:HVWHUQ7LWOH (VFURZ&RPSDQ\ <br />2UGHU1R:7 <br />,QIRUPDWLRQDO5HSRUWRI2ZQHUVKLSDQG0RQHWDU\DQG1RQ0RQHWDU\(QFXPEUDQFHV <br /> 9HU <br />3DUW7ZR(QFXPEUDQFHV <br />(QFXPEUDQFHV  $V RI WKH (IIHFWLYH 'DWH WKH 3URSHUW\ DSSHDUV VXEMHFW WR WKH IROORZLQJ PRQHWDU\ DQG <br />QRQPRQHWDU\HQFXPEUDQFHVRIUHFRUGQRWQHFHVVDULO\OLVWHGLQRUGHURISULRULW\LQFOXGLQJOLHQVVSHFLILFWRWKH <br />VXEMHFWSURSHUW\DQGJHQHUDOLQGH[OLHQV OLHQVWKDWDUHQRWSURSHUW\VSHFLILFEXWDIIHFWDQ\UHDOSURSHUW\RIWKH <br />QDPHGSHUVRQLQWKHVDPHFRXQW\  <br />(;&(37,216 <br /> &RYHQDQWVFRQGLWLRQVUHVWULFWLRQVDQGHDVHPHQWVEXWRPLWWLQJDQ\FRYHQDQWVRUUHVWULFWLRQVLIDQ\ <br />LQFOXGLQJEXWQRWOLPLWHGWRWKRVHEDVHGXSRQUDFHFRORUUHOLJLRQVH[VH[XDORULHQWDWLRQIDPLOLDOVWDWXV <br />PDULWDOVWDWXVGLVDELOLW\KDQGLFDSQDWLRQDORULJLQDQFHVWU\VRXUFHRILQFRPHJHQGHUJHQGHULGHQWLW\ <br />JHQGHUH[SUHVVLRQPHGLFDOFRQGLWLRQRUJHQHWLFLQIRUPDWLRQDVVHWIRUWKLQDSSOLFDEOHVWDWHRUIHGHUDO <br />ODZVH[FHSWWRWKHH[WHQWWKDWVDLGFRYHQDQWRUUHVWULFWLRQLVSHUPLWWHGE\DSSOLFDEOHODZDVVHWIRUWKLQWKH <br />GRFXPHQW <br />5HFRUGLQJ'DWH $SULO <br />5HJLVWHUHG7LWOH1R  <br /> $GHHGRIWUXVWWRVHFXUHDQLQGHEWHGQHVVLQWKHDPRXQWVKRZQEHORZ <br />$PRXQW  <br />'DWHG 6HSWHPEHU <br />7UXVWRU*UDQWRU &DUWHU+HOLNVRQDQG/DUVRQ+HOLNVRQQRWDVWHQDQWVLQFRPPRQEXWZLWKWKH <br />ULJKWVRIVXUYLYRUVKLS <br />7UXVWHH :HVWHUQ7LWOH (VFURZ&RPSDQ\ <br />%HQHILFLDU\ 0RUWJDJH(OHFWURQLF5HJLVWUDWLRQ6\VWHPV,QFDVQRPLQHHIRU&DSLWDO <br />$OOLDQFH//& <br />0,1  <br />5HFRUGLQJ'DWH 6HSWHPEHU <br />5HFRUGLQJ1R  <br />(1'2)(;&(37,216 <br />1RWH3URSHUW\WD[HVIRUWKHILVFDO\HDUVKRZQEHORZDUHSDLGLQIXOO <br />)LVFDO<HDU  <br />$PRXQW  <br />/HY\&RGH  <br />$FFRXQW1R  <br />0DS1R  <br />3OHDVHFRQWDFWWKH7D[&ROOHFWRU<br />V2IILFHWRFRQILUPDOODPRXQWVRZLQJLQFOXGLQJFXUUHQWILVFDO\HDUWD[HV <br />VXSSOHPHQWDOWD[HVHVFDSHGDVVHVVPHQWVDQGDQ\GHOLQTXHQFLHV <br />(QGRI5HSRUWHG,QIRUPDWLRQ <br />7KHUHZLOOEHDGGLWLRQDOFKDUJHVIRUDGGLWLRQDOLQIRUPDWLRQRUFRSLHV)RUTXHVWLRQVRUDGGLWLRQDOUHTXHVWVFRQWDFW <br />.DUOD$%ROGHQ <br /> <br />WLWOHRIILFHUVXSSRUW#ZHVWHUQWLWOHFRP <br />:HVWHUQ7LWOH (VFURZ&RPSDQ\ <br />2DNZD\5RDG6XLWH <br />(XJHQH25