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C4591001 Page 1 of 26
CONFIDENTIAL 26-Mar-2021 09:43:07 GMT16.1.3.1 LIST OF INDEPENDENT ETHICS COMMITTEE (IEC) OR INSTITUTIONAL REVIEW BOARD (IRB)
ARGENTINA
Study Site Number Independent Ethics Committee or Institutional Review Board Address(es)
1231 Comité Institucional de Revisión de Ensayos Clínicos (C.I.R.E.C.) del Hospital Militar Central
"Cirujano Mayor Dr Cosme Argerich"
Av. Luis María Campos 726, Edificio PACE Piso 5
CABA, 1426
ARGENTINA090177e196a1cc59\Approved\Approved On: 29-Mar-2021 02:13 (GMT)
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CONFIDENTIAL 26-Mar-2021 09:43:07 GMTBRAZIL
Study Site Number Independent Ethics Committee or Institutional Review Board Address(es)
1226 CONEP (Comissao Nacional de Etica em Pesquisa)
SRTV 701, Via W 5 Norte, lote D, Edificio PO 700, 3º andar - Asa Norte
Brasilia, DF 70719-040
BRAZIL
Comite de Etica em Pesquisa da Faculdade de Medicina do ABC\Fundacao do ABC-- FMABC
Avenida Lauro Gomes, 2000 - Vila Sacadura Cabral
Santo Andre/SP, 09060-870
BRAZIL
1241 Comite de Etica em Pesquisa do Hospital Santo Antonio /Obras Sociais Irma Dulce
Avenida Luiz Tarquínio, snº, portao 9, 1º andar, sala 1, Roma
Salvador, BA 40414-120
BRAZIL
CONEP (Comissão Nacional de Ética em Pesquisa)
SRTV 701, Via W 5 Norte, lote D, Edifício PO 700, 3° andar -Asa Norte
Brasília/DF, 70719-040
BRAZIL090177e196a1cc59\Approved\Approved On: 29-Mar-2021 02:13 (GMT)
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CONFIDENTIAL 26-Mar-2021 09:43:07 GMTGERMANY
Study Site Number Independent Ethics Committee or Institutional Review Board Address(es)
1185 Landesaerztekammer Baden-Wuerttemberg
Liebknechtstr. 33
Stuttgart, 70565
GERMANY
1194 Landesaerztekammer Baden-Wuerttemberg
Liebknechtstr. 33
Stuttgart, 70565
GERMANY
1195 Landesaerztekammer Baden-Wuerttemberg
Liebknechtstr. 33
Stuttgart, 70565
GERMANY
1197 Landesaerztekammer Baden-Wuerttemberg
Liebknechtstr. 33
Stuttgart, 70565
GERMANY
1202 Landesaerztekammer Baden-Wuerttemberg
Liebknechtstr. 33
Stuttgart, 70565
GERMANY
1203 Landesaerztekammer Baden-Wuerttemberg
Liebknechtstr. 33
Stuttgart, 70565
GERMANY090177e196a1cc59\Approved\Approved On: 29-Mar-2021 02:13 (GMT)
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CONFIDENTIAL 26-Mar-2021 09:43:07 GMTSOUTH AFRICA
Study Site Number Independent Ethics Committee or Institutional Review Board Address(es)
1229 Pharma Ethics Independent Research Ethics committee
123 Amcor Road, Lyttelton Manor
Centurion, 0157
SOUTH AFRICA
1230 Pharma-Ethics (Pty) Ltd
123 Amkor Road, Lyttelton Manor
Centurion, 0157
SOUTH AFRICA
1246 Pharma-Ethics (Pty) Ltd
123 Amkor Road, Lyttelton Manor
Centurion, 0157
SOUTH AFRICA
1247 Pharma-Ethics (Pty) Ltd
123 Amkor Road, Lyttelton Manor
Centurion, 0157
SOUTH AFRICA090177e196a1cc59\Approved\Approved On: 29-Mar-2021 02:13 (GMT)
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CONFIDENTIAL 26-Mar-2021 09:43:07 GMTTURKEY
Study Site Number Independent Ethics Committee or Institutional Review Board Address(es)
1205 Kocaeli Üniversitesi Klinik Arastirmalar Etik Kurulu
Kocaeli Üniversitesi Tip Fakültesi Klinik, Arastirmalar Birimi Umuttepe Yerleskesi
Kocaeli
TURKEY
1207 Kocaeli Üniversitesi Klinik Arastirmalar Etik Kurulu
Kocaeli Üniversitesi Tip Fakültesi Klinik, Arastirmalar Birimi Umuttepe Yerleskesi
Kocaeli
TURKEY
1208 Kocaeli Üniversitesi Klinik Arastirmalar Etik Kurulu
Kocaeli Üniversitesi Tip Fakültesi Klinik, Arastirmalar Birimi Umuttepe Yerleskesi
Kocaeli
TURKEY
1209 Kocaeli Üniversitesi Klinik Arastirmalar Etik Kurulu
Kocaeli Üniversitesi Tip Fakültesi Klinik, Arastirmalar Birimi Umuttepe Yerleskesi
Kocaeli
TURKEY
1210 Kocaeli Üniversitesi Klinik Arastirmalar Etik Kurulu
Kocaeli Üniversitesi Tip Fakültesi Klinik, Arastirmalar Birimi Umuttepe Yerleskesi
Kocaeli
TURKEY
1212 Kocaeli Üniversitesi Klinik Arastirmalar Etik Kurulu
Kocaeli Üniversitesi Tip Fakültesi Klinik, Arastirmalar Birimi Umuttepe Yerleskesi
Kocaeli
TURKEY
1213 Kocaeli Üniversitesi Klinik Arastirmalar Etik Kurulu
Kocaeli Üniversitesi Tip Fakültesi Klinik, Arastirmalar Birimi Umuttepe Yerleskesi
Kocaeli
TURKEY090177e196a1cc59\Approved\Approved On: 29-Mar-2021 02:13 (GMT)
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CONFIDENTIAL 26-Mar-2021 09:43:07 GMTStudy Site Number Independent Ethics Committee or Institutional Review Board Address(es)
1214 Kocaeli Üniversitesi Klinik Arastirmalar Etik Kurulu
Kocaeli Üniversitesi Tip Fakültesi Klinik, Arastirmalar Birimi Umuttepe Yerleskesi
Kocaeli
TURKEY
1217 Kocaeli Üniversitesi Klinik Arastirmalar Etik Kurulu
Kocaeli Üniversitesi Tip Fakültesi Klinik, Arastirmalar Birimi Umuttepe Yerleskesi
Kocaeli
TURKEY090177e196a1cc59\Approved\Approved On: 29-Mar-2021 02:13 (GMT)
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CONFIDENTIAL 26-Mar-2021 09:43:07 GMTUNITED STATES
Study Site Number Independent Ethics Committee or Institutional Review Board Address(es)
1001 NYU Langone Grossman School of Medicine IRB
One Park Ave, 6th Fl
New York, NY 10016
UNITED STATES
1002 Western Institutional Review Board
1019 39th Ave., SE, Ste 120
Puyallup, WA 98374
UNITED STATES
1003 Western Institutional Review Board
1019 39th Ave SE, Ste 120
Puyallup, WA 98374
UNITED STATES
1005 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1006 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1007 Cincinnati Children’s Hospital Medical Center IRB
3333 Burnet Ave, MLC 5020
Cincinnati, OH 45229
UNITED STATES
1008 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES090177e196a1cc59\Approved\Approved On: 29-Mar-2021 02:13 (GMT)
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CONFIDENTIAL 26-Mar-2021 09:43:07 GMTStudy Site Number Independent Ethics Committee or Institutional Review Board Address(es)
1009 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1011 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1012 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1013 Copernicus Group IRB
5000 Centregreen Way, Ste 200
Cary, NORTH CAROLINA 27513
UNITED STATES
1015 WCG IRB
1019 39th Ave Se, Ste 120
Puyallup, WASHINGTON 98374
UNITED STATES
1016 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1018 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES090177e196a1cc59\Approved\Approved On: 29-Mar-2021 02:13 (GMT)
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CONFIDENTIAL 26-Mar-2021 09:43:07 GMTStudy Site Number Independent Ethics Committee or Institutional Review Board Address(es)
1019 Copernicus Group IRB
5000 CentreGreen Way, Ste 200
Cary, NORTH CAROLINA 27513
UNITED STATES
1021 Copernicus Group IRB
5000 Centregreen Way, Ste 200
Cary, NORTH CAROLINA 27513
UNITED STATES
1022 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1024 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1027 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1028 Copernicus Group IRB
5000 Centregreen Way, Ste 200
Cary, NORTH CAROLINA 27513
UNITED STATES
1030 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES090177e196a1cc59\Approved\Approved On: 29-Mar-2021 02:13 (GMT)
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CONFIDENTIAL 26-Mar-2021 09:43:07 GMTStudy Site Number Independent Ethics Committee or Institutional Review Board Address(es)
1036 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1037 Copernicus Group IRB
5000 Centregreen Way, Ste 200
Cary, NORTH CAROLINA 27513
UNITED STATES
1038 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1039 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1042 Copernicus Group IRB
5000 Centregreen Way, Ste 200
Cary, NORTH CAROLINA 27513
UNITED STATES
1044 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1046 Copernicus Group IRB
5000 Centregreen Way, Ste 200
Cary, NORTH CAROLINA 27513
UNITED STATES090177e196a1cc59\Approved\Approved On: 29-Mar-2021 02:13 (GMT)
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CONFIDENTIAL 26-Mar-2021 09:43:07 GMTStudy Site Number Independent Ethics Committee or Institutional Review Board Address(es)
1047 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1048 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1052 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1054 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1055 Copernicus Group IRB
5000 Centregreen Way, Ste 200
Cary, NORTH CAROLINA 27513
UNITED STATES
1056 Copernicus Group Institutional Review Board
5000 Centregreen Way, Ste 200
Cary, NORTH CAROLINA 27513
UNITED STATES
1057 Copernicus Group IRB
5000 Centregreen Way, Ste 200
Cary, NORTH CAROLINA 27513
UNITED STATES090177e196a1cc59\Approved\Approved On: 29-Mar-2021 02:13 (GMT)
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CONFIDENTIAL 26-Mar-2021 09:43:07 GMTStudy Site Number Independent Ethics Committee or Institutional Review Board Address(es)
1066 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1068 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1071 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1072 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1073 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1077 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1079 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES090177e196a1cc59\Approved\Approved On: 29-Mar-2021 02:13 (GMT)
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CONFIDENTIAL 26-Mar-2021 09:43:07 GMTStudy Site Number Independent Ethics Committee or Institutional Review Board Address(es)
1080 Copernicus Group IRB
5000 Centregreen Way, Ste 200
Cary, NORTH CAROLINA 27513
UNITED STATES
1081 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1082 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1083 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1084 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1085 Copernicus Group IRB
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1087 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES090177e196a1cc59\Approved\Approved On: 29-Mar-2021 02:13 (GMT)
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CONFIDENTIAL 26-Mar-2021 09:43:07 GMTStudy Site Number Independent Ethics Committee or Institutional Review Board Address(es)
1088 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1089 Copernicus Group IRB
5000 Centregreen Way, Ste 200
Cary, NORTH CAROLINA 27513
UNITED STATES
1090 Copernicus Group IRB
5000 Centregreen Way, Ste 200
Cary, NORTH CAROLINA 27513
UNITED STATES
1091 Copernicus Group IRB
5000 Centregreen Way, Ste 200
Cary, NORTH CAROLINA 27513
UNITED STATES
1092 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1093 Copernicus Group IRB
5000 Centregreen Way, Ste 200
Cary, NORTH CAROLINA 27513
UNITED STATES
1094 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES090177e196a1cc59\Approved\Approved On: 29-Mar-2021 02:13 (GMT)
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CONFIDENTIAL 26-Mar-2021 09:43:07 GMTStudy Site Number Independent Ethics Committee or Institutional Review Board Address(es)
1095 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1096 Copernicus Group IRB
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1097 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1098 Copernicus Group Institutional Review Board
5000 Centregreen Way, Ste 200
Cary, NORTH CAROLINA 27513
UNITED STATES
1101 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1107 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1109 Copernicus Group IRB
5000 CentreGreen Way, Ste 200
Cary, NORTH CAROLINA 27513
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CONFIDENTIAL 26-Mar-2021 09:43:07 GMTStudy Site Number Independent Ethics Committee or Institutional Review Board Address(es)
1110 WCG IRB
1019 39th Ave Se, Ste 120
Puyallup, WASHINGTON 98374
UNITED STATES
1111 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1112 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1114 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1116 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1117 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1118 Copernicus Group Institutional Review Board
5000 Centregreen Way, Ste 200
Cary, NORTH CAROLINA 27513
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CONFIDENTIAL 26-Mar-2021 09:43:07 GMTStudy Site Number Independent Ethics Committee or Institutional Review Board Address(es)
1120 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1121 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1122 WESTERN INSTITUTIONAL REVIEW BOARD
1019 39th Ave S.E, Ste 120
Puyallup, WA 98374
UNITED STATES
1123 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1124 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1125 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1126 Kaiser Permanente Northern California Institutional Review Board
1800 Harrison St, 10th Fl
Oakland, CA 94612
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CONFIDENTIAL 26-Mar-2021 09:43:07 GMTStudy Site Number Independent Ethics Committee or Institutional Review Board Address(es)
1127 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1128 Copernicus Group IRB
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1129 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1130 Copernicus Group IRB
5000 Centregreen Way, Ste 200
Cary, NORTH CAROLINA 27513
UNITED STATES
1131 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1133 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1134 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
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CONFIDENTIAL 26-Mar-2021 09:43:07 GMTStudy Site Number Independent Ethics Committee or Institutional Review Board Address(es)
1135 Copernicus Group IRB
5000 Centregreen Way, Ste 200
Cary, NORTH CAROLINA 27513
UNITED STATES
1136 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1139 WESTERN INSTITUTIONAL REVIEW BOARD
1019 39th Ave SE, Ste 120
Puyallup, WASHINGTON 98374-2115
UNITED STATES
1140 WESTERN INSTITUTIONAL REVIEW BOARD
1019 39th Ave S.E, Ste 120
Puyallup, WA 98374
UNITED STATES
1141 Western Institutional Review Board
1019 39th Ave SE, Ste 120
Puyallup, WASHINGTON 98374
UNITED STATES
1142 Copernicus Group IRB
5000 CentreGreen Way, Ste 200
Cary, NORTH CAROLINA 27513
UNITED STATES
1145 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
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CONFIDENTIAL 26-Mar-2021 09:43:07 GMTStudy Site Number Independent Ethics Committee or Institutional Review Board Address(es)
1146 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1147 WCG IRB
1019 39th Ave Se, Ste 120
Puyallup, WASHINGTON 98374
UNITED STATES
1149 Copernicus Group IRB
5000 Centregreen Way, Ste 200
Cary, NORTH CAROLINA 27513
UNITED STATES
1150 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1152 Copernicus Group IRB
5000 Centregreen Way, Ste 200
Cary, NORTH CAROLINA 27513
UNITED STATES
1156 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1157 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
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CONFIDENTIAL 26-Mar-2021 09:43:07 GMTStudy Site Number Independent Ethics Committee or Institutional Review Board Address(es)
1161 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1162 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1163 Copernicus Group IRB
5000 CentreGreen Way, Ste 200
Cary, NORTH CAROLINA 27513
UNITED STATES
1166 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1167 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1168 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1169 Lehigh Valley Health Network/Institutional Review Board/Research Participant Office
1255 S Cedar Crest Blvd, Ste 3200
Allentown, PA 18103
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CONFIDENTIAL 26-Mar-2021 09:43:07 GMTStudy Site Number Independent Ethics Committee or Institutional Review Board Address(es)
1170 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1171 Copernicus Group Institutional Review Board
5000 Centregreen Way, Ste 200
Cary, NORTH CAROLINA 27513
UNITED STATES
1174 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1177 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1178 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1179 Copernicus Group IRB
5000 Centregreen Way, Ste 200
Cary, NORTH CAROLINA 27513
UNITED STATES
1204 Western Institutional Review Board
1019 39th Ave SE, Ste 200
Puyallup, WA 98374-2115
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CONFIDENTIAL 26-Mar-2021 09:43:07 GMTStudy Site Number Independent Ethics Committee or Institutional Review Board Address(es)
1218 Indian Health Service National IRB
5600 Fishers Ln, MS 09E10D
Rockville, MARYLAND 20857
UNITED STATES
Johns Hopkins Bloomberg School of Public Health
615 N. Wolfe St, Rm E1100
Baltimore, MARYLAND 21205
UNITED STATES
1219 Navajo Nation Human Research Review Board
Window Rock Blvd, Administration Bldg #2, Division of Health, P.O. Box 1390
Window Rock, ARIZONA 86515
UNITED STATES
Johns Hopkins Bloomberg School of Public Health
615 N. Wolfe St, Rm E1100
Baltimore, MARYLAND 21205
UNITED STATES
1220 Navajo Nation Human Research Review Board
Window Rock Blvd, Administration Bldg #2, Division of Health, P.O. Box 1390
Window Rock, ARIZONA 86515
UNITED STATES
Johns Hopkins Bloomberg School of Public Health
615 N. Wolfe St, Rm E1100
Baltimore, MARYLAND 21205
UNITED STATES
1221 Johns Hopkins Bloomberg School of Public Health
615 N. Wolfe St, Rm E1100
Baltimore, MARYLAND 21205
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CONFIDENTIAL 26-Mar-2021 09:43:07 GMTStudy Site Number Independent Ethics Committee or Institutional Review Board Address(es)
Navajo Nation Human Research Review Board
Window Rock Blvd, Administration Bldg #2, Division of Health, P.O. Box 1390
Window Rock, ARIZONA 86515
UNITED STATES
1223 Yale University Human Research Protection Program (Human Investigation Committee)
25 Science Park, 3rd Fl, 150 Munson St
New Haven, CT 06520
UNITED STATES
1224 Copernicus Group IRB
5000 Centregreen Way, Ste 200
Cary, NORTH CAROLINA 27513
UNITED STATES
1232 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1235 Western Institutional Review Board
1019 39th Ave. SE, Ste 120
Puyallup, WA 98374
UNITED STATES
1248 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1251 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
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CONFIDENTIAL 26-Mar-2021 09:43:07 GMTStudy Site Number Independent Ethics Committee or Institutional Review Board Address(es)
1252 Copernicus Group Institutional Review Board
5000 Centregreen Way, Ste 200
Cary, NORTH CAROLINA 27513
UNITED STATES
1254 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1258 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1260 Western Institutional Review Board
1019 39th Ave SE, Ste 120
Puyallup, WA 98374
UNITED STATES
1261 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1264 Western Institutional Review Board
1019 39th Ave SE, Ste 120
Puyallup, WA 98374
UNITED STATES
1265 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES090177e196a1cc59\Approved\Approved On: 29-Mar-2021 02:13 (GMT)
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C4591001 Page 26 of 26
CONFIDENTIAL 26-Mar-2021 09:43:07 GMTStudy Site Number Independent Ethics Committee or Institutional Review Board Address(es)
1269 Copernicus Group Institutional Review Board
5000 CentreGreen Way, Ste 200
Cary, NC 27513
UNITED STATES
1270 Kaiser Permanente Northern California Institutional Review Board
1800 Harrison St, 10th Fl
Oakland, CA 94612
UNITED STATES090177e196a1cc59\Approved\Approved On: 29-Mar-2021 02:13 (GMT)
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FDA-CBER-2021-5683-0650141
CT05 -GSOP-
SD-GL11 1.0PHASE 1/2/3 CLINICAL STUDY ASSENT
TEMPLATE FOR OLDER CHILDREN 30-Apr- 2020
Protocol Number: C4591001 Assent Version Date : Phase 2/3, 03Feb2021
;;Study
Country
SiteLanguage: English Center ID: Not Applicable Country: Not Applicable
Assent Derived From: Older Children Assent, Phase 2/3, 07Dec2020
CT05 -GSOP-SD-GL11 Phase 1/2/3/4 Clinical Study Assent Template for Older Children 30-Apr- 2020
TMF Doc ID: 173.16 (Study); 173.10 (Country/Central); 173.20 (Site)
Sponsor Assent Version Number (Study/Country/Site) : Phase 2/3, 03Feb2021
Protocol No. C4591001 / CONFIDENTIALPage 1
of 9
xThis template is used by informed consent document authors to develop the assent document for
11-year-olds through legal age of adulthood.
xDo not delete the header at the top of this page until the assent is customized at the country/site-
level.
xBefore sending the assent to the institutional review board (IRB)/independent ethics committee
(IEC), remove the header at the top of this page, remove all inapplicable text, remove all
instructional green text, and replace all blue text with appropriate language.
xThe assent must be filed in the Pfizer Trial Master File.090177e19636e1e3\Approved\Approved On: 08-Feb-2021 11:54 (GMT)
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FDA-CBER-2021-5683-0650142
CT05 -GSOP-
SD-GL11 1.0PHASE 1/2/3 CLINICAL STUDY ASSENT
TEMPLATE FOR OLDER CHILDREN 30-Apr- 2020
Protocol Number: C4591001 Assent Version Date : Phase 2/3, 03Feb2021
;;Study
Country
SiteLanguage: English Center ID: Not Applicable Country: Not Applicable
Assent Derived From: Older Children Assent, Phase 2/3, 07Dec2020
CT05 -GSOP-SD-GL11 Phase 1/2/3/4 Clinical Study Assent Template for Older Children 30-Apr- 2020
TMF Doc ID: 173.16 (Study); 173.10 (Country/Central); 173.20 (Site)
Sponsor Assent Version Number (Study/Country/Site) : Phase 2/3, 03Feb2021
Protocol No. C4591001 / CONFIDENTIALPage 2
of 9
We are asking if you would like to be in a research study to see if a vaccine to prevent
COVID-19 is safe and if it can help prevent children and adults from getting COVID-19.
Research studies are the way we find out if test medicines or vaccines are safe and if they
work.
The study is being done with healthy children and adults and that is why the study doctor
wants to know if you want to take part in the research study.
WHY ARE WE DOING THIS STUDY?
We are doing this study to collect information in children and adults to see if the vaccine is safe and if it can help prevent people from getting COVID-19.
The study doctor and nurses will explain the study and answer any questions that you have.
You can circle or highlight things on this paper you want to know more about. If you don’t
understand something, just ask us. It is okay to ask questions now and anytime later that you
think of them.
If you decide to be in this study, you will be asked to sign this form. Your parent(s) or your
guardian(s) will sign another form. You can talk to your parent(s) or your guardian(s) and ask
to read the information the study doctor gives them.
WHAT WILL HAPPEN TO ME IF I GO INTO THE STUDY?
The study starts with an appointment with the study doctor and some tests to see if you can
be in the study. If you decide to take part in the study you will be given an injection in your
arm at your first and second visit and will n eed to give at least 5 blood samples. There will be
at least 6 visits to the study clinic over roughly the next 2 years.
If you get ill with COVID-19 like symptoms you will n eed to visit the study clinic and give
another blood sample. This blood sample is 20 mL if you are 16 years of age or above, and it
is 10 mL if you are between 12 to 15 years of age. If you would like to know what 10 mL or 20
mL looks like please ask the study team and they will be able to show you the tubes they will
collect the blood in.
A RESEARCH STUDY TO SEE IF A VACCINE AGAINST COVID-19
IS SAFE AND WORKS090177e19636e1e3\Approved\Approved On: 08-Feb-2021 11:54 (GMT)
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FDA-CBER-2021-5683-0650143
CT05 -GSOP-
SD-GL11 1.0PHASE 1/2/3 CLINICAL STUDY ASSENT
TEMPLATE FOR OLDER CHILDREN 30-Apr- 2020
Protocol Number: C4591001 Assent Version Date : Phase 2/3, 03Feb2021
;;Study
Country
SiteLanguage: English Center ID: Not Applicable Country: Not Applicable
Assent Derived From: Older Children Assent, Phase 2/3, 07Dec2020
CT05 -GSO P-SD-GL11 Phase 1/2/3/4 Clinical Study Assent Template for Older Children 30-Apr- 2020
TMF Doc ID: 173.16 (Study); 173.10 (Country/Central); 173.20 (Site)
Sponsor Assent Version Number (Study/Country/Site) : Phase 2/3, 03Feb2021
Protocol No. C4591001 / CONFIDENTIALPage 3
of 9
At your first visit, the study doctor or nurse will give you or your parent(s)/ guardian(s) a
device (a bit like a mobile phone) or ask to download an application ( ‘app’) to smart phone if
you or your parent(s)/ guardian(s) have one. The device/app is secure and your information
will be maintained in confi dence. The study doctor will show you or your parent(s)/
guardian(s) on how to fill in the electronic diary (also called e-Diary).
There are 2 parts to the electronic diary. Everyone will n eed to complete the COVID-19
illness part of the e-Diary on the device or app on their smartphone. The COVID-19 illness e-
Diary will prompt you or your parent(s)/ guardian(s) to record any COVID-19 symptoms every
7 days or at any time you have COVID-19 symptoms. You or your parent(s)/ guardian(s) may
also receive text messages to your/ their device or your/ their own smartphone, or emails (if
you or your parent(s)/ guardian(s) provide an email address) to remind you or your parent(s)/
guardian(s) to complete the COVID-19 illness part of the e-Diary.
If you are part of a selected group of participants, you or your parent(s)/ guardian(s) will also
be asked to fill in an e-Diary about how you are feeling for 7 days afer your vaccine injections.
If you decide the take part the following will hap pen:
At your first visit:
xBefore you are given your injection, the study doctor or nurse will take your
temperature, measure your height and weight, do a physical exam and ask you some
questions about your health.
xThe study doctor or nurse will take a bl ood sample from your arm using a needle (this
will be either 20mL or 10 mL depending on your age group) and take a sample from
your nose using a swab (like a Q-tip).
xYou will then be given an injection into the muscle at the top of your arm.
xIf you are part of the selected group of participants, you or your parent(s)/ guardian(s)
will be asked to complete an electronic diary about how you are feeling for 7 days after
the visit.090177e19636e1e3\Approved\Approved On: 08-Feb-2021 11:54 (GMT)
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CT05 -GSOP-
SD-GL11 1.0PHASE 1/2/3 CLINICAL STUDY ASSENT
TEMPLATE FOR OLDER CHILDREN 30-Apr- 2020
Protocol Number: C4591001 Assent Version Date : Phase 2/3, 03Feb2021
;;Study
Country
SiteLanguage: English Center ID: Not Applicable Country: Not Applicable
Assent Derived From: Older Children Assent, Phase 2/3, 07Dec2020
CT05 -GSOP-SD-GL11 Phase 1/2/3/4 Clinical Study Assent Template for Older Children 30-Apr- 2020
TMF Doc ID: 173.16 (Study); 173.10 (Country/Central); 173.20 (Site)
Sponsor Assent Version Number (Study/Country/Site) : Phase 2/3, 03Feb2021
Protocol No. C4591001 / CONFIDENTIALPage 4
of 9
At your second visit:
xYou will be given your second injection,the study doctor or nurse will take your
temperature and ask you some questions about your health before they give your
injection in your arm.
xIf you are part of the selected group of participants, you or your parent(s)/ guardian(s)
will be asked to complete an electronic diary about how you are feeling for 7 days after
the visit.
It is very important that you or your parent(s)/ guardian(s), as appropriate, complete the
e-Diary regularly as instructed. If this was not completed, your study doctor or nurse will
contact you or your parent(s)/ guardian(s) to check how you are doing.
At the other 4 visits the study doctor or nurse will ask you some questions about your health
and will take a bl ood sample from your arm using a needle. Each blood sample will be either
about 20mL (4 teaspoons) or 10 mL (2 teaspoons) depending on your age group.
