L-2022-156, Correction to Subsequent License Renewal Application - Aging Management Requests for Additional Information (RAI) Set 1a Response

From kanterella
(Redirected from ML22262A149)
Jump to navigation Jump to search
Correction to Subsequent License Renewal Application - Aging Management Requests for Additional Information (RAI) Set 1a Response
ML22262A149
Person / Time
Site: Saint Lucie  NextEra Energy icon.png
Issue date: 09/19/2022
From: Maher W
Florida Power & Light Co
To:
Document Control Desk, Office of Nuclear Reactor Regulation
References
L-2022-156
Download: ML22262A149 (45)
v • d • e


Text

Florida Power & Light Company





15430 Endeavor Drive, Jupiter, FL 33478 September 19, 2022 L-2022-156 10 CFR 54.17 U.S. Nuclear Regulatory Commission Attn: Document Control Desk 11545 Rockville Pike One White Flint North Rockville, MD 20852-2746 St. Lucie Nuclear Plant Units 1 and 2 Dockets 50-335 and 50-389 Renewed Facility Operating Licenses DPR-67 and NPF-16 CORRECTION TO SUBSEQUENT LICENSE RENEWAL APPLICATION - AGING MANAGEMENT REQUESTS FOR ADDITIONAL INFORMATION (RAI) SET 1A RESPONSE

References:

1. FPL Letter L-2021-192 dated October 12, 2021 - Subsequent License Renewal Application -

Revision 1 (ADAMS Accession No. ML21285A107) 2. FPL Letter L-2022-043 dated April 7, 2022 - Subsequent License Renewal Application Revision 1 - Supplement 1 (ADAMS Accession No. ML22097A202) 3. FPL Letter L-2022-044 dated April 13, 2022 - Subsequent License Renewal Application Revision 1 - Supplement 2 (ADAMS Accession No. ML22103A014) 4. FPL Letter L-2022-071 dated May 19, 2022 - Subsequent License Renewal Application Revision 1 - Supplement 3 (ADAMS Accession No. ML22139A083) 5. NRC Email and Attachment dated July 11, 2022, St. Lucie SLRA RAI Safety Set 3 Final (ADAMS Accession Nos. ML22193A086, ML22193A087) 6. FPL Letter L-2022-108 dated July 11, 2022 - Subsequent License Renewal Application -

Aging Management Requests for Additional Information (RAI) Set 2 Response 7. NRC Email and Attachment dated August 4, 2022, St. Lucie SLRA RAI (Second Round) 1a Florida Power & Light Company (FPL), owner and licensee for St. Lucie Nuclear Plant (PSL) Units 1 and 2, has submitted a corrected cover letter removing additional referenced Attachments noted in previous submittal. FPL has submitted a revised and supplemented subsequent license renewal application (SLRA) for the Facility Operating Licenses for PSL Units 1 and 2 (References 1-4). Based on the NRCs review of the SLRA, the NRC issued its Set 1a RAIs to FPL (Reference 7). The Attachment to this letter provides the response to those information requests.



St. Lucie Nuclear Plant Units 1 and 2 Dockets 50-335 and 50-389 L-2022-156 l Page 2 of 3 Certain attachments include associated revisions to the SLRA (Enclosure 3 Attachment 1 of Reference 1, as supplemented by References 2 - 4) denoted by strikethrough (deletion) and/or bold red underline (insertion) text. Previous SLRA revisions are denoted by bold black text. SLRA table revisions are included as excerpts from each affected table.

Should you have any questions regarding this submittal, please contact me at (561) 304-6256 or William.Maher@fpl.com.

I declare under penalty of perjury that the foregoing is true and correct.

Executed on the 19th day of September 2022.

Sincerely, William D. Maher Licensing Director - Nuclear Licensing Projects Florida Power & Light Company

Attachment:

PSL Response to NRC RAI No. B.2.3.27-1a Cc:

Regional Administrator, USNRC, Region II Senior Resident Inspector, USNRC, St. Lucie Plant Chief, USNRC, Division of New and Renewed Licenses Senior Project Manager, USNRC, Division of New and Renewed Licenses Chief, Bureau of Radiation Control, Florida Department of Health William Maher Digitally signed by William Maher DN: cn=William Maher, o=Nuclear, ou=Nuclear Licensing

Projects, email=william.maher@fpl.com, c=US Date: 2022.09.19 09:36:48 -04'00'











$77$&+0(17

/

6W/XFLH8QLWVDQG

36/5HVSRQVHWR15&5$,1R%D

(42 pages follow)

6W/XFLH8QLWVDQG

'RFNHWVDQG

36/5HVSRQVHWR15&5$,1R%D

/$WWDFKPHQW3DJHRI



%XULHGDQG8QGHUJURXQG3LSLQJDQG7DQNV$03

5$,%D

5HJXODWRU\\%DVLV

6HFWLRQ D  RI7LWOHRIWKHCode of Federal Regulations &)5 UHTXLUHVDQ

DSSOLFDQWWRGHPRQVWUDWHWKDWWKHHIIHFWVRIDJLQJIRUVWUXFWXUHVDQGFRPSRQHQWVZLOOEH

DGHTXDWHO\\PDQDJHGVRWKDWWKHLQWHQGHGIXQFWLRQ V ZLOOEHPDLQWDLQHGFRQVLVWHQWZLWKWKH

FXUUHQWOLFHQVLQJEDVLVIRUWKHSHULRGRIH[WHQGHGRSHUDWLRQ2QHRIWKHILQGLQJVWKDWWKH86

1XFOHDU5HJXODWRU\\&RPPLVVLRQ 15& VWDIIPXVWPDNHWRLVVXHDUHQHZHGOLFHQVH &)5

 D LVWKDWDFWLRQVKDYHEHHQLGHQWLILHGDQGKDYHEHHQRUZLOOEHWDNHQZLWKUHVSHFWWR

PDQDJLQJWKHHIIHFWVRIDJLQJGXULQJWKHSHULRGRIH[WHQGHGRSHUDWLRQRQWKHIXQFWLRQDOLW\\RI

VWUXFWXUHVDQGFRPSRQHQWVWKDWKDYHEHHQLGHQWLILHGWRUHTXLUHUHYLHZXQGHU&)5

VXFKWKDWWKHUHLVUHDVRQDEOHDVVXUDQFHWKDWWKHDFWLYLWLHVDXWKRUL]HGE\\WKHUHQHZHGOLFHQVH

ZLOOFRQWLQXHWREHFRQGXFWHGLQDFFRUGDQFHZLWKWKHFXUUHQWOLFHQVLQJEDVLV,QRUGHUWR

FRPSOHWHLWVUHYLHZDQGHQDEOHPDNLQJDILQGLQJXQGHU&)5 D WKHVWDIIUHTXLUHV

DGGLWLRQDOLQIRUPDWLRQLQUHJDUGWRWKHPDWWHUVGHVFULEHGEHORZ

%DFNJURXQG

6/5$6HFWLRQ%³%XULHGDQG8QGHUJURXQG3LSLQJDQG7DQNV'VWDWHV³>W@KHQXPEHURI

LQVSHFWLRQVIRUHDFK\\HDULQVSHFWLRQSHULRGFRPPHQFLQJ\\HDUVSULRUWRWKHVWDUWRI63(2

DUHEDVHGRQWKHLQVSHFWLRQTXDQWLWLHVQRWHGLQ185(*7DEOH;,0DGMXVWHGIRUD

8QLWSODQWVLWH'

  • $//6/55HSRUW7DEOH;,0³3UHYHQWLYH$FWLRQVIRU%XULHGDQG8QGHUJURXQG3LSLQJDQG

7DQNV'UHFRPPHQGVWKDWEXULHGVWDLQOHVVVWHHOSLSLQJLVH[WHUQDOO\\FRDWHGLQDFFRUGDQFHZLWK

WKH³SUHYHQWLYHDFWLRQV'SURJUDPHOHPHQWRI*$//6/55HSRUW$03;,0³%XULHGDQG

8QGHUJURXQG3LSLQJDQG7DQNV'

,QDGGLWLRQ*$//6/55HSRUW$03;,0VWDWHVWKHIROORZLQJ

x

³>D@GGLWLRQDOLQVSHFWLRQVEH\\RQGWKRVHLQ7DEOH;,0³,QVSHFWLRQRI%XULHGDQG

8QGHUJURXQG3LSLQJDQG7DQNV'PD\\EHDSSURSULDWHLIH[FHSWLRQVDUHWDNHQWRSURJUDP

HOHPHQW³SUHYHQWLYHDFWLRQV'RULQUHVSRQVHWRSODQWVSHFLILFRSHUDWLQJH[SHULHQFH'

x

³>W@KHUHDUHQRUHFRPPHQGHGSUHYHQWLYHDFWLRQV>HJH[WHUQDOFRDWLQJV@IRUWLWDQLXP

DOOR\\VXSHUDXVWHQLWLFVWDLQOHVVVWHHOVDQGQLFNHODOOR\\PDWHULDOV'

%\\OHWWHUGDWHG-XQH $'$06$FFHVVLRQ1R0/$ WKHDSSOLFDQWVWDWHGWKH

IROORZLQJLQUHVSRQVHWR5$,V%DQG% UHVSHFWLYHO\\ 

x

³>D@SRUWLRQRIWKH8QLWDX[LOLDU\\IHHGZDWHU $): DQGFRQGHQVDWHV\\VWHP $):SXPS

VXFWLRQ LVEXULHGVWDLQOHVVVWHHOSLSLQJLQVDQGEHQHDWKWKHWXUELQHEXLOGLQJ1RFRDWLQJ

ZDVLGHQWLILHGKRZHYHUGXHWRWKHORFDWLRQEHQHDWKWKHWXUELQHEXLOGLQJWKLVEXULHG

SLSLQJLVQRWVXVFHSWLEOHWRZHWWLQJ'

6W/XFLH8QLWVDQG

'RFNHWVDQG

36/5HVSRQVHWR15&5$,1R%D

/$WWDFKPHQW3DJHRI



x

³>W@KHWDEOH>UHIHUULQJWRWKHVRLOFRUURVLYLW\\VDPSOLQJUHVXOWVWDEOH@GRHVQRWLQFOXGHDQ

RXWOLHUVRLOVDPSOHDVVRFLDWHGZLWKD8QLWLQWDNHFRROLQJZDWHU ,&: OLQHVLQFHWKDW

VDPSOHKDGEHHQLPSDFWHGE\\ORFDOVDOWZDWHUIRDPLQJIURPWKH,&:GLVFKDUJH

RYHUIORZVWDQGSLSH7KHFDXONLQJEHWZHHQWKHVWDQGSLSHDQGWKHFRQFUHWHGHFNLQJZDV

ZHDWKHUHGDQGSRURXVDOORZLQJVDOWZDWHUIRDPWRSHUPHDWHLQWRWKHVRLO'

,QUHVSRQVHWR5$,%WKHDSSOLFDQWSURYLGHGUHVXOWVIURPVHYHQVRLOFRUURVLYLW\\VDPSOHV

ZKLFKLQFOXGHGWKHIROORZLQJSDUDPHWHUVS+VRLOUHVLVWLYLW\\PRLVWXUHFKORULGHVVXOIDWHVUHGR[

SRWHQWLDODQGPLFURELRORJ\\%DVHGRQLWVUHYLHZRIWKLVGDWDWKHVWDIIQRWHGWKDWWKHVRLOFDQEH

FRQVLGHUHGDSSUHFLDEO\\FRUURVLYH XVLQJDYHUDJHYDOXHV RUVHYHUHO\\FRUURVLYH XVLQJOHDVW

FRQVHUYDWLYHYDOXHV WRVWDLQOHVVVWHHOZKHQVFRULQJLQDFFRUGDQFHZLWK7DEOH³6RLO

&RUURVLYLW\\,QGH[IURP%3:25.6'RI(OHFWULF3RZHU5HVHDUFK,QVWLWXWH (35, 5HSRUW

³6RLO6DPSOLQJDQG7HVWLQJ0HWKRGVWR(YDOXDWHWKH&RUURVLYLW\\RIWKH

(QYLURQPHQWIRU%XULHG3LSLQJDQG7DQNVDW1XFOHDU3RZHU3ODQWV'

,VVXH

7KHEDVLVSURYLGHGE\\WKHDSSOLFDQWIRUKDYLQJXQFRDWHGEXULHGVWDLQOHVVVWHHO LHDQ

H[FHSWLRQWR*$//6/5$03;,0JXLGDQFH LVWKDWWKHSLSLQJLVQRWH[SRVHGWRVLJQLILFDQW

DPRXQWVRIPRLVWXUH LHZHWWLQJ +RZHYHUWKHVWDIIQRWHVWKDWVRLOSDUDPHWHUVEH\\RQG

PRLVWXUH LHS+VRLOUHVLVWLYLW\\FKORULGHVVXOIDWHVUHGR[SRWHQWLDODQGPLFURELRORJ\\ LPSDFW

WKHVXVFHSWLELOLW\\RIEXULHGVWDLQOHVVVWHHOWRH[WHUQDOFRUURVLRQ%DVHGRQWKHVRLOFRUURVLYLW\\

GDWDSURYLGHGLQWKHUHVSRQVHWR5$,%WKHHQYLURQPHQWDW6W/XFLHFDQEH

FRQVLGHUHGFRUURVLYHWREXULHGVWDLQOHVVVWHHO,QDGGLWLRQEDVHGRQLWVUHYLHZRIWKHUHVSRQVH

WR5$,%WKHVWDIIQRWHVWKDWWKHUHKDVEHHQDWOHDVWRQHLQFLGHQWRIVDOWZDWHULQWUXVLRQ

LQWRWKHVRLO%DVHGRQLWVUHYLHZRI7DEOHRI(35,5HSRUWWKHVWDIIDOVRQRWHV

EXULHGVWDLQOHVVLVPRUHVHQVLWLYHWRWKHHIIHFWVRIFKORULGHVWKDQDQ\\RWKHUPDWHULDOW\\SH

5HTXHVW

 6WDWHWKHDSSUR[LPDWHOHQJWKRIXQFRDWHGLQVFRSHEXULHGVWDLQOHVVVWHHOSLSLQJ

 6WDWHWKHEDVLVIRUZK\\WKHLQVSHFWLRQTXDQWLWLHVLQ*$//6/55HSRUW7DEOH;,0

DUHDSSURSULDWHIRUEXULHGVWDLQOHVVVWHHOSLSLQJ7KHWHFKQLFDOEDVLVFRXOGLQFOXGH EXW

LVQRWOLPLWHGWR GLVFXVVLRQRIWKHIROORZLQJUHVXOWVRIVRLOFRUURVLYLW\\WHVWLQJLQWKH

YLFLQLW\\RIWKHVXEMHFWSLSLQJUHVXOWVRILQVSHFWLRQVRIEXULHGXQFRDWHGVWDLQOHVVVWHHO

SLSLQJDQGW\\SH V RILQVFRSHVWDLQOHVVVWHHO HJVXSHUDXVWHQLWLF SLSLQJXWLOL]HGLQ

XQFRDWHGEXULHGDSSOLFDWLRQVHWF

5HIHUHQFHV

x

(35,(35,³6RLO6DPSOLQJDQG7HVWLQJ0HWKRGVWR(YDOXDWHWKH

&RUURVLYLW\\RIWKH(QYLURQPHQWIRU%XULHG3LSLQJDQG7DQNVDW1XFOHDU3RZHU3ODQWV'

