'DWH$XJ

06'6,'
5HYLVLRQ
5HSODFHV1RY

0DWHULDO6DIHW\'DWD6KHHW
0DWHULDO1DPH+LJK7HPSHUDWXUH$GKHVLYH

6HFWLRQ&KHPLFDO3URGXFWDQG&RPSDQ\,GHQWL¿FDWLRQ

3URGXFW1DPH 6XSHU&DOVWLNŠ&DO%RQGŠ
&$6 0L[WXUH1RQH$VVLJQHG
*HQHULF1DPH $KHVLYH,QGXVWULDO

0DQXIDFWXUHU,QIRUPDWLRQ
,QGXVWULDO,QVXODWLRQ*URXS//&
/LQH6WUHHW
%UXQVZLFN*$

&KHPLFDORU0HGLFDO(PHUJHQF\FDOO,1)275$&

2XWVLGHWKH86FDOOFROOHFW

6HFWLRQ&RPSRVLWLRQDQG,QIRUPDWLRQRQ,QJUHGLHQWV
    26+$ $&*,+
&$6 (,1(&6 &RPSRQHQW 3HUFHQW 3(/ 7/9 81,76
  &DOFLXP&DUERQDWH    PJ0
  6RGLXP6LOLFDWH    PJ0
 1( 6W\UHQH%XWDGLHQH3RO\PHU  1( 1( PJ0
 1( 6RGLXP3RO\DFU\ODWH  1( 1( PJ0
1( 1RW(VWDEOLVKHG

6HFWLRQ+D]DUGV,GHQWL¿FDWLRQ

(PHUJHQF\2YHUYLHZ ,UULWDQW
$33($5$1&($1'2'25<HOORZRUZKLWHOLTXLG)DLQWRGRU
5XEEHUJORYHVVKRXOGEHZRUQWRSUHYHQWVNLQFRQWDFWDQGLUULWDWLRQ6NLQLUULWDWLRQPD\EHWUHDWHGE\JHQWO\
ZDVKLQJDIIHFWHGDUHDZLWKVRDSDQGZDUPZDWHU
*RJJOHVRUVDIHW\JODVVHVZLWKVLGHVKLHOGVDUHUHFRPPHQGHG(\HLUULWDWLRQPD\EHWUHDWHGE\ÀXVKLQJH\HV
ZLWKODUJHDPRXQWVRIZDWHU,ILUULWDWLRQSHUVLVWVFRQWDFWDPHGLFDOSURIHVVLRQDO
,QWKHHYHQWRI¿UHXVHQRUPDO¿UH¿JKWLQJSURFHGXUHVWRSUHYHQWLQKDODWLRQRIVPRNHDQGJDVHVIURPRWKHU
SURGXFWV
:+0,6&ODVV6XSHU&DOVWLNDQG&DOERQGDUHQRW:+0,6FRQWUROOHGSURGXFWV
3RWHQWLDO+HDOWK(IIHFWV
6XPPDU\
0D\FDXVHVNLQRUH\HLUULWDWLRQXSRQSURORQJHGRUUHSHDWHGFRQWDFW
,QKDODWLRQ
1RWDSSOLFDEOH
6NLQ
7HPSRUDU\LUULWDWLRQDQGGU\VNLQPD\RFFXU
$EVRUSWLRQ
1RWDSSOLFDEOH
,QJHVWLRQ
7KLVSURGXFWLVQRWLQWHQGHGWREHLQJHVWHGRUHDWHQXQGHUQRUPDOFRQGLWLRQVRIXVH,ILQJHVWHGLWPD\FDXVH
WHPSRUDU\LUULWDWLRQWRWKHJDVWURLQWHVWLQDO*,WUDFWHVSHFLDOO\WKHVWRPDFK
(\HV
7HPSRUDU\LUULWDWLRQLWFKLQJRUUHGQHVVPD\RFFXU
7DUJHW2UJDQV
6NLQDQGH\HV

&RS\ULJKW ,,*3DJHRI
3ULPDU\5RXWHVRI(QWU\([SRVXUH
6NLQDQGH\HV
0HGLFDO&RQGLWLRQV$JJUDYDWHGE\([SRVXUH
3UHH[LVWLQJVNLQRUH\HGLVHDVHVRUFRQGLWLRQVPD\EHDJJUDYDWHGE\WKLVSURGXFW

