Amarex KRT, Submersible Motor Pump 60 Hz

7/28/2019 Amarex KRT, Submersible Motor Pump 60 Hz

1/58


2/58

-FHBM JOGPSNBUJPO $PQZSJHIU

,QVWDOODWLRQ 2SHUDWLQJ 0DQXDO $PDUH[ .572ULJLQDO RSHUDWLQJ PDQXDO

.6% $NWLHQJHVHOOVFKDIW +DOOH

$OO ULJKWV UHVHUYHG &RQWHQWV SURYLGHG KHUHLQ PXVW QHLWKHU EH GLVWULEXWHG FRSLHG UHRU SURFHVVHG IRU DQ\ RWKHU SXUSRVH QRU RWKHUZLVH WUDQVPLWWHG SXEOLVKHG RU PDGH DYDLODSDUW\ ZLWKRXW .6% V H[SUHVV ZULWWHQ FRQVHQW

6XEMHFW WR WHFKQLFDO PRGLILFDWLRQ ZLWKRXW SULRU QRWLFH

.6% $NWLHQJHVHOOVFKDIW )UDQNHQWKDO


3/58

&RQWHQWV

*ORVVDU\

*HQHUDO

3ULQFLSOHV

,QVWDOODWLRQ RI SDUWO\ FRPSOHWHG PDFKLQHU\ 7DUJHW JURXS

2WKHU DSSOLFDEOH GRFXPHQWV

6\PEROV

6DIHW\

.H\ WR VDIHW\ V\PEROV PDUNLQJV

*HQHUDO

,QWHQGHG XVH

3HUVRQQHO TXDOLILFDWLRQ DQG WUDLQLQJ

&RQVHTXHQFHV DQG ULVNV FDXVHG E\ QRQ FRPSOLDQFH ZLWK WKHVH RSHUDWLQVWUXFWLRQV

6DIHW\ DZDUHQHVV

6DIHW\ LQIRUPDWLRQ IRU WKH RSHUDWRU XVHU

6DIHW\ LQIRUPDWLRQ IRU PDLQWHQDQFH LQVSHFWLRQ DQG LQVWDOODWLRQ Z

8QDXWKRUL]HG PRGHV RI RSHUDWLRQ

([SORVLRQ SURWHFWLRQ

7UDQVSRUW 7HPSRUDU\ 6WRUDJH 'LVSRVDO

7UDQVSRUW

6WRUDJH 3UHVHUYDWLRQ

5HWXUQ WR VXSSOLHU 'LVSRVDO

'HVFULSWLRQ RI WKH 3XPS 6HW

*HQHUDO GHVFULSWLRQ

'HVLJQDWLRQ

1DPH SODWH

'HVLJQ GHWDLOV

7\SHV RI LQVWDOODWLRQ

&RQILJXUDWLRQ DQG IXQFWLRQ

1RLVH FKDUDFWHULVWLFV

6FRSH RI VXSSO\

'LPHQVLRQV DQG ZHLJKWV

,QVWDOODWLRQ DW 6LWH

6DIHW\ UHJXODWLRQV

&KHFNV WR EH FDUULHG RXW SULRU WR LQVWDOODWLRQ

&KHFNLQJ WKH OXEULFDQW OHYHO

&RQWHQWV

$PDUH[ .57 RI


4/58

&KHFNLQJ WKH GLUHFWLRQ RI URWDWLRQ

,QVWDOOLQJ WKH SXPS VHW

3LSLQJ

$X[LOLDU\ FRQQHFWLRQV

(OHFWULFDO FRQQHFWLRQ

3ULPLQJ DQG YHQWLQJ WKH SXPS &RPPLVVLRQLQJ 6WDUW XS 6KXWGRZQ

&RPPLVVLRQLQJ VWDUW XS

2SHUDWLQJ OLPLWV

6KXWGRZQ VWRUDJH SUHVHUYDWLRQ

5HWXUQLQJ WR VHUYLFH DIWHU VWRUDJH

6HUYLFLQJ 0DLQWHQDQFH

6DIHW\ UHJXODWLRQV

0DLQWHQDQFH LQVSHFWLRQ

'UDLQDJH GLVSRVDO 'LVPDQWOLQJ WKH SXPS VHW

5HDVVHPEOLQJ WKH SXPS VHW

7LJKWHQLQJ WRUTXHV

6SDUH SDUWV VWRFN

7URXEOH VKRRWLQJ

5HODWHG 'RFXPHQWV

*HQHUDO DVVHPEO\ GUDZLQJ

:LULQJ GLDJUDP

)ODPHSDWKV RQ H[SORVLRQ SURRI PRWRUV 6HFWLRQDO GUDZLQJV RI WKH PHFKDQLFDO VHDO

&HUWLILFDWH RI 'HFRQWDPLQDWLRQ

,QGH[

&RQWHQWV

RI $PDUH[ .57


5/58

* ORVVDU\

%DFN SXOO RXW DUHD3XPS ZLWKRXW SXPS FDVLQJ SDUWO\ FRPSOHWHGPDFKLQHU\

&HUWLILFDWH RI GHFRQWDPLQDWLRQ

$ FHUWLILFDWH RI GHFRQWDPLQDWLRQ FHUWLILHV WKDWWKH SXPS VHW KDV EHHQ SURSHUO\ GUDLQHG WRHOLPLQDWH DQ\ HQYLURQPHQWDO DQG KHDOWKKD]DUGV DULVLQJ IURP FRPSRQHQWV LQ FRQWDFWZLWK WKH IOXLG KDQGOHG

&ORVH FRXSOHG GHVLJQ0RWRU GLUHFWO\ ILWWHG WR WKH SXPS YLD D IODQJHRU D GULYH ODQWHUQ

'LVFKDUJH OLQH7KH OLQH ZKLFK LV FRQQHFWHG WR WKH GLVFKDUJHQR]]OH

+\GUDXOLF V\VWHP

7KH SDUW RI WKH SXPS LQ ZKLFK WKH NLQHWLFHQHUJ\ LV FRQYHUWHG LQWR SUHVVXUH HQHUJ\

6XFWLRQ OLIW OLQH VXFWLRQ KHDG OLQH7KH OLQH ZKLFK LV FRQQHFWHG WR WKH VXFWLRQQR]]OH

*ORVVDU\

$PDUH[ .57 RI


6/58

*HQHUDO

3ULQFLSOHV7KLV PDQXDO LV VXSSOLHG DV DQ LQWHJUDO SDUW RI WKH W\SH VHULHV DQG YDULDQWRQ WKH IURQW FRYHU IRU GHWDLOV SOHDVH UHIHU WR WKH WDEOH EHORZ

7DEOH 9DULDQWV FRYHUHG E\ WKLV PDQXDO

6L]HV ,PSHOOHU W\SHV 0DWHULDO YDULDQW&DVW LURQ

* * * *+ ) ) ) ) ) ( ( ' ' ' ) ) ) ) )

( ' . ( ' . ' . ' ' ' ' ' '

' ( ) . ' ( ) . ' ) . ) ) . . . . .

7KH PDQXDO GHVFULEHV WKH SURSHU DQG VDIH XVH RI WKLV HTXLSPHQW LQ DOO SKDVRSHUDWLRQ7KH QDPH SODWH LQGLFDWHV WKH W\SH VHULHV DQG VL]H WKH PDLQ RSHUDWLQJ GDWQXPEHU DQG WKH RUGHU LWHP QXPEHU 7KH RUGHU QXPEHU DQG RUGHU LWHP QXPEHUFOHDUO\ LGHQWLI\ WKH SXPS VHW DQG VHUYH DV LGHQWLILFDWLRQ IRU DOO IXUWKHUSURFHVVHV

,Q WKH HYHQW RI GDPDJH LPPHGLDWHO\ FRQWDFW \RXU QHDUHVW .6% VHUYLFH FHQWHPDLQWDLQ WKH ULJKW WR FODLP ZDUUDQW\

,QVWDOODWLRQ RI SDUWO\ FRPSOHWHG PDFKLQHU\7R LQVWDOO SDUWO\ FRPSOHWHG PDFKLQHU\ VXSSOLHG E\ .6% UHIHU WR WKH VXE VHFWXQGHU 6HUYLFLQJ 0DLQWHQDQFH

7DUJHW JURXS7KLV RSHUDWLQJ PDQXDO LV DLPHG DW WKH WDUJHW JURXS RI WUDLQHG DQG TXDOLILHWHFKQLFDO SHUVRQQHO6HFWLRQ 3DJH

2WKHU DSSOLFDEOH GRFXPHQWV7DEOH 2YHUYLHZ RI RWKHU DSSOLFDEOH GRFXPHQWV

'RFXPHQW &RQWHQWV'DWD VKHHW 'HVFULSWLRQ RI WKH WHFKQLFDO GDWD RI WKH

VHW*HQHUDO DUUDQJHPHQW GUDZLQJ RXWOLQH GUDZLQJ

'HVFULSWLRQ RI PDWLQJ DQG LQVWDOODWLRQGLPHQVLRQV IRU WKH SXPS VHW

+\GUDXOLF FKDUDFWHULVWLF FXUYH &KDUDFWHULVWLF FXUYHV VKRZLQJ KH

HIILFLHQF\ DQG SRZHU LQSXW*HQHUDO DVVHPEO\ GUDZLQJ 6HFWLRQDO GUDZLQJ RI WKH SXPS VHW6XE VXSSOLHU SURGXFW OLWHUDWXUH2SHUDWLQJ PDQXDOV DQG RWKHU SURGXFW

OLWHUDWXUH RI DFFHVVRULHV DQG LQWHJUDWHGPDFKLQHU\ FRPSRQHQWV

6SDUH SDUWV OLVWV 'HVFULSWLRQ RI VSDUH SDUWV6XSSOHPHQWDU\ RSHUDWLQJ PDQXDOV)RU H[DPSOH IRU VSHFLDO DFFHVVRULHV

,I DJUHHG WR EH LQFOXGHG LQ WKH VFRSH RI VXSSO\

*HQHUDO

RI $PDUH[ .57


7/58

6\PEROV7DEOH 6\PEROV XVHG LQ WKLV PDQXDO

6\PERO 'HVFULSWLRQ&RQGLWLRQV ZKLFK QHHG WR EH IXOILOOHG EHIRUH SURFHHGLQJ ZLWKVWHS E\ VWHS LQVWUXFWLRQV6DIHW\ LQVWUXFWLRQV5HVXOW RI DQ DFWLRQ

&URVV UHIHUHQFHV6WHS E\ VWHS LQVWUXFWLRQV

1RWH5HFRPPHQGDWLRQV DQG LPSRUWDQW LQIRUPDWLRQ RQ KRZ WR KDQGOHWKH SURGXFW

*HQHUDO

$PDUH[ .57 RI


8/58


9/58

2EVHUYH WKH OLPLWV IRU FRQWLQXRXV RSHUDWLRQ VSHFLILHG LQ WKH GDWD VKHSURGXFW OLWHUDWXUH 4PLQ DQG 4PD[ WR SUHYHQW GDPDJH VXFK DV VKDIW IUDFWXUHEHDULQJ IDLOXUH PHFKDQLFDO VHDO GDPDJH HWF

:KHQ XQWUHDWHG ZDVWH ZDWHU LV KDQGOHG WKH GXW\ SRLQWV LQ FRQWLQXRXVOLH ZLWKLQ WR [4RSW WR PLQLPL]H WKH ULVN RI FORJJLQJ KDUGHQLQJ

$YRLG GXW\ SRLQWV IRU FRQWLQXRXV RSHUDWLRQ DW YHU\ ORZ VSHHGV DQG VPDOUDWHV [ 4 RSW

2EVHUYH WKH PD[LPXP IORZ UDWHV LQGLFDWHG LQ WKH GDWD VKHHW RU SURGXFWOLWHUDWXUH WR SUHYHQW RYHUKHDWLQJ PHFKDQLFDO VHDO GDPDJH FDYLWDWLEHDULQJ GDPDJH HWF

'R QRW WKURWWOH WKH IORZ UDWH RQ WKH VXFWLRQ VLGH RI WKH SXPS VHW WR SFDYLWDWLRQ GDPDJH

&RQVXOW WKH PDQXIDFWXUHU DERXW DQ\ XVH RU PRGH RI RSHUDWLRQ QRW GHVFUWKH GDWD VKHHW RU SURGXFW OLWHUDWXUH

2QO\ XVH WKH UHVSHFWLYH LPSHOOHU W\SHV LQ FRPELQDWLRQ ZLWK WKH IOXLGV GEHORZ

)UHH IORZ LPSHOOHULPSHOOHU W\SH )

6XLWDEOH IRU WKH IROORZLQJ IOXLGV)OXLGV FRQWDLQLQJ VROLGV DQG VWULQJ\PDWHULDO DV ZHOO DV IOXLGV ZLWK HQWUDSSDLU RU JDV

&ORVHG VLQJOH YDQHLPSHOOHULPSHOOHU W\SH (

6XLWDEOH IRU WKH IROORZLQJ IOXLGV)OXLGV FRQWDLQLQJ VROLGV DQG VWULQJ\PDWHULDO

&ORVHG PXOWL YDQH

LPSHOOHULPSHOOHU W\SH .