When you visit the study doctor, the study doctor will write down information about you. Only
people who are working on this study will see your information. They are required to k eep
your information private. 090177e19636e1e3\Approved\Approved On: 08-Feb-2021 11:54 (GMT)
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CT05 -GSOP-
SD-GL11 1.0PHASE 1/2/3 CLINICAL STUDY ASSENT
TEMPLATE FOR OLDER CHILDREN 30-Apr- 2020
Protocol Number: C4591001 Assent Version Date : Phase 2/3, 03Feb2021
;;Study
Country
SiteLanguage: English Center ID: Not Applicable Country: Not Applicable
Assent Derived From: Older Children Assent, Phase 2/3, 07Dec2020
CT05 -GSOP-SD-GL11 Phase 1/2/3/4 Clinical Study Assent Template for Older Children 30-Apr- 2020
TMF Doc ID: 173.16 (Study); 173.10 (Country/Central); 173.20 (Site)
Sponsor Asse nt Version Number (Study/Country/Site) : Phase 2/3, 03Feb2021
Protocol No. C4591001 / CONFIDENTIALPage 5
of 9
What are the Study Injections?
There are 2 types of injections in the study. The active study injection and a dummy placebo
injection. A dummy placebo is a pretend vaccine that looks just like the test vaccine but has
no active ingredients in it.
Once the study doctor has checked that it is OK for you to be in the study a computer will
decide if you will get the active study injection or the dummy placebo. You and your
parent(s)/guardian(s) will not be told which injection you will get.
For every 1 child/young person who receives the study vaccine, 1 child/young person will
receive the placebo. No one (including you, your parents, your personal doctor or the study
team) can choose which injection you will get.
WHAT ARE THE POSSIBLE BENEFITS TO ME IF I AGREE TO BE IN THIS
STUDY?
Vaccination with BNT162b2 (which is active study injection) has been shown to be effective
in preventing COVID-19 in the groups of people already studied, but not yet in children/young
people like you. Because of this, and the fact that you may receive the placebo vaccination,
you still n eed to follow local recommendations about how to avoid COVID-19 (for example,
social distancing and mask use).
WHAT ARE THE POSSIBLE UNCOMFORTABLE OR HARMFULTHINGS
THAT COULD HAPPEN TO ME IF I AGREE TO BE IN THIS STUDY?
There is a chance that during the study you could feel pain or feel bad or uncomfortable.
Please let the study doctor know if you experience any of these things. The study team will
monitor you for risks or discomforts during the study. However, the study team does not
know all the effects that the vaccine, or your participation in this study, may have on you.
The injection could cause pain, swelling, and redness where it is given.
Other side effects could include fatigue (tiredness), increased body temperature (fever),
chills, h eadache, joint aches, muscle aches, feeling sick (nausea), enlarged lymph glands,
allergic reaction (symptoms may include rash, itching, hives, and swelling of the face or lips),
pain in arm, feeling weak or unwell, and severe allergic reaction (anaphylaxis).090177e19636e1e3\Approved\Approved On: 08-Feb-2021 11:54 (GMT)
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CT05 -GSOP-
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TEMPLATE FOR OLDER CHILDREN 30-Apr- 2020
Protocol Number: C4591001 Assent Version Date : Phase 2/3, 03Feb2021
;;Study
Country
SiteLanguage: English Center ID: Not Applicable Country: Not Applicable
Assent Derived From: Older Children Assent, Phase 2/3, 07Dec2020
CT05 -GSOP-SD-GL11 Phase 1/2/3/4 Clinical Study Assent Template for Older Children 30-Apr- 2020
TMF Doc ID: 173.16 (Study); 173.10 (Country/Central); 173.20 (Site)
Sponsor Assent Version Number (Study/Country/Site) : Phase 2/3, 03Feb2021
Protocol No. C4591001 / CONFIDENTIALPage 6
of 9
In addition,
xTaking a blood sample may:
ohurt when the needle goes into your arm.
ocause a red spot or bruise on your arm or your arm might feel sore.
omake you feel dizzy.
ocause an infection at the place where the needle went into your arm.
xTaking a swab from your nose may:
ohurt when the sample is taken.
oCause your nose to bleed.
xYou may feel embarrassed by the questions the study doctor or nurse asks you.
You might also feel other things. Remember to tell your parent(s) or your guardian(s) and the
study doctor everything you are feeling while you are in the study including if you feel unwell.
Pregnancy, Contraceptives and Babies (do I need to use birth control?)
If you are a girl:
If you are pregnant, planning to become pregnant or breast feeding a baby, you cannot be in
the study.
If you think you are pregnant during the study, you must tell the study doctor immediately.
The study doctor may ask for information about the pregnancy and the birth of the baby. The
study doctor may share this information with others who are working on this study.
If you have started to have periods, the study doctor or nurse will test your urine to make sure
you are not pregnant before you are given your injections. The doctor or nurse will tell you if
the test results show you are pregnant. Depending on the laws of your area, the study doctor
or nurse may also tell your parent(s) or your guardian(s) about the results of the pregnancy
test. 090177e19636e1e3\Approved\Approved On: 08-Feb-2021 11:54 (GMT)
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CT05 -GSOP-
SD-GL11 1.0PHASE 1/2/3 CLINICAL STUDY ASSENT
TEMPLATE FOR OLDER CHILDREN 30-Apr- 2020
Protocol Number: C4591001 Assent Version Date : Phase 2/3, 03Feb2021
;;Study
Country
SiteLanguage: English Center ID: Not Applicable Country: Not Applicable
Assent Derived From: Older Children Assent, Phase 2/3, 07Dec2020
CT05 -GSOP-SD-GL11 Phase 1/2/3/4 Clinical Study Assent Template for Older Children 30-Apr- 2020
TMF Doc ID: 173.16 (Study); 173.10 (Country/Central); 173.20 (Site)
Sponsor Assent Version Number (Study/Country/Site) : Phase 2/3, 03Feb2021
Protocol No. C4591001 / CONFIDENTIALPage 7
of 9
If you are sexually active, you must use birth control consistently and correctly during the
study and for at least 28 days after your second injection. Your study doctor or nurse will
discuss this with you if it is appropriate to do so.
If you are a boy:
If you are sexually active, you must use birth control (eg a condom) consistently and corr ectly
during the study and for at least 28 days after your second injection. Your study doctor or
nurse will discuss this with you if it is appropriate to do so.
If you think that you may have gotten a girl pregnant, you must tell your study doctor
immediately. The study doctor may ask for information about the pregnancy and the birth of
the baby. The study doctor may share this information with others who are working on th is
study.
WHAT OTHER OPTIONS ARE THERE?
This study is for research purposes only. Your alternative is to not take part in this study.
Taking part is voluntary and you do not have to be in the study if you don’t want to.
It is your choice if you want to be in this study or not. No one will be mad if you choose n ot to
take part. Your doctors or your parent(s) or your guardian(s) cannot make you be in the study if you
don't want to be in it. If you say okay now to being in the study and you change your min d
about it later, you can stop being in the study. Just tell the study doctor or your parent(s) or
your guardian(s) if you want to stop at any time . If you quit the study, you will be asked to
come in for one last visit.090177e19636e1e3\Approved\Approved On: 08-Feb-2021 11:54 (GMT)
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CT05 -GSOP-
SD-GL11 1.0PHASE 1/2/3 CLINICAL STUDY ASSENT
TEMPLATE FOR OLDER CHILDREN 30-Apr- 2020
Protocol Number: C4591001 Assent Version Date : Phase 2/3, 03Feb2021
;;Study
Country
SiteLanguage: English Center ID: Not Applicable Country: Not Applicable
Assent Derived From: Older Children Assent, Phase 2/3, 07Dec2020
CT05 -GSOP-SD-GL11 Phase 1/2/3/4 Clinical Study Assent Template for Older Children 30-Apr- 2020
TMF Doc ID: 173.16 (Study); 173.10 (Country/Central); 173.20 (Site)
Sponsor Assent Version Number (Study/Country/Site) : Phase 2/3, 03Feb2021
Protocol No. C4591001 / CONFIDENTIALPage 8
of 9
WHAT IF I HAVE QUESTIONS?
You can ask questions about the study at any time.
You can call the study doctor any time.
If you want to ask questions about what it means to be in a research study, you or your
parent(s) or your guardian(s) can call [insert IRB/IEC name] (a group of people who revie w
the study to protect your rights) at [insert IRB/IEC number].
For you to be in this study, you and your parent(s) or your guardian(s) must agree to you
being in it. But it is still up to you if you want to do it.090177e19636e1e3\Approved\Approved On: 08-Feb-2021 11:54 (GMT)
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CT05 -GSOP-
SD-GL11 1.0PHASE 1/2/3 CLINICAL STUDY ASSENT
TEMPLATE FOR OLDER CHILDREN 30-Apr- 2020
Protocol Number: C4591001 Assent Version Date : Phase 2/3, 03Feb2021
;;Study
Country
SiteLanguage: English Center ID: Not Applicable Country: Not Applicable
Assent Derived From: Older Children Assent, Phase 2/3, 07Dec2020
CT05 -GSO P-SD-GL11 Phase 1/2/3/4 Clinical Study Assent Template for Older Children 30-Apr- 2020
TMF Doc ID: 173.16 (Study); 173.10 (Country/Central); 173.20 (Site)
Sponsor Assent Version Number (Study/Country/Site) : Phase 2/3, 03Feb2021
Protocol No. C4591001 / CONFIDENTIALPage 9
of 9
Please check one box below to show whether or not you want to be in this study.
Yes, I want to be in this study.
No, I do not want to be in this study.
______________________________________________________
Printed Name of Child/Young Person
_______________________________ ____________________ __________
Child/Young Person Signature Date Time
Statement of person conducting assent discussion:
1. I have explained all aspects of the research to the participant to the best of his or her
ability to understand.
2. I have answered all questions of the participant relating to this research.
3. I believe the participant ’s decision to enroll or not enroll is voluntary.
4. If the participant decides to enroll, the study doctor and study staff agree to respect the
participant ’s physical or emotional dissent at any time during this research when that
dissent pertains to anything being done solely for the purpose of this research.
Printed Name of Person Obtaining Assent: ____________________________
Signature of Person Obtaining Assent: _________________ Date: ________ Time: ______090177e19636e1e3\Approved\Approved On: 08-Feb-2021 11:54 (GMT)
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FDA-CBER-2021-5683-0650150
CT05 -GSOP- RF04
7.0PHASE 1/2/3 CLINICAL STUDY
INFORMED CONSENT TEMPLATE01-Jul-2019
Protocol Number: C4591001 ICD Version Date :Phase 2/3, 03Feb2021
;Study
Country
Si teLanguage: English Center ID: Not Applicable Country: Not
Applicable
ICD Derived From: Study level, Phase 2/3, 08Dec2020
CT05 -GSOP-RF04 7.0 Phase 1/2/3/4 Clinical Study Informed Consent Template (01-Jul- 2019)
TMF Doc ID: 173.13 (Study); 173.07 (Country/Central); 173.23 (Site)
Sponsor Consent Version (Study) Phase 2/3, 03Feb2021
Protocol No: C4591001
CONFIDENTIALPage:
1o f 2 0
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CONSENT TO TAKE PART IN STUDY
CT05 -GSOP-RF04 7.0 Phase 1/2/3/4 Clinical Study Informed Consent Template (01-Jul- 2019)
TMF Doc ID: 173.13 (Study); 173.07 (Country/Central); 173.23 (Site)
Sponsor Consent Version (Study) Phase 2/3, 03Feb2021
Protocol No: C4591001
CONFIDENTIALPage:
2o f 2 0
Table of Contents
This Table of Contents describes the different sections of this consent document. Be
sure to read through all sections of this consent document before making your decision
about whether or not to participate in this study.
Section Page
1. Key study information and contact information 4
2. Brief summary of this study 5
3. What is the purpose of this study? 6
4. How long will I participate in this study? 7
5. How many people will take part in this study? 7
6. What will h appen during this study? 7
7. Are there any special instructions to follow for this study? 12
8. What are the possible risks and discomforts of this study? 12
9. What are the possible benefits of this study? 14
10. What will h appen to my blood and nasal swab samples? 15
11. What other choices do I have if I do not join this study? 15
12. What happens if I am injured during this study? 15
13. What if I join this study and then change my mind? 15
14. What will I have to pay for if I take part in this study? 16
15. Will I be paid for taking part in this study? 16
16. What will h appen to my personal information? 17
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CONSENT TO TAKE PART IN STUDY
CT05 -GSOP-RF04 7.0 Phase 1/2/3/4 Clinical Study Informed Consent Template (01-Jul- 2019)
TMF Doc ID: 173.13 (Study); 173.07 (Country/Central); 173.23 (Site)
Sponsor Consent Version (Study) Phase 2/3, 03Feb2021
Protocol No: C4591001
CONFIDENTIALPage:
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17. Where can I find additional information about this study or the
study results?17
18. Signatures 17
Privacy Supplement
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CONSENT TO TAKE PART IN STUDY
CT05 -GSOP-RF04 7.0 Phase 1/2/3/4 Clinical Study Informed Consent Template (01-Jul- 2019)
TMF Doc ID: 173.13 (Study); 173.07 (Country/Central); 173.23 (Site)
Sponsor Consent Version (Study) Phase 2/3, 03Feb2021
Protocol No: C4591001
CONFIDENTIALPage:
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1. Key Study Information and Contact Information
The study team will address any questions, concerns or complaints you may have
before, during and after you complete the study. The study team includes the study
doctor, nurses, and others who work with the study doctor.
Phone numbers for the study team are listed below under “Study Site Contact
Information.” You also will be given a card with important emergency contact
information, including a 24-hour number. Show this card to any doctor, nurse or
other health care provider if you seek emergency care while you are taking part in this
study. This card includes information about the study that will help them treat you.
If you have any general questions about your rights as a study participant, or would like
to obtain information from, offer suggestions to, or speak with someone not directly
involved in the study, you may contact [For the site-level ICD, include as appropriate:
the Institutional Review Board orthe Independent Ethics Committee, patient rights
advocate, and/or bioethicist ]listed below.
Name of Study: A PHASE 1/2/3, PLACEBO-CONTROLLED, RANDOMIZED,
OBSERVER-BLIND, DOSE-FINDING STUDY TO EVALUATE THE SAFETY,
TOLERABILITY, IMMUNOGENICITY, AND EFFICACY OF SARS-COV-2 RNA
VACCINE CANDIDATES AGAINST COVID-19 IN HEALTHY INDIVIDUALS
[Institution]Study Number:
Sponsor Study Number: C4591001
Name of Company Sponsoring the Study: BioNTech. Pfizer is conducting the study
for BioNTech
Name of Principal Investigator (Study Doctor):
Study Site Contact Information:
Contact Person:
Address:
Phone Number (Normal Business Hours):
Phone Number (Off-Hours or Emergency):
[Complete the following entries for the site-level ICD as appropriate. ]
[Institutional Review Board orIndependent Ethics Committee] Contact
Information:
Contact Person:
Address:
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CONSENT TO TAKE PART IN STUDY
CT05 -GSOP-RF04 7.0 Phase 1/2/3/4 Clinical Study Informed Consent Template (01-Jul- 2019)
TMF Doc ID: 173.13 (Study); 173.07 (Country/Central); 173.23 (Site)
Sponsor Consent Version (Study) Phase 2/3, 03Feb2021
Protocol No: C4591001
CONFIDENTIALPage:
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Patient Rights Advocate:
Contact Person:
Address:
Phone Number:
Bioethicist:
Contact Person:
Address:
Phone Number:
2. Brief Summary of this Study
This is a research study involving both Pfizer and BioNTech. Pfizer and BioNTech are
separate companies who are cooperating to perform this study. Pfizer is responsible for
conducting this study. BioNTech is the regulatory sponsor of this study. Funding for this
study is provided by BioNTech and Pfizer and [the study doctor/institution] will be paid
to conduct this study.
A new respiratory disease appeared in Wuhan, China in December 2019 and has since
rapidly spread to many other countries around the world. In January 2020, the cause of
this disease was found to be a new Coronavirus; and the disease it causes was named
COVID-19 (Coronavirus disease 2019). Since then, many companies around the World
have quickly started to look for treatments and ways to prevent COVID-19.
Vaccines help your body to produce antibodies to help you to fight off a disease. This
research study involves 2 investigational vaccines to prevent COVID-19, that will be
given to healthy volunteers. The vaccines are given by injection. The vaccines are
slightly different but work in the same way. The study will also test each of these
vaccines at different dose levels (amounts of vaccine).
These vaccines do not contain the whole virus, or the parts of the virus that can make
you ill, inst ead the vaccines are made up of part of the virus’s genetic code, surrounded
by fatty particles called lipids. They use your own cells’ protein making machinery to
produce some, or all, of the spike protein seen on the outside of the virus. This spike
protein, made by your own body, may help your body to produce antibodies to fight
against COVID-19. We will check how many anti bodies you make by taking blood
samples and testing them.090177e19636e1e1\Approved\Approved On: 08-Feb-2021 11:53 (GMT)
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CONSENT TO TAKE PART IN STUDY
CT05 -GSOP-RF04 7.0 Phase 1/2/3/4 Clinical Study Informed Consent Template (01-Jul- 2019)
TMF Doc ID: 173.13 (Study); 173.07 (Country/Central); 173.23 (Site)
Sponsor Consent Version (Study) Phase 2/3, 03Feb2021
Protocol No: C4591001
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This study is different from your regular medical care. The purpose of regular medical
care is to improve or otherwise manage your health, but the purpose of research is to
gather information to advance science and medicine and does not replace your regular
medical care. If you need medical care during your time in the study, you should contact
your regular provider and inform the study team, as described later in this document.
Taking part in this study is voluntary (your choice). There is no penalty or change to
your regular medical care if you decide not to participate. You can choose to take part in
the study now, and then change your mind later at any time without losing any benefits
or medical care to which you are entitled. We encourage you to have conversations with
your family, caregivers, doctors, and study team about taking part in this study and
whether it is right for you. The study team will work with you to answer any questions
that you may have about the study.
You will receive a signed copy of this consent document for your records. Please keep
this consent document for your reference.
3. What is the purpose of this study?
The World Health Organization (WHO) has declared COVID-19 to be a pandemic (a
disease that has spread all over the world and is affecting lots of people); finding a
vaccine to prevent COVID-19 is an urgent need. To test this investigational vaccine as
quickly as possible, this study has been separated into 2 phases. In both the phases we
will try to see if the vaccine works to prevent COVID-19, as well as:
xPhase 1 where we choose which vaccines at which dose levels are safest and
make the most antibodies.
xPhase 2/3 where we look at one vaccine at one dose level in lots of people to
collect even more information about the safety of the vaccines and the amounts
of antibodies they produce.
You are being asked to take part in Phase 2/3.
The study will compare the results of the people who receive the study vaccine
(BNT162b2) with those who receive a placebo (a placebo does not contain any active
ingredients). In this study the placebo will be salt-water, also known as normal saline.
Everyone in Phase 2/3 of the study will receive 2 injections of either:
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CT05 -GSOP-RF04 7.0 Phase 1/2/3/4 Clinical Study Informed Consent Template (01-Jul- 2019)
TMF Doc ID: 173.13 (Study); 173.07 (Country/Central); 173.23 (Site)
Sponsor Consent Version (Study) Phase 2/3, 03Feb2021
Protocol No: C4591001
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xStudy vaccine followed by study vaccine
xPlacebo followed by placebo
In Phase 2/3 everyone who receives the study vaccine will receive the same vaccine at
the same dose, that was chosen based on the results from Phase 1.
The study doctor will determine whether you are eligible for the study. This study will
require you to visit the study doctor to undergo study procedures and to provide
information about your health. You will also be required to contact the study doctor if
you experience any of the COVID-19 symptoms (explained later in this document).
4. How long will I participate in this study?
You could be in this study for up to about 26 months. You will need to visit the study site
6 to 7 planned times during the study, and any time after you have experienced COVID-19 symptoms and are feeling better in about a month’s time .
5. How many people will t ake part in this study?
Approximately 44,193 healthy people could take part in the 2 phases of this study. In
Phase 2/3 of the study up to 43,998 people will take part.
It is expected that about [number] people will participate in Phase 2/3 of the study at this
location.
6. What will happen during this study?
Before any study procedures begin, or before you begin preparing for the study, you will
be asked to read and sign this consent document.
After signing this consent document, the study doctor will check if you meet all of the
requirements to take part in this study. If you do not meet the requirements, you will not
be able to take part in the study and the study doctor will explain why this is the case.
Study Vaccines
Once the study doctor has confirmed you meet the study requirements, you will be randomly assigned (like flipping a coin) to receive the study vaccine or placebo. For
every 1 person who receive the study vaccine, 1 person will receive the placebo. No
one (including you, your personal doctor and the study team) can choose this
assignment.
This is a n ‘observer -blind study’ , which means that you and the study doctor will not
know whether you are receiving the study vaccine or placebo, but the person who gives
you the vaccine will know because the vaccine and plac ebo do not look the same.
However, the syringe will be covered with a l abel so the contents are not visible and the
person that gives you the vaccine will not be able to talk about it with you. In case of 090177e19636e1e1\Approved\Approved On: 08-Feb-2021 11:53 (GMT)
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Sponsor Consent Version (Study) Phase 2/3, 03Feb2021
Protocol No: C4591001
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urgent need, the study doctor can learn quickly whether you have received study
vaccine or placebo.
The study vaccine or placebo will be given to you through an injection into the muscle in
your upper arm. Everyone will receive 2 injections, approximately 3 weeks apart. On the
days you receive the study vaccine or placebo, you will be asked to wait at the study
site for at least 30 minutes for observation after receiving the study vaccine or placebo.
Overview of Study Procedures and Assessments
The table below lists the tests and procedures or assessments that you will have done
in this research study. In addition to the visits listed, your study doctor may ask you to
come in for extra visit(s) if necessary, to protect your well-being.090177e19636e1e1\Approved\Approved On: 08-Feb-2021 11:53 (GMT)
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CT05-GSOP-RF04 7.0 Phase 1/2/3/4 Clinical Study Informed Consent Template (01-Jul-2019)
TMF Doc ID: 173.13 (Study); 173.07 (Country/Central); 173.23 (Site)
Sponsor Consent Version (Study) Phase 2/3, 03Feb2021
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For people taking part in Phase 2/3, the study doctor or nurse will:
Visit Number 1 2 3 4 5 6
Visit Description Study Vaccine
1Study Vaccine
21-Month Visit 6-Month Visit 12-Month Visit 24-Month Visit
Ask about Medical history as well as date of birth,
sex, race and ethnicityX
Ask about medicines you are currently taking X X X X X X
Perform clinical assessment X
Record latest CD4 count and viral load (for HIV
positive participants only)X X X X X
Measure body temperature X X
Measure height and weight X
Urine pregnancy test (if appropriate) X X
Ask about other vaccinations you have had X X X X
Check you meet all the study requirements X X
Check contraceptives (if appropriate) X X X
Collect blood sample to test antibody levels ~20 mL ~20 mL ~20 mL ~20 mL ~20 mL
Take a nasal swab X X
Get the study injection, followed by a 30mins
observation periodX X
Give you an e-diary or help you download one X
Vaccination e-diary completion for 7 days (if you
are part of chosen group to self-report potential
side effects daily for 7 days following each
vaccination)X X
COVID-19 illness e-diary completion X X X X X X
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Sponsor Consent Version (Study) Phase 2/3, 03Feb2021
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Blood samples for antibody testing
You will have bl ood taken 5 times during the planned visits of the study. This will be
used to test if you already had antibodies against the coronavirus that causes COVID-
19 when you enrolled in the study and may be used to test your antibody levels after
vaccination. About 20mL of blood (about 4 teaspoons) will be collected from your arm
using a needle at these visits.
E-Diary
At Visit 1, the study team will show you how to fill in an electronic diary (or e-Diary). We
will either give you a device (a bit like a mobile phone) or ask you to downl oad an
application (‘app’) to your smart phone if you have one. The device/app is sec ure and
your confidentiality will be maintained.
There are 2 parts to the e-Diary. Everyone will n eed to complete the COVID-19 illness
part of the e-Diary on the device or app on your smartphone. The COVID-19 illness e-
Diary will prompt you to record any COVID-19 symptoms (see below) every 7 days or at
any time you have COVID-19 symptoms. You may also receive text messages to the
device or your own smartphone, or emails (if you provide your email address) to remind
you to complete the COVID-19 illness part of the e-Diary.
If you are part of a subset of participants, you will also be instructed by the study team
to complete the vaccination part of the e-Diary for 7 days after each vaccination, once a
day in the evening with the first day being the day of the vaccination.
You will be given a thermometer and a measuring device to take home. You will use
the thermometer to measure your temperature under your tongue and you will use the
measuring device to measure any redness or swelling where the injection was given.
You will n eed to record these measurements in the vaccination part of the e-Diary.
The vaccination part of the e-Diary will also ask other questions about potential side
effects you may have after the injection. If you have any severe symptoms after your vaccination, you should contact your study doctor and the study doctor or nurse may
schedule an extra visit.
It is very important that you complete the e-Diary regularly as instructed. If you do not,
your study doctor or nurse will contact you to check how you are.
Urine pregnancy test
If you’re a woman who is able to have children,you will have a urine pregnancy test to
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CT05 -GSOP-RF04 7.0 Phase 1/2/3/4 Clinical Study Informed Consent Template (01-Jul- 2019)
TMF Doc ID: 173.13 (Study); 173.07 (Country/Central); 173.23 (Site)
Sponsor Consent Version (Study) Phase 2/3, 03Feb2021
Protocol No: C4591001
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What happens if I have positive nasal swab test result?
Nasal swabs obtained during the study (at Visits 1 and 2, and at the time of a potential
COVID-19 illness –see below) will be tested in a research laboratory. Positive results
from the Visit 1 and 2 swabs, and all results from the illness visit swabs, will be provi ded
to your study doctor, but this will take some time so you should not rely on these for
medical treatment. If you has a positive nasal swab test result for the coronavirus that
causes COVID-19, either at Visit 1 or any time between Visit 1 and Visit 2, but with no
potential COVID-19 related symptoms, you will continue to receive the second study
vaccine as normal. However, if the positive COVID-19 test result is accompanied by
potential COVID-19 related symptoms, you will not be given the second study vaccine
but will be requested to remain in the study.
If You Get COVID-19 Symptoms
If you get any of the following you must contact the study doctor straight away.
Note that this is not instead of your routine medical care. If you feel unwell
enough that you would normally see a healthcare professional, please contact
your usual provider, as well as the study doctor.
xA diagnosis of COVID-19;
xFever;
xNew or increased cough;
xNew or increased shortness of breath;
xChills;
xNew or increased muscle pain;
xNew loss of taste/smell;
xSore throat;
xDiarrhea;
xVomiting.
The study doctor may ask you to have a telephone conversation, video call or to visit
the site to talk about how you are feeling and if you have needed any other medical
care. They will also ask you to take a nose swab or take one from you to check for the
coronavirus. We will give you s eparate instructions about how to take a nose swab
yourself and how to ship the swab to the laboratory if needed. The result from this swab will be provi ded to the study doctor once it is available, but this will take some time, and
cannot be used to diagnose you with COVID-19. This is why it is important that you
contact your usual provider if you have COVID-19 symptoms and think you need
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TMF Doc ID: 173.13 (Study); 173.07 (Country/Central); 173.23 (Site)
Sponsor Consent Version (Study) Phase 2/3, 03Feb2021
Protocol No: C4591001
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If you are diagnosed with COVID-19, for the purposes of the study, the study doctor will
contact your usual provider,and any facility where you are treated, to obtain details and
collect medical records: by signing this informed consent document, you agree to this.
The study doctor will arrange an extra visit to the study site about a month after you
became unwell and you will give another 20 mL ( about 4 teaspoons) blood sample to
test your antibody levels.
After the study
The study vaccine is available only during this study and not after the study is over. If
you leave the study before receiving the study vaccine, it may be available to you
through an authorized healthcare professional.