6HFWLRQ)LUVW$LG0HDVXUHV

)LUVW$LG,QKDODWLRQ
1RWDSSOLFDEOH
)LUVW$LG6NLQ
:DVKJHQWO\ZLWKVRDSDQGZDUPZDWHU
)LUVW$LG,QJHVWLRQ
,IWKHPDWHULDOLVVZDOORZHGJHWLPPHGLDWHPHGLFDODWWHQWLRQRUDGYLFH*LYHVHYHUDOJODVVHVRIZDWHURU
PLON
)LUVW$LG(\HV
'RQRWUXERUVFUDWFK\RXUH\HV'ULHGDGKHVLYHSDUWLFOHVPD\FDXVHWKHH\HWREHVFUDWFKHG)OXVKH\HVZLWK
ODUJHDPRXQWVRIZDWHUIRUPLQXWHV,ILUULWDWLRQSHUVLVWVFRQWDFWDPHGLFDOSURIHVVLRQDO
)LUVW$LG1RWHVWR3K\VLFLDQ
7KLVSURGXFWLVDPHFKDQLFDOLUULWDQWDQGLVQRWH[SHFWHGWRSURGXFHDQ\FKURQLFKHDOWKHIIHFWVIURPDFXWH
H[SRVXUHV7UHDWPHQWVKRXOGEHGLUHFWHGWRZDUGUHPRYLQJWKHVRXUFHRILUULWDWLRQZLWKV\PSWRPDWLFWUHDWPHQW
DVQHFHVVDU\

6HFWLRQ)LUH)LJKWLQJ0HDVXUHV

)ODVK3RLQW 1RWGHWHUPLQHG 0HWKRG8VHG 1RWDSSOLFDEOH

8SSHU)ODPPDEOH/LPLW8)/ 1RWGHWHUPLQHG /RZHU)ODPPDEOH/LPLW/)/ 1RWGHWHUPLQHG
$XWR,JQLWLRQ 1RWGHWHUPLQHG )ODPPDELOLW\&ODVVL¿FDWLRQ 1RQFRPEXVWLEOH
5DWHRI%XUQLQJ 1RWGHWHUPLQHG
*HQHUDO)LUH+D]DUG
7KHUHLVQRSRWHQWLDOIRU¿UHRUH[SORVLRQ
([WLQJXLVKLQJ0HGLD
8VHDQ\H[WLQJXLVKLQJPHGLDDSSURSULDWHIRUWKHVXUURXQGLQJ¿UHV
([WLQJXLVKLQJ0HGLDDQG)LUH)LJKWLQJ(TXLSPHQW
1RVSHFLDOSURFHGXUHVDUHH[SHFWHGWREHQHFHVVDU\IRUWKLVSURGXFW1RUPDO¿UH¿JKWLQJSURFHGXUHVVKRXOG
EHIROORZHGWRDYRLGLQKDODWLRQRIVPRNHDQGJDVHV

6HFWLRQ$FFLGHQWDO5HOHDVH0HDVXUHV

&RQWDLQPHQW3URFHGXUHV
6SLOOHGPDWHULDOLVVOLSSHU\DQGVKRXOGQRWEHZDONHGRQ0L[ZLWKGU\DEVRUEHQWDQGFOHDQXS
&OHDQ8S3URFHGXUHV
:DVWHVDUHQRWKD]DUGRXVDVGH¿QHGE\5&5$&)5&RPSO\ZLWKVWDWHDQGORFDOUHJXODWLRQVIRU
GLVSRVDORIWKHVHSURGXFWV,I\RXDUHXQVXUHRIWKHUHJXODWLRQVFRQWDFW\RXUORFDO3XEOLF+HDOWK'HSDUWPHQW
RUWKHORFDORI¿FHRIWKH(3$

6HFWLRQ+DQGOLQJDQG6WRUDJH
+DQGOLQJ3URFHGXUHV
8VHSURWHFWLYHHTXLSPHQWDVGHVFULEHGLQ6HFWLRQRIWKLVPDWHULDOVDIHW\GDWDVKHHWZKHQKDQGOLQJ
XQFRQWDLQHGPDWHULDO
6WRUDJH3URFHGXUHV
'RQRWVWRUHLQDOXPLQXPWDQNVDVDONDOLQLW\ZLOODWWDFNDOXPLQXP$YRLGIUHH]HWKDZLQVWRUDJH$YRLGVWRUDJH
DWWHPSHUDWXUHVDERYHƒ&ƒ)7KHPDWHULDOWKLFNHQVLQKLJKWHPSHUDWXUHVWRUDJH

