Manual PDF

System Release 7.
11
ASTRO 25 ®
INTEGRATED VOICE AND DATA

GTR 8000 BASE RADIO
July 2011
*6871019P12*
6871019P12-A
© 2011 Motorola Solutions, Inc. All rights reserved.

&RS\ULJKWV
7KH 0RWRUROD SURGXFWV GHVFULEHG LQ WKLV GRFXPHQW PD\ LQFOXGH FRS\ULJKWHG 0RWRUROD FRPSXWHU SURJUDPV /DZV LQ WKH 8QLWHG 6WDWHV DQG RWKHU FRXQWULHV
SUHVHUYH IRU 0RWRUROD FHUWDLQ H[FOXVLYH ULJKWV IRU FRS\ULJKWHG FRPSXWHU SURJUDPV $FFRUGLQJO\ DQ\ FRS\ULJKWHG 0RWRUROD FRPSXWHU SURJUDPV FRQWDLQHG LQ
WKH 0RWRUROD SURGXFWV GHVFULEHG LQ WKLV GRFXPHQW PD\ QRW EH FRSLHG RU UHSURGXFHG LQ DQ\ PDQQHU ZLWKRXW WKH H[SUHVV ZULWWHQ SHUPLVVLRQ RI 0RWRUROD
0RWRUROD 6ROXWLRQV ,QF $OO 5LJKWV 5HVHUYHG
1R SDUW RI WKLV GRFXPHQW PD\ EH UHSURGXFHG WUDQVPLWWHG VWRUHG LQ D UHWULHYDO V\VWHP RU WUDQVODWHG LQWR DQ\ ODQJXDJH RU FRPSXWHU ODQJXDJH LQ DQ\ IRUP RU E\
DQ\ PHDQV ZLWKRXW WKH SULRU ZULWWHQ SHUPLVVLRQ RI 0RWRUROD 6ROXWLRQV ,QF
)XUWKHUPRUH WKH SXUFKDVH RI 0RWRUROD SURGXFWV VKDOO QRW EH GHHPHG WR JUDQW HLWKHU GLUHFWO\ RU E\ LPSOLFDWLRQ HVWRSSHO RU RWKHUZLVH DQ\ OLFHQVH XQGHU WKH
FRS\ULJKWV SDWHQWV RU SDWHQW DSSOLFDWLRQV RI 0RWRUROD H[FHSW IRU WKH QRUPDO QRQH[FOXVLYH UR\DOW\IUHH OLFHQVH WR XVH WKDW DULVHV E\ RSHUDWLRQ RI ODZ LQ WKH VDOH
RI D SURGXFW
'LVFODLPHU
3OHDVH QRWH WKDW FHUWDLQ IHDWXUHV IDFLOLWLHV DQG FDSDELOLWLHV GHVFULEHG LQ WKLV GRFXPHQW PD\ QRW EH DSSOLFDEOH WR RU OLFHQVHG IRU XVH RQ D SDUWLFXODU V\VWHP RU
PD\ EH GHSHQGHQW XSRQ WKH FKDUDFWHULVWLFV RI D SDUWLFXODU PRELOH VXEVFULEHU XQLW RU FRQILJXUDWLRQ RI FHUWDLQ SDUDPHWHUV 3OHDVH UHIHU WR \RXU 0RWRUROD FRQWDFW
IRU IXUWKHU LQIRUPDWLRQ
7UDGHPDUNV
027252/$ 0272 027252/$ 62/87,216 DQG WKH 6W\OL]HG 0 /RJR DUH WUDGHPDUNV RU UHJLVWHUHG WUDGHPDUNV RI 0RWRUROD 7UDGHPDUN +ROGLQJV //&
DQG DUH XVHG XQGHU OLFHQVH $OO RWKHU WUDGHPDUNV DUH WKH SURSHUW\ RI WKHLU UHVSHFWLYH RZQHUV
(XURSHDQ 8QLRQ (8 :DVWH RI (OHFWULFDO DQG (OHFWURQLF (TXLSPHQW :((( GLUHFWLYH
7KH (XURSHDQ 8QLRQ

V :((( GLUHFWLYH UHTXLUHV WKDW SURGXFWV VROG LQWR (8 FRXQWULHV PXVW KDYH WKH FURVVHG RXW WUDVKELQ ODEHO RQ WKH SURGXFW RU WKH SDFNDJH
LQ VRPH FDVHV
$V GHILQHG E\ WKH :((( GLUHFWLYH WKLV FURVVRXW WUDVKELQ ODEHO PHDQV WKDW FXVWRPHUV DQG HQGXVHUV LQ (8 FRXQWULHV VKRXOG QRW GLVSRVH RI HOHFWURQLF DQG
HOHFWULFDO HTXLSPHQW RU DFFHVVRULHV LQ KRXVHKROG ZDVWH
&XVWRPHUV RU HQGXVHUV LQ (8 FRXQWULHV VKRXOG FRQWDFW WKHLU ORFDO HTXLSPHQW VXSSOLHU UHSUHVHQWDWLYH RU VHUYLFH FHQWUH IRU LQIRUPDWLRQ DERXW WKH ZDVWH FROOHFWLRQ
V\VWHP LQ WKHLU FRXQWU\
'RFXPHQW
+LVWRU\
'RFXPHQW +LVWRU\
Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ Ŷ
9HUVLRQ 'HVFULSWLRQ 'DWH
3$ )LUVW UHOHDVH RI WKH *75 %DVH 5DGLR PDQXDO -XO\
3$ -XO\ L

*75 %DVH 5DGLR
7KLV SDJH LQWHQWLRQDOO\ OHIW EODQN
LL 3$ -XO\

&KDSWHU

*75 %DVH 5DGLR 'HVFULSWLRQ
7KLV FKDSWHU SURYLGHV D KLJKOHYHO GHVFULSWLRQ RI *75 %DVH 5DGLR DQG WKH
IXQFWLRQ LW VHUYHV RQ \RXU V\VWHP
,QWURGXFWLRQ
)LJXUH *75 %DVH 5DGLR
7KLV PDQXDO SURYLGHV LQIRUPDWLRQ RQ WKH VWDQGDORQH *75 %DVH 5DGLR DQG DVVRFLDWHG DSSOLFDWLRQV 7KH
WHUP ³EDVH UDGLR´ RU ³%5´ LV XVHG WR GHQRWH WKH WUDQVFHLYHU DQG DVVRFLDWHG PRGXOHV SURYLGLQJ WKH IXQFWLRQDOLW\
IRU RQH FKDQQHO $V YLHZHG LQ WKHVH LQVWDQFHV RQH ³EDVH UDGLR´ LV D VWDQGDORQH FRQILJXUDWLRQ
3$ -XO\

6XSSRUWHG 6\VWHP &RQILJXUDWLRQV &KDSWHU *75 %DVH 5DGLR 'HVFULSWLRQ
$ *75 %DVH 5DGLR FRQVLVWV RI D WUDQVFHLYHU PRGXOH SRZHU DPSOLILHU PRGXOH IDQ PRGXOH DQG SRZHU
VXSSO\ 7KH WUDQVFHLYHU PRGXOH LQFOXGHV WKH IXQFWLRQDOLW\ IRU WKH H[FLWHU UHFHLYHU DQG VWDWLRQ FRQWURO
7KH EDVH UDGLR VRIWZDUH FRQILJXUDWLRQ DQG QHWZRUN PDQDJHPHQW DV ZHOO DV LQERXQGRXWERXQG WUDIILF
KDQGOLQJ DUH SHUIRUPHG WKURXJK WKH WUDQVFHLYHU PRGXOH 2QERDUG VHULDO DQG (WKHUQHW VHUYLFH SRUWV
DUH ORFDWHG RQ WKLV PRGXOH IRU ORFDO VHUYLFLQJ WKURXJK &66 7KH SRZHU DPSOLILHU PRGXOH DPSOLILHV WKH
ORZOHYHO PRGXODWHG 5) VLJQDO IURP WKH WUDQVFHLYHU PRGXOH DQG GHOLYHUV WKH DPSOLILHG VLJQDO RQ WKH
SDWK WR WKH WUDQVPLW DQWHQQD 7KH SRZHU VXSSO\ PRGXOH VXSSRUWV WKH WUDQVFHLYHU DQG SRZHU DPSOLILHU
PRGXOHV 5DGLR )UHTXHQF\ 'LVWULEXWLRQ 6\VWHP 5)'6 SURYLGHV WKH LQWHUIDFH EHWZHHQ WKH WUDQVFHLYHUV
DQG WKH VLWH DQWHQQDV DQG EHWZHHQ WKH SRZHU DPSOLILHU DQG WKH VLWH DQWHQQDV
6XSSRUWHG 6\VWHP &RQILJXUDWLRQV

7KH *75 %DVH 5DGLR LV DYDLODEOH LQ WKH IROORZLQJ V\VWHP FRQILJXUDWLRQV
+LJK 3HUIRUPDQFH 'DWD +3'
7UXPNHG FLUFXLW DQG ,3 VLPXOFDVW VXEV\VWHPV ,9 '
&HQWUDOL]HG &RQYHQWLRQDO $UFKLWHFWXUHV
'LVWULEXWHG &RQYHQWLRQDO 6XEV\VWHP $UFKLWHFWXUH
$6752 &RQYHQWLRQDO 6\VWHP
6XSSRUWHG )UHTXHQFLHV IRU 7UXQNHG ,9 ' DQG $6752

&RQYHQWLRQDO $UFKLWHFWXUHV
7KH *75 %DVH 5DGLR LV DYDLODEOH IRU N+] RSHUDWLRQ LQ WKH IROORZLQJ IUHTXHQF\ EDQGV
0+]
8+) 5 0+]
8+) 5 ± 0+]
9+) ± 0+]
6XSSRUWHG )UHTXHQFLHV IRU +3'

7KH *75 %DVH 5DGLR LV DYDLODEOH IRU N+] RSHUDWLRQ LQ DQG 0+] IUHTXHQF\ EDQGV
3$ -XO\

*75 %DVH 5DGLR 2YHUYLHZ )RU D *75 %DVH 5DGLR LQ D 7UXQNHG 6LPXOFDVW 6XEV\VWHP
2YHUYLHZ )RU D *75 %DVH 5DGLR LQ D 7UXQNHG

6LPXOFDVW 6XEV\VWHP
7KURXJKRXW WKLV PDQXDO WKH WHUP ³VLPXOFDVW´ UHIHUV WR D WUXQNHG *VHULHV FLUFXLWEDVHG
RU ,3EDVHG VLPXOFDVW VXEV\VWHPV
7KH *75 %DVH 5DGLR SURYLGHV WKH UDGLR IUHTXHQF\ 5) OLQN EHWZHHQ WKH V\VWHP DQG WKH
VXEVFULEHUPRELOH UDGLRV 7KH EDVH UDGLR FDSWXUHV LQERXQG VLJQDOV WKURXJK H[WHUQDO UHFHLYH 5[
DQWHQQDV IURP WKH VXEVFULEHUPRELOH UDGLRV DQG WKHQ DPSOLILHV ILOWHUV DQG GHPRGXODWHV WKH VLJQDOV
LQWR YRLFH SDFNHWV ZKLFK DUH IRUZDUGHG WR WKH FRPSDUDWRU 7KH FRPSDUDWRU URXWHV WKHVH SDFNHWV
HLWKHU WR DQRWKHU VLWH RU EDFN WR WKH EDVH UDGLR IRU WUDQVPLVVLRQ
$ PD[LPXP RI EDVH UDGLRV FDQ EH LQVWDOOHG SHU UHPRWH VLWH (DFK EDVH UDGLR KDV DQ (WKHUQHW
FRQQHFWLRQ WR D VZLWFK DW WKH VLWH IRU WKH 1HWZRUN 0DQDJHPHQW LQWHUIDFH )RU FLUFXLWEDVHG VXEV\VWHPV
HDFK EDVH UDGLR XVHV D 9 LQWHUIDFH IRU YRLFH WUDIILF WR D FKDQQHO EDQN
5)'6 LQIRUPDWLRQ SURYLGHG LQ WKLV GRFXPHQWDWLRQ SHUWDLQV WR WKH 5)'6

HTXLSPHQW VXSSOLHG E\ 0RWRUROD
2YHUYLHZ )RU D *75 %DVH 5DGLR LQ D +LJK

3HUIRUPDQFH 'DWD +3' 6XEV\VWHP
7KH *75 %DVH 5DGLR SURYLGHV WKH UDGLR IUHTXHQF\ 5) OLQN EHWZHHQ WKH V\VWHP VLWH FRQWUROOHU
DQG WKH VXEVFULEHUPRELOH UDGLRV 7KH EDVH UDGLR FDSWXUHV LQERXQG VLJQDOV WKURXJK H[WHUQDO UHFHLYH 5[
DQWHQQDV IURP WKH VXEVFULEHUPRELOH UDGLRV DQG WKHQ DPSOLILHV ILOWHUV DQG GHPRGXODWHV WKH VLJQDOV LQWR
GDWD SDFNHWV ZKLFK DUH IRUZDUGHG WR WKH VLWH FRQWUROOHU 7KH VLWH FRQWUROOHU URXWHVUHFHLYHV GLJLWL]HG GDWD
SD\ORDG WRIURP WKH 5DGLR 1HWZRUN *DWHZD\ 51* IRU IXUWKHU SURFHVVLQJ DQG URXWLQJ
7KH VLWH FRQWUROOHU UHFHLYHV GLJLWL]HG GDWD SD\ORDG DQG FRQWURO SDFNHWV IURP WKH 51* DQG URXWHV WKHP WR D
VSHFLILHG EDVH UDGLR 7KH EDVH UDGLR H[WUDFWV WKH FRQWURO LQVWUXFWLRQV IURP WKH SDFNHWV DQG XVHV WKHP IRU
LQWHUQDO PDQDJHPHQW VXFK DV FKDQQHO IUHTXHQF\ DVVLJQPHQW 7KH EDVH UDGLR PDSV WKH GLJLWDO GDWD SDFNHWV WR
GLVFUHHW YROWDJH OHYHOV ZKLFK DUH WKHQ XVHG WR PRGXODWH DQ 5) FDUULHU 7KH PRGXODWHG 5) FDUULHU LV DPSOLILHG
DQG PD\ EH FRPELQHG ZLWK RWKHU 5) FKDQQHOV ILOWHUHG DQG URXWHG WR WKH WUDQVPLVVLRQ 7[ DQWHQQDV
7KH ILUVW IRXU EDVH UDGLRV DW WKH VLWH DUH GHILQHG DV KRPH FKDQQHO FDSDEOH 6HWWLQJV IRU WKH EDVH UDGLR DUH
PDGH WKURXJK 8QLILHG 1HWZRUN &RQILJXUDWRU 81& DQG &RQILJXUDWLRQ6HUYLFH 6RIWZDUH &66
%HVLGHV WKH SRZHU VXSSO\ PRGXOH VXSSRUWLQJ WKH WUDQVFHLYHU DQG SRZHU DPSOLILHU PRGXOHV LW FDQ DOVR SURYLGH
DX[LOLDU\ SRZHU WR D FRQQHFWHG VLWH FRQWUROOHU RU UHFHLYH PXOWLFRXSOHUORZ QRLVH DPSOLILHU 50&/1$
3$ -XO\

2YHUYLHZ )RU D *75 %DVH 5DGLR LQ D +LJK 3HUIRUPDQFH 'DWD +3' 6XEV\VWHP &KDSWHU *75 %DVH 5DGLR 'HVFULSWLRQ
7KH +3' EDVH UDGLR SURYLGHV D IXOOGXSOH[ 5) LQWHUIDFH WR +3' 0RELOH 6XEVFULEHU 8QLWV
068V 7KH +3' EDVH UDGLRV DUH DYDLODEOH IRU N+] +3' RSHUDWLRQ LQ WKH RU 0+]
EDQGV 8S WR ILYH +3' EDVH UDGLRV PD\ EH LQVWDOOHG DW WKH VLWH (DFK EDVH UDGLR KDV DQ (WKHUQHW
FRQQHFWLRQ WR ERWK RI WKH VLWH FRQWUROOHU PRGXOHV DW WKH VLWH
7KH +3' EDVH UDGLR XVHV 5DGLR /LQN $GDSWDWLRQ 5/$ WR SURYLGH KLJKVSHHG UHOLDEOH HQKDQFHG GDWD
SHUIRUPDQFH ZKHQ FRPPXQLFDWLQJ WUDIILF ZLWK 068V 5/$ XVHV DGDSWLYH PRGXODWLRQ WHFKQLTXHV ZLWK
VORZHU DQG PRUH UHOLDEOH PRGXODWLRQ IRU FRQWURO VLJQDOLQJ DQG UHWULHV DQG IDVWHU PRGXODWLRQ PHWKRGV
ZKHQ WUDIILF LV VXFFHVVIXOO\ EHLQJ GHOLYHUHG EHWZHHQ WKH EDVH UDGLR DQG 068V
7KH +3' EDVH UDGLR LV LPSOHPHQWHG ZLWK ; UHFHLYHU GLYHUVLW\ 7KLV UHFHLYHU GLYHUVLW\
HQKDQFHV WKH LQERXQG VLJQDOV IURP WKH 068V RQ WKH FKDQQHO
)LJXUH *75 %DVH 5DGLRV LQ +3' 5HPRWH 6LWH
7KH +3' EDVH UDGLR XVHV 7LPH 'LYLVLRQ 0XOWLSOH[ 7'0 IUDPHV IRU UDQGRP DFFHVV FKDQQHOV UHVHUYHG
DFFHVV FKDQQHOV DQG EURDGFDVW PHVVDJHV $OO FDUULHUV LQ WKH V\VWHP DUH V\QFKURQL]HG E\ D *OREDO
3RVLWLRQLQJ 6\VWHP *36 VR WKDW WUDQVPLVVLRQ VORWV DUH V\QFKURQL]HG DFURVV VLWHV 7KH EDVH UDGLR LV DEOH
WR VFKHGXOH LQERXQGRXWERXQG WUDIILF IRU KDOIGXSOH[ 068V VR WKDW RXWERXQG WUDIILF LQWHQGHG IRU WKH
068 GRHV QRW FRQIOLFW ZLWK LQERXQG UDQGRP RU UHVHUYHG DFFHVV WUDIILF IURP WKH 068
3$ -XO\

*75 %DVH 5DGLR 2YHUYLHZ IRU D *75 %DVH 5DGLR LQ &RQYHQWLRQDO $UFKLWHFWXUHV
2YHUYLHZ IRU D *75 %DVH 5DGLR LQ &RQYHQWLRQDO

$UFKLWHFWXUHV
7KURXJKRXW WKLV PDQXDO WKH WHUP ³FRQYHQWLRQDO EDVH UDGLR´ RU ³FRQYHQWLRQDO´ LV DQ $6752
&RQYHQWLRQDO *75 %DVH 5DGLR WKDW RSHUDWHV LQ GLJLWDO FRQYHQWLRQDO PRGH (DFK
$6752 &RQYHQWLRQDO EDVH UDGLR XVHV HLWKHU
D 9 LQWHUIDFH IRU YRLFH DQG GDWD WUDIILF WR HLWKHU D 'LJLWDO ,QWHUIDFH 8QLW
&&*: RU $67527$& &RPSDUDWRU
DQ ,3 LQWHUIDFH IRU YRLFH DQG GDWD WUDIILF WR DQ &&*: RU *&0 &RPSDUDWRU
&&*: RU FRQQHFWLRQ WR DQ $6752 &RQYHQWLRQDO 6\VWHP $67527$&

&RPSDUDWRU RU ',8 VHH WKH $ &RH[LVWHQFH IHDWXUH LQ WKH &RQYHQWLRQDO 2SHUDWLRQV PDQXDO
1RWH WKDW WKH EDVH UDGLR FDQ EH ,3 PDQDJHG ZKLOH XVLQJ WKH 9 LQWHUIDFH IRU FKDQQHO WUDIILF
$6752 &RQYHQWLRQDO EDVH UDGLR IHDWXUHV LQFOXGH
6LQJOH IUHTXHQF\ SDLU
6HSDUDWH 7[ DQG 5[ QHWZRUN DFFHVV FRGH
&RQVROH RU UHSHDW SULRULW\
5HSHDWHU VHWXS NQRFNGRZQ IURP WKH FRQVROH
9RLFH DQG GDWD
&RQWURO 0HVVDJHV 76%.
6WDQGDORQH UHSHDWHU
&RQWURO VWDWLRQ
5HFHLYHRQO\ VWDWLRQ
9RWLQJ
0XOWLFDVW
6LPXOFDVW
$Q $6752 &RQYHQWLRQDO *75 %DVH 5DGLR LV DYDLODEOH LQ WKH IROORZLQJ FRQILJXUDWLRQV
$6752 &RQYHQWLRQDO 6\VWHP
3$ -XO\

*3: 5HFHLYHU &KDSWHU *75 %DVH 5DGLR 'HVFULSWLRQ
&HQWUDOL]HG &RQYHQWLRQDO $UFKLWHFWXUHV

ƕ =RQH &RUH ZLWK &RORFDWHG &RQYHQWLRQDO &KDQQHOV
ƕ ,3 6LPXOFDVW 5HPRWH 6LWH ZLWK 7UXQNLQJ &RQYHQWLRQDO &KDQQHOV
ƕ &LUFXLW 6LPXOFDVW 5HPRWH 6LWH ZLWK 7UXQNLQJ &RQYHQWLRQDO &KDQQHOV
ƕ 'LVSDWFK &RQVROH 6LWH ZLWK &RORFDWHG &RQYHQWLRQDO &KDQQHOV
ƕ &RQYHQWLRQDO2QO\ 5HPRWH 6LWH
'LVWULEXWHG &RQYHQWLRQDO 6XEV\VWHP $UFKLWHFWXUH
ƕ &RQYHQWLRQDO %DVH 5DGLR 6LWHV
ƕ &RQYHQWLRQDO +XE 6LWHV
*3: 5HFHLYHU

$ UHFHLYHRQO\ FRQYHQWLRQDO *3: 5HFHLYHU FRQVLVWV RI D UHFHLYHU PRGXOH IDQ PRGXOH DQG SRZHU
VXSSO\ 7KH UHFHLYHU PRGXOH LQFOXGHV WKH IXQFWLRQDOLW\ IRU WKH UHFHLYHU DQG VWDWLRQ FRQWURO 7KH UHFHLYHU
VRIWZDUH FRQILJXUDWLRQ DQG QHWZRUN PDQDJHPHQW DV ZHOO DV LQERXQG WUDIILF KDQGOLQJ DUH SHUIRUPHG
WKURXJK WKH UHFHLYHU PRGXOH 2QERDUG VHULDO DQG (WKHUQHW VHUYLFH SRUWV DUH ORFDWHG RQ WKLV PRGXOH IRU
ORFDO VHUYLFLQJ WKURXJK &66 7KH SRZHU VXSSO\ PRGXOH VXSSRUWV WKH UHFHLYHU PRGXOH 5DGLR )UHTXHQF\
'LVWULEXWLRQ 6\VWHP 5)'6 SURYLGHV WKH LQWHUIDFH EHWZHHQ WKH UHFHLYHU DQG WKH VLWH DQWHQQDV
7KH *3: 5HFHLYHU SURYLGHV IRU WKH LQWHJUDWLRQ RI D *75 %DVH 5DGLR DV D UHFHLYHRQO\ VWDWLRQ
LQWR $6752 &RQYHQWLRQDO V\VWHPV 7KH *3: 5HFHLYHU RSHUDWHV LQ D YRWLQJ HQYLURQPHQW ZLWK
FRQQHFWLRQ WR D FRPSDUDWRU SURYLGLQJ DGGLWLRQDO UHFHLYH RQO\ VWDWLRQV LQ DUHDV ZKHUH LW ZRXOG RWKHUZLVH
EH GLIILFXOW WR UHFHLYH D VLJQDO IURP ORZ SRZHU VXEVFULEHU XQLWV 7KH *3: 5HFHLYHU DOVR RSHUDWHV
DV D PRQLWRU UHFHLYHU LQ D QRQYRWLQJ HQYLURQPHQW ZLWK FRQQHFWLRQ WR D FRQVROH
*75 %DVH 5DGLR &RPSRQHQWV

7KH IROORZLQJ PRGXOHV WKDW PDNH XS WKH *75 %DVH 5DGLR DQG WKHLU IXQFWLRQV DUH OLVWHG LQ 7DEOH
7DEOH *75 %DVH 5DGLR 0RGXOHV

3RZHU 6XSSO\ 2SHUDWHV IURP HLWKHU DQ $& RU '& LQSXW DQG SURYLGHV
WKH '& RSHUDWLQJ YROWDJH IRU WKH EDVH UDGLR $OVR
SURYLGHV D VHSDUDWH EDWWHU\ FKDUJHU ZKLFK FDQ EH XVHG
WR PDLQWDLQ WKH FKDUJH RQ D 9'& QRPLQDO V\VWHP
SRVLWLYH RU QHJDWLYH JURXQG LI LQVWDOOHG
3$ -XO\

*75 %DVH 5DGLR *75 %DVH 5DGLR 6SHFLILFDWLRQV
7DEOH *75 %DVH 5DGLR 0RGXOHV &RQWLQXHG

3RZHU $PSOLILHU 3$ $FFHSWV D ORZOHYHO PRGXODWHG 5) VLJQDO IURP WKH
WUDQVFHLYHU PRGXOH DQG DPSOLILHV LW IRU WUDQVPLVVLRQ
WKURXJK WKH VLWH WUDQVPLW DQWHQQD $OVR SURYLGHV
D ORZOHYHO 5) IHHGEDFN VLJQDO WR WKH WUDQVFHLYHU
PRGXOH WR DFKLHYH WKH UHTXLUHG WUDQVPLWWHU OLQHDULW\
$OVR SHUIRUPV IXQFWLRQV UHODWHG WR WKH IDQ PRGXOH
7UDQVFHLYHU ;&95 3URYLGHV WKH FRQWURO H[FLWHU DQG UHFHLYHU IXQFWLRQV IRU
WKH EDVH UDGLR
)DQ 3URYLGHV LQWHUPLWWHQW IRUFHG DLU FRROLQJ IRU WKH SRZHU
DPSOLILHU DQG WUDQVFHLYHU PRGXOHV
1RW DSSOLFDEOH LQ WKH *3: 5HFHLYHU
*75 %DVH 5DGLR 6SHFLILFDWLRQV

7KH IROORZLQJ OLVWV WKH VSHFLILFDWLRQV IRU WKH *75 %DVH 5DGLR
*75 %DVH 5DGLR 6SHFLILFDWLRQV IRU 7UXQNHG 6LPXOFDVW DQG &RQYHQ
WLRQDO DQG 0+] RQ SDJH
*75 %DVH 5DGLR 6SHFLILFDWLRQV IRU 7UXQNHG 6LPXOFDVW DQG &RQYHQWLRQDO
8+) 5 ± 0+] RQ SDJH
8+) 5 ± 0+] RQ SDJH
9+) ± 0+] RQ SDJH
*75 %DVH 5DGLR 6SHFLILFDWLRQV IRU +LJK 3HUIRUPDQFH 'DWD
DQG 0+] RQ SDJH
6SHFLILFDWLRQV DUH VXEMHFW WR FKDQJH ZLWKRXW QRWLFH
3$ -XO\

*75 %DVH 5DGLR 6SHFLILFDWLRQV IRU 7UXQNHG 6LPXOFDVW DQG &RQYHQWLRQDO DQG 0+] &KDSWHU *75 %DVH 5DGLR 'HVFULSWLRQ
*75 %DVH 5DGLR 6SHFLILFDWLRQV IRU 7UXQNHG 6LPXOFDVW DQG

&RQYHQWLRQDO DQG 0+]
7DEOH *75 %DVH 5DGLR *HQHUDO 6SHFLILFDWLRQV 7UXQNHG 6LPXOFDVW DQG &RQYHQWLRQDO
DQG 0+]
*HQHUDO 6SHFLILFDWLRQV
0RGHO 1XPEHU 7$
7$ ZKHUH DSSOLFDEOH
1XPEHU RI &KDQQHOV
6L]H + [ : [ ' PP [ PP [ PP [ [

:HLJKW NJ OEV
7HPSHUDWXUH 5DQJH
2SHUDWLQJ WR & WR )
6WRUDJH WR & WR )
2SHUDWLQJ $OWLWXGH 8S WR PHWHUV IHHW DERYH PHDQ
VHD OHYHO
$ERYH PHWHUV IHHW WKH GHUDWLQJ

LV &NP ) IHHW
$ERYH PHWHUV IHHW WKH SHDN

SRZHU GHUDWLQJ IRU WKH 7[ ILOWHU LV G%NP
G% IHHW
0D[LPXP RSHUDWLRQDO DOWLWXGH LV PHWHUV

IHHW
3RZHU 6XSSO\ ,QSXW 9$& +]
9'&
3RZHU &RQVXPSWLRQ
$& &)0 : PD[
+'436. /60 : PD[
'& &)0 : PD[
+'436. /60 : PD[
3RZHU 6XSSO\ 7\SH 6ZLWFKLQJ
%DWWHU\ 5HYHUW ,QFOXGHG
,QSXW2XWSXW ,PSHGDQFH 2KPV
$QWHQQD &RQQHFWRU 7\SHV
7[ 1 IHPDOH
5[ %1& IHPDOH ZLWKRXW SUHVHOHFWRU
1 IHPDOH ZLWK SUHVHOHFWRU
3$ -XO\

*75 %DVH 5DGLR *75 %DVH 5DGLR 6SHFLILFDWLRQV IRU 7UXQNHG 6LPXOFDVW DQG &RQYHQWLRQDO DQG 0+]
7DEOH *75 %DVH 5DGLR *HQHUDO 6SHFLILFDWLRQV 7UXQNHG 6LPXOFDVW DQG &RQYHQWLRQDO
DQG 0+] &RQWLQXHG
)UHTXHQF\ 6WDELOLW\ $JLQJ
,QWHUQDO 5HIHUHQFH WUDQVFHLYHU RSWLRQ FDUG SSE\U
SSE\U
7HPSHUDWXUH SSE
)UHTXHQF\ 6WDELOLW\ 75$.
([WHUQDO 5HIHUHQFH
)UHTXHQF\ *HQHUDWLRQ 6\QWKHVL]HG
7DEOH *75 %DVH 5DGLR 7UDQVPLWWHU 6SHFLILFDWLRQV IRU 7UXQNHG 6LPXOFDVW DQG
&RQYHQWLRQDO DQG 0+]
7UDQVPLWWHU 6SHFLILFDWLRQV
)UHTXHQF\ 5DQJH 0+]
3RZHU 2XWSXW :
&KDQQHO 6SDFLQJ N+]
(OHFWURQLF %DQGZLGWK )XOO %DQGZLGWK
0RGXODWLRQ &)0
/60
+'436.
0RGXODWLRQ )LGHOLW\
6SXULRXV DQG +DUPRQLF (PLVVLRQV G%
$WWHQXDWLRQ
(PLVVLRQV 'HVLJQDWRUV .': .)( .':
$GMDFHQW &KDQQHO 3RZHU 5DWLR
N+] RIIVHW N+] %: G%
7[ 1RLVH LQ 5[ %DQG ± G%F+]
,QWHUPRGXODWLRQ $WWHQXDWLRQ G%
)XOO WUDQVPLWWHU RXWSXW SRZHU LV DYDLODEOH GXULQJ EDWWHU\ UHYHUW
7KH RXWSXW SRZHU UHIHUHQFH SODQH LV WKH RXWSXW FRQQHFWRU RI WKH SRZHU DPSOLILHU 7KH
ORVV RI WKH WUDQVPLWWHU RXWSXW FDEOH 3$ RXWSXW WR EDFN RI EDVH UDGLR LV DW 0+]
DQG DW 0+] DQG DW 0+] +RZHYHU WKH EDVH UDGLR VRIWZDUH DOORZV WKH
WUDQVPLWWHU RXWSXW SRZHU WR EH VHW DW DERYH UDWHG YDOXH
3$ -XO\

*75 %DVH 5DGLR 6SHFLILFDWLRQV IRU 7UXQNHG 6LPXOFDVW DQG &RQYHQWLRQDO DQG 0+] &KDSWHU *75 %DVH 5DGLR 'HVFULSWLRQ
7DEOH *75 %DVH 5DGLR 5HFHLYHU 6SHFLILFDWLRQV IRU 7UXQNHG 6LPXOFDVW DQG &RQYHQWLRQDO
DQG 0+]
5HFHLYHU 6SHFLILFDWLRQV
)UHTXHQF\ 5DQJH 0+]
6WDWLF 6HQVLWLYLW\ %LW (UURU 5DWH %(5
&)0 G%P
+&30 G%P
)DGHG 6HQVLWLYLW\ %LW (UURU 5DWH %(5
&)0 G%P
,QWHUPRGXODWLRQ 5HMHFWLRQ G%
$GMDFHQW &KDQQHO 5HMHFWLRQ G%
6SXULRXV DQG ,PDJH 5HVSRQVH 5HMHFWLRQ G%
6SXULRXV DQG ,PDJH 5HVSRQVH 5HMHFWLRQ ZLWK G%
%DVH 5DGLR 3UHVHOHFWRU
6LJQDO 'LVSODFHPHQW %DQGZLGWK N+]
,QWHUPHGLDWH )UHTXHQFLHV
VW 0+]
QG 0+]
%ORFNLQJ ,PPXQLW\ G%
&RQGXFWHG 6SXULRXV G%P
%LW (UURU 5DWH )ORRU
&R&KDQQHO 5HMHFWLRQ G%
7DEOH *75 %DVH 5DGLR )&& ,' IRU 7UXQNHG 6LPXOFDVW DQG &RQYHQWLRQDO DQG
0+]
)&& ,'
)&& 'HVLJQDWLRQ
)UHTXHQF\ 5DQJH 7\SH 3RZHU 2XWSXW 7\SH $FFHSWDQFH 1XPEHU
0+] 7UDQVPLWWHU : $%=)&
0+] 5HFHLYHU 1$ $%=)5
3$ -XO\

*75 %DVH 5DGLR ,QGXVWU\ &DQDGD
,QGXVWU\ &DQDGD
7DEOH VKRZV WKH ,& DSSURYDO QXPEHUV IUHTXHQF\ UDQJH LQIRUPDWLRQ DQG SRZHU
RXWSXW UDQJH IRU WKH *75 %DVH 5DGLR
7DEOH *75 %DVH 5DGLR ,QGXVWU\ &DQDGD IRU 7UXQNHG 6LPXOFDVW DQG &RQYHQWLRQDO 0+]
,& $SSURYDO ,& 0RGHO

)UHTXHQF\ 5DQJH 7\SH 3RZHU 2XWSXW
1XPEHU 1XPEHU
$%7 7[ ± 0+] 5[ ± 0+] /60 9DULDEOH ± :DWWV DYHUDJH 7±
$%7 7[ ± 0+] 5[ ± 0+] &)0 9DULDEOH ± :DWWV 7±
$%7 7[ 0+] 5[ 0+] /60 9DULDEOH :DWWV DYHUDJH 7
$%7 7[ 0+] 5[ 0+] &)0 9DULDEOH :DWWV 7
$% 5[ ± 0+] 5[ ± 0+] 1$ 1$ 7±

&RQYHQWLRQDO 8+) 5 ± 0+]
7DEOH *75 %DVH 5DGLR *HQHUDO 6SHFLILFDWLRQV IRU 7UXQNHG 6LPXOFDVW DQG &RQYHQWLRQDO
8+) 5 ± 0+]
0RGHO 1XPEHU 7$
7$ ZKHUH DSSOLFDEOH
1XPEHU RI &KDQQHOV
6L]H + [ : [ ' PP [ PP [ PP [ [

:HLJKW NJ OEV
7HPSHUDWXUH 5DQJH
2SHUDWLQJ WR & WR )
6WRUDJH WR & WR )
VHD OHYHO

LV &NP ) IHHW

IHHW
3RZHU 5HTXLUHPHQWV 9$& +]
9'&
3RZHU &RQVXPSWLRQ
$& &)0 : PD[
+'436. /60 : PD[
3$ -XO\

*75 %DVH 5DGLR 6SHFLILFDWLRQV IRU 7UXQNHG 6LPXOFDVW DQG &RQYHQWLRQDO 8+) 5 ± 0+] &KDSWHU *75 %DVH 5DGLR 'HVFULSWLRQ
8+) 5 ± 0+] &RQWLQXHG
'& &)0 : PD[
+'436. /60 : PD[
7[ 1 IHPDOH
SSE\U
7HPSHUDWXUH SSE
([WHUQDO 5HIHUHQFH
)UHTXHQF\ 5DQJH ± 0+]
3RZHU 2XWSXW : &)0
± : /60 +'436.
&KDQQHO 6SDFLQJ N+]
0RGXODWLRQ &)0
/60
+'436.
0RGXODWLRQ )LGHOLW\
$WWHQXDWLRQ
7[ 1RLVH LQ 5[ %DQG ± G%F+]
3$ -XO\

*75 %DVH 5DGLR *75 %DVH 5DGLR 6SHFLILFDWLRQV IRU 7UXQNHG 6LPXOFDVW DQG &RQYHQWLRQDO 8+) 5 ± 0+]
&RQYHQWLRQDO 8+) 5 ± 0+] &RQWLQXHG
7DEOH *75 %DVH 5DGLR 5HFHLYHU 6SHFLILFDWLRQV IRU 7UXQNHG 6LPXOFDVW DQG &RQYHQWLRQDO
8+) 5 ± 0+]
&)0 G%P
+&30 G%P
&)0 G%P

VW 0+]
QG 0+]
3$ -XO\

,QGXVWU\ &DQDGD &KDSWHU *75 %DVH 5DGLR 'HVFULSWLRQ
7DEOH *75 %DVH 5DGLR )&& ,' IRU 7UXQNHG 6LPXOFDVW DQG &RQYHQWLRQDO 8+) 5
± 0+]
)&& ,'
)&& 'HVLJQDWLRQ
7\SH $FFHSWDQFH
1XPEHU
± 0+] 7UDQVPLWWHU : &)0 $%=)&
± : /60 +'436.
± 0+] 5HFHLYHU 1$ $%=)5
,QGXVWU\ &DQDGD
7DEOH *75 %DVH 5DGLR ,QGXVWU\ &DQDGD IRU 7UXQNHG 6LPXOFDVW DQG &RQYHQWLRQDO 8+)5
±0+]

1XPEHU 1XPEHU
$%7 7[ ± 0+] 5[ ±0+] /60 9DULDEOH ± :DWWV 7
+'436. 8+)5
$%7 7[ ± 0+] 5[ ± 0+] &)0 9DULDEOH ± :DWWV 7
8+)5
$% 5[ ± 0+] 1$ 1$ 7
8+)5

8+) 5 ± 0+]
0RGHO 1XPEHU 7$
7$ ZKHUH DSSOLFDEOH
1XPEHU RI &KDQQHOV
6L]H + [ : [ ' PP [ PP [ PP [ [

:HLJKW NJ OEV
7HPSHUDWXUH 5DQJH
2SHUDWLQJ WR & WR )
3$ -XO\

*75 %DVH 5DGLR *75 %DVH 5DGLR 6SHFLILFDWLRQV IRU 7UXQNHG 6LPXOFDVW DQG &RQYHQWLRQDO 8+) 5 ± 0+]
8+) 5 ± 0+] &RQWLQXHG
6WRUDJH WR & WR )
VHD OHYHO

LV &NP ) IHHW

IHHW
9'&
3RZHU &RQVXPSWLRQ
$& &)0 : PD[
+'436. /60 : PD[
'& &)0 : PD[
+'436. /60 : PD[
7[ 1 IHPDOH
SSE\U
7HPSHUDWXUH SSE
([WHUQDO 5HIHUHQFH
3RZHU 2XWSXW : &)0
± : /60 +'436.
&KDQQHO 6SDFLQJ N+]
3$ -XO\

*75 %DVH 5DGLR 6SHFLILFDWLRQV IRU 7UXQNHG 6LPXOFDVW DQG &RQYHQWLRQDO 8+) 5 ± 0+] &KDSWHU *75 %DVH 5DGLR 'HVFULSWLRQ
0RGXODWLRQ &)0
/60
+'436.
0RGXODWLRQ )LGHOLW\
$WWHQXDWLRQ
7[ 1RLVH LQ 5[ %DQG G%F+]
7DEOH *75 %DVH 5DGLR 5HFHLYHU 6SHFLILFDWLRQV IRU 7UXQNHG 6LPXOFDVW DQG
&)0 G%P
+&30 G%P
&)0 G%P

VW 0+]
3$ -XO\

QG 0+]
7DEOH *75 %DVH 5DGLR )&& ,' IRU 7UXQNHG 6LPXOFDVW DQG &RQYHQWLRQDO 8+) 5
± 0+]
)&& ,'
)&& 'HVLJQDWLRQ
7\SH $FFHSWDQFH
1XPEHU
± 0+] 7UDQVPLWWHU : &)0 $%=)&
± : /60 +'436.
± 0+] 5HFHLYHU 1$ $%=)5
,QGXVWU\ &DQDGD
7DEOH *75 %DVH 5DGLR ,QGXVWU\ &DQDGD IRU 7UXQNHG 6LPXOFDVW DQG &RQYHQWLRQDO 8+)5 ±
0+]

1XPEHU 1XPEHU
$%7 7[ ± 0+] 5[ ± 0+] /60 9DULDEOH ± :DWWV 7
+'436. 8+)5
$%7 7[ ± 0+] 5[ ± 0+] &)0 9DULDEOH ± :DWWV 7
8+)5
$% 5[ ± 0+] 1$ 1$ 7
8+)5
3$ -XO\

*75 %DVH 5DGLR 6SHFLILFDWLRQV IRU 7UXQNHG 6LPXOFDVW DQG &RQYHQWLRQDO 9+) ± 0+] &KDSWHU *75 %DVH 5DGLR 'HVFULSWLRQ

&RQYHQWLRQDO 9+) ± 0+]
9+) ± 0+]
0RGHO 1XPEHU 7$
7$ ZKHUH DSSOLFDEOH
1XPEHU RI &KDQQHOV
6L]H + [ : [ ' PP [ PP [ PP [ [

:HLJKW NJ OEV
7HPSHUDWXUH 5DQJH
2SHUDWLQJ WR & WR )
6WRUDJH WR & WR )
VHD OHYHO

LV &NP ) IHHW

IHHW
9'&
3RZHU &RQVXPSWLRQ
$& &)0 : PD[
+'436. /60 : PD[
'& &)0 : PD[
+'436. /60 : PD[
7[ 1 IHPDOH
SSE\U
7HPSHUDWXUH SSE
([WHUQDO 5HIHUHQFH
3$ -XO\

*75 %DVH 5DGLR *75 %DVH 5DGLR 6SHFLILFDWLRQV IRU 7UXQNHG 6LPXOFDVW DQG &RQYHQWLRQDO 9+) ± 0+]
9+) ± 0+] &RQWLQXHG
3RZHU 2XWSXW : &)0
± : /60 +'436.
&KDQQHO 6SDFLQJ N+]
0RGXODWLRQ &)0
/60 +'436.
0RGXODWLRQ )LGHOLW\
$WWHQXDWLRQ
&)0 G%P
+&30 G%P
3$ -XO\

*75 %DVH 5DGLR 6SHFLILFDWLRQV IRU 7UXQNHG 6LPXOFDVW DQG &RQYHQWLRQDO 9+) ± 0+] &KDSWHU *75 %DVH 5DGLR 'HVFULSWLRQ
&RQYHQWLRQDO 9+) ± 0+] &RQWLQXHG
&)0 G%P
VW 0+]
QG 0+]
5) ,QSXW &RQQHFWRU ZLWK 2SWLRQDO 3UHVHOHFWRU
1 IHPDOH
7DEOH *75 %DVH 5DGLR )&& ,' IRU 7UXQNHG 6LPXOFDVW DQG &RQYHQWLRQDO 9+) ±
0+]
)&& ,'
)&& 'HVLJQDWLRQ
7\SH $FFHSWDQFH
1XPEHU
± 0+] 7UDQVPLWWHU : &)0 $%=)&
± : /60 +'436.
± 0+] 5HFHLYHU 1$ $%=)5
3$ -XO\

,QGXVWU\ &DQDGD
7DEOH *75 %DVH 5DGLR ,QGXVWU\ &DQDGD IRU 7UXQNHG 6LPXOFDVW DQG &RQYHQWLRQDO 9+) ±
0+]

1XPEHU 1XPEHU
$%7 7[ ± 0+] 5[ ± 0+] &)0 9DULDEOH ± :DWWV 7 9+)
$%7 7[ ± 0+] 5[ ± 0+] /60 +'436. 9DULDEOH ± :DWWV 7 9+)
$% 5[ ± 0+] 1$ 1$ 7 9+)
*75 %DVH 5DGLR 6SHFLILFDWLRQV IRU +LJK 3HUIRUPDQFH 'DWD

DQG 0+]
7DEOH *HQHUDO 6SHFLILFDWLRQV IRU *75 %DVH 5DGLR IRU +3' DQG 0+]
0RGHO 1XPEHU 7$
1XPEHU RI &KDQQHOV
6L]H + [ : [ ' PP [ PP [ PP [ [

:HLJKW NJ OEV
7HPSHUDWXUH 5DQJH
2SHUDWLQJ WR & WR )
6WRUDJH WR & WR )
VHD OHYHO
9'&
3RZHU &RQVXPSWLRQ $& :
'& :
7[ 1 IHPDOH
5[ %1& IHPDOH
)UHTXHQF\ 6WDELOLW\ ([WHUQDO 5HIHUHQFH 75$.
3$ -XO\

*75 %DVH 5DGLR 6SHFLILFDWLRQV IRU +LJK 3HUIRUPDQFH 'DWD DQG 0+] &KDSWHU *75 %DVH 5DGLR 'HVFULSWLRQ
7DEOH *HQHUDO 6SHFLILFDWLRQV IRU *75 %DVH 5DGLR IRU +3' DQG 0+]
&RQWLQXHG
7DEOH 7UDQVPLWWHU 6SHFLILFDWLRQV IRU *75 %DVH 5DGLR IRU +3' DQG 0+]
)UHTXHQF\ 5DQJH 0+]
3RZHU 2XWSXW :
&KDQQHO 6SDFLQJ N+]
0RGXODWLRQ 4$0 4$0 436.
(UURU 9HFWRU 0DJQLWXGH
$WWHQXDWLRQ
(PLVVLRQV 'HVLJQDWRUV .''
7DEOH 5HFHLYHU 6SHFLILFDWLRQV IRU *75 %DVH 5DGLR DQG 0+] +3'
)UHTXHQF\ 5DQJH 0+]
6HQVLWLYLW\ %LW (UURU 5DWH 6WDWLF %(5
4$0 G%P
4$0 G%P
436. G%P
3$ -XO\

*75 %DVH 5DGLR *75 %DVH 5DGLR 6SHFLILFDWLRQV IRU +LJK 3HUIRUPDQFH 'DWD DQG 0+]
7DEOH 5HFHLYHU 6SHFLILFDWLRQV IRU *75 %DVH 5DGLR DQG 0+] +3'
&RQWLQXHG
)DGHG 6HQVLWLYLW\ %LW (UURU 5DWH 78

%(5
4$0 G%P
4$0 G%P
436. G%P
)DGHG 6HQVLWLYLW\ %LW (UURU 5DWH +7
%(5
4$0 G%P
%(5
4$0 G%P
%(5
436. G%P
VW 0+]
QG 0+]
&R&KDQQHO 5HMHFWLRQ 436. G%
5HIHUHQFH VLJQDO LV 436.

7DEOH )&& ,' IRU *75 %DVH 5DGLR IRU +3' DQG 0+]
)&& ,'
)&& 'HVLJQDWLRQ
)UHTXHQF\ 5DQJH 7\SH 3RZHU 2XWSXW 7\SH $FFHSWDQFH 1XPEHU
0+] 5HFHLYHU 1$ $%=)5
3$ -XO\

,QGXVWU\ &DQDGD &KDSWHU *75 %DVH 5DGLR 'HVFULSWLRQ
,QGXVWU\ &DQDGD
7DEOH ,QGXVWU\ &DQDGD IRU *75 %DVH 5DGLR 0+]

1XPEHU 1XPEHU
$%7 7[ ± 0+] 5[ ± 0+] +3' 9DULDEOH ± :DWWV DYHUDJH 7±
$%7 7[ 0+] 5[ 0+] +3' 9DULDEOH :DWWV DYHUDJH 7
3$ -XO\

&KDSWHU

*75 %DVH 5DGLR 7KHRU\ RI 2SHUDWLRQ
)RU DQ XQGHUVWDQGLQJ RI WKH *75 %DVH 5DGLR FRPSRQHQWV UHYLHZ WKH PRGXOHV WKDW SURYLGH
WKH EDVH UDGLR IXQFWLRQDOLW\ WKH PRGXOHV WKDW SURYLGH 5) GLVWULEXWLRQ IXQFWLRQDOLW\ 5)'6 DQG
WKH EDFNSODQH WKDW FRQQHFWV WR RWKHU PRGXOHV ZLWKLQ WKH VLWH
7KLV FKDSWHU H[SODLQV KRZ WKH *75 %DVH 5DGLR ZRUNV LQ WKH FRQWH[W RI \RXU V\VWHP
)XQFWLRQV RI WKH *75 %DVH 5DGLR 0RGXOHV

7KH IROORZLQJ OLVWV *75 %DVH 5DGLR PRGXOHV

7UDQVFHLYHU ;&95 PRGXOH
3RZHU DPSOLILHU PRGXOH QRW DSSOLFDEOH LQ D *3: 5HFHLYHU
)DQ PRGXOH
3RZHU VXSSO\ PRGXOH
)XQFWLRQ RI WKH 7UDQVFHLYHU 0RGXOH

7KH WUDQVFHLYHU ;&95 PRGXOH SURYLGHV WKH FRQWURO H[FLWHU DQG UHFHLYHU IXQFWLRQV IRU WKH
*75 %DVH 5DGLR 7KH ;&95 LV VKRZQ LQ )LJXUH
)LJXUH 7UDQVFHLYHU 0RGXOH )URQW 9LHZ
3$ -XO\

7UDQVFHLYHU &RQWURO %RDUG &KDSWHU *75 %DVH 5DGLR 7KHRU\ RI 2SHUDWLRQ
7KH ;&95 JHQHUDWHV WKH EDVH UDGLR UHIHUHQFH ZKLFK W\SLFDOO\ QHHGV WR EH ORFNHG RQ WR RQH RI PDQ\ SRVVLEOH
H[WHUQDO VRXUFHV 7KH H[WHUQDO VRXUFH FDQ EH WKH H[WHUQDO UHIHUHQFH RSHUDWLQJ DW 0+] DQG 0+] $Q
RSWLRQDO LQWHUQDO IUHTXHQF\ UHIHUHQFH RSHUDWLQJ DW 0+] LV DYDLODEOH LQ D WUDQVFHLYHU RSWLRQ FDUG
7KH ;&95 63, EXV DOORZV FRPPXQLFDWLRQ ZLWK LWV UHFHLYHU DQG H[FLWHU FLUFXLWU\ DV ZHOO
DV WKH SRZHU VXSSO\ DQG SRZHU DPSOLILHU PRGXOHV
7KHUH DUH WZR RU WKUHH FLUFXLW ERDUGV LQ WKH ;&95
;&95 &RQWURO %RDUG 3HUIRUPV WKH FRQWURO PDQDJHPHQW GLJLWDO VLJQDO SURFHVVLQJ
DQG WUDQVPLW DQG UHFHLYH GDWD IRUPDWWLQJ IRU WKH EDVH UDGLR
;&95 5) %RDUG &RQWDLQV '& SRZHU FRQYHUVLRQUHJXODWLRQ DQG SHU
IRUPV UHFHLYHU DQG H[FLWHU IXQFWLRQV
;&95 2SWLRQ &DUG $Q RSWLRQDO ERDUG WKDW DWWDFKHV WR WKH FRQWURO ERDUG 3URYLGHV DQ LQWHUQDO
0+] IUHTXHQF\ UHIHUHQFH DQG ,2 VXSSRUW IRU FRQYHQWLRQDO EDVH UDGLR RSHUDWLRQ
7UDQVFHLYHU &RQWURO %RDUG

7KH PDLQ RSHUDWLQJ VRIWZDUH IRU WKH EDVH UDGLR LV ORDGHG LQ WKH ;&95
V FRQWURO VHFWLRQ $V WKH PDLQ
PDQDJHU IRU WKH EDVH UDGLR WKH ;&95 FRQWURO ERDUG SURYLGHV RSHUDWLRQDO FRQWURO RYHU WKH RWKHU VWDWLRQ
PRGXOHV ,W KDQGOHV WKUHH W\SHV RI LQIRUPDWLRQ IORZ LQ WKH IROORZLQJ ZD\V
6HUYHV DV D JDWHZD\ EHWZHHQ WKH QHWZRUN DQG 5) IXQFWLRQDOLW\ E\ GLVWULEXWLQJ
WKH 5) SD\ORDG WR DQG IURP WKH QHWZRUN
6XSSRUWV RSHUDWLRQDO DQG GLDJQRVWLF IXQFWLRQV ZLWK GLJLWDO FRQWURO GDWD IRU H[DPSOH VLWH
LQIRUPDWLRQ FKDQQHO DVVLJQPHQWV DQG LGHQWLILFDWLRQ QXPEHUV IRU FDOO SURFHVVLQJ
(QVXUHV WKH IORZ RI RWKHU QHWZRUN PDQDJHPHQW FRQILJXUDWLRQ LQIRUPDWLRQ
)LJXUH VKRZV WKH LQIRUPDWLRQ IORZ WKURXJK WKH WUDQVFHLYHU FRQWURO DQG 5) VHFWLRQV
)LJXUH *75 %DVH 5DGLR ,QIRUPDWLRQ )ORZ
7UDQVFHLYHU 5) %RDUG
,Q DGGLWLRQ WR '& SRZHU FRQYHUVLRQUHJXODWLRQ WKH ;&95 5) ERDUG SURYLGHV FLUFXLWU\
IRU WKH IROORZLQJ H[FLWHU DQG UHFHLYHU IXQFWLRQV
3$ -XO\

*75 %DVH 5DGLR ([FLWHU
([FLWHU
7KH H[FLWHU RQ WKH ;&95 5) ERDUG SURYLGHV WKH WUDQVPLWWHU IXQFWLRQV IRU WKH EDVH UDGLR 7KH H[FLWHU
FLUFXLWU\ JHQHUDWHV D ORZOHYHO PRGXODWHG 5) VLJQDO WKDW SDVVHV WR WKH SRZHU DPSOLILHU ,W VXSSRUWV YDULRXV
PRGXODWLRQ W\SHV DV ZHOO DV EDQGZLGWKV XS WR N+] WKURXJK VRIWZDUH SURJUDPPLQJ
7KH H[FLWHU DOVR SURYLGHV D FRQWUROOHG RXWSXW SRZHU OHYHO WR WKH SRZHU DPSOLILHU
7KH ([FLWHU LV SUHVHQW LQ D *3: 5HFHLYHU EXW LV SRZHUHG GRZQ WR VDYH HQHUJ\
5HFHLYHU
7KH UHFHLYHU SURYLGHV HLWKHU VLQJOH UHFHLYHU LQSXW RU GXDO +3' UHFHLYHU LQSXWV IRU GXDO GLYHUVLW\
7KH UHFHLYHU DOVR SURYLGHV HQKDQFHG GLDJQRVWLF FDSDELOLWLHV XVLQJ DQ RQ ERDUG QRLVH VRXUFH
JHQHUDWRU ,W LQFOXGHV D ZLGH WXQLQJ UDQJH HOHFWURQLF YDUDFWRUWXQHG SUHVHOHFWRU 7KH SUHVHOHFWRU
LV HOHFWURQLFDOO\ WXQHG WR WKH GHVLUHG UHFHLYH IUHTXHQF\ DQ\ZKHUH EHWZHHQ 0+] 8+)
5 ± 0+] 8+) 5 0+] RU 9+) ± 0+]
7UDQVFHLYHU ([WHUQDO ,QWHUIDFHV

7KH WUDQVFHLYHU H[WHUQDO LQWHUIDFHV LQFOXGH VHYHQ H[WHUQDO SRUWV D VZLWFK DQG /('V ,I D WUDQVFHLYHU RSWLRQ
FDUG LV SDUW RI WKH WUDQVFHLYHU WKHUH DUH IRXU DGGLWLRQDO H[WHUQDO SRUWV 6HH ³&RQQHFWLRQV ± )URQW´ LQ WKH
,QVWDOODWLRQ FKDSWHU IRU WKH SRUW FRQQHFWLRQV )RU LQIRUPDWLRQ RQ WKH /('V VHH WKH 5HIHUHQFH FKDSWHU
7UDQVFHLYHU 6ZLWFK
7KHUH LV RQH PXOWLIXQFWLRQ 5HVHW VZLWFK RQ WKH IURQW RI WKH WUDQVFHLYHU PRGXOH DFFHVVLEOH
WKURXJK WKH GURSGRZQ GRRU WR WKH OHIW RI WKH IDQV )LJXUH VKRZV WKH ORFDWLRQ RI WKH
5HVHW VZLWFK 7KH 5HVHW VZLWFK KDV WZR IXQFWLRQV
)LJXUH 7UDQVFHLYHU 5HVHW 6ZLWFK YLHZDEOH WKURXJK GURSGRZQ GRRU
7DEOH 7UDQVFHLYHU )URQW 5HVHW 6ZLWFK )XQFWLRQV
8VHU $FWLRQ 5HVXOW

3UHVV VZLWFK IRU OHVV WKDQ VHFRQG $FFHVV 'LVDEOH
3UHVV VZLWFK IRU JUHDWHU WKDQ VHFRQGV 7UDQVFHLYHU &RQWURO 0RGXOH 5HVHW
3$ -XO\

7UDQVFHLYHU 2SWLRQ &DUG ,QWHUFRP %XWWRQ &KDSWHU *75 %DVH 5DGLR 7KHRU\ RI 2SHUDWLRQ
7UDQVFHLYHU 2SWLRQ &DUG ,QWHUFRP %XWWRQ

7KHUH LV RQH LQWHUFRP EXWWRQ RQ WKH IURQW RI WKH WUDQVFHLYHU RSWLRQ FDUG DFFHVVLEOH EHKLQG
WKH IDQ PRGXOH )LJXUH VKRZV WKH ORFDWLRQ RI WKH EXWWRQ 3UHVVLQJ WKH LQWHUFRP EXWWRQ
WRJJOHV WKH LQWHUFRP IXQFWLRQ EHWZHHQ WKH 21 DQG 2)) VWDWHV
7KH WUDQVFHLYHU RSWLRQ FDUG LQWHUFRP IXQFWLRQ LV UHVHUYHG IRU IXWXUH XVH
)LJXUH 7UDQVFHLYHU 2SWLRQ &DUG ,QWHUFRP %XWWRQ EHKLQG IDQ PRGXOH
7UDQVFHLYHU 3RUWV 5HDU

7KH WUDQVFHLYHU LQWHUFRQQHFWV WR WKH EDFNSODQH XVLQJ D ±SLQ +9'0/ GLJLWDO FRQQHFWRU DQG ±SDFN
5) FRQQHFWRU DV VKRZQ LQ )LJXUH 7KHVH FRQQHFWLRQV KDQGOH PXOWLSOH VLJQDOV LQFOXGLQJ SRZHU VXSSO\
FRPPXQLFDWLRQV SRZHU DPSOLILHU FRPPXQLFDWLRQV IDQ LQWHUIDFH DQG SHULSKHUDO LQWHUIDFH 7KH GLJLWDO
FRQQHFWLRQ UHFHLYHV DODUP GDWD ZKLFK DUH XVHG WR SDVV UHIHUHQFH DQG FRQWURO GDWD WR WKH EDVH UDGLR
)RU 7UXQNHG 6LPXOFDVW RU &RQYHQWLRQDO$Q 5-± (WKHUQHW SRUW RQ WKH EDVH UDGLR
EDFNSODQH LV FDEOHG WR D VLWH /$1 VZLWFK IRU WKLV FKDQQHO 7KH EDFNSODQH DOVR SURYLGHV
DQ 5) FRQQHFWLRQ WR WKH WUDQVFHLYHU IRU UHFHLYH 5[ SDWK $
)RU +LJK 3HUIRUPDQFH 'DWD 5-± (WKHUQHW SRUWV RQ WKH EDVH UDGLR EDFNSODQH DUH FDEOHG
WR FRUUHVSRQGLQJ SRUWV RQ WKH VLWH FRQWUROOHU EDFNSODQHV 7KH EDFNSODQH DOVR SURYLGHV
5) FRQQHFWLRQV WR WKH WUDQVFHLYHU IRU UHFHLYH 5[ SDWKV $ DQG %
)LJXUH 7UDQVFHLYHU 0RGXOH %DFNSODQH &RQQHFWLRQV
3$ -XO\

*75 %DVH 5DGLR )XQFWLRQ RI WKH 3RZHU $PSOLILHU 0RGXOH
)XQFWLRQ RI WKH 3RZHU $PSOLILHU 0RGXOH
7KH 3$ PRGXOH LV QRW DSSOLFDEOH LQ D *3: 5HFHLYHU

7KH SRZHU DPSOLILHU 3$ LV D IRUFHG FRQYHFWLRQFRROHG 5) SRZHU DPSOLILHU ,W DFFHSWV D ORZOHYHO
PRGXODWHG 5) VLJQDO IURP WKH WUDQVFHLYHU PRGXOH DQG DPSOLILHV LW IRU WUDQVPLVVLRQ WKURXJK WKH VLWH WUDQVPLW
DQWHQQD $OVR WR FRPSOHWH WKH &DUWHVLDQ FRUUHFWLRQ ORRS OLQHDUL]DWLRQ PHWKRG LW SURYLGHV D ORZ OHYHO
5) IHHGEDFN VLJQDO WR WKH WUDQVFHLYHU PRGXOH WR DFKLHYH WKH UHTXLUHG WUDQVPLWWHU OLQHDULW\
7UDQVPLW SRZHU RXWSXW FDQ EH VHW XVLQJ &RQILJXUDWLRQ6HUYLFH 6RIWZDUH &66 6HH WKH
SURFHGXUH ³+RZ WR &RQILJXUH 7[ 3RZHU 9DOXHV DQG %DWWHU\ 7\SH IRU *75 %DVH 5DGLR
&RQILJXUDWLRQV´ LQ WKH &RQILJXUDWLRQ VHFWLRQ RI WKH GRFXPHQWDWLRQ
7KH SRZHU DPSOLILHU DOVR SHUIRUPV IXQFWLRQV UHODWHG WR WKH IDQ PRGXOH LQFOXGLQJ UHSRUWLQJ RI
WKH IDQ PRGXOH VWDWXV DQG VXSSO\LQJ SRZHU WR WKH IDQ SRZHU EXV
)LJXUH 3RZHU $PSOLILHU 0RGXOH
7KH SRZHU DPSOLILHU LV FRPSULVHG RI VL[ LQWHUQDO PRGXOHV

&RUH %RDUG
&RQYHUWHU %RDUG
'ULYHU $PSOLILHU %RDUG
)LQDO $PSOLILHU %RDUG
'LVWULEXWLRQ %RDUG
2XWSXW &LUFXLWU\
3RZHU $PSOLILHU ,QSXW2XWSXW &RQQHFWLRQV

7KHUH DUH WKUHH HOHFWULFDO FRQQHFWLRQ DVVHPEOLHV RQ WKH SRZHU DPSOLILHU
3$ -XO\

)XQFWLRQ RI WKH )DQ 0RGXOH &KDSWHU *75 %DVH 5DGLR 7KHRU\ RI 2SHUDWLRQ
5) RXWSXW IURQW 41 ³TXLFN1´ FRQQHFWRU RQ IURQW RI SRZHU DPSOLILHU PRGXOH
7KLV FRQQHFWLRQ LV FDEOHG WR WKH 1W\SH IHPDOH EXONKHDG FRQQHFWLRQ

DW WKH UHDU RI WKH EDVH UDGLR KRXVLQJ
'& SRZHU VXSSO\FRQWURO VLJQDO EDFNSODQH FRQQHFWLRQ
5) LQSXWIHHGEDFN EDFNSODQH FRQQHFWLRQ
)LJXUH 3RZHU $PSOLILHU %DFNSODQH &RQQHFWLRQV
)XQFWLRQ RI WKH )DQ 0RGXOH

7KH IDQ PRGXOH SURYLGHV LQWHUPLWWHQW IRUFHG DLU FRROLQJ IRU WKH SRZHU DPSOLILHU DQG WUDQVFHLYHU PRGXOHV 7KH
IDQ PRGXOH KRXVHV WZR PP D[LDO IDQV ZKLFK GHOLYHU D WRWDO RI DSSUR[LPDWHO\ FXELF IHHW SHU PLQXWH
RI DLUIORZ 1RPLQDO IDQ VSHHG LV UHYROXWLRQV SHU PLQXWH (DFK IDQ KDV D EXLOW LQ VSHHG VHQVRU ZKLFK
WXUQV RQ WKH UHG )DQ $ODUP /(' LI WKH IDQ VSHHG IRU HLWKHU IDQ GURSV %(/2: UDWHG VSHHG
7KH IDQ PRGXOH FRQQHFWV WR WKH EDVH UDGLR EDFNSODQH WKURXJK D ±SLQ SRUW RQ WKH IURQW RI WKH EDVH UDGLR FKDVVLV
7KH SRZHU VXSSO\ PRGXOH KDV LWV RZQ IDQ ZKLFK SURYLGHV LQGHSHQGHQW DLUIORZ
)LJXUH VKRZV D IDQ PRGXOH
3$ -XO\

*75 %DVH 5DGLR )XQFWLRQ RI WKH 3RZHU 6XSSO\
)LJXUH )DQ 0RGXOH
)XQFWLRQ RI WKH 3RZHU 6XSSO\

7KH SRZHU VXSSO\ LV VKRZQ LQ )LJXUH
)LJXUH 3RZHU 6XSSO\
7KH SRZHU VXSSO\ RSHUDWHV IURP HLWKHU DQ $& RU '& LQSXW DQG SURYLGHV WKH '&
RSHUDWLQJ YROWDJH IRU WKH EDVH UDGLR
:KHQ RSHUDWLQJ IURP DQ $& VRXUFH WR 9$& +] WKH VXSSO\ JHQHUDWHV WZR
'& RXWSXW YROWDJHV RI 9 ZLWK UHVSHFW WR RXWSXW JURXQG 7KH SRZHU VXSSO\ DXWRPDWLFDOO\
DGMXVWV WR $& LQSXW UDQJHV DQG VXSSOLHV D VWHDG\ RXWSXW
3$ -XO\

$&'& 3RZHU 'LVWULEXWLRQ ² %DVH 5DGLR &KDSWHU *75 %DVH 5DGLR 7KHRU\ RI 2SHUDWLRQ
,Q $& PRGH WKH SRZHU VXSSO\ SURYLGHV D VHSDUDWH EDWWHU\ FKDUJHU ZKLFK FDQ EH XVHG WR PDLQWDLQ WKH FKDUJH
RQ D 9'& QRPLQDO V\VWHP SRVLWLYH RU QHJDWLYH JURXQG LI LQVWDOOHG 7KH VXSSO\ JHQHUDWHV WZR '& RXWSXW
YROWDJHV RI 9 ZLWK UHIHUHQFH WR RXWSXW JURXQG ZKHQ RSHUDWLQJ IURP D '& VRXUFH 9'& WR 9'&
PD[LPXP SRVLWLYH RU QHJDWLYH JURXQG 7KLV YROWDJH OLPLW LQFOXGHV FRQVLGHUDWLRQ RI WKH EDWWHU\ FKDUJLQJ IORDW
YROWDJH DVVRFLDWHG ZLWK WKH LQWHQGHG VXSSO\ V\VWHP UHJDUGOHVV RI WKH PDUNHG SRZHU UDWLQJ RI WKH HTXLSPHQW
7KH EDWWHU\ FKDUJHU LV QRW XVDEOH ZKHQ RSHUDWLQJ IURP D '& LQSXW SRZHU VRXUFH
7KH SRZHU VXSSO\ FRQWDLQV VHYHUDO VZLWFKLQJW\SH SRZHU VXSSO\ FLUFXLWV DV IROORZV
3RZHU IDFWRU FRUUHFWLRQ FLUFXLWU\
%DWWHU\ FKDUJLQJ FLUFXLWU\
'LDJQRVWLFV DQG PRQLWRULQJ FLUFXLWU\
7KH EDWWHU\ FKDUJHU RXWSXWV RI WKH SRZHU VXSSO\ DUH GHVLJQHG WR EH EXVVHG WRJHWKHU VR WKDW XS WR
VL[ SRZHU VXSSOLHV FDQ SURYLGH FKDUJLQJ VHUYLFHV WR D VLQJOH EDWWHU\ EDQN
7KH SRZHU VXSSO\ FRQWUROV LWV RZQ FRQWLQXRXVO\ UXQQLQJ IDQ FKDQJLQJ LWV VSHHG WR IDVW RU VORZ DV QHHGHG
$&'& 3RZHU 'LVWULEXWLRQ ² %DVH 5DGLR

)LJXUH VKRZV WKH $& DQG '& SRZHU GLVWULEXWLRQ LQ WKH *75 %DVH 5DGLR
)LJXUH $& DQG '& 3RZHU 'LVWULEXWLRQ LQ WKH *75 %DVH 5DGLR
3$ -XO\

*75 %DVH 5DGLR 3RZHU 6XSSO\ %DWWHU\ &KDUJHU
,I SUHVHQW WKH *75 %DVH 5DGLR RSHUDWHV IURP $& SRZHU DV WKH SUHIHUUHG SRZHU VRXUFH
:KHQ $& SRZHU LV QRW DYDLODEOH WKH EDVH UDGLR VZLWFKHV WR RSHUDWH IURP WKH '& VRXUFH 2SHUDWLRQ
UHWXUQV WR WKH $& VRXUFH ZKHQ WKH $& VRXUFH LV UHVWRUHG 6ZLWFKRYHU IURP $& WR '& DQG
EDFN DJDLQ LV IXOO\ DXWRPDWLF 1R RSHUDWRU DFWLRQ LV UHTXLUHG
7KH 0DLQ '& RXWSXW RI WKH SRZHU VXSSO\ LV XVHG WR SURYLGH SRZHU WR WKH SRZHU DPSOLILHU DQG WKH WUDQVFHLYHU
7KH $X[LOLDU\ RXWSXW RI WKH SRZHU VXSSO\ LV QRW XVHG ZLWKLQ WKH EDVH UDGLR EXW LV UHVHUYHG IRU XVH DV D
UHGXQGDQW SRZHU LQSXW WR RWKHU VLWH FRPSRQHQWV VXFK DV D VWDQGDORQH VLWH FRQWUROOHU LI LQVWDOOHG DW WKH VLWH
3RZHU 6XSSO\ %DWWHU\ &KDUJHU

