RKQ 'Hhuh 6wdqgdug: - '6 'Udiwlqj /LQHV /hwwhulqj 6/perov $eeuhyldwlrqv

-RKQ 'HHUH 6WDQGDUG
$33529(' )25 -'6*

6833/,(5 ',675,%87,21
'UDIWLQJ
/LQHV /HWWHULQJ 6\PEROV
$EEUHYLDWLRQV
6&23(
*(1(5$/
/,1(6
/(77(5,1*
6<0%2/6 $%%5(9,$7,216
6<0%2/6 63(&,$//< )25 86( 21 '5$:,1*6
*(1(5$/ $%%5(9,$7,216 6<0%2/6
6<0%2/6 $%%5(9,$7,216 )25 86 &86720$5< 81,76
6<0%2/6 $%%5(9,$7,216 )25 &+(0,&$/ (/(0(176
:(/',1* 6<0%2/6
5()(5(1&(6
,VVXHG $XJ 5HYLVHG 1RY 7HUP &RGH 'HVLJQ &RQWURO '7 3DJH RI
6XSHUVHGHV 1RY
-RKQ 'HHUH VWDQGDUGV DUH LQWHQGHG IRU XVH E\ 'HHUH &RPSDQ\ LWV GLYLVLRQV DQG VXEVLGLDULHV 6XSSOLHUV ZKR UHO\ RQ WKHP LQ
IXUQLVKLQJ SURGXFWV WR RU IRU WKH EHQHILW RI WKH &RPSDQ\ PXVW GHWHUPLQH WKDW WKH\ DUH LQ SRVVHVVLRQ RI WKH ODWHVW YHUVLRQ 'LVWULEXWLRQ
RI WKH VWDQGDUGV WR SDUWLHV RWKHU WKDQ -RKQ 'HHUH 6XSSOLHUV ZKHWKHU ZLWK RU ZLWKRXW FKDUJH DUH IRU LQIRUPDWLRQ RQO\ DQG 'HHUH
&RPSDQ\ GLVFODLPV DOO UHVSRQVLELOLW\ IRU UHVXOWV DWWULEXWDEOH WR WKH DSSOLFDWLRQ RI RU FRPSOLDQFH ZLWK VXFK VWDQGDUGV 7KH &RPSDQ\
PDNHV QR SUHVHQWDWLRQ H[SUHVV RU LPSOLHG WKDW FRQIRUPLW\ LQVXUHV FRPSOLDQFH ZLWK DSSOLFDEOH ODZ RU RWKHU UXOHV RU UHJXODWLRQV
)XUWKHU WKRVH ZKR DUH LQ UHFHLSW RI DQG HOHFW WR XVH WKH VWDQGDUGV DJUHH WR DVVXPH WKH UHVSRQVLELOLW\ IRU FRPSOLDQFH ZLWK SDWHQWV DV
ZHOO DV SRWHQWLDO SDWHQW LQIULQJHPHQW
'HHUH &RPSDQ\ (QJLQHHULQJ 6WDQGDUGV 'HSDUWPHQW -RKQ 'HHUH 5RDG 0ROLQH ,OOLQRLV 8QSXEOLVKHG $OO ULJKWV UHVHUYHG
XQGHU WKH FRS\ULJKW ODZV
$33529(' )25
-'6* 6833/,(5 ',675,%87,21
6&23(
7KLV VWDQGDUG FRYHUV VWDQGDUG OLQH FRQYHQWLRQV OHWWHULQJ V\PEROV DQG DEEUHYLDWLRQV IRU XVH RQ -RKQ 'HHUH
GUDZLQJV &RPPRQ V\PEROV DQG DEEUHYLDWLRQV XVHG LQ HQJLQHHULQJ VSHFLILFDWLRQV DUH DOVR LQFOXGHG
*(1(5$/
/LQHV OHWWHULQJ DQG V\PEROV PXVW EH VKDUS GHQVH EODFN DQG XQLIRUP WR HQVXUH OHJLEOH UHSURGXFWLRQV ,Q FDVHV
RI GUDZLQJ UHYLVLRQ WKH RULJLQDO OLQHZRUN DQG OHWWHULQJ VKRXOG EH PDWFKHG DV FORVHO\ DV SRVVLEOH
/,1(6
/,1( :,'7+ 7ZR ZLGWKV RI OLQHV DV VKRZQ LQ )LJXUH DUH UHFRPPHQGHG IRU XVH RQ GUDZLQJV 7KH
UDWLR RI OLQH ZLGWKV VKRXOG EH DSSUR[LPDWHO\ 2QH ZLGWK RI OLQHV LV DFFHSWDEOH RQ GUDZLQJV SUHSDUHG
PHFKDQLFDOO\ RU HOHFWURQLFDOO\ DQG RQ XQGLPHQVLRQHG GUDZLQJV 7KH DFWXDO ZLGWK RI OLQHV VKRXOG EH FKRVHQ
DFFRUGLQJ WR WKH VL]H DQG W\SH RI GUDZLQJ DQG WKH VPDOOHVW VL]H WR ZKLFK LW ZLOO EH UHGXFHG /LQHV RI WKH VDPH
W\SH KDYH WKH VDPH ZLGWK RQ WKH VDPH GUDZLQJ
/LQH ZLGWKV FRQIRUP WR $60( <0 DQG ,62 H[FHSW DV IROORZV
7<3( 2) /,1( $33/,&$7,21 )250(5/< 86(' 7<3( 2) /,1(

&KDLQ WKLFN DW HQGV DQG DW
FKDQJHV RI GLUHFWLRQ WKLQ
HOVHZKHUH ZLWK YLHZLQJ GLUHFWLRQ
DUURZV$ 5HFRPPHQGHG
&XWWLQJ SODQH ZKHUH D VHFWLRQ
LV WDNHQ
/RQJ GDVKHV WKLFN ZLWK YLHZLQJ /RQJ GDVKHV H[WUD WKLFN WHUPLQDWHG
GLUHFWLRQ DUURZV% E\ DUURZV LQGLFDWLQJ WKH YLHZLQJ
GLUHFWLRQ
9LHZLQJ GLUHFWLRQ IRUPHUO\ ÝLHZLQJ

$UURZ WKLFN$ 5HFRPPHQGHG
SODQHµ
7ZR DUURZV FRQQHFWHG E\ ORQJ
GDVKHV WKLFN% 9LHZLQJ GLUHFWLRQ DQG H[WHQW RI
D SDUWLDO YLHZ LI QRW REYLRXV IRUPHUO
ÝLHZLQJ SODQHµ
$'RHV QRW FRQIRUP WR $60( <0

%'RHV QRW FRQIRUP WR ,62
),*85( $33/,&$7,21 2) /,1(6

$33529(' )25
6833/,(5 ',675,%87,21 -'6*
9LHZLQJ SODQH OLQH
([WHQVLRQ OLQH 'LPHQVLRQ OLQH

&HQWHU OLQH
+LGGHQ OLQH
%UHDN OLQH
&XWWLQJ SODQH OLQH
9LVLEOH OLQH
&HQWHU OLQH
$ SDWK RI PRWLRQ
$ /HDGHU
&KDLQ OLQH
3KDQWRP OLQH
6HFWLRQ OLQLQJ
6(&7,21 $$ 9,(: %
),*85( $33/,&$7,216 2) /,1(6

$33529(' )25
-'6* 6833/,(5 ',675,%87,21
/,1( 7<3(6 $33/,&$7,216 /LQH W\SHV DQG DSSOLFDWLRQV DUH GHVFULEHG LQ )LJXUH /LQH
DSSOLFDWLRQ H[DPSOHV DUH VKRZQ LQ )LJXUH &HQWHU OLQHV VKRXOG VWDUW DQG HQG ZLWK ORQJ GDVKHV DQG VKRXOG
LQWHUVHFW E\ FURVVLQJ HLWKHU WKH ORQJ RU VKRUW GDVKHV DQG QRW DW VSDFHV
+LGGHQ OLQHV VKRXOG EHJLQ DQG HQG ZLWK GDVKHV LQ FRQWDFW ZLWK WKH YLVLEOH RU KLGGHQ OLQHV IURP ZKLFK WKH\ VWDUW
DQG HQG )LJXUH D DQG G H[FHSW ZKHQ WKH GDVK ZRXOG IRUP D FRQWLQXDWLRQ RI D YLVLEOH OLQH )LJXUH I DQG K
'DVKHV VKRXOG MRLQ DW FRUQHUV )LJXUH F DQG H DQG DUFV VKRXOG EHJLQ ZLWK GDVKHV DW WDQJHQW SRLQWV
)LJXUH J
),*85( +,''(1 /,1( 7(&+1,48(

$33529(' )25
6833/,(5 ',675,%87,21 -'6*
6,03/,),(' 5(35(6(17$7,21 2) 6&5(: 7+5($'6 7KH FUHVWV RI YLVLEOH VFUHZ WKUHDGV DUH
UHSUHVHQWHG E\ D FRQWLQXRXV WKLFN OLQH 6HH )LJXUHV DQG
7KH URRWV RI YLVLEOH VFUHZ WKUHDGV DUH UHSUHVHQWHG
LQ D VLGHYLHZ$ E\ WKLQ GDVKHV 6HH )LJXUHV DQG

LQ D VLGHYLHZ$ E\ D WKLQ VROLG OLQH 6HH )LJXUHV DQG
LQ DQ HQG YLHZ RI XQFKDPIHUHG WKUHDGV E\ D FLUFOH RI WKLQ GDVKHV 6HH )LJXUHV DQG
LQ DQ HQG YLHZ RI XQFKDPIHUHG WKUHDGV E\ DQ DUF RI D WKLQ VROLG OLQH 6HH )LJXUHV DQG
LQ DQ HQG YLHZ RI FKDPIHUHG WKUHDGV E\ D FRQWLQXRXV WKLFN FLUFOH 6HH )LJXUHV DQG
7KH FUHVWV DQG URRWV RI KLGGHQ VFUHZ WKUHDGV DUH ERWK UHSUHVHQWHG E\ WKLQ GDVKHV RU WKLQ OLQHV 6HH )LJXUHV
WKUX
)RU VHFWLRQ YLHZV RI WKUHDGHG SDUWV WKH KDWFKLQJ VKRXOG H[WHQG WR WKH OLQH UHSUHVHQWLQJ WKH FUHVWV RI WKH
WKUHDGV 6HH )LJXUHV DQG
7KH OLPLW RI XVHIXO IXOO IRUP WKUHDG LV VKRZQ E\ D FRQWLQXRXV WKLFN OLQH LI WKH OLPLW LV YLVLEOH )LJXUHV
DQG RU E\ WKLQ GDVKHV LI WKH OLPLW LV KLGGHQ )LJXUHV DQG
,I WKH LQFRPSOHWH UXQRXW WKUHDGV DUH QRW GLPHQVLRQHG DQG LI WKHUH LV QR OLNHOLKRRG RI PLVXQGHUVWDQGLQJ WKH
URRW RI WKH LQFRPSOHWH WKUHDGV QHHG QRW EH VKRZQ% 6HH )LJXUHV DQG
$,Q WKH VLGH YLHZ YLVLEOH VFUHZ WKUHDGV DUH H[WHUQDO WKUHDGV RU LQWHUQDO WKUHDGV H[SRVHG E\ VHFWLRQLQJ RQ WKH FHQWHUOLQH
%$60( < UHTXLUHV WKH LQFRPSOHWH UXQRXW WKUHDGV WR EH VKRZQ ZKHWKHU RU QRW WKH\ DUH WR EH FRQWUROOHG )LJXUHV DQG
GR QRW DJUHH ZLWK $60( <