6HFWLRQ([SRVXUH&RQWURODQG3HUVRQDO3URWHFWLRQ

3HUVRQQHO3URWHFWLYH(TXLSPHQW
3HUVRQDO3URWHFWLYH(TXLSPHQW(\HV)DFH
6DIHW\JODVVHVZLWKVLGHVKLHOGVDUHUHFRPPHQGHGWRNHHSSURGXFWRXWRIWKHH\HV
3HUVRQDO3URWHFWLYH(TXLSPHQW6NLQ
5XEEHUJORYHVVKRXOGEHXVHGWRKHOSSUHYHQWH[FHVVLYHVNLQFRQWDFW'ULHGPDWHULDOLVGLI¿FXOWWRZDVKRII
3HUVRQDO3URWHFWLYH(TXLSPHQW5HVSLUDWRU\
1RWDSSOLFDEOH
&RS\ULJKW ,,*3DJHRI
9HQWLODWLRQ
*HQHUDOGLOXWLRQYHQWLODWLRQVKRXOGEHSURYLGHGDVQHFHVVDU\DVYDSRUVPD\EHRIIHQVLYHWRVRPHLQGLYLGXDOV
7KHQHHGIRUYHQWLODWLRQV\VWHPVVKRXOGEHHYDOXDWHGE\DSURIHVVLRQDOLQGXVWULDOK\JLHQLVWZKLOHWKHGHVLJQ
RIVSHFL¿FYHQWLODWLRQV\VWHPVVKRXOGEHFRQGXFWHGE\DSURIHVVLRQDOHQJLQHHU
3HUVRQDO3URWHFWLYH(TXLSPHQW*HQHUDO
1RDGGLWLRQDOLQIRUPDWLRQDYDLODEOH

6HFWLRQ3K\VLFDO &KHPLFDO3URSHUWLHV

$SSHDUDQFH <HOORZRUZKLWH 2GRU )DLQWRGRU

3K\VLFDO6WDWH /LTXLG S+ 
9DSRU3UHVVXUH 1RWGHWHUPLQHG 9DSRU'HQVLW\ 1RWGHWHUPLQHG
%RLOLQJ3RLQW ƒ)DWVHDOHYHO 0HOWLQJ3RLQW 1RWDSSOLFDEOH
6ROXELOLW\+2 0LVFLEOHZKHQZHW 6SHFL¿F*UDYLW\ 
)UHH]LQJ3RLQW ƒ)DWVHDOHYHO 6ROLGV&RQWHQW E\ZHLJKW
(YDSRUDWLRQ5DWH 1RWDSSOLFDEOH 9LVFRVLW\ WRFSV
3HUFHQW9RODWLOH  92& 

6HFWLRQ&KHPLFDO6WDELOLW\ 5HDFWLYLW\,QIRUPDWLRQ

&KHPLFDO6WDELOLW\
7KLVLVDVWDEOHPDWHULDO7KLVSURGXFWLVQRWUHDFWLYH
&KHPLFDO6WDELOLW\
&RQGLWLRQVWR$YRLG²)UHH]HWKDZFDXVHVWKHSURGXFWWRVHSDUDWH
,QFRPSDWLELOLW\
5HDFWVZLWKDFLGWRIRUPDJHO:LOOVWDLQDOXPLQXPZKHQZHW
+D]DUGRXV'HFRPSRVLWLRQ
1RQHLGHQWL¿HG
+D]DUGRXV3RO\PHUL]DWLRQ
:LOOQRWRFFXU

6HFWLRQ7R[LFRORJLFDO,QIRUPDWLRQ

$FXWHDQG&KURQLF7R[LFLW\
*HQHUDO3URGXFW,QIRUPDWLRQ
7KHSULPDU\DFXWHKHDOWKHIIHFWVRIWKLVSURGXFWLQFOXGHPHFKDQLFDOLUULWDWLRQRIWKHVNLQDQGH\HVDQGVNLQ
GU\QHVVDVDUHVXOWRIKLJKS+
&RPSRQHQW$QDO\VLV/'/&
1R/'/&¶VDUHDYDLODEOHIRUWKLVSURGXFW¶VFRPSRQHQWV
&DUFLQRJHQLFLW\
*HQHUDO3URGXFW,QIRUPDWLRQ
26+$173,$5&DQG$&*,+KDYHQRWFODVVL¿HGWKLVSURGXFWLQLWVHQWLUHW\DVDFDUFLQRJHQ
&RPSRQHQW&DUFLQRJHQLFLW\
&DOFLXP&DUERQDWH
$&*,+$1RW&ODVVL¿DEOHDVD+XPDQ&DUFLQRJHQ
6W\UHQH%XWDGLHQHSRO\PHU
,$5&0RQRJUDSK6XSSOHPHQW*URXSQRWFODVVL¿DEOH
&KURQLF7R[LFLW\
0D\FDXVHVNLQLUULWDWLRQXSRQSURORQJHGRUUHSHDWHGFRQWDFW

