRQDFFXUDF\WHVW)RURU0+]

FDSDEOHGHYLFHVWKDWWUDQVPLWV0+]RU0+]33'8RU0+]33'8WKHSRWHQWLDO/2OHDNDJHVXE

 FDUULHUVH[LVWRXWVLGHWKH33'8EDQGZLGWKDQGVKRXOGQRWDIIHFWWKHWUDQVPLWWHUPRGXODWLRQDFFXUDF\WHVW

 7KHLQVWUXPHQWVKDOOKDYHVXIILFLHQWDFFXUDF\LQWHUPVRI,4EUDQFKDPSOLWXGHDQGSKDVHEDODQFH'&RII
 VHWVSKDVHQRLVHDQGDQDORJWRGLJLWDOTXDQWL]DWLRQQRLVH$SRVVLEOHHPERGLPHQWRIVXFKDVHWXSLVFRQYHUW


LQJ WKH VLJQDOV WR D ORZ ,) IUHTXHQF\ ZLWK D PLFURZDYH V\QWKHVL]HU VDPSOLQJ WKH VLJQDO ZLWK D GLJLWDO
 RVFLOORVFRSH DQG GHFRPSRVLQJ LW GLJLWDOO\ LQWR TXDGUDWXUH FRPSRQHQWV 7KH VDPSOHG VLJQDO VKDOO EH SUR
 FHVVHGLQDPDQQHUVLPLODUWRDQDFWXDOUHFHLYHUXVLQJWKHIROORZLQJRUHTXLYDOHQWSURFHGXUH
 D 6WDUWRI33'8VKDOOEHGHWHFWHG

 E 7UDQVLWLRQIURP/67)WR//7)VKDOOEHGHWHFWHGDQGILQHWLPLQJVKDOOEHHVWDEOLVKHG


F &RDUVHDQGILQHIUHTXHQF\RIIVHWVVKDOOEHHVWLPDWHG
 G 6\PEROVLQD33'8VKDOOEHGHURWDWHGDFFRUGLQJWRHVWLPDWHGIUHTXHQF\RIIVHW6DPSOLQJRIIVHWGULIW
 VKDOOEHDOVRFRPSHQVDWHG

 H )RUHDFK+(/7)V\PEROWUDQVIRUPWKHV\PEROLQWRVXEFDUULHUUHFHLYHGYDOXHVHVWLPDWHWKHSKDVH
 IURPWKHSLORWVXEFDUULHUVDQGGHURWDWHWKHVXEFDUULHUYDOXHVDFFRUGLQJWRWKHHVWLPDWHGSKDVH


I (VWLPDWHWKHFRPSOH[FKDQQHOUHVSRQVHFRHIILFLHQWIRUHDFKRIWKHVXEFDUULHUVDQGHDFKRIWKHWUDQV
 PLWVWUHDPV,IPLGDPEOHVDUHSUHVHQWLQWKH'DWDILHOGRIWKH33'8WKHFKDQQHOUHVSRQVHFRHIIL
 FLHQWVVKDOOEHEDVHGXSRQWKHPRVWUHFHQWO\UHFHLYHGPLGDPEOHV\PEROV

J )RUHDFKRIWKHGDWD2)'0V\PEROVWUDQVIRUPWKHV\PEROLQWRVXEFDUULHUUHFHLYHGYDOXHVHVWLPDWH

 WKHSKDVHIURPWKHSLORWVXEFDUULHUVDQGFRPSHQVDWHWKHVXEFDUULHUYDOXHVDFFRUGLQJWRWKHHVWLPDWHG

 SKDVHJURXSWKHUHVXOWVIURPDOORIWKHUHFHLYHUFKDLQVLQHDFKVXEFDUULHUWRDYHFWRUDQGPXOWLSO\

 WKHYHFWRUE\D]HURIRUFLQJHTXDOL]DWLRQPDWUL[JHQHUDWHGIURPWKHHVWLPDWHGFKDQQHO

 K )RUHDFKGDWDFDUU\LQJVXEFDUULHULQHDFKVSDWLDOVWUHDPRI58XQGHUWHVWILQGWKHFORVHVWFRQVWHOOD
 WLRQSRLQWDQGFRPSXWHWKH(XFOLGHDQGLVWDQFHIURPLW,IPLGDPEOHVDUHSUHVHQWLQWKH'DWDILHOGRI
 WKH33'8WKHPLGDPEOHV\PEROVVKDOOQRWEHXVHGWRFRPSXWHWKH(XFOLGHDQGLVWDQFH

 L &RPSXWHWKHDYHUDJHDFURVV33'8VRIWKH506RIDOOHUURUVSHU33'8DVJLYHQE\(TXDWLRQ 
  


 Error RMS 


 N SYM N SS N SD
  
 Nf ¦ ¦ ¦ I e i f i s i ss i sc ± I  i f i s i ss i sc  Q e i f i s i ss i sc ± Q  i f i s i ss i sc
  is  i ss  i sc 


Nf ¦ 
N SYM N SS N SD P 

 if 

 ZKHUH
 I0 ifisissisc Q0 ifisissisc GHQRWHVWKHLGHDOV\PEROSRLQWLQWKHFRPSOH[SODQHLQGDWDVXEFDUULHUisc

 RIWKH58XQGHUWHVWVSDWLDOVWUHDPissDQG2)'0V\PEROisRIIUDPHif
 Ie ifisissisc Qe ifisissisc GHQRWHVWKHHTXDOL]HGREVHUYHGV\PEROSRLQWLQWKHFRPSOH[SODQHRIWKH
 GDWDVXEFDUULHUiscRIWKH58XQGHUWHVWVSDWLDOVWUHDPissDQG2)'0V\PEROisRIIUDPHif

 P0 LVWKHDYHUDJHSRZHURIFRQVWHOODWLRQ
 Nf LVWKHQXPEHURIWHVWHGIUDPHV

 NSD LVWKHQXPEHURIGDWDWRQHVRIWKHRFFXSLHG58)RUDQ0+]WUDQVPLVVLRQNSDLVWKHWRWDO
 QXPEHURIGDWDVXEFDUULHUVLQERWK0+]IUHTXHQF\VHJPHQWV
 NSS LVWKHQXPEHURIVSDWLDOVWUHDPVRIWKHGDWD

 NSYM LVWKHQXPEHURIGDWD2)'0V\PEROV

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KHWHVWVKDOOEHSHUIRUPHGRYHUDWOHDVW33'8V NfDVGHILQHGLQ(TXDWLRQ  ,IWKHRFFXSLHG58



 KDVWRQHVWKH33'8VXQGHUWHVWVKDOOEHDWOHDVWGDWD2)'0V\PEROVORQJ)RURFFXSLHG58VWKDW

KDYHPRUHWKDQWRQHVWKH33'8VXQGHUWHVWVKDOOEHDWOHDVWGDWD2)'0V\PEROVORQJ5DQGRPGDWD

 VKDOOEHXVHGIRUWKHV\PEROV

 )RUDQ+(7%33'8ZLWKDQ58VPDOOHUWKDQDîWRQH58DGGLWLRQDOWUDQVPLWPRGXODWLRQDFFXUDF\ 
 WHVWIRUWKHXQRFFXSLHGVXEFDUULHUVRIWKH33'8VKDOOEHSHUIRUPHG7KHWUDQVPLWPRGXODWLRQDFFXUDF\RI

 XQRFFXSLHGVXEFDUULHUVRIWKH33'8WHVWVKDOOEHSHUIRUPHGE\LQVWUXPHQWDWLRQFDSDEOHRIFRQYHUWLQJWKH
 WUDQVPLWWHGVLJQDOVLQWRDVWUHDPRIFRPSOH[VDPSOHVDWVDPSOLQJUDWHJUHDWHUWKDQRUHTXDOWRWKHEDQGZLGWK 
 RI WKH VLJQDO EHLQJ WUDQVPLWWHG H[FHSW WKDW IRU QRQFRQWLJXRXV WUDQVPLVVLRQV RQO\ WKH IUHTXHQF\ VHJPHQW
 ZLWK RFFXSLHG VXEFDUULHUV LV WHVWHG 7KH WUDQVPLW PRGXODWLRQ DFFXUDF\ RI XQRFFXSLHG VXEFDUULHUV RI WKH
 33'8 VKDOO PHHW WKH UHODWLYH FRQVWHOODWLRQ HUURU VWDLUFDVH PDVN VSHFLILHG LQ (TXDWLRQ   IRU HDFK


 PRGXODWLRQDQGFRGLQJUDWHXVLQJWKHXQRFFXSLHGVXEFDUULHUVZLWKLQWKHFRUUHVSRQGLQJVHJPHQW

 7KHLQVWUXPHQWVKDOOKDYHVXIILFLHQWDFFXUDF\LQWHUPVRI,4EUDQFKDPSOLWXGHDQGSKDVHEDODQFH'&RII
 VHWVSKDVHQRLVHDQGDQDORJWRGLJLWDOTXDQWL]DWLRQQRLVH$SRVVLEOHHPERGLPHQWRIVXFKDVHWXSLVFRQYHUW

 LQJ WKH VLJQDOV WR D ORZ ,) IUHTXHQF\ ZLWK D PLFURZDYH V\QWKHVL]HU VDPSOLQJ WKH VLJQDO ZLWK D GLJLWDO
 RVFLOORVFRSH DQG GHFRPSRVLQJ LW GLJLWDOO\ LQWR TXDGUDWXUH FRPSRQHQWV 7KH VDPSOHG VLJQDO VKDOO EH SUR
 FHVVHGLQDPDQQHUVLPLODUWRDQDFWXDOUHFHLYHUDFFRUGLQJWRWKHIROORZLQJVWHSVRUHTXLYDOHQWSURFHGXUH

 D 6WDUWRI33'8VKDOOEHGHWHFWHG
 E 7UDQVLWLRQIURP/67)WR//7)VKDOOEHGHWHFWHGDQGILQHWLPLQJVKDOOEHHVWDEOLVKHG

 F &RDUVHDQGILQHIUHTXHQF\RIIVHWVVKDOOEHHVWLPDWHG

 G 6\PEROVLQD33'8VKDOOEHGHURWDWHGDFFRUGLQJWRHVWLPDWHGIUHTXHQF\RIIVHW6DPSOLQJRIIVHWGULIW
 VKDOOEHDOVRFRPSHQVDWHG


H )RUHDFKRIWKHGDWD2)'0V\PEROVWUDQVIRUPWKHV\PEROLQWRVXEFDUULHUUHFHLYHGYDOXHVDQGHVWL
 PDWHWKHSRZHURIHDFKVXEFDUULHU
 I &RPSXWHWKHDYHUDJHXQRFFXSLHGVXEFDUULHUHUURUYHFWRUPDJQLWXGHIRUHDFKXQRFFXSLHGWRQH58


 DQGDYHUDJHDFURVV33'8VRIWKH506RIDOOHUURUVSHU33'8DVJLYHQE\(TXDWLRQ  

 N SYM
  
 Nf ¦ ¦ I u i f i s i sc  Q u i f i s i sc
  is i :
 sc
 ¦
k
 UnusedToneError RMS k 
 
 Nf N SYM ˜  ˜ P S
if 


 ZKHUH
 I u i f i s i sc Q u i f i s i sc GHQRWHVXQHTXDOL]HGREVHUYHGV\PEROSRLQWLQWKHFRPSOH[SODQHLQVXEFDUULHU

 iscRIWKHXQRFFXSLHGWRQH58DQG2)'0V\PEROisRIIUDPHif
 ȍk LVDVHWRIVXEFDUULHUVIRUkWKWRQH58DVGHILQHGLQ7DEOH 'DWDDQGSLORWVXEFDUULHULQGL

 FHVIRU58VLQD0+]+(33'8DQGLQDQRQ2)'0$0+]+(33'8 7DEOH 
 'DWDDQGSLORWVXEFDUULHULQGLFHVIRU58VLQD0+]+(33'8DQGLQDQRQ2)'0$
 0+]+(33'8 DQG7DEOH 'DWDDQGSLORWVXEFDUULHULQGLFHVIRU58VLQDQ0+]+( 
 33'8DQGLQDQRQ2)'0$0+]+(33'8

 PS LVWKHDYHUDJHGDWDVXEFDUULHUSRZHURIWKHRFFXSLHG58XQGHUWHVWDQGLVJLYHQE\(TXDWLRQ 
 


 N SYM N SD
   

PS 
N SYM N SD ¦ ¦ I u i f i s i SC  Q u i f i s i SC 
 is  i sc 

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 Nf LVWKHQXPEHURIWHVWHGIUDPHV

 NSYM LVWKHQXPEHURIGDWD2)'0V\PEROV

 NSD LVWKHQXPEHURIGDWDVXEFDUULHUVLQWKHRFFXSLHG58

 J )RU DOO +(0&6V IRU DQ RFFXSLHG 58 EDQGZLGWK RI r LQ XQLWV RI D WRQH 58 DV GHILQHG E\

 (TXDWLRQ 



 ­

°  LIWRQH58
°
 °  LIWRQH58
 °  LIWRQH58
 r ® 
 °  LIWRQH58
 °  LIWRQH58

°
°  LIWRQH58
 ¯


 7KHDYHUDJHXQXVHGVXEFDUULHUHUURUYHFWRUPDJQLWXGHIRUHDFKXQRFFXSLHGWRQH58DVFDOFXODWHGLQVWHS

I VKDOOPHHWWKHVWDLUFDVHPDVNUHTXLUHPHQWLQ(TXDWLRQ  DQG(TXDWLRQ  ZKHUHmGHILQHV

 WKHJDSLQWKHXQLWVRIWRQH58WRWKHRFFXSLHG58IURPHLWKHUVLGHZLWKm “EHLQJWKHDGMDFHQW
 WRQH58V


 ­ max H ±  ± G%  LI ± r d m d ± 
 °
 ° max H ±  ± G%  LI ± r d m d ± r ± 
 UnusedToneError i RU start  m d ® 
 ° max H ±  ± G%  LI ± r d m d ± r ± 
 ° ± G% RWKHUZLVH
¯




7KHYDOLGUDQJHIRUmIRU(TXDWLRQ  LVDVIROORZV
 ± i RU start   d m d ±  IRUD0+]0+]0+]RU0+]33'8


 ± i RU start   d m d ±  IRUDQ0+]33'8DQG i RU start d 

 ± i RU start   d m d ±  IRUDQ0+]33'8DQG i RU start ! 



­ max H ±  ± G%  LI d m d r
 °
 ° max H ±  ± G%  LIr   d m d r
 UnusedToneError i RU end  m d ® 
 ° max H ±  ± G%  LIr   d m d r
 ° ± G% RWKHUZLVH
 ¯


 7KHYDOLGUDQJHIRUmIRU(TXDWLRQ  LVDVIROORZV

  d m d N RU ± i RU end IRUD0+]0+]0+]RU0+]33'8

  d m d  ± i RU end IRUDQ0+]33'8DQG i RU start d 

  d m d  ± i RU end IRUDQ0+]33'8DQG i RU start ! 

 ZKHUH

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 iRU26,startLVHTXDOWRiRULIWKHRFFXSLHG58LVDWRQH58DQGLVGHILQHGLQ7DEOH L58VWDUW
 IRU58VRWKHUWKDQDWRQH58 IRURWKHU58VL]HV


 7DEOH²iRU26,startIRU58VRWKHUWKDQDWRQH58


 iRU WRQH58 WRQH58 WRQH58 WRQH58 WRQH58

      

      

     

     
    

    

    

    

   
   

   

   

   

   
   

   

  

  

  
  

  

  

  

  
  

  

  

  

  
  

  


&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²iRU26,startIRU58VRWKHUWKDQDWRQH58(continued)


 iRU WRQH58 WRQH58 WRQH58 WRQH58 WRQH58

  


 iRU26,endLVHTXDOWRiRU26,startr±

iRU LVWKHLQGH[RIWKHRFFXSLHG58

 NRU26 LVWKHPD[LPXPQXPEHURIWRQH58VIRUWKHJLYHQEDQGZLGWKRIWKH+(7%33'8DVGHILQHGLQ 
 7DEOH )UHTXHQWO\XVHGSDUDPHWHUV

 H LVWKHUHODWLYHFRQVWHOODWLRQHUURUUHTXLUHPHQWIRUDQRFFXSLHG58RIDQ+(7%33'8DVGHILQHGLQ
 7DEOH $OORZHGUHODWLYHFRQVWHOODWLRQHUURUYHUVXVFRQVWHOODWLRQVL]HDQGFRGLQJUDWH

 127(²)RUDQ0+]33'8WKHXQXVHGVXEFDUULHUHUURULVPHDVXUHGRQO\LQWKH0+]VHJPHQWLQZKLFKWKH
 RFFXSLHG58LVORFDWHG7KLVOHDGVWRWKHGLIIHUHQWYDOLGUDQJHIRUmLQ(TXDWLRQ  DQG(TXDWLRQ  IRUWKH
 0+]33'8

 7KHWHVWVKDOOEHSHUIRUPHGRYHUDWOHDVW33'8V NfDVGHILQHGLQ(TXDWLRQ  7KH33'8VXQGHU
 WHVWVKDOOEHDWOHDVWGDWD2)'0V\PEROVORQJ7KHXQHTXDOL]HGREVHUYHGV\PERORISRWHQWLDO/2OHDNDJH
 VXEFDUULHU ORFDWLRQV VKDOO EH WUHDWHG DV ]HUR GXULQJ XQRFFXSLHG VXEFDUULHUV WUDQVPLW PRGXODWLRQ DFFXUDF\



WHVW5DQGRPGDWDVKDOOEHXVHGIRUWKHV\PEROV

 5HFHLYHUVSHFLILFDWLRQ

 *HQHUDO


 )RUUHFHLYHUPLQLPXPLQSXWVHQVLWLYLW\DGMDFHQWFKDQQHOUHMHFWLRQQRQDGMDFHQWFKDQQHOUHMHFWLRQUHFHLYHU
 PD[LPXP LQSXW OHYHO DQG &&$ VHQVLWLYLW\ UHTXLUHPHQWV GHVFULEHG LQ WKLV VXEFODXVH WKH LQSXW OHYHOV DUH
 PHDVXUHGDWWKHDQWHQQDFRQQHFWRUVDQGDUHUHIHUHQFHGDVWKHDYHUDJHSRZHUSHUUHFHLYHDQWHQQD7KHQXP
 EHURIVSDWLDOVWUHDPVXQGHUWHVWVKDOOEHHTXDOWRWKHQXPEHURIXWLOL]HGWUDQVPLWWLQJ67$DQWHQQD RXWSXW 


SRUWVDQGDOVRHTXDOWRWKHQXPEHURIXWLOL]HG'HYLFH8QGHU7HVWLQSXWSRUWV(DFKRXWSXWSRUWRIWKHWUDQV
 PLWWLQJ67$VKDOOEHFRQQHFWHGWKURXJKDFDEOHWRRQHLQSXWSRUWRIWKH'HYLFH8QGHU7HVW

127(²$GGLWLRQDOWHVWUHTXLUHPHQWVDQGRUWHVWPHWKRGVPD\EHQHHGHGWRPHHWUHJXODWRU\UHTXLUHPHQWV


 7KHUHTXLUHPHQWVRQUHFHLYHUPLQLPXPLQSXWVHQVLWLYLW\LQ 5HFHLYHUPLQLPXPLQSXWVHQVLWLYLW\ 
 DGMDFHQWFKDQQHO UHMHFWLRQLQ $GMDFHQWFKDQQHO UHMHFWLRQ  DQGQRQDGMDFHQW FKDQQHOUHMHFWLRQLQ

  1RQDGMDFHQWFKDQQHOUHMHFWLRQ DSSO\WR33'8VWKDWPHHWDOOWKHIROORZLQJFRQGLWLRQV

 ² 67%&LVQRWXVHG
 ² —V*,LVXVHG

 ² ,IWKH33'8EDQGZLGWKLV0+]DQGWKH+(0&6LVOHVVWKDQWKHQ%&&LVXVHG2WKHUZLVH
 /'3&LVXVHG
 ² 7KH33'8LVDQ+(6833'8














 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 5HFHLYHUPLQLPXPLQSXWVHQVLWLYLW\


 7KHSDFNHWHUURUUDWH 3(5 VKDOOEHOHVVWKDQIRUD36'8ZLWKWKHUDWHGHSHQGHQWLQSXWOHYHOVOLVWHGLQ

 7DEOH 5HFHLYHUPLQLPXPLQSXWOHYHOVHQVLWLYLW\ 7KH36'8OHQJWKVKDOOEHRFWHWVIRU%36. 
 PRGXODWLRQZLWK'&0RURFWHWVIRUDOORWKHUPRGXODWLRQV


 7DEOH²5HFHLYHUPLQLPXPLQSXWOHYHOVHQVLWLYLW\


 0RGXODWLRQ 0LQLPXP
0LQLPXP 0LQLPXP 0LQLPXP
 VHQVLWLYLW\
VHQVLWLYLW\ VHQVLWLYLW\ VHQVLWLYLW\
 5DWH 0+]RU
:LWKRXW 0+] 0+] 0+]
 :LWK'&0 5 0+]
'&0 33'8 33'8 33'8
 33'8
G%P G%P G%P
 G%P

 1$ %36.  ± ± ± ±

 %36. 436.  ± ± ± ±

436. 4$0  ± ± ± ±

 436. 4$0  ± ± ± ±

 4$0 1$  ± ± ± ±

 4$0 1$  ± ± ± ±

 4$0 1$  ± ± ± ±

4$0 1$  ± ± ± ±

 4$0 1$  ± ± ± ±

 4$0 1$  ± ± ± ±

 4$0 1$  ± ± ± ±

 4$0 1$  ± ± ± ±

4$0 1$  ± ± ± ±



 $GMDFHQWFKDQQHOUHMHFWLRQ


 $GMDFHQW FKDQQHO UHMHFWLRQIRU W 0+] ZKHUHW LV    RU VKDOO EH PHDVXUHG E\VHWWLQJ WKH
 GHVLUHGVLJQDO¶VVWUHQJWKG%DERYHWKHUDWHGHSHQGHQWVHQVLWLYLW\VSHFLILHGLQ7DEOH 5HFHLYHUPLQL
 PXPLQSXWOHYHOVHQVLWLYLW\ DQGUDLVLQJWKHSRZHURIWKHLQWHUIHULQJVLJQDORI:0+]EDQGZLGWKXQWLO 
 3(5LVFDXVHGIRUD36'8OHQJWKRIRFWHWVIRU%36.PRGXODWLRQZLWK'&0RURFWHWVIRUDOORWKHU
 PRGXODWLRQV7KHGLIIHUHQFHLQSRZHUEHWZHHQWKHVLJQDOVLQWKHLQWHUIHULQJFKDQQHODQGWKHGHVLUHGFKDQQHO

 LVWKHFRUUHVSRQGLQJDGMDFHQWFKDQQHOUHMHFWLRQ7KHFHQWHUIUHTXHQF\RIWKHDGMDFHQWFKDQQHOVKDOOEHSODFHG 
 W0+]DZD\IURPWKHFHQWHUIUHTXHQF\RIWKHGHVLUHGVLJQDO


$GMDFHQW FKDQQHO UHMHFWLRQ IRU  0+] FKDQQHOV VKDOO EH PHDVXUHG E\ VHWWLQJ WKH GHVLUHG VLJQDO¶V

 VWUHQJWKG%DERYHWKHUDWHGHSHQGHQWVHQVLWLYLW\VSHFLILHGLQ7DEOH 5HFHLYHUPLQLPXPLQSXWOHYHO
 VHQVLWLYLW\ 7KHQDQLQWHUIHULQJVLJQDORI0+]EDQGZLGWKLVLQWURGXFHGZKHUHWKHFHQWHUIUHTXHQF\RI
 WKHLQWHUIHULQJVLJQDOLVSODFHG0+]DZD\IURPWKHFHQWHUIUHTXHQF\RIWKHIUHTXHQF\VHJPHQWORZHULQ
 WKHIUHTXHQF\RIWKHGHVLUHGVLJQDO7KHSRZHURILQWHUIHULQJVLJQDOLVUDLVHGXQWLO3(5LVFDXVHGIRUD

36'8OHQJWKRIRFWHWVIRU%36.PRGXODWLRQZLWK'&0RURFWHWVIRUDOORWKHUPRGXODWLRQV/HW

 'P  EHWKHGLIIHUHQFHEHWZHHQWKHLQWHUIHULQJDQGGHVLUHGVLJQDO1H[WWKHLQWHUIHULQJVLJQDORI0+]
 EDQGZLGWKLVPRYHGWRWKHIUHTXHQF\ZKHUHWKHFHQWHUIUHTXHQF\RIWKHLQWHUIHULQJVLJQDOLV0+]DZD\ 

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 IURPWKHFHQWHUIUHTXHQF\RIWKHIUHTXHQF\VHJPHQWKLJKHULQIUHTXHQF\RIWKHGHVLUHGVLJQDO7KHSRZHURI
 WKHLQWHUIHULQJLVUDLVHGXQWLO3(5LVFDXVHGIRUD36'8OHQJWKRIRFWHWVIRU%36.PRGXODWLRQ

ZLWK'&0RURFWHWVIRUDOORWKHUPRGXODWLRQV/HW 'P  EHWKHSRZHUGLIIHUHQFHEHWZHHQWKHLQWHUIHU

 LQJ DQG GHVLUHG VLJQDO 7KH VPDOOHU YDOXH EHWZHHQ 'P   DQG 'P   LV WKH FRUUHVSRQGLQJ DGMDFHQW FKDQQHO
 UHMHFWLRQ


7KHLQWHUIHULQJVLJQDOLQWKHDGMDFHQWFKDQQHOVKDOOEHDVLJQDOFRPSOLDQWZLWKWKH+(3+<XQV\QFKURQL]HG


 ZLWKWKHVLJQDOLQWKHFKDQQHOXQGHUWHVWDQGVKDOOKDYHDPLQLPXPGXW\F\FOHRI7KHFRUUHVSRQGLQJ
 UHMHFWLRQVKDOOEHQROHVVWKDQVSHFLILHGLQ7DEOH 0LQLPXPUHTXLUHGDGMDFHQWDQGQRQDGMDFHQWFKDQ
 QHOUHMHFWLRQOHYHOV 


 7DEOH²0LQLPXPUHTXLUHGDGMDFHQWDQGQRQDGMDFHQWFKDQQHOUHMHFWLRQOHYHOV


 $GMDFHQWFKDQQHOUHMHFWLRQ 1RQDGMDFHQWFKDQQHOUHMHFWLRQ
0RGXODWLRQ
 G% G%
 5DWH
 5 
 0+] 0+]
 :LWKRXW'&0 :LWK'&0 0+]
0+]&KDQQHO &KDQQHO &KDQQHO
 &KDQQHO

 1$ %36.     

 %36. 436.     

 436. 4$0     
 436. 4$0     

 4$0 1$     

 4$0 1$     

 4$0 1$   ±  

 4$0 1$  ± ±  
 4$0 1$  ± ±  

 4$0 1$  ± ±  

 4$0 1$  ± ±  

 4$0 1$  ± ±  

 4$0 1$  ± ±  ±


 7KHPHDVXUHPHQWRIDGMDFHQWFKDQQHOUHMHFWLRQIRU0+]RSHUDWLRQLQUHJXODWRU\GRPDLQLVUHTXLUHGRQO\

 LIVXFKDIUHTXHQF\EDQGSODQLVSHUPLWWHGLQWKHUHJXODWRU\GRPDLQ


 1RQDGMDFHQWFKDQQHOUHMHFWLRQ


1RQDGMDFHQWFKDQQHOUHMHFWLRQIRUW0+]FKDQQHOV ZKHUHWLVRU VKDOOEHPHDVXUHGE\

 VHWWLQJ WKH GHVLUHG VLJQDO¶V VWUHQJWK  G% DERYH WKH UDWHGHSHQGHQW VHQVLWLYLW\ VSHFLILHG LQ 7DEOH

 5HFHLYHUPLQLPXPLQSXWOHYHOVHQVLWLYLW\ DQGUDLVLQJWKHSRZHURIWKHLQWHUIHULQJVLJQDORIW0+]EDQG
 ZLGWKXQWLOD3(5RFFXUVIRUD36'8OHQJWKRIRFWHWVIRU%36.PRGXODWLRQZLWK'&0RU
 RFWHWVIRUDOORWKHUPRGXODWLRQV7KHGLIIHUHQFHLQSRZHUEHWZHHQWKHVLJQDOVLQWKHLQWHUIHULQJFKDQQHODQG 

WKHGHVLUHGFKDQQHOLVWKHFRUUHVSRQGLQJQRQDGMDFHQWFKDQQHOUHMHFWLRQ7KHQRQDGMDFHQWFKDQQHOUHMHFWLRQ 

 VKDOOEHPHWZLWKDQ\QRQDGMDFHQWFKDQQHOVORFDWHGDWOHDVWîW0+]DZD\IURPWKHFHQWHUIUHTXHQF\RIWKH
 GHVLUHGVLJQDO

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 1RQDGMDFHQWFKDQQHOUHMHFWLRQIRU0+]FKDQQHOVVKDOOEHPHDVXUHGE\VHWWLQJWKHGHVLUHGVLJQDO¶V
 VWUHQJWKG%DERYHWKHUDWHGHSHQGHQWVHQVLWLYLW\VSHFLILHGLQ7DEOH 5HFHLYHUPLQLPXPLQSXWOHYHO

VHQVLWLYLW\ 7KHQDQLQWHUIHULQJVLJQDORI0+]EDQGZLGWKLVLQWURGXFHGZKHUHWKHFHQWHUIUHTXHQF\RI

 WKHLQWHUIHULQJVLJQDOLVSODFHGDWOHDVW0+]DZD\IURPWKHFHQWHUIUHTXHQF\RIWKHIUHTXHQF\VHJPHQW
 ORZHULQWKHIUHTXHQF\RIWKHGHVLUHGVLJQDO7KHFHQWHUIUHTXHQF\RIWKHLQWHUIHULQJVLJQDOVKDOODOVREHDW
 OHDVW0+]DZD\IURPWKHFHQWHUIUHTXHQF\RIWKHIUHTXHQF\VHJPHQWKLJKHULQIUHTXHQF\RIWKHGHVLUHG 
 VLJQDO7KHSRZHURILQWHUIHULQJVLJQDOLVUDLVHGXQWLO3(5LVFDXVHGIRUD36'8OHQJWKRIRFWHWV

IRU %36. PRGXODWLRQ ZLWK '&0 RU  RFWHWV IRU DOO RWKHU PRGXODWLRQV /HW 'P   EH WKH GLIIHUHQFH

 EHWZHHQWKHLQWHUIHULQJDQGGHVLUHGVLJQDO1H[WWKHLQWHUIHULQJVLJQDORI0+]EDQGZLGWKLVPRYHGWRWKH
 IUHTXHQF\ZKHUHWKHFHQWHUIUHTXHQF\RIWKHLQWHUIHULQJVLJQDOLVDWOHDVW0+]DZD\IURPWKHFHQWHUIUH
 TXHQF\ RI WKH IUHTXHQF\ VHJPHQW KLJKHU LQ IUHTXHQF\ RI WKH GHVLUHG VLJQDO 7KH FHQWHU IUHTXHQF\ RI WKH
 LQWHUIHULQJVLJQDOVKDOODOVREHDWOHDVW0+]DZD\IURPWKHFHQWHUIUHTXHQF\RIWKHIUHTXHQF\VHJPHQW

ORZHULQIUHTXHQF\RIWKHGHVLUHGVLJQDO7KHSRZHURIWKHLQWHUIHULQJLVUDLVHGXQWLO3(5LVFDXVHGIRUD

 36'8OHQJWKRIRFWHWVIRU%36.PRGXODWLRQZLWK'&0RURFWHWVIRUDOORWKHUPRGXODWLRQV/HW
 'P  EHWKHSRZHUGLIIHUHQFHEHWZHHQWKHLQWHUIHULQJDQGGHVLUHGVLJQDO7KHVPDOOHUYDOXHEHWZHHQ'P 
 DQG 'P  LVWKHFRUUHVSRQGLQJQRQDGMDFHQWFKDQQHOUHMHFWLRQ


 7KHLQWHUIHULQJVLJQDOLQWKHQRQDGMDFHQWFKDQQHOVKDOOEHDVLJQDOFRPSOLDQWZLWKWKH+(3+<XQV\QFKUR
 QL]HGZLWKWKHVLJQDOLQWKHFKDQQHOXQGHUWHVWDQGVKDOOKDYHDPLQLPXPGXW\F\FOHRI7KHFRUUH
 VSRQGLQJ UHMHFWLRQ VKDOO EH QR OHVV WKDQ VSHFLILHG LQ 7DEOH 0LQLPXP UHTXLUHG DGMDFHQW DQG

 QRQDGMDFHQWFKDQQHOUHMHFWLRQOHYHOV 


 7KHPHDVXUHPHQWRIQRQDGMDFHQWFKDQQHOUHMHFWLRQIRU0+]RSHUDWLRQLQUHJXODWRU\GRPDLQLVUHTXLUHG
 RQO\LIVXFKDIUHTXHQF\EDQGSODQLVSHUPLWWHGLQWKHUHJXODWRU\GRPDLQ


 5HFHLYHUPD[LPXPLQSXWOHYHO



7KHUHFHLYHUVKDOOSURYLGHDPD[LPXP3(5RIDWD36'8OHQJWKRIRFWHWVIRU%36.PRGXODWLRQ
 ZLWK'&0RURFWHWVIRUDOORWKHUPRGXODWLRQVIRUDPD[LPXPLQSXWOHYHORI±G%PLQWKH*+]DQG

 *+]EDQGVDQG±G%PLQWKH*+]EDQGPHDVXUHGDWHDFKDQWHQQDIRUDQ\EDVHEDQG+(PRGXODWLRQ


 &&$VHQVLWLYLW\

 *HQHUDO


 7KHWKUHVKROGVLQWKLVVXEFODXVHDUHFRPSDUHGZLWKWKHVLJQDOOHYHODWHDFKUHFHLYLQJDQWHQQD


 &&$VHQVLWLYLW\IRURSHUDWLQJFODVVHVUHTXLULQJ&&$('

 )RUWKHRSHUDWLQJFODVVHVUHTXLULQJ&&$(QHUJ\'HWHFW &&$(' WKH3+<VKDOOLQGLFDWHDPHGLXPEXV\ 
 FRQGLWLRQ LI &&$(' GHWHFWV D FKDQQHO EXV\ FRQGLWLRQ )RU LPSURYHG VSHFWUXP VKDULQJ &&$(' LV

 UHTXLUHGLQVRPHEDQGV7KHEHKDYLRUFODVVLQGLFDWLQJ&&$('LVJLYHQLQ7DEOH' %HKDYLRUOLPLWV 7KH
 RSHUDWLQJFODVVHVUHTXLULQJWKHFRUUHVSRQGLQJ&&$('EHKDYLRUFODVVDUHJLYHQLQ( &RXQWU\LQIRUPDWLRQ 
 DQGRSHUDWLQJFODVVHV 7KH3+<RID67$WKDWLVRSHUDWLQJZLWKLQDQRSHUDWLQJFODVVWKDWUHTXLUHV&&$('
 VKDOORSHUDWHZLWK&&$('


 &&$('IRUD67$WKDWLVDWWHPSWLQJDQRQSUHDPEOHSXQFWXULQJWUDQVPLVVLRQVKDOOGHWHFWDFKDQQHOEXV\
 FRQGLWLRQLIWKHUHFHLYHGVLJQDOVWUHQJWKH[FHHGVWKH&&$('WKUHVKROGDVJLYHQE\GRW2)'0('7KUHVK
 ROGIRUWKHSULPDU\0+]FKDQQHOGRW2)'0('7KUHVKROGIRUWKHVHFRQGDU\0+]FKDQQHO LISUHV

HQW  GRW2)'0('7KUHVKROGG% IRU WKH VHFRQGDU\ 0+] FKDQQHO LI SUHVHQW  DQG

 GRW2)'0('7KUHVKROGG%IRUWKHVHFRQGDU\0+]FKDQQHO LISUHVHQW 7KH&&$('WKUHVKROGV
 IRUWKHRSHUDWLQJFODVVHVUHTXLULQJ&&$('DUHVXEMHFWWRWKHFULWHULDLQ' &&$('WKUHVKROG 

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 &&$('IRUD67$WKDWLVDWWHPSWLQJDSUHDPEOHSXQFWXULQJWUDQVPLVVLRQVKDOOGHWHFWDFKDQQHOEXV\FRQGL
 WLRQLIWKHUHFHLYHGVLJQDOVWUHQJWKH[FHHGVWKH&&$('WKUHVKROGDVJLYHQE\GRW2)'0('7KUHVKROGIRU

WKHSULPDU\0+]FKDQQHODQGGRW2)'0('7KUHVKROGIRUHDFKQRQSULPDU\0+]VXEFKDQQHO7KH

 &&$('WKUHVKROGVIRUWKHRSHUDWLQJFODVVHVUHTXLULQJ&&$('DUHVXEMHFWWRWKHFULWHULDLQ' &&$
 ('WKUHVKROG 

 )RU WKH +( 7% 33'8 WUDQVPLVVLRQ IRU HDFK RI  0+] VXEFKDQQHOV WKDW UHTXLUH &&$ &&$(' VKDOO


GHWHFWDFKDQQHOEXV\FRQGLWLRQLIWKHUHFHLYHGVLJQDOVWUHQJWKH[FHHGVWKH&&$('WKUHVKROGDVJLYHQE\ 
 GRW2)'0('7KUHVKROG7KH&&$('WKUHVKROGVIRUWKHRSHUDWLQJFODVVHVUHTXLULQJ&&$('DUHVXEMHFW
 WRWKHFULWHULDLQ' &&$('WKUHVKROG 

 )RUWUDQVPLVVLRQVWKDWFDUU\DIUDPHWKDWLQFOXGHVD%45&RQWUROVXEILHOG VHHD &RQWUROVXEILHOG


YDULDQWVRIDQ$&RQWUROVXEILHOG &&$('VKDOOGHWHFWDFKDQQHOEXV\FRQGLWLRQLIWKHUHFHLYHGVLJQDO
 VWUHQJWKH[FHHGVWKH&&$('WKUHVKROGDVJLYHQE\GRW2)'0('7KUHVKROGIRUSULPDU\0+]FKDQQHO
 DQGGRW2)'0('7KUHVKROGIRUHDFKQRQSULPDU\0+]FKDQQHO LISUHVHQW 7KH&&$('WKUHVKROGV
 IRUWKHRSHUDWLQJFODVVHVUHTXLULQJ&&$('DUHVXEMHFWWRWKHFULWHULDLQ' &&$('WKUHVKROG 

 127(²7KHUHTXLUHPHQWWRGHWHFWDFKDQQHOEXV\FRQGLWLRQDVVWDWHGLQ &&$VHQVLWLYLW\IRUWKHSULPDU\

 0+]FKDQQHO DQG &&$VHQVLWLYLW\IRUVLJQDOVQRWRFFXS\LQJWKHSULPDU\0+]FKDQQHO LVDPDQGDWRU\ 
 HQHUJ\GHWHFWUHTXLUHPHQWRQDOO&ODXVH +LJK(IILFLHQF\ +( 3+<VSHFLILFDWLRQ UHFHLYHUV6XSSRUWIRU&&$('LV
 DQDGGLWLRQDOUHTXLUHPHQWWKDWUHODWHVVSHFLILFDOO\WRWKHVHQVLWLYLWLHVGHVFULEHGLQ' &&$('WKUHVKROG 

 &&$VHQVLWLYLW\IRUWKHSULPDU\0+]FKDQQHO


 7KH3+<VKDOOLVVXHD3+<&&$LQGLFDWLRQSULPLWLYHZLWKWKH67$786SDUDPHWHUVHWWR%86<LIRQHRI
 WKHFRQGLWLRQVOLVWHGLQ7DEOH &RQGLWLRQVIRU&&$%86<RQWKHSULPDU\0+] LVPHWLQDQRWKHU
 ZLVHLGOH0+]0+]0+]0+]RU0+]RSHUDWLQJFKDQQHOZLGWK7KHFKDQQHOOLVW
 SDUDPHWHULVSUHVHQWDQGVHWWR^SULPDU\`LIWKHRSHUDWLQJFKDQQHOZLGWKLVJUHDWHUWKDQ0+]:LWK! 