7KH SRZHU VXSSO\ LQFOXGHV DQ LQWHJUDWHG EDWWHU\ FKDUJHU 7KH EDWWHU\ FKDUJHU LV FRQWUROOHG HQWLUHO\ WKURXJK
VRIWZDUH UHVLGHQW RQ WKH DVVRFLDWHG WUDQVFHLYHU PRGXOH 6RIWZDUH FRQWDLQV WKH LQIRUPDWLRQ RQ VXSSRUWHG
EDWWHU\ W\SHV DQG REWDLQV XVHU VSHFLILF LQIRUPDWLRQ SHUWDLQLQJ WR WKH SDUWLFXODU VLWH 7KH WUDQVFHLYHU VRIWZDUH
UHFHLYHV EDWWHU\ EXV YROWDJH DQG EDWWHU\ WHPSHUDWXUH LQIRUPDWLRQ IURP WKH SRZHU VXSSO\ DQG XVHV WKHVH
YDULDEOHV LQ FRQMXQFWLRQ ZLWK VXSSRUWHG EDWWHU\ FKDUJLQJ SURILOHV WR UHWXUQ D VLJQDO ZKLFK VHWV WKH FKDUJHU
RXWSXW YROWDJH DSSURSULDWHO\ 7KH EDWWHU\ FKDUJH DQG WHPSHUDWXUH FRQGLWLRQV PD\ EH YLHZHG WKURXJK
&RQILJXUDWLRQ6HUYLFH 6RIWZDUH &66 RU WKURXJK DODUPV VHQW WR 8QLILHG (YHQW 0DQDJHU
7KH PD[LPXP FKDUJLQJ FXUUHQW DYDLODEOH IURP WKH EDVH UDGLR LQWHJUDWHG FKDUJHU LV $ 9'&
QRPLQDO V\VWHP 0RWRUROD UHFRPPHQGV WKDW D EDWWHU\ ZLWK FDSDFLW\ QR ODUJHU WKDQ $KU EH
FRQQHFWHG WR D VLQJOH FKDUJHU LQ RUGHU WR HQVXUH WKDW WKH FKDUJHU LV FDSDEOH RI PDLQWDLQLQJ DQ DGHTXDWH
VWDWHRIFKDUJH RQ WKH EDFNXS EDWWHU\ DQG WKDW WKH EDFNXS EDWWHU\ LV UHVWRUHG WR IXOO FDSDFLW\ ZLWKLQ
D UHDVRQDEOH DPRXQW RI WLPH IROORZLQJ RSHUDWLRQ RQ EDWWHU\ EDFNXS SRZHU
,Q DGGLWLRQ WR VWDQGDUG VHDOHG OHDGDFLG EDWWHULHV YDOYHUHJXODWHG OHDG DFLG RU JHO FHOOV WKH EDVH
UDGLR VXSSRUWV FKDUJLQJ RI YHQWHG OHDGDFLG DQG 1L&G EDWWHULHV
%DWWHU\ 7HPSHUDWXUH 6HQVRU &DEOH

7KH LQWHJUDWHG FKDUJHU LQ WKH SRZHU VXSSO\ SHUIRUPV WHPSHUDWXUH FRPSHQVDWHG EDWWHU\ FKDUJLQJ
ZKHQ WKH WHPSHUDWXUH VHQVRU LV FRQQHFWHG ,I WKH VHQVRU LV GLVFRQQHFWHG WKH FKDUJHU FRQWLQXHV
WR RSHUDWH DV DQ XQFRPSHQVDWHG FKDUJHU ZLWK WKH FKDUJLQJ SURILOH IROORZLQJ WKH PLQLPXP
FKDUJHU YROWDJH VSHFLILHG E\ WKH EDWWHU\ PDQXIDFWXUHU
7KH EDVH UDGLR LQFOXGHV D EDWWHU\ WHPSHUDWXUH VHQVRU SURYLGHG DV D ±IRRW FDEOH ZKLFK DWWDFKHV WR D EDWWHU\
SDFN VXSSOLHG E\ \RXU RUJDQL]DWLRQ DQG WR WKH EDFNSODQH RI WKH EDVH UDGLR 7KLV WKUHHZLUH FDEOH FDUULHV D
YROWDJH VLJQDO WR WKH SRZHU VXSSO\ IURP WKH VHQVRU HOHPHQW ZKLFK QHHGV WR EH PRXQWHG LQ FORVH SUR[LPLW\ WR
WKH VWRUDJH EDWWHU\ 9ROWDJH LV SURSRUWLRQDO WR WKH EDWWHU\ WHPSHUDWXUH DQG LV XVHG E\ GLDJQRVWLF FLUFXLWU\ LQ WKH
SRZHU VXSSO\ PRGXOH 7KLV FDEOH FDQ EH H[WHQGHG WR D WRWDO OHQJWK RI IHHW XVLQJ ±IRRW H[WHQVLRQV )RU
LQVWUXFWLRQV VHH ³0RXQWLQJ WKH %DWWHU\ 7HPSHUDWXUH 6HQVRU´ LQ WKH ,QVWDOODWLRQ VHFWLRQ RI WKH GRFXPHQWDWLRQ
&RQWLQXRXV RSHUDWLRQ ZLWK D GLVFRQQHFWHG VHQVRU LV QRW UHFRPPHQGHG
3$ -XO\

212)) 6ZLWFK IRU 3RZHU 6XSSO\ DQG %DWWHU\ &KDUJHU &KDSWHU *75 %DVH 5DGLR 7KHRU\ RI 2SHUDWLRQ
212)) 6ZLWFK IRU 3RZHU 6XSSO\ DQG %DWWHU\ &KDUJHU

7DEOH LGHQWLILHV WKH VZLWFK VWDWHV IRU WKH SRZHU VXSSO\ DQG EDWWHU\ FKDUJHU
7DEOH *75 %DVH 5DGLR 212)) 6ZLWFK 6WDWHV IRU 3RZHU 6XSSO\ DQG %DWWHU\ &KDUJHU
6ZLWFK 3RVLWLRQ 3RZHU 6XSSO\ 6WDWH %DWWHU\ &KDUJHU 6WDWH

21 &DQ EH VWDUWHG LI GHVLUHG
3RZHU )DFWRU &RUUHFWLRQ
$& LQSXW RQO\
3)& VHFWLRQ LV DFWLYH
$& LQSXW RQO\
0DLQ '& FRQYHUWHU UXQV
WR FUHDWH WKH 0$,1 DQG
$8; '& RXWSXWV
2)) 'LVDEOHG $& LQSXW RQO\
0DLQ '& FRQYHUWHU LV
WXUQHG 2)) DQG WKH
0$,1 DQG $8; '&
RXWSXWV EHFRPH 9'&
3)& VHFWLRQ FRQWLQXHV WR
UXQ LQ DQ LGOH PRGH
3RZHU 6XSSO\ 0RGXOH %DFNSODQH &RQQHFWLRQV

7DEOH LGHQWLILHV WKH FRQQHFWLRQV IRU WKH SRZHU VXSSO\ PRGXOH EDFNSODQH
7DEOH *75 %DVH 5DGLR 3RZHU 6XSSO\ 0RGXOH %DFNSODQH &RQQHFWLRQV
3RUW7\SH 'HVFULSWLRQ
$& ,QSXW RQO\
%DWWHU\ 9'&
'& 3RZHU
3URYLGHV WKH '& LQSXW WR WKH SRZHU VXSSO\ ZKHQ RSHUDWLQJ IURP D '&
DQG &RQWURO
VRXUFH
6LJQDO
&RQQHFWV WKH FKDUJHU RXWSXW WR WKH VWDQGE\ EDWWHU\ ZKHQ RSHUDWLQJ IURP
DQ $& LQSXW ZLWK D VWDQGE\ '& EDWWHU\
9'& LV DQ LQWHUQDO FRQQHFWLRQ DQG QRW DFFHVVLEOH
9'&
3URYLGHV WKH 0DLQ DQG $X[ '& RXWSXWV RI WKH SRZHU VXSSO\ IRU XVH E\
WKH SRZHU DPSOLILHU DQG WUDQVFHLYHU
2WKHU VLJQDOV KDQGOHG E\ WKLV FRQQHFWRU LQFOXGH FRQWURO LQWHUIDFH DQG EDWWHU\
WHPSHUDWXUH LQWHUIDFH
3$ -XO\

*75 %DVH 5DGLR %DFNSODQHV DQG &DUG &DJHV
)LJXUH 3RZHU 6XSSO\ &RQQHFWLRQV 5HDU
%DFNSODQHV DQG &DUG &DJHV

&DUG FDJHV IRU WKH *75 %DVH 5DGLR DUH FUHDWHG ZLWK D ZHOGHG DQG ULYHWHG GH
VLJQ (DFK FDUG FDJH KDV D EDFNSODQH
6HH ³&RQQHFWLRQV IRU 7UXQNHG 6LPXOFDVW DQG &RQYHQWLRQDO´ DQG ³&RQQHFWLRQV IRU
+LJK 3HUIRUPDQFH 'DWD +3'´ LQ WKH ,QVWDOODWLRQ FKDSWHU
3$ -XO\

&KDSWHU

*75 %DVH 5DGLR ,QVWDOODWLRQ
7KLV FKDSWHU GHWDLOV LQVWDOODWLRQ SURFHGXUHV UHODWLQJ WR *75 %DVH 5DGLR
3UH,QVWDOODWLRQ 7DVNV
)ROORZ 3URFHVV WR SHUIRUP WKH LQVWDOODWLRQ WDVNV 0DNH VXUH \RX KDYH WKH IROORZLQJ
DSSURSULDWH FDEOHV
DFFHVV WR 6:'/ &66 DQG 81&
,3'16 LQIRUPDWLRQ
ORJLQ DQG SDVVZRUG LQIRUPDWLRQ
3URFHVV 2YHUYLHZ
3URFHVV SURYLGHV D JHQHUDO GHVFULSWLRQ RI WKH LQVWDOODWLRQ SURFHVV
3URFHVV (TXLSPHQW ,QVWDOODWLRQ 3URFHVV
3UHSDUH WKH VLWH WR FRPSO\ ZLWK WKH 0RWRUROD UHTXLUHPHQWV DQG VSHFLILFDWLRQV IRU
WKH HTXLSPHQW DV OLVWHG LQ WKH 0RWRUROD 5 PDQXDO 6WDQGDUGV DQG *XLGHOLQHV IRU
&RPPXQLFDWLRQ 6LWHV ( 2WKHU FRGHV DQG JXLGHOLQHV WKDW PD\ DSSO\
WR WKH ORFDWLRQ PXVW DOVR EH PHW 6HH *HQHUDO 6DIHW\ 3UHFDXWLRQV RQ SDJH
,QVSHFW DQG LQYHQWRU\ DOO UDFNV FDELQHWV FDEOHV DQG RWKHU HTXLSPHQW ZLWK D
0RWRUROD UHSUHVHQWDWLYH WR HQVXUH WKDW WKH RUGHU LV FRPSOHWH 6HH *HQHUDO
,QVWDOODWLRQ 6WDQGDUGV DQG *XLGHOLQHV RQ SDJH
$ YDULHW\ RI WRROV DUH QHHGHG WR LQVWDOO DQG VHUYLFH WKH HTXLSPHQW ,I
LQIRUPDWLRQ LV QHHGHG UHJDUGLQJ ZKHUH WR REWDLQ DQ\ RI WKH HTXLSPHQW
DQG WRROV OLVWHG FRQWDFW WKH 0RWRUROD 6\VWHP 6XSSRUW &HQWHU 66& 6HH
*HQHUDO ,QVWDOODWLRQ7URXEOHVKRRWLQJ 7RROV RQ SDJH IRU D OLVW RI JHQHUDO
UHFRPPHQGHG WRROV IRU LQVWDOOLQJ DQG VHUYLFLQJ WKH KDUGZDUH
3$ -XO\

*HQHUDO 6DIHW\ 3UHFDXWLRQV &KDSWHU *75 %DVH 5DGLR ,QVWDOODWLRQ
3URFHVV (TXLSPHQW ,QVWDOODWLRQ 3URFHVV &RQWLQXHG

,QVWDOO DOO HTXLSPHQW XVLQJ WKH VLWH GUDZLQJV DQG RWKHU GRFXPHQWV SURYLGHG E\
WKH )LHOG (QJLQHHU 8VH WKH LQVWDOODWLRQ VWDQGDUGV DQG JXLGHOLQHV IRU SODFLQJ DQG
LQVWDOOLQJ HTXLSPHQW
3URSHUO\ JURXQG DOO WKH UDFNV DQG FDELQHWV WR SURWHFW DJDLQVW JURXQG IDXOWV
HOHFWULFDO VXUJHV DQG OLJKWQLQJ 6HH *75 %DVH 5DGLR +DUGZDUH
,QVWDOODWLRQ RQ SDJH
&RQQHFW DOO QHFHVVDU\ FDEOHV ZLWKLQ D UDFN DQG EHWZHHQ WKH UDFNV IRU
V\VWHP LQWHUFRQQHFWLRQ 6HH &RQQHFWLRQV ± 5HDU 7UXQNHG 6LPXOFDVW DQG
&RQYHQWLRQDO RQ SDJH &RQQHFWLRQV ± 5HDU +3' RQ SDJH DQG
&RQQHFWLRQV ± )URQW RQ SDJH
5XQ D SUHOLPLQDU\ FKHFN RI D VLWH EHIRUH DSSO\LQJ SRZHU
6HH *75 %DVH 5DGLR 6RIWZDUH ,QVWDOODWLRQ 3UHUHTXLVLWHV RQ SDJH IRU
D OLVW RI LWHPV \RX QHHG DFFHVV WR SULRU WR LQVWDOOLQJ WKH VRIWZDUH
6HH 'HYLFH ,QVWDOODWLRQ XVLQJ WKH 81& RQ SDJH WR GLVFRYHU WKH EDVH UDGLR
DQG WR ORDG 26 VRIWZDUH LPDJHV IURP WKH 81&
6HH ³&KDSWHU &RQILJXULQJ WKH *75 %DVH 5DGLR 8VLQJ &66´ WR SURJUDP
WKH FRQILJXUDWLRQV LQWR WKH EDVH UDGLR XVLQJ &66
6HH ³&KDSWHU 8VLQJ 9R\HQFH&RQWURO WR &RQILJXUH &HQWUDOL]HG $XWKHQWLFDWLRQ
RQ 'HYLFHV´ WR SURJUDP WKH EDVH UDGLR XVLQJ 81&
*HQHUDO 6DIHW\ 3UHFDXWLRQV

&RPSOLDQFH ZLWK )&& JXLGHOLQHV IRU KXPDQ H[SRVXUH WR (OHFWURPDJQHWLF (QHUJ\

(0( DW 7UDQVPLWWHU $QWHQQD VLWHV JHQHUDOO\ UHTXLUHV WKDW 3HUVRQQHO ZRUNLQJ
DW D VLWH VKDOO EH DZDUH RI WKH SRWHQWLDO IRU H[SRVXUH WR (0( DQG FDQ H[HUFLVH
FRQWURO RI H[SRVXUH E\ DSSURSULDWH PHDQV VXFK DV DGKHULQJ WR ZDUQLQJ VLJQ
LQVWUXFWLRQV XVLQJ VWDQGDUG RSHUDWLQJ SURFHGXUHV ZRUN SUDFWLFHV ZHDULQJ
SHUVRQDO SURWHFWLYH HTXLSPHQW RU OLPLWLQJ WKH GXUDWLRQ RI H[SRVXUH )RU PRUH
GHWDLOV DQG VSHFLILF JXLGHOLQHV VHH $SSHQGL[ $ RI WKH 5 6WDQGDUGV DQG
*XLGHOLQHV IRU &RPPXQLFDWLRQV 6LWHV ( PDQXDO
2EVHUYH WKH IROORZLQJ JHQHUDO VDIHW\ SUHFDXWLRQV GXULQJ DOO SKDVHV RI RSHUDWLRQ VHUYLFH DQG UHSDLU RI WKH
HTXLSPHQW GHVFULEHG LQ WKLV PDQXDO )ROORZ WKH VDIHW\ SUHFDXWLRQV OLVWHG EHORZ DQG DOO RWKHU ZDUQLQJV DQG
FDXWLRQV QHFHVVDU\ IRU WKH VDIH RSHUDWLRQ RI DOO HTXLSPHQW 5HIHU WR WKH DSSURSULDWH VHFWLRQ RI WKH SURGXFW
VHUYLFH PDQXDO IRU DGGLWLRQDO SHUWLQHQW VDIHW\ LQIRUPDWLRQ %HFDXVH RI WKH GDQJHU RI LQWURGXFLQJ DGGLWLRQDO
KD]DUGV GR QRW LQVWDOO VXEVWLWXWH SDUWV RU SHUIRUP DQ\ XQDXWKRUL]HG PRGLILFDWLRQV RI HTXLSPHQW
3$ -XO\

*75 %DVH 5DGLR *HQHUDO 6DIHW\ 3UHFDXWLRQV
7KH LQVWDOODWLRQ SURFHVV UHTXLUHV SUHSDUDWLRQ DQG NQRZOHGJH RI WKH VLWH EHIRUH
LQVWDOODWLRQ EHJLQV 5HYLHZ LQVWDOODWLRQ SURFHGXUHV DQG SUHFDXWLRQV LQ WKH 0RWRUROD
5 PDQXDO 6WDQGDUGV DQG *XLGHOLQHV IRU &RPPXQLFDWLRQV 6LWHV (
EHIRUH SHUIRUPLQJ DQ\ VLWH RU FRPSRQHQW LQVWDOODWLRQ
$OZD\V IROORZ DOO DSSOLFDEOH VDIHW\ SURFHGXUHV VXFK DV 2FFXSDWLRQDO 6DIHW\ DQG +HDOWK $GPLQLVWUDWLRQ
26+$ UHTXLUHPHQWV 1DWLRQDO (OHFWULFDO &RGH 1(& UHTXLUHPHQWV ORFDO FRGH UHTXLUHPHQWV VDIH ZRUNLQJ
SUDFWLFHV DQG JRRG MXGJPHQW PXVW EH XVHG E\ SHUVRQQHO *HQHUDO VDIHW\ SUHFDXWLRQV LQFOXGH WKH IROORZLQJ
5HDG DQG IROORZ DOO ZDUQLQJ QRWLFHV DQG LQVWUXFWLRQV PDUNHG RQ WKH SURGXFW RU
LQFOXGHG LQ WKLV PDQXDO EHIRUH LQVWDOOLQJ VHUYLFLQJ RU RSHUDWLQJ WKH HTXLSPHQW
5HWDLQ WKHVH VDIHW\ LQVWUXFWLRQV IRU IXWXUH UHIHUHQFH
,I WURXEOHVKRRWLQJ WKH HTXLSPHQW ZKLOH SRZHU LV RQ EH DZDUH RI WKH OLYH FLUFXLWV
'R QRW RSHUDWH WKH UDGLR WUDQVPLWWHUV XQOHVV DOO 5) FRQQHFWRUV DUH VHFXUH
DQG DOO FRQQHFWRUV DUH SURSHUO\ WHUPLQDWHG
$OO HTXLSPHQW PXVW EH SURSHUO\ JURXQGHG LQ DFFRUGDQFH ZLWK WKH 0RWRUROD 5
PDQXDO 6WDQGDUGV DQG *XLGHOLQHV IRU &RPPXQLFDWLRQV 6LWHV ( DQG
VSHFLILHG LQVWDOODWLRQ LQVWUXFWLRQV IRU VDIH RSHUDWLRQ
6ORWV DQG RSHQLQJV LQ WKH FDELQHW DUH SURYLGHG IRU YHQWLODWLRQ 'R QRW EORFN RU
FRYHU RSHQLQJV WKDW SURWHFW WKH GHYLFHV IURP RYHUKHDWLQJ
2QO\ D TXDOLILHG WHFKQLFLDQ IDPLOLDU ZLWK VLPLODU HOHFWURQLF HTXLSPHQW VKRXOG VHUYLFH HTXLSPHQW
6RPH HTXLSPHQW FRPSRQHQWV FDQ EHFRPH H[WUHPHO\ KRW GXULQJ RSHUDWLRQ 7XUQ RII DOO
SRZHU WR WKH HTXLSPHQW DQG ZDLW XQWLO VXIILFLHQWO\ FRRO EHIRUH WRXFKLQJ
0DLQWDLQ HPHUJHQF\ ILUVW DLG NLWV DW WKH VLWH
+DYH SHUVRQQHO FDOO LQ ZLWK WKHLU WUDYHO URXWHV WR KHOS HQVXUH WKHLU VDIHW\
ZKLOH WUDYHOLQJ EHWZHHQ UHPRWH VLWHV
,QVWLWXWH D FRPPXQLFDWLRQV URXWLQH GXULQJ FHUWDLQ KLJKHU ULVN SURFHGXUHV ZKHUH
WKH RQVLWH WHFKQLFLDQ FRQWLQXDOO\ XSGDWHV PDQDJHPHQW RU VDIHW\ SHUVRQQHO RI WKH
SURJUHVV VR WKDW KHOS FDQ EH GLVSDWFKHG LI QHHGHG
1HYHU VWRUH FRPEXVWLEOH PDWHULDOV LQ RU QHDU HTXLSPHQW UDFNV 7KH FRPELQDWLRQ RI FRPEXVWLEOH
PDWHULDO KHDW DQG HOHFWULFDO HQHUJ\ LQFUHDVHV WKH ULVN RI D ILUH VDIHW\ KD]DUG
(TXLSPHQW VKDOO EH LQVWDOOHG LQ VLWH PHHWLQJ WKH UHTXLUHPHQWV RI D ³UHVWULFWHG DFFHVV ORFDWLRQ´
SHU 8/ ZKLFK LV GHILQHG DV IROORZV $FFHVV FDQ RQO\ EH JDLQHG E\ VHUYLFH SHUVRQV RU
E\ XVHU ZKR KDV EHHQ ZDUQHG DERXW WKH SRVVLEOH EXUQ KD]DUG RQ HTXLSPHQW PHWDO KRXVLQJ
$FFHVV WR WKH HTXLSPHQW LV WKURXJK WKH XVH RI D WRRO RU ORFN DQG NH\ RU RWKHU PHDQV RI
VHFXULW\ DQG LV FRQWUROOHG E\ WKH DXWKRULW\ UHVSRQVLEOH IRU WKH ORFDWLRQ´
%XUQ KD]DUG 7KH PHWDO KRXVLQJ RI WKH SURGXFW PD\ EHFRPH H[WUHPHO\
KRW 8VH FDXWLRQ ZKHQ ZRUNLQJ DURXQG WKH HTXLSPHQW
3$ -XO\

'& 0DLQV *URXQGLQJ &RQQHFWLRQV &KDSWHU *75 %DVH 5DGLR ,QVWDOODWLRQ
)LJXUH :DUQLQJ /DEHO RQ +RW 0RGXOHV
$OO 7[ DQG 5[ 5) FDEOHV

RXWHU VKLHOGV PXVW EH JURXQGHG SHU
0RWRUROD 5 UHTXLUHPHQWV
'& LQSXW YROWDJH VKDOO EH QR KLJKHU WKDQ 9'& 7KLV PD[LPXP YROWDJH VKDOO
LQFOXGH FRQVLGHUDWLRQ RI WKH EDWWHU\ FKDUJLQJ IORDW YROWDJH DVVRFLDWHG ZLWK WKH
LQWHQGHG VXSSO\ V\VWHP UHJDUGOHVV RI WKH PDUNHG SRZHU UDWLQJ RI WKH HTXLSPHQW
)DLOXUH WR IROORZ WKLV JXLGHOLQH PD\ UHVXOW LQ HOHFWULF VKRFN
$OO 7[ DQG 5[ 5) FDEOHV VKDOO EH FRQQHFWHG WR D VXUJH SURWHFWLRQ

GHYLFH DFFRUGLQJ WR 0RWRUROD 5 GRFXPHQWV 'R QRW FRQQHFW 7[ DQG
5[ 5) FDEOHV GLUHFWO\ WR RXWVLGH DQWHQQD
5) HQHUJ\ EXUQ KD]DUG 'LVFRQQHFW SRZHU LQ WKH FDELQHW WR SUHYHQW LQMXU\

ZKLOH GLVFRQQHFWLQJ DQG FRQQHFWLQJ DQWHQQDV
$OO HTXLSPHQW PXVW EH VHUYLFHG E\ 0RWRUROD WUDLQHG SHUVRQQHO
'& 0DLQV *URXQGLQJ &RQQHFWLRQV
7KLV HTXLSPHQW LV GHVLJQHG WR SHUPLW WKH FRQQHFWLRQ RI WKH HDUWKHG FRQGXFWRU

RI WKH '& VXSSO\ FLUFXLW WR WKH HDUWKLQJ FRQGXFWRU DW WKH HTXLSPHQW ,I WKLV
FRQQHFWLRQ LV PDGH DOO RI WKH IROORZLQJ FRQGLWLRQV PXVW EH PHW
3$ -XO\

*75 %DVH 5DGLR 'LVFRQQHFW 'HYLFH ² 3HUPDQHQWO\ &RQQHFWHG
7KLV HTXLSPHQW PXVW EH FRQQHFWHG GLUHFWO\ WR WKH '& VXSSO\ V\VWHP HDUWKLQJ HOHFWURGH
FRQGXFWRU RU WR D ERQGLQJ MXPSHU IURP DQ HDUWKLQJ WHUPLQDO EDU RU EXV LQ ZKLFK WKH
'& VXSSO\ V\VWHP HDUWKLQJ HOHFWURGH FRQGXFWRU LV FRQQHFWHG
7KLV HTXLSPHQW PXVW EH ORFDWHG LQ WKH VDPH LPPHGLDWH DUHD VXFK DV DGMDFHQW FDELQHWV
DV DQ\ RWKHU HTXLSPHQW WKDW KDV D FRQQHFWLRQ EHWZHHQ WKH HDUWKHG FRQGXFWRU RI WKH
VDPH '& VXSSO\ FLUFXLW DQG WKH HDUWKLQJ FRQGXFWRU DQG DOVR WKH SRLQW RI HDUWKLQJ RI
WKH '& V\VWHP 7KH '& V\VWHP PXVW QRW EH HDUWKHG HOVHZKHUH
7KH '& VXSSO\ VRXUFH LV WR EH ORFDWHG ZLWKLQ WKH VDPH SUHPLVHV DV WKH HTXLSPHQW
6ZLWFKLQJ RU GLVFRQQHFWLQJ GHYLFHV PXVW QRW EH LQ WKH HDUWKHG FLUFXLW FRQGXFWRU EHWZHHQ
WKH '& VRXUFH DQG WKH SRLQW RI FRQQHFWLRQ RI WKH HDUWKLQJ HOHFWURGH FRQGXFWRU
'LVFRQQHFW 'HYLFH ² 3HUPDQHQWO\ &RQQHFWHG

$ UHDGLO\ DFFHVVLEOH GLVFRQQHFW GHYLFH FLUFXLW EUHDNHU RU VZLWFK PXVW EH LQFRUSR
UDWHG LQ WKH EXLOGLQJ LQVWDOODWLRQ ZLULQJ
0XOWLSOH 3RZHU 6RXUFH

7KLV SURGXFW KDV PXOWLSOH SRZHU VRXUFHV ,I VHUYLFH UHTXLUHV WKH UHPRYDO RI D SRZHU VRXUFH GLVFRQQHFW DOO
LQSXWV $& DQG '& SRZHUV WR UHPRYH SRZHU FRPSOHWHO\ WR WKH HTXLSPHQW EHIRUH VHUYLFLQJ
&RQQHFWLRQ WR 3ULPDU\ 3RZHU

)RU VXSSO\ FRQQHFWLRQV XVH ZLUHV VXLWDEOH IRU DW OHDVW &
5HSODFHDEOH %DWWHULHV
5LVN RI ([SORVLRQ LI %DWWHU\ LV UHSODFHG E\ DQ LQFRUUHFW W\SH 'LVSRVH

RI 8VHG %DWWHULHV $FFRUGLQJ WR WKH ,QVWUXFWLRQV
0DLQWHQDQFH 5HTXLULQJ 7ZR 3HRSOH

,GHQWLI\ PDLQWHQDQFH DFWLRQV WKDW UHTXLUH WZR SHRSOH WR SHUIRUP WKH UHSDLU 7ZR SHRSOH DUH UHTXLUHG ZKHQ
$ UHSDLU KDV WKH ULVN RI LQMXU\ WKDW ZRXOG UHTXLUH RQH SHUVRQ WR SHUIRUP ILUVW
DLG RU FDOO IRU HPHUJHQF\ VXSSRUW $Q H[DPSOH ZRXOG EH ZRUN DURXQG KLJK
YROWDJH VRXUFHV $ VHFRQG SHUVRQ PD\ EH UHTXLUHG WR UHPRYH SRZHU DQG FDOO IRU
HPHUJHQF\ DLG LI DQ DFFLGHQW RFFXUV WR WKH ILUVW SHUVRQ
3$ -XO\

(TXLSPHQW 5DFNV &KDSWHU *75 %DVH 5DGLR ,QVWDOODWLRQ
8VH WKH 1DWLRQDO ,QVWLWXWH RI 2FFXSDWLRQDO 6DIHW\ DQG +HDOWK 1,26+ OLIWLQJ
HTXDWLRQ WR GHWHUPLQH ZKHWKHU RQH RU WZR SHUVRQ OLIW LV UHTXLUHG ZKHQ D V\VWHP
FRPSRQHQW PXVW EH UHPRYHG DQG UHSODFHG LQ LWV UDFN
(TXLSPHQW 5DFNV
(TXLSPHQW UDFNV VKRXOG RQO\ EH OLIWHG ZLWKRXW WKH XVH RI OLIWLQJ HTXLSPHQW ZKHQ VXIILFLHQW SHUVRQQHO DUH
DYDLODEOH WR HQVXUH WKDW UHJXODWLRQV FRYHULQJ KHDOWK DQG VDIHW\ DUH QRW EUHDFKHG 0RWRUROD UHFRPPHQGV WKH XVH
RI DQ DSSURSULDWH SRZHUHG PHFKDQLFDO OLIWLQJ DSSDUDWXV IRU PRYLQJ DQG OLIWLQJ WKH HTXLSPHQW UDFNV ,Q DGGLWLRQ
WR WKHVH SRLQWV UHIHU WR DQG FRPSO\ ZLWK DQ\ ORFDO UHJXODWLRQV WKDW JRYHUQ WKH XVH RI OLIWLQJ HTXLSPHQW
&UXVK KD]DUG FRXOG UHVXOW LQ GHDWK SHUVRQDO LQMXU\ RU HTXLSPHQW

GDPDJH (TXLSPHQW UDFNV FDQ ZHLJK XS WR NJ OE )ROORZ WKH
LQVWUXFWLRQV EHORZ IRU SURSHU OLIWLQJ SURFHGXUHV
/LIWLQJ (TXLSPHQW 5DFNV +RUL]RQWDOO\

,Q VRPH FDVHV HTXLSPHQW UDFNV DUH VKLSSHG LQ WKH KRUL]RQWDO SRVLWLRQ 8VH WKH DSSURSULDWH OLIWLQJ
DSSDUDWXV WR OLIW WKH UDFNV XSULJKW &RPSO\ ZLWK DOO DSSOLFDEOH KHDOWK DQG VDIHW\ UHJXODWLRQV
DQG DQ\ RWKHU UHJXODWLRQV DSSOLFDEOH WR OLIWLQJ KHDY\ HTXLSPHQW
'R QRW XVH WKH H\H QXWV PRXQWHG RQ WKH WRS RI WKH UDFN WR OLIW WKH UDFN XSULJKW IURP D KRUL]RQWDO
SRVLWLRQ 7KH H\H QXWV DUH QRW GHVLJQHG WR OLIW KRUL]RQWDOO\ DQG FRXOG IDLO UHVXOWLQJ LQ GDPDJH
WR HTXLSPHQW RU LQMXU\ WR SHUVRQQHO LI XVHG LPSURSHUO\
&UXVK KD]DUG FRXOG UHVXOW LQ GHDWK SHUVRQDO LQMXU\ RU HTXLSPHQW GDPDJH
/LIWLQJ (TXLSPHQW 5DFNV 9HUWLFDOO\

6RPH HTXLSPHQW UDFNV KDYH IRXU 0 H\H QXWV PRXQWHG LQ WKH WRS RI WKH UDFN 8VH WKHVH H\H
QXWV WR OLIW WKH HTXLSPHQW UDFN YHUWLFDOO\ %HIRUH XVLQJ WKHVH H\H QXWV YLVXDOO\ FKHFN WKHP DQG WKH
UDFN KDUGZDUH IRU DQ\ GDPDJH WKDW PD\ KDYH RFFXUUHG GXULQJ VKLSSLQJ
'R QRW XVH WKH H\H QXWV LI GDPDJH LV DSSDUHQW &RQWDFW 0RWRUROD IRU UHSODFHPHQWV
3$ -XO\

*75 %DVH 5DGLR /LIWLQJ (TXLSPHQW 5DFNV 9HUWLFDOO\
8VH DOO IRXU H\H QXWV ZKHQ OLIWLQJ WKH HTXLSPHQW UDFN 7KH PLQLPXP GLVWDQFH IURP HDFK H\H QXW WR WKH
OLIWLQJ SRLQW PXVW EH PHWHUV LQ 8VLQJ D VKRUWHU OHQJWK WKDQ WKDW VSHFLILHG FRXOG FDXVH WKH H\H
QXWV WR IDLO )LJXUH VKRZV WKH PLQLPXP OHQJWKV DQG SURSHU OLIWLQJ DQJOHV XVLQJ WKH H\H QXWV
)LJXUH /HQJWKV DQG $QJOHV IRU /LIWLQJ 8VLQJ WKH H\H QXWV
,I H\H QXWV DUH UHPRYHG RU EHFRPH ORRVH LQVWDOO WKHP SURSHUO\ EHIRUH OLIWLQJ WKH HTXLSPHQW UDFN 7LJKWHQ
WKH H\H QXWV DQG EROW DVVHPEO\ E\ KDQG &RUUHFW H\H QXW WLJKWQHVV DQG DOLJQPHQW DUH FUXFLDO WR HQVXUH WKH
H\H QXW DVVHPEO\ SHUIRUPV WR LWV LQWHQGHG OLIWLQJ FDSDFLW\ 7KH H\H QXWV PXVW EH DOLJQHG WR SRLQW WRZDUGV
WKH FHQWHU OLIWLQJ SRLQW RI WKH FDELQHW DQG WLJKWHQHG WR EHWZHHQ WR LQOEV WRUTXH
)LJXUH VKRZV WKH SURSHU DOLJQPHQW RI WKH H\H QXWV
3$ -XO\

*HQHUDO ,QVWDOODWLRQ 6WDQGDUGV DQG *XLGHOLQHV &KDSWHU *75 %DVH 5DGLR ,QVWDOODWLRQ
)LJXUH 3URSHU $OLJQPHQW RI WKH H\H QXWV
*HQHUDO ,QVWDOODWLRQ 6WDQGDUGV DQG *XLGHOLQHV

7KLV VHFWLRQ SURYLGHV VHYHUDO JXLGHOLQHV WR HQVXUH D TXDOLW\ LQVWDOO 5HYLHZ WKHVH JXLGHOLQHV EHIRUH
XQSDFNLQJ DQG LQVWDOOLQJ WKH V\VWHP $GGLWLRQDOO\ UHYLHZ WKH LQVWDOODWLRQ LQIRUPDWLRQ LQ WKH 0RWRUROD 5
PDQXDO6WDQGDUGV DQG *XLGHOLQHV IRU &RPPXQLFDWLRQ 6LWHV ( IRU PRUH GHWDLOV LQFOXGLQJ
(TXLSPHQW LQVWDOODWLRQ
$QWHQQD LQVWDOODWLRQ
<RX VKRXOG DOVR UHYLHZ LQVWDOODWLRQ LQIRUPDWLRQ VSHFLILFDOO\ IRU *75 %DVH 5DGLRV DQG
VXEV\VWHPV LQ *75 %DVH 5DGLR +DUGZDUH ,QVWDOODWLRQ RQ SDJH
3$ -XO\

*75 %DVH 5DGLR *HQHUDO 6LWH 3UHSDUDWLRQ 2YHUYLHZ
*HQHUDO 6LWH 3UHSDUDWLRQ 2YHUYLHZ

3HUIRUP WKH DFWLYLWLHV OLVWHG LQ 7DEOH WR HQVXUH SURSHU VLWH SUHSDUDWLRQ 7KH WDEOH
UHIHUHQFHV VSHFLILF FKDSWHUV LQ WKH 0RWRUROD 5 PDQXDO 6WDQGDUGV DQG *XLGHOLQHV IRU
&RPPXQLFDWLRQ 6LWHV ( IRU PRUH LQIRUPDWLRQ
7DEOH $FWLYLWLHV IRU 6LWH 3UHSDUDWLRQ
&KDSWHU 5HIHUHQFH
$FWLYLW\ 'HVFULSWLRQ RI $FWLYLW\
3(
5HYLHZ WKH VLWH SODQ
3UHYHQWV SRWHQWLDO RQVLWH &KDSWHU ³6LWH 'HVLJQ DQG
DQG RIIVLWH LQWHUIHUHQFH E\ 'HYHORSPHQW´
ORFDO WUXQNHG V\VWHPV
0LQLPL]HV FDEOH OHQJWKV
'HWHUPLQHV WKH ORFDWLRQ RI
WHOHFRP HTXLSPHQW
'HWHUPLQH VLWH DFFHVV 2XWOLQHV RI VLWH DFFHVV DQG
&KDSWHU ³6LWH
DQG VHFXULW\ VHFXULW\ PHDVXUHV
$FTXLVLWLRQ´
&KDSWHU ³6LWH 'HVLJQ DQG
'HYHORSPHQW´
5HYLHZ VDIHW\ 2XWOLQHV JHQHUDO LQVWDOODWLRQ DQG
&KDSWHUV ³6DIHW\
FRQVLGHUDWLRQV HQYLURQPHQWDO VDIHW\ JXLGHOLQHV
6XPPDU\´
DQG UHTXLUHPHQWV DV ZHOO DV
26+$ UHODWHG FRQVLGHUDWLRQV &KDSWHU
³&RPPXQLFDWLRQV 6LWH
%XLOGLQJ 'HVLJQ DQG
,QVWDOODWLRQ´
6FKHGXOH LQVWDOODWLRQ (QVXUHV RSWLRQV DQG
&KDSWHU ³6LWH
RI WHOHSKRQH VHUYLFH IXQFWLRQV RI RQVLWH WZRZD\
$FTXLVLWLRQ´
FRPPXQLFDWLRQV IRU SHUVRQQHO
VDIHW\ DQG PDLQWHQDQFH
5HYLHZ JURXQGLQJ (QVXUHV WKH VLWH PHHWV RU H[FHHGV
&KDSWHU ³([WHUQDO
VSHFLILFDWLRQV WKH 4XDOLW\ $XGLW &KHFNOLVW LQ
*URXQGLQJ´
$SSHQGL[ ) DV ZHOO DV WKH 3RZHU
DQG *URXQGLQJ &KHFNOLVW LQ &KDSWHU ³,QWHUQDO *URXQG´
$SSHQGL[ '
&KDSWHU ³3RZHU 6RXUFHV´
&KDSWHU ³7UDQVLHQW
9ROWDJH 6XUJH 6XSSUHVVLRQ´
6FKHGXOH LQVWDOODWLRQ &RYHUV JURXQGLQJ SRZHU
&KDSWHUV ³([WHUQDO
RI VLWH SRZHU VRXUFHV DQG VXUJH SURWHFWLRQ
*URXQGLQJ´
&KDSWHU ³,QWHUQDO *URXQG´
&KDSWHU ³3RZHU 6RXUFHV´
&KDSWHU ³7UDQVLHQW
9ROWDJH 6XUJH 6XSSUHVVLRQ´
3$ -XO\

*HQHUDO (TXLSPHQW ,QVSHFWLRQ DQG ,QYHQWRU\ 5HFRPPHQGDWLRQV &KDSWHU *75 %DVH 5DGLR ,QVWDOODWLRQ
*HQHUDO (TXLSPHQW ,QVSHFWLRQ DQG ,QYHQWRU\ 5HFRPPHQGDWLRQV

0RWRUROD UHFRPPHQGV WKDW DQ LQYHQWRU\ RI DOO HTXLSPHQW LV WDNHQ ZLWK D 0RWRUROD UHSUHVHQWDWLYH WR HQVXUH
WKDW WKH RUGHU LV FRPSOHWH &DUHIXOO\ LQVSHFW DOO HTXLSPHQW DQG DFFHVVRULHV WR YHULI\ WKH\ DUH LQ JRRG
FRQGLWLRQ 3URPSWO\ UHSRUW DQ\ GDPDJHG RU PLVVLQJ LWHPV WR D 0RWRUROD UHSUHVHQWDWLYH
'R QRW WDPSHU ZLWK IDFWRU\ FRQILJXUDWLRQ VHWWLQJV IRU WKHVH GHYLFHV 7KLV
LQFOXGHV VRIWZDUH FRQILJXUDWLRQ ILUPZDUH UHOHDVH SDVVZRUG DQG SK\VLFDO
FRQQHFWLRQV 0RWRUROD KDV FRQILJXUHG DQG FRQQHFWHG WKHVH GHYLFHV WR PHHW
YHU\ VSHFLILF SHUIRUPDQFH UHTXLUHPHQWV 7DPSHULQJ ZLWK WKHVH GHYLFHV PD\
UHVXOW LQ XQSUHGLFWDEOH V\VWHP SHUIRUPDQFH RU FDWDVWURSKLF IDLOXUH
*HQHUDO 3ODFHPHQW DQG 6SDFLQJ 5HFRPPHQGDWLRQV

7KH IROORZLQJ DUH UHFRPPHQGDWLRQV IRU SODFLQJ HTXLSPHQW DW D VLWH
3ODFH HDFK UDFN RQ D ILUP OHYHO DQG VWDEOH VXUIDFH DQG EROW WKH UDFNV WRJHWKHU
8VH FRUUHFW PRXQWLQJ KDUGZDUH DQG VKLPV WR SUHYHQW UDFN PRYHPHQW
8VH VWUDLQ UHOLHI ZKHQ LQVWDOOLQJ DQG SRVLWLRQLQJ FDEOHV DQG FRUGV WR KHOS
HQVXUH WKDW QR LQWHUUXSWLRQ RI VHUYLFH RFFXUV
3URYLGH DQ DSSURSULDWH DPRXQW RI VSDFH DURXQG DOO FRPSRQHQWV WR DOORZ IRU SURSHU
DLU IORZ FRROLQJ DQG VDIH DFFHVV WR HTXLSPHQW
/RFDWH WKH VLWH UDFNV DQG RWKHU HTXLSPHQW ZLWK HQRXJK VSDFLQJ WR DOORZ DFFHVV IRU VHUYLFH
3URSHU VSDFLQJ RI HTXLSPHQW LV HVVHQWLDO IRU HDVH RI PDLQWHQDQFH DQG VDIHW\ RI

SHUVRQQHO 6SDFLQJ UHTXLUHPHQWV KDYH EHHQ HVWDEOLVKHG WR PHHW WKH 1DWLRQDO )LUH
3URWHFWLRQ $VVRFLDWLRQV 1)3$ &RGH DQG WKH $PHULFDQ 6RFLHW\ RI +HDWLQJ
5HIULJHUDWLQJ DQG $LU &RQGLWLRQLQJ (QJLQHHUV $6+5$( VWDQGDUGV $OVR
DGKHUH WR DQ\ ORFDO UHJXODWLRQV WKDW DSSO\ WR WKH LQVWDOODWLRQ
/RFDWH WKH V\VWHP LQ DQ DUHD WKDW LV IUHH RI GXVW VPRNH DQG HOHFWURVWDWLF GLVFKDUJH (6'
6HH WKH 0RWRUROD 5 PDQXDO 6WDQGDUGV DQG *XLGHOLQHV IRU &RPPXQLFDWLRQ 6LWHV
( IRU GHWDLOV RQ WKHVH VSDFH UHTXLUHPHQWV
*HQHUDO &DELQHW %UDFLQJ 5HFRPPHQGDWLRQV

8VH DOO VXSSOLHG EUDFLQJ KDUGZDUH ZKHQ LQVWDOOLQJ D UDFN RU FDELQHW DQG VHFXUH DOO
HTXLSPHQW ZLWKLQ D UDFN RU FDELQHW
3$ -XO\

*75 %DVH 5DGLR *HQHUDO )ORRU 0RXQWLQJ 3URFHGXUH IRU &DELQHWV RU 5DFNV
,I DGGLWLRQDO HTXLSPHQW QHHGV WR EH LQVWDOOHG UHIHU WR WKH V\VWHP GHVLJQ GRFXPHQW SURYLGHG E\
WKH ILHOG HQJLQHHU RU FRQVXOW WKH 0RWRUROD )LHOG 5HSUHVHQWDWLYH
6XEV\VWHP FDELQHWV DUH VHOIVXSSRUWLQJ VWUXFWXUHV ,Q DUHDV VXEMHFW WR VHLVPLF DFWLYLW\ DGGLWLRQDO EUDFLQJ RI
WKH FDELQHW PD\ EH UHTXLUHG WR SUHYHQW LW IURP WLSSLQJ +RZHYHU WKH EUDFLQJ KDUGZDUH PXVW EH ORFDOO\
SURFXUHG 7KHUH DUH QR VSHFLILF SURFHGXUHV ZLWKLQ WKLV PDQXDO IRU EUDFLQJ FDELQHWV LQ DFWLYH VHLVPLF DUHDV
*HQHUDO )ORRU 0RXQWLQJ 3URFHGXUH IRU &DELQHWV RU 5DFNV

3HUIRUP WKH IROORZLQJ VWHSV WR SURSHUO\ LQVWDOO D VXEV\VWHP FDELQHW RU RSHQ UDFN ZLWKLQ D
VLWH EXLOGLQJ &DELQHWV DQG UDFNV PXVW EH VHFXUHG WR WKH IORRU IRU RSWLPXP VWDELOLW\ 7KLV
SURFHGXUH LV ZULWWHQ VR WKDW WKH FDELQHW LV PRYHG RQO\ RQFH
3URFHGXUH +RZ WR 0RXQW D &DELQHW RU 2SHQ 5DFN WR WKH )ORRU
&DUHIXOO\ PDUN WKH PRXQWLQJ KROHV ZLWK D SHQFLO DV LQGLFDWHG RQ WKH DSSURSULDWH
FDELQHW RU UDFN IRRWSULQW
'ULOO WKH PDUNHG PRXQWLQJ KROHV WR WKH DSSURSULDWH GHSWK RI WKH PRXQWLQJ
KDUGZDUH ZLWK D KDPPHU GULOO DQG ELW
,QVHUW DQ DQFKRU LQWR WKH GULOOHG KROH ,I QHFHVVDU\ WDS WKH DQFKRU LQWR SODFH
XVLQJ D KDPPHU
)RU FDELQHWV UHPRYH WKH IRXU VFUHZV VHFXULQJ WKH ERWWRP NLFN SDQHO WR WKH IURQW
DQG EDFN RI WKH FDELQHW 5HPRYH WKH NLFN SDQHO DQG VHW DVLGH GXULQJ LQVWDOODWLRQ
&DUHIXOO\ PRYH WKH FDELQHW RU UDFN LQWR WKH SRVLWLRQ LQGLFDWHG E\ WKH KROHV LQ
WKH IORRU
(TXLSPHQW FDELQHWV DQG UDFNV DUH KHDY\ DQG PD\ WLS 8VH
H[WUHPH FDXWLRQ ZKHQ PRYLQJ /LIW IURP WRS H\H QXWV ZLWK
DSSURSULDWH DSSDUDWXV RU VHFXUH WKH FDELQHW RU UDFN IURP
WLSSLQJ LI OLIWLQJ IURP ERWWRP )DLOXUH WR GR VR FRXOG UHVXOW
LQ GHDWK RU VHULRXV LQMXU\ RU HTXLSPHQW GDPDJH
$GMXVW DQG OHYHO WKH FDELQHW RU UDFN DV QHFHVVDU\ WR SRVLWLRQ WKH FDELQHW PRXQWLQJ
KROHV ZLWK WKH SUHGULOOHG KROHV
6HFXUH WKH FDELQHW RU UDFN WR WKH VLWH IORRU ZLWK WKH ORFDOO\ SURFXUHG PRXQWLQJ
KDUGZDUH
,I WKH FDELQHW RU UDFN LV WR EH VHFXUHG WR D FRQFUHWH IORRU ±LQFK

JUDGH EROWV ZLWK DQFKRUV DUH UHFRPPHQGHG
3$ -XO\

*HQHUDO %RQGLQJ DQG *URXQGLQJ 5HTXLUHPHQWV &KDSWHU *75 %DVH 5DGLR ,QVWDOODWLRQ
*HQHUDO %RQGLQJ DQG *URXQGLQJ 5HTXLUHPHQWV

&DELQHWV DQG UDFNV LQFOXGH D UDFN JURXQGLQJ EDU 5*% ZLWK WKH FDSDFLW\ WR WHUPLQDWH
QXPHURXV JURXQG ZLUHV (TXLSPHQW DGGHG WR WKH FDELQHW RU UDFN VKRXOG EH DWWDFKHG WR WKH
JURXQG EDU XVLQJ VROLG RU VWUDQGHG $:* FRSSHU ZLUH
7KH 5*% XVHV GXDOKROH OXJV WR WHUPLQDWH JURXQG ZLUHV 7KH PLQLPXP QXPEHU RI GXDOKROH DWWDFKPHQWV LV
V\VWHP GHSHQGHQW DQG LV VSHFLILHG E\ \RXU RUJDQL]DWLRQ 7KLV EDU SURYLGHV HOHFWULFDO FRQWLQXLW\ EHWZHHQ DOO
ERQGV DQG JURXQG ZLUH ZLWK D FXUUHQW FDUU\LQJ FDSDFLW\ HTXDO WR RU H[FHHGLQJ WKDW RI D $:* FRSSHU ZLUH
6HH WKH 0RWRUROD 5 PDQXDO 6WDQGDUGV DQG *XLGHOLQHV IRU &RPPXQLFDWLRQ 6LWHV (
IRU PRUH LQIRUPDWLRQ RQ SURSHU ERQGLQJ DQG JURXQG DW D VLWH
*HQHUDO &DEOLQJ 5HTXLUHPHQWV

'LDJUDPV IRU FDEOLQJ DUH W\SLFDOO\ LQFOXGHG LQ WKH 6\VWHPVSHFLILF FRQILJXUDWLRQ GRFXPHQWDWLRQ
SURYLGHG E\ 0RWRUROD $OVR VHH WKH 0RWRUROD 5 PDQXDO 6WDQGDUGV DQG *XLGHOLQHV IRU
&RPPXQLFDWLRQ 6LWHV ( IRU FDEOLQJ VWDQGDUGV
6\VWHP FHUWLILFDWLRQ ZDV FRPSOHWHG XVLQJ VKLHOGHG FDEOHV 7R SUHYHQW HPLVVLRQ SUREOHPV
XVH RQO\ VKLHOGHG FDEOHV 'R QRW VXEVWLWXWH RWKHU FDEOH W\SHV
(QVXUH HTXLSPHQW LV SRVLWLRQHG WR DYRLG H[FHVVLYH WHQVLRQ RQ FDEOHV DQG FRQQHFWRUV
&DEOHV PXVW EH ORRVH ZLWK DEVROXWHO\ QR VWUHVV RQ WKH FRQQHFWRUV &DUHIXO FDEOH
URXWLQJ DQG VHFXULQJ WKH FDEOHV ZLWK WLH ZUDSV RU RWKHU GHYLFHV LV RQH ZD\ WR
SURYLGH WKLV SURWHFWLRQ 0DLQWHQDQFH ORRSV DUH UHFRPPHQGHG
'UHVV WKH FDEOHV QHDWO\ XVLQJ FDEOH WLHV 'R QRW WLJKWHQ WKH FDEOH WLHV XQWLO \RX
DUH VXUH WKDW WKH UHTXLUHG VHUYLFH OHQJWK DQG EHQG UDGLXV UHTXLUHPHQWV DUH PHW
&DEOH WLHV VKRXOG EH ORRVH HQRXJK WR DOORZ DGMXVWPHQW
9HULI\ WKDW DOO FDEOHV DUH SURSHUO\ ODEHOHG WR PDWFK 6\VWHPVSHFLILF FRQILJX
UDWLRQ GRFXPHQWDWLRQ SURYLGHG E\ 0RWRUROD
(QVXUH WKDW FDEOHV GR QRW H[FHHG WKH PLQLPXP EHQG UDGLXV DV RXWOLQHG LQ WKH 0RWRUROD 5
PDQXDO 6WDQGDUGV DQG *XLGHOLQHV IRU &RPPXQLFDWLRQ 6LWHV (
)RU PRUH LQIRUPDWLRQ RQ FDEOLQJ JXLGHOLQHV VHH WKH GRFXPHQWDWLRQ VXSSOLHG ZLWK
FRPSRQHQWV IURP HDFK HTXLSPHQW PDQXIDFWXUHU
8VH RQO\ &DWHJRU\ 6KLHOGHG 7ZLVWHG 3DLU RU KLJKHU IRU FDEOLQJ (WKHUQHW
FRQQHFWLRQV 0RWRUROD KDV HQJLQHHUHG WKLV V\VWHP WR PHHW VSHFLILF
SHUIRUPDQFH UHTXLUHPHQWV 8VLQJ RWKHU FDEOLQJ DQG FRQQHFWRUV PD\ UHVXOW
LQ XQSUHGLFWDEOH V\VWHP SHUIRUPDQFH RU FDWDVWURSKLF IDLOXUH
3$ -XO\

*75 %DVH 5DGLR *HQHUDO 3RZHU *XLGHOLQHV DQG 5HTXLUHPHQWV
*HQHUDO 3RZHU *XLGHOLQHV DQG 5HTXLUHPHQWV

)ROORZ WKH JXLGHOLQHV LQ WKH 0RWRUROD 5 PDQXDO 6WDQGDUGV DQG *XLGHOLQHV IRU &RPPXQLFDWLRQ
6LWHV ( IRU LQIRUPDWLRQ RQ SURYLGLQJ HOHFWULFDO VHUYLFH SRZHU EXGJHWLQJ VHOHFWLQJ
EDWWHULHV DQG RWKHU WRSLFV IRU VXSSO\LQJ SRZHU DW WKH VLWH
(OHFWULFDO LQVWDOODWLRQ ZRUN VKDOO EH FDUULHG RXW LQ DFFRUGDQFH ZLWK WKH FXUUHQW HGLWLRQ RI
WKH 1)3$ DQG ORFDO EXLOGLQJ FRGHV :KHUH UHTXLUHG RQO\ D TXDOLILHG DQG OLFHQVHG
HOHFWULFLDQ VKDOO EH XVHG IRU DOO HOHFWULFDO LQVWDOODWLRQV
*HQHUDO $& 3RZHU *XLGHOLQHV DQG 5HTXLUHPHQWV

7KH 0RWRUROD 5 PDQXDO 6WDQGDUGV DQG *XLGHOLQHV IRU &RPPXQLFDWLRQ 6LWHV (
GHILQHV WKH JXLGHOLQHV DQG UHTXLUHPHQWV IRU FDELQHWV DQG UDFNV WKDW KRXVH HTXLSPHQW WKDW UHTXLUHV
$& SRZHU LQSXW 6RPH RI WKH JXLGHOLQHV DQG UHTXLUHPHQWV DUH DV IROORZV
7KH FDELQHW RU UDFN LV GHVLJQHG WR DFFHSW 9 VLQJOHSKDVH SRZHU ZLWK DQ
DPSHUDJH VHUYLFH VL]H DV UHTXLUHG E\ WKH HOHFWURQLF HTXLSPHQW
&DELQHWV DQG UDFNV VHUYLFHG E\ FRPPHUFLDO SRZHU PXVW EH HTXLSSHG ZLWK D QDWLRQDOO\
UHFRJQL]HG WHVW ODERUDWRU\ 157/ FHUWLILHG SRZHU GLVWULEXWLRQ PRGXOH WKDW FRQWDLQV
D PDLQ FLUFXLW EUHDNHU RU LQGLYLGXDO FLUFXLW EUHDNHUV RI WKH FRUUHFW VL]H DV UHTXLUHG
IRU WKH HOHFWURQLF HTXLSPHQW RU VSHFLILHG E\ \RXU RUJDQL]DWLRQ
$ GHFDO VKRZLQJ DQ HOHFWULFDO VFKHPDWLF RI WKH SRZHU ZLULQJ LV DIIL[HG WR
WKH LQVLGH VXUIDFH RI WKH FDELQHW
$OO $& SRZHU HTXLSPHQW DQG HOHFWULFDO FRPSRQHQWV PXVW FRQIRUP WR 1DWLRQDO
(OHFWULFDO 0DQXIDFWXUHUV $VVRFLDWLRQ 1(0$ DQG 1DWLRQDO (OHFWULFDO &RGH
1(& 7KHVH PXVW DOVR EH OLVWHG E\ DQ 157/
$ VXUJH DUUHVWRU GHVLJQHG WR SURWHFW HTXLSPHQW V\VWHPV IURP D 9 VHUYLFH DQG ORDG
FHQWHU LV SODFHG RQ WKH SRZHU IHHG DKHDG RI DOO LQGLYLGXDO ORDG FHQWHU FLUFXLW EUHDNHUV
7KLV JDSOHVV DUUHVWRU PXVW EH OLVWHG E\ DQ 157/ IRU WKH SXUSRVH LQWHQGHG
6HOHFWLRQ RI D VXUJH DUUHVWRU LV EDVHG RQ WKH VXVFHSWLELOLW\ RI WKH HTXLSPHQW SRZHUHG
E\ WKH HOHFWULFDO VHUYLFH ZLWK PDUJLQ SURYLGHG IRU ORFDOO\ JHQHUDWHG GLVWXUEDQFHV
6HH $16,,((( & IRU PRUH GHWDLOV
$W OHDVW RQH 9 $& $ GXSOH[ FRQYHQLHQFH RXWOHW HTXLSSHG ZLWK JURXQG IDXOW LQWHUUXSWHU
*), SURWHFWLRQ PXVW EH SURYLGHG LQ WKH HOHFWURQLF HTXLSPHQW FRPSDUWPHQW
'R QRW XVH VXUJHWUDQVLHQW VXSSUHVVRUV ZLWKRXW FDUHIXO DQG H[

SHUW SRZHU V\VWHP DQDO\VLV
SUGGESTION
5HGXQGDQW GHYLFHV FRXOG EH WHUPLQDWHG RQ GLIIHUHQW $& PDLQ SKDVHV VR WKDW D VLQJOH
SKDVH IDLOXUH GRHV QRW UHVXOW LQ D SRZHU ORVV IRU ERWK GHYLFHV
3$ -XO\

*HQHUDO %UHDNHU 5HFRPPHQGDWLRQV &KDSWHU *75 %DVH 5DGLR ,QVWDOODWLRQ
*HQHUDO %UHDNHU 5HFRPPHQGDWLRQV

(DFK EDVH UDGLR SRZHU VXSSO\ VKRXOG KDYH LWV RZQ VXSSO\ EUHDNHU LQ RUGHU WR HQVXUH WKDW D IDXOW
ZKLFK FDXVHV WKH EUHDNHU WR RSHQ GRHV QRW UHVXOW LQ WKH ORVV RI PXOWLSOH WUDQVPLW FKDQQHOV 7KH
EUHDNHU UHFRPPHQGDWLRQV IRU $& DQG '& VXSSO\ EUHDNHUV DUH DV IROORZV
)RU D 9$& +] DSSOLFDWLRQ WKH $& VXSSO\ EUHDNHU VKRXOG EH UDWHG IRU D FRQWLQXRXV
FXUUHQW RI $ )RU D 9$& +] DSSOLFDWLRQ WKH $& VXSSO\ EUHDNHU VKRXOG EH
UDWHG IRU D FRQWLQXRXV FXUUHQW RI $ PLQLPXP QRW WR H[FHHG $
,QGLYLGXDO '& EUHDNHUV DUH QRW XVHG LQ WKH EDVH UDGLR DUFKLWHFWXUH )RU LQIRUPDWLRQ LQYROYLQJ
WKH VL]LQJ RI FDEOHV DQG '& SRZHU GLVWULEXWLRQ SOHDVH UHIHU WR WKH 0RWRUROD 5 PDQXDO
VWDQGDUG LQ WKH 6WDQGDUGV DQG *XLGHOLQHV IRU &RPPXQLFDWLRQ 6LWHV (
6LWH LQVWDOODWLRQ VKDOO LQFOXGH D VLQJOH FXUUHQW LQWHUUXSWLQJ GHYLFH RQ WKH '& LQSXW GLVWULEXWLRQ
IXVH RU FLUFXLW EUHDNHU UDWHG IRU WKH DSSOLFDWLRQ ORDGLQJ QRW WR H[FHHG $ )RU HDFK
VWDQGDORQH EDVH UDGLR WKH '& VXSSO\ EUHDNHU VKRXOG EH UDWHG IRU D FRQWLQXRXV FXUUHQW RI $
*HQHUDO %DWWHU\ ,QVWDOODWLRQ 5HFRPPHQGDWLRQV

7KH EDWWHULHV DQG FKDUJHU VKRXOG EH DV FORVH DV SRVVLEOH WR WKH UHFWLILHU V\VWHP XVLQJ WKH FDEOHV $ YHU\ KHDY\
JDXJH VWUDQGHG FDEOH LV DGYLVHG WR PLQLPL]H YROWDJH GURS 7KH UHVLVWDQFH RI VRPH KHDY\ JDXJH ZLUH LV
7DEOH +HDY\ *DXJH :LUH 5HVLVWDQFH ([DPSOHV
*DXJH 5HVLVWDQFH
JDXJH IW
JDXJH IW
JDXJH IW
7KH PD[LPXP YROWDJH GURS FDQ EH FDOFXODWHG E\ NQRZLQJ WKH SHDN FXUUHQW GUDZQ E\
WKH UDGLR V\VWHP 8VH WKH IROORZLQJ IRUPXOD
7RWDO 9ROWDJH GURS > IW@ [ >WRWDO ORRS OHQJWK IW@ [ >,SHDN $@ >FRQQHFWRUV YROWDJH GURSV@
6HH WKH ³3RZHU &RQQHFWLRQ :LUH *DXJH &DOFXODWLRQV IRU 7UXQNHG 6LPXOFDVW DQG &RQYHQWLRQDO´
VHFWLRQ RI WKH GRFXPHQWDWLRQ IRU DGGLWLRQDO JXLGHOLQHV RQ FDEOH VL]LQJ
*HQHUDO (OHFWURVWDWLF 'LVFKDUJH 5HFRPPHQGDWLRQV

(OHFWURQLF FRPSRQHQWV VXFK DV FLUFXLW ERDUGV DQG PHPRU\ PRGXOHV FDQ EH H[WUHPHO\ VHQVLWLYH WR
HOHFWURVWDWLF GLVFKDUJH (6' 0RWRUROD UHFRPPHQGV WKDW DQ DQWLVWDWLF ZULVW VWUDS DQG D FRQGXFWLYH
IRDP SDG EH XVHG ZKHQ LQVWDOOLQJ RU XSJUDGLQJ WKH V\VWHP
,I DQ (6' VWDWLRQ LV QRW DYDLODEOH ZHDU DQ DQWLVWDWLF ZULVW VWUDS :UDS WKH VWUDS DURXQG WKH ZULVW DQG
DWWDFK WKH JURXQG HQG XVXDOO\ D SLHFH RI FRSSHU IRLO RU DQ DOOLJDWRU FOLS WR DQ HOHFWULFDO JURXQG $Q
HOHFWULFDO JURXQG FDQ EH D SLHFH RI PHWDO WKDW OLWHUDOO\ UXQV LQWR WKH JURXQG VXFK DV DQ XQSDLQWHG
PHWDO SLSH RU WKH PHWDO SDUW RI D JURXQGHG HOHFWULFDO DSSOLDQFH $Q DSSOLDQFH LV JURXQGHG LI LW
KDV D WKUHHSURQJ SOXJ DQG LV SOXJJHG LQWR D WKUHHSURQJ JURXQGHG RXWOHW
3$ -XO\

*75 %DVH 5DGLR )&& 5HTXLUHPHQWV
'R QRW XVH D FRPSXWHU DV D JURXQG EHFDXVH LW LV QRW SOXJJHG LQ GXULQJ LQVWDOODWLRQ
)&& 5HTXLUHPHQWV
5DGLR IUHTXHQF\ 5) WUDQVPLWWHUV LQVWDOOHG DW VLWHV ZLWKLQ WKH 86 PXVW EH LQ FRPSOL
DQFH ZLWK WKH IROORZLQJ )&& UHJXODWLRQV
7KH VWDWLRQ OLFHQVHH VKDOO EH UHVSRQVLEOH IRU WKH SURSHU RSHUDWLRQ RI WKH VWDWLRQ DW
DOO WLPHV DQG LV H[SHFWHG WR SURYLGH REVHUYDWLRQV VHUYLFLQJ DQG PDLQWHQDQFH DV
RIWHQ DV PD\ EH QHFHVVDU\ WR HQVXUH SURSHU RSHUDWLRQ
7KH WUDQVPLWWHU (53 VKDOO QRW H[FHHG WKH PD[LPXP SRZHU VSHFLILHG RQ
WKH FXUUHQW VWDWLRQ DXWKRUL]DWLRQ
7KH IUHTXHQF\ RI WKH WUDQVPLWWHU PXVW EH FKHFNHG GXULQJ LQLWLDO LQVWDOODWLRQ RI
WKH WUDQVPLWWHU ZKHQ UHSODFLQJ PRGXOHV RU ZKHQ PDNLQJ DGMXVWPHQWV WKDW DIIHFW
WKH FDUULHU IUHTXHQF\ RU PRGXODWLRQ FKDUDFWHULVWLFV
7KLV HTXLSPHQW KDV EHHQ WHVWHG DQG IRXQG WR FRPSO\ ZLWK WKH OLPLWV IRU D &ODVV $ GLJLWDO GHYLFH SXUVXDQW
WR SDUW RI WKH )&& 5XOHV 7KHVH OLPLWV DUH GHVLJQHG WR SURYLGH UHDVRQDEOH SURWHFWLRQ DJDLQVW KDUPIXO
LQWHUIHUHQFH WR UDGLR FRPPXQLFDWLRQV ZKHQ WKH HTXLSPHQW LV RSHUDWHG LQ D FRPPHUFLDO HQYLURQPHQW
7KLV HTXLSPHQW JHQHUDWHV XVHV DQG FDQ UDGLDWH UDGLR IUHTXHQF\ HQHUJ\ ,I QRW LQVWDOOHG SURSHUO\ DQG
XVHG LQ DFFRUGDQFH ZLWK WKH LQVWUXFWLRQ PDQXDOV WKH HTXLSPHQW PD\ FDXVH KDUPIXO LQWHUIHUHQFH WR UDGLR
FRPPXQLFDWLRQV 2SHUDWLRQ RI VRPH FRPSOLDQW HTXLSPHQW LQ D UHVLGHQWLDO DUHD PD\ FDXVH KDUPIXO LQWHUIHUHQFH
WR UDGLR FRPPXQLFDWLRQV LQ ZKLFK FDVH WKH XVHU LV UHTXLUHG WR FRUUHFW WKH LQWHUIHUHQFH
1HWZRUNLQJ 7RROV
7KH IROORZLQJ LV D OLVW RI UHFRPPHQGHG QHWZRUNLQJ WRROV IRU LQVWDOOLQJ DQG VHUYLFLQJ WKH QHWZRUN
)OXNH 2QH7RXFK $VVLVWDQW /$1 WHVWHU
1L0+ UHFKDUJHDEOH EDWWHU\ IRU )OXNH
7( RU ( WHVW VHW VXFK DV WKH +HZOHWW3DFNDUG +3$
6HULDOWHVW VRIWZDUH ZLWK &RP3UREH DQG 6HULDO%(57 RSWLRQ
*HQHUDO ,QVWDOODWLRQ7URXEOHVKRRWLQJ 7RROV

7KH IROORZLQJ LV D OLVW RI JHQHUDO WRROV QHHGHG IRU VLWH LQVWDOODWLRQ DFWLYLWLHV ,I LQIRUPDWLRQ LV QHHGHG
UHJDUGLQJ ZKHUH WR REWDLQ DQ\ RI WKH HTXLSPHQW DQG WRROV OLVWHG FRQWDFW WKH 0RWRUROD 6\VWHP
6XSSRUW &HQWHU 66& 6HH ³8VLQJ 0RWRUROD 6\VWHP 6XSSRUW &HQWHU 66&´
3$ -XO\

*HQHUDO 7RROV &KDSWHU *75 %DVH 5DGLR ,QVWDOODWLRQ
*HQHUDO 7RROV
7KH IROORZLQJ LV D OLVW RI JHQHUDO WRROV QHHGHG WR LQVWDOO RSWLPL]H DQG VHUYLFH HTXLSPHQW LQ WKH V\VWHP
0+] &KDQQHO 'LJLWDO 6WRUDJH 2VFLOORVFRSH
7UDQVPLVVLRQ 7HVW 6HW 7,06 6HW
$HURIOH[ 6HULHV 6HUYLFH 0RQLWRU
2KP 7HUPLQDWHG /RDG
'LJLWDO 0XOWLPHWHU '00
7HUPLQDO (PXODWLRQ 6RIWZDUH
'% VWUDLJKW WKURXJK VHULDO FDEOH
56 &DEOHV ZLWK &RQQHFWRUV
3XQFK %ORFN ,PSDFW 7RRO
02'$37 ² 5-± %UHDNRXW %R[
5HPRWH 5-± 5-± &DEOH 7HVWHU IW OHQJWK PD[LPXP
3& &DEOH 7HVWHU 5*± %1& 5-± 5-± '%± '%±
'%± &HQWURQLFV ±SLQ FRQQHFWRUV
(6' ILHOG VHUYLFH NLW
$PSUREH ,QVWUXPHQWV *3 (DUWK 7HVWHU
$(0& &ODPSRQ *URXQG 5HVLVWDQFH 7HVWHU
%DVH 5DGLR 5DFN 7RROV

7KH IROORZLQJ LV D OLVW RI WRROV QHHGHG WR LQVWDOO RSWLPL]H DQG VHUYLFH WKH EDVH UDGLR HTXLSPHQW
6HUYLFH 0RQLWRU $HURIOH[ 6HULHV 6HUYLFH 0RQLWRU ZLWK 3 2SWLRQV
LQVWDOOHG SOXV +3' 7'0$ RSWLRQV DV UHTXLUHG
3HUVRQDO &RPSXWHU PHHWLQJ WKH IROORZLQJ VSHFLILFDWLRQV
ƕ 2SHUDWLQJ 6\VWHPV
:LQGRZV ;3 +RPH (GLWLRQ
:LQGRZV ;3 3URIHVVLRQDO
:LQGRZV 9LVWD DOO HGLWLRQV
:LQGRZV DOO HGLWLRQV
3$ -XO\

*75 %DVH 5DGLR 7HFKQLFDO 6XSSRUW IRU ,QVWDOODWLRQ
+DUGZDUH 5HTXLUHPHQWV
ƕ 3URFHVVRU
*+] RU KLJKHU 3HQWLXP JUDGH
ƕ 3URFHVVRU 0HPRU\
*% 5$0 UHFRPPHQGHG IRU :LQGRZV ;3
*% 5$0 UHFRPPHQGHG IRU :LQGRZV 9LVWD DQG :LQGRZV
ƕ +DUG 'LVN 6SDFH

