HomeMy WebLinkAbout4.4 Agreement with Lynx Technology, Inc. for GIS Consulting Services (2)STAFF REPORT
CITY COUNCIL
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Agenda Item 4.4
DATE:June 1, 2021
TO:Honorable Mayor and City Councilmembers
FROM:Linda Smith, City Manager
SUBJECT:Agreement with Lynx Technology, Inc. for GIS Consulting Services
Prepared by: Tim Eisler, Information Services Manager
EXECUTIVE SUMMARY:
The City Council will consider approving an agreement with Lynx Technology, Inc. for Geographic
Information Systems consulting services.
STAFF RECOMMENDATION:
Adopt the Resolution Approving an Agreement with Lynx Technology, Inc. for GIS Consulting
Services.
FINANCIAL IMPACT:
The proposed not-to-exceed amount for consulting services over the proposed three-year term is
$232,000. This amount will be incorporated into future budget processes within the Information
Services Division operating budget.
DESCRIPTION:
The Information Systems Division utilizes contractors for maintenance services and on-call, as-
needed services. Contractors are solicited through an open and competitive request for
qualifications (RFQ) process. The RFQ process is used to identify contractors with the necessary
background and experience to provide services and to ensure that the cost for services is
competitive.
On January 19, 2021, the City issued an RFQ for Geographic Information Systems (GIS) consulting
services to assist Staff primarily with base map layer maintenance, GIS helpdesk services, and GIS
project management. The RFQ was sent to contractors previously under contract with the City and
to those that expressed interest in receiving RFQ. The RFQ was also posted on the City's website.
In response to the RFQ, Staff received three proposals from the firms listed below.
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SUBMITTED GIS PROPOSALS
Lynx Technology, Inc.
Silicon Valley Consulting Group
Interwest Consulting Group, Inc.
After evaluating the proposals for the performance of similar work, ability of the firm to perform
work as described, and overall cost, Staff found Lynx Technology, Inc. to be the most qualified to
meet the City’s GIS needs.
STRATEGIC PLAN INITIATIVE:
None.
NOTICING REQUIREMENTS/PUBLIC OUTREACH:
The City Council Agenda was posted.
ATTACHMENTS:
1) Resolution Approving an Agreement with Lynx Technologies, Inc. for GIS Consulting Services
2) Exhibit A to the Resolution – Agreement Between the City of Dublin and Lynx Technologies,
Inc.
3) Request for Qualifications for GIS Consulting Services
4) Proposal from Lynx Technologies, Inc.
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Attachment 1
RESOLUTION NO. xx - 21
A RESOLUTION OF THE CITY COUNCIL
OF THE CITY OF DUBLIN
APPROVING AN AGREEMENT WITH LYNX TECHNOLOGIES, INC. FOR GIS CONSULTING
SERVICES
WHEREAS,the City desires to engage the services of a Geographic Information Systems
consultant with specialized expertise in the field of GIS data development and maintenance; and
WHEREAS, the City issued a Request For Qualifications for GIS Consulting Services and
received three proposals from qualified firms; and
WHEREAS, Staff evaluated the proposals and determined that Lynx Technology, Inc. most
closely met the City’s requirements, and has background and experience in GIS data
development and maintenance; and
WHEREAS,Staff desires to enter into an agreement with Lynx Technologies, Inc. for a
term through June 30, 2024 with a total not-to-exceed amount of $232,000.
NOW, THEREFORE, BE IT RESOLVED that the City Council of the City of Dublin does
hereby approve the Agreement with Lynx Technologies, Inc., attached hereto as Exhibit A.
BE IT FURTHER RESOLVED that the City Manager is authorized to execute the
Agreement and make any necessary, non-substantive changes to carry out the intent of this
Resolution.
PASSED, APPROVED AND ADOPTED this 1st day of June, 2021, by the following vote:
AYES:
NOES:
ABSENT:
ABSTAIN:
______________________________________
Mayor
ATTEST:
_______________________________________
City Clerk
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CONSULTING SERVICES AGREEMENT BETWEEN
THE CITY OF DUBLIN AND
LYNX TECHNOLOGIES, INC.
FOR
GIS CONSULTING SERVICES
THIS AGREEMENT for GIS consulting services is made by and between the City of Dublin (“City”)
and Lynx Technologies, Inc. (“Consultant”) (together sometimes referred to as the “Parties”) as of July 1,
2021 (the “Effective Date”).
Section 1. SERVICES. Subject to the terms and conditions set forth in this Agreement, Consultant
shall provide to City the services described in the Scope of Work attached as Exhibit A at the time and
place and in the manner specified therein. In the event of a conflict in or inconsistency between the terms
of this Agreement and Exhibit A, the Agreement shall prevail.
1.1 Term of Services. The term of this Agreement shall begin on the Effective Date and shall
end on June 30, 2024 the date of completion specified in Exhibit A, and Consultant shall
complete the work described in Exhibit A on or before that date, unless the term of the
Agreement is otherwise terminated or extended, as provided for in Section 8. The time
provided to Consultant to complete the services required by this Agreement shall not affect
the City’s right to terminate the Agreement, as referenced in Section 8. Notwithstanding
the foregoing this Agreement may be extended on a month to month basis for up to 6
months upon the written consent of the Consultant and the City Manager, provided that: a)
sufficient funds have been appropriated for such purchase, b) the price charged by the
Consultant for the provision of the serves described in Exhibit A does not increase. None
of the foregoing shall affect the City’s right to terminate the Agreement as provided for in
Section 8.
1.2 Standard of Performance. Consultant shall perform all services required pursuant to this
Agreement in the manner and according to the standards observed by a competent
practitioner of the profession in which Consultant is engaged.
1.3 Assignment of Personnel. Consultant shall assign only competent personnel to perform
services pursuant to this Agreement. In the event that City, in its sole discretion, at any
time during the term of this Agreement, desires the reassignment of any such persons,
Consultant shall, immediately upon receiving notice from City of such desire of City,
reassign such person or persons.
1.4 Time. Consultant shall devote such time to the performance of services pursuant to this
Agreement as may be reasonably necessary to meet the standard of performance
provided in Subsection 1.2 above and to satisfy Consultant’s obligations hereunder.
1.5 [Intentionally Deleted]
1.6 [Intentionally Deleted]
Attachment 2
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Section 2. COMPENSATION. City hereby agrees to pay Contractor a sum not to exceed for the
proposed three-year termௗallows forௗa total not-to-exceed amount of $232,000, notwithstanding any
contrary indications that may be contained in Contractor’s proposal, for services to be performed and
reimbursable costs incurred under this Agreement. In the event of a conflict between this Agreement and
Contractor’s proposal, attached as Exhibit A, regarding the amount of compensation, the Agreement shall
prevail. City shall pay Contractor for services rendered pursuant to this Agreement at the time and in the
manner set forth herein. The payments specified below shall be the only payments from City
to Contractor for services rendered pursuant to this Agreement. Contractor shall submit all invoices to City
in the manner specified herein. Except as specifically authorized by City in writing, Contractor shall not bill
City for duplicate services performed by more than one person.
Contractor and City acknowledge and agree that compensation paid by City to Contractor under this
Agreement is based upon Contractor’s estimated costs of providing the services required hereunder,
including salaries and benefits of employees and subcontractors of Contractor. Consequently, the Parties
further agree that compensation hereunder is intended to include the costs of contributions to any pensions
and/or annuities to which Contractor and its employees, agents, and subcontractors may be eligible. City
therefore has no responsibility for such contributions beyond compensation required under this Agreement
2.1 Invoices. Consultant shall submit invoices, not more often than once a month during the
term of this Agreement, based on the cost for services performed and reimbursable costs
incurred prior to the invoice date. No individual performing work under this Agreement shall
bill more than 2,000 hours in a fiscal year unless approved, in writing, by the City Manager
or his/her designee. Invoices shall contain the following information:
Serial identifications of progress bills; i.e., Progress Bill No. 1 for the first invoice, etc.;
The beginning and ending dates of the billing period;
A Task Summary containing the original contract amount, the amount of prior billings,
the total due this period, the balance available under the Agreement, and the
percentage of completion;
A copy of the applicable time entries or time sheets shall be submitted showing the
following:
o Daily logs of total hours worked by each individual performing work under
this Agreement
o Hours must be logged in increments of tenths of an hour or quarter hour
o If this Agreement covers multiple projects, all hours must also be logged
by project assignment
o A brief description of the work, and each reimbursable expense
The total number of hours of work performed under the Agreement by Consultant and
each employee, agent, and subcontractor of Consultant performing services
hereunder;
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The Consultant’s signature;
Consultant shall give separate notice to the City when the total number of hours
worked by Consultant and any individual employee, agent, or subcontractor of
Consultant reaches or exceeds 800 hours within a 12-month period under this
Agreement and any other agreement between Consultant and City. Such notice shall
include an estimate of the time necessary to complete work described in Exhibit A and
the estimate of time necessary to complete work under any other agreement between
Consultant and City, if applicable.
2.2 Monthly Payment. City shall make monthly payments, based on invoices received, for
services satisfactorily performed, and for authorized reimbursable costs incurred. City
shall have 30 days from the receipt of an invoice that complies with all of the requirements
above to pay Consultant.
2.3 [Intentionally Deleted]
2.4 Total Payment. City shall pay for the services to be rendered by Consultant pursuant to
this Agreement. City shall not pay any additional sum for any expense or cost whatsoever
incurred by Consultant in rendering services pursuant to this Agreement. City shall make
no payment for any extra, further, or additional service pursuant to this Agreement.
In no event shall Consultant submit any invoice for an amount in excess of the maximum
amount of compensation provided above either for a task or for the entire Agreement,
unless the Agreement is modified prior to the submission of such an invoice by a properly
executed change order or amendment.
2.5 Hourly Fees. Fees for work performed by Consultant on an hourly basis shall not exceed
the amounts shown on the compensation schedule attached hereto as Exhibit B.
2.6 [Intentionally Deleted]
2.7 Payment of Taxes. Consultant is solely responsible for the payment of employment taxes
incurred under this Agreement and any similar federal or state taxes.
2.8 Payment upon Termination. In the event that the City or Consultant terminates this
Agreement pursuant to Section 8, the City shall compensate the Consultant for all
outstanding costs and reimbursable expenses incurred for work satisfactorily completed as
of the date of written notice of termination. Consultant shall maintain adequate logs and
timesheets to verify costs incurred to that date.
2.9 Authorization to Perform Services. The Consultant is not authorized to perform any
services or incur any costs whatsoever under the terms of this Agreement until receipt of
authorization from the Contract Administrator.
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Section 3. FACILITIES AND EQUIPMENT. Except as set forth herein, Consultant shall, at its sole
cost and expense, provide all facilities and equipment that may be necessary to perform the services
required by this Agreement. City shall make available to Consultant only the facilities and equipment listed
in this section, and only under the terms and conditions set forth herein.
City shall furnish physical facilities such as desks, filing cabinets, and conference space, as may be
reasonably necessary for Consultant’s use while consulting with City employees and reviewing records and
the information in possession of the City. The location, quantity, and time of furnishing those facilities shall
be in the sole discretion of City. In no event shall City be obligated to furnish any facility that may involve
incurring any direct expense, including but not limited to computer, long-distance telephone or other
communication charges, vehicles, and reproduction facilities.
Section 4. INSURANCE REQUIREMENTS. Before fully executing this Agreement, Consultant, at its
own cost and expense, unless otherwise specified below, shall procure the types and amounts of insurance
listed below against claims for injuries to persons or damages to property that may arise from or in
connection with the performance of the work hereunder by the Consultant and its agents, representatives,
employees, and subcontractors. Consistent with the following provisions, Consultant shall provide proof
satisfactory to City of such insurance that meets the requirements of this section and under forms of
insurance satisfactory in all respects, and that such insurance is in effect prior to beginning work.
Consultant shall maintain the insurance policies required by this section throughout the term of this
Agreement. The cost of such insurance shall be included in the Consultant's bid or proposal. Consultant
shall not allow any subcontractor to commence work on any subcontract until Consultant has obtained all
insurance required herein for the subcontractor(s) and provided evidence to City that such insurance is in
effect. VERIFICATION OF THE REQUIRED INSURANCE SHALL BE SUBMITTED AND MADE PART OF
THIS AGREEMENT PRIOR TO EXECUTION. Consultant shall maintain all required insurance listed
herein for the duration of this Agreement.
4.1 Workers’ Compensation.
4.1.1 General Requirements. Consultant shall, at its sole cost and expense, maintain
Statutory Workers’ Compensation Insurance and Employer’s Liability Insurance for
any and all persons employed directly or indirectly by Consultant. The Statutory
Workers’ Compensation Insurance and Employer’s Liability Insurance shall be
provided with limits of not less than $1,000,000 per accident. In the alternative,
Consultant may rely on a self-insurance program to meet these requirements, but
only if the program of self-insurance complies fully with the provisions of the
California Labor Code. Determination of whether a self-insurance program meets
the standards of the California Labor Code shall be solely in the discretion of the
Contract Administrator.
The Workers’ Compensation policy shall be endorsed with a waiver of subrogation
in favor of the entity for all work performed by the Consultant, its employees,
agents, and subcontractors.
4.1.2 Submittal Requirements. To comply with Subsection 4.1, Consultant shall
submit the following:
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a.Certificate of Liability Insurance in the amounts specified in the section;
and
b. Waiver of Subrogation Endorsement as required by the section.
4.2 Commercial General and Automobile Liability Insurance.
4.2.1 General Requirements. Consultant, at its own cost and expense, shall maintain
commercial general liability insurance for the term of this Agreement in an amount
not less than $1,000,000 and automobile liability insurance for the term of this
Agreement in an amount not less than $1,000,000 per occurrence, combined
single limit coverage for risks associated with the work contemplated by this
Agreement. If a Commercial General Liability Insurance or an Automobile Liability
form or other form with a general aggregate limit is used, either the general
aggregate limit shall apply separately to the work to be performed under this
Agreement or the general aggregate limit shall be at least twice the required
occurrence limit. Such coverage shall include but shall not be limited to, protection
against claims arising from bodily and personal injury, including death resulting
therefrom, and damage to property resulting from activities contemplated under
this Agreement, including the use of owned and non-owned automobiles.
4.2.2 Minimum Scope of Coverage. Commercial general coverage shall be at least as
broad as Insurance Services Office Commercial General Liability occurrence form
CG 0001 (most recent edition) covering comprehensive General Liability on an
“occurrence” basis. Automobile coverage shall be at least as broad as Insurance
Services Office Automobile Liability form CA 0001, Code 1 (any auto). No
endorsement shall be attached limiting the coverage.
4.2.3 Additional Requirements. Each of the following shall be included in the
insurance coverage or added as a certified endorsement to the policy:
a. The Insurance shall cover on an occurrence or an accident basis, and not
on a claims-made basis.
b. City, its officers, officials, employees, and volunteers are to be covered as
additional insureds as respects: liability arising out of work or operations
performed by or on behalf of the Consultant; or automobiles owned,
leased, hired, or borrowed by the Consultant.
c. Consultant hereby agrees to waive subrogation which any insurer or
contractor may require from vendor by virtue of the payment of any loss.
Consultant agrees to obtain any endorsements that may be necessary to
effect this waiver of subrogation.
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d. For any claims related to this Agreement or the work hereunder, the
Consultant’s insurance coverage shall be primary insurance as respects
the City, its officers, officials, employees, and volunteers. Any insurance
or self-insurance maintained by the City, its officers, officials, employees,
or volunteers shall be excess of the Consultant’s insurance and shall not
contribute with it.
4.2.4 Submittal Requirements. To comply with Subsection 4.2, Consultant shall
submit the following:
a.Certificate of Liability Insurance in the amounts specified in the section;
b.Additional Insured Endorsement as required by the section;
c.Waiver of Subrogation Endorsement as required by the section; and
d.Primary Insurance Endorsement as required by the section.
4.3 Professional Liability Insurance.
4.3.1 General Requirements. Consultant, at its own cost and expense, shall maintain
for the period covered by this Agreement professional liability insurance for
licensed professionals performing work pursuant to this Agreement in an amount
not less than $2,000,000 covering the licensed professionals’ errors and
omissions. Any deductible or self-insured retention shall not exceed $150,000 per
claim.
4.3.2 Claims-Made Limitations. The following provisions shall apply if the professional
liability coverage is written on a claims-made form:
a. The retroactive date of the policy must be shown and must be before the
date of the Agreement.
b. Insurance must be maintained and evidence of insurance must be
provided for at least 5 years after completion of the Agreement or the
work, so long as commercially available at reasonable rates.
c. If coverage is canceled or not renewed and it is not replaced with another
claims-made policy form with a retroactive date that precedes the date of
this Agreement, Consultant shall purchase an extended period coverage
for a minimum of 5 years after completion of work under this Agreement.
d. A copy of the claim reporting requirements must be submitted to the City
for review prior to the commencement of any work under this Agreement.
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4.3.3 Additional Requirements. A certified endorsement to include contractual liability
shall be included in the policy.
4.3.4 Submittal Requirements. To comply with Subsection 4.3, Consultant shall
submit the Certificate of Liability Insurance in the amounts specified in the section.
4.4 All Policies Requirements.
4.4.1 Acceptability of Insurers. All insurance required by this section is to be placed
with insurers with a Bests' rating of no less than A:VII.
4.4.2 Verification of Coverage. Prior to beginning any work under this Agreement,
Consultant shall furnish City with complete copies of all Certificates of Liability
Insurance delivered to Consultant by the insurer, including complete copies of all
endorsements attached to the policies. All copies of Certificates of Liability
Insurance and certified endorsements shall show the signature of a person
authorized by that insurer to bind coverage on its behalf. If the City does not
receive the required insurance documents prior to the Consultant beginning work,
it shall not waive the Consultant’s obligation to provide them. The City reserves
the right to require complete copies of all required insurance policies at any time.
4.4.3 Deductibles and Self-Insured Retentions. Consultant shall disclose to and
obtain the written approval of City for the self-insured retentions and deductibles
before beginning any of the services or work called for by any term of this
Agreement. At the option of the City, either: the insurer shall reduce or eliminate
such deductibles or self-insured retentions as respects the City, its officers,
employees, and volunteers; or the Consultant shall provide a financial guarantee
satisfactory to the City guaranteeing payment of losses and related investigations,
claim administration and defense expenses.
4.4.4 Wasting Policies. No policy required by this Section 4 shall include a “wasting”
policy limit (i.e. limit that is eroded by the cost of defense).
4.4.5 Endorsement Requirements. Each insurance policy required by Section 4 shall
be endorsed to state that coverage shall not be canceled by either party, except
after 30 days’ prior written notice has been provided to the City.
4.4.6 Subcontractors. Consultant shall include all subcontractors as insureds under its
policies or shall furnish separate certificates and certified endorsements for each
subcontractor. All coverages for subcontractors shall be subject to all of the
requirements stated herein.
4.5 Remedies. In addition to any other remedies City may have if Consultant fails to provide
or maintain any insurance policies or policy endorsements to the extent and within the time
herein required, City may, at its sole option exercise any of the following remedies, which
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are alternatives to other remedies City may have and are not the exclusive remedy for
Consultant’s breach:
Obtain such insurance and deduct and retain the amount of the premiums for such
insurance from any sums due under the Agreement;
Order Consultant to stop work under this Agreement or withhold any payment that
becomes due to Consultant hereunder, or both stop work and withhold any payment,
until Consultant demonstrates compliance with the requirements hereof; and/or
Terminate this Agreement.
Section 5. INDEMNIFICATION AND CONSULTANT’S RESPONSIBILITIES. Refer to the attached
Exhibit C, which is incorporated herein and made a part of this Agreement.
Section 6. STATUS OF CONSULTANT.
6.1 Independent Contractor. At all times during the term of this Agreement, Consultant shall
be an independent contractor and shall not be an employee of City. This Agreement shall
not be construed as an agreement for employment. City shall have the right to control
Consultant only insofar as the results of Consultant's services rendered pursuant to this
Agreement and assignment of personnel pursuant to Subsection 1.3; however, otherwise
City shall not have the right to control the means by which Consultant accomplishes
services rendered pursuant to this Agreement. Consultant further acknowledges that
Consultant performs Services outside the usual course of the City’s business; and is
customarily engaged in an independently established trade, occupation, or business of the
same nature as the Consultant performs for the City and has the option to perform such
work for other entities. Notwithstanding any other City, state, or federal policy, rule,
regulation, law, or ordinance to the contrary, Consultant and any of its employees, agents,
and subcontractors providing services under this Agreement shall not qualify for or
become entitled to, and hereby agree to waive any and all claims to, any compensation,
benefit, or any incident of employment by City, including but not limited to eligibility to
enroll in the California Public Employees Retirement System (PERS) as an employee of
City and entitlement to any contribution to be paid by City for employer contributions and/or
employee contributions for PERS benefits.
6.2 Consultant Not an Agent. Except as City may specify in writing, Consultant shall have no
authority, express or implied, to act on behalf of City in any capacity whatsoever as an
agent. Consultant shall have no authority, express or implied, pursuant to this Agreement
to bind City to any obligation whatsoever.
Section 7. LEGAL REQUIREMENTS.
7.1 Governing Law. The laws of the State of California shall govern this Agreement.
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7.2 Compliance with Applicable Laws. Consultant and any subcontractors shall comply with
all laws and regulations applicable to the performance of the work hereunder, including but
not limited to, the California Building Code, the Americans with Disabilities Act, and any
copyright, patent or trademark law. Consultant’s failure to comply with any law(s) or
regulation(s) applicable to the performance of the work hereunder shall constitute a breach
of contract.
7.3 Other Governmental Regulations. To the extent that this Agreement may be funded by
fiscal assistance from another governmental entity, Consultant and any subcontractors
shall comply with all applicable rules and regulations to which City is bound by the terms of
such fiscal assistance program.
7.4 Licenses and Permits. Consultant represents and warrants to City that Consultant and
its employees, agents, and any subcontractors have all licenses, permits, qualifications,
and approvals of whatsoever nature that are legally required to practice their respective
professions. Consultant represents and warrants to City that Consultant and its
employees, agents, any subcontractors shall, at their sole cost and expense, keep in effect
at all times during the term of this Agreement any licenses, permits, and approvals that are
legally required to practice their respective professions. In addition to the foregoing,
Consultant and any subcontractors shall obtain and maintain during the term of this
Agreement valid Business Licenses from City.
7.5 Nondiscrimination and Equal Opportunity. Consultant shall not discriminate, on the
basis of a person’s race, sex, gender, religion (including religious dress and grooming
practices), national origin, ancestry, physical or mental disability, medical condition
(including cancer and genetic characteristics), marital status, age, sexual orientation, color,
creed, pregnancy, genetic information, gender identity or expression, political affiliation or
belief, military/veteran status, or any other classification protected by applicable local,
state, or federal laws (each a “Protected Characteristic”), against any employee, applicant
for employment, subcontractor, bidder for a subcontract, or participant in, recipient of, or
applicant for any services or programs provided by Consultant under this Agreement.
Consultant shall include the provisions of this Subsection in any subcontract approved by
the Contract Administrator or this Agreement.
Section 8. TERMINATION AND MODIFICATION.
8.1 Termination. City may cancel this Agreement at any time and without cause upon written
notification to Consultant.
Consultant may cancel this Agreement upon 30 days’ written notice to City and shall
include in such notice the reasons for cancellation.
In the event of termination, Consultant shall be entitled to compensation for services
performed to the effective date of termination; City, however, may condition payment of
such compensation upon Consultant delivering to City any or all documents, photographs,
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computer software, video and audio tapes, and other materials provided to Consultant or
prepared by or for Consultant or the City in connection with this Agreement.