SUREDELOLW\WKH3+<VKDOOGHWHFWWKHVWDUWRID33'8WKDWRFFXSLHVDWOHDVWWKHSULPDU\0+]FKDQQHO

 XQGHUWKHFRQGLWLRQVOLVWHGLQ7DEOH &RQGLWLRQVIRU&&$%86<RQWKHSULPDU\0+] ZLWKLQD
 SHULRGRID&&$7LPH VHH 9+73+< DQGKROGWKH&&$VLJQDOEXV\ QRWLVVXHD3+<&&$LQGLFD
 WLRQSULPLWLYHZLWKWKH67$786SDUDPHWHUVHWWR,'/( IRUWKHGXUDWLRQRIWKH33'8XQOHVVLWUHFHLYHVD
 &&$5(6(7UHTXHVW SULPLWLYH EHIRUH WKH HQG RI WKH 33'8 IRU LQVWDQFH GXULQJ VSDWLDO UHXVH RSHUDWLRQ DV

GHVFULEHGLQ 6SDWLDOUHXVHRSHUDWLRQ 


 7DEOH²&RQGLWLRQVIRU&&$%86<RQWKHSULPDU\0+]


 2SHUDWLQJ&KDQQHO:LGWK &RQGLWLRQV

 0+]0+]0+] 7KHVWDUWRID0+]QRQ+733'8LQWKHSULPDU\0+]FKDQQHODVGHILQHG
 0+]RU0+] LQ &&$UHTXLUHPHQWV 
 7KHVWDUWRIDQ+733'8XQGHUWKHFRQGLWLRQVGHILQHGLQ &&$VHQVL
 WLYLW\ 
 7KHVWDUWRID0+]9+733'8LQWKHSULPDU\0+]FKDQQHODWRU
 DERYH±G%P
 7KHVWDUWRID0+]+(33'8LQWKHSULPDU\0+]FKDQQHODWRU
 DERYH±G%P

 0+]0+]0+] 7KHVWDUWRID0+]QRQ+7GXSOLFDWH9+7RU+(33'8LQWKHSULPDU\
 RU0+] 0+]FKDQQHODWRUDERYH±G%P
 7KHVWDUWRIDQ+733'8XQGHUWKHFRQGLWLRQVGHILQHGLQ &&$VHQVL
 WLYLW\ 

 0+]0+]RU 7KHVWDUWRIDQ0+]QRQ+7GXSOLFDWH9+7RU+(33'8LQWKHSULPDU\
 0+] 0+]FKDQQHODWRUDERYH±G%P

 0+]RU0+] 7KHVWDUWRID0+]RU0+]QRQ+7GXSOLFDWH9+7RU+(33'8DW
 RUDERYH±G%P

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KHUHFHLYHUVKDOOLVVXHD3+<&&$LQGLFDWLRQSULPLWLYHZLWKWKH67$786SDUDPHWHUVHWWR%86<IRUDQ\ 
 VLJQDOWKDWH[FHHGVDWKUHVKROGHTXDOWRG%DERYHWKHPLQLPXPPRGXODWLRQDQGFRGLQJUDWHVHQVLWLYLW\ ±

 ±G%P LQWKHSULPDU\0+]FKDQQHOZLWKLQDSHULRGRID&&$7LPHDIWHUWKHVLJQDODUULYHVDW

 WKHUHFHLYHU¶VDQWHQQD V ,IWKHRSHUDWLQJFKDQQHOZLGWKLVJUHDWHUWKDQ0+]WKHQWKHFKDQQHOOLVWSDUDP
 HWHULVSUHVHQWDQGVKDOOEHVHWWR^SULPDU\`)ROORZLQJWKHLQGLFDWLRQDQGZKLOHWKHWKUHVKROGFRQWLQXHVWREH
 H[FHHGHGWKHUHFHLYHUVKDOOQRWLVVXHD3+<&&$LQGLFDWLRQSULPLWLYHZLWKWKH67$786SDUDPHWHUVHWWR 
 ,'/(RUZLWKDFKDQJHLQWKHFKDQQHOOLVWSDUDPHWHU


 &&$VHQVLWLYLW\IRUVLJQDOVQRWRFFXS\LQJWKHSULPDU\0+]FKDQQHO

 7KH3+<VKDOOLVVXHD3+<&&$LQGLFDWLRQSULPLWLYHZLWKWKH67$786SDUDPHWHUVHWWR%86<DQGZLWK 
 WKHFKDQQHOOLVWSDUDPHWHUVHWWR^VHFRQGDU\`LIWKHFRQGLWLRQVIRULVVXLQJD3+<&&$LQGLFDWLRQSULPLWLYH


ZLWK WKH 67$786 SDUDPHWHU VHW WR %86< DV GHILQHG LQ  &&$ VHQVLWLYLW\ IRU WKH SULPDU\ 

 0+]FKDQQHO DUHQRWSUHVHQWDQGDWOHDVWRQHRIWKHIROORZLQJFRQGLWLRQVLVSUHVHQWLQDQRWKHUZLVHLGOH 
 0+]0+]0+]RU0+]RSHUDWLQJFKDQQHOZLGWK

² $Q\VLJQDOZLWKLQWKHVHFRQGDU\0+]FKDQQHODWRUDERYHDWKUHVKROGRI±G%PZLWKLQDSHULRG


 RID&&$7LPHDIWHUWKHVLJQDODUULYHVDWWKHUHFHLYHU¶VDQWHQQD V 
 ² $0+]QRQ+7+7B0)+7B*)9+7RU+(33'8LVGHWHFWHGLQWKHVHFRQGDU\0+]FKDQ
 QHODWRUDERYHPD[ ±G%POBSS_PDlevel ZLWK!SUREDELOLW\ZLWKLQDSHULRGD&&$0LG

 7LPH VHH +(3+< 

 )ROORZLQJ WKH LQGLFDWLRQ DQG ZKLOH WKH WKUHVKROG FRQWLQXHV WR EH H[FHHGHG WKH UHFHLYHU VKDOO QRW LVVXH D
 3+<&&$LQGLFDWLRQSULPLWLYHZLWKWKH67$786SDUDPHWHUVHWWR,'/(RUZLWKWKH67$786SDUDPHWHU

VHWWR%86<DQGWKHFKDQQHOOLVWSDUDPHWHUVHWWR^VHFRQGDU\`RU^VHFRQGDU\`


 7KH3+<VKDOOLVVXHD3+<&&$LQGLFDWLRQSULPLWLYHZLWKWKH67$786SDUDPHWHUVHWWR%86<DQGWKH
 FKDQQHOOLVW SDUDPHWHUVHW WR^VHFRQGDU\` LI WKHFRQGLWLRQV IRU LVVXLQJD 3+<&&$LQGLFDWLRQ ZLWK WKH
 67$786SDUDPHWHUVHWWR%86<DVGHILQHGLQ &&$VHQVLWLYLW\IRUWKHSULPDU\0+]FKDQ


QHO DQGDERYHDUHQRWSUHVHQWDQGDWOHDVWRQHRIWKHIROORZLQJFRQGLWLRQVLVSUHVHQWLQDQRWKHUZLVHLGOH
 0+]0+]RU0+]RSHUDWLQJFKDQQHOZLGWK
 ² $Q\VLJQDOZLWKLQWKHVHFRQGDU\0+]FKDQQHODWRUDERYHDWKUHVKROGRI±G%PZLWKLQDSHULRG

 RID&&$7LPHDIWHUWKHVLJQDODUULYHVDWWKHUHFHLYHU¶VDQWHQQD V 

 ² $0+]QRQ+7GXSOLFDWH+7B0)+7B*)9+7RU+(33'8LVGHWHFWHGLQWKHVHFRQGDU\ 
 0+]FKDQQHODWRUDERYHPD[ ±G%P OBSS_PDlevel + G% ZLWK!SUREDELOLW\ZLWKLQD
 SHULRGD&&$0LG7LPH VHH +(3+< 

 ² $0+]QRQ+7+7B0)+7B*)9+7RU+(33'8LVGHWHFWHGLQDQ\0+]VXEFKDQQHORI
 WKHVHFRQGDU\0+]FKDQQHODWRUDERYHPD[ ±G%POBSS_PDlevel ZLWK!SUREDELOLW\
 ZLWKLQDSHULRGD&&$0LG7LPH


 )ROORZLQJ WKH LQGLFDWLRQ DQG ZKLOH WKH WKUHVKROG FRQWLQXHV WR EH H[FHHGHG WKH UHFHLYHU VKDOO QRW LVVXH D
 3+<&&$LQGLFDWLRQSULPLWLYHZLWKWKH67$786SDUDPHWHUVHWWR,'/(RUZLWKWKH67$786SDUDPHWHU
 VHWWR%86<DQGWKHFKDQQHOOLVWSDUDPHWHUVHWWR^VHFRQGDU\`


 7KH3+<VKDOOLVVXHD3+<&&$LQGLFDWLRQSULPLWLYHZLWKWKH67$786SDUDPHWHUVHWWR%86<DQGWKH
 FKDQQHOOLVWSDUDPHWHUVHWWR^VHFRQGDU\`LIWKHFRQGLWLRQVIRULVVXLQJD3+<&&$LQGLFDWLRQSULPLWLYH
 ZLWKWKH67$786SDUDPHWHUVHW%86<DVGHILQHGLQ &&$VHQVLWLYLW\IRUWKHSULPDU\0+]
 FKDQQHO DQGDERYHDUHQRWSUHVHQWDQGDWOHDVWRQHRIWKHIROORZLQJFRQGLWLRQVLVSUHVHQWLQDQRWKHUZLVHLGOH
 0+]RU0+]RSHUDWLQJFKDQQHOZLGWK

 ² $Q\VLJQDOZLWKLQWKHVHFRQGDU\0+]FKDQQHODWRUDERYH±G%P

² $Q0+]QRQ+7GXSOLFDWH9+7RU+(33'8LVGHWHFWHGLQWKHVHFRQGDU\0+]FKDQQHODWRU

 DERYHPD[ ±G%POBSS_PDlevel + G% ZLWK!SUREDELOLW\ZLWKLQDSHULRGD&&$0LG7LPH
 VHH +(3+< 

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ² $0+]QRQ+7GXSOLFDWH+7B0)+7B*)9+7RU+(33'8LVGHWHFWHGLQDQ\0+]VXE
 FKDQQHORIWKHVHFRQGDU\0+]FKDQQHODWRUDERYHPD[ ±G%POBSS_PDlevel + G% ZLWK


!SUREDELOLW\ZLWKLQDSHULRGD&&$0LG7LPH


 ² $0+]QRQ+7+7B0)+7B*)9+7RU+(33'8LVGHWHFWHGLQDQ\0+]VXEFKDQQHORI
 WKHVHFRQGDU\0+]FKDQQHODWRUDERYHPD[ ±G%POBSS_PDlevel ZLWK!SUREDELOLW\
 ZLWKLQDSHULRGD&&$0LG7LPH


 OBSS_PDlevel LV GHILQHG LQ  $GMXVWPHQW RI 2%66 3' DQG WUDQVPLW SRZHU  DQG DSSOLHG LQ WKH
 HTXDWLRQV WR GHILQH WKH GHWHFWLRQ OHYHO LQ WKLV VXEFODXVH LI DQ +( 67$ KDV LJQRUHG D 0+] 0+]
 0+] RU 0+] LQWHU%66 33'8 IROORZLQJ WKH SURFHGXUH LQ  *HQHUDO RSHUDWLRQ ZLWK

 QRQ65*2%663'OHYHO RU *HQHUDORSHUDWLRQZLWK65*2%663'OHYHO ,WLVDSSOLHGWRDQ\ 
 VHFRQGDU\ FKDQQHOV ZLWKLQ WKH 33'8 EDQGZLGWK RI WKH LQWHU%66 33'8 DQG GXULQJ WKH 5;7,0( RI WKH
 LQWHU%6633'82WKHUZLVHOBSS_PDlevelLVQRWDSSOLHGLQWKHHTXDWLRQVWRGHILQHWKHGHWHFWLRQOHYHOLQ 
 WKLVVXEFODXVH


 3HU0+]&&$VHQVLWLYLW\


 ,IWKHRSHUDWLQJFKDQQHOZLGWKLVJUHDWHUWKDQ0+]DQGWKH3+<LVVXHVD3+<&&$LQGLFDWLRQSULPLWLYH
 WKH3+<VKDOOVHWWKHSHUELWPDSWRLQGLFDWHWKHEXV\LGOHVWDWXVRIHDFK0+]VXEFKDQQHO$0+]


VXEFKDQQHOLVEXV\LIDWOHDVWRQHRIWKHIROORZLQJFRQGLWLRQVLVSUHVHQWLQDQRWKHUZLVHLGOH0+]

 0+]0+]RU0+]FKDQQHO

 ² $VLJQDOLVSUHVHQWRQWKH0+]VXEFKDQQHODWRUDERYHDWKUHVKROGRI±G%PDWWKHUHFHLYHU
V
 DQWHQQD V 7KH3+<VKDOOLQGLFDWHWKDWWKH0+]VXEFKDQQHOLVEXV\DSHULRGD&&$7LPHDIWHUWKH
 VLJQDOVWDUWVDQGVKDOOFRQWLQXHWRLQGLFDWHWKH0+]VXEFKDQQHOLVEXV\ZKLOHWKHWKUHVKROGFRQWLQ
 XHVWREHH[FHHGHG



² 7KH0+]VXEFKDQQHOLVLQDFKDQQHORQZKLFKDQ0+]QRQ+7GXSOLFDWH9+7RU+(33'8 
 DWRUDERYHPD[ ±G%POBSS_PDlevel + G% DWWKHUHFHLYHU
VDQWHQQD V LVSUHVHQW7KH3+< 
 VKDOOLQGLFDWHWKDWWKH0+]VXEFKDQQHOLVEXV\ZLWK!SUREDELOLW\ZLWKLQDSHULRGD&&$0LG
 7LPH VHH +(3+< 

 ² 7KH0+]VXEFKDQQHOLVLQDFKDQQHORQZKLFKD0+]QRQ+7GXSOLFDWH+7B0)+7B*)
 9+7RU+(33'8DWRUDERYHPD[ ±G%POBSS_PDlevel + G% DWWKHUHFHLYHU
VDQWHQQD V LV

 SUHVHQW7KH3+<VKDOOLQGLFDWHWKDWWKH0+]VXEFKDQQHOLVEXV\ZLWK!SUREDELOLW\ZLWKLQD
 SHULRGD&&$0LG7LPH VHH +(3+< 

 ² $0+]QRQ+7+7B0)+7B*)9+7RU+(33'8DWRUDERYHPD[ ±G%POBSS_PDlevel 
 DWWKHUHFHLYHU
VDQWHQQD V LVSUHVHQWRQWKH0+]VXEFKDQQHO7KH3+<VKDOOLQGLFDWHWKDWWKH
 0+]VXEFKDQQHOLVEXV\ZLWK!SUREDELOLW\ZLWKLQDSHULRGD&&$0LG7LPH VHH +( 

3+< 


 127(²)ROORZLQJWKHUHFHLSWRID7ULJJHUIUDPHZLWKWKH&65HTXLUHGVXEILHOGLQWKH&RPPRQ,QIRILHOGVHWWRWKH
 +(3+<LVRQO\UHTXLUHGWRGHWHFWDVLJQDODWWKH±G%PWKUHVKROGVLQFHWKHRWKHUFRQGLWLRQVUHTXLUHPRUHWLPHWKDQLV
 DYDLODEOHEHIRUHWKHUHVSRQVHLVH[SHFWHG


 OBSS_PDlevel LV GHILQHG LQ  $GMXVWPHQW RI 2%66 3' DQG WUDQVPLW SRZHU  DQG DSSOLHG LQ WKH
 HTXDWLRQV WR GHILQH WKH GHWHFWLRQ OHYHO LQ WKLV VXEFODXVH LI DQ +( 67$ KDV LJQRUHG D 0+] 0+]
 0+] RU 0+] LQWHU%66 33'8 IROORZLQJ WKH SURFHGXUH LQ  *HQHUDO RSHUDWLRQ ZLWK
 QRQ65*2%663'OHYHO RU *HQHUDORSHUDWLRQZLWK65*2%663'OHYHO ,WLVDSSOLHGWRDQ\ 

VHFRQGDU\ FKDQQHOV ZLWKLQ WKH 33'8 EDQGZLGWK RI WKH LQWHU%66 33'8 DQG GXULQJ WKH 5;7,0( RI WKH

 LQWHU%6633'82WKHUZLVHOBSS_PDlevelLVQRWDSSOLHGLQWKHHTXDWLRQVWRGHILQHWKHGHWHFWLRQOHYHOLQ 
 WKLVVXEFODXVH

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 +(WUDQVPLWSURFHGXUH


7KHUHDUHILYHRSWLRQVIRUWKHWUDQVPLW3+<SURFHGXUH7KHILUVWIRXURSWLRQVIRUZKLFKW\SLFDOWUDQVPLWSUR

 FHGXUHV DUH VKRZQ LQ )LJXUH 3+< WUDQVPLW SURFHGXUH IRU DQ +( 68 33'8  )LJXUH 3+<

 WUDQVPLWSURFHGXUHIRUDQ+((56833'8 )LJXUH 3+<WUDQVPLWSURFHGXUHIRUDQ+(0833'8 
 DQG)LJXUH 3+<WUDQVPLWSURFHGXUHIRUDQ+(7%33'8 DUHVHOHFWHGLIWKH)250$7ILHOGRIWKH
 3+<7;67$57UHTXHVW 7;9(&725  SULPLWLYH LV HTXDO WR +(B68 +(B08 +(B(5B68 RU +(B7%

UHVSHFWLYHO\7KHVHWUDQVPLWSURFHGXUHVGRQRWGHVFULEHWKHRSHUDWLRQRIRSWLRQDOIHDWXUHVVXFKDV'&0





3+<7;67$57FRQILUP


3+<7;(1'UHTXHVW
3+<7;67$57UHTXHVW

3+<'DWDUHTXHVW

3+<'DWDUHTXHVW
3+<'DWDFRQILUP

3+<'DWDFRQILUP


3+<7;(1'FRQILUP
 ««««««««

7;9(&725

 0$&

 $03'8LQFOXGLQJ(2)SDGGLQJ

 3UH)(&3+<3DGGLQJLIQHHGHG

 /6,*
+(
6HUYLFH 36'8
7DLO%LWVLIQHHGHG

 6,*$ 3RVW)(&SDGGLQJLI
QHHGHG


6FUDPEOLQJ
 HQFRGLQJ
 3+<



 +( +(
+(7UDLQLQJ 'DWD 9DULDEOHQXPEHURI2)'0 3DFNHW([WHQVLRQ 
/67) //7) /6,* 5/6,* 6,* 6,* 6LJQDO([WHQVLRQ LI
 $ $
6\PEROV V\PEROV  SUHVHQW
 &RGHG &RGHG
&RGHG2)'0+(0&6LQGLFDWHGLQ
2)'0 2)'0
 %36. %36.
+(6,*$

 5DWHò
&RGHG
5DWHò
&RGHG

 2)'0
%36.
2)'0
%36.
 5DWHò 5DWHò


 )LJXUH²3+<WUDQVPLWSURFHGXUHIRUDQ+(6833'8


























&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU




3+<7;67$57FRQILUP


3+<7;(1'UHTXHVW
3+<7;67$57UHTXHVW


3+<'DWDUHTXHVW

3+<'DWDUHTXHVW
3+<'DWDFRQILUP

3+<'DWDFRQILUP


3+<7;(1'FRQILUP
««««««««

7;9(&725

0$&

 $03'8LQFOXGLQJ(2)SDGGLQJ


3UH)(&3+<SDGGLQJLIQHHGHG
 +( 7DLOELWVLIQHHGHG
 /6,*
6,*$
6HUYLFH 36'8
3RVW)(&
 SDGGLQJLIQHHGHG

 6FUDPEOLQJ
 3+< HQFRGLQJ



 +( +( +( +( 3DFNHW([WHQVLRQ 
+(7UDLQLQJ 'DWD 9DULDEOHQXPEHURI2)'0
 /67) //7) /6,* 5/6,* 6,* 6,* 6,* 6,*
6\PEROV V\PEROV 
6LJQDO([WHQVLRQ LI
SUHVHQW
 &RGHG
$
&RGHG
$ $ $
&RGHG
 2)'0 2)'0 2)'0
&RGHG2)'0+(0&6LQGLFDWHGLQ
+(6,*$
%36. %36. %36.
 5DWHò 5DWHò 5DWHò &RGHG
&RGHG &RGHG
 2)'0 2)'0
2)'0
%36.
%36. 4%36.
 5DWHò 5DWHò
5DWHò


 )LJXUH²3+<WUDQVPLWSURFHGXUHIRUDQ+((56833'8




3+<7;67$57FRQILUP

3+<7;(1'UHTXHVW


3+<7;67$57UHTXHVW

3+<'DWDUHTXHVW

3+<'DWDUHTXHVW
3+<'DWDFRQILUP

3+<'DWDFRQILUP



3+<7;(1'FRQILUP
 ««««««««

7;9(&725

 0$&

 $03'8LQFOXGLQJ(2)SDGGLQJ

 3UH)(&3+<SDGGLQJLIQHHGHG
 /6,*
+( +(
6HUYLFH 36'8
7DLOELWVLIQHHGHG
6,*$ 6,*%
 3RVW)(&
 SDGGLQJLIQHHGHG

 6FUDPEOLQJ
 HQFRGLQJ
3+<




 +( +(
+(7UDLQLQJ 'DWD 9DULDEOHQXPEHURI2)'0 3DFNHW([WHQVLRQ 
/67) //7) /6,* 5/6,* 6,* 6,* +(6,*% 6LJQDO([WHQVLRQ LI
 $ $
6\PEROV V\PEROV  SUHVHQW

 &RGHG
2)'0
&RGHG
2)'0
&RGHG2)'0
&RGHG2)'0+(0&6LQGLFDWHGLQ
+(0&6LQGLFDWHGLQ
 %36. %36. +(6,*$
+(6,*%
5DWHò 5DWHò
 &RGHG &RGHG
2)'0 2)'0
 %36. %36.

 5DWHò 5DWHò


 )LJXUH²3+<WUDQVPLWSURFHGXUHIRUDQ+(0833'8






 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU




3+<7;67$57FRQILUP


3+<7;(1'UHTXHVW
3+<7;67$57UHTXHVW


3+<'DWDUHTXHVW

3+<'DWDUHTXHVW
3+<'DWDFRQILUP

3+<'DWDFRQILUP


3+<7;(1'FRQILUP
««««««««

7;9(&725

0$&

 $03'8LQFOXGLQJ(2)SDGGLQJ


 +(
3UH)(&3+<SDGGLQJLIQHHGHG
7DLOELWVLIQHHGHG
 /6,*
6,*$
6HUYLFH 36'8
3RVW)(&
 SDGGLQJLIQHHGHG

 6FUDPEOLQJ
HQFRGLQJ
 3+<



 +( +( 3DFNHW([WHQVLRQ 
+(7UDLQLQJ 'DWD 9DULDEOHQXPEHURI2)'0
 /67) //7) /6,* 5/6,* 6,* 6,*
6\PEROV V\PEROV 
6LJQDO([WHQVLRQ LI
SUHVHQW
 &RGHG
$
&RGHG
$

 2)'0 2)'0 &RGHG2)'0


%36. %36.
 5DWHò 5DWHò
&RGHG &RGHG
 2)'0 2)'0
%36. %36.
 5DWHò 5DWHò

 )LJXUH²3+<WUDQVPLWSURFHGXUHIRUDQ+(7%33'8


 7KHILIWKRSWLRQLVWRIROORZWKHWUDQVPLWSURFHGXUHLQ&ODXVH 2UWKRJRQDOIUHTXHQF\GLYLVLRQPXOWLSOH[
 LQJ 2)'0 3+<VSHFLILFDWLRQ RU&ODXVH ([WHQGHG5DWH3+< (53 VSHFLILFDWLRQ LIWKH)250$7 
 SDUDPHWHURIWKH3+<7;67$57UHTXHVW 7;9(&725 SULPLWLYHLV121B+7,QDGGLWLRQLIWKH)250$7 
 SDUDPHWHULV121B+7DQGWKH121B+7B02'8/$7,21SDUDPHWHULV2)'0WKHQWKHWUDQVPLWSURFH
 GXUHGHILQHGLQ&ODXVH 2UWKRJRQDOIUHTXHQF\GLYLVLRQPXOWLSOH[LQJ 2)'0 3+<VSHFLILFDWLRQ LVIRO

 ORZHG,IWKH)250$7SDUDPHWHULV121B+7DQGWKH121B+7B02'8/$7,21SDUDPHWHULV121B+7B
 '83B2)'0 WKH WUDQVPLW SURFHGXUH GHILQHG LQ &ODXVH  2UWKRJRQDO IUHTXHQF\ GLYLVLRQ PXOWLSOH[LQJ
 2)'0 3+<VSHFLILFDWLRQ LVIROORZHGH[FHSWWKDWWKHVLJQDOLVJHQHUDWHGVLPXOWDQHRXVO\RQHDFKRIWKH
 0+]FKDQQHOVLGHQWLILHGE\WKH&+B%$1':,'7+SDUDPHWHUDVGHILQHGLQ +(SUHDPEOH DQG 
  1RQ+7GXSOLFDWHWUDQVPLVVLRQ ,IWKH)250$7SDUDPHWHULV121B+7WKH&+B%$1':,'7+ 

 SDUDPHWHU LV 121B+7B&%: DQG WKH 121B+7B02'8/$7,21 SDUDPHWHU LV QRW 2)'0 WKHQ WKH
 WUDQVPLWSURFHGXUHGHILQHGLQ&ODXVH ([WHQGHG5DWH3+< (53 VSHFLILFDWLRQ LVIROORZHG

 127(²)RUDQ+(0833'8WKH$03'8LVSHUXVHULQWKH0$&VXEOD\HUDQGWKH+(7UDLQLQJ6\PEROVDQG'DWD
 DUHSHUXVHULQWKH3+<LQ)LJXUH 3+<WUDQVPLWSURFHGXUHIRUDQ+(0833'8 ZLWKWKHQXPEHU+(7UDLQLQJ

 6\PEROVGHSHQGLQJRQWKHPD[LPXPWRWDOQXPEHURIVSDFHWLPHVWUHDPVDFURVVDOO58V

 127(²7KHWUDQVPLWSURFHGXUHIRU121B+7+7B0)+7B*)DQG9+7IRUPDWDUHVSHFLILHGLQ 6XSSRUWIRU
 QRQ+7+7DQG9+7IRUPDWV 


 ,Q DOO RSWLRQV LQ RUGHU WR WUDQVPLW GDWD WKH 0$& JHQHUDWHV D 3+<7;67$57UHTXHVW SULPLWLYH ZKLFK
 FDXVHVWKH3+<HQWLW\WRHQWHUWKHWUDQVPLWVWDWH)XUWKHUWKH3+<LVVHWWRRSHUDWHDWWKHDSSURSULDWHIUH

 TXHQF\WKURXJKVWDWLRQPDQDJHPHQWYLDWKH3/0(DVVSHFLILHGLQ +(3/0( 2WKHUWUDQVPLWSDUDP
 HWHUV VXFK DV +(0&6 &RGLQJ W\SHV DQG WUDQVPLW SRZHU DUH VHW YLD WKH 3+<6$3 XVLQJ WKH
 3+<7;67$57UHTXHVW 7;9(&725  SULPLWLYH DV GHVFULEHG LQ  7;9(&725 DQG 5;9(&725 
 SDUDPHWHUV $IWHUWUDQVPLWWLQJD33'8WKDWFDUULHVD7ULJJHUIUDPHWKH0$&VXEOD\HULVVXHVD3+<75,*

*(5UHTXHVWZLWKD75,*9(&725SDUDPHWHUWKDWSURYLGHVWKH3+<HQWLW\ZLWKWKHLQIRUPDWLRQQHHGHGWR

 GHPRGXODWH WKH H[SHFWHG +( 7% 33'8 UHVSRQVH 7KH UHPDLQGHU RI WKH FODXVH DSSOLHV WR WKH ILUVW IRXU
 RSWLRQV

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KH3+<LQGLFDWHVWKHVWDWHRIWKHSULPDU\FKDQQHODQGRWKHUFKDQQHOV LIDQ\ YLDWKH3+<&&$LQGLFDWLRQ


 SULPLWLYH VHH &&$VHQVLWLYLW\ DQG 3+<&&$LQGLFDWLRQ 7UDQVPLVVLRQRIWKH33'8 

VKDOO EH LQLWLDWHG E\ WKH 3+< DIWHU UHFHLYLQJ WKH 3+<7;67$57UHTXHVW 7;9(&725  SULPLWLYH 7KH

 7;9(&725 SDUDPHWHUV IRU WKH 3+<7;67$57UHTXHVWSULPLWLYHDUHVSHFLILHGLQ7DEOH 7;9(&
 725DQG5;9(&725SDUDPHWHUV 

 $IWHUWKH3+<SUHDPEOHWUDQVPLVVLRQLVVWDUWHGWKH3+<HQWLW\LPPHGLDWHO\LQLWLDWHVGDWDVFUDPEOLQJDQG


GDWDHQFRGLQJ7KHHQFRGLQJPHWKRGIRUWKH'DWDILHOGLVEDVHGRQWKH)(&B&2',1*&+B%$1':,'7+

 180B67667%&0&6DQG180B86(56SDUDPHWHUVRIWKH7;9(&725DVGHVFULEHGLQ +( 
 33'8IRUPDWV 

 7KH6(59,&(ILHOGDQG36'8DUHHQFRGHGDVGHVFULEHGLQ 7UDQVPLWWHUEORFNGLDJUDP 7KHGDWD

VKDOOEHH[FKDQJHGEHWZHHQWKH0$&DQGWKH3+<WKURXJKDVHULHVRI3+<'$7$UHTXHVW '$7$ SULPL

 WLYHVLVVXHGE\WKH0$&DQG3+<'$7$FRQILUPSULPLWLYHVLVVXHGE\WKH3+<3+<SDGGLQJELWVDUH
 DSSHQGHGWRWKH36'8WRPDNHWKHQXPEHURIELWVLQWKHFRGHG36'8DQLQWHJUDOPXOWLSOHRIWKHQXPEHURI
 FRGHGELWVSHU2)'0V\PERO


7UDQVPLVVLRQ FDQ EH SUHPDWXUHO\ WHUPLQDWHG E\ WKH 0$& WKURXJK WKH 3+<7;(1'UHTXHVW SULPLWLYH

 36'8 WUDQVPLVVLRQ LV WHUPLQDWHG E\ UHFHLYLQJ D 3+<7;(1'UHTXHVW SULPLWLYH (DFK 3+<
 7;(1'UHTXHVWSULPLWLYHLVDFNQRZOHGJHGZLWKD3+<7;(1'FRQILUPSULPLWLYHIURPWKH3+<

 $SDFNHWH[WHQVLRQDQGRUDVLJQDOH[WHQVLRQPD\EHSUHVHQWLQWKH33'87KH3+<7;(1'FRQILUPSULP

LWLYHLVJHQHUDWHGDWWKHODWHVWRIWKHDFWXDOHQGLQJWLPHRIWKH33'8WKHHQGRIWKHSDFNHWH[WHQVLRQLISUHV

 HQWDQGWKHHQGRIWKHVLJQDOH[WHQVLRQLISUHVHQW

 ,QWKH3+< WKH *,ZLWK *,GXUDWLRQLQGLFDWHGLQ *,B7<3( SDUDPHWHURI WKH 7;9(&725 LV LQVHUWHGLQ

 HYHU\GDWD2)'0V\PERODVDFRXQWHUPHDVXUHDJDLQVWGHOD\VSUHDG


 2QFHWKH33'8WUDQVPLVVLRQLVFRPSOHWHGWKH3+<HQWLW\HQWHUVWKHUHFHLYHVWDWH

 $W\SLFDOVWDWHPDFKLQHLPSOHPHQWDWLRQIRUWKHWUDQVPLVVLRQRIDQ+(33'8ZLWKRXWPLGDPEOHVLVVKRZQLQ 
 )LJXUH 3+< WUDQVPLW VWDWH PDFKLQH IRU DQ +( 33'8 ZLWKRXW PLGDPEOHV  5HTXHVW UHTXHVW  DQG





























 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 FRQILUPDWLRQ FRQILUP SULPLWLYHVDUHLVVXHGRQFHSHUVWDWHDVVKRZQ7KLVVWDWHPDFKLQHGRHVQRWGHVFULEH


 WKHRSHUDWLRQRIRSWLRQDOIHDWXUHVVXFKDV'&0



 7;36'82&7(7

 )250$7 
121B+75HIHU
 WR&ODXVH *HWRFWHWIURP0$&
)250$7 +7B0) VFUDPEOHHQFRGHDQG
 RU+7B*)5HIHUWR EXIIHU
3+<'$7$UHTXHVW '$7$

 6HW7;SDUDPHWHUV &ODXVH 3+<GDWDFRQILUP


)250$7 9+7
 5HIHUWR&ODXVH
 %XIIHUFRQWDLQVD
 )250$7 +(B68RU
V\PERO¶VZRUWKRI
RWKHUZLVH
GDWDRUODVWRFWHW
 +(B08RU+(B(5B68RU
+(B75,*
UHFHLYHGIURP0$& 3+<'$7$UHTXHVW '$7$


/DVW
 6\PERO"

7;/67) <HV
 7;//7)
 7;/6,* %36.

