6'6 1XPEHU $SSURYHG5HYLVHG -XO 9HUVLRQ
0DWHULDO &,&$75,1 32:'(5
6$)(7< '$7$ 6+((7
,'(17,),&$7,21 2) 7+( 68%67$1&(35(3$5$7,21 $1' 2) 7+(
&203$1<81'(57$.,1*
0DWHULDO &,&$75,1 32:'(5
&,&$75,1 32:'(5 *
&,&$75,1 32:'(5 *
&,&$75,1 32
6\QRQ\PV
&87$1(2
&,&75,1 32/92
=,1& %$&,75$&,1 $1' 1(20<&,1
68/)$7( )2508/$7(' 352'8&7
*OD[R6PLWK.OLQH &RUSRUDWH (QYLURQPHQW +HDOWK 6DIHW\
&RPSDQ\ 1DPH
*UHDW :HVW 5RDG
%UHQWIRUG 0LGGOHVH[ 7: *6 8.
8. *HQHUDO ,QIRUPDWLRQ
7UDQVSRUW (PHUJHQF\ (8
0HGLFDO (PHUJHQF\ ([W
,QIRUPDWLRQ DQG $GYLFH 86 QXPEHU DYDLODEOH KRXUV
0XOWLODQJXDJH UHVSRQVH
*OD[R6PLWK.OLQH &RUSRUDWH (QYLURQPHQW +HDOWK 6DIHW\
5HQDLVVDQFH %OYG 6XLWH
.LQJ RI 3UXVVLD 3$ 86
86 *HQHUDO ,QIRUPDWLRQ
7UDQVSRUW (PHUJHQF\ QRQ (8
86 QXPEHU DYDLODEOH KRXUV
0XOWLODQJXDJH UHVSRQVH
&20326,7,21 ,1)250$7,21 21 ,1*5(',(176
3HUFHQWDJH
,QJUHGLHQWV &$6 51
=,1& %$&,75$&,1 1RW $SSOLFDEOH
1(20<&,1 68/)$7( 1RW $SSOLFDEOH
121+$=$5'286 ,1*5(',(176
8QDVVLJQHG
+$=$5'6 ,'(17,),&$7,21
$VVXPH WKDW WKLV SURGXFW LV FDSDEOH RI VXVWDLQLQJ FRPEXVWLRQ
)LUH DQG ([SORVLRQ
+DQGOLQJ WKLV SURGXFW LQ LWV ILQDO IRUP SUHVHQWV PLQLPDO ULVN IURP
+HDOWK
RFFXSDWLRQDO H[SRVXUH
+HDOWK HIIHFWV LQIRUPDWLRQ LV EDVHG RQ KD]DUGV RI FRPSRQHQWV 0D\ SURGXFH
DOOHUJLF VNLQ UHDFWLRQV
5HVSLUDWRU\ DOOHUJHQ
3RVVLEOH HIIHFWV RI RYHUH[SRVXUH LQ WKH ZRUNSODFH LQFOXGH QDXVHD YRPLWLQJ
GLDUUKRHD
1R LQIRUPDWLRQ LV DYDLODEOH DERXW WKH SRWHQWLDO RI WKLV SURGXFW WR SURGXFH
(QYLURQPHQW
DGYHUVH HQYLURQPHQWDO HIIHFWV
3DJH
6'6 1XPEHU $SSURYHG5HYLVHG -XO 9HUVLRQ
0DWHULDO &,&$75,1 32:'(5
),567$,' 0($685(6
1HYHU DWWHPSW WR LQGXFH YRPLWLQJ 'R QRW DWWHPSW WR JLYH DQ\ VROLG RU OLTXLG
,QJHVWLRQ
E\ PRXWK LI WKH H[SRVHG VXEMHFW LV XQFRQVFLRXV RU VHPLFRQVFLRXV :DVK
RXW WKH PRXWK ZLWK ZDWHU ,I WKH H[SRVHG VXEMHFW LV IXOO\ FRQVFLRXV JLYH
