You are on page 1of 5

5HSXEOLFRIWKH3KLOLSSLQHV

+286(2)5(35(6(17$7,9(6
4XH]RQ&LW\0HWUR0DQLOD

 &21*5(66
7+

58/(62)352&('85(,1
,03($&+0(17352&((',1*6

1 58/(,
2 $33/,&$%,/,7<2)58/(6

3 6HFWLRQ  $SSOLFDELOLW\ RI 5XOHV  7KHVH 5XOHV VKDOO DSSO\ WR DOO SURFHHGLQJV IRU
4 LPSHDFKPHQWLQWKH+RXVHRI5HSUHVHQWDWLYHVDJDLQVWWKH3UHVLGHQW9LFH3UHVLGHQW
5 WKH0HPEHUVRIWKH6XSUHPH&RXUWWKH0HPEHUVRIWKH&RQVWLWXWLRQDO&RPPLVVLRQV
6 DQGWKH2PEXGVPDQIRUFXOSDEOHYLRODWLRQRIWKH&RQVWLWXWLRQWUHDVRQEULEHU\JUDIW
7 DQGFRUUXSWLRQRWKHUKLJKFULPHVRUEHWUD\DORISXEOLFWUXVW

8 58/(,,
9 ,1,7,$7,1*,03($&+0(17

10 6HFWLRQ   0RGH RI ,QLWLDWLQJ ,PSHDFKPHQW   ,PSHDFKPHQW VKDOO EH LQLWLDWHG E\
WKHILOLQJDQGVXEVHTXHQWUHIHUUDOWRWKH&RPPLWWHHRQ-XVWLFHRI 

11

12 D  DYHULILHGFRPSODLQWIRULPSHDFKPHQWILOHGE\DQ\0HPEHURIWKH+RXVH
13 RI5HSUHVHQWDWLYHVRU

14 E  DYHULILHGFRPSODLQWILOHGE\DQ\FLWL]HQXSRQDUHVROXWLRQRIHQGRUVHPHQW
15 E\DQ\0HPEHUWKHUHRIRU

16 F  DYHULILHGFRPSODLQWRUUHVROXWLRQRILPSHDFKPHQWILOHGE\DWOHDVWRQHWKLUG
17  RIDOOWKH0HPEHUVRIWKH+RXVH

18 6HFWLRQ   )LOLQJ DQG 5HIHUUDO RI 9HULILHG &RPSODLQWV    $ YHULILHG FRPSODLQW IRU
19 LPSHDFKPHQW E\ D 0HPEHU RI WKH +RXVH RU E\ DQ\ FLWL]HQ XSRQ D UHVROXWLRQ RI
20 HQGRUVHPHQWE\DQ\0HPEHUWKHUHRIVKDOOEHILOHGZLWKWKHRIILFHRIWKH6HFUHWDU\*HQHUDO
21 DQGLPPHGLDWHO\UHIHUUHGWRWKH6SHDNHU

22 7KH6SHDNHUVKDOOKDYHLWLQFOXGHGLQWKH2UGHURI%XVLQHVVZLWKLQWHQ  VHVVLRQ
23 GD\VIURPUHFHLSW,WVKDOOWKHQEHUHIHUUHGWRWKH&RPPLWWHHRQ-XVWLFHZLWKLQWKUHH  
24 VHVVLRQGD\VWKHUHDIWHU