7. Are there any special instructions to follow for this study?
It is important you follow all the instructions given to you by the study nurse or doctor
and tell them if:
xYou don’t understand anything about the study
xYou are not able to comply with the study requirements
xThere are changes in your health
xYou take any new medications or receive any other vaccines
xYou are going away for a long period
xYou wish to take part in another research study
8. What are the possible risks and discomforts of this study?
Any research has some risks, which may include negative effects that could make you
unwell or uncomfortable and even potentially be serious or life-threatening. All research
participants taking part in the study will be watched carefully for any negative effects;
however, the study team does not know all the effects that the study vaccine may have
on you.
If you take part in this study, the most likely risks or discomforts to happen to you are
discussed below.
It is important that you report to the study team all symptoms and side effects as
soon as they occur. Phone numbers for the study team are listed in [ Section 1 ]o f
this consent document.
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CT05 -GSOP-RF04 7.0 Phase 1/2/3/4 Clinical Study Informed Consent Template (01-Jul- 2019)
TMF Doc ID: 173.13 (Study); 173.07 (Country/Central); 173.23 (Site)
Sponsor Consent Version (Study) Phase 2/3, 03Feb2021
Protocol No: C4591001
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Up until the end of 2020, the safety of BNT162b2 has been studied in clinical trials that have
included 21,744 people 16 yrs of age and older who have received at least one dose of the
vaccine. In addition, since the vaccine has been approved for emergency use in many
countries, about 26 million doses have been distributed.
Based on the clinical study results, and information gathered during general use, the following
risks have been determined to be caused by BNT162b2 vaccine:
Very common (occurring in more than 1 in 10 people): injection site pain, injection site swelling,
fatigue (tiredness), increased body temperature (fever, more common after the second dose),
chills, headache, joint aches, and muscle aches.
Common (between 1 in 10 and 1 in 100 people): feeling sick (nausea), and injection site
redness.
Uncommon (between 1 in 100 and 1 in 1,000 people): enlarged lymph glands, allergic reactions
(symptoms may include rash, itching, hives, and swelling of the face or lips), pain in arm, and
feeling weak or unwell.
Frequency cannot be estimated from available data: severe allergic reaction (anaphylaxis).
As in all research studies, the COVID-19 vaccine may involve risks that might be expected
based on results from studies of similar vaccines, as well as risks that are currently unknown.
Therefore, it is important that you report all symptoms and side effects that you experience as
soon as they occur, whether or not you think they are caused by the study vaccine.
Due to the way in which the study vaccines are made, they cannot cause COVID-19 disease.
If I catch COVID-19 disease, could the vaccine make it worse?
For some other vaccines tested in animals against similar viruses (but not the coronavirus that
causes COVID-19), there have been reports of the illness being more severe in the animals that
received the vaccine than in those that did not. So far this has not been seen with BNT162b2. It
remains important for you to contact your study doctor if you develop symptoms that might be
caused by COVID-19 (for example, fever, cough, shortness of breath).
Placebo Risks
As the placebo injection contains salt-water and no active ingredients, the chances of
having the side effects mentioned above are less likely. In other studies using the same
placebo, some people who received the placebo injection reported pain, bruising,
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Sponsor Consent Version (Study) Phase 2/3, 03Feb2021
Protocol No: C4591001
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Risks from Study Procedures
Risks and possible discomforts you might have from the study procedures include:
xBlood samples: The risks and possible discomforts involved in taking blood
include pain from inserting the needle, or less often, swe lling, bruising, or
infection around the vein where the blood is collected. You may feel dizzy or
may faint. If you have a previous history of feeling dizzy or fainting during blood
sample collection, you should talk to the study doctor.
xNasal Swabs: The risks and possible discomforts involved in taking nasal swabs
may include pain or general discomfort. Sometimes it may cause the nose to
bleed.
Pregnancy-Related Risks; Use of Birth Control
If you are currently pregnant, plan to become pregnant, or are breastfeeding a child, you
should not join this study.
If you are able to have children and you are sexually active, you must use birth control
consistently and correctly for at least 28 days after you receive your last injection. This
applies to men as well as women who take part in the research study. The study doctor
will discuss with you the methods of birth control that you should use while you are in
this research study and will help you select the method(s) that is appropriate for you.
The study doctor will also check that you understand how to use the birth control method and may review this with you at each of your research study visits.
Birth control methods, even when used properly are not perfect. If you or your partner
becomes pregnant during the research study, or you want to stop your required birth
control during the research study, you should tell the study doctor immediately. You
may be withdrawn from the research study if you stop using birth control or you become
pregnant.
Pregnancy Follow-up
If you or your partner become pregnant during the study, up until 6 months after you last
study injection, please tell the study doctor immediately . Please also tell the doctor who
will be taking care of you/your partner during the pregnancy that you took part in this study. The study doctor will ask if you/your partner or your pregnancy doctor is willing to
provide updates on the progress of the pregnancy and its outcome. If you/your partner
agree, this information will be provided to BioNTech/Pfizer for safety follow-up.
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Vaccination with BNT162b2 has been shown to be effective in preventing COVID-19 in
the groups of people already studied, but not yet in people like you. Because of this,
and the fact that you may receive the placebo vaccination, you st ill need to follow local
recommendations about how to avoid COVID-19 (for example, social distancing andmask use).
10. What will happen to my bl ood and nasal swab samples?
Your blood and nasal swab samples will be used only for scientific research. Each
sample will be l abeled with a code so that the laboratory workers testing the samples
will not know who you are. Some of the samples may be stored for future testing and
may be kept for up to 15 years after the study ends, at which time they will be
destroyed. In addition to testing for this study, any samples left over after the study is
complete may be used for additional research related to the development of products.
No testing of your DNA will be performed.
You may request that your samples, if they can be identified, be destroyed at any time.
Any data already collected from those samples will still be used for the study. The
samples will remain the pr operty of BioNTech/Pfizer and may be shared with other
researchers as long as confidentiality is maintained and no testing of your DNA will be
performed. You will not be told of additional tests, nor will you receive results of any of
these tests.
11. What other choices do I have if I do not join this study?
This study is for research purposes only. Your alternative is to not take part in this
study.
12. What happens if I am injured during this study?
For mandatory research injury language, < click here > (retain this link in the study-level
ICD). The country-specific research injury language must be included verbatim in the
country-level ICD.
13. What if I join this study and then change my mind?
If you agree to participate and then change your mind for any reason, you are free to
stop participating at any time. Your decision will not affect your regular medical care or
any benefits to which you are entitled. Tell the study doctor if you are thinking about
stopping or decide to stop so that you can end participation in the study in the safest
way.
While you are participating, the study team will tell you in a timely manner if new
information is learned during the course of the study that could change your mind about
continuing in this study. If you decide to withdraw from the study, you may be asked to 090177e19636e1e1\Approved\Approved On: 08-Feb-2021 11:53 (GMT)
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continue to participate in the study procedures even though you would no longer receive
the study vaccine.
If you agree to continue with the study, information about your health will continue to be
collected as described in [ Section 6 ].
If you decide to stop participating in this study, you must notify the study doctor. The
study team will explain what other procedures or discussions would occur.
Sometimes the study doctor or BioNTech/Pfizer may decide to take you out of the study
(even if you do not agree) if:
•You are unable or unwilling to follow the instructions of the study team;
•The study doctor decides that the study is not in your best interest or that you are no
longer eligible to participate; or
•The study is stopped by BioNTech/Pfizer, the institutional review board (IRB) or
independent ethics committee (IEC) (a group of people who review the study to
protect your rights), or by a government or regulatory agency.
The study team will give you a Privacy Supplement, which is considered part of this
consent document. It describes what happens to your personal information (including
your biological samples) and how it may be used if you withdraw from the study.
14. What will I have to pay for if I take part in this study?
You will not n eed to pay for any of the study vaccines (COVID-19 Vaccine or placebo),
study-related procedures, or study visits.
15. Will I be paid for taking part in this study?
You will not receive any payment for taking part in this study. However, for each visit
you complete, you will be reimbursed by the study site to cover reasonable expenses
(for example, parking, meals, travel) that you have as a result of taking part in this
study. You will be reimbursed by [enter, as applicable, method of reimbursement;
amounts; and reimbursement schedule; note whether receipts are required].
BioNTech/Pfizer may use information resulting from the study to develop products or
processes from which they may make a profit. There are no plans to pay you or provide
you with any products developed from this research. BioNTech/Pfizer will own all
products or processes that are developed using information from the study.090177e19636e1e1\Approved\Approved On: 08-Feb-2021 11:53 (GMT)
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16. What will happen to my personal informati on?
<click here > for language to be inserted into this section. This text must be inserted
verbatim. Any requested changes must be approved by Clinical Development Legal. Note
that the Privacy Supplement follows this consent document, after the signature section.
17. Where can I find additional information about this study or the
study results?
A description of this clinical trial will be available on http://www.ClinicalTrials.gov, as
required by U.S. Law. This Web site will not include information that can identify you. At
most, the Web site will include a summary of the results. You can search this Web site
at any time.
The study results, when available, may also be found on www.pfizer.com and
https://www.clinicaltrialsregister.eu/.
In addition, a plain summary of the study results will be m ade available in the EU database
at [insert link to the database ]. This information will be provi ded no matter what the study’s
outcome. To the extent possible, you will be able to access these summaries in the EU
database soon after they become available using the following EU trial number for the
study: [insert trial number].These Web sites are in English only. If you need assistance understanding these Web
sites, please ask a member of the study team.
BioNTech/Pfizer will provide the study doctor with information about the study results
when all participants have completed the study. At that time, certain of your individual
study results may be given to you or your doctor (if different from the study doctor) in
accordance with applicable law, but will not be given to your family, your employer or
any insurance company.
If any exploratory research is done, it may not be possible to link any results from that
exploratory research to specific individuals, including you. BioNTech/Pfizer does not
plan to return information from any exploratory research to you, the study doctor, or
your doctor (if different from the study doctor).
18. Signatures
Agreement to Participate and to Process Data
1. I confirm I have read (or, if I cannot read, a study team member has read to me)
and understand this consent document for the study described above and have 090177e19636e1e1\Approved\Approved On: 08-Feb-2021 11:53 (GMT)
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had the opportunity to ask questions. I have had enough time to review this
consent document. I also have had an opportunity to ask about the details of the
study and to decide whether or not to participate.
2. I have read and understand the Privacy Supplement. I understand that taking part
in the study will require the processing (including colle ction, use, transfer, storage,
analysis and reporting) of my personal information, as explained in the Privacy
Supplement. I understand and agree to the processing of my personal information
within and outside my country of residence for health care, medical research
and/or regulatory purposes.
3. I understand that taking part is voluntary and that I am free to stop taking part in
this study or to withdraw my consent to the processing of my personal information
at any time. I do not need to give any reaso n and my regular medical care and
legal rights will not be affected. However, even if I withdraw my consent to
processing, my personal information held at that time may be kept to comply with
laws and regulations and to maintain the integrity of the study. I also understand
that my biological samples may not be able to be destroyed because they may no
longer be traceable to me, may have already been used, or may have been given
to a third party.
4. I agree to the study team accessing my medical history, i ncluding information from
medical records and test results and any medical treatment I receive during the
course of the study, and if necessary, contacting my doctor or any other health
care providers treating me for access to such information.
5. I unde rstand that BioNTech/Pfizer and/or others working with or on behalf of
BioNTech/Pfizer, institutional review boards (IRBs) or independent ethics committees (IECs), and regulatory agencies may need access to personal
information about me generated at the st
udy site or collected by the study team for
the study and any other research. I agree that they may have access to my personal information.
6. I do not give up any of my legal rights by signing this consent document. I have
been told that I will receive a signed and dated copy of this document.
7. I agree to take part in the study described in this document.
_________________________________________
Printed name of participant
________________________________________________ ______________
Signature of participant Date of signature§090177e19636e1e1\Approved\Approved On: 08-Feb-2021 11:53 (GMT)
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CT05 -GSOP-RF04 7.0 Phase 1/2/3/4 Clinical Study Informed Consent Template (01-Jul- 2019)
TMF Doc ID: 173.13 (Study); 173.07 (Country/Central); 173.23 (Site)
Sponsor Consent Version (Study) Phase 2/3, 03Feb2021
Protocol No: C4591001
CONFIDENTIALPage:
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(If no legally acceptable representative is used)
§Participant must personally date their signature.
Person Obtaining Consent:
____________________________________
Printed Name of the Person Conducting the
Consent Discussion
________________________________________ _______________
Signature of the Person Conducting the Date of signature
Consent Discussion†
†The investigator, or an appropriately qualified and trained person designated by the
investigator to conduct the informed consent process, must sign and date the consent
document during the same discussion when the participant signs the consent
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PRIVACY SUPPLEMENT
CT05 -GSOP-RF04 7.0 Phase 1/2/3/4 Clinical Study Informed Consent Template (01-Jul- 2019)
TMF Doc ID: 173.13 (Study); 173.07 (Country/Central); 173.23 (Site)
Sponsor Consent Version (Study) Phase 2/3, 03Feb2021
Protocol No: C4591001
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PRIVACY SUPPLEMENT
For mandatory country-specific data privacy language to be inserted in this Privacy
Supplement, < click here > (retain this link in the study-level ICD). The country-specific
data privacy language must be included verbatim in the country-level ICD. Any requested
changes must be approved by Clinical Development Legal.
Who will use my personal information, how will they use it, and where will it be
stored?
[Mandatory study language –retain the below paragraph and delete this green text before
finalisation]
Any personal information collected about you during this study will be entered into
records, including health records, maintained by the study team at your study site. Your
records that include information that directly identifies you may be uploaded to secure
systems maintained by a third party engaged by BioNTech/Pfizer so that
BioNTech/Pfizer and/or BioNTech/Pfizer representatives can review and verify study
data. Some of the uploaded records will be kept for XX years. The remaining records
that are uploaded will be temporary and removed from the secure system after the
study is over.090177e19636e1e1\Approved\Approved On: 08-Feb-2021 11:53 (GMT)
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CT05 -GSOP- RF04
7.0PHASE 1/2/3 CLINICAL STUDY
INFORMED CONSENT TEMPLATE01-Jul-2019
Protocol Number: C4591001ICD Version Date :Parent ICD, Phase 2/3,
03Feb2021
;Study
Country
Si teLanguage: English Center ID: Not Applicable Country: Not
Applicable
ICD Derived From: Parent ICD, Phase 2/3, 08Dec2020
CT05 -GSOP-RF04 7.0 Phase 1/2/3/4 Clinical Study Informed Consent Template (01-Jul- 2019)
TMF Doc ID: 173.13 (Study); 173.07 (Country/Central); 173.23 (Site)
Sponsor Consent Version (Study) Parent, Phase 2/3, 03Feb2021
Protocol No: C4591001
CONFIDENTIALPage:
1o f 2 3
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CT05 -GSOP-RF04 7.0 Phase 1/2/3/4 Clinical Study Informed Consent Template (01-Jul- 2019)
TMF Doc ID: 173.13 (Study); 173.07 (Country/Central); 173.23 (Site)
Sponsor Consent Version (Study) Parent, Phase 2/3, 03Feb2021
Protocol No: C4591001
CONFIDENTIALPage:
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Table of Contents
This Table of Contents describes the different sections of this consent document. Be
sure to read through all sections of this consent document before making your decision
about whether or not to participate in this study.
Section Page
1. Key study information and contact information 4
2. Brief summary of this study 5
3. What is the purpose of this study? 6
4. How long will my child participate in this study? 7
5. How many adults and children will take part in this study? 7
6. What will h appen during this study? 7
7. Are there any special instructions to follow for this study? 13
8. What are the possible risks and discomforts of this study? 13
9. What are the possible benefits of this study? 16
10. What will h appen to my child’s blood and nasal swab samples? 16
11.What other choices do I have if I do not want my child join this
study?16
12. What happens if my child is injured during this study? 16
13. What if I join this study and then change my mind? 17
14. What will I have to pay for if I take part in this study? 17
15. Will I be paid for taking part in this study? 17
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CT05 -GSOP-RF04 7.0 Phase 1/2/3/4 Clinical Study Informed Consent Template (01-Jul- 2019)
TMF Doc ID: 173.13 (Study); 173.07 (Country/Central); 173.23 (Site)
Sponsor Consent Version (Study) Parent, Phase 2/3, 03Feb2021
Protocol No: C4591001
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16. What will h appen to my child’s personal information? 18
17. Where can I find additional information about this study or the
study results?18
18. Signatures 19
Privacy Supplement
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CT05 -GSOP-RF04 7.0 Phase 1/2/3/4 Clinical Study Informed Consent Template (01-Jul- 2019)
TMF Doc ID: 173.13 (Study); 173.07 (Country/Central); 173.23 (Site)
Sponsor Consent Version (Study) Parent, Phase 2/3, 03Feb2021
Protocol No: C4591001
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1. Key Study Information and Contact Information
The study team will address any questions, concerns or complaints you or your child
may have before, during and after your child complete the study. The study team
includes the study doctor, nurses, and others who work with the study doctor.
Phone numbers for the study team are listed below under “Study Site Contact
Information.” You also will be given a card with important emergency contact
information, including a 24-hour number. Show this card to any doctor, nurse or
other health care provider if your child seeks emergency care while taking part in this
study. This card includes information about the study that will help them treat your child.
If you have any general questions about your child’s rights as a study participant, or
would like to obtain information from, offer suggestions to, or speak with someone not
directly involved in the study, you may contact [For the site-level ICD, include as
appropriate: the Institutional Review Board orthe Independent Ethics Committee,
patient rights advocate, and/or bioethicist ]listed below.
Name of Study: A PHASE 1/2/3, PLACEBO-CONTROLLED, RANDOMIZED,
OBSERVER-BLIND, DOSE-FINDING STUDY TO EVALUATE THE SAFETY,
TOLERABILITY, IMMUNOGENICITY, AND EFFICACY OF SARS-COV-2 RNA
VACCINE CANDIDATES AGAINST COVID-19 IN HEALTHY INDIVIDUALS
[Institution]Study Number:
Sponsor Study Number: C4591001
Name of Company Sponsoring the Study: BioNTech. Pfizer is conducting the study
for BioNTech
Name of Principal Investigator (Study Doctor):
Study Site Contact Information:
Contact Person:
Address:
Phone Number (Normal Business Hours):
Phone Number (Off-Hours or Emergency):
[Complete the following entries for the site-level ICD as appropriate. ]
[Institutional Review Board orIndependent Ethics Committee] Contact
Information:
Contact Person:
Address:
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CT05 -GSOP-RF04 7.0 Phase 1/2/3/4 Clinical Study Informed Consent Template (01-Jul- 2019)
TMF Doc ID: 173.13 (Study); 173.07 (Country/Central); 173.23 (Site)
Sponsor Consent Version (Study) Parent, Phase 2/3, 03Feb2021
Protocol No: C4591001
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Patient Rights Advocate:
Contact Person:
Address:
Phone Number:
Bioethicist:
Contact Person:
Address:
Phone Number:
2. Brief Summary of this Study
You are being asked to allow your child to take part in a research study that involves
comparing an investigational (study) vaccine against a placebo (injection with no active
ingredient) to see if the vaccine can prevent COVID-19. The vaccine is given by
injection.
Depending on your child’s age, mental status and local laws, the study team may need
to verify your child’s agreement (called “assent”) to take part in this study .Y o u r
child may give assent verbally, or they may be asked to print or sign their name on an
assent document similar to this consent document. They may have an opportunity to
meet privately with a member of the study team to ask confidential questions. Your child
will also be able to decide not to take part for confidential reasons, which, if they
request, would not be shared with you unless required by local law. Also, if your child
reaches the legally recognized age of majority (adulthood) during the study, they must
separately provide their consent to continue taking part in the study.
You are being asked to allow your child to be in this research study because your child
is healthy and over the age of 12.
This is a research study involving both Pfizer and BioNTech. Pfizer and BioNTech are
separate companies who are cooperating to perform this study. Pfizer is responsible for
conducting this study. BioNTech is the regulatory sponsor of this study. Funding for this
study is provided by BioNTech and Pfizer and [the study doctor/institution] will be paid
to conduct this study.
A new respiratory disease appeared in Wuhan, China in December 2019 and has since
rapidly spread to many other countries around the world. In January 2020, the cause of
this disease was found to be a new Coronavirus; and the disease it causes was named
COVID-19 (Coronavirus disease 2019). Since then, many companies around the World
have quickly started to look for treatments and ways to prevent COVID-19.
Vaccines help your body to produce antibodies to help you to fight off a disease. This
research study involves 2 investigational vaccines to prevent COVID-19, that will be 090177e19636e1e2\Approved\Approved On: 08-Feb-2021 11:53 (GMT)
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CT05 -GSOP-RF04 7.0 Phase 1/2/3/4 Clinical Study Informed Consent Template (01-Jul- 2019)
TMF Doc ID: 173.13 (Study); 173.07 (Country/Central); 173.23 (Site)
Sponsor Consent Version (Study) Parent, Phase 2/3, 03Feb2021
Protocol No: C4591001
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given to volunteers. The vaccines are given by injection. The vaccines are slightly
different but work in the same way. The study will also test each of these vaccines at
different dose levels (amounts of vaccine).
These vaccines do not contain the whole virus, or the parts of the virus that can make
your child ill, inst ead the vaccines are made up of part of the virus’s genetic code,
surrounded by fatty particles called lipids. They use a persons cells’ protein making
machinery to produce some, or all, of the spike protein seen on the outside of the virus.
This spike protein, made by your child’s body, may help your child’s body to produce
antibodies to fight against COVID-19. We will check how many antibodies your child
makes by taking blood samples and testing them.
This study is different from your child’s regular medical care. The purpose of regular
medical care is to improve or otherwise manage your child’s health, but the purpose of
research is to gather information to advance science and medicine and does not
replace your child’s regular medical care. If your child needs medical care during their
time in the study, you should contact your regular provider and inform the study team,
as described later in this document.
Allowing your child to taking part in this study is voluntary (your choice). There is no
penalty or change to you or your child’s regular medical care if you decide not to allow
your child to participate. You can choose to let your child take part in the study now, and
then change your mind later at any time without losing any benefits or medical care to
which you or your child are entitled. We encourage you to have conversations with your
family, friends, doctors, and study team about this study and whether it is right for your
child. The study team will work with you to answer any questions that you may have
about the study.
You will receive a signed copy of this consent document for your records. Please keep
this consent document for your reference.
3. What is the purpose of this study?
The World Health Organization (WHO) has declared COVID-19 to be a pandemic (a
disease that has spread all over the world and is affecting lots of people); finding a
vaccine to prevent COVID-19 is an urgent need. To test this investigational vaccine as
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CT05 -GSOP-RF04 7.0 Phase 1/2/3/4 Clinical Study Informed Consent Template (01-Jul- 2019)
TMF Doc ID: 173.13 (Study); 173.07 (Country/Central); 173.23 (Site)
Sponsor Consent Version (Study) Parent, Phase 2/3, 03Feb2021
Protocol No: C4591001
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quickly as possible, this study has been separated into 2 phases. In both the phases we
will try to see if the vaccine works to prevent COVID-19, as well as:
xPhase 1 where we choose which vaccines at which dose levels are safest and
make the most antibodies.
xPhase 2/3 where we look at one vaccine at one dose level in lots of people to
collect even more information about the safety of the vaccines and the amounts of antibodies they produce.
Your child is being asked to take part in Phase 2/3.
The study will compare the results of the people who receive the study vaccine
(BNT162b2) with those who receive a placebo (a placebo does not contain any active
ingredients). In this study the placebo will be salt-water, also known as normal saline.
Everyone in Phase 2/3 of the study will receive 2 injections of either:
xStudy vaccine followed by study vaccine
xPlacebo followed by placebo
In Phase 2/3 everyone who receives the study vaccine will receive the same vaccine at
the same dose, that was chosen based on the results from Phase 1.
The study doctor will determine whether your child is eligible for the study. This study
will require your child to visit the study doctor to undergo study procedures and to
provide information about their health. You/your child will also be required to contact
the study doctor if your child experience any of the COVID-19 symptoms (explained later in this document).
4. How long will my child participate in this study?
Your child could be in this study for up to about 26 months and will n eed to visit the
study site 6 or 7 planned times during the study.Your child will also n eed to visit the
study site if they experience COVID-19 symptoms and again after they have recoveredfrom those symptoms approximately in a month’s time .
5. How many adults and children will take part in this study?
Approximately 44,193 volunteers could take part in the 2 phases of this study.
In Phase 2/3 of the study up to 43,998 volunteers will take part, in which approximately
2000 will be of 12 to 15 years of age and the remaining will be above the age of 16
years.
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CT05 -GSOP-RF04 7.0 Phase 1/2/3/4 Clinical Study Informed Consent Template (01-Jul- 2019)
TMF Doc ID: 173.13 (Study); 173.07 (Country/Central); 173.23 (Site)
Sponsor Consent Version (Study) Parent, Phase 2/3, 03Feb2021
Protocol No: C4591001
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Before any study procedures begin, or before your child begins preparing for the study,
you will be asked to r ead and sign this consent document. We may also ask your child
to read and sign a similar document.
After signing this consent document, the study doctor will check if your child meets all of
the requirements to take part in this study. If your child does not meet the requirements,
they will not be able to take part in the study and the study doctor will explain why this is
the case.
Study Vaccines
Once the study doctor has confirmed your child meets the study requirements, your
child will be randomly assigned (like flipping a coin) to receive the study vaccine or
placebo. For every 1 volunteer who receives the study vaccine, 1 volunteer will receive
the placebo. No one (including you, your child, your child’s personal doctor or the study
team) can choose this assignment.
This is a n ‘observer -blind study’ , which means that you, your child and the study doctor
will not know whether your child will receive the study vaccine or placebo. The person
who gives your child the vaccine will know because the vaccine and plac ebo do not look
the same. The syringe will be covered with a l abel so the contents are not visible and
the person that gives your child the vaccine will not be able to talk about it. In case of
urgent need, the study doctor can learn quickly whether your child received study
vaccine or placebo.
The study vaccine or placebo will be given to your child through an injection into the
muscle of the upper arm. All volunteers will receive 2 injections, approximately 3 weeks
apart. On the days your child receives the study vaccine or placebo, you and your child
will be asked to wait at the study site for at least 30 minutes for observation.
