Baixe o app para aproveitar ainda mais
Prévia do material em texto
*( 0HGLFDO 6\VWHPV 7HFKQLFDO 3XEOLFDWLRQV ������� 5HYLVLRQ � /2*,4Z B��� 6HUYLFH 0DQXDO &RS\ULJKW . ����� ����� ���� %\ *HQHUDO (OHFWULF &R� 2SHUDWLQJ ’RFXPHQWDWLRQ ’$0$*( ,1 75$163257$7,21 $OO SDFNDJHV VKRXOG EH FORVHO\ H[DPLQHG DW WLPH RI GHOLYHU\� ,I GDPDJH LV DSSDUHQW� ZULWH ·GDPDJH LQ VKLSPHQWµ RQ DOO FRSLHV RI WKH IUHLJKW RU H[SUHVV ELOO EHIRUH GHOLYHU\ LV DFFHSWHG RU ·VLJQHG IRUµ E\ D *HQHUDO (OHFWULF UHSUHVHQWDWLYH RU KRVSLWDO UHFHLYLQJ DJHQW� :KHWKHU QRWHG RU FRQFHDOHG� GDPDJH 0867 EH UHSRUWHG WR WKH FDUULHU LPPHGLDWHO\ XSRQ GLVFRYHU\� RU LQ DQ\ HYHQW� ZLWKLQ �� GD\V DIWHU UHFHLSW� DQG WKH FRQWHQWV DQG FRQWDLQHUV KHOG IRU LQVSHFWLRQ E\ WKH FDUULHU� $ WUDQVSRUWDWLRQ FRPSDQ\ ZLOO QRW SD\ D FODLP IRU GDPDJH LI WKH LQVSHFWLRQ LV QRW UHTXHVWHG ZLWKLQ WKLV �� GD\ SHULRG� *( 0HGLFDO 6\VWHPV *( 0HGLFDO 6\VWHPV� 7HOH[ ������� 3�2� %R[ ���� 0LOZDXNHH� :LVFRQVLQ ����� 8�6�$� �$VLD� 3DFLILF� /DWLQ $PHULFD� 1RUWK $PHULFD� 2Q��/LQH &HQWHU �2/&� 7HO� ����������������� RU ��� �������������� )D[� ��� �������������� *( 8OWUDVFKDOO ’HXWVFKODQG *PE+ &R� .* %HHWKRYHQVWUDBH� ���� 3RVWIDFK �� �� ��� ’������� 6ROLQJHQ� *(50$1< 7HO�� 2/&��(XURSH 7ROO )UHH 1XPEHUV RU 5DGLRORJ\ +RWOLQH ���� ����� ���� ��� &DUGLRORJ\K +RWOLQH ���� ����� ���� ��� )D[� ���� ����� ���� ��� *( 0(’,&$/ 6<67(06 /2*,4 ��� 6(59,&( 0$18$/ ������� a70 $ 5(9 � /,67 2) ())(&7,9( 3$*(6 5(9 ’$7( 35,0$5< 5($621 )25 &+$1*( $ 'HF� ��� ���� 3UHOLPLQDU\ UHOHDVH�� � � % � � � � �-XQH ��� ���� � � � <06 )HHGEDFN � � � � � � 6HSWHPEHU ��� ���� 3URGXFWLRQ 5HOHDVH � � � � � � 6HSWHPEHU ��� ���� 3&% $VV\ )58 8SGDWLRQ � � � � � � 2FWREHU ��� ���� 3&% $VV\ )58 8SGDWLRQ � � � � � � 0DUFK �� ���� )58 �6FKHPDWLF 8SGDWLRQ � ,PSURYHG $VVHPEO\�'LV��DVVHPEO\ GLDJUDPV � � � � � � 0D\ ��� ���� 9HUVLRQ ��� 6RIWZDUH UHOHDVH DQG 3ODVWLF�0HWDOOLF VHW )58 8SGDWLRQ ����������� $SULO �� � ���� 9HUVLRQ ��� 6RIWZDUH DQG 7ZR 3UREH 3RUW UHOHDVH ���������� � -DQ ��� ���� 9HUVLRQ ��� �03� 6\VWHP UHOHDVH ����������� $SU �� ���� 9HUVLRQ ���$ �03� 6\VWHP UHOHDVH WR IL[ %�% %XJ� ����������� -XO\ �� ���� 9HUVLRQ ���$ �03� 6\VWHP UHOHDVH IRU $PHULFDV� ����������� 'HFHPEHU ��� ���� 9HUVLRQ ����$ �03� 6\VWHP UHOHDVH IRU &RPSRQHQW 2EVROHVFHQFH� 3$*( 5(9 3$*( 5(9 3$*( 5(9 3$*( 5(9 3$*( 5(9 7LWOH SDJH �� � � � � � � � � � ������� �� � � � � � � � � � � ������� �� � � � � � � � � � � 3����&' �� � � � � � � � � � � $ �� � � � � � � � � � � � � � � � � � % ��� � � � � � � � � � � � � � � � , �� � � � � � � � � � � � � � � � � � ,, �� � � � � � � � � � � � � � � � � � ,,, �� � � � � � � � � � � � � � � � � ,9 �� � � � � � � � � � � � � � � � � &KDSWHU � ���� WR ���� �� � � � � � � � � � ���� �� � � � � � � � � � � � � � � ���� �� � � � � � � � � � � � � � � ���� WR ���� �� � � � � � � � � � ���� �� � � � � � � � � � � � � � � ����� WR ����� �� � � � � � � ����� �� � � � � � � � � � � � � � � ����� �� � � � � � � � � � � � � � � ����� �� � � � � � � � � � � � � � � &KDSWHU � ���� �� � � � � � � � � � � � � � � � ���� �� � � � � � � � � � � � � � � ���� WR ����� �� � � � � � � � ����� �� � � � � � � � � � � � � � ����� WR ����� �� � � � � � ����� �� � � � � � � � � � � � � � ����� �� � � � � � � � � � � � � ����� �� � � � � � � � � � � � � ����� �� � � � � � � � � � � � � ����� WR ����� �� � � � � � ����� �� � � � � � � � � � � � � ����� WR ����� �� � � � � � &KDSWHU � ���� WR ���� �� � � � � � � � � � ���� �� � � � � � � � � � � � � � � � ���� WR ���� �� � � � � � � � � � ���� �� � � � � � � � � � � � � � � ���� WR ���� �� � � � � � � � � � ���� �� � � � � � � � � � � � � � � � ����� �� � � � � � � � � � � � � � � ����� �� � � � � � � � � � � � � � � ����� �� � � � � � � � � � � � � � � &KDSWHU � ���� �� � � � � � � � � � � � � � � � ���� �� � � � � � � � � � � � � � � � ���� �� � � � � � � � � � � � � � � � ���� �� � � � � � � � � � � � � � � � ���� WR ���� �� � � � � � � � � � ���� �� � � � � � � � � � � � � � � � ���� �� � � � � � � � � � � � � � � � ���� WR ����� �� � � � � � � � � ����� WR ����� �� � � � � � � � ����� �� � � � � � � � � � � � � � � &KDSWHU � ���� �� � � � � � � � � � � � � � � � ���� �� � � � � � � � � � � � � � � � ���� �� � � � � � � � � � � � � � � � ���� WR ����� �� � � � � � � � &KDSWHU � ���� �� � � � � � � � � � � � � � � ���� WR ���� �� � � � � � � � � � ���� WR ����� �� � � � � � � � &KDSWHU � ���� �� � � � � � � � � � � � � � � ���� �� � � � � � � � � � � � � � � ���� �� � � � � � � � � � � � � � � ���� �� � � � � � � � � � � � � � � ���� �� � � � � � � � � � � � � � � ���� �� � � � � � � � � � � � � � � � ���� �� � � � � � � � � � � � � � � ���� WR ���� �� � � � � � � � � � ����� WR ����� �� � � � � � � � *( 0(’,&$/ 6<67(06 /2*,4 ��� 6(59,&( 0$18$/ ������� a70 , 7$%/( 2) &217(176 5(9 � 7$%/( 2) &217(176 6(&7,21 7,7/( 3$*( &+$37(5 � �� ,1752’8&7,21 ���� 29(59,(: ����� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ���� 6(59,&( 0$18$/ &217(176 ����� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ���� 6$)(7< ����� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� :DUQLQJV ����� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� /DEHOV ����� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� &ODVVLILFDWLRQ ������ � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ���� (0& �(OHFWURPDJQHWLF &RPSDWLELOLW\� ������ � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� (0& 3HUIRUPDQFH ������ � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� 1RWLFH XSRQ ,QVWDOODWLRQ RI 3URGXFW ������ � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� *HQHUDO 1RWLFH ������ � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� &RXQWHUPHDVXUHV DJDLQVW (0&�UHODWHG ,VVXHV ������ � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� 1RWLFH RQ 6HUYLFH ������ � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ���� &217$&7 $’’5(66(6 ������ � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � &+$37(5 � �� ,167$//$7,21 ���� 35(��,167$//$7,21 ����� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� 2YHUYLHZ ����� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� 3RZHU /LQH 5HTXLUHPHQWV ����� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� 3K\VLFDO 6SHFLILFDWLRQV ����� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ���� ,167$//$7,21 ����� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� 2YHUYLHZ ����� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � �� ������� $YHUDJH ,QVWDOODWLRQ 7LPH ����� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� &KHFNLQJ WKH FRPSRQHQWV ����� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� 8QSDFNLQJ /2*,4(D ��� ����� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� $VVHPEOLQJ 7KH /2*,4(D ��� 6\VWHP ����� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� ,QVWDOODWLRQ RI /2*,4 (D��� WR 3& ,PDJH 7UDQVIHU 6RIWZDUH �7KLV LV DQ 2SWLRQ IRU $PHULFDV� ������ � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� ,QVWDOODWLRQ RI 2SWLRQDO $FFHVVRULHV ������ � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� ,QVWDOODWLRQ RI 7ZR 3UREH 3RUW � /2*,4 D ��� 3UREH $GDSWHU �2SWLRQDO� ������ � � � � � � � � � � � ������� ,QVWDOODWLRQ RI /2*,4(D��� ZLWK *OREDO 7UROOH\ RU 0RGXODU 7UROOH\ ������ � � � � � � � � � � � � � � � � �������� $GMXVWPHQW RI 0RQLWRU &RQWUDVW $QG %ULJKWQHVV ������ � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � *( 0(’,&$/ 6<67(06 /2*,4 ��� 6(59,&( 0$18$/ ������� a70 ,, 7$%/( 2) &217(176 5(9 � 6(&7,21 7,7/( 3$*( �������� $GMXVWPHQW RI 6\VWHP &ORFN�’DWH� +RVSLWDO 1DPH $QG 2% 9HUVLRQ ������ � � � � � � � � � � � � � � � �������� 3URGXFW /RFDWRU &DUG ������ � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � &+$37(5 � ��6<67(0 &21),*85$7,21 ���� 29(59,(: ����� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ���� ’,0(16,216 ����� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� )URQW 9LHZ ����� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� 6LGH YLHZ �.H\ERDUG FORVHG� ����� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� 6LGH YLHZ �NH\ERDUG RSHQ� ����� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ���� (/(&75,&$/ 63(&,),&$7,216 ����� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� 3RZHU 6XSSO\ ����� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� )DFLOLW\ 3RZHU 6RFNHW ����� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ���� 6725$*( $1’ 23(5$7,21 5(48,5(0(176 ����� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ���� 237,21$/ 3(5,3+(5$/6 ����� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� )RRWVZLWFK &RQQHFWLRQ ����� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� 9LGHR *UDSKLF 3ULQWHU ����� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� 9LGHR &DVVHWWH 5HFRUGHU ����� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� 3UREHV ������ � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ���� /2*,4(D��� 03 9LGHR 6LJQDO 6SHFLILFDWLRQ ������ � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � &+$37(5 � �� )81&7,21$/ &+(&.6 ���� 29(59,(: ����� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ���� )81&7,21$/ &+(&. 