3DOR$OWR&DOLIRUQLD(OHFWULF3RZHU5HVHDUFK,QVWLWXWH1RYHPEHU









6W/XFLH8QLWVDQG

'RFNHWVDQG

36/5HVSRQVHWR15&5$,1R%D

/$WWDFKPHQW3DJHRI



36/5HVSRQVH

7KHRQO\\EXULHGVWDLQOHVVVWHHOSLSLQJDW6W/XFLHZKLFKFRXOGQRWEHFRQILUPHGDVFRDWHGRU

HQFDVHGLQFRQFUHWHLVFRPSULVHGRIWKH8QLWDX[LOLDU\\IHHGZDWHU $): SXPSUHFLUFXODWLRQ

SLSLQJDQGFRQGHQVDWHV\\VWHP $):SXPSVXFWLRQ SLSLQJ7KHUHIRUHWKLVSLSLQJLV

FRQVHUYDWLYHO\\DVVXPHGWREHXQFRDWHG7KLVJUDGHVWDLQOHVVVWHHOSLSLQJWUDYHUVHV

EHQHDWKWKH8QLWWXUELQHEXLOGLQJDQGKDVDWRWDOOHQJWKRIDSSUR[LPDWHO\\IW

$W6W/XFLHWKHDSSOLFDWLRQRIH[WHUQDOFRDWLQJVRQVDIHW\\UHODWHGSLSLQJLVDGHVLJQIHDWXUHDQG

LVFRQWUROOHGE\\HQJLQHHULQJVSHFLILFDWLRQVDQGGHVLJQGUDZLQJVDVDSSURSULDWH7KH6W/XFLH

8QLWGHVLJQVSHFLILFDWLRQVDQGGUDZLQJVIRUEXULHGVWDLQOHVVVWHHOSLSLQJGRQRWVSHFLI\\WKH

DSSOLFDWLRQRIDFRDWLQJPDWHULDO

185(*7DEOH;,0LGHQWLILHV³FRDWLQJV'DQG³EDFNILOO'DVSUHYHQWDWLYHDFWLRQVIRU

EXULHGVWDLQOHVVVWHHOSLSLQJ7KH8QLWEXULHGJUDGHVWDLQOHVVVWHHOSLSLQJPHHWVWKH

³EDFNILOO'SUHYHQWLYHDFWLRQLQ7DEOH;,07KHVRLOHQYLURQPHQWLQFRQWDFWZLWKWKLVEXULHG

VWDLQOHVVVWHHOSLSLQJLVFRPSRVHGRIEDFNILOOLQDFFRUGDQFHZLWKWKHDSSOLFDEOHSODQW

VSHFLILFDWLRQZKLFKLVDYDLODEOHRQWKHH3RUWDODQGVXPPDUL]HGDVIROORZV

x

0DWHULDOWREHXVHGDVFRPSDFWHGEDFNILOOIRU8QLWVKDOOEHDVHOHFWHGVDQGDQGEHIUHH

RIPXGG\\PDWHULDORUJDQLFPDWWHUUXEELVKGHEULVRURWKHUXQVXLWDEOHPDWHULDOV7KH

PRLVWXUHFRQWHQWRIWKHVDQGVKDOOEHZLWKLQWKHOLPLWVUHTXLUHGWRREWDLQWKHVSHFLILHG

FRPSDFWLRQ'UHGJHGPDWHULDOVKDOOEHVWRFNSLOHGVRDVWRIDFLOLWDWHGUDLQDJH1R

OLPHURFNVKDOOEHXVHGIRUILOO7KLVPHHWVDQGH[FHHGVWKH1$&(63

5HIHUHQFH 6HFWLRQEDFNILOOUHFRPPHQGDWLRQIURP185(*

x

%DFNILOOPDWHULDOGHVLJQDWHGDV&ODVV,PDWHULDOIRU8QLWVKDOOKDYHQRPRUHWKDQ

VLOWFRQWHQW ILQHUWKDQ1RVLHYH EHIUHHRIFOD\\EDOOVDQGQRURFNIUDJPHQWVODUJHU

WKDQLQFKHVVKDOOEHXVHGIRUWKHILOOH[FHSWLQDUHDVZKHUHKDQGFRPSDFWLRQLV

UHTXLUHGZKHUHLQWKHPD[LPXPURFNIUDJPHQWVL]HVKDOOQRWH[FHHGLQFKHV6LHYH

DQDO\\VHVDUHSHUIRUPHGLQDFFRUGDQFHZLWK$670'RU'2QO\\&ODVV,EDFNILOO

LVXVHGDW6W/XFLH7KLVPHHWVDQGH[FHHGVWKH$670' 5HIHUHQFH VL]H

UHFRPPHQGDWLRQIURP185(*

$OWKRXJKVWDLQOHVVVWHHOLVVXVFHSWLEOHWRDWWDFNE\\FKORULGHVVXFKDWWDFNVDUHSULPDULO\\

FDWDO\\]HGZKHQPRLVWXUHEUHDNVWKHFKORULGHPROHFXOHV¶LRQLFERQGVIUHHLQJFKORULQHLRQVWR

DWWDFNWKHVWDLQOHVVVWHHOSLSLQJ7KHFRQFUHWHIORRUVODEDVVRFLDWHGZLWKWKHWXUELQHEXLOGLQJ

VKLHOGVWKHSLSLQJIURPUDLQZDWHUVDOWZDWHUDQGRWKHUPRLVWXUHRUFKORULGHLQWUXVLRQ(YHQLI

PRLVWXUHLQWUXVLRQRFFXUUHGVDQGLVNQRZQWRKDYHUHODWLYHO\\JRRGGUDLQDJHSURSHUWLHVVR

VWDJQDQWPRLVWXUHOHDGLQJWRDFRQWLQXHGFKORULGHDWWDFNZRXOGQRWRFFXU$GGLWLRQDOO\\DV

LGHQWLILHGLQWKHUHVSRQVHWR6HW5$,%WKHPDMRULW\\RIWKHVRLOVDPSOHVOLVWHGKDG

FKORULGHDQGVXOIDWHUHDGLQJVEHORZWKHWKUHVKROGRIGHWHFWLRQ7KHWZRH[FHSWLRQVWRWKLVZHUH

DWVRLOVDPSOHVQHDUWKHLQWDNHFRROLQJZDWHU ,&: SLSLQJRQWKHLQWDNHVLGHRIWKHSODQWZKLFK

PHDVXUHGPJNJGU\\FKORULGHVDQGPJNJGU\\VXOIDWHVDQGWKHRXWOLHUVDPSOHQHDUWKH

GLVFKDUJHVWUXFWXUHZKHUHVDOWZDWHULQWUXVLRQKDGRFFXUUHG 5HIHUHQFH 1HLWKHURIWKHWZR

RXWOLHUVDPSOHORFDWLRQVDUHQHDUDQ\\RIWKHVXEMHFWJUDGHVWDLQOHVVVWHHOSLSLQJ

6W/XFLH8QLWVDQG

'RFNHWVDQG

36/5HVSRQVHWR15&5$,1R%D

/$WWDFKPHQW3DJHRI



$QRSHUDWLQJH[SHULHQFH 2( VHDUFKRIWKH\\HDUDFWLRQUHTXHVW $5 GDWDEDVHDQG

FRPSRQHQWGDWDEDVH 1$06 GLGQRWLGHQWLI\\DQ\\DJLQJUHODWHGGHJUDGDWLRQIRUWKH8QLW

VWDLQOHVVVWHHO$):DQGFRQGHQVDWHV\\VWHPSLSLQJEXULHGEHQHDWKWKH8QLWWXUELQHEXLOGLQJ

QRUZDVDJHUHODWHGGHJUDGDWLRQLGHQWLILHGIRUDQ\\RWKHUEXULHGVWDLQOHVVVWHHOSLSLQJDWWKHVLWH

'XHWRWKHORZQXPEHURIFKORULGHVZLWKLQWKHVRLOWKHORZOLNHOLKRRGRIVWDJQDQWPRLVWXUHGXHWR

WKHFRQFUHWHIORRUVODEVKLHOGLQJJRRGVRLOEDFNILOOGUDLQDJHDQGQRKLVWRU\\RIQHJDWLYH2(DQ

H[FHSWLRQWRWKH185(*UHFRPPHQGDWLRQRIFRDWLQJEXULHGVWDLQOHVVVWHHOSLSLQJDVD

SUHYHQWLYHDFWLRQLVUHDVRQDEOHDQGZLOOEHWDNHQZLWKUHVSHFWWRWKH8QLWVWDLQOHVVVWHHO$):

