100% found this document useful (2 votes)
83 views

SQL-cha

This document provides an introduction to Oracle SQL and PL/SQL. It discusses relational databases and how they are used to store and manage data. It also describes Oracle8, which is an object-relational database management system. The document outlines some basic SQL statements for retrieving data and introduces PL/SQL environments. It is intended as an instructor guide for teaching relational database concepts.

Uploaded by

api-3747778
Copyright
© Attribution Non-Commercial (BY-NC)
Available Formats
Download as PDF, TXT or read online on Scribd
100% found this document useful (2 votes)
83 views

SQL-cha

This document provides an introduction to Oracle SQL and PL/SQL. It discusses relational databases and how they are used to store and manage data. It also describes Oracle8, which is an object-relational database management system. The document outlines some basic SQL statements for retrieving data and introduces PL/SQL environments. It is intended as an instructor guide for teaching relational database concepts.

Uploaded by

api-3747778
Copyright
© Attribution Non-Commercial (BY-NC)
Available Formats
Download as PDF, TXT or read online on Scribd
You are on page 1/ 500

,QWURGXFWLRQWR2UDFOH

64/DQG3/64/

,QVWUXFWRU*XLGH‡9ROXPH

*&

3URGXFWLRQ

6HSWHPEHU

0
Authors &RS\ULJKW‹2UDFOH&RUSRUDWLRQ$ OOULJKWVUHVHUYHG

Neena Kochhar 7KLVGRFXPH QWDWLRQFRQWD LQVSUR SULHWD U\ LQIR UPDWLRQRI2UD FOH&RUSRUDWLRQ,WLVSUR YLGHG

XQGHUD OLFHQVH D JUH H PH QWFRQWDLQLQJUH VWULFWLR QVR QXVH DQGGLVFOR VXUH DQGLVD OVR
Ellen Gravina
SURWH FWHGE\FR S\ ULJKWODZ5HY HUVH H QJLQHH ULQJR IWKH VRIWZDUHLVSUR KLELWH G,IWKLV

GRFXPH QWD WLRQLVGHOLY HUH GWR D86*RY HUQPHQW$JH QF\R IWKH'H SD UWPH QWR I'HIH QVH 

WKHQLWLVGHOLY HUHGZLWK5H VWULFWH G5LJKWVD QGWKH IR OOR ZLQJOHJH QGLVD SSOLFDEOH 
Technical Contributors
and Reviewers 5HVWULFWHG5LJKWV/HJHQG

Anna Atkinson 8VHGXSOLFDWLR QR UGLVFORVXUHE\ WKH*RY HUQPHQWLVVXEMHFWWRUHVWULFWLRQVIRUFRPPHUFLDO

FRPSXWH UVRIWZD UHD QGVKD OOEHGHH PHGWR EH 5HVWULFWH G5LJKWVVR IWZD UHXQGHU)HGHUDO
Donald Bates
OD ZDVVHWIR UWKLQVXESD UDJUDSK F  LL RI')$565LJKWVLQ7H FKQLFDO
Christian Bauwens 'D WDDQG&RPSXWH U6R IWZD UH  2FWREHU 

David Bogdonoff
Gunnar Bohrs 7KLVPD WHULDOR UDQ\ SR UWLRQR ILWPD\ QRWEH FRSLH GLQDQ\ IR UPRUE\D Q\PHD QVZLWKR XW

WKHH[ SUH VVSULRUZ ULWWHQSH UPLVVLR QR I2UD FOH &RUSR UDWLRQ$Q\ R WKH UFR S\ LQJLVD
Jacquelyn Bruce Y LR OD WLR QRIFR S\ ULJKWOD ZD QGPD \UHVXOWLQFLY LOD QGR UFULPLQDOSHQDOWLH V
Alice Chang
Donald DeBoer ,IWKLVGR FXPHQWD WLR QLVGHOLY HUH GWRD86*R Y HUQPHQW$JHQF\QR WZLWKLQWKH

'H SD UWPHQWR I'HIH QVH WKHQLWLVGH OLY H UHGZLWK³5HVWULFWHG5LJKWV´D VGH ILQH GLQ)$5
Anton Dovydaitis
5LJKWVLQ'DWD *HQH UDOLQFOXGLQJ$OWHUQD WH,,, -XQH  
Gillian Elias
Tushar Gadhia 7KHLQIRUPD WLR QLQWKLVGRFXPH QWLVVXEMH FWWR FKD QJHZLWKRXWQRWLFH,I\R XILQGD Q\

Pascal Gibert SUREOH PVLQWKH GRFXPH QWD WLRQSOH DVHUHSRUWWKHPLQZULWLQJWR 2UD FOH(GXFDWLRQ

3UR GXFWV2UD FOH&RUSRUD WLRQ2UD FOH3DUNZD \%R[ 6%5H GZR RG6KRUH V&$
Fred Gomez
2UD FOH&RUSRUD WLRQGRH VQR WZ DUUDQWWKD WWKLVGR FXPHQWLVH UUR UIUH H
Nancy Greenberg
Thierry Guibert 2UD FOH2UDFOH $SSOLFDWLR QV2UD FOH %LOOVR I0DWHULDOV2UDFOH)LQDQFLDOV2UDFOH)RUPV

Denise Hurlburt 2UD FOH*H QH UD O/HGJH U2UDFOH *UD SKLFV2UDFOH +XPDQ5H VR XUFH V2UDFOH (QH UJ\

8SVWUHD P$SSOLFDWLRQV2UD FOH(QH UJ\ $SSOLFD WLR QV2UD FOH 3D UDOOH O6HUY HU2UD FOH
Kuljit Jassar
3UR MH FWV2UDFOH3XUFKD VLQJ2UDFOH 6D OH VDQG0D UNHWLQJ2UD FOH 6HUYHUD QG
Tom Nguyen 6PD UW&OLHQWD UH WUD GH PDUNVRUUHJLVWH UHGWUD GHPDUNVR I2UD FOH&RUSRUD WLRQ
Bryan Roberts
Harry Siegersma $OOR WKHUSUR GXFWVRUFR PSD Q\ QDPHVD UHXVHGIR ULGH QWLILFD WLRQSXUSRVHVRQO\DQGPD\

EHWUDGHPD UNVR IWKH LUUHVSH FWLY HRZQHUV


Vijayanandan Venkatachalam

Publisher
Jerry Brosnan
&RQWHQWV

,QVWUXFWLRQDO*XLGHOLQHV

'HVFULSWLRQRI6QLSSHWV

3UHIDFH

&XUULFXOXP0DS

,QWURGXFWLRQ

2EMHFWLYHV,

6\VWHP'HYHORSPHQW/LIH&\FOH,

'DWD6WRUDJHRQ'LIIHUHQW0HGLD,

5HODWLRQDO'DWDEDVH&RQFHSW,

'HILQLWLRQRI5HODWLRQDO'DWDEDVH,

'DWD0RGHOV,

(QWLW\5HODWLRQVKLS0RGHO,

(QWLW\5HODWLRQVKLS0RGHOLQJ&RQYHQWLRQV,

5HODWLRQDO'DWDEDVH7HUPLQRORJ\,

5HODWLQJ0XOWLSOH7DEOHV,

5HODWLRQDO'DWDEDVH3URSHUWLHV,

&RPPXQLFDWLQJZLWKD5'%068VLQJ64/,

5HODWLRQDO'DWDEDVH0DQDJHPHQW6\VWHP,

2UDFOH2EMHFW5HODWLRQDO'DWDEDVH0DQDJHPHQW6\VWHP,

'HILQLQJDQ2EMHFW,

8VLQJDQ2EMHFW0RGHO,

&KDUDFWHULVWLFVRI2EMHFWV\VWHPV,

2UDFOH&RPSOHWH6ROXWLRQ,

64/6WDWHPHQWV,

$ERXW3/64/,

3/64/(QYLURQPHQW,

7DEOHV8VHGLQWKH&RXUVH,

6XPPDU\,

 :ULWLQJ%DVLF64/6WDWHPHQWV

2EMHFWLYHV

&DSDELOLWLHVRI64/6(/(&76WDWHPHQWV

%DVLF6(/(&76WDWHPHQW

:ULWLQJ64/6WDWHPHQWV

6HOHFWLQJ$OO&ROXPQV

6HOHFWLQJ6SHFLILF&ROXPQV

&ROXPQ+HDGLQJ'HIDXOWV

$ULWKPHWLF([SUHVVLRQV

LLL
8VLQJ$ULWKPHWLF2SHUDWRUV

2SHUDWRU3UHFHGHQFH

8VLQJ3DUHQWKHVHV

'HILQLQJD1XOO9DOXH

1XOO9DOXHVLQ$ULWKPHWLF([SUHVVLRQV

'HILQLQJD&ROXPQ$OLDV

8VLQJ&ROXPQ$OLDVHV

&RQFDWHQDWLRQ2SHUDWRU

8VLQJWKH&RQFDWHQDWLRQ2SHUDWRU

/LWHUDO&KDUDFWHU6WULQJV

8VLQJ/LWHUDO&KDUDFWHU6WULQJV

'XSOLFDWH5RZV

(OLPLQDWLQJ'XSOLFDWH5RZV

64/DQG64/ 3OXV,QWHUDFWLRQ

64/6WDWHPHQWV9HUVXV64/ 3OXV&RPPDQGV

2YHUYLHZRI64/ 3OXV

/RJJLQJ,QWR64/ 3OXV

'LVSOD\LQJ7DEOH6WUXFWXUH

64/ 3OXV(GLWLQJ&RPPDQGV

64/ 3OXV)LOH&RPPDQGV

6XPPDU\

3UDFWLFH2YHUYLHZ

3UDFWLFH

 5HVWULFWLQJDQG6RUWLQJ'DWD

2EMHFWLYHV

/LPLWLQJ5RZV8VLQJD6HOHFWLRQ

/LPLWLQJ5RZV6HOHFWHG

8VLQJWKH:+(5(&ODXVH

&KDUDFWHU6WULQJVDQG'DWHV

&RPSDULVRQ2SHUDWRUV

8VLQJWKH&RPSDULVRQ2SHUDWRUV

2WKHU&RPSDULVRQ2SHUDWRUV

8VLQJWKH%(7:((12SHUDWRU

8VLQJWKH,12SHUDWRU

8VLQJWKH/,.(2SHUDWRU

8VLQJWKH,618//2SHUDWRU

/RJLFDO2SHUDWRUV

8VLQJWKH$1'2SHUDWRU

8VLQJWKH252SHUDWRU

LY
8VLQJWKH1272SHUDWRU

5XOHVRI3UHFHGHQFH

25'(5%<&ODXVH

6RUWLQJLQ'HVFHQGLQJ2UGHU

6RUWLQJE\&ROXPQ$OLDV

6RUWLQJE\0XOWLSOH&ROXPQV

6XPPDU\

3UDFWLFH2YHUYLHZ

3UDFWLFH

 6LQJOH5RZ)XQFWLRQV

2EMHFWLYHV

64/)XQFWLRQV

7ZR7\SHVRI64/)XQFWLRQV

6LQJOH5RZ)XQFWLRQV

&KDUDFWHU)XQFWLRQV

&DVH&RQYHUVLRQ)XQFWLRQV

8VLQJ&DVH&RQYHUVLRQ)XQFWLRQV

&KDUDFWHU0DQLSXODWLRQ)XQFWLRQV

8VLQJWKH&KDUDFWHU0DQLSXODWLRQ)XQFWLRQV

1XPEHU)XQFWLRQV

8VLQJWKH5281')XQFWLRQ

8VLQJWKH7581&)XQFWLRQ

8VLQJWKH02')XQFWLRQ

:RUNLQJZLWK'DWHV

$ULWKPHWLFZLWK'DWHV

8VLQJ$ULWKPHWLF2SHUDWRUVZLWK'DWHV

'DWH)XQFWLRQV

8VLQJ'DWH)XQFWLRQV

&RQYHUVLRQ)XQFWLRQV

,PSOLFLW'DWDW\SH&RQYHUVLRQ

([SOLFLW'DWDW\SH&RQYHUVLRQ

72B&+$5)XQFWLRQZLWK'DWHV

(OHPHQWVRI'DWH)RUPDW0RGHO

8VLQJ72B&+$5)XQFWLRQZLWK'DWHV

72B&+$5)XQFWLRQZLWK1XPEHUV

8VLQJ72B&+$5)XQFWLRQZLWK1XPEHUV

72B180%(5DQG72B'$7()XQFWLRQV

55'DWH)RUPDW

19/)XQFWLRQ

Y
8VLQJWKH19/)XQFWLRQ

'(&2'()XQFWLRQ

8VLQJWKH'(&2'()XQFWLRQ

1HVWLQJ)XQFWLRQV

6XPPDU\

3UDFWLFH2YHUYLHZ

3UDFWLFH

 'LVSOD\LQJ'DWDIURP0XOWLSOH7DEOHV

2EMHFWLYHV

2EWDLQLQJ'DWDIURP0XOWLSOH7DEOHV

:KDW,VD-RLQ"

&DUWHVLDQ3URGXFW

*HQHUDWLQJD&DUWHVLDQ3URGXFW

7\SHVRI-RLQV

:KDW,VDQ(TXLMRLQ"

5HWULHYLQJ5HFRUGVZLWK(TXLMRLQV

4XDOLI\LQJ$PELJXRXV&ROXPQ1DPHV

$GGLWLRQDO6HDUFK&RQGLWLRQV8VLQJWKH$1'2SHUDWRU

8VLQJ7DEOH$OLDVHV

-RLQLQJ0RUH7KDQ7ZR7DEOHV

1RQ(TXLMRLQV

5HWULHYLQJ5HFRUGVZLWK1RQ(TXLMRLQV

2XWHU-RLQV

8VLQJ2XWHU-RLQV

6HOI-RLQV

-RLQLQJD7DEOHWR,WVHOI

6XPPDU\

3UDFWLFH2YHUYLHZ

3UDFWLFH

 $JJUHJDWLQJ'DWD8VLQJ*URXS)XQFWLRQV

2EMHFWLYHV

:KDW$UH*URXS)XQFWLRQV"

7\SHVRI*URXS)XQFWLRQV

8VLQJ*URXS)XQFWLRQV

8VLQJ$9*DQG680)XQFWLRQV

8VLQJ0,1DQG0$;)XQFWLRQV

8VLQJWKH&2817)XQFWLRQ

YL
8VLQJWKH&2817)XQFWLRQ

*URXS)XQFWLRQVDQG1XOO9DOXHV

8VLQJWKH19/)XQFWLRQZLWK*URXS)XQFWLRQV

&UHDWLQJ*URXSVRI'DWD

&UHDWLQJ*URXSVRI'DWD*5283%<&ODXVH

8VLQJWKH*5283%<&ODXVH

*URXSLQJE\0RUH7KDQ2QH&ROXPQ

8VLQJWKH*5283%<&ODXVHRQ0XOWLSOH&ROXPQV

,OOHJDO4XHULHV8VLQJ*URXS)XQFWLRQV

([FOXGLQJ*URXS5HVXOWV

([FOXGLQJ*URXS5HVXOWV+$9,1*&ODXVH

8VLQJWKH+$9,1*&ODXVH

1HVWLQJ*URXS)XQFWLRQV

6XPPDU\

3UDFWLFH2YHUYLHZ

3UDFWLFH

 6XETXHULHV

2EMHFWLYHV

8VLQJD6XETXHU\WR6ROYHD3UREOHP

6XETXHULHV

8VLQJD6XETXHU\

*XLGHOLQHVIRU8VLQJ6XETXHULHV

7\SHVRI6XETXHULHV

6LQJOH5RZ6XETXHULHV

([HFXWLQJ6LQJOH5RZ6XETXHULHV

8VLQJ*URXS)XQFWLRQVLQD6XETXHU\

+$9,1*&ODXVHZLWK6XETXHULHV

:KDW,V:URQJZLWK7KLV6WDWHPHQW"

:LOO7KLV6WDWHPHQW:RUN"

0XOWLSOH5RZ6XETXHULHV

8VLQJ$1<2SHUDWRULQ0XOWLSOH5RZ6XETXHULHV

8VLQJ$//2SHUDWRULQ0XOWLSOH5RZ6XETXHULHV

6XPPDU\

3UDFWLFH2YHUYLHZ

3UDFWLFH

 0XOWLSOH&ROXPQ6XETXHULHV

2EMHFWLYHV

0XOWLSOH&ROXPQ6XETXHULHV

8VLQJ0XOWLSOH&ROXPQ6XETXHULHV

YLL
&ROXPQ&RPSDULVRQV

1RQSDLUZLVH&RPSDULVRQ6XETXHU\

1RQSDLUZLVH6XETXHU\

1XOO9DOXHVLQD6XETXHU\

8VLQJD6XETXHU\LQWKH)520&ODXVH

6XPPDU\

3UDFWLFH2YHUYLHZ

3UDFWLFH

 3URGXFLQJ5HDGDEOH2XWSXWZLWK64/ 3OXV

2EMHFWLYHV

,QWHUDFWLYH5HSRUWV

6XEVWLWXWLRQ9DULDEOHV

8VLQJWKH 6XEVWLWXWLRQ9DULDEOH

8VLQJWKH6(79(5,)<&RPPDQG

&KDUDFWHUDQG'DWH9DOXHVZLWK6XEVWLWXWLRQ9DULDEOHV

6SHFLI\LQJ&ROXPQ1DPHV([SUHVVLRQVDQG7H[WDW5XQWLPH

8VLQJWKH 6XEVWLWXWLRQ9DULDEOH

'HILQLQJ8VHU9DULDEOHV

7KH$&&(37&RPPDQG

8VLQJWKH$&&(37&RPPDQG

'(),1(DQG81'(),1(&RPPDQGV

8VLQJWKH'(),1(&RPPDQG

&XVWRPL]LQJWKH64/ 3OXV(QYLURQPHQW

6(7&RPPDQG9DULDEOHV

6DYLQJ&XVWRPL]DWLRQVLQWKHORJLQVTO)LOH

64/ 3OXV)RUPDW&RPPDQGV

7KH&2/801&RPPDQG

8VLQJWKH&2/801&RPPDQG

&2/801)RUPDW0RGHOV

8VLQJWKH%5($.&RPPDQG

8VLQJWKH77,7/(DQG%7,7/(&RPPDQGV

&UHDWLQJD6FULSW)LOHWR5XQD5HSRUW

6DPSOH5HSRUW

6XPPDU\

3UDFWLFH2YHUYLHZ

3UDFWLFH

 0DQLSXODWLQJ'DWD

2EMHFWLYHV

'DWD0DQLSXODWLRQ/DQJXDJH

YLLL
$GGLQJD1HZ5RZWRD7DEOH

7KH,16(576WDWHPHQW

,QVHUWLQJ1HZ5RZV

,QVHUWLQJ5RZVZLWK1XOO9DOXHV

,QVHUWLQJ6SHFLDO9DOXHV

,QVHUWLQJ6SHFLILF'DWH9DOXHV

,QVHUWLQJ9DOXHVE\8VLQJ6XEVWLWXWLRQ9DULDEOHV

&UHDWLQJD6FULSWZLWK&XVWRPL]HG3URPSWV

&RS\LQJ5RZVIURP$QRWKHU7DEOH

&KDQJLQJ'DWDLQD7DEOH

7KH83'$7(6WDWHPHQW

8SGDWLQJ5RZVLQD7DEOH

8SGDWLQJZLWK0XOWLSOH&ROXPQ6XETXHU\

8SGDWLQJ5RZV%DVHGRQ$QRWKHU7DEOH

8SGDWLQJ5RZV,QWHJULW\&RQVWUDLQW(UURU

5HPRYLQJD5RZIURPD7DEOH

7KH'(/(7(6WDWHPHQW

'HOHWLQJ5RZVIURPD7DEOH

'HOHWLQJ5RZV%DVHGRQ$QRWKHU7DEOH

'HOHWLQJ5RZV,QWHJULW\&RQVWUDLQW(UURU

'DWDEDVH7UDQVDFWLRQV

$GYDQWDJHVRI&200,7DQG52//%$&.6WDWHPHQWV

&RQWUROOLQJ7UDQVDFWLRQV

,PSOLFLW7UDQVDFWLRQ3URFHVVLQJ

6WDWHRIWKH'DWD%HIRUH&200,7RU52//%$&.

6WDWHRIWKH'DWD$IWHU&200,7

&RPPLWWLQJ'DWD

6WDWHRIWKH'DWD$IWHU52//%$&.

5ROOLQJ%DFN&KDQJHVWRD0DUNHU

6WDWHPHQW/HYHO5ROOEDFN

5HDG&RQVLVWHQF\

,PSOHPHQWDWLRQRI5HDG&RQVLVWHQF\

/RFNLQJ

6XPPDU\

3UDFWLFH2YHUYLHZ

3UDFWLFH

 &UHDWLQJDQG0DQDJLQJ7DEOHV

2EMHFWLYHV

'DWDEDVH2EMHFWV

L[
1DPLQJ&RQYHQWLRQV

7KH&5($7(7$%/(6WDWHPHQW

5HIHUHQFLQJ$QRWKHU8VHU¶V7DEOHV

7KH'()$8/72SWLRQ

&UHDWLQJ7DEOHV

7DEOHVLQWKH2UDFOH'DWDEDVH

4XHU\LQJWKH'DWD'LFWLRQDU\

'DWDW\SHV

&UHDWLQJD7DEOHE\8VLQJD6XETXHU\

7KH$/7(57$%/(6WDWHPHQW

$GGLQJD&ROXPQ

0RGLI\LQJD&ROXPQ

'URSSLQJD7DEOH

&KDQJLQJWKH1DPHRIDQ2EMHFW

7UXQFDWLQJD7DEOH

$GGLQJ&RPPHQWVWRD7DEOH

6XPPDU\

3UDFWLFH2YHUYLHZ

3UDFWLFH

 ,QFOXGLQJ&RQVWUDLQWV

2EMHFWLYHV

:KDW$UH&RQVWUDLQWV"

&RQVWUDLQW*XLGHOLQHV

'HILQLQJ&RQVWUDLQWV

7KH12718//&RQVWUDLQW

7KH81,48(.H\&RQVWUDLQW

7KH35,0$5<.(<&RQVWUDLQW

7KH)25(,*1.(<&RQVWUDLQW

)25(,*1.(<&RQVWUDLQW.H\ZRUGV

7KH&+(&.&RQVWUDLQW

$GGLQJD&RQVWUDLQW

'URSSLQJD&RQVWUDLQW

'LVDEOLQJ&RQVWUDLQWV

(QDEOLQJ&RQVWUDLQWV

9LHZLQJ&RQVWUDLQWV

9LHZLQJWKH&ROXPQV$VVRFLDWHGZLWK&RQVWUDLQWV

6XPPDU\

3UDFWLFH2YHUYLHZ

3UDFWLFH

[
 &UHDWLQJ9LHZV

2EMHFWLYHV

'DWDEDVH2EMHFWV

:KDW,VD9LHZ"

:K\8VH9LHZV"

6LPSOH9LHZVDQG&RPSOH[9LHZV

&UHDWLQJD9LHZ

5HWULHYLQJ'DWDIURPD9LHZ

4XHU\LQJD9LHZ

0RGLI\LQJD9LHZ

&UHDWLQJD&RPSOH[9LHZ

5XOHVIRU3HUIRUPLQJ'0/2SHUDWLRQVRQD9LHZ

8VLQJWKH:,7+&+(&.237,21&ODXVH

'HQ\LQJ'0/2SHUDWLRQV

5HPRYLQJD9LHZ

6XPPDU\

3UDFWLFH2YHUYLHZ

3UDFWLFH

 2WKHU'DWDEDVH2EMHFWV

2EMHFWLYHV

'DWDEDVH2EMHFWV

:KDW,VD6HTXHQFH"

7KH&5($7(6(48(1&(6WDWHPHQW

&UHDWLQJD6HTXHQFH

&RQILUPLQJ6HTXHQFHV

1(;79$/DQG&8559$/3VHXGRFROXPQV

8VLQJD6HTXHQFH

0RGLI\LQJD6HTXHQFH

*XLGHOLQHVIRU0RGLI\LQJD6HTXHQFH

5HPRYLQJD6HTXHQFH

:KDW,VDQ,QGH["

+RZ$UH,QGH[HV&UHDWHG"

&UHDWLQJDQ,QGH[

:KHQWR&UHDWHDQ,QGH[

:KHQ1RWWR&UHDWHDQ,QGH[

&RQILUPLQJ,QGH[HV

5HPRYLQJDQ,QGH[

6\QRQ\PV

&UHDWLQJDQG5HPRYLQJ6\QRQ\PV

6XPPDU\

3UDFWLFH2YHUYLHZ

3UDFWLFH

[L
 &RQWUROOLQJ8VHU$FFHVV

2EMHFWLYHV

&RQWUROOLQJ8VHU$FFHVV

3ULYLOHJHV

6\VWHP3ULYLOHJHV

&UHDWLQJ8VHUV

8VHU6\VWHP3ULYLOHJHV

*UDQWLQJ6\VWHP3ULYLOHJHV

:KDW,VD5ROH"

&UHDWLQJDQG*UDQWLQJ3ULYLOHJHVWRD5ROH

&KDQJLQJ<RXU3DVVZRUG

2EMHFW3ULYLOHJHV

*UDQWLQJ2EMHFW3ULYLOHJHV

8VLQJ:,7+*5$17237,21DQG38%/,&.H\ZRUGV

&RQILUPLQJ3ULYLOHJHV*UDQWHG

+RZWR5HYRNH2EMHFW3ULYLOHJHV

5HYRNLQJ2EMHFW3ULYLOHJHV

6XPPDU\

3UDFWLFH2YHUYLHZ

3UDFWLFH

 64/:RUNVKRS

:RUNVKRS2YHUYLHZ

3UDFWLFH

 'HFODULQJ9DULDEOHV

2EMHFWLYHV

$ERXW3/64/

%HQHILWVRI3/64/

3/64/%ORFN6WUXFWXUH

%ORFN7\SHV

3URJUDP&RQVWUXFWV

8VHRI9DULDEOHV

+DQGOLQJ9DULDEOHVLQ3/64/

7\SHVRI9DULDEOHV

'HFODULQJ3/64/9DULDEOHV

1DPLQJ5XOHV

$VVLJQLQJ9DOXHVWR9DULDEOHV

9DULDEOH,QLWLDOL]DWLRQDQG.H\ZRUGV

6FDODU'DWDW\SHV

%DVH6FDODU'DWDW\SHV

[LL
6FDODU9DULDEOH'HFODUDWLRQV

7KH7<3($WWULEXWH

'HFODULQJ9DULDEOHVZLWKWKH7<3($WWULEXWH

'HFODULQJ%RROHDQ9DULDEOHV

&RPSRVLWH'DWDW\SHV

/2%'DWDW\SH9DULDEOHV

%LQG9DULDEOHV

5HIHUHQFLQJ1RQ3/64/9DULDEOHV

'%06B287387387B/,1(

6XPPDU\

3UDFWLFH2YHUYLHZ

3UDFWLFH

 :ULWLQJ([HFXWDEOH6WDWHPHQWV

2EMHFWLYHV

3/64/%ORFN6\QWD[DQG*XLGHOLQHV

&RPPHQWLQJ&RGH

64/)XQFWLRQVLQ3/64/

3/64/)XQFWLRQV

'DWDW\SH&RQYHUVLRQ

1HVWHG%ORFNVDQG9DULDEOH6FRSH

2SHUDWRUVLQ3/64/

8VLQJ%LQG9DULDEOHV

3URJUDPPLQJ*XLGHOLQHV

&RGH1DPLQJ&RQYHQWLRQV

,QGHQWLQJ&RGH

'HWHUPLQLQJ9DULDEOH6FRSH

6XPPDU\

3UDFWLFH2YHUYLHZ

3UDFWLFH

 ,QWHUDFWLQJZLWKWKH2UDFOH6HUYHU

2EMHFWLYHV

64/6WDWHPHQWVLQ3/64/

6(/(&76WDWHPHQWVLQ3/64/

5HWULHYLQJ'DWDLQ3/64/

0DQLSXODWLQJ'DWD8VLQJ3/64/

,QVHUWLQJ'DWD

8SGDWLQJ'DWD

'HOHWLQJ'DWD

1DPLQJ&RQYHQWLRQV

[LLL
&200,7DQG52//%$&.6WDWHPHQWV

64/&XUVRU

64/&XUVRU$WWULEXWHV

6XPPDU\

3UDFWLFH2YHUYLHZ

3UDFWLFH

 :ULWLQJ&RQWURO6WUXFWXUHV

2EMHFWLYHV

&RQWUROOLQJ3/64/)ORZRI([HFXWLRQ

,)6WDWHPHQWV

6LPSOH,)6WDWHPHQWV

,)7+(1(/6(6WDWHPHQW([HFXWLRQ)ORZ

,)7+(1(/6(6WDWHPHQWV

,)7+(1(/6,)6WDWHPHQW([HFXWLRQ)ORZ

,)7+(1(/6,)6WDWHPHQWV

%XLOGLQJ/RJLFDO&RQGLWLRQV

/RJLF7DEOHV

%RROHDQ&RQGLWLRQV

,WHUDWLYH&RQWURO/2236WDWHPHQWV

%DVLF/RRS

)25/RRS

:+,/(/RRS

1HVWHG/RRSVDQG/DEHOV

6XPPDU\

3UDFWLFH2YHUYLHZ

3UDFWLFH

 :RUNLQJZLWK&RPSRVLWH'DWDW\SHV

2EMHFWLYHV

&RPSRVLWH'DWDW\SHV

3/64/5HFRUGV

&UHDWLQJD3/64/5HFRUG

3/64/5HFRUG6WUXFWXUH

7KH52:7<3($WWULEXWH

$GYDQWDJHVRI8VLQJ52:7<3(

7KH52:7<3($WWULEXWH

3/64/7DEOHV

&UHDWLQJD3/64/7DEOH

3/64/7DEOH6WUXFWXUH

&UHDWLQJD3/64/7DEOH

[LY
8VLQJ3/64/7DEOH0HWKRGV

3/64/7DEOHRI5HFRUGV

6XPPDU\

3UDFWLFH2YHUYLHZ

3UDFWLFH

 :ULWLQJ([SOLFLW&XUVRUV

2EMHFWLYHV

$ERXW&XUVRUV

([SOLFLW&XUVRU)XQFWLRQV

&RQWUROOLQJ([SOLFLW&XUVRUV

'HFODULQJWKH&XUVRU

2SHQLQJWKH&XUVRU

)HWFKLQJ'DWDIURPWKH&XUVRU

&ORVLQJWKH&XUVRU

([SOLFLW&XUVRU$WWULEXWHV

&RQWUROOLQJ0XOWLSOH)HWFKHV

7KH,623(1$WWULEXWH

7KH127)281'DQG52:&2817$WWULEXWHV

&XUVRUVDQG5HFRUGV

&XUVRU)25/RRSV

&XUVRU)25/RRSV8VLQJ6XETXHULHV

6XPPDU\

3UDFWLFH2YHUYLHZ

3UDFWLFH

 $GYDQFHG([SOLFLW&XUVRU&RQFHSWV

2EMHFWLYHV

&XUVRUVZLWK3DUDPHWHUV

7KH)2583'$7(&ODXVH

7KH:+(5(&855(172)&ODXVH

&XUVRUVZLWK6XETXHULHV

6XPPDU\

3UDFWLFH2YHUYLHZ

3UDFWLFH

 +DQGOLQJ([FHSWLRQV

2EMHFWLYHV

+DQGOLQJ([FHSWLRQVZLWK3/64/

+DQGOLQJ([FHSWLRQV

([FHSWLRQ7\SHV

7UDSSLQJ([FHSWLRQV

[Y
7UDSSLQJ([FHSWLRQV*XLGHOLQHV

7UDSSLQJ3UHGHILQHG2UDFOH6HUYHU(UURUV

3UHGHILQHG([FHSWLRQ

7UDSSLQJ1RQ3UHGHILQHG2UDFOH6HUYHU(UURUV

1RQ3UHGHILQHG(UURU

7UDSSLQJ8VHU'HILQHG([FHSWLRQV

8VHU'HILQHG([FHSWLRQ

)XQFWLRQVIRU7UDSSLQJ([FHSWLRQV

&DOOLQJ(QYLURQPHQWV

3URSDJDWLQJ([FHSWLRQV

5$,6(B$33/,&$7,21B(55253URFHGXUH

6XPPDU\

3UDFWLFH2YHUYLHZ

3UDFWLFH

$ 3UDFWLFH6ROXWLRQV

% 7DEOH'HVFULSWLRQVDQG'DWD

,QGH[

[YL


,QVWUXFWLRQDO*XLGHOLQHV
,QVWUXFWLRQDO*XLGHOLQHV


,QVWUXFWLRQDO7HFKQLTXHV7RROVDQG7LSV

,QWURGXFWLRQ

,QWURGXFWLRQWR2UDFOH64/DQG3/64/LVRIWHQWKHILUVWFRXUVHWKDWPDQ\

2UDFOHVWXGHQWVDWWHQG<RXPLJKWEHWKHLUILUVWFRQWDFWZLWKDQ\2UDFOH

SHUVRQQHO

$WWKHVDPHWLPHWKLVPD\EHRQHRIWKHILUVWFRXUVHVWKDW\RXWHDFKDVDQ

2UDFOHLQVWUXFWRUVR\RXPLJKWDSSUHFLDWHVRPHKHOSLQDFKLHYLQJWKHEHVW

SHUIRUPDQFHSRVVLEOHDWDQHDUO\VWDJHRI\RXUFDUHHU

7KHWRROVDQGWLSVLQWKLVVHFWLRQFRPHIURPWKHKLJKO\UHFRPPHQGHG$,7

$GYDQFHG,QVWUXFWLRQDO7HFKQLTXHV FODVVWKDWDORWRILQVWUXFWRUVDWWHQGDW

VRPHVWDJHDIWHUMRLQLQJ2UDFOH(GXFDWLRQ,I\RXDWWHQGWKDWFODVV\RXZLOO

OHDUQDOOWKDWLVKHUH²DQGPXFKPRUH

$LPRI7KLV'RFXPHQW

‡ 7RKHOS\RXPDNHWKLVWKHEHVWWHFKQLFDOFRXUVHWKDWVWXGHQWVKDYHHYHU

DWWHQGHGWRH[FLWHWKHPWROHDUQDQGWRPDNHWKHPZDQWWRFRPHEDFN

IRUPRUH

‡ 7RJLYH\RXVRPHWLSVDQGWHFKQLTXHVWRKHOS\RXYDU\\RXUOHFWXUHVW\OH

DYRLGPRQRWRQ\LQFODVVHVDQGPDNHWKHOHDUQLQJH[SHULHQFHPRUH

HQWHUWDLQLQJDQGLQWHUHVWLQJIRUERWKWKHVWXGHQWVDQG\RXUVHOI

7KLVGRFXPHQWLVQRWDVXEVWLWXWHIRU\RXURZQSHUVRQDOWUDLQLQJDQG

GHOLYHU\LQVWUXFWLRQVWKDW\RXUHFHLYHIURP\RXU(GXFDWLRQGHSDUWPHQW

8VLQJ7KLV'RFXPHQW

1RQHRIWKHVHVXJJHVWLRQVDQGWHFKQLTXHVDUHPDQGDWRU\7KH\DUHVLPSO\

H[DPSOHVRIKRZWRLQWURGXFHYDULHW\DQGFKDQJHRISDFHLQWR\RXUFODVVHV

1RWDOOWHFKQLTXHVVXLWDOOLQVWUXFWRUV&KRRVHWKRVHZLWKZKLFK\RXIHHO

PRVWFRPIRUWDEOH,ISRVVLEOHWHVWWKHWHFKQLTXHVZLWKDIHOORZLQVWUXFWRU

ZKRLVDOVRHDJHUWRHQFRXUDJHLQWHUDFWLYHOHDUQLQJLQWKHFODVVURRP

7RSLFV

‡ 7KH/HDUQLQJ(QYLURQPHQW

‡ ,FHEUHDNHUV

‡ /HFWXUH6W\OHV

‡ 3DUWLFLSDWLRQDQG,QYROYHPHQW

‡ )RUPLQJ(IIHFWLYH4XHVWLRQV

‡ %LEOLRJUDSK\



 ,QWURGXFWLRQWR2UDFOH64/DQG3/64/


7KH/HDUQLQJ(QYLURQPHQW

,QWURGXFWLRQ

(VWDEOLVKDSOHDVDQWDQGHIIHFWLYHOHDUQLQJHQYLURQPHQWDWWKHVWDUWRIDFODVV

7LSVWR,PSURYHWKH&ODVV&OLPDWH

:KHQVWXGHQWVILUVWDUULYHDWDFRXUVHWKH\KDYHGRXEWVFRQFHUQVDQGIHDUV

7RFKDQJHWKHVHQHJDWLYHIHHOLQJVWRSRVLWLYHRQHVDLPWRPDNHVWXGHQWV

IHHOZHOFRPHVDIHFRPIRUWDEOHLPSRUWDQWFRPSHWHQWXQGHUVWRRGDQG

UHVSRQVLEOH7KLQNFDUHIXOO\DERXWZKDW\RXFDQVD\DQGGRWRIRVWHUWKHVH

IHHOLQJVRIFRPIRUWDQGIDPLOLDULW\LQ\RXUVWXGHQWVHVSHFLDOO\LQWKHILUVW

PLQXWHVRIWKHFRXUVH

6WXGHQWVOHDUQPRUHHIIHFWLYHO\LQDSK\VLFDOO\DQGHPRWLRQDOO\FRPIRUWDEOH

HQYLURQPHQW

(DUO\$UULYDOV

6RPHVWXGHQWVDUULYHHDUO\DWWKHFODVVURRP,IVRGRQRWLJQRUHWKHP²

ZHOFRPHWKHPZLWKDVPLOH0DNHWKHPIHHOFRPIRUWDEOHE\LQWURGXFLQJ

\RXUVHOIDQGH[SODLQLQJVRPHGHWDLOVDERXWWKHFODVVDQGWKHHQYLURQPHQW

+RXVHNHHSLQJ

([SODLQLQJWKH³KRXVHNHHSLQJ´JURXQGUXOHVDWWKHVWDUWRIDFODVVLVYHU\

LPSRUWDQWWRPDNHVWXGHQWVIHHOFRPIRUWDEOHDQGFRQILGHQWLQWKHLU

VXUURXQGLQJV5HPHPEHUWRH[SODLQVRPHRIWKHIROORZLQJSRLQWV

‡ /D\RXWRIEXLOGLQJ3RLQWRXWWKHORFDWLRQRIUHVWURRPVUHIUHVKPHQWV

DQGVRRQ

‡ 7LPLQJRIFODVV6WDWHWKHVWDUWDQGHQGWLPHVDQGOXQFKWLPH

‡ 4XHVWLRQV(QFRXUDJHVWXGHQWVWRDVNTXHVWLRQVGXULQJWKHFODVV

3HUVRQDO,QWURGXFWLRQV

$OORZLQJWLPHIRUVWXGHQWVWRLQWURGXFHWKHPVHOYHVLVLPSRUWDQWIRU\RXDQG

IRUWKHP:KHQ\RXNQRZWKDWFRXUVHWLPLQJVDUHWLJKWLWLVYHU\WHPSWLQJWR

UHGXFHWLPHDOORZHGIRULQWURGXFWLRQVRUVNLSWKHPDOWRJHWKHUEXW\RXGRVR

DW\RXUSHULO,QWURGXFWLRQVKHOSIRVWHUDJRRGUHODWLRQVKLSEHWZHHQDOOWKH

VWXGHQWV

8VHLQWURGXFWLRQVWRILQGRXWPRUHDERXW\RXUDXGLHQFHWKRVHZKRPLJKW

QRWKDYHVXIILFLHQWSUHUHTXLVLWHNQRZOHGJHWKRVHZKRPLJKWFDXVHSUREOHPV

EHFDXVHWKH\DUHHDJHUWRSURYHWKHPVHOYHVLQIURQWRIRWKHUVDQGVRRQ



,QWURGXFWLRQWR2UDFOH64/DQG3/64/ 
,QVWUXFWLRQDO*XLGHOLQHV


&RKHVLYHQHVV

7KHIROORZLQJWDEOHLQFOXGHVPDQ\VXJJHVWLRQVIRUHQFRXUDJLQJDIHHOLQJRI

FRKHVLYHQHVVDPRQJ\RXUFODVVVWXGHQWV$OWKRXJKVRPHVPDOOJURXS

DFWLYLWLHVDUHQRWDOZD\VFRQYHQLHQWLQODUJHWHFKQLFDOFODVVHVFRQVLGHUWKH

VXJJHVWLRQV²\RXPLJKWQRWDOZD\VEHUXQQLQJODUJHWHFKQLFDOFODVVHV

0DNH\RXURZQQRWHVLQWKHEODQNULJKWFROXPQ:KLFKRQHVKDYH\RXWULHG

VXFFHVVIXOO\LQWKHSDVW":KLFKRQHVPLJKW\RXFRQVLGHULQWKHIXWXUH"

1R 6XJJHVWLRQ 1RWHV

 8VHVPDOOJURXSZRUNLISRVVLEOH&UHDWHDQLGHQWLW\

IRUHDFKVPDOOJURXS QDPHFRORUQLFNQDPH 

 3RLQWRXWWKDWWUDLQLQJLVWKHWLPHWRDVNTXHVWLRQV

PDNHPLVWDNHVH[SHULPHQWDQGWU\RXWQHZVNLOOV

 8VHDQLFHEUHDNHUWKDWEULQJVRXWVKDUHGH[SHULHQFHV

H[DPSOHJLYHWKHPILYHPLQXWHVWROLVWWKLQJVWKH\DOO

KDYHLQFRPPRQ 

 8VHPRUHLFHEUHDNH UVDVWKHFRXUVHSURJUHVVHVSRVVL

EO\VRPHWKLQJWKDWLVUHODWHGWRWKHFRXUVHPDWHULDO

VXFKDVDQLQWHUHVWLQJ64/SUREOHPWKDWFDQEHVROYHG

XVLQJQHVWHGIXQFWLRQV

 (PSKDVL]HOHDUQLQJIURPRWKHUOHDUQHUV

 (QFRXUDJHRSHQQHVVLQ\RXUVWXGHQWVE\EHLQJRSHQ

\RXUVHOI

 6FKHGXOHRFFDVLRQDODFWLYLWLHVZKHUHWKHRQO\JRDOLVWR

UHOD[DQGKDYHIXQIRUDIHZPLQXWHV

 0DNH\RXUYLHZSRLQWRQO\DVVLJQLILFDQWDVWKHLUV

$GRSWWKHUROHRIOHDGHUDQGJXLGHUDWKHUWKDQH[SHUW

 'RQRWLQWHUYHQHWRRTXLFNO\LIOHDUQH UVDUHVWUXJJOLQJ

7RRIHZLQWHUYHQWLRQVDUHEHWWHUWKDQWRRPDQ\

 5HODWHWKHFRXUVHFRQWHQWWRWKHVWXGH QWV¶MREUROHV7U\

XVLQJUHDOZRUOGH[DPSOHVDQGDQDORJLHV

7KRXJKWIRUWKH'D\

1HYHUGRIRUWKHOHDUQHUVZKDWWKH\FDQGRIRUWKHPVHOYHV



 ,QWURGXFWLRQWR2UDFOH64/DQG3/64/


(IILFLHQW8VHRI,QVWUXFWLRQDO7LPH

1R 6XJJHVWLRQ 1RWHV

 'HYHORSMREDLGVWRUHGXFHWKHQHHGIRULQVWUXFWLRQ

 'HYHORS\RXURZQYLVXDOVWRVXSSOHPHQWWKHOHVVRQV

VXFKDVZKLWHERDUGGLDJUDPVDQGIOLSFKDUWQRWHV

 6SHQGPRVWWLPHRQFRQWHQWWKDWLVLPSRUWDQWDQGGLIIL

FXOWWROHDUQ'HYRWHOHVVWLPHWRFRQWHQWWKDWLVOHVV

LPSRUWDQWOHVVGLIILFXOWWROHDUQDQGFDQEHKDQGOHG

ZHOOZLWKMREDLGV

 0LQLPL]HWLPHRQSUHVHQWDWLRQDQGPD[LPL]HWLPHIRU

SUDFWLFHDQGIHHGEDFN5HGXFH\RXU³WDONLQJWLPH´DV

PXFKDVSRVVLEOH6WXGHQWVOHDUQE\GRLQJ

 /HWVWXGHQWVNQRZZKDWZ LOODQGZLOOQRWEHFRYHUHGWR

PLQLPL]HGLJUHVVLRQV

 $OZD\VVWDUWRQWLPHDQGDVNVWXGHQWVWREHRQWLPH

 *LYHFOHDUGLUHFWLRQVIRUH[HUFLVH V WKLVPLQLPL]HV

ZDVWHGWLPHLQGH EDWLQJZKDWWRGR 

 'XULQJH[HUFLVHVFLUFXODWHWRKHOSZLWKEORFNDJHVDQG

VSXUWKHJURXSVRQ

 $QQRXQFHKRZ PXFKWLPHLVOHIWRQH[HUFLVHVWRNHHS

JURXSVRQVFKHGXOH

 $YRLGH[WHQGLQJWLPHOLP LWVRQH[HUFLVHV

 :LWKVPDOOJURXSZRUNGRQRWORRNDWWKHZRUNGRQH

E\DOOJURXSV'LVFXVVWKHZRUNGRQHE\WZRRUWKUHH

JURXSVDQGWKHQDVNLIRWKHUJURXSVKDYHDQ\WKLQJ

QHZWRDGG



,QWURGXFWLRQWR2UDFOH64/DQG3/64/ 
,QVWUXFWLRQDO*XLGHOLQHV


,FHEUHDNHUV

,QWURGXFWLRQ

<RXFDQXVHLFHEUHDNHUVVXFFHVVIXOO\WKURXJKRXWWKHFRXUVH

‡ $WWKHEHJLQQLQJRIDFODVV&KRRVHVRPHWKLQJWKDWKHOSVVWXGHQWVJHWWR

NQRZRWKHUVLQWKHFODVV

‡ $IWHUEUHDNWLPHV2FFXS\DQGHQWHUWDLQWKRVHZKRUHWXUQHDUO\IURP

VRPHEUHDNVZKLOHZDLWLQJIRURWKHUV

‡ $IWHUQRRQ$YRLGWKHJUDYH\DUGVKLIWV\QGURPH*LYHVWXGHQWVDVKRUW

OLJKWKHDUWHGDFWLYLW\WRUHIUHVKWKHPDIWHUOXQFKRULQWKHODWHDIWHUQRRQ

6XJJHVWLRQV

7KHIROORZLQJSDJHVFRQWDLQVRPHLGHDVIRULFHEUHDNHUV

7ZRH[DPSOHSX]]OHVKHHWVDUHDOVRLQFOXGHG

‡ +RZ¶V%XVLQHVV

‡ <RX¶UH)LUHG

7KHSX]]OHVDPSOHVLQFOXGHGKHUHPLJKWQRWEHVXLWDEOHLQDOOFRXQWULHV8VH

WKHVHLGHDVWRPDNHXS\RXURZQSX]]OHV



 ,QWURGXFWLRQWR2UDFOH64/DQG3/64/


,FHEUHDNHUVWR8VHDV&ODVV,QWURGXFWLRQV

<RXFDQYDU\\RXUFODVVLQWURGXFWLRQVZLWKHLWKHURIWKHVHLFHEUHDNHUV

3DUWQHU,QWURGXFWLRQV

‡ $VNHDFKSHUVRQWRVHOHFWDSDUWQHUZKRLVDVWUDQJHUWRWKHP

‡ *LYHWHQPLQXWHVIRUSDUWQHUVWRLQWHUYLHZHDFKRWKHUDQGILQGRXWDV

PXFKDVSRVVLEOHDERXWHDFKRWKHU

‡ 6XJJHVWWKDWWKH\WDNHQRWHVGXULQJLQWHUYLHZLQJ

‡ $IWHUWKHLQWHUYLHZVDVNHDFKSHUVRQWRVWDQGLQWXUQDQGLQWURGXFHWKHLU

SDUWQHUWRWKHHQWLUHJURXS HQFRXUDJHWKHPWRUHIHUWRWKHLUQRWHVIUHHO\ 

1RWH7KLVLFHEUHDNHUZRUNVEHVWZLWKVPDOOHUJURXSV IHZHUWKDQ 

)RUODUJHUJURXSVLWLVWRRWLPHFRQVXPLQJ

&RFNWDLO3DUW\

8VHWKLVLFHEUHDNHUZLWKODUJHUJURXSV

‡ $VNSHRSOHWRFLUFXODWHDQGVSHDNWRRQHSHUVRQDWDWLPHWRJHW

DFTXDLQWHG

‡ $IWHURQHPLQXWHDQQRXQFH³&KDQJH´DQGKDYHHYHU\RQHILQGDQHZ

SHUVRQZLWKZKRPWRJHWDFTXDLQWHGIRURQHPLQXWH

‡ &RQWLQXHFKDQJLQJHYHU\PLQXWHXQWLOWKHUHKDYHEHHQRSSRUWXQLWLHVIRU

SHRSOHWRPHHWPRVWRIWKHRWKHUV

,FHEUHDNHUVIRU$IWHU/XQFK$FWLYLW\

7U\XVLQJRQHRIWKHVHWRZDNHXSWKHJURXSDIWHUOXQFK

&RPPRQ*URXQG

8VHWKLVLFHEUHDNHUIRUVPDOOJURXSVRUIRUHDFKVPDOOJURXSVLWWLQJWRJHWKHU

DVDWHDP H[DPSOHIRXUWRVL[SHRSOH 

‡ *LYHWKHJURXSVDVSHFLILFWLPH H[DPSOHILYHPLQXWHV WROLVW

HYHU\WKLQJWKH\FDQILQGWKDWWKH\DOOKDYHLQFRPPRQ7HOOWKHPWR

DYRLGWKHREYLRXV H[DPSOH³ZHDUHDOOWDNLQJWKLVZRUNVKRS´ $VN

WKHPWRPDNHDOLVW

‡ $IWHUWKHWLPHLVXSDVNHDFKJURXSKRZPDQ\LWHPVWKH\KDYHLQWKHLU

OLVW

‡ )RUIXQDVNWKHPWRDQQRXQFHVRPHRIWKHPRVWLQWHUHVWLQJLWHPVLQWKHLU

OLVWV



,QWURGXFWLRQWR2UDFOH64/DQG3/64/ 
,QVWUXFWLRQDO*XLGHOLQHV


7UXHDQG)DOVH

8VHWKLVLFHEUHDNHUIRUVPDOOJURXSVRUIRUHDFKVPDOOJURXSVLWWLQJWRJHWKHU

DVDWHDP IRXUWRVL[SHRSOH 

‡ $VNHDFKSHUVRQLQWKHJURXSWROLVWIRXUIDFWVDERXWWKHPVHOYHVRQSDSHU

7KUHHRIWKRVHIDFWVVKRXOGEHWUXHDQGRQHVKRXOGEHIDOVH

‡ 2QHSHUVRQLQWKHJURXSEHJLQVE\UHDGLQJKLVRUKHUIRXULWHPVRXWORXG

WRWKHRWKHUV

‡ 7KHJURXSWKHQWULHVWRJXHVVZKLFKIDFWLVIDOVH

‡ 7KHSHUVRQLQTXHVWLRQUHYHDOVZKLFKRQHZDVIDOVH

‡ 7KHRWKHUVWKHQUHDGWKHLUIRXULWHPVLQWXUQXQWLOHYHU\RQHKDVILQLVKHG

0H7RR

‡ (YHU\RQHLQWKHVPDOOJURXSJHWVWHQ RUILYH SHQQLHVWRRWKSLFNVVFUDSV

RISDSHU ZKDWHYHU 

‡ 7KHILUVWSHUVRQVWDWHVVRPHWKLQJWKH\KDYHGRQH H[DPSOHZDWHU

VNLLQJ 

‡ (YHU\RQHHOVHZKRKDVGRQHWKHVDPHWKLQJDGPLWVLWDQGSXWVRQHSHQQ\

LQWKHPLGGOHRIWKHWDEOH

‡ 7KHQWKHVHFRQGSHUVRQVWDWHVVRPHWKLQJ H[DPSOH³,KDYHHDWHQIURJV¶

OHJV´ 

‡ (YHU\RQHZKRKDVGRQHLWSXWVDQRWKHUSHQQ\LQWKHFHQWHU

‡ &RQWLQXHXQWLOVRPHRQHKDVQRSHQQLHVOHIW

)LYH*XHVWV

‡ (DFKSHUVRQUHSRUWVWRWKHLUJURXSWKHDQVZHUVWRWKHIROORZLQJ

TXHVWLRQV,I\RXFRXOGKDYHDQ\ILYHSHRSOHOLYLQJRUGHDGDVJXHVWVLQ

\RXUKRPHIRUDQHYHQLQJZKRZRXOGWKH\EHDQGZKDWZRXOG\RXWDON

DERXW"

‡ $IWHUKHDULQJIURPHYHU\RQHWKHJURXSVHOHFWVWKHLUDOOVWDUWHDPRIILYH

JXHVWVIURPDOOWKRVHUHSRUWHG3XWWKHVHILYHRQDIOLSFKDUWVRRWKHU

JURXSVFDQUHDGWKHP

'UHDPVDQG1LJKWPDUHV

‡ (DFKSHUVRQVWDWHVDGUHDPDERXWVRPHWKLQJSRVLWLYHWKDWWKH\KRSHZLOO

KDSSHQLQWKLVFRXUVH

‡ (DFKSHUVRQVWDWHVDQLJKWPDUHDERXWVRPHWKLQJQHJDWLYHWKDWWKH\KRSH

ZLOOQRWKDSSHQLQWKLVFRXUVH

‡ 3XWWKHGUHDPVDQGQLJKWPDUHVRQDIOLSFKDUWVRDOOJURXSVFDQUHDG

WKHP



 ,QWURGXFWLRQWR2UDFOH64/DQG3/64/


1RWLFHWKDWPRVWRIWKHVHLFHEUHDNHUVDUHEULHIH[HUFLVHVWKDWIRFXVRQJHWWLQJ

WRNQRZWKHSHRSOHWKH\ZLOOZRUNZLWK,IJURXSVDUHFKDQJHGUHJXODUO\

VWDUWHDFKVHVVLRQZLWKDGLIIHUHQWLFHEUHDNHU

$%DOO*DPH

7KLVLVDQDFWLYLW\WRUHIUHVKDQGDZDNHQIODJJLQJVSLULWVSHUKDSVLQWKH

DIWHUQRRQ<RXQHHGDEDOO²WHQQLVEDOOEHDFKEDOONRRVKEDOOZKDWHYHU

\RXSUHIHU

‡ 6WDQGZLWKWKHVWXGHQWVDOOLQDODUJHFLUFOH

‡ 7KURZWKHEDOOWRRQHVWXGHQW%HIRUHWKURZLQJLWFDOOWKHSHUVRQ¶VQDPH

‡ 7KHVWXGHQWUHFHLYHVWKHEDOODQGUHSOLHV³7KDQN\RX)UHG´²WKDWLV

³7KDQN\RX´IROORZHGE\\RXUQDPH

‡ 7KHQWKHVWXGHQWFDOOVDQRWKHUSHUVRQ¶VQDPHDQGWKURZVWKHEDOOWR

WKHP7KHUHFHLYLQJVWXGHQWPXVWDOZD\VVD\³7KDQN\RX´DQGQDPH

WKHSHUVRQZKRWKUHZWKHEDOO

‡ &RQWLQXHXQWLOHYHU\RQHKDVUHFHLYHGDQGWKURZQWKHEDOODWOHDVWRQFH

6RPHPLJKWIHHOXQFRPIRUWDEOHLQHQFRXUDJLQJDGXOWVWXGHQWVWRSOD\WKLV

DSSDUHQWO\VLPSOHJDPHEXWLWLVVXUSULVLQJO\HIIHFWLYHDQGZHOOUHFHLYHG,W

XVXDOO\HQGVLQODXJKWHUDQGUHOHDVHRIWKHHPEDUUDVVHGWHQVLRQDQGIHDUWKDW

PDQ\VWXGHQWVKDYHHDUO\LQDQHZFRXUVHLQXQIDPLOLDUVXUURXQGLQJV



,QWURGXFWLRQWR2UDFOH64/DQG3/64/ 
,QVWUXFWLRQDO*XLGHOLQHV


+RZ¶V%XVLQHVV

0DWFKWKHDQVZHUWRWKHTXHVWLRQ³+RZ¶V%XVLQHVV"´RQWKHULJKWWRWKH

SURIHVVLRQRQWKHOHIW

BBBKBB %DQNHU D ,¶PLQWRWKHUHG

BBBBBB 4XLOW0DNHU E $WULIOHEHIRUHDYHUDJH

BBBBBB :LQH7DVWHU F ,¶PILJKWLQJ

BBBBBB 3V\ FKLDWULVW G ,¶PPDNLQJDVSODVK

BBBBBB 'HVVHUW&KHI H 6SOHQGLG

BBBBBB 0DWHUQLW\&ORWKHV6DOHVSHUVRQ I 'RZQ

BBBBBB %R[HU J $V\ RXZRXOGH[SHFW

BBBBBB 'LYHU K ,QWHUHVWLQJ

L :K\GR\RXDVN"

M 6OXPSLQJ



 ,QWURGXFWLRQWR2UDFOH64/DQG3/64/


<RX¶UH)LUHG

0DWFKWKHVW\OHRISKUDVHPHDQLQJ³<RX¶UH)LUHG´RQWKHULJKWWRWKH

SURIHVVLRQRQWKHOHIW

BBBGBB *DUGHQHU D +XQJRXWWRGU\

BBBBBB %UHDGPDNHU E 'HSRVHG

BBBBBB /DXQGU\:RUNHU F 'LVKHDUWHQHG

BBBBBB ([RUFLVW G :HHGHGRXW

BBBBBB 0RGHO H 6FUXEEHG

BBBBBB &DUGLRORJLVW I &DVKLHUHG

BBBBBB 6XUJHRQ J <RX¶UHWRDVW

BBBBBB 3ROLWLFLDQ K 'HYRWHG

L 8QDXWKRUL]HG

M 5HSRVVHVVHG



,QWURGXFWLRQWR2UDFOH64/DQG3/64/ 
,QVWUXFWLRQDO*XLGHOLQHV


/HFWXUH6W\OHV

,QWURGXFWLRQ

/HFWXUHVFDQEHFRPHERULQJLQDFWLYHDQGUHSHWLWLRXV7U\VRPHRIWKH

IROORZLQJYDULDWLRQV3ODQZKHUH\RXFDQXVHVRPHRIWKHVHVW\OHVWRSXW

DFURVVVRPHGXOOWRSLFVLQDPRUHLQWHUHVWLQJDQGWKHUHIRUHPRUH

PHPRUDEOHZD\

)LQGZD\VWRHQFRXUDJHVWXGHQWSDUWLFLSDWLRQWKURXJK\RXUOHFWXUHVW\OH

%UHDNXSORQJOHFWXUHVZLWKTXHVWLRQDQGDQVZHUVHVVLRQV6XPPDUL]HDQG

UHYLHZVPDOOVHFWLRQVRILQIRUPDWLRQIUHTXHQWO\

0XOWLSOH&KRLFH/HFWXUH

‡ *LYHHDFKSDUWLFLSDQWIRXUSLHFHVRIFRORUHGSDSHU H[DPSOHUHGJUHHQ

EOXH\HOORZ /DEHOHDFKSLHFH H[DPSOHUHGLV$JUHHQLV%EOXHLV&

\HOORZLV' 

‡ 3UHSDUHDVHULHVRIPXOWLSOHFKRLFHTXHVWLRQVRQWKHFRQWHQWRI\RXU

OHFWXUH

‡ 3XWHDFKPXOWLSOHFKRLFHTXHVWLRQRQDQRYHUKHDGWUDQVSDUHQF\RU

IOLSFKDUW

‡ $V\RXOHFWXUHSDXVHHYHU\IHZPLQXWHVDQGDVNTXHVWLRQVE\VKRZLQJ

RYHUKHDGVRUUHYHDOLQJWKHIOLSFKDUW

‡ $VNVWXGHQWVWRLQGLFDWHWKHLUDQVZHUE\KROGLQJXSWKHDSSURSULDWHSLHFH

RIFRORUHGSDSHU

‡ ,IOHDUQHUVPDNHHUURUVUHSHDWWKHFRQWHQWRUKDYHDEULHIGLVFXVVLRQWR

FODULI\WKHHUURUV

3HUKDSVWKHUHLVQROLIHDIWHUGHDWKMXVWPRUHOHFWXUHV

.H\ZRUGV

‡ $V\RXVSHDNZULWHVLQJOHNH\ZRUGVRQDIOLSFKDUWWRFUHDWHDQHPHUJLQJ

FRQWHQWRXWOLQH

‡ ,IPRUHWKDQRQHSDJHLVQHHGHGWHDURIIHDFKSDJHZKHQLWLVIXOODQG

WDSHLWRQWKHZDOO

‡ 3XWQRPRUHWKDQVHYHQNH\ZRUGVRQDSDJH

‡ :KHQILQLVKHGDVNWKHVWXGHQWVWRUHYLHZE\UHFDOOLQJWKHFRQWHQWWKDWLV

WULJJHUHGE\HDFKNH\ZRUG7KHUHYLHZFDQEHDQLQGLYLGXDOH[HUFLVHRU

LWFDQEHGRQHWKURXJKGLVFXVVLRQLQVPDOOJURXSV



 ,QWURGXFWLRQWR2UDFOH64/DQG3/64/


&DUWRRQ/HFWXUH

‡ )LQGFDUWRRQVWKDWUHODWHWRWKHFRQWHQWRI\RXUOHFWXUH7UDQVIHUWKH

FDUWRRQVRQWRRYHUKHDGWUDQVSDUHQFLHV

‡ )RUHDFKNH\SRLQWLQWKHOHFWXUHVKRZWKHFDUWRRQDIWHU\RXKDYH

GHVFULEHGWKHFRQWHQWYHUEDOO\

‡ :KHQWKHOHFWXUHLVILQLVKHGVKRZHDFKFDUWRRQDJDLQDQGKDYHWKH

VWXGHQWVUHYLHZWKHFRQWHQWXVLQJWKHFDUWRRQDVDPHQWDOWULJJHU7KH

UHYLHZFDQEHDQLQGLYLGXDOH[HUFLVHRULWFDQEHGRQHWKURXJKGLVFXVVLRQ

LQJURXSV

7KHPLQGLVOLNHWKHVWRPDFK,W¶VQRWKRZ PXFK\RXSXWLQWRLWWKDWFRXQWV

EXWKRZPXFKLWGLJHVWV

([DPSOHVDQG([FHSWLRQV

‡ *RRGOHFWXUHVRIWHQFRQWDLQH[DPSOHVDQDORJLHVDQGPHWDSKRUV

‡ $V\RXGHOLYHUDOHFWXUHDVNVWXGHQWVLQVPDOOJURXSVWRFUHDWHDQ

H[DPSOHRUDQDORJ\RIWKHSRLQW\RXDUHGHVFULELQJ

‡ )RUDFKDQJHRISDFHDVNWKHPWRFUHDWHH[FHSWLRQVWRWKHSRLQW

‡ (QFRXUDJHOHDUQHUVWRXVHVLWXDWLRQVIURPWKHLURZQH[SHULHQFHDVWKH

VRXUFHIRUH[DPSOHVZKHUHSRVVLEOH

)LOOLQWKH%ODQN

‡ 'HVLJQDSULQWHGRXWOLQHRIWKHNH\LGHDVWREHFRYHUHGLQWKHOHFWXUH

‡ /HDYHRXWDZRUGRUVKRUWSKUDVHLQHDFKLWHPLQWKHRXWOLQH

‡ $V\RXOHFWXUHDVNVWXGHQWVWRILOOLQWKHPLVVLQJZRUGV

%HIRUH,VSHDN,KDYHVRPHWKLQJLPSRUWDQWWRVD\²*URXFKR0DU[

6HDUFKDQG/HDUQ

‡ 5DWKHUWKDQGHOLYHUDOHFWXUHSXWWKHFRQWHQWLQSULQWHGIRUP8VH

KHDGLQJVDQGEXOOHWVUDWKHUWKDQSDUDJUDSKV

‡ *LYHOHDUQHUVDVHULHVRITXHVWLRQVWRDQVZHUE\VHDUFKLQJWKURXJKWKH

SULQWHGPDWHULDO,I\RXZDQWDFRPSHWLWLYHHOHPHQWKDYHVPDOOJURXSV

VHDUFKTXLFNO\IRUWKHDQVZHU7KHJURXSWKDWILQGVLWILUVWUDLVHVWKHLU

KDQGVDQGDQQRXQFHVWKHORFDWLRQRIWKHDQVZHU,IWKH\DUHFRUUHFWWKH\

UHFHLYHDSRLQW$WWKHHQG\RXFRXOGKDYHDSUL]HIRUWKHZLQQLQJJURXS



,QWURGXFWLRQWR2UDFOH64/DQG3/64/ 
,QVWUXFWLRQDO*XLGHOLQHV


*UDSKLF$VVRFLDWLRQ

‡ 'LYLGHDIOLSFKDUWRURYHUKHDGWUDQVSDUHQF\LQWRIRXUWRVL[VHFWLRQV

‡ 3XWDJUDSKLF QRWZRUGV LQHDFKVHFWLRQ7KHJUDSKLFVVKRXOGUHODWHLQ

VRPHZD\WR\RXUOHFWXUHFRQWHQW

‡ 'HOLYHUWKHOHFWXUHZKLOHUHIHUULQJWRWKHJUDSKLFRQHVHFWLRQDWDWLPH

‡ :KHQILQLVKHGUHPRYHWKHJUDSKLFVIURPYLHZ

‡ $VNVWXGHQWVWRVNHWFKWKHJUDSKLFVTXLFNO\IURPPHPRU\ QHDWQHVVRU

VNHWFKTXDOLW\LVQRWLPSRUWDQW 

‡ 7KHQDVNVWXGHQWVWRUHFDOOWKHFRQWHQWXVLQJHDFKJUDSKLFDVDSURPSW

6RPHLQVWUXFWRUVWU\WRJLYH\RXNQRZOHGJHRWKHUVWU\WRVKRZ \RXZKHUHLW

LV

3ODQWHG4XHVWLRQV

‡ *LYHRXWFRXUVHPDWHULDOVLQDPDQXDORUKDQGRXWV

‡ *LYHHDFKLQGLYLGXDORUJURXSVRPHTXHVWLRQVIRUZKLFKWRILQGDQVZHUV

E\ORRNLQJDWWKHPDWHULDOV(DFKJURXSKDVDGLIIHUHQWVHWRITXHVWLRQV

‡ ,QWHUVSHUVHOHFWXULQJZLWKTXHVWLRQVWKDWDUHDQVZHUHGE\WKHLQGLYLGXDO

RUJURXSWKDWZDVDVVLJQHGWKDWTXHVWLRQ

,ZDVSOHDVHGWREHDEOHWRDQVZHUSURPSWO\,VDLG³,GRQ¶WNQRZ´²0DUN

7ZDLQ

$EEUHYLDWHG/HFWXUH

‡ $YRLGFRYHULQJFRQWHQWWKDWOHDUQHUVDOUHDG\NQRZ+DYHVPDOOJURXSV

OLVWHYHU\WKLQJWKH\NQRZDERXWWKHWRSLFRQDIOLSFKDUW

‡ 7KHOHFWXUHWKHQILOOVLQWKHJDSVLQFOXGLQJRQO\WKHFRQWHQWWKDWWKH

JURXSVRPLWWHG

‡ )RUHPSKDVLVRILPSRUWDQWSRLQWVPRYHWRZDUGJURXSV¶IOLSFKDUWVDQG

SXWDQDVWHULVNEHVLGHNH\SRLQWV

%OHVVHGLVWKHWUDLQHUZKRKDVQRWKLQJWRVD\DQGFDQQRWEHSHUVXDGHGWR

VD\LW



 ,QWURGXFWLRQWR2UDFOH64/DQG3/64/


6HQVRU\3UHIHUHQFHV

'LIIHUHQWVWXGHQWVKDYHGLIIHUHQWSUHIHUUHGPHWKRGVRIOHDUQLQJ:KHQ

VWXGHQWVKDYHDFKRLFHWKH\OHDUQEHVWLQWKHLUSUHIHUUHGVHQVRU\FKDQQHO

‡ 9LVXDOOHDUQHUVSUHIHUWRVHHDQGREVHUYH

‡ $XGLWRU\OHDUQHUVSUHIHUWRKHDUDQGOLVWHQ

‡ .LQHVWKHWLFOHDUQHUVSUHIHUWRGRUDWKHUWKDQVHHRUKHDU

7U\WRHVWDEOLVKDSDWWHUQLQZKLFKVWXGHQWVZLOOVHHKHDUDQGGRLQHDFK

OHVVRQVRWKDWDOOWKUHHSUHIHUHQFHVDUHDGGUHVVHG

,IDVWXGHQWGRHVQRWXQGHUVWDQG\RXUH[SODQDWLRQRIDSDUWLFXODUIHDWXUHRU

WRSLFDYRLGVLPSO\UHSHDWLQJWKHLQIRUPDWLRQLQH[DFWO\WKHVDPHZD\7U\

WRXVHDGLIIHUHQWVHQVH([DPSOH,IDWILUVW\RXJDYHDYHUEDOH[SODQDWLRQ

WU\WRH[SODLQZLWKDGLDJUDPRQWKHZKLWHERDUGRUDGHPRQVWUDWLRQLQVWHDG

1RWH,IWKLVDUHDRILQVWUXFWLRQDOWHFKQLTXHLQWHUHVWV\RXFRQVLGHUGRLQJ

VRPHEDFNJURXQGUHDGLQJRQ1/3 1HXUR/LQJXLVWLF3URJUDPPLQJ 7ZR

ERRNVE\2¶&RQQRUDQG6H\PRXUDUHOLVWHGLQWKH%LEOLRJUDSK\DWWKHHQGRI

WKLVVHFWLRQ



,QWURGXFWLRQWR2UDFOH64/DQG3/64/ 
,QVWUXFWLRQDO*XLGHOLQHV


3DUWLFLSDWLRQDQG,QYROYHPHQW

&RQVLGHUWKLVWDEOH:KLFKRIWKHVHGR\RXDOUHDG\GR"&RQVLGHUDGRSWLQJ

VRPHVXJJHVWLRQVWKDW\RXKDYHQRWSUHYLRXVO\WULHG

1R 6XJJHVWLRQ 1RWHV

 $UUDQJHIUHTXHQWVPDOOJURXSVHVVLRQV

 $VNIRUIUHTXHQWQHLJKERUGLVFXVVLRQVWRJXDUDQWHH

WKDWHYHU\ RQHSDUWLFLSDWHV

 0RYHDZD\IURPWKHFHQWHURIWKHURRP6LWUDWKHUWKDQ

VWDQG0RYHWRWKHEDFNRIWKHURRPWRWDNHHPSKDVLV

RII\RXUVHOI

 $VNPDQ\TXHVWLRQV

 :KHQDTXHVWLRQLVDVNHGJHWHYHU\RQHWRWKLQNDQGLI

DSSOLFDEOHZULWHGRZQDEULHIUHVSRQVHEHIRUHVRPH

RQHDQVZHUV

 6RPHWLPHVDVNSHRSOHWRVWDQGZKHQWKH\KDYHZ ULWWHQ

GRZQWKHLUDQVZHUV:KHQHYHU\RQHLVVWDQGLQJDVN

IRUDQVZHUV 6WDQGLQJSURYLGH VDVWUHWFKDQGNHHSV

SHRSOHDOHUW

 5HOD\TXHVWLRQVEDFNWROHDUQHUV

 :KHQDOHQJWK\DQVZHULVUHTXLUHGDVNDQXPEHURI

VWXGHQWVWRJLYHRQO\SDUWRIWKHDQVZHUHDFK

 $VN³\HVQR´TXHVWLRQVDQGSROOWKHJURXSE\DVNLQJ

WKHPWRUDLVHWKHLUKDQGV

 8VHSX]]OHVWRGHYHORSDUHVSRQVHKDELW

 $VNOHDUQHUVWRJLYHIHHGEDFNWRHDFKRWKHUDQGWR

UHDFWWRHDFKRWKHU¶VFRPPHQWV

 *LYHVWXGHQWVDKDQGRXWZLWKTXHVWLRQVWRDQVZHU

3DXVHSHULRGLFDOO\DQGJHWWKHPWRDQVZ HUTXHVWLRQV

7KHQJLYHIHHGEDFN

 %HTXLHWZKHQ\RXZDQWSDUWLFLSDWLRQ WKHVWXGHQWV

ZLOOILOOWKHVLOHQFH 



 ,QWURGXFWLRQWR2UDFOH64/DQG3/64/


1R 6XJJHVWLRQ 1RWHV

 :KHQSRVVLEOHGHYRWHWZRWKLUGVRUPRUHRIDOHVVRQ

WRVWXGHQWDFWLYLW\DQGIHHGEDFNUHJDUGLQJWKDWDFWLYLW\

7U\WROLPLWLQVWUXFWRULQSXWWRRQHWKLUGRUOHVV

 *LYHVWXGHQWVWHQPLQXWHVDWWKHEHJLQQLQJWRDVNTXHV

WLRQVDERXWWKHFRXUVHRUWKHLQVWUXFWRU*HWVPDOO

JURXSVWRFUHDWHTXHVWLRQVWRJHWKHU

 $IWHUDOHFWXUHRUGLVFXVVLRQDVNJURXSVWRVXPPDUL]H

WKHPDLQSRLQWV

 7RJHQHUDWHTXHVWLRQVIURPSDUWLFLSDQWV

‡ 6WDWHGLUHFWO\WKDW\RXJHQXLQHO\ZDQW

TXHVWLRQV

‡ 3DXVHRFFDVLRQDOO\DQGDVNIRU

TXHVWLRQV

‡ 8VHVOLSZULWLQJDVNHYHU\RQHWRZULWH

RQHTXHVWLRQRQSDSHUDQGSDVVLWWR

\RX5HDGDOOTXHVWLRQVRXWORXG7KHQ

DQVZHURUUHOD\VRPHTXHVWLRQVEDFNWR

WKHJURXS

‡ 8VHQHLJKERUGLVFXVVLRQVE\ DVNLQJ

SHRSOHWRSDLURIIZLWKDSDUWQHUDQG

WRJHWKHUFRPHXSZLWKRQHTXHVWLRQRQ

WKHPDWHULDO

‡ $VNJURXSVWRGHYLVHWRXJKTXHVWLRQVWR

EHDQVZHUHGE\RWKHUJURXSV

7KRXJKWIRUWKH'D\

6WLPXODWLRQDQGH[FLWHPHQWGXULQJWUDLQLQJLVQRWDVSHFWDWRUVSRUWLWLV

EDVHGRQSDUWLFLSDWLRQDQGIXQ



,QWURGXFWLRQWR2UDFOH64/DQG3/64/ 
,QVWUXFWLRQDO*XLGHOLQHV


)RUPLQJ(IIHFWLYH4XHVWLRQV

7KHIROORZLQJSRLQWVZLOOKHOS\RXWRPDNH\RXUTXHVWLRQLQJPRUHHIIHFWLYH

‡ 7KHVHDUHWKHFKDUDFWHULVWLFVRIDJRRGTXHVWLRQ

 &RQFLVHDQGFRQWDLQVRQO\RQHLGHD

 7KRXJKWSURYRNLQJDQGLQWHUHVWLQJ

 )RFXVHGRQLPSRUWDQWPDWHULDO

 2SHQHQGHG UHTXLUHVPRUHWKDQD³\HV´RU³QR´DQVZHU

 5HTXLUHVUHDVRQLQJUDWKHUWKDQPHPRU\

 &KDOOHQJLQJEXWDQVZHUDEOH

‡ 7KHUHDUHIRXUGLUHFWLRQVIRUTXHVWLRQV

 'LUHFW$VNDVSHFLILFVWXGHQW

 2YHUKHDG$VNWKHVWXGHQWVLQJHQHUDODQ\RQHFDQDQVZHU

 5HOD\$VNVRPHRQHHOVHWRDQVZHUDVWXGHQW¶VTXHVWLRQ

 5HYHUVH0LUURUDVWXGHQW¶VTXHVWLRQEDFNWRWKHVDPHVWXGHQW

‡ 'RQRWUHSHDWVWXGHQWV¶DQVZHUV2WKHUZLVHVWXGHQWVPD\VWRSOLVWHQLQJ

WRHDFKRWKHU

‡ 8VH³FURVVILUH´TXHVWLRQLQJ5HIHUTXHVWLRQVWRRWKHUVVXFKDV

 ³+RZZRXOG\RXKDYHDQVZHUHGWKDW"´

 ³:K\GR\RXWKLQNWKDW"´

 ³:KDWGR\RXWKLQNRIWKDWDQVZHU"´

 ³:KDWHYLGHQFHGR\RXKDYHIRUWKDW"´

‡ :KHQDQVZHULQJDTXHVWLRQXVHWKHVHWHFKQLTXHV

 :KHQVRPHRQHDVNV\RXDTXHVWLRQVPLOHWDNHDVWHSWRZDUGWKHP

DQGVD\³\HV´DVLI\RXDUHSOHDVHGWRKDYHDTXHVWLRQ

 &KHFNWREHVXUHHYHU\RQHKHDUGDQGXQGHUVWRRGWKHTXHVWLRQ

 $QVZHUEULHIO\DQGVWDWHUHDVRQVIRU\RXUDQVZHU

 7LH\RXUDQVZHUWRNH\SRLQWVLQ\RXUOHVVRQLISRVVLEOH

 ,I\RXGRQRWNQRZDQDQVZHUDGPLWLW²QHYHUEOXII$VNLIDQ\RQH

HOVHNQRZVWKHDQVZHU,IQRRQHGRHVRIIHUWRILQGRXW

 ,IVRPHRQHDVNVDFRQWHQWLRXVTXHVWLRQJLYHDGLUHFWDQGIULHQGO\

DQVZHU'RQRWEHSURYRNHGLQWRDGHIHQVLYHSRVLWLRQ

 ,IVRPHRQHDVNVDTXHVWLRQWKDW\RXZLOOEHFRYHULQJODWHUVD\

³7KDW¶VDJRRGTXHVWLRQ:HZLOOEHFRYHULQJWKDWLQDIHZPLQXWHV´



 ,QWURGXFWLRQWR2UDFOH64/DQG3/64/


%LEOLRJUDSK\

(LWOLQJWRQ-XOLXV7KH:LQQLQJ7UDLQHU*XOI3XEOLVKLQJ

)RUEHVV*UHHQ6XH(QF\FORSHGLDRI,FHEUHDNHUV8QLYHUVLW\$VVRFLDWHV



-RQHV3KLOLS HG $GXOW/HDUQLQJLQ<RXU&ODVVURRP/DNHZRRG

3XEOLFDWLRQV

1HZVWURP-RKQDQG(GZDUG6FDQQHOO*DPHV7UDLQHUV3OD\0F*UDZ+LOO



2¶&RQQRU-RVHSKDQG-RKQ6H\PRXU,QWURGXFLQJ1HXUR/LQJXLVWLF

3URJUDPPLQJ7KRUVRQV

2¶&RQQRU-RVHSKDQG-RKQ6H\PRXU7UDLQLQJZ LWK1/37KRUVRQV

3LNH5REHUW&UHDWLYH7UDLQLQJ7HFKQLTXHV+DQGERRN/DNHZRRG

3XEOLFDWLRQV

6FDQQHOO(GZDUGDQG-RKQ1HZVWURP0RUH*DPHV7UDLQHUV3OD\

0F*UDZ+LOO



,QWURGXFWLRQWR2UDFOH64/DQG3/64/ 
,QVWUXFWLRQDO*XLGHOLQHV




 ,QWURGXFWLRQWR2UDFOH64/DQG3/64/
'HVFULSWLRQ
RI6QLSSHWV
Snippets
This course includes animation and activity snippets. A description of these snippets follows.

Animation Snippet:
“Processing SQL Statements”
“Processing SQL Statements” is an executable program that contains five animation snippets.
Each snippet is a high-quality three-dimensional animation with professional narration about how
SQL statements interact with the Oracle server architecture.
An animation snippet can be thought of a short video tape segment that is played through a
computer. Each snippet is designed to be played during any ILT course that can benefit by its
content. Snippets can either replace or augment the PowerPoint slides that you would usually use
to cover that particular topic (see animation titles and descriptions below).
You access the animation by launching a windows program called PROC_SQL.EXE. You are
given a menu with the five buttons. Clicking on a menu button starts that animation. During an
animation, you use VCR-style controls in the lower left corner of the screen to rewind, pause,
play, and fast-forward each animation. The animations will start automatically by default if the
VCR controls are not used. For this course, you will be showing only two animations (out of the
five available): “Establishing a Database Session” (short) and “Processing a Query” (short).
Note that all animations require the use of sound and a computer monitor set to thousands of
colors. Because all classrooms may not be adequately equipped to run these animation snippets,
they have been made optional. Detailed technical requirements can be found by reading the
SETUP.TXT document.

Title Length Description

“Establishing a Database 0:55 Presents a short and simple overview of a database session
Session” (short) being established. This includes the user process being
created, the user process connecting to the server process,
(Show) and server process in turn establishing a database session
with the server.

“Establishing a Database 1:30 This is the same animation as the short version, only with
Session” (long) an in-depth look at the components that make up the
Oracle Server architecture. This animation identifies the
(Do not show) data dictionary cache, shared pool, SGA, instance,
background process, and the database files.

Description of Snippets - 2
“Processing a Query” 1:45 This animation displays a SELECT statement being
(short) entered. During this animation, the server process looks
for the SELECT statement in memory, parses the
(Show) statement, optimizes the statement, creates an execution
plan, gathers the requested data, and finally displays that
data for the user.

“Processing a Query” 2:25 The long version displays the same procedure as the short
(long) version, but more detail is given. Specific parts of the
Oracle Server architecture are identified as the SELECT
(Do not show) statement is processed. These parts include the shared
SQL memory cache, data buffer cache, and PGA.

“Processing a DML 3:10 This animation displays how an UPDATE and then a
Statement” COMMIT statement are processed. The UPDATE
statement follows a four step procedure: (1) load the data,
(Do not show) (2) lock the data, (3) record the change, (4) save the old
value. Once these four steps are completed, the user enters
a COMMIT statement. The Server Process then processes
the COMMIT. First the data is flagged in the redo log
buffer. Next the log writer reads the data and writes it to
the redo log file. Finally, a confirmation of the COMMIT
is displayed for the user.

Description of Snippets - 3
Activity Snippets
Two activity snippets have been created for this course. These activities are to be used in the
“Creating and Managing Tables” lesson and the “Creating Views” lesson, respectively.
The first activity is a matching game called “Space Flip.” The second activity is a board game
called “Space Race.” Both activities present questions for the student to answer and provide
useful tips aimed at reinforcing the ILT course materials.
The student should find these activities fun, entertaining, and informative. Instructionally, these
activities reinforce and test the content found in their respective lessons. The design provides a
mental break for the students between the lecture and practice portions of the lessons.
Note that both activities are accessed by using a Web browser. Since most of the classrooms have
Netscape 4.0, you are strongly encouraged to use these activity snippets. Technical notes on
these activities can be found in the SETUP.TXT file.

Space Flip
• Time to complete: 5 minutes
• Use after the “Creating and Managing Tables” lesson
In this activity, the student finds a word that fits in a fill-in-the-blank questions (see the following
sample). As with a traditional matching game, the screen is divided into a number of squares.
Clicking a square is clicked, reveals what is behind it. If the two objects being revealed match (in
this case, the word fits in the blank), the two squares are removed from the screen.
To increase the number of fill-in-the-blank questions, three sets of cards are used. Each set of
cards has eight different fill-in-the-blank questions, with eight words that fit in those blanks.

Sample question:
To create a table, the user must have the ____________ privilege.
CREATE TABLE

Space Race
• Time to complete: 5 minutes
• Use after the “Creating Views” lesson
Like the matching activity, this activity is used to present questions to the student. This activity is
set up like a board game with a start and finish. Between these points there are three types of
“squares” that the student can land on: questions, tips, and black holes. Questions are either true-
false or multiple-choice questions (see the following samples), and tips are statements or facts
taken from the lesson. A black hole is a penalty square that is used to add an element of luck to
the game. The goal of the game is to answer enough questions correctly to reach the finish before
the oxygen supply of the ship runs out. Bonus tanks of oxygen are given for landing on the tips
squares, and rolling a black hole sends the ship back to the nearest black-hole square.

Description of Snippets - 4
Sample Questions:
Although the USER_VIEWS data dictionary view displays the names of all views, it
does not show the SELECT statements used to create them.
Answer = False
Which one of the following commands is added to the CREATE VIEW statement to
create a view regardless of whether the base table(s) exist(s)?
(a) NOFORCE
(b) WITH READ OPTION
(c) REPLACE
(d) FORCE
Answer = D

Description of Snippets - 5
Description of Snippets - 6
Preface
3UHIDFH
3URILOH

%HIRUH<RX%HJLQ7KLV&RXUVH

%HIRUH\RXEHJLQWKLVFRXUVH\RXVKRXOGEHDEOHWRXVHDJUDSKLFDOXVHULQWHUIDFH *8, 

5HTXLUHGSUHUHTXLVLWHVDUHIDPLOLDULW\ZLWKGDWDSURFHVVLQJFRQFHSWVDQGWHFKQLTXHV

+RZ7KLV&RXUVH,V2UJDQL]HG

,QWURGXFWLRQWR2UDFOH64/DQG3/64/LVDQLQVWUXFWRUOHGFRXUVHIHDWXULQJOHFWXUHVDQG

KDQGVRQH[HUFLVHV2QOLQHGHPRQVWUDWLRQVDQGZULWWHQSUDFWLFHVHVVLRQVUHLQIRUFHWKH

FRQFHSWVDQGVNLOOVLQWURGXFHG

3UHIDFH
5HODWHG3XEOLFDWLRQV

2UDFOH3XEOLFDWLRQV

7LWOH 3DUW1XPEHU

2UDFOH5HIHUHQFH5HOHDVH $

2UDFOH&RQFHSWV5HOHDVH $

64/ 3OXV8VHU¶V*XLGHDQG5HIHUHQFH5HOHDVH $

64/ 3OXV4XLFN5HIHUHQFH5HOHDVH $

3/64/8VHU¶V*XLGHDQG5HIHUHQFH $

2UDFOH6HUYHU$SSOLFDWLRQ'HYHORSHU¶V*XLGH $

$GGLWLRQDO3XEOLFDWLRQV

‡ 6\VWHPUHOHDVHEXOOHWLQV

‡ ,QVWDOODWLRQDQGXVHU¶VJXLGHV

‡ UHDGPHILOHV

‡ ,QWHUQDWLRQDO2UDFOH8VHU¶V*URXS ,28* DUWLFOHV

‡ 2UDFOH0DJD]LQH

3UHIDFH
7\SRJUDSKLF&RQYHQWLRQV

:KDWIROORZVDUHWZROLVWVRIW\SRJUDSKLFDOFRQYHQWLRQVXVHGVSHFLILFDOO\ZLWKLQWH[WRUZLWKLQ

FRGH

7\SRJUDSKLF&RQYHQWLRQV:LWKLQ7H[W

&RQYHQWLRQ 2EMHFWRU7HUP ([DPSOH

8SSHUFDVH &RPPDQGV 8VHWKH6(/(&7FRPPDQGWRYLHZ

IXQFWLRQV LQIRUPDWLRQVWRUHGLQWKH/$67B1$0(

FROXPQQDPHV FROXPQRIWKH(03WDEOH

WDEOHQDPHV

3/64/REMHFWV

VFKHPDV

/RZHUFDVH )LOHQDPHV ZKHUH UROH LVWKHQDPHRIWKHUROHLWDOLF

V\QWD[YDULDEOHV WREHFUHDWHG

XVHUQDPHV

SDVVZRUGV

,QLWLDOFDS 7ULJJHUDQG $VVLJQD:KHQ9DOLGDWH,WHPWULJJHUWR

EXWWRQQDPHV WKH25'EORFN

&KRRVH&DQFHO

,WDOLF %RRNVQDPHVRI )RUPRUHLQIRUPDWLRQRQWKHVXEMHFWVHH

FRXUVHVDQG 2UDFOH6HUYHU64//DQJXDJH5HIHUHQFH

PDQXDOVDQG 0DQXDO

HPSKDVL]HG

ZRUGVRUSKUDVHV 'RQRWVDYHFKDQJHVWRWKHGDWDEDVH

4XRWDWLRQPDUNV /HVVRQPRGXOH 7KLVVXEMHFWLVFRYHUHGLQ/HVVRQ

WLWOHVUHIHUHQFHG ³:RUNLQJZLWK2EMH FWV´

ZLWKLQDFRXUVH

3UHIDFH
7\SRJUDSKLF&RQYHQWLRQV FRQWLQXHG

7\SRJUDSKLF&RQYHQWLRQV:LWKLQ&RGH

&RQYHQWLRQ 2EMHFWRU7HUP ([DPSOH

8SSHUFDVH &RPPDQGV 64/! 6(/(&7XVHULG


IXQFWLRQV  )520HPS
/RZHUFDVH 6\QWD[YDULDEOHV 64/! &5($7(52/(UROH
LWDOLF

,QLWLDOFDS )RUPVWULJJHUV )RUPPRGXOH25'


7ULJJHUOHYHO6B,7(048$17,7<
LWHP
7ULJJHUQDPH:KHQ9DOLGDWH,WHP

/RZHUFDVH &ROXPQQDPHV 
WDEOHQDPHV 2*B$&7,9$7(B/$<(5
ILOHQDPHV  2*B*(7B/$<(5
SURGBSLHBOD\HU

3/64/REMHFWV 
64/! 6(/(&7ODVWBQDPH
 )520HPS
%ROG 7H[WWKDWPXVW 64/'%$!'52386(5VFRWW
EHHQWHUHGE\D !,'(17,),('%<WLJHU
XVHU

3UHIDFH
7\SRJUDSKLF&RQYHQWLRQV FRQWLQXHG

6\PEROV8VHGLQ7KLV'RFXPHQW

,QGLFDWHVJXLGDQFHUHODWLQJWRWKHVXEMHFWPDWWHUVXFKDVKLQWVRUDGYLFH

,GHQWLILHVDUHIHUHQFHWRRWKHUSXEOLFDWLRQV

,GHQWLILHVDUHIHUHQFHWRD:HEVLWH

,QGLFDWHVDZDUQLQJIRUH[DPSOH³:KHQGHOHWLQJURZVZRUG\RXU:+(5(FODXVHFDUHIXOO\´

,QGLFDWHVWKDWDQH[SDQGHGGLVFXVVLRQRQHDFKQXPEHUHGVWHSLVSUHVHQWHGRQWKHSDJHV

IROORZLQJWKHVWHSV

3UHIDFH
3UHIDFH
&XUULFXOXP
0DS
,QWHJUDWHG/DQJXDJHV
&XUULFXOXP&HUWLILFDWLRQ7UDFNV

,QWURGXFWLRQWR2UDFOH ,QWURGXFWLRQWR2UDFOH
64/DQG3/64/ IRU([SHULHQFHG64/8VHUV

3/64/
RU 2UDFOH64/ 3/64/
64/
)XQGDPHQWDOV 6SHFLILFV )XQGDPHQWDOV

'%$

WUDFN

'HYHORS3/64/ $SSOLFDWLRQ
3URJUDP8QLWV
'HYHORSHU

WUDFN

2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG
&RS\ULJKW

,QWHJUDWHG/DQJXDJHV&XUULFXOXP&HUWLILFDWLRQ7UDFNV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/FRQVLVWVRIWZRPRGXOHVQDPHO\64/DQG3/64/

)XQGDPHQWDOV7KLVLVWKHILUVWFRXUVHWKDW\RXWDNHIRUWKH'%$RUDSSOLFDWLRQGHYHORSHUWUDFN64/

FRYHUVFUHDWLQJGDWDEDVHVWUXFWXUHVDQGVWRULQJUHWULHYLQJDQGPDQLSXODWLQJGDWDLQDUHODWLRQDO

GDWDEDVH3/64/)XQGDPHQWDOVFRYHUVFUHDWLQJ3/64/EORFNVRIDSSOLFDWLRQFRGH

)RUSHRSOHZKRKDYHZRUNHGZLWKRWKHUUHODWLRQDOGDWDEDVHVDQGKDYHNQRZOHGJHRI64/DQRWKHU

PRGXOHFDOOHG2UDFOH64/6SHFLILFVLVRIIHUHG7KLVPRGXOHFRYHUVWKH64/VWDWHPHQWVWKDWDUHQRW

SDUWRI$16,64/EXWDUHVSHFLILFWR2UDFOH7KLVPRGXOHFRPELQHGZLWK3/64/)XQGDPHQWDOVIRUPV

,QWURGXFWLRQWR2UDFOHIRU([SHULHQFHG64/8VHUV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/DQG,QWURGXFWLRQWR2UDFOHIRU([SHULHQFHG64/8VHUVDUH

FRQVLGHUHGHTXLYDOHQWDQGDIWHUWDNLQJRQHRIWKHP\RXFDQPRYHRQWRWKH'%$WUDFN)RUWKH

DSSOLFDWLRQGHYHORSHUWUDFN\RXQHHGWRWDNHWKH'HYHORS3/64/3URJUDP8QLWVFRXUVH7KLVFRXUVH

WHDFKHV\RXKRZWRZULWH3/64/SURFHGXUHVIXQFWLRQVDQGSDFNDJHV

&ODVV0DQDJHPHQW1RWH

7KHODQJXDJHVFXUULFXOXPKDVDQHZSUHVHQWDWLRQVW\OH7KHHQKDQFHGJUDSKLFVDQGDQLPDWLRQZLOO

PDNHLWHDVLHUIRU\RXWRFRQYH\FRQFHSWVZKLOHPDNLQJFRQFHSWVHDVLHUWRJUDVSIRUSDUWLFLSDQWV

0XOWLPHGLDVQLSSHWVKDYHDOVREHHQLQFOXGHGWRLQWURGXFHYDULHW\LQWKHFODVVURRP

7KHVHFRXUVHVPDNHXSWKHFHUWLILFDWLRQWUDFNIRU'%$VDQGDSSOLFDWLRQGHYHORSHUV([SODLQWKHVHWZR

WUDFNVWRWKHSDUWLFLSDQWV)RUPRUHLQIRUPDWLRQUHIHUSDUWLFLSDQWVWRWKH2UDFOH:HEVLWH

KWWSHGXFDWLRQRUDFOHFRPFHUWLILFDWLRQ

&XUULFXOXP0DS
,QWHJUDWHG/DQJXDJHV
&XUULFXOXP
64/ 2UDFOH64/6SHFLILFV 64/IRU(QG8VHUV

%DVLF6(/(&76WDWHPHQWV 5HWULHYLQJ )RUPDWWLQJ'DWD

&UHDWLQJ 0DQDJLQJ
'0/DQG''/
'DWDEDVH2EMHFWV

3/64/)XQGDPHQWDOV 3/64/%HVW

3UDFWLFHV
$GYDQFHG64/ 64/ 3OXV
%DVLFV
$GYDQFHG7HFKQLTXHV
$GYDQFHG6(/(&76WDWHPHQWV
'HYHORS3/64/ IRU3/64/'HYHORSHUV

64/ 3OXVDQG5HSRUWLQJ 3URJUDP8QLWV


2UDFOH1HZ)HDWXUHV

LQ3/64/
3URFHGXUHV)XQFWLRQV

DQG3DFNDJHV
2UDFOH%XLOWLQ

'DWDEDVH3URJUDPPLQJ 3DFNDJHV

,/7

&%7

6HPLQDU

2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG
&RS\ULJKW

,QWHJUDWHG/DQJXDJHV&XUULFXOXP FRQWLQXHG

7KHVOLGHOLVWVYDULRXVPRGXOHVDQGFRXUVHVWKDWDUHDYDLODEOHLQWKHODQJXDJHVFXUULFXOXP)RUPRVW

RIWKHVHPRGXOHVDQGFRXUVHVWKHUHDUHHTXLYDOHQW&%7V

&RXUVHRU0RGXOH (TXLYDOHQW&%7

64/ 2UDFOH64/DQG64/ 3OXV%DVLF6(/(&76WDWHPHQWV

2UDFOH64/DQG64/ 3OXV'0/DQG''/

2UDFOH64/6SHFLILFV 2UDFOH64/6SHFLILFV5HWULHYLQJDQG)RUPDWWLQJ'DWD

2UDFOH64/6SHFLILFV&UHDWLQJDQG0DQDJLQJ' DWDEDVH

2EMHFWV

3/64/)XQGDPHQWDOV 3/64/%DVLFV

$GYDQFHG64/DQG64/ 3OXV 2UDFOH64/DQG64/ 3OXV$GYDQFHG6(/(&7 6WDWHPHQWV

2UDFOH64/DQG64/ 3OXV64/ 3OXVDQG5HSRUWLQJ

'HYHORS3/64/3URJUDP8QLWV 3/64/3URFHGXUHV)XQFWLRQVDQG3DFNDJHV

3/64/'DWDEDVH3URJUDPPLQJ

)RXUVHPLQDUVRQ3/64/DUHDOVRRIIHUHG3/64/%HVW3UDFWLFHV$GYDQFHG7HFKQLTXHVIRU

3/64/'H YHORSHUV2UDFOH1HZ)HDWXUHVLQ3/64/DQG2UDFOH%XLOWLQ3DFNDJHV

&ODVV0DQDJHPHQW1RWH

,QIRUPSDUWLFLSDQWVZKDWWKHLUQH[WFRXUVHVKRXOGEHDQGJLYHDEULHIGHVFULSWLRQRIWKHFRXUVH

&XUULFXOXP0DS
&XUULFXOXP0DS
,
,QWURGXFWLRQ

2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

6FKHGXOH 7LPLQJ 7RSLF

PLQXWHV /HFWXUH

PLQXWHV 7RWDO
2EMHFWLYHV
$IWHUFRPSOHWLQJWKLVOHVVRQ\RXVKRXOGEH
DEOHWRGRWKHIROORZLQJ
‡ 'LVFXVVWKHWKHRUHWLFDODQGSK\VLFDODVSHFWV
RIDUHODWLRQDOGDWDEDVH
‡ 'HVFULEHWKH2UDFOHLPSOHPHQWDWLRQRIWKH
5'%06DQG25'%06
‡ 'HVFULEHKRZ64/DQG3/64/DUHXVHGLQ
WKH2UDFOHSURGXFWVHW
‡ 'HVFULEHWKHXVHDQGEHQHILWVRI3/64/

, 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

/HVVRQ$LP

,QWKLVOHVVRQ\RXZLOOJDLQDQXQGHUVWDQGLQJRIWKHUH ODWLRQDOGDWDEDVHPDQDJHPHQWV\VWHP

5'%06 DQGWKHREMHFWUHODWLRQDOGDWDEDVHPDQDJHPHQWV\VWHP 25'%06 <RXZLOODOVREH

LQWURGXFHGWRWKHIROORZLQJ

‡ 64/VWDWHPHQWVWKDWDUHVSHFLILFWR2UDFOH

‡ 64/ 3OXVZKLFKLVXVHGIRUH[HFXWLQJ64/DQG3/64/FRGHDQGIRUIRUPDWWLQJDQGUHSRUWLQJ

SXUSRVHV

‡ 3/64/ZKLFKLV2UDFOH¶VSURFHGXUDOODQJXDJH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/,
6\VWHP'HYHORSPHQW/LIH&\FOH

6WUDWHJ\
DQG
$QDO\VLV
'HVLJQ
%XLOG
DQG
'RFXPHQW
7UDQVLWLRQ

3URGXFWLRQ

, 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

6\VWHP'HYHORSPHQW/LIH&\FOH

)URPFRQFHSWWRSURGXFWLRQ\RXFDQGH YHORSDGDWDEDVHE\XVLQJWKHV\VWHPGHYHORSPHQWOLIHF\FOH

ZKLFKFRQWDLQVPXOWLSOHVWDJHVRIGHYHORSPHQW7KLVWRSGRZQV\VWHPDWLFDSSURDFKWRGDWDEDVH

GHYHORSPHQWWUDQVIRUPVEXVLQHVVLQIRUPDWLRQUHTXLUHPHQWVLQWRDQRSHUDWLRQDOGDWDEDVH

6WUDWHJ\DQG$QDO\VLV

‡ 6WXG\DQGDQDO\]HWKHEXVLQHVVUHTXLUHPHQWV,QWHUYLHZXVHUVDQGPDQDJHUVWRLGHQWLI\WKH

LQIRUPDWLRQUHTXLUHPH QWV,QFRUSRUDWHWKHHQWHUSULVHDQGDSSOLFDWLRQPLVVLRQVWDWHPHQWVDVZHOO

DVDQ\IXWXUHV\VWHPVSHFLILFDWLRQV

‡ %XLOGPRGHOVRIWKHV\VWHP7UDQVIHUWKHEXVLQHVVQDUUDWLYHLQWRDJUDSKLFDOUHSUHVHQWDWLRQRI

EXVLQHVVLQIRUPDWLRQQHHGVDQGUXOHV&RQILUPDQGUHILQHWKHPRGHOZLWKWKHDQDO\VWVDQG

H[SHUWV

'HVLJQ

'HVLJQWKHGDWDEDVHEDVHGRQWKHPRGHOGHYHORSHGLQWKHVWUDWHJ\DQGDQDO\VLVSKDVH

%XLOGDQG'RFXPHQW

‡ %XLOGWKHSURWRW\SHV\VWHP:ULWHDQGH[HFXWHWKHFRPPDQGVWRFUHDWHWKHWDEOHVDQG

VXSSRUWLQJREMHFWVIRUWKHGDWDEDVH

‡ 'HYHORSXVHUGRFXPHQWDWLRQKHOSWH[WDQGRSHUDWLRQVPDQXDOVWRVXSSRUWWKHXVHDQGRSHUDWLRQ

RIWKHV\VWHP

,QWURGXFWLRQWR2UDFOH64/DQG3/64/,
6\VWHP'HYHORSPHQW/LIH&\FOH

6WUDWHJ\
DQG
$QDO\VLV
'HVLJQ
%XLOG
DQG
'RFXPHQW
7UDQVLWLRQ

3URGXFWLRQ

, 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

6\VWHP'HYHORSPHQW/LIH&\FOH FRQWLQXHG

7UDQVLWLRQ

5HILQHWKHSURWRW\SH0RYHDQDSSOLFDWLRQLQWRSURGXFWLRQZLWKXVHUDFFHSWDQFHWHVWLQJFRQYHUVLRQRI

H[LVWLQJGDWDDQGSDUDOOHORSHUDWLRQV0DNHDQ\PRGLILFDWLRQVUHTXLUHG

3URGXFWLRQ

5ROORXWWKHV\VWHPWRWKHXVHUV2SHUDWHWKHSURGXFWLRQV\VWHP0RQLWRULWVSHUIRUPDQFHDQG

HQKDQFHDQGUHILQHWKHV\VWHP

1RWH7KHYDULRXVSKDVHVRIV\VWHPGHYHORSPHQWOLIHF\FOHFDQEHFDUULHGR XWLWHUDWLYHO\7KLVFRXUVH

IRFXVHVRQWKHEXLOGSKDVHRIWKHV\VWHPGHYHORSPHQWOLIHF\FOH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/,
'DWD6WRUDJHRQ'LIIHUHQW0HGLD
6$/*5$'(
*5$'(/26$/+,6$/

'(37

'(3712'1$0(/2&



$&&2817,1*1(:<25.