8.2 Extension. City may, in its sole and exclusive discretion, extend the end date of this
Agreement beyond that provided for in Subsection 1.1. Any such extension shall require a
written amendment to this Agreement, as provided for herein. Consultant understands and
agrees that, if City grants such an extension, City shall have no obligation to provide
Consultant with compensation beyond the maximum amount provided for in this
Agreement. Similarly, unless authorized by the Contract Administrator, City shall have no
obligation to reimburse Consultant for any otherwise reimbursable expenses incurred
during the extension period.
8.3 Amendments. The Parties may amend this Agreement only by a writing signed by all the
Parties.
8.4 Assignment and Subcontracting. City and Consultant recognize and agree that this
Agreement contemplates personal performance by Consultant and is based upon a
determination of Consultant’s unique personal competence, experience, and specialized
personal knowledge. Moreover, a substantial inducement to City for entering into this
Agreement was and is the professional reputation and competence of Consultant.
Consultant may not assign this Agreement or any interest therein without the prior written
approval of the Contract Administrator. Consultant shall not subcontract any portion of the
performance contemplated and provided for herein, other than to the subcontractors noted
in the proposal, without prior written approval of the Contract Administrator.
8.5 Survival. All obligations arising prior to the termination of this Agreement and all
provisions of this Agreement allocating liability between City and Consultant shall survive
the termination of this Agreement.
8.6 Options upon Breach by Consultant. If Consultant materially breaches any of the terms
of this Agreement, City’s remedies shall include, but are not limited to, the following:
8.6.1 Immediately terminate the Agreement;
8.6.2 Retain the plans, specifications, drawings, reports, design documents, and any
other work product prepared by Consultant pursuant to this Agreement;
8.6.3 Retain a different consultant to complete the work described in Exhibit A not
finished by Consultant; or
8.6.4 Charge Consultant the difference between the cost to complete the work
described in Exhibit A that is unfinished at the time of breach and the amount that
City would have paid Consultant pursuant to Section 2 if Consultant had
completed the work.
Section 9. KEEPING AND STATUS OF RECORDS.
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9.1 Records Created as Part of Consultant’s Performance. All reports, data, maps,
models, charts, studies, surveys, photographs, memoranda, plans, studies, specifications,
records, files, or any other documents or materials, in electronic or any other form, that
Consultant prepares or obtains pursuant to this Agreement and that relate to the matters
covered hereunder shall be the property of the City. Consultant hereby agrees to deliver
those documents to the City upon termination of the Agreement. It is understood and
agreed that the documents and other materials, including but not limited to those described
above, prepared pursuant to this Agreement are prepared specifically for the City and are
not necessarily suitable for any future or other use. City and Consultant agree that, until
final approval by City, all data, plans, specifications, reports and other documents are
confidential and will not be released to third parties without prior written consent of both
Parties.
9.2 Consultant’s Books and Records. Consultant shall maintain any and all ledgers, books
of account, invoices, vouchers, canceled checks, and other records or documents
evidencing or relating to charges for services or expenditures and disbursements charged
to the City under this Agreement for a minimum of 3 years, or for any longer period
required by law, from the date of final payment to the Consultant to this Agreement.
9.3 Inspection and Audit of Records. Any records or documents that Subsection 9.2 of this
Agreement requires Consultant to maintain shall be made available for inspection, audit,
and/or copying at any time during regular business hours, upon oral or written request of
the City. Under California Government Code Section 8546.7, if the amount of public funds
expended under this Agreement exceeds $10,000.00, the Agreement shall be subject to
the examination and audit of the State Auditor, at the request of City or as part of any audit
of the City, for a period of 3 years after final payment under the Agreement.
Section 10. MISCELLANEOUS PROVISIONS.
10.1 Attorneys’ Fees. If a party to this Agreement brings any action, including an action for
declaratory relief, to enforce or interpret the provision of this Agreement, the prevailing
party shall be entitled to reasonable attorneys’ fees in addition to any other relief to which
that party may be entitled. The court may set such fees in the same action or in a
separate action brought for that purpose.
10.2 Venue. In the event that either party brings any action against the other under this
Agreement, the Parties agree that trial of such action shall be vested exclusively in the
state courts of California in the County of Alameda or in the United States District Court for
the Northern District of California.
10.3 Severability. If a court of competent jurisdiction finds or rules that any provision of this
Agreement is invalid, void, or unenforceable, the provisions of this Agreement not so
adjudged shall remain in full force and effect. The invalidity in whole or in part of any
provision of this Agreement shall not void or affect the validity of any other provision of this
Agreement.
50
Consulting Services Agreement between City of Dublin and July 1, 2021
Lynx Technologies, Inc. for GIS Consulting Services Page 12 of 14
10.4 No Implied Waiver of Breach. The waiver of any breach of a specific provision of this
Agreement does not constitute a waiver of any other breach of that term or any other term
of this Agreement.
10.5 Successors and Assigns. The provisions of this Agreement shall inure to the benefit of
and shall apply to and bind the successors and assigns of the Parties.
10.6 Use of Recycled Products. Consultant shall prepare and submit all reports, written
studies and other printed material on recycled paper to the extent it is available at equal or
less cost than virgin paper.
10.7 Conflict of Interest. Consultant may serve other clients, but none whose activities within
the corporate limits of City or whose business, regardless of location, would place
Consultant in a “conflict of interest,” as that term is defined in the Political Reform Act,
codified at California Government Code Section 81000 et seq.
Consultant shall not employ any City official in the work performed pursuant to this
Agreement. No officer or employee of City shall have any financial interest in this
Agreement that would violate California Government Code Section 1090 et seq.
Consultant hereby warrants that it is not now, nor has it been in the previous 12 months,
an employee, agent, appointee, or official of the City. If Consultant was an employee,
agent, appointee, or official of the City in the previous 12 months, Consultant warrants that
it did not participate in any manner in the forming of this Agreement. Consultant
understands that, if this Agreement is made in violation of California Government Code
Section 1090 et seq., the entire Agreement is void and Consultant will not be entitled to
any compensation for services performed pursuant to this Agreement, including
reimbursement of expenses, and Consultant will be required to reimburse the City for any
sums paid to the Consultant. Consultant understands that, in addition to the foregoing, it
may be subject to criminal prosecution for a violation of California Government Code
Section 1090 et seq., and, if applicable, will be disqualified from holding public office in the
State of California.
At City’s sole discretion, Consultant may be required to file with the City a Form 700 to
identify and document Consultant’s economic interests, as defined and regulated by the
California Fair Political Practices Commission. If Consultant is required to file a Form 700,
Consultant is hereby advised to contact the Dublin City Clerk for the Form 700 and
directions on how to prepare it.
10.8 Solicitation. Consultant agrees not to solicit business at any meeting, focus group, or
interview related to this Agreement, either orally or through any written materials.
10.9 Contract Administration. This Agreement shall be administered by the City Manager
("Contract Administrator"). All correspondence shall be directed to or through the Contract
Administrator or his or her designee.
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Consulting Services Agreement between City of Dublin and July 1, 2021
Lynx Technologies, Inc. for GIS Consulting Services Page 13 of 14
10.10 Notices. Any written notice to Consultant shall be sent to:
Patrick Kelleher
1350 41st Ave, Suite 202
Capitola, CA 95010
Patrickk@lynxgis.com
Any written notice to City shall be sent to:
City of Dublin
Att: Tim Eisler
100 Civic Plaza
Dublin, CA 94568
10.11 Integration. This Agreement, including the scope of work attached hereto and
incorporated herein as Exhibits A, and B represents the entire and integrated agreement
between City and Consultant and supersedes all prior negotiations, representations, or
agreements, either written or oral.
Exhibit A Scope of Services
Exhibit B Compensation Schedule & Reimbursable Expenses
10.12 Counterparts. This Agreement may be executed in multiple counterparts, each of which
shall be an original and all of which together shall constitute one agreement.
10.13 Certification per Iran Contracting Act of 2010. In the event that this contract is for
one million dollars ($1,000,000.00) or more, by Consultant’s signature below Consultant
certifies that Consultant, and any parent entities, subsidiaries, successors or subunits of
Consultant are not identified on a list created pursuant to subdivision (b) of Section 2203 of
the California Public Contract Code as a person engaging in investment activities in Iran as
described in subdivision (a) of Section 2202.5, or as a person described in subdivision (b)
of Section 2202.5 of the California Public Contract Code, as applicable.
SIGNATURES ON FOLLOWING PAGE
52
Consulting Services Agreement between City of Dublin and July 1, 2021
Lynx Technologies, Inc. for GIS Consulting Services Page 14 of 14
The Parties have executed this Agreement as of the Effective Date. The persons whose signatures appear
below certify that they are authorized to sign on behalf of the respective Party.
CITY OF DUBLIN LYNX TECHNOLOGIES, INC.
Linda Smith, City Manager Patrick Kelleher, CEO
Attest:
Marsha Moore, City Clerk
Approved as to Form:
City Attorney
3070368.1
53
Consulting Services Agreement between City of Dublin and
Lynx Technologies, Inc. for GIS Consulting Services
Last revised May 25, 2021
Exhibit A – Page 1 of 1
EXHIBIT A
SCOPE OF SERVICES
[Please see attached proposal]
54
Consulting Services Agreement between City of Dublin and
Lynx Technologies, Inc. for GIS Consulting Services
Last revised May 25, 2021
Exhibit B – Page 1 of 1
EXHIBIT B
COMPENSATION SCHEDULE & REIMBURSABLE EXPENSES
[Please see attached proposal]
55
Consulting Services Agreement between City of Dublin and
Lynx Technologies, Inc. for GIS Consulting Services
Last revised May 25, 2021
Exhibit C – Page 1 of 1
EXHIBIT C
INDEMNIFICATION
Consultant shall indemnify, defend with counsel acceptable to City, and hold harmless City and its officers,
elected officials, employees, agents and volunteers from and against any and all liability, loss, damage,
claims, expenses, and costs (including without limitation, attorney’s fees and costs and fees of litigation)
(collectively, “Liability”) of every nature arising out of or in connection with Consultant’s performance of the
services called for or its failure to comply with any of its obligations contained in this Agreement, except
such Liability caused by the sole negligence or willful misconduct of City.
Notwithstanding the forgoing, to the extent this Agreement is a “construction contract” as defined by
California Civil Code Section 2782, as may be amended from time to time, such duties of Consultant to
indemnify shall not apply when to do so would be prohibited by California Civil Code Section 2782.
The Consultant’s obligation to defend and indemnify shall not be excused because of the Consultant’s
inability to evaluate Liability or because the Consultant evaluates Liability and determines that the
Consultant is not liable to the claimant. The Consultant must respond within 30 days to the tender of any
claim for defense and indemnity by the City. If the Consultant fails to accept or reject a tender of defense
and indemnity within 30 days, in addition to any other remedy authorized by law, so much of the money due
the Consultant under and by virtue of this Agreement as shall reasonably be considered necessary by the
City, may be retained by the City until disposition has been made of the claim or suit for damages, or until
the Consultant accepts or rejects the tender of defense, whichever occurs first.
56
Consulting Services Agreement Page 1 of 2
EXHIBIT A
SCOPE OF SERVICES
GIS Professional Services July 2021 through June 2024
Services will be performed as directed by the Information Systems Manager at the City of Dublin.
This agreement will provide ongoing support and further development of the City’s Geographical Information
System (GIS). Two Lynx staff will be dedicated to the City’s GIS for up to 1,000 hours annually. Staff will conduct
work both on and off site as required. Services are provided on a time and materials basis.
The tasks will vary but may involve any of the roles listed or related below:
• ArcGIS Enterprise / Geocortex Essentials design, implementation and maintenance,
• Database management, and administration, including design and documentation
• Web development within the ArcGIS Enterprise/Geocortex Essentials framework.
• Web development within the ArcGIS Online framework , this includes site management, user
management and App development using Web App Builder, Field Apps, and Survey123
• Base feature layer maintenance including parcels, streets, addresses, roadway, tract, and boundary
changes, including associated tables and annotation. These feature layers are maintained on a 30-day
cycle and coordinated with adjacent cities and the county.
• Data maintenance of other layers within the GIS such as utility networks, planning and engineering
overlays. These feature layers are updated as-needed,
• Trak-IT Management, IT’s Helpdesk will be monitored on a daily basis, Lynx will respond to the City’s
request within 24 hours of new GIS-related tickets. Work will be assigned and processed accordingly,
tickets will be completed (hours, results, status) and closed,
• Onsite work to collect and capture data. For example, staff could be assigned to go through
engineering data to infill missing data, or there may be a special project that city staff requires a GIS
technician in which significant interaction is required. Scanning to Laserfiche is another option onsite
task that may be required as-needed.
• Field work as required, this may include field inspection such as sidewalk surveys or current land use, or
high precision GPS capture of city assets.
• Ad hoc GIS analysis and presentations,
Project assignments will proceed with an estimate of required hours; a detailed scope of work will be provided
for unusual or one-time projects. A simple email exchange of hours and approval is all that will be required for
maintenance work.
57
Consulting Services Agreement Page 1 of 2
EXHIBIT B
COMPENSATION SCHEDULE
The total budget will not exceed $232,000.
All work will be billed on a time and materials basis according to the following rate schedule over the
next three years:
Year Rate Total
Hours
Not to Exceed
Amount
2021/2022 $75 1000 $75,000
2022/2023 $77 1000 $77,000
2023/2024 $80 1000 $80,000
58
Attachment 3
REQUEST FOR QUALIFICATIONS
GIS MAINTENANCE & GENERAL GIS CONSULTING SERVICES
City of Dublin
Qualifications must be received by: _____2/1/21___________
Tim Eisler, Information Systems Manager
100 Civic Plaza
City of Dublin, CA 94568
Qualifications will be evaluated on the following: a) responsiveness to the Request for Qualifications
questions, b) experience of the firm, c) experience and qualifications of the assigned individuals and d)
Satisfaction of previous clients.
59
Attachment 3
Request for Qualifications
For
GIS Maintenance & General GIS Consulting Services
Overview
This RFP is being circulated to identify qualified providers of general GIS consulting services and other
digital conversion services. It is intended to provide you with the general information needed to submit
qualifications.
Project Description:
The City of Dublin is seeking technical support and consulting services for the following Geographic
Information System (GIS) tasks.
1. Digital conversion services for the maintenance of the City's GIS data. Data includes but is not limited
to City limit boundary, parcels, subdivision layers, street centerlines, addresses points, utility assets and
infrastructures, storm drain network, general plan and zoning, public safety and other theme layers that
may arise.
2. Provide City with technical support and knowledge transfer on City GIS Enterprise infrastructure and
system design strategy, upgrade, configuration and implementation.
3. Maintain Web-Based GIS app with the implementation of ArcGIS Enterprise, ArcGIS Online and
Geocortex4. Integrate City GIS Enterprise with Land Based Management System, CMMS, Business
license, and Public Works assets from Dude Solutions. Other potential ad-hoc projects as they are
prioritized, or wherever deadlines are critical.The consultant will be required to work closely on and off-
site with the City's IT/GIS staff and their internal and external customers with the objective of
implementing a centralized and enterprise-wide, web-based geospatial information system in support
of that objective.
Considerations:
A successful consultant must be able to adhere to the following:
1. All work must be done in CA and shall not be outsourced or subcontract to any entity or country
outside of the US.
60
Attachment 3
2. Consultant has an extensive history working in Alameda County for many years in building and
maintaining land based geospatial information and mapping systems,
3. Consultant has direct and extensive experience working with entities in Alameda County,
specifically, City of Dublin, City of Livermore, City of Pleasanton, and ACRECC. The desired
consultant also possesses knowledge and experience of Tri-Valley GIS Activity.
4. Possess strong technical backgrounds in ArcGIS platform and provide knowledge transfer to City
staff
5. Can demonstrate experience in GeoCortex Essentials, Workflow and Reporting tool and their
implementation, integrations with ArcGIS Online and ArcGIS Enterprise system
6. The partnership between the Consultant and the City is crucial, therefore, consultant must assign
minimally one principal consultant and one project manager or Team lead to establish a one-to-
one communication network between consultant and GIS staff.
7. GIS staff has direct communication between principal consultant and team member who is doing
the work
8. Principal consultant and/or project manager must be able to attend monthly meetings and
periodic on-site meetings as needed with our Joint Power Agency – LPFD
9. For specific project need or as a required ongoing data maintenance need, be able to provide
weekly staffing and services on-site.
10. Be able to supplement on-site GIS staffing that might arise during City staffing shortage
11. Technical proficiency in ArcGIS Platform and a business partner with ESRI
12. Capabilities for creative solutions, with open mind to think outside of the box
Process and General Conditions
1. Proposers shall submit one electronic copy to:
Tim Eisler
Information Systems Manager
100 Civic Plaza
Dublin, CA 94568
Tim.eisler@dublin.ca.gov
Electronic copies shall be submitted by emailed PDF, on CD or USB flash drive. Hardcopies (4) must be
mailed to the address listed above.
2. Deadline for submitting the qualifications is ____2/1/21_____, at 4:00 p.m. to the Information
Systems Department at 100 Civic Plaza, Dublin, CA 94568. Postmarks will not be accepted.
61
Attachment 3
3. The City will not pay for any costs incurred in the preparationand submission of the qualifications
or in anticipation of a contract. The format of submittals is at the discretion of the Proposer. Each
qualifications shall be limited to a maximum of 30 pages, single-sided, using minimum 12-point
font size. Page limit excludes a table of contents, tabbed dividers, and resumes for Consultant’s
team.
Schedule for RFP Process
___1/19/21___________Request for Qualifications mailed to consultants.
____1/25/21__________Deadline to submit questions to City of Dublin
________________Addendum posted, if required
_2/1/21_______Qualifications are due no later than 4:00 PM on 2/1/21 at the
offices of the City of Dublin, Information Systems Department, 100 Civic
Plaza, Dublin, CA 94568. Late submittals will not be accepted.
_n/a_______________Interview firms (optional)
______2/16/21__________Consulting Services Agreement scheduled for approval by the Dublin City
Council.
(Tentative dates, subject to change)
RFP Submittal Requirements
Please prepare and organize your Statement of Qualifications based on the requirements provided
below. Any other information you would like to include should be placed in a separated section at the
back of your Statement of Qualifications. Please note however that the RFQ submittal is limited to 30
pages maximum single sided (excluding resumes) and should be submitted on 8 ½ x 11 paper, in 12-
point font. Page limit excludes a table of contents, tabbed dividers, and resumes for Consultant’s team.
Interested firms are requested to submit four (4) bound, and one electronic copy of their Qualifications
as follows:
1.Enclosed a cover letter not to exceed one page, describing the firm's interest and commitment
to perform work necessary to provide consulting services for a preliminary engineering study.
The person authorized by the firm to negotiate a contract with the City of Dublin shall sign the
cover letter. Please include this cover letter within the document and not as a separate page.
62
Attachment 3
2. State the qualifications and experience of the firm/individual(s). Please emphasize the specific
qualifications and experience with engagements of similar scope and complexity.
3.Provide at least three references (names and current phone numbers) from recent work
(previous five years) similar to the services outlined in this request for qualification. Please
include a brief description of the work performed and the role your firm performed.
4.List key staff members, including identification of the Principal-in-Charge and Project
Manager/primary point-of-contact. Include each team member’s availability, including all
existing committed hours, and the ability to complete the project on time and on budget.
5.Provide an approach to completing this project, showing the flow of various tasks of the work,
and demonstrating the clear understanding of the requested work.
6.Provide a project schedule.
7.Present proposed project budget, to include a compensation rate schedule for services.
8.Provide confirmation of your firm’s ability to meet the City’s Standard Consulting Agreement and
insurance requirements. Exceptions to the Agreement and insurance requirements shall be
specifically noted in the Qualifications.
Please provide copies of your Qualifications to City offices no later than ___2/1/21_____ by 4:00 p.m.
The entire Qualifications (excluding resumes) should be a maximum of 30 pages. Submittals should be
addressed as follows:
City of Dublin, Information Services Department
Attention: Tim Eisler
City of Dublin
100 Civic Plaza
Dublin, California 94568
Post-marked packages dated on the specified Qualifications due date will NOT be accepted. Any Qualifications
submitted after the stated deadline will not be accepted for consideration.
Standard Consulting Agreement:
It is anticipated that the services covered by the Agreement resulting from this solicitation will be
performed on a time and materials fee basis for a specified scope of work. The term of the agreement
will begin _July 2021__.
A sample of the City’s Standard Consulting Agreement (Agreement), including insurance requirements,
is provided as Attachment A.
63
Attachment 3
If the interested firm desires to amend or alter the Agreement and/or insurance requirements, the
interested firm shall clearly identify proposed changes to the Agreement and furnish the reason for these
changes, which shall be included in the qualification. Exceptions will be taken into consideration in
evaluating Qualifications. Otherwise, the interested firm is to state in the qualifications that the
Agreement and insurance requirements are acceptable.
Consideration of exceptions will not be considered if not included in the submitted qualifications.
Conflict of Interest
Proposer agrees that, for the term of this contract, no member, officer,or employee of the City of Dublin,
or of a public body within Alameda County or member or delegate to the Congress of the United States,
during his/her tenure or for one year thereafter, shall have any direct interest in the contracts or any
direct or material benefit arising therefrom.
Proposers must provide a list of any potential conflicts of interest in working for the City of Dublin. This
must include, but is not limited to, a list of your firm’s clients who are the following: Private clients
located or operating within the City of Dublin limits, Dublin San Ramon Service District, US Army Camp
Parks and/or the County of Alameda, and a brief description of work for these clients. Proposers must
also identify any other clients (including public entities), that may pose a potential conflict of interest, as
well as a brief description of work you provide for these clients.
This list must include all potential conflicts of interest within the year prior to the release of this RFQ as
well as current and future commitments to other projects.
Principals and those performing work for City of Dublin may be required to submit a California Fair
Political Practices Commission (FPPC) Form 700: Statement of Economic Interests documenting potential
financial conflicts of interest. For additional information, proposers should refer to the FPPC website at
http://www.fppc.ca.gov/Form700.html.
Equal Employment Opportunity
Proposer shall not, on the grounds of race, color, sex, age, religion, national origin, ancestry, physical
handicap, medical condition, or marital status either discriminate or permit discrimination against any
employee or applicant for employment in any manner prohibited by Federal, State, or local laws. In the
event of Proposer non-compliance, the City of Dublin may cancel, terminate, or suspend the Contract in
whole or in part. Proposer may also be declared ineligible for further contracts with the City of Dublin.
Proposer shall take affirmative action to ensure that applicants are employed, and that employees are
treated during their employment, without regard to their race, religion, color, sex, or national origin.
Such action shall include, but not be limited to the following: employment, upgrading, demotion or
transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of
compensation; and selection for training, including apprenticeship. Proposer and its sub-consultants
shall post in conspicuous places, available to all employees and applicants for employment, a notice
64
Attachment 3
setting forth the following provisions [29 U.S.C. § 623, 42 U.S.C. § 2000, 42 U.S.C. § 6102, 42 U.S.C. §
12112, 42 U.S.C. § 12132, 49 U.S.C. § 5332, 29 CFR Part 1630, 41 CFR Parts 60 et seq.].
Governing Law
This RFQ summarizes the applicable laws and governance; when in conflict, applicable State/Federal
guidelines shall apply. The contract and legal relations between the parties hereto shall be governed and
construed in accordance with the laws of the State of California.
Insurance Requirements
The Contractor shall provide insurance coverage as follows in conformance with the City of Dublin’s
requirements:
General Liability Insurance $1,000,000
Automobile Liability Insurance $1,000,000
Professional Liability Insurance $1,000,000
Workers’ Compensation Insurance $1,000,000
References
Contractor must include three (3) references for which the company has provided services similar to
those described in this RFQ. Reference information shall include: Name, Address, Contact, Title, Phone
Number, and Term of the Contract.
