Siemens Canada WIN5X49 WiMAX subscriber unit transceiver User Manual manual

Siemens Canada Limited WiMAX subscriber unit transceiver manual

manual

5XJJHG0$;:L1:L1,QVWDOODWLRQDQG8VHU*XLGH9HUVLRQ1RYHPEHU
5XJJHG0$;5XJJHG0$;:L1:L1,QVWDOODWLRQDQG8VHU*XLGH&RS\ULJKW©5XJJHG&RP,QF$OO5LJKWV5HVHUYHG'LVVHPLQDWLRQRUUHSURGXFWLRQRIWKLVGRFXPHQWRUHYDOXDWLRQDQGFRPPXQLFDWLRQRILWVFRQWHQWVLVQRWDXWKRUL]HGH[FHSWZKHUHH[SUHVVO\SHUPLWWHG9LRODWLRQVDUHOLDEOHIRUGDPDJHV$OOULJKWVDUHUHVHUYHGSDUWLFXODUO\IRUWKHSXUSRVHVRISDWHQWDSSOLFDWLRQRUWUDGHPDUNUHJLVWUDWLRQ7KLV GRFXPHQW FRQWDLQV SURSULHWDU\ LQIRUPDWLRQ ZKLFK LV SURWHFWHG E\ FRS\ULJKW $OO ULJKWV DUH UHVHUYHG 1R SDUW RI WKLV GRFXPHQWPD\EHSKRWRFRSLHGUHSURGXFHGRUWUDQVODWHGWRDQRWKHUODQJXDJHZLWKRXWWKHSULRUZULWWHQFRQVHQWRI5XJJHG&RP,QF'LVFODLPHU2I/LDELOLW\:HKDYHFKHFNHGWKHFRQWHQWVRIWKLVPDQXDODJDLQVWWKHKDUGZDUHDQGVRIWZDUHGHVFULEHG+RZHYHUGHYLDWLRQVIURPWKHGHVFULSWLRQFDQQRWEHFRPSOHWHO\UXOHGRXW5XJJHG&RPVKDOOQRWEHOLDEOHIRUDQ\HUURUVRURPLVVLRQVFRQWDLQHGKHUHLQRUIRUFRQVHTXHQWLDOGDPDJHVLQFRQQHFWLRQZLWKWKHIXUQLVKLQJSHUIRUPDQFHRUXVHRIWKLVPDWHULDO7KHLQIRUPDWLRQJLYHQLQWKLVGRFXPHQWLVUHYLHZHGUHJXODUO\DQGDQ\QHFHVVDU\FRUUHFWLRQVZLOOEHLQFOXGHGLQVXEVHTXHQWHGLWLRQV:HDSSUHFLDWHDQ\VXJJHVWHGLPSURYHPHQWV:HUHVHUYHWKHULJKWWRPDNHWHFKQLFDOLPSURYHPHQWVZLWKRXWQRWLFH5HJLVWHUHG7UDGHPDUNV52; 5XJJHG5DWHG H5673 5XJJHG%DFNERQH DQG 5XJJHG0$; DUH WUDGHPDUNV RI 5XJJHG&RP ,QF 5XJJHG5RXWHU LV DUHJLVWHUHGWUDGHPDUNRI5XJJHG&RP,QF2WKHUGHVLJQDWLRQVLQWKLVPDQXDOPLJKWEHWUDGHPDUNVZKRVHXVHE\WKLUGSDUWLHVIRUWKHLURZQSXUSRVHVZRXOGLQIULQJHWKHULJKWVRIWKHRZQHU/LQX[LVWKHUHJLVWHUHGWUDGHPDUNRI/LQXV7RUYDOGVLQWKH86DQGRWKHUFRXQWULHV7KHUHJLVWHUHGWUDGHPDUN/LQX[LVXVHGSXUVXDQWWRDVXEOLFHQVHIURP/0,WKHH[FOXVLYHOLFHQVHHRI/LQXV7RUYDOGVRZQHURIWKHPDUNRQDZRUOGZLGHEDVLV:DUUDQW\)LYH  \HDUV IURP GDWH RI SXUFKDVH UHWXUQ WR IDFWRU\ )RU ZDUUDQW\ GHWDLOV YLVLW ZZZ5XJJHG&RPFRP RU FRQWDFW \RXU FXVWRPHU VHUYLFHUHSUHVHQWDWLYH&RQWDFWLQJ5XJJHG&RP&RUSRUDWH+HDGTXDUWHUV 86+HDGTXDUWHUV (XURSH+HDGTXDUWHUV5XJJHG&RP,QF$SSOHZRRG&UHVFHQW&RQFRUG2QWDULR&DQDGD/.&7HO)D[7ROOIUHH5XJJHG&RP+DUULVRQ6WUHHW6XLWH+ROO\ZRRG)ORULGD86$7HOH[W)D[7ROOIUHH5XJJHG&RP8QLW$]WHF&HQWUH$]WHF:HVW$OPRQGVEXU\%ULVWRO8QLWHG.LQJGRP%67'7HO)D[(PDLO5XJJHG6DOHV#5XJJHG&RPFRP7HFKQLFDO6XSSRUW7ROO)UHH1RUWK$PHULFD,QWHUQDWLRQDO(PDLO6XSSRUW#5XJJHG&RPFRP:HEZZZ5XJJHG&RPFRP
5XJJHG0$;5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY7DEOHRI&RQWHQWV)&&6WDWHPHQW$QG&DXWLRQV  ,QWURGXFWLRQ   :L13DFNDJH&RPSRQHQWVDQG8QSDFNLQJ :L13DFNDJH&RPSRQHQWVDQG8QSDFNLQJ 6DIHW\,QIRUPDWLRQ 5)([SRVXUH /LJKWQLQJ3URWHFWLRQ3RZHU&RUG3URWHFWLRQ 6HUYLFLQJ2XWGRRU*URXQGLQJ6\VWHP3URGXFW'HVFULSWLRQ ,(((H0RELOH:L0$;&RPSOLDQFH %ORFN'LDJUDP )HDWXUHV  0RELOH:L0$;:DYH0,02)HDWXUHV 'HSOR\PHQW0RGHOV6HUYLFH)ORZV 3K\VLFDO'HVFULSWLRQ &RQQHFWRUVDQG/(',QGLFDWRUV /(',QGLFDWRUV  0RXQWLQJ    6LWH6XUYH\5HFRPPHQGHG6LWH5HTXLUHPHQWV3ROH0RXQWLQJ :DOO0RXQWLQJ,QVWDOODWLRQ3URFHGXUH 6DIHW\+D]DUGV5HTXLUHG,QVWDOODWLRQ7RROV5HTXLUHG&DEOHV 3ROH0RXQW,QVWDOODWLRQ:DOO0RXQW,QVWDOODWLRQ$OLJQLQJWKH&3($QWHQQD &DEOH&RQQHFWLRQV:HDWKHUSURRILQJ $VVHPEOLQJWKH5-&RQQHFWRU,QVWDOOLQJWKH:L1'DWD$GDSWRU (TXLSPHQW&RQILJXUDWLRQDQG0RQLWRULQJ&RQQHFWLQJWRDQG/RJJLQJ,QWRWKH&3( &RQILJXULQJWKH&3( &3(0DQDJHPHQW,QWHUIDFH8VLQJWKH&3(0DQDJHPHQW,QWHUIDFH &RQILJXUDWLRQ%XWWRQV 6\VWHP0DQDJHPHQW 0DQDJLQJ6\VWHP)XQFWLRQV &KDQJLQJWKH&3(0DQDJHPHQW,QWHUIDFH3DVVZRUG 5HPRWH0DQDJHPHQW3DUDPHWHUV 
5XJJHG0$;5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY6RIWZDUH9HUVLRQ0DQDJHPHQW 6103$GPLQLVWUDWLRQ $ODUPV7UDSV &3(1HWZRUN&RQILJXUDWLRQ 1HWZRUN,36HWWLQJV (WKHUQHW 6HWWLQJV&3(6WDWLVWLFV *HQHUDO 6WDWLVWLFV 5)6WDWLVWLFV 1HWZRUN6WDWLVWLFV6HUYLFH)ORZ6WDWLVWLFV :L0$;6HWWLQJV 6FDQQHU6HWWLQJV :L0$;$XWKHQWLFDWLRQ9LHZLQJ%DVH6WDWLRQ,QIRUPDWLRQ &RQILJXULQJ:L0$;5DGLR3DUDPHWHUV $:L1:L16SHFLILFDWLRQV %/LVWRI$FURQ\PV &5XJJHG0$;&3(:DUUDQW\  
5XJJHG0$;5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY/LVWRI)LJXUHV:L1&3(%ORFN'LDJUDP([WHUQDO$QWHQQDV :L1&3(%ORFN'LDJUDP,QWHJUDWHG$QWHQQD0,02 $QWHQQD6\VWHP:L1*HQHUDO9LHZ :L17RS9LHZ :L1&RQQHFWRUV$&9HUVLRQ :L1&RQQHFWRUV'&9HUVLRQ :L1&RQQHFWRUV  3ROH0RXQWLQJ  :L13ROH0RXQWHG:DOO0RXQW5HDU9LHZ:DOO 0RXQW)URQW9LHZ :UDSSLQJWKH&RQQHFWRUZLWK5XEEHUVSOLFLQJRU6HOIDPDOJDPDWLQJ7DSH :UDSSLQJWKH&DEOHZLWK5XEEHUVSOLFLQJRU6HOIDPDOJDPDWLQJ7DSH :UDSSLQJWKH&RQQHFWRUZLWK(OHFWULFDO7DSH6HDOLQJ*DSVZLWK3XWW\ 5-&RQQHFWRU&RPSRQHQWVDQG&DEOH 3UHSDULQJWKH&3(&DEOH &3( &DEOH6KHDWKLQJ(WKHUQHW3RUW3LQRXW 0RGXODU3OXJ$VVHPEO\ &ULPSLQJWKH&RQQHFWRU$VVHPEO\RI&RQQHFWRU&RPSRQHQWV &RQQHFWLQJWKH&DEOHWRWKH&3( 3RZHURYHU(WKHUQHW&RQQHFWLRQ6FKHPDWLF :LQGRZV/RFDO$UHD&RQQHFWLRQ3URSHUWLHVGLDORJ :LQGRZV7&3,33URSHUWLHVGLDORJ&3(*HQHUDO6WDWLVWLFVSDQH 6FDQQHU 6HWWLQJVSDQH ,36HWWLQJVSDQH *HQHUDO 6WDWLVWLFVSDQH6HUYLFH)ORZ SDQH &3(0DQDJHPHQW,QWHUIDFH&RQWUROV &3(&RQILJXUDWLRQ%XWWRQV6\VWHP)XQFWLRQVSDQH&KDQJH3DVVZRUGIRU8VHU$GPLQSDQH 0DQDJHPHQW6HWWLQJVSDQH 0DQDJHPHQW9/$1SDQH '6&30DUNLQJSDQH 6:3URSHUWLHVSDQH6:'RZQORDGSDQH 3ULPDU\%DQN&RPSRQHQWVSDQH6HFRQGDU\%DQN&RPSRQHQWVSDQH )LOH7UDQVIHU6WDWXVSDQH6103YF$FFHVV6HWWLQJVSDQH 61030,%6HWWLQJVSDQH
5XJJHG0$;5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY6\VWHP$ODUPVSDQH61037UDS6HWWLQJV ,36HWWLQJV SDQH 9/$17DJJLQJSDQH0$&$GGUHVV7DEOHSDQH 078SDQH  *HQHUDO6WDWLVWLFVSDQH5) SDQH  1HWZRUNSDQH1HWZRUNSDQH6FDQQHU6HWWLQJVSDQH$XWKHQWLFDWLRQ6HWWLQJSDQH ($37/6SDQH($377/6 SDQH 9LHZ&HUWLILFDWHVSDQH 0RELOLW\SDQH5DGLR6HWWLQJVSDQH 
5XJJHG0$;5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY/LVWRI7DEOHV:L1&RQQHFWRUV$&9HUVLRQ :L1&RQQHFWRUV'&9HUVLRQ :L1&RQQHFWRUV  &3(/(',QGLFDWRUV:DOO0RXQW3DUWV/LVW (WKHUQHW3RUW3LQRXW :L1'DWD$GDSWRU/(',QGLFDWLRQV6FDQQHU7DEOHILHOGV ,36HWWLQJVILHOGV&RQILJXUDWLRQ%XWWRQVDQG2SWLRQV3DQH/LQNV 0DQDJHPHQW9/$1)LHOGV 6:3URSHUWLHV'RZQORDG3DUDPHWHUV3ULPDU\&RPSRQHQWV7DEOH 6HFRQGDU\&RPSRQHQWV7DEOH )LOH7UDQVIHU2SHUDWLRQ6WDWXVWDEOH6103YF&RQILJXUDWLRQWDEOH0,%6\VWHP7DEOH 6\VWHP$ODUPV $ODUPV7DEOH7UDSV7DEOH61037UDSV /LVW ,36HWWLQJV ILHOGV,36HWWLQJV ILHOGV,36HWWLQJV ILHOGV*HQHUDO6WDWLVWLFVILHOGV 5)6WDWLVWLFVILHOGV 1HWZRUN6WDWLVWLFVILHOGV666WDWLVWLF 7DEOH 6HUYLFHIORZVWDWLVWLFV7DEOH6FDQQHU7DEOHILHOGV ($377/6$XWKHQWLFDWLRQILHOGV6HUYLQJ%6 WDEOH5DGLR6HWWLQJVILHOGV %/LVWRI $FURQ\PV
)&&6WDWHPHQW$QG&DXWLRQV5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY)&&6WDWHPHQW$QG&DXWLRQV)HGHUDO&RPPXQLFDWLRQV&RPPLVVLRQ5DGLR)UHTXHQF\,QWHUIHUHQFH6WDWHPHQW7KLVHTXLSPHQWKDVEHHQWHVWHGDQGIRXQGWRFRPSO\ZLWKWKHOLPLWVIRUD&ODVV%GLJLWDOGHYLFHSXUVXDQWWR3DUWRIWKH)&&5XOHV7KHVHOLPLWVDUHGHVLJQHGWRSURYLGHUHDVRQDEOHSURWHFWLRQDJDLQVWKDUPIXOLQWHUIHUHQFHZKHQWKHHTXLSPHQWLVRSHUDWHGLQDFRPPHUFLDOHQYLURQPHQW7KLVHTXLSPHQWJHQHUDWHVXVHVDQGFDQUDGLDWHUDGLRIUHTXHQF\HQHUJ\DQGLIQRWLQVWDOOHGDQGXVHGLQDFFRUGDQFHZLWKWKHLQVWUXFWLRQPDQXDOPD\FDXVHKDUPIXOLQWHUIHUHQFHWRUDGLRFRPPXQLFDWLRQV2SHUDWLRQRIWKLVHTXLSPHQWLQDUHVLGHQWLDODUHDLVOLNHO\WRFDXVHKDUPIXOLQWHUIHUHQFHLQZKLFKFDVHWKHXVHUZLOOEHUHTXLUHGWRFRUUHFWWKHLQWHUIHUHQFHDWKLVRZQH[SHQVHCaution: Service7KLVSURGXFWFRQWDLQVQRXVHUVHUYLFHDEOHSDUWV$WWHPSWHGVHUYLFHE\XQDXWKRUL]HGSHUVRQQHOVKDOOUHQGHUDOOZDUUDQWLHVQXOODQGYRLG&KDQJHVRUPRGLILFDWLRQVQRWH[SUHVVO\DSSURYHGE\FRXOGLQYDOLGDWHVSHFLILFDWLRQVWHVW UHVXOWV DQG DJHQF\ DSSURYDOV DQG YRLG WKH XVHU¶V DXWKRULW\ WR RSHUDWH WKHHTXLSPHQWCaution: Physical Access7KLVSURGXFWVKRXOGEHLQVWDOOHGLQDUHVWULFWHGDFFHVVORFDWLRQZKHUHDFFHVVFDQRQO\EHJDLQHGE\VHUYLFHSHUVRQQHORUXVHUVZKRKDYHEHHQLQVWUXFWHGDERXWWKHUHDVRQVIRUWKHUHVWULFWLRQVDSSOLHGWRWKHORFDWLRQDQGDERXWDQ\SUHFDXWLRQVWKDWVKDOOEHWDNHQDQGDFFHVVLVWKURXJKWKHXVHRIDWRRORUORFNDQGNH\RURWKHUPHDQVRIVHFXULW\DQGLVFRQWUROOHGE\WKHDXWKRULW\UHVSRQVLEOHIRUWKHORFDWLRQ
,QWURGXFWLRQ5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY,QWURGXFWLRQ7KLV JXLGH GHVFULEHV KRZ WR LQVWDOO DQG FRQILJXUH WKH 5XJJHG0$; :L1VHULHV DQG:L1VHULHV2XW'RRU8QLW2'8&XVWRPHU3UHPLVHV(TXLSPHQW&3(XQLWV7KH:L1VHULHVDQG:L1VHULHV2'8&3(VDUHPHPEHUVRIWKH5XJJHG0$;IDPLO\DOLQHRI:L0$;EURDGEDQGZLUHOHVVDFFHVVV\VWHPVEDVHGRQWKHHPRELOH:L0$;VWDQGDUG7KLVJXLGHLVLQWHQGHGIRULQVWDOOHUVDQGQHWZRUNRSHUDWRUV7KLVPDQXDODVVXPHVWKDWXVHUVKDYHVRPHH[SHULHQFHZLWK:L0$;WHFKQRORJLHVDQGSURFHGXUHV:KLOHVRPHVDIHW\SUHFDXWLRQVDUHUHYLHZHGKHUHWKLVJXLGHDVVXPHVWKDWLQVWDOOHUVDUHWUDLQHGLQVDIHLQVWDOODWLRQSUDFWLVHV8VHUVZKRDUHQHZWR:L0$;WHFKQRORJLHVDQGVHUYLFHSURFHGXUHVVKRXOGQRWUHO\RQWKLVJXLGHIRUFRPSUHKHQVLYHJXLGDQFH:L13DFNDJH&RPSRQHQWVDQG8QSDFNLQJ î:L1VHULHV2'8&3(ZLWKH[WHUQDODQWHQQDFRQQHFWRUV 5)FDEOHVPDSSUR[LPDWHO\ 3RZHUFDEOHPDSSUR[LPDWHO\ 0RXQWLQJNLW:L13DFNDJH&RPSRQHQWVDQG8QSDFNLQJ î:L1VHULHV2'8&3(ZLWKLQWHJUDWHGGLUHFWLRQDOGXDOVODQWDQWHQQD îFRPPHUFLDOJUDGHSRZHUVXSSO\
,QWURGXFWLRQ5XJJHG0$; ,QVWDOODWLRQDQG8VHU*XLGHY6DIHW\,QIRUPDWLRQ5)([SRVXUH7KH:L1:L1&3(LVFRPSOLDQWZLWKWKHUHTXLUHPHQWVVHWIRUWKLQ&)5VHFWLRQDGGUHVVLQJ5DGLR)UHTXHQF\5)H[SRVXUHIURPUDGLRIUHTXHQF\GHYLFHVDVGHILQHGLQ2(7%XOOHWLQ7KHHPLWWHGUDGLDWLRQVKRXOGEHDVOLWWOHDVSRVVLEOH7RDFKLHYHPLQLPXP5)H[SRVXUHLQVWDOOWKH&3(ZKHQLWLVFRQILJXUHGQRWWRWUDQVPLWDQGVHWLWWRRSHUDWLRQDOPRGHUHPRWHO\UDWKHUWKDQHQDEOLQJWUDQVPLVVLRQE\WKHLQVWDOOHURQVLWH)RUPDLQWHQDQFHRIWKH&3(RURWKHURSHUDWLRQVZKLFKUHTXLUH5)H[SRVXUHWKHH[SRVXUHVKRXOGEHPLQLPL]HGLQWLPHDQGDFFRUGLQJWRWKHUHJXODWLRQVVHWE\WKH)&&RUWKHUHJXODWLRQVUHOHYDQWWRWKHFRXQWU\RILQVWDOODWLRQ)RU:L1:L1:L1:L1LQVWDOODQWHQQDDOZD\VDWGLVWDQFHDWOHDVWPIURPWKHSHRSOHDQGSXEOLFDUHD)RURWKHUPRGHOVLQVWDOODQWHQQDDOZD\VDWGLVWDQFHDWOHDVWPIURPWKHSHRSOHDQGSXEOLFDUHD/LJKWQLQJ3URWHFWLRQ:KHQ WKH2'8&3(LV LQVWDOOHG LQ DQ RXWGRRU ORFDWLRQ DOO LQGRRU FRPSRQHQWV (WKHUQHWFRQQHFWLRQVDQGSRZHUVXSSO\VKRXOGEHFRQQHFWHGWKURXJKDOLJKWQLQJSURWHFWRU/LJKWQLQJSURWHFWLRQLVLQWHQGHGWRSURWHFWSHRSOHDQGHTXLSPHQWORFDWHGLQGRRUVIURPOLJKWQLQJWKDWPLJKWVWULNHWKH2'8&3(RULWVRXWGRRUFDEOHV7KHOLJKWQLQJSURWHFWLRQGHYLFHVKRXOGEHLQVWDOOHGLQGRRUVDVFORVHDVSRVVLEOHWRWKHSRLQWZKHUHWKHFDEOHVHQWHUWKHEXLOGLQJ3RZHU&RUG3URWHFWLRQ7KH2'8&3(VKRXOGDOZD\VEHFRQQHFWHGWRDVXSSRUWHG3RZHURYHU(WKHUQHW3R(LQMHFWRU7KH:L1VHULHVDQG:L1VHULHV2'8&3(VDUHQRQVWDQGDUG3R(GHYLFHV'RQRWDWWHPSWWRXVHWKLUGSDUW\3R(LQMHFWRUV7KHXVHRIDQ\RWKHUW\SHRIFRQQHFWLRQRUDSSOLFDWLRQRIWKH2'8&3(DQGRU:L1GDWDDGDSWRULVQRWSHUPLWWHG5RXWHDOOSRZHUVXSSO\FRUGVVRWKDWSHRSOHFDQQRWZDONRQWKHPRUSODFHREMHFWVRQRUDJDLQVWWKHPZKLFKFDQGDPDJHWKHFRUGV6HUYLFLQJ'RQRWRSHQWKH2'8&3(FRYHUWRSHUIRUPFRUUHFWLYHDFWLRQVXQOHVVLQVWUXFWHGWRGRVRLQWKHRSHUDWLQJLQVWUXFWLRQV2XWGRRU*URXQGLQJ6\VWHP7R UHGXFH WKH ULVN RI ILUH XVH RQO\  $:* RU ODUJHU WHOHFRPPXQLFDWLRQ OLQH FRUGEHWZHHQLQGRRUDQGRXWGRRUXQLWV         $OORZHGDQWHQQDW\SHV)RU:&6&3(*+]WRFRPSO\ZLWK)&&UHJXODWLRQVUHVWULFWLRQVXVHRQO\RXWGRRUDQWHQQDVZLWKJDLQRIG%L)RUWKH:L1WKHDQWHQQDLVDQLQWHJUDOSDUWRIWKH&3(9HULI\WKDWWKHDQWHQQDRUFDEOHV\VWHPLVJURXQGHG7KH&3(DQWHQQDLQVWDOODWLRQPXVWEHDVSHU$UWLFOHRIWKH1(&2ISDUWLFXODUQRWHLVWKHUHTXLUHPHQWWKDWWKHJURXQGLQJFRQGXFWRUEHQRWOHVVWKDQ$:*&X7KHJURXQGLQJVFKHPHVKRXOGHLWKHUEHLQDFFRUGDQFHZLWK8/DQG$/LJKWQLQJ3URWHFWLRQ&RPSRQHQWVDQG,QVWDOODWLRQ5HTXLUHPHQWVIRU/LJKWQLQJ3URWHFWLRQ6\VWHPVRUWHVWHGLQDFFRUGDQFHZLWK8/DQG8/
3URGXFW'HVFULSWLRQ5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY3URGXFW'HVFULSWLRQ7KH:L1VHULHVDQG:L1VHULHV2XW'RRU8QLW2'8&XVWRPHU3UHPLVHV(TXLSPHQW&3( XQLWV DUH ,(((  FRPSOLDQW ZLUHOHVV GHYLFHV IRU WKH GHSOR\PHQW RI SRLQWWRPXOWLSRLQW303DQGSRLQWWRSRLQW373QHWZRUNDUFKLWHFWXUHV7KH2'8&3(VDUH:L0$;)RUXPH:DYH0,02FHUWLILHGVXEVFULEHUV(DFKVXEVFULEHUUHJLVWHUVDQGHVWDEOLVKHVDELGLUHFWLRQDOGDWDOLQNZLWKWKHEDVHVWDWLRQ,(((H0RELOH:L0$;&RPSOLDQFH7KH,(((VSHFLILFDWLRQVGHVFULEHD303EURDGEDQGZLUHOHVVDFFHVVVWDQGDUGIRUV\VWHPV7KLVVWDQGDUGLQFOXGHVGHVFULSWLRQVIRUERWKWKH0HGLD$FFHVV&RQWURO0$&DQGWKHSK\VLFDO3+<OD\HUV7KH2'8&3(LVFRPSOLDQWWR,(((:L0$;IRUXP:DYHSURILOH7KH H VWDQGDUGV DUH VXEMHFW WR DPHQGPHQW DQG WKH :L1  :L1SURGXFWIDPLO\GHVLJQFRPSOLDQFHDSSOLHVWRDVSHFLILFUHYLVLRQRIWKHVWDQGDUG7KH:L1  :L1 SURGXFW IDPLO\ GRHV QRW VXSSRUW PHVK FRPPXQLFDWLRQ GLUHFWVXEVFULEHUWRVXEVFULEHU%ORFN'LDJUDP7KH&3(FRQVLVWVRIWKHIROORZLQJPRGXOHV %DVH%DQGERDUGLQFOXGHVWKHWKH:L0$;H0,02%DVH%DQG6R&DQGUXQVWKHH0$&3+<XVHULQWHUIDFHDQGDQDORJIURQWHQGLQWHUIDFHWRWKH5)PRGXOH 3RZHU6XSSO\ ERDUGZLWK'&'&SRZHUVXSSO\FRQYHUWV9'&LQSXWWRWKHYROWDJHVIHHGLQJWKH'LJLWDODQG5)PRGXOHV 5)ERDUGVLQJOHWUDQVPLWGXDOUHFHLYHPRGXOHWKDWPRGXODWHVWKHDQDORJ:L0$;VLJQDOLQSXWIURPWKH%DVH%DQGPRGHPWRWKHKLJKIUHTXHQF\5)RXWSXW6HYHUDO5)PRGXOHVH[LVWHDFKVXSSRUWLQJDGLIIHUHQWIUHTXHQF\EDQG &KDVVLV $QWHQQD RU $QWHQQDV GXDO RPQL RU SRODUL]DWLRQ DQWHQQDV :L1 RU LQWHJUDWHG GXDOSRODUL]DWLRQDQWHQQD:L1VXSSRUWLQJ0,02VFKHPHV
