)RUP 1R
:KHHO 'ULYH .LW
5HHOPDVWHUX DQG 0RGHO 1R
3DUWV &DWDORJ
2UGHULQJ 5HSODFHPHQW 3DUWV
7R RUGHU UHSODFHPHQW SDUWV SOHDVH VXSSO\ WKH SDUW QXPEHU WKH TXDQWLW\ DQG WKH GHVFULSWLRQ RI HDFK SDUW GHVLUHG
8QGHUVWDQGLQJ 5HIHUHQFH 1XPEHUV
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
È
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
7KH 7252 &RPSDQ\ ³ $OO 5LJKWV 5HVHUYHG
&RQWHQWV 'HVFULSWLRQ 3DJH $[OH 6WHHULQJ DQG %DOOMRLQW $VVHPEO\ 5ROO 2YHU 3URWHFWLRQ 6\VWHP 5236 $VVHPEO\ 'ULYH 6KDIW $VVHPEO\ +\GUDXOLF &\OLQGHU $VVHPEO\ 1R &OXWFK +RXVLQJ $VVHPEO\ 1R 5HDU $[OH $VVHPEO\ 1R %HYHO 3LQLRQ 6KDIW $VVHPEO\ 5HDU $[OH $VVHPEO\ 1R &RQWLQXHG
'LIIHUHQWLDO $VVHPEO\
'HVFULSWLRQ 3DJH 5HDU $[OH $VVHPEO\ 1R &RQWLQXHG
$[OH 6XSSRUW $VVHPEO\ 5HDU $[OH $VVHPEO\ 1R &RQWLQXHG
%HYHO *HDU &DVH $VVHPEO\ 5HDU $[OH $VVHPEO\ 1R &RQWLQXHG
%HYHO *HDU 6KDIW $VVHPEO\ 5HDU $[OH $VVHPEO\ 1R &RQWLQXHG
$[OH &DVH $VVHPEO\ 5HDU $[OH $VVHPEO\ 1R &RQWLQXHG
$[OH &DVH $VVHPEO\
3DUW 'HVFULSWLRQ $EEUHYLDWLRQV 3DUW GHVFULSWLRQV LQ WKLV FDWDORJ PD\ LQFOXGH WKH IROORZLQJ DEEUHYLDWLRQV $EEUHYLDWLRQ $5 $60 &$55 '(* )+ *$ +) ++ ++) +/+ +- +2& +6 +6%+ +6)+ +6+ +:+ +:+7)
0HDQLQJ DV UHTXLUHG DVVHPEO\ FDUULDJH GHJUHHV IODW KHDG JDXJH KH[ IODQJH KH[ KHDG KH[ KHDG IODQJH KH[ ODJ KHDG KH[ MDP KHLJKW RI FXW KH[ VRFNHW KH[ VRFNHW EXWWRQ KHDG KH[ VRFNHW IODW KHDG KH[ VRFNHW KHDG KH[ ZDVKHU KHDG KH[ ZDVKHU KHDG WKUHDG IRUPLQJ
$EEUHYLDWLRQ ,1& /+ 1, 33+ 37+ 372 5+ 6)+ 6++ 64+ 6+:+ 63+ 65+ 67' 7$3 77+ :+
0HDQLQJ LQFRUSRUDWHG OHIW KDQG Q\ORQ LQVHUW 3KLOOLSV SDQ KHDG 3KLOOLSV WUXVV KHDG SRZHU WDNH RII ULJKW KDQG VORWWHG ILOOLVWHU KHDG VORWWHG KH[ KHDG VTXDUH KHDG VORWWHG KH[ ZDVKHU KHDG VORWWHG SDQ KHDG VORWWHG URXQG KHDG VWDQGDUG VHOI WDSSLQJ 7RU[ WUXVV KHDG ZLQJ KHDG
6KHHW 1R
$[OH 6WHHULQJ DQG %DOOMRLQW $VVHPEO\ 5HI 1R