6HFWLRQ(FRORJLFDO,QIRUPDWLRQ

(FRWR[LFLW\
*HQHUDO3URGXFW,QIRUPDWLRQ
1RGDWDDYDLODEOHIRUWKLVSURGXFW
&RPSRQHQW$QDO\VLV(FRWR[LFLW\$TXDWLF7R[LFLW\
1RHFRWR[LFLW\GDWDDUHDYDLODEOHIRUWKLVSURGXFW¶VFRPSRQHQWV

6HFWLRQ±'LVSRVDO&RQVLGHUDWLRQV

86(3$:DVWH1XPEHU 'HVFULSWLRQV
*HQHUDO3URGXFW,QIRUPDWLRQ
7KLVSURGXFWDVVXSSOLHGLVQRWUHJXODWHGDVDKD]DUGRXVZDVWHE\WKH86(3$XQGHU5&5$UHJXODWLRQV
&RS\ULJKW ,,*3DJHRI
 &RPSO\ZLWKVWDWHDQGORFDOUHJXODWLRQVIRUGLVSRVDO,I\RXDUHXQVXUHRIWKHUHJXODWLRQVFRQWDFW\RXUORFDO
3XEOLF+HDOWK'HSDUWPHQWRUWKHORFDORI¿FHRIWKH(3$
&RPSRQHQW:DVWH1XPEHUV
1R(3$:DVWH1XPEHUVDUHDSSOLFDEOHIRUWKLVSURGXFW¶VFRPSRQHQWV
'LVSRVDO,QVWUXFWLRQV
'LVSRVHRIZDVWHPDWHULDODFFRUGLQJWR/RFDO6WDWH)HGHUDODQG3URYLQFLDO(QYLURQPHQWDO5HJXODWLRQV

6HFWLRQ7UDQVSRUW,QIRUPDWLRQ

86'27,QIRUPDWLRQ
6KLSSLQJ1DPH7KLVSURGXFWLVQRWFODVVL¿HGDKD]DUGRXVPDWHULDOIRUWUDQVSRUW

6HFWLRQ5HJXODWRU\,QIRUPDWLRQ

86)HGHUDO5HJXODWLRQV
$*HQHUDO3URGXFW,QIRUPDWLRQ
1RLQIRUPDWLRQRQWKLVSURGXFWDVDZKROH
%&RPSRQHQW$QDO\VLV
1RQHRIWKLVSURGXFWVFRPSRQHQWVDUHOLVWHGXQGHU6$5$6HFWLRQ&)5$SSHQGL[$6$5$
6HFWLRQ&)5RU&(5&/$&)5
6WDWH5HJXODWLRQV
$*HQHUDO3URGXFW,QIRUPDWLRQ
1RLQIRUPDWLRQDYDLODEOHIRUWKHSURGXFW
2WKHU5HJXODWRU\,QIRUPDWLRQ
$*HQHUDO3URGXFW,QIRUPDWLRQ
1RLQIRUPDWLRQDYDLODEOHIRUWKHSURGXFW
%76&$6WDWXV
7KLVSURGXFWDQGLWVFRPSRQHQWVDUHOLVWHGRQWKH76&$ELQYHQWRU\
1RQHRIWKHFRPSRQHQWVOLVWHGLQWKLVSURGXFWDUHOLVWHGRQWKH76&$([SRUW1RWL¿FDWLRQEOLVW
:+0,6&ODVVL¿FDWLRQ
7KLVPDWHULDOLVFODVVL¿HGDV&ODVV(&RUURVLYH0DWHULDO
,QWHUQDWLRQDO5HJXODWLRQV
&RPSRQHQW$QDO\VLV:+0,6,'/
7KHIROORZLQJFRPSRQHQWVDUHLGHQWL¿HGXQGHUWKH&+3/,'/
6RGLXP6LOLFDWH²&$6