7KH 6XSUHPH &RXUW GHFLVLRQ LQ )UDQFLVFR HW DO YV +RXVH RI 5HSUHVHQWDWLYHV *5 1R   1RYHPEHU   VWDWHV WKDW

,PSHDFKPHQWSURFHHGLQJVDUHLQLWLDWHGXSRQILOLQJRIWKHFRPSODLQWDQGRUUHVROXWLRQDQGLWVUHIHUUDOWRWKH&RPPLWWHHRQ-XVWLFH

1
1 58/(,,,
2 ),1',1*$352%$%/(&$86(

3 $&200,77((352&((',1*6
 
4 6HFWLRQ'HWHUPLQDWLRQRI6XIILFLHQF\LQ)RUPDQG6XEVWDQFH8SRQGXH
5 UHIHUUDOWKH&RPPLWWHHRQ-XVWLFHVKDOOGHWHUPLQHZKHWKHUWKHFRPSODLQWLVVXIILFLHQWLQ
6 IRUP DQG  VXEVWDQFH   ,I  WKH  FRPPLWWHH  ILQGV  WKDW WKH   FRPSODLQW LV LQVXIILFLHQW  LQ
7 IRUPLWVKDOOUHWXUQWKHVDPHWRWKH6HFUHWDU\*HQHUDOZLWKLQWKUHH  VHVVLRQGD\V
8 ZLWKDZULWWHQH[SODQDWLRQRIWKHLQVXIILFLHQF\7KH6HFUHWDU\*HQHUDOVKDOOUHWXUQWKH
9 VDPH WR WKH FRPSODLQDQW  RU  FRPSODLQDQWV WRJHWKHU  ZLWK  WKH FRPPLWWHH
V ZULWWHQ
10 H[SODQDWLRQZLWKLQWKUHH  VHVVLRQGD\VIURPUHFHLSWRIWKHFRPPLWWHHUHVROXWLRQILQGLQJ
11 WKHFRPSODLQWLQVXIILFLHQWLQIRUP

12 6KRXOGWKHFRPPLWWHHILQGWKHFRPSODLQWVXIILFLHQWLQIRUPLWVKDOOWKHQGHWHUPLQHLI
13 WKHFRPSODLQWLVVXIILFLHQWLQVXEVWDQFH7KHUHTXLUHPHQWRIVXEVWDQFHLVPHWLIWKHUHLVD
14 UHFLWDORIIDFWVFRQVWLWXWLQJWKHRIIHQVHFKDUJHGDQGGHWHUPLQDWLYHRIWKHMXULVGLFWLRQRIWKH
15 FRPPLWWHH,IWKHFRPPLWWHHILQGVWKDWWKHFRPSODLQWLVQRWVXIILFLHQWLQVXEVWDQFHLWVKDOO
16 GLVPLVVWKHFRPSODLQWDQGVKDOOVXEPLWLWVUHSRUWDVSURYLGHGKHUHXQGHU

17 6HFWLRQ1RWLFHWR5HVSRQGHQWDQG7LPHWR3OHDG,IWKHFRPPLWWHHILQGVWKH
18 FRPSODLQW VXIILFLHQW LQ  IRUP  DQG VXEVWDQFH LW VKDOO LPPHGLDWHO\ IXUQLVK WKH UHVSRQGHQW
19 ZLWKDFRS\RIWKHUHVROXWLRQDQGRUYHULILHGFRPSODLQWDVWKHFDVHPD\EHZLWKZULWWHQ
20 QRWLFH WKDW KH VKDOO  DQVZHU  WKH FRPSODLQW ZLWKLQ WHQ   GD\V IURP UHFHLSW RI QRWLFH
21 WKHUHRIDQGVHUYHDFRS\RIWKHDQVZHUWRWKHFRPSODLQDQWRUFRPSODLQDQWV1R
22 PRWLRQWRGLVPLVVVKDOOEHDOORZHGZLWKLQWKHSHULRGWRDQVZHUWKHFRPSODLQW
 
23 7KHDQVZHUZKLFKVKDOOEHXQGHURDWKPD\LQFOXGHDIILUPDWLYHGHIHQVHV,IWKH
24 UHVSRQGHQWIDLOVRUUHIXVHVWRILOHDQDQVZHUZLWKLQWKHUHJOHPHQWDU\SHULRGKHLVGHHPHG
25 WRKDYHLQWHUSRVHGDJHQHUDOGHQLDOWRWKHFRPSODLQW:LWKLQWKUHH  GD\VIURPUHFHLSW
26 RI  WKH   DQVZHU   WKH FRPSODLQDQW PD\ ILOH D UHSO\ VHUYLQJ D FRS\ WKHUHRI WR  WKH
27 UHVSRQGHQW  ZKR PD\ ILOH D UHMRLQGHU ZLWKLQ WKUHH  GD\VIURPUHFHLSWRIWKHUHSO\
28 VHUYLQJDFRS\WKHUHRIWRWKHFRPSODLQDQWRUFRPSODLQDQWV,IWKHFRPSODLQDQWIDLOVWR
29 ILOHDUHSO\DOOWKHPDWHULDODOOHJDWLRQVLQWKHDQVZHUDUHGHHPHGFRQWURYHUWHG7RJHWKHU
30 ZLWKWKHLUSOHDGLQJVWKHSDUWLHVVKDOOILOHWKHLUDIILGDYLWVRUFRXQWHUDIILGDYLWVDVWKH
31 FDVHPD\EHZLWKWKHLUGRFXPHQWDU\HYLGHQFH6XFKDIILGDYLWVRUFRXQWHUDIILGDYLWVVKDOO
32 EH VXEVFULEHG EHIRUH WKH  FKDLUPDQ RI WKH &RPPLWWHH RQ -XVWLFH RU  WKH  6HFUHWDU\
33 *HQHUDO1RWZLWKVWDQGLQJDOOWKHIRUHJRLQJIDLOXUHRIDQ\UHVSRQGHQWWRILOHDQDQVZHU
34 ZLOOQRWSUHFOXGHKLPIURPSUHVHQWLQJHYLGHQFHLQVXSSRUWRIKLVGHIHQVHV