SXPSUHFLUFXODWLRQSLSLQJDQGFRQGHQVDWHV\\VWHP $):SXPSVXFWLRQ SLSLQJEXULHGEHQHDWK

WKH8QLWWXUELQHEXLOGLQJ$GGLWLRQDOO\\IRUWKHVDPHUHDVRQLQJWKHLQVSHFWLRQTXDQWLWLHVOLVWHG

LQ185(*7DEOH;,0DUHDGHTXDWHIRUSURYLGLQJUHDVRQDEOHDVVXUDQFHWKDWWKH

XQFRDWHGEXULHGVWDLQOHVVSLSLQJDW6W/XFLHZLOOPDLQWDLQLWVSUHVVXUHERXQGDU\\IXQFWLRQ

WKURXJKRXWWKH63(2

'XHWRWKHQHZH[FHSWLRQIRUEXULHGVWDLQOHVVVWHHOSLSLQJ³FRDWLQJV'WKHIROORZLQJ6/5$WDEOHV

DQGVHFWLRQVDUHLPSDFWHG

x

7DEOH6XPPDU\\RI$JLQJ0DQDJHPHQW(YDOXDWLRQVIRUWKH$X[LOLDU\\6\\VWHPV

x

7DEOH'LHVHO*HQHUDWRUVDQG6XSSRUW6\\VWHPV+/-6XPPDU\\RI$JLQJ

0DQDJHPHQW(YDOXDWLRQ

x

7DEOH)LUH3URWHFWLRQ6HUYLFH:DWHU+/-6XPPDU\\RI$JLQJ0DQDJHPHQW

(YDOXDWLRQ

x

7DEOH,QWDNH&RROLQJ:DWHU(PHUJHQF\\&RROLQJ&DQDO+/-6XPPDU\\RI$JLQJ

0DQDJHPHQW(YDOXDWLRQ

x

7DEOH3ULPDU\\0DNHXS:DWHU+/-6XPPDU\\RI$JLQJ0DQDJHPHQW(YDOXDWLRQ

x

7DEOH9HQWLODWLRQ+/-6XPPDU\\RI$JLQJ0DQDJHPHQW(YDOXDWLRQ

x

7DEOH6XPPDU\\RI$JLQJ0DQDJHPHQW(YDOXDWLRQVIRUWKH6WHDPDQG3RZHU

&RQYHUVLRQ6\\VWHPV

x

7DEOH$X[LOLDU\\)HHGZDWHUDQG&RQGHQVDWH+/-6XPPDU\\RI$JLQJ0DQDJHPHQW

(YDOXDWLRQ

x

7DEOH%36/$JLQJ0DQDJHPHQW3URJUDP&RQVLVWHQF\\ZLWK185(*

x

6HFWLRQ%2YHUYLHZ

x

6HFWLRQ%%XULHGDQG8QGHUJURXQG3LSLQJDQG7DQNV

6HYHUDORIWKHLPSDFWHGSDJHVDVVRFLDWHGZLWKWKHDERYHWDEOHVDQGVHFWLRQVZHUHDOVR

LPSDFWHGE\\SUHYLRXV6/5$6XSSOHPHQWVDQG5$,UHVSRQVHV 5HIHUHQFHVDQG 

6W/XFLH8QLWVDQG

'RFNHWVDQG

36/5HVSRQVHWR15&5$,1R%D

/$WWDFKPHQW3DJHRI



5HIHUHQFHV

 1$&(6WDQGDUG3UDFWLFH63³&RQWURORI([WHUQDO&RUURVLRQRQ8QGHUJURXQG

RU6XEPHUJHG0HWDOOLF3LSLQJ6\\VWHPV'+RXVWRQ7H[DV1$&(,QWHUQDWLRQDO

 $670$670'³&ODVVLILFDWLRQIRU6L]HVRI$JJUHJDWHIRU5RDGDQG%ULGJH

&RQVWUXFWLRQ':HVW&RQVKRKRFNHQ3HQQV\\OYDQLD$670,QWHUQDWLRQDO

 )ORULGD3RZHUDQG/LJKW&RPSDQ\\ )3/ /HWWHUWR15&/GDWHG-XQH

>6W/XFLH8QLWVDQG@6XEVHTXHQW/LFHQVH5HQHZDO$SSOLFDWLRQ+/-$JLQJ

0DQDJHPHQW5HTXHVWVIRU$GGLWLRQDO,QIRUPDWLRQ 5$, 6HW$5HVSRQVHDQG5HTXHVW

IRU&RQILUPDWLRQRI,QIRUPDWLRQ 5&, 6HW5HVSRQVH$'$06$FFHVVLRQ1R

0/$

 )ORULGD3RZHUDQG/LJKW&RPSDQ\\ )3/ /HWWHUWR15&/GDWHG$SULO

>6W/XFLH8QLWVDQG@6XEVHTXHQW/LFHQVH5HQHZDO$SSOLFDWLRQ5HYLVLRQ+/-

6XSSOHPHQW$'$06$FFHVVLRQ1R0/$

 )ORULGD3RZHUDQG/LJKW&RPSDQ\\ )3/ /HWWHUWR15&/GDWHG$XJXVW

>6W/XFLH8QLWVDQG@6XEVHTXHQW/LFHQVH5HQHZDO$SSOLFDWLRQ$JLQJ

0DQDJHPHQW5HTXHVWVIRU$GGLWLRQDO,QIRUPDWLRQ 5$, 6HW5HVSRQVHDQG6XEPLWWDORI

6XSHUVHGHG5HVSRQVHIRU2QH6HW5$,DQG2QH6XSSOHPHQW$WWDFKPHQW$'$06

$FFHVVLRQ1R0/$

6W/XFLH8QLWVDQG

'RFNHWVDQG

36/5HVSRQVHWR15&5$,1R%D

/$WWDFKPHQW3DJHRI



$VVRFLDWHG6/5$5HYLVLRQV

6/5$7DEOHSDJHDVXSGDWHGE\\6XSSOHPHQW$WWDFKPHQWDQG6HW5$,LVXSGDWHGDVIROORZV

7DEOH6XPPDU\\RI$JLQJ0DQDJHPHQW(YDOXDWLRQVIRUWKH$X[LOLDU\\6\\VWHPV

,WHP

1XPEHU

&RPSRQHQW

$JLQJ(IIHFW0HFKDQLVP

$JLQJ0DQDJHPHQW

3URJUDP $03 7/$$

)XUWKHU

(YDOXDWLRQ

5HFRPPHQGHG

'LVFXVVLRQ



6WDLQOHVVVWHHO

QLFNHODOOR\\SLSLQJ

SLSLQJFRPSRQHQWV

H[SRVHGWRVRLO

FRQFUHWH

/RVVRIPDWHULDOGXHWR

SLWWLQJFUHYLFHFRUURVLRQ

0,& VRLORQO\\ 

$03;,0%XULHG

DQG8QGHUJURXQG3LSLQJ

DQG7DQNV

1R

&RQVLVWHQWZLWK185(*ZLWK

H[FHSWLRQ7KH%XULHGDQG8QGHUJURXQG

3LSLQJDQG7DQNV$03LVXVHGWRPDQDJH

ORVVRIPDWHULDOLQVWDLQOHVVVWHHOSLSLQJ

SLSLQJFRPSRQHQWVH[SRVHGWRVRLORU

FRQFUHWH



7LWDQLXPVXSHU

DXVWHQLWLFFRSSHU

DOOR\\VWDLQOHVV

VWHHOQLFNHODOOR\\

SLSLQJSLSLQJ

FRPSRQHQWVWDQNV

FORVXUHEROWLQJ

H[SRVHGWRVRLO

FRQFUHWH

XQGHUJURXQG

/RVVRIPDWHULDOGXHWR

JHQHUDO FRSSHUDOOR\\

RQO\\ SLWWLQJFUHYLFH

FRUURVLRQ0,& VXSHU

DXVWHQLWLFFRSSHUDOOR\\

VWDLQOHVVVWHHOQLFNHO

DOOR\\VRLOHQYLURQPHQW

RQO\\ 

$03;,0%XULHG

DQG8QGHUJURXQG3LSLQJ

DQG7DQNV

1R

&RQVLVWHQWZLWK185(*ZLWK

H[FHSWLRQ7KH%XULHGDQG8QGHUJURXQG

3LSLQJDQG7DQNV$03LVXVHGWRPDQDJH

ORVVRIPDWHULDOLQVWDLQOHVVVWHHOFORVXUH

EROWLQJH[SRVHGWRVRLO



6WHHOSLSLQJSLSLQJ

FRPSRQHQWV

FORVXUHEROWLQJ

H[SRVHGWRVRLO

FRQFUHWH

XQGHUJURXQG

/RVVRIPDWHULDOGXHWR

JHQHUDOSLWWLQJFUHYLFH

FRUURVLRQ0,& VRLORQO\\ 

$03;,0%XULHG

DQG8QGHUJURXQG3LSLQJ

DQG7DQNV

1R

&RQVLVWHQWZLWK185(*ZLWK

H[FHSWLRQ7KH%XULHGDQG8QGHUJURXQG

3LSLQJDQG7DQNV$03LVXVHGWRPDQDJH

ORVVRIPDWHULDOLQVWHHOSLSLQJSLSLQJ

FRPSRQHQWVDQGFORVXUHEROWLQJH[SRVHGWR

VRLORUFRQFUHWHWKDWDUHVXEMHFWWRZHWWLQJ



7KLVOLQHLWHPRQO\\DSSOLHVWR%:5V



6WHHOVWUXFWXUDO

VWHHOH[SRVHGWRDLU

+/-LQGRRU

XQFRQWUROOHG

/RVVRIPDWHULDOGXHWR

JHQHUDOSLWWLQJFUHYLFH

FRUURVLRQ

$03;,6

6WUXFWXUHV0RQLWRULQJ

1R

1RWXVHG

,WHP1XPEHULVXVHGIRUORVV

RIPDWHULDORIVWHHOVWUXFWXUDOVWHHO

H[SRVHGWRDLU+/-LQGRRUXQFRQWUROOHG



6WHHOSLSLQJSLSLQJ

FRPSRQHQWV

H[SRVHGWRFRQFUHWH

1RQH

1RQH

<HV 6536/5

6HFWLRQ 

&RQVLVWHQWZLWK185(*

7KHUHDUHQRDJLQJHIIHFWVWREHPDQDJHGIRU

VWHHOSLSLQJDQGSLSLQJFRPSRQHQWVDQGWKH

8QLW'267VH[SRVHGWRFRQFUHWHWKDWDUH

QRWVXEMHFWWRZHWWLQJ

)XUWKHUHYDOXDWLRQLVGRFXPHQWHGLQ

6HFWLRQ



6W/XFLH8QLWVDQG

'RFNHWVDQG

36/5HVSRQVHWR15&5$,1R%D

/$WWDFKPHQW3DJHRI



6/5$7DEOHSDJHLVXSGDWHGDVIROORZV

7DEOH6XPPDU\\RI$JLQJ0DQDJHPHQW(YDOXDWLRQVIRUWKH$X[LOLDU\\6\\VWHPV

,WHP

1XPEHU

&RPSRQHQW

$JLQJ(IIHFW0HFKDQLVP

$JLQJ0DQDJHPHQW

3URJUDP $03 7/$$

)XUWKHU

(YDOXDWLRQ

5HFRPPHQGHG

'LVFXVVLRQ



6WDLQOHVVVWHHO

VWHHODOXPLQXP

SLSLQJSLSLQJ

FRPSRQHQWVWDQNV

H[SRVHGWRVRLO

FRQFUHWH

&UDFNLQJGXHWR6&&

VWHHOLQ

FDUERQDWHELFDUERQDWH

HQYLURQPHQWRQO\\ 

$03;,0%XULHG

DQG8QGHUJURXQG3LSLQJ

DQG7DQNV

1R

&RQVLVWHQWZLWK185(*ZLWK

H[FHSWLRQ7KH%XULHGDQG8QGHUJURXQG

3LSLQJDQG7DQNV$03LVXVHGWRPDQDJH

FUDFNLQJIRUVWHHODQGVWDLQOHVVVWHHOSLSLQJ

SLSLQJFRPSRQHQWVDQGEROWLQJH[SRVHGWR

VRLORUFRQFUHWH



6WDLQOHVVVWHHO

FORVXUHEROWLQJ

H[SRVHGWRDLUVRLO

FRQFUHWH

XQGHUJURXQGZDVWH

ZDWHU

&UDFNLQJGXHWR6&&

$03;,0

%ROWLQJ,QWHJULW\\

1R

&RQVLVWHQWZLWK185(*7KH%ROWLQJ

,QWHJULW\\$03LVXVHGWRPDQDJHFUDFNLQJRI

VWDLQOHVVVWHHOFORVXUHEROWLQJH[SRVHGWR

LQGRRUXQFRQWUROOHGDLURXWGRRUDLUDQGVRLO



6WDLQOHVVVWHHO

XQGHUJURXQGSLSLQJ

SLSLQJFRPSRQHQWV

WDQNV

&UDFNLQJGXHWR6&&

$03;,0

2QH7LPH,QVSHFWLRQ

$03;,0%XULHG

DQG8QGHUJURXQG3LSLQJ

DQG7DQNVRU$03

,0

,QWHUQDO

&RDWLQJV/LQLQJVIRU

,Q6FRSH3LSLQJ3LSLQJ

&RPSRQHQWV+HDW

([FKDQJHUVDQG7DQNV

<HV 6536/5

6HFWLRQ 

&RQVLVWHQWZLWK185(*ZLWK

H[FHSWLRQIRUWKH%XULHGDQG

8QGHUJURXQG3LSLQJDQG7DQNV$03

7KH%XULHGDQG8QGHUJURXQG3LSLQJDQG

7DQNV$03LVXVHGWRPDQDJHORVVRI

PDWHULDORIVWDLQOHVVSLSLQJH[SRVHGWRDQ

XQGHUJURXQGHQYLURQPHQW

)XUWKHUHYDOXDWLRQLVGRFXPHQWLQ

6HFWLRQ



1LFNHODOOR\\QLFNHO

DOOR\\FODGGLQJ

SLSLQJSLSLQJ

FRPSRQHQWV

H[SRVHGWR

FORVHGF\\FOHFRROLQJ

ZDWHU

/RVVRIPDWHULDOGXHWR

SLWWLQJFUHYLFHFRUURVLRQ

0,&

$03;,0$

&ORVHG7UHDWHG:DWHU

6\\VWHPV

1R

1RWDSSOLFDEOH

7KHUHDUHQRQLFNHODOOR\\RUQLFNHODOOR\\FODG

SLSLQJRUSLSLQJFRPSRQHQWVH[SRVHGWR

FORVHGF\\FOHFRROLQJZDWHULQWKH$X[LOLDU\\

6\\VWHPV



)LEHUJODVVSLSLQJ

SLSLQJFRPSRQHQWV

GXFWLQJGXFWLQJ

FRPSRQHQWV

H[SRVHGWRDLU+/-

RXWGRRU

&UDFNLQJEOLVWHULQJORVV

RIPDWHULDOGXHWR

H[SRVXUHWRXOWUDYLROHW

OLJKWR]RQHUDGLDWLRQ

WHPSHUDWXUHRUPRLVWXUH

$03;,0

([WHUQDO6XUIDFHV

0RQLWRULQJRI

0HFKDQLFDO

&RPSRQHQWV

1R

1RWDSSOLFDEOH

7KHUHDUHQRILEHUJODVVSLSLQJDQGSLSLQJ

FRPSRQHQWVLQWKH$X[LOLDU\\6\\VWHPV

H[SRVHGWRRXWGRRUDLUWKDWUHTXLUHDJLQJ

PDQDJHPHQW

6W/XFLH8QLWVDQG

'RFNHWVDQG

36/5HVSRQVHWR15&5$,1R%D

/$WWDFKPHQW3DJHRI



6/5$7DEOHSDJHLVXSGDWHGDVIROORZV

7DEOH6XPPDU\\RI$JLQJ0DQDJHPHQW(YDOXDWLRQVIRUWKH$X[LOLDU\\6\\VWHPV

,WHP

1XPEHU

&RPSRQHQW

$JLQJ(IIHFW0HFKDQLVP

$JLQJ0DQDJHPHQW

3URJUDP $03 7/$$

)XUWKHU

(YDOXDWLRQ

5HFRPPHQGHG

'LVFXVVLRQ



6WDLQOHVVVWHHO

QLFNHODOOR\\

XQGHUJURXQGSLSLQJ

SLSLQJFRPSRQHQWV

WDQNV

/RVVRIPDWHULDOGXHWR

SLWWLQJFUHYLFHFRUURVLRQ

$03;,0

2QH7LPH,QVSHFWLRQ

$03;,0%XULHG

DQG8QGHUJURXQG3LSLQJ

DQG7DQNVRU$03

,0

,QWHUQDO

&RDWLQJV/LQLQJVIRU

,Q6FRSH3LSLQJ3LSLQJ

&RPSRQHQWV+HDW

([FKDQJHUVDQG7DQNV

<HV 6536/5

6HFWLRQ 

&RQVLVWHQWZLWK185(*ZLWK

H[FHSWLRQIRUWKH%XULHGDQG

8QGHUJURXQG3LSLQJDQG7DQNV$03

7KH%XULHGDQG8QGHUJURXQG3LSLQJDQG

7DQNV$03LVXVHGWRPDQDJHFUDFNLQJRI

VWDLQOHVVVWHHOSLSLQJFRPSRQHQWVH[SRVHG

WRDQXQGHUJURXQGHQYLURQPHQW



)XUWKHUHYDOXDWLRQLVGRFXPHQWHGLQ

6HFWLRQ



$OXPLQXPSLSLQJ

SLSLQJFRPSRQHQWV

WDQNVH[SRVHGWR

UDZZDWHUZDVWH

ZDWHU

/RVVRIPDWHULDOGXHWR

SLWWLQJFUHYLFHFRUURVLRQ

$03;,0

2XWGRRUDQG/DUJH

$WPRVSKHULF0HWDOOLF

6WRUDJH7DQNV$03

,0

2QH7LPH,QVSHFWLRQ

$03;,0

,QVSHFWLRQRI,QWHUQDO

6XUIDFHVLQ

0LVFHOODQHRXV3LSLQJ

DQG'XFWLQJ

&RPSRQHQWVRU$03

,0

,QWHUQDO

&RDWLQJV/LQLQJVIRU

,Q6FRSH3LSLQJ3LSLQJ

&RPSRQHQWV+HDW

([FKDQJHUVDQG7DQNV

<HV 6536/5

6HFWLRQ 

1RWDSSOLFDEOH

7KHUHDUHQRDOXPLQXPSLSLQJRUSLSLQJ

FRPSRQHQWVH[SRVHGWRUDZZDWHURUZDVWH

ZDWHULQWKH$X[LOLDU\\6\\VWHPV



$OXPLQXPSLSLQJ

SLSLQJFRPSRQHQWV

WDQNVH[SRVHGWRDLU

ZLWKERUDWHGZDWHU

OHDNDJH

1RQH

1RQH

1R

1RWXVHG

%RULFDFLGFRUURVLRQLVQRWDQDSSOLFDEOH

DJLQJHIIHFWIRUDOXPLQXPWKHDVVRFLDWHG

185(*DJLQJLWHPVDUHQRWXVHG





6W/XFLH8QLWVDQG

'RFNHWVDQG

36/5HVSRQVHWR15&5$,1R%D

/$WWDFKPHQW3DJHRI



6/5$7DEOHSDJHLVXSGDWHGDVIROORZV

7DEOH'LHVHO*HQHUDWRUVDQG6XSSRUW6\\VWHPV+/-6XPPDU\\RI$JLQJ0DQDJHPHQW(YDOXDWLRQ

&RPSRQHQW7\\SH

,QWHQGHG

)XQFWLRQ

0DWHULDO

(QYLURQPHQW

$JLQJ(IIHFW

5HTXLULQJ

0DQDJHPHQW

$JLQJ0DQDJHPHQW

3URJUDP

185(*

,WHP

7DEOH

,WHP

1RWHV

3LSLQJ

3UHVVXUH

ERXQGDU\\

&DUERQVWHHO

7UHDWHGZDWHU

LQW 

/RVVRIPDWHULDO

&ORVHG7UHDWHG

DWHU6\\VWHPV

% 

9,,+$3



$

3LSLQJ

3UHVVXUH

ERXQGDU\\

&DUERQVWHHO

8QGHUJURXQG

H[W 

/RVVRIPDWHULDO

%XULHGDQG

8QGHUJURXQG3LSLQJ

DQG7DQNV % 

9,,,$3



$%

3LSLQJ

3UHVVXUH

ERXQGDU\\

&RSSHUDOOR\\

$LU+/-GU\\ LQW 

/RVVRIPDWHULDO

&RPSUHVVHG$LU

0RQLWRULQJ % 

9,,'$



$

3LSLQJ

3UHVVXUH

ERXQGDU\\

&RSSHUDOOR\\

$LU+/-LQGRRU

XQFRQWUROOHG H[W 

1RQH

1RQH

9,,-$3



$

3LSLQJ

3UHVVXUH

ERXQGDU\\

&RSSHUDOOR\\

)XHORLO LQW 

/RVVRIPDWHULDO

)XHO2LO&KHPLVWU\\

% 

2QH7LPH,QVSHFWLRQ

% 

9,,+$3



%

$

3LSLQJ

3UHVVXUH

ERXQGDU\\

&RSSHUDOOR\\

7UHDWHGZDWHU

LQW 

/RVVRIPDWHULDO

&ORVHG7UHDWHG

DWHU6\\VWHPV

% 

9,,+$3



$

3LSLQJ

3UHVVXUH

ERXQGDU\\

6WDLQOHVVVWHHO

$LU+/-GU\\ LQW 

/RVVRIPDWHULDO

&RPSUHVVHG$LU

0RQLWRULQJ % 

9,,'$



$

3LSLQJ

3UHVVXUH

ERXQGDU\\

6WDLQOHVVVWHHO

$LU+/-LQGRRU

XQFRQWUROOHG H[W 

&UDFNLQJ

([WHUQDO6XUIDFHV

0RQLWRULQJRI

0HFKDQLFDO

&RPSRQHQWV

% 

9,,+$3E



$

3LSLQJ

3UHVVXUH

ERXQGDU\\

6WDLQOHVVVWHHO

$LU+/-LQGRRU

XQFRQWUROOHG H[W 

/RVVRIPDWHULDO

([WHUQDO6XUIDFHV

0RQLWRULQJRI

0HFKDQLFDO

&RPSRQHQWV

% 

9,,+$3E



$

3LSLQJ

3UHVVXUH

ERXQGDU\\

6WDLQOHVVVWHHO

$LU+/-LQGRRU

XQFRQWUROOHG LQW 

&UDFNLQJ

,QVSHFWLRQRI,QWHUQDO

6XUIDFHVLQ

0LVFHOODQHRXV3LSLQJ

DQG'XFWLQJ

&RPSRQHQWV

% 

9,,'$3E



$





6W/XFLH8QLWVDQG

'RFNHWVDQG

36/5HVSRQVHWR15&5$,1R%D

/$WWDFKPHQW3DJHRI



6/5$7DEOHSDJHDVXSGDWHGE\\6XSSOHPHQW$WWDFKPHQWLVXSGDWHGDVIROORZV

7DEOH'LHVHO*HQHUDWRUVDQG6XSSRUW6\\VWHPV+/-6XPPDU\\RI$JLQJ0DQDJHPHQW(YDOXDWLRQ

&RPSRQHQW7\\SH

,QWHQGHG

)XQFWLRQ

0DWHULDO

(QYLURQPHQW

$JLQJ(IIHFW

5HTXLULQJ

0DQDJHPHQW

$JLQJ0DQDJHPHQW

3URJUDP

185(*

,WHP

7DEOH

,WHP

1RWHV

3LSLQJ

3UHVVXUH

ERXQGDU\\

6WDLQOHVVVWHHO

$LU+/-LQGRRU

XQFRQWUROOHG LQW 

/RVVRIPDWHULDO

,QVSHFWLRQRI,QWHUQDO

6XUIDFHVLQ

0LVFHOODQHRXV3LSLQJ

DQG'XFWLQJ

&RPSRQHQWV

% 

9,,+$3F



$

3LSLQJ

3UHVVXUH

ERXQGDU\\

6WDLQOHVVVWHHO

)XHORLO LQW 

/RVVRIPDWHULDO

)XHO2LO&KHPLVWU\\

% 

2QH7LPH,QVSHFWLRQ

% 

9,,+$3



%

$

3LSLQJ

3UHVVXUH

ERXQGDU\\

6WDLQOHVVVWHHO

/XEULFDWLQJRLO

LQW 

/RVVRIPDWHULDO

/XEULFDWLQJ2LO

$QDO\\VLV % 

2QH7LPH,QVSHFWLRQ

% 

9,,+$3



$

3LSLQJ

3UHVVXUH

ERXQGDU\\

6WDLQOHVVVWHHO

7UHDWHGZDWHU

LQW 

/RVVRIPDWHULDO

&ORVHG7UHDWHG

DWHU6\\VWHPV

% 

9,,&$



$

3LSLQJ

3UHVVXUH

ERXQGDU\\

6WDLQOHVVVWHHO

8QGHUJURXQG

H[W 

&UDFNLQJ

%XULHGDQG

8QGHUJURXQG3LSLQJ

DQG7DQNV % 

9,,,$E



$%

3LSLQJ

3UHVVXUH

ERXQGDU\\

6WDLQOHVVVWHHO

8QGHUJURXQG

H[W 

/RVVRIPDWHULDO

%XULHGDQG

8QGHUJURXQG3LSLQJ

DQG7DQNV % 

9,,,$E



$%

3LSLQJ LQVXODWHG 

3UHVVXUH

ERXQGDU\\

&DUERQVWHHO

$LU+/-LQGRRU

XQFRQWUROOHG H[W 

/RVVRIPDWHULDO

([WHUQDO6XUIDFHV

0RQLWRULQJRI

0HFKDQLFDO

&RPSRQHQWV

% 

9,,,$D



$

3LSLQJDQGSLSLQJ

FRPSRQHQWV

3UHVVXUH

ERXQGDU\\

&DUERQVWHHO

'LHVHOH[KDXVW

LQW 

&XPXODWLYH

IDWLJXHGDPDJH

7/$$+/-6HFWLRQ

0HWDO)DWLJXH

RI1RQ&ODVV

&RPSRQHQWV

9,,($



$

3LSLQJDQGSLSLQJ

FRPSRQHQWV

3UHVVXUH

ERXQGDU\\

6WDLQOHVVVWHHO

'LHVHOH[KDXVW

LQW 

&XPXODWLYH

IDWLJXHGDPDJH

7/$$+/-6HFWLRQ

0HWDO)DWLJXH

RI1RQ&ODVV

&RPSRQHQWV

9,,($



$

6W/XFLH8QLWVDQG

'RFNHWVDQG

36/5HVSRQVHWR15&5$,1R%D

/$WWDFKPHQW3DJHRI



6/5$7DEOHSDJHLVXSGDWHGDVIROORZV

7DEOH)LUH3URWHFWLRQ6HUYLFH:DWHU+/-6XPPDU\\RI$JLQJ0DQDJHPHQW(YDOXDWLRQ

&RPSRQHQW7\\SH

,QWHQGHG

)XQFWLRQ

0DWHULDO

(QYLURQPHQW

$JLQJ(IIHFW

5HTXLULQJ

0DQDJHPHQW

$JLQJ0DQDJHPHQW

3URJUDP

185(*

,WHP

7DEOH

,WHP

1RWHV

$FFXPXODWRU

3UHVVXUH

ERXQGDU\\

&DUERQVWHHO

$LU+/-RXWGRRU H[W 

/RVVRIPDWHULDO

([WHUQDO6XUIDFHV

0RQLWRULQJRI

0HFKDQLFDO

&RPSRQHQWV

% 

9,,,$



$

$FFXPXODWRU

3UHVVXUH

ERXQGDU\\

&DUERQVWHHO

$LU+/-RXWGRRU LQW 

/RVVRIPDWHULDO

,QVSHFWLRQRI,QWHUQDO

6XUIDFHVLQ

0LVFHOODQHRXV3LSLQJ

DQG'XFWLQJ

&RPSRQHQWV

% 

9$(



$

%ROWLQJ

0HFKDQLFDO

FORVXUH

&DUERQVWHHO

$LU+/-LQGRRU

XQFRQWUROOHG H[W 

/RVVRIPDWHULDO

%ROWLQJ,QWHJULW\\

% 

9,,,$



$

%ROWLQJ

0HFKDQLFDO

FORVXUH

&DUERQVWHHO

$LU+/-LQGRRU

XQFRQWUROOHG H[W 

/RVVRISUHORDG

%ROWLQJ,QWHJULW\\

% 

9,,,$3



$

%ROWLQJ

0HFKDQLFDO

FORVXUH

&DUERQVWHHO

$LU+/-RXWGRRU H[W 

/RVVRIPDWHULDO

%ROWLQJ,QWHJULW\\

% 

9,,,$



$

%ROWLQJ

0HFKDQLFDO

FORVXUH

&DUERQVWHHO

$LU+/-RXWGRRU H[W 

/RVVRISUHORDG

%ROWLQJ,QWHJULW\\

% 

9,,,$3



$

%ROWLQJ

0HFKDQLFDO

FORVXUH

&DUERQVWHHO

6RLO H[W 

&UDFNLQJ

%XULHGDQG

8QGHUJURXQG3LSLQJ

DQG7DQNV % 

9,,,$



&'

%ROWLQJ

0HFKDQLFDO

FORVXUH

&DUERQVWHHO

6RLO H[W 

/RVVRIPDWHULDO

%XULHGDQG

8QGHUJURXQG3LSLQJ

DQG7DQNV % 

9,,,$3



$%

%ROWLQJ

0HFKDQLFDO

FORVXUH

&DUERQVWHHO

6RLO H[W 

/RVVRISUHORDG

%ROWLQJ,QWHJULW\\

% 

9,,,$3



$

%ROWLQJ

0HFKDQLFDO

FORVXUH

&DVWLURQ

$LU+/-LQGRRU

XQFRQWUROOHG H[W 

/RVVRIPDWHULDO

%ROWLQJ,QWHJULW\\

% 

9,,,$



$

%ROWLQJ

0HFKDQLFDO

FORVXUH

&DVWLURQ

$LU+/-LQGRRU

XQFRQWUROOHG H[W 

/RVVRISUHORDG

%ROWLQJ,QWHJULW\\

% 

9,,,$3



$

%ROWLQJ

0HFKDQLFDO

FORVXUH

&DVWLURQ

$LU+/-RXWGRRU H[W 

/RVVRIPDWHULDO

%ROWLQJ,QWHJULW\\

% 

9,,,$



$

%ROWLQJ

0HFKDQLFDO

FORVXUH

&DVWLURQ

$LU+/-RXWGRRU H[W 

/RVVRISUHORDG

%ROWLQJ,QWHJULW\\

% 

9,,,$3



$





6W/XFLH8QLWVDQG

'RFNHWVDQG

36/5HVSRQVHWR15&5$,1R%D

/$WWDFKPHQW3DJHRI



6/5$7DEOHSDJHLVXSGDWHGDVIROORZV

7DEOH)LUH3URWHFWLRQ6HUYLFH:DWHU+/-6XPPDU\\RI$JLQJ0DQDJHPHQW(YDOXDWLRQ

&RPSRQHQW7\\SH

,QWHQGHG

)XQFWLRQ

0DWHULDO

(QYLURQPHQW

$JLQJ(IIHFW

5HTXLULQJ

0DQDJHPHQW

$JLQJ0DQDJHPHQW

3URJUDP

185(*

,WHP

7DEOH

,WHP

1RWHV

%ROWLQJ

0HFKDQLFDO

FORVXUH

&DVWLURQ

6RLO H[W 

&UDFNLQJ

%XULHGDQG

8QGHUJURXQG3LSLQJ

DQG7DQNV % 

9,,,$





&'

%ROWLQJ

0HFKDQLFDO

FORVXUH

&DVWLURQ

6RLO H[W 

/RVVRIPDWHULDO

%XULHGDQG

8QGHUJURXQG3LSLQJ

DQG7DQNV % 

9,,,$3





$%

%ROWLQJ

0HFKDQLFDO

FORVXUH

&DVWLURQ

6RLO H[W 

/RVVRIPDWHULDO

6HOHFWLYH/HDFKLQJ

% 

9,,*$





&

%ROWLQJ

0HFKDQLFDO

FORVXUH

&DVWLURQ

6RLO H[W 

/RVVRISUHORDG

%ROWLQJ,QWHJULW\\

% 

9,,,$3





$

%ROWLQJ

0HFKDQLFDO

FORVXUH

6WDLQOHVVVWHHO

$LU+/-LQGRRU

XQFRQWUROOHG H[W 

&UDFNLQJ

%ROWLQJ,QWHJULW\\

% 

9,,,$





$

%ROWLQJ

0HFKDQLFDO

FORVXUH

6WDLQOHVVVWHHO

$LU+/-LQGRRU

XQFRQWUROOHG H[W 

/RVVRIPDWHULDO

%ROWLQJ,QWHJULW\\

% 

9,,,$





$

%ROWLQJ

0HFKDQLFDO

FORVXUH

6WDLQOHVVVWHHO

$LU+/-LQGRRU

XQFRQWUROOHG H[W 

/RVVRISUHORDG

%ROWLQJ,QWHJULW\\

% 

9,,,$3





$

%ROWLQJ

0HFKDQLFDO

FORVXUH

6WDLQOHVVVWHHO

$LU+/-RXWGRRU H[W 

&UDFNLQJ

%ROWLQJ,QWHJULW\\

% 

9,,,$





$

%ROWLQJ

0HFKDQLFDO

FORVXUH

6WDLQOHVVVWHHO

$LU+/-RXWGRRU H[W 

/RVVRIPDWHULDO

%ROWLQJ,QWHJULW\\

% 

9,,,$





$

%ROWLQJ

0HFKDQLFDO

FORVXUH

6WDLQOHVVVWHHO

$LU+/-RXWGRRU H[W 

/RVVRISUHORDG

%ROWLQJ,QWHJULW\\

% 

9,,,$3





$

%ROWLQJ

0HFKDQLFDO

FORVXUH

6WDLQOHVVVWHHO

6RLO H[W 

&UDFNLQJ

%XULHGDQG

8QGHUJURXQG3LSLQJ

DQG7DQNV % 

9,,,$





&'