6HFWLRQ2WKHU,QIRUPDWLRQ

7KLVSURGXFWKDVEHHQFODVVL¿HGDFFRUGLQJWRWKHKD]DUGFULWHULDRIWKH&35DQGWKH06'6FRQWDLQVDOOWKH
LQIRUPDWLRQUHTXLUHGE\WKH&35

1)3$ +0,6 5DWLQJ6FDOH

+HDOWK +HDOWK /HDVW
)ODPPDELOLW\ )ODPPDELOLW\ 6OLJKW
5HDFWLYLW\ 3K\VLFDO+D]DUG 0RGHUDWH
2WKHU+D]DUG %3HUVRQDO3URWHFWLRQ +LJK
  6HYHUH

.H\/HJHQG
(3$ (QYLURQPHQWDO3URWHFWLRQ$JHQF\76&$ 7R[LF6XEVWDQFH&RQWURO$FW$&*,+ $PHULFDQ&RQIHUHQFH
RI*RYHUQPHQWDO,QGXVWULDO+\JLHQLVWV,$5& ,QWHUQDWLRQDO$JHQF\IRU5HVHDUFKRQ&DQFHU1,26+ 1DWLRQDO
,QVWLWXWHIRU2FFXSDWLRQDO6DIHW\DQG+HDOWK173 1DWLRQDO7R[LFRORJ\3URJUDP26+$ 2FFXSDWLRQDO6DIHW\
DQG+HDOWK$GPLQLVWUDWLRQ1)3$ 1DWLRQDO)LUH3URWHFWLRQ$VVRFLDWLRQ+0,6 +D]DUGRXV0DWHULDO,GHQWL¿FDWLRQ
6\VWHP5&5$ 5HVRXUFH&RQVHUYDWLRQDQG5HFRYHU\$FW&(5&/$ &RPSUHKHQVLYH(QYLURQPHQWDO
5HVSRQVH&RPSHQVDWLRQDQG/LDELOLW\$FW6$5$ 6XSHUIXQG$PHQGPHQWVDQG5HDXWKRUL]DWLRQ$FW'6/ 
&DQDGLDQ'RPHVWLF6XEVWDQFH/LVW(,1(&6 (XURSHDQ,QYHQWRU\RI1HZDQG([LVWLQJ&KHPLFDO6XEVWDQFHV
:+0,6 :RUNSODFH+D]DUGRXV0DWHULDOV,QIRUPDWLRQ6\VWHP&$$ &OHDQ$LU$FW&+3$ &DQDGLDQ
+D]DUGRXV3URGXFW$FW,'/ &DQDGLDQ+D]DUGRXV'LVFORVXUH/LVW

5HYLVLRQ6XPPDU\
7KLVLVDUHYLVHG06'6ZKLFKUHSODFHV5HYLVLRQ0LQRUZRUGLQJUHYLVLRQZLWKQHZORJR*HWWKLVDQGRWKHU
06'6IRUPVHOHFWURQLFDOO\YLDLQWHUQHWKWWSZZZLLJOOFFRP

&RS\ULJKW ,,*3DJHRI
,03257$176$)(7<127,&(7KHLQIRUPDWLRQLQWKLV06'6UHODWHVRQO\WRWKHVSHFL¿FPDWHULDOGHVFULEHG
KHUHLQDQGGRHVQRWUHODWHWRXVHLQFRPELQDWLRQZLWKDQ\RWKHUPDWHULDORUVXEVWDQFHRULQDQ\SURFHVV%HFDXVH
RIWKHXVHRIWKLVLQIRUPDWLRQDQGWKHFRQGLWLRQVRIXVHRIWKLVSURGXFWDUHQRWZLWKLQWKHFRQWURORI,QGXVWULDO
,QVXODWLRQ*URXSLWLVWKHXVHUVREOLJDWLRQWRGHWHUPLQHWKHFRQGLWLRQVRIVDIHXVHRIWKLVSURGXFW8VHUVRIWKLV
SURGXFWVKRXOGVWXG\WKLV06'6DQGEHFRPHDZDUHRIWKHSURGXFWKD]DUGVDQGVDIHW\LQIRUPDWLRQEHIRUHXVLQJ
WKLVSURGXFW8VHUVVKRXOGDOVRQRWLI\WKHLUHPSOR\HHVDJHQWVDQGFRQWUDFWRUVUHJDUGLQJLQIRUPDWLRQFRQWDLQHGLQ
WKLV06'6DQGDQ\SURGXFWKD]DUGVDQGVDIHW\LQIRUPDWLRQLQRUGHUWRSURYLGHIRUVDIHXVHRIWKLVSURGXFW

3UHSDUHGE\,,*7HFKQLFDO6HUYLFHV

&RS\ULJKW ,,*3DJHRI