5(6($5&+'$//$6

6$/(6&+,&$*2
23(5$7,216%26721

'DWDEDVH

(OHFWURQLF )LOLQJFDELQHW

VSUHDGVKHHW

, 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

6WRULQJ,QIRUPDWLRQ

(YHU\RUJDQL]DWLRQKDVVRPHLQIRUPDWLRQQHHGV$OLEUDU\NHHSVDOLVWRIPHPEHUVERRNVGXHGDWHV

DQGILQHV$FRPSDQ\QHHGVWRVDYHLQIRUPDWLRQDERXWHPSOR\HHVGHSDUWPHQWVDQGVDODULHV7KHVH

SLHFHVRILQIRUPDWLRQDUHFDOOHGGDWD

2UJDQL]DWLRQVFDQVWRUHGDWDRQYDULRXVPHGLDDQGLQGLIIHUHQWIRUPDWV²IRUH[DPSOHDKDUGFRS\

GRFXPHQWLQDILOLQJFDELQHWRUGDWDVWRUHGLQHOHFWURQLFVSUHDGVKHHWVRULQ GDWDEDVHV

$GDWDEDVHLVDQRUJDQL]HGFROOHFWLRQRILQIRUPDWLRQ

7RPDQDJHGDWDEDVHV\RXQHHGGDWDEDVHPDQDJHPHQWV\VWHPV '%06 $'%06LVDSURJUDPWKDW

VWRUHVUHWULHYHVDQGPRGLILHVGDWDLQWKHGDWDEDVHRQUHTXHVW7KHUHDUHIRXUPDLQW\SHVRIGDWDEDVHV

KLHUDUFKLFDOQHWZRUNUHODWLRQDODQGPRUHUHFHQWO\REMHFWUHODWLRQDO

1RWH2UDFOHLVDUHODWLRQDOGDWDEDVHPDQDJHPHQWV\VWHPDQG2UDFOHLVDQREMHFWUHODWLRQDO

GDWDEDVHPDQDJHPHQWV\VWHP

,QWURGXFWLRQWR2UDFOH64/DQG3/64/,
5HODWLRQDO'DWDEDVH&RQFHSW

‡ 'U()&RGGSURSRVHGWKHUHODWLRQDOPRGHO

IRUGDWDEDVHV\VWHPVLQ

‡ ,WLVWKHEDVLVIRUWKHUHODWLRQDOGDWDEDVH

PDQDJHPHQWV\VWHP 5'%06 

‡ 7KHUHODWLRQDOPRGHOFRQVLVWVRIWKHIROORZLQJ

± &ROOHFWLRQRIREMHFWVRUUHODWLRQV

± 6HWRIRSHUDWRUVWRDFWRQWKHUHODWLRQV

± 'DWDLQWHJULW\IRUDFFXUDF\DQGFRQVLVWHQF\

, 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

5HODWLRQDO0RGHO

7KHSULQFLSOHVRIWKHUHODWLRQDOPRGHOZHUHILUVWRXWOLQHGE\'U()&RGGLQD-XQHSDSHU

FDOOHG³$5HODWLRQDO0RGHORI'DWDIRU/DUJH6KDUHG'DWD%DQNV´,QWKLVSDSHU'U&RGGSURSRVHG

WKHUHODWLRQDOPRGHOIRUGDWDEDVHV\VWHPV

7KHPRUHSRSXODUPRGH OVXVHGDWWKDWWLPHZHUHKLHUDUFKLFDODQGQHWZRUNRUHYHQVLPSOHIODWILOH

GDWDVWUXFWXUHV5HODWLRQDOGDWDEDVHPDQDJHPHQWV\VWHPV 5'%06 VRRQEHFDPHYHU\SRSXODU

HVSHFLDOO\IRUWKHLUHDVHRIXVHDQGIOH[LELOLW\LQVWUXFWXUH,QDGGLWLRQDQXPEHURILQQRYDWLYH

YHQGRUVVXFKDV2UDFOHVXSSOHPHQWHGWKH5'%06ZLWKDVXLWHRISRZHUIXODSSOLFDWLRQGHYHORSPHQW

DQGXVHUSURGXFWVSURYLGLQJDWRWDOVROXWLRQ

&RPSRQHQWVRIWKH5HODWLRQDO0RGHO

‡ &ROOHFWLRQVRIREMHFWVRUUHODWLRQVWKDWVWRUHWKHGDWD

‡ $VHWRIRSHUDWRUVWKDWFDQDFWRQWKHUHODWLRQVWRSURGXFHRWKHUUHODWLRQV

‡ 'DWDLQWHJULW\IRUDFFXUDF\DQGFRQVLVWHQF\

For more information, see


E. F. Codd, The Relational Model for Database Management Version 2 (Reading, Mass.: Addison-
Wesley, 1990).

,QWURGXFWLRQWR2UDFOH64/DQG3/64/,
'HILQLWLRQRID
5HODWLRQDO'DWDEDVH
$UHODWLRQDOGDWDEDVHLVDFROOHFWLRQRI
UHODWLRQVRUWZRGLPHQVLRQDOWDEOHV
'DWDEDVH

7DEOH1DPH(03 7DEOH1DPH'(37

(0312(1$0(-2% '(3712 '(3712'1$0( /2&


.,1*35(6,'(17  $&&2817,1* 1(:<25.
%/$.(0$1$*(5  5(6($5&+ '$//$6
&/$5.0$1$*(5  6$/(6 &+,&$*2
-21(60$1$*(5  23(5$7,216 %26721

, 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

'HILQLWLRQRID5HODWLRQDO'DWDEDVH

$UHODWLRQDOGDWDEDVHXVHVUHODWLRQVRUWZRGLPHQVLRQDOWDEOHVWRVWRUHLQIRUPDWLRQ

)RUH[DPSOH\RXP LJKWZDQWWRVWRUHLQIRUPDWLRQDERXWDOOWKHHPSOR\HHVLQ\RXUFRPSDQ\,QD

UHODWLRQDOGDWDEDVH\RXFUHDWHVHYHUDOWDEOHVWR VWRUHGLIIHUHQWSLHFHVRILQIRUPDWLRQDERXW\RXU

HPSOR\HHVVXFKDVDQHPSOR\HHWDEOHDGHSDUWPHQWWDEOHDQGDVDODU\WDEOH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/,
'DWD0RGHOV

0RGHORI

V\VWHP
(QWLW\PRGHORI
LQFOLHQW¶V
FOLHQW¶VPRGHO
PLQG

7DEOHPRGHO

RIHQWLW\PRGHO
6HUYHU

7DEOHVRQGLVN

, 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

'DWD0RGHOV

0RGHOVDUHDFRUQHUVWRQHRIGHVLJQ(QJLQHHUVEXLOGDPRGHORIDFDUWRZRUNRXWDQ\GHWDLOVEHIRUH

SXWWLQJLWLQWRSURGXFWLRQ,QWKHVDPHPDQQHUV\VWHPGHVLJQHUVGHYHORSPRGHOVWRH[SORUHLGHDVDQG

LPSURYHWKHXQGHUVWDQGLQJRIWKHGDWDEDVHGHVLJQ

3XUSRVHRI0RGHOV

0RGHOVKHOSFRPPXQLFDWHWKHFRQFHSWVLQSHRSOH¶VPLQGV7KH\FDQEHXVHGWRGRWKHIROORZLQJ

‡ &RPPXQLFDWH

‡ &DWHJRUL]H

‡ 'HVFULEH

‡ 6SHFLI\

‡ ,QYHVWLJDWH

‡ (YROYH

‡ $QDO\]H

‡ ,PLWDWH

7KHREMHFWLYHLVWRSURGXFHDPRGHOWKDWILWVDPXOWLWXGHRIWKHVHXVHVFDQEHX QGHUVWRRGE\DQHQG

XVHUDQGFRQWDLQVVXIILFLHQWGHWDLOIRUDGH YHORSHUWREXLOGDGDWDEDVHV\VWHP

,QWURGXFWLRQWR2UDFOH64/DQG3/64/,
(QWLW\5HODWLRQVKLS0RGHO
‡ &UHDWHDQHQWLW\UHODWLRQVKLSGLDJUDPIURP
EXVLQHVVVSHFLILFDWLRQVRUQDUUDWLYHV

(03/2<(( '(3$570(17
DVVLJQHGWR
  QXPEHU   QXPEHU

QDPH QDPH
FRPSRVHGRI
R MREWLWOH R ORFDWLRQ

‡ 6FHQDULR

± ³$VVLJQRQHRUPRUHHPSOR\HHVWRD
GHSDUWPHQW´

± ³6RPHGHSDUWPHQWVGRQRW\HWKDYH
DVVLJQHGHPSOR\HHV´

, 2UDFOH&RUSR UDWLRQ$OOULJKWVUHVHUYH G


&RS\ ULJ KW

(50RGHOLQJ

,QDQHIIHFWLYHV\VWHPGDWDLVGLYLGHGLQWRGLVFUHWHFDWHJRULHVRUHQWLWLHV$QHQWLW\UHODWLRQVKLS (5

PRGHOLVDQLOOXVWUDWLRQRIYDULRXVHQWLWLHVLQDEXVLQHVVDQGWKHUHODWLRQVKLSVEHWZHHQWKHP$Q(5

PRGHOLVGHULYHGIURP EXVLQHVVVSHFLILFDWLRQVRUQDUUDWLYHVDQGEXLOWGXULQJWKHDQDO\VLVSKDVHRIWKH

V\VWHPGHYHORSPHQWOLIHF\FOH(5PRGHOVVHSDUDWHWKHLQIRUPDWLRQUHTXLUHGE\DEXVLQHVVIURPWKH

DFWLYLWLHVSHUIRUPHGZLWKLQDEXVLQHVV$OWKRXJKEXVLQHVVHVFDQFKDQJHWKHL UDFWLYLWLHVWKHW\SHRI

LQIRUPDWLRQWHQGVWRUHPDLQFRQVWDQW7KHUHIRUHWKHGDWDVWUXFWXUHVDOVRWHQGWREHFRQVWDQW

%HQHILWVRI(50RGHOLQJ

‡ 'RFXPHQWVLQIRUPDWLRQIRUWKHRUJDQL]DWLRQLQDFOHDUSUHFLVHIRUPDW

‡ 3URYLGHVDFOHDUSLFWXUHRIWKHVFRSHRIWKHLQIRUPDWLRQUHTXLUHPHQW

‡ 3URYLGHVDQHDVLO\XQGHUVWRRGSLFWRULDOPDSIRUWKHGDWDEDVHGHVLJQ

‡ 2IIHUVDQHIIHFWLYHIUDPHZRUNIRULQWHJUDWLQJP XOWLSOHDSSOLFDWLRQV

.H\&RPSRQHQWV

‡ (QWLW\$WKLQJRIVLJQLILFDQFHDERXWZKLFKLQIRUPDWLRQQHHGVWREHNQRZQ([DPSOHVDUH

GHSDUWPHQWVHPSOR\HHVDQGRUGHUV

‡ $WWULEXWH6RPHWKLQJWKDWGHVFULEHVRUTXDOLILHVDQHQWLW\)RUH[DPSOHIRUWKHHPS OR\HHHQWLW\

WKHDWWULEXWHVZRXOGEHWKHHPSOR\HHQXPEHUQDPHMREWLWOHKLUHGDWHGHSDUWPHQWQXPEHU

DQGVRRQ(DFKRIWKHDWWULEXWHVLVHLWKHUUHTXLUHGRURSWLRQDO7KLVVWDWHLVFDOOHGRSWLRQDOLW\

‡ 5HODWLRQVKLS$QDPHGDVVRFLDWLRQEHWZHHQHQ WLWLHVVKRZLQJRSWLRQDOLW\DQGGHJUHH([DPSOHV

DUHHPSOR\HHVDQGGHSDUWPHQWVDQGRUGHUVDQG LWHPV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/,
(QWLW\5HODWLRQVKLS
0RGHOLQJ&RQYHQWLRQV
(QWLW\ $WWULEXWH

6RIWER[ 6LQJXODUQDPH

6LQJXODUXQLTXHQDPH /RZHUFDVH

8SSHUFDVH 0DQGDWRU\PDUNHGZLWK³ ´

6\QRQ\PLQSDUHQWKHVHV 2SWLRQDOPDUNHGZLWK³R´

(03/2<(( '(3$570(17
DVVLJQHGWR
  QXPEHU   QXPEHU

QDPH QDPH
FRPSRVHGRI
R MREWLWOH R ORFDWLRQ

8QLTXH,GHQWLILHU 8,'

3ULPDU\PDUNHGZLWK³´

6HFRQGDU\PDUNHGZLWK³  ´

, 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

(QWLWLHV

7RUHSUHVHQWDQHQWLW\LQDPRGHOXVHWKHIROORZLQJFRQYHQWLRQV

‡ 6RIWER[ZLWKDQ\GLPHQVLRQV

‡ 6LQJXODUXQLTXHHQWLW\QDPH

‡ (QWLW\QDPHLQXSSHUFDVH

‡ 2SWLRQDOV\QRQ\PQDPHVLQXSSHUFDVHZLWKLQSDUHQWKHVHV 

$WWULEXWHV

7RUHSUHVHQWDQDWWULEXWHLQDPRGHOXVHWKHIROORZLQJFRQYHQWLRQV

‡ 8VHVLQJXODUQDPHVLQORZHUFDVH

‡ 7DJPDQGDWRU\DWWULEXWHVRUYDOXHVWKDWPXVWEHNQRZQZLWKDQDVWHULVN

‡ 7DJRSWLRQDODWWULEXWHVRUYDOXHVWKDWPD\EHNQRZQZLWKWKHOHWWHUR

5HODWLRQVKLSV

6\P ERO 'HVFULSWLRQ

'DVKHGOLQH 2SWLRQDOHOHPHQWLQGLFDWLQJ³PD\EH´

6ROLGOLQH 0DQGDWRU\HOHPHQWLQGLFDWLQJ³PXVWEH´

&URZ¶VIRRW 'HJUHHHOHPHQWLQGLFDWLQJ³RQHRUPRUH´

6LQJOHOLQH 'HJUHHHOHPHQWLQGLFDWLQJ³RQHDQGRQO\RQH´

,QWURGXFWLRQWR2UDFOH64/DQG3/64/,
(QWLW\5HODWLRQVKLS
0RGHOLQJ&RQYHQWLRQV
(QWLW\ $WWULEXWH

6RIWER[ 6LQJXODUQDPH

6LQJXODUXQLTXHQDPH /RZHUFDVH

8SSHUFDVH 0DQGDWRU\PDUNHGZLWK³ ´

6\QRQ\PLQSDUHQWKHVHV 2SWLRQDOPDUNHGZLWK³R´

(03/2<(( '(3$570(17
DVVLJQHGWR
  QXPEHU   QXPEHU

QDPH QDPH
FRPSRVHGRI
R MREWLWOH R ORFDWLRQ

8QLTXH,GHQWLILHU 8,'

3ULPDU\PDUNHGZLWK³´

6HFRQGDU\PDUNHGZLWK³  ´

, 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

5HODWLRQVKLSV

(DFKGLUHFWLRQRIWKHUHODWLRQVKLSFRQWDLQV

‡ $QDPHIRUH[DPSOHWDXJKWE\RUDVVLJQHGWR

‡ $QRSWLRQDOLW\HLWKHUPXVWEHRUPD\EH

‡ $GHJUHHHLWKHURQHDQGRQO\RQHRURQHRUPRUH

1RWH7KHWHUPFDUGLQDOLW\LVDV\QRQ\PIRUWKHWHUPGHJUHH

(DFKVRXUFHHQWLW\^PD\EH_PXVWEH`UHODWLRQVKLSQDPH^RQHDQGRQO\RQH_RQHRUPRUH`GHVWLQDWLRQ

HQWLW\

1RWH7KHFRQYHQWLRQLVWRUHDGFORFNZLVH

8QLTXH,GHQWLILHUV

$XQLTXHLGHQWLILHU 8,' LVDQ\FRPELQDWLRQRIDWWULEXWHVRUUHODWLRQVKLSVRUERWKWKDWVHUYHVWR

GLVWLQJXLVKRFFXUUHQFHVRIDQHQWLW\(DFKHQWLW\RFFXUUHQFHPXVWEHXQLTXHO\LGHQWLILDEOH

‡ 7DJHDFKDWWULEXWHWKDWLVSDUWRIWKH8,'ZLWKDQXPEHUV\PERO

‡ 7DJVHFRQGDU\8,'VZLWKDQXPEHUVLJQLQSDUHQWKHVHV 

,QWURGXFWLRQWR2UDFOH64/DQG3/64/,
5HODWLRQDO'DWDEDVH7HUPLQRORJ\
  
(0312 (1$0( -2%0*5+,5('$7(6$/&200'(3712

  


 .,1* 35(6,'(1 7 129 

 %/$.( 0$1$*(5  0$< 

 &/$5. 0$1$*(5  -81 

 -21(6 0$1$*(5  $3 5 

 0$57,1 6$/(60$1   6(3 

 $//(1 6$/(60$1   )(% 

 7851(5 6$/(60$1  


 6(3 

 -$0(6 &/(5.  '(& 

 :$5' 6$/(60$1   )(% 

 )25 ' $1$/<67  '(& 

 60,7+  &/(5.  '(& 

 6&277 $1$/<67  '(& 

 $'$06 &/(5.  -$1 

  0,//(5 &/(5.  -$1 

, &RS\ULJKW 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG

7HUPLQRORJ\8VHGLQD5HODWLRQDO'DWDEDVH

$UHODWLRQDOGDWDEDVHFDQFRQWDLQRQHRUPDQ\WDEOHV$WDEOHLVWKHEDVLFVWRUDJHVWUXFWXUHRIDQ5'%06

$WDEOHKROGVDOOWKHGDWDQHFHVVDU\DERXWVRPHWKLQJLQWKHUHDOZRUO G²IRUH[DPSOHHPSOR\HHVLQYRLFHV

RUFXVWRPHUV

7KHVOLGHVKRZVWKHFRQWHQWVRIWKH(03WDEOHRUUHODWLRQ7KHQXPEHUVLQGLFDWHWKHIROORZLQJ

 $VLQJOHURZRUWXSOHUHSUHVHQWLQJDOOGDWDUHTXLUHGIRUDSDUWLFXODUHPSOR\HH(DFKURZLQDWDEOH

VKRXOGEHLGHQWLILHGE\DSULPDU\NH\ZKLFKDOOR ZVQRGXSOLFDWHURZV7KHRUGHURIURZVLV

LQVLJQLILFDQWVSH FLI\WKHURZRUGHUZKHQWKHGDWDLVUHWULHYHG

 $FROXPQRUDWWULEXWHFRQWDLQLQJWKHHPSOR\HHQXPEHUZKLFKLVDOVRWKHSULPDU\NH\7KHHPSOR\HH

QXPEHULGHQWLILHVDXQLTXHHPSOR\HHLQWKH(03WDEOH$SULPDU\NH\PXVWFRQWDLQDYDOXH

 $FROXPQWKDWLVQRWDNH\YDOXH$FROXPQUHSUHVHQWVRQHNLQGRIGDWDLQDWDEOHLQWKHH[DPSOH

WKHMREWLWOHRIDOOWKHHPSOR\HHV&ROXPQRUGHULVLQVLJQLILFDQWZKHQ VWRULQJGDWDVSHFLI\WKH

FROXPQRUGHUZKHQWKHGDWDLVUHWULHYHG

 $FROXPQFRQWDLQLQJWKHGHSDUWPHQWQXPEHUZKLFKLVDOVRDIRUHLJQNH\$IRUHLJQNH\LVDFROXPQ

WKDWGHILQHVKRZWDEOHVUHODWHWRHDFKRWKHU$IRUHLJQNH\UHIHUVWRDSULPDU\NH\RUDXQLTXHNH\LQ

DQRWKHUWDEOH,QWKHH[DPSOH'(3712XQLTXHO\LGHQWLILHVDGHSDUWPHQWLQWKH'(37WDEOH

 $ILHOGFDQEHIRXQGDWWKHLQWHUVHFWLRQRIDURZDQGDFROXPQ7KHUHFDQEHRQO\RQHYDOXHLQLW

 $ILHOGPD\KDYHQRYDOXHLQLW7KLVLVFDOOHGDQXOOYDOXH,QWKH(03WDEOHRQO\HPSOR\HHVZKR

KDYHDUROHRIVDOHVPDQKDYHDYDOXHLQWKH&200 FRPPLVVLRQ ILHOG

1RWH1XOOYDOXHVDUHFRYHUHGIXUWKHULQVXEVHTXHQWOHVVRQV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/,
5HODWLQJ0XOWLSOH7DEOHV
‡ (DFKURZRIGDWDLQDWDEOHLVXQLTXHO\
LGHQWLILHGE\DSULPDU\NH\ 3. 
‡ <RXFDQORJLFDOO\UHODWHGDWDIURP
PXOWLSOHWDEOHVXVLQJIRUHLJQNH\V ). 
7DEOH1DPH(03 7DEOH1DPH'(37

(0312(1$0(-2% '(3712 '(3712'1$0( /2&


.,1*35(6,'(17  $&&2817,1* 1(:<25.
%/$.(0$1$*(5  5(6($5&+ '$//$6
&/$5.0$1$*(5  6$/(6 &+,&$*2
-21(60$1$*(5  23(5$7,216 %26721

3ULPDU\NH\ )RUHLJQNH\ 3ULPDU\NH\

, 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

5HODWLQJ0XOWLSOH7DEOHV

(DFKWDEOHFRQWDLQVGDWDWKDWGHVFULEHVH[DFWO\RQHHQWLW\)RUH[DPSOHWKH(03WDEOHFRQWDLQV

LQIRUPDWLRQDERXWHPSOR\HHV&DWHJRULHVRIGDWDDUHOLVWHGDFURVVWKHWRSRIHDFKWDEOHDQGLQGLYLGXDO

FDVHVDUHOLVWHGEHORZ8VLQJDWDEOHIRUPDW\RXFDQUHDGLO\YLVXDOL]HXQGHUVWDQGDQGXVHLQIRUPDWLRQ

%HFDXVHGDWDDERXWGLIIHUHQWHQWLWLHVLVVWRUHGLQGLIIHUHQWWDEOHV\RXPD\QHHGWRFRPE LQHWZRRUPRUH

WDEOHVWRDQVZHUDSDUWLFXODUTXHVWLRQ)RUH[DPSOH\RXPD\ZDQWWRNQRZWKHORFDWLRQRIWKHGHSDUWPHQW

ZKHUHDQHPSOR\HHZRUNV,QWKLVVFHQDULR\RXQHHGLQIRUP DWLRQIURPWKH(03WDEOH ZKLFKFRQWDLQV

GDWDDERXWHPSOR\HHV DQGWKH'(37WDEOH ZKLFKFRQWDLQVLQIRUPDWLRQDERXWGHSDUWPHQWV $Q5'%06

HQDEOHV\RXWRUHODWHWKHGDWDLQRQHWDEOHWRWKHGDWDLQDQRWKHUE\XVLQJWKHIRUHLJQNH\V$IRUHLJQNH\

LVDFROXPQRUDVHWRIFROXPQVWKDWUHIHUWRDSULPDU\NH\LQWKHVDPHWDEOHRUDQRWKHUWDEOH

7KHDELOLW\WRUHODWHGDWDLQRQHWDEOHWRGDWDLQDQRWKHUHQDEOH V\RXWRRUJDQL]HLQIRUPDWLRQLQVHSDUDWH

PDQDJHDEOHXQLWV(PSOR\HHGDWDFDQEHNHSWORJLFDOO\GLVWLQFWIURPGHSDUWPHQWGDWDE\VWRULQJLWLQD

VHSDUDWHWDEOH

*XLGHOLQHVIRU3ULPDU\.H\VDQG)RUHLJQ.H\V

‡ 1RGXSOLFDWHYDOXHVDUHDOORZHGLQDSULPDU\NH\

‡ 3ULPDU\NH\VJHQHUDOO\FDQQRWEHFKDQJHG

‡ )RUHLJQNH\VDUHEDVHGRQGDWDYDOXHVDQGDUHSXUHO\ORJLFDOQRWSK\VLFDOSRLQWHUV

‡ $IRUHLJQNH\YDOXHPXVWPDWFKDQH[LVWLQJSULPDU\NH\YDOXHRUXQLTXHNH\YDOXHRUHOVHEHQXOO

,QWURGXFWLRQWR2UDFOH64/DQG3/64/,
5HODWLRQDO'DWDEDVH3URSHUWLHV

$UHODWLRQDOGDWDEDVH
‡ &DQEHDFFHVVHGDQGPRGLILHGE\
H[HFXWLQJVWUXFWXUHGTXHU\ODQJXDJH
64/ VWDWHPHQWV
‡ &RQWDLQVDFROOHFWLRQRIWDEOHVZLWKQR
SK\VLFDOSRLQWHUV
‡ 8VHVDVHWRIRSHUDWRUV

, 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

3URSHUWLHVRID5HODWLRQDO'DWDEDVH

,QDUHODWLRQDOGDWDEDVH\RXGRQRWVSHFLI\WKHDFFHVVURXWHWRWKHWDEOHVDQG\RXGRQRWQHHGWR

NQRZKRZWKHGDWDLVDUUDQJHGSK\VLFDOO\

7RDFFHVVWKHGDWDEDVH\RXH[HFXWHDVWUXFWXUHGTXHU\ODQJXDJH 64/ VWDWHPHQWZKLFKLVWKH

$PHULFDQ1DWLRQDO6WDQGDUGV,QVWLWXWH $16, VWDQGDUGODQJXDJHIRURSHUDWLQJXSRQUHODWLRQDO

GDWDEDVHV7KHODQJXDJHFRQWDLQVDODUJHVHWRIRSHUDWRUVIRUSDUWLWLRQLQJDQGFRPELQLQJUHODWLRQV

7KHGDWDEDVHFDQEHPRGLILHGE\XVLQJWKH64/VWDWHPHQWV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/,
&RPPXQLFDWLQJZLWKD5'%06
8VLQJ64/
64/VWDWHPHQW

LVHQWHUHG 6WDWHPHQWLVVHQWWR

64/!6(/(&7ORF GDWDEDVH
)520GHSW

'DWDEDVH

'DWDLVGLVSOD\HG

/2&

1(:<25.
'$//$6
&+,&$*2
%26721

, 2UDFOH&RUSR UDWLRQ$OOULJKWVUHVHUYH G


&RS\ ULJ KW

6WUXFWXUHG4XHU\/DQJXDJH

64/DOORZV\RXWRFRPPXQLFDWHZLWKWKHVHUYHUDQGKDVWKHIROORZLQJDGYDQWDJHV

‡ (IILFLHQW

‡ (DV\WROHDUQDQGXVH

‡ )XQFWLRQDOO\FRPSOHWH 64/DOORZV\RXWRGHILQHUHWULHYHDQGPDQL SXODWHGDWDLQWKHWDEOHV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/,
5HODWLRQDO'DWDEDVH
0DQDJHPHQW6\VWHP

6HUYHU

8VHUWDEOHV 'DWD

GLFWLRQDU\

, 2UDFOH&RUSR UDWLRQ$OOULJKWVUHVHUYH G


&RS\ ULJ KW

5HODWLRQDO'DWDEDVH0DQDJHPHQW6\VWHP

2UDFOHSURYLGHVDIOH[LEOH5'%06FDOOHG2UDFOH8VLQJLWVIHDWXUHV\RXFDQVWRUHDQGPDQDJHGDWD

ZLWKDOOWKHDGYDQWDJHVRIDUHODWLRQDOVWUXFWXUHSOXV3/64/DQHQJLQHWKDWSURYLGHV\RXZLWKWKH

DELOLW\WRVWRUHDQGH[HFXWHSURJUDPXQLWV7KHVHUYHURIIHUVWKHRSWLRQVRIUHWULHYLQJGDWDEDVHGRQ

RSWLPL]DWLRQWHFKQLTXHV,WLQFOXGHVVHFXULW\IHDWXUHVWKDWFRQWUROKRZDGDWDEDVHLVDFFHVVHGDQG

XVHG2WKHUIHDWXUHVLQFOXGHFRQVLVWHQF\DQGSURWHFWLRQRIGDWDWKURXJKORFNLQJPHFKDQLVPV

2UDFOHDSSOLFDWLRQVPD\UXQRQWKHVDPHFRPSXWHUDVWKH2UDFOH6HUYHU$OWHUQDWLYHO\\RXFDQUXQ

DSSOLFDWLRQVRQDV\VWHPORFDOWRWKHXVHUDQGUXQWKH2UDFOH6HUYHURQDQRWKHUV\VWHP FOLHQ WVHUYHU

DUFKLWHFWXUH ,QWKLVFOLHQWVHUYHUHQYLURQPHQWDZLGHUDQJHR IFRPSXWLQJUHVRXUFHVFDQEHXVHG)RU

H[DPSOHDIRUPEDVHGDLUOLQHUHVHUYDWLRQDSSOLFDWLRQFDQUXQRQDFOLHQWSHUVRQDOFRP SXWHUZKLOH

DFFHVVLQJIOLJKWGDWDWKDWLVFRQYHQLHQWO\PDQDJHGE\DQ2UDFOH6HUYHURQDFHQWUDOFRP SXWHU

)RUPRUHLQIRUPDWLRQVHH

2UDFOH6HUYHU&RQFHSWV0DQXDO5HOHDVH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/,
2UDFOH2EMHFW5HODWLRQDO
'DWDEDVH0DQDJHPHQW6\VWHP
‡ 8VHUGHILQHGGDWDW\SHVDQGREMHFWV
‡ )XOO\FRPSDWLEOHZLWKUHODWLRQDO
GDWDEDVH
‡ 6XSSRUWRIPXOWLPHGLDDQGODUJHREMHFWV
‡ +LJKTXDOLW\GDWDEDVHVHUYHUIHDWXUHV

, 2UDFOH&RUSR UDWLRQ$OOULJKWVUHVHUYH G


&RS\ ULJ KW

$ERXW2UDFOH

2UDFOHLVWKHILUVWREMHFWFDSDEOHGDWDEDVHGHYHORSHGE\2UDFOH,WH[WHQGVWKHGDWDPRGHOLQJ

FDSDELOLWLHVRI2UDFOHWRVXSSRUWDQHZREMHFWUHODWLRQDOGDWDEDVHPRGHO2UDFOHSURYLGHVDQHZ

HQJLQHWKDWEULQJVREMH FWRULHQWHGSURJUDPPLQJFRPSOH[GDWDW\SHVFRPSOH[EXVLQHVVREMHFWVDQG

IXOOFRPSDWLELOLW\ZLWKWKHUHODWLRQDOZRUOG

2UDFOHH[WHQGV2UDFOHLQPDQ\ZD\V,WLQFOXGHVVHYHUDOIHDWXUHVIRULPSURYHGSHUIRUPDQFHDQG

IXQFWLRQDOLW\RIRQOLQHWUDQVDFWLRQSURFHVVLQJ 2/73 DSSOLFDWLRQVVXFKDVEHWWHUVKDULQJRIUXQWLPH

GDWDVWUXFWXUHVODUJHUEXIIHUFDFKHVDQGGHIHUUDEOHFRQVWUDLQWV'DWDZDUHKRXVHDSSOLFDWLRQVZLOO

EHQHILWIURPHQKDQFHPHQWVVXFKDVSDUDOOHOH[HFXWLRQRILQVHUWXSGDWHDQGGHOHWHRSHUDWLRQV

SDUWLWLRQLQJDQGSDUDOOHODZDUHTXHU\RSWLPL]DWLRQ2SHUDWLQJZLWKLQWKH1HWZRUN&RP SXWLQJ

$UFKLWHFWXUH 1&$ IUDP HZRUN2UDFOHVXSSRUWVFOLHQWVHUYHUDQG:HEEDVHGDSSOLFDWLRQVWKDWDUH

GLVWULEXWHGDQGPXOWLWLHUHG

2UDFOHFDQVFDOHWHQVRIWKRXVDQGVRIFRQFXUUHQWXVHUVVXSSRUWXSWRSHWDE\WHVDQGFDQKDQGOH

DQ\W\SHRIGDWDLQFOXGLQJWH[WVSDWLDOLPDJHVRXQGYLGHRDQGWLPHVHULHVDVZ HOODVWUDGLWLRQDO

VWUXFWXUHGGDWD

)RUPRUHLQIRUPDWLRQVHH

2UDFOH6HUYHU&RQFHSWV0DQXDO5HOHDVH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/,
'HILQLQJDQ2EMHFW
$QREMHFW
‡ ,VDSHUVRQSODFHRUWKLQJ
‡ .QRZVWKLQJVDERXWLWVHOIDQGSHUIRUPV
DFWLRQV
‡ +DVDQLGHQWLW\

,DPDFORFN,NQRZ

P\WLPH]RQHDQG,

FDQGLVSOD\WLPH

, 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

2EMHFWV

$QREMHFWLVRIWHQFRQVLGHUHGWREHDUHSUHVHQWDWLRQRIDUHDOZRUOGWKLQJ2EMHFWVDUHVDLGWRµNQRZ¶

KRZWRGRWKLQJV$QHPSOR\HHREMHFWFDQEH WROGWRFDOFXODWHLWVSD\UROOGHGXFWLRQVDQGDQRUGHU

REMHFWFDQEHWROGWRVKLSLWVHOI

6RPHGHILQLWLRQVRIREMHFWVDUHWKHIROORZLQJ

‡ ³$QREMHFWLVDVRIWZDUHµSDFNDJH¶WKDWFRQWDLQVDFROOHFWLRQRIUHODWHGSURFHGXUHV PHWKRGV

DQGGDWD YDULDEOHV ´'DYLG7D\ORU2EMHFW2ULHQWHG7HFKQRORJ\$0DQDJHU¶V*XLGH

5HDGLQJ0DVV$GGLVRQ:HVOH\

‡ ³$QREMHFWLVDFRQFHSWDEVWUDFWLRQRUWKLQJZLWKFULVSERXQGDULHVDQGPHDQLQJIRUWKH

SUREOHPDWKDQG´-DPHV5XPEDXJKHWDO2EMHFW2ULHQWHG0RGHOLQJDQG'HVLJQ (QJOHZRRG

&OLIIV1-3UHQWLFH+DOO

,QWURGXFWLRQWR2UDFOH64/DQG3/64/,
8VLQJDQ2EMHFW0RGHO
‡ 2EMHFWVPRGHODSUREOHPWRVROYH
‡ 7KHPRGHOLVVWDWHGLQWHUPVRIWKH
LQWHUDFWLRQVEHWZHHQREMHFWV
‡ 2EMHFWPRGHOVFORVHO\UHVHPEOHWKHUHDO
ZRUOG

%X\

6HOO

&XVWRPHUV %XVLQHVV

, 2UDFOH&RUSR UDWLRQ$OOULJKWVUHVHUYH G


&RS\ ULJ KW

2EMHFW0RGHOV

2EMHFWWHFKQRORJ\ZDVGHVLJQHGIRUPRGHOLQJEXVLQHVVSUREOHPV7KHPRGHOLVVWDWHGLQWHUPVRI

WKHLQWHUDFWLRQVEHWZHHQREMHFWV

:KHQZRUNLQJZLWKREMH FWVGHYHORSHUVWKLQNPRUHLQWHUPVRIWKHQHHGVRIWKHDSSOLFDWLRQDQGOHVV

DERXWWKHDUFKLWHFWXUHRIWKHRSHUDWLQJV\VWHPVDQGWKHUHTXLUH PHQWVRIWKHGHYHORSPHQW

HQYLURQPHQW

,QWURGXFWLRQWR2UDFOH64/DQG3/64/,
&KDUDFWHULVWLFVRI2EMHFW6\VWHPV
‡ 3UHVHQWLQIRUPDWLRQLQREMHFWIRUP
‡ &ODVVLI\REMHFWVLQWRREMHFWW\SHV
‡ ,QKHULWDWWULEXWHVDQGFRGH
‡ +LGHGDWDFRGHDQGDWWULEXWHV
‡ ,QWHUDFWZLWKRWKHUREMHFWV
‡ 5HFRJQL]HGLIIHUHQWREMHFWVZLWKRXW
DQDO\VLV
‡ ,QWHUSUHWWKHVDPHFRPPDQGLQ
GLIIHUHQWZD\V
, 2UDFOH&RUSR UDWLRQ$OOULJKWVUHVHUYH G
&RS\ ULJ KW

&KDUDFWHULVWLFVRI2EMHFW6\VWHPV

2EMHFWV\VWHPVGLIIHUIURPFRQYHQWLRQDOV\VWHPVLQWKDWWKH\KDYHWKHIROORZLQJDELOLWLHV

‡ 5HSUHVHQWLQIRUPDWLRQDVVHOIFRQWDLQHGWKLQJV REMHFWV 

‡ &ODVVLI\REMHFWVLQWRREMHFWW\SHVDQGRUJDQL]HWKHPLQWRWUHHOLNHKLHUDUFKLHVZKHUHRQHREMHFW

W\SHPD\EHDVSHFLDONLQGRIDQRWKHUREMHFWW\SH VSHFLI\LQJREMHFWW\SHPHWDGDWD 

‡ +DYHREMHFWVWKDWFDQLQKHULWWKHIHDWXUHVRIWKHLUREMHFWW\SH LQKHULWDQFH 

‡ +LGHGDWDDQGSURFHVVHVUHODWHGWRHDFKREMHFWZLWKLQWKDWREMHFW HQFDSVXODWLRQ 7KLVDOORZV

IRUFKDQJHVWRVSHFLILFFRPSRQHQWVZLWKRXWDIIHFWLQJRWKHUFRPSRQHQWV

‡ ,QWHUIDFHZLWKRWKHUREMHFWV LQWHUIDFHRUPHVVDJLQJ 

‡ 5HFRJQL]HGLIIHUHQWNLQGVRIWKLQJVDQGWKHLUH[SHFWHGEHKDYLRUZLWKRXWKDYLQJWRDQDO\]H

WKHP

‡ 8VHWKHVDPHUHTXHVWWRLQYRNHGLIIHUHQWLPSOHPHQWDWLRQVR IWKHVDPHDFWLRQIRUWZRGLIIHUHQW

REMHFWV SRO\PRUSKLVP 

&ODVV0DQDJHPHQW1RWH

7KHLGHDRIWKLVVOLGHLVMXVWWRLQWURGXFHWKHWHUPVLQWKHREMHFWRULHQWHGZRUOG'RQRWJHWLQWRWRR

PXFKGHWDLOV$OVRLQIRUPVWXGHQWVWKDWWKHVHDUHWKHFKDUDFWHULVWLFVRIWUXHREMHFWVDQGWKDW2UDFOH

6HUYHU5HOHDVHGRHVQRWVXSSRUWDOORIWKHP

,QWURGXFWLRQWR2UDFOH64/DQG3/64/,
2UDFOH&RPSOHWH6ROXWLRQ
$SSOLFDWLRQV
2UDFOH'HYHORSHU
+5

)LQDQFLDOV 'LVFRYHUHU

0DQXIDFWXULQJ
2UDFOH'HVLJQHU


64/ 3/64/ 64/ 3OXV

2UDFOH
'DWD
'DWDEDVH

GLFWLRQDU\

'DWDWDEOHV

, 2UDFOH&RUSR UDWLRQ$OOULJKWVUHVHUYH G


&RS\ ULJ KW

2UDFOH&RPSOHWH6ROXWLRQ

7KH2UDFOHUHODWLRQDOGDWDEDVHPDQDJHPHQWV\VWHPLVWKH2UDFOHFRUHSURGXFW,WLQFOXGHVWKH2UDFOH6HUYHU

DQGVHYHUDOWRROVLQWHQGHGWRDVVLVWWKHXVHUVLQWKHPDLQWHQDQFHPRQLWRULQJDQGDFWXDOXVHRIWKHGDWD7KH

2UDFOHGDWDGLFWLRQDU\LVRQHRIWKHPRVWLPSRUWDQWFRPSRQHQWVRIWKH6HUYHU,WFRQVLVWVRIDVHWRIWDEOHV

DQGYLHZVWKDWSURYLGHDUHDGRQO\UHIHUHQFHWRWKHGDWDEDVH

7KH5'%06KDQGOHVWDVNVVXFKDVWKHIROORZLQJ

‡ 0DQDJLQJWKHVWRUDJHDQGGHILQLWLRQRIGDWD

‡ &RQWUROOLQJDQGUHVWULFWLQJGDWDDFFHVVDQGFRQFXUUHQF\

‡ 3URYLGLQJEDFNXSDQGUHFRYHU\

‡ ,QWHUSUHWLQJ64/DQG3/64/VWDWHPHQWV

1RWH3/64/LVDQ2UDFOHSURFHGXUDOODQJXDJHWKDWH[WHQGV64/E\DGGLQJDSSOLFDWLRQORJLF

64/DQG3/64/VWDWHPHQWVDUHXVHGE\DOOSURJUDPVDQGXVHUVWRDFFHVVDQGPDQLSXODWHGDWDVWRUHGLQWKH

2UDFOHGDWDEDVH8VLQJDSSOLFDWLRQSURJUDPV\RXRIWHQFDQDFFHVVWKHGDWDEDVHZLWKRXWGLUHFWO\XVLQJ64/

RU3/64/EHFDXVH\RXPD\SUHVVDEXWWRQRUVHOHFWDFKHFNER[IRUH[DPSOHEXWWKHDSSOLFDW LRQV

LPSOLFLWO\XVH64/RU3/64/ZKHQH[HFXWLQJWKHUHTXHVW

64/ 3OXVLVDQ2UDFOHWRROWKDWUHFRJQL]HVDQGVXEPLWV64/DQG3/64/VWDWHPHQWVWRWKHVHUYHUIRU

H[HFXWLRQDQGFRQWDLQVLWVRZQFRPPDQGODQJXDJH

2UDFOHRIIHUVDZLGHYDULHW\RIVWDWHRIWKHDUWJUDSKLFDOXVHULQWHUIDFH *8, GULYHQWRROVWREXLOGEXVLQHVV

DSSOLFDWLRQVDVZHOODVDODUJHVXLWHRIVRIWZDUHDSSOLFDWLRQVIRUPDQ\DUHDVRIEXVLQHVVDQGLQGXVWULHV

1RWH0RUHDERXWWKH2UDFOHGDWDGLFWLRQDU\LVFRYHUHGLQVXEVHTXHQWOHVVRQV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/,
64/6WDWHPHQWV
6(/(&7
'DWDUHWULHYDO

,16(57

83'$7( 'DWDPDQLSXODWLRQODQJXDJH '0/


'(/(7(

&5($7(

$/7(5

'523 'DWDGHILQLWLRQODQJXDJH ''/

5(1$0(

7581&$7(

&200,7

52//%$&. 7UDQVDFWLRQFRQWURO

6$9(32,17

*5$17 'DWDFRQWUROODQJXDJH '&/


5(92.(

, 2UDFOH&RUSR UDWLRQ$OOULJKWVUHVHUYH G


&RS\ ULJ KW

64/6WDWHPHQWV

2UDFOH64/FRPSOLHVZLWKLQGXVWU\DFFHSWHGVWDQGDUGV2UDFOH&RUSRUDWLRQHQVXUHVIXWXUH

FRPSOLDQFHZLWKHYROYLQJVWDQGDUGVE\DFWLYHO\LQYROYLQJNH\SHUVRQQHOLQ64/VWDQGDUGV

FRPPLWWHHV,QGXVWU\DFFHSWHGFRPPLWWHHVDUHWKH$PHULFDQ1DWLRQDO6WDQGDUGV,QVWLWXWH $16,

DQGWKH,QWHUQDWLRQDO6WDQGDUGV2UJDQL]DWLRQ ,62 %RWK$16,DQG,62KDYHDFFHSWHG64/DVWKH

VWDQGDUGODQJXDJHIRUUHODWLRQDOGDWDEDVHV

6WDWHP HQW 'HVFULSWLRQ

6(/(&7 5HWULHYHVGDWDIURPWKHGDWDEDVH

,16(57 (QWHUVQHZURZVFKDQJHVH[LVWLQJURZVDQGUHPRYHVXQZDQWHGURZV

83'$7( IURPWDEOHVLQWKHGDWDEDVHUHVSHFWLYHO\&ROOHFWLYHO\NQRZQDVGDWD

'(/(7( PDQLSXODWLRQODQJXDJH '0/ 

&5($7( 6HWVXSFKDQJHVDQGUHPRYHVGDWDVWUXFWXUHVIURPWDEOHV&ROOHFWLYHO\

$/7(5 NQRZQDVGDWDGHILQLWLRQODQJXDJH ''/ 

'523

5(1$0(

7581&$7(

&200,7 0DQDJHVWKHFKDQJHVPDGHE\'0/VWDWHPHQWV&KDQJHVWRWKHGDWDFDQ

52//%$&. EHJURXSHGWRJHWKHULQWRORJLFDOWUDQVDFWLRQV

6$9(32,17

*5$17 *LYHVRUUHPRYHVDFFHVVULJKWVWRERWKWKH2UDFOHGDWDEDVHDQGWKH

5(92.( VWUXFWXUHVZLWKLQLW&ROOHFWLYHO\NQRZQDVGDWDFRQWUROODQJXDJH '&/ 

,QWURGXFWLRQWR2UDFOH64/DQG3/64/,
$ERXW3/64/

‡ 3/64/LVDQH[WHQVLRQWR64/ZLWK
GHVLJQIHDWXUHVRISURJUDPPLQJ
ODQJXDJHV
‡ 'DWDPDQLSXODWLRQDQGTXHU\VWDWHPHQWV
RI64/DUHLQFOXGHGZLWKLQSURFHGXUDO
XQLWVRIFRGH

, 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

$ERXW3/64/

3URFHGXUDO/DQJXDJH64/ 3/64/ LV2UDFOH&RUSRUDWLRQ¶VSURFHGXUDOODQJXDJHH[WHQVLRQWR64/

WKHVWDQGDUGGDWDDFFHVVODQJXDJHIRUREMHFWUHODWLRQDOGDWDEDVHV3/64/RIIHUVPRGHUQVRIWZDUH

HQJLQHHULQJIHDWXUHVVXFKDVGDWDHQFDSVXODWLRQH[FHSWLRQKDQGOLQJLQIRUPDWLRQKLGLQJDQGREMHFW

RULHQWDWLRQDQGVREULQJVVWDWHRIWKHDUWSURJUDPPLQJWRWKH2UDFOH6HUYHUDQG7RROVHW

3/64/LQFRUSRUDWHVPDQ\RIWKHDGYDQFHGIHDWXUHVPDGHLQSURJUDPP LQJODQJXDJHVGHVLJQHG

GXULQJWKHVDQGV,WDOORZVWKHGDWDPDQLSXODWLRQDQGTXHU\VWDWHPHQWVRI64/WREH

LQFOXGHGLQEORFNVWUXFWXUHGDQGSURFHGXUDOXQLWVRIFRGHPDNLQJ3/64/DSRZHUIXOWUDQVDFWLRQ

SURFHVVLQJODQJXDJH:LWK3/64/\RXFDQXVH64/VWDWHPHQWVWRILQHVVH2UDFOHGDWDDQG3/64/

FRQWUROVWDWHPHQWVWRSURFHVVWKHGDWD

,QWURGXFWLRQWR2UDFOH64/DQG3/64/,
3/64/(QYLURQPHQW

3/64/HQJLQH

3/64/
3URFHGXUDO
3/64/ 3/64/
64/ 6WDWHPHQW
EORFN EORFN
([HFXWRU

64/6WDWHPHQW([HFXWRU

2UDFOH6HUYHU

, 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

3/64/(QJLQHDQGWKH2UDFOH6HUYHU

3/64/LVQRWDQ2UDFOHSURGXFWLQLWVRZQULJKWLWLVDWHFKQRORJ\HPSOR\H GE\WKH2UDFOH6HUYHU

DQGE\FHUWDLQ2UDFOHWRROV%ORFNVRI3/64/DUHSDVVHGWRDQGSURFHVVHGE\D3/64/HQJLQH

ZKLFKPD\UHVLGHZLWKLQWKHWRRORUZLWKLQWKH2UDFOH6HUYHU7KHHQJLQHXVHGGHSHQGVRQZKHUHWKH

3/64/EORFNLVEHLQJLQYRNHG

:KHQ\RXVXEPLW3/64/EORFNVIURPD3UR SURJUDPXVHUH[LW64/ 3OXVRU6HUYHU0DQDJHUWKH

3/64/HQJLQHLQWKH2UDFOH6HUYHUSURFHVVHVWKHP,WGLYLGHVWKH64/ZLWKLQWKHEORFNLQWRVHSDUDWH

VWDWHPHQWVDQGVHQGVWKHPWRWKH64/6WDWHPHQW([HFXWRU7KLVPHDQVWKDWDVLQJOHWUDQVIHULV

UHTXLUHGWRVHQGWKHEORFNIURPWKHDSSOLFDWLRQWRWKH2UDFOH6HUYHUWKXVLPSURYLQJSHUIRUPDQFH

HVSHFLDOO\LQDFOLHQWVHUYHUQHWZRUN6WRUHGVXESURJUDPVFDQEHUHIHUHQFHGE\DQ\QXPEHURI

DSSOLFDWLRQVFRQQHFWHGWRWKHGDWDEDVH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/,
7DEOHV8VHGLQWKH&RXUVH
(03

(0312(1$0(-2%0*5+,5('$7(6$/&200'(3712

.,1*35(6,'(17129
%/$.(0$1$*(50$<
&/$5.0$1$*(5-81
-21(60$1$*(5$35
0$57,16$/(60$16(3
$//(16$/(60$1)(%
7851(56$/(60$16(3
'(37 -$0(6&/(5.'(&
:$5'6$/(60$1)(%
'(3712'1$0(/2&
)25'$1$/<67'(&
 6$/*5$'(

60,7+&/(5.'(&
$&&2817,1*1(:<25. *5$'(/26$/+,6$/
6&277$1$/<67'(&
5(6($5&+'$//$6 
$'$06&/(5.-$1
6$/(6&+,&$*2 
0,//(5&/(5.-$1
23(5$7,216%26721 




, 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

7DEOHV8VHGLQWKH&RXUVH

7KHIROORZLQJWKUHHWDEOHVZLOOEHXVHGLQWKLVFRXUVH

‡ (03WDEOHZKLFKJLYHVGHWDLOVRIDOOWKHHPSOR\HHV

‡ '(37WDEOHZKLFKJLYHVGHWDLOVRIDOOWKHGHSDUWPHQWV

‡ 6$/*5$'(WDEOHZKLFKJLYHVGHWDLOVRIVDODULHVIRUYDULRXVJUDGHV

7KHVWUXFWXUHDQGGDWDIRUDOOWKHWDEOHVLVJLYHQLQ$SSHQGL[%

,QWURGXFWLRQWR2UDFOH64/DQG3/64/,
6XPPDU\
‡ 5HODWLRQDOGDWDEDVHVDUHFRPSRVHGRI
UHODWLRQVPDQDJHGE\UHODWLRQDO
RSHUDWLRQVDQGJRYHUQHGE\GDWD
LQWHJULW\FRQVWUDLQWV
‡ 7KH2UDFOH6HUYHUDOORZV\RXWRVWRUH
DQGPDQDJHLQIRUPDWLRQE\XVLQJWKH
64/ODQJXDJHDQG3/64/HQJLQH
‡ 3/64/LVDQH[WHQVLRQWR64/ZLWK
GHVLJQIHDWXUHVRISURJUDPPLQJ
ODQJXDJHV

, 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

6XPPDU\

5HODWLRQDOGDWDEDVHPDQDJHPHQWV\VWHPVDUHFRPSRVHGRIREMHFWVRUUHODWLRQV7KH\DUHPDQDJHGE\

RSHUDWLRQVDQGJRYHUQH GE\GDWDLQWHJULW\FRQVWUDLQWV

2UDFOH&RUSRUDWLRQSURGXFHVSURGXFWVDQGVHUYLFHVWRPHHW\RXUUHODWLRQDOGDWDEDVHPDQDJHPHQW

V\VWHPQHHGV7KHPDLQSURGXFWLVWKH2UDFOH6HUYHUZKLFKHQDEOHV\RXWRVWRUHDQGPDQDJH

LQIRUPDWLRQE\XVLQJ64/DQGWKH3/64/HQJLQHIRUSURFH GXUDOFRQVWUXFWV

64/

7KH2UDFOH6HUYHUVXSSRUWV$16,VWDQGDUG64/DQGFRQWDLQVH[WHQVLRQV64/LVWKHODQJXDJHXVHGWR

FRPPXQLFDWHZLWKWKHVHUYHUWRDFFHVVPDQLSXODWHDQGFRQWUROGDWD

3/64/

7KH3/64/ODQJXDJHH[WHQGVWKH64/ODQJXDJHE\RIIHULQJEORFNVWUXFWXUHGSURFHGXUDOFRQVWUXFWV

FRPELQHGZLWK64/QRQSURFHGXUDOFDSDELOLWLHV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/,

:ULWLQJ%DVLF
64/6WDWHPHQWV

2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

6FKHGXOH 7LPLQJ 7RSLF

PLQXWHV /HFWXUH

PLQXWHV 3UDFWLFH

PLQXWHV 7RWDO
2EMHFWLYHV

$IWHUFRPSOHWLQJWKLVOHVVRQ\RXVKRXOG
EHDEOHWRGRWKHIROORZLQJ
‡ /LVWWKHFDSDELOLWLHVRI64/6(/(&7
VWDWHPHQWV
‡ ([HFXWHDEDVLF6(/(&7VWDWHPHQW
‡ 'LIIHUHQWLDWHEHWZHHQ64/VWDWHPHQWV
DQG64/ 3OXVFRPPDQGV

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

/HVVRQ$LP

7RH[WUDFWGDWDIURPWKHGDWDEDVH\RXQHHGWRXVHWKHVWUXFWXUHGTXHU\ODQJXDJH 64/ 6(/(&7

VWDWHPHQW<RXPD\QHHGWRUHVWULFWWKHFROXPQVWKDWDUHGLVSOD\HG7KLVOHVVRQGHVFULEHVDOOWKH64/

VWDWHPHQWVWKDW\RXQHHGWRSHUIRUPWKHVHDFWLRQV

<RXPD\ZDQWWRFUHDWH6(/(&7VWDWHPHQWVWKDWFDQEHXVHGWLPHDQGWLPHDJDLQ7KLVOHVVRQDOVR

FRYHUVWKHXVHRI64/ 3OXVFRPPDQGVWRH[HFXWH64/VWDWHPHQWV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
&DSDELOLWLHVRI64/6(/(&7
6WDWHPHQWV
6HOHFWLRQ 3URMHFWLRQ

7DEOH 7DEOH
-RLQ

7DEOH 7DEOH

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

&DSDELOLWLHVRI64/6(/(&76WDWHPHQWV

$6(/(&7VWDWHPHQWUHWULHYHVLQIRUPDWLRQIURPWKHGDWDEDVH8VLQJD6(/(&7VWDWHPHQW\RXFDQ

GRWKHIROORZLQJ

‡ 6HOHFWLRQ<RXFDQXVHWKHVHOHFWLRQFDSDELOLW\LQ64/WRFKRRVHWKHURZVLQDWDEOHWKDW\RX

ZDQW UHWXUQHGE\DTXHU\<RXFDQXVHYDULRXVFULWHULDWRVHOHFWLYHO\UHVWULFWWKHURZVWKDW\RX

VHH

‡ 3URMHFWLRQ<RXFDQXVHWKHSURMHFWLRQFDSDELOLW\LQ64/WRFKRRVHWKHFROXPQVLQDWDEOHWKDW

\RXZDQWUHWXUQHGE\\RXUTXHU\<RXFDQFKRRVHDVIHZRUDVPDQ\FROXPQVRIWKHWDEOHDV

\RXUHTXLUH

‡ -RLQ<RXFDQXVHWKHMRLQFDSDELOLW\LQ64/WREULQJWRJHWKHUGDWDWKDWLVVWRUHGLQGLIIHUHQW

WDEOHVE\FUHDWLQJDOLQNWKURXJKDFROXPQWKDWERWKWKHWDEOHVVKDUH<RXZLOOOHDUQPRUHDERXW

MRLQVLQDODWHUOHVVRQ

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
%DVLF6(/(&76WDWHPHQW

6(/(&7 >',67,1&7@^ FROXPQ>DOLDV@`


)520 WDEOH

‡ 6(/(&7LGHQWLILHVZKDWFROXPQV
‡ )520LGHQWLILHVZKLFKWDEOH

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

%DVLF6(/(&76WDWHPHQW

,QLWVVLPSOHVWIRUPD6(/(&7VWDWHPHQWPXVWLQFOXGHWKHIROORZLQJ

‡ $6(/(&7FODXVHZKLFKVSHFLILHVWKHFROXPQVWREHGLVSOD\HG

‡ $)520FODXVHZKLFKVSHFLILHVWKHWDEOHFRQWDLQLQJWKHFROXPQVOLVWHGLQWKH6(/(&7FODXVH

,QWKHV\QWD[

6(/(&7 LVDOLVWRIRQHRUPRUHFROXPQV

',67,1&7 VXSSUHVVHVGXSOLFDWHV

 VHOHFWVDOOFROXPQV

FROXPQ VHOHFWVWKHQDPH GFROXPQ

DOLDV JLYHVVHOHFWHGFROXPQVGLIIHUHQWKHDGLQJV

)520WDEOH VSHFLILHVWKHWDEOHFRQWDLQLQJWKHFROXPQV

1RWH7KURXJKRXWWKLVFRXUVHWKHZRUGVNH\ZRUGFODXVHDQGVWDWHPHQWDUHXVHG

‡ $NH\ZRUGUHIHUVWRDQLQGLYLGXDO64/HOHPHQW

)RUH[DPSOH6(/(&7DQG)520DUHNH\ZRUGV

‡ $FODXVHLVDSDUWRIDQ64/VWDWHPHQW

)RUH[DPSOH6(/(&7HPSQRHQDPHLVDFODXVH

‡ $VWDWHPHQWLVDFRPELQDWLRQRIWZRRUPRUHFODXVHV

)RUH[DPSOH6(/(&7 )520HPSLVD64/VWDWHPHQW

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
:ULWLQJ64/6WDWHPHQWV

‡ 64/VWDWHPHQWVDUHQRWFDVHVHQVLWLYH
‡ 64/VWDWHPHQWVFDQEHRQRQHRU
PRUHOLQHV
‡ .H\ZRUGVFDQQRWEHDEEUHYLDWHGRUVSOLW
DFURVVOLQHV
‡ &ODXVHVDUHXVXDOO\SODFHGRQVHSDUDWH
OLQHV
‡ 7DEVDQGLQGHQWVDUHXVHGWRHQKDQFH
UHDGDELOLW\
 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

:ULWLQJ64/6WDWHPHQWV

8VLQJWKHIROORZLQJVLPSOHUXOHVDQGJXLGHOLQHV\RXFDQFRQVWUXFWYDOLGVWDWHPHQWVWKDWDUHERWKHDV\

WRUHDGDQGHDV\WRHGLW

‡ 64/VWDWHPHQWVDUHQRWFDVHVHQVLWLYHXQOHVVLQGLFDWHG

‡ 64/VWDWHPHQWVFDQEHHQWHUHGRQRQHRUPDQ\OLQHV

‡ .H\ZRUGVFDQQRWEHVSOLWDFURVVOLQHVRUDEEUHYLDWHG

‡ &ODXVHVDUHXVXDOO\SODFHGRQVHSDUDWHOLQHVIRUUHDGDELOLW\DQGHDVHRIHGLWLQJ

‡ 7DEVDQGLQGHQWVFDQEHXVHGWRPDNHFRGHPRUHUHDGDEOH

‡ .H\ZRUGVW\SLFDOO\DUHHQWHUHGLQXSSHUFDVHDOORWKHUZRUGVVXFKDVWDEOHQDPHVDQGFROXPQV

DUHHQWHUHGLQORZHUFDVH

‡ :LWKLQ64/ 3OXVD64/VWDWHPHQWLVHQWHUHGDWWKH64/SURPSWDQGWKHVXEVHTXHQWOL QHVDUH

QXPEHUHG7KLVLVFDOOHGWKH64/EXIIHU2QO\RQHVWDWHPHQWFDQEHFXUUHQWDWDQ\WLPHZLWKLQ

WKHEXIIHU

([HFXWLQJ64/6WDWHPHQWV

‡ 3ODFHDVHPLFRORQ  DWWKHHQGRIWKHODVWFODXVH

‡ 3ODFHDVODVKRQWKHODVWOLQHLQWKHEXIIHU

‡ 3ODFHDVODVKDWWKH64/SURPSW

‡ ,VVXHD64/ 3OXV581FRPPDQGDWWKH64/SURPSW

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
6HOHFWLQJ$OO&ROXPQV

64/!6(/(&7
)520 GHSW

'(3712'1$0(/2&

$&&2817,1*1(:<25.
5(6($5&+'$//$6
6$/(6&+,&$*2
23(5$7,216%26721

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

6HOHFWLQJ$OO&ROXPQV$OO5RZV

<RXFDQGLVSOD\DOOFROXPQVRIGDWDLQDWDEOHE\IROORZLQJWKH6(/(&7NH\ZRUGZLWKDQDVWHULVN

,QWKHH[DPSOHRQWKHVOLGHWKHGHSDUWPHQWWDEOHFRQWDLQ VWKUHHFROXPQV'(3712'1$0(

DQG/2&7KHWDEOHFRQWDLQVIRXUURZVRQHIRUHDFKGHSDUWPHQW

<RXFDQDOVRGLVSOD\DOOFROXPQVLQWKHWDEOHE\O LVWLQJDOOWKHFROXPQVDIWHUWKH6(/(&7NH\ZRUG

)RUH[DPSOHWKHIROORZLQJ64/VWDWH PHQWOLNHWKHH[DPSOHRQWKHVOLGHGLVSOD\VDOOFROXPQVDQGDOO

URZVRIWKH'(37WDEOH

64/!6(/(&7 GHSWQRGQDPHORF
)520 GHSW

&ODVV0DQDJHPHQW1RWH

/HWWKHVWXGHQWVNQRZWKDWGHWDLOVRIDOOWKHWDEOHVDUHJLYHQLQ$SSHQGL[%

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
6HOHFWLQJ6SHFLILF&ROXPQV

64/!6(/(&7GHSWQRORF

)520GHSW

'(3712/2&

1(:<25.
'$//$6
&+,&$*2
%26721

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

6HOHFWLQJ6SHFLILF&ROXPQV$OO5RZV

<RXFDQXVHWKH6(/(&7VWDWHPHQWWRGLVSOD\VSHFLILFFROXPQVRIWKHWDEOHE\VSHFL I\LQJWKHFROXPQ

QDPHVVHSDUDWHGE\FRPPDV7KHH[DPSOHRQWKHVOLGHG LVSOD\VDOOWKHGHSDUWPHQWQXPEHUVDQG

ORFDWLRQVIURPWKH'(37WDEOH

,QWKH6(/(&7FODXVHVSHFLI\WKHFROXPQVWKDW\RXZDQWWRVHHLQWKHRUGHULQZKLFK\RXZDQWWKHP

WRDSSHDULQWKHRXWSXW)RUH[DPSOHWRGLVSOD\ORFDWLRQEHIRUHGHSDUWPHQWQXPEHU\RXXVHWKH

IROORZLQJVWDWHPHQW

64/!6(/(&7 ORFGHSWQR
)520 GHSW

/2&'(3712

1(:<25.
'$//$6
&+,&$*2
%26721 
&ODVV0DQDJHPHQW1RWH

<RXFDQDOVRVHOHFWIURPSVHXGRFROXPQV$SVHXGRFROXPQEHKDYHVOLNHDWDEOHFROXPQEXWLVQRW

DFWXDOO\VWRUHGLQWKHWDEOH<RXFDQQRWLQVHUWRUGHOHWHYDOXHVRIWKHSVHXGRFROXPQV7KHDYDLODEOH

SVHXGRFROXPQVDUH&8559$/1(;79$//(9(/52:,'DQG52:180

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
&ROXPQ+HDGLQJ'HIDXOWV

‡ 'HIDXOWMXVWLILFDWLRQ
± /HIW'DWHDQGFKDUDFWHUGDWD
± 5LJKW1XPHULFGDWD
‡ 'HIDXOWGLVSOD\8SSHUFDVH

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

&ROXPQ+HDGLQJ'HIDXOWV

&KDUDFWHUFROXPQKHDGLQJDQGGDWDDVZHOODVGDWHFROXPQKHDGLQJDQGGDWDDUHOH IWMXVWLILHGZLWKLQD

FROXPQZLGWK1XPEHUKHDGLQJVDQGGDWDDUHULJKWMXVWLILHG

64/!6(/(&7 HQDPHKLUHGDWHVDO
)520 HPS

(1$0(+,5('$7(6$/

.,1*129
%/$.(0$<
&/$5.-81
-21(6$35
0$57,16(3
$//(1)(%

URZVVHOHFWHG

&KDUDFWHUDQGGDWHFROXPQKHDGLQJVFDQEHWUXQFDWHGEXWQXPEHUKHDGLQJVFDQQRWEHWUXQFDWHG7KH

FROXPQKHDGLQJVDSSHDULQXSSHUFDVHE\GHIDXOW<RXFDQRYHUULGHWKHFROXPQKHDGLQJGLVSOD\ZLWK

DQDOLDV&ROXPQDOLDVHVDUHFRYHUHGODWHULQWKLVOH VVRQ

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
$ULWKPHWLF([SUHVVLRQV

&UHDWHH[SUHVVLRQVRQ180%(5DQG'$7(
GDWDE\XVLQJDULWKPHWLFRSHUDWRUV

2SHUDWRU 'HVFULSWLRQ

 $GG

 6XEWUDFW

0XOWLSO\

 'LYLGH

 &RS\ULJKW 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG

$ULWKPHWLF([SUHVVLRQV

<RXPD\QHHGWRPRGLI\WKHZD\LQZKLFKGDWDLVGLVSOD\HGSHUIRUPFDOFXODWLRQVRUORRNDWZKDWLI

VFHQDULRV7KLVLVSRVVLEOHXVLQJDULWKPHWLFH[SUHVVLRQV$QDULWKPHWLFH[SUHVVLRQPD\FRQWDLQ

FROXPQQDPHVFRQVWDQWQXPHULFYDOXHVDQGWKHDULWKPHWLFRSHUDWRUV

$ULWKPHWLF2SHUDWRUV

7KHVOLGHOLVWVWKHDULWKPHWLFRSHUDWRUVDYDLODEOHLQ64/<RXFDQXVHDULWKPHWLFRSHUDWRUVLQDQ\

FODXVHRID64/VWDWH PHQWH[FHSWWKH)520FODXVH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJ$ULWKPHWLF2SHUDWRUV

64/!6(/(&7HQDPHVDOVDO

)520 HPS

(1$0(6$/6$/

.,1*
%/$.(
&/$5.
-21(6
0$57,1
$//(1

URZVVHOHFWHG

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

8VLQJ$ULWKPHWLF2SHUDWRUV

7KHH[DPSOHLQWKHVOLGHXVHVWKHDGGLWLRQRSHUDWRUWRFDOFXODWHDVDODU\LQFUHDVHR IIRUDOO

HPSOR\HHVDQGGLVSOD\VDQHZ6$/FROXPQLQWKHRXWSXW

1RWHWKDWWKHUHVXOWDQWFDOFXODWHGFROXPQ6$/LVQRWDQHZFROXPQLQWKH(03WDEOHLWLVIRU

GLVSOD\RQO\%\GHIDXOWWKHQDPHRIDQHZFROXPQFRPHVIURPWKHFDOFXODWLRQWKDWJHQHUDWHGL W²LQ

WKLVFDVHVDO

1RWH64/ 3OXVLJQRUHVEODQNVSDFHVEHIRUHDQGDIWHUWKHDULWKPHWLFRSHUDWRU

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
2SHUDWRU3UHFHGHQFH

  B

‡ 0XOWLSOLFDWLRQDQGGLYLVLRQWDNHSULRULW\
RYHUDGGLWLRQDQGVXEWUDFWLRQ
‡ 2SHUDWRUVRIWKHVDPHSULRULW\DUH
HYDOXDWHGIURPOHIWWRULJKW
‡ 3DUHQWKHVHVDUHXVHGWRIRUFH
SULRULWL]HGHYDOXDWLRQDQGWRFODULI\
VWDWHPHQWV

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

2SHUDWRU3UHFHGHQFH

,IDQDULWKPHWLFH[SUHVVLRQFRQWDLQVPRUHWKDQRQHRSHUDWRUPXOWLSOLFDWLRQDQGGLYLVLRQDUHHYDOXDWHG

ILUVW,IRSHUDWRUVZLWKLQDQH[SUHVVLRQDUHRIVDPHSULRULW\WKHQHYDOXDWLRQLVGRQHIURPOHIWWRULJKW

<RXFDQXVHSDUHQWKHVHVWRIRUFHWKHH[SUHVVLRQZLWKLQSDUHQWKHVHVWREHHYDOXDWHGILUVW

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
2SHUDWRU3UHFHGHQFH

64/!6(/(&7HQDPHVDO VDO

)520HPS

(1$0(6$/ 6$/

.,1*
%/$.(
&/$5.
-21(6
0$57,1
$//(1

URZVVHOHFWHG

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

2SHUDWRU3UHFHGHQFH FRQWLQXHG

7KHH[DPSOHRQWKHVOLGHGLVSOD\VWKH QDPHVDODU\DQGDQQXDOFRPSHQVDWLRQRIHPSOR\HHV,W

FDOFXODWHVWKHDQQXDOFRPSHQVDWLRQDVPXOWLSOLHGE\WKHPRQWKO\VDODU\SOXVDRQHWLPHERQXVRI

1RWLFHWKDWPXOWLSOLFDWLRQLVSHUIRUPHGEHIRUHDGGLWLRQ

1RWH8VHSDUHQWKHVHVWRUHLQIRUFHWKHVWDQGDUGRUGHURISUHFHGHQFHDQGWRLPSURYHFODULW\)RU

H[DPSOHWKHH[SUHVVLRQDERYHFDQEHZULWWHQDV  VDO ZLWKQRFKDQJHLQWKHUHVXOW

&ODVV0DQDJHPHQW1RWH

'HPROSUHFVTOOSUHFVTO

3XUSRVH7RLOOXVWUDWHYLHZLQJDTXHU\FRQWDLQLQJQRSDUHQWKHVHVDQGH[HFXWLQJDTXHU\ZLWK

SDUHQWKHVHVWRRYHUULGHUXOHVRISUHFHGHQFH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJ3DUHQWKHVHV

64/!6(/(&7HQDPHVDO VDO

)520HPS

(1$0(6$/ 6$/

.,1*
%/$.(
&/$5.
-21(6
0$57,1

URZVVHOHFWHG

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

8VLQJ3DUHQWKHVHV

<RXFDQRYHUULGHWKHUXOHVRISUHFHGHQFHE\XVLQJSDUHQWKHVHVWRVSHFLI\WKHRUGHULQZKLFKRSHUDWRUV

DUHH[HFXWHG

7KHH[DPSOHRQWKHVOLGHGLVSOD\VWKH QDPHVDODU\DQGDQQXDOFRPSHQVDWLRQRIHPSOR\HHV,W

FDOFXODWHVWKHDQQXDOFRPSHQVDWLRQDVPRQWKO\VDODU\SOXVDPRQWKO\ERQXVRIPXOWLSOLHGE\

%HFDXVHRIWKHSDUHQWKHVHVDGGLWLRQWDNHVSULRULW\RYHUPXOWLSOLFDWLRQ

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
'HILQLQJD1XOO9DOXH
‡ $QXOOLVDYDOXHWKDWLVXQDYDLODEOH
XQDVVLJQHGXQNQRZQRULQDSSOLFDEOH
‡ $QXOOLVQRWWKHVDPHDV]HURRUDEODQN
VSDFH
64/!6(/(&7 HQDPHMREFRPP

)520 HPS

(1$0(-2%&200

.,1*35(6,'(17
%/$.(0$1$*(5

7851(56$/(60$1

URZVVHOHFWHG
 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

1XOO9DOXHV

,IDURZODFNVWKHGDWDYDOXHIRUDSDUWLFXODUFROXPQWKDWYDOXHLVVDLGWREHQXOORUWRFRQWDLQQXOO

$QXOOYDOXHLVDYDOXHWKDWLVXQDYDLODEOHXQDVVLJQHGXQNQRZQRULQDSSOLFDEOH$QXOOYDOXH LVQRW

WKHVDPHDV]HURRUDVSDFH=HURLVDQXPEHUDQGDVSDFHLVDFK DUDFWHU

&ROXPQVRIDQ\GDWDW\SHFDQFRQWDLQQXOOYDOXHVXQOHVVWKHFROXPQZDVGHILQHGDV12718//RUDV

35,0$5<.(<ZKHQWKHFROXPQZDVFUHDWHG

,QWKH&200FROXPQLQWKH(03WDEOH\RXQRWLFHWKDWRQO\D6$/(60$1FDQHDUQFRPPLVVLRQ

2WKHUHPSOR\HHVDUHQRWHQWLWOHGWRHDUQFRPPLVVLRQ$QXOOYDOXHUHSUHVHQWVWKDWIDFW7XUQHUZKRLV

DVDOHVPDQGRHVQRWHDUQDQ\FRPPLVVLRQ1RWLFHWKDWKLVFRPPLVVLRQLV]HURDQGQRWQXOO

&ODVV0DQDJHPHQW1RWH

'HPROQXOOVTO

3XUSRVH7RLOOXVWUDWHFDOFXODWLQJZLWKQXOOYDOXHV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
1XOO9DOXHV
LQ$ULWKPHWLF([SUHVVLRQV
$ULWKPHWLFH[SUHVVLRQVFRQWDLQLQJDQXOO
YDOXHHYDOXDWHWRQXOO

64/!VHOHFWHQDPH VDOFRPP
IURPHPS
:+(5(HQDPH
.,1*


(1$0( 6$/&200

.,1*

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

1XOO9DOXHV FRQWLQXHG

,IDQ\FROXPQYDOXHLQDQDULWKPHWLFH[SUHVVLRQLVQXOOWKHUHVXOWLVQXOO)RUH[DPSOHLI\RXDWWHPSW

WRSHUIRUPGLYLVLRQZLWK]HUR\RXJHWDQHUURU+RZHYHULI\ RXGLYLGHDQXPEHUE\QXOOWKHUHVXOWLV

DQXOORUXQNQRZQ

,QWKHH[DPSOHRQWKHVOLGHHPSOR\HH.,1*LVQRWLQ6$/(60$1DQGGRHVQRWJHWDQ\

FRPPLVVLRQ%HFDXVHWKH&200FROXPQLQWKHDULWKPHWLFH[SUHVVLRQLVQXOOWKHUHVXOWLVQXOO

)RUPRUHLQIRUPDWLRQVHH

2UDFOH6HUYHU64/5HIHUHQFH5HOHDVH³(OHPHQWVRI64/´

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
'HILQLQJD&ROXPQ$OLDV

‡ 5HQDPHVDFROXPQKHDGLQJ
‡ ,VXVHIXOZLWKFDOFXODWLRQV
‡ ,PPHGLDWHO\IROORZVFROXPQQDPH
RSWLRQDO$6NH\ZRUGEHWZHHQFROXPQ
QDPHDQGDOLDV
‡ 5HTXLUHVGRXEOHTXRWDWLRQPDUNVLILW
FRQWDLQVVSDFHVRUVSHFLDOFKDUDFWHUV
RULVFDVHVHQVLWLYH

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

&ROXPQ$ OLDVHV

:KHQGLVSOD\LQJWKHUHVXOWRIDTXHU\64/ 3OXVQRUPDOO\XVHVWKHQDPHRIWKHVHOHFWHGFROXPQDV

WKHFROXPQKHDGLQJ,QPDQ\FDVHVWKLVKHDGLQJPD\QRWEHGHVFULSWLYHDQGKHQFHLVGLIILFXOWWR

XQGHUVWDQG<RXFDQFKDQJHDFROXPQKHDGLQJE\XVLQJDFROXPQDOLDV

6SHFLI\WKHDOLDVDIWHUWKHFROXPQLQWKH6(/(&7OLVWXVLQJDVSDFHDVDVHSDUDWRU%\GHIDXOWDOLDV

KHDGLQJVDSSHDULQXSSHUFDVH,IWKHDOLDVFRQWDLQVVSDFHVVSHFLDOFKDUDFWHUV VXFKDVRU RULV

FDVHVHQVLWLYHHQFORVHWKHDOLDVLQGRXEOHTXRWDWLRQPDUNV  

&ODVV0DQDJHPHQW1RWH

:LWKLQD64/VWDWH PHQWDFROXPQDOLDVFDQEHXVHGLQERWKWKH6(/(&7FODXVHDQGWKH25'(5%<

FODXVH<RXFDQQRWXVHFROXPQDOLDVHVLQWKH:+(5(FODXVH%RWKDOLDVIHDWXUHVFRPSO\ZLWKWKH

$16,64/VWDQGDUG

'HPRODOLDVVTO

3XUSRVH7RLOOXVWUDWHWKHXVHRIDOLDVHVLQH[SUHVVLRQV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJ&ROXPQ$OLDVHV
64/!6(/(&7HQDPH$6QDPHVDOVDODU\
)520HPS

1$0(6$/$5<



64/!6(/(&7HQDPH1DPH
VDO $QQXDO6DODU\
)520HPS

1DPH$QQXDO6DODU\


 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

&ROXPQ$ OLDVHV FRQWLQXHG

7KHILUVWH[DPSOHGLVSOD\VWKHQDPHDQGWKHPRQWKO\VDODU\RIDOOWKHHPSOR\HHV1RWLFHWKDWWKH

RSWLRQDO$6NH\ZRUGKDVEHH QXVHGEHIRUHWKHFROXPQDOLDVQDPH7KHUHVXOWRIWKHTXHU\ZRXOGEH

WKHVDPHZKHWKHUWKH$6NH\ZRUGLVXVHGRUQRW$OVRQRWLFHWKDWWKH64/VWDWHPHQWKDVWKHFROXPQ

DOLDVHVQDPHDQGVDODU\LQORZHUFDVHZKHUHDVWKHUHVXOWR IWKHTXHU\GLVSOD\VWKHFROXPQKHDGLQJV

LQXSSHUFDVH$VPHQWLRQHGLQWKHODVWVOLGHFROXPQKHDGLQJVDSSH DULQXSSHUFDVHE\GHIDXOW

7KHVHFRQGH[DPSOHGLVSOD\VWKHQDPHDQGDQQXDOVDODU\RIDOOWKHHPSOR\HHV%HFDXVH$QQXDO

6DODU\FRQWDLQVVSDFHVLWKDVEHHQHQFORVHGLQGRXEOHTXRWDWLRQPDUNV1RWLFHWKDWWKHFROXPQ

KHDGLQJLQWKHRXWSXWLVH[DFWO\WKHVDPHDVWKHFROXPQDOLDV

&ODVV0DQDJHPHQW1RWH

3RLQWRXWWKHRSWLRQDO$6NH\ZRUGLQWKHILUVWH[DPSOHDQGWKHGR XEOHTXRWDWLRQPDUNVLQWKHVHFRQG

H[DPSOH$OVRVKRZWKDWWKHDOLDVHVDOZD\VDSSHDULQXSSHUFDVHXQOHVVHQFORVHGZLWKLQGRXEOH

TXRWDWLRQPDUNV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
&RQFDWHQDWLRQ2SHUDWRU

‡ &RQFDWHQDWHVFROXPQVRUFKDUDFWHU
VWULQJVWRRWKHUFROXPQV
‡ ,VUHSUHVHQWHGE\WZRYHUWLFDOEDUV __
‡ &UHDWHVDUHVXOWDQWFROXPQWKDWLVD
FKDUDFWHUH[SUHVVLRQ

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

&RQFDWHQDWLRQ2SHUDWRU

<RXFDQOLQNFROXPQVWRRWKHUFROXPQVDULWKPHWLFH[SUHVVLRQVRUFRQVWDQWYDOXHVWRFUHDWHD

FKDUDFWHUH[SUHVVLRQE\XVLQJWKHFRQFDWHQDWLRQRSHUDWRU __ &ROXPQVRQHLWKHUVLGHRIWKHRSHUDWRU

DUHFRPELQHGWRPDNHDVLQJOHRXWSXWFROXPQ

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJWKH&RQFDWHQDWLRQ
2SHUDWRU
64/!6(/(&7 HQDPH__MRE$6(PSOR\HHV
)520 HPS

(PSOR\HHV

.,1*35(6,'(17
%/$.(0$1$*(5
&/$5.0$1$*(5
-21(60$1$*(5
0$57,16$/(60$1
$//(16$/(60$1

URZVVHOHFWHG

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

&RQFDWHQDWLRQ2SHUDWRU FRQWLQXHG

,QWKHH[DPSOH(1$0(DQG-2%DUHFRQFDWHQDWHGDQGWKH\DUHJLYHQWKHDOLDV(PSOR\HHV1RWLFH

WKDWWKHHPSOR\HHQXPEHUDQGMREDUHFRPELQHGWRPDNHDVLQJOHRXWSXWFROXPQ

7KH$6NH\ZRUGEHIRUHWKHDOLDVQDPHPDNHVWKH6(/(&7FODXVHHDVLHUWRUHDG

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
/LWHUDO&KDUDFWHU6WULQJV

‡ $OLWHUDOLVDFKDUDFWHUH[SUHVVLRQRU
QXPEHULQFOXGHGLQWKH6(/(&7OLVW
‡ 'DWHDQGFKDUDFWHUOLWHUDOYDOXHVPXVW
EHHQFORVHGZLWKLQVLQJOHTXRWDWLRQ
PDUNV
‡ (DFKFKDUDFWHUVWULQJLVRXWSXWRQFHIRU
HDFKURZUHWXUQHG

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

/LWHUDO&KDUDFWHU6WULQJV

$OLWHUDOLVDQ\FKDUDFWHUH[SUHVVLRQRUQXPEHULQFOXGHGLQWKH6(/(&7OLVWWKDWLVQRWDFROXPQ

QDPHRUDFROXPQDOLDV,WLVSULQWHGIRUHDFKURZUHWXUQHG/LWHUDOVWULQJVRIIUHHIRUPDWWH[WFDQEH

LQFOXGHGLQWKHTXHU\UHVXOWDQGDUHWUHDWHGWKHVDPHDVDFROXPQLQWKH6(/(&7OLVW

'DWHDQGFKDUDFWHUOLWHUDOVPXVWEHHQFORVHGZLWKLQVLQJOHTXRWDWLRQPDUNV

QXPEHUOLWHUDOVPXVW
QRW

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJ/LWHUDO&KDUDFWHU6WULQJV

64/!6(/(&7HQDPH __

__
LVD
__

__MRE
 $6(PSOR\HH'HWDLOV
)520HPS

(PSOR\HH'HWDLOV

.,1*LVD35(6,'(17
%/$.(LVD0$1$*(5
&/$5.LVD0$1$*(5
-21(6LVD0$1$*(5
0$57,1LVD6$/(60$1

URZVVHOHFWHG

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

/LWHUDO&KDUDFWHU6WULQJV FRQWLQXHG

7KHH[DPSOHRQWKHVOLGHGLVSOD\VQDPHVDQGMREVRIDOOHPSOR\HHV7KHFROXPQKDVWKHKHDGLQJ

(PSOR\HH'HWDLOV1RWLFHWKHVSDFHVEHWZHHQWKHVLQJOHTXRWDWLRQPDUNVLQWKH6(/(&7VWDWHPHQW

7KHVSDFHVLPSURYHWKHUHDGDELOLW\RIWKHRXWSXW

,QWKHIROORZLQJH[DPSOHWKHQDPHDQGVDODU\IRUHDFKHPSOR\HHLVFRQFDWHQDWHGZLWKDOLWHUDOWR

JLYHWKHUHWXUQHGURZVPRUHPHDQLQJ

64/!6(/(&7HQDPH__

__

__
0RQWKVDODU\ 
__VDO0RQWKO\
)520HPS

0217+/<

.,1*0RQWKVDODU\ 
%/$.(0RQWKVDODU\ 
&/$5.0RQWKVDODU\ 
-21(60RQWKVDODU\ 
0$57,10RQWKVDODU\ 
$//(10RQWKVDODU\ 
7851(50RQWKVDODU\ 

URZVVHOHFWHG
,QWURGXFWLRQWR2UDFOH64/DQG3/64/
'XSOLFDWH5RZV
7KHGHIDXOWGLVSOD\RITXHULHVLVDOOURZV
LQFOXGLQJGXSOLFDWHURZV
64/!6(/(&7GHSWQR
)520HPS

'(3712






URZVVHOHFWHG

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

'XSOLFDWH5RZV

8QOHVV\RXLQGLFDWHRWKHUZLVH64/ 3OXVGLVSOD\VWKHUHVXOWVRIDTXHU\ZLWKRXWHOLPLQDWLQJGXSOLFDWH

URZV7KHH[DPSOHRQWKHVOLGHGLVSOD\VDOOWKHGHSDUWPHQWQXPEHUVIURPWKH(03WDEOH1RWLFHWKDW

WKHGHSDUWPHQWQXPEHUVDUHUHSHDWHG

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
(OLPLQDWLQJ'XSOLFDWH5RZV
(OLPLQDWHGXSOLFDWHURZVE\XVLQJWKH
',67,1&7NH\ZRUGLQWKH6(/(&7FODXVH

64/!6(/(&7',67,1&7GHSWQR
)520HPS

'(3712





 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

'XSOLFDWH5RZV FRQWLQXHG

7RHOLPLQDWHGXSOLFDWHURZVLQWKHUHVXOWLQFOXGHWKH',67,1&7NH\ZRUGLQWKH6(/(&7FODXVH

LPPHGLDWHO\DIWHUWKH6(/(&7NH\ZRUG,QWKHH[DPSOHRQWKHVOLGHWKH(03WDEOHDFWXDOO\FRQWDLQV

IRXUWHHQURZVEXWWKHUHDUHRQO\WKUHHXQLTXHGHSDUWPHQWQXPEHUVLQWKHWDEOH

<RXFDQVSHFLI\PXOWLSOHFROXPQVDIWHUWKH',67,1&7TXDOLILHU7KH',67,1&7TXDOLILHUDIIHFWVDOO

WKHVHOHFWHGFROXPQVDQGWKHUHVXOWUHSUHVHQWVDGLVWLQFWFRPELQDWLRQR IWKHFROXPQV

64/!6(/(&7 ',67,1&7GHSWQRMRE
)520 HPS

'(3712-2%

&/(5.
0$1$*(5
35(6,'(17
$1$/<67

URZVVHOHFWHG

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
64/DQG64/ 3OXV,QWHUDFWLRQ
64/6WDWHPHQWV 64/6WDWHPHQWV
%XIIHU

6HUYHU
64/ 3OXV

64/ 3OXV 4XHU\5HVXOWV

&RPPDQGV

)RUPDWWHG5HSRUW

 &RS\ULJKW2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG

64/DQG64/ 3OXV

64/LVDFRPPDQGODQJXDJHIRUFRPPXQLFDWLRQZLWKWKH2UDFOH6HUYHUIURPDQ\WRRORUDSSOLFDWLRQ

2UDFOH64/FRQWDLQVPDQ\H[WHQVLRQV:KHQ\RXHQWHUD64/VWDWHPHQWLWLVVWRUHGLQDSDUWRI

PHPRU\FDOOHGWKH64/EXIIHUDQGUHPDLQVWKHUHXQWLO\RXHQWHUDQHZVWDWHPHQW

64/ 3OXVLVDQ2UDFOHWRROWKDWUHFRJQL]HVDQGVXEPLWV64/VWDWH PHQWVWRWKH2UDFOH6HUYHUIRU

H[HFXWLRQDQGFRQWDLQVLWVRZQFRPPDQGODQJXDJH

)HDWXUHVRI64/

‡ &DQEHXVHGE\DUDQJHRIXVHUVLQFOXGLQJWKRVHZLWKOLWWOHRUQRSURJUDPPLQJH[SHULHQFH

‡ ,VDQRQSURFHGXUDOODQJXDJH

‡ 5HGXFHVWKHDPRXQWRIWLPHUHTXLUHGIRUFUHDWLQJDQGPDLQWDLQLQJV\VWHPV

‡ ,VDQ(QJOLVKOLNHODQJXDJH

)HDWXUHVRI64/ 3OXV

‡ $FFHSWVDGKRFHQWU\RIVWDWHPHQWV

‡ $FFHSWV64/LQSXWIURPILOHV

‡ 3URYLGHVDOLQHHGLWRUIRUPRGLI\LQJ64/VWDWHPHQWV

‡ &RQWUROVHQYLURQPHQWDOVHWWLQJV

‡ )RUPDWVTXHU\UHVXOWVLQWRDEDVLFUHSRUW

‡ $FFHVVHVORFDODQGUHPRWHGDWDEDVHV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
64/6WDWHPHQWV9HUVXV
64/ 3OXV&RPPDQGV
64/ 64/ 3OXV

‡ $ODQJXDJH ‡ $QHQYLURQPHQW

‡ $16,VWDQGDUG ‡ 2UDFOHSURSULHWDU\

‡ .H\ZRUGFDQQRWEH ‡ .H\ZRUGVFDQEH
DEEUHYLDWHG DEEUHYLDWHG

‡ 6WDWHPHQWVPDQLSXODWH ‡ &RPPDQGVGRQRW
GDWDDQGWDEOH DOORZPDQLSXODWLRQRI
GHILQLWLRQVLQWKH YDOXHVLQWKHGDWDEDVH
GDWDEDVH

64/ 64/ 64/ 3OXV 64/ 3OXV


VWDWHPHQWV EXIIHU FRPPDQGV EXIIHU

 2UDFOH&RUSR UDWLRQ$OOULJKWVUHVHUYH G


&RS\ ULJ KW

64/DQG64/ 3OXV FRQWLQXHG

7KHIROORZLQJWDEOHFRPSDUHV64/DQG64/ 3OXV

64/ 64/ 3OXV

,VDODQJXDJHIRUFRPPXQLFDWLQJZLWKWKH2UDFOH 5HFRJQL]HV64/VWDWHPHQWVDQGVHQGVWKHPWR

6HUYHUWRDFFHVVGDWD WKH6HUYHU

,VEDVHGRQ$PHULFDQ1DWLRQDO6WDQGDUGV ,VWKH2UDFOHSURSULHWDU\LQWHUIDFHIRUH[HFXWLQJ

,QVWLWXWH $16, VWDQGDUG64/ 64/VWDWHPHQWV

0DQLSXODWHVGDWDDQGWDEOHGHILQLWLRQVLQWKH 'RHVQRWDOORZPDQLSXODWLRQRIYDOXHVLQWKH

GDWDEDVH GDWDEDVH

,VHQWHUHGLQWRWKH64/EXIIHURQRQHRUPRUH ,VHQWHUHGRQHOLQHDWDWLPHQRWVWRUHGLQWKH

OLQHV 64/EXIIHU

'RHVQRWKDYHDFRQWLQXDWLRQFKDUDFWHU +DVDGDVK  DVDFRQWLQXDWLRQFKDUDFWHULIWKH

FRPPDQGLVORQJHUWKDQRQHOLQH

&DQQRWEHDEEUHYLDWHG &DQEHDEEUHYLDWHG

8VHVDWHUPLQDWLRQFKDUDFWHUWRH[HFXWH 'RHVQRWUHTXLUHWHUPLQDWLRQFKDUDFWHUV

FRPPDQGLPPHGLDWHO\ FRPPDQGVDUHH[H FXWHGLPPHGLDWHO\

8VHVIXQFWLRQVWRSHUIRUPVRPHIRUPDWWLQJ 8VHVFRPPDQGVWRIRUPDWGDWD

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
2YHUYLHZRI64/ 3OXV
‡ /RJLQWR64/ 3OXV
‡ 'HVFULEHWKHWDEOHVWUXFWXUH
‡ (GLW\RXU64/VWDWHPHQW
‡ ([HFXWH64/IURP64/ 3OXV
‡ 6DYH64/VWDWHPHQWVWRILOHVDQG
DSSHQG64/VWDWHPHQWVWRILOHV
‡ ([HFXWHVDYHGILOHV
‡ /RDGFRPPDQGVIURPILOHWREXIIHU
WRHGLW
 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

64/ 3OXV

64/ 3OXVLVDQHQYLURQPHQWLQZKLFK\RXFDQGRWKHIROORZLQJ

‡ ([HFXWH64/VWDWHPHQWVWRUHWULHYHPRGLI\DGGDQGUHPRYHGDWDIURPWKHGDWDEDVH

‡ )RUPDWSHUIRUPFDOFXODWLRQVRQVWRUHDQGSULQWTXHU\UHVXOWVLQWKHIRUPRIUHSRUWV

‡ &UHDWHVFULSWILOHVWRVWRUH64/VWDWH PHQWVIRUUHSHWLWLYHXVHLQWKHIXWXUH

64/ 3OXVFRPPDQGVFDQEHGLYLGHGLQWRWKHIROORZLQJPDLQFDWHJRULHV

&DWHJRU\ 3XUSRVH

(QYLURQPHQW $IIH FWVWKHJHQHUDOEHKDYLRURI64/VWDWHPHQWVIRUWKHVHVVLRQ

)RUPDW )RUPDWVTXHU\UHVXOWV

)LOHPDQLSXODWLRQ 6DYHVORDGVDQGUXQVVFULSWILOHV

([HFXWLRQ 6HQGV64/VWDWH PHQWVIURP64/EXIIHUWR2UDFOH6HUYHU

(GLW 0RGLILHV64/VWDWHPHQWVLQWKHEXIIHU

,QWHUDFWLRQ $OORZV\RXWRFUHDWHDQGSDVVYDULDEOHVWR64/VWDWH PHQWVSULQW

YDULDEOHYDOXHVDQGSULQWPHVVDJHVWRWKHVFUHHQ

0LVFHOODQHRXV +DVYDULRXVFRPPDQGVWRFRQQHFWWRWKHGDWDEDVHPDQLSXODWHWKH

64/ 3OXVHQYLURQPHQWDQGGLVSOD\FROXPQGHILQLWLRQV

&ODVV0DQDJHPHQW1RWH IRU3DJH

6QLSSHW³(VWDEOLVKLQJD'DWDEDVH6HVVLRQ´

/RJJLQJLQWR64/ 3OXV5HOHDVHQXPEHUPD\YDU\GHSHQGLQJRQWKHYHUVLRQLQVWDOOHG

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
/RJJLQJ,QWR64/ 3OXV
‡ )URP:LQGRZVHQYLURQPHQW

‡ )URPFRPPDQGOLQH
VTOSOXV>XVHUQDPH>SDVVZRUG
>#GDWDEDVH@@@
 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

/RJJLQJ,QWR64/ 3OXV

+RZ\RXLQYRNH64/ 3OXVGHSHQGVRQZKLFKW\SHRIRSHUDWLQJV\VWHPRU:LQGRZVHQYLURQPHQW\RX

DUHUXQQLQJ

7RORJLQWKURXJKD:LQGRZVHQYLURQPHQW

 &OLFN6WDUW²!3URJUDPV²!2UDFOHIRU:LQGRZV17²!64/ 3OXV

 )LOOLQXVHUQDPHSDVVZRUGDQGGDWDEDVH

7RORJLQWKURXJKDFRPPDQGOLQHHQYLURQPHQW

 /RJRQWR\RXUPDFKLQH

 (QWHUWKH64/ 3OXVFRPPDQGDVVKRZQLQWKHVOLGH

,QWKHFRPPDQG

XVHUQDPH LV\RXUGDWDEDVHXVHUQDPH

SDVVZRUG LV\RXUGDWDEDVHSDVVZRUG LI\RXHQWHU\RXUSDVVZRUGKHUHLWLVYLVLEOH

#GDWDEDVH LVWKHGDWDEDVHFRQQHFWVWULQJ

1RWH7RHQVXUHWKHLQWHJULW\RI\RXUSDVVZRUGGRQRWHQWHULWDWWKHRSHUDWLQJV\VWHPSURPSW

,QVWHDGHQWHURQO\\RXUXVHUQDPH(QWHU\RXUSDVVZRUGDWWKH3DVVZRUGSURPSW

2QFH\RXDUHVXFFHVVIXOO\ORJJHGLQWR64/ 3OXV\RXVHHWKHIROORZLQJPHVVDJH

64/ 3OXV5HOHDVH3URGXFWLRQRQ0RQ2FW
F &RS\ULJKW2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
,QWURGXFWLRQWR2UDFOH64/DQG3/64/
'LVSOD\LQJ7DEOH6WUXFWXUH

8VHWKH64/ 3OXV'(6&5,%(FRPPDQGWR
GLVSOD\WKHVWUXFWXUHRIDWDEOH

'(6&>5,%(@WDEOHQDPH

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

'LVSOD\LQJ7DEOH6WUXFWXUH

,Q64/ 3OXV\RXFDQGLVSOD\WKHVWUXFWXUHRIDWDEOHXVLQJWKH'(6&5,%(FRPPDQG7KHUHVXOWRI

WKHFRPPDQGLVWRVHHWKHFROXPQQDPHVDQGGDWDW\SHVDVZ HOODVZKHWKHUDFROXPQPXVWFRQWDLQ

GDWD

,QWKHV\QWD[

WDEOHQDPH LVWKHQDPHRIDQ\H[LVWLQJWDEOHYLHZRUV\QRQ\PDFFHVVLEOHWRWKHXVHU

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
'LVSOD\LQJ7DEOH6WUXFWXUH

64/!'(6&5,%(GHSW

1DPH1XOO"7\SH

'(371212718//180%(5 
'1$0(9$5&+$5 
/2&9$5&+$5 

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

'LVSOD\LQJ7DEOH6WUXFWXUH FRQWLQXHG

7KHH[DPSOHRQWKHVOLGHGLVSOD\VWKHLQIRUPDWLRQDER XWWKHVWUXFWXUHRIWKH'(37WDEOH

,QWKHUHVXOW

1XOO" LQGLFDWHVZKHWKHUDFROXPQPXVWFRQWDLQGDWD12718//LQGLFDWHVWKDWD

FROXPQPXVWFRQWDLQGDWD

7\SH GLVSOD\VWKHGDWDW\SHIRUDFROXPQ

7KHGDWDW\SHVDUHGHVFULEHGLQWKHIROORZLQJWDEOH

'DWDW\SH 'HVFULSWLRQ

180%(5 SV 1XPEHUYDOXHKDYLQJDPD[LPXPQXPEHURIGLJLWVSWKHQXPEHU

RIGLJLWVWRWKHULJKWRIWKHGHFLPDOSRLQWV

9$5&+$5 V 9DULDEOHOHQJWKFKDUDFWHUYDOXHRIPD[LPXPVL]HV

'$7( 'DWHDQGWLPHYDOXHEHWZHHQ-DQXDU\%&DQG'HFHPEHU

$'

