E
(8
'HFODUDWLRQRI
&RQIRUPLW\
'LOORQ
('[('MU&RPPXQLFDWRU,,
('[('MU6HULDO1XPEHU
'('5[[[[[[[
7('[6HULDO1XPEHU
'('52QZDUGV
&RPPXQLFDWRU,,6HULDO1XPEHU
'&202QZDUGV
1DPHDQGDGGUHVVRIWKHPDQXIDFWXUHU
$YHU\:HLJK7URQL[
)RXQGU\/DQH
6PHWKZLFN
:HVW0LGODQGV
%/3
(1*/$1'
7KLVGHFODUDWLRQRIFRQIRUPLW\LVLVVXHGXQGHUWKHVROHUH
VSRQVLELOLW\RIWKHPDQXIDFWXUHU
2EMHFWRIWKHGHFODUDWLRQ
7KHPDFKLQHU\IXOILOOVDOOWKHUHOHYDQWSURYLVLRQVRIWKH
0DFKLQHU\'LUHFWLYH(&
7KHREMHFWRIWKHGHFODUDWLRQGHVFULEHGDERYHLVLQFRQIRUPLW\
ZLWKWKHUHOHYDQW8QLRQKDUPRQLVDWLRQOHJLVODWLRQ
$SSOLFDEOH'LUHFWLYHV+DUPRQLVHG
VWDQGDUGV
RURWKHUWHFKQLFDO
VSHFLILFDWLRQV
(8
(OHFWURPDJQHWLF&RPSDWLELOLW\
(1
(1
$
(8
5HVWULFWLRQRIWKHXVHRIFHUWDLQKD]DUGRXV
VXEVWDQFHVLQHOHFWULFDODQGHOHFWURQLF
HTXLSPHQW
(1
$GGLWLRQDOLQIRUPDWLRQ
1RWH
,7:/WGWUDGLQJDV$YHU\:HLJK7URQL[
5HJ2IILFH1H[XV+RXVH6WDWLRQ5RDG(JKDP
6XUUH\7:/%(QJODQG
1RWH
'LOORQLVSDUWRI$YHU\:HLJK7URQL[
1RWH
$FRS\RIWKH7HFKQLFDO)LOHIRUWKLVHTXLSPHQWLV
DYDLODEOHIURP06:LOOLDPVDWWKHDGGUHVVDERYH
6LJQHGIRUDQGRQEHKDOIRI
$YHU\:HLJK7URQL[
DW
$UPVWURQJ'ULYH)DLUPRQW01
86$
RQ
.'HWHUW
,QQRYDWLRQV0DUNHWLQJ'LUHFWRU
,VVXH
(8
.RQIRUPLWlWVHUNOlUXQJ
'LOORQ
('[('MU&RPPXQLFDWRU,,
('[('MU6HULHQQXPPHU
'('5[[[[[[[
7('[6HULHQQXPPHU
$E'('5
&RPPXQLFDWRU,,6HULHQQXPPHU
$E'&20
1DPHXQG$QVFKULIWGHV+HUVWHOOHUV
$YHU\:HLJK7URQL[
)RXQGU\/DQH
6PHWKZLFN
:HVW0LGODQGV
%/3
(1*/$1'
'LHDOOHLQLJH9HUDQWZRUWXQJIUGLH$XVVWHOOXQJGLHVHU.RQ
IRUPLWlWVHUNOlUXQJWUlJWGHU+HUVWHOOHU
*HJHQVWDQGGHU(UNOlUXQJ
'LHVH0DVFKLQHHUIOOWGLHHQWVSUHFKHQGHQ%HVWLPPXQJHQ
GHU0DVFKLQHQULFKWOLQLH(*
'HUREHQEHVFKULHEHQH*HJHQVWDQGGHU(UNOlUXQJHUIOOWGLH
HLQVFKOlJLJHQ+DUPRQLVLHUXQJVUHFKWVYRUVFKULIWHQGHU8QLRQ
$QJHZDQGWH5LFKWOLQLHQ +DUPRQLVLHUWH
1RUPHQRGHU
VRQVWLJHQ
WHFKQLVFKHQ
6SH]LILNDWLRQHQ
(8