3URGXFW'HVFULSWLRQ5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY)LJXUH:L1&3(%ORFN'LDJUDP([WHUQDO$QWHQQDV)LJXUH:L1&3(%ORFN'LDJUDP,QWHJUDWHG$QWHQQD
3URGXFW'HVFULSWLRQ5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY)HDWXUHV0RELOH:L0$;:DYH0,02)HDWXUHV0XOWLSOH,QSXW 0XOWLSOH2XWSXW 0,02 GHVFULEHV V\VWHPV WKDW XVH PRUH WKDQ RQH UDGLR DQGDQWHQQDV\VWHPDWHDFKHQGRIWKHZLUHOHVVOLQN,QWKHSDVWLWZDVWRRFRVWO\WRLQFRUSRUDWHPXOWLSOHDQWHQQDV DQG UDGLRV LQ D VXEVFULEHU WHUPLQDO 5HFHQW DGYDQFHV LQ UDGLR PLQLDWXUL]DWLRQ DQGLQWHJUDWLRQWHFKQRORJ\QRZPDNHLWIHDVLEOHDQGFRVWHIIHFWLYH&RPELQLQJWZRRUPRUHUHFHLYHGVLJQDOVKDVWKHLPPHGLDWHEHQHILWRILPSURYLQJUHFHLYHGVLJQDOVWUHQJWKEXW0,02DOVRHQDEOHVWUDQVPLVVLRQRISDUDOOHOGDWDVWUHDPVIRUJUHDWHUWKURXJKSXW)RUH[DPSOHLQDî0,02WZRWUDQVPLWDQGWZRUHFHLYHHOHPHQWVGXDOSRODUL]DWLRQSRLQWWRSRLQWV\VWHPWKHFDUULHU¶VDOORFDWHGIUHTXHQF\FDQEHXVHGWZLFHHIIHFWLYHO\GRXEOLQJWKHWKURXJKSXWGDWDUDWH,QSRLQWWRPXOWLSRLQWV\VWHPVHPSOR\LQJ0,02HDFKEDVHVWDWLRQDQWHQQDWUDQVPLWVDGLIIHUHQWGDWDVWUHDPDQGHDFKVXEVFULEHUWHUPLQDOUHFHLYHVYDULRXVFRPSRQHQWVRIWKHWUDQVPLWWHGVLJQDOVZLWKHDFKRILWVVXEVFULEHUDQWHQQDV7KHVXEVFULEHUWHUPLQDOLVDEOHWRDOJRULWKPLFDOO\VHSDUDWHDQGGHFRGHWKHSDUDOOHOVLPXOWDQHRXVO\UHFHLYHGGDWDVWUHDPV)LJXUH0,02$QWHQQD6\VWHP
3URGXFW'HVFULSWLRQ5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY6SDFH7LPH&RGLQJ6SDFH7LPH&RGLQJ67&LVDWHFKQLTXHIRULPSOHPHQWLQJWUDQVPLVVLRQGLYHUVLW\0RELOH:L0$;XVHVWUDQVPLWGLYHUVLW\LQWKHGRZQOLQNGLUHFWLRQWRSURYLGHVSDWLDOGLYHUVLW\WRHQKDQFHWKHVLJQDOTXDOLW\WRDVSHFLILFVXEVFULEHUORFDWHGDQ\ZKHUHZLWKLQWKHUDQJHRIWKHDQWHQQDEHDP$OWKRXJKSURYLGLQJOHVVVLJQDOJDLQWKDQEHDPIRUPLQJWUDQVPLWGLYHUVLW\LVPRUHUREXVWIRUPRELOHXVHUVDVLWGRHVQRWUHTXLUHSULRUNQRZOHGJHRIWKHSDWKFKDUDFWHULVWLFVRIDVXEVFULEHU¶VSDUWLFXODUIUHTXHQF\FKDQQHO2QHVXFK 67& WHFKQLTXHNQRZQDVWKH $ODPRXWL&RGHZDVSXEOLVKHG LQ>@LVLQFRUSRUDWHGLQWKH:L0$;HVWDQGDUG6HFXULW\6HFXULW\ ZDV D NH\ IDLOLQJ RI ROGHU EURDGEDQG ZLUHOHVV V\VWHPV RI WKH SDVW DQ\ QHWZRUN WKDWWUDQVPLWVLWVGDWDDFURVVZLUHOHVVVLJQDOVUDWKHUWKDQZLUHVLVLQKHUHQWO\PRUHRSHQWRLQWHUIHUHQFHLQWUXVLRQRUDVVDXOW7KLVGRHVQRWPHDQVROLGEURDGEDQGZLUHOHVVVHFXULW\LVLPSRVVLEOHMXVWPXFKPRUHGLIILFXOW$VEURDGEDQGZLUHOHVVQHWZRUNVKDYHPDWXUHGVHFXULW\IHDWXUHVKDYHLPSURYHG:LWKWKHDGYHQWRI:L0$;WKHVHFXULW\WRROVHWVDYDLODEOHWREURDGEDQGZLUHOHVVVHUYLFHSURYLGHUVKDYHUHDFKHGKLJKOHYHOVRIIXQFWLRQDOLW\7RGD\¶V:L0$;QHWZRUNVFDQEHVHFXUHGPRUHHIIHFWLYHO\WKDQHYHUEHIRUH:L0$;DQG,(((6HFXULW\6XEOD\HUSURYLGHVIRUSULYDF\DXWKHQWLFDWLRQDQGFRQILGHQWLDOLW\DFURVVWKHEURDGEDQGZLUHOHVVQHWZRUN'HILQHGLQLWLDOO\E\,(((DQGWKHQFRUUHFWHGDQGDPHQGHGE\&RUULJHQGXPDQG,(((HUHVSHFWLYHO\WKH6HFXULW\6XEOD\HUQRZVXSSRUWVIL[HGDQGPRELOHRSHUDWLRQ7KHUH DUH WZR PDMRU GLIIHUHQFHV EHWZHHQ WKH VWDQGDUGV 7KH ILUVW GLIIHUHQFH LV WKDW WKH ,((( VHFXULW\ PHFKDQLVP LV EDVHG RQ WKH '2&6,6 VWDQGDUG ,Q H PDQ\FKDQJHVKDYHEHHQPDGHLQWKHVHFXULW\PHFKDQLVPV7KHVHFRQGGLIIHUHQFHLVLQWKHIOH[LELOLW\RI VXEVFULEHU VWDWLRQ FRQQHFWLRQ FKDUDFWHULVWLFV ZLWK WKH EDVH VWDWLRQ ,(((  RQO\VXSSRUWVIL[HGDFFHVV,QIL[HGDFFHVVDVXEVFULEHUVWDWLRQFDQQRWPLJUDWHWRWKHDLULQWHUIDFHRIDQHZEDVHVWDWLRQZLWKRXWUHSHUIRUPLQJWKHQHWZRUNHQWU\DIWHUDFRQQHFWLRQWHUPLQDWLRQ,(((HVXSSRUWVPRELOHDFFHVV,QPRELOHDFFHVVDVXEVFULEHUVWDWLRQFDQPRYHEHWZHHQEDVHVWDWLRQFHOOVZKLOHPDLQWDLQLQJWKHFRQQHFWLRQ7KHUHDUHILYHSULPDU\DVSHFWVRI:L0$;VHFXULW\WKDWVKRXOGEHFRQVLGHUHGZKHQGHVLJQLQJDVHFXULW\SODQIRUD:L0$;QHWZRUN PLWLJDWLRQWHFKQLTXHVDWWKHSK\VLFDOOD\HU LPSURYHGZLUHOHVVDXWKHQWLFDWLRQ HQFU\SWLRQ LQWUXVLRQSURWHFWLRQ GDWDWUDQVSRUWVHFXULW\&KRLFHVLQLPSOHPHQWDWLRQDQGVHFXULW\OHYHOVFDQEHPDGHDWHDFKOHYHO+RZHYHURSWLRQVDUHOLPLWHGDWWKHSK\VLFDOOD\HU
3URGXFW'HVFULSWLRQ5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY3K\VLFDO/D\HU6HFXULW\7KHUH DUH WZR EDVLF W\SHV RI DWWDFNV WKDW FDQ DIIHFW WKH :L0$; SK\VLFDO OD\HU MDPPLQJ DQGSDFNHWVFUDPEOLQJ7KHILUVWLVUHODWLYHO\VWUDLJKWIRUZDUGDQGLVVRPHWLPHVWKHUHVXOWRILQWHUIHUHQFHUDWKHU WKDQ DQ DWWDFN -DPPLQJ FRQVLVWV RI D VLJQDO VWURQJHU WKDQ WKH :L0$; QHWZRUN VLJQDORYHUZKHOPLQJQHWZRUNGDWDIHHGVHLWKHULQLQWHUPLWWHQWEXUVWVRUZLWKVXVWDLQHGFDUULHUZDYHV0RVW:L0$;QHWZRUNVHUYLFHVDUHGHOLYHUHGRYHUOLFHQVHGEDQGVFXUUHQWO\*+]LQWHUQDWLRQDOO\DQG*+]ERWKLQWHUQDWLRQDOO\DQGLQWKH8QLWHG6WDWHVDQGWKLVRIIHUVVSHFWUXPWKDWLVUHODWLYHO\TXLHWIURPDFFLGHQWDOLQWHUIHUHQFH$FFLGHQWDOLQWHUIHUHQFHLQOLFHQVHGVSHFWUXPFDQQRWDOZD\VEHFRPSOHWHO\GLVFRXQWHGDVWKHUHLVDSRVVLELOLW\RIVHFRQGDQGWKLUGKDUPRQLFLQWHUIHUHQFHZDYHV)RUH[DPSOHVXFKLQWHUIHUHQFHPLJKWDULVHIURPPXFKORZHUIUHTXHQF\VLJQDOVWKDWDUHLQFORVHSUR[LPLW\ WR WKH :L0$; DQWHQQD V\VWHPV RU LI VXFK VLJQDOV FURVV WKH :L0$; VLJQDO LQ FORVHSK\VLFDOSUR[LPLW\DQGORFDOO\RYHUORDGWKH:L0$;VLJQDO,QSUDFWLFHKRZHYHUWKLVLVUDUH3DFNHW VFUDPEOLQJ LV DQ DWWDFN WKDW RFFXUV ZKHQ FRQWURO SDFNHWV LQ WKH GRZQOLQN DQG XSOLQNVXEIUDPHVDUHVQLIIHGVFUDPEOHGDQGUHWXUQHGWRWKHQHWZRUN7KLVDWWDFNLVPXFK KDUGHU WRPRXQWWKDQD MDPPLQJ DWWDFN6LQFHPRVW:L0$; QHWZRUNVWRGD\XVHWLPH GLYLVLRQGXSOH[LQJ7''DQDWWDFNHUFDQSDUVHWKLVWLPLQJVHTXHQFHWRFDSWXUHFRQWUROGDWDSUHDPEOHDQGPDS7KH DWWDFNHU FDQ VFUDPEOH WKLV GDWD DQG VHQG LW EDFN ZLWK WKH FRUUHFW WLPLQJ WR LQWHUUXSW WKHOHJLWLPDWH VLJQDO UHVXOWLQJ LQ VORZGRZQV DQG HIIHFWLYHO\ ORZHUHG EDQGZLGWK ,QWHUFHSWHG DQGVFUDPEOHGSDFNHWVDUHDOVRSRVVLEOH ZLWKIUHTXHQF\GLYLVLRQGXSOH[LQJ)''ZKLFKWUDQVPLWVWKHXSOLQNDQGGRZQOLQNVLPXOWDQHRXVO\+RZHYHULWLVKDUGHUWRH[SORLWWKLVDWWDFNWKDQZLWK7''V\VWHPV:KLOHLWPD\VHHPWKHSK\VLFDOOD\HULVLQKHUHQWO\PRVWYXOQHUDEOHDVWKHVHFXULW\HOHPHQWVRI:L0$;DUHORFDWHGDWKLJKHUOD\HUVWKHIDFWLVKDFNHUVFDQRIWHQILQGXVHIXOH[SORLWVKLJKHULQWKHVWDFN7KLVLVEHFDXVH:L0$;VXSSRUWVPXOWLSOHDXWKHQWLFDWLRQVHOHFWLRQVDQGVRPHWLPHVWKHGRRUFDQEHOHIWRSHQE\WKHVHOHFWHGDXWKHQWLFDWLRQVHWWLQJV$XWKHQWLFDWLRQ7UDGLWLRQDOO\WKHILUVWOHYHORIVHFXULW\DXWKHQWLFDWLRQIRUROGHUEURDGEDQGZLUHOHVVWHFKQRORJLHVKDVEHHQ0$&DXWKHQWLFDWLRQ:L0$;VXSSRUWVWKLVDOWKRXJKSURYLGHUVVKRXOGQRWVHWWOHIRUWKLVPHWKRG0$&DXWKHQWLFDWLRQDOORZHGVHUYLFHSURYLGHUVWRORJSHUPLWWHG0$&GHYLFHDGGUHVVHVDQG DOORZ RQO\ WKRVH DGGUHVVHV WR DFFHVV WKH QHWZRUN +DFNHUV ORQJ DJR ILJXUHG RXW KRZ WRVSRRIWKHVH,IDEDVHVWDWLRQLVQRWVHWXSZLWKDGHTXDWHDXWKHQWLFDWLRQPHDVXUHVDQDWWDFNHUFDQFDSWXUH FRQWURO SDFNHWV DQG SRVH DV D OHJLWLPDWH VXEVFULEHU HYHQZLWKROGHU0$&GHYLFHDXWKHQWLFDWLRQHQDEOHG$VHFRQGQHZHUDQGPXFKEHWWHUFKRLFHHPEUDFHGE\WKH:L1:L1V\VWHPLVWKHEXLOWLQVXSSRUWIRU;GHYLFHFHUWLILFDWHVHPEHGGHGLQWKH([WHQVLEOH$XWKHQWLFDWLRQ3URWRFRO7UDQVSRUW/D\HU6HFXULW\($377/6PHWKRG($377/6LVDGGHGZLWKWKHHVWDQGDUGDQG:L0$;)RUXP7KH ($37/76 DXWKHQWLFDWLRQ PHWKRG DOORZV ERWK WKH VXEVFULEHU DQG WKH EDVH VWDWLRQ WRDXWKHQWLFDWHHDFKRWKHUXVLQJDQ;PHWKRGIRUERWKLQDGGLWLRQWRDVXEVFULEHUDXWKHQWLFDWLRQEDVHGRQZHOONQRZQVXEVFULEHUDXWKHQWLFDWLRQWHFKQLTXHVVXFK3$3DQG06&+$30$&FRQWUROKHDGHUVDUHQHYHUHQFU\SWHGLQ:L0$;+RZHYHUZLWK($3FDUULHUVFDQRSWLRQDOO\FKRRVHWRDXWKHQWLFDWHWKHP7KLVFDSDELOLW\DGGVDQDGGLWLRQDOOD\HURIDXWKHQWLFDWLRQFRQILUPDWLRQ
3URGXFW'HVFULSWLRQ5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY(QFU\SWLRQ7KHILUVWOD\HURIGHIHQVHIRU:L0$;RSHUDWRUVLVWRDXWKHQWLFDWHDOHJLWLPDWHXVHURQLWVQHWZRUN+RZHYHU :L0$; ZLWK LWV H UDWLILFDWLRQ RIIHUV WRSOLQH WRROV IRU GDWD HQFU\SWLRQ 2OGHUZLUHOHVVLWHUDWLRQV XVHG WKH 'DWD (QFU\SWLRQ 6WDQGDUG '(6 ZKLFK UHOLHG RQDELWNH\IRUHQFU\SWLRQ7KLVLVODUJHO\FRQVLGHUHGREVROHWH:L0$;HVXSSRUWV'(6'(6DQGDGGVVXSSRUW IRU WKH $GYDQFHG (QFU\SWLRQ 6WDQGDUG $(6 VXSSRUWLQJ ELW ELW DQG ELWHQFU\SWLRQ NH\V $(6 DOVR PHHWV WKH )HGHUDO ,QIRUPDWLRQ 3URFHVVLQJ 6WDQGDUG ),36 VSHFLILFDWLRQ ZKLFK LV UHTXLUHG E\ QXPHURXV JRYHUQPHQWDO EUDQFKHV 7KLV WHFKQRORJ\ ZKLFKUHTXLUHVGHGLFDWHGSURFHVVRUVZLWKLQEDVHVWDWLRQVLVUREXVWDQGKLJKO\HIIHFWLYH7UDIILFHQFU\SWLRQPD\EHHPSOR\HGSHU6HUYLFH)ORZDQGLVVXEMHFWWRRSHUDWRUSROLF\7KHUHOHYDQFHRIHQFU\SWLRQWRWKHQHWZRUNRSHUDWRUGHSOR\PHQWLVGHEDWDEOH)RUH[DPSOHLQWKHSDVWPDQ\FHOOXODUFDUULHUVIRFXVHGRQDXWKHQWLFDWLRQDQGPRVWO\LJQRUHGHQFU\SWLRQ:KHWKHUWKDWZLOOFKDQJHDVPRELOHVHUYLFHSURYLGHUVUDPSXSPRUHEURDGEDQGDSSOLFDWLRQVLVDQRSHQTXHVWLRQ$XWKHQWLFDWLRQ DQG HQFU\SWLRQ DUH UHVRXUFHLQWHQVLYH WDNHV UHTXLULQJ SURFHVVRU F\FOHV WKDWPD\ DIIHFW V\VWHP SHUIRUPDQFH 7KH 5XJJHG0$; VXEVFULEHU VWDWLRQV DQG EDVH VWDWLRQVRIIORDGWKHVHKHDY\FRPSXWLQJWDVNVIURPWKHKRVWSURFHVVRUWRDVSHFLILFFLUFXLWDYRLGLQJDQ\SHUIRUPDQFHGHJUDGDWLRQGXHWRVXFKSURFHVVLQJ7LPH'LYLVLRQ'XSOH[LQJ7''7KH&3(XVHVWLPHGLYLVLRQGXSOH[LQJ7''WRWUDQVPLWDQGUHFHLYHRQWKHVDPH5)FKDQQHO7KLVLVDQRQFRQWHQWLRQEDVHGPHWKRGIRUSURYLGLQJDQHIILFLHQWDQGSUHGLFWDEOHWZRZD\373RU303FHOOGHSOR\PHQW$OOXSOLQNDQGGRZQOLQNWUDQVPLVVLRQVFKHGXOLQJLVPDQDJHGE\WKHEDVHVWDWLRQ7KHEDVHVWDWLRQVHQGVGDWDWUDIILFWRVXEVFULEHUVSROOVIRUJUDQWUHTXHVWVDQGVHQGVJUDQWDFNQRZOHGJHPHQWVEDVHGRQWKHWRWDORIDOOWUDIILFWRDOOVXEVFULEHUV&RGLQJ5DWH(DFKEXUVWRIGDWDWUDQVPLWWHGRYHUWKHZLUHOHVVLQWHUIDFHLVSDGGHGZLWKUHGXQGDQWLQIRUPDWLRQPDNLQJLWPRUHUHVLVWDQWWRSRWHQWLDORYHUWKHDLUHUURUV7KHFRGLQJUDWHLVWKHUDWLRRIXVHUGDWDWRWKHWRWDOGDWDWUDQVPLWWHGLQFOXGLQJWKHUHGXQGDQWHUURUFRUUHFWLRQGDWD7KHEDVHVWDWLRQVXSSRUWVFRGLQJUDWHVRIDQG0RGXODWLRQ7KHPRGXODWLRQWHFKQLTXHVSHFLILHVKRZWKHGDWDLVFRGHGZLWKLQWKH2)'0$FDUULHUV7KHEDVHVWDWLRQVXSSRUWV436.4XDGDUDWXUH$PSOLWXGH0RGXODWLRQ4$0DQG4$0PRGXODWLRQV&RQYROXWLRQ7XUER&RGLQJ&RUUHFWLRQ&RQYROXWLRQ&RGLQJ&&HUURUFRUUHFWLRQLVHQDEOHGIRUDOOWUDIILFUDWHV7KLVORZOHYHOSURFHVVFDQFRUUHFWEXUVWVRIHUURUVLQUHFHLYHGPHVVDJHVDQGUHGXFHWKHQXPEHURIUHWUDQVPLVVLRQV
3URGXFW'HVFULSWLRQ5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY'HSOR\PHQW0RGHOV7KH&3(VXSSRUWVSRLQWWRSRLQW373DQGSRLQWWRPXOWLSRLQW303GHSOR\PHQWVFHQDULRV373'HSOR\PHQW:KHQGHSOR\HGLQD373FRQILJXUDWLRQWKHEDVHVWDWLRQHVWDEOLVKHVDGHGLFDWHGELGLUHFWLRQDOOLQNWRDVLQJOHVXEVFULEHU373GHSOR\PHQWVW\SLFDOO\XVHDGLUHFWLRQDOQDUURZEHDPDQWHQQDIRUERWKHQGVRIWKHOLQN303'HSOR\PHQW:KHQGHSOR\HGLQD303FRQILJXUDWLRQWKHEDVHVWDWLRQHVWDEOLVKHVELGLUHFWLRQDOOLQNVWRPRUHWKDQRQHVXEVFULEHU303GHSOR\PHQWVW\SLFDOO\XVHDZLGHEHDPVHFWRUDQWHQQDDWWKHEDVHVWDWLRQDQGDQDUURZEHDPDQWHQQDDWWKHVXEVFULEHU6HUYLFHIORZVDUHXVHGWRSROLFHVHUYLFHOHYHODJUHHPHQWVIRUHDFKVXEVFULEHU1RQ/LQHRI6LJKW7KH:L1:L1SURGXFWIDPLO\VXSSRUWVOLQHRIVLJKW/26DQGQRQOLQHRIVLJKW1/26RSHUDWLRQ$FOHDU/26OLQNKDVQRREVWDFOHVZLWKLQRIWKHILUVW)UHVQHO]RQHRIWKHGLUHFWSDWK$ZLUHOHVVOLQNLVFRQVLGHUHGQRQ/26LIQDWXUDORUPDQPDGHVWUXFWXUHVEORFNWKHYLVLEOHSDWKEHWZHHQWKHEDVHVWDWLRQDQGWKHVXEVFULEHU,QWKLVFDVHDZLUHOHVVOLQNFDQEHHVWDEOLVKHGRQO\LIDUHIOHFWLYHSDWKFDQEHHVWDEOLVKHGEHWZHHQWKHEDVHVWDWLRQDQGVXEVFULEHU&KDQQHOL]DWLRQ7KH&3(LVDIUHTXHQF\VSHFLILFV\VWHPZLWKWKHIUHTXHQF\EDQGGHILQHGE\WKH3+<XQLW7KHXVHRIWKHRSHUDWLQJEDQGPXVWEHLQDFFRUGDQFHZLWKORFDOUHJXODWLRQUHTXLUHPHQWV7KH &3( GLYLGHV WKH DYDLODEOH IUHTXHQF\ EDQG LQWR FKDQQHOV $OORFDWLRQ RI FKDQQHOV GXULQJGHSOR\PHQW LV GHSHQGHQW RQ VSHFWUXP DYDLODELOLW\ LQ WKH OLFHQVHG EDQG DQG ORFDO OLFHQVLQJUHTXLUHPHQWV DQG FRQGLWLRQV &KDQQHO VHOHFWLRQ DOORZV SODQQHUV WR REWDLQ WKH PD[LPXPJHRJUDSKLFFRYHUDJHZKLOHDYRLGLQJIUHTXHQF\FRQWHQWLRQLQDGMDFHQWVHFWRUV