6XLWDEOH IRU WKH IROORZLQJ IOXLGV

&RQWDPLQDWHG VROLGV ODGHQ QRQ JDVHRXVIOXLGV ZLWKRXW VWULQJ\ PDWHULDO

2SHQ GLDJRQDO VLQJOHYDQH LPSHOOHULPSHOOHU W\SH '

6XLWDEOH IRU WKH IROORZLQJ IOXLGV:DVWH ZDWHU ZLWK VROLG VXEVWDQFHV DQGORQJ ILEHUV

3UHYHQWLRQ RI IRUHVHHDEOH PLVXVH

2EVHUYH WKH PLQLPXP IORZ YHORFLWLHV UHTXLUHG WR IXOO\ RSHQ WKH VZLQJ FKHYDOYHV WR SUHYHQW WKH UHGXFWLRQ RI SUHVVXUH DQG ULVN RI FORJJLQJ

0LQLPXP SHUPLVVLEOH IORZ UDWH0D[LPXP SHUPLVVLEOH IORZ UDWH%HVW HIILFLHQF\ SRLQW

6DIHW\

$PDUH[ .57 RI


10/58

&RQWDFW WKH PDQXIDFWXUHU IRU WKH UHTXLUHG PLQLPXP IORZ YHORFLWLHV ORFRHIILFLHQWV

1HYHU H[FHHG WKH SHUPLVVLEOH RSHUDWLQJ OLPLWV SUHVVXUH WHPSHUDWXUHVSHFLILHG LQ WKH GDWD VKHHW RU SURGXFW OLWHUDWXUH

2EVHUYH DOO VDIHW\ LQIRUPDWLRQ DQG LQVWUXFWLRQV LQ WKLV PDQXDO

3HUVRQQHO TXDOLILFDWLRQ DQG WUDLQLQJ$OO SHUVRQQHO LQYROYHG PXVW EH IXOO\ TXDOLILHG WR LQVWDOO RSHUDWH PDLQWLQVSHFW WKH PDFKLQHU\ WKLV PDQXDO UHIHUV WR

7KH UHVSRQVLELOLWLHV FRPSHWHQFH DQG VXSHUYLVLRQ RI DOO SHUVRQQHO LQYROYLQVWDOODWLRQ RSHUDWLRQ PDLQWHQDQFH DQG LQVSHFWLRQ PXVW EH FOHDUO\ GHIRSHUDWRU

'HILFLWV LQ NQRZOHGJH PXVW EH UHFWLILHG E\ VXIILFLHQWO\ WUDLQHG VSHFLDOLVWWUDLQLQJ DQG LQVWUXFWLQJ WKH SHUVRQQHO ZKR ZLOO FDUU\ RXW WKH UHVSHFWLYUHTXLUHG WKH RSHUDWRU FDQ FRPPLVVLRQ WKH PDQXIDFWXUHU VXSSOLHU WR WUDLSHUVRQQHO

7UDLQLQJ RQ WKH SXPS VHW PXVW DOZD\V EH VXSHUYLVHG E\ WHFKQLFDO VSHFLDOLVWSHUVRQQHO

&RQVHTXHQFHV DQG ULVNV FDXVHG E\ QRQ FRPSOLDQFH ZLWK WKHVH RSHULQVWUXFWLRQV

1RQ FRPSOLDQFH ZLWK WKHVH RSHUDWLQJ LQVWUXFWLRQV ZLOO OHDG WR IRUIHLWZDUUDQW\ FRYHU DQG RI DQ\ DQG DOO ULJKWV WR FODLPV IRU GDPDJHV

1RQ FRPSOLDQFH FDQ IRU H[DPSOH KDYH WKH IROORZLQJ FRQVHTXHQFHV

+D]DUGV WR SHUVRQV GXH WR HOHFWULFDO WKHUPDO PHFKDQLFDO DQG FKHPLHIIHFWV DQG H[SORVLRQV

)DLOXUH RI LPSRUWDQW SURGXFW IXQFWLRQV

)DLOXUH RI SUHVFULEHG PDLQWHQDQFH DQG VHUYLFLQJ SUDFWLFHV

+D]DUG WR WKH HQYLURQPHQW GXH WR OHDNDJH RI KD]DUGRXV VXEVWDQFHV

6DIHW\ DZDUHQHVV,Q DGGLWLRQ WR WKH VDIHW\ LQIRUPDWLRQ FRQWDLQHG LQ WKLV PDQXDO DQG WKH LQWKH IROORZLQJ VDIHW\ UHJXODWLRQV VKDOO EH FRPSOLHG ZLWK

$FFLGHQW SUHYHQWLRQ KHDOWK DQG VDIHW\ UHJXODWLRQV

([SORVLRQ SURWHFWLRQ UHJXODWLRQV

6DIHW\ UHJXODWLRQV IRU KDQGOLQJ KD]DUGRXV VXEVWDQFHV

$SSOLFDEOH VWDQGDUGV DQG ODZV

6DIHW\ LQIRUPDWLRQ IRU WKH RSHUDWRU XVHU7KH RSHUDWRU VKDOO ILW FRQWDFW JXDUGV IRU KRW FROG DQG PRYLQJ SDUWV DQWKDW WKH JXDUGV IXQFWLRQ SURSHUO\

1HYHU UHPRYH D FRQWDFW JXDUG ZKLOH WKH SXPS LV UXQQLQJ

&RQQHFW D JURXQG FRQGXFWRU WR WKH PHWDO MDFNHW LI WKH IOXLG KDQGOHG LHOHFWURVWDWLFDOO\ FKDUJHG

3URYLGH WKH SHUVRQQHO ZLWK SURWHFWLYH HTXLSPHQW DQG PDNH VXUH LW LV X

&RQWDLQ OHDNDJHV H J DW WKH VKDIW VHDO RI KD]DUGRXV IOXLGV KDQGOHG H JH[SORVLYH WR[LF KRW VR DV WR DYRLG DQ\ GDQJHU WR SHUVRQV DQG WKH HQYLU$GKHUH WR DOO UHOHYDQW ODZV

(OLPLQDWH DOO HOHFWULFDO KD]DUGV ,Q WKLV UHVSHFW UHIHU WR WKH DSSOLFDVDIHW\ UHJXODWLRQV DQG RU UHJXODWLRQV LVVXHG E\ WKH ORFDO HQHUJ\ VXSSO\FRPSDQLHV

6DIHW\

RI $PDUH[ .57


11/58

6DIHW\ LQIRUPDWLRQ IRU PDLQWHQDQFH LQVSHFWLRQ DQG LQVWDOODWL0RGLILFDWLRQV RU DOWHUDWLRQV RI WKH SXPS DUH RQO\ SHUPLWWHG ZLWK WKHPDQXIDFWXUHU V SULRU FRQVHQW

8VH RQO\ RULJLQDO VSDUH SDUWV RU SDUWV DXWKRUL]HG E\ WKH PDQXIDFWXUHURWKHU SDUWV FDQ LQYDOLGDWH DQ\ OLDELOLW\ RI WKH PDQXIDFWXUHU IRU UHVXO

7KH RSHUDWRU HQVXUHV WKDW DOO PDLQWHQDQFH LQVSHFWLRQ DQG LQVWDOODSHUIRUPHG E\ DXWKRUL]HG TXDOLILHG VSHFLDOLVW SHUVRQQHO ZKR DUH WKRURX

IDPLOLDU ZLWK WKH PDQXDO2QO\ FDUU\ RXW ZRUN RQ WKH SXPS VHW GXULQJ VWDQGVWLOO RI WKH SXPS

7KH SXPS FDVLQJ PXVW KDYH FRROHG GRZQ WR DPELHQW WHPSHUDWXUH

3XPS SUHVVXUH PXVW KDYH EHHQ UHOHDVHG DQG WKH SXPS PXVW KDYH EHHQ GUD

:KHQ WDNLQJ WKH SXPS VHW RXW RI VHUYLFH DOZD\V DGKHUH WR WKH SURFHGXUHGHVFULEHG LQ WKH PDQXDO

'HFRQWDPLQDWH SXPSV ZKLFK KDQGOH IOXLGV SRVLQJ D KHDOWK KD]DUG

$V VRRQ DV WKH ZRUN LV FRPSOHWHG UH LQVWDOO DQG RU UH DFWLYDWH DQ\ VDIHDQG SURWHFWLYH GHYLFHV %HIRUH UHWXUQLQJ WKH SURGXFW WR VHUYLFH REVHLQVWUXFWLRQV RQ FRPPLVVLRQLQJ6HFWLRQ 3DJH

8QDXWKRUL]HG PRGHV RI RSHUDWLRQ

1HYHU RSHUDWH WKH SXPS VHW RXWVLGH WKH OLPLWV VWDWHG LQ WKH GDWD VKHHPDQXDO

7KH ZDUUDQW\ UHODWLQJ WR WKH RSHUDWLQJ UHOLDELOLW\ DQG VDIHW\ RI WKH SXPSVXSSOLHG LV RQO\ YDOLG LI WKH HTXLSPHQW LV XVHG LQ DFFRUGDQFH ZLWK LWV LQWH

([SORVLRQ SURWHFWLRQ6SHFLDO FRQGLWLRQV DSSO\ WR WKH RSHUDWLRQ RI H[SORVLRQ SURRI SXPSV

7KH H[SORVLRQ SURRI VWDWXV RI WKH SXPS VHW LV RQO\ DVVXUHG LI WKH SXPS VHWLQ DFFRUGDQFH ZLWK LWV LQWHQGHG XVH

7KH OLPLWV VWDWHG LQ WKH GDWD VKHHW DQG RQ WKH QDPH SODWH PXVW QRW EXQGHU DQ\ FLUFXPVWDQFHV

&RUUHFW PRQLWRULQJ RI WKH PRWRU WHPSHUDWXUH LV LPSHUDWLYH WR HQVXUH

SURWHFWLRQ2EVHUYH WKH ZLULQJ GLDJUDPV6HFWLRQ 3DJH

1HYHU RSHUDWH DQ H[SORVLRQ SURRI SXPS VHW ZLWKRXW WHPSHUDWXUH PRQLWRU

0RGLILFDWLRQV RU DOWHUDWLRQ RI WKH SXPS VHW PD\ DIIHFW H[SORVLRQ SURWHFWDUH RQO\ SHUPLWWHG DIWHU FRQVXOWDWLRQ ZLWK WKH PDQXIDFWXUHU

2QO\ RULJLQDO VSDUH SDUWV DQG DFFHVVRULHV DXWKRUL]HG E\ WKH PDQXIDFWXUXVHG IRU H[SORVLRQ SURRI SXPSV

6DIHW\

$PDUH[ .57 RI


12/58


7UDQVSRUW

'$1*(5

,PSURSHU WUDQVSRUW'DQJHU WR OLIH IURP IDOOLQJ SDUWV'DPDJH WR WKH SXPS VHW

8VH WKH DWWDFKPHQW SRLQW SURYLGHG H\HEROW OLIWLQJ OXJ RU EDLO IRU DWWOLIWLQJ DFFHVVRULHV

1HYHU VXVSHQG WKH SXPS VHW E\ LWV SRZHU FDEOH

1HYHU XVH WKH FKDLQV RU OLIWLQJ URSHV LQFOXGHG LQ .6% V VFRSH RI VXSSO\ IRUORDGV RWKHU WKDQ WKH .6% SURGXFW VXSSOLHG

6HFXUHO\ DWWDFK WKH OLIWLQJ URSHV RU FKDLQV WR WKH SXPS DQG FUDQH

7UDQVSRUW WKH SXPS VHW DV LOOXVWUDWHG

6WRUDJH 3UHVHUYDWLRQ,I FRPPLVVLRQLQJ LV WR WDNH SODFH VRPH WLPH DIWHU GHOLYHU\ ZH UHFRPPHQG WKDWIROORZLQJ PHDVXUHV EH WDNHQ IRU SXPS VHW VWRUDJH

&$87,21,PSURSHU VWRUDJH'DPDJH WR WKH SRZHU FDEOHV

6XSSRUW WKH SRZHU FDEOHV DW WKH FDEOH HQWU\ WR SUHYHQW SHUPDQHQW GHI

2QO\ UHPRYH WKH SURWHFWLYH FDSV IURP WKH SRZHU FDEOHV DW WKH WLPH RILQVWDOODWLRQ

&$87,21'DPDJH GXULQJ VWRUDJH E\ KXPLGLW\ GLUW RU YHUPLQ&RUURVLRQ FRQWDPLQDWLRQ RI WKH SXPS VHW

)RU RXWGRRU VWRUDJH FRYHU WKH SXPS VHW RU WKH SDFNDJHG SXPS VHW DQGDFFHVVRULHV ZLWK ZDWHUSURRI PDWHULDO


RI $PDUH[ .57


13/58

&$87,21:HW FRQWDPLQDWHG RU GDPDJHG RSHQLQJV DQG FRQQHFWLRQV/HDNDJH RU GDPDJH WR WKH SXPS VHW

2QO\ UHPRYH FDSV FRYHUV IURP WKH RSHQLQJV RI WKH SXPS VHW DW WKH WLPH RILQVWDOODWLRQ

7DEOH $PELHQW FRQGLWLRQV IRU VWRUDJH

$PELHQW FRQGLWLRQV 9DOXH5HODWLYH KXPLGLW\ WR

QRQ FRQGHQVLQJ$PELHQW WHPSHUDWXUH ) WR ) > & WR &@

6WRUH WKH SXPS VHW XQGHU GU\ DQG YLEUDWLRQ IUHH FRQGLWLRQV LI SRVVLEOHRULJLQDO SDFNDJLQJ

6SUD\ FRDW WKH LQVLGH ZDOO RI WKH SXPS FDVLQJ DQG LQ SDUWLFXODU WKH LPSHFOHDUDQFH DUHDV ZLWK D SUHVHUYDWLYH

6SUD\ WKH SUHVHUYDWLYH WKURXJK WKH VXFWLRQ DQG GLVFKDUJH QR]]OHV,W LV DGYLVDEOH WR WKHQ FORVH WKH SXPS QR]]OHV H J ZLWK SODVWLF FDSV RU V

127(2EVHUYH WKH PDQXIDFWXUHU V LQVWUXFWLRQV IRU DSSOLFDWLRQ UHPRYDO RI WKH SUHV

5HWXUQ WR VXSSOLHU 'UDLQ WKH SXPS DV SHU RSHUDWLQJ LQVWUXFWLRQV

$OZD\V IOXVK DQG FOHDQ WKH SXPS SDUWLFXODUO\ LI LW KDV EHHQ XVHG IRU KDQGQR[LRXV H[SORVLYH KRW RU RWKHU KD]DUGRXV IOXLGV

,I WKH IOXLGV KDQGOHG E\ WKH SXPS VHW OHDYH UHVLGXHV ZKLFK PLJKW OHDG WFRUURVLRQ ZKHQ FRPLQJ LQWR FRQWDFW ZLWK DWPRVSKHULF KXPLGLW\ RU ZKLFK PLJQLWH ZKHQ FRPLQJ LQWR FRQWDFW ZLWK R[\JHQ WKH SXPS VHW PXVW EH QHXWUDDQG DQK\GURXV LQHUW JDV PXVW EH EORZQ WKURXJK WKH SXPS IRU GU\LQJ SXUSRV

$OZD\V FRPSOHWH DQG HQFORVH D FHUWLILFDWH RI GHFRQWDPLQDWLRQ ZKHQ UHWXWKH SXPS VHW 6HFWLRQ 3DJH

$OZD\V LQGLFDWH DQ\ VDIHW\ DQG GHFRQWDPLQDWLRQ PHDVXUHV WDNHQ

127(,I UHTXLUHG D EODQN FHUWLILFDWH RI GHFRQWDPLQDWLRQ FDQ EH GRZQORDGHG IURP WKHVLWH DWZZZ NVE FRP FHUWLILFDWHBRIBGHFRQWDPLQDWLRQ