4W\
3DUW 1R
'HVFULSWLRQ
0RXQW &\OLQGHU :DVKHU 7LH 5RG $60 6FUHZ ++ 1XW /RFN 1, (QG 7LH 5RG 1XW +H[ 6ORWWHG 6HDO =HUN 7XEH $QG &ODPS $VVHPEO\ 6FUHZ ++ 6WRS $[OH %DOOMRLQW $60 &\OLQGHU 6WHHULQJ -RLQW %DOO 5LQJ 5HWDLQLQJ ([WHUQDO 1XW /RFN 1, :DVKHU 7KUXVW 3LQ &RWWHU 'HFDO /XEH (OERZ E 2 5LQJ 2 5LQJ 7LH &DEOH
5HI 1R
3DUW 1R
4W\
'HVFULSWLRQ
'ULYH $[OH $60 3ODWH &\OLQGHU %UDFNHW 1XW /XJ :DVKHU 7KUXVW )LWWLQJ /XEH 1XW /RFN 1, 6FUHZ ++ 6FUHZ +KF 1XW +H[ 6ORWWHG 3LQ &RWWHU
1RW LOOXVWUDWHG
6KHHW 1R
5ROO 2YHU 3URWHFWLRQ 6\VWHP 5236 $VVHPEO\ 5HI 1R
3DUW 1R
4W\
'HVFULSWLRQ
%DU 5ROO :DVKHU )ODW :DVKHU /RFN 6S 6FUHZ ++ 1XW +H[ 'HFDO 5RRI 5RSV 'HFDO 6HDW %HOW $60 6FUHZ ++ :DVKHU /RFN 6S
5HI 1R
3DUW 1R
4W\
'HVFULSWLRQ
6KHHW 1R
'ULYH 6KDIW $VVHPEO\ 5HI 1R
3DUW 1R
4W\
'HVFULSWLRQ
6KLP 'ULYHVKDIW <RNH (QG 8 -RLQW .LW )LWWLQJ *UHDVH <RNH 6KDIW 7XEH <RNH 6OLS <RNH 6KDIW &OXWFK +RXVLQJ $60 5LQJ 5HWDLQLQJ :DVKHU 7KUXVW :DVKHU /RFN 6S 6FUHZ +6+ %UDFNHW %HDULQJ 1XW /RFN 1, 6FUHZ ++ %HDULQJ $60 %HDULQJ %DOO )LWWLQJ /XEH 6FUHZ +6 %HDULQJ /RFNFROODU &DSVFUHZ +H[ :DVKHU /RFN 6SULQJ :DVKHU 6FUHZ +6)+
5HI 1R
3DUW 1R
4W\
'HVFULSWLRQ
6FUHZ &$55 6KDIW 7UDFWLRQ
1RW LOOXVWUDWHG
3DUWV QRW OLVWHG LQ
SDUWV OLVW DUH QRW VHUYLFHG VHSDUDWHO\
6KHHW 1R $ 7
+\GUDXOLF &\OLQGHU $VVHPEO\ 1R 5HI 1R
3DUW 1R
4W\
'HVFULSWLRQ
/RFNQXW 'HIRUP 7RS 6HDO 5HSDLU .LW
5HI 1R
3DUW 1R
4W\
'HVFULSWLRQ
6KHHW 1R $
&OXWFK +RXVLQJ $VVHPEO\ 1R 5HI 1R
3DUW 1R
4W\
'HVFULSWLRQ
5HI 1R
3DUW 1R
4W\
'HVFULSWLRQ
+RXVLQJ &OXWFK 5ROOHU %HDULQJ :DVKHU 7KUXVW &RXSOLQJ $[OH 6HDO 2LO 3OXJ )LWWLQJ /XEH 6FUHZ +6+
7
5HDU $[OH $VVHPEO\ 1R %HYHO 3LQLRQ 6KDIW $VVHPEO\ 5HI 1R
3DUW 1R
1RW ,OOXVWUDWHG
4W\
'HVFULSWLRQ
%ROW %HDULQJ 7DSHU 5ROOHU &DVH %HDULQJ 2 5LQJ &ROODU 2LO 6HDO 2 5LQJ 6HDO 2LO :DVKHU /RFN 1XW /RFN 6KLP 6KLP