&+$5 V )L[HGOHQJWKFKDUDFWHUYDOXHRIVL]HV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
64/ 3OXV(GLWLQJ&RPPDQGV

‡ $>33(1'@WH[W
‡ &>+$1*(@ROGQHZ
‡ &>+$1*(@WH[W
‡ &/>($5@%8))>(5@
‡ '(/
‡ '(/Q
‡ '(/PQ

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

64/ 3OXV(GLWLQJ&RPPDQGV

64/ 3OXVFRPPDQGVDUHHQWHUHGRQHOLQHDWDWLPHDQGDUHQRWVWRUHGLQWKH64/EXIIHU

&RP PDQG 'HVFULSWLRQ

$>33(1'@WH[W $GGVWH[WWRWKHHQGRIWKHFXUUHQWOLQH

&>+$1*(@ROGQHZ &KDQJHVROGWH[WWRQHZLQWKHFXUUHQWOLQH

&>+$1*(@WH[W 'HOHWHVWH[WIURPWKHFXUUHQWOLQH

&/>($5@%8))>(5@ 'HOHWHVDOOOLQHVIURPWKH64/EXIIHU

'(/ 'HOHWHVFXUUHQWOLQH

*XLGHOLQHV

‡ ,I\RXSUHVV>5HWXUQ@EHIRUHFRPSOHWLQJDFRPPDQG64/ 3OXVSURPSWV\RXZLWKDOLQHQXPEHU

‡ <RXWHUPLQDWHWKH64/EXIIHUE\HLWKHUHQWHULQJRQHRIWKHWHUPLQDWRUFKDUDFWHUV VHPLFRORQRU

VODVK RUSUHVVLQJ>5HWXUQ@WZLFH<RXWKHQVHHWKH64/SURPSW

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
64/ 3OXV(GLWLQJ&RPPDQGV
‡ ,>1387@
‡ ,>1387@WH[W
‡ />,67@
‡ />,67@Q
‡ />,67@PQ
‡ 5>81@
‡Q
‡ QWH[W
‡ WH[W
 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

64/ 3OXV(GLWLQJ&RPPDQGV FRQWLQXHG

&RP PDQG 'HVFULSWLRQ

,>1387@ ,QVHUWVDQLQGHILQLWHQXPEHURIOLQHV

,>1387@WH[W ,QVHUWVDOLQHFRQVLVWLQJRIWH[W

/>,67@ /LVWVDOOOLQHVLQWKH64/EXIIHU

/>,67@Q /LVWVRQHOLQH VSHFLILHGE\Q

/>,67@PQ /LVWVDUDQJHRIOLQHV PWRQ

5>81@ 'LVSOD\VDQGUXQVWKHFXUUHQW64/VWDWHPHQWLQWKHEXIIHU

Q 6SHFLILHVWKHOLQHWRPDNHWKHFXUUHQWOLQH

QWH[W 5HSODFHVOLQHQZLWKWH[W

WH[W ,QVHUWVDOLQHEHIRUHOLQH

<RXFDQHQWHURQO\RQH64/ 3OXVFRPPDQGSHU64/SURPSW64/ 3OXVFRPPDQGVDUHQRWVWRUHGLQ

WKHEXIIHU7RFRQWLQXHD64/ 3OXVFRPPDQGRQWKHQH[WOLQHHQGWKHFXUUHQWOLQHZLWKDK\SKHQ  

&ODVV0DQDJHPHQW1RWH

6KRZVWXGHQWVWKHXVHRIWKHFRPP RQO\XVHGHGLWLQJFRPPDQGVVXFKDV$>33(1'@&>+$ 1*(@

'(//>,67@DQG5>81@

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
64/ 3OXV)LOH&RPPDQGV

‡ 6$9(ILOHQDPH
‡ *(7ILOHQDPH
‡ 67$57ILOHQDPH
‡ #ILOHQDPH
‡ (',7ILOHQDPH
‡ 6322/ILOHQDPH

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

64/ 3OXV)LOH&RPPDQGV

64/VWDWHPHQWVFRPPXQLFDWHZLWKWKH2UDFOH6HUYHU64/ 3OXVFRPPDQGVFRQWUROWKH HQYLURQPHQW

IRUPDWTXHU\UHVXOWVDQGPDQDJHILOHV<RXFDQXVHWKHFRPPDQGVLGHQWLILHGLQWKHIROORZLQJWDEOH

&RPPDQG 'HVFULSWLRQ

6$9>(@ILOHQDPH>H[W@ 6DYHVFXUUHQWFRQWHQWVRI64/EXIIHUWRDILOH8VH$33(1'WR

>5(3>/$&(@$33>(1'@@ DGGWRDQH[LVWLQJILOHXVH5(3/$&(WRRYHUZULWHDQH[LVWLQJ

ILOH7KHGHIDXOWH[WHQVLRQLV VTO
*(7ILOHQDPH>H[W@ :ULWHVWKHFRQWHQWVRIDSUHYLRXVO\VDYHGILOHWRWKH64/EXIIHU

7KHGHIDXOWH[WHQVLRQIRUWKHILOHQDPHLV VTO
67$>57@ILOHQDPH>H[W@ 5XQVDSUHYLRXVO\VDYHGFRPPDQGILOH

#ILOHQDPH 5XQVDSUHYLRXVO\VDYHGFRPPDQGILOH VDPHDV67$57 

('>,7@ ,QYRNHVWKHHGLWR UDQGVDYHVWKHEXIIHUFRQWHQWVWRDILOHQDPHG

DILHGWEXI

('>,7@>ILOHQDPH>H[W@@ ,QYRNHVHGLWRUWRHGLWFRQWHQWVRIDVDYHGILOH

632>2/@>ILOHQDPH>H[W@_ 6WRUHVTXHU\UHVXOWVLQDILOH2))FORVHVWKHVSRROILOH287

2))_287@ FORVHVWKHVSRROILOHDQGVHQGVWKHILOHUHVXOWVWRWKHV\VWHP

SULQWHU

(;,7 /HDYHV64/ 3OXV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
6XPPDU\

6(/(&7 >',67,1&7@^ FROXPQ>DOLDV@`


)520 WDEOH

8VH64/ 3OXVDVDQHQYLURQPHQWWR
‡ ([HFXWH64/VWDWHPHQWV
‡ (GLW64/VWDWHPHQWV

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

6(/(&76WDWHPHQW

,QWKLVOHVVRQ\RXKDYHOHDUQHGDERXWUHWULHYLQJGDWDIURPDGDWDEDVHWDEOHZLWKWKH6(/(&7

VWDWHPHQW

6(/(&7>',67,1&7@^ FROXPQ>DOLDV@`
)520WDEOH
ZKHUH 6(/(&7 LVDOLVWRIDWOHDVWRQHFROXPQ

',67,1&7 VXSSUHVVHVGXSOLFDWHV

VHOHFWVDOOFROXPQV

FROXPQ VHOHFWVWKHQDPHGFROXPQ

DOLDV JLYHVVHOHFWHGFROXPQDGLIIHUHQWKHDGLQJ

)520 WDEOH VSHFLILHVWKHWDEOHFRQWDLQLQJWKHFROXPQV

64/ 3OXV

64/ 3OXVLVDQH[HFXWLRQHQYLURQPHQWWKDW\R XFDQXVHWRVHQG64/VWDWHPHQWVWRWKHGDWDEDVH

VHUYHUDQGWRHGLWDQGVDYH64/VWDWHPHQWV6WDWHPHQWVFDQEHH[HFXWHGIURPWKH64/SURPSWRU

IURPDVFULSWILOH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH2YHUYLHZ

‡ 6HOHFWLQJDOOGDWDIURPGLIIHUHQWWDEOHV
‡ 'HVFULELQJWKHVWUXFWXUHRIWDEOHV
‡ 3HUIRUPLQJDULWKPHWLFFDOFXODWLRQVDQG
VSHFLI\LQJFROXPQQDPHV
‡ 8VLQJ64/ 3OXVHGLWRU

 &RS\ULJKW2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG

3UDFWLFH2YHUYLHZ

7KLVLVWKHILUVWRIPDQ\SUDFWLFHV7KHVROXWLRQV LI\RXUHTXLUHWKHP FDQEHIRXQGLQ$SSHQGL[$

3UDFWLFHVDUHLQWHQGHGWRLQWURGXFHDOOWRSLFVFRYHUHGLQWKHOHVVRQ4XHVWLRQV±DUHSDSHUEDVHG

,QDQ\SUDFWLFHWKHUHPD\EH³LI\RXKDYHWLPH´RU³LI\RXZDQWH[WUDFKDOOHQJH´TXHVWLRQV'R

WKHVHRQO\LI\RXKDYHFRPSOHWHGDOORWKHUTXHVWLRQVZLWKLQWKHDOORFDWHGWLPHDQGZRXOGOLNHD

IXUWKHUFKDOOHQJHWR\RXUVNLOOV

7DNHWKHSUDFWLFHVORZO\DQGSUHFLVHO\<RXFDQH[SHULPHQWZLWKVDYLQJDQGUXQQLQJFRPPDQG

ILOHV,I\RXKDYHDQ\TXHVWLRQVDWDQ\WLPHDWWUDFWWKHLQVWUXFWRU¶VDWWHQWLRQ

3DSHU%DVHG4XHVWLRQV

)RUTXHVWLRQV±FLUFOHHLWKHU7UXHRU)DOVH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH

 ,QLWLDWHD64/ 3OXVVHVVLRQXVLQJWKHXVHU,'DQGSDVVZRUGSURYLGHGE\WKHLQVWUXFWRU

 64/ 3OXVFRPPDQGVDFFHVVWKHGDWDEDVH

7UXH)DOVH

 :LOOWKH6(/(&7VWDWHPHQWH[HFXWHVXFFHVVIXOO\"

7UXH)DOVH

64/!6(/(&7 HQDPHMREVDO6DODU\
)520 HPS

 :LOOWKH6(/(&7VWDWHPHQWH[HFXWHVXFFHVVIXOO\"

7UXH)DOVH

64/!6(/(&7
)520 VDOJUDGH

 7KHUHDUHIRXUFRGLQJHUURUVLQWKLVVWDWHPHQW&DQ\RXLGHQWLI\WKHP"

64/!6(/(&7 HPSQRHQDPH
 VDODU\[$118$/6$/$5<
)520 HPS

 6KRZWKHVWUXFWXUHRIWKH'(37WDEOH6HOHFWDOOGDWDIURPWKH'(37WDEOH

1DPH1XOO" 7\SH
 
'(371212718// 180%(5 
'1$0( 9$5&+$5 
/2& 9$5&+$5 

'(3712 '1$0( /2&


  
 $&&2817,1* 1(:<25.
 5(6($5&+ '$//$6
 6$/(6 &+,&$*2
 23(5$7,216 %26721

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH FRQWLQXHG

 6KRZWKHVWUXFWXUHRIWKH(03WDEOH&UHDWHDTXHU\WRGLVSOD\WKHQDPHMREKLUHGDWH

DQGHPSOR\HHQXPEHUIRUHDFKHPSOR\HHZLWKHPSOR\HHQXPEHUDSSHDULQJILUVW6DYH

\RXU64/VWDWH PHQWWRDILOHQDPHGSTVTO

1DPH 1XOO" 7\SH


  
(0312 12718// 180%(5 
(1$0( 9$5&+$5 
-2% 9$5&+$5 
0*5 180%(5 
+,5('$7( '$7(
6$/ 180%(5 
&200 180%(5 
'(3712 12718// 180%(5 
 5XQ\RXUTXHU\LQWKHILOHSTVTO

(0312(1$0(-2%+,5('$7(

.,1*35(6,'(17129
%/$.(0$1$*(50$<
&/$5.0$1$*(5-81
-21(60$1$*(5$35
0$57,16$/(60$16(3
$//(16$/(60$1)(%
7851(56$/(60$16(3
-$0(6&/(5.'(&
:$5'6$/(60$1)(%
)25'$1$/<67'(&
60,7+&/(5.'(&
6&277$1$/<67'(&
$'$06&/(5.-$1
0,//(5&/(5.-$1
URZVVHOHFWHG

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH FRQWLQXHG

 &UHDWHDTXHU\WRGLVSOD\XQLTXHMREVIURPWKH(03WDEOH

-2%

$1$/<67
&/(5.
0$1$*(5
35(6,'(17
6$/(60$1
,I\RXKDYHWLPHFRPSOHWHWKHIROORZLQJH[HUFLVHV

 /RDGSTVTOLQWRWKH64/EXIIHU1DPHWKHFROXPQKHDGLQJV(PS(PSOR\HH-RE

DQG+LUH'DWHUHVSHFWLYHO\5HUXQ\RXUTXHU\

(PS(PSOR\HH-RE+LUH'DWH

.,1*35(6,'(17129
%/$.(0$1$*(50$<
&/$5.0$1$*(5-81
-21(60$1$*(5$35
0$57,16$/(60$16(3
$//(16$/(60$1)(%
7851(56$/(60$16(3
-$0(6&/(5.'(&
:$5'6$/(60$1)(%
)25'$1$/<67'(&
60,7+&/(5.'(&
6&277$1$/<67'(&
$'$06&/(5.-$1
0,//(5&/(5.-$1
URZVVHOHFWHG

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH FRQWLQXHG

 'LVSOD\WKHQDPHFRQFDWHQDWHGZLWKWKHMREVHSDUDWHGE\DFRPPDDQGVSDFHDQGQDPHWKH

FROXPQ(PSOR\HHDQG7LWOH

(PSOR\HHDQG7LWOH

.,1*35(6,'(17
%/$.(0$1$*(5
&/$5.0$1$*(5
-21(60$1$*(5
0$57,16$/(60$1
$//(16$/(60$1
7851(56$/(60$1
-$0(6&/(5.
:$5'6$/(60$1
)25'$1$/<67
60,7+&/(5.
6&277$1$/<67
$'$06&/(5.
0,//(5&/(5.
URZVVHOHFWHG

,I\RXZDQWH[WUDFKDOOHQJHFRPSOHWHWKHIROORZLQJH[HUFLVH

 &UHDWHDTXHU\WRGLVSOD\DOOWKHGDWDIURPWKH(03WDEOH6HSDUDWHHDFKFROXPQE\D

FRPPD1DPHWKHFROXPQ7+(B287387

7+(B287387
 
 .,1*35(6,'(17129
 %/$.(0$1$*(50$<
 &/$5.0$1$*(5-81
 -21(60$1$*(5$35
 0$57,16$/(60$16(3
 $//(16$/(60$1)(%
 7851(56$/(60$16(3
 -$0(6&/(5.'(&
 :$5'6$/(60$1)(%
 )25'$1$/<67'(&
 60,7+&/(5.'(&
 6&277$1$/<67'(&
 $'$06&/(5.-$1
 0,//(5&/(5.-$1
 URZVVHOHFWHG

,QWURGXFWLRQWR2UDFOH64/DQG3/64/

5HVWULFWLQJDQG6RUWLQJ'DWD

2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

6FKHGXOH 7LPLQJ 7RSLF

PLQXWHV /HFWXUH

PLQXWHV 3UDFWLFH

PLQXWHV 7RWDO
2EMHFWLYHV

$IWHUFRPSOHWLQJWKLVOHVVRQ\RXVKRXOG
EHDEOHWRGRWKHIROORZLQJ
‡ /LPLWWKHURZVUHWULHYHGE\DTXHU\
‡ 6RUWWKHURZVUHWULHYHGE\DTXHU\

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

/HVVRQ$LP

:KLOHUHWULHYLQJGDWDIURPWKHGDWDEDVH\RXPD\QHHGWRUHVWULFWWKHURZVRIGDWDWKDWDUHGLVSOD\HG

RUVSHFLI\WKHRUGHULQZKLFKWKHURZVDUHGLVSOD\HG7KLVOHVVRQH[SODLQVWKH64/VWDWHPHQWVWKDW

\RXZLOOXVHWRSHUIRUPWKHVHDFWLRQV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
/LPLWLQJ5RZV8VLQJD6HOHFWLRQ
(03
(0312(1$0( -2% '(3712
«UHWULHYHDOO

 .,1* 35(6,'(17  HPSOR\HHV

 %/$.( 0$1$*(5  LQGHSDUWPHQW


 &/$5. 0$1$*(5 
 -21(6 0$1$*(5 


(03
(0312(1$0( -2% '(3712
 .,1* 35(6,'(17 
 &/$5. 0$1$*(5 
 0,//(5 &/(5. 

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

/LPLWLQJ5RZV8VLQJD6HOHFWLRQ

,QWKHH[DPSOHRQWKHVOLGHDVVXPHWKDW\RXZDQWWRGL VSOD\DOOWKHHPSOR\HHVLQGHSDUWPHQW7KH

KLJKOLJKWHGVHWRIURZVZLWKDYDOXHRILQ'(3712FROXPQDUHWKHRQO\RQHVUHWXUQHG7KLV

PHWKRGRIUHVWULFWLRQLVWKHEDVLVRIWKH:+(5(FODXVHLQ64/

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
/LPLWLQJ5RZV6HOHFWHG

‡ 5HVWULFWWKHURZVUHWXUQHGE\XVLQJWKH
:+(5(FODXVH

6(/(&7 >',67,1&7@^ _FROXPQ>DOLDV@`


)520 WDEOH
>:+(5( FRQGLWLRQ V @

‡ 7KH:+(5(FODXVHIROORZVWKH)520
FODXVH

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

/LPLWLQJ5RZV6HOHFWHG

<RXFDQUHVWULFWWKHURZVUHWXUQHGIURPWKHTXHU\E\XVLQJWKH:+(5(FODXVH$:+(5(FODXVH

FRQWDLQVDFRQGLWLRQWKDWPXVWEHPHWDQGLWGLUHFWO\IROORZVWKH)520FODXVH

,QWKHV\QWD[

:+(5( UHVWULFWVWKHTXHU\WRURZVWKDWPHHWDFRQGLWLRQ

FRQGLWLRQ LVFRPSRVHGRIFROXPQQDPHVH[SUHVVLRQVFRQVWDQWVDQGDFRPSDULVRQ

RSHUDWRU

7KH:+(5(FODXVHFDQFRPSDUHYDOXHVLQFROXPQVOLWHUDOYDOXHVDULWKPHWLFH[SUHVVLRQVRU

IXQFWLRQV7KH:+(5(FODXVHFRQVLVWVRIWKUHHHOHPHQWV

‡ &ROXPQQDPH

‡ &RPSDULVRQRSHUDWRU

‡ &ROXPQQDPHFRQVWDQWRUOLVWRIYDOXHV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJWKH:+(5(&ODXVH

64/!6(/(&7HQDPHMREGHSWQR
)520HPS
:+(5(MRE
&/(5.


(1$0(-2%'(3712

-$0(6&/(5.
60,7+&/(5.
$'$06&/(5.
0,//(5&/(5.

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

8VLQJWKH:+(5(FODXVH

,QWKHH[DPSOHWKH6(/(&7VWDWHPHQWUHWULHYHVWKHQDPHMREWLWOHDQGGHSDUWPHQWQXPEHURIDOO

HPSOR\HHVZKRVHMREWLWOHLV&/(5.

1RWHWKDWWKHMREWLWOH&/(5.KDVEHHQVSHFLILHGLQXSSHUFDVHWRHQVXUHWKDWWKHPDWFKLVPDGHZLWK

WKHMREFROXPQLQWKH(03WDEOH&KDUDFWHUVWULQJVDUHFDVHVHQVLWLYH

&ODVV0DQDJHPHQW1RWH

6QLSSHW³3URFHVVLQJD4XHU\´

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
&KDUDFWHU6WULQJVDQG'DWHV
‡ &KDUDFWHUVWULQJVDQGGDWHYDOXHVDUH
HQFORVHGLQVLQJOHTXRWDWLRQPDUNV
‡ &KDUDFWHUYDOXHVDUHFDVHVHQVLWLYHDQG
GDWHYDOXHVDUHIRUPDWVHQVLWLYH
‡ 7KHGHIDXOWGDWHIRUPDWLV''021<<

64/!6(/(&7 HQDPHMREGHSWQR
)520 HPS
:+(5( HQDPH 
-$0(6


 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

&KDUDFWHU6WULQJVDQG'DWHV

&KDUDFWHUVWULQJVDQGGDWHVLQWKH:+(5(FODXVHPXVWEHHQFORVHGLQVLQJOHTXRWDWLRQPDUNV


1XPEHUFRQVWDQWVKRZHYHUVKRXOGQRW

$OOFKDUDFWHUVHDUFKHVDUHFDVHVHQVLWLYH,QWKHIROORZLQJH[DPSOHQRURZVDUHUHWXUQHGEHFDXVHWKH

(03WDEOHVWRUHVDOOWKHGDWDLQXSSHUFDVH

64/!6(/(&7HQDPHHPSQRMREGHSWQR
)520HPS
:+(5(MRE
FOHUN

2UDFOHVWRUHVGDWHVLQDQLQWHUQDOQXPHULFIRUPDWUHSUHVHQWLQJWKHFHQWXU\\HDUPRQWKGD\KRXUV

PLQXWHVDQGVHFRQGV7KHGHIDXOWGDWHGLVSOD\LV''021<<

1RWH&KDQJLQJGHIDXOWGDWHIRUPDWZLOOEHFRYHUHGLQ/HVVRQ

1XPEHUYDOXHVDUHQRWHQFORVHGZLWKLQTXRWDWLRQPDUNV

&ODVV0DQDJHPHQW1RWH

6RPHVWXGHQWVPD\DVNKRZWRRYHUULGHWKHFDVHVHQVLWLYLW\/DWHULQWKHFRXUVHZHZLOOFRYHUWKHXVH

RIVLQJOHURZIXQFWLRQVVXFKDV833(5DQG/2:(5WRRYHUULGHWKHFDVHVHQVLWLYLW\

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
&RPSDULVRQ2SHUDWRUV

2SHUDWRU 0HDQLQJ

(TXDOWR

! *UHDWHUWKDQ

! *UHDWHUWKDQRUHTXDOWR

 /HVVWKDQ

 /HVVWKDQRUHTXDOWR

! 1RWHTXDOWR

 &RS\ULJKW2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG

&RPSDULVRQ2SHUDWRUV

&RPSDULVRQRSHUDWRUVDUHXVHGLQFRQGLWLRQVWKDWFRPSDUHRQHH[SUHVVLRQWRDQRWKHU7KH\DUHXVHG

LQWKH:+(5(FODXVHLQWKHIROORZLQJIRUPDW

6\QWD[

 «:+(5(H[SURSHUDWRUYDOXH
([DPSOHV

«:+(5(KLUHGDWH
-$1

«:+(5(VDO! 
«:+(5(HQDPH
60,7+

&ODVV0DQDJHPHQW1RWH

5HPLQGVWXGHQWVWKDWWKHH[SUFDQQRWEHDQDOLDV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJWKH&RPSDULVRQ
2SHUDWRUV

64/!6(/(&7HQDPHVDOFRPP
)520HPS
:+(5(VDO FRPP

(1$0(6$/&200

0$57,1

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

8VLQJWKH&RPSDULVRQ2SHUDWRUV

,QWKHH[DPSOHWKH6(/(&7VWDWHPHQWUHWULHYHVQDPHVDODU\DQGFRPPLVVLRQIURPWKH(03WDEOH

ZKHUHWKHHPSOR\HHVDODU\LVOHVVWKDQRUHTXDOWRWKHFRPPLVVLRQDPRXQW1RWHWKDWWKHUHLVQR

H[SOLFLWYDOXHVXSSOLHGWRWKH:+(5(FODXVH7KHWZRYDOXHVEHLQJFRPSDUHGDUHWDNHQIURPWKH

6$/DQG&200FROXPQVLQWKH(03WDEOH

&ODVV0DQDJHPHQW1RWH

5RZVWKDWKDYHDQXOOYDOXHLQWKH&200FROXPQUHVXOWLQDQXOOYDOXHIRUWKHFRPSDULVRQ

H[SUHVVLRQDQGDUHHIIHFWLYHO\QRWSDUWRIWKHUHVXOW

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
2WKHU&RPSDULVRQ2SHUDWRUV

2SHUDWRU 0HDQLQJ

%(7:((1 %HWZHHQWZRYDOXHV LQFOXVLYH

$1'

,1 OLVW 0DWFKDQ\RIDOLVWRIYDOXHV

/,.( 0DWFKDFKDUDFWHUSDWWHUQ

,618// ,VDQXOOYDOXH

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJWKH%(7:((12SHUDWRU
8VHWKH%(7:((1RSHUDWRUWRGLVSOD\
URZVEDVHGRQDUDQJHRIYDOXHV
64/!6(/(&7 HQDPHVDO
)520 HPS
:+(5( VDO%(7:((1$1'

(1$0(6$/
 /RZHU +LJKHU

0$57,1 OLPLW OLPLW

7851(5
:$5'
$'$06
0,//(5

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

7KH%(7:((12SHUDWRU

<RXFDQGLVSOD\URZVEDVHGRQDUDQJHRIYDOXHVXVLQJWKH%(7:((1RSHUDWRU7KHUDQJHWKDW\RX

VSHFLI\FRQWDLQVDORZHUUDQJHDQGDQXSSHUUDQJH

7KH6(/(&7VWDWHPHQWRQWKHVOLGHUHWXUQVURZVIURPWKH(03WDEOHIRUDQ\HPS OR\HHZKRVHVDODU\

LVEHWZHHQDQG

9DOXHVVSHFLILHGZLWKWKH%(7:((1RSHUDWRUDUHLQFOXVLYH<RXPXVWVSH FLI\WKHORZHUOLPLWILUVW

&ODVV0DQDJHPHQW1RWH

(PSKDVL]HWKDWWKHYDOXHVVSHFLILHGZLWKWKH%(7:((1RSHUDWRULQWKHH[DPSOHDUHLQFOXVLYH3RLQW

RXWWKDW7XUQHUZKRHDUQV KLJKHUOLPLW LVLQFOXGHGLQWKHRXWSXW

'HPROEHWZVTO

3XUSRVH7RLOOXVWUDWHXVLQJWKH%(7:((1RSHUDWRU

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJWKH,12SHUDWRU
8VHWKH,1RSHUDWRUWRWHVWIRUYDOXHVLQD
OLVW

64/!6(/(&7 HPSQRHQDPHVDOPJU
)520 HPS
:+(5( PJU,1  

(0312(1$0(6$/0*5

)25'
60,7+
6&277
$'$06

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

7KH,12SHUDWRU

7RWHVWIRUYDOXHVLQDVSHFLILHGOLVWXVHWKH,1RSHUDWRU

7KHVOLGHH[DPSOHGLVSOD\VHPSOR\HHQXPEHUQDPHVDODU\DQGPDQDJHU¶VHPS OR\HHQXPEHURIDOO

WKHHPSOR\HHVZKRVHPDQDJHU¶VHPSOR\HHQXPEHULVRU

7KH,1RSHUDWRUFDQEHXVHGZLWKDQ\GDWDW\SH7KHIROORZLQJH[DPSOHUHWXUQVDURZIURPWKH(03

WDEOHIRUDQ\HPSOR\HHZKRVHQDPHLVLQFOXGHGLQWKHOLVWRIQDPH VLQWKH:+(5(FODXVH

64/!6(/(&7 HPSQRHQDPHPJUGHSWQR
 )520 HPS
 :+(5( HQDPH,1
)25'

$//(1

,IFKDUDFWHUVRUGDWHVDUHXVHGLQWKHOLVWWKH\PXVWEHHQFORVHGLQVLQJOHTXRWDWLRQPDUNV

&ODVV0DQDJHPHQW1RWH

'HPROLQVTO

3XUSRVH7RLOOXVWUDWHXVLQJWKH,1RSHUDWRU

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJWKH/,.(2SHUDWRU
‡ 8VHWKH/,.(RSHUDWRUWRSHUIRUP
ZLOGFDUGVHDUFKHVRIYDOLGVHDUFKVWULQJ
YDOXHV
‡ 6HDUFKFRQGLWLRQVFDQFRQWDLQHLWKHU
OLWHUDOFKDUDFWHUVRUQXPEHUV
± GHQRWHV]HURRUPDQ\FKDUDFWHUV
± BGHQRWHVRQHFKDUDFWHU
64/!6(/(&7 HQDPH
)520 HPS
:+(5( HQDPH/,.(
6


 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

7KH/,.(2SHUDWRU

<RXPD\QRWDOZD\VNQRZWKHH[DFWYDOXHWRVHDUFKIRU<RXFDQVHOHFWURZVWKDWPDWFKDFKDUDFWHU

SDWWHUQE\XVLQJWKH/,.(RSHUDWRU7KHFK DUDFWHUSDWWHUQPDWFKLQJRSHUDWLRQLVUHIHUUHGWRDVD

ZLOGFDUGVHDUFK7ZRV\PEROVFDQEHXVHGWRFRQVWUXFWWKHVHDUFKVWULQJ

6\PERO 'HVFULSWLRQ

 5HSUHVHQWVDQ\VHTXHQFHRI]HURRUPRUHFKDUDFWHUV

B 5HSUHVHQWVDQ\VLQJOHFKDUDFWHU

7KH6(/(&7VWDWHPHQWDERYHUHWXUQVWKHHPSOR\HHQDPHIURPWKH(03WDEOHIRUDQ\HPSOR\HH

ZKRVHQDPHEHJLQVZLWKDQ³6´1RWHWKHXSSHUFDVH³6´1DPHVEHJLQQLQJZLWKDQ³V´ZLOOQRWEH

UHWXUQHG

7KH/,.(RSHUDWRUFDQEHXVHGDVDVKRUWFXWIRUVRPH%(7:((1FRPSDULVRQV7KHI ROORZLQJ

H[DPSOHGLVSOD\VQDPHVDQGKLUHGDWHVRIDOOHPSOR\HHVZKRMRLQHGEHWZHHQ-DQXDU\ DQG

'HFHPEHU

64/!6(/(&7 HQDPHKLUHGDWH
)520 HPS
:+(5( KLUHGDWH/,.(



,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJWKH/,.(2SHUDWRU

‡ <RXFDQFRPELQHSDWWHUQPDWFKLQJ
FKDUDFWHUV
64/!6(/(&7 HQDPH
)520 HPS
:+(5( HQDPH/,.(
B$


(1$0(

0$57,1
-$0(6
:$5'
‡ <RXFDQXVHWKH(6&$3(LGHQWLILHUWR
VHDUFKIRURUB
 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

&RPELQLQJ:LOGFDUG&KDUDFWHUV

7KHDQGBV\PEROVFDQEHXVHGLQDQ\FRPELQDWLRQZLWKOLWHUDOFKDUDFWHUV7KHH[DPSOHRQWKH

VOLGHGLVSOD\VWKHQDPHVRIDOOHPSOR\HHVZKRVHQDPHKDVDQ³$´DVWKHVHFRQGFKDUDFWHU

7KH(6&$3(2SWLRQ

:KHQ\RXQHH GWRKDYHDQH[DFWPDWFKIRUWKHDFWXDOµ¶DQGµB¶FKDUDFWHUVXVHWKH(6&$3(RSWLRQ

7KLVRSWLRQVSHFLILHVZKDWWKH(6&$3(FKDUDFWHULV7RGLVSOD\WKHQDPHVRIHPS OR\HHVZKRVHQDPH

FRQWDLQVµ$B%¶XVHWKHIROORZLQJ64/VWDWHPHQW

64/! 6(/(&7 HQDPH


 )520 HPS
 :+(5( HQDPH/,.(
$?B%
(6&$3(
?


7KH(6&$3(RSWLRQLGHQWLILHVWKHEDFNVODVK ? DVWKHHVFDSHFKDUDFWHU,QWKHSDWWHUQWKHHVFDSH

FKDUDFWHUSUHFHGHVWKHXQGHUVFRUH B 7KLVFDXVHVWKH2UDFOH6HUYHUWRLQWHUSUHWWKHXQGHUVFRUH

OLWHUDOO\

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJWKH,618//2SHUDWRU

7HVWIRUQXOOYDOXHVZLWKWKH,618//
RSHUDWRU

64/!6(/(&7HQDPHPJU
)520HPS
:+(5(PJU,618//

(1$0(0*5

.,1*

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

7KH,618//2SHUDWRU

7KH,618//RSHUDWRUWHVWVIRUYDOXHVWKDWDUHQXOO$QXOOYDOXHPHDQVWKHYDOXHLVXQDYDLODEOH

XQDVVLJQHGXQNQRZQRULQDSSOLFDEOH7KHUHIRUH\RXFDQQRWWHVWZLWK EHFDXVHDQXOOYDOXH

FDQQRWEHHTXDORUXQHTXDOWRDQ\YDOXH7KHVOLGHH[DPSOHUHWULHYHVWKHQDPHDQGPDQDJHURIDOO

HPSOR\HHVZKRGRQRWKDYHDPDQDJHU

)RUH[DPSOHWRGLVSOD\QDPHMREWLWOHDQGFRPPLVVLRQIRUDOOHPSOR\HHVZKRDUHQRWHQWLWOHGWRJHW

DFRPPLVVLRQXVHWKHIROORZLQJ64/VWDWHPHQW

64/!6(/(&7 HQDPHMREFRPP
 )520 HPS
 :+(5( FRPP,618//

(1$0(-2%&200

.,1*35(6,'(17
%/$.(0$1$*(5
&/$5.0$1$*(5


,QWURGXFWLRQWR2UDFOH64/DQG3/64/
/RJLFDO2SHUDWRUV

2SHUDWRU 0HDQLQJ

$1' 5HWXUQV758(LIERWKFRPSRQHQW

FRQGLWLRQVDUH758(

25
5HWXUQV758(LIHLWKHUFRPSRQHQW

FRQGLWLRQLV758(

127 5HWXUQV758(LIWKHIROORZLQJ

FRQGLWLRQLV)$/6(

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

/RJLFDO2SHUDWRUV

$ORJLFDORSHUDWRUFRPELQHVWKHUHVXOWRIWZRFRPSRQHQWFRQGLWLRQVWRSURGXFHDVLQJOHUHVXOWEDVHG

RQWKHPRUWRLQYHUWWKHUHVXOWRIDVLQJOHFRQGLWLRQ7KUHHORJLFDORSHUDWRUVDUHDYDLODEOHLQ64/

‡ $1'

‡ 25

‡ 127

$OOWKHH[DPSOHVVRIDUKDYHVSHFLILHGRQO\RQHFRQGLWLRQLQWKH:+(5(FODXVH<RXFDQXVHVHYHUDO

FRQGLWLRQVLQRQH:+(5(FODXVHXVLQJWKH$1'DQG25RSHUDWRUV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJWKH$1'2SHUDWRU
$1'UHTXLUHVERWKFRQGLWLRQVWREH758(

64/!6(/(&7HPSQRHQDPHMREVDO
)520HPS
:+(5(VDO! 
$1'MRE
&/(5.


(0312(1$0(-2%6$/

$'$06&/(5.
0,//(5&/(5.

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

7KH$1'2SHUDWRU

,QWKHH[DPSOHERWKFRQGLWLRQVPXVWEHWUXHIRUDQ\UHFRUGWREHVHOHFWHG7KHUHIRUHDQHPSOR\HH

ZKRKDVDMREWLWOHRI&/(5.DQGHDUQVPRUHWKDQZLOOEHVHOHFWHG

$OOFKDUDFWHUVHDUFKHVDUHFDVHVHQVLWLYH1RURZVDUHUHWXUQHGLI&/(5.LVQRWLQXSSHUFDVH

&KDUDFWHUVWULQJVPXVWEHHQFORVHGLQTXRWDWLRQPDUNV

$1'7UXWK7DEOH

7KHIROORZLQJWDEOHVKRZVWKHUHVXOWVRIFRPELQLQJWZRH[SUHVVLRQVZLWK$1'

$1' 758( )$/6( 81.12:1

758( 758( )$/6( 81.12:1

)$/6( )$/6( )$/6( )$/6(

81.12:1 81.12:1 )$/6( 81.12:1

&ODVV0DQDJHPHQW1RWH

'HPRODQGVTO

3XUSRVH7RLOOXVWUDWHXVLQJWKH$1'RSHUDWRU

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJWKH252SHUDWRU
25UHTXLUHVHLWKHUFRQGLWLRQWREH758(
64/!6(/(&7HPSQRHQDPHMREVDO
)520HPS
:+(5(VDO! 
25MRE
&/(5.

(0312(1$0(-2%6$/

.,1*35(6,'(17
%/$.(0$1$*(5
&/$5.0$1$*(5
-21(60$1$*(5
0$57,16$/(60$1

-$0(6&/(5.

URZVVHOHFWHG
 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

7KH252SHUDWRU

,QWKHH[DPSOHHLWKHUFRQGLWLRQFDQEHWUXHIRUDQ\UHFRUGWREHVHOHFWHG7KHUHIRUHDQHPSOR\HH

ZKRKDVDMREWLWOHRI&/(5.RUHDUQVPRUHWKDQZLOOEHVHOHFWHG

7KH257UXWK7DEOH

7KHIROORZLQJWDEOHVKRZVWKHUHVXOWVRIFRPELQLQJWZRH[SUHVVLRQVZLWK25

25 758( )$/6( 81.12:1

758( 758( 758( 758(

)$/6( 758( )$/6( 81.12:1

81.12:1 758( 81.12:1 81.12:1

&ODVV0DQDJHPHQW1RWH

'HPRORUVTO

3XUSRVH7RLOOXVWUDWHXVLQJWKH25RSHUDWRU

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJWKH1272SHUDWRU

64/!6(/(&7HQDPHMRE
)520HPS
:+(5(MRE127,1
&/(5.

0$1$*(5

$1$/<67


(1$0(-2%

.,1*35(6,'(17
0$57,16$/(60$1
$//(16$/(60$1
7851(56$/(60$1
:$5'6$/(60$1

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

7KH1272SHUDWRU

7KHVOLGHH[DPSOHGLVSOD\VQDPHDQGMREWLWOHRIDOOWKHHPSOR\HHVZKRVHMREWLWOHLVQRW&/(5.

0$1$*(5RU$1$/<67

7KH1277UXWK7DEOH

7KHIROORZLQJWDEOHVKRZVWKHUHVXOWRIDSSO\LQJWKH127RSHUDWRUWRDFRQGLWLRQ

127 758( )$/6( 81.12:1

)$/6( 758( 81.12:1

1RWH7KH127RSHUDWRUFDQDOVREHXVHGZLWKRWKHU64/RSHUDWRUVVXFKDV%(7:((1/,.(DQG

18//

:+(5(127MRE,1
&/(5.

$1$/<67

:+(5(VDO127%(7:((1$1'

:+(5(HQDPH127/,.(
$

:+(5(FRPP,612718//

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
5XOHVRI3UHFHGHQFH

2UGHU(YDOXDWHG 2SHUDWRU
  $OOFRPSDULVRQ
RSHUDWRUV
 127
 $1'
 25

2YHUULGHUXOHVRISUHFHGHQFHE\XVLQJ
SDUHQWKHVHV

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
5XOHVRI3UHFHGHQFH
64/!6(/(&7HQDPHMREVDO
)520HPS
:+(5(MRE
6$/(60$1

25MRE
35(6,'(17

$1'VDO!

(1$0(-2%6$/

.,1*35(6,'(17
0$57,16$/(60$1
$//(16$/(60$1
7851(56$/(60$1
:$5'6$/(60$1

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

([DPSOHRI3UHFHGHQFHRI$ 1'2SHUDWRU

,QWKHVOLGHH[DPSOHWKHUHDUHWZRFRQGLWLRQV

‡ 7KHILUVWFRQGLWLRQLVWKDWMRELV35(6,'(17DQGVDODU\LVJUHDWHUWKDQ

‡ 7KHVHFRQGFRQGLWLRQLVWKDWMRELV6$/(60$1

7KHUHIRUHWKH6(/(&7VWDWHPHQWUHDGVDVIROORZV

³6HOHFWWKHURZLIDQHPSOR\HHLVD35(6,'(17DQGHDUQVPRUHWKDQRULIWKHHPSOR\HHLVD

6$/(60$1´

&ODVV0DQDJHPHQW1RWH

'HPROVDOVTO

3XUSRVH7RLOOXVWUDWHWKHUXOHVRISUHFHGHQFH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
5XOHVRI3UHFHGHQFH
8VHSDUHQWKHVHVWRIRUFHSULRULW\
64/!6(/(&7HQDPHMREVDO
)520HPS
:+(5( MRE
6$/(60$1

25MRE
35(6,'(17

$1'VDO!

(1$0(-2%6$/

.,1*35(6,'(17
$//(16$/(60$1

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

8VLQJ3DUHQWKHVHV

,QWKHH[DPSOHWKHUHDUHWZRFRQGLWLRQV

‡ 7KHILUVWFRQGLWLRQLVWKDWMRELV35(6,'(17RU6$/(60$1

‡ 7KHVHFRQGFRQGLWLRQLVWKDWVDODU\LVJUHDWHUWKDQ

7KHUHIRUHWKH6(/(&7VWDWHPHQWUHDGVDVIROORZV

³6HOHFWWKHURZLIDQHPSOR\HHLVD35(6,'(17RUD6$ /(60$1DQGLIWKHHPSOR\HHHDUQVPRUH

WKDQ´

&ODVV0DQDJHPHQW1RWH

'HPROVDOVTO

3XUSRVH7RLOOXVWUDWHWKHUXOHVRISUHFHGHQFH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
25'(5%<&ODXVH
‡ 6RUWURZVZLWKWKH25'(5%<FODXVH
± $6&DVFHQGLQJRUGHUGHIDXOW
± '(6&GHVFHQGLQJRUGHU
‡ 7KH25'(5%<FODXVHFRPHVODVWLQWKH
6(/(&7VWDWHPHQW
64/!6(/(&7 HQDPHMREGHSWQRKLUHGDWH
)520 HPS
25'(5%<KLUHGDWH
(1$0(-2%'(3712+,5('$7(

60,7+&/(5.'(&
$//(16$/(60$1)(%

URZVVHOHFWHG
 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

7KH25'(5%<&ODXVH

7KHRUGHURIURZVUHWXUQHGLQDTXHU\UHVXOWLVXQGHILQHG7KH25'(5%<FODXVHFDQEHXVHGWRVRUW

WKHURZV,I\RXXVHWKH25'(5%<FODXVH\RXPXVWSODFHODVW<RXFDQVSHFLI\DQH[SUHVV LRQRUDQ

DOLDVWRVRUW

6\QWD[

 6(/(&7  H[SU

 )520  WDEOH

 >:+(5(  FRQGLWLRQ V @

 >25'(5%< ^FROXPQH[SU`>$6&_'(6&@@

ZKHUH 25'(5%< VSHFLILHVWKHRUGHULQZKLFKWKHUHWULHYHGURZVDUHGLVSOD\HG

ASC orders the rows in ascending order (this is the default order)
DESC orders the rows in descending order

,IWKH25'(5%<FODXVHLVQRWXVHGWKHVRUWRUGHULVXQGHILQHGDQGWKH2UDFOH6HUYHUPD\QRWIHWFK

URZVLQWKHVDPHRUGHUIRUWKHVDPHTXHU\WZLFH8VHWKH25'(5%<FODXVHWRGLVSOD\WKHURZVLQD

VSHFLILFRUGHU

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
6RUWLQJLQ'HVFHQGLQJ2UGHU
64/!6(/(&7 HQDPHMREGHSWQRKLUHGDWH
)520 HPS
25'(5%<KLUHGDWH'(6&

(1$0(-2%'(3712+,5('$7(

$'$06&/(5.-$1
6&277$1$/<67'(&
0,//(5&/(5.-$1
-$0(6&/(5.'(&
)25'$1$/<67'(&
.,1*35(6,'(17129
0$57,16$/(60$16(3

URZVVHOHFWHG

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

'HIDXOW2UGHULQJRI'DWD

7KHGHIDXOWVRUWRUGHULVDVFHQGLQJ

‡ 1XPHULFYDOXHVDUHGLVSOD\HGZLWKWKHORZHVWYDOXHVILUVW²IRUH[DPSOH ±
‡ 'DWHYDOXHVDUHGLVSOD\HGZLWKWKHHDUOLHVWYDOXHILUVW²IRUH[DPSOH-$1EHIRUH

-$1

‡ &KDUDFWHUYDOXHVDUHGLVSOD\HGLQDOSKDEHWLFDORUGHU²IRUH[DPSOH$ILUVWDQG=ODVW

‡ 1XOOYDOXHVDUHGLVSOD\HGODVWIRUDVFH QGLQJVHTXHQFHVDQGILUVWIRUGHVFHQGLQJVHTXHQFHV

5HYHUVLQJWKH'HIDXOW2UGHU

7RUHYHUVHWKHRUGHULQZKLFKURZVDUHGLVSOD\HGVSHFLI\WKHNH\ZRUG'(6&DIWHUWKHFROXPQQDPH

LQWKH25'(5%<FODXVH7KHVOLGHH[DPSOHVRUWVWKHUHVXOWE\WKHPRVWUHFHQWO\KLUHGHPSOR\HH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
6RUWLQJE\&ROXPQ$OLDV
64/!6(/(&7HPSQRHQDPHVDO DQQVDO
)520HPS
25'(5%<DQQVDO

(0312(1$0($116$/

60,7+
-$0(6
$'$06
0$57,1
:$5'
0,//(5
7851(5

URZVVHOHFWHG

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

6RUWLQJ%\&ROXPQ$OLDVHV

<RXFDQXVHDFROXPQDOLDVLQWKH25'(5%<FODXVH7KHVOLGHH[DPSOHVRUWVWKHGDWDE\DQQXDO

VDODU\

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
6RUWLQJE\0XOWLSOH&ROXPQV
‡ 7KHRUGHURI25'(5%<OLVWLVWKHRUGHURI
VRUW
64/!6(/(&7 HQDPHGHSWQRVDO
)520 HPS
25'(5%< GHSWQRVDO'(6&

(1$0('(37126$/

.,1*
&/$5.
0,//(5
)25'

URZVVHOHFWHG
‡ <RXFDQVRUWE\DFROXPQWKDWLVQRWLQWKH
6(/(&7OLVW
 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

6RUWLQJE\0XOWLSOH&ROXPQV

<RXFDQVRUWTXHU\UHVXOWVE\PRUHWKDQRQHFROXPQ7KHVRUWOLPLWLVWKHQXPEHURIFROXPQVLQWKH

JLYHQWDEOH

,QWKH25'(5%<FODXVHVSHFLI\WKHFROXPQVDQGVHSDUDWHWKHFROXPQQDPHVXVLQJFRPPDV,I\RX

ZDQWWRUHYHUVHWKHRUGHURIDFROXPQVSHFLI\'(6&DIWHULWVQDPH<RXFDQRUGHUE\FROXPQVWKDW

DUHQRWLQFOXGHGLQWKH6(/(&7FODXVH

([DPSOH

'LVSOD\QDPHDQGVDODU\RIDOOHPSOR\HHV2UGHUWKHUHVXOWE\GHSDUWPHQWQXPEHUDQGWKHQ

GHVFHQGLQJRUGHUE\VDODU\

64/!6(/(&7 HQDPHVDO
 )520 HPS
 25'(5%< GHSWQRVDO'(6&

&ODVV0DQDJHPHQW1RWH

6KRZWKDWWKH'(3712FROXPQLVVRUWHGLQDVFHQGLQJRUGHUDQGWKH6$/FROXPQLQGHVFHQGLQJ

RUGHU

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
6XPPDU\

6(/(&7 >',67,1&7@^ _FROXPQ>DOLDV@`


)520 WDEOH
>:+(5( FRQGLWLRQ V @
>25'(5%< ^FROXPQH[SUDOLDV`>$6&_'(6&@@

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

6XPPDU\

,QWKLVOHVVRQ\RXKDYHOHDUQHGDERXWUHVWULFWLQJDQGVRUWLQJUR ZVUHWXUQHGE\WKH6(/(&7

VWDWHPHQW<RXKDYHDOVROHDUQHGKRZWRLPSOHPHQWYDULRXVRSHUDWRUV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH2YHUYLHZ

‡ 6HOHFWLQJGDWDDQGFKDQJLQJWKHRUGHU
RIURZVGLVSOD\HG
‡ 5HVWULFWLQJURZVE\XVLQJWKH:+(5(
FODXVH
‡ 8VLQJWKHGRXEOHTXRWDWLRQPDUNVLQ
FROXPQDOLDVHV

 2UDFOH&RUSR UDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

3UDFWLFH2YHUYLHZ

7KLVSUDFWLFHJLYHV\RXDYDULHW\RIH[HUFLVHVXVLQJWKH :+(5(FODXVHDQGWKH25'(5%<FODXVH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH

 &UHDWHDTXHU\WRGLVSOD\WKHQDPHDQGVDODU\RIHPSOR\HHVHDUQLQJPRUHWKDQ

6DYH\RXU64/VWDWHPHQWWRDILOHQDPHGSTVTO5XQ\RXUTXHU\

(1$0(6$/

.,1*
-21(6
)25'
6&277

 &UHDWHDTXHU\WRGLVSOD\WKHHPSOR\HHQDPHDQGGHSDUWPHQWQXPEHUIRUHPSOR\HHQXPEHU



(1$0('(3712

-21(6

 0RGLI\STVTOWRGLVSOD\WKHQDPHDQGVDODU\IRUDOOHPSOR\HHVZKRVHVDODU\LVQRWLQWKH

UDQJHRIDQG5HVDYH\RXU64/VWDWHPHQWWRDILOHQDPHGSTVTO5HUXQ\RXU

TXHU\

(1$0(6$/

.,1*
-21(6
0$57,1
-$0(6
:$5'
)25'
60,7+
6&277
$'$06
0,//(5
URZVVHOHFWHG

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH FRQWLQXHG

 'LVSOD\WKHHPSOR\HHQDPHMREDQGVWDUWGDWHRIHPSOR\HH VKLUHGEHWZHHQ)HEUXDU\

DQG0D\2UGHUWKHTXHU\LQDVFHQGLQJRUGHUE\VWDUWGDWH

(1$0(-2%+,5('$7(

$//(16$/(60$1)(%
:$5'6$/(60$1)(%
-21(60$1$*(5$35
%/$.(0$1$*(50$<
 'LVSOD\WKHHPSOR\HHQDPHDQGGHSDUWPHQWQXPEHURIDOOHPSOR\HHVLQGHSDUWPHQ WVDQG

LQDOSKDEHWLFDORUGHUE\QDPH

(1$0('(3712

$//(1
%/$.(
&/$5.
-$0(6
.,1*
0$57,1
0,//(5
7851(5
:$5'
URZVVHOHFWHG

 0RGLI\STVTOWROLVWWKHQDPHDQGVDODU\RIHPSOR\HHVZKRHDUQPRUHWKDQDQGDUH

LQGHSDUWPHQWRU/DEHOWKHFROXPQV(PSOR\HHDQG0RQWKO\6DODU\UHVSHFWLYHO\

5HVDYH\RXU64/VWDWHPHQWWRDILOHQDPHGSTVTO5HUXQ\RXUTXHU\

(PSOR\HH0RQWKO\6DODU\

.,1*
%/$.(
&/$5.
$//(1

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH FRQWLQXHG

 'LVSOD\WKHQDPHDQGKLUHGDWHRIHYHU\HPSOR\HHZKRZDVKLUHGLQ 

(1$0(+,5('$7(

6&277'(&
0,//(5-$1

 'LVSOD\WKHQDPHDQGMREWLWOHRIDOOHPSOR\HHVZKRGRQRWKDYHDPDQDJHU

(1$0(-2%

.,1*35(6,'(17

 'LVSOD\WKHQDPHVDODU\DQGFRPPLVVLRQIRUDOOHPSOR\HHVZKRHDUQFRPPLVVLRQV6RUW

GDWDLQGHVFHQGLQJRUGHURIVDODU\DQGFRPPLVVLRQV

(1$0(6$/&200

$//(1
7851(5
0$57,1
:$5'
,I\RXKDYHWLPHFRPSOHWHWKHIROORZLQJH[HUFLVHV

 'LVSOD\WKHQDPHVRIDOOHPSOR\HHVZKHUHWKHWKLUGOHWWHURIWKHLUQDPHLVDQ$

(1$0(

%/$.(
&/$5.
$'$06
 'LVSOD\WKHQDPHRIDOOHPSOR\HHVZKRKDYHWZR/VLQWKHLUQDPHDQGDUHLQGHSDUWPHQWRU

WKHLUPDQDJHULV

(1$0(

$//(1
0,//(5

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH FRQWLQXHG

,I\RXZDQWH[WUDFKDOOHQJHFRPSOHWHWKHIROORZLQJH[HUFLVHV

 'LVSOD\WKHQDPHMREDQGVDODU\IRUDOOHPSOR\HHVZKRVHMRELV&OHUNRU$QDO\VWDQG

WKHLUVDODU\LVQRWHTXDOWRRU

(1$0(-2%6$/

-$0(6&/(5.
60,7+&/(5.
$'$06&/(5.
0,//(5&/(5.
 0RGLI\STVTOWRGLVSOD\WKHQDPHVDODU\DQGFRPPLVVLRQIRUDOOHPSOR\HHVZKRVH

FRPPLVVLRQDPRXQWLVJUHDWHUWKDQWKHLUVDODU\LQFUHDVHGE\5HUXQ\RXUTXHU\5HVDYH

\RXUTXHU\DVSTVTO

(PSOR\HH0RQWKO\6DODU\&200



0$57,1

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
,QWURGXFWLRQWR2UDFOH64/DQG3/64/

6LQJOH5RZ)XQFWLRQV

2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

6FKHGXOH 7LPLQJ 7RSLF

PLQXWHV /HFWXUH

PLQXWHV 3UDFWLFH

PLQXWHV 7RWDO
2EMHFWLYHV

$IWHUFRPSOHWLQJWKLVOHVVRQ\RXVKRXOG
EHDEOHWRGRWKHIROORZLQJ
‡ 'HVFULEHYDULRXVW\SHVRIIXQFWLRQV
DYDLODEOHLQ64/
‡ 8VHFKDUDFWHUQXPEHUDQGGDWH
IXQFWLRQVLQ6(/(&7VWDWHPHQWV
‡ 'HVFULEHWKHXVHRIFRQYHUVLRQ
IXQFWLRQV

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

/HVVRQ$LP

)XQFWLRQVPDNHWKHEDVLFTXHU\EORFNPRUHSRZHUIXODQGDUHXVHGWRPDQLSXODWHGDWDYDOXHV7KLVLV

WKHILUVWRIWZROHVVRQVWKDWH[SORUHIXQFWLRQV<RXZLOOIRFXVRQVLQJOHURZFKDUDFWHUQXPEHUDQG

GDWHIXQFWLRQVDVZHOODVWKRVHIXQFWLRQVWKDWFRQYHUWGDWDIURPRQHW\SHWRDQRWKHU²IRUH[DPSOH

FKDUDFWHUGDWDWRQXPHULF

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
64/)XQFWLRQV

,QSXW 2XWSXW
)XQFWLRQ

DUJ )XQFWLRQ

SHUIRUPVDFWLRQ
DUJ
5HVXOW

YDOXH

DUJ Q

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

64/)XQFWLRQV

)XQFWLRQVDUHDYHU\SRZHUIXOIHDWXUHRI64/DQGFDQEHXVHGWRGRWKHIROORZLQJ

‡ 3HUIRUPFDOFXODWLRQVRQGDWD

‡ 0RGLI\LQGLYLGXDOGDWDLWHPV

‡ 0DQLSXODWHRXWSXWIRUJURXSVRIURZV

‡ )RUPDWGDWHVDQGQXPEHUVIRUGLVSOD\

‡ &RQYHUWFROXPQGDWDW\SHV

64/IXQFWLRQVPD\DFFHSWDUJXPHQWVDQGDOZD\VUHWXUQDYDOXH

1RWH0RVWRIWKHIXQFWLRQVGHVFULEHGLQWKLVOHVVRQDUHVSHFLILFWR2UDFOH¶VYHUVLRQRI64/

&ODVV0DQDJHPHQW1RWH

7KLVOHVVRQGRHVQRWGLVFXVVDOOIXQFWLRQVLQJUHDWGHWDLO3UHVHQWWKHPRVWFRP PRQIXQFWLRQVZLWKRXW

DORQJH[SODQDWLRQ

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
7ZR7\SHVRI64/)XQFWLRQV

)XQFWLRQV

6LQJOHURZ 0XOWLSOHURZ

IXQFWLRQV IXQFWLRQV

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

64/)XQFWLRQV FRQWLQXHG

7KHUHDUHWZRGLVWLQFWW\SHVRIIXQFWLRQV

‡ 6LQJOHURZIXQFWLRQV

‡ 0XOWLSOHURZIXQFWLRQV

6LQJOH5RZ)XQFWLRQV

7KHVHIXQFWLRQVRSHUDWHRQVLQJOHURZVRQO\DQGUHWXUQRQHUHVXOWSHUURZ7KHUHDUHGLIIHUHQWW\SHV

RIVLQJOHURZIXQFWLRQV7KLVOHVVRQFRYHUVWKHIROORZLQJRQHV

‡ &KDUDFWHU

‡ 1XPEHU

‡ 'DWH

‡ &RQYHUVLRQ

0XOWLSOH5RZ)XQFWLRQV

7KHVHIXQFWLRQVPDQLSXODWHJURXSVRIURZVWRJLYHRQHUHVXOWSHUJURXSRIURZV

)RUPRUHLQIRUPDWLRQVHH

2UDFOH6HUYHU64/5HIHUHQFH5HOHDVHIRUWKHFRPSOHWHOLVWRIDYDLODEOHIXQFWLRQVDQGV\QWD[

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
6LQJOH5RZ)XQFWLRQV
‡ 0DQLSXODWHGDWDLWHPV
‡ $FFHSWDUJXPHQWVDQGUHWXUQRQHYDOXH
‡ $FWRQHDFKURZUHWXUQHG
‡ 5HWXUQRQHUHVXOWSHUURZ
‡ 0D\PRGLI\WKHGDWDW\SH
‡ &DQEHQHVWHG
IXQFWLRQBQDPH FROXPQ_H[SUHVVLRQ>DUJDUJ@

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

6LQJOH5RZ)XQFWLRQV

6LQJOHURZIXQFWLRQVDUHXVHGWRPDQLSXODWHGDWDLWHPV7KH\DFFHSWRQHRUPRUH DUJXPHQWVDQG

UHWXUQRQHYDOXHIRUHDFKURZUHWXUQHGE\WKHTXHU\$QDUJXPHQWFDQEHRQHRIWKHIROORZLQJ

‡ 8VHUVXSSOLHGFRQVWDQW

‡ 9DULDEOHYDOXH

‡ &ROXPQQDPH

‡ ([SUHVVLRQ

)HDWXUHVRIVLQJOHURZIXQFWLRQV

‡ $FWRQHDFKURZUHWXUQHGLQWKHTXHU\

‡ 5HWXUQRQHUHVXOWSHUURZ

‡ 0D\UHWXUQDGDWDYDOXHRIDGLIIHUHQWW\SHWKDQWKDWUHIHUHQFHG

‡ 0D\H[SHFWRQHRUPRUHDUJXPHQWV

‡ &DQEHXVHGLQ6(/(&7:+(5(DQG25'(5%<FODXVHVFDQEHQHVWHG

,QWKHV\QWD[

function_name is the name of the function


column is any named database column
expression is any character string or calculated expression
arg1, arg2 is any argument to be used by the function

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
6LQJOH5RZ)XQFWLRQV

&KDUDFWHU

*HQHUDO 1XPEHU
6LQJOHURZ

IXQFWLRQV

&RQYHUVLRQ 'DWH

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

6LQJOH5RZ)XQFWLRQV FRQWLQXHG

7KLVOHVVRQFRYHUVWKHIROORZLQJVLQJOHURZIXQFWLRQV

‡ &KDUDFWHUIXQFWLRQV : ΑFFHSWFKDUDFWHULQSXWDQGFDQUHWXUQERWKFKDUDFWHUDQGQXPEHUYDOXHV
‡ 1XPEHUIXQFWLRQV : $FFHSWQXPHULFLQSXWDQGUHWXUQQXPHULFYDOXHV
‡ 'DWHIXQFWLRQV : 2SHUDWHRQYDOXHVRIWKHGDWHGDWDW\SH $OOGDWHIXQFWLRQVUHWXUQDYDOXHRIGDWH
GDWDW\SHH[FHSWWKH0217+6B%(7:((1IXQFWLRQZKLFKUHWXUQVDQXPEHU

‡ &RQYHUVLRQIXQFWLRQV : &RQYHUWDYDOXHIURPRQHGDWDW\SHWRDQRWKHU
‡ *HQHUDOIXQFWLRQV

± 19/IXQFWLRQ

± '(&2'(IXQFWLRQ

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
&KDUDFWHU)XQFWLRQV
&KDUDFWHU

IXQFWLRQV

&DVHFRQYHUVLRQ &KDUDFWHUPDQLSXODWLRQ

IXQFWLRQV IXQFWLRQV

/2:(5 &21&$7

833(5 68%675

,1,7&$3 /(1*7+

,1675

/3$'

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

&KDUDFWHU)XQFWLRQV

6LQJOHURZFKDUDFWHUIXQFWLRQVDFFHSWFKDUDFWHUGDWDDVLQSXWDQGFDQUHWXUQERWKFKDUDFWHUDQG

QXPEHUYDOXHV&KDUDFWHUIXQFWLRQVFDQEHGLYLGHGLQWRWKHIROORZLQJ

‡ &DVHFRQYHUVLRQIXQFWLRQV

‡ &KDUDFWHUPDQLSXODWLRQIXQFWLRQV

)XQFWLRQ 3XUSRVH
/2:(5 FROXPQ_H[SUHVVLRQ &RQYHUWVDOSKDFKDUDFWHUYDOXHVWRORZHUFDVH

833(5 FROXPQ_H[SUHVVLRQ &RQYHUWVDOSKDFKDUDFWHUYDOXHVWRXSSHUFDVH

,1,7&$3 FROXPQ_H[SUHVVLRQ &RQYHUWVDOSKDFKDUDFWHUYDOXHVWRXSSHUFDVHIRUWKHILUVWOHWWHURI

HDFKZRUGDOORWKHUOHWWHUVLQORZHUFDVH

&21&$7 FROXPQ_H[SUHVVLRQ &RQFDWHQDWHVWKHILUVWFKDUDFWHUYDOXHWRWKHVHFRQGFKDUDFWHU

FROXPQ_H[SUHVVLRQ YDOXHHTXLYDOHQWWRFRQFDWHQDWLRQRSHUDWRU __

68%675 FROXPQ_H[SUHVVLRQP>Q@ 5HWXUQVVSHFLILHGFKDUDFWHUVIURPFKDUDFWHUYDOXHVWDUWLQJDW

FKDUDFWHUSRVLWLRQPQFKDUDFWHUVORQJ ,IPLVQHJDWLYHWKH

FRXQWVWDUWVIURPWKHHQGRIWKHFKDUDFWHUYDOXH,IQLVRPLWWHG

DOOFKDUDFWHUVWRWKHHQGRIWKHVWULQJDUHUHWXUQHG

/(1*7+ FROXPQ_H[SUHVVLRQ 5HWXUQVWKHQXPEHURIFKDUDFWHUVLQYDOXH

,1675 FROXPQ_H[SUHVVLRQP 5HWXUQVWKHQXPHULFSRVLWLRQRIDQDPHGFKDUDFWHU

/3$' FROXPQ_H[SUHVVLRQQ 3DGVWKHFKDUDFWHUYDOXHULJKWMXVWLILHGWRDWRWDOZLGWKRIQ


VWULQJ
FKDUDFWHUSRVLWLRQV

1RWH7KLVOLVWLVDVXEVHWRIWKHDYDLODEOHFKDUDFWHUIXQFWLRQV

)RUPRUHLQIRUPDWLRQVHH

2UDFOH6HUYHU64/5HIHUHQFH5HOHDVH³&KDUDFWHU)XQFWLRQV´

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
&DVH&RQYHUVLRQ)XQFWLRQV

&RQYHUWFDVHIRUFKDUDFWHUVWULQJV
)XQFWLRQ 5HVXOW

/2:(5
64/&RXUVH
VTOFRXUVH

833(5
64/&RXUVH
64/&2856(

,1,7&$3
64/&RXUVH
6TO&RXUVH

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

&DVH&RQYHUVLRQ)XQFWLRQV

/2:(5833(5DQG,1,7&$3DUHWKHWKUHHFDVHFRQYHUVLRQIXQFWLRQV

‡ /2:(5 : &RQYHUWVPL[HGFDVHRUXSSHUFDVHFKDUDFWHUVWULQJWRORZHUFDVH
‡ 833(5 : &RQYHUWVPL[HGFDVHRUORZHUFDVHFKDUDFWHUVWULQJWRXSSHUFDVH
‡ ,1,7&$3 : &RQYHUWVILUVWOHWWHURIHDFKZRUGWRXSSHUFDVHDQGUHPDLQLQJOHWWHUVWRORZHUFDVH

64/! 6(/(&7
7KHMREWLWOHIRU
__,1,7&$3 HQDPH __
LV

 __/2:(5 MRE $6(03/2<(('(7$,/6


 )520 HPS

 (03/2<(('(7$,/6
 
 7KHMREWLWOHIRU.LQJLVSUHVLGHQW
 7KHMREWLWOHIRU%ODNHLVPDQDJHU
 7KHMREWLWOHIRU&ODUNLVPDQDJHU
 
 URZVVHOHFWHG

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJ&DVH&RQYHUVLRQ)XQFWLRQV
'LVSOD\WKHHPSOR\HHQXPEHUQDPHDQG
GHSDUWPHQWQXPEHUIRUHPSOR\HH%ODNH
64/!6(/(&7 HPSQRHQDPHGHSWQR
)520 HPS
:+(5( HQDPH 
EODNH

QRURZVVHOHFWHG

64/!6(/(&7 HPSQRHQDPHGHSWQR
)520 HPS
:+(5( /2:(5 HQDPH  
EODNH


(0312(1$0('(3712

%/$.(

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

&DVH&RQYHUVLRQ)XQFWLRQV FRQWLQXHG

7KHVOLGHH[DPSOHGLVSOD\VWKHHPSOR\HHQXPEHUQDPHDQGGHSDUWPHQWQXPEHURIHPSOR\HH

%/$.(

7KH:+(5(FODXVHRIWKHILUVW64/VWDWH PHQWVSHFLILHVWKHHPSOR\HHQDPHDV
EODNH
6LQFHDOOWKH
GDWDLQWKH(03WDEOHLVVWRUHGLQXSSHUFDVHWKHQDPH
EODNH
GRHVQRWILQGDPDWFKLQWKH(03
WDEOHDQGDVDUHVXOWQRURZVDUHVHOHFWHG

7KH:+(5(FODXVHRIWKHVHFRQG64/VWDWHPHQWVSHFLILHVWKDWWKHHPSOR\HHQDPHLQWKH(03WDEOH

EHFRQYHUWHGWRORZHUFDVHDQGWKHQEHFRPSDUHGWR
EODNH
6LQFHERWKWKHQDPHVDUHLQORZHUFDVH
QRZDPDWFKLVIRXQGDQGRQHURZLVVHOHFWHG7KH:+(5(FODXVHFDQEHUHZULWWHQLQWKHIROORZLQJ

PDQQHUWRSURGXFHWKHVDPHUH VXOW

«:+(5( HQDPH 
%/$.(

7KHQDPHLQWKHRXWSXWDSSHDUVDVLWZDVVWRUHGLQWKHGDWDEDVH7RGLVSOD\WKHQDPHZLWKWKHILUVW

OHWWHUFDSLWDOL]HGXVHWKH,1,7&$3IXQFWLRQLQWKH6(/(&7VWDWHPHQW

64/!6(/(&7 HPSQR,1,7&$3 HQDPH GHSWQR


)520 HPS
:+(5( /2:(5 HQDPH  
EODNH


,QWURGXFWLRQWR2UDFOH64/DQG3/64/
&KDUDFWHU0DQLSXODWLRQ)XQFWLRQV

0DQLSXODWHFKDUDFWHUVWULQJV
)XQFWLRQ 5HVXOW

&21&$7
*RRG

6WULQJ
*RRG6WULQJ

68%675
6WULQJ
 6WU

/(1*7+
6WULQJ


,1675
6WULQJ

U


/3$' VDO



 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

&KDUDFWHU0DQLSXODWLRQ)XQFWLRQV

&21&$768%675/(1*7+,1675DQG/3$'DUHWKHILYHFKDUDFWHUPDQLSXODWLRQIXQFWLRQV

FRYHUHGLQWKLVOHVVRQ

‡ &21&$7 : -RLQVYDOXHVWRJHWKHU <RXDUHOLPLWHGWRXVLQJWZRSDUDPHWHUVZLWK&21&$7


‡ 68%675 : ([WUDFWVDVWULQJRIGHWHUPLQHGOHQJWK
‡ /(1*7+ : 6KRZVWKHOHQJWKRIDVWULQJDVDQXPHULFYDOXH
‡ ,1675 : )LQGVQXPHULFSRVLWLRQRIDQDPHGFKDUDFWHU
‡ /3$' : 3DGVWKHFKDUDFWHUYDOXHULJKWMXVWLILHG
1RWH53$'FKDUDFWHUPDQLSXODWLRQIXQFWLRQSDGVWKHFKDUDFWHUYDOXHOHIWMXVWLILHG

&ODVV0DQDJHPHQW1RWH

%HVXUHWRSRLQWRXW53$'WRWKHVWXGHQWVDVWKLVIXQFWLRQZLOOQHHGHGLQDSUDFWLFHH[HUFLVH

$OVR/75,0DQG575,0DUHUHSODFHGE\RQHIXQFWLRQ75,0LQ2UDFOHL

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJWKH&KDUDFWHU
0DQLSXODWLRQ)XQFWLRQV

64/!6(/(&7HQDPH&21&$7 HQDPHMRE /(1*7+ HQDPH 


 ,1675 HQDPH
$

)520HPS
:+(5( 68%675 MRE  
6$/(6


(1$0(&21&$7 (1$0(-2% /(1*7+ (1$0( ,1675 (1$0(


$


0$57,10$57,16$/(60$1
$//(1$//(16$/(60$1
7851(57851(56$/(60$1
:$5':$5'6$/(60$1

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

&KDUDFWHU0DQLSXODWLRQ)XQFWLRQV FRQWLQXHG

7KHVOLGHH[DPSOHGLVSOD\VHPSOR\HHQDPHDQGMREMRLQHGWRJHWKHUOHQJWKRIWKHHPSOR\HHQDPH

DQGWKHQXPHULFSRVLWLRQRIWKHOHWWHU$LQWKHHPSOR\HHQDPHIRUDOOHPSOR\HHVZKRDUHLQVDOHV

([DPSOH

0RGLI\WKH64/VWDWHPHQWRQWKHVOLGHWRGLVSOD\WKHGDWDIRUWKRVHHPSOR\HHVZKRVHQDPHVHQGZLWK

DQ1

64/!6(/(&7 HQDPH&21&$7 HQDPHMRE /(1*7+ HQDPH 


,1675 HQDPH
$

)520 HPS
:+(5( 68%675 HQDPH  
1


(1$0(&21&$7 (1$0(-2% /(1*7+ (1$0( ,1675 (1$0(


$


0$57,10$57,16$/(60$1
$//(1$//(16$/(60$1

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
1XPEHU)XQFWLRQV
‡ 5281' 5RXQGVYDOXHWRVSHFLILHG
GHFLPDO
5281'  
‡ 7581& 7UXQFDWHVYDOXHWRVSHFLILHG
GHFLPDO
7581&  

‡ 02' 5HWXUQVUHPDLQGHURIGLYLVLRQ
02'  

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

1XPEHU)XQFWLRQV

1XPEHUIXQFWLRQVDFFHSWQXPHULFLQSXWDQGUHWXUQQXPHULFYDOXHV7KLVVHFWLRQGHVFULEHVVRPHRIWKH

QXPEHUIXQFWLRQV

)XQFWLRQ 3XUSRVH

5281' FROXPQ_H[SUHVVLRQQ 5RXQGVWKHFROXPQH[SUHVVLRQRUYDOXHWRQGHFLPDOSODFHVRU

LIQLVRPLWWHGQRGHFLPDOSODFHV ,IQLVQHJDWLYHQXPEHUV

WROHIWRIWKHGHFLPDOSRLQWDUHURXQGHG

7581& FROXPQ_H[SUHVVLRQQ 7UXQFDWHVWKHFROXPQH[SUHVVLRQRUYDOXHWRQGHFLPDO

SODFHVRULIQLVRPLWWHGQRGHFLPDOSODFHV ,IQLVQHJDWLYH

QXPEHUVOHIWRIWKHGHFLPDOSRLQWDUHWUXQFDWHGWR]HUR

02' PQ 5HWXUQVWKHUHPDLQGHURIPGLYLGHGE\Q

1RWH7KLVOLVWLVDVXEVHWRIWKHDYDLODEOHQXPEHUIXQFWLRQV

)RUPRUHLQIRUPDWLRQVHH

2UDFOH6HUYHU64/5HIHUHQFH5HOHDVH³1XPEHU)XQFWLRQV´

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJWKH5281')XQFWLRQ

64/!6(/(&75281'  5281'  


 5281' 
)520'8$/

5281'  5281'  5281' 





 2UDFOH&RUSR UDWLRQ$OOULJKWVUHVHUYH G


&RS\ ULJ KW

5281')XQFWLRQ

7KH5281'IXQFWLRQURXQGVWKHFROXPQH[SUHVVLRQRUYDOXHWRQGHFLPDOSODFHVIf the second

argument is 0 or is missing, the value is rounded to zero decimal places. If the second argument is 2,
the value is rounded to two decimal places. Conversely, if the second argument is -2, the value is
rounded to two decimal places to the left.
7KH5281'IXQFWLRQFDQDOVREHXVHGZLWKGDWHIXQFWLRQV<RXZLOOVHHH[DPSOHVODWHULQWKLV

OHVVRQ

7KH'8$/LVDGXPP\WDEOH0RUHDERXWWKLVZLOOEHFRYHUHGODWHU

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJWKH7581&)XQFWLRQ

64/!6(/(&77581&  7581&  


 7581& 
)520'8$/

7581&  7581&  7581& 





 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

7581&)XQFWLRQ

7KH7581&IXQFWLRQWUXQFDWHVWKHFROXPQH[SUHVVLRQRUYDOXHWRQGHFLPDOSODFHV

7KH7581&IXQFWLRQZRUNVZLWKDUJXPHQWVVLPLODUWRWKRVHRIWKH5281'IXQFWLRQ,IWKHVHFRQG

DUJXPHQWLVRULVPLVVLQJWKHYDOXHLVWUXQ FDWHGWR]HURGHFLPDOSODFHV,IWKHVHFRQGDUJXPHQWLV

WKHYDOXHLVWUXQFDWHGWRWZRGHFLPDOSODFHV&RQYHUVHO\LIWKHVHFRQGDUJXPHQWLVWKHYDOXHLV

WUXQFDWHGWRWZRGHFLPDOSODFHVWRWKHOHIW

/LNHWKH5281'IXQFWLRQWKH7581&IXQFWLRQFDQEHXVHGZLWKGDWHIXQFWLRQV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJWKH02')XQFWLRQ
&DOFXODWHWKHUHPDLQGHURIWKHUDWLRRI
VDODU\WRFRPPLVVLRQIRUDOOHPSOR\HHV
ZKRVHMREWLWOHLVVDOHVPDQ

64/!6(/(&7 HQDPHVDOFRPP02' VDOFRPP


)520 HPS
:+(5( MRE 
6$/(60$1


(1$0(6$/&20002' 6$/&200

0$57,1
$//(1
7851(5
:$5'

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

02')XQFWLRQ

7KH02'IXQFWLRQILQGVWKHUHPDLQGHURIYDOXHGLYLGHGE\YDOXH7KHVOLGHH[DPSOHFDO FXODWHVWKH

UHPDLQGHURIWKHUDWLRRIVDODU\WRFRPPLVVLRQIRUDOOHPSOR\HHVZKRVHMREWLWOHLVVDOHVPDQ

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
:RUNLQJZLWK'DWHV
‡ 2UDFOHVWRUHVGDWHVLQDQLQWHUQDO
QXPHULFIRUPDWFHQWXU\\HDUPRQWK
GD\KRXUVPLQXWHVVHFRQGV
‡ 7KHGHIDXOWGDWHIRUPDWLV''021<<
‡ 6<6'$7(LVDIXQFWLRQUHWXUQLQJGDWH
DQGWLPH
‡ '8$/LVDGXPP\WDEOHXVHGWRYLHZ
6<6'$7(

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

2UDFOH'DWH)RUPDW

Oracle stores dates in an internal numeric format, representing the century, year, month, day, hours,
minutes, and seconds.
7KHGHIDXOWGLVSOD\DQGLQSXWIRUPDWIRUDQ\GDWHLV''021<<9DOLG2UDFOHGDWHVDUHEHWZHHQ

-DQXDU\%&DQG'HFHPEHU$'

6<6'$7(

6<6'$7(LVDGDWHIXQFWLRQWKDWUHWXUQVWKHFXUUHQWGDWHDQGWLPH<RXFDQXVH6<6'$7(MXVWDV

\RXZRXOGXVHDQ\RWKHUFROXPQQDPH)RUH[DPSOH\RXFDQGLVSOD\WKHFXUUHQWGDWHE\V HOHFWLQJ

6<6'$7(IURPDWDEOH,WLVFXVWRPDU\WRVHOHFW6<6'$7(IURPDGXPP\WDEOHFDOOHG'8$/

'8$/

7KH'8$/WDEOHLVRZQHGE\WKHXVHU6<6DQGFDQEHDFFHVVHGE\DOOXVHUV,WFRQWDLQVRQHFROXPQ

'800<DQGRQHURZZLWKWKHYDOXH;7KH'8$/WDEOHLVXVHIXOZKHQ\RXZDQWWRUHWXUQDYDOXH

RQFHRQO\²IRULQVWDQFHWKHYDOXHRIDFRQVWDQWSVHXGRFROXPQRUH[SUH VVLRQWKDWLVQRWGHULYHG

IURPDWDEOHZLWKXVHUGDWD

([DPSOH

'LVSOD\WKHFXUUHQWGDWHXVLQJWKH'8$/WDEOH

64/!6(/(&7 6<6'$7(
)520 '8$/

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
$ULWKPHWLFZLWK'DWHV

‡ $GGRUVXEWUDFWDQXPEHUWRRUIURPD
GDWHIRUDUHVXOWDQWGDWHYDOXH
‡ 6XEWUDFWWZRGDWHVWRILQGWKHQXPEHURI
GD\VEHWZHHQWKRVHGDWHV
‡ $GGKRXUVWRDGDWHE\GLYLGLQJWKH
QXPEHURIKRXUVE\

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

$ULWKPHWLFZLWK'DWHV

6LQFHWKHGDWDEDVHVWRUHVGDWHVDVQXPEHUV\RXFDQSHUIRUPFDOFXODWLRQVXVLQJDULWKPHWLFRSHUDWRUV

VXFKDVDGGLWLRQDQGVXEWUDFWLRQ<RXFDQDGGDQGVXEWUDFWQXPEHUFRQVWDQWVDVZHOODVGDWHV

<RXFDQSHUIRUPWKHIROORZLQJRSHUDWLRQV

2SHUDWLRQ 5HVXOW 'HVFULSWLRQ

GDWHQXPEHU 'DWH $GGVDQXPEHURIGD\VWRDGDWH

GDWHQXPEHU 'DWH 6XEWUDFWVDQXPEHURIGD\VIURPDGDWH

GDWHGDWH 1XPEHURIGD\V 6XEWUDFWVRQHGDWHIURPDQRWKHU

GDWHQXPEHU 'DWH $GGVDQXPEHURIKRXUVWRDGDWH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJ$ULWKPHWLF2SHUDWRUV
ZLWK'DWHV

64/!6(/(&7HQDPH 6<6'$7(KLUHGDWH :((.6


)520HPS
:+(5(GHSWQR 

(1$0(:((.6

.,1*
&/$5.
0,//(5

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

$ULWKPHWLFZLWK'DWHV FRQWLQXHG

7KHH[DPSOHRQWKHVOLGHGLVSOD\VWKH QDPHDQGWKHQXPEHURIZHHNVHPSOR\HGIRUDOOHPSOR\HHVLQ

GHSDUWPHQW,WVXEWUDFWVWKHFXUUHQWGDWH 6<6'$7( IURPWKHGDWHRQZKLFKWKHHPSOR\HHZDV

KLUHGDQGGLYLGHVWKHUHVXOWE\WRFDOFXODWHWKHQXPEHUR IZHHNVWKDWDZRUNHUKDVEHHQHPSOR\HG

1RWH6<6'$7(LVD64/IXQFWLRQWKDWUHWXUQVWKH FXUUHQWGDWHDQGWLPH<RXUUHVXOWVPD\GLIIHU

IURPWKHH[DPSOH

&ODVV0DQDJHPHQW1RWH

,IDQROGHUGDWHLVVXEWUDFWHGIURPDPRUHFXUUHQWGDWHWKHGLIIHUHQFHLVDQHJDWLYHQXPEHU

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
'DWH)XQFWLRQV
)XQFWLRQ 'HVFULSWLRQ

0217+6B%(7:((1 1XPEHURIPRQWKV
EHWZHHQWZRGDWHV

$''B0217+6 $GGFDOHQGDUPRQWKVWR
GDWH

1(;7B'$< 1H[WGD\RIWKHGDWH
VSHFLILHG

/$67B'$< /DVWGD\RIWKHPRQWK

5281' 5RXQGGDWH

7581& 7UXQFDWHGDWH

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

'DWH)XQFWLRQV

'DWHIXQFWLRQVRSHUDWHRQ2UDFOHGDWHV$OOGDWHIXQFWLRQVUHWXUQDYDOXHR I'$7(GDWDW\SHH[FHSW

0217+6B%(7:((1ZKLFKUHWXUQVDQXPHULFYDOXH

‡ 0217+6B%(7:((1 GDWHGDWH : )LQGVWKHQXPEHURIPRQWKVEHWZHHQGDWHDQGGDWH


7KHUHVXOWFDQEHSRVLWLYHRUQHJDWLYH,IGDWHLVODWHUWKDQGDWHWKHUHVXOWLVSRVLWLYHLIGDWH

LVHDUOLHUWKDQGDWHWKHUHVXOWLVQHJDWLYH7KHQRQLQWHJHUSDUWRIWKHUHVXOWUHSUHVHQWVDSRUWLRQ

RIWKHPRQWK

‡ $''B0217+6 GDWHQ : Adds n number of calendar months to date. The value of n must be

an integer and can be negative.


• NEXT_DAY(date,
char
): Finds the date of the next specified day of the week (
char
)
following date. The value of char may be a number representing a day or a character string.
• LAST_DAY(date): Finds the date of the last day of the month that contains date.
• ROUND(date[,
fmt
]): Returns date rounded to the unit specified by the format model fmt. If
the format model fmt is omitted, date is rounded to the nearest day.
• TRUNC(date[,
fmt
]): Returns date with the time portion of the day truncated to the unit
specified by the format model fmt. If the format model fmt is omitted, date is truncated to the
nearest day.
This list is a subset of the available date functions. The format models are covered later in this lesson.
Examples of format models are month and year.

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJ'DWH)XQFWLRQV

‡ 0217+6B%(7:((1
6(3

-$1



‡ $''B0217+6
-$1

-8/

‡ 1(;7B'$<
6(3

)5,'$<


6(3

‡ /$67B'$<
6(3

6(3

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

'DWH)XQFWLRQV FRQWLQXHG

)RUDOOHPSOR\HHVHPSOR\HGIRUIHZHUWKDQPRQWKVGLVSOD\WKHHPSOR\HHQXPEHUKLUHGDWH

QXPEHURIPRQWKVHPSOR\HGVL[PRQWKUHYLHZGDWHILUVW)ULGD\DIWHUKLUH GDWHDQGODVWGD\RIWKH

PRQWKZKHQKLUHG

64/! 6(/(&7 HPSQRKLUHGDWH


 0217+6B%(7:((1 6<6'$7(KLUHGDWH 7(185(
 $''B0217+6 KLUHGDWH 5(9,(:
 1(;7B'$< KLUHGDWH
)5,'$<
/$67B'$< KLUHGDWH
)520 HPS
:+(5( 0217+6B%(7:((1 6<6'$7(KLUHGDWH 

(0312+,5('$7(7(185(5(9,(:1(;7B'$< /$67B'$<

1290$<129129
0$<1290$<0$<

URZVVHOHFWHG

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJ'DWH)XQFWLRQV

‡ 5281'
-8/

0217+
$8*

‡ 5281'
-8/

<($5
 -$1

‡ 7581&
-8/

0217+
 -8/

‡ 7581&
-8/

<($5
-$1

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

'DWH)XQFWLRQV FRQWLQXHG

7KH5281'DQG7581&IXQFWLRQVFDQEHXVHGIRUQXPEHUDQGGDWHYDOXHV: KHQXVHGZLWKGDWHV

WKHVHIXQFWLRQVURXQGRUWUXQFDWHWRWKHVSHFLILHGIRUPDWPRGHO7KHUHIRUH\RXFDQURXQGGDWHVWRWKH

QHDUHVW\HDURUPRQWK

([DPSOH

&RPSDUHWKHKLUHGDWHVIRUDOOHPSOR\HHVZKRVWDUWHGLQ 'LVSOD\WKHHPSOR\HHQXPEHUKLUH

GDWHDQGPRQWKVWDUWHGXVLQJWKH5281'DQG7581&IXQFWLRQV

64/!6(/(&7 HPSQRKLUHGDWH
 5281' KLUHGDWH
0217+
7581& KLUHGDWH
0217+

)520 HPS
:+(5( KLUHGDWHOLNH



(0312+,5('$7(5281' +,57581& +,5



'(&'(&'(&
-$1)(%-$1

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
&RQYHUVLRQ)XQFWLRQV

'DWDW\SH

FRQYHUVLRQ

,PSOLFLWGDWDW\SH ([SOLFLWGDWDW\SH

FRQYHUVLRQ FRQYHUVLRQ

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

&RQYHUVLRQ)XQFWLRQV

,QDGGLWLRQWR2UDFOHGDWDW\SHVFROXP QVRIWDEOHVLQDQ2UDFOHGDWDEDVHFDQEHGHILQHGXVLQJ$16,

'%DQG64/'6GDWDW\SHV+RZHYHUWKH2UDFOH6HUYHULQWHUQDOO\FRQYHUWVVXFKGDWDW\SHVWR

2UDFOHGDWDW\SHV

,QVRPHFDVHV2UDFOH6HUYH UDOORZVGDWDRIRQHGDWDW\SHZKHUHLWH[SHFWVGDWDRIDGLIIHUHQWGDWDW\SH

7KLVLVDOORZHGZKHQ2UDFOH6HUYHUFDQDXWRPDWLFDOO\FRQYHUWWKHGDWDWRWKHH[SHFWHGGDWDW\SH7KLV

GDWDW\SHFRQYHUVLRQFDQEHGRQHLPSOLFLWO\E\2UDFOH6HUYHURUH[SOLFLWO\E\WKHXVHU

,PSOLFLWGDWDW\SHFRQYHUVLRQVZRUNDFFRUGLQJWRWKHUXOHVH[SODLQHGLQQH[WWZRVOLGHV

([SOLFLWGDWDW\SHFRQYHUVLRQVDUHGRQHE\XVLQJWKHFRQYHUVLRQIXQFWLRQV&RQYHUVLRQIXQFWLRQV

FRQYHUWDYDOXHIURPRQHGDWDW\SHWRDQRWKHU*HQHUDOO\WKHIRUPRIWKHIXQFWLRQQDPHVIROORZVWKH

FRQYHQWLRQGDWDW\SH72GDWDW\SH7KHILUVWGDWDW\SHLVWKHLQSXWGDWDW\SHWKHODVWGDWDW\SHLVWKH

RXWSXW

1RWH$OWKRXJKLPSOLFLWGDWDW\SHFRQYHUVLRQLVDYDL ODEOHLWLVUHFRPPHQGHGWKDW\RXGRH [SOLFLW

GDWDW\SHFRQYHUVLRQWRHQVXUHUHOLDELOLW\RI\RXU64/VWDWHPHQWV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
,PSOLFLW'DWDW\SH&RQYHUVLRQ

)RUDVVLJQPHQWVWKH2UDFOHFDQ
DXWRPDWLFDOO\FRQYHUWWKHIROORZLQJ
)URP 7R

9$5&+$5RU&+$5 180%(5

9$5&+$5RU&+$5 '$7(

180%(5 9$5&+$5

'$7( 9$5&+$5

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

,PSOLFLW'DWDW\SH&RQYHUVLRQ

7KHDVVLJQPHQWVXFFHHGVLIWKH2UDFOH6HUYHUFDQFRQYHUWWKHGDWDW\SHRIWKHYDOXHXVHGLQWKH

DVVLJQPHQWWRWKDWRIWKHDVVLJQPHQWWDUJHW

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
,PSOLFLW'DWDW\SH&RQYHUVLRQ

)RUH[SUHVVLRQHYDOXDWLRQWKH2UDFOH6HUYHU
FDQDXWRPDWLFDOO\FRQYHUWWKHIROORZLQJ
)URP 7R

9$5&+$5RU&+$5 180%(5

9$5&+$5RU&+$5 '$7(

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

,PSOLFLW'DWDW\SH&RQYHUVLRQ

,QJHQHUDOWKH2UDFOH6HUYHUXVHVWKHUXOHIRUH[SUHVVLRQZKHQDGDWDW\SHFRQYHUVLRQLVQHHGHGLQ

SODFHVQRWFRYHUHGE\DUXOHIRUDVVLJQPHQWFRQYHUVLRQV

1RWH&+$5WR180%(5FRQYHUVLRQVVXFFHHGRQO\LIWKHFKDUDFWHUVWULQJUHSUHVHQWVDYDOLG

QXPEHU&+$5WR'$7(FRQYHUVLRQVVXFFHHGRQO\LIWKHFKDUDFWHUVWULQJKDVWKHGHIDXOWIRUPDW''

021<<

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
([SOLFLW'DWDW\SH&RQYHUVLRQ

72B180%(5 72B'$7(

180%(5 &+$5$&7(5 '$7(

72B&+$5 72B&+$5

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

([SOLFLW'DWDW\SH&RQYHUVLRQ

64/SURYLGHVWKUHHIXQFWLRQVWRFRQYHUWDYDOXHIURPRQHGDWDW\SHWRDQRWKHU

)XQFWLRQ 3XUSRVH

72B&+$5 QXPEHU_GDWH>
IPW
@ &RQYHUWVDQXPEHURUGDWHYDOXHWRD9$5&+$5

FKDUDFWHUVWULQJZLWKIRUPDWP RGHOIPW

72B180%(5 FKDU>
IPW
@ &RQYHUWVDFKDUDFWHUVWULQJFRQWDLQLQJGLJLWVWRD

QXPEHUZLWKWKHRSWLRQDOIRUPDWPRGHOIPW

72B'$7( FKDU>
IPW
@ &RQYHUWVDFKDUDFWHUVWULQJUHSUHVHQWLQJDGDWHWRD

GDWHYDOXHDFFRUGLQJWRWKHIPWVSHFLILHG ,IIPWLV

RPLWWHGIRUPDWLV''021<<

Note: This list is a subset of the available conversion functions.


For more information, see
Oracle Server SQL Reference, Release 8, “Conversion Functions.”

&ODVV0DQDJHPHQW1RWH

$QDGGLWLRQDOFRQYHUVLRQIXQFWLRQLV&+5 QXPEHU ZKLFKUHWXUQVWKHFKDUDFWHUKDYLQJWKHELQDU\

HTXLYDOHQWRIQXPEHUDVD9$5&+$5YDOXHLQWKHGDWDEDVHFKDUDFWHUVHW

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
72B&+$5)XQFWLRQZLWK'DWHV

72B&+$5 GDWH
IPW

7KHIRUPDWPRGHO
‡ 0XVWEHHQFORVHGLQVLQJOHTXRWDWLRQPDUNV
DQGLVFDVHVHQVLWLYH
‡ &DQLQFOXGHDQ\YDOLGGDWHIRUPDWHOHPHQW
‡ +DVDQIPHOHPHQWWRUHPRYHSDGGHG
EODQNVRUVXSSUHVVOHDGLQJ]HURV
‡ ,VVHSDUDWHGIURPWKHGDWHYDOXHE\D
FRPPD
 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

'LVSOD\LQJD'DWHLQD6SHFLILF)RUPDW

3UHYLRXVO\DOO2UDFOHGDWHYDOXHVZHUHGLVSOD\HGLQWKH''021<<IRUPDW7KH72B&+$5

IXQFWLRQDOORZV\RXWRFRQYHUWDGDWHIURPWKLVGHIDXOWIRUPDWWRRQHVSHFLILHGE\\RX

*XLGHOLQHV

‡ 7KHIRUPDWPRGHOPXVWEHHQFORVHGLQVLQJOHTXRWDWLRQPDUNVDQGLVFDVHVHQVLWLYH

‡ 7KHIRUPDWPRGHOFDQLQFOXGHDQ\YDOLGGDWHIRUPDWHOHPHQW%HVXUHWRVHSDUDWHWKHGDWHYDOXH

IURPWKHIRUPDWPRGHOE\DFRPPD

‡ 7KHQDPHVRIGD\VDQGPRQWKVLQWKHRXWSXWDUHDXWRPDWLFDOO\SDGGHGZLWKEODQNV

‡ 7RUHPRYHSDGGHGEODQNVRUWRVXSSUHVVOHDGLQJ]HURVXVHWKHILOOPRGHIPHOHPHQW

‡ <RXFDQUHVL]HWKHGLVSOD\ZLGWKRIWKHUHVXOWLQJFKDUDFWHUILHOGZLWKWKH64/ 3OXV&2/801

FRPPDQG

‡ 7KHUHVXOWDQWFROXPQZLGWKLVFKDUDFWHUVE\GHIDXOW

64/!6(/(&7HPSQR72B&+$5 KLUHGDWH
00<<
0RQWKB+LUHG
)520HPS
:+(5(HQDPH 
%/$.(


&ODVV0DQDJHPHQW1RWHIRU3DJH

%HVXUHWRSRLQWRXWWKHIRUPDWWRNHQµ'¶DVWKHVWXGHQWVZLOOQHHGLWIRU3UDFWLFHH[HUFLVH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
(OHPHQWVRI'DWH)RUPDW0RGHO

<<<< )XOO\HDULQQXPEHUV

<($5 <HDUVSHOOHGRXW

00 7ZRGLJLWYDOXHIRUPRQWK

0217+ )XOOQDPHRIWKHPRQWK

7KUHHOHWWHUDEEUHYLDWLRQRIWKH
'<
GD\RIWKHZHHN

'$< )XOOQDPHRIWKHGD\

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

6DPSOH(OHPHQWVRI9DOLG'DWH)RUPDWV

(OHPHQW 'HVFULSWLRQ
6&&RU&& &HQWXU\6SUHIL[HV%&GDWHZLWK

<HDUVLQGDWHV<<<<RU6<<<< <HDU6SUHIL[HV%&GDWHZLWK

<<<RU<<RU< /DVWWKUHHWZRRURQHGLJLWVRI\HDU

<<<< <HDUZLWKFRPPDLQWKLVSRVLWLRQ

,<<<,<<,<, )RXUWKUHHWZRRURQHGLJLW\HDUEDVHGRQWKH,62VWDQGDUG

6<($5RU<($5 <HDUVSHOOHGRXW6SUHIL[HV%&GDWHZLWK

%&RU$' %&$'LQGLFDWRU

%&RU$' %&$'LQGLFDWRUZLWKSHULRGV

4 4XDUWHURI\HDU

00 0RQWKWZRGLJLWYDOXH

0217+ 1DPHRIPRQWKSDGGHGZLWKEODQNVWROHQJWKRIQLQHFKDUDFWHUV

021 1DPHRIPRQWKWKUHHOHWWHUDEEUHYLDWLRQ

50 5RPDQQXPHUDOPRQWK

::RU: :HHNRI\HDURUPRQWK

'''RU''RU' 'D\RI\HDUPRQWKRUZHHN

'$< 1DPHRIGD\SDGGHGZLWKEODQNVWROHQJWKRIFKDUDFWHUV

'< 1DPHRIGD\WKUHHOHWWHUDEEUHYLDWLRQ

- -XOLDQGD\WKHQXPEHURIGD\VVLQFH'HFHPEHU%&

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
(OHPHQWVRI'DWH)RUPDW0RGHO

‡ 7LPHHOHPHQWVIRUPDWWKHWLPHSRUWLRQRI
WKHGDWH
++0,66$0 30

‡ $GGFKDUDFWHUVWULQJVE\HQFORVLQJWKHP
LQGRXEOHTXRWDWLRQPDUNV
''RI0217+ RI2&72%(5

‡ 1XPEHUVXIIL[HVVSHOORXWQXPEHUV
GGVSWK IRXUWHHQWK

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

7LPH)RUPDWV

8VHWKHI RUP DWVOLVWHGLQWKHI ROORZLQJWDEOHVWRGLVSOD\ WLPHLQI RUP DWLRQDQGOLWHUDOVDQGWRFKDQJHQXPHUDOVWR


VSHOOHGQXP EHUV

(OHPHQW 'HVFULSWLRQ
AM or PM Meridian indicator
A.M. or P.M. Meridian indicator with periods
HH or HH12 or HH24 Hour of day or hour (1±12) or hour (0±23)
MI Minute (0±59)
SS Second (0±59)
SSSSS Seconds past midnight (0±86399)
2WKHU)RUPDWV

(OHPHQW 'HVFULSWLRQ

 3XQFWXDWLRQLVUHSURGXFHGLQWKHUHVXOW

³RI WKH´ 4XRWHGVWULQJLVUHSURGXFHGLQWKHUHVXOW

6SHFLI\LQJ6XIIL[HVWR,QIOXHQFH1XPEHU'LVSOD\

(OHPHQW 'HVFULSWLRQ
TH Ordinal number (for example, DDTH for 4TH)
SP Spelled-out number (for example, DDSP for FOUR)
SPTH or THSP Spelled-out ordinal numbers (for example, DDSPTH for
FOURTH)
,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJ72B&+$5)XQFWLRQ
ZLWK'DWHV
64/!6(/(&7 HQDPH
 72B&+$5 KLUHGDWH
IP''0RQWK<<<<
+,5('$7(
)520 HPS

(1$0(+,5('$7(

.,1*1RYHPEHU
%/$.(0D\
&/$5.-XQH
-21(6$SULO
0$57,16HSWHPEHU
$//(1)HEUXDU\

URZVVHOHFWHG

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

72B&+$ 5)XQFWLRQZLWK'DWHV

7KH64/VWDWHPHQWRQWKHVOLGHGLVSOD\VWKHQDPHDQGKLUHGDWHVIRUDOOWKHHPSOR\HHV7KHKLUHGDWH

DSSHDUVDV1RYHPEHU

([DPSOH

0RGLI\WKHVOLGHH[DPSOHWRGLVSOD\WKHGDWHVLQDIRUPDWWKDWDSSHDUVDV6H YHQWKRI)HEUXDU\

$0

64/!6(/(&7 HQDPH
 72B&+$5 KLUHGDWH
IP'GVSWKRI0RQWK<<<<IP++0,66$0

 +,5('$7(
)520 HPS

(1$0(+,5('$7(

.,1*6HYHQWHHQWKRI1RYHPEHU$0
%/$.()LUVWRI0D\$0

URZVVHOHFWHG
1RWLFHWKDWWKHPRQWKIROORZVWKHIRUPDWPRGH OVSHFLILHG ,1,7&$3 

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
72B&+$5)XQFWLRQZLWK1XPEHUV
72B&+$5 QXPEHU
IPW

8VHWKHVHIRUPDWVZLWKWKH72B&+$5
IXQFWLRQWRGLVSOD\DQXPEHUYDOXHDVD
FKDUDFWHU
 5HSUHVHQWVDQXPEHU

 )RUFHVD]HURWREHGLVSOD\HG

 3ODFHVDIORDWLQJGROODUVLJQ

/ 8VHVWKHIORDWLQJORFDOFXUUHQF\V\PERO

 3ULQWVDGHFLPDOSRLQW

 3ULQWVDWKRXVDQGLQGLFDWRU

 &RS\ULJKW2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG

72B&+$ 5)XQFWLRQZLWK1XPEHUV

:KHQZRUNLQJZLWKQXPEHUYDOXHVVXFKDVFKDUDFWHUVWULQJV\RXVKRXOGFRQYHUWWKRVHQXPEHUVWRWKH

FKDUDFWHUGDWDW\SHXVLQJWKH72B&+$5IXQFWLRQZKLFKWUDQVODWHVDYDOXHRI180%(5GDWDW\SHWR

9$5&+$5GDWDW\SH7KLVWHFKQLTXHLVHVSH FLDOO\XVHIXOZLWKFRQFDWHQDWLRQ

1XPEHU)RUPDW(OHPHQWV

,I\RXDUHFRQYHUWLQJDQXPEHUWRFKDUDFWHUGDWDW\SH\RXFDQXVHWKHIROORZLQJHOHPHQWV

(OHPHQW 'HVFULSWLRQ ([DPSOH 5HVXOW

 1XP HULFSRVLWLRQ QXPEHURI VGHWHUP LQHGLVSOD\  

ZLGWK

 'LVSOD\ OHDGLQJ]HURV  

 )ORDWLQJGROODUVLJQ  

/ )ORDWLQJORFDOFXUUHQF\ V\ PERO /  ))

 'HFLP DOSRLQWLQSRVLWLRQVSHFLI LHG  

 &RPPDLQSRVLWLRQVSHFLI LHG  

0, 0LQXVVLJQVWRULJKW QHJDWLYHYDOXHV 0, 

35 3DUHQWKHVL]HQHJDWLYHQXP EHUV 35 !