Overview of Study Procedures and Assessments
The table below lists the tests and procedures or assessments that will be done in this research study. In addition to the visits listed, the study doctor may ask your child to
come in for extra visit(s) if necessary, to protect their well-being.090177e19636e1e2\Approved\Approved On: 08-Feb-2021 11:53 (GMT)
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CT05-GSOP-RF04 7.0 Phase 1/2/3/4 Clinical Study Informed Consent Template (01-Jul-2019)
TMF Doc ID: 173.13 (Study); 173.07 (Country/Central); 173.23 (Site)
Sponsor Consent Version (Study) Parent, Phase 2/3, 03Feb2021
Protocol No: C4591001
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For people taking part in Phase 2/3, the study doctor or nurse will:
Visit Number 1 2 3 4 5 6
Visit Description Study Vaccine
1Study Vaccine
21-Month Visit 6-Month Visit 12-Month Visit 24-Month Visit
Ask about Medical history as well as date of birth,
sex, race and ethnicityX
Ask about medicines your child is currently taking X X X X X X
Perform clinical assessment X
Record latest CD4 count and viral load (for HIV
positive volunteers only)X X X X X
Measure body temperature X X
Measure height and weight X
If your child is female and started her periods, she
will be asked to provide a urine sample for a
pregnancy test.X X
Ask about other vaccinations your child has had X X X X
Check your child meets all the study requirements X X
If needed, we will discuss with your child about
appropriate birth controlX X X
Collect blood sample to test antibody level sa~20 mL/
~10 mL~20 mL/
~10 mL~20mL/
~10 mL~20 mL/
~10 mL~20 mL/
~10 mL
Take a nasal swab X X
Get the study injection, followed by a 30mins
observations periodX X
Give you/your child an e-diary or help you/your
child download oneX
Vaccination e-diary completion for 7 days (if your
child is part of a chosen group to report potential
side effects daily for 7 days following vaccination)X X090177e19636e1e2\Approved\Approved On: 08-Feb-2021 11:53 (GMT)
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TMF Doc ID: 173.13 (Study); 173.07 (Country/Central); 173.23 (Site)
Sponsor Consent Version (Study) Parent, Phase 2/3, 03Feb2021
Protocol No: C4591001
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For people taking part in Phase 2/3, the study doctor or nurse will:
Visit Number 1 2 3 4 5 6
Visit Description Study Vaccine
1Study Vaccine
21-Month Visit 6-Month Visit 12-Month Visit 24-Month Visit
COVID-19 illness e-diary completion X X X X X X
Ask how your child is feeling generally X X X X X X
Abbreviations: HIV = human immunodeficiency virus; e-diary = electronic diary.
a. 20 mL is to be collected from participants ı16 years of age; 10 mL is to be collected from participants 12 to 15 years of age.090177e19636e1e2\Approved\Approved On: 08-Feb-2021 11:53 (GMT)
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Sponsor Consent Version (Study) Parent, Phase 2/3, 03Feb2021
Protocol No: C4591001
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Blood samples for antibody testing
Your child will have bl ood taken 5 times during the planned visits of the study. This will
be used to test if they already had antibodies against the coronavirus that causes
COVID-19 when they enrolled in the study and may be used to test their antibody levels
after vaccination. If your child is 16 years of age or above, about 20 mL of blood (about
4 teaspoons) will be collected from their arm using a n eedle at these visits. Alternatively,
if your child is between 12 to 15 years of age, about 10 mL of blood (about 2 teaspoons)
will be collected from their arm using a n eedle at the above specified visits.
E-Diary
At Visit 1, the study team will show you or your child how to fill in an electronic diary (or
e-Diary). Parent(s)/ legal guardian(s), as appropriate, will be required to complete the e-
diary on behalf of younger age group children, whilst children in older age group might
not require similar level of support from their parent(s)/ legal guardian(s). Therefore,
older age group children (e.g. 16 years or above) are expected to complete the e-diary
themselves.
We will either give you/ your child a device (a bit like a mobile phone) or ask to
download an application (‘app’) to smart phone if you or your child hasone. The
device/app is secure, and your child ’s confidentiality will be maintained.
There are 2 parts to the e-Diary. Everyone will n eed to complete the COVID-19 illness
part of the e-Diary on the device or app on their smartphone. The COVID-19 illness e-
Diary will prompt you/your child to record any COVID-19 symptoms (see below) every 7
days or at any time your child has COVID-19 symptoms. You or your child may also
receive text messages to the device or your /your child’s own smartphone, or emails (if
you/they provide your/their email address) to remind you/your child to complete the
COVID-19 illness part of the e-Diary.
If your child is part of a subset of participants, you/ your child will also be instructed by
the study team to complete the vaccination part of the e-Diary for 7 days after each
vaccination, once a day in the evening with the first day being the day of the
vaccination.
You/your child will be given a thermometer and a measuring device to take home. You/
your child will use the thermometer to measure temperature under the tongue and will
use the measuring device to measure any redness or swelling where the injection was
given. You/your child will n eed to record these measurements in the vaccination part of
the e-Diary.
The vaccination part of the e-Diary will also ask other questions about potential side
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CT05 -GSOP-RF04 7.0 Phase 1/2/3/4 Clinical Study Informed Consent Template (01-Jul- 2019)
TMF Doc ID: 173.13 (Study); 173.07 (Country/Central); 173.23 (Site)
Sponsor Consent Version (Study) Parent, Phase 2/3, 03Feb2021
Protocol No: C4591001
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after vaccination, you/ your child should contact your study doctor and the study doctor
or nurse may schedule an extra visit.
It is very important that you/ your child, as appropriate, complete the e-Diary regularly
as instructed. If this was not completed, your study doctor or nurse will contact you/ your
child to check how your child is doing.
Urine pregnancy test
If your child is female and has started her periods, she will be asked to provide a urine
sample to check she is not pregnant before given the study injection.
What happens if my child has positive nasal swab test result?
Nasal swabs obtained during the study (at Visits 1 and 2, and at the time of a potential
COVID-19 illness –see below) will be tested in a research laboratory. Positive results
from the Visit 1 and 2 swabs, and all results from the illness visit swabs, will be provi ded
to your study doctor, but this will take some time so you should not rely on these for
your child’s medical treatment. If your child has a positive nasal swab test result for the
coronavirus that causes COVID-19, either at Visit 1 or any time between Visit 1 and
Visit 2, but with no potential COVID-19 related symptoms, they will continue to receive
the second study vaccine as normal. However, if the positive COVID-19 test result is
accompanied by potential COVID-19 related symptoms, they will not be given the
second study vaccine but will be requested to remain in the study.
If Your Child Gets COVID-19 Symptoms
If your child gets any of the following you must contact the study doctor straight
away. Note that this is not instead of routine medical care. If your child feels
unwell enough that you would normally see a healthcare professional, please
contact your usual provider, as well as the study doctor.
xA diagnosis of COVID-19;
xFever;
xNew or increased cough;
xNew or increased shortness of breath;
xChills;
xNew or increased muscle pain;
xNew loss of taste/smell;
xSore throat;
xDiarrhea;
xVomiting.090177e19636e1e2\Approved\Approved On: 08-Feb-2021 11:53 (GMT)
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TMF Doc ID: 173.13 (Study); 173.07 (Country/Central); 173.23 (Site)
Sponsor Consent Version (Study) Parent, Phase 2/3, 03Feb2021
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The study doctor may ask you/your child to have a telephone conversation, video call or
to visit the site to talk about how they are feeling and if they have needed any other
medical care. The study team will also ask you to help your child to take a nose swab,
or the study team may take a swab to check for the coronavirus. We will give you/your
child separate instructions about how to take a nose swab and how to ship the swab to
the laboratory if needed. The result from this swab will be provided to the study doctor
once it is available, but this will take some time, and cannot be used to diagnose
COVID-19. This is why it is important that you contact your usual provider if your child
has COVID-19 symptoms and think your child needs medical care.
If your child is diagnosed with COVID-19, for the purposes of the study, the study doctor
will contact your child’s usual provider,and any facility where you child is treated, to
obtain details and collect medical records: by signing this informed consent document, you agree to this.
The study team will arrange an extra visit to the study site about a month after your child
became unwell and your child will n eed to give another 20 mL (about 4 teaspoons) or
10 mL (about 2 teaspoons) of blood sample, as appropriate, to test their antibody levels.
After the study
The study vaccine is available only during this study and not after the study is over. If
you leave the study before receiving the study vaccine, it may be available to you
through an authorized healthcare professional.
7. Are there any special instructions to follow for this study?
It is important you and your child follow all the instructions given by the study nurse or
doctor and tell them if:
xYou don’t understand anything about the st udy
xYou /your child are not able to comply with the study requirements
xThere are changes in your child’s health
xYour child takes any new medications or receive any other vaccines
xYou or your child are going away for a long period
xYour child wishes to take part in another research study
8. What are the possible risks and discomforts of this study?
Any research has some risks, which may include negative effects that could make you r
child unwell or uncomfortable and even potentially be serious or life-threatening. All
research participants taking part in the study will be watched carefully for any negative 090177e19636e1e2\Approved\Approved On: 08-Feb-2021 11:53 (GMT)
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TMF Doc ID: 173.13 (Study); 173.07 (Country/Central); 173.23 (Site)
Sponsor Consent Version (Study) Parent, Phase 2/3, 03Feb2021
Protocol No: C4591001
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effects; however, the study team does not know all the effects that the study vaccine
may have on your child.
If your child takes part in this study, the most likely risks or discomforts are discussed
below.
It is important that you/ your child report to the study team all symptoms and side
effects as soon as they occur. Phone numbers for the study team are listed in
[Section 1 ] of this consent document.
Study Vaccine Risks
Up until the end of 2020, the safety of BNT162b2 has been studied in clinical trials that have
included 21,744 people 16 yrs of age and older who have received at least one dose of the
vaccine. In addition, since the vaccine has been approved for emergency use in many
countries, about 26 million doses have been distributed.
Based on the clinical study results, and information gathered during general use, the following
risks have been determined to be caused by BNT162b2 vaccine:
Very common (occurring in more than 1 in 10 people): injection site pain, injection site swelling,
fatigue (tiredness), increased body temperature (fever, more common after the second dose),
chills, headache, joint aches, and muscle aches.
Common (between 1 in 10 and 1 in 100 people): feeling sick (nausea), and injection site
redness.
Uncommon (between 1 in 100 and 1 in 1,000 people): enlarged lymph glands, allergic reactions
(symptoms may include rash, itching, hives, and swelling of the face or lips), pain in arm, and
feeling weak or unwell.
Frequency cannot be estimated from available data: severe allergic reaction (anaphylaxis).
As in all research studies, the COVID-19 vaccine may involve risks that might be expected
based on results from studies of similar vaccines, as well as risks that are currently unknown.
Therefore, it is important that you/ your child report all symptoms and side effects that your child
experiences as soon as they occur, whether or not you think they are caused by the study
vaccine.
Due to the way in which the study vaccines are made, they cannot cause COVID-19 disease.
If my child catches COVID-19 disease, could the vaccine make it worse?
For some other vaccines tested in animals against similar viruses (but not the coronavirus that
causes COVID-19), there have been reports of the illness being more severe in the animals that 090177e19636e1e2\Approved\Approved On: 08-Feb-2021 11:53 (GMT)
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TMF Doc ID: 173.13 (Study); 173.07 (Country/Central); 173.23 (Site)
Sponsor Consent Version (Study) Parent, Phase 2/3, 03Feb2021
Protocol No: C4591001
CONFIDENTIALPage:
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received the vaccine than in those that did not. So far this has not been seen with BNT162b2. It
remains important for you/ your child to contact your child’s study doctor if your child develop
symptoms that might be caused by COVID-19 (for example, fever, cough, shortness of breath).
Placebo Risks
As the placebo injection contains salt-water and no active ingredients, the chances of
having the side effects mentioned above are less likely. In other studies, using the same
placebo, some volunteers who received the placebo injection reported pain, bruising,
swelling and redness at the site of injection.
Risks from Study Procedures
Risks and possible discomforts from the study procedures include:
xBlood samples: The risks and possible discomforts involved in taking blood
include pain from inserting the needle, or less often, swe lling, bruising, or
infection around the vein where the blood is collected. Your child may feel dizzy
or may faint. If your child has a previous history of feeling dizzy or fainting during
blood sample collection, you should talk to the study doctor.
xNasal Swabs: The risks and possible discomforts involved in taking nasal swabs
may include pain or general discomfort. Sometimes it may cause the nose to
bleed.
Pregnancy-Related Risks; Use of Birth Control
If your child is currently pregnant, plans to become pregnant, or is breastfeeding a child,
they should not join this study.
If your child is able to have children and is sexually active, they must use birth control
consistently and correctly for at least 28 days after they receive their last injection. This
applies to males as well as females who take part in the research study. The study
doctor will discuss with your child the methods of birth control that they should use while
in this research study. The study doctor will help your child select the method that is
appropriate for them. The study doctor will also check that your child understands how
to use the birth control method and may review this with them at each of their research study visits.
Birth control methods, even when used properly are not perfect. If your child or their
partner becomes pregnant during the research study, or if they want to stop their
required birth control during the research study, they should tell the study doctor
immediately. Your child may be withdrawn from the research study if they stop using
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CT05 -GSOP-RF04 7.0 Phase 1/2/3/4 Clinical Study Informed Consent Template (01-Jul- 2019)
TMF Doc ID: 173.13 (Study); 173.07 (Country/Central); 173.23 (Site)
Sponsor Consent Version (Study) Parent, Phase 2/3, 03Feb2021
Protocol No: C4591001
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Pregnancy Follow-up
If your child or their your partner become pregnant during the study, up until 6 months
after their last study injection, please tell the study doctor immediately . Please also tell
the doctor who will be taking care of your child/their partner during the pregnancy that your child took part in this study. The study doctor will ask if your child/their partner or
their pregnancy doctor is willing to provide u pdates on the progress of the pregnancy
and its outcome. If your child/their partner agree, this information will be provi ded to
BioNTech/Pfizer for safety follow-up.
9. What are possible benefits of this study?
Vaccination with BNT162b2 has been shown to be effective in preventing COVID-19 in the groups of people already studied, but not yet in the case of your child. Because of
this, and the fact that your child may receive the placebo vaccination, they st ill need to
follow local recommendations about how to avoid COVID-19 (for example, social
distancing and mask use).
10. What will happen to my child’s blood and nasal swab
samples?
Your child’s blood and nasal swab samples will be used only for scientific research.
Each sample will be l abeled with a code so that the laboratory workers testing the
samples will not know who your child is. Some of the samples may be stored for future
testing and may be kept for up to 15 years after the study ends, at which time they will
be destroyed. In addition to testing for this study, any samples left over after the study
is complete may be used for additional research related to the development of products.
No testing of your c hild’s DNA will be performed.
You may request that your child’s samples, if they can be identified, be destroyed at any
time. Any data already collected from those samples will still be used for the study. The
samples will remain the pr operty of BioNTech/Pfizer and may be shared with other
researchers as long as confidentiality is maintained, and no testing of your child’s DNA
will be performed. You and your child will not be told of additional tests, nor will you or
your child receive results of any of these tests.
11. What other choices do I have if I do not want my child to join
this study?
This study is for research purposes only. The only alternative is to not take part in this
study.
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CT05 -GSOP-RF04 7.0 Phase 1/2/3/4 Clinical Study Informed Consent Template (01-Jul- 2019)
TMF Doc ID: 173.13 (Study); 173.07 (Country/Central); 173.23 (Site)
Sponsor Consent Version (Study) Parent, Phase 2/3, 03Feb2021
Protocol No: C4591001
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For mandatory research injury language, < click here > (retain this link in the study-level
ICD). The country-specific research injury language must be included verbatim in the
country-level ICD.
13. Can I withdraw my child from the study?
Yes. You are free to withdraw your consent for your child and discontinue their
participation in the research study at any time. Your decision will not affect your or your
child’s regular medical care or any benefits to which you/your child is are entitled. Tell
the study doctor if you are thinking about stopping or decide to stop so that you r child
can end participation in the study in the safest way.
While your child is participating, the study team will tell you in a timely manner if new
information is learned during the course of the study that could change your mind about
your child continuing in this study. If you decide to withdraw your child from the study,
your child may be asked to continue to participate in the study procedures even though
they would no longer receive the study vaccine.
If your child continues with the study, information about their health will continue to be
collected as described in [ Section 6 ].
If you decide to stop your child participating in this study, you must notify the study
doctor. The study team will explain what other procedures or discussions would occur.
Sometimes the study doctor or BioNTech/Pfizer may decide to take your child out of the
study (even if you do not agree) if:
•You/your child are unable or unwilling to follow the instructions of the study team;
•The study doctor decides that the study is not in your child’s best interest or that they
are no longer eligible to participate; or
•The study is stopped by BioNTech/Pfizer, the institutional review board (IRB) or
independent ethics committee (IEC) (a group of people who review the study to
protect your rights), or by a government or regulatory agency.
The study team will give you a Privacy Supplement, which is considered part of this
consent document. It describes what happens to your child’s personal information
(including biological samples) and how it may be used if you withdraw your child from
the study.
14. What will I have to pay for if my child takes part in this study?
You will not n eed to pay for any of the study vaccines (COVID-19 Vaccine or placebo),
study-related procedures, or study visits.
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TMF Doc ID: 173.13 (Study); 173.07 (Country/Central); 173.23 (Site)
Sponsor Consent Version (Study) Parent, Phase 2/3, 03Feb2021
Protocol No: C4591001
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You will not receive any payment for your child taking part in this study. However, for
each visit you/your child completes, you will be reimbursed by the study site to cover
reasonable expenses (for example, parking, meals, travel) that you have as a result of
taking part in this study. You will be reimbursed by [enter, as applicable, method of
reimbursement; amounts; and reimbursement schedule; note whether receipts are required].
BioNTech/Pfizer may use information resulting from the study to develop products or
processes from which they may make a profit. There are no plans to pay you/your child
or provide you/your child with any products developed from this research.
BioNTech/Pfizer will own all products or processes that are devel oped using information
from the study.
16. What will happen to my child’ personal information?
<click here > for language to be inserted into this section. This text must be inserted
verbatim. Any requested changes must be approved by Clinical Development Legal. Note
that the Privacy Supplement follows this consent document, after the signature section .
17. Where can I find additional information about this study or the
study results?
A description of this clinical trial will be available on http://www.ClinicalTrials.gov, as
required by U.S. Law. This Web site will not include information that can identify your
child. At most, the Web site will include a summary of the results. You can search this
Web site at any time.
The study results, when available, may also be found on www.pfizer.com and
https://www.clinicaltrialsregister.eu/.
In addition, a plain summary of the study results will be m ade available in the EU database
at [insert link to the database]. This information will be provi ded no matter what the study’s
outcome. To the extent possible, you will be able to access these summaries in the EU
database soon after they become available using the following EU trial number for the
study: [insert trial number].
These Web sites are in English only. If you need assistance understanding these Web
sites, please ask a member of the study team.
BioNTech/Pfizer will provide the study doctor with information about the study results
when all participants have completed the study. At that time, certain of your child’s
individual study results may be given to you or your child’s doctor (if different from the
study doctor) in accordance with applicable law, but will not be given to your family, your
employer or any insurance company.090177e19636e1e2\Approved\Approved On: 08-Feb-2021 11:53 (GMT)
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CT05 -GSOP-RF04 7.0 Phase 1/2/3/4 Clinical Study Informed Consent Template (01-Jul- 2019)
TMF Doc ID: 173.13 (Study); 173.07 (Country/Central); 173.23 (Site)
Sponsor Consent Version (Study) Parent, Phase 2/3, 03Feb2021
Protocol No: C4591001
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If any exploratory research is done, it may not be possible to link any results from that
exploratory research to specific individuals, including your child. BioNTech/Pfizer does
not plan to return information from any exploratory research to you/your child, the study
doctor, or your doctor (if different from the study doctor).
18. Signatures
Agreement to Participate and to Process Data
1. I confirm I have read (or, if I cannot read, a study team member has read to me)
and understand this consent document for the study described above and have
had the opportunity to ask questions. I have had enough time to review this
consent document. I also have had an opportun ity to ask about the details of the
study and to decide whether or not to participate.
2. I have read and understand the Privacy Supplement. I understand that taking part
in the study will require the processing (including collection, use, transfer, storage,
analysis and reporting) of my child’s personal information, as explained in the
Privacy Supplement. I understand and agree to the processing of my child’s
personal information within and outside my country of residence for health care,
medical research and/or regulatory purposes.
3. I understand that taking part is voluntary and that I am free to stop my child taking
part in this study or to withdraw my consent to the processing of my child’s
personal information at any time. I do not need to give any reason and my child’s
regular medical care and legal rights will not be affected. However, even if I
withdraw my consent to processing, my child’s personal information held at that
time may be kept to comply with laws and regulations and t o maintain the integrity
of the study. I also understand that my child’s biological samples may not be able
to be destroyed because they may no longer be traceable to my child , may have
already been used, or may have been given to a third party.
4. I ag ree to the study team accessing my child’s medical history, including
information from medical records and test results and any medical treatment my
child receive during the course of the study, and if necessary, contacting my
child’s doctor or any other health care providers treating my child for access to
such information.
5. I understand that BioNTech/Pfizer and/or others working with or on behalf of
BioNTech/Pfizer, institutional review boards (IRBs) or independent ethics
committees (IECs), and regulatory agencies may need access to personal 090177e19636e1e2\Approved\Approved On: 08-Feb-2021 11:53 (GMT)
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CT05 -GSOP-RF04 7.0 Phase 1/2/3/4 Clinical Study Informed Consent Template (01-Jul- 2019)
TMF Doc ID: 173.13 (Study); 173.07 (Country/Central); 173.23 (Site)
Sponsor Consent Version (Study) Parent, Phase 2/3, 03Feb2021
Protocol No: C4591001
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information about my child generated at the study site or collected by the study
team for the study and any other research. I agree that they may have access to
mychild’s personal information.
6. I do not give up any of my child’s legal rights by signing this consent document. I
have been told that I will receive a signed and dated copy of this document.
7. I agree for my child to take part in the study described in this document.
In the section below, the term “legally acceptable representative” should be replaced with the
term required per local regulation (country-level).
As the consenting adult providing permission for this child to participate in the study, I
acknowledge that (Please check one of the following):
□ Iam the biological or adoptive parent of the child.
□ Iam the legal guardian or legally acceptable representative of the child.
[If neither option below is checked, then the consent of the second parent/guardian/legallyacceptable representative must be obtained. If there are two parents/guardians/legally acceptable
representatives available to give permission, and they disagree about allowing the child to
participate in the study, the child should not be enrolled unless that disagreement can be
resolved. ]
I also acknowledge that (Please check one of the following):
□ I have sole legal responsibility for the care and custody of the child.
□ The other adult(s) with whom I share legal responsibility for the care and custody of the
child (for example, biological parent, adoptive parent, or legal guardian or representative)
is (1) aware of and agrees with my granting permission for this child to participate in the
study OR (2) deceased, unknown, incompetent, or not reasonably available (someone is
“not reasonably available” when he/she cannot be reached by phone/mail/email because,
for example, he/she is on active military duty or is incarcerated).
_____________________________________
Printed name of parent/guardian/legally acceptable representative
________________________________________________ ______________
Signature of parent/guardian/legally acceptable representative Date of signature§090177e19636e1e2\Approved\Approved On: 08-Feb-2021 11:53 (GMT)
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CT05 -GSOP-RF04 7.0 Phase 1/2/3/4 Clinical Study Informed Consent Template (01-Jul- 2019)
TMF Doc ID: 173.13 (Study); 173.07 (Country/Central); 173.23 (Site)
Sponsor Consent Version (Study) Parent, Phase 2/3, 03Feb2021
Protocol No: C4591001
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[Include the statements and signature lines below for a second parent/guardian/legally
acceptable representative if (1) required by the IRB/IEC; (2) required by local law ( e.g.,
parents are divorced and have shared custody of the child); or (3) the second
parent/guardian/legally acceptable representative is (or would like to be) involved in
the consent process and there is reason to believe that he/she may disagree with the
decision of the first parent/guardian/legally acceptable representative.
Consent of Second Parent/Guardian /Legally Acceptable Representative:
As the consenting adult providing permission for this child to participate in the study, I
acknowledge that (Please check one of the following):
□ I am the biological or adoptive parent of the child.
□ I am the legal guardian or legally acceptable representative of the child.
_______________________________________________
Printed name of parent/guardian/legally acceptable representative
________________________________________________ ______________
Signature of parent/guardian/legally acceptable representative Date of signature§]
Person Obtaining Consent:
_____________________________________________
Printed name of person conducting the consent discussion
_____________________________________________ ______________
Signature of person conducting the consent discussion† Date of signature
§Participant/parent/guardian/legally acceptable representative must personally date their
respective signatures.090177e19636e1e2\Approved\Approved On: 08-Feb-2021 11:53 (GMT)
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CT05 -GSOP-RF04 7.0 Phase 1/2/3/4 Clinical Study Informed Consent Template (01-Jul- 2019)
TMF Doc ID: 173.13 (Study); 173.07 (Country/Central); 173.23 (Site)
Sponsor Consent Version (Study) Parent, Phase 2/3, 03Feb2021
Protocol No: C4591001
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† The investigator, or an appropriately qualified and trained person designated by the investigator
to conduct the informed consent process, must sign and date the consent document during the
same discussion when the participant’s parent/guardian/legally acceptable representative signs
the consent document.090177e19636e1e2\Approved\Approved On: 08-Feb-2021 11:53 (GMT)
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CT05 -GSOP-RF04 7.0 Phase 1/2/3/4 Clinical Study Informed Consent Template (01-Jul- 2019)
TMF Doc ID: 173.13 (Study); 173.07 (Country/Central); 173.23 (Site)
Sponsor Consent Version (Study) Parent, Phase 2/3, 03Feb2021
Protocol No: C4591001
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PRIVACY SUPPLEMENT
For mandatory country-specific data privacy language to be inserted in this Privacy
Supplement, < click here > (retain this link in the study-level ICD). The country-specific
data privacy language must be included verbatim in the country-level ICD. Any requested
changes must be approved by Clinical Development Legal.
Who will use my child’s personal information, how will they use it, and where will
it be stored?
[Mandatory study language –retain the below paragraph and delete this green text before
finalisation]
Any personal information collected about you/your child during this study will be entered
into records, including health records, maintained by the study team at your study site.
You/your child’s records that include information that directly identifiesyou/your childmay
be uploaded to secure systems maintained by a third party engaged by BioNTech/Pfizer
so that BioNTech/Pfizer and/or BioNTech/Pfizer representatives can review and verify
study data. Some of the uploaded records will be kept for XX years. The remaining
records that are uploaded will be temporary and removed from the secure system after
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ADDENDUMPage:
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Protocol Number:
C45910 01Associated ICD Version Date :
Adult and Parent ICD (03Feb2021 ) and
Older Children Assent (03Feb2021)ICD Addendum Version Date :
03Feb2021
;Study
Country
SiteLanguage: English Center ID: Not Applicable Country: Not Applicable
CT05-GSOP-RF07 3.0 Addendum ICD Template (01-Jun-2016)
CONFIDENTIAL
TMF Doc ID: 173.15 (Study); 173.09 (Country/Central); 173.24 (Site)INFORMED CONSENT ADDENDUM FOR
A PHASE 1/2/3, PLACEBO-CONTROLLED, RANDOMIZED, OBSERVER-BLIND,
DOSE-FINDING STUDY TO EVALUATE THE SAFETY, TOLERABILITY,
IMMUNOGENICITY, AND EFFICACY OF SARS-COV-2 RNA VACCINE
CANDIDATES AGAINST COVID-19 IN HEALTHY INDIVIDUALS
Protocol Number: C4591001
In this informed consent addendum, “you” always refers to the study participant. If you
are a parent/guardian/legally acceptable representative , please remember that “you”
refers to the study participant.
You have already signed a consent form to participate in the research study mentioned
above. This addendum is part of the consent procedure. It has been written to provide
you with additional information on your new schedule of study visits, tests, and
procedures and the recent update to vaccine study risks section that you will want to
know. All other information in the main consent form not addressed in this addendum
still applies.
Administration of BNT162b2 to Participants Originally Assigned to Placebo
You were asked by the study site whether you would consider receiving BNT162b2
vaccine (active study vaccine) if you received placebo during the earlier part of the
study. Since it is confirmed that you received placebo, and you have expressed
willingness to receive the BNT 162b2 vaccine, you are now being asked to read and sign
this consent document before commencing any new set of study-related procedures.
After signing this consent document, the study doctor will check if you meet all the
requirements to receive BNT162b2 vaccine. If you do not meet the requirements, you
will not be able to receive the vaccine and the study doctor will explain why this is the
case.
Once the study doctor has confirmed you meet the study requirements to receive
BNT162b2 vaccine, you will receive 2 injections, approximately 3 weeks apart. The
injection will be given into the muscle in your u pper arm and will be asked to wait at the
study site for at least 30 minutes for observation after receiving the vaccine.090177e19636e1e4\Approved\Approved On: 08-Feb-2021 11:54 (GMT)
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ADDENDUMPage:
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Protocol Number:
C45910 01Associated ICD Version Date :
Adult and Parent ICD (03Feb2021 ) and
Older Children Assent (03Feb2021)ICD Addendum Version Date :
03Feb2021
;Study
Country
SiteLanguage: English Center ID: Not Applicable Country: Not Applica ble
CT05-GSOP-RF07 3.0 Addendum ICD Template (01-Jun-2016)
CONFIDENTIAL
TMF Doc ID: 173.15 (Study); 173.09 (Country/Central); 173.24 (Site)Overview of Study Procedures and Assessments:
The table below lists the tests and procedures or assessments that you will have done
for the remaining duration of the study. In addition to the visits listed, your study doctor
may ask you to come in for extra visit(s) if necessary, to protect your well-being.