352&(’85(6 ����� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� 3RZHU 8S 0RQLWRU ’LVSOD\ �&RQYH[ 3UREH� ����� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� %DVLF &RQWUROV ����� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� 3KDQWRP &KHFN ����� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ���� ’,$*1267,&6 ����� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� 3RZHU RQ ’LDJQRVWLFV ����� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� 6HUYLFH ’LDJQRVWLFV ����� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� &38 %RDUG 7HVWV ����� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� ’6& %RDUG 7HVWV ������ � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� $QDORJ %RDUG 7HVW ������ � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� .H\ERDUG 7HVWV ������ � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� 0RQLWRU 7HVW ������ � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � *( 0(’,&$/ 6<67(06 /2*,4 ��� 6(59,&( 0$18$/ ������� a70 ,,, 7$%/( 2) &217(176 5(9 � 6(&7,21 7,7/( 3$*( ������� .H\ 2SHUDWLRQ +LVWRU\ ������ � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� 7UDFNEDOO 6HOHFWLRQ �9HUVLRQ ��� 6\VWHP RQZDUGV� ������ � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ���� 6(59,&( $’-8670(176 ������ � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � &+$37(5 � �� 6<67(0 $5&+,7(&785( ���� 29(59,(: ����� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ���� /2*,4(D ��� 6<67(0 ����� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ���� 6<67(0 %/2&. ’,$*5$0 ����� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ���� &,5&8,7 %2$5’ 120(1&/$785( ����� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ���� ’,3 6:,7&+ 6(77,1* ����� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� 75&7/ %RDUG ����� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� &38 %RDUG ����� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ���� :,5,1* ’,$*5$06 ����� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � &+$37(5 � �� 5(1(:$/ 3$576 ���� 723 &29(5 ����� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� ’LVDVVHPEO\�$VVHPEO\ RI 7RS &RYHU ����� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ���� .(<%2$5’ ����� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � �� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� ’HWDFKLQJ WKH .H\ERDUG ����� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� .H\ERDUG ’LVDVVHPEO\�$VVHPEO\ ������ � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� 2SWLFDO 7UDFNEDOO $VVHPEO\ ������ � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ���� )5217 3$1(/�021,725 ������ � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� ’LVDVVHPEO\�$VVHPEO\ RI )URQW 3DQHO ������ � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� ’LVDVVHPEO\�$VVHPEO\ RI 0RQLWRU ������ � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ���� 3&%V ������ � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� ’LVDVVHPEO\�$VVHPEO\ RI ’6&�&38�)/$6+ ������ � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� ’LVDVVHPEO\�$VVHPEO\ RI 75%’�75&7/%’ ������ � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� 0$7(5,$/ /,67 3&%¶6 �� &38 ������ � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� 0$7(5,$/ /,67 �� /,7+,80 %$77(5< ������ � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� 0$7(5,$/ /,67 3&% �� )/$6+ ������ � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� 0$7(5,$/ /,67 3&%¶6 �� ’6& ������ � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� 0$7(5,$/ /,67 3&%¶6 �� 75%’ 75&7/ ������ � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ���� 32:(5 6833/<�’,675,%8725 3&% ������ � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� ’LVDVVHPEO\�$VVHPEO\ RI 3RZHU 6XSSO\�’LVWULEXWRU 3&% ������ � � � � � � � � � � � � � � � � � � � � � � � � *( 0(’,&$/ 6<67(06 /2*,4 ��� 6(59,&( 0$18$/ ������� a70 ,9 7$%/( 2) &217(176 5(9 � 6(&7,21 7,7/( 3$*( ���� )$1 ������ � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� ’LVDVVHPEO\�$VVHPEO\ RI )DQ ������ � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ���� 5($5 3$1(/ ������ � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� ’LVDVVHPEO\�$VVHPEO\ RI 5HDU 3DQHO ������ � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ���� +9 32:(5 6833/< ������ � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� ’LVDVVHPEO\�$VVHPEO\ RI +9 3RZHU 6XSSO\ ������ � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ���� &+$66,6 ������ � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ����� &$%/( $VV\ ������ � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ����� *HQHUDO ������ � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � �������� 0HWDOOLF 6HW ������ � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � �������� 3ODVWLF 6HW ������ � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � �������� )DVWHQHU 6HW ������ � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � �������� 7UDFNEDOO 0DLQWHQDQFH .LW ������ � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � &+$37(5 � �� 3(5,2’,& 0$,17(1$1&( ���� 29(59,(: ����� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ���� 3(5,2’,& 0$,17(1$1&( ����� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ���� 352&(’85(6 ����� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� 9LVXDO ,QVSHFWLRQ ����� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� &OHDQLQJ ����� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� 0HDVXUHPHQW ����� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ���� 75$&.%$// 0$,17(1$1&( �2QO\ IRU 9��� EHORZ� 1RW DSSOLFDEOH IRU 9����$ V\VWHP� ����� � � � � ������� 5HPRYDO RI WKH 5HWDLQHU 5LQJ ����� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� &OHDQLQJ WKH 7UDFNEDOO ����� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� )L[LQJ WKH 7UDFNEDOO DQG 5HWDLQHU 5LQJ ����� � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ���� (/(&75,&$/ 6$)(7< 7(676 ������ � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� 2XWOHW 7HVW :LULQJ $UUDQJHPHQW ������ � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� *URXQG &RQWLQXLW\ ������ � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� &KDVVLV /HDNDJH &XUUHQW 7HVW ������ � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� 3UREH /HDNDJH &XUUHQW 7HVW ������ � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � ������� :KHQ 7KHUH•V 7RR PXFK /HDNDJH &XUUHQW���� ������ � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � � /2*,4Éa��� 6(59,&( 0$18$/*( 0(’,&$/ 6<67(06 ������� ���� 5(9 � ���� 29(59,(: 7KH /2*,4Éa��� LV D FRPSDFW SRUWDEOH XOWUDVRXQG VFDQQHU ZKLFK LV GHVLJQHG IRU 2%�*<1� $EGRPHQ� 8URORJ\ DQG VPDOO SDUW 6FDQV XVLQJ WKH FRQYH[� OLQHDU DQG PLFUR��FRQYH[ �7UDQVYDJLQDO� SUREHV� +LJK TXDOLW\ LPDJHV FDQ EH RE� WDLQHG E\ WKH SURSHU VHOHFWLRQ RI VFDQ FRQWURO SDUDPHWHUV� 7KH GLDJQRVWLF FODULW\ LV IXUWKHU HQKDQFHG E\ WKH GLIIHUHQW PHDVXUHPHQW DQG FDOFXODWLRQ SDFNDJHV DYDLODEOH LQ WKH V\VWHP� ���� 6(59,&( 0$18$/ &217(176 7KLVPDQXDO SURYLGHV VHUYLFH LQIRUPDWLRQ RQ WKH /2*,4Éa���8OWUDVRXQG6FDQQLQJ6\VWHP� ,W FRQWDLQV WKH IROORZLQJ VHFWLRQV � �� ,QWURGXFWLRQ� &RQWDLQV FRQWHQW VXPPDU\� VDIHW\ ZDUQLQJV� (0& DQG FRQWDFW DGGUHVVHV� �� ,QVWDOODWLRQ� &RQWDLQV HOHFWULFDO DQG SK\VLFDO UHTXLUHPHQWV WKDW VKRXOG EH FRQVLGHUHG SULRU WR LQVWDOODWLRQ DQG D FRPSOHWH /2*,4É a��� LQVWDOODWLRQ SURFHGXUH ZLWK LQVWDOODWLRQ FKHFN OLVW� �� 6\VWHP &RQILJXUDWLRQ� &RQWDLQV PHFKDQLFDO� HOHFWULFDO� HQYLURQPHQWDO VSHFLILFDWLRQV DQG 3HULSKHUDOV�$FFHV� VRU\ GHWDLOV� �� )XQFWLRQDO &KHFN� &RQWDLQV IXQFWLRQDO FKHFNV WKDW VKRXOG EH SHUIRUPHG DV SDUW RI WKH LQVWDOODWLRQ� RU DV UHTXLUHG GXULQJ VHUYLFLQJ DQG SHULRGLF PDLQWHQDQFH� $OVR FRQWDLQV ’LDJQRVWLF LQIRUPDWLRQ IRU WKH /2*,4Éa��� 6\VWHP� �� 6\VWHP $UFKLWHFWXUH� &RQWDLQV 6\VWHP %ORFN ’LDJUDPDQG :LULQJ ’LDJUDPV� �� 5HQHZDO 3DUW /LVW� &RQWDLQV D FRPSOHWH OLVW RI ILHOG UHSODFHPHQW XQLWV �)58� IRU WKH /2*,4Éa��� DQG ’LVDV� VHPEO\�$VVHPEO\ SURFHGXUHV IRU WKH VDPH� �� 3HULRGLF 0DLQWHQDQFH� 3URYLGHV SHULRGLF PDLQWHQDQFH SURFHGXUHV IRU WKH /2*,4É a���� /2*,4Éa��� 6(59,&( 0$18$/*( 0(’,&$/ 6<67(06 ������� ���� 5(9 � ���� 6$)(7< ������� :DUQLQJV :$51,1*� &$5()8//< 5($’ $// 7+( :$51,1*6 /,67(’ %(/2:� �� 5HDG WKH /2*,4É a��� 2SHUDWRU 0DQXDO