Você está na página 1de 15

7KH&RPPLVVLRQRI6DWL 3UHYHQWLRQ $FW


1RRI 

$Q $FW WR SURYLGH IRU WKH PRUH HIIHFWLYH SUHYHQWLRQ RI WKH FRPPLVVLRQ RI VDWL DQG LWV
JORULILFDWLRQDQGIRUPDWWHUVFRQQHFWHGKHUHZLWKRULQFLGHQWDOWKHUHWR

:KHUHDVVDWLRUWKHEXUQLQJRUEXU\LQJDOLYHRIZLGRZVRUZRPHQLVUHYROWLQJWR
WKHIHHOLQJVRIKXPDQQDWXUHDQGLVQRZKHUHHQMR\HGE\DQ\RIWKHUHOLJLRQVRI
WKH,QGLDDVDQLPSHUDWLYHGXW\

$QG ZKHUHDV LW LV QHFHVVDU\ WR WDNH PRUH HIIHFWLYH PHDVXUHV WR SUHYHQW WKH
FRPPLVVLRQRIVDWLDQGLWVJORULILFDWLRQ

%HLWHQDFWHGE\3DUOLDPHQWLQWKH7KLUW\HLJKWK<HDURIWKH5HSXEOLFRI,QGLDDV
IROORZV

3$57,
3UHOLPLQDU\

6KRUW7LWOH([WHQWDQG&RPPHQFHPHQW

 7KLV$FWPD\EHFDOOHGWKH&RPPLVVLRQRI6DWL 3UHYHQWLRQ $FW

 ,WH[WHQGVWRWKHZKROHRI,QGLDH[FHSWWKH6WDWHRI-DPPXDQG.DVKPLU

 ,WVKDOOFRPHLQWRIRUFHLQD6WDWHRQVXFKGDWHDVWKH&HQWUDO*RYHUQPHQW
PD\ E\ QRWLILFDWLRQ LQ WKH RIILFLDO *D]HWWH DSSRLQW DQG GLIIHUHQW GDWHV
PD\EHDSSRLQWHGIRUGLIIHUHQW6WDWHV

'HILQLWLRQV

 ,QWKLV$FWXQOHVVWKHFRQWH[WRWKHUZLVHUHTXLUHV

D &RGHPHDQVWKH&RGHRI&ULPLQDO3URFHGXUH RI 

E *ORULILFDWLRQ LQ UHODWLRQ WR VDWL ZKHWKHU VXFK VDWL ZDV FRPPLWWHG
EHIRUHRUDIWHUWKHFRPPHQFHPHQWRIWKLV$FWLQFOXGHVDPRQJRWKHU
WKLQJV

L 7KH REVHUYDQFH RI DQ\ FHUHPRQ\ RU WKH WDNLQJ RXW RI D
SURFHVVLRQLQFRQQHFWLRQZLWKWKHFRPPLVVLRQRIVDWLRU


1
LL 7KHVXSSRUWLQJMXVWLI\LQJRUSURSDJDWLQJWKHSUDFWLFHRIVDWLLQ
DQ\PDQQHURU

LLL 7KH DUUDQJLQJ RI DQ\ IXQFWLRQ WR HXORJLVH WKH SHUVRQ ZKR KDV
FRPPLWWHGVDWLRU

LY 7KH FUHDWLRQ RI D WUXVW RU WKH FROOHFWLRQ RI IXQGV RU WKH
FRQVWUXFWLRQRIDWHPSOHRURWKHUVWUXFWXUHRUWKHFDUU\LQJRQRI
DQ\ IRUP RI ZRUVKLS RU WKH SHUIRUPDQFH RI DQ\ FHUHPRQ\
WKHUHDWZLWKDYLHZWRSHUSHWXDWHWKHKRQRXURIRUWRSUHVHUYH
WKHPHPRU\RIDSHUVRQZKRKDVFRPPLWWHGVDWL

F 6DWLPHDQVWKHEXUQLQJRUEXU\LQJDOLYHRI

L $Q\ ZLGRZ DORQJ ZLWK WKH ERG\ RI KHU GHFHDVHG KXVEDQG RU DQ\ RWKHU
UHODWLYHRUZLWKDQ\DUWLFOHREMHFWRUWKLQJDVVRFLDWHGZLWKWKHKXVEDQGRU
VXFKUHODWLYHRU

 LL $Q\ZRPDQDORQJZLWKWKHERG\RIDQ\RIKHUUHODWLYHVLUUHVSHFWLYH
RI ZKHWKHU VXFK EXUQLQJ RU EXU\LQJ LV FODLPHG WR EH YROXQWDU\ RQ WKH
SDUWRIWKHZLGRZRUWKHZRPDQRURWKHUZLVH

G 6SHFLDO&RXUWPHDQVDVSHFLDOO\FRQVWLWXWHGFRXUWXQGHU6HFWLRQ

H 7HPSOHLQFOXGHVDQ\EXLOGLQJRURWKHUVWUXFWXUHZKHWKHUURRIHGRU
QRW FRQVWUXFWHG RU PDGH WR SUHVHUYH WKH PHPRU\ RI D SHUVRQ LQ
UHVSHFW RI ZKRP VDWL KDV EHHQ FRPPLWWHG RU XVHG RU LQWHQGHG WR EH
XVHGIRUWKHFDUU\LQJRQRIDQ\IRUPRIZRUVKLSRUIRUWKHREVHUYDQFH
RIDQ\FHUHPRQ\LQFRQQHFWLRQZLWKVXFKFRPPLVVLRQ

 :RUGVDQGH[SUHVVLRQV XVHG EXW QRW GHILQHGLQWKLV $FW DQGGHILQHG LQWKH
,QGLDQ3HQDO&RGH RI RULQWKH&RGHVKDOOKDYHWKHVDPHPHDQLQJV
DVDUHUHVSHFWLYHO\DVVLJQHGWRWKHPLQWKH,QGLDQ3HQDO&RGHRU

3$57
3XQLVKPHQWVIRU2IIHQFHV5HODWLQJWR6DWL

 $WWHPSW WR &RPPLWVDWL 1RWZLWKVWDQGLQJ DQ\WKLQJ FRQWDLQHG LQWKH,QGLDQ
3HQDO &RGH  RI   ZKRHYHU DWWHPSWV WR FRPPLW VDWL DQG GRHV DQ\ DFW
WRZDUGV VXFK FRPPLVVLRQ VKDOO EH SXQLVKDEOH ZLWK LPSULVRQPHQW IRU D WHUP
ZKLFKPD\H[WHQGWRRQH\HDURUZLWKILQHRUZLWKERWK


2
3URYLGHGWKDWWKH6SHFLDO&RXUWWU\LQJDQRIIHQFHXQGHUWKLVVHFWLRQVKDOOEHIRUH
FRQYLFWLQJ DQ\ SHUVRQ WDNH LQWR FRQVLGHUDWLRQ WKH FLUFXPVWDQFHV OHDGLQJ WR WKH
FRPPLVVLRQ RI WKH RIIHQFH WKH DFW FRPPLWWHG WKH VWDWH RI PLQG RI WKH SHUVRQ
FKDUJHG RI WKH RIIHQFH DW WKH WLPH RI WKH FRPPLVVLRQ RI WKH DFW DQG DOO RWKHU
UHOHYDQWIDFWRUV

$EHWPHQWRIVDWL

 1RWZLWKVWDQGLQJ DQ\WKLQJ FRQWDLQHG LQ WKH ,QGLDQ 3HQDO &RGH
RI   LI DQ\ SHUVRQ FRPPLWV VDWL ZKRHYHU DEHWV WKH
FRPPLVVLRQ RI VXFK VDWL HLWKHU GLUHFWO\ RU LQGLUHFWO\ VKDOO EH
SXQLVKDEOH ZLWK GHDWK RU LPSULVRQPHQW IRU OLIH DQG VKDOO DOVR EH
OLDEOHWRILQH

