(1
3URSULHWRUUHVSRQVLELOLWLHV
)RUWKH SXUSRVHVRI WKH SUHVHQWRSHUDWLQJ LQVWUXFWLRQV WKH³RSHUDWLQJFRPSDQ\´ LV
GHILQHGDVDQ\QDWXUDORUOHJDOSHUVRQZKRHLWKHUXVHVWKHLQGXVWULDOWUXFNKLPVHOIRU
RQZKRVHEHKDOILWLVXVHG,QVSHFLDOFDVHVHJ OHDVLQJRUUHQWLQJWKHSURSULHWRULV
FRQVLGHUHG WKH SHUVRQ ZKR LQ DFFRUGDQFH ZLWK H[LVWLQJ FRQWUDFWXDO DJUHHPHQWV
EHWZHHQWKHRZQHUDQGXVHURIWKHLQGXVWULDOWUXFNLVFKDUJHGZLWKRSHUDWLRQDOGXWLHV
7KHSURSULHWRUPXVWHQVXUHWKDWWKHLQGXVWULDOWUXFNLVXVHGRQO\IRUWKHSXUSRVHLWLV
LQWHQGHGIRUDQGWKDWGDQJHUWROLIHDQGOLPERIWKHXVHUDQGWKLUGSDUWLHVDUHH[FOXGHG
)XUWKHUPRUH DFFLGHQW SUHYHQWLRQ UHJXODWLRQV VDIHW\ UHJXODWLRQV DQG RSHUDWLQJ
VHUYLFLQJ DQG UHSDLU JXLGHOLQHV PXVW EH IROORZHG 7KH RSHUDWLQJ FRPSDQ\ PXVW
HQVXUHWKDWDOOXVHUVKDYHUHDGDQGXQGHUVWRRGWKHVHRSHUDWLQJLQVWUXFWLRQV
NOTE
)DLOXUHWRFRPSO\ZLWKWKHRSHUDWLQJLQVWUXFWLRQVLQYDOLGDWHVWKHZDUUDQW\7KHVDPH
DSSOLHVLILPSURSHUZRUNLVFDUULHGRXWRQWKHWUXFNE\WKHFXVWRPHURUWKLUGSDUWLHV
ZLWKRXWWKHSHUPLVVLRQRIWKHPDQXIDFWXUHU
$GGLQJDWWDFKPHQWVDQGRURSWLRQDOHTXLSPHQW
7KHPRXQWLQJRULQVWDOODWLRQRIDGGLWLRQDOHTXLSPHQWZKLFKDIIHFWVRUHQKDQFHVWKH
SHUIRUPDQFH RI WKH LQGXVWULDO WUXFN UHTXLUHV WKH ZULWWHQ SHUPLVVLRQ RI WKH
PDQXIDFWXUHU/RFDODXWKRULW\DSSURYDOPD\DOVRQHHGWREHREWDLQHG
/RFDODXWKRULW\DSSURYDOKRZHYHUGRHVQRWFRQVWLWXWHWKHPDQXIDFWXUHU¶VDSSURYDO