35  :KHQWKHUHDUHPRUHWKDQRQHUHVSRQGHQWHDFKVKDOOEHIXUQLVKHGZLWKDFRS\
36 RI  WKH YHULILHG FRPSODLQW IURP D PHPEHU RI  WKH +RXVH  RU  D FRS\ RI WKH YHULILHG
37 FRPSODLQW IURPDSULYDWHFLWL]HQWRJHWKHUZLWKWKHUHVROXWLRQRIHQGRUVHPHQWE\D
38 PHPEHU RI WKH +RXVH RI 5HSUHVHQWDWLYHV DQG  D  ZULWWHQ QRWLFH  WR DQVZHU DQG LQ WKDW
39 FDVHUHIHUHQFHWRUHVSRQGHQWLQWKHVH5XOHVVKDOOEHXQGHUVWRRGDVUHVSRQGHQWV


2
1 6HFWLRQ6XEPLVVLRQRI(YLGHQFHDQG0HPRUDQGD$IWHUUHFHLSWRIWKH
2 SOHDGLQJV DQG DIILGDYLWV DQG FRXQWHUDIILGDYLWV DQG UHOHYDQW GRFXPHQWV SURYLGHG IRU LQ
3 6HFWLRQ  RU WKH H[SLUDWLRQ RI WKH WLPH ZLWKLQ ZKLFK WKH\ PD\ EH ILOHG WKH &RPPLWWHH
4 VKDOOGHWHUPLQHZKHWKHUWKHFRPSODLQWDOOHJHVVXIILFLHQWJURXQGVIRULPSHDFKPHQW
 
5 ,ILWILQGVWKDWVXIILFLHQWJURXQGVIRULPSHDFKPHQWGRQRWH[LVWWKH&RPPLWWHHVKDOO
6 GLVPLVVWKHFRPSODLQWDQGVXEPLWWKHUHSRUWUHTXLUHGKHUHXQGHU,IWKH&RPPLWWHHILQGV
7 WKDWVXIILFLHQWJURXQGVIRULPSHDFKPHQWH[LVWWKH&RPPLWWHHVKDOOFRQGXFWDKHDULQJ7R
8 WKDWHQGWKH&RPPLWWHHWKURXJKWKHFKDLUPDQPD\OLPLWWKHSHULRGRIH[DPLQDWLRQDQG
9 FURVVH[DPLQDWLRQ  7KH &RPPLWWHH VKDOO KDYH WKH SRZHU WR LVVXH FRPSXOVRU\ SURFHVVHV
10 IRU WKH  DWWHQGDQFH RI  ZLWQHVVHV  DV ZHOO DV WKH SURGXFWLRQ  RI  GRFXPHQWV  DQG RWKHU
11 UHODWHGHYLGHQFH

12  7KH KHDULQJ EHIRUH WKH &RPPLWWHH VKDOO EH RSHQ WR WKH SXEOLF H[FHSW ZKHQ WKH
13 VHFXULW\ RI WKH 6WDWH RU SXEOLF LQWHUHVW UHTXLUHV WKDW WKH KHDULQJ EH KHOG LQ H[HFXWLYH
14 VHVVLRQ
 
15 $IWHUWKHVXEPLVVLRQRIHYLGHQFHWKH&RPPLWWHHPD\UHTXLUHWKHVXEPLVVLRQRI
16 PHPRUDQGDDIWHUZKLFKWKHPDWWHUVKDOOEHVXEPLWWHGIRUUHVROXWLRQ

17 6HFWLRQ3URWHFWLRQWR&RPSODLQDQWRU:LWQHVV7KH+RXVHPD\XSRQSURSHU
18 SHWLWLRQ SURYLGH DGHTXDWH SURWHFWLRQ WR D FRPSODLQDQW RU ZLWQHVV LI LW LV VKRZQ WKDW KLV
19 SHUVRQDO VDIHW\  LV  LQ MHRSDUG\ EHFDXVH RI KLV SDUWLFLSDWLRQ  LQ  DQ LPSHDFKPHQW
20 SURFHHGLQJ
 