 ,I DQ\ SHUVRQ DWWHPSWV WR FRPPLW VDWL ZKRHYHU DEHWV VXFK
DWWHPSW HLWKHU GLUHFWO\ RU LQGLUHFWO\ VKDOO EH SXQLVKDEOH ZLWK
LPSULVRQPHQWIRUOLIHDQGVKDOODOVREHOLDEOHWRILQH

([SODQDWLRQ)RUWKHSXUSRVHVRIWKLVVHFWLRQDQ\RIWKHIROORZLQJDFWVRUWKHOLNH
VKDOODOVREHGHHPHGWREHDQDEHWPHQWQDPHO\

D $Q\LQGXFHPHQWWRDZLGRZRUZRPDQWRJHWKHUEXUQWRU
EXULHGDOLYHDORQJZLWKWKHERG\RIKHUGHFHDVHGKXVEDQG
RU ZLWK DQ\ RWKHU UHODWLYH RU ZLWK DQ\ DUWLFOH REMHFW RU
WKLQJ DVVRFLDWHG ZLWK WKH KXVEDQG RU VXFK UHODWLYH
LUUHVSHFWLYH RI ZKHWKHU VKH LV LQ D ILW VWDWH RI PLQG RU LV
ODERXULQJ XQGHU D VWDWH RI LQWR[LFDWLRQ RU VWXSHIDFWLRQ RU
RWKHUFDXVHLPSHGLQJWKHH[HUFLVHRIKHUIUHHZLOO

E 0DNLQJ D ZLGRZ RU ZRPDQ EHOLHYH WKDW WKH FRPPLVVLRQ
RIVDWLZRXOGUHVXOWLQVRPHVSLULWXDOEHQHILWWRKHURUKHU
GHFHDVHGKXVEDQGRUUHODWLYHRUWKHJHQHUDOZHOOEHLQJRI
WKHIDPLO\

F (QFRXUDJLQJ D ZLGRZ RU ZRPDQ WR UHPDLQ IL[HG LQ KHU
UHVROYHWRFRPPLWVDWLDQGWKXVLQVWLJDWLQJKHUWRFRPPLW
VDWL

G 3DUWLFLSDWLRQ LQ DQ\ SURFHVVLRQ LQ FRQQHFWLRQ ZLWK WKH
FRPPLVVLRQRIVDWLRUDLGLQJWKHZLGRZRUZRPDQLQKHU
GHFLVLRQWRFRPPLWVDWLE\WDNLQJKHUDORQJZLWKWKHERG\
RI KHU GHFHDVHG KXVEDQG RU UHODWLYH WR WKH FUHPDWLRQ RU
EXULDOJURXQG

3

H %HLQJ SUHVHQW DW WKH SODFH ZKHUH VDWL LV FRPPLWWHG DV DQ
DFWLYHSDUWLFLSDQWWRVXFKFRPPLVVLRQRUWRDQ\FHUHPRQ\
FRQQHFWHGZLWKLW

I 3UHYHQWLQJ RU REVWUXFWLQJ WKH ZLGRZ RU ZRPDQ IURP
VDYLQJKHUVHOIIURPEHLQJEXUQWRUEXULHGDOLYH

J 2EVWUXFWLQJRULQWHUIHULQJZLWKWKHSROLFHLQWKHGLVFKDUJH
RILWVGXWLHVRIWDNLQJDQ\VWHSVWRSUHYHQWWKHFRPPLVVLRQ
RIVDWL

 3XQLVKPHQW )RU *ORULILFDWLRQ RI 6DWL  :KRHYHU GRHV DQ\ DFW IRU WKH
JORULILFDWLRQRIVDWLVKDOOEHSXQLVKDEOHZLWKLPSULVRQPHQWIRUDWHUPZKLFKVKDOO
QRW EH OHVV WKDQ RQH \HDU EXW ZKLFK PD\ H[WHQG WR VHYHQ \HDUV DQG ZLWK ILQH
ZKLFKVKDOOQRWEHOHVVWKDQILYHWKRXVDQGUXSHHVEXWZKLFKPD\H[WHQGWRWKLUW\
WKRXVDQGUXSHHV

3$57,,,
3RZHUVRI&ROOHFWRURU'LVWULFW0DJLVWUDWHWR3UHYHQW2IIHQFHV5HODWLQJWRVDWL

3RZHUWR3URKLELW&HUWDLQ$FWV

 :KHUHWKH&ROOHFWRURUWKH'LVWULFW0DJLVWUDWHLVRIWKHRSLQLRQWKDW
VDWL RU DQ\ DEHWPHQWWKHUHRI LV EHLQJ RU LV DERXW WR EH FRPPLWWHG
KH PD\ E\ RUGHU SURKLELW WKH GRLQJ RI DQ\ DFW WRZDUGV WKH
FRPPLVVLRQRIVDWLE\DQ\SHUVRQLQDQ\DUHDRUDUHDVVSHFLILHGLQ
WKHRUGHU

 7KH&ROOHFWRURUWKH'LVWULFW0DJLVWUDWHPD\DOVRE\RUGHUSURKLELW
WKHJORULILFDWLRQLQDQ\PDQQHURIVDWLE\DQ\SHUVRQLQDQ\DUHDRU
DUHDVVSHFLILHGLQWKHRUGHU

 :KRHYHUFRQWUDYHQHVDQ\RUGHUPDGHXQGHUVXEVHFWLRQ  RUVXE
VHFWLRQ  VKDOOLIVXFKFRQWUDYHQWLRQLVQRWSXQLVKDEOHXQGHUDQ\
RWKHUSURYLVLRQRIWKLV$FWEHSXQLVKDEOHZLWKLPSULVRQPHQWIRUD
WHUPZKLFKVKDOOQRWEHOHVVWKDQRQH\HDUEXWZKLFKPD\H[WHQGWR
VHYHQ \HDUV DQG ZLWK ILQH ZKLFK VKDOO QRW EH OHVV WKDQ ILYH
WKRXVDQGUXSHHVEXWZKLFKPD\H[WHQGWRWKLUW\WKRXVDQGUXSHHV





4
3RZHUWR5HPRYH&HUWDLQ7HPSOHVRU2WKHU6WUXFWXUHV

7KH6WDWH*RYHUQPHQWPD\LILWLVVDWLVILHGWKDWLQDQ\WHPSOHRURWKHU
VWUXFWXUHZKLFKKDVEHHQLQH[LVWHQFHIRUQRWOHVVWKDQWZHQW\\HDUVDQ\
IRUPRIZRUVKLSRUWKHSHUIRUPDQFHRIDQ\FHUHPRQ\LVFDUULHGRQZLWKD
YLHZ WR SHUSHWXDWH WKH KRQRXU RI RU WR SUHVHUYH WKH PHPRU\ RI DQ\
SHUVRQ LQ UHVSHFW RI ZKRP VDWL KDV EHHQ FRPPLWWHG E\ RUGHU GLUHFW WKH
UHPRYDORIVXFKWHPSOHRURWKHUVWUXFWXUH

7KH&ROOHFWRURUWKH'LVWULFW0DJLVWUDWHPD\LIKHLVVDWLVILHGWKDWLQDQ\
WHPSOHRURWKHUVWUXFWXUHRWKHUWKDQWKDWUHIHUUHGWRLQVXEVHFWLRQ  DQ\
IRUPRIZRUVKLSRUWKHSHUIRUPDQFHRIDQ\FHUHPRQ\LVFDUULHGRQZLWKD
YLHZ WR SHUSHWXDWH WKH KRQRXU RI RU WR SUHVHUYH WKH PHPRU\ RI DQ\
SHUVRQ LQ UHVSHFW RI ZKRP VDWL KDV EHHQ FRPPLWWHG E\ RUGHU GLUHFW WKH
UHPRYDORIVXFKWHPSOHRURWKHUVWUXFWXUH

 :KHUH DQ\ RUGHU XQGHU VXEVHFWLRQ   RU VXEVHFWLRQ   LV QRW
FRPSOLHG ZLWK WKH 6WDWH *RYHUQPHQW RU WKH &ROOHFWRU RU WKH 'LVWULFW
0DJLVWUDWHDVWKHFDVHPD\EHVKDOOFDXVHWKHWHPSOHRURWKHUVWUXFWXUHWR
EHUHPRYHGWKURXJKDSROLFHRIILFHUQRWEHORZWKHUDQNRID6XELQVSHFWRU
DWWKHFRVWRIWKHGHIDXOWHU