You may have blood taken once and this will be used to test if you already had
antibodies against coronavirus that causes COVID-19. About 20mL of blood (about 4
teaspoons) will be collected from your arm using a n eedle at Visit-1.
For placebo participants receiving BNT162b2, the study doctor or nurse w ill:
Visit Number 1 2 3 4 5
Visit Description BNT162b2
Vaccine 1BNT162b2
Vaccine 21-Month
Telephone
Visit6-Month
Telephone
Visit18-Month
Telephone
Visit
Obtain urine pregnancy test (if
appropriate)X X
Check contraceptives
(if appropriate)X X
Ask about medicines you are
currently takingX X X X X
Record latest CD4 count and viral
load (for HIV positive participants
only)X X X X
Check you meet all the study
requirementsX X
Collect blood sample to test
antibody levelsª~20 mL
Take a nasal swab X X
Get the study injection, followed by
a 30mins observation periodX X
COVID-19 illness e-diary
completionX X X X X
Ask how you are feeling generally X X X X
Request to return the e-diary or
assist to delete the appX
a. Only if the sample was not taken as part of the study in last 7days090177e19636e1e4\Approved\Approved On: 08-Feb-2021 11:54 (GMT)
Page 80
FDA-CBER-2021-5683-0650195
CLINICAL STUDY INFORMED CONSENT
ADDENDUMPage:
3o f 6
Protocol Number:
C45910 01Associated ICD Version Date :
Adult and Parent ICD (03Feb2021 ) and
Older Children Assent (03Feb2021)ICD Addendum Version Date :
03Feb2021
;Study
Country
SiteLanguage: English Center ID: Not Applicable Country: Not Applica ble
CT05-GSOP-RF07 3.0 Addendum ICD Template (01-Jun-2016)
CONFIDENTIAL
TMF Doc ID: 173.15 (Study); 173.09 (Country/Central); 173.24 (Site)Key Reminders
Vaccination with BNT162b2 has been shown to be effective in preventing
COVID-19 but you still n eed to follow local recommendations about how to avoid
COVID-19 (for example, social distancing and mask use).
It is also very important that you continue to complete the COVID-19 Illness e-Diary regularly as instructed. If you do not, your study doctor or nurse will contact
you to check how you are.
Study Vaccine Risks
Up until the end of 2020, the safety of BNT162b2 has been studied in clinical trials that
have included 21,744 people 16 yrs of age and older who have received at least one
dose of the vaccine. In addition, since the vaccine has been approved for emergency
use in many countries, about 26 m illion doses have been distributed.
Based on the clinical study results, and information gathered during general use, the
following risks have been determined to be caused by BNT162b2 vaccine:
Very common (occurring in more than 1 in 10 people): injection site pain, injection site
swelling, fatigue (tiredness), increased body temperature (fever, more common after the
second dose), chills, h eadache, joint aches, and muscle aches.
Common (between 1 in 10 and 1 in 100 people): feeling sick (nausea), and injection site
redness.
Uncommon (between 1 in 100 and 1 in 1,000 people): enlarged lymph glands, allergic
reactions (symptoms may include rash, itching, hives, and swelling of the face or lips),
pain in arm, and feeling weak or unwell.
Frequency cannot be estimated from available data: severe allergic reaction
(anaphylaxis).
As in all research studies, the COVID-19 vaccine may involve risks that might be
expected based on results from studies of similar vaccines, as well as risks that are
currently unknown.
Therefore, it is important that you report all symptoms and side effects that you
experience as soon as they occur, whether or not you think they are caused by the
study vaccine.090177e19636e1e4\Approved\Approved On: 08-Feb-2021 11:54 (GMT)
Page 81
FDA-CBER-2021-5683-0650196
CLINICAL STUDY INFORMED CONSENT
ADDENDUMPage:
4o f 6
Protocol Number:
C45910 01Associated ICD Version Date :
Adult and Parent ICD (03Feb2021 ) and
Older Children Assent (03Feb2021)ICD Addendum Version Date :
03Feb2021
;Study
Country
SiteLanguage: English Center ID: Not Applicable Country: Not Applica ble
CT05-GSOP-RF07 3.0 Addendum ICD Template (01-Jun-2016)
CONFIDENTIAL
TMF Doc ID: 173.15 (Study); 173.09 (Country/Central); 173.24 (Site)Due to the way in which the study vaccines are made, they cannot cause COVID-19
disease.
If I catch COVID-19 disease, could the vaccine make it worse?
For some other vaccines tested in animals against similar viruses (but not the
coronavirus that causes COVID-19), there have been reports of the illness being more
severe in the animals that received the vaccine than in those that did not. So far this has not been seen with BNT162b2. It remains important for you to contact your study doctor
if you develop symptoms that might be caused by COVID-19 (for example, fever, cough,
shortness of breath).
Please take as much time as you need to ask questions from the research study team
before agreeing to continue. If after receiving this information you agree to continue
taking part in this research study, please sign below.
SIGNATURES:
xI have read the information in this addendum to the informed consent document.
xI have had an opportunity to ask questions and all of my questions have been
answered to my satisfaction.
xI have been given enough time to decide whether or not I want to continue in the
study.
xI voluntarily agree to continue taking part in this study.
xI do not give up any of my legal rights by signing this consent document.
xI have been told that I will receive a signed and dated copy of this document.
_________________________________________
Printed name of participant
SIGNATURE LINE TO BE COMPLETED FOR AN ADULT PARTICIPANT:
_________________________________________ ______________
Signature of participant Date of signature§
SIGNATURE LINE(S) TO BE COMPLETED FOR A CHILD PARTICIPANT:
090177e19636e1e4\Approved\Approved On: 08-Feb-2021 11:54 (GMT)
Page 82
FDA-CBER-2021-5683-0650197
CLINICAL STUDY INFORMED CONSENT
ADDENDUMPage:
5o f 6
Protocol Number:
C45910 01Associated ICD Version Date :
Adult and Parent ICD (03Feb2021 ) and
Older Children Assent (03Feb2021)ICD Addendum Version Date :
03Feb2021
;Study
Country
SiteLanguage: English Center ID: Not Applicable Country: Not Applica ble
CT05-GSOP-RF07 3.0 Addendum ICD Template (01-Jun-2016)
CONFIDENTIAL
TMF Doc ID: 173.15 (Study); 173.09 (Country/Central); 173.24 (Site)As the consenting adult providing permission for this child to participate in the study, I
acknowledge that (Please check one of the following):
□ Iam the biological or adoptive parent of the child.
□ Iam the legal guardian or legally acceptable representative of the child.
I also acknowledge that (Please check one of the following):
□ I have sole legal responsibility for the care and custody of the child.
□ The other adult(s) with whom I share legal responsib ility for the care and
custody of the child (for example, biological parent, adoptive parent, or legal guardian or representative) is (1) aware of and agrees with my granting
permission for this child to participate in the study OR (2) deceased, unknown,
incompetent, or not reasonably available (some one is “not reasonably available”
when he/she cannot be reached by phone/mail/email because, for example,
he/she is on active military duty or is incarcerated).
___________________________________________________________
Printed Name of Parent / Guardian / Legally Acceptable Representative
_____________________________________________________ __________
Signature of Parent / Guardian / Legally Acceptable Representative Date of signature
§
Consent of Second Parent/Guardian/L egally Acceptable Representative:
As the consenting adult providing permission for this child to participate in the study, I
acknowledge that (Please check one of the following):
□ I am the biological or adoptive parent of the child.
□ I am the legal guardian or legally acceptable representative of the child.
_____________________________________ ___________________________
Printed Name of Parent / Guardian / Relationship to study participant
Legally Acceptable Representative
_________________________________________ ______________
Signature of Parent / Guardian / Date of signature§
Legally Acceptable Representative090177e19636e1e4\Approved\Approved On: 08-Feb-2021 11:54 (GMT)
Page 83
FDA-CBER-2021-5683-0650198
CLINICAL STUDY INFORMED CONSENT
ADDENDUMPage:
6o f 6
Protocol Number:
C45910 01Associated ICD Version Date :
Adult and Parent ICD (03Feb2021 ) and
Older Children Assent (03Feb2021)ICD Addendum Version Date :
03Feb2021
;Study
Country
SiteLanguage: English Center ID: Not Applicable Country: Not Applica ble
CT05-GSOP-RF07 3.0 Addendum ICD Template (01-Jun-2016)
CONFIDENTIAL
TMF Doc ID: 173.15 (Study); 173.09 (Country/Central); 173.24 (Site)If local IRB/IEC permits assent of older children to be obtained by the co-
signature, include appropriate signature line.
_____________________________________________ _____________
Signature of Child Date of signature§
_________________________________________
Printed name of legally acceptable representative
and relationship
___________________________________________________ ______________
Signature of legally acceptable representative Date of signature§
PERSON OBTAINING CONSENT
____________________________________
Printed Name of the Person Conducting the
Consent Discussion
_____________________________________ ______________
Signature of the Person Conducting the Date of signature
Consent Discussion†