WKRURXJKO\ EHIRUH RSHUDWLQJ WKH V\VWHP DQG NHHS DW KDQG IRU UHDG\ UHIHUHQFH� �� $OWKRXJK WKH XOWUDVRXQG HQHUJ\ WUDQVPLWWHG IURP WKH /2*,4Éa��� WUDQVGXFHU LV ZLWKLQ $,80�1(0$ VWDQGDUGV� XQQHFHVVDU\ H[SRVXUH VKRXOG EH DYRLGHG� 2QO\ WUDLQHG SHUVRQQHO VKRXOG RSHUDWH�VHUYLFH WKH /2*,4É a���� �� 7R DYRLG HOHFWULFDO VKRFN� XVH RQO\ WKH VXSSOLHG SRZHU FRUGV DQG FRQQHFW WKHP WR SURSHUO\ JURXQGHG SRZHU 6RFN� HW� ’R QRW XVH D WKUHH SLQ WR WZR SLQ DGDSWHU� 7KLV GHIHDWV WKH SXUSRVH RI VDIHW\ JURXQGLQJ� 6\VWHP VKRXOG EH RSHUDWHG ZLWKLQ WKH YROWDJH OLPLWV� �� 3UREHV DUH IUDJLOH� SOHDVH KDQGOH ZLWK FDUH� $ GDPDJHG SUREH PD\ FDXVH DQ HOHFWULFDOO\ KD]DUGRXV FRQGLWLRQ ZKHQ FRXSOHG WR WKH KXPDQ ERG\� $ GDPDJHG SUREHZLOO QRW SURGXFH D GHVLUDEOH LPDJH� $ GDPDJHG SUREH KDV WR EHGLVFDUGHG� ,W FDQQRW EH UHSDLUHGRU UHXVHG� ’RQRW DOORZ WKH OHQV WR FRPH LQWR FRQWDFWZLWK DVKDUSREMHFW RU WREH NQRFNHG DJDLQVW DQ REMHFW� �� ’R QRW SODFH OLTXLGV RQ RU DERYH WKH FRQVROH� ,I WKH OLTXLG VSLOOV� LW PD\ FRPH LQ WR FRQWDFW ZLWK OLYH SDUWV DQG FDQ FDXVH DQ HOHFWULF VKRN�7KLV V\VWHP FRQWDLQV QR RSHUDWRU VHUYLFHDEOH FRPSRQHQWV� 7R SUHYHQW VKRFN� GR QRW UH� PRYHDQ\ FRYHUV RU SDQHOV� 6KRXOGSUREOHPVRUPDOIXQFWLRQV RFFXU� XQSOXJ WKHSRZHU FRUG� 2QO\ TXDOLILHG6HUYLFH SHUVRQQHO VKRXOG VHUYLFH WKH V\VWHP� $FFLGHQWDOO\ FRPLQJ LQ FRQWDFW ZLWK WKH HOHFWULFDO FLUFXLWV LQVLGH WKH KRXVLQJ FRXOG FDXVH VHULRXV LQMXU\� �� ’R QRW XVH ’HILEULOODWRUV ZKHQ WKH /2*,4É a��� LV RSHUDWHG� �� &RQFHUQLQJ RXWVLGH PDUNLQJV� UHIHU WR ,//8675$7,21 ���� � �� 7KH /2*,4Éa��� V\VWHP VKRXOG QRW EH SODFHG RQ D VRIW VXUIDFH� DV LW SUHYHQWV SURSHU DLU FLUFXODWLRQ� 7KH YHQWV IRU DLU FLUFXODWLRQ DUH RQ WKH ERWWRP FRYHU� 1RWH 7KLVPHGLFDO HTXLSPHQW LV DSSURYHG� LQ WHUPV RI WKH SUHYHQWLRQ RI UDGLR ZDYH LQWHUIHUHQFH� WR EH XVHG LQ KRVSLWDOV� FOLQLFV DQG RWKHU LQVWLWXWLRQV ZKLFK DUH HQYLURQPHQWDOO\ TXDOLILHG� 7KH XVH RI WKLV HTXLS� PHQW LQ DQ LQDSSURSULDWH HQYLURQPHQW PD\ FDXVH VRPH HOHFWURQLF LQWHUIHUHQFH WR UDGLRV DQG WHOHYL� VLRQV DURXQG WKH HTXLSPHQW� 3URSHU KDQGOLQJ RI WKLV HTXLSPHQW LV UHTXLUHG LQ RUGHU WR DYRLG VXFK WURXEOH DFFRUGLQJ WR WKH RSHUDWRU DQG VHUYLFH PDQXDOV� /2*,4Éa��� 6(59,&( 0$18$/*( 0(’,&$/ 6<67(06 ������� ���� 5(9 � ������� :DUQLQJV �&RQWLQXHG� 7$%/(���� GHVFULEHV WKH SXUSRVH DQG ORFDWLRQ RI VDIHW\ ODEHOV DQG RWKHU LPSRUWDQW LQIRUPDWLRQ SURYLGHG RQ WKH HTXLS� PHQW� 7$%/(���� :$51,1* /$%(/6 ,GHQWLILFDWLRQ DQG 5DWLQJ 3ODWH R 0DQXIDFWXUHUV QDPH DQG DGGUHVV R ’DWH RI 0DQXIDFWXUH R 0RGHO DQG 6HULDO QXPEHUV R (OHFWULFDO UDWLQJV 7\SH�&ODVV /DEHO 8VHG WR LQGLFDWH WKH GHJUHH RI VDIHW\ RU SURWHFWLRQ ’HYLFH /LVWLQJ� &HUWLILFDWLRQ /DEHOV /DERUDWRU\ ORJR RU ODEHOV GHQRWLQJ FRQ� IRUPDQFH ZLWK LQGXVWU\ VDIHW\ VWDQ� GDUGV VXFK DV 8/ RU ,(& 5HDU RI &RQVROH ·’$1*(5 �� 3RVVLEOH H[SOR� VLRQ KD]DUG� LI XVHG LQ WKH SUHVHQFH RI IODPPDEOH DQHV� WKHWLFV�µ 7KLV V\VWHP LV QRW GHVLJQHG IRU XVH ZLWK IODPPDEOH DQHVWKHWLF JDVHV $77(17,21 �� &RQVXOW DFFRPSDQ\LQJ GRFXPHQWV ·LV LQWHQGHG WR DOHUW WKH XVHU WR UHIHU WR WKH RSHUDWRU PDQXDO RU RWKHU LQVWUXFWLRQV ZKHQ FRPSOHWH LQIRUPDWLRQ FDQQRW EH SURYLGHG RQ WKH ODEHO� � 7\SH %) (TXLSPHQW �PDQ LQ WKH ER[ V\PERO� ,(& ����������� LQGLFDWHV % 7\SH HTXLSPHQW KDYLQJ D IORDWLQJ DSSOLHG SDUW� /DEHO�6\PERO ’HVFULSWLRQ /RFDWLRQ ·&$87,21µ 7KH HTXLODWHUDO WULDQJOH LV XVXDOO\ XVHG LQ FRPELQDWLRQ ZLWK RWKHU V\PEROV WR DGYLVH RU ZDUQ WKH XVHU� $OWHUQDWLQJ &XUUHQW 6LQJOH 3KDVH 3URWHFWLYH HDUWK �JURXQGLQJ� 5HDU RI &RQVROH �DORQJ ZLWK UDWLQJ SODWH ODEHO� 5HDU RI &RQVROH ([WHUQDO 5HDU RI &RQVROH ([WHUQDO 5HDU RI &RQVROH 5HDU SDQHO DQG )URQW SDQHO �DERYH WKH SRZHU VZLWFK� 2Q WKH FKDVVLV �LQVLGH WKH V\VWHP� /2*,4Éa��� 6(59,&( 0$18$/*( 0(’,&$/ 6<67(06 ������� ���� 5(9 � ������� :DUQLQJV �&RQWLQXHG� /DEHO�6\PERO ’HVFULSWLRQ /RFDWLRQ :DUQLQJ� +LJK 9ROWDJH ·0DLQV 21µ LQGLFDWHV WKH SRZHU RQ SRVLWLRQ RI WKH PDLQV SRZHU VZLWFK� ·0DLQV 2)) �3RZHU� GLVFRQ� QHFWLRQ IURP WKH 0DLQV� 2Q WKH &57� RQ IO\� EDFN WUDQVIRUPHU )URQW 3DQHO �RQ WKH 3RZHU VZLWFK� )URQW 3DQHO �RQ WKH 3RZHU VZLWFK� 7$%/( ���� :$51,1* /$%(/6 �FRQW·G� /2*,4Éa��� 6(59,&( 0$18$/*( 0(’,&$/ 6<67(06 ������� ���� 5(9 � ������� /DEHOV :DUQLQJ :$51,1* � 3RVVLEOH VKRFN KD]DUG� 'R QRW UHPRYH &RYHUV RU 3DQHOV� 5HIHU VHUYLFLQJ WR TXDOLILHG SHUVRQQHO� ������������������������������������������������������ )RU FRQWLQXHG SURWHFWLRQ DJDLQVW ILUH RU VKRFN KD]DUG �� 5HSODFH RQO\ ZLWK VDPH W\SH DQG UDWLQJ RI )XVH� ������������������������������������������������������ *URXQGLQJ UHOLDELOLW\ FDQ RQO\ EH DFKLHYHG ZLWK ´+RVSLWDO RQO\µ RU ´+RVSLWDO *UDGHµ FRUGVHW SURYLGHG ZLWK WKH V\VWHP ’DQJHU�&DXWLRQ /DEHO 3RVVLEOH H[SORVLRQ KD]DUG LI XVHG LQ WKH SUHVHQFH RI IODPPDEOH DQHVWKHWLFV� ’$1*(5 &$87,21 'R QRW XVH ZLWK 'HILEULOODWRU� BBBBBBBBBBBBBBBBBBBBBBBBBB 8QLWHG 6WDWH ODZ UHVWULFWV WKLV GHYLFH WR VDOH RU XVH E\ RU RQ WKH RUGHU RI D SK\VLFLDQ � � :$51,1* /$%(/6 ,//8675$7,21 ���� /2*,4Éa��� 6(59,&( 0$18$/*( 0(’,&$/ 6<67(06 ������� ���� 5(9 � ������� /DEHOV �&RQWLQXHG� &$87,21 'R QRW XVH WKH IROORZLQJ GHYLFHV QHDU WKLV HTXLSPHQW� &HOOXODU SKRQH� UDGLR WUDQVFHLYHU� PRELOH UDGLR WUDQVPLWWHU� UDGLR��FRQWUROOHU WR\� HWF� 8VH RI WKHVH GHYLFHV FRXOG FDXVH WKLV HTXLSPHQW WR SHUIRUP RXWVLGH WKH SXEOLVKHG VSHFLILFDWLRQV� .HHS SRZHU WR WKHVH GHYLFHV WXUQHG RII ZKHQ QHDU WKLV HTXLSPHQW� � 5HJXODWRU\ /DEHOV &DXWLRQ /DEHO :$51,1* /$%(/6 ,//8675$7,21 ���� /2*,4Éa��� 6(59,&( 0$18$/*( 0(’,&$/ 6<67(06 ������� ���� 5(9 � ������� /DEHOV �&RQWLQXHG� 5DWLQJ 3ODWH 0DGH IRU *( 0HGLFDO 6\VWHPV� 0LOZDXNHH� :LVFRQVLQ E\ :LSUR *( 0HGLFDO 6\VWHPV /WG�� %DQJDORUH� ,1',$ )RU (XURSH 02'(/ � &/$66 , 0$18)$&785(' � /2&$7,21 � :LSUR *( 0HGLFDO 6\VWHPV /WG� %DQJDORUH� ,QGLD 6(5,$/ � 92/76 � 9�� 3+$6( , $03 /21* 7(50 � $03 )5(48(1&< � ����� +] )RU $VLD $PHULFD ����� :$51,1* /$%(/6 ,//8675$7,21 ���� /2*,4Éa��� 6(59,&( 0$18$/*( 0(’,&$/ 6<67(06 ������� ����� 5(9 � ������� /DEHOV �&RQWLQXHG� 3RVVLEOH VKRFN KD]DUG� 'R QRW UHPRYH &RYHUV RU 3DQHOV� 5HIHU VHUYLFLQJ WR TXDOLILHG SHUVRQQHO� ���������������������������������������������������������� )RU FRQWLQXHG SURWHFWLRQ DJDLQVW ILUH RU VKRFN KD]DUG �� 5HSODFH RQO\ ZLWK VDPH W\SH DQG UDWLQJ RI )XVH� ���������������������������������������������������������� *URXQGLQJ UHOLDELOLW\ FDQ RQO\ EH DFKLHYHG ZLWK ´+RVSLWDO RQO\µ RU ´+RVSLWDO *UDGHµ FRUGVHW SURYLGHG ZLWK WKH V\VWHP :$51,1*� 3HULFROR GL VFDULFKH HOHWWULFKH� 1RQ WRJOLHUH L FRSHUFKL R L SDQQHOOL� 3HU OD PDQXWHQ]LRQH� ULYROJHUVL DO SHUVRQDOH VSHFLDOL]]DWR� ������������������������������������������������������ 3HU SUHYHQLUH LQFHQGL R VFDULFKH HOHWWULFKH� VRVWLWXLUH L IXVLELOL VROR FRQ IXVLELOL GHOOR VWHVVR WLSR H DYHQWL OH VWHVVH FRQGL]LRQL GL IXQ�� ]LRQDPHQWR� ������������������������������������������������������ ,O FROOHJDPHQWR D WHUUD SL VLFXUR q TXHOOR HIIHWWXDWR FRQ L FDYL ´+RVSL�� WDO RQO\µ �6ROR RVSHGDOH� R ´+RVSL�� WDO *UDGHµ �*UDGR RVSHGDOH� IRUQLWL FRQ LO VLVWHPD� 6WURPVFKODJJHIDKU� +DXEHQ RGHU $EGHFNXQJHQ QLFKW HQWIHUQHQ� hEHUODVVHQ 6LH GLH :DUWXQJ TXDOL�� IL]LHUWHP 3HUVRQDO� ������������������������������������������������������(UVHW]HQ 6LH GLH 6LFKHUXQJ IU HLQHQ NRQWLQXLHUOLFKHQ 6FKXW] JHJHQ )HXHU RGHU 6WURPVFKODJ QXU GXUFK GHQ JOHLFKHQ 7\S PLW GHP JOHLFKHQ :HUW� ������������������������������������������������������ (LQH ]XYHUOlVVLJH (UGXQJ LVW QXU PLW GHP /HLWXQJVNLW ´+RVSLWDO RQO\µ RGHU ´+RVSLWDO *UDGµ JHZlKUOHLV�� WHW� GHU PLW GHP 6\VWHP JHOLHIHUW ZLUG� :$5181*� 5LVTXH GH GpFKDUJH pOHFWULTXH� 1H SDV UHWLUHU OHV FDSRWV QL OHV SDQQHDX[� 6·DGUHVVHU j XQ WHFKQLFLHQ TXDOLILp� ������������������������������������������������������������ 3RXU DVVXUHU XQH SURWHFWLRQ FRQWLQXH FRQWUH OHV LQFHQGLHV HW OHV GpFKDUJHV pOHFWULTXHV� QH UHPSODFHU TXH SDU GHV IXVLEOHV GH PrPH W\SH HW GH PrPH FRXUDQW QRPLQDO� ������������������������������������������������������������ /D ILDELOLWp GH OD PLVH j OD WHUUH QH SHXW V·REWHQLU TX·DYHF OH FRUGRQ SRUWDQW O·pWLTXHWWH ´+{SLWDO VHXOHPHQWµ RX ´4XDOLWp K{SLWDOµ� IRXUQL DYHF OH V\VWqPH� 5LVFR GH &KRTXH HOpWULFR� 1mR UH�� WLUH DV 7DPSDV QHP RV 3DLQpLV GH SURWHomR� 2V VHUYLoRV GHYHP VHU IHLWRV SRU SHVVRDO TXDOLILFDGR� ������������������������������������������������������ 3DUD XPD SURWHomR FRQVWDQWH FRQWUD SHULJR GH LQFrQGLR RX GH FKRTXH �� 6XEVWLWXD VHPSUH R )XVtYHO SRU RXWUR GR PHVPR WLSR H FRP D PHVPD YROWDJHP� ������������������������������������������������������ $ FRQILDELOLGDGH QD WRPDGD FRP WHUUD Vy p HIHWLYD FRP R FRQMXQWR GH ILRV ´+RVSLWDO RQO\µ RU ´+RVSLWDO *UDGHµ SURSRUFLRQDGR FRP R VLVWHPD� $9,62� 5LHVJR GH GHVFDUJD HOpFWULFD� 1R UHWLUH ODV FXELHUWDV QL ORV SDQHOHV� &RQVXOWH DO SHUVRQDO GH VHUYLFLR FXDOLILFDGR� ������������������������������������������������������ &RPR SURWHFFLyQ FRQWUD ODV