Review and Selection Process
The City reserves the right to make the selection based on its sole discretion. A subcommittee selected
by City Staff will evaluate qualifications provided in response to this RFQ. The subcommittee will use a
forced ranking process (please see Attachment B, Forced Ranking Rating Sheet, for further detail).
Informal interviews may be conducted by City staff and may include more than one firm that has
submitted a Qualifications.
Based on input from this review process, a recommendation will be made to the City Manager. The City
Manager will make a recommendation to the City Council for award of contract services.
The City reserves the right to award a contract to the firm(s) that the City feels best meets the
requirements of the RFQ. The City reserves the right to reject any and all Qualificationsprior to execution
of the Agreement, with no penalty to the City.
Selection of Consultant
Submitted Qualifications will be evaluated and scored using the following criteria:
Qualifications and specific experience of key project team members.
65
Attachment 3
Quality and completeness of the qualifications.
Experience with engagement of similar scope and complexity.
Satisfaction of previous clients.
Cost of providing consultant services for this project.
66
Attachment 3
RFQ Required Information:
Submitters are required to submit the following:
1. Estimating Costs:
Please present the cost estimates table in detail for the service specified below, and list all costs
based on the office hourly rate. Costs should include all travel time, overhead expenses, project
management, cost of materials and delivery.
A) Digital conversion services of a 50-lot development that includes one-mile street centerline in
a single Tract development. Affected data are parcel/lot, Tract subdivision, Street Centerline,
Street Centerline Annotation, and Address point. Each feature needs to be listed individually in
the table and its associated hourly rate.
B) Digital conversion services on a typical single Tract development that has all 4 major utilities
that need to be added to the existing network. Utilities include Water, Recycled Water, Sanitary
Sewer and Storm Drain. Scenarios:
I. Water mains 1 mile in length with 50 laterals and 5 hydrants.
II. Recycled water mains 1 mile in length with 5 recycled water hydrant laterals and
5 hydrants.
III. Sanitary Sewer - 1 mile in length with 50 laterals and 1 manhole. Storm Drain - 1
mile in length with 10 inlets and 1 manhole.
C) ArcGIS Enterprise Base Deployment on a single server box of quad core CPU with 8GB of RAM.
In the qualifications, in addition to the hours spend, must provide recommendation on Server
configuration and implementation strategy.
2. Ability to Perform:
As part of your response, you must present satisfactory evidence indicating your ability to meet
the scope of work as detailed in this RFQ. Your response must also include the following
information:
A. Identification of the individuals assigned. Please list the name of principle consultant and
Team lead/Project Manager that GIS staff will be working and collaborating with.
B. List your current and past experiences as it relates to GIS Enterprise System design and
strategy.
C. A minimum of three related business references, including name, addresses, email, and
phone numbers. Please include a description of the type of work you performed for them.
D.A detailed work plan describing your approach to designing, managing, and coordinating
tasks listed in this RFQ. In addition, you should include any steps or tasks not included in the
“scope of work” that you think would materially affect the progression and quality of the
project. All responses to this RFQ must be made in accordance with the specification as set
forth herein. Failure to adhere to any specification contained herein may be cause to reject
your response.
67
Attachment 3
Attachment A
Standard Consulting Services Agreement
(Attachments removed for June 1 Staff Report)
68
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Digitally signed by Patrick Kelleher
DN: cn=Patrick Kelleher, o=Lynx Technologies,
ou=Lynx, email=patrickk@lynxgis.com, c=US
Date: 2021.02.05 13:42:12 -08'00'71
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ĚĞǀĞůŽƉŵĞŶƚĂŶĚĞŶƌŝĐŚŵĞŶƚŽĨƚŚĞŝƚLJ͛Ɛ ŶƚĞƌƉƌŝƐĞ'ĞŽŐƌĂƉŚŝĐ/ŶĨŽƌŵĂƚŝŽŶ^LJƐƚĞŵ;'/^Ϳ͘>LJŶdž
dĞĐŚŶŽůŽŐŝĞƐŝƐƉůĞĂƐĞĚƚŽŚĂǀĞƚŚĞŽƉƉŽƌƚƵŶŝƚLJƚŽƉƌĞƐĞŶƚŽƵƌĐƌĞĚĞŶƚŝĂůƐĂŶĚƚŽĚĞŵŽŶƐƚƌĂƚĞƚŚĞĐĂƐĞ
ĨŽƌƐĞůĞĐƚŝŶŐŽƵƌĐŽŵƉĂŶLJ͘tĞŚĂǀĞƚŚĞĚĞƉƚŚŽĨƌĞƐŽƵƌĐĞƐĂŶĚϲϬнLJĞĂƌƐŽĨĐŽŵďŝŶĞĚĞdžƉĞƌŝĞŶĐĞƚŽ
ĂƐƐŝŐŶƚŚĞĂƉƉƌŽƉƌŝĂƚĞƐƚĂĨĨŝŶŐƚŽŵĞĞƚĞĂĐŚĂƐƐŝŐŶŵĞŶƚĂŶĚĨƵůůLJĂĚĚƌĞƐƐĂůůƐĞƌǀŝĐĞƐƌĞƋƵĞƐƚĞĚďLJƚŚĞ
ŝƚLJ͘DŽƌĞŽǀĞƌ͕ǁĞŚĂǀĞǁŽƌŬĞĚĂƐĂƚĞĂŵĨŽƌŶĞĂƌůLJϮϬLJĞĂƌƐĂŶĚǁĞƵŶĚĞƌƐƚĂŶĚĞĂĐŚŽƚŚĞƌ͛Ɛ
ƐƚƌĞŶŐƚŚƐ͘KƵƌĐŽƐƚŝƐďĂƐĞĚŽŶƉƌŽũĞĐƚƐŽƵƌƚĞĂŵŚĂƐƉĞƌĨŽƌŵĞĚǁŚŝůĞǁŽƌŬŝŶŐĨŽƌƚŚĞŝƚLJŽŶƉĂƐƚ
ƉƌŽũĞĐƚƐĂƐǁĞůůĂƐǁŽƌŬǁĞĂƌĞĐŽŶĚƵĐƚŝŶŐĞůƐĞǁŚĞƌĞŽŶƐŝŵŝůĂƌĞŶŐĂŐĞŵĞŶƚƐ͘
dŚƌĞĞŝŶŝƚŝĂƚŝǀĞƐĂƌĞŽƵƚůŝŶĞĚŝŶƚŚĞZ&Y͗
KŶŐŽŝŶŐ'/^DĂŝŶƚĞŶĂŶĐĞŽĨƚŚĞŝƚLJ͛ƐĐŽƌĞƐƉĂƚŝĂůĂƐƐĞƚĚĂƚĂ
ƌĐ'/^ ŶƚĞƌƉƌŝƐĞ^LJƐƚĞŵƐƐĞƐƐŵĞŶƚĂŶĚĞƐŝŐŶ
DĂŝŶƚĂŝŶĂŶĚĞŶŚĂŶĐĞƚŚĞŝƚLJ͛ƐĐƵƌƌĞŶƚtĞďͲĂƐĞĚ'/^ ŶǀŝƌŽŶŵĞŶƚ͗ƌĐ'/^ ŶƚĞƌƉƌŝƐĞ͕
'ĞŽĐŽƌƚĞdž ƐƐĞŶƚŝĂůƐ͕ƌĐ'/^KŶůŝŶĞ;'K>Ϳ͘dŚŝƐŝŶĐůƵĚĞƐŝŶƚĞŐƌĂƚŝŽŶǁŝƚŚŽƚŚĞƌĐƌŝƚŝĐĂů
ďƵƐŝŶĞƐƐƐLJƐƚĞŵƐŝŶƵƐĞďLJƚŚĞŝƚLJƐƵĐŚĂƐ͕>ĂƐĞƌĨŝĐŚĞ͕ƵĚĞ^ŽůƵƚŝŽŶƐ͕,>͕ƵƐŝŶĞƐƐ
>ŝĐĞŶƐĞ͕ĞƚĐ͘
>LJŶdždĞĐŚŶŽůŽŐŝĞƐ͕/ŶĐ͘;>LJŶdžͿŵĞĞƚƐĂůůŽĨƚŚĞƌĞƋƵŝƌĞŵĞŶƚƐƐĞƚĨŽƌƚŚŝŶŽŶƐŝĚĞƌĂƚŝŽŶƐƐĞĐƚŝŽŶŽĨƚŚĞ
Z&Y͗
ůůǁŽƌŬŝƐĐŽŶĚƵĐƚĞĚůŽĐĂůůLJ͕>LJŶdžĚŽĞƐŶŽƚŽƵƚƐŽƵƌĐĞŝƚƐƐĞƌǀŝĐĞƐĂŶĚŶĞǀĞƌŚĂƐ͘
>LJŶdžŚĂƐĂůŽŶŐͲƐƚĂŶĚŝŶŐǁŽƌŬŝŶŐƌĞůĂƚŝŽŶƐŚŝƉǁŝƚŚŝŶůĂŵĞĚĂŽƵŶƚLJ͕ƚŚĞdƌŝͲsĂůůĞLJĂƌĞĂĂŶĚ
ƚŚĞŝƚLJŽĨƵďůŝŶƐƉĞĐŝĨŝĐĂůůLJ͘/ŶĚĞĞĚ͕ŽƵƌƌĞůĂƚŝŽŶƐŚŝƉǁŝƚŚŝŶůĂŵĞĚĂŽƵŶƚLJƐƉĂŶƐĞǀĞƌLJŝƚLJ͕
ĂŶĚƐƉĂŶƐŽǀĞƌƚǁĞŶƚLJ;ϮϬͿLJĞĂƌƐ͕
>LJŶdžŚĂƐĐƵƌƌĞŶƚ͕ŽŶŐŽŝŶŐĐŽŶƚƌĂĐƚƐǁŝƚŚĂůůŽĨƚŚĞĂŐĞŶĐŝĞƐŝŶƚŚĞƌĞŐŝŽŶŝŶĐůƵĚŝŶŐ͗dŚĞĐŝƚŝĞƐŽĨ
>ŝǀĞƌŵŽƌĞĂŶĚWůĞĂƐĂŶƚŽŶ͕ůĂŵĞĚĂŽƵŶƚLJŽŶĞϳtĂƚĞƌŐĞŶĐLJ;ŽŶĞϳͿ͕>ŝǀĞƌŵŽƌĞͲ
WůĞĂƐĂŶƚŽŶ&ŝƌĞĞƉĂƌƚŵĞŶƚ;>W&Ϳ͕ĂŶĚƚŚĞůĂŵĞĚĂŽƵŶƚLJZĞŐŝŽŶĂů ŵĞƌŐĞŶĐLJ
ŽŵŵƵŶŝĐĂƚŝŽŶƐĞŶƚĞƌ;Z Ϳ͕ĂŶĚƚŚĞůĂŵĞĚĂŽƵŶƚLJ^ŚĞƌŝĨĨ͛ƐKĨĨŝĐĞ;>^KͿ͘DŽƐƚŽĨ
ƚŚĞƐĞĐŽŶƚƌĂĐƚƐŚĂǀĞĂƐƐŝŵŝůĂƌŚŝƐƚŽƌŝĞƐ͘
>LJŶdžƉĂƌƚŝĐŝƉĂƚĞĚŝŶƚŚĞŽƌŝŐŝŶĂůdƌŝͲsĂůůĞLJĐŽŶƐŽƌƚŝƵŵĂŶĚĐŽŶƚŝŶƵĞƚŽĨŽƐƚĞƌŵƵƚƵĂůĚĂƚĂ