$OVR VHH &HUWLILFDWH RI 'HFRQWDPLQDWLRQ >@

'LVSRVDO

:$51,1*

+DUPIXO DQG RU KRW IOXLGV+D]DUGRXV WR SHUVRQV DQG WKH HQYLURQPHQW

&ROOHFW DQG SURSHUO\ GLVSRVH RI IOXVKLQJ OLTXLG DQG DQ\ OLTXLG UHVLGXHV

:HDU VDIHW\ FORWKLQJ DQG D SURWHFWLYH PDVN LI UHTXLUHG

2EVHUYH DOO OHJDO UHJXODWLRQV RQ WKH GLVSRVDO RI IOXLGV SRVLQJ D KHDOWK

'LVPDQWOH WKH SXPS VHW&ROOHFW JUHDVHV DQG RWKHU OXEULFDQWV GXULQJ GLVPDQWOLQJ


$PDUH[ .57 RI


14/58

6HSDUDWH DQG VRUW WKH SXPS PDWHULDOV H J E\0HWDOV3ODVWLFV(OHFWURQLF ZDVWH*UHDVHV DQG RWKHU OXEULFDQWV

'LVSRVH RI PDWHULDOV LQ DFFRUGDQFH ZLWK ORFDO UHJXODWLRQV RU LQ DQRWKHUPDQQHU


RI $PDUH[ .57


15/58


*HQHUDO GHVFULSWLRQ

3XPS IRU KDQGOLQJ XQWUHDWHG VHZDJH DQG DOO W\SHV RI ZDVWH ZDWHU

&ORVH FRXSOHG SXPS ZLWK VKDIW VHDO

'LUHFWO\ IODQJHG VWDQGDUGL]HG PRWRU

'LUHFW GULYH HOHFWULF PRWRU

'HVLJQDWLRQ( [DPSOH .57 . ; . * +

7DEOH .H\ WR WKH GHVLJQDWLRQ

&RGH 'HVFULSWLRQ.57 7\SH VHULHV. ,PSHOOHU W\SH H J . FKDQQHO LPSHOOHU

1RPLQDO GLVFKDUJH QR]]OH GLDPHWHU '1 >PP@ 0D[LPXP QRPLQDO LPSHOOHU GLDPHWHU >PP@ 0RWRU VL]H

1XPEHU RI SROHV; 0RWRU YHUVLRQ H J ; H[SORVLRQ SURRI YHUVLRQ. 'U\ LQVWDOODWLRQ FRQYHFWLRQ LQ DLU* 0DWHULDO YDULDQW H J * FRPSOHWH SXPS LQ JUH\ FDVW LURQ+ ,QVWDOODWLRQ W\SH H J + KRUL]RQWDO LQVWDOODWLRQ

1DPH SODWH

7


16/58

'HVLJQ GHWDLOV'HVLJQ

)XOO\ IORRGDEOH VXEPHUVLEOH PRWRU SXPS

1RW VHOI SULPLQJ

&ORVH FRXSOHG GHVLJQ

,PSHOOHU W\SH

9DULRXV DSSOLFDWLRQ RULHQWHG LPSHOOHU W\SHV6KDIW VHDO

7ZR EL GLUHFWLRQDO PHFKDQLFDO VHDOV LQ WDQGHP DUUDQJHPHQW ZLWK OLTXLG

6WDQGDUG EHDULQJ DVVHPEO\

*UHDVH SDFNHG EHDULQJV VHDOHG IRU OLIH

0DLQWHQDQFH IUHH

'ULYH

7KUHH SKDVH DV\QFKURQRXV VTXLUUHO FDJH PRWRU

0RWRUV LQWHJUDWHG LQ H[SORVLRQ SURRI SXPS VHWV DUH VXSSOLHG ZLWK D ILUH SURKRXVLQJ VXLWDEOH IRU XVH LQ &ODVV , 'LY *URXSV & ' FODVVLILHG KD]DUGRXVHQYLURQPHQWV

7\SHV RI LQVWDOODWLRQ7DEOH 7\SHV RI LQVWDOODWLRQ

7\SH RI LQVWDOODWLRQ ,OOXVWUDWLRQ 'HVFULSWLRQ+RUL]RQWDO GU\ LQVWDOODWLRQ LQVWDOODWLRQ W\SH + 3XPS VHW ZLWK GLUH

PRWRU KRUL]RQWDO LQVWDOODWLRQ

9HUWLFDO GU\ LQVWDOODWLRQ LQVWDOODWLRQ W\SH ' 3XPS VHW ZLWK GLUHFWO\ IODQJHGPRWRU YHUWLFDO LQVWDOODWLRQ ZLVXFWLRQ GXFNIRRW EHQG


RI $PDUH[ .57


17/58

&RQILJXUDWLRQ DQG IXQFWLRQ

)LJ 6HFWLRQDO GUDZLQJ

&DVLQJ ZHDU ULQJ 'LVFKDUJH QR]]OH 'LVFKDUJH FRYHU 6KDIW %HDULQJ EUDFNHW 6XFWLRQ QR]]OH ,PSHOOHU 6KDIW VHDO

%HDULQJ SXPS HQG %HDULQJ PRWRU HQG

7KH SXPS LV GHVLJQHG ZLWK DQ D[LDO IOXLG LQOHW DQG D UDGLDO RXWOHW 7KH K\GUV\VWHP VLWV RQ WKH H[WHQGHG PRWRU VKDIW 7KH VKDIW UXQV LQ FRPPRQ EHDULQJV

7KH IOXLG HQWHUV WKH SXPS D[LDOO\ YLD D VXFWLRQ QR]]OH DQG LV DFFHOHUDWHGLQ D F\OLQGULFDO IORZ E\ WKH URWDWLQJ LPSHOOHU ,Q WKH IORZ SDVVDJH RI WKH SXFDVLQJ WKH NLQHWLF HQHUJ\ RI WKH IOXLG LV FRQYHUWHG LQWR SUHVVXUH HQHUJ\ 7KSXPSHG WR WKH GLVFKDUJH QR]]OH ZKHUH LW OHDYHV WKH SXPS 7KH FDVLQJ ZHDU U

SUHYHQWV DQ\ IOXLG IURP IORZLQJ EDFN IURP WKH FDVLQJ LQWR WKH LQOHW $W WKHVLGH RI WKH LPSHOOHU WKH VKDIW HQWHUV WKH FDVLQJ YLD WKH GLVFKDUJH FRYHVKDIW SDVVDJH WKURXJK WKH SXPS FDVLQJ LV VHDOHG WRZDUGV WKH DWPRVSKHUH ZLVKDIW VHDO 7KH VKDIW UXQV LQ UROOLQJ HOHPHQW EHDULQJV DQG ZKLFK DUHVXSSRUWHG E\ D EHDULQJ EUDFNHW OLQNHG ZLWK WKH SXPS FDVLQJ DQG RU GLVFKDUFRYHU

7KH SXPS LV VHDOHG E\ WZR EL URWDWLRQDO PHFKDQLFDO VHDOV LQ WDQGHP DUUDQJH$ OXEULFDQW UHVHUYRLU LQ EHWZHHQ WKH VHDOV HQVXUHV FRROLQJ DQG OXEULFDWPHFKDQLFDO VHDOV

'HVLJQ

)XQFWLRQ

6HDOLQJ


$PDUH[ .57 RI


18/58

1RLVH FKDUDFWHULVWLFV7DEOH 6XUIDFH VRXQG SUHVVXUH OHYHO /S$

5DWHG SRZHU3

>KS@

3XPS VHWUSP>G%@

USP>G%@

USP>G%@

6FRSH RI VXSSO\'HSHQGLQJ RQ WKH PRGHO WKH IROORZLQJ LWHPV DUH LQFOXGHG LQ WKH VFRSH RI VXS

3XPS VHW FRPSOHWH ZLWK HOHFWULF FDEOHV

)RXQGDWLRQ UDLOV IRU KRUL]RQWDO LQVWDOODWLRQ

6XFWLRQ VLGH IODQJHG WDSHU SLHFH RU LQWDNH HOERZ ZLWK LQVSHFWLRQ KROH

6XFWLRQ GXFNIRRW EHQG IRU YHUWLFDO LQVWDOODWLRQ

127( $ VHSDUDWH QDPH SODWH LV LQFOXGHG LQ .6% V VFRSH RI VXSSO\7KLV QDPH SODWH PXVW EH DWWDFKHG LQ D FOHDUO\ YLVLEOH SRVLWLRQ RXWVLGH WKH SLQVWDOODWLRQ H J DW WKH FRQWURO SDQHO SLSHOLQH RU PRXQWLQJ EUDFNHW

'LPHQVLRQV DQG ZHLJKWV)RU GLPHQVLRQV DQG ZHLJKWV SOHDVH UHIHU WR WKH JHQHUDO DUUDQJHPHQW GUDZLGUDZLQJ RU GDWD VKHHW RI WKH SXPS VHW

0HDVXUHG DW D GLVWDQFH RI P IURP WKH SXPS RXWOLQH


RI $PDUH[ .57


19/58


6DIHW\ UHJXODWLRQV

'$1*(5

,PSURSHU LQVWDOODWLRQ LQ SRWHQWLDOO\ H[SORVLYH DWPRVSKHUHV'DPDJH WR WKH SXPS VHW

&RPSO\ ZLWK WKH DSSOLFDEOH ORFDO H[SORVLRQ SURWHFWLRQ UHJXODWLRQV

2EVHUYH WKH LQIRUPDWLRQ JLYHQ LQ WKH GDWD VKHHW DQG RQ WKH SXPS PRWRUSODWHV

&KHFNV WR EH FDUULHG RXW SULRU WR LQVWDOODWLRQ3ODFH RI LQVWDOODWLRQ

:$51,1*

,QVWDOODWLRQ RQ IRXQGDWLRQV ZKLFK DUH XQVHFXUHG DQG FDQQRW VXSSRUW WKH OR3HUVRQDO LQMXU\ DQG GDPDJH WR SURSHUW\

0DNH VXUH WKH IRXQGDWLRQ FRQFUHWH LV RI VXIILFLHQW VWUHQJWK PLQ SVL>& WR ',1 @2QO\ SODFH WKH SXPS VHW RQ D IRXQGDWLRQ ZKRVH FRQFUHWH KDV VHW ILUPO\

2QO\ SODFH WKH SXPS VHW RQ D KRUL]RQWDO DQG OHYHO VXUIDFH

5HIHU WR WKH ZHLJKWV JLYHQ LQ WKH JHQHUDO DUUDQJHPHQW GUDZLQJ

$Q\ UHVRQDQFHV DW WKH XVXDO H[FLWDWLRQ IUHTXHQFLHV [ DQG [ URWDWLRQDO IUURWDWLRQDO QRLVH PXVW EH SUHYHQWHG ERWK LQ WKH IRXQGDWLRQ DQG LQ WKH FRSLSLQJ DV VXFK IUHTXHQFLHV PD\ FDXVH H[WUHPH YLEUDWLRQV

&KHFN WKH VWUXFWXUDO UHTXLUHPHQWV$OO VWUXFWXUDO ZRUN UHTXLUHG PXVW KDYH EHHQ SUHSDUHG LQ DFFRUGDQFH ZLGLPHQVLRQV VWDWHG LQ WKH RXWOLQH GUDZLQJ JHQHUDO DUUDQJHPHQW GUDZLQ

&KHFNLQJ WKH OXEULFDQW OHYHO7KH OXEULFDQW UHVHUYRLUV KDYH EHHQ ILOOHG ZLWK DQ HQYLURQPHQWDOO\ IULHQOXEULFDQW DW WKH IDFWRU\

3RVLWLRQ WKH SXPS VHW DV VKRZQ

)LJ &KHFNLQJ WKH OXEULFDQW OHYHO

8QVFUHZ VFUHZ SOXJ ZLWK MRLQW ULQJ

7KH OXEULFDQW OHYHO PXVW UHDFK WKH ILOOHU RSHQLQJ

,I WKH OXEULFDQW OHYHO LV ORZHU WRS XS OXEULFDQW WKURXJK WKH ILOOHU RSHWKH OXEULFDQW UHVHUYRLU RYHUIORZV

&ORVH VFUHZ SOXJ ZLWK MRLQW ULQJ

5HVRQDQFHV


$PDUH[ .57 RI


20/58

&KHFNLQJ WKH GLUHFWLRQ RI URWDWLRQ

'$1*(5

3XPS VHW UXQQLQJ GU\([SORVLRQ KD]DUG

&KHFN WKH GLUHFWLRQ RU URWDWLRQ RI H[SORVLRQ SURRI SXPS VHWV RXWVLGH SH[SORVLYH DWPRVSKHUHV

:$51,1*

+DQGV RU REMHFWV LQVLGH WKH SXPS FDVLQJ5LVN RI LQMXULHV GDPDJH WR WKH SXPS

1HYHU SODFH \RXU KDQGV RU DQ\ RWKHU REMHFWV LQWR WKH SXPS

&KHFN WKDW WKH LQVLGH RI WKH SXPS LV IUHH IURP DQ\ IRUHLJQ REMHFWV

&$87,213XPS VHW UXQQLQJ GU\,QFUHDVHG YLEUDWLRQV'DPDJH WR PHFKDQLFDO VHDOV DQG EHDULQJV

1HYHU RSHUDWH WKH SXPS VHW ZLWKRXW WKH IOXLG WR EH KDQGOHG IRU PRUH WVHFRQGV

7KH SXPS VHW LV SRVLWLRQHG DV LOOXVWUDWHG EHORZ DQG VHFXUHG DJDLQVW U

7KH SXPS VHW LV FRQQHFWHG WR WKH SRZHU VXSSO\

6WDUW WKH SXPS VHW DQG VWRS LW DJDLQ LPPHGLDWHO\ WR GHWHUPLQH WKH PRWGLUHFWLRQ RI URWDWLRQ

&KHFN WKH GLUHFWLRQ RI URWDWLRQ,PSHOOHU URWDWLRQ PXVW EH DQWL FORFNZLVH VHHQ IURP WKH SXPS PRXWK HQGVRPH SXPS FDVLQJV WKH GLUHFWLRQ RI URWDWLRQ LV PDUNHG E\ DQ DUURZ

)LJ &KHFNLQJ WKH GLUHFWLRQ RI URWDWLRQ

,I WKH LPSHOOHU LV UXQQLQJ LQ WKH ZURQJ GLUHFWLRQ RI URWDWLRQ FKHFN WKHFRQQHFWLRQ RI WKH SXPS DQG WKH FRQWURO V\VWHP LI QHFHVVDU\

'LVFRQQHFW WKH SXPS VHW IURP WKH SRZHU VXSSO\ DQG PDNH VXUH LW FDQQRW EHVZLWFKHG RQ DFFLGHQWDOO\

,QVWDOOLQJ WKH SXPS VHW)DVWHQLQJ

)DVWHQ WKH SXPS IHHW ZLWK RU ZLWKRXW IRXQGDWLRQ UDLOV RU WKH VXFWLRQEHQG WR D FRQFUHWH IRXQGDWLRQ ZLWK FKHPLFDO DQFKRUV


RI $PDUH[ .57


21/58

) LJ ,QVWDOODWLRQ RQ D IRXQGDWLRQ ZLWK FKHPLFDO DQFKRUV

%ROW WR EROW FOHDUDQFH 6KLP 6KLP &KHPLFDO DQFKRU

7KH IRXQGDWLRQ KDV WKH UHTXLUHG VWUHQJWK DQG FKDUDFWHULVWLFV

7KH IRXQGDWLRQ KDV EHHQ SUHSDUHG LQ DFFRUGDQFH ZLWK WKH GLPHQVLRQV JLYWKH RXWOLQH GUDZLQJ JHQHUDO DUUDQJHPHQW GUDZLQJ

3RVLWLRQ WKH SXPS VHW RQ WKH IRXQGDWLRQ DQG DOLJQ LW ZLWK WKH KHOS RI D VOHYHO SODFHG RQ WKH VKDIW DQG GLVFKDUJH QR]]OH3HUPLVVLEOH GHYLDWLRQLQFK P > PP P @

