86(53,1(175<02'(±$XWRRU0DQXDO/RFDWLRQ
86(53,1(175<02'(6
7ZRPRGHVDQGDUHDYDLODEOHIRU8VHU3,1HQWU\RSWLRQV7KH
(0&DUGLVDOZD\VLQ$XWR(QWU\
0RGH
DQGLVQRWDIIHFWHGE\WKHVHOHFWLRQKHUH
$XWR(QWU\0RGH
$XWR(QWU\0RGHUHTXLUHVQRSUHVVLQJRIWKH
NH\IROORZLQJWKH8VHU3,1IRUFRGHFKHFNLQJ
,QWKH$XWR(QWU\0RGHWKH
8VHU3,1V0867EHVHWLQWKHVDPHGLJLWOHQJWKRIWKH0DVWHU&RGH
)RUH[DPSOHLIWKH0DVWHU&RGHLVGLJLWVWKHQDOO8VHU3,1VPXVWEHLQGLJLWVDVZHOO$OORWKHU
8VHU3,1VQRWLQGLJLWVEHFRPHLQYDOLG:KHQWKHQXPEHURIGLJLWVUHDFKHVWKHV\VWHPZLOOFKHFN
WKH8VHU3,1DXWRPDWLFDOO\*RRGIRUKLJKWUDI¿FDFFHVVFRQWURO
0DQXDO(QWU\0RGH±'HIDXOW
0DQXDO(QWU\0RGHDOZD\VUHTXLUHVWKH
NH\IROORZLQJRIWKH8VHU3,1IRUFRGHFKHFNLQJ7KH
8VHU3,1VFDQEH
GLJLWVDUELWUDU\
DQGWKH\DUH
127
UHTXLUHGWREHLQWKHVDPHGLJLWOHQJWKRIWKH
0DVWHU&RGH0DQXDO(QWU\LQFUHDVHVWKHOHYHORIVHFXULW\LQWKHFRGHWULDOE\WKHXQDXWKRUL]HGSHRSOH
3$&,),(5721(6212))6(/(&7,21/RFDWLRQ
3$&,),(5721(6212))02'(6
7KH3DFL¿HU7RQHLVWKH%HHS7RQHVIURPWKHNH\SDGZKLFKLQFOXGHWKHWRQHVRI6XFFHVVIXO.H\HQWU\
EHHSWKH2XWSXW2SHUDWLRQ$QQRXQFHUEHHSVRUORQJEHHSDQGWKH8QVXFFHVVIXO8VHU&RGH
&DUGHQWU\EHHSV
127(
7KHEHHSVIRUWKH:DUQLQJDQGWKH3RZHUXS'HOD\GRQRWEHORQJWRSDFL¿HUWRQHVDQGFDQQRWEHVHW
WR2))
3DFL¿HU7RQH21±'HIDXOW
$OOWKH3DFL¿HU7RQHVDYDLODEOHIURPWKHNH\SDGDUHHQDEOHG7KH\DUHWKHUHVSRQVHWRQHVLQGLFDWLQJ
WKHRSHUDWLRQVWDWXVRIWKHNH\SDGDIWHUWKH&DUG8VHU&RGHLVHQWHUHG
3DFL¿HU7RQH2))
$OOWKH3DFL¿HU7RQHVDUH2))*RRGIRUSODFHQHHGVIRUDVLOHQWHQYLURQPHQW
5(&25''(/(7(3,1625&$5'6)25287387/RFDWLRQ
7RWDORI
8VHU3,1VDQGRU&DUGV
DUHDYDLODEOHIRUFRQWUROOLQJRIWKHRXWSXWUHOD\
7KH3ULYDWH8VHU3,1VDQG&DUGV
0867
EHXQLTXH5HSHDWHG3,1VZLOOEHUHMHFWHG6HFRQGDU\
8VHU3,1VLQWKH³(0&DUG6HFRQGDU\8VHU3,1´FDQEHUHSHDWHG6HHWKH
,PSRUWDQW1RWH
3URJUDPPLQJ&ULWHULDIRU&RGHV