%ROWLQJ

0HFKDQLFDO

FORVXUH

6WDLQOHVVVWHHO

6RLO H[W 

/RVVRIPDWHULDO

%XULHGDQG

8QGHUJURXQG3LSLQJ

DQG7DQNV % 

9,,,$3





$%

%ROWLQJ

0HFKDQLFDO

FORVXUH

6WDLQOHVVVWHHO

6RLO H[W 

/RVVRISUHORDG

%ROWLQJ,QWHJULW\\

% 

9,,,$3





$

'ULSSDQ

'LUHFWIORZ

6WDLQOHVVVWHHO

$LU+/-LQGRRU

XQFRQWUROOHG H[W 

&UDFNLQJ

([WHUQDO6XUIDFHV

0RQLWRULQJRI

0HFKDQLFDO

&RPSRQHQWV

% 

9,,*$3E





$





6W/XFLH8QLWVDQG

'RFNHWVDQG

36/5HVSRQVHWR15&5$,1R%D

/$WWDFKPHQW3DJHRI



6/5$7DEOHSDJHLVXSGDWHGDVIROORZV

7DEOH)LUH3URWHFWLRQ6HUYLFH:DWHU+/-6XPPDU\\RI$JLQJ0DQDJHPHQW(YDOXDWLRQ

&RPSRQHQW7\\SH

,QWHQGHG

)XQFWLRQ

0DWHULDO

(QYLURQPHQW

$JLQJ(IIHFW

5HTXLULQJ

0DQDJHPHQW

$JLQJ0DQDJHPHQW

3URJUDP

185(*

,WHP

7DEOH

,WHP

1RWHV

'ULSSDQ

'LUHFWIORZ

6WDLQOHVVVWHHO

$LU+/-LQGRRU

XQFRQWUROOHG H[W 

/RVVRIPDWHULDO

([WHUQDO6XUIDFHV

0RQLWRULQJRI

0HFKDQLFDO

&RPSRQHQWV

% 

9,,*$3E





$

'ULSSDQ

'LUHFWIORZ

6WDLQOHVVVWHHO

$LU+/-LQGRRU

XQFRQWUROOHG LQW 

&UDFNLQJ

,QVSHFWLRQRI,QWHUQDO

6XUIDFHVLQ

0LVFHOODQHRXV3LSLQJ

DQG'XFWLQJ

&RPSRQHQWV

% 

9,,*$3F





$

'ULSSDQ

'LUHFWIORZ

6WDLQOHVVVWHHO

$LU+/-LQGRRU

XQFRQWUROOHG LQW 

/RVVRIPDWHULDO

,QVSHFWLRQRI,QWHUQDO

6XUIDFHVLQ

0LVFHOODQHRXV3LSLQJ

DQG'XFWLQJ

&RPSRQHQWV

% 

9,,*$3F





$

'ULSSDQ

'LUHFWIORZ

6WDLQOHVVVWHHO

/XEULFDWLQJRLO LQW 

/RVVRIPDWHULDO

/XEULFDWLQJ2LO

$QDO\\VLV % 

2QH7LPH,QVSHFWLRQ

% 

9,,*$3





&

)LUHK\\GUDQW

3UHVVXUH

ERXQGDU\\

  • UD\\FDVWLURQ

$LU+/-RXWGRRU H[W 

/RVVRIPDWHULDO

)LUH:DWHU6\\VWHP

% 

9,,*$3





$

)LUHK\\GUDQW

3UHVVXUH

ERXQGDU\\

  • UD\\FDVWLURQ

$LU+/-RXWGRRU LQW 

/RVVRIPDWHULDO

)LUH:DWHU6\\VWHP

% 

9,,*$3





$

)LUHK\\GUDQW

3UHVVXUH

ERXQGDU\\

  • UD\\FDVWLURQ

5DZZDWHU LQW 

/RQJWHUPORVV

RIPDWHULDO

2QH7LPH,QVSHFWLRQ

% 

9,,*$





$

)LUHK\\GUDQW

3UHVVXUH

ERXQGDU\\

  • UD\\FDVWLURQ

5DZZDWHU LQW 

/RVVRIPDWHULDO

6HOHFWLYH/HDFKLQJ

% 

9,,*$





$

)LUHK\\GUDQW

3UHVVXUH

ERXQGDU\\

  • UD\\FDVWLURQ

5DZZDWHU LQW 

/RVVRIPDWHULDO

)ORZEORFNDJH

)LUH:DWHU6\\VWHP

% 

9,,*$3





$

)LUHK\\GUDQW

3UHVVXUH

ERXQGDU\\

  • UD\\FDVWLURQ

5DZZDWHU LQW 

DOOWKLQQLQJ+/-

HURVLRQ

)LUH:DWHU6\\VWHP

% 

9,,&$





(

)LUHK\\GUDQW

3UHVVXUH

ERXQGDU\\

  • UD\\FDVWLURQ

6RLO H[W 

&UDFNLQJ

%XULHGDQG

8QGHUJURXQG3LSLQJ

DQG7DQNV % 

9,,,$





$%

6W/XFLH8QLWVDQG

'RFNHWVDQG

36/5HVSRQVHWR15&5$,1R%D

/$WWDFKPHQW3DJHRI



6/5$7DEOHSDJHLVXSGDWHGDVIROORZV

7DEOH)LUH3URWHFWLRQ6HUYLFH:DWHU+/-6XPPDU\\RI$JLQJ0DQDJHPHQW(YDOXDWLRQ

&RPSRQHQW7\\SH

,QWHQGHG

)XQFWLRQ

0DWHULDO

(QYLURQPHQW

$JLQJ(IIHFW

5HTXLULQJ

0DQDJHPHQW

$JLQJ0DQDJHPHQW

3URJUDP

185(*

,WHP

7DEOH

,WHP

1RWHV

)LUHK\\GUDQW

3UHVVXUH

ERXQGDU\\

  • UD\\FDVWLURQ

6RLO H[W 

/RVVRIPDWHULDO

%XULHGDQG

8QGHUJURXQG3LSLQJ

DQG7DQNV % 

9,,,$3





$%

)LUHK\\GUDQW

3UHVVXUH

ERXQGDU\\

  • UD\\FDVWLURQ

6RLO H[W 

/RVVRIPDWHULDO

6HOHFWLYH/HDFKLQJ

% 

9,,*$





$

)ODPHDUUHVWRU

)LUH

SUHYHQWLRQ

$OXPLQXP

$LU+/-LQGRRU

XQFRQWUROOHG H[W 

&UDFNLQJ

([WHUQDO6XUIDFHV

0RQLWRULQJRI

0HFKDQLFDO

&RPSRQHQWV

% 

9,,*$E





$

)ODPHDUUHVWRU

)LUH

SUHYHQWLRQ

$OXPLQXP

$LU+/-LQGRRU

XQFRQWUROOHG H[W 

/RVVRIPDWHULDO

([WHUQDO6XUIDFHV

0RQLWRULQJRI

0HFKDQLFDO

&RPSRQHQWV

% 

9,,+$E





$

)ODPHDUUHVWRU

)LUH

SUHYHQWLRQ

$OXPLQXP

$LU+/-LQGRRU

XQFRQWUROOHG LQW 

&UDFNLQJ

,QVSHFWLRQRI,QWHUQDO

6XUIDFHVLQ

0LVFHOODQHRXV3LSLQJ

DQG'XFWLQJ

&RPSRQHQWV

% 

9,,*$F





$

)ODPHDUUHVWRU

)LUH

SUHYHQWLRQ

$OXPLQXP

$LU+/-LQGRRU

XQFRQWUROOHG LQW 

/RVVRIPDWHULDO

,QVSHFWLRQRI,QWHUQDO

6XUIDFHVLQ

0LVFHOODQHRXV3LSLQJ

DQG'XFWLQJ

&RPSRQHQWV

% 

9,,+$F





$

)ODPHDUUHVWRU

)LUH

SUHYHQWLRQ

$OXPLQXP

/XEULFDWLQJRLO LQW 

/RVVRIPDWHULDO

/XEULFDWLQJ2LO

$QDO\\VLV % 

2QH7LPH,QVSHFWLRQ

% 

9,,*$3





$

)ODPHDUUHVWRU

)LUH

SUHYHQWLRQ

6WDLQOHVVVWHHO

$LU+/-LQGRRU

XQFRQWUROOHG H[W 

&UDFNLQJ

([WHUQDO6XUIDFHV

0RQLWRULQJRI

0HFKDQLFDO

&RPSRQHQWV

% 

9,,*$3E





$

6W/XFLH8QLWVDQG

'RFNHWVDQG

36/5HVSRQVHWR15&5$,1R%D

/$WWDFKPHQW3DJHRI



6/5$7DEOHSDJHLVXSGDWHGDVIROORZV

7DEOH)LUH3URWHFWLRQ6HUYLFH:DWHU+/-6XPPDU\\RI$JLQJ0DQDJHPHQW(YDOXDWLRQ

&RPSRQHQW7\\SH

,QWHQGHG

)XQFWLRQ

0DWHULDO

(QYLURQPHQW

$JLQJ(IIHFW

5HTXLULQJ

0DQDJHPHQW

$JLQJ0DQDJHPHQW

3URJUDP

185(*

,WHP

7DEOH

,WHP

1RWHV

3LSLQJ

3UHVVXUH

ERXQGDU\\

&DUERQVWHHO

$LU+/-LQGRRU

XQFRQWUROOHG H[W 

/RVVRIPDWHULDO

([WHUQDO6XUIDFHV

0RQLWRULQJRI

0HFKDQLFDO

&RPSRQHQWV

% 

9,,,$





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

&DUERQVWHHO

$LU+/-LQGRRU

XQFRQWUROOHG LQW 

/RVVRIPDWHULDO

,QVSHFWLRQRI,QWHUQDO

6XUIDFHVLQ

0LVFHOODQHRXV3LSLQJ

DQG'XFWLQJ

&RPSRQHQWV

% 

9$(





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

&DUERQVWHHO

$LU+/-RXWGRRU H[W 

/RVVRIPDWHULDO

([WHUQDO6XUIDFHV

0RQLWRULQJRI

0HFKDQLFDO

&RPSRQHQWV

% 

9,,,$





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

&DUERQVWHHO

$LU+/-RXWGRRU LQW 

/RVVRIPDWHULDO

,QVSHFWLRQRI,QWHUQDO

6XUIDFHVLQ

0LVFHOODQHRXV3LSLQJ

DQG'XFWLQJ

&RPSRQHQWV

% 

9$(





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

&DUERQVWHHO

&RQFUHWH H[W 

&UDFNLQJ

%XULHGDQG

8QGHUJURXQG3LSLQJ

DQG7DQNV % 

9,,,$





$%

3LSLQJ

3UHVVXUH

ERXQGDU\\

&DUERQVWHHO

&RQFUHWH H[W 

/RVVRIPDWHULDO

%XULHGDQG

8QGHUJURXQG3LSLQJ

DQG7DQNV % 

9,,,$3





$%

3LSLQJ

3UHVVXUH

ERXQGDU\\

&DUERQVWHHO

/XEULFDWLQJRLO LQW 

/RVVRIPDWHULDO

/XEULFDWLQJ2LO

$QDO\\VLV % 

2QH7LPH,QVSHFWLRQ

% 

9,,*$3





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

&DUERQVWHHO

5DZZDWHU H[W 

/RVVRIPDWHULDO

)LUH:DWHU6\\VWHP

% 

9,,*$





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

&DUERQVWHHO

5DZZDWHU LQW 

/RQJWHUPORVV

RIPDWHULDO

2QH7LPH,QVSHFWLRQ

% 

9,,*$





$

6W/XFLH8QLWVDQG

'RFNHWVDQG

36/5HVSRQVHWR15&5$,1R%D

/$WWDFKPHQW3DJHRI



6/5$7DEOHSDJHLVXSGDWHGDVIROORZV

7DEOH)LUH3URWHFWLRQ6HUYLFH:DWHU+/-6XPPDU\\RI$JLQJ0DQDJHPHQW(YDOXDWLRQ

&RPSRQHQW7\\SH

,QWHQGHG

)XQFWLRQ

0DWHULDO

(QYLURQPHQW

$JLQJ(IIHFW

5HTXLULQJ

0DQDJHPHQW

$JLQJ0DQDJHPHQW

3URJUDP

185(*

,WHP

7DEOH

,WHP

1RWHV

3LSLQJ

3UHVVXUH

ERXQGDU\\

&DUERQVWHHO

5DZZDWHU LQW 

/RVVRIPDWHULDO

)ORZEORFNDJH

)LUH:DWHU6\\VWHP

% 

9,,*$





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

&DUERQVWHHO

5DZZDWHU LQW 

/RVVRIPDWHULDO

)ORZEORFNDJH

,QVSHFWLRQRI,QWHUQDO

6XUIDFHVLQ

0LVFHOODQHRXV3LSLQJ

DQG'XFWLQJ

&RPSRQHQWV

% 

9,,&$





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

&DUERQVWHHO

5DZZDWHU LQW 

DOOWKLQQLQJ+/-

HURVLRQ

)LUH:DWHU6\\VWHP

% 

9,,&$





(

3LSLQJ

3UHVVXUH

ERXQGDU\\

&DUERQVWHHO

5DZZDWHU LQW 

DOOWKLQQLQJ+/-

HURVLRQ

,QVSHFWLRQRI,QWHUQDO

6XUIDFHVLQ

0LVFHOODQHRXV3LSLQJ

DQG'XFWLQJ

&RPSRQHQWV

% 

9,,&$





(

3LSLQJ

3UHVVXUH

ERXQGDU\\

&DUERQVWHHO

6RLO H[W 

&UDFNLQJ

%XULHGDQG

8QGHUJURXQG3LSLQJ

DQG7DQNV % 

9,,,$





$%

3LSLQJ

3UHVVXUH

ERXQGDU\\

&DUERQVWHHO

6RLO H[W 

/RVVRIPDWHULDO

%XULHGDQG

8QGHUJURXQG3LSLQJ

DQG7DQNV % 

9,,,$3





$%

3LSLQJ

3UHVVXUH

ERXQGDU\\

&RDWLQJ

5DZZDWHU LQW 

/RVVRIFRDWLQJ

RUOLQLQJLQWHJULW\\

,QWHUQDO

&RDWLQJV/LQLQJVIRU

,Q6FRSH3LSLQJ

3LSLQJ&RPSRQHQWV

+HDW([FKDQJHUV

DQG7DQNV % 

9,,*$





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

&RDWLQJ

FHPHQWLWLRXV 

5DZZDWHU LQW 

/RVVRIFRDWLQJ

RUOLQLQJLQWHJULW\\

FHPHQWLWLRXV 

,QWHUQDO

&RDWLQJV/LQLQJVIRU

,Q6FRSH3LSLQJ

3LSLQJ&RPSRQHQWV

+HDW([FKDQJHUV

DQG7DQNV % 

9,,*$





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

&RSSHUDOOR\\

$LU+/-LQGRRU

XQFRQWUROOHG H[W 

1RQH

1RQH

9,,-$3





$

6W/XFLH8QLWVDQG

'RFNHWVDQG

36/5HVSRQVHWR15&5$,1R%D

/$WWDFKPHQW3DJHRI



6/5$7DEOHSDJHLVXSGDWHGDVIROORZV

7DEOH)LUH3URWHFWLRQ6HUYLFH:DWHU+/-6XPPDU\\RI$JLQJ0DQDJHPHQW(YDOXDWLRQ

&RPSRQHQW7\\SH

,QWHQGHG

)XQFWLRQ

0DWHULDO

(QYLURQPHQW

$JLQJ(IIHFW

5HTXLULQJ

0DQDJHPHQW

$JLQJ0DQDJHPHQW

3URJUDP

185(*

,WHP

7DEOH

,WHP

1RWHV

3LSLQJ

3UHVVXUH

ERXQGDU\\

&RSSHUDOOR\\

$LU+/-RXWGRRU H[W 

1RQH

1RQH

9,,-$3





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

&RSSHUDOOR\\

5DZZDWHU LQW 

/RVVRIPDWHULDO

)ORZEORFNDJH

)LUH:DWHU6\\VWHP

% 

9,,*$3





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

&RSSHUDOOR\\

5DZZDWHU LQW 

DOOWKLQQLQJ+/-

HURVLRQ

)LUH:DWHU6\\VWHP

% 

9,,&$





(

3LSLQJ

3UHVVXUH

ERXQGDU\\

&RSSHUDOOR\\

!=Q

$LU+/-LQGRRU

XQFRQWUROOHG H[W 

&UDFNLQJ

([WHUQDO6XUIDFHV

0RQLWRULQJRI

0HFKDQLFDO

&RPSRQHQWV

% 

9,,,+6





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

&RSSHUDOOR\\

!=Q

$LU+/-LQGRRU

XQFRQWUROOHG LQW 

1RQH

1RQH

9,,-$3





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

&RSSHUDOOR\\

!=Q

$LU+/-RXWGRRU H[W 

&UDFNLQJ

([WHUQDO6XUIDFHV

0RQLWRULQJRI

0HFKDQLFDO

&RPSRQHQWV

% 

9,,,+6





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

&RSSHUDOOR\\

!=Q

$LU+/-RXWGRRU LQW 

1RQH

1RQH

9,,-$3





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

'XFWLOHLURQ

$LU+/-RXWGRRU H[W 

/RVVRIPDWHULDO

([WHUQDO6XUIDFHV

0RQLWRULQJRI

0HFKDQLFDO

&RPSRQHQWV

% 

9,,,$





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

'XFWLOHLURQ

&RQFUHWH H[W 

/RVVRIPDWHULDO

%XULHGDQG

8QGHUJURXQG3LSLQJ

DQG7DQNV % 

9,,,$3





$%

3LSLQJ

3UHVVXUH

ERXQGDU\\

'XFWLOHLURQ

5DZZDWHU LQW 

/RQJWHUPORVV

RIPDWHULDO

2QH7LPH,QVSHFWLRQ

% 

9,,*$





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

'XFWLOHLURQ

5DZZDWHU LQW 

/RVVRIPDWHULDO

6HOHFWLYH/HDFKLQJ

% 

9,,*$





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

'XFWLOHLURQ

5DZZDWHU LQW 

/RVVRIPDWHULDO

)ORZEORFNDJH

)LUH:DWHU6\\VWHP

% 

9,,*$





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

'XFWLOHLURQ

5DZZDWHU LQW 

DOOWKLQQLQJ+/-

HURVLRQ

)LUH:DWHU6\\VWHP

% 

9,,&$





(

6W/XFLH8QLWVDQG

'RFNHWVDQG

36/5HVSRQVHWR15&5$,1R%D

/$WWDFKPHQW3DJHRI



6/5$7DEOHSDJHLVXSGDWHGDVIROORZV

7DEOH)LUH3URWHFWLRQ6HUYLFH:DWHU+/-6XPPDU\\RI$JLQJ0DQDJHPHQW(YDOXDWLRQ

&RPSRQHQW7\\SH

,QWHQGHG

)XQFWLRQ

0DWHULDO

(QYLURQPHQW

$JLQJ(IIHFW

5HTXLULQJ

0DQDJHPHQW

$JLQJ0DQDJHPHQW

3URJUDP

185(*

,WHP

7DEOH

,WHP

1RWHV

3LSLQJ

3UHVVXUH

ERXQGDU\\

'XFWLOHLURQ

6RLO H[W 