SOHQW\ RI ZDWHU WR GULQN 2EWDLQ PHGLFDO DWWHQWLRQ
3K\VLFDO IRUP VXJJHVWV WKDW ULVN RI LQKDODWLRQ H[SRVXUH LV QHJOLJLEOH
,QKDODWLRQ
8VLQJ DSSURSULDWH SHUVRQDO SURWHFWLYH HTXLSPHQW UHPRYH FRQWDPLQDWHG
6NLQ &RQWDFW
FORWKLQJ DQG IOXVK H[SRVHG DUHD ZLWK ODUJH DPRXQWV RI ZDWHU 2EWDLQ
PHGLFDO DWWHQWLRQ LI VNLQ UHDFWLRQ RFFXUV ZKLFK PD\ EH LPPHGLDWH RU
GHOD\HG
:DVK LPPHGLDWHO\ ZLWK FOHDQ DQG JHQWO\ IORZLQJ ZDWHU &RQWLQXH IRU DW OHDVW
(\H &RQWDFW
PLQXWHV 2EWDLQ PHGLFDO DWWHQWLRQ
127(6 72 +($/7+ 352)(66,21$/6
7UHDW DFFRUGLQJ WR ORFDOO\ DFFHSWHG SURWRFROV )RU DGGLWLRQDO JXLGDQFH UHIHU
0HGLFDO 7UHDWPHQW
WR WKH FXUUHQW SUHVFULELQJ LQIRUPDWLRQ RU WR WKH ORFDO SRLVRQ FRQWURO
LQIRUPDWLRQ FHQWUH 0HGLFDO WUHDWPHQW LQ FDVHV RI RYHUH[SRVXUH VKRXOG EH
WUHDWHG DV DQ RYHUGRVH RI DQ DQWLELRWLF ,Q DOOHUJLF LQGLYLGXDOV H[SRVXUH WR
WKLV PDWHULDO PD\ UHTXLUH WUHDWPHQW IRU LQLWLDO RU GHOD\HG DOOHUJLF V\PSWRPV
DQG VLJQV 7KLV PD\ LQFOXGH LPPHGLDWH DQGRU GHOD\HG WUHDWPHQW RI
DQDSK\ODFWLF UHDFWLRQV
5HIHU WR SUHVFULELQJ LQIRUPDWLRQ IRU GHWDLOHG GHVFULSWLRQ RI PHGLFDO
0HGLFDO &RQGLWLRQV
FRQGLWLRQV FDXVHG E\ RU DJJUDYDWHG E\ RYHUH[SRVXUH WR WKLV SURGXFW 2FXODU
&DXVHG RU $JJUDYDWHG
V\PSWRPV PD\ EH LQGLFDWLYH RI DOOHUJLF UHDFWLRQ 3XOPRQDU\ V\PSWRPV PD\
E\ ([SRVXUH
LQGLFDWH DOOHUJLF UHDFWLRQ RU DVWKPD
3UHSODFHPHQW DQG SHULRGLF KHDOWK VXUYHLOODQFH LV QRW XVXDOO\ LQGLFDWHG 7KH
+HDOWK 6XUYHLOODQFH
ILQDO GHWHUPLQDWLRQ RI WKH QHHG IRU KHDOWK VXUYHLOODQFH VKRXOG EH GHWHUPLQHG
3URFHGXUHV
E\ ORFDO ULVN DVVHVVPHQW ([SRVHG LQGLYLGXDOV DUH HQFRXUDJHG WR UHSRUW
V\PSWRPV RI VNLQ DQG UHVSLUDWRU\ LUULWDWLRQ WR DQ RFFXSDWLRQDO KHDOWK
SURIHVVLRQDO RU OLQH PDQDJHPHQW 7KHVH V\PSWRPV PD\ LQFOXGH EXW DUH QRW
OLPLWHG WR VNLQ FRQGLWLRQV EURQFKLWLV DVWKPD RU QDVDO LUULWDWLRQ