LQSDJHIRUPRUHLQIRUPDWLRQ
86(5*5283/2&$7,21
±*URXS)RU8VHU3,1V&DUGV&RQWUROOLQJ2XWSXW
8VHUVDUHDOORZHGLQJURXSIRU23
6(/(&7,212)23(5$7,210(',$
1XPEHURUUHSUHVHQWVWKH0HGLDWREHXVHGWRRSHUDWHWKHNH\SDG
1XPEHULVWKHDXWKRUL]DWLRQFRGHIRUGHOHWLQJRIDQ3,1DQGRU&DUGIURP
LWV8VHU,'
(0&DUGRQO\ 3ULYDWH8VHU3,1RQO\
(0&DUG6HFRQGDU\8VHU3,1 (0&DUG&RPPRQ8VHU3,1
'HOHWHDQ8VHU3,1 RU&DUGIURPWKHVHOHFWHG8VHU,'QXPEHU
&OHDUDOOWKH3,1V &DUGVIURPWKHVHOHFWHG/RFDWLRQ
,WWDNHVIHZVHFRQGVWRDPLQXWHWRFRPSOHWHGHSHQGLQJ
RQWKH/RFDWLRQVHOHFWHGDQGWKHGDWDVWRUHG3OHDVHVHH
WKHSURJUDPPLQJH[DPSOHEHORZIRUWKHGHWDLOV
86(5,'180%(5
$
GLJLW
,'LVDQLGHQWL¿HGQXPEHUIRUHDFK8VHU3,1DQGRU&DUG
5HSHDWHG,'QXPEHUZLOOEHUHMHFWHGE\WKHV\VWHP
,'1XPEHU
IRU8VHU3,1V&DUGVWRRSHUDWH2XWSXW
&$5' 2586(53,16
7KH8VHU3,1VFDQEHGLJLWV.H\LQWKH8VHU3,1RQHDFK,'1XPEHUER[WKHQFRQ¿UPLWZLWK
NH\
-XVWVLPSO\SXWWKH(0FDUGFORVHWRWKHUHDGHUZLQGRZWRUHDGLWRQHDFK,'1XPEHUER[WKHQ
FRQ¿UPLWZLWKNH\LILWLVD
&DUG21/<
RU
&DUG&RPPRQ8VHU3,1
HQWU\7KH&RPPRQ8VHU
3,1LV
127
UHTXLUHGWRNH\LQKHUH,WZLOOJRLQWRLWVORFDWLRQDXWRPDWLFDOO\DIWHUWKH&DUGLVUHDG
5HDGWKH&DUG¿UVWWKHQNH\LQWKH6HFRQGDU\8VHU3,1RQHDFK,'1XPEHUER[WKHQFRQ¿UP
LWZLWKNH\LILWLV
&DUG6HFRQGDU\8VHU3,1
7KH6HFRQGDU\8VHU3,1VFDQEHGXSOLFDWHG
RUDSURSULHWDU\8VHU3,1EXWFDQQRWEHDGXSOLFDWHRID3ULPH&RGH2ZQHUFDQXVHWKHVDPH
VHFRQGDU\8VHU3,1IRUDJURXSRI&DUGVDVDJURXS&RPPRQ8VHU&RGHRUFDOOHG'HSDUWPHQW
&RGHIRUDVSHFL¿FUHOD\RXWSXW
&DUGV2SHUDWLRQ0HGLD DQG3ULYDWH8VHU3,1V2SHUDWLRQ0HGLD
0867
EHXQLTXH
$UHSHDWHG(0FDUGRU3ULYDWH8VHU3,1ZLOOEHUHMHFWHGDQGRQHORQJEHHSZLOOEHJHQHUDWHGE\
WKHV\VWHPWRQRWLI\WKHRZQHU
&$5' 2586(53,1 9$/,'$7,21
/2&$7,21
0(',$
86(5,'
&$5' 2586(53,1
(175<02'(6
9$/,'$7,21
/2&$7,21
RU
)81&7,2102'(6 9$/,'$7,21
/2&$7,21
RU