3URGXFW'HVFULSWLRQ5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY6HUYLFH)ORZV6HUYLFHIORZVDUHDNH\IHDWXUHRIWKHHVWDQGDUG$VHUYLFHIORZUHSUHVHQWVDXQLGLUHFWLRQDOGDWDIORZKDYLQJVHSDUDWH4XDOLW\RI6HUYLFH4R6VHWWLQJVIRUXSOLQNDQGGRZQOLQN6HUYLFHIORZVSURYLGHWKHDELOLW\WRVHWXSPXOWLSOHFRQQHFWLRQVWRHDFKVXEVFULEHULQDVHFWRU6HSDUDWH VHUYLFH IORZV FDQ EH HVWDEOLVKHG IRU XSOLQN DQG GRZQOLQN WUDIILF ZKHUH HDFK VHUYLFHIORZLVDVVLJQHGDXQLTXHVHUYLFHOHYHOFDWHJRU\DQGVHSDUDWH4R6VHWWLQJV7KLVIHDWXUHDOORZVVHJUHJDWLRQRIKLJKVSHHGKLJKSULRULW\WUDIILFIURPOHVVWLPHFULWLFDOIORZV6HUYLFH)ORZ&ODVVLILFDWLRQ'DWD SDFNHWV DUH IRUZDUGHG EDVHG RQ FODVVLILFDWLRQ UXOHV &ODVVLILFDWLRQ UXOHV H[DPLQH HDFKSDFNHWIRUSDWWHUQPDWFKHVVXFKDVGHVWLQDWLRQDGGUHVVVRXUFHDGGUHVV,3726RU9/$1WDJ$OOFODVVLILFDWLRQLVGHILQHGDWWKHEDVHVWDWLRQDQGWKHFODVVLILFDWLRQSDUDPHWHUVDUHGRZQORDGHGWRWKHVXEVFULEHU'HIDXOW6HUYLFH)ORZV'HIDXOWXSOLQNDQGGRZQOLQNVHUYLFHIORZVDUHFUHDWHGDXWRPDWLFDOO\IRUHDFKUHJLVWHUHGVXEVFULEHU7KHVHVHUYLFHIORZVDUHXVHGWRSDVVDOOWUDIILFQRWPDWFKLQJDQ\XVHUGHILQHGVHUYLFHIORZVXFKDVEURDGFDVW$53EHWZHHQWKHEDVHVWDWLRQDQGVXEVFULEHUV7KHGHIDXOWVHUYLFHIORZFDSDFLW\LVOLPLWHGIRUHDFKVXEVFULEHU6FKHGXOLQJ7KH EDVH VWDWLRQ HQIRUFHV 4R6 VHWWLQJV IRU HDFK VHUYLFH IORZ E\ FRQWUROOLQJ DOO XSOLQN DQGGRZQOLQNWUDIILFVFKHGXOLQJ7KLVSURYLGHVDQRQFRQWHQWLRQEDVHGWUDIILFPRGHOZLWKSUHGLFWDEOHWUDQVPLVVLRQFKDUDFWHULVWLFV%\DQDO\]LQJWKHWRWDORIDOOUHTXHVWVIURPDOOVXEVFULEHUVWKHEDVHVWDWLRQHQVXUHVWKDWXSOLQNDQGGRZQOLQNWUDIILFFRQIRUPVWRWKHFXUUHQWVHUYLFHOHYHODJUHHPHQWV6/$V &HQWUDOL]HG VFKHGXOLQJ LQFUHDVHV SUHGLFWDELOLW\ RI WUDIILF HOLPLQDWHV FRQWHQWLRQ DQGSURYLGHVWKHPD[LPXPRSSRUWXQLW\IRUUHGXFLQJRYHUKHDG$UHJXODUSHULRGLVVFKHGXOHGIRUVXEVFULEHUVWRUHJLVWHUZLWKWKHEDVHVWDWLRQ7KHVHVXEVFULEHUVPD\EH QHZO\FRPPLVVLRQHGRUKDYHEHHQGHUHJLVWHUHGGXHWRVHUYLFHRXWDJH RULQWHUIHUHQFHRQ WKH ZLUHOHVV LQWHUIDFH 7KLV LV WKH RQO\ RSSRUWXQLW\ IRU PXOWLSOH VXEVFULEHUV WR WUDQVPLWVLPXOWDQHRXVO\5HDO7LPH3ROOLQJ6HUYLFHUW367KH EDVH VWDWLRQ VFKHGXOHV D FRQWLQXRXV UHJXODU VHULHV RI WUDQVPLW RSSRUWXQLWLHV IRU WKHVXEVFULEHU WR VHQG YDULDEOH VL]H GDWD SDFNHWV 7KH JUDQW VL]H LV EDVHG RQ WKH FXUUHQW GDWDWUDQVIHUUHTXLUHPHQW7\SLFDODSSOLFDWLRQVLQFOXGHVWUHDPLQJ03(*YLGHRRU92,3ZLWKVLOHQFHVXSSUHVVLRQ7KLVLVHIILFLHQWIRUDSSOLFDWLRQVWKDWKDYHDUHDOWLPHFRPSRQHQWDQGFRQWLQXRXVO\FKDQJLQJEDQGZLGWKUHTXLUHPHQWV([WHQGHG5HDO7LPH3ROOLQJ6HUYLFHHUW367KHEDVHVWDWLRQVFKHGXOHVDFRQWLQXRXVVHULHVRIWUDQVPLWRSSRUWXQLWLHVIRUWKHVXEVFULEHUWRVHQGYDULDEOHVL]HGDWDSDFNHWV7KLVVFKHGXOHVXSSRUWVUHDOWLPHDSSOLFDWLRQVLQFOXGLQJ9R,3ZLWKVLOHQFHVXSSUHVVLRQ7KHG\QDPLFDOO\VFKHGXOHGJUDQWVJXDUDQWHHUHVHUYHGEDQGZLGWKDQGUHGXFHODWHQF\LQWURGXFHGE\UHSHWLWLYHJUDQWUHTXHVWV7KHVHUYLFHIORZZLOOQRWWUDQVPLWSDFNHWVODUJHUWKDQWKHQRPLQDOJUDQWLQWHUYDO
3URGXFW'HVFULSWLRQ5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY1RQ5HDO7LPH3ROOLQJ6HUYLFHQUW367KHEDVHVWDWLRQVFKHGXOHVUHJXODUWUDQVPLWRSSRUWXQLWLHVIRUWKHVXEVFULEHUWRVHQGYDULDEOHVL]H GDWD SDFNHWV 7\SLFDO DSSOLFDWLRQV LQFOXGH KLJK EDQGZLGWK )73 7KH SROOLQJ SHULRG LVW\SLFDOO\EHRQHVHFRQGRUOHVVHYHQGXULQJSHULRGVRIQHWZRUNFRQJHVWLRQ%HVW(IIRUW%(7KHEDVHVWDWLRQVFKHGXOHVWUDQVPLWRSSRUWXQLWLHVIRUWKHVXEVFULEHUWRVHQGWUDIILFEDVHGRQXQXVHGEDQGZLGWKDIWHU DOOKLJKHUOHYHOWUDIILF VFKHGXOLQJUHTXLUHPHQWVDUHVHUYLFHG 7\SLFDODSSOLFDWLRQV LQFOXGH ,QWHUQHW DFFHVV DQG HPDLO %HVW HIIRUW VHUYLFH IORZV FDQ EH DVVLJQHG DSULRULW\RIWR8QVROLFLWHG*UDQW6HUYLFH8*67KH EDVH VWDWLRQ VFKHGXOHV D FRQWLQXRXV VHULHV RI WUDQVPLW RSSRUWXQLWLHV IRU WKH VXEVFULEHUWRVHQGIL[HGVL]HGDWDSDFNHWV7KLVVFKHGXOHVXSSRUWVUHDOWLPHDSSOLFDWLRQVLQFOXGLQJ9R,3RU7'0WUDQVSRUW7KH8*6SUHVFKHGXOHGJUDQWVJXDUDQWHHUHVHUYHGEDQGZLGWKDQGUHGXFHODWHQF\LQWURGXFHGE\UHSHWLWLYHJUDQWUHTXHVWV7KHVHUYLFHIORZZLOOQRWWUDQVPLWSDFNHWVODUJHUWKDQWKHQRPLQDOJUDQWLQWHUYDO
3URGXFW'HVFULSWLRQ5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY3K\VLFDO'HVFULSWLRQ'LPHQVLRQV+î:î'ZLWKRXWDQWHQQDFPîFPîFP:HLJKW.J)LJXUH:L1*HQHUDO9LHZ)LJXUH:L17RS9LHZ
3URGXFW'HVFULSWLRQ5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY&RQQHFWRUVDQG/(',QGLFDWRUV&RQQHFWRUVDQG/('LQGLFDWRUVDUHIRXQGRQWKHERWWRPRIWKH&3(FDVLQJ:L1&RQQHFWRUV$&9HUVLRQ)LJXUH:L1&RQQHFWRUV$&9HUVLRQ1DPH 'HVFULSWLRQ &RQQHFWRU7\SH(7+3:5 'DWDDQGSRZHUIURP3R(LQMHFWRU 5-*URXQG *URXQGLQJVFUHZ$17 $QWHQQD 5)$17 $QWHQQD 5)7DEOH:L1&RQQHFWRUV$&9HUVLRQ
3URGXFW'HVFULSWLRQ5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY:L1&RQQHFWRUV'&9HUVLRQ)LJXUH:L1&RQQHFWRUV'&9HUVLRQ1DPH 'HVFULSWLRQ &RQQHFWRU7\SH(7+3:5 (WKHUQHWGDWDFRQQHFWLRQRQO\ 5-*URXQG *URXQGLQJVFUHZ$17 $QWHQQD 5)$17 $QWHQQD 5)'& '&LQSXW9'&WR9'& SLQFRQQHFWRU7DEOH:L1&RQQHFWRUV'&9HUVLRQ
3URGXFW'HVFULSWLRQ5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY:L1&RQQHFWRUV)LJXUH:L1&RQQHFWRUV1DPH 'HVFULSWLRQ &RQQHFWRU7\SH(7+3:5 'DWDDQGSRZHUIURP3R(LQMHFWRU 5-*URXQG *URXQGLQJVFUHZ7DEOH:L1&RQQHFWRUV/(',QGLFDWRUV7KH/('LQGLFDWRUVDWWKHERWWRPRIWKH&3(FDVLQJGLVSOD\WKHIROORZLQJLQIRUPDWLRQ 566,GLVSOD\VWKH566,OHYHO :/1.GLVSOD\VWKHZLUHOHVVOLQNLQGLFDWLRQ 3:5GLVSOD\VWKHSRZHUVWDWXV/(' &RORU 'HVFULSWLRQ:/1.LV21 *UHHQ&3(LVFRQQHFWHGZLWKDQGUHFHLYHVVHUYLFHVIURPWKHEDVHVWDWLRQQHWZRUNHQWU\LVFRPSOHWH:/1.LV%/,1.,1* *UHHQ /LQNEHWZHHQ&3(DQGEDVHVWDWLRQLVGRZQ3:5LV21 *UHHQ &3(SRZHULVJRRG566,RQH/('LV21OHDVWVLJQLILFDQW *UHHQ G%615G%566,WZR/('VDUH21 *UHHQ G%615G%566,WKUHH/('VDUH21 *UHHQ G%615G%566,IRXU/('VDUH21 *UHHQ G%615G%566,ILYH/('VDUH21 *UHHQ 615G%DQG566,G%P566,VL[/('VDUH21 *UHHQ 615G%DQG566,G%P566,VHYHQ/('VDUH21 *UHHQ 615G%DQG566,G%P566,HLJKW/('VDUH21 /('V*UHHQ/('5HG 615G%DQG566,G%P566,RQO\WKHODVW/('LV21PRVWVLJQLILFDQW 5HG 566,G%PVDWXUDWLRQ7DEOH&3(/(',QGLFDWRUV
0RXQWLQJ5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY0RXQWLQJ7KH:L1:L12'8&3(PRXQWLQJNLWDOORZVIRUSROHRUZDOOPRXQWLQJ:KHQFKRRVLQJWKHPRXQWLQJORFDWLRQIRUWKHXQLWFRQVLGHUWKHDYDLODEOHPRXQWLQJVWUXFWXUHVDQGDQWHQQDFOHDUDQFH6LWH6XUYH\0RVW ZLUHOHVV QHWZRUNV LQFOXGH PDQ\ &3(V DQG %67V LQVWDOOHG LQ YDULRXV ORFDWLRQV LQ DQRYHUODSSLQJ UDGLRFHOO SDWWHUQ ,W LV LPSRUWDQW WR SRVLWLRQ HDFK &3( DW DQ RSWLPDO ORFDWLRQFRQVLGHULQJWKHDVVLJQPHQWRILWVUDGLRFKDQQHOV7KHUHIRUHDVLWHVXUYH\EHFRPHVDQHVVHQWLDOILUVWVWHSEHIRUHSK\VLFDOO\GHSOR\LQJWKH:L1:L1VROXWLRQ,QVWDOODWLRQRIWKH&3(VUHTXLUHVDEDFNKDXOFRQQHFWLRQWRLQWHUIDFHZLWKWKHFRUSRUDWHQHWZRUNRU,QWHUQHW7KHEDFNKDXOFRQQHFWLRQFDQEHDQ(WKHUQHWZLUHGFRQQHFWLRQDZLUHOHVV±FRQQHFWLRQRUDWKLUGSDUW\VROXWLRQ7KHVLWHVXUYH\VKRXOGLQFOXGHDGHWDLOHGSODQQLQJRIWKH:L0$;V\VWHPGHSOR\PHQW7KHV\VWHPGHSOR\PHQWSODQVKRXOGLQFOXGHPRXQWLQJSRLQWVDQGWKHURXWHVIRUWKHSRZHUDQGEDFNKDXOFDEOHV5HFRPPHQGHG6LWH5HTXLUHPHQWV,WLVKLJKO\UHFRPPHQGHGWKDWWKH:L1:L1&3(VEHPRXQWHGQHDUWKHHGJHRIWKHURRIRIDWDOOEXLOGLQJ7KH&3(VVKRXOGEHSRLQWHGLQWKHGLUHFWLRQRIWKHDUHDWREHFRYHUHG7RSURYLGHPD[LPXPFRYHUDJHPXOWLSOH&3(VFDQEHLQVWDOOHGRQWKHVDPHURRIWRS7RSUHYHQWLQWHUIHUHQFHEHWZHHQWKHXQLWVWKHPVHOYHVLWLVLPSRUWDQWWROHDYHVRPHGLVWDQFHEHWZHHQHDFKXQLW:KHQFKRRVLQJWKHLGHDOORFDWLRQLWLVDOVRLPSRUWDQWWRWDNHLQWRFRQVLGHUDWLRQWKHRYHUDOODUHDWRSRORJ\3ROH0RXQWLQJ<RXFDQDWWDFKWKH:L1DQG:L1WRDQ\SLSHRUSROHZLWKDGLDPHWHURIWR:DOO0RXQWLQJ<RXFDQDWWDFKWKH:L1DQG:L1WRDQ\ZDOOFDSDEOHRIFDUU\LQJWKHZHLJKWRIWKHXQLW$QRXWHUZDOORQDURRIRURWKHUKLJKORFDWLRQWRDYRLGLQWHUIHUHQFHIURPRWKHUEXLOGLQJVRUWUHHVLVSUHIHUUHG
,QVWDOODWLRQ3URFHGXUH5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY,QVWDOODWLRQ3URFHGXUH6DIHW\+D]DUGV,QVWDOOLQJWKH:L1:L12'8&3(VFDQSRVHDVHULRXVKD]DUG%HVXUHWRWDNHSUHFDXWLRQVWRDYRLGWKHIROORZLQJ ([SRVXUHWRKLJKYROWDJHOLQHVGXULQJLQVWDOODWLRQ )DOOVZKHQZRUNLQJDWKHLJKWVRUZLWKODGGHUV ,QMXULHVIURPGURSSLQJWRROV &RQWDFWZLWK$&ZLULQJ)RU:L1:L1:L1:L1LQVWDOODQWHQQDDOZD\VDWGLVWDQFHDWOHDVWPIURPWKHSHRSOHDQGSXEOLFDUHD)RURWKHUPRGHOVLQVWDOODQWHQQDDOZD\VDWGLVWDQFHDWOHDVWPIURPWKHSHRSOHDQGSXEOLFDUHD$QWHQQDPXVWEHLQDIL[HGSRVLWLRQ$QWHQQDSRVLWLRQLVQRWDOORZHGWREHFKDQJHG5HTXLUHG,QVWDOODWLRQ7RROV )ODWVFUHZGULYHU :UHQFKRUVRFNHWVHW 'ULOO 5-FRQQHFWRUFULPSLQJWRRO5HTXLUHG&DEOHV ,'8WR2'8&DWHJRU\H(WKHUQHWFDEOHPD[LPXPPDQGWZR5-SOXJFRQQHFWRUV *URXQGFDEOHZLWKDQDSSURSULDWHWHUPLQDWLRQ
,QVWDOODWLRQ3URFHGXUH5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY3ROH0RXQW,QVWDOODWLRQ7RSROHPRXQWWKHXQLWILUVWDWWDFKWKHSROHPRXQWEDQGFODPSVWRWKH&3(DQGWKHQPRXQWWKH&3(WRWKHSROH7KHLOOXVWUDWLRQVEHORZVKRZWKH:L1ZLWKLQWHJUDWHGDQWHQQD7KHLQVWDOODWLRQSURFHGXUHIRUWKH:L1LVWKHVDPH3URFHGXUH3ROH0RXQWLQJWKH8QLW 6HOHFWDPRXQWLQJORFDWLRQRQWKHSROH 2SHQWKHSROHPRXQW EDQGFODPSVDQGLQVHUW WKH EDQGVLQWRWKHVORWV RQ WKHEDFNRIWKH&3(FDVLQJ)LJXUH3ROH0RXQWLQJ /RFDWHWKH&3(RQWKHSROHDQGORRSHDFKEDQGFODPSDURXQGWKHSROH $VVHPEOHDQGWLJKWHQHDFKEDQGFODPS)LJXUH:L13ROH0RXQWHG
,QVWDOODWLRQ3URFHGXUH5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY:DOO0RXQW,QVWDOODWLRQ7RZDOOPRXQWWKHXQLWILUVWPRXQWWKHZDOOPRXQWEUDFNHWWRWKHZDOODQGWKHQPRXQWWKH&3(WRWKHEUDFNHW7KHLOOXVWUDWLRQVEHORZVKRZWKH:L1ZLWKLQWHJUDWHGDQWHQQD7KHLQVWDOODWLRQSURFHGXUHIRUWKH:L1LVWKHVDPH,WHP 4XDQWLW\ 'HVFULSWLRQ  68H7RS$VVHPEO\  68H:DOO0RXQW%UDFNHW  6FUHZ)ODWKHDG'(*î  3KLOOLSV)DVWHQHU  :DVKHU)ODW1&  :DVKHU6SULQJ1&  6FUHZ1&îKH[7DEOH:DOO0RXQW3DUWV/LVW)LJXUH:DOO0RXQW5HDU9LHZ )LJXUH:DOO0RXQW)URQW9LHZ3URFHGXUH:DOO0RXQWLQJ 6HOHFWDPRXQWLQJORFDWLRQRQWKHZDOO 3ODFHWKHZDOOPRXQWLQJEUDFNHWRQWKHZDOODQGPDUNPRXQWLQJKROHV 'ULOOKROHVDQGLQVHUWW\SH1&IDVWHQLQJLQVHUWVLQWRWKHKROHV 6HFXUHWKHPRXQWLQJEUDFNHWWRWKHZDOOZLWKW\SH16î+(;VFUHZVVSULQJZDVKHUVDQGIODWZDVKHUV 6HFXUHWKH&3(WRWKHPRXQWLQJEUDFNHWZLWKW\SH1&î+(;VFUHZVVSULQJZDVKHUVDQGIODWZDVKHUV
,QVWDOODWLRQ3URFHGXUH5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY$OLJQLQJWKH&3($QWHQQD)RU LQIRUPDWLRQ RQ WKH ORFDWLRQ RI DQG KRZ WR UHDG WKH 566, /(' LQGLFDWRUV VHH6HFWLRQ³/(',QGLFDWRUV´3URFHGXUH$OLJQLQJWKH&3($QWHQQD 3RLQWWKHDQWHQQDWRZDUGVWKHJHQHUDOGLUHFWLRQRIWKHEDVHVWDWLRQ 9HULI\WKDWSRZHULVDSSOLHGWRWKH&3(7KH3:5/('VKRXOGEH21 9HULI\WKDWDWOHDVWRQHJUHHQ566,/('LV21LQGLFDWLQJWKDWWKH&3(LVV\QFKURQL]HGZLWKWKHEDVHVWDWLRQ,IWKH&3(LVQRWV\QFKURQL]HGZLWKWKHEDVHVWDWLRQHQVXUHWKDWDOOSDUDPHWHUVDUHFRQILJXUHGSURSHUO\,IWKH&3(LVVWLOOQRWV\QFKURQL]HGZLWKWKHEDVHVWDWLRQLPSURYHOLQNTXDOLW\E\FKDQJLQJWKH GLUHFWLRQRIWKHDQWHQQDRUE\SODFLQJWKH&3( DWDKLJKHURUDOWHUQDWHORFDWLRQ 5RWDWHWKH&3(XQWLOWKHPD[LPXP566,OLQNTXDOLW\UHDGLQJLVDFKLHYHG,I\RXHQFRXQWHUSURORQJHGGLIILFXOW\LQDFKLHYLQJWKHH[SHFWHGOLQNTXDOLW\WU\WRLPSURYHWKHUHFHSWLRQTXDOLW\E\SODFLQJWKH&3(DWDKLJKHUSRLQWRULQDQDOWHUQDWHORFDWLRQ(QVXUHWKDWWKHIURQWRIWKHDQWHQQDLVDOZD\VIDFLQJWKHEDVHVWDWLRQ,QVRPHFRQGLWLRQVVXFKDVZKHQWKHOLQHRIVLJKWWRWKHEDVHVWDWLRQLVLPSHGHGEHWWHUUHFHSWLRQPD\EHDFKLHYHGXVLQJDUHIOHFWHGVLJQDO,QWKLVFDVHGLUHFWWKHDQWHQQDWRZDUGVWKHUHIOHFWLQJREMHFWUDWKHUWKDQWRZDUGVWKHEDVHVWDWLRQ,QVRPHFDVHVWKHDQWHQQDPD\QHHGWREHWLOWHGWRHQVXUHWKDWWKHOHYHODWZKLFKWKH &3( UHFHLYHV WUDQVPLVVLRQV IURP WKH EDVH VWDWLRQ DQG YLFH YHUVD LV QRWWRRKLJK:KHQRQO\WKHODVW566,/('LVRQWKLVLQGLFDWHVVDWXUDWLRQDQGWKDWWKHUHFHLYHGVLJQDOOHYHOLVWRRKLJK7KLVPXVWEHDYRLGHGSUHIHUDEO\E\WLOWLQJWKHDQWHQQDXSZDUGV$VDUXOHRIWKXPELIWKH&3(LVORFDWHGDWDGLVWDQFHRIOHVVWKDQPHWHUVIURPWKHEDVHVWDWLRQLWLVUHFRPPHQGHGWRWLOWWKHDQWHQQDXSZDUGVE\DSSUR[LPDWHO\WR
,QVWDOODWLRQ3URFHGXUH5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY&DEOH&RQQHFWLRQV:HDWKHUSURRILQJ,W LV H[WUHPHO\ LPSRUWDQW WR ZHDWKHUSURRI DOO RXWGRRU FDEOH FRQQHFWLRQV :HDWKHUSURRILQJ WKHFRQQHFWLRQVDWWKHRXWGRRUXQLWDQGDQWHQQDVSUHYHQWVFRUURVLRQSUHYHQWVZDWHUIURPLQWHUIHULQJZLWKWKHFRQQHFWLRQDQGKHOSVWRNHHSWKHFRQQHFWLRQWLJKW%HFDXVHFDEOHVDOVRFDUU\'&FXUUHQWWKHQHHGIRUSURSHUZHDWKHUSURRILQJFDQQRWEHRYHUVWDWHG:HUHFRPPHQGWKHXVHRIVHDOLQJWDSHVGHVLJQHGIRURXWGRRUXVH 06FRWFK6XSHU(OHFWULFDO7DSH +HDY\GXW\ZHDWKHUDEUDVLRQDQG 89UHVLVWDQW UXEEHUVSOLFLQJWDSHRUVHOIDPDOJDPDWLQJWDSH5XEEHUPDVWLFSXWW\ RU GXFWVHDOLQJSXWW\PXVW DOVREHXVHGWR FRPSOHWHWKHZHDWKHUSURRILQJZKHUHQHHGHG:HGRQRWUHFRPPHQGVLOLFRQVHDORUJOXH7KHVHPDWHULDOVDUHGLIILFXOWWRDSSO\DFFXUDWHO\DQGDUHGLIILFXOWWRUHPRYH'RQRWXVH39&WDSH:HDWKHUSURRILQJ&DEOH&RQQHFWLRQV0RVWRXWGRRUXQLWDQWHQQDRUFDEOHSUREOHPVDUHFDXVHGE\FRD[LDOFDEOHFRQQHFWLRQVORRVHQHGE\ YLEUDWLRQ DOORZLQJ PRLVWXUH WR SHQHWUDWH WKH FRQQHFWRU LQWHUIDFH :H UHFRPPHQG WKDW DOORXWGRRU XQLWWRFDEOH FRQQHFWLRQV EH ZHDWKHUSURRIHG XVLQJ D SURFHGXUH VLPLODU WR WKH RQHGHVFULEHGEHORZ7KLVPHWKRGRIZHDWKHUSURRILQJPXVWEHFRPSOHWHGRQDOOH[WHUQDOFRQQHFWLRQV,IVXUJHDUUHVWRUVDUHXVHGDOOWKHDVVRFLDWHGFRQQHFWLRQVDQGDUUHVWRUVPXVWEHFRPSOHWHO\ZUDSSHGZLWKVSOLFLQJWDSHRUVHOIDPDOJDPDWLQJWDSH%HIRUH ZDWHUSURRILQJ HQVXUH DOO FRQQHFWRUV DUH FRUUHFWO\ WLJKWHQHG (QVXUH WKHFRQQHFWRU DQG FDEOHV DUH IUHH RI IRUHLJQ VXEVWDQFHV VXFK DV RLO ZDWHU JUHDVHDQGGLUW(QVXUHWKDWWKHFDEOHH[WHQGVEHORZWKHFRQQHFWRUWRZKLFKLWLVDWWDFKHGSURYLGLQJDSDWKIRUZDWHUWRIROORZDZD\IURPWKHFRQQHFWHGGHYLFH3URFHGXUH:HDWKHUSURRILQJ&DEOH&RQQHFWRUV %HJLQWRZUDSWKHUXEEHUVSOLFLQJRUVHOIDPDOJDPDWLQJWDSH6WDUWDVFORVHWRWKHHTXLSPHQWERG\DVSRVVLEOH6WUHWFKDQGZLQGWKHWDSHDURXQGWKHFRQQHFWRUKRXVLQJHQVXULQJWKHUHDUHQRJDSVLQWKHWDSH