0% PLQLPXP IUHH VSDFH IRU D 7\SLFDO ,QVWDOODWLRQ LQFOXGLQJ
+HOS 7H[W DQG 6RIWZDUH 'RZQORDG 0DQDJHU RU 0% PLQLPXP
IUHH VSDFH IRU D &RPSDFW ,QVWDOODWLRQ
ƕ 3HULSKHUDOV
0LFURVRIW :LQGRZV VXSSRUWHG 0RXVH RU 7UDFNEDOO
0LFURVRIW :LQGRZV VXSSRUWHG 6HULDO 3RUW IRU SURGXFW FRPPXQLFDWLRQ
0LFURVRIW :LQGRZV VXSSRUWHG (WKHUQHW 3RUW IRU SURGXFW FRPPXQLFDWLRQ
0LFURVRIW :LQGRZV VXSSRUWHG 3ULQWHU 3RUW IRU UHSRUW SULQWLQJ
&'520 IRU VRIWZDUH LQVWDOODWLRQ
&RQILJXUDWLRQ6HUYLFH 6RIWZDUH &66 '/1

&66 6HULDO 3URJUDPPLQJ &DEOH WKLV LV D '% VWUDLJKW WKURXJK VHULDO
FDEOH IHPDOH '% WR PDOH '%
(WKHUQHW &DEOH
$QWHQQD WHVWHU
2KP 7HUPLQDWHG /RDG
%LUG 308 DYHUDJH UHDGLQJ SRZHU PHWHU IRU XVH ZKHQ D VHUYLFH PRQLWRU LV QRW DYDLODEOH
5HIHU WR ³4XLFN &RQQHFW 5) &RD[LDO $GDSWHUV IRU *75 %DVH 5DGLR 6XSSRUW´
IRU D OLVW RI 5) FRQQHFWRUV WKDW PD\ EH XVHG
7HFKQLFDO 6XSSRUW IRU ,QVWDOODWLRQ

7HFKQLFDO VXSSRUW LV DYDLODEOH IURP WKH VLWHVSHFLILF GRFXPHQWV SURYLGHG E\ WKH )LHOG
(QJLQHHU RU 0RWRUROD )LHOG 5HSUHVHQWDWLYH IRU WKH V\VWHP RQH RI WKH 0RWRUROD 6\VWHP
6XSSRUW &HQWHU 66& RU TXDOLILHG VXEFRQWUDFWRUV
0RWRUROD 6\VWHP 6XSSRUW &HQWHU 66& FDQ KHOS WHFKQLFLDQV DQG HQJLQHHUV UHVROYH
V\VWHP SUREOHPV DQG HQVXUH WKDW ZDUUDQW\ UHTXLUHPHQWV DUH PHW &KHFN \RXU FRQWUDFW
IRU VSHFLILF ZDUUDQW\ LQIRUPDWLRQ 6HH ³8VLQJ 0RWRUROD 6\VWHP 6XSSRUW &HQWHU
66&´ LQ WKH 7URXEOHVKRRWLQJ VHFWLRQ RI WKH GRFXPHQWDWLRQ
7KH 0RWRUROD 6\VWHP 6HUYLFH 6XEFRQWUDFWRU $VVHVVPHQW SURJUDP HQVXUHV WKDW VHUYLFH SHRSOH
FRQWUDFWHG E\ 0RWRUROD PHHW VWULFW PLQLPXP UHTXLUHPHQWV EHIRUH WKH\ FDQ ZRUN RQ DQ\
WUXQNLQJ V\VWHPV )RU PRUH LQIRUPDWLRQ RQ WKLV SURJUDP FRQWDFW WKH 0RWRUROD UHSUHVHQWDWLYH
3$ -XO\

6LWH6SHFLILF ,QIRUPDWLRQ &KDSWHU *75 %DVH 5DGLR ,QVWDOODWLRQ
6LWH6SHFLILF ,QIRUPDWLRQ
:KHQ V\VWHPV DUH VWDJHG E\ 0RWRUROD VLWHVSHFLILF V\VWHP GRFXPHQWDWLRQ LV FUHDWHG WR
GRFXPHQW KRZ WKH V\VWHP ZDV VWDJHG 7KH )LHOG (QJLQHHU DVVLJQHG WR WKH V\VWHP FUHDWHV
DOO RI WKH VLWHVSHFLILF LQIRUPDWLRQ LQFOXGLQJ WKH IROORZLQJ
6LWH GHVLJQ GUDZLQJV VKRZLQJ WKH ORFDWLRQ RI UDFNV FDELQHWV FDEOH WUD\V DQG RWKHU FRPSRQHQWV
5DFN GUDZLQJV VKRZLQJ WKH ORFDWLRQ RI WKH HTXLSPHQW LQ HDFK UDFN
&DEOH PDWUL[ LQ D WDEOH IRUPDW WKDW VKRZV HDFK FDEOH DQG LWV FRQQHFWLRQV
,QWHUFRQQHFW ZLULQJ GLDJUDPV WR VKRZ WKH FDEOH FRQQHFWLRQV EHWZHHQ GHYLFHV
3UHSURJUDPPHG SDUDPHWHUV RI HDFK VLWH FRPSRQHQW
7HPSODWHV XVHG WR SURJUDP HDFK GHYLFH
$OO ILUPZDUH DQG VRIWZDUH UHYLVLRQV RI HDFK VLWH FRPSRQHQW
7HVW GDWD IURP HDFK GHYLFH WKDW UHTXLUHV RSHUDWLRQDO YHULILFDWLRQ
2SWLPL]DWLRQ UHTXLUHPHQWV DQG VHWWLQJV RI HDFK HOHFWULFDO SDWK
$FFHSWDQFH 7HVW 3ODQ IRU WKH VLWH FRPSRQHQWV
7KLV VLWHVSHFLILF LQIRUPDWLRQ PXVW EH PDLQWDLQHG WR UHIOHFW WKH FXUUHQW

VLWH FRQILJXUDWLRQ DQG OD\RXW IRU WKH V\VWHP
*75 %DVH 5DGLR +DUGZDUH ,QVWDOODWLRQ

7KH IROORZLQJ LV LQIRUPDWLRQ VSHFLILF WR *75 %DVH 5DGLRV
3ODFHPHQW DQG 6SDFLQJ

&DELQHW DQG UDFNV DOORZ HTXLSPHQW WR EH DGGHG WR D VLWH $OZD\V FRQVLGHU URRP IRU H[SDQVLRQ ZKHQ VHWWLQJ
XS D VLWH &DELQHWV RU UDFNV P\ EH LQVWDOOHG DGMDFHQW WR HDFK RWKHU RU WR RWKHU HTXLSPHQW +RZHYHU DOO
FDELQHWV DQG UDFNV PXVW KDYH VXIILFLHQW IORRU VSDFH WR SHUPLW DFFHVV IRU LQVWDOODWLRQ DQG VHUYLFH
5HFRPPHQGHG FOHDUDQFH IRU VHUYLFH DQG LQVWDOODWLRQ LV DW OHDVW IHHW LQ WKH IURQW DQG UHDU
)URQW DFFHVV
$W OHDVW IHHW IORRU DFFHVV LQ IURQW RI WKH FDELQHW RU UDFN
3$ -XO\

*75 %DVH 5DGLR &RQQHFWLQJ 3RZHU
6LGH DQG UHDU DFFHVV

$W OHDVW IHHW IORRU DFFHVV DW WKH UHDU RI WKH FDELQHW RU UDFN RU
$W OHDVW IHHW DFFHVV RQ DW OHDVW RQH VLGH RI WKH FDELQHW RU UDFN SOXV
LQFKHV DW WKH UHDU RI WKH FDELQHW RU UDFN
7R PDLQWDLQ WKLV FOHDUDQFH WKH IROORZLQJ LV UHFRPPHQGHG
,I WKHUH ZLOO EH OHVV WKDQ IHHW UHDU DFFHVV GR QRW LQVWDOO PRUH WKDQ FDELQHWV RU UDFNV VLGH E\
VLGH DQG DOORZ DW OHDVW IHHW DFFHVV RQ DW OHDVW RQH VLGH RI HDFK FDELQHW RU UDFN
)RU WKH FDELQHW YHUVLRQ LI WKHUH ZLOO EH OHVV WKDQ IHHW UHDU DFFHVV GR QRW
LQVWDOO WKH RSWLRQDO UHDU GRRU RQ WKH FDELQHW
)RU WKH FDELQHW YHUVLRQ LQ WKH HYHQW WKDW DQ H\H QXW QHHGV WR EH UHSODFHG DW OHDVW IHHW DFFHVV WR
ERWK VLGHV RI WKH FDELQHW LV SUHIHUDEOH VR WKDW ERWK VLGH SDQHOV FDQ EH UHPRYHG
&RQQHFWLQJ 3RZHU
7KLV VHFWLRQ FRYHUV WRSLFV RQ FRQQHFWLQJ SRZHU FDEOHV WR WKH EDVH UDGLR DQG FDOFXODWLQJ WKH OHQJWK
RI ZLUH IRU YDULRXV JDXJHV DQG PRXQWLQJ WKH EDWWHU\ WHPSHUDWXUH VHQVRU
&RQQHFWLQJ 3RZHU &DEOHV WR D *75 %DVH 5DGLR

)RU VWDQGDORQH EDVH UDGLRV $& DQG '& LQSXWV SURYLGHG E\ \RXU RUJDQL]DWLRQ FRQQHFW WR WKH SRZHU VXSSO\
WKURXJK WKH EDFNSODQH RI WKH EDVH UDGLR 6HH &RQQHFWLRQV ± 5HDU 7UXQNHG 6LPXOFDVW DQG &RQYHQWLRQDO
RQ SDJH &RQQHFWLRQV ± 5HDU +3' RQ SDJH DQG &RQQHFWLRQV ± )URQW RQ SDJH
3RZHU &RQQHFWLRQ :LUH *DXJH &DOFXODWLRQV IRU 7UXQNHG 6LPXOFDVW DQG &RQYHQWLRQDO
6LQFH WKH SRZHU VXSSO\ GLVFRQQHFWV LWVHOI IURP WKH '& LQSXW ZKHQ LW VHQVHV WKDW '& YROWDJH KDV GURSSHG
WR 9'& LW LV LPSRUWDQW WR PLQLPL]H WKH YROWDJH GURS LQ WKH '& SRZHU VXSSO\ ORRS WKH WRWDO OHQJWK RI
WKH 9'& ³KRW´ ZLUH DQG WKH '& UHWXUQ ZLUH WR QR PRUH WKDQ 9 WRWDO 7KLV HQVXUHV WKDW WKH PD[LPXP
HQHUJ\ LV UHPRYHG IURP WKH EDWWHU\ SULRU WR GLVFRQQHFWLQJ WKH SRZHU VXSSO\ IURP WKH '& LQSXW OLQH
$ *75 %DVH 5DGLR WUDQVPLWWLQJ DW : ZLOO GUDZ XS WR $ FXUUHQW ZKHQ RSHUDWLQJ IURP D 9
VRXUFH QRPLQDO 9'& V\VWHP $V YROWDJH GHFUHDVHV GXH WR WKH VWDQGE\ EDWWHU\ GLVFKDUJLQJ WKH FXUUHQW
ZLOO LQFUHDVH SURSRUWLRQDOO\ VLQFH WKH EDVH UDGLR DSSHDUV WR EH D FRQVWDQW SRZHU ORDG $W WKH ORZ YROWDJH
GLVFRQQHFW SRLQW 9 IRU D QRPLQDO 9'& V\VWHP WKH FXUUHQW ZLOO EH XS WR $ ,I D VLQJOH SDLU RI $:*
ZLUH LV XVHG WR FRQQHFW WKH EDWWHU\ WR WKH MXQFWLRQ SDQHO WKH PD[LPXP OHQJWK RI D VLQJOH FRQGXFWRU ZRXOG EH
P IW 8VH RI VPDOOHU JDXJH ZLUH ZRXOG UHGXFH WKLV OHQJWK GHSHQGLQJ RQ WKH UHVLVWDQFH RI WKH ZLUH
7R GHWHUPLQH WKH PD[LPXP OHQJWK RI ZLUH IRU ZLUH RWKHU WKDQ $:* WKH IROORZLQJ UHODWLRQVKLS FDQ EH XVHG
/HQJWK PHWHUIHHW 9,5
ZKHUH
9 YROWDJH GURS LQ RQH OHJ RI WKH ORRS PD[ 9
3$ -XO\

3RZHU &RQQHFWLRQ :LUH *DXJH &DOFXODWLRQV IRU +3' &KDSWHU *75 %DVH 5DGLR ,QVWDOODWLRQ
, FXUUHQW GUDZQ E\ WKH EDVH UDGLR GXULQJ '& RSHUDWLRQ $

5 UHVLVWDQFH RI WKH ZLUH EHLQJ FRQVLGHUHG LQ 2KPV SHU IRRW
)RU FRPPRQ ZLUH VL]HV WKH PD[LPXP GLVWDQFHV VKRZQ LQ 7DEOH DSSO\
7DEOH 3RZHU &RQQHFWLRQ :LUH *DXJH 0D[LPXP 'LVWDQFHV IRU 7UXQNHG 6LPXOFDVW DQG
&RQYHQWLRQDO
5HVLVWDQFH RKP PHWHU

$:* 0D[LPXP 'LVWDQFH PHWHUIW
IW
P IW
P IW
P IW
P IW

P IW
3RZHU &RQQHFWLRQ :LUH *DXJH &DOFXODWLRQV IRU +3'

6LQFH WKH SRZHU VXSSO\ GLVFRQQHFWV LWVHOI IURP WKH '& LQSXW ZKHQ LW VHQVHV WKDW '& YROWDJH KDV GURSSHG
WR 9'& LW LV LPSRUWDQW WR PLQLPL]H WKH YROWDJH GURS LQ WKH '& SRZHU VXSSO\ ORRS WKH WRWDO OHQJWK RI
WKH 9'& ³KRW´ ZLUH DQG WKH '& UHWXUQ ZLUH WR QR PRUH WKDQ 9 WRWDO 7KLV HQVXUHV WKDW WKH PD[LPXP
HQHUJ\ LV UHPRYHG IURP WKH EDWWHU\ SULRU WR GLVFRQQHFWLQJ WKH SRZHU VXSSO\ IURP WKH '& LQSXW OLQH
$ *75 %DVH 5DGLR WUDQVPLWWLQJ DW : ZLOO GUDZ XS WR $ FXUUHQW ZKHQ RSHUDWLQJ IURP D
9 VRXUFH QRPLQDO 9'& V\VWHP $V YROWDJH GHFUHDVHV GXH WR WKH VWDQGE\ EDWWHU\ GLVFKDUJLQJ WKH
FXUUHQW ZLOO LQFUHDVH SURSRUWLRQDOO\ VLQFH WKH EDVH UDGLR DSSHDUV WR EH D FRQVWDQW SRZHU ORDG $W WKH ORZ
YROWDJH GLVFRQQHFW SRLQW 9 IRU D QRPLQDO 9'& V\VWHP WKH FXUUHQW ZLOO EH XS WR $ 8VH RI
VPDOOHU JDXJH ZLUH ZRXOG UHGXFH WKLV OHQJWK GHSHQGLQJ RQ WKH UHVLVWDQFH RI WKH ZLUH 7R GHWHUPLQH WKH
PD[LPXP OHQJWK RI ZLUH IRU ZLUH RWKHU WKDQ $:* WKH IROORZLQJ UHODWLRQVKLS FDQ EH XVHG
/HQJWK IHHW 9,5
ZKHUH
9 YROWDJH GURS LQ RQH OHJ RI WKH ORRS PD[ 9
, FXUUHQW GUDZQ E\ WKH EDVH UDGLR GXULQJ '& RSHUDWLRQ $
5 UHVLVWDQFH RI WKH ZLUH EHLQJ FRQVLGHUHG LQ 2KPV SHU IRRW
)RU FRPPRQ ZLUH VL]HV WKH PD[LPXP GLVWDQFHV VKRZQ LQ 7DEOH DSSO\
7DEOH 3RZHU &RQQHFWLRQ :LUH *DXJH 0D[LPXP 'LVWDQFHV IRU +3'
$:* 5HVLVWDQFH RKP IW 0D[LPXP 'LVWDQFH PHWHUIW

P IW
P IW
P IW
3$ -XO\

*75 %DVH 5DGLR 0RXQWLQJ WKH %DWWHU\ 7HPSHUDWXUH 6HQVRU
7DEOH 3RZHU &RQQHFWLRQ :LUH *DXJH 0D[LPXP 'LVWDQFHV IRU +3' &RQWLQXHG
$:* 5HVLVWDQFH RKP IW 0D[LPXP 'LVWDQFH PHWHUIW
P IW
P IW
0RXQWLQJ WKH %DWWHU\ 7HPSHUDWXUH 6HQVRU

$ ±IRRW EDWWHU\ WHPSHUDWXUH VHQVRU FDEOH LV VKLSSHG ZLWK \RXU *75 %DVH 5DGLR 7KLV WKUHHZLUH
FDEOH FDUULHV D YROWDJH VLJQDO WR WKH SRZHU VXSSO\ IURP D VHQVRU HOHPHQW ZKLFK QHHGV WR EH PRXQWHG LQ
FORVH SUR[LPLW\ WR WKH VWRUDJH EDWWHU\ 9ROWDJH LV SURSRUWLRQDO WR WKH EDWWHU\ WHPSHUDWXUH DQG LV XVHG
E\ GLDJQRVWLF FLUFXLWU\ LQ WKH SRZHU VXSSO\ PRGXOH 7KH ±IRRW FDEOH FDQ EH H[WHQGHG WR D WRWDO
OHQJWK RI IHHW XVLQJ ±IRRW H[WHQVLRQV 0RWRUROD SDUW QXPEHU < 6HH ³8VLQJ 0RWRUROD
6\VWHP 6XSSRUW &HQWHU 66&´ LQ WKH 7URXEOHVKRRWLQJ VHFWLRQ RI WKH GRFXPHQWDWLRQ
7KH VHQVLQJ HOHPHQW RI WKH WHPSHUDWXUH VHQVRU QHHGV WR EH PRXQWHG VR WKDW LW GHWHFWV WKH
DFWXDO EDWWHU\ WHPSHUDWXUH RU WKH DPELHQW WHPSHUDWXUH DV FORVH DV SRVVLEOH WR WKH EDWWHULHV
EHLQJ FKDUJHG 7KHUH DUH WZR H[DPSOHV RI PRXQWLQJ
([DPSOH
8VH FDEOH WLHV WR DWWDFK WKH VHQVLQJ FDEOH WR WKH SRVLWLYH RU QHJDWLYH SRZHU FDEOH $ PLQLPXP
RI WZR FDEOH WLHV VKRXOG EH XVHG VSDFHG LQFKHV DSDUW ZLWK RQH RI WKH FDEOH WLHV QRW PRUH WKDQ
LQFKHV IURP WKH VHQVLQJ HOHPHQW 7KH VHQVLQJ HOHPHQW LWVHOI VKRXOG EH QRW PRUH WKDQ LQFKHV
IURP WKH EDWWHU\ SRVW ZKHUH WKH SRZHU FDEOH FRQQHFWV 6HH )LJXUH
)LJXUH %DWWHU\ 7HPSHUDWXUH 6HQVRU ([DPSOH
3$ -XO\

*URXQGLQJ &KDSWHU *75 %DVH 5DGLR ,QVWDOODWLRQ
([DPSOH
$WWDFK WKH VHQVLQJ FDEOH WR DQ H[LVWLQJ EDWWHU\ WUD\ VXSSRUW EUDFNHW XVLQJ FDEOH WLHV RU Q\ORQ ORRS VWUDSV
RI WKH SURSHU VL]H 7KH VHQVLQJ HOHPHQW VKRXOG EH SODFHG VR WKDW LW LV QRW PRUH WKDQ LQFKHV IURP WKH
VXUIDFH RI WKH EDWWHULHV EHLQJ PRQLWRUHG $ PLQLPXP RI WZR FDEOH WLHV DQGRU ORRS VWUDSV VKRXOG EH XVHG
WR VHFXUH WKH VHQVLQJ FDEOH WR WKH EUDFNHW 7KH FDEOH WLHV ORRS VWUDSV VKRXOG EH SODFHG QR PRUH WKDQ
LQFKHV DSDUW ZLWK RQH SODFHG QR PRUH WKDQ LQFKHV IURP WKH VHQVLQJ HOHPHQW 6HH )LJXUH
)LJXUH %DWWHU\ 7HPSHUDWXUH 6HQVRU ([DPSOH
*URXQGLQJ
'HWDLOHG JURXQGLQJ LQIRUPDWLRQ LV EH\RQG WKH VFRSH RI WKLV PDQXDO 6HH WKH 0RWRUROD
5 PDQXDO 6WDQGDUGV DQG *XLGHOLQHV IRU &RPPXQLFDWLRQ 6LWHV ( IRU GHWDLOHG
LQIRUPDWLRQ DERXW JURXQGLQJ DQG OLJKWQLQJ SURWHFWLRQ
3$ -XO\

*75 %DVH 5DGLR *75 %DVH 5DGLR *URXQGLQJ
<RX PXVW JURXQG WKH EDWWHU\ V\VWHP HLWKHU SRVLWLYH RU QHJDWLYH DW WKH EDWWHU\ 7KH '& LQSXW
EDWWHU\ FKDUJHU RXWSXW RI WKH SRZHU VXSSO\ LV IORDWLQJ ZLWK UHVSHFW WR HDUWK JURXQG 7KH SRZHU
VXSSO\ FDQ WKHUHIRUH EH XVHG LQ HLWKHU SRVLWLYH JURXQG RU QHJDWLYH JURXQG '& V\VWHPV 7KH
DSSURSULDWH WHUPLQDO RU RI WKH '& V\VWHP VKRXOG EH FRQQHFWHG WR SURWHFWLYH HDUWK DW WKH EDWWHU\
7KHVH LQVWUXFWLRQV DVVXPH WKDW DOO WHOHSKRQH OLQHV DQWHQQD FDEOHV DQG $& RU '& SRZHU
FDEOHV KDYH EHHQ SURSHUO\ JURXQGHG DQG OLJKWQLQJSURWHFWHG
:KHQ UDFN LQVWDOODWLRQV KDYH D SULPDU\ UDFN DQG RQH RU PRUH H[SDQVLRQ UDFNV DOO WKHVH UDFNV
PXVW EH FRQQHFWHG WR WKH VDPH 6XE 6\VWHP *URXQG %XV %DU 66*% DQG QR RWKHU UDFN FRQQHFWHG
WR WKH 66*% 7KLV LV WR HQVXUH VXUJH HYHQWV GR QRW SURGXFH JURXQG SRWHQWLDO GLIIHUHQFHV
WKDW ZLOO DIIHFW VLJQDOV EHWZHHQ WKH UDFNV 6HH )LJXUH
)LJXUH 5DFN *URXQGLQJ
*75 %DVH 5DGLR *URXQGLQJ

7KH *75 %DVH 5DGLR EDFNSODQH KDV D GRXEOH OXJ ZLWK WZR ORFN QXWV RQ WKH UHDU SDQHO ZKHUH
WKH JURXQG ZLUH FRQQHFWV WR WKH EDVH UDGLR EDFNSODQH RQ RQH HQG DQG WR WKH UDFN JURXQGLQJ EDU RQ
WKH RWKHU 7KH UDFN JURXQGLQJ EDU LV FRQQHFWHG WR WKH PDVWHU JURXQG EXV EDU
7R XVH WKH JURXQGLQJ OXJV \RX QHHG D OHQJWK RI $:* ZLUH ZLWK 8/OLVWHG ULQJ OXJV RQ ERWK HQGV 7KLV
ZLUH LV VKLSSHG ZLWK WKH EDVH UDGLR 3URFHGXUH H[SODLQV KRZ WR JURXQG WKH EDVH UDGLR
3URFHGXUH +RZ WR *URXQG WKH *75 %DVH 5DGLR
7DNH WKH JURXQG ZLUH DOUHDG\ DWWDFKHG WR WKH WZR JURXQGLQJ OXJV DW WKH UHDU RI WKH
EDVH UDGLR DQG FRQQHFW WKH RWKHU HQG WR WKH UDFN JURXQGLQJ EDU
7LJKWHQ WKH JURXQG ORFN QXW WR LQFKSRXQGV QHZWRQPHWHUV
3$ -XO\

5DFN 0RXQWLQJ &KDSWHU *75 %DVH 5DGLR ,QVWDOODWLRQ
5DFN 0RXQWLQJ
7KH VWDQGDORQH *75 %DVH 5DGLR KRXVLQJ PRXQWV LQ D UDFN WKDW KDV EHHQ VHFXUHG WR WKH IORRU )RU RSHQ
UDFNV WZR EUDFNHWV DUH UHTXLUHG WR GLVWULEXWH WKH ZHLJKW :LWKRXW EUDFNHWV WKH FHQWHU RI JUDYLW\ RI WKH
V\VWHP VKLIWV WR WKH EDFN SRWHQWLDOO\ FDXVLQJ VWUXFWXUDO LVVXHV ZLWK WKH UDFN )LJXUH VKRZV WKH EDVH UDGLR
DWWDFKHG WR D UDFN XVLQJ WKH EUDFNHWV 7KH EUDFNHWV FRPH ZLWK WKH UHTXLUHG QXPEHU RI VFUHZV
)LJXUH *75 %DVH 5DGLR 0RXQWHG LQ 5DFN
3URFHGXUH H[SODLQV KRZ WR PRXQW WKH VWDQGDORQH *75 %DVH 5DGLR LQWR DQ RSHQ UDFN
,W LV VXJJHVWHG WKDW WZR SHRSOH SHUIRUP WKLV LQVWDOODWLRQ VR WKDW RQH SHUVRQ FDQ KROG WKH EDVH
UDGLR LQ SODFH ZKLOH WKH RWKHU SHUVRQ DWWDFKHV WKH EUDFNHWV WR WKH UDFN
3URFHGXUH +RZ WR 0RXQW WKH 6WDQGDORQH *75 %DVH 5DGLR
'HWHUPLQH ZKHUH RQ WKH UDFN \RX ZLOO PRXQW WKH EDVH UDGLR DQG PDUN WKH ORFDWLRQ
7KH EUDFNHWV DUH XVHIXO LQ PDNLQJ WKLV GHWHUPLQDWLRQ DQG WKH SLQ RQ WKH EDFN RI
WKH EUDFNHW KHOSV LQ ILQGLQJ WKH H[DFW ORFDWLRQ RQ WKH UDFN
$WWDFK WKH EUDFNHWV WR WKH VLGHV RI WKH EDVH UDGLR
8VH 0[[ PDFKLQH VFUHZV ZLWK D FDSWLYH ZDVKHU ]LQF SODWHG
6FUHZ RQH EUDFNHW LQWR WKH FOLQFK QXWV RQ WKH VLGH RI WKH EDVH UDGLR FKDVVLV
'R WKH VDPH ZLWK WKH VHFRQG EUDFNHW 6FUHZ LW LQWR WKH FOLQFK QXWV RQ WKH
RWKHU VLGH RI WKH EDVH UDGLR FKDVVLV
/LIW WKH EDVH UDGLR LQWR SODFH RQ WKH UDFN XVLQJ WKH SLQV RQ WKH EUDFNHWV WR
SURSHUO\ OLQH XS WKH GHYLFH
3$ -XO\

*75 %DVH 5DGLR &RQQHFWLRQV ± 5HDU 7UXQNHG 6LPXOFDVW DQG &RQYHQWLRQDO
3URFHGXUH +RZ WR 0RXQW WKH 6WDQGDORQH *75 %DVH 5DGLR &RQWLQXHG
1H[W DWWDFK WKH WZR EUDFNHWV WR WKH UDFN
)RU D 0RWRUROD PRGXODU UDFN XVH 0[[ WKUHDG IRUPLQJ VFUHZV ZLWK
EODFN ILQLVK
)RU D 0RWRUROD RSHQ UDFN XVH ±[´ WKUHDG IRUPLQJ VFUHZV ]LQF
SODWHG
)RU \RXU RZQ UDFN XVH KDUGZDUH DSSURSULDWH IRU WKH UDFN
$WWDFK WKH EUDFNHWV WR ERWK VLGHV RI WKH UDFN WKURXJK WKH XSSHU EDFN
RSHQLQJV RQ WKH EUDFNHWV
7KURXJK WKH ORZHU EDFN RSHQLQJV DWWDFK WKH EUDFNHWV WR WKH UDFN RQ ERWK
VLGHV
,Q WKH IURQW DWWDFK WKH FKDVVLV WR WKH EUDFNHWV
6FUHZ WZR 0[[ WKUHDG IRUPLQJ VFUHZV EODFN ILQLVK WKURXJK WKH IURQW
KROHV RQ RQH VLGH RI WKH EDVH UDGLR FKDVVLV DQG LQWR WKH EUDFNHW
6FUHZ WZR 0[[ WKUHDG IRUPLQJ VFUHZV EODFN ILQLVK WKURXJK WKH IURQW
KROHV RQ WKH RWKHU VLGH RI WKH EDVH UDGLR FKDVVLV DQG LQWR WKH EUDFNHW
&RQQHFWLRQV ± 5HDU 7UXQNHG 6LPXOFDVW DQG &RQYHQWLRQDO

7KH *75 %DVH 5DGLR FRQQHFWV WR D VLWH /$1 VZLWFK SRUW IRU WKLV FKDQQHO DQG WR WKH WUDQVPLW DQG
UHFHLYH SDWKV 7KH FRQQHFWLRQV IRU WKH EDVH UDGLR DUH VKRZQ LQ )LJXUH DQG 7DEOH
3$ -XO\

&RQQHFWLRQV ± 5HDU 7UXQNHG 6LPXOFDVW DQG &RQYHQWLRQDO &KDSWHU *75 %DVH 5DGLR ,QVWDOODWLRQ
)LJXUH *75 %DVH 5DGLR ± 7UXQNHG 6LPXOFDVW DQG &RQYHQWLRQDO %DFNSODQH
7DEOH *75 %DVH 5DGLR %DFNSODQH &RQQHFWLRQV IRU 7UXQNHG 6LPXOFDVW DQG &RQYHQWLRQDO
3RUW 7\SH 'HYLFH LW FRQQHFWV WR 3RUW 7\SH 'HVFULSWLRQ

6&$ SRUW 6LWH /$1 VZLWFK SRUW %DVH UDGLR ,3 LQWHUIDFH FRQQHFWLRQ WR WKH VLWH
5- SRUW 5- /$1 VZLWFK SRUW IRU WKLV FKDQQHO
6&% SRUW 1RW LQ XVH
5-
5[$ %1& 5HFHLYH OLQH $ %1& 5) FRD[ WR UHFHLYH SDWK IRU
DQWHQQD $
5[% %1& 1RW LQ XVH
7UDQVPLW 7UDQVPLW OLQH 1W\SH 5) FRD[ WR WUDQVPLW DQWHQQD
SRUW 1W\SH
$X[ 3ZU 1RW LQ XVH

2XWSXW
%DW 7HPS %DWWHU\ WHPSHUDWXUH VHQVRU &RQQHFWLRQ WR WHPSHUDWXUH
SLQ VHQVRU DOORZLQJ IRU WHPSHUDWXUH
FRPSHQVDWHG EDWWHU\ FKDUJLQJ
5) 5) SHULSKHUDO VHQVRU SRUWV $QWHQQD UHOD\ DQG SUHVHQFH
3HULSKHUDOV GHWHFW H[WHUQDO FLUFXODWRU ORDG
WHPSHUDWXUH H[WHUQDO ZDWWPHWHU
QRW VXSSRUWHG
%DWW'& '& SRZHU VXSSO\ RU EDWWHU\ %DWW'& ,QSXW IURP DQG RXWSXW WR D
9'& SRZHU VXSSO\ RU EDFNXS
EDWWHU\
3$ -XO\

*75 %DVH 5DGLR &RQQHFWLRQV ± 5HDU +3'
7DEOH *75 %DVH 5DGLR %DFNSODQH &RQQHFWLRQV IRU 7UXQNHG 6LPXOFDVW DQG &RQYHQWLRQDO
&RQWLQXHG
$& 9$& SRZHU ,QSXW IURP 9$& QRPLQDO
VRXUFH SRZHU VRXUFH
5[& 1RW LQ XVH
(;7 )5(4 75$. %1& ,QSXWV D FRPSRVLWH 336
5() 0+] H[WHUQDO VLWH UHIHUHQFH
VLJQDO WR GULYH LQWHUQDO RVFLOODWRU
IRU SUHFLVH IUHTXHQF\ VWDELOLW\
DQG DOVR LQSXWV DQ DFFXUDWH
WLPH VRXUFH XVHG IRU SUHFLVHO\
ODXQFKLQJ VLPXOFDVW GDWD RYHU WKH
DLU
336 1RW LQ XVH
7KH 336 SRUW PD\

EH XVHG WR LQSXW
D VHSDUDWH 336
VLJQDO LI WKH (;7
)5(4 5() SRUW LV
SURJUDPPHG IRU
0+] RQO\
7KH (;7 )5(4 5() LQSXW RQ WKH UHDU RI WKH *75 %DVH 5DGLR LV KLJK LPSHGDQFH $Q
H[WHUQDO WHUPLQDWLRQ LV QHHGHG WR SURSHUO\ WHUPLQDWH WKH FDEOH FRQQHFWHG WR WKH LQSXW ,W LV
UHFRPPHQGHG WKDW D %1& 7 DQG D 2KP %1& WHUPLQDWLRQ EH FRQQHFWHG WR WKH LQSXW WR
WHUPLQDWH WKH FDEOH ,I WKH FDEOH LV GDLV\ FKDLQHG PXOWLSOH EDVH UDGLRV FRQQHFWHG WRJHWKHU DQG
GULYHQ E\ RQH 75$.36& RXWSXW RQO\ WKH ODVW EDVH UDGLR LQ WKH FKDLQ KDV WKH WHUPLQDWLRQ
&RQQHFWLRQV ± 5HDU +3'

7KH *75 %DVH 5DGLR FRQQHFWV ZLWK HDFK RI WKH VLWH FRQWUROOHUV DQG WR WKH WUDQVPLW DQG UHFHLYH SDWKV
7KH FRQQHFWLRQV IRU WKH *75 %DVH 5DGLR DUH VKRZQ LQ )LJXUH DQG 7DEOH
3$ -XO\

&RQQHFWLRQV ± 5HDU +3' &KDSWHU *75 %DVH 5DGLR ,QVWDOODWLRQ
)LJXUH *75 %DVH 5DGLR ± +3' %DFNSODQH
7DEOH *75 %DVH 5DGLR %DFNSODQH &RQQHFWLRQV IRU +3'

6& $ SRUW 6LWH &RQWUROOHU PRGXOH $ %DVH UDGLR &RQQHFWV WR VLWH FRQWUROOHU $ EDVH
5- SRUW 5- UDGLR SRUW IRU WKLV FKDQQHO
7KH OHQJWK RI WKH

FDEOH EHWZHHQ WKH
VLWH FRQWUROOHU DQG WKH
EDVH UDGLR VKRXOG EH
QR JUHDWHU WKDQ
IHHW
6& % SRUW 6LWH &RQWUROOHU PRGXOH % %DVH UDGLR &RQQHFWV WR VLWH FRQWUROOHU % EDVH
5- SRUW 5- UDGLR SRUW IRU WKLV FKDQQHO
5[$ %1& 5HFHLYH OLQH $ %1& 5) FRD[ WR UHFHLYH SDWK IRU 5[
DQWHQQD
5[% %1& 5HFHLYH OLQH % %1& 5) FRD[ WR UHFHLYH SDWK IRU
DQWHQQD %
7UDQVPLW 7UDQVPLW OLQH 1W\SH 5) FRD[ WR WUDQVPLW DQWHQQD
SRUW 1W\SH
$X[ 3ZU 6LWH &RQWUROOHU RU $X[ 3ZU 7KH DX[LOLDU\ RXWSXW SRZHU FDQ
2XWSXW 50&/1$ ,QSXW EH XVHG WR SURYLGH VHFRQGDU\
SRZHU WR WKH VLWH FRQWUROOHU
RU UHFHLYH PXOWLFRXSOHUV 6LWH
50&V/1$V
3$ -XO\

*75 %DVH 5DGLR &RQQHFWLRQV ± )URQW
7DEOH *75 %DVH 5DGLR %DFNSODQH &RQQHFWLRQV IRU +3' &RQWLQXHG
%DW 7HPS %DWWHU\ WHPSHUDWXUH VHQVRU &RQQHFWLRQ WR WHPSHUDWXUH
SLQ VHQVRU DOORZLQJ IRU WHPSHUDWXUH
FRPSHQVDWHG EDWWHU\ FKDUJLQJ
5) 5) SHULSKHUDO VHQVRU SRUWV $QWHQQD UHOD\ DQG SUHVHQFH
3HULSKHUDOV GHWHFW H[WHUQDO FLUFXODWRU ORDG
WHPSHUDWXUH H[WHUQDO ZDWWPHWHU
QRW VXSSRUWHG
%DWW'& '& SRZHU VXSSO\ RU EDWWHU\ %DWW'& ,QSXW IURP DQG RXWSXW WR D
9'& SRZHU VXSSO\ RU EDFNXS
EDWWHU\
$& 9$& SRZHU ,QSXW IURP 9$& QRPLQDO
VRXUFH SRZHU VRXUFH
5[& 1RW LQ XVH
(;7 )5(4 1RW LQ XVH
5()
336 1RW LQ XVH
&RQQHFWLRQV ± )URQW
7ZR VHUYLFH SRUWV DUH DFFHVVLEOH WKURXJK D GURSGRZQ GRRU WR WKH OHIW RI WKH IDQV RQ WKH IURQW
RI WKH EDVH UDGLR 7KH UHPDLQGHU RI WKH SRUWV DUH EHKLQG WKH IDQ PRGXOH 7KH IURQW FRQQHFWLRQV
IRU WKH EDVH UDGLR DUH VKRZQ LQ )LJXUH DQG 7DEOH
)LJXUH *75 %DVH 5DGLR ± )URQW
3$ -XO\

&RQQHFWLRQV ± )URQW &KDSWHU *75 %DVH 5DGLR ,QVWDOODWLRQ
7KH 7UDQVFHLYHU 2SWLRQ &DUG LV DQ RSWLRQDO ERDUG WKDW DWWDFKHV WR WKH FRQWURO ERDUG RI D
FRQYHQWLRQDO VWDQGDORQH *75 %DVH 5DGLR 7KH ERDUG SURYLGHV DQ LQWHUQDO 0+]
IUHTXHQF\ UHIHUHQFH DQG ,2 VXSSRUW IRU FRQYHQWLRQDO EDVH UDGLR RSHUDWLRQ
7DEOH 7UDQVFHLYHU &RQQHFWLRQV )URQW
&RQQHFWV WR 7KLV
;&95 3RUW 7\SH 'HVFULSWLRQ
'HYLFH3RUW
(WKHUQHW VHUYLFH SRUW 5- 6HUYLFH 3& /$1 SRUW (WKHUQHW VHUYLFH SRUW
IRU ORFDO DFFHVV XVLQJ
&RQILJXUDWLRQ6HUYLFH 6RIWZDUH
&66 $OVR PD\ EH XVHG IRU
ORFDOL]HG VRIWZDUH GRZQORDGV
6XSSRUWV RQO\
0E KDOI GXSOH[
RSHUDWLRQ
6HULDO VHUYLFH SRUW '% 6HUYLFH 3& 56 SRUW 6HULDO VHUYLFH SRUW IRU LQLWLDO
FRQILJXUDWLRQ RI WKH EDVH UDGLR
,3 DGGUHVV
0LFURSKRQH SRUW 5- 1RW LQ 8VH
6SHDNHU SRUW 5- 1RW LQ 8VH
:LUHOLQH SRUW 5- 1RW LQ 8VH
6\VWHP &RQQHFWRU PLQL 6&6, &RQQHFWLRQ SRUW IRU D
FRQYHQWLRQDO EDVH UDGLR
FRQILJXUHG IRU ,Q &DELQHW
5HSHDW &RQQHFWV WR D SXQFK
EORFN SLQV
$V\QFKURQRXV SRUW 56 1RW LQ 8VH
5-
&KDQQHO %DQN 5- &RQQHFWLRQ SRUW ZKHQ WKH EDVH
UDGLR LV SDUW RI D WUXQNHG FLUFXLW
VLPXOFDVW UHPRWH VLWH
9 SRUW
'LJLWDO ,QWHUIDFH 8QLW RU 9 LQWHUIDFH FRQQHFWLRQ SRUW
&RQYHQWLRQDO &KDQQHO IRU D FRQYHQWLRQDO EDVH UDGLR
,QWHUIDFH 5-
3$ -XO\

*75 %DVH 5DGLR ,QVWDOODWLRQ7URXEOHVKRRWLQJ 7RROV
7DEOH 7UDQVFHLYHU &RQQHFWLRQV )URQW &RQWLQXHG

&RQQHFWV WR 7KLV
;&95 3RUW 7\SH 'HVFULSWLRQ
'HYLFH3RUW
5HIHUHQFH IUHTXHQF\ LQSXW 6HUYLFH PRQLWRU &RQQHFWLRQ SRUW WR VHUYLFH
%1& PRQLWRU IRU IUHTXHQF\
FDOLEUDWLRQ
&RQYHQWLRQDO &KDQQHO ,QWHUIDFH RU FRQQHFWLRQ WR DQ $6752 &RQYHQWLRQDO

6\VWHP $67527$& &RPSDUDWRU RU ',8 VHH WKH $ &RH[LVWHQFH IHDWXUH
LQ WKH &RQYHQWLRQDO 2SHUDWLRQV PDQXDO 1RWH WKDW WKH EDVH UDGLR FDQ EH ,3 PDQDJHG
ZKLOH XVLQJ WKH 9 LQWHUIDFH IRU FKDQQHO WUDIILF
,QVWDOODWLRQ7URXEOHVKRRWLQJ 7RROV
,Q DGGLWLRQ WR WKH JHQHUDO WRROV QHHGHG IRU VLWH LQVWDOODWLRQ DFWLYLWLHV D VHUYLFH PRQLWRU
GHVLJQHG VSHFLILFDOO\ IRU WHVWLQJ WKH EDVH UDGLR LV QHHGHG
7R SODFH DQ RUGHU FRQWDFW 0RWRUROD DW
3KRQH H[W
77< 3KRQH
0RWRUROD 2QOLQH XVHUV :HE KWWSZZZPRWRURODFRPEXVLQHVVRQOLQH
)D[
4XLFN &RQQHFW 5) &RD[LDO $GDSWHUV IRU *75 %DVH 5DGLR

6XSSRUW
7KH *75 %DVH 5DGLR HPSOR\V D QXPEHU RI 41 40$ 4XLFN &RQQHFW 5) FRQQHFWRUV
LQ LWV GHVLJQ 7KH IROORZLQJ 5) DGDSWHUV DUH DYDLODEOH IURP 0RWRUROD DQG FDQ EH XVHG WR FRQQHFW
WHVW HTXLSPHQW WR WKH YDULRXV VWDWLRQ GHYLFHV IRU WURXEOHVKRRWLQJ SXUSRVHV
7DEOH 4XLFN &RQQHFW 5) &RD[LDO $GDSWHUV IRU *75 %DVH 5DGLR 6XSSRUW
7\SH $GDSWHU &RQQHFWRU GHVFULSWLRQ 0RWRUROD 3DUW 1XPEHU

141 )HPDOH 1 WR 0DOH 41 <
141 )HPDOH 1 WR )HPDOH 41 <
141 0DOH 1 WR 0DOH 41 <
3$ -XO\

*75 %DVH 5DGLR 6RIWZDUH ,QVWDOODWLRQ 3UHUHTXLVLWHV &KDSWHU *75 %DVH 5DGLR ,QVWDOODWLRQ
7DEOH 4XLFN &RQQHFW 5) &RD[LDO $GDSWHUV IRU *75 %DVH 5DGLR 6XSSRUW &RQWLQXHG
7\SH $GDSWHU &RQQHFWRU GHVFULSWLRQ 0RWRUROD 3DUW 1XPEHU
41 5LJKW $QJOH 0DOH 41 FDEOH SOXJ IRU +
5* FRD[
41 5LJKW $QJOH 0DOH 41 FDEOH SOXJ IRU <
5* FRD[
140$ )HPDOH 1 WR 0DOH 40$ <

140$ )HPDOH 1 WR )HPDOH 40$ <
40$40$ )HPDOH 40$ WR )HPDOH 40$ <

40$40$ 0DOH 40$ WR 0DOH 40$ <
41 )HPDOH WR PDOH 41 <
41 0DOH WR 0DOH 41 <
41 )HPDOH WR IHPDOH 41 ,QWHUPRG <

WHVW DGDSWRU
41 0DOH WR IHPDOH 41 ,QWHUPRG WHVW <
DGDSWRU
*75 %DVH 5DGLR 6RIWZDUH ,QVWDOODWLRQ 3UHUHTXLVLWHV

7KH LQVWDOODWLRQ LQIRUPDWLRQ LQ WKLV FKDSWHU LV EDVHG RQ WKH $6752 V\VWHP EHLQJ LQVWDOOHG DQG RSHUDWLRQDO
3URFHVV SURYLGHV D OLVW RI LWHPV \RX QHHG WR KDYH DFFHVV WR EHIRUH \RX FDQ FRPSOHWH WKH EDVH UDGLR
VRIWZDUH LQVWDOODWLRQ DQG EHJLQ WKH FRQILJXUDWLRQ SURFHGXUHV LQ WKH &RQILJXUDWLRQ FKDSWHU
3URFHVV 3UHUHTXLVLWHV IRU ,QLWLDO *75 %DVH 5DGLR 6RIWZDUH ,QVWDOODWLRQ DQG &RQILJXUDWLRQ
7UDQVIHU DQG LQVWDOO QHZ VRIWZDUH WR D EDVH UDGLR XVLQJ 6RIWZDUH 'RZQORDG 0DQDJHU 6HH
8VLQJ 6RIWZDUH 'RZQORDG RQ SDJH
0DNH VXUH WKDW WKH $6752 V\VWHP &'V DQG '9'V DUH DYDLODEOH WR \RX 6SHFLILFDOO\ \RX
QHHG WKH 0RWRUROD *75 %DVH 5DGLR 26 ,PDJH &'V WR SHUIRUP /RDGLQJ D 'HYLFH
V 26
,PDJHV WR WKH 81& RQ SDJH
0DNH VXUH WKDW \RX KDYH WKH XVHU QDPHV SDVVZRUGV DQG SURFHGXUHV \RX QHHG WR DFFHVV WKH
GHYLFHV RQ WKH QHWZRUN )RU VSHFLILF XVHU QDPHV DQG SDVVZRUGV WR DFFHVV GHYLFHV RQ WKH QHWZRUN
FRQWDFW \RXU V\VWHP DGPLQLVWUDWRU
3$ -XO\

*75 %DVH 5DGLR *75 %DVH 5DGLR 6RIWZDUH ,QVWDOODWLRQ 3UHUHTXLVLWHV
&RQWLQXHG
6HW XS WKH XVHUV LQ WKH ,7 $GPLQ JURXS LQ $FWLYH 'LUHFWRU\ 8VHUV DQG &RPSXWHUV 5HIHU WR WKH
$XWKHQWLFDWLRQ 6HUYLFHV PDQXDO
2EWDLQ WKH IROORZLQJ YDOXHV IURP WKH V\VWHP DGPLQLVWUDWRU

OLQH LQWHUIDFH QXPEHU
=& VLWH OLQN SDWK ,3 DGGUHVV
=& VLWH OLQN SDWK ,3 DGGUHVV
+RVW QDPH WR DFFHVV WKH 81& VHUYHU DSSOLFDWLRQ XVLQJ 66+ XVHUQDPH!#,3 DGGUHVV!
IRUPDW
6LWH ,' QXPEHU
,3 DGGUHVV DQG
7KH IROORZLQJ EXOOHWV DUH QRW DSSOLFDEOH IRU D .. V\VWHP

3ULPDU\ VHFRQGDU\ DQG WHUWLDU\ '16 ,3 DGGUHVVHV
3ULPDU\ DQG VHFRQGDU\ 173 ,3 DGGUHVVHV
5HTXHVWHG '16 'RPDLQ 1DPH
5HTXHVWHG '16 +RVW 1DPH &RQYHQWLRQDO %5
6\VWHP 1DPH &RQYHQWLRQDO %5
3ULPDU\ 6<6/2* 6HUYLFH 1DPH )XOO\ 4XDOLILHG 'RPDLQ 1DPH )4'1
%DFNXS 6<6/2* 6HUYLFH 1DPH )XOO\ 4XDOLILHG 'RPDLQ 1DPH )4'1
5$',86 )4'1 SDUDPHWHU YDOXH
5$',86 5RZ 6WDWXV SDUDPHWHU YDOXH
5$',86 6HUYLFH 7LPH 2XW VHF SDUDPHWHU YDOXH
5$',86 6HUYLFH 5HWUDQVPLWV $WWHPSWV SDUDPHWHU YDOXH
5$',86 6HUYLFH 'HDG 7LPHU PLQ SDUDPHWHU YDOXH
5$',86 6SHFLILF .H\ SDUDPHWHU YDOXH
5$',86 6HUYLFH *OREDO .H\ SDUDPHWHU YDOXH
3$ -XO\

8VLQJ 6RIWZDUH 'RZQORDG &KDSWHU *75 %DVH 5DGLR ,QVWDOODWLRQ
&RQWLQXHG
(QVXUH WKDW \RX KDYH WKH GHIDXOW FUHGHQWLDOV ORFDO DFFRXQWV FHQWUDO DXWKHQWLFDWLRQ DQG 6103Y
IRU WKH GHYLFH EHLQJ LQVWDOOHG DV ZHOO DV XSGDWHG SDVVZRUGV IRU WKRVH W\SHV RI DFFRXQWV VR WKDW
\RX FDQ FKDQJH WKH SDVVZRUG RQFH \RX LQVWDOO WKH GHYLFH &RQWDFW \RXU V\VWHP DGPLQLVWUDWRU LI
\RX GR QRW KDYH WKLV LQIRUPDWLRQ 5HIHU WR WKH 6103Y PDQXDO IRU PRUH LQIRUPDWLRQ
(QVXUH WKDW WKH GHYLFH LV FRQILJXUHG DV D 5HPRWH $XWKHQWLFDWLRQ 'LDO,Q 8VHU 6HUYLFH 5$',86
FOLHQW RQ WKH 5$',86 VHUYHU :KHQ WKHVH GHYLFHV DUH FRQILJXUHG ZLWK D 5$',86 NH\ WKDW
PDWFKHV D VKDUHG VHFUHW IRU WKDW GHYLFH LQ 0LFURVRIW :LQGRZV ,QWHUQHW $XWKHQWLFDWLRQ
6HUYLFH ,$6 WKH\ EHFRPH 5$',86 FOLHQWV 7KH\ GR QRW MRLQ WKH $FWLYH 'LUHFWRU\ GRPDLQ
6HH WKH $XWKHQWLFDWLRQ 6HUYLFHV PDQXDO IRU PRUH LQIRUPDWLRQ

7KLV VWHS LV QRW DSSOLFDEOH IRU D .. V\VWHP

7R XVH WKH 9R\HQFH&RQWURO FRPSRQHQW RI 0RWRUROD¶V FHQWUDOL]HG FRQILJXUDWLRQ DSSOLFDWLRQ IRU
DQ\ RI WKH UHPRWH VLWH GHYLFH SURFHGXUHV \RX QHHG WR VHW XS WKH 8QLILHG 1HWZRUN &RQILJXUDWRU
81& 'HSHQGLQJ RQ \RXU RUJDQL]DWLRQ¶V SROLFLHV \RX PD\ DOVR QHHG WR LPSOHPHQW D VHFXUH
SURWRFRO EHWZHHQ WKH 81& DQG WKH UHPRWH VLWH GHYLFH %HIRUH SHUIRUPLQJ DQ\ SURFHGXUHV XVLQJ
9R\HQFH&RQWURO WKH EDVH UDGLR LQ WKH SURFHGXUHV QHHG WR EH GLVFRYHUHG LQ 9R\HQFH&RQWURO DQG
WKHLU FRQILJXUDWLRQV QHHG WR EH UHFHQWO\ SXOOHG WR WKH 8QLILHG 1HWZRUN &RQILJXUDWRU¶V GDWDEDVH
6HH WKH IROORZLQJ $6752 V\VWHP GRFXPHQWDWLRQ
8QLILHG 1HWZRUN &RQILJXUDWRU PDQXDO
6HFXULQJ 3URWRFROV ZLWK 66+ PDQXDO
8VLQJ 6RIWZDUH 'RZQORDG

7KH 6RIWZDUH 'RZQORDG 6:'/ LV DQ DSSOLFDWLRQ WKDW FDQ WUDQVIHU RQO\ LQVWDOO RQO\ RU
WUDQVIHU DQG LQVWDOO QHZ VRIWZDUH WR GHYLFHV 7KH QHZ VRIWZDUH FDQ EH LQVWDOOHG HLWKHU ORFDOO\
DW D VLWH RU RQ WKH 1HWZRUN 0DQDJHPHQW VXEV\VWHP ,QGLYLGXDO GHYLFHV QRW FRQQHFWHG WR WKH
V\VWHP FDQ EH GRZQORDGHG XVLQJ VLQJOH GHYLFH PRGH
'DWD WUDQVIHU FDQ EH SHUIRUPHG E\
&OHDU 6:'/ ± WUDQVIHU RSHUDWLRQV ZLWKRXW VHFXULW\ EDVHG RQ WKH )LOH7UDQVIHU 3URWRFRO )73
6HFXUH 6:'/ ± WUDQVIHU RSHUDWLRQV DUH HQFU\SWHG EDVHG RQ WKH 6HFXUH
)LOH7UDQVIHU 3URWRFRO 6)73
3$ -XO\

*75 %DVH 5DGLR 8VLQJ 6RIWZDUH 'RZQORDG
6:'/ SURYLVLRQV WKH FUHGHQWLDOV IRU 6HFXUH 6:'/ DV SDUW RI LQLWLDWLQJ WKH 6:'/ RSHUDWLRQ
1R XVHU LQWHUYHQWLRQ LV UHTXLUHG )RU D VLQJOH GHYLFH 6HFXUH RU &OHDU 6:'/ LV FRQILJXUHG E\
WKH XVHU EDVHG RQ WKH 6:'/ WUDQVIHU PRGH FRQILJXUDWLRQ ZLWKLQ WKH &66 8QLILHG 1HWZRUN
&RQILJXUDWRU 81& FDQ EH XVHG WR VFKHGXOH DQG FRQILJXUH DOO GHYLFHV LQ WKH V\VWHP DW RQFH
%HIRUH LQLWLDWLQJ WUDQVIHU 6:'/ FRQQHFWV WR WKH VLWH LQ WKH ]RQH GLVFRYHU DOO GHYLFHV
7KH WUDQVIHU PRGH RI DOO GHYLFHV LV GLVSOD\HG LQ WKH 6:'/ ZLQGRZ ,W LV LPSRUWDQW
WKDW DOO GHYLFHV KDYH WKH VDPH 6:'/ WUDQVIHU PRGH 2WKHUZLVH WKH 6:'/ IODJV D
PLVPDWFK RI WKH 6:'/ WUDQVIHU PRGHV DFURVV VLWH GHYLFHV
)RU LQIRUPDWLRQ RQ KRZ WR FRQILJXUH WKH VHFXUH RU FOHDU 6:'/ WUDQVIHU PRGH VHH WKH 8QLILHG 1HWZRUN
&RQILJXUDWRU PDQXDO DQG ³'HYLFH 6HFXULW\ &RQILJXUDWLRQ´ LQ WKH &66 2QOLQH +HOS
6RIWZDUH GRZQORDG FDQ EH DFFRPSOLVKHG LQ WZR ZD\V
&HQWUDOL]HG 6RIWZDUH 'RZQORDG LV D 1HWZRUN 0DQDJHPHQW DSSOLFDWLRQ WKDW DOORZV \RX WR
WUDQVIHU DQG LQVWDOO DSSOLFDWLRQ VRIWZDUH IURP D FHQWUDOL]HG ORFDWLRQ 7KH VRIWZDUH GRZQORDG
DSSOLFDWLRQ UHVLGHV RQ WKH 1HWZRUN 0DQDJHPHQW &OLHQW 3& DQG D 3& ORDGHG ZLWK WKH
&RQILJXUDWLRQ 6HUYLFH 6RIWZDUH &66 DSSOLFDWLRQ )URP HLWKHU RI WKH 3&V \RX FDQ VHOHFW
GHYLFH W\SHV WR ZKLFK WR GRZQORDG VRIWZDUH &HQWUDOL]HG 6RIWZDUH 'RZQORDG DOORZV \RX WR
VHOHFW WKH ]RQH VLWH GHYLFH W\SHV DQG VRIWZDUH GRZQORDG RSHUDWLRQ WR SHUIRUP
6LQJOH 'HYLFH 6RIWZDUH 'RZQORDG DOORZV \RX WR WUDQVIHU DQG LQVWDOO VRIWZDUH WR D VLQJOH
LQVWDQFH RI D GHYLFH VXFK DV RQH EDVH UDGLR WKDW KDV EHHQ GLVFRQQHFWHG IURP WKH UDGLR
QHWZRUN 7KLV IHDWXUH JLYHV VHOIPDLQWDLQHG RUJDQL]DWLRQV WKH DELOLW\ WR LQVWDOO GLIIHUHQW
YHUVLRQV RI VRIWZDUH <RXU RUJDQL]DWLRQ FDQ DOVR WHVW DOLJQPHQW DQG ILHOGUHSODFHDEOH
XQLWV )58V RQ D GHYLFH WKDW LV QRW D SDUW RI WKH UDGLR QHWZRUN 6LQJOH GHYLFH VRIWZDUH
GRZQORDG LV GRQH IURP D 3& ORDGHG ZLWK WKH &66 DSSOLFDWLRQ
&RQYHQWLRQDO GHYLFHV DUH VXSSRUWHG RQO\ LQ WKH VLQJOH GHYLFH PRGH

6:'/ WUDQVIHUV DQG LQVWDOOV VRIWZDUH RQO\ WR WKH GHYLFH WKURXJK D GLUHFW FRQQHFWLRQ WR WKH GHYLFH
V (WKHUQHW
VHUYLFH SRUW :KHQ 6:'/ LV FRQQHFWHG IURP D FHQWUDO UHPRWH ORFDWLRQ 6:'/ SHUIRUPV D FHQWUDOL]HG
VRIWZDUH GRZQORDG WR WKH VLWH FRQWUROOHUV WKHQ WR WKH EDVH UDGLRV LQVWDOOHG DW WKH VLWH %RWK DFWLYH DQG VWDQGE\
VLWH FRQWUROOHU PRGXOHV KDYH WZR PHPRU\ EDQNV IRU ORDGLQJ DQG UXQQLQJ VRIWZDUH 2QH EDQN LV DFWLYH ZKLOH WKH
RWKHU EDQN LV LQDFWLYH 7KH WUDQVIHU RI WKH VRIWZDUH XVLQJ 6:'/ LV D EDFNJURXQG SURFHVV WKDW ORDGV WKH VRIWZDUH
LQWR WKH LQDFWLYH EDQN 7KH VLWH FRQWUROOHU H[HFXWHV WKH VRIWZDUH LQ RQH EDQN ZKLOH VRIWZDUH LV VLPXOWDQHRXVO\
GRZQORDGHG WR WKH LQDFWLYH EDQN 7KLV LV GRQH LQ WKH EDFNJURXQG ZLWKRXW LQWHUUXSWLRQ RI VHUYLFHV DW WKH VLWH
$Q LQVWDOO FDXVHV WKH VLWH FRQWUROOHU WR UHVHW DQG DFWLYDWHV WKH EDQN WR UXQ ZLWK WKH QHZ VRIWZDUH
:KHQ SHUIRUPLQJ D FHQWUDOL]HG VRIWZDUH GRZQORDG WKH VLWH FRQWUROOHU FRRUGLQDWHV WKH VRIWZDUH
WUDQVIHU DQG LQVWDOOV WKH VRIWZDUH WR DOO EDVH UDGLRV LQVWDOOHG DW WKH VLWH
$ FHQWUDOL]HG VRIWZDUH GRZQORDG FDQ RQO\ EH SHUIRUPHG RQ D WUXQNHG V\VWHP
3$ -XO\

'HYLFH ,QVWDOODWLRQ XVLQJ WKH 81& &KDSWHU *75 %DVH 5DGLR ,QVWDOODWLRQ
6:'/ FRPPXQLFDWHV ZLWK WKH VLWH FRQWUROOHU WR GHWHUPLQH WKH QXPEHU RI H[LVWLQJ FKDQQHOV EDVH UDGLRV
6:'/ FRQVLGHUV D FKDQQHO WR EH DFFHVVLEOH LI LWV VWDWXV LV ³1RW 8QFRQILJXUHG´ 7KLV PHDQV WKDW WKH VLWH PXVW EH
VHW XS ZLWK D 3& ZLWK &66 RU D QHWZRUN PDQDJHPHQW FOLHQW EHIRUH VRIWZDUH GRZQORDG LV SHUIRUPHG RQ WKH VLWH
:KHQ \RX GRZQORDG WKH VRIWZDUH WKH V\VWHP GRZQORDGV WR WKH VLWH FRQWUROOHUV DQG EDVH UDGLRV DV D
XQLW 8VH 6:'/ WR WUDQVIHU VRIWZDUH WR HDFK GHYLFH W\SH WKHQ SHUIRUP DQ LQVWDOO RSHUDWLRQ 'XULQJ
WKH WUDQVIHU WKH RSHUDWLRQ GHVLJQDWHV D SUR[\ IRU HDFK GHYLFH W\SH DW HDFK /$1 6LWH FRQWUROOHUV SUR[\
IRU EDVH UDGLRV 7KH SUR[\ FURVVWUDQVIHUV WKH VRIWZDUH WR RWKHU GHYLFHV RQ WKH /$1 8VLQJ SUR[LHV
PLQLPL]HV V\VWHP GRZQWLPH 7UDQVIHUV WR WKH /$1 DUH GRQH VLPXOWDQHRXVO\
%DVH UDGLR VRIWZDUH LQVWDOODWLRQ LV GRQH RQ D FKDQQHO E\ FKDQQHO EDVLV VWDUWLQJ ZLWK WKH KLJKHVW QXPEHU
FKDQQHO :KHQ D FKDQQHO VRIWZDUH GRZQORDG RFFXUV WKH GHYLFH ZKLFK LQFRUSRUDWHV WKDW FKDQQHO LV SURFHVVHG
6:'/ RSHUDWLRQ FDQ EH IDXOW PDQDJHG WKURXJK 8(0 V\VORJ ORFDO 6:'/ ORJ ILOHV
XVHU PHVVDJHV DQG GHYLFH UHSRUWV
)RU IXUWKHU LQIRUPDWLRQ RQ 6:'/ VHH WKH 6RIWZDUH 'RZQORDG PDQXDO
7KH 81& LV FDSDEOH RI VLQJOH GHYLFH VRIWZDUH GRZQORDGV UXWKOHVV GRZQORDG WR WKH EDVH UDGLRV
DW D VLWH 6HH 3URFHVV ,QVWDOOLQJ WKH 'HYLFH XVLQJ WKH 81& RQ SDJH
'HYLFH ,QVWDOODWLRQ XVLQJ WKH 81&

81& LV QRW DSSOLFDEOH IRU D .. V\VWHP

7KH 8QLILHG 1HWZRUN &RQILJXUDWRU 81& LV WKH 1HWZRUN 0DQDJHU XVHG WR GLVFRYHU D GHYLFH DQG ORDG
2SHUDWLQJ 6\VWHP LPDJHV 3URFHVV OLVWV WKH EDVLF VWHSV LQYROYHG XVLQJ WKH 81& RQ WKH GHYLFH
3URFHVV ,QVWDOOLQJ WKH 'HYLFH XVLQJ WKH 81&
'LVFRYHU WKH GHYLFH LQ WKH 81& 6HH 3URFHGXUH +RZ WR 'LVFRYHU D 'HYLFH LQ WKH 81&
RQ SDJH
/RJJLQJ LQ WR WKH 81& 6HUYHU $SSOLFDWLRQ 8VLQJ 3X77< 6HH WKH 6HFXULQJ 3URWRFROV ZLWK
66+ PDQXDO
/RDG WKH 2SHUDWLQJ 6\VWHP LPDJHV WR WKH 81& 6HH 3URFHGXUH +RZ WR /RDG WKH 'HYLFH
26 ,PDJHV WR WKH 81& RQ SDJH
(QDEOH )73 VHUYLFHV RQ WKH 81& 6HH 3URFHGXUH +RZ WR (QDEOH )73 6HUYLFH RQ SDJH

3$ -XO\

*75 %DVH 5DGLR 'LVFRYHULQJ D 'HYLFH ZLWK WKH 81&
3URFHVV ,QVWDOOLQJ WKH 'HYLFH XVLQJ WKH 81& &RQWLQXHG

7UDQVIHU DQG LQVWDOO WKH 26 LPDJH WR WKH GHYLFH 6HH 3URFHGXUH +RZ WR 7UDQVIHU DQG
,QVWDOO WKH 26 ,PDJH RQ SDJH
,QVSHFW WKH GHYLFH SURSHUWLHV IRU WKH WUDQVIHUUHG DQG LQVWDOOHG VRIWZDUH 6HH 3URFHGXUH +RZ
WR ,QVSHFW 'HYLFH 3URSHUWLHV IRU 7UDQVIHUUHG DQG ,QVWDOOHG 6RIWZDUH RQ SDJH
'LVDEOH )73 VHUYLFHV IRU WKH 81& 6HH 3URFHGXUH +RZ WR 'LVDEOH )73 6HUYLFH RQ
SDJH
'LVFRYHULQJ D 'HYLFH ZLWK WKH 81&

7KH GLVFRYHU\ SURFHVV DOORZV VLWH GHYLFHV WR EH PDQDJHG E\ WKH 8QLILHG 1HWZRUN &RQILJXUDWRU
81& 2QFH WKH GHYLFHV DUH LQVWDOOHG FRQILJXUHG WKURXJK WKH &66 DQG VHFXULW\ SDUDPHWHUV
DUH HQDEOHG XVH 3URFHGXUH WR GLVFRYHU WKH GHYLFH DQG WKHQ \RX FDQ XSGDWH FRQILJXUDWLRQ
LQIRUPDWLRQ XVLQJ WKLV FRQILJXUDWLRQ PDQDJHPHQW DSSOLFDWLRQ
7KH 81& QHWZRUN PDQDJHPHQW VROXWLRQ FRQVLVWV RI WZR DSSOLFDWLRQV DQG ERWK WKH 81& :L]DUG
DQG WKH 9R\HQFH&RQWURO DSSOLFDWLRQV DUH XVHG LQ WKLV SURFHGXUH
2QFH WKH GHYLFH LV GLVFRYHUHG LQ WKH 81& WKH 26 LPDJHV DQG EDVH UDGLR &66 FRQILJXUDWLRQ ILOHV FDQ EH
ORDGHG WR DGG D EDVH UDGLR WR D VLWH ZKLFK WKHQ FRQQHFWV WKH VLWH WR WKH FXUUHQW $6752 ]RQH FRUH
3URFHGXUH +RZ WR 'LVFRYHU D 'HYLFH LQ WKH 81&
(QVXUH WKDW '16 LV IXQFWLRQDO RQ \RXU V\VWHP '16 LV VXSSOLHG E\ D VSHFLILF VHUYHU DSSOLFDWLRQ
ZKLFK DOVR QHHGV WR EH RSHUDWLRQDO EHIRUH \RX FDQ GLVFRYHU D GHYLFH
/RJ RQ WR WKH 81& :L]DUG IURP WKH 10 FOLHQW E\ GRXEOHFOLFNLQJ WKH ,QWHUQHW ([SORUHU
LFRQ RQ WKH GHVNWRS
5HVXOW 7KH ,QWHUQHW ([SORUHU EURZVHU RSHQV
7\SH KWWSXFVXQF<!XFV81&: LQ WKH $GGUHVV ILHOG 3UHVV (QWHU
XFVXQF<!XFV ZKHUH <! LV WKH QXPEHU RI WKH 81& VHUYHU IRU SULPDU\ FRUH
81& VHUYHU DQG IRU EDFNXS FRUH 81& VHUYHU
5HVXOW 7KH 81& :L]DUG ODXQFKHV DQG D ORJLQ GLDORJ ER[ DSSHDUV
7\SH WKH DGPLQLVWUDWLYH XVHUQDPH DQG SDVVZRUG &OLFN 2.
5HVXOW 7KH 81& :L]DUG DSSHDUV
)URP WKH OLVW RI DYDLODEOH ZL]DUGV RQ WKH OHIW VLGH VHOHFW 6XEQHW 'LVFRYHU\
5HVXOW 7KH ULJKW VLGH RI WKH ZLQGRZ LV XSGDWHG ZLWK WKH 6XEQHW 'LVFRYHU\ IRUP
6HOHFW 5) 6LWH E\ FOLFNLQJ RQ WKH 'LVFRYHU\ 7\SH GURSGRZQ OLVW
(QWHU WKH =RQH ,' 6LWH ,' DQG WKHQ FOLFN 6XEPLW
5HVXOW $Q DXWRGLVFRYHU\ MRE LV FUHDWHG LQ WKH 81& 6FKHGXOH 0DQDJHU <RX DUH ILQLVKHG
XVLQJ WKH 81& :L]DUG DW WKLV SRLQW
3$ -XO\

/RDGLQJ D 'HYLFH
V 26 ,PDJHV WR WKH 81& &KDSWHU *75 %DVH 5DGLR ,QVWDOODWLRQ
3URFHGXUH +RZ WR 'LVFRYHU D 'HYLFH LQ WKH 81& &RQWLQXHG

/RJ RQ WR WKH 81& IURP WKH 10 FOLHQW E\ W\SLQJ KWWSXFVXQF<!XFV 3UHVV
(QWHU
XFVXQF<!XFV ZKHUH <! LV WKH QXPEHU RI WKH 81& VHUYHU IRU SULPDU\ FRUH
81& VHUYHU DQG IRU EDFNXS FRUH 81& VHUYHU
5HVXOW 7KH 81& FOLHQW ODXQFKHV DQG D ORJLQ GLDORJ ER[ DSSHDUV
7\SH WKH DGPLQLVWUDWLYH XVHUQDPH DQG SDVVZRUG &OLFN 2.
5HVXOW 9R\HQFH&RQWURO ODXQFKHV
3UHVV ) 6FKHGXOH 0DQDJHU
5HVXOW 7KH 6FKHGXOH 0DQDJHU ZLQGRZ DSSHDUV LQ WKH 81& ZLWK WKH GLVFRYHU\ MREV
9HULI\ WKDW WKH =RQH DQG 6LWH FRQWDLQHUV LQFOXGH EDVH UDGLR GHYLFHV MXVW GLVFRYHUHG
1R VLWHV VKRXOG EH LQ WKH /RVW DQG )RXQG IROGHU ,I WKHUH DUH UHIHU WR WKH 8QLILHG
1HWZRUN &RQILJXUDWRU PDQXDO IRU WURXEOHVKRRWLQJ JXLGDQFH
,Q WKH 81& :L]DUG VHOHFW 5) 6LWH /HYHO &RQILJXUDWLRQ &KDQQHO WR YHULI\ WKH EDVH UDGLR
GHYLFHV &KRRVH =RQH LI PXOWLSOH ]RQHV H[LVW
5HVXOW 7KH GHYLFH VLWHV DUH OLVWHG ZKLFK PHDQV WKH\ DUH DYDLODEOH IRU FKDQQHO FRQILJXUDWLRQ
/RDGLQJ D 'HYLFH
V 26 ,PDJHV WR WKH 81&
3URFHGXUH ORDGV WKH 2SHUDWLQJ 6\VWHP 26 LPDJHV IRU WKH GHYLFHV IRU GLVWULEXWLRQ WKURXJK WKH 8QLILHG
1HWZRUN &RQILJXUDWRU 81& 7KLV SURFHGXUH UHTXLUHV WKH 0RWRUROD GHYLFH 26 ,PDJH &'V
2QFH 26 LPDJHV DUH GLVWULEXWHG WR WKH 81& \RX FDQ XSGDWH WKH GHYLFHV
V FRQILJXUDWLRQ ILOHV WR WKH 81&
7KH 7UDQVSRUW 26 ,PDJH PHGLD LV SDFNDJHG ZLWK WKH 1HWZRUN 0DQDJHPHQW

'9'V ZKHQ DQ $6752 V\VWHP VKLSV
3$ -XO\

*75 %DVH 5DGLR /RDGLQJ 26 6RIWZDUH WR D 'HYLFH
3URFHGXUH +RZ WR /RDG WKH 'HYLFH 26 ,PDJHV WR WKH 81&
/DXQFK DQ 66+ WHUPLQDO VHUYHU VHVVLRQ LQ 3X77< WR DFFHVV WKH 81& 6HUYHU $GPLQLVWUDWLRQ
PHQX 6HH WKH 6HFXULQJ 3URWRFROV ZLWK 66+ PDQXDO
5HVXOW 7KH 81& 6HUYHU $GPLQLVWUDWLRQ PHQX DSSHDUV
6HOHFW 26 ,PDJHV $GPLQLVWUDWLRQ IURP WKH PHQX 3UHVV (QWHU
5HVXOW 7KH 26 ,PDJHV $GPLQLVWUDWLRQ PHQX DSSHDUV
6HOHFW /RDG QHZ 26 LPDJHV IURP WKH PHQX 3UHVV (QWHU
5HVXOW $ PHVVDJH DSSHDUV LQGLFDWLQJ WKHUH DUH WZR PHWKRGV IRU ORDGLQJ 26 ,PDJHV
,QVHUW WKH 0RWRUROD 26 ,PDJHV &' LQWR WKH &''9'520 GULYH RI WKH VHUYHU
5HVXOW 7KH GULYH OLJKW VWDUWV EOLQNLQJ RQ WKH VHUYHU
:KHQ WKH GULYH OLJKW VWRSV EOLQNLQJ SUHVV (QWHU
5HVXOW 7KH 26 LPDJHV ORDG RQ WKH 81&
6HOHFW 9LHZ 26 ,PDJHV IURP WKH PHQX 3UHVV (QWHU
5HVXOW 7KH GHYLFH VRIWZDUH LPDJH DSSHDUV
6HOHFW (MHFW &' IURP WKH PHQX 3UHVV (QWHU
5HVXOW 7KH PHGLD HMHFWV IURP WKH GULYH RQ VHUYHU
5HPRYH WKH 26 ,PDJH &' IURP WKH &''9'520 GULYH RI WKH VHUYHU
7R ORJ RXW RI WKH VHUYHU SUHVV (QWHU
5HVXOW 7KH 8VHU &RQILJXUDWLRQ 6HUYHU $GPLQLVWUDWLRQ PHQX DSSHDUV
3UHVV (QWHU DJDLQ
5HVXOW 7KH SURPSW DSSHDUV
/RDGLQJ 26 6RIWZDUH WR D 'HYLFH
7KHVH SURFHGXUHV DUH IRU D VLQJOH GHYLFH GRZQORDG )RU D VLWH GRZQORDG VHH
8VLQJ 6RIWZDUH 'RZQORDG RQ SDJH
7KHVH SURFHGXUHV GHVFULEH KRZ WR ORDG VRIWZDUH LPDJHV RQWR 81& DQG GRZQORDG DQG LQVWDOO WKLV VRIWZDUH WR WKH
GHYLFH +RZHYHU EHIRUH \RX EHJLQ WR LQVWDOO WKH VRIWZDUH \RX PXVW HQDEOH )73 DV GHVFULEHG LQ 3URFHGXUH
3$ -XO\

/RDGLQJ 26 6RIWZDUH WR D 'HYLFH &KDSWHU *75 %DVH 5DGLR ,QVWDOODWLRQ
3URFHGXUH +RZ WR (QDEOH )73 6HUYLFH
6HOHFW 8QL[ $GPLQLVWUDWLRQ IURP WKH PHQX 3UHVV (QWHU
5HVXOW 7KH 8QL[ $GPLQLVWUDWLRQ PHQX DSSHDUV
6HOHFW )73 6HUYLFHV IURP WKH PHQX 3UHVV (QWHU
5HVXOW 7KH )73 6HUYLFHV PHQX DSSHDUV
6HOHFW (QDEOH )73 VHUYLFH IURP WKH PHQX 3UHVV (QWHU
5HVXOW 7KH )73 6HUYLFHV DUH HQDEOHG DQG DYDLODEOH IRU VRIWZDUH WUDQVIHU DQG LQVWDOO RSHUDWLRQV
3URFHGXUH GHVFULEHV KRZ WR GRZQORDG WKH 26 IURP WKH 81& WR WKH *75 %DVH 5DGLR
3URFHGXUH +RZ WR 7UDQVIHU DQG ,QVWDOO WKH 26 ,PDJH
2Q WKH 310 FOLHQW ZKHUH \RX VHW XS 9R\HQFH&RQWURO GRXEOHFOLFN WKH 81& VKRUWFXW RQ WKH
GHVNWRS
<RX FDQ DOVR SDVWH WKH IROORZLQJ DGGUHVV LQWR ,( ZHE EURZVHU
KWWSXFVXQF<!XFV ZKHUH <! LV WKH QXPEHU RI WKH 81& VHUYHU
IRU SULPDU\ FRUH 81& VHUYHU DQG IRU EDFNXS FRUH 81& VHUYHU
5HVXOW ,QWHUQHW ([SORUHU RSHQV WR WKH 85/ RI WKH DSSOLFDWLRQ VHUYHU DQG D 9R\HQFH&RQWURO
FOLHQW VHVVLRQ ODXQFKHV ZLWK WKH ZHOFRPH SDJH 6HH )LJXUH
)LJXUH 9R\HQFH&RQWURO :HOFRPH 3DJH
3$ -XO\

3URFHGXUH +RZ WR 7UDQVIHU DQG ,QVWDOO WKH 26 ,PDJH &RQWLQXHG

&OLFN WKH ODXQFK 9R\HQFH&RQWURO OLQN
5HVXOW 9R\HQFH&RQWURO FOLHQW VHVVLRQ ODXQFKHV ZLWK WKH ORJLQ ZLQGRZ
)LJXUH 9R\HQFH&RQWURO /RJLQ :LQGRZ
(QWHU WKH 8VHU ,' DQG 3DVVZRUG &OLFN 2.