8VH VKLPV IRU KHLJKW FRPSHQVDWLRQ LI QHFHVVDU\

$OZD\V ILW VKLPV LPPHGLDWHO\ WR WKH OHIW DQG ULJKW RI WKH FKHPLFDO DQFKREHWZHHQ WKH EDVHSODWH IRXQGDWLRQ IUDPH DQG WKH IRXQGDWLRQ LWVHOI)RU D EROW WR EROW FOHDUDQFHLQ > PP@ ILW DGGLWLRQDO VKLPVKDOIZD\ EHWZHHQ WKH DGMRLQLQJ KROHV$OO VKLPV PXVW OLH SHUIHFWO\ IOXVK

'ULOO WKH KROHV DV VSHFLILHG LQ WKH WDEOH &KHPLFDO DQFKRU EROW GLPHQVLFOHDQ WKH KROHV

:$51,1*

,PSURSHU KDQGOLQJ RI PRUWDU FDUWULGJHV6NLQ VHQVLWL]DWLRQ RU LUULWDWLRQ

:HDU VXLWDEOH SURWHFWLYH FORWKLQJ

,QVHUW WKH PRUWDU FDUWULGJHV LQWR WKH GULOOHG KROHV

2EVHUYH WKH FXULQJ WLPHV RI WKH PRUWDU FDUWULGJHV ,QVHUW WKUHDGHG URGV LQWR WKH FRUUHVSRQGLQJ GULOOHG KROHV ZLWK DQ HO

H J LPSDFW GULOO KDPPHU GULOO

$IWHU WKH FXULQJ WLPH VHH WDEOH WLJKWHQ WKH FKHPLFDO DQFKRUV HYHQOWLJKWO\

*URXW WKH EDVHSODWH XVLQJ ORZ VKULQNDJH FRQFUHWH


$PDUH[ .57 RI


22/58

7DEOH &KHPLFDO DQFKRU EROW GLPHQVLRQV

6L]H GR>LQ @

>PP@

W KUHT>LQ @

>PP@

WIL[>LQ @

>PP@

:$)>LQ @

>PP@

0>LQ @

>PP@

+H[KHDG:$)>LQ @

>PP@

7RUTXHDVV\

>IW OEV@>1P@

[0 [

[0 [

[0 [

[0 [

[0 [

[0 [

7DEOH &XULQJ WLPHV RI PRUWDU FDUWULGJH

)ORRU WHPSHUDWXUH &XULQJ WLPH>PLQ@

) WR ) > & WR &@ ) WR ) > & WR &@ ) WR ) > & WR &@

! ) > &@

3LSLQJ

&RQQHFWLQJ WKH SLSLQJ

'$1*(5

,PSHUPLVVLEOH ORDGV DFWLQJ RQ WKH SXPS QR]]OHV'DQJHU WR OLIH IURP OHDNDJH RI KRW WR[LF FRUURVLYH RU IODPPDEOH IOXLGV

'R QRW XVH WKH SXPS DV DQ DQFKRUDJH SRLQW IRU WKH SLSLQJ$QFKRU WKH SLSHOLQHV LQ FORVH SUR[LPLW\ WR WKH SXPS DQG FRQQHFW WKHP ZLWWUDQVPLWWLQJ DQ\ VWUHVVHV RU VWUDLQV

2EVHUYH WKH SHUPLVVLEOH IRUFHV DQG PRPHQWV DW WKH SXPS QR]]OHV

7DNH DSSURSULDWH PHDVXUHV WR FRPSHQVDWH WKHUPDO H[SDQVLRQ RI WKH SLSL

127(,W LV UHFRPPHQGHG WR LQVWDOO FKHFN DQG VKXW RII HOHPHQWV LQ WKH V\VWHP GHSHQW\SH RI SODQW DQG SXPS +RZHYHU VXFK HOHPHQWV PXVW QRW REVWUXFW SURSHU GUDLQKLQGHU GLVDVVHPEO\ RI WKH SXPS

7KH VXFWLRQ OLIW VXFWLRQ KHDG OLQHV KDYH EHHQ ODLG ZLWK D ULVLQJ GRZQZDWRZDUGV WKH SXPS

7KH QRPLQDO GLDPHWHUV RI WKH SLSHOLQHV DUH DW OHDVW HTXDO WR WKH QRPLGLDPHWHUV RI WKH SXPS QR]]OHV

$GDSWHUV WR ODUJHU QRPLQDO GLDPHWHUV DUH GHVLJQHG ZLWK D GLIIXVHU DQJODSSUR[ WR DYRLG H[FHVVLYH SUHVVXUH ORVVHV

7KH SLSHOLQHV KDYH EHHQ DQFKRUHG LQ FORVH SUR[LPLW\ WR WKH SXPS DQG FRQQZLWKRXW WUDQVPLWWLQJ DQ\ VWUHVVHV RU VWUDLQV

W

K U H T

W I L [

6 :0

GR

O

+H[:$)

)LJ 'LPHQVLRQV

0RXQWLQJ DFFHVVRULHV RI UHVSHFWLYH PDQXIDFWXUHU UHTXLUHG


RI $PDUH[ .57


23/58

7KRURXJKO\ FOHDQ IOXVK DQG EORZ WKURXJK DOO YHVVHOV SLSHOLQHV DQG FRQQHVSHFLDOO\ RI QHZ LQVWDOODWLRQV

%HIRUH LQVWDOOLQJ WKH SXPS LQ WKH SLSLQJ UHPRYH WKH IODQJH FRYHUV RQ WKDQG GLVFKDUJH QR]]OHV RI WKH SXPS

&RQQHFW WKH SXPS QR]]OHV WR WKH SLSLQJ

3 HUPLVVLEOH IRUFHV DQG PRPHQWV DW WKH SXPS QR]]OHV

> @) \

) ]

) [

) [

) ]) \

) [

) ]

) \

0 \0 ]

0 [

)RUFHV DQG PRPHQWV DW WKH SXPS QR]]OHV

7KH UHVXOWLQJ SHUPLVVLEOH IRUFHV KDYHEHHQ GHWHUPLQHG DFFRUGLQJ WR

7KH GDWD RQ IRUFHV DQG PRPHQWV DSSO\ WR VWDWLF SLSLQJ ORDGV RQO\ ,I WKH OLPLWH[FHHGHG WKH\ PXVW EH FKHFNHG DQG YHULILHG,I D FRPSXWHUL]HG VWUHQJWK DQDO\VLV LV UHTXLUHG SOHDVH FRQWDFW .6%7KH YDOXHV DUH RQO\ DSSOLFDEOH LI WKH SXPS LV LQVWDOOHG RQ D FRPSOHWHO\ JURXEDVHSODWH DQG EROWHG WR D ULJLG DQG OHYHO IRXQGDWLRQ

7DEOH )RUFHV DQG PRPHQWV DW WKH SXPS QR]]OHV

3XPSVL]HV

6XFWLRQ QR]]OH>OEV@

>GD1@

'LVFKDUJH QR]]OH>OEV@

>GD1@

6XFWLRQ QR]]OH>IW OEV@>GD1P@

'LVFKDUJH QR]]OH>IW OEV@>GD1P@

) [ ) \ ) ] ) UHV ) [ ) \7HQV ) \3UHVV ) ] ) UHV 0 [ 0 \ 0 ] 0 [ 0 \ 0 ]

9 DFXXP EDODQFH OLQH

127(:KHUH IOXLG KDV WR EH SXPSHG RXW RI D YHVVHO XQGHU YDFXXP LW LV UHFRPPHQGHG WR

D YDFXXP EDODQFH OLQH7KH IROORZLQJ UXOHV DSSO\ WR YDFXXP EDODQFH OLQHV

0LQLPXP QRPLQDO OLQH GLDPHWHU LQ > PP@

7KH OLQH H[WHQGV DERYH WKH KLJKHVW SHUPLVVLEOH IOXLG OHYHO LQ WKH WDQ


$PDUH[ .57 RI


24/58

) LJ 9DFXXP EDODQFH OLQH

9 HVVHO XQGHU YDFXXP 9DFXXP EDODQFH OLQH 6KXW RII HOHPHQW 6ZLQJ FKHFN YDOYH 0DLQ VKXW RII HOHPHQW 9DFXXP WLJKW VKXW RII HOHPHQW

127( $Q DGGLWLRQDO OLQH ILWWHG ZLWK D VKXW RII YDOYH IURP WKH SXPS GLVFKDUJH QR]]OHEDODQFH OLQH IDFLOLWDWHV YHQWLQJ RI WKH SXPS EHIRUH VWDUW XS

$X[LOLDU\ FRQQHFWLRQV

:$51,1*

6FUHZ SOXJV VXEMHFWHG WR SUHVVXUH5LVN RI LQMXULHV E\ SDUWV IO\LQJ RII DQG HVFDSLQJ IOXLG

1HYHU XVH VFUHZ SOXJV IRU UHOHDVLQJ SUHVVXUH IURP WKH SXPS FDVLQJ

7KH IROORZLQJ DX[LOLDU\ FRQQHFWLRQV DUH DYDLODEOH

0

0

%

'

'

0

%

)LJ $X[LOLDU\ FRQQHFWLRQV


RI $PDUH[ .57


25/58

7DEOH 6L]HV RI DX[LOLDU\ FRQQHFWLRQV

&RQQHFWLRQ 'HVFULSWLRQ 6L]H

0 3UHVVXUH JDXJH * ' 9HQWLQJ *0 3UHVVXUH YDFXXP JDXJH * % &DVLQJ GUDLQ * *' 2LO ILOOLQJ *

(OHFWULFDO FRQQHFWLRQ

, QIRUPDWLRQ IRU SODQQLQJ WKH FRQWURO V\VWHP

)RU WKH HOHFWULFDO FRQQHFWLRQ RI WKH SXPS VHW REVHUYH WKH ZLULQJ GLDJUDP FLQ WKH $QQH[ 6HFWLRQ 3DJH7KH SXPS VHW LV VXSSOLHG ZLWK SRZHU FDEOHV LW LV ZLUHG IRU '2/ VWDUWLQJ 6WDUVWDUWLQJ LV DOVR SRVVLEOH

127(:KHQ OD\LQJ D FDEOH EHWZHHQ WKH FRQWURO V\VWHP DQG WKH SXPS VHW V FRQQHFWLRQ SPDNH VXUH WR KDYH D VXIILFLHQW QXPEHU RI FRUHV IRU WKH VHQVRUV $ PLQLPXP FURVV VRI PPt $:* LV UHTXLUHG

7KH PRWRUV PD\ EH FRQQHFWHG WR HOHFWULFDO ORZ YROWDJH JULGV ZLWK QRPLQDO YDQG YROWDJH WROHUDQFHV WR ,(& RU RWKHU JULGV RU SRZHU VXSSO\ IDFLOLWLHV ZLPD[LPXP QRPLQDO YROWDJH WROHUDQFHV RI

2 YHUORDG SURWHFWLRQ

3URWHFW WKH SXPS VHW DJDLQVW RYHUORDGLQJ E\ D WKHUPDO WLPH ODJ RYHUORDSURWHFWLRQ GHYLFH LQ DFFRUGDQFH ZLWK ,(& DQG ORFDO UHJXODWLRQV

6HW WKH RYHUORDG SURWHFWLRQ GHYLFH WR WKH UDWHG FXUUHQW VSHFLILHG RQSODWH

) UHTXHQF\ LQYHUWHU RSHUDWLRQ

7KH SXPS VHW LV VXLWDEOH IRU IUHTXHQF\ LQYHUWHU RSHUDWLRQ DV SHU ,(&

'$1*(5

2SHUDWLRQ RXWVLGH WKH SHUPLWWHG IUHTXHQF\ UDQJH([SORVLRQ KD]DUG

1HYHU RSHUDWH DQ H[SORVLRQ SURRI SXPS VHW RXWVLGH WKH VSHFLILHG UDQJH

'$1*(5

,QFRUUHFW FXUUHQW OLPLW RI WKH IUHTXHQF\ LQYHUWHU([SORVLRQ KD]DUG

6HW WKH FXUUHQW OLPLW RI WKH IUHTXHQF\ LQYHUWHU WR PD[LPXP WLPHV WKHFXUUHQW LQGLFDWHG RQ WKH QDPH SODWH

:KHQ VHOHFWLQJ D IUHTXHQF\ LQYHUWHU FKHFN WKH IROORZLQJ GHWDLOV6HOHFWLRQ


$PDUH[ .57 RI


26/58

'DWD SURYLGHG E\ WKH PDQXIDFWXUHU

(OHFWULFDO GDWD RI WKH SXPS VHW SDUWLFXODUO\ WKH UDWHG FXUUHQW

(QVXUH VKRUW VWDUW UDPSV PD[LPXP VHFRQGV

2QO\ VWDUW VSHHG FRQWUROOHG RSHUDWLRQ DIWHU DW OHDVW PLQXWHV DW WK3XPS VWDUW XS ZLWK ORQJ VWDUW UDPSV DQG ORZ IUHTXHQF\ PD\ FDXVH FORJJLQJ

)RU IUHTXHQF\ LQYHUWHU RSHUDWLRQ RI WKH SXPS VHW REVHUYH WKH IROORZLQJ OLP

2QO\ XWLOL]H XS WR RI WKH PRWRU UDWLQJ 3LQGLFDWHG RQ WKH QDPH SODWH)UHTXHQF\ UDQJH +]

)UHTXHQF\ LQYHUWHU RSHUDWLRQ SURGXFHV 5), HPLVVLRQV RI YDULRXV H[WHQWV GHRQ WKH LQYHUWHU XVHG W\SH LQWHUIHUHQFH VXSSUHVVLRQ PDNH 7R SUHYHQW WKV\VWHP FRQVLVWLQJ RI D VXEPHUVLEOH PRWRU DQG D IUHTXHQF\ LQYHUWHU IURP H[FHWKH OLPLWV VWLSXODWHG LQ (1 DOZD\V REVHUYH WKH (0& LQVWUXFWLRQV RI WKHPDQXIDFWXUHU ,I WKH LQYHUWHU PDQXIDFWXUHU UHFRPPHQGV XVLQJ D VKLHOGHG SRFDEOH PDNH VXUH WR XVH D SXPS VHW ZLWK D VKLHOGHG SRZHU FDEOH