&UDFNLQJ

%XULHGDQG

8QGHUJURXQG3LSLQJ

DQG7DQNV % 

9,,,$





$%

3LSLQJ

3UHVVXUH

ERXQGDU\\

'XFWLOHLURQ

6RLO H[W 

/RVVRIPDWHULDO

%XULHGDQG

8QGHUJURXQG3LSLQJ

DQG7DQNV % 

9,,,$3





$%

3LSLQJ

3UHVVXUH

ERXQGDU\\

'XFWLOHLURQ

6RLO H[W 

/RVVRIPDWHULDO

6HOHFWLYH/HDFKLQJ

% 

9,,*$





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

  • DOYDQL]HG

VWHHO

$LU+/-RXWGRRU H[W 

/RVVRIPDWHULDO

([WHUQDO6XUIDFHV

0RQLWRULQJRI

0HFKDQLFDO

&RPSRQHQWV

% 

9,,,$





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

  • DOYDQL]HG

VWHHO

$LU+/-RXWGRRU LQW 

/RVVRIPDWHULDO

,QVSHFWLRQRI,QWHUQDO

6XUIDFHVLQ

0LVFHOODQHRXV3LSLQJ

DQG'XFWLQJ

&RPSRQHQWV

% 

9$(





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

  • DOYDQL]HG

VWHHO

5DZZDWHU LQW 

/RQJWHUPORVV

RIPDWHULDO

2QH7LPH,QVSHFWLRQ

% 

9,,*$





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

  • DOYDQL]HG

VWHHO

5DZZDWHU LQW 

/RVVRIPDWHULDO

)ORZEORFNDJH

)LUH:DWHU6\\VWHP

% 

9,,*$





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

  • DOYDQL]HG

VWHHO

5DZZDWHU LQW 

DOOWKLQQLQJ+/-

HURVLRQ

)LUH:DWHU6\\VWHP

% 

9,,&$





(

3LSLQJ

3UHVVXUH

ERXQGDU\\

  • UD\\FDVWLURQ

$LU+/-LQGRRU

XQFRQWUROOHG H[W 

/RVVRIPDWHULDO

([WHUQDO6XUIDFHV

0RQLWRULQJRI

0HFKDQLFDO

&RPSRQHQWV

% 

9,,,$





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

  • UD\\FDVWLURQ

$LU+/-RXWGRRU H[W 

/RVVRIPDWHULDO

([WHUQDO6XUIDFHV

0RQLWRULQJRI

0HFKDQLFDO

&RPSRQHQWV

% 

9,,,$





$





6W/XFLH8QLWVDQG

'RFNHWVDQG

36/5HVSRQVHWR15&5$,1R%D

/$WWDFKPHQW3DJHRI



6/5$7DEOHSDJHLVXSGDWHGDVIROORZV

7DEOH)LUH3URWHFWLRQ6HUYLFH:DWHU+/-6XPPDU\\RI$JLQJ0DQDJHPHQW(YDOXDWLRQ

&RPSRQHQW7\\SH

,QWHQGHG

)XQFWLRQ

0DWHULDO

(QYLURQPHQW

$JLQJ(IIHFW

5HTXLULQJ

0DQDJHPHQW

$JLQJ0DQDJHPHQW

3URJUDP

185(*

,WHP

7DEOH

,WHP

1RWHV

3LSLQJ

3UHVVXUH

ERXQGDU\\

  • UD\\FDVWLURQ

&RQFUHWH H[W 

/RVVRIPDWHULDO

%XULHGDQG

8QGHUJURXQG3LSLQJ

DQG7DQNV % 

9,,,$3





$%

3LSLQJ

3UHVVXUH

ERXQGDU\\

  • UD\\FDVWLURQ

5DZZDWHU LQW 

/RQJWHUPORVV

RIPDWHULDO

2QH7LPH,QVSHFWLRQ

% 

9,,*$





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

  • UD\\FDVWLURQ

5DZZDWHU LQW 

/RVVRIPDWHULDO

6HOHFWLYH/HDFKLQJ

% 

9,,*$





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

  • UD\\FDVWLURQ

5DZZDWHU LQW 

/RVVRIPDWHULDO

)ORZEORFNDJH

)LUH:DWHU6\\VWHP

% 

9,,*$





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

  • UD\\FDVWLURQ

5DZZDWHU LQW 

DOOWKLQQLQJ+/-

HURVLRQ

)LUH:DWHU6\\VWHP

% 

9,,&$





(

3LSLQJ

3UHVVXUH

ERXQGDU\\

  • UD\\FDVWLURQ

6RLO H[W 

&UDFNLQJ

%XULHGDQG

8QGHUJURXQG3LSLQJ

DQG7DQNV % 

9,,,$





$%

3LSLQJ

3UHVVXUH

ERXQGDU\\

  • UD\\FDVWLURQ

6RLO H[W 

/RVVRIPDWHULDO

%XULHGDQG

8QGHUJURXQG3LSLQJ

DQG7DQNV % 

9,,,$3





$%

3LSLQJ

3UHVVXUH

ERXQGDU\\

  • UD\\FDVWLURQ

6RLO H[W 

/RVVRIPDWHULDO

6HOHFWLYH/HDFKLQJ

% 

9,,*$





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

39&&39&

$LU+/-LQGRRU

XQFRQWUROOHG H[W 

1RQH

1RQH

9,,-$3





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

39&&39&

$LU+/-LQGRRU

XQFRQWUROOHG LQW 

1RQH

1RQH

9,,-$3





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

6WDLQOHVVVWHHO

$LU+/-LQGRRU

XQFRQWUROOHG H[W 

&UDFNLQJ

([WHUQDO6XUIDFHV

0RQLWRULQJRI

0HFKDQLFDO

&RPSRQHQWV

% 

9,,*$3E





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

6WDLQOHVVVWHHO

$LU+/-LQGRRU

XQFRQWUROOHG H[W 

/RVVRIPDWHULDO

([WHUQDO6XUIDFHV

0RQLWRULQJRI

0HFKDQLFDO

&RPSRQHQWV

% 

9,,*$3E





$





6W/XFLH8QLWVDQG

'RFNHWVDQG

36/5HVSRQVHWR15&5$,1R%D

/$WWDFKPHQW3DJHRI



6/5$7DEOHSDJHLVXSGDWHGDVIROORZV

7DEOH)LUH3URWHFWLRQ6HUYLFH:DWHU+/-6XPPDU\\RI$JLQJ0DQDJHPHQW(YDOXDWLRQ

&RPSRQHQW7\\SH

,QWHQGHG

)XQFWLRQ

0DWHULDO

(QYLURQPHQW

$JLQJ(IIHFW

5HTXLULQJ

0DQDJHPHQW

$JLQJ0DQDJHPHQW

3URJUDP

185(*

,WHP

7DEOH

,WHP

1RWHV

9DOYHERG\\

3UHVVXUH

ERXQGDU\\

'XFWLOHLURQ

$LU+/-RXWGRRU H[W 

/RVVRIPDWHULDO

([WHUQDO6XUIDFHV

0RQLWRULQJRI

0HFKDQLFDO

&RPSRQHQWV

% 

9,,,$





$

9DOYHERG\\

3UHVVXUH

ERXQGDU\\

'XFWLOHLURQ

5DZZDWHU LQW 

/RQJWHUPORVV

RIPDWHULDO

2QH7LPH,QVSHFWLRQ

% 

9,,*$





$

9DOYHERG\\

3UHVVXUH

ERXQGDU\\

'XFWLOHLURQ

5DZZDWHU LQW 

/RVVRIPDWHULDO

6HOHFWLYH/HDFKLQJ

% 

9,,*$





$

9DOYHERG\\

3UHVVXUH

ERXQGDU\\

'XFWLOHLURQ

5DZZDWHU LQW 

/RVVRIPDWHULDO

)ORZEORFNDJH

)LUH:DWHU6\\VWHP

% 

9,,*$





$

9DOYHERG\\

3UHVVXUH

ERXQGDU\\

'XFWLOHLURQ

5DZZDWHU LQW 

DOOWKLQQLQJ+/-

HURVLRQ

)LUH:DWHU6\\VWHP

% 

9,,&$





(

9DOYHERG\\

3UHVVXUH

ERXQGDU\\

  • UD\\FDVWLURQ

$LU+/-LQGRRU

XQFRQWUROOHG H[W 

/RVVRIPDWHULDO

([WHUQDO6XUIDFHV

0RQLWRULQJRI

0HFKDQLFDO

&RPSRQHQWV

% 

9,,,$





$

9DOYHERG\\

3UHVVXUH

ERXQGDU\\

  • UD\\FDVWLURQ

$LU+/-RXWGRRU H[W 

/RVVRIPDWHULDO

([WHUQDO6XUIDFHV

0RQLWRULQJRI

0HFKDQLFDO

&RPSRQHQWV

% 

9,,,$





$

9DOYHERG\\

3UHVVXUH

ERXQGDU\\

  • UD\\FDVWLURQ

5DZZDWHU LQW 

/RQJWHUPORVV

RIPDWHULDO

2QH7LPH,QVSHFWLRQ

% 

9,,*$





$

9DOYHERG\\

3UHVVXUH

ERXQGDU\\

  • UD\\FDVWLURQ

5DZZDWHU LQW 

/RVVRIPDWHULDO

6HOHFWLYH/HDFKLQJ

% 

9,,*$





$

9DOYHERG\\

3UHVVXUH

ERXQGDU\\

  • UD\\FDVWLURQ

5DZZDWHU LQW 

/RVVRIPDWHULDO

)ORZEORFNDJH

)LUH:DWHU6\\VWHP

% 

9,,*$





$

9DOYHERG\\

3UHVVXUH

ERXQGDU\\

  • UD\\FDVWLURQ

5DZZDWHU LQW 

DOOWKLQQLQJ+/-

HURVLRQ

)LUH:DWHU6\\VWHP

% 

9,,&$





(

9DOYHERG\\

3UHVVXUH

ERXQGDU\\

  • UD\\FDVWLURQ

6RLO H[W 

&UDFNLQJ

%XULHGDQG

8QGHUJURXQG3LSLQJ

DQG7DQNV % 

9,,,$





$%





6W/XFLH8QLWVDQG

'RFNHWVDQG

36/5HVSRQVHWR15&5$,1R%D

/$WWDFKPHQW3DJHRI



6/5$7DEOHSDJHDVXSGDWHGE\\6XSSOHPHQW$WWDFKPHQWLVXSGDWHGDVIROORZV

7DEOH)LUH3URWHFWLRQ6HUYLFH:DWHU+/-6XPPDU\\RI$JLQJ0DQDJHPHQW(YDOXDWLRQ

&RPSRQHQW7\\SH

,QWHQGHG

)XQFWLRQ

0DWHULDO

(QYLURQPHQW

$JLQJ(IIHFW

5HTXLULQJ

0DQDJHPHQW

$JLQJ0DQDJHPHQW

3URJUDP

185(*

,WHP

7DEOH

,WHP

1RWHV

9DOYHERG\\

3UHVVXUH

ERXQGDU\\

  • UD\\FDVWLURQ

6RLO H[W 

/RVVRIPDWHULDO

%XULHGDQG

8QGHUJURXQG3LSLQJ

DQG7DQNV % 

9,,,$3





$%

9DOYHERG\\

3UHVVXUH

ERXQGDU\\

  • UD\\FDVWLURQ

6RLO H[W 

/RVVRIPDWHULDO

6HOHFWLYH/HDFKLQJ

% 

9,,*$





$

9DOYHERG\\

3UHVVXUH

ERXQGDU\\

6WDLQOHVVVWHHO

$LU+/-RXWGRRU H[W 

&UDFNLQJ

([WHUQDO6XUIDFHV

0RQLWRULQJRI

0HFKDQLFDO

&RPSRQHQWV

% 

9,,*$3E





$

9DOYHERG\\

3UHVVXUH

ERXQGDU\\

6WDLQOHVVVWHHO

$LU+/-RXWGRRU H[W 

/RVVRIPDWHULDO

([WHUQDO6XUIDFHV

0RQLWRULQJRI

0HFKDQLFDO

&RPSRQHQWV

% 

9,,*$3E





$

9DOYHERG\\

3UHVVXUH

ERXQGDU\\

6WDLQOHVVVWHHO

$LU+/-RXWGRRU LQW 

&UDFNLQJ

,QVSHFWLRQRI,QWHUQDO

6XUIDFHVLQ

0LVFHOODQHRXV3LSLQJ

DQG'XFWLQJ

&RPSRQHQWV

% 

9,,*$3F





$

9DOYHERG\\

3UHVVXUH

ERXQGDU\\

6WDLQOHVVVWHHO

$LU+/-RXWGRRU LQW 

/RVVRIPDWHULDO

,QVSHFWLRQRI,QWHUQDO

6XUIDFHVLQ

0LVFHOODQHRXV3LSLQJ

DQG'XFWLQJ

&RPSRQHQWV

% 

9,,*$3F





$

9DOYHERG\\

3UHVVXUH

ERXQGDU\\

6WDLQOHVVVWHHO

5DZZDWHU LQW 

/RVVRIPDWHULDO

)ORZEORFNDJH

)LUH:DWHU6\\VWHP

% 

9,,*$





$

9DOYHERG\\

3UHVVXUH

ERXQGDU\\

6WDLQOHVVVWHHO

5DZZDWHU LQW 

DOOWKLQQLQJ+/-

HURVLRQ

)LUH:DWHU6\\VWHP

% 

9,,&$





(

9DOYHERG\\ KDORQ 

8QLWRQO\\ 

3UHVVXUH

ERXQGDU\\

&DUERQVWHHO

$LU+/-RXWGRRU H[W 

/RVVRIPDWHULDO

)LUH3URWHFWLRQ

% 

9,,*$3





$





6W/XFLH8QLWVDQG

'RFNHWVDQG

36/5HVSRQVHWR15&5$,1R%D

/$WWDFKPHQW3DJHRI



6/5$6HFWLRQSDJHLVXSGDWHGDVIROORZV

% &RQVLVWHQWZLWKFRPSRQHQWPDWHULDOHQYLURQPHQWDJLQJHIIHFWDQG$03OLVWHGIRU185(*OLQHLWHP$03KDVH[FHSWLRQVWR185(*

$03GHVFULSWLRQ

& &RPSRQHQWLVGLIIHUHQWEXWFRQVLVWHQWZLWKPDWHULDOHQYLURQPHQWDJLQJHIIHFWDQG$03OLVWHGIRU185(*OLQHLWHP$03LVFRQVLVWHQWZLWK

185(*$03GHVFULSWLRQ

'&RPSRQHQWLVGLIIHUHQWEXWFRQVLVWHQWZLWKPDWHULDOHQYLURQPHQWDJLQJHIIHFWDQG$03OLVWHGIRU185(*OLQHLWHP$03KDVH[FHSWLRQVWR

185(*$03GHVFULSWLRQ

( &RQVLVWHQWZLWK185(*PDWHULDOHQYLURQPHQWDQGDJLQJHIIHFWEXWDGLIIHUHQW$03LVFUHGLWHGRU185(*LGHQWLILHVDSODQWVSHFLILF$03

  •  (QYLURQPHQWQRWLQ185(*IRUWKLVFRPSRQHQWDQGPDWHULDO

3ODQW6SHFLILF1RWHV

 7KH)LUH:DWHU6\\VWHP$03LVXVHGWRPDQDJHWKHZDOOWKLQQLQJGXHWRHURVLRQDJLQJHIIHFWIRUILUHSURWHFWLRQFRPSRQHQWVH[SRVHGWRUDZZDWHU

 7KH,QVSHFWLRQRI,QWHUQDO6XUIDFHVLQ0LVFHOODQHRXV3LSLQJDQG'XFWLQJ&RPSRQHQWV$03LVXVHGWRPDQDJHWKHZDOOWKLQQLQJGXHWRHURVLRQDJLQJHIIHFWIRU

VHUYLFHZDWHUFRPSRQHQWVH[SRVHGWRUDZZDWHU

 7KH)LUH:DWHU6\\VWHP$03LVXVHGWRPDQDJHWKHFUDFNLQJDJLQJHIIHFWIRUFRSSHUDOOR\\!=QFRPSRQHQWVLQWHUQDOO\\H[SRVHGWRUDZZDWHU

 7KH,QVSHFWLRQRI,QWHUQDO6XUIDFHVLQ0LVFHOODQHRXV3LSLQJDQG'XFWLQJ&RPSRQHQWV$03LVXVHGWRPDQDJHWKHFUDFNLQJDJLQJHIIHFWIRUFRSSHUDOOR\\

!=QFRPSRQHQWVLQWHUQDOO\\H[SRVHGWRUDZZDWHU

 7KH([WHUQDO6XUIDFHV0RQLWRULQJRI0HFKDQLFDO&RPSRQHQWV$03LVXVHGWRPDQDJHORVVRIPDWHULDOIRUWKHH[WHUQDOVXUIDFHVRIWKH\\DUGVXPSSXPS$







6W/XFLH8QLWVDQG

'RFNHWVDQG

36/5HVSRQVHWR15&5$,1R%D

/$WWDFKPHQW3DJHRI



6/5$7DEOHSDJHLVXSGDWHGDVIROORZV

7DEOH,QWDNH&RROLQJ:DWHU(PHUJHQF\\&RROLQJ&DQDO+/-6XPPDU\\RI$JLQJ0DQDJHPHQW(YDOXDWLRQ

&RPSRQHQW7\\SH

,QWHQGHG

)XQFWLRQ

0DWHULDO

(QYLURQPHQW

$JLQJ(IIHFW

5HTXLULQJ

0DQDJHPHQW

$JLQJ0DQDJHPHQW

3URJUDP

185(*

,WHP

7DEOH

,WHP

1RWHV

%ROWLQJ

0HFKDQLFDO

FORVXUH

&DUERQVWHHO

$LU+/-LQGRRU

XQFRQWUROOHG

H[W 

/RVVRIPDWHULDO

%ROWLQJ,QWHJULW\\

% 

9,,,$





$

%ROWLQJ

0HFKDQLFDO

FORVXUH

&DUERQVWHHO

$LU+/-LQGRRU

XQFRQWUROOHG

H[W 

/RVVRISUHORDG

%ROWLQJ,QWHJULW\\

% 

9,,,$3





$

%ROWLQJ

0HFKDQLFDO

FORVXUH

&DUERQVWHHO

$LU+/-RXWGRRU

H[W 

/RVVRIPDWHULDO

%ROWLQJ,QWHJULW\\

% 

9,,,$





$

%ROWLQJ

0HFKDQLFDO

FORVXUH

&DUERQVWHHO

$LU+/-RXWGRRU

H[W 

/RVVRISUHORDG

%ROWLQJ,QWHJULW\\

% 

9,,,$3





$

%ROWLQJ

0HFKDQLFDO

FORVXUH

&DUERQVWHHO

5DZZDWHU H[W 

/RVVRIPDWHULDO

%ROWLQJ,QWHJULW\\

% 

9,,,$





$

%ROWLQJ

0HFKDQLFDO

FORVXUH

&DUERQVWHHO

5DZZDWHU H[W 

/RVVRISUHORDG

%ROWLQJ,QWHJULW\\

% 

9,,,$3





$

%ROWLQJ

0HFKDQLFDO

FORVXUH

&DUERQVWHHO

6RLO H[W 

/RVVRIPDWHULDO

%XULHGDQG

8QGHUJURXQG3LSLQJ

DQG7DQNV % 

9,,,$3





$%

%ROWLQJ

0HFKDQLFDO

FORVXUH

&DUERQVWHHO

6RLO H[W 

/RVVRISUHORDG

%ROWLQJ,QWHJULW\\

% 

9,,,$3





$

%ROWLQJ

0HFKDQLFDO

FORVXUH

&RSSHUDOOR\\!

$O

5DZZDWHU H[W 

/RVVRIPDWHULDO

%ROWLQJ,QWHJULW\\

% 

9,,,$





$

%ROWLQJ

0HFKDQLFDO

FORVXUH

&RSSHUDOOR\\!