5HVXOW 7KH 9R\HQFH&RQWURO 'DVKERDUG DSSHDUV
)LJXUH 9R\HQFH&RQWURO 'DVKERDUG
,Q WKH OHIW QDYLJDWLRQ SDQH H[SDQG 1HWZRUNV $6752 5DGLR 1HWZRUN WKHQ 9LHZV
5HVXOW 7KH OLVW RI RSWLRQV H[SDQGV
3$ -XO\


'RXEOH FOLFN 0RWRUROD GHYLFH! IURP WKH QDYLJDWLRQ SDQH
5HVXOW 7KH YLHZ RSHQV DQG DOO FXUUHQWO\ GLVFRYHUHG *75 %DVH 5DGLR GHYLFHV DSSHDU
6HOHFW 7RROV 26 ,QYHQWRU\
<RX FDQ DOVR SUHVV WKH ) NH\ WR VHOHFW WKH 26 ,QYHQWRU\

5HVXOW $ OLVW RI WKH 26 LPDJHV DSSHDUV
9HULI\ 26 LPDJHV ORDGHG RQ WKH 81& VHUYHU DSSHDU LQ WKH 26 LQYHQWRU\
7KHVH LPDJHV ZHUH DXWRPDWLFDOO\ FUHDWHG GXULQJ WKH ³+RZ WR /RDG 26 ,PDJHV
WR WKH 81&´ SURFHGXUH
8QGHU 1HWZRUNV LQ WKH QDYLJDWLRQ SDQH VHOHFW RQH RU PRUH GHYLFHV IURP WKH VDPH GHYLFH FODVV
ULJKW FOLFN WKH VHOHFWLRQV WKHQ FKRRVH 8SGDWH 26 ,PDJH IURP WKH PHQX
5HVXOW 7KH 6HOHFW 26 ,PDJH ZLQGRZ DSSHDUV
6HOHFW 6RIWZDUH ,PDJH DQG FOLFN 1H[W
5HVXOW 7KH 8SGDWH 26 ,PDJH ZLQGRZ DSSHDUV
6HOHFW HDFK GHYLFH WKDW DSSHDUV LQ WKH 6HOHFWHG 'HYLFHV VHFWLRQ
5HVXOW 7KLV DVVRFLDWHV D YHUVLRQ WR D GHYLFH LQVWDQFH
,Q PRVW FDVHV WKH ³VXPPDU\ RI GHYLFH SDUWLWLRQV´ DUH DOUHDG\ VHW XS DQG \RX MXVW
QHHG WR YHULI\ WKH YDOXHV LQ VWHS WR VWHS
6HOHFW QYP SDUWLWLRQ IURP WKH 0DQDJH 3DUWLWLRQ IRU 'HYLFH VHFWLRQ
5HVXOW 7KLV GHILQHV ZKHUH WKH 26 LPDJH LV WUDQVIHUUHG
7KLV LV WKH RQO\ FKRLFH IRU WKH EDVH UDGLR GHYLFH

6HOHFW WKH LPDJH IRU WKLV GHYLFH IURP WKH 6HOHFWHG ,PDJH VHFWLRQ
<RX FDQ LJQRUH WKH ,QVWDOO DQG &RS\ FKHFN ER[HV

5HVXOW 7KLV SRSXODWHV WKH ,PDJH ,QIR WDE DQG LQIRUPV WKH DSSOLFDWLRQ ZKLFK LPDJH WR XVH
&OLFN $GG
5HVXOW 7KLV SRSXODWHV WKH 6XPPDU\ RI 'HYLFH 3DUWLWLRQV IRU 'HYLFH DQG FRQILUPV WKH SURSHU
VHWXS
3$ -XO\


6HOHFW WKH 'HYLFH 2SWLRQV VHFWLRQ 6RIWZDUH 2SHUDWLRQV WKHQ FKRRVH WUDQVIHU LQVWDOO RU ERWK
5HVXOW 7KLV LQGLFDWHV ZKLFK RSHUDWLRQV RFFXU ZKHQ WKH MRE LV H[HFXWHG
,I \RX FKRRVH WUDQVIHU \RX PXVW VHOHFW WKH LQVWDOO RSWLRQ ODWHU WR FRPSOHWH WKH
LQVWDOODWLRQ ,I \RX FKRRVH ERWK WKH VRIWZDUH LV WUDQVIHUUHG DQG WKHQ LQVWDOOHG 7KHUH
DUH XS WR WZR UHVHWV RI WKH GHYLFH GXULQJ LQVWDOODWLRQ
&OLFN 6FKHGXOH
5HVXOW 7KH 6FKHGXOH 3XVK -RE ZLQGRZ DSSHDUV
&RQILJXUH WKH VFKHGXOH LQIRUPDWLRQ DQG FOLFN $SSURYH DQG 6XEPLW
5HVXOW 7KLV DSSURYHV WKH MRE DQG \RX FDQ YLHZ LW LQ WKH 6FKHGXOH 0DQDJHU ZLQGRZ
,I \RX FKRRVH 6XEPLW \RX DUH DVNHG WR DSSURYH WKH MRE ODWHU
9HULI\ WKH MRE VWDWXV E\ SUHVVLQJ ) 6FKHGXOH 0DQDJHU
5HVXOW 7KH 6FKHGXOH 0DQDJHU ZLQGRZ DSSHDUV LQ WKH 81& ZLWK WKH GLVFRYHU\ MREV
2QFH WKH VRIWZDUH KDV EHHQ WUDQVIHUUHG DQG LQVWDOOHG XVH 3URFHGXUH WR LQVSHFW WKH GHYLFH SURSHUWLHV
EHIRUH DVVXPLQJ WKH LQVWDOODWLRQ ZDV D VXFFHVV DQG GLVDEOLQJ )73 VHUYLFH
3URFHGXUH +RZ WR ,QVSHFW 'HYLFH 3URSHUWLHV IRU 7UDQVIHUUHG DQG ,QVWDOOHG 6RIWZDUH
)URP WKH 'HYLFH YLHZ ULJKW FOLFN WKH GHYLFH VHOHFW 3XOO WKHQ 3XOO +DUGZDUH 6SHF
5HVXOW 7KH FXUUHQW VRIWZDUH YHUVLRQ LQIRUPDWLRQ LV XSGDWHG LQ WKH 81&
<RX FDQ VNLS WKLV VWHS LI D 3XOO $OO RU 3XOO +DUGZDUH 6SHF KDV DOUHDG\ RFFXUUHG
)URP WKH 'HYLFH YLHZ ULJKW FOLFN RQ WKH GHYLFH WKHQ FKRRVH 3URSHUWLHV
5HVXOW 7KH 'HYLFH 3URSHUWLHV ZLQGRZ DSSHDUV
,I \RX VHOHFW WKH 3URSHUWLHV LFRQ \RX FDQ YLHZ WKH GHYLFH SURSHUWLHV GLUHFWO\ ZLWKLQ
WKH 'HYLFH YLHZ
&KRRVH WKH &RQILJXUDWLRQ WDE WKHQ WKH +DUGZDUH WDE
'RXEOH FOLFN WKH &KDVVLV REMHFW IURP WKH 3K\VLFDO +DUGZDUH SURSHUWLHV
5HVXOW 7KH &KDVVLV SURSHUW\ WUHH H[SDQGV
9LHZ WKH IROORZLQJ SURSHUWLHV DQG WKHLU YDOXHV
%QNGHYLFH! 7UDQVIHUUHG VRIWZDUH LQ EDQN
3$ -XO\

3URFHGXUH +RZ WR ,QVSHFW 'HYLFH 3URSHUWLHV IRU 7UDQVIHUUHG DQG ,QVWDOOHG 6RIWZDUH
&RQWLQXHG
%QNGHYLFH! 7UDQVIHUUHG VRIWZDUH LQ EDQN

GHYLFH! ,QVWDOOHG DQG 5XQQLQJ 6RIWZDUH
<RX FDQ XVH WKH 7DEOH IRUPDW LQVWHDG RI WKH 'LDJUDP IRUPDW WR YLHZ WKH ,QVWDOOHG
DQG 5XQQLQJ 6RIWZDUH LQ WKH 'HYLFH YLHZ
$IWHU WKH WUDQVIHU DQG LQVWDOODWLRQ RI WKH VRIWZDUH WKH )73 VHUYLFH PXVW EH GLVDEOHG
)ROORZ 3URFHGXUH WR GLVDEOH )73 VHUYLFH
3URFHGXUH +RZ WR 'LVDEOH )73 6HUYLFH
6HOHFW 8QL[ $GPLQLVWUDWLRQ IURP WKH PHQX 3UHVV (QWHU
5HVXOW 7KH 8QL[ $GPLQLVWUDWLRQ PHQX DSSHDUV
6HOHFW )73 6HUYLFHV IURP WKH PHQX 3UHVV (QWHU
5HVXOW 7KH )73 6HUYLFHV PHQX DSSHDUV
6HOHFW 'LVDEOH )73 VHUYLFH IURP WKH PHQX 3UHVV (QWHU
5HVXOW 7KH )73 6HUYLFHV DUH GLVDEOHG DQG XQDYDLODEOH IRU VRIWZDUH WUDQVIHU DQG LQVWDOO
RSHUDWLRQV
%DFN RXW RI WKH PHQXV E\ SUHVVLQJ T WKUHH WLPHV
$W WKH SURPSW W\SH H[LW WR UHWXUQ WR WKH SUHYLRXV PHQX
7\SH H[LW DJDLQ
5HVXOW <RX KDYH VXFFHVVIXOO\ ORJJHG RXW RI WKH DSSOLFDWLRQ
&ORVH WKH 3X77< FRQQHFWLRQ
3$ -XO\

&KDSWHU

*75 %DVH 5DGLR &RQILJXUDWLRQ
3URSHU VRIWZDUHKDUGZDUH FRQILJXUDWLRQ IRU WKH *75 %DVH 5DGLRV DQG VXEV\V
WHPV UHTXLUH WKH IROORZLQJ DFWLYLWLHV
8SGDWLQJ IDFWRU\LQVWDOOHG EDVH UDGLR DSSOLFDWLRQ VRIWZDUH
6HWWLQJ SDUDPHWHUV LQ D FRQILJXUDWLRQ ILOH VWRUHG RQ WKH *75 %DVH 5DGLR WKDW LPSDFWV
ERWK EDVH UDGLR DQG 5) 'LVWULEXWLRQ 6\VWHP 5)'6 IXQFWLRQDOLW\
7KLV FKDSWHU GHWDLOV FRQILJXUDWLRQ SURFHGXUHV UHODWLQJ WR WKH *75 %DVH 5DGLR
&RQILJXUDWLRQ 6RIWZDUH
&RQILJXULQJ WKH *75 %DVH 5DGLRV UHTXLUHV WZR VRIWZDUH DSSOLFDWLRQV WR EH ORDGHG RQ WKH VHUYLFH
3& &RQILJXUDWLRQ6HUYLFH 6RIWZDUH &66 DQG 8QLILHG 1HWZRUN &RQILJXUDWRU 81&
&66 LV XVHG WR FRQILJXUH WKH SDUDPHWHUV RQ WKH EDVH UDGLRV &66 FDQ DFFHVV GHYLFHV
UHPRWHO\ RYHU WKH QHWZRUN RU ORFDOO\ WKURXJK DQ (WKHUQHW FRQQHFWLRQ RU '% VHULDO
SRUW FRQQHFWLRQ WR WKH VHUYLFH SRUW RQ WKH VLWH FRQWUROOHU &66 DOVR FDQ EH XVHG WR
YLHZ VWDWXV LQIRUPDWLRQ HTXDOL]H EDWWHULHV DQG FKHFN LQWHUQDO ORJV RI WKH HTXLSPHQW
DW WKH VLWH 6HH WKH &66 2QOLQH +HOS IRU FRQILJXUDWLRQ GHWDLOV
%DVH UDGLR
V WKDW DUH D UHSODFHPHQW IRU WKH 48$17$5 %DVH
5DGLR PXVW EH FRQILJXUHG ORFDOO\
81& LV XVHG WR FRQILJXUH WKH SDUDPHWHUV LQ WKH EDVH UDGLRV 6HH WKH 8QLILHG
1HWZRUN &RQILJXUDWRU PDQXDO IRU FRQILJXUDWLRQ GHWDLOV
$OO SDUDPHWHUV DUH SURJUDPPHG ORFDOO\ ZKHQ WKH VLWH LV LQVWDOOHG EXW QRW OLQNHG WR WKH ]RQH FRQWUROOHU
$OO SDUDPHWHUV VKRXOG EH WHVWHG SULRU WR PDNLQJ WKH VLWH DYDLODEOH 7KH DELOLW\ WR SURJUDP ORFDOO\
SURYLGHV WKH PHDQV WR WHVW WKH VLWH SULRU WR PDNLQJ LW DYDLODEOH IRU V\VWHP RSHUDWLRQ
3$ -XO\

&RQILJXULQJ 8VLQJ 81& &KDSWHU *75 %DVH 5DGLR &RQILJXUDWLRQ
&RQILJXULQJ 8VLQJ 81&

3URFHVV GHVFULEHV WKH KLJKOHYHO VWHSV WR FRQILJXUH WKH GHYLFHV LQ WKH 81& 5HIHU WR WKH
8QLILHG 1HWZRUN &RQILJXUDWRU PDQXDO IRU FRQILJXUDWLRQ GHWDLOV
3URFHVV &RQILJXULQJ D 'HYLFH LQ WKH 81&
8VH WKH 8QLILHG 1HWZRUN &RQILJXUDWRU 'LVFRYHU\ :L]DUG WR

'LVFRYHU WKH GHYLFHV
8SORDG FRQILJXUDWLRQV IRU WKH GHYLFHV
*HQHUDWH FKDQJH IRU QRQFRPSOLDQW GHYLFHV
$SSURYH MREV LI DQ\
6HFXULW\$XWKHQWLFDWLRQ 6HUYLFHV
,I WKH GHYLFH VXSSRUWV 6103Y SURWRFRO D SRSXS ZLQGRZ DSSHDUV GLVSOD\LQJ WKH 6103Y 3DVVZRUG
3URPSW ZKHQ ORJJLQJ LQWR D GHYLFH WKURXJK &RQILJXUDWLRQ6HUYLFH 6RIWZDUH &66 XVLQJ DQ (WKHUQHW
FRQQHFWLRQ (QWHU \RXU $XWKHQWLFDWLRQ 3DVVSKUDVH DQG (QFU\SWLRQ 3DVVSKUDVH LI WKH FKRVHQ VHFXULW\
OHYHO UHTXLUHV LQVHUWLQJ WKHVH FUHGHQWLDOV )RU FRQILJXUDWLRQ GHWDLOV VHH WKH ,QIRUPDWLRQ $VVXUDQFH
)HDWXUHV 2YHUYLHZ 6RIWZDUH 'RZQORDG DQG 6103Y PDQXDOV 6HH )LJXUH
)LJXUH 6103Y 6HFXULW\ /HYHO 2SWLRQ 3URPSW
3$ -XO\

*75 %DVH 5DGLR &RQILJXULQJ D 'HYLFH 8VLQJ &66
,I $XWKHQWLFDWLRQ 6HUYLFHV DUH HQDEOHG RQ D GHYLFH D SRSXS ZLQGRZ DSSHDUV GLVSOD\LQJ WKH )LOH 7UDQVIHU
$FFHVV 6HUYLFHV IRU &RQILJXUDWLRQ6HUYLFH 6RIWZDUH &66 7KLV ORJRQ LV XVHG ZKHQ FRPPXQLFDWLQJ WR D GHYLFH
WKURXJK &66 XVLQJ HLWKHU DQ (WKHUQHW RU '% 6HULDO 3RUW FRQQHFWLRQ (QWHU \RXU 8VHUQDPH 3DVVZRUG DQG
(OHYDWHG 3ULYLOHJHV 3DVVZRUG LI WKH FKRVHQ VHFXULW\ OHYHO UHTXLUHV LQVHUWLQJ WKHVH FUHGHQWLDOV 6HH )LJXUH
)LJXUH &66 /RJLQ %DQQHU
&RQILJXULQJ D 'HYLFH 8VLQJ &66

7KLV VHFWLRQ FRYHUV FRQILJXUDWLRQ RI D GHYLFH XVLQJ WKH &RQILJXUDWLRQ6HUYLFH 6RIWZDUH &66
<RX ZLOO QHHG WR ORFDWH WKH ,3 DGGUHVV IRU WKH GHYLFH EHIRUH SHUIRUPLQJ WKH SURFHVVHV LQ
WKLV FKDSWHU &RQWDFW \RXU V\VWHP DGPLQLVWUDWRU IRU WKLV LQIRUPDWLRQ
'HYLFH &RQILJXUDWLRQ 3URFHVV 8VLQJ &66

)ROORZ 3URFHVV WR FRQILJXUH D GHYLFH XVLQJ &66
3$ -XO\

'HYLFH &RQILJXUDWLRQ 3URFHVV 8VLQJ &66 &KDSWHU *75 %DVH 5DGLR &RQILJXUDWLRQ
3URFHVV &RQILJXULQJ D 'HYLFH 8VLQJ &66
3HUIRUP WKH IROORZLQJ FRQILJXUDWLRQ VWHSV WKDW UHTXLUH D VHULDO FRQQHFWLRQ 6HH 3URFHGXUH
+RZ WR &RQQHFW 7KURXJK D 6HULDO 3RUW /LQN RQ SDJH
6HW WKH ,3 DGGUHVV RI WKH GHYLFH 6HH 3URFHGXUH +RZ WR 6HW D 'HYLFHV ,3 $GGUHVV LQ
&66 RQ SDJH
6HW WKH VHULDO VHFXULW\ VHUYLFHV 6HH 3URFHGXUH +RZ WR 6HW WKH 6HULDO 6HFXULW\ 6HUYLFHV
8VLQJ &66 RQ SDJH
3HUIRUP WKH IROORZLQJ FRQILJXUDWLRQ VWHSV WKDW UHTXLUH DQ (WKHUQHW FRQQHFWLRQ 6HH 3URFHGXUH
+RZ WR &RQQHFW 7KURXJK DQ (WKHUQHW 3RUW /LQN RQ SDJH
6HW WKH FXUUHQW GDWH DQG WLPH LQ &66 6HH 3URFHGXUH +RZ WR 6HW WKH 'DWH DQG 7LPH
8VLQJ &66 RQ SDJH
&KDQJH WKH 6103Y FRQILJXUDWLRQ DQG XVHU FUHGHQWLDOV IURP &66 RQ D VHOHFWHG GHYLFH LQ
WKH VLWH 6HH 3URFHGXUH +RZ WR &KDQJH 6103Y &RQILJXUDWLRQ DQG 8VHU &UHGHQWLDOV
8VLQJ &66 RQ SDJH
&UHDWH XSGDWH RU GHOHWH DQ 6103Y XVHU 6HH 3URFHGXUH +RZ WR $GG RU 0RGLI\ DQ
6103Y 8VHU 8VLQJ &66 RQ SDJH
9HULI\ WKH 6103Y FUHGHQWLDOV 6HH 3URFHGXUH +RZ WR 9HULI\ 6103Y &UHGHQWLDOV
8VLQJ &66 RQ SDJH
&RQILJXUH '16 IRU D FRQYHQWLRQDO EDVH UDGLR XVLQJ WKH &66 6HH 3URFHGXUH +RZ WR
&RQILJXUH '16 8VLQJ &66 RQ SDJH
6HW WKH 6:'/ WUDQVIHU PRGH 6HH 3URFHGXUH +RZ WR 6HW WKH 6:'/ 7UDQVIHU 0RGH
8VLQJ &66 RQ SDJH
&RQILJXUH IRU 66+ 6HH &KDSWHU ³&RQILJXULQJ 66+ IRU 5) 6LWH 'HYLFHV DQG 930V 8VLQJ
&66´ LQ WKH 6HFXULQJ 3URWRFROV ZLWK 66+ PDQXDO
(QDEOH 5$',86 $XWKHQWLFDWLRQ XVLQJ WKH &66 6HH &KDSWHU ³&RQILJXULQJ 5$',86
6RXUFHV DQG 3DUDPHWHUV 8VLQJ &66´ LQ WKH $XWKHQWLFDWLRQ 6HUYLFHV PDQXDO 0DNH VXUH WKDW WKH
EDVH UDGLRV KDYH EHHQ DGGHG WR WKH 5$',86 VHUYHUV RQ WKH GRPDLQ FRQWUROOHUV DV 5$',86
FOLHQWV
(QDEOH &HQWUDOL]HG $XWKHQWLFDWLRQ XVLQJ WKH &66 6HH &KDSWHU ³(QDEOLQJ'LVDEOLQJ
&HQWUDOL]HG $XWKHQWLFDWLRQ 8VLQJ &66´ LQ WKH $XWKHQWLFDWLRQ 6HUYLFHV PDQXDO
6HW WKH /RFDO &DFKH 6L]H IRU &HQWUDOL]HG $XWKHQWLFDWLRQ XVLQJ WKH &66 6HH &KDSWHU
³6HWWLQJ WKH /RFDO &DFKH 6L]H IRU &HQWUDO $XWKHQWLFDWLRQ 8VLQJ &66´ LQ WKH $XWKHQWLFDWLRQ
6HUYLFHV PDQXDO
&XVWRPL]H WKH ORJLQ EDQQHU WH[W XVLQJ &66 RSWLRQDO 6HH 3URFHGXUH +RZ WR
&XVWRPL]H WKH /RJLQ %DQQHU 8VLQJ &66 RQ SDJH
(QDEOH &HQWUDOL]HG (YHQW /RJJLQJ XVLQJ WKH &66 RSWLRQDO 6HH &KDSWHU
³(QDEOLQJ'LVDEOLQJ &HQWUDOL]HG (YHQW /RJJLQJ RQ 'HYLFHV 8VLQJ &66´ LQ WKH &HQWUDOL]HG
(YHQW /RJJLQJ PDQXDO
6HW WKH 173 6HUYHU 6HWWLQJV 6HH 6HWWLQJ WKH 173 6HUYHU 6HWWLQJV
6HW XS WKH ORFDO 3DVVZRUG &RQILJXUDWLRQ XVLQJ WKH &66 RSWLRQDO 6HH 3URFHGXUH +RZ WR
6HW WKH /RFDO 3DVVZRUG &RQILJXUDWLRQ 8VLQJ &66 RQ SDJH
3$ -XO\

*75 %DVH 5DGLR &RQQHFWLQJ 7KURXJK D 6HULDO 3RUW /LQN
&RQQHFWLQJ 7KURXJK D 6HULDO 3RUW /LQN

7KLV SURFHGXUH DVVXPHV &66 LV ORDGHG RQ \RXU FRPSXWHU 5HIHU WR WKH 3ULYDWH 1HWZRUN
0DQDJHPHQW &OLHQW PDQXDO LI QHFHVVDU\
3URFHGXUH GHVFULEHV WKH VWHSV UHTXLUHG WR SHUIRUP D VHULDO FRQQHFWLRQ
3URFHGXUH +RZ WR &RQQHFW 7KURXJK D 6HULDO 3RUW /LQN
&RQQHFW D VHULDO FDEOH EHWZHHQ WKH &20 SRUW RQ WKH ODSWRS RU 3& UXQQLQJ WKH &66
DSSOLFDWLRQ DQG WKH VHULDO FRQQHFWRU ORFDWHG RQ WKH GHYLFH
V PRGXOH 7KH VHULDO FDEOH LV DQ
56 FDEOH 7KLV LV D '% VWUDLJKW WKURXJK VHULDO FDEOH IHPDOH '% WR PDOH '%
2SHQ WKH &66 DSSOLFDWLRQ
'R RQH RI WKH IROORZLQJ
6HOHFW &RQQHFWLRQ &RQILJXUDWLRQ IURP WKH 7RROV PHQX
&OLFN RQ WKH &RQQHFW WR 'HYLFH LFRQ RQ WKH WRROEDU
5HVXOW 7KH &RQQHFWLRQ 6FUHHQ GLDORJ ER[ DSSHDUV

6HOHFW 6HULDO RQ WKH &RQQHFWLRQ 7\SH ILHOG
5HVXOW 7KH 6HULDO 6HWWLQJV RQ WKH GLDORJ ER[ EHFRPH HQDEOHG
6HOHFW WKH FRPPXQLFDWLRQ SRUW LQ WKH 6HULDO 3RUW ILHOG WKDW PDWFKHV WKH RQH VHOHFWHG RQ WKH 3&
,Q WKH %DXG 5DWH ILHOG VHOHFW WKH EDXG UDWH ZLWK ZKLFK \RX ZDQW WR FRPPXQLFDWH ZLWK WKH
GHYLFH
%DXG 5DWH
&OLFN &RQQHFW
,I $XWKHQWLFDWLRQ 6HUYLFHV RQ WKH GHYLFH DUH HQDEOHG D ORJLQSDVVZRUG SURPSW

VFUHHQ ZLOO RSHQ 3URYLGH WKH UHTXLUHG FUHGHQWLDOV DV IROORZV &OLFN 2. :KHQ
DFFHVVLQJ WKH GHYLFH LI WKH GHIDXOW SDVVZRUGV GR QRW ZRUN WKH SDVVZRUGV PD\
KDYH EHHQ VHW WR GHIDXOW YDOXHV E\ D GLIIHUHQW V\VWHP UHOHDVH RI VRIWZDUH 5HIHU WR
WKH &66 2QOLQH +HOS
V 5HVHWWLQJ 'HYLFH 3DVVZRUGV VFUHHQ WR UHVHW WKH SDVVZRUGV
WR WKH FXUUHQW VRIWZDUH UHOHDVH GHIDXOWV
3$ -XO\

6HULDO &RQQHFWLRQ &RQILJXUDWLRQ &KDSWHU *75 %DVH 5DGLR &RQILJXUDWLRQ
3URFHGXUH +RZ WR &RQQHFW 7KURXJK D 6HULDO 3RUW /LQN &RQWLQXHG
)LJXUH &66 /RJLQ %DQQHU
,) 7+(1
,I D GRPDLQ FRQWUROOHU LV DYDLODEOH RQ WKH 7\SH WKH 8VHUQDPH DQG 3DVVZRUG IRU \RXU
QHWZRUN 5$',86 VHUYLFH XVHU DFFRXQW WKDW LV DVVLJQHG
WR WKH QHWZDGP JURXS LQ $FWLYH 'LUHFWRU\ 7KH
GHIDXOW XVHU LV VHUYLFHXVHU
,I D GRPDLQ FRQWUROOHU LV QRW DYDLODEOH RQ 7\SH WKH 8VHUQDPH DQG 3DVVZRUG IRU WKH ORFDO
WKH QHWZRUN EWVBVHUYLFH DFFRXQW
,I WKH (OHYDWHG 3ULYLOHJHV 3DVVZRUG ILHOG LV 7\SH WKH (OHYDWHG 3ULYLOHJHV 3DVVZRUG WKDW ZDV
DFWLYH VHW XS IRU WKLV GHYLFH
6HH 3URFHGXUH +RZ WR 6HW WKH 6HULDO 6HFXULW\ 6HUYLFHV 8VLQJ &66 RQ SDJH
WR FRQILJXUH $XWKHQWLFDWLRQ 6HUYLFHV RQ WKH GHYLFH
&OLFN 2. WR FORVH WKH GLDORJ ER[
5HVXOW 7KH EODQN &66 PDLQ ZLQGRZ DSSHDUV
7KH 6HUYLFH PHQX LV QRW DYDLODEOH XQWLO \RX UHDG WKH FRQILJXUDWLRQ ILOH IURP WKH
GHYLFH XVLQJ DQ (WKHUQHW FRQQHFWLRQ
6HULDO &RQQHFWLRQ &RQILJXUDWLRQ

7KH IROORZLQJ SURFHGXUHV DUH FRQILJXUDWLRQ SDUDPHWHUV LQ WKH &66 XVLQJ D VHULDO FRQQHFWLRQ
3$ -XO\

*75 %DVH 5DGLR 6HWWLQJ WKH 'HYLFH
V ,3 $GGUHVV 8VLQJ &66
6HWWLQJ WKH 'HYLFH

V ,3 $GGUHVV 8VLQJ &66
3URFHGXUH GHVFULEHV KRZ WR VHW WKH ,3 $GGUHVV RI D VHOHFWHG GHYLFH LQ WKH VLWH
6HWWLQJ RU FKDQJLQJ WKH GHYLFH¶V ,3 $GGUHVV FDXVHV WKH 6103Y FRQILJXUDWLRQ

DQG XVHU FUHGHQWLDOV WR DXWRPDWLFDOO\ UHVHW
3URFHGXUH +RZ WR 6HW D 'HYLFHV ,3 $GGUHVV LQ &66
(QVXUH WKDW \RX KDYH WKH UHTXLUHG FUHGHQWLDOV LQIRUPDWLRQ ORFDO VHUYLFH DFFRXQW
SDVVZRUG DQG HOHYDWHG SULYLOHJHV SDVVZRUG WR FRQILJXUH WKH VLWH GHYLFHV EHIRUH
SURFHHGLQJ 7KH XVHU FUHGHQWLDOV LQIRUPDWLRQ LQFOXGHV ERWK WKH FXUUHQW DQG QHZ
FUHGHQWLDOV :LWKRXW WKH FXUUHQW FUHGHQWLDOV \RX FDQQRW DFFHVV WKH GHYLFH DQG FDQQRW
FKDQJH WKH XVHU FUHGHQWLDOV 6HH &KDSWHU ³5HVHWWLQJ 3DVVZRUGV DQG 6103Y
3DVVSKUDVHV´
&RQQHFW WR WKH GHYLFH XVLQJ &RQILJXUDWLRQ6HUYLFH 6RIWZDUH &66 WKURXJK D VHULDO SRUW OLQN
6HH 3URFHGXUH +RZ WR &RQQHFW 7KURXJK D 6HULDO 3RUW /LQN RQ SDJH
6HOHFW 7RROV 6HW ,3 $GGUHVV%R[ 1XPEHU IURP WKH PHQX
5HVXOW 7KH 6HW ,3 $GGUHVV DQG %R[ 1XPEHU GLDORJ ER[ DSSHDUV
(QWHU WKH GHYLFH
V ER[ QXPEHU FKDQQHO QXPEHU DQG FOLFN 6HW %R[ 1XPEHU
(QWHU WKH GHYLFH
V ,3 DGGUHVV LQ WKH 'HYLFH ,3 $GGUHVV ILHOG DQG FOLFN 6HW 'HYLFH ,3 $GGUHVV
&OLFN 2. WR FORVH WKH GLDORJ ER[
&OLFN 5HVHW WR LQLWLDWH D KDUGZDUH UHVWDUW
5HVXOW 6103Y XVHU FUHGHQWLDOV UHVHW WR WKHLU IDFWRU\ GHIDXOW YDOXHV
&OLFN &ORVH WR FORVH WKH GLDORJ ER[
3URFHHG WR 3URFHGXUH WR UHFRQILJXUH WKH 6103Y XVHU FUHGHQWLDOV
3DLULQJ 7R D &RPSDUDWRU
:KHQ RSHUDWLQJ LQ D YRWLQJ PXOWLFDVW RU VLPXOFDVW FRQILJXUDWLRQ EDVH UDGLRV DQG UHFHLYHUV PXVW EH
SDLUHG WR FRPSDUDWRUV XVLQJ WKH FKDQQHO QXPEHU 7KH FKDQQHO QXPEHU IRU ERWK WKH EDVH UDGLRUHFHLYHU
DQG FRPSDUDWRU LV XVHG WR FUHDWH DQ ,3 PXOWLFDVW JURXS WKDW DOORZV WKH EDVH UDGLRUHFHLYHU DQG
FRPSDUDWRU WR WDON WR HDFK RWKHU 7KH EDVH UDGLRUHFHLYHU OLVWHQ IRU PHVVDJHV WKDW WKH FRPSDUDWRU
VHQGV LQ RUGHU WR HVWDEOLVK DQ ,3 FRQQHFWLRQ ZLWK DOO WKH SDLUHG EDVH UDGLRVUHFHLYHUV :KHQ WKH EDVH
UDGLRUHFHLYHU UHFHLYHV WKH PHVVDJH IURP WKH FRPSDUDWRU LW H[WUDFWV WKH FRPSDUDWRU¶V ,3 DGGUHVV IURP
WKH PHVVDJH DQG XVHV LW WR VHQG UHFHLYHG YRLFH DQG GDWD EDFN WR WKH FRPSDUDWRU
&RPPXQLFDWLRQ IURP WKH FRPSDUDWRU WR WKH SDLUHG EDVH UDGLRVUHFHLYHUV DOZD\V XVHV D PXOWLFDVW ,3 DGGUHVV
&RPPXQLFDWLRQ EHWZHHQ WKH SDLUHG EDVH UDGLRVUHFHLYHUV WR WKH FRPSDUDWRU DOZD\V XVHV D XQLFDVW ,3 DGGUHVV
3$ -XO\

6HWWLQJ WKH 6HULDO 6HFXULW\ 6HUYLFHV 8VLQJ &66 &KDSWHU *75 %DVH 5DGLR &RQILJXUDWLRQ
7KH PXOWLFDVW ,3 DGGUHVV LV FDOFXODWHG EDVHG RQ WKH FKDQQHO QXPEHU DQG WKH IRUPXOD DV IROORZV
QQQ ZKHUH QQQ LV FKDQQHO QXPEHU IRU FKDQQHO QXPEHU EHWZHHQ > @
QQQ ZKHUH QQQ LV FKDQQHO QXPEHU ± IRU FKDQQHO QXPEHU EHWZHHQ > @
6HH 3URFHGXUH RQ KRZ WR VHW WKH %R[ 1XPEHU FKDQQHO QXPEHU
6HWWLQJ WKH 6HULDO 6HFXULW\ 6HUYLFHV 8VLQJ &66

3URFHGXUH GHVFULEHV KRZ WR HQDEOH WKH VHFXUH VHUYLFHV DQG FKDQJH WKH GHYLFH SDVVZRUG 3HUIRUP WKHVH VWHSV
EHIRUH FKDQJLQJ WKH 6103Y FRQILJXUDWLRQ DQG XVHU FUHGHQWLDOV IURP &66 RQ D VHOHFWHG GHYLFH LQ WKH VLWH
3ULRU WR HQDEOLQJ WKLV SDUDPHWHU DQ\ ORJLQ DQG SDVVZRUG PD\ EH XVHG RQ WKH )LOH 7UDQVIHU $FFHVV
6HUYLFHV ORJLQ ZLQGRZ WR DFFHVV D GHYLFH $IWHU $XWKHQWLFDWLRQ 6HUYLFHV DUH HQDEOHG WKH ORJLQ DQG
SDVVZRUG SURYLGHG ZLOO EH FKHFNHG DJDLQVW WKH IROORZLQJ DXWKHQWLFDWLRQ VRXUFHV
6WRUHG SDVVZRUG²5) VLWH GHYLFHV VXSSRUW D FRQILJXUDEOH SDVVZRUG IRU WKH
/RFDO 6HUYLFH DQG (OHYDWHG 3ULYLOHJHV DFFRXQWV 7KH SDVVZRUG LV YHULILHG
DJDLQVW WKH VWRUHG SDVVZRUG IRU WKHVH DFFRXQWV
%XLOWLQ ORJLQV DQG SDVVZRUGV²5) VLWH GHYLFHV VXSSRUW EXLOWLQ ORJLQSDVVZRUG
FRPELQDWLRQV IRU ORJLQ E\ VHUYLFHV VXFK DV 6RIWZDUH 'RZQORDGV 6:'/ 2QO\
FHUWDLQ 6:'/ ORJLQ QDPHV DUH DXWKHQWLFDWHG LQ WKLV ZD\
&HQWUDOL]HG $XWKHQWLFDWLRQ²)RU DXWKHQWLFDWLRQ WKURXJK FHQWUDOL]HG DFFRXQWV LQVWHDG RI /RFDO
6HUYLFH (OHYDWHG 3ULYLOHJHV DQG EXLOWLQ XVHU DFFRXQWV \RX QHHG WR FRQILJXUH WKH &HQWUDOL]HG
$XWKHQWLFDWLRQ SDUDPHWHU LQ &66 IRU WKH &+$3 SURWRFRO 6HH &KDSWHU ³(QDEOLQJ'LVDEOLQJ
&HQWUDOL]HG $XWKHQWLFDWLRQ 8VLQJ &66´ LQ WKH $XWKHQWLFDWLRQ 6HUYLFHV PDQXDO 1RWH WKDW
WKLV SURFHGXUH UHTXLUHV DQ (WKHUQHW FRQQHFWLRQ WR WKH GHYLFH EHLQJ FRQILJXUHG
3URFHGXUH +RZ WR 6HW WKH 6HULDO 6HFXULW\ 6HUYLFHV 8VLQJ &66
(QVXUH WKDW \RX KDYH WKH UHTXLUHG FUHGHQWLDOV LQIRUPDWLRQ ORFDO VHUYLFH DFFRXQW
SDVVZRUG DQG HOHYDWHG SULYLOHJHV SDVVZRUG WR FRQILJXUH WKH VLWH GHYLFHV EHIRUH
SURFHHGLQJ 7KH XVHU FUHGHQWLDOV LQIRUPDWLRQ LQFOXGHV ERWK WKH FXUUHQW DQG QHZ
FUHGHQWLDOV :LWKRXW WKH FXUUHQW FUHGHQWLDOV \RX FDQQRW DFFHVV WKH GHYLFH DQG FDQQRW
FKDQJH WKH XVHU FUHGHQWLDOV 6HH &KDSWHU ³5HVHWWLQJ 3DVVZRUGV DQG 6103Y
3DVVSKUDVHV´
&KDQJLQJ WR WKH LQFRUUHFW XVHU FUHGHQWLDOV PD\ OHDG WR QRW EHLQJ DEOH WR DFFHVV WKH
GHYLFH WKURXJK &66 RU 66+
&RQQHFW WR WKH GHYLFH XVLQJ &RQILJXUDWLRQ6HUYLFH 6RIWZDUH &66 WKURXJK D VHULDO SRUW OLQN
6HH 3URFHGXUH +RZ WR &RQQHFW 7KURXJK D 6HULDO 3RUW /LQN RQ SDJH
6HOHFW 6HFXULW\ 'HYLFH 6HFXULW\ &RQILJXUDWLRQ 6HFXULW\ 6HUYLFHV 6HULDO IURP WKH PHQX
5HVXOW 7KH 6HFXULW\ 6HUYLFHV &RQILJXUDWLRQ GLDORJ ER[ RSHQV
6HW WKH 7HVW $SSOLFDWLRQ &RQILJXUDWLRQ ILHOG DFFRUGLQJ WR \RXU RUJDQL]DWLRQ
V SROLFLHV 7KH
UHFRPPHQGHG VHFXUH FRQILJXUDWLRQ LV 'LVDEOHG
6HW WKH $XWKHQWLFDWLRQ 6HUYLFHV ILHOG WR (QDEOHG 7KLV ILHOG HQDEOHV ORFDO DXWKHQWLFDWLRQ
VHUYLFHV DQG PXVW EH HQDEOHG DV D SUHUHTXLVLWH IRU FHQWUDOL]HG DXWKHQWLFDWLRQ
3$ -XO\

*75 %DVH 5DGLR &RQQHFWLQJ 7KURXJK DQ (WKHUQHW 3RUW /LQN
3URFHGXUH +RZ WR 6HW WKH 6HULDO 6HFXULW\ 6HUYLFHV 8VLQJ &66 &RQWLQXHG
6HW WKH 3DVVZRUG 5HVHW 0HFKDQLVP ILHOG 7KLV ILHOG DOORZV D XVHU WR UHVHW WKH SDVVZRUGV IRU
WZR EXLOWLQ GHYLFH DFFRXQWV WR WKHLU GHIDXOW YDOXHV
7R XSGDWH WKH SDVVZRUG IRU WKH GHYLFH VHOHFW HLWKHU 6HUYLFH $FFRXQW RU (OHYDWHG 3ULYLOHJH
IURP WKH GURSGRZQ OLVW DQG FOLFN 8SGDWH SDVVZRUG
5HVXOW $ &KDQJH $FFRXQW 3DVVZRUG GLDORJ ER[ RSHQV
(QWHU WKH ROG SDVVZRUG WKHQ HQWHU D QHZ SDVVZRUG DQG FRQILUP WKH QHZ SDVVZRUG EHIRUH
FOLFNLQJ WKH &KDQJH 3DVVZRUG EXWWRQ
&OLFN 2. WR VDYH WKH QHZ SDVVZRUG
5HVXOW 7KH &KDQJH $FFRXQW 3DVVZRUG GLDORJ ER[ FORVHV
&RQQHFWLQJ 7KURXJK DQ (WKHUQHW 3RUW /LQN

3URFHGXUH H[SODLQV KRZ WR FRQQHFW WKH GHYLFH WKURXJK DQ (WKHUQHW FRQQHFWLRQ 7KLV SURFHGXUH DVVXPHV
&66 LV ORDGHG RQ \RXU FRPSXWHU 5HIHU WR WKH 3ULYDWH 1HWZRUN 0DQDJHPHQW &OLHQW PDQXDO LI QHFHVVDU\ RU VHH
WKH LQVWUXFWLRQV LQ WKH &66 &'520 MHZHO ER[ IRU LQVWUXFWLRQV RQ ORDGLQJ WKH &66 RQ WKH ODSWRS RU FRPSXWHU
7KH %DVH7 /$1 LV QRW WKH GHIDXOW (WKHUQHW SRUW VHWWLQJ IRU WKH EDVH UDGLR 7R VHW
WKH FRUUHFW SRUW VSHHG DQG GXSOH[ UHIHU WR WKH &66
<RX ZLOO QHHG WR ORFDWH WKH IROORZLQJ LQIRUPDWLRQ EHIRUH SHUIRUPLQJ WKLV SURFHGXUH
,3 DGGUHVV IRU 'HYLFH ,3 $GGUHVV ILHOG
&RQWDFW \RXU V\VWHP DGPLQLVWUDWRU IRU WKLV LQIRUPDWLRQ
3URFHGXUH +RZ WR &RQQHFW 7KURXJK DQ (WKHUQHW 3RUW /LQN
&RQQHFW DQ (WKHUQHW VWUDLJKW WKURXJK FDEOH EHWZHHQ WKH (WKHUQHW SRUW RQ D FRPSXWHU HLWKHU
ODSWRS RU GHVNWRS DQG WKH DSSURSULDWH /$1 VZLWFK 7KH ,3 DGGUHVV RI WKH FRPSXWHU PXVW EH
VHW WR WKH [ VXEQHW ZKHUH [ LV DQ\ QXPEHU EHWZHHQ DQG &RQILJXUH WKH
6SHHG'XSOH[ VHWWLQJ RI WKH 3&
V (WKHUQHW LQWHUIDFH WR 0E +DOI 'XSOH[
1RUPDOO\ \RX FRQQHFW WKH FRPSXWHU WR WKH DSSURSULDWH /$1 VZLWFK <RX GR
QRW FRQQHFW GLUHFWO\ WR WKH (WKHUQHW VHUYLFH SRUW RI WKH GHYLFH XQOHVV \RX DUH
GRZQORDGLQJ WKH VRIWZDUH LQGLYLGXDOO\ WR WKDW GHYLFH
6HOHFW &RQQHFWLRQ &RQILJXUDWLRQ IURP WKH 7RROV PHQX RU FOLFN WKH &RQQHFW WR 'HYLFH
EXWWRQ RQ WKH WRROEDU
5HVXOW 7KH &RQQHFWLRQ 6FUHHQ DSSHDUV
9HULI\ WKDW (WKHUQHW LV VHOHFWHG LQ WKH &RQQHFWLRQ 7\SH DUHD
3$ -XO\

&RQQHFWLQJ 7KURXJK DQ (WKHUQHW 3RUW /LQN &KDSWHU *75 %DVH 5DGLR &RQILJXUDWLRQ
3URFHGXUH +RZ WR &RQQHFW 7KURXJK DQ (WKHUQHW 3RUW /LQN &RQWLQXHG

,I FRQQHFWHG WKURXJK WKH /$1 VZLWFK VSHFLI\ WKH ,3 DGGUHVV IRU WKH GHYLFH LQ WKH (WKHUQHW
6HWWLQJV DUHD 'R WKH IROORZLQJ
,) \RX 7+(1
.QRZ WKH ,3 DGGUHVV IRU WKH GHYLFH
(QWHU WKH ,3 DGGUHVV IRU WKH GHYLFH LQ WKH 'HYLFH
,3 $GGUHVV ILHOG
&RQWLQXH ZLWK VWHS
'R QRW NQRZ WKH ,3 DGGUHVV EXW NQRZ
&OLFN )HWFK '16 (QWU\
WKH V\VWHP LGHQWLILFDWLRQ RI WKH GHYLFH
5HVXOW 7KH '16 ,3 $GGUHVV &DOFXODWLRQ 6FUHHQ
WKH ]RQH VLWH VXEVLWH DQG GHYLFH ,'
GLDORJ ER[ DSSHDUV
RI WKH GHYLFH
6HOHFW WKH GHVLUHG GHYLFH W\SH IURP WKH 'HYLFH
OLVW ER[
(QWHU WKH SURSHU YDOXHV LQ WKH =RQH 6LWH
6XEVLWH DQG 'HYLFH ,' ILHOGV
6RPH ILHOGV VXFK DV 6XEVLWH GR

QRW DOORZ HQWULHV IRU VRPH GHYLFHV
7KHUHIRUH VHOHFW WKH GHYLFH ILUVW
&OLFN 2.
5HVXOW 7KH '16 LQIRUPDWLRQ RI WKH GHYLFH
DXWRPDWLFDOO\ DSSHDUV LQ WKH 'HYLFH ,3 $GGUHVV
ILHOG
&RQWLQXH ZLWK VWHS
,I FRQQHFWHG GLUHFWO\ WR WKH (WKHUQHW VHUYLFH SRUW RI WKH GHYLFH FOLFN )URQW 3DQHO (WKHUQHW
7R PDNH WKH FRQQHFWLRQ FOLFN &RQQHFW
$ 3DVVSKUDVH 3URPSW VFUHHQ RSHQV (QWHU 8VHU ,QIRUPDWLRQ DQG 3DVVSKUDVH

,QIRUPDWLRQ &OLFN 2. ,I 6103Y FRQILJXUDWLRQ DQG XVHU FUHGHQWLDOV DUH QRW VHW
FOLFN 2. WR SURFHHG
3$ -XO\

*75 %DVH 5DGLR (WKHUQHW &RQQHFWLRQ &RQILJXUDWLRQ
3URFHGXUH +RZ WR &RQQHFW 7KURXJK DQ (WKHUQHW 3RUW /LQN &RQWLQXHG
)LJXUH 6103Y 6HFXULW\ /HYHO 2SWLRQ 3URPSW
6HH &KDQJLQJ 6103Y &RQILJXUDWLRQ DQG 8VHU &UHGHQWLDOV 8VLQJ &66 RQ

SDJH WR FRQILJXUH RU FKDQJH 6103Y FRQILJXUDWLRQ DQG XVHU FUHGHQWLDOV
RQ WKH GHYLFH
6HOHFW 5HDG &RQILJXUDWLRQ )URP 'HYLFH IURP WKH )LOH PHQX <RX FDQ DOVR FOLFN WKH 5HDG
&RQILJXUDWLRQ WR 'HYLFH EXWWRQ
5HVXOW 7KH SDUDPHWHUV GRZQORDG IURP WKH GHYLFH WR WKH FRPSXWHU :KHQ WKH GRZQORDG
LV FRPSOHWH WKH &66 0DLQ ZLQGRZ RSHQV
<RX FDQ XVH WKH PDS RQ WKH OHIW VLGH RI WKH VFUHHQ WR YLHZ FRQILJXUDWLRQ LQIRUPDWLRQ IRU
WKH GHYLFH
(WKHUQHW &RQQHFWLRQ &RQILJXUDWLRQ

7KH IROORZLQJ SURFHGXUHV DUH FRQILJXUDWLRQ SDUDPHWHUV LQ WKH &66 XVLQJ DQ (WKHUQHW FRQQHFWLRQ
6HWWLQJ WKH 'DWH DQG 7LPH 8VLQJ &66

3URFHGXUH SURYLGHV WKH GDWH DQG WLPH WR WKH GHYLFH ,Q WKH HYHQW RI D SRZHU RXWDJH
WKH GHYLFH GRHV QRW UHWDLQ WKH GDWH DQG WLPH VHWWLQJV
'XULQJ LQVWDOODWLRQ WKLV LV GRQH WKURXJK DQ (WKHUQHW FDEOH FRQQHFWHG GLUHFWO\ WR WKH (WKHUQHW SRUW
RI WKH GHYLFH $IWHU LQVWDOODWLRQ WKLV SURFHGXUH PD\ EH SHUIRUPHG IURP D UHPRWH &66
3$ -XO\

&KDQJLQJ 6103Y &RQILJXUDWLRQ DQG 8VHU &UHGHQWLDOV 8VLQJ &66 &KDSWHU *75 %DVH 5DGLR &RQILJXUDWLRQ
3URFHGXUH +RZ WR 6HW WKH 'DWH DQG 7LPH 8VLQJ &66
&RQQHFW WR WKH GHYLFH XVLQJ &RQILJXUDWLRQ6HUYLFH 6RIWZDUH &66 WKURXJK DQ (WKHUQHW SRUW
OLQN 6HH 3URFHGXUH +RZ WR &RQQHFW 7KURXJK DQ (WKHUQHW 3RUW /LQN RQ SDJH
&KRRVH 7RROV WKHQ 6HW 'HYLFH 'DWH DQG 7LPH IURP WKH PHQX
(QWHU WKH FXUUHQW GDWH DQG WLPH WKHQ FKRRVH 2.
5HVXOW 7KH GDWH DQG WLPH LV VHW
&KDQJLQJ 6103Y &RQILJXUDWLRQ DQG 8VHU &UHGHQWLDOV 8VLQJ &66

3URFHGXUH FKDQJHV WKH 6103Y FRQILJXUDWLRQ DQG XVHU FUHGHQWLDOV IURP &66 RQ D VHOHFWHG GHYLFH
LQ WKH VLWH )RU PRUH LQIRUPDWLRQ RQ WKLV IHDWXUH UHIHU WR WKH 6103Y PDQXDO
'XULQJ LQVWDOODWLRQ WKLV LV GRQH WKURXJK DQ (WKHUQHW FDEOH FRQQHFWHG GLUHFWO\ WR WKH (WKHUQHW SRUW
RI WKH GHYLFH $IWHU LQVWDOODWLRQ WKLV SURFHGXUH PD\ EH SHUIRUPHG IURP D UHPRWH &66
3URFHGXUH +RZ WR &KDQJH 6103Y &RQILJXUDWLRQ DQG 8VHU &UHGHQWLDOV 8VLQJ &66
(QVXUH WKDW \RX KDYH WKH UHTXLUHG 6103Y FUHGHQWLDOV LQIRUPDWLRQ $XWKHQWLFDWLRQ
SDVVSKUDVH (QFU\SWLRQ SDVVSKUDVH DQG $XWKRULWDWLYH (QJLQH ,' WR FRQILJXUH WKH
GHYLFH EHIRUH SURFHHGLQJ 7KH XVHU FUHGHQWLDOV LQIRUPDWLRQ LQFOXGHV ERWK WKH FXUUHQW
DQG QHZ FUHGHQWLDOV :LWKRXW WKH FXUUHQW FUHGHQWLDOV \RX FDQQRW DFFHVV WKH GHYLFH
DQG FDQQRW FKDQJH WKH XVHU FUHGHQWLDOV 6HH &KDSWHU ³5HVHWWLQJ 3DVVZRUGV DQG
6103Y 3DVVSKUDVHV´
&KDQJLQJ WR WKH LQFRUUHFW XVHU FUHGHQWLDOV PD\ OHDG WR QRW EHLQJ DEOH WR DFFHVV WKH
GHYLFH IURP WKH 81& RU IRU WKH GHYLFH WR QRW EH DEOH WR VHQG DODUPV WR WKH 8QLILHG
(YHQW 0DQDJHU IRU IDXOW PDQDJHPHQW
&RQQHFW WR WKH GHYLFH XVLQJ &RQILJXUDWLRQ6HUYLFH 6RIWZDUH &66 WKURXJK DQ (WKHUQHW SRUW OLQN
6HH 3URFHGXUH +RZ WR &RQQHFW 7KURXJK DQ (WKHUQHW 3RUW /LQN RQ SDJH
&KRRVH 6HFXULW\ 6103Y &RQILJXUDWLRQ WKHQ &RQILJXUH 6103Y 8VHUV (WKHUQHW
5HVXOW 7KH 6103Y 3DVVSKUDVH GLDORJ ER[ DSSHDUV ZLWK 0RWR$GPLQ DV WKH VHOHFWHG 6103Y
XVHU
(QWHU WKH DSSURSULDWH $XWKHQWLFDWLRQ DQG (QFU\SWLRQ 3DVVSKUDVHV LQ WKH ILHOGV
:KHQ DFFHVVLQJ WKH GHYLFH IRU WKH ILUVW WLPH LI WKH GHIDXOW SDVVSKUDVHV GR QRW ZRUN
WKH SDVVSKUDVHV PD\ KDYH EHHQ VHW WR GHIDXOW YDOXHV E\ D GLIIHUHQW V\VWHP UHOHDVH RI
VRIWZDUH 5HIHU WR WKH &66 2QOLQH +HOS
V 5HVHW 6103Y &RQILJXUDWLRQ 6HULDO
VFUHHQ WR UHVHW WKH SDVVSKUDVHV WR WKH FXUUHQW VRIWZDUH UHOHDVH GHIDXOWV
3$ -XO\

*75 %DVH 5DGLR &KDQJLQJ 6103Y &RQILJXUDWLRQ DQG 8VHU &UHGHQWLDOV 8VLQJ &66
&RQWLQXHG
(QWHU WKH 'HYLFH ,3 DGGUHVV ILHOG 'R WKH IROORZLQJ
,) \RX 7+(1
.QRZ WKH ,3 DGGUHVV IRU WKH GHYLFH
(QWHU WKH ,3 DGGUHVV IRU WKH GHYLFH LQ WKH
'HYLFH ,3 $GGUHVV ILHOG
&RQWLQXH ZLWK VWHS
'R QRW NQRZ WKH ,3 DGGUHVV EXW NQRZ WKH
V\VWHP LGHQWLILFDWLRQ RI WKH GHYLFH WKH ]RQH
5HVXOW 7KH '16 ,3 $GGUHVV &DOFXODWLRQ 6FUHHQ
VLWH VXEVLWH DQG GHYLFH ,' RI WKH GHYLFH
GLDORJ ER[ DSSHDUV
6HOHFW WKH GHVLUHG GHYLFH W\SH IURP WKH
'HYLFH OLVW ER[
(QWHU WKH SURSHU YDOXHV LQ WKH =RQH 6LWH
6XEVLWH DQG 'HYLFH ,' ILHOGV
6RPH ILHOGV VXFK DV 6XEVLWH GR

QRW DOORZ HQWULHV IRU VRPH GHYLFHV
7KHUHIRUH VHOHFW WKH GHYLFH ILUVW
&OLFN 2.
ILHOG
&RQWLQXH ZLWK VWHS
&OLFN 2.
5HVXOW $ FRQQHFWLRQ LV PDGH ZLWK WKH VHOHFWHG GHYLFH DQG WKH HQWHUHG 6103Y DGPLQ
SDVVSKUDVHV DUH DXWKHQWLFDWHG DQG WKH &RQILJXUH 6103Y 8VHUV GLDORJ ER[ DSSHDUV ,I WKH
FRQQHFWLRQ IDLOV D PHVVDJH DSSHDUV
7R FKRRVH WKH 6103Y XVHU ZKRVH FUHGHQWLDOV DUH WR EH XSGDWHG VHOHFW 8VHUQDPH IURP WKH
8VHUQDPH OLVW LQ WKH 8VHU ,QIRUPDWLRQ IRUP RI WKH &RQILJXUH 6103Y 8VHUV GLDORJ ER[
5HVXOW 7KH &66 UHWULHYHV WKH FXUUHQW FUHGHQWLDOV IURP WKH GHYLFH IRU WKH VHOHFWHG XVHU
'HSHQGLQJ RQ WKH XVHU VHOHFWHG VRPH ILHOGV RQ WKLV GLDORJ ER[ EHFRPH 5HDG2QO\ RU
GLVDEOHG &OLFN &DQFHO RQ WKH &RQILJXUH 6103Y 8VHUV GLDORJ ER[ DW DQ\ WLPH WR
GLVFDUG FKDQJHV PDGH WR WKH VHOHFWHG XVHU
3$ -XO\

&KDQJLQJ 6103Y &RQILJXUDWLRQ DQG 8VHU &UHGHQWLDOV 8VLQJ &66 &KDSWHU *75 %DVH 5DGLR &RQILJXUDWLRQ
&RQWLQXHG
7R FKDQJH RU XSGDWH WKH 6103Y VHFXULW\ OHYHO IRU WKH VHOHFWHG XVHU VHOHFW WKH VHFXULW\ OHYHO
IURP WKH 6HFXULW\ /HYHO OLVW LQ WKH 8VHU ,QIRUPDWLRQ IRUP RI WKH &RQILJXUH 6103Y 8VHUV
GLDORJ ER[ 7KH VHFXULW\ OHYHO RSWLRQV DUH
1R$XWK1R3ULY 1HLWKHU WKH $XWKHQWLFDWLRQ 3DVVSKUDVH QRU (QFU\SWLRQ 3DVVSKUDVH LV
QHHGHG IRU FRPPXQLFDWLQJ ZLWK WKH GHYLFH
$XWK1R3ULY $XWKHQWLFDWLRQ 3DVVSKUDVH LV QHHGHG EXW QR (QFU\SWLRQ 3DVVSKUDVH LV QHHGHG
IRU FRPPXQLFDWLQJ ZLWK WKH GHYLFH
$XWK3ULY %RWK $XWKHQWLFDWLRQ 3DVVSKUDVH DQG (QFU\SWLRQ 3DVVSKUDVH DUH QHHGHG IRU
FRPPXQLFDWLQJ ZLWK WKH GHYLFH
5HVXOW 7KH VHFXULW\ OHYHO RI WKH VHOHFWHG XVHU LV VHW
7KH 8VHU 6WDWXV ILHOG RQ WKH &RQILJXUH 6103Y 8VHUV GLDORJ ER[ UHIOHFWV WKH FXUUHQW
RSHUDWLRQDO VWDWXV RI WKH VHOHFWHG 6103Y 8VHU 7KH 6WDWXV 7\SHV LQFOXGH
$FWLYH 8VHU FRQILJXUHG RQ GHYLFH 8SGDWH DQG 'HOHWH EXWWRQV DUH
HQDEOHG
1RW LQ VHUYLFH 8VHU FRQILJXUHG RQ GHYLFH 8SGDWH DQG 'HOHWH
EXWWRQV DUH HQDEOHG
1RW UHDG\ 8VHU FRQILJXUHG RQ GHYLFH 8SGDWH DQG 'HOHWH EXWWRQV
DUH HQDEOHG
1RW SUHVHQW 1RW SUHVHQW RQ WKH GHYLFH &UHDWH EXWWRQ LV HQDEOHG
7R FKDQJH WKH $XWKHQWLFDWLRQ 3DVVSKUDVH IRU WKH VHOHFWHG 6103Y XVHU LI DSSOLFDEOH WR WKH
VHOHFWHG VHFXULW\ OHYHO W\SH WKH SDVVZRUG LQWR WKH 2OG 3DVVSKUDVH )LHOG LQ WKH $XWKHQWLFDWLRQ
3DVVSKUDVH IRUP RI WKH &RQILJXUH 6103Y 8VHUV GLDORJ ER[
,I \RX GR QRW NQRZ WKH SDVVSKUDVH FOLFN WKH , GR QRW UHPHPEHU ROG SDVVSKUDVH
FKHFN ER[
7\SH WKH QHZ SDVVSKUDVH LQWR WKH 1HZ 3DVVSKUDVH ILHOG
3DVVSKUDVH PXVW EH EHWZHHQ DQG FKDUDFWHUV LQ OHQJWK DQG SDVVSKUDVH PXVW

FRQVLVW RI XSSHU RU ORZHUFDVH DOSKDQXPHULF FKDUDFWHUV H[FOXGLQJ WKH # A RU
B FKDUDFWHUV
7\SH WKH VDPH QHZ SDVVSKUDVH LQWR WKH &RQILUP 1HZ 3DVVSKUDVH ILHOG
3$ -XO\

*75 %DVH 5DGLR $GGLQJ RU 0RGLI\LQJ DQ 6103Y 8VHU 8VLQJ &66
&RQWLQXHG
7R FKDQJH WKH HQFU\SWLRQ SDVVSKUDVH IRU WKH VHOHFWHG 6103Y XVHU LI DSSOLFDEOH WR WKH VHOHFWHG
VHFXULW\ OHYHO W\SH WKH ROG SDVVSKUDVH LQWR WKH 2OG 3DVVSKUDVH )LHOG LQ WKH (QFU\SWLRQ
3DVVSKUDVH IRUP RI WKH &RQILJXUH 6103Y 8VHUV GLDORJ ER[
,I \RX GR QRW NQRZ WKH SDVVSKUDVH FOLFN WKH , GR QRW UHPHPEHU ROG SDVVSKUDVH
FKHFN ER[
7\SH WKH QHZ SDVVSKUDVH LQWR WKH 1HZ 3DVVSKUDVH ILHOG WKHQ W\SH WKH VDPH QHZ SDVVSKUDVH LQWR
WKH &RQILUP 1HZ 3DVVSKUDVH ILHOG
7R FKDQJH WKH $XWKRULWDWLYH (QJLQH ,GHQWLILHU DSSOLFDEOH WR 0RWR,QIRUP$ DQG 0RWRU,QIRUP%
XVHUV RQO\ VHOHFW WKH GHVLUHG FXUUHQW HQJLQH ,' IURP WKH &XUUHQW (QJLQH ,' /LVW LQ WKH
$XWKRULWDWLYH (QJLQH ,' 6HFWLRQ RI WKH &RQILJXUH 6103Y 8VHUV GLDORJ ER[
7\SH WKH QHZ HQJLQH ,' LQWR WKH 1HZ (QJLQH ,' ILHOG
7KH QHZ HQJLQH ,' PXVW EH EHWZHHQ DQG FKDUDFWHUV DQG FRPSO\ ZLWK WKH (QJLQH
,' 'RPDLQ 1DPH 6\QWD[
5HVXOW 7KH DXWKRULWDWLYH HQJLQH ,' LV DVVLJQHG
7R FUHDWH XSGDWH RU GHOHWH 6103Y XVHUV FRQWLQXH RQ ZLWK 3URFHGXUH
$GGLQJ RU 0RGLI\LQJ DQ 6103Y 8VHU 8VLQJ &66

3URFHGXUH GHVFULEHV KRZ WR FUHDWH XSGDWH RU GHOHWH DQ 6103Y XVHU IURP WKH
&RQILJXUH 6103Y 8VHUV 6FUHHQ GLDORJ ER[
3URFHGXUH +RZ WR $GG RU 0RGLI\ DQ 6103Y 8VHU 8VLQJ &66
,Q WKH &66 ORJ LQ XVLQJ WKH DSSURSULDWH FUHGHQWLDOV

5HVXOW 7KH &RQILJXUH 6103Y 8VHUV GLDORJ ER[ DSSHDUV
7R FUHDWH GHOHWH RU XSGDWH WKH VHOHFWHG 6103Y XVHU XVH RQH RI WKH IROORZLQJ VWHSV
,) 7+(1
<RX ZDQW WR FUHDWH D XVHU ZKHQ WKH VWDWXV LV &OLFN WKH &UHDWH EXWWRQ
1RW 3UHVHQW
<RX ZDQW WR XSGDWH DQ H[LVWLQJ XVHU &OLFN WKH 8SGDWH EXWWRQ
<RX ZDQW WR UHPRYH DQ H[LVWLQJ XVHU &OLFN WKH 'HOHWH EXWWRQ
5HVXOW $ &RQILUPDWLRQ GLDORJ ER[ DSSHDUV DQG DVNV LI \RX ZDQW WR FRQWLQXH
&OLFN <HV
5HVXOW 7KH 3URFHVVLQJ 5HTXHVWV GLDORJ ER[ DSSHDUV DQG SURFHVVHV WKH UHTXHVW $ JUHHQ VTXDUH
LQGLFDWHV 2. DQG D UHG VTXDUH LQGLFDWHV IDLOXUH
3$ -XO\