1R VSHFLILF DQWLGRWHV DUH UHFRPPHQGHG
$QWLGRWHV
),5(),*+7,1* 0($685(6
)LUH DQG ([SORVLRQ +D]DUGV 1RW H[SHFWHG IRU WKH SURGXFW DOWKRXJK WKH SDFNDJLQJ LV FRPEXVWLEOH
:DWHU RU IRDP H[WLQJXLVKHUV DUH UHFRPPHQGHG &DUERQ GLR[LGH RU GU\
([WLQJXLVKLQJ 0HGLD
SRZGHU H[WLQJXLVKHUV PD\ EH LQHIIHFWLYH
)RU VLQJOH XQLWV SDFNDJHV 1R VSHFLDO UHTXLUHPHQWV QHHGHG
6SHFLDO )LUHILJKWLQJ
)RU ODUJHU DPRXQWV PXOWLSOH SDFNDJHVSDOOHWV RI SURGXFW 6LQFH WR[LF
3URFHGXUHV
FRUURVLYH RU IODPPDEOH YDSRXUV PLJKW EH HYROYHG IURP ILUHV LQYROYLQJ WKLV
SURGXFW DQG DVVRFLDWHG SDFNDJLQJ VHOI FRQWDLQHG EUHDWKLQJ DSSDUDWXV DQG
IXOO SURWHFWLYH HTXLSPHQW DUH UHFRPPHQGHG IRU ILUHILJKWHUV
,I SRVVLEOH FRQWDLQ DQG FROOHFW ILUHILJKWLQJ ZDWHU IRU ODWHU GLVSRVDO
7R[LF FRUURVLYH RU IODPPDEOH WKHUPDO GHFRPSRVLWLRQ SURGXFWV DUH H[SHFWHG
+D]DUGRXV &RPEXVWLRQ
ZKHQ WKH SURGXFW LV H[SRVHG WR ILUH
3URGXFWV
$&&,'(17$/ 5(/($6( 0($685(6
:HDU SURWHFWLYH FORWKLQJ DQG HTXLSPHQW FRQVLVWHQW ZLWK WKH GHJUHH RI
3HUVRQDO 3UHFDXWLRQV
KD]DUG
)RU ODUJH VSLOOV WDNH SUHFDXWLRQV WR SUHYHQW HQWU\ LQWR ZDWHUZD\V VHZHUV RU
(QYLURQPHQWDO 3UHFDXWLRQV
VXUIDFH GUDLQDJH V\VWHPV
&ROOHFW DQG SODFH LW LQ D VXLWDEOH SURSHUO\ ODEHOOHG FRQWDLQHU IRU UHFRYHU\ RU
&OHDQXS 0HWKRGV
GLVSRVDO
3DJH
6'6 1XPEHU $SSURYHG5HYLVHG -XO 9HUVLRQ
0DWHULDO &,&$75,1 32:'(5
1R VSHFLILF GHFRQWDPLQDWLRQ RU GHWR[LILFDWLRQ SURFHGXUHV KDYH EHHQ
'HFRQWDPLQDWLRQ
LGHQWLILHG IRU WKLV SURGXFW
3URFHGXUHV
+$1'/,1* $1' 6725$*(
+$1'/,1*
1R VSHFLDO FRQWURO PHDVXUHV UHTXLUHG IRU WKH QRUPDO KDQGOLQJ RI WKLV
*HQHUDO 5HTXLUHPHQWV
SURGXFW 1RUPDO URRP YHQWLODWLRQ LV H[SHFWHG WR EH DGHTXDWH IRU URXWLQH
KDQGOLQJ RI WKLV SURGXFW
1R VWRUDJH UHTXLUHPHQWV QHFHVVDU\ IRU RFFXSDWLRQDO KD]DUGV )ROORZ
6725$*(