$33529(' )25
-'6* 6833/,(5 ',675,%87,21
),*85( $60( ),*85( $60(
),*85( ,62 ),*85( ,62
),*85( $60( ),*85( $60(
),*85( ,62 ),*85( ,62
),*85( $60( ),*85( $60(
),*85( ,62 ),*85( ,62

$33529(' )25
6833/,(5 ',675,%87,21 -'6*
/(77(5,1*
67</( 8SSHU FDVH OHWWHUV VKDOO EH XVHG IRU DOO OHWWHULQJ RQ GUDZLQJV H[FHSW ZKHUH ORZHU FDVH OHWWHUV
DUH UHTXLUHG LQ V\PEROV IRU 6O XQLWV /HWWHULQJ PD\ EH HLWKHU LQFOLQHG RU YHUWLFDO EXW RQO\ RQH VW\OH VKRXOG EH
XVHG RQ WKH VDPH GUDZLQJ /HWWHULQJ RU PHFKDQLFDOO\ SURGXFHG FKDUDFWHUV VKRXOG FRQIRUP LQ JHQHUDO WR WKH
*RWKLF VW\OH DQG PXVW EH OHJLEOH LQ IXOO RU UHGXFHG VL]H UHSURGXFWLRQ ´2SHQµ OHWWHUV PXVW EH PDLQWDLQHG WR
DYRLG ILOOLQJ LQ GXULQJ PLFURILOPLQJ RU SULQWLQJ )RU OHJLELOLW\ DQG UDSLG H[HFXWLRQ LQFOLQHG FKDUDFWHUV DV VKRZQ
LQ )LJXUH DUH UHFRPPHQGHG IRU IUHHKDQG OHWWHULQJ
K
% K
),*85( 9(57,&$/ /(77(5,1*

/(77(5,1* % 2) ,62
$(LWKHU RI WKHVH FKDUDFWHUV LV DFFHSWDEOH

%7KLV FKDUDFWHU LV LQFOXGHG LQ ,62

$33529(' )25
-'6* 6833/,(5 ',675,%87,21
K
% K
),*85( ,1&/,1(' /(77(5,1*

/(77(5,1* % 2) ,62
$(LWKHU RI WKHVH FKDUDFWHUV LV DFFHSWDEOH

%7KLV FKDUDFWHU LV LQFOXGHG LQ ,62

$33529(' )25
6833/,(5 ',675,%87,21 -'6*
6,=( 63$&,1* 7KH UHTXLUHG FKDUDFWHU KHLJKW LV QRUPDOO\ JRYHUQHG E\ OHJLELOLW\ ZKHQ UHGXFHG E\
PLFURILOPLQJ 7KH UHFRPPHQGHG PLQLPXP OHWWHULQJ KHLJKWV K DUH JLYHQ LQ 7DEOH DQG )LJXUH &KDUDFWHUV
VKRXOG EH XQLIRUPO\ VSDFHG D PLQLPXP RI K DSDUW IRU OHJLEOH UHSURGXFWLRQ 1XPHUDOV KDYLQJ D GHFLPDO
SRLQW EHWZHHQ WKHP VKRXOG EH VSDFHG D PLQLPXP RI K :RUGV VKRXOG EH VHSDUDWHG E\ D PLQLPXP VSDFH
RI K 0LQLPXP VSDFH EHWZHHQ OLQHV E LV K KRZHYHU ZKHUH ODQJXDJH LV LQYROYHG DGGLWLRQDO VSDFH
PXVW EH SURYLGHG IRU ODWHU DGGLWLRQ RI WUDQVODWLRQV 1RWHV VKRXOG EH VHSDUDWHG WR PDLQWDLQ WKH LGHQWLW\ RI HDFK
QRWH
7$%/( 5(&200(1'(' /(77(5,1* +(,*+7
K
/(77(5,1* +(,*+76$
/(77(5,1* '5$:,1* 6,=(
$33/,&$7,21 '(6,*1$7,21 0$18$/ (/(&7521,&$//<
0,1,080 35()(55(' *(1(5$7('
3DUW 1XPEHU $OO
6KHHW 1R $OO
$SSURYHG 7HUP $ $ % $ & $ ' $*

3DUW
1DPH -'6* ( $ - .
$GGLWLRQDO
$OO
0RGLILHUV
$ $ % $ & $ *
6HFWLRQ
6 WL 9LHZ
9L ' $
'HVLJQDWLRQV
( $ - .
7UDQVODWLRQV $ $ % $ & $ *

6HFRQG /DQJXDJH% ' $ ( $ - .
$ $ % $ & $ *
$OO 2WKHU
'LPHQVLRQV 7ROHUDQFHV ' $
1 W
1RWHV HWF
W ( $ - .
$)RU DQ LOOXVWUDWLRQ RI OHWWHULQJ H[DPSOHV VHH )LJXUH
%8SSHU FDVH OHWWHULQJ RQO\ ,I ORZHU FDVH FKDUDFWHUV DUH UHTXLUHG WKH PLQLPXP OHWWHU KHLJKWV DUH JLYHQ IRU ´$OO 2WKHUµ
PP
),*85( /(77(5,1* 6,=( (;$03/(6

$33529(' )25
-'6* 6833/,(5 ',675,%87,21
6<0%2/6 $%%5(9,$7,216
$ V\PERO LV D FRQYHQWLRQDO VLJQ XVHG WR UHSUHVHQW DQ RSHUDWLRQ D TXDQWLW\ DQ HOHPHQW D UHODWLRQVKLS RU D

TXDOLW\ 6\PEROV LQFOXGLQJ OHWWHU V\PEROV DUH LQGHSHQGHQW RI ODQJXDJH
86( 2) 6<0%2/6 $%%5(9,$7,216
$ SHULRG LV QRW DGGHG DIWHU D OHWWHU V\PERO H[FHSW DW WKH HQG RI D VHQWHQFH $ SHULRG VKRXOG QRW EH
DGGHG DIWHU DQ DEEUHYLDWLRQ H[FHSW DW WKH HQG RI D VHQWHQFH RU ZKHUH LWV RPLVVLRQ ZRXOG UHVXOW LQ FRQIXVLRQ
7KH VDPH V\PERO RU DEEUHYLDWLRQ LV XVHG IRU ERWK VLQJXODU DQG SOXUDO DV ÉEOµ IRU ERWK ÉDUUHOµ DQG
ÉDUUHOVµ ,Q PDQ\ FDVHV WKH VDPH DEEUHYLDWLRQ LV XVHG IRU DOO WHQVHV SDUWLFLSOH HQGLQJV SRVVHVVLYH DQG WKH
QRXQ DQG PRGLILHU IRUPV RI D WHUP DV ´DGMµ IRU ´DGMXVWµ ´DGMXVWHGµ ´DGMXVWHUµ DQG ´DGMXVWLQJµ
6\PEROV RU DEEUHYLDWLRQV IRU XQLWV RI PHDVXUHPHQW VKRXOG EH XVHG LQ WH[W RQO\ ZKHQ SUHFHGHG E\
WKH DPRXQWV LQGLFDWHG LQ QXPHUDOV WKXV ´VHYHUDO PLOOLPHWHUVµ ´RQH PLOOLPHWHUµ ´ PPµ ´WHQ GHJUHHVµ
´µ ´ GHJµ
6\PEROV VKRXOG EH XVHG LQVWHDG RI DEEUHYLDWLRQV
LQ IRUPXODH RU HTXDWLRQV
RQ GUDZLQJV ZLWK GLPHQVLRQV RU ZLWK RWKHU V\PEROV WR ZKLFK WKH\ DSSO\ DV IRU H[DPSOH ´® µ
LQVWHDG RI ´ 'O$µ
$EEUHYLDWLRQV VKRXOG EH XVHG RQO\ ZKHQ QHHGHG WR FRQVHUYH VSDFH DQG RQO\ ZKHQ WKH PHDQLQJ
ZLOO FHUWDLQO\ EH FOHDU WR WKH LQWHQGHG UHDGHU
8VH RI DEEUHYLDWLRQV LQ WH[WV RWKHU WKDQ GUDZLQJ QRWHV VKRXOG EH DYRLGHG $EEUHYLDWLRQV VKRXOG
QRW EH XVHG
ZKHQ WKHLU PHDQLQJ LV QRW FOHDU ZKHQ LQ GRXEW VSHOO RXW

IRU VKRUW ZRUGV VXFK DV ´WRQµ ´GD\µ RU ´PLOHµ
LQ IRUPXODH RU HTXDWLRQV
LQ SODFH RI DSSOLFDEOH V\PEROV ZLWK GLPHQVLRQV RQ GUDZLQJV
81,76 2) 0($685(0(17 )RU V\PEROV IRU 6O XQLWV DQG RWKHU PHWULF XQLWV VHH -'6*
/,0,76 ),76 72/(5$1&(6 )RU V\PEROV XVHG LQ WKH ,62 6\VWHP RI /LPLWV DQG )LWV VHH ,62
37 RU $60( % $OVR VHH -'6*
6&5(: 7+5($'6 )RU V\PEROV XVHG LQ GHVLJQDWLRQV RI VFUHZ WKUHDGV VHH -'6'

$33529(' )25
6833/,(5 ',675,%87,21 -'6*
6<0%2/6 63(&,$//< )25 86( 21 '5$:,1*6
7KHVH V\PEROV ZLOO DSSHDU RQ GUDZLQJV ZKHQHYHU WKH\ DSSO\
'O0(16O21O1* $1' 72/(5$1&O1* 6<0%2/6 6HH -'6* RU $60( <0
*HRPHWULF &KDUDFWHULVWLF 6\PEROV 6HH $60( <0
2WKHU 6\PEROV 8VHG LQ 'LPHQVLRQLQJ 7ROHUDQFLQJ 6HH $60( <0 H[FHSW DV IROORZV
36, > 03D@ (TXLYDOHQW ZLWK HTXDO VWDWXV ´'XDO 'LPHQVLRQLQJµ 6HH -'6*
$ 8VHG XQWLO HOHFWURQLF GHYLFHV FDQ FRPSO\ WR $60( <0
685)$&( 7(;785( 6<0%2/6 )RU PRUH GHWDLOV DERXW VXUIDFH WH[WXUH V\PEROV DQG IRU SDWWHUQ RU
OD\ V\PEROV VHH ,62 RU $60( <0 IRU LQIRUPDWLRQ RQ VXUIDFH WH[WXUH VHH -'6'
%DVLF 6XUIDFH 7H[WXUH V\PERO 7KH VXUIDFH PD\ EH SURGXFHG E\ DQ\ PHWKRG
XQOHVV WKH EDU RU FLUFOH LV DGGHG
0DQGDWRU\ 0DFKLQLQJ V\PERO$ 7KH VXUIDFH PXVW EH SURGXFHG E\ UHPRYDO RI

PDWHULDO E\ PDFKLQLQJ DQG PDWHULDO PXVW EH SURYLGHG IRU WKDW SXUSRVH
0DFKLQLQJ 3URKLELWHG V\PERO 7KH VXUIDFH PXVW EH SURGXFHG ZLWKRXW UHPRYDO