3HUIRUPLQJ DQ 6103Y &RQQHFWLRQ 9HULILFDWLRQ 8VLQJ &66 &KDSWHU *75 %DVH 5DGLR &RQILJXUDWLRQ
3URFHGXUH +RZ WR $GG RU 0RGLI\ DQ 6103Y 8VHU 8VLQJ &66 &RQWLQXHG
$IWHU UHYLHZLQJ WKH SURFHVVLQJ VWDWXV FOLFN 2.
,I \RX HQFRXQWHU DQ\ HUURUV JR EDFN WR WKH DSSURSULDWH VWHS DQG FRUUHFW WKH
LQIRUPDWLRQ HQWHUHG
5HSHDW WKHVH VWHSV IRU DQ\ 6103Y XVHUV \RX ZLVK WR FUHDWH XSGDWH RU GHOHWH
6HOHFW WKH &DQFHO EXWWRQ WR H[LW WKH &RQILJXUH 6103Y 8VHUV GLDORJ ER[
5HVXOW 7KH &RQILJXUH 6103Y 8VHUV GLDORJ ER[ FORVHV DQG WKH &66 PDLQ ZLQGRZ UHWXUQV
&KRRVH )LOH ([LW &OLFN 2.
5HVXOW 7KH &66 DSSOLFDWLRQ FORVHV
3HUIRUPLQJ DQ 6103Y &RQQHFWLRQ 9HULILFDWLRQ 8VLQJ &66

2QFH WKH 6103Y XVHU FUHGHQWLDOV KDYH EHHQ FUHDWHG PRGLILHG RU GHOHWHG \RX FDQ SHUIRUP
D VDQLW\ FKHFN WR HQVXUH WKH GHYLFH LV SURSHUO\ FRQILJXUHG IRU 6103Y 3URFHGXUH
GHVFULEHV KRZ WR YHULI\ WKH 6103Y FRQQHFWLRQ
3URFHGXUH +RZ WR 9HULI\ 6103Y &UHGHQWLDOV 8VLQJ &66
:KHQ WKH SDVVSKDVH SURPSW VFUHHQ RSHQV VHOHFW FRQILJXUHG VHFXULW\ OHYHO DQG HQWHU WKH UHTXLUHG
SDVVSKUDVHV
&OLFN 2. LI WKH FRQQHFWLRQ ZDV VXFFHVVIXO 7KLV LQGLFDWHV \RXU 6103Y FRQILJXUDWLRQ LV YDOLG
&RQILJXULQJ '16 8VLQJ &66
7KLV GRHV QRW DSSO\ WR V\VWHPV ZLWK D .. PDVWHU VLWH

7KH 1HWZRUN 6HUYLFHV &RQILJXUDWLRQ ZLQGRZ DOORZV \RX WR FRQILJXUH WKH QHWZRUN '16
VHUYLFHV IRU WKLV GHYLFH LI SDUW RI D VHFXUH QHWZRUN
3URFHGXUH GHVFULEHV WKH VWHSV IRU FRQILJXULQJ '16 IRU D GHYLFH XVLQJ &RQILJXUDWLRQ6HUYLFH
6RIWZDUH &66 &RQILJXULQJ '16 LV UHTXLUHG EHIRUH HQWHULQJ WKH )XOO\ 4XDOLILHG 'RPDLQ 1DPH
)4'1 IRU VHUYHUV RQ WKH 5$',86 6HUYLFH &RQILJXUDWLRQ ZLQGRZ LQ &66
3$ -XO\

*75 %DVH 5DGLR &RQILJXULQJ '16 8VLQJ &66
8VLQJ 7DEOH HQWHU WKH ,3 DGGUHVVHV IRU WKH SULPDU\ VHFRQGDU\ DQG WHUWLDU\ '16
VHUYHUV IRU WKLV GHYLFH DV IROORZV
7DEOH '16 1DPHVHUYHUV IRU 'HYLFHV LQ '\QDPLF 6\VWHP 5HVLOLHQFH DQG '\QDPLF 6\VWHP
5HVLOLHQFH 6LWHV
:KHQ GHYLFH LV ORFDWHG LQ D :KHQ GHYLFH LV ORFDWHG

7R FRQILJXUH
UHPRWH VLWH ZLWK QR '\QDPLF LQ D '\QDPLF 6\VWHP
RQ D GHYLFH
6\VWHP 5HVLOLHQFH 5HVLOLHQFH UHPRWH VLWH
3ULPDU\ '16 ]]]]!GQV]RQH]! ]]]]!GQV]RQH]!
VHUYHU
6HFRQGDU\ '16 XFVGQVXFV ]]]]!GQV]RQH]!
VHUYHU
7HUWLDU\ '16 1$ XFVGQVXFV
VHUYHU
ZKHUH ]]]! DQG ]! LQGLFDWH WKH ]RQH WR ZKLFK WKH GHYLFH EHORQJV
7DEOH &RQYHQWLRQDO %DVH 5DGLR 6\VWHP 1DPH 9DULDEOHV
9DULDEOH 'HVFULSWLRQ
>KRVWQDPH@ 7KH FKDUDFWHU VWULQJ HQWHUHG LQ WKH 5HTXHVWHG '16 +RVW
1DPH ILHOG
FKDQ::: 7KH FKDQQHO QXPEHU ZKHUH ::: LV D QXPEHU EHWZHHQ
DQG
VLWH;;;; 7KH ORJLFDO 6LWH ,' DV FRQILJXUHG RQ WKH 6LWH FRQILJXUDWLRQ
VFUHHQ ZKHUH ;;;; LV D QXPEHU EHWZHHQ DQG

FVXE<< 7KH QXPEHU RI WKH &RQYHQWLRQDO 6XEV\VWHP ZKHUH << LV
D QXPEHU EHWZHHQ DQG
]RQH= 7KH QXPEHU RI WKH ]RQH ZKHUH = LV D QXPEHU EHWZHHQ
DQG
)RU LQIRUPDWLRQ RQ '16UHODWHG IDLOXUHV WKDW PD\ RFFXU GXULQJ RU DIWHU '16 FRQILJXUDWLRQ VHH WKH
³$''16 7URXEOHVKRRWLQJ´ FKDSWHU LQ WKH $XWKHQWLFDWLRQ 6HUYLFHV PDQXDO
3URFHGXUH +RZ WR &RQILJXUH '16 8VLQJ &66
9HULI\ WKDW \RX KDYH ,3 DGGUHVVHV IRU D 3ULPDU\ 6HFRQGDU\ DQGRU 7HUWLDU\ '16 6HUYHU ,3
&RQWDFW \RXU V\VWHP DGPLQLVWUDWRU IRU WKLV LQIRUPDWLRQ LI \RX GR QRW KDYH LW EHIRUH FRQWLQXLQJ
WR VWHS
2Q WKH QDYLJDWLRQ SDQH VHOHFW 1HWZRUN 6HUYLFHV &RQILJXUDWLRQ
5HVXOW 7KH 1HWZRUN 6HUYLFHV &RQILJXUDWLRQ ZLQGRZ DSSHDUV
3$ -XO\

&RQILJXULQJ '16 8VLQJ &66 &KDSWHU *75 %DVH 5DGLR &RQILJXUDWLRQ
3URFHGXUH +RZ WR &RQILJXUH '16 8VLQJ &66 &RQWLQXHG

,Q WKH 1HWZRUN 6HUYLFHV &RQILJXUDWLRQ ZLQGRZ VHOHFW WKH '16 6HUYLFH &RQILJXUDWLRQ WDE
5HVXOW 7KH '16 6HUYLFH &RQILJXUDWLRQ ILHOGV GLVSOD\ DV VKRZQ LQ )LJXUH
)LJXUH &66 1HWZRUN 6HUYLFHV &RQILJXUDWLRQ '16 6HUYLFH &RQILJXUDWLRQ 7DE
(QWHU WKH 5HTXHVWHG '16 6HUYHU ,3 DGGUHVV IRU WKH 3ULPDU\ 6HFRQGDU\ DQG 7HUWLDU\ '16
VHUYHUV
7KH 3ULPDU\ 5RZ 6WDWXV PXVW EH HQDEOHG EHIRUH WKH 6HFRQGDU\ URZ LV XQJUD\HG
7KH 6HFRQGDU\ URZ VWDWXV PXVW EH HQDEOHG EHIRUH WKH 7HUWLDU\ URZ LV XQJUD\HG
6HH 7DEOH '16 1DPHVHUYHUV IRU 'HYLFHV LQ '\QDPLF 6\VWHP 5HVLOLHQFH
DQG '\QDPLF 6\VWHP 5HVLOLHQFH 6LWHV RQ SDJH
,Q WKH 5RZ 6WDWXV ILHOG VHOHFW ZKHWKHU WKH ,3 DGGUHVV IRU WKH 3ULPDU\ 6HFRQGDU\ RU 7HUWLDU\
'16 6HUYHU LV (QDEOHG RU 'LVDEOHG &KRRVH (QDEOHG WR XVH WKH '16 6HUYHU ,3 DGGUHVV
,Q WKH 5HTXHVWHG '16 'RPDLQ 1DPH ILHOG HQWHU XS WR DOSKDQXPHULF FKDUDFWHUV 7KH
3ULPDU\ 5RZ 6WDWXV PXVW EH VHW WR (QDEOHG IRU WKLV ILHOG WR EH DFWLYH
'RPDLQ QDPHV IRU VLWH GHYLFHV VKRXOG EH EDVHG RQ WKH VLWH ,' DQG ]RQH ,' VXFK DV
VLWH;]RQH= 6HH 7DEOH '16 1DPHVHUYHUV IRU 'HYLFHV LQ '\QDPLF 6\VWHP
5HVLOLHQFH DQG '\QDPLF 6\VWHP 5HVLOLHQFH 6LWHV RQ SDJH
)RU DVVLVWDQFH LQ FRPSOHWLQJ WKH 5HTXHVWHG '16 'RPDLQ 1DPH FOLFN '16 6HUYLFH :L]DUG
3$ -XO\

*75 %DVH 5DGLR &XVWRPL]LQJ WKH /RJLQ %DQQHU 8VLQJ &66
3URFHGXUH +RZ WR &RQILJXUH '16 8VLQJ &66 &RQWLQXHG

,Q WKH 5HTXHVWHG '16 +RVW 1DPH ILHOG HQWHU XS WR DOSKDQXPHULF FKDUDFWHUV IRU WKH
QHWZRUN LQ ZKLFK WKLV GHYLFH UHVLGHV $ 5HTXHVWHG '16 'RPDLQ 1DPH PXVW EH HQWHUHG
IRU WKLV ILHOG WR EH DFWLYH
7KLV ILHOG LV DYDLODEOH RQO\ ZKHQ FRQILJXULQJ D FRQYHQWLRQDO GHYLFH $1' D

5HTXHVWHG '16 'RPDLQ 1DPH KDV EHHQ HQWHUHG
)RU DVVLVWDQFH LQ FRPSOHWLQJ WKH 5HTXHVWHG '16 +RVW 1DPH FOLFN '16 6HUYLFH :L]DUG
7KH 6\VWHP 1DPH ILHOG LV QRW XVHU HGLWDEOH DQG LV RQO\ ILOOHG DIWHU XVLQJ WKH '16 6HUYLFH
:L]DUG
7KLV ILHOG LV XVHG RQO\ ZKHQ FRQILJXULQJ D FRQYHQWLRQDO GHYLFH

&OLFN '16 6HUYLFH :L]DUG IRU DVVLVWDQFH LQ FRPSOHWLQJ WKH ILHOGV LQ WKH '16 6HUYLFH
&RQILJXUDWLRQ VFUHHQ 6HH WKH &66 2QOLQH +HOS IRU FRQILJXUDWLRQ GHWDLOV
)URP WKH )LOH PHQX VHOHFW 6DYH WR VDYH WKH FRQILJXUDWLRQ FKDQJHV
&KRRVH )LOH :ULWH &RQILJXUDWLRQ WR 'HYLFH WR GRZQORDG WKH FRQILJXUDWLRQ FKDQJHV RQ
WKH GHYLFH
)RU GHWDLOV RQ VDYLQJ WKH FRQILJXUDWLRQ FKDQJHV DQG WKHQ XSGDWLQJ WKHVH FKDQJHV
RQ WKH GHYLFH VHH WKH &66 2QOLQH +HOS
5HVXOW 7KH '16 VHUYHUV DUH FRQILJXUHG IRU WKH GHYLFH
&XVWRPL]LQJ WKH /RJLQ %DQQHU 8VLQJ &66

3URFHGXUH GHVFULEHV KRZ WR HGLW WKH ORJLQ EDQQHU
V VHFXULW\ QRWLFH
3URFHGXUH +RZ WR &XVWRPL]H WKH /RJLQ %DQQHU 8VLQJ &66
)URP WKH 6HFXULW\ PHQX VHOHFW 'HYLFH 6HFXULW\ &RQILJXUDWLRQ DQG WKHQ VHOHFW 5HPRWH
$FFHVV/RJLQ %DQQHU (WKHUQHW
5HVXOW 7KH 5HPRWH $FFHVV/RJLQ %DQQHU VFUHHQ DSSHDUV GLVSOD\LQJ WKH 5HPRWH $FFHVV
&RQILJXUDWLRQ WDE
&OLFN RQ WKH /RJLQ %DQQHU WDE
(GLW WKH WH[W RI WKH EDQQHU
&OLFN RQH RI WKH IROORZLQJ
5HIUHVK 7R UHUHDG WKH RULJLQDO /RJLQ %DQQHU WH[W
3$ -XO\

6HWWLQJ WKH 6:'/ 7UDQVIHU 0RGH 8VLQJ &66 &KDSWHU *75 %DVH 5DGLR &RQILJXUDWLRQ
3URFHGXUH +RZ WR &XVWRPL]H WKH /RJLQ %DQQHU 8VLQJ &66 &RQWLQXHG
$SSO\ 7R VDYH \RXU FKDQJHV DQG NHHS WKH VFUHHQ RSHQ

2. 7R VDYH \RXU FKDQJHV DQG FORVH WKH VFUHHQ
&ORVH 7R FORVH WKH VFUHHQ ZLWKRXW VDYLQJ \RXU FKDQJHV
6HWWLQJ WKH 6:'/ 7UDQVIHU 0RGH 8VLQJ &66

3URFHGXUH GHVFULEHV KRZ WR VHW WKH 6:'/ WUDQVIHU PRGH WR )73 FOHDU RU 6)73 VHFXUH IRU WKH GHYLFH
3URFHGXUH +RZ WR 6HW WKH 6:'/ 7UDQVIHU 0RGH 8VLQJ &66
)URP WKH 6HFXULW\ PHQX VHOHFW 'HYLFH 6HFXULW\ &RQILJXUDWLRQ DQG WKHQ VHOHFW 5HPRWH
$FFHVV/RJLQ %DQQHU (WKHUQHW
5HVXOW 7KH 5HPRWH $FFHVV/RJLQ %DQQHU VFUHHQ DSSHDUV GLVSOD\LQJ WKH 5HPRWH $FFHVV
&RQILJXUDWLRQ WDE
)LJXUH 5HPRWH $FFHVV &RQILJXUDWLRQ 7DE
3$ -XO\

*75 %DVH 5DGLR 6HWWLQJ WKH 173 6HUYHU 6HWWLQJV
3URFHGXUH +RZ WR 6HW WKH 6:'/ 7UDQVIHU 0RGH 8VLQJ &66 &RQWLQXHG
,Q WKH 6RIWZDUH 'RZQORDG 7UDQVIHU 0RGH 5HTXHVWHG ILHOG FKRRVH HLWKHU )WS FOHDU RU 6IWS
VHFXUH WKHQ FKRRVH 2.
6HFXUH 6KHOO 6HUYLFH DQG 6HFXUH )73 VHUYLFHV DUH DXWRPDWLFDOO\ VHW WR (QDEOHG
DQG JUD\HG RXW ZKHQ \RX FKRRVH 6IWS
6HWWLQJ WKH 173 6HUYHU 6HWWLQJV

1HWZRUN 7LPH 3URWRFRO 173 SURYLGHV D FORFN V\QFKURQL]DWLRQ PHFKDQLVP IRU YDULRXV 1HWZRUN GHYLFHV
DQG FRPSXWHUV 7R DOORZ WKH 173 VHUYHU WR SURYLGH GDWH DQG WLPH V\QFKURQL]DWLRQ IRU D SDUWLFXODU GHYLFH
WKH 173 VHUYHU
V ,3 DGGUHVV PXVW EH HQWHUHG RQ WKH 0DQDJHU 173 'HILQLWLRQ 6FUHHQ
)RU VHFXULW\ SXUSRVHV WKH EDVH UDGLR FDQ UHVWULFW 173 PHVVDJHV WR RQO\ WKRVH IURP WKH VLWH FRQWUROOHU 7KLV LV
GRQH E\ FRQILJXULQJ WZR VLWH FRQWUROOHU ,3 DGGUHVVHV LQWR WKH 173 6HUYHU ,3 $GGUHVV ILHOGV RQ WKH EDVH UDGLR
6HH WKH 173 6HUYHU 6HWWLQJV LQ WKH &66 2QOLQH +HOS IRU GHILQLQJ DQG HQWHULQJ WKHVH VHWWLQJV
6HWWLQJ 8S WKH /RFDO 3DVVZRUG &RQILJXUDWLRQ 8VLQJ WKH &66

3URFHGXUH GHVFULEHV KRZ WR VHW WKH FRPSOH[LW\ UHTXLUHPHQWV DQG FRQWUROV IRU WKH
ORFDO VHUYLFH DFFRXQW SDVVZRUG 7KH XSGDWHG SDVVZRUG FULWHULD LV HQIRUFHG RQ WKH QH[W
SDVVZRUG FKDQJH IRU WKH GHYLFH
V ORFDO VHUYLFH DFFRXQW
3DVVZRUG &RQILJXUDWLRQ LV DQ RSWLRQDO IHDWXUH )RU LQIRUPDWLRQ VHH ³3DVVZRUG &RQ
ILJXUDWLRQ LQ WKH &66 2QOLQH +HOS
3URFHGXUH +RZ WR 6HW WKH /RFDO 3DVVZRUG &RQILJXUDWLRQ 8VLQJ &66
,Q WKH QDYLJDWLRQ SDQH FOLFN WKH 3DVVZRUG &RQILJXUDWLRQ HOHPHQW
5HVXOW 7KH 3DVVZRUG &RQILJXUDWLRQ ZLQGRZ DSSHDUV
3$ -XO\

6HWWLQJ 8S WKH /RFDO 3DVVZRUG &RQILJXUDWLRQ 8VLQJ WKH &66 &KDSWHU *75 %DVH 5DGLR &RQILJXUDWLRQ
3URFHGXUH +RZ WR 6HW WKH /RFDO 3DVVZRUG &RQILJXUDWLRQ 8VLQJ &66 &RQWLQXHG
)LJXUH 3DVVZRUG &RQILJXUDWLRQ :LQGRZ
&RPSOHWH WKH IROORZLQJ ILHOGV

0LQLPXP 3DVVZRUG /HQJWK²7KLV ILHOG DOORZV \RX WR HQWHU D YDOXH DV WKH PLQLPXP
OHQJWK IRU WKH 3DVVZRUG 7KH PLQLPXP FDQ EH EHWZHHQ DQG FKDUDFWHUV ZLWK D
GHIDXOW RI FKDUDFWHUV
1XPEHU RI 5HTXLUHG 6SHFLDO &KDUDFWHUV²7KLV ILHOG DOORZV \RX WR HQWHU D YDOXH IRU
WKH UHTXLUHG QXPEHU RI VSHFLDO FKDUDFWHUV ZKLFK PXVW EH LQFOXGHG LQ WKH 3DVVZRUG 7KH
YDOXH FDQ EH EHWZHHQ DQG ZLWK D GHIDXOW RI
1XPEHU RI 5HTXLUHG 1XPHULF &KDUDFWHUV²7KLV ILHOG DOORZV \RX WR HQWHU D YDOXH IRU
WKH UHTXLUHG QXPEHU RI QXPHULF FKDUDFWHUV ZKLFK PXVW EH LQFOXGHG LQ WKH 3DVVZRUG 7KH
YDOXH FDQ EH EHWZHHQ DQG ZLWK D GHIDXOW RI
1XPEHU RI 5HTXLUHG 8SSHUFDVH &KDUDFWHUV²7KLV ILHOG DOORZV \RX WR HQWHU D YDOXH
IRU WKH UHTXLUHG QXPEHU RI XSSHUFDVH DOSKDEHWLF FKDUDFWHUV ZKLFK PXVW EH LQFOXGHG LQ WKH
3DVVZRUG 7KH YDOXH FDQ EH EHWZHHQ DQG ZLWK D GHIDXOW RI
1XPEHU RI 5HTXLUHG /RZHUFDVH &KDUDFWHUV ²7KLV ILHOG DOORZV \RX WR HQWHU D YDOXH
IRU WKH UHTXLUHG QXPEHU RI ORZHUFDVH DOSKDEHWLF FKDUDFWHUV ZKLFK PXVW EH LQFOXGHG LQ WKH
3DVVZRUG 7KH YDOXH FDQ EH EHWZHHQ DQG ZLWK D GHIDXOW RI
1XPEHU RI &RQVHFXWLYH &KDUDFWHUV ²7KLV ILHOG DOORZV \RX WR HQWHU WKH PD[LPXP
QXPEHU RI FRQVHFXWLYH UHSHDWHG FKDUDFWHUV WKDW DUH SHUPLWWHG LQ WKH SDVVZRUG
6HW 9DOXHV WR 'HIDXOW ²7KLV UHWXUQV DOO ILHOGV WR WKHLU V\VWHP GHIDXOW YDOXHV
3DVVZRUG $JLQJ 7LPH >GD\V@ ²7KLV ILHOG DOORZV \RX WR HQWHU D YDOXH EHWZHHQ DQG
IRU WKH PD[LPXP QXPEHU RI GD\V D GHYLFH
V ORFDO SDVVZRUG ZLOO EH YDOLG $IWHU
WKH 3DVVZRUG $JLQJ 7LPH KDV HODSVHG WKH GHYLFH
V SDVVZRUG PXVW EH FKDQJHG 7KH
GHIDXOW YDOXH LV
&KDQJH ,QWHUYDO /LPLW >GD\V@²7KLV ILHOG DOORZV \RX WR HQWHU D YDOXH EHWZHHQ DQG
IRU WKH QXPEHU RI GD\V ZKLFK PXVW HODSVH EHIRUH D GHYLFH
V ORFDO SDVVZRUG FDQ EH
FKDQJHG 7KH GHIDXOW YDOXH LV
)URP WKH )LOH PHQX VHOHFW 6DYH WR VDYH WKH FRQILJXUDWLRQ FKDQJHV
&KRRVH )LOH :ULWH &RQILJXUDWLRQ WR 'HYLFH WR GRZQORDG WKH FRQILJXUDWLRQ FKDQJHV RQ
WKH GHYLFH
3$ -XO\

*75 %DVH 5DGLR &66 &RQILJXUDWLRQ 3DUDPHWHUV IRU WKH *75 %DVH 5DGLR 7UXQNHG 6LPXOFDVW
&66 &RQILJXUDWLRQ 3DUDPHWHUV IRU WKH *75 %DVH 5DGLR

7UXQNHG 6LPXOFDVW
3URFHGXUH +RZ WR &RQILJXUH D *75 %DVH 5DGLR 8VLQJ &RQILJXUDWLRQ
6HUYLFH 6RIWZDUH &66 IRU 7UXQNHG 6LPXOFDVW
&RQQHFW WR WKH EDVH UDGLR WKURXJK D VHULDO SRUW OLQN 6HH ³&RQQHFWLQJ 7KURXJK D 6HULDO 3RUW
/LQN´
6HW WKH ,3 DGGUHVV DQG ER[ QXPEHU RI WKH GHYLFH 6HH ³+RZ WR 6HW D 'HYLFHV ,3 $GGUHVV LQ &66´
'LVFRQQHFW WKH ODSWRS 3& IURP WKH EDVH UDGLR
V VHULDO SRUW
&RQQHFW WR WKH EDVH UDGLR WKURXJK DQ (WKHUQHW SRUW OLQN DQG WKHQ UHDG WKH FRQILJXUDWLRQ ILOH IURP
WKH EDVH UDGLR 6HH ³&RQQHFWLQJ 7KURXJK DQ (WKHUQHW 3RUW /LQN´
&RQILJXUH 6103Y XVHU FUHGHQWLDOV 6HH ³&KDQJLQJ 6103Y &RQILJXUDWLRQ DQG 8VHU
&UHGHQWLDOV 8VLQJ &66´
&OLFN RQ 6\VWHP LQ WKH 6\VWHP WUHH WR RSHQ WKH 6\VWHP ZLQGRZ DQG HQWHU D KH[DGHFLPDO YDOXH
EHWZHHQ DQG ))( LQ WKH 6\VWHP ,G ILHOG
&OLFN RQ 6LWH LQ WKH 6\VWHP WUHH WR RSHQ WKH 6LWH ZLQGRZ DQG FRPSOHWH WKH ILHOGV
&OLFN RQ &KDQQHO LQ WKH 6\VWHP WUHH WR RSHQ WKH &KDQQHO ZLQGRZ DQG FRPSOHWH WKH ILHOGV
&OLFN RQ 6XEVLWH LQ WKH 6\VWHP WUHH WR RSHQ WKH 6XEVLWH ZLQGRZ DQG FRPSOHWH WKH ILHOGV
&OLFN RQ &RQILJXUDWLRQ LQ WKH 6\VWHP WUHH WR RSHQ WKH &RQILJXUDWLRQ ZLQGRZ DQG FRPSOHWH
WKH ILHOGV RQ DOO IRXU WDEV
$V SDUW RI 50& FRQILJXUDWLRQ \RX ZLOO QHHG WR VHW WKH ',3 VZLWFKHV RQ WKH
50&/1$ PRGXOHV 6HH ³6HWWLQJ 50& 6\VWHP *DLQ´
&OLFN RQ 1HWZRUN 6HUYLFHV &RQILJXUDWLRQ LQ WKH 6\VWHP WUHH WR RSHQ WKH 1HWZRUN 6HUYLFHV
&RQILJXUDWLRQ ZLQGRZ DQG FRPSOHWH WKH ILHOGV RQ WKH WKUHH WDEV
)RU FRQILJXUDWLRQ GHWDLOV IRU '16 DQG 5$',86 6HUYLFHV VHH WKH $XWKHQWLFDWLRQ
6HUYLFHV PDQXDO )RU FRQILJXUDWLRQ GHWDLOV IRU 6<6/2* 6HUYLFHV VHH WKH
&HQWUDOL]HG (YHQW /RJJLQJ PDQXDO
&OLFN RQ 3DVVZRUG &RQILJXUDWLRQ LQ WKH 6\VWHP WUHH WR RSHQ WKH 3DVVZRUG &RQILJXUDWLRQ
ZLQGRZ DQG FRPSOHWH WKH ILHOGV
3DVVZRUG &RQILJXUDWLRQ LV RQO\ UHTXLUHG LI \RX KDYH SDVVZRUGV HQWHUHG IRU ORFDO
DFFRXQWV 7KLV VHWV WKH SDVVZRUG FRPSOH[LW\ DQG FRQWUROV )RU GHWDLOV RQ SDVVZRUG
FRPSOH[LW\ DQG FRQWUROV VHH ³3DVVZRUG &RQILJXUDWLRQ´ LQ &66 2QOLQH +HOS
3$ -XO\

&66 &RQILJXUDWLRQ 3DUDPHWHUV IRU WKH *75 %DVH 5DGLR 7UXQNHG 6LPXOFDVW &KDSWHU *75 %DVH 5DGLR &RQILJXUDWLRQ
3URFHGXUH +RZ WR &RQILJXUH D *75 %DVH 5DGLR 8VLQJ &RQILJXUDWLRQ6HUYLFH 6RIWZDUH
&66 IRU 7UXQNHG 6LPXOFDVW &RQWLQXHG
6DYH WKH FRQILJXUDWLRQ GDWD WR D QHZ DUFKLYH ILOH XVLQJ 6DYH $V RQ WKH )LOH PHQX RU RYHUZULWH
WKH H[LVWLQJ DUFKLYH ILOH E\ XVLQJ 6DYH RQ WKH )LOH PHQX
%H VXUH WR VDYH DQ\ FRQILJXUDWLRQ FKDQJHV WR D ORFDO RU QHWZRUN GULYH VR WKDW LI WKH
EDVH UDGLR
V WUDQVFHLYHU PRGXOH IDLOV \RX FDQ ORDG \RXU VHWWLQJV WR D UHSODFHPHQW
EDVH UDGLR WUDQVFHLYHU ,I WKH FRQILJXUDWLRQ ILOH LV QRW VDYHG WR D ORFDO RU QHWZRUN
GULYH \RX ZLOO QHHG WR UHSHDW WKH VHW XS VWHSV DIWHU UHSODFLQJ D WUDQVFHLYHU PRGXOH
:ULWH WKH FRQILJXUDWLRQ GDWD WR WKH EDVH UDGLR DV IROORZV
)URP WKH )LOH PHQX EDU VHOHFW :ULWH &RQILJXUDWLRQ WR 'HYLFH
)LJXUH VKRZV WKH FRQILJXUDWLRQ ZLQGRZV IRU D WUXQNHG VLPXOFDVW *75 %DVH 5DGLR
3$ -XO\

)LJXUH 5DGLR &RQILJXUDWLRQ :LQGRZV LQ &RQILJXUDWLRQ6HUYLFH 6RIWZDUH &66 IRU D 7UXQNHG
6LPXOFDVW *75 %DVH 5DGLR
7KH IROORZLQJ OLVW GHVFULEHV SDUDPHWHUV WKDW PXVW EH FRQILJXUHG LQ WKH EDVH UDGLR WKURXJK &66
3DUDPHWHUV LQ &66 LQFOXGH GHIDXOW SDUDPHWHUV WKDW SURYLGH D EDVHOLQH WKDW PD\ EH VXLWDEOH IRU W\SLFDO
EDVH UDGLRV &RQWDFW \RXU 0RWRUROD ILHOG UHSUHVHQWDWLYH DV QHFHVVDU\ ZKHQ FKDQJLQJ SDUDPHWHUV
IURP WKRVH VKLSSHG ZLWK \RXU V\VWHP WR HQVXUH PD[LPXP SHUIRUPDQFH
&KDQJLQJ EDVH UDGLR SDUDPHWHUV FDQ VHULRXVO\ LPSDFW SHUIRUPDQFH 5HIHU

WR \RXU FXVWRP FRQILJXUDWLRQ WHPSODWHV IRU FRQILJXUDWLRQ UHFRPPHQGDWLRQV
SURYLGHG E\ \RXU 0RWRUROD UHSUHVHQWDWLYHV ZKHQ FRQILJXULQJ WKH GHYLFHV
'R QRW GHYLDWH IURP VSHFLILHG VHWWLQJV ZLWKRXW IROORZLQJ WKH SURSHU
FKDQJH SURFHGXUHV IRU \RXU RUJDQL]DWLRQ
3$ -XO\

:LWKLQ WKH &66 ILHOGV ZLWK WKH V\PERO >5@ DIWHU WKH ILHOG QDPH DUH FODVVLILHG DV D 5HVHW SDUDPHWHU
,I WKH YDOXH LQ WKLV ILHOG KDV EHHQ PRGLILHG D FRQILUPDWLRQ ZLQGRZ DSSHDUV WR QRWLI\ \RX WKDW D
UHVHW ZLOO EH LQLWLDWHG DIWHU WKH FRQILJXUDWLRQ GDWD KDV EHHQ ZULWWHQ WR WKH GHYLFH
)RU LQIRUPDWLRQ RQ FRQILJXULQJ 7'0$ FKDQQHOV VHH WKH '\QDPLF 'XDO

0RGH IRU 7'0$ 2SHUDWLRQ PDQXDO
6\VWHP &RQILJXUDWLRQ
:$&1 ,' KH[ ± 7KLV ILHOG DOORZV \RX WR DVVLJQ D XQLTXH FKDUDFWHU KH[DGHFLPDO ,'
WR WKH QHWZRUN LQ D :LGH $UHD &RPPXQLFDWLRQV 1HWZRUN :$&1 V\VWHP ZKHUH WKLV
EDVH UDGLR LV ORFDWHG 5DQJH LV WR ))))( 8VHG IRU 7'0$ YRLFH FKDQQHO 6HH WKH
'\QDPLF 'XDO 0RGH IRU 7'0$ 2SHUDWLRQ PDQXDO IRU IXUWKHU LQIRUPDWLRQ
6\VWHP ,' KH[ ± 7KH LGHQWLILFDWLRQ QXPEHU IRU WKH VLWH 7KLV QXPEHU
QHHGV WR EH XQLTXH ZLWKLQ WKH VLWH
6LWH &RQILJXUDWLRQ
6LWH ,' ± 7KH LGHQWLILFDWLRQ QXPEHU IRU WKH VLWH 7KLV QXPEHU QHHGV WR EH XQLTXH ZLWKLQ WKH VLWH
6LWH 1DPH ± 7KH QDPH WKDW ZDV DVVLJQHG WR WKH VLWH ZKHUH WKH VLWH FRQWUROOHU LV ORFDWHG
$FFHVV &RGH ,QGH[ 5HTXHVWHG KH[ ± 7KH VLWH XVHV WKH $FFHVV &RGH ,QGH[ 5HTXHVWHG WRJHWKHU
ZLWK WKH 6\VWHP ,' WR FDOFXODWH WKH 1HWZRUN $FFHVV &RGH 1$& 7KH VLWH JHQHUDWHV DQG XVHV
1$&V VR WKDW VXEVFULEHUV FDQ FRPPXQLFDWH DQG LJQRUH VLJQDOV IURP GLVWDQW VLWH RU RWKHU V\VWHPV
026&$' ,3 ± 7KH ,3 DGGUHVV RI WKH 026&$' 1HWZRUN )DXOW 0DQDJHPHQW
1)0 ZLWK ZKLFK WKH EDVH UDGLR FRPPXQLFDWHV ,I QRW FRQQHFWHG WR D 026&$'
1)0 OHDYH WKH GHIDXOW YDOXH RI LQ WKLV ILHOG
&RQWURO &KDQQHO 6ORW 7LPH PLFURVORWV ± 'HILQHV WKH OHQJWK RI WLPH DOORWWHG WR
PLFURVORWV UHTXLUHG IRU HDFK FRQWURO FKDQQHO PHVVDJH SDFNDJH
7'0$ 0RGH >5@ ± 6SHFLILHV WKH 7'0$ PRGH RI RSHUDWLRQ DV HLWKHU ; 7'0$
RU 3KDVH 7'0$ ,I )'0$ PRGH RI RSHUDWLRQ LV RQO\ EHLQJ XVHG FKRRVH
3KDVH 7'0$ )RU IXUWKHU LQIRUPDWLRQ RQ FRQILJXULQJ 7'0$ FKDQQHOV VHH WKH
'\QDPLF 'XDO 0RGH IRU 7'0$ 2SHUDWLRQ PDQXDO
&KDQQHO &RQILJXUDWLRQ
$XWRFDOFXODWH )UHTXHQFLHV ± (QDEOHV RU GLVDEOHV WKH $XWRFDOFXODWH )UHTXHQFLHV
FDSDELOLWLHV 7KLV ILHOG LV JUD\HG RXW IRU 8+) DQG 9+)
ƕ ,I $XWRFDOFXODWH )UHTXHQFLHV LV HQDEOHG WKH V\VWHP
6HWV WKH 5[ IUHTXHQF\ WR 0+] DERYH WKH 7[ IUHTXHQF\ IRU 0+]
6HWV WKH 5[ IUHTXHQF\ WR 0+] EHORZ WKH 7[ IUHTXHQF\ IRU 0+]
ƕ ,I $XWRFDOFXODWH )UHTXHQFLHV LV GLVDEOHG \RX PXVW HQWHU DOO IUHTXHQF\ YDOXHV PDQXDOO\
3$ -XO\

7[ )UHTXHQF\ 0+] ± /HWV \RX HQWHU WKH 7UDQVPLW )UHTXHQF\ LQ 0+] IRU WKH VHOHFWHG
EDVH UDGLR 7KH V\VWHP GLVSOD\V D ZDUQLQJ LI WKH YDOXH LV LQYDOLG )RU 0+]
8+) IUHTXHQF\ EDQGV WKH 7[ )UHTXHQF\ YDOXH PXVW EH GLYLVLEOH E\ N+] RU N+]
WR EH YDOLG )RU 9+) IUHTXHQF\ EDQGV WKH 7[ )UHTXHQF\ YDOXH PXVW EH GLYLVLEOH E\
N+] N+] RU EH D VSOLQWHU IUHTXHQF\ WR EH YDOLG 7KH PLQLPXP DQG PD[LPXP
IUHTXHQFLHV DUH GLVSOD\HG E\ &66 DQG DUH EDVHG RQ KDUGZDUH FDSDELOLWLHV
ƕ 9+) VSOLQWHU IUHTXHQFLHV
N+]
N+]
N+]
N+]
N+]
N+]
N+]
N+]
N+]
;)'0$ 7[ 0RGXODWLRQ 7\SH >5@ ± 7KLV ILHOG DOORZV \RX WR VHOHFW WKH PRGXODWLRQ W\SH
XVHG IRU DOO ; 7'0$ RU 3KDVH )'0$ WUDQVPLVVLRQV IURP WKLV EDVH UDGLR 1RWH WKDW 3KDVH
7'0$ ZLOO DOZD\V XVH WKH +'436. PRGXODWLRQ PRGH DQG LV QRW LPSDFWHG E\ WKH VHOHFWLRQ
PDGH KHUH 2SWLRQV DUH HLWKHU $6752 &$, /60 RU $6752 &$, &)0
,I WKH ;)'0$ 7[ 0RGXODWLRQ 7\SH ILHOG LV FKDQJHG IURP &)0 WR /60

DQG WKH 3$ GRHV QRW VXSSRUW WKH SRZHU OHYHO YDOXHV LQ WKH 7[ 3RZHU 2XW DQG
7[ 3RZHU /HYHO %DWWHU\ %DFNXS ILHOGV D SRSXS DSSHDUV DQG FKDQJHV WKRVH
YDOXHV WR WKH PD[LPXP OHYHO VXSSRUWHG E\ WKDW PRGXODWLRQ W\SH
5[ )UHTXHQF\ 0+] ± /HWV \RX HQWHU WKH 5HFHLYH )UHTXHQF\ LQ 0+] IRU WKH VHOHFWHG
EDVH UDGLR 7KH V\VWHP GLVSOD\V D ZDUQLQJ LI WKH YDOXH LV LQYDOLG )RU 0+]
N+] N+] RU EH VSOLQWHU IUHTXHQF\ WR EH YDOLG 7KH PLQLPXP DQG PD[LPXP
N+]
N+]
N+]
N+]
N+]
N+]
N+]
N+]
N+]
5[ &KDQQHO %DQGZLGWK ± 7KH EDQGZLGWK IRU WKH UHFHLYH FKDQQHO
'XDO %UDQFK 5HFHLYH 2SHUDWLRQV ± )RU RQH EUDQFK RI KDUGZDUH VHOHFW 'LVDEOHG )RU WZR
EUDQFKHV RI KDUGZDUH VHOHFW (QDEOHG :KHQ (QDEOHG LV VHOHFWHG WKLV SURYLGHV GLYHUVLW\
RSHUDWLRQ IRU 7'0$ DQG UHGXQGDQF\ RSHUDWLRQ IRU )'0$ 6HH WKH '\QDPLF 'XDO 0RGH IRU
7'0$ 2SHUDWLRQ PDQXDO IRU IXUWKHU LQIRUPDWLRQ RQ GLYHUVLW\ RSHUDWLRQ IRU 7'0$
3$ -XO\

3DFNHW 'DWD &KDQQHO 6ORW 7LPH PLFURVORWV ± /HWV \RX HQWHU WKH VL]H RI WKH SDFNDJH
GDWD FKDQQHO 3'&+ VORW LQ XQLWV RI PLFUR VORWV 'DWD FKDQQHOV DUH VKDUHG E\ DOO
VXEVFULEHUV 7KLV ILHOG GHILQHV WKH DPRXQW RI WLPH UHTXLUHG WR DFFXUDWHO\ LQGLFDWH
WKH SUHVHQFH RI D VXEVFULEHU WUDQVPLVVLRQ RQ WKH 3'&+ LQ RUGHU WR NHHS VXEVHTXHQW
VXEVFULEHUV IURP LQWHUIHULQJ ZLWK WKH LQERXQG PHVVDJH DWWHPSW
%DVH 6WDWLRQ ,GHQWLILFDWLRQ ± /HWV \RX HQWHU WKH EDVH VWDWLRQ LGHQWLILFD
WLRQ DVVLJQHG WR WKLV EDVH UDGLR
6XEVLWH &RQILJXUDWLRQ
6XEVLWH ,' ± ,' WKDW LGHQWLILHG WKH VXEVLWH WR WKH ]RQH FRQWUROOHU
6XEVLWH 1DPH ± $Q DVVLJQHG QDPH RU ODEHO XVHG WR LGHQWLI\ WKH VXEVLWH
+DUGZDUH &RQILJXUDWLRQ
6HW WKH IROORZLQJ SDUDPHWHUV IRU WKH 3KDVH )'0$ ; 7'0$ && VHFWLRQ VHH 3URFHGXUH
)RU LQIRUPDWLRQ RQ FRQILJXULQJ 7'0$ FKDQQHOV VHH WKH '\QDPLF 'XDO

0RGH IRU 7'0$ 2SHUDWLRQ PDQXDO
7[ 3RZHU 2XW :DWWV ± 7KLV SDUDPHWHU UHTXHVWV WKH WUDQVPLW SRZHU WKDW VKRXOG EH VXSSOLHG
E\ WKH FKDQQHO 3$ &66 DOVR GLVSOD\V WKH DFWXDO WUDQVPLW SRZHU RXWSXW IRU WKH EDVH UDGLR
7[ 3RZHU /HYHO %DWWHU\ %DFNXS :DWWV ± 7KLV SDUDPHWHU LQGLFDWHV WKH WUDQVPLW SRZHU WKDW
VKRXOG EH XVHG E\ WKH EDVH UDGLR ZKHQ UXQQLQJ RQ EDWWHU\ EDFNXS :KHQ UXQQLQJ ZLWK EDWWHU\
EDFNXS &66 DOVR GLVSOD\V WKH DFWXDO SRZHU OHYHO EHLQJ RXWSXW E\ WKH EDVH UDGLR
3RZHU 6XSSO\ 7\SH ± 6SHFLILHV WKH W\SH RI SRZHU VXSSO\ IRU WKH V\VWHP
)UHTXHQF\ 5HIHUHQFH >5@ ± 6SHFLILHV WKH VRXUFH RI WKH IUHTXHQF\ UHIHUHQFH IRU WKH
EDVH UDGLR 7KH EDVH UDGLR PXVW XVH ,QWHJUDWHG 5HIHUHQFHV $%
7LPH 5HIHUHQFH ± 6SHFLILHV WKH VRXUFH RI WKH IUHTXHQF\ UHIHUHQFH IRU WKH V\VWHP
%DWWHU\ 7\SH ± 7KLV ILHOG LQGLFDWHV WKH W\SH RI VWRUDJH EDWWHU\ XVHG VR WKH SRZHU
VXSSO\
V FLUFXLWU\ FDQ VHOHFW WKH EHVW FKDUJLQJ UDWH :KHQHYHU $& SRZHU LV ORVW WKH
EDVH UDGLR XVHV WKH 7[ 3RZHU /HYHO %DWWHU\ %DFNXS YDOXH
6WDWLRQ &RQILJXUDWLRQ
6WDWLRQ 1DPH ± 'LVSOD\V WKH QDPH DVVLJQHG WR WKH V\VWHP
$VWUR )DGH 7ROHUDQFH )UDPHV ± 6HWV WKH QXPEHU RI $6752 V\VWHP YRLFH )UDPH
6\QFV WKDW FDQ EH PLVVHG EHIRUH WKH V\VWHP WHUPLQDWHV D FDOO $6752 V\VWHP YRLFH
WUDQVPLVVLRQV HQG ZLWK D WHUPLQDWRU EORFN ,I WKH VLJQDO LV ORZ RU LW WKHUH LV VLJQDO IDGLQJ
WKH V\VWHP FDQ PLVV WKH WHUPLQDWRU EORFN ,I WKLV KDSSHQV WKH V\VWHP ZLOO FRXQW VHTXHQWLDO
PLVVHG YRLFH IUDPH V\QFV DQG HQG WKH UHFHSWLRQ ZKHQ WKH FRXQW PDWFKHV WKH QXPEHU LQ WKLV
ILHOG IUDPH V\QFV WKDW DUH FRXQWHG LQ D URZ EHIRUH WKH V\VWHP WHUPLQDWHV D FDOO
3$ -XO\

'\QDPLF )UHTXHQF\ %ORFNLQJ &DSDELOLW\ ± (QDEOHV RU GLVDEOHV '\QDPLF

)UHTXHQF\ %ORFNLQJ IRU WKH V\VWHP
ƕ (QDEOHG PHDQV WKLV FKDQQHO FDQ KDYH XS WR VHYHQ LQWHUIHULQJ FKDQQHOV $OVR
WKLV FKDQQHO FDQ EH DQ LQWHUIHULQJ FKDQQHO IRU DQRWKHU FKDQQHO
ƕ 'LVDEOHG PHDQV WKLV IUHTXHQF\ ZLOO QRW LQWHUIHUH ZLWK DQ\ FKDQQHOV
RQ WKH V\VWHP VLWH RU QHDUE\ VLWHV
6HUYLFHDELOLW\ )DXOW 5HSRUWLQJ ± :KHQ VHW WR (QDEOHG WKH EDVH UDGLR VHQGV
LQGLFDWLRQV WR WKH 8(0 RI WKH LQGLYLGXDO VXEVFULEHUV WKDW DUH WUDQVPLWWLQJ
RIIIUHTXHQF\ RU KDYH LPSURSHU 7'0$ WLPLQJ
,I VHW WR (QDEOHG IRU SURSHU RSHUDWLRQ RI WKH VHUYLFHDELOLW\ IHDWXUH WKH FRPSDUDWRU
V
*UDQW 7LPHRXW 7LPHU PVHF ILHOG PXVW EH VHW WR PLOOVHFRQGV RU JUHDWHU
,OOHJDO &DUULHU 'HWHUPLQDWLRQ ± 7KH LOOHJDO FDUULHU GHWHUPLQDWLRQ IHDWXUH DOORZV WKH
EDVH UDGLR WR GHWHFW DQG UHVSRQG WR XQUHFRJQL]HG VLJQDOLQJ RQ WKH FKDQQHO WKDW H[FHHGV D
SDUWLFXODU WKUHVKROG IRU DW OHDVW D FHUWDLQ DPRXQW RI WLPH 7KLV IHDWXUH FDQ EH HQDEOHG RU
GLVDEOHG WKURXJK WKLV SDUDPHWHU )RU PRUH LQIRUPDWLRQ VHH ³,OOHJDO &DUULHU 'HWHUPLQDWLRQ
)HDWXUH´ LQ &KDSWHU 7KH 5) 7KUHVKROG /HYHO DQG 566, 5HFHLYHU 6LJQDO 6WUHQJWK
,QGLFDWH YDOXHV DUH UHIHUHQFHG WR WKH LQSXW RI WKH 5HFHLYH 0XOWLFRXSOHU
ƕ (QDEOHG PHDQV WKDW WKH V\VWHP FDQ GHWHFW DQ ,OOHJDO FDUULHU XVLQJ WKH
YDOXH LQ WKH 5) 7KUHVKROG 9DOXH G%P ILHOG
ƕ 'LVDEOHG PHDQV WKDW ,OOHJDO &DUULHU 'HWHUPLQDWLRQ LV GLVDEOHG DQG WKH V\VWHP XVHV
WKH ± G%P YDOXH LQ WKH 5) 7KUHVKROG 9DOXH G%P ILHOG ,I WKLV ILHOG LV GLVDEOHG
WKH 0DOIXQFWLRQ 7LPHU 9DOXH ILHOG LV VHW WR DQG JUD\HG RXW
5) 7KUHVKROG 9DOXH G%P ± 7KH 5) WKUHVKROG SDUDPHWHU GHWHUPLQHV WKH PLQLPXP
5) VLJQDO OHYHO WKDW ZLOO EH UHFRJQL]HG EHIRUH FODVVLI\LQJ DQ LOOHJDO FDUULHU HYHQW
DQG UHSRUWLQJ DQ DODUP WR 8QLILHG (YHQW 0DQDJHU
6HW 'HIDXOW 5) 7KUHVKROG ± 7KLV EXWWRQ DOORZV \RX WR JHW WKH GHIDXOW YDOXH IRU WKH 5) 7KUHVKROG
9DOXH ILHOG IURP WKH EDVH UDGLR <RX PXVW EH FRQQHFWHG WR WKH EDVH UDGLR WR XVH WKLV EXWWRQ
0DOIXQFWLRQ 7LPHU 9DOXH VHF ± :KHQ ,OOHJDO &DUULHU 'HWHUPLQDWLRQ LV HQDEOHG WKLV ILHOG
DOORZV \RX WR VSHFLI\ WKH OHQJWK RI WLPH LQ VHFRQGV D VLJQDO PXVW FRQWLQXRXVO\ H[FHHG
WKH 5) 7KUHVKROG 9DOXH G%P EHIRUH EHLQJ UHSRUWHG DV DQ LOOHJDO FDUULHU 7KH UDQJH RI
YDOXHV LV WKURXJK VHFRQGV ZLWK D GHIDXOW YDOXH RI VHFRQGV 7KLV ILHOG LV GLVDEOHG
DQG VHW WR ZKHQ WKH ,OOHJDO &DUULHU 'HWHUPLQDWLRQ ILHOG LV GLVDEOHG
6LPXOFDVW 2SHUDWLRQ >5@ ± 6SHFLILHV ZKHWKHU WKLV FKDQQHO LV FDSDEOH RI
RSHUDWLQJ LQ D VLPXOFDVW VXEV\VWHP
,QIUDVWUXFWXUH ,QWHUIDFH
,QIUDVWUXFWXUH ,QWHUIDFH >5@ ± $OORZV \RX WR VHOHFW WKH OLQN W\SH RYHU ZKLFK
WKH VWDWLRQ VHQGV DQG UHFHLYHV YRLFH DQG GDWD
3$ -XO\

&66 &RQILJXUDWLRQ 3DUDPHWHUV IRU WKH *75 %DVH 5DGLR +3' &KDSWHU *75 %DVH 5DGLR &RQILJXUDWLRQ
(WKHUQHW 7\SH ± $OORZV \RX WR VHOHFW WKH GXSOH[ DQG VSHHG IRU WKH EDVH UDGLR
V (WKHUQHW
FRQQHFWLRQ FRQQHFWLRQ )RU WUXQNHG VLPXOFDVW VHW WR 0E +DOI 'XSOH[
&KDQJLQJ 'XSOH[ 6HWWLQJV IURP )XOO WR +DOI UHVXOWV LQ ORVV RI FRQQHFWLYLW\
IRU D VKRUW SHULRG RI WLPH DQG &66 PD\ UHSRUW DQ HUURU 5HDGLQJ WKH &66
&RQILJXUDWLRQ DJDLQ VKRXOG UHVWRUH WKH FRQQHFWLYLW\
9 7UDQVPLW &ORFN >5@ ± ,QGLFDWHV WKH FORFN VRXUFH IRU WKH LQIUDVWUXFWXUH LQWHUIDFH ([WHUQDO
LQGLFDWHV WKDW H[WHUQDO HTXLSPHQW VXFK DV D FKDQQHO EDQN LV SURYLGLQJ WKH 9 FORFN
'LJLWDO ,GOH /LQN &KHFN ± $OORZV \RX WR GHWHUPLQH LI WKH EDVH UDGLR LV FDSDEOH RI PRQLWRULQJ
WKH OLQN FRQWLQXLW\ E\ VHQGLQJ SHULRGLF PHVVDJHV WR WKH FRPSDUDWRU
5HFHLYHU 0XOWLFRXSOHU 50& &RQILJXUDWLRQ
*75 &RQILJXUDWLRQ ± 6SHFLILHV WKH *75 HTXLSPHQW FRQILJXUDWLRQ
6\VWHP *DLQ G% ± 7RWDO 6\VWHP *DLQ EDVHG RQ WKH VHWWLQJ RI WKH *75 )RU D
6WDQGDORQH %DVH 5DGLR FDOFXODWH WKH V\VWHP JDLQ DQG HQWHU LQWR WKLV ILHOG
3DVVZRUG &RQILJXUDWLRQ )RU RSWLRQDO SDVVZRUGV HQWHUHG IRU ORFDO DFFRXQWV

8SGDWHG SDVVZRUG FRPSOH[LW\ FRQILJXUDWLRQ FULWHULD LV HQIRUFHG GXULQJ WKH QH[W SDVVZRUG FKDQJH
IRU WKH EDVH UDGLR
V ORFDO VHUYLFH DQG HOHYDWHG SULYLOHJH DFFRXQWV
6HH 3URFHGXUH +RZ WR 6HW WKH /RFDO 3DVVZRUG &RQILJXUDWLRQ 8VLQJ &66 RQ SDJH

+3'
3URFHGXUH +RZ WR &RQILJXUH D *75 %DVH 5DGLR 8VLQJ &RQILJX
UDWLRQ6HUYLFH 6RIWZDUH &66 IRU +3'
/LQN´
V VHULDO SRUW
&OLFN RQ6\VWHP LQ WKH 6\VWHP WUHH WR RSHQ WKH 6\VWHP ZLQGRZ DQG HQWHU D KH[DGHFLPDO YDOXH
EHWZHHQ DQG ))( LQ WKH 6\VWHP ,G ILHOG
3$ -XO\

*75 %DVH 5DGLR &66 &RQILJXUDWLRQ 3DUDPHWHUV IRU WKH *75 %DVH 5DGLR +3'
&66 IRU +3' &RQWLQXHG
)RU FRQILJXUDWLRQ GHWDLOV IRU '16 DQG 5$',86 6HUYLFHV VHH WKH $XWKHQWLFDWLRQ
6HUYLFHV PDQXDO )RU FRQILJXUDWLRQ GHWDLOV IRU 6<6/2* 6HUYLFHV VHH WKH
%H VXUH WR VDYH DQ\ FRQILJXUDWLRQ FKDQJHV WR D ORFDO RU QHWZRUN GULYH VR WKDW LI

WKH EDVH UDGLR IDLOV \RX FDQ ORDG \RXU VHWWLQJV WR D UHSODFHPHQW EDVH UDGLR ,I WKH
FRQILJXUDWLRQ ILOH LV QRW VDYHG WR D ORFDO RU QHWZRUN GULYH \RX ZLOO QHHG WR UHSHDW WKH
VHW XS VWHSV DIWHU UHSODFLQJ D EDVH UDGLR
3$ -XO\

)LJXUH 5DGLR &RQILJXUDWLRQ :LQGRZV LQ &RQILJXUDWLRQ6HUYLFH 6RIWZDUH &66 IRU DQ +3'
*75 %DVH 5DGLR
7KH IROORZLQJ OLVW GHVFULEHV SDUDPHWHUV WKDW PXVW EH FRQILJXUHG LQ WKH +3' EDVH UDGLR WKURXJK &66
3DUDPHWHUV LQ &66 LQFOXGH GHIDXOW SDUDPHWHUV WKDW SURYLGH D EDVHOLQH WKDW PD\ EH VXLWDEOH IRU W\SLFDO
EDVH UDGLRV &RQWDFW \RXU 0RWRUROD ILHOG UHSUHVHQWDWLYH DV QHFHVVDU\ ZKHQ FKDQJLQJ SDUDPHWHUV
IURP WKRVH VKLSSHG ZLWK \RXU V\VWHP WR HQVXUH PD[LPXP SHUIRUPDQFH

3$ -XO\

6\VWHP &RQILJXUDWLRQ
6\VWHP ,' KH[ ± 7KH LGHQWLILFDWLRQ QXPEHU IRU WKH VLWH 7KLV QXPEHU
QHHGV WR EH XQLTXH ZLWKLQ WKH VLWH
6LWH &RQILJXUDWLRQ
6LWH ,' ± 7KH LGHQWLILFDWLRQ QXPEHU IRU WKH VLWH 7KLV QXPEHU QHHGV WR EH XQLTXH ZLWKLQ WKH VLWH
6LWH 1DPH ± 7KH QDPH WKDW ZDV DVVLJQHG WR WKH VLWH ZKHUH WKH VLWH FRQWUROOHU LV ORFDWHG
026&$' ,3 ± 7KH ,3 DGGUHVV RI WKH 026&$' 1)0 ZLWK ZKLFK WKH EDVH UDGLR FRPPXQLFDWHV
,I QRW FRQQHFWHG WR D 026&$' 1)0 OHDYH WKH GHIDXOW YDOXH RI LQ WKLV ILHOG
3LORW6\QF &RGH 6HW36& >5@ ± 7KLV SDUDPHWHU GHILQHV WKH SLORWV\QF FRGH VHW WKDW LV EHLQJ
XVHG RQ WKLV FKDQQHO 7KLV VKRXOG RQO\ EH FKDQJHG WR DGGUHVV VHYHUH LQWHUIHUHQFH SUREOHPV
IURP RWKHU DGMDFHQW VLWHV 2WKHUZLVH WKH GHIDXOW VHWWLQJ VKRXOG EH XVHG
5DQGRP $FFHVV &OXVWHU /HQJWK ± 6SHFLILHV WKH 5DQGRP $FFHVV &OXVWHU
OHQJWK DVVLJQHG WR WKLV VWDWLRQ
0D[LPXP 5DQGRP $FFHVV $WWHPSWV ± 7KLV SDUDPHWHU LQGLFDWHV WKH PD[LPXP QXPEHU
RI UDQGRP DFFHVV DWWHPSWV WKDW DQ 068 VKRXOG WU\ RQ WKLV FKDQQHO 7KH EDVH UDGLR
SHULRGLFDOO\ EURDGFDVWV WKLV YDOXH WR WKH 068 SRSXODWLRQ
5DQGRP $FFHVV 5HVSRQVH 7LPHU PLOOLVHFRQGV ± 7KLV WLPHU LV EURDGFDVW WR WKH 068
SRSXODWLRQ WR LQGLFDWH WKH DPRXQW RI WLPH WKDW DQ 068 VKRXOG ZDLW IRU D UHVSRQVH IURP
WKH EDVH UDGLR EHIRUH FRQVLGHULQJ WKDW D UDQGRP DFFHVV DWWHPSW KDV IDLOHG
:DLW IRU &OXVWHU 7LPHU PLOOLVHFRQGV ± 7KLV SDUDPHWHU GHILQHV WKH ZDLW IRU FOXVWHU
WLPHU WKDW LV DGYHUWLVHG WR WKH 068V RQ WKH FKDQQHO
%DFNRII $OJRULWKP %$ ± 7KLV YDOXH LV DGYHUWLVHG WR WKH 068V RQ WKH FKDQQHO WR LQGLFDWH
WKH EDFNRII DOJRULWKP WKDW VKRXOG EH XVHG DIWHU XQVXFFHVVIXO UDQGRP DFFHVV 7KH 068V
XVH WKH EDFNRII DOJRULWKP WR SUHYHQW FRQJHVWLRQ E\ GHWHUPLQLQJ KRZ PDQ\ UDQGRP DFFHVV
FOXVWHUV VKRXOG EH VNLSSHG EHIRUH UHWU\LQJ D UDQGRP DFFHVV PHVVDJH RYHU WKH FKDQQHO
$XWRFDOFXODWH )UHTXHQFLHV ± ,QGLFDWHV LI WKH YDOXH IRU WKH 5[ )UHTXHQF\ ILHOG LV DXWRPDWLFDOO\
FDOFXODWHG ,I HQDEOHG WKH 5[ IUHTXHQF\ LV DXWRPDWLFDOO\ VHW WR 0+] EHORZ WKH 7[
IUHTXHQF\ LQ WKH 0+] EDQG DQG 0+] DERYH WKH 7[ IUHTXHQF\ LQ WKH 0+]
EDQG :KHQ GLVDEOHG \RX PXVW HQWHU D YDOXH LQ WKH 5[ IUHTXHQF\ ILHOGV
7[ )UHTXHQF\ 0+] ± /HWV \RX HQWHU WKH 7UDQVPLW )UHTXHQF\ LQ 0+] IRU WKH VHOHFWHG EDVH
UDGLR 7KH V\VWHP GLVSOD\V D ZDUQLQJ LI WKH YDOXH LV LQYDOLG )RU 0+] IUHTXHQF\
EDQGV WKH 7[ )UHTXHQF\ YDOXH PXVW EH GLYLVLEOH E\ N+] WR EH YDOLG
5[ )UHTXHQF\ 0+] ± /HWV \RX HQWHU WKH 5HFHLYH )UHTXHQF\ LQ 0+] IRU WKH VHOHFWHG EDVH
UDGLR 7KH V\VWHP GLVSOD\V D ZDUQLQJ LI WKH YDOXH LV LQYDOLG )RU 0+] IUHTXHQF\ EDQGV
WKH 5[ )UHTXHQF\ YDOXH PXVW EH GLYLVLEOH E\ N+] WR EH YDOLG
5HFHLYHU &KDQQHO %DQGZLGWK ± 7KH EDQGZLGWK IRU WKH UHFHLYH FKDQQHO
3$ -XO\

%DVH 6WDWLRQ ,GHQWLILFDWLRQ ± 6SHFLILHG WKH %DVH 6WDWLRQ ,GHQWLILFDWLRQ

%6, DVVLJQHG WR WKLV VWDWLRQ
2SHQ /RRS $FFHVV 3DUDPHWHU G%P ± 7KLV ILHOG LQGLFDWHV WKH SRZHU DGMXVWPHQW SDUDPHWHU
DGYHUWLVHG WR 068V RQ WKH FKDQQHO 068V RQ WKH FKDQQHO ZLOO DGMXVW WKHLU WUDQVPLW SRZHU E\
PHDVXULQJ WKH 5HFHLYHG 6LJQDO 6WUHQJWK 566, RI WKH EDVH UDGLR DQG E\ WKH YDOXHV RI WKH 2SHQ
/RRS $FFHVV 3DUDPHWHU 2/$3 DQG 0D[LPXP 068 7UDQVPLW 3RZHU 0073 YDOXHV
0D[LPXP 068 7UDQVPLW 3RZHU G%P ± 7KLV YDOXH LV DGYHUWLVHG WR 068V WR LQGLFDWH
WKH PD[LPXP WUDQVPLW SRZHU WKDW WKH 068 PD\ XVH RQ WKLV FKDQQHO
7R VHW WKH IROORZLQJ SDUDPHWHUV VHH 3URFHGXUH
7[ 3RZHU 2XW :DWWV ± 7KLV SDUDPHWHU UHTXHVWV WKH WUDQVPLW SRZHU WKDW VKRXOG EH VXSSOLHG
E\ WKH FKDQQHO 3$ &66 DOVR GLVSOD\V WKH DFWXDO WUDQVPLW SRZHU RXWSXW IRU WKH EDVH UDGLR
7[ 3RZHU /HYHO %DWWHU\ %DFNXS :DWWV ± 7KLV SDUDPHWHU LQGLFDWHV WKH WUDQVPLW SRZHU WKDW
VKRXOG EH XVHG E\ WKH EDVH UDGLR ZKHQ UXQQLQJ RQ EDWWHU\ EDFNXS :KHQ UXQQLQJ ZLWK EDWWHU\
EDFNXS &66 DOVR GLVSOD\V WKH DFWXDO SRZHU OHYHO EHLQJ RXWSXW E\ WKH EDVH UDGLR
3RZHU 6XSSO\ 7\SH ± 6SHFLILHV WKH W\SH RI SRZHU VXSSO\ XVHG IRU WKH EDVH UDGLR
)UHTXHQF\ 5HIHUHQFH >5@ ± 6SHFLILHV WKH VRXUFH RI WKH IUHTXHQF\ UHIHUHQFH IRU WKH EDVH UDGLR
7LPH 5HIHUHQFH ± 6SHFLILHV WKH VRXUFH RI WKH IUHTXHQF\ UHIHUHQFH IRU WKH EDVH UDGLR
VXSSO\
6WDWLRQ 1DPH ± 'LVSOD\V WKH QDPH DVVLJQHG WR WKH EDVH UDGLR
,OOHJDO &DUULHU 'HWHUPLQDWLRQ ± 7KH LOOHJDO FDUULHU GHWHUPLQDWLRQ IHDWXUH DOORZV WKH EDVH
UDGLR WR GHWHFW DQG UHVSRQG WR XQUHFRJQL]HG VLJQDOLQJ RQ WKH FKDQQHO WKDW H[FHHGV D SDUWLFXODU
WKUHVKROG IRU DW OHDVW D FHUWDLQ DPRXQW RI WLPH 7KLV IHDWXUH FDQ EH HQDEOHG RU GLVDEOHG WKURXJK
WKLV SDUDPHWHU )RU PRUH LQIRUPDWLRQ VHH ³,OOHJDO &DUULHU 'HWHUPLQDWLRQ )HDWXUH´ LQ &KDSWHU
ƕ (QDEOHG PHDQV WKDW WKH EDVH UDGLR FDQ GHWHFW DQ ,OOHJDO FDUULHU XVLQJ WKH
YDOXH LQ WKH 5) 7KUHVKROG 9DOXH G%P ILHOG
ƕ 'LVDEOHG PHDQV WKDW ,OOHJDO &DUULHU 'HWHUPLQDWLRQ LV GLVDEOHG DQG WKH V\VWHP XVHV
WKH ± G%P YDOXH LQ WKH 5) 7KUHVKROG 9DOXH G%P ILHOG ,I WKLV ILHOG LV GLVDEOHG
WKH 0DOIXQFWLRQ 7LPHU 9DOXH ILHOG LV VHW WR DQG JUD\HG RXW
5) 7KUHVKROG 9DOXH G%P ± 'HILQHV WKH 5) OHYHO LQ G%P DERYH ZKLFK
WKH UHFHLYHG VLJQDO LV FRQVLGHUHG WR EH DQ LOOHJDO FDUULHU 7KH UDQJH LV WR
G%P ZLWK D GHIDXOW YDOXH RI G%P
0DOIXQFWLRQ 7LPHU 9DOXH VHF ± :KHQ ,OOHJDO &DUULHU 'HWHUPLQDWLRQ LV HQDEOHG WKLV ILHOG
DOORZV \RX WR VSHFLI\ WKH OHQJWK RI WLPH LQ VHFRQGV D VLJQDO PXVW FRQWLQXRXVO\ H[FHHG WKH 5)
7KUHVKROG RQ DQ XQDVVLJQHG FKDQQHO EHIRUH WKH FRQWUROOHU UHPRYHV WKH FKDQQHO IURP V\VWHP
XVH 7KH UDQJH RI YDOXHV LV WKURXJK VHFRQGV ZLWK D GHIDXOW YDOXH RI VHFRQGV 7KLV
ILHOG LV GLVDEOHG DQG VHW WR ZKHQ WKH ,OOHJDO &DUULHU 'HWHUPLQDWLRQ ILHOG LV GLVDEOHG
3$ -XO\

(WKHUQHW 7\SH ± $OORZV \RX WR VHOHFW WKH GXSOH[ DQG VSHHG IRU WKH EDVH
UDGLR
V (WKHUQHW FRQQHFWLRQ
*75 &RQILJXUDWLRQ ± 6SHFLILHV WKH *75 HTXLSPHQW FRQILJXUDWLRQ
6\VWHP *DLQ G% ± 7RWDO 6\VWHP *DLQ EDVHG RQ WKH VHWWLQJ RI WKH *75 &RQILJXUDWLRQ
ILHOG )RU D 6WDQGDORQH %DVH 5DGLR FDOFXODWH WKH V\VWHP JDLQ DQG HQWHU LQWR WKLV ILHOG

IRU WKH EDVH UDGLR
3$ -XO\

&66 &RQILJXUDWLRQ 3DUDPHWHUV IRU WKH *75 %DVH 5DGLR &RQYHQWLRQDO &KDSWHU *75 %DVH 5DGLR &RQILJXUDWLRQ

&RQYHQWLRQDO
7DEOH OLVWV FRQYHQWLRQDO *75 %DVH 5DGLR FRQILJXUDWLRQ VFHQDULRV
7KH (WKHUQHW 7\SH ILHOG IRU D VWDQGDORQH FRQYHQWLRQDO EDVH UDGLR PXVW EH VHW WR 0ELW KDOIGXSOH[
7DEOH &RQYHQWLRQDO *75 %DVH 5DGLR 6FHQDULRV
6FHQDULR 'HVFULSWLRQ
%DVH 5DGLR 5HSHDW OLPLWDWLRQ LQ FRPSDUDWRU EDVH &RQILJXULQJ WKH EDVH UDGLR IRU 5HSHDW RSHUDWLRQ
WRSRORJLHV ZKHQ WKH EDVH UDGLR LV FRQILJXUHG LQ D WRSRORJ\ ZLWK
D FRPSDUDWRU LH &RPSDUDWRU 7\SH VHW WR D YDOXH
RWKHU WKDQ 1RQH VKRXOG EH DYRLGHG 7KLV DSSOLHV
WR ERWK FRQILJXULQJ 5HSHDWHU (QDEOH WR 5HSHDWHU
DQG DVVHUWLQJ WKH )RUFHG ,Q &DELQHW 5HSHDW H[WHUQDO
LQSXW :KHQ WKH EDVH UDGLR LV SODFHG LQ UHSHDW PRGH
DQG LV FRQQHFWHG WR D FRPSDUDWRU ERWK WKH EDVH UDGLR
DQG WKH FRPSDUDWRU ZRXOG EH UHSHDWLQJ SD\ORDG
ZKLFK ZRXOG OHDG WR XQGHVLUDEOH UHVXOWV
,QIUDVWUXFWXUH 'DWD +DQJWLPH QHHGHG IRU 'DWD 6FDQ 7KH EDVH UDGLR PXVW JHQHUDWH WHUPLQDWRU GDWD XQLWV
3UHDPEOH EHWZHHQ 'DWD 3UHDPEOH 3'8V 7KHUHIRUH WKH
,QIUDVWUXFWXUH 'DWD 'URS 2XW 'HOD\ VKRXOG EH
HQDEOHG WR NHHS WKH WUDQVPLWWHU NH\HG DQG JHQHUDWLQJ
WHUPLQDWLQJ GDWD XQLWV
&RQILJXULQJ WKH EDVH UDGLR ZLWK WKH 7UDQVPLWWHU :KHQ WKH EDVH UDGLR LV FRQILJXUHG ZLWK D 7UDQVPLWWHU
3ULRULW\ VHW WR 5HSHDW 3ULRULW\ VHW WR 5HSHDW RYHU ,QIUDVWUXFWXUH LW LV QRW
JXDUDQWHHG WKDW $FNQRZOHGJHPHQWV WR VXEVFULEHU
RULJLQDWHG VLJQDOOLQJ PHVVDJHV 76%.V ZLOO EH
GHOLYHUHG WR WKH VXEVFULEHU LI SD\ORDG LV EHLQJ
UHSHDWHG ZKHQ WKH $FN LV UHFHLYHG IURP WKH
LQIUDVWUXFWXUH ,W LV DOVR SRVVLEOH WKDW WKH FRQVROH
RULJLQDWHG YRLFH DQG VLJQDOOLQJ PHVVDJH ZLOO QRW EH
GHOLYHUHG WR WKH VXEVFULEHU GXULQJ SHULRGV RI KLJK
SD\ORDG UHSHDW DFWLYLW\
$FN 'HOD\ 7LPHU 7KH $FN 'HOD\ 7LPHU WKDW LV FRQILJXUHG RQ WKH
8&0 IRU D GLJLWDO FRQYHQWLRQDO FKDQQHO FRQWUROV WKH
DPRXQW RI WLPH WKH FRQVROH RU ]RQH FRQWUROOHU ZDLWV
EHIRUH VHQGLQJ DQ $FN WR D VXEVFULEHU RULJLQDWHG
VLJQDOLQJ PHVVDJH ,Q FRQILJXUDWLRQV ZKLFK XWLOL]H
,3 OLQNV WR WKH 5) VLWHV WKH GHOLYHU\ WLPH IRU WKH
SDFNHW FRQWDLQLQJ WKH $FN LV PXFK VKRUWHU WKDQ ZKHQ
9 OLQNV DUH XVHG ,I WKH EDVH UDGLR LV FRQILJXUHG
ZLWK D 7UDQVPLWWHU 3ULRULW\ VHW WR 5HSHDW RYHU
,QIUDVWUXFWXUH LW LV QHFHVVDU\ WR LQFUHDVH WKH YDOXH
RI WKH $FN 'HOD\ 7LPHU IURP LWV GHIDXOW YDOXH RI
WR DOORZ HQRXJK WLPH IRU WKH VXEVFULEHU RULJLQDWHG
3$ -XO\

