6WDWHRI0LQQHVRWD &RXQW\RI:DVKLQJWRQ

'LVWULFW&RXUW WK-XGLFLDO'LVWULFW 3URVHFXWRU)LOH1R &RXUW)LOH1R

6WDWHRI0LQQHVRWD

&5 &5

&203/$,17

3ODLQWLII

6XPPRQV

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



67$7(0(172)352%$%/(&$86(  7KH&RPSODLQDQWVWDWHVWKDWWKHIROORZLQJIDFWVHVWDEOLVKSUREDEOHFDXVH 
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



6,*1$785(6$1'$33529$/6 &RPSODLQDQWUHTXHVWVWKDW'HIHQGDQWVXEMHFWWREDLORUFRQGLWLRQVRIUHOHDVHEH  DUUHVWHGRUWKDWRWKHUODZIXOVWHSVEHWDNHQWRREWDLQ'HIHQGDQW VDSSHDUDQFHLQFRXUWRU  GHWDLQHGLIDOUHDG\LQFXVWRG\SHQGLQJIXUWKHUSURFHHGLQJVDQGWKDWVDLG'HIHQGDQWRWKHUZLVH EHGHDOWZLWKDFFRUGLQJWRODZ &RPSODLQDQWGHFODUHVXQGHUSHQDOW\RISHUMXU\WKDWHYHU\WKLQJVWDWHGLQWKLVGRFXPHQWLVWUXHDQG FRUUHFW0LQQ6WDW†0LQQ5&ULP3VXEGV &RPSODLQDQW

7HUHQFH5D\PRQG 3ROLFH2IILFHU 5DYLQH3DUNZD\6RXWK \ 3DUNZD\6 &RWWDJH*URYH01 &RWWDJH*U *URY *U RYH YH H 01     %DGJH %DGJ JH H   

(OHFWURQLFDOO\6LJQHG $0 :DVKLQJWRQ&RXQW\01 J \

%HLQJDXWKRUL]HGWRSURVHFXWHWKHRIIHQVHVFKDUJHG,DSSURYHWKLVFRPSODLQW HGWRSU S RV SU RVHF HFXW XWH H WWK KH RI RIIH IHQV QVVHV HV FK KD DUJ UJHG HG G,, D DS SSU SURY URY RYH WK WKLVV FRP WKLV PSO S DL D QWW 3URVHFXWLQJ$WWRUQH\ -HVVLFD/6WRWW WWRUQ UQH\ -H UQH\ UQ -HVV HVVVVLFFD D / / 6WR WRWW RWWW 32%R[ 3 32 2 %R R[[  QG6WUHHW1RUWK        QG QG 6WWUUHH HW1RUWK 6WLOOZDWHU01 6 6WLO 6W WLOLOOZ LOOZ ZD DWWHU WHUU0 01  01          



(OHFWURQLFDOO\6LJQHG (OOHFFWWUUURQ ( R LFDO DOOO\\ 6LLJ JQH QHG QHG G $0        $0

),1',1*2)352%$%/(&$86( )URP WKH DERYH VZRUQ IDFWV DQG DQ\ VXSSRUWLQJ DIILGDYLWV RU VXSSOHPHQWDO VZRUQ WHVWLPRQ\ , WKH ,VVXLQJ 2IILFHU KDYH GHWHUPLQHG WKDW SUREDEOH FDXVH H[LVWV WR VXSSRUW VXEMHFW WR EDLO RU FRQGLWLRQV RI UHOHDVH ZKHUH DSSOLFDEOH 'HIHQGDQW¶V DUUHVW RU RWKHU ODZIXO VWHSV EH WDNHQ WR REWDLQ 'HIHQGDQW¶V DSSHDUDQFH LQ FRXUW RU 'HIHQGDQW¶V GHWHQWLRQ LI DOUHDG\ LQ FXVWRG\ SHQGLQJIXUWKHUSURFHHGLQJV'HIHQGDQWLVWKHUHIRUHFKDUJHGZLWKWKHDERYHVWDWHGRIIHQVHV 

; 6800216 7+(5()25(<287+('()(1'$17$5(680021('WRDSSHDURQBBBBBBBBBBBBBBBBDWBBBBB$030 EHIRUHWKHDERYHQDPHGFRXUWDWQG6WUHHW132%R[6WLOOZDWHU01WRDQVZHUWKLV FRPSODLQW ,)<28)$,/72$33($5LQUHVSRQVHWRWKLV6800216D:$55$17)25<285$55(67VKDOOEHLVVXHG

:$55$17 7R WKH 6KHULII RI WKH DERYHQDPHG FRXQW\ RU RWKHU SHUVRQ DXWKRUL]HG WR H[HFXWH WKLV ZDUUDQW , RUGHU LQ WKH QDPH RI WKH 6WDWH RI 0LQQHVRWD WKDW WKH 'HIHQGDQW EH DSSUHKHQGHG DQG DUUHVWHG ZLWKRXW GHOD\ DQG EURXJKW SURPSWO\ EHIRUH WKH FRXUW LI LQ VHVVLRQ  DQG LI QRW EHIRUH D -XGJH RU -XGLFLDO 2IILFHU RI VXFK FRXUW ZLWKRXW XQQHFHVVDU\ GHOD\ DQG LQ DQ\ HYHQW QRW ODWHU WKDQ KRXUVDIWHUWKHDUUHVWRUDVVRRQDVVXFK-XGJHRU-XGLFLDO2IILFHULVDYDLODEOHWREHGHDOWZLWKDFFRUGLQJWRODZ ([HFXWHLQ012QO\

([HFXWH1DWLRQZLGH

([HFXWHLQ%RUGHU6WDWHV

25'(52)'(7(17,21 6LQFH WKH 'HIHQGDQW LV DOUHDG\ LQ FXVWRG\ , RUGHU VXEMHFW WR EDLO RU FRQGLWLRQV RI UHOHDVH WKDW WKH 'HIHQGDQW FRQWLQXH WR EH GHWDLQHGSHQGLQJIXUWKHUSURFHHGLQJV %DLO &RQGLWLRQVRI5HOHDVH 7KLVFRPSODLQWGXO\VXEVFULEHGDQGVZRUQWRRUVLJQHGXQGHUSHQDOW\RISHUMXU\LVLVVXHGE\WKHXQGHUVLJQHG-XGLFLDO2IILFHU DVRIWKHIROORZLQJGDWH2FWREHU *UHJRU\**DOOHU 'LVWULFW&RXUW-XGJH

-XGLFLDO2IILFHU

(OHFWURQLFDOO\6LJQHG30

6ZRUQWHVWLPRQ\KDVEHHQJLYHQEHIRUHWKH-XGLFLDO2IILFHUE\WKHIROORZLQJZLWQHVVHV  &2817<2):$6+,1*721 67$7(2)0,11(627$

6WDWHRI0LQQHVRWD /$:(1)25&(0(172)),&(55(78512)6(59,&(

3ODLQWLII

,KHUHE\&HUWLI\DQG5HWXUQWKDW,KDYHVHUYHGDFRS\RIWKLV 6XPPRQVXSRQWKH'HIHQGDQWKHUHLQQDPHG

YV

6LJQDWXUHRI$XWKRUL]HG6HUYLFH$JHQW

-HUHPLDK4XDQ7XUQHU 'HIHQGDQW