,QVWDOODWLRQ3URFHGXUH5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY)LJXUH:UDSSLQJWKH&RQQHFWRUZLWK5XEEHUVSOLFLQJRU6HOIDPDOJDPDWLQJ7DSH 7LJKWO\ZUDSWKHFRQQHFWRUDQGWKHFDEOH2YHUODSWKHWDSHZLWKRXWJDSVDOOWKHZD\DORQJWKHFRQQHFWRU&RQWLQXHZUDSSLQJWKHWDSHPPRQWRWKHFDEOH)LJXUH:UDSSLQJWKH&DEOHZLWK5XEEHUVSOLFLQJRU6HOIDPDOJDPDWLQJ7DSH )RU89SURWHFWLRQRIWKHUXEEHUVSOLFLQJWDSHZUDSWZROD\HUVRIHOHFWULFDOWDSHRQWRSRIWKHUXEEHUVSOLFLQJWDSH)LJXUH:UDSSLQJWKH&RQQHFWRUZLWK(OHFWULFDO7DSH :RUNPDVWLFSXWW\RUGXFWVHDOLQJSXWW\EHWZHHQWKHFRQQHFWRUDQGWKHERG\RIWKHUDGLRRUDQWHQQD(QVXUHWKHSXWW\ILOOVDQ\JDSVQRWFRYHUHGE\WKHWDSH
,QVWDOODWLRQ3URFHGXUH5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY)LJXUH6HDOLQJ*DSVZLWK3XWW\$VVHPEOLQJWKH5-&RQQHFWRU7KH2'8&3(XVHVDPDOHVKLHOGHG5-FRQQHFWRUWRSURYLGHWKHGDWDDQG3RZHURYHU(WKHUQHW3R(FRQQHFWLRQWRWKHGHYLFH7RDVVHPEOHWKH5-FRQQHFWRUIROORZWKHLQVWUXFWLRQVLQWKLVVHFWLRQ%HIRUHEHJLQQLQJ\RXZLOOQHHGWKHIROORZLQJLWHPV &3(5-&RQQHFWRU.LW &DWHJRU\HFDEOHRIVXLWDEOHOHQJWKIRU\RXUDSSOLFDWLRQ 6WDQGDUGFDEOHVSOLFLQJWRROVLQFOXGLQJDVWDQGDUGFULPSWRRO3URFHGXUH$VVHPEOLQJWKH&3(5-&RQQHFWRU 6OLGHWKHFRQQHFWRUSDUWVRQWRWKHHQGRIWKHFDEOHDVVKRZQLQ)LJXUH³5-&RQQHFWRU&RPSRQHQWVDQG&DEOH´)LJXUH5-&RQQHFWRU&RPSRQHQWVDQG&DEOH 5HIHUWR)LJXUH³3UHSDULQJWKH&3(&DEOH´ 6WULSDWOHDVWPPLQFKRIVKHDWKLQJIURPWKHHQGRIWKHFDEOH 3XOOEDFNWKHFDEOHEUDLGLQJ 5HPRYHWKHLQQHUMDFNHWDQGIRLOOHDYLQJPPLQFKRILQQHUMDFNHWDQGIRLO )DQWKHSDLUVLQWRSURSHUFRORUFRGHDQGWULPWKHFRQGXFWRUVOHDYLQJPPLQFKH[WHQGLQJIURPWKHLQQHUMDFNHW
,QVWDOODWLRQ3URFHGXUH5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY)LJXUH3UHSDULQJWKH&3(&DEOH )RUPWKHEUDLGLQJLQWRWZRSLJWDLOV7KHVWULSSHGFDEOHVKRXOGDSSHDUDVVKRZQLQ)LJXUH³&3(&DEOH6KHDWKLQJ´)LJXUH&3(&DEOH6KHDWKLQJ 3ODFHWKHPRGXODU SOXJ RYHUWKHZLUHHQGV PDNLQJVXUHWRPDLQWDLQ WKHSLQDUUDQJHPHQWVKRZQLQ)LJXUH³(WKHUQHW3RUW3LQRXW´DQG7DEOH³(WKHUQHW3RUW3LQRXW´)LJXUH(WKHUQHW3RUW3LQRXW3LQ1XPEHU 'HVFULSWLRQ (7+'DWD 73 (7+'DWD 73 (7+'DWD 739 739 73 (7+'DWD 73 571 73 571 737DEOH(WKHUQHW3RUW3LQRXW
,QVWDOODWLRQ3URFHGXUH5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY 5HIHUWR)LJXUH³0RGXODU3OXJ$VVHPEO\´,QVHUWWKHFDEOHDOOWKHZD\LQWRWKHPRGXODUSOXJFDVHLQFOXGLQJWKHLQQHUMDFNHWDQGIRLO7KHLQQHUMDFNHWVKRXOGEHGLUHFWO\XQGHUWKHSOXJVVWUDLQUHOLHIWDE)LJXUH0RGXODU3OXJ$VVHPEO\ 5HIHU WR )LJXUH  ³&ULPSLQJ WKH &RQQHFWRU´ 8VH D VWDQGDUG FULPS WRRO WR VHFXUH WKHPRGXODUSOXJDVVHPEO\WRWKHFDEOH)LJXUH&ULPSLQJWKH&RQQHFWRU &XWWKHEUDLGSLJWDLOVDVFORVHWRWKHEDFNRIWKHSOXJDVSRVVLEOH 6OLGHWKHSOXJKRXVLQJXSWKHFDEOHDQGDOLJQZLWKWKHPRGXODUSOXJ 5HIHUWR)LJXUH³$VVHPEO\RI&RQQHFWRU&RPSRQHQWV´ ,QVHUWWKHPRGXODUSOXJLQWRWKHSOXJKRXVLQJ $OLJQWKHODWFKZLWKWKH/$7&+VORW 3UHVVWKHPRGXODUSOXJLQWRWKHSOXJKRXVLQJXQWLOLWERWWRPVRXW
,QVWDOODWLRQ3URFHGXUH5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY)LJXUH$VVHPEO\RI&RQQHFWRU&RPSRQHQWV 5HIHUWR)LJXUH³&RQQHFWLQJWKH&DEOHWRWKH&3(´:KLOHPDLQWDLQLQJLQZDUGSUHVVXUHRQWKHSOXJRUNHHSLQJWKHGXVWFRYHUHQJDJHGWLJKWHQWKHFRPSUHVVLRQQXWWR1P,QOEV)LJXUH&RQQHFWLQJWKH&DEOHWRWKH&3(,QVWDOOLQJWKH:L1'DWD$GDSWRU7KH:L1GDWDDGDSWRUSRZHUVWKH2'8&3(DQGGLVWULEXWHVGDWD7KH:L1GDWDDGDSWRUXQLWSURYLGHV5-LQSXWFRQQHFWRUVWKDWLQFOXGH%DVH7WUDQVIRUPHUVIRUFRQQHFWLRQWRDQ,(((%DVH7FRPSDWLEOHGHYLFH7KHXQLWUHFHLYHVSRZHUIURP9WR9$&XVLQJDQ,(&&LQGXVWU\VWDQGDUGFRQQHFWRUImportant:7KHSRZHUVXSSO\$&FRUGVKRXOGEHZLUHV$:*PLQLPXPZLWKOHQJWKOHVVWKDQPDQGVDIHW\FHUWLILHGDFFRUGLQJWRQDWLRQDOUXOHV$ VLQJOH RXWSXW 5- FRQQHFWRU SURYLGHV  %DVH7 GDWD DQG SRZHU WR WKHRXWGRRUXQLWRYHUD&DWHJRU\HFDEOH7KLVFDEOHSURYLGHVIRUWKHELGLUHFWLRQDOWUDQVIHURIGDWDDQGVLJQDOOLQJDVZHOODVDSRZHUIHHGWRWKHRXWGRRUHTXLSPHQW7KH&DWHJRU\H(WKHUQHWFDEOHLVQRWLQFOXGHG5HIHUWR$SSHQGL[%±,'8WR2'8FDEOHVSHFLILFDWLRQIRUGHWDLOHGWHFKQLFDOVSHFLILFDWLRQV
,QVWDOODWLRQ3URFHGXUH5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY)LJXUH3RZHURYHU(WKHUQHW&RQQHFWLRQ6FKHPDWLF%HIRUHFRQQHFWLQJWKH:L1GDWDDGDSWRUWRWKH9$&9$&SRZHUVRXUFHYHULI\ WKDW DOO V\VWHP FRPSRQHQWV DUH SURSHUO\ LQVWDOOHG 0DNH VXUH WKDW DOO FDEOHFRQQHFWRUVDUHVHFXUHO\SRVLWLRQHGLQWKHDSSURSULDWHSRUWV3URFHGXUH&RQQHFWLQJ3RZHUWRWKH&3( &RQQHFWD&DWHJRU\HFDEOHEHWZHHQWKH&3(DQGWKH:L1GDWDDGDSWRU &RQQHFWD&DWHJRU\HFDEOHEHWZHHQWKH:L1GDWDDGDSWRUDQGD%DVH7SRUWRIDVZLWFKURXWHURU3& &RQQHFWWKH:L1GDWDDGDSWRUWRWKH9$&9$&SRZHUVRXUFHXVLQJWKHFDEOH:L1'DWD$GDSWRU/(',QGLFDWRUV/('VRQWKH:L1GDWDDGDSWRUIURQWSDQHOLQGLFDWHWKHVWDWXVRIWKH:L1SRZHUVXSSO\1DPH &RORU 'HVFULSWLRQ3:5 *UHHQ ,QSXWSRZHULVFRQQHFWHG/$1 *UHHQ /$1OLQNDFWLYLW\GLVSOD\:/1. *UHHQ :LUHOHVVOLQNDFWLYLW\GLVSOD\7DEOH:L1'DWD$GDSWRU/(',QGLFDWLRQV
(TXLSPHQW&RQILJXUDWLRQDQG0RQLWRULQJ5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY(TXLSPHQW&RQILJXUDWLRQDQG0RQLWRULQJ7KLVVHFWLRQGHVFULEHVKRZWRFRQILJXUHEDVLF&3(SDUDPHWHUV<RXFDQSUHFRQILJXUHWKH&3(LQWKHODEHOLPLQDWLQJWKHQHHGWRFRQILJXUHWKHXQLWLQWKHILHOG$IWHULQVWDOOLQJDSUHFRQILJXUHGXQLWFRQILJXUHDGGLWLRQDOSDUDPHWHUVUHPRWHO\WKURXJKWKHZLUHOHVVOLQN&RQQHFWLQJWRDQG/RJJLQJ,QWRWKH&3(7KLVVHFWLRQGHVFULEHVKRZWRVHWXSWKHQHWZRUNSDUDPHWHUVLQ0LFURVRIW:LQGRZVVR\RXFDQFRQQHFWDFRPSXWHUWRWKH:L1RU:L1)RULQVWUXFWLRQVRQKRZWRFRQILJXUHWKHQHWZRUNSDUDPHWHUVIRURWKHURSHUDWLQJV\VWHPVUHIHUWR\RXURSHUDWLQJV\VWHPGRFXPHQWDWLRQ%HIRUHEHJLQQLQJHQVXUHWKDWWKH &3( LVFRQQHFWHGWRWKH3RZHURYHU (WKHUQHW 3R( SRZHUDGDSWRUDQGWKDWSRZHULVDSSOLHG3URFHGXUH&RQQHFWLQJDFRPSXWHUWRWKH&3( (QVXUH WKDW WKH 3R( DGDSWRU LV FRQQHFWHG WR WKH EDVH VWDWLRQ &RQQHFW WKH FRPSXWHU¶V(WKHUQHWSRUWWRWKH3R(DGDSWRU¶V(WKHUQHWSRUW 2QWKHFRPSXWHUFOLFN6WDUWDQGVHOHFW&RQWURO3DQHO ,QWKH&RQWURO3DQHOVHOHFW1HWZRUNDQG,QWHUQHW&RQQHFWLRQV 6HOHFW1HWZRUN&RQQHFWLRQV DQG WKHQ GRXEOHFOLFN /RFDO$UHD&RQQHFWLRQ7KH/RFDO$UHD&RQQHFWLRQV3URSHUWLHVGLDORJDSSHDUVZLWKWKH*HQHUDOWDEVHOHFWHG)LJXUH:LQGRZV/RFDO$UHD&RQQHFWLRQ3URSHUWLHVGLDORJ
(TXLSPHQW&RQILJXUDWLRQDQG0RQLWRULQJ5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY ,Q WKH ,WHPV OLVW VHOHFW ,QWHUQHW 3URWRFRO 7&3,3 DQG FOLFN WKH 3URSHUWLHV EXWWRQ 7KH,QWHUQHW3URWRFRO7&3,33URSHUWLHVGLDORJDSSHDUV)LJXUH:LQGRZV7&3,33URSHUWLHVGLDORJ $VVLJQ\RXUFRPSXWHUWKH,3DGGUHVVDQGWKHVXEQHW 2Q WKH ,QWHUQHW 3URWRFRO 7&3,3 3URSHUWLHV GLDORJ FOLFN 2. 2Q WKH /RFDO $UHD&RQQHFWLRQ3URSHUWLHVGLDORJFOLFN&ORVH /DXQFK \RXU ZHE EURZVHU DQG W\SH http://192.168.254.251 LQ WKH DGGUHVV ILHOG7KH /RJLQ ZLQGRZ DSSHDUV (QWHU \RXU XVHU QDPH DQG SDVVZRUG DQG FOLFN /RJ ,Q 7KH5XJJHG0$;:L1:L1PDQDJHPHQWLQWHUIDFHDSSHDUV)LJXUH&3(*HQHUDO6WDWLVWLFVSDQH7KHGHIDXOWXVHUQDPHLVadminDQGWKHGHIDXOWSDVVZRUGLVAxxess7KHXVHUQDPHDQGSDVVZRUGDUHFDVHVHQVLWLYH
(TXLSPHQW&RQILJXUDWLRQDQG0RQLWRULQJ5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY&RQILJXULQJWKH&3(7KLV VHFWLRQ GHVFULEHV KRZ WR FRQILJXUH WKH LQLWLDO &3( VHWWLQJV 7KLV VHFWLRQ GHVFULEHV MXVWWKH PLQLPDO VHWWLQJ UHTXLUHG WR FRQQHFW WKH &3( WR WKH QHWZRUN $IWHU LQVWDOOLQJ WKH PLQLPDOO\FRQILJXUHG&3(FRQILJXUHDGGLWLRQDOSDUDPHWHUVUHPRWHO\WKURXJKWKHZLUHOHVVOLQN3URFHGXUH&RQILJXULQJWKH:L1:L1 &RQQHFWDFRPSXWHUWRWKH&3(DQGORJLQWRWKH&3(PDQDJHPHQWLQWHUIDFH)RULQVWUXFWLRQVVHH6HFWLRQ³&RQQHFWLQJWRDQG/RJJLQJ,QWRWKH&3(´ &OLFNWKH:L0$;EXWWRQ7KH6FDQQHU6HWWLQJVSDQHDSSHDUV)LJXUH6FDQQHU6HWWLQJVSDQH 5HYLHZWKHHQWULHVLQWKH6FDQQHU7DEOHDQGHQVXUHWKDWWKH&3(LVFRQILJXUHGWRZRUNLQWKHFRUUHFWIUHTXHQF\
(TXLSPHQW&RQILJXUDWLRQDQG0RQLWRULQJ5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY 7RDGGDQHQWU\WRWKH6FDQQHU7DEOHFOLFNWKH EXWWRQ$QHZURZDSSHDUVLQWKHWDEOH<RXFDQDGGXSWRURZVWRWKHWDEOH&RQILJXUHWKHEDQGZLGWKDQGIUHTXHQF\VHWWLQJVLQWKHIROORZLQJILHOGV)LHOG 'HVFULSWLRQ3ULRULW\ 6HWVWKHVFDQQLQJSULRULW\%DQGZLGWK>0+]@ 6HWVWKHVFDQQLQJEDQGZLGWK9DOXHV0+]_0+]_0+]6WDUWIUHTXHQF\>N+]@6HWVWKHVWDUWRIWKHVFDQQLQJUDQJH6WHS>N+]@ 6HWVWKHVFDQQLQJVWHS(QGIUHTXHQF\>N+]@6HWVWKHHQGRIWKHVFDQQLQJUDQJH7DEOH6FDQQHU7DEOHILHOGV7KHIUHTXHQF\DQGEDQGZLGWKVKRXOGPDWFKWKHEDVHVWDWLRQFRQILJXUDWLRQ 7RUHPRYHDURZIURPWKHWDEOHVHOHFWWKHURZDQGFOLFNWKH EXWWRQ7KHURZLVUHPRYHGIURPWKHWDEOH $IWHUPDNLQJFKDQJHVWRWKH6FDQQHU6HWWLQJVWDEOHFOLFNWKH$SSO\EXWWRQ 7REHJLQWUDQVPLWWLQJFOLFNWKH&RQQHFWEXWWRQ &OLFNWKH1HWZRUNEXWWRQ7KH,36HWWLQJVSDQHDSSHDUV)LJXUH,36HWWLQJVSDQH
(TXLSPHQW&RQILJXUDWLRQDQG0RQLWRULQJ5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY &RQILJXUHWKH&3(,3DGGUHVVHVLQWKHIROORZLQJILHOGV)LHOG 'HVFULSWLRQ&RQILJXUHG/$1,3$GGUHVV6HWVWKH&3(/$1,3DGGUHVV8VHWKLVDGGUHVVIRUORFDO&3(PDQDJHPHQWWKURXJKDGLUHFWFRQQHFWLRQEHWZHHQWKH&3(DQGDFRPSXWHU&RQILJXUHG/$10DVN6HWVWKH&3(/$1VXEQHWPDVN5),3$GGUHVV 6HWVWKH&3(5)QHWZRUN,3DGGUHVV8VHWKLVDGGUHVVIRUUHPRWH&3(PDQDJHPHQWWKURXJKWKHFRUHQHWZRUN5),36XEQHW0DVN 6HWVWKH&3(5)QHWZRUNVXEQHWPDVN5),3'HIDXOW*: 6HWVWKH&3(5)QHWZRUNGHIDXOWJDWHZD\7DEOH,36HWWLQJVILHOGV &OLFNWKH$SSO\EXWWRQ ,I\RXFKDQJHGWKH&RQILJXUHG/$1,3$GGUHVVRU&RQILJXUHG/$10DVNILHOGVUHERRWWKH&3(D &OLFNWKH0DQDJHPHQWEXWWRQ7KH6\VWHP)XQFWLRQVSDQHDSSHDUVE &OLFNWKH5HERRWEXWWRQ7KH&3(UHERRWV 5HYLHZWKH&3(VWDWLVWLFVDQGHQVXUHWKDWWKH&3(LVRSHUDWLRQDO&OLFNWKH6WDWLVWLFVEXWWRQ7KH*HQHUDO6WDWLVWLFVSDQHDSSHDUV)LJXUH*HQHUDO6WDWLVWLFVSDQH &RQILUPWKDWWKH&3(6WDWXVILHOGLQGLFDWHVWKDWWKH&3(LV³2SHUDWLRQDO´ 5HYLHZWKHVHUYLFHIORZLQIRUPDWLRQDQGHQVXUHWKDWWKHVHUYLFHIORZVDUHFUHDWHG&OLFNWKH6WDWLVWLFVEXWWRQDQGVHOHFW6HUYLFH)ORZ7KH6HUYLFH)ORZSDQHDSSHDUV
(TXLSPHQW&RQILJXUDWLRQDQG0RQLWRULQJ5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY)LJXUH6HUYLFH)ORZSDQH /RJ RXW RI WKH &3( PDQDJHPHQW LQWHUIDFH &OLFN WKH 0DQDJHPHQWEXWWRQ7KH6\VWHP)XQFWLRQVSDQHDSSHDUV &OLFNWKH/RJRXWEXWWRQ<RXDUHORJJHGRXWRIWKH&3(PDQDJHPHQWLQWHUIDFH
&3(0DQDJHPHQW,QWHUIDFH5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY&3(0DQDJHPHQW,QWHUIDFH7KLVFKDSWHUGHVFULEHVKRZWRXVHWKH&3(PDQDJHPHQWLQWHUIDFH8VHWKH&3(PDQDJHPHQWLQWHUIDFH WR FRQILJXUH DQG FRQWURO &3( VHWWLQJV DQG IXQFWLRQV <RX FDQ DFFHVV WKH &3(PDQDJHPHQWLQWHUIDFHWKURXJKWKH&3(¶V/$1RU5),3DGGUHVV8VLQJWKH&3(0DQDJHPHQW,QWHUIDFH7KH&3(PDQDJHPHQWLQWHUIDFHFRQVLVWVRIIRXUPDLQDUHDV &RQILJXUDWLRQ%XWWRQV²DVHWRIEXWWRQVSURYLGLQJDFFHVVWRFRQILJXUDWLRQRSWLRQV7RVHOHFWDJURXSRIFRQILJXUDWLRQRSWLRQVFOLFNDEXWWRQ 2SWLRQV3DQH²DVHWRIOLQNVSURYLGLQJDFFHVVWRLQGLYLGXDOFRQILJXUDWLRQSDQHV7RVHOHFWDVSHFLILFFRQILJXUDWLRQSDQHFOLFNDOLQN 'LVSOD\3DQH²GLVSOD\VILHOGVDQGFRQWUROVIRUFRQILJXUDWLRQRSWLRQVDQGV\VWHPLQIRUPDWLRQGLVSOD\V)LJXUH&3(0DQDJHPHQW,QWHUIDFH&RQWUROV
&3(0DQDJHPHQW,QWHUIDFH5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY&RQILJXUDWLRQ%XWWRQV7KHFRQILJXUDWLRQEXWWRQVSURYLGHDFFHVVWRWKHPDLQJURXSVRIFRQILJXUDWLRQRSWLRQV&OLFNLQJDEXWWRQGLVSOD\VDVHWRIOLQNVLQWKH2SWLRQV3DQH&OLFNLQJDOLQNLQWKHRSWLRQVSDQHGLVSOD\VDSDQHZKHUH\RXFDQUHYLHZDQGFRQILJXUHV\VWHPSDUDPHWHUVRUUHYLHZV\VWHPGDWD)LJXUH&3(&RQILJXUDWLRQ%XWWRQV&RQILJXUDWLRQ%XWWRQ'HVFULSWLRQ 2SWLRQ3DQH/LQNV1HWZRUN $FFHVVWR&3(QHWZRUNVHWWLQJV ,36HWWLQJV(WKHUQHW6HWWLQJV:L0$; $FFHVVWR:L0$;VFDQQHUDXWKHQWLFDWLRQPRELOLW\DQGUDGLRVHWWLQJV6FDQQHU6HWWLQJV$XWKHQWLFDWLRQ0RELOLW\5DGLR0DQDJHPHQW $FFHVV WR JHQHUDO &3( PDQDJHPHQW VHWWLQJV DQGIXQFWLRQV6\VWHP)XQFWLRQV5HPRWH0DQDJHPHQW6:8SJUDGH6103$ODUPV7UDSV6WDWLVWLFV 'LVSOD\VJHQHUDO &3( 5)QHWZRUNDQG VHUYLFH IORZVWDWLVWLFV*HQHUDO5)1HWZRUN6HUYLFH)ORZ7DEOH&RQILJXUDWLRQ%XWWRQVDQG2SWLRQV3DQH/LQNV
&3(0DQDJHPHQW,QWHUIDFH5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY6\VWHP0DQDJHPHQW7KLVVHFWLRQGHVFULEHVKRZWR PDQDJHJHQHUDOV\VWHPIXQFWLRQV6HH6HFWLRQ³0DQDJLQJ6\VWHP)XQFWLRQV´ FKDQJH WKH PDQDJHPHQW LQWHUIDFH SDVVZRUG 6HH 6HFWLRQ  ³&KDQJLQJ WKH &3(0DQDJHPHQW,QWHUIDFH3DVVZRUG´ FRQILJXUH WKH UHPRWH PDQDJHPHQW SDUDPHWHUV 6HH 6HFWLRQ  ³5HPRWH 0DQDJHPHQW3DUDPHWHUV´ PDQDJH VRIWZDUH YHUVLRQV DQG SHUIRUP VRIWZDUH XSJUDGHV 6HH 6HFWLRQ  ³6RIWZDUH9HUVLRQ0DQDJHPHQW´ PDQDJH61036HH6HFWLRQ³6103$GPLQLVWUDWLRQ´ PDQDJH$ODUPV7UDSV6HH6HFWLRQ³$ODUPV7UDSV´0DQDJLQJ6\VWHP)XQFWLRQV7KH6\VWHP)XQFWLRQSDQHGLVSOD\VWKH&3(QDPHDQGSURYLGHVJHQHUDOV\VWHPFRQWUROV2QWKLVSDQH\RXFDQFKDQJHWKH&3(SDVVZRUGFRQQHFWWRDQGGLVFRQQHFWIURPWKHEDVHVWDWLRQUHERRWWKH&3(ORJRXWIURPWKHPDQDJHPHQWLQWHUIDFHDQGUHVWRUHWKH&3(WRLWVIDFWRU\GHIDXOWVHWWLQJV3URFHGXUH$FFHVVLQJWKH6\VWHP)XQFWLRQVSDQH &OLFNWKH0DQDJHPHQWEXWWRQ7KH6\VWHP)XQFWLRQVSDQHDSSHDUV)LJXUH6\VWHP)XQFWLRQVSDQH 7KHIROORZLQJRSHUDWLRQVFDQEHSHUIRUPHGIURPWKLVSDQH6HW WKH &3( QDPH 7KH &3( QDPH DSSHDUV DW WKH WRS RI PDQ\ RI WKH PDQDJHPHQWLQWHUIDFHSDQHVLGHQWLI\LQJWKH&3(XQLWDV\RXZRUNZLWKWKHPDQDJHPHQWLQWHUIDFH,Q
