,16758&7,216
6XEPLWWLQJWKH6)
6XEPLW WKH 6) LQ WULSOLFDWH DFFRPSDQLHG E\ D FRPSOHWHG 6)$ 6SDFH 5HTXLUHPHQWV :RUNVKHHW 6SDFH 5HTXLUHPHQWV 4XHVWLRQQDLUH DQG DQ\
DGGLWLRQDO GRFXPHQWDWLRQ WR IXOO\ VXSSRUW WKH DJHQF\
V VSDFHQHHGV)DLOXUHWRSURYLGHFRPSOHWHDQGDFFXUDWHLQIRUPDWLRQZLOOGHOD\SURFHVVLQJDQG
PD\UHVXOWLQUHWXUQRIWKH6)IRUFRUUHFWLRQXSGDWHDQGUHVXEPLVVLRQ
7KH6)PXVWEHVXEPLWWHGE\WKHRIILFHZKLFKKDVDXWKRULW\WRREOLJDWHIXQGVWRUHLPEXUVH*6$IRUDOODSSOLFDEOHFRVWVDVVRFLDWHGZLWKWKHGHOLYHU\
RI VSDFH $JHQF\ ILHOG FRPSRQHQWV ZKLFK GRQRW KDYH GHOHJDWHG DXWKRULW\WRREOLJDWHIXQGVPXVWFRRUGLQDWHVXEPLVVLRQDQGDSSURYDORIWKH6)
ZLWKRIILFHVZKLFKKDYHWKLVDXWKRULW\$*6$)RUP 5HLPEXUVDEOH:RUN$XWKRUL]DWLRQVKRXOGEHVXEPLWWHGZKHQDSSOLFDEOH
,WHP
'DWHIRUPLVSUHSDUHG
,WHP
$JHQF\HVWDEOLVKHGUHTXHVWQXPEHU
,WHP
1DPHDQGSKRQHQXPEHURIWKHORFDODJHQF\RIILFLDOZKRLVNQRZOHGJHDEOHRIWKHUHTXHVWDQGZLOOVHUYHDVWKHDJHQF\
VSRLQWRI FRQWDFW
IRUWKLVSURMHFW
,WHP
1DPHDQGSKRQHQXPEHURIDJHQF\UHSUHVHQWDWLYHZKRZLOOZRUNZLWK*6$LIDPDUNHWVXUYH\LVFRQGXFWHG7KLVLQGLYLGXDOPXVWKDYH
WKHDXWKRULW\WRGHWHUPLQHDFFHSWDELOLW\RIWKHEXLOGLQJDQGRUVLWHVDQGWKHLUORFDWLRQ
,WHP
*6$UHJLRQDORIILFHZKLFKKDVMXULVGLFWLRQIRUJHRJUDSKLFDODUHDZKHUHVSDFHLVUHTXLUHG
,WHP
1DPHDQGDGGUHVVRIRUJDQL]DWLRQPDNLQJWKHUHTXHVW
,WHP
1DPHRIDJHQF\DQGEXUHDXFRGHRIWKHRUJDQL]DWLRQZKLFKZLOORFFXS\WKHVSDFH HJUHJLRQDORIILFHGLVWULFWRIILFHILHOGRIILFH
LIGLIIHUHQWWKDQLQIRUPDWLRQSURYLGHGLQEORFN&LW\DQGVWDWHZKHUHWKHVSDFHLVUHTXHVWHG
,WHP
7\SHRIUHTXHVW,QLWLDO $UHTXHVWIRUQHZVSDFHWKDWLVQRWDVVRFLDWHGZLWKDQH[LVWLQJDVVLJQPHQW([SDQVLRQ $UHTXHVW
IRU DGGLWLRQDOVSDFHDVVRFLDWHGZLWKDQH[LVWLQJDVVLJQPHQW&RQWLQXLQJUHTXLUHPHQWV $VSDFHDFWLRQUHTXLUHGIRUDOHDVHUHQHZDO VXF
FHHGLQJOHDVHOHDVHH[WHQVLRQRUPRYH5HGXFWLRQ $VSDFHDFWLRQWKDWUHTXLUHVUHJLRQDO5HDO(VWDWH'LYLVLRQHIIRUWWRHIIHFWWKHSDUWLDO