(((( 6FLHQWLI LFQRWDWLRQ I RUPDWPXVWVSHFLI \ I RXU(V (((( (

9 0XOWLSO\ E\ QWLPHV Q QXP EHURI VDI WHU9 9 

% 'LVSOD\ ]HURYDOXHVDVEODQNQRW % 

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJ72B&+$5)XQFWLRQ
ZLWK1XPEHUV

64/!6(/(&7 72B&+$5 VDO



6$/$5<
)520 HPS
:+(5( HQDPH 
6&277


6$/$5<



 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

*XLGHOLQHV

‡ 7KH2UDFOH6HUYHUGLVSOD\VDVWULQJRISRXQGVLJQV  LQSODFHRIDZKROHQXPEHUZKRVHGLJLWV

H[FHHGWKHQXPEHURIGLJLWVSURYLGHGLQWKHIRUPDWPRGHO

‡ 7KH2UDFOH6HUYHUURXQGVWKHVWRUHGGHFLPDOYDOXHWRWKHQXPEHURIGHFLPDOVSDFHVSURYLGHGLQ

WKHIRUPDWPRGHO

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
72B180%(5DQG72B'$7(
)XQFWLRQV
‡ &RQYHUWDFKDUDFWHUVWULQJWRDQXPEHU
IRUPDWXVLQJWKH72B180%(5IXQFWLRQ

72B180%(5 FKDU>
IPW
@

‡ &RQYHUWDFKDUDFWHUVWULQJWRDGDWH
IRUPDWXVLQJWKH72B'$7(IXQFWLRQ

72B'$7( FKDU>
IPW
@

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

72B180%(5DQG72B'$ 7()XQFWLRQV

<RXPD\ZDQWWRFRQYHUWDFKDUDFWHUVWULQJWRHLWKHUDQXPEHURUDGDWH7RDFFRPSOLVKWKLVWDVN\RX

XVHWKH72B180%(5RU72B'$7(IXQFWLRQV7KHIRUPDWPRGHO\RXFKRRVHZLOOEHEDVHGRQWKH

SUHYLRXVO\GHPRQVWUDWHGIRUPDWHOHPHQWV

([DPSOH

'LVSOD\WKHQDPHVDQGKLUHGDWHVRIDOOWKHHPSOR\HHVZKRMRLQHGRQ)H EUXDU\

64/!6(/(&7HQDPHKLUHGDWH
)520HPS
:+(5(KLUHGDWH 72B'$7(
)HEUXDU\

0RQWKGG<<<<


(1$0(+,5('$7(

:$5')(%

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
55'DWH)RUPDW
&XUUHQW<HDU 6SHFLILHG'DWH 55)RUPDW <<)RUPDW

 2&7  

 2&7  

 2&7  

 2&7  

,IWKHVSHFLILHGWZRGLJLW\HDULV

± ±

,IWZRGLJLWV 7KHUHWXUQGDWHLVLQ 7KHUHWXUQGDWHLVLQ

RIWKH ± WKHFHQWXU\EHIRUH


WKHFXUUHQWFHQWXU\
FXUUHQW WKHFXUUHQWRQH

\HDUDUH 7KHUHWXUQGDWHLVLQ 7KHUHWXUQGDWHLVLQ

WKHFHQWXU\DIWHU WKHFXUUHQWFHQWXU\
±
WKHFXUUHQWRQH

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

7KH55'DWH)RUPDW(OHPHQW

7KH55GDWHIRUPDWLVVLPLODUWRWKH<<HOHPHQWEXWLWDOORZV\RXWRVSHFLI\GLIIHUHQWFHQWXULHV<RX

FDQXVHWKH55GDWHIRUPDWHOHPHQWLQVWHDGRI<<VRWKDWWKHFHQWXU\RIWKHUHWXUQYDOXHYDULHV

DFFRUGLQJWRWKHVSHFLILHGWZRGLJLW\HDUDQGWKHODVWWZRGLJLWVR IWKHFXUUHQW\HDU7KHWDEOHRQWKH

VOLGHVXPPDUL]HVWKHEHKDYLRURIWKH55HOHPHQW

&XUUHQW<HDU *LYHQ'DWH ,QWHUSUHWHG 55 ,QWHUSUHWHG <<

 27-OCT-95  

 27-OCT-17  

 27-OCT-17  

&ODVV0DQDJHPHQW1RWH

55LVDYDLODEOHLQ2UDFOHQRW2UDFOH9HUVLRQ1/6SDUDPHWHUVFDQEHDGGHGWRWKH LQLWRUDILOH
WRVHWGHIDXOWGDWHIRUPDWVDQGODQJXDJHQDPHVDQGDEEUHYLDWLRQV)RUPRUHLQIRUPDWLRQVHH 2UDFOH

6HUYHU64/5HIHUHQFH5HOHDVH³$OWHU6HVVLRQ´FODXVH

'HPROKLUHVTO

3XUSRVH7RLOOXVWUDWH GDWHIRUPDWPRGHOHOHPHQWV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
19/)XQFWLRQ

&RQYHUWVQXOOWRDQDFWXDOYDOXH
‡ 'DWDW\SHVWKDWFDQEHXVHGDUHGDWH
FKDUDFWHUDQGQXPEHU
‡ 'DWDW\SHVPXVWPDWFK
± 19/ FRPP
± 19/ KLUHGDWH
-$1

± 19/ MRE
1R-RE<HW

 2UDFOH&RUSR UDWLRQ$OOULJKWVUHVHUYH G


&RS\ ULJ KW

7KH19/)XQFWLRQ

7RFRQYHUWDQXOOYDOXHWRDQDFWXDOYDOXHXVHWKH19/IXQFWLRQ

6\QWD[

19/ H[SUH[SU
ZKHUH H[SU LVWKHVRXUFHYDOXHRUH[SUHVVLRQWKDWPD\FRQWDLQQXOO

H[SU LVWKHWDUJHWYDOXHIRUFRQYHUWLQJQXOO

<RXFDQXVHWKH19/IXQFWLRQWRFRQYHUWDQ\GDWDW\SHEXWWKHUHWXUQYDOXHLVDOZD\VWKHVDPHDV

WKHGDWDW\SHRIH[SU

19/&RQYHUVLRQVIRU9DULRXV'DWDW\SHV

'DWDW\SH &RQYHUVLRQ([DPSOH

180%(5 19/ QXPEHUBFROXPQ

'$7( 19/ GDWHBFROXPQ


-$1

&+$5RU9$5&+$5 19/ FKDUDFWHUBFROXPQ


8QDYDLODEOH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJWKH19/)XQFWLRQ

64/!6(/(&7HQDPHVDOFRPP VDO  19/ FRPP


)520HPS

(1$0(6$/&200 6$/  19/ &200



.,1*
%/$.(
&/$5.
-21(6
0$57,1
$//(1

URZVVHOHFWHG

 2UDFOH&RUSR UDWLRQ$OOULJKWVUHVHUYH G


&RS\ ULJ KW

19/)XQFWLRQ

7RFDOFXODWHWKHDQQXDOFRPSHQVDWLRQRIDOOHPSOR\HHV\RXQHHGWRPXOWLSO\WKHPRQWKO\VDODU\E\

DQGWKHQDGGWKHFRPPLVVLRQWRLW

64/!6(/(&7HQDPHVDOFRPP VDO  FRPP


)520HPS

(1$0(6$/&200 6$/  &200



.,1*
%/$.(
&/$5.
-21(6
0$57,1

URZVVHOHFWHG
1RWLFHWKDWWKHDQQXDOFRPSHQVDWLRQLVFDOFXODWHGRQO\IRUWKRVHHPSOR\HHVZKRHDUQDFRPPLVVLRQ

,IDQ\FROXPQYDOXHLQDQH[SUHVVLRQLVQXOOWKHUHVXOWLVQXOO7RFDOFXODWHYDOXHVIRUDOOHPS OR\HHV

\RXPXVWFRQYHUWWKHQXOOYDOXHWRDQXPEHUEHIRUHDSSO\LQJWKHDULWKPHWLFRSHUDWRU,QWKHH[DPSOH

RQWKHVOLGHWKH19/IXQFWLRQWRLVXVHGWRFRQYHUWQXOOYDOXHVWR]HUR

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
'(&2'()XQFWLRQ

)DFLOLWDWHVFRQGLWLRQDOLQTXLULHVE\GRLQJ
WKHZRUNRID&$6(RU,)7+(1(/6(
VWDWHPHQW
'(&2'( FROH[SUHVVLRQVHDUFKUHVXOW
 >VHDUFKUHVXOW@
 >GHIDXOW@

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

7KH'(&2'()XQFWLRQ

7KH'(&2'(IXQFWLRQGHFRGHVDQH[SUHVVLRQLQDZD\VLPLODUWRWKH,)7+(1(/6(ORJLFXVHGLQ

YDULRXVODQJXDJHV7KH'(&2'(IXQFWLRQGHFRGHVH[SUHVVLRQDIWHUFRPSDULQJLWWRHDFKVHDUFK

YDOXH,IWKHH[SUHVVLRQLVWKHVDPHDVVHDUFKUHVXOWLVUHWXUQHG

,IWKHGHIDXOWYDOXHLVRPLWWHGDQXOOYDOXHLVUHWXUQHGZKHUHDVHDUFKYDOXHGRHVQRWPDWFKDQ\R IWKH

UHVXOWYDOXHV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJWKH'(&2'()XQFWLRQ

64/!6(/(&7MREVDO
'(&2'( MRE
$1$/<67
6$/ 

&/(5.
6$/ 

0$1$*(5
6$/ 
6$/
5(9,6('B6$/$5<
)520HPS

-2%6$/5(9,6('B6$/$5<

35(6,'(17
0$1$*(5
0$1$*(5

URZVVHOHFWHG

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

8VLQJWKH'(&2'()XQFWLRQ

,QWKH64/VWDWHPHQWDERYHWKHYDOXHRI-2%LVGHFRGHG,I-2%LV$1$/<67WKHVDODU\LQFUHDVHLV

LI-2%LV&/(5.WKHVDODU\LQFUHDVHLVLI-2%LV0$1$*(5WKHVDODU\LQFUHDVHLV

)RUDOORWKHUMREUROHVWKHUHLVQRLQFUHDVHLQVDODU\

7KHVDPHVWDWHPHQWFDQEHZULWWHQDVDQ,)7+(1(/6(VWDWHPHQW

,)MRE 
$1$/<67
7+(1VDO VDO 
,)MRE 
&/(5.
7+(1VDO VDO 
,)MRE 
0$1$*(5
7+(1VDO VDO 
(/6(VDO VDO

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJWKH'(&2'()XQFWLRQ
'LVSOD\WKHDSSOLFDEOHWD[UDWHIRUHDFK
HPSOR\HHLQGHSDUWPHQW
64/!6(/(&7HQDPHVDO
'(&2'( 7581& VDO 

 





 7$;B5$7(
)520HPS
:+(5(GHSWQR 

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

([DPSOH

7KHVOLGHVKRZVDQRWKHUH[DPSOHXVLQJWKH'(&2'(IXQFWLRQ,QWKLVH[DPSOHZHGHWHUP LQHWKHWD[

UDWHIRUHDFKHPSOR\HHLQGHSDUWPHQWEDVHGXSRQWKHPRQWKO\VDODU\7KHRXWSXWLVEHORZ

0RQWKO\6DODU\5DQJH 5DWH

 

 

 

 

 

 

 

RUJUHDWHU 

(1$0(6$/7$;B5$7(

%/$.(
0$57,1
$//(1
7851(5

URZVVHOHFWHG
,QWURGXFWLRQWR2UDFOH64/DQG3/64/
1HVWLQJ)XQFWLRQV

‡ 6LQJOHURZIXQFWLRQVFDQEHQHVWHGWR
DQ\OHYHO
‡ 1HVWHGIXQFWLRQVDUHHYDOXDWHGIURP
GHHSHVWOHYHOWRWKHOHDVWGHHSOHYHO
) ) ) FRODUJ DUJ DUJ
Step 1 = Result 1
Step 2 = Result 2
Step 3 = Result 3

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

1HVWLQJ)XQFWLRQV

6LQJOHURZIXQFWLRQVFDQEHQHVWHGWRDQ\GHSWK1HVWHG IXQFWLRQVDUHHYDOXDWHGIURPWKHLQQHUPRVW

OHYHOWRWKHRXWHUPRVWOH YHO6RPHH[DPSOHVIROORZWRVKRZ\RXWKHIOH [LELOLW\RIWKHVHIXQFWLRQV

&ODVV0DQDJHPHQW1RWH IRU3DJH

'HPROQHVWVTO

3XUSRVH7RLOOXVWUDWHQHVWLQJRIVHYHUDOVLQJOHURZIXQFWLRQV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
1HVWLQJ)XQFWLRQV

64/!6(/(&7 HQDPH
 19/ 72B&+$5 PJU 
1R0DQDJHU

)520 HPS
:+(5( PJU,618//

(1$0(19/ 72B&+$5 0*5 


120$1$*(5


.,1*1R0DQDJHU

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

1HVWLQJ)XQFWLRQV FRQWLQXHG

7KHVOLGHH[DPSOHGLVSOD\VWKH head of the company, who has no manager. The evaluation of the

SQL statement involves two steps:


(YDOXDWHWKHLQQHUIXQFWLRQWRFRQYHUWDQXPEHUYDOXHWRDFK DUDFWHUVWULQJ

± 5HVXOW 72B&+$5 PJU

(YDOXDWHWKHRXWHUIXQFWLRQWRUHSODFHWKHQXOOYDOXHZLWKDWH[WVWULQJ

± 19/ 5HVXOW
1R0DQDJHU

7KHHQWLUHH[SUHVVLRQEHFRPHVWKHFROXPQKHDGLQJEHFDXVHQRFROXPQDOLDVZDVJLYHQ

([DPSOH

'LVSOD\WKHGDWHRIWKHQH[W)ULGD\WKDWLVVL[PRQWKVIURPWKHKLUHGDWH7KHUHVXOWDQWGDWHVKRXOG

DSSHDUDV)ULGD\0DUFKWK2UGHUWKHUHVXOWVE\KLUHGDWH

64/!6(/(&772B&+$5 1(;7B'$< $''B0217+6


 KLUHGDWH 
)5,'$<


IP'D\0RQWKGGWK<<<<

1H[W0RQWK5HYLHZ
)520HPS
25'(5%<KLUHGDWH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
6XPPDU\

8VHIXQFWLRQVWRGRWKHIROORZLQJ
‡ 3HUIRUPFDOFXODWLRQVRQGDWD
‡ 0RGLI\LQGLYLGXDOGDWDLWHPV
‡ 0DQLSXODWHRXWSXWIRUJURXSVRIURZV
‡ $OWHUGDWHIRUPDWVIRUGLVSOD\
‡ &RQYHUWFROXPQGDWDW\SHV

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

6LQJOH5RZ)XQFWLRQV

6LQJOHURZIXQFWLRQVFDQEHQHVWHGWRDQ\OHYHO6LQJOHURZIXQFWLRQVFDQPDQL SXODWHWKHIROORZLQJ

‡ &KDUDFWHUGDWD/2:(5833(5,1,7&$3&21&$768%675,1675/(1*7+

‡ 1XPEHUGDWD5281'7581&02'

‡ 'DWHGDWD0217+6B%(7:((1$''B0217+61(;7B'$</$67B'$<5281'

7581&

‡ 'DWHYDOXHVFDQDOVRXVHDULWKPHWLFRSHUDWRUV

‡ &RQYHUVLRQIXQFWLRQVFDQFRQYHUWFKDUDFWHUGDWHDQGQXPHULFYDOXHV72B&+$572B'$7(

72B180%(5

6<6'$7(DQG'8$/

6<6'$7(LVDGDWHIXQFWLRQWKDWUHWXUQVWKHFXUUHQWGDWHDQGWLPH,WLVFXVWRPDU\WRVHOHFW

6<6'$7(IURPDGXPP\WDEOHFDOOHG'8$/

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH2YHUYLHZ

‡ &UHDWLQJTXHULHVWKDWUHTXLUHWKHXVHRI
QXPHULFFKDUDFWHUDQGGDWHIXQFWLRQV
‡ 8VLQJFRQFDWHQDWLRQZLWKIXQFWLRQV
‡ :ULWLQJFDVHLQVHQVLWLYHTXHULHVWRWHVW
WKHXVHIXOQHVVRIFKDUDFWHUIXQFWLRQV
‡ 3HUIRUPLQJFDOFXODWLRQVRI\HDUVDQG
PRQWKVRIVHUYLFHIRUDQHPSOR\HH
‡ 'HWHUPLQLQJWKHUHYLHZGDWHIRUDQ
HPSOR\HH
 2UDFOH&RUSR UDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

3UDFWLFH2YHUYLHZ

7KLVSUDFWLFHLVGHVLJQHGWRJLYH\RXDYDULHW\RIH[HUFLVHVXVLQJGLIIHUHQWIXQFWLRQVDYDLODEOHIRU

FKDUDFWHUQXPEHUDQGGDWHGDWDW\SHV

5HPHPEHUWKDWIRUQHVWHGIXQFWLRQVWKHUHVXOWVDUHHYDOXDWHGIURPWKHLQQHUPRVWIXQFWLRQWRWKH

RXWHUPRVWIXQFWLRQ

&ODVV0DQDJHPHQW1RWH

3UDFWLFHH[HUFLVH%HVXUHWRWHOOWKHVWXGHQWVWKDWWKHLUUHVXOWVPD\GLIIHUIURPWKHRQHSURYLGHG

DV6<6'$7(LVXVHGLQWKHH[HUFLVH

,QVWUXFWRUKLQWIRUSUDFWLFHH[HUFLVH7KH25'(5%<FODXVHLQWKHVROXWLRQVRUWVRQ

72B&+$5 KLUHGDWHµG¶ 7KHIRUPDWHOHPHQWµG¶UHWXUQVDµ¶IRU6XQGD\µ¶IRU0RQGD\DQGVR

IRUWK7KHH[SUHVVLRQµKLUH GDWH¶HIIHFWLYHO\³VKLIWV´HDFKKLUHGDWHWRWKHSUHYLRXVGD\VRWKDWDQ

HPSOR\HHKLUHGRQD0RQGD\DSSHDUVWRKDYHEHHQKLUHGRQ6XQGD\7KH72B&+$5IXQFWLRQZLOO

UHWXUQDµ¶IRUWKDWHPSOR\HHDQGWKHUH VXOWVHWZLOOEHVRUWHGEHJLQQLQJZLWKWKRVHHPSOR\HHVKLUHG

RQ0RQGD\

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH

 :ULWHDTXHU\WRGLVSOD\WKHFXUUHQWGDWH/DEHOWKHFROXPQ'DWH

'DWH

2&7
 'LVSOD\WKHHPSOR\HHQXPEHUQDPHVDODU\DQGVDODU\LQFUHDVHE\ H[SUHVVHGDVD

ZKROHQXPEHU/DEHOWKHFROXPQ1HZ6DODU\6DYH\RXU64/VWDWHPHQWWRDILOHQDPHG

STVTO

 5XQ\RXUTXHU\LQWKHILOHSTVTO

(0312(1$0(6$/1HZ6DODU\

.,1*
%/$.(
&/$5.
-21(6
0$57,1
$//(1
7851(5
-$0(6
:$5'
)25'
60,7+
6&277
$'$06
0,//(5
URZVVHOHFWHG

 0RGLI\\RXUTXHU\STVTOWRDGGDFROXPQWKDWZLOOVXEWUDFWWKHROGVDODU\IURP

WKHQHZVDODU\/DEHOWKHFROXPQ,QFUHDVH5HUXQ\RXUTXHU\

(0312(1$0(6$/1HZ6DODU\,QFUHDVH

.,1*
%/$.(
&/$5.
-21(6
0$57,1
$//(1
7851(5
-$0(6

URZVVHOHFWHG

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH FRQWLQXHG

 'LVSOD\WKHHPSOR\HH¶VQDPHKLUHGDWHDQGVDODU\UHYLHZGDWHZKLFKLVWKHILUVW0RQGD\

DIWHUVL[PRQWKVRIVHUYLFH/DEHOWKHFROXPQ5(9,(:)RUPDWWKHGDWHVWRDSSHDULQWKH

IRUPDWVLPLODUWR³6XQGD\WKH6HYHQWKRI6HSWHPEHU´

(1$0(+,5('$7(5(9,(:

.,1*1290RQGD\WKH7ZHQW\)RXUWKRI0D\
%/$.(0$<0RQGD\WKH6HFRQGRI1RYHPEHU
&/$5.-810RQGD\WKH)RXUWHHQWKRI'HFHPEHU
-21(6$350RQGD\WKH)LIWKRI2FWREHU
0$57,16(30RQGD\WKH7ZHQW\1LQWKRI0DUFK
$//(1)(%0RQGD\WKH7ZHQW\)RXUWKRI$XJXVW
7851(56(30RQGD\WKH)LIWHHQWKRI0DUFK
-$0(6'(&0RQGD\WKH6HYHQWKRI-XQH
:$5')(%0RQGD\WKH7ZHQW\)RXUWKRI$XJXVW
)25''(&0RQGD\WKH6HYHQWKRI-XQH
60,7+'(&0RQGD\WKH7ZHQW\6HFRQGRI-XQH
6&277'(&0RQGD\WKH7KLUWHHQWKRI-XQH
$'$06-$10RQGD\WKH(LJKWHHQWKRI-XO\
0,//(5-$10RQGD\WKH7ZHQW\6L[WKRI-XO\
URZVVHOHFWHG

 )RUHDFKHPSOR\HHGLVSOD\WKHHPSOR\HHQDPHDQGFDOFXODWHWKHQXPEHURIPRQWKVEHWZHHQ

WRGD\DQGWKHGDWHWKHHPSOR\HHZDVKLUHG/DEH OWKHFROXPQ0217+6B:25.('2UGHU

\RXUUHVXOWVE\WKHQXPEHURIPRQWKVHPSOR\HG5RXQGWKHQXPEHURIPRQWKVXSWRWKH

FORVHVWZKROHQXPEHU

(1$0( 0217+6B:25.('
 
$'$06 
6&277 
0,//(5 
-$0(6 
)25' 
.,1* 
0$57,1 
7851(5 
&/$5. 
%/$.( 
-21(6 
:$5' 
$//(1 
60,7+ 
URZVVHOHFWHG

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH FRQWLQXHG

 :ULWHDTXHU\WKDWSURGXFHVWKHIROORZLQJIRUHDFKHPSOR\HH

HPSOR\HHQDPH!HDUQVVDODU\!PRQWKO\EXWZDQWVWLPHVVDODU\!/DEHOWKHFROXPQ

'UHDP6DODULHV

'UHDP6DODULHV

.,1*HDUQVPRQWKO\EXWZDQWV
%/$.(HDUQVPRQWKO\EXWZDQWV
&/$5.HDUQVPRQWKO\EXWZDQWV
-21(6HDUQVPRQWKO\EXWZDQWV
0$57,1HDUQVPRQWKO\EXWZDQWV
$//(1HDUQVPRQWKO\EXWZDQWV
7851(5HDUQVPRQWKO\EXWZDQWV
-$0(6HDUQVPRQWKO\EXWZDQWV
:$5'HDUQVPRQWKO\EXWZDQWV
)25'HDUQVPRQWKO\EXWZDQWV
60,7+HDUQVPRQWKO\EXWZDQWV
6&277HDUQVPRQWKO\EXWZDQWV
$'$06HDUQVPRQWKO\EXWZDQWV
0,//(5HDUQVPRQWKO\EXWZDQWV
URZVVHOHFWHG
,I\RXKDYHWLPHFRPSOHWHWKHIROORZLQJH[HUFLVHV

 &UHDWHDTXHU\WRGLVSOD\QDPHDQGVDODU\IRUDOOHPSOR\HHV)RUPDWWKHVDODU\WREH

FKDUDFWHUVORQJOHIWSDGGHGZLWK/DEHOWKHFROXPQ6$/$5<

(1$0(6$/$5<

60,7+
$//(1
:$5'
-21(6
0$57,1
%/$.(
&/$5.
6&277
.,1*
7851(5
$'$06
-$0(6
)25'
0,//(5
URZVVHOHFWHG

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH FRQWLQXHG

 :ULWHDTXHU\WKDWZLOOGLVSOD\WKHHPSOR\HH¶VQDPHZLWKWKHI LUVWOHWWHUFDSLWDOL]HGDQGDOO

RWKHUOHWWHUVORZHUFDVHDQGWKHOHQJWKRIWKHLUQDPHIRUDOOHPSOR\HHVZKRVHQDPHVWDUWVZLWK

-$RU0*LYHHDFKFROXPQDQDSSURSULDWHODEHO

1DPH/HQJWK

-RQHV
0DUWLQ
$OOHQ
-DPHV
$GDPV
0LOOHU
URZVVHOHFWHG
 'LVSOD\WKHQDPHKLUHGDWHDQGGD\RIWKHZHHNRQZKLFKWKHHPSOR\HHVWDUWHG/DEHO

WKHFROXPQ'$<2UGHUWKHUHVXOWVE\WKHGD\RIWKHZHHNVWDUWLQJZLWK0RQGD\

(1$0(+,5('$7( '$<
  
0$57,1 6(3 021'$<
&/$5. -81 78(6'$<
.,1* 129 78(6'$<
7851(5 6(3 78(6'$<
60,7+ '(& :('1(6'$<
$'$06 -$1 :('1(6'$<
-21(6 $35 7+856'$<
)25' '(& 7+856'$<
6&277 '(& 7+856'$<
-$0(6 '(& 7+856'$<
$//(1 )(% )5,'$<
%/$.( 0$< )5,'$<
0,//(5 -$1 6$785'$<
:$5' )(% 681'$<
URZVVHOHFWHG

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH FRQWLQXHG

,I\RXZDQWH[WUDFKDOOHQJHFRPSOHWHWKHIROORZLQJH[HUFLVHV

 &UHDWHDTXHU\WKDWZLOOGLVSOD\WKHHPSOR\HHQDPHDQGFRPPLVVLRQDPRXQW,IWKHHPSOR\HH

GRHVQRWHDUQFRPPLVVLRQSXW³1R&RPPLVVLRQ´/DEHOWKHFROXPQ&200

(1$0(&200

60,7+1R&RPPLVVLRQ
$//(1
:$5'
-21(61R&RPPLVVLRQ
0$57,1
%/$.(1R&RPPLVVLRQ
&/$5.1R&RPPLVVLRQ
6&2771R&RPPLVVLRQ
.,1*1R&RPPLVVLRQ
7851(5
$'$061R&RPPLVVLRQ
-$0(61R&RPPLVVLRQ
)25'1R&RPPLVVLRQ
0,//(51R&RPPLVVLRQ
URZVVHOHFWHG

 &UHDWHDTXHU\WKDWGLVSOD\VWKHHPSOR\HHV¶QDPHVDQGLQGLFDWHVWKHDPRXQWVRIW KHLUVDODULHV

WKURXJKDVWHULVNV(DFKDVWHULVNVLJQLILHVDKXQGUHGGROODUV6RUWWKH GDWDLQGHVFHQGLQJRUGHU

RIVDODU\/DEHOWKHFROXPQ(03/2<((B$1'B7+(,5B6$/$5,(6

(03/2<((B$1'B7+(,5B6$/$5,(6

.,1*
)25'
6&277
-21(6
%/$.(
&/$5.
$//(1
7851(5
0,//(5
0$57,1
:$5'
$'$06
-$0(6
60,7+
URZVVHOHFWHG

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
,QWURGXFWLRQWR2UDFOH64/DQG3/64/

'LVSOD\LQJ'DWD
IURP0XOWLSOH7DEOHV

2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

6FKHGXOH 7LPLQJ 7RSLF

PLQXWHV /HFWXUH

PLQXWHV 3UDFWLFH

PLQXWHV 7RWDO
2EMHFWLYHV

$IWHUFRPSOHWLQJWKLVOHVVRQ\RXVKRXOG
EHDEOHWRGRWKHIROORZLQJ
‡ :ULWH6(/(&7VWDWHPHQWVWRDFFHVV
GDWDIURPPRUHWKDQRQHWDEOHXVLQJ
HTXDOLW\DQGQRQHTXDOLW\MRLQV
‡ 9LHZGDWDWKDWJHQHUDOO\GRHVQRWPHHWD
MRLQFRQGLWLRQE\XVLQJRXWHUMRLQV
‡ -RLQDWDEOHWRLWVHOI

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

/HVVRQ$LP

7KLVOHVVRQFRYHUVKRZWRREWDLQGDWDIURPPRUHWKDQRQHWDEOHXVLQJWKHGLIIHUHQWPHWKRGV

DYDLODEOH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
2EWDLQLQJ'DWDIURP0XOWLSOH7DEOHV
(03 '(37

(0312 (1$0(  '(3712 '(3712'1$0( /2&


     
 .,1*    $&&2817,1* 1(:<25.
 %/$.(    5(6($5&+ '$//$6
  6$/(6 &+,&$*2
 0,//(5    23(5$7,216 %26721

(0312 '(3712/2&

 1(:<25.
  &+,&$*2
 1(:<25.
 '$//$6
  &+,&$*2
 &+,&$*2

URZVVHOHFWHG
 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

'DWDIURP0XOWLSOH7DEOHV

6RPHWLPHV\RXQHHGWRXVHGDWDIURPPRUHWKDQRQHWDEOH,QWKHVOLGHH[DPSOHWKHUHSRUWG LVSOD\V

GDWDIURPWZRVHSDUDWHWDEOHV

‡ (0312H[LVWVLQWKH(03WDEOH

‡ '(3712H[LVWVLQERWKWKH(03DQG'(37WKHWDEOHV

‡ /2&H[LVWVLQWKH'(37WDEOH

7RSURGXFHWKHUHSRUW\RXQHHGWROLQN(03DQG'(37WDEOHVDQGDFFHVVGDWDIURPERWKRIWKHP

&ODVV0DQDJHPHQW1RWH

,QWKHVOLGHWKH'(3712FROXPQFDQFRPHIURPHLWKHUWKH(03RUWKH'(37WDEOH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
:KDW,VD-RLQ"
8VHDMRLQWRTXHU\GDWDIURPPRUHWKDQ
RQHWDEOH
6(/(&7 WDEOHFROXPQWDEOHFROXPQ
)520 WDEOHWDEOH
:+(5( WDEOHFROXPQ WDEOHFROXPQ

‡ :ULWHWKHMRLQFRQGLWLRQLQWKH:+(5(
FODXVH
‡ 3UHIL[WKHFROXPQQDPHZLWKWKHWDEOH
QDPHZKHQWKHVDPHFROXPQQDPH
DSSHDUVLQPRUHWKDQRQHWDEOH
 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

'HILQLQJ-RLQV

When data from more than one table in the database is required, a join condition is used. Rows in
one table can be joined to rows in another table according to common values existing in
corresponding columns, that is, usually primary and foreign key columns.
To display data from two or more related tables, write a simple join condition in the WHERE clause.
In the syntax:
table1.column denotes the table and column from which data is retrieved
table1.column1 = is the condition that joins (or relates) the tables together
table2.column2
*XLGHOLQHV

‡ :KHQZULWLQJD6(/(&7VWDWHPHQWWKDWMRLQVWDEOHVSUHFHGHWKHFROXPQQDPHZLWKWKHWDEOH

QDPHIRUFODULW\DQGWRHQKDQFHGDWDEDVHDFFHVV

‡ ,IWKHVDPHFROXPQQDPHDSSHDUVLQPRUHWKDQRQHWDEOHWKHFROXPQQDPHPXVWEHSUHIL[HG

ZLWKWKHWDEOHQDPH

‡ 7RMRLQQWDEOHVWRJHWKHU\RXQHHGDPLQLPXPRI Q MRLQFRQGLWLRQV7KHUHIRUHWRMRLQIRXU

WDEOHVDPLQLPXPRIWKUHHMRLQVDUHUHTXLUHG7KLVUXOHPD\QRWDSSO\LI\RXUWDEOHKDVD

FRQFDWHQDWHGSULPDU\NH\LQZKLFKFDVHPRUHWKDQRQHFROXPQLVUHTXLUHGWRXQLTXHO\LGHQWLI\

HDFKURZ

For more information, see


Oracle Server SQL Reference Manual, Release 8, “SELECT.”
,QWURGXFWLRQWR2UDFOH64/DQG3/64/
&DUWHVLDQ3URGXFW

‡ $&DUWHVLDQSURGXFWLVIRUPHGZKHQ
± $MRLQFRQGLWLRQLVRPLWWHG
± $MRLQFRQGLWLRQLVLQYDOLG
± $OOURZVLQWKHILUVWWDEOHDUHMRLQHGWR
DOOURZVLQWKHVHFRQGWDEOH
‡ 7RDYRLGD&DUWHVLDQSURGXFWDOZD\V
LQFOXGHDYDOLGMRLQFRQGLWLRQLQD
:+(5(FODXVH

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

&DUWHVLDQ3URGXFW

:KHQDMRLQFRQGLWLRQLVLQYDOLGRURPLWWHGFRPSOHWHO\WKHUHVXOWLVD&DUWHVLDQSURGXFWLQZKLFKDOO

FRPELQDWLRQVRIURZVZLOOEHGLVSOD\HG$OOURZVLQWKHILUVWWDEOHDUHMRLQHGWRDOOURZVLQWKHVHFRQG

WDEOH

$&DUWHVLDQSURGXFWWHQGVWRJHQHUDWHDODUJHQXPEHURIURZVDQGL WVUHVXOWLVUDUHO\XVHIXO<RX

VKRXOGDOZD\VLQFOXGHDYDOLGMRLQFRQGLWLRQLQD:+(5(FODXVHXQOHVV\RXKDYHDVSHFLILFQHHGWR

FRPELQHDOOURZVIURPDOOWDEOHV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
*HQHUDWLQJD&DUWHVLDQ3URGXFW
(03 URZV  '(37 URZV 

(0312 (1$0(  '(3712 '(3712'1$0( /2&


     
 .,1*    $&&2817,1* 1(:<25.
 %/$.(    5(6($5&+ '$//$6
  6$/(6 &+,&$*2
 0,//(5    23(5$7,216 %26721

(1$0('1$0(
 
.,1* $&&2817,1*
³&DUWHVLDQ %/$.(  $&&2817,1*
SURGXFW 
  URZV´
.,1* 5(6($5&+
%/$.(  5(6($5&+

URZVVHOHFWHG
 2UDFOH&R USRUDWLRQ$OOULJKWVUHVHUY HG
&RS\ULJKW

&DUWHVLDQ3URGXFW FRQWLQXHG

$&DUWHVLDQSURGXFWLVJHQHUDWHGLIDMRLQFRQGLWLRQLVRPLWWHG7KHH[DPSOHRQWKHVOLGHGLVSOD\V

HPSOR\HHQDPHDQGGHSDUWPHQWQDPHIURP(03DQG'(37WDEOHV%HFDXVHQR:+(5(FODXVHKDV

EHHQVSHFLILHGDOOURZV URZV IURPWKH(03WDEOHDUHMRLQHGZLWKDOOURZV URZV LQWKH'(37

WDEOHWKHUHE\JHQHUDWLQJURZVLQWKHRXWSXW

64/!6(/(&7HQDPHGQDPH
)520 HPSGHSW

(1$0('1$0(

.,1*$&&2817,1*
%/$.($&&2817,1*

.,1*5(6($5&+
%/$.(5(6($5&+

URZVVHOHFWHG
&ODVV0DQDJHPHQW1RWH

'HPROFDUWVTO

3XUSRVH7RLOOXVWUDWHH[HFXWLQJD&DUWHVLDQSURGXFW

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
7\SHVRI-RLQV

(TXLMRLQ 1RQHTXLMRLQ 2XWHUMRLQ 6HOIMRLQ

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

7\SHVRI-RLQV

7KHUHDUHWZRPDLQW\SHVRIMRLQFRQGLWLRQV

‡ (TXLMRLQV

‡ 1RQHTXLMRLQV

$GGLWLRQDOMRLQPHWKRGVLQFOXGHWKHIROORZLQJ

‡ 2XWHUMRLQV

‡ 6HOIMRLQV

‡ 6HWRSHUDWRUV

1RWH6HWRSHUDWRUVDUHQRWFRYHUHGLQWKLVFRXUVH7KH\DUHFRYHUHGLQDQRWKHU64/FRXUVH

&ODVV0DQDJHPHQW1RWH

'RQRWJHWLQWRGHWDLOVRIDOOWKHW\SHVRIMRLQV([SODLQHDFKMRLQRQHE\RQHDVLVGRQHLQWKH

IROORZLQJVOLGHV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
:KDW,VDQ(TXLMRLQ"
(03 '(37

(0312(1$0('(3712 '(3712'1$0(/2&
 
.,1* $&&2817,1*1(:<25.
%/$.( 6$/(6  &+,&$*2
&/$5. $&&2817,1* 1(:<25.
-21(6 5(6($5&+ '$//$6
0$57,1 6$/(6  &+,&$*2
$//(1 6$/(6  &+,&$*2
7851(5 6$/(6  &+,&$*2
-$0(6 6$/(6  &+,&$*2
:$5' 6$/(6  &+,&$*2
)25' 5(6($5&+ '$//$6
60,7+ 5(6($5&+ '$//$6
 
URZVVHOHFWHG URZVVHOHFWHG

)RUHLJQNH\ 3ULPDU\NH\

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

(TXLMRLQV

7RGHWHUPLQHWKHQDPHRIDQHPSOR\HH¶VGHSDUWPHQW\RXFRPSDUH WKHYDOXHLQWKH'(3712FROXPQ

LQWKH(03WDEOHZLWKWKH'(3712YDOXHVLQWKH'(37WDEOH7KHUHODWLRQVKLSEHWZHHQWKH(03DQG

'(37WDEOHVLVDQHTXLMRLQ²WKDWLVYDOXHVLQWKH'(3712FROXPQRQERWKWDEOHVPXVWEHHTXDO

)UHTXHQWO\WKLVW\SHRIMRLQLQYROYHVSULPDU\DQGIRUHLJQNH\FRPSOHPHQWV

1RWH(TXLMRLQVDUHDOVRFDOOHGVLPSOHMRLQVRULQQHUMRLQV

&ODVV0DQDJHPHQW1RWH

([SODLQWKHXVHRIGHFLVLRQPDWUL[IRUVLPSOLI\LQJZULWLQJMRLQV)RUH[DPSOHLI\RXZDQWWRGLVSOD\

WKHQDPHDQGGHSDUWPHQWQXPEHURIDOOWKHHPSOR\HHVZKRDUHLQWKHVDPHGHSDUWPHQWDV6PLWK\RX

FDQVWDUWE\PDNLQJWKHIROORZLQJGHFLVLRQWUHH

&ROXPQVWR'LVSOD\ 2ULJLQDWLQJ7DEOH &RQGLWLRQ

HQDPH HPS HQDPH


60,7+

HPSGHSWQR

GQDPH GHSW GHSWGHSWQR

1RZWKH64/VWDWHPHQWFDQEHHDVLO\IRUPXODWHGE\ORRNLQJDWWKHGHFLVLRQPDWUL[7KHILUVWFROXPQ

JLYHVWKHFROXPQOLVWLQWKH6(/(&7VWDWHPHQWWKHVHFRQGFROXPQJLYHVWKHWDEOHVIRUWKH)520

FODXVHDQGWKHWKLUGFROXPQJLYHVWKHFRQGLWLRQIRUWKH :+(5(FODXVH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
5HWULHYLQJ5HFRUGV
ZLWK(TXLMRLQV
64/!6(/(&7 HPSHPSQRHPSHQDPHHPSGHSWQR
 GHSWGHSWQRGHSWORF

)520 HPSGHSW
:+(5( HPSGHSWQR GHSWGHSWQR

(0312(1$0( '(3712'(3712/2&

.,1* 1(:<25.
%/$.( &+,&$*2
&/$5. 1(:<25.
-21(6 '$//$6

URZVVHOHFWHG

 2UDFOH&R USRUDWLRQ$OOULJKWVUHVHUY HG


&RS\ULJKW

5HWULHYLQJ5HFRUGVZLWK(TXLMRLQV

,QWKHVOLGHH[DPSOH

‡ 7KH6(/(&7FODXVHVSHFLILHVWKHFROXPQQDPHVWRUHWULHYH

± HPSOR\HHQDPHHPSOR\HHQXPEHUDQGGHSDUWPHQWQXPEHUZKLFKDUH

FROXPQVLQWKH(03WDEOH

± GHSDUWPHQWQXPEHUGHSDUWPHQWQDPHDQGORFDWLRQZKLFKDUHFROXPQVLQ

WKH'(37WDEOH

‡ 7KH)520FODXVHVSHFLILHVWKHWZRWDEOHVWKDWWKHGDWDEDVHPXVWDFFHVV

± (03WDEOH

± '(37WDEOH

‡ 7KH:+(5(FODXVHVSHFLILHVKRZWKHWDEOHVDUHWREHMRLQHG

(03'(3712 '(37'(3712

%HFDXVHWKH'(3712FROXPQLVFRP PRQWRERWKWDEOHVLWPXVWEHSUHIL[HGE\WKHWDEOH

QDPHWRDYRLGDPELJXLW\

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
4XDOLI\LQJ$PELJXRXV
&ROXPQ1DPHV
‡ 8VHWDEOHSUHIL[HVWRTXDOLI\FROXPQ
QDPHVWKDWDUHLQPXOWLSOHWDEOHV
‡ ,PSURYHSHUIRUPDQFHE\XVLQJWDEOH
SUHIL[HV
‡ 'LVWLQJXLVKFROXPQVWKDWKDYHLGHQWLFDO
QDPHVEXWUHVLGHLQGLIIHUHQWWDEOHVE\
XVLQJFROXPQDOLDVHV

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

4XDOLI\LQJ$PELJXRXV&ROXPQ1DPHV

<RXQHHGWRTXDOLI\WKHQDPHVRIWKHFROXPQVLQWKH:+(5(FODXVHZLWKWKHWDEOHQDPHWRDYRLG

DPELJXLW\:LWKRXWWKHWDEOHSUHIL[HVWKH'(3712FROXPQFRXOGEHIURPHLWKHUWKH'( 37WDEOHRU

WKH(03WDEOH,WLVQHFHVVDU\WRDGGWKHWDEOHSUHIL[WRH[HFXWH\RXUTXHU\

,IWKHUHDUHQRFRPPRQFROXPQQDPHVEHWZHHQWKHWZRWDEOHVWKHUHLVQRQHHGWRTXDOLI\WKH

FROXPQV+RZHYHU\RXZLOOJDLQLPSURYHGSHUIRUPDQFHE\XVLQJWKHWDEOHSUHIL[EHFDXVH\RXWHOO

WKH2UDFOH6HUYHUH[DFWO\ZKHUHWRJRWRILQGFROXPQV

7KHUHTXLUHPHQWWRTXDOLI\DPELJXRXVFROXPQQDPHVLVDOVRDSSOLFDEOHWRFROXPQVWKDWPD\EH

DPELJXRXVLQRWKHUFODXVHVVXFKDVWKH6(/(&7FODXVHRUWKH25'(5%<FODXVH

&ODVV0DQDJHPHQW1RWH

'HPROORFVTO

3XUSRVH7RLOOXVWUDWHD6(/(&7FODXVHZLWKQRDOLDVHV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
$GGLWLRQDO6HDUFK&RQGLWLRQV
8VLQJWKH$1'2SHUDWRU
(03 '(37

(0312(1$0('(3712 '(3712'1$0( /2&


  
.,1* $&&2817,1* 1(:<25.
%/$.(  6$/(6 &+,&$*2
&/$5. $&&2817,1* 1(:<25.
-21(6 5(6($5&+ '$//$6
0$57,1 6$/(6 &+,&$*2
$//(1 6$/(6 &+,&$*2
7851(5 6$/(6 &+,&$*2
-$0(6 6$/(6 &+,&$*2
:$5' 6$/(6 &+,&$*2
)25' 5(6($5&+ '$//$6
60,7+ 5(6($5&+ '$//$6
 
URZVVHOHFWHG URZVVHOHFWHG
 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

$GGLWLRQDO6HDUFK&RQGLWLRQV

,QDGGLWLRQWRWKHMRLQ\RXPD\KDYHFULWHULDIRU\RXU:+(5(FODXVH)RUH[DPSOHWRGLVSOD\

HPSOR\HH.LQJ¶VHPSOR\HHQXPEHUQDPHGHSDUWPHQWQXPEHUDQGGHSDUWPHQWORFDWLRQ\RXQHHGDQ

DGGLWLRQDOFRQGLWLRQLQWKH:+(5(FODXVH

64/!6(/(&7 HPSQRHQDPHHPSGHSWQRORF
)520 HPSGHSW
:+(5( HPSGHSWQR GHSWGHSWQR
$1' ,1,7&$3 HQDPH  
.LQJ



(0312(1$0('(3712/2&


.,1*1(:<25.

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJ7DEOH$OLDVHV
6LPSOLI\TXHULHVE\XVLQJWDEOHDOLDVHV
64/!6(/(&7HPSHPSQRHPSHQDPHHPSGHSWQR
 GHSWGHSWQRGHSWORF
)520HPSGHSW
:+(5(HPSGHSWQR GHSWGHSWQR

64/!6(/(&7HHPSQRHHQDPHHGHSWQR
GGHSWQRGORF
)520HPSHGHSWG
:+(5(HGHSWQR GGHSWQR

 2UDFOH&R USRUDWLRQ$OOULJKWVUHVHUY HG


&RS\ULJKW

7DEOH$ OLDVHV

4XDOLI\LQJFROXPQQDPHVZLWKWDEOHQDPHVFDQEHYHU\WLPHFRQVXPLQJSDUWLFXODUO\LIWDEOHQDPHV

DUHOHQJWK\<RXFDQXVHWDEOHDOLDVHVLQVWHDGRIWDEOHQDPHV-XVWDVDFROXPQDOLDVJLYHVDFROXPQ

DQRWKHUQDPHDWDEOHDOLDVJLYHVDWDEOHDQRWKHUQDPH7DEOHDOLDVHVKHOSWRNHHS64/FRGHVPDOOHU

WKHUHIRUHXVLQJOHVVPHPRU\

1RWLFHKRZWDEOHDOLDVHVDUHLGHQWLILHGLQWKH)520FODXVHLQWKHH[DPSOH7KHWDEOHQDPHLV

VSHFLILHGLQIXOOIROORZHGE\DVSDFHDQGWKHQWKHWDEOHDOLDV7KH(03WDEOHKDVEHHQJLYHQDQDOLDV

RI(ZKHUHDVWKH'(37WDEOHKDVDQDOLDVRI'

*XLGHOLQHV

‡ 7DEOHDOLDVHVFDQEHXSWRFKDUDFWHUVLQOHQJWKEXWWKHVKRUWHUWKH\DUHWKHEHWWHU

‡ ,IDWDEOHDOLDVLVXVHGIRUDSDUWLFXODUWDEOHQDPHLQWKH)520FODXVHWKHQWKDWWDEOHDOLDV

PXVWEHVXEVWLWXWHGIRUWKHWDEOHQDPHWKURXJKRXWWKH6(/(&7VWDWH PHQW

‡ 7DEOHDOLDVHVVKRXOGEHPHDQLQJIXO

‡ 7KHWDEOHDOLDVLVYDOLGRQO\IRUWKHFXUUHQW6(/(&7VWDWHPHQW

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
-RLQLQJ0RUH7KDQ7ZR7DEOHV
&86720(5 25'

1$0( &867,' &867,'25','


  
-2&.632576  
7.%632576+23  
92//<5,7(  
-8677(11,6  
.7632576   ,7(0
6+$3(83  
25',',7(0,'
:20(16632576 

   
URZVVHOHFWHG URZVVHOHFWHG





URZVVHOHFWHG

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

$GGLWLRQDO6HDUFK&RQGLWLRQV

6RPHWLPHV\RXPD\QHHGWRMRLQPRUHWKDQWZRWDEOHV)RUH[DPSOHWRGLVSOD\WKHQDPHWKHRUGHUV

SODFHGWKHLWHPQXPEHUVWKHWRWDOIRUHDFKLWHPDQGWKHWRWDOIRUHDFKRUGHUIRUFXVWRPHU7.%

632576+23\RXZLOOKDYHWRMRLQWKH&86720(525'DQG,7(0WDEOHV

64/!6(/(&7 FQDPHRRUGLGLLWHPLGLLWHPWRWRWRWDO
)520 FXVWRPHUFRUGRLWHPL
:+(5( FFXVWLG RFXVWLG
$1' RRUGLG LRUGLG
$1' FQDPH 
7.%632576+23


1$0(25',',7(0,',7(0727727$/

7.%632576+23
7.%632576+23
7.%632576+23

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
1RQ(TXLMRLQV
(03 6$/*5$'(

(0312(1$0(6$/ *5$'(/26$/+,6$/
 
.,1*  
%/$.(  
&/$5.  
-21(6   
0$57,1  
$//(1
7851(5
-$0(6
 ³VDODU\LQWKH(03

URZVVHOHFWHG WDEOHLVEHWZHHQ

ORZVDODU\DQGKLJK

VDODU\LQWKH6$/*5$'(

WDEOH´

 2UDFOH&R USRUDWLRQ$OOULJKWVUHVHUY HG


&RS\ULJKW

1RQ(TXLMRLQV

7KHUHODWLRQVKLSEHWZHHQWKH(03WDEOHDQGWKH6$ /*5$'(WDEOHLVDQRQHTXLMRLQ

PHDQLQJWKDWQRFROXPQLQWKH(03WDEOHFRUUHVSRQGVGLUHFWO\WRDFROXPQLQWKH

6$/*5$'(WDEOH7KHUHODWLRQVKLSEHWZHHQWKHWZRWDEOHVLVWKDWWKH6$/FROXPQLQ

WKH(03WDEOHLVEHWZHHQWKH/26$/DQG+,6$/FROXPQRIWKH6$/*5$'(WDEOH 7KH

UHODWLRQVKLSLVREWDLQHGXVLQJDQRSHUDWRURWKHUWKDQHTXDO 

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
5HWULHYLQJ5HFRUGV
ZLWK1RQ(TXLMRLQV
64/! 6(/(&7 HHQDPHHVDOVJUDGH
 )520 HPSHVDOJUDGHV
 :+(5( HVDO
 %(7:((1 VORVDO$1'VKLVDO

(1$0(6$/*5$'(

-$0(6
60,7+
$'$06

URZVVHOHFWHG

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

1RQ(TXLMRLQV FRQWLQXHG

7KHVOLGHH[DPSOHFUHDWHVDQRQHTXLMRLQWRHYDOXDWHDQHPSOR\HH¶VVDODU\JUDGH7KHVDODU\PXVWEH

EHWZHHQDQ\SDLURIWKHORZDQGKLJKVDODU\UDQJHV

,WLVLPSRUWDQWWRQRWHWKDWDOOHPSOR\HHVDSSHDUH[DFWO\RQFHZKHQWKLVTXHU\LVH[HFXWHG1R

HPSOR\HHLVUHSHDWHGLQWKHOLVW7KHUHDUHWZRUHDVRQVIRUWKLV

‡ 1RQHRIWKHURZVLQWKHVDODU\JUDGHWDEOHFRQWDLQJUDGHVWKDWRYHUODS7KDWLVWKHVDODU\YDOXH

IRUDQHPSOR\HHFDQRQO\OLHEHWZHHQWKHORZVDODU\DQGKLJ KVDODU\YDOXHVRIRQHRIWKHURZV

LQWKHVDODU\JUDGHWDEOH

‡ $OORIWKHHPSOR\HHV¶VDODULHVOLHZLWKLQWKHOLPLWVSURYLGHGE\WKHVDODU\JUDGHWDEOH7KDWLV

QRHPSOR\HHHDUQVOHVVWKDQWKHORZHVWYDOXHFRQWDLQHGLQWKH/26$/FROXPQRUPRUHWKDQWKH

KLJKHVWYDOXHFRQWDLQHGLQWKH+,6$/FROXPQ

1RWH2WKHURSHUDWRUVVXFKDV DQG! FRXOGEHXVHGEXW%(7:((1LVWKHVLPSOHVW5HPHPEHU

WRVSHFLI\WKHORZYDOXHILUVWDQGWKHKLJKYDOXHODVWZ KHQXVLQJ%(7:((17DEOHDOLDVHVKDYHEHHQ

VSHFLILHGIRUSHUIRUPDQFHUHDVRQVQRWEHFDXVHRISRVVLEOHDPELJXLW\

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
2XWHU-RLQV
(03 '(37

(1$0( '(3712 '(3712'1$0(


  
.,1*   $&&2817,1*
%/$.(   6$/(6
&/$5.   $&&2817,1*
-21(6   5(6($5&+
 
 23(5$7,216

1RHPSOR\HHLQWKH

23(5$7,216GHSDUWPHQW

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

5HWXUQLQJ5HFRUGVZLWK1R'LUHFW0DWFKZLWK2XWHU-RLQV

,IDURZGRHVQRWVDWLVI\DMRLQFRQGLWLRQWKHURZZLOOQRWDSSHDULQWKHTXHU\UHVXOW)RUH[DPSOHLQ

WKHHTXLMRLQFRQGLWLRQRI(03DQG'(37WDEOHVGHSDUWPHQW23(5$7,216GRHVQRWDSSHDUEHFDXVH

QRRQHZRUNVLQWKDWGHSDUWPHQW

64/!6(/(&7HHQDPHHGHSWQRGGQDPH
)520HPSHGHSWG
:+(5(HGHSWQR GGHSWQR

(1$0('(3712'1$0(

.,1*$&&2817,1*
%/$.(6$/(6
&/$5.$&&2817,1*
-21(65(6($5&+

$//(16$/(6
7851(56$/(6
-$0(66$/(6

URZVVHOHFWHG

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
2XWHU-RLQV
‡ <RXXVHDQRXWHUMRLQWRDOVRVHHURZV
WKDWGRQRWXVXDOO\PHHWWKHMRLQ
FRQGLWLRQ
‡ 2XWHUMRLQRSHUDWRULVWKHSOXVVLJQ  
6(/(&7 WDEOHFROXPQWDEOHFROXPQ
)520 WDEOHWDEOH
:+(5( WDEOHFROXPQ   WDEOHFROXPQ

6(/(&7 WDEOHFROXPQWDEOHFROXPQ
)520 WDEOHWDEOH
:+(5( WDEOHFROXPQ WDEOHFROXPQ  

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

5HWXUQLQJ5HFRUGVZLWK1R'LUHFW0DWFKZLWK2XWHU-RLQV

7KHPLVVLQJURZ V FDQEHUHWXUQHGLIDQRXWHUMRLQRSHUDWRULVXVHGLQWKHMRLQFRQGLWLRQ7KH

RSHUDWRULVDSOXVVLJQHQFORVHGLQSDUHQWKHVHV  DQGLWLVSODFHGRQWKH³VLGH´RIWKHMRLQWKDWLV

GHILFLHQWLQLQIRUPDWLRQ7KLVRSHUDWRUKDVWKHHIIHFWRIFUHDWLQJRQHRUPRUH QXOOURZVWRZKLFKRQH

RUPRUHURZVIURPWKHQRQGHILFLHQWWDEOHFDQEHMRLQHG

,QWKHV\QWD[

table1.column = is the condition that joins (or relates) the tables together.
table2.column (+) is the outer join symbol, which can be placed on either side of the
WHERE clause condition, but not on both sides (Place the outer
join symbol following the name of the column in the table without
the matching rows.)

&ODVV0DQDJHPHQW1RWH

'HPROHMRLQVTO

3XUSRVH7RLOOXVWUDWHDQHTXLMRLQOHDGLQJWRDQRXWHUMRLQ

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJ2XWHU-RLQV
64/!6(/(&7 HHQDPHGGHSWQRGGQDPH
)520 HPSHGHSWG
:+(5( HGHSWQR   GGHSWQR
25'(5%< HGHSWQR

(1$0('(3712'1$0(

.,1*$&&2817,1*
&/$5.$&&2817,1*

23(5$7,216
URZVVHOHFWHG

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

5HWXUQLQJ5HFRUGVZLWK1R'LUHFW0DWFKZLWK2XWHU-RLQV FRQWLQXHG

7KHVOLGHH[DPSOHGLVSOD\VQXPEHUVDQGQDPHVIRUDOOWKHGHSDUWPHQWV7KH23(5$7,216

GHSDUWPHQWZKLFKGRHVQRWKDYHDQ\HPSOR\HHVLVDOVRG LVSOD\HG

2XWHU-RLQ5HVWULFWLRQV

‡ 7KHRXWHUMRLQRSHUDWRUFDQDSSHDURQRQO\RQHVLGHRIWKHH[SUHVVLRQ²WKHVLGHWKDWKDV

LQIRUPDWLRQP LVVLQJ,WUHWXUQVWKRVHURZVIURPRQHWDEOHWKDWKDYHQRGLUHFWPDWFKLQWKHRWKHU

WDEOH

‡ $FRQGLWLRQLQYROYLQJDQRXWHUMRLQFDQQRWXVHWKH ,1RSHUDWRURUEHOLQNHGWRDQRWKHUFRQGLWLRQ

E\WKH25RSHUDWRU

&ODVV0DQDJHPHQW1RWH

'HPRORMRLQVTO

3XUSRVH7RLOOXVWUDWHDQRXWHUMRLQ

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
6HOI-RLQV
(03 :25.(5 (03 0$1$*(5

(0312 (1$0( 0*5 (0312 (1$0(


    
 .,1*
 %/$.(   .,1*
 &/$5.   .,1*
 -21(6   .,1*
 0$57,1   %/$.(
 $//(1   %/$.(

³0*5LQWKH:25.(5WDEOHLVHTXDOWR(0312LQWKH

0$1$*(5WDEOH´

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

-RLQLQJD7DEOHWR,WVHOI

6RPHWLPHV\RXQHHGWRMRLQDWDEOHWRLWVHOI7RILQGWKHQDPHRIHDFKHPSOR\HH ¶VPDQDJHU\RXQHHG

WRMRLQWKH(03WDEOHWRLWVHOIRUSHUIRUPDVHOIMRLQ)RUH[DPSOHWRILQGWKH QDPHRI%ODNH¶V

PDQDJHU\RXQHHGWR

‡ )LQG%ODNHLQWKH(03WDEOHE\ORRNLQJDWWKH(1$0(FROXPQ

‡ )LQGWKHPDQDJHUQXPEHUIRU%ODNHE\ORRNLQJDWWKH0*5FROXPQ%ODNH¶VPDQDJHUQXPEHU

LV

‡ )LQGWKHQDPHRIWKHPDQDJHUZLWK(0312E\ORRNLQJDWWKH(1$0(FROXPQ.LQJ¶V

HPSOR\HHQXPEHULVVR.LQJLV%ODNH¶VP DQDJHU

,QWKLVSURFHVV\RXORRNLQWKHWDEOHWZLFH7KHILUVWWLPH\RXORRNLQWKHWDEOHWRILQG%ODNHLQWKH

(1$0(FROXPQDQG0*5YDOXHRI7KHVHFRQGWLPH\RXORRNLQWKH(0312FROXPQWRILQG

DQGWKH(1$0(FROXPQWRILQG.LQJ

&ODVV0DQDJHPHQW1RWH

6KRZWKHGDWDIURPWKH(03WDEOHDQGSRLQWRXWKRZHDFKP DQDJHULVDOVRDQHPSOR\HH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
-RLQLQJD7DEOHWR,WVHOI
64/!6(/(&7ZRUNHUHQDPH__
ZRUNVIRU
__PDQDJHUHQDPH
)520 HPSZRUNHUHPSPDQDJHU
:+(5( ZRUNHUPJU PDQDJHUHPSQR

:25.(5(1$0(__
:25.6)25
__0$1$*

%/$.(ZRUNVIRU.,1*
&/$5.ZRUNVIRU.,1*
-21(6ZRUNVIRU.,1*
0$57,1ZRUNVIRU%/$.(

URZVVHOHFWHG

 2UDFOH&R USRUDWLRQ$OOULJKWVUHVHUY HG


&RS\ULJKW

-RLQLQJD7DEOHWR,WVHOI FRQWLQXHG

7KHVOLGHH[DPSOHMRLQVWKH(03WDEOHWRLWVHOI7RVLP XODWHWZRWDEOHVLQWKH)520FODXVHWKHUH

DUHWZRDOLDVHVQDPHO\:25.(5DQG0$1$*(5IRUWKHVDPHWDEOH(03

,QWKLVH[DPSOHWKH:+(5(FODXVHFRQWDLQVWKHMRLQWKDWPHDQV³ZKHUHDZRUNHU¶VPDQDJHUQXPEHU

PDWFKHVWKHHPSOR\HHQXPEHUIRUWKHPDQDJHU´

&ODVV0DQDJHPHQW1RWH

3RLQWRXWWKHIROORZLQJWRWKHVWXGHQWV

‡ 7KHFROXPQKHDGLQJLQWKHUHVXOWRIWKHTXHU\RQWKHVOLGHVHHPVPHDQLQJOHVV$PHDQLQJIXO

FROXPQDOLDVVKRXOGKDYHEHHQXVHGLQVWHDG

‡ 7KHUHDUHRQO\URZVLQWKHRXWSXWEXWWKHUHDUHURZVLQWKH(03WDEOH7KLVRFFXUV

EHFDXVHHPSOR\HH.LQJZKRLVWKHSUHVLGHQWGRHVQRWKDYHDP DQDJHU

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
6XPPDU\

6(/(&7 WDEOHFROXPQWDEOHFROXPQ
)520 WDEOHWDEOH
:+(5( WDEOHFROXPQ WDEOHFROXPQ

(TXLMRLQ 1RQHTXLMRLQ 2XWHUMRLQ 6HOIMRLQ

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

6XPPDU\

7KHUHDUHPXOWLSOHZD\VWRMRLQWDEOHV7KHFRP PRQWKUHDGWKRXJKLVWKDW\RXZDQWWROLQNWKHP

WKURXJKDFRQGLWLRQLQWKH:+(5(FODXVH7KHPHWKRG\RXFKRRVHZLOOEHEDVHGRQWKHUHTXLUHG

UHVXOWDQGWKHGDWDVWUXFWXUHVWKDW\RXDUHXVLQJ

6(/(&7 WDEOHFROXPQWDEOHFROXPQ
)520 WDEOHWDEOH
:+(5( WDEOHFROXPQ WDEOHFROXPQ

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH2YHUYLHZ

‡ -RLQLQJWDEOHVXVLQJDQHTXLMRLQ
‡ 3HUIRUPLQJRXWHUDQGVHOIMRLQV
‡ $GGLQJFRQGLWLRQV

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

3UDFWLFH2YHUYLHZ

7KLVSUDFWLFHLVLQWHQGHGWRJLYH\RXSUDFWLFDOH[SHULHQFHLQH[WUDFWLQJGDWDIURPPRUHWKDQRQH

WDEOH<RXZLOOEHUHTXLUHGWRMRLQDQGUHVWULFWURZVLQWKH:+(5(FODXVH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH

 :ULWHDTXHU\WRGLVSOD\WKHQDPHGHSDUWPHQWQXPEHUDQGGHSDUWPHQWQDPHIRU

DOOHPSOR\HHV

(1$0('(3712'1$0(

.,1*$&&2817,1*
%/$.(6$/(6
&/$5.$&&2817,1*
-21(65(6($5&+
0$57,16$/(6
$//(16$/(6
7851(56$/(6
-$0(66$/(6
:$5'6$/(6
)25'5(6($5&+
60,7+5(6($5&+
6&2775(6($5&+
$'$065(6($5&+
0,//(5$&&2817,1*

URZVVHOHFWHG

 &UHDWHDXQLTXHOLVWLQJRIDOOMREVWKDWDUHLQGHSDUWPHQW,QFOXGHWKHORFDWLRQRI

GHSDUWPHQWLQWKHRXWSXW

-2%/2&

&/(5.&+,&$*2
0$1$*(5&+,&$*2
6$/(60$1&+,&$*2

 :ULWHDTXHU\WRGLVSOD\WKHHPSOR\HHQDPHGHSDUWPHQWQDPHDQGORFDWLRQRIDOO

HPSOR\HHVZKRHDUQDFRPPLVVLRQ

(1$0('1$0(/2&

$//(16$/(6&+,&$*2
:$5'6$/(6&+,&$*2
0$57,16$/(6&+,&$*2
7851(56$/(6&+,&$*2

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH FRQWLQXHG

 'LVSOD\WKHHPSOR\HHQDPHDQGGHSDUWPHQWQDPHIRUDOOHPSOR\HHVZKRKDYHDQ$LQWKHLU

QDPH6DYH\RXU64/VWDWHPHQWLQDILOHFDOOHGSTVTO

(1$0('1$0(

%/$.(6$/(6
&/$5.$&&2817,1*
0$57,16$/(6
$//(16$/(6
-$0(66$/(6
:$5'6$/(6
$'$065(6($5&+
URZVVHOHFWHG
 :ULWHDTXHU\WRGLVSOD\WKHQDPHMREGHSDUWPHQWQXPEHUDQGGHSDUWPHQWQDPHIRUDOO

HPSOR\HHVZKRZRUNLQ'$//$6

(1$0(-2% '(3712'1$0(

60,7+&/(5.5(6($5&+
$'$06&/(5.5(6($5&+
)25'$1$/<675(6($5&+
6&277$1$/<675(6($5&+
-21(60$1$*(55(6($5&+
 'LVSOD\WKHHPSOR\HHQDPHDQGHPSOR\HHQXPEHUDORQJZLWKWKHLUPDQDJHU¶VQDPHDQG

PDQDJHUQXPEHU/DEHOWKHFROXPQV(PSOR\HH(PS0DQDJHUDQG0JUUHVSHFWLYHO\

6DYH\RXU64/VWDWHPHQWLQDILOHFDOOHGSTVTO

(PSOR\HH(PS0DQDJHU0JU

6&277-21(6
)25'-21(6
$//(1%/$.(
:$5'%/$.(
-$0(6%/$.(
7851(5%/$.(
0$57,1%/$.(
0,//(5&/$5.
$'$066&277
-21(6.,1*
&/$5..,1*
%/$.(.,1*
60,7+)25'
URZVVHOHFWHG
,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH FRQWLQXHG

 0RGLI\STVTOWRGLVSOD\DOOHPSOR\HHVLQFOXGLQJ.LQJZKRKDVQRPDQDJHU

5HVDYHDVSTVTO5XQSTVTO

(PSOR\HH(PS0DQDJHU0JU

6&277-21(6
)25'-21(6
$//(1%/$.(
:$5'%/$.(
-$0(6%/$.(
7851(5%/$.(
0$57,1%/$.(
0,//(5&/$5.
$'$066&277
-21(6.,1*
&/$5..,1*
%/$.(.,1*
60,7+)25'
.,1*
URZVVHOHFWHG
,I\RXKDYHWLPHFRPSOHWHWKHIROORZLQJH[HUFLVHV

 &UHDWHDTXHU\WKDWZLOOGLVSOD\WKHHPSOR\HHQDPHGHSDUWPHQWQXPEHUDQGDOOWKH

HPSOR\HHVWKDWZRUNLQWKHVDPHGHSDUWPHQWDVDJLYHQHPSOR\HH*LYHHDFKFROXPQDQ

DSSURSULDWHODEHO

'(3$570(17 (03/2<(( &2//($*8(




  


 &/$5. .,1*
 &/$5. 0,//(5
 .,1* &/$5.
 .,1* 0,//(5
 0,//(5 &/$5.
 0,//(5 .,1*
 $'$06 )25'
 $'$06 -21(6
 $'$06 6&277
 $'$06 60,7+
 )25' $'$06
 )25' -21(6
 )25' 6&277

URZVVHOHFWHG


,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH FRQWLQXHG

 6KRZWKHVWUXFWXUHRIWKH6$/*5$'(WDEOH&UHDWHDTXHU\WKDWZLOOGLVSOD\WKHQDPHMRE

GHSDUWPHQWQDPHVDODU\DQGJUDGHIRUDOOHPSOR\HHV

1DPH1XOO"7\SH

*5$'(180%(5
/26$/180%(5
+,6$/180%(5

(1$0(-2% '1$0( 6$/ *5$'(



0,//(5&/(5.$&&2817,1*
&/$5.0$1$*(5$&&2817,1*
.,1*35(6,'(17$&&2817,1*
60,7+&/(5.5(6($5&+
6&277$1$/<675(6($5&+
)25'$1$/<675(6($5&+
$'$06&/(5.5(6($5&+
-21(60$1$*(55(6($5&+
-$0(6&/(5.6$/(6
%/$.(0$1$*(56$/(6
7851(56$/(60$16$/(6
$//(16$/(60$16$/(6
:$5'6$/(60$16$/(6
0$57,16$/(60$16$/(6
URZVVHOHFWHG
,I\RXZDQWH[WUDFKDOOHQJHFRPSOHWHWKHIROORZLQJH[HUFLVHV

 &UHDWHDTXHU\WRGLVSOD\WKHQDPHDQGKLUHGDWHRIDQ\HPSOR\HHKLUHGDIWHUHPSOR\HH%ODNH

(1$0(+,5('$7(

.,1*129
&/$5.-81
0$57,16(3
7851(56(3
-$0(6'(&
)25''(&
6&277'(&
$'$06-$1
0,//(5-$1
URZVVHOHFWHG
,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH FRQWLQXHG

 'LVSOD\DOOHPSOR\HHV¶QDPHVDQGKLUHGDWHVDORQJZLWKWKHLUPDQDJHU¶VQDPHDQGKLUHGDWH

IRUDOOHPSOR\HHVZKRZHUHKLUHGEHIRUHWKHLUPDQDJHUV/DEHOWKHFROXPQV(PSOR\HH(PS

+LUHGDWH0DQDJHUDQG0JU+LUHGDWHUHVSHFWLYHO\

(PSOR\HH(PS+LUHGDWH0DQDJHU0JU+LUHGDWH

$//(1)(%%/$.(0$<
:$5')(%%/$.(0$<
-21(6$35.,1*129
&/$5.-81.,1*129
%/$.(0$<.,1*129
60,7+'(&)25''(&
URZVVHOHFWHG

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
,QWURGXFWLRQWR2UDFOH64/DQG3/64/

$JJUHJDWLQJ'DWD
8VLQJ*URXS)XQFWLRQV

2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

6FKHGXOH 7LPLQJ 7RSLF

PLQXWHV /HFWXUH

PLQXWHV 3UDFWLFH

PLQXWHV 7RWDO
2EMHFWLYHV

$IWHUFRPSOHWLQJWKLVOHVVRQ\RXVKRXOG
EHDEOHWRGRWKHIROORZLQJ
‡ ,GHQWLI\WKHDYDLODEOHJURXSIXQFWLRQV
‡ 'HVFULEHWKHXVHRIJURXSIXQFWLRQV
‡ *URXSGDWDXVLQJWKH*5283%<FODXVH
‡ ,QFOXGHRUH[FOXGHJURXSHGURZVE\
XVLQJWKH+$9,1*FODXVH

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

/HVVRQ$LP

7KLVOHVVRQIXUWKH UDGGUHVVHVIXQFWLRQV,WIRFXVHVRQREWDLQLQJVXPPDU\LQIRUPDWLRQVXFKDV

DYHUDJHVIRUJURXSVRIURZV,WGLVFXVVHVKRZWRJURXSURZVLQDWDEOHLQWRVPDOOHUVHWVDQGKRZWR

VSHFLI\VHDUFKFULWHULDIRUJURXSVRIURZV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
:KDW$UH*URXS)XQFWLRQV"
*URXSIXQFWLRQVRSHUDWHRQVHWVRIURZVWRJLYH
RQHUHVXOWSHUJURXS

(03

'(37126$/





 0$; 6$/
 ³PD[LPXP

 VDODU\LQ 


 WKH(03WDEOH´ 






 2UDFOH&RUSR UDWLRQ$OOULJKWVUHVHUYH G
&RS\ ULJ KW

*URXS)XQFWLRQV

8QOLNHVLQJOHURZIXQFWLRQVJURXSIXQFWLRQVRSHUDWHRQVHWVRIURZVWRJLYHRQHUHVXOW

SHUJURXS7KHVHVHWVPD\EHWKHZKROHWDEOHRUWKHWDEOHVSOLWLQWRJURXSV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
7\SHVRI*URXS)XQFWLRQV

‡ $9*
‡ &2817
‡ 0$;
‡ 0,1
‡ 67''(9
‡ 680
‡ 9$5,$1&(

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

*URXS)XQFWLRQV FRQWLQXHG

(DFKRIWKHIXQFWLRQVDFFHSWVDQDUJXPHQW7KHIROORZLQJWDEOHLGHQWLILHVWKHRSWLRQVWKDW\RXFDQXVH

LQWKHV\QWD[

)XQFWLRQ 'HVFULSWLRQ

$9* >',67,1&7_$//@Q $YHUDJHYDOXHRIQLJQRULQJQXOOYDOXHV

&2817 ^ _>',67,1&7_$//@H[SU` 1XPEHURIURZVZKHUHH[SUHYDOXDWHVWRVRPHWKLQJRWKHU

WKDQQXOO &RXQWDOOVHOHFWHGURZVXVLQJ LQFOXGLQJ

GXSOLFDWHVDQGURZVZLWKQXOOV

0$; >',67,1&7_$//@H[SU 0D[LPXPYDOXHRIH[SULJQRULQJQXOOYDOXHV

0,1 >',67,1&7_$//@H[SU 0LQLPXPYDOXHRIH[SULJQRULQJQXOOYDOXHV

67''(9 >',67,1&7_$//@[ 6WDQGDUGGHYLDWLRQRIQLJQRULQJQXOOYDOXHV

680 >',67,1&7_$//@Q 6XPYDOXHVRIQLJQRULQJQXOOYDOXHV

9$5,$1&( >',67,1&7_$//@[ 9DULDQFHRIQLJQRULQJQXOOYDOXHV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJ*URXS)XQFWLRQV

6(/(&7 >FROXPQ@JURXSBIXQFWLRQ FROXPQ


)520 WDEOH
>:+(5( FRQGLWLRQ@
>*5283%< FROXPQ@
>25'(5%< FROXPQ@

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

*XLGHOLQHVIRU8VLQJ*URXS)XQFWLRQV

‡ ',67,1&7PDNHVWKHIXQFWLRQFRQVLGHURQO\QRQGXSOLFDWHYDOXHV$//PDNHVLWFRQVLGHU

HYHU\YDOXHLQFOXGLQJGXSOLFDWHV7KHGHIDXOWLV$//DQGWKHUHIRUHGRHVQRWQHHGWREH

VSHFLILHG

‡ 7KHGDWDW\SHVIRUWKHDUJXPHQWVPD\EH&+$59$5&+$5180%(5RU'$7(ZKHUH

H[SULVOLVWHG

‡ $OOJURXSIXQFWLRQVH[FHSW&2817 LJQRUHQXOOYDOXHV7RVXEVWLWXWHDYDOXHIRUQXOOYDOXHV

XVHWKH19/IXQFWLRQ

‡ 7KH2UDFOH6HUYHULPSOLFLWO\VRUWVWKHUHVXOWVHWLQDVFHQGLQJRUGHUZKHQXVLQJD*5283%<

FODXVH7RRYHUULGHWKLVGHIDXOWRUGHULQJ'(6&FDQEHXVHGLQDQ25'(5%<FODXVH

&ODVV0DQDJHPHQW1RWH

6WUHVVWKHXVHRI',67,1&7DQGJURXSIXQFWLRQVLJQRULQJQXOOYDOXHV$//LVWKHGHIDXOWDQ GLVYHU\

UDUHO\VSHFLILHG

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJ$9*DQG680)XQFWLRQV
<RXFDQXVH$9*DQG680IRUQXPHULFGDWD
64/!6(/(&7 $9* VDO 0$; VDO 
 0,1 VDO 680 VDO
 )520 HPS
 :+(5( MRE/,.(
6$/(6


$9* 6$/ 0$; 6$/ 0,1 6$/ 680 6$/





 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

*URXS)XQFWLRQV

<RXFDQXVH$9*6800,1DQG0$;IXQFWLRQVDJDLQVWFROXPQVWKDWFDQVWRUHQXPHULFGDWD 7KH

H[DPSOHRQWKHVOLGHGLVSOD\VWKHDYHUDJHKLJKHVWORZHVWDQGVXPRIPRQWKO\VDODULHVIRUDOO

VDOHVSHRSOH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJ0,1DQG0$;)XQFWLRQV
<RXFDQXVH0,1DQG0$;IRUDQ\GDWDW\SH

64/!6(/(&7 0,1 KLUHGDWH 0$; KLUHGDWH


)520 HPS

0,1 +,5('0$; +,5('



'(&-$1

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

*URXS)XQFWLRQV FRQWLQXHG

<RXFDQXVH0$;DQG0,1IXQFWLRQVIRUDQ\GDWDW\SH7KHVOLGHH[DPSOHGLVSOD\VWKHPRVWMXQLRU

DQGPRVWVHQLRUHPSOR\HH

7KHIROORZLQJH[DPSOHGLVSOD\VWKHHPSOR\HHQDPHWKDWLVILUVWDQGWKHHPSOR\HHQDPHWKDWLVWKH

ODVWLQDQDOSKDEHWL]HGOLVWRIDOOHPSOR\HHV

64/!6(/(&7 0,1 HQDPH 0$; HQDPH


)520 HPS

0,1 (1$0( 0$; (1$0(



$'$06:$5'
1RWH$9*6809$5,$1&(DQG67''(9IXQFWLRQVFDQEHXVHGRQO\ZLWKQXPHULFGDWDW\SHV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJWKH&2817)XQFWLRQ
&2817 UHWXUQVWKHQXPEHURIURZVLQD
WDEOH
64/!6(/(&7 &2817
)520 HPS
:+(5( GHSWQR 

&2817



 &RS\ULJKW2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG

7KH&2817)XQFWLRQ

7KH&2817IXQFWLRQKDVWZRIRUPDWV

‡ &2817

‡ &2817 H[SU

&2817 UHWXUQVWKHQXPEHURIURZVLQDWDEOHLQFOXGLQJGXSOLFDWHURZVDQGURZVFRQWDLQLQJQXOO

YDOXHVLQDQ\RIWKHFROXPQV,ID:+(5(FODXVHLVLQFOXGHGLQWKH6(/(&7VWDWHPHQW&2817

UHWXUQVWKHQXPEHURIURZVWKDWVDWLVILHVWKHFRQGLWLRQLQWKH:+(5(FODXVH

,QFRQWUDVW&2817 H[SU UHWXUQVWKHQXPEHURIQRQQXOOURZVLQWKHFROXPQLGHQWLILHGE\H[SU

7KHVOLGHH[DPSOHGLVSOD\VWKHQXPEHURIHPSOR\HHVLQGHSDUWPH QW

&ODVV0DQDJHPHQW1RWH

'HPROFRXQWVTOOFRXQWVTO

3XUSRVH7RLOOXVWUDWHXVLQJWKH&2817 DQG&2817 H[SU IXQFWLRQV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJWKH&2817)XQFWLRQ
&2817 H[SU UHWXUQVWKHQXPEHURI
QRQQXOOURZV
64/!6(/(&7 &2817 FRPP
)520 HPS
:+(5( GHSWQR 

&2817 &200



 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

7KH&2817)XQFWLRQ FRQWLQXHG

7KHVOLGHH[DPSOHGLVSOD\VWKHQXPEHURIHPSOR\HHVLQGHSDUWPH QWZKRFDQHDUQDFRPPLVVLRQ

1RWLFHWKDWWKHUHVXOWJLYHVWKHWRWDOQXPEHURIURZVWREHIRXUEHFDXVHWZRHPS OR\HHVLQGHSDUWPHQW

FDQQRWHDUQDFRPP LVVLRQDQGFRQWDLQDQXOOYDOXHLQWKH&200FROXPQ

([DPSOH

'LVSOD\WKHQXPEHURIGHSDUWPHQWVLQWKH(03WDEOH

64/!6(/(&7 &2817 GHSWQR


)520 HPS

&2817 '(3712


'LVSOD\WKHQXPEHURIGLVWLQFWGHSDUWPHQWVLQWKH(03WDEOH

64/!6(/(&7 &2817 ',67,1&7 GHSWQR


)520 HPS

&2817 ',67,1&7 '(3712




,QWURGXFWLRQWR2UDFOH64/DQG3/64/
*URXS)XQFWLRQVDQG1XOO9DOXHV
*URXSIXQFWLRQVLJQRUHQXOOYDOXHVLQWKH
FROXPQ
64/!6(/(&7$9* FRPP
)520HPS

$9* &200



 2UDFOH&RUSR UDWLRQ$OOULJKWVUHVHUYH G


&RS\ ULJ KW

*URXS)XQFWLRQVDQG1XOO9DOXHV

$OOJURXSIXQFWLRQVH[FHSW&2817 LJQRUHQXOOYDOXHVLQWKHFROXPQ,QWKHVOLGH

H[DPSOHWKHDYHUDJHLVFDOFXODWHGEDVHGRQO\RQWKHURZVLQWKHWDEOHZKHUHDYDOLGYDOXH

LVVWRUHGLQWKH&200FROXPQ7KHDYHUDJH LVFDOFXODWHGDVWRWDOFRPPLVVLRQEHLQJSDLG

WRDOOHPSOR\HHVGLYLGHGE\WKHQXPEHURIHPSOR\HHVUHFHLYLQJFRPP LVVLRQ  

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJWKH19/)XQFWLRQ
ZLWK*URXS)XQFWLRQV
7KH19/IXQFWLRQIRUFHVJURXSIXQFWLRQV
WRLQFOXGHQXOOYDOXHV

64/!6(/(&7$9* 19/ FRPP


)520HPS

$9* 19/ &200





 2UDFOH&RUSR UDWLRQ$OOULJKWVUHVHUYH G


&RS\ ULJ KW

*URXS)XQFWLRQVDQG1XOO9DOXHV FRQWLQXHG

7KH19/IXQFWLRQIRUFHVJURXSIXQFWLRQVWRLQFOXGHQXOOYDOXHV,QWKHVOLGHH[DPSOHWKH

DYHUDJHLVFDOFXODWHGEDVHGRQDOOURZVLQWKHWDEOHUHJDUGOHVVRIZKHWKHUQXOOYDOXHVDUH

VWRUHGLQWKH&200FROXPQ7KHDYHUDJHLVFDOFXODWHGDVWRWDOFRPPLVVLRQEHLQJSDLG

WRDOOHPSOR\HHVGLYLGHGE\WKHWRWDOQXPEHURIHPSOR\HHVLQWKHFRPSDQ\  

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
&UHDWLQJ*URXSVRI'DWD
(03

'(37126$/


 


 ³DYHUDJH '(3712$9* 6$/
 VDODU\

 
LQ(03

 WDEOH

 IRUHDFK 


 GHSDUWPHQW´

 





 2UDFOH&RUSR UDWLRQ$OOULJKWVUHVHUYH G


&RS\ ULJ KW

*URXSVRI'DWD

8QWLOQRZDOOJURXSIXQFWLRQVKDYHWUHDWHGWKHWDEOHDVRQHODUJHJURXSRILQIRUPDWLRQ

$WWLPHV\RXQHHGWRGLYLGHWKHWDEOHRILQIRUPDWLRQLQWRVPDOOHUJURXSV7KLVFDQEH

GRQHE\XVLQJWKH*5283%<FODXVH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
&UHDWLQJ*URXSVRI'DWD
*5283%<&ODXVH

6(/(&7 FROXPQJURXSBIXQFWLRQ FROXPQ


)520 WDEOH
>:+(5( FRQGLWLRQ@
>*5283%< JURXSBE\BH[SUHVVLRQ@
>25'(5%< FROXPQ@

'LYLGHURZVLQDWDEOHLQWRVPDOOHUJURXSV
E\XVLQJWKH*5283%<FODXVH

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

7KH*5283%<&ODXVH

<RXFDQXVHWKH*5283%<FODXVHWRGLYLGHWKHURZVLQDWDEOHLQWRJURXSV<RXFDQWKHQXVHWKH

JURXSIXQFWLRQVWRUHWXUQVXPPDU\LQIRUPDWLRQIRUHDFKJURXS

,QWKHV\QWD[

JURXSBE\BH[SUHVVLRQ VSHFLILHVFROXPQVZKRVHYDOXHVGHWHUPLQHWKHEDVLVIRU

JURXSLQJURZV

*XLGHOLQHV

‡ ,I\RXLQFOXGHDJURXSIXQFWLRQLQD6(/(&7FODXVH\RXFDQQRWVHOHFWLQGLYLGXDOUHVXOWVDV

ZHOOXQOHVVWKHLQGLYLGXDOFROXPQDSSHDUVLQWKH*5283%<FODXVH<RXZLOOUHFH LYHDQHUURU

PHVVDJHLI\RXIDLOWRLQFOXGHWKHFROXPQOLVW

‡ 8VLQJD:+(5(FODXVH\RXFDQSUHH[FOXGHURZVEHIRUHGLYLGLQJWKHPLQWRJURXSV

‡ <RXPXVWLQFOXGHWKHFROXPQVLQWKH*5283%<FODXVH

‡ <RXFDQQRWXVHWKHFROXPQDOLDVLQWKH*5283%<FODXVH

‡ %\GHIDXOWURZVDUHVRUWHGE\DVFHQGLQJRUGHURIWKHFROXPQVLQFOXGHGLQWKH*5283%<OLVW

<RXFDQRYHUULGHWKLVE\XVLQJWKH25'(5%<FODXVH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJWKH*5283%<&ODXVH
$OOFROXPQVLQWKH6(/(&7OLVWWKDWDUHQRW
LQJURXSIXQFWLRQVPXVWEHLQWKH*5283
%<FODXVH
64/!6(/(&7GHSWQR$9* VDO
)520HPS
*5283%<GHSWQR

'(3712$9* 6$/





 2UDFOH&RUSR UDWLRQ$OOULJKWVUHVHUYH G


&RS\ ULJ KW

7KH*5283%<&ODXVH FRQWLQXHG

:KHQXVLQJWKH*5283%<FODXVHPDNHVXUHWKDWDOOFROXPQVLQWKH6(/(&7OLVWWKDW

DUHQRWLQWKHJURXSIXQFWLRQVDUHLQFOXGHGLQWKH*5283%<FODXVH7KHH[DPSOHRQWKH

VOLGHGLVSOD\VWKHGHSDUWPHQWQXPEHUDQGWKHDYHUDJHVDODU\IRUHDFKGHSDUWPHQW+HUHLV

KRZWKLV6(/(&7VWDWHPHQWFRQWDLQLQJD*5283%<FODXVHLVHYDOXDWHG

‡ 7KH6(/(&7FODXVHVSHFLILHVWKHFROXPQVWREHUHWULH YHG

± 'HSDUWPHQWQXPEHUFROXPQLQWKH(03WDEOH

± 7KHDYHUDJHRIDOOWKHVDODULHVLQWKHJURXS\RXVSHFLILHGLQWKH*5283%<

FODXVH

‡ 7KH)520FODXVHVSHFLILHVWKHWDEOHVWKDWWKHGDWDEDVHPXVWDFFHVVWKH(03

WDEOH

‡ 7KH:+(5(FODXVHVSHFLILHVWKHURZVWREHUHWULHYHG6LQFHWKHUHLVQR:+(5(

FODXVHE\GHIDXOWDOOURZVDUHUHWULHYHG

‡ 7KH*5283%<FODXVHVSHFLILHVKRZWKHURZVVKRXOGEHJURXSHG7KHURZVDUH

EHLQJJURXSHGE\GHSDUWPHQWQXPEHUVRWKH$9*IXQFWLRQWKDWLVEHLQJDSSOLHGWR

WKHVDODU\FROXPQZLOOFDOFXODWHWKHDYHUDJHVDODU\IRUHDFKGHSDUWPHQW

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJWKH*5283%<&ODXVH
7KH*5283%<FROXPQGRHVQRWKDYHWR
EHLQWKH6(/(&7OLVW
64/!6(/(&7$9* VDO
)520HPS
*5283%<GHSWQR

$9* 6$/





 2UDFOH&RUSR UDWLRQ$OOULJKWVUHVHUYH G


&RS\ ULJ KW

7KH*5283%<&ODXVH FRQWLQXHG

7KH*5283%<FROXPQGRHVQRWKDYHWREHL QWKH6(/(&7FODXVH)RUH[DPSOHWKH6(/(&7

VWDWHPHQWRQWKHVOLGHGLVSOD\VWKHDYHUDJHVDODULH VIRUHDFKGHSDUWPHQWZLWKRXWGLVSOD\LQJWKH

UHVSHFWLYHGHSDUWPHQWQXPEHUV:LWKRXWWKHGHSDUWPHQWQXPEHUVKRZHYHUWKHUHVXOWVGRQRWORRN

PHDQLQJIXO

<RXFDQXVHWKHJURXSIXQFWLRQLQWKH25'(5%<FODXVH

64/!6(/(&7 GHSWQR$9* VDO


)520 HPS
*5283%< GHSWQR
25'(5%<$9* VDO 

'(3712$9* 6$/





&ODVV0DQDJHPHQW1RWH

'HPRQVWUDWHWKHTXHU\ZLWKDQGZLWKRXWWKH'(3712LQWKH6(/(&7VWDWHPHQW

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
*URXSLQJE\0RUH
(03
7KDQ2QH&ROXPQ
'(3712-2%6$/

0$1$*(5
'(3712 -2%680 6$/
35(6,'(17
 
&/(5.
 &/(5.
&/(5. ³VXPVDODULHVLQ
 0$1$*(5
&/(5. WKH(03WDEOH
 35(6,'(17
$1$/<67 IRUHDFKMRE
 $1$/<67
$1$/<67 JURXSHGE\
 &/(5.
0$1$*(5 GHSDUWPHQW´
 0$1$*(5
6$/(60$1
 &/(5.
0$1$*(5
 0$1$*(5
6$/(60$1
 6$/(60$1
&/(5.
6$/(60$1
6$/(60$1

 2UDFOH&RUSR UDWLRQ$OOULJKWVUHVHUYH G


&RS\ ULJ KW

*URXSV:LWKLQ*URXSV

6RPHWLPHVWKHUHLVDQHHGWRVHHUHVXOWVIRUJURXSVZLWKLQJURXSV7KHVOLGHVKRZVDUHSRUWWKDW

GLVSOD\VWKHWRWDOVDODU\EHLQJSDLGWRHDFKMREWLWOHZLWKLQHDFKGHSDUWPHQW

7KH(03WDEOHLVJURXSHGILUVWE\GHSDUWPHQWQXPEHUDQGZLWKLQWKDWJURXSLQJLWLVJURXSHGE\MRE

WLWOH)RUH[DPSOHWKHWZRFOHUNVLQGHSDUWPHQWDUHJURXSHGWRJHWKHUDQGDVLQJOHUHVXOW WRWDO

VDODU\ LVSURGXFHGIRUDOOVDOHVSHRSOHZLWKLQWKHJURXS

&ODVV0DQDJHPHQW1RWH

'HPRORUGHUVTOORUGHUVTO

3XUSRVH7RLOOXVWUDWHRUGHULQJFROXPQVWKDWDUHJURXSHGE\'(3712ILUVWDQGRUGHULQJFROXPQVWKDW

DUHJURXSHGE\-2%ILUVW

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJWKH*5283%<&ODXVH
RQ0XOWLSOH&ROXPQV
64/!6(/(&7GHSWQRMREVXP VDO
)520HPS
*5283%<GHSWQRMRE

'(3712-2%680 6$/

&/(5.
0$1$*(5
35(6,'(17
$1$/<67
&/(5.

URZVVHOHFWHG
 2UDFOH&RUSR UDWLRQ$OOULJKWVUHVHUYH G
&RS\ ULJ KW

*URXSV:LWKLQ*URXSV FRQWLQXHG

<RXFDQUHWXUQVXPPDU\UHVXOWVIRUJURXSVDQGVXEJURXSVE\OLVWLQJPRUHWKDQRQH*5283%<

FROXPQ<RXFDQGHWHUPLQHWKHGHIDXOWVRUWRUGHURIWKHUHVXOWVE\WKHRUGHURIWKHFROXPQVLQWKH

*5283%<FODXVH+HUHLVKRZWKH6(/(&7VWDWHPHQWRQWKHVOLGHFRQWDLQLQJD*5283%<

FODXVHLVHYDOXDWHG

‡ 7KH6(/(&7FODXVHVSHFLILHVWKHFROXPQWREHUHWULHYHG

± 'HSDUWPHQWQXPEHULQWKH(03WDEOH

± -REWLWOHLQWKH(03WDEOH

± 7KHVXPRIDOOWKHVDODULHVLQWKHJURXSWKDW\RXVSHFLILHGLQWKH

*5283%<FODXVH

‡ 7KH)520FODXVHVSHFLILHVWKHWDEOHVWKDWWKHGDWDEDVHPXVWDFFHVVWKH(03WDEOH

‡ 7KH*5283%<FODXVHVSHFLILHVKRZ\RXPXVWJURXSWKHURZV

± )LUVWWKHURZVDUHJURXSHGE\GHSDUWPHQWQXPEHU

± 6HFRQGZLWKLQWKHGHSDUWPHQWQXPEHUJURXSVWKHURZVDUHJURXSHGE\MREWLWOH

6RWKH680IXQFWLRQLVEHLQJDSSOLHGWRWKHVDODU\FROXPQIRUDOOMREWLWOHVZLWKLQHDFK

GHSDUWPHQWQXPEHUJURXS

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
,OOHJDO4XHULHV
8VLQJ*URXS)XQFWLRQV
$Q\FROXPQRUH[SUHVVLRQLQWKH6(/(&7
OLVWWKDWLVQRWDQDJJUHJDWHIXQFWLRQPXVW
EHLQWKH*5283%<FODXVH

64/!6(/(&7 GHSWQR&2817 HQDPH


)520 HPS XVH
<FOD
283% *5
QWKH
VLQJL
OX P QPLV
&R
6(/(&7GHSWQR&2817 HQDPH

(5525DWOLQH
25$QRWDVLQJOHJURXSJURXSIXQFWLRQ

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

,OOHJDO4XHULHV8VLQJ*URXS)XQFWLRQV

:KHQHYHU\RXXVHDPL[WXUHRILQGLYLGXDOLWHPV '(3712 DQGJURXSIXQFWLRQV &2817 LQWKH

VDPH6(/(&7VWDWHPHQW\RXPXVWLQFOXGHD*5283%<FODXVHWKDWVSHFLILHVWKHLQG LYLGXDOLWHPV

LQWKLVFDVH'(3712 ,IWKH*5283%<FODXVHLVPLVVLQJWKHQWKHHUURUPHVVDJH³QRWDVLQJOH

JURXSJURXSIXQFWLRQ´DSSHDUVDQGDQDVWHULVN SRLQWVWRWKHRIIHQGLQJFROXPQ<RXFDQFRUUHFW

WKHHUURURQWKHVOLGHE\DGGLQJWKH*5283%<FODXVH

64/!6(/(&7 GHSWQR&2817 HQDPH


)520 HPS
*5283%< GHSWQR

'(3712&2817 (1$0(

 
 
 

$Q\FROXPQRUH[SUHVVLRQLQWKH6(/(&7OLVWWKDWLVQRWDQDJJUHJDWHIXQFWLRQPXVWEHLQWKH

*5283%<FODXVH

&ODVV0DQDJHPHQW1RWH

'HPROHUURUVTO

3XUSRVH7RLOOXVWUDWHH[HFXWLQJD6(/(&7VWDWHPHQWZLWKQR*5283%<FODXVH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
,OOHJDO4XHULHV
8VLQJ*URXS)XQFWLRQV
‡ <RXFDQQRWXVHWKH:+(5(FODXVHWRUHVWULFW
JURXSV
‡ <RXXVHWKH+$9,1*FODXVHWRUHVWULFWJURXSV
64/!6(/(&7 GHSWQR$9* VDO
)520 HPS VH
DX
O
:+(5( $9* VDO ! (
F
*5283%< GHSWQR +
(
5
V
S
H : RX
K U
W J
:+(5($9* VDO ! VH
WU
LFW
 WX HV
R U
Q R
(5525DWOLQH &
DQ
W

25$JURXSIXQFWLRQLVQRWDOORZHGKHUH



 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

,OOHJDO4XHULHV8VLQJ*URXS)XQFWLRQV FRQWLQXHG

7KH:+(5(FODXVHFDQQRWEHXVHGWRUHVWULFWJURXSV7KH6(/(&7VWDWHPHQWRQWKHVOLGHUH VXOWVLQ

DQHUURUEHFDXVHLWXVHVWKH:+(5(FODXVHWRUHVWULFWWKHGLVSOD\RIDYHUDJHVDODULHVRIWKRVH

GHSDUWPHQWVWKDWKDYHDQDYHUDJHVDODU\JUHDWHUWKDQ

<RXFDQFRUUHFWWKHVOLGHHUURUE\XVLQJWKH+$9,1*FODXVHWRUHVWULFWJURXSV

64/! 6(/(&7 GHSWQR$9* VDO


 )520 HPS
 *5283%< GHSWQR
 +$9,1* $9* VDO !

'(3712 $9* 6$/



 
 

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
([FOXGLQJ*URXS5HVXOWV
(03

'(37126$/


 


 ³PD[LPXP '(37120$; 6$/
 
VDODU\ 
 SHUGHSDUWPHQW 
 JUHDWHUWKDQ 
 ´








 2UDFOH&RUSR UDWLRQ$OOULJKWVUHVHUYH G


&RS\ ULJ KW

5HVWULFWLQJ*URXS5HVXOWV

,QWKHVDPHZD\WKDW\RXXVHWKH:+(5(FODXVHWRUHVWULFWWKHURZVWKDW\RXVHOHFW\RXXVHWKH

+$9,1*FODXVHWRUHVWULFWJURXSV7RILQGWKHPD[LPXPVDODU\RIHDFKGHSDUWPHQWEXWVKRZRQO\

WKHGHSDUWPHQWVWKDWKDYHDPD[LPXPVDODU\RIPRUHWKDQ\RXQHHGWRGRWKHIR OORZLQJ

‡ )LQGWKHDYHUDJHVDODU\IRUHDFKGHSDUWPHQWE\JURXSLQJE\GHSDUWPHQWQXPEHU

‡ 5HVWULFWWKHJURXSVWRWKRVHGHSDUWPHQWVZLWKDPD[LPXPVDODU\JUHDWHUWKDQ

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
([FOXGLQJ*URXS5HVXOWV
+$9,1*&ODXVH
8VHWKH+$9,1*FODXVHWRUHVWULFWJURXSV
± 5RZVDUHJURXSHG
± 7KHJURXSIXQFWLRQLVDSSOLHG
± *URXSVPDWFKLQJWKH+$9,1*FODXVH
DUHGLVSOD\HG
6(/(&7 FROXPQJURXSBIXQFWLRQ
)520 WDEOH
>:+(5( FRQGLWLRQ@
>*5283%< JURXSBE\BH[SUHVVLRQ@
>+$9,1* JURXSBFRQGLWLRQ@
>25'(5%< FROXPQ@
 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

7KH+$9,1*&ODXVH

<RXXVHWKH+$9,1*FODXVHWRVSHFLI\ZKLFKJURXSVDUHWREHGLVSOD\HG7KHUHIRUH\RXIXUWKHU

UHVWULFWWKHJURXSVRQWKHEDVLVRIDJJUHJDWHLQIRUPDWLRQ

,QWKHV\QWD[

JURXSBFRQGLWLRQ UHVWULFWVWKHJURXSVRIURZVUHWXUQHGWRWKRVHJURXSVIRUZKLFK

WKHVSHFLILHGFRQGLWLRQLV758(

The Oracle Server performs the following steps when you use the HAVING clause:
‡ 5RZVDUHJURXSHG

‡ 7KHJURXSIXQFWLRQLVDSSOLHGWRWKHJURXS

‡ 7KHJURXSVWKDWPDWFKWKHFULWHULDLQWKH+$9,1*FODXVH DUHGLVSOD\HG

7KH+$9,1*FODXVHFDQSUHFHGHWKH*5283%<FODXVHEXWLWLVUHFRPPHQGHGWKDW\RXSODFHWKH

*5283%<FODXVHILUVWEHFDXVHLWLVPRUHORJLFDO*URXSVDUHIRUPHGDQGJURXSIXQFWLRQVDUH

FDOFXODWHGEHIRUHWKH+$9,1*FODXVHLVDSSOLHGWRWKHJURXSVLQWKH6(/(&7OLVW

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJWKH+$9,1*&ODXVH

64/!6(/(&7GHSWQRPD[ VDO
)520HPS
*5283%<GHSWQR
+$9,1*PD[ VDO !

'(37120$; 6$/




 2UDFOH&RUSR UDWLRQ$OOULJKWVUHVHUYH G


&RS\ ULJ KW

7KH+$9,1*&ODXVH FRQWLQXHG

7KHVOLGHH[DPSOHGLVSOD\VGHSDUWPHQWQXPEHUVDQGPD[LPXPVDODU\IRUWKRVHGHSDUW PHQWVZKRVH

PD[LPXPVDODU\LVJUHDWHUWKDQ

<RXFDQXVHWKH*5283%<FODXVHZLWKRXWXVLQJDJURXSIXQFWLRQLQWKH6(/(&7OLVW

,I\RXUHVWULFWURZVEDVHGRQWKHUHVXOWRIDJURXSIXQFWLRQ\RXPXVWKDYHD*5283%<FODXVHDV

ZHOODVWKH+$9,1*FODXVH

7KHIROORZLQJH[DPSOHGLVSOD\VWKHGHSDUWPHQWQXPEHUVDQGDYHUDJHVDODU\IRUWKRVHGHSDUWPHQWV

ZKRVHPD[LPXPVDODU\LVJUHDWHUWKDQ

64/!6(/(&7 GHSWQR$9* VDO


)520 HPS
*5283%< GHSWQR
 +$9,1* 0$; VDO !