3RZHUWR6HL]H&HUWDLQ3URSHUWLHV

:KHUHWKH&ROOHFWRURUWKH'LVWULFW0DJLVWUDWHKDVUHDVRQWREHOLHYHWKDW
DQ\IXQGVRUSURSHUW\KDYHEHHQFROOHFWHGRUDFTXLUHGIRUWKHSXUSRVHRI
JORULILFDWLRQRIWKHFRPPLVVLRQRIDQ\VDWLRUZKLFKPD\EHIRXQGXQGHU
FLUFXPVWDQFHV ZKLFK FUHDWH VXVSLFLRQ RI WKH FRPPLVVLRQ RI DQ\ RIIHQFH
XQGHUWKLV$FWKHPD\VHL]HVXFKIXQGVRUSURSHUW\

(YHU\&ROOHFWRURU'LVWULFW0DJLVWUDWHDFWLQJXQGHUVXEVHFWLRQ  VKDOO
UHSRUW WKH VHL]XUH WR WKH 6SHFLDO &RXUW LI DQ\ FRQVWLWXWHG WR WU\ DQ\
RIIHQFH LQ UHODWLRQ WR ZKLFK VXFK IXQGV RU SURSHUW\ ZHUH FROOHFWHG RU
DFTXLUHG DQG VKDOO DZDLW WKH RUGHUV RI VXFK 6SHFLDO &RXUW DV WR WKH
GLVSRVDORIWKHVDPH

3$57,9
6SHFLDO&RXUWV

7ULDORI2IIHQFHV8QGHU7KLV$FW


5
  1RWZLWKVWDQGLQJ DQ\WKLQJ FRQWDLQHG LQ WKH &RGH DOO RIIHQFHV XQGHU
WKLV $FW VKDOO EH WULDEOH RQO\ E\ D 6SHFLDO &RXUW FRQVWLWXWHG XQGHU WKLV
VHFWLRQ

 7KH 6WDWH *RYHUQPHQW VKDOO E\ QRWLILFDWLRQ LQ WKH RIILFLDO *D]HWWH
FRQVWLWXWH RQH RU PRUH 6SHFLDO &RXUWV IRU WKH WULDO RI RIIHQFHV XQGHU WKLV
$FW DQG HYHU\ 6SHFLDO &RXUW VKDOO H[HUFLVH MXULVGLFWLRQ LQ UHVSHFW RI WKH
ZKROHRUVXFKSDUWRIWKH6WDWHDVPD\EHVSHFLILHGLQWKHQRWLILFDWLRQ

 $ 6SHFLDO &RXUW VKDOO EH SUHVLGHG RYHU E\ D -XGJH WR EH DSSRLQWHG E\
WKH 6WDWH *RYHUQPHQW ZLWK WKH FRQFXUUHQFH RI WKH &KLHI -XVWLFH RI WKH
+LJK&RXUW

$SHUVRQVKDOOQRWEHTXDOLILHGIRUDSSRLQWPHQWDVD-XGJHRID6SHFLDO
&RXUW XQOHVV KH LV LPPHGLDWHO\ EHIRUH VXFK DSSRLQWPHQW D 6HVVLRQV
-XGJHRUDQ$GGLWLRQDO6HVVLRQV-XGJHLQDQ\6WDWH

6SHFLDO3XEOLF3URVHFXWRUV

)RUHYHU\6SHFLDO &RXUWWKH6WDWH*RYHUQPHQWVKDOODSSRLQWDSHUVRQ
WREHD6SHFLDO3XEOLF3URVHFXWRU

$SHUVRQVKDOOEHHOLJLEOHWREHDSSRLQWHGDVD6SHFLDO3XEOLF3URVHFXWRU
XQGHU WKLV VHFWLRQ RQO\ LI KH KDG EHHQ LQ SUDFWLFH DV DQ DGYRFDWH IRU QRW
OHVV WKDQ VHYHQ \HDUV RU KDV KHOG DQ\ SRVW IRU D SHULRG RI QRW OHVV WKDQ
VHYHQ\HDUVXQGHUWKH6WDWHUHTXLULQJVSHFLDONQRZOHGJHRIODZ

 (YHU\ SHUVRQ DSSRLQWHG DV D 6SHFLDO 3XEOLF 3URVHFXWRU XQGHU WKLV
VHFWLRQ VKDOO EH GHHPHGWREHD 3XEOLF 3URVHFXWRUZLWKLQWKH PHDQLQJRI
&O X RI6HFWLRQRIWKH&RGHDQGWKHSURYLVLRQVRIWKH&RGHVKDOOKDYH
HIIHFWDFFRUGLQJO\

3URFHGXUHDQG3RZHUVRI6SHFLDO&RXUWV

 $ 6SHFLDO &RXUW PD\ WDNH FRJQL]DQFH RI DQ\ RIIHQFH ZLWKRXW WKH
DFFXVHGEHLQJFRPPLWWHGWRLWIRUWULDOXSRQUHFHLYLQJDFRPSODLQWRIIDFWV
ZKLFKFRQVWLWXWHVXFKRIIHQFHRUXSRQDSROLFHUHSRUWRIVXFKIDFWV

6XEMHFWWRWKHRWKHUSURYLVLRQVRIWKLV$FWD6SHFLDO&RXUWVKDOOIRUWKH
SXUSRVH RI WKH WULDO RI DQ\ RIIHQFH KDYH DOO WKH SRZHUV RI D &RXUW RI
6HVVLRQDQGVKDOOWU\VXFKRIIHQFHDVLILWZHUHD&RXUWRI6HVVLRQVRIDUDV
PD\EHLQDFFRUGDQFHZLWKWKHSURFHGXUHSUHVFULEHGLQWKH&RGHIRUWULDO
EHIRUHD&RXUWRI6HVVLRQ

6
3RZHURI6SHFLDO&RXUW:LWK5HVSHFWWR2WKHU2IIHQFHV

 :KHQ WU\LQJ DQ\ RIIHQFH XQGHU WKLV $FW D 6SHFLDO &RXUW PD\ DOVR WU\
DQ\ RWKHU RIIHQFH ZLWK ZKLFK WKH DFFXVHG PD\ XQGHU WKH &RGH EH
FKDUJHG DW WKH VDPH WULDO LI WKH RIIHQFH LV FRQQHFWHG ZLWK VXFK RWKHU
RIIHQFH

,ILQWKHFRXUVHRIDQ\WULDORIDQ\RIIHQFHXQGHUWKLV$FWLWLVIRXQGWKDW
WKH DFFXVHG SHUVRQ KDV FRPPLWWHG DQ\ RWKHU RIIHQFH XQGHU WKLV $FW RU
XQGHUDQ\RWKHUODZD6SHFLDO&RXUWPD\FRQYLFWVXFKSHUVRQDOVRRIVXFK
RWKHURIIHQFHDQGSDVVDQ\VHQWHQFHDXWKRULVHGE\WKLV$FWRUVXFKRWKHU
ODZIRUWKHSXQLVKPHQWWKHUHRI

,QHYHU\LQTXLU\RUWULDOWKHSURFHHGLQJVVKDOOEHKHOGDVH[SHGLWLRXVO\
DV SRVVLEOH DQG LQ SDUWLFXODU ZKHUH WKH H[DPLQDWLRQ RI ZLWQHVVHV KDV
EHJXQWKHVDPHVKDOOEHFRQWLQXHGIURPGD\WRGD\XQWLODOOWKHZLWQHVVHV
LQ DWWHQGDQFH KDYH EHHQ H[DPLQHG DQG LI DQ\ 6SHFLDO &RXUW ILQGV WKH
DGMRXUQPHQW RI WKH VDPH EH\RQG WKH IROORZLQJ GDWH WR EH QHFHVVDU\ LW
VKDOOUHFRUGLWVUHDVRQVIRUGRLQJVR