&3(0DQDJHPHQW,QWHUIDFH5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHYWKH&3(QDPHILHOGW\SHDQDPHDQGFOLFNWKH$SSO\EXWWRQ7KH&3(QDPHDSSHDUVLQWKHDWWKHWRSRIWKHPDQDJHPHQWLQWHUIDFHSDQHV/LQN:DWFKGRJ<RXFDQVHWWKH/LQN:DWFKGRJIXQFWLRQWRUHVHWWKHGHYLFHLILWLVQRWLQDQRSHUDWLRQDOVWDWHIRUDFRQWLQXRXVWLPH,QWKH/LQN:DWFK'RJILHOGVHOHFW'LVDEOHG6PDUWRU$OZD\VDQGFOLFNWKH$SSO\EXWWRQ7KHGHIDXOWVHWWLQJLV6PDUW/LQN7LPHRXWPLQ<RXFDQFKDQJHWKHQXPEHURIPLQXWHVEHIRUHWKH/LQN:DWFKGRJIXQFWLRQWLPHVRXW,QWKH/LQN7LPHRXWPLQILHOGHQWHUWKHQXPEHURIPLQXWHVDQGFOLFNWKH$SSO\EXWWRQ7KHGHIDXOWVHWWLQJLV&KDQJHWKH&3(SDVVZRUG<RXFDQFKDQJHWKHSDVVZRUGXVHGWRORJLQWRWKH&3(PDQDJHPHQW LQWHUIDFH )RU PRUH LQIRUPDWLRQ VHH 6HFWLRQ  ³&KDQJLQJ WKH &3(0DQDJHPHQW,QWHUIDFH3DVVZRUG´&RQQHFWWKH&3(WRWKHEDVHVWDWLRQ7REHJLQEURDGFDVWLQJDQGFRQQHFWWRWKHEDVHVWDWLRQFOLFNWKH&RQQHFWEXWWRQ'LVFRQQHFWWKH&3(IURPWKHEDVHVWDWLRQ7RVWRSEURDGFDVWLQJDQGGLVFRQQHFWIURPWKHEDVHVWDWLRQFOLFNWKH'LVFRQQHFWEXWWRQ5HERRWWKH&3(7RUHERRWWKH&3(DQGUXQWKHVRIWZDUHLQWKH³3ULPDU\´PHPRU\EDQNFOLFNWKH5HERRWEXWWRQ/RJRXWRIWKHPDQDJHPHQWLQWHUIDFH7RORJRXWRIWKH&3(PDQDJHPHQWLQWHUIDFHFOLFNWKH/RJRXWEXWWRQ5HVWRUHWKH&3(WRIDFWRU\GHIDXOWV7RUHVWRUHWKH&3(WRLWVIDFWRU\GHIDXOWVHWWLQJVDQGUHERRWWKH&3(FOLFNWKH6HW)DFWRU\'HIDXOWVEXWWRQ&KDQJLQJWKH&3(0DQDJHPHQW,QWHUIDFH3DVVZRUG7KH&KDQJH3DVVZRUGIRU8VHU$GPLQSDQHDSSHDUVZKHQ\RXFOLFNWKH&KDQJH3DVVZRUGEXWWRQRQWKH6\VWHP)XQFWLRQVSDQH2QWKLVSDQH\RXFDQFKDQJHWKHWKH&3(PDQDJHPHQWLQWHUIDFHSDVVZRUGIRUWKHXVHU³DGPLQ´3URFHGXUH&KDQJLQJWKH$GPLQ3DVVZRUG &OLFNWKH0DQDJHPHQWEXWWRQ7KH6\VWHP)XQFWLRQVSDQHDSSHDUV &OLFNWKH&KDQJH3DVVZRUGEXWWRQ7KH&KDQJH3DVVZRUGIRU8VHU$GPLQSDQHDSSHDUV)LJXUH&KDQJH3DVVZRUGIRU8VHU$GPLQSDQH ,QWKH&XUUHQW3DVVZRUGILHOGW\SHWKHFXUUHQWSDVVZRUG7KHGHIDXOWSDVVZRUGLV³$[[HVV´
&3(0DQDJHPHQW,QWHUIDFH5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY ,QWKH1HZ3DVVZRUGILHOGW\SHWKHQHZSDVVZRUG ,QWKH&RQILUP3DVVZRUGILHOGUHW\SHWKHQHZSDVVZRUG &OLFNWKH$SSO\EXWWRQ5HPRWH0DQDJHPHQW3DUDPHWHUV2QWKH5HPRWH0DQDJHPHQWSDQHV\RXFRQILJXUHWKHPDQDJHPHQWSRUWPDQDJHPHQW9/$1DQG'6&3PDUNLQJSDUDPHWHUV6HFWLRQ³&RQILJXULQJWKH0DQDJHPHQW3RUW´6HFWLRQ³&RQILJXULQJWKH0DQDJHPHQW9/$1´6HFWLRQ³&RQILJXULQJ'6&30DUNLQJ´&RQILJXULQJWKH0DQDJHPHQW3RUW2QWKH0DQDJHPHQW3RUWSDQH\RXFRQILJXUHWKH&3(PDQDJHPHQWSRUW1RWHWKDWFKDQJLQJWKHPDQDJHPHQWSRUWDIIHFWVERWKORFDODQGUHPRWHPDQDJHPHQWDFFHVV3URFHGXUH6HWWLQJWKH0DQDJHPHQW3RUW &OLFNWKH0DQDJHPHQWEXWWRQ7KH6\VWHP)XQFWLRQVSDQHDSSHDUV ,QWKHRSWLRQVSDQHFOLFNWKH5HPRWH0DQDJHPHQWOLQN7KH0DQDJHPHQW6HWWLQJVSDQHDSSHDUV)LJXUH0DQDJHPHQW6HWWLQJVSDQH ,Q WKH 0DQDJHPHQW SRUW >@ ILHOG W\SH WKH SRUW QXPEHU \RX ZDQW WR XVH IRU WKHPDQDJHPHQWSRUW7KHGHIDXOWSRUWLV &OLFNWKH$SSO\EXWWRQ $IWHUFKDQJLQJWKH0DQDJHPHQWSRUW>@ILHOGUHERRWWKH&3(D &OLFNWKH0DQDJHPHQWEXWWRQ7KH6\VWHP)XQFWLRQVSDQHDSSHDUVE &OLFNWKH5HERRWEXWWRQ7KH&3(UHERRWV&RQILJXULQJWKH0DQDJHPHQW9/$12QWKH0DQDJHPHQW9/$1SDQH\RXFRQILJXUHWKHPDQDJHPHQW9/$1RSWLRQV7KHRSWLRQVLQFOXGHWKH9/$1QXPEHUDQGWKHSSULRULW\YDOXH2XWJRLQJPDQDJHPHQWIUDPHVDUHWDJJHG
&3(0DQDJHPHQW,QWHUIDFH5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHYZLWKWKH FRQILJXUHG9/$1QXPEHUDQGSULRULW\,QFRPLQJPDQDJHPHQWIUDPHVPXVWEHWDJJHGZLWKWKHVDPHYDOXHVRUWKH&3(GURSVWKHLQFRPLQJIUDPHV3URFHGXUH6HWWLQJ0DQDJHPHQW9/$1&RQILJXUDWLRQ2SWLRQV &OLFNWKH0DQDJHPHQWEXWWRQ7KH6\VWHP)XQFWLRQVSDQHDSSHDUV ,QWKHRSWLRQVSDQHOFOLFNWKH5HPRWH0DQDJHPHQWOLQNDQGWKHQFOLFNWKH0DQDJHPHQW9/$1OLQN7KH0DQDJHPHQW9/$1SDQHDSSHDUV)LJXUH0DQDJHPHQW9/$1SDQH 5HYLHZDQGVHWWKHPDQDJHPHQW9/$1SDUDPHWHUVLQWKHIROORZLQJILHOGV)LHOG 'HVFULSWLRQ9/$11XPEHU 'LVSOD\V DQ LGHQWLILHU IRU WKH PDQDJHPHQW 9/$1 :KHQ VHWWLQJ WKLV YDOXH HQVXUH WKDW WKHUHOHYDQW9/$1VHUYLFHLVFUHDWHGRQWKHEDVHVWDWLRQDQGWKDWUHPRWHPDQDJHPHQWLVHQDEOHG9DOXHV$Q\QXPHULFYDOXH'HIDXOWSELWV>@ 6HWVWKHSSULRULW\YDOXHIRUWKHPDQDJHPHQW9/$17\SHDYDOXHIURPWR9DOXHV$QXPEHULQWKHUDQJHRIWR'HIDXOW7DEOH0DQDJHPHQW9/$1)LHOGV &OLFNWKH$SSO\EXWWRQ&RQILJXULQJ'6&30DUNLQJ2QWKH'6&30DUNLQJSDQH\RXFRQILJXUHWKH'LIIHUHQWLDWHG6HUYLFHV&RGH3RLQWPDUNLQJYDOXH'6&3PDUNLQJLGHQWLILHGRXWJRLQJPDQDJHPHQWWUDIILFRQO\3URFHGXUH6HWWLQJWKH'6&30DUNLQJ3DUDPHWHU &OLFNWKH0DQDJHPHQWEXWWRQ7KH6\VWHP)XQFWLRQVSDQHDSSHDUV ,QWKHRSWLRQVSDQHOFOLFNWKH5HPRWH0DQDJHPHQWOLQNDQGWKHQFOLFNWKH'6&30DUNLQJOLQN7KH'6&30DUNLQJSDQHDSSHDUV
&3(0DQDJHPHQW,QWHUIDFH5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY)LJXUH'6&30DUNLQJSDQH ,QWKH'6&3PDUNLQJ>@ILHOGW\SHDYDOXHLQWKHUDQJHRIWR7KHGHIDXOWYDOXHLV &OLFNWKH$SSO\EXWWRQ6RIWZDUH9HUVLRQ0DQDJHPHQW3HUPDQHQWPHPRU\VWRUDJHLVRUJDQL]HGLQWZRPHPRU\EDQNV³´DQG³´7ZRYHUVLRQVRIWKHRSHUDWLQJV\VWHPVRIWZDUHFDQEHVWRUHGRQWKH&3(RQHLQHDFKPHPRU\EDQN(DFKPHPRU\EDQN LV GHVLJQDWHG DV HLWKHU WKH ³3ULPDU\´ RU ³6HFRQGDU\´ PHPRU\ EDQN :KHQ \RX UHVHW RUUHERRWWKH&3(LWDOZD\VUXQVWKHVRIWZDUHLQVWDOOHGLQWKH³3ULPDU\´EDQN7KH&3(ZHEFRQVROHSURYLGHVFRQWUROVWRFKDQJHWKH³3ULPDU\´DQG³6HFRQGDU\´GHVLJQDWLRQVRQWKHPHPRU\EDQNVDQGWRUHERRWWKH&3(XVLQJWKH³6HFRQGDU\´PHPRU\EDQNIRUWHVWLQJ6RIWZDUHVDYHGLQRQHEDQNFDQEHFRSLHGWRWKHRWKHUDOORZLQJ\RXWRFUHDWHEDFNXSVDQGWRUHVWRUHRUXSGDWHYHUVLRQVDVUHTXLUHG7KLVVHFWLRQGHVFULEHVKRZWRPDQDJH&3(VRIWZDUHYHUVLRQVDQGODWHULQFOXGLQJ KRZ WRXSORDG DQG GRZQORDG ILOHV PDQDJH WKH PHPRU\ EDQNV DQG WKHLU ³3ULPDU\´ DQG ³6HFRQGDU\´GHVLJQDWLRQVDQGKRZWREDFNXSDQGUHVWRUHWKHRSHUDWLQJV\VWHP8SJUDGLQJ&3(6RIWZDUH)RUVDIHW\DQGUHOLDELOLW\WKH&3(VRIWZDUHXSJUDGHSURFHVVFRQVLVWVRIWKHIROORZLQJVWHSVZLWKFKHFNVDQGYHULILFDWLRQDWVHYHUDOVWDJHV /RDGWKHQHZVRIWZDUHLPDJHWRWKHVHFRQGDU\PHPRU\EDQN &RQILJXUH WKH )73 VHUYHU IURP ZKLFK WKH QHZ VRIWZDUH ILOHV ZLOO EH GRZQORDGHG VHH6HFWLRQ³'RZQORDGLQJ&3(6RIWZDUH´ 'RZQORDGWKHVRIWZDUHXSGDWHILOHVWRWKHVHFRQGDU\PHPRU\EDQNVHH6HFWLRQ³'RZQORDGLQJ&3(6RIWZDUH´ 9HULI\ WKDW WKH GRZQORDGHG VRIWZDUH ILOHV KDYH EHHQ FRUUHFWO\ VDYHG WR WKH VHFRQGDU\PHPRU\EDQNVHH6HFWLRQ³0DQDJLQJWKH6HFRQGDU\0HPRU\%DQN´ 3HUIRUPDWULDOUXQRIWKHQHZVRIWZDUHLPDJH2QWKH6:3URSHUWLHVSDQHFOLFN5XQ6HFRQGDU\7KH&3(ZLOOUHVHWDQGORDGWKHVRIWZDUHLPDJHLQWKHVHFRQGDU\PHPRU\EDQN7KLVSURFHVVZLOOWDNHDSSUR[LPDWHO\WZRPLQXWHV &RPPLWWKHQHZVRIWZDUHLPDJHDVWKHQHZGHIDXOWVRIWZDUH
&3(0DQDJHPHQW,QWHUIDFH5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY$JDLQRQWKH6:3URSHUWLHVSDQHFOLFN6HW$V3ULPDU\LQRUGHUWRVHWWKHFXUUHQWPHPRU\EDQNFXUUHQWO\GHQRWHG6HFRQGDU\DV3ULPDU\'RLQJVRZLOOFDXVHWKHVRIWZDUHLQWKHPHPRU\EDQNQHZO\GHVLJQDWHG3ULPDU\WREHUXQE\GHIDXOWRQERRWXS9LHZLQJ6RIWZDUH3URSHUWLHV7KH6:3URSHUWLHVSDQHGLVSOD\VLQIRUPDWLRQDERXWWKHVRIWZDUHORDGHGLQWRHDFK&3(PHPRU\EDQN2QWKLVSDQH\RXFDQUHERRWWKH&3(IURPWKHVHFRQGDU\EDQNVHWWKHFXUUHQWEDQNDVWKHSULPDU\EDQNDQGUHERRWWKH&3(3URFHGXUH9LHZLQJVRIWZDUHSURSHUWLHV &OLFNWKH0DQDJHPHQWEXWWRQ7KH6\VWHP)XQFWLRQVSDQHDSSHDUV ,QWKHRSWLRQVSDQHFOLFNWKH6:8SJUDGHOLQN7KH6:3URSHUWLHVSDQHDSSHDUV)LJXUH6:3URSHUWLHVSDQH 7KH6:3URSHUWLHVSDQHGLVSOD\VWKHIROORZLQJLQIRUPDWLRQ)LHOG 'HVFULSWLRQ&XUUHQW$FWLYH%DQN 'LVSOD\VWKHQDPHRIWKHPHPRU\EDQNIURPZKLFKWKH&3(VRIWZDUHLVUXQQLQJ9DOXHV3ULPDU\_6HFRQGDU\&XUUHQW6:/RFDWLRQ 'LVSOD\VWKHQXPEHURIWKHPHPRU\EDQNIURPZKLFKWKH&3(VRIWZDUHLVUXQQLQJ9DOXHV_3ULPDU\6:9HUVLRQ 'LVSOD\VWKHYHUVLRQQXPEHURIWKHVRIWZDUHLQWKH3ULPDU\PHPRU\EDQN3ULPDU\6:/RFDWLRQ 'LVSOD\VWKHQXPEHURIWKHFXUUHQW3ULPDU\PHPRU\EDQN9DOXHV_3ULPDU\&'& 'LVSOD\VWKHILOHQDPHRIWKH&'&&XVWRPHU'HIDXOWV&RQILJXUDWLRQILOHLQWKH3ULPDU\PHPRU\EDQN3ULPDU\89 'LVSOD\VWKHILOHQDPHRIWKH898QLTXH9DOXHILOHLQWKH3ULPDU\PHPRU\EDQN6HFRQGDU\6:9HUVLRQ 'LVSOD\VWKHYHUVLRQQXPEHURIWKHVRIWZDUHLQWKH6HFRQGDU\PHPRU\EDQN6HFRQGDU\6:/RFDWLRQ 'LVSOD\VWKHQXPEHURIWKHPHPRU\EDQNVHOHFWHGDVWKH6HFRQGDU\PHPRU\EDQN
&3(0DQDJHPHQW,QWHUIDFH5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY)LHOG 'HVFULSWLRQ6HFRQGDU\&'& 'LVSOD\V WKH ILOHQDPH RI WKH &'& &XVWRPHU 'HIDXOWV &RQILJXUDWLRQ ILOH LQ WKH6HFRQGDU\PHPRU\EDQN6HFRQGDU\89 'LVSOD\V WKH ILOHQDPH RI WKH 89 8QLTXH 9DOXH FRQILJXUDWLRQ ILOH LQ WKH 3ULPDU\PHPRU\EDQN&RQILJXUDWLRQ&KDQJHV&RXQWHU 'LVSOD\VWKHQXPEHURIFKDQJHVPDGHWRFRQILJXUDWLRQYDOXHVRQWKH&3(7KLVYDOXHRQO\LQFOXGHVFKDQJHVWRFRQILJXUDWLRQYDOXHV,WGRHVQRWLQFOXGHHYHQWVVXFKDVVHWWLQJWKHSULPDU\VRIWZDUHLPDJHRUXSORDGLQJDILOH7DEOH6:3URSHUWLHV 7KHIROORZLQJRSHUDWLRQVFDQEHSHUIRUPHGIURPWKLVSDQH5XQ6HFRQGDU\²5HERRWWKH&3(DQGUXQWKH³6HFRQGDU\´VRIWZDUHLPDJH5HERRWDVHFRQGWLPHWRUXQWKH&3(XVLQJWKH³3ULPDU\´VRIWZDUHLPDJH6HWDV3ULPDU\²6HWWKHFXUUHQWUXQQLQJVRIWZDUHDVWKH³3ULPDU\´LPDJH)RUH[DPSOHLI WKH &3( LV UXQQLQJ IURP WKH ³6HFRQGDU\´ LPDJH WKH ³3ULPDU\´ DQG ³6HFRQGDU\´GHVLJQDWLRQVDUHH[FKDQJHG5HERRW²5HERRWWKH&3(DQGUXQWKH³3ULPDU\´LPDJH'RZQORDGLQJ&3(6RIWZDUH8VH WKH 6: 'RZQORDG SDQH WR GRZQORDG &3( VRIWZDUH IURP \RXU )73 VHUYHU 7KH &3(GRZQORDGVDOOVRIWZDUHWRWKH³6HFRQGDU\´PHPRU\EDQN3URFHGXUH'RZQORDGLQJVRIWZDUH &OLFNWKH0DQDJHPHQWEXWWRQ7KH&XUUHQW6WDWXVSDQHDSSHDUV ,QWKHRSWLRQVSDQHFOLFNWKH6:8SJUDGHOLQNDQGWKHQFOLFNWKH6:'RZQORDGOLQN7KH6:'RZQORDGSDQHDSSHDUV)LJXUH6:'RZQORDGSDQH 6HWWKHGRZQORDGSDUDPHWHUVLQWKHIROORZLQJILHOGV)LHOG 'HVFULSWLRQ)736HUYHU,3 7\SHWKH,3YDGGUHVVIRUWKH)73VHUYHUIURPZKLFKWKH&3(VRIWZDUHLVWREHGRZQORDGHG'LUHFWRU\ 7\SHWKHGLUHFWRU\SDWKWRWKH&3(VRIWZDUHRQWKH)73VHUYHU)LOH7\SH 6HOHFWWKHW\SHRIILOHWRGRZQORDG
&3(0DQDJHPHQW,QWHUIDFH5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY)LHOG 'HVFULSWLRQ 3DFNDJH ² 7KH VRIWZDUH SDFNDJH ILOH SURYLGHG ZLWK DQ XSJUDGH SDFNDJH )RU H[DPSOHruggedupgrade.ini :HE5HVRXUFH²$ZHEFRQVROHWHPSODWHILOH)RUH[DPSOHweb.rc &'&²$&RPPRQ'HIDXOW&RQILJXUDWLRQILOH)RUH[DPSOHBS-Val-Cdc.xml 89²$8QLTXH9DOXHILOH)RUH[DPSOHBS-Val-Unique.xml)LOH1DPH 7\SHWKHQDPHRIWKHILOH\RXZDQWWRGRZQORDG8VHU1DPH 7\SHWKHXVHUQDPHXVHGWRORJLQWRWKH)73VHUYHU3DVVZRUG 7\SHWKHSDVVZRUGXVHGWRORJLQWRWKH)73VHUYHU7DEOH'RZQORDG3DUDPHWHUV &OLFN WKH 'RZQORDG EXWWRQ 7KH &3( GRZQORDGV WKH VSHFLILHG ILOH IURP WKH )73 VHUYHUGLUHFWRU\WRWKH³6HFRQGDU\´PHPRU\EDQN0DQDJLQJWKH3ULPDU\0HPRU\%DQN8VHWKH3ULPDU\&RPSRQHQWVSDQHWRPDQDJHVRIWZDUHLQWKH³3ULPDU\´PHPRU\EDQN2QWKLVSDQH\RXFDQYLHZLQIRUPDWLRQIRUWKHILOHVLQWKHPHPRU\EDQNXSORDGILOHVIURPWKHPHPRU\EDQN WR \RXU )73 VHUYHU DQG FRS\ ILOHV IURP WKH ³3ULPDU\´ PHPRU\ EDQN WR WKH ³6HFRQGDU\´PHPRU\EDQN%HIRUHXSORDGLQJILOHVWRDQ)73VHUYHU\RXPXVWFRQILJXUHDQ)73VHUYHURQWKH6:'RZQORDGSDQH )RU LQVWUXFWLRQV RQ KRZ WR FRQILJXUH WKH )73 VHUYHU SURSHUWLHV VHH 6HFWLRQ ³'RZQORDGLQJ&3(6RIWZDUH´3URFHGXUH9LHZLQJILOHVLQWKH3ULPDU\PHPRU\EDQN &OLFNWKH0DQDJHPHQWEXWWRQ7KH&XUUHQW6WDWXVSDQHDSSHDUV ,QWKHRSWLRQVSDQHFOLFNWKH6:8SJUDGHOLQNDQGWKHQFOLFNWKH3ULPDU\%DQNOLQN7KH3ULPDU\&RPSRQHQWVSDQHDSSHDUV
&3(0DQDJHPHQW,QWHUIDFH5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY)LJXUH3ULPDU\%DQN&RPSRQHQWVSDQH 7KH3ULPDU\&RPSRQHQWV7DEOHGLVSOD\VWKHIROORZLQJLQIRUPDWLRQ)LHOG 'HVFULSWLRQ1DPH 'LVSOD\VWKHVRIWZDUHFRPSRQHQWILOHQDPH7\SH 'LVSOD\VWKHVRIWZDUHFRPSRQHQWILOHW\SH9DOXHV 3DFNDJH _ $SSOLFDWLRQ _ 9[:RUNV _ %ORE _ 6FULSW _ :HE5HVRXUFH _ 'HIDXOWV _ &'& _5HJXODWLRQ_89_*8,9HUVLRQ 'LVSOD\VWKHVRIWZDUHFRPSRQHQWYHUVLRQQXPEHU7DEOH3ULPDU\&RPSRQHQWV7DEOH 7RXSORDGDILOHWR\RXU)73VHUYHU%HIRUHXSORDGLQJILOHVWRDQ)73VHUYHU\RXPXVWFRQILJXUHDQ)73VHUYHURQWKHFTP Server PropertiesSDQH)RULQVWUXFWLRQVRQKRZWRFRQILJXUHWKH)73VHUYHUSURSHUWLHVVHH6HFWLRQ³'RZQORDGLQJ&3(6RIWZDUH´ 6HOHFWDILOHIURPWKH3ULPDU\&RPSRQHQWV7DEOH &OLFNWKH8SORDG)LOH 7RFRS\DILOHWRWKH³6HFRQGDU\´PHPRU\EDQN%HIRUHFRS\LQJWKHILOHHQVXUHWKDWLWGRHVQRWDOUHDG\H[LVWLQWKH³6HFRQGDU\´PHPRU\EDQN,IWKHILOHLVSUHVHQWLQWKH³6HFRQGDU\´PHPRU\EDQNGHOHWHWKHILOHIURPWKH³6HFRQGDU\´PHPRU\EDQNEHIRUHFRS\LQJ)RULQVWUXFWLRQVRQKRZWRGHOHWHILOHVIURPWKH³6HFRQGDU\´PHPRU\EDQNVHH6HFWLRQ³0DQDJLQJWKH6HFRQGDU\0HPRU\%DQN´ 6HOHFWDILOHIURPWKH3ULPDU\&RPSRQHQWV7DEOH