GHVFDUJDV HOpFWULFDV \ ORV LQFHQGLRV� XVH VyOR IXVLE�� OHV GHO PLVPR WLSR \ FRUULHQWH QRPLQDO� ������������������������������������������������������ /D VHJXULGDG GH OD FRQH[LyQ D OD WLHUUD VH REWLHQH VyOR FRQ OD WRPD ´6yOR KRV�� SLWDOµ R ´*UDGR KRVSLWDOµ� VXPLQLVWUDGD FRQ HO VLVWHPD� $9,62� :$51,1* /$%(/6 ,//8675$7,21 ���� /2*,4Éa��� 6(59,&( 0$18$/*( 0(’,&$/ 6<67(06 ������� ����� 5(9 � ������� /DEHOV �&RQWLQXHG� :$51,1* /$%(/6 ,//8675$7,21 ���� /2*,4Éa��� 6(59,&( 0$18$/*( 0(’,&$/ 6<67(06 ������� ����� 5(9 � ������� /DEHOV �&RQWLQXHG� $9,62 9256,&+7 1R XVH QLQJXQR GH ORV VLJXLHQWHV GLVSRVLWL�� YRV FHUFD GHO HTXLSR� 7HOpIRQRV FHOXODUHV� UHFHSWRUHV GH UDGLR� MXJXHWHV FRQWURODGRV SRU WUDQVPLVRUHV GH UDGLR PyYLOHV� HWF� (O XVR GH HVWRV GLVSRVLWLYRV SXHGH KDFHU TXH HO HTXLSR IXQFLRQH IXHUD GH ODV HVSHFLILFDFLRQHV SXEOLFDGDV� 0DQWHQJD DSDJDGRV GLFKRV GLVSRVLWL�� YRVFXDQGR HVWpQ FHUFD GHO VLVWHPD� &8,'$'2� 1RQ XVDUH L VHJXHQWL DSSDUHFFKL LQ SURV�� VLPLWj GL TXHVWD DSSDUHFFKLDWXUD� FHOOXODUL� ULFHWUDVPHWWLWRUH UDGLR� WUDVPHWWL�� WRUH UDGLR PRELOH� JLRFDWWROL UDGLRFRPDQ�� GDWL HFF� /·XVR GL TXHVWL DSSDUHFFKL SRWUHEEH PR�� GLILFDUH OH VSHFLILFKH GHOO·DSSDUHFFKLDWXUD� 0DQWHQHUH JOL DSSDUHFFKL LQWHUIHUHQWL VSHQWL� VH LQ SURVVLPLWj GHO VLVWHPD� $77(1=,21(� 1mR XWLOL]H RV GLVSRVLWLYRV VHJXLQWHV SHU�� WR GHVWH HTXLSDPHQWR� 7HOHIRQH FHOXODU� UDGLRWUDQVFHLYHU� UDGLR�� WUDQVPLVVRU PyYHO� EULQTXHGRV GH FRQ�� WUROH UHPRWR� HWF� 2 XVR GHVWHV GLVSRVLWLYRV SRGH OHYDU R HTXLSDPHQWR D WHU XP GHVHPSHQKR RXW�� UR TXH DTXHOH SXEOLFDGR� 'HVOLJXH HVWHV GLVSRVLWLYRV TXDQGR HV�� WLYHUHP SHUWR GHVWH HTXLSDPHQWR� &8,'$'2� 1H SDV XWLOLVHU OHV DSSDUHLOV VXLYDQWV j SUR[LPLWp GH FHW pTXLSHPHQW � WpOpSKRQHV PRELOHV� pPHWWHXUV��UpFHSWHXUV� DSSDUHLOV UDGLRFRPPDQGpV� HWF�� FHOD SRXYDQW HQWUDvQHU GHV SHUIRUPDQFHV GLIIpUHQWHV GHV VSpFLILFDWLRQV DQQRQFpHV� 0DLQWHQLU OHV DSSDUHLOV GH FH W\SH KRUV WHQVLRQ ORUVTX·LOV VH WURXYHQW j SUR[LPLWp GX V\VWqPH� $77(17,21� 9HUZHQGHQ 6LH IROJHQGH *HUlWH QLFKW LQ GHU 1lKH GHU $QODJH� )XQNWHOHIRQ� )XQNHPSIlQJHU� PRELOHU )XQNVHQGHU� IXQNJHVWHXHUWHV 6SLHO]HXJ XVZ� %HL *HEUDXFK GLHVHU *HUlWH DUEHLWHW GLH $QODJH HYWO� QLFKW HQWVSUHFKHQG GHU YHU|IIHQWOLFKWHQ $QJDEHQ� %HODVVHQ 6LH GLHVH *HUlWH LQ GHU 1lKH GHU $QODJH DXVJHVFKDOWHW� 9256,&+7� 'R QRW XVH WKH IROORZLQJ GHYLFHV QHDU WKLV HTXLSPHQW� &HOOXODU SKRQH� UDGLR WUDQVFHLYHU� PRELOH UDGLR WUDQVPLWWHU� UDGLR��FRQWUROOHU WR\� HWF� 8VH RI WKHVH GHYLFHV FRXOG FDXVH WKLV HTXLSPHQW WR SHUIRUP RXWVLGH WKH SXEOLVKHG VSHFLILFDWLRQV� .HHS SRZHU WR WKHVH GHYLFHV WXUQHG RII ZKHQ QHDU WKLV HTXLSPHQW� &$87,21� :$51,1* /$%(/6 ,//8675$7,21 ���� /2*,4Éa��� 6(59,&( 0$18$/*( 0(’,&$/ 6<67(06 ������� ����� 5(9 � ������� &ODVVLILFDWLRQ 7\SH RI SURWHFWLRQ DJDLQVW HOHFWULF VKRFN� &ODVV , (48,30(17 � ’HJUHH RI SURWHFWLRQ DJDLQVW HOHFWULF VKRFN� 7\SH %) (48,30(17 � �� &ODVV , (48,30(17 (48,30(17 LQ ZKLFK SURWHFWLRQ DJDLQVW HOHFWULF VKRFN GRHV QRW UHO\ RQ %$6,& ,168/$7,21 RQO\� EXW ZKLFK LQFOXGHV DQ DGGLWLRQDO VDIHW\ SUHFDXWLRQ LQ WKDW PHDQV DUH SURYLGHG IRU WKH FRQQHFWLRQ RI WKH (48,30(17 WR WKH SURWHFWLYH HDUWK FRQGXFWRU LQ WKH IL[HG ZLULQJ RI WKH LQVWDOODWLRQ LQ VXFK D ZD\ WKDW $&&(66,%/( 0(7$/ 3$576 FDQQRW EHFRPH /,9( LQ WKH HYHQW RI D IDLOXUH RI WKH %$6,& ,168/$7,21� �� 7\SH %) (48,30(17 7\SH % (48,30(17 ZLWK D )��7<3( LVRODWHG DSSOLHG SDUW SURYLGLQJ D GHJUHH RI SURWHFWLRQ DJDLQVW HOHFWULF VKRFN WR VXFK D GHJUHH WKDW WKH DOORZDEOH 3$7,(17 /($.$*(&855(17 XQGHU 6,1*/( )$8/7 &21’,7,216 LV QRW H[FHHGHG ZKHQ ��� WLPHV WKH KLJKHVW UDWHG 0$,1692/7$*( LV DSSOLHG EHWZHHQ WKH $33/,(’3$57 DQG HDUWK� /2*,4Éa��� 6(59,&( 0$18$/*( 0(’,&$/ 6<67(06 ������� ����� 5(9 � ���� (0& �(OHFWURPDJQHWLF &RPSDWLELOLW\� ������� (0& 3HUIRUPDQFH $OO W\SHV RI HOHFWURQLF HTXLSPHQW PD\ FKDUDFWHULVWLFDOO\ FDXVH HOHFWURPDJQHWLF LQWHUIHUHQFH ZLWK RWKHU HTXLSPHQW� HL� WKHU WKURXJK DLU RU FRQQHFWLQJ FDEOHV� 7KH WHUP (0& �(OHFWURPDJQHWLF &RPSDWLELOLW\� LQGLFDWHV FDSDELOLW\ RI WKH HTXLS� PHQW� ZKLFK FXUEV HOHFWURPDJQHWLF LQIOXHQFH IURP RWKHU HTXLSPHQW DQG DW WKH VDPH WLPH GRHV QRW DIIHFW RWKHU HTXLS� PHQW ZLWK VLPLODU HOHFWURPDJQHWLF UDGLDWLRQ IURP LWVHOI� 7KLV SURGXFW LV GHVLJQHG WR IXOO\ FRPSO\ ZLWK WKH (1����������� �,(&����������� LQ 0HGLFDO HOHFWULFDO HTXLSPHQW (0& UHJXODWLRQV� 3URSHU LQVWDOODWLRQ IROORZLQJ WKLV VHUYLFHPDQXDO LV UHTXLUHG LQ RUGHU WR DFKLHYH WKH IXOO (0& SHUIRUPDQFH RI WKH SURG� XFW� 7KH SURGXFW PXVW EH LQVWDOOHG DV VWLSXODWHG LQ �������� 1RWLFH XSRQ ,QVWDOODWLRQ RI 3URGXFW� ,Q FDVH RI LVVXHV UHODWHG WR (0&� SOHDVH IROORZ SURFHGXUHV VWDWHG LQ �������� &RXQWHUPHDVXUHV DJDLQVW (0&�UHODWHG ,VVXHV� ������� 1RWLFH XSRQ ,QVWDOODWLRQ RI 3URGXFW �� 8VH HLWKHU SRZHU VXSSO\ FRUGV SURYLGHG E\ *(06 RU RQHV DSSURYHG E\ *(06� 3URGXFWV HTXLSSHG ZLWK SRZHU VRXUFH SOXJ VKRXOG EH SOXJJHG LQWR WKH IL[HG SRZHU VRFNHW ZKLFK KDV WKH SURWHFWLYH JURXQGLQJ FRQGXFWRU� �� &RQQHFW D WKUHH�SLQ SOXJ WR D WKUHH�SLQ VRFNHW ZLWKRXW XVLQJ D WKUHH�SLQ�WR�WZR�SLQ FRQYHUWHU� �� .HHS WKH HTXLSPHQW DV IDU DV SRVVLEOH IURP RWKHU HOHFWURQLF HTXLSPHQW� �� %H VXUH WR XVH WKH RQO\ FDEOHV SURYLGHG E\ *(06 RU RQHV DSSURYHG E\:LSUR *(� ,QVWDOO WKH XQLW�SHULSKHUDOV DV SHU WKH LQVWDOODWLRQ SURFHGXUH SURYLGHG LQ &KDSWHU � ,167$//$7,21� �� 7KH OD\RXW RI WKH /2*,4Éa��� RWKHU SHULSKHUDOV VKRXOG EHDV SHU LQVWDOODWLRQ SURFHGXUHV GHVFULEHG LQ&KDSWHU ��� ,167$//$7,21� ������� *HQHUDO 1RWLFH �� ’HVLJQDWLRQ RI 3HULSKHUDO (TXLSPHQW &RQQHFWDEOH WR WKLV 3URGXFW� 7KH SHULSKHUDO ZKLFK FRQIRUPV WR (1����������� �,(&����������� FDQ EH FRQQHFWHG XS WR WKH /2*,4Éa��� ZLWKRXW FRPSURPLVLQJ LWV (0& SHUIRU� PDQFH� )DLOXUH WR FRPSO\ ZLWK WKH DERYH LQVWUXFWLRQ PD\ UHVXOW LQ SRRU (0& SHUIRUPDQFH RI WKH SURGXFW� �� 1RWLFH DJDLQVW 8VHU 0RGLILFDWLRQ ’RQRWPRGLI\ WKLV SURGXFW� 8QLODWHUDO XVHUPRGLILFDWLRQPD\ FDXVHGHJUDGDWLRQ LQ(0&SHUIRUPDQFH�0RGLILFDWLRQ RI WKH SURGXFW LQFOXGHV� D� &KDQJHV LQ FDEOHV �OHQJWK� PDWHULDO� ZLULQJ HWF�� E� &KDQJHVLQ V\VWHP LQVWDOODWLRQ�OD\RXW F� &KDQJHV LQ V\VWHP FRQILJXUDWLRQ�FRPSRQHQWV G� &KDQJHV LQ PHDQV RI IL[LQJ V\VWHP�SDUWV �FRYHU RSHQ�FORVH� FRYHU VFUHZLQJ� /2*,4Éa��� 6(59,&( 0$18$/*( 0(’,&$/ 6<67(06 ������� ����� 5(9 � �� 2SHUDWH WKH V\VWHPZLWK DOO FRYHUV FORVHG� ,I \RXRSHQDQ\ FRYHU IRU VRPH UHDVRQ� EH VXUH WR VKXW LW EHIRUHVWDUWLQJ� UHVXPLQJ RSHUDWLRQ� 2SHUDWLQJ WKH V\VWHP ZLWK DQ\ FRYHU RSHQ PD\ DIIHFW (0& SHUIRUPDQFH� ������� &RXQWHUPHDVXUHV DJDLQVW (0&�UHODWHG ,VVXHV *HQHUDOO\ LW LV YHU\ GLIILFXOW WR KDQGOHZLWK LVVXHV UHODWHG WR (0&� ,W LV WLPHFRQVXPLQJ DQGH[SHQVLYH� *HQHUDO FRXQWHU� PHDVXUHV IRU (OHFWURPDJQHWLF LQWHUIHUHQFH ZLWK RWKHU HTXLSPHQW �� (OHFWURPDJQHWLF LQWHUIHUHQFH PD\ EH UHGXFHG E\ SRVLWLRQLQJ RWKHU HTXLSPHQW IDU DZD\ IURP WKH V\VWHP� �� (OHFWURPDJQHWLF LQWHUIHUHQFHPD\ EH UHGXFHG E\ FKDQJLQJ WKH UHODWLYH ORFDWLRQ �LQVWDOODWLRQ DQJOH� RI WKH V\VWHP DQG RWKHU HTXLSPHQW� �� (OHFWURPDJQHWLF LQWHUIHUHQFHPD\ EH UHGXFHG E\ FKDQJLQJZLULQJ ORFDWLRQV RI SRZHU�VLJQDO FDEOHV RI RWKHU HTXLS� PHQW� �� (OHFWURPDJQHWLF LQIOXHQFH PD\ EH UHGXFHG E\ DOWHULQJ WKH SDWK RI SRZHU VXSSO\ IRU RWKHU HTXLSPHQW� ������� 1RWLFH RQ 6HUYLFH (QVXUH DOO VFUHZV DUH WLJKW DIWHU VHUYLFLQJ� /RRVH VFUHZV PD\ FDXVH GHJUDGDWLRQ LQ (0& SHUIRUPDQFH� &$87,21 ’R QRW XVH WKH IROORZLQJ GHYLFHV QHDU WKH /2*,4É a��� V\VWHP� ’HYLFHV ZKLFK LQWULQVLFDOO\ WUDQVPLW UDGLR ZDYHV VXFK DV FHOOXODU SKRQH� UDGLR WUDQVFHLYHU� PRELOH UDGLR WUDQVPLWWHU UDGLR��FRQWUROOHG WR\� HWF� 8VH RI WKHVH GHYLFHV FRXOG FDXVH WKH /2*,4Éa��� V\VWHP WR SHUIRUP RXWVLGH WKH SXEOLVKHG VSHFLILFDWLRQV� .HHS SRZHU WR WKHVH GHYLFHV WXUQHG 2)) ZKHQ QHDU WKH V\VWHP� 0HGLFDO VWDII LQ FKDUJH RI WKH /2*,4É a��� V\VWHP LV UHTXLUHG WR LQVWUXFW WHFKQLFLDQV� SDWLHQWV DQG RWKHU SHRSOH ZKR PD\ EH DURXQG WKH V\VWHP WR IXOO\ FRPSO\ ZLWK WKH DERYH UHJXODWLRQ� /2*,4Éa��� 6(59,&( 0$18$/*( 0(’,&$/ 6<67(06 ������� ����� 5(9 � ���� &217$&7 $’’5(66(6 7KLV V\VWHP LV QRW UHSDLUDEOH E\ WKH FXVWRPHU� ,I WKLV HTXLSPHQW GRHV QRW ZRUN DV LQGLFDWHG LQ WKH 2SHUDWRU•V 0DQXDO� SOHDVH FRQWDFW \RXU VHUYLFH VXSSRUW FHQWHU� ,I WKH VHUYLFH HQJLQHHU QHHGV DGGLWLRQDO LQIRUPDWLRQ WR UHSDLU WKLV HTXLS� PHQW� SOHDVH FRQWDFW DQ\ UHOHYDQW DGGUHVVHV JLYHQ EHORZ� $0(5,&$6 *( 0HGLFDO 6\VWHPV $PHULFD 8OWUDVRXQG %XVLQHVV *URXS ���� :� (OHFWULF $YH�� 0LOZDXNHH :, ����� 8�6�$ 2Q��/LQH &HQWHU �2/&� 7HO� ����������������� RU ��� �������������� )D[� ��� �������������� &$1$’$ 3KRQH � ��� �������������� /$7,1 6287+ $0(5,&$ 3KRQH � ��� �������������� (8523( *( 8OWUDVVFKDOO ’HXWVFKODQG *PE+ &R� .