'(3712$9* 6$/




,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJWKH+$9,1*&ODXVH

64/!6(/(&7MRE680 VDO 3$<52//


)520HPS
:+(5( MRE127/,.(
6$/(6

*5283%<MRE
+$9,1*680 VDO !
25'(5%<680 VDO 

-2%3$<52//

$1$/<67
0$1$*(5

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

7KH+$9,1*&ODXVH FRQWLQXHG

7KHVOLGHH[DPSOHGLVSOD\VWKHMREWLWOHDQGWRWDOPRQWKO\VDODU\IRUHDFKMREWLWOHZLWKDWRWDOSD\UROO

H[FHHGLQJ7KHH[DPSOHH[FOXGHVVDOHVSHRSOHDQGVRUWVWKHOLVWE\WKHWRWDOPRQWKO\VDODU\

&ODVV0DQDJHPHQW1RWH

'HPROMREVTOOMREVTO

3XUSRVH7RLOOXVWUDWHXVLQJD:+(5(FODXVHWRUHVWULFWURZVE\-2%DQGXVLQJD+$9,1*FODXVHWR

UHVWULFWJURXSVE\680 6$/ 

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
1HVWLQJ*URXS)XQFWLRQV
'LVSOD\WKHPD[LPXPDYHUDJHVDODU\

64/!6(/(&7PD[ DYJ VDO


)520HPS
*5283%<GHSWQR

0$; $9* 6$/





 2UDFOH&RUSR UDWLRQ$OOULJKWVUHVHUYH G


&RS\ ULJ KW

1HVWLQJ*URXS)XQFWLRQV

*URXSIXQFWLRQVFDQEHQHVWHGWRDGHSWKRIWZR7KHVOLGHH[DPSOHGLVSOD\VWKHPD[LPXPDYHUDJH

VDODU\

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
6XPPDU\
6(/(&7 FROXPQJURXSBIXQFWLRQ FROXPQ
)520 WDEOH
>:+(5( FRQGLWLRQ@
>*5283%< JURXSBE\BH[SUHVVLRQ@
>+$9,1* JURXSBFRQGLWLRQ@
>25'(5%< FROXPQ@

2UGHURIHYDOXDWLRQRIWKHFODXVHV
‡ :+(5(FODXVH
‡ *5283%<FODXVH
‡ +$9,1*FODXVH

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

6XPPDU\

6HYHQJURXSIXQFWLRQVDUHDYDLODEOHLQ64/

‡ $9*

‡ &2817

‡ 0$;

‡ 0,1

‡ 680

‡ 67''(9

‡ 9$5,$1&(

<RXFDQFUHDWHVXEJURXSVE\XVLQJWKH*5283%<FODXVH*URXSVFDQEHH[FOXGHGXVLQJWKH

+$9,1*FODXVH

3ODFHWKH+$9,1*DQG*5283%<FODXVHVDIWHUWKH:+(5(FODXVHLQDVWDWHPHQW3ODFHWKH

25'(5%<FODXVHODVW

7KH2UDFOH6HUYHUHYDOXDWHVWKHFODXVHVLQWKHIROORZLQJRUGHU

‡ ,IWKHVWDWHPHQWFRQWDLQVD:+(5(FODXVHWKHVHUYHUHVWDEOLVKHVWKHFDQGLGDWHURZV

‡ 7KHVHUYHULGHQWLILHVWKHJURXSVVSHFLILHGLQWKH*5283%<FODXVH

‡ 7KH+$9,1*FODXVHIXUWKHUUHVWULFWVUHVXOWJURXSVWKDWGRQRWPHHWWKHJURXSFULWHULDLQWKH

+$9,1*FODXVH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH2YHUYLHZ

‡ 6KRZLQJGLIIHUHQWTXHULHVWKDWXVH
JURXSIXQFWLRQV
‡ *URXSLQJE\URZVWRDFKLHYHPRUHWKDQ
RQHUHVXOW
‡ ([FOXGLQJJURXSVE\XVLQJWKH+$9,1*
FODXVH

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

3UDFWLFH2YHUYLHZ

$WWKHHQGRIWKLVSUDFWLFH\RXVKRXOGEHIDPLOLDUZLWKXVLQJJURXSIXQFWLRQVDQGVHOHFWLQJJURXSVRI

GDWD

3DSHU%DVHG4XHVWLRQV

)RUTXHVWLRQV±FLUFOHHLWKHU7UXHRU)DOVH

1RWH&ROXPQDOLDVHVDUHXVHGIRUWKHTXHULHV

&ODVV0DQDJHPHQW1RWH

+LQWIRU3UDFWLFH$GYLVHWKHVWXGHQWVWRWKLQNDERXWWKH0*5FROXPQLQ(03ZKHQGHWHUPLQLQJ

WKHQXPEHURIPDQDJHUVUDWKHUWKDQWKH-2%FROXPQ

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH

'HWHUPLQHWKHYDOLGLW\RIWKHIROORZLQJVWDWHPHQWV&LUFOHHLWKHU7UXHRU)DOVH

 *URXSIXQFWLRQVZRUNDFURVVPDQ\URZVWRSURGXFHRQHUHVXOWSHUJURXS

7UXH)DOVH

 *URXSIXQFWLRQVLQFOXGHQXOOVLQFDOFXODWLRQV

7UXH)DOVH

 7KH:+(5(FODXVHUHVWULFWVURZVSULRUWRLQFOXVLRQLQDJURXSFDOFXODWLRQ

7UXH)DOVH

 'LVSOD\WKHKLJKHVWORZHVWVXPDQGDYHUDJHVDODU\RIDOOHPSOR\HHV/DEHOWKHFROXPQV

0D[LPXP0LQLPXP6XPDQG$YHUDJHUHVSHFWLYHO\5RXQG\RXUUH VXOWVWRWKHQHDUHVWZKROH

QXPEHU6DYH\RXU64/VWDWHPHQWLQDILOHFDOOHGSTVTO

0D[LPXP0LQLPXP6XP$YHUDJH


 0RGLI\STVTOWRGLVSOD\WKHPLQLPXPPD[LPXPVXPDQGDYHUDJHVDODU\IRUHDFKMREW\SH

5HVDYHWRDILOHFDOOHGSTVTO5HUXQ\RXUTXHU\

-2%0D[LPXP0LQLPXP6XP$YHUDJH
 
$1$/<67
&/(5.
0$1$*(5
35(6,'(17
6$/(60$1
 :ULWHDTXHU\WRGLVSOD\WKHQXPEHURISHRSOHZLWKWKHVDPHMRE

-2% &2817

$1$/<67 
&/(5. 
0$1$*(5 
35(6,'(17 
6$/(60$1 

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH FRQWLQXHG

 'HWHUPLQHWKHQXPEHURIPDQDJHUVZLWKRXWO LVWLQJWKHP/DEHOWKHFROXPQ1XPEHURI

0DQDJHUV

1XPEHURI0DQDJHUV


 :ULWHDTXHU\WKDWZLOOGLVSOD\WKHGLIIHUHQFHEHWZHHQWKHKLJKHVWDQGORZHVWVDODULHV/DEHO

WKHFROXPQ',))(5(1&(

',))(5(1&(


,I\RXKDYHWLPHFRPSOHWHWKHIROORZLQJH[HUFLVHV

 'LVSOD\WKHPDQDJHUQXPEHUDQGWKHVDODU\RIWKHORZHVWSDLGHPSOR\HHIRUWKDWPDQDJHU

([FOXGHDQ\RQHZKRVHPDQDJHULVQRWNQRZQ([FOXGHDQ\JURXSVZKHUHWKHPLQLPXP

VDODU\LVOHVVWKDQ6RUWWKHRXWSXWLQGHVFHQGLQJRUGHURIVDODU\

0*50,1 6$/







 :ULWHDTXHU\WRGLVSOD\WKHGHSDUWPHQWQDPHORFDWLRQQDPHQXPEHURIHPSOR\HHVDQGWKH

DYHUDJHVDODU\IRUDOOHPSOR\HHVLQWKDWGHSDUWPHQW/DEHOWKHFROXPQVGQDPHORF

1XPEHURI3HRSOHDQG6DODU\UHVSHFWLYHO\5RXQGWKHDYHUDJHVDODU\WRWZRGHFLPDOSODFHV

'1$0(/2&1XPEHURI3HRSOH 6DODU\
 
$&&2817,1*1(:<25. 
5(6($5&+'$//$6 
6$/(6&+,&$*2 

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH FRQWLQXHG

,I\RXZDQWH[WUDFKDOOHQJHFRPSOHWHWKHIROORZLQJH[HUFLVHV

 &UHDWHDTXHU\WKDWZLOOGLVSOD\WKHWRWDOQXPEHURIHPSOR\HHVDQGRIWKDWWRWDOWKHQXPEHU

ZKRZHUHKLUHGLQDQG*LYHDSSURSULDWHFROXPQKHDGLQJV

727$/


 &UHDWHDPDWUL[TXHU\WRGLVSOD\WKHMREWKHVDODU\IRUWKDWMREEDVHGRQGHSDUWPHQWQXPEHU

DQGWKHWRWDOVDODU\IRUWKDWMREIRUDOOGHSDUWPHQWVJLYLQJHDFKFROXPQDQDSSURSULDWH

KHDGLQJ

-RE 'HSW'HSW'HSW7RWDO

$1$/<67
&/(5.
0$1$*(5
35(6,'(17
6$/(60$1

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
,QWURGXFWLRQWR2UDFOH64/DQG3/64/

6XETXHULHV

2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

6FKHGXOH 7LPLQJ 7RSLF

PLQXWHV /HFWXUH

PLQXWHV 3UDFWLFH

PLQXWHV 7RWDO
2EMHFWLYHV

$IWHUFRPSOHWLQJWKLVOHVVRQ\RXVKRXOG
EHDEOHWRGRWKHIROORZLQJ
‡ 'HVFULEHWKHW\SHVRISUREOHPVWKDW
VXETXHULHVFDQVROYH
‡ 'HILQHVXETXHULHV
‡ /LVWWKHW\SHVRIVXETXHULHV
‡ :ULWHVLQJOHURZDQGPXOWLSOHURZ
VXETXHULHV

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

/HVVRQ$LP

,QWKLVOHVVRQ\RXZLOOOHDUQDERXWPRUHDGYDQFHGIHDWXUH VRIWKH6(/(&7VWDWHPHQW<RXFDQZULWH

VXETXHULHVLQWKH:+(5(FODXVHRIDQRWKHU64/VWDWHPHQWWRREWDLQYDOXHVEDVHGRQDQX QNQRZQ

FRQGLWLRQDOYDOXH7KLVOH VVRQFRYHUVVLQJOHURZVXETXHULHVDQGPXOWLSOHURZVXETXHULHV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJD6XETXHU\
WR6ROYHD3UREOHP
³:KRKDVDVDODU\JUHDWHUWKDQ-RQHV¶"´

0DLQ4XHU\

³:KLFKHPSOR\HHVKDYHDVDODU\JUHDWHU
"
WKDQ-RQHV¶VDODU\"´

6XETXHU\

"
³:KDWLV-RQHV¶VDODU\"´

 2UDFOH&RUSR UDWLRQ$OOULJKWVUHVHUYH G


&RS\ ULJ KW

8VLQJD6XETXHU\WR6ROYHD3UREOHP

6XSSRVH\RXZDQWWRZULWHDTXHU\WRILQGRXWZKRHDUQVDVDODU\JUHDWHUWKDQ-RQHV¶VDODU\

7RVROYHWKLVSUREOHP\RXQHHGWZRTXHULHVRQHTXHU\WRILQGZKDW-RQHVHDUQVDQGDVHFRQG

TXHU\WRILQGZKRHDUQVPRUHWKDQWKDWDPRXQW

<RXFDQVROYHWKLVSUREOHPE\FRPELQLQJWKHWZRTXHULHVSODFLQJRQHTXHU\LQVLGHWKHRWKHU

TXHU\

7KHLQQHUTXHU\RUWKHVXETXHU\UHWXUQVDYDOXHWKDWLVXVHGE\WKHRXWHUTXHU\RUWKHPDLQTXHU\

8VLQJDVXETXHU\LVHTXLYDOHQWWRSHUIRUPLQJWZRVHTXHQWLDOTXHULHVDQGXVLQJWKHUHVXOWRIWKH

ILUVWTXHU\DVWKHVHDUFKYDOXHLQWKHVHFRQGTXHU\

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
6XETXHULHV
6(/(&7 VHOHFWBOLVW
)520 WDEOH
:+(5( H[SURSHUDWRU
 6(/(&7 VHOHFWBOLVW
)520 WDEOH 

‡ 7KHVXETXHU\ LQQHUTXHU\ H[HFXWHV


RQFHEHIRUHWKHPDLQTXHU\
‡ 7KHUHVXOWRIWKHVXETXHU\LVXVHGE\
WKHPDLQTXHU\ RXWHUTXHU\ 

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

6XETXHULHV

$VXETXHU\LVD6(/(&7VWDWHPHQWWKDWLVHPEHGGHGLQDFODXVHRIDQRWKHU6(/(&7VWDWHPHQWYou

can build powerful statements out of simple ones by using subqueries. They can be very useful when
you need to select rows from a table with a condition that depends on the data in the table itself.
<RXFDQSODFHWKHVXETXHU\LQDQXPEHURI64/FODXVHV

‡ :+(5(FODXVH

‡ +$9,1*FODXVH

‡ )520FODXVH

,QWKHV\QWD[

operator includes a comparison operator such as >, =, or IN


1RWH&RPSDULVRQRSHUDWRUVIDOOLQWRWZRFODVVHVVLQJOHURZRSHUDWRUV ! ! ! DQG
PXOWLSOHURZRSHUDWRUV ,1$1<$// 

7KHVXETXHU\LVRIWHQUHIHUUHGWRDVDQHVWHG6(/(&7VXE6(/(&7RU LQQHU6(/(&7VWDWHPHQW

7KHVXETXHU\JHQHUDOO\H[H FXWHVILUVWDQGLWVRXWSXWLVXVHGWRFRPSOHWHWKHTXHU\FRQGLWLRQIRUWKH

PDLQRURXWHUTXHU\

&ODVV0DQDJHPHQW1RWH

$GGLWLRQDOO\VXETXHULHVFDQEHSODFHGLQWKH&5($7(9,(:VWDWHPHQW&5($7(7$%/(

VWDWHPHQW83'$7(FODXVH,172FODXVHRIDQ,16(57VWDWHPHQWDQG6(7FODXVHRIDQ83'$7(

VWDWHPHQW

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJD6XETXHU\
64/!6(/(&7HQDPH
)520HPS 
:+(5(VDO!
  6(/(&7VDO
)520HPS
:+(5(HPSQR  

(1$0(

.,1*
)25'
6&277

 2UDFOH&RUSR UDWLRQ$OOULJKWVUHVHUYH G


&RS\ ULJ KW

8VLQJD6XETXHU\

,QWKHVOLGHWKHLQQHUTXHU\GHWHUPLQHVWKHVDODU\RIHPSOR\HH7KHRXWHUTXHU\WDNHVWKH

UHVXOWRIWKHLQQHUTXHU\DQGXVHVWKLVUHVXOWWRGLVSOD\DOOWKHHPSOR\HHVZKRHDUQPRUHWKDQWKLV

DPRXQW

&ODVV0DQDJHPHQW1RWH

([HFXWHWKHVXETXHU\ LQQHUTXHU\ RQLWVRZQILUVWWRVKRZWKHY DOXHWKDWWKHVXETXHU\UHWXUQV

7KHQH[HFXWHWKHRXWHUTXHU\XVLQJWKHUHVXOWUHWXUQHGE\WKHLQQHUTXHU\)LQDOO\H[HFXWHWKH

HQWLUHTXHU\ FRQWDLQLQJWKHVXETXHU\ DQGVKRZWKDWWKHUHVXOWLVWKHVDPH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
*XLGHOLQHVIRU8VLQJ6XETXHULHV
‡ (QFORVHVXETXHULHVLQSDUHQWKHVHV
‡ 3ODFHVXETXHULHVRQWKHULJKWVLGHRIWKH
FRPSDULVRQRSHUDWRU
‡ 'RQRWDGGDQ25'(5%<FODXVHWRD
VXETXHU\
‡ 8VHVLQJOHURZRSHUDWRUVZLWKVLQJOH
URZVXETXHULHV
‡ 8VHPXOWLSOHURZRSHUDWRUVZLWK
PXOWLSOHURZVXETXHULHV

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

*XLGHOLQHVIRU8VLQJ6XETXHULHV

‡ $VXETXHU\PXVWEH enclosed in parentheses.


‡ $VXETXHU\PXVWDSSHDURQWKHULJKWVLGHRIWKHFRPSDULVRQRSHUDWRU

‡ 6XETXHULHVFDQQRWFRQWDLQDQ25'(5%<FODXVH<RXFDQKDYHRQO\RQH25'(5%<FODXVH

IRUD6(/(&7VWDWHPHQWDQGLIVSHFLILHGLWPXVWEHWKHODVWFODXVHLQWKHPDLQ6(/(&7

VWDWHPHQW

‡ 7ZRFODVVHVRIFRPSDULVRQRSHUDWRUVDUHXVHGLQVXETXHULHVVLQJOHURZRSHUDWRUVDQG

PXOWLSOHURZRSHUDWRUV

&ODVV0DQDJHPHQW1RWH

$VXETXHU\FDQH[HFXWHPXOWLSOHWLPHVLQFRUUHODWHGVXETXHULHVZKLFKDUHQRWLQFOXGHGLQWKLV

FRXUVH6WXGHQWVPD\DVNKRZPDQ\VXETXHULHVFDQEHZULWWHQ7KH2UDFOH6HUYHULPSRVHVQROLPLW

RQWKHQXPEHURIVXETXHULHV7KHOLPLWLVUHODWHGWRWKHEXIIHUVL]HWKDWWKHTXHU\XVHV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
7\SHVRI6XETXHULHV
‡ 6LQJOHURZVXETXHU\

0DLQTXHU\

UHWXUQV
6XETXHU\  &/(5.

‡ 0XOWLSOHURZVXETXHU\

0DLQTXHU\

UHWXUQV &/(5.
6XETXHU\  0$1$*(5

‡ 0XOWLSOHFROXPQVXETXHU\

0DLQTXHU\

UHWXUQV
6XETXHU\  &/(5.

0$1$*(5
 2UDFOH&RUSR UDWLRQ$OOULJKWVUHVHUYH G
&RS\ ULJ KW

7\SHVRI6XETXHULHV

‡ 6LQJOHURZVXETXHULHV4XHULHVWKDWUHWXUQRQO\RQHURZIURPWKHLQQHU6(/(&7VWDWHPHQW

‡ 0XOWLSOHURZVXETXHULHV4XHULHVWKDWUHWXUQPRUHWKDQRQHURZIURPWKHLQQHU6(/(&7

VWDWHPHQW

‡ 0XOWLSOHFROXPQVXETXHULHV4XHULHVWKDWUHWXUQPRUHWKDQRQHFROXPQIURPWKHLQQHU

6(/(&7VWDWHPHQW

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
6LQJOH5RZ6XETXHULHV
‡ 5HWXUQRQO\RQHURZ
‡ 8VHVLQJOHURZFRPSDULVRQRSHUDWRUV
2SHUDWRU 0HDQLQJ

(TXDOWR

! *UHDWHUWKDQ

! *UHDWHUWKDQRUHTXDOWR

 /HVVWKDQ

 /HVVWKDQRUHTXDOWR

! 1RWHTXDOWR

 &RS\ ULJ KW2UDFOH&RUSR UDWLRQ$OOULJKWVUHVHUYH G

6LQJOH5RZ6XETXHULHV

$VLQJOHURZVXETXHU\LVRQHWKDWUHWXUQVRQHURZIURPWKHLQQHU6(/(&7VWDWHPHQW7KLVW\SHRI

VXETXHU\XVHVDVLQJOHURZRSHUDWRU7KHVOLGHJLYHVDOLVWRIVLQJOHURZRSHUDWRUV

([DPSOH

'LVSOD\WKHHPSOR\HHVZKRVHMREWLWOHLVWKHVDPHDVWKDWRIHPSOR\HH

64/!6(/(&7HQDPHMRE
)520HPS
:+(5(MRE 
  6(/(&7MRE
  )520HPS
  :+(5(HPSQR  

(1$0(-2%

-$0(6&/(5.
60,7+&/(5.
$'$06&/(5.
0,//(5&/(5.

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
([HFXWLQJ6LQJOH5RZ6XETXHULHV
64/!6(/(&7HQDPHMRE
)520HPS
:+(5(MRE  &/(5.
 6(/(&7 MRE
  )520 HPS

  :+(5( HPSQR 
$1'VDO! 
 6(/(&7 VDO
 )520 HPS
 :+(5( HPSQR  

(1$0(-2%

0,//(5&/(5.

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

([HFXWLQJ6LQJOH5RZ6XETXHULHV

$6(/(&7VWDWHPHQWFDQEHFRQVLGHUHGDVDTXHU\EORFN7KHH[DPSOHRQWKHVOLGHGLVSOD\V

HPSOR\HHVZKRVHMREWLWOHLVWKHVDPHDVWKDWRIHPSOR\HH DQGZKRVHVDODU\LVJUHDWHUWKDQWKDW

RIHPSOR\HH

7KHH[DPSOHFRQVLVWVRIWKUHHTXHU\EORFNVWKHRXWHUTXHU\DQGWZRLQQHUTXHULHV7KHLQQHUTXHU\

EORFNVDUHH[HFXWHGILUVWSURGXFLQJWKHTXHU\UHVXOWV&/(5.DQGUHVSHFWLYHO\7KHRXWHU

TXHU\EORFNLVWKHQSURFHVVHGDQGXVHVWKHYDOXHVUHWXUQHGE\WKHLQQHUTXHULHVWRFRPSOHWH LWVVHDUFK

FRQGLWLRQV

%RWKLQQHUTXHULHVUHWXUQVLQJOHYDOXHV &/(5.DQGUHVSHFWLYHO\ VRWKLV64/VWDWHPHQWLV

FDOOHGDVLQJOHURZVXETXHU\

1RWH7KHRXWHUDQGLQQHUTXHULHVFDQJHWGDWDIURPGLIIHUHQWWDEOHV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJ*URXS)XQFWLRQV
LQD6XETXHU\
64/!6(/(&7 HQDPHMREVDO
)520 HPS 
:+(5( VDO 
 6(/(&7 0,1 VDO
 )520 HPS 

(1$0(-2%6$/

60,7+&/(5.

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

8VLQJ*URXS)XQFWLRQVLQD6XETXHU\

<RXFDQGLVSOD\GDWDIURPDPDLQTXHU\E\XVLQJDJURXSIXQFWLRQLQDVXETXHU\WRUHWXUQDVLQJOH

URZ7KHVXETXHU\LVLQSDUHQWKHVHVDQGLVSODFHGDIWHUWKHFRPSDULVRQRSHUDWRU

7KHH[DPSOHRQWKHVOLGHGLVSOD\VWKHHPSOR\HHQDPHMREWLWOHDQGVDODU\RIDOOHPSOR\HHVZKRVH

VDODU\LVHTXDOWRWKHPLQLPXPVDODU\7KH0,1JURXSIXQFWLRQUHWXUQVDVLQJOHYDOXH  WRWKH

RXWHUTXHU\

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
+$9,1*&ODXVHZLWK6XETXHULHV
‡ 7KH2UDFOH6HUYHUH[HFXWHVVXETXHULHV
ILUVW
‡ 7KH2UDFOH6HUYHUUHWXUQVUHVXOWVLQWR
WKH+$9,1*FODXVHRIWKHPDLQTXHU\
64/!6(/(&7 GHSWQR0,1 VDO
)520 HPS
*5283%< GHSWQR 
+$9,1* 0,1 VDO !
 6(/(&7 0,1 VDO
 )520 HPS
 :+(5( GHSWQR  

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

+$9,1*&ODXVHZLWK6XETXHULHV

<RXFDQXVHVXETXHULHVQRWRQO\LQWKH:+(5(FODXVHEXWDOVRLQWKH+$9,1*FODXVH7KH2UDFOH

6HUYHUH[HFXWHVWKHVXETXHU\DQGWKHUHVXOWVDUHUHWXUQHGLQWRWKH+$9,1*FODXVHRIWKHPDLQTXHU\

7KH64/VWDWHPHQWRQWKHVOLGHGLVSOD\VDOOWKHGHSDUWPHQWVWKDWKDYHDPLQLPXPVDODU\JUHDWHUWKDQ

WKDWRIGHSDUWPHQW

'(37120,1 6$/



([DPSOH

)LQGWKHMREZLWKWKHORZHVWDYHUDJHVDODU\

64/!6(/(&7 MRE$9* VDO


)520 HPS
*5283%< MRE
+$9,1* $9* VDO   6(/(&7 0,1 $9* VDO
 )520(03
 *5283%<MRE 

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
:KDW,V:URQJ
ZLWK7KLV6WDWHPHQW"
64/!6(/(&7HPSQRHQDPH
)520HPS
:+(5(VDO 
 ZLW
K 6(/(&70,1 VDO

 UDW
RU )520HPS
SH \
 URZ R
ET
X HU *5283%<GHSWQR 

QJOH VX
6L
 URZ
OH
OWLS
PX
(5525
25$VLQJOHURZVXETXHU\UHWXUQVPRUHWKDQ
RQHURZ

QRURZVVHOHFWHG

 2UDFOH&RUSR UDWLRQ$OOULJKWVUHVHUYH G


&RS\ ULJ KW

(UURUVZLWK6XETXHULHV

2QHFRPPRQHUURUZLWKVXETXHULHVLVPRUHWKDQRQHURZUHWXUQHGIRUDVLQJOHURZVXETXHU\

,QWKH64/VWDWHPHQWRQWKHVOLGHWKHVXETXHU\FRQWDLQVD*5283%< GHSWQR FODXVHZKLFK

LPSOLHVWKDWWKHVXETXHU\ZLOOUHWXUQPXOWLSOHURZVRQHIRUHDFKJURXSLWILQGV,QWKLVFDVHWKH

UHVXOWRIWKHVXETXHU\ZLOOEHDQG

7KHRXWHUTXHU\WDNHVWKHUHVXOWVRIWKHVXETXHU\  DQGXVHVWKHVHUHVXOWVLQLWV

:+(5(FODXVH7KH:+(5(FODXVHFRQWDLQVDQHTXDO RSHUDWRUDVL QJOHURZFRPSDULVRQ

RSHUDWRUH[SHFWLQJRQO\RQHYDOXH7KH RSHUDWRUFDQQRWDFFHSWPRUHWKDQRQHYDOXHIURPWKH

VXETXHU\DQGKHQFHJHQHUDWHVWKHHUURU

7RFRUUHFWWKLVHUURUFKDQJHWKH RSHUDWRUWR,1

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
:LOO7KLV6WDWHPHQW:RUN"

64/!6(/(&7HQDPHMRE
)520HPS
:+(5(MRE 
 6(/(&7 MRE
 )520 HPS
 :+(5( HQDPH
60<7+(

HV
DOX
Y
R
Q
QRURZVVHOHFWHG WX
UQ
V

UH
U\
TXH
E
6X

 2UDFOH&RUSR UDWLRQ$OOULJKWVUHVHUYH G


&RS\ ULJ KW

3UREOHPVZLWK6XETXHULHV

$FRPPRQSUREOHPZLWKVXETXHULHVLVQRURZVEHLQJUHWXUQHGE\WKHLQQHUTXHU\

,QWKH64/VWDWHPHQWRQWKHVOLGHWKHVXETXHU\FRQWDLQVD:+(5( HQDPH
60<7+(
FODXVH
3UHVXPDEO\WKHLQWHQWLRQLVWRILQGWKHHPSOR\HHZKRVHQDPHLV6P\WKH7KHVWDWHPHQWVHHPVWR

EHFRUUHFWEXWVHOHFWVQRURZVZKHQH[HFXWHG

7KHSUREOHPLVWKDW6P\WKHLVPLVVSHOOHG7KHUHLVQRHPSOR\HHQDPHG6P\WKH6RWKH VXETXHU\

UHWXUQVQRURZV7KHRXWHUTXHU\WDNHVWKHUHVXOWVRIWKHVXETXHU\ QXOO DQGXVHVWKHVHUHVXOWVLQ

LWV:+(5(FODXVH7KHRXWHUTXHU\ILQGVQRHPSOR\HHZLWKDMREWLWOHHTXDOWRQXOODQGVRUHWXUQV

QRURZV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
0XOWLSOH5RZ6XETXHULHV
‡ 5HWXUQPRUHWKDQRQHURZ
‡ 8VHPXOWLSOHURZFRPSDULVRQRSHUDWRUV
2SHUDWRU 0HDQLQJ

,1 (TXDOWRDQ\PHPEHULQWKHOLVW

$1< &RPSDUHYDOXHWRHDFKYDOXHUHWXUQHGE\

WKHVXETXHU\

&RPSDUHYDOXHWRHYHU\YDOXHUHWXUQHG
$//
E\WKHVXETXHU\

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

0XOWLSOH5RZ6XETXHULHV

6XETXHULHVWKDWUHWXUQPRUHWKDQRQHURZDUHFDOOHGPXOWLSOHURZVXETXHULHV<RXXVHDPXOWLSOHURZ

RSHUDWRULQVWHDGRIDVLQJOHURZRSHUDWRUZLWKDPXOWLSOHURZVXETXHU\7KHPXOWLSOHURZRSHUDWRU

H[SHFWVRQHRUPRUHYDOXHV

64/!6(/(&7 HQDPHVDOGHSWQR
)520 HPS
:+(5( VDO,1 6(/(&70,1 VDO
 )520HPS
 *5283%<GHSWQR 
([DPSOH

)LQGWKHHPSOR\HHVZKRHDUQWKHVDPHVDODU\DVWKHPLQLPXPVDODU\IRUGHSDUWPHQWV

7KHLQQHUTXHU\LVH[HFXWHGILUVWSURGXFLQJDTXHU\UHVXOWFRQWDLQLQJWKUHHURZV7KH

PDLQTXHU\EORFNLVWKHQSURFHVVHGDQGXVHVWKHYDOXHVUHWXUQHGE\WKHLQQHUTXHU\WRFRPSOHWH LWV

VHDUFKFRQGLWLRQ,QIDFWWKHPDLQTXHU\ZRXOGORRNOLNHWKHIROORZLQJWRWKH2UDFOH6HUYHU

64/!6(/(&7HQDPHVDOGHSWQR
)520HPS
:+(5(VDO,1  

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJ$1<2SHUDWRU
LQ0XOWLSOH5RZ6XETXHULHV
64/!6(/(&7HPSQRHQDPHMRE 
)520HPS 

:+(5(VDO$1< 
 6(/(&7 VDO
 )520 HPS
 :+(5( MRE 
&/(5.

$1' MRE!
&/(5.


(0312(1$0(-2%

0$57,16$/(60$1
:$5'6$/(60$1

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

0XOWLSOH5RZ6XETXHULHV FRQWLQXHG

7KH$1<RSHUDWRU DQGLWVV\QRQ\P620(RSHUDWRU FRPSDUHVDYDOXHWRHDFKYDOXHUHWXUQHGE\D

VXETXHU\7KHVOLGHH[DPSOHGLVSOD\VHPSOR\HHVZKRVHVDODU\LVOHVVWKDQDQ\FOHUNDQGZKRDUHQRW

FOHUNV7KHPD[LPXPVDODU\WKDWDFOHUNHDUQVLV7KH64/VWDWHPHQWGLVSOD\VDOOWKH

HPSOR\HHVZKRDUHQRWFOHUNVEXWHDUQOHVVWKDQ

$1<PHDQVOHVVWKDQWKHPD[LPXP!$1<PHDQVPRUHWKDQWKHPLQLPXP $1<LVHTXLYDOHQWWR

,1

&ODVV0DQDJHPHQW1RWH

:KHQXVLQJ620(RU$1<\RXRIWHQXVHWKH',67,1&7NH\ZRUGWRSUHYHQWURZVIURPE HLQJ

VHOHFWHGVHYHUDOWLPHV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJ$//2SHUDWRU
LQ0XOWLSOH5RZ6XETXHULHV
64/!6(/(&7HPSQRHQDPHMRE 

)520HPS 

:+(5(VDO!$// 

  6(/(&7 DYJ VDO


 )520 HPS
 *5283%< GHSWQR 

(0312(1$0(-2%

.,1*35(6,'(17
-21(60$1$*(5
)25'$1$/<67
6&277$1$/<67

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

0XOWLSOH5RZ6XETXHULHV FRQWLQXHG

7KH$//RSHUDWRUFRPSDUHVDYDOXHWRHYHU\YDOXHUHWXUQHGE\DVXETXHU\7KHVOLGHH[DPSOH

GLVSOD\VHPSOR\HHVZKRVHVDODU\LVJUHDWHUWKDQWKHDYHUDJHVDODULHVRIDOOWKHGHSDUWPHQWV7KH

KLJKHVWDYHUDJHVDODU\RIDGHSDUWPHQWLVVRWKHTXHU\UHWXUQVWKRVHHPSOR\HHVZKRVH

VDODU\LVJUHDWHUWKDQ

!$//PHDQVPRUHWKDQWKHPD[LPXPDQG$//PHDQVOHVVWKDQWKHPLQLPXP

7KH127RSHUDWRUFDQEHXVHGZLWK,1$1<DQG$//RSHUDWRUV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
6XPPDU\
6XETXHULHVDUHXVHIXOZKHQDTXHU\LV
EDVHGRQXQNQRZQYDOXHV
6(/(&7 VHOHFWBOLVW
)520 WDEOH
:+(5( H[SURSHUDWRU
 6(/(&7VHOHFWBOLVW
 )520 WDEOH 

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

6XPPDU\

$VXETXHU\LVD6(/(&7VWDWHPHQWWKDWLVHPEHGGHGLQDFODXVHRIDQRWKHU64/VWDWHPHQW

6XETXHULHVDUHXVHIXOZKHQDTXHU\LVEDVHGRQXQNQRZQFULWHULD

6XETXHULHVKDYHWKHIROORZLQJFKDUDFWHULVWLFV

‡ &DQSDVVRQHURZRIGDWDWRDPDLQVWDWH PHQWWKDWFRQWDLQVDVLQJOHURZRSHUDWRUVXFKDV !

!! RU

‡ &DQSDVVPXOWLSOHURZVRIGDWDWRDPDLQVWDWHPHQWWKDWFRQWDLQVDPXOWLSOHURZRSHUDWRUVXFK

DV,1

‡ $UHSURFHVVHGILUVWE\WKH2UDFOH6HUYHUDQGWKH:+(5(RU+$9,1*FODXVHXVHVWKHUHVXOWV

‡ &DQFRQWDLQJURXSIXQFWLRQV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH2YHUYLHZ

‡ &UHDWLQJVXETXHULHVWRTXHU\YDOXHV
EDVHGRQXQNQRZQFULWHULD
‡ 8VLQJVXETXHULHVWRILQGRXWZKDW
YDOXHVH[LVWLQRQHVHWRIGDWDDQGQRWLQ
DQRWKHU

 2UDFOH&RUSR UDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

3UDFWLFH2YHUYLHZ

,QWKLVSUDFWLFH\RXZLOOZULWHFRPSOH[TXHULHVXVLQJQHVWHG6(/(&7VWDWHPHQWV

3DSHU%DVHG4XHVWLRQV

<RXPD\ZDQWWRFRQVLGHUFUHDWLQJWKHLQQHUTXHU\ILUVWIRUWKHVHTXHVWLRQV0DNHVXUHWKDWLWUXQV

DQGSURGXFHVWKHGDWDWKDW\RXDQWLFLSDWHEHIRUHFRGLQJWKHRXWHUTXHU\

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH

 :ULWHDTXHU\WRGLVSOD\WKHHPSOR\HHQDPHDQGKLUHGDWHIRUDOOHPSOR\HHVLQWKHVDPH

GHSDUWPHQWDV%ODNH([FOXGH%ODNH

(1$0(+,5('$7(

0$57,16(3
$//(1)(%
7851(56(3
-$0(6'(&
:$5')(%
URZVVHOHFWHG
 &UHDWHDTXHU\WRGLVSOD\WKHHPSOR\HHQXPEH UDQGQDPHIRUDOOHPSOR\HHVZKRHDUQPRUHWKDQ

WKHDYHUDJHVDODU\6RUWWKHUHVXOWVLQGHVFHQGLQJRUGHURIVDODU\

(0312(1$0(

.,1*
)25'
6&277
-21(6
%/$.(
&/$5.
URZVVHOHFWHG
 :ULWHDTXHU\WKDWZLOOGLVSOD\WKHHPSOR\HHQXPEHUDQGQDPHIRUDOOHPSOR\HHVZKRZRUNLQD

GHSDUWPHQWZLWKDQ\HPSOR\HHZKRVHQDPHFRQWDLQVD76DYH\RXU64/VWDWHPHQWLQDILOH

FDOOHGSTVTO

(0312(1$0(

-21(6
6&277
$'$06
60,7+
)25'
%/$.(
0$57,1
$//(1
7851(5
-$0(6
:$5'
 URZVVHOHFWHG

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH FRQWLQXHG

 'LVSOD\WKHHPSOR\HHQDPHGHSDUWPHQWQXPEHUDQGMREWLWOHIRUDOOHPSOR\HHVZKRVH

GHSDUWPHQWORFDWLRQLV'DOODV

(1$0('(3712-2%

-21(60$1$*(5
)25'$1$/<67
60,7+&/(5.
6&277$1$/<67
$'$06&/(5.

 'LVSOD\WKHHPSOR\HHQDPHDQGVDODU\RIDOOHPSOR\HHVZK RUHSRUWWR.LQJ

(1$0( 6$/

%/$.(
&/$5.
-21(6

 'LVSOD\WKHGHSDUWPHQWQXPEHUQDPHDQGMREIRUDOOHPSOR\HHVLQWKH6DOHVGHSDUWPHQW

'(3712(1$0(-2%

%/$.(0$1$*(5
0$57,16$/(60$1
$//(16$/(60$1
7851(56$/(60$1
-$0(6&/(5.
:$5'6$/(60$1
URZVVHOHFWHG

,I\RXKDYHWLPHFRPSOHWHWKHIROORZLQJH[HUFLVHV

 0RGLI\STVTOWRGLVSOD\WKHHPSOR\HHQXPEHUQDPHDQGVDODU\IRUDOOHPSOR\HHVZKR

HDUQPRUHWKDQWKHDYHUDJHVDODU\DQGZKRZRUNLQDGHSDUWPHQWZLWKDQ\HPSOR\HHZLWKD 7

LQWKHLUQDPH5HVDYHDVSTVTO5HUXQ\RXUTXHU\

(0312(1$0(6$/

-21(6
6&277
)25'
%/$.(

,QWURGXFWLRQWR2UDFOH64/DQG3/64/

0XOWLSOH&ROXPQ6XETXHULHV

2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG
&RS\ULJKW

6FKHGXOH 7LPLQJ 7RSLF

PLQXWHV /HFWXUH

PLQXWHV 3UDFWLFH

PLQXWHV 7RWDO
2EMHFWLYHV

$IWHUFRPSOHWLQJWKLVOHVVRQ\RXVKRXOG
EHDEOHWRGRWKHIROORZLQJ
‡ :ULWHDPXOWLSOHFROXPQVXETXHU\
‡ 'HVFULEHDQGH[SODLQWKHEHKDYLRURI
VXETXHULHVZKHQQXOOYDOXHVDUH
UHWULHYHG
‡ :ULWHDVXETXHU\LQD)520FODXVH

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG


&RS\ULJKW

/HVVRQ$LP

,QWKLVOHVVRQ\RXZLOOOHDUQKRZWRZULWHPXOWLSOHFROXPQVXETXHULHVDQGVXETXHULHVLQWKH)520

FODXVHRID6(/(&7VWDWHPHQW

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
0XOWLSOH&ROXPQ6XETXHULHV
0DLQTXHU\

0$1$*(5

6XETXHU\
6$/(60$1 

0$1$*(5 

&/(5. 

0DLQTXHU\ 9DOXHVIURPDPXOWLSOHURZDQG
WR
FRPSDUHV PXOWLSOHFROXPQVXETXHU\

6$/(60$1 
0$1$*(5
0$1$*(5 

&/(5. 

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG


&RS\ULJKW

0XOWLSOH&ROXPQ6XETXHULHV

6RIDU\RXKDYHZULWWHQVLQJOHURZVXETXHULHVDQGPXOWLSOHURZVXETXHULHVZKHUHRQO\RQHFROXPQ

ZDVFRPSDUHGLQWKH:+(5(FODXVHRU+$9,1*FODXVHRIWKH6(/(&7VWDWHPHQW,I\RXZDQWWR

FRPSDUHWZRRUPRUHFROXPQV\RXPXVWZULWHDFRPSRXQG:+(5(FODXVHXV LQJORJLFDORSHUDWRUV

0XOWLSOHFROXPQVXETXHULHVHQDEOH\RXWRFRPELQHGXSOLFDWH:+(5(FRQGLWLRQVLQWRDVLQJOH

:+(5(FODXVH

6\QWD[

6(/(&7 FROXPQFROXPQ
)520 WDEOH
:+(5( FROXPQFROXPQ ,1
 6(/(&7FROXPQFROXPQ
)520WDEOH
:+(5(FRQGLWLRQ 

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJ0XOWLSOH&ROXPQ
6XETXHULHV
'LVSOD\WKHRUGHUQXPEHUSURGXFWQXPEHUDQG

TXDQWLW\RIDQ\LWHPLQZKLFKWKHSURGXFW

QXPEHUDQGTXDQWLW\PDWFKERWKWKHSURGXFW

QXPEHUDQGTXDQWLW\RIDQLWHPLQRUGHU

64/!6(/(&7 RUGLGSURGLGTW\
)520 LWHP
:+(5( SURGLGTW\ ,1
 6(/(&7SURGLGTW\
 )520LWHP
 :+(5(RUGLG 
$1' RUGLG!

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&R S\ ULJ KW

8VLQJ0XOWLSOH&ROXPQ6XETXHULHV

7KHH[DPSOHRQWKHVOLGHLVWKDWRIDPXOWLSOHFROXPQVXETXHU\EHFDXVHWKHVXETXHU\UHWXUQVPRUH

WKDQRQHFROXPQ,WFRPSDUHVWKHYDOXHVLQWKH352','FROXPQDQGWKH47<FROXPQRIHDFK

FDQGLGDWHURZLQWKH,7(0WDEOHWRWKHYDOXHVLQWKH352','FROXPQDQG47<FROXPQIRULWHPVLQ

RUGHU

)LUVWH[HFXWHWKHVXETXHU\WRVHHWKH352','DQG47<YDOXHVIRUHDFKLWHPLQRUGHU

64/!6(/(&7SURGLGTW\
)520LWHP
:+(5(RUGLG 

352','47<








URZVVHOHFWHG

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJ0XOWLSOH&ROXPQ
6XETXHULHV
'LVSOD\WKHRUGHUQXPEHUSURGXFWQXPEHUDQG

TXDQWLW\RIDQ\LWHPLQZKLFKWKHSURGXFW

QXPEHUDQGTXDQWLW\PDWFKERWKWKHSURGXFW

QXPEHUDQGTXDQWLW\RIDQLWHPLQRUGHU

64/!6(/(&7 RUGLGSURGLGTW\
)520 LWHP
:+(5( SURGLGTW\ ,1
 6(/(&7SURGLGTW\
 )520LWHP
 :+(5(RUGLG 
$1' RUGLG!

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG


&RS\ULJKW

8VLQJ0XOWLSOH&ROXPQ6XETXHULHV

:KHQWKH64/VWDWHPHQWRQWKHVOLGHLVH[HFXWHGWKH2UDFOHVHUYHUFRPSDUHVWKHYDOXHVLQERWKWKH

352','DQG47<FROXPQVDQGUHWXUQVWKRVHRUGHUVZKHUHWKHSURGXFWQXPEHUDQGTXDQWLW\IRU WKDW

SURGXFWPDWFKERWKWKHSURGXFWQXPEHUDQGTXDQWLW\IRUDQLWHPLQRUGHU

7KHRXWSXWRIWKH64/VWDWHPHQWLV

25','352','47<






7KHRXWSXWVKRZVWKDWWKHUHDUHWKUHHLWHPVLQRWKHURUGHUVWKDWFRQWDLQWKHVDPHSURGXFWQXPEHUDQG

TXDQWLW\DVDQLWHPLQRUGHU)RUH[DPSOHRUGHUKDVRUGHUHGDTXDQWLW\RISURGXFW

2UGHUKDVDOVRRUGHUHGDTXDQWLW\RISURGXFW7KHUHIRUHWKDWFDQGLGDWHURZ

LVSDUWRIWKHRXWSXW

&ODVV0DQDJHPHQW1RWH

'HPROSDLUVTO

3XUSRVH7RLOOXVWUDWHDSDLUZLVHPXOWLSOHFROXPQVXETXHU\

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
&ROXPQ&RPSDULVRQV

3DLUZLVH 1RQSDLUZLVH
352',' 47< 352',' 47<

   

   

   

   

   

   

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG


&RS\ULJKW

3DLUZLVH9HUVXV1RQSDLUZLVH&RPSDULVRQV

&ROXPQFRPSDULVRQVLQDPXOWLSOHFROXPQVXETXHU\FDQEHSDLUZLVHFRPSDULVRQVRUQRQSDLUZLVH

FRPSDULVRQV

7KHVOLGHVKRZVWKHSURGXFWQXPEHUVDQGTXDQWLWLHVRIWKHLWHPVLQRUGHU

,QWKHH[DPSOHRQWKHSUHYLRXVVOLGHDSDLUZLVHFRPSDULVRQZDVH[HFXWHGLQWKH:+(5(FODXVH

(DFKFDQGLGDWHURZLQWKH6(/(&7VWDWHPHQWPXVWKDYHERWKWKHVDPHSURGXFWQXPEHUDQGVDPH

TXDQWLW\DVDQLWHPLQRUGHU7KLVLVLOOXVWUDWHGRQWKHOHIWVLGHRIWKHVOLGHDERYH7KHDUURZV

LQGLFDWHWKDWERWKWKHSURGXFWQXPEHUDQGTXDQWLW\LQDFDQGLGDWHURZPDWFKDSURGXFWQXPEHUDQG

TXDQWLW\RIDQLWHPLQRUGHU

$PXOWLSOHFROXPQVXETXHU\FDQDOVREHDQRQSDLUZLVHFRPSDULVRQ,I\RXZDQWDQRQSDLUZLVH

FRPSDULVRQ DFURVVSURGXFW \RXPXVWXVHD:+(5(FODXVHZLWKPXOWLSOHF RQGLWLRQV$FDQGLGDWH

URZPXVWPDWFKWKHPXOWLSOHFRQGLWLRQVLQWKH:+(5(FODXVHEXWWKHYDOXHVDUHFRPSDUHG

LQGLYLGXDOO\$FDQGLGDWHURZPXVWPDWFKVRPHSURGXFWQXPEHULQRUGHUDVZHOODVVRPH

TXDQWLW\LQRUGHUEXWWKHVHYDOXHVGRQRWQHHGWREHLQWKHVDPHURZ7KLVLVLOOXVWUDWHGRQWKH

ULJKWVLGHRIWKHVOLGH)RUH[DPSOHSURGXFWDSSHDUVLQRWKHURUGHUVRQHRUGHUPDWFKLQJWKH

TXDQWLW\LQRUGHU  DQGDQRWKHURUGHUKDYLQJDTXDQWLW\RI7KHDUURZVVKRZDVDPSOLQJ

RIWKHYDULRXVTXDQWLWLHVRUGHUHGIRUDSDUWLFXODUSURGXFW

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
1RQSDLUZLVH&RPSDULVRQ
6XETXHU\
'LVSOD\WKHRUGHUQXPEHUSURGXFWQXPEHUDQG

TXDQWLW\RIDQ\LWHPLQZKLFKWKHSURGXFWQXPEHU

DQGTXDQWLW\PDWFKDQ\SURGXFWQXPEHUDQGDQ\

TXDQWLW\RIDQLWHPLQRUGHU

64/!6(/(&7 RUGLGSURGLGTW\
)520 LWHP
:+(5( SURGLG,1 6(/(&7 SURGLG
)520 LWHP
:+(5( RUGLG 
$1' TW\,1 6(/(&7 TW\
 )520 LWHP
:+(5( RUGLG 
$1' RUGLG!
 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&R S\ ULJ KW

1RQSDLUZLVH&RPSDULVRQ6XETXHU\

7KHVOLGHH[DPSOHGRHVDQRQSDLUZLVHFRPSDULVRQRIWKHFROXPQV,WGLVSOD\VWKHRUGHUQXPEHUSURGXFW

QXPEHUDQGTXDQWLW\RIDQ\LWHPLQZKLFKWKHSURGXFWQXPEHUDQGTXDQWLW\PDWFKDQ\SURGXFWQXPEHU

DQGTXDQWLW\RIDQLWHPLQRUGHU2UGHULVQRWLQFOXGHGLQWKHRXWSXW

&ODVV0DQDJHPHQW1RWH

'HPROQRQSDLUVTO

3XUSRVH7RLOOXVWUDWHDQRQSDLUZLVHPXOWLSOHFROXPQVXETXHU\

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
1RQSDLUZLVH6XETXHU\
25','352','47<















URZVVHOHFWHG
 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG
&RS\ULJKW

1RQSDLUZLVH6XETXHU\

7KHUHVXOWVRIWKHQRQSDLUZLVHVXETXHU\DUHVKRZQLQWKHVOLGH6L[WHHQFDQGLGDWHURZVLQWKH,7(0

WDEOHPDWFKWKHPXOWLSOHFRQGLWLRQVLQWKH:+(5(FODXVH

)RUH[DPSOHDQLWHPIURPRUGHULVUHWXUQHGIURPWKH64/VWDWHPHQW$SURGXFWLQRUGHU

SURGXFWQXPEHU PDWFKHVDSURGXFWLQDQLWHPLQRUGHU7KHTXDQWLW\IRUSURGXFW

LQRUGHU  PDWFKHVWKHTXDQWLW\LQDQRWKHULWHPLQRUGHU WKHTXDQWLW\IRUSURGXFW 

&ODVV0DQDJHPHQW1RWH

7KHKLJKOLJKWHGVHFWLRQVLQWKHVOLGHLQGLFDWHWKRVHURZVWKDWPDWFKVRPHSURGXFWLQRUGHUDQG

VRPHTXDQWLW\LQRUGHU1RWHWKDWWKHURZVWKDWDUHUHWXUQHGIURPWKHSDLUZLVHFRPSDULVRQDUH

LQFOXGHGLQWKHRXWSXWRIWKHQRQSDLUZLVHFRPSDULVRQ7KHVHURZVDUHQRWKLJKOLJKWHG

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
1XOO9DOXHVLQD6XETXHU\

64/!6(/(&7 HPSOR\HHHQDPH
)520 HPSHPSOR\HH
:+(5( HPSOR\HHHPSQR127,1
 6(/(&7PDQDJHUPJU
 )520HPSPDQDJHU 
QRURZVVHOHFWHG

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG


&RS\ULJKW

5HWXUQLQJ1XOOVLQWKH5HVXOWLQJ6HWRID6XETXHU\

7KH64/VWDWHPHQWRQWKHVOLGHDWWHPSWVWRGLVSOD\DOOWKHHPSOR\HHVZKRGRQRWKDYHDQ\

VXERUGLQDWHV/RJLFDOO\WKLV64/VWDWHPHQWVKRXOGKDYHUHWXUQHGHLJKWURZV+RZHYHUWKH64/

VWDWHPHQWGRHVQRWUHWXUQDQ\URZV2QHRIWKHYDOXHVUHWXUQHGE\WKHLQQHUTXHU\LVDQXOOYDOXHDQG

KHQFHWKHHQWLUHTXHU\UHWXUQVQRURZV7KHUHDVRQLVWKDWDOOFRQGLWLRQVWKDWFRPSDUHDQXOOYDOXHUHVXOW

LQDQXOO6RZKHQHYHUQXOOYDOXHVDUHOLNHO\WREHSDUWRIWKHUHVXOWDQWVHWRIDVXETXHU\GRQRWXVHWKH

127,1RSHUDWRU7KH127,1RSHUDWRULVHTXLYDOHQWWR $//

1RWLFHWKDWWKHQXOOYDOXHDVSDUWRIWKHUHVXOWDQWVHWRIDVXETXHU\ZLOOQRWEHDSUREOHPLI\RX DUHXVLQJ

WKH,1RSHUDWRU7KH,1RSHUDWRULVHTXLYDOHQWWR $1<)RUH[DPSOHWRGLVSOD\WKHHPSOR\HHVZKR

KDYHVXERUGLQDWHVXVHWKHIROORZLQJ64/VWDWHPHQW

64/!6(/(&7HPSOR\HHHQDPH
)520HPSHPSOR\HH
:+(5(HPSOR\HHHPSQR,1 6(/(&7PDQDJHUPJU
  )520HPSPDQDJHU 

(1$0(

.,1*

URZVVHOHFWHG

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJD6XETXHU\
LQWKH)520&ODXVH
64/!6(/(&7DHQDPHDVDODGHSWQREVDODYJ
)520HPSD 6(/(&7GHSWQRDYJ VDO VDODYJ
)520HPS
*5283%<GHSWQR E
:+(5(DGHSWQR EGHSWQR
$1'DVDO!EVDODYJ

(1$0(6$/'(37126$/$9*

.,1*
-21(6
6&277

URZVVHOHFWHG

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&R S\ ULJ KW

8VLQJD6XETXHU\LQWKH)520&ODXVH

<RXFDQXVHDVXETXHU\LQWKH)520FODXVHRID6(/(&7VWDWHPHQWZKLFKLVYHU\VLPLODUWRKRZ

YLHZVDUHXVHG$VXETXHU\LQWKH)520FODXVHRID6(/( &7VWDWHPHQWGHILQHVDGDWDVRXUFHIRUWKDW

SDUWLFXODU6(/(&7VWDWHPHQWDQGRQO\WKDW6(/(&7VWDWHPHQW7KHVOLGHH[DPSOHGLVSOD\VHPS OR\HH

QDPHVVDODULHVGHSDUWPHQWQXPEHUVDQGDYHUDJHVDODULHVIRUDOOWKHHPSOR\HHVZKRPDNHPRUHWKDQ

WKHDYHUDJHVDODU\LQWKHLUGHSDUWPHQW

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
6XPPDU\

‡ $PXOWLSOHFROXPQVXETXHU\UHWXUQV
PRUHWKDQRQHFROXPQ
‡ &ROXPQFRPSDULVRQVLQPXOWLSOH
FROXPQFRPSDULVRQVFDQEHSDLUZLVHRU
QRQSDLUZLVH
‡ $PXOWLSOHFROXPQVXETXHU\FDQDOVREH
XVHGLQWKH)520FODXVHRID6(/(&7
VWDWHPHQW

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG


&RS\ULJKW

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH2YHUYLHZ

&UHDWLQJPXOWLSOHFROXPQVXETXHULHV

 2UDFOH&RUSR UDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

3UDFWLFH2YHUYLHZ

,QWKLVSUDFWLFH\RXZLOOZULWHPXOWLSOHYDOXHVXETXHULHV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH

 :ULWHDTXHU\WRGLVSOD\WKHQDPHGHSDUWPHQWQXPEHUDQGVDODU\RIDQ\HPS OR\HHZKRVH

GHSDUWPHQWQXPEHUDQGVDODU\PDWFKWKHGHSDUWPHQWQXPEHUDQGVDODU\RIDQ\HPS OR\HH

ZKRHDUQVDFRPPLVVLRQ

(1$0('(37126$/

0$57,1
:$5'
7851(5
$//(1

 'LVSOD\WKHQDPHGHSDUWPHQWQDPHDQGVDODU\RIDQ\HPSOR\HHZKRVHVDODU\DQG

FRPPLVVLRQPDWFKWKHVDODU\DQGFRPPLVVLRQRIDQ\HPSOR\HHORFDWHGLQ'DOODV

(1$0('1$0(6$/

60,7+5(6($5&+
$'$065(6($5&+
-21(65(6($5&+
)25'5(6($5&+
6&2775(6($5&+

 &UHDWHDTXHU\WRGLVSOD\WKHQDPHKLUHGDWHDQGVDODU\IRUDOOHPSOR\HHVZKRKDYHERWKWKH

VDPHVDODU\DQGFRPPLVVLRQDV6FRWW

(1$0(+,5('$7(6$/

)25''(&

 &UHDWHDTXHU\WRGLVSOD\WKHHPSOR\HHVWKDWHDUQDVDODU\WKDWLVKLJKHUWKDQWKHVDODU\RI

DOORIWKHFOHUNV6RUWWKHUHVXOWVRQVDODU\IURPKLJKHVWWRORZHVW

(1$0(-2%6$/

.,1*35(6,'(17
)25'$1$/<67
6&277$1$/<67
-21(60$1$*(5
%/$.(0$1$*(5
&/$5.0$1$*(5
$//(16$/(60$1
7851(56$/(60$1
URZVVHOHFWHG

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
,QWURGXFWLRQWR2UDFOH64/DQG3/64/

3URGXFLQJ5HDGDEOH2XWSXW
ZLWK64/ 3OXV

2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

6FKHGXOH 7LPLQJ 7RSLF

PLQXWHV /HFWXUH

PLQXWHV 3UDFWLFH

PLQXWHV 7RWDO
2EMHFWLYHV

$IWHUFRPSOHWLQJWKLVOHVVRQ\RXVKRXOG
EHDEOHWRGRWKHIROORZLQJ
‡ 3URGXFHTXHULHVWKDWUHTXLUHDQLQSXW
YDULDEOH
‡ &XVWRPL]HWKH64/ 3OXVHQYLURQPHQW
‡ 3URGXFHPRUHUHDGDEOHRXWSXW
‡ &UHDWHDQGH[HFXWHVFULSWILOHV
‡ 6DYHFXVWRPL]DWLRQV

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

/HVVRQ$LP

,QWKLVOHVVRQ\RXZLOOOHDUQKRZWRLQFOXGH64/ 3O XVFRPPDQGVWRSURGXFHPRUHUHDGDEOH64/

RXWSXW

<RXFDQFUHDWHDFRPPDQGILOHFRQWDLQLQJD:+(5(FODXVHWRUHVWULFWWKHURZVGLVSOD\HG7RFKDQJH

WKHFRQGLWLRQHDFKWLPHWKHFRPPDQGILOHLVUXQ\RXXVHVXEVWLWXWLRQYDULDEOHV6XEVWLWXWLRQYDULDEOHV

FDQUHSODFHYDOXHVLQWKH:+(5(FODXVHDWH[WVWULQJDQGHYHQDFROXPQRUDWDEOHQDPH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
,QWHUDFWLYH5HSRUWV

,ZDQWWRLQSXWTXHU\

VDO "« YDOXHVDWUXQWLPH

«GHSWQR "«

HQDPH "

8VHU
 2UDFOH&RUSR UDWLRQ$OOULJKWVUHVHUYH G
&RS\ ULJ KW

,QWHUDFWLYH5HSRUWV

7KHH[DPSOHVVRIDUKDYHQRWEHHQLQWHUDFWLYHLQDQ\ ZD\,QDILQLVKHGDSSOLFDWLRQWKHXVHUZRXOG

WULJJHUWKHUHSRUWDQGWKHUHSRUWZRXOGUXQZLWKRXWIXUWKHUSURPSWLQJ7KHUDQJHRIGDWDZRXOGEH

SUHGHWHUPLQHGE\WKHIL[HG:+(5(FODXVHLQWKH64/ 3OXVVFULSWILOH

8VLQJ64/ 3OXV\RXFDQFUHDWHUHSRUWVWKDWSURPSWWKHXVHUWRVXSSO\W KHLURZQYDOXHVWRUHVWULFW

WKHUDQJHRIGDWDUHWXUQHG7RFUHDWHLQWHUDFWLYHUHSRUWV\RXFDQHPEHGVXEVWLWXWLRQYDULDEOHVLQD

FRPPDQGILOHRULQDVLQJOH64/VWDWHPHQW$YDULDEOHFDQEHWKRXJKWRIDVDFRQWDLQHULQZKLFKWKH

YDOXHVDUHWHPSRUDULO\VWRUHG

&ODVV0DQDJHPHQW1RWH

'HPROYDUQRVTOOYDU\HVVTO

3XUSRVH7RLOOXVWUDWHUHWXUQLQJDOOURZVDQGXVLQJDFDVHLQVHQVLWLYHTXHU\ZLWKVXEVWLWXWLRQ

YDULDEOHV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
6XEVWLWXWLRQ9DULDEOHV

‡ 8VH64/ 3OXVVXEVWLWXWLRQYDULDEOHVWR
WHPSRUDULO\VWRUHYDOXHV
± 6LQJOHDPSHUVDQG
± 'RXEOHDPSHUVDQG
± '(),1(DQG$&&(37FRPPDQGV
‡ 3DVVYDULDEOHYDOXHVEHWZHHQ64/
VWDWHPHQWV
‡ '\QDPLFDOO\DOWHUKHDGHUVDQGIRRWHUV

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

6XEVWLWXWLRQ9DULDEOHV

,Q64/ 3OXV\RXFDQXVHVLQJOHDPSHUVDQG VXEVWLWXWLRQYDULDEOHVWRWHPSRUDULO\VWRUHYDOXHV

<RXFDQSUHGHILQHYDULDEOHVLQ64/ 3OXVE\XVLQJWKH$&&(37RU'(),1(FRPPDQGV$&&(37

UHDGVDOLQHRIXVHULQSXWDQGVWRUHVLWLQDYDULDEOH'(),1(FUHDWHVDQGDVVLJQVDYDOXHWRDYDULDEOH

([DPSOHVRI5HVWULFWHG5DQJHVRI'DWD

‡ 5HSRUWILJXUHVIRUWKHFXUUHQWTXDUWHURUVSHFLILHGGDWHUDQJHRQO\

‡ 5HSRUWRQGDWDUHOHYDQWWRWKHXVHUUHTXHVWLQJWKHUHSRUWRQO\

‡ 'LVSOD\SHUVRQQHOZLWKLQDJLYHQGHSDUWPHQWRQO\

2WKHU,QWHUDFWLYH(IIHFWV

,QWHUDFWLYHHIIHFWVDUHQRWUHVWULFWHGWRGLUHFWXVHULQWHUDFWLRQZLWKWKH:+(5(FODXVH7KHVDPH

SULQFLSOHVFDQEHXVHGWRDFKLHYHRWKHUJRDOV)RUH[DPSOH

‡ '\QDPLFDOO\DOWHULQJKHDGHUVDQGIRRWHUV

‡ 2EWDLQLQJLQSXWYDOXHVIURPDILOHUDWKHUWKDQIURPDSHUVRQ

‡ 3DVVLQJYDOXHVIURPRQH64/VWDWHPHQWWRDQRWKHU

64/ 3OXVGRHVQRWVXSSRUWYDOLGDWLRQFKHFNV H[FHSWIRUGDWDW\SH RQXVHULQSXW0DNHVXUHWKDWWKH

SURPSWVWKDW\RXZULWHIRUWKHXVHUDUHVLPSOHDQGXQDPELJXRXV

&ODVV0DQDJHPHQW1RWH

$VXEVWLWXWLRQYDULDEOHFDQEHXVHGDQ\ZKHUHLQ64/DQG64/ 3OXVFRPPDQGVH[FHSWDVWKHILUVW

ZRUGHQWHUHGDWWKHFRPPDQGSURPSW
,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJWKH 6XEVWLWXWLRQ9DULDEOH
8VHDYDULDEOHSUHIL[HGZLWKDQDPSHUVDQG
WRSURPSWWKHXVHUIRUDYDOXH
64/!6(/(&7 HPSQRHQDPHVDOGHSWQR
)520 HPS
:+(5( HPSQR  HPSOR\HHBQXP

(QWHUYDOXHIRUHPSOR\HHBQXP
(0312(1$0(6$/'(3712

60,7+

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

6LQJOH$PSHUVDQG6XEVWLWXWLRQ9DULDEOH

:KHQUXQQLQJDUHSRUWXVHUVRIWHQZDQWWRUHVWULFWWKHGDWDUHWXUQHGG\QDPLFDOO\64/ 3OXVSURYLGHV

WKLVIOH[LELOLW\E\PHDQVRIXVHUYDULDEOHV8VHDQDPSHUVDQG WRLGHQWLI\HDFKYDULDEOHLQ\RXU

64/VWDWHPHQW<RXGRQRWQHHGWRGHILQHWKHYDOXHRIHDFKYDULDEOH

1RWDWLRQ 'HVFULSWLRQ

XVHUBYDULDEOH ,QGLFDWHVDYDULDEOHLQD64/VWDWHPHQWLIWKHYDULDEOHGRHV

QRWH[LVW64/ 3OXVSURPSWVWKHXVHUIRUDYDOXH 64/ 3OXV

GLVFDUGVDQHZYDULDEOHRQFHLWLVXVHG

7KHH[DPSOHRQWKHVOLGHFUHDWHVD64/VWDWHPHQWWRSURPSWWKHXVHUIRUDQHPSOR\HHQXPEHUDW

UXQWLPHDQGGLVSOD\VHPSOR\HHQXPEHUQDPHVDODU\DQGGHSDUWPHQWQXPEHUIRUWKDWHPSOR\HH

:LWKWKHVLQJOHDPSHUVDQGWKHXVHULVSURPSWHGHYHU\WLPHWKHFRPPDQGLVH[H FXWHGLIWKHYDULDEOH

GRHVQRWH[LVW

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJWKH6(79(5,)<&RPPDQG
7RJJOLQJWKHGLVSOD\RIWKHWH[WRID
FRPPDQGEHIRUHDQGDIWHU64/ 3OXV
UHSODFHVVXEVWLWXWLRQYDULDEOHVZLWKYDOXHV
64/!6(79(5,)<21
64/!6(/(&7 HPSQRHQDPHVDOGHSWQR
)520 HPS
:+(5( HPSQR  HPSOR\HHBQXP

(QWHUYDOXHIRUHPSOR\HHBQXP
ROG:+(5(HPSQR  HPSOR\HHBQXP
QHZ:+(5(HPSQR 


 &RS\ULJKW 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG

7KH6(79(5,)<&RPPDQG

7RFRQILUPWKHFKDQJHVLQWKH64/VWDWHPHQWXVHWKH64/ 3OXV6(79(5,)<FRPPDQG6HWWLQJ

6(79(5,)<21IRUFHV64/ 3OXVWRGLVSOD\WKHWH[WRIDFRPPDQGEHIRUHDQGDIWHULWUHSODFHV

VXEVWLWXWLRQYDULDEOHVZLWKYDOXHV

7KHH[DPSOHRQWKHVOLGHGLVSOD\VWKHROGDVZHOODVWKHQHZYDOXHRIWKHFROXPQ(0312

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
&KDUDFWHUDQG'DWH9DOXHV
ZLWK6XEVWLWXWLRQ9DULDEOHV
8VHVLQJOHTXRWDWLRQPDUNVIRUGDWHDQG
FKDUDFWHUYDOXHV
64/!6(/(&7HQDPHGHSWQRVDO 
)520HPS
:+(5(MRE
MREBWLWOH


(QWHUYDOXHIRUMREBWLWOH$1$/<67
(1$0('(37126$/ 

6&277
)25'

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

6SHFLI\LQJ&KDUDFWHUDQG'DWH9DOXHVZLWK6XEVWLWXWLRQ9DULDEOHV

,QD:+(5(FODXVHGDWHDQGFKDUDFWHUYDOXHVPXVWEHHQFORVHGZLWKLQVLQJOHTXRWDWLRQPDUNV7KH

VDPHUXOHDSSOLHVWRWKHVXEVWLWXWLRQYDULDEOHV

7RDYRLGHQWHULQJWKHTXRWDWLRQPDUNVDWUXQWLPHHQFORVHWKHYDULDEOHLQVLQJOHTXRWDWLRQPDUNV

ZLWKLQWKH64/VWDWHPHQWLWVHOI

7KHVOLGHVKRZVDTXHU\WRUHWULHYHWKHHPSOR\HHQDPHGHSDUWPH QWQXPEHUDQGDQQXDOVDODU\RIDOO

HPSOR\HHVEDVHGRQWKHMREWLWOHHQWHUHGDWWKHSURPSWE\WKHXVHU

1RWH<RXFDQDOVRXVHIXQFWLRQVVXFKDV833(5DQG/2:(5ZLWKWKHDPSHUVDQG8VH

833(5
MREBWLWOH
VRWKDWWKHXVHUGRHVQRWKDYHWRHQWHUWKHMREWLWOHLQXSSHUFDVH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
6SHFLI\LQJ&ROXPQ1DPHV
([SUHVVLRQVDQG7H[WDW5XQWLPH
8VHVXEVWLWXWLRQYDULDEOHVWRVXSSOHPHQW
WKHIROORZLQJ
‡ :+(5(FRQGLWLRQ
‡ 25'(5%<FODXVH
‡ &ROXPQH[SUHVVLRQ
‡ 7DEOHQDPH
‡ (QWLUH6(/(&7VWDWHPHQW

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

6SHFLI\LQJ&ROXPQ1DPHV([SUHVVLRQVDQG7H[WDW5XQWLPH

1RWRQO\FDQ\RXXVHWKHVXEVWLWXWLRQYDULDEOHVLQWKH:+(5(FODXVHRID64/VWDWHPHQWEXWDOVR

WKHVHYDULDEOHVFDQEHXVHGWRVXEVWLWXWHFROXPQQDPHVH[SUHVVLRQVRUWH[W

([DPSOH

'LVSOD\WKHHPSOR\HHQXPEHUDQGDQ\RWKHUFROXPQDQGDQ\FRQGLWLRQRIHPSOR\HHV

64/!6(/(&7 HPSQR FROXPQBQDPH


)520 HPS
:+(5( FRQGLWLRQ

(QWHUYDOXHIRUFROXPQBQDPHMRE
(QWHUYDOXHIRUFRQGLWLRQGHSWQR 

(0312-2%

35(6,'(17
0$1$*(5
&/(5.

If you do not enter a value for the substitution variable, you will get an error when you execute the
preceding statement.
,QWURGXFWLRQWR2UDFOH64/DQG3/64/
6SHFLI\LQJ&ROXPQ1DPHV
([SUHVVLRQVDQG7H[WDW5XQWLPH
64/!6(/(&7 HPSQRHQDPHMRE FROXPQBQDPH
)520 HPS
:+(5( FRQGLWLRQ
25'(5%< RUGHUBFROXPQ
(QWHUYDOXHIRUFROXPQBQDPHVDO
(QWHUYDOXHIRUFRQGLWLRQVDO! 
(QWHUYDOXHIRURUGHUBFROXPQHQDPH

(0312(1$0(-2%6$/

)25'$1$/<67
.,1*35(6,'(17
6&277$1$/<67

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

6SHFLI\LQJ&ROXPQ1DPHV([SUHVVLRQVDQG7H[WDW5XQWLPH FRQWLQXHG

7KHVOLGHH[DPSOHGLVSOD\VWKHHPSOR\HHQXPEHUQDPHMREWLWOHDQGDQ\RWKHUFROXPQVSHFLILHGE\

WKHXVHUDWUXQWLPHIURPWKH(03WDEOH7KHXVHUFDQDOVRVSHFLI\WKHFRQGLWLRQIRUUHWULHYDORIURZV

DQGWKHFROXPQQDPHE\ZKLFKWKHUHVXOWDQWGDWDKDVWREHRUGHUHG

&ODVV0DQDJHPHQW1RWH

'HPROH[SUVTO

3XUSRVH7RLOOXVWUDWHFKDQJLQJFROXPQQDPHVDQGFRQGLWLRQVE\XVLQJVXEVWLWXWLRQYDULDEOHV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJWKH 6XEVWLWXWLRQ9DULDEOH
8VHWKHGRXEOHDPSHUVDQG LI\RX
ZDQWWRUHXVHWKHYDULDEOHYDOXHZLWKRXW
SURPSWLQJWKHXVHUHDFKWLPH
64/!6(/(&7 HPSQRHQDPHMRE FROXPQBQDPH
)520 HPS
25'(5%< FROXPQBQDPH

(QWHUYDOXHIRUFROXPQBQDPHGHSWQR
(0312(1$0(-2%'(3712

.,1*35(6,'(17
&/$5.0$1$*(5
0,//(5&/(5.

URZVVHOHFWHG
 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

'RXEOH$PSHUVDQG6XEVWLWXWLRQ9DULDEOH

<RXFDQXVHWKHGRXEOHDPSHUVDQG VXEVWLWXWLRQYDULDEOHLI\RXZDQWWRUHXVHWKHYDULDEOHYDOXH

ZLWKRXWSURPSWLQJWKHXVHUHDFKWLPH7KHXVHUZLOOVHHWKHSURP SWIRUWKHYDOXHRQO\RQFH,QWKH

H[DPSOHRQWKHVOLGHWKHXVHULVDVNHGWRJLYHWKHYDOXHIRUYDULDEOHFROXPQBQDPHRQO\RQFH7KH

YDOXHVXSSOLHGE\WKHXVHU GHSWQR LVXVHGERWKIRUGLVSOD\DQGRUGHULQJRIGDWD

64/ 3OXVVWRUHVWKHYDOXHVXSSOLHGE\XVLQJWKH '(),1(FRPPDQGLWZLOOXVHLWDJDLQZKHQHYHU

\RXUHIHUHQFHWKHYDULDEOHQDPH2QFHDXVHUYDULDEOHLVLQSODFH\RXQHHGWRXVHWKH81'(),1(

FRPPDQGWRGHOHWHLW

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
'HILQLQJ8VHU9DULDEOHV
‡ <RXFDQSUHGHILQHYDULDEOHVXVLQJRQH
RIWZR64/ 3OXVFRPPDQGV
± '(),1(&UHDWHD&+$5GDWDW\SH
XVHUYDULDEOH
± $&&(375HDGXVHULQSXWDQGVWRUHLW
LQDYDULDEOH
‡ ,I\RXQHHGWRSUHGHILQHDYDULDEOHWKDW
LQFOXGHVVSDFHV\RXPXVWHQFORVHWKH
YDOXHZLWKLQVLQJOHTXRWDWLRQPDUNV
ZKHQXVLQJWKH'(),1(FRPPDQG
 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

'HILQLQJ8VHU9DULDEOHV

<RXFDQSUHGHILQHXVHUYDULDEOHVEHIRUHH[HFXWLQJD6(/(&7VWDWHPHQW64/ 3OXVSURYLGHVWZR

FRPPDQGVIRUGHILQLQJDQGVHWWLQJXVHUYDULDEOHV'(),1(DQG$&&(37

&RPPDQG 'HVFULSWLRQ

'(),1(YDULDEOH YDOXH &UHDWHVD&+$5GDWDW\SHXVHUYDULDEOHDQGDVVLJQVD

YDOXHWRLW

'(),1(YDULDEOH 'LVSOD\VWKHYDULDEOHLWVYDOXHDQGLWVGDWDW\SH

'(),1( 'LVSOD\VDOOXVHUYDULDEOHVZLWKYDOXHDQGGDWDW\SH

$&&(37 VHHV\QWD[RQQH[WVOLGH 5HDGVDOLQHRIXVHULQSXWDQGVWRUHVLWLQDYDULDEOH

&ODVV0DQDJHPHQW1RWH

0HQWLRQWKDW64/ 3OXVFRPPDQGVFDQFRQWLQXHRQWRPXOWLSOHOLQHVDQGUHT XLUHWKHFRQWLQXDWLRQ

FKDUDFWHUWKHK\SKHQ

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
7KH$&&(37&RPPDQG

‡ &UHDWHVDFXVWRPL]HGSURPSWZKHQ
DFFHSWLQJXVHULQSXW
‡ ([SOLFLWO\GHILQHVD180%(5RU'$7(
GDWDW\SHYDULDEOH
‡ +LGHVXVHULQSXWIRUVHFXULW\UHDVRQV

$&&(37YDULDEOH>GDWDW\SH@>)250$7IRUPDW@
>352037WH[W@>+,'(@

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

7KH$&&(37&RPPDQG

,QWKHV\QWD[

YDULDEOH LVWKHQDPHRIWKHYDULDEOHWKDWVWRUHVWKHYDOXH ,ILWGRHVQRWH[LVW

64/ 3OXVFUHDWHVLW

GDWDW\SH LV180%(5&+$5RU'$7( &+$5KDVDPD[LPXPOHQJWKOLPLW

RIE\WHV'$7(FKHFNVDJDLQVWDIRUPDWPRGHODQGWKHGDWDW\SHLV

&+$5

)25>0$7@IRUPDW VSHFLILHVWKHIRUPDWPRGHO²IRUH[DPSOH$RU

352037WH[W GLVSOD\VWKHWH[WEHIRUHWKHXVHUFDQHQWHUWKHYDOXH

+,'( VXSSUHVVHVZKDWWKHXVHUHQWHUV²IRUH[DPSOHDSDVVZRUG

Note: Do not prefix the SQL*Plus substitution parameter with the ampersand (&) when referencing
the substitution parameter in the ACCEPT command.

&ODVV0DQDJHPHQW1RWH

'HPROSURPSWVTO

3XUSRVH7RLOOXVWUDWHXVLQJWKH$&&(37DQG352037FRPPDQGV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJWKH$&&(37&RPPDQG

$&&(37 GHSW352037
3URYLGHWKHGHSDUWPHQWQDPH

6(/(&7 
)520 GHSW
:+(5( GQDPH 833(5
GHSW



3URYLGHWKHGHSDUWPHQWQDPH6DOHV

'(3712'1$0(/2&

6$/(6&+,&$*2

 2UDFOH&RUSR UDWLRQ$OOULJKWVUHVHUYH G


&RS\ ULJ KW

8VLQJWKH$ &&(37&RPPDQG

7KH$&&(37FRPPDQGUHDGVLQDYDULDEOHQDPHG'(377KHSURPSWWKDWLWGLVSOD\VZKHQDVNLQJ

WKHXVHUIRUWKHYDULDEOHLV3URYLGHWKHGHSDUWPHQWQDPH7KH6(/(&7VWDWHPHQWWKHQWDNHVWKH

GHSDUWPHQWYDOXHWKDWWKHXVHUHQWHUVDQGXVHVLWWRUHWULHYHWKHDSSURSULDWHURZIURPWKH'(37

WDEOH

,IWKHXVHUHQWHUVDYDOLGYDOXHIRUGHSDUWPHQWQDPHWKH6(/(&7VWDWHPHQWH[HFXWHVLQWKHVDPH

ZD\DVDQ\RWKHU6(/(&7VWDWHPHQWWDNLQJWKHXVHUHQWHUHGYDOXHDQGXVLQJLWLQWKH:+(5(

FODXVHWRFRPSDUHZLWK'1$0(

1RWHWKDWWKH FKDUDFWHUGRHVQRWDSSHDUZLWKWKH'(37YDULDEOHLQWKH$&&(37FRPPDQG7KH

DSSHDUVRQO\LQWKH6(/(&7VWDWHPHQW

*XLGHOLQHV

‡ 7KH$&&(37DQG'(),1(FRPPDQGVZLOOFUHDWHDYDULDEOHLIWKHYDULDEOHGRHVQRWH[LVW

WKHVHFRPPDQGVZLOODXWRPDWLFDOO\UHGHILQHDYDULDEOHLILWH[LVWV

‡ :KHQXVLQJWKH'(),1(FRPPDQGXVHVLQJOHTXRWDWLRQPDUNV

WRHQFORVHDVWULQJWKDW
FRQWDLQVDQHPEHGGHGVSDFH

‡ 8VHWKH$&&(37FRPPDQGWR

± *LYHDFXVWRPL]HGSURPSWZKHQDFFHSWLQJXVHULQSXWRWKHUZLVH\RXZLOOVHHWKH

GHIDXOW³(QWHUYDOXHIRUYDULDEOH´

± ([SOLFLWO\GHILQHD180%(5RU'$7(GDWDW\SHYDULDEOH

± +LGHXVHULQSXWIRUVHFXULW\UHDVRQV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
'(),1(DQG81'(),1(&RPPDQGV
‡ $YDULDEOHUHPDLQVGHILQHGXQWLO\RXHLWKHU
± 8VHWKH81'(),1(FRPPDQGWRFOHDULW
± ([LW64/ 3OXV
‡ <RXFDQYHULI\\RXUFKDQJHVZLWKWKH
'(),1(FRPPDQG
‡ 7RGHILQHYDULDEOHVIRUHYHU\VHVVLRQ
PRGLI\\RXUORJLQVTOILOHVRWKDWWKH
YDULDEOHVDUHFUHDWHGDWVWDUWXS

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

7KH'(),1(DQG81'(),1(&RPPDQGV

9DULDEOHVDUHGHILQHGXQWLO\RXHLWKHU

‡ ,VVXHWKH81'(),1(FRPPDQGRQDYDULDEOH

‡ ([LW64/ 3OXV

:KHQ\RXXQGHILQHYDULDEOHV\RXFDQYHULI\\RXUFKDQJHVZLWKWKH'(),1(FRPPDQG:KHQ\RX

H[LW64/ 3OXVYDULDEOHVGHILQHGGXULQJWKDWVHVVLRQDUHORVW7RGHILQHWKRVHYDULDEOHVIRUHYHU\

VHVVLRQPRGLI\\RXUORJLQVTOILOHVRWKDWWKRVHYDULDEOHVDUHFUHDWHGDWVWDUWXS

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJWKH'(),1(&RPPDQG
‡ &UHDWHDYDULDEOHWRKROGWKHGHSDUWPHQW
QDPH
64/!'(),1(GHSWQDPH VDOHV
64/!'(),1(GHSWQDPH

'(),1('(371$0( VDOHV &+$5 

‡ 8VHWKHYDULDEOHDV\RXZRXOGDQ\RWKHU
YDULDEOH
64/!6(/(&7 
)520GHSW
:+(5(GQDPH 833(5
GHSWQDPH


 2UDFOH&RUSR UDWLRQ$OOULJKWVUHVHUYH G


&RS\ ULJ KW

8VLQJWKH'(),1(&RPPDQG

<RXFDQXVHWKH'(),1(FRPPDQGWRFUHDWHDYDULDEOHDQGWKHQXVHWKHYDULDEOHDV\RXZRXOGDQ\

RWKHUYDULDEOH7KHH[DPSOHRQWKHVOLGHFUHDWHVDYDULDEOH '(371$0(WKDWFRQWDLQVWKH

GHSDUWPHQWQDPH6$/(67KH64/VWDWH PHQWWKHQXVHVWKLVYDULDEOHWRGLVSOD\WKHQXPEHUDQG

ORFDWLRQRIWKHVDOHVGHSDUWPHQW

'(3712 '1$0( /2&


  
 6$/(6 &+,&$*2
7RHUDVHWKHYDULDEOH\RXXVHWKH81'(),1(FRPPDQG

64/!81'(),1(GHSWQDPH
64/!'(),1(GHSWQDPH
V\PEROGHSWQDPHLV81'(),1('

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
&XVWRPL]LQJWKH64/ 3OXV
(QYLURQPHQW
‡ 8VH6(7FRPPDQGVWRFRQWUROFXUUHQW
VHVVLRQ
6(7V\VWHPBYDULDEOHYDOXH

‡ 9HULI\ZKDW\RXKDYHVHWE\XVLQJWKH
6+2:FRPPDQG
64/!6(7(&+221

64/!6+2:(&+2
HFKR21

 2UDFOH&RUSR UDWLRQ$OOULJKWVUHVHUYH G


&RS\ ULJ KW

&XVWRPL]LQJWKH64/ 3OXV(QYLURQPHQW

<RXFDQFRQWUROWKHHQYLURQPHQWLQZKLFK64/ 3OXVLVFXUUHQWO\RSHUDWLQJE\XVLQJWKH6(7

FRPPDQGV

,QWKHV\QWD[

V\VWHPBYDULDEOH LVDYDULDEOHWKDWFRQWUROVRQHDVSHFWRIWKHVHVVLRQHQYLURQPHQW

YDOXH LVDYDOXHIRUWKHV\VWHPYDULDEOH

<RXFDQYHULI\ZKDW\RXKDYHVHWE\XVLQJWKH6+2:FRPPDQG7KH6+2:FRPPDQGRQWKH

VOLGHFKHFNVZKHWKHU(&+2KDGEHHQVHWRQRURII

7RVHHDOO6(7YDULDEOHYDOXHVXVHWKH6+2:$//FRPPDQG

)RUPRUHLQIRUPDWLRQVHH

64/ 3OXV8VHU¶V*XLGHDQG5HIHUHQFH5HOHDVH³&RPPDQG5HIHUHQFH´

&ODVV0DQDJHPHQW1RWH

6HH64/ 3OXV8VHU¶V*XLGHDQG5HIHUHQFH5HOHDVH$SSHQGL[%IRUDFRPSOHWHOLVWRIUHOHDVH

HQKDQFHPHQWV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
6(7&RPPDQG9DULDEOHV
‡ $55$<6,=(^_Q`
‡ &2/6(3^B_WH[W`
‡ )(('%$&. ^_Q_2))_21`
‡ +($',1*^2))_21`
‡ /,1(6,=(^_Q`
‡ /21*^_Q`
‡ 3$*(6,=(^_Q`
‡ 3$86(^2))_21_WH[W`
‡ 7(50287^2))_21`
 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

6(7&RPPDQG9DULDEOHV

6(79DULDEOHDQG9DOXHV 'HVFULSWLRQ

$55$<>6,=(@^_Q` 6HWVWKHGDWDEDVHGDWDIHWFKVL]H

&2/6(3^B_WH[W` 6HWVWH[WWREHSULQWHGEHWZHHQFROXPQV 7KHGHIDXOWLVVLQJOH

VSDFH

)(('>%$&.@^_Q_2))_21` 'LVSOD\VWKHQXPEHURIUHFRUGVUHWXUQHGE\DTXHU\ZKHQWKH

TXHU\VHOHFWVDWOHDVWQUHFRUGV

+($>',1*@^2))_21` 'HWHUPLQHVZKHWKHUFROXPQKHDGLQJVDUHGLVSOD\HGLQUHSRUWV

/,1>(6,=(@^_Q` 6HWVWKHQXPEHURIFKDUDFWHUVSHUOLQHWRQIRUUHSRUWV

/21*^_Q` 6HWVWKHPD[LPXPZLGWKIRUGLVSOD\LQJ/21*YDOXHV

3$*(6>,=(@^_Q` 6SHFLILHVWKHQXPEHURIOLQHVSHUSDJHRIRXWSXW

3$8>6(@^2))_21_WH[W` $OORZV\RXWRFRQWUROVFUROOLQJRI\RXUWHUPLQDO <RXPXVW

SUHVV>5HWXUQ@DIWHUVHHLQJHDFKSDXVH

7(50>287@^2))_21` 'HWHUPLQHVZKHWKHURXWSXWLVGLVSOD\HGRQVFUHHQ

1RWH7KHYDOXHQUHSUHVHQWVDQXPHULFYDOXH7KHXQGHUOLQHGYDOXHVLQGLFDWHGHIDXOWYDOXHV,I\RX

HQWHUQRYDOXHZLWKWKHYDULDEOH64/ 3OXVDVVXPHVWKHGHIDXOWYDOXH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
6DYLQJ&XVWRPL]DWLRQV
LQWKHORJLQVTO)LOH

‡ 7KHORJLQVTOILOHFRQWDLQVVWDQGDUG6(7
DQGRWKHU64/ 3OXVFRPPDQGVWKDWDUH
LPSOHPHQWHGDWORJLQ
‡ <RXFDQPRGLI\ORJLQVTOWRFRQWDLQ
DGGLWLRQDO6(7FRPPDQGV

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

'HIDXOW6HWWLQJV8VLQJWKHORJLQVTO)LOH

7KHORJLQVTOILOHFRQWDLQVVWDQGDUG6(7DQGRWKHU64/ 3OXVFRPPDQGVWKDW\RXPD\UHTXLUHIRU

HYHU\VHVVLRQ7KHILOHLVUHDGDQGFRPPDQGVDUHLPSOHPHQWHGDWORJLQ:KHQ\RXORJRXWRI\RXU

VHVVLRQDOOFXVWRPL]HGVHWWLQJVDUHORVW

&KDQJLQJWKH'HIDXOW6HWWLQJV

7KHVHWWLQJVLPSOHPHQWHGE\ORJLQVTOFDQEHFKDQJHGGXULQJWKHFXUUHQWVHVVLRQ&KDQJHVPDGHDUH

FXUUHQWRQO\IRUWKDWVHVVLRQ$VVRRQDV\RXORJRXWWKRVHVHWWLQJVDUHORVW

$GGSHUPDQHQWFKDQJHVWRVHWWLQJVWRWKHORJLQVTOILOH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
64/ 3OXV)RUPDW&RPPDQGV

‡ &2/801>FROXPQRSWLRQ@
‡ 77,7/(>WH[W_2))_21@
‡ %7,7/(>WH[W_2))_21@
‡ %5($.>21UHSRUWBHOHPHQW@

 2UDFOH&RUSR UDWLRQ$OOULJKWVUHVHUYH G


&RS\ ULJ KW

2EWDLQLQJ0RUH5HDGDEOH5HSRUWV

<RXFDQFRQWUROWKHUHSRUWIHDWXUHVE\XVLQJWKHIROORZLQJFRPPDQGV

&RPPDQG 'HVFULSWLRQ

&2/>801@>FROXPQRSWLRQ@ &RQWUROVFROXPQIRUPDWV

77,>7/(@>WH[W_2))_21@ 6SHFLILHVDKHDGHUWRDSSHDUDWWKHWRSRIHDFKSDJH

%7,>7/(@>WH[W_2))_21@ 6SHFLILHV D IRRWHU WR DSSHDU DW WKH ERWWRP RI HDFK SDJH RI

WKHUHSRUW

%5(>$.@>21UHSRUWBHOHPHQW@ 6XSSUHVVHV GXSOLFDWH YDOXHV DQG VHFWLRQV URZV RI GDWD ZLWK

OLQHIHHGV

*XLGHOLQHV

‡ $OOIRUPDWFRPPDQGVUHPDLQLQHIIHFWXQWLOWKHHQGRIWKH64/ 3OXVVHVVLRQRUXQWLOWKHIRUPDW

VHWWLQJLVRYHUZULWWHQRUFOHDUHG

‡ 5HPHPEHUWRUHVHW\RXU64/ 3OXVVHWWLQJVWRGHIDXOWYDOXHVDIWHUHYHU\UHSRUW

‡ 7KHUHLVQRFRPPDQGIRUVHWWLQJD64/ 3OXVYDULDEOHWRLWVGHIDXOWYDOXH\RXPXVWNQRZWKH

VSHFLILFYDOXHRUORJRXWDQGORJLQDJDLQ

‡ ,I\RXJLYHDQDOLDVWR\RXUFROXPQ\RXPXVWUHIHUHQFHWKHDOLDVQDPHQRWWKHFROXPQQDPH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
7KH&2/801&RPPDQG
&RQWUROVGLVSOD\RIDFROXPQ
&2/>801@>^FROXPQ_DOLDV`>RSWLRQ@@

‡ &/(>$5@&OHDUVDQ\FROXPQIRUPDWV
‡ )25>0$7@IRUPDW&KDQJHVWKHGLVSOD\
RIWKHFROXPQXVLQJDIRUPDWPRGHO
‡ +($>',1*@WH[W6HWVWKHFROXPQ
KHDGLQJ
‡ -86>7,)<@^DOLJQ`$OLJQVWKHFROXPQ
KHDGLQJWREHOHIWFHQWHURUULJKW
 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

&2/801&RPPDQG2SWLRQV

2SWLRQ 'HVFULSWLRQ

&/(>$5@ &OHDUVDQ\FROXPQIRUPDWV

)25>0$7@IRUPDW &KDQJHVWKHGLVSOD\RIWKHFROXPQGDWD

+($>',1*@WH[W 6HWVWKHFROXPQKHDGLQJ $ YHUWLFDOOLQH _ ZLOOIRUFHDOLQH IHHG LQ

WKHKHDGLQJLI\RXGRQRWXVHMXVWLILFDWLRQ

-86>7,)<@^DOLJQ` -XVWLILHVWKHFROXPQKHDGLQJ QRWWKHGDWD WREHOHIWFHQWHURUULJKW

1235,>17@ +LGHVWKHFROXPQ

18/>/@WH[W 6SHFLILHVWH[WWREHGLVSOD\HGIRUQXOOYDOXHV

35,>17@ 6KRZVWKHFROXPQ

758>1&$7('@ 7UXQFDWHVWKHVWULQJDWWKHHQGRIWKHILUVWOLQHRIG LVSOD\

:5$>33('@ :UDSVWKHHQGRIWKHVWULQJWRWKHQH[WOLQH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJWKH&2/801&RPPDQG
‡ &UHDWHFROXPQKHDGLQJV
&2/801HQDPH+($',1*
(PSOR\HH_1DPH
)250$7$
&2/801VDO-867,)</()7)250$7
&2/801PJU)250$718//
1RPDQDJHU

‡ 'LVSOD\WKHFXUUHQWVHWWLQJIRUWKH(1$0(
FROXPQ
&2/801HQDPH

‡ &OHDUVHWWLQJVIRUWKH(1$0(FROXPQ
&2/801HQDPH&/($5

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

'LVSOD\LQJRU&OHDULQJ6HWWLQJV

7RVKRZRUFOHDUWKHFXUUHQW&2/801FRPPDQGVHWWLQJVXVHWKHIROORZLQJFRPPDQGV

&RPPDQG 'HVFULSWLRQ

&2/>801@FROXPQ 'LVSOD\VWKHFXUUHQWVHWWLQJVIRUWKHVSHFLILHGFROXPQ

&2/>801@ 'LVSOD\VWKHFXUUHQWVHWWLQJVIRUDOOFROXPQV

&2/>801@FROXPQ&/(>$5@ &OHDUVWKHVHWWLQJVIRUWKHVSHFLILHGFROXPQ

&/(>$5@&2/>801@ &OHDUVWKHVHWWLQJVIRUDOOFROXPQV

,I\RXKDYHDOHQJWK\FRPPDQG\RXFDQFRQWLQXHLWRQWKHQH[WOLQHE\HQGLQJWKHFXUUHQWOLQHZLWKD

K\SKHQ  

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
&2/801)RUPDW0RGHOV

(OHPHQW 'HVFULSWLRQ ([DPSOH 5HVXOW

$ Q 6HWVDGLVSOD\ZLGWKRI Q 1$ 1$

 6LQJOH]HURVXSSUHVVLRQ  

GLJLW

 (QIRUFHVOHDGLQJ]HUR  

 )ORDWLQJGROODUVLJQ  

/ /RFDOFXUUHQF\ / /

 3RVLWLRQRIGHFLPDOSRLQW  

 7KRXVDQGVHSDUDWRU  

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

&2/801)RUPDW0RGHOV

7KHVOLGHGLVSOD\VVDPSOH&2/801IRUPDWPRGHOV

7KH2UDFOH6HUYHUGLVSOD\VDVWULQJRISRXQGVLJQV  LQSODFHRIDZKROHQXPEHUZKRVHGLJLWV

H[FHHGWKHQXPEHURIGLJLWVSURYLGHGLQWKHIRUPDWPRGHO,WDOVRGLVSOD\VSRXQGVLJQVLQSODFHRID

YDOXHZKRVHIRUPDWPRGHOLVDOSKDQXPHULFEXWZKRVHDFWXDOYDOXHLVQXPHULF

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJWKH%5($.&RPPDQG

6XSSUHVVHVGXSOLFDWHVDQGVHFWLRQVURZV
‡ 7RVXSSUHVVGXSOLFDWHV
64/!%5($.21HQDPH21MRE

‡ 7RVHFWLRQRXWURZVDWEUHDNYDOXHV
64/!%5($.21HQDPH6.,321MRE6.,3

 2UDFOH&RUSR UDWLRQ$OOULJKWVUHVHUYH G


&RS\ ULJ KW

7KH%5($.&RPPDQG

8VHWKH%5($.FRPPDQGWRVHFWLRQRXWURZVDQGVXSSUHVVGXSOLFDWHYDOXHV7RHQVXUHWKDWWKH

%5($.FRPPDQGZRUNVHIIHFWLYHO\XVHWKH25'(5%<FODXVHWRRUGHUWKHFROXPQVWKDW\RXDUH

EUHDNLQJRQ

6\QWD[

%5($.RQFROXPQ>_DOLDV_URZ@>VNLSQ_GXS_SDJH@RQ>RQUHSRUW@
ZKHUH  SDJH  WKURZVDQHZSDJHZKHQWKHEUHDNYDOXHFKDQJHV

VNLSQ VNLSVQQXPEHURIOLQHVZKHQWKHEUHDNYDOXHFKDQJHV

%UHDNVFDQEHDFWLYHRQ

±&ROXPQ

±5RZ

±3DJH

±5HSRUW

GXSOLFDWH GLVSOD\VGXSOLFDWHYDOXHV

&OHDUDOO%5($.VHWWLQJVE\XVLQJWKH&/($5FRPPDQG

&/($5%5($.

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJWKH77,7/(DQG%7,7/(
&RPPDQGV
'LVSOD\KHDGHUVDQGIRRWHUV
77,>7/(@>WH[W_2))_21@

‡ 6HWWKHUHSRUWKHDGHU
64/!77,7/(
6DODU\_5HSRUW

‡ 6HWWKHUHSRUWIRRWHU
64/!%7,7/(
&RQILGHQWLDO

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

7KH77,7/(DQG%7,7/(&RPPDQGV

8VHWKH77,7/(FRPPDQGWRIRUPDWSDJHKHDGHUVDQGWKH%7,7/(FRPPDQGIRUIRRWHUV)RRWHUV

DSSHDUDWWKHERWWRPRIWKHSDJHDFFRUGLQJWRWKH3$ *(6,=(YDOXH

7KHV\QWD[IRU%7,7/(DQG77,7/(LVLGHQWLFDO2QO\WKHV\QWD[IRU77,7/(LVVKRZQ<RXFDQXVH

WKHYHUWLFDOEDU _ WRVSOLWWKHWH[WRIWKHWLWOHDFURVVVHYHUDOOLQHV

,QWKHV\QWD[

WH[W UHSUHVHQWVWKHWLWOHWH[W (QWHUVLQJOHTXRWHVLIWKHWH[WLVPRUHWKDQRQH

ZRUG

7KH77,7/(H[DPSOHRQWKHVOLGHVHWVWKHUHSRUWKHDGHUWRGLVSOD\6DODU\FHQWHUHGRQRQHOLQHDQG

5HSRUWFHQWHUHGEHORZLW7KH%7,7/(H[DPSOHVHWVWKHUHSRUWIRRWHUWRGLVSOD\&RQILGHQWLDO

77,7/(DXWRPDWLFDOO\SXWVGDWHDQGSDJHQXPEHURQWKHUHSRUW

1RWH7KHVOLGHJLYHVDQDEULGJHGV\QWD[IRU77,7/(DQG%7,7/(9DULRXVRSWLRQVIRU77,7/(DQG

%7,7/(DUHFRYHUHGLQDQRWKHU64/FRXUVH

&ODVV0DQDJHPHQW1RWH

64/ 3OXVLQWURGXFHGWKHFRPPDQGV5(3+($'(5DQG5(3)227(55(3+($'(5SODFHVDQG

IRUPDWVDVSHFLILHGUHSRUWKHDGHUDWWKHWRSRIHDFKUHSRUWRUOLVWVWKHFXUUHQW5(3+($'(5

GHILQLWLRQ5(3)227(5SODFHVDQGIRUPDWVDVSHFLILHGUHSRUWIRRWHUDWWKHERWWRPRIHDFKUHSRUWRU

OLVWVWKHFXUUHQW5(3)227(5GHILQLWLRQ

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
&UHDWLQJD6FULSW)LOH
WR5XQD5HSRUW
&UHDWHWKH64/6(/(&7VWDWHPHQW
 6DYHWKH6(/(&7VWDWHPHQWWRDVFULSW
ILOH
 /RDGWKHVFULSWILOHLQWRDQHGLWRU
 $GGIRUPDWWLQJFRPPDQGVEHIRUHWKH
6(/(&7VWDWHPHQW
 9HULI\WKDWWKHWHUPLQDWLRQFKDUDFWHU
IROORZVWKH6(/(&7VWDWHPHQW

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

&UHDWLQJD6FULSW)LOHWR5XQD5HSRUW

<RXFDQHLWKHUHQWHUHDFKRIWKH64/ 3OXVFRPPDQGVDWWKH64/SURPSWRUSXWDOOWKHFRPPDQGV

LQFOXGLQJWKH6(/(&7VWDWHPHQWLQDFRPPDQG RUVFULSW ILOH$W\SLFDOVFULSWFRQVLVWVRIDWOHDVW

RQH6(/(&7VWDWHPHQWDQGVHYHUDO64/ 3OXVFRPPDQGV

+RZWR&UHDWHD6FULSW)LOH

 &UHDWHWKH64/6(/(&7VWDWHPHQWDWWKH64/SURPSW(QVXUHWKDWWKHGDWDUHTXLUHGIRUWKH

UHSRUWLVDFFXUDWHEHIRUH\RXVDYHWKHVWDWHPHQWWRDILOHDQGDSSO\IRUPDWWLQJFRPPDQGV

(QVXUHWKDWWKHUHOHYDQW25'(5%<FODXVHLVLQFOXGHGLI\RXLQWHQGWRXVHEUHDNV

 6DYHWKH6(/(&7VWDWHPHQWWRDVFULSWILOH

 (GLWWKHVFULSWILOHWRHQWHUWKH64/ 3OXVFRPPDQGV

 $GGWKHUHTXLUHGIRUPDWWLQJFRPPDQGVEHIRUHWKH6(/(&7VWDWHPHQW%HFHUWDLQQRWWRSODFH

64/ 3OXVFRPPDQGVZLWKLQWKH6(/(&7VWDWHPHQW

 9HULI\WKDWWKH6(/(&7VWDWHPHQWLVIROORZHGE\DUXQFKDUDFWHUHLWKHUDVHPLFRORQ  RUD

VODVK  

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
&UHDWLQJD6FULSW)LOH
WR5XQD5HSRUW
 &OHDUIRUPDWWLQJFRPPDQGVDIWHUWKH
6(/(&7VWDWHPHQW
 6DYHWKHVFULSWILOH
 (QWHU³67$57ILOHQDPH´WRUXQWKH
VFULSW

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

+RZWR&UHDWHD6FULSW)LOH FRQWLQXHG

 $GGWKHIRUPDWFOHDULQJ64/ 3OXVFRPPDQGVDIWHUWKHUXQFKDUDFWHU$VDQDOWHUQDWLYH\RX

FDQFDOODUHVHWILOHWKDWFRQWDLQVDOOWKHIRUPDWFOHDULQJFRPPDQGV

 6DYHWKHVFULSWILOHZLWK\RXUFKDQJHV

 ,Q64/ 3OXVUXQWKHVFULSWILOHE\HQWHULQJ67$57ILOHQDPHRU#ILOHQDPH7KLVFRPPDQGLV

UHTXLUHGWRUHDGDQGH[HFXWHWKHVFULSWILOH

*XLGHOLQHV

‡ <RXFDQLQFOXGHEODQNOLQHVEHWZHHQ64/ 3OXVFRPPDQGVLQDVFULSW

‡ <RXFDQDEEUHYLDWH64/ 3OXVFRPPDQGV

‡ ,QFOXGHUHVHWFRPPDQGVDWWKHHQGRIWKHILOHWRUHVWRUHWKHRULJLQ DO64/ 3OXVHQYLURQPHQW

5(0UHSUHVHQWVDUHPDUNRUFRPPHQWLQ64/ 3OXV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
6DPSOH5HSRUW
)UL2FWSDJH

(PSOR\HH

5HSRUW

-RE

&DWHJRU\(PSOR\HH6DODU\



&/(5. $'$06

 -$0(6

 0, //(5

 60, 7+

0$1$*(5 %/$.(

 &/$5.