&3(0DQDJHPHQW,QWHUIDFH5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY &OLFNWKH&RS\)LOH 7RFRS\DOOILOHVWRWKH³6HFRQGDU\´PHPRU\EDQN &OLFNWKH&RS\GLUHFWRU\0DQDJLQJWKH6HFRQGDU\0HPRU\%DQN8VHWKH6HFRQGDU\&RPSRQHQWVSDQHWRPDQDJHVRIWZDUHLQWKH³6HFRQGDU\´PHPRU\EDQN2QWKLVSDQH\RXFDQYLHZLQIRUPDWLRQIRUWKHILOHVLQWKHPHPRU\EDQNXSORDGILOHVIURPWKHPHPRU\EDQNWR\RXU)73VHUYHUDQGGHOHWHILOHVIURPWKHPHPRU\EDQN%HIRUH XSORDGLQJ ILOHV WR DQ )73 VHUYHU \RX PXVW FRQILJXUH DQ )73 VHUYHU RQ WKH )736HUYHU3URSHUWLHV SDQH )RU LQVWUXFWLRQV RQ KRZ WR FRQILJXUH WKH )73 VHUYHUSURSHUWLHVVHH6HFWLRQ³'RZQORDGLQJ&3(6RIWZDUH´3URFHGXUH9LHZLQJILOHVLQWKH6HFRQGDU\PHPRU\EDQN &OLFNWKH0DQDJHPHQWEXWWRQ7KH&XUUHQW6WDWXVSDQHDSSHDUV ,QWKHRSWLRQVSDQHFOLFNWKH6:8SJUDGHOLQNDQGWKHQFOLFNWKH6HFRQGDU\%DQNOLQN7KH6HFRQGDU\&RPSRQHQWVSDQHDSSHDUV)LJXUH6HFRQGDU\%DQN&RPSRQHQWVSDQH 7KH6HFRQGDU\&RPSRQHQWV7DEOHGLVSOD\VWKHIROORZLQJLQIRUPDWLRQ)LHOG 'HVFULSWLRQ1DPH 'LVSOD\VWKHVRIWZDUHFRPSRQHQWILOHQDPH7\SH 'LVSOD\VWKHVRIWZDUHFRPSRQHQWILOHW\SH9DOXHV 3DFNDJH _ $SSOLFDWLRQ _ 9[:RUNV _ %ORE _ 6FULSW _ :HE5HVRXUFH _ 'HIDXOWV _ &'& _5HJXODWLRQ_89_*8,9HUVLRQ 'LVSOD\VWKHVRIWZDUHFRPSRQHQWYHUVLRQQXPEHU7DEOH6HFRQGDU\&RPSRQHQWV7DEOH
&3(0DQDJHPHQW,QWHUIDFH5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY 7RXSORDGDILOHWR\RXU)73VHUYHU%HIRUHXSORDGLQJILOHVWRDQ)73VHUYHU\RXPXVWFRQILJXUHDQ)73VHUYHURQWKHFTP Server PropertiesSDQH)RULQVWUXFWLRQVRQKRZWRFRQILJXUHWKH)73VHUYHUSURSHUWLHVVHH6HFWLRQ³'RZQORDGLQJ&3(6RIWZDUH´ 6HOHFWDILOHIURPWKH6HFRQGDU\&RPSRQHQWV7DEOH &OLFNWKH8SORDG)LOH 7RGHOHWHDILOH 6HOHFWDILOHIURPWKH6HFRQGDU\&RPSRQHQWV7DEOH &OLFNWKH'HOHWH)LOH 7RGHOHWHDOOILOHV &OLFNWKH'HOHWH'LUHFWRU\)LOH6WDWXV8VHWKH)LOH7UDQVIHU6WDWXVSDQHWRYLHZWKHVWDWXVRIXSORDGDQGGRZQORDGRSHUDWLRQVEHWZHHQWKH&3(DQG\RXU)73VHUYHU<RXFDQDOVRFDQFHOFXUUHQWXSORDGDQGGRZQORDGRSHUDWLRQVIURPWKLVSDQH3URFHGXUH9LHZLQJ)LOH7UDQVIHU6WDWXV &OLFNWKH0DQDJHPHQWEXWWRQ7KH&XUUHQW6WDWXVSDQHDSSHDUV ,QWKHRSWLRQVSDQHFOLFNWKH6:8SJUDGHOLQNDQGWKHQFOLFNWKH)LOHV6WDWXVOLQN7KH)LOH7UDQVIHU6WDWXVSDQHDSSHDUV)LJXUH)LOH7UDQVIHU6WDWXVSDQH )URPWKH)LOH2SHUDWLRQ6WDWXVOLVWVHOHFWDQRSHUDWLRQVWDWXV 2.²GLVSOD\VVXFFHVVIXOO\FRPSOHWHGILOHWUDQVIHUV 1RW6WDUWHG²GLVSOD\VUHTXHVWHGILOHWUDQVIHUVWKDWKDYHQRW\HWVWDUWHG ,Q3URFHVV²GLVSOD\VILOHWUDQVIHUVWKDWDUHFXUUHQWO\LQSURJUHVV )DLOXUH²GLVSOD\VIDLOHGILOHWUDQVIHUV
&3(0DQDJHPHQW,QWHUIDFH5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY 7KH)LOH7UDQVIHU2SHUDWLRQ6WDWXVWDEOHGLVSOD\VWKHIROORZLQJLQIRUPDWLRQIRUWKHILOHVLQWKHVHOHFWHGRSHUDWLRQVWDWXV)LHOG 'HVFULSWLRQ,QGH[ 'LVSOD\VDXQLTXHLGHQWLILHUIRUWKHILOH2SHUDWLRQ 'LVSOD\VWKHILOHWUDQVIHURSHUDWLRQSHUIRUPHGRQWKHILOH9DOXHV'RZQORDG_8SORDG_'HOHWH_&RS\_2SHUDWLRQVLQGLFDWHVWKHFRPSOHWLRQRIDEDWFKRSHUDWLRQRQVHYHUDOILOHV)LOH1DPH 'LVSOD\VWKHILOHQDPHIRUWKHXSORDGHGRUGRZQORDGHGILOH6WDWXV 'LVSOD\VWKHVWDWXVRIWKHILOHWUDQVIHURSHUDWLRQ9DOXHV2._1RW6WDUWHG_,Q3URFHVV_)DLOXUH7DEOH)LOH7UDQVIHU2SHUDWLRQ6WDWXVWDEOH 7RFDQFHODGRZQORDGRUXSORDGRSHUDWLRQWKDWLVFXUUHQWO\LQSURJUHVV &OLFNWKH&DQFHOEXWWRQ6103$GPLQLVWUDWLRQ,Q6103DGPLQLVWUDWLRQ\RXFRQILJXUH6103FRPPXQLWLHVWUDSGHVWLQDWLRQVDQG0,%V\VWHPLGHQWLILFDWLRQSDUDPHWHUV)RULQVWUXFWLRQVRQVHWWLQJ6103FRPPXQLWLHVDQGWUDSGHVWLQDWLRQVVHH6HFWLRQ³6103&RPPXQLWLHVDQG7UDS'HVWLQDWLRQ$GGUHVVHV´)RULQVWUXFWLRQVRQVHWWLQJWKH0,%V\VWHPLGHQWLILFDWLRQLQIRUPDWLRQVHH6HFWLRQ³0,%6\VWHP´6103&RPPXQLWLHVDQG7UDS'HVWLQDWLRQ$GGUHVVHV2QWKH6103YF$FFHVV6HWWLQJVSDQHFRQILJXUHWKH6103FRPPXQLWLHVDQGVHWWKH6103WUDSGHVWLQDWLRQV<RXFDQVSHFLI\XSWRILYHWUDSGHVWLQDWLRQDGGUHVVHV3URFHGXUH6HWWLQJWKH6103YFDFFHVVSDUDPHWHUV &OLFNWKH0DQDJHPHQWEXWWRQ7KH0DQDJHPHQWRSWLRQVDSSHDULQWKHRSWLRQVSDQH ,Q WKH RSWLRQV SDQH FOLFN WKH 6103 OLQN DQG WKHQ FOLFN WKH 6103 0DQDJHUV OLQN 7KH6103YF$FFHVV6HWWLQJVSDQHDSSHDUV
&3(0DQDJHPHQW,QWHUIDFH5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY)LJXUH6103YF$FFHVV6HWWLQJVSDQH 5HYLHZDQGVHWWKH6103YFVHWWLQJVLQWKHIROORZLQJILHOGV)LHOG 'HVFULSWLRQ61035HDG&RPPXQLW\ 7KH 6103 FRPPXQLW\ QDPH IRU UHDG DFFHVV 7KLV QDPH FDQ EH XVHG DV DSDVVZRUGIRUVHFXUHLQIRUPDWLRQUHWULHYDO7\SHDQDPHLQWKHILHOG'HIDXOWSXEOLF6103:ULWH&RPPXQLW\ 7KH 6103 FRPPXQLW\ QDPH IRU ZULWH DFFHVV 7KLV QDPH FDQ EH XVHG DV DSDVVZRUGIRUVHFXUHVHWFRPPDQGV7\SHDQDPHLQWKHILHOG'HIDXOWSULYDWH61037UDS&RPPXQLW\ 7KH6103FRPPXQLW\QDPHWRXVHZKHQWKH6103VHUYLFHUHFHLYHVDUHTXHVWWKDW GRHV QRW FRQWDLQ WKH FRUUHFW FRPPXQLW\ QDPH DQG GRHV QRW PDWFK DQDFFHSWHGKRVWQDPH'HIDXOWSXEOLF7DEOH6103YF&RQILJXUDWLRQWDEOH ,QWKH0DQDJHUV7DEOHDGGXSWRILYHWUDSGHVWLQDWLRQDGGUHVVHVD &OLFNWKH EXWWRQ$QHZURZDSSHDUVLQWKH0DQDJHUV7DEOHE 7\SHDQ,3DGGUHVVLQWKHQHZURZ 7RUHPRYHDQ6103 WUDSGHVWLQDWLRQVHOHFWD URZ DQGFOLFNWKH EXWWRQ ,I QRURZVDUHVHOHFWHGFOLFNLQJWKH EXWWRQUHPRYHVWKHODVWHQWU\LQWKHWDEOH &OLFNWKH$SSO\EXWWRQ0,%6\VWHP7KH61030,%VHWWLQJVSURYLGHVXEVFULEHUVWDWLRQV\VWHPLGHQWLILFDWLRQLQIRUPDWLRQ2QWKH61030,%6HWWLQJVSDQH\RXVHWWKHVXEVFULEHUVWDWLRQFRQWDFWGHWDLOVQDPHDQGVWUHHWDGGUHVV7KLVSDQHDOVRGLVSOD\VWKHUHDGRQO\6103V\VWHPGHVFULSWLRQREMHFWLGHQWLILHUV\VWHPXSWLPHDQGV\VWHPVHUYLFHVYDOXHV3URFHGXUH6HWWLQJ61030,%V\VWHPLGHQWLILFDWLRQLQIRUPDWLRQ &OLFNWKH$GPLQEXWWRQ7KH$GPLQRSWLRQVDSSHDULQWKHRSWLRQVSDQH
&3(0DQDJHPHQW,QWHUIDFH5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY ,QWKHRSWLRQVSDQHOFOLFNWKH6103OLQNDQGWKHQFOLFNWKH0,%6\VWHPOLQN7KH61030,%6HWWLQJVSDQHDSSHDUV)LJXUH61030,%6HWWLQJVSDQH 5HYLHZDQGVHWWKH6103V\VWHPLGHQWLILFDWLRQLQIRUPDWLRQLQWKHIROORZLQJILHOGV)LHOG 'HVFULSWLRQV\V'HVFU 'LVSOD\VWKH61030,%YHUVLRQ'HIDXOW7KLV0,%YHUVLRQ%6(0,%PLEV\V2EMHFW,' 'LVSOD\VWKHSULYDWHHQWHUSULVHQXPEHUDQGREMHFWLGHQWLILHUIRU WKH VXEVFULEHU VWDWLRQ 6103VXEV\VWHP'HIDXOWV\V8S7LPH 'LVSOD\VWKHOHQJWKRIWLPHLQKXQGUHGWKVRIDVHFRQGVLQFHWKH6103VXEV\VWHPZDVODVWLQLWLDOL]HG&RQWDFW'HWDLOV &RQWDLQVVXEVFULEHUVWDWLRQFRQWDFWLQIRUPDWLRQ7\SHDQDPHDQGFRQWDFWGHWDLOVVXFKDVDQHPDLODGGUHVVLQWKLVILHOG6XEVFULEHU6WDWLRQ1DPH &RQWDLQVWKHVXEVFULEHUVWDWLRQQDPH7\SHDGHVFULSWLYHQDPHLQWKLVILHOG6WUHHW$GGUHVV &RQWDLQVWKHVXEVFULEHUVWDWLRQVWUHHWDGGUHVVRUORFDWLRQ7\SHDQGDGGUHVVRUORFDWLRQLQWKLVILHOGV\V6HUYLFHV 'LVSOD\VDYDOXHLQGLFDWLQJWKHVHWRIVHUYLFHVSURYLGHGE\WKHV\VWHP7KHYDOXHLQGLFDWHVWKHGDWDOLQNVXEQHWZRUNOD\HU7DEOH0,%6\VWHP7DEOH &OLFNWKH$SSO\EXWWRQ$ODUPV7UDSV8VHWKH6\VWHP$ODUPVDQG61037UDS6HWWLQJVSDQHVWRYLHZV\VWHPDODUPVDQGWRFRQILJXUH6103WUDSV6\VWHP$ODUPV7KH6\VWHP$ODUPVSDQHGLVSOD\VFXUUHQWV\VWHPDODUPV7KLVSDQHLVUHDGRQO\WKHUHDUHQRSDUDPHWHUVWRVHWRQWKLVSDQH3URFHGXUH9LHZLQJ6\VWHP$ODUPV &OLFNWKH0DQDJHPHQWEXWWRQ7KH0DQDJHPHQWRSWLRQVDSSHDULQWKHRSWLRQVSDQH
&3(0DQDJHPHQW,QWHUIDFH5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY ,QWKHRSWLRQVSDQHOFOLFNWKH$ODUPVDQG7UDSVOLQN7KH6\VWHP$ODUPVSDQHDSSHDUV)LJXUH6\VWHP$ODUPVSDQH 5HYLHZWKHFXUUHQWQXPEHURIDODUPVLQWKHIROORZLQJILHOGV)LHOG 'HVFULSWLRQ1XPEHURI&ULWLFDO$ODUPV 'LVSOD\VWKHQXPEHURIFULWLFDODODUPV1XPEHURI0DMRU$ODUPV 'LVSOD\VWKHQXPEHURIPDMRUDODUPV1XPEHURI:DUQLQJ$ODUPV 'LVSOD\VWKHQXPEHURIZDUQLQJRUDGYLVRU\DODUPV7DEOH6\VWHP$ODUPV 5HYLHZWKHFXUUHQWDODUPVHWWLQJVLQWKH$ODUPV7DEOH&ROXPQ 'HVFULSWLRQ,' 'LVSOD\VWKHDODUPW\SHLGHQWLILFDWLRQQXPEHU1DPH 'LVSOD\VWKHDODUPW\SH)RUD OLVWRIDODUPDQGWUDSFRQGLWLRQVVHH6HFWLRQ ³61037UDSV/LVW´6WDWXV ,QGLFDWHVLIWKHDODUPW\SHLVHQDEOHGRUGLVDEOHG9DOXHV2II_2Q6HYHULW\ 'LVSOD\VWKHVHYHULW\RIWKHDODUP9DOXHV&OHDU_&ULWLFDO_0DMRU_:DUQLQJ&DWHJRU\ 'LVSOD\VWKHFDWHJRU\IRUWKHDODUPW\SH9DOXHV5HVWDUW_&RPPXQLFDWLRQ_5)_+DUGZDUH_6HFXULW\_(QYLURQPHQWDO_5HGXQGDQF\_6HUYLFHV_/LQN6WDWXV/DVW'HVFULSWLRQ 'LVSOD\VDPHVVDJHGHVFULELQJWKHDODUP/DVW8SGDWH7LPH 'LVSOD\VWKHGDWHDQGWLPHRIWKHPRVWUHFHQWDODUP7DEOH$ODUPV7DEOH
&3(0DQDJHPHQW,QWHUIDFH5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY61037UDS6HWWLQJV2QWKH61037UDS6HWWLQJVSDQHOFRQILJXUHWKHVXEVFULEHUVWDWLRQ6103WUDSV)URPWKLVSDQH\RXFDQDOVRVHOHFWWUDSVDQGVHQGWKHPRQGHPDQG7RVHQGWUDSV\RXPXVWKDYH61037UDS'HVWLQDWLRQVFRQILJXUHG)RULQVWUXFWLRQVRQFRQILJXULQJ61037UDS'HVWLQDWLRQVVHH6HFWLRQ³6103&RPPXQLWLHVDQG7UDS'HVWLQDWLRQ$GGUHVVHV´3URFHGXUH6HWWLQJ6103WUDSV &OLFNWKH0DQDJHPHQWEXWWRQ7KH0DQDJHPHQWRSWLRQVDSSHDULQWKHRSWLRQVSDQH ,QWKHRSWLRQVSDQHOFOLFN WKH $ODUPV DQG7UDSVOLQNDQGWKHQ FOLFN WKH 7UDSV OLQN7KH61037UDS6HWWLQJVSDQHDSSHDUV)LJXUH61037UDS6HWWLQJV ,QWKH7UDSV7DEOHUHYLHZDQGFRQILJXUHWKH6103WUDSV&ROXPQ 'HVFULSWLRQ7UDS,' 'LVSOD\VWKHWUDSLGHQWLILFDWLRQQXPEHU7UDS1DPH 'LVSOD\VWKHWUDSQDPH$FWLYDWLRQ0RGH ,QGLFDWHVLIWKHWUDSLVHQDEOHGRUGLVDEOHG 7R HQDEOHDWUDSVHOHFW7UXH7RGLVDEOHDWUDSVHOHFW)DOVH9DOXHV7UXH_)DOVH6HYHULW\ 'LVSOD\VWKHVHYHULW\RIWKHWUDSFRQGLWLRQ9DOXHV&OHDU_&ULWLFDO_0DMRU_:DUQLQJ&DWHJRU\ 'LVSOD\VWKHFDWHJRU\RIWKHWUDSFRQGLWLRQ9DOXHV5HVWDUW_&RPPXQLFDWLRQ_5)_+DUGZDUH_6HFXULW\_(QYLURQPHQWDO_5HGXQGDQF\_6HUYLFHV_/LQN6WDWXV'HVFULSWLRQ 'LVSOD\VDGHVFULSWLRQRIWKHWUDSFRQGLWLRQ9DOXH 'LVSOD\VWKHYDOXHUHSRUWHGE\WKH6103WUDS7DEOH7UDSV7DEOH
&3(0DQDJHPHQW,QWHUIDFH5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY &OLFNWKH$SSO\EXWWRQ)RUWHVWLQJSXUSRVHV\RXFDQVHQGVHOHFWHGWUDSVRQGHPDQG7RVHQGWUDSV\RXPXVWKDYH61037UDS'HVWLQDWLRQVFRQILJXUHG)RU LQVWUXFWLRQV RQFRQILJXULQJ61037UDS'HVWLQDWLRQVVHH6HFWLRQ³6103&RPPXQLWLHVDQG7UDS'HVWLQDWLRQ$GGUHVVHV´3URFHGXUH6HQGLQJ6103WUDSVRQGHPDQG ,QWKH7UDSV7DEOHVHOHFWRQHRUPRUH6103WUDSV &OLFNWKH6HQG7UDSEXWWRQ61037UDSV/LVW(YHQW1DPH 'HVFULSWLRQ5HVWDUW2. 7KHVXEVFULEHUVWDWLRQUHVWDUWHGVXFFHVVIXOO\5HVWDUW)DLOXUH 7KHVXEVFULEHUVWDWLRQIDLOHGWRUHVWDUW7KLVHYHQWUHSRUWVDOOFDXVHVRILQLWLDOL]DWLRQHUURUV:HE/RJLQ2. :HELQWHUIDFHORJLQZDVVXFFHVVIXO:HE/RJRXW :HELQWHUIDFHORJRXW:HE/RJLQ)DLOHG :HEORJLQKDVIDLOHGIRUFRQVHFXWLYHDWWHPSWV(WKHUQHW8S (WKHUQHWOLQNLVXS(WKHUQHW'RZQ (WKHUQHWOLQNLVGRZQ)LOH2SHUDWLRQV2. )LOHRSHUDWLRQVDUHVXFFHVVIXO)LOH2SHUDWLRQV)DLO )LOHRSHUDWLRQVIDLOHG&RQILJ&KDQJHG &RQILJXUDWLRQZDVFKDQJHGVXFFHVVIXOO\'XSOLFDWH1VL,S 'XSOLFDWH/$1,3DGGUHVV'XSOLFDWH5IL,S 'XSOLFDWH5),3DGGUHVV7DEOH61037UDSV/LVW
&3(0DQDJHPHQW,QWHUIDFH5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY&3(1HWZRUN&RQILJXUDWLRQ7KLVVHFWLRQGHVFULEHVKRZWR VHWWKH&3(/$1DQG5),3VHWWLQJV6HH6HFWLRQ³1HWZRUN,36HWWLQJV´ VHWWKH&3((WKHUQHWVHWWLQJV6HH6HFWLRQ³(WKHUQHW6HWWLQJV´1HWZRUN,36HWWLQJV2QWKHWKH,36HWWLQJVSDQHFRQILJXUHWKH&3(¶V/$1DQG5),3DGGUHVVHV 8VHWKH/$1,3DGGUHVVZKHQ\RXDFFHVVWKH&3(WKURXJKDGLUHFWFRQQHFWLRQWRLWVSK\VLFDO(WKHUQHWSRUW 8VHWKH5),3DGGUHVVZKHQ\RXDFFHVVWKH&3(WKURXJKWKH5)QHWZRUN3URFHGXUH&RQILJXULQJWKH,36HWWLQJV &OLFNWKH1HWZRUNEXWWRQ7KH,36HWWLQJVSDQHDSSHDUV)LJXUH,36HWWLQJVSDQH 9LHZDQGFRQILJXUHWKH/$1DQG5),3VHWWLQJVLQWKHIROORZLQJILHOGV)LHOG 'HVFULSWLRQ&XUUHQW/$1,3$GGUHVV 'LVSOD\VWKHFXUUHQWO\FRQILJXUHG&3(/$1,3DGGUHVV&RQILJXUHG/$1,3$GGUHVV 7RFKDQJHWKH/$1,3DGGUHVVW\SHDQ,3YDGGUHVVLQWKLVILHOG$IWHUFKDQJLQJWKLVILHOG\RXPXVWUHERRWWKH&3(&XUUHQW/$10DVN 'LVSOD\VWKHFXUUHQWO\FRQILJXUHG/$1QHWPDVN&RQILJXUHG/$10DVN 7RFKDQJHWKH/$1PDVNW\SHDGRWWHGGHFLPDOPDVNLQWKLVILHOG$IWHUFKDQJLQJWKLVILHOG\RXPXVWUHERRWWKH&3(5),3PRGH 'LVSOD\VWKH5),3PRGH6WDWLFRU'+&37RFKDQJHWKHPRGHVHOHFWDYDOXHIURPWKHOLVW5),3$GGUHVV 'LVSOD\VWKH5),3DGGUHVV7RFKDQJHWKHDGGUHVVW\SHDQ,3YDGGUHVVLQWKLVILHOG5),36XEQHW0DVN 'LVSOD\VWKH5),3VXEQHWPDVN7RFKDQJHWKHVXEQHWPDVNW\SHDGRWWHGGHFLPDOPDVNLQWKLVILHOG5),3'HIDXOW*DWHZD\ 'LVSOD\VWKH5)GHIDXOWJDWHZD\7RFKDQJHWKHJDWHZD\W\SHDQ,3YDGGUHVVLQWKLVILHOG7DEOH,36HWWLQJVILHOGV &OLFNWKH$SSO\EXWWRQ
&3(0DQDJHPHQW,QWHUIDFH5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY ,I \RX FKDQJHG WKH YDOXHLQ WKH &RQILJXUHG /$1 ,3 $GGUHVVRU&RQILJXUHG /$1 0DVNILHOGVUHERRWWKHEDVHVWDWLRQD &OLFNWKH0DQDJHPHQWEXWWRQ7KH6\VWHP)XQFWLRQVSDQHDSSHDUVE &OLFNWKH5HERRWEXWWRQ7KH&3(UHERRWV(WKHUQHW6HWWLQJV2QWKH(WKHUQHW6HWWLQJVSDQHV\RXFRQILJXUH9/$1WDJJLQJWKH0$&DGGUHVVWDEOHDQG078SDUDPHWHUV6HFWLRQ³&RQILJXULQJ9/$17DJJLQJ´6HFWLRQ³&RQILJXULQJWKH0$&$GGUHVV7DEOH´6HFWLRQ³&RQILJXULQJWKH078´&RQILJXULQJ9/$17DJJLQJ2QWKH9/$17DJJLQJSDQH\RXFRQILJXUHWKHPDQDJHPHQW9/$1RSWLRQV7KHRSWLRQVLQFOXGHWKH9/$1QXPEHUDQGWKHSSULRULW\YDOXH2XWJRLQJPDQDJHPHQWIUDPHVDUHWDJJHGZLWKWKHFRQILJXUHG9/$1QXPEHUDQGSULRULW\,QFRPLQJPDQDJHPHQWIUDPHVPXVWEHWDJJHGZLWKWKHVDPHYDOXHVRUWKH&3(GURSVWKHLQFRPLQJIUDPHV3URFHGXUH6HWWLQJWKH9/$17DJJLQJ3DUDPHWHUV &OLFNWKH1HWZRUNEXWWRQ7KH,36HWWLQJVSDQHDSSHDUV ,QWKHRSWLRQVSDQHOFOLFNWKH(WKHUQHW6HWWLQJVOLQN7KH9/$17DJJLQJSDQHDSSHDUV)LJXUH9/$17DJJLQJSDQH 9LHZDQGFRQILJXUHWKH/$1DQG5),3VHWWLQJVLQWKHIROORZLQJILHOGV)LHOG 'HVFULSWLRQ9/$1,'>@ 'LVSOD\VDQLGHQWLILHUIRUWKHPDQDJHPHQW9/$19DOXHV$QXPEHULQWKHUDQJHRIWR'HIDXOWSELWV>@ 6HWVWKHSSULRULW\YDOXHIRUWKHPDQDJHPHQW9/$17\SHDYDOXHIURPWR9DOXHV$QXPEHULQWKHUDQJHRIWR'HIDXOW7DEOH,36HWWLQJVILHOGV &OLFNWKH$SSO\EXWWRQ