(OHNWURPDJQHWLVFKH9HUWUlJOLFKNHLW
(1
(1
$
(8
%HVFKUlQNXQJGHU9HUZHQGXQJ
EHVWLPPWHUJHIlKUOLFKHU6WRIIHLQ
(OHNWURXQG(OHNWURQLNJHUlWHQ
(1
=XVDW]DQJDEHQ
$QPHUNXQJ
,7:/WG+DQGHODOV$YHU\:HLJK7URQL[
6LW]1H[XV+RXVH6WDWLRQ5RDG(JKDP
6XUUH\7:/%(QJODQG
$QPHUNXQJ
'LOORQLVWHLQ7HLOYRQ$YHU\:HLJK7URQL[
$QPHUNXQJ
(LQH.RSLHGHUWHFKQLVFKHQ8QWHUODJHQIUGLHVHV*HUlW
NDQQYRQ06:LOOLDPVEHLGHUEHUVWHKHQGHQ$GUHVVH
DQJHIRUGHUWZDUGHQ
8QWHU]HLFKQHWIUXQGLP1DPHQYRQ
$YHU\:HLJK7URQL[
EHL
$UPVWURQJ'ULYH)DLUPRQW01
86$
DP
.'HWHUW
,QQRYDWLRQHQ0DUNHWLQJGLUHNWRU
&Z
ĠĐůĂƌĂƟŽŶh
ĚĞ
ŽŶĨŽƌŵŝƚĠ
'LOORQ
('[('MU&RPPXQLFDWRU,,
('[('MU1XPpURGHVpULH
$SDUWLUGH'('5[[[[[[[
7('[1XPpURGHVpULH
$SDUWLUGH'('5
&RPPXQLFDWRU,,1XPpURGHVpULH
$SDUWLUGH'&20
1RPHWDGUHVVHGXIDEULFDQW
$YHU\:HLJK7URQL[
)RXQGU\/DQH
6PHWKZLFN
:HVW0LGODQGV
%/3
$1*/(7(55(
/DSUpVHQWHGpFODUDWLRQGHFRQIRUPLWpHVWpWDEOLHVRXVOD
VHXOHUHVSRQVDELOLWpGXIDEULFDQW
2EMHWGHODGHFODUDWLRQ
/DPDFKLQHUHPSOLWO¶HQVHPEOHGHVVSHFLILFDWLRQVGXFDKLHU
GHVFKDUJHVGHOD'LUHFWLYHUHODWLYHDX[PDFKLQHV
&(
/¶REMHWGHODGpFODUDWLRQGpFULWFLGHVVXVHVWFRQIRUPHjOD
OpJLVODWLRQG¶KDUPRQLVDWLRQGHO¶8QLRQDSSOLFDEOH
/HVGLUHFWLYHVHQYLJXHXU /HVQRUPHV
KDUPRQLVpHVRX
G¶DXWUHV
VSpFLILFDWLRQV
WHFKQLTXHV
8(
&RPSDWLELOLWpeOHFWURPDJQpWLTXH
(1
(1
$
8(
/DOLPLWDWLRQGHO¶XWLOLVDWLRQGHFHUWDLQHV
VXEVWDQFHVGDQJHUHXVHVGDQVOHV
pTXLSHPHQWVpOHFWULTXHVHW
pOHFWURQLTXHV
(1
,QIRUPDWLRQVFRPSOpPHQWDLUHV
1RWD
,7:/WGH[HUoDQWpJDOHPHQWVRXVOHQRPGH$YHU\:HLJK
7URQL[
6LqJHVRFLDO1H[XV+RXVH6WDWLRQ5RDG(JKDP
6XUUH\7:/%$QJOHWHUUH
1RWD
'LOORQIDLWSDUWLHG$YHU\:HLJK7URQL[
1RWD
3RXUREWHQLUXQH[HPSODLUHGHOD)LFKHWHFKQLTXHGHFHW
pTXLSHPHQWV¶DGUHVVHUj06:LOOLDPVjO¶DGUHVVH
FLGHVVXV
6LJQpSDUHWDXQRPGH
$YHU\:HLJK7URQL[
j
$UPVWURQJ'ULYH)DLUPRQW01
86$
OH
.'HWHUW
,QQRYDWLRQV'LUHFWHXU0DUNHWLQJ
E>
(8