RI PDWHULDO
*HQHUDO 6XUIDFH 7H[WXUH V\PERO D ´JHQHUDO QRWHµ 7KH VXUIDFH WH[WXUH

VSHFLILHG E\ WKH V\PERO RXWVLGH RI WKH SDUHQWKHVHV DSSOLHV WR DOO VXUIDFHV
ZKLFK DUH QRW RWKHUZLVH LQGLFDWHG 7KH V\PEROV IRU VXUIDFH WH[WXUHV ZKLFK DUH
H[FHSWLRQV WR WKH JHQHUDO V\PERO PXVW EH LQGLFDWHG RQ WKH VXUIDFHV WR ZKLFK
WKH\ DSSO\ $60( GRHV QRW LQFOXGH WKLV V\PERO LQVWHDG D JHQHUDO QRWH ZLWK
´XQOHVV RWKHUZLVH VSHFLILHGµ LV XVHG
D 5RXJKQHVV 9DOXHV 5D LQ PLFURPHWUHV SUHFHGHG E\ WKH SDUDPHWHU
V\PERO 5D UHTXLUHG E\ ,62 EHFDXVH ,62 SHUPLWV VSHFLI\LQJ
RWKHU SDUDPHWHUV ZLWK WKHLU V\PEROV LQ WKH VDPH ORFDWLRQ
E 3URGXFWLRQ 0HWKRG WUHDWPHQW FRDWLQJ RU RWKHU UHTXLUHPHQWV FRQFHUQLQJ
WKH SURGXFWLRQ SURFHVV RU RWKHU WH[W QRWH FDOORXW HWF SHU $60(
<0
F :DYLQHVV +HLJKW :W LQ PLFURPHWUHV SUHFHGHG E\ WKH FRUUHVSRQGLQJ
E SDUDPHWHU V\PERO RU URXJKQHVV FXWRII RU VDPSOLQJ OHQJWK LQ PLOOLPHWUHV
D FI 127( 7KH SUHYLRXV GHIDXOW VDPSOLQJ OHQJWK PP LV UHSODFHG E\ ILYH
VWDQGDUG VDPSOLQJ RU FXWRII OHQJWKV RU PP ZLWK WKH
H G FKRLFH WR EH GHWHUPLQHG H[SHULPHQWDOO\ DFFRUGLQJ WR ,62 RU
$60( % XQOHVV D VDPSOLQJ RU FXWRII OHQJWK LV VSHFLILHG KHUH
G 6XUIDFH 3DWWHUQ RU GLUHFWLRQ RI OD\ VSHFLILHG E\ WKH DSSURSULDWH V\PERO
SHU $60( <0 RU ,62
H 0DFKLQLQJ $OORZDQFH PLQLPXP PDWHULDO UHPRYDO UHTXLUHPHQW LQ
PLOOLPHWUHV
I 5RXJKQHVV 9DOXHV RWKHU WKDQ 5D LQ PLFURPHWUHV SUHFHGHG E\ WKH
SDUDPHWHU V\PERO HJ 5T 5]
$)RUPHU V\PERO ZDV SULRU WR

$33529(' )25
-'6* 6833/,(5 ',675,%87,21
&/$66,),&$7,21 2) &+$5$&7(5,67,&6 6HH -'6'

:KHQ WKH ULJKW VLGH RI WKLV V\PERO RQ D GUDZLQJ LV ILOOHG LQ WKH IROORZLQJ
V\PEROV LQGLFDWH WKH VHYHULW\ RI WKH HIIHFW RI QRQFRQIRUPDQFH WR WKH
VSHFLILFDWLRQ WR ZKLFK WKH V\PERO DSSOLHG
&ULWLFDO
0DMRU
0LQRU
,QFLGHQWDO QR V\PERO
(;$03/(6
;;p; 7KH XSSHU DQG ORZHU OLPLWV DUH FULWLFDO
;;p; 7KH XSSHU OLPLW LV FULWLFDO DQG WKH ORZHU OLPLW LV PLQRU
27+(5 '5$:,1* 6<0%2/6
)LUVW $QJOH (XURSHDQ 3URMHFWLRQ VHH -'6*
7KLUG $QJOH $PHULFDQ 3URMHFWLRQ VHH -'6*
/LQH RI 6\PPHWU\ 6HH -'6*
1RWH 6HH 1RWH
)HDWXUH RU 'LPHQVLRQ ,GHQWLILFDWLRQ IRU UHIHUHQFHV LQ QRWHV RU LQ UHYLVLRQV /HW

WHUV , 2 DQG 4 DUH QRW XVHG /HWWHUV / 0 3 DQG 6 DUH QRW UHFRPPHQGHG
6KRXOG QRW EH XVHG H[FHSW WR VSHFLI\ WKH ´HQYHORSH UHTXLUHPHQWµ SHU ,62

+HDW WUHDWPHQW LQGLFDWHV ZLWK QXPEHU WKH W\SH RI KHDW WUHDWPHQW UHTXLUHG
6HH -'9 DQG -'9 IRU VWDQGDUG KHDW WUHDWPHQW QXPEHUV DQG VXIIL[HV
+DUGQHVV 7HVW V\PERO LGHQWLILHV WKH ORFDWLRQ ZKHUH D KDUGQHVV VSHFLILFDWLRQ
DSSOLHV 2Q ODUJH GUDZLQJV WKH VDPH V\PERO PD\ EH VKRZQ QHDU WKH WLWOHEORFN
ZLWK D IODJ ER[ FRQWDLQLQJ WKH FRRUGLQDWHV ]RQH ORFDWLRQ RI WKH WHVW V\PERO
DQG LI UHTXLUHG WKH KDUGQHVV 6HH -'0 %
6\PERO WR UHSUHVHQW D ILWWLQJ RU ILWWLQJ QXW RQ D K\GUDXOLF OLQH DVVHPEO\ GUDZLQJ
WR DYRLG VKRZLQJ DFWXDO RXWRISODQH ILWWLQJ LOOXVWUDWLRQ 1RWH ,Q LQWHUQDWLRQDO
SUDFWLFH WKH GLDJRQDO OLQHV DUH DOVR XVHG WR LQGLFDWH D IODW VXUIDFH
6\PERO WR UHSUHVHQW D ILWWLQJ RQ D K\GUDXOLF OLQH GUDZLQJ
6\PERO WR UHSUHVHQW IODUHG HQG RI D K\GUDXOLF OLQH WXEH
$ 6\PERO WR UHSUHVHQW D ILWWLQJ RQ D K\GUDXOLF OLQH GUDZLQJ 6\PERO WR UHSUHVHQW

IODUHG HQG RI D K\GUDXOLF OLQH WXEH /RFDWLQJ 3RLQW VHH -'6*;
$
'LPHQVLRQ IRU SODFHPHQW RI D /RFDWLQJ 3RLQW VHH -'6*;
; 7 4XDQWLW\ DQG VL]H RI UHSHWLWLYH SDUWV GLPHQVLRQV RU IHDWXUHV

$ 1RW IRU QHZ GUDZLQJV

$33529(' )25
6833/,(5 ',675,%87,21 -'6*
*(1(5$/ $%%5(9,$7,216 6<0%2/6
7KH (QJOLVK DEEUHYLDWLRQV DQG LQWHUQDWLRQDO V\PEROV VKRZQ KHUH DUH FRPPRQO\ XVHG RQ GUDZLQJV DQG LQ
HQJLQHHULQJ VSHFLILFDWLRQV ([FHSW DV QRWHG WKH DEEUHYLDWLRQV FRQIRUP WR $60( < DQG 0,/67'
6HH $60( < DQG 0,/67' IRU RWKHU (QJOLVK DEEUHYLDWLRQV ,Q FDVHV ZKHUH WKHUH LV PRUH WKDQ RQH
DEEUHYLDWLRQ RU V\PERO WKH SUHIHUUHG RQH LV OLVWHG ILUVW
$%%5(9,$7,21 6<0%2/6
7(50 27+(5 (;$03/( 2)
'5$:,1* 6<0%2/
7(;7 6<0%2/
DFFHSWDEOH TXDOLW\ OHYHO $4/ $4/
DGMXVW DGMXVWHU DGMXVWLQJ $'- DGM
DJULFXOWXUH DJULFXOWXUDO$% $*5$% DJU$%
DOOR\ VWHHO $/< 67/ DO\ VWO
DOWHUQDWH $/71 DOWQ
DOWHUQDWLQJ FXUUHQW $& DF
DQG$%
DQJOH$ $1*$ DQJOH$ /
DPEHU FRORU $0% DPE
DSSURYHG $39' DSYG
DSSUR[LPDWHO\ $3352; DSSUR[ $
DULWKPHWLF DYHUDJH% $$% $$% 5D 5D
DVVHPEO\ $66< DVV\
DWWDFKPHQW $7&+ DWFK
DYHUDJH $9* DYJ
EDUUHO$ %%/$ EEO$
EDVLF %6& EVF 6HH 6HFWLRQ
EHDULQJ %5* EUJ

ELOO RI PDWHULDO %0 EP
EODFN FRORU %/. %. EON EN%
EOXH FRORU %/8 %/ EOXEO%
EOXHSULQW %3 ES
EROW FLUFOH %& EF
EUDFNHW %5.7 EUNW
EUDNH KRUVHSRZHU$ %+3$ EKS$
$7KLV WHUP RU DEEUHYLDWLRQ LV QRW LQFOXGHG LQ $60( <
%7KLV WHUP RU DEEUHYLDWLRQ LV QRW LQFOXGHG LQ 0,/ 67'

$33529(' )25
-'6* 6833/,(5 ',675,%87,21
$%%5(9,$7,21 6<0%2/6
7(50 27+(5 (;$03/( 2)
'5$:,1* 6<0%2/
7(;7 6<0%2/
EUDVV %56 EUV
EUD]H %5= EU]
%ULQHOO KDUGQHVV QXPEHU %+1 %KQ +% +%
EURQ]H %5= EU]
FDS VFUHZ &$3 6&5 FDS VFU
FDUEXUHWRU &$5% FDUE
FDUEXUL]H &$5% FDUE
FDVH KDUGHQ &+ FK
FDVW VWHHO &6 FV
FDVWLQJ &67* FVWJ
FHQWHU OLQH &/ FO
FKDPIHU &+$0 FKDP

FKDQQHO &+$1 FKDQ & RU 0& & ; NJP
FKDQJH$ &+1*$ FKQJ$
FKHFN FKHFNHG &+. FKN
FLUFXODU WRRWK WKLFNQHVV $% &,5 77$% FLU WW$%
FROG GUDZQ &' FG
FROG GUDZQ VWHHO &'6 FGV
FROG ILQLVKHG VWHHO &)6 FIV
FROG UROOHG &5 FU
FROG UROOHG VWHHO &56 FUV
FRPPHUFLDO &20/ FRPO
FRPPHUFLDO TXDOLW\ &4 FT
FRPSDQ\ &2 FR
&1&75& FQFWUF
FRQFHQWULF
&21&$
FRQQHFW FRQQHFWRU FRQQHFWLQJ &211 FRQQ
FRQQHFWLQJ URG &21152' FRQQURG
FRQWLQXHG FRQWLQXRXV &217 FRQW
FRXQWHUERUH &%25( FERUH

$33529(' )25
6833/,(5 ',675,%87,21 -'6*
$%%5(9,$7,21 6<0%2/6
7(50 27+(5 (;$03/( 2)
'5$:,1* 6<0%2/
7(;7 6<0%2/
FRXQWHUGULOO &'5,// FGULOO
FRXQWHUVLQN &6. FVN
FRXQWHUVXQN KHDG &6.+ FVNK

F\OLQGHU F\OLQGULFDO &</ F\O
GHFDOFRPDQLD '(&$/ GHFDO
GHFLVLRQ '(&1 GHFQ
GLDPHWHU ',$ GLD
GLDPHWUDO SLWFK '3 GS

GLDPRQG S\UDPLG KDUGQHVV '3+ GSK +9 +9
GLIIHUHQWLDO ',)) GLII
GLPHQVLRQ ',0 GLP
GLUHFW FXUUHQW '& GF
GRXEOH '%/ GEO
GUDIW ')7 GIW
GUDIWLQJ ')7* GIWJ
GUDZLQJ ':* GZJ
GUDZQ ':1 GZQ
GXFWLOH LURQ$% ',$%
HDFK ($ HD
HIIHFWLYH ()) HII
HIIHFWLYH RXWVLGH GLDPHWHU$% (2'$% HRG$%
HQJLQHHU (1*5 HQJU
HQJLQHHULQJ (1*5* HQJUJ
HTXDO HTXDOV (4/ HTO LQ PP
HTXDOL]HU HTXDOO\ (4/ HTO
HTXDOO\ VSDFHG (4/ 63 HTO VS
HTXLSPHQW (437 HTSW
HTXLYDOHQW (48,9 HTXLY
H[KDXVW (;+ H[K