$O

5DZZDWHU H[W 

/RVVRISUHORDG

%ROWLQJ,QWHJULW\\

% 

9,,,$3





$

%ROWLQJ

0HFKDQLFDO

FORVXUH

6WDLQOHVVVWHHO

$LU+/-LQGRRU

XQFRQWUROOHG

H[W 

&UDFNLQJ

%ROWLQJ,QWHJULW\\

% 

9,,,$





$

%ROWLQJ

0HFKDQLFDO

FORVXUH

6WDLQOHVVVWHHO

$LU+/-LQGRRU

XQFRQWUROOHG

H[W 

/RVVRIPDWHULDO

%ROWLQJ,QWHJULW\\

% 

9,,,$





$

%ROWLQJ

0HFKDQLFDO

FORVXUH

6WDLQOHVVVWHHO

$LU+/-LQGRRU

XQFRQWUROOHG

H[W 

/RVVRISUHORDG

%ROWLQJ,QWHJULW\\

% 

9,,,$3





$

%ROWLQJ 8QLWRQO\\ 

0HFKDQLFDO

FORVXUH

6WDLQOHVVVWHHO

$LU+/-RXWGRRU

H[W 

&UDFNLQJ

%ROWLQJ,QWHJULW\\

% 

9,,,$





$



6W/XFLH8QLWVDQG

'RFNHWVDQG

36/5HVSRQVHWR15&5$,1R%D

/$WWDFKPHQW3DJHRI



6/5$7DEOHSDJHLVXSGDWHGDVIROORZV

7DEOH,QWDNH&RROLQJ:DWHU(PHUJHQF\\&RROLQJ&DQDO+/-6XPPDU\\RI$JLQJ0DQDJHPHQW(YDOXDWLRQ

&RPSRQHQW7\\SH

,QWHQGHG

)XQFWLRQ

0DWHULDO

(QYLURQPHQW

$JLQJ(IIHFW

5HTXLULQJ

0DQDJHPHQW

$JLQJ0DQDJHPHQW

3URJUDP

185(*

,WHP

7DEOH

,WHP

1RWHV

2ULILFH

7KURWWOH

6WDLQOHVVVWHHO

5DZZDWHU LQW 

/RVVRIPDWHULDO

)ORZEORFNDJH

2SHQ&\\FOH&RROLQJ

DWHU6\\VWHP

% 

9,,&$





$

2ULILFH

7KURWWOH

6WDLQOHVVVWHHO

5DZZDWHU LQW 

DOOWKLQQLQJ+/-

HURVLRQ

2SHQ&\\FOH&RROLQJ

DWHU6\\VWHP

% 

9,,&$





(

2ULILFH 8QLWRQO\\ 

3UHVVXUH

ERXQGDU\\

6WDLQOHVVVWHHO

$LU+/-LQGRRU

XQFRQWUROOHG

H[W 

&UDFNLQJ

([WHUQDO6XUIDFHV

0RQLWRULQJRI

0HFKDQLFDO

&RPSRQHQWV

% 

9,,&$3E





$

2ULILFH 8QLWRQO\\ 

3UHVVXUH

ERXQGDU\\

6WDLQOHVVVWHHO

$LU+/-LQGRRU

XQFRQWUROOHG

H[W 

/RVVRIPDWHULDO

([WHUQDO6XUIDFHV

0RQLWRULQJRI

0HFKDQLFDO

&RPSRQHQWV

% 

9,,&$3E





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

&DUERQVWHHO

$LU+/-LQGRRU

XQFRQWUROOHG

H[W 

/RVVRIPDWHULDO

([WHUQDO6XUIDFHV

0RQLWRULQJRI

0HFKDQLFDO

&RPSRQHQWV

% 

9,,,$





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

&DUERQVWHHO

$LU+/-RXWGRRU

H[W 

/RVVRIPDWHULDO

([WHUQDO6XUIDFHV

0RQLWRULQJRI

0HFKDQLFDO

&RPSRQHQWV

% 

9,,,$





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

&DUERQVWHHO

$LU+/-RXWGRRU

LQW 

/RVVRIPDWHULDO

,QVSHFWLRQRI,QWHUQDO

6XUIDFHVLQ

0LVFHOODQHRXV3LSLQJ

DQG'XFWLQJ

&RPSRQHQWV

% 

9$(





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

&DUERQVWHHO

&RQFUHWH H[W 

&UDFNLQJ

%XULHGDQG

8QGHUJURXQG3LSLQJ

DQG7DQNV % 

9,,,$





$%





6W/XFLH8QLWVDQG

'RFNHWVDQG

36/5HVSRQVHWR15&5$,1R%D

/$WWDFKPHQW3DJHRI



6/5$7DEOHSDJHLVXSGDWHGDVIROORZV

7DEOH,QWDNH&RROLQJ:DWHU(PHUJHQF\\&RROLQJ&DQDO+/-6XPPDU\\RI$JLQJ0DQDJHPHQW(YDOXDWLRQ

&RPSRQHQW7\\SH

,QWHQGHG

)XQFWLRQ

0DWHULDO

(QYLURQPHQW

$JLQJ(IIHFW

5HTXLULQJ

0DQDJHPHQW

$JLQJ0DQDJHPHQW

3URJUDP

185(*

,WHP

7DEOH

,WHP

1RWHV

3LSLQJ

3UHVVXUH

ERXQGDU\\

&DUERQVWHHO

&RQFUHWH H[W 

/RVVRIPDWHULDO

%XULHGDQG

8QGHUJURXQG3LSLQJ

DQG7DQNV % 

9,,,$3





$%

3LSLQJ

3UHVVXUH

ERXQGDU\\

&DUERQVWHHO

5DZZDWHU H[W 

/RQJWHUPORVVRI

PDWHULDO

2QH7LPH,QVSHFWLRQ

% 

9,,&$





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

&DUERQVWHHO

5DZZDWHU H[W 

/RVVRIPDWHULDO

2SHQ&\\FOH&RROLQJ

DWHU6\\VWHP

% 

9,,&$D





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

&DUERQVWHHO

5DZZDWHU H[W 

/RVVRIPDWHULDO

2SHQ&\\FOH&RROLQJ

DWHU6\\VWHP

% 

9,,&$3





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

&DUERQVWHHO

5DZZDWHU LQW 

/RQJWHUPORVVRI

PDWHULDO

2QH7LPH,QVSHFWLRQ

% 

9,,&$





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

&DUERQVWHHO

5DZZDWHU LQW 

/RVVRIPDWHULDO

2SHQ&\\FOH&RROLQJ

DWHU6\\VWHP

% 

9,,&$D





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

&DUERQVWHHO

5DZZDWHU LQW 

/RVVRIPDWHULDO

)ORZEORFNDJH

2SHQ&\\FOH&RROLQJ

DWHU6\\VWHP

% 

9,,&$3





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

&DUERQVWHHO

5DZZDWHU LQW 

DOOWKLQQLQJ+/-

HURVLRQ

2SHQ&\\FOH&RROLQJ

DWHU6\\VWHP

% 

9,,&$





(

3LSLQJ

3UHVVXUH

ERXQGDU\\

&DUERQVWHHO

6RLO H[W 

&UDFNLQJ

%XULHGDQG

8QGHUJURXQG3LSLQJ

DQG7DQNV % 

9,,,$





$%

3LSLQJ

3UHVVXUH

ERXQGDU\\

&DUERQVWHHO

6RLO H[W 

/RVVRIPDWHULDO

%XULHGDQG

8QGHUJURXQG3LSLQJ

DQG7DQNV % 

9,,,$3





$%

3LSLQJ

3UHVVXUH

ERXQGDU\\

&RDWLQJ

5DZZDWHU LQW 

/RVVRIFRDWLQJRU

OLQLQJLQWHJULW\\

,QWHUQDO

&RDWLQJV/LQLQJVIRU

,Q6FRSH3LSLQJ

3LSLQJ&RPSRQHQWV

+HDW([FKDQJHUV

DQG7DQNV % 

9,,&$





$





6W/XFLH8QLWVDQG

'RFNHWVDQG

36/5HVSRQVHWR15&5$,1R%D

/$WWDFKPHQW3DJHRI



6/5$7DEOHSDJHDVXSGDWHGE\\6XSSOHPHQW$WWDFKPHQWVDQGLVXSGDWHGDVIROORZV

7DEOH,QWDNH&RROLQJ:DWHU(PHUJHQF\\&RROLQJ&DQDO+/-6XPPDU\\RI$JLQJ0DQDJHPHQW(YDOXDWLRQ

&RPSRQHQW7\\SH

,QWHQGHG

)XQFWLRQ

0DWHULDO

(QYLURQPHQW

$JLQJ(IIHFW

5HTXLULQJ

0DQDJHPHQW

$JLQJ0DQDJHPHQW

3URJUDP

185(*

,WHP

7DEOH

,WHP

1RWHV

3LSLQJ

3UHVVXUH

ERXQGDU\\

6WDLQOHVVVWHHO

$LU+/-RXWGRRU

LQW 

&UDFNLQJ

,QVSHFWLRQRI,QWHUQDO

6XUIDFHVLQ

0LVFHOODQHRXV3LSLQJ

DQG'XFWLQJ

&RPSRQHQWV

% 

9,,&$3F





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

6WDLQOHVVVWHHO

$LU+/-RXWGRRU

LQW 

/RVVRIPDWHULDO

,QVSHFWLRQRI,QWHUQDO

6XUIDFHVLQ

0LVFHOODQHRXV3LSLQJ

DQG'XFWLQJ

&RPSRQHQWV

% 

9,,&$3F





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

6WDLQOHVVVWHHO

5DZZDWHU LQW 

/RVVRIPDWHULDO

)ORZEORFNDJH

,QVSHFWLRQRI,QWHUQDO

6XUIDFHVLQ

0LVFHOODQHRXV3LSLQJ

DQG'XFWLQJ

&RPSRQHQWV

% 

9,,&$





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

6WDLQOHVVVWHHO

5DZZDWHU LQW 

/RVVRIPDWHULDO

)ORZEORFNDJH

2SHQ&\\FOH&RROLQJ

DWHU6\\VWHP

% 

9,,&$





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

6WDLQOHVVVWHHO

5DZZDWHU LQW 

DOOWKLQQLQJ+/-

HURVLRQ

,QVSHFWLRQRI,QWHUQDO

6XUIDFHVLQ

0LVFHOODQHRXV3LSLQJ

DQG'XFWLQJ

&RPSRQHQWV

% 

9,,&$





(

3LSLQJ

3UHVVXUH

ERXQGDU\\

6WDLQOHVVVWHHO

5DZZDWHU LQW 

DOOWKLQQLQJ+/-

HURVLRQ

2SHQ&\\FOH&RROLQJ

DWHU6\\VWHP

% 

9,,&$





(

3LSLQJ 8QLWRQO\\ 

3UHVVXUH

ERXQGDU\\

6WDLQOHVVVWHHO

6RLO H[W 

&UDFNLQJ

%XULHGDQG

8QGHUJURXQG3LSLQJ

DQG7DQNV % 

9,,,$





$%

3LSLQJ 8QLWRQO\\ 

3UHVVXUH

ERXQGDU\\

6WDLQOHVVVWHHO

6RLO H[W 

/RVVRIPDWHULDO

%XULHGDQG

8QGHUJURXQG3LSLQJ

DQG7DQNV % 

9,,,$3





$%

6W/XFLH8QLWVDQG

'RFNHWVDQG

36/5HVSRQVHWR15&5$,1R%D

/$WWDFKPHQW3DJHRI





7DEOH,QWDNH&RROLQJ:DWHU(PHUJHQF\\&RROLQJ&DQDO+/-6XPPDU\\RI$JLQJ0DQDJHPHQW(YDOXDWLRQ

&RPSRQHQW7\\SH

,QWHQGHG

)XQFWLRQ

0DWHULDO

(QYLURQPHQW

$JLQJ(IIHFW

5HTXLULQJ

0DQDJHPHQW

$JLQJ0DQDJHPHQW

3URJUDP

185(*

,WHP

7DEOH

,WHP

1RWHV

3LSLQJ

3UHVVXUH

ERXQGDU\\

6WDLQOHVV

VWHHO

&RQFUHWH H[W 

&UDFNLQJ

%XULHGDQG

8QGHUJURXQG

3LSLQJDQG

7DQNV % 

9,,,$





$%

3LSLQJ

3UHVVXUH

ERXQGDU\\

6WDLQOHVV

VWHHO

&RQFUHWH H[W 

&UDFNLQJ

%XULHGDQG

8QGHUJURXQG

3LSLQJDQG

7DQNV % 

9,,,$3





$%











6W/XFLH8QLWVDQG

'RFNHWVDQG

36/5HVSRQVHWR15&5$,1R%D

/$WWDFKPHQW3DJHRI



6/5$6HFWLRQSDJHLVXSGDWHGDVIROORZV

  • HQHUDO1RWHV

$ &RQVLVWHQWZLWKFRPSRQHQWPDWHULDOHQYLURQPHQWDJLQJHIIHFWDQG$03OLVWHGIRU185(*OLQHLWHP$03LVFRQVLVWHQWZLWK185(*$03

GHVFULSWLRQ

% &RQVLVWHQWZLWKFRPSRQHQWPDWHULDOHQYLURQPHQWDJLQJHIIHFWDQG$03OLVWHGIRU185(*OLQHLWHP$03KDVH[FHSWLRQVWR185(*

$03GHVFULSWLRQ

( &RQVLVWHQWZLWK185(*PDWHULDOHQYLURQPHQWDQGDJLQJHIIHFWEXWDGLIIHUHQW$03LVFUHGLWHGRU185(*LGHQWLILHVDSODQWVSHFLILF$03

3ODQW6SHFLILF1RWHV

 7KH2SHQ&\\FOH&RROLQJ:DWHU$03LVXVHGWRPDQDJHZDOOWKLQQLQJGXHWRHURVLRQIRUWKHLQWHULRUVXUIDFHVRIFRPSRQHQWVZLWKLQWKHVHUYLFHZDWHUV\\VWHP

H[SRVHGWRUDZZDWHUZLWKLQWKHVFRSHRIWKH*/SURJUDP

 7KH,QVSHFWLRQRI,QWHUQDO6XUIDFHVLQ0LVFHOODQHRXV3LSLQJDQG'XFWLQJ&RPSRQHQWV$03LVXVHGWRPDQDJHZDOOWKLQQLQJGXHWRHURVLRQIRUWKHLQWHULRU

VXUIDFHVRIFRPSRQHQWVZLWKLQWKHLQWDNHFRROLQJZDWHUV\\VWHPH[SRVHGWRUDZZDWHUQRWZLWKLQWKHVFRSHRIWKH*/SURJUDP







6W/XFLH8QLWVDQG

'RFNHWVDQG

36/5HVSRQVHWR15&5$,1R%D

/$WWDFKPHQW3DJHRI



6/5$7DEOHSDJHLVXSGDWHGDVIROORZV

7DEOH3ULPDU\\0DNHXS:DWHU+/-6XPPDU\\RI$JLQJ0DQDJHPHQW(YDOXDWLRQ

&RPSRQHQW7\\SH

,QWHQGHG

)XQFWLRQ

0DWHULDO

(QYLURQPHQW

$JLQJ(IIHFW

5HTXLULQJ

0DQDJHPHQW

$JLQJ0DQDJHPHQW

3URJUDP

185(*

,WHP

7DEOH

,WHP

1RWHV

%ROWLQJ

0HFKDQLFDO

FORVXUH

&DUERQVWHHO

$LU+/-LQGRRU

XQFRQWUROOHG H[W 

/RVVRIPDWHULDO

%ROWLQJ,QWHJULW\\

% 

9,,,$



$

%ROWLQJ

0HFKDQLFDO

FORVXUH

&DUERQVWHHO

$LU+/-LQGRRU

XQFRQWUROOHG H[W 

/RVVRISUHORDG

%ROWLQJ,QWHJULW\\

% 

9,,,$3



$

%ROWLQJ

0HFKDQLFDO

FORVXUH

&DUERQVWHHO

$LU+/-RXWGRRU

H[W 

/RVVRIPDWHULDO

%ROWLQJ,QWHJULW\\

% 

9,,,$



$

%ROWLQJ

0HFKDQLFDO

FORVXUH

&DUERQVWHHO

$LU+/-RXWGRRU

H[W 

/RVVRISUHORDG

%ROWLQJ,QWHJULW\\

% 

9,,,$3



$

%ROWLQJ

0HFKDQLFDO

FORVXUH

&DUERQVWHHO

6RLO H[W 

/RVVRIPDWHULDO

%XULHGDQG

8QGHUJURXQG3LSLQJ

DQG7DQNV % 

9,,,$3



$%

%ROWLQJ

0HFKDQLFDO

FORVXUH

&DUERQVWHHO

6RLO H[W 

/RVVRISUHORDG

%ROWLQJ,QWHJULW\\

% 

9,,,$3



$

%ROWLQJ

0HFKDQLFDO

FORVXUH

6WDLQOHVVVWHHO

$LU+/-LQGRRU

XQFRQWUROOHG H[W 

&UDFNLQJ

%ROWLQJ,QWHJULW\\

% 

9,,,$



$

%ROWLQJ

0HFKDQLFDO

FORVXUH

6WDLQOHVVVWHHO

$LU+/-LQGRRU

XQFRQWUROOHG H[W 

/RVVRIPDWHULDO

%ROWLQJ,QWHJULW\\

% 

9,,,$



$

%ROWLQJ

0HFKDQLFDO

FORVXUH

6WDLQOHVVVWHHO

$LU+/-LQGRRU

XQFRQWUROOHG H[W 

/RVVRISUHORDG

%ROWLQJ,QWHJULW\\

% 

9,,,$3



$

%ROWLQJ

0HFKDQLFDO

FORVXUH

6WDLQOHVVVWHHO

$LU+/-RXWGRRU

H[W 

&UDFNLQJ

%ROWLQJ,QWHJULW\\

% 

9,,,$



$

%ROWLQJ

0HFKDQLFDO

FORVXUH

6WDLQOHVVVWHHO

$LU+/-RXWGRRU

H[W 

/RVVRIPDWHULDO

%ROWLQJ,QWHJULW\\

% 

9,,,$



$

%ROWLQJ

0HFKDQLFDO

FORVXUH

6WDLQOHVVVWHHO

$LU+/-RXWGRRU

H[W 

/RVVRISUHORDG

%ROWLQJ,QWHJULW\\

% 

9,,,$3



$

%ROWLQJ

0HFKDQLFDO

FORVXUH

6WDLQOHVVVWHHO

6RLO H[W 

&UDFNLQJ

%ROWLQJ,QWHJULW\\

% 

9,,,$



$

%ROWLQJ

0HFKDQLFDO

FORVXUH

6WDLQOHVVVWHHO

6RLO H[W 

/RVVRIPDWHULDO

%XULHGDQG

8QGHUJURXQG3LSLQJ

DQG7DQNV % 

9,,,$3



$%

%ROWLQJ

0HFKDQLFDO

FORVXUH

6WDLQOHVVVWHHO

6RLO H[W 

/RVVRISUHORDG

%ROWLQJ,QWHJULW\\

% 

9,,,$3



$





6W/XFLH8QLWVDQG

'RFNHWVDQG

36/5HVSRQVHWR15&5$,1R%D

/$WWDFKPHQW3DJHRI



6/5$7DEOHSDJHLVXSGDWHGDVIROORZV

7DEOH3ULPDU\\0DNHXS:DWHU+/-6XPPDU\\RI$JLQJ0DQDJHPHQW(YDOXDWLRQ

&RPSRQHQW7\\SH

,QWHQGHG

)XQFWLRQ

0DWHULDO

(QYLURQPHQW

$JLQJ(IIHFW

5HTXLULQJ

0DQDJHPHQW

$JLQJ0DQDJHPHQW

3URJUDP

185(*

,WHP

7DEOH

,WHP

1RWHV

3LSLQJ

3UHVVXUH

ERXQGDU\\

1LFNHODOOR\\

7UHDWHGZDWHU

LQW 

/RVVRIPDWHULDO

DWHU&KHPLVWU\\

% 

2QH7LPH,QVSHFWLRQ

% 

9,,,(63



$

3LSLQJ

3UHVVXUH

ERXQGDU\\

6WDLQOHVVVWHHO

$LU+/-LQGRRU

XQFRQWUROOHG H[W 

&UDFNLQJ

([WHUQDO6XUIDFHV

0RQLWRULQJRI

0HFKDQLFDO

&RPSRQHQWV

% 

9,,($3E



$

3LSLQJ

3UHVVXUH

ERXQGDU\\

6WDLQOHVVVWHHO

$LU+/-LQGRRU

XQFRQWUROOHG H[W 

/RVVRIPDWHULDO

([WHUQDO6XUIDFHV

0RQLWRULQJRI

0HFKDQLFDO

&RPSRQHQWV

% 

9,,($3E



$

3LSLQJ

3UHVVXUH

ERXQGDU\\

6WDLQOHVVVWHHO

$LU+/-RXWGRRU

H[W 

&UDFNLQJ

([WHUQDO6XUIDFHV

0RQLWRULQJRI

0HFKDQLFDO

&RPSRQHQWV

% 

9,,($3E



$

3LSLQJ

3UHVVXUH

ERXQGDU\\

6WDLQOHVVVWHHO

$LU+/-RXWGRRU

H[W 

/RVVRIPDWHULDO

([WHUQDO6XUIDFHV

0RQLWRULQJRI

0HFKDQLFDO

&RPSRQHQWV

% 

9,,($3E



$

3LSLQJ

3UHVVXUH

ERXQGDU\\

6WDLQOHVVVWHHO

&RQFUHWH H[W 

&UDFNLQJ

%XULHGDQG

8QGHUJURXQG3LSLQJ

DQG7DQNV % 

9,,,$



$%

3LSLQJ

3UHVVXUH

ERXQGDU\\

6WDLQOHVVVWHHO

&RQFUHWH H[W 

/RVVRIPDWHULDO

%XULHGDQG

8QGHUJURXQG3LSLQJ

DQG7DQNV % 

9,,,$3



$%

3LSLQJ

3UHVVXUH

ERXQGDU\\

6WDLQOHVVVWHHO

6RLO H[W 

&UDFNLQJ

%XULHGDQG

8QGHUJURXQG3LSLQJ

DQG7DQNV % 

9,,,$



$%

3LSLQJ

3UHVVXUH

ERXQGDU\\

6WDLQOHVVVWHHO

6RLO H[W 

/RVVRIPDWHULDO

%XULHGDQG

8QGHUJURXQG3LSLQJ

DQG7DQNV % 

9,,,$3



$%

6W/XFLH8QLWVDQG

'RFNHWVDQG

36/5HVSRQVHWR15&5$,1R%D

/$WWDFKPHQW3DJHRI



6/5$7DEOHSDJHLVXSGDWHGDVIROORZV

7DEOH9HQWLODWLRQ+/-6XPPDU\\RI$JLQJ0DQDJHPHQW(YDOXDWLRQ

&RPSRQHQW7\\SH

,QWHQGHG

)XQFWLRQ

0DWHULDO

(QYLURQPHQW

$JLQJ(IIHFW

5HTXLULQJ

0DQDJHPHQW

$JLQJ0DQDJHPHQW

3URJUDP

185(*

,WHP

7DEOH

,WHP

1RWHV

%ROWLQJ

0HFKDQLFDO

FORVXUH

&DUERQVWHHO

$LU+/-LQGRRU

XQFRQWUROOHG

H[W 

/RVVRIPDWHULDO

%ROWLQJ,QWHJULW\\

% 

9,,,$



$

%ROWLQJ

0HFKDQLFDO

FORVXUH

&DUERQVWHHO

$LU+/-LQGRRU

XQFRQWUROOHG

H[W 

/RVVRISUHORDG

%ROWLQJ,QWHJULW\\

% 

9,,,$3



$

%ROWLQJ

0HFKDQLFDO

FORVXUH

6WDLQOHVV

VWHHO

$LU+/-LQGRRU

XQFRQWUROOHG

H[W 

&UDFNLQJ

%ROWLQJ,QWHJULW\\

% 

9,,,$



$

%ROWLQJ

0HFKDQLFDO

FORVXUH

6WDLQOHVV

VWHHO

$LU+/-LQGRRU

XQFRQWUROOHG

H[W 

/RVVRIPDWHULDO

%ROWLQJ,QWHJULW\\

% 

9,,,$



$

%ROWLQJ

0HFKDQLFDO

FORVXUH

6WDLQOHVV

VWHHO

$LU+/-LQGRRU

XQFRQWUROOHG

H[W 

/RVVRISUHORDG

%ROWLQJ,QWHJULW\\

% 

9,,,$3



$

'HPLVWHU

0RLVWXUH

UHPRYDO

6WDLQOHVV

VWHHO

$LU+/-LQGRRU

XQFRQWUROOHG LQW 

&UDFNLQJ

,QVSHFWLRQRI,QWHUQDO

6XUIDFHVLQ

0LVFHOODQHRXV3LSLQJ

DQG'XFWLQJ

&RPSRQHQWV % 

9,,)$3F



$

'HPLVWHU

0RLVWXUH

UHPRYDO

6WDLQOHVV

VWHHO

$LU+/-LQGRRU

XQFRQWUROOHG LQW 

/RVVRIPDWHULDO

,QVSHFWLRQRI,QWHUQDO

6XUIDFHVLQ

0LVFHOODQHRXV3LSLQJ

DQG'XFWLQJ

&RPSRQHQWV % 

9,,)$3F



$

'XFW

3UHVVXUH

ERXQGDU\\

'XFWLOHLURQ

$LU+/-LQGRRU

XQFRQWUROOHG LQW 

/RVVRIPDWHULDO

,QVSHFWLRQRI,QWHUQDO

6XUIDFHVLQ

0LVFHOODQHRXV3LSLQJ

DQG'XFWLQJ

&RPSRQHQWV % 

9,,)$



&

'XFW

3UHVVXUH

ERXQGDU\\

'XFWLOHLURQ

8QGHUJURXQG

H[W 

/RVVRIPDWHULDO

%XULHGDQG

8QGHUJURXQG3LSLQJ

DQG7DQNV % 

9,,,$3



&'