 3$'',1* 7$,/ 3RVW


 1R )(&SDGGLQJ

 $GG3+<
 )250$7 
+(B68RU
)250$7  )250$7 
SDGGLQJELWV
VFUDPEOHHQFRGH
+(B08
 +(B75,* +(B(5B68 EXIIHUHQFRGH EXIIHUWDLOELWV
%&&RQO\  3RVW)(&SDGGLQJ
 LIQHHGHG


 7;5/6,* %36. 7;5/6,* %36. 7;6<0%2/
7;5/6,* %36.
 7;+(6,*$ %36.
7;+(6,*$ %36. 7;+(6,*$ %36.
7;+(6,*$ %36. 7;+(6,*$ 4%36.
 7;+(6,*$ %36.
7;+(6,*% 7;+(6,*$ %36.
7;+(7UDLQLQJ6\PEROV
 7;+(7UDLQLQJ6\PEROV 7;+(6,*$ %36.
7;+(7UDLQLQJ6\PEROV

 'HFUHPHQW6\PERO

 'HFUHPHQWV\PERO
6\PEROFRXQW!
 FRXQW


6\PEROFRXQWLV
 8VH+(0&6DQGQXPEHURI
 VSDFHWLPHVWUHDPVVHWE\ :DLW7;B(1'
7;9(&725
 ELWVHUYLFHILHOGSUHSHQGHG
 SDGGLQJDQGWDLOELWVDSSHQGHG
WR36'8
 3DFNHW([WHQVLRQ"


 QRSDFNHW $GG3DFNHW([WHQVLRQ
 H[WHQVLRQ
:DLWIRUGXUDWLRQRI
 3DFNHW([WHQVLRQ

 3+<7;67$57FRQILUP
6LJQDO([WHQVLRQ"
6HWV\PEROFRXQWWRNSYM

 $GG6LJQDO([WHQVLRQ
 QRVLJQDO :DLWIRUGXUDWLRQRI
 H[WHQVLRQ 6LJQDO([WHQVLRQ

 $WDQ\VWDJHLQWKH 6ZLWFK5;VWDWH
 $
DERYHIORZGLDJUDPLID
3+<7;(1'UHTXHVWLV $
 UHFHLYHG͘


 )LJXUH²3+<WUDQVPLWVWDWHPDFKLQHIRUDQ+(33'8ZLWKRXWPLGDPEOHV







&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 +(UHFHLYHSURFHGXUH


7\SLFDO3+<UHFHLYHSURFHGXUHVDUHVKRZQLQ)LJXUH 3+<UHFHLYHSURFHGXUHIRUDQ+(6833'8 

 )LJXUH 3+<UHFHLYHSURFHGXUHIRUDQ+((56833'8 )LJXUH 3+<UHFHLYHSURFHGXUHIRU
 DQ+(0833'8 DQG)LJXUH 3+<UHFHLYHSURFHGXUHIRUDQ+(7%33'8 UHVSHFWLYHO\



&6&&$VWDWH 5;VWDWH



3+<5;67$57LQGLFDWLRQ


3+<'$7$LQGLFDWLRQ

3+<5;(1'LQGLFDWLRQ
3+<'$7$LQGLFDWLRQ

3+<'$7$LQGLFDWLRQ

1R(UURU5;9(&725
3+<&&$LQGLFDWLRQ

3+<&&$LQGLFDWLRQ

EXV\SULPDU\



5;9(&725
««««««««

 0$&

,'/(

$03'8


 'HFRGLQJ'HOD\
/6,* 6,*$ 36'8
3UH)(&SDGGLQJ
LISUHVHQW WDLO
0HDVXUH566,B/(*&<

 ELWV LISUHVHQW 
,VVXHDWWKHVDPHWLPH
DQGSRVW)(&
 'HFRGHGDQG
SDGGLQJ
GHVFUDPEOHG

0HDVXUH5&3,

0HDVXUH566,
 3+<



 +( +(
+(WUDLQLQJ 'DWD YDULDEOHQXPEHURI2)'0 3DFNHWH[WHQVLRQ 6LJQDOH[WHQVLRQ
 /67) //7) /6,* 5/6,* 6,*
$
6,*
$
V\PEROV V\PEROV  LISUHVHQW LISUHVHQW
 &RGHG &RGHG &RGHG2)'0+(0&6LQGLFDWHGLQ
2)'0 2)'0
 %36. %36.
+(6,*$
5DWHò 5DWHò
 &RGHG
2)'0
&RGHG
2)'0

 %36.
5DWHò
%36.
5DWHò



 )LJXUH²3+<UHFHLYHSURFHGXUHIRUDQ+(6833'8


 &6&&$VWDWH 5;VWDWH


3+<5;67$57LQGLFDWLRQ

3+<'$7$LQGLFDWLRQ
3+<'$7$LQGLFDWLRQ

3+<'$7$LQGLFDWLRQ

3+<5;(1'LQGLFDWLRQ
1R(UURU5;9(&725


3+<&&$LQGLFDWLRQ

3+<&&$LQGLFDWLRQ


EXV\SULPDU\

««««««««

5;9(&725

 0$&
,'/(

 $03'8

 3UH)(&SDGGLQJ
'HFRGLQJ'HOD\
 +(
0HDVXUH566,B/(*$&<

/6,* 36'8 LISUHVHQW WDLO


6,*$
ELWV LISUHVHQW 
 'HFRGHGDQG
DQGSRVW)(& ,VVXHDWWKHVDPHWLPH
 GHVFUDPEOHG
SDGGLQJ
0HDVXUH566,


0HDVXUH5&3,

3+<



 /67) //7) /6,* 5/6,*
+(
6,*
+(
6,*
+(
6,*
+(
6,*
+(WUDLQLQJ 'DWD YDULDEOHQXPEHURI2)'0 3DFNHWH[WHQVLRQ 6LJQDOH[WHQVLRQ
 $ $ $
&RGHG
$
V\PEROV V\PEROV  LISUHVHQW LISUHVHQW
&RGHG &RGHG
 2)'0
%36.
2)'0
%36.
2)'0
%36.
&RGHG2)'0+(0&6LQGLFDWHGLQ
+(6,*$

 5DWHò
&RGHG
2)'0
5DWHò
&RGHG
2)'0
5DWHò
&RGHG
2)'0
 %36.
5DWHò
4%36.
5DWHò
%36.
5DWHò



 )LJXUH²3+<UHFHLYHSURFHGXUHIRUDQ+((56833'8



 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU



&6&&$VWDWH 5;VWDWH



3+<5;67$57LQGLFDWLRQ

3+<'$7$LQGLFDWLRQ

3+<5;(1'LQGLFDWLRQ
3+<'$7$LQGLFDWLRQ

3+<'$7$LQGLFDWLRQ

1R(UURU5;9(&725


3+<&&$LQGLFDWLRQ

3+<&&$LQGLFDWLRQ


EXV\SULPDU\
««««««««


5;9(&725
 0$&

,'/(

$03'8


3UH)(&SDGGLQJ
 'HFRGLQJ'HOD\ +(
0HDVXUH566,B/(*$&<

/6,* +(6,*% 36'8 LISUHVHQW WDLO


6,*$
 ELWV LISUHVHQW 
DQGSRVW)(& ,VVXHDWWKHVDPHWLPH
'HFRGHGDQG
 GHVFUDPEOHG
SDGGLQJ

0HDVXUH566,


0HDVXUH5&3,
3+<



 +( +(
+(WUDLQLQJ 'DWD YDULDEOHQXPEHURI2)'0 3DFNHWH[WHQVLRQ 6LJQDOH[WHQVLRQ
/67) //7) /6,* 5/6,* 6,* 6,* +(6,*%
 $ $
V\PEROV V\PEROV  LISUHVHQW LISUHVHQW

 &RGHG
2)'0
&RGHG
2)'0
&RGHG2)'0+(0&6LQGLFDWHGLQ
+(6,*%
 %36.
5DWHò
&RGHG
%36.
5DWHò
&RGHG
&RGHG2)'0
+(0&6LQGLFDWHGLQ

 2)'0
%36.
2)'0
%36.
+(6,*$

5DWHò 5DWHò


 )LJXUH²3+<UHFHLYHSURFHGXUHIRUDQ+(0833'8



 &6&&$VWDWH 5;VWDWH

3+<5;67$57LQGLFDWLRQ


3+<'$7$LQGLFDWLRQ
3+<'$7$LQGLFDWLRQ

3+<'$7$LQGLFDWLRQ
3+<&&$LQGLFDWLRQ



3+<5;(1'LQGLFDWLRQ
1R(UURU5;9(&725
3+<&&$LQGLFDWLRQ
EXV\SULPDU\

5;9(&725

 ««««««««

0$&


,'/(
 $03'8

 3UH)(&SDGGLQJ
'HFRGLQJ'HOD\

0HDVXUH566,B/(*$&<

/6,* 6,*$ 36'8 LISUHVHQW WDLO


ELWV LISUHVHQW 
 'HFRGHGDQG
DQGSRVW)(& ,VVXHDWWKHVDPHWLPH
 GHVFUDPEOHG
SDGGLQJ
0HDVXUH5&3,
0HDVXUH566,


3+<



 +( +(
'DWD YDULDEOHQXPEHURI2)'0 3DFNHWH[WHQVLRQ 6LJQDOH[WHQVLRQ
 /67) //7) /6,* 5/6,* 6,*
$
6,*
$
+(WUDLQLQJV\PEROV
V\PEROV  LISUHVHQW LISUHVHQW
 &RGHG &RGHG
&RGHG2)'0
2)'0 2)'0
 %36.
5DWHò
%36.
5DWHò
 &RGHG
2)'0
&RGHG
2)'0
%36. %36.
 5DWHò 5DWHò




)LJXUH²3+<UHFHLYHSURFHGXUHIRUDQ+(7%33'8

 $ W\SLFDO VWDWH PDFKLQH LPSOHPHQWDWLRQ RI WKH UHFHLYH 3+< LV JLYHQ LQ )LJXUH 3+< UHFHLYH VWDWH
 PDFKLQHLIPLGDPEOHVDUHQRWSUHVHQW 


 7KLVUHFHLYHSURFHGXUHDQGVWDWHPDFKLQHGRQRWGHVFULEHWKHRSHUDWLRQRIRSWLRQDOIHDWXUHVVXFKDV'&0,I
 WKHGHWHFWHGIRUPDWLQGLFDWHVDQRQ+733'8UHIHUWRWKHUHFHLYHSURFHGXUHDQGVWDWHPDFKLQHLQ&ODXVH 

 '666 3+< VSHFLILFDWLRQ IRU WKH  *+] EDQG GHVLJQDWHG IRU ,60 DSSOLFDWLRQV  &ODXVH  +LJK UDWH
 GLUHFWVHTXHQFHVSUHDGVSHFWUXP +5'666 3+<VSHFLILFDWLRQ &ODXVH 2UWKRJRQDOIUHTXHQF\GLYLVLRQ 

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU



Zy/>ƐƚĂƚĞ

 ^ͬ

 ^ĞƚW,zͺ͘ŝŶĚŝĐĂƚŝŽŶ;h^z͕ƉƌŝŵĂƌLJͿ
 EKdϭͶdŚŝƐƐƚĂƚĞŵĂĐŚŝŶĞĚŽĞƐŶŽƚĚĞƐĐƌŝďĞƚŚĞ
ĞƚĞĐƚ,dͲ'&
 ŽƉĞƌĂƚŝŽŶŽĨŽƉƚŝŽŶĂůĨĞĂƚƵƌĞƐ͕ƐƵĐŚĂƐD͘
,dͲ'&ƉƌĞĂŵďůĞ
 ĞƚĞƌŵŝŶĞǁŚĞƚŚĞƌYW^<ŝƐ
ZĞĨĞƌƚŽϭϵ͘ϯ͘Ϯϭ EKdϮͶZĞĨĞƌƚŽůĂƵƐĞϭϴŝĨEKEͺ,dͺDKh>d/KE
ƵƐĞĚŝŶϭƐƚƐLJŵďŽůĂĨƚĞƌ>d&
 ƉĂƌĂŵĞƚĞƌŝŶĚŝĐĂƚĞƐŽƚŚĞƌƚŚĂŶK&DĂŶĚ
 W^< EKEͺ,dͺhWͺK&D͘


 ŶĚŽĨtĂŝƚ ĞƚĞĐƚZ>Ͳ^/' ĞƚĞĐƚ^/'ĨŽƌŶŽŶͲ
,d͕,d͕ĂŶĚs,d
 ^ĞƚW,zͺ ZdžĂŶĚĚĞƚĞƌŵŝŶĞǁŚĞƚŚĞƌ ZĞƉĞƚŝƚŝŽŶĨĂŝůĞĚ s,dƉƌĞĂŵďůĞ
ZĞĨĞƌƚŽϮϭ͘ϯ͘ϮϬ
 ŝŶĚŝĐĂƚŝŽŶ;ͿŝŶ ĂƌƌŝĞƌůŽƐƚ͗ ϭƐƚĂŶĚϮŶĚƐLJŵďŽůƐĂĨƚĞƌ>Ͳ ĞƚĞƌŵŝŶĞ
>d&ĂƌĞƚŚĞƐĂŵĞ ƉƌĞĂŵďůĞƚLJƉĞƐ
 ĂĐĐŽƌĚĂŶĐĞ ^Ğƚ
W,zͺZyE͘ŝŶĚŝĐĂƚŝŽŶ
ǁŝƚŚ
 Ϯϳ͘ϯ͘ϭϵ͘ϲ ;ĂƌƌŝĞƌ>ŽƐƚͿ
ZĞƉĞƚŝƚŝŽŶĚĞƚĞĐƚĞĚ EŽŶͲ,dƉƌĞĂŵďůĞ
ZĞĨĞƌƚŽϭϳ͘ϯ͘ϭϮ
,dƉƌĞĂŵďůĞ
ZĞĨĞƌƚŽϭϵ͘ϯ͘Ϯϭ
 Zy>Ͳ^/' WĂƌŝƚLJŽƌ
 ZyĂŶĚĐŽŵďŝŶĞ>Ͳ^/'ĂŶĚZ>Ͳ^/'͘
Zd 
 ĞĐŽĚĞ͕ƚĞƐƚƉĂƌŝƚLJ͕ĚĞƚĞƌŵŝŶĞ
ĐŚĞĐŬ
ĨĂŝůĞĚ
 ǁŚĞƚŚĞƌZdŝƐϲDďͬƐ
 ^ĞƚƵƉW^hZy
 ǀĂůƵĂƚĞ
ǀĂůƵĂƚĞ>E'd, ^ĞƚEͺƐLJŵďŽůƐсE^zD
 >E'd,
ŵŽĚϯсϬ
ĐŽŶƐƚĞůůĂƚŝŽŶŽĨϮŶĚ ^ĞƚW,zͺZy^dZd͘ŝŶĚŝĐĂƚŝŽŶ
 ĞƚĞƌŵŝŶĞ>E'd,ŵŽĚϯ ,Ͳ^/'ͲƐLJŵďŽů ;ZysdKZͿ
 >E'd,ŵŽĚϯсϭ
>E'd,ŵŽĚϯсϮ ĞƚĞƌŵŝŶĞ
ĐŽŶƐƚĞůůĂƚŝŽŶŽĨ,Ͳ
 ^/'ͲϮ
ĞƚĞĐƚ,Ͳ^/'ͲŽĨ
 ,ͺ^hŽƌ,ͺdZ/' W^<
Zy^LJŵďŽů
ĂƌƌŝĞƌůŽƐƚ͗ YW^<
 ^ĞƚW,zͺZyE͘ŝŶĚŝĐĂƚŝŽŶ;ĂƌƌŝĞƌ>ŽƐƚͿ
 Zy,Ͳ^/'Ͳ ĞƚĞĐƚ,Ͳ^/'ͲŽĨ
,ͺDh ĂƌƌŝĞƌůŽƐƚ sĂůŝĚƐŝŐŶĂů

  ĞƚĞĐƚ,Ͳ^/'ͲŽĨ
Zy,Ͳ^/'Ͳ ^ŝŐŶĂůEŽƚsĂůŝĚ ĞĐŽĚĞ^LJŵďŽů

 ŶĚŽĨtĂŝƚ ,ͺZͺ^h ^ĞƚZdžŶĚ^ƚĂƚƵƐс ĞĐŽĚĞĂŶĚ


 ;ĂƌƌŝĞƌ>ŽƐƚ͕EƵůůͿ ĚĞƐĐƌĂŵďůĞƐLJŵďŽů
Zy,Ͳ^/'Ͳ Zy,Ͳ^/'Ͳ
 &ŽƌƵŶƐƵƉƉŽƌƚĞĚŵŽĚĞƐ͕


EͺƐLJŵďŽůхϬ
ĂƌƌŝĞƌ>ŽƐƚ͕EŽ/ŶƚĞŶĚĞĚ
 ^dͲ/&ŽƵŶĚ͕EŽDĂƚĐŚĞĚ
ZyĂŶĚƚĞƐƚZ
Zy,Ͳ^/'Ͳ ĞĐƌĞŵĞŶƚdŝŵĞ ĞĐƌĞŵĞŶƚEͺƐLJŵďŽů
 ^^ŽůŽƌ͗ƐĞƚ Z&Ăŝů͗^Ğƚ
Z&Ăŝů
ZK<
 W,zͺ͘ŝŶĚŝĐĂƚŝŽŶ;/>Ϳ
ǁŚĞŶƉƌĞĚŝĐƚĞĚĚƵƌĂƚŝŽŶ
ZyĂŶĚƚĞƐƚZ W,zͺZyE͘ŝŶĚŝĐĂƚŝŽŶ tĂŝƚĨŽƌ
W,zͺd͘ŝŶĚŝĐĂƚŝŽŶ;dͿ
ŝŶƚĞŶĚĞĚĞŶĚŽĨ
 ďĂƐĞĚŽŶZyd/DĞĨŝŶĞĚŝŶ ZK<
;&ŽƌŵĂƚsŝŽůĂƚŝŽŶͿ ǀĂůƵĂƚĞ,Ͳ^/'Ͳ
W^h
;ďŝƚƌĞŵŽǀŝŶŐŝĨŶĞĞĚĞĚͿ
ĞĐƌĞŵĞŶƚƐLJŵďŽůĐŽƵŶƚ
 ĞƋƵĂƚŝŽŶ;ϮϳͲϭϯϮͿŚĂƐ ŚĞĐŬĐŽŶƚĞŶƚƐŝŶ
ĞůĂƉƐĞĚ͕ƵŶůĞƐƐW,zͲ
 Z^d͘ƌĞƋƵĞƐƚƌĞĐĞŝǀĞĚ͖ ǀĂůƵĂƚĞ,Ͳ^/'Ͳ
,Ͳ^/'ͲĨŽƌ
ƐƵƉƉŽƌƚĞĚŵŽĚĞ EͺƐLJŵďŽůсϬ
hŶƐƵƉƉŽƌƚĞĚŵŽĚĞ͗^Ğƚ
 /ĨƚŚĞZyd/DĐĂŶŶŽƚďĞ W,zͺZy^dZd͘ŝŶĚŝĐĂƚŝŽ ŶĚŽĨtĂŝƚ
ŶĚŽĨW^hZy
 ƉƌĞĚŝĐƚĞĚƵƐŝŶŐĞƋƵĂƚŝŽŶ;ϮϳͲ ŚĞĐŬĐŽŶƚĞŶƚƐŝŶ
,Ͳ^/'ͲĨŽƌ
Ŷ;ZysdKZͿƚŚĞŶƐĞƚ ^ƵƉƉŽƌƚĞĚ
ŵŽĚĞǁŝƚŚ ŚĞĐŬĨŽƌƉĂĐŬĞƚ
ϭϯϮͿ͗ƐĞƚ ^ĞƚZdžŶĚ^ƚĂƚƵƐс;EŽƌƌŽƌ͕
 W,zͺ͘ŝŶĚŝĐĂƚŝŽŶ;/>Ϳ ƐƵƉƉŽƌƚĞĚŵŽĚĞ
W,zͺZyE͘ŝŶĚŝĐĂƚŝŽŶ
;hŶƐƵƉƉŽƌƚĞĚZĂƚĞͿ ,Ͳ^/'Ͳ ĞdžƚĞŶƐŝŽŶ
ZysdKZͿ͖ŚĞĐŬĨŽƌƉĂĐŬĞƚ
 ǁŚĞŶƉƌĞĚŝĐƚĞĚĚƵƌĂƚŝŽŶ ĞƚĞƌŵŝŶĞŝĨWWhŝƐĨŝůƚĞƌĞĚ ĞdžƚĞŶƐŝŽŶ
 ďĂƐĞĚŽŶZyd/DĞĨŝŶĞĚŝŶ ^ƵƉƉŽƌƚĞĚŵŽĚĞ
ĞƋƵĂƚŝŽŶ;ϮϳͲϭϯϯͿŚĂƐ
ZĞƐĞƌǀĞĚ,Ͳ^/'Ͳ ŽƵƚŽƌŶŽƚ
ǁŝƚŚŽƵƚ,Ͳ^/'Ͳ /ŶĚŝĐĂƚŝŽŶ͗^ĞƚW,zͲ
 ĞůĂƉƐĞĚ͘ ZyE͘ŝŶĚŝĐĂƚŝŽŶ;&Žƌŵ
ǀĂůƵĂƚĞǁŚĞƚŚĞƌƚŚĞWWhŝƐ
WĂĐŬĞƚdžƚĞŶƐŝŽŶ
ĞdžƚĞŶƐŝŽŶ
EŽƉĂĐŬĞƚ

 ĂƚsŝŽůĂƚŝŽŶͿ
ĨŝůƚĞƌĞĚŽƵƚŽƌŶŽƚďĂƐĞĚŽŶ
ƚŚĞ^^ĐŽůŽƌŝŶ,Ͳ^/'Ͳ
  EŽƚĨŝůƚĞƌĞĚŽƵƚ
tĂŝƚĨŽƌĚƵƌĂƚŝŽŶŽĨƉĂĐŬĞƚĞdžƚĞŶƐŝŽŶ

 ĞƚĞƌŵŝŶĞŝĨWWhŝƐĨŝůƚĞƌĞĚ
ŽƵƚŽƌŶŽƚ
 &ŝůƚĞƌĞĚŽƵƚ;EŽŵĂƚĐŚ
ǀĂůƵĂƚĞǁŚĞƚŚĞƌƚŚĞWWhŝƐ
Zy,Ͳ^/'Ͳ ŚĞĐŬĨŽƌƐŝŐŶĂů
^^ŽůŽƌͿ͗
 ^ĞƚW,zͺZy^dZd͘ ĨŝůƚĞƌĞĚŽƵƚŽƌŶŽƚďĂƐĞĚŽŶ ĞdžƚĞŶƐŝŽŶ
^ŝŐŶĂůdžƚĞŶƐŝŽŶ
Zy
 ŝŶĚŝĐĂƚŝŽŶ;ZysdKZͿ ƚŚĞ^^ĐŽůŽƌŝŶ,Ͳ^/'Ͳ
tĂŝƚĨŽƌĚƵƌĂƚŝŽŶŽĨ
 ƚŚĞŶ
ƐĞƚ
EŽƚĨŝůƚĞƌĞĚŽƵƚ EŽƐŝŐŶĂů
ƐŝŐŶĂůĞdžƚĞŶƐŝŽŶ
 W,zͺZyE͘ŝŶĚŝĐĂƚŝŽŶ ĞƚĞƌŵŝŶĞŝĨWWhŝƐĨŝůƚĞƌĞĚ
ĞdžƚĞŶƐŝŽŶ

 ;&ŝůƚĞƌĞĚͿ ŽƵƚŽƌŶŽƚ
  ǀĂůƵĂƚĞǁŚĞƚŚĞƌƚŚĞWWhŝƐ ŶĚŽĨtĂŝƚ
 ĨŝůƚĞƌĞĚŽƵƚŽƌŶŽƚďĂƐĞĚŽŶ
W,zKE&/'ͺsdKZ EŽƚĨŝůƚĞƌĞĚ
 ^ĞƚW,zͺ͘ŝŶĚŝĐĂƚŝŽŶ;/>Ϳ
^ĞƚW,zͲZyE͘ŝŶĚŝĐĂƚŝŽŶ;ZdžŶĚ^ƚĂƚƵƐͿ
 &ŝůƚĞƌĞĚŽƵƚ;EŽŝŶƚĞŶĚĞĚ^dͲ/Ϳ͗ ŽƵƚ
 ^ĞƚW,zͺZy^dZd͘

 )LJXUH²3+<UHFHLYHVWDWHPDFKLQHLIPLGDPEOHVDUHQRWSUHVHQW




 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 PXOWLSOH[LQJ 2)'0 3+<VSHFLILFDWLRQ DQG&ODXVH ([WHQGHG5DWH3+< (53 VSHFLILFDWLRQ ,IWKH


 GHWHFWHGIRUPDWLQGLFDWHVDQ+733'8IRUPDWUHIHUWRWKHUHFHLYHSURFHGXUHDQGVWDWHPDFKLQHLQ&ODXVH 

+LJK7KURXJKSXW +7 3+<VSHFLILFDWLRQ ,IWKHGHWHFWHGIRUPDWLQGLFDWHVD9+733'8IRUPDWUHIHUWR 

 WKH UHFHLYH SURFHGXUH DQG VWDWH PDFKLQH LQ &ODXVH  9HU\ +LJK 7KURXJKSXW 9+7  3+< VSHFLILFD
 WLRQ 7KURXJKVWDWLRQPDQDJHPHQW YLDWKH3/0( WKH3+<LVVHWWRWKHDSSURSULDWHIUHTXHQF\DVVSHFLILHG 
 LQ +(3/0( 7KH3+<KDVDOVREHHQFRQILJXUHGZLWK%66LGHQWLILFDWLRQLQIRUPDWLRQDQG67$LGHQ
 WLILFDWLRQLQIRUPDWLRQ LH%66FRORUYDOXHDQG67$,'LQWKH%66 VRWKDWLWFDQUHFHLYHGDWDLQWHQGHGIRU

WKH67$LQWKHVSHFLILFFHOO2WKHUUHFHLYHSDUDPHWHUVVXFKDV566,DQGLQGLFDWHG'$7$5$7(PD\EH

 DFFHVVHGYLDWKH3+<6$3


8SRQUHFHLYLQJWKHWUDQVPLWWHG3+<SUHDPEOHLQDJUHDWHUWKDQRUHTXDOWR0+]%66WKH3+<PHDVXUHV

 DUHFHLYHVLJQDOVWUHQJWK7KLVDFWLYLW\LVLQGLFDWHGE\WKH3+<WRWKH0$&YLDD3+<&&$LQGLFDWLRQSULP
 LWLYH$3+<&&$LQGLFDWLRQ %86<FKDQQHOOLVW SULPLWLYHLVDOVRLVVXHGDVDQLQLWLDOLQGLFDWLRQRIUHFHS
 WLRQ RI D VLJQDO DV VSHFLILHG LQ  &&$ VHQVLWLYLW\  7KH FKDQQHOOLVW SDUDPHWHU RI WKH 3+<
 &&$LQGLFDWLRQSULPLWLYHLVDEVHQWZKHQWKHRSHUDWLQJFKDQQHOZLGWKLV0+]7KHFKDQQHOOLVWSDUDPHWHU

LVSUHVHQWZKHQWKHRSHUDWLQJFKDQQHOZLGWKLV0+]0+]0+]RU0+]


 7KH3+<VKDOOQRWLVVXHD3+<5;67$57LQGLFDWLRQSULPLWLYHLQUHVSRQVHWRD33'8WKDWGRHVQRWRYHU


ODSWKHSULPDU\FKDQQHOXQOHVVWKH3+<DWDQ$3UHFHLYHVWKH+(7%33'8VROLFLWHGE\WKH$3)RUWKH+( 
 7% 33'8 VROLFLWHG E\ WKH $3 WKH 3+< VKDOO LVVXH D 3+<5;67$57LQGLFDWLRQ SULPLWLYH IRU D 33'8

 UHFHLYHGLQWKHSULPDU\RUDWWKHVHFRQGDU\0+]FKDQQHOWKHVHFRQGDU\0+]FKDQQHORUWKHVHFRQG
 DU\0+]FKDQQHO


 7KH 3+< LQFOXGHV WKH PHDVXUHG 566, DQG 566,B/(*$&< YDOXH LQ WKH 3+<5;67$57LQGLFD
 WLRQ 5;9(&725 SULPLWLYHLVVXHGWRWKH0$&


 $IWHUWKH3+<&&$LQGLFDWLRQ %86<FKDQQHOOLVW SULPLWLYHLVLVVXHGWKH3+<HQWLW\VKDOOEHJLQUHFHLY
 LQJWKHWUDLQLQJV\PEROVDQGVHDUFKLQJIRUWKHSUHDPEOHVIRUQRQ+7+79+7DQG+(33'8VUHVSHF
 WLYHO\,IWKHFRQVWHOODWLRQXVHGLQWKHILUVWV\PERODIWHUWKHILUVWORQJWUDLQLQJILHOGLV4%36.WKH3+<HQWLW\


 VKDOOFRQWLQXHWRGHWHFWWKHUHFHLYHGVLJQDOXVLQJWKHUHFHLYHSURFHGXUHIRU+7*)GHSLFWHGLQ&ODXVH
 2WKHUZLVHIRUGHWHFWLQJWKH+(SUHDPEOHWKH3+<HQWLW\VKDOOVHDUFKIRU/6,*DQG5/6,*LQRUGHUWRVHW
 WKHPD[LPXPGXUDWLRQRIWKHGDWDVWUHDP,I5/6,*LVGHWHFWHGWKH3+<HQWLW\VKRXOGFKHFNWKHSDULW\ELW
 DQG5$7(ILHOGVLQ/6,*DQG5/6,*,IHLWKHUWKHFKHFNRIWKHSDULW\ELWLVLQYDOLGRUWKH5$7(ILHOGLV
 QRWVHWWR0EVLQQRQ+7D3+<5;67$57LQGLFDWLRQSULPLWLYHLVQRWLVVXHG,IWKHFKHFNRIWKHSDULW\ 

 ELWLVYDOLGDQGWKH5$7(ILHOGLQGLFDWHV0EVLQQRQ+7EXWWKH/(1*7+ILHOGYDOXHLQ/6,*LVDPXO
 WLSOHRID3+<5;67$57LQGLFDWLRQSULPLWLYHLVQRWLVVXHG,QERWKFDVHVWKH3+<VKRXOGFRQWLQXHWR
 GHWHFWWKHUHFHLYHGVLJQDOXVLQJQRQ+7+7DQG9+7UHFHLYHSURFHGXUHLQ&ODXVHVDQGUHVSHF
 WLYHO\


 ,I D YDOLG SDULW\ ELW DQG WKH 5$7( ZLWK  0EV LQ QRQ+7 DUH LQGLFDWHG LQ /6,* DQG 5/6,* DQG WKH
 /(1*7+ ILHOG YDOXH LQ /6,* DQG 5/6,* PHHWV WKH FRQGLWLRQ WKDW WKH UHPDLQGHU LV  DIWHU /(1*7+ 
 GLYLGHGE\WKH3+<HQWLW\VKRXOGEHJLQUHFHLYLQJWKHVHTXHQFHRI+(6,*$+(67)DQG+(/7)IRU

 +(6833'8DQG+(7%33'8DVVKRZQLQ)LJXUH 3+<UHFHLYHSURFHGXUHIRUDQ+(6833'8 
 DQG )LJXUH 3+< UHFHLYH SURFHGXUH IRU DQ +( 7% 33'8  UHVSHFWLYHO\ $IWHU 5/6,* WKH 3+< 
 HQWLW\VKDOOUHFHLYHWZRV\PEROVRI+(6,*$LPPHGLDWHO\IROORZHGE\+(67)


 7KH3+<HQWLW\VKDOOFKHFN&5&RIWKH+(6,*$ILHOG,IWKH&5&FKHFNLVYDOLGWKH3+<HQWLW\VKDOO
 UHSRUW7;23%66FRORUDQGFKHFN)RUPDWILHOGDQGFRQWLQXHWRUHFHLYH+(67)7KH3+<HQWLW\VKDOO
 UHSRUWWRWKH0$&HQWLW\WKHSUHGLFWHGGXUDWLRQRIWKH7;23LQWKH+(6,*$ILHOG7KH3+<HQWLW\VKDOO

FKHFNWKH%66FRORULQWKH+(6,*$ILHOG,IWKH%66FRORUGRHVQRWFRQWDLQDQLQWHQGHGYDOXHWKH3+<


 HQWLW\ VKDOO LVVXH D 3+<5;67$57LQGLFDWLRQ 5;9(&725  WKHQ LVVXH D 3+<5;(1'LQGLFDWLRQ )LO
 WHUHG 

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7KH3+<HQWLW\VKDOOFKHFNWKH)RUPDWILHOGLQWKH+(6,*$ILHOG,IWKH)RUPDWILHOGLQGLFDWHVDQ+(68

 33'8WKH3+<HQWLW\VKDOOUHFHLYH+(67)IRU—VDIWHUWKH+(6,*$ILHOG,IWKH)RUPDWILHOGLQGLFDWHV

DQ+(7%33'8WKH3+<HQWLW\VKDOOUHFHLYH+(67)IRU—VDIWHUWKH+(6,*$ILHOG


 ,IWKH+(6,*$ILHOGLQGLFDWHVDYDOLG&5&DQGDUHVHUYHG+(6,*$LQGLFDWLRQLVQRWLQGLFDWHGIRUDOO
 VXSSRUWHGPRGHVXQVXSSRUWHGPRGHVWKH3+<HQWLW\VKDOOPDLQWDLQ3+<&&$LQGLFDWLRQ %86<FKDQQHO
 OLVW SULPLWLYHIRUWKHSUHGLFWHGGXUDWLRQRIWKHWUDQVPLWWHG33'8DVGHILQHGE\5;7,0(LQ(TXDWLRQ 

   XQOHVV LW UHFHLYHV D 3+<&&$5(6(7UHTXHVW SULPLWLYH EHIRUH WKH HQG RI WKH 33'8 IRU LQVWDQFH
 GXULQJVSDWLDOUHXVHRSHUDWLRQDVGHVFULEHGLQ 6SDWLDOUHXVHRSHUDWLRQ ,IWKH+(6,*$ILHOGLQGL
 FDWHVDQXQVXSSRUWHGPRGHWKH3+<VKDOOLVVXHD3+<5;(1'LQGLFDWLRQ 8QVXSSRUWHG5DWH SULPLWLYH,I
 WKH+(6,*$ILHOGLQGLFDWHVDUHVHUYHG+(6,*$LQGLFDWLRQWKH3+<VKDOOLVVXHWKHHUURUFRQGLWLRQ3+<
 5;(1'LQGLFDWLRQ )RUPDW9LRODWLRQ  SULPLWLYH DQG PDLQWDLQ 3+<&&$LQGLFDWLRQ %86< FKDQQHOOLVW 

 SULPLWLYHIRUWKHSUHGLFWHGGXUDWLRQRIWKHWUDQVPLWWHG33'8GHULYHGIURPWKH/(1*7+ILHOGLQ/6,*DV
 GHILQHGLQ(TXDWLRQ  XQOHVVLWUHFHLYHVD3+<&&$5(6(7UHTXHVWSULPLWLYHEHIRUHWKHHQGRIWKH
 33'8IRULQVWDQFHGXULQJVSDWLDOUHXVHRSHUDWLRQDVGHVFULEHGLQ 6SDWLDOUHXVHRSHUDWLRQ 


 ,IWKH+(6,*$ILHOGLQGLFDWHVDQLQYDOLG&5&WKH3+<VKDOOLVVXHWKHHUURUFRQGLWLRQ3+<5;(1'LQGL
 FDWLRQ )RUPDW9LRODWLRQ SULPLWLYHDQGPDLQWDLQ3+<&&$LQGLFDWLRQ %86<FKDQQHOOLVW SULPLWLYHIRUWKH
 SUHGLFWHG GXUDWLRQ RI WKH WUDQVPLWWHG 33'8 GHULYHG IURP WKH /(1*7+ ILHOG LQ /6,* DV GHILQHG LQ 
 (TXDWLRQ   $ UHVHUYHG +(6,*$ LQGLFDWLRQ LV GHILQHG DV DQ +(6,*$ ILHOG ZLWK 5HVHUYHG ELWV
 HTXDOWRRUDQ\RWKHU+(6,*$ILHOGELWFRPELQDWLRQVWKDWGRQRWFRUUHVSRQGWRPRGHVRI3+<RSHUDWLRQ

 GHILQHGLQ&ODXVH +LJK(IILFLHQF\ +( 3+<VSHFLILFDWLRQ 

 ,IDYDOLGSDULW\ELWRI/6,*DQG5/6,*LVLQGLFDWHGDQGWKH/(1*7+ILHOGYDOXHLQ/6,*DQG5/6,* 
 PHHWWKHFRQGLWLRQWKDWWKHUHPDLQGHULVDIWHU/(1*7+GLYLGHGE\WKH3+<HQWLW\VKRXOGGHWHFWWKHVLJ

 QDOFRQVWHOODWLRQVLQWKHVHFRQGV\PERODIWHU5/6,*,IWKHFRQVWHOODWLRQLV4%36.WKH3+<HQWLW\VKDOO
 FRQWLQXHUHFHLYLQJWKHVHTXHQFHRI+(6,*$+(67)DQG+(/7)IRUDQ+((56833'8VKRZQLQ
 )LJXUH 3+<UHFHLYHSURFHGXUHIRUDQ+((56833'8 $IWHU5/6,*WKH3+<HQWLW\VKDOOUHFHLYH
 IRXUV\PEROVRI+(6,*$LPPHGLDWHO\IROORZHGE\+(67)


 7KH3+<HQWLW\VKDOOFKHFNWKH&5&RIWKH+(6,*$ILHOG,IWKH&5&LVYDOLGWKH3+<HQWLW\VKDOOUHSRUW
 7;23DQG%66FRORUDQGFRQWLQXHWRUHFHLYHWKH+(67)7KH3+<HQWLW\VKDOOUHSRUWWRWKH0$&HQWLW\ 
 WKHSUHGLFWHGGXUDWLRQRIWKH7;23LQ+(6,*$


 7KH 3+< HQWLW\ VKDOO FKHFN WKH %66 FRORU LQ WKH +(6,*$ ILHOG ,I WKH %66 FRORU GRHV QRW FRQWDLQ DQ

 LQWHQGHGYDOXHWKH3+<HQWLW\VKDOOLVVXHD3+<5;67$57LQGLFDWLRQ 5;9(&725 WKHQLVVXHD3+<
 5;(1'LQGLFDWLRQ )LOWHUHG 


 7KH3+<HQWLW\VKDOOUHFHLYHWKH+(67)IRU—VDIWHU+(6,*$

 ,IWKH+(6,*$ILHOGLQGLFDWHVDYDOLG&5&DQGDUHVHUYHG+(6,*$LQGLFDWLRQLVQRWLQGLFDWHGIRUDOO

VXSSRUWHGPRGHVXQVXSSRUWHGPRGHVWKH3+<HQWLW\VKDOOPDLQWDLQ3+<&&$LQGLFDWLRQ %86<FKDQQHO

 OLVW SULPLWLYHIRUWKHSUHGLFWHGGXUDWLRQRIWKHWUDQVPLWWHG33'8DVGHILQHGE\5;7,0(LQ(TXDWLRQ 
   XQOHVV LW UHFHLYHV D 3+<&&$5(6(7UHTXHVW SULPLWLYH EHIRUH WKH HQG RI WKH 33'8 IRU LQVWDQFH
 GXULQJVSDWLDOUHXVHRSHUDWLRQDVGHVFULEHGLQ 6SDWLDOUHXVHRSHUDWLRQ ,IWKH+(6,*$LQGLFDWHVDQ 
 XQVXSSRUWHGPRGHWKH3+<VKDOOLVVXHD3+<5;(1'LQGLFDWLRQ 8QVXSSRUWHG5DWH SULPLWLYH


 ,IWKH+(6,*$ILHOGLQGLFDWHVDUHVHUYHG+(6,*$LQGLFDWLRQWKH3+<VKDOOLVVXHWKHHUURUFRQGLWLRQ 
 3+<5;(1'LQGLFDWLRQ )RUPDW9LRODWLRQ  SULPLWLYH DQG PDLQWDLQ 3+<&&$LQGLFDWLRQ %86< FKDQQHO
 OLVW SULPLWLYHIRUWKHSUHGLFWHGGXUDWLRQRIWKHWUDQVPLWWHG33'8GHULYHGIURPWKH/(1*7+ILHOGLQ/6,* 

DVGHILQHGLQ(TXDWLRQ  XQOHVVLWUHFHLYHVD3+<&&$5(6(7UHTXHVWSULPLWLYHEHIRUHWKHHQGRI

 WKH 33'8 IRU LQVWDQFH GXULQJ VSDWLDO UHXVH RSHUDWLRQ DV GHVFULEHG LQ  6SDWLDO UHXVH RSHUDWLRQ  $

 UHVHUYHG+(6,*$LQGLFDWLRQLVGHILQHGDVDQ+(6,*$ILHOGZLWK5HVHUYHGELWVHTXDOWRRUDQ\RWKHU

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 +(6,*$ILHOGELWFRPELQDWLRQVWKDWGRQRWFRUUHVSRQGWRPRGHVRI3+<RSHUDWLRQGHILQHGLQ&ODXVH
 +LJK(IILFLHQF\ +( 3+<VSHFLILFDWLRQ 


 ,IWKH+(6,*$ILHOGLQGLFDWHVDQLQYDOLG&5&WKH3+<VKDOOLVVXHWKHHUURUFRQGLWLRQ3+<5;(1'LQGL
 FDWLRQ )RUPDW9LRODWLRQ SULPLWLYHDQGPDLQWDLQ3+<&&$LQGLFDWLRQ %86<FKDQQHOOLVW SULPLWLYHIRUWKH
 SUHGLFWHG GXUDWLRQ RI WKH WUDQVPLWWHG 33'8 GHULYHG IURP WKH /(1*7+ ILHOG LQ /6,* DV GHILQHG LQ

 (TXDWLRQ  XQOHVVLWUHFHLYHVD3+<&&$5(6(7UHTXHVWSULPLWLYHEHIRUHWKHHQGRIWKH33'8IRU

 LQVWDQFHGXULQJVSDWLDOUHXVHRSHUDWLRQDVGHVFULEHGLQ 6SDWLDOUHXVHRSHUDWLRQ 

 ,IDYDOLGSDULW\ELWRI/6,*DQG5/6,*LVLQGLFDWHGDQGWKH/(1*7+ILHOGYDOXHLQ/6,*DQG5/6,* 
 PHHWWKHFRQGLWLRQWKDWWKHUHPDLQGHULVDIWHU/(1*7+GLYLGHGE\WKH3+<HQWLW\VKRXOGGHWHFWWKHVLJ

 QDOFRQVWHOODWLRQVLQWKHVHFRQGV\PERODIWHU5/6,*,IWKHFRQVWHOODWLRQLV%36.WKH3+<HQWLW\VKDOOFRQ
 WLQXHUHFHLYLQJWKHVHTXHQFHRI+(6,*$+(6,*%+(67)DQG+(/7)IRUDQ+(0833'8VKRZQ 
 LQ)LJXUH 3+<UHFHLYHSURFHGXUHIRUDQ+(0833'8 $IWHU5/6,*WKH3+<HQWLW\VKDOOUHFHLYH
 WZR V\PEROV RI WKH +(6,*$ ILHOG LPPHGLDWHO\ IROORZHG E\ WKH +(6,*% ILHOG 7KH 3+< HQWLW\ VKDOO
 FKHFN&5&RIWKH+(6,*$ILHOG,IWKH&5&FKHFNLVYDOLGWKH3+<HQWLW\VKDOOUHSRUW7;23DQG%66 

 FRORUDQGFRQWLQXHWRUHFHLYH+(6,*%7KH3+<HQWLW\VKDOOUHSRUWWRWKH0$&HQWLW\WKHSUHGLFWHGGXUD
 WLRQRIWKH7;23LQWKH+(6,*$ILHOG

 7KH 3+< HQWLW\ VKDOO FKHFN WKH %66 FRORU LQ WKH +(6,*$ ILHOG ,I WKH %66 FRORU GRHV QRW FRQWDLQ DQ


 LQWHQGHGYDOXHWKH3+<HQWLW\VKDOOLVVXHD3+<5;67$57LQGLFDWLRQ 5;9(&725 WKHQLVVXHD3+<
 5;(1'LQGLFDWLRQ )LOWHUHG 

 $IWHUWKH+(6,*$ILHOGWKH3+<HQWLW\VKDOOUHFHLYHWKH+(6,*%ILHOGIRUWKHQXPEHURIV\PEROVSUH

 GLFWHGIURPWKH+(6,*$ILHOG,IWKH&RPPRQILHOGLVSUHVHQWLQWKH+(6,*%ILHOGWKH3+<HQWLW\VKDOO
 FKHFNWKH&5&RIWKH&RPPRQILHOG,IWKH&5&LQWKH&RPPRQILHOGLVYDOLGRUWKH&RPPRQILHOGLVQRW
 SUHVHQWWKH3+<HQWLW\VKDOOVHDUFKIRULQWHQGHG67$,'LQHDFK8VHU6SHFLILFVXEILHOGZLWKDYDOLG&5&,I
 QR&5&LVYDOLGRUQRLQWHQGHG67$,'LVGHWHFWHGWKH3+<HQWLW\VKDOOLVVXHD3+<5;67$57LQGLFD
 WLRQ 5;9(&725 WKHQLVVXHD3+<5;(1'LQGLFDWLRQ )LOWHUHG ,IDFRPSOHWHDOORFDWLRQRIDQLQWHQGHG 