&RQIRUPLWHLWVYHUNODU
LQJ
'LOORQ
('[('MU&RPPXQLFDWRU,,
('[('MU6HULHQXPPHU
9DQDI;
7('[6HULHQXPPHU
9DQDI'('5
&RPPXQLFDWRU,,6HULHQXPPHU
9DQDI'&20
1DDPHQDGUHVYDQGHIDEULNDQW
$YHU\:HLJK7URQL[
)RXQGU\/DQH
6PHWKZLFN
:HVW0LGODQGV
%/3
(1*(/$1'
'H]HFRQIRUPLWHLWVYHUNODULQJZRUGWYHUVWUHNWRQGHUYROOHGLJH
YHUDQWZRRUGHOLMNKHLGYDQGHIDEULNDQW
9RRUZHUSYDQGHYHUNODULQJ
'HPDFKLQHYROGRHWDDQDOOHUHOHYDQWHEHSDOLQJHQYDQGH
5LFKWOLMQLQ]DNHPDFKLQHV(*
+HWKLHUERYHQEHVFKUHYHQYRRUZHUSLVLQRYHUHHQVWHPPLQJ
PHWGHGHVEHWUHIIHQGHKDUPRQLVDWLHZHWJHYLQJYDQGH8QLH
7RHSDVVHOLMNHULFKWOLMQHQ *HKDUPRQLVHHUGH
VWDQGDDUGHQ
RIDQGHUH
WHFKQLVFKH
VSHFLILFDWLHV
(8
(OHNWURPDJQHWLVFKHFRPSDWLELOLWHLW
(1
(1
$
(8
%HSHUNLQJYDQKHWJHEUXLNYDQEHSDDOGH
JHYDDUOLMNHVWRIIHQLQHOHNWULVFKHHQHO
HNWURQLVFKHDSSDUDWXXU
(1
$DQYXOOHQGHLQIRUPDWLH
1RRW
,7:/WGWUDGLQJDOV$YHU\:HLJK7URQL[
=HWHO1H[XV+RXVH6WDWLRQ5RDG(JKDP
6XUUH\7:/%(QJODQG
1RRW
'LOORQLVHHQRQGHUGHHOYDQ$YHU\:HLJK7URQL[
1RRW
(HQNRSLHYDQKHWWHFKQLVFKEHVWDQGYRRUGH]H
DSSDUDWXXULVYHUNULMJEDDUYDQ06:LOOLDPVRSKHW
ERYHQVWDDQGHDGUHV
2QGHUWHNHQGYRRUHQQDPHQV
$YHU\:HLJK7URQL[
ELM
$UPVWURQJ'ULYH)DLUPRQW01
96
RS
.'HWHUW
,QQRYDWLHV0DUNHWLQJ'LUHFWRU
/d
'LFKLDUD]LRQH
GL
&RQIRUPLWj8(
'LOORQ
('[('MU&RPPXQLFDWRU,,
('[('MU1GLVHULH
$SDUWLUHGD;
7('[1GLVHULH
$SDUWLUHGD'('5
&RPPXQLFDWRU,,1GLVHULH
$SDUWLUHGD'&20
1RPHHLQGLUL]]RGHOIDEEULFDQWH
$YHU\:HLJK7URQL[
)RXQGU\/DQH
6PHWKZLFN
:HVW0LGODQGV
%/3
,1*+,/7(55$
/DSUHVHQWHGLFKLDUD]LRQHGLFRQIRUPLWjqULODVFLDWDVRWWROD
UHVSRQVDELOLWjHVFOXVLYDGHOIDEEULFDQWH
2JJHWWRGHOODGLFKLDUD]LRQH
/¶DSSDUHFFKLRULVSHWWDWXWWHOHGLVSRVL]LRQLULOHYDQWLGHOOD
'LYHUWLYD0DFFKLQH&(
/¶RJJHWWRGHOODGLFKLDUD]LRQHGLFXLVRSUDqFRQIRUPHDOOD
SHUWLQHQWHQRUPDWLYDGLDUPRQL]]D]LRQHGHOO¶8QLRQH
'LUHWWLYHDSSOLFDELOL $UPRQL]]DWR
VWDQGDUG