5HI 1R
3DUW 1R
4W\
'HVFULSWLRQ
7
5HDU $[OH $VVHPEO\ 1R &RQWLQXHG
'LIIHUHQWLDO $VVHPEO\ 5HI 1R
3DUW 1R
4W\
'HVFULSWLRQ
5HI 1R
3DUW 1R
4W\
'HVFULSWLRQ
$VP 'LIIHUHQWLDO ,QFO 5HI
5LQJ 3LQLRQ 6HW &DVH 'LIIHUHQWLDO %ROW :DVKHU 6SULQJ 6KDIW 'LIIHUHQWLDO 3LQLRQ 3LQLRQ 'LIIHUHQWLDO :DVKHU 'LIIHUHQWLDO 3LQLRQ *HDU 'LIIHUHQWLDO 6LGH :DVKHU 'LIIHUHQWLDO :DVKHU 'LIIHUHQWLDO :DVKHU 'LIIHUHQWLDO 3LQ 6SULQJ %HDULQJ %DOO 6KLP 6KLP 6KLP
1RW ,OOXVWUDWHG
7
5HDU $[OH $VVHPEO\ 1R &RQWLQXHG
$[OH 6XSSRUW $VVHPEO\ 5HI 1R
3DUW 1R
4W\
'HVFULSWLRQ
6XSSRUW $[OH 6XSSRUW $[OH 2 5LQJ %XVKLQJ )ODQJH 3OXJ :DVKHU 6HDO $VP 2LO 3OXJ %ROW 2 5LQJ
5HI 1R
3DUW 1R
4W\
'HVFULSWLRQ
7
5HDU $[OH $VVHPEO\ 1R &RQWLQXHG
%HYHO *HDU &DVH $VVHPEO\ 5HI 1R
3DUW 1R
4W\
'HVFULSWLRQ
5HI 1R
3DUW 1R
4W\
'HVFULSWLRQ
&DVH %HYHO *HDU 6HDO 2LO %HDULQJ 1HHGOH *DVNHW 3LQ .QXFNOH %ROW 6XSSRUW $[OH &DVH 5+ 6XSSRUW $[OH &DVH /+ %XVKLQJ 6KLP 6KLP 6KLP 3LQ 6WUDLJKW %ROW %ROW 6WXG 1XW :DVKHU 6SULQJ 1LSSOH *UHDVH 6SDFHU
1RW ,OOXVWUDWHG
7
5HDU $[OH $VVHPEO\ 1R &RQWLQXHG
%HYHO *HDU 6KDIW $VVHPEO\ 5HI 1R
3DUW 1R
1RW ,OOXVWUDWHG
4W\
'HVFULSWLRQ
6KDIW 'LIIHUHQWLDO *HDU /+ 6KDIW 'LIIHUHQWLDO *HDU 5+ *HDU %HYHO %HDULQJ %DOO 6KLP 6KLP 6KLP &OLS 6KDIW %HYHO *HDU %HDULQJ 7DSHU 5ROOHU 6SDFHU &ROODU 7KUXVW &ROODU
5HI 1R
3DUW 1R
4W\
'HVFULSWLRQ
7
5HDU $[OH $VVHPEO\ 1R &RQWLQXHG
$[OH &DVH $VVHPEO\ 5HI 1R
3DUW 1R
4W\
'HVFULSWLRQ
5HI 1R
3DUW 1R
4W\
'HVFULSWLRQ
&DVH $[OH 6HDO 2LO 3OXJ :DVKHU 6HDO *HDU %HYHO %HDULQJ 7DSHU 5ROOHU &RYHU $[OH 2 5LQJ 3OXJ :DVKHU 6HDO %ROW
7
5HDU $[OH $VVHPEO\ 1R &RQWLQXHG
$[OH &DVH $VVHPEO\ 5HI 1R
3DUW 1R
1RW ,OOXVWUDWHG
4W\
'HVFULSWLRQ
$[OH 6HDO 2LO &OLS 6SDFHU 6KLP 6KLP 6KLP *HDU %HYHO %HDULQJ 'RXEOH %DOO &RYHU $[OH 2 5LQJ %HDULQJ %DOO &OLS %ROW 6WXG
5HI 1R
3DUW 1R
4W\
'HVFULSWLRQ
0DLQWHQDQFH 5HFRUG 'DWH