-21(6

6$/(60$1 $//(1

 0$57, 1

 7851(5

 :$5'

&RQILGHQWLDO

 &RS\ULJKW 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG

([DPSOH

&UHDWHDVFULSWILOHWRFUHDWHDUHSRUWWKDWGL VSOD\VWKHMREWLWOHQDPHDQGVDODU\IRUHYHU\HPSOR\HH

ZKRVHVDODU\LVOHVVWKDQ$GGDFHQWHUHGWZROLQHGKHDGHUWKDWUHDGV(PSOR\HH5HSRUWDQGD

FHQWHUHGIRRWHUWKDWUHDGV&RQILGHQWLDO5HQDPHWKHMREWLWOHFROXPQWRUHDG-RE&DWHJRU\VSOLWRYHU

WZROLQHV5HQDPHWKHHPSOR\HHQDPHFROXPQWRUHDG(PSOR\HH5HQDPHWKHVDODU\FROXPQWRUHDG

6DODU\DQGIRUPDWLWDV

6(73$*(6,=(
6(7/,1(6,=(
6(7)(('%$&.2))
77,7/(
(PSOR\HH_5HSRUW

%7,7/(
&RQILGHQWLDO

%5($.21MRE
&2/801MRE+($',1*
-RE_&DWHJRU\
)250$7$
&2/801HQDPH+($',1*
(PSOR\HH
)250$7$
&2/801VDO+($',1*
6DODU\
)250$7
5(0 ,QVHUW6(/(&7VWDWHPHQW
6(/(&7 MREHQDPHVDO
)520  HPS
:+(5(  VDO
25'(5%< MREHQDPH

6(7)(('%$&.21
5(0FOHDUDOOIRUPDWWLQJFRPPDQGV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
6XPPDU\
‡ 8VH64/ 3OXVVXEVWLWXWLRQYDULDEOHVWR
WHPSRUDULO\VWRUHYDOXHV
‡ 8VH6(7FRPPDQGVWRFRQWUROFXUUHQW
64/ 3OXVHQYLURQPHQW
‡ 8VHWKH&2/801FRPPDQGWRFRQWURO
WKHGLVSOD\RIDFROXPQ
‡ 8VHWKH%5($.FRPPDQGWRVXSSUHVV
GXSOLFDWHVDQGVHFWLRQURZV
‡ 8VH77,7/(DQG%7,7/(WRGLVSOD\
KHDGHUVDQGIRRWHUV
 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

6XPPDU\

6XEVWLWXWLRQYDULDEOHVDUHXVHIXOIRUUXQQLQJUHSRUWV7KH\DOORZIOH[LELOLW\WRUHSODFHYDOXHVLQD

:+(5(FODXVHFROXPQQDPHVDQGH[SUHVVLRQV<RXFDQFXVWRPL]HUHSRUWVE\ZULWLQJVFULSWI LOHV

ZLWK

‡ 6LQJOHDPSHUVDQGVXEVWLWXWLRQYDULDEOHV

‡ 7KH$&&(37FRPPDQG

‡ 7KH'(),1(FRPPDQG

‡ 7KH81'(),1(FRPPDQG

‡ 6XEVWLWXWLRQYDULDEOHVLQWKHFRPPDQGOLQH

<RXFDQFUHDWHDPRUHUHDGDEOHUHSRUWE\XVLQJWKHIROORZLQJFRPPDQGV

‡ &2/801

‡ 77,7/(

‡ %7,7/(

‡ %5($.

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH2YHUYLHZ

‡ &UHDWLQJDTXHU\WRGLVSOD\YDOXHVXVLQJ
VXEVWLWXWLRQYDULDEOHV
‡ 6WDUWLQJDFRPPDQGILOHFRQWDLQLQJ
YDULDEOHV
‡ 8VLQJWKH$&&(37FRPPDQG

 2UDFOH&RUSR UDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

3UDFWLFH2YHUYLHZ

7KLVSUDFWLFHJLYHV\RXWKHRSSRUWXQLW\WRFUHDWHILOHVWKDWFDQEHUXQLQWHUDFWLYHO\E\XVLQJ

VXEVWLWXWLRQYDULDEOHVWRFUHDWHUXQWLPHVHOHFWLRQFULWHULD

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH

'HWHUPLQHZKHWKHUWKHIROORZLQJVWDWHPHQWVDUHWUXHRUIDOVH

 $VLQJOHDPSHUVDQGVXEVWLWXWLRQYDULDEOHSURPSWVDWPRVWRQFH

7UXH)DOVH

 7KH$&&(37FRPPDQGLVD64/FRPPDQG

7UXH)DOVH

 :ULWHDVFULSWILOHWRGLVSOD\WKHHPSOR\HHQDPHMREDQGKLUHGDWHIRUDOOHPSOR\HHVZKR

VWDUWHGEHWZHHQDJLYHQUDQJH&RQFDWHQDWHWKHQDPHDQGMREWRJHWKHUVHSDUDWHGE\DVSDFH

DQGFRPPDDQGODEHOWKHFROXPQ(PSOR\HHV3URPSWWKHXVHUIRUWKHWZRUDQJHVXVLQJWKH

$&&(37FRPPDQG8VHWKHIRUPDW00''<<6DYHWKHVFULSWILOHDVSTVTO

3OHDVHHQWHUWKHORZGDWHUDQJH
00''<<

3OHDVHHQWHUWKHKLJKGDWHUDQJH
00''<<

(03/2<((6+,5('$7(

.,1*35(6,'(17129
%/$.(0$1$*(50$<
&/$5.0$1$*(5-81
-21(60$1$*(5$35
0$57,16$/(60$16(3
$//(16$/(60$1)(%
7851(56$/(60$16(3
-$0(6&/(5.'(&
:$5'6$/(60$1)(%
)25'$1$/<67'(&
URZVVHOHFWHG

 :ULWHDVFULSWWRGLVSOD\WKHHPSOR\HHQDPHMREDQGGHSDUWPHQWQDPHIRUDJLYHQOR FDWLRQ

7KHVHDUFKFRQGLWLRQVKRXOGDOORZIRUFDVHLQVHQVLWLYHVHDUFKHVRIWKHGHSDUWPHQ WORFDWLRQ

6DYHWKHVFULSWILOHDVSTVTO

3OHDVHHQWHUWKHORFDWLRQQDPH'DOODV
(03/2<((1$0(-2%'(3$570(171$0(

-21(60$1$*(55(6($5&+
)25'$1$/<675(6($5&+
60,7+&/(5.5(6($5&+
6&277$1$/<675(6($5&+
$'$06&/(5.5(6($5&+

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH FRQWLQXHG

 0RGLI\STVTOWRFUHDWHDUHSRUWFRQWDLQLQJWKHGHSDUWPHQWQDPHHPSOR\HHQDPHKLUH

GDWHVDODU\DQGHDFKHPSOR\HH ¶VDQQXDOVDODU\IRUDOOHPSOR\HHVLQDJLYHQORFDWLRQ3URPSW

WKHXVHUIRUWKHORFDWLRQ/DEHOWKHFROXPQV'(3$570(171$0((03/2<((1$0(

67$57'$7(6$/$5<DQG$118$/6$/$5<SODFLQJWKHODEHOVRQPXOWLSOHOLQHV

5HVDYHWKHVFULSWDVSTVTO

3OHDVHHQWHUWKHORFDWLRQQDPH&KLFDJR
'(3$570(17(03/2<((67$57$118$/
1$0(1$0('$7(6$/$5<6$/$5<

6$/(6 %/$.(0$<
0$57,16(3
$//(1)(%
7851(56(3
-$0(6'(&
:$5')(%

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
,QWURGXFWLRQWR2UDFOH64/DQG3/64/

0DQLSXODWLQJ'DWD

2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

6FKHGXOH 7LPLQJ 7RSLF

PLQXWHV /HFWXUH

PLQXWHV 3UDFWLFH

PLQXWHV 7RWDO
2EMHFWLYHV

$IWHUFRPSOHWLQJWKLVOHVVRQ\RXVKRXOG
EHDEOHWRGRWKHIROORZLQJ
‡ 'HVFULEHHDFK'0/VWDWHPHQW
‡ ,QVHUWURZVLQWRDWDEOH
‡ 8SGDWHURZVLQDWDEOH
‡ 'HOHWHURZVIURPDWDEOH
‡ &RQWUROWUDQVDFWLRQV

 2UDFOH&RUSR UDWLRQ$OOULJKWVUHVHUYH G


&RS\ ULJ KW

/HVVRQ$LP

,QWKLVOHVVRQ\RXZLOOOHDUQKRZWRLQVHUWURZVLQWRDWDEOHXSGDWHH[LVWLQJURZVLQD

WDEOHDQGGHOHWHH[LVWLQJURZVIURPDWDEOH<RXZLOODOVROHDUQKRZWRFRQWURO

WUDQVDFWLRQVZLWKWKH&200,76$9(32,17DQG52//%$&.VWDWHPHQWV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
'DWD0DQLSXODWLRQ/DQJXDJH

‡ $'0/VWDWHPHQWLVH[HFXWHGZKHQ\RX
± $GGQHZURZVWRDWDEOH
± 0RGLI\H[LVWLQJURZVLQDWDEOH
± 5HPRYHH[LVWLQJURZVIURPDWDEOH
‡ $WUDQVDFWLRQFRQVLVWVRIDFROOHFWLRQRI
'0/VWDWHPHQWVWKDWIRUPDORJLFDOXQLW
RIZRUN

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

'DWD0DQLSXODWLRQ/DQJXDJH

'DWDPDQLSXODWLRQODQJXDJH '0/ LVDFRUHSDUWRI64/:KHQ\RXZDQWWRDGGXSGDWHRUGHOHWH

GDWDLQWKHGDWDEDVH\RXH[HFXWHD'0/VWDWHPHQW$FROOHFWLRQRI'0/VWDWHPHQWVWKDWIRUPD

ORJLFDOXQLWRIZRUNLVFDOOHGDWUDQVDFWLRQ

&RQVLGHUDEDQNLQJGDWDEDVH:KHQDEDQN FXVWRPHUWUDQVIHUVPRQH\IURPDVDYLQJVDFFRXQWWRD

FKHFNLQJDFFRXQWWKHWUDQVDFWLRQPLJKWFRQVL VWRIWKUHHVHSDUDWHRSHUDWLRQVGHFUHDVHWKHVDYLQJV

DFFRXQWLQFUHDVHWKHFKHFNLQJDFFRXQWDQGUHFRUGWKHWUDQVDFWLRQLQWKHWUDQVDFW LRQMRXUQDO7KH

2UDFOH6HUYHUPXVWJXDUDQWHHWKDWDOOWKUHH64/VWDWH PHQWVDUHSHUIRUPHGWRPDLQWDLQWKHDFFRXQWVLQ

SURSHUEDODQFH:KHQVRPHWKLQJSUHYHQWVRQHRIWKHVWDWHPHQWVLQWKHWUDQVDFWLRQIURPH[HFXWLQJWKH

RWKHUVWDWHPHQWVRIWKHWUDQVDFWLRQPXVWEHXQGRQH

&ODVV0DQDJHPHQW1RWH

'0/VWDWHPHQWVFDQEHLVVXHGGLUHFWO\LQ64/ 3OXVSHUIRUPHGDXWRPDWLFDOO\E\WRROVVXFKDV

2UDFOH'HYHORSHURUSURJUDPPHGZLWKWRROVVXFKDVWKH*/SUHFRPSLOHUV

(YHU\WDEOHKDV,16(5783'$7(DQG'(/(7(SULYLOHJHVDVVRFLDWHGZLWKLW7KHVHSULYLOHJHVDUH

DXWRPDWLFDOO\JUDQWHGWRWKHFUHDWRURIWKHWDEOHEXWLQJHQHUDOWKH\PXVWEHH[SOLFLWO\JUDQWHGWR

RWKHUXVHUV

6WDUWLQJZLWK2UDFOH\RXFDQSODFHDVXETXHU\LQWKHSODFHRIWKHWDEOHQDPHLQDQ83'$7(

VWDWHPHQWHVVHQWLDOO\WKHVDPHZD\DYLHZLVXVHG

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
$GGLQJD1HZ5RZWRD7DEOH
 '(9(/230(17 '(752,7
1HZURZ
³«LQVHUWDQHZURZ
'(37
LQWR'(37WDEOH«´
'(3712'1$0( /2&
 
 $&&2817,1* 1(:<25.
 5(6($5&+ '$//$6 '(37
 6$/(6 &+,&$*2 '(3712'1$0( /2&
 23(5$7,216 %26721  
 $&&2817,1* 1(:<25.
 5(6($5&+ '$//$6
 6$/(6 &+,&$*2
 23(5$7,216 %26721
 '(9(/230(17 '(752,7

 2UDFOH&R USRUDWLRQ$OOULJKWVUHVHUY HG


&RS\ULJKW

$GGLQJD1HZ5RZWRD7DEOH

7KHVOLGHJUDSKLFDGGVDQHZGHSDUWPHQWWRWKH'(37WDEOH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
7KH,16(576WDWHPHQW

‡ $GGQHZURZVWRDWDEOHE\XVLQJWKH
,16(57VWDWHPHQW

,16(57,172 WDEOH> FROXPQ>FROXPQ@ @


9$/8(6 YDOXH>YDOXH@ 

‡ 2QO\RQHURZLVLQVHUWHGDWDWLPHZLWK
WKLVV\QWD[

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

$GGLQJD1HZ5RZWRD7DEOH FRQWLQXHG

<RXFDQDGGQHZURZVWRDWDEOHE\LVVXLQJWKH,16(57VWDWHPHQW

,QWKHV\QWD[

WDEOH LVWKHQDPHRIWKHWDEOH

FROXPQ LVWKHQDPHRIWKHFROXPQLQWKHWDEOHWRSRSXODWH

YDOXH LVWKHFRUUHVSRQGLQJYDOXHIRUWKHFROXPQ

1RWH7KLVVWDWHPHQWZLWKWKH9$/8(6FODXVHDGGVRQO\RQHURZDWDWLPHWRDWDEOH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
,QVHUWLQJ1HZ5RZV

‡ ,QVHUWDQHZURZFRQWDLQLQJYDOXHVIRU
HDFKFROXPQ
‡ /LVWYDOXHVLQWKHGHIDXOWRUGHURIWKH
FROXPQVLQWKHWDEOH
‡ 2SWLRQDOO\OLVWWKHFROXPQVLQWKH
,16(57FODXVH
64/!,16(57,172 GHSW GHSWQRGQDPHORF
9$/8(6 
'(9(/230(17

'(752,7

URZFUHDWHG

‡ (QFORVHFKDUDFWHUDQGGDWHYDOXHV
ZLWKLQVLQJOHTXRWDWLRQPDUNV
 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

$GGLQJD1HZ5RZWRD7DEOH FRQWLQXHG

%HFDXVH\RXFDQLQVHUWDQHZURZWKDWFRQWDLQVYDOXHVIRUHDFKFROXPQWKHFROXPQOLVWLVQRW

UHTXLUHGLQWKH,16(57FODXVH+RZHYHULI\RXGRQRWXVHWKHFROXPQO LVWWKHYDOXHVPXVWEHOLVWHG

DFFRUGLQJWRWKHGHIDXOWRUGHURIWKHFROXPQVLQWKHWDEOH

 64/!'(6&5,%(GHSW

1DPH1XOO"7\SH



'(371212718//180%(5 
'1$0(9$5&+$5 
/2&9$5&+$5 
)RUFODULW\XVHWKHFROXPQOLVWLQWKH,16(57FODXVH

(QFORVHFKDUDFWHUDQGGDWHYDOXHVZLWKLQVLQJOHTXRWDWLRQPDUNVGRQRWHQFORVHQXPH ULFYDOXHV

ZLWKLQVLQJOHTXRWDWLRQPDUNV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
,QVHUWLQJ5RZVZLWK1XOO9DOXHV
‡ ,PSOLFLWPHWKRG2PLWWKHFROXPQIURP
WKHFROXPQOLVW
64/!,16(57,172 GHSW GHSWQRGQDPH
9$/8(6 
0,6

URZFUHDWHG

‡ ([SOLFLWPHWKRG6SHFLI\WKH18//
NH\ZRUG
64/!,16(57,172 GHSW
9$/8(6 
),1$1&(
18// 
URZFUHDWHG

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

0HWKRGVIRU,QVHUWLQJ1XOO9DOXHV

0HWKRG 'HVFULSWLRQ

,PSOLFLW 2PLWWKHFROXPQIURPWKHFROXPQOLVW

([SOLFLW 6SHFLI\WKH18//NH\ZRUGLQWKH9$/8(6OLVW

6SHFLI\WKHHPSW\VWULQJ

LQWKH9$/8(6OLVWIRUFKDUDFWHUVWULQJVDQG
GDWHVRQO\

%HVXUHWKDWWKHWDUJHWHGFROXPQDOORZVQXOOYDOXHVE\YHULI\LQJWKH1XOO"VWDWXVIURPWKH64/ 3OXV

'(6&5,%(FRPPDQG

7KH2UDFOH6HUYHUDXWRPDWLFDOO\HQIRUFHVDOOGDWDW\SHVGDWDUDQJHVDQGGDWDLQWHJULW\FRQVWUDLQWV

$Q\FROXPQWKDWLVQRWOLVWHGH[SOLFLWO\REWDLQVDQXOOYDOXHLQWKHQHZURZ

&ODVV0DQDJHPHQW1RWH

&RPPRQHUURUVWKDWFDQRFFXUGXULQJXVHULQSXW

‡ 0DQGDWRU\YDOXHPLVVLQJIRUD12718//FROXPQ

‡ 'XSOLFDWHYDOXHYLRODWHVXQLTXHQHVVFRQVWUDLQW

‡ )RUHLJQNH\FRQVWUDLQWYLRODWHG

‡ &+(&.FRQVWUDLQWYLRODWHG

‡ 'DWDW\SHPLVPDWFK

‡ 9DOXHWRRZLGHWRILWLQFROXPQ

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
,QVHUWLQJ6SHFLDO9DOXHV
7KH6<6'$7(IXQFWLRQUHFRUGVWKH
FXUUHQWGDWHDQGWLPH

64/!,16(57,172 HPS HPSQRHQDPHMRE


 PJUKLUHGDWHVDOFRPP
 GHSWQR
9$/8(6 
*5((1

6$/(60$1

 6<6'$7(18//
  
URZFUHDWHG

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

,QVHUWLQJ6SHFLDO9DOXHVE\8VLQJ64/)XQFWLRQV

<RXFDQXVHSVHXGRFROXPQVWRHQWHUVSHFLDOYDOXHVLQ\RXUWDEOH

7KHVOLGHH[DPSOHUHFRUGVLQIRUPDWLRQIRUHPSOR\HH*UHHQLQWKH(03WDEOH,WVXSSOLHVWKHFXUUHQW

GDWHDQGWLPHLQWKH+,5('$7(FROXPQ,WXVHVWKH6<6'$7(IXQFWLRQIRUFXUUHQWGDWHDQGWLPH

<RXFDQDOVRXVHWKH86(5IXQFWLRQZKHQLQVHUWLQJURZVLQDWDEOH7KH86(5IXQFWLRQUHFRUGVWKH

FXUUHQWXVHUQDPH

&RQILUPLQJ$GGLWLRQVWRWKH7DEOH

64/!6(/(&7HPSQRHQDPHMREKLUHGDWHFRPP


)520 HPS
:+(5( HPSQR 

(0312(1$0(-2%+,5('$7(&200

*5((16$/(60$1'(&

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
,QVHUWLQJ6SHFLILF'DWH9DOXHV

‡ $GGDQHZHPSOR\HH
64/!,16(57,172HPS
9$/8(6 
$520$12

6$/(60$1

 72B'$7(
)(%

021''<<

 18// 
URZFUHDWHG

‡ 9HULI\\RXUDGGLWLRQ
(0312(1$0(-2%0*5+,5('$7(6$/&200'(3712

$520$126$/(60$1)(%

 2UDFOH&RUSR UDWLRQ$OOULJKWVUHVHUYH G


&RS\ ULJ KW

,QVHUWLQJ6SHFLILF'DWHDQG7LPH9DOXHV

7KHIRUPDW''021<<LVXVXDOO\XVHGWRLQVHUWDGDWHYDOXH:LWKWKLVIRUPDWUHFDOOWKDWWKH

FHQWXU\GHIDXOWVWRWKHFXUUHQWFHQWXU\%HFDXVHWKHGDWHDOVRFRQWDLQVWLPHLQIRUPDWLRQWKH

GHIDXOWWLPHLVP LGQLJKW  

,IDGDWHLVUHTXLUHGWREHHQWHUHGLQDIRUPDWRWKHUWKDQWKHGHIDXOW IRUH[DPSOHDQRWKHUFHQWXU\

DQGRUDVSHFLILFWLPHLVUHTXLUHGXVHWKH72B'$7(IXQFWLRQ

7KHH[DPSOHRQWKHVOLGHUHFRUGVLQIRUPDWLRQIRUHPSOR\HH$URPDQRLQWKH(03WDEOH,WVHWVWKH

+,5('$7(FROXPQWREH)HEUXDU\

,IWKH55IRUPDWLVVHWWKHFHQWXU\PD\QRWEHWKHFXUUHQWRQH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
,QVHUWLQJ9DOXHVE\8VLQJ
6XEVWLWXWLRQ9DULDEOHV
&UHDWHDQLQWHUDFWLYHVFULSWE\XVLQJ
64/ 3OXVVXEVWLWXWLRQSDUDPHWHUV
64/!,16(57,172 GHSW GHSWQRGQDPHORF
9$/8(6  GHSDUWPHQWBLG

GHSDUWPHQWBQDPH

ORFDWLRQ


(QWHUYDOXHIRUGHSDUWPHQWBLG
(QWHUYDOXHIRUGHSDUWPHQWBQDPH('8&$7,21
(QWHUYDOXHIRUORFDWLRQ$7/$17$
URZFUHDWHG

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

,QVHUWLQJ9DOXHVE\8VLQJ6XEVWLWXWLRQ9DULDEOHV

<RXFDQSURGXFHDQ,16(57VWDWHPHQWWKDWDOORZVWKHXVHUWRDGGYDOXHVLQWHUDFWLYHO\E\XVLQJ

64/ 3OXVVXEVWLWXWLRQYDULDEOHV

7KHVOLGHH[DPSOHUHFRUGVLQIRUPDWLRQIRUDGHSDUWPHQWLQWKH'(37WDEOH,WSURPSWVWKHXVHUIRUWKH

GHSDUWPHQWQXPEHUGHSDUWPHQWQDPHDQGORFDWLRQ

)RUGDWHDQGFKDUDFWHUYDOXHVWKHDPSHUVDQGDQGWKHYDULDEOHQDPHDUHHQFORVHGLQV LQJOHTXRWDWLRQ

PDUNV

&ODVV0DQDJHPHQW1RWH

%HVXUHWRPHQWLRQWKHIROORZLQJSRLQWVDERXWWKHH[DPSOH

‡ 7KHQDPHVRIWKH64/ 3OXVVXEVWLWXWLRQSDUDPHWHUVGRQRWKDYHWRPDWFKWKHFRUUHVSRQGLQJ

FROXPQQDPHV

‡ 6XEVWLWXWLRQSDUDPHWHUVDUHOH[LFDOYDULDEOHV:KDWHYHUFK DUDFWHUVWKHXVHUHQWHUVDUH

VXEVWLWXWHGDVWH[WIRUWKHYDULDEOHQDPH

‡ 7KH64/ 3OXV6(79(5,)<FRPPDQGOLVWVWKHVXEVWLWXWLRQEHIRUHH[HFXW LQJWKHVWDWHPHQW

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
&UHDWLQJD6FULSW
ZLWK&XVWRPL]HG3URPSWV
‡ $&&(37VWRUHVWKHYDOXHLQDYDULDEOH
‡ 352037GLVSOD\V\RXUFXVWRPL]HGWH[W
$&&(37 GHSDUWPHQWBLG352037
3OHDVHHQWHUWKH
 GHSDUWPHQWQXPEHU

$&&(37 GHSDUWPHQWBQDPH352037
3OHDVHHQWHU
 WKHGHSDUWPHQWQDPH

$&&(37 ORFDWLRQ352037
3OHDVHHQWHUWKH
ORFDWLRQ

,16(57,172 GHSW GHSWQRGQDPHORF


9$/8(6 GHSDUWPHQWBLG
GHSDUWPHQWBQDPH


ORFDWLRQ

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

&UHDWLQJD6FULSWWR0DQLSXODWH'DWD

<RXFDQVDYH\RXUFRPPDQGZLWKVXEVWLWXWLRQYDULDEOHVWRDILOHDQGH[HFXWHWKHILOH(DFKWLPH\RX

H[HFXWHWKHFRPPDQGLWZLOOSURPSW\RXIRUQHZYDOXHV&XVWRPL]HWKHSURPSWVE\XVLQJWKH64/ 3OXV

$&&(37FRPPDQG

7KHH[DPSOHRQWKHVOLGHUHFRUGVLQIRUPDWLRQIRUDGHSDUWPHQWLQWKH'(37WDEOH,WSURPSWVWKHXVHUIRU

WKHGHSDUWPHQWQXPEHUGHSDUWPHQWQDPHDQGORFDWLRQE\XVLQJFXVWRPL]HGSURPSWPHVVDJHV

3OHDVHHQWHUWKHGHSDUWPHQWQXPEHU 
3OHDVHHQWHUWKHGHSDUWPHQWQDPH3$<52//
3OHDVHHQWHUWKHORFDWLRQ+286721

URZFUHDWHG

'RQRWSUHIL[WKH64/ 3OXVVXEVWLWXWLRQSDUDPHWHUZLWKWKHDPSHUVDQG ZKHQUHIHUHQFLQJLWLQWKH

$&&(37FRPPDQG8VHDGDVK  WRFRQWLQXHD64/ 3OXVFRPPDQGRQWKHQH[WOLQH

&ODVV0DQDJHPHQW1RWH

%HVXUHWRPHQWLRQWKHIROORZLQJSRLQWVDERXWWKHVFULSW

‡ 'RQRWSUHIL[WKH64/ 3OXVVXEVWLWXWLRQSDUDPHWHUZLWKWKHDPSHUVDQGLQWKH$&&(37FRPPDQG

‡ 8VHDGDVKWRFRQWLQXHD64/ 3OXVFRPPDQGRQWKHQH[WOLQH

‡ $GGDVSDFHDIWHUWKHFRORQLQWKH352037FRPPDQG

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
&RS\LQJ5RZV
IURP$QRWKHU7DEOH
‡ :ULWH\RXU,16(57VWDWHPHQWZLWKD
VXETXHU\
64/!,16(57,172PDQDJHUV LGQDPHVDODU\KLUHGDWH
 6(/(&7 HPSQRHQDPHVDOKLUHGDWH
 )520HPS
 :+(5( MRE 
0$1$*(5

URZVFUHDWHG

‡ 'RQRWXVHWKH9$/8(6FODXVH
‡ 0DWFKWKHQXPEHURIFROXPQVLQWKH
,16(57FODXVHWRWKRVHLQWKHVXETXHU\
 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

&RS\LQJ5RZVIURP$QRWKHU7DEOH

<RXFDQXVHWKH,16(57VWDWHPHQWWRDGGURZVWRDWDEOHZKHUHWKHYDOXHVDUHGHULYHGIURPH [LVWLQJ

WDEOHV,QSODFHRIWKH9$/8(6FODXVH\RXXVHDVXETXHU\

6\QWD[

,16(57,172WDEOH>FROXPQ FROXPQ @
 VXETXHU\

ZKHUH WDEOH LVWKHWDEOHQDPH

FROXPQ LVWKHQDPHRIWKHFROXPQLQWKHWDEOHWRSRSXODWH

VXETXHU\ LVWKHVXETXHU\WKDWUHWXUQVURZVLQWRWKHWDEOH

)RUPRUHLQIRUPDWLRQVHH

2UDFOH6HUYHU64/5HIHUHQFH5HOHDVH³6(/(&7´6XETXHULHVVHFWLRQ

7KHQXPEHURIFROXPQVDQGWKHLUGDWDW\SHVLQWKHFROXPQOLVWRIWKH,16(57FODXVHPXVWPDWFKWKH

QXPEHURIYDOXHVDQGWKHLUGDWDW\SHVLQWKHVXETXHU\

&ODVV0DQDJHPHQW1RWH

'RQRWJHWLQWRWRRPDQ\GHWDLOVRQFRS\LQJURZVIURPDQRWKHUWDEOH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
&KDQJLQJ'DWDLQD7DEOH
(03

(0312(1$0( -2% '(3712


³«XSGDWHDURZ
 .,1* 35(6,'(17 
 %/$.( 0$1$*(5  LQ(03WDEOH«´
 &/$5. 0$1$*(5 
 -21(6 0$1$*(5 


(03

(0312(1$0( -2% '(3712


 .,1* 35(6,'(17 
 %/$.( 0$1$*(5 
 &/$5. 0$1$*(5 

 -21(6 0$1$*(5 

 2UDFOH&R USRUDWLRQ$OOULJKWVUHVHUY HG
&RS\ULJKW

&KDQJLQJ'DWDLQD7DEOH

7KHVOLGHJUDSKLFFKDQJHVWKHGHSDUWPHQWQXPEHUIRU&ODUNIURPWR

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
7KH83'$7(6WDWHPHQW

‡ 0RGLI\H[LVWLQJURZVZLWKWKH83'$7(
VWDWHPHQW
83'$7( WDEOH
6(7 FROXPQ YDOXH>FROXPQ YDOXH@
>:+(5( FRQGLWLRQ@

‡ 8SGDWHPRUHWKDQRQHURZDWDWLPHLI
UHTXLUHG

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

8SGDWLQJ5RZV

<RXFDQPRGLI\H[LVWLQJURZVE\XVLQJWKH83'$7(VWDWHPHQW

,QWKHDERYHV\QWD[

WDEOH LVWKHQDPHRIWKHWDEOH

FROXPQ LVWKHQDPHRIWKHFROXPQLQWKHWDEOHWRSRSXODWH

YDOXH LVWKHFRUUHVSRQGLQJYDOXHRUVXETXHU\IRUWKHFROXPQ

FRQGLWLRQ LGHQWLILHVWKHURZVWREHXSGDWHGDQGLVFRPSRVHGRIFROXPQQDPHV

H[SUHVVLRQVFRQVWDQWVVXETXHULHVDQGFRPSDULVRQRSHUDWRUV

&RQILUPWKHXSGDWHRSHUDWLRQE\TXHU\LQJWKHWDEOHWRGLVSOD\WKHXSGDWHGURZV

)RUPRUHLQIRUPDWLRQVHH

2UDFOH6HUYHU64/5HIHUHQFH5HOHDVH³83'$7(´

1RWH,QJHQHUDOXVHWKHSULPDU\NH\WRLGHQWLI\DVLQJOHURZ8VLQJRWKHUFROXPQVPD\

XQH[SHFWHGO\FDXVHVHYHUDOURZVWREHXSGDWHG)RUH[DPSOHLGHQWLI\LQJDVLQJOHURZLQWKH(03

WDEOHE\QDPHLVGDQJHURXVEHFDXVHPRUHWKDQRQHHPSOR\HHPD\KDYHWKHVDPHQDPH

&ODVV0DQDJHPHQW1RWH

'HPROVHOVTOOXSGVTO

3XUSRVH7RLOOXVWUDWHGLVSOD\LQJWKHLQLWLDOVWDWHRIGDWDSHUIRUP LQJXSGDWHVDQGYLHZLQJUHVXOWV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8SGDWLQJ5RZVLQD7DEOH
‡ 6SHFLILFURZRUURZVDUHPRGLILHGZKHQ
\RXVSHFLI\WKH:+(5(FODXVH
64/!83'$7( HPS
6(7 GHSWQR 
:+(5( HPSQR 
URZXSGDWHG

‡ $OOURZVLQWKHWDEOHDUHPRGLILHGLI\RX
RPLWWKH:+(5(FODXVH
64/!83'$7( HPSOR\HH
6(7 GHSWQR 
URZVXSGDWHG

 2UDFOH&RUSR UDWLRQ$OOULJKWVUHVHUYH G


&RS\ ULJ KW

8SGDWLQJ5RZV FRQWLQXHG

7KH83'$7(VWDWHPHQWPRGLILHVVSHFLILFURZVLIWKH:+(5(FODXVHLVVSHFLILHG7KHVOLGH

H[DPSOHWUDQVIHUVHPSOR\HH &ODUN WRGHSDUWPHQW

,I\RXRPLWWKH:+(5(FODXVHDOOWKHURZVLQWKHWDEOHDUHPRGLILHG

64/!6(/(&7HQDPHGHSWQR
)520HPSOR\HH

(1$0('(3712

.,1*
%/$.(
&/$5.
-21(6
0$57,1
$//(1
7851(5

URZVVHOHFWHG

1RWH7KH(03/2<((WDEOHKDVWKHVDPHGDWDDVWKH(03WDEOH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8SGDWLQJZLWK
0XOWLSOH&ROXPQ6XETXHU\
8SGDWHHPSOR\HH¶VMREDQGGHSDUWPHQW
WRPDWFKWKDWRIHPSOR\HH
64/!83'$7(HPS
6(7 MREGHSWQR  
  6(/(&7MREGHSWQR
)520HPS
:+(5(HPSQR 
:+(5(HPSQR 
URZXSGDWHG

 2UDFOH&RUSR UDWLRQ$OOULJKWVUHVHUYH G


&RS\ ULJ KW

8SGDWLQJ5RZVZLWKD0XOWLSOH&ROXPQ6XETXHU\

0XOWLSOHFROXPQVXETXHULHVFDQEHLPSOHPHQWHGLQWKH6(7FODXVHRIDQ83'$7(VWDWHPHQW

6\QWD[

83'$7( WDEOH
6(7 FROXPQFROXPQ 
6(/(&7 FROXPQFROXPQ
)520 WDEOH
:+(5( FRQGLWLRQ
:+(5( FRQGLWLRQ

&ODVV0DQDJHPHQW1RWH

,WPD\EHZRUWKVKRZLQJSDUWLFLSDQWVWKDWWKHUHVXOWVZRXOGEHWKHVDPHIRUWKHH[DPSOHRQWKHVOLGH

LIWZRGLIIHUHQWVXETXHULHVZHUHXVHGLQWKH6(7FODXVHDVLOOXVWUDWHGEHORZ

64/!83'$7(HPS
6(7 MRE  6(/(&7MRE)520HPS
 :+(5(HPSQR  
 GHSWQR  6(/(&7GHSWQR)520GHSW
 :+(5(GQDPH 
6$/(6

:+(5(HPSQR 

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8SGDWLQJ5RZV%DVHG
RQ$QRWKHU7DEOH
8VHVXETXHULHVLQ83'$7(VWDWHPHQWVWR
XSGDWHURZVLQDWDEOHEDVHGRQYDOXHV
IURPDQRWKHUWDEOH
64/! 83'$7( HPSOR\HH
 6(7 GHSWQR  6(/(&7 GHSWQR
 )520 HPS
 :+(5( HPSQR 
 :+(5( MRE  6(/(&7 MRE
 )520 HPS
 :+(5( HPSQR  
URZVXSGDWHG

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

8SGDWLQJ5RZV%DVHGRQ$QRWKHU7DEOH

<RXFDQXVHVXETXHULHVLQ83'$7(VWDWHPHQWVWRXSGDWHURZVLQDWDEOH7KHH[DPSOHRQWKHVOLGH

XSGDWHVWKH(03/2<((WDEOHEDVHGRQWKHYDOXHVIURPWKH(03WDEOH,WFKDQJHVWKHGHSDUWPHQW

QXPEHURIDOOHPSOR\HHVZLWKHPSOR\HH¶VMREWLWOHWRHPSOR\HH¶VFXUUHQWGHSDUWPHQW

QXPEHU

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8SGDWLQJ5RZV
,QWHJULW\&RQVWUDLQW(UURU
W
LV
[
H
W
R
64/!83'$7( HPS Q
V
H
6(7 GHSWQR  G
R
:+(5( GHSWQR  

U
H
E
P
X
Q
W
Q
H
83'$7(HPS UW
P
D
 H
S
(5525DWOLQH '

25$LQWHJULW\FRQVWUDLQW 865(03B'(3712B).
YLRODWHGSDUHQWNH\QRWIRXQG

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

,QWHJULW\&RQVWUDLQW(UURU

,I\RXDWWHPSWWRXSGDWHDUHFRUGZLWKDYDOXHWKDWLVWLHGWRDQLQWHJULW\FRQVWUDLQW\RXZLOO

H[SHULHQFHDQHUURU

In the example on the slide, department number 55 does not exist in the parent table, DEPT, and so
you receive the parent key violation ORA-02291.
1RWH,QWHJULW\FRQVWUDLQWVHQVXUHWKDWWKHGDWDDGKHUHVWRDSUHGHILQHGVHWRIUXOHV$VXEVHTXHQW

OHVVRQZLOOFRYHULQWHJULW\FRQVWUDLQWVLQJUHDWHUGHSWK

&ODVV0DQDJHPHQW1RWH

([SODLQLQWHJULW\FRQVWUDLQWVDQGUH YLHZWKHFRQFHSWRISULPDU\NH\DQGIRUHLJQNH\

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
5HPRYLQJD5RZIURPD7DEOH
'(37

'(3712'1$0( /2&
 
 $&&2817,1* 1(:<25.
 5(6($5&+ '$//$6 ³«GHOHWHDURZ
 6$/(6 &+,&$*2
 23(5$7,216 %26721 IURP'(37WDEOH«´

 '(9(/230(17 '(752,7


 0,6 '(37

'(3712'1$0( /2&
 
 $&&2817,1* 1(:<25.
 5(6($5&+ '$//$6
 6$/(6 &+,&$*2
 23(5$7,216 %26721
 0,6


 2UDFOH&RUSR UDWLRQ$OOULJKWVUHVHUYH G


&RS\ ULJ KW

5HPRYLQJD5RZIURPD7DEOH

7KHVOLGHJUDSKLFUHPRYHVWKH'(9(/230(17GHSDUWPHQWIURPWKH'(37WDEOH DVVXPLQJWKDW

WKHUHDUHQRFRQVWUDLQWVGHILQHGRQWKH'(37WDEOH 

&ODVV0DQDJHPHQW1RWH

$IWHUDOOWKHURZVKDYHEHHQHOLPLQDWHGZLWKWKH'(/(7(VWDWHPHQWRQO\WKHGDWDVWUXFWXUHRIWKH

WDEOHUHPDLQV$PRUHHIILFLHQWPHWKRGRIHPSW\LQJDWDEOHL VZLWKWKH7581&$7(VWDWHPHQW

<RXFDQXVHWKH7581&$7(VWDWHPHQWWRTXLFNO\UHPRYHDOOURZVIURPDWDEOHRUFOXVWHU

5HPRYLQJURZVZLWKWKH7581&$7(VWDWHPHQWLVIDVWHUWKDQUHP RYLQJWKHPZLWKWKH'(/(7(

VWDWHPHQWIRUWKHIROORZLQJUHDVRQV

‡ 7KH7581&$7(VWDWHPHQWLVDGDWDGHILQLWLRQODQJXDJH  ''/ VWDWHPHQWDQGJHQHUDWHVQR

UROOEDFNLQIRUPDWLRQ,WZLOOEHFRYHUHGLQDVXEVHTXHQWOHVVRQ

‡ 7UXQFDWLQJDWDEOHGRHVQRWILUHWKH'(/(7(WULJJHUVRIWKHWDEOH

‡ ,IWKHWDEOHLVWKHSDUHQWRIDUHIHUHQWLDOLQWHJULW\FRQVWUDLQW\RXFDQQRWWUXQFDWHWKHWDEOH

'LVDEOHWKHFRQVWUDLQWEHIRUHLVVXLQJWKH7581&$7(VWDWHPHQW

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
7KH'(/(7(6WDWHPHQW

<RXFDQUHPRYHH[LVWLQJURZVIURPD
WDEOHE\XVLQJWKH'(/(7(VWDWHPHQW
'(/(7(>)520@ WDEOH
>:+(5( FRQGLWLRQ@

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

'HOHWLQJ5RZV

<RXFDQUHPRYHH[LVWLQJURZVE\XVLQJWKH'(/(7(VWDWHPHQW

,QWKHV\QWD[

WDEOH LVWKHWDEOHQDPH

FRQGLWLRQ LGHQWLILHVWKHURZVWREHGHOHWHGDQGLVFRPSRVHGRIFROXPQQDPHV

H[SUHVVLRQVFRQVWDQWVVXETXHULHVDQGFRPSDULVRQRSHUDWRUV

)RUPRUHLQIRUPDWLRQVHH

2UDFOH6HUYHU64/5HIHUHQFH5HOHDVH³'(/(7(´

&ODVV0DQDJHPHQW1RWH

7KH'(/(7(VWDWHPHQWGRHVQRWDVNIRUFRQILUPDWLRQ+RZHYHUWKHGHOHWHRSHUDWLRQ LVQRWPDGH

SHUPDQHQWXQWLOWKHGDWDWUDQVDFWLRQLVFRPP LWWHG7KHUHIRUH\RXFDQXQGRWKHRSHUDWLRQZLWKWKH

52//%$&.VWDWH PHQWLI\RXPDNHDPLVWDNH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
'HOHWLQJ5RZVIURPD7DEOH

‡ 6SHFLILFURZVDUHGHOHWHGZKHQ\RX
VSHFLI\WKH:+(5(FODXVH

64/!'(/(7()520 GHSDUWPHQW
:+(5( GQDPH 
'(9(/230(17

URZGHOHWHG

‡ $OOURZVLQWKHWDEOHDUHGHOHWHGLI\RX
RPLWWKH:+(5(FODXVH
64/!'(/(7()520 GHSDUWPHQW
URZVGHOHWHG

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

'HOHWLQJ5RZV FRQWLQXHG

<RXFDQGHOHWHVSHFLILFURZVE\VSHFLI\LQJWKH:+(5(FODXVHLQWKH'(/(7(VWDWHPHQW7KHVOLGH

H[DPSOHGHOHWHVWKH'(9(/230(17GHSDUWPHQWIURPWKH'(3$570(17WDEOH<RXFDQF onfirm
the delete operation by displaying the deleted rows using the SELECT statement.

64/!6(/(&7
)520GHSDUWPHQW
:+(5(GQDPH 
'(9(/230(17

QRURZVVHOHFWHG
([DPSOH

5HPRYHDOOHPSOR\HHVZKRVWDUWHGDIWHU-DQXDU\

64/!'(/(7()520HPS
:+(5(KLUHGDWH!72B'$7(


''00<<

URZGHOHWHG
If you omit the WHERE clause, all rows in the table are deleted. The second example on the slide
deletes all the rows from the DEPARTMENT table because no WHERE clause has been specified.
Note: The DEPARTMENT table has the same data as the DEPT table.

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
'HOHWLQJ5RZV%DVHG
RQ$QRWKHU7DEOH
8VHVXETXHULHVLQ'(/(7(VWDWHPHQWVWR
UHPRYHURZVIURPDWDEOHEDVHGRQYDOXHV
IURPDQRWKHUWDEOH
64/!'(/(7()520 HPSOR\HH
:+(5( GHSWQR 
  6(/(&7GHSWQR
 )520GHSW
 :+(5(GQDPH
6$/(6

URZVGHOHWHG

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

'HOHWLQJ5RZV%DVHGRQ$ QRWKHU7DEOH

<RXFDQXVHVXETXHULHVWRGHOHWHURZVIURPDWDEOHEDVHGRQYDOXHVIURPDQRWKHUWDEOH7KHH[DPSOH

RQWKHVOLGHGHOHWHVDOOWKHHPSOR\HHVZKRDUHLQGHSDUWPHQW7KHVXETXHU\VHDUFKHVWKH'(37

WDEOHWRILQGWKHGHSDUWPHQWQXPEHUIRUWKH6$/(6GHSDUWPHQW7KHVXETXHU\WKHQIHHGVWKH

GHSDUWPHQWQXPEHUWRWKHPDLQTXHU\ZKLFKGHOHWHVURZVRIGDWDIURPWKH(03/2<((WDEOHEDVHG

RQWKLVGHSDUWPHQWQXPEHU

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
'HOHWLQJ5RZV
,QWHJULW\&RQVWUDLQW(UURU

Z
UR
D
64/!'(/(7()520 GHSW OH
WH

N
H\
\
:+(5( GHSWQR  WG
H
DU
NH
\
Q QR S ULP Q
D D  L J
F V
X LQ UH
<R WD IR
Q  D H
R V EO
WF D D
'(/(7()520GHSW WK
D
X
VH
G
HU
W
LV WK
 D W
D
Q R
WK LQ
(5525DWOLQH
25$LQWHJULW\FRQVWUDLQW 865(03B'(3712B).
YLRODWHGFKLOGUHFRUGIRXQG

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

,QWHJULW\&RQVWUDLQW(UURU

,I\RXDWWHPSWWRGHOHWHDUHFRUGZLWKDYDOXHWKDWLVWLHGWRDQLQWHJULW\FRQVWUDLQW\RXZLOOH[SHULHQFH

DQHUURU

7KHH[DPSOHRQWKHVOLGHWULHVWRGHOHWHGHSDUWPHQWQXPEHUIURPWKH'(37WDEOHEXWLWUHVXOWVLQ

DQHUURUEHFDXVHGHSDUWPHQWQXPEHULVXVHGDVDIRUHLJQNH\LQWKH(03WDEOH,IWKHSDUHQWUHFRUG

WKDW\RXDWWHPSWWRGHOHWHKDVFKLOGUHFRUGVWKHQ\RXUHFHLYHWKHFKLOGUHFRUGIRXQGYLRODWLRQ25$



&ODVV0DQDJHPHQW1RWH

,IUHIHUHQWLDOLQWHJULW\FRQVWUDLQWVDUHLQXVH\RXP LJKWUHFHLYHDQ2UDFOH6HUYHUHUURUPHVVDJHZKHQ

\RXDWWHPSWWRGHOHWHDURZ+RZHYHULIWKHUHIHUHQWLDOLQWH JULW\FRQVWUDLQWFRQWDLQVWKH21'(/(7(

&$6&$'(RSWLRQWKHQWKHVHOHFWHGURZDQGLWVFKLOGUHQDUHGHOHWHGIURPWKHLUUHVSHFWLYHWDEOHV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
'DWDEDVH7UDQVDFWLRQV

&RQVLVWRIRQHRIWKHIROORZLQJ
VWDWHPHQWV
‡ '0/VWDWHPHQWVWKDWPDNHXSRQH
FRQVLVWHQWFKDQJHWRWKHGDWD
‡ 2QH''/VWDWHPHQW
‡ 2QH'&/VWDWHPHQW

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

'DWDEDVH7UDQVDFWLRQV

7KH2UDFOH6HUYHUHQVXUHVGDWDFRQVLVWHQF\EDVHGRQWUDQVDFWLRQV7UDQVDFW LRQVJLYH\RXPRUH

IOH[LELOLW\DQGFRQWUROZKHQFKDQJLQJGDWDDQGWKH\HQVXUHGDWDFRQVLVWHQF\LQWKHHYHQWRIXVHU

SURFHVVIDLOXUHRUV\VWHPIDLOXUH

7UDQVDFWLRQVFRQVLVWRI'0/VWDWHPHQWVWKDWPDNHXSRQHFRQVLVWHQWFKDQJHWRWKHGDWD)RUH[DPSOH

DWUDQVIHURIIXQGVEHWZHHQWZRDFFRXQWVVKRXOGLQFOXGHWKHGHELWWRRQHDFFRXQWDQGWKHFUHGLWWR

DQRWKHUDFFRXQWLQWKHVDPHDPRXQW%RWKDFWLRQVVKRXOGHLWKHUIDLORUVXFFHHGWRJHWKHU7KHFUHGLW

VKRXOGQRWEHFRPPLWWHGZLWKRXWWKHGHELW

7UDQVDFWLRQ7\SHV

7\SH 'HVFULSWLRQ

'DWDPDQLSXODWLRQ &RQVLVWVRIDQ\QXPEHURI'0/VWDWHPHQWVWKDWWKH2UDFOH6HUYHU

ODQJXDJH '0/ WUHDWVDVDVLQJOHHQWLW\RUDORJLFDOXQLWRIZRUN

'DWDGHILQLWLRQODQJXDJH &RQVLVWVRIRQO\RQH''/VWDWHPHQW

''/

'DWDFRQWUROODQJXDJH &RQVLVWVRIRQO\RQH'&/VWDWHPHQW

'&/

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
'DWDEDVH7UDQVDFWLRQV

‡ %HJLQZKHQWKHILUVWH[HFXWDEOH64/
VWDWHPHQWLVH[HFXWHG
‡ (QGZLWKRQHRIWKHIROORZLQJHYHQWV
± &200,7RU52//%$&.LVLVVXHG
± ''/RU'&/VWDWHPHQWH[HFXWHV
DXWRPDWLFFRPPLW
± 8VHUH[LWV
± 6\VWHPFUDVKHV

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

:KHQ'RHVD7UDQVDFWLRQ6WDUWDQG(QG"

$WUDQVDFWLRQEHJLQVZKHQWKHILUVWH[HFXWDEOH64/VWDWHPHQWLVHQFRXQWHUHGDQGWHUPLQDWHVZKHQ

RQHRIWKHIROORZLQJRFFXUV

‡ $&200,7RU52//%$&.VWDWHPHQWLVLVVXHG

‡ $''/VWDWHPHQWVXFKDV&5($7(LVLVVXHG

‡ $'&/VWDWHPHQWLVLVVXHG

‡ 7KHXVHUH[LWV64/ 3OXV

‡ $PDFKLQHIDLOVRUWKHV\VWHPFUDVKHV

$IWHURQHWUDQVDFWLRQHQGVWKHQH[WH[H FXWDEOH64/VWDWH PHQWDXWRPDWLFDOO\VWDUWVWKHQH[W

WUDQVDFWLRQ

$''/VWDWHPHQWRUD'&/VWDWHPHQWLVDXWRPDWLFDOO\FRPPLWWHGDQGWKHUHIRUHLPSOLFLWO\HQGVD

WUDQVDFWLRQ

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
$GYDQWDJHVRI&200,7
DQG52//%$&.6WDWHPHQWV
‡ (QVXUHGDWDFRQVLVWHQF\
‡ 3UHYLHZGDWDFKDQJHVEHIRUHPDNLQJ
FKDQJHVSHUPDQHQW
‡ *URXSORJLFDOO\UHODWHGRSHUDWLRQV

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
&RQWUROOLQJ7UDQVDFWLRQV
7UDQVDFWLRQ

,16(57 83'$7( ,16(57 '(/(7(

&200,7 6DYHSRLQW$ 6DYHSRLQW%

52//%$&.WR6DYHSRLQW%

52//%$&.WR6DYHSRLQW$

52//%$&.

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

([SOLFLW7UDQVDFWLRQ&RQWURO6WDWHPHQWV

<RXFDQFRQWUROWKHORJLFRIWUDQVDFWLRQVE\XVLQJWKH&200,76$9(32,17DQG52//%$&.

VWDWHPHQWV

6WDWHP HQW 'HVFULSWLRQ

&200,7 (QGVWKHFXUUHQWWUDQVDFWLRQE\PDNLQJDOOSHQGLQJGDWDFKDQJHV

SHUPDQHQW

6$9(32,17QDPH 0DUNVDVDYHSRLQWZLWKLQWKHFXUUHQWWUDQVDFWLRQ

52//%$&.>72 52//%$&.HQGVWKHFXUUHQWWUDQVDFWLRQE\GLVFDUGLQJDOOSHQGLQJ

6$9(32,17QDPH@ GDWDFKDQJHV52//%$&.726$9(32,17QDPHGLVFDUGVWKH

VDYHSRLQWDQGDOOVXEVHTXHQWFKDQJHV

1RWH6$9(32,17LVQRW$16,VWDQGDUG64/

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
,PSOLFLW7UDQVDFWLRQ3URFHVVLQJ

‡ $QDXWRPDWLFFRPPLWRFFXUVXQGHUWKH
IROORZLQJFLUFXPVWDQFHV
± ''/VWDWHPHQWLVLVVXHG
± '&/VWDWHPHQWLVLVVXHG
± 1RUPDOH[LWIURP64/ 3OXVZLWKRXW
H[SOLFLWO\LVVXLQJ&200,7RU
52//%$&.
‡ $QDXWRPDWLFUROOEDFNRFFXUVXQGHUDQ
DEQRUPDOWHUPLQDWLRQRI64/ 3OXVRUD
V\VWHPIDLOXUH
 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

,PSOLFLW7UDQVDFWLRQ3URFHVVLQJ

6WDWXV &LUFXPVWDQFHV

$XWRPDWLFFRPPLW ''/VWDWHPHQWRU'&/VWDWHPHQWLVLVVXHG

1RUPDOH[LWIURP64/ 3OXVZLWKRXWH[SOLFLWO\LVVXLQJ&200,7

RU52//%$&.

$XWRPDWLFUROOEDFN $EQRUPDOWHUPLQDWLRQRI64/ 3OXVRUV\VWHPIDLOXUH

1RWH$WKLUGFRPPDQGLVDYDLODEOHLQ64/ 3OXV7KH$872&200,7FRPPDQGFDQEHW RJJOHG

21RU2)),IVHWWR21HDFKLQGLYLGXDO'0/VWDWHPHQWLVFRPPLWWHGDVVRRQDVLWLVH[H FXWHG<RX

FDQQRWUROOEDFNWKHFKDQJHV,IVHWWR2))&200,7FDQEHLVVXHGH[SOLFLWO\$OVR&200,7LV

LVVXHGZKHQD''/VWDWHPHQWLVLVVXHGRUZKHQ\RXH[LWIURP64/ 3OXV

6\VWHP)DLOXUHV

:KHQDWUDQVDFWLRQLVLQWHUUXSWHGE\DV\VWHPIDLOXUHWKHHQWLUHWUDQVDFWLRQLVDXWRPDWLFDOO\UROOHG

EDFN7KLVSUHYHQWVWKHHUURUIURPFDXVLQJXQZDQWHGFKDQJHVWRWKH GDWDDQGUHWXUQVWKHWDEOHVWR

WKHLUVWDWHDWWKHWLPHRIWKHODVWFRPPLW,QWKLVZD\WKH2UDFOH6HUYHUSURWH FWVWKHLQWHJULW\RIWKH

WDEOHV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
6WDWHRIWKH'DWD%HIRUH
&200,7RU52//%$&.
‡ 7KHSUHYLRXVVWDWHRIWKHGDWDFDQEH
UHFRYHUHG
‡ 7KHFXUUHQWXVHUFDQUHYLHZWKHUHVXOWVRI
WKH'0/RSHUDWLRQVE\XVLQJWKH6(/(&7
VWDWHPHQW
‡ 2WKHUXVHUVFDQQRWYLHZWKHUHVXOWVRIWKH
'0/VWDWHPHQWVE\WKHFXUUHQWXVHU
‡ 7KHDIIHFWHGURZVDUHORFNHGRWKHUXVHUV
FDQQRWFKDQJHWKHGDWDZLWKLQWKHDIIHFWHG
URZV
 &RS\ULJKW2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG

&RPPLWWLQJ&KDQJHV

(YHU\GDWDFKDQJHPDGHGXULQJWKHWUDQVDFWLRQLVWHPSRUDU\XQWLOWKHWUDQVDFW LRQLVFRPPLWWHG

6WDWHRIWKHGDWDEHIRUH&200,7RU52//%$&.LVLVVXHG

‡ 'DWDPDQLSXODWLRQRSHUDWLRQVSULPDULO\DIIHFWWKHGDWDEDVHEXIIHUWKHUHIRUHWKHSUHYLRXVVWDWH

RIWKHGDWDFDQEHUHFRYHUHG

‡ 7KHFXUUHQWXVHUFDQUHYLHZWKHUHVXOWVRIWKHGDWDPDQLSXODWLRQRSHUDWLRQVE\TXHU\LQJWKH

WDEOHV

‡ 2WKHUXVHUVFDQQRWYLHZWKHUHVXOWVRIWKHGDWDPDQLSXODWLRQRSHUDWLRQVPDGHE\WKHFXUUHQW

XVHU7KH2UDFOH6HUYHULQVWLWXWHVUHDGFRQVLVWHQF\WRHQVXUHWKDWHDFKXVHUVHHVGDWDDVLW

H[LVWHGDWWKHODVWFRPPLW

‡ 7KHDIIHFWHGURZVDUHORFNHGRWKHUXVHUVFDQQRWFKDQJHWKHGDWDLQWKHDIIHFWHGURZV

&ODVV0DQDJHPHQW1RWH

:LWKWKH2UDFOH6HUYHUGDWDFKDQJHVPD\DFWXDOO\EHZULWWHQWRWKHGDWDEDVHI LOHVEHIRUH&200,7

EXWWKH\DUHVWLOORQO\WHPSRUDU\

,IDQXPEHURIXVHUVDUHPDNLQJFKDQJHVVLPXOWDQHRXVO\WRWKHVDPHWDEOHWKHQHDFKXVHUVHHVRQO\

KLVRUKHUFKDQJHVXQWLORWKHUXVHUVFRPPLWWKHLUFKDQJHV

2WKHUXVHUVVHHGDWDDVLWLVFRPPLWWHGLQWKHGDWDEDVH LQRWKHUZRUGVEHIRUHFKDQJHV 

%\GHIDXOWWKH2UDFOH6HUYHUKDVURZOHYHOORFNLQJ,WLVSRVVLEOHWRDOWHUWKHGHIDXOWORFNLQJ

PHFKDQLVP

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
6WDWHRIWKH'DWD$IWHU&200,7

‡ 'DWDFKDQJHVDUHPDGHSHUPDQHQWLQWKH
GDWDEDVH
‡ 7KHSUHYLRXVVWDWHRIWKHGDWDLV
SHUPDQHQWO\ORVW
‡ $OOXVHUVFDQYLHZWKHUHVXOWV
‡ /RFNVRQWKHDIIHFWHGURZVDUHUHOHDVHG
WKRVHURZVDUHDYDLODEOHIRURWKHUXVHUVWR
PDQLSXODWH
‡ $OOVDYHSRLQWVDUHHUDVHG
 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

&RPPLWWLQJ&KDQJHV FRQWLQXHG

0DNHDOOSHQGLQJFKDQJHVSHUPDQHQWE\XVLQJWKH&200,7VWDWH PHQW)ROORZLQJD&200,7

6WDWHRIWKHGDWDDIWHUD&200,7LVLVVXHG

‡ 'DWDFKDQJHVDUHZULWWHQWRWKHGDWDEDVH

‡ 7KHSUHYLRXVVWDWHRIWKHGDWDLVSHUPDQHQWO\ORVW

‡ $OOXVHUVFDQYLHZWKHUHVXOWVRIWKHWUDQVDFWLRQ

‡ 7KHORFNVRQWKHDIIHFWHGURZVDUHUHOHDVHGWKHURZVDUHQRZDYDLODEOHIRURWKHUXVHUVWR

SHUIRUPQHZGDWDFKDQJHV

‡ $OOVDYHSRLQWVDUHHUDVHG

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
&RPPLWWLQJ'DWD

‡ 0DNHWKHFKDQJHV
64/!83'$7( HPS
6(7 GHSWQR 
:+(5( HPSQR 
URZXSGDWHG

‡ &RPPLWWKHFKDQJHV
64/!&200,7
&RPPLWFRPSOHWH

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

&RPPLWWLQJ&KDQJHV FRQWLQXHG

7KHVOLGHH[DPSOHXSGDWHVWKH(03WDEOHDQGVHWVWKHGHSDUWPHQWQXPEHUIRUHPSO R\HH &ODUN WR

,WWKHQPDNHVWKHFKDQJHSHUPDQHQWE\LVVXLQJWKH&200,7VWDWHPHQW

([DPSOH

&UHDWHDQHZ$'9(57,6,1*GHSDUWPHQWZLWKDWOHDVWRQHHPSOR\HH0DNHWKHGDWDFKDQJHSHUPDQHQW

64/!,16(57,172GHSDUWPHQW GHSWQRGQDPHORF
9$/8(6 
$'9(57,6,1*

0,$0,

URZFUHDWHG

64/!83'$7(HPSOR\HH
6(7GHSWQR 
:+(5(HPSQR 
URZXSGDWHG

64/!&200,7
&RPPLWFRPSOHWH

&ODVV0DQDJHPHQW1RWH

8VHWKLVH[DPSOHWRH[SODLQKRZ&200,7HQVXUHVWKDWWZRUHODWHGRSHUDWLRQVVKRXOGRFFXUWRJHWKHURU

QRWDWDOO,QWKLVFDVH&200,7SUH YHQWVHPSW\GHSDUWPHQWVIURPEHLQJFUHDWHG

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
6WDWHRIWKH'DWD$IWHU52//%$&.
'LVFDUGDOOSHQGLQJFKDQJHVE\XVLQJWKH
52//%$&.VWDWHPHQW
‡ 'DWDFKDQJHVDUHXQGRQH
‡ 3UHYLRXVVWDWHRIWKHGDWDLVUHVWRUHG
‡ /RFNVRQWKHDIIHFWHGURZVDUHUHOHDVHG
64/!'(/(7()520 HPSOR\HH
URZVGHOHWHG
64/!52//%$&.
5ROOEDFNFRPSOHWH

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

5ROOLQJ%DFN&KDQJHV

'LVFDUGDOOSHQGLQJFKDQJHVE\XVLQJWKH52//%$&.VWDWHPHQW)ROORZLQJD52//%$&.

‡ 'DWDFKDQJHVDUHXQGRQH

‡ 7KHSUHYLRXVVWDWHRIWKHGDWDLVUHVWRUHG

‡ 7KHORFNVRQWKHDIIHFWHGURZVDUHUHOHDVHG

([DPSOH

:KLOHDWWHPSWLQJWRUHPRYHDUHFRUGIURPWKH7(67WDEOH\RXFDQDFFLGHQWDOO\HPSW\WKHWDEOH<RX

FDQFRUUHFWWKHPLVWDNHUHLVVXHWKHSURSHUVWDWHPHQWDQGPDNHWKHGDWDFKDQJHSHUPD QHQW

64/!'(/(7()520WHVW
URZVGHOHWHG
64/!52//%$&.
5ROOEDFNFRPSOHWH
64/!'(/(7()520WHVW
:+(5(LG 
URZGHOHWHG
64/!6(/(&7
)520WHVW
:+(5(LG 
1RURZVVHOHFWHG
64/!&200,7
&RPPLWFRPSOHWH
,QWURGXFWLRQWR2UDFOH64/DQG3/64/
5ROOLQJ%DFN&KDQJHV
WRD0DUNHU
‡ &UHDWHDPDUNHULQDFXUUHQWWUDQVDFWLRQ
E\XVLQJWKH6$9(32,17VWDWHPHQW
‡ 5ROOEDFNWRWKDWPDUNHUE\XVLQJWKH
52//%$&.726$9(32,17VWDWHPHQW

64/!83'$7(
64/!6$9(32,17XSGDWHBGRQH
6DYHSRLQWFUHDWHG
64/!,16(57
64/!52//%$&.72XSGDWHBGRQH
5ROOEDFNFRPSOHWH

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

5ROOLQJ%DFN&KDQJHVWRD6DYHSRLQW

<RXFDQFUHDWHDPDUNHULQWKHFXUUHQWWUDQVDFWLRQE\XVLQJWKH6$9(32,17VWDWHPHQW7KH

WUDQVDFWLRQWKHUHIRUHFDQEHGLYLGHGLQWRVPDOOHUVHFWLRQV<RXFDQWKHQGL VFDUGSHQGLQJFKDQJHVXS

WRWKDWPDUNHUE\XVLQJWKH52//%$&.726$9(32,17VWDWHPHQW

,I\RXFUHDWHDVHFRQGVDYHSRLQWZLWKWKHVDPHQDPHDVDQHDUOLHUVDYHSRLQWWKHHDUOLHUVDYHSRLQWLV

GHOHWHG

&ODVV0DQDJHPHQW1RWH

6DYHSRLQWVDUHHVSHFLDOO\XVHIXOLQ3/64/RUD*/SURJUDPLQZKLFKUHFHQWFKDQJHVFDQEHXQGRQH

FRQGLWLRQDOO\EDVHGRQUXQWLPHFRQGLWLRQV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
6WDWHPHQW/HYHO5ROOEDFN

‡ ,IDVLQJOH'0/VWDWHPHQWIDLOVGXULQJ
H[HFXWLRQRQO\WKDWVWDWHPHQWLVUROOHG
EDFN
‡ 7KH2UDFOH6HUYHULPSOHPHQWVDQ
LPSOLFLWVDYHSRLQW
‡ $OORWKHUFKDQJHVDUHUHWDLQHG
‡ 7KHXVHUVKRXOGWHUPLQDWHWUDQVDFWLRQV
H[SOLFLWO\E\H[HFXWLQJD&200,7RU
52//%$&.VWDWHPHQW
 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

6WDWHPHQW/HYHO5ROOEDFN

3DUWRIDWUDQVDFWLRQFDQEHGLVFDUGHGE\DQLPSOLFLWUROOEDFNLIDVWDWHPHQWH[HFXWLRQHUURULV

GHWHFWHG,IDVLQJOH'0/VWDWH PHQWIDLOVGXULQJH[HFXWLRQRIDWUDQVDFWLRQLWVHIIHFWLVXQGRQHE\D

VWDWHPHQWOHYHOUROOEDFNEXWWKHFKDQJHVPDGHE\WKHSUHYLRXV'0/VWDWHPHQWVLQWKHWUDQVDFWLRQ

ZLOOQRWEHGLVFDUGHG7KH\FDQEHFRPPLWWHGRUUROOHGEDFNH[SOLFLWO\E\WKHXVHU

2UDFOHLVVXHVDQLPSOLFLW&200,7EHIRUHDQGDIWHUDQ\GDWDGHILQLWLRQODQJXDJH ''/ VWDWHPHQW

6RHYHQLI\RXU''/VWDWHPHQWGRHVQRWH[HFXWHVXFFHVVIXOO\\RXFDQQRWUROOEDFNWKHSUHYLRXV

VWDWHPHQWEHFDXVHWKHVHUYHULVVXHGDFRPPLW

7HUPLQDWH\RXUWUDQVDFWLRQVH[SOLFLWO\E\H[HFXWLQJD&200,7RU52//%$&.VWDWHPHQW

&ODVV0DQDJHPHQW1RWH

7KH2UDFOH6HUYHULPSOHPHQWVORFNVRQGDWDWRSURYLGHGDWDFRQFXUUHQF\LQWKHGDWDEDVH7KRVHORFNV

DUHUHOHDVHGZKHQFHUWDLQHYH QWVRFFXU VXFKDVDV\VWHPIDLOXUH RUWKHWUDQVDFWLRQLVFRPSOHWHG

,PSOLFLWORFNVRQWKHGDWDEDVHDUHREWDLQHGZKHQD'0/VWDWHPHQWLVVXFFHVVIXOO\H[HFXWHG7KH

2UDFOH6HUYHUE\GHIDXOWORFNVGDWDDWWKHORZHVWOHYHOSRVVLEOH

0DQXDOO\DFTXLUHORFNVRQWKHGDWDEDVHWDEOHVE\H[HFXWLQJD/2&.7$%/(VWDWHPHQWRUWKH

6(/(&7VWDWHPHQWZLWKWKH)2583'$7(FODXVH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
5HDG&RQVLVWHQF\
‡ 5HDGFRQVLVWHQF\JXDUDQWHHVD
FRQVLVWHQWYLHZRIWKHGDWDDWDOOWLPHV
‡ &KDQJHVPDGHE\RQHXVHUGRQRW
FRQIOLFWZLWKFKDQJHVPDGHE\DQRWKHU
XVHU
‡ 5HDGFRQVLVWHQF\HQVXUHVWKDWRQWKH
VDPHGDWD
± 5HDGHUVGRQRWZDLWIRUZULWHUV
± :ULWHUVGRQRWZDLWIRUUHDGHUV

 &RS\ULJ KW 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG

5HDG&RQVLVWHQF\

'DWDEDVHXVHUVPDNHWZRW\SHVRIDFFHVVWRWKHGDWDEDVH

‡ 5HDGRSHUDWLRQV 6(/(&7VWDWHPHQW

‡ :ULWHRSHUDWLRQV ,16(5783'$7('(/(7(VWDWHPHQWV

<RXQHHGUHDGFRQVLVWHQF\VRWKDWWKHIROORZLQJRFFXU

‡ 7KHGDWDEDVHUHDGHUDQGZULWHUDUHHQVXUHGDFRQVLVWHQWYLHZRIWKHGDWD

‡ 5HDGHUVGRQRWYLHZGDWDWKDWLVLQWKHSURFHVVR IEHLQJFKDQJHG

‡ :ULWHUVDUHHQVXUHGWKDWWKHFKDQJHVWRWKHGDWDEDVHDUHGRQHLQDFRQVLVWHQWZD\

‡ &KDQJHVPDGHE\RQHZULWHUGRQRWGLVUXSWRUFRQIOLFWZLWKFKDQJHVDQRWKHUZULWHU

LVPDNLQJ

7KHSXUSRVHRIUHDGFRQVLVWHQF\LVWRHQVXUHWKDWHDFKXVHUVHHVGDWDDVLWH[LVWHGDWWKH

ODVWFRPPLWEHIRUHD'0/RSHUDWLRQVWDUWHG

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
,PSOHPHQWDWLRQRI5HDG
&RQVLVWHQF\
83'$7(HPS 'DWD
6(7VDO  EORFNV
:+(5(HQDPH

6&277

5ROOEDFN

VHJPHQWV
8VHU$

FKDQJHG

6(/(&7 DQG

)520 HPS 5HDG XQFKDQJHG


GDWD
FRQVLVWHQW

LPDJH EHIRUH

FKDQJH

³ROG´GDWD
8VHU%

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

,PSOHPHQWDWLRQRI5HDG&RQVLVWHQF\

5HDGFRQVLVWHQF\LVDQDXWRPDWLFLPSOHPHQWDWLRQ,WNHHSVDSDUWLDOFRS\RIWKHGDWDEDVHLQUROOEDFN

VHJPHQWV

:KHQDQLQVHUWXSGDWHRUGHOHWHRSHUDWLRQLVPDGHWRWKHGDWDEDVHWKH2UDFOH6HUYHUWDNHVDFRS\RI

WKHGDWDEHIRUHLWLVFKDQJHGDQGZULWHVLWWRDUROOEDFNVHJPHQW

$OOUHDGHUVH[FHSWWKHRQHZKRLVVXHGWKHFKDQJHVWLOOVHHWKHGDWDEDVHDVLWH[LVWHGEHIRUHWKH

FKDQJHVVWDUWHGWKH\YLHZWKHUROOEDFNVHJPHQWV¶³VQDSVKRW´RIWKHGDWD

%HIRUHFKDQJHVDUHFRPPLWWHGWRWKHGDWDEDVHRQO\WKHXVHUZKRLVPRGLI\LQJWKH GDWDVHHVWKH

GDWDEDVHZLWKWKHDOWHUDWLRQVHYHU\RQHHOVHVHHVWKHVQDSVKRWLQWKHUROOEDFNVHJPHQW7KLV

JXDUDQWHHVWKDWUHDGHUVRIWKHGDWDUHDGFRQVLVWHQWGDWDWKDWLVQRWFXUUHQWO\X QGHUJRLQJFKDQJH

:KHQD'0/VWDWHPHQWLVFRPPLWWHGWKHFKDQJHPDGHWRWKHGDWDEDVHEHFRPHVYLVLEOHWRDQ\RQH

H[HFXWLQJD6(/(&7VWDWHPHQW7KHVSDFHRFFXSLHGE\WKH³ROG´GDWDLQWKHUROOEDFNVHJPHQWILOHLV

IUHHGIRUUHXVH

,IWKHWUDQVDFWLRQLVUROOHGEDFNWKHFKDQJHVDUHXQGRQH

‡ 7KHRULJLQDOROGHUYHUVLRQRIWKHGDWDLQWKHUROOEDFNVHJPHQWLVZULWWHQEDF NWRWKHWDEOH

‡ $OOXVHUVVHHWKHGDWDEDVHDVLWH[LVWHGEHIRUHWKHWUDQVDFWLRQEHJDQ

&ODVV0DQDJHPHQW1RWH

:KHQ\RXFRPPLWDWUDQVDFWLRQWKH2UDFOH6HUYHUUHOHDVHVWKHUROOEDFNLQIRUPDWLRQEXWGRHVQRW

LPPHGLDWHO\GHVWUR\LW7KHLQIRUPDWLRQUHPDLQVLQWKHUROOEDFNVHJPHQWWRFUHDWHUHDGFRQVLVWHQW

YLHZVRISHUWLQHQWGDWDIRUTXHULHVWKDWVWDUWHGEHIRUHWKHWUDQVDFWLRQFRPPLWWHG

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
/RFNLQJ
2UDFOHORFNV
‡ 3UHYHQWGHVWUXFWLYHLQWHUDFWLRQEHWZHHQ
FRQFXUUHQWWUDQVDFWLRQV
‡ 5HTXLUHQRXVHUDFWLRQ
‡ $XWRPDWLFDOO\XVHWKHORZHVWOHYHORI
UHVWULFWLYHQHVV
‡ $UHKHOGIRUWKHGXUDWLRQRIWKH
WUDQVDFWLRQ
‡ +DYHWZREDVLFPRGHV
± ([FOXVLYH
± 6KDUH
 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

:KDW$UH/RFNV"

/RFNVDUHP HFKDQLVPVWKDWSUHYHQWGHVWUXFWLYHLQWHUDFWLRQEHWZHHQWUDQVDFWLRQVDFFHVVLQJWKHVDPH

UHVRXUFHHLWKHUDXVHUREMHFW VXFKDVWDEOHVRUURZV RUV\VWHPREMHFWVQRWYLVLEOHWRXVHUV VXFKDV

VKDUHGGDWDVWUXFWXUHVDQGGDWDGLFWLRQDU\URZV 

+RZ2UDFOH/RFNV'DWD

/RFNLQJLQDQ2UDFOHGDWDEDVHLVIXOO\DXWRPDWLFDQGUHTXLUHVQRXVHUDFWLRQ,PSOLFLWORFNLQJRFFXUV

IRUDOO64/VWDWHPHQWVH[FHSW6(/(&77KH2UDFOHGHIDXOWORFNLQJPHFKDQLVPDXWRPDWLFDOO\XVHV

WKHORZHVWDSSOLFDEOHOHYHORIUHVWULFWLYHQHVVWKXVSURYLGLQJWKHKLJKHVWGHJUHHR IFRQFXUUHQF\DQG

PD[LPXPGDWDLQWHJULW\2UDFOHDOVRDOORZVWKHXVHUWRORFNGDWDPDQXDOO\

/RFNLQJ0RGHV

2UDFOHXVHVWZRPRGHVRIORFNLQJLQDPXOWLXVHUGDWDEDVH

/RFN0RGH 'HVFULSWLRQ

H[FOXVLYH 3UHYHQWVDUHVRXUFHIURPEHLQJVKDUHG

7KHILUVWWUDQVDFWLRQWRORFNDUHVRXUFHH[FOXVLYHO\LVWKHRQO\WUDQVDFWLRQWKDW

FDQDOWHUWKHUHVRXUFHXQWLOWKHH[FOXVLYHORFNLVUHOHDVHG

VKDUHORFN $OORZVWKHUHVRXUFHWREHVKDUHG

0XOWLSOHXVHUVUHDGLQJGDWDFDQVKDUHWKHGDWDKROGLQJVKDUHORFNVWRSUHYHQW

FRQFXUUHQWDFFHVVE\DZULWHU ZKRQHHGVDQH[ FOXVLYHORFN 

6HYHUDOWUDQVDFWLRQVFDQDFTXLUHVKDUHORFNVRQWKHVDPHUHVRXUFH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
6XPPDU\

6WDWHPHQW 'HVFULSWLRQ

,16(57 $GGVDQHZURZWRWKHWDEOH

83'$7( 0RGLILHVH[LVWLQJURZVLQWKHWDEOH

'(/(7( 5HPRYHVH[LVWLQJURZVIURPWKHWDEOH

&200,7 0DNHVDOOSHQGLQJFKDQJHVSHUPDQHQW

6$9(32,17 $OORZVDUROOEDFNWRWKHVDYHSRLQWPDUNHU

52//%$&. 'LVFDUGVDOOSHQGLQJGDWDFKDQJHV

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

6XPPDU\

0DQLSXODWHGDWDLQWKH2UDFOHGDWDEDVHE\XVLQJWKH,16(5783'$7(DQG'(/(7(VWDWHPHQWV

&RQWUROGDWDFKDQJHVE\XVLQJWKH&200,76$9(32,17DQG52//%$&.VWDWHPHQWV

7KH2UDFOH6HUYHUJXDUDQWHHVDFRQVLVWHQWYLHZRIGDWDDWDOOWLPHV

/RFNLQJFDQEHLPSOLFLWRUH[SOLFLW

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH2YHUYLHZ

‡ ,QVHUWLQJURZVLQWRWKHWDEOHV
‡ 8SGDWLQJDQGGHOHWLQJURZVLQWKHWDEOH
‡ &RQWUROOLQJWUDQVDFWLRQV

 2UDFOH&RUSR UDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

3UDFWLFH2YHUYLHZ

,QWKLVSUDFWLFH\RXZLOODGGURZVWRWKH0<B(03/2< ((WDEOHXSGDWHDQGGHOHWHGDWDIURPWKH

WDEOHDQGFRQWURO\RXUWUDQVDFWLRQV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH

,QVHUWGDWDLQWRWKH0<B(03/2<((WDEOH

 5XQWKHODEBVTOVFULSWWREXLOGWKH0<B(03/2<((WDEOHWKDWZLOOEHXVHGIRUWKHODE

 'HVFULEHWKHVWUXFWXUHRIWKH0<B(03/2<((WDEOHWRLGHQWLI\WKHFROXPQQDPHV

1DPH1XOO"7\SH

,'12718//180%(5 
/$67B1$0(9$5&+$5 
),567B1$0(9$5&+$5 
86(5,'9$5&+$5 
6$/$5<180%(5 

 $GGWKHILUVWURZRIGDWDWRWKH0<B(03/2<((WDEOHIURPWKHIROORZLQJVDPSOHGDWD'RQRW

OLVWWKHFROXPQVLQWKH,16(57FODXVH

,' /$67B1$0( ),567B1$0( 86(5,' 6$/$5<

 3DWHO 5DOSK USDWHO 

 'DQFV %HWW\ EGDQFV 

 %LUL %HQ EELUL 

 1HZPDQ &KDG FQHZPDQ 

 5RSHEXUQ $XGU\ DURSHEXU 

 3RSXODWHWKH0<B(03/2<((WDEOHZLWKWKHVHFRQGURZRIVDPSOHGDWDIURPWKHSUHFHGLQJOLVW

7KLVWLPHOLVWWKHFROXPQVH[SOLFLWO\LQWKH,16(57FODXVH

 &RQILUP\RXUDGGLWLRQWRWKHWDEOH

,'/$67B1$0(),567B1$0(86(5,'6$/$5<

3DWHO5DOSKUSDWHO
'DQFV%HWW\EGDQFV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH FRQWLQXHG

 &UHDWHDVFULSWQDPHGORDGHPSVTOWRORDGURZVLQWRWKH0<B(03/2<((WDEOH

LQWHUDFWLYHO\3URPSWWKHXVHUIRUWKHHPSOR\HH¶VLGILUVWQDPHODVWQDPHDQGVDODU\

&RQFDWHQDWHWKHILUVWOHWWHURIWKHILUVWQDPHDQGWKHILUVWVHYHQFKDUDFWHUVRIWKHODVWQDPHWR

SURGXFHWKHXVHULG

 3RSXODWHWKHWDEOHZLWKWKHQH[WWZRURZVRIVDPSOHGDWDE\UXQQLQJWKHVFULSWWKDW\RXFUHDWHG

 &RQILUP\RXUDGGLWLRQVWRWKHWDEOH

,'/$67B1$0(),567B1$0(86(5,'6$/$5<

3DWHO5DOSKUSDWHO
'DQFV%HWW\EGDQFV
%LUL%HQEELUL
1HZPDQ&KDGFQHZPDQ

 0DNHWKHGDWDDGGLWLRQVSHUPDQHQW

8SGDWHDQGGHOHWHGDWDLQWKH0<B(03/2<((WDEOH

 &KDQJHWKHODVWQDPHRIHPSOR\HHWR'UH[OHU

 &KDQJHWKHVDODU\WRIRUDOOHPSOR\HHVZLWKDVDODU\OHVVWKDQ

 9HULI\\RXUFKDQJHVWRWKHWDEOH

/$67B1$0(6$/$5<

3DWHO
'DQFV
'UH[OHU
1HZPDQ

 'HOHWH%HWW\'DQFVIURPWKH0<B(03/2<((WDEOH

 &RQILUP\RXUFKDQJHVWRWKHWDEOH

,'/$67B1$0(),567B1$0(86(5,'6$/$5<

3DWHO5DOSKUSDWHO
'UH[OHU%HQEELUL
1HZPDQ&KDGFQHZPDQ

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH FRQWLQXHG

 &RPPLWDOOSHQGLQJFKDQJHV

&RQWUROGDWDWUDQVDFWLRQWRWKH0<B(03/2<((WDEOH

 3RSXODWHWKHWDEOHZLWKWKHODVWURZRIVDPSOHGDWDE\UXQQLQJWKHVFULSWWKDW\RXFUHDWHGLQ

VWHS

 &RQILUP\RXUDGGLWLRQWRWKHWDEOH

,'/$67B1$0(),567B1$0(86(5,'6$/$5<

3DWHO5DOSKUSDWHO
'UH[OHU%HQEELUL
1HZPDQ&KDGFQHZPDQ
5RSHEXUQ$XGU\DURSHEXU

 0DUNDQLQWHUP HGLDWHSRLQWLQWKHSURFHVVLQJRIWKHWUDQVDFWLRQ

 (PSW\WKHHQWLUHWDEOH

 &RQILUPWKDWWKHWDEOHLVHPSW\

 'LVFDUGWKHPRVWUHFHQW'(/(7(RSHUDWLRQZLWKRXWGLVFDUGLQJWKHHDUOLHU,16(57RSHUDWLRQ

 &RQILUPWKDWWKHQHZURZLVVWLOOLQWDFW

,' /$67B1$0( ),567B1$0( 86(5,' 6$/$5<


    
  3DWHO 5DOSK USDWHO 
 'UH[OHU %HQ EELUL 
 1HZPDQ &KDG FQHZPDQ 
 5RSHEXUQ $XGU\ DURSHEXU 

 0DNHWKHGDWDDGGLWLRQSHUPDQHQW

,QWURGXFWLRQWR2UDFOH64/DQG3/64/

&UHDWLQJDQG0DQDJLQJ
7DEOHV

2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

6FKHGXOH 7LPLQJ 7RSLF

PLQXWHV /HFWXUH

PLQXWHV 3UDFWLFH

PLQXWHV 7RWDO
2EMHFWLYHV

$IWHUFRPSOHWLQJWKLVOHVVRQ\RXVKRXOG
EHDEOHWRGRWKHIROORZLQJ
‡ 'HVFULEHWKHPDLQGDWDEDVHREMHFWV
‡ &UHDWHWDEOHV
‡ 'HVFULEHWKHGDWDW\SHVWKDWFDQEHXVHG
ZKHQVSHFLI\LQJFROXPQGHILQLWLRQ
‡ $OWHUWDEOHGHILQLWLRQV
‡ 'URSUHQDPHDQGWUXQFDWHWDEOHV

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

/HVVRQ$LP

,QWKLVOHVVRQ\RXZLOOOHDUQDERXWPDLQGDWDEDVHREMHFWVDQGWKHLUUHODWLRQVKLSVWRHDFKRWKHU<RX

ZLOODOVROHDUQKRZWRFUHDWHDOWHUDQGGURSWDEOHV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
'DWDEDVH2EMHFWV

2EMHFW 'HVFULSWLRQ

7DEOH %DVLFXQLWRIVWRUDJHFRPSRVHGRIURZV

DQGFROXPQV

9LHZ /RJLFDOO\UHSUHVHQWVVXEVHWVRIGDWDIURP

RQHRUPRUHWDEOHV

6HTXHQFH *HQHUDWHVSULPDU\NH\YDOXHV

,QGH[ ,PSURYHVWKHSHUIRUPDQFHRIVRPHTXHULHV

6\QRQ\P *LYHVDOWHUQDWLYHQDPHVWRREMHFWV

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

'DWDEDVH2EMHFWV

$Q2UDFOHGDWDEDVHFDQFRQWDLQPXOWLSOHGDWDVWUXFWXUHV(DFKVWUXFWXUHVKRXOGEHRXWO LQHGLQWKHGDWDEDVH

GHVLJQVRWKDWLWFDQEHFUHDWHGGXULQJWKHEXLOGVWDJHRIGDWDEDVHGHYHORSPHQW

‡ 7DEOH6WRUHVGDWD

‡ 9LHZ6XEVHWRIGDWDIURPRQHRUPRUHWDEOHV

‡ 6HTXHQFH*HQHUDWHVSULPDU\NH\YDOXHV

‡ ,QGH[,PSURYHVWKHSHUIRUPDQFHRIVRPHTXHULHV

‡ 6\QRQ\P*LYHVDOWHUQDWLYHQDPHVWRREMHFWV

2UDFOH7DEOH6WUXFWXUHV

‡ 7DEOHVFDQEHFUHDWHGDWDQ\WLPHHYHQZKLOHXVHUVDUHXVLQJWKHGDWDEDVH

‡ <RXGRQRWQHHGWRVSHFLI\WKHVL]HRIDQ\WDEOH7KHVL]HLVXOWLPDWHO\GHILQHGE\WKHDPRXQWRI

VSDFHDOORFDWHGWRWKHGDWDEDVHDVDZKROH,WLVLPSRUWDQWKRZHYHUWRHVWLPDWHKRZPXFKVSDFHD

WDEOHZLOOXVHRYHUWLPH

‡ 7DEOHVWUXFWXUHFDQEHPRGLILHGRQOLQH

1RWH0RUHGDWDEDVHREMHFWVDUHDYDLODEOHEXWDUHQRWFRYHUHGLQWKLVFRXUVH

&ODVV0DQDJHPHQW1RWH

7DEOHVFDQKDYHXSWRFROXPQVDQGPXVWFRQIRUPWRVWDQGDUGGDWDEDVHREMHFWQDPLQJFRQYHQWLRQV

&ROXPQGHILQLWLRQVFDQEHRPLWWHGZKHQXVLQJWKH$6VXETXHU\FODXVH7DEOHVDUHFUHDWHGZLWKRXWGDWD

XQOHVVDTXHU\LVVSHFLILHG5RZVDUHXVXDOO\DGGHGE\XVLQJ,16(57VWDWHPHQWV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
1DPLQJ&RQYHQWLRQV

‡ 0XVWEHJLQZLWKDOHWWHU
‡ &DQEH±FKDUDFWHUVORQJ
‡ 0XVWFRQWDLQRQO\$±=D±]±B
DQG
‡ 0XVWQRWGXSOLFDWHWKHQDPHRIDQRWKHU
REMHFWRZQHGE\WKHVDPHXVHU
‡ 0XVWQRWEHDQ2UDFOH6HUYHUUHVHUYHG
ZRUG

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

1DPLQJ5XOHV

1DPHGDWDEDVHWDEOHVDQGFROXPQVDFFRUGLQJWRWKHVWDQGDUGUXOHVIRUQDPLQJDQ\2UDFOHGDWDEDVH

REMHFW

‡ 7DEOHQDPHVDQGFROXPQQDPHVPXVWEHJLQZLWKDOHWWHUDQGFDQEH ±FKDUDFWHUVORQJ

‡ 1DPHVPXVWFRQWDLQRQO\WKHFKDUDFWHUV$±=D±]±B XQGHUVFRUH DQG OHJDO

FKDUDFWHUVEXWWKHLUXVHLVGLVFRXUDJHG 

‡ 1DPHVPXVWQRWGXSOLFDWHWKHQDPHRIDQRWKHUREMHFWRZQHGE\WKHVDPH2UDFOH6HUYHUXVHU

‡ 1DPHVPXVWQRWEHDQ2UDFOH6HUYHUUHVHUYHGZRUG

1DPLQJ*XLGHOLQHV

‡ 8VHGHVFULSWLYHQDPHVIRUWDEOHVDQGRWKHUGDWDEDVHREMHFWV

‡ 1DPHWKHVDPHHQWLW\FRQVLVWHQWO\LQGLIIHUHQWWDEOHV)RUH[DPSOHWKHGHSDUWPHQWQXPEHU

FROXPQLVFDOOHG'(3712LQERWKWKH(03WDEOHDQGWKH'(37WDEOH

1RWH1DPHVDUHFDVHLQVHQVLWLYH)RUH[DPSOH(03LVWUHDWHGDVWKHVDPHQDPHDVH03RUH0S

)RUPRUHLQIRUPDWLRQVHH

2UDFOH6HUYHU64/5HIHUHQFH5HOHDVH³2EMHFW1DPHVDQG4XDOLILHUV´

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
7KH&5($7(7$%/(6WDWHPHQW
‡ <RXPXVWKDYH
± &5($7(7$%/(SULYLOHJH
± $VWRUDJHDUHD
&5($7(7$%/(>VFKHPD@WDEOH
 FROXPQGDWDW\SH>'()$8/7H[SU@>@ 

‡ <RXVSHFLI\
± 7DEOHQDPH
± &ROXPQQDPHFROXPQGDWDW\SHDQG
FROXPQVL]H
 &RS\ULJKW2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG

7KH&5($7(7$%/(6WDWHPHQW

&UHDWHWDEOHVWRVWRUHGDWDE\H[HFXWLQJWKH64/&5($7(7$%/(VWDWHPHQW7KLVVWDWHPHQWLVRQH

RIWKHGDWDGHILQLWLRQODQJXDJH ''/ VWDWHPHQWVZKLFKDUHFRYHUHGLQVXEVHTXHQWOHVVRQV''/

VWDWHPHQWVDUHDVXEVHWRI64/VWDWHPHQWVXVHGWRFUHDWHPRGLI\RUUHPRYH2UDFOHGDWDEDVH

VWUXFWXUHV7KHVHVWDWHPHQWVKDYHDQLPPHGLDWHHIIHFWRQWKHGDWDEDVHDQGW KH\DOVRUHFRUG

LQIRUPDWLRQLQWKHGDWDGLFWLRQDU\

7RFUHDWHDWDEOHDXVHUPXVWKDYHWKH&5($7(7$%/(SULYLOHJHDQGDVWRUDJHDUHDLQZKLFKWR

FUHDWHREMHFWV7KHGDWDEDVHDGPLQLVWUDWRUXVHVGDWDFRQWUROODQJXDJH '&/ VWDWHPHQWVZKLFKDUH

FRYHUHGLQDODWHUOHVVRQWRJUDQWSULYLOHJHVWRXVHUV

,QWKHV\QWD[

VFKHPD LVWKHVDPHDVWKHRZQHU¶VQDPH

WDEOH LVWKHQDPHRIWKHWDEOH

'()$8/7H[SU VSHFLILHVDGHIDXOWYDOXHLIDYDOXHLVRPLWWHGLQWKH,16(57VWDWHPHQW

FROXPQ LVWKHQDPHRIWKHFROXPQ

GDWDW\SH LVWKHFROXPQ¶VGDWDW\SHDQGOHQJWK

)RUPRUHLQIRUPDWLRQVHH

2UDFOH6HUYHU64/5HIHUHQFH5HOHDVH³&5($7(7$%/(´

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
5HIHUHQFLQJ$QRWKHU8VHU¶V
7DEOHV

‡ 7DEOHVEHORQJLQJWRRWKHUXVHUVDUHQRW
LQWKHXVHU¶VVFKHPD
‡ <RXVKRXOGXVHWKHRZQHU¶VQDPHDVD
SUHIL[WRWKHWDEOH

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

5HIHUHQFLQJ$QRWKHU8VHU¶V7DEOHV

$VFKHPDLVDFROOHFWLRQRIREMHFWV6FKHPDREMHFWVDUHWKHORJLFDOVWUXFWXUHVWKDWGLUHFWO\UHIHUWRWKH

GDWDLQDGDWDEDVH6FKHPDREMHFWVLQFOXGHWDEOHVYLHZVV\QRQ\PVVHTXHQFHVVWRUHGSURFHGXUHV

LQGH[HVFOXVWHUVDQGGDWDEDVHOLQNV

,IDWDEOHGRHVQRWEHORQJWRWKHXVHUWKHRZQHU¶VQDPHPXVWEHSUHIL[HGWRWKHWDEOH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
7KH'()$8/72SWLRQ
‡ 6SHFLI\DGHIDXOWYDOXHIRUDFROXPQGXULQJ
DQLQVHUW
«KLUHGDWH'$7('()$8/76<6'$7(«

‡ /HJDOYDOXHVDUHOLWHUDOYDOXHH[SUHVVLRQ
RU64/IXQFWLRQ
‡ ,OOHJDOYDOXHVDUHDQRWKHUFROXPQ¶VQDPHRU
SVHXGRFROXPQ
‡ 7KHGHIDXOWGDWDW\SHPXVWPDWFKWKH
FROXPQGDWDW\SH
 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

7KH'()$8/72SWLRQ

$FROXPQFDQEHJLYHQDGHIDXOWYDOXHE\XVLQJWKH'()$8/7RSWLRQ7KLVRSWLRQSUHYHQWVQXOO

YDOXHVIURPHQWHULQJWKHFROXPQVLIDURZLVLQVHUWHGZLWKRXWDYDOXHIRUWKHFROXPQ7KHGHIDXOW

YDOXHFDQEHDOLWHUDODQH[SUHVVLRQRUD64/IXQFWLRQVXFKDV6<6'$7(DQG86(5EXWWKHYDOXH

FDQQRWEHWKHQDPHRIDQRWKHUFROXPQRUDSVHXGRFROXPQVXFKDV1(;79$/RU&8559$/7KH

GHIDXOWH[SUHVVLRQPXVWPDWFKWKHGDWDW\SHRIWKHFROXPQ

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
&UHDWLQJ7DEOHV
‡ &UHDWHWKHWDEOH
64/!&5($7(7$%/(GHSW
 GHSWQR 180%(5  
 GQDPH 9$5&+$5  
 ORF 9$5&+$5  
7DEOHFUHDWHG

‡ &RQILUPWDEOHFUHDWLRQ
64/!'(6&5,%(GHSW

1DPH1XOO"7\SH

'(3712180%(5 
'1$0(9$5&+$5 
/2&9$5&+$5 

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

&UHDWLQJ7DEOHV

7KHH[DPSOHRQWKHVOLGHFUHDWHVWKH'(37WDEOHZLWKWKUHHFROXPQV²QDPHO\'(3712'1$0(

DQG/2&,WIXUWKHUFRQILUPVWKHFUHDWLRQRIWKHWDEOHE\LVVXLQJWKH'(6&5,%(FRPPDQG

6LQFHFUHDWLQJDWDEOHLVD''/VWDWHPHQWDQDXWRPDWLFFRPPLWWDNHVSODFHZKHQWKLVVWDWHPHQWLV

H[HFXWHG

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
7DEOHVLQWKH2UDFOH'DWDEDVH

‡ 8VHU7DEOHV
± &ROOHFWLRQRIWDEOHVFUHDWHGDQG
PDLQWDLQHGE\WKHXVHU
± &RQWDLQXVHULQIRUPDWLRQ
‡ 'DWD'LFWLRQDU\
± &ROOHFWLRQRIWDEOHVFUHDWHGDQG
PDLQWDLQHGE\WKH2UDFOHVHUYHU
± &RQWDLQGDWDEDVHLQIRUPDWLRQ

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

7DEOHVLQWKH2UDFOH'DWDEDVH

8VHUWDEOHVDUHWDEOHVFUHDWHGE\WKHXVHUVXFKDV(03WKDWFRQWDLQXVHULQIRUPDWLRQ7KHUHLV

DQRWKHUFROOHFWLRQRIWDEOHVDQGYLHZVLQWKH2UDFOHGDWDEDVHNQRZQDVWKHGDWDGLFWLRQDU\7KLV

FROOHFWLRQLVFUHDWHGDQGPDLQWDLQHGE\WKH2UDFOH6HUYHUDQGFRQWDLQVLQIRUP DWLRQDERXWWKH

GDWDEDVH

$OOGDWDGLFWLRQDU\WDEOHVDUHRZQHGE\WKH6<6XVHU7KHEDVHWDEOHVDUHUDUHO\DFFHVVHGGLUHFWO\

EHFDXVHWKHLQIRUPDWLRQLQWKHPLVQRWHDV\WRXQGHUVWDQG7KHUHIRUHXVHUVW\SLFDOO\DFFHVVGDWD

GLFWLRQDU\YLHZVEHFDXVHWKHLQIRUPDWLRQLVSUHVHQWHGLQDIRUPDWWKDWLVHDVLHUWRXQGHUVWDQG

,QIRUPDWLRQVWRUHGLQWKHGDWDGLFWLRQDU\LQFOXGHQDPHVRIWKH2UDFOH6HUYHUXVHUVSULYLOHJHVJUDQWHG

WRXVHUVGDWDEDVHREMHFWQDPHVWDEOHFRQVWUDLQWVDQGDXGLWLQJLQIRUPDWLRQ

7KHUHDUHIRXUFDWHJRULHVRIGDWDGLFWLRQDU\YLHZVHDFKFDWHJRU\KDVDG LVWLQFWSUHIL[ZKLFKUHIOHFWV

WKHLULQWHQGHGXVH

3UHIL[ 'HVFULSWLRQ

86(5B &RQWDLQVREMHFWVRZQHGE\WKHXVHU

$//B $FFHVVHVREMHFWVWRZKLFKWKHXVHUKDVEHHQJUDQWHGDFFHVVULJKWVLQ

DGGLWLRQWRREMHFWVRZQHGE\WKHXVHU

'%$B $OORZVXVHUVZLWK'%$SULYLOHJHWRDFFHVVDQ\REMHFWLQWKH

GDWDEDVH

9B 'LVSOD\VGDWDEDVHVHUYHUSHUIRUPDQFHDQGORFNLQJ,QLWLDOO\DYDLODEOH

RQO\WRWKH'%$

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
4XHU\LQJWKH'DWD'LFWLRQDU\
‡ 'HVFULEHWDEOHVRZQHGE\WKHXVHU
64/!6(/(&7 
 )520
 XVHUBWDEOHV

‡ 9LHZGLVWLQFWREMHFWW\SHVRZQHGE\WKH
XVHU
64/!6(/(&7 ',67,1&7REMHFWBW\SH
 )520 XVHUBREMHFWV

‡ 9LHZWDEOHVYLHZVV\QRQ\PVDQG
VHTXHQFHVRZQHGE\WKHXVHU
64/!6(/(&7 
 )520 XVHUBFDWDORJ

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

4XHU\LQJWKH'DWD'LFWLRQDU\

<RXFDQTXHU\WKHGDWDGLFWLRQDU\WDEOHVWRYLHZYDULRXVGDWDEDVHREMHFWVRZQHGE\\RX7KHGDWD

GLFWLRQDU\WDEOHVIUHTXHQWO\XVHGDUHWKHVH

‡ 86(5B7$%/(6

‡ 86(5B2%-(&76

‡ 86(5B&$7$/2*

1RWH86(5B&$7$/2*KDVDV\QRQ\PFDOOHG&$7<RXFDQXVHWKLVV\QRQ\PLQVWHDGRI

86(5B&$7$/2*LQ64/VWDWHPHQWV

64/!6(/(&7
)520&$7

&ODVV0DQDJHPHQW1RWH )RUVOLGH

2UDFOHLQWURGXFHVODUJHREMHFW /2% GDWDW\SHVWKDWFDQVWRUHODUJHDQGXQVWUXFWXUHGGDWDVXFKDV

WH[WLPDJHYLGHRDQGVSDWLDOGDWDXSWRJLJDE\WHVLQVL]H

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
'DWDW\SHV
'DWDW\SH 'HVFULSWLRQ

9$5&+$5 VL]H 9DULDEOHOHQJWKFKDUDFWHUGDWD

&+$5 VL]H  )L[HGOHQJWKFKDUDFWHUGDWD

180%(5 S V  9DULDEOHOHQJWKQXPHULFGDWD

'$7( 'DWHDQGWLPHYDOXHV

/21* 9DULDEOHOHQJWKFKDUDFWHUGDWD

XSWRJLJDE\WHV

&/2% 6LQJOHE\WHFKDUDFWHUGDWDXSWR

JLJDE\WHV

5$:DQG/21*5$: 5DZELQDU\GDWD

%/2% %LQDU\GDWDXSWRJLJDE\WHV

%),/( %LQDU\GDWDVWRUHGLQDQH[WHUQDO

ILOHXSWRJLJDE\WHV

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

'DWDW\SHV

'DWDW\SH 'HVFULSWLRQ

9$5&+$5 VL]H 9DULDEOHOHQJWKFKDUDFWHUGDWD $PD[LPXPVL]HPXVWEHVSHFLILHG

'HIDXOWDQGPLQLPXPVL]HLVPD[LPXPVL]HLV

&+$5 VL]H )L[HGOHQJWKFKDUDFWHUGDWDRIOHQJWKVL]HE\WHV 'HIDXOWDQG

PLQLPXPVL]HLVPD[LPXPVL]HLV

180%(5 SV 1XPEHUKDYLQJSUHFLVLRQSDQGVFDOHV 7KHSUHFLVLRQLVWKHWRWDO

QXPEHURIGHFLPDOGLJLWVDQGWKHVFDOHLVWKHQXPEHURIGLJLWVWRWKH

ULJKWRIWKHGHFLPDOSRLQW7KHSUHFLVLRQFDQUDQJHIURPWRDQG

WKHVFDOHFDQUDQJHIURPWR

'$7( 'DWHDQGWLPHYDOXHVEHWZHHQ-DQXDU\%&DQG'HFHPEHU

$'

/21* 9DULDEOHOHQJWKFKDUDFWHUGDWDXSWRJLJDE\WHV

&/2% 6LQJOHE\WHFKDUDFWHUGDWDXSWRJLJDE\WHV

5$: VL]H 5DZELQDU\GDWDRIOHQJWKVL]H $PD[LPXPVL]HPXVWEHVSHFLILHG

0D[LPXPVL]HLV

/21*5$: 5DZELQDU\GDWDRIYDULDEOHOHQJWKXSWRJLJDE\WHV

%/2% %LQDU\GDWDXSWRJLJDE\WHV

%),/( %LQDU\GDWDVWRUHGLQDQH[WHUQDOILOHXSWRJLJDE\WHV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
&UHDWLQJD7DEOH
E\8VLQJD6XETXHU\
‡ &UHDWHDWDEOHDQGLQVHUWURZVE\
FRPELQLQJWKH&5($7(7$%/(VWDWHPHQW
DQG$6VXETXHU\RSWLRQ
&5($7(7$%/(WDEOH
 > FROXPQFROXPQ @
$6VXETXHU\

‡ 0DWFKWKHQXPEHURIVSHFLILHGFROXPQV
WRWKHQXPEHURIVXETXHU\FROXPQV
‡ 'HILQHFROXPQVZLWKFROXPQQDPHVDQG
GHIDXOWYDOXHV
 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

&UHDWLQJD7DEOHIURP5RZVLQ$QRWKHU7DEOH

$VHFRQGPHWKRGWRFUHDWHDWDEOHLVWRDSSO\WKH$6VXETXHU\FODXVHWRERWKFUHDWHWKHWDEOHDQG

LQVHUWURZVUHWXUQHGIURPWKHVXETXHU\

,QWKHV\QWD[

WDEOH LVWKHQDPHRIWKHWDEOH

FROXPQ LVWKHQDPHRIWKHFROXPQGHIDXOWYDOXHDQGLQWHJULW\FRQVWUDLQW

VXETXHU\ LVWKH6(/(&7VWDWHPHQWWKDWGHILQHVWKHVHWRIURZVWREHLQVHUWHGLQWRWKH

QHZWDEOH

*XLGHOLQHV

‡ 7KHWDEOHZLOOEHFUHDWHGZLWKWKHVSHFLILHGFROXPQQDPHVDQGWKHURZVUHWULHYHGE\WKH

6(/(&7VWDWHPHQWZLOOEHLQVHUWHGLQWRWKHWDEOH

‡ 7KHFROXPQGHILQLWLRQFDQFRQWDLQRQO\WKHFROXPQQDPHDQGGHIDXOWYDOXH

‡ ,IFROXPQVSHFLILFDWLRQVDUHJLYHQWKHQXPEHURIFROXPQVPXVWHTXDOWKHQXPEHURIFROXPQV

LQWKHVXETXHU\6(/(&7OLVW

‡ ,IQRFROXPQVSHFLILFDWLRQVDUHJLYHQWKHFROXPQQDPHVRIWKHWDEOHDUHWKHVDPHDVWKHFROXPQ

QDPHVLQWKHVXETXHU\

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
&UHDWLQJD7DEOH
E\8VLQJD6XETXHU\
64/!&5($7(7$%/( GHSW
 $6
 6(/(&7 HPSQRHQDPHVDO $116$/KLUHGDWH
 )520 HPS
 :+(5( GHSWQR 
7DEOHFUHDWHG

64/!'(6&5,%(GHSW

1DPH1XOO"7\SH

(031212718//180%(5 
(1$0(9$5&+$5 
$116$/180%(5
+,5('$7('$7(

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

&UHDWLQJD7DEOHIURP5RZVLQ$QRWKHU7DEOH FRQWLQXHG

7KHVOLGHH[DPSOHFUHDWHVDWDEOH'(37WKDWFRQWDLQVGHWDLOVRIDOOWKHHPSOR\HHVZRUN LQJLQ

GHSDUWPHQW1RWLFHWKDWWKHGDWDIRUWKH'(37WDEOHLVFRPLQJIURPWKH(03WDEOH

<RXFDQYHULI\WKHH[LVWHQFHRIDGDWDEDVHWDEOHDQGFKHFNFROXPQGHILQLWLRQVE\XVLQJWKH64/ 3OXV

'(6&5,%(FRPPDQG

*LYHDFROXPQDOLDVZKHQVHOHFWLQJDQH[SUHVVLRQ

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
7KH$/7(57$%/(6WDWHPHQW
8VHWKH$/7(57$%/(VWDWHPHQWWR
‡ $GGDQHZFROXPQ
‡ 0RGLI\DQH[LVWLQJFROXPQ
‡ 'HILQHDGHIDXOWYDOXHIRUWKHQHZFROXPQ
$/7(57$%/(WDEOH
$''  FROXPQGDWDW\SH>'()$8/7H[SU@
>FROXPQGDWDW\SH@ 

$/7(57$%/(WDEOH
02',)<  FROXPQGDWDW\SH>'()$8/7H[SU@
>FROXPQGDWDW\SH@ 

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

$/7(57$%/(6WDWHPHQW

$IWHU\RXFUHDWH\RXUWDEOHV\RXPD\QHHGWRFKDQJHWKHWDEOHVWUXFWXUHVEHFDXVH\RX RPLWWHGD

FROXPQRU\RXUFROXPQGHILQLWLRQQHHGVWREHFKDQJHG<RXFDQGRWKLVE\XVLQJWKH$/7(57$%/(

VWDWHPHQW

<RXFDQDGGFROXPQVWRDWDEOHE\XVLQJWKH$/7(57$%/(VWDWHPHQWZLWKWKH$''FODXVH

,QWKHV\QWD[

WDEOH LVWKHQDPHRIWKHWDEOH

FROXPQ LVWKHQDPHRIWKHQHZFROXPQ

GDWDW\SH LVWKHGDWDW\SHDQGOHQJWKRIWKHQHZFROXPQ

'()$8/7H[SU VSHFLILHVWKHGHIDXOWYDOXHIRUDQHZFROXPQ

<RXFDQPRGLI\H[LVWLQJFROXPQVLQDWDEOHE\XVLQJWKH$/7(57$%/(VWDWHPHQWZLWKWKH

02',)<FODXVH

1RWH7KHVOLGHJLYHVWKHDEULGJHGV\QWD[IRU$/7(57$%/(0RUHDERXW$/7(57$%/(LV

FRYHUHGLQDVXEVHTXHQWOHVVRQ

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
$GGLQJD&ROXPQ
³«DGGD
'(37 1HZFROXPQ
QHZ
(0312(1$0( $116$/ +,5('$7( -2% FROXPQ
 
 %/$.(   0$< LQWR

 0$57,1   6(3 '(37


 $//(1  )(% WDEOH«´
 7851(5   6(3


'(37

(0312(1$0( $116$/ +,5('$7( -2%


 
 %/$.(   0$<
 0$57,1   6(3
 $//(1  )(%
 7851(5   6(3

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

$GGLQJD&ROXPQ

7KHJUDSKLFDGGVWKH-2%FROXPQWR'(37WDEOH1RWLFHWKDWWKHQHZFROXPQEHFRPHVWKHODVW

FROXPQLQWKHWDEOH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
$GGLQJD&ROXPQ
‡ <RXXVHWKH$''FODXVHWRDGGFROXPQV
64/!$/7(57$%/(GHSW
$''  MRE9$5&+$5  
7DEOHDOWHUHG

‡ 7KHQHZFROXPQEHFRPHVWKHODVWFROXPQ
(0312(1$0($116$/+,5('$7(-2%

%/$.(0$<
0$57,16(3
$//(1)(%
7851(56(3

URZVVHOHFWHG

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

*XLGHOLQHVIRU$GGLQJD&ROXPQ

‡ <RXFDQDGGRUPRGLI\FROXPQVEXW\RXFDQQRWGURSWKHPIURPDWDEOH

‡ <RXFDQQRWVSHFLI\ZKHUHWKHFROXPQLVWRDSSHDU7KHQHZFROXPQEHFRPHVWKHODVWFROXPQ

7KHH[DPSOHRQWKHVOLGHDGGVDFROXPQQDPHG -2%WRWKH'(37WDEOH7KH-2%FROXPQEHFRPHV

WKHODVWFROXPQLQWKHWDEOH

1RWHIf a table already contains rows when a column is added, then the new column is initially null

for all the rows.