RUWRWDOWHUPLQDWLRQRIDQDVVLJQPHQW
,WHPV DDQG E *HRJUDSKLF'HOLQHDWHGDUHDWKDWWKHDJHQF\ZLOOVHUYLFH7KHJHRJUDSKLFDUHD 6WDWHFLW\FRXQW\]LSFRGHHWFIRUZKLFK
DQDJHQF\EXUHDXKDVRSHUDWLRQDOUHVSRQVLELOLW\DVZHOODVWKHVSHFLILFGHOLQHDWHGDUHDDVLGHQWLILHGDQG MXVWLILHG E\WKHUHTXHVWLQJDJHQF\
*6$UHYLHZRIWKHGHOLQHDWHGDUHDVKDOOEHOLPLWHGWRHQVXULQJWKDWWKHGHOLQHDWHGDUHDZLOOSURYLGH DGHTXDWHFRPSHWLWLRQDQGWKHPD[L
PXPXVHRIH[LVWLQJ*RYHUQPHQWFRQWUROOHGVSDFH VHH,WHP$JHQF\&HUWLILFDWLRQ
,WHP 3HULRGRIWLPHWKHRUJDQL]DWLRQZLOOXVHWKHVSDFHDQGWKHVXJJHVWHGQXPEHURI\HDUVIRUDILUPWHUPSHULRG7KLVWLPHSHULRGPXVW
EHUHSUHVHQWDWLYHRIWKHORQJHVWSHULRGIRUZKLFKWKHDJHQF\FDQFRPPLW,QGHILQLWHDQGDUHQRWDFFHSWDEOHUHVSRQVHV
,WHP 7RWDOQXPEHURISHUVRQQHOWRRFFXS\WKHUHTXHVWHGVSDFH 3HUVRQQHOPHDQVWKHSHDNQXPEHURISHUVRQVWREH KRXVHG UHJDUGOHVV
RIKRZPDQ\ZRUNVWDWLRQVDUHSURYLGHGIRUWKHP,QDGGLWLRQWRSHUPDQHQWHPSOR\HHVRIWKHDJHQF\SHUVRQQHO LQFOXGHVWHPSRUDULHV
SDUWWLPHVHDVRQDOFRQWUDFWXDOHPSOR\HHVDQGEXGJHWHGYDFDQFLHV
,WHP 7KLVSRUWLRQRIWKH6)LVXVHGWRLGHQWLI\DJHQF\
VVTXDUHIRRWDJHUHTXLUHPHQWVE\W\SHRIVSDFH$OOLQIRUPDWLRQVKRXOG
EHVXSSRUWHGE\DGHWDLOHGH[SODQDWLRQRQWKH6SDFH5HTXLUHPHQWV4XHVWLRQQDLUHDQG6)$
,WHPOLQHD 7KLVOLQHLGHQWLILHVWKH2IILFH6SDFH6XEWRWDO7KH2IILFH6SDFH6XEWRWDOLVGHWHUPLQHGE\HQWHULQJWKHDPRXQWRIVSDFH
UHTXLUHGIRUWKHSULPDU\RIILFHDUHDDQGDGGLQJWKLVWRWKHDPRXQWUHTXLUHGIRUWKHRIILFHVXSSRUWDUHD3ULPDU\2IILFH$UHDLVWKH
SULPDU\SHRSOHRFFXSLHGDUHDLQZKLFKDQDFWLYLW\
VQRUPDORSHUDWLRQDOIXQFWLRQVDUHSHUIRUPHG
2IILFH6XSSRUW$UHDUHIHUVWRWKHDUHDVFRQVWUXFWHGDVRIILFHVSDFHDQGXVHGWRPHHWQHHGVRXWVLGHWKHDJHQF\
VSULPDU\ZRUN
DUHDUHTXLUHPHQWV HJUHFHSWLRQFRQIHUHQFHILOHOLEUDULHVKHDULQJLQWHUYLHZDQGVHFRQGDU\ZRUNDUHD2IILFHVXSSRUWDUHDVVKRXOG
EHFOHDUO\LGHQWLILHGRQWKHDWWDFKHG6)$DQG6SDFH5HTXLUHPHQWV4XHVWLRQQDLUH