7KH SXPS VHW JHQHUDOO\ PHHWV WKH LPPXQLW\ UHTXLUHPHQWV WR (1 7R PRQLWRUWKH ILWWHG VHQVRUV WKH RSHUDWRU LV UHVSRQVLEOH IRU SURYLGLQJ LQWHUIHUHQVHOHFWLQJ VXLWDEOH FDEOHV IRU WKH V\VWHP DQG OD\LQJ WKHP SURSHUO\ 7KH SRZHFRQWURO FDEOH RI WKH SXPS VHW GRHV QRW QHHG WR EH PRGLILHG 6XLWDEOH DQDO\VHTXLSPHQW KDV WR EH VHOHFWHG 7R PRQLWRU WKH OHDNDJH VHQVRU LQVLGH WKH PRUHFRPPHQGHG WR XVH D VSHFLDO UHOD\ DYDLODEOH IURP .6%

6 HQVRUV

'$1*(5

2SHUDWLQJ DQ LQFRPSOHWHO\ FRQQHFWHG SXPS VHW'DPDJH WR WKH SXPS VHW

1HYHU VWDUW XS D SXPS VHW ZLWK LQFRPSOHWHO\ FRQQHFWHG SRZHU FDEOHV RURSHUDWLRQDO PRQLWRULQJ GHYLFHV

&$87,21,QFRUUHFW ZLULQJ'DPDJH WR WKH VHQVRUV

2EVHUYH WKH OLPLWV VWDWHG LQ WKH IROORZLQJ VHFWLRQV RI WKLV PDQXDO ZKFRQQHFWLQJ WKH VHQVRUV

7KH SXPS VHW LV HTXLSSHG ZLWK VHQVRUV GHVLJQHG WR SUHYHQW KD]DUGV DQG GDPWKH SXPS VHW

127(5HOLDEOH DQG VDIH RSHUDWLRQ RI WKH SXPS ZLWKLQ WKH VFRSH RI RXU ZDUUDQW\ LV RQOLI WKH VHQVRU VLJQDOV DUH SURSHUO\ DQDO\]HG DV VWLSXODWHG LQ WKLV PDQXDO

$OO VHQVRUV DUH ORFDWHG LQVLGH WKH SXPS VHW DQG DUH FRQQHFWHG WR WKH SRZ)RU LQIRUPDWLRQ RQ ZLULQJ DQG FRUH PDUNLQJ SOHDVH UHIHU WR WKH ZLULQJ GLDJUD7KH LQGLYLGXDO VHQVRUV DQG WKH OLPLW YDOXHV WR EH VHW DUH GHVFULEHG LQ WVHFWLRQV

0 RWRU WHPSHUDWXUH

'$1*(5

,QVXIILFLHQW FRROLQJ([SORVLRQ KD]DUG:LQGLQJ GDPDJH

1HYHU RSHUDWH D SXPS VHW ZLWKRXW RSHUDWLRQDO WHPSHUDWXUH PRQLWRULQ

)RU H[SORVLRQ SURRI SXPS VHWV XVH D WKHUPLVWRU WULSSLQJ XQLW ZLWK PDQXD

6WDUW XS

2SHUDWLRQ

(OHFWURPDJQHWLFFRPSDWLELOLW\

*HQHULF LPPXQLW\


RI $PDUH[ .57


27/58


28/58

&$87,210RWRU RYHUORDG'DPDJH WR WKH PRWRU

3URWHFW WKH PRWRU E\ D WKHUPDO WLPH ODJ RYHUORDG SURWHFWLRQ GHYLFH LQDFFRUGDQFH ZLWK ,(& DQG ORFDO UHJXODWLRQV

)RU FRQQHFWLRQ WR SRZHU VXSSO\ REVHUYH WKH ZLULQJ GLDJUDPV LQ WKH $QQH[ DQG

LQIRUPDWLRQ RQ SODQQLQJ WKH FRQWURO V\VWHP

7KH SXPS VHW LV VXSSOLHG FRPSOHWH ZLWK SRZHU FDEOHV $OZD\V XVH DOO FDEOHV SUDQG FRQQHFW DOO PDUNHG FRUHV RI WKH FRQWURO FDEOH

'$1*(5

,QFRUUHFW ZLULQJ([SORVLRQ KD]DUG'DPDJH WR WKH SXPS VHW

7KH FRQQHFWLRQ SRLQW RI WKH FDEOH HQGV PXVW EH ORFDWHG RXWVLGH KD]DUGRU LQ DQ DUHD DSSURYHG IRU HOHFWULFDO HTXLSPHQW

'$1*(5

2SHUDWLQJ DQ LQFRPSOHWHO\ FRQQHFWHG SXPS VHW([SORVLRQ KD]DUG'DPDJH WR WKH SXPS VHW

1HYHU VWDUW XS D SXPS VHW ZLWK LQFRPSOHWHO\ FRQQHFWHG SRZHU FDEOHV RURSHUDWLRQDO PRQLWRULQJ GHYLFHV

7KH SXPS VHW LV ILWWHG ZLWK DQ H[WHUQDO 3( FRQQHFWLRQ WHUPLQDO

'$1*(5

,QFRUUHFW ZLULQJ'DQJHU RI GHDWK IURP HOHFWULF VKRFN

1HYHU RSHUDWH WKH SXPS VHW ZLWKRXW FRQQHFWLQJ WKH 3( FRQGXFWRU

3ULPLQJ DQG YHQWLQJ WKH SXPS

'$1*(5

)RUPDWLRQ RI D SRWHQWLDOO\ H[SORVLYH DWPRVSKHUH LQVLGH WKH SXPS([SORVLRQ KD]DUG

7KH SXPS LQWHUQDOV LQ FRQWDFW ZLWK WKH IOXLG WR EH KDQGOHG LQFOXGLQJFKDPEHU DQG DX[LOLDU\ V\VWHPV PXVW EH ILOOHG ZLWK WKH IOXLG WR EH KDQGOWLPHV

3URYLGH VXIILFLHQW LQOHW SUHVVXUH

3URYLGH DQ DSSURSULDWH PRQLWRULQJ V\VWHP

'$1*(5

6KDIW VHDO IDLOXUH FDXVHG E\ GU\ UXQQLQJ+RW RU WR[LF IOXLG FRXOG HVFDSH'DPDJH WR WKH SXPS

%HIRUH VWDUWLQJ XS WKH SXPS VHW YHQW WKH SXPS DQG VXFWLRQ OLQH DQG SUERWK ZLWK WKH IOXLG WR EH KDQGOHG

9HQW WKH SXPS DQG VXFWLRQ OLQH DQG SULPH ERWK ZLWK WKH IOXLG WR EH KDQG

)XOO\ RSHQ WKH VKXW RII HOHPHQW LQ WKH VXFWLRQ OLQH

)XOO\ RSHQ DOO DX[LOLDU\ FRQQHFWLRQV EDUULHU IOXLG IOXVKLQJ OLTXLG HWF

3RWHQWLDO HTXDOL]DWLRQ


RI $PDUH[ .57


29/58

&RPPLVVLRQLQJ 6WDUW XS 6KXWGRZQ

&RPPLVVLRQLQJ VWDUW XS

3 UHUHTXLVLWHV IRU FRPPLVVLRQLQJ VWDUW XS

%HIRUH FRPPLVVLRQLQJ VWDUWLQJ XS WKH SXPS VHW PDNH VXUH WKDW WKH IROORZLFRQGLWLRQV DUH PHW

7KH SXPS VHW KDV EHHQ SURSHUO\ FRQQHFWHG WR WKH SRZHU VXSSO\ DQG LV HTXLZLWK DOO SURWHFWLRQ GHYLFHV

7KH SXPS KDV EHHQ SULPHG ZLWK WKH IOXLG WR EH KDQGOHG

7KH GLUHFWLRQ RI URWDWLRQ KDV EHHQ FKHFNHG

$OO DX[LOLDU\ FRQQHFWLRQV UHTXLUHG DUH FRQQHFWHG DQG RSHUDWLRQDO

7KH OXEULFDQW KDV EHHQ FKHFNHG

$IWHU SURORQJHG VKXWGRZQ RI WKH SXPS VHW WKH UHTXLUHG DFWLYLWLHV KDYFDUULHG RXW6HFWLRQ 3DJH

6 WDUW XS

'$1*(51RQ FRPSOLDQFH ZLWK WKH SHUPLVVLEOH SUHVVXUH DQG WHPSHUDWXUH OLPLWV LI WKHRSHUDWHG ZLWK WKH VXFWLRQ DQG GLVFKDUJH OLQHV FORVHG([SORVLRQ KD]DUG/HDNDJH RI KRW RU WR[LF IOXLGV

1HYHU RSHUDWH WKH SXPS ZLWK WKH VKXW RII HOHPHQWV LQ WKH VXFWLRQ OLQHGLVFKDUJH OLQH FORVHG

2QO\ VWDUW XS WKH SXPS VHW ZLWK WKH GLVFKDUJH VLGH JDWH YDOYH VOLJKWORSHQ

'$1*(5

([FHVVLYH WHPSHUDWXUHV GXH WR GU\ UXQQLQJ RU H[FHVVLYH JDV FRQWHQW LQ WKH IOX([SORVLRQ KD]DUG'DPDJH WR WKH SXPS VHW

1HYHU RSHUDWH WKH SXPS VHW ZLWKRXW OLTXLG ILOO

3ULPH WKH SXPS DV SHU RSHUDWLQJ LQVWUXFWLRQV

$OZD\V RSHUDWH WKH SXPS ZLWKLQ WKH SHUPLVVLEOH RSHUDWLQJ UDQJH

7KH SXPS VXFWLRQ OLQH DQG GLVFKDUJH OLQH KDYH EHHQ YHQWHG DQG SULPHG ZLIOXLG WR EH KDQGOHG

)XOO\ RSHQ WKH VKXW RII HOHPHQW LQ WKH VXFWLRQ KHDG VXFWLRQ OLIW OLQH

&ORVH VOLJKWO\ RSHQ WKH VKXW RII HOHPHQW LQ WKH GLVFKDUJH OLQH IXOO\ RSHVKXW RII HOHPHQW LI D FKHFN YDOYH LV LQVWDOOHG

6WDUW XS WKH PRWRU

,PPHGLDWHO\ DIWHU WKH SXPS KDV UHDFKHG IXOO URWDWLRQDO VSHHG VZLIWO\ RS

VKXW RII HOHPHQW LQ WKH GLVFKDUJH OLQH DQG DGMXVW LW WR FRPSO\ ZLWK WKHSRLQW

6 KXWGRZQ

&ORVH WKH VKXW RII HOHPHQW LQ WKH GLVFKDUJH OLQH,I WKH GLVFKDUJH OLQH LV HTXLSSHG ZLWK D QRQ UHWXUQ RU FKHFN YDOYH WKH VHOHPHQW PD\ UHPDLQ RSHQ LI WKHUH LV EDFN SUHVVXUH


$PDUH[ .57 RI


30/58


31/58

$ EUDVLYH IOXLGV

'R QRW H[FHHG WKH PD[LPXP SHUPLVVLEOH VROLGV FRQWHQW VSHFLILHG LQ WKH GDWD:KHQ WKH SXPS KDQGOHV IOXLGV FRQWDLQLQJ DEUDVLYH VXEVWDQFHV LQFUHDVHG ZHK\GUDXOLF V\VWHP DQG WKH VKDIW VHDO LV WR EH H[SHFWHG ,Q WKLV FDVH KDOYH WFRPPRQO\ UHFRPPHQGHG IRU VHUYLFLQJ DQG PDLQWHQDQFH

) UHTXHQF\ RI VWDUWV

&$87,215H VWDUWLQJ ZKLOH PRWRU LV VWLOO UXQQLQJ GRZQ'DPDJH WR WKH SXPS VHW

'R QRW UH VWDUW WKH SXPS VHW EHIRUH LW KDV FRPH WR D VWDQGVWLOO

1HYHU VWDUW WKH SXPS VHW ZKLOH WKH SXPS LV UXQQLQJ LQ UHYHUVH

7R SUHYHQW KLJK WHPSHUDWXUH LQFUHDVHV LQ WKH PRWRU DQG H[FHVVLYH ORDGV RPRWRU VHDO HOHPHQWV DQG EHDULQJV WKH PD[LPXP QXPEHU RI VWDUW XSV VKDOO QH[FHHG SHU KRXU DQG SHU \HDU 7KHVH YDOXHV DSSO\ WR PDLQV VWDUW XS '2/ RUZLWK VWDU GHOWD FRQWDFWRU DXWRWUDQVIRUPHU VRIW VWDUWHU 7KHVH OLPLWVIUHTXHQF\ LQYHUWHU RSHUDWLRQ

6 XSSO\ YROWDJH

'$1*(5

1RQ FRPSOLDQFH ZLWK SHUPLVVLEOH VXSSO\ YROWDJH WROHUDQFHV([SORVLRQ KD]DUG

1HYHU RSHUDWH DQ H[SORVLRQ SURRI SXPS VHW RXWVLGH WKH VSHFLILHG UDQJH

7KH PD[LPXP SHUPLVVLEOH GHYLDWLRQ LQ VXSSO\ YROWDJH LV RI WKH UDWHG YROWD7KH YROWDJH GLIIHUHQFH EHWZHHQ WKH LQGLYLGXDO SKDVHV PXVW QRW H[FHHG

) UHTXHQF\ LQYHUWHU RSHUDWLRQ

'$1*(5

2SHUDWLRQ RXWVLGH WKH SHUPLWWHG IUHTXHQF\ UDQJH

([SORVLRQ KD]DUG1HYHU RSHUDWH DQ H[SORVLRQ SURRI SXPS VHW RXWVLGH WKH VSHFLILHG UDQJH

)UHTXHQF\ LQYHUWHU RSHUDWLRQ RI WKH SXPS VHW LV SHUPLWWHG LQ WKH IUHTXHQFIURP WR +]

&$87,213XPSLQJ VROLGV ODGHQ IOXLGV DW UHGXFHG VSHHG,QFUHDVHG ZHDU DQG FORJJLQJ

1HYHU RSHUDWH WKH SXPS VHW ZLWK IORZ YHORFLWLHV EHORZ DSSUR[LQ V> P V@ LQKRUL]RQWDO SLSHV DQG DSSUR[LQ V> P V@ LQ YHUWLFDO SLSHV