SURGXFW LQIRUPDWLRQ VWRUDJH LQVWUXFWLRQV WR PDLQWDLQ HIILFDF\
(;32685( &21752/63(5621$/ 3527(&7,21
=,1& %$&,75$&,1
,1*5(',(17
*6. 2FFXSDWLRQDO
+D]DUG &DWHJRU\
PFJP +5 7:$
*6. 2FFXSDWLRQDO
([SRVXUH /LPLW
1(20<&,1 68/)$7(
,1*5(',(17
*6. 2FFXSDWLRQDO
+D]DUG &DWHJRU\
6.,1 6(16,7,6(5 5(63,5$725<
PFJP +5 7:$
*6. 2FFXSDWLRQDO
6(16,7,6(5
([SRVXUH /LPLW
)RU DGYLFH RQ VXLWDEOH PRQLWRULQJ PHWKRGV VHHN JXLGDQFH IURP D TXDOLILHG
2FFXSDWLRQDO +\JLHQH $LU
HQYLURQPHQW KHDOWK DQG VDIHW\ SURIHVVLRQDO
0RQLWRULQJ 0HWKRGV
(1*,1((5,1* &21752/6
$Q ([SRVXUH &RQWURO $SSURDFK (&$ LV HVWDEOLVKHG IRU RSHUDWLRQV LQYROYLQJ
([SRVXUH &RQWUROV
WKLV PDWHULDO EDVHG XSRQ WKH 2(/2FFXSDWLRQDO +D]DUG &DWHJRU\ DQG WKH
RXWFRPH RI D VLWH RU RSHUDWLRQVSHFLILF ULVN DVVHVVPHQW 5HIHU WR WKH
([SRVXUH &RQWURO 0DWUL[ IRU PRUH LQIRUPDWLRQ DERXW KRZ (&$
V DUH
DVVLJQHG DQG KRZ WR LQWHUSUHW WKHP
3(5621$/ 3527(&7,9( (48,30(17
:HDU DSSURYHG VDIHW\ JODVVHV ZLWK VLGH VKLHOGV LI H\H FRQWDFW LV SRVVLEOH
(\H 3URWHFWLRQ
,I UHVSLUDWRU\ SURWHFWLYH HTXLSPHQW 53( LV XVHG WKH W\SH RI 53( ZLOO
5HVSLUDWRUV
GHSHQG XSRQ DLU FRQFHQWUDWLRQV SUHVHQW UHTXLUHG SURWHFWLRQ IDFWRU DV ZHOO
DV KD]DUGV SK\VLFDO SURSHUWLHV DQG ZDUQLQJ SURSHUWLHV RI VXEVWDQFHV
SUHVHQW
:HDU DSSURSULDWH FORWKLQJ WR DYRLG VNLQ FRQWDFW :DVK KDQGV DQG DUPV
2WKHU (TXLSPHQW RU
WKRURXJKO\ DIWHU KDQGOLQJ
3URFHGXUHV
3+<6,&$/ $1' &+(0,&$/ 3523(57,(6
$SSHDUDQFH
:KLWHFUHDP
&RORXU
3RZGHU
3K\VLFDO )RUP
67$%,/,7< $1' 5($&7,9,7<
7KLV SURGXFW LV H[SHFWHG WR EH VWDEOH
6WDELOLW\
1RQH IRU QRUPDO KDQGOLQJ RI WKLV SURGXFW
&RQGLWLRQV WR $YRLG
72;,&2/2*,&$/ ,1)250$7,21
1RW H[SHFWHG WR EH WR[LF IROORZLQJ LQJHVWLRQ
2UDO 7R[LFLW\
3DJH
6'6 1XPEHU $SSURYHG5HYLVHG -XO 9HUVLRQ
0DWHULDO &,&$75,1 32:'(5
,UULWDWLRQ PLJKW RFFXU IROORZLQJ GLUHFW FRQWDFW
6NLQ (IIHFWV