)RUIHLWXUH RI )XQGV RU 3URSHUW\ :KHUHD SHUVRQ KDV EHHQ FRQYLFWHGRIDQ
RIIHQFH XQGHU WKLV $FW WKH 6SHFLDO &RXUW WU\LQJ VXFK RIIHQFH PD\ LI LW LV
FRQVLGHUHG QHFHVVDU\ VR WR GR GHFODUH WKDWDQ\ IXQGV RU SURSHUW\VHL]HGXQGHU
6HFWLRQVKDOOVWDQGIRUIHLWHGWRWKH6WDWH

$SSHDO

1RWZLWKVWDQGLQJDQ\WKLQJFRQWDLQHGLQWKH&RGHDQDSSHDOVKDOOOLHDV
D PDWWHU RI ULJKW IURP DQ\ MXGJHPHQW VHQWHQFH RU RUGHU QRW EHLQJ DQ
LQWHUORFXWRU\RUGHURID6SHFLDO&RXUWWRWKH+LJK&RXUWERWKRQIDFWVDQG
RQODZ

 (YHU\ DSSHDO XQGHU WKLV VHFWLRQ VKDOO EH SUHIHUUHG ZLWKLQ D SHULRG RI
WKLUW\ GD\V IURP WKH GDWH RI WKH MXGJPHQW VHQWHQFH RU RUGHU DSSHDOHG
IURP  SURYLGHG WKDW WKH +LJK &RXUW PD\ HQWHUWDLQ DQ DSSHDO DIWHU WKH
H[SLU\RIWKHVDLGSHULRGRIWKLUW\GD\VLILWLVVDWLVILHGWKDWWKHDSSHOODQW
KDG VXIILFLHQW FDXVH IRU QRW SUHIHUULQJ WKH DSSHDO ZLWKLQ WKH SHULRG RI
WKLUW\GD\V






7
3$579
0LVFHOODQHRXV

3URWHFWLRQRI$FWLRQ7DNHQ8QGHU7KLV$FW1RVXLWSURVHFXWLRQRURWKHU
OHJDO SURFHHGLQJ VKDOO OLH DJDLQVW WKH 6WDWH *RYHUQPHQW RU DQ\ RIILFHU RU
DXWKRULW\ RI WKH 6WDWH *RYHUQPHQW IRU DQ\WKLQJ ZKLFK LV LQ JRRG IDLWK GRQH RU
LQWHQGHGWREHGRQHLQSXUVXDQFHRIWKLV$FWRUDQ\UXOHVRURUGHUVPDGHXQGHU
WKLV$FW

 %XUGHQ RI 3URRI  :KHUH DQ\ SHUVRQ LV SURVHFXWHG RI DQ RIIHQFH XQGHU
6HFWLRQWKHEXUGHQRISURYLQJWKDWKHKDGQRWFRPPLWWHGWKHRIIHQFHXQGHUWKH
VDLGVHFWLRQVKDOOEHRQKLP

2EOLJDWLRQRI&HUWDLQ3HUVRQVWR5HSRUW$ERXWWKH&RPPLVVLRQRI2IIHQFH
8QGHUWKLV$FW

 $OO RIILFHUV RI *RYHUQPHQW DUH KHUHE\ UHTXLUHG DQG HPSRZHUHG WR
DVVLVWWKHSROLFHLQWKHH[HFXWLRQRIWKHSURYLVLRQVRIWKLV$FWRUDQ\UXOH
RURUGHUPDGHWKHUHXQGHU

 $OO YLOODJH RIILFHUV DQG VXFK RWKHU RIILFHUV DV PD\ EH VSHFLILHG E\ WKH
&ROOHFWRU RU WKH 'LVWULFW 0DJLVWUDWH LQ UHODWLRQ WR DQ\ DUHD DQG WKH
LQKDELWDQWV RI VXFK DUHD VKDOO LI WKH\ KDYH UHDVRQ WR EHOLHYH RU KDYH WKH
NQRZOHGJHWKDWVDWLLVDERXWWREHRUKDVEHHQFRPPLWWHGLQWKHDUHDVKDOO
IRUWKZLWKUHSRUWVXFKIDFWWRWKHQHDUHVWSROLFHVWDWLRQ

:KRHYHUFRQWUDYHQHVWKHSURYLVLRQVRIVXEVHFWLRQ  RUVXEVHFWLRQ  
VKDOO EH SXQLVKDEOH ZLWK  LPSULVRQPHQW RI HLWKHU GHVFULSWLRQ IRU D WHUP
ZKLFKPD\H[WHQGWRWZR\HDUVDQGVKDOODOVREHOLDEOHWRILQH

3HUVRQFRQYLFWHGRIDQ2IIHQFH8QGHU6HFWLRQWREH'LVTXDOLILHG!)URP
,QKHULWLQJ &HUWDLQ 3URSHUWLHV  $ SHUVRQ FRQYLFWHG RI DQ RIIHQFH XQGHU VXE
VHFWLRQ  RI6HFWLRQLQUHODWLRQWRWKHFRPPLVVLRQRIVDWLVKDOOEHGLVTXDOLILHG
IURPLQKHULWLQJWKHSURSHUW\RIWKHSHUVRQLQUHVSHFWRIZKRPVXFKVDWLKDVEHHQ
FRPPLWWHG RU WKH SURSHUW\ RI DQ\ RWKHU SHUVRQ ZKLFK KH ZRXOG KDYH EHHQ
HQWLWOHG WR LQKHULW RQ WKH GHDWK RI WKH SHUVRQ LQ UHVSHFW RI ZKRP VXFK VDWL KDV
EHHQFRPPLWWHG

 $PHQGPHQW RI $FW  RI  ,Q WKH 5HSUHVHQWDWLRQ RI WKH 3HRSOH $FW


D  ,Q 6HFWLRQ  6XEVHFWLRQ   DIWHU WKH SURYLVR WKH IROORZLQJ SURYLVR
VKDOOEHLQVHUWHGQDPHO\

8

3URYLGHG IXUWKHU WKDW D SHUVRQ FRQYLFWHG E\ D 6SHFLDO &RXUW IRU WKH
FRQWUDYHQWLRQ RI DQ\ RI WKH SURYLVLRQV RI WKH &RPPLVVLRQ RI 6DWL
3UHYHQWLRQ  $FW  VKDOO EH GLVTXDOLILHG IURP WKH GDWH RI VXFK
FRQYLFWLRQDQGVKDOOFRQWLQXHWREHGLVTXDOLILHGIRUDIXUWKHUSHULRGRIILYH
\HDUVVLQFHKLVUHOHDVH

E ,Q6HFWLRQDIWHUFODXVH $ WKHIROORZLQJFODXVHVKDOOEHLQVHUWHG
QDPHO\

 %  7KH SURSDJDWLRQ RI WKH SUDFWLFH RU WKH FRPPLVVLRQ RI VDWL RU LWV
JORULILFDWLRQ E\ D FDQGLGDWH RU KLV DJHQW RU DQ\ RWKHU SHUVRQ ZLWK WKH
FRUWVHQW RI WKH FDQGLGDWH RU KLV HOHFWLRQ DJHQW IRU WKH IXUWKHUDQFH RI WKH
SURVSHFWVRIWKHHOHFWLRQRIWKDWFDQGLGDWHRUIRUSUHMXGLFLDOO\DIIHFWLQJWKH
HOHFWLRQRIDQ\FDQGLGDWH

([SODQDWLRQ)RUWKHSXUSRVHVRIWKLVFODXVHVDWLDQGJORULILFDWLRQLQUHODWLRQ
WRVDWLVKDOOKDYHWKHPHDQLQJVUHVSHFWLYHO\DVVLJQHGWRWKHPLQWKH&RPPLVVLRQ
RI6DWL 3UHYHQWLRQ $FW