*� %HHWKRYHQVWUDEH ����3RVWIDFK �� �� ��� ’������� 6ROLQJHQ *(50$1< 7HO�� 2/&��(XURSH 7ROO )UHH 1XPEHUV RU 5DGLRORJ\ +RWOLQH ���� ����� ���� ��� &DUGLRORJ\ +RWOLQH ���� ����� ���� ��� )D[� ���� ����� ���� ��� $6,$ *( <RNRJDZD 0HGLFDO 6\VWHPV 2Q��/LQH &HQWHU �2/&�� $VLD 8OWUDVRXQG *URXS ����� 7DNDNXUD��FKR� +DFKLRML��VKL�7RN\R� ��������� -$3$1 7HO� ���� ������������� )D[ � ���� ������������� ,1’,$ :LSUR *( 0HGLFDO 6\VWHPV /WG� 8OWUDVRXQG 6HUYLFH (QJLQHHULQJ 1R� � .DGXJRGL 3ODQWDWLRQ ,QGXVWULDO $UHD 6DGDUDPDQJDOD %DQJDORUH �� ��� ��� 3KRQH � ���� ���� ����������������� )D[ � ���� ���� ������� *( 0(’,&$/ 6<67(06 ������� /2*,4Éa��� 6(59,&( 0$18$/ ���� 5(9 � ���� 35(��,167$//$7,21 ������� 2YHUYLHZ 7KLV VHFWLRQ GHVFULEHV YDULRXV JHQHUDO HOHFWULFDO� RSHUDWLRQDO DQG HQYLURQPHQWDO FRQVLGHUDWLRQV WKDW PXVW EH FRQVLG� HUHG EHIRUH LQVWDOOLQJ WKH /2*,4Éa��� 6\VWHP� $OO QHFHVVDU\ LPDJLQJ IXQFWLRQV DUH SHUIRUPHG E\ WKLV FRQVROH DQG LWV WUDQVGXFHUV� 7KH FRQVROH IURQW SDQHO FRQWDLQV RSHUDWRU FRQWUROV IRU RSWLPL]LQJ WKH LPDJH DQG D NH\ERDUG IRU HQWHULQJ GDWD RQWR WKH LPDJH� 6HOHFWHG NH\ /(’V LOOXPL� QDWH ZKHQ WKHLU UHVSHFWLYH NH\ LV SUHVVHG� 8QDFFHSWDEOH NH\ERDUG HQWULHV WULJJHU D EHHSHU DODUP� ,Q DGGLWLRQ� D JUDSKLFV FRQWUROOHU FHQWUDO SURFHVVLQJ XQLW DXWRPDWLFDOO\ VXSHULPSRVHV FHUWDLQPDFKLQHSDUDPHWHUV RYHU WKH HGJHV RI WKH LPDJH� &$87,21 ,W LV VWURQJO\ UHFRPPHQGHG WKDW WKH HTXLSPHQW VKRXOG EH LQVWDOOHG RQ DQ HYHQ KDUG VXUIDFH WR SURYLGH SURSHU FRROLQJ� DV WKH YHQWV IRU DLU FLUFXODWLRQ DUH RQ WKH ERWWRP FRYHU� ������� 3RZHU /LQH 5HTXLUHPHQWV 7KH IROORZLQJSRZHU OLQHSDUDPHWHUV VKRXOGEHPRQLWRUHGRQHZHHN EHIRUH LQVWDOODWLRQ�:H UHFRPPHQG WKDW D’UDQWH] 0RGHO ������ 3RZHU /LQH PRQLWRU ZLWK RSWLRQV ��� WR EH XVHG� 3$5$0(7(5 � /,0,76 9ROWDJH 5DQJH � 86$� -DSDQ � �������� 9DF ��� �������� 9DF� � (XURSH � �������� 9DF ��� ��������� 9DF� 3RZHU � 86$� -DSDQ � 0$;� ���9$ � (XURSH � 0$;� ��� 9$ /LQH )UHTXHQF\ � $OO DSSOLFDWLRQV � �����+] ��+]� 3RZHU 7UDQVLHQWV � /HVV WKDQ ���RI QRPLQDO SHDN YROWDJH IRU OHVV WKDQ �PLOOLVHFRQG IRU DQ\ W\SHRI WUDQVLHQW� LQFOXGLQJ OLQH IUHTXHQF\� V\QFKURQRXV� DV\QFKURQRXV� RU DSHULRGLF WUDQVLHQWV� ’HFD\LQJ 2VFLOODWLRQ � /HVV WKDQ �� � RI SHDN YROWDJH IRU OHVV WKDQ � PLOOLVHFRQG� /2*,4Éa��� 6(59,&( 0$18$/*( 0(’,&$/ 6<67(06 ������� ���� 5(9 � ������� 3K\VLFDO 6SHFLILFDWLRQV 7KH/2*,4Éa���6\VWHPZHLJKV DSSUR[LPDWHO\ ����.JV �ZLWKRXW SUREH�� 5HIHU 3DJH ����� IRU 6\VWHP’LPHQVLRQV� 2SHUDWLQJ &RQGLWLRQV 7KH XQLW LV GHVLJQHG WR RSHUDWH DW D WHPSHUDWXUH UDQJH RI ��E& �� ��E& ���E) �� ���E)� DQG DW D UHODWLYH KXPLGLW\ RI ��� WR ��� �QRQ FRQGHQVLQJ�� 3DWLHQW &RPIRUW ’HVSLWH SHUPLVVLEOH RSHUDWLQJ WHPSHUDWXUH DQG KXPLGLW\ WROHUDQFHV� ZH UHFRPPHQG WKDW DPELHQW URRP WHPSHUDWXUH EH PDLQWDLQHG EHWZHHQ �� WR �� GHJUHHV & ��� WR �� GHJUHHV )�� +XPLGLW\ VKRXOG EH PDLQWDLQHG EHWZHHQ ��� DQG ��� IRU SDWLHQW FRPIRUW GXULQJ XOWUDVRXQG VFDQQLQJ� (OHFWURPDJQHWLF ,QWHUIHUHQFH �(0,� 8OWUDVRXQGPDFKLQHV DUH VXVFHSWLEOH WR LQWHUIHUHQFH IURP WKH UDGLR IUHTXHQFLHV� PDJQHWLF ILHOGV DQG WUDQVLHQWV LQ WKH DLU RU SRZHU OHDGV� (OHFWULFDO DQG HOHFWURQLF HTXLSPHQW PD\ SURGXFH (0, DLU RU SRZHU OHDGV� 3RVVLEOH (0, VRXUFHV VKRXOG EH LGHQWLILHG� (OHFWULFDO DQG HOHFWURQLF HTXLSPHQW PD\ SURGXFH (0, XQLQWHQWLRQDOO\ DV WKH UHVXOW RI D PDOIXQF� WLRQ� 7KHVH VRXUFHV LQFOXGH PHGLFDO ODVHUV� FDXWHUL]LQJ JXQV� FRPSXWHUV� PRQLWRUV� IDQV� JHO ZDUPHUV� PLFURZDYH RYHQV DQG FHOOXODU SKRQHV� 7KH SUHVHQFH RI D EURDGFDVW VWDWLRQ RU YDQ PD\ DOVR FDXVH LQWHUIHUHQFH� &DUHIXOO\ UHDG WKH IROORZLQJ SUHFDXWLRQV EHIRUH LQVWDOOLQJ WKH XQLW� �� &RQQHFW WKH SRZHU SOXJ RI WKH HTXLSPHQW LQWR WKH IL[HG RXWOHW ZLWK JURXQG ZLUH� �� 6HFXUHO\ FRQQHFW DQ\ HTXLSPHQW ZLWK SHUPDQHQW JURXQGFRQQHFWLRQ WR WKHHDUWK JURXQG IXUQLVKHG LQ WKHEXLOGLQJ� �� ,QVWDOO WKH XQLW DV IDU DZD\ DV SRVVLEOH IURP DQ\ HOHFWULFDO RU HOHFWURQLF HTXLSPHQW� ,I DQ\ (0, WURXEOHV DUH NQRZQ RU VXVSHFWHG WR EH SUHVHQW� WU\ WR GHDO ZLWK WKH HTXLSPHQW VXVSHFWHG WR KDYH LQIOXHQFH RQ WKH 8OWUDVRXQG PDFKLQH DV IROORZV� �� 0RYH WKH XOWUDVRXQG PDFKLQH DV IDU IURP WKH HTXLSPHQW DV SRVVLEOH� �� &KDQJH WKH DUUDQJHPHQW RI WKH HTXLSPHQW LQ WKH URRP� �� 3OXJ WKH HTXLSPHQW LQWR DQRWKHU SRZHU RXWOHW� �� 0RYH WKH SRZHU FDEOH RU VLJQDO FDEOH FRQQHFWHG ZLWK WKH HTXLSPHQW� 5H��WLJKWHQ VFUHZV IRU WKH 8OWUDVRXQG PDFKLQH DIWHU UH��DVVHPEOLQJ IRU VHUYLFH RSHUDWLRQ� *( 0(’,&$/ 6<67(06 ������� /2*,4Éa��� 6(59,&( 0$18$/ ���� 5(9 � ���� ,167$//$7,21 ������� 2YHUYLHZ 7KLV VHFWLRQ FRQWDLQV SURFHGXUHV UHTXLUHG WR LQVWDOO WKH /2*,4Éa��� 6\VWHP� 7KH ·)XQFWLRQDO &KHFNVµ FKDSWHU FRQWDLQV FKHFNV UHTXLUHG WR FRPSOHWH WKH LQVWDOODWLRQ� 8VH WKH FKHFNOLVW LQ 7$%/( ���� WR FKHFN HDFK LQVWDOODWLRQ VWHS� ������� $YHUDJH ,QVWDOODWLRQ 7LPH 7KH /2*,4Éa��� KDV EHHQ GHVLJQHG WR EH LQVWDOOHG LQ DSSUR[LPDWHO\ RQH KRXU� &$87,21 ,W LV VWURQJO\ UHFRPPHQGHG WKDW WKH HTXLSPHQW VKRXOG EH LQVWDOOHG RQ DQ HYHQ DQG KDUG VXUIDFH WR SURYLGH SURSHU FRROLQJ� DV WKH YHQWV IRU DLU FLUFXODWLRQ DUH RQ WKH ERWWRP FRYHU� &KHFNOLVW )RU ,QVWDOODWLRQ 7$%/( ���� ,167$//$7,21 &+(&. /,67 3URFHGXUHV 3DUDJUDSK ,QLWLDOV 2EVHUYH :DUQLQJV 3DJH ���� 8QSDFN /2*,4Éa��� 6\VWHP ������� $VVHPEOH /2*,4Éa��� 6\VWHP ������� 3HUIRUP (OHFWULFDO 6DIHW\ 7HVWV 6HH &KDSWHU �3HUIRUP )XQFWLRQDO &KHFNV 6HH &KDSWHU � ������� &KHFNLQJ WKH FRPSRQHQWV :KHQ D QHZ V\VWHP DUULYHV FKHFN WKDW FRPSRQHQWV DUH QRW GDPDJHG DQG DUH QRW VKRUW VKLSSHG� ,I VKLSSLQJ RU VKRUW� DJH RFFXUV� FRQWDFW WKH DGGUHVVHV JLYHQ LQ &KDSWHU �� /2*,4Éa��� 6(59,&( 0$18$/*( 0(’,&$/ 6<67(06 ������� ���� 5(9 � :$51,1*� �� 7R SUHYHQW HOHFWULF VKRFN WKH /2*,4Éa��� VKRXOG EH FRQQHFWHG WR D SURSHUO\ JURXQGHG SRZHU VRFNHW� ’R QRW XVH D WKUHH SLQ WR WZR SLQ DGDSWHU� 7KLV GHIHDWV VDIHW\ JURXQGLQJ� �� 7KLV V\VWHP KDV QR RSHUDWRU VHUYLFHDEOH FRPSRQHQWV� 7R SUHYHQW VKRFN� GR QRW UHPRYH DQ\ FRYHUV RU SDQHOV� 6KRXOG SUREOHPV RU PDOIXQFWLRQV RFFXU� XQSOXJ WKH SRZHU FRUG� 2QO\ 6HUYLFH SHUVRQQHO VKRXOG FDUU\ RXW VHUYLF� LQJ DQG WURXEOH VKRRWLQJ� �� .HHS WKH YHQW RQ WKH UHDU SDQHO RSHQ� �� ’R QRW GDPDJH WKH UXEEHU OHQV RI WKH SUREH� ,I GDPDJHG� GR QRW XVH LW� �� 7KRXJK WKH XOWUDVRXQG HQHUJ\ ZKLFK LV WUDQVPLWWHG IURP WKH /2*,4Éa��� SUREH LV ZLWKLQ $,80�1(0$ VWDQ� GDUGV� XQQHFHVVDU\ H[SRVXUH WR XOWUDVRXQG HQHUJ\ VKRXOG EH DYRLGHG� *( 0(’,&$/ 6<67(06 ������� /2*,4Éa��� 6(59,&( 0$18$/ ���� 5(9 � ������� 8QSDFNLQJ /2*,4Éa ��� �� &XW WKH WZR VWUDSV ZUDSSHG DURXQG WKH ER[� 5HIHU ,//8675$7,21 ���� � �� 5HPRYH WKH DGKHVLYH WDSH� 5HIHU ,//8675$7,21 ���� � �� 2SHQ WKH FDUWRQ IODSV� 5HIHU ,//8675$7,21 ���� � �� 5HPRYH WKH 2SHUDWRU 0DQXDO� 6HUYLFH 0DQXDO� *HO %RWWOH� 3RZHU &RUG DQG RWKHU DFFHVVRULHV NHSW RQ HLWKHU VLGH RI WKH HTXLSPHQW� 5HIHU ,//8675$7,21 ���� � �� /LIW WKH V\VWHP �ZUDSSHG ZLWK VWUHWFK ILOP� RXW RI WKH ER[ DORQJ ZLWK WKH SDFNDJLQJ EXIIHUV� 5HIHU ,//8675$7,21 ���� � �� 6OLGH WKH SDFNDJLQJ EXIIHUV RXW WR IUHH WKH V\VWHP� �� 5HPRYH WKH VWUHWFK ILOP ZKLFK LV ZUDSSHG DURXQG WKH V\VWHP� 5HIHU ,//8675$7,21 ���� � 6WUDSV $GKHVLYH 7DSH 813$&.,1* /2*,4¹a��� ,//8675$7,21 ���� /2*,4Éa��� 6(59,&( 0$18$/*( 0(’,&$/ 6<67(06 ������� ���� 5(9 � ������� 8QSDFNLQJ /2*,4Éa ��� �&RQWLQXHG� 3DFNDJLQJ %XIIHUV 6WUHWFK )LOP3DFNDJLQJ %XIIHUV &DUWRQ )ODSV 813$&.,1* /2*,4¹a��� ,//8675$7,21 ���� 1RWH 7KH 6HUYLFH 0DQXDO� 2SHUDWRU 0DQXDO� *HO %RWWOH DQG 3RZHU &RUG DUH ZUDSSHG LQ EXEEOH VKHHW DQG DUH NHSW DOORQJ WKH VLGHV RI WKH FRUURJDWHG FDUWRQ ER[� 5HIHU ,OOXVWUDWLRQ EHORZ IRU GHWDLOV 2SHUDWRU 0DQXDO 6HUYLFH 0DQXDO *HO %RWWOH 3RZHU &RUG 813$&.,1* /2*,4¹a��� ,//8675$7,21 ���� *( 0(’,&$/ 6<67(06 ������� /2*,4Éa��� 6(59,&( 0$18$/ ���� 5(9 � ������� $VVHPEOLQJ 7KH /2*,4Éa ��� 6\VWHP &$87,21 ,W LV VWURQJO\ UHFRPPHQGHG WKDW WKH HTXLSPHQW VKRXOG EH LQVWDOOHG RQ DQ HYHQ DQG KDUG VXUIDFH WR SURYLGH SURSHU FRROLQJ� DV WKH YHQWV IRU DLU FLUFXODWLRQ DUH RQ WKH ERWWRP FRYHU� ,QVWDOODWLRQ RI WKH 6\VWHP �� /RFDWH� UHPRYH DQG XQSDFN WKH SUREHV ORFDWHG LQ WKH VHSDUDWH FRQWDLQHU� �� 0DNH VXUH WKDW V\VWHP SRZHU LV 2)) EHIRUH FRQQHFWLQJ RU GLVFRQQHFWLQJ WKH SUREH� �� 6HFXUH WKH SUREH WR WKH UHFHSWDFOH DV IROORZV � D� (QVXUH SUREH ¶WZLVW ORFN• OHYHU SRLQWV WRZDUGV WKH �� R•FORFN SRVLWLRQ E� ,QVWDOO SUREH FRQQHFWRU RQ WKH UHFHSWDFOH JXLGH SLQ XQWLO LW WRXFKHV WKH UHFHSWDFOH PDWLQJ VXUIDFH� F� 7ZLVW WKH SUREH FRQQHFWRU ¶WZLVW ORFN• OHYHU WR WKH � R•FORFN SRVLWLRQ WR ORFN LW LQ SODFH �7ZLVW WKH OHYHU WR WKH �� R•FORFN SRVLWLRQ WR GLVFRQQHFW WKH SUREH�� �� &RQQHFW WKH /2*,4Éa ��� 3RZHU FDEOH•V IHPDOH SDUW WR WKH SRZHU FRQQHFWRU ORFDWHG RQ WKH UHDU SDQHO DQG WKH PDOH SDUW WR D KRVSLWDO JUDGH SRZHU VRFNHW RI D SURSHU YROWDJH� 1HYHU XVH D WKUHH��WR��WZR SLQ DGDSWHU� WKLV GHIHDWV WKH SXUSRVH RI VDIHW\ JURXQG� �� 8QORFN WKH NH\ERDUG E\ SUHVVLQJ WKH ORFN UHOHDVH RQ WRS RI WKH V\VWHP� &$87,21 ’R QRW PRYH RU OLIW WKH XQLW� KROGLQJ WKH NH\ERDUG DORQH� /2*,4Éa��� 6(59,&( 0$18$/*( 0(’,&$/ 6<67(06 ������� ����� 5(9 � ������� $VVHPEOLQJ 7KH /2*,4Éa ��� 6\VWHP �&RQWLQXHG� 7UDQVGXFHU 3RZHU &RUG 5HDU 3DQHO IRU 9� 5HDU 3DQHO IRU 