$33529(' )25
-'6* 6833/,(5 ',675,%87,21
$%%5(9,$7,21 6<0%2/6
7(50 27+(5 (;$03/( 2)
'5$:,1* 6<0%2/
7(;7 6<0%2/
H[SHULPHQWDO (;3 H[S
H[WHUQDO (;7 H[W
H[WUD (; H[
H[WUD KHDY\ ;+9< [KY\
H[WUD VWURQJ ;6 [V
ILJXUH ),* ILJ
ILOOLVWHU KHDG ),/+ ILOK
ILWWLQJ )7* IWJ 6HH 6HFWLRQ
IODQJH )/* IOJ
IODW )/ IO
IODW KHDG )/+ IOK
IODW SRLQW )3 IS
IOH[LEOH IOH[XUH )/(; IOH[
IO\ZKHHO )/<:+/ IO\ZKO
IRU H[DPSOH (* HJ
IRUJHG )*' IJG
IRUJLQJ )25* IRUJ
IRUZDUG ):' IZG
IULFWLRQ KRUVHSRZHU$ )+3$ IKS$
IXOO GRJ SRLQW )'3 IGS
IXOO LQGLFDWRU PRYHPHQW' ),0' ),0'
JDJH JDXJH$% *$ JD
JDOYDQL]HG *$/9 JDOY
JHQHUDWRU *(1 JHQ
JRYHUQRU *29 JRY
JUD\ FRORU *5$ *< JUD J\%
JUD\ LURQ *, JL
JUHDWHU WKDQ$% ! ;!<
JUHDWHU WKDQ RU HTXDO WR$% | ;|<
JUHHQ FRORU *51 * JUQ J%
'7KLV WHUP RU DEEUHYLDWLRQ LV QRW LQFOXGHG LQ $60( < RU 0,/ 67' IRUPHUO\ LW ZDV ÍXOO LQGLFDWRU UHDGLQJµ RU ´WRWDO LQGLFDWRU
UHDGLQJµ ),5 RU 7,5

$33529(' )25
6833/,(5 ',675,%87,21 -'6*
$%%5(9,$7,21 6<0%2/6
7(50 27+(5 (;$03/( 2)
'5$:,1* 6<0%2/
7(;7 6<0%2/
JULQG *5' JUG
JURXQG *1' JQG
+EHDP :+30
KDOI GRJ SRLQW '3 GS
KDUG GUDZQ +' '51 KG GUQ
KDUGHQ +'1 KGQ
KDUGHQ JULQG KDUGHQHG JURXQG + * K J
KDUGZDUH +': KGZ
KHDG +' KG
KHDW WUHDW +7 75 KW WU
KHDY\ +9< KY\
KH[DJRQDO +(; KH[
KH[DJRQDO KHDG +(; +' KH[ KG
KRW UROOHG +5 KU
KRW UROOHG SLFNOHG RLOHG +532 KUSR
KRW UROOHG VWHHO +56 KUV
KRXVLQJ +6* KVJ
K\GUDXOLF +<'5 K\GU
,EHDP 6
LGHQWLILFDWLRQ LGHQWLI\ ,'(17 LGHQW
LQFOXGH LQFOXGLQJ LQFOXVLYH ,1&/ LQFO
LQIRUPDWLRQ ,1)2 LQIR
LQVLGH GLDPHWHU ,' LG
LQVLGH UDGLXV ,5 LU
LQVSHFW LQVSHFWLRQ LQVSHFWRU ,163 LQVS
LQVWUXFW LQVWUXFWLRQV LQVWUXFWRU ,1675 LQVWU
LQVWUXPHQW ,1675 LQVWU
LQWHUQDO ,17/ LQWO
,QWHUQDWLRQDO 6\VWHP RI 8QLWV 6, 6,
NQXUO .15/ NQUO

$33529(' )25
-'6* 6833/,(5 ',675,%87,21
$%%5(9,$7,21 6<0%2/6
7(50 27+(5 (;$03/( 2)
'5$:,1* 6<0%2/
7(;7 6<0%2/
ODEHO /%/ OEO
OHDVW PDWHULDO FRQGLWLRQ$ /0&$ OPF$ 6HH 6HFWLRQ

/
OHIW KDQG /+ OK
OHVV WKDQ$% ;<
OHVV WKDQ RU HTXDO WR$% { ;{<
OHWWHU OHWWHULQJ /75 OWU
OLPLW /,0 OLP
OLTXLILHG SHWUROHXP$% /3$% OS$%
OLTXLG SHWUROHXP JDV$% /3*$% OSJ$%
PDFKLQH 0$&+ PDFK
PDLQWHQDQFH 0$,17 PDLQW
PDMRU 0$- PDM
PDOOHDEOH LURQ 0, PL
PDQXIDFWXULQJ 0)* PIJ
PDWHULDO 0$7/ PDWO
PD[LPXP 0$; PD[
PD[LPXP PDWHULDO FRQGLWLRQ 00& PPF 0 6HH 6HFWLRQ
PHWHU LQVWUXPHQW PHWHULQJ 075 PWU

PLQLPXP 0,1 PLQ
PLQRU 0,1 PLQ

PLQXV$%

PRXQWLQJ 07* PWJ
QHFHVVDU\ 1(& QHF
QHFN 1. QN
QR GUDZLQJ 1' QG
QRGXODU LURQ$% 1,$% QL$%
QRPLQDO 120 QRP
QRW DSSOLFDEOH QRW DYDLODEOH 1$ QD
QRW HTXDO$%

$33529(' )25
6833/,(5 ',675,%87,21 -'6*
$%%5(9,$7,21 6<0%2/6
7(50 27+(5 (;$03/( 2)
'5$:,1* 6<0%2/
7(;7 6<0%2/
QXPEHU 12 QR
REVROHWH 2%6 REV
RSWLRQDO 237/ RSWO
RUDQJH FRORU 251 2 RUQ R%
RXWOHW RXWSXW RXWVLGH 287 RXW
RXWVLGH GLDPHWHU 2' RG
RXWVLGH UDGLXV 25 RU
RYDO KHDG 29+ RYK
RYDO SRLQW 293 RYS
RYHU DOO RYHUDOO 2$ RD
SDFNDJH SDFNLQJ 3.* SNJ
SDLU 35 SU
SDQ KHDG 31+ SQK
SDSHU 335 SSU
SDUDOOHO 35/ SUO
SDUNHUL]HG 3$5. SDUN
&
SDUWLQJ OLQH FDVWLQJV 3/ SO
SDVVLYDWH 3697 SVYW 6HH -'6

SHDUOLWLF PDOOHDEOH LURQ$% 30,$%
SHUFHQW 3&7 SFW
SHUIRUDWHG 3(5) SHUI
SHUPDQHQWO\ 3(50 SHUP
SHUSHQGLFXODU 3(53 SHUS
SKRVSKDWH 3+26 SKRV
SLFNHG RLOHG 3 2 S R
SLWFK 3 S
SLWFK FLUFOH 3& SF
SLWFK GLDPHWHU 3' SG
SLWFK OLQH 3/ SO
&127 IRU QHZ GUDZLQJV

$33529(' )25
-'6* 6833/,(5 ',675,%87,21
$%%5(9,$7,21 6<0%2/6
7(50 27+(5 (;$03/( 2)
'5$:,1* 6<0%2/
7(;7 6<0%2/
SODFH SODFHV 3/ SO ; ; 7

SOXV$%

SOXV RU PLQXV 3250 SRUP
SRZHU VKDIW$% 36$%&
SRZHU VWHHULQJ$% 3 675*$%
SRZHU WDNHRII 372 SWR
385&+& SXUFK
SXUFKDVHG
385$%&
SXUFKDVHG LQ DVVHPEO\$% 3,$$%&
SXUFKDVHG QR ODERU$% 31/$%&
SXUFKDVHG ZLWK ODERU$% 3:/$%&
SXUSOH FRORU 353 SUS
UDGLXV 5$' 5$ UDG 5 5
UHFWDQJOH UHFWDQJXODU 5(&7 UHFW
UHG FRORU 5(' 5 UHG U%
UHIHUHQFH 5() UHI
UHJDUGOHVV RI IHDWXUH VL]H 5)6 UIV 6
UHLQIRUFHG UHLQIRUFHPHQW 5(,1) UHLQI

UHPRWH F\OLQGHU$% 5 &</$%
UHTXLUHG 5(4' UHTG
UHYLVHG UHYLVLRQ 5(9 UHY
UHYROXWLRQ 5(9 UHY
ULJKW KDQG 5+ UK
5RFNZHOO KDUGQHVV $VFDOHZQR$% 5$$%& 5$$% +5$ +5$
5RFNZHOO KDUGQHVV %VFDOHZQR$% 5%$%& 5%$% +5% +5%
5RFNZHOO KDUGQHVV &VFDOHZQR$% 5&$%& 5&$% +5& +5&
5RFNZHOO 6XSHUILFLDO +DUGQHVV [[ 5[[1$%& 5[[1$% +5[[1 +51
1VFDOH$%
URRW GLDPHWHU 5' UG
URRW PHDQ VTXDUH 506 UPV 5T 5T

$33529(' )25
6833/,(5 ',675,%87,21 -'6*
$%%5(9,$7,21 6<0%2/6
7(50 27+(5 (;$03/( 2)
'5$:,1* 6<0%2/
7(;7 6<0%2/
URXQG 51' UQG
URXQG FRUQHU VTXDUH$% 5& 64$%
URXQG HGJH$% 5($%
URXQG HGJH RYHU DOO$% 5(2$$%
URXQG KHDG 5'+ UGK
UXEEHU 5%5 UEU
VFUHZ 6&5 VFU
VHFWLRQ 6(&7 VHFW
VHSDUDWH VHSDUDWRU 6(3 VHS
VKDIW 6)7 VIW
VLPLODU 6,0 VLP
VLQJOH 6*/ VJO
VORWWHG 6/7' VOWG
VORZ PRYLQJ YHKLFOH$% 609$% 609$%
VRFNHW 6.7 VNW
VRFNHW KHDG 6&+ VFK
63&/ VSFO
VSHFLDO
63/$
VSHFLDO VFUHZ 636&5 VSVFU
VSHFLILFDWLRQV 63(& VSHF
VSKHULFDO 63+(5 VSKHU
VSKHULFDO GLDPHWHU$% 6®
VSKHULFDO UDGLXV 65
VSRQJH UXEEHU$% 65$%
VSRWIDFH 6) VI
VSULQJ UDWH$% 65$%