 $FW WR +DYH 2YHUULGLQJ (IIHFW  7KH SURYLVLRQV RI WKLV $FW RU DQ\ UXOH RU
RUGHU PDGH WKHUHXQGHU VKDOO KDYH HIIHFW QRWZLWKVWDQGLQJ DQ\WKLQJ LQFRQVLVWHQW
WKHUHZLWK FRQWDLQHG LQ DQ\ HQDFWPHQW RWKHU WKDQ WKLV $FW RU LQ DQ\ LQVWUXPHQW
KDYLQJHIIHFWE\YLUWXHRIDQ\HQDFWPHQWRWKHUWKDQWKLV$FW

3RZHUWR0DNH5XOHV

 7KH &HQWUDO *RYHUQPHQW PD\ E\ QRWLILFDWLRQ LQ WKH RIILFLDO *D]HWWH
PDNHUXOHVIRUFDUU\LQJRXWWKHSURYLVLRQVRIWKLV$FW

(YHU\UXOHPDGHXQGHUWKLVVHFWLRQVKDOOEHODLGDVVRRQDVPD\EHDIWHU
LW LV PDGH EHIRUH HDFK +RXVH RI 3DUOLDPHQW ZKLOH LW LV LQ VHVVLRQ IRU D
WRWDO SHULRG RI WKLUW\ GD\V ZKLFK PD\ EH FRPSULVHG LQ RQH VHVVLRQ RU LQ
WZR RU PRUH VXFFHVVLYH VHVVLRQV DQG LI EHIRUH WKH H[SLU\ RI WKH VHVVLRQ
LPPHGLDWHO\ IROORZLQJ WKH VHVVLRQ RU WKH VXFFHVVLYH VHVVLRQV DIRUHVDLG
ERWK +RXVHV DJUHH WKDW WKH UXOH VKRXOG QRW EH PDGH WKH UXOH VKDOO
WKHUHDIWHUKDYHHIIHFWRQO\LQVXFKPRGLILHGIRUPRUEHRIQRHIIHFWDVWKH
FDVHPD\EHVRKRZHYHUWKDWDQ\VXFKPRGLILFDWLRQRUDQQXOPHQWVKDOO
EH ZLWKRXW SUHMXGLFH WR WKH YDOLGLW\ RI DQ\WKLQJ SUHYLRXVO\ GRQH XQGHU
WKDWUXOH




9
5HSHDORI([LVWLQJ/DZV

$OOODZVLQIRUFHLQDQ\6WDWHLPPHGLDWHO\EHIRUHWKHFRPPHQFHPHQWRI
WKLV$FWLQWKDW6WDWHZKLFKSURYLGHIRUWKHSUHYHQWLRQRUWKHJORULILFDWLRQ
RIVDWLVKDOORQVXFKFRPPHQFHPHQWVWDQGUHSHDOHG

1RWZLWKVWDQGLQJVXFKUHSHDODQ\WKLQJGRQHRUDQ\DFWLRQWDNHQXQGHU
DQ\ ODZ UHSHDOHG XQGHU 6XEVHFWLRQ   VKDOO EH GHHPHG WR KDYH EHHQ
GRQH RU WDNHQ XQGHU WKH FRUUHVSRQGLQJ SURYLVLRQV RI WKLV $FW DQG LQ
SDUWLFXODU DQ\ FDVH WDNHQ FRJQL]DQFH RI E\ D 6SHFLDO &RXUW XQGHU WKH
SURYLVLRQV RI DQ\ ODZ VR UHSHDOHG DQG SHQGLQJ EHIRUH LW LPPHGLDWHO\
EHIRUH WKH FRPPHQFHPHQW RI WKLV $FW LQ WKDW 6WDWH VKDOO FRQWLQXH WR EH
GHDOW ZLWK E\ WKDW 6SHFLDO &RXUW DIWHU VXFK FRPPHQFHPHQW DV LI VXFK
6SHFLDO&RXUWKDGEHHQFRQVWLWXWHGXQGHU6HFWLRQRIWKLV$FW

&RPPLVVLRQRI6DWL 3UHYHQWLRQ 5XOHV

*65  (  GDWHG VW 0DUFK ,Q H[HUFLVH RI WKH SRZHUV FRQIHUUHG E\
6HFWLRQ  RI WKH &RPPLVVLRQ RI  6DWL 3UHYHQWLRQ  $FW   RI   WKH
&HQWUDO*RYHUQPHQWKHUHE\PDNHVWKHIROORZLQJUXOHVQDPHO\

6KRUW7LWOHDQG&RPPHQFHPHQW

 7KHVH UXOHV PD\ EH FDOOHG WKH &RPPLVVLRQ RI 6DWL 3UHYHQWLRQ  5XOHV


7KH\VKDOOFRPHLQWRIRUFHRQWKHGDWHRIWKHLUSXEOLFDWLRQLQWKHRIILFLDO
*D]HWWH

'HILQLWLRQV

,QWKHVHUXOHVXQOHVVWKHFRQWH[WRWKHUZLVHUHTXLUHV

D $FWPHDQVWKH&RPPLVVLRQRI6DWL 3UHYHQWLRQ $FW RI
 

E 3URKLELWRU\RUGHUPHDQVDQRUGHULVVXHGXQGHU6HFWLRQ

F 6HFWLRQPHDQVVHFWLRQRIWKH$FW

:RUGVDQGH[SUHVVLRQXVHGEXWQRWGHILQHGLQWKHVHUXOHVDQGGHILQHG
LQ WKH $FW VKDOO KDYH WKH VDPH PHDQLQJV DV DUH UHVSHFWLYHO\ DVVLJQHG WR
WKHPLQWKH$FW

10

 'HOHJDWLRQ RI 3RZHU WR 3URKLELW &HUWDLQ $FWV  7KH 6WDWH *RYHUQPHQW
PD\E\RUGHUDQGVXEMHFWWRVXFKFRQGLWLRQVDVLWPD\GHHPILWWRLPSRVH
GLUHFW WKDW WKH SRZHUV RI WKH &ROOHFWRU RU WKH 'LVWULFW 0DJLVWUDWH XQGHU
6HFWLRQPD\DOVREHH[HUFLVHGE\VXFKRWKHURIILFHUVQRWEHORZWKHUDQN
RIWKHYLOODJHRIILFHUV

3URKLELWRU\2UGHUV8QGHU6HFWLRQKRZ0DGH

(YHU\SURKLELWRU\RUGHUXQGHU6HFWLRQVKDOOEHPDGHE\EHDWRIGUXP
RURWKHUFXVWRPDU\PRGHLQWKHFRQFHUQHGYLOODJHRULQFDVHRIWRZQRU
FLW\ LQ WKH ORFDOLW\ LQ ZKLFK WKH DFW SURKLELWHG LV OLNHO\ WR RFFXU RU KDV
WDNHQSODFH

7KHSURKLELWRU\RUGHUVKDOOEHGLVSOD\HGDWVRPHFRQVSLFXRXVSODFHLQ
WKHDUHDRUDUHDVWRZKLFKVXFKDFWVUHODWHDQGDFRS\WKHUHRIVKDOODOVREH
GLVSOD\HGLQWKHRIILFHRIWKHRIILFHULVVXLQJWKHSURKLELWRU\RUGHUDQGVXFK
GLVSOD\VKDOOEHWDNHQDVDVXIILFLHQWQRWLFHWRDOOSHUVRQVFRQFHUQHGLQWKH
DUHDRUDUHDVWRZKLFKVXFKRUGHUUHODWHV

0DQQHURI0DNLQJ2UGHUIRU5HPRYDORI7HPSOHVRU6WUXFWXUHV8QGHU6XE
VHFWLRQ  RI6HFWLRQ

%HIRUHPDNLQJDQ\RUGHUXQGHU6XEVHFWLRQ  RI6HFWLRQIRUUHPRYDO
RI DQ\ WHPSOH RU VWUXFWXUH WKH 6WDWH *RYHUQPHQW RU DQ\ RWKHU RIILFHU
DXWKRULVHG E\ WKH 6WDWH *RYHUQPHQW LQ WKLV EHKDOI VKDOO JLYH DW OHDVW
QLQHW\ GD\V QRWLFH WR WKH SHUVRQ RU SHUVRQV LQYROYHG LQ WKH DFWV
FRPSODLQHG RI DQG DOVR WR WKH RZQHUV DQG RFFXSLHUV RI WKH WHPSOH RU
VWUXFWXUHSURSRVHGWREHUHPRYHG