 67$,'LVGHWHFWHGLQEORFNZLWKYDOLG&5&WKH3+<HQWLW\VKDOOFRQWLQXHUHFHLYLQJ+(67)IRU—VDIWHU
 +(6,*%IRUWKHGHWHFWHGDQGLQWHQGHG67$

 ,IWKH+(6,*$ILHOGLQGLFDWHVDYDOLG&5&DQGDUHVHUYHG+(6,*$LQGLFDWLRQLVQRWLQGLFDWHGIRUDOO


VXSSRUWHGPRGHVXQVXSSRUWHGPRGHVWKH3+<HQWLW\VKDOOPDLQWDLQ3+<&&$LQGLFDWLRQ %86<FKDQQHO
 OLVW SULPLWLYHIRUWKHSUHGLFWHGGXUDWLRQRIWKHWUDQVPLWWHG33'8DVGHILQHGE\5;7,0(LQ(TXDWLRQ 
   XQOHVV LW UHFHLYHV D 3+<&&$5(6(7UHTXHVW SULPLWLYH EHIRUH WKH HQG RI WKH 33'8 IRU LQVWDQFH
 GXULQJVSDWLDOUHXVHRSHUDWLRQDVGHVFULEHGLQ 6SDWLDOUHXVHRSHUDWLRQ 


 ,I WKH +(6,*$ ILHOG LQGLFDWHV DQ XQVXSSRUWHG PRGH WKH 3+< VKDOO LVVXH D 3+<5;(1'LQGLFD
 WLRQ 8QVXSSRUWHG5DWH SULPLWLYH


,IWKH+(6,*$ILHOGLQGLFDWHVDUHVHUYHG+(6,*$LQGLFDWLRQWKH3+<VKDOOLVVXHWKHHUURUFRQGLWLRQ 

 3+<5;(1'LQGLFDWLRQ )RUPDW9LRODWLRQ  SULPLWLYH DQG PDLQWDLQ 3+<&&$LQGLFDWLRQ %86< FKDQQHO
 OLVW SULPLWLYHIRUWKHSUHGLFWHGGXUDWLRQRIWKHWUDQVPLWWHG33'8GHULYHGIURPWKH/(1*7+ILHOGLQ/6,* 
 DVGHILQHGLQ(TXDWLRQ  XQOHVVLWUHFHLYHVD3+<&&$5(6(7UHTXHVWSULPLWLYHEHIRUHWKHHQGRI
 WKH 33'8 IRU LQVWDQFH GXULQJ VSDWLDO UHXVH RSHUDWLRQ DV GHVFULEHG LQ  6SDWLDO UHXVH RSHUDWLRQ  $


UHVHUYHG+(6,*$LQGLFDWLRQLVGHILQHGDVDQ+(6,*$ZLWK5HVHUYHGELWVHTXDOWRRUDQ\RWKHU+(

 6,*$ILHOGELWFRPELQDWLRQVWKDWGRQRWFRUUHVSRQGWRPRGHVRI3+<RSHUDWLRQGHILQHGLQ&ODXVH +LJK 
 (IILFLHQF\ +( 3+<VSHFLILFDWLRQ 


,IWKH+(6,*$ILHOGLQGLFDWHVDQLQYDOLG&5&WKH3+<VKDOOLVVXHWKHHUURUFRQGLWLRQ3+<5;(1'LQGL

 FDWLRQ )RUPDW9LRODWLRQ SULPLWLYHDQGPDLQWDLQ3+<&&$LQGLFDWLRQ %86<FKDQQHOOLVW SULPLWLYHIRUWKH
 SUHGLFWHG GXUDWLRQ RI WKH WUDQVPLWWHG 33'8 GHULYHG IURP WKH /(1*7+ ILHOG LQ /6,* DV GHILQHG LQ


&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 (TXDWLRQ  XQOHVVLWUHFHLYHVD3+<&&$5(6(7UHTXHVWSULPLWLYHEHIRUHWKHHQGRIWKH33'8IRU


 LQVWDQFHGXULQJVSDWLDOUHXVHRSHUDWLRQDVGHVFULEHGLQ 6SDWLDOUHXVHRSHUDWLRQ 


 ,IVLJQDOORVVRFFXUVGXULQJUHFHSWLRQSULRUWRFRPSOHWLRQRIWKH36'8UHFHSWLRQWKHHUURUFRQGLWLRQ3+<
 5;(1'LQGLFDWLRQ &DUULHU/RVW VKDOOEHUHSRUWHGWRWKH0$&$IWHUZDLWLQJIRUWKHHQGRIWKH33'8DV
 GHWHUPLQHGE\(TXDWLRQ  WKH3+<VKDOOVHWWKH3+<&&$LQGLFDWLRQ ,'/( SULPLWLYHDQGUHWXUQWR 
 WKH5;,'/(VWDWH


 5;7,0( PV   T +(B35($0%/(  N SYM T SYM  N MA N +(/7) T +(/7)6<0  T PE  SignalExtension
 


 ZKHUH
 T+(35($0%/(NSYMTPEDQGNMADUHGHILQHGLQ(TXDWLRQ  (TXDWLRQ  (TXDWLRQ 
  DQG(TXDWLRQ  UHVSHFWLYHO\
 SignalExtensionLVGHILQHGLQ7DEOH +(3+<FKDUDFWHULVWLFV 


 5;7,0( PV /(1*7+   ˜     SignalExtension
 
 


 ZKHUH
 /(1*7+LVWKH/(1*7+ILHOGLQ/6,*
 SignalExtensionLVGHILQHGLQ7DEOH +(3+<FKDUDFWHULVWLFV


 ([FHSWLQDQ+(VRXQGLQJ1'3DQG+(7%IHHGEDFN1'3D'DWDILHOGIROORZVWKH+(67)DQG+(/7) 
 ILHOGV 7KH QXPEHU RI V\PEROV LQ WKH 'DWD ILHOG DQG WKH SDFNHW H[WHQVLRQ GXUDWLRQ DUH FRPSXWHG IURP

 (TXDWLRQ  DQG(TXDWLRQ  UHVSHFWLYHO\


7KHUHFHLYHG36'8ELWVDUHDVVHPEOHGLQWRRFWHWVGHFRGHGDQGSUHVHQWWRWKH0$&XVLQJDVHULHVRI3+<

 '$7$LQGLFDWLRQ '$7$  SULPLWLYH H[FKDQJHV $Q\ ILQDO ELWV WKDW FDQQRW EH DVVHPEOHG LQWR D FRPSOHWH
 RFWHWDUHFRQVLGHUHGSDGELWVDQGGLVFDUGHG$IWHUWKHUHFHSWLRQRIWKHILQDOELWRIWKHODVW36'8RFWHWDQG
 SRVVLEOHSDGGLQJDQGWDLOELWVWKH3+<HQWLW\VKDOOFKHFNZKHWKHUSDFNHWH[WHQVLRQDQGRUVLJQDOH[WHQVLRQ 
 LVDSSOLHG,ISDFNHWH[WHQVLRQDQGRUVLJQDOH[WHQVLRQLVDSSOLHGWKH3+<HQWLW\VKDOOZDLWXQWLOWKHSDFNHW

H[WHQVLRQDQGRUVLJQDOH[WHQVLRQH[SLUHVEHIRUHUHWXUQLQJWRWKH5;,'/(VWDWHDVVKRZQLQ)LJXUH

 3+<UHFHLYHVWDWHPDFKLQHLIPLGDPEOHVDUHQRWSUHVHQW 

 &KDQQHOQXPEHULQJ


 *HQHUDO

 7KH67$PD\RSHUDWHLQWKH*+]EDQG*+]EDQGRU*+]EDQG7KHVHWRIYDOLGRSHUDWLQJFKDQQHO
 QXPEHUVE\UHJXODWRU\GRPDLQLVGHILQHGLQ$QQH[(&KDQQHODOORFDWLRQIRUHDFKEDQGLVGHILQHGDVIRO

ORZV

 ² ,Q &KDQQHODOORFDWLRQLQWKH*+]EDQG IRUWKH*+]EDQG

 ² ,Q &KDQQHODOORFDWLRQLQWKH*+]EDQG IRUWKH*+]EDQG
 ² ,Q &KDQQHODOORFDWLRQLQWKH*+]EDQG IRUWKH*+]EDQG


 &KDQQHODOORFDWLRQLQWKH*+]EDQG

 &KDQQHOFHQWHUIUHTXHQFLHVDUHGHILQHGDWHYHU\LQWHJHUPXOWLSOHRI0+]DERYH0+]7KHUHODWLRQ
 VKLSEHWZHHQFHQWHUIUHTXHQF\DQGFKDQQHOQXPEHULVJLYHQLQ(TXDWLRQ  


 &KDQQHOFHQWHUIUHTXHQF\ &KDQQHOVWDUWLQJIUHTXHQF\înch 0+] 

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ZKHUH
 nch «

 &KDQQHOVWDUWLQJIUHTXHQF\LV*+]

 5HJXODWRU\UHTXLUHPHQWV

 :LUHOHVV/$1V :/$1V LPSOHPHQWHGLQDFFRUGDQFHZLWKWKLVVWDQGDUGDUHVXEMHFWWRHTXLSPHQWFHUWLILFD

 WLRQDQGRSHUDWLQJUHTXLUHPHQWVHVWDEOLVKHGE\UHJLRQDODQGQDWLRQDOUHJXODWRU\DGPLQLVWUDWLRQV7KH3+< 
 VSHFLILFDWLRQHVWDEOLVKHVPLQLPXPWHFKQLFDOUHTXLUHPHQWVIRULQWHURSHUDELOLW\EDVHGXSRQHVWDEOLVKHGUHJX
 ODWLRQVDWWKHWLPHWKLVVWDQGDUGZDVLVVXHG7KHVHUHJXODWLRQVDUHVXEMHFWWRUHYLVLRQRUPD\EHVXSHUVHGHG
 5HTXLUHPHQWVWKDWDUHVXEMHFWWRORFDOJHRJUDSKLFUHJXODWLRQVDUHDQQRWDWHGZLWKLQWKH3+<VSHFLILFDWLRQ
 5HJXODWRU\UHTXLUHPHQWVWKDWGRQRWDIIHFWLQWHURSHUDELOLW\DUHQRWDGGUHVVHGLQWKLVVWDQGDUG,PSOHPHQWHUV

 DUH UHIHUUHG WR WKH UHJXODWRU\ VRXUFHV LQ $QQH[ ' IRU IXUWKHU LQIRUPDWLRQ 2SHUDWLRQ LQ FRXQWULHV ZLWKLQ
 GHILQHGUHJXODWRU\GRPDLQVPLJKWEHVXEMHFWWRDGGLWLRQDORUDOWHUQDWLYHQDWLRQDOUHJXODWLRQV


 +(3/0(

 3/0(B6$3VXEOD\HUPDQDJHPHQWSULPLWLYHV


 7DEOH +(3+<0,%DWWULEXWHV OLVWVWKH0,%DWWULEXWHVWKDWPD\EHDFFHVVHGE\WKH3+<HQWLWLHVDQG

 WKHLQWUDOD\HURIKLJKHUOHYHO/0(V7KHVHDWWULEXWHVDUHDFFHVVHGYLDWKH3/0(*(73/0(6(73/0(
 5(6(7DQG3/0(&+$5$&7(5,67,&6SULPLWLYHVGHILQHGLQ 3/0(6$3LQWHUIDFH 


 3+<0,%

 +(3+<0,%DWWULEXWHVDUHGHILQHGLQ$QQH[&ZLWKVSHFLILFYDOXHVGHILQHGLQ7DEOH +(3+<0,% 
 DWWULEXWHV  7KH ³2SHUDWLRQDO VHPDQWLFV´ FROXPQ LQ 7DEOH +( 3+< 0,% DWWULEXWHV  FRQWDLQV WZR
 W\SHVVWDWLFDQGG\QDPLF

 ² 6WDWLF0,%DWWULEXWHVDUHIL[HGDQGFDQQRWEHPRGLILHGIRUDJLYHQ3+<LPSOHPHQWDWLRQ
 ² '\QDPLF0,%DWWULEXWHVDUHLQWHUSUHWHGDFFRUGLQJWRWKH0$;$&&(66ILHOGRIWKH0,%DWWULEXWH

 ,I0$;$&&(66LVHTXDOWRUHDGRQO\WKH0,%DWWULEXWHYDOXHPD\EHXSGDWHGE\WKH3/0(DQG 



























&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 UHDGIURPWKH0,%DWWULEXWHE\PDQDJHPHQWHQWLWLHVLI0$;$&&(66LVHTXDOWRUHDGZULWHWKH
 0,%DWWULEXWHPD\EHUHDGDQGZULWWHQE\PDQDJHPHQWHQWLWLHV



 7DEOH²+(3+<0,%DWWULEXWHV


 'HIDXOW 2SHUDWLRQDO
0DQDJHGREMHFW
 YDOXHUDQJH VHPDQWLFV

 GRW3+<2SHUDWLRQ7DEOH
 GRW3+<7\SH KH 6WDWLF

 GRW3+<7[3RZHU7DEOH

 GRW1XPEHU6XSSRUWHG3RZHU/HYHOV,PSOHPHQWHG ,PSOHPHQWDWLRQ 6WDWLF
 GHSHQGHQW

 GRW7[3RZHU/HYHO ,PSOHPHQWDWLRQ 6WDWLF
 GHSHQGHQW

 GRW7[3RZHU/HYHO ,PSOHPHQWDWLRQ 6WDWLF
 GHSHQGHQW
 GRW7[3RZHU/HYHO ,PSOHPHQWDWLRQ 6WDWLF
 GHSHQGHQW

 GRW7[3RZHU/HYHO ,PSOHPHQWDWLRQ 6WDWLF
 GHSHQGHQW

 GRW7[3RZHU/HYHO ,PSOHPHQWDWLRQ 6WDWLF
 GHSHQGHQW

 GRW7[3RZHU/HYHO ,PSOHPHQWDWLRQ 6WDWLF
 GHSHQGHQW

 GRW7[3RZHU/HYHO ,PSOHPHQWDWLRQ 6WDWLF
 GHSHQGHQW
 GRW7[3RZHU/HYHO ,PSOHPHQWDWLRQ 6WDWLF
 GHSHQGHQW

 GRW&XUUHQW7[3RZHU/HYHO ,PSOHPHQWDWLRQ 6WDWLF
 GHSHQGHQW

 GRW7[3RZHU/HYHO([WHQGHG ,PSOHPHQWDWLRQ 6WDWLF
 GHSHQGHQW

 GRW&XUUHQW7[3RZHU/HYHO([WHQGHG ,PSOHPHQWDWLRQ 6WDWLF
 GHSHQGHQW

 GRW3+<2)'07DEOH
 GRW7ZHQW\0+]2SHUDWLRQ,PSOHPHQWHG IDOVH%RROHDQ 6WDWLF

 GRW3+<+77DEOH

 GRW&XUUHQW3ULPDU\&KDQQHO ,PSOHPHQWDWLRQ '\QDPLF
 GHSHQGHQW

 GRW&XUUHQW6HFRQGDU\&KDQQHO ,PSOHPHQWDWLRQ '\QDPLF
 GHSHQGHQW

 GRW)RUW\0+]2SHUDWLRQ,PSOHPHQWHG IDOVH%RROHDQ 6WDWLF
 GRW)RUW\0+]2SHUDWLRQ$FWLYDWHG IDOVH%RROHDQ '\QDPLF



 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²+(3+<0,%DWWULEXWHV(continued)


 'HIDXOW 2SHUDWLRQDO
0DQDJHGREMHFW
 YDOXHUDQJH VHPDQWLFV

 GRW1XPEHU2I6SDWLDO6WUHDPV,PSOHPHQWHG ,PSOHPHQWDWLRQ 6WDWLF
 GHSHQGHQW

 GRW1XPEHU2I6SDWLDO6WUHDPV$FWLYDWHG ,PSOHPHQWDWLRQ '\QDPLF
 GHSHQGHQW

 GRW+7*UHHQILHOG2SWLRQ,PSOHPHQWHG IDOVH%RROHDQ 6WDWLF
 GRW+7*UHHQILHOG2SWLRQ$FWLYDWHG IDOVH%RROHDQ '\QDPLF

 GRW6KRUW*,2SWLRQ,Q7ZHQW\,PSOHPHQWHG IDOVH%RROHDQ 6WDWLF

 GRW6KRUW*,2SWLRQ,Q7ZHQW\$FWLYDWHG IDOVH%RROHDQ '\QDPLF

 GRW6KRUW*,2SWLRQ,Q)RUW\,PSOHPHQWHG IDOVH%RROHDQ 6WDWLF

 GRW6KRUW*,2SWLRQ,Q)RUW\$FWLYDWHG IDOVH%RROHDQ '\QDPLF
 GRW/'3&&RGLQJ2SWLRQ,PSOHPHQWHG IDOVH%RROHDQ 6WDWLF

 GRW/'3&&RGLQJ2SWLRQ$FWLYDWHG IDOVH%RROHDQ '\QDPLF

 GRW7[67%&2SWLRQ,PSOHPHQWHG IDOVH%RROHDQ 6WDWLF

 GRW7[67%&2SWLRQ$FWLYDWHG IDOVH%RROHDQ '\QDPLF

 GRW5[67%&2SWLRQ,PSOHPHQWHG IDOVH%RROHDQ 6WDWLF
 GRW5[67%&2SWLRQ$FWLYDWHG IDOVH%RROHDQ '\QDPLF

 GRW%HDP)RUPLQJ2SWLRQ,PSOHPHQWHG IDOVH%RROHDQ 6WDWLF

 GRW%HDP)RUPLQJ2SWLRQ$FWLYDWHG IDOVH%RROHDQ '\QDPLF

 GRW3+<9+77DEOH

 GRW&XUUHQW&KDQQHO:LGWK ,PSOHPHQWDWLRQ '\QDPLF
 GHSHQGHQW
 GRW&XUUHQW&KDQQHO&HQWHU)UHTXHQF\,QGH[ ,PSOHPHQWDWLRQ '\QDPLF
 GHSHQGHQW

 GRW&XUUHQW&KDQQHO&HQWHU)UHTXHQF\,QGH[ ,PSOHPHQWDWLRQ '\QDPLF
 GHSHQGHQW

 GRW9+7&KDQQHO:LGWK2SWLRQ,PSOHPHQWHG ,PSOHPHQWDWLRQ 6WDWLF
 GHSHQGHQW

 GRW(LJKW\0+]2SHUDWLRQ,PSOHPHQWHG IDOVH%RROHDQ 6WDWLF

 GRW(LJKW\0+]2SHUDWLRQ$FWLYDWHG IDOVH%RROHDQ '\QDPLF
 GRW9+76KRUW*,2SWLRQ,Q,PSOHPHQWHG IDOVH%RROHDQ 6WDWLF

 GRW9+76KRUW*,2SWLRQ,Q$FWLYDWHG IDOVH%RROHDQ '\QDPLF

 GRW9+76KRUW*,2SWLRQ,QDQGS,PSOHPHQWHG IDOVH%RROHDQ 6WDWLF

 GRW9+76KRUW*,2SWLRQ,QDQGS$FWLYDWHG IDOVH%RROHDQ '\QDPLF

 GRW9+7/'3&&RGLQJ2SWLRQ,PSOHPHQWHG IDOVH%RROHDQ 6WDWLF
 GRW9+7/'3&&RGLQJ2SWLRQ$FWLYDWHG IDOVH%RROHDQ '\QDPLF



&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²+(3+<0,%DWWULEXWHV(continued)


 'HIDXOW 2SHUDWLRQDO
0DQDJHGREMHFW
 YDOXHUDQJH VHPDQWLFV

 GRW9+77[67%&2SWLRQ,PSOHPHQWHG IDOVH%RROHDQ 6WDWLF

 GRW9+77[67%&2SWLRQ$FWLYDWHG IDOVH%RROHDQ '\QDPLF

 GRW9+75[67%&2SWLRQ,PSOHPHQWHG IDOVH%RROHDQ 6WDWLF
 GRW9+75[67%&2SWLRQ$FWLYDWHG IDOVH%RROHDQ '\QDPLF

 GRW9+70D[17[&KDLQV,PSOHPHQWHG ,PSOHPHQWDWLRQ 6WDWLF
 GHSHQGHQW

 GRW9+70D[17[&KDLQV$FWLYDWHG ,PSOHPHQWDWLRQ '\QDPLF
 GHSHQGHQW

 GRW7UDQVPLW%HDPIRUPLQJ&RQILJ7DEOH

 GRW5HFHLYH6WDJJHU6RXQGLQJ2SWLRQ,PSOHPHQWHG IDOVH%RROHDQ 6WDWLF
 GRW7UDQVPLW6WDJJHU6RXQGLQJ2SWLRQ,PSOHPHQWHG IDOVH%RROHDQ 6WDWLF

 GRW5HFHLYH1'32SWLRQ,PSOHPHQWHG IDOVH%RROHDQ 6WDWLF

 GRW7UDQVPLW1'32SWLRQ,PSOHPHQWHG IDOVH%RROHDQ 6WDWLF

 GRW,PSOLFLW7UDQVPLW%HDPIRUPLQJ2SWLRQ,PSOHPHQWHG IDOVH%RROHDQ 6WDWLF

 GRW&DOLEUDWLRQ2SWLRQ,PSOHPHQWHG ,PSOHPHQWDWLRQ 6WDWLF
 GHSHQGHQW
 GRW([SOLFLW&6,7UDQVPLW%HDPIRUPLQJ2SWLRQ,PSOHPHQWHG IDOVH%RROHDQ 6WDWLF

 GRW([SOLFLW1RQ&RPSUHVVHG%HDPIRUPLQJ0DWUL[2SWLRQ,PSOH IDOVH%RROHDQ 6WDWLF
 PHQWHG

 GRW([SOLFLW7UDQVPLW%HDPIRUPLQJ&6,)HHGEDFN2SWLRQ,PSOH ,PSOHPHQWDWLRQ 6WDWLF
 PHQWHG GHSHQGHQW

 GRW([SOLFLW1RQFRPSUHVVHG%HDPIRUPLQJ)HHGEDFN2SWLRQ,P ,PSOHPHQWDWLRQ 6WDWLF
 SOHPHQWHG GHSHQGHQW

 GRW([SOLFLW&RPSUHVVHG%HDPIRUPLQJ)HHGEDFN2SWLRQ,PSOH ,PSOHPHQWDWLRQ 6WDWLF
 PHQWHG GHSHQGHQW
 GRW1XPEHU%HDP)RUPLQJ&6,6XSSRUW$QWHQQD ,PSOHPHQWDWLRQ 6WDWLF
 GHSHQGHQW

 GRW1XPEHU1RQ&RPSUHVVHG%HDPIRUPLQJ0DWUL[6XSSRUW$QW ,PSOHPHQWDWLRQ 6WDWLF
 HQQD GHSHQGHQW

 GRW1XPEHU&RPSUHVVHG%HDPIRUPLQJ0DWUL[6XSSRUW$QWHQQD ,PSOHPHQWDWLRQ 6WDWLF
 GHSHQGHQW

 GRW9+77UDQVPLW%HDPIRUPLQJ&RQILJ7DEOH

 GRW9+768%HDPIRUPHH2SWLRQ,PSOHPHQWHG IDOVH%RROHDQ 6WDWLF
 GRW9+768%HDPIRUPHU2SWLRQ,PSOHPHQWHG IDOVH%RROHDQ 6WDWLF

 GRW9+708%HDPIRUPHH2SWLRQ,PSOHPHQWHG IDOVH%RROHDQ 6WDWLF

 GRW9+708%HDPIRUPHU2SWLRQ,PSOHPHQWHG IDOVH%RROHDQ 6WDWLF




 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²+(3+<0,%DWWULEXWHV(continued)


 'HIDXOW 2SHUDWLRQDO
0DQDJHGREMHFW
 YDOXHUDQJH VHPDQWLFV

 GRW9+71XPEHU6RXQGLQJ'LPHQVLRQV ,PSOHPHQWDWLRQ 6WDWLF
 GHSHQGHQW

 GRW9+7%HDPIRUPHH17[6XSSRUW ,PSOHPHQWDWLRQ 6WDWLF
 GHSHQGHQW

 GRW3+<+(7DEOH
 GRW+(&XUUHQW&KDQQHO:LGWK6HW ,PSOHPHQWDWLRQ '\QDPLF
 GHSHQGHQW

 GRW+(3XQFWXUHG3UHDPEOH5[,PSOHPHQWHG ,PSOHPHQWDWLRQ 6WDWLF
 GHSHQGHQW

 GRW+('HYLFH&ODVV ,PSOHPHQWDWLRQ 6WDWLF
 GHSHQGHQW

 GRW+(/'3&&RGLQJ,Q3D\ORDG,PSOHPHQWHG IDOVH%RROHDQ 6WDWLF

 GRW+(6833'8ZLWK[+(/7)DQGSRLQW*,OPSOHPHQWHG IDOVH%RROHDQ 6WDWLF
 GRW+(6833'8DQG+(0833'8ZLWK[+(/7)DQGSRLQW* IDOVH%RROHDQ 6WDWLF
 ,OPSOHPHQWHG

 GRW+((56833'8ZLWK[+(/7)DQGSRLQW*,,PSOHPHQWHG IDOVH%RROHDQ 6WDWLF

 GRW+((56833'8ZLWK[+(/7)DQGSRLQW*,,PSOHPHQWHG IDOVH%RROHDQ 6WDWLF

 GRW+(0LGDPEOH5[0D[1676 IDOVH%RROHDQ '\QDPLF

 GRW+(1'3ZLWK[+(/7)DQGSRLQW*,,PSOHPHQWHG IDOVH%RROHDQ 6WDWLF
 GRW+(67%&7[/HVV7KDQ2U(TXDO7R,PSOHPHQWHG IDOVH%RROHDQ 6WDWLF

 GRW+(67%&5[/HVV7KDQ2U(TXDO7R,PSOHPHQWHG IDOVH%RROHDQ 6WDWLF

 GRW+(67%&7[*UHDWHU7KDQ,PSOHPHQWHG IDOVH%RROHDQ 6WDWLF

 GRW+(67%&5[*UHDWHU7KDQ,PSOHPHQWHG IDOVH%RROHDQ 6WDWLF

 GRW+('RSSOHU7[,PSOHPHQWHG IDOVH%RROHDQ 6WDWLF
 GRW+('RSSOHU5[,PSOHPHQWHG IDOVH%RROHDQ 6WDWLF

 GRW+('&0,PSOHPHQWHG ,PSOHPHQWDWLRQ 6WDWLF
 GHSHQGHQW

 GRW+()XOO%:8/080,02,PSOHPHQWHG IDOVH%RROHDQ 6WDWLF

 GRW+(3DUWLDO%:8/080,02,PSOHPHQWHG IDOVH%RROHDQ 6WDWLF

 GRW+(3DUWLDO%:'/080,02,PSOHPHQWHG IDOVH%RROHDQ 6WDWLF
 GRW+(8/083D\ORDG,PSOHPHQWHG IDOVH%RROHDQ 6WDWLF

 GRW+(365EDVHG656XSSRUW,PSOHPHQWHG IDOVH%RROHDQ 6WDWLF

 GRW+(3RZHU%RRVW)DFWRU,PSOHPHQWHG IDOVH%RROHDQ 6WDWLF

 GRW+(3DUWLDO%:(5683D\ORDG,PSOHPHQWHG IDOVH%RROHDQ 6WDWLF

 GRW+(7UDQVPLW%HDPIRUPLQJ&RQILJ7DEOH
 GRW+(68%HDPIRUPHU2SWLRQ,PSOHPHQWHG IDOVH%RROHDQ 6WDWLF


&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²+(3+<0,%DWWULEXWHV(continued)


 'HIDXOW 2SHUDWLRQDO
0DQDJHGREMHFW
 YDOXHUDQJH VHPDQWLFV

 GRW+(68%HDPIRUPHH2SWLRQ,PSOHPHQWHG IDOVH%RROHDQ 6WDWLF

 GRW+(08%HDPIRUPHU2SWLRQ,PSOHPHQWHG IDOVH%RROHDQ 6WDWLF

 GRW+(%HDPIRUPHH6766XSSRUW/HVV7KDQ2U(TXDO7R ,PSOHPHQWDWLRQ 6WDWLF
 GHSHQGHQW
 GRW+(%HDPIRUPHH6766XSSRUW*UHDWHU7KDQ ,PSOHPHQWDWLRQ 6WDWLF
 GHSHQGHQW

 GRW+(1XPEHU6RXQGLQJ'LPHQVLRQV/HVV7KDQ2U(TXDO7R ,PSOHPHQWDWLRQ 6WDWLF
 GHSHQGHQW

 GRW+(1XPEHU6RXQGLQJ'LPHQVLRQV*UHDWHU7KDQ ,PSOHPHQWDWLRQ 6WDWLF
 GHSHQGHQW

 GRW+(1*68)HHGEDFN6XSSRUW IDOVH%RROHDQ 6WDWLF

 GRW+(1*08)HHGEDFN6XSSRUW IDOVH%RROHDQ 6WDWLF
 GRW+(&RGHERRN6L]H3KL3VL68)HHGEDFN6XSSRUW IDOVH%RROHDQ 6WDWLF

 GRW+(&RGHERRN6L]H3KL3VL08)HHGEDFN6XSSRUW IDOVH%RROHDQ 6WDWLF

 GRW+(7ULJJHUHG68%HDPIRUPLQJ)HHGEDFN,PSOHPHQWHG IDOVH%RROHDQ 6WDWLF

 GRW+(7ULJJHUHG08%HDPIRUPLQJ)HHGEDFN,PSOHPHQWHG IDOVH%RROHDQ 6WDWLF

 GRW+(7ULJJHUHG&4,)HHGEDFN6XSSRUW,PSOHPHQWHG IDOVH%RROHDQ 6WDWLF


 7;7,0(DQG36'8B/(1*7+FDOFXODWLRQ


 7KHYDOXHRIWKH7;7,0(SDUDPHWHUUHWXUQHGE\WKH3/0(7;7,0(FRQILUPSULPLWLYHVKDOOEHFDOFXODWHG

 IRUDQ+(33'8XVLQJ(TXDWLRQ  


 7;7,0(   T +(35($0%/(  N SYM T SYM  N MA N +(/7) T +(/7)6<0  T PE  SignalExtension
 


 ZKHUH

 T +(35($0%/( LVGHILQHGDVLQ(TXDWLRQ  DQGSignalExtensionWDNHVWKHYDOXHRID6LJQDO([WHQVLRQ

 DVGHILQHGLQ7DEOH +(3+<FKDUDFWHULVWLFV 


 )RUDQ+(VRXQGLQJ1'3DQG+(7%IHHGEDFN1'3WKHUHLVQR'DWDILHOGDQGNSYM 


 )RUDQ+(6833'8DQG+((56833'8XVLQJ%&&HQFRGLQJWKHWRWDOQXPEHURIGDWD2)'0V\PEROV
 NSYMLVJLYHQE\(TXDWLRQ  


 )RUDQ+(6833'8DQG+((56833'8XVLQJ/'3&HQFRGLQJWKHWRWDOQXPEHURIGDWD2)'0V\P
 EROVNSYMLVJLYHQLQ /'3&FRGLQJ 


 )RUDQ+(0833'8 LQFOXGLQJERWK080,02DQG2)'0$ WKHWRWDOQXPEHURIGDWD2)'0V\PEROV
 NSYMLVJLYHQLQ (QFRGLQJSURFHVVIRUDQ+(0833'8 

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 )RUDQ+(7%33'8WKHWRWDOQXPEHURIGDWD2)'0V\PEROVNSYMLVJLYHQLQ (QFRGLQJ
 SURFHVVIRUDQ+(7%33'8 


 TPELVJLYHQLQ 3DFNHWH[WHQVLRQ 

 NMA LV WKH QXPEHU RI PLGDPEOHV ,W LV JLYHQ E\ (TXDWLRQ   IRU DQ +( 7% 33'8 DQG E\
 (TXDWLRQ  IRUDQ+(6833'8+((56833'8DQG+(0833'8LIWKH7;9(&725YDOXH


'233/(5LVDQGLVRWKHUZLVH

 NHE-LTFDQGTHE-LTFDUHJLYHQLQ 7LPLQJUHODWHGSDUDPHWHUV 

 7KHYDOXHRIWKH36'8B/(1*7+SDUDPHWHUUHWXUQHGLQWKH3/0(7;7,0(FRQILUPSULPLWLYHIRUDQ+(


 6833'8+((56833'8DQG+(7%33'8LVFDOFXODWHGXVLQJ(TXDWLRQ  

 N SYM init ± m STBC N DBPS  m STBC N DBPS last init ± N service ± N tail
 36'8B/(1*7+  
 
 

 ZKHUH
 NSYM,initLVJLYHQE\(TXDWLRQ  IRU%&&HQFRGLQJE\(TXDWLRQ  IRU/'3&HQFRGLQJIRUDQ 


+( 68 33'8 DQG +( (5 68 33'8 DQG LQ  (QFRGLQJ SURFHVV IRU DQ +( 7%

 33'8 IRUDQ+(7%33'8
 mSTBCLVZKHQ67%&LVXVHGDQGRWKHUZLVH
 NDBPSLVJLYHQLQ 3DUDPHWHUVIRU+(0&6V

 NDBPS,last,initLVJLYHQE\(TXDWLRQ 

 7KHYDOXHRIWKH36'8B/(1*7+SDUDPHWHUIRUXVHUuUHWXUQHGLQWKH3/0(7;7,0(FRQILUPSULPLWLYH

 IRUDQ+(0833'8LVFDOFXODWHGXVLQJ(TXDWLRQ  DQG(TXDWLRQ  IRUXVHUVXVLQJ%&&DQG

 /'3&UHVSHFWLYHO\

 N SYM ± m STBC N DBPS u  m STBC N DBPS last u ± N service ± N tail
 36'8B/(1*7+ u  
 
 

 N SYM init ± m STBC N DBPS u  m STBC N DBPS last init u ± N service
 36'8B/(1*7+ u  
 
 

 ZKHUH
 NSYM,initLVJLYHQE\(TXDWLRQ 

 NDBPS,uLVJLYHQLQ7DEOH )UHTXHQWO\XVHGSDUDPHWHUV
 NDBPS,last,uLVJLYHQE\(TXDWLRQ 

NDBPS,last,init,uLVJLYHQE\(TXDWLRQ 


 )RUDQ+(6833'8+((56833'8DQG+(7%33'8WKHYDOXHRIWKH36'8B/(1*7+SDUDPHWHU
 UHWXUQHGLQWKH5;9(&725LVFDOFXODWHGXVLQJ(TXDWLRQ  


 N SYM RX ± m STBC N DBPS  m STBC N DBPS last RX ± N service ± N tail
36'8B/(1*7+  
 
 


 ZKHUH
 NSYM,RXLVJLYHQE\(TXDWLRQ 
 mSTBC LVLIWKH67%&ILHOGLQ+(6,*$LVDQGLIWKH67%&ILHOGLV

 NDBPS,last,RXLVJLYHQE\(TXDWLRQ 

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 NDBPS LVGHILQHGLQ7DEOH )UHTXHQWO\XVHGSDUDPHWHUV



NserviceDQGNtailDUHGHILQHGLQ7DEOH 7LPLQJUHODWHGFRQVWDQWV



 ­ LIWKH&RGLQJILHOGLV
 °
° N SYM ± m STBC WKH/'3&([WUD6\PERO6HJPHQWILHOGLVDQG
 N SYM RX ® 
 ° WKH3UH)(&3DGGLQJ)DFWRUILHOGLVLQ+(6,*$
 ° N  RWKHZLVH
 ¯ SYM

 ZKHUH

 NSYMLVJLYHQE\(TXDWLRQ 


 ­ N DBPS LIa RX 

N DBPS last RX ® 
 ¯ a RX ˜ N SD short ˜ N SS ˜ N BPSCS ˜ R RWKHUZLVH

 ZKHUH
 aRX LVJLYHQE\(TXDWLRQ 

 NSD,shortLVGHILQHGLQ7DEOH 16'VKRUWYDOXHV
 NSSNBPSCSRDUHGHILQHGLQ7DEOH )UHTXHQWO\XVHGSDUDPHWHUV


 LIa WKH&RGLQJILHOGLVDQG
­ 
 ° WKH/'3&([WUD6\PERO6HJPHQWILHOGLVLQ+(6,*$
 °
 a RX ® LIa!WKH&RGLQJILHOGLVDQG 
 ° a ± 
° WKH/'3&([WUD6\PERO6HJPHQWILHOGLVLQ+(6,*$

 ¯ a RWKHUZLVH

 ZKHUH
 a LVWKHSUH)(&SDGGLQJIDFWRU UDQJLQJIURPWR LQGLFDWHGLQ+(6,*$


 )RUDQ+(0833'8WKHYDOXHRIWKH5;9(&725SDUDPHWHU36'8B/(1*7+UHWXUQHGIRUXVHUuLVFDO
 FXODWHGXVLQJ(TXDWLRQ  


 N SYM RX u ± m STBC N DBPS u  m STBC N DBPS last RX u ± N service ± N tail u
36'8B/(1*7+ u  

 
 

 ZKHUH

 NSYM,RX,uLVJLYHQE\(TXDWLRQ 
 mSTBC LVLIWKH67%&ILHOGLQ+(6,*$LVDQGLIWKH67%&ILHOGLV
 NDBPS,last,RX,uLVJLYHQE\(TXDWLRQ 

 NDBPS,uLVGHILQHGLQ7DEOH )UHTXHQWO\XVHGSDUDPHWHUV
 NserviceDQGNtailDUHGHILQHGLQ7DEOH 7LPLQJUHODWHGFRQVWDQWV


 ­

LIa WKH&RGLQJILHOGLVLQWKH+(6,*%8VHUILHOG
°
 ° N SYM ± m STBC FRUUHVSRQGLQJWRXVHUX
 N SYM RX u ® 
 ° DQGWKH/'3&([WUD6\PERO6HJPHQWILHOGLVLQ+(6,*$
 ° N  RWKHZLVH
 ¯ SYM

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ZKHUH
 NSYM LVJLYHQE\(TXDWLRQ 



­ N DBPS u LIa RX u 
 N DBPS last RX u ® 
 ¯ a RX u ˜ N SD short u ˜ N SS u ˜ N BPSCS u ˜ R u RWKHUZLVH


 ZKHUH
 aRX,u LVJLYHQE\(TXDWLRQ 
 NSD,short,uLVNSD,shortGHILQHGLQ7DEOH 16'VKRUWYDOXHV IRUXVHUu

 NSS,uNBPSCS,uRuDUHGHILQHGLQ7DEOH )UHTXHQWO\XVHGSDUDPHWHUV


 ­ LIa WKH&RGLQJILHOGLVLQWKH+(6,*%8VHUILHOG
 °  FRUUHVSRQGLQJWRWKHXVHUu
 °
° DQGWKH/'3&([WUD6\PERO6HJPHQWILHOGLVLQ+(6,*$
 °
 a RX u ® LIa!WKH&RGLQJILHOGLVLQWKH+(6,*%8VHUILHOG 
 ° a ± 
° FRUUHVSRQGLQJWRWKHXVHUu

 ° DQGWKH/'3&([WUD6\PERO6HJPHQWILHOGLVLQ+(6,*$
 °
¯ a RWKHUZLVH


 ZKHUH
 a LVWKHSUH)(&SDGGLQJIDFWRU UDQJLQJIURPWR LQGLFDWHGLQ+(6,*$


 7KHYDOXHRIWKH36'8B/(1*7+SDUDPHWHUUHWXUQHGLQWKH3/0(7;7,0(FRQILUPSULPLWLYHIRUDQ+(

 VRXQGLQJ1'3LV

































&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 +(3+<


7KHVWDWLF+( 3+<FKDUDFWHULVWLFVSURYLGHG WKURXJKWKH3/0(&+$5$&7(5,67,&6VHUYLFH SULPLWLYH

 VKDOOEHDVVKRZQLQ7DEOH +73+<FKDUDFWHULVWLFV XQOHVVRWKHUZLVHOLVWHGLQ7DEOH +(3+<

 FKDUDFWHULVWLFV 7KHGHILQLWLRQVIRUWKHVHFKDUDFWHULVWLFVDUHJLYHQLQ 3/0(6$3LQWHUIDFH 


 7DEOH²+(3+<FKDUDFWHULVWLFV


 &KDUDFWHULVWLF 9DOXH

 D7[3+<'HOD\ ,PSOHPHQWDWLRQGHSHQGHQW

 D5[3+<'HOD\ ,PSOHPHQWDWLRQGHSHQGHQW

 D6LJQDO([WHQVLRQ —VLIRSHUDWLQJLQWKH*+]RU*+]EDQG
 —VLIRSHUDWLQJLQWKH*+]EDQG

 D&&$0LG7LPH —V
 D33'80D[7LPH PV

 D36'80D[/HQJWK RFWHWV VHH127(

 D5[3+<6WDUW'HOD\ —VIRU+(68DQG+(7%33'8V
 —VIRU+((56833'8V
 îNHE-SIG-B—VIRU+(0833'8VZKHUHNHE-SIG-BLVWKHQXP
 EHURI2)'0V\PEROVLQWKH+(6,*%ILHOG


 127(²7KLVLVWKHPD[LPXPOHQJWKLQRFWHWVIRUDQ+(6833'8ZLWKDEDQGZLGWKRI0+]RU
 0+]XVLQJî58+(0&6VSDWLDOVWUHDPV—V*,GXUDWLRQ[+(/7)/'3&FRG
 LQJ—VGXUDWLRQRIWKH3(ILHOGSUH)(&SDGGLQJIDFWRUYDOXHRIDQGOLPLWHGE\SRVVLEOH'DWD
 ILHOG2)'0V\PEROVLQD33'80D[7LPH7KLVLVWKHPD[LPXP36'8OHQJWKDQ+(3+<FRXOGVXSSRUW
 DVVXPLQJQRUHVWULFWLRQVLQ0$&6HH 3URFHGXUHVFRPPRQWRWKH'&)DQG('&$) DQG
 *HQHUDO IRUDGGLWLRQDOUHVWULFWLRQVRQWKHPD[LPXPQXPEHURIRFWHWVWKH0$&FRXOGVXSSRUW



 3DUDPHWHUVIRU+(0&6V

 7KHUDWHGHSHQGHQWSDUDPHWHUVIRUWRQH58WRQH58WRQH58WRQH58DQGQRQ2)'0$ 
 0+]WRQH58DQGQRQ2)'0$0+]WRQH58DQGQRQ2)'0$0+]îWRQH58 

 DQGQRQ2)'0$0+]DQG0+]NSS «DUHSURYLGHGLQWKH +(0&6VIRU
 WRQH58 WKURXJK +(0&6VIRUîWRQH58 6XSSRUWIRU+(0&6DQGLVRSWLRQDO
 LQDOOFDVHV

 +(0&6VDUHGHILQHGIRUERWK68WUDQVPLVVLRQDQGIRUXVHUuRIWKHrWK58RIDQ08WUDQVPLVVLRQ,QWKH

 FDVHRI+(0&6VIRU08WUDQVPLVVLRQVWKHSDUDPHWHUVNSSRNBPSCSNCBPSDQGNDBPSDUHUHSODFHG 
 ZLWKNSS,uRuNBPSCS,uNCBPS,uDQGNDBPS,uUHVSHFWLYHO\

 NDBPSVKDOOEHDQLQWHJHUDQGLVFRPSXWHGDVIROORZV N DBPS N CBPS e R ZKHUH5LVWKHFRGLQJUDWH











 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 +(0&6VIRUWRQH58


7KHUDWHGHSHQGHQWSDUDPHWHUVIRUWKHWRQH58DUHSURYLGHGLQ7DEOH +(0&6VIRUWRQH58

 166  WKURXJK7DEOH +(0&6VIRUWRQH58166  


 7DEOH²+(0&6VIRUWRQH58NSS 


 'DWDUDWH 0EV
 +(0&6 0RGXOD
 '&0 5 NBPSCS NSD NCBPS NDBPS
,QGH[ WLRQ —V —V —V
 *, *, *,

        
  %36. 
        