VSURFNHW 635.7 VSUNW
VTXDUH 64 VT
VTXDUH KHDG 64+ VTK
VTXDUH URRW 6457 VTUW c c $


$33529(' )25
-'6* 6833/,(5 ',675,%87,21
$%%5(9,$7,21 6<0%2/6
7(50 27+(5 (;$03/( 2)
'5$:,1* 6<0%2/
7(;7 6<0%2/
667 VVW
VWDLQOHVV VWHHO
66$%&
VWDQGDUG 67' VWG
VWHHO 67/ VWO
VWHHULQJ 675* VWUJ
VWUDLJKWHQHG FXW$% 6 &$%
VWUHQJWK 675 VWU
VWURQJ 675* VWUJ
VXSSRUW 6357 VSUW
VXUIDFH 685) VXUI
6<00 V\PP
V\PPHWULFDO
6<0$
WDFKRPHWHU 7$&+ WDFK
WHFKQLFDO 7(&+ WHFK
WHFKQLFDO UHSRUW 75 WU
WHHWK 7 W
WHPSHUHG 703' WPSG
WHPSRUDU\ 7(03 WHPS
WHUPLQRORJ\$% 7(50$% WHUP$%
WKDW LV ,( LH
WKHRUHWLFDO 7+(25 WKHRU
WKLFN 7+. WKN
WKUHDG 7+' WKG
WKURXJK 7+58 WKUX
WROHUDQFH 72/ WRO
WRRWK 7 W%
WUXVV KHDG 75+ WUK
WXELQJ 7%* WEJ
WXUQHG 751' WUQG
WXUQHG JURXQG SROLVKHG$% 7* 3$%
XQLYHUVDO 81,9 XQLY

$33529(' )25
6833/,(5 ',675,%87,21 -'6*
$%%5(9,$7,21 6<0%2/6
7(50 27+(5 (;$03/( 2)
'5$:,1* 6<0%2/
7(;7 6<0%2/
YHQWLODWH YHQWLODWRU 9(17 YHQW
9LFNHUV KDUGQHVV 9+& 9K +9 +9
YLROHW FRORU 9,2 9 YLR Y%
YLVFRVLW\ LQGH[ 9, YL
ZHLJKW :7 ZW
ZKLWH FRORU :+7 : ZKW Z%
ZKLWH LURQ$% :,$%
ZLGWK DFURVV FRUQHUV$% :$&$% ZDF$%
ZLGWK DFURVV IODWV :$) ZDI
ZLWK : Z
ZLWKRXW :2 ZR
ZRUNLQJ ORDG$% :/$%
\HOORZ FRORU <(/ < \HO \%
]LQF RU FDGPLXP$% =25&$%

$33529(' )25
-'6* 6833/,(5 ',675,%87,21
6<0%2/6 $%%5(9,$7,216 )25 86 &86720$5< 81,76

([FHSW DV QRWHG WKHVH DEEUHYLDWLRQV FRQIRUP WR $60( < DQG V\PEROV WR ,((( 67' 6\PEROV PDUNHG ZLWK
DQ $ DUH SUHIHUUHG IRU DOO XVHV RYHU WKH DEEUHYLDWLRQ )RU DOO RWKHU XQLWV WKH V\PERO LV SUHIHUUHG H[FHSW RQ GUDZLQJV
$%%5(9,$7,21
7(50 6<0%2/
'5$:,1*6 27+(5 86(6
DPSHUH $$ $03 DPS
DPSHUHKRXU $K$ $03 +5 DPS KU
%ULWLVK WKHUPDO XQLW %WX %78 %WX
EXVKHO %8 EX
FDORULH FDO &$/ FDO
FDQGOH FDQGHOD FG$ &' FG
&HOVLXV GHJUHHV &HOVLXV &$ & &
FHQWLJUDGH VHH &HOVLXV
FLUFXODU PLO FPLO &0,/ FPLO
FXELF IRRW FXELF IHHW IW &8 )7 FX IW
FXELF IRRW SHU PLQXWH IWPLQ &)0 FIP
FXELF IRRW SHU VHFRQG IWV &)6 FIV
FXELF LQFK LQ &8 ,1 FX LQ
FXELF \DUG \G &8 <' FX \G
F\FOH SHU VHFRQG +]$ &6 FV
GHFLEHO G%$
GHJUHH DQJXODU $ '(* GHJ
GHJUHHV FHQWLJUDGH VHH &HOVLXV
GHJUHHV )DKUHQKHLW )$ ) )
)DKUHQKHLW GHJUHHV )DKUHQKHLW )$ ) )
IRRW IHHW IW )7 IW
IRRWFDQGOH IF )& IF
IRRW ODPEHUW I/ )/ IO
IRRW SHU PLQXWH IWPLQ )30 ISP
IRRW SHU VHFRQG IWV )36 ISV
IRRW SHU VHFRQG SHU VHFRQG IWV
IRRW SRXQG IRUFH IWkOEI )7 /% IW OE
IRRW SRXQG VHFRQG )36 ISV
JDOORQ 86 JDO *$/ 86 JDO 86
JDOORQ SHU KRXU JDOK *3+ JSK
JDOORQ SHU PLQXWH JDOPLQ *30 JSP
JDOORQ SHU VHFRQG JDOV *36 JSV
KHUW] +]$ +] +]
KRUVHSRZHU KS +3 KS
KRUVHSRZHUKRXU KSkK +3 +5 KS KU
KRXU K% +5 KU
$7KH V\PERO LV SUHIHUUHG RYHU WKH DEEUHYLDWLRQ IRU DOO XVHV
%7KLV XQLW LV QRW LQFOXGHG LQ $60( <

$33529(' )25
6833/,(5 ',675,%87,21 -'6*
$%%5(9,$7,21
7(50 6<0%2/
'5$:,1*6 27+(5 86(6
LQFK LQ ,1 LQ
LQFK SHU VHFRQG LQV ,36 LSV
LQFK SRXQG LQkOE ,1 /% LQ OE
NLORYROWDPSHUH KRXU N9$K% .9$+ N9DK
NLORZDWW% N:
NLORZDWWKRXU% N:K%
NQRW NQ .1 NQ
OXPHQ% OP%
OXPHQ SHU ZDWW OP:% /3: OSZ
PLFURIDUDG N)% N) N)
PLOH PL 0, PL
PLOH SHU JDOORQ PLJDO 03* PSJ
PLOH SHU KRXU PLK 03+ PSK
PLQXWH DQJXODU% O% O O
PLQXWH WLPH% PLQ% 0,1 PLQ
QDXWLFDO PLOH QPL 10, QPL
RKP% 8%
RXQFH R] 2= R]
RXQFHLQFK R]kLQ 2= ,1 R] LQ
SLQW SW 37 SW
SRXQG OE /% OE
SRXQGIRUFH IRRW OEIkIW /% )7 OE IW
SRXQGIRUFH LQFK OEIkLQ /% ,1 OE LQ
SRXQGIRUFH SHU VTXDUH LQFK OEILQ 36, SVL
SRXQG SHU FXELF IRRW OEIW 3&) SFI
TXDUW TW 47 TW
UHYROXWLRQV SHU PLQXWH UPLQ 530 USP
UHYROXWLRQV SHU VHFRQG UV 536 USV
VHFRQG DQJXODU 2 % 2 2
VHFRQG WLPH V% 6(& VHF
VTXDUH IRRW IW 64 )7 VT IW
VTXDUH LQFK LQ 64 ,1 VT LQ
YROW 9$ 9 9
YROW SHU PLO 9PLO 90,/ 9PLO
ZDWW :% : :
ZDWW KRXU :K% :+ :K
\DUG \G <' \G
$7KH V\PERO LV SUHIHUUHG RYHU WKH DEEUHYLDWLRQ IRU DOO XVHV
%7KLV XQLW LV QRW LQFOXGHG LQ $60( <

$33529(' )25
-'6* 6833/,(5 ',675,%87,21
6<0%2/6 $%%5(9,$7,216 )25 &+(0,&$/ (/(0(176
7KLV VHFWLRQ VKRZV LQWHUQDWLRQDO V\PEROV$ DQG $PHULFDQ DEEUHYLDWLRQV% IRU VHOHFWHG FKHPLFDO HOHPHQWV
$EEUHYLDWLRQV LQ FDSLWDO OHWWHUV DUH IRU XVH RQ GUDZLQJV DQG RWKHU VSHFLDO XVHV $EEUHYLDWLRQV LQ ORZHU FDVH
OHWWHU DUH IRU WH[WV RWKHU WKDQ RQ GUDZLQJV )RU HOHPHQWV QRW VKRZQ VHH $SSHQGL[ $ RI $60( <
6<0 6<0
(/(0(17 $%%5(9,$7,21 (/(0(17 $%%5(9,$7,21
%2/ %2/
$OXPLQXP $O $/ DO 0DJQHVLXP 0J 0$* PDJ
$QWLPRQ\ 6E 0DQJDQHVH 0Q
$UJRQ $U 0HUFXU\ +J
$UVHQLF $V 0RO\EGHQXP 0R
%DULXP %D 1HRQ 1H
%HU\OOLXP %H 1LFNHO 1L 1./ QNO
%RURQ % 1LWURJHQ 1
%URPLQH %U 2[\JHQ 2 2;< R[\
&DGPLXP &G &$'& 3KRVSKRUXV 3
&DOFLXP &D 3ODWLQXP 3W 3/$7 SODW
&DUERQ & 3RWDVVLXP .
&HVLXP &V 5KRGLXP 5K 5+2' UKRG
&KORULQH &O 6HOHQLXP 6H
&KURPLXP &U &+5 FKU 6LOLFRQ 6L
&REDOW &R 6LOYHU $J 6,/ VLO
&RSSHU &X &23 FRS 6RGLXP 1D
)OXRULQH ) 6XOIXU 6
*ROG $X */' JOG 7HOOXULXP 7H
+HOLXP +H 7LQ 6Q
+\GURJHQ + 7LWDQLXP 7L
,RGLQH , 7XQJVWHQ : 781* WXQJ
,URQ )H 9DQDGLXP 9
/HDG 3E =LQF =Q
/LWKLXP /L
$6\PEROV FRQIRUP WR LQWHUQDWLRQDO 8QLRQ RI 3XUH DQG $SSOLHG &KHPLVWU\ ,83$&
%$EEUHYLDWLRQV FRQIRUP WR $60( < H[FHSW DV QRWHG
&7KLV DEEUHYLDWLRQ LV QRW LQFOXGHG LQ $60( <

$33529(' )25
6833/,(5 ',675,%87,21 -'6*
:(/',1* 6<0%2/6
7KLV VHFWLRQ GHILQHV WKH V\PEROV ZKLFK DUH XVHG WR VSHFLI\ ZHOGHG RU EUD]HG MRLQWV RQ 'HHUH &RPSDQ\
HQJLQHHULQJ GUDZLQJV
'(),1,7,216
:HOG 6\PERO (OHPHQWDU\ 6\PEROV 7KH ZHOG V\PERO LV WKH V\PEROLF LQGLFDWLRQ RI WKH W\SH RU
VKDSH RI D ZHOG DQG LV SDUW RI D ZHOGLQJ V\PERO
:HOGLQJ 6\PERO 7KH ZHOGLQJ V\PEROV )LJXUH LV WKH V\PEROLF PHWKRG RI VSHFLI\LQJ D ZHOG RQ
D GUDZLQJ DQG FRQVLVWV RI WKH IROORZLQJ HOHPHQWV DV UHTXLUHG
5HIHUHQFH OLQH FRQWLQXRXV OLQHV VKRZQ KRUL]RQWDOO\

:HOG V\PEROV HOHPHQWDU\ V\PEROV
'LPHQVLRQV DQG RWKHU GDWD
6XSSOHPHQWDU\ V\PEROV RU FRPSOHPHQWDU\ LQGLFDWLRQV
6XUIDFH WH[WXUH V\PEROV
7DLO IRUN
6SHFLILFDWLRQ SURFHVV RU RWKHU UHIHUHQFHV
&RXQWRXU V\PERO 6XUIDFH 7H[WXUH 6\PERO