7KHQRWLFHXQGHU6XEUXOH  VKDOOVSHFLI\

L  7KH WHPSOHVWUXFWXUHSURSRVHG WR EHUHPRYHGLWV ORFDWLRQDQG
RWKHUSDUWLFXODUV

LL 7KHRZQHUVRFFXSLHUVRIWKHWHPSOHVWUXFWXUHDQG

LLL  7KH VSHFLILF LQVWDQFH RU LQVWDQFHV RI ZRUVKLS RU FHUHPRQ\
FRQWUDYHQLQJWKHSURYLVLRQVRI6HFWLRQ

7KH*RYHUQPHQWRUWKHRIILFHUDXWKRULVHGE\WKH6WDWH*RYHUQPHQWLQ
WKLVEHKDOIVKDOODIWHUJLYLQJUHDVRQDEOHRSSRUWXQLW\RIEHLQJKHDUGWRWKH

11
SHUVRQV VSHFLILHG LQ WKH QRWLFH RUGHU WKH UHPRYDO RI WKH WHPSOH RU
VWUXFWXUHWKURXJKDSROLFHRIILFHUQRWEHORZWKHUDQNRIWKH6XELQVSHFWRU

0DQQHURI0DNLQJ2UGHUIRU5HPRYDORI7HPSOHVRU6WUXFWXUHV8QGHU6XE
VHFWLRQ  RI6HFWLRQ

$IWHULVVXHRIDSURKLELWRU\RUGHUXQGHU6HFWLRQWKH&ROOHFWRURUWKH
'LVWULFW 0DJLVWUDWH RU VXFK RWKHU RIILFHU DV GLUHFWHG E\ WKH 6WDWH
*RYHUQPHQWE\RUGHUXQGHUUXOHVKDOOEHIRUHPDNLQJDQ\RUGHURUWKH
UHPRYDO RI DQ\ WHPSOH RU VWUXFWXUH XQGHU 6XEVHFWLRQ   RI 6HFWLRQ 
JLYHVDWOHDVWQLQHW\GD\VQRWLFHWRWKHSHUVRQRUSHUVRQVLQYROYHGLQWKH
DFWVFRPSODLQHGRIDQGDOVRWRWKHRZQHUVDQGRFFXSLHUVRIWKHWHPSOHRI
VWUXFWXUHSURSRVHGWREHUHPRYHG

7KH&ROOHFWRURUWKH'LVWULFW0DJLVWUDWHRUVXFKRWKHURIILFHUDVGLUHFWHG
E\WKH6WDWH*RYHUQPHQWE\RUGHUXQGHUUXOHVKDOOIROORZWKHSURYLVLRQV
RI6XEUXOHV  DQG  RIUXOHLQWKHFDVHRIRUGHUVPDGHXQGHUWKLVUXOH

,QYHQWRU\DQG)RUIHLWXUHRIWKH3URSHUW\RI7HPSOHRU6WUXFWXUH$VVRRQDV
WKHRUGHURIUHPRYDORIWKHWHPSOHRUVWUXFWXUHLVH[HFXWHGWKH6WDWH*RYHUQPHQW
RU WKH &ROOHFWRU RU WKH 'LVWULFW 0DJLVWUDWH RU DV WKH FDVH PD\ EH WKH RIILFHU DV
GLUHFWHG E\ WKH 6WDWH *RYHUQPHQW E\ RUGHU XQGHU UXOH  VKDOO SUHSDUH DQ
LQYHQWRU\RIDOOWKH PDWHULDODQGRWKHU SURSHUW\ REWDLQHGDIWHU UHPRYDORIVXFK
WHPSOHRUVWUXFWXUHVSHFLI\LQJLQLWWKHSODFHZKHUHLWLVORGJHGRUNHSW$QGVKDOO
IRUZDUGWKHLQWLPDWLRQWKHUHRIWRWKH6SHFLDO&RXUWIRUGHFODUDWLRQIRUIRUIHLWXUH
RIWKHVDLGPDWHULDORUSURSHUW\WRWKH6WDWHXQGHU6HFWLRQLIWKH6SHFLDO&RXUW
FRQVLGHUVLWQHFHVVDU\WRGRVRDQGVKDOODOVRJLYHDFRS\RIWKHLQYHQWRU\WRWKH
RZQHUVRFFXSLHUVRIWKHWHPSOHVWUXFWXUHUHPRYHG

&RPPHQWDU\

&XVWRP RI :LGRZ %XUQLQJ  0D[ 0XOOHU JLYHV UHIHUHQFHV WR WKH FXVWRP RI
ZLGRZ EXUQLQJ DPRQJ *UHHNV DQG 6\WKLDQV ,Q WKH ERRN RI 3HWHU 0XQG\
LQVWDQFHKDVEHHQJLYHQRIWKHEXUQLQJRIDZLGRZDW6XUDWLQZLWKDVNHWFK
RI WKH EXUQLQJ ZLGRZ KDYLQJ RQ KHU ODS WKH KHDG RI KHU GHFHDVHG KXVEDQG
6LPLODUO\ %DUERVD D 3RUWXJHVH WUDYHOOHU GHVFULEHG WKH EXUQLQJ RI D VDWL LQ WKH
9LMD\ 1DJDU NLQJGRP 7KH SUDFWLFH RI VDWL FDQ EH GHULYHG IURP DQFLHQW *UHHNV
*HUPDQV DQG RWKHU UDFHV EXW FRQILQHG WR SULQFHO\ FDVWHV 7KHUH LV QR 9HGLF
SDVVDJH ZKLFK FDQ EH FLWHG DV LQFRQWURYHUWLEO\ UHIHUULQJ WR ZLGRZ EXUQLQJ DV
WKHQFXUUHQWQRUWKHUHLVDQ\PDQWUDZKLFKFRXOGEHVDLGWRKDYHEHHQUHSHDWHG
LQYHU\DQFLHQWWLPHVDWVXFKEXUQLQJQRUGRWKHDQFLHQW*ULKDVXWUDVFRQWDLQDQ\
GLUHFWLRQ SUHVFULELQJ WKH SURFHGXUH RI ZLGRZ EXUQLQJ ,W DSSHDUV WKDW WKH
SUDFWLFHVWDUWHGLQ%UDKPDQLFDO,QGLDDIHZ FHQWXULHVEHIRUH&KULVW1RQHRIWKH

