&217(176
6DIHW\3UHFDXWLRQV
/RFDWLRQ RI &RQWUROV
$GMXVWPHQW 3URFHGXUH
$GMXVWPHQW 3URFHGXUH $QG 6HOI &KHFN
$OLJQPHQW 6HWWLQJV
%ORFN 'LDJUDPV
:DYHIRUP3DWWHUQ7DEOH
3DUWV/RFDWLRQ
5HSODFHPHQW3DUWV/LVW
6FKHPDWLF 'LDJUDPV
&RQGXFWRU 9LHZV
6$)(7< 35(&$87,216
*(1(5$/ *8,'( /,1(6
,W LV DGYLVDEOH WR LQVHUW DQ LVRODWLRQ WUDQVIRUPHU LQ WKH $&
VXSSO\ EHIRUH VHUYLFLQJ D KRW FKDVVLV
:KHQ VHUYLFLQJ REVHUYH WKH RULJLQDO OHDG GUHVV LQ WKH
KLJK YROWDJH FLUFXLWV ,ID VKRUW FLUFXLW LV IRXQG UHSODFH DOO
SDUWV ZKLFK KDYH EHHQ RYHUKHDWHG RU GDPDJHG E\ WKH
VKRUW FLUFXLW
$IWHUVHUYLFLQJVHHWKDWDOOWKH SURWHFWLYH GHYLFHV VXFK DV
LQVXODWLRQ EDUULHUV LQVXODWLRQ SDSHUV VKLHOGV DQG
LVRODWLRQ 5 & FRPELQDWLRQV DUH FRUUHFWO\ LQVWDOOHG
:KHQ WKH UHFHLYHU LV QRW EHLQJ XVHG IRU D ORQJ SHULRG RI
WLPH XQSOXJ WKH SRZHU FRUG IURP WKH $& RXWOHW
3RWHQWLDOVDVKLJK DVN9DUH SUHVHQWZKHQ WKLVUHFHLYHU
LV LQ RSHUDWLRQ 2SHUDWLRQ RIWKH UHFHLYHUZLWKRXW WKH UHDU
FRYHU LQYROYHV WKH GDQJHU RI D VKRFN KD]DUG IURP WKH
UHFHLYHU SRZHU VXSSO\ 6HUYLFLQJ VKRXOG QRW EH
DWWHPSWHG E\ DQ\RQH ZKR LV QRW IDPLOLDU ZLWK WKH
SUHFDXWLRQV QHFHVVDU\ ZKHQ ZRUNLQJ RQ KLJK YROWDJH
HTXLSPHQW$OZD\VGLVFKDUJH WKH DQRGH RIWKH SLFWXUHWR
WKH FKDVVLV EHIRUH KDQGOLQJ WKH WXEH
$IWHU VHUYLFLQJ PDNH WKH IROORZLQJ OHDNDJH FXUUHQW
FKHFNV WR SUHYHQW WKH FXVWRPHU IURP EHLQJ H[SRVHG WR
VKRFN KD]DUGV
/($.$*( &855(17 &2/' &+(&.
8QSOXJ WKH $& FRUG DQG FRQQHFW D MXPSHU EHWZHHQ WKH
WZR SURQJV RI WKH SOXJ
7XUQ RQ WKH UHFHLYHUV SRZHU VZLWFK
0HDVXUH WKH UHVLVWDQFH YDOXH ZLWK DQ RKPPHWHU
EHWZHHQ WKH MXPSHUHG $& SOXJ DQG HDFK H[SRVHG
PHWDOOLF FDELQHW SDUW RQ WKH UHFHLYHU VXFK DV VFUHZ
KHDGV DHULDOV FRQQHFWRUV FRQWURO VKDIWV HWF :KHQ WKH
H[SRVHG PHWDOOLFSDUWKDVDUHWXUQ SDWK WRWKH FKDVVLVWKH
UHDGLQJ VKRXOG EH EHWZHHQ 0 RKP DQG 0 RKP
:KHQ WKH H[SRVHG PHWDO GRHV QRW KDYH D UHWXUQ SDWK WR
WKH FKDVVLV WKH UHDGLQJ PXVW EH LQILQLWH
/($.$*( &855(17 +27 &+(&.
3OXJ WKH $& FRUG GLUHFWO\ LQWR WKH $& RXWOHW 'R QRW XVH
DQ LVRODWLRQ WUDQVIRUPHU IRU WKLV FKHFN
&RQQHFW D N
: UHVLVWRU LQ VHULHV ZLWK DQ H[SRVHG
PHWDOOLFSDUWRQWKH UHFHLYHUDQG DQHDUWK VXFKDV DZDWHU
SLSH
8VH DQ $& YROWPHWHU ZLWK KLJK LPSHGDQFH WR PHDVXUH
WKH SRWHQWLDO DFURVV WKH UHVLVWRU
&KHFN HDFK H[SRVHG 0HWDOOLFSDUW DQG FKHFN WKH YROWDJH
DW HDFK SRLQW
5HYHUVH WKH $& SOXJ DW WKH RXWOHW DQG UHSHDW HDFK RI WKH
DERYH PHDVXUHPHQWV
7KH SRWHQWLDO DW DQ\ SRLQW VKRXOG QRW H[FHHG 9UPV
,Q FDVH D PHDVXUHPHQW LV RXWVLGH WKH OLPLWV VSHFLILHG
WKHUH LV D SRVVLELOLW\ RI D VKRFN KD]DUG DQG WKH UHFHLYHU
VKRXOG EH UHSDLUHG DQG UHFKHFNHG EHIRUH LW LV UHWXUQHG
WR WKH FXVWRPHU
+27 &+(&. &,5&8,7
. RKP :
$& 92/70(7(5
:DWHU 3LSH
(DUWK
72 ,167580(176
(;326('
0(7$//,& 3$576
)LJ
;5$',$7,21 :$51,1*
7KH SRWHQWLDO VRXUFHV RI ; 5DGLDWLRQ LQ 79 VHWV DUH WKH
KLJK YROWDJH VHFWLRQ DQG WKH SLFWXUH WXEH
:KHQ XVLQJ D SLFWXUH WXEH WHVW MLJ IRUVHUYLFH HQVXUH WKDW
WKH MLJ LV FDSDEOH RI KDQGOLQJ N9 ZLWKRXW FDXVLQJ
;5DGLDWLRQ
127(
,W LV LPSRUWDQW WR XVH DQ DFFXUDWH SHULRGLFDOO\FDOLEUDWHG
KLJK YROWDJH PHWHU
6HW WKH EULJKWQHVV WR PLQLPXP
0HDVXUH WKH KLJK YROWDJH 7KH PHWHU VKRXOG LQGLFDWH
N9
á
N9 LI WKH PHWHU LQGLFDWLRQ LV RXW RI WROHUDQFH
LPPHGLDWH VHUYLFH DQG FRUUHFWLRQ LV UHTXLUHG WR SUHYHQW
WKH SRVVLELOLW\ RI SUHPDWXUH FRPSRQHQW IDLOXUH
7R SUHYHQW DQ\ ; 5DGLDWLRQ SRVVLELOLW\ LW LV HVVHQWLDO WR
XVH WKH VSHFLILHG WXEH