*75 %DVH 5DGLR &66 &RQILJXUDWLRQ 3DUDPHWHUV IRU WKH *75 %DVH 5DGLR &RQYHQWLRQDO
7DEOH &RQYHQWLRQDO *75 %DVH 5DGLR 6FHQDULRV &RQWLQXHG

6FHQDULR 'HVFULSWLRQ
VLJQDOLQJ PHVVDJH WR EH UHSHDWHG 7KLV HQVXUHV WKDW
WKH $FN KDV D EHWWHU FKDQFH RI EHLQJ GHOLYHUHG WR
WKH VXEVFULEHU
'DWD 5HSHDW &DSDELOLW\ )RU 3DFNHW 'DWD WR EH UHSHDWHG E\ WKH EDVH UDGLR
5HSHDWHU (QDEOH PXVW EH VHW WR 5HSHDWHU DQG 5HSHDW
'DWD PXVW EH VHW WR (QDEOHG ,I 5HSHDWHU (QDEOH LV
VHW WR %DVH DQG WKH EDVH UDGLR JRHV LQWR )DOOEDFN
,Q&DELQHW 5HSHDW PRGH SDFNHW GDWD ZLOO EH
UHSHDWHG E\ WKH EDVH UDGLR LI 5HSHDW 'DWD LV (QDEOHG
%DVH 5DGLR %DVH RSHUDWLRQ ZLWK &RQWURO 6WDWLRQ :KHQ WKH EDVH UDGLR LV FRQILJXUHG DV D FRQWURO
VWDWLRQ ZLWK DQ 5) FRQQHFWLRQ WR D UHPRWH
UHSHDWHUV 5HSHDWHU (QDEOH VKRXOG EH VHW WR %DVH
WR DYRLG UHSHDWLQJ SD\ORDG UHFHLYHG IURP WKH UHPRWH
UHSHDWHUV
3URFHGXUH +RZ WR &RQILJXUH D *75 %DVH 5DGLR 8VLQJ &RQILJXUD
WLRQ6HUYLFH 6RIWZDUH &66 IRU &RQYHQWLRQDO
/LQN´
V VHULDO SRUW
RQ WKH WZR WDEV
)RU FRQILJXUDWLRQ GHWDLOV IRU 5$',86 6HUYLFHV VHH WKH $XWKHQWLFDWLRQ 6HUYLFHV
PDQXDO )RU FRQILJXUDWLRQ GHWDLOV IRU 6<6/2* 6HUYLFHV VHH WKH &HQWUDOL]HG (YHQW
/RJJLQJ PDQXDO
3$ -XO\

&66 IRU &RQYHQWLRQDO &RQWLQXHG
%H VXUH WR VDYH DQ\ FRQILJXUDWLRQ FKDQJHV WR D ORFDO RU QHWZRUN GULYH VR WKDW LI

WKH EDVH UDGLR IDLOV \RX FDQ ORDG \RXU VHWWLQJV WR D UHSODFHPHQW EDVH UDGLR ,I WKH
FRQILJXUDWLRQ ILOH LV QRW VDYHG WR D ORFDO RU QHWZRUN GULYH \RX ZLOO QHHG WR UHSHDW WKH
VHW XS VWHSV DIWHU UHSODFLQJ D EDVH UDGLR
3$ -XO\

)LJXUH 5DGLR &RQILJXUDWLRQ :LQGRZV LQ &RQILJXUDWLRQ6HUYLFH 6RIWZDUH &66 IRU D

&RQYHQWLRQDO *75 %DVH 5DGLR
7KH IROORZLQJ OLVW GHVFULEHV SDUDPHWHUV WKDW PXVW EH FRQILJXUHG LQ WKH EDVH UDGLR WKURXJK &66 IRU
FRQYHQWLRQDO RSHUDWLRQ 3DUDPHWHUV LQ &66 LQFOXGH GHIDXOW SDUDPHWHUV WKDW SURYLGH D EDVHOLQH WKDW PD\ EH
VXLWDEOH IRU W\SLFDO EDVH UDGLRV &RQWDFW \RXU 0RWRUROD ILHOG UHSUHVHQWDWLYH DV QHFHVVDU\ ZKHQ FKDQJLQJ
SDUDPHWHUV IURP WKRVH VKLSSHG ZLWK \RXU V\VWHP WR HQVXUH PD[LPXP SHUIRUPDQFH

3$ -XO\

6LWH &RQILJXUDWLRQ
6LWH ,' ± 7KLV ILHOG LQGLFDWHV WKH ,' QXPEHU DVVLJQHG WR WKH VLWH ZKHUH WKLV EDVH UDGLR
LV ORFDWHG 7KH UDQJH RI YDOXHV LV WR ZLWK D GHIDXOW RI
6LWH 1DPH ± 7KLV ILHOG DOORZV \RX WR HQWHU D QDPH XS WR DOSKDQXPHULF FKDUDFWHUV
WR LGHQWLI\ WKH VLWH ZKHUH WKH EDVH UDGLR LV ORFDWHG
026&$' ,3 ± 7KH ,3 DGGUHVV RI WKH 026&$' 1)0 ZLWK ZKLFK WKH EDVH UDGLR FRPPXQLFDWHV
,I QRW FRQQHFWHG WR D 026&$' 1)0 OHDYH WKH GHIDXOW YDOXH RI LQ WKLV ILHOG
$XWRFDOFXODWH )UHTXHQFLHV ± (QDEOHV RU GLVDEOHV WKH $XWRFDOFXODWH )UHTXHQFLHV
FDSDELOLWLHV 7KLV ILHOG LV JUD\HG RXW IRU 8+) DQG 9+)
ƕ ,I $XWRFDOFXODWH )UHTXHQFLHV LV HQDEOHG WKH V\VWHP
6HWV WKH 5[ IUHTXHQF\ WR 0+] DERYH WKH 7[ IUHTXHQF\ IRU 0+]
6HWV WKH 5[ IUHTXHQF\ WR 0+] EHORZ WKH 7[ IUHTXHQF\ IRU 0+]
ƕ ,I $XWRFDOFXODWH )UHTXHQFLHV LV GLVDEOHG \RX PXVW HQWHU DOO IUHTXHQF\ YDOXHV PDQXDOO\
7[ )UHTXHQF\ 0+] ± /HWV \RX HQWHU WKH 7UDQVPLW )UHTXHQF\ LQ 0+] IRU WKH VHOHFWHG
EDVH UDGLR 7KH V\VWHP GLVSOD\V D ZDUQLQJ LI WKH YDOXH LV LQYDOLG )RU 0+] DQG
0+]
0+]
0+]
0+]
0+]
0+]
0+]
0+]
0+]
7[ 0RGXODWLRQ 7\SH >5@ ± /HWV \RX VHOHFW WKH PRGXODWLRQ W\SH WKDW WKH
EDVH UDGLR XVHV IRU WUDQVPLVVLRQ
,I WKH 7[ 0RGXODWLRQ 7\SH ILHOG LV FKDQJHG IURP &)0 WR /60 DQG WKH 3$
GRHV QRW VXSSRUW WKH SRZHU OHYHO YDOXHV LQ WKH 7[ 3RZHU 2XW DQG 7[ 3RZHU
/HYHO %DWWHU\ %DFNXS ILHOGV D SRSXS DSSHDUV DQG FKDQJHV WKRVH YDOXHV WR
WKH PD[LPXP OHYHO VXSSRUWHG E\ WKDW PRGXODWLRQ W\SH
3$ -XO\

5[ )UHTXHQF\ 0+] ± /HWV \RX HQWHU WKH 5HFHLYH )UHTXHQF\ LQ 0+] IRU WKH VHOHFWHG
EDVH UDGLR 7KH V\VWHP GLVSOD\V D ZDUQLQJ LI WKH YDOXH LV LQYDOLG )RU 0+] DQG
0+]
0+]
0+]
0+]
0+]
0+]
0+]
0+]
0+]
5[ &KDQQHO %DQGZLGWK ± 7KH EDQGZLGWK IRU WKH UHFHLYH FKDQQHO
%6, 7UDQVPLVVLRQ ± 7KLV ILHOG DOORZV \RX WR HQDEOH RU GLVDEOH WKH %DVH
6WDWLRQ ,GHQWLILFDWLRQ WLPHU IRU WKH EDVH UDGLR
ƕ (QDEOHG ,QGLFDWHV %6, WUDQVPLVVLRQ LV HQDEOHG DQG \RX FDQ HQWHU D SDUDPHWHU LQ
WKH %6, 6WDWXV 7LPHRXW ILHOG DQG D %DVH 6WDWLRQ ,GHQWLILFDWLRQ
ƕ 'LVDEOHG ,QGLFDWHV WKLV VWDWLRQ LV QRW FDSDEOH RI WUDQVPLWWLQJ WKH %6,
%6, 6WDWXV 7LPHRXW ± $OORZV \RX WR HQWHU DQ LQWHUYDO RI WLPH IRU ZKHQ WKH %DVH 6WDWLRQ
,GHQWLILHU LV VHQW RXW 7KH UDQJH RI YDOXHV LV WR PLQXWHV ZLWK D GHIDXOW RI PLQXWHV
%DVH 6WDWLRQ ,GHQWLILFDWLRQ ± $OORZV \RX WR HQWHU WKH DVVLJQHG %DVH 6WDWLRQ ,GHQWLILFDWLRQ IRU
WKLV FRQYHQWLRQDO EDVH UDGLR 8S WR XSSHUFDVH DOSKDQXPHULF FKDUDFWHUV FDQ EH HQWHUHG
7[ 3ULRULW\ ± $OORZV \RX WR VHOHFW ZKLFK VRXUFH 5HFHLYHU RU ,QIUDVWUXFWXUH LV WUDQVPLWWHG
ILUVW 7KLV DOORZV WKH XVHU WR VHOHFW &RQVROH 3ULRULW\ 7KH GHIDXOW VHOHFWLRQ LV ,QIUDVWUXFWXUH
5[ 1$& 2SHUDWLRQ ± 6HOHFW KRZ WR FRQWURO WKH UHFHLYHG DQG WUDQVPLWWHG
1HWZRUN $FFHVV &RGHV 2SWLRQV DUH
ƕ 1RUPDO 7KH FRQILJXUHG YDOXHV RI 7[ 1$& DQG 5[ 1$& DUH XVHG E\ WKH EDVH UDGLR
ƕ 1$& )( 7KH 5[ 1$& ILHOG ZLOO EH VHW WR )(
ƕ &5 )) 7KH 5[ 1$& ILHOG ZLOO EH VHW WR ))
7[ 1$& ± $OORZV \RX WR HQWHU D VSHFLILF WUDQVPLWWHU 1HWZRUN $FFHVV &RGH 1$& IRU
WKLV EDVH UDGLR 7KH UDQJH RI YDOXHV LV WR ))) KH[LGHFLPDO ZLWK D GHIDXOW YDOXH RI
9DOXHV )( DQG )) DUH UHVHUYHG DQG FDQQRW EH XVHG IRU 1$&
5[ 1$& ± $OORZV \RX WR HQWHU D VSHFLILF UHFHLYHU 1HWZRUN $FFHVV &RGH 1$& IRU WKLV
EDVH UDGLR 7KH UDQJH RI YDOXHV LV WR ))) KH[DGHFLPDO ZLWK D GHIDXOW YDOXH RI
9DOXHV )( DQG )) DUH UHVHUYHG DQG FDQQRW EH XVHG IRU 1$&
7UDQVPLW 8VLQJ /DVW 5HFHLYHG 1$& ± :KHQ 5[ 1$& 2SHUDWLRQ LV 127 VHW WR
1RUPDO VHOHFW (QDEOHG WR XVH WKH UHFHLYHG 1$& DV WKH WUDQVPLWWHG 1HWZRUN $FFHVV
&RGH GXULQJ DQ RXWERXQG YRLFH FDOO <RX FDQ WKHQ VHW WKH 5[ 1$& ([SLUDWLRQ 7LPH
PLQ ILHOG 7KH GHIDXOW YDOXH IRU WKLV ILHOG LV 'LVDEOHG
5[ 1$& ([SLUDWLRQ 7LPH PLQ ± (QWHU WKH OHQJWK RI WLPH LQ PLQXWHV WKH 5[ 1HWZRUN
$FFHVV &RGH FDQ EH XVHG DV WKH 7[ 1$& ZKHQ WKH 7UDQVPLW 8VLQJ /DVW 5HFHLYHG 1$&
ILHOG LV HQDEOHG 7KH UDQJH LV WR PLQXWHV ZLWK D GHIDXOW YDOXH RI PLQXWHV
3$ -XO\

%XV\ %LW 6ORW 7LPH PLFURVORWV ± $OORZV \RX WR HQWHU D YDOXH IURP WR PLFURVORWV IRU
WKH EXV\ ELW VORW WLPH 7KH GHIDXOW YDOXH LV $ PLFURVORW LV PLOOLVHFRQGV
6XEVLWH &RQILJXUDWLRQ
6XEVLWH ,' ± $OORZV \RX WR HQWHU WKH ,' QXPEHU DVVLJQHG WR WKH VXEVLWH LQ ZKLFK WKLV EDVH UDGLR
LV FRQILJXUHG 5DQJH RI YDOXHV LV GHSHQGHQW XSRQ WKH ,QIUDVWUXFWXUH ,QWHUIDFH >5@ ILHOG VHWWLQJ
ƕ (WKHUQHW ±
ƕ 9 ±
ƕ 1RQH ±
:KHQ GDWD VLWH VWHHULQJ LV XVHG LQ FRQYHQWLRQDO V\VWHPV DOO VWDWLRQV PXVW EH
FRQILJXUHG IRU DQ\ 6LWH 1XPEHU IURP WR EXW QRW
6XEVLWH 1DPH ± $OORZV \RX WR HQWHU D QDPH WR LGHQWLI\ WKH VXEVLWH ZKHUH WKH EDVH
UDGLR LV FRQQHFWHG 8S WR DOSKDQXPHULF FKDUDFWHUV DOORZHG
7R VHW WKH IROORZLQJ SDUDPHWHUV VHH 3URFHGXUH
+DUGZDUH 3ODWIRUP >5@ ± $OORZV \RX WR VHOHFW WKH KDUGZDUH SODWIRUP
IRU WKLV EDVH UDGLR 2SWLRQV DUH
ƕ *75
ƕ *3: 6DWHOOLWH 5HFHLYHU 5[ RQO\ 7[ ILHOGV ZLOO EH JUD\HG RXW
7[ 3RZHU 2XW :DWWV ± $OORZV \RX WR VSHFLI\ WKH RXWSXW SRZHU IURP
WKH EDVH UDGLR
V WUDQVPLWWHU
7[ 3RZHU /HYHO %DWWHU\ %DFNXS :DWWV ± $OORZV \RX WR HQWHU D WUDQVPLW RXWSXW
SRZHU IRU WKLV EDVH UDGLR ZKHQ RSHUDWLQJ IURP WKH EDFNXS EDWWHU\ SRZHU VXSSO\ 7KH
EDVH UDGLR FDQ PDLQWDLQ WKH 3$ RXWSXW SRZHU DV GHILQHG LQ WKLV ILHOG DV ORQJ DV WKH '&
LQSXW YROWDJH LV DERYH 9ROWV :KHQ WKH '& YROWDJH GURSV EHORZ 9ROWV WKH RXWSXW
SRZHU LV GHUDWHG EDVHG XSRQ WKH LQSXW '& YROWDJH OHYHO XQWLO WKDW OHYHO GURSV WR 9ROWV
$W WKDW SRLQW WKH RXWSXW SRZHU VKXWV GRZQ WR SURWHFW WKH EDWWHULHV
3RZHU 6XSSO\ 7\SH ± 6SHFLILHV WKH W\SH RI SRZHU VXSSO\ XVHG IRU WKH VWDWLRQ
)UHTXHQF\ 5HIHUHQFH >5@ ± 6SHFLILHV WKH VRXUFH RI WKH IUHTXHQF\ UHIHUHQFH IRU WKH EDVH
UDGLR 'HYLFH PXVW EH UHVHW IRU D FKDQJH LQ WKLV ILHOG WR WDNH HIIHFW
7LPH 5HIHUHQFH >5@ ± $OORZV \RX WR VHOHFW WKH VRXUFH RI WKH WLPH UHIHUHQFH IRU WKLV EDVH
UDGLR 6LPXOFDVW 2SHUDWLRQ >5@ PXVW EH HQDEOHG 2SWLRQV LQFOXGH 1RQH DQG
ƕ ,I )UHTXHQF\ 5HIHUHQFH LV ,QWHJUDWHG 5HIHUHQFH $% RU ([WHUQDO 0+] %DFN 3DQHO
FKRRVH &RPELQH ZLWK )UHT 5HIHUHQFH RU ,QGHSHQGHQW IURP )UHT 5HI
ƕ ,I )UHTXHQF\ 5HIHUHQFH LV ,QWHUQDO )UHTXHQF\ 5HIHUHQFH RU ([WHUQDO H[FOXGLQJ
([WHUQDO ± 0+] %DFN 3DQHO FKRRVH ,QGHSHQGHQW IURP )UHT 5HI
'HYLFH PXVW EH UHVHW IRU D FKDQJH LQ WKLV ILHOG WR WDNH HIIHFW
3$ -XO\

)DOOEDFN WR ,QWHUQDO )UHTXHQF\ 5HIHUHQFH ± 6HOHFW (QDEOHG WR XVH WKH DOWHUQDWLYH ,QWHUQDO
)UHTXHQF\ 5HIHUHQFH ZKHQ WKH H[WHUQDO IUHTXHQF\ UHIHUHQFH IDLOV DQG D WUDQVFHLYHU RSWLRQ FDUG
LV LQVWDOOHG )UHTXHQF\ 5HIHUHQFH >5@ PXVW EH VHW WR ([WHUQDO 7KH GHIDXOW LV 'LVDEOHG
VXSSO\
$QWHQQD 5HOD\ >5@ ± 6HOHFW (QDEOHG WR DOORZ DQWHQQD UHOD\ RSHUDWLRQV RQ WKLV GHYLFH 7KH
GHIDXOW LV 'LVDEOHG 'HYLFH PXVW EH UHVHW IRU D FKDQJH LQ WKLV ILHOG WR WDNH HIIHFW
$QWHQQD 5HOD\ 'HOD\ PVHF ± ,I DQWHQQD UHOD\ RSHUDWLRQV DUH HQDEOHG HQWHU D YDOXH
LQ PLOOLVHFRQGV PVHF IRU WKH GHOD\ EHIRUH WUDQVPLWWLQJ WR DOORZ WKH UHOD\ FRQWDFWV WR
FORVH 7KH UDQJH LV WR PVHF ZLWK D GHIDXOW RI PVHF
&RPSDUDWRU 7\SH >5@ ± 6HOHFW WKH W\SH RI FRPSDUDWRU XVHG LQ WKLV FRQYHQWLRQDO VXEV\VWHP
ƕ $67527$& ± 7KH ,QIUDVWUXFWXUH ,QWHUIDFH >5@ ILHOG DXWRPDWLFDOO\ VHWV WR 9
ƕ *&0 ± 7KH ,QIUDVWUXFWXUH ,QWHUIDFH >5@ ILHOG DXWRPDWLFDOO\ VHWV WR (WKHUQHW
ƕ 1RQH ± ,QIUDVWUXFWXUH ,QWHUIDFH >5@ ILHOG LV FRQILJXUDEOH
6LPXOFDVW 2SHUDWLRQ >5@ ± 6HOHFW (QDEOHG WR DOORZ VLPXOFDVW FDSDELOLW\ RQ WKLV GHYLFH
&KRRVH D &RPSDUDWRU 7\SH RWKHU WKDQ 1RQH WR HQDEOH WKLV ILHOG 7KH GHIDXOW LV 'LVDEOHG
)DOOEDFN ,QFDELQHW 5HSHDW ± 6HOHFWV ZKHWKHU WKH EDVH UDGLR FDQ SHUIRUP LQFDELQHW
UHSHDW IXQFWLRQ LI FRPPXQLFDWLRQ ZLWK WKH FRPSDUDWRU LV ORVW 2SWLRQV DUH
ƕ 'LVDEOHG ± 7KH EDVH UDGLR FDQQRW SHUIRUP LQFDELQHW UHSHDW
ƕ /LQN )DLOXUH ± 7KH EDVH UDGLR FDQ SHUIRUP LQFDELQHW UHSHDW XSRQ
OLQN IDLOXUH ZLWK WKH FRPSDUDWRU
ƕ /LQN )DLOXUH RU 7LPHU ± 7KH EDVH UDGLR FDQ SHUIRUP LQFDELQHW UHSHDW XSRQ OLQN
IDLOXUH ZLWK WKH FRPSDUDWRU RU DIWHU WKH /LQN 'HOD\ 7LPHU SHULRG KDV H[SLUHG
)DOOEDFN ,QFDELQHW 5HSHDW 'HOD\ 7LPHU PVHF ± (QWHU D YDOXH WR VSHFLI\ WKH GHOD\ WLPH WKDW
PXVW HODSVH EHIRUH WKH EDVH UDGLR FDQ SHUIRUP LQFDELQHW UHSHDW IXQFWLRQ LI FRPPXQLFDWLRQ
ZLWK WKH FRPSDUDWRU LV ORVW 7KH UDQJH LV WR PLOOLVHFRQGV PVHF ZLWK D GHIDXOW YDOXH
RI PVHF 7KH )DOOEDFN ,QFDELQHW 5HSHDW ILHOG PXVW EH VHW WR /LQN )DLOXUH RU 7LPHU
6WDWLRQ 1DPH ± $OORZV \RX HQWHU D XQLTXH QDPH RU DOLDV WKDW LGHQWLILHV WKH EDVH UDGLR
7KH QDPH FDQ EH XS WR DOSKDQXPHULF FKDUDFWHUV H[FHSW IRU B "

$VWUR )DGH 7ROHUDQFH )UDPHV ± $OORZV \RX WR VSHFLIL\ WKH QXPEHU RI $6752 V\VWHP
9RLFH )UDPH 6\QFV WKDW FDQ EH PLVVHG EHIRUH WKH V\VWHP WHUPLQDWHV D FDOO $6752 V\VWHP
YRLFH WUDQVPLVVLRQV HQG ZLWK D WHUPLQDWRU EORFN ,I WKH VLJQDO LV ORZ RU LW WKHUH LV VLJQDO IDGLQJ
WKH V\VWHP FDQ PLVV WKH WHUPLQDWRU EORFN ,I WKLV KDSSHQV WKH V\VWHP ZLOO FRXQW VHTXHQWLDO
PLVVHG YRLFH IUDPH V\QFV DQG HQG WKH UHFHSWLRQ ZKHQ WKH FRXQW PDWFKHV WKH QXPEHU LQ WKLV
ILHOG IUDPH V\QFV WKDW DUH FRXQWHG LQ D URZ EHIRUH WKH V\VWHP WHUPLQDWHV D FDOO
3$ -XO\

0RQLWRU 5HFHLYHU $FWLYLW\ ± 6HOHFW KRZ UHFHLYHU DFWLYLW\ LV PRQLWRUHG

IRU 5) FKDQQHO LQWHUIHUHQFH 2SWLRQV DUH
ƕ ,I 6LPXOFDVW 2SHUDWLRQ LV (QDEOHG FKRRVH 5) &KDQQHO ,QWHUIHUHQFH RU 1RQH
5) &KDQQHO ,QWHUIHUHQFH DOVR NQRZQ DV LOOHJDO FDUULHU DOORZV WKH EDVH UDGLR
WR GHWHFW DQG UHVSRQG WR XQUHFRJQL]HG VLJQDOLQJ RQ WKH FKDQQHO WKDW H[FHHGV D
SDUWLFXODU WKUHVKROG IRU DW OHDVW D FHUWDLQ DPRXQW RI WLPH )RU PRUH LQIRUPDWLRQ
VHH ³5) &KDQQHO ,QWHUIHUHQFH )HDWXUH´ LQ &KDSWHU
ƕ ,I 6LPXOFDVW 2SHUDWLRQ LV 'LVDEOHG FKRRVH 5) &KDQQHO ,QWHUIHUHQFH 0RQLWRU
%HIRUH 'DWD 7UDQVPLW RU 1RQH 0RQLWRU %HIRUH 'DWD 7UDQVPLW LV D GDWD V\VWHP
IHDWXUH WKDW FDXVHV WKH GDWD V\VWHP WR KROG RII VHQGLQJ RXWERXQG GDWD WR WKH EDVH
UDGLR XQWLO WKH LQERXQG 5) FKDQQHO DFWLYLW\ VWRSV ,QERXQG DFWLYLW\ LV GHILQHG DV
DQ\ TXDOLILHG RU XQTXDOLILHG UHFHLYH VLJQDO :KHQ WKH EDVH UDGLR GHWHFWV DQ DFWLYLW\
RXWERXQG GDWD WUDQVPLVVLRQ LV KDOWHG XQWLO WKH XQTXDOLILHG DFWLYLW\ FHDVHV
,I 5) &KDQQHO ,QWHUIHUHQFH LV VHOHFWHG WKH 0DOIXQFWLRQ 7LPHU 9DOXH VHF ILHOG LV HQDEOHG DQG
GLVSOD\V WKH GHIDXOW VHWWLQJ RI VHFRQGV ,I 0RQLWRU %HIRUH 'DWD 7UDQVPLW RU 1RQH LV VHOHFWHG
WKH 0DOIXQFWLRQ 7LPHU 9DOXH VHF ILHOG LV GLVDEOHG JUD\HG RXW DQG GLVSOD\V D YDOXH RI
5) 7KUHVKROG 9DOXH G%P ± 'HILQHV WKH OHYHO LQ G%P DERYH ZKLFK WKH UHFHLYHG VLJQDO
LV FRQVLGHUHG WR EH DQ 5) FKDQQHO LQWHUIHUHQFH LI WKLV VWDWLRQ LV QRW DVVLJQHG WR D FDOO ,I WKH
0RQLWRU 5HFHLYHU $FLWLYW\ ILHOG LV VHW WR 1RQH 7KLV ILHOG LV GLVDEOHG DQG GLVSOD\V D YDOXH RI ±
7KH UDQJH RI SRVVLEOH YDOXHV LV WKURXJK G%P ZLWK WKH IROORZLQJ GHIDXOW YDOXHV
9+) ± G%P
8+) ± G%P
0+] ± G%P
0DOIXQFWLRQ 7LPHU 9DOXH VHF ± 7KLV ILHOG DOORZV \RX WR VSHFLI\ WKH WLPH WKDW WKH 5)
&KDQQHO ,QWHUIHUHQFH PXVW FRQWLQXRXVO\ H[FHHG WKH WKUHVKROG RQ DQ XQDVVLJQHG FKDQQHO
EHIRUH WKH FRQWUROOHU UHPRYHV WKH FKDQQHO IURP V\VWHP XVH 7KH YDOXH FDQ EH WKURXJK
VHFRQGV ZLWK D GHIDXOW YDOXH RI VHFRQGV 7KLV ILHOG LV GLVDEOHG DQG VHW WR ZKHQ WKH
0RQLWRU 5HFHLYHU $FWLYLW\ ILHOG LV VHW WR 1RQH RU 0RQLWRU %HIRUH 'DWD 7UDQVPLW
5HSHDWHU &RQILJXUDWLRQ
5HSHDWHU (QDEOH ± 7R HQDEOH 5HSHDW IXQFWLRQDOLW\ RQ WKLV EDVH UDGLR VHOHFW 5HSHDWHU
IURP WKH GURSGRZQ OLVW 7R GLVDEOH UHSHDWHU IXQFWLRQDOLW\ VHOHFW %DVH ,I %DVH LV VHOHFWHG
WKH RWKHU 5HSHDWHU *DWH ILHOGV DUH VHW WR WKHLU GHIDXOW YDOXHV DQG JUD\HG RXW
5HSHDWHU 7LPHRXW ± $OORZV \RX WR HQDEOH RU GLVDEOH WKH 5HSHDWHU 7LPHRXW
7LPHU RQ WKLV EDVH UDGLR IRU UHSHDWHU RSHUDWLRQ 7KLV ILHOG GHWHUPLQHV LI WKH
5HSHDWHU 7LPHRXW 7LPHU ILHOG LV DYDLODEOH
ƕ (QDEOHG LQGLFDWHV WKH EDVH UDGLR XVHV WKH WLPH OLPLW VSHFLILHG LQ WKH 5HSHDWHU
7LPHRXW 7LPHU ILHOG IRU WKH UHSHDWHU RSHUDWLRQ
ƕ 'LVDEOHG LQGLFDWHV WKH 5HSHDWHU 7LPHRXW 7LPHU LV WXUQHG RII DQG WKH EDVH
UDGLR KDV QR WLPH OLPLW IRU WKH UHSHDWHU RSHUDWLRQ
5HSHDWHU 7LPHRXW 7LPHU VHF ± $OORZV \RX WR HQWHU D WLPH OLPLW IRU D UHSHDWHU RSHUDWLRQ
RQ WKLV EDVH UDGLR 7KH UDQJH RI YDOXHV LV WR VHFRQGV ZLWK D GHIDXOW YDOXH RI
VHFRQGV 7R HGLW WKLV ILHOG WKH 5HSHDWHU 7LPHRXW ILHOG PXVW EH (QDEOHG
5HSHDWHU *DWH 8SGDWH ± 6HOHFW (QDEOHG WR DOORZ UHSHDWHU JDWH XSGDWH IXQFWLRQDOLW\ RQ WKLV EDVH
UDGLR ,I 'LVDEOHG LV VHOHFWHG FKRRVH D VWDUWXS VWDWH LQ WKH 5HSHDWHU *DWH 6WDUWXS 6WDWH ILHOG
3$ -XO\

5HSHDWHU *DWH 6WDUWXS 6WDWH ± ,I 5HSHDWHU *DWH 8SGDWH LV 'LVDEOHG VHOHFW D

6WDUWXS 6WDWH IRU WKH UHSHDWHU IXQFWLRQ RQ WKLV EDVH UDGLR 2SWLRQV DUH 5HSHDWHU
6HW 8S WKH GHIDXOW RU 5HSHDWHU .QRFNHG 'RZQ
5HSHDWHU 'URS 2XW 'HOD\ ± 6HOHFW (QDEOHG WR DOORZ D KDQJ WLPH IROORZLQJ D
UHSHDW RSHUDWLRQ RQ WKLV EDVH UDGLR ,I WKLV ILHOG LV VHW WR 'LVDEOHG WKH 5HSHDW
'URS 2XW 'HOD\ 7LPHU ILHOG LV JUD\HG RXW
5HSHDWHU 'URS 2XW 'HOD\ 7LPHU VHF ± $OORZV \RX WR VSHFLI\ WKH UHSHDWHU KDQJ WLPH YDOXH DW
WKH HQG RI D UHSHDW RSHUDWLRQ 7KH UDQJH LV WR ZLWK D GHIDXOW YDOXH RI VHFRQGV
5HSHDW 'DWD ± 6HOHFW (QDEOHG WR DOORZ GDWD UHSHDW IXQFWLRQDOLW\ RQ WKLV EDVH UDGLR 7KH
GHIDXOW VWDWH LV 'LVDEOHG 6LPXOFDVW 2SHUDWLRQ >5@ PXVW EH GLVDEOHG
,QIUDVWUXFWXUH ,QWHUIDFH >5@ ± $OORZV \RX WR VHOHFW WKH OLQN W\SH RYHU ZKLFK WKH VWDWLRQ
VHQGV DQG UHFHLYHV YRLFH DQG GDWD ,I WKH &RPSDUDWRU 7\SH >5@ ILHOG LV VHW WR $67527$&
RU *&0 WKLV ILHOG LV VHW WR WKH DSSURSULDWH LQWHUIDFH DQG JUD\HG RXW
(WKHUQHW 7\SH ± $OORZV \RX WR VHOHFW WKH GXSOH[ DQG VSHHG IRU WKH EDVH
UDGLR
V (WKHUQHW FRQQHFWLRQ
$ VWDQGDORQH FRQYHQWLRQDO EDVH UDGLR PXVW EH VHW WR 0ELW KDOIGXSOH[

9 7UDQVPLW &ORFN >5@ ± ,QGLFDWHV WKH FORFN VRXUFH IRU WKH LQIUDVWUXFWXUH
LQWHUIDFH ,I WKH ,QIUDVWUXFWXUH ,QWHUIDFH >5@ ILHOG LV VHW WR (WKHUQHW RU 1RQH
WKLV ILHOG LV VHW WR (;7(51$/ DQG JUD\HG RXW
ƕ (;7(51$/ ZKHQ H[WHUQDO HTXLSPHQW HJ D FKDQQHO EDQN LV SURYLGLQJ WKH 9 FORFN
ƕ ,17(51$/ ZKHQ WKH EDVH UDGLR SURYLGHV WKH FORFN 7KLV FKRLFH LV W\SLFDOO\ VHOHFWHG
ZKHQ WKH EDVH UDGLR LV FRQQHFWHG GLUHFWO\ WR D FRPSDUDWRU RU RWKHU LQIUDVWUXFWXUH GHYLFH
'LJLWDO ,GOH /LQN &KHFN ± $OORZV \RX WR HQDEOH RU GLVDEOH WKH IHDWXUH LQ ZKLFK WKH 9
OLQN FRQWLQXLW\ LV SHULRGLFDOO\ YHULILHG &RQWLQXLW\ LV YHULILHG E\ VHQGLQJ PHVVDJHV WR WKH
'LJLWDO ,QWHUIDFH 8QLW ',8 DQG PRQLWRULQJ IRU DFWLYLW\ IURP WKH ',8
ƕ (QDEOHG YHULILHV WKH 9 OLQN
ƕ 'LVDEOHG GRHV QRW YHULI\ WKH OLQN
,QIUDVWUXFWXUH 7LPHRXW ± 6HOHFW (QDEOHG WR DOORZ D WLPH OLPLWDWLRQ IRU LQIUDVWUXFWXUHVRXUFHG
WUDQVPLVVLRQ ,I WKLV ILHOG LV VHW WR 'LVDEOHG WKH ,QIUDVWUXFWXUH 7LPHRXW 7LPHU
ILHOG LV VHW WR LWV GHIDXOW YDOXH DQG JUD\HG RXW
,QIUDVWUXFWXUH 7LPHRXW 7LPHU VHF ± 7KLV ILHOG DOORZV \RX WR VHW WKH PD[LPXP WLPH
DOORZHG IRU WKH LQIUDVWUXFWXUHVRXUFHG WUDQVPLVVLRQ 7KH UDQJH LV WR ZLWK D GHIDXOW
YDOXH RI 7R HGLW WKLV ILHOG WKH ,QIUDVWUXFWXUH 7LPHRXW PXVW EH (QDEOHG
,QIUDVWUXFWXUH 'DWD 'URS 2XW 'HOD\ ± 6HOHFW (QDEOHG WR DOORZ D KDQJ WLPH IROORZLQJ
WUDQVPLVVLRQ RI DQ LQIUDVWUXFWXUHRULJLQDWHG GDWD SDFNHW ,I WKLV ILHOG LV VHW WR 'LVDEOHG
WKH ,QIUDVWUXFWXUH 'DWD 'URS 2XW 'HOD\ 7LPHU ILHOG LV JUD\HG RXW
,QIUDVWUXFWXUH 'DWD 'URS 2XW 'HOD\ 7LPHU VHF ± 7KLV ILHOG DOORZV \RX WR VSHFLI\ WKH
KDQJ WLPH LQ VHFRQGV IROORZLQJ DQ LQIUDVWUXFWXUHRULJLQDWHG GDWD SDFNHW WUDQVPLVVLRQ
7KH UDQJH LV WR VHFRQGV ZLWK D GHIDXOW YDOXH RI VHFRQGV
3$ -XO\

8VLQJ 9R\HQFH&RQWURO WR &RQILJXUH &HQWUDOL]HG $XWKHQWLFDWLRQ RQ 'HYLFHV &KDSWHU *75 %DVH 5DGLR &RQILJXUDWLRQ
=RQH &RUH /LQN 0LQLPXP -LWWHU %XIIHU PVHF ± 6HOHFW D YDOXH LQ PLOOLVHFRQGV DV WKH
PLQLPXP MLWWHU EXIIHU WLPH IRU )'0$ RXWERXQG DXGLR WR DFFRXQW IRU QHWZRUN MLWWHU RQ WKH
DUULYLQJ ;,6 SDFNHWV 5DQJH LV WR PLOOLVHFRQGV LQ PVHF LQWHUYDOV
*75 &RQILJXUDWLRQ ± 6SHFLILHV WKH FRQILJXUDWLRQ RI WKH EDVH UDGLR
&KRRVH *75 %DVH 5DGLR 6WDQGDORQH
6\VWHP *DLQ G% ± 7RWDO 6\VWHP *DLQ EDVHG RQ WKH VHWWLQJ RI WKH *75 &RQILJXUDWLRQ
ILHOG )RU D VWDQGDORQH EDVH UDGLR FDOFXODWH WKH V\VWHP JDLQ DQG HQWHU LQWR WKLV ILHOG
'16 6HUYLFH &RQILJXUDWLRQ

6HH 3URFHGXUH +RZ WR &RQILJXUH '16 8VLQJ &66 RQ SDJH

IRU WKH EDVH UDGLR
8VLQJ 9R\HQFH&RQWURO WR &RQILJXUH &HQWUDOL]HG

$XWKHQWLFDWLRQ RQ 'HYLFHV
7KLV VHFWLRQ SURYLGHV WKH SURFHVV IRU FRQILJXULQJ FHQWUDOL]HG DXWKHQWLFDWLRQ RQ GHYLFHV XVLQJ WKH
9R\HQFH&RQWURO FRPSRQHQW RI 0RWRUROD
V 8QLILHG 1HWZRUN &RQILJXUDWRU 81& DSSOLFDWLRQ
'HYLFH &RQILJXUDWLRQ 3URFHVV 8VLQJ 9R\HQFH&RQWURO

)ROORZ 3URFHVV WR FRQILJXUH WKH GHYLFH XVLQJ 9R\HQFH&RQWURO 7KLV GRHV QRW DSSO\
IRU D V\VWHP ZLWK D .. PDVWHU VLWH
3$ -XO\

*75 %DVH 5DGLR &RQILJXULQJ 7[ 3RZHU 9DOXHV DQG %DWWHU\ 7\SH
3URFHVV 'HYLFH &RQILJXUDWLRQ 3URFHVV 8VLQJ 9R\HQFH&RQWURO
&RQILJXUH 'RPDLQ 1DPH 6HUYLFH '16 RQ WKH GHYLFH 6HH &KDSWHU ³&RQILJXULQJ '16 RQ
5) 6LWH DQG 930 'HYLFHV 8VLQJ 9R\HQFH&RQWURO´ LQ WKH $XWKHQWLFDWLRQ 6HUYLFHV PDQXDO
&RQILJXUH $XWKHQWLFDWLRQ 6RXUFHV IRU WKH GHYLFH 6HH &KDSWHU ³&RQILJXULQJ $XWKHQWLFDWLRQ
6RXUFHV IRU 5) 6LWH DQG 930 'HYLFHV 8VLQJ 9R\HQFH&RQWURO LQ WKH $XWKHQWLFDWLRQ 6HUYLFHV
PDQXDO
&RQILJXUH 5$',86 SDUDPHWHUV IRU WKH GHYLFH 6HH &KDSWHU ³&RQILJXULQJ 5DGLXV 3DUDPHWHUV
IRU 5) 6LWH DQG 930 'HYLFHV 8VLQJ 9R\HQFH&RQWURO´ LQ WKH $XWKHQWLFDWLRQ 6HUYLFHV PDQXDO
6HW WKH /RFDO &DFKH 6L]H IRU &HQWUDOL]HG $XWKHQWLFDWLRQ IRU WKH GHYLFH 6HH &KDSWHU
³6HWWLQJ WKH /RFDO &DFKH 6L]H IRU &HQWUDO $XWKHQWLFDWLRQ RQ 5) 6LWH DQG 930 'HYLFHV 8VLQJ
9R\HQFH&RQWURO´ LQ WKH $XWKHQWLFDWLRQ 6HUYLFHV PDQXDO
(QDEOH'LVDEOH &HQWUDOL]HG $XWKHQWLFDWLRQ IRU WKH GHYLFH 6HH &KDSWHU ³(QDEOLQJ'LVDEOLQJ
&HQWUDOL]HG $XWKHQWLFDWLRQ RQ 5) 6LWH DQG 930 'HYLFHV 8VLQJ 9R\HQFH&RQWURO´ LQ WKH
(QDEOH'LVDEOH &HQWUDOL]HG (YHQW /RJJLQJ IRU WKH GHYLFH 6HH &KDSWHU ³(QDEOLQJ'LVDEOLQJ
&HQWUDOL]HG (YHQW /RJJLQJ RQ 5) 6LWH 'HYLFHV DQG 930
V 8VLQJ 9R\HQFH&RQWURO´ LQ WKH
&RQILJXULQJ 7[ 3RZHU 9DOXHV DQG %DWWHU\ 7\SH

$V SDUW RI WKH VLWH FRQILJXUDWLRQ SURFHVV \RX QHHG WR VHOHFW \RXU %DWWHU\ 7\SH DQG 7[ 3RZHU /HYHO
%DWWHU\ %DFNXS RQ WKH +DUGZDUH &RQILJXUDWLRQ WDE LQ &RQILJXUDWLRQ6HUYLFH 6RIWZDUH &66
<RX FDQ DOVR XVH WKLV +DUGZDUH &RQILJXUDWLRQ WDE WR VHW 7[ 3RZHU 2XW
<RX ZLOO QHHG WR ORFDWH WKH ,3 DGGUHVV IRU WKH EDVH UDGLR EHIRUH SHUIRUPLQJ WKLV SURFHGXUH
3URFHGXUH +RZ WR &RQILJXUH 7[ 3RZHU 9DOXHV DQG %DWWHU\ 7\SH IRU
*75 %DVH 5DGLR &RQILJXUDWLRQV
2SHQ &RQILJXUDWLRQ6HUYLFH 6RIWZDUH &66

&RQQHFW WR WKH GHYLFH WKURXJK DQ (WKHUQHW SRUW OLQN DQG WKHQ UHDG WKH FRQILJXUDWLRQ ILOH IURP
WKH GHYLFH 6HH ³&RQQHFWLQJ 7KURXJK DQ (WKHUQHW 3RUW /LQN´
6HOHFW 5HDG &RQILJXUDWLRQ IURP 'HYLFH IURP WKH )LOH PHQX
6HOHFW &RQILJXUDWLRQ IURP WKH QDYLJDWLRQ WUHH LQ WKH OHIW SDQH
3$ -XO\

6HWWLQJ 50& 6\VWHP *DLQ &KDSWHU *75 %DVH 5DGLR &RQILJXUDWLRQ
3URFHGXUH +RZ WR &RQILJXUH 7[ 3RZHU 9DOXHV DQG %DWWHU\ 7\SH IRU *75 %DVH 5DGLR
&RQILJXUDWLRQV &RQWLQXHG
6HOHFW WKH +DUGZDUH &RQILJXUDWLRQ WDE LQ WKH ULJKW SDQH
(QWHU D YDOXH LQ WKH ILHOG ODEHOHG 7[ 3RZHU 2XW :DWWV LQ WKH ULJKW SDQH
(QWHU D YDOXH LQ WKH ILHOG ODEHOHG 7[ 3RZHU /HYHO %DWWHU\ %DFNXS :DWWV LQ WKH ULJKW SDQH
6HOHFW \RXU %DWWHU\ 7\SH PDQXIDFWXUHU DQG PRGHO RU VHOHFW WKH JHQHULF OLVWLQJ IRU \RXU
FODVV RI EDWWHU\
6DYH \RXU FRQILJXUDWLRQ WR DQ DUFKLYH RQ \RXU ORFDO RU QHWZRUN GULYH E\ VHOHFWLQJ 6DYH RU
6DYH $V IURP WKH )LOH PHQX
6DYH \RXU FRQILJXUDWLRQ WR WKH EDVH UDGLR
V QRQYRODWLOH PHPRU\ E\ VHOHFWLQJ :ULWH
&RQILJXUDWLRQ WR 'HYLFH IURP WKH )LOH PHQX
5HVXOW
7KH V\VWHP XVHV WKH YDOXHV \RX HQWHUHG
6HWWLQJ 50& 6\VWHP *DLQ

7KH 50& V\VWHP JDLQ PXVW EH VHW XS DFFRUGLQJ WR \RXU *75 %DVH 5DGLR FRQILJXUDWLRQ 3URFHGXUH
SURYLGHV LQVWUXFWLRQV IRU VHWWLQJ XS V\VWHP JDLQ XVLQJ &RQILJXUDWLRQ6HUYLFH 6RIWZDUH &66
)RU VWDQGDORQH EDVH UDGLRV \RX PXVW FDOFXODWH DQG HQWHU D YDOXH IRU V\VWHP JDLQ
&DOFXODWH WKH V\VWHP JDLQ IURP WKH UHFHLYHU PXOWLFRXSOHU LQSXW WR WKH EDVH UDGLR
5[ LQSXW ,I WKHUH LV QR PXOWLFRXSOHU HQWHU ]HUR
<RX ZLOO QHHG WR ORFDWH WKH ,3 DGGUHVV IRU WKH EDVH UDGLR EHIRUH SHUIRUPLQJ WKLV SURFHGXUH
3URFHGXUH +RZ WR 6HW *75 50& 6\VWHP *DLQ
2SHQ &RQILJXUDWLRQ6HUYLFH 6RIWZDUH &66

&RQQHFW WR WKH GHYLFH WKURXJK DQ (WKHUQHW SRUW OLQN DQG WKHQ UHDG WKH FRQILJXUDWLRQ ILOH IURP
WKH GHYLFH 6HH ³&RQQHFWLQJ 7KURXJK DQ (WKHUQHW 3RUW /LQN´
6HOHFW 5HDG &RQILJXUDWLRQ IURP 'HYLFH IURP WKH )LOH PHQX
6HOHFW &RQILJXUDWLRQ IURP WKH QDYLJDWLRQ WUHH LQ WKH OHIW SDQH
3$ -XO\

*75 %DVH 5DGLR 6HWWLQJ 50& 6\VWHP *DLQ
3URFHGXUH +RZ WR 6HW *75 50& 6\VWHP *DLQ &RQWLQXHG
6HOHFW WKH 5HFHLYH 0XOWLFRXSOHU 50& &RQILJXUDWLRQ WDE LQ WKH ULJKW SDQH
6HOHFW \RXU FRQILJXUDWLRQ XVLQJ WKH ILHOGV LQGLFDWHG LQ 7DEOH
5HVXOW )RU D 6WDQGDORQH %DVH 5DGLR \RX PXVW HQWHU D G% YDOXH LQ WKH 6\VWHP *DLQ ILHOG
6DYH \RXU 50& FRQILJXUDWLRQ WR DQ DUFKLYH RQ \RXU ORFDO RU QHWZRUN GULYH E\ VHOHFWLQJ
6DYH RU 6DYH $V IURP WKH )LOH PHQX
6DYH \RXU 50& FRQILJXUDWLRQ WR WKH EDVH UDGLR
V QRQYRODWLOH PHPRU\ E\ VHOHFWLQJ :ULWH
&RQILJXUDWLRQ WR 'HYLFH IURP WKH )LOH PHQX
5HVXOW
7KH UHVXOWLQJ V\VWHP JDLQ LV DXWRPDWLFDOO\ XVHG E\ WKH 50&V ,Q DGGLWLRQ DQ DSSURSULDWH
WUDQVFHLYHU DWWHQXDWLRQ LV DXWRPDWLFDOO\ FDOFXODWHG VDYHG LQ WKH FRQILJXUDWLRQ ILOH DQG XVHG
7DEOH VKRZV ZKDW WR VHOHFW RQ WKH 50& &RQILJXUDWLRQ WDE LQ )LJXUH ,W DOVR GLVSOD\V WKH UHVXOWLQJ
YDOXHV WKDW &66 ZLOO GLVSOD\ LQ WKH 6\VWHP *DLQ ILHOG DQG LQFOXGH LQ WKH 50& FRQILJXUDWLRQ VHWWLQJV
7DEOH 50& 6\VWHP *DLQ IRU *75 %DVH 5DGLR &RQILJXUDWLRQV
:KDW WR VHOHFW RQ
<RXU &RQILJ 5HVXOWLQJ
&RQILJXUDWLRQ6HUYLFH 6RIWZDUH &66
XUDWLRQ 6\VWHP *DLQ
5HFHLYH 0XOWLFRXSOHU 50& &RQILJXUDWLRQ WDE
6WDQGDORQH 8VHU HQWHUV WKH
*75 &RQILJXUDWLRQ ILHOG
%DVH 5DGLR YDOXH
6HOHFW *75 %DVH 5DGLR 6WDQGDORQH
)LJXUH &66 50& &RQILJXUDWLRQ WDE ZLWK *75 6WDQGDORQH 6HOHFWHG
3$ -XO\

6HWWLQJ 50& 6\VWHP *DLQ &KDSWHU *75 %DVH 5DGLR &RQILJXUDWLRQ
3$ -XO\

&KDSWHU

*75 %DVH 5DGLR 0DLQWHQDQFH
7KLV FKDSWHU GHVFULEHV SHULRGLF PDLQWHQDQFH SURFHGXUHV UHODWLQJ WR WKH *75 %DVH 5DGLR
)DQ *ULOO &OHDQLQJ ,QVWUXFWLRQV

,I WKH VWDWLRQ HTXLSPHQW LV LQVWDOOHG LQ D SDUWLFXODUO\ GXVW\ HQYLURQPHQW SUHFDXWLRQV PXVW EH WDNHQ
WR ILOWHU WKH DLU XVHG IRU IRUFHG FRROLQJ RI WKH VWDWLRQ ([FHVVLYH GXVW GUDZQ DFURVV DQG LQWR
WKH VWDWLRQ FLUFXLW PRGXOHV E\ WKH FRROLQJ IDQV FDQ DGYHUVHO\ DIIHFW KHDW GLVVLSDWLRQ DQG FLUFXLW
RSHUDWLRQ ,Q VXFK LQVWDOODWLRQ EH VXUH WR FOHDQ RU UHSODFH H[WHUQDO ILOWHULQJ GHYLFHV SHULRGLFDOO\
,I GXVW KDV DFFXPXODWHG RQ WKH IDQ JULOOV FOHDQLQJ RI WKH IDQ JULOOV LV UHFRPPHQGHG :KHQ FOHDQLQJ
FDUH VKRXOG EH WDNHQ WR SUHYHQW GXVW IURP EHLQJ SXOOHG LQWR WKH PRGXOHV ,W LV UHFRPPHQGHG
WKDW D GDPS FORWK EH XVHG WR ZLSH WKH IURQW RI WKH IDQ JULOOV :KHQ UHPRYLQJ WKH SRZHU
VXSSO\ PDNH VXUH WKDW WKH XQLW LV WXUQHG RII EHIRUH SURFHHGLQJ
3$ -XO\

$OLJQLQJ WKH ,QWHUQDO )UHTXHQF\ 5HIHUHQFH 2VFLOODWRU &KDSWHU *75 %DVH 5DGLR 0DLQWHQDQFH
$OLJQLQJ WKH ,QWHUQDO )UHTXHQF\ 5HIHUHQFH 2VFLOODWRU

7KH WUDQVFHLYHU RSWLRQ FDUG LQWHUQDO IUHTXHQF\ UHIHUHQFH RVFLOODWRU LQ D FRQYHQWLRQDO

*75 %DVH 5DGLR PXVW EH DOLJQHG
8SRQ LQVWDOODWLRQ RI WKH FRQYHQWLRQDO EDVH UDGLR IRU DOO EDQGV
2QFH HYHU\ WZR \HDUV DIWHU LQVWDOODWLRQ IRU 0+] V\VWHPV
2QFH HYHU\ ILYH \HDUV DIWHU LQVWDOODWLRQ IRU 8+) V\VWHPV
9+) V\VWHPV GR QRW UHTXLUH DOLJQPHQW DIWHU LQLWLDO LQVWDOODWLRQ
6HH ³$OLJQLQJ WKH ,QWHUQDO )UHTXHQF\ 5HIHUHQFH 2VFLOODWRU´ LQ WKH 2SWLPL]DWLRQ

FKDSWHU IRU WKH DOLJQPHQW SURFHGXUHV
3$ -XO\

&KDSWHU

*75 %DVH 5DGLR 2SHUDWLRQ
7KLV FKDSWHU GHWDLOV WDVNV WKDW \RX ZLOO SHUIRUP RQFH WKH *75 %DVH 5DGLR LV
LQVWDOOHG DQG RSHUDWLRQDO RQ \RXU V\VWHP
%DVH 5DGLR 2SHUDWLRQDO 6WDWHV )RU 7UXQNHG 6LPXOFDVW

$ *75 %DVH 5DGLR FDQ EH LQ RQH RI IRXU RSHUDWLRQDO VWDWHV

6WDQGE\
,GOH
$VVLJQHG
,VRODWHG
'XULQJ LQLWLDOL]DWLRQ WKH EDVH UDGLR SRZHUV XS LQWR WKH VWDQGE\ VWDWH DQG ZDLWV IRU D VWDWXV SDFNHW IURP WKH
FRPSDUDWRU $IWHU LQLWLDO FRQWDFW ZLWK WKH FRPSDUDWRU KDV EHHQ PDGH WKH EDVH UDGLR ZLOO HQWHU LGOH PRGH
DQG VHQG D VWDWXV PHVVDJH EDFN WR WKH FRPSDUDWRU LQGLFDWLQJ WKDW LW LV UHDG\ IRU DVVLJQPHQW 7KH FRPSDUDWRU
ZLOO WKHQ UHVSRQG ZLWK D FKDQQHO JUDQW PHVVDJH DQG WKH EDVH UDGLR ZLOO EH HQDEOHG IRU VHUYLFH
$IWHU D EDVH UDGLR KDV EHHQ DVVLJQHG LW FDQ EHJLQ WR KDQGOH LQERXQGRXWERXQG WUDIILF ,Q WKH FDVH ZKHUH WKH
EDVH UDGLR IDLOV WR UHFHLYH D QXPEHU RI FRQVHFXWLYH VWDWXV SDFNHWV IURP WKH FRPSDUDWRU WKH EDVH UDGLR ZLOO
HQWHU LVRODWHG PRGH DQG GHNH\ 7KLV LVRODWHG PRGH LV UHSRUWHG LQ WKH 8QLILHG (YHQW 0DQDJHU
,I WKH EDVH UDGLR EHFRPHV RSHUDWLRQDO DJDLQ DQG UHFHLYHV VWDWXV SDFNHWV IURP WKH FRPSDUDWRU LW
ZLOO DJDLQ UHSO\ ZLWK D FKDQQHO VWDWXV PHVVDJH 7KH FRPSDUDWRU PD\ WKHQ UHVSRQG ZLWK D FKDQQHO
JUDQW DQG WKH EDVH UDGLR ZLOO EHFRPH HQDEOHG IRU VHUYLFH DJDLQ
3$ -XO\

%DVH 5DGLR 2SHUDWLRQDO 6WDWHV IRU +3' &KDSWHU *75 %DVH 5DGLR 2SHUDWLRQ
%DVH 5DGLR 2SHUDWLRQDO 6WDWHV IRU +3'

$ *75 %DVH 5DGLR FDQ EH LQ RQH RI IRXU RSHUDWLRQDO VWDWHV

6WDQGE\
,GOH
$VVLJQHG
,VRODWHG
'XULQJ LQLWLDOL]DWLRQ WKH EDVH UDGLR SRZHUV XS LQWR WKH VWDQGE\ VWDWH DQG ZDLWV IRU D VWDWXV SDFNHW IURP
WKH VLWH FRQWUROOHU $IWHU LQLWLDO FRQWDFW ZLWK WKH VLWH FRQWUROOHU KDV EHHQ PDGH WKH EDVH UDGLR ZLOO HQWHU
LGOH PRGH DQG VHQG D VWDWXV PHVVDJH EDFN WR WKH VLWH FRQWUROOHU LQGLFDWLQJ WKDW LW LV UHDG\ IRU DVVLJQPHQW
7KH VLWH FRQWUROOHU ZLOO WKHQ UHVSRQG ZLWK D FKDQQHO JUDQW PHVVDJH DQG WKH EDVH UDGLR ZLOO EH HQDEOHG
IRU VHUYLFH ,I WKH EDVH UDGLR KDV D JUHDWHU KRPH FKDQQHO SUHIHUHQFH VHWWLQJ WKDQ RWKHU EDVH UDGLRV DW WKH
VLWH WKHQ WKH ]RQH FRQWUROOHU ZLOO DVVLJQ WKH EDVH UDGLR DV WKH KRPH FKDQQHO DW WKH VLWH
$IWHU D EDVH UDGLR KDV EHHQ DVVLJQHG LW FDQ EHJLQ WR KDQGOH LQERXQGRXWERXQG WUDIILF ,Q WKH FDVH ZKHUH WKH
EDVH UDGLR IDLOV WR UHFHLYH D QXPEHU RI FRQVHFXWLYH VWDWXV SDFNHWV IURP WKH VLWH FRQWUROOHU WKH EDVH UDGLR ZLOO
HQWHU LVRODWHG PRGH DQG GHNH\ 7KLV LVRODWHG PRGH LV UHSRUWHG LQ WKH 8QLILHG (YHQW 0DQDJHU
,I WKH EDVH UDGLR EHFRPHV RSHUDWLRQDO DJDLQ DQG UHFHLYHV VWDWXV SDFNHWV IURP WKH VLWH FRQWUROOHU
LW ZLOO DJDLQ UHSO\ ZLWK D FKDQQHO VWDWXV PHVVDJH 7KH VLWH FRQWUROOHU PD\ WKHQ UHVSRQG ZLWK D
FKDQQHO JUDQW DQG WKH EDVH UDGLR ZLOO EHFRPH HQDEOHG IRU VHUYLFH DJDLQ
%DVH 5DGLR 2SHUDWLRQDO 6WDWHV IRU &RQYHQWLRQDO

$ *75 %DVH 5DGLR FDQ EH LQ RQH RI WZR RSHUDWLRQDO VWDWHV

6WDQGE\5HFHLYLQJ
7UDQVPLW
'XULQJ LQLWLDOL]DWLRQ WKH EDVH UDGLR SRZHUV XS LQWR WKH VWDQGE\UHFHLYLQJ VWDWH DQG LV HQDEOHG
IRU VHUYLFH 7KH EDVH UDGLR OLVWHQV IRU DQ\ UHFHLYHG WUDQVPLVVLRQV
$IWHU WKH EDVH UDGLR KDV UHFHLYHG D WUDQVPLVVLRQ LW FDQ WKHQ NH\XS DQG WUDQVPLW
7KH *3: 5HFHLYHU GRHV QRW WUDQVPLW
3$ -XO\

*75 %DVH 5DGLR 3DFNHW 'DWD LQWHUDFWLRQV ZLWK 0XOWLSOH 1$&¶V
3DFNHW 'DWD LQWHUDFWLRQV ZLWK 0XOWLSOH 1$&¶V

,I D EDVH UDGLR VXSSRUWV PXOWLSOH 1$&¶V VXFK DV ZKHQ XVLQJ WKH FRPPXQLW\ EDVH UDGLR IHDWXUH )))(
LQ DGGLWLRQ WR D GHIDXOW 1$& LQERXQG GDWD FDQ EH UHFHLYHG RQ DQ\ LQFRPLQJ 1$& DQG LV IRUZDUGHG WR LWV
GHVWLQDWLRQ 2XWERXQG GDWD LV RQO\ WUDQVPLWWHG WR WKH GHIDXOW 1$& 2XWERXQG GDWD FDQQRW EH URXWHG WR
D VHOHFWHG 1$& LW LV DOZD\V VHQW RQ WKH GHIDXOW 1$& 5HSHDWHG GDWD LV RQO\ WUDQVPLWWHG RQ WKH GHIDXOW
1$& DQG GRHV QRW IROORZ WKH LQERXQG 1$& ZKHQ FRPPXQLW\ UHSHDWHU )) LV EHLQJ XVHG
6XSSOHPHQWDU\ 6LJQDOLQJ LQWHUDFWLRQV ZLWK 0XOWLSOH 1$&¶V

,I D EDVH UDGLR VXSSRUWV PXOWLSOH 1$&¶V VXFK DV ZKHQ XVLQJ WKH FRPPXQLW\ EDVH UDGLR IHDWXUH )))(
LQ DGGLWLRQ WR D GHIDXOW 1$& LQERXQG VXSSOHPHQWDU\ VLJQDOLQJ FDQ EH UHFHLYHG RQ DQ\ LQFRPLQJ 1$&
DQG LV IRUZDUGHG WR LWV GHVWLQDWLRQ 2XWERXQG VXSSOHPHQWDU\ VLJQDOLQJ LV WUDQVPLWWHG RQ HLWKHU WKH GHIDXOW
1$& RU WKH FXUUHQWO\ VHOHFWHG 1$& LI XVLQJ )))( WKH VDPH WKDW YRLFH ZRXOG EH WUDQVPLWWHG 2XWERXQG
VXSSOHPHQWDU\ VLJQDOLQJ FDQQRW EH URXWHG WR D VHOHFWHG 1$& LW LV DOZD\V VHQW XVLQJ HLWKHU WKH GHIDXOW 1$&
RU WKH VDPH 1$& WKDW YRLFH ZRXOG EH WUDQVPLWWHG RQ DFFRUGLQJ WR )))( IXQFWLRQDOLW\
,OOHJDO &DUULHU 'HWHUPLQDWLRQ )HDWXUH

7KH ,OOHJDO &DUULHU 'HWHUPLQDWLRQ IHDWXUH DOORZV UDGLR FKDQQHOV WR FRQWLQXH RSHUDWLQJ ZLWK V\VWHP
FRQILJXUDEOH OHYHOV RI FKDQQHO LQWHUIHUHQFH ,Q DQ $6752 V\VWHP WKH EDVH UDGLR XVHV 5HFHLYHG
6LJQDO 6WUHQJWK ,QGLFDWRU 566, DQ 5) 7KUHVKROG 9DOXH DQG WKH 0DOIXQFWLRQ 7LPHU 9DOXH WR LPSOHPHQW
WKLV IHDWXUH 7DEOH VXPPDUL]HV ZKHQ DQ LOOHJDO FDUULHU LV GHWHUPLQHG
7DEOH ,OOHJDO &DUULHU 'HWHUPLQDWLRQ
,I WKH FKDQQHO UHFHLYHV D DQG LV DVVLJQHG DQG LV QRW DVVLJQHG

9DOLG 1HWZRUN $FFHVV &RGH 1$& 7KH EDVH UDGLR GRHV QRW FKDQJH VLQFH ,I WKH 5) 7KUHVKROG 9DOXH LV H[FHHGHG
WKH FDUULHU LV FRQVLGHUHG YDOLG WKH EDVH UDGLR HQWHUV WKH ,OOHJDO &DUULHU
VWDWH DQG WKH EDVH UDGLR JHQHUDWHV DQ
,OOHJDO &DUULHU PHVVDJH WR 8(0
,QYDOLG 1HWZRUN $FFHVV &RGH 1$& ,I WKH 5) 7KUHVKROG 9DOXH OHYHO LV H[FHHGHG WKH 0DOIXQFWLRQ 7LPHU 9DOXH LV
25 &DUULHU DFWLYLW\ ZLWKRXW 1$& DFWLYDWHG $IWHU WKH WLPHU H[SLUHV WKH EDVH UDGLR HQWHUV WKH ,OOHJDO &DUULHU VWDWH
DQG WKH EDVH UDGLR JHQHUDWHV DQ ,OOHJDO &DUULHU PHVVDJH WR 8(0
,I WKH LOOHJDO FDUULHU GLVDSSHDUV RU GURSV EHORZ WKH 5) 7KUHVKROG 9DOXH IRU
EXW QRW OHVV WKDQ VHFRQGV RI WKH WLPH SHULRG GHILQHG E\ WKH 0DOIXQFWLRQ 7LPHU
9DOXH DQ HYHQW LV VHQW WR 8(0
3$ -XO\

5) &KDQQHO ,QWHUIHUHQFH 'HWHUPLQDWLRQ )HDWXUH &KDSWHU *75 %DVH 5DGLR 2SHUDWLRQ
5) &KDQQHO ,QWHUIHUHQFH 'HWHUPLQDWLRQ )HDWXUH

7KH 5) &KDQQHO ,QWHUIHUHQFH 'HWHUPLQDWLRQ IHDWXUH DOVR NQRZQ DV LOOHJDO FDUULHU DOORZV UDGLR FKDQQHOV WR
FRQWLQXH RSHUDWLQJ ZLWK V\VWHP FRQILJXUDEOH OHYHOV RI FKDQQHO LQWHUIHUHQFH ,Q DQ $6752 V\VWHP WKH
EDVH UDGLR XVHV 5HFHLYHG 6LJQDO 6WUHQJWK ,QGLFDWRU 566, DQ 5) 7KUHVKROG 9DOXH DQG WKH 0DOIXQFWLRQ
7LPHU 9DOXH WR LPSOHPHQW WKLV IHDWXUH 7DEOH VXPPDUL]HV ZKHQ DQ 5) FKDQQHO LQWHUIHUHQFH LV GHWHUPLQHG
7DEOH 5) &KDQQHO ,QWHUIHUHQFH 'HWHUPLQDWLRQ
,I WKH FKDQQHO UHFHLYHV D DQG LV DVVLJQHG DQG LV QRW DVVLJQHG

9DOLG 1HWZRUN $FFHVV &RGH 1$& 7KH EDVH UDGLR GRHV QRW FKDQJH VLQFH ,I WKH 5) 7KUHVKROG 9DOXH LV H[FHHGHG
WKH FDUULHU LV FRQVLGHUHG YDOLG WKH EDVH UDGLR HQWHUV WKH 5) FKDQQHO
LQWHUIHUHQFH VWDWH DQG WKH EDVH UDGLR
JHQHUDWHV D FKDQQHO LQWHUIHUHQFH
PHVVDJH WR 8(0
,QYDOLG 1HWZRUN $FFHVV &RGH 1$& ,I WKH 5) 7KUHVKROG 9DOXH OHYHO LV H[FHHGHG WKH 0DOIXQFWLRQ 7LPHU 9DOXH
25 &DUULHU DFWLYLW\ ZLWKRXW 1$& LV DFWLYDWHG $IWHU WKH WLPHU H[SLUHV WKH EDVH UDGLR HQWHUV WKH 5) FKDQQHO
LQWHUIHUHQFH VWDWH DQG WKH EDVH UDGLR JHQHUDWHV D FKDQQHO LQWHUIHUHQFH PHVVDJH
WR 8(0
,I WKH 5) FKDQQHO LQWHUIDFH GURSV EHORZ WKH 5) 7KUHVKROG 9DOXH IRU EXW
QRW OHVV WKDQ VHFRQGV RI WKH WLPH SHULRG GHILQHG E\ WKH 0DOIXQFWLRQ 7LPHU
9DOXH DQ HYHQW LV VHQW WR 8(0
,I WKH 5) FKDQQHO LQWHUIHUHQFH GLVDSSHDUV WKH FKDQQHO UHFHLYHV D 9DOLG 1HWZRUN

$FFHVV &RGH 1$& DQ HYHQW LV VHQW WR 8(0
3$ -XO\

&KDSWHU

*75 %DVH 5DGLR 7URXEOHVKRRWLQJ
*75 %DVH 5DGLR WURXEOHVKRRWLQJ UHTXLUHV DQ XQGHUVWDQGLQJ RI KDUGZDUHEDVHG DQG

VRIWZDUHEDVHG GLDJQRVWLFV DV ZHOO DV WHVWLQJ WRROV 6XSSRUW LV DYDLODEOH IURP 0RWRUROD
WR DVVLVW ZLWK DOO VWHSV LQ WKH WURXEOHVKRRWLQJ SURFHVV
7KLV FKDSWHU SURYLGHV IDXOW PDQDJHPHQW DQG WURXEOHVKRRWLQJ LQIRUPDWLRQ UHODWLQJ WR *75 %DVH 5DGLR
*HQHUDO 7URXEOHVKRRWLQJ
7DEOH GHVFULEHV VWHSV IRU JHQHUDO *75 %DVH 5DGLR WURXEOHVKRRWLQJ
7DEOH *75 %DVH 5DGLR *HQHUDO 7URXEOHVKRRWLQJ
3UREOHP 7URXEOHVKRRWLQJ
*HQHUDO FRQQHFWLYLW\
,I \RX KDYH DFFHVV WR WKH HTXLSPHQW FKHFN WKH /('V WR YHULI\ WKDW HDFK SLHFH
SUREOHPV
RI HTXLSPHQW LV FRQQHFWHG DQG RSHUDWLRQDO 6HH ³/('V´ LQ WKH 5HIHUHQFH VHFWLRQ
RI WKH GRFXPHQWDWLRQ
,Q &66 FKHFN WKH FRQGLWLRQ RI WKH EDVH UDGLR DQG DOO DVVRFLDWHG GHYLFHV DQG OLQNV
9HULI\ WKH FRQILJXUDWLRQ RI WKH EDVH UDGLR WKURXJK &66 9HULI\ WKDW WKH ,3 DGGUHVV
IRU WKH EDVH UDGLR LV FRUUHFW ,Q &66 VHQG D GLDJQRVWLF FRPPDQG WR HQDEOH WKH EDVH
UDGLR
9HULI\ WKDW WKH '16 +RVWQDPH IRU WKH EDVH UDGLR LV FRUUHFW ,I WKH '16 +RVWQDPH
ZDV LQFRUUHFW DQG WKHQ FRUUHFWHG IXUWKHU FRUUHFWLRQV PD\ EH QHHGHG RQ WKH '16
VHUYHU 81& DQG 8(0 6HH WKH 7URXEOHVKRRWLQJ FKDSWHU LQ WKH $XWKHQWLFDWLRQ
6HUYLFHV PDQXDO
9HULI\ WKDW WKH SK\VLFDO FDEOLQJ LV ILUPO\ FRQQHFWHG DQG LQ JRRG FRQGLWLRQ &KHFN
IRU DQ\ VKDUS EHQGV RU NLQNV LQ FDEOLQJ 7HVW VXVSHFWHG FDEOLQJ IRU QRLVH FRQWLQXLW\
DWWHQXDWLRQ DQG FURVVWDON 5HSODFH WKH FDEOLQJ LI QHFHVVDU\
5XQ SLQJ WUDFHURXWH SDWKSLQJ DQG RWKHU QHWZRUN DGPLQLVWUDWLRQ FRPPDQGV
WR LGHQWLI\ DQ\ OLQN RU LQWHUPHGLDWH GHYLFHV VZLWFK RU URXWHUV ZLWK KLJK ODWHQF\
RU FRQQHFWLRQ SUREOHPV
3$ -XO\