RDOWUHVSHFLILFD]LRQL
WHFQLFKH
8(
&RPSDWLELOLWjHOHWWURPDJQHWLFD
(1
(1
$
8(
5HVWUL]LRQHGHOO¶XVRGLGHWHUPLQDWH
VRVWDQ]HSHULFRORVHQHOOHDSSDUHFFKLD
WXUHHOHWWULFKHHGHOHWWURQLFKH
(1
,QIRUPD]LRQLVXSSOHPHQWDUL
1RWD
,7:/WGWUDGLQJFRPH$YHU\:HLJK7URQL[
6HGHGHOOXIILFLR1H[XV+RXVH6WDWLRQ5RDG(JKDP
6XUUH\7:/%(QJODQG
1RWD
'LOORQqSDUWHGL$YHU\:HLJK7URQL[
1RWD
8QDFRSLDGHOODVFKHGDWHFKLFDGLTXHVWRDSSDUHFFKLRq
GLVSRQLELOHSUHVVR06:LOOLDPVDOO¶LQGLUL]]RVRSUD
)LUPDWRDQRPHHSHUFRQWRGL
$YHU\:HLJK7URQL[
D
$UPVWURQJ'ULYH)DLUPRQW01
86$
VX
.'HWHUW
,QQRYDWLRQV'LUHWWRUH0DUNHWLQJ
^
ĞĐůĂƌĂĐŝſŶh
ĚĞ
ŽŶĨŽƌŵŝĚĂĚ
'LOORQ
('[('MU&RPPXQLFDWRU,,
('[('MU1~PHURGHVHULH
$SDUWLUGHO;
7('[1~PHURGHVHULH
$SDUWLUGHO'('5
&RPPXQLFDWRU,,1~PHURGHVHULH
$SDUWLUGHO'&20
1RPEUH\GLUHFFLyQGHOIDEULFDQWH
$YHU\:HLJK7URQL[
)RXQGU\/DQH
6PHWKZLFN
:HVW0LGODQGV
%/3
,1*/$7(55$
/DSUHVHQWHGHFODUDFLyQGHFRQIRUPLGDGVHH[SLGHEDMROD
H[FOXVLYDUHVSRQVDELOLGDGGHOIDEULFDQWH
2EMHWRGHODGHFODUDFLyQ
/DPiTXLQDFXPSOHFRQWRGDVODVGLVSRVLFLRQHVSHUWLQHQWHV
GHOD'LUHFWLYD&(UHODWLYHDODVPiTXLQDV
(OREMHWRGHODGHFODUDFLyQGHVFULWDDQWHULRUPHQWHHV
FRQIRUPHFRQODOHJLVODFLyQGHDUPRQL]DFLyQSHUWLQHQWHGHOD
8QLyQ
'LUHFWLYDVDSOLFDEOHV 1RUPDV
DUPRQL]DGDVX
RWUDV
HVSHFLILFDFLRQHV
WpFQLFDV
8(
&RPSDWLELOLGDGHOHFWURPDJQpWLFD
(1
(1
$
8(
5HVWULFFLRQHVDODXWLOL]DFLyQGHGHWHU
PLQDGDVVXVWDQFLDVSHOLJURVDVHQ
DSDUDWRVHOpFWULFRV\HOHFWUyQLFRV
(1
,QIRUPDFLyQDGLFLRQDO
1RWD
,7:/WGWUDGLQJDV$YHU\:HLJK7URQL[
2ILFLQDUHJLVWUDGD1H[XV+RXVH6WDWLRQ5RDG(JKDP
6XUUH\7:/%$QJOHWHUUH
1RWD
'LOORQHVSDUWHGH$YHU\:HLJK7URQL[
1RWD
3XHGHVROLFLWDUVHD06:LOOLDPVXQDFRSLDGHO
H[SHGLHQWHWpFQLFRFRUUHVSRQGLHQWHDHVWHHTXLSRHQOD
GLUHFFLyQTXHVHLQGLFD
)LUPDGRHQQRPEUHGH
$YHU\:HLJK7URQL[
HQ
$UPVWURQJ'ULYH)DLUPRQW01
((88
HO
.'HWHUW
,QQRYDFLRQHV'LUHFWRUGH0DUNHWLQJ