§Participant/parent/guardian/legally acceptable representative must personally date their
signature
†The investigator, or an appropriately qualified and trained person designated by the
investigator to conduct the informed consent process, must sign and date the consent
document during the same interview when the participant/parent/guardian/legally
acceptable representative signs the addendum.090177e19636e1e4\Approved\Approved On: 08-Feb-2021 11:54 (GMT)
Page 84
FDA-CBER-2021-5683-0650199
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090177e1959376fd\A pproved\A pproved On: 20-Nov-2020 13:19 (GMT )
Page 85
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Page 87
FDA-CBER-2021-5683-0650202
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Page 88
FDA-CBER-2021-5683-0650203
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dƌŝĂůDĂŶĂŐĞƌtĞďƐŝƚĞhZ>͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ϰ
ϭ ^ŝŐŶĂŶƚ,ĞĂůƚŚKǀĞƌǀŝĞǁ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ϵ
Ϯ ,ĞůƉĚĞƐŬ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ϭϬ
Ϯ͘ϭ ,ĞůƉĚĞƐŬKƉĞƌĂƚŝŶŐ,ŽƵƌƐ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘͘͘͘͘͘͘͘͘͘͘͘͘͘ϭϬ
Ϯ͘Ϯ ,ĞůƉĚĞƐŬdĞůĞƉŚŽŶĞEƵŵďĞƌƐ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘͘͘͘͘͘͘͘͘͘ϭϬ
Ϯ͘ϯ ,ĞůƉĚĞƐŬ ŵĂŝůĚĚƌĞƐƐ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ϭϭ
,ĞůƉĚĞƐŬtĞďŚĂƚǀŝĂdƌŝĂůDĂŶĂŐĞƌ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ϭϭ
WƌŽǀŝĚŝŶŐĨĞĞĚďĂĐŬĂďŽƵƚ,ĞůƉĚĞƐŬƉĞƌĨŽƌŵĂŶĐĞ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘͘͘͘͘͘͘ϭϱ
ϯ ƋƵŝƉŵĞŶƚ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ϭϳ
ϯ͘ϭ ^ƵƉƉůŝĞƐĨŽƌƉĂƌƚŝĐŝƉĂŶƚ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ϭϳ
ϯ͘Ϯ WƌŽǀŝƐŝŽŶĞĚĞǀŝĐĞĂƐŝĐƐ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ϭϳ
ϯ͘ϯ ,ŽǁƚŽƚƵƌŶŽŶƚŚĞWƌŽǀŝƐŝŽŶĞĚĚĞǀŝĐĞ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘͘͘͘͘͘͘͘ϭϴ
ϯ͘ϰ ,ŽǁƚŽĐŚĂƌŐĞƚŚĞWƌŽǀŝƐŝŽŶĞĚĞǀŝĐĞ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘͘͘͘͘͘͘͘ϭϴ
ϯ͘ϱ ĞǀŝĐĞEĂǀŝŐĂƚŝŽŶ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ϭϵϯ͘ϲ ĚĚŝƚŝŽŶĂů^ŝƚĞ^ƵƉƉůŝĞƐ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ϭϵ
ϰ dƌŝĂůDĂŶĂŐĞƌ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ϮϬ
ϰ͘ϭ &ƵŶĐƚŝŽŶƐŽĨdƌŝĂůDĂŶĂŐĞƌ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ϮϬ
ϰ͘Ϯ ĐĐĞƐƐŝŶŐƚŚĞdƌŝĂůDĂŶĂŐĞƌǁĞďƐŝƚĞ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘͘͘͘͘͘͘͘͘Ϯϭ
ϰ͘Ϯ͘ϭ ,ŽǁƚŽĐŚĂŶŐĞLJŽƵƌdƌŝĂůDĂŶĂŐĞƌƉĂƐƐǁŽƌĚ͘͘͘͘͘͘͘͘͘͘͘͘ϮϮ
ϰ͘Ϯ͘Ϯ ,ŽǁƚŽZĞƐĞƚLJŽƵƌdƌŝĂůDĂŶĂŐĞƌWĂƐƐǁŽƌĚ ͘͘͘͘͘͘͘͘͘͘͘͘͘͘Ϯϯ
ϰ͘Ϯ͘ϯ ,ŽǁƚŽƌĞƋƵĞƐƚdƌŝĂůDĂŶĂŐĞƌĂĐĐĞƐƐĨŽƌŶĞǁƚĞĂŵ
ŵĞŵďĞƌƐϮϱ090177e1959376fd\A pproved\A pproved On: 20-Nov-2020 13:19 (GMT )
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ϲͬϴϱϰ͘ϯ ,ŽǁƚŽŶĂǀŝŐĂƚĞƚŚĞdƌŝĂůDĂŶĂŐĞƌǁĞďƐŝƚĞ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘͘͘͘Ϯϱ
ϰ͘ϯ͘ϭ DĂŝŶWĂŐĞdĂď͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘Ϯϲ
ϰ͘ϰ ĚĚĂŶĞǁƉĂƌƚŝĐŝƉĂŶƚ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘Ϯϴ
ϰ͘ϰ͘ϭ WĂƌƚŝĐŝƉĂŶƚĞƚĂŝůƐĂƌĚ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘Ϯϴ
ϰ͘ϰ͘Ϯ ĂƚĂ/ƚĞŵƵĚŝƚdƌĂŝůƐ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘͘͘͘͘͘͘͘͘͘͘͘͘͘Ϯϵ
ϰ͘ϱ ZĞƉŽƌƚƐdĂď͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ϯϬ
ϰ͘ϲ ,ŽǁdŽZĞǀŝĞǁZĞƉŽƌƚƐ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ϯϮ
ϰ͘ϲ͘ϭ ZĞƉŽƌƚƐhƐĞƌ'ƵŝĚĞ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘͘͘͘͘͘͘͘͘͘͘͘͘ϯϯ
ϰ͘ϲ͘Ϯ ,ŝŶƚƐĂŶĚdŝƉƐĨŽƌsŝĞǁŝŶŐZĞƉŽƌƚƐ ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘͘͘͘͘ϯϰ
ϰ͘ϳ ϰϱϵϭϬϬϭͲWŽƐƚͲϭϮͲ:ƵůLJͲϮϬϮϬƵƐƚŽŵƌĞƉŽƌƚƐ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘͘ϯϴ
ϰ͘ϳ͘ϭ ĂƚĂ^ƵŵŵĂƌLJZĞƉŽƌƚ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘͘͘͘͘͘͘͘͘͘ϯϴ
ϰ͘ϳ͘Ϯ ^ĞǀĞƌĞZĞĂĐƚŝŽŶƐZĞƋƵŝƌŝŶŐŽŶƚĂĐƚZĞƉŽƌƚ͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ϯϵ
ϰ͘ϳ͘ϯ sĂĐĐŝŶĂƚŝŽŶŝĂƌLJŽŵƉůŝĂŶĐĞZĞƉŽƌƚ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘͘ϰϬ
ϰ͘ϳ͘ϰ ^LJŵƉƚŽŵƐĂƐŚďŽĂƌĚZĞƉŽƌƚ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘͘͘͘ϰϭ
ϰ͘ϳ͘ϱ /ůůŶĞƐƐŝĂƌLJZĞƉŽƌƚ ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ϰϮ
ϰ͘ϳ͘ϲ EŽŶͲĐŽŵƉůŝĂŶƚWĂƌƚŝĐŝƉĂŶƚ/ůůŶĞƐƐŝĂƌLJŽŶƚĂĐƚZĞƉŽƌƚ
ϰϯ
ϱ d>Z/&/d/KE&KZD;&Ϳ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘͘͘͘͘͘͘͘͘͘͘͘͘ϰϰ
ϱ͘ϭ tŚĂƚŝƐĂ&͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ϰϰ
ϱ͘Ϯ dLJƉĞƐŽĨĚĂƚĂĐŚĂŶŐĞƐĂůůŽǁĞĚ͗͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ϰϰ
ϱ͘ϯ tŚĞƌĞƚŽĐƌĞĂƚĞ&ƐŝŶdƌŝĂůDĂŶĂŐĞƌ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘͘͘͘͘͘͘ϰϱ
ϱ͘ϰ ,ŽǁƚŽĐƌĞĂƚĞĂ&͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ϰϱ
ϱ͘ϱ ƉƉƌŽǀĂůŽĨ&Ɛ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ϱϬ
tŚĞŶƚŽĂƉƉƌŽǀĞ&Ɛ ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ϱϬ
,ŽǁƚŽƉƉƌŽǀĞ&Ɛ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ϱϬ
ϱ͘ϲ ĚĚŝŶŐĚĚŝƚŝŽŶĂů/ŶĨŽƌŵĂƚŝŽŶƚŽ&Ɛ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘͘͘͘͘͘͘͘ϱϯ090177e1959376fd\A pproved\A pproved On: 20-Nov-2020 13:19 (GMT )
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ϳͬϴϱ,ŽǁƚŽŶƐǁĞƌŽŵŵĞŶƚƐ͗tĂŝƚŝŶŐĨŽƌ/ŶĨŽƌŵĂƚŝŽŶ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘ϱϯ
,ŽǁƚŽDŽĚŝĨLJ&Ɛ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ϱϱ
,ŽǁƚŽĂŶĐĞůͬĞŶLJ&Ɛ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ϱϱ
ϱ͘ϳ sŝĞǁŝŶŐ&ŽŵŵĞŶƚĂŶĚĐƚŝŽŶ,ŝƐƚŽƌLJ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘͘͘ϱϲ
ϱ͘ϴ &dŝŵĞůŝŶĞƐĂŶĚdŝƉƐĨŽƌ^ƵĐĐĞƐƐ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘͘͘͘͘͘͘͘͘͘͘ϱϴ
&dŝŵĞůŝŶĞƐ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ϱϴ
dŝƉƐĨŽƌ^ƵĐĐĞƐƐ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ϱϴ
ϲ ^ĞƚƚŝŶŐƵƉ^D^ŶŽƚŝĨŝĐĂƚŝŽŶƐ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ϱϵ
ϳ ,ŽǁƚŽƐĞƚƵƉĂƉĂƌƚŝĐŝƉĂŶƚŝŶdƌŝĂůDĂŶĂŐĞƌ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘͘͘͘͘͘͘͘͘͘͘͘ϲϬ
ϳ͘ϭ ,ŽǁƚŽĐƚŝǀĂƚĞƚŚĞƉƉ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ϲϰ
ϳ͘ϭ͘ϭ ,ŽǁƚŽƐĞƚƵƉtŝ&ŝŽŶƚŚĞWƌŽǀŝƐŝŽŶĞĚĞǀŝĐĞ͘͘͘͘͘͘͘͘͘͘͘ϲϱ
ϳ͘ϭ͘Ϯ /ŶƐƚƌƵĐƚŝŽŶƐĨŽƌƌĞƵƐŝŶŐƚŚĞWƌŽǀŝƐŝŽŶĞĚĞǀŝĐĞ͘͘͘͘͘͘͘͘ ϲϱ
ϳ͘Ϯ ^ĞůĞĐƚŝŶŐĂdƌŝĂůDĂdžƉƉW/E͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘͘͘͘͘͘͘͘͘͘͘͘͘͘ϲϴ
ϳ͘ϯ >ŽŐŐŝŶŐ/ŶΘ^ĞƚƚŝŶŐ^ĞĐƵƌŝƚLJYƵĞƐƚŝŽŶ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘͘͘͘͘͘͘͘͘ϲϵ
ϳ͘ϰ dƌĂŝŶŝŶŐŽŶƚŚĞdƌŝĂůDĂdžƉƉ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘͘͘͘͘͘͘͘͘͘͘͘͘͘ϳϬ
ϳ͘ϱ ^ŽĨƚǁĂƌĞhƉĚĂƚĞƐ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ϳϭ
ϴ DĂŶĂŐŝŶŐWĂƌƚŝĐŝƉĂŶƚƐŝŶdƌŝĂůDĂŶĂŐĞƌ ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘͘͘͘͘͘͘͘͘͘͘͘͘ϳϭ
ϴ͘ϭ WĂƌƚŝĐŝƉĂŶƚĂƌĚ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ϳϭ
ϴ͘Ϯ ĐƚŝǀĂƚŝŶŐĂŶĞǁƉƉĨŽƌĂŶ džŝƐƚŝŶŐWĂƌƚŝĐŝƉĂŶƚ͘͘͘͘͘͘͘͘͘͘ ͘͘͘͘͘ϳϮ
ϴ͘ϯ DĂŶĂŐĞŵĞŶƚƚĂď͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ϳϰ
ϴ͘ϯ͘ϭ ĐƚŝǀĂƚŝŶŐĂEĞǁsĂĐĐŝŶĂƚŝŽŶ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘͘͘͘͘͘͘͘ϳϱ
ϴ͘ϯ͘Ϯ ŚĂŶŐŝŶŐŝĂƌLJZĞŵŝŶĚĞƌdŝŵĞ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘͘͘͘͘ϳϲ
ϴ͘ϰ ĞĂĐƚŝǀĂƚŝŶŐĂWĂƌƚŝĐŝƉĂŶƚĨƌŽŵƚŚĞ^ƚƵĚLJ ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘͘͘͘͘͘͘ϳϳ
ϴ͘ϱ EŽŶͲĐŽŵƉůŝĂŶĐĞWĂƌƚŝĐŝƉĂŶƚŚĞĐŬͲŝŶ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘͘͘͘͘͘͘͘ϳϴ
ϴ͘ϲ WĂƌƚŝĐŝƉĂŶƚdƌĂǀĞů͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ϳϵ090177e1959376fd\A pproved\A pproved On: 20-Nov-2020 13:19 (GMT )
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ϴͬϴϱϵ ,ŽǁƚŽZĞƋƵĞƐƚĚĚŝƚŝŽŶĂů^ƵƉƉůŝĞƐ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ϴϬ
ϭϬ ,ŽǁƚŽƌĞƚƵƌŶƚŚĞƉƌŽǀŝƐŝŽŶĞĚĚĞǀŝĐĞƐ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ϴϬ
ϭϭ &ƌĞƋƵĞŶƚůLJƐŬĞĚYƵĞƐƚŝŽŶƐ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ϴϭ
ϭϮ WW E/y͗h^>K'/^d/^ s/ Z dhZE^͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘͘͘͘͘͘͘ϴϰ
ϭϯ WW E/y͗h<>K'/^d/^ s/ Z dhZE^͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘͘ ͘͘͘͘͘͘͘ϴϱ090177e1959376fd\A pproved\A pproved On: 20-Nov-2020 13:19 (GMT )
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ϵͬϴϱϭ ^ŝŐŶĂŶƚ,ĞĂůƚŚKǀĞƌǀŝĞǁ
^ŝŐŶĂŶƚ,ĞĂůƚŚŝƐƚŚĞƉƌŽǀŝĚĞƌŽĨƚŚĞ ĞK;ĞůĞĐƚƌŽŶŝĐůŝŶŝĐĂů
KƵƚĐŽŵĞƐƐĞƐƐŵĞŶƚͿƐLJƐƚĞŵĨŽƌƚŚŝƐƐƚƵĚLJ͘dŚĞĞKƐLJƐƚĞŵ
ĐŽŵƉƌŝƐĞƐƚŚĞĐŽŵƉŽŶĞŶƚƐĂƐĚŝƐƉůĂLJĞĚďĞůŽǁ͕ĂůŽŶŐǁŝƚŚϮϰͬϳ
,ĞůƉĚĞƐŬƐƵƉƉŽƌƚ͘dƌŝĂůDĂdžƉƉŝƐƚŚĞďƌĂŶĚŶĂŵĞ͕ďƵƚǁĞǁŝůůƌ ĞĨĞƌ
ƚŽŝƚƐŝŵƉůLJĂƐƚŚĞ͞ƉƉ͘͟
ĂƚĂĞŶƚĞƌĞĚďLJ
WĂƌƚŝĐŝƉĂŶƚ ŝŶƚŽ
ƚŚĞƉƉĂƚĂƐĞŶƚĨƌŽŵ
ƉƉƚŽ^ŝŐŶĂŶƚ
,ĞĂůƚŚƐĞƌǀĞƌƐĂƚĂĂǀĂŝůĂďůĞĨŽƌƐŝƚĞƐ͕
ŵŽŶŝƚŽƌƐĂŶĚƐƚƵĚLJƚ ĞĂŵ
ŝŶǁĞďƉŽƌƚĂůĂŶĚ
dƌŝĂůDĂŶĂŐĞƌ
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ϭϬͬϴϱϮ ,ĞůƉĚĞƐŬ
zŽƵ ŵĂLJ ĐĂůů ƚŚĞ ,ĞůƉĚĞƐŬ ĨŽƌ ĂŶLJ ŝƐƐƵĞ ƌĞůĂƚĞĚ ƚŽ ƚŚĞ dƌŝĂůDĂdž ƉƉ͕
ŽƌdƌŝĂůDĂŶĂŐĞƌǁĞďƐŝƚĞ͘
WůĞĂƐĞŚĂǀĞƚŚĞĨŽůůŽǁŝŶŐŝŶĨŽƌŵĂƚŝŽŶƌĞĂĚLJ ǁŚĞŶLJŽƵĐĂůů͗
xdŚĞƐƚƵĚLJƉƌŽƚŽĐŽůŶƵŵďĞƌ͗ ϰϱϵϭϬϬϭͲWŽƐƚͲϭϮͲ:ƵůLJͲϮϬϮϬ
x,ĞůƉĚĞƐŬWƌŝŽƌŝƚLJW/E͗ ϭϵ
x^ŝŐŶĂŶƚ,ĞĂůƚŚƉƌŽũĞĐƚĐŽĚĞ͗ ͲϭϰϮϲͲϬϬϴϲ
xzŽƵƌƐŝƚĞŶƵŵďĞƌ
xdŚĞƉĂƌƚŝĐŝƉĂŶƚŶƵŵďĞƌ;ŝĨĂƉƉůŝĐĂďůĞͿ
xdŚĞƐƉĞĐŝĨŝĐƉƌŽďůĞŵ
Ϯ͘ϭ ,ĞůƉĚĞƐŬKƉĞƌĂƚŝŶŐ,ŽƵƌƐ
dŚĞ,ĞůƉĚĞƐŬŝƐĂǀĂŝůĂďůĞϮϰŚŽƵƌƐĂĚĂLJ͕ϯϲϱĚĂLJƐĂLJĞĂƌ͘
/ĨLJŽƵĂƌĞƵŶĂďůĞƚŽƌĞĂĐŚĂŶĂŐĞŶƚǁŚĞŶLJŽƵĐĂůů͕LJŽƵĐĂŶĂůƐŽ ůĞĂǀĞĂ
ǀŽŝĐĞŵĂŝů Žƌ ƐĞŶĚ ĂŶ ĞŵĂŝů ŐŝǀŝŶŐ LJŽƵƌ ĐŽŶƚĂĐƚ ŝŶĨŽƌŵĂƚŝŽŶ͘ dŚĞ
,ĞůƉĚĞƐŬ ǁŝůů ĐŽŶƚĂĐƚ LJŽƵ ĂƐ ƐŽŽŶ ĂƐ ƉŽƐƐŝďůĞ͕ Ăƚ ƚŚĞ ůĂƚĞƐƚ ďLJ ŶĞdžƚ
ďƵƐŝŶĞƐƐĚĂLJ͘
Ϯ͘Ϯ ,ĞůƉĚĞƐŬdĞůĞƉŚŽŶĞEƵŵďĞƌƐ
ŽƵŶƚƌLJ EƵŵďĞƌ
h^ ;ϭͿϴϲϲϰϬϮϭϭϱϰ
,ĞůƉĚĞƐŬWƌŝŽƌŝƚLJŽĚĞ ϭϵ
EŽ
ƚĞ͗dŽůů&ƌĞĞŶƵŵďĞƌƐĂƌĞĨƌĞĞĨƌŽŵĂůĂŶĚůŝŶĞ͖ŚŽǁĞǀĞƌůŽĐĂů
ŽƉĞƌĂƚŽƌĐŚĂƌŐĞƐŵŝŐŚƚďĞĂƉƉůŝĞĚŝĨĐĂůůŝŶŐĨƌŽŵĂŵŽďŝůĞƉŚŽŶ Ğ͘
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ϭϭͬϴϱϮ͘ϯ ,ĞůƉĚĞƐŬ ŵĂŝůĚĚƌĞƐƐ
&ŽƌŶŽŶͲƵƌŐĞŶƚŝƐƐƵĞƐ͕LJŽƵĐĂŶĐŽŶƚĂĐƚƚŚĞ,ĞůƉĚĞƐŬďLJĞŵĂŝů͗
ϰϱϵϭϬϬϭͲWŽƐƚͲϭϮͲ:ƵůLJͲϮϬϮϬͺdDΛƐƵƉƉŽƌƚ͘ƐŝŐŶĂŶƚŚĞĂůƚŚ͘ĐŽŵ
EŽƚĞ͗ŽŶŽƚƐŚĂƌĞƚŚŝƐĞŵĂŝůĂĚĚƌĞƐƐǁŝƚŚƉĂƌƚŝĐŝƉĂŶƚ͘dŚĞ
ƉĂƌƚŝĐŝƉĂŶƚ͛ƐŝĚĞŶƚŝƚLJŵŝŐŚƚďĞƵŶŝŶƚĞŶƚŝŽŶĂůůLJƌĞǀĞĂůĞĚĚƵƌŝŶŐ
ĐŽŵŵƵŶŝĐĂƚŝŽŶǀŝĂĞŵĂŝů͘
,ĞůƉĚĞƐŬtĞďŚĂƚǀŝĂdƌŝĂůDĂŶĂŐĞƌ
dŚĞ,ĞůƉĚĞƐŬtĞďͲĐŚĂƚŝƐĂǀĂŝůĂďůĞǀŝĂƚŚĞdƌŝĂůDĂŶĂŐĞƌWŽƌƚĂů͘
,ĞůƉĚĞƐŬtĞďͲĐŚĂƚĐĂŶďĞĂĐĐĞƐƐĞĚǀŝĂƚŚĞƐƚĞƉƐďĞůŽǁ͗
