7HFKQLFDO,QIRUPDWLRQ
6HUYLFH0DQXDO
F)RUKHDWLQJDQGFRROLQJXQLWZKHQ&7
VXSSOHPHQWDU\
˘
7
LQGRRUDPELHQW
˘
&IRUFRROLQJRQO\XQLW&
˘
7
LQGRRUDPELHQW
˘
&LWZLOO
NHHSWKHRULJLQDOUXQQLQJPRGH,IWKHXQLWLVHQHUJL]HGIRUWKH¿UVWWLPHLWZLOOUXQLQIDQPRGH
ĸ
3URWHFWLRQ
D,QFRROLQJRSHUDWLRQSURWHFWLRQLVWKHVDPHDVWKDWXQGHUWKHFRROLQJPRGH
E,QKHDWLQJRSHUDWLRQSURWHFWLRQLVWKHVDPHDVWKDWXQGHUWKHKHDWLQJPRGH
F:KHQDPELHQWWHPSHUDWXUHFKDQJHVRSHUDWLRQPRGHZLOOEHFRQYHUWHGSUHIHUHQWLDOO\2QFHVWDUWHGWKHFRPSUHVVRUZLOOUHPDLQ
XQFKDQJHGIRUDWOHDVWPLQXWHV
&RPPRQ3URWHFWLRQ)XQFWLRQVDQG)DXOW'LVSOD\XQGHU&22/+($7'5<DQG$8720RGHV
ķ
2YHUORDGSURWHFWLRQ
7WXEHPHDVXUHGWHPSHUDWXUHRIRXWGRRUKHDWH[FKDQJHUXQGHUFRROLQJPRGHDQGPHDVXUHGWHPSHUDWXUHRILQGRRUKHDWH[FKDQJHU
XQGHUKHDWLQJPRGH
&RROLQJRYHUORDG
D,I7
WXEH
&WKHXQLWZLOOUHWXUQWRLWVRULJLQDORSHUDWLRQVWDWH
E,I7
WXEH
&IUHTXHQF\ULVHLVQRWDOORZHG
F,I7
WXEH
&WKHFRPSUHVVRUZLOOUXQDWUHGXFHGIUHTXHQF\
G,I7
WXEH
&WKHFRPSUHVVRUZLOOVWRSDQGWKHLQGRRUIDQZLOOUXQDWSUHVHWVSHHG
+HDWLQJRYHUORDG
D,I7
WXEH
&WKHXQLWZLOOUHWXUQWRLWVRULJLQDORSHUDWLRQVWDWH
E,I7
WXEH
&IUHTXHQF\ULVHLVQRWDOORZHG
F,I7
WXEH
&WKHFRPSUHVVRUZLOOUXQDWUHGXFHGIUHTXHQF\
G,I7
WXEH
&WKHFRPSUHVVRUZLOOVWRSDQGWKHLQGRRUIDQZLOOEORZUHVLGXHKHDWDQGWKHQVWRS
ĸ
([KDXVWWHPSHUDWXUHSURWHFWLRQRIFRPSUHVVRU
,IH[KDXVWWHPSHUDWXUH&IUHTXHQF\LVQRWDOORZHGWRULVH
,IH[KDXVWWHPSHUDWXUH&WKHFRPSUHVVRUZLOOUXQDWUHGXFHGIUHTXHQF\
,IH[KDXVWWHPSHUDWXUH&WKHFRPSUHVVRUZLOOVWRS
,IH[KDXVWWHPSHUDWXUH&DQGWKHFRPSUHVVRUKDVVWD\HGDWVWRSIRUDWOHDVWPLQXWHVWKHFRPSUHVVRUZLOOUHVXPHLWVRSHUDWLRQ
Ĺ
&RPPXQLFDWLRQIDXOW
,IWKHXQLWIDLOVWRUHFHLYHFRUUHFWVLJQDOVIRUGXUDWLYHPLQXWHVFRPPXQLFDWLRQIDXOWFDQEHMXVWL¿HGDQGWKHZKROHV\VWHPZLOOVWRS
ĺ
0RGXOHSURWHFWLRQ
8QGHUPRGXOHSURWHFWLRQPRGHWKHFRPSUHVVRUZLOOVWRS:KHQWKHFRPSUHVVRUUHPDLQVDWVWRSIRUDWOHDVWPLQXWHVWKHFRPSUHVVRU