5RRW RSHQLQJ GHSWK RI ILOOLQJ *URRYH DQJOH
IRU SOXJ DQG VORW ZHOGV
(IIHFWLYH WKURDW /HQJWK RI ZHOG
3LWFK FHQWHUWRFHQWHU
6L]H RU VWUHQJWK
IRU FHUWDLQ ZHOGV $ VSDFLQJ RI ZHOGV
5
27+(5
6,'(
%27+ 6,'(6
6SHFLILFDWLRQ SURFHVV $UURZ FRQQHFWLQJ
6 (
UHIHUHQFH OLQH WR
RU RWKHU UHIHUHQFH
/3 DUURZ VLGH RI MRLQW
7DLO 7
$552:
7DLO RPLWWHG
6,'(
ZKHQ UHIHUHQFH
LV QRW XVHG
1 :HOGDOODURXQG V\PERO
1XPEHU RI ZHOGV 5HIHUHQFH OLQH
%DVLF ZHOG V\PERO

RU GHWDLO UHIHUHQFH
(OHPHQWV LQ WKLV
DUHD UHPDLQ DV
VKRZQ ZKHQ WDLO
DQG DUURZ DUH
UHYHUVHG
),*85( :(/',1* 6<0%2/

$33529(' )25
-'6* 6833/,(5 ',675,%87,21
6<0%2/6 3(5 $:6 $ :HOGLQJ V\PEROV LQFOXGLQJ ZHOG V\PEROV HOHPHQWDU\ V\PEROV DQG
VXSSOHPHQWDU\ V\PEROV RU FRPSOHPHQWDU\ LQGLFDWLRQV XVHG RQ 'HHUH &RPSDQ\ HQJLQHHULQJ GUDZLQJV
FRQIRUP WR $:6 $ H[FHSW DV IROORZV
-RLQW 3UHSDUDWLRQ 'LPHQVLRQV DQG VKDSHV RI WKH HGJHV WR EH MRLQHG DUH VSHFLILHG RQ WKH GUDZLQJV
RI WKH VLPSOH SDUWV 7KHUHIRUH
7KH DUURZ GRHV QRW QHFHVVDULO\ SRLQW WR WKH SUHSDUHG HGJH

7KH IROORZLQJ DUH 127 VKRZQ ZLWK ZHOGLQJ V\PEROV
'HSWK RI JURRYH SUHSDUDWLRQ IRU JURRYH HGJH ZHOGV
$QJOH RI FRXQWHUVLQN IRU SOXJ ZHOGV
5DGLXV DQG KHLJKW RI IODQJH IRU IODQJH ZHOGV
7KH JURRYH DQJOH LI VKRZQ LV RQO\ IRU UHIHUHQFH LQIRUPDWLRQ
6L]H 3HQHWUDWLRQ *URRYH :HOGV 7KH IDFH ZLGWK RI D JURRYH ZHOG LV VKRZQ LQ SODFH RI WKH GHSWK
RI SUHSDUDWLRQ ,I WKH HIIHFWLYH WKURDW SHQHWUDWLRQ LV QRW VKRZQ WKH GHSWK RI SHQHWUDWLRQ LV QRW LPSRUWDQW DQG
QRW QHFHVVDULO\ FRPSOHWH
(GJH :HOG 6\PEROV :KHQ WKH IODQJHV DUH QRW FRPSOHWHO\ PHOWHG GRZQ QRW FRPSOHWHO\
SHQHWUDWHG WKH VTXDUH JURRYH HGJH ZHOG V\PERO PD\ EH VKRZQ LQVWHDG RI D IODQJH ZHOG V\PERO
6XUIDFH 7H[WXUH 6\PEROV 6XUIDFH WH[WXUH V\PEROV DFFRUGLQJ WR -'6' $60( < RU
,62 DUH XVHG LQVWHDG RI WKH ILQLVKLQJ PHWKRG OHWWHU V\PEROV VKRZQ LQ $:6 $
86 &XVWRPDU\ 0HWULF 8QLWV 'XDO XQLWV PD\ EH VKRZQ RQ ZHOGLQJ V\PEROV LI WKH GUDZLQJ LV
GXDOGLPHQVLRQHG 7KH PHWKRG RI GXDOGLPHQVLRQLQJ XVHG RQ ZHOGLQJ V\PEROV LV WKH VDPH DV WKDW XVHG IRU
RWKHU GLPHQVLRQV RQ WKH GUDZLQJ
1XPEHU RI :HOGV 7KH QXPEHU RI ZHOGV PD\ EH VKRZQ LQ SDUHQWKHVLV IRU DOO ZHOG W\SHV
)250(5 6<0%2/6 $33/,(6 72 2/' '5$:,1*6 :HOGLQJ V\PEROV IRUPHUO\ XVHG RQ 'HHUH
&RPSDQ\ HQJLQHHULQJ GUDZLQJV FRQIRUPHG WR $:6 $ H[FHSW DV GHVFULEHG LQ 6HFWLRQ DQG DV IROORZV
1XPEHU RI :HOGV 7KH QXPEHU RI ZHOGV ZDV QRW LQ SDUHQWKHVHV DQG ZDV VKRZQ IRU DOO ZHOGV
8VH RI %HYHO *URRYH 9*URRYH :HOG 6\PEROV 7KH JURRYH DQJOH ZDV QRW VKRZQ 5HJDUGOHVV RI
ZKHWKHU RQH RU ERWK SDUWV RI WKH MRLQW ZDV EHYHOHG
$ EHYHOHG MRLQW ZLWK DQ LQFOXGHG DQJOH RI OHVV WKDQ ZDV LQGLFDWHG E\ WKH EHYHO JURRYH ZHOG V\PERO
$ EHYHOHG MRLQW ZLWK DQ LQFOXGHG DQJOH RI RU PRUH ZDV LQGLFDWHG E\ WKH 9JURRYH ZHOG V\PERO
*URRYH (GJH :HOG 3HQHWUDWLRQ (IIHFWLYH 7KURDW ,I WKH SHQHWUDWLRQ RI D JURRYH RU HGJH ZHOG
ZDV LPSRUWDQW WKH SHQHWUDWLRQ HIIHFWLYH WKURDW ZDV QRW LQ SDUHQWKHVHV DQG ZDV VKRZQ LQ SODFH RI WKH VL]H
DV SHQHWUDWLRQ ; IDFH ZLGWK
8QHTXDO/HJ )LOOHW :HOGV 7KH VL]H RI DQ XQHTXDOOHJ ILOOHW ZHOG ZDV QRW LQ SDUHQWKHVHV
6<0%2/6 3(5 ,62 :HOGLQJ V\PEROV LQFOXGLQJ ZHOG V\PEROV HOHPHQWDU\ V\PEROV
VXSSOHPHQWDU\ V\PEROV DQG FRPSOHPHQWDU\ LQGLFDWLRQV XVHG RQ 'HHUH &RPSDQ\ HQJLQHHULQJ GUDZLQJV
FRQIRUP WR ,62 H[FHSW DV IROORZV

$33529(' )25
6833/,(5 ',675,%87,21 -'6*
,GHQWLILFDWLRQ /LQH 7KH LGHQWLILFDWLRQ OLQH GDVKHG OLQH RI WKH GXDO UHIHUHQFH OLQH LV QRW VKRZQ
+RZHYHU WKH ZHOGLQJ V\PERO PD\ EH LQWHUSUHWHG DV LI WKH GDVKHG LGHQWLILFDWLRQ OLQH ZHUH DOZD\V DERYH WKH
FRQWLQXRXV UHIHUHQFH OLQH
%HYHO *URRYH %HYHO (GJH 9*URRYH 9 (GJH :HOG 6\PEROV 7KH EHYHO JURRYH EHYHO HGJH
DQG 9JURRYH 9 HGJH V\PEROV VKRZQ LQ ERWK $:6 $ DQG ,62 DUH XVHG LQ SODFH RI WKH V\PEROV
VKRZQ LQ ,62 IRU ´VLQJOHEHYHO HGJH ZHOG ZLWK EURDG URRW IDFHµ DQG ´VLQJOH9 HGJH ZHOG ZLWK EURDG URRW
IDFHµ
6L]H RI D (GJH *URRYH :HOG 7KH IDFH ZLGWK RU WKH HIIHFWLYH WKURDW SHQHWUDWLRQ RU ERWK PD\ EH
VKRZQ
,I VKRZQ WKH IDFH ZLGWK LV VKRZQ LQ SODFH RI WKH SHQHWUDWLRQ GHSWK RI ,62
,I VKRZQ WKH HIIHFWLYH WKURDW SHQHWUDWLRQ LV VKRZQ LQ SDUHQWKHVHV IROORZLQJ WKH IDFH ZLGWK ,I QRW VKRZQ WKH
SHQHWUDWLRQ GHSWK LV QRW LPSRUWDQW DQG QRW QHFHVVDULO\ FRPSOHWH
7KH JURRYH DQJOH ZKLFK PD\ EH VKRZQ SHU $:6 $ LV QRW VKRZQ LQ ,62
(GJH :HOG HGJH :HOG %HWZHHQ 3ODWHV :LWK 5DLVHG (GJHV 6\PEROV :KHQ WKH IODQJHV UDLVHG
HGJHV DUH QRW FRPSOHWHO\ PHOWHG GRZQ QRW FRPSOHWHO\ SHQHWUDWHG WKH ZHOG RQ WKH IODQJH HGJH PD\ EH
VSHFLILHG E\ HLWKHU
7KH VTXDUH HGJH ZHOG V\PERO SHU ,62 7KH VKDSHV RI WKH IODQJHV DUH VKRZQ RQ WKH GUDZLQJ
7KH ZHOG WKLFNQHVV LI VKRZQ LV LQ SDUHQWKHVHV SHU $:6 $ IRU WKH HIIHFWLYH WKURDW RI D VTXDUH
JURRYH ZHOG
$ IODQJH ZHOG V\PERO SHU $:6 $ 7KH ZHOG WKLFNQHVV LV VKRZQ SHU $:6 $ IRU WKH WKLFNQHVV RI D
IODQJH ZHOG ZLWKRXW SDUHQWKHVHV 7KH UDGLXV DQG KHLJKW RI WKH IODQJHV EHIRUH ZHOGLQJ DUH
VSHFLILHG RQ WKH SDUW GUDZLQJV DQG QRW ZLWK WKH ZHOGLQJ V\PERO 7KH $:6 $ V\PERO IRU
´HGJHIODQJH ZHOGµ LV WKH VDPH DV WKH ,62 V\PERO IRU ´HGJH ZHOG EHWZHHQ SODWHV ZLWK UDLVHG
HGJHV WKH HGJHV EHLQJ PHOWHG GRZQ FRPSOHWHO\µ 7KH $:6 $ V\PERO IRU ´FRUQHUIODQJH ZHOGµ LV
QRW LQFOXGHG LQ ,62
0HOW7KUX 6\PERO 7KH $:6 $ ´PHOWWKUXµ V\PERO LV QRW VKRZQ LQ ,62
%DFNLQJ RU 6SDFHU 0DWHULDO 6\PERO 7KH $:6 $ V\PERO IRU ÉDFNLQJ RU VSDFHU PDWHULDOµ LV QRW
VKRZQ LQ ,62
6L]H RI D )LOOHW :HOG 7KH VL]H RI D ILOOHW ZHOG LV DOZD\V WKH OHJ OHQJWK HYHQ WKRXJK LW LV QRW SUHFHGHG
E\ WKH OHWWHU ] SHU ,62 6L]HV RI XQHTXDOOHJ ILOOHW ZHOGV SHU $:6 $ DUH QRW LQFOXGHG LQ ,62
,QWHUPLWWHQW :HOGV 7KH OHQJWK RI WKH ZHOG LV IROORZHG E\ D GDVK DQG WKH SLWFK FHQWHUWRFHQWHU
VSDFLQJ SHU $:6 $ LQVWHDG RI IROORZHG E\ WKH GLVWDQFH EHWZHHQ DGMDFHQW ZHOG HOHPHQWV LQ
SDUHQWKHVHV SHU ,62 6WDJJHUHG LQWHUPLWWHQW ILOOHW ZHOGV PD\ EH LQGLFDWHG HLWKHU E\ WKH RIIVHW ILOOHW ZHOG
V\PEROV PHWKRG VKRZQ LQ $:6 $ RU E\ WKH V\PERO VKRZQ LQ ,62
3OXJ RU 6ORW :HOG 'LPHQVLRQV :KHQ WKH GHSWK RI ILOOLQJ LV OHVV WKDQ FRPSOHWH WKH GHSWK RI ILOOLQJ LV
VKRZQ LQVLGH WKH ZHOG HOHPHQWDU\ V\PERO
3OXJ :HOG 'LDPHWHU DQG 6SDFLQJ 7KH GLDPHWHU DQG VSDFLQJ RI WKH KROHV DUH GLPHQVLRQHG RQ WKH
SDUW GUDZLQJV DQG PD\ RU PD\ QRW EH VKRZQ ZLWK WKH ZHOGLQJ V\PERO ,I VKRZQ WKH SLWFK FHQWHUWRFHQWHU
VSDFLQJ RI SOXJ ZHOGV LV QRW LQ SDUHQWKHVHV