ƐŚĂƌŝŶŐĂŶĚĐŽŽƉĞƌĂƚŝǀĞǀĞŶƚƵƌĞƐ͘tĞĂƌĞĐƵƌƌĞŶƚůLJǁŽƌŬŝŶŐǁŝƚŚƚŚĞŝƚLJ͛ƐƉĂƌƚŶĞƌĂŐĞŶĐŝĞƐŽŶ
ƚŚĞ^ƚŽƌŵtĂƚĞƌWĞƌŵŝƚƚŝŶŐĂƉƉůŝĐĂƚŝŽŶ͕ĂŶĚǁŽƌŬŝŶŐƚŽŐĞƚĂƚƌŝͲǀĂůůĞLJŐƌŽƵƉĨŽƌĂƐŚĂƌĞĚ
,ŽŵĞůĞƐƐ ŶĐĂŵƉŵĞŶƚĂƉƉĂŶĚƌĞƉŽƐŝƚŽƌLJ͘tĞƌĞŐƵůĂƌůLJƐŚĂƌĞĐŽƌĞĨĞĂƚƵƌĞůĂLJĞƌĚĂƚĂ
ƉĂƌƚŝĐƵůĂƌůLJŽŶĂŶĂĚŚŽĐďĂƐŝƐ͘
>LJŶdžŚĂƐĞdžƚĞŶƐŝǀĞĞdžƉĞƌŝĞŶĐĞǁŝƚŚ>ĂƚŝƚƵĚĞ'ĞŽŐƌĂƉŚŝĐƐ͛ƐƵŝƚĞŽĨǁĞďĚĞǀĞůŽƉŵĞŶƚƉƌŽĚƵĐƚƐ͗
'ĞŽĐŽƌƚĞdž ƐƐĞŶƚŝĂůƐ͕tŽƌŬĨůŽǁĂŶĚZĞƉŽƌƚƵŝůĚĞƌ͘tĞŚĂǀĞďĞĞŶǁŽƌŬŝŶŐǁŝƚŚ'ĞŽĐŽƌƚĞdž
ƐŝŶĐĞϮϬϭϮĂŶĚŚĂǀĞďƵŝůƚƐŝƚĞƐĨŽƌĂďŽƵƚϮϬĂŐĞŶĐŝĞƐƚŚƌŽƵŐŚŽƵƚƚŚĞ^&ĂLJĂƌĞĂ͘
>LJŶdžŚĂƐĞdžƚĞŶƐŝǀĞĞdžƉĞƌŝĞŶĐĞǁŝƚŚƚŚĞĨƵůů ^Z/ƌĐ'/^ ŶƚĞƌƉƌŝƐĞƐƵŝƚĞĂŶĚĂƌĞĨƵůůLJĞŶŐĂŐĞĚ
ǁŝƚŚŝƚƐĚĞǀĞůŽƉŵĞŶƚĂŶĚƉĂƌĂĚŝŐŵƐŚŝĨƚƚŽǁĂƌĚƐKƉĞŶĂƚĂ͕ĂŶĚŽƉĞŶƉůĂƚĨŽƌŵͲďĂƐĞĚ'/^͕ŝ͘Ğ͘
'/^ŝŶƚŚĞĐůŽƵĚ͕ĂĐĐĞƐƐƚŽ'/^ĨŽƌŶŽŶͲ'/^ƉĞŽƉůĞ͕ĂŶĚĂŶĂůLJƚŝ ĐĂůƚŽŽůƐĨŽƌƚŚĞŽƌŐĂŶŝnjĂƚŝŽŶ͘>LJŶdž
ŚĂƐďƵŝůƚƐĞǀĞƌĂůƌĐ'/^ ŶƚĞƌƉƌŝƐĞĐŽŶĨŝŐƵƌĂƚŝŽŶƐĨŽƌƐŵĂůůĞƌĂŐĞŶĐŝĞƐ;dŝĞƌϯͲϱͿ͕ĂŶƵŵďĞƌŽĨ
72
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ƌĐ'/^KŶůŝŶĞĂƉƉƐƵƐŝŶŐĞdžŝƐƚŝŶŐƚĞŵƉůĂƚĞůŝďƌĂƌŝĞƐ͘tĞŚĂǀĞĂůƐŽŚĞůƉĞĚĂŐĞŶĐŝĞƐƐĞƚƵƉƚŚĞŝƌ
ŽǁŶ'K>ŽƌŐĂŶŝnjĂƚŝŽŶĂůĂĐĐŽƵŶƚƐĂŶĚƐƚĂƌƚƚŽďƵŝůĚƚŚĞŝƌŽǁŶů ŝďƌĂƌŝĞƐŽĨŵĂƉƐĂŶĚĂƉƉƐ͘
dŚĞƉĂƌƚŶĞƌƐŚŝƉďĞƚǁĞĞŶƚŚĞŝƚLJŽĨƵďůŝŶĂŶĚ>LJŶdžŝƐŵŝƐƐŝŽŶĐƌŝƚŝĐĂů͘dŚŝƐŝƐĂĐŽƌĞƉƌĞŵŝƐĞĨŽƌ
>LJŶdžĂŶĚǁĞƚĂŬĞŝƚǀĞƌLJƐĞƌŝŽƵƐůLJ͘KƵƌƉĂƐƚĞdžƉĞƌŝĞŶĐĞǁŽƌŬŝŶŐĚŝƌĞĐƚůLJǁŝƚŚƚŚĞ/dDĂŶĂŐĞƌͬ'/^
ŽŽƌĚŝŶĂƚŽƌĂŶĚŽƚŚĞƌƐƵďũĞĐƚŵĂƚƚĞƌĞdžƉĞƌƚƐǁŝůůĐŽŶƚŝŶƵĞ͖ƚŚĞ/dDĂŶĂŐĞƌǁŝůůŚĂǀĞĚŝƌĞĐƚ
ĂĐĐĞƐƐƚŽƚŚĞWƌŝŶĐŝƉĂů͕WƌŽũĞĐƚDĂŶĂŐĞƌĂŶĚdĞĐŚŶŝĐŝĂŶƐĂƚ>LJŶdž͘
KŶƐŝƚĞƐĞƌǀŝĐĞƐŝƐĂƉĂƌƚŽĨŵĂŶLJŽĨŽƵƌĐŽŶƚƌĂĐƚƐƚŽĂƵŐŵĞŶƚŝƚLJ͛Ɛ'/^ƐƚĂĨĨŝŶŐŶĞĞĚƐ͘tĞƉůĂŶ
ƚŽŚĂǀĞŽŶĞ;ϭͿƐƚĂĨĨŵĞŵďĞƌŽŶƐŝƚĞŽŶĞ;ϭͿĚĂLJƉĞƌǁĞĞŬƚŽŵĂŶĂŐĞ,ĞůƉĚĞƐŬƚŝĐŬĞƚƐĂŶĚƚŽ
ǁŽƌŬĚŝƌĞĐƚůLJǁŝƚŚƐƵďũĞĐƚŵĂƚƚĞƌĞdžƉĞƌƚƐĨŽƌĂĚŚŽĐƉƌŽũĞĐƚƐ͘&ŽƌƐƉĞĐŝĨŝĐƉƌŽũĞĐƚƐŽƵƌ
ƚĞĐŚŶŝĐŝĂŶƐĐĂŶďĞĂǀĂŝůĂďůĞŽŶƐŝƚĞĨŽƌƐŚŽƌƚƚĞƌŵĞŶŐĂŐĞŵĞŶƚƐ͘dŚĞWƌŝŶĐŝƉĂůǁŝůůďĞĂǀĂŝůĂďůĞƚŽ
ƌĞƉŽƌƚƚŽƚŚĞ/dDĂŶĂŐĞƌŽŶĂďŝͲǁĞĞŬůLJďĂƐŝƐƚŽƐĞƚƉƌŝŽƌŝƚŝĞƐĂŶĚĚŝƐĐƵƐƐĂŶLJŝƐƐƵĞƐƚŚĂƚĂƌŝƐĞ͘
>LJŶdžŝƐĂƌĞŐŝƐƚĞƌĞĚ^ŝůǀĞƌƵƐŝŶĞƐƐWĂƌƚŶĞƌǁŝƚŚ ^Z/ĂŶĚǁĞ͛ǀĞďĞŐƵŶĂŐŽŽĚǁŽƌŬŝŶŐ
ƌĞůĂƚŝŽŶƐŚŝƉǁŝƚŚƚŚĞ^ŽůƵƚŝŽŶƐ ŶŐŝŶĞĞƌƐďĂƐĞĚŝŶ^ĂĐƌĂŵĞŶƚŽ͘dŚĞLJŚĂǀĞĞdžƚĞŶĚĞĚŽĨĨĞƌƐƚŽ
ŚĞůƉ>LJŶdžŝŶĂŶLJǁĂLJƉŽƐƐŝďůĞĂŶĚǁŝůůƌĞĂĐŚŽƵƚƚŽƚŚĞŵĂƐƌĞƋƵŝƌĞĚ͘
>LJŶdžŚĂƐĂŶŽƉĞŶĂƉƉƌŽĂĐŚƚŽĨŝŶĚ'/^ƐŽůƵƚŝŽŶƐĂŶĚƐŽůŝĐŝƚŝŶŐŽƵƚƐŝĚĞŚĞůƉǁŚĞƌĞŝƚŝƐ
ĂƉƉƌŽƉƌŝĂƚĞ͖ŽƵƌŐŽǀĞƌŶŝŶŐƉŚŝůŽƐŽƉŚLJŝƐƚŽĚĞĨŝŶĞƚŚĞƉƌŽďůĞŵĨŝƌƐƚĂŶĚƚŚĞŶĐŽŵďŝŶĞ
ƌĞƐŽƵƌĐĞƐƚŽĚĞƌŝǀĞƚŚĞƌŝŐŚƚƐŽůƵƚŝŽŶ͘
73
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YƵĂůŝĨŝĐĂƚŝŽŶƐĂŶĚ džƉĞƌŝĞŶĐĞ
>ŽĐĂů džƉĞƌŝĞŶĐĞ
KŶĞŽĨ>LJŶdždĞĐŚŶŽůŽŐŝĞƐ͛ĐŽƌĞĐŽŵƉĞƚĞŶĐŝĞƐŝƐƚŽĚĞƐŝŐŶ͕ĚĞǀĞůŽƉĂŶĚŵĂŶĂŐĞƐƉĂƚŝĂůĚĂƚĂ͘tĞŚĂǀĞ
ďĞĞŶŝŶďƵƐŝŶĞƐƐĨŽƌϯϬLJĞĂƌƐĂŶĚŚĂǀĞŚĞůƉĞĚĚĞǀĞůŽƉ'/^ĚĂƚĂĨŽƌŚƵŶĚƌĞĚƐŽĨŝƚŝĞƐƚŚƌŽƵŐŚŽƵƚ
ĂůŝĨŽƌŶŝĂ͘ƐĂůŽĐĂůĨŝƌŵ͕ǁĞŚĂǀĞǁŽƌŬĞĚĨŽƌŶĞĂƌůLJĞǀĞƌLJĐŝƚLJǁŝƚŚŝŶƚŚĞŶŝŶĞĐŽƵŶƚŝĞƐĐŽŵƉƌŝƐŝŶŐƚŚĞ
^ĂŶ&ƌĂŶĐŝƐĐŽĂLJĂƌĞĂ͕ĂŶĚůĂŵĞĚĂŽƵŶƚLJŝƐŶŽĞdžĐĞƉƚŝŽŶ͘/ŶĚĞĞĚ͕ǁĞďƵŝůƚƚŚĞŝŶŝƚŝĂůůĂŶĚďĂƐĞĨŽƌ
ůĂŵĞĚĂŽƵŶƚLJŝŶĐůƵĚŝŶŐƉĂƌĐĞůƐ͕ƐƚƌĞĞƚƐĂŶĚĂĚĚƌĞƐƐƉŽŝŶƚƐĂŶĚǁĞĐŽŶƚŝŶƵĞƚŽŵĂŝŶƚĂŝŶƚŚĞƐƚƌĞĞƚƐ
ĂŶĚĂĚĚƌĞƐƐůĂLJĞƌƐƵŶĚĞƌĂŐƌĞĞŵĞŶƚƐǁŝƚŚƚŚĞŽƵŶƚLJ^ŚĞƌŝĨĨĂŶĚ&ŝƌĞŝƐƉĂƚĐŚĂŐĞŶĐŝĞƐ͘tĞĂůƐŽ
ŚĞůƉĞĚĐƌĂĨƚƚŚĞDKhƚŚĂƚƚŚĞŐŽǀĞƌŶƐƚŚĞĚĂƚĂƐŚĂƌŝŶŐĂŐƌĞĞŵĞŶƚĨŽƌƚŚĞƐĞĚĂƚĂĐŽƵŶƚLJǁŝĚĞ͘tĞ͛ǀĞ
ǁŽƌŬĞĚĨŽƌĞǀĞƌLJĐŝƚLJŝŶůĂŵĞĚĂŽƵŶƚLJĞdžĐĞƉƚĞƌŬĞůĞLJ͕ŵĂŶLJŝŶĐŽůůĂďŽƌĂƚŝŽŶǁŝƚŚŽƚŚĞƌ'/^
ĐŽŶƐƵůƚŝŶŐĨŝƌŵƐ͘tĞƐĞƌǀĞĂƐƚŚĞ'/^ĐŽŶƐƵůƚĂŶƚƐ͕ĂƵŐŵĞŶƚŝŶŐŝƚLJƐƚĂĨĨĨŽƌƚŚĞĐŝƚŝĞƐŽĨ ŵĞƌLJǀŝůůĞĂŶĚ
ůďĂŶLJĂŶĚŵĂŶĂŐĞƚŚĞŝƌĚĂƚĂ͕ĐŽůůĂďŽƌĂƚŝǀĞůLJĞŵƉůŽLJŝŶŐŵƵůƚŝƉůĞƉůĂƚĨŽƌŵƐŝŶĐůƵĚŝŶŐƌĐ'/^ ŶƚĞƌƉƌŝƐĞ͕
ƌĐ'/^KŶůŝŶĞ;'K>ͿĂŶĚ'ĞŽĐŽƌƚĞdž ƐƐĞŶƚŝĂůƐ͘
dŚĞ>ŝǀĞƌŵŽƌĞͲŵĂĚŽƌsĂůůĞLJŝƐĂ>LJŶdžĐŽƌĞƐŝƚĞĂŶĚǁĞŚĂǀĞůŽŶŐƐƚĂŶĚŝŶŐĂŐƌĞĞŵĞŶƚƐǁŝƚŚƚŚĞƐĞ
ĂŐĞŶĐŝĞƐ͗
•ŝƚLJŽĨ>ŝǀĞƌŵŽƌĞ;ϭϵϵϲƚŽƉƌĞƐĞŶƚͿ
•ŝƚLJŽĨWůĞĂƐĂŶƚŽŶ;ϮϬϬϯƚŽƉƌĞƐĞŶƚͿ
•ŝƚLJŽĨƵďůŝŶ;ϮϬϭϲʹ:ƵůLJϮϬϮϬͿ
•ůĂŵĞĚĂŽƵŶƚLJtĂƚĞƌŐĞŶĐLJ͕ŽŶĞϳ;ϮϬϭϳƚŽƉƌĞƐĞŶƚͿ
•ůĂŵĞĚĂŽƵŶƚLJ^ŚĞƌŝĨĨ;ϮϬϬϱƚŽƉƌĞƐĞŶƚͿ
•>ŝǀĞƌŵŽƌĞͲWůĞĂƐĂŶƚŽŶ&ŝƌĞĞƉĂƌƚŵĞŶƚ;ϭϵϵϲƚŽƉƌĞƐĞŶƚͿ
•ůĂŵĞĚĂŽƵŶƚLJZĞŐŝŽŶĂů ŵĞƌŐĞŶĐLJŽŵŵƵŶŝĐĂƚŝŽŶƐĞŶƚĞƌ;ϮϬϭϵͲϮϬϮϯͿ
tĞǁĞƌĞĂůƐŽƉĂƌƚŽĨƚŚĞŝŶŝƚŝĂůĚĞǀĞůŽƉŵĞŶƚŽĨƚŚĞdƌŝͲsĂůůĞLJŽŶƐŽƌƚŝƵŵĂŶĚǁŝƚŚŽƵƌĞdžƚĞŶƐŝǀĞ
ƵŶĚĞƌƐƚĂŶĚŝŶŐŽĨƚŚĞƉĞŽƉůĞĂŶĚĚĂƚĂƚŚĂƚĐŽŵƉƌŝƐĞƚŚŝƐ'/^ŶĞƚǁŽƌŬ͕ǁĞĐŽŶƚŝŶƵĞƚŽĨŽƐƚĞƌĚĂƚĂ
ĚĞƐŝŐŶ͕ƐŚĂƌŝŶŐĂŶĚŽŶŐŽŝŶŐĚĞǀĞůŽƉŵĞŶƚƐŽĨƚŚĞƌĞŐŝŽŶ͛Ɛ'/^ƐLJƐƚĞŵƐ͘
KŶŐŽŝŶŐƐƵƉƉŽƌƚ͕ƐƚĂĨĨĂƵŐŵĞŶƚĂƚŝŽŶ͕ĂŶĚŽŶͲĂŶĚŽĨĨͲƐŝƚĞŵĂŝŶƚĞŶĂŶĐĞŝƐĂŶĞdžƚĞŶƐŝŽŶŽĨŽƵƌĚĂƚĂ
ŵĂŶĂŐĞŵĞŶƚĞdžƉĞƌƚŝƐĞ͘hƉƵŶƚŝůƚŚĞƉĂŶĚĞŵŝĐ͕>LJŶdžŚĂĚĨŽƵƌƐƚĂĨĨŵĞŵďĞƌƐƉƌŽǀŝĚŝŶŐŽŶƐŝƚĞƐƵƉƉŽƌƚ
ĨŽƌŽǀĞƌĂĚŽnjĞŶĂŐĞŶĐŝĞƐŝŶĐůƵĚŝŶŐϲϬй&d ĨŽƌŽŶĞƐƚĂĨĨĂƚůĂŵĞĚĂŽƵŶƚLJWƵďůŝĐtŽƌŬƐ͕ĂŶĚϰϬй&d
ĂƚƚŚĞŝƚLJŽĨ>ŝǀĞƌŵŽƌĞ͘ ǀĞŶĚƵƌŝŶŐƚŚĞƉĂŶĚĞŵŝĐĞƌĂ͕ǁĞŚĂǀĞĞƐƚĂďůŝƐŚĞĚƐĞĐƵƌĞƌĞŵŽƚĞĂĐĐĞƐƐƚŽĂůů
ŽƵƌĐůŝĞŶƚƐƚŚƌŽƵŐŚǀĂƌŝŽƵƐŵĞĚŝĂƉůĂƚĨŽƌŵƐ͘,ŽǁĞǀĞƌ͕ǁĞŵŝƐƐƚŚĞĐŽůůĞŐŝĂůƉƌŽďůĞŵͲƐŽůǀŝŶŐ
ĞŶǀŝƌŽŶŵĞŶƚƚŚĂƚŽŶƐŝƚĞƐƵƉƉŽƌƚƉƌŽǀŝĚĞƐĂŶĚůŽŽŬĨŽƌǁĂƌĚƚŽĐŽŶƚŝŶƵĞŽĨĨĞƌŝŶŐƚŚŝƐƐĞƌǀŝĐĞŽŶĐĞƚŚĞ
ĐŽƵŶƚƌLJŚĂƐĐŽŶƚƌŽůŽǀĞƌƚŚĞƉĂŶĚĞŵŝĐ͘
DĂŶLJŽĨƚŚĞĚĂƚĂůĂLJĞƌƐĨŽƌŽƵƌŽŶŐŽŝŶŐŵĂŶĂŐĞŵĞŶƚƐĞƌǀŝĐĞƐƌĞƋƵŝƌĞĞŝƚŚĞƌƋƵŝĐŬͲƚƵƌŶĂƌŽƵŶĚƚŝŵĞƐ͕Žƌ
ŶĞĞĚĐŽŶƐƚĂŶƚĂƚƚĞŶƚŝŽŶĂŶĚƌĞŐƵůĂƌƵƉĚĂƚĞƐ͘&ŽƌĞdžĂŵƉůĞ͕ǁĞƌŽƵƚŝŶĞůLJŚĂǀĞƌĞƋƵĞƐƚƐĨƌŽŵĐŽŵŵƵŶŝƚLJ
ĚĞǀĞůŽƉŵĞŶƚƐƚĂĨĨƚŚĂƚŶĞĞĚĂ'/^ŵĂƉŽƌƐŽŵĞƐƉĂƚŝĂůĂŶĂůLJƐŝƐĨŽƌĂƌĞƉŽƌƚ͕ĐŝƚŝnjĞŶƌĞƋƵĞƐƚ͕ŽƌĂ
ƌĞƋƵĞƐƚĨƌŽŵŵĂŶĂŐĞŵĞŶƚŽƌĐŝƚLJĐŽƵŶĐŝůƚŚĂƚƌĞƋƵŝƌĞƐĂϭʹϮͲĚĂLJƚƵƌŶƌŽƵŶĚ͘ŝƚLJƐƚĂĨĨǁŝůůǁŽƌŬĚŝƌĞĐƚůLJ
ǁŝƚŚŽƵƌƐƚĂĨĨƚŽĚĞǀĞůŽƉƚŚĞƉƌŽĚƵĐƚƐƚŚĞLJŶĞĞĚ͘>LJŶdžƐƚĂĨĨŝƐĂůƐŽǁĞůůͲƉƌĂĐƚŝĐĞĚĂƚϯϬͲĚĂLJƌŽƵƚŝŶĞ
ŵĂŝŶƚĞŶĂŶĐĞƐĐŚĞĚƵůĞƐ͖ŝŶĚĞĞĚ͕ƚŚŝƐŝƐŽƵƌƐƚĂŶĚĂƌĚĂƉƉƌŽĂĐŚƚŽŵĂŝŶƚĂŝŶŝŶŐƉĂƌĐĞů͕ƐƚƌĞĞƚ͕ĂĚĚƌĞƐƐĂŶĚ
ƵƚŝůŝƚLJĚĂƚĂƐĞƚƐ͘
74
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ĂƚĂŽŶǀĞƌƐŝŽŶ^ĞƌǀŝĐĞƐ
ĂƚĂĐŽŶǀĞƌƐŝŽŶƐĞƌǀŝĐĞƐŝƐƚŚĞĨŽƵŶĚĂƚŝŽŶŽĨ>LJŶdždĞĐŚŶŽůŽŐŝĞƐ
ĂŶĚŐŽĞƐďĂĐŬƚŽŽƵƌĞĂƌůLJƵƚŽŵĂƉƉŝŶŐŝŶϭϵϴϲ͘tĞŚĂǀĞ
ĐŽŶǀĞƌƚĞĚĂůůĨŽƌŵƐŽĨĨĞĂƚƵƌĞĚĂƚĂŝŶĐůƵĚŝŶŐĐŽŵƉůĞƚĞ
ĐŽƵŶƚLJǁŝĚĞƉĂƌĐĞůƐĨŽƌ^ĂŶƚĂƌƵnj͕^ĂŶDĂƚĞŽ͕^ĂŶĞŶŝƚŽ͕
DŽŶƚĞƌĞLJĂŶĚůĂŵĞĚĂŽƵŶƚŝĞƐ͕ĂƐǁĞůůĂƐƵƚŝůŝƚLJ
ŝŶĨƌĂƐƚƌƵĐƚƵƌĞĨŽƌŶĞĂƌůLJĞǀĞƌLJĐŝƚLJŝŶƚŚĞ^ĂŶ&ƌĂŶĐŝƐĐŽĂLJ
ƌĞĂ͘tĞŚĂǀĞĂůƐŽŵŝŐƌĂƚĞĚƚĞŶƐŽĨĂŐĞŶĐŝĞƐĨƌŽŵůĞŐĂĐLJ
ĞŶǀŝƌŽŶŵĞŶƚƐŝŶƚŽ ^Z/ďĂƐĞĚŐĞŽĚĂƚĂďĂƐĞƐ͘ůůĨŽƌŵƐŽĨĐŽŶǀĞƌƐŝŽŶƐĞƌǀŝĐĞƐĂƌĞŝŶĐůƵĚĞĚŝŶŽƵƌƌĞƐƵŵĞ
ĨƌŽŵŚŝŐŚƉƌĞĐŝƐŝŽŶĐŽŽƌĚŝŶĂƚĞŐĞŽŵĞƚƌLJ;K'KͿ͕ŚĞĂĚƐͲƵƉƚƌĂĐĞĚŝŐŝƚŝnjŝŶŐ͕ƌĂƐƚĞƌͲƚŽͲǀĞĐƚŽƌĂŶĚǀĞĐƚŽƌͲ
ƚŽͲǀĞĐƚŽƌĐŽŶǀĞƌƐŝŽŶ͕ĂŶĚĨŝĞůĚ'W^ĚĂƚĂĐŽůůĞĐƚŝŽŶŵĞƚŚŽĚƐ͘/ŶϮϬϭϳǁĞĐŽŵƉůĞƚĞĚĂƉƌŽũĞĐƚĨŽƌƚŚĞŝƚLJ
ŽĨ>ŽƐŶŐĞůĞƐƚŽĚŝŐŝƚŝnjĞƚŚĞƐƚƌĞĞƚƚƌĞĞƐ͕ƐŝĚĞǁĂůŬ͕ĚƌŝǀĞǁĂLJ͕ůĂŶĚƐĐĂƉĞĂŶĚĐƵƌďĂŶĚŐƵƚƚĞƌĨƌŽŵŚŝŐŚ
ƌĞƐŽůƵƚŝŽŶĚŝŐŝƚĂůŽƌƚŚŽƉŚŽƚŽŐƌĂƉŚLJ͘dŚŝƐƉƌŽũĞĐƚŝŶǀŽůǀĞĚϭϵƐƚĂĨĨ͕ǁĂƐĐŽŵƉůĞƚĞĚŝŶϭϯŵŽŶƚŚƐĂŶĚ
ƐƉĂŶŶĞĚϭϭ͕ϬϬϬŵŝůĞƐŽĨƐƚƌĞĞƚƐ͕
^LJƐƚĞŵĞƐŝŐŶ^ĞƌǀŝĐĞƐ
>LJŶdždĞĐŚŶŽůŽŐŝĞƐŚĂƐǁŽƌŬĞĚǁŝƚŚůŽĐĂůŐŽǀĞƌŶŵĞŶƚĂŐĞŶĐŝĞƐŚĞůƉŝŶŐ
ƚŽĚĞǀĞůŽƉĂŶĚŝŵƉůĞŵĞŶƚ'/^ ŶƚĞƌƉƌŝƐĞŐĞŽĚĂƚĂďĂƐĞƐĨŽƌŽǀĞƌϯϬ
LJĞĂƌƐ͘KƵƌĞdžƉĞƌŝĞŶĐĞƌĂŶŐĞƐĨƌŽŵǁŽƌŬŝŶŐǁŝƚŚƐŵĂůůĞƌĐŽŵŵƵŶŝƚŝĞƐ