9� 3DUDOOHO 3RUW $66(0%/,1* /2*,4É a��� 6<67(0 ,//8675$7,21 ���� *( 0(’,&$/ 6<67(06 ������� /2*,4Éa��� 6(59,&( 0$18$/ ����� 5(9 � ������� ,QVWDOODWLRQ RI /2*,4 Éa��� WR 3& ,PDJH 7UDQVIHU 6RIWZDUH �7KLV LV DQ 2SWLRQ IRU $PHULFDV� 7KH LPDJH WUDQVIHU VRIWZDUH FDQ EH XVHG WR GRZQORDG LPDJHV IURP WKH /$��� WR WKH 3& YLD WKH SDUDOOHO SRUW FDEOH SURYLGHG DV D VWDQGDUG DFFHVVRU\� ,W FDQ DOVR EH XVHG WR UHWULHYH YLHZ LPDJHV DOUHDG\ VWRUHG LQ WKH 3&� 1RWH� )RU PRUH GHWDLOV RQ WKH DSSOLFDWLRQ RI WKH ,PDJH 7UDQVIHU 6RIWZDUH� SOHDVH UHIHU WR WKH 2SHUDWRU PDQXDO� 3UH��UHTXLVLWHV +DUGZDUH 6RIWZDUH UHTXLUHPHQWV +DUGZDUH� �� $Q\ 3& PHHWLQJ WKH ,(& ��� VWDQGUDG ZLWK D PLQLPXP RI ��0% 5$0 �� /$��� 9HUVLRQ� �/$��� 03� �� ,PDJH 7UDQVIHU &DEOH ���������� � IRU $PHULFDV XVH ,VRODWHG ,PDJH 7UDQVIHU FDEOH�� 6RIWZDUH� �� :LQGRZV �� 2SHUDWLQJ 6\VWHP 06 3DLQW ,QVWDOOHG �� � )ORSS\ ’LVNV ��������� 6XSSOLHG E\ *( 0HGLFDO 6\VWHPV 3& 6HWWLQJV� 7KH SDUDOOHO SRUW RI WKH 3& VKRXOG EH FRQILJXUHG LQ WKH (33�(&3�%L GLUHFWLRQDO PRGH� 7KLV DFHQ EH GRQH E\ HQWHULQJ LQWR WKH &026 VHWWLQJ RI WKH 3&� ,I UHTXLUHG� IRU PRUH GHWDLOV FRQWDFW \RXU ORFDO 3& VXSSOLHU� /2*,4Éa��� 6(59,&( 0$18$/*( 0(’,&$/ 6<67(06 ������� ����� 5(9 � ,QVWDOODWLRQ 6RIWZDUH ,QVWDOODWLRQ �� %HIRUH VWDUWLQJ WR LQVWDOO WKH ,PDJH 7UDQVIHU VRIWZDUH� FORVH DOO DSSOLFDWLRQV� �� ,QVHUW ’LVN� DQG FOLFN 6WDUW DQG WKHQ FOLFN 5XQ DV VKRZQ EHORZ� �� 1RZ W\SH $�?6HWXS�H[H DV VKRZQ EHORZ DQG FOLFN 2.� *( 0(’,&$/ 6<67(06 ������� /2*,4Éa��� 6(59,&( 0$18$/ ����� 5(9 � �� 6HW��XS ZLOO FRS\ WKH ILOHV IURP ’LVN� WR WKH 3&� $IWHU FRPSOHWLRQ� LW ZLOO DVN IRU ’LVN� DV VKRZQ EHORZ� 5HPRYH ’LVN� DQG LQVHUW ’LVN� DQG FOLFN 2.� 1RZ ’LVN� ILOHV ZLOO EH WUDQVIHUUHG WR WKH 3&� �� &OLFN 2. LI RWKHU DSSOLFDWLRQV DUH FORVHG HOVH FOLFN ([LW 6HW��XS� FORVH DOO SURJUDPV DQG JR WKURXJK VWHSV � WR � DJDLQ� ,PJBW[ 6HWXS /2*,4Éa��� 6(59,&( 0$18$/*( 0(’,&$/ 6<67(06 ������� ����� 5(9 � �� 1H[W \RX ZLOO JHW WKH VWDUW RI LQVWDOODWLRQ VFUHHQ DV VKRZQ EHORZ� &OLFN WKH LQVWDOODWLRQ ,FRQ WR VWDUW WKH LQVWDOODWLRQ 1RWH� 7KH ,PDJH 7UDQVIHU ILOHV DUH LQVWDOOHG XQGHU &�?3UDJUDP )LOHV?,PJBW[?� ,Q FDVH WKH ,PDJH 7UDQVIHU ILOHV DUH WR EH LQVWDOOHG HOVHZKHUH WKHQ FOLFN &KDQJH ’LUHFWRU\ DQG VSHFLI\ WKH SDWK� ,PJBW[ 6HWXS *( 0(’,&$/ 6<67(06 ������� /2*,4Éa��� 6(59,&( 0$18$/ ����� 5(9 � �� 1H[W \RX ZLOO JHW WKH IROORZLQJ VFUHHQ LQGLFDWLQJ WKH FRPSOHWLRQ RI WKH LQVWDOODWLRQ� &OLFN 2. WR FRPH RXW RI WKH LQVWDOODWLRQ VHW��XS� ,PJBW[ 6HWXS �� &OLFN RQ WKH ,PJBW[ ,FRQ� <RX PD\ JHW WKH IROORZLQJ PHVVDJH ZKLOH GRLQJ IRU WKH ILUVW WLPH� &OLFN 2.� /2*,4Éa��� 6(59,&( 0$18$/*( 0(’,&$/ 6<67(06 ������� ����� 5(9 � �� 7KH VRIWZDUH LV IXOO\ LQVWDOOHG DQG UHDG\ WR XVH ZKHQ \RX JHW WKH IROORZLQJ VFUHHQ ([SORUH +DUGZDUH ,QVWDOODWLRQ &RQQHFW WKH /$���03 WR WKH 3& WKURXJK WKH ,PDJH 7UDQVIHU &DEOH �� ������� SURYLGHG �IRU $PHULFDV XVH ,VRODWHG ,PDJH WUDQVIHU FDEOH�� 7KLV FRPSOHWHV WKH WRWDO LQVWDOODWLRQ RI WKH ,PDJH 7UDQVIHU VRIWZDUH� 1RWH� 7R WUDQVIHU LPDJHV� SOHDVH UHIHU WR WKH 2SHUDWRU PDQXDO� *( 0(’,&$/ 6<67(06 ������� /2*,4Éa��� 6(59,&( 0$18$/ ����� 5(9 � ������� ,QVWDOODWLRQ RI 2SWLRQDO $FFHVVRULHV �� 8QSDFN WKH IRRW VZLWFK DQG FRQQHFW LW WR WKH FRQQHFWRU RQ WKH UHDU SDQHO� �5HIHU ,//8675$7,21 ���� � �� &RQQHFW WKH9&5 WRDVXLWDEOH SRZHU RXWOHW� 8VLQJ WKH%1& WR%1&FDEOH FRQQHFW WKH9LGHR2XW RQ WKH UHDUSDQHO RI /2*,4Éa��� WR WKH 9LGHR ,1 RI WKH 9&5� �� &RQQHFW WKH 9LGHR *UDSKLF 3ULQWHU �9*3� WR D VXLWDEOH SRZHU RXWOHW� 8VLQJ WKH %1& WR %1& FDEOH FRQQHFW WKH 9LGHR 2XW RQ WKH UHDU SDQHO RI /2*,4Éa��� WR WKH 9LGHR ,1 RI WKH 9*3� 1RWH 7KH /2*,4Éa��� KDV RQO\ RQH9LGHR 2XW FRQQHFWLRQ 7KHUHIRUH HLWKHU D 9*3 RU D 9&5RQO\ FDQ EH FRQQHFWHG DW D WLPH � ��������9 ��������$0D[ ��������9 ���$ PD[ IRU -DSDQ 2QO\� ��������9 ���$ �����$ IRU UHVW� � � 5HDU 3DQHO )RU 9� EHORZ 5HDU 3DQHO)RU 9� � ��������9 ��������$0D[ 3DUDOOHO 3RUW ��������9 ���$ PD[ IRU -DSDQ 2QO\� ��������9 ���$ �����$ IRU UHVW� ,167$//$7,21 2) $&&(6625,(6 ,//8675$7,21 ���� /2*,4Éa��� 6(59,&( 0$18$/*( 0(’,&$/ 6<67(06 ������� ����� 5(9 � ������� ,QVWDOODWLRQ RI 7ZR 3UREH 3RUW � /2*,4 a 200 3UREH $GDSWHU �2SWLRQDO� �� 5HPRYH WKH DGKHVLYH WDSH WR RSHQ WKH IODSV RI WZR SUREH SRUW RU /2*,4 a ��� 3UREH $GDSWHU ER[ �� 5HPRYH WKH 38 )RDPV LQVLGH WKH WZR SUREH SRUW RU /2*,4 a ��� 3UREH $GDSWHU ER[ �UHIHU ,OOXVWUDWLRQ ����� �� 7DNH RXW WKH WZR SUREH SRUW RU /2*,4 a ��� 3UREH $GDSWHU �UHIHU ,OOXVWUDWLRQ ����� 38 )RDP %R[ 7ZR 3UREH SRUW RU /2*,4 a ��� 3UREH $GDSWHU 8QSDFNLQJ 7ZR 3UREH 3RUW RU /2*,4 a ��� 3UREH $GDSWH ,//8675$7,21 ���� *( 0(’,&$/ 6<67(06 ������� /2*,4Éa��� 6(59,&( 0$18$/ ����� 5(9 � ������� ,QVWDOODWLRQ RI 7ZR 3UREH 3RUW RU /2*,4 a ��� 3UREH $GDSWHU �2SWLRQDO� �&RQWLQXHG� 1RWH 7KH WZR SUREH SRUW RU /2*,4 a ��� 3UREH $GDSWHU FDQ EH FRQQHFWHG WR RU GLVFRQQHFWHG IURP WKH V\VWHP DW DQ\ WLPH UHJDUGOHVV RI ZKHWKHU WKH V\VWHP LV SRZHUHG 21 RU 2))� �� (QVXUH WKDW QR SUREH LV FRQQHFWHG WR WKH V\VWHP� ,I FRQQHFWHG UHPRYH LW ILUVW� 3UREH +ROGHU 7ZR 3UREH SRUW 7ZR 3UREH 3RUW /RFN �� R•FORFN 7ZR 3UREH 3RUW /RFN � R•FORFN 7ZR 3UREH 3RUW RU /2*,4 a ��� 3UREH $GDSWHU ORFN +ROH RQ WKH XSSHU IODQJH �8Q /RFNHG 3RVLWLRQ� �/RFNHG 3RVLWLRQ� /2*,4 a ��� 3UREH $GDSWHU ,QVWDOOLQJ 7ZR 3UREH 3RUW ,//8675$7,21 ���� �� 5HPRYH WKH SUREH KROGHU E\ OLIWLQJ LW YHUWLFDOO\ XS �� 0DNH VXUH WKDW WKH WZR SUREH SRUW RU /2*,4 a ��� 3UREH $GDSWHU ORFN SRLQWV WR WKH �� R•FORFN SRVLWLRQ� �� $OLJQ WKH 7ZR 3UREH 3RUW RU /2*,4 a ��� 3UREH $GDSWHU &RQQHFWRU ZLWK WKH 6\VWHP 3UREH 3RUW DQG FDUHIXOO\ SXVK LW LQ� �� $OLJQ WKH VORWV RQ WKH XSSHU IODQJH WR LWV FRXQWHUSDUWV RQ WKH WRS FRYHU RI WKH V\VWHP� �� 7XUQ WKH 7ZR 3UREH 3RUW RU /2*,4 a ��� /RFN WR WKH � R•FORFN SRVLWLRQ WR VHFXUH WKH 7ZR 3UREH 3RUW RU /2*,4 a ��� 3UREH $GDSWHU WR WKH V\VWHP� ��� &DUHIXOO\ UHSODFH WKH SUREH KROGHU WR LWV SODFH DQG SUHVV ILUPO\ WLOO WKH SURMHFWLRQV DW WKH ERWWRP ILW LQWR WKH VORWV LQ WKH XSSHU IODQJH DQG WKH V\VWHP� /2*,4 a��� 3UREH $GDSWHU LV RQO\ IRU /2*,4 Éa��� 03 �9� DERYH�� /2*,4Éa��� 6(59,&( 0$18$/*( 0(’,&$/ 6<67(06 ������� ����� 5(9 � ������� ,QVWDOODWLRQ RI /2*,4Éa��� ZLWK *OREDO 7UROOH\ RU 0RGXODU 7UROOH\ 1RWH /2*,4Éa��� KDV WZR W\SHV RI 7UROOH\V� WKH *OREDO 7UROOH\ DQG WKH0RGXODU 7UROOH\� 7KH *OREDO 7UROOH\ FRPHV LQ WKH DVVHPEOHG IRUP DQG WKH 0RGXODU 7UROOH\ FRPHV LQ D PRGXODU IRUP ZKLFK QHHGV DVVHPEO\ DW ILHOG� �� 8QSDFN WKH JOREDO WUROOH\ SDFNHG LQ DZRRGHQ ER[ E\ RSHQLQJ WKH WRS FRYHU� UHIHU ,OOXVWUDWLRQ ���� �WUROOH\ ZKLFK LV LQVLGH WKH ER[ LV VHHQ LQ WKH GLDJUDP�� *OREDO 7UROOH\ 8QSDFN ,//8675$7,21 ���� *( 0(’,&$/ 6<67(06 ������� /2*,4Éa��� 6(59,&( 0$18$/ ����� 5(9 � �������� ,QVWDOODWLRQ RI /2*,4Éa��� ZLWK *OREDO 7UROOH\ RU 0RGXOODU 7UROOH\ �FRQWLQXHG� �� 8QSDFN WKH 0RGXODU 7UROOH\ SDFNHG LQ D ER[ E\ RSHQLQJ WKH WRS FRYHU� UHIHU ,OOXVWUDWLRQ ���� 67(3 � 67(3 � 67(3 � 67(3 � 67(3 � 67(3 � 5HPRYH WKH WRS IURP WKH ER[� XQZUDS WKH WRS DQG UHPRYH WKH 38 )RDP 5HPRYH WKH EDVH IURP WKH ER[� 8QZUDS WKH EDVH DQG UHPRYH WKH 38 IRDP RQ WKH FDVWRUV DQG WKH ERWWRP 5HPRYH WKH SRXFK FRQWDLQLQJ 3ULQWHU WUD\� *HO %RWWOH +ROGHU� 5HPRYH LW IURP WKH 3RXFK DQG XQZUDS WKH VWUHWFK ILOP RQ WKHP 5HPRYH WKH IUDPH IURP WKH ER[ DQG XQZUDS WKH VWUHWFK ILOP IURP WKH IUDPH� 5HPRYH WKH ELJ WKHUPRFRDO IURP WKH JDS DW WKH 5+ VLGH RI WKH ER[� 5HPRYH WKH VPDOO WKHUPRFRDO IURP WKH JDS DW WKH UHDU VLGH RI WKH ER[ 0RGXODU 7UROOH\ 8QSDFN ,//8675$7,21 ���� /2*,4Éa��� 6(59,&( 0$18$/*( 0(’,&$/ 6<67(06 ������� ����� 5(9 � �������� ,QVWDOODWLRQ RI /2*,4Éa��� ZLWK *OREDO 7UROOH\ RU 0RGXOODU 7UROOH\ �FRQWLQXHG� 0RGXOODU 7UROOH\ $VVHPEO\ ,//8675$7,21 ����� *( 0(’,&$/ 6<67(06 ������� /2*,4Éa��� 6(59,&( 0$18$/ ����� 5(9 � �������� ,QVWDOODWLRQ RI /2*,4Éa��� ZLWK *OREDO 7UROOH\ RU 0RGXOODU 7UROOH\ �FRQWLQXHG� �� 5HPRYH WZR 0�;�� VFUHZV IURP WKH EDVH RI /2*,4Éa��� DQG IL[ ORFN SODWH� 5HIHU ,//8675$7,21 ����� �� 3ODFH WKH XQLW ZLWK ORFN SODWH IL[HG RQ 7UROOH\� HQVXUH WKDW ORFN SODWH JHWV LQWR WKH SURMHFWLRQ RQ WKH WUROOH\� 5HIHU ,//8675$7,21 ����� /RFN 3ODWH ’HWDLO ; /RFN 3ODWH &RQVROH ’HWDLO ; 7UROOH\ $GGLWLRQDO ’HWDLOV ,QVWDOODWLRQ RI 7UROOH\ ,//8675$7,21 ����� /2*,4Éa��� 6(59,&( 0$18$/*( 0(’,&$/ 6<67(06 ������� ����� 5(9 � �������� ,QVWDOODWLRQ RI /2*,4Éa��� ZLWK *OREDO 7UROOH\ RU 0RGXOODU 7UROOH\ �FRQWLQXHG� �� 7DNH WKH EHOW �SURYLGHG LQ WKH NLW� RYHU WKH XQLW DQG ORFN LW� 5HIHU ,//8675$7,21 ����� �� 5HOHDVH WKH .H\ERDUG E\ SUHVVLQJ WKH ORFN UHOHDVH DQGPDNH LW UHVW RQ WKH KDQGOH� 5HIHU ,//8675$7,21 ����� �� ,QVHUW WKH 9*3 LQVLGH WKH 3ULQWHU 7UD\ DQG IL[ IURP WKH ERWWRP XVLQJ0�;�� VFUHZ� 5HIHU ,//8675$7,21 ����� 3URMHFWLRQ %HOW ZLWK /RFN +DQGOH 9*3 9*3 7UD\ ��������� (QVXUH WKDW ���������� LV XVHG WR WDNH FDUH RI ILWPHQW SUREOHP RI 9*3•V � 5HIHU 69 1RWH� 