&ODVV0DQDJHPHQW1RWH

2UDFOHLSURYLGHVQHZRSWLRQVIRUWKH$/7(57$%/(FRPPDQGLQFOXGLQJWKHDELOLW\WRGURSD

FROXPQIURPDWDEOH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
0RGLI\LQJD&ROXPQ
‡ <RXFDQFKDQJHDFROXPQ¶VGDWDW\SH
VL]HDQGGHIDXOWYDOXH
$/7(57$%/( GHSW
02',)< HQDPH9$5&+$5  
7DEOHDOWHUHG

‡ $FKDQJHWRWKHGHIDXOWYDOXHDIIHFWV
RQO\VXEVHTXHQWLQVHUWLRQVWRWKHWDEOH

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

0RGLI\LQJD&ROXPQ

<RXFDQPRGLI\DFROXPQGHILQLWLRQE\XVLQJWKH$/7(57$%/(VWDWH PHQWZLWKWKH02',)<

FODXVH&ROXPQPRGLILFDWLRQFDQLQFOXGHFKDQJHVWRDFROXPQ ¶VGDWDW\SHVL]HDQGGHIDXOWYDOXH

*XLGHOLQHV

‡ ,QFUHDVHWKHZLGWKRUSUHFLVLRQRIDQXPHULFFROXPQ

‡ 'HFUHDVHWKHZLGWKRIDFROXPQLIWKHFROXP QFRQWDLQVRQO\QXOOYDOXHVRULIWKHWDEOHKDVQR

URZV

‡ &KDQJHWKHGDWDW\SHLIWKHFROXPQFRQWDLQVQXOOY DOXHV

‡ &RQYHUWD&+$5FROXPQWRWKH9$5&+$5GDWDW\SHRUFRQYHUWD9$5&+$5FROXPQWRWKH

&+$5GDWDW\SHLIWKHFROXPQFRQWDLQVQXOOYDOXHVRULI\RXGRQRWFKDQJHWKHVL]H

‡ $FKDQJHWRWKHGHIDXOWYDOXHRIDFROXPQDIIHFWVRQO\VXEVHTXHQWLQVHUWLRQVWRWKHWDEOH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
'URSSLQJD7DEOH

‡ $OOGDWDDQGVWUXFWXUHLQWKHWDEOHLV
GHOHWHG
‡ $Q\SHQGLQJWUDQVDFWLRQVDUH
FRPPLWWHG
‡ $OOLQGH[HVDUHGURSSHG
‡ <RXFDQQRWUROOEDFNWKLVVWDWHPHQW
64/!'5237$%/(GHSW
7DEOHGURSSHG

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

'URSSLQJD7DEOH

7KH'5237$%/(VWDWHPHQWUHPRYHVWKHGHILQLWLRQRIDQ2UDFOHWDEOH:KHQ\RXGURSDWDEOHWKH

GDWDEDVHORVHVDOOWKHGDWDLQWKHWDEOHDQGDOOWKHLQGH[HVDVVRFLDWHGZLWKLW

6\QWD[

'5237$%/(WDEOH
ZKHUH WDEOH LVWKHQDPHRIWKHWDEOH

*XLGHOLQHV

‡ $OOGDWDLVGHOHWHGIURPWKHWDEOH

‡ $Q\YLHZVDQGV\QRQ\PVZLOOUHPDLQEXWDUHLQYDOLG

‡ $Q\SHQGLQJWUDQVDFWLRQVDUHFRPPLWWHG

‡ 2QO\WKHFUHDWRURIWKHWDEOHRUDXVHUZLWKWKH'523$1<7$%/(SULYLOHJHFDQUHPRYHD

WDEOH

7KH'5237$%/(VWDWHPHQWRQFHH[HFXWHGLVLUUHYHUVLEOH7KH2UDFOH6HUYHUGRHVQRWTXHVWLRQWKH

DFWLRQZKHQ\RXLVVXHWKH'5237$%/(VWDWHPHQW,I\RXRZQWKDWWDEOHRUKDYHDKLJKOHYHO

SULYLOHJHWKHQWKHWDEOHLVLPPHGLDWHO\UHPRYHG$OO''/VWDWHPHQWVLVVXHDFRPPLWWKHUHIRUH

PDNLQJWKHWUDQVDFWLRQSHUPDQHQW

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
&KDQJLQJWKH1DPHRIDQ2EMHFW

‡ 7RFKDQJHWKHQDPHRIDWDEOHYLHZ
VHTXHQFHRUV\QRQ\P\RXH[HFXWHWKH
5(1$0(VWDWHPHQW
64/!5(1$0(GHSW72GHSDUWPHQW
7DEOHUHQDPHG

‡ <RXPXVWEHWKHRZQHURIWKHREMHFW

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

5HQDPLQJD7DEOH

$GGLWLRQDO''/VWDWHPHQWVLQFOXGHWKH5(1$0(VWDWHPHQWZKLFKLVXVHGWRUHQDPHDWDEOHYLHZ

VHTXHQFHRUDV\QRQ\P

6\QWD[

5(1$0(ROGBQDPH72QHZBQDPH
ZKHUH ROGBQDPH LVWKHROGQDPHRIWKHWDEOHYLHZVHTXHQFHRUV\QRQ\P

QHZBQDPH LVWKHQHZQDPHRIWKHWDEOHYLHZVHTXHQFHRUV\QRQ\P

<RXPXVWEHWKHRZQHURIWKHREMHFWWKDW\RXUHQDPH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
7UXQFDWLQJD7DEOH
‡ 7KH7581&$7(7$%/(VWDWHPHQW
± 5HPRYHVDOOURZVIURPDWDEOH
± 5HOHDVHVWKHVWRUDJHVSDFHXVHGE\
WKDWWDEOH
64/!7581&$7(7$%/(GHSDUWPHQW
7DEOHWUXQFDWHG

‡ <RXFDQQRWUROOEDFNURZUHPRYDOZKHQ
XVLQJ7581&$7(
‡ $OWHUQDWLYHO\\RXFDQUHPRYHURZVE\
XVLQJWKH'(/(7(VWDWHPHQW
 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

7UXQFDWLQJD7DEOH

$QRWKHU''/VWDWHPHQWLVWKH 7581&$7(7$%/(VWDWHPHQWZKLFKLVXVHGWRUHP RYHDOOURZV

IURPDWDEOHDQGWRUHOHDVHWKHVWRUDJHVSDFHXVHGE\WKDWWDEOH:KHQXVLQJWKH7581&$7(7$%/(

VWDWHPHQW\RXFDQQRWUROOEDFNURZUHPRYDO

6\QWD[

7581&$7(7$%/(WDEOH
ZKHUH WDEOH LVWKHQDPHRIWKHWDEOH

<RXPXVWEHWKHRZQHURIWKHWDEOHRUKDYH'(/(7(7$%/(V\VWHPSULYLOHJHVWRWUXQFDWHDWDEOH

7KH'(/(7(VWDWHPHQWFDQDOVRUHP RYHDOOURZVIURPDWDEOHEXWLWGRHVQRWUHOHDVHVWRUDJHVSDFH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
$GGLQJ&RPPHQWVWRD7DEOH
‡ <RXFDQDGGFRPPHQWVWRDWDEOHRU
FROXPQE\XVLQJWKH&200(17
VWDWHPHQW
64/!&200(17217$%/(HPS
,6
(PSOR\HH,QIRUPDWLRQ

&RPPHQWFUHDWHG

‡ &RPPHQWVFDQEHYLHZHGWKURXJKWKH
GDWDGLFWLRQDU\YLHZV
± $//B&2/B&200(176
± 86(5B&2/B&200(176
± $//B7$%B&200(176
± 86(5B7$%B&200(176
 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

$GGLQJD&RPPHQWWRD7DEOH

<RXFDQDGGDFRPPHQWRIXSWRE\WHVDERXWDFROXPQWDEOHYLHZRUVQDSVKRWE\XVLQJWKH

&200(17VWDWHPHQW7KHFRPPHQWLVVWRUHGLQWKHGDWDGLFWLRQDU\DQGFDQEHYLH ZHGLQRQHRIWKH

IROORZLQJGDWDGLFWLRQDU\YLHZVLQWKH&200(176FROXPQ

‡ $//B&2/B&200(176

‡ 86(5B&2/B&200(176

‡ $//B7$%B&200(176

‡ 86(5B7$%B&200(176

6\QWD[

&200(17217$%/(WDEOH_&2/801WDEOHFROXPQ
,6
WH[W


ZKHUH WDEOH LVWKHQDPHRIWKHWDEOH

FROXPQ LVWKHQDPHRIWKHFROXPQLQDWDEOH

WH[W LVWKHWH[WRIWKHFRPPHQW

<RXFDQGURSDFRPPHQWIURPWKHGDWDEDVHE\VHWWLQJLWWRHPSW\VWULQJ


64/!&200(17217$%/(HPS,6



,QWURGXFWLRQWR2UDFOH64/DQG3/64/
6XPPDU\

6WDWHPHQW 'HVFULSWLRQ

&5($7(7$%/( &UHDWHVDWDEOH

$/7(57$%/( 0RGLILHVWDEOHVWUXFWXUHV

'5237$%/( 5HPRYHVWKHURZVDQGWDEOHVWUXFWXUH

5(1$0( &KDQJHVWKHQDPHRIDWDEOHYLHZ

VHTXHQFHRUV\QRQ\P

7581&$7( 5HPRYHVDOOURZVIURPDWDEOHDQG

UHOHDVHVWKHVWRUDJHVSDFH

&200(17 $GGVFRPPHQWVWRDWDEOHRUYLHZ

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

&5($7(7$%/(

‡ &UHDWHDWDEOH

‡ &UHDWHDWDEOHEDVHGRQDQRWKHUWDEOHE\XVLQJDVXETXHU\

$/7(57$%/(

‡ 0RGLI\WDEOHVWUXFWXUHV

‡ &KDQJHFROXPQZLGWKVFKDQJHFROXPQGDWDW\SHVDQGDGGFROXPQV

'5237$%/(

‡ 5HPRYHURZVDQGDWDEOHVWUXFWXUH

‡ 2QFHH[HFXWHGWKLVVWDWHPHQWFDQQRWEHUROOHGEDFN

5(1$0(

‡ 5HQDPHDWDEOHYLHZVHTXHQFHRUV\QRQ\P

7581&$ 7(

‡ 5HPRYHDOOURZVIURPDWDEOHDQGUHOHDVHWKHVWRUDJHVSDFHXVHGE\WKHWDEOH

‡ 7KH'(/(7(VWDWHPHQWUHPRYHVRQO\URZV

&200(17

‡ $GGDFRPPHQWWRDWDEOHRUDFROXPQ

‡ 4XHU\WKHGDWDGLFWLRQDU\WRYLHZWKHFRPPHQW

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH2YHUYLHZ

‡ &UHDWLQJQHZWDEOHV
‡ &UHDWLQJDQHZWDEOHE\XVLQJWKH
&5($7(7$%/($6V\QWD[
‡ 0RGLI\LQJFROXPQGHILQLWLRQV
‡ 9HULI\LQJWKDWWKHWDEOHVH[LVW
‡ $GGLQJFRPPHQWVWRDWDEOHV
‡ 'URSSLQJWDEOHV
‡ $OWHULQJWDEOHV
 2UDFOH&RUSR UDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

3UDFWLFH2YHUYLHZ

&UHDWHQHZWDEOHVE\XVLQJWKH&5($7(7$%/(VWDWHPHQW&RQILUPWKDWWKHQHZWDEOHZDVDGGHG

WRWKHGDWDEDVH&UHDWHWKHV\QWD[LQWKHFRPPDQGILOHDQGWKHQH[HFXWHWKHFRPPDQGILOHWRFUHDWH

WKHWDEOH

&ODVV0DQDJHPHQW1RWH

7KHUHIHUHQFHWRµ&KDU¶DVWKHGDWDW\SHIRUFROXPQVLQWKHODEH[HUFLVHVRQO\LQGLFDWHµFKDUDFWHULQ

W\SH¶QRWWKH&+$5GDWDW\SH$GYLVHWKHVWXGHQWVWRXVH9$5&+$5DVWKHGDWDW\SHIRUFKDUDFWHU

FROXPQV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH

 &UHDWHWKH'(3$570(17WDEOHEDVHGRQWKHIROORZLQJWDEOHLQVWDQFHFKDUW(QWHUWKH

V\QWD[LQDVFULSWFDOOHGSTVTOWKHQH[HFXWHWKHVFULSWWRFUHDWHWKHWDEOH&RQILUPWKDW

WKHWDEOHLVFUHDWHG

&ROXPQ1DPH ,G 1DPH

.H\7\SH

1XOOV8QLTXH

).7DEOH

).&ROXPQ

'DWDW\SH 1XPEHU 9DUFKDU

/HQJWK  

1DPH1XOO"7\SH

,'180%(5 
1$0(9$5&+$5 

 3RSXODWHWKH'(3$570(17WDEOHZLWKGDWDIURPWKH'(37WDEOH,QFOXGHRQO\FROXPQVWKDW

\RXQHHG

 &UHDWHWKH(03/2<((WDEOHEDVHGRQWKHIROORZLQJWDEOHLQVWDQFHFKDUW(QWHUWKHV\QWD[LQ

DVFULSWFDOOHGSTVTODQGWKHQH[HFXWHWKHVFULSWWRFUHDWHWKHWDEOH&RQILUPWKDWWKHWDEOHLV

FUHDWHG

&ROXPQ1DPH ,' /$67B1$0( ),567B1$0( '(37B,'

.H\7\SH

1XOOV8QLTXH

).7DEOH

).&ROXPQ

'DWDW\SH 1XPEHU 9DUFKDU 9DUFKDU 1XPEHU

/HQJWK    

1DPH1XOO"7\SH

,' 180%(5 
/$67B1$0( 9$5&+$5 
),567B1$0( 9$5&+$5 
'(37B,' 180%(5 

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH FRQWLQXHG

 0RGLI\WKH(03/2<((WDEOHWRDOORZIRUORQJHUHPSOR\HHODVWQDPHV&RQILUP\RXU

PRGLILFDWLRQ

1DPH1XOO"7\SH

,' 180%(5 
/$67B1$0( 9$5&+$5 
),567B1$0( 9$5&+$5 
'(37B,' 180%(5 

 &RQILUPWKDWERWKWKH'(3$570(17DQG(03/2<((WDEOHVDUHVWRUHGLQWKHGDWD

GLFWLRQDU\ +LQW86(5B7$%/(6

7$%/(B1$0(

'(3$570(17
(03/2<((

 &UHDWHWKH(03/2<((WDEOHEDVHGRQWKHVWUXFWXUHRIWKH(03WDEOH,QFOXGHRQO\WKH

(0312(1$0(DQG'(3712FROXPQV1DPHWKHFROXPQVLQ\RXUQHZWDEOH,'

/$67B1$0(DQG'(37B,'UHVSHFWLYHO\

 'URSWKH(03/2<((WDEOH

 5HQDPHWKH(03/2<((WDEOHWR(03/2<((

 $GGDFRPPHQWWRWKH'(3$570(17DQG(03/2<((WDEOHGHILQLWLRQVGHVFULELQJWKH

WDEOHV&RQILUP\RXUDGGLWLRQVLQWKHGDWDGLFWLRQDU\

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
,QWURGXFWLRQWR2UDFOH64/DQG3/64/

,QFOXGLQJ&RQVWUDLQWV

2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG
&RS\ULJKW

6FKHGXOH 7LPLQJ 7RSLF

PLQXWHV /HFWXUH

PLQXWHV 3UDFWLFH

PLQXWHV 7RWDO
2EMHFWLYHV

$IWHUFRPSOHWLQJWKLVOHVVRQ\RXVKRXOG
EHDEOHWRGRWKHIROORZLQJ
‡ 'HVFULEHFRQVWUDLQWV
‡ &UHDWHDQGPDLQWDLQFRQVWUDLQWV

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG


&RS\ULJKW

/HVVRQ$LP

,QWKLVOHVVRQ\RXZLOOOHDUQKRZWRLPSOHPHQWEXVLQHVVUXOHVE\LQFOXGLQJLQWHJULW\FRQVWUDLQWV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
:KDW$UH&RQVWUDLQWV"
‡ &RQVWUDLQWVHQIRUFHUXOHVDWWKHWDEOHOHYHO
‡ &RQVWUDLQWVSUHYHQWWKHGHOHWLRQRIDWDEOH
LIWKHUHDUHGHSHQGHQFLHV
‡ 7KHIROORZLQJFRQVWUDLQWW\SHVDUHYDOLGLQ
2UDFOH
± 12718//
± 81,48(
± 35,0$5<.(<
± )25(,*1.(<
± &+(&.
 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG
&RS\ULJKW

&RQVWUDLQWV

7KH2UDFOH6HUYHUXVHVFRQVWUDLQWVWRSUHYHQWLQYDOLGGDWDHQWU\LQWRWDEOHV

<RXFDQXVHFRQVWUDLQWVWRGRWKHIROORZLQJ

‡ (QIRUFHUXOHVDWWKHWDEOHOHYHOZKHQHYHUDURZLVLQVHUWHGXSGDWHGRUGHOHWHGIURPWKDWWDEOH

7KHFRQVWUDLQWPXVWEHVDWLVILHGIRUWKHRSHUDWLRQWRVXFFHHG

‡ 3UHYHQWWKHGHOHWLRQRIDWDEOHLIWKHUHDUHGHSHQGHQFLHVIURPRWKHUWDEOHV

‡ 3URYLGHUXOHVIRU2UDFOHWRROVVXFKDV2UDFOH'HYHORSHU

'DWD,QWHJULW\&RQVWUDLQWV

&RQVWUDLQW 'HVFULSWLRQ

12718// 6SHFLILHVWKDWWKLVFROXPQPD\QRWFRQWDLQDQXOOYDOXH

81,48( 6SHFLILHVDFROXPQRUFRPELQDWLRQRIFROXPQVZKRVHYDOXHVPXVWEH

XQLTXHIRUDOOURZVLQWKHWDEOH

35,0$5<.(< 8QLTXHO\LGHQWLILHVHDFKURZRIWKHWDEOH

)25(,*1.(< (VWDEOLVKHVDQGHQIRUFHVDIRUHLJQNH\UHODWLRQVKLSEHWZHHQWKH

FROXPQDQGDFROXPQRIWKHUHIHUHQFHGWDEOH

&+(&. 6SHFLILHVDFRQGLWLRQWKDWPXVWEHWUXH

)RUPRUHLQIRUPDWLRQVHH

2UDFOH6HUYHU64/5HIHUHQFH5HOHDVH³&21675$,17&ODXVH´

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
&RQVWUDLQW*XLGHOLQHV
‡ 1DPHDFRQVWUDLQWRUWKH2UDFOH6HUYHUZLOO
JHQHUDWHDQDPHE\XVLQJWKH6<6B&Q
IRUPDW
‡ &UHDWHDFRQVWUDLQW
± $WWKHVDPHWLPHDVWKHWDEOHLVFUHDWHG
± $IWHUWKHWDEOHKDVEHHQFUHDWHG
‡ 'HILQHDFRQVWUDLQWDWWKHFROXPQRUWDEOH
OHYHO
‡ 9LHZDFRQVWUDLQWLQWKHGDWDGLFWLRQDU\
 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG
&RS\ULJKW

&RQVWUDLQW*XLGHOLQHV

$OOFRQVWUDLQWVDUHVWRUHGLQWKHGDWDGLFWLRQDU\&RQVWUDLQWVDUHHDV\WRUHIHUHQFHLI\RXJLYHWKHPD

PHDQLQJIXOQDPH&RQVWUDLQWQDPHVPXVWIROORZWKHVWDQGDUGREMHFWQDPLQJUXOHV,I\RXGRQRW

QDPH\RXUFRQVWUDLQW2UDFOHJHQHUDWHVDQDPHZLWKWKHIRUPDW6<6B&QZKHUHQLVDQLQWHJHUWR

FUHDWHDXQLTXHFRQVWUDLQWQDPH

&RQVWUDLQWVFDQEHGHILQHGDWWKHWLPHRIWDEOHFUHDWLRQRUDIWHUWKHWDEOHKDVEHHQFUHDWHG

<RXFDQYLHZWKHFRQVWUDLQWVGHILQHGIRUDVSHFLILFWDEOHE\ORRNLQJDWWKH86(5B&21675$,176

GDWDGLFWLRQDU\WDEOH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
'HILQLQJ&RQVWUDLQWV
&5($7(7$%/(>VFKHPD@WDEOH
 FROXPQGDWDW\SH>'()$8/7H[SU@
>FROXPQBFRQVWUDLQW@

>WDEOHBFRQVWUDLQW@>@ 

&5($7(7$%/(HPS
 HPSQR180%(5  
 HQDPH9$5&+$5  
 
 GHSWQR180%(5  12718//
&21675$,17HPSBHPSQRBSN
 35,0$5<.(< (0312 

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG


&RS\ULJKW

'HILQLQJ&RQVWUDLQWV

7KHVOLGHJLYHVWKHV\QWD[IRUGHILQLQJFRQVWUDLQWVZKLOHFUHDWLQJDWDEOH

,QWKHV\QWD[

VFKHPD LVWKHVDPHDVWKHRZQHU¶VQDPH

WDEOH LVWKHQDPHRIWKHWDEOH

'()$8/7H[SU VSHFLILHVDGHIDXOWYDOXHLIDYDOXHLVRPLWWHGLQWKH,16(57VWDWHPHQW

FROXPQ LVWKHQDPHRIWKHFROXPQ

GDWDW\SH LVWKHFROXPQ¶VGDWDW\SHDQGOHQJWK

FROXPQBFRQVWUDLQW LVDQLQWHJULW\FRQVWUDLQWDVSDUWRIWKHFROXPQGHILQLWLRQ

WDEOHBFRQVWUDLQW LVDQLQWHJULW\FRQVWUDLQWDVSDUWRIWKHWDEOHGHILQLWLRQ

)RUPRUHLQIRUPDWLRQVHH

2UDFOH6HUYHU64/5HIHUHQFH5HOHDVH³&5($7(7$%/(´

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
'HILQLQJ&RQVWUDLQWV

‡ &ROXPQFRQVWUDLQWOHYHO
FROXPQ>&21675$,17FRQVWUDLQWBQDPH@FRQVWUDLQWBW\SH

‡ 7DEOHFRQVWUDLQWOHYHO
FROXPQ
>&21675$,17FRQVWUDLQWBQDPH@FRQVWUDLQWBW\SH
 FROXPQ 

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG


&RS\ULJKW

'HILQLQJ&RQVWUDLQWV FRQWLQXHG

&RQVWUDLQWVDUHXVXDOO\FUHDWHGDWWKHVDPHWLPHDVWKHWDEOH&RQVWUDLQWVFDQEHDGGHGWRDWDEOHDIWHU

LWVFUHDWLRQDQGDOVRWHPSRUDULO\GLVDEOHG

&RQVWUDLQWVFDQEHGHILQHGDWRQHRIWZROHYHOV

&RQVWUDLQW 'HVFULSWLRQ

/HYHO

&ROXPQ 5HIHUHQFHVDVLQJOHFROXPQDQGLVGHILQHGZLWKLQDVSHFLILFDWLRQIRUWKHRZQLQJ

FROXPQFDQGHILQHDQ\W\SHRILQWHJULW\FRQVWUDLQW

7DEOH 5HIHUHQFHVRQHRUPRUHFROXPQVDQGLVGHILQHGVHSDUDWHO\IURPWKHGHILQLWLRQV

RIWKHFROXPQVLQWKHWDEOHFDQGHILQHDQ\FRQVWUDLQWVH[FHSW12718//

,QWKHV\QWD[

FRQVWUDLQWBQDPH LVWKHQDPHRIWKHFRQVWUDLQW

FRQVWUDLQWBW\SH LVWKHW\SHRIWKHFRQVWUDLQW

&ODVV0DQDJHPHQW1RWH

([SODLQWKDWWKHFROXPQO HYHODQGWKHWDEOHOHYHOUHIHUWRORFDWLRQLQWKHV\QWD[

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
7KH12718//&RQVWUDLQW
(QVXUHVWKDWQXOOYDOXHVDUHQRWSHUPLWWHG
IRUWKHFROXPQ
(03

(0312(1$0( -2% &200'(3712


 .,1* 35(6,'(17 
 %/$.( 0$1$*(5 
 &/$5. 0$1$*(5 
 -21(6 0$1$*(5 


12718//FRQVWUDLQW $EVHQFHRI12718// 12718//FRQVWUDLQW


QRURZFDQFRQWDLQ FRQVWUDLQW
DQXOOYDOXHIRU DQ\URZFDQFRQWDLQ
WKLVFROXPQ QXOOIRUWKLVFROXPQ

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG


&RS\ULJKW

7KH12718//&RQVWUDLQW

7KH12718//FRQVWUDLQWHQVXUHVWKDWQXOOYDOXHVDUHQRWDOORZHGLQWKHFROXPQ&ROXPQVZLWKRXW

WKH12718//FRQVWUDLQWFDQFRQWDLQQXOOYDOXHVE\GHIDXOW

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
7KH12718//&RQVWUDLQW
'HILQHGDWWKHFROXPQOHYHO
64/!&5($7(7$%/(HPS
 HPSQR 180%(5  
 HQDPH 9$5&+$5  12718//
 MRE 9$5&+$5  
 PJU 180%(5  
 KLUHGDWH '$7(
 VDO 180%(5  
 FRPP 180%(5  
 GHSWQR 180%(5  12718// 

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG


&RS\ULJKW

7KH12718//&RQVWUDLQW FRQWLQXHG

7KH12718//FRQVWUDLQWFDQEHVSHFLILHGRQO\DWWKHFROXP QOHYHOQRWDWWKHWDEOHOHYHO

7KHVOLGHH[DPSOHDSSOLHVWKH12718//FRQVWUDLQWWRWKH(1$0(DQG'(3712FROXPQVRIWKH

(03WDEOH%HFDXVHWKHVHFRQVWUDLQWVDUHXQQDPHGWKH2UDFOH6HUYHUZLOOFUHDWH QDPHVIRUWKHP

<RXFDQVSHFLI\WKHQDPHRIWKHFRQVWUDLQWZKLOHVSHFLI\LQJWKHFRQVWUDLQW

GHSWQR180%(5  
&21675$,17HPSBGHSWQRBQQ12718//

1RWH$OOWKHFRQVWUDLQWH[DPSOHVGHVFULEHGLQWKLVOHVVRQPD\QRWEHSUHVHQWLQWKHVDPSOHWDEOHV

SURYLGHGZLWKWKHFRXUVH,IGHVLUHGWKHVHFRQVWUDLQWVFDQEHDGGHGWRWKHWDEOHV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
7KH81,48(.H\&RQVWUDLQW
81,48(NH\FRQVWUDLQW

'(37

'(3712'1$0( /2&
 
 $&&2817,1* 1(:<25.
 5(6($5&+ '$//$6
 6$/(6 &+,&$*2
 23(5$7,216 %26721

,QVHUWLQWR 1RWDOORZHG

 6$/(6 '(752,7 '1$0( −6$/(6


DOUHDG\H[LVWV

 %26721 $OORZHG

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG


&RS\ULJKW

7KH81,48(.H\&RQVWUDLQW

$81,48(NH\LQWHJULW\FRQVWUDLQWUHTXLUHVWKDWHYHU\YDOXHLQDFROXPQRUVHWR IFROXPQV NH\ EH

XQLTXH²WKDWLVQRWZRURZVRIDWDEOHKDYHGXSOLFDWHYDOXHVLQDVSHFLILHGFROXPQRUVHWRIFROXPQV

7KHFROXPQ RUVHWRIFROXPQV LQFOXGHGLQWKHGHILQLWLRQRIWKH81,48(NH\FRQVWUDLQWLVFDOOHGWKH

XQLTXHNH\,IWKH81,48(NH\FRPSULVHVPRUHWKDQRQHFROXPQWKDWJURXSRIFROXPQVLVVDLGWREH

DFRPSRVLWHXQLTXHNH\

81,48(NH\FRQVWUDLQWVDOORZWKHLQSXWRIQXOOVXQOHVV\RXDOVRGHILQH12718//FRQVWUDLQWVIRU

WKHVDPHFROXPQV,QIDFWDQ\QXPEHURIURZVFDQLQFOXGHQXOOVIRUFROXPQVZLWKRXW12718//

FRQVWUDLQWVEHFDXVHQXOOVDUHQRWFRQVLGHUHGHTXDOWRDQ\WKLQJ$QXOOLQDFROXPQ RULQDOOFROXPQV

RIDFRPSRVLWH81,48(NH\ DOZD\VVDWLVILHVD81,48(NH\FRQVWUDLQW

1RWH%HFDXVHRIWKHVHDUFKPHFKDQLVPIRU81,48(FRQV WUDLQWVRQPRUHWKDQRQHFROXPQ\RX

FDQQRWKDYHLGHQWLFDOYDOXHVLQWKHQRQQXOOFROXPQ VRIDSDUWLDOO\QXOOFRPSRVLWH81,48(NH\

FRQVWUDLQW

&ODVV0DQDJHPHQW1RWH

([SODLQWRVWXGHQWVWKDWVLQFH6$/(6GHSDUWPHQWDOUHDG\H[LVWVWKHILUVWHQ WU\LVQRWDOORZHG,QWKH

VHFRQGHQWU\WKHGHSDUWPHQWQDPHLVQXOOWKLVHQWU\LVDOORZHG

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
7KH81,48(.H\&RQVWUDLQW

'HILQHGDWHLWKHUWKHWDEOHOHYHORUWKHFROXPQ
OHYHO

64/!&5($7(7$%/(GHSW
 GHSWQR 180%(5  
 GQDPH 9$5&+$5  
 ORF 9$5&+$5  
 &21675$,17GHSWBGQDPHBXN81,48( GQDPH 

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG


&RS\ULJKW

7KH81,48(.H\&RQVWUDLQW FRQWLQXHG

81,48(NH\FRQVWUDLQWVFDQEHGHILQHGDWWKHFROXPQ RUWDEOHOHYHO$FRPSRVLWHXQLTXHNH\LV

FUHDWHGE\XVLQJWKHWDEOHOHYHOGHILQLWLRQ

7KHH[DPSOHRQWKHVOLGHDSSOLHV81,48(NH\FRQVWUDLQWWRWKH'1$0(FROXPQRIWKH'(37WDEOH

7KHQDPHRIWKHFRQVWUDLQWLV'(37B'1$0(B8.

1RWH7KH2UDFOH6HUYHUHQIRUFHVWKH81,48(NH\FRQVWUDLQWE\LPSOLFLWO\FUHDWLQJDXQLTXHLQGH[

RQWKHXQLTXHNH\

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
7KH35,0$5<.(<&RQVWUDLQW
35,0$5<.(<

'(37

'(3712'1$0( /2&
 
 $&&2817,1* 1(:<25.
 5(6($5&+ '$//$6
 6$/(6 &+,&$*2
 23(5$7,216 %26721

,QVHUWLQWR
1RWDOORZHG

 0$5.(7,1* '$//$6 '(3712 −DOUHDG\


H[LVWV

),1$1&( 1(:<25. 1RWDOORZHG

'(3712LVQXOO

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG


&RS\ULJKW

7KH35,0$5<.(<&RQVWUDLQW

$35,0$5<.(<FRQVWUDLQWFUHDWHVDSULPDU\NH\IRUWKHWDEOH2QO\RQHSULPDU\ NH\FDQEH

FUHDWHGIRUDHDFKWDEOH7KH35,0$5<.(<FRQVWUDLQWLVDFROXPQRUVHWRIFROXPQVWKDWXQLTXHO\

LGHQWLILHVHDFKURZLQDWDEOH7KLVFRQVWUDLQWHQIRUFHVXQLTXHQHVVRIWKHFROXPQRUFROXPQ

FRPELQDWLRQDQGH QVXUHVWKDWQRFROXPQWKDWLVSDUWRIWKHSULPDU\NH\FDQFRQWDLQDQXOOYDOXH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
7KH35,0$5<.(<&RQVWUDLQW

'HILQHGDWHLWKHUWKHWDEOHOHYHORUWKHFROXPQ
OHYHO

64/!&5($7(7$%/(GHSW
 GHSWQR 180%(5  
 GQDPH 9$5&+$5  
 ORF 9$5&+$5  
 &21675$,17GHSWBGQDPHBXN81,48( GQDPH 
 &21675$,17GHSWBGHSWQRBSN35,0$5<.(< GHSWQR 

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG


&RS\ULJKW

7KH35,0$5<.(<&RQVWUDLQW FRQWLQXHG

35,0$5<.(<FRQVWUDLQWVFDQEHGHILQHGDWWKHFROXPQOHYHORUWDEOHOHYHO$FRPSRVLWH

35,0$5<.(<LVFUHDWHGE\XVLQJWKHWDEOHOH YHOGHILQLWLRQ

7KHH[DPSOHRQWKHVOLGHGHILQHVD35,0$5<.(<FRQVWUDLQWRQWKH'(3712FROXPQRIWKH'(37

WDEOH7KHQDPHRIWKHFRQVWUDLQWLV'(37B'(3712B3.

1RWH$81,48(LQGH[LVDXWRPDWLFDOO\FUHDWHGIRUD35,0$5<.(<FROXPQ

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
7KH)25(,*1.(<&RQVWUDLQW
'(37

35,0$5< '(3712'1$0( /2&


.(<  
 $&&2817,1* 1(:<25.
 5(6($5&+ '$//$6

(03

(0312(1$0( -2% &200'(3712 )25(,*1

.(<

 .,1* 35(6,'(17 


 %/$.( 0$1$*(5 
 1RWDOORZHG

'(3712 
,QVHUWLQWR
GRHVQRWH[LVW

LQWKH'(37
 )25' 0$1$*(5   WDEOH
 )25' 0$1$*(5  $OORZHG

 &RS\ULJKW 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG

7KH)25(,*1.(<&RQVWUDLQW

7KH)25(,*1.(<RUUHIHUHQWLDOLQWHJULW\FRQVWUDLQWGHVLJQDWHVDFROXPQRUFRPELQDWLRQRI

FROXPQVDVDIRUHLJQNH\DQGHVWDEOLVKHVDUHODWLRQVKLSEHWZHHQDSULPDU\NH\RUDXQLTXHNH\LQWKH

VDPHWDEOHRUDGLIIHUHQWWDEOH,QWKHH[DPSOHRQWKHVOLGH'(3712KDVEHHQGHILQHGDVWKHIRUHLJQ

NH\LQWKH(03WDEOH GHSHQGHQWRUFKLOGWDEOH LWUHIHUHQFHVWKH'(3712FROXPQRIWKH'(37

WDEOH UHIHUHQFHGRUSDUHQWWDEOH 

$IRUHLJQNH\YDOXHPXVWPDWFKDQH[LVWLQJYDOXHLQWKHSDUHQWWDEOHRUEH18//

)RUHLJQNH\VDUHEDVHGRQGDWDYDOXHVDQGDUHSXUHO\ORJLFDOQRWSK\VLFDOSRLQWHUV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
7KH)25(,*1.(<&RQVWUDLQW
'HILQHGDWHLWKHUWKHWDEOHOHYHORUWKH
FROXPQOHYHO
64/!&5($7(7$%/(HPS
 HPSQR 180%(5  
 HQDPH 9$5&+$5  12718//
 MRE 9$5&+$5  
 PJU 180%(5  
 KLUHGDWH '$7(
 VDO 180%(5  
 FRPP 180%(5  
 GHSWQR 180%(5  12718//
 &21675$,17HPSBGHSWQRBIN)25(,*1.(< GHSWQR
 5()(5(1&(6GHSW GHSWQR 

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG


&RS\ULJKW

7KH)25(,*1.(<&RQVWUDLQW FRQWLQXHG

)25(,*1.(<FRQVWUDLQWVFDQEHGHILQHGDWWKHFROXPQRUWDEOHFRQVWUDLQWOHYHO$FRPSRVLWH

IRUHLJQNH\PXVWEHFUHDWHGE\XVLQJWKHWDEOHOHYHOGHILQLWLRQ

7KHH[DPSOHRQWKHVOLGHGHILQHVD)25(,*1.(<FRQVWUDLQWRQWKH'(3712FROXPQRIWKH(03

WDEOHXVLQJWDEOHOHYHOV\QWD[7KHQDPHRIWKHFRQVWUDLQWLV(03B'(3712B).

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
)25(,*1.(<&RQVWUDLQW
.H\ZRUGV
‡ )25(,*1.(<
'HILQHVWKHFROXPQLQWKHFKLOGWDEOHDW
WKHWDEOHFRQVWUDLQWOHYHO
‡ 5()(5(1&(6
,GHQWLILHVWKHWDEOHDQGFROXPQLQWKH
SDUHQWWDEOH
‡ 21'(/(7(&$6&$'(
$OORZVGHOHWLRQLQWKHSDUHQWWDEOHDQG
GHOHWLRQRIWKHGHSHQGHQWURZVLQWKH

FKLOGWDEOH  &RS\ULJKW 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG

7KH)25(,*1.(<&RQVWUDLQW FRQWLQXHG

7KHIRUHLJQNH\LVGHILQHGLQWKHFKLOGWDEOHDQGWKHWDEOHFRQWDLQLQJWKHUHIHUHQFHGFROXPQLVWKH

SDUHQWWDEOH7KHIRUHLJQNH\LVGHILQHGXVLQJDFRPELQDWLRQRIWKHIROORZLQJNH\ZRUGV

‡ )25(,*1.(<LVXVHGWRGHILQHWKHFROXPQLQWKHFKLOGWDEOHDWWKHWDEOHFRQVWUDLQWOHYHO

‡ 5()(5(1&(6LGHQWLILHVWKHWDEOHDQGFROXPQLQWKHSDUHQWWDEOH

‡ 21'(/(7(&$6&$'(LQGLFDWHVWKDWZKHQWKHURZLQWKHSDUHQWWDEOHLVGHOHWHGWKH

GHSHQGHQWURZVLQWKHFKLOGWDEOHZLOODOVREHGHOHWHG

:LWKRXWWKH21'(/(7(&$6&$'(RSWLRQWKHURZLQWKHSDUHQWWDEOHFDQQRWEHGHOHWHGLILWLV

UHIHUHQFHGLQWKHFKLOGWDEOH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
7KH&+(&.&RQVWUDLQW
‡ 'HILQHVDFRQGLWLRQWKDWHDFKURZPXVW
VDWLVI\
‡ ([SUHVVLRQVWKDWDUHQRWDOORZHG
± 5HIHUHQFHVWR&8559$/1(;79$/
/(9(/DQG52:180SVHXGRFROXPQV
± &DOOVWR6<6'$7(8,'86(5DQG
86(5(19IXQFWLRQV
± 4XHULHVWKDWUHIHUWRRWKHUYDOXHVLQRWKHU
URZV
GHSWQR 180%(5  
&21675$,17HPSBGHSWQRBFN
&+(&. '(3712%(7:((1$1' 
 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG
&RS\ULJKW

7KH&+(&.&RQVWUDLQW

7KH&+(&.FRQVWUDLQWGHILQHVDFRQGLWLRQWKDWHDFKURZPXVWVDWLVI\7KHFRQGLWLRQFDQXVHWKH

VDPHFRQVWUXFWVDVTXHU\FRQGLWLRQVZLWKWKHIROORZLQJH[FHSWLRQV

‡ 5HIHUHQFHVWRWKH&8559$/1(;79$//(9(/DQG52:180SVHXGRFROXPQV

‡ &DOOVWR6<6'$7(8,'86(5DQG86(5(19IXQFWLRQV

‡ 4XHULHVWKDWUHIHUWRRWKHUYDOXHVLQRWKHUURZV

$VLQJOHFROXPQFDQKDYHPXOWLSOH&+(&.FRQVWUDLQWVWKDWUHIHUHQFHWKHFROXPQLQLWVGHILQLWLRQ

7KHUHLVQROLPLWWRWKHQXPEHURI&+(&.FRQVWUDLQWVWKDW\RXFDQGHILQHRQDFROXPQ

&+(&.FRQVWUDLQWVFDQEHGHILQHGDWWKHFROXPQOHYHORUWDEOHOHYHO

&ODVV0DQDJHPHQW1RWH

<RXFDQGHIHUFKHFNLQJFRQVWUDLQWVIRUYDOLGLW\XQWLOWKHHQGRIWKHWUDQVDFWLRQ

‡ $FRQVWUDLQWLVGHIHUUHGLIWKHV\VWHPFKHFNVWKDWLWLVVDWLVILHGRQO\RQFRPPLW,IDGHIHUUHG

FRQVWUDLQWLVYLRODWHGWKHQFRPP LWFDXVHVWKHWUDQVDFWLRQWRUROOEDFN

‡ $FRQVWUDLQWLVLPPHGLDWHLILWLVFKHFNHGDWWKHHQGRIHDFKVWDWHPHQW,ILWLVYLRODWHGWKH

VWDWHPHQWLVUROOHGEDFNLPPHGLDWHO\

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
$GGLQJD&RQVWUDLQW

$/7(57$%/( WDEOH
$''>&21675$,17FRQVWUDLQW@W\SH FROXPQ 

‡ $GGRUGURSEXWQRWPRGLI\D
FRQVWUDLQW
‡ (QDEOHRUGLVDEOHFRQVWUDLQWV
‡ $GGD12718//FRQVWUDLQWE\XVLQJ
WKH02',)<FODXVH

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG


&RS\ULJKW

$GGLQJD&RQVWUDLQW

<RXFDQDGGDFRQVWUDLQWIRUH[LVWLQJWDEOHVE\XVLQJWKH$/7(57$%/(VWDWH PHQWZLWKWKH$''

FODXVH

,QWKHV\QWD[

WDEOH LVWKHQDPHRIWKHWDEOH

FRQVWUDLQW LVWKHQDPHRIWKHFRQVWUDLQW

W\SH LVWKHFRQVWUDLQWW\SH

FROXPQ LVWKHQDPHRIWKHFROXPQDIIHFWHGE\WKHFRQVWUDLQW

7KHFRQVWUDLQWQDPHV\QWD[LVRSWLRQDODOWKRXJKUHFRPPHQGHG,I\RXGRQRWQDPH\RXUFRQVWUDLQWV

WKHV\VWHPZLOOJHQHUDWHFRQVWUDLQWQDPHV

*XLGHOLQHV

‡ <RXFDQDGGGURSHQDEOHRUGLVDEOHDFRQVWUDLQWEXW\RXFDQQRWPRGLI\LWVVWUXFWXUH

‡ <RXFDQDGGD12718//FRQVWUDLQWWRDQH[LVWLQJFROXPQE\XVLQJWKH02',)<FODXVHRI

WKH$/7(57$%/(VWDWH PHQW

Note: You can define a NOT NULL column only if the table contains no rows, because data cannot
be specified for existing rows at the same time that the column is added.

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
$GGLQJD&RQVWUDLQW
$GGD)25(,*1.(<FRQVWUDLQWWRWKH
(03WDEOHLQGLFDWLQJWKDWDPDQDJHUPXVW
DOUHDG\H[LVWDVDYDOLGHPSOR\HHLQWKH
(03WDEOH
64/!$/7(57$%/(HPS
$''&21675$,17HPSBPJUBIN
 )25(,*1.(< PJU 5()(5(1&(6HPS HPSQR 
7DEOHDOWHUHG

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG


&RS\ULJKW

$GGLQJD&RQVWUDLQW FRQWLQXHG

7KHH[DPSOHRQWKHVOLGHFUHDWHVD)25(,*1.(<FRQVWUDLQWRQWKH(03WDEOH7KHFRQVWUDLQW

HQVXUHVWKDWDPDQDJHUH[LVWVDVDYDOLGHPSOR\HHLQWKH(03WDEOH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
'URSSLQJD&RQVWUDLQW
‡ 5HPRYHWKHPDQDJHUFRQVWUDLQWIURP
WKH(03WDEOH
64/!$/7(57$%/( HPS
'523&21675$,17HPSBPJUBIN
7DEOHDOWHUHG

‡ 5HPRYHWKH35,0$5<.(<FRQVWUDLQW
RQWKH'(37WDEOHDQGGURSWKH
DVVRFLDWHG)25(,*1.(<FRQVWUDLQWRQ
WKH(03'(3712FROXPQ
64/!$/7(57$%/( GHSW
'52335,0$5<.(<&$6&$'(
7DEOHDOWHUHG

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG


&RS\ULJKW

'URSSLQJD&RQVWUDLQW

7RGURSDFRQVWUDLQW\RXFDQLGHQWLI\WKHFRQVWUDLQWQDPHIURPWKH86(5B&21675$,176DQG

86(5B&216B&2/8016GDWDGLFWLRQDU\YLHZV7KHQXVHWKH$/7(57$%/(VWDWH PHQWZLWKWKH

'523FODXVH7KH&$6&$'(RSWLRQRIWKH'523FODXVHFDXVHVDQ\GHS HQGHQWFRQVWUDLQWVDOVRWR

EHGURSSHG

6\QWD[

$/7(57$%/( WDEOH


'52335,0$5<.(<_81,48( FROXPQ _
&21675$,17FRQVWUDLQW>&$6&$'(@
ZKHUH WDEOH LVWKHQDPHRIWKHWDEOH

FROXPQ LVWKHQDPHRIWKHFROXPQDIIHFWHGE\WKHFRQVWUDLQW

FRQVWUDLQW LVWKHQDPHRIWKHFRQVWUDLQW

:KHQ\RXGURSDQLQWHJULW\FRQVWUDLQWWKDWFRQVWUDLQWLVQRORQJHUHQIRUFHG E\WKH2UDFOH6HUYHUDQG

LVQRORQJHUDYDLODEOHLQWKHGDWDGLFWLRQDU\

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
'LVDEOLQJ&RQVWUDLQWV
‡ ([HFXWHWKH',6$%/(FODXVHRIWKH
$/7(57$%/(VWDWHPHQWWRGHDFWLYDWH
DQLQWHJULW\FRQVWUDLQW
‡ $SSO\WKH&$6&$'(RSWLRQWRGLVDEOH
GHSHQGHQWLQWHJULW\FRQVWUDLQWV
64/!$/7(57$%/( HPS
',6$%/(&21675$,17 HPSBHPSQRBSN&$6&$'(
7DEOHDOWHUHG

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG


&RS\ULJKW

'LVDEOLQJD&RQVWUDLQW

<RXFDQGLVDEOHDFRQVWUDLQWZLWKRXWGURSSLQJLWRUUHFUHDWLQJLWE\XVLQJWKH$/7(57$%/(

VWDWHPHQWZLWKWKH',6$%/(FODXVH

6\QWD[

$/7(57$%/(WDEOH

',6$%/(&21675$,17FRQVWUDLQW>&$6&$'(@
ZKHUH WDEOH LVWKHQDPHRIWKHWDEOH

FRQVWUDLQW LVWKHQDPHRIWKHFRQVWUDLQW

*XLGHOLQHV

‡ <RXFDQXVHWKH',6$%/(FODXVHLQERWKWKH&5($7(7$%/(VWDWHPHQWDQGWKH$/7(5

7$%/(VWDWHPHQW

‡ 7KH&$6&$'(FODXVHGLVDEOHVGHSHQGHQWLQWHJULW\FRQVWUDLQWV

&ODVV0DQDJHPHQW1RWH

7KH',6$%/(RSWLRQLQWKHGHILQLWLRQRIDQLQWHJULW\FRQVWUDLQWPHDQVWKDWWKH2UDFOH6HUYHUGRHV

QRWHQIRUFHWKHFRQVWUDLQWDQGVLPSO\GRFXPHQ WVLW(QDEOHWKHFRQVWUDLQWE\XVLQJWKH(1$%/(

FODXVH

2UDFOHLSURYLGHVQHZRSWLRQVIRUWKH(1$%/(DQG',6$%/(FODXVHV9$/,'$7(DQG

1219$/,'$7(

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
(QDEOLQJ&RQVWUDLQWV
‡ $FWLYDWHDQLQWHJULW\FRQVWUDLQWFXUUHQWO\
GLVDEOHGLQWKHWDEOHGHILQLWLRQE\XVLQJ
WKH(1$%/(FODXVH
64/!$/7(57$%/( HPS
(1$%/(&21675$,17 HPSBHPSQRBSN
7DEOHDOWHUHG

‡ $81,48(RU35,0$5<.(<LQGH[LV
DXWRPDWLFDOO\FUHDWHGLI\RXHQDEOHD
81,48(NH\RU35,0$5<.(<
FRQVWUDLQW

 &RS\ULJKW 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG

(QDEOLQJD&RQVWUDLQW

<RXFDQHQDEOHDFRQVWUDLQWZLWKRXWGURSSLQJLWRUUHFUHDWLQJLWE\XVLQJWKH$/7(57$%/(

VWDWHPHQWZLWKWKH(1$%/(FODXVH

6\QWD[

$/7(57$%/(WDEOH


(1$%/(&21675$,17FRQVWUDLQW
ZKHUH WDEOH LVWKHQDPHRIWKHWDEOH

FRQVWUDLQW LVWKHQDPHRIWKHFRQVWUDLQW

*XLGHOLQHV

‡ ,I\RXHQDEOHDFRQVWUDLQWWKDWFRQVWUDLQWDSSOLHVWRDOOWKHGDWDLQWKHWDEOH$OOWKHGDWDLQWKH

WDEOHPXVWILWWKHFRQVWUDLQW

‡ ,I\RXHQDEOHD81,48(NH\RU35,0$5<.(<FRQVWUDLQWD81,48(RU35,0$5<.(<

LQGH[LVDXWRPDWLFDOO\FUHDWHG

‡ <RXFDQXVHWKH(1$%/(FODXVHLQERWKWKH&5($7(7$%/(VWDWHPHQWDQGWKH$/7(5

7$%/(VWDWHPHQW

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
9LHZLQJ&RQVWUDLQWV

4XHU\WKH86(5B&21675$,176WDEOHWR
YLHZDOOFRQVWUDLQWGHILQLWLRQVDQGQDPHV
64/!6(/(&7 FRQVWUDLQWBQDPHFRQVWUDLQWBW\SH
 VHDUFKBFRQGLWLRQ
)520 XVHUBFRQVWUDLQWV
:+(5( WDEOHBQDPH 
(03

&21675$,17B1$0(&6($5&+B&21',7,21

6<6B&&(0312,612718//
6<6B&&'(3712,612718//
(03B(0312B3. 3


 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG


&RS\ULJKW

9LHZLQJ&RQVWUDLQWV

$IWHUFUHDWLQJDWDEOH\RXFDQFRQILUP LWVH[LVWHQFHE\LVVXLQJD'(6&5,%(FRPPDQG7KHRQO\

FRQVWUDLQWWKDW\RXFDQYHULI\LVWKH12718//FRQVWUDLQW7RYLHZDOOFRQVWUDLQWVRQ\RXUWDEOH

TXHU\WKH86(5B&21675$,176WDEOH

7KHH[DPSOHRQWKHVOLGHGLVSOD\VDOOWKHFRQVWUDLQWVRQWKH(03WDEOH

1RWH&RQVWUDLQWVWKDWDUHQRWQDPHGE\WKHWDEOHRZQHUUHFHLYHWKHV\VWHPDVVLJQHGFRQVWUDLQWQDPH

,QFRQVWUDLQWW\SH&VWDQGVIRU&+(&.3IRU35,0$5<.(<5IRUUHIHUHQWLDOLQWHJULW\DQG8IRU

81,48(NH\1RWLFHWKDWWKH12718//FRQVWUDLQWLVUHDOO\D&+(&.FRQVWUDLQW

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
9LHZLQJWKH&ROXPQV
$VVRFLDWHGZLWK&RQVWUDLQWV
9LHZWKHFROXPQVDVVRFLDWHGZLWKWKH
FRQVWUDLQWQDPHVLQWKH
86(5B&216B&2/8016YLHZ
64/!6(/(&7 FRQVWUDLQWBQDPHFROXPQBQDPH
)520 XVHUBFRQVBFROXPQV
:+(5( WDEOHBQDPH 
(03


&21675$,17B1$0(&2/801B1$0(

(03B'(3712B).'(3712
(03B(0312B3.(0312
(03B0*5B).0*5
6<6B&(0312
6<6B&'(3712
 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG
&RS\ULJKW

9LHZLQJ&RQVWUDLQWV FRQWLQXHG

<RXFDQYLHZWKHQDPHVRIWKHFROXPQVLQYROYHGLQFRQVWUDLQWVE\TXHU\LQJWKH

86(5B&216B&2/8016GDWDGLFWLRQDU\YLHZ7KLVYLHZLVHVSHFLDOO\XVHIXOIRUFRQVWUDLQWVWKDW

XVHWKHV\VWHPDVVLJQHGQDPH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
6XPPDU\
‡ &UHDWHWKHIROORZLQJW\SHVRIFRQVWUDLQWV
± 12718//
± 81,48(
± 35,0$5<.(<
± )25(,*1.(<
± &+(&.
‡ 4XHU\WKH86(5B&21675$,176WDEOHWR
YLHZDOOFRQVWUDLQWGHILQLWLRQVDQGQDPHV

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG


&RS\ULJKW

6XPPDU\

7KH2UDFOH6HUYHUXVHVFRQVWUDLQWVWRSUH YHQWLQYDOLGGDWDH QWU\LQWRWDEOHV

7KHIROORZLQJFRQVWUDLQWW\SHVDUHYDOLG

‡ 12718//

‡ 81,48(

‡ 35,0$5<.(<

‡ )25(,*1.(<

‡ &+(&.

<RXFDQTXHU\WKH86(5B&21675$,176WDEOHWRYLHZDOOFRQVWUDLQWGHI LQLWLRQVDQGQDPHV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH2YHUYLHZ

‡ $GGLQJFRQVWUDLQWVWRH[LVWLQJWDEOHV
‡ $GGLQJPRUHFROXPQVWRDWDEOH
‡ 'LVSOD\LQJLQIRUPDWLRQLQGDWD
GLFWLRQDU\YLHZV

 2UDFOH&RUSR UDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

3UDFWLFH2YHUYLHZ

,QWKLVSUDFWLFH\RXZLOODGGFRQVWUDLQWVDQGPRUHFROXPQVWRDWDEOHXVLQJWKHVWDWHPHQWVFRYHUHG

LQWKLVOHVVRQ

&ODVV0DQDJHPHQW1RWH

$GYLVHWKHVWXGHQWVWRQDPHWKHLUFRQVWUDLQWV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH

 $GGDWDEOHOHYHO35,0$5<.(<FRQVWUDLQWWRWKH (03/2<((WDEOHXVLQJWKH,'FROXPQ

7KHFRQVWUDLQWVKRXOGEHHQDEOHGDWFUHDWLRQ

 &UHDWHD35,0$5<.(<FRQVWUDLQWRQWKH'(3$570(17WDEOHXVLQJWKH,'FROXPQ7KH

FRQVWUDLQWVKRXOGEHHQDEOHGDWFUHDWLRQ

 $GGDIRUHLJQNH\UHIHUHQFHRQWKH(03/2<((WDEOHWKDWZLOOHQVXUHWKDWWKHHPSOR\HHLV

QRWDVVLJQHGWRDQRQH[LVWHQWGHSDUWPHQW

 &RQILUPWKDWWKHFRQVWUDLQWVZHUHDGGHGE\TXHU\LQJ86(5B&21675$,1761RWHWKHW\SHV

DQGQDPHVRIWKHFRQVWUDLQWV6DYH\RXUVWDWHPHQWWH[WLQDILOHFDOOHGSTVTO

&21675$,17B1$0( &
 
 '(3$570(17B,'B3. 3
 (03/2<((B,'B3. 3
(03/2<((B'(37B,'B). 5
 'LVSOD\WKHREMHFWQDPHVDQGW\SHVIURPWKH86(5B2%-(&76GDWDGLFWLRQDU\YLHZ

(03/2<((DQG'(3$570(17WDEOHV<RXPD\ZDQWWRIRUPDWWKHFROXPQVIRU

UHDGDELOLW\1RWLFHWKDWWKHQHZWDEOHVDQGDQHZLQGH[ZHUHFUHDWHG

2%-(&7B1$0(2%-(&7B7<3(

'(3$570(17 7$%/(
'(3$570(17B,'B3. ,1'(;
(03/2<(( 7$%/(
(03/2<((B,'B3. ,1'(;

,I\RXKDYHWLPHFRPSOHWHWKHIROORZLQJH[HUFLVH

 0RGLI\WKH(03/2<((WDEOH$GGD6$/$5<FROXPQR I180%(5GDWDW\SHSUHFLVLRQ

,QWURGXFWLRQWR2UDFOH64/DQG3/64/

&UHDWLQJ9LHZV

2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

6FKHGXOH 7LPLQJ 7RSLF

PLQXWHV /HFWXUH

PLQXWHV 3UDFWLFH

PLQXWHV 7RWDO
2EMHFWLYHV
$IWHUFRPSOHWLQJWKLVOHVVRQ\RXVKRXOG
EHDEOHWRGRWKHIROORZLQJ
‡ 'HVFULEHDYLHZ
‡ &UHDWHDYLHZ
‡ 5HWULHYHGDWDWKURXJKDYLHZ
‡ $OWHUWKHGHILQLWLRQRIDYLHZ
‡ ,QVHUWXSGDWHDQGGHOHWHGDWDWKURXJK
DYLHZ
‡ 'URSDYLHZ
 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG
&RS\ULJKW

/HVVRQ$LP

,QWKLVOHVVRQ\RXZLOOOHDUQWRFUHDWHDQGXVHYLHZV<RXZLOODOVROHDUQWRTXHU\WKHUHOHYDQWGDWD

GLFWLRQDU\REMHFWWRUHWULHYHLQIRUPDWLRQDERXWYLHZV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
'DWDEDVH2EMHFWV

2EMHFW 'HVFULSWLRQ

7DEOH %DVLFXQLWRIVWRUDJHFRPSRVHGRIURZV

DQGFROXPQV

9LHZ /RJLFDOO\UHSUHVHQWVVXEVHWVRIGDWDIURP

RQHRUPRUHWDEOHV

6HTXHQFH *HQHUDWHVSULPDU\NH\YDOXHV

,QGH[ ,PSURYHVWKHSHUIRUPDQFHRIVRPHTXHULHV

6\QRQ\P $OWHUQDWLYHQDPHIRUDQREMHFW

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG


&RS\ULJKW

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
:KDW,VD9LHZ"
(037DEOH

(0312(1$0(-2%0*5+,5('$7(6$/&200'(3712
(0312(1$0(-2%0*5+,5('$7(6$/&200'(3712


.,1*35(6,'(17129
.,1*35(6,'(17129
%/$.(0$1$*(50$<
&/$5.0$1$*(5-81
&/$5.0$1$*(5-81
0,//(5&/(5.-$1
-21(60$1$*(5$35
-21(60$1$*(5$35
0$57,16$/(60$16(3
6&277$1$/<67'(&
(03989LHZ
$//(16$/(60$1)(%
$'$06&/(5.-$1
(0312(1$0(-2%

7851(56$/(60$16(3
60,7+&/(5.'(&

.,1*35(6,'(17
-$0(6&/(5.'(&
)25'$1$/<67'(&
:$5'6$/(60$1)(%
%/$.(0$1$*(50$<
&/$5.0$1$*(5
)25'$1$/<67'(&
0$57,16$/(60$16(3
0,//(5&/(5.
60,7+&/(5.'(&
$//(16$/(60$1)(%
6&277$1$/<67'(&
7851(56$/(60$16(3
$'$06&/(5.-$1
-$0(6&/(5.'(&
0,//(5&/(5.-$1
:$5'6$/(60$1)(%

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG


&RS\ULJKW

:KDW,VD9LHZ"

<RXFDQSUHVHQWORJLFDOVXEVHWVRUFRPELQDWLRQVRIGDWDE\FUHDWLQJYLHZVRIWDEOHV A view is a

logical table based on a table or another view. A view contains no data of its own but is like a
window through which data from tables can be viewed or changed. The tables on which a view is
based are called base tables. The view is stored as a SELECT statement in the data dictionary.

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
:K\8VH9LHZV"

‡ 7RUHVWULFWGDWDEDVHDFFHVV
‡ 7RPDNHFRPSOH[TXHULHVHDV\
‡ 7RDOORZGDWDLQGHSHQGHQFH
‡ 7RSUHVHQWGLIIHUHQWYLHZVRIWKHVDPH
GDWD

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

$GYDQWDJHVRI9LHZV

‡ 9LHZVUHVWULFWDFFHVVWRWKHGDWDEDVHEHFDXVHWKHYLHZFDQGLVSOD\DVHOHFWLYHSRUWLRQRIWKH

GDWDEDVH

‡ 9LHZVDOORZXVHUVWRPDNHVLPSOHTXHULHVWRUHWULHYHWKHUHVXOWVIURPFRPSOLFDWHGTXHULHV)RU

H[DPSOHYLHZVDOORZXVHUVWRTXHU\LQIRUPDWLRQIURPP XOWLSOHWDEOHVZLWKRXWNQRZLQJKRZWR

ZULWHDMRLQVWDWHPHQW

‡ 9LHZVSURYLGHGDWDLQGHSHQGHQFHIRUDGKRFXVHUVDQGDSSOLFDWLRQSURJUDPV2QHYLHZFDQEH

XVHGWRUHWULHYHGDWDIURPVHYHUDOWDEOHV

‡ 9LHZVSURYLGHJURXSVRIXVHUVDFFHVVWRGDWDDFFRUGLQJWRWKHLUSDUWLFXODUFULWHULD

)RUPRUHLQIRUPDWLRQVHH

2UDFOH6HUYHU64/5HIHUHQFH5HOHDVH³&5($7(9,(:´

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
6LPSOH9LHZV
DQG&RPSOH[9LHZV
)HDWXUH 6LPSOH9LHZV &RPSOH[9LHZV

1XPEHURIWDEOHV 2QH 2QHRUPRUH

&RQWDLQIXQFWLRQV 1R <HV

&RQWDLQJURXSVRIGDWD 1R <HV

'0/WKURXJKYLHZ <HV 1RWDOZD\V

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

6LPSOH9LHZV9HUVXV&RPSOH[9LHZV

7KHUHDUHWZRFODVVLILFDWLRQVIRUYLHZVVLPSOHDQGFRPSOH[7KHEDVLFGLIIHUHQFHLVUHODWHGWRWKH

'0/ LQVHUWXSGDWHDQGGHOHWH RSHUDWLRQV

‡ $VLPSOHYLHZ LVRQHWKDW

± 'HULYHVGDWDIURPRQO\RQHWDEOH

± &RQWDLQVQRIXQFWLRQVRUJURXSVRIGDWD

± &DQSHUIRUP'0/WKURXJKWKHYLHZ

‡ $FRPSOH[YLHZLVWKHRQHWKDW

± 'HULYHVGDWDIURPPDQ\WDEOHV

± &RQWDLQVIXQFWLRQVRUJURXSVRIGDWD

± 'RHVQRWDOZD\VDOORZ'0/WKURXJKWKHYLHZ

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
&UHDWLQJD9LHZ
‡ <RXHPEHGDVXETXHU\ZLWKLQWKH
&5($7(9,(:VWDWHPHQW
&5($7(>255(3/$&(@>)25&(_12)25&(@9,(:YLHZ
> DOLDV>DOLDV@ @
$6VXETXHU\
>:,7+&+(&.237,21>&21675$,17FRQVWUDLQW@@
>:,7+5($'21/<@

‡ 7KHVXETXHU\FDQFRQWDLQFRPSOH[
6(/(&7V\QWD[
‡ 7KHVXETXHU\FDQQRWFRQWDLQDQ25'(5
%<FODXVH

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

&UHDWLQJD9LHZ

<RXFDQFUHDWHDYLHZE\HPEHGGLQJDVXETXHU\ZLWKLQWKH&5($7(9 ,(:VWDWHPHQW

,QWKHV\QWD[

255(3/$&( UHFUHDWHVWKHYLHZLILWDOUHDG\H[LVWV

)25&( FUHDWHVWKHYLHZUHJDUGOHVVRIZKHWKHURUQRWWKHEDVHWDEOHVH[LVW

12)25&( FUHDWHVWKHYLHZRQO\LIWKHEDVHWDEOHVH[LVW 7KLVLVWKHGHIDXOW

YLHZ LVWKHQDPHRIWKHYLHZ

DOLDV VSHFLILHVQDPHVIRUWKHH[SUHVVLRQVVHOHFWHGE\WKHYLHZ¶VTXHU\ 7KH

QXPEHURIDOLDVHVPXVWPDWFKWKHQXPEHURIH[SUHVVLRQVVHOHFWHGE\

WKHYLHZ

VXETXHU\ LVDFRPSOHWH6(/(&7VWDWHPHQW <RXFDQXVHDOLDVHVIRUWKHFROXPQV

LQWKH6(/(&7OLVW

:,7+&+(&.237,21 VSHFLILHVWKDWRQO\URZVDFFHVVLEOHWRWKHYLHZFDQEHLQVHUWHGRU

XSGDWHG

FRQVWUDLQW LVWKHQDPHDVVLJQHGWRWKH&+(&.237,21FRQVWUDLQW

:,7+5($'21/< HQVXUHVWKDWQR'0/RSHUDWLRQVFDQEHSHUIRUPHGRQWKLVYLHZ

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
&UHDWLQJD9LHZ
‡ &UHDWHDYLHZ(0398WKDWFRQWDLQV
GHWDLOVRIHPSOR\HHVLQGHSDUWPHQW
64/!&5($7(9,(: HPSYX
$66(/(&7 HPSQRHQDPHMRE
)520 HPS
:+(5( GHSWQR 
9LHZFUHDWHG

‡ 'HVFULEHWKHVWUXFWXUHRIWKHYLHZE\
XVLQJWKH64/ 3OXV'(6&5,%(
FRPPDQG
64/!'(6&5,%(HPSYX

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG


&RS\ULJKW

&UHDWLQJD9LHZ FRQWLQXHG

7KHH[DPSOHRQWKHVOLGHFUHDWHVDYLHZWKDWFRQWDLQVWKHHPSOR\HHQXPEHUQDPHDQGMREWLWOHIRU

DOOWKHHPSOR\HHVLQGHSDUWPHQW

<RXFDQGLVSOD\WKHVWUXFWXUHRIWKHYLHZE\XVLQJWKH64/ 3OXV'(6&5,%(FRPPDQG

1DPH1XOO"7\SH



(031212718//180%(5 
(1$0(9$5&+$5 
-2%9$5&+$5 
*XLGHOLQHVIRUFUHDWLQJDYLHZ

‡ 7KHVXETXHU\WKDWGHILQHVDYLHZFDQFRQWDLQFRPSOH[6(/(&7V\QWD[LQFOXGLQJMRLQV

JURXSVDQGVXETXHULHV

‡ 7KHVXETXHU\WKDWGHILQHVWKHYLHZFDQQRWFRQWDLQDQ25'(5%<FODXVH7KH25'(5%<

FODXVHLVVSHFLILHGZKHQ\RXUHWULHYHGDWDIURPWKHYLHZ

‡ ,I\RXGRQRWVSHFLI\DFRQVWUDLQWQDPHIRUDYLHZFUHDWHGZL WKWKH&+(&.237,21WKH

V\VWHPZLOODVVLJQDGHIDXOWQDPHLQWKHIRUPDW6<6B&Q

‡ <RXFDQXVHWKH255(3/$&(RSWLRQWRFKDQJHWKHGHILQLWLRQRIWKHYLHZZLWKRXWGURSSLQJ

DQGUHFUHDWLQJLWRUUHJUDQWLQJREMHFWSULYLOHJHVSUHYLRXVO\JUDQWHGRQLW

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
&UHDWLQJD9LHZ
‡ &UHDWHDYLHZE\XVLQJFROXPQDOLDVHV
LQWKHVXETXHU\
64/!&5($7(9,(: VDOYX
$66(/(&7 HPSQR(03/2<((B180%(5HQDPH1$0(
 VDO6$/$5<
)520 HPS
:+(5( GHSWQR 
9LHZFUHDWHG

‡ 6HOHFWWKHFROXPQVIURPWKLVYLHZE\
WKHJLYHQDOLDVQDPHV

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

&UHDWLQJD9LHZ FRQWLQXHG

<RXFDQFRQWUROWKHFROXPQQDPHVE\LQFOXGLQJFROXPQDOLDVHVZLWKLQWKHVXETXHU\

7KHH[DPSOHRQWKHVOLGHF reates a view containing the employee number (empno) with the alias

EMPLOYEE_NUMBER, name (ename) with the alias NAME, and salary (sal) with the alias
SALARY for department 30.
Alternatively, you can control the column names by including column aliases in the CREATE VIEW
clause.

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
5HWULHYLQJ'DWDIURPD9LHZ

64/! 6(/(&7
 )520 VDOYX

(03/2<((B180%(51$0(6$/$5<

%/$.(
0$57,1
$//(1
7851(5
-$0(6
:$5'

URZVVHOHFWHG

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

5HWULHYLQJ'DWDIURPD9LHZ

<RXFDQUHWULHYHGDWDIURPDYLHZDV\RXZRXOGIURPDQ\WDEOH<RXFDQHLWKHUGLVSOD\WKHFRQWHQWV

RIWKHHQWLUHYLHZRUMXVWYLHZVSHFLILFURZVDQGFROXPQV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
4XHU\LQJD9LHZ

64/ 3OXV

86(5B9,(:6 
6(/(&7 
(0398
)520HPSYX
6(/(&7 HPSQRHQDPHMRE

)520 HPS

:+(5( GHSWQR 

 .,1* 35(6,'(17

 &/$5. 0$1$*(5 (03


 0,//(5 &/(5.

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

9LHZVLQWKH'DWD'LFWLRQDU\

2QFH\RXUYLHZKDVEHHQFUHDWHG\RXFDQTXHU\WKHGDWDGLFWLRQDU\WDEOHFDOOHG86(5B9,(:6WR

VHHWKHQDPHRIWKHYLHZDQGWKHYLHZGHILQLWLRQ7KHWH[WR IWKH6(/(&7VWDWHPHQWWKDWFRQVWLWXWHV

\RXUYLHZLVVWRUHGLQD/21*FROXPQ

'DWD$FFHVV8VLQJ9LHZV

:KHQ\RXDFFHVVGDWDXVLQJDYLHZWKH2UDFOH6HUYHUSHUIRUPVWKHIROORZLQJRSHUDWLRQV

 5HWULHYHVWKHYLHZGHILQLWLRQIURPWKHGDWDGLFWLRQDU\WDEOH86(5B9,(:6

 &KHFNVDFFHVVSULYLOHJHVIRUWKHYLHZEDVHWDEOH

 &RQYHUWVWKHYLHZTXHU\LQWRDQHTXLYDOHQWRSHUDWLRQRQWKHXQGHUO\LQJEDVHWDEOHRUWDEOHV,Q

RWKHUZRUGVGDWDLVUHWULHYHGIURPRUDQXSGDWHPDGHWRWKHEDVHWDEOH V 

&ODVV0DQDJHPHQW1RWH

7KHYLHZWH[WLVVWRUHGLQDFROXPQRI/21*GDWDW\SH<RXPD\QHHGWRVHW$55$<6,=(WRD

VPDOOHUYDOXHRULQFUHDVHWKHYDOXHRI/21*WRYLHZWKHWH[W

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
0RGLI\LQJD9LHZ
‡ 0RGLI\WKH(0398YLHZE\XVLQJ
&5($7(255(3/$&(9,(:FODXVH$GG
DQDOLDVIRUHDFKFROXPQQDPH
64/!&5($7(255(3/$&(9,(:HPSYX
 HPSOR\HHBQXPEHUHPSOR\HHBQDPHMREBWLWOH
$66(/(&7 HPSQRHQDPHMRE
)520 HPS
:+(5( GHSWQR 
9LHZFUHDWHG

‡ &ROXPQDOLDVHVLQWKH&5($7(9,(:
FODXVHDUHOLVWHGLQWKHVDPHRUGHUDVWKH
FROXPQVLQWKHVXETXHU\

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG


&RS\ULJKW

0RGLI\LQJD9LHZ

7KH255(3/$&(RSWLRQDOORZVDYLHZWREHFUHDWHGH YHQLIRQHH[LVWVZLWKWKLVQDPHDOUHDG\WKXV

UHSODFLQJWKHROGYHUVLRQRIWKHYLHZIRULWVRZQHU7KLVPHDQVWKDWWKHYLHZFDQEHDOWHUHGZLWKRXW

GURSSLQJUHFUHDWLQJDQGUHJUDQWLQJREMHFWSULYLOHJHV

1RWH:KHQDVVLJQLQJFROXPQDOLDVHVLQWKH&5($7(9,(:FODXVHUHPHPEHUWKDWWKHDOLDVHVDUH
OLVWHGLQWKHVDPHRUGHUDVWKHFROXPQVLQWKHVXETXHU\

&ODVV0DQDJHPHQW1RWH

7KH255(3/$&(RSWLRQVWDUWHGZLWK2UDFOH:LWKHDUOLHUYHUVLRQVRI2UDFOHLIWKHYLHZQHHGHG

WREHFKDQJHGLWKDGWREHGURSSHGDQGUHFUHDWHG

'HPROHPSVTO

3XUSRVH7RLOOXVWUDWHFUHDWLQJDYLHZXVLQJDOLDVHV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
&UHDWLQJD&RPSOH[9LHZ
&UHDWHDFRPSOH[YLHZWKDWFRQWDLQVJURXS
IXQFWLRQVWRGLVSOD\YDOXHVIURPWZRWDEOHV
64/!&5($7(9,(: GHSWBVXPBYX
 QDPHPLQVDOPD[VDODYJVDO
$66(/(&7 GGQDPH0,1 HVDO 0$; HVDO 
 $9* HVDO
)520 HPSHGHSWG
:+(5( HGHSWQR GGHSWQR
*5283%< GGQDPH
9LHZFUHDWHG

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG


&RS\ULJKW

&UHDWLQJD&RPSOH[9LHZ

7KHH[DPSOHRQWKHVOLGHFUHDWHVDFRPSOH[YLHZR IWKHGHSDUWPHQWQDPHVPLQLPXPVDODU\

PD[LPXPVDODU\DQGDYHUDJHVDODU\E\WKHGHSDUWPHQW1RWHWKDWDOWHUQDWLYHQDPHVKDYHEHHQ

VSHFLILHGIRUWKHYLHZ7KLVLVDUHTXLUHPHQWLIDQ \FROXPQRIWKHYLHZLVGHULYHGIURPDIXQFWLRQRU

DQH[SUHVVLRQ

<RXFDQYLHZWKHVWUXFWXUHRIWKHYLHZE\XVLQJWKH64/ 3OXV'(6&5,%(FRPPDQG'LVSOD\WKH

FRQWHQWVRIWKHYLHZE\LVVXLQJD6(/(&7VWDWHPHQW

64/!6(/(&7 
)520GHSWBVXPBYX

1$0(0,16$/0$;6$/$9*6$/

$&&2817,1*
5(6($5&+
6$/(6

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
5XOHVIRU3HUIRUPLQJ
'0/2SHUDWLRQVRQD9LHZ
‡ <RXFDQSHUIRUP'0/RSHUDWLRQVRQ
VLPSOHYLHZV
‡ <RXFDQQRWUHPRYHDURZLIWKHYLHZ
FRQWDLQVWKHIROORZLQJ
± *URXSIXQFWLRQV
± $*5283%<FODXVH
± 7KH',67,1&7NH\ZRUG

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG


&RS\ULJKW

3HUIRUPLQJ'0/2SHUDWLRQVRQD9LHZ

<RXFDQSHUIRUP'0/RSHUDWLRQVRQGDWDWKURXJKDYLHZLIWKRVHRSHUDWLRQVIROORZFHUWDLQUXOHV

<RXFDQUHPRYHDURZIURPDYLHZXQOHVVLWFRQWDLQVDQ\RIWKHIROORZLQJ

‡ *URXSIXQFWLRQV

‡ $*5283%<FODXVH

‡ 7KH',67,1&7NH\ZRUG

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
5XOHVIRU3HUIRUPLQJ
'0/2SHUDWLRQVRQD9LHZ
‡ <RXFDQQRWPRGLI\GDWDLQDYLHZLILWFRQWDLQV
± $Q\RIWKHFRQGLWLRQVPHQWLRQHGLQWKH
SUHYLRXVVOLGH
± &ROXPQVGHILQHGE\H[SUHVVLRQV
± 7KH52:180SVHXGRFROXPQ
‡ <RXFDQQRWDGGGDWDLI
± 7KHYLHZFRQWDLQVDQ\RIWKHFRQGLWLRQV
PHQWLRQHGDERYHRULQWKHSUHYLRXVVOLGH
± 7KHUHDUH12718//FROXPQVLQWKHEDVH
WDEOHVWKDWDUHQRWVHOHFWHGE\WKHYLHZ
 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG
&RS\ULJKW

3HUIRUPLQJ'0/2SHUDWLRQVRQD9LHZ FRQWLQXHG

<RXFDQPRGLI\GDWDLQDYLHZXQOHVVLWFRQWDLQVDQ\RIWKHFRQGLWLRQVPHQWLRQHGLQWKHSUHYLRXVVOLGH

DQGDQ\RIWKHIROORZLQJ

‡ &ROXPQVGHILQHGE\H[SUHVVLRQV²IRUH[DPSOH6$/$5< 

‡ 7KH52:180SVHXGRFROXPQ

<RXFDQDGGGDWDWKURXJKDYLHZXQOHVVLWFRQWDLQVDQ\RIWKHDERYHDQGWKHUHDUH12718//

FROXPQVZLWKRXWDGHIDXOWYDOXHLQWKHEDVHWDEOHWKDWDUHQRWVHOHFWHGE\WKHYLHZ$OOUHTXLUHG

YDOXHVPXVWEHpresent in the view. Remember that you are adding values directly into the underlying

table through the view.