ƐƵĐŚĂƐ>ŽƐ'ĂƚŽƐ͕DĞŶůŽWĂƌŬĂŶĚWŽƌƚŽůĂsĂůůĞLJƚŽŽƵƌůĂƌŐĞƐƚƉƌŽũĞĐƚ͕
ĐŽŵƉůĞƚĞĚŝŶϮϬϭϰ͕ĐŽŵƉƌŝƐĞĚϲϮƉƵďůŝĐƐĂĨĞƚLJĂŐĞŶĐŝĞƐĐŽǀĞƌŝŶŐĂůůŽĨ
^ĂŶŝĞŐŽŽƵŶƚLJ͘dŚĞĚĞƐŝŐŶƉƌŽĐĞƐƐŝŶĐůƵĚĞƐůŽĐĂů'/^ĂŶĂůLJƐƚƐĂŶĚ
ŽƉĞƌĂƚŝŽŶĂůƐƚĂŬĞŚŽůĚĞƌƐĨƌŽŵĂǀĂƌŝĞƚLJŽĨĚŝƐĐŝƉůŝŶĞƐƚŽďƵŝůĚĂŶ
ŶƚĞƌƉƌŝƐĞ'/^ƚŽƐƵƉƉŽƌƚŶĞĂƌůLJĂĚŽnjĞŶďƵƐŝŶĞƐƐƐLJƐƚĞŵƐ͘
tĞƵƐĞ ^Z/͛Ɛ>ŽĐĂů'ŽǀĞƌŶŵĞŶƚ/ŶĨŽƌŵĂƚŝŽŶDŽĚĞů;>'/DͿĂƐĂŶĂƵƚŚŽƌŝƚĂƚŝǀĞƐŽƵƌĐĞĂŶĚĂƵŐŵĞŶƚƚŚŝƐ
ƐĐŚĞŵĂǁŝƚŚůŽĐĂůƐƵďũĞĐƚŵĂƚƚĞƌĞdžƉĞƌƚŝƐĞ͘tĞĂůƐŽƌĞĨĞƌĞŶĐĞƌĞŐŝŽŶĂůŵŽĚĞůƐǁŚĞƌĞǀĞƌĂǀĂŝůĂďůĞ͕ĂŶĚ
^Z/͛ƐƌĐ'/^^ŽůƵƚŝŽŶƐƚŽŝŶĐůƵĚĞĨŽƌǁĂƌĚͲƚŚŝŶŬŝŶŐƐĐŚĞŵĂƐƚŚĂƚŵĂLJďĞƵƐĞĨƵůŝŶĨƵƚƵƌĞĂƉƉůŝĐĂƚŝŽŶƐ͘
tĞŚĂǀĞĐƵƌƌĞŶƚĞŶŐĂŐĞŵĞŶƚƐǁŝƚŚƚŚĞŝƚLJŽĨDŝůƉŝƚĂƐƚŽŝŵƉůĞŵĞŶƚĂĚĂƚĂŵŽĚĞůĨŽƌ^ĞǁĞƌ͕^ƚŽƌŵ
tĂƚĞƌ͕dƌĂĨĨŝĐ^ŝŐŶĂůƐĂŶĚ^ŝŐŶĂů/ŶƚĞƌĐŽŶŶĞĐƚƐLJƐƚĞŵƐ͖ƚŚĞƐĞĚĞƐŝŐŶƐƐƚĂƌƚĞĚǁŝƚŚ ^Z/͛Ɛ>'/DĂŶĚ
ƉƌŽŐƌĞƐƐĞĚƚŽŝŶĐůƵĚĞƚŚĞŝƚLJ͛ƐdƌĂĨĨŝĐ ŶŐŝŶĞĞƌ͕^LJƐƚĞŵƐKƉĞƌĂƚŝŽŶŵĂŶŐĞƌ͕'/^^ƚĂĨĨĂŶĚWƵďůŝĐtŽƌŬƐ
ŵĂŝŶƚĞŶĂŶĐĞŽƉĞƌĂƚŝŽŶƐ͘ƐŝŵŝůĂƌĞŶŐĂŐĞŵĞŶƚŝƐƵŶĚĞƌǁĂLJǁŝƚŚƐƚĂĨĨĂƚƚŚĞůĂŵĞĚĂŽƵŶƚLJŽŶĞϳ
tĂƚĞƌŐĞŶĐLJ͘
tĞŚĂǀĞĂůƐŽĞŶŐĂŐĞĚ ^Z/ŽŶƐƵůƚŝŶŐ^ĞƌǀŝĐĞƐƚĞĂŵƚŽĂĚǀŝƐĞƵƐƌĞŐĂƌĚŝŶŐŚĂƌĚǁĂƌĞƐLJƐƚĞŵ
ĂƌĐŚŝƚĞĐƚƵƌĞŝŶĐůƵĚŝŶŐŽŶƉƌĞŵŝƐĞĂŶĚĐůŽƵĚƐĞƌǀŝĐĞƐ͘KƵƌƉƌŽĐĞƐƐĂůǁĂLJƐŝŶƚĞŐƌĂƚĞƐƐƚĂŬĞŚŽůĚĞƌ
ŝŶƚĞƌǀŝĞǁƐƚŽĚĞĨŝŶĞƚŚĞĚĂƚĂďĂƐĞƌĞƋƵŝƌĞŵĞŶƚƐƌĞŐĂƌĚůĞƐƐŽĨƚŚĞƐŝnjĞŽĨƚŚĞŽƌŐĂŶŝnjĂƚŝŽŶ͘tĞĂůƐŽŚĞůƉ
ŵĂŶLJĐŝƚŝĞƐŵŝŐƌĂƚĞŽůĚĞƌ'/^ƐLJƐƚĞŵƐŝŶƚŽ ^Z/'ĞŽĚĂƚĂďĂƐĞƐĞŵƉůŽLJŝŶŐƚŚĞŶĞǁĞƐƚƚĞĐŚŶŽůŽŐŝĞƐ
ŽĨĨĞƌĞĚďLJ ^Z/ĂŶĚDŝĐƌŽƐŽĨƚ͘
75
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'/^tĞďĞǀĞůŽƉŵĞŶƚ
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WĂƌƚŶĞƌƐŝŶĐĞϮϬϬϬ͘>LJŶdždĞĐŚŶŽůŽŐŝĞƐŚĂƐďĞĞŶƉƌŽǀŝĚŝŶŐtĞď
ĞǀĞůŽƉŵĞŶƚƐĞƌǀŝĐĞƐƚŽƐŵĂůůĐŝƚŝĞƐƐŝŶĐĞϮϬϬϯ͘tĞƐƚĂƌƚĞĚǁŝƚŚ
ƵƚŽĚĞƐŬ͛ƐDĂƉ'ƵŝĚĞϲ͘ϬĂŶĚĚŽďĞ͛ƐŽůĚ&ƵƐŝŽŶ͕ĂŶĚƚŚŝƐ
ƉƌŝŵĂƌŝůLJĐůŝĞŶƚͲƐŝĚĞĚĞǀĞůŽƉŵĞŶƚĨƌĂŵĞǁŽƌŬŽĨĨĞƌĞĚĞdžĐĞůůĞŶƚ
ƉĞƌĨŽƌŵĂŶĐĞ͘,ŽǁĞǀĞƌ͕ƚŚĞŝŶĚƵƐƚƌLJĞǀŽůǀĞĚƋƵŝĐŬůLJĂŶĚƚŚĞ
ĂĚǀĂŶƚĂŐĞƐŽĨƐĞƌǀĞƌͲƐŝĚĞĚĞǀĞůŽƉŵĞŶƚďĞĐĂŵĞƚŚĞŶĞǁ
ƉĂƌĂĚŝŐŵ͕>LJŶdžĞĂŐĞƌůLJĂĚŽƉƚĞĚ ^Z/͛ƐƌĐ'/^^ĞƌǀĞƌ͘/ŶϮϬϭϯǁĞ
ĂĚĚĞĚ>ĂƚŝƚƵĚĞ'ĞŽŐƌĂƉŚŝĐ͛Ɛ'ĞŽĐŽƌƚĞdž ƐƐĞŶƚŝĂůƐƐŽĨƚǁĂƌĞƚŚĂƚĞdžƚĞŶĚƐƚŚĞƌĐ'/^^ĞƌǀĞƌƉůĂƚĨŽƌŵƚŽ
ĂůůŽǁƌĂƉŝĚĚĞǀĞůŽƉŵĞŶƚŽĨŚŝŐŚůLJĐŽŶĨŝŐƵƌĂďůĞĐůŝĞŶƚǁĞďƐŝƚĞƐ͘EƵŵĞƌŽƵƐŶĞĂƌŽƵƚͲŽĨͲƚŚĞͲďŽdž
ĨƵŶĐƚŝŽŶƐƐĂǀĞŚƵŶĚƌĞĚƐŽĨƉƌŽŐƌĂŵŵŝŶŐŚŽƵƌƐĂŶĚĂůůŽǁƵƐƚŽƉƌŽǀŝĚĞĐůŝĞŶƚƐǁŝƚŚƚŚĞĨƵŶĐƚŝŽŶĂůŝƚLJ͕
ůŽŽŬĂŶĚĨĞĞůŽĨƚŚĞƉŽƉƵůĂƌƌĐ'/^ĚĞƐŬƚŽƉĞdžƉĞƌŝĞŶĐĞǁŝƚŚƚŚĞĞĂƐĞŽĨǁĞďͲďĂƐĞĚĂƉƉůŝĐĂƚŝŽŶƐ͘
ƵƌƌĞŶƚůLJǁĞŵĂŶĂŐĞ͕ŵĂŝŶƚĂŝŶĂŶĚĚĞǀĞůŽƉƐŝƚĞƐĨŽƌƚŚĞĨŽůůŽǁŝŶŐĐŝƚŝĞƐ͗
ůďĂŶLJ
ĂŵƉďĞůů
ŵĞƌLJǀŝůůĞ
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>ŽƐůƚŽƐ,ŝůůƐ
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DĞŶůŽWĂƌŬ
WůĞĂƐĂŶƚŽŶ
^ĂŶĞŶŝƚŽŽƵŶƚLJ
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ƌĐ'/^KŶůŝŶĞ͕ƌĐ'/^WŽƌƚĂůĂŶĚtĞďͲĂƐĞĚ&ŝĞůĚƉƉůŝĐĂƚŝŽŶƐŝ ƐĂŐƌŽǁŝŶŐƉŽƌƚŝŽŶŽĨŽƵƌďƵƐŝŶĞƐƐĂŶĚ
ŵĂŶLJĐŝƚŝĞƐĂƌĞůŽŽŬŝŶŐƚŽĞŝƚŚĞƌĂƵŐŵĞŶƚƚŚĞŝƌ ŶƚĞƌƉƌŝƐĞ'/^ƐŽůƵƚŝŽŶƚŽŝŶĐůƵĚĞƚŚĞƐĞƚŽŽůƐŽƌŵŝŐƌĂƚĞ
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ŝŵƉůĞŵĞŶƚĂĐƌŽƐƐƚŚĞĐŝƚLJ͛Ɛ'/^ŝŶǀĞŶƚŽƌLJ͘>LJŶdžŚĂƐĚĞǀĞůŽƉĞĚKƉĞƌĂƚŝŽŶĂůĂƐŚďŽĂƌĚƐ͕tĞď
ƉƉůŝĐĂƚŝŽŶƐ͕^ƚŽƌLJDĂƉƐ͕ĂŶĚ&ŝĞůĚDĂƉͬŽůůĞĐƚŽƌĂƉƉůŝĐĂƚŝŽŶƐĨŽƌǀĂƌŝŽƵƐĐŝƚŝĞƐŽǀĞƌƚŚĞůĂƐƚĨŽƵƌLJĞĂƌƐ͘
tĞŚĂǀĞĐŽŶĨŝŐƵƌĞĚĂŶƌĐ'/^ ŶƚĞƌƉƌŝƐĞWŽƌƚĂůĂƐĞĞƉůŽLJŵĞŶƚĨŽƌ^ĂŶĞŶŝƚŽŽƵŶƚLJĂŶĚĂƌĞƉŽŝƐĞĚ
ƚŽĚĞǀĞůŽƉƐLJƐƚĞŵƐĨŽƌƚŚĞŝƚLJŽĨ>ŝǀĞƌŵŽƌĞĂŶĚƚŚĞůĂŵĞĚĂŽƵŶƚLJtĂƚĞƌŐĞŶĐLJ͘
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ĂŶĚǁŽƌŬĞĚŽŶŵĂŶLJƉƌŽũĞĐƚƐƚŽŝŶƚĞŐƌĂƚĞ'/^ǁŝƚŚǀĂƌŝŽƵƐďƵƐŝŶĞƐƐƐLJƐƚĞŵƐ͘
dŚĞƐĞŝŶĐůƵĚĞůĂŶĚĚĞǀĞůŽƉŵĞŶƚƐŽĨƚǁĂƌĞĨƌŽŵĐĐĞůĂ͕dLJůĞƌdĞĐŚŶŽůŽŐŝĞƐ͛
ŶĞƌŐŽǀ͕ĞŶƚƌĂů^ƋƵĂƌĞ͛ƐdƌĂĐŬŝƚ͕ĂŶĚD'K͕ƉůƵƐƚŚĞƉŽƉƵůĂƌŽůĚĞƌƐLJƐƚĞŵƐ
WĞƌŵŝƚƐWůƵƐ͕ĂŶĚdŝĚĞŵĂƌŬ͘dŚŝƐLJĞĂƌǁĞǁŝůůďĞǁŽƌŬŝŶŐǁŝƚŚƚŚĞŝƚLJŽĨ'ŝůƌŽLJƚŽ
ůĂƵŶĐŚƚŚĞŝƌ ŶĞƌŐŽǀƐLJƐƚĞŵŝŶƚĞŐƌĂƚĞĚǁŝƚŚƌĐ'/^WŽƌƚĂůĂŶĚƚŚĞŝƚLJŽĨ
^ĂƌĂƚŽŐĂ͛ƐĞŶƚƌĂů^ƋƵĂƌĞ>ĂŶĚƚƌĂŬƐLJƐƚĞŵ͖ƚŚĞŝƚLJŽĨĂŵƉďĞůůŚĂƐ>LJŶdžĚĞǀĞůŽƉŝŶŐ
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ĂĐĐĞƐƐƉĞƌŵŝƚƐƚĂƚƵƐǀŝĂ'ĞŽĐŽƌƚĞdž ƐƐĞŶƚŝĂůƐ͕ĂŶĚƐŝŵŝůĂƌůLJ^ĂŶƌƵŶŽ͛ƐŽŵŵƵŶŝƚLJĞǀĞůŽƉŵĞŶƚƐƚĂĨĨ
ƵƐĞƚŚĞŝƌŽŶͲƉƌĞŵŝƐĞĞŶƚƌĂů^ƋƵĂƌĞͬ'ĞŽĐŽƌƚĞdž ƐƐĞŶƚŝĂůƐĞŶǀŝƌŽŶŵĞŶƚƚŽĂĐĐĞƐƐƌĞĂůͲƚŝŵĞƉĞƌŵŝƚ
ĐŽŶĚŝƚŝŽŶƐ͘
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ŝƚLJǁŽƌŬƐ͕ĂŶĚƚŚĞůĞƐƐĐŽŵŵŽŶEĞdž'ĞŶĂŶĚŝtŽƌY͘/Ŷ^ĂŶƌƵŶŽǁĞŵĂŝŶƚĂŝŶƚŚĞ'/^ͬDĂŝŶƚ^ƚĂƌ
ĚĂƚĂďĂƐĞƐĂŶĚƉƌŽǀŝĚĞƐƵƉƉŽƌƚĨŽƌƉƵďůŝĐǁŽƌŬƐƐƚĂĨĨ͘/ŶĂŵƉďĞůůǁĞĂƌĞƚƌĂŶƐŝƚŝŽŶŝŶŐƐƚƌĞĞƚůŝŐŚƚ
ŵĂŝŶƚĞŶĂŶĐĞƐƚĂĨĨĨƌŽŵĂŶŽŶͲƐƉĂƚŝĂůŝtŽƌYĞŶǀŝƌŽŶŵĞŶƚƚŽĂŶŝŶƚĞŐƌĂƚĞĚ'ĞŽĐŽƌƚĞdžͬŝtŽƌYƉůĂƚĨŽƌŵŝŶ
ǁŚŝĐŚƐƚĂĨĨƵƐĞ'ĞŽĐŽƌƚĞdžƚŽĞĚŝƚĂŶĚŵĂŝŶƚĂŝŶƚŚĞƐƉĂƚŝĂůĚĂƚĂĂŶĚŝtŽƌYƚŽŐĞŶĞƌĂƚĞǁŽƌŬŽƌĚĞƌƐ͘
tĞĂůƐŽŚĂǀĞĞdžƉĞƌŝĞŶĐĞŝŶƚĞŐƌĂƚŝŶŐƚŚĞĚŽĐƵŵĞŶƚŝŵĂŐŝŶŐƐLJƐƚĞŵƐĨƌŽŵŝŐŝƚĂůZĞĞůĨƌŽŵD/͕
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DĂƚĞŽWƵďůŝĐtŽƌŬƐĚŝǀŝƐŝŽŶƚŽĚĞǀĞůŽƉƚŚĞƐLJƐƚĞŵƐƉĞĐŝĨŝĐĂƚŝŽŶĂŶĚ'/^ƌĞƋƵŝƌĞŵĞŶƚƐĨŽƌ>ĂƐĞƌĨŝĐŚĞ͕
ĂŶĚĂŶŝŵƉůĞŵĞŶƚĂƚŝŽŶĂŶĚ'/^ŝŶƚĞŐƌĂƚŝŽŶƉƌŽũĞĐƚĨŽƌƚŚĞŝƚLJŽĨ^ĂŶƌƵŶŽ͛ƐKŶĂƐĞͬ'ĞŽĐŽƌƚĞdž
ƉůĂƚĨŽƌŵƐ͘
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^ƵŶƌŝĚŐĞ͕EĞǁtŽƌůĚ͕/ŶƚĞƌŐƌĂƉŚĂŶĚ^ƉŝůůŵĂŶͬDŽƚŽƌŽůĂ͘tĞĐƵƌƌĞŶƚůLJŵĂŶĂŐĞƚŚĞ'/^ƐƵƉƉŽƌƚĨŽƌ
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'ŝůƌŽLJ͘
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ŽĨƚŚĞƌĐ^ ĚĂƚĂďĂƐĞŝƐŵĂŝŶƚĂŝŶĞĚƚŚƌŽƵŐŚ ^Z/͛ƐƐLJŶĐŚƌŽŶŝnjĂƚŝŽŶƚŽŽůƐĞƚǀŝĂyD>ĨŝůĞĞdžĐŚĂŶŐĞƐ
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DĂƐƚĞƌĚĚƌĞƐƐĂƚĂďĂƐĞǁĂƐĚĞǀĞůŽƉĞĚĂŶĚŵĂŝŶƚĂŝŶĞĚŝŶ'/^͘/ŶϮϬϬϳ>LJŶdžĐŽŶĚƵĐƚĞĚĂĨŝĞůĚƐƵƌǀĞLJŽĨ
ƚŚĞĞŶƚŝƌĞdŽǁŶƚŽǀĞƌŝĨLJĂůůƐŝƚƵƐĂĚĚƌĞƐƐĞƐŝŶĐůƵĚŝŶŐďƵƐŝŶĞƐ ƐƐƵŝƚĞƐĂŶĚĂƉĂƌƚŵĞŶƚƵŶŝƚƐƚŚĂƚŝƐ
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'/^ŝƐǀŝƐƵĂůŝnjĞĚƚŚƌŽƵŐŚƐĞǀĞƌĂůƐŝƚĞƐĚĞǀĞůŽƉĞĚŽŶƌĐ'/^ ŶƚĞƌƉƌŝƐĞĂŶĚ'ĞŽĐŽƌƚĞdž ƐƐĞŶƚŝĂůƐ͕ĐƵƐƚŽŵ
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ƐƵĐŚĂƐƚŚĞƉŽůŝĐĞĚĞƉĂƌƚŵĞŶƚ͛Ɛ Zd͕EZKW͕ĂŶĚKŶͲtĂƚĐŚĂŵĞƌĂƉƌŽŐƌĂŵƐ͕ĂŶĚŽŵŵƵŶŝƚLJ
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͞WĞƌƚŚĞdŽǁŶ͛ƐWƵƌĐŚĂƐŝŶŐWŽůŝĐLJƉƌŽĨĞƐƐŝŽŶĂůƐĞƌǀŝĐĞƐƐĞůĞĐƚŝŽŶŐƵŝĚĞůŝŶĞƐ͕ƚŚĞŽŵŵƵŶŝƚLJĞǀĞůŽƉŵĞŶƚĂŶĚ/ŶĨŽƌŵĂƚŝŽŶdĞĐŚŶŽů ŽŐLJ
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ĂĐĐŽŵƉůŝƐŚĞĚƚŚĞĚĂƚĂďĂƐĞǁŝůůďĞƌĞƉůŝĐĂƚĞĚŽŶƚŚĞŝƚLJ͛ƐƐĞƌǀĞƌƚŽĂůůŽǁĐŝƚLJƐƚĂĨĨƚŽŵĂŝŶƚĂŝŶƐƵďũĞĐƚ
ĚĂƚĂĂƐƌĞƋƵŝƌĞĚ͘
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ŵĂƉƉŝŶŐĂŶĚƚŚĞƐƚĂŶĚĂƌĚĨŽƌĞǀĂůƵĂƚŝŶŐƋƵĂůŝƚLJ͘
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ƐĐŚĞĚƵůĞ͘ ĂĐŚĞƌƌŽƌŽƌŽŵŝƐƐŝŽŶŝĚĞŶƚŝĨŝĞĚďLJƚŚĞŝƚLJǁĂƐĐŽƌƌĞĐƚĞĚďLJ>LJŶdž͘
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dŚĞůŝƐƚǁŽƵůĚďĞƌĞǀŝĞǁĞĚďŝͲǁĞĞŬůLJĂŶĚƉƌŝŽƌŝƚŝĞƐĂĚũƵƐƚĞĚĂƐƌĞƋƵŝƌĞĚ͖ŝƚǁŝůůƉƌŽǀŝĚĞĂǀŝƐƵĂůĂŝĚĞ
ƚŽĂƌƚŝĐƵůĂƚĞĞdžƉĞĐƚĂƚŝŽŶƐĂŶĚŽƵƚĐŽŵĞƐƚŽƚŚĞŝƚLJ͘
91
/dzK&h>/E'/^^ Zs/ ^Ϯϯ