        
 
  436.        
  1$       

        
 
        
 4$0 
        
 
        
      

  4$0       

      

  1$      
 4$0  
      
      
 4$0  
      























&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²+(0&6VIRUWRQH58NSS 


 'DWDUDWH 0EV
 +(0&6 0RGXOD
 '&0 5 NBPSCS NSD NCBPS NDBPS
,QGH[ WLRQ —V —V —V
 *, *, *,

        
  %36. 
        

        
 
  436.        
  1$       

        
 
        
 4$0 
        
 
        
      

  4$0       

      

  1$      
 4$0  
      
      
 4$0  
      






























 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²+(0&6VIRUWRQH58NSS 


 'DWDUDWH 0EV
 +(0&6 0RGXOD
 '&0 5 NBPSCS NSD NCBPS NDBPS
,QGH[ WLRQ —V —V —V
 *, *, *,

  %36.       

      
 436.  
      

      
4$0  
      

      
 1$ 
  4$0       

      

      
4$0  
      

      
 4$0  
      



 7DEOH²+(0&6VIRUWRQH58NSS 


 'DWDUDWH 0EV
 +(0&6 0RGXOD
'&0 5 NBPSCS NSD NCBPS NDBPS
 ,QGH[ WLRQ —V —V —V
 *, *, *,

  %36.       

      
436.  
      

      
 4$0  
      

      
 1$ 
  4$0       
      

      
 4$0  
      

      
 4$0  
      





&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²+(0&6VIRUWRQH58NSS 


 'DWDUDWH 0EV
 +(0&6 0RGXOD
 '&0 5 NBPSCS NSD NCBPS NDBPS
,QGH[ WLRQ —V —V —V
 *, *, *,

  %36.       

      
 436.  
      

      
4$0  
      

      
 1$ 
  4$0       

      

      
4$0  
      

      
 4$0  
      



 7DEOH²+(0&6VIRUWRQH58NSS 


 'DWDUDWH 0EV
 +(0&6 0RGXOD
'&0 5 NBPSCS NSD NCBPS NDBPS
 ,QGH[ WLRQ —V —V —V
 *, *, *,

  %36.       

      
436.  
      

      
 4$0  
      

      
 1$ 
  4$0       
      

      
 4$0  
      

      
 4$0  
      





 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²+(0&6VIRUWRQH58NSS 


 'DWDUDWH 0EV
 +(0&6 0RGXOD
 '&0 5 NBPSCS NSD NCBPS NDBPS
,QGH[ WLRQ —V —V —V
 *, *, *,

  %36.       

      
 436.  
      

      
4$0  
      

      
 1$ 
  4$0       

      

      
4$0  
      

      
 4$0  
      



 7DEOH²+(0&6VIRUWRQH58NSS 


 'DWDUDWH 0EV
 +(0&6 0RGXOD
'&0 5 NBPSCS NSD NCBPS NDBPS
 ,QGH[ WLRQ —V —V —V
 *, *, *,

  %36.       

      
436.  
      

      
 4$0  
      

      
 1$ 
  4$0       
      

      
 4$0  
      

      
 4$0  
      





&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 +(0&6VIRUWRQH58


 7KHUDWHGHSHQGHQWSDUDPHWHUVIRUWKHWRQH58DUHSURYLGHGLQ7DEOH +(0&6VIRUWRQH58
 166  WKURXJK7DEOH +(0&6VIRUWRQH58166  


 7DEOH²+(0&6VIRUWRQH58NSS 


 'DWDUDWH 0EV
 +(0&6 0RGXOD
 '&0 5 NBPSCS NSD NCBPS NDBPS
,QGH[ WLRQ —V —V —V
 *, *, *,

        
  %36. 
        

        
 
  436.        
  1$       

        
 
        
 4$0 
        
 
        
      

  4$0       

      

  1$      
 4$0  
      
      
 4$0  
      























 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²+(0&6VIRUWRQH58NSS 


 'DWDUDWH 0EV
 +(0&6 0RGXOD
 '&0 5 NBPSCS NSD NCBPS NDBPS
,QGH[ WLRQ —V —V —V
 *, *, *,

        
  %36. 
        

        
 
  436.        
  1$       

        
 
        
 4$0 
        
 
        
      

  4$0       

      

  1$      
 4$0  
      
      
 4$0  
      






























&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²+(0&6VIRUWRQH58NSS 


 'DWDUDWH 0EV
 +(0&6 0RGXOD
 '&0 5 NBPSCS NSD NCBPS NDBPS
,QGH[ WLRQ —V —V —V
 *, *, *,

  %36.       

      
 436.  
      

      
4$0  
      

      
 1$ 
  4$0       

      

      
4$0  
      

      
 4$0  
      



 7DEOH²+(0&6VIRUWRQH58NSS 


 'DWDUDWH 0EV
 +(0&6 0RGXOD
'&0 5 NBPSCS NSD NCBPS NDBPS
 ,QGH[ WLRQ —V —V —V
 *, *, *,

  %36.       

      
436.  
      

      
 4$0  
      

      
 1$ 
  4$0       
      

      
 4$0  
      

      
 4$0  
      





 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²+(0&6VIRUWRQH58NSS 


 'DWDUDWH 0EV
 +(0&6 0RGXOD
 '&0 5 NBPSCS NSD NCBPS NDBPS
,QGH[ WLRQ —V —V —V
 *, *, *,

  %36.       

      
 436.  
      

      
4$0  
      

      
 1$ 
  4$0       

      

      
4$0  
      

      
 4$0  
      



 7DEOH²+(0&6VIRUWRQH58NSS 


 'DWDUDWH 0EV
 +(0&6 0RGXOD
'&0 5 NBPSCS NSD NCBPS NDBPS
 ,QGH[ WLRQ —V —V —V
 *, *, *,

  %36.       

      
436.  
      

      
 4$0  
      

      
 1$ 
  4$0       
      

      
 4$0  
      

      
 4$0  
      





&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²+(0&6VIRUWRQH58NSS 


 'DWDUDWH 0EV
 +(0&6 0RGXOD
 '&0 5 NBPSCS NSD NCBPS NDBPS
,QGH[ WLRQ —V —V —V
 *, *, *,

  %36.       

      
 436.  
      

      
4$0  
      

      
 1$ 
  4$0       

      

      
4$0  
      

      
 4$0  
      



 7DEOH²+(0&6VIRUWRQH58NSS 


 'DWDUDWH 0EV
 +(0&6 0RGXOD
'&0 5 NBPSCS NSD NCBPS NDBPS
 ,QGH[ WLRQ —V —V —V
 *, *, *,

  %36.       

      
436.  
      

      
 4$0  
      

      
 1$ 
  4$0       
      

      
 4$0  
      

      
 4$0  
      





 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 +(0&6VIRUWRQH58


7KHUDWHGHSHQGHQWSDUDPHWHUVIRUWKHWRQH58DUHSURYLGHGLQ7DEOH +(0&6VIRUWRQH

 58166  WKURXJK7DEOH +(0&6VIRUWRQH58166  


 7DEOH²+(0&6VIRUWRQH58NSS 


 'DWDUDWH 0EV
 +(0&6 0RGXOD
 '&0 5 NBPSCS NSD NCBPS NDBPS
,QGH[ WLRQ —V —V —V
 *, *, *,

        
  %36. 
        

        
 
  436.        
  1$       

        
 
        
 4$0 
        
 
        
      

  4$0       

      

  1$      
 4$0  
      
      
 4$0  
      























&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²+(0&6VIRUWRQH58NSS 


 'DWDUDWH 0EV
 +(0&6 0RGXOD
 '&0 5 NBPSCS NSD NCBPS NDBPS
,QGH[ WLRQ —V —V —V
 *, *, *,

        
  %36. 
        

        
 
  436.        
  1$       

        
 
        
 4$0 
        
 
        
      

  4$0       

      

  1$      
 4$0  
      
      
 4$0  
      






























 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²+(0&6VIRUWRQH58NSS 


 'DWDUDWH 0EV
 +(0&6 0RGXOD
 '&0 5 NBPSCS NSD NCBPS NDBPS
,QGH[ WLRQ —V —V —V
 *, *, *,

  %36.       

      
 436.  
      

      
4$0  
      

      
 1$ 
  4$0       

      

      
4$0  
      

      
 4$0  
      



 7DEOH²+(0&6VIRUWRQH58NSS 


 'DWDUDWH 0EV
 +(0&6 0RGXOD
'&0 5 NBPSCS NSD NCBPS NDBPS
 ,QGH[ WLRQ —V —V —V
 *, *, *,

  %36.       

      
436.  
      

      
 4$0  
      

      
 1$ 
  4$0       
      

      
 4$0  
      

      
 4$0  
      





&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²+(0&6VIRUWRQH58NSS 


 'DWDUDWH 0EV
 +(0&6 0RGXOD
 '&0 5 NBPSCS NSD NCBPS NDBPS
,QGH[ WLRQ —V —V —V
 *, *, *,

  %36.       

      
 436.  
      

      
4$0  
      

      
 1$ 
  4$0       

      

      
4$0  
      

      
 4$0  
      



 7DEOH²+(0&6VIRUWRQH58NSS 


 'DWDUDWH 0EV
 +(0&6 0RGXOD
'&0 5 NBPSCS NSD NCBPS NDBPS
 ,QGH[ WLRQ —V —V —V
 *, *, *,

  %36.       

      
436.  
      

      
 4$0  
      

      
 1$ 
  4$0       
      

      
 4$0  
      

      
 4$0  
      





 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²+(0&6VIRUWRQH58NSS 


 'DWDUDWH 0EV
 +(0&6 0RGXOD
 '&0 5 NBPSCS NSD NCBPS NDBPS
,QGH[ WLRQ —V —V —V
 *, *, *,

  %36.       

      
 436.  
      

      
4$0  
      

      
 1$ 
  4$0       

      

      
4$0  
      

      
 4$0  
      



 7DEOH²+(0&6VIRUWRQH58NSS 


 'DWDUDWH 0EV
 +(0&6 0RGXOD
'&0 5 NBPSCS NSD NCBPS NDBPS
 ,QGH[ WLRQ —V —V —V
 *, *, *,

  %36.       

      
436.  
      

      
 4$0  
      

      
 1$ 
  4$0       
      

      
 4$0  
      

      
 4$0  
      





&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 +(0&6VIRUWRQH58


7KHUDWHGHSHQGHQWSDUDPHWHUVIRUWKHWRQH58DUHSURYLGHGLQ7DEOH +(0&6VIRUWRQH

 58166  WKURXJK7DEOH +(0&6VIRUWRQH58166  


 7DEOH²+(0&6VIRUWRQH58NSS 


 'DWDUDWH 0EV
 +(0&6
 '&0 0RGXODWLRQ 5 NBPSCS NSD NCBPS NDBPS
,QGH[ —V —V —V
 *, *, *,

        
  %36. 
        

        
 
  436.        
  1$       

        
 
        
 4$0 
        
 
        
      

  4$0       

      

  1$      
 4$0  
      
      
 4$0  
      























 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²+(0&6VIRUWRQH58NSS 


 'DWDUDWH 0EV
 +(0&6
 '&0 0RGXODWLRQ 5 NBPSCS NSD NCBPS NDBPS
,QGH[ —V —V —V
 *, *, *,

        
  %36. 
        

        
 
  436.        
  1$       

        
 
        
 4$0 
        
 
        
      

  4$0       

      

  1$      
 4$0  
      
      
 4$0  
      






























&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²+(0&6VIRUWRQH58NSS 


 'DWDUDWH 0EV
 +(0&6
 '&0 0RGXODWLRQ 5 NBPSCS NSD NCBPS NDBPS
,QGH[ —V —V —V
 *, *, *,

  %36.       

      
 436.  
      

      
4$0  
      

      
 1$ 
  4$0       

      

      
4$0  
      

      
 4$0  
      



 7DEOH²+(0&6VIRUWRQH58NSS 


 'DWDUDWH 0EV
 +(0&6
'&0 0RGXODWLRQ 5 NBPSCS NSD NCBPS NDBPS
 ,QGH[ —V —V —V
 *, *, *,

  %36.       

      
436.  
      

      
 4$0  
      

      
 1$ 
  4$0       
      

      
 4$0  
      

      
 4$0  
      





 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²+(0&6VIRUWRQH58NSS 


 'DWDUDWH 0EV
 +(0&6
 '&0 0RGXODWLRQ 5 NBPSCS NSD NCBPS NDBPS
,QGH[ —V —V —V
 *, *, *,

  %36.       

      
 436.  
      

      
4$0  
      

      
 1$ 
  4$0       

      

      
4$0  
      

      
 4$0  
      



 7DEOH²+(0&6VIRUWRQH58NSS 


 'DWDUDWH 0EV
 +(0&6
'&0 0RGXODWLRQ 5 NBPSCS NSD NCBPS NDBPS
 ,QGH[ —V —V —V
 *, *, *,

  %36.       

      
436.  
      

      
 4$0  
      

      
 1$ 
  4$0       
      

      
 4$0  
      

      
 4$0  
      





&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²+(0&6VIRUWRQH58NSS 


 'DWDUDWH 0EV
 +(0&6
 '&0 0RGXODWLRQ 5 NBPSCS NSD NCBPS NDBPS
,QGH[ —V —V —V
 *, *, *,

  %36.       

      
 436.  
      

      
4$0  
      

      
 1$ 
  4$0       

      

      
4$0  
      

      
 4$0  
      



 7DEOH²+(0&6VIRUWRQH58NSS 


 'DWDUDWH 0EV
 +(0&6
'&0 0RGXODWLRQ 5 NBPSCS NSD NCBPS NDBPS
 ,QGH[ —V —V —V
 *, *, *,

  %36.       

      
436.  
      

      
 4$0  
      

      
 1$ 
  4$0       
      

      
 4$0  
      

      
 4$0  
      





 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 +(0&6VIRUWRQH58


7KHUDWHGHSHQGHQWSDUDPHWHUVIRUWKHWRQH58DUHSURYLGHGLQ7DEOH +(0&6VIRUWRQH

 58166  WKURXJK7DEOH +(0&6VIRUWRQH58166  


 7DEOH²+(0&6VIRUWRQH58NSS 


 'DWDUDWH 0EV
 +(0&6
 '&0 0RGXODWLRQ 5 NBPSCS NSD NCBPS NDBPS
,QGH[ —V —V —V
 *, *, *,

        
  %36. 
        

        
 
  436.        
  1$       

        
 
        
 4$0 
        
 
        
      

  4$0       

      

  1$      
 4$0  
      
      
 4$0  
      























&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²+(0&6VIRUWRQH58NSS 


 'DWDUDWH 0EV
 +(0&6
 '&0 0RGXODWLRQ 5 NBPSCS NSD NCBPS NDBPS
,QGH[ —V —V —V
 *, *, *,

        
  %36. 
        

        
 
  436.        
  1$       

        
 
        
 4$0 
        
 
        
      

  4$0       

      

  1$      
 4$0  
      
      
 4$0  
      






























 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²+(0&6VIRUWRQH58NSS 


 'DWDUDWH 0EV
 +(0&6
 '&0 0RGXODWLRQ 5 NBPSCS NSD NCBPS NDBPS
,QGH[ —V —V —V
 *, *, *,

  %36.       

      
 436.  
      

      
4$0  
      

      
 1$ 
  4$0       

      

      
4$0  
      

      
 4$0  
      



 7DEOH²+(0&6VIRUWRQH58NSS 


 'DWDUDWH 0EV
 +(0&6
'&0 0RGXODWLRQ 5 NBPSCS NSD NCBPS NDBPS
 ,QGH[ —V —V —V
 *, *, *,

  %36.       

      
436.  
      

      
 4$0  
      

      
 1$ 
  4$0       
      

      
 4$0  
      

      
 4$0  
      





&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²+(0&6VIRUWRQH58NSS 


 'DWDUDWH 0EV
 +(0&6
 '&0 0RGXODWLRQ 5 NBPSCS NSD NCBPS NDBPS
,QGH[ —V —V —V
 *, *, *,

  %36.       

      
 436.  
      

      
4$0  
      

      
 1$ 
  4$0       

      

      
4$0  
      

      
 4$0  
      



 7DEOH²+(0&6VIRUWRQH58NSS 


 'DWDUDWH 0EV
 +(0&6
'&0 0RGXODWLRQ 5 NBPSCS NSD NCBPS NDBPS
 ,QGH[ —V —V —V
 *, *, *,

  %36.       

      
436.  
      

      
 4$0  
      

      
 1$ 
  4$0       
      

      
 4$0  
      

      
 4$0  
      





 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²+(0&6VIRUWRQH58NSS 


 'DWDUDWH 0EV
 +(0&6
 '&0 0RGXODWLRQ 5 NBPSCS NSD NCBPS NDBPS
,QGH[ —V —V —V
 *, *, *,

  %36.       

      
 436.  
      

      
4$0  
      

      
 1$ 
  4$0       

      

      
4$0  
      

      
 4$0  
      



 7DEOH²+(0&6VIRUWRQH58NSS 


 'DWDUDWH 0EV
 +(0&6
'&0 0RGXODWLRQ 5 NBPSCS NSD NCBPS NDBPS
 ,QGH[ —V —V —V
 *, *, *,

  %36.       

      
436.  
   
   

      
 4$0  
      

      
 1$ 
  4$0       
      

      
 4$0  
      

      
 4$0  
      





&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 +(0&6VIRUWRQH58


7KHUDWHGHSHQGHQWSDUDPHWHUVIRUWKHWRQH58DUHSURYLGHGLQ7DEOH +(0&6VIRUWRQH

 58166  WKURXJK7DEOH +(0&6VIRUWRQH58166  


 7DEOH²+(0&6VIRUWRQH58NSS 


 'DWDUDWH 0EV
 +(0&6
 '&0 0RGXODWLRQ 5 NBPSCS NSD NCBPS NDBPS
,QGH[ —V —V —V
 *, *, *,

        
  %36. 
        

        
 
  436.        
  1$       

        
 
        
 4$0 
        
 
        
      

  4$0       

      

  1$      
 4$0  
      
      
 4$0  
      























 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²+(0&6VIRUWRQH58NSS 


 'DWDUDWH 0EV
 +(0&6
 '&0 0RGXODWLRQ 5 NBPSCS NSD NCBPS NDBPS
,QGH[ —V —V —V
 *, *, *,

        
  %36. 
        

        
 
  436.        
  1$       

        
 
        
 4$0 
        
 
        
      

  4$0       

      

  1$      
 4$0  
      
      
 4$0  
      






























&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²+(0&6VIRUWRQH58NSS 


 'DWDUDWH 0EV
 +(0&6
 '&0 0RGXODWLRQ 5 NBPSCS NSD NCBPS NDBPS
,QGH[ —V —V —V
 *, *, *,

  %36.       

      
 436.  
      

      
4$0  
      

      
 1$ 
  4$0       

      

      
4$0  
      

      
 4$0  
      



 7DEOH²+(0&6VIRUWRQH58NSS 


 'DWDUDWH 0EV
 +(0&6
'&0 0RGXODWLRQ 5 NBPSCS NSD NCBPS NDBPS
 ,QGH[ —V —V —V
 *, *, *,

  %36.       

      
436.  
      

      
 4$0  
      

      
 1$ 
  4$0       
      

      
 4$0  
      

      
 4$0  
      





 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²+(0&6VIRUWRQH58NSS 


 'DWDUDWH 0EV
 +(0&6
 '&0 0RGXODWLRQ 5 NBPSCS NSD NCBPS NDBPS
,QGH[ —V —V —V
 *, *, *,

  %36.       

      
 436.  
      

      
4$0  
      

      
 1$ 
  4$0       

      

      
4$0  
      

      
 4$0  
      



 7DEOH²+(0&6VIRUWRQH58NSS 


 'DWDUDWH 0EV
 +(0&6
'&0 0RGXODWLRQ 5 NBPSCS NSD NCBPS NDBPS
 ,QGH[ —V —V —V
 *, *, *,

  %36.       

      
436.  
      

      
 4$0  
      

      
 1$ 
  4$0       
      

      
 4$0  
      

      
 4$0  
      





&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²+(0&6VIRUWRQH58NSS 


 'DWDUDWH 0EV
 +(0&6
 '&0 0RGXODWLRQ 5 NBPSCS NSD NCBPS NDBPS
,QGH[ —V —V —V
 *, *, *,

  %36.       

      
 436.  
      

      
4$0  
      

      
 1$ 
  4$0       

      

      
4$0  
      

      
 4$0  
      



 7DEOH²+(0&6VIRUWRQH58NSS 


 'DWDUDWH 0EV
 +(0&6
'&0 0RGXODWLRQ 5 NBPSCS NSD NCBPS NDBPS
 ,QGH[ —V —V —V
 *, *, *,

  %36.       

      
436.  
      

      
 4$0  
      

      
 1$ 
  4$0       
      

      
 4$0  
      

      
 4$0  
      





 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 +(0&6VIRUîWRQH58


7KHUDWHGHSHQGHQWSDUDPHWHUVIRUîWRQH58DUHSURYLGHGLQ7DEOH +(0&6VIRUîWRQH

 58166  WKURXJK7DEOH +(0&6VIRUîWRQH58166  


 7DEOH²+(0&6VIRUîWRQH58NSS 


 'DWDUDWH 0EV
 +(0&6
 '&0 0RGXODWLRQ 5 NBPSCS NSD NCBPS NDBPS
,QGH[ —V —V —V
 *, *, *,

        
  %36. 
        

        
 
  436.        
  1$       

        
 
        
 4$0 
        
 
        
      

  4$0       

      

  1$      
 4$0  
      
      
 4$0  
      























&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²+(0&6VIRUîWRQH58NSS 


 'DWDUDWH 0EV
 +(0&6
 '&0 0RGXODWLRQ 5 NBPSCS NSD NCBPS NDBPS
,QGH[ —V —V —V
 *, *, *,

        
  %36. 
        

        
 
  436.        
  1$       

        
 
        
 4$0 
        
 
        
      

  4$0       

      

  1$      
 4$0  
      
      
 4$0  
      






























 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²+(0&6VIRUîWRQH58NSS 


 'DWDUDWH 0EV
 +(0&6
 '&0 0RGXODWLRQ 5 NBPSCS NSD NCBPS NDBPS
,QGH[ —V —V —V
 *, *, *,

  %36.       

      
 436.  
      

      
4$0  
      

      
 1$ 
  4$0       

      

      
4$0  
      

      
 4$0  
      



 7DEOH²+(0&6VIRUîWRQH58NSS 


 'DWDUDWH 0EV
 +(0&6
'&0 0RGXODWLRQ 5 NBPSCS NSD NCBPS NDBPS
 ,QGH[ —V —V —V
 *, *, *,

  %36.       

      
436.  
      

      
 4$0  
      

      
 1$ 
  4$0       
      

      
 4$0  
      

      
 4$0  
      





&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²+(0&6VIRUîWRQH58NSS 


 'DWDUDWH 0EV
 +(0&6
 '&0 0RGXODWLRQ 5 NBPSCS NSD NCBPS NDBPS
,QGH[ —V —V —V
 *, *, *,

  %36.       

      
 436.  
      

      
4$0  
      

      
 1$ 
  4$0       

      

      
4$0  
      

      
 4$0  
      



 7DEOH²+(0&6VIRUîWRQH58NSS 


 'DWDUDWH 0EV
 +(0&6
'&0 0RGXODWLRQ 5 NBPSCS NSD NCBPS NDBPS
 ,QGH[ —V —V —V
 *, *, *,

  %36.       

      
436.  
      

      
 4$0  
      

      
 1$ 
  4$0       
      

      
 4$0  
      

      
 4$0  
      





 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH²+(0&6VIRUîWRQH58NSS 


 'DWDUDWH 0EV
 +(0&6
 '&0 0RGXODWLRQ 5 NBPSCS NSD NCBPS NDBPS
,QGH[ —V —V —V
 *, *, *,

  %36.       

      
 436.  
      

      
4$0  
      

      
 1$ 
  4$0       

      

      
4$0  
      

      
 4$0  
      



 7DEOH²+(0&6VIRUîWRQH58NSS 


 'DWDUDWH 0EV
 +(0&6
'&0 0RGXODWLRQ 5 NBPSCS NSD NCBPS NDBPS
 ,QGH[ —V —V —V
 *, *, *,

  %36.       

      
436.  
      

      
 4$0  
      

      
 1$ 
  4$0       
      

      
 4$0  
      

      
 4$0  
      





&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 3DUDPHWHUVIRU+(6,*%0&6V


 7KH+(6,*%0&6VGHILQHGLQ7DEOH +(6,*%0&6V DUHXVHGIRUWKH+(6,*%ILHOGWUDQV
 PLVVLRQLQWKH+(0833'8


 7DEOH²+(6,*%0&6V


 +(6,*%0&6 0RGXOD +(6,*%
 '&0 5 NBPSCS NSD NCBPS NDBPS
,QGH[ WLRQ UDWH 0EV

      
  %36. 
      

      
 
 436.      

  1$     

      
 
      
 4$0 
      
 
     

  1$ 4$0      

 127(²7KHSDUDPHWHUVNSDNCBPSDQGNDBPSDUHXVHGIRUWKH+(6,*%ILHOGWUDQVPLVVLRQLQHDFK
 0+]VXEFKDQQHO

































 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU



$QQH[%

 QRUPDWLYH 



 3URWRFRO,PSOHPHQWDWLRQ&RQIRUPDQFH6WDWHPHQW 3,&6 


SURIRUPD



 %3,&6SURIRUPD²,(((6WG\HDU!

 Change B.4.3 as follows:


 %,87FRQILJXUDWLRQ


 ,WHP ,87FRQILJXUDWLRQ 5HIHUHQFHV 6WDWXV 6XSSRUW

 :KDWLVWKHFRQILJXUDWLRQRIWKH,87"
 &)2)'0 2UWKRJRQDOIUHTXHQF\GLYLVLRQPXOWLSOH[ ² 2 <HV†1R†
 LQJ 2)'0 3+< &)+7*0
 &)79+70
 &)6*0
 &)+(0

 «
 &)+7 +LJKWKURXJKSXW +7 3+<  2 <HV†1R†
 +7&DSD &)9+70
 ELOLWLHVHOH &)+(0
 PHQW

 «
 &)+7* +7RSHUDWLRQLQWKH*+]EDQG &ODXVH &)+72 <HV†1R†1$†
 &)+(0

 &)+7* +7RSHUDWLRQLQWKH*+]EDQG &ODXVH &)+72 <HV†1R†1$†
 &)9+70
 &)+(0
 «

 &)9+7 9HU\+LJK7KURXJKSXW 9+7 IHDWXUHV  2 <HV†1R†
 9+7 &)+(0
 &DSDELOL
 WLHVHOH
 PHQW
 «

 &)(60 ([WHQGHGVSHFWUXPPDQDJHPHQW  2 <HV†1R†
 2SHUDWLRQ &)9+725
 ZLWKRSHUDW &)79+70
 LQJFODVVHV
 &)+( +LJKHIILFLHQF\ +( RSHUDWLRQ  2 <HV†1R†
 +(&DSD &)+(0
 ELOLWLHVHOH &)+(0
 PHQW

 &)+(* +(RSHUDWLRQLQWKH*+]EDQG &ODXVH 2 <HV†1R†
 &)+(* +(RSHUDWLRQLQWKH*+]EDQG &ODXVH 2 <HV†1R†

 &)+(* +(RSHUDWLRQLQWKH*+]EDQG &ODXVH 2 <HV†1R†

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 %,87FRQILJXUDWLRQ(continued)



,WHP ,87FRQILJXUDWLRQ 5HIHUHQFHV 6WDWXV 6XSSRUW

 &)+( +(RSHUDWLRQDVD0+]RQO\QRQ$3 &ODXVH &),QGHS67$ <HV†1R†
 +(67$ DQG&)+(0

 &)+( +(RSHUDWLRQZLWKFDSDELOLW\RI0+]RU &ODXVH &)$3DQG <HV†1R†
 ZLGHUFKDQQHOZLGWK &)+(DQG
 &)9+70

 &),QGHS67$
 DQG&)+(DQG
 &)9+70
 &)*Q* 2SHUDWLRQLQWKH*+]DQG*+]EDQGV  &)+7*RU <HV†1R†1$†
 2XWRI &)+(* 2
 EDQGGLV
 FRYHU\RID &)+(*0
 *+]
 %66

 &)*Q* 2SHUDWLRQLQWKH*+]DQG*+]EDQGV  &)+7*RU <HV†1R†1$†
 2XWRI &)+(* 2
 EDQGGLV
 FRYHU\RID &)+(*0
 *+]
 %66


 %0$&SURWRFRO

 Change B.4.4.1 as follows:

 %0$&SURWRFROFDSDELOLWLHV



 ,WHP 3URWRFROFDSDELOLW\ 5HIHUHQFHV 6WDWXV 6XSSRUW
 $UHWKHIROORZLQJ0$&SURWRFROFDSD
 ELOLWLHVVXSSRUWHG"

 3& '\QDPLFIUDJPHQWDWLRQ  '&) 
 06'8$
 06'8DQG
 003'8IUDJ
 PHQWDWLRQ
 3& '\QDPLFIUDJPHQWDWLRQOHYHO  /HYHO &)+(2 <HV†1R†
 G\QDPLFIUDJ
 PHQWDWLRQ

 3& '\QDPLFIUDJPHQWDWLRQOHYHO  /HYHO &)+(2 <HV†1R†
 G\QDPLFIUDJ
 PHQWDWLRQ
 3& '\QDPLFIUDJPHQWDWLRQOHYHO  /HYHO &)+(2 <HV†1R†
 G\QDPLFIUDJ
 PHQWDWLRQ









 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 Change B.4.4.2 as follows:



 %0$&IUDPHV



 ,WHP 0$&IUDPH 5HIHUHQFHV 6WDWXV 6XSSRUW
 ,VWUDQVPLVVLRQRIWKHIROORZLQJ  )UDPH
 0$&IUDPHVVXSSRUWHG" IRUPDWV

 )7 7UDQVPLVVLRQRI2SHUDWLQJ0RGH  2 <HV†1R†1$†
 1RWLILFDWLRQIUDPHDQG2SHUDWLQJ 2SHUDWLQJ
 0RGH1RWLILFDWLRQHOHPHQW 0RGH1RWL
 ILFDWLRQ
 IUDPHIRU
 PDW 
 
 2SHUDWLQJ
 0RGH1RWL
 ILFDWLRQHOH
 PHQW 
 1RWLILFD
 WLRQRIRSHU
 DWLQJPRGH
 FKDQJHV
 )7 7ULJJHUIUDPH  )UDPH &)+(0 <HV†1R†1$†
 IRUPDWV

 ,VUHFHSWLRQRIWKHIROORZLQJ0$&  )UDPH
 IUDPHVVXSSRUWHG" IRUPDWV 
 )5 9+71'3$QQRXQFHPHQW  )UDPH 9+700 <HV†1R†1$†
 IRUPDWV  79+700

 )5 %HDPIRUPLQJ5HSRUW3ROO  )UDPH 9+702 <HV†1R†1$†
 IRUPDWV 9+700
 79+702
 79+700
 )5 5HFHSWLRQRI2SHUDWLQJ0RGH1RWLIL  &)9+70 <HV†1R†1$†
 FDWLRQIUDPHDQG2SHUDWLQJ0RGH 2SHUDWLQJ &)79+70
 1RWLILFDWLRQHOHPHQW 0RGH1RWL
 ILFDWLRQ
 IUDPHIRU
 PDW 
 
 2SHUDWLQJ
 0RGH1RWL
 ILFDWLRQHOH
 PHQW 
 1RWLILFD
 WLRQRIRSHU
 DWLQJPRGH
 FKDQJHV

 )5 7ULJJHUIUDPH  )UDPH &)+(2 <HV†1R†1$†
 IRUPDWV











&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 Change B.4.12 as follows:



 %4R6EDVHIXQFWLRQDOLW\



 ,WHP 3URWRFROFDSDELOLW\ 5HIHUHQFHV 6WDWXV 6XSSRUW
 «

 4% %ORFNDFNQRZOHGJPHQWV EORFN
 DFN
 «

 4% 0XOWL7,'%ORFN$FN  0XOWL &)4R62 <HV†1R†1$†
 7,'%ORFN$FN &)+725&)7
 YDULDQW 9+70
 4% 0XOWL67$%ORFN$FN  0XOWL &)+(0 <HV†1R†1$†
 67$%ORFN$FN
 YDULDQW

 «


 Insert a new subclause at the end of B.4 as follows:


 %+LJKHIILFLHQF\ +( IHDWXUHV

 %+(0$&IHDWXUHV



 ,WHP 3URWRFROFDSDELOLW\ 5HIHUHQFHV 6WDWXV 6XSSRUW
 $UHWKHIROORZLQJ0$&SURWRFRO
 IHDWXUHVVXSSRUWHG"

 +(0 +(FDSDELOLWLHVVLJQDOLQJ
 +(0 +(&DSDELOLWLHVHOHPHQW  +( &)+(0 <HV†1R†1$†
 &DSDELOLWLHV
 HOHPHQW

 +(0 6LJQDOLQJRI67$FDSDELOLWLHVLQ  $VVR &)+($1' <HV†1R†1$†
 3UREH5HTXHVW 5H $VVRFLDWLRQ FLDWLRQ5HTXHVW &),QGHS
 5HTXHVWIUDPHV IUDPHIRUPDW  67$ 0
  5HDV
 VRFLDWLRQ
 5HTXHVWIUDPH
 IRUPDW 
 3UREH5HTXHVW
 IUDPHIRUPDW 
  +(
 &DSDELOLWLHV
 HOHPHQW













 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 %+(0$&IHDWXUHV(continued)


 ,WHP 3URWRFROFDSDELOLW\ 5HIHUHQFHV 6WDWXV 6XSSRUW

 +(0 6LJQDOLQJRI67$DQG%66FDSDELOL  %HD &)9+7$1' <HV†1R†1$†
 WLHVLQ%HDFRQ3UREH5HVSRQVH FRQIUDPHIRU &)$3 0
 5H $VVRFLDWLRQ5HVSRQVHIUDPHV PDW 
 $VVRFLDWLRQ
 5HVSRQVH
 IUDPHIRUPDW 
  5HDV
 VRFLDWLRQ
 5HVSRQVH
 IUDPHIRUPDW 
  3UREH
 5HVSRQVH
 IUDPHIRUPDW 
  +(
 &DSDELOLWLHV
 HOHPHQW

 +(0 6LJQDOLQJRI+(RSHUDWLRQ  +( &)+($1' <HV†1R†1$†
 2SHUDWLRQHOH &)$3 0
 PHQW
 +(0 $03'8ZLWKPXOWLSOH7,'V  0XOWL &)+(2 <HV†1R†1$†
 7,'$03'8
 DQGDFN
 HQDEOHGVLQJOH
 7,'$03'8