$33529(' )25
-'6* 6833/,(5 ',675,%87,21
6ORW 'LPHQVLRQV 7KH GLPHQVLRQV VSDFLQJ DQG RULHQWDWLRQ RI WKH VORWV DUH VSHFLILHG RQ WKH SDUW
GUDZLQJV DQG QRW ZLWK WKH ZHOGLQJ V\PERO
6WUHQJWK RI 6HDP DQG 6SRW :HOGV 7KH VWUHQJWK RI D VHDP RU VSRW ZHOG PD\ EH VKRZQ LQ SODFH RI
WKH VL]H ,I VKRZQ WKH VWUHQJWK RI D VHDP ZHOG LV LQ QHZWRQV SHU PLOOLPHWHU 1PP RU SRXQGV SHU LQFK OEILQ
RI ZHOG OHQJWK DQG WKH VWUHQJWK RI D VSRW ZHOG LV LQ QHZWRQV 1 RU SRXQGV OEI SHU VSRW
1XPEHU RI :HOGV 7KH QXPEHU RI VSRW RU SURMHFWLRQ ZHOGV LV VKRZQ LQ SDUHQWKHVHV DERYH RU
EHORZ WKH ZHOG V\PERO SHU $:6 $ LQVWHDG RI WR WKH ULJKW RI WKH ZHOG HOHPHQWDU\ V\PERO IROORZHG E\ WKH
VLJQ ´[µ SHU ,62 7KH QXPEHU RI SOXJ VORW DQG LQWHUPLWWHQW ZHOGV PD\ QRW EH VKRZQ ,I VKRZQ WKH
QXPEHU RI WKHVH ZHOGV LV VKRZQ WKH VDPH DV WKH QXPEHU RI VSRW RU SURMHFWLRQ ZHOGV RQ WKH VDPH VLGH RI WKH
UHIHUHQFH OLQH DV WKH ZHOG HOHPHQWDU\ V\PERO
6SDFLQJ RI 6SRW :HOGV 7KH SLWFK FHQWHUWRFHQWHU VSDFLQJ RI VSRW ZHOGV LV QRW LQ SDUHQWKHVHV
3URFHVV 'HVLJQDWLRQ 6\PEROV LI UHTXLUHG WKH V\PEROLF LQGLFDWLRQ RI WKH ZHOGLQJ SURFHVV VKRZQ LQ
WKH WDLO IRUN RI WKH ZHOGLQJ V\PERO LV E\ WKH OHWWHUV VKRZQ LQ $:6 $ LQVWHDG RI E\ WKH QXPEHUV VKRZQ LQ
,62
5()(5(1&(6
$60( % 3UHIHUUHG 0HWULF /LPLWV DQG )LWV
$60( <0 /LQH &RQYHQWLRQV DQG /HWWHULQJ
$60( <0 'LPHQVLRQLQJ DQG 7ROHUDQFLQJ
$60( < 6FUHZ 7KUHDG 5HSUHVHQWDWLRQ
$60( <D0 6FUHZ 7KUHDG 5HSUHVHQWDWLRQ 0HWULF 6XSSOHPHQW 7R $16, <
$60( <0 6XUIDFH 7H[WXUH 6\PEROV
$60( < *UDSKLF 6\PEROV IRU )OXLG 3RZHU 'LDJUDPV
$60( < 6\PEROV IRU 0HFKDQLFDO DQG $FRXVWLFDO (OHPHQWV DV XVHG LQ 6FKHPDWLF 'LDJUDPV
$:6 $ 0HWULF 3UDFWLFH *XLGH IRU WKH :HOGLQJ ,QGXVWU\
$:6 $ 6WDQGDUG 6\PEROV IRU :HOGLQJ %UD]LQJ DQG 1RQGHVWUXFWLYH ([DPLQDWLRQ
$:6 $ 6WDQGDUG :HOGLQJ 7HUPV DQG 'HILQLWLRQV ,QFOXGLQJ 7HUPV IRU %UD]LQJ 6ROGHULQJ
7KHUPDO 6SUD\LQJ DQG 7KHUPDO &XWWLQJ
$:6 ' &ODVVLILFDWLRQ DQG $SSOLFDWLRQ RI :HOGHG -RLQWV IRU 0DFKLQHU\ DQG (TXLSPHQW
$60( < $EEUHYLDWLRQV IRU 8VH RQ 'UDZLQJV DQG LQ 7H[W
O((( 67' $PHULFDQ 1DWLRQDO 6WDQGDUG /HWWHU 6\PEROV IRU 8QLWV RI 0HDVXUHPHQW 6O 8QLWV
&XVWRPDU\ ,QFK3RXQG 8QLWV DQG &HUWDLQ 2WKHU 8QLWV
O((( 67' *UDSKLF 6\PEROV IRU (OHFWULFDO DQG (OHFWURQLFV 'LDJUDPV ,QFOXGLQJ 5HIHUHQFH
'HVLJQDWLRQ &ODVV 'HVLJQDWLRQ /HWWHUV
,62 7HFKQLFDO GUDZLQJV *HQHUDO SULQFLSOHV RI SUHVHQWDWLRQ
,62 ,62 6\VWHP RI /LPLWV DQG )LWV 3DUW %DVHV RI 7ROHUDQFHV 'HYLDWLRQV DQG )LWV
,62 :HOGLQJ %UD]LQJ DQG 6ROGHULQJ 3URFHVVHV 9RFDEXODU\
,62 7HFKQLFDO GUDZLQJV 0HWKRG RI ,QGLFDWLQJ 6XUIDFH 7H[WXUH
,62 :HOGHG %UD]HG RU 6ROGHUHG -RLQWV 6\PEROLF 5HSUHVHQWDWLRQ RQ 'UDZLQJV
,62 :HOGLQJ 5HTXLUHPHQWV &DWHJRULHV RI 6HUYLFH 5HTXLUHPHQWV IRU :HOGHG -RLQWV
,62 :HOGLQJ 5HTXLUHPHQWV )DFWRUV WR EH &RQVLGHUHG LQ 6SHFLI\LQJ 5HTXLUHPHQWV IRU
)XVLRQ :HOGHG -RLQWV LQ 6WHHO 7HFKQLFDO ,QIOXHQFLQJ )DFWRUV
,62 7HFKQLFDO 'UDZLQJV /HWWHULQJ 3DUW &XUUHQWO\ 8VHG &KDUDFWHUV
,62 7HFKQLFDO 'UDZLQJV /HWWHULQJ 3DUW *UHHN &KDUDFWHUV

$33529(' )25
6833/,(5 ',675,%87,21 -'6*
,62 3URFHVV 0HDVXUHPHQW &RQWURO )XQFWLRQV DQG ,QVWUXPHQWDWLRQ 6\PEROLF

5HSUHVHQWDWLRQ 3DUW %DVLF 5HTXLUHPHQWV
5HSUHVHQWDWLRQ 3DUW ([WHQVLRQ RI %DVLF 5HTXLUHPHQWV
5HSUHVHQWDWLRQ 3DUW 'HWDLOHG 6\PEROV IRU ,QVWUXPHQW ,QWHUFRQQHFWLRQ
O62 ,QGXVWULDO 3URFHVV 0HDVXUHPHQW &RQWURO )XQFWLRQV DQG ,QVWUXPHQWDWLRQ 6\PEROLF
5HSUHVHQWDWLRQ 3DUW %DVLF 6\PEROV IRU 3URFHVV &RPSXWHU ,QWHUIDFH DQG 6KDUHG
'LVSOD\&RQWURO )XQFWLRQV
,62 )LOOHU 0HWDOV IRU 6RIW 6ROGHULQJ %UD]LQJ DQG %UD]H :HOGLQJ 'HVLJQDWLRQ 6HFRQG
(GLWLRQ
,62 9DFXXP 7HFKQRORJ\ *UDSKLFDO 6\PEROV
,62 .LQHPDWLF 'LDJUDPV *UDSKLFDO 6\PEROV 3DUW
,62 :HOGLQJ %UD]LQJ 6ROGHULQJ DQG %UD]H :HOGLQJ RI 0HWDOV 1RPHQFODWXUH RI
3URFHVVHV DQG 5HIHUHQFH 1XPEHUV IRU 6\PEROLF 5HSUHVHQWDWLRQ RQ 'UDZLQJV
,62 7HFKQLFDO 'UDZLQJV 6FUHZ 7KUHDGV DQG 7KUHDGHG 3DUWV 3DUW *HQHUDO
&RQYHQWLRQV
,62 7HFKQLFDO 'UDZLQJV 6FUHZ 7KUHDGV DQG 7KUHDGHG 3DUWV 3DUW 6FUHZ 7KUHDG
,QVHUWV
,62 7HFKQLFDO 'UDZLQJV 6FUHZ 7KUHDGV DQG 7KUHDGHG 3DUWV 3DUW 6LPSOLILHG
5HSUHVHQWDWLRQ
,62 7HFKQLFDO 'UDZLQJV 6LPSOLILHG 5HSUHVHQWDWLRQ RI &HQWUH +ROHV )LUVW (GLWLRQ
,62 7HFKQLFDO 'UDZLQJV 6\PEROV IRU *HRPHWULFDO 7ROHUDQFLQJ 3URSRUWLRQV DQG
'LPHQVLRQV
O62 75 7HFKQLFDO 'UDZLQJV ,QVWDOODWLRQV *UDSKLFDO 6\PEROV IRU $XWRPDWLF &RQWURO
-'0 % 6SHFLILFDWLRQ IRU *UD\ )ODNH *UDSKLF &DVW ,URQ
-'6' 6XUIDFH 7H[WXUH
-'6' 6FUHZ 7KUHDGV 'HVLJQDWLRQV
-'6' &ODVVLILFDWLRQ RI &KDUDFWHULVWLFV
-'6* *HQHUDO 7ROHUDQFHV )RUPHUO\ 'HVLJQ 'DWD 0DQXDO 3DUW
-'6*; $QQH[ ; 'UDIWLQJ 6\PEROV IRU /RFDWLQJ 3RLQWV 1RW IRU 1HZ 'UDZLQJV
-'6* 'UDIWLQJ 9LHZV 6HFWLRQV
-'6* 'UDIWLQJ 'LPHQVLRQLQJ DQG 7ROHUDQFLQJ
-'6* 'UDIWLQJ 'UDZLQJ 1RWHV 6SHFLILFDWLRQV
-'6* 7HUPLQRORJ\
-'6* 6, 0HWULF 8QLWV IRU 0DUNHWLQJ DQG 6HUYLFH
-'6* 6, 0HWULF 8QLWV IRU (QJLQHHULQJ )RUPHUO\ 'HVLJQ 'DWD 0DQXDO
-'6 6SHFLILFDWLRQ IRU (OHFWURSODWHG =LQF =LQF &REDOW &RDWLQJV
-'9 +HDW 7UHDWPHQW 1XPEHUV 'HVFULSWLRQV
-'9 &DVH +DUGHQLQJ
0,/67'' $EEUHYLDWLRQV IRU 8VH RQ 'UDZLQJV DQG LQ 6SHFLILFDWLRQV 6WDQGDUGV DQG 7HFKQLFDO
'RFXPHQWV