&3(0DQDJHPHQW,QWHUIDFH5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY ,I \RX FKDQJHG WKH YDOXHLQ WKH &RQILJXUHG /$1 ,3 $GGUHVVRU&RQILJXUHG /$1 0DVNILHOGVUHERRWWKHEDVHVWDWLRQD &OLFNWKH0DQDJHPHQWEXWWRQ7KH6\VWHP)XQFWLRQVSDQHDSSHDUVE &OLFNWKH5HERRWEXWWRQ7KH&3(UHERRWV&RQILJXULQJWKH0$&$GGUHVV7DEOH7KH0$&$GGUHVV7DEOHGLVSOD\VWKH0$&DGGUHVVHVOHDUQHGE\WKH&3(2QWKH0$&$GGUHVV7DEOHSDQH\RXFDQVHWWKH0$&DGGUHVVDJLQJWLPHDQGFOHDUWKH0$&$GGUHVV7DEOH3URFHGXUH0DQDJLQJWKHWKH0$&$GGUHVV7DEOH &OLFNWKH1HWZRUNEXWWRQ7KH,36HWWLQJVSDQHDSSHDUV ,QWKHRSWLRQVSDQHOFOLFNWKH(WKHUQHW6HWWLQJVOLQNDQGWKHQFOLFNWKH0$&$GGUHVV7DEOHOLQN7KH0$&$GGUHVV7DEOHSDQHDSSHDUV)LJXUH0$&$GGUHVV7DEOHSDQH ,QWKH$JLQJWLPH>@VHFILHOGVHWWKH0$&DGGUHVVDJLQJWLPH7KLVLVWKHWLPHXQWLOWDEOHHQWULHVDUHUHPRYHGIURPWKH0$&DGGUHVVWDEOH7\SHDYDOXHLQWKHUDQJHRIWRVHFRQGV 7KH0$&$GGUHVV7DEOHGLVSOD\VWKHIROORZLQJLQIRUPDWLRQ)LHOG 'HVFULSWLRQ,QGH[ 'LVSOD\VDXQLTXHLGHQWLILHUIRUWKHWDEOHHQWU\0$&$GGUHVV 'LVSOD\VWKH0$&DGGUHVVRIDORFDORUUHPRWHQRGH9/$1,' 'LVSOD\VWKHLGHQWLILHUIRUWKH9LUWXDO/$1RQZKLFKWKHQRGHLVDFWLYH$JLQJ7LPH>VHF@ 'LVSOD\VWKHWLPHLQVHFRQGVXQWLOWKHHQWU\ZLOOEHUHPRYHGIURPWKHWDEOH
&3(0DQDJHPHQW,QWHUIDFH5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY)LHOG 'HVFULSWLRQ,QWHUIDFH 'LVSOD\VWKHLQWHUIDFHIURPZKLFKWKH&3(OHDUQHGWKH0$&DGGUHVV3RVVLEOHYDOXHVLQFOXGH 1HWZRUN²WKHEDVHVWDWLRQDFTXLUHGWKHDGGUHVVIURPWKH(WKHUQHWQHWZRUNLQWHUIDFH 5)²WKHEDVHVWDWLRQDFTXLUHGWKHDGGUHVVIURPWKH5)LQWHUIDFH /RFDO²LQGLFDWHVWKH0$&DGGUHVVRIWKHEDVHVWDWLRQLWVHOI7DEOH,36HWWLQJVILHOGV 7RUHPRYHDQHQWU\IURPWKH0$&DGGUHVVWDEOHVHOHFWDURZLQWKHWDEOHDQGFOLFNWKH&OHDUEXWWRQ $IWHUFKDQJLQJWKH$JLQJWLPH>@VHFILHOGFOLFNWKH$SSO\EXWWRQ&RQILJXULQJWKH0782QWKH078SDQH\RXFRQILJXUHWKHPD[LPXPWUDQVPLVVLRQXQLW7KH078VSHFLILHVWKHVL]HRIWKHODUJHVWGDWDXQLWLQE\WHVWKDWWKH&3(ZLOOWUDQVPLW7KH078YDOXHLQFOXGHVWKH/KHDGHUDQGF\FOLFUHGXQGDQF\FKHFN&5&3URFHGXUH6HWWLQJWKH078 &OLFNWKH1HWZRUNEXWWRQ7KH,36HWWLQJVSDQHDSSHDUV ,QWKHRSWLRQVSDQHOFOLFNWKH(WKHUQHW6HWWLQJVOLQNDQGWKHQFOLFNWKH078OLQN7KH078SDQHDSSHDUV)LJXUH078SDQH ,QWKH078>@E\WHVILHOGVHWWKH078YDOXH7\SHDYDOXHLQWKHUDQJHRIWRE\WHV7KHGHIDXOWYDOXHLV &OLFNWKH$SSO\EXWWRQ
&3(0DQDJHPHQW,QWHUIDFH5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY&3(6WDWLVWLFV7KLVVHFWLRQGHVFULEHVKRZWR YLHZJHQHUDO&3(V\VWHPVWDWLVWLFV6HH6HFWLRQ³*HQHUDO6WDWLVWLFV´ YLHZDQGFOHDU&3(5)VWDWLVWLFV6HH6HFWLRQ³5)6WDWLVWLFV´ YLHZDQGFOHDUQHWZRUNVWDWLVWLFV6HH6HFWLRQ³1HWZRUN6WDWLVWLFV´ YLHZDQGFOHDUVHUYLFHIORZVWDWLVWLFV6HH6HFWLRQ³6HUYLFH)ORZ6WDWLVWLFV´*HQHUDO6WDWLVWLFV2QWKHWKH*HQHUDO6WDWLVWLFVSDQH\RXFDQUHYLHZJHQHUDO&3(VWDWXVDQGLQIRUPDWLRQ7KH*HQHUDO6WDWLVWLFVSDQHLVUHDGRQO\WKHUHDUHQRSDUDPHWHUVWRVHWRQWKLVSDQH3URFHGXUH9LHZLQJ*HQHUDO6WDWLVWLFV &OLFNWKH6WDWLVWLFVEXWWRQ7KH*HQHUDO6WDWLVWLFVSDQHDSSHDUV)LJXUH*HQHUDO6WDWLVWLFVSDQH 9LHZWKH&3(JHQHUDOLQIRUPDWLRQLQWKHIROORZLQJILHOGV)LHOG 'HVFULSWLRQ&3(1DPH 'LVSOD\VWKHQDPHRIWKH&3(7KLVQDPHLGHQWLILHVWKH&3(RQWKHEDVHVWDWLRQDQGLQWKHEDVHVWDWLRQPDQDJHPHQWLQWHUIDFH7KHQDPHLVVHWRQWKH6\VWHP)XQFWLRQVSDQH)RULQVWUXFWLRQVRQKRZWRVHWWKHQDPHVHH6HFWLRQ³0DQDJLQJ6\VWHP)XQFWLRQV´06,' 'LVSOD\VWKHPRELOHVWDWLRQ0$&DGGUHVV&3(6WDWXV 'LVSOD\VWKHFXUUHQW&3(VWDWXV9DOXHV ,QLW _ '/ 6\QFKURQL]DWLRQ _ +DQGRYHU '/ DFTXLVLWLRQ _ 8/ $FTXLVLWLRQ _ 5DQJLQJ _+DQGRYHUUDQJLQJ_&DSDELOLWLHVQHJRWLDWLRQ_$XWKRUL]DWLRQ_5HJLVWUDWLRQ_'+&3_72'_7)73_2SHUDWLRQDO_6OHHS_,'/(_$ERUWHG8S7LPH 'LVSOD\VWKHWLPHVLQFHWKHODVW&3(VWDUWXS%6,' 'LVSOD\VWKHEDVHVWDWLRQ0$&DGGUHVV)UHTXHQF\>N+]@ 'LVSOD\VWKH&3(EURDGFDVWIUHTXHQF\LQNLORKHUW]%DQGZLGWK 'LVSOD\V&3(EDQGZLGWKVHWWLQJ9DOXHV0+]_0+]_0+]
&3(0DQDJHPHQW,QWHUIDFH5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY)LHOG 'HVFULSWLRQ&XUUHQW6:YHUVLRQ 'LVSOD\VWKHFXUUHQW&3(VRIWZDUHYHUVLRQQXPEHU&XUUHQW$XWKHQWLFDWLRQ 'LVSOD\VWKHFXUUHQW&3(DXWKHQWLFDWLRQPRGH9DOXHV1XOO_($377/6_($37/62XWHU1$, 'LVSOD\VWKHRXWHUQHWZRUNDFFHVVLGHQWLILHU1H[WUHDXWKHQWLFDWLRQ7DEOH*HQHUDO6WDWLVWLFVILHOGV5)6WDWLVWLFV2QWKHWKH5)6WDWLVWLFVSDQH\RXFDQUHYLHZ&3(5)VWDWXVDQGLQIRUPDWLRQ7KH5)6WDWLVWLFVSDQHLVUHDGRQO\WKHUHDUHQRSDUDPHWHUVWRVHWRQWKLVSDQH3URFHGXUH9LHZLQJ5)6WDWLVWLFV &OLFNWKH6WDWLVWLFVEXWWRQ7KH*HQHUDO6WDWLVWLFVSDQHDSSHDUV,QWKHRSWLRQVSDQHOFOLFNWKH5)OLQN7KH5)SDQHDSSHDUV)LJXUH5)SDQH 9LHZWKH&3(5)VWDWLVWLFVLQWKHIROORZLQJILHOGV)LHOG 'HVFULSWLRQ&3(6WDWXV 'LVSOD\VWKHFXUUHQW&3(VWDWXV9DOXHV ,QLW _ '/ 6\QFKURQL]DWLRQ _ +DQGRYHU '/ DFTXLVLWLRQ _ 8/ $FTXLVLWLRQ _ 5DQJLQJ _+DQGRYHUUDQJLQJ_&DSDELOLWLHVQHJRWLDWLRQ_$XWKRUL]DWLRQ_5HJLVWUDWLRQ_'+&3_72'_7)73_2SHUDWLRQDO_6OHHS_,'/(_$ERUWHG'/566, 'LVSOD\VWKHGRZQOLQNUHFHLYHGVLJQDOVWUHQJWKLQG%P'/&,15 'LVSOD\VWKHGRZQOLQNFDUULHUWRLQWHUIHUHQFHDQGQRLVHUDWLRLQG%P0,02PRGH 'LVSOD\VWKH&3(0XOWLSOH,QSXW0XOWLSOH2XWSXWPRGH9DOXHV6,62_0,02$_0,02%7;3RZHU>G%P@ 'LVSOD\VWKH&3(WUDQVPLVVLRQSRZHULQG%P8/0&6 'LVSOD\VWKHXSOLQN0RGXODWLRQDQG&RGLQJ6FKHPH
&3(0DQDJHPHQW,QWHUIDFH5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY)LHOG 'HVFULSWLRQ9DOXHV1$_436.&7&_436.&7&_4$0&7&_4$0&7&_4$0&7&_4$0&7&_4$0&7&'/0&6 'LVSOD\VWKHGRZQOLQN0RGXODWLRQDQG&RGLQJ6FKHPH9DOXHV1$_436.&7&_436.&7&_4$0&7&_4$0&7&_4$0&7&_4$0&7&_4$0&7&'LVWDQFHIURP%6 'LVSOD\VWKHHVWLPDWHGGLVWDQFHRIWKH&3(IURPWKHEDVHVWDWLRQLQPHWHUV5HFHLYHGE\WHV 'LVSOD\VWKHDPRXQWRIGDWDUHFHLYHGE\WKH&3(LQE\WHV5HFHLYHGSDFNHWV 'LVSOD\VWKHQXPEHURISDFNHWVUHFHLYHGE\WKH&3(6HQWE\WHV 'LVSOD\VDPRXQWRIGDWDVHQWE\WKH&3(LQE\WHV6HQWSDFNHWV 'LVSOD\VWKHQXPEHURISDFNHWVVHQWE\WKH&3('/UDWH>.EVHF@ 'LVSOD\VWKHGRZQOLQNUDWHLQNLORELWVSHUVHFRQG8/UDWH>.EVHF@ 'LVSOD\VWKHXSOLQNUDWHLQNLORELWVSHUVHFRQG7DEOH5)6WDWLVWLFVILHOGV1HWZRUN6WDWLVWLFV2QWKHWKH1HWZRUNSDQH\RXFDQUHYLHZ/$1DQG5)QHWZRUNLQIRUPDWLRQDQGVWDWLVWLFV2QWKLVSDQH\RXFDQFOHDUWKHQHWZRUNVWDWLVWLFV3URFHGXUH9LHZLQJ1HWZRUN6WDWLVWLFV &OLFNWKH6WDWLVWLFVEXWWRQ7KH*HQHUDO6WDWLVWLFVSDQHDSSHDUV,QWKHRSWLRQVSDQHOFOLFNWKH1HWZRUNOLQN7KH1HWZRUNSDQHDSSHDUV)LJXUH1HWZRUNSDQH 9LHZWKH/$1DQG5)QHWZRUNLQIRUPDWLRQLQWKHIROORZLQJILHOGV)LHOG 'HVFULSWLRQ&XUUHQW/$1,3$GGUHVV 'LVSOD\VWKHFXUUHQW&3(/$1,3DGGUHVV8VHWKH/$1,3DGGUHVVZKHQ\RXDFFHVVWKH&3(WKURXJKDGLUHFWFRQQHFWLRQWRLWVSK\VLFDO(WKHUQHWSRUW&XUUHQW5),3$GGUHVV 'LVSOD\VWKHFXUUHQW&3(5),3DGGUHVV8VHWKH5),3DGGUHVVZKHQ\RXDFFHVVWKH&3(WKURXJKWKH5)QHWZRUN5),3'HIDXOW*: 'LVSOD\VWKH&3(GHIDXOWJDWHZD\RQWKH5)QHWZRUN
&3(0DQDJHPHQW,QWHUIDFH5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY)LHOG 'HVFULSWLRQ'+&3/HDVH7LPH 'LVSOD\VWKH&3(GHIDXOW'+&3OHDVHWLPH7DEOH1HWZRUN6WDWLVWLFVILHOGV 9LHZWKHQHWZRUNVWDWLVWLFVLQWKH666WDWLVWLF7DEOH)LHOG 'HVFULSWLRQ'LUHFWLRQ 'LVSOD\VWKHGLUHFWLRQRIQHWZRUNWUDIILFWRDQGIURPWKH&3(,QSXWRU2XWSXW3DFNHWVVHF 'LVSOD\VWKHSDFNHWWUDQVPLVVLRQUDWHIRULQERXQGDQGRXWERXQGWUDIILFLQSDFNHWVSHUVHFRQG3DFNHWV 'LVSOD\VWKHWRWDOQXPEHURILQERXQGDQGRXWERXQGSDFNHWV7DEOH666WDWLVWLF7DEOH 7RFOHDUWKH666WDWLVWLFV7DEOHFOLFNWKH&OHDUVWDWLVWLFVEXWWRQ6HUYLFH)ORZ6WDWLVWLFV2QWKHWKH6HUYLFH)ORZSDQH\RXFDQUHYLHZVHUYLFHIORZVWDWLVWLFVIRUHDFKVHUYLFHIORZGHILQHGRQWKH&3((DFKURZLQWKH6HUYLFHIORZVWDWLVWLFVWDEOHGLVSOD\VLQIRUPDWLRQIRUDVHUYLFHIORZ2QWKLVSDQH\RXFDQFOHDUWKHVWDWLVWLFVDOORIWKHVHUYLFHIORZVRUIRUVHOHFWHGVHUYLFHIORZV3URFHGXUH9LHZLQJ6HUYLFH)ORZ6WDWLVWLFV &OLFNWKH6WDWLVWLFVEXWWRQ7KH*HQHUDO6WDWLVWLFVSDQHDSSHDUV ,QWKHRSWLRQVSDQHOFOLFNWKH6HUYLFH)ORZOLQN7KH6HUYLFH)ORZSDQHDSSHDUV)LJXUH1HWZRUNSDQH 9LHZWKHVHUYLFHIORZVWDWLVWLFVLQWKH6HUYLFHIORZVWDWLVWLFVWDEOH)LHOG 'HVFULSWLRQ6)1DPH 'LVSOD\VWKHQDPHRIWKHVHUYLFHIORZ6HUYLFHIORZ,' 'LVSOD\VDQXPHULFLGHQWLILHUIRUWKHVHUYLFHIORZ
&3(0DQDJHPHQW,QWHUIDFH5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY)LHOG 'HVFULSWLRQ&,' 'LVSOD\VWKHFRQQHFWLRQLGHQWLILHUIRUWKHVHUYLFHIORZ'LUHFWLRQ 'LVSOD\VWKHGLUHFWLRQIRUWKHVHUYLFHIORZXSOLQNRUGRZQOLQN9DOXHV'/_8/6FKHGXOLQJ6HUYLFH 'LVSOD\VWKHVFKHGXOLQJVHUYLFHIRUWKHVHUYLFHIORZ%HVW(IIRUW1HDU5HDO7LPH5HDO7LPH([WHQGHG5HDO7LPHRU8QVROLFLWHG*UDQW6HUYLFH9DOXHV%(_Q57_57_H57_8*63DFNHWV 'LVSOD\VWKHQXPEHURISDFNHWVKDQGOHGE\WKHVHUYLFHIORZ%\WHV 'LVSOD\VWKHQXPEHURIE\WHVKDQGOHGE\WKHVHUYLFHIORZ7DEOH6HUYLFHIORZVWDWLVWLFV7DEOH 7RFOHDUWKHVWDWLVWLFVIRUDVHOHFWHGVHUYLFHIORZVHOHFWWKHVHUYLFHIORZLQWKH6HUYLFHIORZVWDWLVWLFVWDEOHDQGFOLFNWKH&OHDU6)VWDWLVWLFVEXWWRQ 7RFOHDUWKHVWDWLVWLFVIRUDOOVHUYLFHIORZVFOLFNWKH&OHDU$OOEXWWRQ
&3(0DQDJHPHQW,QWHUIDFH5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY:L0$;6HWWLQJV7KLVVHFWLRQGHVFULEHVKRZWR FRQILJXUHWKHVFDQQHUVHWWLQJV6HH6HFWLRQ³6FDQQHU6HWWLQJV´ FRQILJXUH:L0$;DXWKHQWLFDWLRQ6HH6HFWLRQ³:L0$;$XWKHQWLFDWLRQ´ YLHZLQIRUPDWLRQIRU WKHVHUYLQJDQGQHLJKERULQJ EDVHVWDWLRQV6HH6HFWLRQ ³9LHZLQJ%DVH6WDWLRQ,QIRUPDWLRQ´ FRQILJXUHWKH:L0$;UDGLRRSWLRQV6HH6HFWLRQ³&RQILJXULQJ:L0$;5DGLR3DUDPHWHUV´6FDQQHU6HWWLQJV2QWKHWKH6FDQQHU6HWWLQJVSDQH\RXVHWWKH&,15&DUULHUWR,QWHUIHUHQFH1RLVH5DWLRYDOXHDQGGHILQHWKHVFDQQLQJIUHTXHQFLHVIRUWKH&3(7KH&3(XVHVWKLVLQIRUPDWLRQWRVFDQIRUDQGORFDWHDYDLODEOHEDVHVWDWLRQV'XULQJWKHVFDQWKH&3(EXLOGVDWDEOHRIGHWHFWHGEDVHVWDWLRQV,IWKH&3(ILQGVDEDVHVWDWLRQZLWKD&,15JUHDWHUWKDQWKHXVHUGHILQHGWKUHVKROGLWVWRSVWKHVFDQDQGFRQQHFWVWRWKHEDVHVWDWLRQLPPHGLDWHO\7KLVWHFKQLTXHVFDQQLQJWLPH2QWKLVSDQH\RXFDQDOVRVWDUWDQGVWRS&3(¶VVFDQIRUEDVHVWDWLRQV3URFHGXUH:RUNLQJZLWK:L0$;6FDQQHU6HWWLQJV &OLFNWKH:L0$;EXWWRQ7KH6FDQQHU6HWWLQJVSDQHDSSHDUV)LJXUH6FDQQHU6HWWLQJVSDQH 7KH$XWRFRQQHFW&,15WKUHVKROGILHOGGLVSOD\VWKH&DUULHUWR,QWHUIHUHQFH1RLVH5DWLRWKUHVKROG 7KH&RQQHFWWRUHFHQWXVHG%6ILHOGFDQEHVHWWRFRQQHFWWRDUHFHQWO\XVHGEDVHVWDWLRQ7KHGHIDXOWRSWLRQLV1R
&3(0DQDJHPHQW,QWHUIDFH5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY 7KH6FDQQHU7DEOHOLVWVWKHIUHTXHQFLHVVFDQQHGE\WKH&3(WRORFDWHLWVEDVHVWDWLRQ7KH6FDQQHU7DEOHGLVSOD\VWKHIROORZLQJLQIRUPDWLRQ&ROXPQ 'HVFULSWLRQ3ULRULW\ 6HWVWKHSULRULW\IRUWKHVFDQQLQJWDEOHHQWU\3ULRULW\LVUDQNHGLQQXPHULFRUGHU9DOXHV$QXPHULFYDOXH%DQGZLGWK>0+]@ 'LVSOD\VWKHEDQGZLGWKRIWKHVFDQQLQJWDEOHHQWU\9DOXHV0+]_0+]_0+]6WDUWIUHTXHQF\>N+]@ 'LVSOD\VWKHVWDUWRIWKHVFDQQLQJUDQJHDVDIUHTXHQF\LQNLORKHUW]6WHS>N+]@ 'LVSOD\VVFDQQLQJLQFUHPHQWLQWKHVFDQQLQJUDQJHLQNLORKHUW](QGIUHTXHQF\>N+]@ 'LVSOD\VWKHHQGRIWKHVFDQQLQJUDQJHDVDIUHTXHQF\LQNLORKHUW]7DEOH6FDQQHU7DEOHILHOGV 7KH6FDQ5HSRUWILHOGGLVSOD\VDOLVWRIEDVHVWDWLRQVORFDWHGE\WKHVFDQ7KHOLVWLQFOXGHVWKHIROORZLQJLQIRUPDWLRQIRUHDFKEDVHVWDWLRQ WKHEDVHVWDWLRQ0$&DGGUHVV WKHEDVHVWDWLRQIUHTXHQF\ WKHEDVHVWDWLRQEDQGZLGWK WKHWUDQVPLVVLRQSUHDPEOH WKH&,155YDOXH WKH566,YDOXHLQG%P 7RDGGDQHQWU\WRWKH6FDQQHU7DEOHFOLFNWKH EXWWRQ$QHZURZDSSHDUVLQWKHWDEOH<RXFDQDGGXSWRURZVWRWKHWDEOH6HWWKHYDOXHVIRUWKHQHZVFDQQLQJUDQJHLQWKH3ULRULW\%DQGZLGWK>0+]@6WDUWIUHTXHQF\>N+]@6WHS>N+]@DQG(QGIUHTXHQF\>N+]@ILHOGV 7RUHPRYHDURZIURPWKHWDEOHVHOHFWWKHURZDQGFOLFNWKH EXWWRQ7KHURZLVUHPRYHGIURPWKHWDEOH $IWHUDGGLQJRUHGLWLQJURZVLQWKH6FDQ5HSRUWWDEOHRUDIWHUFKDQJLQJWKHYDOXHVLQWKH$XWRFRQQHFW&,15WKUHVKROGRU&RQQHFWWRUHFHQWXVHG%6ILHOGVFOLFNWKH$SSO\EXWWRQ 7REHJLQVFDQQLQJIRUEDVHVWDWLRQVFOLFNWKH&RQQHFWEXWWRQ 7RVWRSVFDQQLQJIRUEDVHVWDWLRQVFOLFNWKH'LVFRQQHFWEXWWRQ 7RGHOHWHDOOVFDQQLQJFRQILJXUDWLRQLQIRUPDWLRQFOLFNWKH'HOHWH$OOEXWWRQ
&3(0DQDJHPHQW,QWHUIDFH5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY:L0$;$XWKHQWLFDWLRQ2QWKHWKH$XWKHQWLFDWLRQSDQHV\RXVHWYLHZDQGVHWWKH:L0$;DXWKHQWLFDWLRQSDUDPHWHUV7KH &3( VXSSRUWV ($37/6 ([WHQVLEOH $XWKHQWLFDWLRQ 3URWRFRO  7UDQVSRUW /D\HU 6HFXULW\DQG ($377/6 ([WHQVLEOH $XWKHQWLFDWLRQ 3URWRFRO  7XQQHOHG 7UDQVSRUW /D\HU 6HFXULW\DXWKHQWLFDWLRQ<RXFDQDOVRVHWWKH&3(WRXVHQXOOQRDXWKHQWLFDWLRQ7KLVVHFWLRQGHVFULEHVKRZWR YLHZ WKH FXUUHQW &3( DXWKHQWLFDWLRQ VHWWLQJ 6HH 6HFWLRQ  ³9LHZLQJ WKH &3($XWKHQWLFDWLRQ0HWKRG´ FRQILJXUH($37/6DXWKHQWLFDWLRQ6HH6HFWLRQ³&RQILJXULQJ($37/6$XWKHQWLFDWLRQ´ FRQILJXUH ($37//6 DXWKHQWLFDWLRQ 6HH 6HFWLRQ  ³&RQILJXULQJ ($377/6$XWKHQWLFDWLRQ´ FRQILJXUHQXOODXWKHQWLFDWLRQ6HH6HFWLRQ³&RQILJXULQJ1XOO$XWKHQWLFDWLRQ´ YLHZ WKH DXWKHQWLFDWLRQ FHUWLILFDWH ILOHQDPHV 6HH 6HFWLRQ  ³9LHZLQJ $XWKHQWLFDWLRQ&HUWLILFDWHV´9LHZLQJWKH&3($XWKHQWLFDWLRQ0HWKRG7KH$XWKHQWLFDWLRQ6HWWLQJSDQHGLVSOD\VWKHFXUUHQW&3(:L0$;DXWKHQWLFDWLRQFRQILJXUDWLRQ7KH$XWKHQWLFDWLRQ6HWWLQJSDQHLVUHDGRQO\WKHUHDUHQRSDUDPHWHUVWRVHWRQWKLVSDQH3URFHGXUH9LHZLQJ&3($XWKHQWLFDWLRQ &OLFNWKH:L0$;EXWWRQ7KH6FDQQHU6HWWLQJVSDQHDSSHDUV ,Q WKH RSWLRQV SDQHO FOLFN WKH $XWKHQWLFDWLRQ OLQN 7KH $XWKHQWLFDWLRQ 0HWKRG SDQHDSSHDUV 2QWKH$XWKHQWLFDWLRQ0HWKRGSDQHFOLFNWKH6KRZ6HWWLQJVEXWWRQ7KH$XWKHQWLFDWLRQ6HWWLQJSDQHDSSHDUV)LJXUH$XWKHQWLFDWLRQ6HWWLQJSDQH 7KH&RQILJXUHG$XWKHQWLFDWLRQILHOGGLVSOD\VWKHFXUUHQWFRQILJXUDWLRQVHWWLQJ1XOORU($3 7KH2XWHU1$,ILHOGGLVSOD\VWKHRXWHU1HWZRUN$FFHVV,GHQWLILHU