 +(0 +(YDULDQW+7&RQWURO
 +(0 8/085HVSRQVH6FKHGXOLQJ D 756 &)+(2 <HV†1R†1$†
 &RQWURO

 +(0 2SHUDWLQJ0RGH D 20 &)+(2 <HV†1R†1$†
 &RQWURO
 +(0 +(/LQN$GDSWDWLRQ D &)+(2 <HV†1R†1$†
 +/$&RQWURO

 +(0 %XIIHU6WDWXV5HSRUW D &)+(2 <HV†1R†1$†
 %65&RQWURO
 +(0 8/3RZHU+HDGURRP D &)+(0 <HV†1R†1$†
 83+&RQWURO

 +(0 %45&RQWURO D &)+(2 <HV†1R†1$†
 %45&RQWURO
 +(0 &$6&RQWURO D &)+(2 <HV†1R†1$†
 &$6&RQWURO

 +(0 7ULJJHUIUDPH
 +(0 %DVLF7ULJJHUIUDPH  &)+(0 <HV†1R†1$†
 %DVLF7ULJJHU
 YDULDQW

 +(0 %)537ULJJHUIUDPH  &)+(0 <HV†1R†1$†
 %HDPIRUPLQJ
 5HSRUW3ROO
 %)53 YDUL
 DQW
 +(0 08%$57ULJJHUIUDPH  &)+(2 <HV†1R†1$†
 08%$5
 YDULDQW



&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 %+(0$&IHDWXUHV(continued)


 ,WHP 3URWRFROFDSDELOLW\ 5HIHUHQFHV 6WDWXV 6XSSRUW

 +(0 085767ULJJHUIUDPHWUDQVPLVVLRQ  &)+(2 <HV†1R†1$†
 08576YDUL
 DQW

 +(0 085767ULJJHUIUDPHUHFHSWLRQ  &)+(0 <HV†1R†1$†
 08576YDUL
 DQW
 +(0 %6537ULJJHUIUDPH  &)+(2 <HV†1R†1$†
 %XIIHU6WDWXV
 5HSRUW3ROO
 %653 YDUL
 DQW

 +(0 *&508%$57ULJJHUIUDPH  &)+(2 <HV†1R†1$†
 *&508
 %$5YDULDQW
 +(0 %4537ULJJHUIUDPH  &)+(2 <HV†1R†1$†
 %DQGZLGWK
 4XHU\5HSRUW
 3ROO %453 
 YDULDQW

 +(0 1)537ULJJHUIUDPH  &)+(2 <HV†1R†1$†
 1'3)HHG
 EDFN5HSRUW
 3ROO 1)53 
 YDULDQW
 +(0 7UDQVPLWEHDPIRUPLQJ

 +(0 68EHDPIRUPHUFDSDEOHLIWKHVXS  +( &)+(2 <HV†1R†1$†
 SRUWHGPD[LPXPQXPEHURIWUDQVPLW &DSDELOLWLHV
 VSDWLDOVWUHDPVLVOHVVWKDQ HOHPHQW
 +(0 68EHDPIRUPHUFDSDEOHLIWKHVXS  +( &)+(0 <HV†1R†1$†
 SRUWHGPD[LPXPQXPEHURIWUDQVPLW &DSDELOLWLHV
 VSDWLDOVWUHDPVLVJUHDWHUWKDQRU HOHPHQW
 HTXDOWR

 +(0 68EHDPIRUPHHFDSDEOH  +( &)+(2 <HV†1R†1$†
 &DSDELOLWLHV
 HOHPHQW
 +(0 08EHDPIRUPHUFDSDEOHLIWKHVXS  +( &)$3$1' <HV†1R†1$†
 SRUWHGPD[LPXPQXPEHURIWUDQVPLW &DSDELOLWLHV &)+(02
 VSDWLDOVWUHDPVLVOHVVWKDQ HOHPHQW

 +(0 08EHDPIRUPHUFDSDEOHLIWKHVXS  +( &)$3$1' <HV†1R†1$†
 SRUWHGPD[LPXPQXPEHURIWUDQVPLW &DSDELOLWLHV &)+(00
 VSDWLDOVWUHDPVLVJUHDWHUWKDQRU HOHPHQW
 HTXDOWR
 +(0 08EHDPIRUPHHFDSDEOH  +( &),QGHS67$ <HV†1R†1$†
 &DSDELOLWLHV DQG9+70
 HOHPHQW 2

 +(0 7UDQVPLVVLRQRIDQ+(VRXQGLQJ  +( +(00 <HV†1R†1$†
 1'3 VRXQGLQJSURWR +(00
 FRO
 +(0 5HFHSWLRQRIDQ+(VRXQGLQJ1'3  +( +(00 <HV†1R†1$†
 VRXQGLQJSURWR
 FRO



 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 %+(0$&IHDWXUHV(continued)


 ,WHP 3URWRFROFDSDELOLW\ 5HIHUHQFHV 6WDWXV 6XSSRUW

 +(0 7UDQVPLVVLRQRI7ULJJHUIUDPH  +( +(02 <HV†1R†1$†
 VRXQGLQJSURWR +(02
 FRO

 +(0 5HFHSWLRQRI7ULJJHUIUDPH  +( +(00 <HV†1R†1$†
 VRXQGLQJSURWR
 FRO
 +(0 6RXQGLQJSURWRFRO

 +(0 +(6RXQGLQJ3URWRFRODV68EHDP  +( +(00 <HV†1R†1$†
 IRUPHU VRXQGLQJSURWR +(00
 FRO
 +(0 +(6RXQGLQJ3URWRFRODV68EHDP  +( +(00 <HV†1R†1$†
 IRUPHH VRXQGLQJSURWR
 FRO

 +(0 +(6RXQGLQJ3URWRFRODV08EHDP  +( +(00 <HV†1R†1$†
 IRUPHU VRXQGLQJSURWR +(00
 FRO
 +(0 +(6RXQGLQJ3URWRFRODV08EHDP  +( +(00 <HV†1R†1$†
 IRUPHH VRXQGLQJSURWR
 FRO

 +(0 1$9XSGDWH  8SGDW
 LQJWZR1$9V
 +(0 8SGDWHEDVLF1$9  8SGDW &)+(0 <HV†1R†1$†
 LQJWZR1$9V

 +(0 8SGDWH,QWUD%661$9  8SGDW &)$3$1' <HV†1R†1$†
 LQJWZR1$9V &)+(2
 &),QGHS67$
 $1'&)+(0
 +(0 2)'0$EDVHGUDQGRPDFFHVV  8/ &)+(2 <HV†1R†1$†
 2)'0$EDVHG
 UDQGRPDFFHVV
 825$

 +(0 7:7RSHUDWLRQ  7:7 &)+(2 <HV†1R†1$†
 RSHUDWLRQ
 +(0 4XLHWWLPHSHULRG

 +(0 7UDQVPLVVLRQRI4XLHW7LPH3HULRG  4XLHW &)+(2 <HV†1R†1$†
 5HTXHVWIUDPH +(67$VLQDQ
 +(%66
 +(0 5HFHSWLRQRI4XLHW7LPH3HULRG  4XLHW &)+(0 <HV†1R†1$†
 5HVSRQVHIUDPH +(67$VLQDQ
 +(%66

 +(0 +(%66RSHUDWLRQLQWKH*+]EDQG
 +(0 6FDQQLQJLQWKH*+]EDQG  &)+(*2 <HV†1R†1$†
 6FDQQLQJLQ
 WKH*+]
 EDQG

 +(0 2XWRIEDQGGLVFRYHU\  2XW &)*Q*RU <HV†1R†1$†
 RIEDQGGLVFRY &)*Q* 0
 HU\RID*+]
 %66



&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU




%+(3+<IHDWXUHV



 ,WHP 3URWRFROFDSDELOLW\ 5HIHUHQFHV 6WDWXV 6XSSRUW

$UHWKHIROORZLQJ3+<SURWRFROIHD

WXUHVVXSSRUWHG"

 +(3 3+<RSHUDWLQJPRGHV

+(3 2SHUDWLRQDFFRUGLQJWR&ODXVH  ,QWUR &)+(*DQG <HV†1R†1$†

2UWKRJRQDOIUHTXHQF\GLYLVLRQPXO GXFWLRQWRWKH &)$3RU

WLSOH[LQJ 2)'0 3+<VSHFLILFD +(3+< &)+( 0

WLRQ  2UWKRJRQDOIUHTXHQF\GLYLVLRQ

PXOWLSOH[LQJ 2)'0 3+<VSHFLIL

FDWLRQ &ODXVH +LJK7KURXJKSXW

+7 3+<VSHFLILFDWLRQ  +LJK

7KURXJKSXW DQGRU&ODXVH 9HU\

+LJK7KURXJKSXW 9+7 3+<VSHFL

ILFDWLRQ 

 +(3 2SHUDWLRQDFFRUGLQJ&ODXVH  ,QWUR &)+(*DQG <HV†1R†1$†
 +LJK7KURXJKSXW +7 3+<VSHFL GXFWLRQWRWKH &)+(0
 ILFDWLRQ  +LJK7KURXJKSXW LQWKH +(3+<
 *+]EDQG

+(3 2SHUDWLRQDFFRUGLQJ&ODXVH  ,QWUR &)+(*0 <HV†1R†1$†

+LJK7KURXJKSXW +7 3+<VSHFL GXFWLRQWRWKH

ILFDWLRQ  +LJK7KURXJKSXW LQWKH +(3+<

*+]EDQG

 +(3 2SHUDWLRQDFFRUGLQJWR&ODXVHLQ  ,QWUR &)+(*0 <HV†1R†1$†
 WKH*+]EDQG GXFWLRQWRWKH
 +(3+<

+(3 +(33'8IRUPDW  33'8

IRUPDWV

 +(3 +(6833'8  33'8 <HV†1R†1$†
 IRUPDWV

+(3 +((56833'8  33'8 <HV†1R†1$†

IRUPDWV

 +(3 +(0833'8  33'8 <HV†1R†1$†
 IRUPDWV

+(3 +(7%33'8  33'8 <HV†1R†1$†

IRUPDWV

 +(3 %66EDQGZLGWK

+(3 0+]RSHUDWLRQ  +(%66 &)+(0 <HV†1R†1$†

RSHUDWLRQ

 +(3 0+]RSHUDWLRQ  +(%66 &)+(DQG <HV†1R†1$†
 RSHUDWLRQ &)+(*RU
 &)+(* 0

 &)+(*2

+(3 0+]RSHUDWLRQ  +(%66 &)+(DQG <HV†1R†1$†

RSHUDWLRQ &)+(*RU

&)+(* 0

 +(3 0+]RSHUDWLRQ  +(%66 &)+(DQG <HV†1R†1$†
 RSHUDWLRQ &)+(*RU
 &)+(* 2
 +(30


 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 %+(3+<IHDWXUHV(continued)


 ,WHP 3URWRFROFDSDELOLW\ 5HIHUHQFHV 6WDWXV 6XSSRUW

 +(3 0+]RSHUDWLRQ  +(%66 &)+(DQG <HV†1R†1$†
 RSHUDWLRQ &)+(*RU
 &)+(* 2

 +(3 3+<WLPLQJLQIRUPDWLRQ
 +(3 9DOXHVLQ0+]FKDQQHO  7LPLQJ &)+(0 <HV†1R†1$†
 UHODWHGSDUDPH
 WHUV

 +(3 9DOXHVLQ0+]FKDQQHO  7LPLQJ &)+(0 <HV†1R†1$†
 UHODWHGSDUDPH
 WHUV
 +(3 9DOXHVLQ0+]FKDQQHO  7LPLQJ &)+(0 <HV†1R†1$†
 UHODWHGSDUDPH
 WHUV

 +(3 9DOXHVLQ0+]FKDQQHO  7LPLQJ +(30 <HV†1R†1$†
 UHODWHGSDUDPH
 WHUV
 +(3 9DOXHVLQ0+]FKDQQHO  7LPLQJ +(30 <HV†1R†1$†
 UHODWHGSDUDPH
 WHUV

 +(3 67%&  &)+(2 <HV†1R†1$†
 6SDFHWLPH
 EORFNFRGLQJ
 +(3 7RQHDOORFDWLRQ

 +(3 WRQH58PDSSLQJ  &)+(0 <HV†1R†1$†
 5HVRXUFHXQLW
 JXDUGDQG'&
 VXEFDUULHUV 
  1XOO
 VXEFDUULHUV 
 DQG
 3LORWVXEFDUUL
 HUV
 +(3 WRQH58PDSSLQJ  &)+(0 <HV†1R†1$†
 5HVRXUFHXQLW
 JXDUGDQG'&
 VXEFDUULHUV 
  1XOO
 VXEFDUULHUV 
 DQG
 3LORWVXEFDUUL
 HUV

 +(3 WRQH58PDSSLQJ  &)+(0 <HV†1R†1$†
 5HVRXUFHXQLW
 JXDUGDQG'&
 VXEFDUULHUV 
  1XOO
 VXEFDUULHUV 
 DQG
 3LORWVXEFDUUL
 HUV





&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 %+(3+<IHDWXUHV(continued)


 ,WHP 3URWRFROFDSDELOLW\ 5HIHUHQFHV 6WDWXV 6XSSRUW

 +(3 WRQH58PDSSLQJ  &)+(0 <HV†1R†1$†
 5HVRXUFHXQLW &)+(2
 JXDUGDQG'&
 VXEFDUULHUV 
  1XOO
 VXEFDUULHUV 
 DQG
 3LORWVXEFDUUL
 HUV

 +(3 WRQH58PDSSLQJ  &)+(DQG <HV†1R†1$†
 5HVRXUFHXQLW +(30
 JXDUGDQG'&
 VXEFDUULHUV 
  1XOO
 VXEFDUULHUV 
 DQG
 3LORWVXEFDUUL
 HUV
 +(3 WRQH58PDSSLQJ  &)+(DQG <HV†1R†1$†
 5HVRXUFHXQLW +(30
 JXDUGDQG'& &)+(DQG
 VXEFDUULHUV  +(30
  1XOO
 VXEFDUULHUV 
 DQG
 3LORWVXEFDUUL
 HUV

 +(3 îWRQH58PDSSLQJ  &)+(DQG <HV†1R†1$†
 5HVRXUFHXQLW +(30
 JXDUGDQG'&
 VXEFDUULHUV 
  1XOO
 VXEFDUULHUV 
 DQG
 3LORWVXEFDUUL
 HUV
 +(3 &RGLQJ

 +(3 %&&ZLWKRUIHZHUVSDWLDOVWUHDPV  +(3RU <HV†1R†1$†
 %&&FRGLQJ +(3RU
 DQGSXQFWXULQJ +(3RU
 +(3 0
 +(3DQG
 +(3 0
 +(3 /'3&ZLWKPRUHWKDQVSDWLDO  &)+(0 <HV†1R†1$†
 VWUHDPV /'3&FRGLQJ &)+(0













 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 %+(3+<IHDWXUHV(continued)


 ,WHP 3URWRFROFDSDELOLW\ 5HIHUHQFHV 6WDWXV 6XSSRUW

 +(3 /'3&ZLWKRUIHZHUVSDWLDO  +(3RU <HV†1R†1$†
 VWUHDPV /'3&FRGLQJ +(3RU
 +(3 0

 +(3RU
 +(3RU
 +(3RU
 +(3 DQG
 +(3 0

 +(3RU
 +(3RU
 +(3RU
 +(3 2

 +(3DQG
 +(3 2

 &)+(2

 +(3 &RGLQJDQGPRGXODWLRQVFKHPHV
 +(3 )RUDQG
 WRQHPDSSLQJ

 +(3 +(0&6ZLWK,QGH[DQGNSS   3DUDPH &)+(0 <HV†1R†1$†
 WHUVIRU+(
 0&6V
 +(3 +(0&6ZLWK,QGH[DQGNSS   3DUDPH +(32 <HV†1R†1$†
 WHUVIRU+(
 0&6V

 +(3 +(0&6ZLWK,QGH[DQGNSS   3DUDPH +(32 <HV†1R†1$†
 WHUVIRU+(
 0&6V
 +(3 +(0&6ZLWK,QGH[DQGNSS   3DUDPH &)+(2 <HV†1R†1$†
 WHUVIRU+(
 0&6V

 +(3 +(0&6ZLWK,QGH[DQGNSS   3DUDPH +(32 <HV†1R†1$†
 WHUVIRU+(
 0&6V
 +(3 +(0&6ZLWK,QGH[DQGNSS   3DUDPH +(32 <HV†1R†1$†
 WHUVIRU+(
 0&6V

 +(3 +(0&6ZLWK,QGH[DQGNSS   3DUDPH &)+(2 <HV†1R†1$†
 WHUVIRU+(
 0&6V
 +(3 +(0&6ZLWK,QGH[DQGNSS   3DUDPH +(32 <HV†1R†1$†
 WHUVIRU+(
 0&6V

 +(3 +(0&6ZLWK,QGH[DQGNSS   3DUDPH +(32 <HV†1R†1$†
 WHUVIRU+(
 0&6V
 +(3 +(0&6ZLWK,QGH[DQGNSS   3DUDPH &)+(2 <HV†1R†1$†
 WHUVIRU+(
 0&6V



&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 %+(3+<IHDWXUHV(continued)


 ,WHP 3URWRFROFDSDELOLW\ 5HIHUHQFHV 6WDWXV 6XSSRUW

 +(3 +(0&6ZLWK,QGH[DQGNSS   3DUDPH +(32 <HV†1R†1$†
 WHUVIRU+(
 0&6V

 +(3 +(0&6ZLWK,QGH[DQGNSS   3DUDPH +(32 <HV†1R†1$†
 WHUVIRU+(
 0&6V
 +(3 +(0&6ZLWK,QGH[DQGNSS   3DUDPH &)+(2 <HV†1R†1$†
 WHUVIRU+(
 0&6V

 +(3 +(0&6ZLWK,QGH[DQGNSS   3DUDPH +(32 <HV†1R†1$†
 WHUVIRU+(
 0&6V
 +(3 +(0&6ZLWK,QGH[DQGNSS   3DUDPH +(32 <HV†1R†1$†
 WHUVIRU+(
 0&6V

 +(3 +(0&6ZLWK,QGH[DQGNSS   3DUDPH &)+(2 <HV†1R†1$†
 WHUVIRU+(
 0&6V
 +(3 +(0&6ZLWK,QGH[DQGNSS   3DUDPH +(32 <HV†1R†1$†
 WHUVIRU+(
 0&6V

 +(3 +(0&6ZLWK,QGH[DQGNSS   3DUDPH +(32 <HV†1R†1$†
 WHUVIRU+(
 0&6V
 +(3 +(0&6ZLWK,QGH[DQGNSS   3DUDPH &)+(2 <HV†1R†1$†
 WHUVIRU+(
 0&6V

 +(3 +(0&6ZLWK,QGH[DQGNSS   3DUDPH +(32 <HV†1R†1$†
 WHUVIRU+(
 0&6V
 +(3 +(0&6ZLWK,QGH[DQGNSS   3DUDPH +(32 <HV†1R†1$†
 WHUVIRU+(
 0&6V

 +(3 +(0&6ZLWK,QGH[DQGNSS   3DUDPH &)+(2 <HV†1R†1$†
 WHUVIRU+(
 0&6V
 +(3 +(0&6ZLWK,QGH[DQGNSS   3DUDPH +(32 <HV†1R†1$†
 WHUVIRU+(
 0&6V

 +(3 +(0&6ZLWK,QGH[DQGNSS   3DUDPH +(32 <HV†1R†1$†
 WHUVIRU+(
 0&6V
 +(3 )RUDQGWRQHSODQ

 +(3 +(0&6ZLWK,QGH[DQG  3DUDPH &)+(2 <HV†1R†1$†
 NSS  WHUVIRU+(
 0&6V
 +(3 +(0&6ZLWK,QGH[DQG  3DUDPH +(32 <HV†1R†1$†
 NSS  WHUVIRU+(
 0&6V




 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 %+(3+<IHDWXUHV(continued)


 ,WHP 3URWRFROFDSDELOLW\ 5HIHUHQFHV 6WDWXV 6XSSRUW

 +(3 +(0&6ZLWK,QGH[DQG  3DUDPH &)+(2 <HV†1R†1$†
 NSS  WHUVIRU+(
 0&6V

 +(3 +(0&6ZLWK,QGH[DQG  3DUDPH +(32 <HV†1R†1$†
 NSS  WHUVIRU+(
 0&6V
 +(3 +(0&6ZLWK,QGH[DQG  3DUDPH &)+(2 <HV†1R†1$†
 NSS  WHUVIRU+(
 0&6V

 +(3 +(0&6ZLWK,QGH[DQG  3DUDPH +(32 <HV†1R†1$†
 NSS  WHUVIRU+(
 0&6V
 +(3 +(0&6ZLWK,QGH[DQG  3DUDPH &)+(2 <HV†1R†1$†
 NSS  WHUVIRU+(
 0&6V

 +(3 +(0&6ZLWK,QGH[DQG  3DUDPH +(32 <HV†1R†1$†
 NSS  WHUVIRU+(
 0&6V
 +(3 +(0&6ZLWK,QGH[DQG  3DUDPH &)+(2 <HV†1R†1$†
 NSS  WHUVIRU+(
 0&6V

 +(3 +(0&6ZLWK,QGH[DQG  3DUDPH +(32 <HV†1R†1$†
 NSS  WHUVIRU+(
 0&6V
 +(3 +(0&6ZLWK,QGH[DQG  3DUDPH &)+(2 <HV†1R†1$†
 NSS  WHUVIRU+(
 0&6V

 +(3 +(0&6ZLWK,QGH[DQG  3DUDPH +(32 <HV†1R†1$†
 NSS  WHUVIRU+(
 0&6V
 +(3 +(0&6ZLWK,QGH[DQG  3DUDPH &)+(2 <HV†1R†1$†
 NSS  WHUVIRU+(
 0&6V

 +(3 +(0&6ZLWK,QGH[DQG  3DUDPH +(32 <HV†1R†1$†
 NSS  WHUVIRU+(
 0&6V
 +(3 +(0&6ZLWK,QGH[DQG  3DUDPH &)+(2 <HV†1R†1$†
 NSS  WHUVIRU+(
 0&6V

 +(3 +(0&6ZLWK,QGH[DQG  3DUDPH +(32 <HV†1R†1$†
 NSS  WHUVIRU+(
 0&6V












&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU



































































 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU



$QQH[&

 QRUPDWLYH 




$61HQFRGLQJRIWKH0$&DQG3+<0,%


 &0,%'HWDLO


 -- **********************************************************************
 -- * Major sections
 -- **********************************************************************
 -- Station ManagemenT (SMT) Attributes
 -- DEFINED AS "The SMT object class provides the necessary support
 -- at the station to manage the processes in the station such that
 -- the station may work cooperatively as a part of an IEEE 802.11
 -- network."

 Change the comment list following the dot11smt definition as follows (not all lines shown):

 dot11smt OBJECT IDENTIFIER ::= { ieee802dot11 1 }
 -- dot11GLKLinkMetricsTable ::= { dot11smt 41 }
 -- dot11HEStationConfigTable ::= { dot11smt 42 }
 -- dot11PPEThresholdsMappingsTable ::= { dot11smt 43 }

 -- MAC Attributes
 -- DEFINED AS "The MAC object class provides the necessary support
 -- for the access control, generation, and verification of frame
 -- check sequences (FCSs), and proper delivery of valid data to
 -- upper layers."

 Change the comment list following the dot11mac definition as follows (not all lines shown):

 dot11mac OBJECT IDENTIFIER ::= { ieee802dot11 2 }

 -- MAC GROUPS
 -- dot11CDMGOperationTable ::= { dot11mac 11 }
 -- dot11MUEDCATable ::= { dot11mac 15 }


 Change Dot11StationConfigEntry as follows (not all lines shown):

 Dot11StationConfigEntry ::= SEQUENCE
 {
 dot11FutureChannelGuidanceActivated TruthValue,
 dot11HEOptionImplemented TruthValue,
 dot11OBSSNarrowBWRUinOFDMATolerated TruthValue,
 dot11HE6GOptionImplemented TruthValue,
 dot11OCTOptionImplemented TruthValue,
 }

 Insert the following after the dot11FutureChannelGuidanceActivated OBJECT-TYPE element in the
 Dot11StationConfig TABLE:

 dot11HEOptionImplemented OBJECT-TYPE
 SYNTAX TruthValue
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable.
 Its value is determined by device capabilities.

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU


 This attribute indicates whether the entity is HE Capable."
 ::= { dot11StationConfigEntry 181}

 dot11OBSSNarrowBWRUinOFDMATolerated OBJECT-TYPE
 SYNTAX TruthValue
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable.
 Its value is determined by device capabilities.

 This attribute indicates whether the AP STA is able to tolerate 26-tone RU UL
 OFDMA transmissions using HE TB PPDU from OBSS (not falsely classify the
 26-tone RU UL OFDMA transmissions as radar pulses)."
 ::= { dot11StationConfigEntry 182 }

 dot11HE6GOptionImplemented OBJECT-TYPE
 SYNTAX TruthValue
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable.
 Its value is determined by device capabilities.

 This attribute indicates whether the entity is capable of operating in the
 6 GHz band."
 ::= { dot11StationConfigEntry 194}

 dot11OCTOptionImplemented OBJECT-TYPE
 SYNTAX TruthValue
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable.
 Its value is determined by device capabilities.

 This attribute, when true, indicates that the station implementation is
 capable of on-channel tunnelling operation. The capability is
 disabled otherwise."
 ::= { dot11StationConfigEntry 187}


 Insert the following after the dot11GLKLinkMetricsTable TABLE:

 -- *********************************************************************
 -- * dot11HEStationConfig TABLE
 -- **********************************************************************

 dot11HEStationConfigTable OBJECT-TYPE
 SYNTAX SEQUENCE OF Dot11HEStationConfigEntry
 MAX-ACCESS not-accessible
 STATUS current
 DESCRIPTION
 "Station Configuration attributes. In tabular form to allow for multiple
 instances on an agent."
 ::= { dot11smt 42 }

 dot11HEStationConfigEntry OBJECT-TYPE
 SYNTAX Dot11HEStationConfigEntry
 MAX-ACCESS not-accessible
 STATUS current
 DESCRIPTION
 "An entry (conceptual row) in the dot11HEStationConfig Table.


 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ifIndex - Each IEEE 802.11 interface is represented by an ifEntry. Inter-


 face tables in this MIB module are indexed by ifIndex."
 INDEX { ifIndex }
 ::= { dot11HEStationConfigTable 1 }

 Dot11HEStationConfigEntry ::=
 SEQUENCE {
 dot11TRSOptionImplemented TruthValue,
 dot11OFDMARandomAccessOptionImplemented TruthValue,
 dot11HEControlFieldOptionImplemented TruthValue,
 dot11OMIOptionImplemented TruthValue,
 dot11HEMCSFeedbackOptionImplemented INTEGER,
 dot11HEDynamicFragmentationLevel INTEGER,
 dot11AMPDUwithMultipleTIDOptionImplemented TruthValue,
 dot11MPDUAskedforAckInMultiTIDAMPDU TruthValue,
 dot11TXOPDurationRTSThreshold Unsigned32,
 dot11PPEThresholdsRequired TruthValue,
 dot11IntraPPDUPowerSaveOptionActivated TruthValue,
 dot11AMSDUFragmentationOptionImplemented TruthValue,
 dot11BSSColorCollisionAPPeriod Unsigned32,
 dot11BSSColorCollisionSTAPeriod Unsigned32,
 dot11AutonomousBSSColorCollisionReportingImplemented TruthValue,
 dot11HEPSROptionImplemented TruthValue,
 dot11HEBSRControlImplemented TruthValue,
 dot11HEBQRControlImplemented TruthValue,
 dot11HECASControlImplemented TruthValue,
 dot11PartialBSSColorImplemented TruthValue,
 dot11ObssNbRuToleranceTime Unsigned32,
 dot11HESubchannelSelectiveTransmissionImplemented TruthValue,
 dot11SRResponderOptionImplemented TruthValue,
 dot11AutonomousBSSColorInUseReportingImplemented TruthValue,

dot11ShortSSIDListImplemented TruthValue,

dot11ColocatedRNRImplemented TruthValue,

dot11SRGAPOBSSPDMinOffset Integer32,

dot11SRGAPOBSSPDMaxOffset Integer32,

dot11SRGAPBSSColorBitmap OCTET STRING,

dot11SRGAPBSSIDBitmap OCTET STRING,

dot11NonSRGAPOBSSPDMaxOffset Integer32,

 dot11HTVHTTriggerOptionImplemented TruthValue,
 dot11HEDynamicSMPowerSaveOptionImplemented TruthValue,
 dot11MUEDCAParametersActived TruthValue,
 dot11CoHostedBSSIDImplemented TruthValue,
 dot11UnsolicitedProbeResponseOptionActivated TruthValue,
 dot11MemberOfColocated6GHzESSOptionActivated TruthValue,
 dot11AckEnabledAMPDUOptionImplemented TruthValue,
 dot11MinPSCProbeDelay Unsigned32
 }

 dot11TRSOptionImplemented OBJECT-TYPE
 SYNTAX TruthValue
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable.
 Its value is determined by device capabilities.

 This attribute, when true, indicates that the station implementation is
 capable of receiving frames with a TRS Control subfield. The capability is
 disabled otherwise."
 DEFVAL { false }
 ::= { dot11HEStationConfigEntry 1 }

 dot11OFDMARandomAccessOptionImplemented OBJECT-TYPE
 SYNTAX TruthValue

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable.
 Its value is determined by device capabilities.

 This attribute, when true, indicates that the station implementation is
 capable of an OFDMA random access operation. The capability is disabled
 otherwise."
 DEFVAL { false }
 ::= { dot11HEStationConfigEntry 2}

 dot11HEControlFieldOptionImplemented OBJECT-TYPE
 SYNTAX TruthValue
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable.
 Its value is determined by device capabilities.

 This attribute, when true, indicates that the station implementation is
 capable of receiving the HE variant HT Control field. The capability is
 disabled otherwise."
 DEFVAL { false }
 ::= { dot11HEStationConfigEntry 3}

 dot11OMIOptionImplemented OBJECT-TYPE
 SYNTAX TruthValue
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable.

Its value is determined by device capabilities.


This attribute, when true, indicates that the station implementation is

capable of receiving frames with an OM Control subfield. The capability is

disabled otherwise."

DEFVAL { false }

::= { dot11HEStationConfigEntry 4}


 dot11HEMCSFeedbackOptionImplemented OBJECT-TYPE
 SYNTAX INTERGER {none(0), unsolicited(2), solicitedandunsolicited(3)}
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable.
 Its value is determined by device capabilities.

 This attribute indicates the HE-MCS feedback capability supported by the
 station implementation."
 DEFVAL { 0 }
 ::= { dot11HEStationConfigEntry 5}

 dot11HEDynamicFragmentationLevel OBJECT-TYPE
 SYNTAX INTEGER{hedynamicfragmentationlevel1(1), hedynamicfragmentationlev-
 el2(2), hedynamicfragmentationlevel3(3)}
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable.
 Its value is determined by device capabilities.

 HEDynamicFragmentationLevel1 indicates support for up to one dynamic frag-
 ment that is a non-A-MPDU frame, no support for dynamic fragments within

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 an A-MPDU that does not contain an S-MPDU.



 HEDynamicFragmentationLevel2 indicates support for up to one dynamic frag-
 ment that is a non-A-MPDU frame and support for up to one dynamic fragment
 for each MSDU, each A-MSDU (if supported by the recipient) and one MMPDU
 (if present) within an A-MPDU that does not contain an S-MPDU.

 HEDynamicFragmentationLevel3 indicates support for up to one dynamic frag-
 ment that is a non-A-MPDU frame and support for up to 4 dynamic fragments
 for each MSDU and for each A-MSDU (if supported by the recipient) within
 an A-MPDU and up to one dynamic fragment for one MMPDU (if present) in an
 A-MPDU that does not contain an S-MPDU"
 ::= { dot11HEStationConfigEntry 6}

 dot11HEAMPDUwithMultipleTIDOptionImplemented OBJECT-TYPE
 SYNTAX TruthValue
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable.
 Its value is determined by device capabilities.

 This attribute, when true, indicates that the station implementation is
 capable of receiving an A-MPDU that contains QoS Data frames with two or
 more different TID values. The capability is disabled otherwise."
 DEFVAL { false }
 ::= { dot11HEStationConfigEntry 7}

 dot11MPDUAskedforAckInMultiTIDAMPDU OBJECT-TYPE
 SYNTAX TruthValue
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable.

Its value is determined by device capabilities.


This attribute, when true, indicates that the station implementation is

capable of receiving a multi-TID A-MPDU that can solicit either Ack or

BlockAck, or both. The capability is disabled otherwise."

DEFVAL { false }

::= { dot11HEStationConfigEntry 8}


 dot11TXOPDurationRTSThreshold OBJECT-TYPE
 SYNTAX Unsigned32 (1..1023)
 UNITS "32 microseconds"
 MAX-ACCESS read-write
 STATUS current
 DESCRIPTION
 "This is a control variable.
 It is written by an external management entity or by the MAC of a non-AP
 HE STA upon receiving an HE Operation element from the HE AP with which it
 is associated.
 Changes take effect as soon as practical in the implementation.

 This attribute indicates the duration of the transmission or TXOP above
 which an RTS/CTS handshake is performed. The value 1023 means this feature
 is disabled."
 DEFVAL { 1023 }
 ::= { dot11HEStationConfigEntry 9 }

 dot11PPEThresholdsRequired OBJECT-TYPE
 SYNTAX TruthValue
 MAX-ACCESS read-only
 STATUS current

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 DESCRIPTION
 "This is a capability variable.
 Its value is determined by device capabilities.
 This attribute, when true, indicates that PPE thresholds exist and are
 provided in dot11PPEThresholdsTable."
 DEFVAL { false }
 ::= { dot11HEStationConfigEntry 10 }

 dot11IntraPPDUPowerSaveOptionActivated OBJECT-TYPE
 SYNTAX TruthValue
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable.
 Its value is determined by device capabilities.

 This attribute, when true, indicates that the station implementation is
 capable of Intra PPDU Power Save operation. The capability is disabled
 otherwise."
 DEFVAL { false }
 ::= { dot11HEStationConfigEntry 11 }

 dot11AMSDUFragmentationOptionImplemented OBJECT-TYPE
 SYNTAX TruthValue
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable. Its value is determined by device
 capabilities.

 This attribute, when true, indicates that the STA implementation is
 capable of receiving dynamic fragments of A-MSDUs. The capability is
 disabled otherwise."

DEFVAL { false }

::= { dot11HEStationConfigEntry 12 }


dot11BSSColorCollisionAPPeriod OBJECT-TYPE

SYNTAX Unsigned32 (50..255)

UNITS "seconds"

 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "The attribute indicates the duration for which an HE AP shall wait before
 disabling BSS color. The minimum value of this variable is 50."
 DEFVAL { 50 }
 ::= { dot11HEStationConfigEntry 13 }

 dot11BSSColorCollisionSTAPeriod OBJECT-TYPE
 SYNTAX Unsigned32 (5..10)
 UNITS "seconds"
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "The attribute indicates the interval between successive BSS color
 collision reports. The maximum value of this variable is 10."
 DEFVAL { 5 }
 ::= { dot11HEStationConfigEntry 14 }

 dot11AutonomousBSSColorCollisionReportingImplemented OBJECT-TYPE
 SYNTAX TruthValue
 MAX-ACCESS read-write
 STATUS current
 DESCRIPTION
 "This is a capability variable.

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 Its value is determined by device capabilities.


 This attribute, when true, indicates that autonomously detecting and
 reporting of BSS color collision is implemented."
 DEFVAL { false }
 ::= { dot11HEStationConfigEntry 15 }

 dot11HEPSROptionImplemented OBJECT-TYPE
 SYNTAX TruthValue
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable. Its value is determined by device
 capabilities.

 This attribute, when true, indicates that the STA implementation is
 capable of transmitting Spatial Reuse Parameters in HE PPDUs. The
 capability is disabled otherwise."
 DEFVAL { false }
 ::= { dot11HEStationConfigEntry 16 }

 dot11HEBSRControlImplemented OBJECT-TYPE
 SYNTAX TruthValue
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable.
 Its value is determined by device capabilities.

 This attribute, when true, indicates that the station implementation is
 capable of receiving frames with a BSR Control subfield. The capability is
 disabled otherwise."

DEFVAL { false }

::= { dot11HEStationConfigEntry 17 }


dot11HEBQRControlImplemented OBJECT-TYPE

SYNTAX TruthValue

MAX-ACCESS read-only

 STATUS current
 DESCRIPTION
 "This is a capability variable.
 Its value is determined by device capabilities.

 This attribute, when true, indicates that the station implementation is
 capable of receiving frames with a BQR Control subfield. The capability is
 disabled otherwise."
 DEFVAL { false }
 ::= { dot11HEStationConfigEntry 18 }

 dot11HECASControlImplemented OBJECT-TYPE
 SYNTAX TruthValue
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable.
 Its value is determined by device capabilities.

 This attribute, when true, indicates that the station implementation is
 capable of receiving frames with a CAS Control subfield. The capability is
 disabled otherwise."
 DEFVAL { false }
 ::= { dot11HEStationConfigEntry 19 }

 dot11PartialBSSColorImplemented OBJECT-TYPE
 SYNTAX TruthValue

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable.
 Its value is determined by device capabilities.
 This attribute, when true, indicates that the partial BSS color (see
 27.16.3 (AID assignment)) is implemented. The capability is disabled oth-
 erwise."
 DEFVAL { false }
 ::= { dot11HEStationConfigEntry 20 }

 dot11ObssNbRuToleranceTime OBJECT-TYPE
 SYNTAX Unsigned32 (0..3600)
 UNITS "seconds"
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This attribute indicates the minimum time that needs to pass since the
 reception of the last Beacon frame from an OBSS AP that did not indicate
 tolerance to narrow bandwidth RU in OFDMA before the STA can transmit a
 Trigger frame or TRS Control subfield that allocates a 26-tone RU, or
 transmit an HE TB PPDU in a 26-tone RU."
 DEFVAL { 1800 }
 ::= { dot11HEStationConfigEntry 21 }

 dot11HESubchannelSelectiveTransmissionImplemented OBJECT-TYPE
 SYNTAX TruthValue
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable.
 Its value is determined by device capabilities.
 This attribute, when true, indicates that an HE subchannel selective
 transmission operation is implemented. The capability is disabled other-
 wise."

DEFVAL { false }

::= { dot11HEStationConfigEntry 22 }


dot11SRResponderOptionImplemented OBJECT-TYPE

SYNTAX TruthValue

MAX-ACCESS read-only

 STATUS current
 DESCRIPTION
 "This is a capability variable.
 Its value is determined by device capabilities.

 This attribute, when true, indicates that the PSR-based PSRT PPDU recep-
 tion (see 26.10.3 (PSR-based spatial reuse operation)) is implemented. The
 capability is disabled otherwise."
 DEFVAL { false }
 ::= { dot11HEStationConfigEntry 23 }

 dot11AutonomousBSSColorInUseReportingImplemented OBJECT-TYPE
 SYNTAX TruthValue
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable.
 Its value is determined by device capabilities.

 This attribute, when true, indicates that autonomously
 reporting of BSS color in use is implemented."
 DEFVAL { false }
 ::= { dot11HEStationConfigEntry 24 }

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU


 dot11ShortSSIDListImplemented OBJECT-TYPE
 SYNTAX TruthValue
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable. Its value is determined by device capabil-
 ities.

 This attribute, when true, indicates that the STA implementation is capa-
 ble of transmitting and receiving Short SSID List element in Probe Request
 frames. The capability is disabled otherwise."
 DEFVAL { false }
 ::= { dot11HEStationConfigEntry 25 }

 dot11ColocatedRNRImplemented OBJECT-TYPE
 SYNTAX TruthValue
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable. Its value is determined by device capabil-
 ities.

 This attribute, when true, indicates that the STA implementation is capa-
 ble of transmitting or receiving a Reduced Neighbor Report element carry-
 ing information on APs that are in the same co-located AP set as the
 reporting AP in Probe Response, Beacon and FILS Discovery frames. The
 capability is disabled otherwise."
 DEFVAL { false }
 ::= { dot11HEStationConfigEntry 26 }

 dot11SRGAPOBSSPDMinOffset OBJECT-TYPE
 SYNTAX Integer32
 UNITS "dBm"
 MAX-ACCESS read-only
 STATUS current

DESCRIPTION

"This is a control variable.