7URXEOHVKRRWLQJ 7RROV &KDSWHU *75 %DVH 5DGLR 7URXEOHVKRRWLQJ
7DEOH *75 %DVH 5DGLR *HQHUDO 7URXEOHVKRRWLQJ &RQWLQXHG

3UREOHP 7URXEOHVKRRWLQJ
,I WKH FRQQHFWLRQ IDLOV WR RSHUDWH QRUPDOO\ VHQG D UHVWDUW FRPPDQG WR WKH EDVH
UDGLR WKURXJK &66 &RQVLGHU F\FOLQJ SRZHU WR WKH EDVH UDGLR LI QHFHVVDU\
,I WKH EDVH UDGLR VWLOO IDLOV WR RSHUDWH SURSHUO\ FUHDWH D EDFNXS RI WKH FXUUHQW
FRQILJXUDWLRQ WKHQ UHLQVWDOO WKH VRIWZDUH DQG UHFRQILJXUH WKH EDVH UDGLR
5HSODFH WKH EDVH UDGLR LI QHFHVVDU\
'HYLFH ZLOO QRW SRZHU XS
,I \RX KDYH DFFHVV WR WKH HTXLSPHQW FKHFN WKH /('V WR GHWHUPLQH ZKLFK
HTXLSPHQW LV FRQQHFWHG DQG RSHUDWLRQDO 6HH ³/('V´ LQ WKH 5HIHUHQFH VHFWLRQ RI
WKH GRFXPHQWDWLRQ
,Q &66 FKHFN WKH DODUPV IRU WKH EDVH UDGLR
&KHFN WKH SRZHU FDEOLQJ DQG YHULI\ WKDW WKH SRZHU VRXUFH IRU WKH EDVH UDGLR LV
VXSSO\LQJ WKH DSSURSULDWH YROWDJH 7U\ FRQQHFWLQJ WKH EDVH UDGLR WR DQRWKHU SRZHU
VRXUFH RU UHSODFH WKH SRZHU FDEOLQJ LI QHFHVVDU\
&KHFN DOO SRZHU VRXUFHV DV WKHUH PD\ EH PRUH WKDQ RQH

&KHFN IRU DQ\ SK\VLFDO GDPDJH WR WKH PRGXOHV DQG FKHFN ZKHWKHU WKH PRGXOHV
ZHUH SURSHUO\ JURXQGHG
5HSODFH DQ\ GHIHFWLYH PRGXOHV
'HYLFH LV LQ D FRQWLQXRXV $VVXUH UHIHUHQFH LQSXWV DUH FRQQHFWHG WR WKH DSSURSULDWH LQSXW
UHVHW VWDWH
7URXEOHVKRRWLQJ 7RROV
%HORZ LV WKH LQIRUPDWLRQ QHHGHG IRU YLHZLQJ DQG PRQLWRULQJ HTXLSPHQW DQG
WURXEOHVKRRWLQJ VXVSHFWHG SUREOHPV
³/('V´ LQ WKH 5HIHUHQFH VHFWLRQ
8VLQJ 8QLILHG (YHQW 0DQDJHU WR 0RQLWRU /LQNV DQG &RPSRQHQWV
026&$' 1HWZRUN )DXOW 0DQDJHPHQW 1)0
8VLQJ 8QLILHG 1HWZRUN &RQILJXUDWRU IRU *75 %DVH 5DGLR 7URXEOHVKRRWLQJ
8VLQJ &RQILJXUDWLRQ6HUYLFH 6RIWZDUH &66 IRU *75 %DVH 5DGLR 7URXEOHVKRRWLQJ
,Q DGGLWLRQ WKH IROORZLQJ LQIRUPDWLRQ LV SURYLGHG LQ WKLV GRFXPHQWDWLRQ IRU WHVWLQJ V\VWHP SHUIRUPDQFH
3$ -XO\

*75 %DVH 5DGLR 8VLQJ 8QLILHG (YHQW 0DQDJHU WR 0RQLWRU /LQNV DQG &RPSRQHQWV
³4XLFN &RQQHFW 5) &RD[LDO $GDSWHUV IRU *75 %DVH 5DGLR 6XS
SRUW´ LQ WKH ,QVWDOODWLRQ FKDSWHU
8VLQJ 8QLILHG (YHQW 0DQDJHU WR 0RQLWRU /LQNV DQG &RPSRQHQWV

8VH 8QLILHG (YHQW 0DQDJHU 8(0 WR PRQLWRU FULWLFDO OLQNV DQG FRPSRQHQWV LQ WKH V\VWHP 0RQLWRULQJ
PD\ WDNH SODFH UHPRWHO\ IURP D FHQWUDO RSHUDWLRQV FHQWHU 7ZR W\SHV RI PRQLWRULQJ LQFOXGH
5HDOWLPH PRQLWRULQJ RI 8(0 7RSRORJ\ 0DSV ZKLFK DOHUW \RX RI IDXOWV DV WKH\ RFFXU
(YDOXDWLRQ RI 8(0 $FWLYH $ODUPV :LQGRZ RQ D UHJXODUO\ VFKHGXOHG EDVLV
$QDO\]LQJ 8QLILHG (YHQW 0DQDJHU $FWLYH $ODUPV :LQGRZ

7KH 8QLILHG (YHQW 0DQDJHU 8(0 $FWLYH $ODUPV :LQGRZ LV XVHIXO IRU WURXEOHVKRRWLQJ EHFDXVH LW FDSWXUHV
DODUPV WKDW PD\ RFFXU LQWHUPLWWHQWO\ RU GXULQJ RIIKRXUV )RU H[DPSOH \RX FDQ UHYLHZ WKH $FWLYH $ODUPV
:LQGRZ WR FRUUHODWH UHSRUWHG ORVV RI VHUYLFH ZLWK SDWWHUQV RI FULWLFDO DODUPV IRU OLQNV DQG HTXLSPHQW
:KHQ DQDO\]LQJ WKH $FWLYH $ODUPV :LQGRZ ORRN IRU WKH IROORZLQJ W\SHV RI SDWWHUQV
)DLOXUHV VHQW ZLWK WLPH VWDPSV RQ RU DERXW WKH VDPH WLPH
)DLOXUHV IURP UHODWHG HTXLSPHQW
ƕ &DUGV LQ WKH VDPH GHYLFH
ƕ (TXLSPHQW WKDW LV SDUW RI WKH VDPH VXEV\VWHP
0DQ\ GHYLFHV DUH FDSDEOH RI VHQGLQJ RXW HYHQWV WKDW UHSRUW ERWK FULWLFDO DQG QRQFULWLFDO HYHQWV
/HDUQ WR GLVWLQJXLVK EHWZHHQ FULWLFDO DQG QRQFULWLFDO HYHQWV
6HH WKH 8(0 2QOLQH +HOS PDQXDO IRU IXUWKHU GHWDLOV
'LDJQRVWLF 2SWLRQV LQ 8(0
7DEOH VXPPDUL]HV WKH EDVH UDGLR GLDJQRVWLF RSWLRQV

7DEOH %DVH 5DGLR 'LDJQRVWLF 2SWLRQV LQ 8(0
2SWLRQ 'HVFULSWLRQ
5HVWDUW 5HTXHVWV WKDW WKH EDVH UDGLR SHUIRUP D UHVHW
6HUYLFH 5HTXHVWV WKDW WKH EDVH UDGLR HQWHUV VHUYLFH PRGH DOORZLQJ D
WHFKQLFLDQ WR PDNH DOLJQPHQW DGMXVWPHQWV DQG UXQ RWKHU WHVWV
ZKLOH WKH EDVH UDGLR LV RIIOLQH
(QDEOHG 5HTXHVWV WKDW WKH EDVH UDGLR HQWHU WKH HQDEOHG PRGH DQG KDQGOH
WUDIILF
3$ -XO\

026&$' 1HWZRUN )DXOW 0DQDJHPHQW 1)0 &KDSWHU *75 %DVH 5DGLR 7URXEOHVKRRWLQJ
026&$' 1HWZRUN )DXOW 0DQDJHPHQW 1)0

,I 026&$' 1)0 LV VXSSRUWHG DW WKH VLWH DGGLWLRQDO VWDWXV DQG DODUP LQIRUPDWLRQ IRU WKH
GHYLFHV FDQ EH YLHZHG WKURXJK 026&$' 1)0 )RU YLHZLQJ VWDWXV DQG DODUP LQIRUPDWLRQ IRU
D GHYLFH VHH WKH 026&$' 1HWZRUN )DXOW 0DQDJHPHQW PDQXDO
8VLQJ 8QLILHG 1HWZRUN &RQILJXUDWRU IRU *75 %DVH 5DGLR

7URXEOHVKRRWLQJ
8VH WKH 8QLILHG 1HWZRUN &RQILJXUDWRU 81& WR YHULI\ FRQILJXUDWLRQ GDWD GXULQJ V\VWHP FRPPLVVLRQLQJ
DQG ODWHU ZKHQ \RX PDLQWDLQ RU H[SDQG WKH V\VWHP 8VH 81& WR
9HULI\ FRQILJXUDWLRQ
&RUUHFW FRQILJXUDWLRQ HUURUV
6HH WKH 8QLILHG 1HWZRUN &RQILJXUDWRU PDQXDO IRU IXUWKHU GHWDLOV
8VLQJ &RQILJXUDWLRQ6HUYLFH 6RIWZDUH &66 IRU *75 %DVH

5DGLR 7URXEOHVKRRWLQJ
7KH *75 %DVH 5DGLR FDQ EH ORFDOO\ RU UHPRWHO\ FRQILJXUHG RU VHUYLFHG WKURXJK &RQILJXUDWLRQ6HUYLFH
6RIWZDUH &66 &66 SURYLGHV DFFHVV WR DODUPV VWDWXV LQIRUPDWLRQ DQG FRQILJXUDWLRQ VHWWLQJV IRU WKH EDVH UDGLR
<RX FDQ XVH &66 IRU WKH IROORZLQJ WDVNV ZKLFK PD\ EH XVHIXO ZKHQ WURXEOHVKRRWLQJ WKH EDVH UDGLR 6HH
WKH &66 2QOLQH +HOS IRU VSHFLILF GHWDLOV DQG LQVWUXFWLRQV ZKHQ SHUIRUPLQJ WKHVH WDVNV
(QDEOH DQG GLVDEOH FKDQQHOV DQG VHUYLFHV
9LHZ DQG VDYH D ORJ RI EDVH UDGLR DODUPV
9HULI\ WKH EDVH UDGLR FRQILJXUDWLRQ
*DWKHU WURXEOHVKRRWLQJ LQIRUPDWLRQ WKDW FDQ EH HVFDODWHG WR 0RWRUROD IRU HYDOXDWLRQ
$ODUP /RJ IURP ,QWHUQDO 'LDJQRVWLF 7HVWV

7KH *75 %DVH 5DGLR KDV EHHQ GHVLJQHG ZLWK LQWHUQDO GLDJQRVWLF WHVWV WKDW RFFXU RQ SRZHU XS DQG
UHVHW 'LDJQRVWLF WHVWV DUH DYDLODEOH IRU WKH FRQWURO PRGXOH DQG SRZHU VXSSO\ ,I D SUREOHP RFFXUV GXULQJ
RSHUDWLRQ LW LV UHSRUWHG DV DQ DODUP $OO DODUPV DUH VWRUHG LQ WKH $ODUP /RJ DFFHVVLEOH ZLWK &66 7KH
DODUP ORJ FRQWDLQV WKH QDPH RI WKH GLDJQRVWLF WHVW WKDW IDLOHG DQG WKH WLPH VLQFH WKH ODVW SRZHU XS
5HVHWWLQJ 3DVVZRUGV DQG 6103Y 3DVVSKUDVHV

<RX FDQ HQDEOHGLVDEOH WKH SDVVZRUG UHVHW PHFKDQLVP LQ WKH &66 DSSOLFDWLRQ 6HH WKH &66
2QOLQH +HOS
V ³'HYLFH 6HFXULW\ &RQILJXUDWLRQ 6HFXULW\ 6HUYLFHV 6HULDO´ VFUHHQ IRU LQIRUPDWLRQ
7R REWDLQ WKH NH\V IRU UHVHWWLQJ HLWKHU SDVVZRUG RU 6103Y SDVVSKUDVHV IRU WKH GHYLFH \RX
PXVW FRQWDFW 0RWRUROD 6ROXWLRQV &XVWRPHU 6XSSRUW
3$ -XO\

*75 %DVH 5DGLR 6LWH &RQWUROOHU )DLOXUH ,PSDFW RQ *75 %DVH 5DGLR IRU 7UXQNHG 2SHUDWLRQ
7KH GHIDXOW YDOXHV IRU WKH ORFDO SDVVZRUGV DQG 6103Y SDVVSKUDVHV DV ZHOO DV WKH NH\V IRU
WKH ORFDO SDVVZRUG UHVHW SURFHGXUH PD\ YDU\ E\ V\VWHP UHOHDVH 7KHVH DUH WUHDWHG DV VHQVLWLYH
LQIRUPDWLRQ DQG DUH SURYLGHG WR WKH XVHU WKURXJK VHFXUHG FRPPXQLFDWLRQ
7DEOH /RFDO 3DVVZRUG DQG 6103Y 3DVVSKUDVH 7URXEOHVKRRWLQJ
6103Y
/RFDO
3DVVS 7R 5HVHW 6103Y 7R 5HVHW /RFDO /RJLQ
6FHQDULR 3DVVZRUG
KUDVH 3DVVSKUDVH 3DVVZRUG
.QRZQ
.QRZQ
8VHU LV ORFNHG RXW RI ORFDO 6HH WKH &66 2QOLQH 6HH WKH &66 2QOLQH
ORJLQ EXW NQRZV 6103Y +HOS
V ³6103Y 8VHU +HOS
V ³5HVHWWLQJ 'HYLFH
SDVVSKUDVHV &RQILJXUDWLRQ´ 3DVVZRUGV´
8VHU NQRZV ORFDO ORJLQ 6HH WKH &66 2QOLQH 6HH WKH &66 2QOLQH
EXW QRW WKH 6103Y +HOS
V ³5HVHW 6103Y +HOS
V ³'HYLFH 6HFXULW\
SDVVSKUDVHV &RQILJXUDWLRQ 6HULDO´ &RQILJXUDWLRQ ± 6HFXULW\
6HUYLFHV 6HULDO´
8VHU NQRZV ERWK 6HH WKH &66 2QOLQH 6HH WKH &66 2QOLQH
SDVVSKUDVHV DQG ORFDO +HOS
V ³6103Y 8VHU +HOS
V ³'HYLFH 6HFXULW\
VHUYLFH SDVVZRUG &RQILJXUDWLRQ´ &RQILJXUDWLRQ ± 6HFXULW\
6HUYLFHV 6HULDO´
8VHU GRHV QRW NQRZ &RQWDFW 0RWRUROD 6ROXWLRQV &RQWDFW 0RWRUROD 6ROXWLRQV
6103Y SDVVSKUDVH QRU &XVWRPHU 6XSSRUW &XVWRPHU 6XSSRUW
VHUYLFH DFFRXQW SDVVZRUG
6LWH &RQWUROOHU )DLOXUH ,PSDFW RQ *75 %DVH 5DGLR

IRU 7UXQNHG 2SHUDWLRQ
,I WKH OLQN IDLOV EHWZHHQ WKH EDVH UDGLR DQG WKH VLWH FRQWUROOHU WKH EDVH UDGLR GHNH\V DQG ZLOO QRW
KDQGOH DQ\ 068 WUDIILF 068V ZLOO DWWHPSW WR RSHUDWH RQ DQRWKHU FKDQQHO DW WKH VLWH ,I DQRWKHU
FKDQQHO LV QRW DYDLODEOH WKH 068V ZLOO DWWHPSW WR UHJLVWHU DW DQRWKHU VLWH
)RU +3' RSHUDWLRQ WKH EDVH UDGLR UHFHLYHV H[WHUQDO IUHTXHQF\ UHIHUHQFH DQG QHWZRUN WLPH
V\QFKURQL]DWLRQ IURP WKH DFWLYH VLWH FRQWUROOHU RYHU WKH (WKHUQHW OLQN ,Q WKH HYHQW RI ORVV RI WKH
H[WHUQDO WLPH DQG IUHTXHQF\ UHIHUHQFH VRXUFH WKH EDVH UDGLR ZLOO FRQWLQXH WR PDLQWDLQ LWV RZQ WLPH
DQG IUHTXHQF\ VWDELOLW\ WR FRQWLQXH RSHUDWLRQV IRU D VSHFLILHG DPRXQW RI WLPH ZLWKRXW GHJUDGDWLRQ
$IWHU D SHULRG RI WLPH RSHUDWLRQ ZLOO FRQWLQXH ZLWK PLQLPDO GHJUDGDWLRQ
3$ -XO\

&RQYHQWLRQDO 6LWH &RQWUROOHU )DLOXUH ,PSDFW RQ *75 IRU &RQYHQWLRQDO 2SHUDWLRQ &KDSWHU *75 %DVH 5DGLR 7URXEOHVKRRWLQJ
&RQYHQWLRQDO 6LWH &RQWUROOHU )DLOXUH ,PSDFW RQ *75

IRU &RQYHQWLRQDO 2SHUDWLRQ
)RU ,3 LQWHUIDFHG FRQYHQWLRQDO EDVH UDGLRV D FRQYHQWLRQDO VLWH FRQWUROOHU SURYLGHV VXSSRUW IRU GLVSDWFK
FRQVROHV WR PDQDJH DQG FRQWURO WKH FRQYHQWLRQDO EDVH UDGLRV LQ .. DQG 000 W\SH V\VWHPV WKH
FRQYHQWLRQDO VLWH FRQWUROOHU RQO\ SURYLGHV VXSSRUW IRU WKH FRQVROH WR PDQDJH DQG FRQWURO WKH FRQYHQWLRQDO
EDVH UDGLRV ZKHQ WKH SULPDU\ DQG RSWLRQDO VHFRQGDU\ ]RQH FRQWUROOHUV DUH QRW UHDFKDEOH
,I WKH FRQYHQWLRQDO VLWH FRQWUROOHU IDLOV ZKHQ LW LV WKH DFWLYH FDOO FRQWUROOHU LQ HLWKHU W\SH V\VWHP WKH GLVSDWFK
FRQVROH ORVHV LW
V DELOLW\ WR PDQDJH DQG FRQWURO WKH FKDQQHO UHVRXUFHV +RZHYHU VXEVFULEHU UDGLRV PD\ VWLOO EH
DEOH WR PDLQWDLQ FRPPXQLFDWLRQV XVLQJ UHSHDW IXQFWLRQDOLW\ RI WKH EDVH UDGLRV RU ZKHQ WKH EDVH UDGLRV DUH
FRQQHFWHG WR D FRPSDUDWRU 7KH FRPSDUDWRUV UHSHDW IXQFWLRQDOLW\ HQDEOHV ZLGH DUHD UHSHDW IRU VXEVFULEHUV
8VLQJ 0RWRUROD 6\VWHP 6XSSRUW &HQWHU 66&

0RWRUROD 6\VWHP 6XSSRUW &HQWHU 66& FDQ KHOS WHFKQLFLDQV DQG HQJLQHHUV UHVROYH V\VWHP SUREOHPV DQG
HQVXUH WKDW ZDUUDQW\ UHTXLUHPHQWV DUH PHW &KHFN \RXU FRQWUDFW IRU VSHFLILF ZDUUDQW\ LQIRUPDWLRQ
0RWRUROD DVVLJQV D WUDFNLQJ WLFNHW QXPEHU WKDW LGHQWLILHV HDFK VXSSRUW FDOO 7KLV DOORZV 0RWRUROD WR WUDFN
SUREOHPV UHVROXWLRQV DQG DFWLYLWLHV IRU WKH FDOO ,I SRVVLEOH FRPPXQLFDWH WKH UHVROXWLRQ DQG D VWDWXV RI FDOO
VR WKDW WKH 0RWRUROD 6\VWHP 6XSSRUW &HQWHU 66& FDQ QRWH WKH UHVROXWLRQ DQG FORVH WKH WLFNHW
*DWKHULQJ ,QIRUPDWLRQ %HIRUH &DOOLQJ 0RWRUROD

%HIRUH FDOOLQJ RQH RI WKH VXSSRUW FHQWHUV ORJ DQ\ DQG DOO VWHSV WDNHQ WR WURXEOHVKRRW WKH
SUREOHP DQG DQ\ UHVXOWV RI WKRVH VWHSV 7KH 0RWRUROD 6\VWHP 6XSSRUW &HQWHU 66& FDQ XVH
WKLV LQIRUPDWLRQ WR GHWHUPLQH WKH DSSURSULDWH VXSSRUW DFWLRQV
&ROOHFW WKH IROORZLQJ LQIRUPDWLRQ
6\VWHP ,' QXPEHU VXFK DV &% (DFK ]RQH LQ WKH V\VWHP KDV D XQLTXH V\VWHP ,' QXPEHU
/RFDWLRQ RI WKH V\VWHP
'DWH WKH V\VWHP ZDV SXW LQWR VHUYLFH
6RIWZDUH DQG ILUPZDUH YHUVLRQV
3$ -XO\

*75 %DVH 5DGLR :KHUH WR &DOO IRU 6HUYLFH
6\PSWRP RU REVHUYDWLRQ RI WKH SUREOHP VXFK DV

ƕ :KHQ GLG LW ILUVW DSSHDU"
ƕ &DQ LW EH UHSURGXFHG"
ƕ $UH WKHUH DQ\ RWKHU FLUFXPVWDQFHV FRQWULEXWLQJ WR WKH SUREOHP IRU
H[DPSOH ORVV RI SRZHU"
0DLQWHQDQFH DFWLRQ SUHFHGLQJ WKH SUREOHP VXFK DV
ƕ 8SJUDGH RI VRIWZDUH RU HTXLSPHQW
ƕ &KDQJHV WR KDUGZDUH RU VRIWZDUH FRQILJXUDWLRQ
ƕ 5HORDG RI VRIWZDUH IURP D EDFNXS GLVN RU IURP &' ZLWK WKH YHUVLRQ DQG GDWH
:KHUH WR &DOO IRU 6HUYLFH

$IWHU FROOHFWLQJ WKH UHTXLUHG LQIRUPDWLRQ DQG ZULWLQJ D GHWDLOHG SUREOHP UHSRUW FRQWDFW RQH
RI WKH IROORZLQJ VXSSRUW FHQWHUV WR KHOS ZLWK WKH SUREOHP
0RWRUROD 6\VWHP 6XSSRUW &HQWHU 66&

7KH 0RWRUROD 6\VWHP 6XSSRUW &HQWHU 66& LV WKH SULPDU\ 0RWRUROD FRQWDFW &DOO
3ULRU WR DQ\ VRIWZDUH UHORDG
7R FRQILUP WURXEOHVKRRWLQJ UHVXOWV DQG DQDO\VLV SULRU WR UHPRYLQJ DQG UHSODFLQJ D )LHOG
5HSODFHDEOH 8QLW )58 RU )LHOG 5HSODFHDEOH (TXLSPHQW )5( WR UHSDLU WKH V\VWHP

3KRQH IRU GRPHVWLF FDOOV DQG IRU LQWHUQDWLRQDO FDOOV
)D[
8VH RI 6XEFRQWUDFWRUV
7KH 0RWRUROD 6\VWHP 6HUYLFH 6XEFRQWUDFWRU $VVHVVPHQW SURJUDP HQVXUHV WKDW VHUYLFH SHRSOH
FRQWUDFWHG E\ 0RWRUROD PHHW VWULFW PLQLPXP UHTXLUHPHQWV EHIRUH WKH\ FDQ ZRUN RQ DQ\ V\VWHPV
)RU PRUH LQIRUPDWLRQ RQ WKLV SURJUDP FRQWDFW WKH 0RWRUROD UHSUHVHQWDWLYH
3$ -XO\

8VH RI 6XEFRQWUDFWRUV &KDSWHU *75 %DVH 5DGLR 7URXEOHVKRRWLQJ
3$ -XO\

&KDSWHU

*75 %DVH 5DGLR )58 3URFHGXUHV
*75 %DVH 5DGLRV DUH FRPSULVHG RI QXPHURXV ILHOG UHSODFHDEOH XQLWV )58V DQG ILHOG UHSODFHDEOH SDUWV
,I \RX QHHG WR UHSODFH D )58 RU SDUW LW LV HVVHQWLDO WR REWDLQ WKH SUHFLVH )58 .LW 1XPEHU RU 3DUW 1XPEHU DQG WR
UHYLHZ WKH UHSODFHPHQW SURFHGXUHV SURYLGHG LQFOXGLQJ DOO VDIHW\ SUHFDXWLRQV DQG V\VWHP LPSDFW LQIRUPDWLRQ
7KLV FKDSWHU OLVWV WKH )LHOG 5HSODFHDEOH 8QLWV )58V DQG )LHOG 5HSODFHDEOH (QWLWLHV )5(V DQG
LQFOXGHV UHSODFHPHQW SURFHGXUHV DSSOLFDEOH WR *75 %DVH 5DGLR
)LHOG 5HSODFHDEOH 8QLWV )58V DQG 3DUWV

:KHQ RUGHULQJ ILHOG UHSODFHDEOH XQLWV )58V \RX ZLOO QHHG WKH )58 .LW 1XPEHU :KHQ RUGHULQJ
ILHOG UHSODFHDEOH SDUWV \RX ZLOO QHHG WKH 3DUW 1XPEHU &RQWDFW 0RWRUROD 6\VWHP 6XSSRUW &HQWHU
66& DV QHHGHG IRU QXPEHUV QRW SURYLGHG KHUH IRU FDEOHV WKDW DUH LQWHUQDO WR D *75 %DVH
5DGLR WKH SDUW QXPEHUV DUH QRW OLVWHG LQ WKLV GRFXPHQWDWLRQ EXW \RX FDQ ORFDWH WKH SDUW QXPEHU
RQ WKH FDEOH LWVHOI EHIRUH FRQWDFWLQJ 0RWRUROD 6XSSRUW 6HH ³8VLQJ 0RWRUROD 6\VWHP 6XSSRUW
&HQWHU 66&´ LQ WKH 7URXEOHVKRRWLQJ VHFWLRQ RI WKH GRFXPHQWDWLRQ
7R JXDUG DJDLQVW SHUVRQDO LQMXU\ DQGRU GDPDJH WR HTXLSPHQW VZLWFK WKH

EDVH UDGLR WR 6HUYLFH 0RGH ZKHQ SHUIRUPLQJ VHUYLFH 7KH *75 %DVH
5DGLR SHULRGLFDOO\ NH\V XS WR SVHXGR WUDLQ LWV OLQHDU WUDQVPLWWHU DXWRQRPRXVO\
ZKHQ LW LV QRW DVVLJQHG E\ WKH ]RQH FRQWUROOHU 7[ ,QKLELWLQJ WKH EDVH UDGLR
DOVR SUHYHQWV WKH WUDQVPLWWHU IURP NH\LQJ 5HPHPEHU WR VZLWFK WKH EDVH
UDGLR EDFN WR 1RUPDO 0RGH ZKHQ VHUYLFH LV FRPSOHWH
7DEOH *75 %DVH 5DGLR )LHOG 5HSODFHDEOH 8QLWV
&RPSRQHQW 7\SH )58 .LW 1XPEHU 5HSODFHPHQW 3URFHGXUH

7UDQVFHLYHU 0RGXOH 0+] '/1$
7UDQVFHLYHU 0RGXOH 8+) 5 ± '/1$ 3URFHGXUH RQ SDJH
0+]
3$ -XO\

)LHOG 5HSODFHDEOH 8QLWV )58V DQG 3DUWV &KDSWHU *75 %DVH 5DGLR )58 3URFHGXUHV
7DEOH *75 %DVH 5DGLR )LHOG 5HSODFHDEOH 8QLWV &RQWLQXHG
&RPSRQHQW 7\SH )58 .LW 1XPEHU 5HSODFHPHQW 3URFHGXUH
7UDQVFHLYHU 0RGXOH 8+) 5 ± '/1$
0+]
7UDQVFHLYHU 0RGXOH 9+) ± '/1$
0+]
*75 %DVH 5DGLR 7UDQVFHLYHU '/1$
0RGXOH Z7UDQVFHLYHU 2SWLRQ &DUG
0+]
8+) 5 ± 0+]
8+) 5 ± 0+]
0RGXOH Z7UDQFVHLYHU 2SWLRQ &DUG
9+) ± 0+]
)DQ 0RGXOH '/1$ 3URFHGXUH RQ SDJH
$&9 '& 36 3RZHU 6XSSO\ '/1$ 3URFHGXUH RQ SDJH
3RZHU 6XSSO\ )DQ 0RGXOH < 3URFHGXUH RQ SDJH
0LG3RZHU 3$ 3RZHU $PSOLILHU '/1$
0RGXOH 0+]
0RGXOH 8+) 5 ± 0+]
3URFHGXUH RQ SDJH
0RGXOH 8+) 5 ± 0+]
0RGXOH 9+) ± 0+]
*75 %DVH 5DGLR %DFNSODQH * 3URFHGXUH RQ SDJH
3$ -XO\

*75 %DVH 5DGLR )LHOG 5HSODFHDEOH 8QLWV )58V DQG 3DUWV
7DEOH *75 %DVH 5DGLR 5)'6 )LHOG 5HSODFHDEOH 3DUWV
&RPSRQHQW 7\SH 3DUW 1XPEHU 5HSODFHPHQW 3URFHGXUH

3UHVHOHFWRU 0+] <
3UHVHOHFWRU 0+] <
3UHVHOHFWRU 0RXQWLQJ %UDFNHW <
3UHVHOHFWRU 40$ &DEOH (QG <
3UHVHOHFWRU %1& WR 40$ &DEOH <
3UHVHOHFWRU 0LQL 8+) 1%XONKHDG <
&DEOH 3URFHGXUH RQ SDJH
3UHVHOHFWRU 0LQL 8+) %1& &DEOH <
3UHVHOHFWRU 8+) ± 0+] &);$
3UHVHOHFWRU 8+) ± 0+] 7/($
3UHVHOHFWRU 8+) ± 0+] 7/($
3UHVHOHFWRU 9+) ± 0+] 7)'$
3UHVHOHFWRU 9+) ± 0+] 7)'$
7UDQVPLW 3RVW )LOWHU 0+] <
3URFHGXUH RQ SDJH
7UDQVPLW 3RVW )LOWHU 0+] <
([WHUQDO 'XDO &LUFXODWRU 7UD\ '/1$
([WHUQDO 'XDO &LUFXODWRU 7UD\ 8+) &/($ 3URFHGXUH RQ SDJH
±
'XSOH[HU 0+] < 3URFHGXUH RQ SDJH
'XSOH[HU 0+] <
'XSOH[HU 8+) ± 0+] 8
'XSOH[HU 8+) ± 0+] 8
'XSOH[HU 8+) ± 0+] 8 3URFHGXUH RQ SDJH
'XSOH[HU 8+) ± 0+] 8
'XSOH[HU 8+) ± 0+] 8
'XSOH[HU 9+) ± 0+] 8
'XSOH[HU 9+) ± 0+] 8 3URFHGXUH RQ SDJH
'XSOH[HU 9+) ± 0+] 8
3$ -XO\

)LHOG 5HSODFHDEOH 8QLWV )58V DQG 3DUWV &KDSWHU *75 %DVH 5DGLR )58 3URFHGXUHV
7DEOH *75 %DVH 5DGLR 5)'6 )LHOG 5HSODFHDEOH 3DUWV &RQWLQXHG
$QWHQQD 5HOD\ NLW LQFOXGLQJ UHOD\ &/1$
FDEOH VFUHZV
$QWHQQD 5HOD\
$QWHQQD 5HOD\ &RQWURO &DEOH <
$QWHQQD 5HOD\ 0LQL 8+) &DEOH <
3URFHGXUH RQ SDJH
$QWHQQD 5HOD\ 40$ &DEOH <
$QWHQQD 5HOD\ %1& &DEOH -
$QWHQQD 5HOD\ &0 &DEOH 0
$QWHQQD 5HOD\ &0 &DEOH 0
$QWHQQD 5HOD\ &0 &DEOH (
7DEOH ,QGLYLGXDO 5HSODFHDEOH 3DUWV RQ ([WHUQDO 'XDO &LUFXODWRU 7UD\

'XDO &LUFXODWRU 0+] <
'XDO &LUFXODWRU 8+) ± 0+] 8
'XDO &LUFXODWRU 9+) ± 0+] 8 3URFHGXUH RQ SDJH
&LUFXODWRU /RDG 0+] 7/1$
&LUFXODWRU /RDG 8+)9+) 7/1$
/RZ 3DVV+DUPRQLF )LOWHU 8
0+]
/RZ 3DVV+DUPRQLF )LOWHU 8+) <
/RZ 3DVV+DUPRQLF )LOWHU 9+) <
7DEOH *75 %DVH 5DGLR &DEOHV
&RPSRQHQW 7\SH 3DUW 1XPEHU

6\VWHP &RQQHFWRU &DEOH ± 6&6, %DVH 5DGLR WR &KDPS
3$ -XO\

*75 %DVH 5DGLR 5HSODFLQJ D 5DGLR 7UDQVFHLYHU 0RGXOH
5HSODFLQJ D 5DGLR 7UDQVFHLYHU 0RGXOH

)LJXUH VKRZV WKH 7UDQVFHLYHU )58 PRGXOH )LJXUH VKRZV WKH FDSWLYH VFUHZV WKDW VHFXUH WKH
WUDQVFHLYHU PRGXOH WR WKH FKDVVLV LQ WKH VWDQGDORQH EDVH UDGLR FRQILJXUDWLRQ
)LJXUH 7UDQVFHLYHU 0RGXOH
)LJXUH *75 %DVH 5DGLR 0RGXOHV
<RX ZLOO QHHG WR ORFDWH WKH ,3 DGGUHVV IRU WKH WUDQVFHLYHU EHIRUH SHUIRUPLQJ WKLV SURFHGXUH
3$ -XO\

5HSODFLQJ D 5DGLR 7UDQVFHLYHU 0RGXOH &KDSWHU *75 %DVH 5DGLR )58 3URFHGXUHV
%HIRUH UHSODFLQJ WKH WUDQVFHLYHU SXOO FRQILJXUDWLRQ DQG KDUGZDUH LQIRUPDWLRQ IURP WKH WUDQVFHLYHU
LQWR WKH 8QLILHG 1HWZRUN &RQILJXUDWRU 81& E\ SHUIRUPLQJ D ³3XOO $OO´ SURFHGXUH IURP WKH
81& )RU LQVWUXFWLRQV RQ ³+RZ WR 3HUIRUP D 3XOO $OO´ SURFHGXUH SOHDVH UHIHU WR WKH ³8QLILHG
1HWZRUN &RQILJXUDWRU´ PDQXDO
7KLV VWHS PD\ QRW EH SRVVLEOH LI FRPPXQLFDWLRQ LV VHYHUHG EHWZHHQ WKH WUDQVFHLYHU DQG
WKH 81& ,I WKLV VFHQDULR H[LVWV SHUIRUP DQ\ RQH RI WKH IROORZLQJ
8VH WKH ODVW NQRZQ JRRG FRQILJXUDWLRQ ILOHV IURP WKH 81&
([WUDFW WKH FRQILJXUDWLRQ ILOHV IURP WKH WUDQVFHLYHU GLUHFWO\
3URFHGXUH +RZ WR 5HSODFH D 7UDQVFHLYHU 0RGXOH
:HDU DQ HOHFWURVWDWLF GLVFKDUJH (6' VWUDS DQG FRQQHFW LWV FDEOH WR D YHULILHG
JRRG JURXQG %H VXUH WR ZHDU WKLV VWUDS WKURXJKRXW WKLV SURFHGXUH WR SUHYHQW (6'
GDPDJH WR DQ\ FRPSRQHQWV
/RFDWH WKH WUDQVFHLYHU PRGXOH \RX QHHG WR UHSODFH
,I WKH WUDQVFHLYHU PRGXOH LV QRW RSHUDWLRQDO VNLS WR VWHS
&RQQHFW WR WKH EDVH UDGLR
V WUDQVFHLYHU PRGXOH (WKHUQHW VHUYLFH SRUW XVLQJ
&RQILJXUDWLRQ6HUYLFH 6RIWZDUH &66 6HH ³&RQQHFWLQJ 7KURXJK DQ (WKHUQHW
3RUW /LQN´ LQ WKH &RQILJXUDWLRQ FKDSWHU
6DYH WKH EDVH UDGLR FRQILJXUDWLRQ WR WKH ODSWRS 3& DV IROORZV
)URP WKH )LOH PHQX VHOHFW 5HDG &RQILJXUDWLRQ )URP 'HYLFH
$W WKH VXFFHVV PHVVDJH FOLFN 2.
)URP WKH )LOH PHQX VHOHFW 6DYH $V DQG RQ WKH 3URSHUWLHV 6FUHHQ HQWHU WKH
,3 DGGUHVV RI WKH EDVH UDGLR &OLFN 2.
2Q WKH 6DYH ZLQGRZ VHOHFW WKH GLUHFWRU\ ZKHUH \RX ZDQW WR VDYH WKH
FRQILJXUDWLRQ ILOH W\SH D PHDQLQJIXO QDPH IRU WKH ILOH XVH ³FSO´ DV WKH H[WHQVLRQ
RU GR QRW W\SH DQ H[WHQVLRQ 3UHVV (QWHU
5HVXOW 7KH EDVH UDGLR FRQILJXUDWLRQ LV VDYHG WR WKH ORFDWLRQ \RX LQGLFDWHG 7KH
FRQILJXUDWLRQ ILOH ZLOO EH UHORDGHG ODWHU WR WKH UHSODFHPHQW WUDQVFHLYHU
'LVDEOH WKH FKDQQHO WKDW LV XVLQJ WKH WUDQVFHLYHU PRGXOH \RX ZLOO UHSODFH
,W LV UHFRPPHQGHG WKDW \RX GLVDEOH WKH FKDQQHO EHIRUH UHSODFLQJ WKH

PRGXOH VR WKDW WKH V\VWHP GRHV QRW DWWULEXWH WKH ORVV RI FKDQQHO WR D
IDLOXUH
,W LV QRW QHFHVVDU\ WR WXUQ RII WKH SRZHU VXSSO\ IRU WKH WUDQVFHLYHU
PRGXOH \RX DUH UHSODFLQJ DV WKH PRGXOHV DUH GHVLJQHG WR EH VZDSSHG
RXW ZLWK WKH SRZHU RQ
,I \RX FKRRVH WR WXUQ RII WKH SRZHU VHW WKH URFNHU VZLWFK RQ WKH IURQW
RI WKH DVVRFLDWHG SRZHU VXSSO\ WR WKH 2II SRVLWLRQ
3$ -XO\

3URFHGXUH +RZ WR 5HSODFH D 7UDQVFHLYHU 0RGXOH &RQWLQXHG

'LVDEOH WKH EDVH UDGLR DV IROORZV
2SHQ &66 DQG VHOHFW 7HVW 0HDVXUHPHQW 6FUHHQ IURP WKH 6HUYLFH PHQX
&OLFN &KDQJH WR 6HUYLFH 0RGH
5HVXOW 7KH EDVH UDGLR LV GLVDEOHG
'LVFRQQHFW WKH (WKHUQHW FDEOH IURP WKH VHUYLFH SRUW RQ WKH WUDQVFHLYHU WR EH
UHSODFHG
5HPRYH WKH IDQ PRGXOH WR JDLQ DFFHVV WR WKH WUDQVFHLYHU PRGXOH 6HH 3URFHGXUH
IRU LQVWUXFWLRQV RQ UHPRYLQJ WKH IDQ XQLW
$OWKRXJK WKH WUDQVFHLYHU PRGXOH LV GHVLJQHG WR EH VZDSSHG RXW

ZLWKRXW VKXWWLQJ WKH SRZHU RII \RX VKRXOG PLQLPL]H WKH DPRXQW RI
WLPH WKDW WKH IDQ DVVHPEO\ LV UHPRYHG VR WKH FLUFXLWU\ WKDW UHPDLQV
SRZHUHG RQ GRHV QRW RYHUKHDW DQG VKXW GRZQ
'LVFRQQHFW WKH 5- FDEOH IURP WKH 9 SRUW RQ WKH WUDQVFHLYHU LI DSSOLFDEOH
'LVFRQQHFW WKH PLQL 6&6, FDEOH IURP WKH 6\VWHP &RQQHFWRU SRUW RQ WKH
WUDQVFHLYHU LI DSSOLFDEOH
8VLQJ D 7 ELW ORRVHQ WKH WZR FDSWLYH VFUHZV RQ WKH IURQW RI WKH WUDQVFHLYHU
PRGXOH VR WKDW WKH\ GLVHQJDJH IURP WKH FKDVVLV
8VLQJ WKH KDQGOH JHQWO\ SXOO WKH WUDQVFHLYHU PRGXOH VWUDLJKW RXW DORQJ WKH
JXLGHV RQ ZKLFK LW VLWV
6OLGH LQ WKH UHSODFHPHQW WUDQVFHLYHU PRGXOH DORQJ WKH JXLGLQJ UDLOV XQWLO LW LV
HQJDJHG $ VOLJKW SXVK PD\ EH QHHGHG WR HQJDJH WKH PRGXOH
5HVXOW /('V RQ WKH WUDQVFHLYHU WXUQ RQ ZKHQ LW LV HQJDJHG
,I WKH WUDQVFHLYHU PRGXOH VWRSV ZHOO EHIRUH LW LV HQJDJHG LW LV LQ DQ

LQFRUUHFW SRVLWLRQ (LWKHU LW LV LQ WKH ZURQJ VORW RU LW LV URWDWHG
7KH PRGXOH KDV D NH\LQJ IHDWXUH WKDW SUHYHQWV LW IURP JRLQJ DOO WKH
ZD\ LQWR DQ LQFRUUHFW VORW RU JRLQJ LQWR WKH FRUUHFW VORW EXW URWDWHG
'R QRW WU\ WR IRUFH WKH PRGXOH
6HFXUH WKH WUDQVFHLYHU PRGXOH WR WKH FKDVVLV ZLWK WKH WZR FDSWLYH VFUHZV RQ
WKH IURQW RI WKH PRGXOH
5HFRQQHFW WKH 5- FDEOH WR WKH 9 SRUW RQ WKH WUDQVFHLYHU LI DSSOLFDEOH
5HFRQQHFW WKH PLQL 6&6, FDEOH WR WKH 6\VWHP &RQQHFWRU SRUW RQ WKH WUDQVFHLYHU
LI DSSOLFDEOH
5HLQVWDOO WKH IDQ DVVHPEO\ PRGXOH 6HH 3URFHGXUH
,I \RX FKRVH WR WXUQ RII WKH SRZHU VHW WKH URFNHU VZLWFK RQ WKH IURQW
RI WKH DVVRFLDWHG SRZHU VXSSO\ WR WKH 2Q SRVLWLRQ
3$ -XO\


&RQQHFW WR WKH GHYLFH
V '% VHULDO VHUYLFH SRUW XVLQJ &RQILJXUDWLRQ6HUYLFH
6RIWZDUH &66 6HH ³&RQQHFWLQJ 7KURXJK D 6HULDO 3RUW /LQN´ LQ WKH
&RQILJXUDWLRQ FKDSWHU
6HW WKH ,3 $GGUHVV DQG WKH %R[ 1XPEHU IRU WKH GHYLFH 6HH ³+RZ WR 6HW D
'HYLFHV ,3 $GGUHVV LQ &66´ LQ WKH &RQILJXUDWLRQ FKDSWHU
6HW WKH 6HULDO 6HFXULW\ 6HUYLFHV 8VLQJ &66 6HH ³+RZ WR 6HW WKH 6HULDO 6HUYLFHV
8VLQJ &66´ LQ WKH &RQILJXUDWLRQ FKDSWHU
'LVFRQQHFW WKH ODSWRS 3& IURP WKH WUDQVFHLYHU
V '% VHULDO SRUW
&RQQHFW WR WKH GHYLFH PRGXOH
V (WKHUQHW VHUYLFH SRUW XVLQJ &RQILJXUDWLRQ6HUYLFH
6RIWZDUH &66 6HH ³&RQQHFWLQJ 7KURXJK DQ (WKHUQHW 3RUW /LQN´ LQ WKH
&RQILJXUDWLRQ FKDSWHU
5HFRQILJXUH WKH 6103Y XVHU FUHGHQWLDOV 6HH ³&KDQJLQJ 6103Y
&RQILJXUDWLRQ DQG 8VHU &UHGHQWLDOV 8VLQJ &66´ LQ WKH &RQILJXUDWLRQ FKDSWHU
6HW WKH 6:'/ WUDQVIHU PRGH 6HH ³6HWWLQJ WKH 6:'/ 7UDQVIHU 0RGH 8VLQJ
&66´ LQ WKH &RQILJXUDWLRQ FKDSWHU
5HFRQILJXUH IRU 66+ 6HH &KDSWHU &RQILJXULQJ 66+ IRU 5) 6LWH 'HYLFHV DQG
930V 8VLQJ &66 LQ WKH 6HFXULQJ 3URWRFROV ZLWK 66+ PDQXDO RU VHH ³'HYLFH
6HFXULW\ &RQILJXUDWLRQ 5HPRWH $FFHVV/RJLQ %DQQHU (WKHUQHW´ LQ WKH &66
2QOLQH +HOS
5HVWRUH WKH IROORZLQJ &OHDU 3URWRFROV SDUDPHWHUV LQ WKH 5HPRWH $FFHVV
&RQILJXUDWLRQ WDE RQ WKH 'HYLFH 6HFXULW\ &RQILJXUDWLRQ VFUHHQ LQ &66 5HIHU WR
³'HYLFH 6HFXULW\ &RQILJXUDWLRQ 5HPRWH $FFHVV/RJLQ %DQQHU (WKHUQHW´ LQ
WKH &66 2QOLQH +HOS
8SGDWH9HULI\ WKH '16 6\VORJ DQG 5$',86 6HUYLFH &RQILJXUDWLRQ 6HH
&KDSWHU RI WKH $XWKHQWLFDWLRQ 6HUYLFHV PDQXDO
6HW WKH 173 6HUYHU 6HWWLQJV 6HH ³173 6HUYHU 6HWWLQJV´ LQ WKH &66 2QOLQH +HOS
2SHQ WKH 6RIWZDUH 'RZQORDG DSSOLFDWLRQ
7UDQVIHU DQG LQVWDOO WKH ODWHVW EDVH UDGLR VRIWZDUH XVLQJ 6RIWZDUH 'RZQORDG DV
IROORZV
6HOHFW WKH DSSURSULDWH $6752 V\VWHP 6LWH 7\SH DQG WKH UHOHYDQW ]RQH
DQG VLWH LQIRUPDWLRQ
6HOHFW 6LQJOH 'HYLFH 0RGH WDE DQG FOLFN &RQWLQXH
5HVXOW $Q LQIRUPDWLRQDO ZDUQLQJ DSSHDUV
&OLFN 2. WR FRQWLQXH
(QWHU WKH ,3 DGGUHVV RI WKH EDVH UDGLR WR EH SURJUDPPHG DQG FOLFN &RQWLQXH
,Q WKH 8SJUDGH 2SWLRQV ZLQGRZ VHOHFW 6WDQGDUG 8SJUDGH DQG FOLFN
&RQWLQXH
6HOHFW HLWKHU +3' %DVH 5DGLR0XOWLVLWH %DVH 5DGLR RU &RQYHQWLRQDO
%DVH 5DGLR IRU WKH $SSOLFDWLRQ 7\SH
6HOHFW 7UDQVIHU DQG ,QVWDOO IRU WKH 2SHUDWLRQV 7\SH
)RU 6RIWZDUH &RPSRQHQW VHOHFW D FRQILJXUDWLRQ ILOHVHW IURP WKH GURSGRZQ
OLVW ,I WKH GHVLUHG FRQILJXUDWLRQ ILOHVHW QHHGV WR EH LPSRUWHG
3$ -XO\

D *R WR )LOH)LOH 0DQDJHU&RPSRQHQW 2SHUDWLRQV,PSRUW )LOHVHW DQG

EURZVH WR WKH ORFDWLRQ RI WKH %5 ILOHVHW
E 6HOHFW WKH ILOHVHW FOLFN *HQHUDWH WR FUHDWH D QHZ FRPSRQHQW IRU WKH
LPSRUWHG ILOHVHW &OLFN 2.
6HOHFW 6WDUW 2SHUDWLRQ
5HVXOW 7KH VRIWZDUH LV WUDQVIHUUHG DQG LQVWDOOHG RQ WR WKH GHYLFH 7KLV WDNHV
VHYHUDO PLQXWHV WR FRPSOHWH :KHQ FRPSOHWHG WKH WZR SURJUHVV EDUV RQ WKH
7UDQVIHU DQG ,QVWDOO ZLQGRZ GLVSOD\ ³´ DQG D FRPSOHWLRQ PHVVDJH GLVSOD\V
LQ WKH 7UDQVIHU PHVVDJH ER[
5HORDG WKH EDVH UDGLR FRQILJXUDWLRQ ILOH RQ WR WKH QHZ EDVH UDGLR DV IROORZV
)URP WKH &66 )LOH PHQX VHOHFW 2SHQ /RFDWH DQG RSHQ WKH SUHYLRXVO\ VDYHG
FRQILJXUDWLRQ ILOH IRU WKH EDVH UDGLR
,I \RX ZHUH QRW DEOH WR EDFN XS WKH EDVH UDGLR FRQILJXUDWLRQ IURP WKH
SUHYLRXV EDVH UDGLR \RX FDQ XVH WKH FRQILJXUDWLRQ IURP \RXU V\VWHP
EXLOG ERRN RU XVH WKH GHIDXOW EDVH UDGLR FRQILJXUDWLRQ ILOH 6SHFLILF
VHWWLQJV IRU WKH EDVH UDGLR PXVW VWLOO EH FRQILJXUHG 6HH WKH &66
2QOLQH +HOS IRU *75 %DVH 5DGLR IRU GHWDLOHG FRQILJXUDWLRQ
LQVWUXFWLRQV
&OLFN 2. RQ WKH 3URSHUWLHV ZLQGRZ
)URP WKH )LOH PHQX VHOHFW :ULWH &RQILJXUDWLRQ 7R 'HYLFH &OLFN 2.
RQ WKH FRQILUPDWLRQ PHVVDJH
5HVXOW 7KH FRQILJXUDWLRQ IURP WKH ILOH \RX VHOHFWHG LV ORDGHG LQWR WKH EDVH UDGLR
&RPPXQLFDWLRQ ZLWK WKH EDVH UDGLR LV QRW DYDLODEOH XQWLO WKH UHVHW LV FRPSOHWH
(QDEOH WKH EDVH UDGLR DV IROORZV
&OLFN &KDQJH WR 1RUPDO 0RGH
5HVXOW 7KH EDVH UDGLR LV HQDEOHG
'LVFRQQHFW WKH ODSWRS 3& IURP WKH WUDQVFHLYHU
3HUIRUP D FHQWUDOL]HG VRIWZDUH GRZQORDG DQG LQVWDOODWLRQ
)RU D FRQYHQWLRQDO EDVH UDGLR D VLWH PRGH GRZQORDG LV QRW DYDLODEOH

&RQQHFW WKH 3& (WKHUQHW WR WKH ORFDO /$1
,QLWLDWH D VLWH PRGH GRZQORDG WR WKH VLWH FRQWUROOHU WR PDNH VXUH DOO GHYLFHV
DUH RQ WKH FRUUHFW VRIWZDUH YHUVLRQ DQG WKH VDPH 9/$1
'LVFRQQHFW WKH 3& (WKHUQHW IURP WKH ORFDO /$1
3$ -XO\


2Q V\VWHPV ZLWK 6103Y HQDEOHG HQDEOH SDVVSKUDVH LQIRUPDWLRQ )RU
SURFHGXUHV WR HQDEOH SDVVSKUDVHV UHIHU WR WKH 6103Y PDQXDO
2Q V\VWHPV ZLWK 0$& 3RUW ORFNLQJ GLVDEOH WKH ORFNLQJ DQG WKHQ UHHQDEOH WKH
ORFNLQJ ZLWK WKH 0$& DGGUHVV RI WKH EDVH UDGLR 7KH GHYLFH EHLQJ UHSODFHG
PD\ EH FRQQHFWHG WR DQ (WKHUQHW SRUW RQ D VZLWFK ZKLFK LPSOHPHQWV 0$& 3RUW
ORFNLQJ +3 VZLWFK RU VLWH FRQWUROOHU ,I VR WKH (WKHUQHW VZLWFK SRUW ZLOO QHHG WR
EH XQORFNHG DQG UHORFNHG WR WKH 0$& DGGUHVV RI WKH UHSODFHPHQW GHYLFH 6HH
WKH (WKHUQHW 3RUW 6HFXULW\ YROXPH IRU LQVWUXFWLRQV RQ KRZ WR GLVDEOH DQG HQDEOH
0$& SRUW ORFNLQJ
)ROORZLQJ WKH GHYLFH UHVWRUDWLRQ LI LW ZDV FRQQHFWHG WR DQ +3 VZLWFK

SRUW WKH +3 VZLWFK SRUW PD\ KDYH EHHQ GLVDEOHG GXH WR DQ XQH[SHFWHG
0$& DGGUHVV ,I VR UHHQDEOH WKH SRUW RQ WKH +3 VZLWFK
'LVFRYHU WKH EDVH UDGLR LQ WKH 81& VHH WKH 8QLILHG 1HWZRUN &RQILJXUDWRU
PDQXDO
'LVFRYHU WKH EDVH UDGLR LQ WKH 8(0 6HH WKH 8QLILHG (YHQW 0DQDJHU PDQXDO
&RPSDUH WKH FRQILJXUDWLRQ RI WKH UHSODFHPHQW WUDQVFHLYHU ZLWK WKH FRQILJXUDWLRQ
RI WKH UHSODFHG GHYLFH E\ UXQQLQJ WKH &RPSDUH IXQFWLRQ LQ WKH FRQILJXUDWLRQ
KLVWRU\ RQ WKH 81& )RU LQVWUXFWLRQV RQ ³+RZ WR 5XQ WKH &RPSDUH )XQFWLRQ´
UHIHU WR WKH 8QLILHG 1HWZRUN &RQILJXUDWRU PDQXDO
&KHFN IRU DQ\ GLIIHUHQFHV EHWZHHQ WKH FRQILJXUDWLRQV DQG GHWHUPLQH

ZKHWKHU HLWKHU FRQILJXUDWLRQ QHHGV WR EH FRUUHFWHG
,I WKH SUHYLRXV FRQILJXUDWLRQ QHHGV WR EH UHVWRUHG
WKHQ SHUIRUP D ³5ROOEDFN´ FRQILJXUDWLRQ SURFHGXUH
DV GHVFULEHG LQ WKH 8QLILHG 1HWZRUN &RQILJXUDWRU
PDQXDO
,I WKH FXUUHQW FRQILJXUDWLRQ FDQ EH FKDQJHG DQG VHQW
WR WKH WUDQVFHLYHU WKHQ SHUIRUP D ³&RQILJXUDWLRQ
&KDQJH´ SURFHGXUH DV GHVFULEHG LQ WKH 8QLILHG
1HWZRUN &RQILJXUDWRU PDQXDO
9HULI\ WKDW WKH WUDQVFHLYHU PRGXOH LV RSHUDWLQJ SURSHUO\
7KH 6WDWXV /(' RQ WKH IURQW RI WKH WUDQVFHLYHU LV JUHHQ
3URSHU RSHUDWLRQ LV FRQILUPHG XVLQJ VRIWZDUH WRROV VXFK DV 8(0 DQG WKH
7UDQVPLWWHU 0HWHULQJ 6FUHHQ LQ &RQILJXUDWLRQ6HUYLFH 6RIWZDUH &66
3$ -XO\

*75 %DVH 5DGLR 5HPRYLQJ5HSODFLQJ WKH )DQ 0RGXOH
5HPRYLQJ5HSODFLQJ WKH )DQ 0RGXOH

6HH 3URFHGXUH IRU LQVWUXFWLRQV RQ UHSODFLQJ WKH IDQ PRGXOH 7KLV SURFHGXUH FDQ DOVR EH
XVHG WR UHPRYH WKH IDQ PRGXOH LQ RUGHU WR UHSODFH WKH PRGXOHV LW FRYHUV WUDQVFHLYHU RU SRZHU
DPSOLILHU PRGXOHV )LJXUH VKRZV WKH IDQ PRGXOH )58
)LJXUH )DQ 0RGXOH )URQW 9LHZ
7KH IDQ PRGXOH LV GHVLJQHG WR EH VZDSSHG RXW ZLWKRXW VKXWWLQJ WKH SRZHU RII +RZHYHU
\RX VKRXOG PLQLPL]H WKH DPRXQW RI WLPH EHIRUH WKH QHZ IDQ LV RSHUDWLRQDO VR WKH
EDVH UDGLR PRGXOHV GR QRW RYHUKHDW DQG VKXW GRZQ
:KHQ UHPRYLQJ D IDQ PRGXOH FDUH VKRXOG EH WDNHQ WR DYRLG FRQWDFWLQJ PRYLQJ
IDQ EODGHV EHIRUH DQG DIWHU UHPRYDO ZLWK WRROV KDQGV RU RWKHU REMHFWV ,I \RX
DUH UHPRYLQJ WKH IDQ PRGXOH WR DFFHVV RU UHSODFH WKH PRGXOHV EHKLQG LW LW LV
UHFRPPHQGHG WKDW \RX WXUQ RII WKH HTXLSPHQW SRZHU DQG DOORZ WKH PRGXOHV WR FRRO
EHIRUH SHUIRUPLQJ DQ\ ZRUN DV WKH VXUIDFHV RI WKH PRGXOHV FDQ EH H[WUHPHO\ KRW
3URFHGXUH +RZ WR 5HPRYH5HSODFH D )DQ 0RGXOH
:HDU DQ HOHFWURVWDWLF GLVFKDUJH (6' ZULVW VWUDS DQG FRQQHFW LWV FDEOH WR D
YHULILHG JRRG JURXQG 7KLV VWUDS PXVW EH ZRUQ WKURXJKRXW WKLV SURFHGXUH WR
SUHYHQW (6' GDPDJH WR DQ\ FRPSRQHQWV
8VLQJ D 7 ELW ORRVHQ WKH WKUHH FDSWLYH VFUHZV RQ WKH IURQW RI WKH IDQ PRGXOH
VR WKDW WKH\ GLVHQJDJH IURP WKH FKDVVLV
3$ -XO\

5HSODFLQJ D 3RZHU 6XSSO\ &KDSWHU *75 %DVH 5DGLR )58 3URFHGXUHV
3URFHGXUH +RZ WR 5HPRYH5HSODFH D )DQ 0RGXOH &RQWLQXHG

8VLQJ WKH KDQGOH RQ RQH HQG DQG WKH HGJH RQ WKH RWKHU VLGH JHQWO\ SXOO WKH IDQ
DVVHPEO\ VWUDLJKW RXW WR GLVHQJDJH WKH FRQQHFWRU
8VLQJ WKH JXLGH SLQV DQG WKH FRQQHFWRU RQ WKH EDFN RI WKH QHZ IDQ PRGXOH SXVK
WKH QHZ IDQ PRGXOH LQWR SODFH XQWLO LW IHHOV VHFXUH
7LJKWHQ WKH WKUHH FDSWLYH VFUHZV 7RUTXH WR LQOE
9HULI\ WKDW WKH IDQ DVVHPEO\ LV RSHUDWLQJ SURSHUO\ DQG WKDW WKH IDQ
V $ODUP /('
LV RII <RX FDQ DOVR XVH VRIWZDUH WRROV VXFK DV 8QLILHG (YHQW 0DQDJHU WR YHULI\
WKH VWDWXV RI WKH HTXLSPHQW
5HSODFLQJ D 3RZHU 6XSSO\

7KH SRZHU VXSSO\ LV D ILHOG UHSODFHDEOH XQLW )58 )LJXUH LGHQWLILHV WKH SRZHU VXSSO\ )58
6HH 3URFHGXUH IRU LQVWUXFWLRQV RQ UHSODFLQJ WKH SRZHU VXSSO\
)LJXUH 3RZHU 6XSSO\
3$ -XO\

*75 %DVH 5DGLR 5HSODFLQJ D 3RZHU 6XSSO\
7KH SRZHU VXSSO\ RXWSXW LV GLUHFWO\ PDSSHG WR D 3$WUDQVFHLYHU FRPELQDWLRQ 5HPRYDO

RI D SRZHU VXSSO\ ZLOO UHVXOW LQ D ORVV RI WKH DVVRFLDWHG WUDQVPLW FKDQQHO XQWLO WKH
UHSODFHPHQW SRZHU VXSSO\ LV LQVHUWHG DQG WXUQHG 21
,W LV UHFRPPHQGHG WKDW \RX GLVDEOH WKH FKDQQHO EHIRUH UHSODFLQJ WKH PRGXOH VR WKDW WKH
V\VWHP GRHV QRW DWWULEXWH WKH ORVV RI FKDQQHO WR D IDLOXUH <RX FDQ GLVDEOH D FKDQQHO XVLQJ
8QLILHG (YHQW 0DQDJHU RU WKH &RQILJXUDWLRQ6HUYLFH 6RIWZDUH &66
7KH 3RZHU 6XSSO\ PRGXOH FRQWDLQV GDQJHURXV YROWDJHV ZKLFK FDQ FDXVH
HOHFWULFDO VKRFN WR SHRSOH RU GDPDJH WR HTXLSPHQW
3URFHGXUH +RZ WR 5HSODFH D 3RZHU 6XSSO\
'LVDEOH WKH FKDQQHO WKDW LV XVLQJ WKH SRZHU VXSSO\ PRGXOH \RX ZLOO UHSODFH

IDLOXUH
3XVK WKH SRZHU URFNHU VZLWFK WR 2II RQ WKH SRZHU VXSSO\ XQLW
8VLQJ D 7 ELW ORRVHQ WKH WZR FDSWLYH VFUHZV RQ WKH IURQW RI WKH SRZHU VXSSO\
,W LV UHFRPPHQGHG WKDW \RX OHW WKH SRZHU VXSSO\ PRGXOH

FRRO EHIRUH SHUIRUPLQJ WKH IROORZLQJ VWHS ZKLFK ZLOO
H[SRVH VXUIDFHV RI WKH PRGXOH WKDW FDQ EH H[WUHPHO\ KRW
3XOO RQ WKH PHWDO KDQGOH WR GLVHQJDJH WKH SRZHU VXSSO\ IURP WKH EDFNSODQH DQG
UHPRYH LW FRPSOHWHO\ IURP WKH FKDVVLV
6OLGH WKH )58 SRZHU VXSSO\ LQWR SODFH SXVKLQJ JHQWO\ XQWLO LW VHDWV
7LJKWHQ WKH WZR FDSWLYH VFUHZV RQ WKH IURQW RI WKH SRZHU VXSSO\
3$ -XO\

5HSODFLQJ D 3RZHU 6XSSO\ &KDSWHU *75 %DVH 5DGLR )58 3URFHGXUHV
3URFHGXUH +RZ WR 5HSODFH D 3RZHU 6XSSO\ &RQWLQXHG

7XUQ WKH SRZHU EXWWRQ WR 2Q DQG YHULI\ WKDW WKH SRZHU VXSSO\ LV RSHUDWLQJ
SURSHUO\
7KH SRZHU VXSSO\ 6WDWXV /(' LV JUHHQ
7KH SRZHU VXSSO\ $ODUP /(' LV RII
7KH SRZHU VXSSO\ )DQ /(' LV RII
3URSHU RSHUDWLRQ LV FRQILUPHG XVLQJ VRIWZDUH WRROV VXFK DV 8QLILHG (YHQW
0DQDJHU DQG WKH 3RZHU 6XSSO\ 0HWHULQJ 6FUHHQ LQ &RQILJXUDWLRQ6HUYLFH
6RIWZDUH &66
V (WKHUQHW VHUYLFH SRUW XVLQJ
3$ -XO\

*75 %DVH 5DGLR 5HSODFLQJ D 3RZHU 6XSSO\ )DQ
5HSODFLQJ D 3RZHU 6XSSO\ )DQ

7KH SRZHU VXSSO\ IDQ LV D ILHOG UHSODFHDEOH XQLWV )58
5HSODFLQJ WKH SRZHU VXSSO\ IDQ UHTXLUHV WKDW WKH HQWLUH SRZHU VXSSO\ PRGXOH EH
UHPRYHG 7KH SRZHU VXSSO\ RXWSXW LV GLUHFWO\ PDSSHG WR D 3$WUDQVFHLYHU FRPELQDWLRQ
5HPRYDO RI D SRZHU VXSSO\ ZLOO UHVXOW LQ D ORVV RI WKH DVVRFLDWHG WUDQVPLW FKDQQHO
XQWLO WKH UHSODFHPHQW SRZHU VXSSO\ LV LQVHUWHG DQG WXUQHG 21
,W LV UHFRPPHQGHG WKDW \RX GLVDEOH WKH FKDQQHO EHIRUH UHSODFLQJ WKH PRGXOH VR WKDW WKH
V\VWHP GRHV QRW DWWULEXWH WKH ORVV RI FKDQQHO WR D IDLOXUH <RX FDQ GLVDEOH D FKDQQHO XVLQJ
ERWK WKH 8QLILHG (YHQW 0DQDJHU RU WKH &RQILJXUDWLRQ6HUYLFH 6RIWZDUH &66
)LJXUH VKRZV WKH SRZHU VXSSO\ IDQ LQVWDOOHG LQ D SRZHU VXSSO\ 6HH 3URFHGXUH
IRU LQVWUXFWLRQV RQ UHSODFLQJ WKH SRZHU VXSSO\ IDQ
7KH 3RZHU 6XSSO\ PRGXOH FRQWDLQV GDQJHURXV YROWDJHV ZKLFK FDQ FDXVH
HOHFWULFDO VKRFN WR SHRSOH RU GDPDJH WR HTXLSPHQW
)LJXUH 3RZHU 6XSSO\ )DQ
3$ -XO\

5HSODFLQJ D 3RZHU 6XSSO\ )DQ &KDSWHU *75 %DVH 5DGLR )58 3URFHGXUHV
3URFHGXUH +RZ WR 5HSODFH D 3RZHU 6XSSO\ )DQ
'LVDEOH WKH FKDQQHO WKDW LV XVLQJ WKH SRZHU VXSSO\ IDQ \RX ZLOO UHSODFH

IDLOXUH
6HW WKH URFNHU VZLWFK RQ WKH IURQW RI WKH SRZHU VXSSO\ WR 2II
8VLQJ D 7 ELW ORRVHQ WKH WZR FDSWLYH VFUHZV RQ WKH IURQW RI WKH SRZHU VXSSO\
3XOO RQ WKH PHWDO KDQGOH WR GLVHQJDJH WKH SRZHU VXSSO\ IURP WKH EDFNSODQH DQG
UHPRYH LW FRPSOHWHO\ IURP WKH FKDVVLV
5HPRYH WKH EODFN IDQ FRYHU IURP WKH SRZHU VXSSO\ PRGXOH
8VLQJ D 7 ELW UHPRYH WKH VFUHZV WKDW FRQQHFW WKH FRYHU WR WKH VLGHV
RI WKH SRZHU VXSSO\ PRGXOH
6OLGH WKH FRYHU RII WLOWLQJ WKH WRS HGJH RXW DQG OLIWLQJ WKH ERWWRP HGJH DERYH
WKH SRZHU VXSSO\ KDQGOH
'LVFRQQHFW WKH SRZHU FDEOH ORFDWHG DERYH WKH IDQ
5HPRYH WKH WZR VFUHZV WKDW VHFXUH WKH IDQ WR WKH SRZHU VXSSO\
5HPRYH WKH IDQ DQG LQVHUW WKH QHZ IDQ
6HFXUH WKH IDQ WR WKH SRZHU VXSSO\ ZLWK WKH WZR VFUHZV
$WWDFK WKH SRZHU FDEOH IRU WKH IDQ WR WKH FRQQHFWLRQ RQ WKH SRZHU VXSSO\
5HSODFH WKH EODFN IDQ FRYHU
6OLGH WKH FRYHU RQ WLOWLQJ WKH ERWWRP HGJH LQ SDVW WKH SRZHU VXSSO\ KDQGOH
8VLQJ D 7 ELW LQVHUW DQG WLJKWHQ WKH VFUHZV WKDW FRQQHFW WKH FRYHU WR
WKH VLGHV RI WKH SRZHU VXSSO\ PRGXOH
6OLGH WKH )58 SRZHU VXSSO\ LQWR SODFH SXVKLQJ JHQWO\ XQWLO LW VHDWV
7LJKWHQ WKH WZR FDSWLYH VFUHZV RQ WKH IURQW RI WKH SRZHU VXSSO\ PRGXOH
3$ -XO\

*75 %DVH 5DGLR 5HSODFLQJ D 3RZHU $PSOLILHU
3URFHGXUH +RZ WR 5HSODFH D 3RZHU 6XSSO\ )DQ &RQWLQXHG

7XUQ WKH SRZHU EXWWRQ WR 2Q DQG YHULI\ WKDW WKH SRZHU VXSSO\ LV RSHUDWLQJ
SURSHUO\
7KH SRZHU VXSSO\ 6WDWXV /(' LV JUHHQ
7KH SRZHU VXSSO\ $ODUP /(' LV RII
7KH SRZHU VXSSO\ )DQ /(' LV RII DQG WKH IDQ LV RSHUDWLQJ
0DQDJHU DQG WKH 3RZHU 6XSSO\ 0HWHULQJ 6FUHHQ LQ &RQILJXUDWLRQ6HUYLFH
6RIWZDUH &66
5HSODFLQJ D 3RZHU $PSOLILHU

)LJXUH VKRZV WKH SRZHU DPSOLILHU )58 PRGXOH )LJXUH VKRZV WKH FDSWLYH VFUHZV WKDW VHFXUH
WKH SRZHU DPSOLILHU PRGXOH WR WKH FKDVVLV LQ WKH *75 %DVH 5DGLR
)LJXUH 3RZHU $PSOLILHU 0RGXOH
3$ -XO\

5HSODFLQJ D 3RZHU $PSOLILHU &KDSWHU *75 %DVH 5DGLR )58 3URFHGXUHV
)LJXUH &DSWLYH 6FUHZV
3URFHGXUH +RZ WR 5HSODFH D 3RZHU $PSOLILHU
,I WKH EDVH UDGLR LV QRW RSHUDWLRQDO VNLS WR VWHS
'LVDEOH WKH FKDQQHO WKDW LV XVLQJ WKH EDVH UDGLR DVVRFLDWHG ZLWK WKH SRZHU
DPSOLILHU PRGXOH \RX ZLOO UHSODFH
,W LV UHFRPPHQGHG WKDW \RX GLVDEOH WKH FKDQQHOV EHIRUH UHSODFLQJ WKH

IDLOXUH <RX FDQ GLVDEOH D FKDQQHO XVLQJ WKH 8QLILHG (YHQW 0DQDJHU
RU WKH &RQILJXUDWLRQ6HUYLFH 6RIWZDUH &66
,W LV QRW QHFHVVDU\ WR WXUQ RII WKH SRZHU VXSSO\ IRU WKH SRZHU
DPSOLILHU PRGXOH \RX DUH UHSODFLQJ DV WKH SRZHU DPSOLILHU PRGXOHV
DUH GHVLJQHG WR EH VZDSSHG RXW ZLWK WKH SRZHU RQ
,I \RX FKRRVH WR WXUQ RII WKH SRZHU VHW WKH URFNHU VZLWFK RQ WKH IURQW
RI WKH DVVRFLDWHG SRZHU VXSSO\ WR WKH 2II SRVLWLRQ
3$ -XO\