12
'KDUPVDVWUDV H[FHSW 9LVKQX FRQWDLQ DQ\ UHIHUHQFH WR VDWL 7KH 0DQXVPULWL LV
HQWLUHO\ VLOHQW DERXW LW ,W LV VWDWHG LQ 6WUDER ;97  DQG   WKDW WKH *UHHNV
XQGHU $OH[DQGHU IRXQG VDWL SUDFWLVHG DPRQJ WKH &DWKDHL LQ 3XQMDE 7KH
0DKDEKDUDWDLVDOVRYHU\VSDULQJLQLWVUHIHUHQFHWRZLGRZEXUQLQJ0DGULWKH
IDYRXULWH ZLIH RI 3DQGX EXUQW KHUVHOI ZLWK KHU KXVEDQG
V ERG\ ,Q WKH
9LUDWDSDUYD6DLUDQGKULZDVRUGHUHGWREHEXUQWZLWK.LFDND7KH0DQVDOD3DUYD
 VD\VWKDWIRXUZLYHVRI9DVXGHYDYL]'HYDNL%KDGUD5RKLQLDQG0DGLUD
EXUQW WKHPVHOYHV ZLWK KLP DQG WKDW 5XNPLQL *DQGKDUL 6DLE\D +DLPDYDWL
-DPEDYDWLDPRQJWKHFRQVRUWVRI.ULVKQDEXUQWWKHPVHOYHVDORQJZLWKKLVERG\
DQG RWKHUTXHHQV OLNH 6DW\DEKDPDZHQWWR DIRUHVW IRUWDSD 7KH9LVKQXSXUDQD
DOVRVD\VWKDWHLJKWTXHHQVRI.ULVKQD5XNPLQLDQGRWKHUVHQWHUHGLQWRILUHRQ
WKH GHDWK RI .ULVKQD ,W DSSHDUV WKDW RULJLQDOO\ WKLV SUDFWLFH ZDV FRQILQHG WR
5R\DOIDPLOLHVDQGJUHDWZDUULRUVDQGHYHQLQ,QGLDWKHFDVHVRIZLGRZEXUQLQJ
ZHUHUDUH7KHWH[WRI8VDQDVVD\VWKDWDEUDKPDQDZLGRZVKRXOGQRWIROORZKHU
KXVEDQG RQ D VHSDUDWH IXQHUDO S\UH ,Q WKH 5DPD\DQD 8WWDUDNKDQGD  WKHUH LV
UHIHUHQFHWRWKHVHOILPPRODWLRQRIDEUDKPDQDZRPDQ WKHZLIHRID%UDKPDUVL
DQG PRWKHU RI 9HGDYDWL ZKR ZKHQ PROHVWHG E\ 5DYDQD EXUQW KHUVHOI LQ ILUH 
7KH 0DKDEKDUDWD RQ WKH RWKHU KDQG GHVFULEHV .ULSL WKH ZLIH RI 'URQD WKH
EUDKPDQDFRPPDQGHULQFKLHIRIWKH.DXUDYDVDSSHDUHGZLWKGLVKHYHOOHGKDLU
RQ WKH EDWWOHILHOG RQ WKH GHDWK RI KHU KXVEDQG EXW GRHV QRW VD\ WKDW VKH EXUQW
KHUVHOI ,Q WKH .XPDUDVDPEKDYDP ,9   RI .DOLGDVD 5DWL WKH ZLIH RI .DPD
ZKRZDVEXUQWE\6KLYDVSHDNVRIWKURZLQJKHUVHOILQWRILUHEXWZDVKHOGEDFN
E\DKHDYHQO\YRLFH7KH+DUVDFKDULWDGHVFULEHVKRZ<DVRPDWLWKHFKLHITXHHQ
RI NLQJ 3UDEKDNDUD9DUGKDQD DQG PRWKHU RI +DUVKD FRQVLJQHG KHUVHOI WR ILUH
ZKHQWKHNLQJZDVG\LQJ%XWWKLVLVQRWDSURSHUFDVHRIVDWLDVVKHEXUQWKHUVHOI
EHIRUH KHU KXVEDQG GLHG 7KH %KDJDYDWSXUDQD    VSHDNV RI *DQGKDUL
EXUQLQJ KHUVHOI RQ WKH GHDWK RI KHU KXVEDQG 'KULWUDVKWUD 7KH 5DMDWDUDQJLQL
FLWHVDWVHYHUDOSODFHV 9RO9,9RO9,, H[DPSOHVRIVDWL

,QYDULRXVHSLJUDSKLFUHFRUGVUHIHUHQFHLVPDGHWRWKHSUDFWLFHRIVDWLDPRQJWKH
HDUOLHVW LV WKH RQH LQ  RI WKH *XSWDHUD  $'  (YHQ SRVWKXPRXV VWRQH
SLOODULQVFULSWLRQRI*RSDUDMDVD\VWKDWKLVZLIHDFFRPSDQLHGKLPRQWKHIXQHUDO
S\UH ZKHQ KH ZDV NLOOHG LQ WKH EDWWOH 7KHUH LV 1HSDO LQVFULSWLRQ RI  $'
ZKHUH 5DM\DYDWL ZLGRZ RI 'KDUPDGHYD ELGV KHU VRQ 0DKDGHYD WR WDNH WKH
UHLQVRIJRYHUQPHQWWKDWVKHPD\IROORZKHUKXVEDQGWKH%HODWXODLQVFULSWLRQRI
VDND  VD\V RI D VXGUD ZRPDQ 'HNDEEH EXUQW KHUVHOI RQ KHDULQJ RI KHU
KXVEDQG
V GHDWK LQVSLWH RI VWURQJ RSSRVLWLRQ RI KHU SDUHQWV ZKRWKHQ HUHFWHG D
VWRQH PRQXPHQW RI KHU D JUDQW ZDV PDGH LQ VDND  WR D WHPSOH E\ 6LQGD
0DKDPDQGDOHVYDUD5DFDPDOODRQDUHTXHVWE\WZRVDWLVZLGRZVRIKLVJHQHUDO
%HFLUDMD&HGL6DPYDWUHIHUVWRWKUHHTXHHQVEHFRPLQJVDWLWKH7DPDUDJHWV
LQVFULSWLRQ RI VDND  VSHDNLQJ RI 0DQLN\DGHYL DV VDWL RQ WKH GHDWK RI KHU
KXVEDQG $PDQD ZKR ZDV DQ RIILFHU RI WKH NLQJ +DULVFKDQGUD 0LVWUD 'HROL
LQVFULSWLRQ LQ -RGKSXU VD\ RI WZR TXHHQV RI *RKLOD 5DQD EHFRPLQJ VDWLV WKHUH

13
DUHUHFRUGVRIVDWLGXULQJWKHSHULRGVDNDDQG$PRQJWKHZHOONQRZQ
H[DPSOHV RI VDWL LV WKDW RI 5DPDEDL ZLIH RI 3HVKZD 0DGKDYUDR  LQ  $'
7KH -DXKDU SUDFWLVHG E\ WKH 5DMSXW ODGLHV RI &KLWWRU DQG RWKHU XQVSHDNDEOH
DWURFLWLHV DW WKH KDQGV RI WKH YLFWRULRXV 0XVOLPV DUH WRR ZHOO NQRZQ 7KH
5DMDWDUDQJLQL9,,QDUUDWHVKRZZKHQWKHTXHHQRINLQJ$QDQWDEHFDPHDVDWL
RQ KHU KXVEDQG
V   GHDWK 6DWL ZDV QRW LPSRVHG VRPHKRZ JUHZ DQG LW LV
DEVROXWHO\LQFRUUHFWWRVD\WKDWLWZDVLPSRVHGE\PHQRQZRPHQ

