6RXQGFUDIWLVDWUDGLQJGLYLVLRQRI+DUPDQ,QWHUQDWLRQDO,QGXVWULHV/WG
(QG8VHUPHDQVWKHSHUVRQZKRILUVWSXWVWKHHTXLSPHQWLQWRUHJXODURSHUDWLRQ
'HDOHUPHDQVWKHSHUVRQRWKHUWKDQ6RXQGFUDIWLIDQ\IURPZKRPWKH(QG8VHU
SXUFKDVHGWKH(TXLSPHQWSURYLGHGVXFKDSHUVRQLVDXWKRULVHGIRUWKLVSXUSRVH
E\6RXQGFUDIWRULWVDFFUHGLWHG'LVWULEXWRU
(TXLSPHQWPHDQVWKHHTXLSPHQWVXSSOLHGZLWKWKLVPDQXDO
,IZLWKLQWKHSHULRGRIWZHOYHPRQWKVIURPWKHGDWHRIGHOLYHU\RIWKH(TXLSPHQWWR
WKH(QG8VHULWVKDOOSURYHGHIHFWLYHE\UHDVRQRQO\RIIDXOW\PDWHULDOVDQGRU
ZRUNPDQVKLSWRVXFKDQH[WHQWWKDWWKHHIIHFWLYHQHVVDQGRUXVDELOLW\WKHUHRILV
PDWHULDOO\DIIHFWHGWKH(TXLSPHQWRUWKHGHIHFWLYHFRPSRQHQWVKRXOGEH
UHWXUQHGWRWKH'HDOHURUWR6RXQGFUDIWDQGVXEMHFWWRWKHIROORZLQJFRQGLWLRQV
WKH'HDOHURU6RXQGFUDIWZLOOUHSDLURUUHSODFHWKHGHIHFWLYHFRPSRQHQWV$Q\
FRPSRQHQWVUHSODFHGZLOOEHFRPHWKHSURSHUW\RI6RXQGFUDIW
$Q\(TXLSPHQWRUFRPSRQHQWUHWXUQHGZLOOEHDWWKHULVNRIWKH(QG8VHUZKLOVWLQ
WUDQVLWERWKWRDQGIURPWKH'HDOHURU6RXQGFUDIWDQGSRVWDJHPXVWEHSUHSDLG
7KLVZDUUDQW\VKDOORQO\EHDYDLODEOHLI
DWKH(TXLSPHQWKDVEHHQSURSHUO\LQVWDOOHGLQDFFRUGDQFHZLWKLQVWUXFWLRQV
FRQWDLQHGLQ6RXQGFUDIW·VPDQXDODQG
EWKH(QG8VHUKDVQRWLILHG6RXQGFUDIWRUWKH'HDOHUZLWKLQGD\VRIWKHGHIHFW
DSSHDULQJDQG
FQRSHUVRQVRWKHUWKDQDXWKRULVHGUHSUHVHQWDWLYHVRI6RXQGFUDIWRUWKH'HDOHUKDYH
HIIHFWHGDQ\UHSODFHPHQWRISDUWVPDLQWHQDQFHDGMXVWPHQWVRUUHSDLUVWRWKH
(TXLSPHQWDQG
GWKH(QG8VHUKDVXVHGWKH(TXLSPHQWRQO\IRUVXFKSXUSRVHVDV6RXQGFUDIW
UHFRPPHQGVZLWKRQO\VXFKRSHUDWLQJVXSSOLHVDVPHHW6RXQGFUDIW·V
VSHFLILFDWLRQVDQGRWKHUZLVHLQDOOUHVSHFWVLQDFFRUGDQFH6RXQGFUDIW·V
UHFRPPHQGDWLRQV
'HIHFWVDULVLQJDVDUHVXOWRIWKHIROORZLQJDUHQRWFRYHUHGE\WKLV:DUUDQW\IDXOW\
RUQHJOLJHQWKDQGOLQJFKHPLFDORUHOHFWURFKHPLFDORUHOHFWULFDOLQIOXHQFHV
DFFLGHQWDOGDPDJH$FWVRI*RGQHJOHFWGHILFLHQF\LQHOHFWULFDOSRZHU
DLUFRQGLWLRQLQJRUKXPLGLW\FRQWURO
7KHEHQHILWRIWKLV:DUUDQW\PD\QRWEHDVVLJQHGE\WKH(QG8VHU
(QG8VHUVZKRDUHFRQVXPHUVVKRXOGQRWHWKHLUULJKWVXQGHUWKLV:DUUDQW\DUHLQ
DGGLWLRQWRDQGGRQRWDIIHFWDQ\RWKHUULJKWVWRZKLFKWKH\PD\EHHQWLWOHG
DJDLQVWWKHVHOOHURIWKH(TXLSPHQW
:DUUDQW\
.,QWURGXFWLRQ