21 6HFWLRQ   5HSRUW DQG 5HFRPPHQGDWLRQ  7KH &RPPLWWHH  RQ -XVWLFH  DIWHU
22 KHDULQJDQGE\DPDMRULW\YRWHRIDOOLWVPHPEHUVVKDOOVXEPLWLWVUHSRUWWRWKH+RXVH
23 FRQWDLQLQJ LWV ILQGLQJV DQG UHFRPPHQGDWLRQV ZLWKLQ VL[W\   VHVVLRQ GD\V  IURP WKH
24 UHIHUUDOWRLWRIWKHYHULILHGFRPSODLQWDQGRUUHVROXWLRQ7RJHWKHUZLWKWKHUHSRUW
25 VKDOOEHDIRUPDOUHVROXWLRQRIWKHFRPPLWWHHUHJDUGLQJWKHGLVSRVLWLRQRIWKHFRPSODLQW
26 ZKLFK VKDOO EH FDOHQGDUHG IRU FRQVLGHUDWLRQ E\ WKH +RXVH ZLWKLQ WHQ   VHVVLRQ GD\V
27 IURPUHFHLSWWKHUHRI

28 ,IWKH&RPPLWWHHILQGVE\DYRWHRIWKHPDMRULW\RIDOOLWVPHPEHUVWKDWDSUREDEOH
29 FDXVH H[LVWV LW  VKDOO  VXEPLW ZLWK  LWV UHSRUW D UHVROXWLRQ VHWWLQJ IRUWK WKH DUWLFOHV  RI
30 LPSHDFKPHQWRQWKHEDVLVRIWKHHYLGHQFHDGGXFHGEHIRUHWKH&RPPLWWHH2WKHUZLVH
31 WKHFRPSODLQWVKDOOEHGLVPLVVHGVXEMHFWWR6HFWLRQRIWKHVH5XOHV

32 6HFWLRQ5HSRUWWREH&DOHQGDUHG7KH&RPPLWWHHRQ5XOHVVKDOOFDOHQGDUWKH
33 UHSRUW  DQG  WKH   DFFRPSDQ\LQJ UHVROXWLRQ  RI  WKH  &RPPLWWHH  RQ  -XVWLFH  UHJDUGLQJ
34 WKH GLVSRVLWLRQ RI WKH FRPSODLQW LQ DFFRUGDQFH ZLWK WKH 5XOHV RI WKH  +RXVH RI
35 5HSUHVHQWDWLYHV  7KH +RXVH VKDOO  GLVSRVH  RI WKH UHSRUW ZLWKLQ VL[W\   VHVVLRQ GD\V
36 IURPLWVVXEPLVVLRQE\WKH&RPPLWWHHRQ-XVWLFH


3
1 % +286($&7,21

2 6HFWLRQ9RWH5HTXLUHGIRU$SSURYDO$YRWHRIDWOHDVWRQHWKLUG  RIDOO
3 WKH PHPEHUV RI WKH +RXVH LV QHFHVVDU\ IRU  WKH  DSSURYDO  RI  WKH  UHVROXWLRQ  VHWWLQJ
4 IRUWKWKHDUWLFOHVRILPSHDFKPHQW,IWKHUHVROXWLRQLVDSSURYHGE\WKHUHTXLUHGYRWHLW
5 VKDOOWKHQEHHQGRUVHGWRWKH6HQDWHIRULWVWULDO 

6 2Q WKH RWKHU KDQG VKRXOG WKH  UHVROXWLRQ IDLO  WR VHFXUH WKH DSSURYDO E\ WKH
7 UHTXLUHGYRWHWKHVDPHVKDOOUHVXOWLQWKHGLVPLVVDORIWKHFRPSODLQWIRULPSHDFKPHQW

8 6HFWLRQ:KHUH'LVPLVVDO5HFRPPHQGHG:KHQWKHUHSRUWRIWKH&RPPLWWHH
9 RQ -XVWLFH GLVPLVVHV WKH  FRPSODLQW  LW VKDOO VXEPLW WR WKH +RXVH D UHVROXWLRQ IRU WKH
10 GLVPLVVDORIWKHYHULILHGFRPSODLQWDQGRUUHVROXWLRQRILPSHDFKPHQW$YRWHRIDWOHDVW
11 RQHWKLUG   RI DOO WKH PHPEHUV RI WKH  +RXVH VKDOO  EH  QHFHVVDU\ WR RYHUULGH VXFK
12 UHVROXWLRQLQZKLFKFDVHWKH&RPPLWWHHRQ-XVWLFHVKDOOIRUWKZLWKSUHSDUHWKHDUWLFOHV
13 RILPSHDFKPHQW