 3UDFWLFH RI 6DWL  7KHQ FLUFXPVWDQFHV ZHUH GLIIHUHQW WKH VLWXDWLRQV ZHUH
GLIIHUHQW DQG WKHUH PLJKW EH UHDVRQV DOVR 7KH 6DWL SUDFWLFH PLJKW KDYH EHHQ
EHFDXVHRIVRPHVHQWLPHQWVWRWDOO\GLIIHUHQWVXLWHGWRWKHFLUFXPVWDQFHVWKHQ,W
ZDV FRQILQHG WR NLQJV DQG ZDUULRUV EHFDXVH WKH ZLYHV RI FRQTXHUHGNLQJVDQG
ZDUULRUV ZHUH PRVW PLVHUDEOH ZKLFK DSSOLHG QRW RQO\ WR ,QGLD EXW DOVR WR WKH
NLQJGRPLQRWKHUFRXQWULHVWRR9HQJHDQFHIRUWKHWUXFXOHQFHRIWKHLUKXVEDQGV
ZDV ZUHFNHG RQ WKH ZLYHV E\ FDUU\LQJ WKHP DV FDSWLYHV DQG PDNLQJ WKHP WR
ZRUN DV VODYHV :KHQ TXHHQ <DVRPDWL QDUUDWHV WR KHU VRQ +DUVKD WKH JUHDW
KRQRXU DQG JORU\ WKDW ZDV GXULQJ WKH UHLJQ RI KHU KXVEDQG NLQJ
3UDEKDNDUDYDUGKDQD7KHUHDSDUWWKHKRQRXUWKDWWKHZLYHVRIWKHNLQJVDQGWKH
ZDUULRUV ZHUH KDYLQJ GXULQJ WKH OLIHWLPH RI WKHLU KXVEDQGV ZRXOG QRW KDYH
FRQWLQXHG DIWHU WKH GHDWK RI WKHLU KXVEDQGV HYHQ LQ WKHLU RZQ NLQJGRP )URP
NLQJV WKH SUDFWLFH VSUHDG DPRQJ EUDKPDQDV DQG RWKHUV 7KRXJK VHYHUDO
6PULWLNDUDV GLVDSSURYHG VXFK D SUDFWLFH EXW RQFH LW WRRN WKH URRW WKH OHDUQHG
FRPPHQWDWRUV DQG GLJHVW ZULWHUV ZHUH IRXQG WR VXSSRUW LW ZLWK DUJXPHQWV RI
KHDYHQO\ DERGH GHYRWLRQ WR KHU KXVEDQG WR EH SUDLVHG E\ KHDYHQO\ GDPVHOV
WKDWDVORQJDVDZRPDQGRHVQRWEXUQKHUVHOILQILUHRQWKHGHDWKRIKHUKXVEDQG
VKH LV QHYHU IUHH IURP EHLQJ ERUQ DV D ZRPDQ +DULWD VD\V WKDW ZRPDQ ZKR
IROORZV KHU KXVEDQG LQ GHDWK SXULILHV WKUHH IDPLOLHV YL] RI KHU PRWKHU RI KHU
IDWKHUDQGRIKHUKXVEDQG7KH0LWDIWHUTXRWLQJWKHDERYHDGGVWKDWWKLVGXW\
RIDQYDURWKDQDLVFRPPRQWRWKHZRPDQRIDOOFDVWHVIURPWKHEUDKPDQVWRWKH
FKDQGDODSURYLGHGWKH\DUHQRWSUHJQDQWRUWKH\KDYHQR\RXQJFKLOGUHQDWWKH
WLPH RI GHDWK RI KHU KXVEDQG 0HGKDWLWL RQ 0DQX  LV WKHUH DPRQJVW ZKR
RSSRVHG WR VXFK D SUDFWLFH DQG WHUPHG LW DV VXLFLGH DQG ZDV IRUELGGHQ IRU
ZRPDQ 9HGDV -DPLQL $QJULV 0LW DQG <DV VDLG WKDW VXFK D SUDFWLFH WR EH
DGKDUPD DQG RSSRVHG WR 9HGLF WH[W 7KRVH ZKR VXSSRUWHG WKHLU LGHD VD\ WKH
SXUSRVHV DQG REMHFWV ZKLFK ZHUH GLIIHUHQW 7KH\ ZHUH FRQFHUQHG DERXW ZHOO
EHLQJRIDZRPDQDIWHUWKHGHDWKRIWKHKXVEDQGZKHUHWKHUHZDVQRQHWRORRN
DIWHUKHU2QO\WRPDNHWKHZRPHQWRDFFHSWLWUHOLJLRXVVDQFWLRQZDVJLYHQE\
VRPHRIWKH6PLULWNDUDV

$SDVWDPED YHUVH SUHVFULEHV WKH 3UDMDSDW\D SHQDQFH IRU D ZRPDQ ZKR KDYLQJ
ILUVW UHVROYHG WR EXUQ KHUVHOI RQ WKH IXQHUDO S\UH WXUQV EDFN IURP LW DW WKH ODVW
PRPHQW 7KH 5DMDWDUDQJLQL 9,   UHIHUVWRDTXHHQ ZKRKDYLQJSUHWHQGHGWR
KDYHUHVROYHGRQEHFRPLQJVDWLXOWLPDWHO\UHJUHWWHGWKHVWHSDQGWXUQHGEDFN

14

)URP WKH DFFRXQWV RI WUDYHOOHUV DQG RWKHUV LW DSSHDUV WKDW ZLGRZ EXUQLQJ
SUHYDLOHG PRUH LQ %HQJDO GXULQJ WKH FHQWXULHV LPPHGLDWHO\ SUHFHGLQJ LWV
DEROLWLRQWKDQDQ\ZKHUHHOVHLQ,QGLD(YHQ LQ%HQJDOWKHQXPEHU RIVDWLVPXVW
QHYHUKDYHEHHQYHU\ODUJH &ROH %URRNHZURWHLQ $'WKDWWKHPDUW\URI
WKLVVXSHUVWLWLRQKDYHQHYHUEHHQQXPHURXV7KHSHRSOHDOVRZHUHQHYHUNHHQRQ
REVHUYLQJWKHSUDFWLFHQRUKDGWKH\DQ\GHHSVHDWHGFRQYLFWLRQDERXWLWVDEVROXWH
UHOLJLRXVQHFHVVLW\%XW LQ VRPHSDUWVRI5DMDVWKDQLWLV VWLOOLQ YRJXH7KHUHDUH
ZKR H[SUHVV DGPLUDWLRQ DQG UHYHUHQFH IRU WKH VR FDOOHG FRXUDJH RI ZRPHQ LQ
EHFRPLQJ VDWL RU SHUIRUPLQJ WKH MDXKDU IRU FKHULVKLQJ WKHLU LGHDOV RI ZRPDQO\
FRQGXFW %XW VXFK DGPLUDWLRQ LV IDOVH ZKLFK LQ UHDOLW\ LV WKH LQVWDQFH RI
VXEMXJDWLRQRIZRPHQE\WKHPHQ

$ZRPDQZKRFRPPLWVVDWLLVWUDGLWLRQDOO\JORULILHGDQGLPPRUWDOLVHG7HPSOHV
DUHFRQVWUXFWHGDVPHPRULDOVDQGWKH6DWL0DWDLVZRUVKLSSHGDVDGHLW\6KHLV
VXSSRVHGWRKDYHWKHSRZHUVRIDJRGGHVV7KH6DWLVWKDORUWKHSODFHZKHUHD
ZRPDQ ZDV VXSSRVHG WR KDYH LPPRUWDOLVHG KHUVHOI DV D VDWL DWWUDFWV D ODUJH
QXPEHURIGHYRWHHVHYHU\\HDU,WLVVDLGWKHUHDUHVWLOODURXQG6DWLWHPSOHV
LQ ,QGLD DQG QHDUO\ KDOI RI WKHP DUH LQ 5DMDVWKDQ ,W LV QRW WUXH WKDW RQO\ IURP
DPRQJVWWKHSRRUUXUDOFODVVZRPHQDUHIRUFHGRUDOOXUHGRUPDGHWRVXUUHQGHU
WR EHFRPH 6DWL 7KH 'HRUDOD LQFLGHQW SURYHV WKDW HYHQ ZRPHQ ZLWK DZDUHQHVV
DQGDOWHUQDWLYHOLIHFKDQFHVFDQEHGULYHQWRWKLVDFW5RRS.DQZDUEHORQJHGWRD
FRPSDUDWLYHO\HGXFDWHGIDPLO\DQGPDQ\RIWKHVXSSRUWHUVKDSSHQHGWREHIURP
OLWHUDWHVHFWLRQ7KHUHDSDUWLWVSROLWLFLVDWLRQDQGFRPPHUFLDOYLEUDQWVDWWDFKHGWR
LW KDV RYHUWDNHQ LWV UHOLJLRXV VLJQLILFDQFH VR SURSDJDWHG ZKLFK LV WKH GDQJHU
VLJQDO WR WKH VRFLDO RUGHU &RPPHUFLDO DQG SROLWLFDO LQWHUHVWV KDYH RYHU
VKDGRZHGZKDWHYHUUHOLJLRXVEHOLHILIDWDOOZDVWKHUH,WZLOOQRWEHWRRPXFKWR
VD\WKDWVXFKDUHWKHSHUVRQDQGLQWHUHVWVLQWHQWLRQDOO\JLYLQJLWDGHHSFRORXURI
UHOLJLRQ7KHODZSURKLELWLQJ6DWLZDVSURPXOJDWHG\HDUVDJREXWWKHUHFHQW
'HRUDODLQFLGHQWJLYLQJQDWLRQZLGHSXEOLFLW\WRLWKDYHSXWHYHQWKHODZPDNHUV
DQGSURWHFWRUVRIODZWRVXVSHFW,WLVDQDVVDXOWRQWKHGLJQLW\RIZRPHQ

15

Você também pode gostar