ϭͿ WůĞĂƐĞĐůŝĐŬƚŚĞ,ĞůƉĞƐŬďƵƚƚŽŶŝŶƚŚĞƵƉƉĞƌƌŝŐŚƚĐŽƌŶĞƌŽ ĨLJŽƵƌ
ƐĐƌĞĞŶ͘
ϮͿ zŽƵǁŝůůƐĞĞĂǁĞůĐŽŵĞƉĂŐĞǁŚĞƌĞĂůůƚŚĞƚĞdžƚƐŚŝŐŚůŝŐŚƚĞĚŝ ŶƌĞĚ
ǁŝůůďĞƉƌĞͲĨŝůůĞĚ͘
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ϭϮͬϴϱϯͿ zŽƵĐĂŶŽƉĞŶƚŚĞǁĞďͲĐŚĂƚ͕ĂǀĂŝůĂďůĞŝŶϲϬнůĂŶŐƵĂŐĞƐ͕ďLJĐůŝ ĐŬŝŶŐ
ƚŚĞďůƵĞǁŝĚŐĞƚŝŶƚŚĞůŽǁĞƌůĞĨƚĐŽƌŶĞƌŽĨƚŚĞƐĐƌĞĞŶƚŽƐƚĂƌƚ LJŽƵƌ
ůŝǀĞĐŚĂƚǁŝƚŚŽŶĞŽĨŽƵƌ^ƵƉƉŽƌƚŐĞŶƚƐ͘
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ϭϯͬϴϱϰͿ KŶĐĞ LJŽƵ ĐůŝĐŬ ŽŶ ƚŚŝƐ ǁŝĚŐĞƚ͕ LJŽƵ ǁŝůů ďĞ ĂďůĞ ƚŽ ƐĞůĞĐƚ LJŽƵ ƌ
ƉƌĞĨĞƌƌĞĚůĂŶŐƵĂŐĞĨƌŽŵƚŚĞĚƌŽƉͲĚŽǁŶŵĞŶƵ͘
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ϭϰͬϴϱϱͿ ĨƚĞƌ ƐĞůĞĐƚŝŶŐ LJŽƵƌ ůĂŶŐƵĂŐĞ͕ LJŽƵ ǁŝůů ŶĞĞĚ ƚŽ ĐŽŵƉůĞƚĞ ƚŚĞ
ŶĞĐĞƐƐĂƌLJŝŶĨŽƌŵĂƚŝŽŶŝŶ ƚŚĞ ďĞůŽǁƐĐƌĞĞŶ ĂŶĚĐůŝĐŬƚŚĞŽŶƚŝŶƵ Ğ
ďƵƚƚŽŶ͕ ƚŚĞŶ LJŽƵ ǁŝůů ďĞ ĐŽŶŶĞĐƚĞĚ ƚŽ ƚŚĞ ŶĞdžƚ ĂǀĂŝůĂďůĞ ƐƵƉƉŽƌ ƚ
ĂŐĞŶƚ͘
&ŝĞůĚƐǁŝƚŚĂŶĂƐƚĞƌŝƐŬ;ΎͿĂƌĞƌĞƋƵŝƌĞĚ͘
KŶĐĞ LJŽƵ ĐůŝĐŬ ŽŶ ͞ŽŶƚŝŶƵĞ͕͟ LJŽƵ ǁŝůů ďĞ ĐŽŶŶĞĐƚĞĚ ƚŽ ƚŚĞ ^ŝŐŶ ĂŶƚ
,ĞĂůƚŚ,ĞůƉĚĞƐŬƐƉĞĐŝĂůŝƐƚ͕ǁŚŽǁŝůůĚŝƐĐƵƐƐLJŽƵƌŝƐƐƵĞǁŝƚŚLJŽ Ƶ͘
WůĞĂƐĞŶŽƚĞƚŚĂƚŝĨĂƚĞůĞƉŚŽŶĞĐĂůůŚĂƐĂůƌĞĂĚLJďĞĞŶƉůĂĐĞĚŵĂ ŬĞƐƵƌĞ
ƚŚĂƚ LJŽƵ ĞŶƚĞƌ ƚŚĞ dŝĐŬĞƚ EƵŵďĞƌ LJŽƵ ƌĞĐĞŝǀĞĚ ĨƌŽŵ LJŽƵƌ ƚĞůĞƉŚŽ ŶĞ
ĐĂůůŝŶƚŽƚŚĞǁĞďĐŚĂƚƚŽĞŶƐƵƌĞƚŚĞďĂĐŬŐƌŽƵŶĚŝŶĨŽƌŵĂƚŝŽŶŝƐ ůŝŶŬĞĚ͘
/Ĩ ƚŚĞ ƚŝĐŬĞƚ ŶƵŵďĞƌ ŝƐ ŶŽƚ ĞŶƚĞƌĞĚ͕ ŝƚ ǁŝůů ďĞ ĐŽƵŶƚĞĚ ĂƐ Ϯ ƐĞ ƉĂƌĂƚĞ
ĐĂůůƐ͘
zŽƵƌ&ŝƌƐƚŶĂŵĞ
zŽƵƌ>ĂƐƚŶĂŵĞ
zŽƵƌĞŵĂŝůĂĚĚƌĞƐƐ
dLJƉĞŝŶ^ŝŐŶĂŶƚ,ĞĂůƚŚ
^ƚƵĚLJŽĚĞ;ͲϭϰϮϲͲ
ϬϬϴϲͿ
dLJƉĞŝŶLJŽƵƌ^ŝƚĞŶƵŵďĞƌ
WĂƌƚŝĐŝƉĂŶƚEƵŵďĞƌ;ŝĨĂƉƉůŝĐĂďůĞͿ
ĞǀŝĐĞ/
dŝĐŬĞƚEƵŵďĞƌ;ŝĨLJŽƵ
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ϭϱͬϴϱWƌŽǀŝĚŝŶŐĨĞĞĚďĂĐŬĂďŽƵƚ,ĞůƉĚĞƐŬƉĞƌĨŽƌŵĂŶĐĞ
ĂĐŚƚŝŵĞLJŽƵƌĞƋƵĞƐƚƐƵƉƉŽƌƚĨƌŽŵƚŚĞ,ĞůƉĚĞƐŬ͕LJŽƵĐĂŶƌĂƚĞƚŚĞ
ůĞǀĞůŽĨLJŽƵƌƐĂƚŝƐĨĂĐƚŝŽŶĨƌŽŵƚŚĞƉƌŽǀŝĚĞĚƐĞƌǀŝĐĞ͘dŚŝƐŝƐŝ ŵƉŽƌƚĂŶƚ͕
ĂƐŝƚŚĞůƉƐƵƐĐŽŶƚŝŶƵŽƵƐůLJŝŵƉƌŽǀĞƚŽĞdžĐĞĞĚLJŽƵƌĞdžƉĞĐƚĂƚŝŽŶƐ ͘
zŽƵĐĂŶƉƌŽǀŝĚĞƚŚĞĨ ĞĞĚďĂĐŬŝŶϮǁĂLJƐ͗
x ĂĐŚƚŝŵĞLJŽƵŚĂǀĞƐƉŽŬĞŶƚŽƚŚĞ,ĞůƉĚĞƐŬŽŶƚŚĞƉŚŽŶĞ
LJŽƵĐĂŶƌĞŵĂŝŶŽŶƚŚĞůŝŶĞĂŶĚƌĂƚĞLJŽƵƌĞdžƉĞƌŝĞŶĐĞŽŶƚŚĞ
ƐĐĂůĞϬƚŽϱ͕ǁŚĞƌĞϱŝƐĂǁĞƐŽŵĞĂŶĚϬƉŽŽƌ͘
xtŚĞŶLJŽƵƌƌĞƋƵĞƐƚŚĂƐďĞĞŶĐŽŵƉůĞƚĞĚ͕LJŽƵǁŝůůƌĞĐĞŝǀĞĂŶ
ĞŵĂŝů͕ĞŶĂďůŝŶŐLJŽƵƚŽĞǀĂůƵĂƚĞƚŚĞƐĞƌǀŝĐĞŽƌƌĞũĞĐƚƚŚĞƌĞƐŽůƵƚŝŽŶŽĨƚŚĞŝŶĐŝĚĞŶƚ͘
dŽƉƌŽǀŝĚĞĨĞĞĚďĂĐŬ͕LJŽƵǁŽƵůĚĐůŝĐŬŽŶĞŽĨƚŚĞŶƵŵďĞƌĞĚďŽdžĞƐ ;ϬͲ
ϭϬͿ͕ǁŚĞƌĞϬŵĞĂŶƐƉŽŽƌĂŶĚϭϬĂǁĞƐŽŵĞ͘^ĞůĞĐƚŝŶŐĂŶLJƌĂƚŝŶŐǁŝ ůů
ƚĂŬĞLJŽƵƚŽĂĨŽƌŵ͕ǁŚĞƌĞĂĚĚŝƚŝŽŶĂůŝŶĨŽƌŵĂƚŝŽŶĐĂŶďĞƉƌŽǀŝĚĞ Ě͘
dŚĞĨŽƌŵŝƐĂďŝƚůŽŶŐĞƌǁŚĞŶLJŽƵƵƐĞŝƚƚŚĞĨŝƌƐƚƚŝŵĞĂŶĚǁŝů ůďĞ
ƐŚŽƌƚĞƌǁŝƚŚĞǀĞƌLJĨƵƌƚŚĞƌƵƐĞ;/dƉƌŽĨŝůĞŝŶĨŽƌŵĂƚŝŽŶŶĞĞĚƐŽŶ ůLJƚŽ
ďĞƉƌŽǀŝĚĞĚŽŶĐĞͿ͘
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ϭϲͬϴϱ ǀĂůƵĂƚŝŽŶĨŽƌŵϭƐƚƵƐĞ ǀĂůƵĂƚŝŽŶĨŽƌŵĐŽŶƐĞĐƵƚŝǀĞ
ƵƐĞƐ
W
ůĞĂƐĞƌĞŵĞŵďĞƌƚŚĂƚŽŶůLJϵĂŶĚϭϬŵĞĂŶƉŽƐŝƚŝǀĞĨĞĞĚďĂĐŬ͕ϳͲϴ
ĂǀĞƌĂŐĞ͕ϲĂŶĚďĞůŽǁŵĞĂŶƐŶĞŐĂƚŝǀĞĨĞĞĚďĂĐŬ͘
zŽƵĐĂŶĐŚĂŶŐĞLJŽƵƌƌĂƚŝŶŐŽŶƚŚĞƚŽƉŽĨƚŚĞĨŽƌŵĂŶLJ ƚŝŵĞ
ďĞĨŽƌĞƐƵďŵŝƚƚŝŶŐŝƚ͘
090177e1959376fd\A pproved\A pproved On: 20-Nov-2020 13:19 (GMT )
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ϭϳͬϴϱϯ ƋƵŝƉŵĞŶƚ
ϯ͘ϭ ^ƵƉƉůŝĞƐĨŽƌƉĂƌƚŝĐŝƉĂŶƚ
WƌŽǀŝƐŝŽŶĞĚĚĞǀŝĐĞƐƵƉƉůŝĞƐͲ
xDŽƚŽƌŽůĂ ĚĞǀŝĐĞ ǁŝƚŚ dƌŝĂůDĂdž ƉƉ ŝŶƐƚĂůůĞĚ ;ŝĨ ŶŽƚ ƵƐŝŶŐ ƉĞƌƐŽ ŶĂů
ŝK^ŽƌŶĚƌŽŝĚĚĞǀŝĐĞͿ͕ĂĐĐŽŵƉĂŶŝĞĚďLJĂŶŝŶĐŽƌƉŽƌĂƚĞĚ^ŵĞŵŽƌ LJ
ĐĂƌĚ ;ƚŚŝƐ ďĂĐŬƐ ƵƉ ƚŚĞ ĚĂƚĂ ĨŽƌ ƌĞĐŽǀĞƌLJ ŝĨ ŶĞĞĚĞĚͿ ĂŶĚ Ă ^/D ĐĂƌĚ
ŝŶƐƚĂůůĞĚĨŽƌŵŽďŝůĞĚĂƚĂƐĞŶĚŝŶŐ͘
xĚĞǀŝĐĞĐŚĂƌŐĞƌ;ƉŽǁĞƌͲĐŽƌĚĂŶĚĐŚĂƌŐŝŶŐďƌŝĐŬͿ
xdƌŝĂůDĂdžƉƉƐƚŝĐŬĞƌǁŝƚŚĐŽƵŶƚƌLJƐƉĞĐŝĨŝĐ,ĞůƉĚĞƐŬŶƵŵďĞƌ
xYƵŝĐŬZĞĨĞƌĞŶĐĞ'ƵŝĚĞŝŶƚŚĞƉĂƌƚŝĐŝƉĂŶƚ͛ƐůĂŶŐƵĂŐĞ
xƉƉĐƚŝǀĂƚŝŽŶ'ƵŝĚĞŝŶƚŚĞƉĂƌƚŝĐŝƉĂŶƚ͛ƐůĂŶŐƵĂŐĞ
WĂƌƚŝĐŝƉĂŶƚ ĐĂƌĚ ǁŝƚŚ ƉƉ ĂĐƚŝǀĂƚŝŽŶ ĚĞƚĂŝůƐ ƚŽ ďĞ ƐĞŶƚ ǀŝĂ ĞŵĂ ŝů Žƌ
^D^
ƌŝŶŐzŽƵƌKǁŶĞǀŝĐĞƐƵƉƉůŝĞƐͲ
xdƌŝĂůDĂdžƉƉƐƚŝĐŬĞƌǁŝƚŚĐŽƵŶƚƌLJƐƉĞĐŝĨŝĐ,ĞůƉĚĞƐŬŶƵŵďĞƌ
xYƵŝĐŬZĞĨĞƌĞŶĐĞ'ƵŝĚĞŝŶƚŚĞƉĂƌƚŝĐŝƉĂŶƚ͛ƐůĂŶŐƵĂŐĞ
xƉƉĐƚŝǀĂƚŝŽŶ'ƵŝĚĞŝŶƚŚĞƉĂƌƚŝĐŝƉĂŶƚ͛ƐůĂŶŐƵĂŐĞ
xWĂƌƚŝĐŝƉĂŶƚ ĐĂƌĚ ǁŝƚŚ ƉƉ ĂĐƚŝǀĂƚŝŽŶ ĚĞƚĂŝůƐ ƚŽ ďĞ ƐĞŶƚ ǀŝĂ ĞŵĂ ŝů Žƌ
^D^
ϯ͘Ϯ WƌŽǀŝƐŝŽŶĞĚĞǀŝĐĞĂƐŝĐƐ
ĂĐŚdƌŝĂůDĂdžƉƉĚĞǀŝĐĞŚĂƐĂƐƚŝĐŬĞƌĂƉƉůŝĞĚƚŽŝƚ
ƚŚĂƚĐŽŶƚĂŝŶƐƚŚĞĐŽƵŶƚƌLJƐƉĞĐŝĨŝĐ,ĞůƉĚĞƐŬƉŚŽŶĞ
ŶƵŵďĞƌ͘
WůĞĂƐĞĐŽŶƚĂĐƚƚŚĞ^ŝŐŶĂŶƚ,ĞĂůƚŚ,ĞůƉĚĞƐŬŝĨĂ
ĚĞǀŝĐĞŝƐŶŽƚǁŽƌŬŝŶŐƉƌŽƉĞƌůLJ͘dŚĞ,ĞůƉĚĞƐŬ
ĂŐĞŶƚƐǁŝůůĂƐƐŝƐƚLJŽƵŽƌƚŚĞƉĂƌƚŝĐŝƉĂŶƚǁŝƚŚ
ƚĞĐŚŶŝĐĂůƋƵĞƐƚŝŽŶƐ͘
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ϭϴͬϴϱϯ͘ϯ ,ŽǁƚŽƚƵƌŶŽŶƚŚĞWƌŽǀŝƐŝŽŶĞĚĚĞǀŝĐĞ
dŚĞ DŽƚŽƌŽůĂ ĚĞǀŝĐĞ ŝƐ ƚŚĞ
ƉƌŽǀŝƐŝŽŶĞĚĚĞǀŝĐĞ ĨŽƌƚŚŝƐƐƚƵĚLJ ͘
dƵƌŶƚŚĞĞǀŝĐĞŽŶ ďLJƉƌĞƐƐŝŶŐƚŚĞ
ƉŽǁĞƌ ďƵƚƚŽŶ ŽŶ ƚŚĞƌŝŐŚƚ ƐŝĚĞ ŽĨ
ƚŚĞĚĞǀŝĐĞ͘
/ĨƚŚĞĞǀŝĐĞ ŝƐůĞĨƚŽŶĨŽƌ ƚĞŶ ;ϭϬͿ
ŵŝŶƵƚĞƐ ǁŝƚŚŽƵƚ ƵƐĞ͕ ŝƚ ǁŝůů
ŚŝďĞƌŶĂƚĞ ĂŶĚ ƉĞƌĨŽƌŵ ĂƵƚŽŵĂƚŝĐ
ůŽŐŽƵƚ͘
ϯ
͘ϰ ,ŽǁƚŽĐŚĂƌŐĞƚŚĞWƌŽǀŝƐŝŽŶĞĚĞǀŝĐĞ
dŚĞ ĚĞǀŝĐĞ ŚĂƐ Ă ƌĞĐŚĂƌŐĞĂďůĞ ďĂƚƚĞƌLJ͘ WůĞĂƐĞ ƌĞŵĞŵďĞƌ ƚŽ ŝŶƐƚƌ ƵĐƚ
ƚŚĞƉĂƌƚŝĐŝƉĂŶƚƚŽ ĐŚĂƌŐĞƚŚĞďĂƚƚĞƌLJĞǀĞƌLJĚĂLJ͘ /ĨƚŚĞĚĞǀŝĐĞƉƌŽŵƉƚƐ
ƚŚĞ ƉĂƌƚŝĐŝƉĂŶƚ ǁŝƚŚ Ă ŵĞƐƐĂŐĞ ƚŚĂƚ ƚŚĞ ďĂƚƚĞƌLJ ŝƐ ůŽǁ͕ ƚŚĞLJ ƐŚ ŽƵůĚ
ĐŚĂƌŐĞƚŚĞĚĞǀŝĐĞŝŵŵĞĚŝĂƚĞůLJ͘tŚĞŶƚŚĞ ĚĞǀŝĐĞŝƐƉŽǁĞƌĞĚŽŶŝƚ ǁŝůů
ĚŝƐƉůĂLJĂďĂƚƚĞƌLJƐƚĂƚƵƐƐLJŵďŽůŽŶƚŚĞƚŽƉƌŝŐŚƚƐŝĚĞŽĨƚŚĞƐĐ ƌĞĞŶƚŚĂƚ
ŝŶĚŝĐĂƚĞƐƚŚĞĂŵŽƵŶƚŽĨĐŚĂƌŐĞƌĞŵĂŝŶŝŶŐŝŶƚŚĞĚĞǀŝĐĞ͘
dŚĞ ƉĂƌƚŝĐŝƉĂŶƚ ĐĂŶ ƵƐĞ ƚŚĞ ĚĞǀŝĐĞ ǁŚŝůĞ ŝƚ ŝƐ ďĞŝŶŐ ĐŚĂƌŐĞĚ ďƵ ƚ ŝĨ
ĚŝƐĐŚĂƌŐĞĚĨƵůůLJ͕ŝƚŵĂLJƚĂŬĞĂůŝƚƚůĞƚŝŵĞƚŽĐŚĂƌŐĞďĞĨŽƌĞƵƐ Ğ͘
WƌĞƐƐƚŚĞƉŽǁĞƌďƵƚƚŽŶŽŶƚŚĞ
ƐŝĚĞ
DŝĐƌŽh^ĐŽŶŶĞĐƚŽƌ090177e1959376fd\A pproved\A pproved On: 20-Nov-2020 13:19 (GMT )
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ϭϵͬϴϱŽŶŶĞĐƚƚŚĞƉŽǁĞƌĐŚĂƌŐĞƌĐĂďůĞƚŽƚŚĞƉƌŽǀŝƐŝŽŶĞĚĚĞǀŝĐĞ͘
dŚĞĚĞǀŝĐĞǁŝůůƵƐƵĂůůLJĨƵůůLJĐŚĂƌŐĞŝŶĂƉƉƌŽdžŝŵĂƚĞůLJϮŚŽƵƌƐ͘
ϯ͘ϱ ĞǀŝĐĞEĂǀŝŐĂƚŝŽŶ
ϯ͘ϲ
ĚĚŝƚŝŽŶĂů^ŝƚĞ^ƵƉƉůŝĞƐ
xYƵŝĐŬ ZĞĨĞƌĞŶĐĞ 'ƵŝĚĞ ĨŽƌ ƚŚĞ ƉĂƌƚŝĐŝƉĂŶƚ ĂŶĚ dƌŝĂůDĂdž ƉƉ
ĚĞǀŝĐĞƐƚŝĐŬĞƌ
xƉƉĐƚŝǀĂƚŝŽŶ'ƵŝĚĞ
h Ɛ ĞLJ Ž Ƶ ƌĨ ŝ Ŷ Ő Ğ ƌƚ ŽŶ Ă ǀ ŝ Ő Ă ƚ Ğ
ƚŚƌŽƵŐŚƚŚĞ ĚĞǀŝĐĞ͘
WůĞĂƐĞ ĚŽ ŶŽƚ ƵƐĞ Ă ƐƚLJůƵƐ Žƌ
ƐŚĂƌƉ ƉŽŝŶƚƐ ĂƐ ƚŚĞƐĞ ǁŝůů ŶŽƚ
ĨƵŶĐƚŝŽŶŽŶƚŚĞ ĚĞǀŝĐĞĂŶĚǁŝůů
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ϮϬͬϴϱϰd ƌ ŝ Ă ů D Ă Ŷ Ă Ő Ğ ƌ
dƌŝĂůDĂŶĂŐĞƌ ŝƐ ĂŶ ŽŶůŝŶĞ͕ ŝŶƚĞƌŶĞƚͲďĂƐĞĚ ĂƉƉůŝĐĂƚŝŽŶ ƵƐĞĚ ďLJ
ŝŶǀĞƐƚŝŐĂƚŽƌƐ͕ĐŽŽƌĚŝŶĂƚŽƌƐ͕ŵŽŶŝƚŽƌƐĂŶĚƐƚƵĚLJƉĞƌƐŽŶŶĞůƚŽǀŝ ĞǁĂŶĚ
ŵŽŶŝƚŽƌ ƐƚƵĚLJ ƉƌŽŐƌĞƐƐ͘ dƌŝĂůDĂŶĂŐĞƌ ĞŶĂďůĞƐ ƚŚĞ ƵƐĞƌƐ ƚŽ ĨŽůůŽ ǁ
ŽǀĞƌĂůůƉĂƌƚŝĐŝƉĂŶƚĐŽŵƉůŝĂŶĐĞĂŶĚǀŝĞǁƚŚĞƉĂƌƚŝĐŝƉĂŶƚ͛ƐŝĂƌLJ ĚĂƚĂ͘
dƌŝĂůDĂŶĂŐĞƌƐƵƉƉŽƌƚƐƚŚĞĨŽůůŽǁŝŶŐ/ŶƚĞƌŶĞƚďƌŽǁƐĞƌƐ͗
&ŝƌĞĨŽdžϯϯĂŶĚƵƉ
/ŶƚĞƌŶĞƚ džƉůŽƌĞƌϭϭĂŶĚƵƉ
ŚƌŽŵĞϯϮĂŶĚƵƉ
ƉƉůĞ^ĂĨĂƌŝǀϵĂŶĚƵƉ
ϰ
͘ϭ &ƵŶĐƚŝŽŶƐŽĨdƌŝĂůDĂŶĂŐĞƌ
ĨƚĞƌĂŶƐǁĞƌŝŶŐƚŚĞƋƵĞƐƚŝŽŶƐŽŶƚŚĞĞůĞĐƚƌŽŶŝĐĚĞǀŝĐĞ͕ƚŚĞƉĂƌ ƚŝĐŝƉĂŶƚ
ǁŝůůŶĞĞĚƚŽƐĞŶĚƚŚĞŝƌĂŶƐǁĞƌƐƚŽƚŚĞƐƚƵĚLJĚĂƚĂďĂƐĞ;dƌŝĂůDĂŶ ĂŐĞƌͿ͘
tŝƚŚŝŶŵŝŶƵƚĞƐŽĨƐĞŶĚŝŶŐĚĂƚĂ͕LJŽƵ ĐĂŶǀŝĞǁƚŚĞĚĂƚĂ;ĂŶĚƌĞƉŽ ƌƚƐŽĨ
ƚŚĞĚĂƚĂͿƐĞŶƚ͘
LJƵƐŝŶŐdƌŝĂůDĂŶĂŐĞƌ͕LJŽƵĐĂŶ͗
xsŝĞǁƚŚĞƉĂƌƚŝĐŝƉĂŶƚ͛ƐŝĂƌLJĂŶƐǁĞƌƐ
xDŽŶŝƚŽƌƉĂƌƚŝĐŝƉĂŶƚĐŽŵƉůŝĂŶĐĞĂŶĚŽƚŚĞƌƌĞƉŽƌƚƐ
xDŽŶŝƚŽƌ ƚŚĞ ŶƵŵďĞƌ ŽĨ ĚĂLJƐ ƐŝŶĐĞ ƚŚĞ ƉĂƌƚŝĐŝƉĂŶƚ ŚĂƐ ůĂƐƚ
ĐŽŵƉůĞƚĞĚƚŚĞŝƌŝĂƌLJ
xZĂŝƐĞ ĂƚĂ ůĂƌŝĨŝĐĂƚŝŽŶ &ŽƌŵƐ ;&ƐͿ ĂŶĚ ŵŽŶŝƚŽƌ ƚŚĞŝƌ
ƉƌŽŐƌĞƐƐŝŽŶƚŚƌŽƵŐŚƚŽĐůŽƐƵƌĞ
xs ŝ Ğ ǁĚ Ă ƚ ĂĂ Ƶ Ě ŝ ƚƚ ƌ Ă ŝ ů ƐĨ Ž ƌƋ Ƶ Ğ Ɛ ƚ ŝ Ž Ŷ Ŷ Ă ŝ ƌ ĞĞ Ŷ ƚ ƌ ŝ Ğ Ɛ; ŝ Ŷ Đ ů Ƶ Ě ŝ Ŷ Ő
ĐŚĂŶŐĞƐƚŽĨŽƌŵƐͿ
xĞĂĐƚŝǀĂƚĞƚŚĞƉĂƌƚŝĐŝƉĂŶƚ
E
ŽƚĞ͗zŽƵ ƐŚŽƵůĚ ďĞ ůŽŐŐŝŶŐŝŶ ƚŽ dƌŝĂůDĂŶĂŐĞƌ ŽŶůLJǁŝƚŚ LJŽƵƌ Ž ǁŶ
ůŽŐŝŶ ĚĞƚĂŝůƐ ;ǁŚŝĐŚ ǁŝůů ďĞ ƐĞŶƚ ƚŽ LJŽƵƌ ĞŵĂŝůͿ͘ Ž ŶŽƚ ƐŚĂƌĞ LJŽƵƌ090177e1959376fd\A pproved\A pproved On: 20-Nov-2020 13:19 (GMT )
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ϮϭͬϴϱƉĂƐƐǁŽƌĚǁŝƚŚLJŽƵƌĐŽůůĞĂŐƵĞƐ͘/ƚŝƐĂůƐŽŝŵƉŽƌƚĂŶƚƚŽŶŽƚĞƚŚĂ ƚǁŚŝůĞ
ƚŚĞƚĞƌŵ͞WĂƌƚŝĐŝƉĂŶƚ͟ŝƐƵƐĞĚƚŽĚĞƐĐƌŝďĞƚŚĞƉĂƚŝĞŶƚŝŶƚŚŝƐ ƐƚƵĚLJ͕
LJŽƵ ǁŝůů ƐĞĞ ƚŚĞ ƚĞƌŵƐ ͞^ƵďũĞĐƚƐ͟ ĂŶĚ ͞WĂƌƚŝĐŝƉĂŶƚƐ͟ ƵƐĞĚ
ŝŶƚĞƌĐŚĂŶŐĞĂďůLJƚŚƌŽƵŐŚŽƵƚƚŚĞƉƉĂŶĚdƌŝĂůDĂŶĂŐĞƌƉůĂƚĨŽƌŵƐ͘
ϰ͘Ϯ ĐĐĞƐƐŝŶŐƚŚĞdƌŝĂůDĂŶĂŐĞƌǁĞďƐŝƚĞ
ůůƉĞŽƉůĞǁŝůůŚĂǀĞƐĞƉĂƌĂƚĞĂĐĐĞƐƐďĂƐĞĚŽŶƚŚĞŝƌ
ƌŽůĞǁŝƚŚŝŶƚŚĞƐƚƵĚLJ͘
zŽƵƌ dƌŝĂůDĂŶĂŐĞƌ ƵƐĞƌŶĂŵĞ ĂŶĚ ŝŶŝƚŝĂů ƉĂƐƐǁŽƌĚ
ǁŝůů ďĞ ĞŵĂŝůĞĚ ƚŽ LJŽƵ͘ zŽƵ ǁŝůů ďĞ ƉƌŽŵƉƚĞĚ ƚŽ
ĐŚĂŶŐĞƚŚŝƐƉĂƐƐǁŽƌĚĂƚLJŽƵƌĨŝƌƐƚůŽŐŝŶ;ƐĞĞ ,ŽǁƚŽ
ĐŚĂŶŐĞ LJŽƵƌ dƌŝĂůDĂŶĂŐĞƌ ƉĂƐƐǁŽƌĚ ĨŽƌ ŵŽƌĞ
ŝŶĨŽƌŵĂƚŝŽŶͿ͘ zŽƵƌ dƌŝĂůDĂŶĂŐĞƌ ƉĂƐƐǁŽƌĚ ŚĂƐ ŶŽ
ƌĞůĂƚŝŽŶ ƚŽ ƚŚĞ ^ŝƚĞ ƉĞƌƐŽŶŶĞů W/E ĐŽĚĞƐ ŽŶ ƚŚĞ
dƌŝĂůDĂdžƉƉ͘
EŽƚĞ͗ /Ĩ LJŽƵ ŚĂǀĞ ĂĐĐĞƐƐ ƚŽ dƌŝĂůDĂŶĂŐĞƌ ĨŽƌ ĂŶŽƚŚĞƌ ůŝŶŝĐĂů ^ ƚƵĚLJ͕
ƚŚĞŶLJŽƵǁŝůůďĞĂďůĞƚŽƵƐĞƚŚĞƐĂŵĞhƐĞƌŶĂŵĞĂŶĚWĂƐƐǁŽƌĚĨŽƌ ĞĂĐŚ
dƌŝĂůDĂŶĂŐĞƌ͘ WůĞĂƐĞ ŶŽƚĞ ƚŚĂƚ ƚŚŝƐ ĨĞĂƚƵƌĞ ŝƐ ŽŶůLJ ĂǀĂŝůĂďůĞ ĨŽƌ ƚŚĞ
ƐƚƵĚŝĞƐ ƚŚĂƚ ƐƚĂƌƚĞĚ ĂĨƚĞƌ ^ĞƉƚĞŵďĞƌ ϭƐƚ͕ ϮϬϭϵ͘ /Ĩ LJŽƵ ŚĂǀĞ Ă
dƌŝĂůDĂŶĂŐĞƌĂĐĐŽƵŶƚĨŽƌŽůĚĞƌƐƚƵĚŝĞƐ͕LJŽƵǁŝůůŶŽƚďĞĂďůĞƚŽ ƵƐĞƚŚĞ
ƐĂŵĞ hƐĞƌŶĂŵĞ ĂŶĚ WĂƐƐǁŽƌĚ ĨŽƌ ĞĂĐŚ dƌŝĂůDĂŶĂŐĞƌ ƵŶůĞƐƐ LJŽƵ
ĐŚĂŶŐĞƚŚĞŵŵĂŶƵĂůůLJƚŽŵĂƚĐŚǁŝƚŚƚŚĞƌĞƐƚŽĨLJŽƵƌĐƌĞĚĞŶƚŝĂůƐ ͘
dLJƉĞƚŚĞĨŽůůŽǁŝŶŐĂĚĚƌĞƐƐŝŶƚŽLJŽƵƌǁĞďďƌŽǁƐĞƌ͗
KWWS WULDOPD[FUIKHDOWKQHWF 3RVW-XO\
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ϮϮͬϴϱ ůŽŐŝŶ ǁŝŶĚŽǁ ǁŝůů ŽƉĞŶ͘ ŽŽŬŵĂƌŬ ƚŚŝƐ
ĂĚĚƌĞƐƐĨŽƌĞĂƐLJĨƵƚƵƌĞĂĐĐĞƐƐ͘EĞdžƚ͕ĞŶƚĞƌƚŚĞ
ƵƐĞƌŶĂŵĞ ĂŶĚ ƉĂƐƐǁŽƌĚ ƚŚĂƚ ǁĂƐ ĞŵĂŝůĞĚ ƚŽ
LJŽƵ͘
ϰ͘Ϯ͘ϭ ,ŽǁƚŽĐŚĂŶŐĞLJŽƵƌdƌŝĂůDĂŶĂŐĞƌƉĂƐƐǁŽƌĚ
/ĨLJŽƵŶĞĞĚƚŽĐŚĂŶŐĞLJŽƵƌƉĂƐƐǁŽƌĚ͕ƐĞůĞĐƚ͚DLJƐĞƚƚŝŶŐƐ͛ŝŶƚŚ Ğ ƚŽƉ
ƌŝŐŚƚͲŚĂŶĚĐŽƌŶĞƌŽĨƚŚĞƐĐƌĞĞŶ Žƌ͟ŚĂŶŐĞ WĂƐƐǁŽƌĚ͟ĨƌŽŵƚŚĞ> ŽŐŝŶ
^ĐƌĞĞŶ͘dŚĞƌĞLJŽƵǁŝůůĨŝŶĚĂŶŽƉƚŝŽŶƚŽĐŚĂŶŐĞLJŽƵƌƉĂƐƐǁŽƌĚ͘
tŚĞŶLJŽƵĚĞĐŝĚĞƚŽĐŚĂŶŐĞLJŽƵƌƉĂƐƐǁŽƌĚ͕LJŽƵǁŝůůďĞĂƐŬĞĚƚŽƚ LJƉĞ
ŝŶ LJŽƵƌ ĐƵƌƌĞŶƚ ƉĂƐƐǁŽƌĚ͕ LJŽƵƌ ŶĞǁ ƉĂƐƐǁŽƌĚ͕ ĂŶĚ ǀĞƌŝĨLJ LJŽƵƌ ŶĞ ǁ
ƉĂƐƐǁŽƌĚ ďLJ ƚLJƉŝŶŐ ŝƚ ŝŶ ĂŐĂŝŶ͘ ůŝĐŬ ƚŚĞ ͚ŚĂŶŐĞ͛ ďƵƚƚŽŶ ƚŽ ĂĐ ƚŝǀĂƚĞ
LJŽƵƌŶĞǁƉĂƐƐǁŽƌĚ͘
ZƵůĞƐĨŽƌĐƌĞĂƚŝŶŐŶĞǁƉĂƐƐǁŽƌĚ͗
xDƵƐƚďĞĂƚůĞĂƐƚϴĐŚĂƌĂĐƚĞƌƐ͘
xDƵƐƚĐŽŶƚĂŝŶĂƚůĞĂƐƚŽŶĞůŽǁĞƌĐĂƐĞĐŚĂƌĂĐƚĞƌ͘
xDƵƐƚĐŽŶƚĂŝŶĂƚůĞĂƐƚŽŶĞƵƉƉĞƌĐĂƐĞĐŚĂƌĂĐƚĞƌ͘
xDƵƐƚĐŽŶƚĂŝŶĂƚůĞĂƐƚŽŶĞŶƵŵďĞƌ͘
xDƵƐƚŶŽƚĐŽŶƚĂŝŶhŶŝĐŽĚĞĐŚĂƌĂĐƚĞƌƐ͘
x^ƉĞĐŝĂůĐŚĂƌĂĐƚĞƌƐŝŶƉĂƐƐǁŽƌĚĂƌĞŶŽƚŶĞĐĞƐƐĂƌLJ͘
xDƵƐƚŶŽƚĐŽŶƚĂŝŶƐƉĂĐĞƐ͕ůŝŶĞďƌĞĂŬƐŽƌŶĞǁůŝŶĞƐ͘
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Ϯϯͬϴϱϰ͘Ϯ͘Ϯ ,ŽǁƚŽZĞƐĞƚLJŽƵƌdƌŝĂůDĂŶĂŐĞƌWĂƐƐǁŽƌĚ
/ĨLJŽƵŚĂǀĞĨŽƌŐŽƚƚĞŶLJŽƵƌƉĂƐƐǁŽƌĚƚŽLJŽƵƌdƌŝĂůDĂŶĂŐĞƌĐĐŽƵŶ ƚ͕
LJŽƵĂƌĞĂďůĞƚŽƌĞƐĞƚƚŚĞƉĂƐƐǁŽƌĚĚŝƌĞĐƚůLJǁŝƚŚŝŶƚŚĞdƌŝĂůDĂŶ ĂŐĞƌ
WŽƌƚĂů͘
&ƌŽŵ
ƚŚĞůŽŐŝŶƉĂŐĞ͕ƐĞůĞĐƚ
͞&ŽƌŐŽƚWĂƐƐǁŽƌĚ͟
zŽ
ƵǁŝůůďĞĂƐŬĞĚƚŽĞŶƚĞƌLJŽƵƌ
ĞŵĂŝůĂĚĚƌĞƐƐƐŽƚŚĂƚƚŚĞ
ƐLJƐƚĞŵĐĂŶƐĞŶĚLJŽƵĂƐĞĐƵƌŝƚLJ
ĐŽĚĞĨŽƌƚŚĞƉĂƐƐǁŽƌĚƌĞƐĞƚ
zŽ
ƵǁŝůůďĞƚĂŬĞŶƚŽƚŚŝƐƐĐƌĞĞŶ
ŚĞĐŬLJŽƵƌĞŵĂŝůŝŶďŽdžĂŶĚ
ĞŶƚĞƌƚŚĞƐĞĐƵƌŝƚLJĐŽĚĞ͕ǁŚŝĐŚ
ŚĂƐďĞĞŶƐĞŶƚƚŽLJŽƵ
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ϮϰͬϴϱdŚŝƐŝƐĂŶĞdžĂŵƉůĞŽĨƚŚĞĞŵĂŝůǁŚŝĐŚǁŝůůďĞƐĞŶƚƚŽLJŽƵ͗
Ŷƚ
ĞƌĂŶĞǁƉĂƐƐǁŽƌĚ
ĨŽůůŽǁŝŶŐƚŚĞŐƵŝĚĂŶĐĞŽŶƚŚĞ
ƐĐƌĞĞŶ
KŶĐĞLJŽƵƌƌĞƐĞƚŚĂƐďĞĞŶƐƵĐĐĞƐƐĨƵů͕ƚŚĞŶLJŽƵƐŚŽƵůĚƐĞĞƚŚŝƐ
ƐĐƌĞĞŶ͗
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Ϯϱͬϴϱϰ͘Ϯ͘ϯ ,ŽǁƚŽƌĞƋƵĞƐƚdƌŝĂůDĂŶĂŐĞƌĂĐĐĞƐƐĨŽƌŶĞǁ