'XFW

3UHVVXUH

ERXQGDU\\

  • DOYDQL]HG

VWHHO

$LU+/-LQGRRU

XQFRQWUROOHG

H[W 

1RQH

1RQH

9,,-$3



&

6W/XFLH8QLWVDQG

'RFNHWVDQG

36/5HVSRQVHWR15&5$,1R%D

/$WWDFKPHQW3DJHRI



6/5$6HFWLRQSDJHLVXSGDWHGDVIROORZV

7DEOH9HQWLODWLRQ+/-6XPPDU\\RI$JLQJ0DQDJHPHQW(YDOXDWLRQ

&RPSRQHQW7\\SH

,QWHQGHG

)XQFWLRQ

0DWHULDO

(QYLURQPHQW

$JLQJ(IIHFW

5HTXLULQJ

0DQDJHPHQW

$JLQJ0DQDJHPHQW

3URJUDP

185(*

,WHP

7DEOH

,WHP

1RWHV

9DOYHERG\\

3UHVVXUH

ERXQGDU\\

6WDLQOHVV

VWHHO

$LU+/-LQGRRU

XQFRQWUROOHG

H[W 

&UDFNLQJ

([WHUQDO6XUIDFHV

0RQLWRULQJRI

0HFKDQLFDO

&RPSRQHQWV % 

9,,)$3E



$

9DOYHERG\\

3UHVVXUH

ERXQGDU\\

6WDLQOHVV

VWHHO

$LU+/-LQGRRU

XQFRQWUROOHG

H[W 

/RVVRIPDWHULDO

([WHUQDO6XUIDFHV

0RQLWRULQJRI

0HFKDQLFDO

&RPSRQHQWV % 

9,,)$3E



$

9DOYHERG\\

3UHVVXUH

ERXQGDU\\

6WDLQOHVV

VWHHO

$LU+/-LQGRRU

XQFRQWUROOHG LQW 

&UDFNLQJ

,QVSHFWLRQRI,QWHUQDO

6XUIDFHVLQ

0LVFHOODQHRXV3LSLQJ

DQG'XFWLQJ

&RPSRQHQWV % 

9,,)$3F



$

9DOYHERG\\

3UHVVXUH

ERXQGDU\\

6WDLQOHVV

VWHHO

$LU+/-LQGRRU

XQFRQWUROOHG LQW 

/RVVRIPDWHULDO

,QVSHFWLRQRI,QWHUQDO

6XUIDFHVLQ

0LVFHOODQHRXV3LSLQJ

DQG'XFWLQJ

&RPSRQHQWV % 

9,,)$3F



$

  • HQHUDO1RWHV

$ &RQVLVWHQWZLWKFRPSRQHQWPDWHULDOHQYLURQPHQWDJLQJHIIHFWDQG$03OLVWHGIRU185(*OLQHLWHP$03LVFRQVLVWHQWZLWK185(*$03

GHVFULSWLRQ

& &RPSRQHQWLVGLIIHUHQWEXWFRQVLVWHQWZLWKPDWHULDOHQYLURQPHQWDJLQJHIIHFWDQG$03OLVWHGIRU185(*OLQHLWHP$03LVFRQVLVWHQWZLWK

185(*$03GHVFULSWLRQ

'&RPSRQHQWLVGLIIHUHQWEXWFRQVLVWHQWZLWKPDWHULDOHQYLURQPHQWDJLQJHIIHFWDQG$03OLVWHGIRU185(*OLQHLWHP$03KDVH[FHSWLRQVWR

185(*$03GHVFULSWLRQ



3ODQW6SHFLILF1RWHV

1RQH





6W/XFLH8QLWVDQG

'RFNHWVDQG

36/5HVSRQVHWR15&5$,1R%D

/$WWDFKPHQW3DJHRI



6/5$7DEOHSDJHDVXSGDWHGE\\6XSSOHPHQW$WWDFKPHQWLVXSGDWHGDVIROORZV

7DEOH6XPPDU\\RIWKH$JLQJ0DQDJHPHQW(YDOXDWLRQVIRUWKH6WHDPDQG3RZHU&RQYHUVLRQ6\\VWHPV

,WHP

1XPEHU

&RPSRQHQW

$JLQJ(IIHFW

0HFKDQLVP

$JLQJ0DQDJHPHQW

3URJUDPV

)XUWKHU

(YDOXDWLRQ

5HFRPPHQGHG

'LVFXVVLRQ





&RSSHUDOOR\\SLSLQJ

SLSLQJFRPSRQHQWV

H[SRVHGWROXEULFDWLQJ

RLO

/RVVRIPDWHULDOGXHWR

SLWWLQJFUHYLFH

FRUURVLRQ0,&

$03;,0

/XEULFDWLQJ2LO

$QDO\\VLVDQG$03

,0

2QH7LPH,QVSHFWLRQ

1R

1RWDSSOLFDEOH

7KHUHDUHQRFRSSHUDOOR\\SLSLQJRUSLSLQJ

FRPSRQHQWVH[SRVHGWROXEULFDWLQJRLOLQWKH

6WHDPDQG3RZHU&RQYHUVLRQ6\\VWHPV





6WDLQOHVVVWHHOSLSLQJ

SLSLQJFRPSRQHQWV

KHDWH[FKDQJHU

FRPSRQHQWVH[SRVHGWR

OXEULFDWLQJRLO

/RVVRIPDWHULDOGXHWR

SLWWLQJFUHYLFH

FRUURVLRQ0,&

$03;,0

/XEULFDWLQJ2LO

$QDO\\VLVDQG$03

,0

2QH7LPH,QVSHFWLRQ

1R

&RQVLVWHQWZLWK185(*7KH/XEULFDWLQJ

2LO$QDO\\VLVDQG2QH7LPH,QVSHFWLRQ$03V

DUHXVHGWRPDQDJHWKHORVVRIPDWHULDOLQ

VWDLQOHVVVWHHOKHDWH[FKDQJHUFRPSRQHQWV

H[SRVHGWROXEULFDWLQJRLO





$OXPLQXPKHDW

H[FKDQJHUWXEHV

H[SRVHGWROXEULFDWLQJ

RLO

5HGXFWLRQRIKHDW

WUDQVIHUGXHWRIRXOLQJ

$03;,0

/XEULFDWLQJ2LO

$QDO\\VLVDQG$03

,0

2QH7LPH,QVSHFWLRQ

1R

1RWDSSOLFDEOH

7KHUHDUHQRDOXPLQXPKHDWH[FKDQJHUWXEHV

LQWKH6WHDPDQG3RZHU&RQYHUVLRQ6\\VWHPV





6WDLQOHVVVWHHOVWHHO

FRSSHUDOOR\\KHDW

H[FKDQJHUWXEHV

H[SRVHGWROXEULFDWLQJ

RLO

5HGXFWLRQRIKHDW

WUDQVIHUGXHWRIRXOLQJ

$03;,0

/XEULFDWLQJ2LO

$QDO\\VLVDQG$03

,0

2QH7LPH,QVSHFWLRQ

1R

&RQVLVWHQWZLWK185(*7KH/XEULFDWLQJ

2LO$QDO\\VLVDQG2QH7LPH,QVSHFWLRQ$03V

DUHXVHGWRPDQDJHUHGXFWLRQRIKHDWWUDQVIHU

LQVWHHORUVWDLQOHVVVWHHOKHDWH[FKDQJHUWXEHV

H[SRVHGWROXEULFDWLQJRLO





6WDLQOHVVVWHHOSLSLQJ

SLSLQJFRPSRQHQWV

WDQNVFORVXUHEROWLQJ

H[SRVHGWRVRLO

FRQFUHWH

/RVVRIPDWHULDOGXHWR

SLWWLQJFUHYLFH

FRUURVLRQ0,& VRLO

RQO\\ 

$03;,0%XULHG

DQG8QGHUJURXQG3LSLQJ

DQG7DQNV

1R

&RQVLVWHQWZLWK185(*ZLWKH[FHSWLRQ

7KLVLWHPLVXVHGIRUFRPSRQHQWVLQWKH

$X[LOLDU\\6\\VWHPV7KH%XULHGDQG

8QGHUJURXQG3LSLQJDQG7DQNV$03LVXVHGWR

PDQDJHORVVRIPDWHULDOLQVWDLQOHVVVWHHO

SLSLQJH[SRVHGWRVRLORUFRQFUHWH





1LFNHODOOR\\SLSLQJ

SLSLQJFRPSRQHQWV

WDQNVFORVXUHEROWLQJ

H[SRVHGWRVRLO

FRQFUHWH

/RVVRIPDWHULDOGXHWR

SLWWLQJFUHYLFH

FRUURVLRQ0,& VRLO

RQO\\ 

$03;,0%XULHG

DQG8QGHUJURXQG3LSLQJ

DQG7DQNV

1R

1RWDSSOLFDEOH

7KHUHDUHQRQLFNHODOOR\\FRPSRQHQWVLQWKH

6WHDPDQG3RZHU&RQYHUVLRQ6\\VWHPV

H[SRVHGWRVRLORUFRQFUHWH





6WHHOSLSLQJSLSLQJ

FRPSRQHQWVWDQNV

FORVXUHEROWLQJH[SRVHG

WRVRLOFRQFUHWH

XQGHUJURXQG

/RVVRIPDWHULDOGXHWR

JHQHUDOSLWWLQJFUHYLFH

FRUURVLRQ0,& VRLO

RQO\\ 

$03;,0%XULHG

DQG8QGHUJURXQG3LSLQJ

DQG7DQNV

1R

&RQVLVWHQWZLWK185(*ZLWK

H[FHSWLRQ7KH%XULHGDQG8QGHUJURXQG

3LSLQJDQG7DQNV$03LVXVHGWRPDQDJH

ORVVRIPDWHULDOIRUXQGHUJURXQGVWHHO

FRPSRQHQWV

6W/XFLH8QLWVDQG

'RFNHWVDQG

36/5HVSRQVHWR15&5$,1R%D

/$WWDFKPHQW3DJHRI



6/5$7DEOHSDJHLVXSGDWHGDVIROORZV

7DEOH6XPPDU\\RIWKH$JLQJ0DQDJHPHQW(YDOXDWLRQVIRUWKH6WHDPDQG3RZHU&RQYHUVLRQ6\\VWHPV

,WHP

1XPEHU

&RPSRQHQW

$JLQJ(IIHFW

0HFKDQLVP

$JLQJ0DQDJHPHQW

3URJUDPV

)XUWKHU

(YDOXDWLRQ

5HFRPPHQGHG

'LVFXVVLRQ





6WDLQOHVVVWHHOVWHHO

DOXPLQXPSLSLQJSLSLQJ

FRPSRQHQWVWDQNV

H[SRVHGWRVRLO

FRQFUHWH

&UDFNLQJGXHWR6&&

VWHHOLQ

FDUERQDWHELFDUERQDWH

HQYLURQPHQWRQO\\ 

$03;,0%XULHG

DQG8QGHUJURXQG3LSLQJ

DQG7DQNV

1R

&RQVLVWHQWZLWK185(*ZLWKH[FHSWLRQ

7KLVLWHPLVXVHGIRUFRPSRQHQWVLQWKH

$X[LOLDU\\6\\VWHPV7KH%XULHGDQG

8QGHUJURXQG3LSLQJDQG7DQNV$03LVXVHGWR

PDQDJHFUDFNLQJRIVWDLQOHVVVWHHOSLSLQJ

H[SRVHGWRFRQFUHWHRUVRLO





6WDLQOHVVVWHHOFORVXUH

EROWLQJH[SRVHGWRDLU

VRLOFRQFUHWH

XQGHUJURXQGZDVWH

ZDWHU

&UDFNLQJGXHWR6&&

$03;,0

%ROWLQJ,QWHJULW\\

1R

&RQVLVWHQWZLWK185(*

7KH%ROWLQJ,QWHJULW\\$03LVXVHGWRPDQDJH

FUDFNLQJRIVWDLQOHVVVWHHOEROWLQJH[SRVHGWR

DLU





6WDLQOHVVVWHHO

XQGHUJURXQGSLSLQJ

SLSLQJFRPSRQHQWV

WDQNV

&UDFNLQJGXHWR6&&

$03;,0

2QH7LPH,QVSHFWLRQ

$03;,0%XULHG

DQG8QGHUJURXQG3LSLQJ

DQG7DQNVRU

$03;,0,QWHUQDO

&RDWLQJV/LQLQJVIRU

,Q6FRSH3LSLQJ3LSLQJ

&RPSRQHQWV+HDW

([FKDQJHUVDQG7DQNV

<HV 6536/5

6HFWLRQ 

1RWDSSOLFDEOH

7KHUHDUHQRVWDLQOHVVVWHHOXQGHUJURXQG

FRPSRQHQWVLQWKH6WHDPDQG3RZHU

&RQYHUVLRQ6\\VWHPV





6WDLQOHVVVWHHOVWHHO

DOXPLQXPFRSSHUDOOR\\

WLWDQLXPKHDWH[FKDQJHU

WXEHVH[SRVHGWRDLU

FRQGHQVDWLRQ

5HGXFWLRQRIKHDW

WUDQVIHUGXHWRIRXOLQJ

$03;,0

([WHUQDO6XUIDFHV

0RQLWRULQJRI

0HFKDQLFDO

&RPSRQHQWV

1R

&RQVLVWHQWZLWK185(*

7KLVOLQHLWHPLVXVHGIRUKHDWH[FKDQJHUILQVLQ

WKH$X[LOLDU\\6\\VWHPV7KH([WHUQDO6XUIDFH

0RQLWRULQJRI0HFKDQLFDO&RPSRQHQWV$03LV

XVHGWRPDQDJHORVVRIPDWHULDORIFRSSHUDOOR\\

KHDWH[FKDQJHUILQVH[SRVHGWRLQGRRU

XQFRQWUROOHGDLU





(ODVWRPHUSLSLQJSLSLQJ

FRPSRQHQWVVHDOV

H[SRVHGWRDLU

FRQGHQVDWLRQ

+DUGHQLQJRUORVVRI

VWUHQJWKGXHWR

HODVWRPHUGHJUDGDWLRQ

$03;,0

([WHUQDO6XUIDFHV

0RQLWRULQJRI

0HFKDQLFDO

&RPSRQHQWV

1R

1RWDSSOLFDEOH

7KHUHDUHQRHODVWRPHUFRPSRQHQWVLQWKH

6WHDPDQG3RZHU&RQYHUVLRQ6\\VWHPV





6W/XFLH8QLWVDQG

'RFNHWVDQG

36/5HVSRQVHWR15&5$,1R%D

/$WWDFKPHQW3DJHRI



6/5$7DEOHSDJHDVXSGDWHGE\\6XSSOHPHQW$WWDFKPHQWLVXSGDWHGDVIROORZV

7DEOH$X[LOLDU\\)HHGZDWHUDQG&RQGHQVDWH+/-6XPPDU\\RI$JLQJ0DQDJHPHQW(YDOXDWLRQ

&RPSRQHQW7\\SH

,QWHQGHG

)XQFWLRQ

0DWHULDO

(QYLURQPHQW

$JLQJ(IIHFW

5HTXLULQJ

0DQDJHPHQW

$JLQJ0DQDJHPHQW3URJUDP

185(*

,WHP

7DEOH

,WHP

1RWHV

2ULILFH 8QLWRQO\\ 

/HDNDJH

ERXQGDU\\

VSDWLDO 

6WDLQOHVV

VWHHO

7UHDWHGZDWHU

LQW 

DOOWKLQQLQJ+/-

HURVLRQ

)ORZ$FFHOHUDWHG&RUURVLRQ

% 

9,,,*6





$

2ULILFH 8QLWRQO\\ 

/HDNDJH

ERXQGDU\\

VSDWLDO 

6WDLQOHVV

VWHHO

7UHDWHGZDWHU

!) LQW 

&UDFNLQJ

DWHU&KHPLVWU\\ % 

2QH7LPH,QVSHFWLRQ % 

9,,,(63





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

&DUERQ

VWHHO

$LU+/-LQGRRU

XQFRQWUROOHG

H[W 

/RVVRIPDWHULDO

([WHUQDO6XUIDFHV0RQLWRULQJRI

0HFKDQLFDO&RPSRQHQWV

% 

9,,,+6





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

&DUERQ

VWHHO

$LU+/-RXWGRRU

H[W 

/RVVRIPDWHULDO

([WHUQDO6XUIDFHV0RQLWRULQJRI

0HFKDQLFDO&RPSRQHQWV

% 

9,,,+6





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

&DUERQ

VWHHO

$LU+/-RXWGRRU

LQW 

/RVVRIPDWHULDO

,QVSHFWLRQRI,QWHUQDO6XUIDFHVLQ

0LVFHOODQHRXV3LSLQJDQG

'XFWLQJ&RPSRQHQWV % 

9,,,*63





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

&DUERQ

VWHHO

  • DV LQW 

1RQH

1RQH

9,,,,63





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

&DUERQ

VWHHO

7UHDWHGZDWHU

LQW 

/RVVRIPDWHULDO

DWHU&KHPLVWU\\ % 

2QH7LPH,QVSHFWLRQ % 

9,,,(63





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

&DUERQ

VWHHO

7UHDWHGZDWHU

LQW 

DOOWKLQQLQJ+/-

HURVLRQ

)ORZ$FFHOHUDWHG&RUURVLRQ

% 

9,,,*6





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

&DUERQ

VWHHO

7UHDWHGZDWHU

LQW 

DOOWKLQQLQJ+/-

)$&

)ORZ$FFHOHUDWHG&RUURVLRQ

% 

9,,,*6





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

6WDLQOHVV

VWHHO

$LU+/-LQGRRU

XQFRQWUROOHG

H[W 

&UDFNLQJ

([WHUQDO6XUIDFHV0RQLWRULQJRI

0HFKDQLFDO&RPSRQHQWV

% 

9,,,*63

E





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

6WDLQOHVV

VWHHO

$LU+/-LQGRRU

XQFRQWUROOHG

H[W 

/RVVRIPDWHULDO

([WHUQDO6XUIDFHV0RQLWRULQJRI

0HFKDQLFDO&RPSRQHQWV

% 

9,,,*63

E





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

6WDLQOHVV

VWHHO

$LU+/-RXWGRRU

H[W 

&UDFNLQJ

([WHUQDO6XUIDFHV0RQLWRULQJRI

0HFKDQLFDO&RPSRQHQWV

% 

9,,,*63

E





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

6WDLQOHVV

VWHHO

$LU+/-RXWGRRU

H[W 

/RVVRIPDWHULDO

([WHUQDO6XUIDFHV0RQLWRULQJRI

0HFKDQLFDO&RPSRQHQWV

% 

9,,,*63

E





$





6W/XFLH8QLWVDQG

'RFNHWVDQG

36/5HVSRQVHWR15&5$,1R%D

/$WWDFKPHQW3DJHRI





7DEOH$X[LOLDU\\)HHGZDWHUDQG&RQGHQVDWH+/-6XPPDU\\RI$JLQJ0DQDJHPHQW(YDOXDWLRQ

&RPSRQHQW7\\SH

,QWHQGHG

)XQFWLRQ

0DWHULDO

(QYLURQPHQW

$JLQJ(IIHFW

5HTXLULQJ

0DQDJHPHQW

$JLQJ0DQDJHPHQW3URJUDP

185(*

,WHP

7DEOH

,WHP

1RWHV

3LSLQJ

3UHVVXUH

ERXQGDU\\

&DUERQ

VWHHO

8QGHUJURXQG

H[W 

/RVVRI

PDWHULDO

%XULHGDQG

8QGHUJURXQG

3LSLQJDQG

7DQNV % 

9,,,+63





$%









6W/XFLH8QLWVDQG

'RFNHWVDQG

36/5HVSRQVHWR15&5$,1R%D

/$WWDFKPHQW3DJHRI



6/5$7DEOHSDJHLVXSGDWHGDVIROORZV

7DEOH$X[LOLDU\\)HHGZDWHUDQG&RQGHQVDWH+/-6XPPDU\\RI$JLQJ0DQDJHPHQW(YDOXDWLRQ

&RPSRQHQW7\\SH

