6DIHW\QRWHV
3RZHU0RGXOH30
+DUGZDUH,QVWDOODWLRQ0DQXDO$(%$'
*HQHUDO
:$51,1*
7KLVHTXLSPHQWFRQWDLQVGDQJHURXVYROWDJHVDQGFRQWUROVSRWHQWLDOO\GDQJHURXVURWDWLQJ
PHFKDQLFDOSDUWV1RQFRPSOLDQFHZLWKWKHZDUQLQJVRUIDLOXUHWRIROORZWKHLQVWUXFWLRQV
FRQWDLQHGLQWKLVPDQXDOFDQUHVXOWLQORVVRIOLIHVHYHUHSHUVRQDOLQMXU\RUVHULRXVGDPDJH
WRSURSHUW\
3URWHFWLRQLQFDVHRIGLUHFWFRQWDFWE\PHDQVRI6(/93(/9LVRQO\SHUPLVVLEOHLQDUHDV
ZLWKHTXLSRWHQWLDOERQGLQJDQGLQGU\LQGRRUURRPV,IWKHVHFRQGLWLRQVDUHQRWIXOILOOHG
RWKHUSURWHFWLYHPHDVXUHVDJDLQVWHOHFWULFVKRFNPXVWEHDSSOLHGHJSURWHFWLYHLQVXODWLRQ
2QO\VXLWDEO\TXDOLILHGSHUVRQQHOVKRXOGZRUNRQWKLVHTXLSPHQWDQGRQO\DIWHUEHFRPLQJ
IDPLOLDUZLWKDOOVDIHW\QRWLFHVLQVWDOODWLRQRSHUDWLRQDQGPDLQWHQDQFHSURFHGXUHV
FRQWDLQHGLQWKLVPDQXDO7KHVXFFHVVIXODQGVDIHRSHUDWLRQRIWKLVHTXLSPHQWLVGHSHQGHQW
XSRQLWVSURSHUKDQGOLQJLQVWDOODWLRQRSHUDWLRQDQGPDLQWHQDQFH
$VWKHHDUWKOHDNDJHIRUWKLVSURGXFWFDQEHJUHDWHUWKDQP$DFDIL[HGHDUWK
FRQQHFWLRQLVUHTXLUHGDQGWKHPLQLPXPVL]HRIWKHSURWHFWLYHHDUWKFRQGXFWRUVKDOOFRPSO\
ZLWKWKHORFDOVDIHW\UHJXODWLRQVIRUKLJKOHDNDJHFXUUHQWHTXLSPHQW
7KHSRZHUVXSSO\'&DQGPRWRUWHUPLQDOVWKHEUDNHDQGWKHUPLVWRUFDEOHVFDQFDUU\
GDQJHURXVYROWDJHVHYHQLIWKHLQYHUWHULVLQRSHUDWLYH:DLWDWOHDVWILYHPLQXWHVWRDOORZWKH
XQLWWRGLVFKDUJHDIWHUVZLWFKLQJRIIWKHOLQHVXSSO\EHIRUHFDUU\LQJRXWDQ\LQVWDOODWLRQZRUN
,WLVVWULFWO\SURKLELWHGIRUDQ\PDLQVGLVFRQQHFWLRQWREHSHUIRUPHGRQWKHPRWRUVLGHRIWKH
V\VWHPDQ\GLVFRQQHFWLRQRIWKHPDLQVPXVWEHSHUIRUPHGRQWKHPDLQVVLGHRIWKH
,QYHUWHU
:KHQFRQQHFWLQJWKHOLQHVXSSO\WRWKH,QYHUWHUPDNHVXUHWKDWWKHWHUPLQDOFDVHRIWKH
PRWRULVFORVHG
7KLVHTXLSPHQWLVFDSDEOHRISURYLGLQJLQWHUQDOPRWRURYHUORDGSURWHFWLRQDFFRUGLQJWR
8/&5HIHUWR3DQG3LtWLV21E\GHIDXOW
:KHQFKDQJLQJIURPWKH21WR2))VWDWHRIDQRSHUDWLRQLIDQ/('RURWKHUVLPLODUGLVSOD\
LVQRWOLWRUDFWLYHWKLVGRHVQRWLQGLFDWHWKDWWKHXQLWLVVZLWFKHGRIIRUSRZHUHGGRZQ
7KHLQYHUWHUPXVWDOZD\VEHJURXQGHG
,VRODWHWKHOLQHVXSSO\EHIRUHPDNLQJRUFKDQJLQJFRQQHFWLRQVWRWKHXQLW
(QVXUHWKDWWKHLQYHUWHULVFRQILJXUHGIRUWKHFRUUHFWVXSSO\YROWDJH7KHLQYHUWHUPXVWQRW
EHFRQQHFWHGWRDKLJKHUYROWDJHVXSSO\
6WDWLFGLVFKDUJHVRQVXUIDFHVRULQWHUIDFHVWKDWDUHQRWJHQHUDOO\DFFHVVLEOHHJWHUPLQDO
RUFRQQHFWRUSLQVFDQFDXVHPDOIXQFWLRQVRUGHIHFWV7KHUHIRUHZKHQZRUNLQJZLWK
LQYHUWHUVRULQYHUWHUFRPSRQHQWV(6'SURWHFWLYHPHDVXUHVVKRXOGEHREVHUYHG
7DNHSDUWLFXODUQRWLFHRIWKHJHQHUDODQGUHJLRQDOLQVWDOODWLRQDQGVDIHW\UHJXODWLRQV
UHJDUGLQJZRUNRQGDQJHURXVYROWDJHLQVWDOODWLRQVHJ(1DVZHOODVWKHUHOHYDQW
UHJXODWLRQVUHJDUGLQJWKHFRUUHFWXVHRIWRROVDQGSHUVRQDOSURWHFWLYHHTXLSPHQW33(