,WHPOLQHVEF
$PRXQWRIJHQHUDODQGZDUHKRXVHVWRUDJHVSDFHUHTXLUHG 6HH,WHPOLQHRIRU67LQVLGHSDUNLQJ
,WHPOLQHG
7RWDODPRXQWRIVWRUDJHVSDFHUHTXLUHG $GGOLQHVEDQGF
,WHPOLQHVHN
$PRXQWRIVSHFLDOVSDFHUHTXLUHG
,WHPOLQHO
7RWDODPRXQWRIVSHFLDOVSDFHUHTXLUHG $GGOLQHVHWKURXJKN
,WHPOLQHP
7RWDODPRXQWRI2IILFH6WRUDJHDQG6SHFLDOVSDFHUHTXLUHG $GGOLQHVDGDQGO
,WHPOLQHQ
7RWDODFUHVQHHGHG)RUDPRXQWVOHVVWKDQDFUHDFUHHTXDOVVTXDUHIHHW
,WHPOLQHRS $JHQF\
VLQVLGHDQGRXWVLGHSDUNLQJUHTXLUHPHQW&HUWLILFDWLRQWKDWWKHSDUNLQJLVQHFHVVDU\IRUWKHHIILFLHQWRSHUDWLRQRI
WKHDJHQF\PLVVLRQLVUHTXLUHG2QHSDUNLQJVSDFHHTXDOVVTXDUHIHHW3OHDVHLQGLFDWHWKHQXPEHURIVSDFHV
,WHPOLQHT
7RWDOSDUNLQJVSDFHVUHTXLUHG $GGOLQHVRDQGS
,WHP 7KLVLWHPUHIHUVWRWKHVSHFLILFDUFKLWHFWXUDOPHFKDQLFDOHOHFWULFDOVWUXFWXUDODQGRWKHUVSHFLDOUHTXLUHPHQWVUHODWHGWRHDFKRI
WKHW\SHVRIVSDFHUHTXHVWHGLQ,WHP7KHVHLQFOXGHVHFXULW\ HOHFWULFDO +9$& IORRUORDGLQJ VRXQG FRQGLWLRQLQJ ILUH DQGVDIHW\ DQG
WKHQHHGIRUDIWHUKRXUVEXLOGLQJDFFHVVXWLOLWLHVDQGFOHDQLQJVHUYLFHV6XFKUHTXLUHPHQWVPXVWEHIXOO\GHILQHGE\DUHDLQFOXGLQJFRP
SXWHUURRPVODERUDWRULHVFRQIHUHQFHURRPVHWF7KHVHUHTXLUHPHQWVPXVWEHVSHFLILHGLQGHWDLORQWKH6SDFH5HTXLUHPHQWV4XHVWLRQ
QDLUHDQG6)$&KHFNER[LQ,WHPWRLQGLFDWHLIWKLVLQIRUPDWLRQLVDWWDFKHG
$JHQF\&HUWLILFDWLRQ
,WHP 7KHFHUWLILFDWLRQPXVWEHVLJQHGE\DQDXWKRUL]HGDJHQF\RIILFLDO
,WHP *6$ZLOOHYDOXDWHWKHUHTXHVWLQWHUPVRIWKHVSDFHDYDLODEOHLQLWVLQYHQWRU\DQGGHWHUPLQHWKHDSSURSULDWHDFWLRQ,I*6$ GHWHU
PLQHVWKDWVSDFHUHTXHVWHGLVXQLTXHDJHQF\VSDFH*6$ZLOOWDNHQRDFWLRQXQWLOWKHDJHQF\KDVFRQFXUUHGZLWKWKDWGHVLJQDWLRQ*6$
ZLOODVVLJQDVSDFHUHTXHVWQXPEHUZKLFKZLOOEHXVHGWRWUDFNWKHUHTXHVWXQWLOLWLVVDWLVILHG
1DPHDQGSKRQHQXPEHURIWKH*6$UHJLRQDORIILFLDOZKRLVNQRZOHGJHDEOHRIWKHUHTXHVWDQGZLOOVHUYHDV*6$
VSRLQWRIFRQWDFW
67
||content||
'')250%$&. 5(9
Previous Page