,QWHQGHG

)XQFWLRQ

0DWHULDO

(QYLURQPHQW

$JLQJ(IIHFW

5HTXLULQJ

0DQDJHPHQW

$JLQJ0DQDJHPHQW3URJUDP

185(*

,WHP

7DEOH

,WHP

1RWHV

3LSLQJ

3UHVVXUH

ERXQGDU\\

6WDLQOHVV

VWHHO

&RQFUHWH H[W 

&UDFNLQJ

%XULHGDQG8QGHUJURXQG3LSLQJ

DQG7DQNV % 

9,,,+6





$%

3LSLQJ

3UHVVXUH

ERXQGDU\\

6WDLQOHVV

VWHHO

&RQFUHWH H[W 

/RVVRIPDWHULDO

%XULHGDQG8QGHUJURXQG3LSLQJ

DQG7DQNV % 

9,,,+63





$%

3LSLQJ

3UHVVXUH

ERXQGDU\\

6WDLQOHVV

VWHHO

6RLO H[W 

&UDFNLQJ

%XULHGDQG8QGHUJURXQG3LSLQJ

DQG7DQNV % 

9,,,+6





$%

3LSLQJ

3UHVVXUH

ERXQGDU\\

6WDLQOHVV

VWHHO

6RLO H[W 

/RVVRIPDWHULDO

%XULHGDQG8QGHUJURXQG3LSLQJ

DQG7DQNV % 

9,,,+63





$%

3LSLQJ

3UHVVXUH

ERXQGDU\\

6WDLQOHVV

VWHHO

7UHDWHGZDWHU

LQW 

/RVVRIPDWHULDO

DWHU&KHPLVWU\\ % 

2QH7LPH,QVSHFWLRQ % 

9,,,*63





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

6WDLQOHVV

VWHHO

7UHDWHGZDWHU

LQW 

DOOWKLQQLQJ+/-

HURVLRQ

)ORZ$FFHOHUDWHG&RUURVLRQ

% 

9,,,*6





$

3LSLQJ

3UHVVXUH

ERXQGDU\\

6WDLQOHVV

VWHHO

7UHDWHGZDWHU

!) LQW 

&UDFNLQJ

DWHU&KHPLVWU\\ % 

2QH7LPH,QVSHFWLRQ % 

9,,,*63





$

3LSLQJ LQVXODWHG 

3UHVVXUH

ERXQGDU\\

6WDLQOHVV

VWHHO

$LU+/-RXWGRRU

H[W 

&UDFNLQJ

([WHUQDO6XUIDFHV0RQLWRULQJRI

0HFKDQLFDO&RPSRQHQWV

% 

9,,,+6F





$

3LSLQJ LQVXODWHG 

3UHVVXUH

ERXQGDU\\

6WDLQOHVV

VWHHO

$LU+/-RXWGRRU

H[W 

/RVVRIPDWHULDO

([WHUQDO6XUIDFHV0RQLWRULQJRI

0HFKDQLFDO&RPSRQHQWV

% 

9,,,+6F





$

3LSLQJ LQVXODWHG 

8QLWRQO\\ 

/HDNDJH

ERXQGDU\\

VSDWLDO 

&DUERQ

VWHHO

$LU+/-RXWGRRU

H[W 

/RVVRIPDWHULDO

([WHUQDO6XUIDFHV0RQLWRULQJRI

0HFKDQLFDO&RPSRQHQWV

% 

9,,,+6D





$

3LSLQJ 8QLWRQO\\ 

/HDNDJH

ERXQGDU\\

VSDWLDO 

&DUERQ

VWHHO

$LU+/-RXWGRRU

H[W 

/RVVRIPDWHULDO

([WHUQDO6XUIDFHV0RQLWRULQJRI

0HFKDQLFDO&RPSRQHQWV

% 

9,,,+6





$

3LSLQJ 8QLWRQO\\ 

/HDNDJH

ERXQGDU\\

VSDWLDO 

&DUERQ

VWHHO

7UHDWHGZDWHU

LQW 

/RVVRIPDWHULDO

DWHU&KHPLVWU\\ % 

2QH7LPH,QVSHFWLRQ % 

9,,,*63





$

3LSLQJ 8QLWRQO\\ 

/HDNDJH

ERXQGDU\\

VSDWLDO 

&DUERQ

VWHHO

7UHDWHGZDWHU

LQW 

DOOWKLQQLQJ+/-

HURVLRQ

)ORZ$FFHOHUDWHG&RUURVLRQ

% 

9,,,*6





$

3LSLQJ 8QLWRQO\\ 

/HDNDJH

ERXQGDU\\

VSDWLDO 

&DUERQ

VWHHO

7UHDWHGZDWHU

LQW 

DOOWKLQQLQJ+/-

)$&

)ORZ$FFHOHUDWHG&RUURVLRQ

% 

9,,,*6





$



6W/XFLH8QLWVDQG

'RFNHWVDQG

36/5HVSRQVHWR15&5$,1R%D

/$WWDFKPHQW3DJHRI



6/5$6HFWLRQ%SDJH%DVXSGDWHGE\\6XSSOHPHQW$WWDFKPHQWVDQGLVXSGDWHG

DVIROORZV

x

36/,QVSHFWLRQRI,QWHUQDO6XUIDFHVLQ0LVFHOODQHRXV3LSLQJDQG'XFWLQJ

&RPSRQHQWV$03 6HFWLRQ% 

x

36/%XULHGDQG8QGHUJURXQG3LSLQJDQG7DQNV$03 6HFWLRQ% 

x

36/,QWHUQDO&RDWLQJV/LQLQJVIRU,Q6FRSH3LSLQJ3LSLQJ&RPSRQHQWV+HDW

([FKDQJHUVDQG7DQNV$03 6HFWLRQ% 

x

36/(OHFWULFDO,QVXODWLRQIRU(OHFWULFDO&DEOHVDQG&RQQHFWLRQV1RW6XEMHFWWR

&)5(QYLURQPHQWDO4XDOLILFDWLRQ5HTXLUHPHQWVXVHGLQ

,QVWUXPHQWDWLRQ&LUFXLWV$03 6HFWLRQ% 

x

36/(OHFWULFDO,QVXODWLRQIRU,QDFFHVVLEOH0HGLXP9ROWDJH3RZHU&DEOHV1RW

6XEMHFWWR&)5(QYLURQPHQWDO4XDOLILFDWLRQ5HTXLUHPHQWV$03

6HFWLRQ% 

x

36/(OHFWULFDO,QVXODWLRQIRU,QDFFHVVLEOH,QVWUXPHQWDQG&RQWURO&DEOHV1RW

6XEMHFWWR&)5(QYLURQPHQWDO4XDOLILFDWLRQ5HTXLUHPHQWV$03

6HFWLRQ% 

x

36/(OHFWULFDO,QVXODWLRQIRU,QDFFHVVLEOH/RZ9ROWDJH3RZHU&DEOHV1RW

6XEMHFWWR&)5(QYLURQPHQWDO4XDOLILFDWLRQ5HTXLUHPHQWV$03

6HFWLRQ% 

x

36/0HWDO(QFORVHG%XV$03 6HFWLRQ% 

x

36/(OHFWULFDO&DEOH&RQQHFWLRQV1RW6XEMHFWWR&)5

(QYLURQPHQWDO4XDOLILFDWLRQ5HTXLUHPHQWV$03 6HFWLRQ% DQG

x

36/+LJK9ROWDJH,QVXODWRUV$03 6HFWLRQ% 

7KHVHQHZ$03VZLOOEHFRQVLVWHQWZLWKWKHHOHPHQWVRIWKHLUUHVSHFWLYH

185(*$03V

7KHIROORZLQJSURJUDPVHDFKKDYHH[FHSWLRQ V MXVWLILHGE\\WHFKQLFDOGDWD

x

36/5HDFWRU+HDG&ORVXUH6WXG%ROWLQJ$03 6HFWLRQ% 

x

7KHUPDO$JLQJ(PEULWWOHPHQWRI&DVW$XVWHQLWLF6WDLQOHVV6WHHO

6HFWLRQ% 

x

36/6WHDP*HQHUDWRUV$03 6HFWLRQ% 

x

36/2XWGRRUDQG/DUJH$WPRVSKHULF0HWDOOLF6WRUDJH7DQN$03

6HFWLRQ% 

x

36/)XHO2LO&KHPLVWU\\$03 6HFWLRQ% 

x

36/5HDFWRU9HVVHO0DWHULDO6XUYHLOODQFH$03 6HFWLRQ% 

x

36/%XULHGDQG8QGHUJURXQG3LSLQJDQG7DQNV$03 6HFWLRQ% 

x

36/$60(6HFWLRQ;,6XEVHFWLRQ,:)$03 6HFWLRQ% DQG

x

36/6WUXFWXUHV0RQLWRULQJ$03 6HFWLRQ% 

%

0HWKRGRI'LVFXVVLRQ

)RUWKRVH36/$03VWKDWDUHFRQVLVWHQWZLWKWKH$03GHVFULSWLRQVDQGDVVXPSWLRQV

PDGHLQ6HFWLRQV;DQG;,RI185(*RUDUHFRQVLVWHQWZLWKH[FHSWLRQVRU

HQKDQFHPHQWVHDFK$03GLVFXVVLRQLVSUHVHQWHGLQWKHIROORZLQJIRUPDW

x

$3URJUDP'HVFULSWLRQDEVWUDFWRIWKHRYHUDOOSURJUDPIRUPDQGIXQFWLRQLV

SURYLGHG7KLV3URJUDP'HVFULSWLRQDOVRLQFOXGHVZKHWKHUWKHSURJUDPLV

H[LVWLQJ DQGLILWUHSODFHV/5SURJUDPV RUQHZIRU6/5



6W/XFLH8QLWVDQG

'RFNHWVDQG

36/5HVSRQVHWR15&5$,1R%D

/$WWDFKPHQW3DJHRI



6/5$7DEOH%SDJH%LVXSGDWHGDVIROORZV

7DEOH%

36/$JLQJ0DQDJHPHQW3URJUDP&RQVLVWHQF\\ZLWK185(*

36/$JLQJ

0DQDJHPHQW

3URJUDP

6HFWLRQ

36/

3ODQW6SHFLILF"

185(*&RPSDULVRQ

185(*

6HFWLRQ

(QKDQFHPHQWV"

([FHSWLRQV"

)LUH3URWHFWLRQ

%

1R

,0

<HV

1R

)LUH:DWHU6\\VWHP

%

1R

,0

<HV

1R

2XWGRRUDQG/DUJH

$WPRVSKHULF0HWDOOLF

6WRUDJH7DQNV

%

1R

,0

<HV

<HV

)XHO2LO&KHPLVWU\\

%

1R

,0

<HV

<HV

5HDFWRU9HVVHO

0DWHULDO6XUYHLOODQFH

%

1R

,0

1R

<HV

2QH7LPH,QVSHFWLRQ

%

1R

,0

1HZ

1R

6HOHFWLYH/HDFKLQJ

%

1R

,0

1HZ

1R

$60(&RGH&ODVV

6PDOO%RUH3LSLQJ

%

1R

,0

1R

1R

([WHUQDO6XUIDFHV

0RQLWRULQJRI

0HFKDQLFDO

&RPSRQHQWV

%

1R

,0

<HV

1R

,QVSHFWLRQRI,QWHUQDO

6XUIDFHVLQ

0LVFHOODQHRXV3LSLQJ

DQG'XFWLQJ

&RPSRQHQWV

%

1R

,0

1HZ

1R

/XEULFDWLQJ2LO

$QDO\\VLV

%

1R

,0

<HV

1R

0RQLWRULQJRI

1HXWURQ$EVRUELQJ

0DWHULDOV2WKHU7KDQ

%RUDIOH[

%

1R

,0

<HV

1R

%XULHGDQG

8QGHUJURXQG3LSLQJ

DQG7DQNV

%

1R

,0

1HZ

1R

<HV

,QWHUQDO

&RDWLQJV/LQLQJVIRU

,Q6FRSH3LSLQJ

3LSLQJ&RPSRQHQWV

+HDW([FKDQJHUV

DQG7DQNV

%

1R

,0

1HZ

1R

$60(6HFWLRQ;,

6XEVHFWLRQ,:(

%

1R

,6

<HV

1R

$60(6HFWLRQ;,

6XEVHFWLRQ,:)

%

1R

,6

<HV

<HV

&)53DUW

$SSHQGL[-

%

1R

,6

1R

1R

0DVRQU\\:DOOV

%

1R

,6

<HV

1R

6WUXFWXUHV

0RQLWRULQJ

%

1R

,6

<HV

<HV





6W/XFLH8QLWVDQG

'RFNHWVDQG

36/5HVSRQVHWR15&5$,1R%D

/$WWDFKPHQW3DJHRI



6/5$$SSHQGL[%6HFWLRQ%SDJH%DVXSGDWHGE\\6XSSOHPHQW$WWDFKPHQWV

DQGLVXSGDWHGDVIROORZV

VHOHFWHGIRUEXULHGVWHHOSLSLQJDIWHUWKHFDWKRGLFSURWHFWLRQV\\VWHPKDVEHHQLQ

VHUYLFHIRUDSSUR[LPDWHO\\\\HDUVDQGDQQXDOHIIHFWLYHQHVVUHYLHZVDUHSHUIRUPHG

+RZHYHULIWKHVHFRQGLWLRQVZHUHWRFKDQJHWKH3UHYHQWLYH$FWLRQ&DWHJRU\\ZRXOG

UHTXLUHUHHYDOXDWLRQDQGFRXOGSRWHQWLDOO\\FKDQJH

7KHQXPEHURILQVSHFWLRQVIRUHDFK\\HDULQVSHFWLRQSHULRGEHJLQQLQJ\\HDUV

EHIRUHWKH63(2DUHEDVHGRQWKHLQVSHFWLRQTXDQWLWLHVQRWHGLQ185(*

7DEOH;,0DGMXVWHGIRUD8QLWSODQWVLWH

0DWHULDO

1RRI,QVSHFWLRQV

1RWHV

6WHHO EXULHG 

 SULRUWRWKH63(2

&DWHJRU\\) 

LQHDFK\\HDUSHULRGLQWKH

63(2 &DWHJRU\\& 

,QFOXGHVDGGLWLRQDOLQVSHFWLRQVWR

PHHWWKHUHTXLUHPHQWVRI185(*

6HFWLRQ;,0SDUDJUDSKHL

UHJDUGLQJWKHDJLQJHIIHFWVDVVRFLDWHG

ZLWKILUHPDLQV

6WHHO

XQGHUJURXQG 





6WDLQOHVVVWHHO

XQGHUJURXQG 

3UHVVXUHWHVWLQJSHUQRWH

3HUIRUPSHULRGLFSUHVVXUHWHVWLQJ

DQGEORZRXWWHVWLQJ SXUJLQJ ZLWK

DLURUQLWURJHQRIWKHDQQXODUYROXPH

EHWZHHQWKHXQGHUJURXQGVWDLQOHVV

VWHHOIXHORLOSLSLQJDQGLWVUHVSHFWLYH

JXDUGSLSLQJWRYHULI\\QROHDNDJHRI

JXDUGSLSHDQGQROHDNDJHIURPWKH

IXHORLOSLSLQJ7KLVWHVWLQJZLOOEH

SHUIRUPHGIRUDWOHDVWSHUFHQWRI

WKHVWDLQOHVVVWHHOIXHORLOSLSLQJ

KRXVHGZLWKLQJXDUGSLSLQJDWDQ

LQWHUYDOQRWWRH[FHHG\\HDUVZLWK

WKHILUVWRFFXUUHQFHSULRUWRWKH

63(27KHDQQXODUYROXPHEHWZHHQ

WKHIXHORLOSLSLQJDQGJXDUGSLSLQJ

ZLOOEHSUHVVXUL]HGWRSHUFHQWRI

WKHGHVLJQSUHVVXUHRIDQ\\

FRPSRQHQWZLWKLQWKHERXQGDU\\ QRW

WRH[FHHGWKHPD[LPXPDOORZDEOH

WHVWSUHVVXUHRIDQ\\QRQLVRODWHG

FRPSRQHQWV ZLWKWHVWSUHVVXUH

EHLQJKHOGIRUDFRQWLQXRXVHLJKW

KRXULQWHUYDO

6WDLQOHVVVWHHO

EXULHG 









6W/XFLH8QLWVDQG

'RFNHWVDQG

36/5HVSRQVHWR15&5$,1R%D

/$WWDFKPHQW3DJHRI





,IDIWHUILYH\\HDUVRIRSHUDWLRQWKHFDWKRGLFSURWHFWLRQV\\VWHPGRHVQRWPHHWWKHHIIHFWLYHQHVV

DFFHSWDQFHFULWHULDGHILQHGE\\185(*7DEOHV;,0DQG P9UHODWLYHWRD

&6(LQVWDQWRIIIRUDWOHDVWSHUFHQWRIWKHWLPHDQGLQRSHUDWLRQIRUDWOHDVWSHUFHQWRI

WKHWLPH )3/FRPPLWVWRSHUIRUPLQJWZRDGGLWLRQDOEXULHGVWHHOSLSLQJLQVSHFWLRQVEH\\RQGWKH

QXPEHUUHTXLUHGE\\3UHYHQWLYH$FWLRQ&DWHJRU\\)UHVXOWLQJLQDWRWDORIWKLUWHHQ  LQVSHFWLRQV

EHLQJFRPSOHWHGVL[PRQWKVSULRUWRWKH63(27KHFDWKRGLFSURWHFWLRQFULWHULRQOLVWHG

DERYHZLOOFRQWLQXHWREHXVHGDIWHUILYH\\HDUVWKURXJKWKHHQGRIWKH63(2

7KLV$03GRHVQRWSURYLGHDJLQJPDQDJHPHQWRIVHOHFWLYHOHDFKLQJ7KH36/

6HOHFWLYH/HDFKLQJRI0DWHULDOV 6HFWLRQ% $03LVDSSOLHGLQDGGLWLRQWRWKLV

SURJUDPIRUDSSOLFDEOHPDWHULDOVDQGHQYLURQPHQWV

7KH36/%XULHGDQG8QGHUJURXQG3LSLQJDQG7DQNV$03UHTXLUHVWKHFUHDWLRQRI

QHZJRYHUQLQJDQGLQVSHFWLRQSURFHGXUHVFRQVLVWHQWZLWK185(*

6HFWLRQ;,0DVZHOODVDQHZVDPSOLQJSODQDQGZRUNRUGHUVWRVXSSRUWWKHQHZ

LQVSHFWLRQV$QHZFDWKRGLFSURWHFWLRQV\\VWHPZLOODOVREHLQVWDOOHGDQGDQ

HIIHFWLYHQHVVUHYLHZSHU7DEOH;,0RI185(*6HFWLRQ;,0ZLOOEH

SHUIRUPHGWKURXJKRXWHDFKRIWKH\\HDULQVSHFWLRQSHULRGV,QLWLDOLQVSHFWLRQVEHJLQ

\\HDUVEHIRUHWRWKH63(2DQGDUHFRPSOHWHGQRODWHUWKDQVL[PRQWKVSULRUWR

HQWHULQJWKH63(2RUQRODWHUWKDQWKHODVW5)2SULRUWRWKH63(2

185(*&RQVLVWHQF\\

7KH36/%XULHGDQG8QGHUJURXQG3LSLQJDQG7DQNV$03ZLOOEHFRQVLVWHQWZLWKRXW

H[FHSWLRQWRWKHHOHPHQWVRI185(*6HFWLRQ;,0³%XULHGDQG

8QGHUJURXQG3LSLQJDQG7DQNV'

([FHSWLRQVWR185(*

1RQH$QH[FHSWLRQWRWKH185(*UHFRPPHQGDWLRQRIFRDWLQJEXULHG

VWDLQOHVVVWHHODVDSUHYHQWLYHDFWLRQZLOOEHWDNHQZLWKUHVSHFWWRWKH8QLW

VWDLQOHVVVWHHO$):SXPSUHFLUFXODWLRQSLSLQJDQGFRQGHQVDWHV\\VWHP $):

SXPSVXFWLRQ SLSLQJEXULHGEHQHDWKWKH8QLWWXUELQHEXLOGLQJ7KLV

H[FHSWLRQLVMXVWLILHGGXHWRWKHORZQXPEHURIFKORULGHVZLWKLQWKHVRLOWKH

ORZOLNHOLKRRGRIVWDJQDQWPRLVWXUHGXHWRWKHFRQFUHWHIORRUVODEVKLHOGLQJ

JRRGVRLOEDFNILOOGUDLQDJHDQGQRKLVWRU\\RIQHJDWLYH2(IRUEXULHGVWDLQOHVV

VWHHOSLSLQJDW6W/XFLH







6W/XFLH8QLWVDQG

'RFNHWVDQG

36/5HVSRQVHWR15&5$,1R%D

/$WWDFKPHQW3DJHRI



$VVRFLDWHG(QFORVXUHV

1RQH





Retrieved from "https://kanterella.com/w/index.php?title=L-2022-156,_Correction_to_Subsequent_License_Renewal_Application_-_Aging_Management_Requests_for_Additional_Information_(RAI)_Set_1a_Response&oldid=3790553"