61 /$�������� $OO WKH 1HZ 7UROOH\V HIIHFWLYH 6HSWHPEHU•� ���� LV VXSSOLHG ZLWK PRGLILHG )58 ������������ ,QVWDOOWLRQ RI 7UROOH\ ,//8675$7,21 ����� *( 0(’,&$/ 6<67(06 ������� /2*,4Éa��� 6(59,&( 0$18$/ ����� 5(9 � �������� ,QVWDOODWLRQ RI /2*,4Éa��� ZLWK *OREDO 7UROOH\ RU 0RGXOODU 7UROOH\ �FRQWLQXHG� ,QVWDOODWLRQ RI 7UROOH\ ,//8675$7,21 ����� /2*,4Éa��� 6(59,&( 0$18$/*( 0(’,&$/ 6<67(06 ������� ����� 5(9 � �������� $GMXVWPHQW RI 0RQLWRU &RQWUDVW $QG %ULJKWQHVV 7XUQ21 WKH0DFKLQH DQG WKHQ DGMXVW WKH PRQLWRU FRQWUDVW DQG EULJKWQHVV� 0RQLWRU FRQWUDVW DQG EULJKWQHVV VKRXOG EH DGMXVWHG DFFRUGLQJ WR WKH OLJKWLQJ LQ WKH URRP� �������� $GMXVWPHQW RI 6\VWHP &ORFN�’DWH� +RVSLWDO 1DPH $QG 2% 9HUVLRQ 3UHVV &75/��6��� (17(5� DQ ¶,QVWDOODWLRQ 6HWXS ZLQGRZ DSSHDUV•� 6HW WKH V\VWHP &ORFN�’DWH� +RVSLWDO 1DPH DQG 2%9HUVLRQ� 7KHVH VHWWLQJV FDQ EHPRGLILHG E\ XVLQJ WKH&21752/��6��� NH\ LI UHTXLUHG� 5HIHU 6HFWLRQ &RQWURO .H\V RI WKH 8VHU 0DQXDO IRU PRUH GHWDLOV� &$87,21 )XQFWLRQDO FKHFNV LQ &KDSWHU �� WR EH FDUULHG RXW EHIRUH KDQGLQJ RYHU WKH V\VWHP WR WKH FXVWRPHU� �������� 3URGXFW /RFDWRU &DUG )LOO RXW SURSHU FXVWRPHU LQIRUPDWLRQ RQ WKH 3URGXFW /RFDWRU ,QVWDOODWLRQ &DUG� 5HIHU WR ,OOXVWUDWLRQ EHORZ� 0DLO WKLV ,QVWDOODWLRQ &DUG ·3URGXFW /RFDWRUµ WR WKH DGGUHVV FRUUHVSRQGLQJ WR \RXU SROH� 1RWH 7KH 3URGXFW /RFDWRU ,QVWDOODWLRQ &DUG VKRZQ LQ ,//8675$7,21 ����� PD\ QRW EH VDPH DV WKH 3URGXFW /RFDWRU FDUG DFWXDOO\ SURYLGHG� 0DLOLQJ $GGUHVV *( 0HGLFDO 6\VWHPV 3URGXFW /RFDWRU )LOH 3�2� %R[ ��� 0LOZDXNHH� :, ����������� '(6&5,37,21 )'$ 02'(/ 5(9 6(5,$/ 12� 35(3$5( )25 25'(56 7+$7 '2 127 +$9( $ /2&$725 ,167$//$7,21 5(3257 6<67(0 ,’ 180%(5 ,167$//$7,21 2&3 %6 25' '$7( �02��'$��<5� ',6���&28175< 5220 (03/2<(( 12� &86720(5 12� '(67,1$7,21 1$0( $1' $''5(66 =,3 &2'( , 1 6 7 $ / / $ 7 , 2 1 3 5 , 1 7 ( ' , 1 8 6 $ 352'8&7 /2&$725 ,167$//$7,21 &$5' ,//8675$7,21 ����� /2*,4Éa��� 6(59,&( 0$18$/*( 0(’,&$/ 6<67(06 ������� ���� 5(9 � ���� 29(59,(: 7KLV FKDSWHU GHVFULEHV V\VWHP FRQILJXUDWLRQ DQG VSHFLILFDWLRQV� ���� ’,0(16,216 ������� )URQW 9LHZ < < @ @ 8 8 C C :(,*+7 � ���� NJV ���� OEV 127( /(1*7+� PP�LQFKHV� $%(55$7,21�Æ�� � � � � � � � � � � � � � � � � � ��� ������ ����� ������ )5217 9,(: ,//8675$7,21 ���� /2*,4Éa��� 6(59,&( 0$18$/*( 0(’,&$/ 6<67(06 ������� ���� 5(9 � ������� 6LGH YLHZ �.H\ERDUG FORVHG� < < @ @ ����� ������ ��� ������ 6,'( 9,(: �.(<%2$5' &/26('� ,//8675$7,21 ���� /2*,4Éa��� 6(59,&( 0$18$/*( 0(’,&$/ 6<67(06 ����������� 5(9 � ������� 6LGH YLHZ �NH\ERDUG RSHQ� @ C 8 < ��� ������ � � � � � � � � � 6,'( 9,(: �.(<%2$5' 23(1� ,//8675$7,21 ���� /2*,4Éa��� 6(59,&( 0$18$/*( 0(’,&$/ 6<67(06 ������� ���� 5(9 � ���� (/(&75,&$/ 63(&,),&$7,216 (OHFWULFDO ZLULQJ� MXQFWLRQ ER[HV� RXWOHWV� FLUFXLW EUHDNHUV DQG VZLWFKHV VKRXOG EH LQ SODFH EHIRUH LQVWDOOLQJ WKH /2*,4Éa��� FRQVROH� ������� 3RZHU 6XSSO\ 5HIHU 3DJH ���� RI ,QVWDOODWLRQ IRU 3RZHU /LQH UHTXLUHPHQWV RI YDULRXV FRXQWULHV� ������� )DFLOLW\ 3RZHU 6RFNHW $ VHSDUDWH SRZHU RXWOHW ZLWK D � DPSFLUFXLW EUHDNHU IRU �������9$& LV UHFRPPHQGHG� 7KHVSHFLILF SRZHU UHFHSWDFOH XVHG GHSHQGV RQ WKH FRXQWU\•V SRZHU OLQH VWDQGDUGV� 7KLV UHFHSWDFOH VKRXOG KDYH ,QWHUQDWLRQDO (OHFWURWHFKQLFDO &RPPLVVLRQ �,(&� DSSURYDO� RU HTXLYDOHQW� ���� 6725$*( $1’ 23(5$7,21 5(48,5(0(176 7KH /2*,4Éa��� LV VKLSSHG LQ D VLQJOH FRQWDLQHU H[FOXGLQJ SUREHV� 6KLSSLQJ ZHLJKW LV DSSUR[LPDWHO\ �� NJV� 7$%/( ���� SURYLGHV D VXPPDU\ RI WHPSHUDWXUH� DWPRVSKHULF SUHVVXUH� DQG KXPLGLW\ WROHUDQFHV IRU VKLSSLQJ� LQVWDO� ODWLRQ DQG RSHUDWLRQ� 7$%/( ���� 6725$*( $1' 23(5$7,21 5(48,5(0(176 3DUDPHWHU 6WRUDJH 2SHUDWLRQ 7HPSHUDWXUH �’HJ�&� �’HJ�)� ���� WR �� �� WR ��� ������ �� WR ��� $WPRVSKHULF 3UHVVXUH �K3D� ��� WR ���� ��� WR ���� +XPLGLW\ ��� 1RQ��FRQGHQVLQJ �� WR �� �� WR �� /2*,4Éa��� 6(59,&( 0$18$/*( 0(’,&$/ 6<67(06 ������� ���� 5(9 � ���� 237,21$/ 3(5,3+(5$/6 /2*,4Éa��� SHULSKHUDOV DQG DFFHVVRULHV FDQ EH SURSHUO\ FRQQHFWHG XVLQJ WKH FRQQHFWRUV RQ WKH UHDU SDQHO RI WKH /2*,4Éa��� V\VWHP� /RFDWHG RQ WKH SDQHO DUH YLGHR LQSXW RXWSXW FRQQHFWRUV� IRRWVZLWFK FRQQHFWRU� VKXWWHU FRQQHFWRU� SRZHU FRQQHFWRU FRQWURO FRQQHFWLRQV IRU 9LGHR *UDSKLF 3ULQWHU DQG 0,&� 7KLV VHFWLRQ LQGLFDWHV SLQ DVVLJQPHQW IRU HDFK FRQQHFWRU� � 5HDU 3DQHO )RU 9� 5HDU 3DQHO )RU 9� � ��������9 ��������$0D[ 3DUDOOHO 3RUW � ��������9 ���$�����$0D[ ��������9 ���$ PD[ IRU -DSDQ 2QO\� ��������9 ���$ �����$ IRU UHVW� 237,21$/ 3(5,3+(5$/6 ,//8675$7,21 ���� 3LQ $VVLJQPHQW IRU /LQH 3ULQWHU FDEOH �)RU DOO V\VWHPV RI 9HUVLRQ ��� DQG EHORZ� &RQQHFWRU� 0DOH� ’��7\SH� � 3LQ RQ WKH UHDU SDQHO 1RWH 7KH � WR �� SLQ FDEOHZLWK ’ W\SH FRQQHFWRUV WR EH XVHG IRU SULQWHU LQWHUIDFH VKDOO EH DV VKRZQ EHORZ� 7$%/( ���� ����� 3LQ &RQYHUWHU &DEOH � 3LQ &RQQHFWRU �� 3LQ &RQQHFWRU 3LQ� �� ’&’ 3LQ � �� 576 3LQ � �� 7;’ 3LQ � �� 5;’ 3LQ � �� 5;’ 3LQ � �� 7;’ 3LQ � �� ’75 3LQ � �� &76 3LQ � �� *1’ 3LQ � �� *1’ 3LQ � �� ’65 3LQ �� �� ’75 3LQ � �� 576 3LQ � �� &’ 3LQ � �� &76 3LQ �� �� ’75 3LQ � �� 1& 3LQ �� �� 5, �2SWLRQDO� ’ 7\SH &RQQHFWRU � � � � /2*,4Éa��� 6(59,&( 0$18$/*( 0(’,&$/ 6<67(06 ������� ���� 5(9 � 3LQ $VVLJQPHQW IRU 3DUDOOHO 3RUW &RQQHFWRU �2QO\ IRU 9� DERYH�� &RQQHFWRU� )HPDOH� ’��7\SH� �� 3LQ RQ WKH UHDU SDQHO 3DUDOOHO 3RUW � ���� �� 7$%/( ���� �� SLQ FRQQHFWRU GHWDLOV 3LQ 1XPEHU 6LJQDO 3LQ� 6752%(?:5,7( 3LQ � ’$7$ � 3LQ � ’$7$ � 3LQ � ’$7$ � 3LQ � ’$7$ � 3LQ � ’$7$ � 3LQ � ’$7$ � 3LQ � ’$7$ � 3LQ � ’$7$ � 3LQ �� $&.1/* 3LQ �� %XV\ 3LQ �� 3( 3LQ �� 6/&7 3LQ �� 1RW &RQQHFWHG 3LQ �� (5525 3LQ �� ,1,7 3LQ �� 6(/(&7��,1 3LQ �� *1’ 3LQ �� *1’ 3LQ �� *1’ 3LQ �� *1’ 3LQ �� *1’ 3LQ �� *1’ 3LQ �� *1’ 3LQ �� *1’ /2*,4Éa��� 6(59,&( 0$18$/*( 0(’,&$/ 6<67(06 ������� ���� 5(9 � ������� )RRWVZLWFK &RQQHFWLRQ 7KH IRRWVZLWFK ZKLFK LV WKH UHPRWH )5((=( GHYLFH LV FRQQHFWHG WR WKH UHDU SDQHO RI WKH V\VWHP� 7KLV 2SWLRQDO )5((=( VZLWFK LV SURYLGHG WR HQKDQFH IOH[LELOLW\ WR IUHH]H LPDJHV ZKHQ WKH V\VWHP LV QRW ZLWKLQ UHDFK RI WKH XVHU� 3LQ $VVLJQPHQW RI &RQQHFWRU IRU )RRWVZLWFK &RQQHFWRU� 5RXQG ���SLQ FRQQHFWRU 3LQ 1R� 6LJQDO � )2276:,7&+ � � *1’ � *1’ � *1’ � *1’ ������� 9LGHR *UDSKLF 3ULQWHU &RQQHFW WKH9LGHR*UDSKLF SULQWHU�ZLWK%1& WR%1&FDEOH� 9LGHR ,1 WR WKH 9LGHR287 ORF DWHG RQ WKH UHDU SDQHO RI WKH V\VWHP� DOVR HVWDEOLVK VKXWWHU �ZLWK 0LQL -DFN FDEOH� LI UHTXLUHG� 0RGHO � 6RQ\ 83����� 0’�0’* IRU ���9�����9� ����� +]� ���$� &DWDORJXH 1R� (����.$ 6RQ\ 83����� &( IRU ���9�����9� ����� +]� ���$ &DWDORJXH 1R� (�����6/ 3LQ $VVLJQPHQW RI 0LQL -DFN &RQWUROOLQJ 9LGHR *UDSKLF 3ULQWHU &RQQHFWRU� 6WHUHR 0LQL -DFN 3LQ 1R� 6LJQDO � 6KXWWHU � 6LJQDO *1’ 3ULQWHU VWDUWV SULQWLQJ E\ UHFHLYLQJ ORZ SXOVHV IRU PRUH WKDQ ¶[• PLQXWHV �¶[• LV VHOHFWDEOH XVLQJ &21752/��6� �� ,QVWDOODWLRQ 6HWXS FRPPDQG� [ GHFLGHV H[SRVXUH WLPH�� ������� 9LGHR &DVVHWWH 5HFRUGHU &RQQHFW WKH 9&56RQ\ 692������0’ �+����65� IRU 176& DQG 6RQ\ 692 ����0’3�(�����$$� IRU 3$/ 6\VWHP WR WKH 9LGHR ,1 VRFNHW LQ WKH UHDU SDQHO� 3UHVV WKH ·(;7� 9,’(2µ EXWWRQ RQ WKH NH\ERDUG WR HQDEOH DQ H[WHUQDO YLGHR VLJQDO RQ WKH V\VWHP PRQLWRU� )RRWVZLWFK � � � � � 6WHUHR 0LQL -DFN � � /2*,4Éa��� 6(59,&( 0$18$/*( 0(’,&$/ 6<67(06 ������� ����� 5(9 � ������� 3UREHV 7$%/( ���� 352%( '(7$,/6 3UREH 7\SH 3DUW 1R� &DWDORJ 1R� )UHT� LQ 0+] 5DGLXV RI &XUYDWXUH )29 &�� ������� +�����&) ��� ��PP ��E &�� ������� +�����&( ��� ��PP ��E (�� ������� +�����07 ��� ��PP ���E /�� ������� +�����+3 ��� �� ��PP &�� ������� +�����&6 ��� ��PP ��E 9(� 7/6���59 +�����9( ��� �� ��PP &=% �� +�����&= ��� ��PP ���E /% �� +�����/% ��� �� ��PP 1RWH &=% DQG /% SUREHV DUH VXSSRUWHG RQ YHUVLRQ ��� DERYH� &�� DQG 9(� SUREHV DUH VXSSRUWHG RQ VRIWZDUH YHUVLRQ ��� DQG DERYH RQO\� &��� &��� (�� DQG /�� DUH VXSSRUWHG LQ DOO VRIWZDUH YHUVLRQV� &$87,21 8VH RQO\ DSSURYHG SUREHV� SHULSKHUDOV RU DFFHVVRULHV� /2*,4Éa��� 6(59,&( 0$18$/*( 0(’,&$/ 6<67(06 ������� ����� 5(9 � ���� /2*,4Éa��� 03 9LGHR 6LJQDO 6SHFLILFDWLRQ *HQHUDO 6/ 3DUDPHWHU 176& 3$/ � 7RWDO 1XPEHU RI +RUL]RQWDO /LQHV ���>)UDPH@ ���>)UDPH@ � 9HUWLFDO )LHOG )UHTXHQF\ ��>+]@ ��>+]@ � +RUL]RQWDO 6FDQQLQJ )UHTXHQF\ ������>N+]@ ������>.+]@ � 9HUWLFDO 6FDQQLQJ 0HWKRG ,QWHUODFHG ,QWHUODFHG � 6\QF ,QSXW &RPSRVLWH &RPSRVLWH � 3L[HO &ORFN ���������>0+]@ �����>0+]@ � ’LVSOD\ ZLGWK DQG +HLJKW>SL[HO OLQH@ ��� ; ��� ��� ; ��� +RUL]RQWDO 7LPLQJ 9LGHR $PSOLWXGH 6/ 3DUDPHWHU 176& 3$/ � 7RWDO +��/LQH 7LPH ������>PLFUR VHF@ �����>PLFUR VHF@ � +��6\QF 3XOVH :LGWK �����>PLFUR VHF@ ����>PLFUR VHF@ � %DFN 3RUFK �����>PLFUR VHF@ ����>PLFUR VHF@ � 7RWDO $FWLYH +��OLQH WLPH �����>PLFUR VHF@ �����>PLFUR VHF@ � )URQW 3RUFK ����>PLFUR VHF@ ����>PLFUR VHF@ � 9LGHR $PSOLWXGH �EDFN SRUFK WR SHDN� ���9SS ���9SS � 6\QF $PSOLWXGH �EDFN SRUFK WR SHDN� ���9SS ���9SS 9HUWLFDO 7LPLQJ 6/ 3DUDPHWHU 176& 3$/ � 7RWDO 9��/LQH 7LPH �����>+@ �����>+@ � 9��6\QF 3XOVH :LGWK �VW )LHOG �>OLQHV@ �VW )LHOG ���>OLQHV@ � �QG )LHOG �>OLQHV@ �QG )LHOG ���>OLQHV@ � 9��IURQW SRUFK �VW )LHOG ���>OLQHV@ �VW )LHOG ����>OLQHV@ � �QG )LHOG ���>OLQHV@ �QG )LHOG ����>OLQHV@ � 9��%ODQNLQJ �VW )LOHG ����>OLQHV@ �VW )LOHG ��>OLQHV@ � �QG )LHOG ����>OLQHV@ �QG )LHOG ��>OLQHV@ /2*,4Éa��� 6(59,&( 0$18$/*( 0(’,&$/ 6<67(06 ������� ���� 5(9 � ���� 29(59,(: 7KLV VHFWLRQ SURYLGHV SURFHGXUHV IRU TXLFNO\ FKHFNLQJ PDMRU IXQFWLRQV RI WKH /2*,4Éa���� GLDJQRVWLFV E\ XVLQJ WKH EXLOW��LQ VHUYLFH VRIWZDUH DQG SRZHU VXSSO\ DGMXVWPHQWV� )RU UHPDLQLQJ IXQFWLRQDO FKHFNV SOHDVH UHIHU WR WKH/2*,4É a��� 2SHUDWRU•V 0DQXDO� ���� )81&7,21$/ &+(&. 