)RUPRUHLQIRUPDWLRQVHH

UDFOH6HUYHU64/5HIHUHQFH5HOHDVH³&5($7(9,(:´

&ODVV0DQDJHPHQW1RWH

2UDFOHDQG2UDFOHDOORZ\RXZLWKVRPHUHVWULFWLRQVWRPRGLI\YLHZVWKDWLQYROYHMRLQV7KH

UHVWULFWLRQVIRU'0/RSHUDWLRQVGHVFULEHGDERYHDOVRDSSO\WRMRLQYLHZV$Q\83'$7(,16(57RU

'(/(7(VWDWH PHQWRQDMRLQYLHZFDQPRGLI\RQO\RQHXQGHUO\LQJEDVHWDEOH,IDWOHDVWRQHFROXPQ

LQWKHVXETXHU\MRLQKDVDXQLTXHLQGH[WKHQLWPD\EHSRVVLEOHWRPRGLI\RQHEDVHWDEOHLQDMRLQ

YLHZ<RXFDQTXHU\86(5B83'$7$%/(B&2/8016WRVHHZKHWKHUWKHFROXPQVLQDM RLQYLHZ

DUHXSGDWDEOH

)RU3DJH

,IWKHXVHUGRHVQRWVXSSO\DFRQVWUDLQWQDPHWKHV\VWHPDVVLJQVDQDPHLQWKHIRUP6<6B& QZKHUHQ

LVDQLQWHJHUWKDWPDNHVWKHFRQVWUDLQWQDPHXQLTXHZLWKLQWKH V\VWHP

'HPROYXVTOOYXVTO

3XUSRVH7RLOOXVWUDWHFUHDWLQJYLHZVZLWKDQGZLWKRXWWKH&+(&.237,21

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJWKH:,7+&+(&.237,21
&ODXVH
‡ <RXFDQHQVXUHWKDW'0/RQWKHYLHZVWD\V

ZLWKLQWKHGRPDLQRIWKHYLHZE\XVLQJWKH

:,7+&+(&.237,21FODXVH
64/!&5($7(255(3/$&(9,(:HPSYX
$66(/(&7
)520 HPS
:+(5( GHSWQR 
:,7+&+(&.237,21&21675$,17HPSYXBFN
9LHZFUHDWHG

‡ $Q\DWWHPSWWRFKDQJHWKHGHSDUWPHQW

QXPEHUIRUDQ\URZLQWKHYLHZZLOOIDLO

EHFDXVHLWYLRODWHVWKH:,7+&+(&.237,21

FRQVWUDLQW
 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG
&RS\ULJKW

8VLQJWKH:,7+&+(&.237,21&ODXVH

,WLVSRVVLEOHWRSHUIRUPUHIHUHQWLDOLQWHJULW\FKHFNVWKURXJKYLHZV<RXFDQDOVRHQIRUFHFRQVWUDLQWV

DWWKHGDWDEDVHOHYHO7KHYLHZFDQEHXVHGWRSURWHFWGDWDLQWHJULW\EXWWKHXVHLVYHU\OLPLWHG

7KH:,7+&+(&.237,21FODXVHVSHFLILHVWKDW,16(576DQG83'$7(6SHUIRU PHGWKURXJKWKH

YLHZDUHQRWDOORZHGWRFUHDWHURZVWKDWWKHYLHZFDQQRWVHOHFWDQGWKHUHIRUHLWDOORZ VLQWHJULW\

FRQVWUDLQWVDQGGDWDYDOLGDWLRQFKHFNVWREHHQIRUFHGRQGDWDEHLQJLQVHUWHGRUXSGDWHG

,IWKHUHLVDQDWWHPSWWRSHUIRUP'0/RSH UDWLRQVRQURZVWKDWWKHYLHZKDVQRWVHOHFWHGDQHUURULV

GLVSOD\HGZLWKWKHFRQVWUDLQWQDPHLIWKDWKDVEHHQVSHFLILHG

64/!83'$7(HPSYX
6(7GHSWQR 
:+(5(HPSQR 
XSGDWHHPSYX

(5525DWOLQH
25$YLHZ:,7+&+(&.237,21ZKHUHFODXVHYLRODWLRQ
1RWH1RURZVDUHXSGDWHGEHFDXVHLIWKHGHSDUWPHQWQXPEHUZHUHWRFKDQJHWRWKHYLHZZRXOG
QRORQJHUEHDEOHWRVHHWKDWHPSOR\HH7KHUHIRUHZLWKWKH :,7+&+(&.237,21FODXVHWKHYLHZ

FDQVHHRQO\GHSDUWPHQWHPSOR\HHVDQGGRHVQRWDOORZWKHGHSDUWPHQWQXPEHUIRUWKRVH

HPSOR\HHVWREHFKDQJHGWKURXJKWKHYLHZ

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
'HQ\LQJ'0/2SHUDWLRQV
‡ <RXFDQHQVXUHWKDWQR'0/RSHUDWLRQV
RFFXUE\DGGLQJWKH:,7+5($'21/<
RSWLRQWR\RXUYLHZGHILQLWLRQ
64/!&5($7(255(3/$&(9,(:HPSYX
 HPSOR\HHBQXPEHUHPSOR\HHBQDPHMREBWLWOH
$66(/(&7 HPSQRHQDPHMRE
)520 HPS
:+(5( GHSWQR 
:,7+5($'21/<
9LHZFUHDWHG

‡ $Q\DWWHPSWWRSHUIRUPD'0/RQDQ\
URZLQWKHYLHZZLOOUHVXOWLQ2UDFOH
6HUYHUHUURU
 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG
&RS\ULJKW

'HQ\LQJ'0/2SHUDWLRQV

<RXFDQHQVXUHWKDWQR'0/RSHUDWLRQVRFFXURQ\RXUYLHZE\FUHDWLQJLWZLWKWKH:,7+5($'

21/<RSWLRQ7KHH[DPSOHRQWKHVOLGHPRGLILHVWKH(0398YLHZWRSUHYHQWDQ\'0/RSHUDWLRQV

RQWKHYLHZ

$Q\DWWHPSWVWRUHPRYHDURZIURPWKHYLHZZLOOUHVXOWLQDQHUURU

64/!'(/(7()520HPSYX
:+(5( HPSOR\HHBQXPEHU 
'(/(7()520HPSYX

(5525DWOLQH
25$&DQQRWGHOHWHIURPYLHZZLWKRXWH[DFWO\RQHNH\SUHVHUYHG
WDEOH
$Q\DWWHPSWVWRLQVHUWDURZRUPRGLI\DURZXVLQJWKHYLHZZLOOUHVXOWLQ2UDFOH6HUYHUHUURU

YLUWXDOFROXPQQRWDOORZHGKHUH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
5HPRYLQJD9LHZ

5HPRYHDYLHZZLWKRXWORVLQJGDWD
EHFDXVHDYLHZLVEDVHGRQXQGHUO\LQJ
WDEOHVLQWKHGDWDEDVH
'5239,(:YLHZ

64/!'5239,(:HPSYX
9LHZGURSSHG

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG


&RS\ULJKW

5HPRYLQJD9LHZ

<RXXVHWKH'5239,(:VWDWHPHQWWRUH PRYHDYLHZ7KHVWDWHPHQWUHPRYHVWKHYLHZGHILQLWLRQ

IURPWKHGDWDEDVH'URSSLQJYLHZVKDVQRHIIHFWRQWKHWDEOHVRQZKLFKWKHYLHZZDVEDVHG9LHZVRU

RWKHUDSSOLFDWLRQVEDVHGRQGHOHWHGYLHZVEHFRPHLQYDOLG2QO\WKHFUHDWRURUDXVHUZLWKWKH '523

$1<9,(:SULYLOHJHFDQUHPRYHDYLHZ

,QWKHV\QWD[

YLHZ LVWKHQDPHRIWKHYLHZ

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
6XPPDU\
‡ $YLHZLVGHULYHGIURPGDWDLQRWKHU
WDEOHVRURWKHUYLHZV
‡ $YLHZSURYLGHVWKHIROORZLQJ
DGYDQWDJHV
± 5HVWULFWVGDWDEDVHDFFHVV
± 6LPSOLILHVTXHULHV
± 3URYLGHVGDWDLQGHSHQGHQFH
± $OORZVPXOWLSOHYLHZVRIWKHVDPHGDWD
± &DQEHGURSSHGZLWKRXWUHPRYLQJWKH
XQGHUO\LQJGDWD
 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

:KDW,VD9LHZ"

$YLHZLVEDVHGRQDWDEOHRUDQRWKHUYLHZDQGDFWVDVDZLQGRZWKURXJKZKLFKGDWDRQWDEOHVFDQEH

YLHZHGRUFKDQJHG$YLHZGRHVQRWFRQWDLQGDWD7KHGHILQLWLRQRIWKHYLHZLVVWRUHGLQWKHGDWD

GLFWLRQDU\<RXFDQVHHWKHGHILQLWLRQRIWKHYLHZLQWKH86(5B9 ,(:6GDWDGLFWLRQDU\WDEOH

$GYDQWDJHVRI9LHZV

‡ 5HVWULFWGDWDEDVHDFFHVV

‡ 6LPSOLI\TXHULHV

‡ 3URYLGHGDWDLQGHSHQGHQFH

‡ $OORZPXOWLSOHYLHZVRIWKHVDPHGDWD

‡ 5HPRYHYLHZVZLWKRXWDIIHFWLQJWKHXQGHUO\LQJGDWD

9LHZ2SWLRQV

‡ &DQEHDVLPSOHYLHZEDVHGRQRQHWDEOH

‡ &DQEHDFRPSOH[YLHZEDVHGRQPRUHWKDQRQHWDEOHRUFDQFRQWDLQJURXSVRUIXQFWLRQV

‡ &DQEHUHSODFHGLIRQHRIWKHVDPHQDPHH[LVWV

‡ &RQWDLQDFKHFNFRQVWUDLQW

‡ &DQEHUHDGRQO\

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH2YHUYLHZ

‡ &UHDWLQJDVLPSOHYLHZ
‡ &UHDWLQJDFRPSOH[YLHZ
‡ &UHDWLQJDYLHZZLWKDFKHFNFRQVWUDLQW
‡ $WWHPSWLQJWRPRGLI\GDWDLQWKHYLHZ
‡ 'LVSOD\LQJYLHZGHILQLWLRQV
‡ 5HPRYLQJYLHZV

 2UDFOH&RUSR UDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

3UDFWLFH2YHUYLHZ

,QWKLVSUDFWLFH\RXZLOOFUHDWHVLPSOHDQGFRPSOH[YLHZVDQGDWWHP SWWRSHUIRUP'0/VWDWHPHQWV

RQWKHYLHZV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH

 &UHDWHDYLHZFDOOHG(03B98EDVHGRQWKHHPSOR\HHQXPEHUHPSOR\HHQDPHDQG

GHSDUWPHQWQXPEHUIURPWKH(03WDEOH&KDQJHWKHKHDGLQJIRUWKHHPSOR\HHQDPHWR

(03/2<((

 'LVSOD\WKHFRQWHQWVRIWKH(03B98YLHZ

(0312(03/2<(('(3712

.,1* 
%/$.( 
&/$5. 
-21(6 
0$57,1 
$//(1 
7851(5 
-$0(6 
:$5' 
)25'
60,7+
6&277 
$'$06 
0,//(5 
URZVVHOHFWHG
 6HOHFWWKHYLHZQDPHDQGWH[WIURPWKHGDWDGLFWLRQDU\86(5B9,(:6

9,(:B1$0(7(;7

(03B986(/(&7HPSQRHQDPHHPSOR\HHGHSWQR
)520HPS

 8VLQJ\RXUYLHZ(03B98HQWHUDTXHU\WRGLVSOD\DOOHPSOR\HHQDPHVDQGGHSDUWPHQWQXPEHUV

(03/2<(('(3712

.,1*
%/$.(
&/$5.
-21(6
 0$57,1

URZVVHOHFWHG

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH FRQWLQXHG

 &UHDWHDYLHZQDPHG'(37WKDWFRQWDLQVWKHHPSOR\HHQXPEHUHPSOR\HHQDPHDQG

GHSDUWPHQWQXPEHUIRUDOOHPSOR\HHVLQGHSDUWPHQW/DEHOWKHYLHZFROXPQ

(03/2<((B,'(03/2<((DQG'(3$570(17B,''RQRWDO ORZDQHPSOR\HHWREH

UHDVVLJQHGWRDQRWKHUGHSDUWPHQWWKURXJKWKHYLHZ

 'LVSOD\WKHVWUXFWXUHDQGFRQWHQWVRIWKH'(37YLHZ

1DPH1XOO"7\SH

(03/2<((B,'12718//180%(5 
(03/2<((9$5&+$5 
'(3$570(17B,'12718//180%(5 

(03/2<((B,'(03/2<(('(3$570(17B,'

-21(6 
)25' 
60,7+ 
6&277 
$'$06 

 $WWHPSWWRUHDVVLJQ6PLWKWRGHSDUWPHQW

,I\RXKDYHWLPHFRPSOHWHWKHIROORZLQJH[HUFLVH

 &UHDWHDYLHZFDOOHG6$/$5<B98EDVHGRQWKHHPSOR\HHQDPHGHSDUWPHQWQDPHVDODU\

DQGVDODU\JUDGHIRUDOOHPSOR\HHV/DEHOWKHFROXPQV(PSOR\HH'HSDUWPHQW6DODU\DQG

*UDGHUHVSHFWLYHO\

,QWURGXFWLRQWR2UDFOH64/DQG3/64/

2WKHU'DWDEDVH2EMHFWV

2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

6FKHGXOH 7LPLQJ 7RSLF

PLQXWHV /HFWXUH

PLQXWHV 3UDFWLFH

PLQXWHV 7RWDO
2EMHFWLYHV

$IWHUFRPSOHWLQJWKLVOHVVRQ\RXVKRXOG
EHDEOHWRGRWKHIROORZLQJ
‡ 'HVFULEHVRPHGDWDEDVHREMHFWVDQG
WKHLUXVHV
‡ &UHDWHPDLQWDLQDQGXVHVHTXHQFHV
‡ &UHDWHDQGPDLQWDLQLQGH[HV
‡ &UHDWHSULYDWHDQGSXEOLFV\QRQ\PV

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG


&RS\ULJKW

/HVVRQ$LP

,QWKLVOHVVRQ\RXZLOOOHDUQKRZWRFUHDWHDQGPDLQ WDLQVRPHRIWKHRWKHUFRPP RQO\XVHGGDWDEDVH

REMHFWV7KHVHREMHFWVLQFOXGHVHTXHQFHVLQGH[HVDQGV\QRQ\PV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
'DWDEDVH2EMHFWV
2EMHFW 'HVFULSWLRQ

7DEOH %DVLFXQLWRIVWRUDJHFRPSRVHGRIURZV

DQGFROXPQV

9LHZ /RJLFDOO\UHSUHVHQWVVXEVHWVRIGDWDIURP

RQHRUPRUHWDEOHV

6HTXHQFH *HQHUDWHVSULPDU\NH\YDOXHV

,QGH[ ,PSURYHVWKHSHUIRUPDQFHRIVRPHTXHULHV

6\QRQ\P $OWHUQDWLYHQDPHIRUDQREMHFW

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG


&RS\ULJKW

'DWDEDVH2EMHFWV

0DQ\DSSOLFDWLRQVUHTXLUHWKHXVHRIXQLTXHQXPEHUVDVSULPDU\NH\YDOXHV<RXFDQHLWKHUEXLOG

FRGHLQWRWKHDSSOLFDWLRQWRKDQGOHWKLVUHTXLUHPHQWRUXVHDVHTXHQFHWRJHQHUDWHXQLTXHQXPEHUV

,I\RXZDQWWRLPSURYHWKHSHUIRUPDQFHRIVRPHTXHULHV\RXVKRXOGFRQVLGHUFUHDWLQJDQLQGH[<RX

FDQDOVRXVHLQGH[HVWRHQIRUFHXQLTXHQHVVRQDFROXPQRUDFROOHFWLRQR IFROXPQV

<RXFDQSURYLGHDOWHUQDWLYHQDPHVIRUREMHFWVE\XVLQJV\QRQ\PV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
:KDW,VD6HTXHQFH"

‡ $XWRPDWLFDOO\JHQHUDWHVXQLTXH
QXPEHUV
‡ ,VDVKDUDEOHREMHFW
‡ ,VW\SLFDOO\XVHGWRFUHDWHDSULPDU\NH\
YDOXH
‡ 5HSODFHVDSSOLFDWLRQFRGH
‡ 6SHHGVXSWKHHIILFLHQF\RIDFFHVVLQJ
VHTXHQFHYDOXHVZKHQFDFKHGLQ
PHPRU\
 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG
&RS\ULJKW

:KDW,VD6HTXHQFH"

$VHTXHQFHJHQHUDWRUFDQEHXVHGWRDXWRPDWLFDOO\JHQHUDWHVHTXHQFHQXPEHUVIRUURZVLQWDEOHV$

VHTXHQFHLVDGDWDEDVHREMHFWFUHDWHGE\DXVHUDQGFDQEHVKDUHGE\PXOWLSOHXVHUV

$W\SLFDOXVDJHIRUVHTXHQFHVLVWRFUHDWHDSULPDU\NH\YDOXHZKLFKPXVWEHXQLTXHIRUHDFKURZ

7KHVHTXHQFHLVJHQHUDWHGDQGLQFUHPHQWHG RUGHFUHPHQWHG E\DQLQWHUQDO2UDFOHURXWLQH7KLVFDQ

EHDWLPHVDYLQJREMHFWEHFDXVHLWFDQUHGXFHWKHDPRXQWRIDSSOLFDWLRQFRGHQHHGHGWRZULWHD

VHTXHQFHJHQHUDWLQJURXWLQH

6HTXHQFHQXPEHUVDUHVWRUHGDQGJHQHUDWHGLQGHSHQGHQWO\RIWDEOHV7KHUHIRUHWKHVDPHVHTXHQFH

FDQEHXVHGIRUPXOWLSOHWDEOHV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
7KH&5($7(6(48(1&(
6WDWHPHQW
'HILQHDVHTXHQFHWRJHQHUDWHVHTXHQWLDO
QXPEHUVDXWRPDWLFDOO\
&5($7(6(48(1&(VHTXHQFH
>,1&5(0(17%<Q@
>67$57:,7+Q@
>^0$;9$/8(Q_120$;9$/8(`@
>^0,19$/8(Q_120,19$/8(`@
>^&<&/(_12&<&/(`@
>^&$&+(Q_12&$&+(`@

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

&UHDWLQJD6HTXHQFH

$XWRPDWLFDOO\JHQHUDWHVHTXHQWLDOQXPEHUVE\XVLQJWKH&5($7(6(48(1&(VWDWHPHQW

,QWKHV\QWD[

VHTXHQFH LVWKHQDPHRIWKHVHTXHQFHJHQHUDWRU

,1&5(0(17%<Q VSHFLILHVWKHLQWHUYDOEHWZHHQVHTXHQFHQXPEHUVZKHUHQLVDQ

LQWHJHU ,IWKLVFODXVHLVRPLWWHGWKHVHTXHQFHZLOOLQFUHPHQWE\

67$57:,7+Q VSHFLILHVWKHILUVWVHTXHQFHQXPEHUWREHJHQHUDWHG ,IWKLVFODXVH LV

RPLWWHGWKHVHTXHQFHZLOOVWDUWZLWK

0$;9$/8(Q VSHFLILHVWKHPD[LPXPYDOXHWKHVHTXHQFHFDQJHQHUDWH

120$;9$/8( VSHFLILHVDPD[LPXPYDOXHRIAIRUDQDVFHQGLQJVHTXHQFHDQG±

IRUDGHVFHQGLQJVHTXHQFH 7KLVLVWKHGHIDXOWR SWLRQ

0,19$/8(Q VSHFLILHVWKHPLQLPXPVHTXHQFHYDOXH

120,19$/8( VSHFLILHVDPLQLPXPYDOXHRIIRUDQDVFHQGLQJVHTXHQFHDQG± A

IRUDGHVFHQGLQJVHTXHQFH 7KLVLVWKHGHIDXOWR SWLRQ

&<&/(_12&<&/( VSHFLILHVWKDWWKHVHTXHQFHFRQWLQXHVWRJHQHUDWHYDOXHVDIWHU

UHDFKLQJHLWKHULWVPD[LPXPRUPLQLPXPYDOXHRUGRHVQRWJHQHUDWH

DGGLWLRQDOYDOXHV 12&<&/(LVWKHGHIDXOWRSWLRQ

&$&+(Q_12&$&+( VSHFLILHVKRZPDQ\YDOXHVWKH2UDFOH6HUYHUZLOOSUHDOORFDWHDQGNHHS

LQPHPRU\ %\GHIDXOWWKH2UDFOH6HUYHUZLOOFDFKHYDOXHV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
&UHDWLQJD6HTXHQFH
‡ &UHDWHDVHTXHQFHQDPHG'(37B'(3712
WREHXVHGIRUWKHSULPDU\NH\RIWKH
'(37WDEOH
‡ 'RQRWXVHWKH&<&/(RSWLRQ
64/!&5($7(6(48(1&(GHSWBGHSWQR
 ,1&5(0(17%<
 67$57:,7+
 0$;9$/8(
 12&$&+(
 12&<&/(
6HTXHQFHFUHDWHG

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

&UHDWLQJD6HTXHQFH FRQWLQXHG

7KHH[DPSOHRQWKHVOLGHFUHDWHVDVHTXHQFHQDPHG'(37B'(3712WREHXVHGIRUWKH'(3712

FROXPQRIWKH'(37WDEOH7KHVHTXHQFHVWDUWVDWGRHVQRWDOORZFDFKLQJDQGGRHVQRWDOORZWKH

VHTXHQFHWRF\FOH

'RQRWXVHWKH&<&/(RSWLRQLIWKHVHTXHQFHLVXVHGWRJHQHUDWHSULPDU\NH\YDOXHVXQOHVV\RXKDYH

DUHOLDEOHPHFKDQLVPWKDWSXUJHVROGURZVIDVWHUWKDQWKHVHTXHQFHF\FOHV

)RUPRUHLQIRUPDWLRQVHH

2UDFOH6HUYHU64/5HIHUHQFH5HOHDVH³&5($7(6(48(1&(´

&ODVV0DQDJHPHQW1RWH

,IWKH,1&5(0(17%<YDOXHLVQHJDWLYHWKHVHTXHQFHZLOOGHVFHQG

$OVR25'(5_1225'(5RSWLRQVDUHDYDLODEOH7KH25'(5RSWLRQJXDUDQWHHVWKDWVHTXHQFH

YDOXHVDUHJHQHUDWHGLQRUGHU,WLVQRWLPSRUWDQWLI\RXXVHWKHVHTXHQFHWRJHQHUDWHSULPDU\NH\

YDOXHV7KLVRSWLRQLVUHOHYDQWRQO\ZLWKWKH3DUDOOHO6HUYHURSWLRQ

,IVHTXHQFHYDOXHVDUHFDFKHGWKH\ZLOOEHORVWLIWKHUHLVDV\VWHPIDLOXUH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
&RQILUPLQJ6HTXHQFHV
‡ 9HULI\\RXUVHTXHQFHYDOXHVLQWKH
86(5B6(48(1&(6GDWDGLFWLRQDU\
WDEOH
64/!6(/(&7 VHTXHQFHBQDPHPLQBYDOXHPD[BYDOXH
 LQFUHPHQWBE\ODVWBQXPEHU
)520 XVHUBVHTXHQFHV

‡ 7KH/$67B180%(5FROXPQGLVSOD\V
WKHQH[WDYDLODEOHVHTXHQFHQXPEHU

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

&RQILUPLQJ6HTXHQFHV

2QFH\RXKDYHFUHDWHG\RXUVHTXHQFHLWLVGRFXPHQWHGLQWKHGDWDGLFWLRQDU\6LQFHDVHTX HQFHLVD

GDWDEDVHREMHFW\RXFDQLGHQWLI\LWLQWKH86(5B2%-( &76GDWDGLFWLRQDU\WDEOH

<RXFDQDOVRFRQILUPWKHVHWWLQJVRIWKHVHTXHQFHE\VHOHFWLQJIURPWKHGDWDGLFWLRQDU\

86(5B6(48(1&(6WDEOH

6(48(1&(B1$0(0,1B9$/8(0$;B9$/8(,1&5(0(17B%</$67B180%(5



&867,'(
'(37B'(3712
25','(
352','(

&ODVV0DQDJHPHQW1RWH

'HPROGGVTO

3XUSRVH7RLOOXVWUDWHWKH86(5B6(48(1&(6GDWDGLFWLRQDU\YLHZDQGLWVFRQWHQWV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
1(;79$/DQG&8559$/
3VHXGRFROXPQV
‡ 1(;79$/UHWXUQVWKHQH[WDYDLODEOH
VHTXHQFHYDOXH
,WUHWXUQVDXQLTXHYDOXHHYHU\WLPHLWLV
UHIHUHQFHGHYHQIRUGLIIHUHQWXVHUV
‡ &8559$/REWDLQVWKHFXUUHQWVHTXHQFH
YDOXH
1(;79$/PXVWEHLVVXHGIRUWKDW
VHTXHQFHEHIRUH&8559$/FRQWDLQVD
YDOXH
 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG
&RS\ULJKW

8VLQJD6HTXHQFH

2QFH\RXFUHDWH\RXUVHTXHQFH\RXFDQXVHWKHVHTXHQFHWRJHQHUDWHVHTXHQWLDOQXPEHUVIRUXVHLQ

\RXUWDEOHV5HIHUHQFHWKHVHTXHQFHYDOXHVE\XVLQJWKH1(;79$/DQG&8559$/SVHXGRFROXPQV

1(;79$/DQG&8559$/3VHXGRFROXPQV

7KH1(;79$/SVHXGRFROXPQLVXVHGWRH[WUDFWVXFFHVVLYHVHTXHQFHQXPEHUVIURPDVS HFLILHG

VHTXHQFH<RXPXVWTXDOLI\1(;79$/ZLWKWKHVHTXHQFHQDPH:KHQ\RXUHIHUHQFH

VHTXHQFH1(;79$/DQHZVHTXHQFHQXPEHULVJHQHUDWHGDQGWKHFXUUHQWVHTXHQFHQXPEHULV

SODFHGLQ&8559$/

7KH&8559$/SVHXGRFROXPQLVXVHGWRUHIHUWRDVHTXHQFHQXPEHUWKDWWKHFXUUHQWXVHUKDVMXVW

JHQHUDWHG1(;79$/PXVWEHXVHGWRJHQHUDWHDVHTXHQFHQXPEHULQWKHFXUUHQWXVHU¶VVHVVLRQ

EHIRUH&8559$/FDQEHUHIHUHQFHG<RXPXVWTXDOLI\&8559$/ZLWKWKHVHTXHQFHQDPH:KHQ

VHTXHQFH&8559$/LVUHIHUHQFHGWKHODVWYDOXHUHWXUQHGWR WKDWXVHU¶VSURFHVVLVGLVSOD\HG

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
1(;79$/DQG&8559$/
3VHXGRFROXPQV
‡ 1(;79$/UHWXUQVWKHQH[WDYDLODEOH
VHTXHQFHYDOXH
,WUHWXUQVDXQLTXHYDOXHHYHU\WLPHLWLV
UHIHUHQFHGHYHQIRUGLIIHUHQWXVHUV
‡ &8559$/REWDLQVWKHFXUUHQWVHTXHQFH
YDOXH
1(;79$/PXVWEHLVVXHGIRUWKDW
VHTXHQFHEHIRUH&8559$/FRQWDLQVD
YDOXH
 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG
&RS\ULJKW

5XOHVIRU8VLQJ1(;79$/DQG&8559$/

<RXFDQXVH1(;79$/DQG&8559$/LQWKHIROORZLQJ

‡ 7KH6(/(&7OLVWRID6(/(&7VWDWHPHQWWKDWLVQRWSDUWRIDVXETXHU\

‡ 7KH6(/(&7OLVWRIDVXETXHU\LQDQ,16(57VWDWHPHQW

‡ 7KH9$/8(6FODXVHRIDQ,16(57VWDWHPHQW

‡ 7KH6(7FODXVHRIDQ83'$7(VWDWHPHQW

<RXFDQQRWXVH1(;79$/DQG&8559$/LQWKHIROORZLQJ

‡ $6(/(&7OLVWRIDYLHZ

‡ $6(/(&7VWDWHPHQWZLWKWKH',67,1&7NH\ZRUG

‡ $6(/(&7VWDWHPHQWZLWKWKH*5283%<+$9,1*RU25'(5%<FODXVHV

‡ $VXETXHU\LQD6(/(&7'(/(7(RU83'$7(VWDWHPHQW

‡ $'()$8/7H[SUHVVLRQLQD&5($7(7$%/(RU$/7(57$%/(VWDWHPHQW

)RUPRUHLQIRUPDWLRQVHH

2UDFOH6HUYHU64/5HIHUHQFH5HOHDVH³3VHXGRFROXPQV´VHFWLRQDQG³&5($7(6(48(1&(´

&ODVV0DQDJHPHQW1RWH

%HVXUHWRSRLQWRXWWKHUXOHVOLVWHGRQWKLVSDJH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJD6HTXHQFH
‡ ,QVHUWDQHZGHSDUWPHQWQDPHG
³0$5.(7,1*´LQ6DQ'LHJR
64/!,16(57,172 GHSW GHSWQRGQDPHORF
9$/8(6 GHSWBGHSWQR1(;79$/
  
0$5.(7,1*

6$1',(*2

URZFUHDWHG

‡ 9LHZWKHFXUUHQWYDOXHIRUWKH
'(37B'(3712VHTXHQFH
64/!6(/(&7 GHSWBGHSWQR&8559$/
)520 GXDO

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG


&RS\ULJKW

8VLQJD6HTXHQFH

7KHH[DPSOHRQWKHVOLGHLQVHUWVDQHZGHSDUWPHQ WLQWKH'(37WDEOH,WXVHVWKH'(37B'(3712

VHTXHQFHIRUJHQHUDWLQJDQHZGHSDUWPHQWQXPEHU

<RXFDQYLHZWKHFXUUHQWYDOXHRIWKHVHTXHQFH

64/!6(/(&7GHSWBGHSWQR&8559$/
)520GXDO

&8559$/



6XSSRVHQRZ\RXZDQWWRKLUHHPSOR\HHVWRVWDIIWKHQHZGHSDUWPHQW7KH,16(57VWDWHPHQWWKDW

FDQEHH[HFXWHGUHSHDWHGO\IRUDOOWKHQHZHPSOR\HHVFDQLQFOXGHWKHIROORZLQJFRGH

64/!,16(57,172HPS
9$/8(6 HPSBHPSQR1(;79$/GHSWBGHSWQR&8559$/ 

1RWH7KHDERYHH[DPSOHDVVXPHVWKDWDVHTXHQFH(03B(0312KDVDOUHDG\EHHQFUHDWHGIRU
JHQHUDWLQJDQHZHPSOR\HHQXPEHU

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJD6HTXHQFH
‡ &DFKLQJVHTXHQFHYDOXHVLQPHPRU\
DOORZVIDVWHUDFFHVVWRWKRVHYDOXHV
‡ *DSVLQVHTXHQFHYDOXHVFDQRFFXUZKHQ
± $UROOEDFNRFFXUV
± 7KHV\VWHPFUDVKHV
± $VHTXHQFHLVXVHGLQDQRWKHUWDEOH
‡ 9LHZWKHQH[WDYDLODEOHVHTXHQFHLILWZDV
FUHDWHGZLWK12&$&+(E\TXHU\LQJWKH
86(5B6(48(1&(6WDEOH
 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG
&RS\ULJKW

&DFKLQJ6HTXHQFH9DOXHV

&DFKHVHTXHQFHVLQWKHPHPRU\WRDOORZIDVWHUDFFHVVWRWKRVHVHTXHQFHYDOXHV7KHFDFKHLVSRSXODWHG

DWWKHILUVWUHIHUHQFHWRWKHVHTXHQFH(DFKUHTXHVWIRUWKHQH[WVHTXHQFHYDOXHLVUHWULH YHGIURPWKH

FDFKHGVHTXHQFH$IWHUWKHODVWVHTXHQFHLVXVHGWKHQH[WUHTXHVWIRUWKHVHTXHQFHSXOOVDQRWKHUFDFKH

RIVHTXHQFHVLQWRPHPRU\

%HZDUHRI*DSVLQ<RXU6HTXHQFH

$OWKRXJKVHTXHQFHJHQHUDWRUVLVVXHVHTXHQWLDOQXPEHUVZLWKRXWJDSVWKLVDFWLRQRFFXUVLQGHSHQGHQWRI

DFRPPLWRUUROOEDFN7KHUHIRUHLI\RXUROOEDFNDVWDWHPHQWFRQWDLQLQJDVHTXHQFHWKHQXPEHULVORVW

$QRWKHUHYHQWWKDWFDQFDXVHJDSVLQWKHVHTXHQFHLVDV\VWHPFUDVK,IWKHVHTXHQFHFDFKHVYDOXHVLQWKH

PHPRU\WKHQWKRVHYDOXHVDUHORVWLIWKHV\VWHPFUDVKHV

%HFDXVHVHTXHQFHVDUHQRWWLHGGLUHFWO\WRWDEOHVWKHVDPHVHTXHQFHFDQEHXVHGIRUPXOWLSOHWDEOHV,I

WKLVRFFXUVHDFKWDEOHFDQFRQWDLQJDSVLQWKHVHTXHQWLDOQXPEHUV

9LHZLQJWKH1H[W$YDLODEOH6HTXHQFH9DOXH:LWKRXW,QFUHPHQWLQJ,W

,IWKHVHTXHQFHZDVFUHDWHGZLWK12&$&+(LWLVSRVVLEOHWRYLHZWKHQH[WDYDLODEOHVHTXHQFHYDOXH

ZLWKRXWLQFUHPHQWLQJLWE\TXHU\LQJWKH86(5B6(48(1&(6WDEOH

&ODVV0DQDJHPHQW1RWH

)UHTXHQWO\XVHGVHTXHQFHVVKRXOGEHFUHDWHGZLWKFDFKLQJWRLPSURYHHIILFLHQF\)RUFDFKHGVHTXHQFHV

WKHUHLVQRZD\WRILQGRXWZKDWWKHQH[WDYDLODEOHVHTXHQFHYDOXHZLOOEHZLWKRXWDFWXDOO\REWDLQLQJ

DQGXVLQJXSWKDWYDOXH,WLVUHFRP PHQGHGWKDWXVHUVUHVLVWILQGLQJWKHQH[WVHTXHQFHYDOXH7UXVWWKH

V\VWHPWRSURYLGHDXQLTXHYDOXHHDFKWLPHDVHTXHQFHLVXVHGLQDQ,16(57VWDWHPHQW

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
0RGLI\LQJD6HTXHQFH

&KDQJHWKHLQFUHPHQWYDOXHPD[LPXP
YDOXHPLQLPXPYDOXHF\FOHRSWLRQRU
FDFKHRSWLRQ
64/!$/7(56(48(1&(GHSWBGHSWQR
 ,1&5(0(17%<
 0$;9$/8(
 12&$&+(
 12&<&/(
6HTXHQFHDOWHUHG

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG


&RS\ULJKW

$OWHULQJD6HTXHQFH

,I\RXUHDFKWKH0$;9$/8(OLPLWIRU\RXUVHTXHQFHQRDGGLWLRQDOYDOXHVIURPWKHVHTXHQFHZLOO

EHDOORFDWHGDQG\RXZLOOUHFHLYHDQHUURULQGLFDWLQJWKDWWKHVHTXHQFHH[FHHGVWKH0$;9$/8(7R

FRQWLQXHWRXVHWKHVHTXHQFH\RXFDQPRGLI\LWE\XVLQJWKH$/7(56(48(1&(VWDWHPHQW

6\QWD[

$/7(56(48(1&( VHTXHQFH
>,1&5(0(17%<Q@
>^0$;9$/8(Q_120$;9$/8(`@
>^0,19$/8(Q_120,19$/8(`@
>^&<&/(_12&<&/(`@
>^&$&+(Q_12&$&+(`@
ZKHUH VHTXHQFH LVWKHQDPHRIWKHVHTXHQFHJHQHUDWRU

)RUPRUHLQIRUPDWLRQVHH

2UDFOH6HUYHU64/5HIHUHQFH5HOHDVH³$/7(56(48(1&(´

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
*XLGHOLQHVIRU0RGLI\LQJ
D6HTXHQFH
‡ <RXPXVWEHWKHRZQHURUKDYHWKH
$/7(5SULYLOHJHIRUWKHVHTXHQFH
‡ 2QO\IXWXUHVHTXHQFHQXPEHUVDUH
DIIHFWHG
‡ 7KHVHTXHQFHPXVWEHGURSSHGDQG
UHFUHDWHGWRUHVWDUWWKHVHTXHQFHDWD
GLIIHUHQWQXPEHU
‡ 6RPHYDOLGDWLRQLVSHUIRUPHG

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG


&RS\ULJKW

*XLGHOLQHV

‡ <RXPXVWEHWKHRZQHUKDYHWKH$/7(5SULYLOHJHIRUWKHVHTXHQFHLQRUGHUWRPRGLI\LW

‡ 2QO\IXWXUHVHTXHQFHQXPEHUVDUHDIIHFWH GE\WKH$/7(56(48(1&(VWDWHPHQW

‡ 7KH67$57:,7+RSWLRQFDQQRWEHFKDQJHGXVLQJ$/7(56(48(1&(7KHVHTXHQFHPXVW

EHGURSSHGDQGUHFUHDWHGLQRUGHUWRUHVWDUWWKHVHTXHQFHDWDGLIIHUHQWQXPEHU

‡ 6RPHYDOLGDWLRQLVSHUIRUPHG)RUH[DPSOHDQHZ0$;9$/8(FDQQRWEHLPSRVHGWKDWLV

OHVVWKDQWKHFXUUHQWVHTXHQFHQXPEHU

64/!$/7(56(48(1&(GHSWBGHSWQR
 ,1&5(0(17%<
 0$;9$/8(
 12&$&+(
 12&<&/(
$/7(56(48(1&(GHSWBGHSWQR

(5525DWOLQH
25$0$;9$/8(FDQQRWEHPDGHWREHOHVVWKDQWKHFXUUHQW
YDOXH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
5HPRYLQJD6HTXHQFH

‡ 5HPRYHDVHTXHQFHIURPWKHGDWD
GLFWLRQDU\E\XVLQJWKH'523
6(48(1&(VWDWHPHQW
‡ 2QFHUHPRYHGWKHVHTXHQFHFDQQR
ORQJHUEHUHIHUHQFHG
64/!'5236(48(1&(GHSWBGHSWQR
6HTXHQFHGURSSHG

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG


&RS\ULJKW

5HPRYLQJD6HTXHQFH

7RUHPRYHDVHTXHQFHIURPWKHGDWDGLFWLRQDU\XVHWKH'5236(48(1&(VWDWHPHQW<RXPXVWEH

WKHRZQHURIWKHVHTXHQFHRUKDYHWKH'523$1<6(48(1&(SULYLOHJHWRUHPRYHLW

6\QWD[

'5236(48(1&(VHTXHQFH
ZKHUH VHTXHQFH LVWKHQDPHRIWKHVHTXHQFHJHQHUDWRU

)RUPRUHLQIRUPDWLRQVHH

2UDFOH6HUYHU64/5HIHUHQFH5HOHDVH³'5236(48(1&(´

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
:KDW,VDQ,QGH["
‡ ,VDVFKHPDREMHFW
‡ ,VXVHGE\WKH2UDFOH6HUYHUWRVSHHG
XSWKHUHWULHYDORIURZVE\XVLQJD
SRLQWHU
‡ &DQUHGXFHGLVN,2E\XVLQJUDSLGSDWK
DFFHVVPHWKRGWRORFDWHWKHGDWD
TXLFNO\
‡ ,VLQGHSHQGHQWRIWKHWDEOHLWLQGH[HV
‡ ,VXVHGDQGPDLQWDLQHGDXWRPDWLFDOO\E\
WKH2UDFOH6HUYHU
 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG
&RS\ULJKW

:KDW,VDQ,QGH["

$Q2UDFOH6HUYHULQGH[LVDVFKHPDREMHFWWKDWFDQVSHHGXSWKHUHWULHYDORIURZVE\XV LQJDSRLQWHU

,QGH[HVFDQEHFUHDWHGH[SOLFLWO\RUDXWRPDWLFDOO\,I\RXGRQRWKDYHDQLQGH[RQWKHFROXPQWKHQD

IXOOWDEOHVFDQZLOORFFXU

$QLQGH[SURYLGHVGLUHFWDQGIDVWDFFHVVWRURZVLQDWDEOH,WVSXUSRVHLVWRUHGXFHWKHQHFHVVLW\RI

GLVN,2E\XVLQJDQLQGH[HGSDWKWRORFDWHGDWDTXLFNO\7KHLQGH[LVXVHGDQGPDLQWDLQHG

DXWRPDWLFDOO\E\WKH2UDFOH6HUYHU2QFHDQLQGH[LVFUHDWHGQRGLUHFWDFWLYLW\LVUHTXLUHGE\WKH

XVHU

,QGH[HVDUHORJLFDOO\DQGSK\VLFDOO\LQGHSHQGHQWR IWKHWDEOHWKH\LQGH[7KLVPHDQVWKDWWKH\FDQEH

FUHDWHGRUGURSSHGDWDQ\WLPHDQGKDYHQRHIIHFWRQWKHEDVHWDEOHVRURWKHULQGH[HV

1RWH:KHQ\RXGURSDWDEOHFRUUHVSRQGLQJLQGH[HVDUHDOVRGURSSHG

)RUPRUHLQIRUPDWLRQVHH

2UDFOH6HUYHU&RQFHSWV0DQXDO5HOHDVH³6FKHPD2EMHFWV´VHFWLRQ³,QGH[HV´WRSLF

&ODVV0DQDJHPHQW1RWH

7KHGHFLVLRQWRFUHDWHLQGH[HVLVDJOREDOKLJKOHYHOGHFLVLRQ&UHDWLRQDQGPDLQWHQDQFHRILQGH[HV

LVRIWHQD'%$WDVN

5HIHUHQFHWKHFROXPQWKDWKDVDQLQGH[LQWKHSUHGLFDWH:+(5(FODXVHZLWKRXWPRGLI\LQJWKH

LQGH[HGFROXPQZLWKDIXQFWLRQRUH[SUHVVLRQ

$52:,'LVDKH[DGHFLPDOVWULQJUHSUHVHQWDWLRQR IWKHURZDGGUHVVFRQWDLQLQJEORFNLGHQWLILHUURZ

ORFDWLRQLQWKHEORFNDQGWKHGDWDEDVHILOHLGHQWLILHU7KHIDVWHVWZ D\WRDFFHVVDQ\SDUWLFXODUURZLV

E\UHIHUHQFLQJLWV52:,'

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
+RZ$UH,QGH[HV&UHDWHG"

‡ $XWRPDWLFDOO\$XQLTXHLQGH[LVFUHDWHG
DXWRPDWLFDOO\ZKHQ\RXGHILQHD
35,0$5<.(<RU81,48(FRQVWUDLQWLQ
DWDEOHGHILQLWLRQ
‡ 0DQXDOO\8VHUVFDQFUHDWHQRQXQLTXH
LQGH[HVRQFROXPQVWRVSHHGXSDFFHVV
WLPHWRWKHURZV

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

+RZ$ UH,QGH[HV&UHDWHG"

7ZRW\SHVRILQGH[HVFDQEHFUHDWHG2QHW\SHLVDXQLTXHLQGH[7KH2UDFOH6HUYHUDXWRPDWLFDOO\

FUHDWHVWKLVLQGH[ZKHQ\RXGHILQHDFROXPQLQDWDEOHWRKDYHD35,0$5<.(<RUD81,48(NH\

FRQVWUDLQW7KHQDPHRIWKHLQGH[LVWKHQDPHJLYHQWRWKHFRQVWUDLQW

7KHRWKHUW\SHRILQGH[WKDWDXVHUFDQFUHDWHLVDQRQXQLTXHLQGH[)RUH[DPSOH\RXFDQFUHDWHD

)25(,*1.(<FROXPQLQGH[IRUDMRLQLQDTXHU\WRLPSURYHUHWULHYDOVSHHG

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
&UHDWLQJDQ,QGH[
‡ &UHDWHDQLQGH[RQRQHRUPRUHFROXPQV
&5($7(,1'(;LQGH[
21WDEOH FROXPQ>FROXPQ@ 

‡ ,PSURYHWKHVSHHGRITXHU\DFFHVVRQ
WKH(1$0(FROXPQLQWKH(03WDEOH
64/!&5($7(,1'(; HPSBHQDPHBLG[
21 HPS HQDPH 
,QGH[FUHDWHG

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

&UHDWLQJDQ,QGH[

&UHDWHDQLQGH[RQRQHRUPRUHFROXPQVE\LVVXLQJWKH&5($7(,1'(;VWDWHPHQW

,QWKHV\QWD[

LQGH[ LVWKHQDPHRIWKHLQGH[

WDEOH LVWKHQDPHRIWKHWDEOH

FROXPQ LVWKHQDPHRIWKHFROXPQLQWKHWDEOHWREHLQGH[HG

)RUPRUHLQIRUPDWLRQVHH

2UDFOH6HUYHU64/5HIHUHQFH5HOHDVH³&5($7(,1'(;´

&ODVV0DQDJHPHQW1RWH

7RFUHDWHDQLQGH[LQ\RXUVFKHPD\RXPXVWKDYH&5($7(, 1'(;SULYLOHJHV

$QRWKHURSWLRQLQWKHV\QWD[LVWKH81,48(NH\ZRUG(P SKDVL]HWKDW2UDFOHUHFRP PHQGVWKDW\RX

GRQRWH[SOLFLWO\GHILQHXQLTXHLQGH[HVRQWDEOHV,QVWHDGGHILQHXQLTXHQHVVLQWKHWDEOHDVD

FRQVWUDLQW7KH2UDFOH6HUYHUHQIRUFHVXQLTXHLQWHJULW\FRQVWUDLQWVE\DXWRPDWLFDOO\GHI LQLQJD

XQLTXHLQGH[RQWKHXQLTXHNH\

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
:KHQWR&UHDWHDQ,QGH[
‡ 7KHFROXPQLVXVHGIUHTXHQWO\LQWKH:+(5(
FODXVHRULQDMRLQFRQGLWLRQ
‡ 7KHFROXPQFRQWDLQVDZLGHUDQJHRIYDOXHV
‡ 7KHFROXPQFRQWDLQVDODUJHQXPEHURIQXOO
YDOXHV
‡ 7ZRRUPRUHFROXPQVDUHIUHTXHQWO\XVHG
WRJHWKHULQD:+(5(FODXVHRUDMRLQ
FRQGLWLRQ
‡ 7KHWDEOHLVODUJHDQGPRVWTXHULHVDUH
H[SHFWHGWRUHWULHYHOHVVWKDQ±RIWKH
URZV
 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG
&RS\ULJKW

0RUH,V1RW$OZD\V%HWWHU

0RUHLQGH[HVRQDWDEOHGRHVQRWPHDQLWZLOOVSHHGXSTXHULHV(DFK'0/RSHUDW LRQWKDWLV

FRPPLWWHGRQDWDEOHZLWKLQGH[HVPHDQVWKDWWKHLQGH[HVPXVWEHXSGDWHG7KHPRUHLQGH[HV\RX

KDYHDVVRFLDWHGZLWKDWDEOHWKHPRUHHIIRUWWKH2UDFOH6HUYHUPXVWPDNHWRXSGDWHDOOWKHL QGH[HV

DIWHUD'0/

:KHQWR&UHDWHDQ,QGH[

‡ 7KHFROXPQLVXVHGIUHTXHQWO\LQWKH:+(5(FODXVHRULQDMRLQFRQGLWLRQ

‡ 7KHFROXPQFRQWDLQVDZLGHUDQJHRIYDOXHV

‡ 7KHFROXPQFRQWDLQVDODUJHQXPEHURIQXOOYDOXHV

‡ 7ZRRUPRUHFROXPQVDUHIUHTXHQWO\XVHGWRJHWKHULQD:+(5(FODXVHRUM RLQFRQGLWLRQ

‡ 7KHWDEOHLVODUJHDQGPRVWTXHULHVDUHH[SHFWHGWRUHWULHYHOHVVWKDQ RIWKHURZV

5HPHPEHUWKDWLI\RXZDQWWRHQIRUFHXQLTXHQHVV\RXVKRXOGGHILQHDXQLTXHFRQVWUDLQWLQWKHWDEOH

GHILQLWLRQ7KHQDXQLTXHLQGH[LVFUHDWHGDXWRPDWLFDOO\

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
:KHQ1RWWR&UHDWHDQ,QGH[

‡ 7KHWDEOHLVVPDOO
‡ 7KHFROXPQVDUHQRWRIWHQXVHGDVD
FRQGLWLRQLQWKHTXHU\
‡ 0RVWTXHULHVDUHH[SHFWHGWRUHWULHYH
PRUHWKDQ±RIWKHURZV
‡ 7KHWDEOHLVXSGDWHGIUHTXHQWO\

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG


&RS\ULJKW

:KHQ1RWWR&UHDWHDQ,QGH[

‡ 7KHWDEOHLVVPDOO

‡ 7KHFROXPQVDUHQRWRIWHQXVHGDVDFRQGLWLRQLQWKHTXHU\

‡ 0RVWTXHULHVDUHH[SHFWHGWRUHWULHYHPRUHWK DQ±RIWKHURZV

‡ 7KHWDEOHLVXSGDWHGIUHTXHQWO\,I\RXKDYHRQHRUPRUHLQGH[HVRQDWDEOHWKH'0/

VWDWHPHQWVWKDWDFFHVVWKHWDEOHWDNHPRUHWLPH

&ODVV0DQDJHPHQW1RWH

1XOOYDOXHVDUHQRWLQFOXGHGLQWKHLQGH[

7RRSWLPL]HMRLQV\RXFDQFUHDWHDQLQGH[RQWKH)25(,*1.(<FROXPQZKLFKZLOOVSHH GXSWKH

VHDUFKWRPDWFKURZVWRWKH35,0$5<.(<FROXPQ

7KHRSWLPL]HUGRHVQRWXVHDQLQGH[LIWKH:+(5(FODXVHFRQWDLQVWKH,618//H[SUHVVLRQ

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
&RQILUPLQJ,QGH[HV
‡ 7KH86(5B,1'(;(6GDWDGLFWLRQDU\YLHZ
FRQWDLQVWKHQDPHRIWKHLQGH[DQGLWV
XQLTXHQHVV
‡ 7KH86(5B,1'B&2/8016YLHZFRQWDLQV
WKHLQGH[QDPHWKHWDEOHQDPHDQGWKH
FROXPQQDPH
64/!6(/(&7 LFLQGH[BQDPHLFFROXPQBQDPH
 LFFROXPQBSRVLWLRQFROBSRVL[XQLTXHQHVV
)520 XVHUBLQGH[HVL[XVHUBLQGBFROXPQVLF
:+(5( LFLQGH[BQDPH L[LQGH[BQDPH
$1' LFWDEOHBQDPH 
(03


 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG


&RS\ULJKW

&RQILUPLQJ,QGH[HV

&RQILUPWKHH[LVWHQFHRILQGH[HVIURPWKH86(5B,1'(;(6GDWDGLFWLRQDU\ YLHZ<RXFDQDOVR

FKHFNWKHFROXPQVLQYROYHGLQDQLQGH[E\TXHU\LQJWKH86(5B,1'B&2/8016YLHZ

7KHH[DPSOHRQWKHVOLGHGLVSOD\VDOOWKHSUHYLRXVO\FUHDWHGLQGH[HVDIIHFWHGFROXPQQDPHVDQG

XQLTXHQHVVRQWKH(03WDEOH

,1'(;B1$0(&2/801B1$0(&2/B32681,48(1(6

(03B(0312B3.(031281,48(
(03B(1$0(B,';(1$0(12181,48(

1RWH7KHRXWSXWKDVEHHQIRUPDWWHG

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
5HPRYLQJDQ,QGH[
‡ 5HPRYHDQLQGH[IURPWKHGDWDGLFWLRQDU\

64/!'523,1'(;LQGH[

‡ 5HPRYHWKH(03B(1$0(B,';LQGH[IURP
WKHGDWDGLFWLRQDU\
64/!'523,1'(;HPSBHQDPHBLG[
,QGH[GURSSHG

‡ 7RGURSDQLQGH[\RXPXVWEHWKHRZQHU
RIWKHLQGH[RUKDYHWKH'523$1<,1'(;
SULYLOHJH
 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG
&RS\ULJKW

5HPRYLQJDQ,QGH[

<RXFDQQRWPRGLI\LQGH[HV7RFKDQJHDQLQGH[\RXPXVWGURSLWDQGWKHQUH FUHDWHLW5HPRYHDQ

LQGH[GHILQLWLRQIURPWKHGDWDGLFWLRQDU\E\LVVXLQJWKH'523,1'(;VWDWHPHQW7RGURSDQLQGH[

\RXPXVWEHWKHRZQHURIWKHLQGH[RUKDYHWKH'523$1<,1'(;SULYLOHJH

,QWKHV\QWD[

LQGH[ LVWKHQDPHRIWKHLQGH[

&ODVV0DQDJHPHQW1RWH

5HPLQGVWXGHQWVWKDWLIWKH\GURSDWDEOHLQGH[HVDQGFRQVWUDLQWVDUHDXWRP DWLFDOO\GURSSHGEXW

YLHZVDQGVHTXHQFHVUHPDLQ

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
6\QRQ\PV

6LPSOLI\DFFHVVWRREMHFWVE\FUHDWLQJD
V\QRQ\P DQRWKHUQDPHIRUDQREMHFW 
‡ 5HIHUWRDWDEOHRZQHGE\DQRWKHUXVHU
‡ 6KRUWHQOHQJWK\REMHFWQDPHV
&5($7(>38%/,&@6<121<0V\QRQ\P
)25REMHFW

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG


&RS\ULJKW

&UHDWLQJD6\QRQ\PIRUDQ2EMHFW

7RUHIHUWRDWDEOHRZQHGE\DQRWKHUXVHU\ RXQHHGWRSUHIL[WKHWDEOHQDPHZLWKWKHQDPHRIWKHXVHU

ZKRFUHDWHGLWIROORZHGE\DSHULRG&UHDWLQJDV\QRQ\PHOLPLQDWHVWKHQHHGWRT XDOLI\WKHREMHFW

QDPHZLWKWKHVFKHPDDQGSURYLGHV\RXZLWKDQDOWHUQDWLYHQDPHIRUDWDEOHYLHZVHTXHQFH

SURFHGXUHRURWKHUREMHFWV7KLVPHWKRGFDQEHHVSHFLDOO\XVHIXOZLWKOHQJWK\REMHFWQDPHVVXFKDV

YLHZV

,QWKHV\QWD[

38%/,& FUHDWHVDV\QRQ\PDFFHVVLEOHWRDOOXVHUV

V\QRQ\P LVWKHQDPHRIWKHV\QRQ\PWREHFUHDWHG

REMHFW LGHQWLILHVWKHREMHFWIRUZKLFKWKHV\QRQ\PLVFUHDWHG

*XLGHOLQHV

‡ 7KHREMHFWFDQQRWEHFRQWDLQHGLQDSDFNDJH

‡ $SULYDWHV\QRQ\PQDPHPXVWEHGLVWLQFWIURPDOORWKHUREMHFWVRZQHGE\WKHVDPH XVHU

)RUPRUHLQIRUPDWLRQVHH

2UDFOH6HUYHU64/5HIHUHQFH5HOHDVH³&5($7(6<121<0´

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
&UHDWLQJDQG5HPRYLQJ6\QRQ\PV
‡ &UHDWHDVKRUWHQHGQDPHIRUWKH
'(37B680B98YLHZ
64/!&5($7(6<121<0 GBVXP
)25 GHSWBVXPBYX
6\QRQ\P&UHDWHG

‡ 'URSDV\QRQ\P
64/!'5236<121<0GBVXP
6\QRQ\PGURSSHG

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG


&RS\ULJKW

&UHDWLQJD6\QRQ\PIRUDQ2EMHFW FRQWLQXHG

7KHVOLGHH[DPSOHFUHDWHVDV\QRQ\PIRUWKH'(37B680B98YLHZIRUTXLFNHUUHIHUHQFH

7KH'%$FDQFUHDWHDSXEOLFV\QRQ\PDFFHVVLEOHWRDOOXVHUV7KHIROORZLQJH[DPSOH FUHDWHVDSXEOLF

V\QRQ\PQDPHG'(37IRU$OLFH¶V'(37WDEOH

64/!&5($7(38%/,&6<121<0GHSW
)25DOLFHGHSW
6\QRQ\PFUHDWHG
5HPRYLQJD6\QRQ\P

7RGURSDV\QRQ\PXVHWKH'5236<121<0VWDWH PHQW2QO\WKH'%$FDQGURSDSXEOLFV\QRQ\P

64/!'5236<121<0GHSW
6\QRQ\PGURSSHG
)RUPRUHLQIRUPDWLRQVHH

2UDFOH6HUYHU64/5HIHUHQFH5HOHDVH³'5236<121<0´

&ODVV0DQDJHPHQW1RWH

,QWKH2UDFOH6HUYHUWKH'%$FDQVSHFLILFDOO\JUDQWWKH&5($7(38%/,&6<121<0WRDQ\XVHU

DOORZLQJWKDWXVHUWRFUHDWHSXEOLFV\QRQ\PV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
6XPPDU\
‡ $XWRPDWLFDOO\JHQHUDWHVHTXHQFH
QXPEHUVE\XVLQJDVHTXHQFHJHQHUDWRU
‡ 9LHZVHTXHQFHLQIRUPDWLRQLQWKH
86(5B6(48(1&(6GDWDGLFWLRQDU\WDEOH
‡ &UHDWHLQGH[HVWRLPSURYHTXHU\UHWULHYDO
VSHHG
‡ 9LHZLQGH[LQIRUPDWLRQLQWKH
86(5B,1'(;(6GLFWLRQDU\WDEOH
‡ 8VHV\QRQ\PVWRSURYLGHDOWHUQDWLYH
QDPHVIRUREMHFWV

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG


&RS\ULJKW

6HTXHQFHV

7KHVHTXHQFHJHQHUDWRUFDQEHXVHGWRDXWRP DWLFDOO\JHQHUDWHVHTXHQFHQXPEHUVIRUURZVLQWDEOHV

7KLVFDQEHWLPHVDYLQJDQGFDQUHGXFHWKHDPRXQWRIDSSOLFDWLRQFRGHQHHGHG

$VHTXHQFHLVDGDWDEDVHREMHFWWKDWFDQEHVKDUHGZLWKRWKHUXVHUV,QIRUPDWLRQDERXWWKHVHTX HQFH

FDQEHIRXQGLQWKH86(5B6(48(1&(6WDEOHRIWKHGDWDGLFWLRQDU\

7RXVHDVHTXHQFHUHIHUHQFHLWZLWKHLWKHUWKH1(;79$/RUWKH&8559$/SVHXGRFROXPQV

‡ 5HWULHYHWKHQH[WQXPEHULQWKHVHTXHQFHE\UHIHUHQFLQJVHTXHQFH1(;79$/

‡ 5HWXUQWKHFXUUHQWDYDLODEOHQXPEHUE\UHIHUHQFLQJVHTXHQFH&8559$/

,QGH[HV

,QGH[HVDUHXVHGWRLPSURYHWKHTXHU\UHWULHYDOVSHHG

8VHUVFDQYLHZWKHGHILQLWLRQVRIWKHLQGH[HVLQWKH86(5B,1'(;(6GDWDGLFWLRQDU\YLHZ

$QLQGH[FDQEHGURSSHGE\WKHFUHDWRURUDXVHUZLWKWKH'523$1<,1'(;SUL YLOHJHE\XVLQJWKH

'523,1'(;VWDWHPHQW

6\QRQ\PV

'%$VFDQFUHDWHSXEOLFV\QRQ\PVDQGXVHUVFDQFUHDWHSULYDWHV\QRQ\PVIRUFRQYHQLHQFHE\XVLQJ

WKH&5($7(6<121<0VWDWHPHQW6\QRQ\PVSHUPLWVKRUWQDPHVRUDOWHUQDWLYHQDPHVIRUREMHFWV

5HPRYHV\QRQ\PVE\XVLQJWKH'5236<121<0VWDWHPHQW

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH2YHUYLHZ

‡ &UHDWLQJVHTXHQFHV
‡ 8VLQJVHTXHQFHV
‡ &UHDWLQJQRQXQLTXHLQGH[HV
‡ 'LVSOD\LQJGDWDGLFWLRQDU\LQIRUPDWLRQ
DERXWVHTXHQFHVDQGLQGH[HV
‡ 'URSSLQJLQGH[HV

 2UDFOH&RUSR UDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

3UDFWLFH2YHUYLHZ

,QWKLVSUDFWLFH\RXZLOOFUHDWHDVHTXHQFHWREHXVHGZKHQSRSXODWLQJ\RXU'(3$570(17WDEOH

<RXZLOODOVRFUHDWHLPSOLFLWDQGH[SOLFLWLQGH[HV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH

 &UHDWHDVHTXHQFHWREHXVHGZLWKWKHSULPDU\NH\FROXPQRIWKH '(3$570(17WDEOH7KH

VHTXHQFHVKRXOGVWDUWDWDQGKDYHDPD[LPXPYDOXHRI+DYH\RXUVHTXHQFHLQFUHPHQW

E\WHQQXPEHUV1DPHWKHVHTXHQFH'(37B,'B6(4

 :ULWHDVFULSWWRGLVSOD\WKHIROORZLQJLQIRUPDWLRQDERXW\RXUVHTXHQFHVVHTXHQFHQDPH

PD[LPXPYDOXHLQFUHPHQWVL]HDQGODVWQXPEHU1DPHWKHVFULSWSTVTO([HFXWH\RXU

VFULSW

6(48(1&(B1$0(0$;B9$/8(,1&5(0(17B%< /$67B180%(5
 
&867,'( 
'(37B,'B6(4 
25','( 
352','( 
 :ULWHDQLQWHUDFWLYHVFULSWWRLQVHUWDURZLQWRWKH'(3$570(17WDEOH1DPH\RXUVFULSW

STVTO%HVXUHWRXVHWKHVHTXHQFHWKDW\RXFUHDWHGIRUWKH,'FROXPQ&UHDWHDFXVWRPL]HG

SURPSWWRHQWHUWKHGHSDUWPHQWQDPH([HFXWH\RXUVFULSW$GGWZRGHSDUWPHQWVQDPHG

(GXFDWLRQDQG$GPLQLVWUDWLRQ&RQILUP\RXUDGGLWLRQV

 &UHDWHDQRQXQLTXHLQGH[RQWKHIRUHLJQNH\FROXPQLQWKH(03/2< ((WDEOH

 'LVSOD\WKHLQGH[HVDQGXQLTXHQHVVWKDWH[LVWLQWKHGDWDGLFWLRQDU\IRUWKH(03/2<((WDEOH

6DYHWKHVWDWHPHQWLQWRDVFULSWQDPHGSTVTO

,1'(;B1$0(7$%/(B1$0(81,48(1(6

(03/2<((B'(37B,'B,';(03/2<((12181,48(
(03/2<((B,'B3.(03/2<((81,48(

,QWURGXFWLRQWR2UDFOH64/DQG3/64/

&RQWUROOLQJ8VHU$FFHVV

2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

6FKHGXOH 7LPLQJ 7RSLF

PLQXWHV /HFWXUH

PLQXWHV 3UDFWLFH

PLQXWHV 7RWDO
2EMHFWLYHV

$IWHUFRPSOHWLQJWKLVOHVVRQ\RXVKRXOG
EHDEOHWRGRWKHIROORZLQJ
‡ &UHDWHXVHUV
‡ &UHDWHUROHVWRHDVHVHWXSDQG
PDLQWHQDQFHRIWKHVHFXULW\PRGHO
‡ 8VHWKH*5$17DQG5(92.(
VWDWHPHQWVWRJUDQWDQGUHYRNHREMHFW
SULYLOHJHV

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG


&RS\ULJKW

/HVVRQ$LP

,QWKLVOHVVRQ\RXZLOOOHDUQKRZWRFRQWUROGDWDEDVHDFFHVVWRVSHFLILFREMHFWVDQGDGGQHZXVHUV

ZLWKGLIIHUHQWOHYH OVRIDFFHVVSULYLOHJHV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
&RQWUROOLQJ8VHU$FFHVV

'DWDEDVH

DGPLQLVWUDWRU

8VHUQDPHDQGSDVVZRUG
SULYLOHJHV
8VHUV

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG


&RS\ULJKW

&RQWUROOLQJ8VHU$FFHVV

,QDPXOWLSOHXVHUHQYLURQPHQW\RXZDQWWRPDLQWDLQVHFXULW\RIWKHGDWDEDVHDFFHVVDQGXVH:LWK

2UDFOH6HUYHUGDWDEDVHVHFXULW\\RXFDQGRWKHIROORZLQJ

‡ &RQWUROGDWDEDVHDFFHVV

‡ *LYHDFFHVVWRVSHFLILFREMHFWVLQWKHGDWDEDVH

‡ &RQILUPJLYHQDQGUHFHLYHGSULYLOHJHVZLWKWKH2UDFOHGDWDGLFWLRQDU\

‡ &UHDWHV\QRQ\PVIRUGDWDEDVHREMHFWV

'DWDEDVHVHFXULW\FDQEHFODVVLILHGLQWRWZRFDWHJRULHVV\VWHPVHFXULW\DQGGDWDVHFXULW\6\VWHP

VHFXULW\FRYHUVDFFHVVDQGXVHRIWKHGDWDEDVHDWWKHV\VWHPOHYHOVXFKDVXVHUQDPHDQGSDVVZRUG

GLVNVSDFHDOORFDWHGWRXVHUVDQGV\VWHPRSHUDWLRQVDOORZHG E\WKHXVHU'DWDEDVHVHFXULW\FRYHUV

DFFHVVDQGXVHRIWKHGDWDEDVHREMHFWVDQGWKHDFWLRQVWKDWWKRVHXVHUVFDQKDYHRQWKHRE MHFWV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3ULYLOHJHV
‡ 'DWDEDVHVHFXULW\
± 6\VWHPVHFXULW\
± 'DWDVHFXULW\
‡ 6\VWHPSULYLOHJHV*DLQDFFHVVWRWKH
GDWDEDVH
‡ 2EMHFWSULYLOHJHV0DQLSXODWHWKH
FRQWHQWRIWKHGDWDEDVHREMHFWV
‡ 6FKHPD&ROOHFWLRQRIREMHFWVVXFKDV
WDEOHVYLHZVDQGVHTXHQFHV

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

3ULYLOHJHV

3ULYLOHJHVDUHWKHULJKWWRH[HFXWHSDUWLFXODU64/VWDWHPHQWV7KHGDWDEDVHDGPLQLVWUDWRULVDKLJK

OHYHOXVHUZLWKWKHDELOLW\WRJUDQWXVHUVDFFHVVWRWKHGDWDEDVHDQGLWVREMHFWV7KHXVHUVUHTXLUH

V\VWHPSULYLOHJHVWRJDLQDFFHVVWRWKHGDWDEDVHDQGREMHFWSULYLOHJHVWRPDQLSXODWHWKHFRQWHQWRIWKH

REMHFWVLQWKHGDWDEDVH8VHUVFDQDOVREHJLYHQWKHSULYLOHJHWRJUDQWDGGLWLRQDOSULYLOHJHVWRRWKHU

XVHUVRUWRUROHVZKLFKDUHQDPHGJURXSVRIUHODWHGSULYLOHJHV

Schema
$VFKHPDLVDFROOHFWLRQRIREMHFWVVXFKDVWDEOHVYLHZVDQGVHTXHQFHV7KHVFKHPDLVRZQHGE\D

GDWDEDVHXVHUDQGKDVWKHVDPHQDPHDVWKDWXVHU

)RUPRUHLQIRUPDWLRQVHH

2UDFOH6HUYHU$SSOLFDWLRQ'HYHORSHU¶V*XLGH5HOHDVH³(VWDEOLVKLQJD6HFXULW\3ROLF\´VHFWLRQ

DQG2UDFOH6HUYHU&RQFHSWV0DQXDO5HOHDVH³'DWDEDVH6HFXULW\´WRSLF

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
6\VWHP3ULYLOHJHV

‡ 0RUHWKDQSULYLOHJHVDUHDYDLODEOH
‡ 7KH'%$KDVKLJKOHYHOV\VWHP
SULYLOHJHV
± &UHDWHQHZXVHUV
± 5HPRYHXVHUV
± 5HPRYHWDEOHV
± %DFNXSWDEOHV

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

System Privileges

0RUHWKDQV\VWHPSULYLOHJHVDUHDYDLODEOHIRUXVHUVDQGUROHV6\VWHPSULYLOHJHVW\SLFDOO\DUH

SURYLGHGE\WKHGDWDEDVHDGPLQLVWUDWRU

7\SLFDO'%$3ULYLOHJHV

6\VWHP3ULYLOHJH 2SHUDWLRQV$XWKRUL]HG

&5($7(86(5 $OORZVJUDQWHHWRFUHDWHRWKHU2UDFOHXVHUV DSULYLOHJH

UHTXLUHGIRUD'%$UROH

'52386(5 'URSVDQRWKHUXVHU

'523$1<7$%/( 'URSVDWDEOHLQDQ\VFKHPD

%$&.83$1<7$%/( %DFNVXSDQ\WDEOHLQDQ\VFKHPDZLWKWKHH[SRUWXWLOLW\

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
&UHDWLQJ8VHUV

7KH'%$FUHDWHVXVHUVE\XVLQJWKH
&5($7(86(5VWDWHPHQW
&5($7(86(5
&5($7(86(5 XVHU
XVHU 

,'(17,),('%<SDVVZRUG
,'(17,),('%<SDVVZRUG

64/!&5($7( 86(5VFRWW
,'(17,),('%<WLJHU
8VHUFUHDWHG

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

&UHDWLQJD8VHU

7KH'%$FUHDWHVWKHXVHUE\H[HFXWLQJWKH&5($7(86(5VWDWHPHQW7KHXVHUGRHVQRWKDYHDQ\

SULYLOHJHVDWWKLVSRLQW7KH'%$FDQWKHQJUDQWDQXPEHURISULYLOHJHVWR WKDWXVHU7KHVHSULYLO HJHV

GHWHUPLQHZKDWWKHXVHUFDQGRDWWKHGDWDEDVHOHYHO

7KHVOLGHJLYHVWKHDEULGJHGV\QWD[IRUFUHDWLQJDXVHU

,QWKHV\QWD[

XVHU LVWKHQDPHRIWKHXVHUWREHFUHDWHG

SDVVZRUG VSHFLILHVWKDWWKHXVHUPXVWORJLQZLWKWKLVSDVVZRUG

)RUPRUHLQIRUPDWLRQVHH

2UDFOH6HUYHU64/5HIHUHQFH5HOHDVH³*5$17´ 6\VWHP3ULYLOHJHVDQG5ROHV DQG³&5($7(

86(5´

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VHU6\VWHP3ULYLOHJHV
‡ 2QFHDXVHULVFUHDWHGWKH'%$FDQJUDQW
VSHFLILFV\VWHPSULYLOHJHVWRDXVHU
*5$17SULYLOHJH>SULYLOHJH@
72XVHU>XVHU@

‡ $QDSSOLFDWLRQGHYHORSHUPD\KDYHWKH
IROORZLQJV\VWHPSULYLOHJHV
± &5($7(6(66,21
± &5($7(7$%/(
± &5($7(6(48(1&(
± &5($7(9,(:
± &5($7(352&('85(
 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

7\SLFDO8VHU3ULYLOHJHV

1RZWKDWWKH'%$KDVFUHDWHGDXVHUWKH'%$FDQDVVLJQSULYLOHJHVWRWKDWXVHU

6\VWHP3ULYLOHJH 2SHUDWLRQV$XWKRUL]HG

&5($7(6(66,21 &RQQHFWWRWKHGDWDEDVH

&5($7(7$%/( &UHDWHWDEOHVLQWKHXVHU¶VVFKHPD

&5($7(6(48(1&( &UHDWHDVHTXHQFHLQWKHXVHU¶VVFKHPD

&5($7(9,(: &UHDWHDYLHZLQWKHXVHU¶VVFKHPD

&5($7(352&('85( &UHDWHDVWRUHGSURFHGXUHIXQFWLRQRUSDFNDJHLQWKHXVHU¶V

VFKHPD

,QWKHV\QWD[

SULYLOHJH LVWKHV\VWHPSULYLOHJHWREHJUDQWHG

XVHU LVWKHQDPHRIWKHXVHU

&ODVV0DQDJHPHQW1RWH

7KHV\QWD[GLVSOD\HGIRUWKH*5$17FRPPDQGLVQRWWKHIXOOV\QWD[IRUWKHVWDWHPHQW

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
*UDQWLQJ6\VWHP3ULYLOHJHV
7KH'%$FDQJUDQWDXVHUVSHFLILFV\VWHP
SULYLOHJHV
64/!*5$17FUHDWHWDEOHFUHDWHVHTXHQFHFUHDWHYLHZ
72VFRWW
*UDQWVXFFHHGHG

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG


&RS\ULJKW

Granting System Privileges


7KH'%$XVHVWKH*5$17VWDWHPHQWWRDOORFDWHV\VWHPSULYLOHJHVWRWKHXVHU2QFHWKHXVHUKDV

EHHQJUDQWHGWKHSULYLOHJHVWKHXVHUFDQLPPHGLDWHO\XVHWKRVHSULYLOHJHV

,QWKHH[DPSOHRQWKHVOLGHXVHU6FRWWKDVEHHQDVVLJQHGWKHSULYLOHJHVWRFUHDWHWDEOHVVHTXHQFHV

DQGYLHZV

&ODVV0DQDJHPHQW1RWH

$XVHUQHHGVWRKDYHWKHUHTXLUHGVSDFHTXRWDWRFUHDWHWDEOHV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
:KDW,VD5ROH"

8VHUV

0DQDJHU

3ULYLOHJHV

$OORFDWLQJSULYLOHJHV $OORFDWLQJSULYLOHJHV

ZLWKRXWDUROH ZLWKDUROH

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG


&RS\ULJKW

:KDW,VD5ROH"

$UROHLVDQDPHGJURXSRIUHODWHGSULYLOHJHVWKDWFDQEHJUDQWHGWRWKHXVHU7KLVPHWKRGPDNHV

JUDQWLQJDQGUHYRNLQJSULYLOHJHVHDVLHUWRSHUIRUPDQGPDLQWDLQ

$XVHUFDQKDYHDFFHVVWRVHYHUDOUROHVDQGVHYHUDOXVHUVFDQEHDVVLJQHGWKHVDPHUROH5ROHV

W\SLFDOO\DUHFUHDWHGIRUDGDWDEDVHDSSOLFDWLRQ

&UHDWLQJDQG$VVLJQLQJD5ROH

)LUVWWKH'%$PXVWFUHDWHWKHUROH7KHQWKH'%$FDQDVVLJQSULYLOHJHVWRWKHUROHDQGXVHUVWRWKH

UROH

6\QWD[

&5($7(52/(UROH
ZKHUH UROH LVWKHQDPHRIWKHUROHWREHFUHDWHG

1RZWKDWWKHUROHLVFUHDWHGWKH'%$FDQXVHWKH*5$17VWDWHPHQWWRDVVLJQXVHUVWRWKHUROHDVZHOO

DVDVVLJQSULYLOHJHVWRWKHUROH

&ODVV0DQDJHPHQW1RWH

'LVFXVVWKHIRXUIROORZLQJSRLQWVDERXWUROHV

‡ $UHQDPHGJURXSVRIUHODWHGSULYLOHJHV

‡ &DQEHJUDQWHGWRXVHUV

‡ 6LPSOLI\WKHSURFHVVRIJUDQWLQJDQGUHYRNLQJSULYLOHJHV

‡ $UHFUHDWHGE\D'%$

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
&UHDWLQJDQG*UDQWLQJ3ULYLOHJHV
WRD5ROH
64/!&5($7(52/(PDQDJHU
5ROHFUHDWHG

64/!*5$17FUHDWHWDEOHFUHDWHYLHZ 
 WRPDQDJHU
*UDQWVXFFHHGHG

64/!*5$17PDQDJHUWR%/$.(&/$5.
*UDQWVXFFHHGHG

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

&UHDWLQJD5ROH

7KHH[DPSOHRQWKHVOLGHFUHDWHVDUROHPDQDJHUDQGWKHQDOORZVWKHPDQDJHUVWRFUHDWHWDEOHVDQG

YLHZV,WWKHQJUDQWV%ODNHDQG&ODUNWKHUROHRIPDQDJHUV1RZ%ODNHDQG&ODUNFDQFUHDWHWDEOHV

DQGYLHZV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
&KDQJLQJ<RXU3DVVZRUG

‡ 7KH'%$FUHDWHV\RXUXVHUDFFRXQWDQG
LQLWLDOL]HV\RXUSDVVZRUG
‡ <RXFDQFKDQJH\RXUSDVVZRUGE\
XVLQJWKH$/7(586(5VWDWHPHQW

64/!$/7(586(5VFRWW
64/!$/7(586(5VFRWW 


 ,'(17,),('%<OLRQ
,'(17,),('%<OLRQ
8VHUDOWHUHG
8VHUDOWHUHG

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG


&RS\ULJKW

&KDQJLQJ<RXU3DVVZRUG

7KH'%$FUHDWHVDQDFFRXQWDQGLQLWLDOL]HVDSDVVZRUGIRUHYHU\XVHU<RXFDQFKDQJH\RXU

SDVVZRUGE\XVLQJWKH$/7(586(5VWDWHPHQW

6\QWD[

$/7(586(5XVHU,'(17,),('%<SDVVZRUG
ZKHUH XVHU LVWKHQDPHRIWKHXVHU

SDVVZRUG VSHFLILHVWKHQHZSDVVZRUG

$OWKRXJKWKLVVWDWHPHQWFDQEHXVHGWRFKDQJH\RXUSDVVZRUGWKHUHDUHPDQ\RWKHURSWLRQV<RX

PXVWKDYHWKH$/7(586(5SULYLOHJHWRFKDQJHDQ\RWKHURSWLRQ

)RUPRUHLQIRUPDWLRQVHH

2UDFOH6HUYHU64/5HIHUHQFH5HOHDVH³$/7(586(5´

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
2EMHFW3ULYLOHJHV
2EMHFW

3ULYLOHJH 7DEOH 9LHZ 6HTXHQFH 3URFHGXUH

$/7(5 √
 √
'(/(7( √
 √
(;(&87( √


,1'(;  √
,16(57  √ √
5()(5(1&(6  √
6(/(&7  √ √ √
83'$7(  √ √

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG


&RS\ULJKW

2EMHFW3ULYLOHJHV

$QREMHFWSULYLOHJHLVDSULYLOHJHRUULJKWWRSHUIRUPDSDUWLFXODUDFWLRQRQDVSHFLILFWDEOHYLHZ

VHTXHQFHRUSURFHGXUH(DFKREMHFWKDVDSDUWLFXODUVHWRIJUDQWDEOHSULYLOHJHV7KHWDEOHRQWKHVOLGH

OLVWVWKHSULYLOHJHVIRUYDULRXVREMHFWV1RWHWKDWWKHRQO\SULYLOHJHVWKDWDSSO\WRDVHTXHQFHDUH

6(/(&7DQG$/7(583'$7(5()(5(1&(6DQG,16(57FDQEHUHVWULFWHGE\VSHFLI \LQJD

VXEVHWRIXSGDWDEOHFROXPQV$6(/(&7FDQEHUHVWULFWHGE\FUHDWLQJDYLHZZLWKDVXEVHWRI

FROXPQVDQGJUDQWLQJ6(/(&7SULYLOHJHRQWKHYLHZ$JUDQWRQDV\QRQ\PLVFRQYHUWHGWRDJUDQW

RQWKHEDVHWDEOHUHIHUHQFHGE\WKHV\QRQ\P

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
2EMHFW3ULYLOHJHV
‡ 2EMHFWSULYLOHJHVYDU\IURPREMHFWWRREMHFW

‡ $QRZQHUKDVDOOWKHSULYLOHJHVRQWKHREMHFW

‡ $QRZQHUFDQJLYHVSHFLILFSULYLOHJHVRQWKDW
RZQHU¶VREMHFW

*5$17 REMHFWBSULY> FROXPQV @


21 REMHFW
72 ^XVHU_UROH_38%/,&`
>:,7+*5$17237,21@

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

*UDQWLQJ2EMHFW3ULYLOHJHV

'LIIHUHQWREMHFWSULYLOHJHVDUHDYDLODEOHIRUGLIIHUHQWW\SHVRIVFKHPDREMHFWV$XVHUDXWRPDWLFDOO\

KDVDOOREMHFWSULYLOHJHVIRUVFKHPDREMHFWVFRQWDLQHGLQWKHXVHU¶VVFKHPD$XVHUFDQJUDQWDQ\

REMHFWSULYLOHJHRQDQ\VFKHPDREMHFWWKDWWKHXVHURZQVWRDQ\RWKHUXVHURUUROH,IWKHJUDQW

LQFOXGHVWKH*5$17237,21WKHJUDQWHHFDQIXUWKHUJUDQWWKHREMHFWSULYLOHJHWRRWKHUXVHUV

RWKHUZLVHWKHJUDQWHHFDQXVHWKHSULYLOHJHEXWFDQQRWJUDQWLWWRRWKHUXVHUV

,QWKHV\QWD[

REMHFWBSULY LVDQREMHFWSULYLOHJHWREHJUDQWHG

ALL specifies all object privileges.


columns specifies the column from a table or view on which privileges
are granted
ON object is the object on which the privileges are granted
TO identifies to whom the privilege is granted
PUBLIC grants object privileges to all users
WITH GRANT OPTION allows the grantee to grant the object privileges to other users
and roles

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
*UDQWLQJ2EMHFW3ULYLOHJHV
‡ *UDQWTXHU\SULYLOHJHVRQWKH(03WDEOH
64/!*5$17 VHOHFW
21 HPS
72 VXHULFK
*UDQWVXFFHHGHG

‡ *UDQWSULYLOHJHVWRXSGDWHVSHFLILF
FROXPQVWRXVHUVDQGUROHV
64/!*5$17 XSGDWH GQDPHORF
21 GHSW
72 VFRWWPDQDJHU
*UDQWVXFFHHGHG

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG


&RS\ULJKW

*XLGHOLQHV

‡ 7RJUDQWSULYLOHJHVRQDQREMHFWWKHREMHFWPXVWEHLQ\RXURZQVFKHPDRU\RXPXVWKDYHEHHQ

JUDQWHGWKHREMHFWSULYLOHJHV:,7+*5$17237,21

‡ $QREMHFWRZQHUFDQJUDQWDQ\REMHFWSULYLOHJHRQWKHREMHFWWRDQ\RWKHUXVHURUUROHRIWKH

GDWDEDVH

‡ 7KHRZQHURIDQREMHFWDXWRPDWLFDOO\DFTXLUHVDOOREMHFWSULYLOHJHVRQWKDWREMHFW

7KHILUVWH[DPSOHRQWKHVOLGHJUDQWVXVHUV6XHDQG5LFKWKHSULYLOHJHWRTXHU\\RXU(03WDEOH7KH

VHFRQGH[DPSOHJ rants UPDATE privileges on specific columns in the DEPT table to Scott and to
the manager role.
Note: DBAs generally allocate system privileges; any user who owns an object can grant object
privileges.

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
8VLQJ:,7+*5$17237,21
DQG38%/,&.H\ZRUGV
‡ *LYHDXVHUDXWKRULW\WRSDVVDORQJWKH
SULYLOHJHV
64/!*5$17 VHOHFWLQVHUW
21 GHSW
72 VFRWW
:,7+*5$17237,21
*UDQWVXFFHHGHG

‡ $OORZDOOXVHUVRQWKHV\VWHPWRTXHU\
GDWDIURP$OLFH¶V'(37WDEOH
64/!*5$17 VHOHFW
21 DOLFHGHSW
72 38%/,&
*UDQWVXFFHHGHG
 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG
&RS\ULJKW

:,7+*5$ 17237,21.H\ZRUG

$SULYLOHJHWKDWLVJUDQWHG:,7+*5$17237,21FDQEHSDVVHGRQWRRWKHUXVHUVDQGUROHVE\WKH

JUDQWHH2EMHFWSULYLOHJHVJUDQWHG:,7+*5$17237,21DUHUHYRNHGZKHQWKHJUDQWRU¶VSULYLOHJH

LVUHYRNHG

7KHH[DPSOHRQWKHVOLGHJLYHVXVHU6FRWWDFFH VVWR\RXU'(37WDEOHZLWKWKHSULYLOHJHVWRTXHU\WKH

WDEOHDQGDGGURZVWRWKHWDEOH7KHH[DPSOHDOVRDOORZV6FRWWWRJLYHRWKHUVWKHVHSULYLOHJHV

38%/,&.H\ZRUG

$QRZQHURIDWDEOHFDQJUDQWDFFHVVWRDOOXVHUVE\XVLQJWKH38%/,&NH\ZRUG

7KHVHFRQGH[DPSOHDOORZVDOOXVHUVRQWKHV\VWHPWRTXHU\GDWDIURP$OLFH ¶V'(37WDEOH

&ODVV0DQDJHPHQW1RWH

,IDVWDWHPHQWGRHVQRWXVHWKHIXOOQDPHRIDQREMHFWWKH2UDFOH6HUYHULPSOLFLWO \SUHIL[HVWKHREMHFW

QDPHZLWKWKHFXUUHQWXVHU¶VQDPH RUVFKHPD ,IXVHU6FRWWTXHULHVWKH'(37WDEOHWKHV\VWHPZLOO

6(/(&7IURPWDEOH6&277'(37

,IDVWDWHPHQWGRHVQRWXVHWKHIXOOQDPHRIDQREMHFWDQGWKHFXUUHQWXVHUGRHVQRWRZQDQREMHFWRI

WKDWQDPHWKHV\VWHPZLOOSUHIL[WKHREMHFWQDPHZLWK38%/,&)RUH[DPSOHLIXVHU6FRWWTXHULHV

WKH86(5B2%-(&76WDEOHDQG6FRWWGRHVQRWRZQVXFKDWDEOHWKHV\VWHPZLOO6(/(&7IURPWKH

GDWDGLFWLRQDU\YLHZE\ZD\RIWKH38%/,&86(5B2%-(&76SXEOLFV\QRQ\P

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
&RQILUPLQJ3ULYLOHJHV*UDQWHG
'DWD'LFWLRQDU\7DEOH 'HVFULSWLRQ

52/(B6<6B35,96 6\VWHPSULYLOHJHVJUDQWHGWRUROHV

52/(B7$%B35,96 7DEOHSULYLOHJHVJUDQWHGWRUROHV

86(5B52/(B35,96 5ROHVDFFHVVLEOHE\WKHXVHU

86(5B7$%B35,96B0$'( 2EMHFWSULYLOHJHVJUDQWHGRQWKH
XVHU¶VREMHFWV

86(5B7$%B35,96B5(&' 2EMHFWSULYLOHJHVJUDQWHGWRWKH
XVHU

86(5B&2/B35,96B0$'( 2EMHFWSULYLOHJHVJUDQWHGRQWKH
FROXPQVRIWKHXVHU¶VREMHFWV

86(5B&2/B35,96B5(&' 2EMHFWSULYLOHJHVJUDQWHGWRWKH
XVHURQVSHFLILFFROXPQV

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

&RQILUPLQJ3ULYLOHJHV*UDQWHG

,I\RXDWWHPSWWRSHUIRUPDQXQDXWKRUL]HGRSHUDWLRQ²IRUH[DPSOHGHOHWLQJDURZIURPDWDEOHIRU

ZKLFK\RXGRQRWKDYHWKH'(/(7(SULYLOHJH²WKH2UDFOH6HUYHUZLOOQRWSHUPLWWKHRSHUDWLRQWR

WDNHSODFH

,I\RXUHFHLYHWKH2UDFOH6HUYHUHUURUPHVVDJH³WDEOHRUYLHZGRHVQRWH[LVW´\RXKDYHGRQHHLWKHURI

WKHIROORZLQJ

‡ 1DPHGDWDEOHRUYLHZWKDWGRHVQRWH[LVW

‡ $WWHPSWHGWRSHUIRUPDQRSHUDWLRQRQDWDEOHRUYLHZIRUZKLFK\RXGRQRWKDYHWKH

DSSURSULDWHSULYLOHJH

<RXFDQDFFHVVWKHGDWDGLFWLRQDU\WRYLHZWKHSULYLOHJHVWKDW\RXKDYH7KHWDEOHRQWKHVOLGH

GHVFULEHVYDULRXVGDWDGLFWLRQDU\WDEOHV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
+RZWR5HYRNH2EMHFW3ULYLOHJHV
‡ <RXXVHWKH5(92.(VWDWHPHQWWR
UHYRNHSULYLOHJHVJUDQWHGWRRWKHU
XVHUV
‡ 3ULYLOHJHVJUDQWHGWRRWKHUVWKURXJKWKH
:,7+*5$17237,21ZLOODOVREH
UHYRNHG
5(92.(^SULYLOHJH>SULYLOHJH@_$//`
21 REMHFW
)520^XVHU>XVHU@_UROH_38%/,&`
>&$6&$'(&21675$,176@

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG


&RS\ULJKW

5HYRNLQJ2EMHFW3ULYLOHJHV

5HPRYHSULYLOHJHVJUDQWHGWRRWKHUXVHUVE\XVLQJWKH5(92.(VWDWHPHQW:KHQ\RXXVHWKH

5(92.(VWDWHPHQWWKHSULYLOHJHVWKDW\RXVSHFLI\DUHUHYRNHGIURPWKHXVHUVWKDW\RXQDPHDQG

IURPDQ\RWKHUXVHUVWRZKRPWKRVHSULYLOHJHVPD\ KDYHEHHQJUDQWHGWKURXJKWKH:,7+*5$17

237,21FODXVH

,QWKHV\QWD[

&$6&$'( LVUHTXLUHGWRUHPRYHDQ\UHIHUHQWLDOLQWHJULW\FR QVWUDLQWVPDGHWRWKH

&21675$,176 REMHFWE\PHDQVRIWKH5()(5(1&(6SULYLOHJH

)RUPRUHLQIRUPDWLRQVHH

2UDFOH6HUYHU64/5HIHUHQFH5HOHDVH³5(92.(´

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
5HYRNLQJ2EMHFW3ULYLOHJHV

$VXVHU$OLFHUHYRNHWKH6(/(&7DQG
,16(57SULYLOHJHVJLYHQWRXVHU6FRWWRQ
WKH'(37WDEOH
64/!5(92.( VHOHFWLQVHUW
21 GHSW
)520 VFRWW
5HYRNHVXFFHHGHG

 2UD FOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

5HYRNLQJ2EMHFW3ULYLOHJHV FRQWLQXHG

7KHH[DPSOHRQWKHVOLGHUHYRNHV6(/(&7DQG,16(57SULYLOHJHVJLYHQWRXVHU6FRWWRQWKH'(37

WDEOH

1RWHIf a user is granted a privilege WITH GRANT OPTION, that user can also grant the privilege
WITH GRANT OPTION, so that a long chain of grantees is possible, but no circular grants are
permitted. If the owner revokes a privilege from a user who granted the privilege to other users, the
REVOKE cascades to all privileges granted.
For example, if user A grants SELECT privilege on a table to user B including the WITH GRANT
OPTION, user B can grant to user C the SELECT privilege WITH GRANT OPTION, and user C
can then grant to user D the SELECT privilege. If user A the revokes then privilege from user B,
then the privileges granted to users C and D are also revoked.

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
6XPPDU\
6WDWHPHQW $FWLRQ

&5($7(86(5 $OORZVWKH'%$WRFUHDWHDXVHU

*5$17 $OORZVWKHXVHUWRJLYHRWKHUXVHUV
SULYLOHJHVWRDFFHVVWKHXVHU¶V

REMHFWV

&5($7(52/( $OORZVWKH'%$WRFUHDWHDFROOHFWLRQ

RISULYLOHJHV

$/7(586(5 $OORZVXVHUVWRFKDQJHWKHLU
SDVVZRUG

5(92.( 5HPRYHVSULYLOHJHVRQDQREMHFWIURP
XVHUV

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUY HG


&RS\ULJKW

6XPPDU\

'%$VHVWDEOLVKLQLWLDOGDWDEDVHVHFXULW\IRUXVHUVE\DVVLJQLQJSULYLOHJHVWRWKHXVHUV

‡ 7KH'%$FUHDWHVXVHUVZKRPXVWKDYHDSDVVZRUG7KH'%$LVDOVRUHVSRQVLEOHIRU

HVWDEOLVKLQJWKHLQLWLDOV\VWHPSULYLOHJHVIRUDXVHU

‡ 2QFHWKHXVHUKDVFUHDWHGDQREMHFWWKHXVHUFDQSDVVDORQJDQ\RIWKHDYDLODEOHREMHFW

SULYLOHJHVWRRWKHUXVHUVRUWRDOOXVHUVE\XVLQJWKH*5$17VWDWHPHQW

‡ $'%$FDQFUHDWHUROHVE\XVLQJWKH&5($7(52/(VWDWH PHQWWRSDVVDORQJDFROOHFWLRQRI

V\VWHPRUREMHFWSULYLOHJHVWRPXOWLSOHXVHUV5ROHVPDNHJUDQWLQJDQGUHYRNLQJSULYLOHJHV

HDVLHUWRPDLQWDLQ

‡ 8VHUVFDQFKDQJHWKHLUSDVVZRUGE\XVLQJWKH$/7(586(5VWDWHPHQW

‡ <RXFDQUHPRYHSULYLOHJHVIURPXVHUVE\XVLQJWKH5(92.(VWDWH PHQW

‡ 'DWDGLFWLRQDU\YLHZVDOORZXVHUVWRYLHZWKHSULYLOHJHVJUDQWHGWRWKHPDQGWKRVHWKDWDUH

JUDQWHGRQWKHLUREMHFWV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH2YHUYLHZ

‡ *UDQWLQJRWKHUXVHUVSULYLOHJHVWR\RXU
WDEOH
‡ 0RGLI\LQJDQRWKHUXVHU¶VWDEOHWKURXJK
WKHSULYLOHJHVJUDQWHGWR\RX
‡ &UHDWLQJDV\QRQ\P
‡ 4XHU\LQJWKHGDWDGLFWLRQDU\YLHZV
UHODWHGWRSULYLOHJHV

 2UDFOH&RUSRUDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

3UDFWLFH2YHUYLHZ

7HDPXSZLWKRWKHUVWXGHQWVIRUWKLVH[HUFLVHRIFRQWUROOLQJDFFHVVWRGDWDEDVHREMHFWV

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH

 :KDWSULYLOHJHVKRXOGDXVHUEHJLYHQWRORJLQWRWKH2UDFOH6HUYHU",VWKLVDV\VWHPRUDQ

REMHFWSULYLOHJH"

BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB

 :KDWSULYLOHJHVKRXOGDXVHUEHJLYHQWRFUHDWHWDEOHV"

BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB

 ,I\RXFUHDWHDWDEOHZKRFDQSDVVDORQJSULYLOHJHVWRRWKHUXVHUVRQ\RXUWDEOH"

BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB

 <RXDUHWKH'%$<RXDUHFUHDWLQJPDQ\XVHUVZKRUHTXLUHWKHVDPHV\VWHPSULYLOHJHV

:KDWZRXOG\RXXVHWRPDNH\RXUMREHDVLHU"

BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB

 :KDWFRPPDQGGR\RXXVHWRFKDQJH\RXUSDVVZRUG"

BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB

 *UDQWDQRWKHUXVHUDFFHVVWR\RXU'(37WDEOH+DYHWKHXVHUJUDQW\RXTXHU\DFFHVVWRKLVRU

KHU'(37WDEOH

 4XHU\DOOWKHURZVLQ\RXU'(37WDEOH

'(3712'1$0(/2&

$&&2817,1*1(:<25.
5(6($5&+'$//$6
6$/(6&+,&$*2
23(5$7,216%26721
 $GGDQHZURZWR\RXU'(37WDEOH7HDPVKRXOGDGG(GXFDWLRQDVGHSDUWPHQW

QXPEHU7HDPVKRXOGDGG$GPLQLVWUDWLRQDVGHSDUWPH QWQXPEHU0DNHWKHFKDQJHV

SHUPDQHQW

 &UHDWHDV\QRQ\PIRUWKHRWKHUWHDP¶V'(37WDEOH

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH FRQWLQXHG

 4XHU\DOOWKHURZVLQWKHRWKHUWHDP¶V'(37WDEOHE\XVLQJ\RXUV\QRQ\P

7HDP6(/(&7VWDWHPHQWUHVXOWV
'(3712'1$0(/2&

$&&2817,1*1(:<25.
5(6($5&+'$//$6
6$/(6&+,&$*2
23(5$7,216%26721
$'0,1,675$7,21
7HDP6(/(&7VWDWHPHQWUHVXOWV
'(3712'1$0(/2&

$&&2817,1*1(:<25.
5(6($5&+'$//$6
6$/(6&+,&$*2
23(5$7,216%26721
('8&$7,21

 4XHU\WKH86(5B7$%/(6GDWDGLFWLRQDU\WRVHHLQIRUPDWLRQDERXWWKHWDEOHVWKDW\RXRZQ

7$%/(B1$0(

%2186
&86720(5
'(3$570(17
'(37
'800<
(03
(03/2<((
,7(0
0<B(03/2<((
25'
35,&(
352'8&7
6$/*5$'(
URZVVHOHFWHG

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH FRQWLQXHG

 4XHU\WKH$//B7$%/(6GDWDGLFWLRQDU\YLHZWRVHHLQIRUPDWLRQDERXWDOOWKHWDEOHVWKDW\RX

FDQDFFHVV([FOXGHWDEOHVWKDWDUH\RXRZQ

7$%/(B1$0( 2:1(5


 
'(37 XVHU!

 5HYRNHWKH6(/(&7SULYLOHJHIURPWKHRWKHUWHDP

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
,QWURGXFWLRQWR2UDFOH64/DQG3/64/

64/:RUNVKRS

2UDFOH&RUSR UDWLRQ$OOULJKWVUHVHUYHG
&RS\ULJKW

6FKHGXOH 7LPLQJ 7RSLF

±PLQXWHV 3UDFWLFH

±PLQXWHV 7RWDO
:RUNVKRS2YHUYLHZ

‡ &UHDWLQJWDEOHVDQGVHTXHQFHV
‡ 0RGLI\LQJGDWDLQWKHWDEOHV
‡ 0RGLI\LQJDWDEOHGHILQLWLRQ
‡ &UHDWLQJDYLHZ
‡ :ULWLQJVFULSWVFRQWDLQLQJ64/DQG
64/ 3OXVFRPPDQGV
‡ *HQHUDWLQJDVLPSOHUHSRUW

 2UDFOH&RUSR UDWLRQ$OOULJKWVUHVHUYHG


&RS\ULJKW

:RUNVKRS2YHUYLHZ

,QWKLVZRUNVKRS\RXZLOOEXLOGDVHWRIGDWDEDVHWDEOHVIRUDYLGHRDSSOLFDWLRQ2QFH\RXFUHDWHWKH

WDEOHV\RXZLOOLQVHUWXSGDWHDQGGHOHWHUHFRUGVLQDYLGHRVWRUHGDWDEDVHDQGJHQHUDWHDUHSRUW7KH

GDWDEDVHFRQWDLQVRQO\WKHHVVHQWLDOWDEOHV

1RWH,I\RXZDQWWREXLOGWKHWDEOHV\RXFDQH[HFXWHWKHEXLOGWDEVTOVFULSWLQ64/ 3OXV,I\RX

ZDQWWRGURSWKHWDEOHV\RXFDQH[HFXWHWKHGURSYLGVTOVFULSWLQ64/ 3OXV7KHQ\RXFDQH[HFXWH

WKHEXLOGYLGVTOVFULSWLQ64/ 3OXVWRFUHDWHDQGSRSXODWHWKHWDEOHV,I\RXXVHWKHEXLOGYLGVTO

VFULSWWREXLOGDQGSRSXODWHWKHWDEOHVVWDUWZLWK3UDFWLFHE

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH

 &UHDWHWKHWDEOHVEDVHGRQWKHIROORZLQJWDEOHLQVWDQFHFKDUWV&KRRVHWKHDSSURSULDWHGDWDW\SHV

DQGEHVXUHWRDGGLQWHJULW\FRQVWUDLQWV

D7DEOHQDPH0(0%(5

&ROXPQB 0(0%(5B /$67B ),567B $''5(66 &,7< 3+21( -2,1B

1DPH ,' 1$0( 1$0( '$7(

.H\ 3.

7\SH

1XOO 118 11 11

8QLTXH

'HIDXOW 6\VWH

9DOXH P

'DWH

'DWD 1XPEHU 9DUFKDU 9DUFKDU 9DUFKDU 9DUFKDU 9DUFKDU 'DWH

7\SH

/HQJWK      

E7DEOHQDPH7,7/(

&ROXPQB 7,7/(B,' 7,7/( '(6&5,37,21 5$7,1* &$7(*25< 5(/($6(B

1DPH '$7(

.H\ 3.

7\SH

1XOO 118 11 11

8QLTXH

&KHFN *3* '5$0$

5 &20('<

1& $&7,21

15 &+,/'

6&,),

'2&80(17

$5<

'DWD 1XP EHU 9DUFKDU 9DUFKDU 9DUFKDU 9DUFKDU 'DWH

7\SH

/HQJWK     

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH FRQWLQXHG

F7DEOHQDPH7,7/(B&23<

&ROXPQ &23<B,' 7,7/(B,' 67$786

1DPH

.H\ 3. 3.).

7\SH

1XOO 118 118 11

8QLTXH

&KHFN $9$,/$%/(

'(6752<('

5(17('

5(6(59('

).5HI 7,7/(

7DEOH

).5HI 7,7/(B,'

&RO

'DWD 1XPEHU 1XPEHU 9DUFKDU

7\SH

/HQJWK   

G7DEOHQDPH5(17$/

&ROXPQ %22.B 0(0%(5B &23<B $&7B5(7B (;3B5(7B 7,7/(B

1DPH '$7( ,' ,' '$7( '$7( ,'

.H\ 3. 3.). 3.). 3.).

7\SH

'HIDXOW 6\VWHP 6\VWHP'DWH

9DOXH 'DWH GD\V

).5HI 0(0%(5 7,7/(B 7,7/(B

7DEOH &23< &23<

).5HI 0(0%(5B &23<B 7,7/(B,'

&RO ,' ,'

'DWD 'DWH 1XPEHU 1XPEHU 'DWH 'DWH 1XPEHU

7\SH

/HQJWK   

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH FRQWLQXHG

H7DEOHQDPH5(6(59$7,21

&ROXPQ 5(6B 0(0%(5B 7,7/(B

1DPH '$7( ,' ,'

.H\ 3. 3.). 3.).

7\SH

1XOO 118 118 11

8QLTXH

).5HI 0(0%(5 7,7/(

7DEOH

).5HI 0(0%(5B,' 7,7/(B,'

&ROXPQ

'DWD7\SH 'DWH 1XPEHU 1XPEHU

/HQJWK  

 9HULI\WKDWWKHWDEOHVDQGFRQVWUDLQWVZHUHFUHDWHGSURSHUO\E\FKHFNLQJWKHGDWDGLFWLRQDU\

7$%/(B1$0(

0(0%(5
5(17$/
5(6(59$7,21
7,7/(
7,7/(B&23<

&21675$,17B1$0(&7$%/(B1$0(

0(0%(5B/$67B1$0(B11&0(0%(5
0(0%(5B-2,1B'$7(B11&0(0%(5
0(0%(5B0(0%(5B,'B3.30(0%(5
5(17$/B%22.B'$7(B&23<B7,7/(B3.35(17$/
5(17$/B0(0%(5B,'B).55(17$/
5(17$/B&23<B,'B7,7/(B,'B).55(17$/
5(6(59$7,21B5(6'$7(B0(0B7,7B3.35(6(59$7,21
5(6(59$7,21B0(0%(5B,'55(6(59$7,21
5(6(59$7,21B7,7/(B,'55(6(59$7,21

URZVVHOHFWHG

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH FRQWLQXHG

 &UHDWHVHTXHQFHVWRXQLTXHO\LGHQWLI\HDFKURZLQWKH0(0 %(5WDEOHDQGWKH7,7/(WDEOH

D0HPEHUQXPEHUIRUWKH0(0%(5WDEOHVWDUWZLWKGRQRWDOORZFDFKLQJRIWKH

YDOXHV1DPHWKHVHTXHQFHPHPEHUBLGBVHT

E7LWOHQXPEHUIRUWKH7,7/(WDEOHVWDUWZLWKQRFDFKLQJ1DPHWKHVHTXHQFH

WLWOHBLGBVHT

F9HULI\WKHH[LVWHQFHRIWKHVHTXHQFHVLQWKHGDWDGLFWLRQDU\

6(48(1&(B1$0(,1&5(0(17B%</$67B180%(5

7,7/(B,'B6(4
0(0%(5B,'B6(4
 $GGGDWDWRWKHWDEOHV&UHDWHDVFULSWIRUHDFKVHWRIGDWDWRDGG

D$GGPRYLHWLWOHVWRWKH7,7/(WDEOH:ULWHDVFULSWWRHQWHUWKHPRYLHLQIRUPDWLRQ

6DYHWKHVFULSWDVSTDVTO8VHWKHVHTXHQFHVWRXQLTXHO\LGHQWLI\HDFKWLWOH

5HPHPEHUWKDWVLQJOHTXRWDWLRQPDUNVLQDFKDUDFWHUILHOGP XVWEHVSHFLDOO\KDQGOHG

9HULI\\RXUDGGLWLRQV

7,7/(

:LOOLHDQG&KULVWPDV7RR
$OLHQ$JDLQ
7KH*ORE
0\'D\2II
0LUDFOHVRQ,FH
6RGD*DQJ
URZVVHOHFWHG

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH FRQWLQXHG

7LWOH 'HVFULSWLRQ 5DWLQJ &DWHJRU\ 5HOHDVHBGDWH

:LOOLHDQG $OORI:LOOLH¶VIULHQGVPDNHD * &+,/' 2&7

&KULVWPDV &KULVWPDVOLVWIRU6DQWDEXW

7RR :LOOLHKDV\HWWRDGGKLVRZQ

ZLVKOLVW

$OLHQ$JDLQ <HWDQRWKHULQVWDOODWLRQRI 5 6&,), 0$<

VFLHQFHILFWLRQKLVWRU\&DQ

WKHKHURLQHVDYHWKHSODQHW

IURPWKHDOLHQOLIHIRUP"

7KH*ORE $PHWHRUFUDVKHVQHDUDVPDOO 15 6&,), $8*

$PHULFDQWRZQDQGXQOHDVKHV

FDUQLYRURXVJRRLQWKLV

FODVVLF

0\'D\2II :LWKDOLWWOHOXFNDQGDORWRI 3* &20('< -8/

LQJHQXLW\DWHHQDJHUVNLSV

VFKRROIRUDGD\LQ1HZ<RUN

0LUDFOHVRQ $VL[\HDUROGKDVGRXEWV 3* '5$0$ 6(3

,FH DERXW6DQWD&ODXVEXWVKH

GLVFRYHUVWKDWPLUDFOHVUHDOO\

GRH[LVW

6RGD*DQJ $IWHUGLVFRYHULQJDFDFKHRI 15 $&7,21 -81

GUXJVD\RXQJFRXSOHILQG

WKHPVHOYHVSLWWHGDJDLQVWD

YLFLRXVJDQJ

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH FRQWLQXHG

E$GGGDWDWRWKH0(0%(5WDEOH:ULWHDVFULSWQDPHGSTEVTOWRSURPSWXVHUV

for the information. Execute the script. Be sure to use the sequence to add the member
numbers.
)LUVWB

1DPH /DVWB1DPH $GGUHVV &LW\ 3KRQH -RLQB'DWH

&DUPHQ 9HODVTXH] .LQJ6WUHHW 6HDWWOH  0$5

/D'RULV 1JDR 0RGUDQ\ %UDWLVODYD  0$5

0LGRUL 1DJD\DPD 9LD&HQWUDOH 6DR3DROR  -81

0DUN 4XLFNWR .LQJ /DJRV  $35

6HH :D\

$XGU\ 5RSHEXUQ &KX6WUHHW +RQJ.RQJ  -$1

0ROO\ 8UJXKDUW /DXULHU 4XHEHF  -$1

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH FRQWLQXHG

c. Add the following movie copies in the TITLE_COPY table:


Note: Have the title_id numbers available for this exercise.
7LWOH &RS\B,G 6WDWXV

:LOOLHDQG&KULVWPDV7RR  $9$,/$%/(

$OLHQ$JDLQ  $9$,/$%/(

 5(17('

7KH*ORE  $9$,/$%/(

0\'D\2II  $9$,/$%/(

 $9$,/$%/(

 5(17('

0LUDFOHVRQ,FH  $9$,/$%/(

6RGD*DQJ  $9$,/$%/(

d. Add the following rentals to the RENTAL table:


Note: Title number may be different depending on sequence number.

7LWOHB &RS\B 0HPEHUB

,G ,G ,G %RRNBGDWH ([SB5HWB'DWH $FWB5HWB'DWH

   GD\VDJR GD\DJR GD\VDJR

   GD\DJR GD\IURPQRZ

   GD\VDJR 7RGD\

   GD\VDJR GD\VDJR GD\VDJR

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH FRQWLQXHG

 &UHDWHDYLHZQDPHG7,7/(B$9$,/WRVKRZWKHPRYLHWLWOHVDQGWKHDYDLODELOLW\RI

HDFKFRS\DQGLWVH[SHFWHGUHWXUQGDWHLIUHQWHG4XHU\DOOURZVIURPWKHYLHZ2UGHUWKH

UHVXOWVE\WLWOH

7,7/(&23<B,'67$786(;3B5(7B'

$OLHQ$JDLQ$9$,/$%/(
$OLHQ$JDLQ5(17('129
0LUDFOHVRQ,FH$9$,/$%/(
0\'D\2II$9$,/$%/(
0\'D\2II$9$,/$%/(
0\'D\2II5(17('129
6RGD*DQJ$9$,/$%/(129
7KH*ORE$9$,/$%/(
:LOOLHDQG&KULVWPDV7RR$9$,/$%/(129
URZVVHOHFWHG

 0DNHFKDQJHVWRGDWDLQWKHWDEOHV

D$GGDQHZWLWOH7KHPRYLHLV³,QWHUVWHOODU:DUV´ZKLFKLVUDWHG3*DQGFODVVLILHGDVD

VFLILPRYLH7KHUHOHDVHGDWHLV-8/7KHGHVFULSWLRQLV³)XWXULVWLFLQWHUVWHOODU

DFWLRQPRYLH&DQWKHUHEHOVVDYHWKHKXPDQVIURPWKHHYLOHPSLUH"´%HVXUHWRDGGDWLWOH

FRS\UHFRUGIRUWZRFRSLHV

b. Enter two reservations. One reservation is for Carmen Velasquez, who wants to rent
“Interstellar Wars.” The other is for Mark Quick-to-See, who wants to rent “Soda Gang.”

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH FRQWLQXHG

c. Customer Carmen Velasquez rents the movie “Interstellar Wars,” copy 1. Remove her
reservation for the movie. Record the information about the rental. Allow the default value
for the expected return date to be used. Verify that the rental was recorded by using the
view you created.
7,7/(&23<B,'67$786(;3B5(7B'

$OLHQ$JDLQ$9$,/$%/(
$OLHQ$JDLQ5(17('129
,QWHUVWHOODU:DUV5(17('129
,QWHUVWHOODU:DUV$9$,/$%/(
0LUDFOHVRQ,FH$9$,/$%/(
 0\'D\2II$9$,/$%/(
0\'D\2II$9$,/$%/(
0\'D\2II5(17('129
6RGD*DQJ$9$,/$%/(129
7KH*ORE$9$,/$%/(
:LOOLHDQG&KULVWPDV7RR$9$,/$%/(129
URZVVHOHFWHG
 0DNHDPRGLILFDWLRQWRRQHRIWKHWDEOHV

a. Add a PRICE column to the TITLE table to record the purchase price of the video. The
column should have a total length of eight digits and two decimal places. Verify your
modifications.
1DPH 1XOO" 7\SH

7,7/(B,' 12718// 180%(5 
7,7/( 12718// 9$5&+$5 
'(6&5,37,21 12718// 9$5&+$5 
5$7,1* 9$5&+$5 
&$7(*25< 9$5&+$5 
5(/($6(B'$7( '$7(
35,&( 180%(5 

,QWURGXFWLRQWR2UDFOH64/DQG3/64/
3UDFWLFH FRQWLQXHG

b. Create a script named p15q7b.sql to update each video with a price according to the
following list.
Note: Have the title_id numbers available for this exercise.
7LWOH 3ULFH

:LOOLHDQG&KULVWPDV7RR 

$OLHQ$JDLQ 

7KH*ORE 

0\'D\2II 

0LUDFOHVRQ,FH 

6RGD*DQJ 

,QWHUVWHOODU:DUV 

F(QVXUHWKDWLQWKHIXWXUHDOOWLWOHVZLOOFRQWDLQDSULFHYDOXH9HULI\WKHFRQVWUDLQW

&21675$,17B1$0(&6($5&+B&21',7,21

7,7/(B35,&(B11 &35,&(,612718//
 &UHDWHDUHSRUWWLWOHG&XVWRPHU+LVWRU\5HSRUW7KLVUHSRUWZLOOFRQWDLQHDFKFXVWRPHU¶V

KLVWRU\RIUHQWLQJYLGHRV%HVXUHWRLQFOXGHWKHFXVWRPHUQDPHPRYLHUHQWHGGDWHVRIWKH

UHQWDODQGGXUDWLRQRIUHQWDOV7RWDOWKHQXPEHURIUHQWDOVIRUDOOFXVWRPHUVIRUWKHUHSRUWLQJ

SHULRG6DYHWKHVFULSWLQDILOHQDPHGSTVTO

0(0%(57,7/(%22.B'$7('85$7,21

&DUPHQ9HODVTXH]:LOOLHDQG&KULVWPDV7RR129
$OLHQ$JDLQ$8*
,QWHUVWHOODU:DUV$8*

/D'RULV1JDR0\'D\2II$8*

0ROO\8UJXKDUW6RGD*DQJ$8*

,QWURGXFWLRQWR2UDFOH64/DQG3/64/

You might also like