ZLOOUHVXPHLWVRSHUDWLRQ,IPRGXOHSURWHFWLRQRFFXUVVL[WLPHVLQVXFFHVVLRQWKHFRPSUHVVRUZLOOQRWEHVWDUWHGDJDLQ
Ļ
2YHUORDGSURWHFWLRQ
,IWHPSHUDWXUHVHQVHGE\WKHRYHUORDGVHQVRULVRYHU&WKHFRPSUHVVRUZLOOVWRSDQGWKHRXWGRRUIDQZLOOVWRSZLWKDWLPHODJRI
VHFRQGV,IWHPSHUDWXUHLVEHORZ&WKHRYHUORDGSURWHFWLRQZLOOEHUHOLHYHG
ļ
,IYROWDJHRQWKH'&EXVLVEHORZ9RURYHU9WKHFRPSUHVVRUZLOOVWRSDQGWKHRXWGRRUIDQZLOOVWRSZLWKDWLPHODJRI
VHFRQGV:KHQYROWDJHRQWKH'&EXVUHWXUQVWRLWVQRUPDOYDOXHDQGWKHFRPSUHVVRUKDVVWD\HGDWVWRSIRUDWOHDVWPLQXWHVWKH
FRPSUHVVRUZLOOUHVXPHLWVRSHUDWLRQ
Ľ
)DXOWVRIWHPSHUDWXUHVHQVRUV
'HVLJQDWLRQRIVHQVRUV )DXOWV
,QGRRUDPELHQWWHPSHUDWXUH 7KHVHQVRULVGHWHFWHGWREHRSHQFLUFXLWHGRUVKRUWFLUFXLWHGIRUVXFFHVVLYHVHFRQGV
,QGRRUWXEHWHPSHUDWXUH 7KHVHQVRULVGHWHFWHGWREHRSHQFLUFXLWHGRUVKRUWFLUFXLWHGIRUVXFFHVVLYHVHFRQGV
2XWGRRUDPELHQWWHPSHUDWXUH 7KHVHQVRULVGHWHFWHGWREHRSHQFLUFXLWHGRUVKRUWFLUFXLWHGIRUVXFFHVVLYHVHFRQGV
2XWGRRUWXEHWHPSHUDWXUH
7KHVHQVRULVGHWHFWHGWREHRSHQFLUFXLWHGRUVKRUWFLUFXLWHGIRUVXFFHVVLYHVHFRQGVDQGQR
GHWHFWLRQLVSHUIRUPHGZLWKLQPLQXWHVDIWHUGHIURVWEHJLQV
([KDXVW
$IWHUWKHFRPSUHVVRUKDVRSHUDWHGIRUPLQXWHVWKHVHQVRULVGHWHFWHGWREHRSHQFLUFXLWHGRUVKRUW
FLUFXLWHGIRUVXFFHVVLYHVHFRQGV
2YHUORDG
$IWHUWKHFRPSUHVVRUKDVRSHUDWHGIRUPLQXWHVWKHVHQVRULVGHWHFWHGWREHRSHQFLUFXLWHGRUVKRUW
FLUFXLWHGIRUVXFFHVVLYHVHFRQGV
2WKHU&RQWUROV
212))
3UHVVWKHUHPRWHEXWWRQ212))WKHRQRIIVWDWHZLOOEHFKDQJHGRQFHHDFKWLPH\RXSUHVVWKHEXWWRQ
0RGH6HOHFWLRQ
3UHVVWKHUHPRWHEXWWRQ02'(WKHQVHOHFWDQGVKRZLQWKHIROORZLQJZD\V$872&22/'5<)$1+($7$872
7HPSHUDWXUH6HWWLQJ2SWLRQ%XWWRQ
(DFKWLPH\RXSUHVVWKHUHPRWHEXWWRQ7(03RU7(03WKHVHWWLQJWHPSHUDWXUHZLOOEHXSRUGRZQE\5HJXODWLQJ5DQJHa&
WKHEXWWRQLVXVHOHVVXQGHUWKH$872PRGH
7LPH6ZLWFK
<RXVKRXOGVWDUWDQGVWRSWKHPDFKLQHDFFRUGLQJWRWKHVHWWLQJWLPHE\UHPRWHFRQWURO