&3(0DQDJHPHQW,QWHUIDFH5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY&RQILJXULQJ($37/6$XWKHQWLFDWLRQ2Q WKH ($37/6 SDQH \RX FRQILJXUH ([WHQVLEOH $XWKHQWLFDWLRQ 3URWRFRO  7UDQVSRUW /D\HU6HFXULW\DXWKHQWLFDWLRQE\VSHFLI\LQJWKHDXWKHQWLFDWLRQUHDOP$IWHU FRQILJXULQJ($37/6\RXPXVWUHERRWWKH&3(3URFHGXUH&RQILJXULQJ($37/6 &OLFNWKH:L0$;EXWWRQ7KH6FDQQHU6HWWLQJVSDQHDSSHDUV ,Q WKH RSWLRQV SDQHO FOLFN WKH $XWKHQWLFDWLRQ OLQN 7KH $XWKHQWLFDWLRQ 0HWKRG SDQHDSSHDUV 2QWKH7KH$XWKHQWLFDWLRQ0HWKRGSDQHFOLFNWKH6HW 7/6EXWWRQ7KH ($37/6SDQHDSSHDUV)LJXUH($37/6SDQH ,QWKH5HDOPILHOGW\SHWKHDXWKHQWLFDWLRQUHDOP $IWHUFKDQJLQJWKH5HDOPILHOGUHERRWWKH&3(D &OLFNWKH0DQDJHPHQWEXWWRQ7KH6\VWHP)XQFWLRQVSDQHDSSHDUVE &OLFNWKH5HERRWEXWWRQ7KH&3(UHERRWV
&3(0DQDJHPHQW,QWHUIDFH5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY&RQILJXULQJ($377/6$XWKHQWLFDWLRQ2QWKH($377/6SDQH\RXFRQILJXUH([WHQVLEOH$XWKHQWLFDWLRQ3URWRFRO7XQQHOHG7UDQVSRUW/D\HU 6HFXULW\ DXWKHQWLFDWLRQ E\ VSHFLI\LQJ WKH DXWKHQWLFDWLRQ UHDOP DQG D XVHUQDPH DQGSDVVZRUG$IWHUFRQILJXULQJ($377/6\RXPXVWUHERRWWKH&3(3URFHGXUH&RQILJXULQJ($377/6 &OLFNWKH:L0$;EXWWRQ7KH6FDQQHU6HWWLQJVSDQHDSSHDUV ,Q WKH RSWLRQV SDQHO FOLFN WKH $XWKHQWLFDWLRQ OLQN 7KH $XWKHQWLFDWLRQ 0HWKRG SDQHDSSHDUV 2QWKH7KH$XWKHQWLFDWLRQ0HWKRGSDQHFOLFNWKH6HW77/6EXWWRQ7KH($377/6SDQHDSSHDUV)LJXUH($377/6SDQH 6HWWKH($377/6SDUDPHWHUVLQWKHIROORZLQJILHOGV&ROXPQ 'HVFULSWLRQ5HDOP 6SHFLI\WKH($377/6DXWKHQWLFDWLRQUHDOP8VHUQDPH 6SHFLI\WKH($377/6XVHUQDPH3DVVZRUG 6SHFLI\WKHSDVVZRUGIRUWKH($377/6XVHU&RQILUP3DVVZRUG 5HW\SHWKHSDVVZRUGWRFRQILUPLW7DEOH($377/6$XWKHQWLFDWLRQILHOGV &OLFNWKH$SSO\EXWWRQ $IWHUFKDQJLQJDQGRIWKHILHOGVRQWKH($377/6SDQHUHERRWWKH&3(D &OLFNWKH0DQDJHPHQWEXWWRQ7KH6\VWHP)XQFWLRQVSDQHDSSHDUVE &OLFNWKH5HERRWEXWWRQ7KH&3(UHERRWV
&3(0DQDJHPHQW,QWHUIDFH5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY&RQILJXULQJ1XOO$XWKHQWLFDWLRQ<RXHQDEOHQXOODXWKHQWLFDWLRQRQWKH$XWKHQWLFDWLRQ0HWKRGSDQH3URFHGXUH(QDEOLQJ1XOO$XWKHQWLFDWLRQ &OLFNWKH:L0$;EXWWRQ7KH6FDQQHU6HWWLQJVSDQHDSSHDUV ,Q WKH RSWLRQV SDQHO FOLFN WKH $XWKHQWLFDWLRQ OLQN 7KH $XWKHQWLFDWLRQ 0HWKRG SDQHDSSHDUV 2QWKH7KH$XWKHQWLFDWLRQ0HWKRGSDQHFOLFNWKH6HW1XOOEXWWRQ9LHZLQJ$XWKHQWLFDWLRQ&HUWLILFDWHV<RXFDQYLHZWKHDXWKHQWLFDWLRQFHUWLILFDWHILOHQDPHVRQWKH9LHZ&HUWLILFDWHVSDQH7KH9LHZ&HUWLILFDWHVSDQHLVUHDGRQO\WKHUHDUHQRSDUDPHWHUVWRVHWRQWKLVSDQH3URFHGXUH9LHZLQJ$XWKHQWLFDWLRQ&HUWLILFDWH)LOHQDPHV &OLFNWKH:L0$;EXWWRQ7KH6FDQQHU6HWWLQJVSDQHDSSHDUV ,QWKHRSWLRQVSDQHOFOLFNWKH$XWKHQWLFDWLRQOLQNDQGWKHQFOLFNWKH9LHZ&HUWLILFDWHVOLQN7KH9LHZ&HUWLILFDWHVSDQHDSSHDUV)LJXUH9LHZ&HUWLILFDWHVSDQH 7KHILHOGVRQ WKH 9LHZ&HUWLILFDWHVSDQHOLVW WKHILOHQDPHVIRUWKH 'HYLFH&HUWLILFDWHWKH'HYLFH3ULYDWH.H\WKH&$&HUWLILFDWHDQGWKH5DQGRP6HHILOH
&3(0DQDJHPHQW,QWHUIDFH5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY9LHZLQJ%DVH6WDWLRQ,QIRUPDWLRQ2Q WKH 0RELOLW\ SDQH \RX FDQ YLHZ LQIRUPDWLRQ DERXW WKH EDVH VWDWLRQ VHUYLQJ WKH &3( DQGLQIRUPDWLRQ DERXW QHLJKERULQJ EDVH VWDWLRQV 7KH 0RELOLW\ SDQH LV UHDGRQO\ WKHUH DUH QRSDUDPHWHUVWRVHWRQWKLVSDQH3URFHGXUH9LHZLQJ%DVH6WDWLRQ,QIRUPDWLRQ &OLFNWKH:L0$;EXWWRQ7KH6FDQQHU6HWWLQJVSDQHDSSHDUV ,QWKHRSWLRQVSDQHOFOLFNWKH0RELOLW\OLQN7KH0RELOLW\SDQHDSSHDUV)LJXUH0RELOLW\SDQH 7KH 6HUYLQJ %6 WDEOH GLVSOD\V LQIRUPDWLRQ DERXW WKH EDVH VWDWLRQ WR ZKLFK WKH &3( LVFRQQHFWHG&ROXPQ 'HVFULSWLRQ%6,' 'LVSOD\VWKH0$&DGGUHVVRIWKHEDVHVWDWLRQWRZKLFKWKH&3(LVFRQQHFWHG3UHDPEOH,QGH[ 'LVSOD\VWKHEDVHVWDWLRQ¶VSUHDPEOHLQGH[)UHTXHQF\ 'LVSOD\VWKHIUHTXHQF\$FFRUGLQJWR&3(VIUHTXHQF\EDQG'/566, 'LVSOD\VWKHGRZQOLQN566,5HFHLYHG6LJQDO6WUHQJWK,QGLFDWLRQ8/566, 'LVSOD\VWKHXSOLQN566,5HFHLYHG6LJQDO6WUHQJWK,QGLFDWLRQ7DEOH6HUYLQJ%6WDEOH 7KH6FDQQHG1HLJKERU%6OLVWWDEOHGLVSOD\VLQIRUPDWLRQDERXWQHLJKERULQJEDVHVWDWLRQVGHWHFWHGE\WKH&3(7KLVWDEOHGLVSOD\VWKHVDPHLQIRUPDWLRQIRUQHLJKERULQJEDVHVWDWLRQVDVWKDWVKRZQLQ7DEOH³6HUYLQJ%6WDEOH´
&3(0DQDJHPHQW,QWHUIDFH5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY&RQILJXULQJ:L0$;5DGLR3DUDPHWHUV2QWKH5DGLR6HWWLQJVSDQH\RXFDQHQDEOHDQGGLVDEOH:L0$;UDGLRVHWWLQJV$IWHUPDNLQJFKDQJHVRQWKH5DGLR6HWWLQJVSDQH\RXPXVWUHERRWWKH&3(3URFHGXUH6HWWLQJ:L0$;5DGLR3DUDPHWHUV1RWDYDLODEOHIRU:&6*+] &OLFNWKH:L0$;EXWWRQ7KH6FDQQHU6HWWLQJVSDQHDSSHDUV ,QWKHRSWLRQVSDQHOFOLFNWKH5DGLROLQN7KH5DGLR6HWWLQJVSDQHDSSHDUV)LJXUH5DGLR6HWWLQJVSDQH 6HWWKHIROORZLQJ:L0$;UDGLRRSWLRQV&ROXPQ 'HVFULSWLRQ0D[LPXP 7[ 3RZHU(QKDQFHG'LVSOD\V WKH VHWWLQJ IRU WUDQVPLVVLRQ SRZHU HQKDQFHPHQW :KHQ 2Q WUDQVPLVVLRQ SRZHU LVHQKDQFHG:KHQ2IIWUDQVPLVVLRQSRZHULVQRWHQKDQFHG7KHGHIDXOWVHWWLQJLV2II9DOXHV2Q_2II%RRVWRQ&'0$&RQWHQWLRQ 'HWHUPLQHVLIWUDQVPLVVLRQSRZHULVERRVWHGRQ&'0$&RGH'LYLVLRQ0XOWLSOH$FFHVVEDVHFRQWHQWLRQ :KHQ 2Q WUDQVPLVVLRQ SRZHU LV ERRVWHG ZKHQ DQRWKHU VWDWLRQ FRPSHWHV IRUWKH VDPH EDQGZLGWK :KHQ 2II WUDQVPLVVLRQ SRZHU LV QRW ERRVWHG ZKHQ WKH &3( GHWHFWVFRQWHQWLRQ7KHGHIDXOWYDOXHLV2II9DOXHV2Q_2II7DEOH5DGLR6HWWLQJVILHOGV $IWHUPDNLQJFKDQJHVFOLFNWKH$SSO\EXWWRQ $IWHUFKDQJLQJWKH0D[LPXP7[3RZHU(QKDQFHGRU%RRVWRQ&'0$&RQWHQWLRQILHOGVUHERRWWKH&3(D &OLFNWKH0DQDJHPHQWEXWWRQ7KH6\VWHP)XQFWLRQVSDQHDSSHDUVE &OLFNWKH5HERRWEXWWRQ7KH&3(UHERRWV
$SSHQGL[$:L1:L16SHFLILFDWLRQV5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY$SSHQGL[$:L1:L16SHFLILFDWLRQV5DGLRDQG0RGHP )UHTXHQF\E\&3(0RGHO1XPEHU :L10+]WR0+] :L10+]WR0+] :L1:L10+]WR0+]0+]WR0+] :L10+]WR0+] :L10+]W0+] 5DGLR$FFHVV0HWKRG,(((H2)'0$ 2SHUDWLRQ0RGH7'' &RPSDWLELOLW\:DYH3URILOH0,02 &KDQQHO%DQGZLGWK0+]0+]0+]QRWDYDLODEOHIRU:L1:L10+] )UHTXHQF\5HVROXWLRQ0+] $QWHQQD6XSSRUW,QWHJUDWHG'XDO6ODQW$QWHQQD $QWHQQD'LYHUVLW\6XSSRUW67&05&0,02 2XWSXW3RZHUDYHUDJHG%PG%1RWHIRU:&6&3(*+]WKHRXWSXWSRZHULVG%PIL[HG 73&G% ))70RGXODWLRQ))7SRLQWV436.4$04$0 )(&&RQYROXWLRQDO7XUER&RGH '\QDPLF5DQJH 5;G%PG%P 7;G%PG%P'DWD&RPPXQLFDWLRQ7KURXJK,QGRRU8QLW (WKHUQHW6WDQGDUG&RPSOLDQFH,(((&60$&' (WKHUQHW3RUW0ESV+DOI)XOO'XSOH[ZLWK$XWR1HJRWLDWLRQ 7UDIILF&ODVVLILFDWLRQ '6&3,3726)LHOG ,33URWRFRO1H[W+HDGHU)LHOG ,30DVNHG6RXUFH$GGUHVV ,3'HVWLQDWLRQ$GGUHVV 3URWRFRO6RXUFH3RUW5DQJH 3URWRFRO'HVWLQDWLRQ3RUW5DQJH 6RXUFH0$&$GGUHVV6$0RGH 'HVWLRQDWLRQ0$&$GGUHVV6$0RGH
$SSHQGL[$:L1:L16SHFLILFDWLRQV5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY 9/$1,'6$0RGH (WKHUW\SH6$0RGH 0D[8VHU7KURXJKSXW '/0ESV 8/0ESV,QGRRU8QLW(7+&RPSDWLELOLW\ :L1'DWD$GDSWRU 535XJJHG3RZHU,QMHFWRUVXSSRUWLQJ9'&RU9'&RU9$& 536XSSRUWLQJHPEHGGHGVHULDOSURWRFROV&RQILJXUDWLRQDQG0DQDJHPHQW /RFDO0DQDJHPHQW7HOQHW:HE%URZVHU 5HPRWH0DQDJHPHQW6103$JHQW $XWKHQWLFDWLRQ($377/6'HYLFH;GLJLWDOFHUWLILFDWH 6RIWZDUH8SJUDGH)73 5HPRWH&RQILJXUDWLRQ)730HFKDQLFDO(OHFWULFDODQG(QYLRQPHQWDO 'LPHQVLRQVZLWKRXWDQWHQQDPPîPPîPP :HLJKWNJ 3RZHU6RXUFH9'&IURPWKHLQGRRUXQLWRYHUWKHLQGRRURXWGRRUFDEOH 3RZHU&RQVXPSWLRQ:W\SLFDO 2SHUDWLQJ7HPSHUDWXUH&WR& 2SHUDWLQJ+XPLGLW\WRQRQFRQGHQVLQJ6WDQGDUGV&RPSOLDQFH (0& )&&3DUW6XESDUW%&ODVV% (76,(1 6DIHW\ 7898/ (1 5DGLR )&&3DUW )&&3DUW (76,(1 (QYLURQPHQWDO(76
$SSHQGL[%/LVWRI$FURQ\PV5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY$SSHQGL[%/LVWRI$FURQ\PV$FURQ\P 'HVFULSWLRQ$$$ $XWKHQWLFDWLRQ$XWKRUL]DWLRQ$FFRXQWLQJ$(6 $GYDQFHG(QFU\SWLRQ6WDQGDUG$/* $SSOLFDWLRQ/HYHO*DWHZD\$0& $GDSWLYH0RGXODWLRQDQG&RGLQJ$3, $SSOLFDWLRQ3URJUDPPLQJ,QWHUIDFH$538 $YHUDJH5HYHQXH3HU8QLW$61 $FFHVV6HUYLFH1HWZRUN$63 $SSOLFDWLRQ6HUYLFH3URYLGHU$73& $XWRPDWLF7UDQVPLW3RZHU&RQWURO%( %HVW(IIRUW%36. %LQDU\3KDVH6KLIW.H\LQJ%67 %DVH6WDWLRQ%:$ %URDGEDQG:LUHOHVV$FFHVV&$3(; &DSLWDO([SHQGLWXUH&%67 &RPSDFW%DVH6WDWLRQ&,15 &DUULHUWR,QWHUIHUHQFH1RLVH5DWLR&3( &XVWRPHU3UHPLVH(TXLSPHQW'(6 'DWD(QFU\SWLRQ6WDQGDUG'+&3 '\QDPLF+RVW&RQILJXUDWLRQ3URWRFRO'0= 'HPLOLWDUL]HG=RQH'16 'RPDLQ1DPH6\VWHP'6/ 'LJLWDO6XEVFULEHU/LQH'6/$0 'LJLWDO6XEVFULEHU/LQH0XOWLSOH[HU'9% 'LJLWDO9LGHR%URDGFDVW($3 ([WHQVLEOH$XWKHQWLFDWLRQ3URWRFRO(UW36 ([WHQGHG5HDO7LPH3ROOLQJ6HUYLFH)&$36 )XQFWLRQDOLW\&RQILJXUDWLRQ$FFRXQWDELOLW\3HUIRUPDQFH6HFXULW\))7 )DVW)RXULHU7UDQVIHU)73 )LOH7UDQVIHU3URWRFRO)86& )XOO\8VHG6XE&KDQQHOL]DWLRQ);6 )RUHLJQ([FKDQJH6XEVFULEHU*: *DWHZD\+$ +RPH$JHQW+773 +\SHU7H[W7UDQVSRUW3URWRFRO,$' ,QWHJUDWHG$FFHVV'HYLFH,&03 ,QWHUQHW&RQWURO0HVVDJH3URWRFRO,'8 ,QGRRU8QLWV,((( ,QVWLWXWHRI(OHFWURQLFDQG(FOHFWLF(QJLQHHUV,*03 ,QWHUQHW*URXS0XOWLFDVW3URWRFRO,06 ,30XOWLPHGLD6\VWHP,26 ,QWHUQHWZRUN2SHUDWLQJ6\VWHP,3 ,QWHUQHW3URWRFRO
$SSHQGL[%/LVWRI$FURQ\PV5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY$FURQ\P 'HVFULSWLRQ,36HF ,36HFXULW\/$1 /RFDO$UHD1HWZRUN/26 /LQHRIVLJKW0$& 0HGLD$FFHVV&RQWURO0$, 0XOWLSOH$FFHVV,QWHUIHUHQFH0$1 0HWURSROLWDQ$UHD1HWZRUN0&6 0RGXODWLRQDQG&RGLQJ6FKHPH0*&3 0HGLD*DWHZD\&RQWURO3URWRFRO0,02 0XOWLSOH,QSXW0XOWLSOH2XWSXW0,3 0RELOH,3026 0HDQ2SLQLRQ6FRUHYRLFHTXDOLW\026 0HDQ2SLQLRQ6FRUHYRLFHTXDOLW\06 0RELOH6WDWLRQ06* 0XOWL6HUYLFH*DWHZD\V078 0D[LPXP7UDQVPLVVLRQ8QLW078 0XOWLSOH7HQDQW8QLW1$, 1HWZRUN$FFHVV,GHQWLILHU1$3 1HWZRUN$FFHVV3URYLGHU1$37 1HWZRUN$GGUHVV3RUW7UDQVODWLRQ1(%6 1HWZRUN(TXLSPHQW%XLOGLQJ6\VWHP106 1HWZRUN0DQDJHPHQW6\VWHP1/26 1RQOLQHRIVLJKWQUW36 1RQ5HDO7LPH3ROOLQJ6HUYLFH163 1HWZRUN6HUYLFH3URYLGHU19R' 1HDU9LGHRRQ'HPDQG1:* 1HWZRUN:RUNLQJ*URXS2$0 2SHUDWLRQVDQG0DLQWHQDQFH2'8 2XWGRRU8QLWV2(0 2ULJLQDO(TXLSPHQW0DQXIDFWXUHU2)'0 2UWKRJRQDO)UHTXHQF\'LYLVLRQ0XOWLSOH[LQJ2)'0$ 2UWKRJRQDOIUHTXHQF\GLYLVLRQPXOWLSOHDFFHVV23(; 2SHUDWLRQDO([SHQGLWXUH3&6&) 3UR[\&DOO6HVVLRQ&RQWURO)XQFWLRQ3'$ 3HUVRQDO'LJLWDO$VVLVWDQW3') 3RUWDEOH)LOH)RUPDW30,3 3UR[\0HGLD,3323 3RLQWRI3UHVHQFH323 3RVW2IILFH3URWRFRO3276 3ODLQ2OG7HOHSKRQ\6\VWHP333 3RLQWWR3RLQW3URWRFRO3373 3RLQWWR3RLQW7XQQHOLQJ3URWRFRO36. 3KDVH6KLIW.H\LQJ3671 3XEOLF6ZLWFKHG7HOHSKRQH1HWZRUN386& 3DUWLDOO\XVHGVXEFKDQQHOL]DWLRQ
$SSHQGL[%/LVWRI$FURQ\PV5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY$FURQ\P 'HVFULSWLRQ395 3HUVRQDO9LGHR5HFRUGHU4$0 4XDGUDWXUH$PSOLWXGH0RGXODWLRQ4R6 4XDOLW\RI6HUYLFH436. 4XDGUDWXUH3KDVH6KLIW.H\LQJ5& 5HWXUQ&KDQQHO5) 5DGLR)UHTXHQF\5* 5HVLGHQWLDO*DWHZD\5,3 5RXWLQJ,QIRUPDWLRQ3URWRFRO52, 5HWXUQRI,QYHVWPHQW566, 5HFHLYHG6LJQDO6WUHQJWK,QGLFDWLRQUW36 5HDO7LPH3ROOLQJ6HUYLFH6) 6HUYLFH)ORZ6,3 6HVVLRQ,QLWLDWLRQ3URWRFRO6/$ 6HUYLFH/HYHO$JUHHPHQWV6103 6LPSOH1HWZRUN0DQDJHPHQW3URWRFRO62)'0$ 6FDODEOH2UWKRJRQDOIUHTXHQF\GLYLVLRQPXOWLSOHDFFHVV62+2 6PDOO2IILFH+RPH2IILFH66 6XEVFULEHUV67% 6HW7RS%R[67& 6SDFHWLPHFRGLQJ68 6XEVFULEHU8QLW7&3 7UDQVPLVVLRQ&RQWURO3URWRFRO7'' 7HVW'ULYHQ'HVLJQ7)73 7ULYLDO)LOH7UDQVIHU3URWRFRO701 7HOHFRPPXQLFDWLRQ0DQDJHPHQW6\V\WHP8'3 8VHU'DWDJUDP3URWRFRO8*6 8QVROLFLWHG*UDQW6HUYLFH85/ 8QLYHUVDO5HVRXUFH/RFDWRU86% 8QLYHUVDO6HULDO%XV9R' 9LGHRRQ'HPDQG9R,3 9RLFHRYHU,3931 9LUWXDO3ULYDWH1HWZRUN:$1 :LGH$UHD1HWZRUN:L0$; :RUOGZLGH,QWHURSHUDELOLW\IRU0LFURZDYH$FFHVV5XJJHG0$; :L1HWZRUNV:L0$;3URGXFW)DPLO\:L106 :L1HWZRUNV1HWZRUN0DQDJHPHQW6\VWHP:// :LUHOHVV/RFDO/RRS:0$1 :LUHOHVV0HWURSROLWDQ$UHD1HWZRUNV7DEOH%/LVWRI$FURQ\PV
$SSHQGL[&5XJJHG0$;&3(:DUUDQW\5XJJHG0$;  ,QVWDOODWLRQDQG8VHU*XLGHY$SSHQGL[&5XJJHG0$;&3(:DUUDQW\5XJJHG0$;&3(VFDQEHRUGHUHGZLWKRQH\HDURUILYH\HDUZDUUDQW\SHULRGV5XJJHG&RPZDUUDQWVWKLVSURGXFWIRUWKHRUGHUHGZDUUDQW\SHULRGIURPWKHGDWHRISXUFKDVH7KLVSURGXFWFRQWDLQVQRXVHUVHUYLFHDEOHSDUWV$WWHPSWHGVHUYLFHE\XQDXWKRUL]HGSHUVRQQHOVKDOOUHQGHUDOOZDUUDQWLHVQXOODQGYRLG)RUZDUUDQW\GHWDLOVYLVLWZZZ5XJJHG&RPFRPRUFRQWDFW\RXUFXVWRPHUVHUYLFHUHSUHVHQWDWLYH6KRXOGWKLVSURGXFWUHTXLUHVHUYLFHFRQWDFWWKHIDFWRU\DW5XJJHG&RP,QF$SSOHZRRG&UHVFHQW&RQFRUG2QWDULR&DQDGD/.&3KRQH)D[

Navigation menu