352&(’85(6 7R SHUIRUP WKHVH WHVWV� \RX ZLOO QHHG D PLFUR��FRQYH[� OLQHDU RU D FRQYH[ SUREH� 7KHVH SURFHGXUHV VKRXOG EH SHU� IRUPHG GXULQJ LQVWDOODWLRQ� 7KHVH SURFHGXUHV DUH DOVR XVHG DV EDVLF FKHFNV WR XVH ZKHQ VHUYLFH RI WKH V\VWHP LV UHTXLUHG� 7XUQ ·21µ WKH /2*,4Éa ��� V\VWHP� 7KH � /(’6� ([WHUQDO 9LGHR DQG )UHH]H EOLQN DQG JR RII� 7KH V\VWHP EHHSV RQFH DQG UXQV D VHOI WHVW� 7KH 0RQLWRU GLVSOD\V WKH IROORZLQJ� 5HIHU ,//8675$7,21 ���� RQ WKH QH[W SDJH� �� %��0RGH ,PDJH DSSHDUV ��*UD\ 6FDOH ’LVSOD\ �� +RUL]RQWDO 6FDOH 0DUNHU �� 9HUWLFDO 6FDOH 0DUNHU �� +RVSLWDO 1DPH �,I SUHYLRXVO\ HQWHUHG� �� ’DWH �� 7LPH �� 3UREH 7\SH �� )RFXV 0DUNHU RQ YHUWLFDO VFDOH ��� ’HSWK ����PP� ��� *DLQ �*��� ��� ’\QDPLF 5DQJH �’��� ��� 1HDU *DLQ � �2QO\ IRU 9��� EHORZ 6\VWHPV� ��� )DU *DLQ � �2QO\ IRU 9��� EHORZ V\VWHPV� 3RLQWV ������ IRUP D FRQWLQXRXV FRGH LQ WKH ORZHU OHIW KDQG FRUQHU RI WKHPRQLWRU DQG WKH\ DUH IDFWRU\ GHIDXOW YDOXHV� /2*,4Éa��� 6(59,&( 0$18$/*( 0(’,&$/ 6<67(06 ������� ���� 5(9 � ������� 3RZHU 8S 0RQLWRU ’LVSOD\ �&RQYH[ 3UREH� *�� '5�� '��� 1�� )�� * 5 ( < & $ / ( �������� &�� ���*DLQ ���'\QDPLF 5DQJH ���'HSWK ��7LPH ��3UREH *( ��*UH\ 6FDOH � * �������� ��'DWH ���1HDU *DLQ �1RW DYDLODEOH LQ 9� V\VWHPV� ���)DU *DLQ �1RW DYDLODEOH LQ 9� 6\VWHPV� ��+RUL]RQWDO 6FDOH 0DUNHU ��%��0RGH ,PDJH ��9HUWLFDO6FDO 0DUNHU ��)RFXV 0DUNHU ��+RVSLWDO 1DPH )LHOG 32:(5 83 021,725 ',63/$< ,//8675$7,21 ���� /2*,4Éa��� 6(59,&( 0$18$/*( 0(’,&$/ 6<67(06 ������� ���� 5(9 � ������� %DVLF &RQWUROV 7$%/( ���� GHVFULEHV EDVLF FRQWUROV ZKLFK KHOSV LQ FKHFNLQJ WKH /2*,4Éa��� GXULQJ LQVWDOODWLRQ� &RQQHFW WKH VHFWRU RU FRQYH[ WUDQVGXFHU WR FRQQHFWRU RQ WKH ULJKW VLGH RI WKH EDVH� 7$%/( ���� %$6,& &21752/6 &KHFN ([SHFWHG 5HVXOW 7XUQ ¶21• 3RZHU 6ZLWFK %��0RGH VFUHHQ DV LQ ,//8675$7,21 ���� VKRXOG DSSHDU� 3UHVV 1HZ 3DWLHQW .H\ 3UHVV ,’�1DPH $ SRS��XS ZLQGRZ DSSHDUV� (QWHU 3DWLHQW 1DPH�,’� ,W SUHVHWV WKH V\VWHP $ SRS��XS ZLQGRZ DSSHDUV� (QWHU 3DWLHQW 1DPH�,’� ,W GRHV QRW SUHVHW WKH V\VWHP� 3UHVV ’\Q 5DQJH 8S�’RZQ ,PDJH JURZV VRIWHU DQG KDUGHU GHSHQGLQJ RQ SRVLWLRQ� 5RWDWH *DLQ .QRE ,PDJH JURZV OLJKWHU DQG GDUNHU ZLWK URWDWLRQ� 3UHVV 1HDU 8S�’RZQ �2QO\ IRU 9��� EHORZ� 3UHVV )DU 8S�’RZQ �2QO\ IRU 9��� EHORZ� 7KH LPDJH JURZV GDUNHU RU EULJKWHU LQ WKH QHDU UHJLRQ 7KH LPDJH JURZV GDUNHU RU EULJKWHU LQ WKH IDU UHJLRQ� 3UHVV ’HSWK 8S�’RZQ ’HSWK RI WKH LPDJH JHWV PDJQLILHG RU UHGXFHG� 3UHVV 5HYHUVH 3UHVV 5HYHUVH D VHFRQG WLPH 3UHVV 6+,)7 � 5HYHUVH 3UHVV 6+,)7� 5HYHUVH D VHFRQG WLPH 7KH LPDJH ZLOO EH GLVSOD\HG /HIW�5LJKW 7KH LPDJH ZLOO EH GLVSOD\HG 5LJKW�/HIW� 7KH LPDJH ZLOO EH GLVSOD\HG 7RS�%RWWRP 7KH LPDJH ZLOO EH GLVSOD\HG %RWWRP�7RS 3UHVV 0 NH\ 5ROO 7UDFNEDOO 3UHVV 0 NH\ D VHFRQG WLPH %�0 0RGH ZLWK 0��OLQH FXUVRU DSSHDUV� �8VH WUDFNEDOO WR PRYH WKH 0��OLQH FXUVRU�� 5HIHU ,//8675$7,21 ���� � 7KH 0��/LQH FXUVRU VKRXOG IROORZ WKH WUDFNEDOO PRYHPHQW DQG WKH UHDO��WLPH LPDJH YDULHV RQ WKH 0��0RGH GLVSOD\� 2QO\ 0��0RGH LPDJH DSSHDUV RQ WKH VFUHHQ� 3UHVV )UHH]H NH\ 7KH LPDJH ZLOO IUHH]H� &,1( �IRU 9� DEORYH� 3UHVV )UHH]H DQG 5RWDWH %�0 *DLQ�&LQH 6FUROO &LQH 0HQX� 3UHVV � �6WDUW )UDPH� 3UHVV � �(QG )UDPH� 3UHVV � �&LQH /RRS� 3UHVV � �&LQH *DXJH� 7KH &LQH *DXJH� PHQX DQG WKH &LQH IUDPH QXPEHU DSSHDUV DW WKH ERWWRP RI WKH GLVSOD\� 5RWDWH WKH &LQH 6FUROO GLDO WR PRYH WKURXJK WKH LPDJHV LQ &LQH 0HPRU\� &LQH IUDPH QXPEHU LV GLVSOD\HG RQ WKH OHIW VLGH RI WKH VFUHHQ� 0RYH WKH &XUVRU E\ URWDWLQJ WKH &LQH 6FUROO GLDO WR WKH IUDPH \RX ZDQW DQG SUHVV � DJDLQ WR VHOHFW WKH 6WDUW IUDPH� 0RYH WKH &XUVRU E\ URWDWLQJ WKH &LQH 6FUROO GLDO WR WKH IUDPH \RX ZDQW DQG SUHVV � DJDLQ WR VHOHFW WKH (QG IUDPH� (QWHUV LQWR &LQH ORRS ZLWKLQ WKH VHOHFWHG 6WDUW (QG IUDPHV� 7R WRJJOH EHWZHHQ WKH &LQH *DXJH GLVSOD\� /2*,4Éa��� 6(59,&( 0$18$/*( 0(’,&$/ 6<67(06 ������� ���� 5(9 � ������� %DVLF &RQWUROV �&RQWLQXHG� &KHFN ([SHFWHG 5HVXOW )ODVK 0HPRU\�,PDJH VWRUDJH� �IRU 9� DERYH� )UHH]H WKH LPDJH 3UHVV 6WRUH 3UHVV 5HFDOO &RPPHQW FROXPQ DSSHDUV DW WKH ERWWRP RI WKH GLVSOD\� (QWHU WKH FRPPHQW LQ WKDW DQG SUHVV 6WRUH DJDLQ WR 6WRUH WKH LPDJH� ,PDJH $UFKLYH VFUHHQ DSSHDUV ZLWK RSWLRQ PHQX DW WKH ERWWRP� 6HOHFW WKH LPDJH XVLQJ WKH WUDFNEDOO �8VH ’\QDPLF 5DQJH WR SDJH XS�GRZQ LQ WKH ,PDJH $UFKLYH VFUHHQ�� 3UHVV � WR 9LHZ WKH VHOHFWHG LPDJH� 3UHVV � WR &OHDU WKH VHOHFWHG LPDJH� 3UHVV � WR &OHDU $OO WKH VWRUHG LPDJHV� 3UHVV � WR 6RUW WKH LPDJHV E\ QDPH RU GDWH� 7R ([LW ,PDJH $UFKLHYH� SUHVV )UHH]H� 7*& �IRU 9� DERYH� 7KH 7*& LV XVHG WR DGMXVW WKH *DLQ DW D VSHFLILF GHSWK� 6OLGH WKH FRQWURO WR WKH ULJKW RU OHIW WR LQFUHDVH RU GHFUHDVH JDLQ� *DLQ LV GLVSOD\HG LQ D UDQJH IURP ���� ��GE� 5HIHU WKH 8VHU•V 0DQXDO IRU WKH UHPDLQLQJ RSHUDWLRQV� %�0 02'( ',63/$< ,//8675$7,21 ���� ������� 3KDQWRP &KHFN 50, 3KDQWRP ���*6 � 3DUW 1R� �������� WR EH XVHG WR FKHFN LPDJH TXDOLW\ DQG SURSHU IXQFWLRQLQJ RI WKH V\VWHP� /2*,4Éa��� 6(59,&( 0$18$/*( 0(’,&$/ 6<67(06 ������� ���� 5(9 � ���� ’,$*1267,&6 7KH /2*,4Éa ��� 6\VWHP VHUYLFH GLDJQRVWLFV FRPSULVHV RI� �� 6HOI WHVW RU SRZHU RQ GLDJQRVWLFV �� 6HUYLFH GLDJQRVWLF WRROV 7KH VHOI WHVW RU SRZHU RQGLDJQRVWLFV DUH UXQ HYHU\ WLPH WKHV\VWHP LV ERRWHG� 7KHVHUYLFH GLDJQRVWLF WRROV LQFOXGH WHVW SURFHGXUHV IRU WHVWLQJ WKH V\VWHP DW 3&% OHYHO DV ZHOO DV EORFN OHYHO� 7KH GLDJQRVWLF WRROV SURYLGHV DSRS��XSPHQX WR HQDEOH VHOHFWLRQ RI YDULRXV WHVWV WR WHVW YDULRXV EORFNV RQ WKH V\VWHP� ������� 3RZHU RQ ’LDJQRVWLFV 7KH SRZHU RQ GLDJQRVWLFV RU VHOI WHVWV DUH UXQ HYHU\ WLPH WKH V\VWHP LV ERRWHG� 7KLV VHOI WHVWV LQFOXGH WHVWLQJ WKH YDOLGLW\ RI WKH V\VWHP VRIWZDUH WKURXJK (3520 FKHFNVXP WHVW DQG WHVWLQJ WKH V\VWHP 5$0� ,W FKHFNV ZKHWKHU WKH NH\ERDUGDQG WKH WUDFNEDOO DUH SURSHUO\ LQWHUIDFHG WR WKHV\VWHP� ,W DOVR LQLWLDWHV WKH VHOI WHVW RI DQDORJ VXEV\VWHP� 7KH WZR /(’•V DQG WKH EHHSHU DUH XVHG WR LQGLFDWH HUURU FRQGLWLRQV� 1RWH 3RZHU RQ ’LDJQRVWLFV ZRUNV RQO\ ZKHQ WKH V\VWHP LV LQ DSSOLFDWLRQ �LPDJLQJ� PRGH DQG QRW ZKLOH RQ VHUYLFH GLDJQRVWLFV� 7KLV LV FRQWUROOHG E\ ’,3 6ZLWFK 6:� �� ����� RQ WKH &38 ZKLFK LV VHW WR 21�2))�2)) UHVSHFWLYHO\ ZKLFK LV WKH QRUPDO VHWWLQJ� ������� 6HUYLFH ’LDJQRVWLFV (QWHULQJ 6HUYLFH 6RIWZDUH 3URJUDP 3UHVV &WUO 6 6HW (QWHU� NH\V RQ WKH NH\ERDUG WR HQWHU WKH VHUYLFHGLDJQRVWLFV� ,Q UHVSRQVH� D SRS��XS PHQX DSSHDUV DV VKRZQ LQ ,OOXVWUDWLRQ ���� /2*,4Éa��� 6(59,&( 0$18$/*( 0(’,&$/ 6<67(06 ������� ���� 5(9 � ������� 6HUYLFH ’LDJQRVWLFV �&RQWLQXHG� 0$,1 0(18 �� &38 %2$5’ 7(676 �� ’6& %2$5’ 7(676 �� $1$/2* %2$5’6 7(67 �� .(<%2$5’ 7(676 �� 021,725 7(67 �� .(<%2$5’ 23(5$7,21 +,6725< �� 75$&.%$// 6(/(&7,21 4� 4XLW (17(5 7+( &+2,&( � 0$,1 0(18 ,//8675$7,21 ���� 1RWH 2SWLRQ 4 �4XLW� FDQ EH XVHG WR FRPH RXW RI WKH GLDJQRVWLF DQG HQWHU WKH DSSOLFDWLRQ PRGH� /2*,4Éa��� 6(59,&( 0$18$/*( 0(’,&$/ 6<67(06 ������� ���� 5(9 � ������� &38 %RDUG 7HVWV :KHQ WKLV RSWLRQ LV VHOHFWHG� WKH IROORZLQJ PHQX ZLOO DSSHDU � &38 %2$5’ 7(676 �� $// 7(676 �� (3520 &+(&.680 7(67 �� 5�: 0(025< 7(67 �� *5$3+,&6 0(025< 7(67 �� ’(%8* 3257 7(67 �� *5$3+,&6 7(67 �� 195$0 7(67 3� 0$,1B0(18 4� 4XLW (17(5 7+( &+2,&( � B &38 %2$5’ 7(676 �� $// 7(676 �� (3520 &+(&.680 7(67 �� 5�: 0(025< 7(67 �� *5$3+,&6 0(025< 7(67 �� ’(%8* 3257 7(67 �� *5$3+,&6 7(67 �� 195$0 7(67 �� )/$6+ 0(025< 7(67 3� 0$,1B0(18 4� 4XLW (17(5 7+( &+2,&( � B &38 0HQX IRU 9� &38 0HQX IRU 9� DERYH &38 %2$5' 7(676 ,//8675$7,21 ���� $OO 7HVWV 7KLV RSWLRQ LV XVHG WR UXQ DOO WHVWV LQ WKH PHQX� 2QFH DOO WKH WHVWV DUH FRPSOHWHG� SUHVV DQ\ NH\ WR H[LW� (3520 &KHFNVXP 7HVW 7KH YDOLGLW\ RI WKH VRIWZDUH UHVLGLQJ LQ WKH (3520RQ WKH&38%RDUG LV WHVWHG E\ SHUIRUPLQJ WKH&KHFNVXP WHVW� 7KH ZRUG&KHFNVXP RI WKH SURJUDP LV FRPSXWHG DQG LWV RQH•V FRPSOLPHQW LV VWRUHG LQ WKH (3520 DV WKH ODVW ZRUG� ,Q WKLV WHVW WKH FRQWHQWV RI WKHPHPRU\ DUH DGGHGZRUGZLVH DQG WKH FRPSXWHG VXP LV FRPSDUHG DJDLQVW ]HUR� ,I WKH UHVXOWLQJ VXP LV QRQ��]HUR WKH WHVW LV UHSRUWHG WR KDYH IDLOHG� 5HDG�:ULWH 0HPRU\ 7HVW 7KH 5HDG�:ULWH PHPRU\ RQ WKH &38 %RDUG LV WHVWHG E\ ILOOLQJ WKH PHPRU\ ZLWK WHVW SDWWHUQV DQG UHDGLQJ WKHP EDFN DQG YDOLGDWLQJ WKH UHDG GDWD� ,I DQ\ RI WKH PHPRU\ E\WH GRHV QRW FRQWDLQ WKH
Compartilhar