RKQ 'Hhuh 6wdqgdug: - '6 'Udiwlqj /LQHV /hwwhulqj 6/perov $eeuhyldwlrqv

Uploaded by

Document Information

Original Description:

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

RKQ 'Hhuh 6wdqgdug: - '6 'Udiwlqj /LQHV /hwwhulqj 6/perov $eeuhyldwlrqv

Uploaded by

Copyright:

Available Formats

-RKQ 'HHUH 6WDQGDUG

$33529(' )25 -'6*

6<0%2/6 63(&,$//< )25 86( 21 '5$:,1*6                                             

*(1(5$/ $%%5(9,$7,216 6<0%2/6                                                    

6<0%2/6 $%%5(9,$7,216 )25 86 &86720$5< 81,76                                  

6<0%2/6 $%%5(9,$7,216 )25 &+(0,&$/ (/(0(176                                    

7<3( 2) /,1( $33/,&$7,21 )250(5/< 86(' 7<3( 2) /,1(

9LHZLQJ GLUHFWLRQ IRUPHUO\ ´YLHZLQJ

$'RHV QRW FRQIRUP WR $60( <0

),*85(  $33/,&$7,21 2) /,1(6

9LHZLQJ  SODQH OLQH

([WHQVLRQ OLQH 'LPHQVLRQ OLQH

&XWWLQJ  SODQH OLQH

6(&7,21 $$ 9,(: %

),*85(  $33/,&$7,216 2) /,1(6

),*85(  +,''(1 /,1( 7(&+1,48(

7KH URRWV RI YLVLEOH VFUHZ WKUHDGV DUH UHSUHVHQWHG

 LQ D VLGHYLHZ$ E\ WKLQ GDVKHV 6HH )LJXUHV      DQG 

),*85(  $60( ),*85(  $60(

),*85(  ,62 ),*85(  ,62

),*85(  $60( ),*85(  $60(

),*85(  ,62 ),*85(  ,62

),*85(  $60( ),*85(  $60(

),*85(  ,62 ),*85(  ,62

),*85(  9(57,&$/ /(77(5,1*

$(LWKHU RI WKHVH FKDUDFWHUV LV DFFHSWDEOH

),*85(  ,1&/,1(' /(77(5,1*

$(LWKHU RI WKHVH FKDUDFWHUV LV DFFHSWDEOH

7$%/(  5(&200(1'(' /(77(5,1* +(,*+7

$SSURYHG 7HUP $ $ % $ & $ ' $*  

7UDQVODWLRQV $ $ % $ & $ *   

),*85(  /(77(5,1* 6,=( (;$03/(6

$ V\PERO LV D FRQYHQWLRQDO VLJQ XVHG WR UHSUHVHQW DQ RSHUDWLRQ D TXDQWLW\ DQ HOHPHQW D UHODWLRQVKLS RU D

 86( 2) 6<0%2/6 $%%5(9,$7,216

 6\PEROV VKRXOG EH XVHG LQVWHDG RI DEEUHYLDWLRQV

 ZKHQ WKHLU PHDQLQJ LV QRW FOHDU ZKHQ LQ GRXEW VSHOO RXW

 6<0%2/6 63(&,$//< )25 86( 21 '5$:,1*6

7KHVH V\PEROV ZLOO DSSHDU RQ GUDZLQJV ZKHQHYHU WKH\ DSSO\

 'O0(16O21O1* $1' 72/(5$1&O1* 6<0%2/6 6HH -'6* RU $60( <0

 *HRPHWULF &KDUDFWHULVWLF 6\PEROV 6HH $60( <0

 $  8VHG XQWLO HOHFWURQLF GHYLFHV FDQ FRPSO\ WR $60( <0

0DQGDWRU\ 0DFKLQLQJ V\PERO$ 7KH VXUIDFH PXVW EH SURGXFHG E\ UHPRYDO RI

0DFKLQLQJ 3URKLELWHG V\PERO 7KH VXUIDFH PXVW EH SURGXFHG ZLWKRXW UHPRYDO

*HQHUDO 6XUIDFH 7H[WXUH V\PERO D ´JHQHUDO QRWHµ  7KH VXUIDFH WH[WXUH

 &/$66,),&$7,21 2) &+$5$&7(5,67,&6 6HH -'6'

 27+(5 '5$:,1* 6<0%2/6

)LUVW $QJOH (XURSHDQ 3URMHFWLRQ VHH -'6*

7KLUG $QJOH $PHULFDQ 3URMHFWLRQ VHH -'6*

/LQH RI 6\PPHWU\ 6HH -'6*

1RWH 6HH 1RWH 

)HDWXUH RU 'LPHQVLRQ ,GHQWLILFDWLRQ IRU UHIHUHQFHV LQ QRWHV RU LQ UHYLVLRQV /HW

$ 6\PERO WR UHSUHVHQW D ILWWLQJ RQ D K\GUDXOLF OLQH GUDZLQJ 6\PERO WR UHSUHVHQW

; 7 4XDQWLW\ DQG VL]H RI UHSHWLWLYH SDUWV GLPHQVLRQV RU IHDWXUHV

 *(1(5$/ $%%5(9,$7,216 6<0%2/6

EHDULQJ %5* EUJ

FKDPIHU &+$0 FKDP

FRXQWHUVXQN KHDG &6.+ FVNK

GLDPHWHU ',$ GLD

GLDPHWUDO SLWFK '3 GS

OHDVW PDWHULDO FRQGLWLRQ$ /0&$ OPF$ 6HH 6HFWLRQ 

PD[LPXP PDWHULDO FRQGLWLRQ 00& PPF 0 6HH 6HFWLRQ 

PHWHU LQVWUXPHQW  PHWHULQJ 075 PWU

$33529(' )25 -'6*

6<0%2/6 63(&,$//< )25 86( 21 '5$:,1*6

*(1(5$/ $%%5(9,$7,216 6<0%2/6

6<0%2/6 $%%5(9,$7,216 )25 86 &86720$5< 81,76

6<0%2/6 $%%5(9,$7,216 )25 &+(0,&$/ (/(0(176

$'RHV QRW FRQIRUP WR $60( <0

),*85( $33/,&$7,21 2) /,1(6

9LHZLQJ SODQH OLQH

&XWWLQJ SODQH OLQH

6(&7,21 $$ 9,(: %

),*85( $33/,&$7,216 2) /,1(6

),*85( +,''(1 /,1( 7(&+1,48(

7KH URRWV RI YLVLEOH VFUHZ WKUHDGV DUH UHSUHVHQWHG

LQ D VLGHYLHZ$ E\ WKLQ GDVKHV 6HH )LJXUHV DQG

),85( $60( ),85( $60(

),85( ,62 ),85( ,62

),85( $60( ),85( $60(

),85( ,62 ),85( ,62

),85( $60( ),85( $60(

),85( ,62 ),85( ,62

),85( 9(57,&$/ /(77(5,1

$(LWKHU RI WKHVH FKDUDFWHUV LV DFFHSWDEOH

),85( ,1&/,1(' /(77(5,1

$(LWKHU RI WKHVH FKDUDFWHUV LV DFFHSWDEOH

7$%/( 5(&200(1'(' /(77(5,1* +(,*+7

$SSURYHG 7HUP $ $ % $ & $ ' $*

7UDQVODWLRQV $ $ % $ & $ *

),85( /(77(5,1 6,=( (;$03/(6

$ V\PERO LV D FRQYHQWLRQDO VLJQ XVHG WR UHSUHVHQW DQ RSHUDWLRQ D TXDQWLW\ DQ HOHPHQW D UHODWLRQVKLS RU D

86( 2) 6<0%2/6 $%%5(9,$7,216

6\PEROV VKRXOG EH XVHG LQVWHDG RI DEEUHYLDWLRQV

ZKHQ WKHLU PHDQLQJ LV QRW FOHDU ZKHQ LQ GRXEW VSHOO RXW

6<0%2/6 63(&,$//< )25 86( 21 '5$:,1*6

7KHVH V\PEROV ZLOO DSSHDU RQ GUDZLQJV ZKHQHYHU WKH\ DSSO\

'O0(16O21O1* $1' 72/(5$1&O1* 6<0%2/6 6HH -'6* RU $60( <0

*HRPHWULF &KDUDFWHULVWLF 6\PEROV 6HH $60( <0

$ 8VHG XQWLO HOHFWURQLF GHYLFHV FDQ FRPSO\ WR $60( <0

0DQGDWRU\ 0DFKLQLQJ V\PERO$ 7KH VXUIDFH PXVW EH SURGXFHG E\ UHPRYDO RI

0DFKLQLQJ 3URKLELWHG V\PERO 7KH VXUIDFH PXVW EH SURGXFHG ZLWKRXW UHPRYDO

*HQHUDO 6XUIDFH 7H[WXUH V\PERO D ´JHQHUDO QRWHµ 7KH VXUIDFH WH[WXUH

&/$66,),&$7,21 2) &+$5$&7(5,67,&6 6HH -'6'

27+(5 '5$:,1* 6<0%2/6

)LUVW $QJOH (XURSHDQ 3URMHFWLRQ VHH -'6*

7KLUG $QJOH $PHULFDQ 3URMHFWLRQ VHH -'6*

/LQH RI 6\PPHWU\ 6HH -'6*

1RWH 6HH 1RWH

)HDWXUH RU 'LPHQVLRQ ,GHQWLILFDWLRQ IRU UHIHUHQFHV LQ QRWHV RU LQ UHYLVLRQV /HW

$ 6\PERO WR UHSUHVHQW D ILWWLQJ RQ D K\GUDXOLF OLQH GUDZLQJ 6\PERO WR UHSUHVHQW

; 7 4XDQWLW\ DQG VL]H RI UHSHWLWLYH SDUWV GLPHQVLRQV RU IHDWXUHV

*(1(5$/ $%%5(9,$7,216 6<0%2/6

OHDVW PDWHULDO FRQGLWLRQ$ /0&$ OPF$ 6HH 6HFWLRQ

PD[LPXP PDWHULDO FRQGLWLRQ 00& PPF 0 6HH 6HFWLRQ

PHWHU LQVWUXPHQW PHWHULQJ 075 PWU

SDVVLYDWH 3697 SVYW 6HH -'6

UHLQIRUFHG UHLQIRUFHPHQW 5(,1) UHLQI

6<0%2/6 $%%5(9,$7,216 )25 86 &86720$5< 81,76

6<0%2/6 $%%5(9,$7,216 )25 &+(0,&$/ (/(0(176

:(/',1* 6<0%2/6

5HIHUHQFH OLQH FRQWLQXRXV OLQHV VKRZQ KRUL]RQWDOO\

6SHFLILFDWLRQ SURFHVV $UURZ FRQQHFWLQJ

),85( :(/',1 6<0%2/

7KH DUURZ GRHV QRW QHFHVVDULO\ SRLQW WR WKH SUHSDUHG HGJH

,62 3URFHVV 0HDVXUHPHQW &RQWURO )XQFWLRQV DQG ,QVWUXPHQWDWLRQ 6\PEROLF