,UULWDWLRQ PLJKW RFFXU IROORZLQJ GLUHFW FRQWDFW ZLWK H\HV
(\H (IIHFWV
1R VSHFLILF WDUJHW RUJDQ HIIHFWV KDYH EHHQ LGHQWLILHG
7DUJHW 2UJDQ (IIHFWV
$VVHVVPHQW EDVHG XSRQ HIIHFWV RI VWUXFWXUDOO\ VLPLODU VXEVWDQFHV $OOHUJLF
6HQVLWLVDWLRQ
VNLQ UHDFWLRQV PLJKW RFFXU IROORZLQJ GHUPDO H[SRVXUH
1RW H[SHFWHG WR EH JHQRWR[LF XQGHU RFFXSDWLRQDO H[SRVXUH FRQGLWLRQV
*HQHWLF 7R[LFLW\
$VVHVVPHQW EDVHG XSRQ LQIRUPDWLRQ IURP KXPDQ H[SRVXUH
1R FRPSRQHQWV DUH OLVWHG DV FDUFLQRJHQV E\ *6. ,$5& 173 RU 86 26+$
&DUFLQRJHQLFLW\
1R DGYHUVH HIIHFWV KDYH EHHQ UHSRUWHG IROORZLQJ H[WHQVLYH XVH RU H[SRVXUH
5HSURGXFWLYH (IIHFWV
LQ KXPDQV 0DWHULDOV ZLWK UHODWHG FKHPLFDO VWUXFWXUHV KDYH SURGXFHG
DGYHUVH HIIHFWV RQ GHYHORSLQJ RIIVSULQJ LQ DQLPDOV 1RW H[SHFWHG WR SURGXFH
DGYHUVH HIIHFWV RQ IHUWLOLW\ RU GHYHORSPHQW XQGHU RFFXSDWLRQDO H[SRVXUH
FRQGLWLRQV
7KLV PDWHULDO LV DQ DQWLELRWLF ,W LV DQ DJHQW LQWHQGHG IRU WKH WUHDWPHQW RI
3KDUPDFRORJLFDO (IIHFWV
EDFWHULDO LQIHFWLRQV
2YHUH[SRVXUH LQ WKH ZRUNSODFH PLJKW KDYH WKH IROORZLQJ HIIHFWV V\PSWRPV
2WKHU $GYHUVH (IIHFWV
RI K\SHUVHQVLWLYLW\ VXFK DV VNLQ UDVK KLYHV LWFKLQJ DQGRU GLIILFXOW\
EUHDWKLQJ QDXVHD YRPLWLQJ GLDUUKRHD
(&2/2*,&$/ ,1)250$7,21
1R LQIRUPDWLRQ LV DYDLODEOH DERXW WKH SRWHQWLDO RI WKLV SURGXFW WR SURGXFH
6XPPDU\
DGYHUVH HQYLURQPHQWDO HIIHFWV /RFDO UHJXODWLRQV DQG SURFHGXUHV VKRXOG EH
FRQVXOWHG SULRU WR HQYLURQPHQWDO UHOHDVH
',6326$/ &216,'(5$7,216
&ROOHFW IRU UHF\FOLQJ RU UHFRYHU\ LI SRVVLEOH 7KH GLVSRVDO PHWKRG IRU
'LVSRVDO
UHMHFWHG SURGXFWVUHWXUQHG JRRGV PXVW HQVXUH WKDW WKH\ FDQQRW EH UHVROG RU
5HFRPPHQGDWLRQV
UHXVHG
2EVHUYH DOO ORFDO DQG QDWLRQDO UHJXODWLRQV ZKHQ GLVSRVLQJ RI WKLV SURGXFW
5HJXODWRU\ 5HTXLUHPHQWV
75$163257 ,1)250$7,21