$PDUH[ .57 RI


32/58


33/58

:$51,1*

)DLOXUH WR UH LQVWDOO RU UH DFWLYDWH SURWHFWLYH GHYLFHV5LVN RI SHUVRQDO LQMXU\ IURP PRYLQJ SDUWV RU HVFDSLQJ IOXLG

$V VRRQ DV WKH ZRUN LV FRPSOHWHG UH LQVWDOO DQG RU UH DFWLYDWH DQ\ VDIHUHOHYDQW DQG SURWHFWLYH GHYLFHV

127(2Q SXPSV SXPS VHWV ROGHU WKDQ \HDUV ZH UHFRPPHQG UHSODFLQJ DOO HODVWRPHU VHD


$PDUH[ .57 RI


34/58


6DIHW\ UHJXODWLRQV7KH RSHUDWRU HQVXUHV WKDW DOO PDLQWHQDQFH LQVSHFWLRQ DQG LQVWDOODWLRSHUIRUPHG E\ DXWKRUL]HG TXDOLILHG VSHFLDOLVW SHUVRQQHO ZKR DUH WKRURXJKOZLWK WKH PDQXDO

'$1*(56SDUNV SURGXFHG GXULQJ PDLQWHQDQFH ZRUN([SORVLRQ KD]DUG

$OZD\V SHUIRUP PDLQWHQDQFH ZRUN RQ H[SORVLRQ SURRI SXPS VHWV RXWVLGHSRWHQWLDOO\ H[SORVLYH DWPRVSKHUHV

:$51,1*

3XPS VHW VWDUWHG XS LQDGYHUWHQWO\5LVN RI LQMXU\ E\ PRYLQJ SDUWV

0DNH VXUH WKDW WKH SXPS VHW FDQQRW EH VWDUWHG XS DFFLGHQWDOO\

$OZD\V PDNH VXUH WKH HOHFWULFDO FRQQHFWLRQV DUH GLVFRQQHFWHG EHIRUHRXW ZRUN RQ WKH SXPS VHW

:$51,1*

)OXLGV SRVLQJ D KHDOWK KD]DUG RU KRW IOXLGV5LVN RI SHUVRQDO LQMXU\

2EVHUYH DOO UHOHYDQW ODZV

:KHQ GUDLQLQJ WKH IOXLG WDNH DSSURSULDWH PHDVXUHV WR SURWHFW SHUVRQVHQYLURQPHQW

'HFRQWDPLQDWH SXPSV ZKLFK KDQGOH IOXLGV SRVLQJ D KHDOWK KD]DUG

:$51,1*

+RW VXUIDFH5LVN RI SHUVRQDO LQMXU\

$OORZ WKH SXPS VHW WR FRRO GRZQ WR DPELHQW WHPSHUDWXUH

127(6SHFLDO UHJXODWLRQV DSSO\ WR UHSDLU ZRUN RQ H[SORVLRQ SURRI SXPS VHWV 0RGLILFDWDOWHUDWLRQ RI WKH SXPS VHWV PD\ DIIHFW H[SORVLRQ SURWHFWLRQ DQG DUH RQO\ SHUPLFRQVXOWDWLRQ ZLWK WKH PDQXIDFWXUHU

$ UHJXODU PDLQWHQDQFH VFKHGXOH ZLOO KHOS DYRLG H[SHQVLYH UHSDLUV DQG FRQWWURXEOH IUHH UHOLDEOH RSHUDWLRQ RI WKH SXPS VHW ZLWK D PLQLPXP RI PDLQWHQH[SHQGLWXUH DQG ZRUN

127( $OO PDLQWHQDQFH VHUYLFH DQG LQVWDOODWLRQ ZRUN FDQ EH FDUULHG RXW E\ .6% 6HUY\RXU FRQWDFW LQ WKH DWWDFKHG $GGUHVVHV ERRNOHW RU RQ WKH ,QWHUQHW XQGHUZZZ NVE FRP

FRQWDFW

1HYHU XVH IRUFH ZKHQ GLVPDQWOLQJ DQG UHDVVHPEOLQJ WKH SXPS VHW

0DLQWHQDQFH LQVSHFWLRQ.6% UHFRPPHQGV WKH IROORZLQJ VFKHGXOH IRU SXPS VHW PDLQWHQDQFH


RI $PDUH[ .57


35/58


36/58

5HSODFH DQ\ GDPDJHG FRPSRQHQWV E\ RULJLQDO VSDUH SDUWV

7KH SXPS VHW KDV EHHQ FOHDQHG

0HDVXUH WKH UHVLVWDQFH EHWZHHQ JURXQG FRQGXFWRU DQG JURXQG7KH UHVLVWDQFH PXVW EH ORZHU WKDQ

5HSODFH DQ\ GDPDJHG FRPSRQHQWV E\ RULJLQDO VSDUH SDUWV

' $1*(5

'HIHFWLYH JURXQG FRQGXFWRU(OHFWULF VKRFN

1HYHU VZLWFK RQ D SXPS VHW ZLWK D GHIHFWLYH JURXQG FRQGXFWRU

0 HDVXULQJ WKH LQVXODWLRQ UHVLVWDQFH

0HDVXUH WKH LQVXODWLRQ UHVLVWDQFH RI WKH PRWRU ZLQGLQJ GXULQJ DQQXDO PDLZRUN

7KH SXPS VHW KDV EHHQ GLVFRQQHFWHG LQ WKH FRQWURO FDELQHW

8VH DQ LQVXODWLRQ UHVLVWDQFH PHDVXULQJ GHYLFH

7KH PD[LPXP PHDVXULQJ YROWDJH HTXDOV 9

0HDVXUH ZLQGLQJ DJDLQVW JURXQG7R GR VR FRQQHFW DOO ZLQGLQJ HQGV WRJHWKHU

0HDVXUH ZLQGLQJ WHPSHUDWXUH VHQVRU DJDLQVW JURXQG7R GR VR FRQQHFW DOO FRUH HQGV RI WKH ZLQGLQJ WHPSHUDWXUH VHQVRUV WRJHFRQQHFW DOO ZLQGLQJ HQGV WR JURXQG

7KH LQVXODWLRQ UHVLVWDQFH RI WKH FRUH HQGV DJDLQVW JURXQG PXVW QRW EH0

,I WKH UHVLVWDQFH PHDVXUHG LV ORZHU SRZHU FDEOH DQG PRWRU UHVLVWDQFH PPHDVXUHG VHSDUDWHO\ 'LVFRQQHFW WKH SRZHU FDEOH IURP WKH PRWRU IRU WKLVSXUSRVH

127(,I WKH LQVXODWLRQ UHVLVWDQFH RI RQH RI WKH SRZHU FDEOHV LV ORZHU WKDQ 0 WKH SFDEOH LV GHIHFWLYH DQG PXVW EH UHSODFHG

127(,I WKH PRWRU LQVXODWLRQ UHVLVWDQFH PHDVXUHG LV WRR ORZ WKH ZLQGLQJ LV GHIHFWSXPS VHW PXVW QRW EH UHWXUQHG WR VHUYLFH LQ WKLV FDVH

&KHFNLQJ WKH VHQVRUV

&$87,21([FHVVLYH WHVW YROWDJH'DPDJH WR WKH VHQVRUV

1HYHU WHVW WKH VHQVRUV ZLWK YROWDJHV H[FHHGLQJ 9

7KH WHVWV GHVFULEHG EHORZ PHDVXUH WKH UHVLVWDQFH DW WKH FRUH HQGV RI WKFDEOH 7KH DFWXDO VHQVRU IXQFWLRQ LV QRW WHVWHG

7DEOH 5HVLVWDQFH PHDVXUHPHQW

0HDVXUH EHWZHHQ WHUPLQDOV 5HVLVWDQFHDQG

,I WKH VSHFLILHG WROHUDQFHV DUH H[FHHGHG GLVFRQQHFW WKH SRZHU FDEOH DW WKDQG FRQGXFW DQRWKHU WHVW LQVLGH WKH PRWRU,I WKH WROHUDQFHV DUH H[FHHGHG DJDLQ WKH PRWRU PXVW EH RSHQHG DQG RYHUKDXWHPSHUDWXUH VHQVRUV DUH ILWWHG LQ WKH VWDWRU ZLQGLQJ DQG FDQQRW EH UHS

&KHFNLQJ WKH JURXQGFRQGXFWRU

7HPSHUDWXUH VHQVRUV LQWKH PRWRU ZLQGLQJ


RI $PDUH[ .57


37/58


38/58

/ XEULFDWLRQ DQG OXEULFDQW FKDQJH

/ XEULFDWLQJ WKH PHFKDQLFDO VHDO

7KH PHFKDQLFDO VHDO LV VXSSOLHG ZLWK OXEULFDQW IURP WKH OXEULFDQW UHVHUY

, QWHUYDOV

5HSODFH WKH OXEULFDQW DIWHU HYHU\ RSHUDWLQJ KRXUV EXW DW OHDVW HYHU\

/ XEULFDQW TXDOLW\

7KH OXEULFDQW UHVHUYRLU LV ILOOHG ZLWK DQ HQYLURQPHQWDOO\ IULHQGO\ QRQ WRI PHGLFDO TXDOLW\ XQOHVV RWKHUZLVH UHTXLUHG E\ WKH FXVWRPHU DW WKH IDFW7KH IROORZLQJ JUHDVHV FDQ EH XVHG WR OXEULFDWH WKH PHFKDQLFDO VHDOV

7KLQ ERGLHG SDUDIILQ RLO PDGH E\ 0HUFN 1R

0HUNXU ZKLWH RLO 3KDUPD PDGH E\ '($

(TXLYDOHQW EUDQG RI PHGLFDO TXDOLW\ QRQ WR[LF

:DWHU JO\FRO PL[WXUH

$OO QRQ GRSHG DQG GRSHG PRWRU RLOV RI FODVVHV 6$( : WR 6$( :

:$51,1*&RQWDPLQDWLRQ RI IOXLG KDQGOHG E\ OXEULFDQW+D]DUGRXV WR SHUVRQV DQG WKH HQYLURQPHQW

8VLQJ PDFKLQH RLO LV RQO\ SHUPLWWHG LI WKH RLO LV GLVSRVHG RI SURSHUO\

/ XEULFDQW TXDQWLW\

7DEOH /XEULFDQW TXDQWLW\

0RWRU VL]HVL]H

O

O

&KDQJLQJ WKH OXEULFDQW

:$51,1*

3ODFLQJ WKH SXPS VHW RQ DQ XQVHFXUHG DQG XQHYHQ DVVHPEO\ VXUIDFH3HUVRQDO LQMXU\ DQG GDPDJH WR SURSHUW\

$OZD\V SODFH WKH SXPS VHW RQ D VROLG DQG OHYHO VXUIDFH ZLWK WKH SXPS VHWYHUWLFDO SRVLWLRQ DQG WKH PRWRU RQ WRS

2QO\ SODFH WKH SXPS VHW RQ D VXUIDFH RI VXIILFLHQW ORDG FDUU\LQJ FDSDFLW\

8VH DSSURSULDWH PHDQV WR VHFXUH WKH SXPS VHW DJDLQVW RYHUWXUQLQJ DQGRYHU

5HIHU WR WKH ZHLJKWV JLYHQ LQ WKH GDWD VKHHW RQ WKH QDPH SODWH

5HFRPPHQGHG TXDOLW\ RIOXEULFDQW

$OWHUQDWLYH


RI $PDUH[ .57


39/58

:$51,1*

/XEULFDQWV SRVLQJ D KHDOWK KD]DUG+D]DUGRXV WR SHUVRQV DQG WKH HQYLURQPHQW

:KHQ GUDLQLQJ WKH OXEULFDQW WDNH DSSURSULDWH PHDVXUHV WR SURWHFW SHWKH HQYLURQPHQW


:$51,1*

([FHVV SUHVVXUH LQ WKH OXEULFDQW UHVHUYRLU/LTXLG VSXUWLQJ RXW ZKHQ WKH OXEULFDQW UHVHUYRLU LV RSHQHG DW RSHUDWLQJ WHP

2SHQ WKH VFUHZ SOXJ RI WKH OXEULFDQW UHVHUYRLU YHU\ FDUHIXOO\


)LJ 'UDLQLQJ WKH OXEULFDQW

3ODFH D VXLWDEOH FRQWDLQHU XQGHU WKH VFUHZ SOXJ

8QVFUHZ VFUHZ SOXJ RU ZLWK MRLQW ULQJ DQG LI DSSOLFDEOH VFUHZSOXJ ZLWK MRLQW ULQJ 'UDLQ WKH OXEULFDQW


)LJ )LOOLQJ LQ WKH OXEULFDQW

3RXU OXEULFDQW LQWR WKH OXEULFDQW ILOOHU RSHQLQJ XQWLO WKH OXEULFDQWRYHUIORZV

&ORVH VFUHZ SOXJ DJDLQ ILWWLQJ D QHZ MRLQW ULQJ

/ XEULFDWLQJ WKH UROOLQJ HOHPHQW EHDULQJV

7KH UROOLQJ HOHPHQW EHDULQJV RI WKH SXPS VHWV DUH JUHDVH SDFNHG DQG PDLQWH

IUHH

'UDLQLQJ WKH OXEULFDQW

)LOOLQJ LQ WKH OXEULFDQW


$PDUH[ .57 RI


40/58

'UDLQDJH GLVSRVDO

:$51,1*

+DUPIXO DQG RU KRW IOXLGV+D]DUGRXV WR SHUVRQV DQG WKH HQYLURQPHQW

&ROOHFW DQG SURSHUO\ GLVSRVH RI IOXVKLQJ OLTXLG DQG DQ\ OLTXLG UHVLGXHV

:HDU VDIHW\ FORWKLQJ DQG D SURWHFWLYH PDVN LI UHTXLUHG


,I WKH IOXLGV KDQGOHG E\ WKH SXPS VHW OHDYH UHVLGXHV ZKLFK PLJKW OHDG WR FRZKHQ FRPLQJ LQWR FRQWDFW ZLWK DWPRVSKHULF KXPLGLW\ RU ZKLFK PLJKW LJQLWH ZFRPLQJ LQWR FRQWDFW ZLWK R[\JHQ WKH SXPS VHW PXVW EH IOXVKHG WKURXJKQHXWUDOL]HG DQG DQK\GURXV LQHUW JDV PXVW EH EORZQ WKURXJK WKH SXPS IRU GUSXUSRVHV