&ŽƌŶĞǁdĂƐŬKƌĚĞƌƐ>LJŶdžǁŝůůƵƚŝůŝnjĞĂƉƌŽǀĞŶŵĞƚŚŽĚŽůŽŐLJĨŽƌĚĞĨŝŶŝŶŐƚŚĞƐĐŽƉĞ͕ĂƐƐŝŐŶŝŶŐ
ƌĞƐŽƵƌĐĞƐ͕ĂŶĚŵĂŶĂŐŝŶŐƚŚĞƉƌŽũĞĐƚŝŵƉůĞŵĞŶƚĂƚŝŽŶ͘/Ĩ͕ĨŽƌĞdžĂŵƉůĞ͕ĂŶĞǁďƵƐŝŶĞƐƐƐLJƐƚĞŵŝƐ
ĂĐƋƵŝƌĞĚďLJƚŚĞŝƚLJĂŶĚƌĞƋƵŝƌĞƐŝŶƚĞŐƌĂƚŝŽŶǁŝƚŚ'/^͕ǁĞǁŽƵůĚĚĞǀĞůŽƉƚŚĞƉƌŽũĞĐƚƚŚƌŽƵŐŚƚŚĞ
ĨŽůůŽǁŝŶŐĚŽĐƵŵĞŶƚĞĚƐƚĞƉƐ͗
WƌŽũĞĐƚ:ƵƐƚŝĨŝĐĂƚŝŽŶ;ƉƵƌƉŽƐĞ͕ƐƚĂŬĞŚŽůĚĞƌƐ͕ĚĞůŝǀĞƌĂďůĞƐͿ
^ƚĂƚĞŵĞŶƚŽĨtŽƌŬ
^ĐŚĞĚƵůĞ;ŚŽƵƌƐĂŶĚƚŝŵĞůŝŶĞͿ
ƌĞĂƚĞĂWƌŽũĞĐƚWůĂŶ
WƌŽũĞĐƚDĂŶĂŐĞŵĞŶƚ
/ŶŽƚŚĞƌǁŽƌĚƐ͕ĂƉƌŽũĞĐƚǁŽƵůĚƐƚĂƌƚǁŝƚŚĂĨŽƌŵĂůŝnjĞĚƌĞƋƵĞƐƚĨŽůůŽǁĞĚďLJĂĚŽĐƵŵĞŶƚƚŚĂƚĚĞĨŝŶĞƐŝƚƐ
ƉĂƌĂŵĞƚĞƌƐ͘ƐƉĂƌƚŽĨƚŚĞ^ƚĂƚĞŵĞŶƚŽĨtŽƌŬǁĞǁŽƵůĚŵĞĞƚǁŝƚŚ^D ͛ƐĂƐƌĞƋƵŝƌĞĚƚŽŚĞůƉĨƌĂŵĞƚŚĞ
ƉƌŽũĞĐƚĚĞůŝǀĞƌĂďůĞƐ͘dŚĞWƌŽũĞĐƚWůĂŶǁŽƵůĚŝŶĐůƵĚĞĂŶLJŵŝůĞƐƚŽŶĞƐ͘
^ƵŵŵĂƌLJŽĨĞůŝǀĞƌĂďůĞƐͬ<ĞLJWŽŝŶƚƐ͗
ŝͲtĞĞŬůLJDĂŶĂŐĞƌƐDĞĞƚŝŶŐƐ
ĂŝůLJ,ĞůƉĚĞƐŬDĂŶĂŐĞŵĞŶƚ
ŝƌĞĐƚŽŵŵƵŶŝĐĂƚŝŽŶǁŝƚŚƐƚĂĨĨ
^ŚĂƌĞĚdĂƐŬKƌĚĞƌDĂŶĂŐĞŵĞŶƚ
;ϭͿŝŐŝƚĂůŽŶǀĞƌƐŝŽŶĂŶĚDĂŝŶƚĞŶĂŶĐĞŽĨƚŚĞŝƚLJ͛ƐĂƚĂʹŽƌĞ>ĂLJĞƌƐ
ZŽƵƚŝŶĞŵĂŝŶƚĞŶĂŶĐĞŽĨƚŚĞŝƚLJ͛Ɛ'/^ĚĂƚĂ͕ƚŚĞĨŝƌƐƚƉƌŝŽƌŝƚLJŽĨƚŚĞZ&Y͕ǁŝůůďĞƐƉůŝƚ
ďĞƚǁĞĞŶƚǁŽƐƚĂĨĨŵĞŵďĞƌƐ͘>LJŶĚĂŶĂƐƚĂĐŝŽǁŝůůŵĂŶĂŐĞǁŚĂƚǁĞĐŽŶƐŝĚĞƌĂƐĞ&ĞĂƚƵƌĞ
>ĂLJĞƌƐĂŶĚǁŝůůŝŶĐůƵĚĞ͗
ĂͿWĂƌĐĞůƐ͕
ďͿ^ƚƌĞĞƚĐĞŶƚĞƌůŝŶĞƐ͕
ĐͿĚĚƌĞƐƐƉŽŝŶƚƐ͕
ĚͿƐƐĞƐƐŽƌ͛ƐĚĂƚĂ͕ďŽƚŚ^ĞĐƵƌĞĚZŽůĞĂŶĚWƌŽƉĞƌƚLJŚĂƌĂĐƚĞƌŝƐƚŝĐƐ
ĞͿZĞĐŽƌĚŽƵŶĚĂƌŝĞƐ;dƌĂĐƚ͕WĂƌĐĞůDĂƉ͕ZĞĐŽƌĚƐŽĨ^ƵƌǀĞLJͿ
ĨͿ:ƵƌŝƐĚŝĐƚŝŽŶĂůŽƵŶĚĂƌŝĞƐ;ŝƚLJ>ŝŵŝƚƐ͕ŽƵŶƚLJ͕&ĞĚĞƌĂůͿ
dŚŝƐƚĂƐŬŝƐĂǁĞůůͲĞƐƚĂďůŝƐŚĞĚǁŽƌŬĨůŽǁƚŚĂƚ>LJŶĚĂƉĞƌĨŽƌŵƐĂƐƉĂƌƚŽĨĂŐƌĞĞŵĞŶƚƐǁŝƚŚ
ŶĞŝŐŚďŽƌŝŶŐĂŐĞŶĐŝĞƐĂŶĚůĂŵĞĚĂŽƵŶƚLJ͕ĂŶĚĨŽůůŽǁĂǁĞůůͲĚŽĐƵŵĞŶƚĞĚϯϬͲĚĂLJĐLJĐůĞ
;ƌŝŐŚƚͿƚŚĂƚĨŽůůŽǁƐƚŚĞŵŽŶƚŚůLJƌĞůĞĂƐĞŽĨƚŚĞĂƐƐĞƐƐŽƌ͛ƐĚĂƚĂ͘ůůůŝŶĞĂŶĚƉŽůLJŐŽŶĨĞĂƚƵƌĞ
ůĂLJĞƌƐǁŝůůďĞĞŶƚĞƌĞĚďLJĐŽŽƌĚŝŶĂƚĞŐĞŽŵĞƚƌLJŵĞƚŚŽĚƐ;K'KͿĂŶĚƐƉůŝĐĞĚŝŶƚŽƚŚĞĞdžŝƐƚŝŶŐ
ĨĞĂƚƵƌĞĐůĂƐƐĞƐƵƐŝŶŐĂŶĂĨĨŝŶĞŵĞƚŚŽĚ͕ĐŽŶƚƌŽůƉŽŝŶƚƐĂŶĚͬŽƌƚŚĞϮϬϮϬŽƵŶƚLJĞƌŝĂů
ŝŵĂŐĞƌLJ͘
tĞƉƌŽƉŽƐĞƚŽŝŵƉůĞŵĞŶƚ ^Z/͛ƐŝƐƚƌŝďƵƚĞĚĂƚĂďĂƐĞƚŽŽůƐ;ƚǁŽͲǁĂLJƌĞƉůŝĐĂƚŝŽŶĂŶĚƐLJŶĐŚƌŽŶŝnjĂƚŝŽŶŝŶ
ĂĚŝƐĐŽŶŶĞĐƚĞĚĞŶǀŝƌŽŶŵĞŶƚͿƚŽŚĞůƉŵĂŶĂŐĞƚŚĞĐŽŽƌĚŝŶĂƚŝŽŶďĞƚǁĞĞŶ>LJŶdžĂŶĚƚŚĞŝƚLJ͘dŚŝƐǁŝůů
ƐŝŵƉůŝĨLJĚĂƚĂĞdžĐŚĂŶŐĞďLJƚƌĂĐŬŝŶŐĐŚĂŶŐĞƐ͕ĂŶĚƐĞŶĚŝŶŐͬƌĞĐĞŝǀŝŶŐƐŵĂůůyD>ĨŝůĞƐƚŽƚƌĂŶƐĨĞƌŶĞǁŽƌ
ĐŚĂŶŐĞĚĐŽŶƚĞŶƚ͘tĞĂƌĞƵƐŝŶŐƚŚŝƐŵĞƚŚŽĚŶŽǁĨŽƌƚŚĞŝƚLJŽĨ>ŝǀĞƌŵŽƌĞĂŶĚŝŵƉůĞŵĞŶƚŝŶŐŝƚĨŽƌŝƚLJ
ŽĨWůĞĂƐĂŶƚŽŶ͛ƐĚĂƚĂƚŚĂƚǁĞŵĂŝŶƚĂŝŶ͘
ϯϬĂLJLJĐůĞ
92
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&ŝŶĂůůLJ͕>LJŶdžǁŝůůŵĂŶĂŐĞƚŚĞƐLJŶĐŚƌŽŶŝnjĂƚŝŽŶŽĨdLJůĞƌ ĚĞŶďƵƐŝŶĞƐƐĂŶĚƉĞƌŵŝƚĚĂƚĂǁŝƚŚ'/^ŽŶĂ
ŵŽŶƚŚůLJďĂƐŝƐŝŶĂĚĚŝƚŝŽŶƚŽƚŚĞďĂƐĞůĂLJĞƌŵĂŝŶƚĞŶĂŶĐĞůŝƐƚĞĚĂďŽǀĞ͘tĞƵŶĚĞƌƐƚĂŶĚƚŚĂƚŝƐĂĐŽŵƉůĞdž
ƚĂƐŬ͕ŽŶĞƚŚĂƚŚĂƐƐĞǀĞƌĂůŝŶƚĞƌŵĞĚŝĂƚĞƐƚĂŐŝŶŐƉƌŽĚƵĐƚƐŚŽǁĞǀĞ ƌ͕ǁĞŬŶŽǁƚŚĂƚƚŚŝƐĚĂƚĂŝƐĂĐƌŝƚŝĐĂů
ƉĂƌƚŽĨƚŚĞǁĞďͲďĂƐĞĚ'/^ĐŽŶƚĞŶƚƚŚĂƚƚŚĞ'/^hƐĞƌĐŽŵŵƵŶŝƚLJĚĞƉĞŶĚƐŽŶ͘DŽƌĞŽǀĞƌ͕ǁĞďĞůŝĞǀĞƚŚĂƚ
ƚŚŝƐŝƐĂŶŝŶƚĞŐƌĂůƐƚĞƉŽĨƚŚĞŵĂŝŶƚĞŶĂŶĐĞƉƌŽĐĞƐƐĂŶĚŝŶĐůƵĚŝ ŶŐŝƚĂƐƉĂƌƚŽĨ>LJŶdž͛ƐŵŽŶƚŚůLJ
ƌĞƐƉŽŶƐŝďŝůŝƚLJŝƐĂƉƉƌŽƉƌŝĂƚĞ͘<ŶŽǁůĞĚŐĞƚƌĂŶƐĨĞƌƚŽ>LJŶdž͕ĂĚĚŝƚŝŽŶĂůƐƚĂĨĨ͕ĂŶĚĂĚĞƋƵĂƚĞĐƌĞĚĞŶƚŝĂůƐǁŝůů
ďĞĂƐƐŝŐŶĞĚƚŽƚŚŝƐƐƚĂŐĞĂƐĚĞƚĞƌŵŝŶĞĚďLJƚŚĞ/dDĂŶĂŐĞƌ͘
;ϭͿŝŐŝƚĂůŽŶǀĞƌƐŝŽŶĂŶĚDĂŝŶƚĞŶĂŶĐĞŽĨƚŚĞŝƚLJ͛ƐĂƚĂʹ,ĞůƉĚĞƐŬdŝĐŬĞƚƐ
KƚŚĞƌůĂLJĞƌŵĂŝŶƚĞŶĂŶĐĞ͕ŶĞǁĐŽŶƚĞŶƚ͕ŵĂƉƌĞƋƵĞƐƚƐ͕ĂĚŚŽĐƌĞƋƵĞƐƚƐ͕'/^ĂŶĂůLJƐŝƐĞƚĐ͘ǁŝůůďĞ
ƉƌŽĐĞƐƐĞĚďLJ^ƚĞĨĂŶŝĞ'ĞĞ͕ƚŚƌŽƵŐŚƚŚĞŝƚLJ͛Ɛ/d,ĞůƉĚĞƐŬƐLJƐƚĞŵ͘&ƌĂŶŬůŽŵ͕ ƌŝĐŽůůĞĂŶĚŽƚŚĞƌ>LJŶdž
ƚĞĐŚŶŝĐŝĂŶƐĐĂŶďĞĞŵƉůŽLJĞĚĂƐƌĞƋƵŝƌĞĚďƵƚŽƵƌĞdžƉĞƌŝĞŶĐĞŚĂƐďĞĞŶƚŚĂƚĂĚĚŝƚŝŽŶĂůŚĞůƉŝƐŶŽƚ
ŶĞĐĞƐƐĂƌLJĨŽƌ,ĞůƉĚĞƐŬƚĂƐŬƐ͘ƐŵĞŶƚŝŽŶĞĚĂďŽǀĞ͕DƐ͘'ĞĞǁŝůůůŽŐŝŶƚŽƚŚĞ,ĞůƉĚĞƐŬƐLJƐƚĞŵĚĂŝůLJƚŽ
ůŽŽŬĨŽƌĐƌŝƚŝĐĂůƚŝĐŬĞƚƐ͘tŚĞŶƚŚĞƐĞŽĐĐƵƌ͕ĂŶĚƚŚĞLJĂƌĞƌĞƋƵĞƐƚŝŶŐĂŽŶĞͲŽƌƚǁŽͲĚĂLJƚƵƌŶĂƌŽƵŶĚ͕>LJŶdž
ǁŝůůŵĂŬĞĞǀĞƌLJĂƚƚĞŵƉƚƚŽƉƌŽĐĞƐƐƚŚĞƌĞƋƵĞƐƚǁŝƚŚŝŶƚŚĞƌĞƋƵĞƐƚĞĚƚŝŵĞĨƌĂŵĞ͘/ĨƚŚĂƚŝƐŶŽƚƉŽƐƐŝďůĞ͕
ĂƚĂŵŝŶŝŵƵŵ͕DƐ͘'ĞĞǁŝůůƌĞĂĐŚŽƵƚƚŽƚŚĞŝƚLJƐƚĂĨĨƉĞƌƐŽŶŵĂŬŝŶŐƚŚĞƌĞƋƵĞƐƚƚŽŝŶĨŽƌŵƚŚĞŵǁŚĞŶ
ƚŚĞLJĐĂŶĞdžƉĞĐƚƚŚĞũŽďĐĂŶďĞĐŽŵƉůĞƚĞĚ͘
&ŽƌůĞƐƐƚŝŵĞƐĞŶƐŝƚŝǀĞƚŝĐŬĞƚƐ͕DƐ͘'ĞĞǁŝůůŚĂǀĞϴŚŽƵƌƐƉĞƌǁĞĞŬĚĞĚŝĐĂƚĞĚƚŽƚŚĞŝƚLJŽĨƵďůŝŶĨŽƌ'/^
ŵĂŝŶƚĞŶĂŶĐĞǁŽƌŬ͘^ŚĞǁŝůůďĞĨƌĞĞƚŽǁŽƌŬǁŝƚŚŝƚLJƐƚĂĨĨĚŝƌĞĐƚůLJƚŽĂŶƐǁĞƌĂŶLJƋƵĞƐƚŝŽŶƐ͕ƉƌŽǀŝĚĞ
ƉƌŽĚƵĐƚ;ƐͿĂŶĚŐĞƚŵŽƌĞŝŶĨŽƌŵĂƚŝŽŶ͘/ĨƚŚĞƚŝĐŬĞƚĐĂŶŶŽƚďĞĐů ŽƐĞĚǁŝƚŚŝŶƚŚĞƐĂŵĞĚĂLJ͕ĂĐŽŵŵĞŶƚǁŝůů
ďĞĂĚĚĞĚƚŽƚŚĞƚŝĐŬĞƚƚŽƌĞĨůĞĐƚƚŚĞĐƵƌƌĞŶƚƐƚĂƚƵƐ͘
/ĨĂůůdŝĐŬĞƚƐĂƌĞƉƌŽĐĞƐƐĞĚĂŶĚĐůŽƐĞĚ͕ƐŚĞǁŝůůƵƐĞƚŚĂƚƚŝŵĞƚŽǁŽƌŬŽŶŽƚŚĞƌƉƌŽũĞĐƚƐĨƌŽŵƚŚĞdĂƐŬ
KƌĚĞƌƚƌĂĐŬŝŶŐƐŚĞĞƚĚŝƐĐƵƐƐĞĚĂďŽǀĞ͘&ŽƌĞdžĂŵƉůĞ͕ƚŚĞƐƚŽƌŵĚƌĂŝŶƐLJƐƚĞŵŝƐŵŝƐƐŝŶŐŵĂŶLJĂƚƚƌŝďƵƚĞƐ
ĂŶĚƐŚĞĐŽƵůĚƵƐĞƚŚĞƌĞŵĂŝŶŝŶŐďƵĚŐĞƚĞĚƚŝŵĞƚŽƵƉĚĂƚĞƚŚĞĂƐƐĞƚƐďLJǁŽƌŬŝŶŐƚŚƌŽƵŐŚƚŚĞĂƐͲďƵŝůƚ
ĚƌĂǁŝŶŐƐƚŽĨŝůůŝŶŵŝƐƐŝŶŐƉƌŽĨŝůĞĚĂƚĂ;ƌŝŵĂŶĚŝŶǀĞƌƚĞůĞǀĂƚŝŽŶƐ͕ƐůŽƉĞ͕ĚĞƉƚŚ͕ĞƚĐ͘Ϳ͘
;ϭͿŝŐŝƚĂůŽŶǀĞƌƐŝŽŶĂŶĚDĂŝŶƚĞŶĂŶĐĞŽĨƚŚĞŝƚLJ͛ƐĂƚĂʹWƌŽũĞĐƚĂƐĞĚdĂƐŬKƌĚĞƌƐ
džƚĞŶĚĞĚƉƌŽũĞĐƚƐƚŚĂƚƌĞƋƵŝƌĞŵŽƌĞƚŚĂŶĂĨĞǁǁĞĞŬƐǁŝůůƌĞƋƵŝƌĞĂƚŚŝƌĚĂƉƉƌŽĂĐŚ͘tĞƉƌŽƉŽƐĞĂůŝƐƚ
ŽĨƉŽƚĞŶƚŝĂůƚĂƐŬƐĂƚƚŚĞĞŶĚŽĨŽƵƌƉƌŽƉŽƐĂůƚŚĂƚĨŝƚŝŶƚŚŝƐĐĂƚĞŐŽƌLJ͖ŽƚŚĞƌůŽŶŐͲƚĞƌŵƚĂƐŬƐŝŶĐůƵĚĞƐŽŵĞ
ŽĨƚŚĞ'/^ ŶƚĞƌƉƌŝƐĞĞƐŝŐŶĂŶĚ^ƚƌĂƚĞŐLJƉƌŽũĞĐƚƐƚŚĂƚĂƌĞĚŝƐĐƵƐƐĞĚŝŶƚŚĞŶĞdžƚƐĞĐƚŝŽŶ͘ĞƉĞŶĚŝŶŐŽŶ
ƚŚĞƐĐŽƉĞŽĨƚŚĞƚĂƐŬ͕ĂƐŝŵƉůĞĞŵĂŝůĞdžĐŚĂŶŐĞĚĞƚĂŝůŝŶŐƚŚĞƌĞƋƵĞƐƚĂŶĚĞƐƚŝŵĂƚĞĚƚŝŵĞƐŚŽƵůĚƐƵĨĨŝĐĞ͖
ĨŽƌŽƚŚĞƌƉƌŽũĞĐƚƐǁĞǁŝůůĨŽůůŽǁƚŚĞƉƌŽĐĞĚƵƌĞĚŝƐĐƵƐƐĞĚĂďŽǀĞ;ƐĞĞWƌŽũĞĐƚDĂŶĂŐĞŵĞŶƚͿƚŽĨŽƌŵĂůůLJ
ĂĚŽƉƚĂƉůĂŶ͕ƐLJƐƚĞŵƐƐƉĞĐŝĨŝĐĂƚŝŽŶ͕ĂŶĚďƵĚŐĞƚ͘KŶĐĞƚŚĞƉƌŽũĞĐƚŝƐŝŶŝƚŝĂƚĞĚ͕ƐƚĂƚƵƐŽĨƚŚĞƉƌŽũĞĐƚǁŝůů
ďĞƌĞƉŽƌƚĞĚƚŽƚŚĞ/dDĂŶĂŐĞƌĂƐƉĂƌƚŽĨƚŚĞďŝͲǁĞĞŬůLJŵĞĞƚŝŶŐƐ͘
dŚĞƐĐŽƉĞŽĨůŽŶŐͲƚĞƌŵƚĂƐŬƐǁŝůůǀĂƌLJĐŽŶƐŝĚĞƌĂďůLJĂŶĚĂŶŝŵƉŽƌƚĂŶƚĐŽŶƐŝĚĞƌĂƚŝŽŶŝƐƐƚĂĨĨŝŶŐĂŶĚ
ďƵĚŐĞƚ͘KƵƌƉƌŽũĞĐƚĞĚĐŽƐƚŝƐΨϳϱ͕ϬϬϬƉĞƌLJĞĂƌǁŝƚŚĂďŽƵƚϴϱйĚĞĚŝĐĂƚĞĚƚŽǁĂƌĚƐŵĂŝŶƚĞŶĂŶĐĞ
ŽƉĞƌĂƚŝŽŶƐ͕ƚŚƵƐΨϭϬ͕ϬϬϬĐŽƵůĚďĞŝŶǀĞƐƚĞĚŝŶůŽŶŐĞƌƚĞƌŵƉƌŽũĞĐƚƐ͘
93
/dzK&h>/E'/^^ Zs/ ^Ϯϱ
^ƵŵŵĂƌLJŽĨĞůŝǀĞƌĂďůĞƐdĂƐŬϭ͗
ϯϬͲĚĂLJĚĞůŝǀĞƌLJƵƉĚĂƚĞĐLJĐůĞĨŽƌĐŽƌĞůĂLJĞƌƐ
ϭʹϮͲĚĂLJƚƵƌŶĂƌŽƵŶĚƚŝŵĞĨŽƌĐƌŝƚŝĐĂů,ĞůƉĚĞƐŬƚŝĐŬĞƚƐ
ĞĚŝĐĂƚĞĚϴͲŚŽƵƌƐƉĞƌǁĞĞŬƚŽƉƌŽĐĞƐƐĂĚŚŽĐĂŶĚůŽŶŐĞƌͲƚĞƌŵ,ĞůƉĚĞƐŬƚŝĐŬĞƚƐ
ϮŵŝŶŝŵƵŵƐƚĂĨĨĚĞĚŝĐĂƚĞĚƚŽ'/^ĚĂƚĂŵĂŝŶƚĞŶĂŶĐĞ
;ϮͿdĞĐŚŶŝĐĂů^ƵƉƉŽƌƚĂŶĚ<ŶŽǁůĞĚŐĞdƌĂŶƐĨĞƌĨŽƌƚŚĞŝƚLJ͛Ɛ džŝƐƚŝŶŐ'/^ ŶƚĞƌƉƌŝƐĞ
^LJƐƚĞŵ
WĂƚƌŝĐŬ<ĞůůĞŚĞƌǁŝůůůĞĂĚƚŚĞĞĨĨŽƌƚƚŽŵĞĞƚƚŚĞƌĞƋƵŝƌĞŵĞŶƚƐŽĨƚŚŝƐƚĂƐŬ͘Dƌ͘<ĞůůĞŚĞƌŚĂƐĂǁŽƌŬŝŶŐ
ŬŶŽǁůĞĚŐĞŽĨƚŚĞŝƚLJ͛ƐĞdžŝƐƚŝŶŐƌĐ'/^ ŶƚĞƌƉƌŝƐĞͬ'ĞŽĐŽƌƚĞdž ƐƐĞŶƚŝĂůƐĂƌĐŚŝƚĞĐƚƵƌĞĂŶĚŚĂƐĞŝŐŚƚ;ϴͿ
LJĞĂƌƐŽĨĞdžƉĞƌŝĞŶĐĞŝŶƚŚŝƐƌĞĂůŵŝŶƚĞŶ;ϭϬͿŽƚŚĞƌĐŝƚŝĞƐ͘,ĞǁŝůůďĞĂďůĞƚŽƉƌŽǀŝĚĞŝŵŵĞĚŝĂƚĞĂƐƐŝƐƚĂŶĐĞ
ŵĂŝŶƚĂŝŶŝŶŐ͕ƚƌŽƵďůĞƐŚŽŽƚŝŶŐĂŶĚƉƌŽǀŝĚŝŶŐĚĞǀĞůŽƉŵĞŶƚƐƵƉƉŽƌƚ͘tĞĂƌĞĂǁĂƌĞŽĨĂƐŵĂůůƉƌĞƐĞŶĐĞŝŶ
ƚŚĞƌĐ'/^KŶůŝŶĞ;'K>ͿƐƉĂĐĞ͘>LJŶdžŚĂƐďĞĞŶǁŽƌŬŝŶŐŝŶƚŚŝƐĂƌĞŶĂĨŽƌƚŚĞůĂƐƚƐĞǀĞŶLJĞĂƌƐĂŶĚ
ƉƌĞƉĂƌĞĚƚŽŚĞůƉĚĞǀĞůŽƉŽƌƉƌŽǀŝĚĞƌĞĐŽŵŵĞŶĚĂƚŝŽŶƐƚŽĞdžƉĂŶĚƚŚĞŝƚLJ͛ƐƉƌĞƐĞŶĐĞ͘^ŝŵŝůĂƌůLJ͕ǁĞĂƌĞ
ƵŶĂǁĂƌĞŝĨƚŚĞŝƚLJŚĂƐĚĞƉůŽLJĞĚƌĐ'/^WŽƌƚĂů͕ŽƌŚĂƐƉůĂŶƐƚŽĚŽƐŽ͘Dƌ͘<ĞůůĞŚĞƌŚĂƐŝŵƉůĞŵĞŶƚĞĚ
ƐŝŶŐůĞŵĂĐŚŝŶĞƌĐ'/^WŽƌƚĂůďĂƐĞĚĞƉůŽLJŵĞŶƚƐĨŽƌƚǁŽƐŝƚĞƐŝŶƚŚĞůĂƐƚƚǁŽLJĞĂƌƐ͕ĂŶĚŝƐǁŽƌŬŝŶŐǁŝƚŚŝŶ
ƚŚŝƐƌĞĂůŵĨŽƌƚŚĞŝƚLJŽĨDĞŶůŽWĂƌŬ͘ƵƌƌĞŶƚůLJ>LJŶdžƵƐĞƐƐƵďĐŽŶƐƵůƚĂŶƚƐƚŽŝŵƉůĞŵĞŶƚƐƵĐŚĂƐ ^Z/