*75 %DVH 5DGLR 5HSODFLQJ D 3RZHU $PSOLILHU
3URFHGXUH +RZ WR 5HSODFH D 3RZHU $PSOLILHU &RQWLQXHG

5HPRYH WKH IDQ XQLW WR JDLQ DFFHVV WR WKH SRZHU DPSOLILHU PRGXOH 6HH 3URFHGXUH
IRU LQVWUXFWLRQV RQ UHPRYLQJ WKH IDQ XQLW
7KH SRZHU DPSOLILHU PRGXOH LV GHVLJQHG WR EH VZDSSHG RXW ZLWKRXW

VKXWWLQJ WKH SRZHU RII +RZHYHU \RX VKRXOG PLQLPL]H WKH DPRXQW RI
WLPH WKDW WKH IDQ LV UHPRYHG VR WKH FLUFXLWU\ WKDW UHPDLQV SRZHUHG RQ
GRHV QRW RYHUKHDW DQG VKXW GRZQ
,W LV UHFRPPHQGHG WKDW \RX OHW WKH SRZHU DPSOLILHU PRGXOH

FRRO EHIRUH SHUIRUPLQJ WKH IROORZLQJ VWHS ZKLFK ZLOO
H[SRVH VXUIDFHV RI WKH PRGXOH WKDW FDQ EH H[WUHPHO\ KRW
8VLQJ D 7 ELW ORRVHQ WKH WZR FDSWLYH VFUHZV RQ WKH IURQW RI WKH SRZHU DPSOLILHU
5HPRYH WKH 5) RXWSXW 41 FRQQHFWRU IURP WKH IURQW RI WKH SRZHU DPSOLILHU
PRGXOH DV IROORZV
3XOO WKH SRZHU DPSOLILHU RXW RI WKH FKDVVLV IDU HQRXJK VR WKDW WKH 41
TXLFN1 5) RXWSXW FRQQHFWRU LV DFFHVVLEOH
'LVFRQQHFW WKH FDEOH IURP WKH SRZHU DPSOLILHU
)LJXUH *75 3RZHU $PSOLILHU 5) &DEOH )URQW
8VLQJ WKH KDQGOH JHQWO\ SXOO WKH SRZHU DPSOLILHU PRGXOH VWUDLJKW RXW DORQJ WKH
JXLGHV RQ ZKLFK LW VLWV
5HFRQQHFW WKH 5) FDEOH WR WKH 5) RXWSXW 41 FRQQHFWRU RQ WKH IURQW RI WKH SRZHU
DPSOLILHU PRGXOH DV IROORZV
:KLOH KROGLQJ WKH 5) FDEOH VOLGH LQ WKH UHSODFHPHQW SRZHU DPSOLILHU
PRGXOH DORQJ WKH JXLGLQJ UDLOV XQWLO WKH 5) FDEOH FRQQHFWRU FDQ UHDFK WKH 5)
FRQQHFWLRQ RQ WKH IURQW RI WKH PRGXOH
3XVK WKH 5) FDEOH
V FRQQHFWRU RQ WR WKH PRGXOH
V FRQQHFWRU XQWLO LW VQDSV
VHFXUHO\ LQWR SODFH
3$ -XO\

5HSODFLQJ WKH *75 %DVH 5DGLR %DFNSODQH &KDSWHU *75 %DVH 5DGLR )58 3URFHGXUHV
3URFHGXUH +RZ WR 5HSODFH D 3RZHU $PSOLILHU &RQWLQXHG

6OLGH LQ WKH UHSODFHPHQW SRZHU DPSOLILHU PRGXOH XQWLO LW HQJDJHV ZLWK WKH
EDFNSODQH $ VOLJKW SXVK PD\ EH QHHGHG WR HQJDJH WKH PRGXOH
,I WKH SRZHU DPSOLILHU PRGXOH VWRSV ZHOO EHIRUH LW LV HQJDJHG LW LV LQ

DQ LQFRUUHFW SRVLWLRQ (LWKHU LW LV LQ WKH ZURQJ VORW RU LW LV URWDWHG
6HFXUH WKH SRZHU DPSOLILHU PRGXOH WR WKH FKDVVLV ZLWK WKH WZR FDSWLYH VFUHZV RQ
WKH IURQW RI WKH PRGXOH
5HLQVWDOO WKH IDQ XQLW 6HH 3URFHGXUH
,I \RX FKRVH WR WXUQ RII WKH SRZHU VHW WKH URFNHU VZLWFK RQ WKH IURQW
RI WKH DVVRFLDWHG SRZHU VXSSO\ WR WKH 2Q SRVLWLRQ
9HULI\ WKDW WKH SRZHU DPSOLILHU LV RSHUDWLQJ SURSHUO\
7KH SRZHU DPSOLILHU 6WDWXV DQG 7UDQVPLW /('V DUH JUHHQ
7KH $ODUP /(' LV RII
0DQDJHU DQG WKH 7UDQVPLWWHU 0HWHULQJ 6FUHHQ LQ &RQILJXUDWLRQ6HUYLFH
6RIWZDUH &66
5HSODFLQJ WKH *75 %DVH 5DGLR %DFNSODQH

,Q D *75 %DVH 5DGLR WKH ³EDFNSODQH´ LV WKH FLUFXLW ERDUG DW WKH UHDU RI WKH FDUG FDJH ZKLFK
FRQQHFWV WKH SRZHU VXSSO\ WUDQVFHLYHU DQG SRZHU DPSOLILHU )LJXUH VKRZV WKH PHWDO FRYHU
WKDW PXVW EH UHPRYHG WR DFFHVV WKH EDFNSODQH 6HH ³&RQQHFWLRQV ± 5HDU 7UXQNHG 6LPXOFDVW
DQG &RQYHQWLRQDO´ DQG ³&RQQHFWLRQV ± 5HDU +3' LQ WKH ,QVWDOODWLRQ FKDSWHU IRU WKH SRUWV DQG
FDEOHV WKDW PXVW EH GLVFRQQHFWHG LQ RUGHU WR UHPRYH WKH FRYHU
3$ -XO\

*75 %DVH 5DGLR 5HSODFLQJ WKH *75 %DVH 5DGLR %DFNSODQH
)LJXUH *75 %DVH 5DGLR 6KRZLQJ &RQQHFWLRQV WR %DFNSODQH 7KURXJK %DFNSODQH &RYHU
)ROORZ 3URFHGXUH WR UHSODFH WKH EDFNSODQH LQ D *75 %DVH 5DGLR
7KH SURFHGXUH DVVXPHV WKH IROORZLQJ VHUYLFH DFFHVV FOHDUDQFHV

$W OHDVW FP IW DFFHVV DW WKH UHDU RI WKH UDFN RU
$W OHDVW FP IW DFFHVV RQ RQH VLGH RI WKH UDFN DQG DW OHDVW LQFKHV DW WKH UHDU RI WKH UDFN
3URFHGXUH +RZ WR 5HSODFH D *75 %DVH 5DGLR %DFNSODQH
:HDU DQ HOHFWURVWDWLF GLVFKDUJH (6' VWUDS DQG FRQQHFW LWV FDEOH WR D YHULILHG
JRRG JURXQG %H VXUH WR ZHDU WKLV VWUDS WKURXJKRXW WKLV SURFHGXUH WR SUHYHQW (6'
GDPDJH WR DQ\ FRPSRQHQWV
,I WKH EDVH UDGLR LV QRW RSHUDWLRQDO VNLS WR VWHS
'LVDEOH WKH FKDQQHO WKDW LV XVLQJ WKH EDVH UDGLR ZLWK WKH EDFNSODQH \RX ZLOO
UHSODFH
3RZHULQJ GRZQ WKH EDVH UDGLR ZLOO FDXVH DQ\ DIILOLDWHG VXEVFULEHUV
WR UHORFDWH WR DQRWKHU FKDQQHO DW WKH VLWH RU DQRWKHU FKDQQHO DW DQ
DGMDFHQW VLWH ,W LV UHFRPPHQGHG WKDW \RX GLVDEOH WKH FKDQQHO EHIRUH
SRZHULQJ GRZQ VR WKDW WKH V\VWHP GRHV QRW DWWULEXWH WKH ORVV RI
FKDQQHO WR D IDLOXUH <RX FDQ GLVDEOH D FKDQQHO XVLQJ 8QLILHG (YHQW
0DQDJHU RU WKH &RQILJXUDWLRQ6HUYLFH 6RIWZDUH &66
3$ -XO\

3URFHGXUH +RZ WR 5HSODFH D *75 %DVH 5DGLR %DFNSODQH &RQWLQXHG
3XVK WKH SRZHU URFNHU VZLWFK WR 2II RQ WKH SRZHU VXSSO\ XQLW
/DEHO WKHQ GLVFRQQHFW DOO FDEOHV IURP WKH EDVH UDGLR EDFNSODQH
7KHUH LV DQ 5) RXWSXW FDEOH IURP WKH SRZHU DPSOLILHU ZKLFK FRQQHFWV

WKURXJK D PHWDO EXONKHDG WR WKH OHIW RI WKH EDFNSODQH 7KLV GRHV QRW
QHHG WR EH GLVFRQQHFWHG +RZHYHU WR DFFHVV WKH EDFNSODQH VFUHZ
EHKLQG WKH PHWDO EXONKHDG XVLQJ D 7 ELW \RX PXVW UHPRYH WKH
WZR VFUHZV VHFXULQJ WKH EXONKHDG WR WKH LQQHU FKDVVLV DW WKH OHIW RI
WKH EDFNSODQH
'LVFRQQHFW WKH 5- FDEOH IURP WKH 9 SRUW RQ WKH WUDQVFHLYHU LI DSSOLFDEOH
'LVFRQQHFW WKH PLQL 6&6, FDEOH IURP WKH 6\VWHP &RQQHFWRU SRUW RQ WKH
WUDQVFHLYHU LI DSSOLFDEOH
5HPRYH WKH SRZHU VXSSO\ PRGXOH IURP WKH FKDVVLV DV IROORZV
8VLQJ D 7 ELW ORRVHQ WKH WZR FDSWLYH VFUHZV RQ WKH IURQW RI WKH SRZHU
VXSSO\ VR WKDW WKH\ GLVHQJDJH IURP WKH FKDVVLV
,W LV UHFRPPHQGHG WKDW \RX OHW WKH SRZHU VXSSO\

PRGXOH FRRO EHIRUH SHUIRUPLQJ WKH IROORZLQJ VWHS
ZKLFK ZLOO H[SRVH VXUIDFHV RI WKH PRGXOH WKDW FDQ EH
H[WUHPHO\ KRW
3XOO RQ WKH PHWDO KDQGOH WR GLVHQJDJH WKH SRZHU VXSSO\ PRGXOH IURP WKH
EDFNSODQH DQG UHPRYH LW FRPSOHWHO\ IURP WKH FKDVVLV
5HPRYH WKH IDQ DVVHPEO\ XQLW WR JDLQ DFFHVV WR WKH WUDQVFHLYHU DQG SRZHU
DPSOLILHU PRGXOHV 6HH 3URFHGXUH IRU LQVWUXFWLRQV RQ UHPRYLQJ WKH IDQ XQLW
3$ -XO\

'LVHQJDJH WKH WUDQVFHLYHU PRGXOH DQG WKH SRZHU DPSOLILHU IURP WKH EDFNSODQH DV
IROORZV
8VLQJ D 7 ELW ORRVHQ WKH WZR FDSWLYH VFUHZV RQ WKH IURQW RI HDFK PRGXOH
,W LV UHFRPPHQGHG WKDW \RX OHW WKH SRZHU DPSOLILHU

PRGXOH FRRO EHIRUH SHUIRUPLQJ WKH IROORZLQJ VWHS
ZKLFK ZLOO H[SRVH VXUIDFHV RI WKH PRGXOH WKDW FDQ EH
H[WUHPHO\ KRW
8VLQJ WKHLU KDQGOHV JHQWO\ SXOO WKH PRGXOHV XQWLO WKH\ GLVHQJDJH IURP WKH
EDFNSODQH
8VLQJ D 7 ELW UHPRYH WKH VFUHZ WKDW VHFXUHV WKH WDE RQ WKH ULJKW (0, VSULQJ
SDQHO 6HH )LJXUH
5HPRYLQJ WKH OHIW (0, VSULQJ SDQHO LV RSWLRQDO

&DUHIXOO\ VOLGH WKH (0, VSULQJ SDQHO IRUZDUG QRWLQJ KRZ WKH SDQHO LV DIIL[HG RQWR
WKH SRZHU VXSSO\ JXLGH UDLO 7KH SDQHO GRHV QRW QHHG WR EH FRPSOHWHO\ UHPRYHG
5HPRYH WKH IDQ FDEOH IURP WKH EDFNSODQH IURP WKH IURQW RI WKH FKDVVLV ZLWK WKH
EDFNSODQH VWLOO VHFXUHG WR WKH FKDVVLV DV IROORZV
)ROORZ WKH IDQ FDEOH ZLWK \RXU KDQG IURP LWV FRQQHFWRU DW WKH IURQW RI WKH
FKDVVLV WR LWV FRQQHFWLRQ WR WKH EDFNSODQH WKURXJK WKH FDUG FDJH VHFWLRQ IURP
ZKLFK \RX UHPRYHG WKH SRZHU VXSSO\ PRGXOH
5HPRYH WKH IDQ FDEOH
V PXOWLSLQ FRQQHFWRU IURP WKH EDFNSODQH
SUGGESTION
6TXHH]H WKH WRS DQG ERWWRP RI WKH FRQQHFWRU DQG SXOO WKH FRQQHFWRU
VWUDLJKW RXW IURP WKH EDFNSODQH
5HPRYH WKH ILYH VFUHZV XVLQJ D 7 ELW WKDW VHFXUH WKH PHWDO EDFNSODQH FRYHU
DQG WKH EDFNSODQH FLUFXLW ERDUG WR WKH UHDU RI WKH EDVH UDGLR FKDVVLV
5HPRYH WKH PHWDO EDFNSODQH FRYHU DQG WKH EDFNSODQH FLUFXLW ERDUG
3ODFH WKH QHZ EDFNSODQH FLUFXLW ERDUG LQ WKH VDPH ORFDWLRQ DQG RULHQWDWLRQ DV WKH
RQH WKDW \RX UHPRYHG
3$ -XO\


%HIRUH VHFXULQJ WKH ILYH VFUHZV LQWR WKH EDFNSODQH FLUFXLW ERDUG DQG
EDFNSODQH FRYHU DOO VFUHZV VKRXOG EH VWDUWHG ILUVW EHIRUH WKH\ DUH
VHDWHG DQG IXOO\ VHFXUHG
6HFXUH WKH QHZ EDFNSODQH FLUFXLW ERDUG DQG WKH EDFNSODQH FRYHU WR WKH UHDU RI
WKH EDVH UDGLR FKDVVLV ZLWK WKH ILYH VFUHZV SUHYLRXVO\ UHPRYHG 7RUTXH WR
LQOEV
5HLQVWDOO WKH PHWDO EXONKHDG WKDW KROGV WKH 5) RXWSXW FDEOH IURP WKH SRZHU
DPSOLILHU XVLQJ WKH WZR VFUHZV SUHYLRXVO\ UHPRYHG WR VHFXUH LW WR WKH LQQHU
FKDVVLV DW WKH OHIW RI WKH EDFNSODQH
&RQQHFW WKH IDQ FDEOH WR WKH QHZ EDFNSODQH IURP WKH IURQW RI WKH FKDVVLV ZLWK
WKH EDFNSODQH VHFXUHG WR WKH FKDVVLV DV IROORZV
/RFDWH WKH SRUW LQ WKH QHZ EDFNSODQH IRU WKH IDQ FDEOH
V PXOWLSLQ FRQQHFWRU
)ROORZ WKH IDQ FDEOH ZLWK \RXU KDQG IURP LWV FRQQHFWRU DW WKH IURQW RI WKH
FKDVVLV WR WKH FRQQHFWRU DW WKH RWKHU HQG RI WKH FDEOH
3XVK WKH IDQ FDEOH
V PXOWLSLQ FRQQHFWRU ZLWK WKH WDE XS LQWR WKH FRUUHFW
ORFDWLRQ LQ WKH EDFNSODQH 6HH )LJXUH
)LJXUH )DQ &DEOH &RQQHFWRU
3$ -XO\

6OLGH WKH (0, VSULQJ SDQHO EDFN LQWR WKH FDELQHW PDNLQJ VXUH WKDW WKH RIIVHW WDEV
RQ WKH SDQHO DUH WR WKH ULJKW LQVLGH RI WKH SRZHU VXSSO\ JXLGH UDLO PDNLQJ VXUH
WKDW WKH SDQHO GRHV QRW FDWFK RQ WKH IDQ FDEOH 6HH )LJXUH
)LJXUH (0, 6SULQJ 3DQHO *XLGH 5DLO $OLJQPHQW
5HLQVWDOO WKH VFUHZ LQWR WKH (0, VSULQJ SDQHO WDE

6OLGH WKH WUDQVFHLYHU DQG SRZHU DPSOLILHU PRGXOHV LQWR WKH QHZ EDFNSODQH $
VOLJKW SXVK PD\ EH QHHGHG WR HQJDJH WKH PRGXOHV
5HFRQQHFW WKH 5- FDEOH WR WKH 9 SRUW RQ WKH WUDQVFHLYHU LI DSSOLFDEOH
5HFRQQHFW WKH PLQL 6&6, FDEOH WR WKH 6\VWHP &RQQHFWRU SRUW RQ WKH WUDQVFHLYHU
LI DSSOLFDEOH
6HFXUH WKH WUDQVFHLYHU DQG SRZHU DPSOLILHU PRGXOHV WR WKH FKDVVLV ZLWK WKH WZR
FDSWLYH VFUHZV RQ WKH IURQW RI HDFK PRGXOH
5HLQVWDOO WKH IDQ DVVHPEO\ XQLW 6HH 3URFHGXUH
6OLGH WKH SRZHU VXSSO\ LQWR WKH FKDVVLV SXVKLQJ JHQWO\ XQWLO LW VHDWV LQ WKH QHZ
EDFNSODQH
,I WKH SRZHU VXSSO\ GRHV QRW VHDW SURSHUO\ UHPRYH LW DQG DGMXVW WKH
(0, VSULQJ SDQHO SURSHUO\ DJDLQVW WKH PRXQWLQJ IODQJH
3$ -XO\

7LJKWHQ WKH WZR FDSWLYH VFUHZV RQ WKH IURQW RI WKH SRZHU VXSSO\
5HFRQQHFW DOO FDEOHV DW WKH UHDU RI WKH EDVH UDGLR
6HW WKH SRZHU VXSSO\ URFNHU VZLWFK WR 2Q
9HULI\ WKDW WKH /('V LQGLFDWH WKH PRGXOHV \RX UHPRYHG DQG UHLQVWDOOHG DUH
RSHUDWLRQDO
7KH 6WDWXV /('V DUH JUHHQ
7KH $ODUP /('V DUH RII
7KH SRZHU VXSSO\ )DQ /(' LV RII
(QDEOH WKH FKDQQHO DV IROORZV
5HVXOW 7KH FKDQQHO LV HQDEOHG
5HFRQILJXUH WKH 6HFXULW\ 6HWWLQJV LQWR WKH %DFNSODQH 6HH ³+RZ WR 6HW WKH 6HULDO
6HUYLFHV 8VLQJ &66´ LQ WKH &RQILJXUDWLRQ FKDSWHU
9HULI\ SURSHU RSHUDWLRQ XVLQJ VRIWZDUH WRROV LQFOXGLQJ
8QLILHG (YHQW 0DQDJHU
&RQILJXUDWLRQ6HUYLFH 6RIWZDUH &66
3$ -XO\

&KDSWHU

*75 %DVH 5DGLR 5HIHUHQFH
5HIHUHQFH LQIRUPDWLRQ IRU *75 %DVH 5DGLRV DQG VXEV\VWHPV LQFOXGHV /(' VWDWHV DQG
VSHFLILFDWLRQV IRU LQGLYLGXDO *75 %DVH 5DGLR 5)'6 PRGXOHV
7KLV FKDSWHU FRQWDLQV VXSSOHPHQWDO UHIHUHQFH LQIRUPDWLRQ UHODWLQJ WR *75 %DVH 5DGLR
/('V
0DQ\ RI WKH /('V RQ WKH *75 %DVH 5DGLR GHYLFHV SURYLGH DQ LQGLFDWLRQ IRU
RQH RU PRUH WKH IROORZLQJ FRQGLWLRQV
/DPS 7HVW 7KH /DPS 7HVW VWDWH LV XVHG WR YHULI\ WKDW WKH LQGLFDWRUV DUH RSHUDWLRQDO
)RU /DPS 7HVW WKH /('V VWD\ LQ WKLV VWDWH IRU RQO\ D VHFRQG RU OHVV
)DLOXUH ,QGLFDWHV D IDLOXUH WKDW FDQ RQO\ EH IL[HG WKURXJK UHSODFHPHQW ,I VRPHWKLQJ RWKHU
WKDQ D KDUGZDUH IDXOW LV FDXVLQJ WKH VWDWH ,PSDLUHG ZLOO EH LQGLFDWHG
,PSDLUHG 7KH GHYLFH LV QRW IXOO\ RSHUDWLRQDO GXH WR LQWHUQDO RU H[WHUQDO FDXVHV 6RPH
FRUUHFWLYH DFWLRQ PXVW EH WDNHQ WR JHW EDFN WR RSHUDWLRQ
%RRWLQJ 8S 7KH GHYLFH LV QRW LQ VHUYLFH GXH WR UXQQLQJ RI GLDJQRVWLFV RU LQLWLDOL]LQJ
2QOLQH ,QGLFDWHV WKDW WKH GHYLFH LV IXOO\ RSHUDWLRQDO
7KH /('V IRU WKH WUDQVFHLYHU DQG SRZHU DPSOLILHU PRGXOHV FDQ EH YLHZHG WKURXJK WKH GRRU
WR WKH OHIW RI WKH IDQV ZLWK WKH GRRU RSHQHG RU FORVHG
7UDQVFHLYHU /('V
7KLV VHFWLRQ FRYHUV WKH /('V IRU WKH WUDQVFHLYHU VHH )LJXUH
3$ -XO\

7UDQVFHLYHU /('V &KDSWHU *75 %DVH 5DGLR 5HIHUHQFH
)LJXUH *75 %DVH 5DGLR 7UDQVFHLYHU /('V YLHZDEOH WKURXJK GURSGRZQ GRRU
7KH 6WDWXV /(' LV JUHHQ DQG WKH $ODUP /(' LV UHG 7KHVH /('V VHH 7DEOH DUH HLWKHU
RII RU RQ GHSHQGLQJ RQ WKH FRQGLWLRQ RI WKH WUDQVFHLYHU
7DEOH 7UDQVFHLYHU 6WDWXV DQG $ODUP /('V
&RQGLWLRQ *UHHQ 6WDWXV /(' 5HG $ODUP /('

1R 3RZHU 2II 2II
/DPS 7HVW 2Q 2Q
)DLOXUH 2II 2Q
,PSDLUHG 2Q %OLQNLQJ
%RRWLQJ 8S %OLQNLQJ 2II
2QOLQH 2Q 2II
5HFHLYHU ,QKLELWHG 2Q 2II
5HFHLYHU $FWLYH 2Q 2II
0RQLWRU %HIRUH 'DWD 2Q 2II
7UDQVPLW
,OOHJDO &DUULHU 2Q 2II
&RQWURO &KDQQHO 2Q 2II
2SHUDWLQJ
&RQWURO &KDQQHO 2Q 2II
)DLOVRIW
6HUYLFH 0RGH 2Q 2II
7UDQVPLWWHU ,QKLELWHG 2Q %OLQNLQJ
,QIUDVWUXFWXUH /LQN 2Q 2II
&RQQHFWHG
,QIUDVWUXFWXUH /LQN 2Q 2II
'LVFRQQHFWHG
6:'/ 2Q 2II
:DUQLQJ 2Q 2II
0LQRU +DUGZDUH 2Q 2II
)DLOXUH
0DMRU +DUGZDUH 2Q 2II
)DLOXUH 5HG
3$ -XO\

*75 %DVH 5DGLR 7UDQVFHLYHU /('V
7DEOH 7UDQVFHLYHU 6WDWXV DQG $ODUP /('V &RQWLQXHG

&RQGLWLRQ *UHHQ 6WDWXV /(' 5HG $ODUP /('
&ULWLFDO +DUGZDUH 2Q 2II
)DLOXUH 5HG
96:5 )DXOW 2Q %OLQNLQJ
7KH IROORZLQJ /('V VHH 7DEOH LQGLFDWH (WKHUQHW OLQN FRQQHFWLRQV EHWZHHQ WKH
WUDQVFHLYHU VLWH FRQWUROOHUV DQG WKH IURQW SDQHO VHUYLFH SRUW
7DEOH 7UDQVFHLYHU (WKHUQHW /LQN 6WDWXV /('V
/(' 1DPH ,QGLFDWLRQ /(' 6WDWXV

(1(7 6&$ H[WHUQDO (WKHUQHW OLQN LQDFWLYH 5HPRWH 3+<0$& QRW 2II
FRQQHFWLRQ WR 6,7( &75/ $ GHWHFWHG
RQ WKH UHDU RI WKH FKDVVLV
(WKHUQHW OLQN HVWDEOLVKHG 5HPRWH 3+<0$& *UHHQ
GHWHFWHG DQG DXWRQHJRWLDWLRQ FRPSOHWHG
(WKHUQHW OLQN DFWLYH $FWLYHO\ WUDQVPLWWLQJ RU $PEHU
UHFHLYLQJ GDWD EOLQNLQJ
(1(7 6&% H[WHUQDO (WKHUQHW OLQN LQDFWLYH 5HPRWH 3+<0$& QRW 2II
FRQQHFWLRQ WR 6,7( &75/ % GHWHFWHG
RQ WKH UHDU RI WKH FKDVVLV
(1(7 69& IURQW SDQHO (WKHUQHW OLQN LQDFWLYH 5HPRWH 3+<0$& QRW 2II
VHUYLFH SRUW GHWHFWHG
7KH /('V VHH 7DEOH FDQ EH JUHHQ UHG RU DPEHU GHSHQGLQJ RQ WKH FRQGLWLRQ
7DEOH $SSOLFDWLRQ&RQWUROOHG 7UDQVFHLYHU /('V
/(' /(' /('

/('
&RQWURO 7;6HU ,QIUDVWUXFWXUH
&RQGLWLRQ 5HFHLYH
&KDQQHO YLFH VWD 3D\ORDG /LQN
6WDWXV
6WDWXV WXV 6WDWXV
%RRWLQJ 8S
/DPS 7HVW $PEHU $PEHU $PEHU $PEHU
5HFHLYHU ,QKLELWHG $PEHU
EOLQNLQJ
5HFHLYHU $FWLYH *UHHQ
0RQLWRU %HIRUH 'DWD 7UDQVPLW *UHHQ
3$ -XO\

7UDQVFHLYHU 2SWLRQ &DUG ,QWHUFRP /(' &KDSWHU *75 %DVH 5DGLR 5HIHUHQFH
7DEOH $SSOLFDWLRQ&RQWUROOHG 7UDQVFHLYHU /('V &RQWLQXHG

/(' /(' /('
/('
&RQWURO 7;6HU ,QIUDVWUXFWXUH
&RQGLWLRQ 5HFHLYH
&KDQQHO YLFH VWD 3D\ORDG /LQN
6WDWXV
6WDWXV WXV 6WDWXV
,OOHJDO &DUULHU 5HG
EOLQNLQJ
&RQWURO &KDQQHO 2SHUDWLQJ *UHHQ
&RQWURO &KDQQHO )DLOVRIW *UHHQ
EOLQNLQJ
6HUYLFH 0RGH $PEHU
7UDQVPLWWHU ,QKLELWHG $PEHU
EOLQNLQJ
,QIUDVWUXFWXUH /LQN &RQQHFWHG *UHHQ
,QIUDVWUXFWXUH /LQN 'LVFRQQHFWHG *UHHQ EOLQNLQJ
'XULQJ D QRUPDO ERRW XS VHTXHQFH /('V WKURXJK EOLQN IURP OHIW WR ULJKW DQG IURP ULJKW WR
OHIW FRQWLQXRXVO\ IRU VHYHUDO VHFRQGV
)RU WKH VHUYLFHFRQWUROOHG /('V VHH 7DEOH WKH FRORU RI DOO /('V PXVW EH REVHUYHG
LQ RUGHU WR LQWHUSUHW WKH FRQGLWLRQ RI WKH WUDQVFHLYHU
7DEOH 6HUYLFHV&RQWUROOHG 7UDQVFHLYHU /('V
/(' /('
&RQGLWLRQ /('
6:'/9/$1 )DXOW
/DPS 7HVW $PEHU $PEHU $PEHU
5HFHLYHU ,QKLELWHG 5HG
7UDQVPLWWHU ,QKLELWHG 5HG
6:'/ 6RIWZDUH 'RZQORDG *UHHQ
WUDQVIHU LQ SURJUHVV
:DUQLQJ $PEHU
0LQRU +DUGZDUH )DLOXUH $PEHU EOLQNLQJ
0DMRU +DUGZDUH )DLOXUH 5HG EOLQNLQJ
&ULWLFDO +DUGZDUH )DLOXUH 5HG
96:5 )DXOW 5HG
7UDQVFHLYHU 2SWLRQ &DUG ,QWHUFRP /('

7KH 7UDQVFHLYHU 2SWLRQ &DUG ,QWHUFRP /(' LQGLFDWHV WKH LQWHUFRP IXQFWLRQ EHWZHHQ WKH 21 DQG 2)) VWDWHV
7KH WUDQVFHLYHU RSWLRQ FDUG LQWHUFRP IXQFWLRQ LV UHVHUYHG IRU IXWXUH XVH
3$ -XO\

*75 %DVH 5DGLR 3RZHU $PSOLILHU /('V
)LJXUH 7UDQVFHLYHU 2SWLRQ &DUG ,QWHUFRP /(' YLHZDEOH EHKLQG WKH IDQ PRGXOH
3RZHU $PSOLILHU /('V

7KLV VHFWLRQ FRYHUV WKH /('V IRU WKH SRZHU DPSOLILHU VHH )LJXUH
)LJXUH 3RZHU $PSOLILHU /('V YLHZDEOH WKURXJK GURSGRZQ GRRU
7KH FRORU RI DOO WKH SRZHU DPSOLILHU

V /('V VHH 7DEOH PXVW EH REVHUYHG LQ RUGHU WR
LQWHUSUHW WKH SRZHU DPSOLILHU
V FRQGLWLRQ )RU H[DPSOH
,I WKH $ODUP /(' LV UHG DQG WKH 7UDQVPLW DQG 6WDWXV /('V DUH QRW OLW WKH FRQGLWLRQ LV
³3$ )DLOXUH´ DQG WKH SRZHU DPSOLILHU PRGXOH VKRXOG EH UHSODFHG
7DEOH 3RZHU $PSOLILHU /('V
7UDQVPLW
&RQGLWLRQ 6WDWXV $ODUP
;0,7
3RZHU 2II 2II 2II 2II
/DPS 7HVW $PEHU *UHHQ 5HG
1RW 7UDQVPLWWLQJ 2II *UHHQ 2II
7UDQVPLWWLQJ DW )XOO 5HTXHVWHG *UHHQ *UHHQ 2II
2XWSXW 3RZHU
7UDQVPLWWLQJ DW /HVV 7KDQ $PEHU *UHHQ 5HG EOLQNLQJ
5HTXHVWHG 3RZHU
3$ )DLOXUH 5HG 2II 5HG
5HFHLYH 2QO\ 2II 2II 2II
3$ -XO\

)DQ 0RGXOH /(' &KDSWHU *75 %DVH 5DGLR 5HIHUHQFH
7DEOH 3RZHU $PSOLILHU /('V &RQWLQXHG

7UDQVPLW
&RQGLWLRQ 6WDWXV $ODUP
;0,7
7UDQVPLWWHU ,QKLELWHG 2II *UHHQ 5HG EOLQNLQJ
)DQ 0RGXOH /('

7KLV VHFWLRQ FRYHUV WKH /('V IRU WKH IDQ PRGXOH VHH )LJXUH
)LJXUH )DQ 0RGXOH$ODUP /(' DW ORZHU ULJKW FRUQHU
7KH IDQ PRGXOH KDV RQH ³)DQ $ODUP´ /(' YLVLEOH RQ WKH ORZHU ULJKW FRUQHU RI LWV IURQW SDQHO 7KH
$ODUP LV UHG GXULQJ /DPS 7HVW IRU D VHFRQG RU OHVV DQG UHPDLQV UHG LI WKHUH LV D IDQ IDLOXUH $
IDQ IDLOXUH DODUP RFFXUV LI WKH EXLOW LQ VSHHG VHQVRU GHWHFWV WKDW HLWKHU IDQ GURSV IURP UDWHG
VSHHG $ UHG )DQ $ODUP LQGLFDWHV WKDW WKH IDQ PRGXOH QHHGV WR EH UHSODFHG
7KH *75 %DVH 5DGLR ZLOO RSHUDWH DW IXOO FDSDELOLW\ IRU DW OHDVW VHYHQ GD\V DIWHU WKH IDQ DODUP
ILUVW RFFXUV DOORZLQJ QRUPDO RSHUDWLRQ ZLWKRXW UHTXLULQJ DQ LPPHGLDWH VHUYLFH FDOO
3$ -XO\

*75 %DVH 5DGLR 3RZHU 6XSSO\ /('V
3RZHU 6XSSO\ /('V

7KLV VHFWLRQ FRYHUV WKH /('V IRU WKH SRZHU VXSSO\ VHH )LJXUH
)LJXUH 3RZHU 6XSSO\ 0RGXOH
7KH SRZHU VXSSO\ KDV WKUHH /('V VHH 7DEOH YLVLEOH IURP WKH IURQW SDQHO 7KH FRORU RI DOO WKH
SRZHU VXSSO\
V /('V PXVW EH REVHUYHG LQ RUGHU WR LQWHUSUHW LWV FRQGLWLRQ )RU H[DPSOH
,I WKH $ODUP DQG )DQ /('V DUH UHG DQG WKH 6WDWXV /(' LV JUHHQ WKH FRQGLWLRQ LV ³/DPS 7HVW´
,I WKH $ODUP /(' LV UHG DQG WKH )DQ DQG 6WDWXV /('V DUH QRW OLW WKH
FRQGLWLRQ LV ³3RZHU 6XSSO\ )DLOXUH´
7DEOH 3RZHU 6XSSO\ /('V
&RQGLWLRQ )DQ 6WDWXV $ODUP

3RZHU 2II 2II 2II 2II
/DPS 7HVW 5HG *UHHQ 5HG
2QOLQH 2II *UHHQ 2II
,PSDLUHG 2II *UHHQ 5HG EOLQNLQJ
3RZHU 6XSSO\ )DLOXUH 2II 2II 5HG
3RZHU 6XSSO\ )DQ )DLOXUH 5HG *UHHQ 2II
3$ -XO\

&KDSWHU

*75 %DVH 5DGLR 'LVDVWHU 5HFRYHU\
7KLV FKDSWHU SURYLGHV UHIHUHQFHV DQG LQIRUPDWLRQ WKDW ZLOO HQDEOH \RX WR UHFRYHU D *75
%DVH 5DGLR LQ WKH HYHQW RI IDLOXUH
5HFRYHU\ 6HTXHQFH IRU *75 %DVH 5DGLR

)ROORZ WKH VWHSV LQ 3URFHVV WR UHFRYHU WKH *75 %DVH 5DGLR
3URFHVV 5HFRYHULQJ WKH *75 %DVH 5DGLR
5HSODFH WKH *75 %DVH 5DGLR WUDQVFHLYHU PRGXOH 6HH &KDSWHU ³+RZ WR 5HSODFH WKH
7UDQVFHLYHU 0RGXOH´ LQ WKH *75 %DVH 5DGLR PDQXDO
3HUIRUP EDVLF GHYLFH FRQILJXUDWLRQ YLD WKH VHULDO SRUW 6HH &KDSWHU ³+RZ WR &RQQHFW 7KURXJK
D 6HULDO 3RUW /LQN´ LQ WKH *75 %DVH 5DGLR PDQXDO
6HW WKH ,3 DGGUHVV RI WKH GHYLFH 6HH &KDSWHU ³+RZ WR 6HW D 'HYLFHV ,3 $GGUHVV LQ
&66´ LQ WKH *75 %DVH 5DGLR PDQXDO
6HW WKH VHULDO VHFXULW\ VHUYLFHV 6HH &KDSWHU ³+RZ WR 6HW WKH 6HULDO 6HFXULW\ 6HUYLFHV
8VLQJ &66´ LQ WKH *75 %DVH 5DGLR PDQXDO
3HUIRUP EDVLF GHYLFH FRQILJXUDWLRQ YLD WKH (WKHUQHW SRUW 6HH &KDSWHU ³+RZ WR &RQQHFW
7KURXJK DQ (WKHUQHW 3RUW /LQN´ LQ WKH *75 %DVH 5DGLR PDQXDO
6HW WKH FXUUHQW GDWH DQG WLPH LQ &66 6HH &KDSWHU ³+RZ WR 6HW WKH 'DWH DQG 7LPH 8VLQJ
6HW XS WKH ORFDO 3DVVZRUG &RQILJXUDWLRQ XVLQJ WKH &66 RSWLRQDO 6HH &KDSWHU ³+RZ WR
6HW WKH /RFDO 3DVVZRUG &RQILJXUDWLRQ 8VLQJ &66´ LQ WKH *75 %DVH 5DGLR PDQXDO
3$ -XO\

5HFRYHU\ 6HTXHQFH IRU *75 %DVH 5DGLR &KDSWHU *75 %DVH 5DGLR 'LVDVWHU 5HFRYHU\
3URFHVV 5HFRYHULQJ WKH *75 %DVH 5DGLR &RQWLQXHG

&RPSOHWH WKH FRQILJXUDWLRQ RI WKH ,QIRUPDWLRQ $VVXUDQFH IHDWXUHV XVLQJ &66 DV IROORZV
&KDQJH WKH 6103Y FRQILJXUDWLRQ DQG XVHU FUHGHQWLDOV IURP &66 6HH &KDSWHU ³+RZ
WR &KDQJH 6103Y &RQILJXUDWLRQ DQG 8VHU &UHGHQWLDOV 8VLQJ &66´ LQ WKH *75 %DVH
5DGLR PDQXDO
&UHDWH XSGDWH RU GHOHWH DQ 6103Y XVHU 6HH &KDSWHU ³+RZ WR $GG RU 0RGLI\ DQ
6103Y 8VHU 8VLQJ &66´ LQ WKH *75 %DVH 5DGLR PDQXDO
9HULI\ WKH 6103Y FUHGHQWLDOV 6HH &KDSWHU ³+RZ WR 9HULI\ 6103Y &UHGHQWLDOV 8VLQJ
6HW WKH 6:'/ WUDQVIHU PRGH 6HH &KDSWHU ³+RZ WR 6HW WKH 6:'/ 7UDQVIHU 0RGH 8VLQJ
&RQILJXUH '16 XVLQJ WKH &66 6HH &KDSWHU ³&RQILJXULQJ '16 8VLQJ &66´ LQ WKH
&RQILJXUH IRU 66+ 6HH &KDSWHU ³&RQILJXULQJ 66+ IRU 5) 6LWH 'HYLFHV DQG 930V 8VLQJ
&66´ LQ WKH 6HFXULQJ 3URWRFROV ZLWK 66+ PDQXDO RU VHH ³'HYLFH 6HFXULW\ &RQILJXUDWLRQ 5HPRWH
$FFHVV/RJLQ %DQQHU (WKHUQHW´ LQ WKH &66 2QOLQH +HOS
0DNH VXUH WR 5HVWRUH WKH &OHDU 3URWRFROV SDUDPHWHUV

(QDEOH 5$',86 $XWKHQWLFDWLRQ XVLQJ WKH &66 6HH &KDSWHU ³&RQILJXULQJ 5$',86
6RXUFHV DQG 3DUDPHWHUV 8VLQJ &66´ LQ WKH $XWKHQWLFDWLRQ 6HUYLFHV PDQXDO
(QDEOH &HQWUDOL]HG $XWKHQWLFDWLRQ XVLQJ WKH &66 6HH &KDSWHU ³(QDEOLQJ'LVDEOLQJ
&HQWUDOL]HG $XWKHQWLFDWLRQ 8VLQJ &66´ LQ WKH $XWKHQWLFDWLRQ 6HUYLFHV PDQXDO
6HW WKH /RFDO &DFKH 6L]H IRU &HQWUDOL]HG $XWKHQWLFDWLRQ XVLQJ WKH &66 6HH &KDSWHU
³6HWWLQJ WKH /RFDO &DFKH 6L]H IRU &HQWUDO $XWKHQWLFDWLRQ 8VLQJ &66´ LQ WKH $XWKHQWLFDWLRQ
6HUYLFHV PDQXDO
(QDEOH &HQWUDOL]HG (YHQW /RJJLQJ XVLQJ WKH &66 RSWLRQDO 6HH &KDSWHU ³+RZ WR
(QDEOH'LVDEOH &HQWUDOL]HG (YHQW /RJJLQJ RQ 'HYLFHV 8VLQJ &66´ DQG &KDSWHU ³(YHQW
/RJJLQJ &OLHQW &RQILJXUDWLRQ´ IRU SURSHU KRVWQDPHV LQ WKH &HQWUDOL]HG (YHQW /RJJLQJ PDQXDO
6HW WKH 173 6HUYHU 6HWWLQJV 6HH ³&KDSWHU ³6HWWLQJ WKH 173 6HUYHU 6HWWLQJV´ LQ WKH *75
%DVH 5DGLR PDQXDO
3HUIRUP D VLWH VRIWZDUH GRZQORDG 6:'/ ZLWK WKH 6103Y SDFNDJH LI 6103Y LV GHVLUHG
RI WKH GHYLFH DQG DVVRFLDWHG VLWH GHYLFHV 5HIHU WR RQH RI WKH IROORZLQJ SURFHGXUHV
7UXQNHG *75 %DVH 5DGLRV
ƕ )RU *75 %DVH 5DGLRV ZLWK 36& 6LWH &RQWUROOHU 3URFHGXUH +RZ
WR 'RZQORDG 6RIWZDUH DQG &RQILJXUDWLRQ 6HWWLQJV WR D *75 %DVH 5DGLR ±
36& 6LWH &RQWUROOHU RQ SDJH
ƕ )RU *75 %DVH 5DGLRV ZLWK *&3 6LWH &RQWUROOHU 3URFHGXUH +RZ
WR 'RZQORDG 6RIWZDUH DQG &RQILJXUDWLRQ 6HWWLQJV WR D *75 %DVH 5DGLR ±
*&3 6LWH &RQWUROOHU RQ SDJH
&RQYHQWLRQDO *75 %DVH 5DGLRV5HIHU WR ³'RZQORDGLQJ 6RIWZDUH´ LQ WKH 6RIWZDUH

'RZQORDG PDQXDO 7R SHUIRUP WKH VRIWZDUH GRZQORDG RSHUDWLRQ IROORZ WKH ³3HUIRUPLQJ
2SHUDWLRQV RQ D 6LQJOH 2IIOLQH 'HYLFH´ SURFHGXUH
3$ -XO\

*75 %DVH 5DGLR 5HFRYHU\ 6HTXHQFH IRU *75 %DVH 5DGLR
3URFHVV 5HFRYHULQJ WKH *75 %DVH 5DGLR &RQWLQXHG
)RU D FRQYHQWLRQDO EDVH UDGLR VRIWZDUH GRZQORDG VKRXOG EH GRQH

LQGHSHQGHQWO\ FKRRVLQJ 6,1*/( '(9,&( PRGH
2Q V\VWHPV ZLWK 0$& 3RUW ORFNLQJ GLVDEOH WKH ORFNLQJ DQG WKHQ UHHQDEOH WKH ORFNLQJ ZLWK WKH
0$& DGGUHVV RI WKH EDVH UDGLR 7KH GHYLFH EHLQJ UHSODFHG PD\ EH FRQQHFWHG WR DQ (WKHUQHW
SRUW RQ D VZLWFK ZKLFK LPSOHPHQWV 0$& 3RUW ORFNLQJ +3 VZLWFK RU VLWH FRQWUROOHU ,I VR
WKH (WKHUQHW VZLWFK SRUW ZLOO QHHG WR EH XQORFNHG DQG UHORFNHG WR WKH 0$& DGGUHVV RI WKH
UHSODFHPHQW GHYLFH 6HH WKH (WKHUQHW 3RUW 6HFXULW\ YROXPH IRU LQVWUXFWLRQV RQ KRZ WR GLVDEOH
DQG HQDEOH 0$& SRUW ORFNLQJ
)ROORZLQJ WKH GHYLFH UHVWRUDWLRQ LI LW ZDV FRQQHFWHG WR DQ +3 VZLWFK SRUW WKH +3

VZLWFK SRUW PD\ KDYH EHHQ GLVDEOHG GXH WR DQ XQH[SHFWHG 0$& DGGUHVV ,I VR
UHHQDEOH WKH SRUW RQ WKH +3 VZLWFK
'LVFRYHU WKH EDVH UDGLR LQ WKH 81& 6HH WKH 8QLILHG 1HWZRUN &RQILJXUDWRU PDQXDO
'LVFRYHU WKH EDVH UDGLR LQ WKH 8(0 6HH WKH 8QLILHG (YHQW 0DQDJHU PDQXDO
&RPSDUH WKH FRQILJXUDWLRQ RI WKH UHSODFHPHQW GHYLFH ZLWK WKH FRQILJXUDWLRQ RI WKH UHSODFHG
GHYLFH E\ UXQQLQJ WKH &RPSDUH IXQFWLRQ LQ WKH FRQILJXUDWLRQ KLVWRU\ RQ WKH 81& )RU LQVWUXFWLRQV
RQ ³+RZ WR 5XQ WKH &RPSDUH )XQFWLRQ´ UHIHU WR WKH 8QLILHG 1HWZRUN &RQILJXUDWRU PDQXDO
&KHFN IRU DQ\ GLIIHUHQFHV EHWZHHQ WKH FRQILJXUDWLRQV DQG GHWHUPLQH ZKHWKHU HLWKHU
FRQILJXUDWLRQ QHHGV WR EH FRUUHFWHG
,I WKH SUHYLRXV FRQILJXUDWLRQ QHHGV WR EH UHVWRUHG WKHQ SHUIRUP D
³5ROOEDFN´ FRQILJXUDWLRQ SURFHGXUH DV GHVFULEHG LQ WKH 8QLILHG
1HWZRUN &RQILJXUDWRU PDQXDO
,I WKH FXUUHQW FRQILJXUDWLRQ FDQ EH FKDQJHG DQG VHQW WR WKH EDVH
UDGLR WKHQ SHUIRUP D ³&RQILJXUDWLRQ &KDQJH´ SURFHGXUH DV
GHVFULEHG LQ WKH 8QLILHG 1HWZRUN &RQILJXUDWRU PDQXDO
7KH IROORZLQJ SURFHGXUH GRHV QRW DSSO\ WR D VLWH ZLWK D *&3 6LWH &RQWUROOHU 7R
SHUIRUP WKH GRZQORDG IRU D VLWH ZLWK D *&3 6LWH &RQWUROOHU UHIHU WR 3URFHGXUH
+RZ WR 'RZQORDG 6RIWZDUH DQG &RQILJXUDWLRQ 6HWWLQJV WR D *75 %DVH
5DGLR ± *&3 6LWH &RQWUROOHU RQ SDJH
3$ -XO\

3URFHGXUH +RZ WR 'RZQORDG 6RIWZDUH DQG &RQILJXUDWLRQ 6HWWLQJV WR D *75

%DVH 5DGLR ± 36& 6LWH &RQWUROOHU
7UDQVIHU DQG LQVWDOO WKH ODWHVW VRIWZDUH XVLQJ 6RIWZDUH 'RZQORDG 6:'/ ZLWK 6103Y
SDFNDJH LI 6103Y LV GHVLUHG WR WKH VLWH FRQWUROOHU DQG EDVH UDGLRV DV IROORZV
&RQQHFW DQ (WKHUQHW VWUDLJKW WKURXJK FDEOH EHWZHHQ WKH (WKHUQHW SRUW RQ WKH FRPSXWHU DQG
WKH (WKHUQHW /$1 VZLWFK 7KH ODSWRS ,3 DGGUHVV PXVW EH VHW WR DQ DGGUHVV RQ WKH VXEQHW RI WKH
ORFDO VLWH ZKLFK YDULHV GHSHQGLQJ RQ WKH VLWH DQG ]RQH QXPEHUV
6HOHFW &RQQHFWLRQ &RQILJXUDWLRQ IURP WKH 7RROV PHQX RU FOLFN WKH &RQQHFW WR 'HYLFH EXWWRQ
RQ WKH WRROEDU
5HVXOW 7KH &RQQHFWLRQ 6FUHHQ DSSHDUV
9HULI\ WKDW (WKHUQHW LV VHOHFWHG LQ WKH &RQQHFWLRQ 7\SH DUHD
6SHFLI\ WKH ,3 DGGUHVV IRU WKH GHYLFH LQ WKH (WKHUQHW 6HWWLQJV DUHD 'R WKH IROORZLQJ
,) \RX 7+(1
.QRZ WKH ,3 DGGUHVV RI WKH GHYLFH
(QWHU WKH ,3 DGGUHVV RI WKH GHYLFH LQ WKH
'HYLFH ,3 $GGUHVV ILHOG
&RQWLQXH ZLWK VWHS
'R QRW NQRZ WKH ,3 DGGUHVV RI WKH GHYLFH
EXW NQRZ WKH V\VWHP LGHQWLILFDWLRQ RI WKH
GHYLFH WKH ]RQH VLWH DQG GHYLFH ,' RI 5HVXOW 7KH '16 ,3 $GGUHVV &DOFXODWLRQ VFUHHQ
WKH GHYLFH GLDORJ ER[ DSSHDUV
6HOHFW WKH GHVLUHG GHYLFH W\SH IURP WKH 'HYLFH
OLVW ER[
(QWHU WKH SURSHU YDOXHV LQ WKH =RQH 6LWH DQG
'HYLFH ,' ILHOGV
&OLFN 2.
ILHOG
&RQWLQXH ZLWK VWHS
7R PDNH WKH FRQQHFWLRQ FOLFN &RQQHFW
6HOHFW 5HDG &RQILJXUDWLRQ )URP 'HYLFH IURP WKH )LOH PHQX <RX FDQ DOVR FOLFN WKH 5HDG
&RQILJXUDWLRQ WR 'HYLFH EXWWRQ
5HVXOW 7KH SDUDPHWHUV GRZQORDG IURP WKH GHYLFH WR WKH FRPSXWHU :KHQ WKH GRZQORDG
LV FRPSOHWH WKH &66 0DLQ ZLQGRZ RSHQV
<RX FDQ XVH WKH PDS RQ WKH OHIW VLGH RI WKH VFUHHQ WR YLHZ FRQILJXUDWLRQ LQIRUPDWLRQ IRU WKH
GHYLFH
3$ -XO\

3URFHGXUH +RZ WR 'RZQORDG 6RIWZDUH DQG &RQILJXUDWLRQ 6HWWLQJV WR D *75 %DVH
5DGLR ± 36& 6LWH &RQWUROOHU &RQWLQXHG
'RZQORDG DQG LQVWDOO WKH QHFHVVDU\ VRIWZDUH RQWR WKH VLWH FRQWUROOHUV DQG EDVH UDGLR DV IROORZV
6HOHFW WKH 6LWH 7\SH 5HSHDWHU
6HOHFW WKH =RQH DQG 6LWH
&OLFN &RQQHFW
5HVXOW 7KH V\VWHP FRQQHFWV WR WKH VSHFLILHG ]RQH DQG VLWH
6HOHFW ERWK 5HSHDWHU 6LWH &RQWUROOHU DQG 6LWH 5HSHDWHU IRU WKH $SSOLFDWLRQ 7\SH
6HOHFW D 6RIWZDUH &RPSRQHQW IURP WKH GURSGRZQ OLVW
,I WKH GHVLUHG 6RIWZDUH &RPSRQHQW QHHGV WR EH LPSRUWHG
ƕ *R WR )LOH )LOH 0DQDJHU WKHQ VHOHFW &RPSRQHQW 2SHUDWLRQV,PSRUW )LOHVHW DQG
EURZVH WR WKH ORFDWLRQ RI WKH ILOHVHW
ƕ 6HOHFW WKH ILOHVHW FOLFN *HQHUDWH WR FUHDWH D QHZ FRPSRQHQW IRU WKH LPSRUWHG ILOHVHW
WKHQ FOLFN 2.
&OLFN 6WDUW 2SHUDWLRQ EXWWRQ WR GRZQORDG DQG LQVWDOO WKH VRIWZDUH
7KH 6RIWZDUH 'RZQORDG FOLHQW VRIWZDUH PD\ GLVSOD\ D ZDUQLQJ WKDW DOO GHYLFH W\SHV
PXVW EH XSJUDGHG DW WKH VDPH WLPH DQG WKDW 6LWH &RQWUROOHURQO\ RU &KDQQHORQO\
LQVWDOOV DUH SURKLELWHG ,I WKDW ZDUQLQJ LV GLVSOD\HG HQVXUH WKDW \RX DUH SHUIRUPLQJ
D 6LWH 6:'/ UDWKHU WKDQ D VLQJOH GHYLFH 6:'/
5HVXOW 7KH VLWH FRQWUROOHUV DQG WKH EDVH UDGLRV DUH DOO ORDGHG ZLWK WKH QHZ VRIWZDUH
5HVWRUH &RGHSOXJ $UFKLYH IURP EDFNXS 5HORDG WKH EDVH UDGLR FRQILJXUDWLRQ ILOH RQ WR WKH
QHZ EDVH UDGLR DV IROORZV
)URP WKH &66 DSSOLFDWLRQ )LOH PHQX VHOHFW 2SHQ /RFDWH DQG RSHQ WKH SUHYLRXVO\ VDYHG
FRQILJXUDWLRQ ILOH IRU WKH EDVH UDGLR DQG FOLFN 2. RQ WKH 3URSHUWLHV ZLQGRZ
,I \RX ZHUH QRW DEOH WR EDFN XS WKH EDVH UDGLR FRQILJXUDWLRQ IURP WKH SUHYLRXV
EDVH UDGLR \RX FDQ XVH WKH FRQILJXUDWLRQ IURP \RXU V\VWHP EXLOG ERRN RU XVH WKH
GHIDXOW EDVH UDGLR FRQILJXUDWLRQ ILOH 6SHFLILF VHWWLQJV IRU WKH EDVH UDGLR PXVW VWLOO
EH FRQILJXUHG 6HH WKH &66 2QOLQH +HOS RU &KDSWHU LQ WKH *75 %DVH 5DGLR
PDQXDO IRU GHWDLOHG FRQILJXUDWLRQ LQVWUXFWLRQV
)URP WKH )LOH PHQX VHOHFW :ULWH &RQILJXUDWLRQ 7R 'HYLFH DQG WKHQ FOLFN 2. RQ WKH
FRQILUPDWLRQ PHVVDJH
3$ -XO\

5DGLR ± 36& 6LWH &RQWUROOHU &RQWLQXHG
5HVXOW 7KH FRQILJXUDWLRQ IURP WKH ILOH \RX VHOHFWHG LV ORDGHG LQWR WKH QHZ EDVH UDGLR
2SHQ &66 DQG VHOHFW 0RGH 6FUHHQ IURP WKH 6HUYLFH PHQX
'LVFRQQHFW WKH ODSWRS 3& IURP WKH VLWH FRQWUROOHU
3URFHGXUH +RZ WR 'RZQORDG 6RIWZDUH DQG &RQILJXUDWLRQ 6HWWLQJV WR D *75

%DVH 5DGLR ± *&3 6LWH &RQWUROOHU
&RQQHFW DQ (WKHUQHW VWUDLJKW WKURXJK FDEOH EHWZHHQ WKH (WKHUQHW SRUW RQ WKH FRPSXWHU DQG WKH
(WKHUQHW VHUYLFH SRUW RQ WKH VLWH FRQWUROOHU 7KH ODSWRS ,3 DGGUHVV PXVW EH VHW WR DQ DGGUHVV RQ
WKH VXEQHW RI WKH ORFDO VLWH ZKLFK YDULHV GHSHQGLQJ RQ WKH VLWH DQG ]RQH QXPEHUV 6HH &KDSWHU
³+RZ WR &RQQHFW 7KURXJK DQ (WKHUQHW 3RUW /LQN´ LQ WKH *&3 6LWH &RQWUROOHU PDQXDO
,I [ VHUYLFHV DUH HQDEOHG RQ WKH VLWH FRQWUROOHU DQ [ ORJLQ DFFRXQW WR
FRQQHFW WR WKH (WKHUQHW SRUW LV QHHGHG $Q [ DFFRXQW LV D FHQWUDOO\ PDQDJHG
DFFRXQW 6HH &KDSWHU ³[ 6HUYLFH 3RUW 3URFHGXUHV IRU *&3 6LWH
&RQWUROOHU´ LQ WKH [ 6HUYLFH 3RUWV RQ 6ZLWFKHV PDQXDO
'RZQORDG DQG LQVWDOO WKH QHFHVVDU\ VRIWZDUH RQWR WKH VLWH FRQWUROOHUV DQG EDVH UDGLR DV IROORZV
6HOHFW WKH 6LWH 7\SH 5HSHDWHU +3' RU 6LPXOFDVW
6HOHFW WKH =RQH 6LWH DQG LI DSSOLFDEOH WKH 6XEVLWH 7KH 6XEVLWH ,' LV RQO\ DYDLODEOH ZKHQ
WKH 6LWH ,' LV EHWZHHQ
&OLFN &RQQHFW
5HVXOW 7KH V\VWHP FRQQHFWV WR WKH VSHFLILHG ]RQH DQG VLWH
6HOHFW WKH $SSOLFDWLRQ 7\SH
ƕ )RU DQ +3' VLWH VHOHFW ERWK +3' 6LWH &RQWUROOHU DQG +3' %DVH 5DGLR
ƕ )RU D 5HSHDWHU VLWH VHOHFW ERWK 5HSHDWHU 6LWH &RQWUROOHU DQG 6LWH 5HSHDWHU
ƕ )RU D 6LPXOFDVW VLWH VHOHFW 0XOWLVLWH %DVH 5DGLR
ƕ )RU D 6LPXOFDVW VLWH ZLWK D *3% 5HIHUHQFH 'LVWULEXWLRQ 0RGXOH VHOHFW 0XOWLVLWH
%DVH 5DGLR DQG *3% 5HIHUHQFH 'LVWULEXWLRQ 0RGXOH
6HOHFW D 6RIWZDUH &RPSRQHQW IURP WKH GURSGRZQ OLVW
3$ -XO\

5DGLR ± *&3 6LWH &RQWUROOHU &RQWLQXHG
%RWK WKH VLWH FRQWUROOHU DQG EDVH UDGLR VRIWZDUH PXVW EH FKRVHQ DV SDUW RI WKH 6LWH
6RIWZDUH 'RZQORDG
,I WKH GHVLUHG 6RIWZDUH &RPSRQHQW QHHGV WR EH LPSRUWHG
ƕ *R WR )LOH )LOH 0DQDJHU WKHQ VHOHFW &RPSRQHQW 2SHUDWLRQV,PSRUW )LOHVHW DQG
EURZVH WR WKH ORFDWLRQ RI WKH ILOHVHW
ƕ 6HOHFW WKH ILOHVHW FOLFN *HQHUDWH WR FUHDWH D QHZ FRPSRQHQW IRU WKH LPSRUWHG ILOHVHW
WKHQ FOLFN 2.
&OLFN 6WDUW 2SHUDWLRQ EXWWRQ WR GRZQORDG DQG LQVWDOO WKH VRIWZDUH

5HVXOW 7KH VLWH GHYLFHV DUH DOO ORDGHG ZLWK WKH QHZ VRIWZDUH
5HVWRUH &RGHSOXJ $UFKLYH IURP EDFNXS 5HORDG WKH EDVH UDGLR FRQILJXUDWLRQ ILOH RQ WR WKH
QHZ EDVH UDGLR DV IROORZV
)URP WKH )LOH PHQX VHOHFW 2SHQ /RFDWH DQG RSHQ WKH SUHYLRXVO\ VDYHG FRQILJXUDWLRQ
ILOH IRU WKH EDVH UDGLR
,I \RX ZHUH QRW DEOH WR EDFN XS WKH EDVH UDGLR FRQILJXUDWLRQ IURP WKH SUHYLRXV
EDVH UDGLR \RX FDQ XVH WKH FRQILJXUDWLRQ IURP \RXU V\VWHP EXLOG ERRN RU XVH WKH
GHIDXOW EDVH UDGLR FRQILJXUDWLRQ ILOH 6SHFLILF VHWWLQJV IRU WKH EDVH UDGLR PXVW VWLOO
EH FRQILJXUHG 6HH WKH &66 2QOLQH +HOS RU &KDSWHU RI WKH *75 %DVH 5DGLR
PDQXDO IRU GHWDLOHG FRQILJXUDWLRQ LQVWUXFWLRQV
&OLFN 2. RQ WKH 3URSHUWLHV ZLQGRZ
)URP WKH )LOH PHQX VHOHFW :ULWH &RQILJXUDWLRQ 7R 'HYLFH WKHQ FOLFN 2. RQ WKH
FRQILUPDWLRQ PHVVDJH
5HVXOW 7KH FRQILJXUDWLRQ IURP WKH ILOH \RX VHOHFWHG LV ORDGHG LQWR WKH QHZ EDVH UDGLR
2SHQ &66 DQG VHOHFW 0RGH 6FUHHQ IURP WKH 6HUYLFH PHQX
'LVFRQQHFW WKH ODSWRS 3& IURP WKH /$1 VZLWFK
3$ -XO\

Manual PDF

Uploaded by

Document Information

Original Title

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

Manual PDF

Uploaded by

Copyright:

Available Formats

System Release 7.

INTEGRATED VOICE AND DATA

© 2011 Motorola Solutions, Inc. All rights reserved.

7KH (XURSHDQ 8QLRQ

9HUVLRQ 'HVFULSWLRQ 'DWH

3$ -XO\  L

7KLV SDJH LQWHQWLRQDOO\ OHIW EODQN

LL 3$ -XO\ 

)LJXUH  *75  %DVH 5DGLR

3$ -XO\  

6XSSRUWHG 6\VWHP &RQILJXUDWLRQV

6XSSRUWHG )UHTXHQFLHV IRU 7UXQNHG ,9 ' DQG $6752 

6XSSRUWHG )UHTXHQFLHV IRU +3'

 3$ -XO\ 

2YHUYLHZ )RU D *75  %DVH 5DGLR LQ D 7UXQNHG

5)'6 LQIRUPDWLRQ SURYLGHG LQ WKLV GRFXPHQWDWLRQ SHUWDLQV WR WKH 5)'6

2YHUYLHZ )RU D *75  %DVH 5DGLR LQ D +LJK

3$ -XO\  

)LJXUH  *75  %DVH 5DGLRV LQ +3' 5HPRWH 6LWH

 3$ -XO\ 

2YHUYLHZ IRU D *75  %DVH 5DGLR LQ &RQYHQWLRQDO

&&*: RU FRQQHFWLRQ WR DQ $6752  &RQYHQWLRQDO  6\VWHP $67527$& 

3$ -XO\  

 &HQWUDOL]HG &RQYHQWLRQDO $UFKLWHFWXUHV

*3:  5HFHLYHU

*75  %DVH 5DGLR &RPSRQHQWV

*75  %DVH 5DGLR 'HVFULSWLRQ

 3$ -XO\ 

7DEOH  *75  %DVH 5DGLR 0RGXOHV &RQWLQXHG

1RW DSSOLFDEOH LQ WKH *3:  5HFHLYHU

*75  %DVH 5DGLR 6SHFLILFDWLRQV

6SHFLILFDWLRQV DUH VXEMHFW WR FKDQJH ZLWKRXW QRWLFH

3$ -XO\  

*75  %DVH 5DGLR 6SHFLILFDWLRQV IRU 7UXQNHG 6LPXOFDVW DQG

$ERYH  PHWHUV  IHHW  WKH GHUDWLQJ

$ERYH  PHWHUV  IHHW  WKH SHDN

0D[LPXP RSHUDWLRQDO DOWLWXGH LV  PHWHUV

 3$ -XO\ 

)XOO WUDQVPLWWHU RXWSXW SRZHU LV DYDLODEOH GXULQJ EDWWHU\ UHYHUW

3$ -XO\  

 3$ -XO\ 

,& $SSURYDO ,& 0RGHO

*75  %DVH 5DGLR 6SHFLILFDWLRQV IRU 7UXQNHG 6LPXOFDVW DQG

$ERYH  PHWHUV  IHHW  WKH GHUDWLQJ

0D[LPXP RSHUDWLRQDO DOWLWXGH LV  PHWHUV

3$ -XO\  

 3$ -XO\ 

6SXULRXV DQG ,PDJH 5HVSRQVH 5HMHFWLRQ  G%

3$ -XO\  

,& $SSURYDO ,& 0RGHO

*75  %DVH 5DGLR 6SHFLILFDWLRQV IRU 7UXQNHG 6LPXOFDVW DQG

 3$ -XO\ 

$ERYH  PHWHUV  IHHW  WKH GHUDWLQJ

0D[LPXP RSHUDWLRQDO DOWLWXGH LV  PHWHUV

3$ -XO\  

)XOO WUDQVPLWWHU RXWSXW SRZHU LV DYDLODEOH GXULQJ EDWWHU\ UHYHUW

&)0  G%P

 3$ -XO\ 

,& $SSURYDO ,& 0RGHO

3$ -XO\  

*75  %DVH 5DGLR 6SHFLILFDWLRQV IRU 7UXQNHG 6LPXOFDVW DQG

$ERYH  PHWHUV  IHHW  WKH GHUDWLQJ

0D[LPXP RSHUDWLRQDO DOWLWXGH LV  PHWHUV

3$ -XO\ L

7KLV SDJH LQWHQWLRQDOO\ OHIW EODQN

LL 3$ -XO\

)LJXUH *75 %DVH 5DGLR

3$ -XO\

6XSSRUWHG )UHTXHQFLHV IRU 7UXQNHG ,9 ' DQG $6752

3$ -XO\

2YHUYLHZ )RU D *75 %DVH 5DGLR LQ D 7UXQNHG

2YHUYLHZ )RU D *75 %DVH 5DGLR LQ D +LJK

3$ -XO\

)LJXUH *75 %DVH 5DGLRV LQ +3' 5HPRWH 6LWH

3$ -XO\

2YHUYLHZ IRU D *75 %DVH 5DGLR LQ &RQYHQWLRQDO

&&*: RU FRQQHFWLRQ WR DQ $6752 &RQYHQWLRQDO 6\VWHP $67527$&

3$ -XO\

&HQWUDOL]HG &RQYHQWLRQDO $UFKLWHFWXUHV

*3: 5HFHLYHU

*75 %DVH 5DGLR &RPSRQHQWV

*75 %DVH 5DGLR 'HVFULSWLRQ

3$ -XO\

7DEOH *75 %DVH 5DGLR 0RGXOHV &RQWLQXHG

1RW DSSOLFDEOH LQ WKH *3: 5HFHLYHU

*75 %DVH 5DGLR 6SHFLILFDWLRQV

6SHFLILFDWLRQV DUH VXEMHFW WR FKDQJH ZLWKRXW QRWLFH

3$ -XO\

*75 %DVH 5DGLR 6SHFLILFDWLRQV IRU 7UXQNHG 6LPXOFDVW DQG

$ERYH PHWHUV IHHW WKH GHUDWLQJ

$ERYH PHWHUV IHHW WKH SHDN

0D[LPXP RSHUDWLRQDO DOWLWXGH LV PHWHUV

3$ -XO\

)XOO WUDQVPLWWHU RXWSXW SRZHU LV DYDLODEOH GXULQJ EDWWHU\ UHYHUW

3$ -XO\

3$ -XO\

*75 %DVH 5DGLR 6SHFLILFDWLRQV IRU 7UXQNHG 6LPXOFDVW DQG

$ERYH PHWHUV IHHW WKH GHUDWLQJ

0D[LPXP RSHUDWLRQDO DOWLWXGH LV PHWHUV

3$ -XO\

3$ -XO\

6SXULRXV DQG ,PDJH 5HVSRQVH 5HMHFWLRQ G%

3$ -XO\

*75 %DVH 5DGLR 6SHFLILFDWLRQV IRU 7UXQNHG 6LPXOFDVW DQG

3$ -XO\

$ERYH PHWHUV IHHW WKH GHUDWLQJ

0D[LPXP RSHUDWLRQDO DOWLWXGH LV PHWHUV

3$ -XO\

)XOO WUDQVPLWWHU RXWSXW SRZHU LV DYDLODEOH GXULQJ EDWWHU\ UHYHUW

&)0 G%P

3$ -XO\

3$ -XO\

*75 %DVH 5DGLR 6SHFLILFDWLRQV IRU 7UXQNHG 6LPXOFDVW DQG

$ERYH PHWHUV IHHW WKH GHUDWLQJ

0D[LPXP RSHUDWLRQDO DOWLWXGH LV PHWHUV

3$ -XO\

)XOO WUDQVPLWWHU RXWSXW SRZHU LV DYDLODEOH GXULQJ EDWWHU\ UHYHUW

3$ -XO\

3$ -XO\

*75 %DVH 5DGLR 6SHFLILFDWLRQV IRU +LJK 3HUIRUPDQFH 'DWD

3$ -XO\

)XOO WUDQVPLWWHU RXWSXW SRZHU LV DYDLODEOH GXULQJ EDWWHU\ UHYHUW

3$ -XO\

)DGHG 6HQVLWLYLW\ %LW (UURU 5DWH 78

3$ -XO\

3$ -XO\

)XQFWLRQV RI WKH *75 %DVH 5DGLR 0RGXOHV

7KH IROORZLQJ OLVWV *75 %DVH 5DGLR PRGXOHV

)LJXUH 7UDQVFHLYHU 0RGXOH )URQW 9LHZ

3$ -XO\

)LJXUH *75 %DVH 5DGLR ,QIRUPDWLRQ )ORZ

3$ -XO\

)LJXUH 7UDQVFHLYHU 5HVHW 6ZLWFK YLHZDEOH WKURXJK GURSGRZQ GRRU

7DEOH 7UDQVFHLYHU )URQW 5HVHW 6ZLWFK )XQFWLRQV

3$ -XO\

)LJXUH 7UDQVFHLYHU 0RGXOH %DFNSODQH &RQQHFWLRQV

3$ -XO\

7KH 3$ PRGXOH LV QRW DSSOLFDEOH LQ D *3: 5HFHLYHU

)LJXUH 3RZHU $PSOLILHU 0RGXOH

7KH SRZHU DPSOLILHU LV FRPSULVHG RI VL[ LQWHUQDO PRGXOHV

3RZHU $PSOLILHU ,QSXW2XWSXW &RQQHFWLRQV

3$ -XO\

5) RXWSXW IURQW 41 ³TXLFN1´ FRQQHFWRU RQ IURQW RI SRZHU DPSOLILHU PRGXOH