8VH FRQQHFWLRQ % WR GUDLQ WKH SXPS VHW

'LVPDQWOLQJ WKH SXPS VHW

* HQHUDO QRWHV 6DIHW\ UHJXODWLRQV

:$51,1*8QTXDOLILHG SHUVRQQHO SHUIRUPLQJ ZRUN RQ WKH SXPS5LVN RI SHUVRQDO LQMXU\

$OZD\V KDYH UHSDLU DQG VHUYLFLQJ ZRUN SHUIRUPHG E\ VSHFLDOO\ WUDLQHG TXDSHUVRQQHO

:$51,1*

+RW VXUIDFH5LVN RI SHUVRQDO LQMXU\


2EVHUYH WKH JHQHUDO VDIHW\ LQVWUXFWLRQV DQG LQIRUPDWLRQ6HFWLRQ 3DJH

)RU DQ\ ZRUN RQ WKH PRWRU REVHUYH WKH LQVWUXFWLRQV RI WKH UHOHYDQW PRWRUPDQXIDFWXUHU

)RU GLVPDQWOLQJ DQG UHDVVHPEO\ UHIHU WR WKH JHQHUDO DVVHPEO\ GUDZLQJ

,Q WKH HYHQW RI GDPDJH \RX FDQ DOZD\V FRQWDFW RXU VHUYLFH VWDII

'$1*(5

,QVXIILFLHQW SUHSDUDWLRQ RI ZRUN RQ WKH SXPS VHW5LVN RI SHUVRQDO LQMXU\

3URSHUO\ VKXW GRZQ WKH SXPS VHW

&ORVH WKH VKXW RII HOHPHQWV LQ VXFWLRQ DQG GLVFKDUJH OLQH

'UDLQ WKH SXPS DQG UHOHDVH WKH SXPS SUHVVXUH

&ORVH DQ\ DX[LOLDU\ FRQQHFWLRQV


6 HSDUDWLQJ WKH SXPS IURP WKH SLSLQJ

7KH SXPS VHW KDV EHHQ VZLWFKHG RII SURSHUO\

7KH VKXW RII HOHPHQWV LQ WKH VXFWLRQ DQG GLVFKDUJH OLQHV KDYH EHHQ FORV

$Q\ DX[LOLDU\ FRQQHFWLRQV KDYH EHHQ FORVHG

7KH SXPS KDV EHHQ GUDLQHG DQG WKH SXPS SUHVVXUH KDV EHHQ UHOHDVHG


RI $PDUH[ .57


41/58

6HSDUDWH DQ\ DX[LOLDU\ FRQQHFWLRQV

5HPRYH WKH GLVFKDUJH DQG VXFWLRQ QR]]OHV IURP WKH SLSLQJ

1 27( $IWHU WKH SXPS VHW KDV EHHQ UHPRYHG IURP WKH SLSLQJ WKH VXFWLRQ FDVLQJ VKRXOGFOHDQHG ZLWK ZDWHU 6XLWDEOH SURWHFWLYH FORWKLQJ LV UHFRPPHQGHG

5 HPRYLQJ WKH SXPS VHW IURP WKH SLSLQJ

:$51,1*

3XPS VHW WLSSLQJ RYHU5LVN RI VTXDVKLQJ KDQGV DQG IHHW

6XVSHQG RU VXSSRUW WKH SXPS VHW

7KH VWHSV LQ6HFWLRQ 3DJH KDYH EHHQ FDUULHG RXW

6XVSHQG WKH SXPS VHW DV VSHFLILHG IRU WUDQVSRUW

'HSHQGLQJ RQ WKH W\SH RI LQVWDOODWLRQ XQGR WKH IDVWHQLQJ EROWV DW WKHRU DW WKH VROH SODWH

3ODFH WKH SXPS VHW LQ KRUL]RQWDO SRVLWLRQ

' LVPDQWOLQJ WKH SXPS VHFWLRQ

'LVPDQWOH WKH SXPS VHFWLRQ LQ DFFRUGDQFH ZLWK WKH UHOHYDQW JHQHUDO DVVHGUDZLQJ

5 HPRYLQJ WKH EDFN SXOO RXW XQLW

8QGR VFUHZHG FRQQHFWLRQV DQG DQG SXOO WKH FRPSOHWH EDFN SXOORXW XQLW RXW RI SXPS FDVLQJ

3ODFH WKH EDFN SXOO RXW XQLW LQ D VDIH DQG GU\ DVVHPEO\ DUHD DQG VHFXUH LWWLSSLQJ RYHU RU UROOLQJ RII

5 HPRYLQJ WKH LPSHOOHU

8QVFUHZ VRFNHW KHDG FDS VFUHZ ZLWK GLVF

6FUHZ WKH JUXE VFUHZ IXOO\ LQWR WKH VKDIW WKUHDG

3XOO RII LPSHOOHU ZLWK D IRUFLQJ VFUHZ

127(7KH IRUFLQJ VFUHZ LV QRW LQFOXGHG LQ WKH VFRSH RI VXSSO\ ,W FDQ EH RUGHUHG VHSDUDIURP .6%

)LJ 5HPRYLQJ WKHEDFN SXOO RXW XQLW

)LJ 5HPRYLQJ WKHLPSHOOHU


$PDUH[ .57 RI


42/58

7DEOH )RUFLQJ VFUHZV IRU SXOOLQJ RII WKH LPSHOOHU

6L]H ,PSHOOHU W\SH )RUFLQJ VFUHZ7KUHDG &RGH

) >0 @

$'6 ( )

( .

) ( . >0 @ $'6 . '

>0 @$'6

' >0 @

$'6

5 HPRYLQJ WKH PHFKDQLFDO VHDO

5HPRYH WKH PHFKDQLFDO VHDO LQ DFFRUGDQFH ZLWK WKH JHQHUDO DUUDQJHPHQW GU

5 HPRYLQJ WKH SXPS HQG PHFKDQLFDO VHDO

7KH EDFN SXOO RXW XQLW DQG WKH LPSHOOHU KDYH EHHQ UHPRYHG DV GHVFULEHG 3XOO WKH URWDWLQJ DVVHPEO\ RI PHFKDQLFDO VHDO RII VKDIW

5HPRYH GLVFKDUJH FRYHU IURP EHDULQJ EUDFNHW

3XVK WKH VWDWLRQDU\ VHDW RI PHFKDQLFDO VHDO RXW RI GLVFKDUJH FRYHU

5 HPRYLQJ WKH GULYH HQG PHFKDQLFDO VHDO

7KH EDFN SXOO RXW XQLW DQG WKH LPSHOOHU KDYH EHHQ UHPRYHG DV GHVFULEHG

5HPRYH WDSHU ORFN ULQJ

3XOO WKH URWDWLQJ DVVHPEO\ RI PHFKDQLFDO VHDO RII VKDIW

5 HPRYLQJ WKH ZHDU SODWH

7KH EDFN SXOO RXW XQLW KDV EHHQ VHSDUDWHG IURP WKH SXPS FDVLQJ

7KH LQVLGH RI WKH FDVLQJ KDV EHHQ FOHDQHG

7KH ZHDU SODWH QHHGV WR EH UHSODFHG DV D UHVXOW RI YLVXDO LQVSHFWLRQ

8QGR KH[DJRQ VRFNHW KHDG FDS VFUHZV

5HPRYH ZHDU SODWH DQG 2 ULQJV

' LVPDQWOLQJ WKH PRWRU VHFWLRQ

127(6SHFLDO UHJXODWLRQV DSSO\ WR UHSDLU ZRUN RQ H[SORVLRQ SURRI SXPS VHWV 0RGLILFDWDOWHUDWLRQ RI WKH SXPS VHWV PD\ DIIHFW H[SORVLRQ SURWHFWLRQ DQG DUH RQO\ SHUPLFRQVXOWDWLRQ ZLWK WKH PDQXIDFWXUHU

)LJ 5HPRYLQJ WKHZHDU SODWH


RI $PDUH[ .57


43/58

1 27(7KH PRWRUV RI H[SORVLRQ SURRI SXPS VHWV DUH VXSSOLHG LQ IODPHSURRI HQFORVXUH W\SURWHFWLRQ $Q\ ZRUN RQ WKH PRWRU VHFWLRQ ZKLFK PD\ DIIHFW H[SORVLRQ SURWHFWLRUH ZLQGLQJ DQG UHSDLU ZRUN LQYROYLQJ PDFKLQLQJ PXVW EH LQVSHFWHG E\ DQ DSSURYHH[SHUW RU SHUIRUPHG E\ WKH PRWRU PDQXIDFWXUHU 1R PRGLILFDWLRQV PD\ EH PDGH WR WLQWHUQDO FRQILJXUDWLRQ RI WKH PRWRU VSDFH 5HSDLU ZRUN DW WKH IODPHSURRI MRLQEH SHUIRUPHG LQ DFFRUGDQFH ZLWK WKH PDQXIDFWXUHU V LQVWUXFWLRQV

:KHQ GLVPDQWOLQJ WKH PRWRU VHFWLRQ DQG WKH SRZHU FDEOHV PDNH VXUH WKDW WWHUPLQDOV DUH FOHDUO\ PDUNHG IRU IXWXUH UHDVVHPEO\

5HDVVHPEOLQJ WKH SXPS VHW

* HQHUDO QRWHV 6DIHW\ UHJXODWLRQV

&$87,21,PSURSHU UHDVVHPEO\'DPDJH WR WKH SXPS

5HDVVHPEOH WKH SXPS VHW LQ DFFRUGDQFH ZLWK WKH JHQHUDO UXOHV RI VRXQGHQJLQHHULQJ SUDFWLFH

8VH RULJLQDO VSDUH SDUWV RQO\

127(%HIRUH UHDVVHPEOLQJ WKH PRWRU VHFWLRQ FKHFN WKDW DOO MRLQWV UHOHYDQW WR HSURWHFWLRQ IODPHSDWKV DUH XQGDPDJHG $Q\ FRPSRQHQWV ZLWK GDPDJHG IODPHSDWKVPXVW EH UHSODFHG 5HIHU WR WKH IODPHSDWK SRVLWLRQV VSHFLILHG LQ WKH $QQH[

$OZD\V UHDVVHPEOH WKH SXPS VHW LQ DFFRUGDQFH ZLWK WKH FRUUHVSRQGLQJ JHQHUDVVHPEO\ GUDZLQJ

2 ULQJV

&KHFN 2 ULQJV IRU DQ\ GDPDJH DQG UHSODFH E\ QHZ 2 ULQJV LI UHTXLUHG

1HYHU XVH 2 ULQJV WKDW KDYH EHHQ JOXHG WRJHWKHU IURP PDWHULDO VROGPHWHU

$VVHPEO\ DGKHVLYHV $YRLG WKH XVH RI DVVHPEO\ DGKHVLYHV LI SRVVLEOH

)RU UHDVVHPEO\ WLJKWHQ DOO VFUHZV DQG EROWV DV VSHFLILHG LQ WKLV PDQXDO6HFWLRQ3DJH,Q DGGLWLRQ VHFXUH DOO VFUHZHG FRQQHFWLRQV FORVLQJ RII WKH IODPHSURRI HQFORD WKUHDG ORFNLQJ DJHQW /RFWLWH W\SH

5 HDVVHPEOLQJ WKH SXPS VHFWLRQ

, QVWDOOLQJ WKH PHFKDQLFDO VHDO

2EVHUYH WKH IROORZLQJ SRLQWV WR HQVXUH WURXEOH IUHH RSHUDWLRQ RI WKH PHFKVHDO

2QO\ UHPRYH WKH SURWHFWLYH ZUDSSLQJ RI WKH FRQWDFW IDFHV LPPHGLDWHO\ EHDVVHPEO\ WDNHV SODFH

0DNH VXUH WKH VXUIDFH RI WKH VKDIW LV DEVROXWHO\ FOHDQ DQG XQGDPDJHG

,PPHGLDWHO\ EHIRUH LQVWDOOLQJ WKH PHFKDQLFDO VHDO ZHW WKH FRQWDFW IDFGURS RI RLO

)RU HDVLHU LQVWDOODWLRQ RI EHOORZV W\SH PHFKDQLFDO VHDOV ZHW WKH LQVLRI WKH EHOORZV ZLWK VRDS\ ZDWHU QRW RLO

7R SUHYHQW DQ\ GDPDJH WR WKH UXEEHU EHOORZV SODFH D WKLQ IRLO RI DSSUR[LPWR LQ > WR PP@ WKLFNQHVV DURXQG WKH IUHH VKDIW VWXE

6HTXHQFH

6HDOLQJ HOHPHQWV

7LJKWHQLQJ WRUTXHV


$PDUH[ .57 RI


44/58

6OLS WKH URWDWLQJ DVVHPEO\ RYHU WKH IRLO LQWR LWV LQVWDOODWLRQ SRVLWL7KHQ UHPRYH WKH IRLO

7KH VKDIW DQG UROOLQJ HOHPHQW EHDULQJV KDYH EHHQ SURSHUO\ LQVWDOOHG LQPRWRU

3XVK GULYH HQG PHFKDQLFDO VHDO RQ VKDIW DQG VHFXUH LW ZLWK WDSHU ORULQJ

,QVHUW 2 ULQJV DQG LQWR GLVFKDUJH FRYHU DQG SUHVV WKHP LQWR

EHDULQJ EUDFNHW DV IDU DV WKH\ ZLOO JR 3XVK SXPS HQG PHFKDQLFDO VHDO RQWR VKDIW

) LWWLQJ WKH LPSHOOHU

127()RU EHDULQJ EUDFNHWV ZLWK WDSHUHG ILW PDNH VXUH WKDW WKH WDSHUHG ILW RI LPSHOLV XQGDPDJHG DQG LQVWDOOHG IUHH IURP JUHDVH

7KH VKDIW DQG UROOLQJ HOHPHQW EHDULQJV KDYH EHHQ SURSHUO\ LQVWDOOHG

7KH PHFKDQLFDO VHDOV KDYH EHHQ SURSHUO\ LQVWDOOHG

6OLS LPSHOOHU RQWR WKH VKDIW HQG

6FUHZ LQ LPSHOOHU VFUHZ DQG GLVF 7LJKWHQ WKHP ZLWK D WRUTXHZUHQFK

7DEOH 7LJKWHQLQJ WRUTXH IRU WKH LPSHOOHU VFUHZ

6L]H 7KUHDG 7LJKWHQLQJ WRUTXH>IW OEV@>GD1P@

'0

( .0

, QVWDOOLQJ WKH EDFN SXOO RXW XQLW

' HVLJQ ZLWK D[LDO FOHDUDQFH

127( $IWHU FDVLQJ ZHDU ULQJV ZLWK D UDGLDO FOHDUDQFH KDYH EHHQ ILWWHG LQ SXPS FDVLQKDYH WKH UHTXLUHG LQQHU GLDPHWHU DQG GR QRW QHHG WR EH UHDGMXVWHG