^ŽůƵƚŝŽŶƐƌĐŚŝƚĞĐƚƐ;^ĂĐƌĂŵĞŶƚŽͿ͘
dŚĞĨŽůůŽǁŝŶŐĚŝƐĐƵƐƐŝŽŶŝƐŽƵƌƉƌĞƐĐƌŝƉƚŝŽŶƚŽĂŶĂůLJnjĞƚŚĞĐƵƌƌĞŶƚ'/^ĞŶǀŝƌŽŶŵĞŶƚĂŶĚĚĞǀĞůŽƉĂƉůĂŶ
ƚŽĞdžƉĂŶĚƚŚĞ'/^ŝŶĨƌĂƐƚƌƵĐƚƵƌĞĂŶĚƵƐĞƌĞdžƉĞƌŝĞŶĐĞ͘
ŽĐƵŵĞŶƚĂƚŝŽŶĂŶĚ<ŶŽǁůĞĚŐĞdƌĂŶƐĨĞƌ͘
>LJŶdžǁŝůůŝŶǀĞŶƚŽƌLJĂŶĚĚŽĐƵŵĞŶƚƚŚĞŝƚLJ͛Ɛ ŶƚĞƌƉƌŝƐĞ'/^ĞŶǀŝƌŽŶŵĞŶƚǁŚŝĐŚǁŝůůŝŶĐůƵĚĞ͗
,ĂƌĚǁĂƌĞĂŶĚ^ŽĨƚǁĂƌĞŝĂŐƌĂŵ
'/^/ŶǀĞŶƚŽƌLJ͕^ĐŚĞŵĂĂŶĚĂƚĂDŽĚĞů
DĞƚĂĚĂƚĂŽĨĂůůĐƵƌƌĞŶƚůĂLJĞƌƐ
tĞĂƌĞǁĞůůĂǁĂƌĞŽĨƚŚĞŚĂƌĚǁĂƌĞŝŶǀĞƐƚŵĞŶƚĚĞǀĞůŽƉĞĚĨŽƌƵďůŝŶ͛Ɛ'/^ĂŶĚĐŽŶĨŝĚĞŶƚƚŚĂƚƚŚŝƐ
ƐƚƌĞŶŐƚŚǁŝůůƐƵƉƉŽƌƚĨƵƚƵƌĞĚĞǀĞůŽƉŵĞŶƚǁŝƚŚŵŝŶŝŵĂůŝŶǀĞƐƚŵĞŶƚ͘/ĨĂĚŝĂŐƌĂŵŵĂƚŝĐƌĞƉƌĞƐĞŶƚĂƚŝŽŶŽĨ
ƚŚĞŚĂƌĚǁĂƌĞĂŶĚƐŽĨƚǁĂƌĞĞdžŝƐƚƐ͕ǁĞĐĂŶĂĚŽƉƚŝƚ͖ĂƐĂŵƉůĞŽĨĂŵŽĚĞůĨƌŽŵƚŚĞŝƚLJŽĨDĞŶůŽWĂƌŬ
ŝůůƵƐƚƌĂƚĞƐŽƵƌƉƌŽƉŽƐĞĚĚĞůŝǀĞƌĂďůĞĂŶĚŝƐŝŶĐůƵĚĞĚŝŶƉƉĞŶĚŝdžŽĨƚŚŝƐƐƵďŵŝƚƚĂů͘
dŚĞ'/^/ŶǀĞŶƚŽƌLJǁŝůůĚŽĐƵŵĞŶƚĂůůůĂLJĞƌƐ͕ƚĂďůĞƐ͕ĚŽŵĂŝŶƐĂŶĚƌĞůĂƚŝŽŶƐŚŝƉƐƉĂƌƚŝĐŝƉĂƚŝŶŐŝŶƚŚĞ'/^
ŝŶĐůƵĚŝŶŐ'K>ĐŽŶƚĞŶƚĂŶĚƌĞŐŝŽŶĂůĚĂƚĂ͘dŚĞƌĞƐƵůƚŝŶŐĚĂƚĂŵŽĚĞůǁŝůůŚĞůƉĐŽŵŵƵŶŝĐĂƚĞƚŚĞĞdžŝƐƚŝŶŐ
ĐŽŶĚŝƚŝŽŶ͕ĂŶĚƉƌŽǀŝĚĞĂƉůĂƚĨŽƌŵƚŽƵƉŐƌĂĚĞĐŽŶƚĞŶƚĂŶĚƐĞƚƚŚ ĞƐƚĂŐĞĨŽƌĨƵƚƵƌĞĂƉƉůŝĐĂƚŝŽŶƐ͘ĂƐĞĚŽŶ
ŽƵƌĞdžƉĞƌŝĞŶĐĞǁŝƚŚƚŚĞŝƚLJ͛ƐĚĂƚĂǁĞƌĞĐŽŵŵĞŶĚŝŵƉŽƐŝŶŐƐƉĞĐŝĨŝĐƐƚĂŶĚĂƌĚƐĨŽƌĂůůůĂLJĞƌƐƐƵĐŚĂƐ͗
ĨŝĞůĚŶĂŵŝŶŐĐŽŶǀĞŶƚŝŽŶ͕ƉƌŝŵĂƌLJŬĞLJƐ͕ĞĚŝƚŽƌƚƌĂĐŬŝŶŐ͕ŵĞƚĂĚĂƚĂ͕ĞƚĐ͘tĞďĞůŝĞǀĞƚŚĂƚƚŚŝƐŶŽƚŽŶůLJ
ŚĞůƉƐƚŚĞƵƐĞƌĞdžƉĞƌŝĞŶĐĞ͕ŝƚŚĞůƉƐǁŝƚŚŵĂŝŶƚĞŶĂŶĐĞĂŶĚǁŝůůĂůƐŽŚĞůƉĨƵƚƵƌĞĂƉƉůŝĐĂƚŝŽŶĚĞǀĞůŽƉŵĞŶƚ
ĂŶĚŝŶƚĞŐƌĂƚŝŽŶ͘
&ŽƌĞdžĂŵƉůĞ͕ƚŚĞ^ƚŽƌŵƌĂŝŶ^LJƐƚĞŵǁĂƐŽƌŝŐŝŶĂůůLJĚŝŐŝƚŝnjĞĚďLJ>LJŶdžŝŶϮϬϬϱĂŶĚƚŚĞƐĐŚĞŵĂŚĂƐŶŽƚ
ŵĂƚĞƌŝĂůůLJĐŚĂŶŐĞĚ͘,ŽǁĞǀĞƌ͕ƚŚŝƐƐĐŚĞŵĂǁŝůůŶŽƚƐƵƉƉŽƌƚƚŚĞĐƵƌƌĞŶƚƐƚŽƌŵǁĂƚĞƌƐŽůƵƚŝŽŶƐĂǀĂŝůĂďůĞ
ŝŶƌĐ'/^͘tĞƌĞĐŽŵŵĞŶĚƵƉŐƌĂĚŝŶŐƚŚĞĚĞƐŝŐŶƐŽƚŚĂƚŝƚŝƐĂůŝŐ ŶĞĚǁŝƚŚƚŚĞĐƵƌƌĞŶƚ ^Z/>'/D͘
94
/dzK&h>/E'/^^ Zs/ ^Ϯϲ
DĞƚĂĚĂƚĂǁŝůůďĞƉŽƉƵůĂƚĞĚĨŽƌĂůůůĂLJĞƌƐĂŶĚƚĂďůĞƐŝŶƚŚĞ'/^ĚĂƚĂďĂƐĞ;ƐͿ͘dŚŝƐǁŝůůŚĞůƉĨĂĐŝůŝƚĂƚĞƵƐĞƌƐ
ǁŝƚŚĂŶƵŶĚĞƌƐƚĂŶĚŝŶŐŽĨĞĂĐŚůĂLJĞƌ͛ƐƋƵĂůŝƚLJĂŶĚŝŶƚĞŐƌŝƚLJ͘dŚŝƐǁŝůůĂůƐŽŚĞůƉƉƵďůŝƐŚŝŶŐƚŽƚŚĞǁĞďĂƐ
ƚŚĞƐĞĚĂƚĂĂƌĞŝŶĐůƵĚĞĚŝŶǁĞďƐĞƌǀŝĐĞƐ͘tĞĨŽůůŽǁƚŚĞ&'ƐƚĂŶĚĂƌĚĂƐǁĞůůĂƐŽƚŚĞƌŚĞůƉĨƵů
ĐŽŶǀĞŶƚŝŽŶƐǁĞŚĂǀĞĚĞǀĞůŽƉĞĚŝŶŽƚŚĞƌĐŝƚŝĞƐ͘
KƵƌŝŶƚĞŶƚŝƐƚŽĐŽŵƉůĞƚĞƚŚŝƐĞĨĨŽƌƚŝŶƚŚĞĨŝƌƐƚϭϬϬĚĂLJƐŽĨŽƵƌĞŶŐĂŐĞŵĞŶƚ͘
ƌĐ'/^ ŶƚĞƌƉƌŝƐĞĂŶĚ'ĞŽĐŽƌƚĞdž ƐƐĞŶƚŝĂůƐdĞĐŚŶŝĐĂů^ƵƉƉŽƌƚ
ƐŵĞŶƚŝŽŶĞĚĂďŽǀĞ͕Dƌ͘<ĞůůĞŚĞƌŚĂƐĞdžƚĞŶƐŝǀĞĞdžƉĞƌŝĞŶĐĞǁŝƚŚƌĐ'/^^ĞƌǀĞƌĂŶĚ'ĞŽĐŽƌƚĞdž ƐƐĞŶƚŝĂůƐ
ĂŶĚǁŝůůďĞĂďůĞƚŽƐƵƉƉŽƌƚƚŚĞ/dDĂŶĂŐĞƌĂŶĚ'/^hƐĞƌĐŽŵŵƵŶŝƚLJǁŝƚŚĂĚŵŝŶŝƐƚƌĂƚŝŽŶ͕ƵƉŐƌĂĚĞƐ͕
ƚƌŽƵďůĞƐŚŽŽƚŝŶŐĂŶĚƵƐĞƌͲĚƌŝǀĞŶƌĞƋƵĞƐƚƐĂŶĚĞŶŚĂŶĐĞŵĞŶƚƐ͘KƵƌƵŶĚĞƌƐƚĂŶĚŝŶŐŝƐƚŚĂƚƚŚĞŝƚLJ
ĐƵƌƌĞŶƚůLJŚĂƐĂǀĞƌLJƌŽďƵƐƚŚĂƌĚǁĂƌĞĞŶǀŝƌŽŶŵĞŶƚĂŶĚŵĂƚƵƌĞĂŶĚƐƚĂďůĞƐŽĨƚǁĂƌĞƉůĂƚĨŽƌŵ
ĐŽŶƐĞƋƵĞŶƚůLJ͕ǁĞďĞůŝĞǀĞƚŚĂƚŽƵƌŵĂŝŶƚĞŶĂŶĐĞĞĨĨŽƌƚǁŝůůďĞŵŝŶŝŵĂůĂŶĚƉƌŝŵĂƌŝůLJŝŶǀŽůǀĞƐŽĨƚǁĂƌĞ
ƵƉŐƌĂĚĞƐ͕ŵĂŝŶƚĞŶĂŶĐĞƉĂƚĐŚĞƐ͕ĂŶĚƚƌŽƵďůĞƐŚŽŽƚŝŶŐ͘^ŽŵĞƵƉŐƌĂĚĞƐͬŝŵƉůĞŵĞŶƚĂƚŝŽŶƚŚĂƚŵĂLJďĞ
ƌĞƋƵŝƌĞĚŝŶĐůƵĚĞ͗
ƌĐ'/^^ĞƌǀĞƌĐƵƌƌĞŶƚǀĞƌƐŝŽŶ͗ϭϬ͘ϴ͘ϭ
'ĞŽĐŽƌƚĞdž ƐƐĞŶƚŝĂůƐĐƵƌƌĞŶƚǀĞƌƐŝŽŶ͗ϰ͘ϭϰ͘ϭ
'ĞŽĐŽƌƚĞdž,dD>ϱsŝĞǁĞƌĐƵƌƌĞŶƚǀĞƌƐŝŽŶ͗ϰ͘ϭϰ
'ĞŽĐŽƌƚĞdžtŽƌŬĨůŽǁŽŶͲƉƌĞŵŝƐĞ͗ϱ͘ϭϵ
'ĞŽĐŽƌƚĞdžZĞƉŽƌƚŝŶŐŽŶͲƉƌĞŵŝƐĞ͗ϱ͘ϭϬ
ƌĐ'/^ĞƐŬƚŽƉΘ>ŝĐĞŶƐĞDĂŶĂŐĞƌ͗ϭϬ͘ϴ͘ϭ
ƌĐ'/^WƌŽĐƵƌƌĞŶƚǀĞƌƐŝŽŶ͗Ϯ͘ϳ
ƌĐ'/^^ĞƌǀĞƌƐĞĐƵƌŝƚLJƐŚŽƵůĚďĞƌĞǀŝĞǁĞĚĂŶĚ͕ŝĨŶĞĐĞƐƐĂƌLJ͕>LJŶdžǁŝůůǁŽƌŬǁŝƚŚƚŚĞ/dDĂŶĂŐĞƌƚŽƐĞƚ
ƵƉhƐĞƌƐĂŶĚZŽůĞƐĂŶĚŝŵƉŽƐĞƚŽŬĞŶƐĞĐƵƌŝƚLJŽŶĞdžŝƐƚŝŶŐĨĞĂƚƵƌĞƐĞƌǀŝĐĞƐƚŽƉƌĞǀĞŶƚŝŶĂĚǀĞƌƚĞŶƚ
ĐŽƌƌƵƉƚŝŽŶŽĨĚĂƚĂ͘
tĞĂƌĞĂůƐŽǀĞƌLJĨĂŵŝůŝĂƌǁŝƚŚƌĐ'/^WƌŽĂŶĚĐĂŶŚĞůƉŚŝŐŚͲůĞǀĞů'/^hƐĞƌƐƚƌĂŶƐŝƚŝŽŶĨƌŽŵƌĐ'/^
ĞƐŬƚŽƉƚŽƚŚŝƐƉůĂƚĨŽƌŵ͘
ZĞĐŽŵŵĞŶĚĂƚŝŽŶƐ
tĞŚĂǀĞĞdžƉĞƌŝĞŶĐĞŝŶƚŚĞĂĚĚŝƚŝŽŶĂůŝŵƉůĞŵĞŶƚĂƚŝŽŶƐůŝƐƚĞĚ
ďĞůŽǁ͘dŚĞƐĞƚŽŽůƐĂƌĞŶŽƚƌĞƋƵŝƌĞĚĨŽƌƚŚĞĞdžŝƐƚŝŶŐƐLJƐƚĞŵďƵƚ
ĂƌĞĐŽŵŵŽŶŝŵƉůĞŵĞŶƚĂƚŝŽŶƐǁĞŚĂǀĞǁŽƌŬĞĚǁŝƚŚĨŽƌŽƚŚĞƌ
ŝƚŝĞƐ͘/ĨƚŚĞŝƚLJŝƐƉůĂŶŶŝŶŐƚŽĞdžƉĂŶĚŝƚƐ'/^ĨŽŽƚƉƌŝŶƚŝŶƚŽ
ĂĚĚŝƚŝŽŶĂůƉůĂƚĨŽƌŵƐ͕ƚŚĞƐĞŽĨĨĞƌƌĞůĂƚŝǀĞůLJĨĂƐƚĚĞǀĞůŽƉŵĞŶƚƐ
ƚŚĂƚĐĂŶďĞŝŶĐůƵĚĞĚǁŝƚŚŝŶŽƵƌƉƌŽƉŽƐĞĚƐĐŽƉĞŽĨǁŽƌŬ͘
KƉĞŶĂƚĂWŽƌƚĂů͘dŚŝƐƚŽŽůǁŽƵůĚŽƉĞŶƚŚĞ'/^
ĞŶǀŝƌŽŶŵĞŶƚƚŽƚŚĞƉƵďůŝĐďLJƉƌŽǀŝĚŝŶŐĂĐĞŶƚƌĂůŝnjĞĚ
ůŽĐĂƚŝŽŶƚŽĂĐĐĞƐƐĚŽǁŶůŽĂĚĂďůĞĚĂƚĂ͘dŚĞĨŝŐƵƌĞƚŽ
ƚŚĞƌŝŐŚƚŝƐŽŶĞĞdžĂŵƉůĞ͕^ĂŶĞŶŝƚŽŽƵŶƚLJ͕ĂĐƵƌƌĞŶƚ
ĐůŝĞŶƚŚĂƐŝŵƉůĞŵĞŶƚĞĚ͘
95
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ďĞůŝĞǀĞŝƚŝƐƵŶĚĞƌͲƵƚŝůŝnjĞĚ͘KǀĞƌƚŚĞƉĂƐƚĨĞǁLJĞĂƌƐ͕ǁĞŚĂǀĞǁŽƌŬĞĚǁŝƚŚĐŝƚŝĞƐƚŚĂƚŝŶĐůƵĚĞ
'K>ĐĂƉĂďŝůŝƚŝĞƐǁŝƚŚ'ĞŽĐŽƌƚĞdžƐŝƚĞĚĞǀĞůŽƉŵĞŶƚ͘DŽƐƚƵƐĞƌƐĐŽŶƚŝŶƵĞƚŽĞŶũŽLJƚŚĞ
ĐĞŶƚƌĂůŝnjĞĚĂƉƉƌŽĂĐŚĂŶĚƌŝĐŚĐĂƉĂďŝůŝƚŝĞƐƚŚĂƚ'ĞŽĐŽƌƚĞdž ƐƐĞŶƚŝĂůƐŽĨĨĞƌƐ͕ŚŽǁĞǀĞƌ͕ƚĂƌŐĞƚĞĚ
ĂƉƉůŝĐĂƚŝŽŶƐƚŚĂƚĂƌĞĂǀĂŝůĂďůĞŝŶ'K>ƉƌŽǀŝĚĞĂŶĂĚĚŝƚŝŽŶĂůƚŽŽůĨŽƌĂƐƉĞĐŝĨŝĐĂƵĚŝĞŶĐĞ͘dŚĞ
ƐŶĂƉƐŚŽƚďĞůŽǁŝƐŽŶĞĞdžĂŵƉůĞŽĨĂŶŽƉĞƌĂƚŝŽŶĂůĚĂƐŚďŽĂƌĚĨƌŽŵDĞŶůŽWĂƌŬ͛ƐWŽƌƚĂů'ĂůůĞƌLJ͘
dŚŝƐĂůůŽǁƐŝƚLJDĂŶĂŐĞƌ͛ƐKĨĨŝĐĞƐƚĂĨĨƚŽŐĞƚĂƋƵŝĐŬƉŝĐƚƵƌĞŽĨĐƵƌƌĞŶƚƐĂůĞŚŝƐƚŽƌLJ͘dŚĞĂƉƉ
ĐŽŶƐƵŵĞƐƚŚĞƐĂŵĞĨĞĂƚƵƌĞƐĞƌǀŝĐĞĂƐ'ĞŽĐŽƌƚĞdž ƐƐĞŶƚŝĂůƐƵƐĞƌƐďƵƚĂƉƉůŝĞĚƵƐŝŶŐŽƵƚͲŽĨͲƚŚĞͲ
ďŽdžƚŽŽůƐĂǀĂŝůĂďůĞŝŶ'K>ĂŶĚWŽƌƚĂů͘
/ŶƚĞŐƌĂƚĞ'ĞŽĐŽƌƚĞdžǁŝƚŚƌĐ'/^KŶůŝŶĞĂŶĚĐŽŶĨŝŐƵƌĞƐŝŶŐůĞͲƐŝŐŶŽŶĂƵƚŚĞŶƚŝĐĂƚŝŽŶ͘
ŽŶĨŝŐƵƌĞƌĐ'/^WŽƌƚĂůĂƐĞĞƉůŽLJŵĞŶƚŝŶĂ^ŝŶŐůĞ^ĞƌǀĞƌ^ƚĂŐŝŶŐ ŶǀŝƌŽŶŵĞŶƚ͘dŚŝƐ
ŝŵƉůĞŵĞŶƚĂƚŝŽŶǁŽƵůĚƉƌŽǀŝĚĞĂŶŽƉƉŽƌƚƵŶŝƚLJƚŽƐƚƌĞƐƐƚĞƐƚĂĨƵůůĚĞƉůŽLJŵĞŶƚĂŶĚĂůůŽǁĨŽƌ
ĐĂƉĂĐŝƚLJƉůĂŶŶŝŶŐĂŶĚĚĞƐŝŐŶǁŝƚŚŽƵƚŝŵƉĂĐƚŝŶŐƚŚĞƌĞƐƚŽĨƚŚĞƌĐ'/^ ŶƚĞƌƉƌŝƐĞ͘
ŽŶƐŝĚĞƌ&ŝĞůĚƉƉƐƵƚŝůŝnjŝŶŐ^ƵƌǀĞLJϭϮϯĂŶĚ'K>ŽůůĞĐƚŽƌĂƉƉ͘>LJŶdžǁŽƵůĚŝŶƚĞƌǀŝĞǁ
^ƚĂŬĞŚŽůĚĞƌƐƉĂƌƚŝĐƵůĂƌůLJǁŝƚŚŝŶWƵďůŝĐtŽƌŬƐƚŽƚĞƐƚƚŚĞůĞǀĞůŽĨŝŶƚĞƌĞƐƚ͘tĞŚĂǀĞĚĞǀĞůŽƉĞĚ
ĂƉƉůŝĐĂƚŝŽŶƐĨŽƌ^ƚƌĞĂŵDĂŝŶƚĞŶĂŶĐĞ͕KƵƚĨĂůů/ŶƐƉĞĐƚŝŽŶƐĂŶĚ,ŽŵĞůĞƐƐ ŶĐĂŵƉŵĞŶƚƐĨŽƌ
ŽƚŚĞƌĐůŝĞŶƚƐ͘
^ƵŵŵĂƌLJŽĨĞůŝǀĞƌĂďůĞƐdĂƐŬϮ͗
'ĞŽĚĂƚĂďĂƐĞĂƚĂDŽĚĞůŽĨ džŝƐƚŝŶŐ
ĂƚĂďĂƐĞ;ƐͿ
&'DĞƚĂĚĂƚĂ
ƉƉůLJ'ĞŽĚĂƚĂďĂƐĞ^ƚĂŶĚĂƌĚƐĂŶĚ
^ĐŚĞŵĂhƉŐƌĂĚĞƐ
^ŽĨƚǁĂƌĞhƉŐƌĂĚĞƐ
/ŵƉůĞŵĞŶƚKƉĞŶĂƚĂWŽƌƚĂů
ŽŶĨŝŐƵƌĞƌĐ'/^KŶůŝŶĞ^ŝƚĞĂŶĚƉƉƐ
ƌĐ'/^WŽƌƚĂůĂƐĞĞƉůŽLJŵĞŶƚŽŶ
^ƚĂŐŝŶŐ ŶǀŝƌŽŶŵĞŶƚ^ĞƌǀĞƌ
96
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;ϯͿD ĂŝŶƚĂŝŶtĞďͲĂƐĞĚ'/^ĂƉƉǁŝƚŚƌĐ'/^ ŶƚĞƌƉƌŝƐĞ͕ĂŶĚ'ĞŽĐŽƌƚĞdž͖/ŶƚĞŐƌĂƚĞǁŝƚŚ
ŽƚŚĞƌƵƐŝŶĞƐƐ^LJƐƚĞŵƐ
WĂƚƌŝĐŬ<ĞůůĞŚĞƌǁŝůůĂůƐŽƌĞƉƌĞƐĞŶƚ>LJŶdždĞĐŚŶŽůŽŐŝĞƐƚŽǁŽƌŬǁŝƚŚŝŶƚŚĞĐƵƌƌĞŶƚƌĐ'/^ ŶƚĞƌƉƌŝƐĞͬ
'ĞŽĐŽƌƚĞdž ƐƐĞŶƚŝĂůƐ&ƌĂŵĞǁŽƌŬƚŽŝŶƚĞŐƌĂƚĞ'/^ǁŝƚŚƚŚĞŝƚLJ͛ƐĚŝĨĨĞƌĞŶƚďƵƐŝŶĞƐƐƐLJƐƚĞŵƐ͘ƐĚŝƐĐƵƐƐĞĚ
ĂďŽǀĞ͕Dƌ͘<ĞůůĞŚĞƌŚĂƐŽǀĞƌĞŝŐŚƚLJĞĂƌƐŽĨĞdžƉĞƌŝĞŶĐĞǁŽƌŬŝŶŐǁŝƚŚďŽƚŚŽĨƚŚĞƐĞĂƉƉůŝĐĂƚŝŽŶƐ͕ĂŶĚŚĂƐ
ǁŽƌŬĞĚƚŽŝŶƚĞŐƌĂƚĞ'/^ǁŝƚŚŵĂŶLJĐŽŵŵŽŶŐŽǀĞƌŶŵĞŶƚďƵƐŝŶĞƐƐƐLJƐƚĞŵƐŽǀĞƌƚŚĞůĂƐƚϯϬLJĞĂƌƐ͘,Ğ
ŚĂƐǁŽƌŬĞĚĐůŽƐĞůLJǁŝƚŚƚŚĞ/dDĂŶĂŐĞƌŝŶƚŚĞƉĂƐƚ͕ĂŶĚƐƉĞŶƚŵĂŶLJŚŽƵƌƐĚŝƐĐƵƐƐŝŶŐĂŶĚůĞĂƌŶŝŶŐƚŚĞ
ĐƵƌƌĞŶƚĂƵƚŽŵĂƚĞĚǁŽƌŬĨůŽǁƐƚŚĂƚŚĞůƉŝŶƚĞŐƌĂƚĞƚŚĞdLJůĞ ĚĞŶƉĞƌŵŝƚĂŶĚďƵƐŝŶĞƐƐĨŝŶĂŶĐĞƐŽĨƚǁĂƌĞ
ǁŝƚŚ'/^͖ƚŚĂƚĞĨĨŽƌƚǁŝůůďĞĂŶĂĚǀĂŶƚĂŐĞĨŽƌĨƵƌƚŚĞƌĚĞǀĞůŽƉŵĞŶƚ͘/ŶĚĞĞĚ͕ŽƵƌŐŽĂůŝƐďĞĐŽŵƉůĞƚĞůLJ
ƐĞůĨͲƐƵĨĨŝĐŝĞŶƚǁŝƚŚƚŚĞƉƌŽƉŽƐĞĚƉĂƌĐĞůͬĂĚĚƌĞƐƐͬŽǁŶĞƌ;WKͿǁŽƌŬĨůŽǁŽŶĂĐŽŶƐŝƐƚĞŶƚϯϬͲĚĂLJĐLJĐůĞ͘
tĞŚĂǀĞŶŽƚǁŽƌŬĞĚǁŝƚŚƚŚĞƵĚĞ^ŽůƵƚŝŽŶƐDD^ƐŽĨƚǁĂƌĞ͘,ŽǁĞǀĞƌ͕ǁĞŚĂǀĞĞdžƉĞƌŝĞŶĐĞǁŝƚŚŵŽƐƚ
ŽĨƚŚĞDD^ǀĞŶĚŽƌƐĂƐĚĞƐĐƌŝďĞĚĂďŽǀĞ͕ĂŶĚƚŚĞƉƌĞǀĂŝůŝŶŐĐŽŶǀĞŶƚŝŽŶŝƐƚŽŵĂŶĂŐĞŝŶƚĞŐƌĂƚŝŽŶďLJ