7KH 6'6 VKRXOG DFFRPSDQ\ DOO VKLSPHQWV IRU UHIHUHQFH LQ WKH HYHQW RI VSLOODJH RU DFFLGHQWDO UHOHDVH 2QO\
DXWKRULVHG SHUVRQV WUDLQHG DQG FRPSHWHQW LQ DFFRUGDQFH ZLWK DSSURSULDWH QDWLRQDO DQG LQWHUQDWLRQDO
UHJXODWRU\ UHTXLUHPHQWV PD\ SUHSDUH GDQJHURXV JRRGV IRU WUDQVSRUW
81 &ODVVLILFDWLRQ DQG /DEHOOLQJ
7UDQVSRUWDWLRQ DQG VKLSSLQJ RI WKLV SURGXFW LV QRW UHVWULFWHG ,W KDV QR NQRZQ
7UDQVSRUW ,QIRUPDWLRQ
VLJQLILFDQW KD]DUGV UHTXLULQJ VSHFLDO SDFNDJLQJ RU ODEHOOLQJ IRU DLU PDULWLPH 86
RU (XURSHDQ JURXQG WUDQVSRUW SXUSRVHV
5(*8/$725< ,1)250$7,21
7KH LQIRUPDWLRQ LQFOXGHG EHORZ LV DQ RYHUYLHZ RI WKH PDMRU UHJXODWRU\ UHTXLUHPHQWV ,W VKRXOG QRW EH
FRQVLGHUHG WR EH DQ H[KDXVWLYH VXPPDU\ /RFDO UHJXODWLRQV VKRXOG EH FRQVXOWHG IRU DGGLWLRQDO UHTXLUHPHQWV
(8 &ODVVLILFDWLRQ DQG /DEHOOLQJ
([HPSW IURP UHTXLUHPHQWV RI (8 'DQJHURXV 3UHSDUDWLRQV GLUHFWLYH SURGXFW UHJXODWHG DV D PHGLFLQDO
SURGXFW FRVPHWLF SURGXFW RU PHGLFDO GHYLFH
86 26+$ 6WDQGDUG &)5 3DUW
&ODVVLILFDWLRQ 7KLV GRVDJH IRUP LV H[HPSW IURP WKH UHTXLUHPHQWV RI WKH 26+$ +D]DUG
&RPPXQLFDWLRQ 6WDQGDUG
2WKHU 86 5HJXODWLRQV
76&$ 6WDWXV ([HPSW
3DJH
6'6 1XPEHU $SSURYHG5HYLVHG -XO 9HUVLRQ
0DWHULDO &,&$75,1 32:'(5
27+(5 ,1)250$7,21
*6. +D]DUG 'HWHUPLQDWLRQ
5HIHUHQFHV
'DWH $SSURYHG5HYLVHG -XO 6'6 9HUVLRQ 1XPEHU
6'6 6HFWLRQV 8SGDWHG
6HFWLRQV 6XEVHFWLRQV
5(*8/$725< ,1)250$7,21 (XURSHDQ 8QLRQ &ODVVLILFDWLRQ DQG /DEHOOLQJ
5HTXLUHPHQWV
86 (QYLURQPHQWDO (3$ 5HTXLUHPHQWV
7KH LQIRUPDWLRQ DQG UHFRPPHQGDWLRQV LQ WKLV VDIHW\ GDWD VKHHW DUH WR WKH EHVW RI RXU NQRZOHGJH DFFXUDWH
DV RI WKH GDWH RI LVVXH 1RWKLQJ KHUHLQ VKDOO EH GHHPHG WR FUHDWH DQ\ ZDUUDQW\ H[SUHVV RU LPSOLHG ,W LV WKH
UHVSRQVLELOLW\ RI WKH XVHU WR GHWHUPLQH WKH DSSOLFDELOLW\ RI WKLV LQIRUPDWLRQ DQG WKH VXLWDELOLW\ RI WKH PDWHULDO RU
SURGXFW IRU DQ\ SDUWLFXODU SXUSRVH
3DJH
|