It is written by an external management entity.

Changes take effect as soon as practical in the implementation.


This attribute indicates the SRG OBSS PD Min Offset for an AP."

 DEFVAL { 0 }
 ::= { dot11HEStationConfigEntry 27 }

 dot11SRGAPOBSSPDMaxOffset OBJECT-TYPE
 SYNTAX Integer32
 UNITS "dBm"
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a control variable.
 It is written by an external management entity.
 Changes take effect as soon as practical in the implementation.

 This attribute indicates the SRG OBSS PD Max Offset for an AP."
 DEFVAL { 0 }
 ::= { dot11HEStationConfigEntry 28 }

 dot11SRGAPBSSColorBitmap OBJECT-TYPE
 SYNTAX OCTET STRING (SIZE(8))
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 "This is a control variable.


 This variable is a 64 bit bitmap that indicates which BSS color values are
 used by members of the SRG of which the AP is a member.
 It is written by an external management entity.
 Changes take effect as soon as practical in the implementation.

 This attribute indicates the SRG BSS Color Bitmap for an AP."
 ::= { dot11HEStationConfigEntry 29 }

 dot11SRGAPBSSIDBitmap OBJECT-TYPE
 SYNTAX OCTET STRING (SIZE(8))
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a control variable.
 This variable is a 64 bit bitmap that indicates which Partial BSSID values
 are used by members of the SRG of which the AP is a member.
 It is written by an external management entity.
 Changes take effect as soon as practical in the implementation.

 This attribute indicates the SRG BSSID Bitmap for an AP."
 ::= { dot11HEStationConfigEntry 30 }

 dot11NonSRGAPOBSSPDMaxOffset OBJECT-TYPE
 SYNTAX Integer32
 UNITS "dBm"
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a control variable.
 It is written by an external management entity.
 Changes take effect as soon as practical in the implementation.


This attribute indicates the Non SRG OBSS PD Max Offset for an AP."

DEFVAL { 0 }

::= { dot11HEStationConfigEntry 31 }


dot11HTVHTTriggerOptionImplemented OBJECT-TYPE

 SYNTAX TruthValue
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable.
 Its value is determined by device capabilities.

 This attribute, when true, indicates that the STA implementation is capa-
 ble of receiving Trigger frames in HT PPDUs and VHT PPDUs. The capability
 is disabled, otherwise."
 DEFVAL { false }
 ::= { dot11HEStationConfigEntry 32 }

 dot11HEDynamicSMPowerSaveOptionImplemented OBJECT-TYPE
 SYNTAX TruthValue
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable. Its value is determined by device
 capabilities.

 This attribute, when true, indicates that the STA implementation is
 capable of enabling its multiple receive chains when it receives a
 Trigger frame. The capability is disabled otherwise."
 DEFVAL { false }
 ::= { dot11HEStationConfigEntry 33 }

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU


 dot11MUEDCAParametersActived OBJECT-TYPE
 SYNTAX TruthValue
 MAX-ACCESS read-write
 STATUS current
 DESCRIPTION
 "This is a control variable used only if the STA is an AP. It is set to
 true by an AP that advertises MU EDCA parameters so that its associated
 STAs use MU EDCA parameters."
 DEFVAL { true }
 ::= { dot11HEStationConfigEntry 34 }

 dot11CoHostedBSSIDImplemented OBJECT-TYPE
 SYNTAX TruthValue
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable.
 Its value is determined by device capabilities.
 This attribute, when true, indicates that the station implementation is
 capable of supporting Co-Hosted BSSID."
 DEFVAL { false }
 ::= { dot11HEStationConfigEntry 35 }

 dot11UnsolicitedProbeResponseOptionActivated OBJECT-TYPE
 SYNTAX TruthValue
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION

"This is a control variable.


This attribute, when true, indicates that the station implementation is an

AP and schedules for transmission unsolicited Probe Response frames every

20 TUs or less (see 26.17.2.3.2 (AP behavior for fast passive scanning)).

The capability is disabled otherwise."

::= { dot11HEStationConfigEntry 36 }


dot11MemberOfColocated6GHzESSOptionActivated OBJECT-TYPE

 SYNTAX TruthValue
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a control variable.

 This attribute, when true, indicates that the station implementation is an
 AP that operates in the 6 GHz band and is part of an ESS where each AP has
 a corresponding AP operating in the 2.4 GHz or 5 GHz band that is in the
 same co-located AP set as that AP (see 26.17.2.4 (Out of band discovery of
 a 6 GHz BSS)). The capability is disabled otherwise."
 ::= { dot11HEStationConfigEntry 37 }

 dot11AckEnabledAMPDUOptionImplemented OBJECT-TYPE
 SYNTAX TruthValue
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable.
 Its value is determined by device capabilities.

 This attribute, when true, indicates that the station implementation is
 capable of receiving ack-enabled single-TID A-MPDU. The capability is dis-
 abled otherwise."
 ::= { dot11HEStationConfigEntry 38 }


&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 dot11MinPSCProbeDelay OBJECT-TYPE
 SYNTAX Unsigned32 (5484..100000)
 UNITS "microseconds"
 MAX-ACCESS read-write
 STATUS current
 DESCRIPTION
 "This is a control variable.
 It is written by an external management entity.
 Changes take effect as soon as practical in the implementation.

 A STA does not send a Probe Request frame if it is scanning a preferred
 scanning channel in the 6 GHz band unless the channel has been continu-
 ously idle for this duration since the start of the scan on that channel."
 DEFVAL { 7000 }
 ::= { dot11HEStationConfigEntry 39 }


 -- ********************************************************************
 -- * End of dot11HEStationConfigTable TABLE
 -- ********************************************************************

 -- **********************************************************************
 -- * dot11PPEThresholdsMappings TABLE
 -- **********************************************************************
 dot11PPEThresholdsMappingsTable OBJECT-TYPE
 SYNTAX SEQUENCE OF Dot11PPEThresholdsMappingsEntry
 MAX-ACCESS not-accessible
 STATUS current
 DESCRIPTION
 "A conceptual table for PPE thresholds mappings, which determines the nom-
 inal packet padding value as a function of the two PPE thresholds, PPET8
 and PPET16, for an HE PPDU of a particular RU allocation size and NSTS
 value. The MIB supports the ability to share separate PPE thresholds for
 each NSTS/RU pair. The thresholds mappings table contains one entry for
 each NSTS/RU pair and contains two fields for each entry: PPET8 and
 PPET16."

REFERENCE "IEEE Std 802.11-<year>, 26.12 (HE PPDU post-FEC padding and packet

extension)"

::= { dot11smt 43}


dot11PPEThresholdsMappingsEntry OBJECT-TYPE

SYNTAX Dot11PPEThresholdsMappingsEntry

MAX-ACCESS not-accessible

 STATUS current
 DESCRIPTION
 "An Entry (conceptual row) in the PPE Thresholds Mappings Table.
 ifIndex - Each IEEE Std 802.11 interface is represented by an ifEntry.
 Interface tables in this MIB module are indexed by ifIndex."
 INDEX { ifIndex, dot11PPEThresholdsMappingIndex }
 ::= { dot11PPEThresholdsMappingsTable 1 }

 Dot11PPEThresholdsMappingsEntry ::= SEQUENCE {
 dot11PPEThresholdsMappingIndex Unsigned32,
 dot11PPEThresholdsMappingNSS Unsigned32,
 dot11PPEThresholdsMappingRUIndex Unsigned32,
 dot11PPEThresholdsMappingPPET8 INTEGER,
 dot11PPEThresholdsMappingPPET16 INTEGER,
 dot11PPEThresholdsMappingStatus RowStatus}

 dot11PPEThresholdsMappingIndex OBJECT-TYPE
 SYNTAX Unsigned32
 MAX-ACCESS not-accessible
 STATUS current
 DESCRIPTION

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 "The auxiliary variable used to identify instances of the columnar objects


 in the PPE Thresholds Mappings Table."
 ::= { dot11PPEThresholdsMappingsEntry 1 }

 dot11PPEThresholdsMappingNSS OBJECT-TYPE
 SYNTAX Unsigned32
 MAX-ACCESS read-create
 STATUS current
 DESCRIPTION
 "The NSS value portion of the NSS/RU pair for which the values from this
 Thresholds mapping entry are to be used."
 ::= { dot11PPEThresholdsMappingsEntry 2 }

 dot11PPEThresholdsMappingRUIndex OBJECT-TYPE
 SYNTAX Unsigned32
 MAX-ACCESS read-create
 STATUS current
 DESCRIPTION
 "The index of the RU value portion of the NSS/RU pair for which the values
 from this thresholds mapping entry are to be used. The index values map to
 an RU as follows: RU Index of 0 is 242 tones, 1 is 448 tones, 2 is 996
 tones, 3 is 2x996 tones."
 ::= { dot11PPEThresholdsMappingsEntry 3 }

 dot11PPEThresholdsMappingPPET8 OBJECT-TYPE
 SYNTAX INTEGER{BPSK(0), QPSK(1), 16-QAM(2), 64-QAM(3), 256-QAM(4), 1024-
 QAM(5), NONE(7)}
 MAX-ACCESS read-create
 STATUS current
 DESCRIPTION
 "An index that determines a constellation value at or above which a nomi-
 nal packet padding value of at least 8 microseconds is required for the
 given NSS/RU pair corresponding to the row of the entry."
 ::= { dot11PPEThresholdsMappingsEntry 4 }

 dot11PPEThresholdsMappingPPET16 OBJECT-TYPE
 SYNTAX INTEGER{BPSK(0), QPSK(1), 16-QAM(2), 64-QAM(3), 256-QAM(4), 1024-
 QAM(5), NONE(7)}
 MAX-ACCESS read-create
 STATUS current
 DESCRIPTION
 "An index that determines a constellation value at or above which a nomi-
 nal packet padding value of 16 microseconds is required for the given NSS/
 RU pair corresponding to the row of the entry."
 ::= { dot11PPEThresholdsMappingsEntry 5 }

 dot11PPEThresholdsMappingStatus OBJECT-TYPE
 SYNTAX RowStatus
 MAX-ACCESS read-create
 STATUS current
 DESCRIPTION
 "The status column used for creating, modifying, and deleting instances of
 the columnar objects in the PPE thresholds mapping table."
 DEFVAL { active }
 ::= { dot11PPEThresholdsMappingsEntry 6 }

 -- **********************************************************************
 -- * End of dot11PPEThresholdsMappings TABLE
 -- **********************************************************************


 Change dot11RTSThreshold as follows:

 dot11RTSThreshold OBJECT-TYPE
 SYNTAX Unsigned32 (0..4692480 6500631)

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 MAX-ACCESS read-write
 STATUS current
 DESCRIPTION
 "This is a control variable.
 It is written by an external management entity.
 Changes take effect as soon as practical in the implementation.

 This attribute indicates the number of octets in a PSDU, below which an
 RTS/CTS handshake is not performed if dot11TXOPDurationRTSThreshold is
 1023 or it is not present, except as RTS/CTS is used as a cross modulation
 protection mechanism as defined in 10.27 (Protection mechanisms). An RTS/
 CTS handshake is performed at the beginning of any frame exchange sequence
 where the PSDU contains an MPDU with the Type subfield equal to Data or
 Management and an individual address in the Address 1 field, and the
 length of the PSDU is greater than this threshold. Setting this attribute
 to be larger than the maximum PSDU size has the effect of turning off the
 RTS/CTS handshake for frames of Data or Management type transmitted by
 this STA. Setting this attribute to 0 has the effect of turning on the
 RTS/CTS handshake for all frames of Data or Management type transmitted by
 this STA."
 DEFVAL { 4692480 6500631 }
 ::= { dot11OperationEntry 2 }

 Insert the following after the end of dot11CDMGOperationTable:

 -- **********************************************************************
 -- * SMT MU EDCA Config TABLE
 -- **********************************************************************

 dot11MUEDCATable OBJECT-TYPE
 SYNTAX SEQUENCE OF Dot11MUEDCAEntry
 MAX-ACCESS not-accessible
 STATUS current
 DESCRIPTION
 "Conceptual table for MU EDCA parameter values at a non-AP STA. This table
 contains the four entries of the MU EDCA parameters corresponding to four
 possible ACs. Index 1 corresponds to AC_BK, index 2 to AC_BE, index 3 to
 AC_VI, and index 4 to AC_VO."

 ::= { dot11mac 15 }

 dot11MUEDCAEntry OBJECT-TYPE
 SYNTAX Dot11MUEDCAEntry
 MAX-ACCESS not-accessible
 STATUS current
 DESCRIPTION
 "An Entry (conceptual row) in the MU EDCA Table.

 ifIndex - Each IEEE 802.11 interface is represented by an ifEntry. Inter-
 face tables in this MIB module are indexed by ifIndex."
 INDEX { ifIndex, dot11MUEDCATableIndex }
 ::= { dot11MUEDCATable 1 }

 Dot11MUEDCAEntry ::=
 SEQUENCE {
 dot11MUEDCATableIndex Unsigned32,
 dot11MUEDCATableCWmin Unsigned32,
 dot11MUEDCATableCWmax Unsigned32,
 dot11MUEDCATableAIFSN Unsigned32,
 dot11MUEDCATableTimer Unsigned32
 }

 dot11MUEDCATableIndex OBJECT-TYPE
 SYNTAX Unsigned32 (1..4)
 MAX-ACCESS not-accessible

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 STATUS current
 DESCRIPTION
 "The auxiliary variable used to identify instances of the columnar objects
 in the MU EDCA Table. The value of this variable is
 1, if the value of the AC is AC_BK.
 2, if the value of the AC is AC_BE.
 3, if the value of the AC is AC_VI.
 4, if the value of the AC is AC_VO."
 ::= { dot11MUEDCAEntry 1 }

 dot11MUEDCATableCWmin OBJECT-TYPE
 SYNTAX Unsigned32 (0..255)
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a control variable.
 It is written by the MAC upon receiving an MU EDCA Parameter Set.
 Changes take effect as soon as practical in the implementation.

 This attribute specifies the value of the minimum size of the window that
 is used by a STA for a particular AC for generating a random number for
 the backoff. The value of this attribute is such that it could always be
 expressed in the form of 2**X - 1, where X is an integer. "
 ::= { dot11MUEDCAEntry 2 }

 dot11MUEDCATableCWmax OBJECT-TYPE
 SYNTAX Unsigned32 (0..65535)
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a control variable.
 It is written by the MAC upon receiving an MU EDCA Parameter Set.

Changes take effect as soon as practical in the implementation.


This attribute specifies the value of the maximum size of the window that

is used by a STA for a particular AC for generating a random number for

the backoff. The value of this attribute is such that it could always be

expressed in the form of 2**X - 1, where X is an integer. "

::= { dot11MUEDCAEntry 3 }


dot11MUEDCATableAIFSN OBJECT-TYPE

 SYNTAX Unsigned32 (0..15)
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a control variable.
 It is written by the MAC upon receiving an MU EDCA Parameter Set element.
 Changes take effect as soon as practical in the implementation.

 This attribute specifies the number of slots, after a SIFS, that the STA,
 for a particular AC, senses the medium idle either before transmitting or
 executing a backoff. "
 ::= { dot11MUEDCAEntry 4 }


 dot11MUEDCATableTimer OBJECT-TYPE
 SYNTAX Unsigned32 (1..255)
 UNITS "8 TUs"
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a control variable.
 It is written by an external management entity.
 Changes take effect as soon as the STA sends a frame in response to a

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 Basic Trigger frame.



 This attribute specifies the duration of time during which the HE STA uses
 the MU EDCA parameters for the corresponding AC."
 REFERENCE
 "26.2.7 (EDCA operation using MU EDCA parameters)"
 ::= { dot11MUEDCAEntry 5 }



 -- **********************************************************************
 -- * End of MU EDCA Config TABLE
 -- **********************************************************************


 Change dot11PHYType as follows:

 dot11PHYType OBJECT-TYPE
 SYNTAX INTEGER {
 fhss(1),
 dsss(2),
 irbaseband(3),
 ofdm(4),
 hrdsss(5),
 erp(6),
 ht(7)
 dmg(8),
 vht(9),
 tvht(10),
 s1g(11),
 cdmg(12),
 cmmg(13),
 he (14)}
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a status variable.
 It is written by the PHY.

 This is an 8-bit integer value that identifies the PHY type supported by
 the attached PLCP and PMD. Currently defined values and their correspond-
 ing PHY types are:

 FHSS 2.4 GHz = 01, DSSS 2.4 GHz = 02, IR Baseband = 03,
 OFDM = 04, HRDSSS = 05, ERP = 06, HT = 07, DMG = 08, VHT = 09,
 TVHT = 10, S1G = 11, CDMG = 12, CMMG = 13, HE = 14"
 ::= { dot11PhyOperationEntry 1 }


 Change dot11PhyVHTEntry as follows:


 Dot11PhyVHTEntry ::=
 SEQUENCE {
 dot11VHTChannelWidthOptionImplemented INTEGER,
 dot11CurrentChannelWidth INTEGER,
 dot11CurrentChannelCenterFrequencyIndex0 Unsigned32,
 dot11CurrentChannelCenterFrequencyIndex1 Unsigned32,
 dot11EightyMHzOperationImplemented TruthValue,
 dot11VHTShortGIOptionIn80Implemented TruthValue,
 dot11VHTShortGIOptionIn80Activated TruthValue,
 dot11VHTShortGIOptionIn160and80p80Implemented TruthValue,
 dot11VHTShortGIOptionIn160and80p80Activated TruthValue,
 dot11VHTLDPCCodingOptionImplemented TruthValue,
 dot11VHTLDPCCodingOptionActivated TruthValue,

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 dot11VHTTxSTBCOptionImplemented TruthValue,
 dot11VHTTxSTBCOptionActivated TruthValue,
 dot11VHTRxSTBCOptionImplemented TruthValue,
 dot11VHTRxSTBCOptionActivated TruthValue,
 dot11VHTMUMaxUsersImplemented Unsigned32,
 dot11VHTMUMaxNSTSPerUserImplemented Unsigned32,
 dot11VHTMUMaxNSTSTotalImplemented Unsigned32,
 dot11VHTMaxNTxChainsImplemented Unsigned32,
 dot11VHTMaxNTxChainsActivated Unsigned32,
 }


 Insert the following after dot11VHTMaxNTxChainsActivated:


 dot11EightyMHzOperationImplemented OBJECT-TYPE
 SYNTAX TruthValue
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable.
 Its value is determined by device capabilities.

 This attribute, when true, indicates that the 80 MHz operation is
 implemented"
 DEFVAL { false }
 ::= { dot11PhyVHTEntry 20 }


 Insert the following after end of the dot11 TVHT Transmit Beamforming Config TABLE:


 -- **********************************************************************
 -- * dot11 Phy HE TABLE
 -- **********************************************************************
 dot11PhyHETable OBJECT-TYPE
 SYNTAX SEQUENCE OF Dot11PhyHEEntry
 MAX-ACCESS not-accessible
 STATUS current
 DESCRIPTION
 "Entry of attributes for dot11PhyHETable. Implemented as a table indexed
 on ifIndex to allow for multiple instances on an Agent."
 ::= { dot11phy 31 }

 dot11PhyHEEntry OBJECT-TYPE
 SYNTAX Dot11PhyHEEntry
 MAX-ACCESS not-accessible
 STATUS current
 DESCRIPTION
 "An entry in dot11PhyHEEntryTable. ifIndex - Each IEEE Std 802.11
 interface is represented by an ifEntry. Interface tables in this MIB
 module are indexed by ifIndex."
 INDEX {ifIndex}
 ::= { dot11PhyHETable 1 }

 Dot11PhyHEEntry ::=
 SEQUENCE {
 dot11HECurrentChannelWidthSet Unsigned32,
 dot11HEPuncturedPreambleRxImplemented OCTET STRING,
 dot11HEDeviceClass TruthValue,
 dot11HELDPCCodingInPayloadImplemented TruthValue,
 dot11HESUPPDUwith1xHELTFand0point8GIlmplemented TruthValue,
 dot11HESUPPDUandHEMUPPDUwith4xHELTFand0point8GIlmplemented
 TruthValue,
 dot11HEERSUPPDUwith4xHELTFand0point8GIImplemented TruthValue,

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 dot11HEERSUPPDUwith1xHELTFand0point8GIImplemented TruthValue,
 dot11HEMidambleRxMaxNSTS Unsigned32,
 dot11HENDPwith4xHELTFand3point2GIImplemented TruthValue,
 dot11HESTBCTxLessThanOrEqualTo80Implemented TruthValue,
 dot11HESTBCRxLessThanOrEqualTo80Implemented TruthValue,
 dot11HESTBCTxGreaterThan80Implemented TruthValue,
 dot11HESTBCRxGreaterThan80Implemented TruthValue,
 dot11HEDopplerTxImplemented TruthValue,
 dot11HEDopplerRxImplemented TruthValue,
 dot11HEDCMImplemented TruthValue,
 dot11HEFullBWULMUMIMOImplemented TruthValue,
 dot11HEPartialBWULMUMIMOImplemented TruthValue,
 dot11HEPartialBWDLMUMIMOImplemented TruthValue,
 dot11HEULMUPayloadImplemented TruthValue,
 dot11HEPSRbasedSRSupportImplemented TruthValue,
 dot11HEPowerBoostFactorImplemented TruthValue,
 dot11HEPartialBWERSUPayloadImplemented TruthValue,
 dot11HEPuncturedSoundingOptionImplemented TruthValue
 }

 dot11HECurrentChannelWidthSet OBJECT-TYPE
 SYNTAX Unsigned32 (0..6)
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION

"This is a status variable.


This attribute specifies the channel width set, equal to 0 for a 40 MHz

channel width in the 2.4 GHz band, equal to 1 for a 40 MHz and 80 MHz chan-

nel width in the 5 GHz or 6 GHz band, equal to 2 for a 160 MHz channel

width in the 5 GHz or 6 GHz band, equal to 3 for a 160/80+80 MHz channel

width in the 5 GHz or 6 GHz band, equal to 4 for 242-tone RUs in a 40 MHz

HE MU PPDU in the 2.4 GHz band, equal to 5 for 242-tone RUs in a 40 MHz,

80 MHz, 160 MHz, and 80+80 MHz HE MU PPDU in the 5 GHz or 6 GHz band, and

the value 6 is reserved."

::= { dot11PhyHEEntry 1}


 dot11HEPuncturedPreambleRxImplemented OBJECT-TYPE
 SYNTAX OCTET STRING(SIZE(2))
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable.
 Its value is determined by device capabilities.

 This attribute indicates the preamble prunctured channel, equal to 0 for
 the reception of an 80 MHz preamble where the secondary 20 MHz subchannel
 is punctured, equal to 1 for the reception of an 80 MHz preamble where one
 of the two 20 MHz subchannels in the secondary 40 MHz is punctured, equal
 to 2 for the reception of a 160 MHz or 80+80 MHz preamble where in the pri-
 mary 80 MHz of the preamble only the secondary 20 MHz is punctured, and
 equal to 3 for the reception of a 160 MHz or 80+80 MHz preamble where in
 the primary 80 MHz of the preamble, the primary 40 MHz is present."
 ::= { dot11PhyHEEntry 2}

 dot11HEDeviceClass OBJECT-TYPE
 SYNTAX TruthValue
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable.
 Its value is determined by device capabilities.
 This attribute, when true, indicates that the non-AP STA is operating as
 a Class A device. When false, this attribute indicates that the non-AP STA

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 is operating as a Class B device."


 ::= { dot11PhyHEEntry 3}

 dot11HELDPCCodingInPayloadImplemented OBJECT-TYPE
 SYNTAX TruthValue
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable.
 Its value is determined by device capabilities.

 This attribute, when true, indicates that the STA is capable of transmit-
 ting and receiving LDPC encoded packets. This capability is disabled oth-
 erwise."
 DEFVAL { false }
 ::= { dot11PhyHEEntry 4}

 dot11HESUPPDUwith1xHELTFand0point8GIlmplemented OBJECT-TYPE
 SYNTAX TruthValue
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable.
 Its value is determined by device capabilities.

 This attribute, when true, indicates that the non-AP STA is capable of
 receiving an HE SU PPDU with 1x HE-LTF and 0.8 microsecond guard interval
 duration. This capability is disabled otherwise."
 DEFVAL { false }
 ::= { dot11PhyHEEntry 5}

 dot11HESUPPDUandHEMUPPDUwith4xHELTFand0point8GIlmplemented OBJECT-TYPE

SYNTAX TruthValue

MAX-ACCESS read-only

STATUS current

DESCRIPTION

"This is a capability variable.

Its value is determined by device capabilities.


 This attribute, when true, indicates that the non-AP STA is capable of
 receiving an HE SU PPDU and HE MU PPDU with 4x HE-LTF and 0.8 microsecond
 guard interval duration. This capability is disabled otherwise."
 DEFVAL { false }
 ::= { dot11PhyHEEntry 6}

 dot11HEERSUPPDUwith4xHELTFand0point8GIImplemented OBJECT-TYPE
 SYNTAX TruthValue
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable.
 Its value is determined by device capabilities.

 This attribute, when true, indicates that the non-AP STA is capable of
 receiving an HE ER SU PPDU with 4x HE-LTF and 0.8 microsecond guard inter-
 val duration. This capability is disabled otherwise."
 DEFVAL { false }
 ::= { dot11PhyHEEntry 7}

 dot11HEERSUPPDUwith1xHELTFand0point8GIImplemented OBJECT-TYPE
 SYNTAX TruthValue
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 "This is a capability variable.


 Its value is determined by device capabilities.

 This attribute, when true, indicates that the non-AP STA is capable of
 receiving an HE ER SU PPDU with 1x HE-LTF and 0.8 microsecond guard inter-
 val duration. This capability is disabled otherwise."
 DEFVAL { false }
 ::= { dot11PhyHEEntry 8}

 dot11HEMidambleRxMaxNSTS OBJECT-TYPE
 SYNTAX Unsigned32 (0..3)
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable.
 Its value is determined by device capabilities.

 This attribute specifies the maximum number of space-time streams sup-
 ported for reception when a midamble is present in the Data field, equal
 to 0 for 1 space-time stream, equal to 1 for 2 space-time streams, equal
 to 2 for 3 space-time streams, and equal to 3 for 4 space-time streams."
 DEFVAL { 0 }
 ::= { dot11PhyHEEntry 9 }

 dot11HENDPwith4xHELTFand3point2GIImplemented OBJECT-TYPE
 SYNTAX TruthValue
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable.
 Its value is determined by device capabilities.


This attribute, when true, indicates that the non-AP STA is capable of

receiving an NDP with 4x HE-LTF and 3.2 microsecond guard interval dura-

tion. This capability is disabled otherwise."

DEFVAL { false }

::= { dot11PhyHEEntry 10 }


dot11HESTBCTxLessThanOrEqualTo80Implemented OBJECT-TYPE

 SYNTAX TruthValue
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable.
 Its value is determined by device capabilities.

 This attribute, when true, indicates that the non-AP STA is capable of
 transmitting an HE PPDU that has a bandwidth less than or equal to 80 MHz
 and is using STBC with one spatial stream. This capability is disabled
 otherwise."
 DEFVAL { false }
 ::= { dot11PhyHEEntry 11 }

 dot11HESTBCRxLessThanOrEqualTo80Implemented OBJECT-TYPE
 SYNTAX TruthValue
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable.
 Its value is determined by device capabilities.

 This attribute, when true, indicates that the non-AP STA is capable of
 receiving an HE PPDU that has a bandwidth less than or equal to 80 MHz and
 is using STBC with one spatial stream. This capability is disabled other-

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 wise."
 DEFVAL { false }
 ::= { dot11PhyHEEntry 12 }

 dot11HESTBCTxGreaterThan80Implemented OBJECT-TYPE
 SYNTAX TruthValue
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable.
 Its value is determined by device capabilities.

 This attribute, when true, indicates that the non-AP STA is capable of
 transmitting an HE PPDU that has a bandwidth greater than 80 MHz and is
 using STBC with one spatial stream. This capability is disabled other-
 wise."
 DEFVAL { false }
 ::= { dot11PhyHEEntry 13 }

 dot11HESTBCRxGreaterThan80Implemented OBJECT-TYPE
 SYNTAX TruthValue
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable.
 Its value is determined by device capabilities.

 This attribute, when true, indicates that the non-AP STA is capable of
 receiving an HE PPDU that has a bandwidth greater than 80 MHz and is using
 STBC with one spatial stream. This capability is disabled otherwise."
 DEFVAL { false }
 ::= { dot11PhyHEEntry 14 }


dot11HEDopplerTxImplemented OBJECT-TYPE

SYNTAX TruthValue

MAX-ACCESS read-only

STATUS current

DESCRIPTION

"This is a capability variable.

 Its value is determined by device capabilities.

 This attribute, when true, indicates that the non-AP STA is capable of
 transmitting HE PPDUs with midamble. This capability is disabled other-
 wise."
 DEFVAL { false }
 ::= { dot11PhyHEEntry 15 }

 dot11HEDopplerRxImplemented OBJECT-TYPE
 SYNTAX TruthValue
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable.
 Its value is determined by device capabilities.

 This attribute, when true, indicates that the non-AP STA is capable of
 receiving HE PPDUs with midamble. This capability is disabled otherwise."
 DEFVAL { false }
 ::= { dot11PhyHEEntry 16 }

 dot11HEDCMImplemented OBJECT-TYPE
 SYNTAX TruthValue
 MAX-ACCESS read-only
 STATUS current

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 DESCRIPTION
 "This is a capability variable.
 Its value is determined by device capabilities.

 This attribute, when true, indicates that the non-AP STA implementation
 supports DCM. This capability is disabled otherwise."
 ::= { dot11PhyHEEntry 17 }

 dot11HEFullBWULMUMIMOImplemented OBJECT-TYPE
 SYNTAX TruthValue
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable.
 Its value is determined by device capabilities.

 This attribute, when true, indicates that for an AP implementation, the
 MU-MIMO reception of an HE TB PPDU on an RU that spans the entire PPD
 bandwidth is supported; and for a non-AP STA implementation, the transmis-
 sion of an HE TB PPDU on an RU that spans the entire PPDU bandwidth is sup-
 ported. This capability is disabled otherwise."
 DEFVAL { false }
 ::= { dot11PhyHEEntry 18 }

 dot11HEPartialBWULMUMIMOImplemented OBJECT-TYPE
 SYNTAX TruthValue
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable.

Its value is determined by device capabilities.


This attribute, when true, indicates that an AP is capable of receiving an

RU in an HE TB PPDU where MU-MIMO is employed in the RU, the RU size is

greater than or equal to 106-tones, and the RU does not span the entire

PPDU bandwidth; and a non-AP STA is capable of transmitting an RU in an HE

TB PPDU where MU-MIMO is employed in the RU, the RU size is greater than

or equal to 106-tones, and the RU does not span the entire PPDU bandwidth.

This capability is disabled otherwise."

DEFVAL { false }

::= { dot11PhyHEEntry 19 }


 dot11HEPartialBWDLMUMIMOImplemented OBJECT-TYPE
 SYNTAX TruthValue
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable.
 Its value is determined by device capabilities.

 This attribute, when true, indicates that the non-AP STA is capable of
 receiving a DL MU-MIMO transmission on an RU in an HE MU PPDU where the RU
 does not span the entire PPDU bandwidth. This capability is disabled oth-
 erwise."
 DEFVAL { false }
 ::= { dot11PhyHEEntry 20 }

 dot11HEULMUPayloadImplemented OBJECT-TYPE
 SYNTAX TruthValue
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable.
 Its value is determined by device capabilities.

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU


 This attribute, when true, indicates that the AP is capable of receiving
 the payload on an RU in an HE MU PPDU where RU spans the entire PPDU band-
 width or a 106-tone RU within 20 MHz PPDU bandwidth. This capability is
 disabled otherwise."
 DEFVAL { false }
 ::= { dot11PhyHEEntry 21 }

 dot11HEPSRbasedSRSupportImplemented OBJECT-TYPE
 SYNTAX TruthValue
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable.
 Its value is determined by device capabilities.

 This attribute, when true, indicates that the non-AP STA is capable of
 supporting the PSR-based SR operation. This capability is disabled other-
 wise."
 DEFVAL { false }
 ::= { dot11PhyHEEntry 22 }

 dot11HEPowerBoostFactorImplemented OBJECT-TYPE
 SYNTAX TruthValue
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable.
 Its value is determined by device capabilities.

 This attribute, when true, indicates that the non-AP STA implementation
 supports a power boost factor for the r-th RU in the range [0.5, 2]. This
 capability is disabled otherwise."

DEFVAL { false }

::= { dot11PhyHEEntry 23 }


dot11HEPartialBWERSUPayloadImplemented OBJECT-TYPE

SYNTAX TruthValue

 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable.
 Its value is determined by device capabilities.

 This attribute, when true, indicates that the non-AP STA is capable of
 transmitting and receiving an HE ER SU PPDU in which the HE modulated
 fields are transmitted over the higher frequency 106-tone RU within pri-
 mary 20 MHz channel. This capability is disabled otherwise."
 DEFVAL { false }
 ::= { dot11PhyHEEntry 24 }

 dot11HEPuncturedSoundingOptionImplemented OBJECT-TYPE
 SYNTAX TruthValue
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable.
 Its value is determined by device capabilities.

 This attribute, when true, indicates that the STA implementation is capa-
 ble of operating in a mode where some 242-tone RUs are not allowed to be
 used within a channel of width 80 MHz or 160 MHz. The capability is dis-
 abled, otherwise"
 DEFVAL { false }

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 ::= { dot11PhyHEEntry 25 }


 -- **********************************************************************
 -- * End of dot11 Phy HE TABLE
 -- **********************************************************************


 -- **********************************************************************
 -- * dot11 HE Transmit Beamforming Config TABLE
 -- **********************************************************************

 dot11HETransmitBeamformingConfigTable OBJECT-TYPE
 SYNTAX SEQUENCE OF Dot11HETransmitBeamformingConfigEntry
 MAX-ACCESS not-accessible
 STATUS current
 DESCRIPTION
 "Entry of attributes for dot11HETransmitBeamformingConfigTable. Imple-
 mented as a table indexed on ifIndex to allow for multiple instances on an
 Agent."
 ::= { dot11phy 32 }

 dot11HETransmitBeamformingConfigEntry OBJECT-TYPE
 SYNTAX Dot11HETransmitBeamformingConfigEntry
 MAX-ACCESS not-accessible
 STATUS current
 DESCRIPTION
 "An entry in dot11HETransmitBeamformingConfigTable.
 ifIndex - Each IEEE 802.11 interface is represented by an ifEntry. Inter-
 face tables in this MIB module are indexed by ifIndex."
 INDEX {ifIndex}

::= { dot11HETransmitBeamformingConfigTable 1 }


Dot11HETransmitBeamformingConfigEntry ::=

SEQUENCE {

dot11HESUBeamformerOptionImplemented TruthValue,

dot11HESUBeamformeeOptionImplemented TruthValue,

dot11HEMUBeamformerOptionImplemented TruthValue,

 dot11HEBeamformeeSTSSupportLessThanOrEqualTo80 Unsigned32,
 dot11HEBeamformeeSTSSupportGreaterThan80 Unsigned32,
 dot11HENumberSoundingDimensionsLessThanOrEqualTo80 Unsigned32,
 dot11HENumberSoundingDimensionsGreaterThan80 Unsigned32,
 dot11HENG16SUFeedbackSupport TruthValue,
 dot11HENG16MUFeedbackSupport TruthValue,
 dot11HECodebookSizePhi4Psi2SUFeedbackSupport TruthValue,
 dot11HECodebookSizePhi7Psi5MUFeedbackSupport TruthValue,
 dot11HETriggeredSUBeamformingFeedbackImplemented TruthValue,
 dot11HETriggeredMUBeamformingFeedbackImplemented TruthValue,
 dot11HETriggeredCQIFeedbackSupportImplemented TruthValue
 }

 dot11HESUBeamformerOptionImplemented OBJECT-TYPE
 SYNTAX TruthValue
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable.
 Its value is determined by device capabilities.

 This attribute, when true, indicates that for a non-AP STA implementation,
 the operation as an SU beamformer is supported; for an AP implementation,
 the operation as an SU beamformer is supported when the AP is equipped
 with 4 or more spatial streams. When false, this attribute indicates that
 for the non-AP STA implementation, the operation as an SU beamformer is

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 not supported."
 DEFVAL { false }
 ::= { dot11HETransmitBeamformingConfigEntry 1 }

 dot11HESUBeamformeeOptionImplemented OBJECT-TYPE
 SYNTAX TruthValue
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable.
 Its value is determined by device capabilities.

 This attribute, when true, indicates that for an AP implementation, the
 operation as an SU beamformee is supported; for a non-AP STA implementa-
 tion, the operation as an SU beamformee is supported. When false, this
 attribute indicates that for an AP implementation, the operation as an SU
 beamformee is not supported."
 DEFVAL { false }
 ::= { dot11HETransmitBeamformingConfigEntry 2 }

 dot11HEMUBeamformerOptionImplemented OBJECT-TYPE
 SYNTAX TruthValue
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable.
 Its value is determined by device capabilities.


This attribute, when true, indicates that for an AP implementation, the

operation as an MU beamformer is supported when the SU Beamformer field is

1. When false, this attribute indicates that for an AP implementation, the

operation as an MU beamformer is not supported; for a non-AP STA implemen-

tation, the operation as an MU beamformer is not supported."

DEFVAL { false }

::= { dot11HETransmitBeamformingConfigEntry 3 }


dot11HEBeamformeeSTSSupportLessThanOrEqualTo80 OBJECT-TYPE

 SYNTAX Unsigned32
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable.
 Its value is determined by device capabilities.

 This attribute indicates the maximum number of space-time streams that the
 non-AP STA can receive in an HE sounding NDP, the maximum value for the
 total number of space-time streams over all the users in RU r,
 NSTS,r,total that can be sent in a DL MU-MIMO transmission on an RU where
 the RU might or might not span the entire PPDU bandwidth, which includes
 that non-AP STA."
 ::= { dot11HETransmitBeamformingConfigEntry 4 }

 dot11HEBeamformeeSTSSupportGreaterThan80 OBJECT-TYPE
 SYNTAX Unsigned32
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable.
 Its value is determined by device capabilities.

 This attribute indicates the maximum number of space-time streams that the
 non-AP STA can receive in an HE sounding NDP, the maximum value for the
 total number of space-time streams over all the users in RU r,
 NSTS,r,total that can be sent in a DL MU-MIMO transmission on an RU where

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 the RU might or might not span the entire PPDU bandwidth, which includes
 that STA."
 ::= { dot11HETransmitBeamformingConfigEntry 5 }

 dot11HENumberSoundingDimensionsLessThanOrEqualTo80 OBJECT-TYPE
 SYNTAX Unsigned32
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable.
 Its value is determined by device capabilities.

 This attribute specifies, for bandwidth less than or equal to 80 MHz, the
 beamformer's capability to indicate the maximum value of the TXVECTOR
 parameter NUM_STS for an HE sounding NDP."
 ::= { dot11HETransmitBeamformingConfigEntry 6 }

 dot11HENumberSoundingDimensionsGreaterThan80 OBJECT-TYPE
 SYNTAX Unsigned32
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable.
 Its value is determined by device capabilities.

 This attribute specifies, for bandwidth greater than 80 MHz, the beam-
 former's capability to indicate the maximum value of the TXVECTOR parame-
 ter NUM_STS for an HE sounding NDP."
 ::= { dot11HETransmitBeamformingConfigEntry 7 }

 dot11HENG16SUFeedbackSupport OBJECT-TYPE
 SYNTAX TruthValue
 MAX-ACCESS read-only

STATUS current

DESCRIPTION

"This is a capability variable.