14 6HFWLRQ9RWHE\5ROO&DOO7KHYRWLQJRQDIDYRUDEOHUHVROXWLRQZLWKWKHDUWLFOHVRI
15 LPSHDFKPHQW RI WKH &RPPLWWHH RQ -XVWLFH RU D FRQWUDU\ UHVROXWLRQ VKDOO EH E\ UROO  FDOO
16 DQGWKH6HFUHWDU\*HQHUDOVKDOOUHFRUGWKHYRWHRIHDFKPHPEHU

17 58/(,9
18 9(5,),('&203/$,175(62/87,21
19 %<21(7+,5'2)0(0%(56
 
20 6HFWLRQ(QGRUVHPHQWRIWKH&RPSODLQW5HVROXWLRQWRWKH6HQDWH$YHULILHG
21 FRPSODLQW UHVROXWLRQ RI LPSHDFKPHQW ILOHG  E\ DW  OHDVW  RQHWKLUG   RI DOO WKH
22 PHPEHUVRIWKH+RXVHVKDOOFRQVWLWXWHWKHDUWLFOHVRILPSHDFKPHQWDQGLQWKLVFDVHWKH
23 YHULILHGFRPSODLQWUHVROXWLRQVKDOOEHHQGRUVHGWRWKH6HQDWHLQWKHVDPHPDQQHUDVDQ
24 DSSURYHGELOORIWKH+RXVH

25  7KHFRPSODLQWUHVROXWLRQPXVWDWWKHWLPHRIILOLQJEHYHULILHGDQGVZRUQWREHIRUH
26 WKH6HFUHWDU\*HQHUDOE\HDFKRIWKHPHPEHUVFRQVWLWXWLQJDWOHDVWRQHWKLUG  RI
27 DOOWKHPHPEHUVRIWKH+RXVH

28  7KHFRQWHQWVRIWKHYHULILFDWLRQVKDOOEHDVIROORZV

29 ³:H DIWHU EHLQJ VZRUQ LQ DFFRUGDQFH ZLWK ODZ GHSRVH DQG VWDWH 7KDW ZH
30 DUH WKH FRPSODLQDQWV LQ WKH DERYHHQWLWOHG FRPSODLQWUHVROXWLRQ RI
31 LPSHDFKPHQW WKDW ZH KDYH FDXVHG WKH VDLG FRPSODLQWUHVROXWLRQ WR EH
32 SUHSDUHG DQG KDYH UHDG WKH FRQWHQWV WKHUHRI DQG WKDW WKH DOOHJDWLRQV
33 WKHUHLQ DUH WUXH RI RXU RZQ  NQRZOHGJH DQG EHOLHI  RQ WKH EDVLV RI RXU
34 UHDGLQJDQGDSSUHFLDWLRQRIGRFXPHQWVDQGRWKHUUHFRUGVSHUWLQHQWWKHUHWR

35         BBBBBBBBBBBBBB´
36        6LJQDWXUH 

4
1 58/(9
2 %$5$*$,167,03($&+0(17

3 6HFWLRQ6FRSHRI%DU1RLPSHDFKPHQWSURFHHGLQJVVKDOOEHLQLWLDWHGDJDLQVWWKH
4 VDPHRIILFLDOPRUHWKDQRQFHZLWKLQWKHSHULRGRIRQH  \HDU

5 58/(9,
6 3526(&8725,1$//
7 ,03($&+0(17352&((',1*6

8 6HFWLRQ,PSHDFKPHQW3URVHFXWRU7KH+RXVHRI5HSUHVHQWDWLYHVVKDOODFW
9 DVWKHVROHSURVHFXWRUDWWKHWULDOLQWKH6HQDWHWKURXJKDFRPPLWWHHRIHOHYHQ  
10 PHPEHUVWKHUHRIWREHHOHFWHGE\DPDMRULW\YRWH

11  58/(9,,
12 $33/,&$%,/,7<2)7+(58/(62)&5,0,1$/352&('85(

13 6HFWLRQ5XOHVRI3URFHGXUH7KH5XOHVRI&ULPLQDO3URFHGXUHXQGHUWKH5XOHV
14 RI  &RXUW  VKDOO DV IDU  DV  SUDFWLFDEOH  DSSO\  WR LPSHDFKPHQW SURFHHGLQJV EHIRUH WKH
15 +RXVH

16 $GRSWHG$XJXVW

You might also like