ƉƌŽǀŝĚŝŶŐĨĞĂƚƵƌĞƐĞƌǀŝĐĞƐǀŝĂZ ^d͘tĞƚLJƉŝĐĂůůLJĂůůŽǁƚŚĞǀĞŶĚŽƌƚŽƌĞǀŝĞǁƚŚĞĐƵƌƌĞŶƚƐĞƌǀŝĐĞĂŶĚͬŽƌ
ŵĞĞƚǁŝƚŚƚŚĞŵƚŽƐĞĞŝĨƐĐŚĞŵĂĐŚĂŶŐĞƐŽƌŽƚŚĞƌĐŚĂƌĂĐƚĞƌŝƐƚŝĐƐĂƌĞƌĞƋƵŝƌĞĚ;ŶƵŵďĞƌŽĨƐĞƌǀŝĐĞƐ͕
ĚLJŶĂŵŝĐǀƐƚŝůĞĚ͕ĐŽŽƌĚŝŶĂƚĞƐLJƐƚĞŵ͕ĞƚĐ͘Ϳ͘>LJŶdžŚĂƐƐƚĂƌƚĞĚƚŚŝƐƉƌŽĐĞƐƐǁŝƚŚdLJůĞƌ>D^ĨŽƌƚŚĞŝƚLJŽĨ
'ŝůƌŽLJ͕ŝƚLJŽĨ>ŝǀĞƌŵŽƌĞ͛ƐWƵďůŝĐtŽƌŬƐEĞdž'ĞŶ͕ĂŶĚƚŚĞŝƚLJŽĨ ŵĞƌLJǀŝůůĞ͛Ɛ>ƵĐŝƚLJDD^͘
tĞĂůƐŽŚĂǀĞǁŽƌŬŝŶŐĞdžƉĞƌŝĞŶĐĞǁŝƚŚ>ĂƐĞƌĨŝĐŚĞŝŶƚŚĞŝƚŝĞƐŽĨ>ŝǀĞƌŵŽƌĞ͕>ŽƐ'ĂƚŽƐ͕^ĂŶDĂƚĞŽĂŶĚ
sŝƐƚĂƵƐŝŶŐĚŝĨĨĞƌĞŶƚŵĞƚŚŽĚƐƚŽŝŶƚĞŐƌĂƚĞǁŝƚŚ'ĞŽĐŽƌƚĞdž ƐƐĞŶƚŝĂůƐĂŶĚƵƚŽĚĞƐŬ͛ƐDĂƉ'ƵŝĚĞ͘
'ĞŽĐŽƌƚĞdžtŽƌŬĨůŽǁĂŶĚZĞƉŽƌƚŝŶŐĂƌĞĂůƐŽƚŽŽůƐƚŽŚĞůƉĞdžƚĞŶĚƚŚĞ'/^hƐĞƌĞdžƉĞƌŝĞŶĐĞ͘Dƌ͘<ĞůůĞŚĞƌ
ŚĂƐďĞĞŶǁŽƌŬŝŶŐŝŶƚŚŝƐĞŶǀŝƌŽŶŵĞŶƚĨŽƌŵĂŶLJLJĞĂƌƐĂŶĚŝƐĞĂŐĞƌƚŽǁŽƌŬǁŝƚŚŝƚLJƚŽĐŽŶƚŝŶƵĞƚŽƵƐĞ
ƚŚĞƐĞƚŽŽůƐƚŽƐŽůǀĞĐŽŵƉůĞdžƉƌŽďůĞŵƐ͘tĞďĞůŝĞǀĞƚŚĂƚĂƵƐĞƌͲĚƌŝǀĞŶĂƉƉƌŽĂĐŚǁŝůůƐĞƌǀĞƚŚĞŝƚLJŵŽƐƚ
ĞĨĨŝĐŝĞŶƚůLJƐŽƚŚĂƚǁĞĐĂŶƚĂƌŐĞƚŽƵƌƚŝŵĞƚŽĚĞǀĞůŽƉĂĐŽŵƉůĞdžƌĞƉŽƌƚ͕ƐƉĞĐŝĨŝĐŵĂƉƚĞŵƉůĂƚĞ͕Žƌ
ĂƵƚŽŵĂƚĞĂǁŽƌŬĨůŽǁƚŚĂƚĨŝůůƐĂƐƉĞĐŝĨŝĐŝƚLJƐƚĂĨĨŶĞĞĚ͘dŚĞŽƵŶĐŝůͬŽĂƌĚŽŶĨůŝĐƚŽĨ/ŶƚĞƌĞƐƚŵĂƉŝƐ
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ƚŚĞƚŽŽůĂůƐŽƉƵďůŝƐŚĞƐĂŵĂƉƐŚŽǁŝŶŐƚŚĞďƵĨĨĞƌĞĚƐĞůĞĐƚŝŽŶĂŶĚƚŚĞƐƵďũĞĐƚƉĂƌĐĞů͘
tŚĞƚŚĞƌĂƉƌŽƉŽƐĞĚƚĂƐŬŝŶǀŽůǀĞƐĂŶŝŶƚĞŐƌĂƚŝŽŶ͕'ĞŽĐŽƌƚĞdžtŽƌŬĨůŽǁŽƌZĞƉŽƌƚ͕ŽƌĂŶĞǁǁĞďƐĞƌǀŝĐĞ͕
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ZĞĐŽŵŵĞŶĚĂƚŝŽŶƐ
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ŚŽƵƌƐĂŶĚďƵĚŐĞƚĂŵŽƵŶƚƐŝŶƚŚĞĐŚĂƌƚĂďŽǀĞĂƌĞďĂƐĞĚŽŶĂƐŚŽƉƌĂƚĞĨŽƌƚŚĞϮϬϮϭͬϮϬϮϮĨŝƐĐĂůLJĞĂƌŽĨ
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ϮϬϮϭͬϮϬϮϮΨϳϱ
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ϮϬϮϯͬϮϬϮϰΨϴϱ
ϮϬϮϰͬϮϬϮϱΨϴϱ
ϮϬϮϱͬϮϬϮϲΨϴϱ
ŝƐĐƵƐƐŝŽŶ͘ƵďůŝŶǁŝůůƌĞĐĞŝǀĞŝŶǀŽŝĐĞƐŽŶĂŵŽŶƚŚůLJďĂƐŝƐ͕ƚĞƌŵƐĂƌĞEĞƚϯϬ͘ ĂĐŚŝŶǀŽŝĐĞǁŝůůŝŶĐůƵĚĞƚŚĞ
ĚĂƚĞ͕ŚŽƵƌƐǁŽƌŬĞĚƚŽƚŚĞЬͲŚŽƵƌ͕ƚŚĞƐƚĂĨĨƉĞƌƐŽŶĂŶĚĚĞƐĐƌŝƉƚŝŽŶŽĨǁŽƌŬ͘
>LJŶdždĞĐŚŶŽůŽŐŝĞƐ͛ƉŽůŝĐLJŝƐƚŽďŝůůĨŽƌŚŽƵƌƐǁŽƌŬĞĚĂŶĚƚŚĞƌĞĨŽƌĞƚŚĞǁŽƌŬƐŚĞĞƚĂďŽǀĞŝƐĂŐƵŝĚĞƚŽ
ĐŽŶƐƚƌĂŝŶŚŽƵƌƐĂŶĚƉĞƌƐŽŶŶĞůĂĐƌŽƐƐϯĚŝƐƚƌŝďƵƚĞĚƚĂƐŬƐ͘/ŶŽƚŚĞƌǁŽƌĚƐ͕ƚŚĞŚŽƵƌƐĂďŽǀĞĂƌĞŶŽƚƐĞƚ
ĂŵŽƵŶƚƐ͕ĂŶĚǁŝůůĨůƵĐƚƵĂƚĞďĂƐĞĚŽŶƚŚĞďĂƐĞŵĂƉŵĂŝŶƚĞŶĂŶĐĞĂŶĚŚĞůƉĚĞƐŬƚŝĐŬĞƚƐƐƵďŵŝƚƚĞĚĞĂĐŚ
ŵŽŶƚŚ͘dŚŝƐƉƌŽǀŝĚĞƐƚŚĞŝƚLJǁŝƚŚƚŚĞŽƉƚŝŽŶƚŽĞŝƚŚĞƌĚĞĚŝĐĂƚĞƚŚĞƌĞŵĂŝŶŝŶŐďƵĚŐĞƚĞĚŚŽƵƌƐƚŽdĂƐŬ
KƌĚĞƌƐĂŶĚůŽŶŐͲƚĞƌŵƉƌŽũĞĐƚƐ͕ƌĞƐĞƌǀĞƚŚĞƐĞŚŽƵƌƐĨŽƌůĂƚĞƌ͕ŽƌŶŽƚƵƐĞƚŚĞŵĂƚĂůů͘
&ŝŶĂůůLJ͕ƚŚĞǁŽƌŬƐŚĞĞƚŝƐŝŶƚĞŶĚĞĚƚŽĐŽŵŵƵŶŝĐĂƚĞƚŚĞŚŽƵƌƐƚŽďĞĚĞĚŝĐĂƚĞĚƚŽƚŚĞŝƚLJ͕ƌŽƵŐŚůLJϭ͘ϱ&d
ŽǀĞƌϯ>LJŶdžƐƚĂĨĨŵĞŵďĞƌƐ͘ĚĚŝƚŝŽŶĂůƐƚĂĨĨƚŝŵĞĐĂŶďĞŝŶĐƌĞĂƐĞĚǁŝƚŚĂĚĚŝƚŝŽŶĂůďƵĚŐĞƚĂƐĚŝƌĞĐƚĞĚďLJ
ƚŚĞŝƚLJ͘
100
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Ɛƚŝŵ ĂƚŝŶŐŽƐƚƐ
ϭĂͿ/ƚĞŵ,ŽƵƌƐZĂƚĞŽƐƚŽŵŵĞŶƚ
ϱϬ>Žƚ^ƵďĚŝǀŝƐŝŽŶ
dƌĂĐƚŽƵŶĚĂƌLJ ϭ Ψϳϱ Ψϳϱ
ůŽƐĞĚƚƌĂǀĞƌƐĞ͕ůĞĂƐƚƐƋƵĂƌĞƐĂĚũƵƐƚŵĞŶƚ͕
ƌĞƐŝĚƵĂůƐƌĞƉŽƌƚĞĚŝĨх͘ϬϬϭ
WĂƌĐĞů>ŽƚƐϳΨϳϱΨϱϮϱ^ĞƉĂƌĂƚĞĚŝŶƚŽZͬtĂŶĚWĂƌĐĞů>ŽƚƐ
ĐŽŶƐŝƐƚĞŶƚǁŝƚŚĞdžŝƐƚŝŶŐƚŚĞŵĞƐ
WĂƌĐĞůWŽůLJŐŽŶ ϭ Ψϳϱ Ψϳϱ
^ƚƌĞĞƚĞŶƚĞƌůŝŶĞϭΨϳϱΨϳϱ
ƚƚƌŝďƵƚĞƐƉŽƉƵůĂƚĞĚĐŽŶƐŝƐƚĞŶƚǁŝƚŚ
ĐƵƌƌĞŶƚƌĞƋƵŝƌĞŵĞŶƚƐĨŽƌŽƵŶƚLJĂŶĚůŽĐĂů
ƉƵďůŝĐƐĂĨĞƚLJƌĞƋƵŝƌĞŵĞŶƚƐ
^ƚƌĞĞƚEĂŵĞ Ϭ͘ϱ Ψϳϱ Ψϯϴ
ĚĚƌĞƐƐWŽŝŶƚϬ͘ϱΨϳϱΨϯϴƚƚƌŝďƵƚĞƐƉŽƉƵůĂƚĞĚĐŽŶƐŝƐƚĞŶƚǁŝƚŚ
ĐƵƌƌĞŶƚƐĐŚĞŵĂ
ĚĚƌĞƐƐŶŶŽƚĂƚŝŽŶ Ϭ͘Ϯϱ Ψϳϱ Ψϭϵ
KƌŝĞŶƚĂƚŝŽŶĂŶĚĐůĂƐƐŝĨŝĐĂƚŝŽŶďĂƐĞĚŽŶ
ĐƵƌƌĞŶƚƌĞƋƵŝƌĞŵĞŶƚƐ
YͬYϬ͘ϱΨϳϱΨϯϴdŽƉŽůŽŐLJŚĞĐŬ
^ƉůŝĐŝŶŐ ϭ͘ϱ Ψϳϱ Ψϭϭϯ
^ƵďͲƚŽƚĂůϭϯ͘ϮϱΨϵϵϰ
KǀĞƌŚĞĂĚ
ϭϱй Ψϭϰϵ
/ŶĐůƵĚĞƐƉƌŽũĞĐƚŵĂŶĂŐĞŵĞŶƚĂŶĚ
ŵĂƚĞƌŝĂůĐŽƐƚ
dŽƚĂůΨϮ͕ϭϯϳ
ϭďͿ/ƚĞŵ,ŽƵƌƐZĂƚĞŽƐƚŽŵŵĞŶƚ
hƚŝůŝƚLJDĂƉŽŶǀĞƌƐŝŽŶ
EŽƚĞ͗ƚƚƌŝďƵƚĞƐĨŽƌĂůůƐLJƐƚĞŵƐŝŶĐůƵĚĞƉůĂŶĂŶĚƉƌŽĨŝůĞ͕ĂŶĚǁŝůůĨŽůůŽǁĐƵƌƌĞŶƚƐĐŚĞŵĂĂƐǁĞůůƐĂƐĂƐĞĐŽŶĚ
ĚĞůŝǀĞƌLJŝŶƚŚĞƐĐŚĞŵĂƐƵƉƉŽƌƚĞĚďLJƚŚĞĐƵƌƌĞŶƚDD^ĂƉƉůŝĐĂƚŝŽŶ͖ĐŽƐƚĨŽƌƐƵĐŚŝŶĐůƵĚĞĚŝŶKǀĞƌŚĞĂĚ͘
tĂƚĞƌ
DĂŝŶƐ;ϱ͕ϮϴϬΖͿ ϲ Ψϳϱ ΨϰϱϬ
>ĂƚĞƌĂůƐĂŶĚDĞƚĞƌƐ
;ϱϬͿϮΨϳϱΨϭϱϬ
&ŝƌĞ,LJĚƌĂŶƚƐ;ϱͿ ϭ Ψϳϱ Ψϳϱ
sĂůǀĞƐϭ͘ϱΨϳϱΨϭϭϯEŽƚƐƉĞĐŝĨŝĞĚďƵƚĂƉƉůLJƚLJƉŝĐĂůƐĐĞŶĂƌŝŽ
&ŝƚƚŝŶŐƐ ϭ͘ϱ Ψϳϱ Ψϭϭϯ EŽƚƐƉĞĐŝĨŝĞĚďƵƚĂƉƉůLJƚLJƉŝĐĂůƐĐĞŶĂƌŝŽ
ZĞĐLJĐůĞĚtĂƚĞƌ
DĂŝŶƐ;ϱ͕ϮϴϬΖͿ ϲ Ψϳϱ ΨϰϱϬ
&ŝƌĞ,LJĚƌĂŶƚƐ;ϱͿϬ͘ϱΨϳϱΨϯϴ
sĂůǀĞƐ ϭ͘ϱ Ψϳϱ Ψϭϭϯ EŽƚƐƉĞĐŝĨŝĞĚďƵƚĂƉƉůLJƚLJƉŝĐĂůƐĐĞŶĂƌŝŽ
&ŝƚƚŝŶŐƐϭ͘ϱΨϳϱΨϭϭϯEŽƚƐƉĞĐŝĨŝĞĚďƵƚĂƉƉůLJƚLJƉŝĐĂůƐĐĞŶĂƌŝŽ͕
ĂƐĞĚŽŶǀĞƌĂŐĞdƌĂĐƚ
101
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ϭďͿ/ƚĞŵ,ŽƵƌƐZĂƚĞŽƐƚŽŵŵĞŶƚ
^ĂŶŝƚĂƌLJ^ĞǁĞƌ
DĂŝŶƐ;ϱ͕ϮϴϬΖͿ ϰ Ψϳϱ ΨϯϬϬ
>ĂƚĞƌĂůƐ;ϱϬͿϭΨϳϱΨϳϱ
DĂŶŚŽůĞƐ;ϭϳͿ ϭ Ψϳϱ Ψϳϱ
^ƉĞĐŝĨŝĐĂƚŝŽŶŚĂƐϭďƵƚƵƐŝŶŐƚLJƉŝĐĂůƌĞĂĐŚ
;ϯϬϬΖͿ
^ƚŽƌŵƌĂŝŶ
DĂŝŶƐ;ϱ͕ϮϴϬΖͿ ϲ Ψϳϱ ΨϰϱϬ
/ŶůĞƚƐ;ϯϱͿϯΨϳϱΨϮϮϱ
DĂŶŚŽůĞƐ;ϮϬͿ ϭ͘ϱ Ψϳϱ Ψϭϭϯ ^ƉĞĐŝĨŝĐĂƚŝŽŶŚĂƐϭďƵƚƵƐŝŶŐƚLJƉŝĐĂůƚƌĂĐƚ
&ŝƚƚŝŶŐƐ;ϱͿϬ͘ϮϱΨϳϱΨϭϵEŽƚƐƉĞĐŝĨŝĞĚďƵƚĂƉƉůLJƚLJƉŝĐĂůƐĐĞŶĂƌŝŽ
^ƉůŝĐŝŶŐ ϭ Ψϳϱ Ψϳϱ
YͬYϭΨϳϱΨϳϱŽŶŶĞĐƚŝǀŝƚLJ
^ƵďͲƚŽƚĂů ϰϬ͘Ϯϱ Ψϯ͕Ϭϭϵ
KǀĞƌŚĞĂĚΨϬΨϰϱϯ/ŶĐůƵĚĞƐƉƌŽũĞĐƚŵĂŶĂŐĞŵĞŶƚĂŶĚ
ŵĂƚĞƌŝĂůĐŽƐƚ
dŽƚĂů
Ψϯ͕ϰϲϵ
ϭĐͿ/ƚĞŵ,ŽƵƌƐZĂƚĞŽƐƚŽŵŵĞŶƚ
ƌĐ'/^ ŶƚĞƌƉƌŝƐĞĂƐĞĞƉůŽLJŵĞŶƚΎ
,ĂƌĚǁĂƌĞ^LJƐƚĞŵ
ŽŶĨŝŐƵƌĂƚŝŽŶϰ Ψϳϱ ΨϯϬϬ
^^>ĞƌƚŝĨŝĐĂƚĞƐ͕ŚĞĐŬ,ĂƌĚǁĂƌĞĂŶĚ//^
^LJƐƚĞŵ^ƉĞĐŝĨŝĐĂƚŝŽŶƐ
/ŶƐƚĂůůŽŶĨŝŐƵƌĞ
^ĞƌǀĞƌϰΨϳϱΨϯϬϬ
/ŶƐƚĂůůŽŶĨŝŐƵƌĞWŽƌƚĂů ϰ Ψϳϱ ΨϯϬϬ
ŽŶĨŝŐƵƌĞtĞď
ĚĂƉƚŽƌƐϭΨϳϱΨϳϱ
/ŶƐƚĂůůĂŶĚŽŶĨŝŐƵƌĞ
ĂƚĂ^ƚŽƌĞϰ Ψϳϱ ΨϯϬϬ
&ĞĚĞƌĂƚĞ^ĞƌǀĞƌƐϭΨϳϱΨϳϱ
dŽƚĂů ϭϴ Ψϭ͕ϯϱϬ
ΎZĞĐŽŵŵĞŶĚĂƚŝŽŶƐ
&Žƌ^ŝŶŐůĞDĂĐŚŝŶĞĂƐĞĞƉůŽLJŵĞŶƚĞdžƉĂŶĚŵĞŵŽƌLJƚŽϯϮ'ĂŶĚϮϱϬDŽĨƐƚŽƌĂŐĞĐĂƉĂĐŝƚLJ͕ŵŽŶŝƚŽƌ
WhĂŶĚŵĞŵŽƌLJƵƐĂŐĞĨŽƌĂůůƚŝĞƌƐďĞĨŽƌĞĐŽŶƐŝĚĞƌŝŶŐĞdžƉĂŶĚŝŶŐƌĞƐŽƵƌĐĞƐ;ŵĂĐŚŝŶĞƐͿĂŶĚůŝĐĞŶƐŝŶŐ
ƌĞƋƵŝƌĞŵĞŶƚƐ͘ZĞƐŽƵƌĐĞĐŽŶƚĞŶƚŝŽŶďĞƚǁĞĞŶƉƉƚŝĞƌĂŶĚĂƚĂƚŝĞƌǁŝůůďĞƚŚĞŵŽƐƚůŝŬĞůLJƌĞĂƐŽŶĨŽƌ
ĞdžƉĂŶƐŝŽŶ͘KƚŚĞƌĐŽŶƐŝĚĞƌĂƚŝŽŶƐ͗,ŝŐŚĂǀĂŝůĂďŝůŝƚLJĂŶĚĨĂŝůŽǀĞƌƉƌŽƚĞĐƚŝŽŶ;ƵƐŝŶŐŽĨĨƐŝƚĞƉĂƐƐŝǀĞŵĞƚŚŽĚͿ͕
^ƚĂŐŝŶŐͬĞǀĞůŽƉŵĞŶƚƐĞƌǀĞƌ͘ŽŶƐŝĚĞƌƌĐ'/^DŽŶŝƚŽƌƚŽďƵŝůĚŵĞƚƌŝĐƐĨŽƌĞdžƉĂŶƐŝŽŶ͘
102
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^ĐŚĞĚƵůĞ
ĚŝĂŐƌĂŵŵĂƚŝĐƌĞƉƌĞƐĞŶƚĂƚŝŽŶŽĨŽƵƌƚĞĂŵĨŽƌƚŚĞϭϮͲŵŽŶƚŚƚĞƌŵŝƐŝůůƵƐƚƌĂƚĞĚďĞůŽǁ͗
ϯϬͲĚĂLJƐĐŚĞĚƵůĞĨŽƌďĂƐĞŵĂƉDĂŝŶƚĞŶĂŶĐĞ͖ǁŝƚŚŝŶϭϬĚĂLJƐĂĨƚĞƌƚŚĞƐƐĞƐƐŽƌƉŽƐƚƐĚĂƚĂ
;>LJŶĚĂͿ͘
,ĞůƉĚĞƐŬƚŝĐŬĞƚƐŵŽŶŝƚŽƌĞĚĚĂŝůLJ͕ĐƌŝƚŝĐĂůƉƌŽĚƵĐƚƐƉƌŽĚƵĐĞĚǁŝƚŚŝŶϭͲϮĚĂLJƐŝĨƉŽƐƐŝďůĞ
;^ƚĞĨĂŶŝĞͿ͘
,ĞůƉĚĞƐŬƚŝĐŬĞƚƐĚĞĚŝĐĂƚĞĚϴͲŚŽƵƌƐƉĞƌǁĞĞŬ͕ĂŶLJƌĞŵĂŝŶŝŶŐƚŝŵĞŐŽĞƐƚŽǁĂƌĚdĂƐŬKƌĚĞƌƐ
;^ƚĞĨĂŶŝĞͿ͘
^ƚĂƚƵƐDĞĞƚŝŶŐƐ͘dǁŝĐĞƉĞƌŵŽŶƚŚ͕ϭͲŚƌ;ŵĂdžͿĞĂĐŚ͘;WĂƚƌŝĐŬͿ
dĂƐŬKƌĚĞƌƐ͘'/^/ŶĨƌĂƐƚƌƵĐƚƵƌĞ͕ĂƚĂďĂƐĞĚŵŝŶŝƐƚƌĂƚŝŽŶ͕'ĞŽĐŽƌƚĞdžtŽƌŬ͕ƌĐ'/^^ĞƌǀĞƌ͕
/ŶƚĞŐƌĂƚŝŽŶ͕ĞƚĐ͘ϭϴŚŽƵƌƐƉĞƌŵŽŶƚŚŵŝŶŝŵƵŵ͘dĂƐŬKƌĚĞƌƐƉƌŽũĞĐƚůŝƐƚ;WĂƚƌŝĐŬ͕^ƚĞĨĂŶŝĞͿ͘
ŽŶĨŝƌŵĂƚŝŽŶŽĨŝƚLJZĞƋƵŝƌĞŵĞŶƚƐ
>LJŶdždĞĐŚŶŽůŽŐŝĞƐĂĐŬŶŽǁůĞĚŐĞƐƚŚĂƚWĂƚƌŝĐŬ<ĞůůĞŚĞƌŝƐĂƵƚŚŽƌŝnjĞĚƚŽƌĞƉƌĞƐĞŶƚƚŚĞĐŽŵƉĂŶLJ͕ŚĂƐƌĞĂĚ
ƚŚĞŝƚLJ͛Ɛ^ƚĂŶĚĂƌĚŽŶƐƵůƚŝŶŐŐƌĞĞŵĞŶƚĂŶĚ/ŶƐƵƌĂŶĐĞZĞƋƵŝƌĞŵĞŶƚƐ͕ĂŶĚƵŶĐŽŶĚŝƚŝŽŶĂůůLJĂĐĐĞƉƚƐŝƚƐ
ƚĞƌŵƐĂŶĚĐŽŶĚŝƚŝŽŶƐĂŶĚŵĞĞƚƐƚŚĞŝŶƐƵƌĂŶĐĞƌĞƋƵŝƌĞŵĞŶƚƐ͘ƐĂŵƉůĞŽĨŽƵƌŝŶƐƵƌĂŶĐĞĐĞƌƚŝĨŝĐĂƚĞƐŝƐ
ĂƚƚĂĐŚĞĚ͘
103
/dzK&h>/E'/^^ Zs/ ^ϯϱ
ƉƉĞŶĚŝdž
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