Its value is determined by device capabilities.


This attribute, when true, indicates the HE beamformee support for a tone

grouping of 16 in the HE Compressed Beamforming Report field for SU feed-

back. This capability is disabled otherwise."

 DEFVAL { false }
 ::= { dot11HETransmitBeamformingConfigEntry 8 }

 dot11HENG16MUFeedbackSupport OBJECT-TYPE
 SYNTAX TruthValue
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable.
 Its value is determined by device capabilities.

 This attribute, when true, indicates the HE beamformee support for a tone
 grouping of 16 in the HE Compressed Beamforming Report field for MU feed-
 back. This capability is disabled otherwise."
 DEFVAL { false }
 ::= { dot11HETransmitBeamformingConfigEntry 9 }

 dot11HECodebookSizePhi4Psi2SUFeedbackSupport OBJECT-TYPE
 SYNTAX TruthValue
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable.

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 Its value is determined by device capabilities.



 This attribute, when true, indicates the HE beamformee support for a code-
 book size (psi, phy) = {4, 2} in the HE Compressed Beamforming Report
 field for SU feedback. This capability is disabled otherwise."
 DEFVAL { false }
 ::= { dot11HETransmitBeamformingConfigEntry 10 }

 dot11HECodebookSizePhi7Psi5MUFeedbackSupport OBJECT-TYPE
 SYNTAX TruthValue
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable.
 Its value is determined by device capabilities.

 This attribute, when true, indicates the HE beamformee support for a code-
 book size (psi, phy) = {7, 5} in the HE Compressed Beamforming Report
 field for MU feedback. This capability is disabled otherwise."
 DEFVAL { false }
 ::= { dot11HETransmitBeamformingConfigEntry 11 }

 dot11HETriggeredSUBeamformingFeedbackImplemented OBJECT-TYPE
 SYNTAX TruthValue
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable.
 Its value is determined by device capabilities.


This attribute, when true, indicates that for an AP implementation, the

reception of partial and full bandwidth SU feedback in an HE TB sounding

sequence is supported; for a non-AP STA implementation, the transmission

of partial and full bandwidth SU feedback in an HE TB sounding sequence is

supported. This capability is disabled otherwise."

DEFVAL { false }

::= { dot11HETransmitBeamformingConfigEntry 12 }


dot11HETriggeredMUBeamformingFeedbackImplemented OBJECT-TYPE

 SYNTAX TruthValue
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable.
 Its value is determined by device capabilities.

 This attribute, when true, indicates that for an AP implementation, the
 reception of partial bandwidth MU feedback in an HE TB sounding sequence
 is supported; for a non-AP STA implementation, the transmission of partial
 bandwidth MU feedback in an HE TB sounding sequence is supported. This
 capability is disabled otherwise."
 DEFVAL { false }
 ::= { dot11HETransmitBeamformingConfigEntry 13 }

 dot11HETriggeredCQIFeedbackSupportImplemented OBJECT-TYPE
 SYNTAX TruthValue
 MAX-ACCESS read-only
 STATUS current
 DESCRIPTION
 "This is a capability variable.
 Its value is determined by device capabilities.

 This attribute, when true, indicates that for an AP implementation, the
 reception of partial and full bandwidth CQI feedback in an HE TB sounding

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 sequence is supported; for a non-AP STA implementation, the transmission


 of partial and full bandwidth CQI feedback in an HE TB sounding sequence
 is supported. This capability is disabled otherwise."
 DEFVAL { false }
 ::= { dot11HETransmitBeamformingConfigEntry 14 }


 -- **********************************************************************
 -- * End of dot11 HE Transmit Beamforming Config TABLE
 -- **********************************************************************


 Insert the following after the dot11FineTimingMeasurement OBJECT-GROUP:

 dot11SMTbase14 OBJECT-GROUP
 OBJECTS {
 dot11HEOptionImplemented
 }
 STATUS current
 DESCRIPTION
 "The SMTbase14 object class provides the necessary support at the STA to
 manage the processes in the STA such that the STA may work cooperatively
 as a part of an IEEE 802.11 network."
 ::= { dot11Groups 101 }


 Change the MANDATORY-GROUPS element in the dot11Compliance MODULE-COMPLIANCE as
 follows:


 dot11Compliance MODULE-COMPLIANCE
 STATUS current
 DESCRIPTION
 "The compliance statement for SNMPv2 entities that implement the IEEE
 802.11 MIB."
 MODULE -- this module
 MANDATORY-GROUPS {
 dot11SMTbase13 dot11SMTbase14,
 dot11MACbase4,
 dot11CountersGroup4,
 dot11SmtAuthenticationAlgorithms,
 dot11ResourceTypeID,
 dot11PhyOperationComplianceGroup2 }

 Insert the following compliance objects after the dot11S1GComplianceGroup object:

 dot11HEComplianceGroup OBJECT-GROUP
 OBJECTS {
 dot11HEOptionImplemented,
 dot11OBSSNarrowBWRUinOFDMATolerated,
 dot11HE6GOptionImplemented,
 dot11OCTOptionImplemented,
 dot11TRSOptionImplemented,
 dot11OFDMARandomAccessOptionImplemented,
 dot11HEControlFieldOptionImplemented,
 dot11OMIOptionImplemented,
 dot11HEMCSFeedbackOptionImplemented,
 dot11HEDynamicFragmentationLevel,
 dot11AMPDUwithMultipleTIDOptionImplemented,
 dot11MPDUAskedforAckInMultiTIDAMPDU,
 dot11TXOPDurationRTSThreshold,
 dot11PPEThresholdsRequired,
 dot11IntraPPDUPowerSaveOptionActivated,
 dot11AMSDUFragmentationOptionImplemented,
 dot11BSSColorCollisionAPPeriod,

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 dot11BSSColorCollisionSTAPeriod,
 dot11AutonomousBSSColorCollisionReportingImplemented,
 dot11HEPSROptionImplemented,
 dot11HEBSRControlImplemented,
 dot11HEBQRControlImplemented,
 dot11HECASControlImplemented,
 dot11PartialBSSColorImplemented,
 dot11ObssNbRuToleranceTime,
 dot11HESubchannelSelectiveTransmissionImplemented,
 dot11SRResponderOptionImplemented,
 dot11AutonomousBSSColorInUseReportingImplemented,
 dot11ShortSSIDListImplemented,
 dot11ColocatedRNRImplemented,
 dot11SRGAPOBSSPDMinOffset,
 dot11SRGAPOBSSPDMaxOffset,
 dot11SRGAPBSSColorBitmap,
 dot11SRGAPBSSIDBitmap,
 dot11NonSRGAPOBSSPDMaxOffset,
 dot11HTVHTTriggerOptionImplemented,
 dot11HEDynamicSMPowerSaveOptionImplemented,
 dot11MUEDCAParametersActived,
 dot11CoHostedBSSIDImplemented,
 dot11UnsolicitedProbeResponseOptionActivated,
 dot11MemberOfColocated6GHzESSOptionActivated,
 dot11AckEnabledAMPDUOptionImplemented,
 dot11MinPSCProbeDelay}
 STATUS current
 DESCRIPTION
 "Attributes that configure the HE Group for IEEE 802.11."
 ::= { dot11Groups 100 }

 dot11HETransmitBeamformingGroup OBJECT-GROUP

OBJECTS {

dot11HESUBeamformerOptionImplemented,

dot11HESUBeamformeeOptionImplemented,

dot11HEMUBeamformerOptionImplemented,

dot11HEBeamformeeSTSSupportLessThanOrEqualTo80,

dot11HEBeamformeeSTSSupportGreaterThan80,

dot11HENumberSoundingDimensionsLessThanOrEqualTo80,

 dot11HENumberSoundingDimensionsGreaterThan80,
 dot11HENG16SUFeedbackSupport,
 dot11HENG16MUFeedbackSupport,
 dot11HECodebookSizePhi4Psi2SUFeedbackSupport,
 dot11HECodebookSizePhi7Psi5MUFeedbackSupport,
 dot11HETriggeredSUBeamformingFeedbackImplemented,
 dot11HETriggeredMUBeamformingFeedbackImplemented,
 dot11HETriggeredCQIFeedbackSupportImplemented }
 STATUS current
 DESCRIPTION
 "Attributes that configure HE transmit beamforming for IEEE 802.11."
 ::= { dot11Groups 102 }

 dot11PhyHEComplianceGroup OBJECT-GROUP
 OBJECTS {
 dot11HECurrentChannelWidthSet,
 dot11HEPuncturedPreambleRxImplemented,
 dot11HEPuncturedPreambleRxActivated,
 dot11HEDeviceClass,
 dot11HELDPCCodingInPayloadImplemented,
 dot11HESUPPDUwith1xHELTFand0point8GIlmplemented,
 dot11HESUPPDUandHEMUPPDUwith4xHELTFand0point8GIlmplemented,
 dot11HEERSUPPDUwith4xHELTFand0point8GIImplemented,
 dot11HEERSUPPDUwith1xHELTFand0point8GIImplemented,
 dot11HEMidambleRxMaxNSTS,

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 dot11HENDPwith4xHELTFand3point2GIImplemented,
 dot11HESTBCTxLessThanOrEqualTo80Implemented,
 dot11HESTBCRxLessThanOrEqualTo80Implemented,
 dot11HESTBCTxGreaterThan80Implemented,
 dot11HESTBCRxGreaterThan80Implemented,
 dot11HEDopplerTxImplemented,
 dot11HEDopplerRxImplemented,
 dot11HEDCMImplemented,
 dot11HEFullBWULMUMIMOImplemented,
 dot11HEPartialBWULMUMIMOImplemented,
 dot11HEPartialBWDLMUMIMOImplemented,
 dot11HEULMUPayloadImplemented,
 dot11HEPSRbasedSRSupportImplemented,
 dot11HEPowerBoostFactorImplemented,
 dot11HEPartialBWERSUPayloadImplemented}
 STATUS current
 DESCRIPTION
 "Attributes that configure the HE PHY."
 ::= { dot11Groups 103 }


 Change the dot11Compliance object as follows:

 dot11Compliance MODULE-COMPLIANCE
 STATUS current
 DESCRIPTION
 "The compliance statement for SNMPv2 entities that implement the IEEE
 802.11 MIB."
 MODULE -- this module
 MANDATORY-GROUPS {
 dot11SMTbase14,
 dot11MACbase4,
 dot11CountersGroup3,
 dot11SmtAuthenticationAlgorithms,
 dot11ResourceTypeID,
 dot11PhyOperationComplianceGroup2 }

 GROUP dot11PhyDSSSComplianceGroup
 DESCRIPTION
 "Implementation of this group is required when object dot11PHYType is
 dsss.
 This group is mutually exclusive to the following groups:
 dot11PhyIRComplianceGroup
 dot11PhyFHSSComplianceGroup2
 dot11PhyOFDMComplianceGroup3
 dot11PhyHRDSSSComplianceGroup
 dot11PhyERPComplianceGroup
 dot11PhyHTComplianceGroup
 dot11DMGComplianceGroup
 dot11PhyVHTComplianceGroup
 dot11PhyTVHTComplianceGroup
 dot11PhyS1GComplianceGroup
 dot11PhyHEComplianceGroup"

 GROUP dot11PhyOFDMComplianceGroup3
 DESCRIPTION
 "Implementation of this group is required when object dot11PHYType is
 ofdm.
 This group is mutually exclusive to the following groups:
 dot11PhyIRComplianceGroup
 dot11PhyFHSSComplianceGroup2
 dot11PhyDSSSComplianceGroup
 dot11PhyHRDSSSComplianceGroup
 dot11PhyERPComplianceGroup
 dot11PhyHTComplianceGroup

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 dot11DMGComplianceGroup
 dot11PhyVHTComplianceGroup
 dot11PhyTVHTComplianceGroup
 dot11PhyS1GComplianceGroup
 dot11PhyHEComplianceGroup"

 GROUP dot11PhyHRDSSSComplianceGroup
 DESCRIPTION
 "Implementation of this group is required when object dot11PHYType is
 hrdsss.
 This group is mutually exclusive to the following groups:
 dot11PhyIRComplianceGroup
 dot11PhyFHSSComplianceGroup2
 dot11PhyDSSSComplianceGroup
 dot11PhyOFDMComplianceGroup3
 dot11PhyERPComplianceGroup
 dot11PhyHTComplianceGroup
 dot11DMGComplianceGroup
 dot11PhyVHTComplianceGroup
 dot11PhyTVHTComplianceGroup
 dot11PhyS1GComplianceGroup
 dot11PhyHEComplianceGroup"

 GROUP dot11PhyERPComplianceGroup
 DESCRIPTION
 "Implementation of this group is required when object dot11PHYType is ERP.
 This group is mutually exclusive to the following groups:
 dot11PhyIRComplianceGroup
 dot11PhyFHSSComplianceGroup2
 dot11PhyDSSSComplianceGroup
 dot11PhyOFDMComplianceGroup3

dot11PhyHRDSSSComplianceGroup

dot11PhyHTComplianceGroup

dot11DMGComplianceGroup

dot11PhyVHTComplianceGroup

dot11PhyTVHTComplianceGroup

dot11PhyS1GComplianceGroup

dot11PhyHEComplianceGroup"


 GROUP dot11PhyHTComplianceGroup
 DESCRIPTION
 "Implementation of this group is required when object dot11PHYType has the
 value of ht.
 This group is mutually exclusive to the following groups:
 dot11PhyIRComplianceGroup
 dot11PhyFHSSComplianceGroup2
 dot11PhyDSSSComplianceGroup
 dot11PhyOFDMComplianceGroup3
 dot11PhyHRDSSSComplianceGroup
 dot11PhyERPComplianceGroup
 dot11DMGComplianceGroup
 dot11PhyVHTComplianceGroup
 dot11PhyTVHTComplianceGroup
 dot11PhyS1GComplianceGroup
 dot11PhyHEComplianceGroup"

 GROUP dot11PhyVHTComplianceGroup
 DESCRIPTION
 "Implementation of this group is required when object dot11PHYType has the
 value of vht.
 This group is mutually exclusive to the following groups:
 dot11PhyIRComplianceGroup
 dot11PhyFHSSComplianceGroup2
 dot11PhyDSSSComplianceGroup

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 dot11PhyOFDMComplianceGroup3
 dot11PhyHRDSSSComplianceGroup
 dot11PhyERPComplianceGroup
 dot11DMGComplianceGroup
 dot11PhyHTComplianceGroup
 dot11PhyTVHTComplianceGroup
 dot11PhyS1GComplianceGroup
 dot11PhyHEComplianceGroup"

 GROUP dot11PhyTVHTComplianceGroup
 DESCRIPTION
 "Implementation of this group is required when object dot11PHYType has the
 value of tvht.
 This group is mutually exclusive to the following groups:
 dot11PhyIRComplianceGroup
 dot11PhyFHSSComplianceGroup2
 dot11PhyDSSSComplianceGroup
 dot11PhyOFDMComplianceGroup3
 dot11PhyHRDSSSComplianceGroup
 dot11PhyERPComplianceGroup
 dot11PhyHTComplianceGroup
 dot11DMGComplianceGroup
 dot11PhyVHTComplianceGroup
 dot11PhyS1GComplianceGroup
 dot11PhyHEComplianceGroup"

 GROUP dot11PhyS1GComplianceGroup
 DESCRIPTION
 "Implementation of this group is required when object dot11PHYType has the
 value of s1g.
 This group is mutually exclusive to the following groups:
 dot11PhyDSSSComplianceGroup

dot11PhyOFDMComplianceGroup3

dot11PhyHRDSSSComplianceGroup

dot11PhyERPComplianceGroup

dot11PhyHTComplianceGroup

dot11DMGComplianceGroup

dot11PhyVHTComplianceGroup

dot11PhyTVHTComplianceGroup

 dot11PhyHEComplianceGroup"

 GROUP dot11PhyHEComplianceGroup
 DESCRIPTION
 "Implementation of this group is required when object dot11PHYType has the
 value of HE.
 This group is mutually exclusive to the following groups:
 dot11PhyIRComplianceGroup
 dot11PhyFHSSComplianceGroup2
 dot11PhyDSSSComplianceGroup
 dot11PhyOFDMComplianceGroup3
 dot11PhyHRDSSSComplianceGroup
 dot11PhyERPComplianceGroup
 dot11PhyHTComplianceGroup
 dot11DMGComplianceGroup
 dot11PhyVHTComplianceGroup
 dot11PhyTVHTComplianceGroup
 dot11PhyS1GComplianceGroup"

 GROUP dot11DMGComplianceGroup
 DESCRIPTION
 This group is mutually exclusive to the following groups:
 "Implementation of this group is required when the object dot11PHYType is dmg.
 This group is mutually exclusive to the following groups:
 dot11PhyIRComplianceGroup

 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 dot11PhyFHSSComplianceGroup2
 dot11PhyDSSSComplianceGroup
 dot11PhyOFDMComplianceGroup3
 dot11PhyHRDSSSComplianceGroup
 dot11PhyERPComplianceGroup
 dot11PhyHTComplianceGroup
 dot11PhyVHTComplianceGroup
 dot11PhyTVHTComplianceGroup
 dot11PhyS1GComplianceGroup
 dot11PhyHEComplianceGroup"

 Insert the following after GROUP dot11VHTMACAdditions:

 GROUP dot11HETransmitBeamformingGroup
 DESCRIPTION
 "The dot11HETransmitBeamformingGroup group is optional."

 GROUP dot11HEComplianceGroup
 DESCRIPTION
 "The dot11HEComplianceGroup group is optional."

 Change OPTIONAL-GROUPS as follows:

 -- OPTIONAL-GROUPS {
 -- dot11SMTprivacy
 -- dot11MACStatistics,
 -- dot11PhyAntennaComplianceGroup,
 -- dot11PhyTxPowerComplianceGroup,
 -- dot11PhyRegDomainsSupportGroup,
 -- dot11PhyAntennasListGroup,
 -- dot11PhyRateGroup,
 -- dot11MultiDomainCapabilityGroup,
 -- dot11PhyFHSSComplianceGroup2,
 -- dot11RSNAadditions,
 -- dot11OperatingClassesGroup,
 -- dot11Qosadditions,
 -- dot11RMCompliance,
 -- dot11FTComplianceGroup
 -- dot11PhyAntennaComplianceGroup2,
 -- dot11HTMACadditions,
 -- dot11PhyMCSGroup,
 -- dot11TransmitBeamformingGroup,
 -- dot11VHTTransmitBeamformingGroup,
 -- dot11PhyVHTComplianceGroup,
 -- dot11VHTMACAdditions,
 -- dot11TVHTTransmitBeamformingGroup,
 -- dot11PhyTVHTComplianceGroup,
 -- dot11HETransmitBeamformingGroup,
 -- dot11PhyHEComplianceGroup,
 -- dot11HEComplianceGroup,
 -- dot11WNMCompliance}

 Insert the following after dot11S1GCompliance:

 -- ********************************************************************
 -- * Compliance Statements - HE
 -- ********************************************************************
 dot11HECompliance MODULE-COMPLIANCE
 STATUS current
 DESCRIPTION
 "This object class provides the objects from the IEEE 802.11
 MIB used to operate at high efficiency."
 MODULE -- this module
 MANDATORY-GROUPS { dot11PhyHEComplianceGroup, dot11PhyTxPowerCompliance-
 Group2, dot11HETransmitBeamformingGroup, dot11HEComplianceGroup }

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 -- OPTIONAL-GROUPS { }
 ::= { dot11Compliances 22 }
































































 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU



$QQH[(

 QRUPDWLYH 




&RXQWU\HOHPHQWVDQGRSHUDWLQJFODVVHV


 (&RXQWU\LQIRUPDWLRQDQGRSHUDWLQJFODVVHV


 Editor’s Note: Regulations on the 6 GHz band are in flux. Channelization may be revised when more
 information is available.

 Insert the following rows and update the “reserved” row appropriately in Table E-4:



 7DEOH(²*OREDORSHUDWLQJFODVVHV


 &KDQQHO &KDQQHO
1RQJOREDO &KDQQHO
 2SHUDWLQJ VWDUWLQJ &KDQQHO FHQWHU
RSHUDWLQJ VSDFLQJ %HKDYLRUOLPLWVVHW
 FODVV IUHTXHQF\ VHW IUHTXHQF\
FODVV HV 0+]
 *+] LQGH[

    ² 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 













&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 7DEOH(²*OREDORSHUDWLQJFODVVHV(continued)


 &KDQQHO &KDQQHO
1RQJOREDO &KDQQHO
 2SHUDWLQJ VWDUWLQJ &KDQQHO FHQWHU
RSHUDWLQJ VSDFLQJ %HKDYLRUOLPLWVVHW
 FODVV IUHTXHQF\ VHW IUHTXHQF\
FODVV HV 0+]
 *+] LQGH[

    ² 
 
 
 
 
 
 
 
 
 
 
 
 

    ² 
 
 
 
 
 

    ² 
 
 
    ²  
 
 
 
 
 




























 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU



$QQH[*

 QRUPDWLYH 




)UDPHH[FKDQJHVHTXHQFHV


 **HQHUDO


 Change Table G.1 as follows:


 7DEOH*²$WWULEXWHVDSSOLFDEOHWRIUDPHH[FKDQJHVHTXHQFHGHILQLWLRQ


 $WWULEXWH 'HVFULSWLRQ

 mu-user-respond 7KHSUHFHGLQJIUDPHRU$03'8LVSDUWRID9+70833'8DQGLV
 DGGUHVVHGWRDXVHUIURPZKLFKDQLPPHGLDWHUHVSRQVHLVH[SHFWHG6HH127(
 DQG127(

 mu-users-respond 7KHSUHFHGLQJIUDPHRU$03'8LVSDUWRIDQ+(0833'8

 mu-user-not-respond 7KHSUHFHGLQJIUDPHRU$03'8LVSDUWRID9+70833'8DQGLV
 DGGUHVVHGWRDXVHUIURPZKLFKQRLPPHGLDWHUHVSRQVHLVH[SHFWHG6HH127(
 DQG127(



 *+7DQG9+7DQG6*VHTXHQFHV

 Change as follows:


 7KHSHUXVHUSDUWVRID9+70833'8DQG+(0833'8WKDWGRQRWUHTXLUHDUHVSRQVH
 RWKHUXVHUV ^SSGXQRWUHTXLULQJUHVSRQVHSHUXVHUPXXVHUQRWUHVSRQG`PXSSGXHQG


Insert a new subclause G.5 as follows:



 *+(VHTXHQFHV


 KHW[RSVHTXHQFH KHQDYSURWHFWHGVHTXHQFH_
 1^LQLWLDWRUVHTXHQFH`



DQKHQDYSURWHFWHGVHTXHQFHFRQVLVWVRIVHWWLQJWKH1$9SHUIRUPLQJRQHRUPRUHLQLWLDWRUVHTXHQFHV
 DQGWKHQUHVHWWLQJWKH1$9LIWLPHSHUPLWV
 KHQDYSURWHFWHGVHTXHQFH KHQDYVHW^LQLWLDWRUVHTXHQFH`>UHV\QFVHTXHQFH@

 7KLVLVWKHVHTXHQFHRIIUDPHVWKDWHVWDEOLVKSURWHFWLRQXVH08576

 KHQDYVHW 085767ULJJHU^&76` _
 'DWD>+7&@individual>null@>QoSnormal-ack@$FN _
 'DWD>+7&@individual>QoSblock-ack@_
 'DWDgroup>null@>QoS@_

 ^'DWD>+7&@individualQoSimplicit-bara-mpdu`a-mpdu-end`
 %ORFN$FN _

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 %ORFN$FN5HT %ORFN$FN_$FN _
 %ORFN$FN_$FN 


 KHGOPXVHTXHQFH %ORFN$FNdelayed>mu-users-respond@$FN_
 %ORFN$FN5HTGHOD\HG>mu-users-respond@$FN _
 'DWD>+7&@individual>null@>QoSnormal-ack@>mu-user-respond@$FN_
 $FN 


 7ULJJHUIUDPHLVVHQWE\WKH$3WRLQLWLDWHQRQ$38/WUDQVPLVVLRQ$33'8FRQWDLQLQJD7ULJJHUIUDPH
 LVHLWKHUDQRQ$03'87ULJJHUIUDPHRUDQ$03'8FDUU\LQJD7ULJJHUIUDPH



KHXOPXVHTXHQFH %DVLF7ULJJHU _ %DVLF7ULJJHUa-mpdumu-user-responda-mpdu-end

 ^'DWD>HTC@QoS no-ack_block-ack a-mpdu`
 a-mpdu-end;

 KHFDVFDGLQJVHTXHQFH KHGOPXVHTXHQFHKHXOPXVHTXHQFH


 +(EHDPIRUPLQJVHTXHQFH

 KHQRQWULJJHUEDVHGVRXQGLQJ 
 +(1'3$QQRXQFHPHQW  +(VRXQGLQJ1'3

+(&RPSUHVVHG%HDPIRUPLQJ&4,


 KHWULJJHUEDVHGVRXQGLQJ  +(1'3$QQRXQFHPHQW  +(VRXQGLQJ1'3 KHIHHGEDFN
 ^%)537ULJJHUKHIHHGEDFN`


KHIHHGEDFN  +(&RPSUHVVHG%HDPIRUPLQJ&4, _ 603'8RUQRQ+(33'8 

 ^ +(&RPSUHVVHG%HDPIRUPLQJ&4, DPSGX`DPSGXHQG

 KHQIUSUHSRUW 1)537ULJJHU Q +(7%IHHGEDFN1'3





























 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU



$QQH[7

 LQIRUPDWLYH 




2YHUODSSLQJ%66 2%66 PDQDJHPHQW


 7,QWURGXFWLRQ


 Change as follows:

 :KHQWZRRUPRUH%66VRYHUODSWKHDYDLODEOHEDQGZLGWKLVVKDUHGDQGKHQFHUHGXFHGIRUHDFK%667KH
 EDVLFDFFHVVPHFKDQLVPVXFKDV'&)LVDEOHWRZRUNDFURVV2%66V6LPLODUO\LI('&$LVXVHGWKH2%66 

PLJKWEH FRQVLGHUHGD ODUJHU QHWZRUNDQGDFFHVVWR WKH :0 LV EDVLFDOO\VKDUHG DFFRUGLQJWRWKH ('&$ 

 DFFHVVPHFKDQLVP1RWHWKDWIRUERWK'&)DQG('&$RYHUODSSLQJQHWZRUNVWKHVKDULQJLVDIIHFWHGE\WKH
 UHODWLYHWUDIILFDQGLIPRUHWKDQWZR$3VDUHVKDULQJWKHSUREOHPRIQHLJKERUFDSWXUHPLJKWRFFXU7KH
 QHLJKERUFDSWXUHHIIHFWPLJKWRFFXUZKHQD%66LVLQWKHPLGGOHRIWZRRWKHU%66VWKDWDUHKLGGHQIURP 
 HDFKRWKHUZKHUHLWPLJKWVXIIHUDGLVSURSRUWLRQDWHGHJUDGDWLRQLQWKURXJKSXWUHODWLYHWRWKHWRWDOWUDIILFLQ 

DOOWKUHH%66V$SDUWLFXODUSUREOHPDULVHVZKHQWKHUHLVVRPHH[SHFWDWLRQRI4R6,I('&$DGPLVVLRQFRQ

 WUROLVLQXVHWKHQLWFDQEHXVHGWRUHJXODWHWKH4R6WUDIILFRQLWVRZQ%66EXWLWPLJKWQRWWDNHLQWRDFFRXQW
 WKH('&$DGPLWWHGWUDIILFRQDQ2%667KHUHVXOWLVWKDWWKH4R6LVFRPSURPLVHGLIHDFK%66DGPLWVWUDI
 ILFXSWRLWVORFDOPD[LPXP6LPLODUO\D%66XVLQJ+&&$PLJKWVFKHGXOHWUDIILFLQLWVRZQ%66WRJXDUDQ
 WHH D VHUYLFH EXW LI QRW FRQWUROOHG WKLV PLJKW VXSSUHVV RYHUODSSLQJ ('&$ DGPLVVLRQ FRQWURO %66

)XUWKHUPRUHLIWZR+&&$%66VRYHUODSDQGWKH\GRQRWFRRUGLQDWHWKHLUVFKHGXOHG7;23VWKHQDGHJUD

 GDWLRQRI4R6PLJKWUHVXOW$Q+(%66DGYHUWLVHV%66FRORULQIRUPDWLRQZKLFKLVDYDOXHEHWZHHQ 
 WKDW LGHQWLILHV WKH %66 %DVHG RQ WKH %66 FRORU LQIRUPDWLRQ D UHFHLYLQJ 67$ FDQ PDNH GHFLVLRQV RQ 
 ZKHWKHUWRDFFHVVWKHPHGLXPZKLOHWKHUHLVRQJRLQJWUDQVPLVVLRQRQWKHPHGLXPRUJRWRGR]HVWDWHXQWLO
 WKHHQGRIWKHUHFHLYHG33'8RUXSGDWHWKH1$97KHIHDWXUHVGHVFULEHGLQWKLVDQQH[KDYHEHHQLQWURGXFHG 

LQ RUGHU WR DOORZ D GHJUHH RI PDQDJHPHQW IRU 2%66V DQG IRU PLWLJDWLRQ RI WKH EDVLF SUREOHPV RXWOLQHG

 DERYH

 Insert the following at the end of the Annex:



 7%66FRORUDQGVSDWLDOUHXVH

 7KH%66FRORULVDQLGHQWLILHURIWKH%66DQGLVXVHGWRDVVLVWDUHFHLYLQJ67$LQLGHQWLI\LQJWKH%66IURP


ZKLFKD33'8RULJLQDWHVVRWKDWWKH67$FDQIROORZWKHFKDQQHODFFHVVUXOHVWRSHUIRUPVSDWLDOUHXVH7KH

 REMHFWLYHRIVSDWLDOUHXVHRSHUDWLRQLVWRDOORZWKHPHGLXPWREHXVHGPRUHRIWHQEHWZHHQ2%66VLQGHQVH
 GHSOR\PHQWVFHQDULRVE\WKHHDUO\LGHQWLILFDWLRQRIVLJQDOVIURP2%66VDQGLQWHUIHUHQFHPDQDJHPHQW6HH
  6SDWLDOUHXVHRSHUDWLRQ 















&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU



































































 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 Insert a new annex as follows:







$QQH[=



LQIRUPDWLYH 




+(6,*%FRQWHQWH[DPSOHV



 =*HQHUDO


 7KLVDQQH[SURYLGHVDQXPEHURIH[DPSOHVWRLOOXVWUDWHWKHFRQWHQWRI+(6,*%FRQWHQWFKDQQHOV

 +(6,*%FRQWHQWFKDQQHOVDUHSDGGHGWRWKHVDPHOHQJWKDQGWRDQ2)'0V\PEROERXQGDU\DVGHILQHGLQ

  (QFRGLQJDQGPRGXODWLRQ )RULOOXVWUDWLRQVLPSOLFLW\WKHH[DPSOHVGRQRWLQFOXGHWKHFRP
 SOHWHSDGGLQJELWVEXWRQO\SDGWRPDNHWKHWZR+(6,*%FRQWHQWFKDQQHOVHTXDOLQOHQJWKDQGDQLQWHJHU
 QXPEHURIELWV$OOWKHSDGGLQJELWVLQWKHH[DPSOHVDUHVHWWR


 ,QWKHH[DPSOHVWKHELQDU\VHTXHQFHRIHDFK+(6,*%ILHOGLVLQWUDQVPLVVLRQRUGHU)RUWKHHQWLUHFRQWHQW
 RIHDFK+(6,*%FRQWHQWFKDQQHOWKHELQDU\VHTXHQFHVDUHFRQYHUWHGWRKH[DGHFLPDO



 =([DPSOH


 $Q H[DPSOH RI WKH +(6,*% ILHOG ZLWK UHVRXUFH DOORFDWLRQ VLJQDOLQJ IRU DQ  0+] +( 08 33'8 LV
 VKRZQLQ7DEOH=



 7DEOH=²5HVRXUFHDOORFDWLRQVLJQDOLQJH[DPSOH


 WRQH58
 58 WRQH58 FHQWHUWRQH WRQH58 WRQH58
 58

 66 67$,'+( 67$,'+( 67$,'+( 67$,'+(
 0&6/'3& 0&6%&& 0&6%&& 0&6%&&
 66QREHDP 667[EHDP
66 IRUPLQJQR'&0 IRUPLQJ 67$,'+(

0&6%&&

 66 67$,'+( 1$ 67$,'+(
 0&6/'3& 0&6%&&

 66 67$,'+(
 0&6%&&




7KH$3SHUIRUPVDG\QDPLFVSOLWWKH8VHUILHOGVIRUWKHWZR080,0267$VRQWRQH58ZLWK

 8VHUILHOGVDVVLJQHGWR+(6,*%FRQWHQWFKDQQHODQGQRQHWR+(6,*%FRQWHQWFKDQQHOWREDODQFH
 WKHLUORDG7KH8VHUILHOGIRU67$VDQGDUHLQ+(6,*%FRQWHQWFKDQQHOZKLOH

&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 8VHU ILHOG IRU 67$V    DQG  DUH LQ +(6,*% FRQWHQW FKDQQHO  7KH FRQWHQW RI WKH
 HQWLUH+(6,*%IRUWKLVH[DPSOHLVVKRZQLQ7DEOH=



 7DEOH=²+(6,*%FRQWHQWIRUH[DPSOH


 +(6,*%FRQWHQWFKDQQHO +(6,*%FRQWHQWFKDQQHO

 &RPPRQILHOG  
 8VHUILHOGV 67$  67$ 

 67$  67$ 

 &5& WDLO  &5& WDLO 

 67$  67$ 

 67$  67$ 
 &5& WDLO  &5& WDLO 

 3DGGLQJ  3DGGLQJ 

 +(6,*%ILHOG [)%$%&$ [(&(%$&&%$
 FRQWHQWLQKH[D
 GHFLPDO



 =([DPSOH


$QH[DPSOHRIWKH+(6,*%ILHOGZLWKIXOOEDQGZLGWK080,02UHVRXUFHDOORFDWLRQIRUPRUHWKDQXVHU

 LQDQ0+]+(0833'8LVVKRZQLQ7DEOH=


 7DEOH=²5HVRXUFHDOORFDWLRQVLJQDOLQJH[DPSOH


 58 WRQH58

 66 67$,'+(0&6/'3&

 66

 66 67$,'+(0&6/'3&
 66 67$,'+(0&6/'3&



 ,QWKLVH[DPSOHWKH+(6,*%&RPSUHVVLRQILHOGLQ+(6,*$LVVHWWRDQGWKH&RPPRQILHOGLVQRWSUHV

HQWLQHLWKHU+(6,*%FRQWHQWFKDQQHO7KH8VHUILHOGIRU67$DQG67$LVLQ+(6,*%FRQ













 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 WHQWFKDQQHODQG8VHUILHOGIRU67$LVLQ+(6,*%FRQWHQWFKDQQHO7KHFRQWHQWRIWKH+(6,*%

 ILHOGLQWKLVH[DPSOHLVVKRZQLQ7DEOH=



 7DEOH=²+(6,*%FRQWHQWIRUH[DPSOH


 +(6,*%FRQWHQWFKDQQHO +(6,*%FRQWHQWFKDQQHO

 8VHUILHOGV 67$  67$ 
 67$  &5& WDLO 

 &5& WDLO  3DGGLQJ 

 +(6,*%ILHOG [%&$$'(& ['%$
 FRQWHQWLQKH[D
 GHFLPDO



 =([DPSOH


$QH[DPSOHRIWKH+(6,*%ILHOGZLWKVLJQDOLQJIRUDIXOOEDQGZLGWKVLQJOHXVHUUHVRXUFHDOORFDWLRQLQDQ


 0+]+(0833'8LVVKRZQLQ7DEOH=


 7DEOH=²5HVRXUFHDOORFDWLRQVLJQDOLQJH[DPSOH


 58 WRQH58

 66 67$,'+(0&6/'3&667[EHDP
 IRUPLQJ
 66



 ,QWKLVH[DPSOHWKH+(6,*%&RPSUHVVLRQILHOGLQ+(6,*$LVVHWWRDQGWKHUHVRXUFHDOORFDWLRQLVVLJ
 QDOHGDVDQ2)'0$WUDQVPLVVLRQZLWKRQHXVHU7KH8VHUILHOGIRU67$LVLQ+(6,*%FRQWHQWFKDQ
 QHODQGQR8VHUILHOGLVSUHVHQWLQ+(6,*%FRQWHQWFKDQQHO7KHFRQWHQWRIWKH+(6,*%ILHOGLV
 VKRZQLQ7DEOH=



 7DEOH=²+(6,*%FRQWHQWIRUH[DPSOH


 +(6,*%FRQWHQWFKDQQHO +(6,*%FRQWHQWFKDQQHO

 &RPPRQILHOG  
 8VHUILHOGV 67$  3DGGLQJ 

 &5& WDLO 

 3DGGLQJ 

 +(6,*%ILHOG [%&(%& [&(&(
 FRQWHQWLQKH[D
 GHFLPDO





&RS\ULJKW‹,((($OOULJKWVUHVHUYHG 
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.
,(((3D['1RYHPEHU

 =([DPSOH


 $Q H[DPSOH RI YDULRXV G\QDPLF VSOLW RSWLRQV WR EDODQFH WKH ORDG DFURVV +(6,*% FRQWHQW FKDQQHOV LV
 VKRZQLQ7DEOH=7ZRXVHUVDUHWUDQVPLWWHGXVLQJ080,02LQWKHORZHVWWRQH58RIDQ0+]
 RUZLGHU33'87KHH[DPSOHVKRZVMXVWWKHDVVRFLDWHG58$OORFDWLRQVXEILHOGV LHDIUDJPHQWRIWKH+(
 6,*%ILHOG ZKLFKPLJKWEHVHQWLQRQHRIWKUHHZD\V



 7DEOH=²58$OORFDWLRQVXEILHOGVIRUGLIIHUHQWG\QDPLFVSOLWVRI8VHUILHOGVIRUWKHH[DP
 SOHRIWZR080,02XVHUVLQWKHORZHVWWRQH58RIDQ0+]RUZLGHU33'8


 1XPEHURI8VHU 1XPEHURI8VHU
)LUVW58$OORFDWLRQ )LUVW58$OORFDWLRQ
 '\QDPLFVSOLW ILHOGVFRQWULEXWHG ILHOGVFRQWULEXWHG
VXEILHOGRI+(6,*% VXEILHOGRI+(6,*%
 RSWLRQ WR+(6,*% WR+(6,*%
FRQWHQWFKDQQHO FRQWHQWFKDQQHO
 FRQWHQWFKDQQHO FRQWHQWFKDQQHO

 %RWK8VHUILHOGV 06%ILUVW  06%ILUVW 
 VLJQDOHGLQ+( /6%ILUVW /6%ILUVW
 6,*%FRQWHQW
 FKDQQHO

 %RWK8VHUILHOGV 06%ILUVW  06%ILUVW 
 VLJQDOHGLQ+( /6%ILUVW /6%ILUVW
 6,*%FRQWHQW
 FKDQQHO
 2QH8VHUILHOGSHU 06%ILUVW  06%ILUVW 
 +(6,*%FRQ /6%ILUVW /6%ILUVW
 WHQWFKDQQHO



































 &RS\ULJKW‹,((($OOULJKWVUHVHUYHG
7KLVLVDQXQDSSURYHG,(((6WDQGDUGV'UDIWVXEMHFWWRFKDQJH

Authorized licensed use limited to: The University of Toronto. Downloaded on January 04,2020 at 01:02:42 UTC from IEEE Xplore. Restrictions apply.

You might also like