8VH D UXEEHU PDOOHW WR SXVK FDVLQJ ZHDU ULQJ LQWR SXPS FDVLQJ DV IDU DVLW ZLOO JR

,QVHUW WKH FRPSOHWH EDFN SXOO RXW XQLW LQWR WKH SXPS FDVLQJ

(YHQO\ WLJKWHQ VFUHZHG FRQQHFWLRQ DQG EHWZHHQ SXPS FDVLQJ DQGEHDULQJ EUDFNHW

&$87,21

$[LDO GLVSODFHPHQW RI WKH URWRU'DPDJH WR VKDIW VHDO DQG EHDULQJV

$OZD\V DGMXVW DQG FKHFN WKH D[LDO FOHDUDQFH ZLWK WKH SXPS VHW LQ YHUWSRVLWLRQ

)LJ )LWWLQJ WKHLPSHOOHU


RI $PDUH[ .57


45/58

8VH D UXEEHU PDOOHW WR SXVK FDVLQJ ZHDU ULQJ LQ XQWLO LW LV FORVH WR LPS

6XVSHQG WKH SXPS VHW YHUWLFDOO\ DV LOOXVWUDWHG

$

) LJ )LWWLQJ WKH FDVLQJ ZHDU ULQJ

$ &OHDUDQFH RI LQ > PP@

/LIW RII WKH SXPS VHW DQG DGMXVW WKH D[LDO FOHDUDQFH

' HVLJQ ZLWK ZHDU SODWH

7KH VKDIW UROOLQJ HOHPHQW EHDULQJV PHFKDQLFDO VHDO DQG LPSHOOHU KDYHDVVHPEOHG SURSHUO\

%

)LJ )LWWLQJ WKH ZHDU SODWH

% &OHDUDQFH

(TXLS ZHDU SODWH ZLWK WZR QHZ 2 ULQJV DQG

,QVHUW ZHDU SODWH LQWR SXPS FDVLQJ

)DVWHQ ZHDU SODWH WR SXPS FDVLQJ ZLWK KH[DJRQ VRFNHW KHDG FDS VFUHZV

$GMXVW WKH FOHDUDQFH EHWZHHQ LPSHOOHU DQG ZHDU SODWH E\ WLJKWHQLQORRVHQLQJ VFUHZV DQG

6FUHZ SXVKHV WKH ZHDU SODWH LQ WKH GLUHFWLRQ RI WKH LPSHOOHU

7KH FOHDUDQFH % HTXDOV LQ > PP@ PHDVXUHG RQ WKH VXFWLRQVLGH IURP WKH RXWHU VXUIDFH RI WKH LPSHOOHU YDQH WR WKH ZHDU SODWH

,QVHUW WKH FRPSOHWH EDFN SXOO RXW XQLW LQWR WKH SXPS FDVLQJ

(YHQO\ WLJKWHQ VFUHZHG FRQQHFWLRQ DQG EHWZHHQ SXPS FDVLQJ DQGEHDULQJ EUDFNHW

)LJ 6XVSHQGLQJ WKHSXPS VHW


$PDUH[ .57 RI


46/58

5 HDVVHPEOLQJ WKH PRWRU VHFWLRQ

127(%HIRUH UHDVVHPEOLQJ WKH PRWRU VHFWLRQ FKHFN WKDW DOO MRLQWV UHOHYDQW WR HSURWHFWLRQ IODPHSDWKV DUH XQGDPDJHG $Q\ FRPSRQHQWV ZLWK GDPDJHG IODPHSDWKVPXVW EH UHSODFHG 2QO\ XVH RULJLQDO VSDUH SDUWV PDGH E\ .6% IRU H[SORVLRQ SURRI SXPSV 2EVHUYH WKH IODPHSDWK SRVLWLRQV VSHFLILHG LQ WKH $QQH[ 6HFXUH DOO VFUHZFRQQHFWLRQV FORVLQJ RII WKH IODPHSURRI HQFORVXUH ZLWK D WKUHDG ORFNLQJ DJHQW

'$1*(5

,QFRUUHFW VFUHZV EROWV([SORVLRQ KD]DUG

$OZD\V XVH WKH RULJLQDO VFUHZV EROWV IRU DVVHPEOLQJ DQ H[SORVLRQ SURRI SXVHW

1HYHU XVH VFUHZV EROWV RI GLIIHUHQW GLPHQVLRQV RU RI D ORZHU SURSHUW\ FO

/ HDN WHVWLQJ

$IWHU UHDVVHPEO\ WKH PHFKDQLFDO VHDO DUHD OXEULFDQW UHVHUYRLU PXVW EH WOHDNDJH 7KH OHDN WHVW LV SHUIRUPHG XVLQJ WKH OXEULFDQW ILOOHU RSHQLQJ

2EVHUYH WKH IROORZLQJ YDOXHV IRU OHDN WHVWLQJ

7HVW PHGLXPFRPSUHVVHG DLU

7HVW SUHVVXUHSVL > EDU@ PD[

7HVW SHULRGPLQXWHV

3SVL

)LJ 6FUHZLQJ LQ WKH WHVWLQJ GHYLFH

8QVFUHZ DQG UHPRYH WKH VFUHZ SOXJ DQG MRLQW ULQJ RI WKH OXEULFDQW UHVHU

6FUHZ WKH WHVWLQJ GHYLFH WLJKWO\ LQWR WKH OXEULFDQW ILOOHU RSHQLQJ

&DUU\ RXW WKH OHDN WHVW ZLWK WKH YDOXHV VSHFLILHG DERYH7KH SUHVVXUH PXVW QRW GURS GXULQJ WKH WHVW SHULRG,I WKH SUHVVXUH GRHV GURS FKHFN WKH VHDOV DQG VFUHZHG FRQQHFWLRQV7KHQ SHUIRUP DQRWKHU OHDN WHVW

,I WKH OHDN WHVW KDV EHHQ VXFFHVVIXO ILOO LQ WKH OXEULFDQW6HFWLRQ 3DJH

&KHFNLQJ WKH FRQQHFWLRQ RI PRWRU SRZHU VXSSO\

2QFH UHDVVHPEO\ KDV EHHQ FRPSOHWHG FDUU\ RXW WKH VWHSV GHVFULEHG LQ6HFWLRQ3DJH


RI $PDUH[ .57


47/58

7LJKWHQLQJ WRUTXHV

7 LJKWHQLQJ WRUTXHV

7DEOH 7LJKWHQLQJ WRUTXHV

7KUHDG 7LJKWHQLQJ WRUTXH>IW OEV@>1P@

0

0

0

0

0

6SDUH SDUWV VWRFN

2 UGHULQJ VSDUH SDUWV

$OZD\V TXRWH WKH IROORZLQJ GDWD ZKHQ RUGHULQJ UHSODFHPHQW RU VSDUH SDUWV

3XPS W\SH

.6% RUGHU QXPEHU

0RWRU QXPEHU

5HIHU WR WKH QDPH SODWH IRU DOO GDWD

$OVR VXSSO\ WKH IROORZLQJ GDWD

3DUW GHVFULSWLRQ

3DUW 1R

4XDQWLW\ RI VSDUH SDUWV

6KLSSLQJ DGGUHVV0RGH RI GLVSDWFK IUHLJKW PDLO H[SUHVV IUHLJKW DLU IUHLJKW

5HIHU WR WKH JHQHUDO DVVHPEO\ GUDZLQJ IRU SDUW QXPEHUV DQG GHVFULSWLRQV

5 HFRPPHQGHG VSDUH SDUWV VWRFN IRU \HDUV RSHUDWLRQ WR ',1

7DEOH 4XDQWLW\ RI VSDUH SDUWV IRU UHFRPPHQGHG VSDUH SDUWV VWRFN

3DUW 1R 'HVFULSWLRQ 1XPEHU RI SXPS VHWV LQFOXGLQJ VWDQG E\ SXPS VHWVDQG DQG DQG

PRUH 0RWRU XQLW &DEOH JODQG 5RWRU

,PSHOOHU &DVLQJ ZHDU ULQJ 0HFKDQLFDO VHDO PRWRU

HQG

0HFKDQLFDO VHDO SXPSHQG

3URSHUW\ FODVV $)RU WZR \HDUV RIFRQWLQXRXV RSHUDWLRQ RU RSHUDWLQJ KRXUV


$PDUH[ .57 RI


48/58


49/58

7URXEOH VKRRWLQJ3XPS LV UXQQLQJ EXW GRHV QRW GHOLYHU

3XPS GHOLYHUV LQVXIILFLHQW IORZ UDWH

([FHVVLYH FXUUHQW SRZHU FRQVXPSWLRQ

,QVXIILFLHQW GLVFKDUJH KHDG

9LEUDWLRQV DQG QRLVH GXULQJ SXPS RSHUDWLRQ

7DEOH 7URXEOH VKRRWLQJ$ % & ' ( 3RVVLEOH FDXVH 5HPHG\

; 3XPS GHOLYHUV DJDLQVW DQ H[FHVVLYHO\ KLJKGLVFKDUJH SUHVVXUH

5H DGMXVW WR GXW\ SRLQW

; *DWH YDOYH LQ WKH GLVFKDUJH OLQH LV QRW IXOO\RSHQ

)XOO\ RSHQ WKH JDWH YDOYH

; ; 3XPS LV UXQQLQJ LQ WKH RII GHVLJQ UDQJH ORZIORZ RYHUORDG

&KHFN WKH SXPS V RSHUDWLQJ GDWD

; 3XPS RU SLSLQJ DUH QRW FRPSOHWHO\ YHQWHG 9HQW DQG RU SULPH WKH SXPS DQG SLSLQJ ILW DYHQW YDOYH LI UHTXLUHG

; ; ; ; ,QOHW OLQH FORJJHG E\ GHSRVLWV &OHDQ WKH LQWDNH RU LQOHW OLQH SXPSFRPSRQHQWV DQG QRQ UHWXUQ YDOYH

; ; 'LUW ILEHUV LQ WKH FOHDUDQFH EHWZHHQ WKHFDVLQJ ZDOO DQG LPSHOOHU RI D VOXJJLVK URWRU

&KHFN ZKHWKHU WKH LPSHOOHU FDQ EH HDVLO\URWDWHG&OHDQ WKH LPSHOOHU LI UHTXLUHG

; ; ; ; :HDU 5HSODFH ZRUQ SDUWV E\ QHZ RQHV; ; ; 'HIHFWLYH ULVHU SLSH DQG VHDOLQJ HOHPHQWV 5HSODFH GHIHFWLYH ULVHU SLSHV

UHSODFH VHDOLQJ HOHPHQWV; ; ; ,PSHUPLVVLEOH DLU RU JDV FRQWHQW LQ WKH IOXLG

KDQGOHG&RQWDFW .6%

; 6\VWHP LQGXFHG YLEUDWLRQV &RQWDFW .6%; ; ; ; :URQJ GLUHFWLRQ RI URWDWLRQ &KHFN WKH FRQQHFWLRQ RI WKH PRWRU DQG

VZLWFKJHDU LI DQ\; ; :URQJ VXSSO\ YROWDJH &KHFN WKH SRZHU FDEOH

&KHFN WKH FDEOH FRQQHFWLRQV; 1R YROWDJH &KHFN WKH HOHFWULFDO LQVWDOODWLRQ

&RQWDFW WKH HQHUJ\ VXSSOLHU; :RUQ RU GHIHFWLYH UROOLQJ HOHPHQW EHDULQJV &RQWDFW .6%

; ; ,Q FDVH RI VWDU GHOWD FRQILJXUDWLRQ PRWRUUXQQLQJ LQ VWDU FRQILJXUDWLRQ RQO\

&KHFN VWDU GHOWD FRQWDFWRU

; 'HIHFWLYH PRWRU ZLQGLQJ &RQWDFW .6%; 6XFWLRQ KHDG LV WRR KLJK 136+DYDLODEOH

SRVLWLYH VXFWLRQ KHDG LV WRR ORZ&KHFN WKH LQOHW OLQH IRU FORJJLQJ FOHDQ LIQHFHVVDU\ IXOO\ RSHQ WKH JDWH YDOYH LQ WKH LQOHOLQH

; 0RWRU KDV EHHQ WULSSHG E\ OHDNDJH PRQLWRU $VVLJQ TXDOLILHG DQG WUDLQHG SHUVRQQHOGHWHUPLQH DQG UHPHG\ WKH FDXVH RI IDLOXUH

; 7KH WKHUPLVWRU WULSSLQJ XQLW ZLWK PDQXDOUHVHW IRU WHPSHUDWXUH OLPLWHU KDV WULSSHG WKHSXPS DV D UHVXOW RI WKH SHUPLVVLEOH ZLQGLQJWHPSHUDWXUH EHLQJ H[FHHGHG

$VVLJQ TXDOLILHG DQG WUDLQHG SHUVRQQHO WRGHWHUPLQH DQG UHPHG\ WKH FDXVH RI IDLOXUH

$

%

&

'

(

7URXEOH VKRRWLQJ

$PDUH[ .57 RI


50/58

5HODWHG 'RFXPHQWV

*HQHUDO DVVHPEO\ GUDZLQJ

0RWRU VL]HV

$ $

*HQHUDO DVVHPEO\ GUDZLQJ LPSHOOHU W\SH )

5HODWHG 'RFXPHQWV

RI $PDUH[ .57


51/58

7DEOH 'HWDLOHG YLHZV RI WKH JHQHUDO DVVHPEO\ GUDZLQJ

6HFWLRQ 'HWDLOHG YLHZ,PSHOOHU W\SH (

,PSHOOHU W\SH .

,I DSSOLFDEOH,PSHOOHU W\SH '

5HODWHG 'RFXPHQWV

$PDUH[ .57 RI


52/58

6HFWLRQ 'HWDLOHG YLHZ&DEOH JODQG

9

8SSHU EHDULQJ

0RWRU VL]HV

5HODWHG 'RFXPHQWV

RI $PDUH[ .57


53/58

6HFWLRQ 'HWDLOHG YLHZ&RQQHFWLRQV

1RW IRU

LPSHOOHU W\SH )LPSHOOHU W\SH '3ODWHV

7DEOH /LVW RI FRPSRQHQWV

3DUW 1R 'HVFULSWLRQ 3DUW 1R 'HVFULSWLRQ /HDNDJH VHQVRU 0HFKDQLFDO VHDO 0RWRU XQLW 6KDIW VHDO KRXVLQJ 7HUPLQDO &DVLQJ ZHDU ULQJ 6KLP ,PSHOOHU ZHDU ULQJ

3XPS FDVLQJ 7DSHU ORFN ULQJ :HDU SODWH %HDULQJ VOHHYH 'LVFKDUJH FRYHU 'LVF

,QVSHFWLRQ FRYHU 5RWRU ,PSHOOHU &DEOH JODQG

5DGLDO EDOO EHDULQJ 6FUHZ 5DGLDO UROOHU EHDULQJ 6WXG %HDULQJ EUDFNHW 6FUHZ SOXJ

-RLQW ULQJ +H[DJRQ VRFNHW KHDG FDSVFUHZ

2 ULQJ 3OXJ

,I DQ\1RW IRU ) ( '

5HODWHG 'RFXPHQWV

$PDUH[ .57 RI


54/58

3DUW 1R 'HVFULSWLRQ 3DUW 1R 'HVFULSWLRQ /LS VHDO 1XW

&LUFOLS

:LULQJ GLDJUDP

8

8

9

9

:

:

8

8

9

9

:

:

3 (

Date post:	03-Apr-2018
Category:	Documents
Upload:	daniela-elena
View:	221 times
Download:	0 times

Amarex KRT, Submersible Motor Pump 60 Hz

Documents