ƚĞĂŵŵĞŵďĞƌƐ
/ŶŽƌĚĞƌƚŽƌĞƋƵĞƐƚdƌŝĂůDĂŶĂŐĞƌĂĐĐŽƵŶƚƐĨŽƌŶĞǁƚĞĂŵŵĞŵďĞƌƐ LJŽƵ
ƐŚŽƵůĚĂĚĚƚŚĞŝƌŝŶĨŽƌŵĂƚŝŽŶŝŶƚŽƚŚĞ͚dƌŝĂůDĂŶĂŐĞƌhƐĞƌKƌĚĞƌ &Žƌŵ͛
ĂŶĚƐĞŶĚƚŚĞƵƉĚĂƚĞĚĨŽƌŵƚŽƚŚĞ^ŝŐŶĂŶƚ,ĞĂůƚŚ͚dDĂĐĐŽƵŶƚƐ͛ƚ ĞĂŵ͕
ĐŽůůĂƚŝŶŐƌĞƋƵĞƐƚƐŝŶƚŽϭĞŵĂŝůƉĞƌǁĞĞŬ͘
ůůŽǁ ϱ ďƵƐŝŶĞƐƐ ĚĂLJƐ ƚŽ ĐƌĞĂƚĞ ŶĞǁ dƌŝĂůDĂŶĂŐĞƌ ĂĐĐŽƵŶƚƐͬŵĂŬĞ
ƵƉĚĂƚĞƐ͘
hƌŐĞŶƚ dƌŝĂůDĂŶĂŐĞƌ ƌĞƋƵĞƐƚƐ ĐĂŶ ďĞ ƌĞƋƵĞƐƚĞĚ ǀŝĂ ,ĞůƉĚĞƐŬ Žƌ
ĚŝƌĞĐƚůLJĐŽŶƚĂĐƚŝŶŐƚŚĞWĨŝnjĞƌ^ƚƵĚLJdĞĂŵǀŝĂLJŽƵƌZͬDŽŶŝƚŽƌ͘
ϰ͘ϯ ,ŽǁƚŽŶĂǀŝŐĂƚĞƚŚĞdƌŝĂůDĂŶĂŐĞƌǁĞďƐŝƚĞ
/ŶǀĞƐƚŝŐĂƚŽƌƐĂŶĚ^ƚƵĚLJŽŽƌĚŝŶĂƚŽƌƐǁŝůůƐĞĞƐĞǀĞƌĂůƚĂďƐĂƚƚ ŚĞƚŽƉŽĨ
ƚŚĞ ƐĐƌĞĞŶ͘ dŚĞLJ ĂƌĞ ƚŚĞ ͚DĂŝŶ WĂŐĞ͕͛ ͚ZĞƉŽƌƚƐ͕͛ ͚&Ɛ͕͛ ĂŶĚ ͚^ ƚƵĚLJ
/ŶĨŽƌŵĂƚŝŽŶ͛ƚĂďƐ͘dŚĞƐĞĂƌĞƐĞůĞĐƚĞĚďLJĐůŝĐŬŝŶŐŽŶƚŚĞŵ͘
dŚĞƉŽŝŶƚƐďĞůŽǁŚŝŐŚůŝŐŚƚƚŚĞŵĂŝŶĨƵŶĐƚŝŽŶƐĂŶĚĨĞĂƚƵƌĞƐŽĨƚŚĞ ƚĂďƐ͗
xDĂŝŶWĂŐĞ͗sŝĞǁĂůŝƐƚŽĨĂůůLJŽƵƌƉĂƌƚŝĐŝƉĂŶƚƐ͕ŶĂǀŝŐĂƚĞƚŽ
ŝŶĚŝǀŝĚƵĂů ƉĂƌƚŝĐŝƉĂŶƚ ƉĂŐĞƐ͕ ǀŝĞǁ ŽƉĞŶ &Ɛ ĂŶĚ ŶĂǀŝŐĂƚĞ ƚŽ
ƚŚĞ&ƚŽŽů͕ǀŝĞǁƚŚĞůĂƚĞƐƚdƌŝĂůDĂdžƵƉĚĂƚĞƐ
xZĞƉŽƌƚƐ͗ ZĞǀŝĞǁ͕ĨŝůƚĞƌ͕ ĂŶĚƉƌŝŶƚŝŶĨŽƌŵĂƚŝŽŶĂƐƐŽĐŝĂƚĞĚǁŝƚŚ
LJŽƵƌ ƐŝƚĞ ĂŶĚ ƉĂƌƚŝĐŝƉĂŶƚƐ͕ ƐƵĐŚ ĂƐ ĐŽŵƉůŝĂŶĐĞ͕ &Ɛ͕ ĂŶĚ
ĂĚŵŝŶŝƐƚƌĂƚŝǀĞĚĂƚĂ
x&Ɛ͗ƌĞĂƚĞ͕ ĂƉƉƌŽǀĞ͕ ĂŶĚ ŵŽŶŝƚŽƌ Ăůů ƌĞƋƵĞƐƚĞĚ ĚĂƚĂ
ĐŚĂŶŐĞƐĨŽƌLJŽƵƌƉĂƌƚŝĐŝƉĂŶƚƐ
x^ƚƵĚLJ /ŶĨŽƌŵĂƚŝŽŶ͗ ĐĐĞƐƐ ƐƵƉƉůĞŵĞŶƚĂů ƌĞĨĞƌĞŶĐĞ ĐŽŶƚĞŶƚ͕
ƐƵĐŚ ĂƐ ĞůĞĐƚƌŽŶŝĐ ǀĞƌƐŝŽŶƐ ŽĨ ƚŚĞ ^ŝƚĞ hƐĞƌ DĂŶƵĂů ĂŶĚ &'ƵŝĚĞ090177e1959376fd\A pproved\A pproved On: 20-Nov-2020 13:19 (GMT )
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Ϯϲͬϴϱϰ͘ϯ͘ϭ DĂŝŶWĂŐĞdĂď
tŚĞŶLJŽƵƐĞůĞĐƚ͞DĂŝŶƉĂŐĞ͟ƚŚĞĨŽůůŽǁŝŶŐƐĐƌĞĞŶĂƉƉĞĂƌƐ͗
ϭ͘ tŝƚŚ ƚŚŝƐ ďƵƚƚŽŶ͕ LJŽƵ ĂƌĞ ĂďůĞ ƚŽ ĂĚĚ &Ɛ ;ƐĞĞ tŚĞƌĞ ƚŽ ĐƌĞĂƚĞ
&ƐŝŶdƌŝĂůDĂŶĂŐĞƌ Ϳ͘
Ϯ͘ dŚŝƐƐĞĐƚŝŽŶŝƐĐĂůůĞĚƚŚĞ&EŽƚŝĐĞŽĂƌĚĂŶĚǁŝůůĚŝƐƉůĂLJ Ăůů&Ɛ
ĨŽƌLJŽƵƌƐŝƚĞƚŚĂƚƌĞƋƵŝƌĞLJŽƵƌĂ ĐƚŝŽŶ͘^ŝŵƉůLJĐůŝĐŬŽŶƚŚĞƚŝƚ ůĞŽĨĂ
ƉĂƌƚŝĐƵůĂƌ&ƚŽƐĞĞĨƵƌƚŚĞƌĚĞƚĂŝůƐĚŝƐƉůĂLJĞĚ͘ůů&ƐĐƌĞĂƚĞĚďLJ
LJŽƵ Žƌ ĂŶLJŽŶĞ ĞůƐĞ ǁŝůů ĂůƐŽ ŶĞĞĚ ƚŽ ďĞ ĂƉƉƌŽǀĞĚ ďLJ Ă ƐŝƚĞ ƵƐĞƌ
ǁŝƚŚ & ĂƉƉƌŽǀĂů ƌŝŐŚƚƐ͘ ^ŝŐŶĂŶƚ ,ĞĂůƚŚ ǁŝůů ďĞ ƚŚĞ ŽŶĞ ƚŽ
ŝŵƉůĞŵĞŶƚƚŚĞĐŽƌƌĞĐƚŝŽŶƐƌĞƋƵĞƐƚĞĚŝŶƚŚĞ&Ɛ͘
ϯ͘ ^ŽŵĞ ƵƐĞĨƵů ǁĞď ůŝŶŬƐ ĨŽƌ ƚŚĞ ƐƚƵĚLJ ĂƌĞ ĚŝƐƉůĂLJĞĚ ŽŶ ƚŚĞ ƌŝŐŚ ƚͲ
ŚĂŶĚƐŝĚĞŽĨƚŚĞƐĐƌĞĞŶ͕ŝŶĐůƵĚŝŶŐƚŚĞ,ĞůƉĚĞƐŬǁĞďĐŚĂƚ͘
dŚĞƉĂƌƚŝĐŝƉĂŶƚůŝƐƚƐĞĐƚŝŽŶĂƚƚŚĞďŽƚƚŽŵŽĨƚŚĞƐĐƌĞĞŶǁŝůůĚ ŝƐƉůĂLJ
ĂůůƉĂƌƚŝĐŝƉĂŶƚƐĂƚLJŽƵƌƐŝƚĞ͘
DLJ ĚĞĨĂƵůƚ͕ ƚŚŝƐ ǁŝůů ĚŝƐƉůĂLJ ĐƚŝǀĞ ƉĂƌƚŝĐŝƉĂŶƚƐ Ăƚ ƚŚĞ ƐŝƚĞ͘
ůŝĐŬ ŽŶ ƚŚĞ ͚ĞĂĐƚŝǀĂƚĞĚ ƐƵďũĞĐƚƐ͛ Žƌ ͚ůů ƐƵďũĞĐƚƐ͛ ƚŽ ĂůƐŽ
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ϮϳͬϴϱǀŝĞǁ ƉĂƌƚŝĐŝƉĂŶƚƐ ƚŚĂƚ ŚĂǀĞ ĂůƌĞĂĚLJ ďĞĞŶ ĚĞĂĐƚŝǀĂƚĞĚ ĨƌŽŵ
ƚŚĞdƌŝĂůDĂdžƉƉ͘
EzŽƵĂƌĞĂďůĞƚŽƐŽƌƚĂŶĚĨŝůƚĞƌďLJĂŶLJŽĨƚŚĞĐŽůƵŵŶŚĞĂĚŝŶŐƐ
ďLJƚLJƉŝŶŐŝŶƚŽƚŚĞƚĞdžƚďŽdžĞƐďĞůŽǁƚŚĞĐŽůƵŵŶŚĞĂĚŝŶŐƐ͘
FůŝĐŬŝŶŐŽŶĂƐƵďũĞĐƚŶƵŵďĞƌǁŝůůƚĂŬĞLJŽƵƚŽŵŽƌĞĚĞƚĂŝůĞĚ
ŝŶĨŽƌŵĂƚŝŽŶ ƌĞŐĂƌĚŝŶŐ ƚŚĂƚ ƉĂƌƚŝĐŝƉĂŶƚ ;ƐĞĞ WĂƌƚŝĐŝƉĂŶƚ
ĞƚĂŝůƐĂƌĚ Ϳ͘
ϱ͘ zŽƵĐĂŶƐĞĞƚŚĞůĂƚĞƐƚƵƉĚĂƚĞƐƌĞŐĂƌĚŝŶŐĂŶLJdƌŝĂůDĂŶĂŐĞƌƐLJƐ ƚĞŵ
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Ϯϴͬϴϱϰ͘ϰ ĚĚĂŶĞǁƉĂƌƚŝĐŝƉĂŶƚ
WůĞĂƐĞƐĞĞ ͚,ŽǁƚŽƐĞƚƵƉĂƉĂƌƚŝĐŝƉĂŶƚŝŶdƌŝĂůDĂŶĂŐĞƌ ͛͘
ϰ͘ϰ͘ϭ WĂƌƚŝĐŝƉĂŶƚĞƚĂŝůƐĂƌĚ
hƉŽŶ ĐůŝĐŬŝŶŐ ŽŶ Ă ƉĂƌƚŝĐŝƉĂŶƚ ĨƌŽŵ ƚŚĞ ŵĂŝŶ ƉĂŐĞ͕ ƚŚĞ
ƉĂƌƚŝĐŝƉĂŶƚͬƐƵďũĞĐƚ͛ƐŝŶĨŽƌŵĂƚŝŽŶĐĂƌĚǁŝůůĚŝƐƉůĂLJ͗
dŚŝƐ ǁŝůů ƐŚŽǁ ĚĞƚĂŝůƐ ĨŽƌ ƚŚĞ ƉĂƌƚŝĐŝƉĂŶƚ ŝŶĐůƵĚŝŶŐ͗ ůĂŶŐƵĂŐĞ͕
ƉĂƌƚŝĐŝƉĂŶƚ ƐƚĂƚƵƐ͕ ƐƚƵĚLJ ƐƚĂƌƚ ĚĂƚĞ͕ ĚĞǀŝĐĞ ƚLJƉĞ͕ ĂŶĚ ƚŚĞ ƉĂƌƚ ŝĐŝƉĂŶƚ͛Ɛ
ĂƵƚŽŵĞƌŐĞĐŽĚĞ͕ǁŚŝĐŚŝƐŶĞĐĞƐƐĂƌLJĨŽƌƌĞƉůĂĐĞŵĞŶƚ ĚĞǀŝĐĞƐ͘
ĞůŽǁƚŚĞƉĂƌƚŝĐŝƉĂŶƚĚĞƚĂŝůƐĐĂƌĚ͕LJŽƵǁŝůůďĞĂďůĞƚŽƌĞǀŝĞǁ ƚŚĞŝĂƌLJ
ĨŽƌŵƐƐƵďŵŝƚƚĞĚďLJƚŚĞƉĂƌƚŝĐŝƉĂŶƚŽŶƚŚĞdƌŝĂůDĂdžƉƉ͘
͚ůů ƋƵĞƐƚŝŽŶŶĂŝƌĞƐ͛ ƚĂď ǁŚŝĐŚ ĐŽŶƚĂŝŶƐ ͚^ƚƵĚLJ ĚĂƚĞ͛ ĂŶĚ
͚YƵĞƐƚŝŽŶŶĂŝƌĞ͛ ůŝŶŬƐ ƚŽ ĞĂĐŚ ĐŽŵƉůĞƚĞĚ ĨŽƌŵ͘ ĂĐŚ ĐŽůƵŵŶ ĐĂŶ ď Ğ
ĨŝůƚĞƌĞĚ ĂŶĚ ƐŽƌƚĞĚ͘ hƉŽŶ ƐĞůĞĐƚŝŶŐ Ă ĨŽƌŵ ůŝŶŬ ƚŚĞ ĨŽƌŵ ǁŝůů Ž ƉĞŶ͕
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ϮϵͬϴϱĚŝƐƉůĂLJŝŶŐ Ă ůŝƐƚ ŽĨ Ăůů ĨŽƌŵ ĚĂƚĂ ŝƚĞŵƐ͕ ŝŶĐůƵĚŝŶŐ ƚŚĞ ƋƵĞƐƚŝŽ ŶŶĂŝƌĞ
ŝƚĞŵƐĂŶĚƌĞƐƉŽŶƐĞƐĐŽŵƉůĞƚĞĚďLJƚŚĞƉĂƌƚŝĐŝƉĂŶƚ͕ĂŶĚĂĚŵŝŶŝƐƚƌ ĂƚŝǀĞ
ŝƚĞŵƐ ƐƵĐŚ ĂƐ ƚŚĞ ĚĂƚĞ ĂŶĚ ƚŝŵĞ Ă ĐŽŵƉůĞƚĞĚ ĨŽƌŵ ǁĂƐ ƐĂǀĞĚ͘
ϰ͘ϰ͘Ϯ ĂƚĂ/ƚĞŵƵĚŝƚdƌĂŝůƐ
zŽƵǁŝůůĂůƐŽďĞĂďůĞƚŽǀŝĞǁƚŚĞĂƵĚŝƚƚƌĂŝůƐĨŽƌĞĂĐŚƋƵĞƐƚŝŽ ŶŶĂŝƌĞĚĂƚĂ
ŝƚĞŵ ĨƌŽŵ ǁŝƚŚŝŶ ƚŚĞƐĞ ĨŽƌŵ ƉĂŐĞƐ͘ zŽƵ ĐĂŶ ƵƐĞ ƚŚĞ ĂƵĚŝƚ ƚƌĂŝůƐ ƚŽ
ƌĞǀŝĞǁƚŚĞŽƌŝŐŝŶĂůǀĂůƵĞƐĂŶĚĂĨƵůůĐŚĂŶŐĞŚŝƐƚŽƌLJŽĨĂŶLJĚĂƚ ĂŝƚĞŵŝĨ
ĐŚĂŶŐĞƐǁĞƌĞŵĂĚĞǀŝĂƚŚĞdƌŝĂůDĂŶĂŐĞƌ&ƚŽŽů͘/ĨƚŚĞƌĞǁĂƐ Ă &
ĂƐƐŽĐŝĂƚĞĚǁŝƚŚĂƋƵĞƐƚŝŽŶŶĂŝƌĞĨŽƌŵ͕ƚŚŝƐǁŝůůďĞĚŝƐƉůĂLJĞĚƚŽ ƚŚĞƌŝŐŚƚ
ŽĨƚŚĞĨŽƌŵǁŝƚŚĂĚŝƌĞĐƚůŝŶŬƚŽƚŚĞ&ŝƚƐĞůĨĂŶĚƚŚĞĐƵƌƌĞŶ ƚ &
ƐƚĂƚƵƐ͘
dŽ ǀŝĞǁ ƚŚĞ ĨƵůů ĂƵĚŝƚ ƚƌĂŝů ŽĨ ĂŶLJ ĂǀĂŝůĂďůĞ ĨŽƌŵ ŝƚĞŵ͕ ŝŶĐůƵĚ ŝŶŐ ƚŚĞ
ŽƌŝŐŝŶĂůǀĂůƵĞĂŶĚĂŶLJĐŚĂŶŐĞƐ͕ĐůŝĐŬƚŚĞ͚ƵĚŝƚƚƌĂŝů͛ůŝŶŬƚŽ ƚŚĞƌŝŐŚƚŽĨ
ƚŚĞĚĞƐŝƌĞĚŝƚĞŵ͘ŶĂƵĚŝƚƚƌĂŝůŽĨƚŚĞŝƚĞŵǁŝůůŽƉĞŶĚŝƐƉůĂLJŝ ŶŐĂůŝƐƚŽĨ
ƚŚĞ ĚĂƚĂ ŝƚĞŵ ĞůĞŵĞŶƚƐ͕ ƐŽƌƚĞĚ ŶĞǁĞƐƚ ƚŽ ŽůĚĞƐƚ ĨƌŽŵ ƚŽƉ ƚŽ ďŽƚ ƚŽŵ͘
/ĨŽŶůLJϭƌŽǁŝƐĚŝƐƉůĂLJĞĚ͕ƚŚŝƐŝŶĚŝĐĂƚĞƐƚŚĂƚƚŚŝƐŝƐƚŚĞŽƌŝ ŐŝŶĂůǀĂůƵĞŽĨ
ƚŚĞĚĂƚĂŝƚĞŵ͕ĂŶĚƚŚĂƚŝƚŚĂƐŶŽƚďĞĞŶŵŽĚŝĨŝĞĚ͘
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ϯϬͬϴϱdŚĞƵĚŝƚƚƌĂŝůĐŽůƵŵŶŚĞĂĚĞƌƐĂƌĞĚĞĨŝŶĞĚĂƐĨŽůůŽǁƐ͗
xsĂůƵĞ͗ƚŚĞǀĂůƵĞŽĨƚŚĞĚĂƚĂŝƚĞŵŝƚƐĞůĨ
xdŝŵĞŽĨKƉĞƌĂƚŝŽŶ͗ ƚŚĞĚĂƚĞĂŶĚƚŝŵĞĂƐƐŽĐŝĂƚĞĚǁŝƚŚƚŚĞĚĂƚĂ
ŝƚĞŵĞŶƚƌLJŽƌŵŽĚŝĨŝĐĂƚŝŽŶ
xƵƚŚŽƌ͗ƚŚĞ ƵƐĞƌ ƚŚĂƚ ĐŽŵŵŝƚƚĞĚ ƚŚĞ ĂƐƐŽĐŝĂƚĞĚ ŽƉĞƌĂƚŝŽŶ
;ƉĂƌƚŝĐŝƉĂŶƚ͕ƐŝƚĞ͕Žƌ^ŝŐŶĂŶƚ,ĞĂůƚŚĂƚĂDĂŶĂŐĞŵĞŶƚͿ
x&͗ƚŚĞ&/ŶƵŵďĞƌŝĨĂ&ǁĂƐƵƐĞĚƚŽĞdžĞĐƵƚĞĂĐŚĂŶŐĞ
ƚŽƚŚĞĨŽƌŵ
xƵĚŝƚdƌĂŝůŽŵŵĞŶƚ͗ ĨƌĞĞƚĞdžƚĨŝĞůĚǁŚĞƌĞƚŚĞ^ŝŐŶĂŶƚ,ĞĂůƚŚ
ĚĂƚĂ ĐŚĂŶŐĞ ŝŵƉůĞŵĞŶƚĞƌ ŵĂLJ ƉŽƐƚ ƚŚĞ & ŶƵŵďĞƌ͕ ĂŶ
ĞdžƚĞƌŶĂů Z ŶƵŵďĞƌ ;ŝĨ & ǁĂƐ ŶŽƚ ƵƐĞĚͿ͕ Žƌ ŽƚŚĞƌ ƵƐĞĨƵů
ƌĞĨĞƌĞŶĐĞŝŶĨŽƌŵĂƚŝŽŶ
EŽƚĞ͗ŝĨ ĂĚĂƚĂ ŝƚĞŵ ǁĂƐ ŵŽĚŝĨŝĞĚ ǀŝĂ& ǁŝƚŚŝŶ dƌŝĂůDĂŶĂŐĞƌ͕ ŝƚ ǁŝ ůů
ĚŝƐƉůĂLJ Ă ƐŵĂůů ĐůŝƉďŽĂƌĚ ŝĐŽŶ ƚŽ ŝƚƐ ƌŝŐŚƚ͘ ,ŽǀĞƌŝŶŐ ǁŝƚŚ ƚŚĞ ŵŽƵƐĞ
ŽǀĞƌ ƚŚĞ ĐůŝƉďŽĂƌĚ ŝĐŽŶ ǁŝůů ƚƌŝŐŐĞƌ Ă ƉŽƉͲƵƉ ǁŝƚŚ Ă ďƌŝĞĨ ƐƵŵŵ ĂƌLJ ŽĨ
ƚŚĞĐŚĂŶŐĞ͘
ϰ͘ϱ ZĞƉŽƌƚƐdĂď
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ϯϭͬϴϱdŚĞ ͚ZĞƉŽƌƚƐ͛ ƚĂď ǁŝůů ĐŽŶƚĂŝŶ ƌĞƉŽƌƚƐ ĨŽƌ LJŽƵ ƚŽ ǀŝĞǁ͘ dŚĞƐĞ ƌ ĞƉŽƌƚƐ
ƐŚŽƵůĚ ďĞ ƌĞǀŝĞǁĞĚ ŽŶ Ă ƌĞŐƵůĂƌ ďĂƐŝƐ ƚŽ ĞŶƐƵƌĞ ƚŚĞ ƉĂƌƚŝĐŝƉĂŶƚ Ɛ ĂƌĞ
ĐŽŵƉůĞƚŝŶŐƚŚĞƋƵĞƐƚŝŽŶŶĂŝƌĞƐĐŽƌƌĞĐƚůLJǁŝƚŚ ŐŽŽĚĐŽŵƉůŝĂŶĐĞ͘
EŽƚĞ͗dƌŝĂůDĂŶĂŐĞƌ ƌĞƉŽƌƚƐ ĂĐĐĞƐƐŝďŝůŝƚLJ ŵĂLJ ŶŽƚ ďĞ ĂǀĂŝůĂďůĞ ŽŶ ƚŚĞ
ŝŶŝƚŝĂůůŽŐŝŶŽĨƚŚĞƵƐĞƌ͘dŚĞƵƐĞƌŵĂLJŚĂǀĞƚŽůŽŐŽƵƚĂŶĚůŽŐ ďĂĐŬŝŶƚŽ
ǀŝĞǁƚŚĞƐĞƌĞƉŽƌƚƐ͘
dŚĞĨŽůůŽǁŝŶŐƌĞƉŽƌƚƐǁŝůůďĞĂǀĂŝůĂďůĞĨŽƌƚŚŝƐƐƚƵĚLJ͗
xĂƐŚďŽĂƌĚͲ^ŝƚĞ͗ dŚĞƉƵƌƉŽƐĞŽĨƚŚŝƐƌĞƉŽƌƚŝƐƚŽƉƌŽǀŝĚĞƚŚĞ
ƐŝƚĞƉĞƌƐŽŶŶĞůǁŝƚŚĂŶŽǀĞƌǀŝĞǁŽĨƚŚĞƐŝƚƵĂƚŝŽŶĂƚƚŚĞŝƌƐŝƚĞ; ƐͿ
ĂŶĚĂƐƵŵŵĂƌLJŽĨƚŚĞŬĞLJŵĞƚƌŝĐƐ͘
xĂƐŚďŽĂƌĚʹ^ƚƵĚLJ͗ dŚĞƉƵƌƉŽƐĞŽĨƚŚŝƐƌĞƉŽƌƚŝƐƚŽƉƌŽǀŝĚĞ
ƚŚĞ^ƚƵĚLJƚĞĂŵǁŝƚŚĂŶŽǀĞƌǀŝĞǁŽĨƚŚĞ^ƚƵĚLJĂŶĚĂƐƵŵŵĂƌLJ
ŽĨƚŚĞŬĞLJŵĞƚƌŝĐƐ͘
x/ŶĐŽŶƐŝƐƚĞŶĐŝĞƐ͗ dŚĞƉƵƌƉŽƐĞŽĨƚŚŝƐƌĞƉŽƌƚŝƐƚŽƉƌŽǀŝĚĞ
ŝŶĨŽƌŵĂƚŝŽŶŽĨƚLJƉŝĐĂůŝŶĐŽŶƐŝƐƚĞŶĐŝĞƐŝŶƚŚĞĚĂƚĂƐƵĐŚĂƐ
ĚƵƉůŝĐĂƚĞƉĂƌƚŝĐŝƉĂŶƚŶƵŵďĞƌƐ͘
x^ƵďũĞĐƚ/ŶĨŽƌŵĂƚŝŽŶ͗ dŚĞƉƵƌƉŽƐĞŽĨƚŚŝƐƌĞƉŽƌƚŝƐƚŽƉƌŽǀŝĚĞ
ĚĞƚĂŝůĞĚŝŶĨŽƌŵĂƚŝŽŶŽŶĞĂĐŚƉĂƌƚŝĐŝƉĂŶƚ͘
xƉƉŽŵƉůŝĂŶĐĞ ͗dŚŝƐƌĞƉŽƌƚƐŚŽǁƐƚŚĞĚĂŝůLJĐŽŵƉůŝĂŶĐĞďLJ
ƉĂƌƚŝĐŝƉĂŶƚĨŽƌĚĂLJƐϭͲϳ͕ĨƌŽŵĚĂLJϭƵƉƵŶƚŝůƚŚĞĐƵƌƌĞŶƚĚĂLJ͘
xĂƚĂ^ƵŵŵĂƌLJ ͗dŚŝƐƌĞƉŽƌƚƐŚŽǁƐǁŚĞƚŚĞƌŽƌŶŽƚƉĂƌƚŝĐŝƉĂŶƚƐ
ŚĂǀĞĞdžƉĞƌŝĞŶĐĞĚůŽĐĂůƌĞĂĐƚŝŽŶƐ͕ƐLJƐƚĞŵŝĐĞǀĞŶƚƐŽƌĨĞǀĞƌ͕
ƚŚĞŝƌĐŽƌƌĞƐƉŽŶĚŝŶŐƐĞǀĞƌŝƚLJĂŶĚĂŶLJŵĞĚŝĐĂƚŝŽŶƚĂŬĞŶĨŽƌ
ĚĂLJƐϭͲϳĨŽůůŽǁŝŶŐĞĂĐŚǀĂĐĐŝŶĂƚŝŽŶ͘
x^ĞǀĞƌĞZĞĂĐƚŝŽŶƐZĞƋƵŝƌŝŶŐŽŶƚĂĐƚ ͗ŝƐƉůĂLJƐŝĨƉĂƌƚŝĐŝƉĂŶƚƐ
ŚĂǀĞƌĞƉŽƌƚĞĚ͚^ĞǀĞƌĞ͛ůŽĐĂůƌĞĂĐƚŝŽŶƐ͕͚^ĞǀĞƌĞ͛ƐLJƐƚĞŵŝĐ
ĞǀĞŶƚƐŽƌŚĂǀĞƌĞƉŽƌƚĞĚĂƐĞǀĞƌĞƚĞŵƉĞƌĂƚƵƌĞ͘090177e1959376fd\A pproved\A pproved On: 20-Nov-2020 13:19 (GMT )
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ϯϮͬϴϱx^LJŵƉƚŽŵƐĂƐŚďŽĂƌĚ ͗dŚĞƉƵƌƉŽƐĞŽĨƚŚŝƐƌĞƉŽƌƚŝƐƚŽ
ƉƌŽǀŝĚĞƚŚĞ^ƚƵĚLJƚĞĂŵǁŝƚŚĂŶŽǀĞƌǀŝĞǁŽĨƚŚĞƌĞƉŽƌƚĞĚ
ƐLJŵƉƚŽŵƐĂŶĚŵĞĚŝĐĂƚŝŽŶƐĂƚƚŚĞƐŝƚĞƐ͘
x/ůůŶĞƐƐŝĂƌLJZĞƉŽƌƚ ͗dŚŝƐƌĞƉŽƌƚƉƌŽǀŝĚĞƐŝŶĨŽƌŵĂƚŝŽŶǁŝƚŚ
ƌĞŐĂƌĚƐƚŽ/ůůŶĞƐƐŝĂƌLJŽŵƉůŝĂŶĐĞĂƐǁĞůůĂƐĂŶLJĐĂƐĞƐǁŚĞƌĞ
ƐƵďũĞĐƚƐƌĞƉŽƌƚĞĚŽǀŝĚͲϭϵƐLJŵƉƚŽŵƐ͘
ϰ͘ϲ ,ŽǁdŽZĞǀŝĞǁZĞƉŽƌƚƐ
7R DFFHVV D UHSRUW
\RX FDQ HLWKHU FOLFNRQ WKH EOXH OLQN 25VHOHFW D UHSRUW IURP
WKH
GURSGRZQ
PHQX
%RWK ZLOO WDNH \RX WR
WKDW VSHFLILF UHSRUW090177e1959376fd\A pproved\A pproved On: 20-Nov-2020 13:19 (GMT )
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ϯϯͬϴϱ&Žƌ ŵŽŶŝƚŽƌŝŶŐ ƉƵƌƉŽƐĞƐ͕ LJŽƵ ĐĂŶ ǀŝĞǁ ŶĞĂƌ ƌĞĂůͲƚŝŵĞ͕ ŐƌĂƉŚŝĐĂů
ƌĞƉŽƌƚƐ ĂďŽƵƚ ƚŚĞ ƐƚĂƚĞ ŽĨ ƚŚĞ ƐƚƵĚLJ ƌŝŐŚƚ ŝŶƐŝĚĞ dƌŝĂůDĂŶĂŐĞƌ͘
'ƌĂƉŚŝĐĂů ǀŝƐƵĂůŝnjĂƚŝŽŶƐ ĂůůŽǁ LJŽƵ ƚŽ ŝĚĞŶƚŝĨLJ ƋƵŝĐŬůLJ ĂŶLJ ĚĞǀŝ ĂƚŝŽŶƐ
ĨƌŽŵ ƚŚĞ ƐƚƵĚLJ ƉƌŽƚŽĐŽů ĂŶĚ ƚĂŬĞ ĐŽƌƌĞĐƚŝǀĞ ĂĐƚŝŽŶ͘ &Žƌ ĞdžĂŵƉůĞ ͕ LJŽƵ
ĐĂŶ ǀĞƌŝĨLJ ǁŚŝĐŚ ƐƚƵĚLJ ƉĂƌƚŝĐŝƉĂŶƚƐ ĂƌĞ Ɛƚŝůů ĐŽŵƉůŝĂŶƚ ;ŝĨ ƚŚĞ LJ ĂƌĞ
ĐŽŵƉůĞƚŝŶŐƚŚĞŝƌƋƵĞƐƚŝŽŶŶĂŝƌĞƐŽŶƐĐŚĞĚƵůĞͿŽƌǀĞƌŝĨLJƚŚĞƉƌŽŐ ƌĞƐƐŽŶ
ƌĞƐŽůǀŝŶŐ&Ɛ͘
ϰ͘ϲ͘ϭ ZĞƉŽƌƚƐhƐĞƌ'ƵŝĚĞ
dŚĞ ^ŝŐŶĂŶƚ ,ĞĂůƚŚ ZĞƉŽƌƚŝŶŐ ^ŽůƵƚŝŽŶ ƐƵƉƉŽƌƚƐ Ă ǀĂƌŝĞƚLJ ŽĨ
ǀŝƐƵĂůŝnjĂƚŝŽŶƐ͕ ŝŶĐůƵĚŝŶŐ ďĂƌ ĐŚĂƌƚƐ ĂŶĚ ĚĂƚĂ ƚĂďůĞƐ͘ ĞůŽǁ ŝƐ ĂŶ
ĞdžĂŵƉůĞŽĨƚŚĞ/ŶĐŽŶƐŝƐƚĞŶĐŝĞƐZĞƉŽƌƚ͘
dŚĞƐĞ ƌĞƉŽƌƚ ǀŝƐƵĂůŝnjĂƚŝŽŶƐ ĂƌĞ ŝŶƚĞƌĂĐƚŝǀĞ͘ tŚĞŶ LJŽƵ ƐĞůĞĐƚ ƉĂ ƌƚƐ ŽĨ
ƚŚĞĚŝƐƉůĂLJĞĚĚĂƚĂŝŶƌĞƉŽƌƚ͕ ĂůůŽƚŚĞƌ ƐĞĐƚŝŽŶƐƵƉĚĂƚĞƚŽ Ĩŝůƚ Ğƌ ĨŽƌ ƚŚĞ
ƐĞůĞĐƚŝŽŶĂƵƚŽŵĂƚŝĐĂůůLJ͘dŚŝƐĞǀĞŶǁŽƌŬƐďĞƚǁĞĞŶƌĞƉŽƌƚƐŝŶƚŚĞ ƐĂŵĞ
ĚƌŽƉͲĚŽǁŶ ůŝƐƚ ĂŶĚ ĂůůŽǁƐ ƚŚĞ ƵƐĞƌ ƚŽ ĂƐŬ ƋƵĞƐƚŝŽŶƐ ĂďŽƵƚ ƚŚĞ Ě ĂƚĂ͘
ĞƉĞŶĚŝŶŐ ŽŶ LJŽƵƌ ƵƐĞƌ ƌŽůĞ͕ LJŽƵ ĐĂŶ ƐĞůĞĐƚ LJŽƵƌ ƐŝƚĞ ĂŶĚͬŽƌ
ƉĂƌƚŝĐŝƉĂŶƚ ŶƵŵďĞƌ ĨƌŽŵ ƚŚĞ ĚƌŽƉͲĚŽǁŶ ŽƉƚŝŽŶƐ Ăƚ ƚŚĞ ƚŽƉ ŽĨ ƚŚĞ
ƉĂŐĞ͘ dŚĞ ƌĞƉŽƌƚ ǁŝůů ĂƵƚŽŵĂƚŝĐĂůůLJ ƌĞƉŽƉƵůĂƚĞ ƵƐŝŶŐ ƚŚĞ ĐƌŝƚĞƌ ŝĂ
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ϯϰͬϴϱƐĞůĞĐƚĞĚ͘ ůŝĐŬŝŶŐ ŽŶ ƚŚĞ ĚƌŽƉͲĚŽǁŶ ŽƉƚŝŽŶƐ ǁŝůů ĂƵƚŽŵĂƚŝĐĂůůLJ ĨŝůƚĞƌ
ƚŚĞǁŚŽůĞƌĞƉŽƌƚ͘
ϰ͘ϲ͘Ϯ ,ŝŶƚƐĂŶĚdŝƉƐĨŽƌsŝĞǁŝŶŐZĞƉŽƌƚƐ
dŚĞƌĞƉŽƌƚƐƵƐĞĚŝŶ ƚŚŝƐƐƚƵĚLJĂƌĞĚĞƐŝŐŶĞĚƚŽŐŝǀĞLJŽƵĞĂƐLJ ĂĐ ĐĞƐƐƚŽ
ŬĞLJƐƚƵĚLJĚĞƚĂŝůƐ͘ĞůŽǁĂƌĞƐŽŵĞŚŝŶƚƐĂŶĚƚŝƉƐŽŶŚŽǁƚŽŐĞƚ ƚŚĞďĞƐƚ
ĨƌŽŵƚŚĞƌĞƉŽƌƚƐĂǀĂŝůĂďůĞŝŶƚŚĞƐƚƵĚLJ͗
&ŝůƚĞƌŝŶŐ
ZĞƉŽƌƚƐ ĐĂŶ ďĞ ĨŝůƚĞƌĞĚ ŝŶ ƐĞǀĞƌĂů ǁĂLJƐ͘ KŶĞ ǁĂLJ ŝƐ ďLJ ƐĞůĞĐƚŝŶ Ő ĨƌŽŵ
ƚŚĞ ĚƌŽƉͲĚŽǁŶ ĨŝůƚĞƌƐ ĂƉƉĞĂƌŝŶŐ Ăƚ ƚŚĞ ƚŽƉ ŽĨ ƚŚĞ ƌĞƉŽƌƚƐ͕ ĂƐ Ɛ ŚŽǁŶ
ďĞůŽǁ͘
dŽƵƐĞƚŚĞĚƌŽƉͲĚŽǁŶĨŝůƚĞƌƐ͕ƐĞůĞĐƚĂŶŝƚĞŵŽƌŝƚĞŵƐ͕ĨƌŽŵƚŚĞ ůŝƐƚĂŶĚ
ƐĞůĞĐƚƚŚĞŐƌĞĞŶƚŝĐŬƚŽĂƉƉůLJƚŚĞĨŝůƚĞƌ͘^ĞůĞĐƚƚŚĞƌĞĚĐƌŽƐƐ ƚŽĐůŽƐĞƚŚĞ
ĨŝůƚĞƌůŝƐƚǁŝƚŚŽƵƚĂƉƉůLJŝŶŐƚŚĞĐŚĂŶŐĞ͘
ZĞƉŽƌƚƐ ĐĂŶ ĂůƐŽ ďĞ ĨŝůƚĞƌĞĚ ďLJ ƐĞůĞĐƚŝŶŐ ƉĂƌƚ ŽĨ Ă ƚĂďůĞ Žƌ ĐŚ Ăƌƚ͕ ĨŽƌ
ĞdžĂŵƉůĞƐĞůĞĐƚŝŶŐĂƉĂƌƚŝĐŝƉĂŶƚĨƌŽŵĂůŝƐƚ͕ŽƌƐĞůĞĐƚŝŶŐĂďĂƌ ŝŶĂĐŚĂƌƚ͘
^ĞůĞĐƚŝŶŐ ƚŚĞ ŝĐŽŶ ŝŶ ĐŽůƵŵŶ ŚĞĂĚŝŶŐƐ ĐĂŶ ĂůƐŽ ďĞ ƵƐĞĚ ƚŽ Ĩŝůƚ Ğƌ
ƌĞƉŽƌƚƐ͘
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ϯϱͬϴϱKŶĐĞĂĨŝůƚĞƌƐĞůĞĐƚŝŽŶŚĂƐďĞĞŶŵĂĚĞ͕ĂůůƉĂƌƚƐŽĨƚŚĞƌĞƉŽƌƚ ĂŶĚŽƚŚĞƌ
ƌĞƉŽƌƚƐǀŝĞǁĞĚ͕ ǁŝůůŚĂǀĞƚŚŝƐĨŝůƚĞƌĂƉƉůŝĞĚ͘ůůĨŝůƚĞƌƐƚŚĂƚ ĂƌĞĂƉƉůŝĞĚ
ĐĂŶďĞƐĞĞŶŝŶƚŚĞďĂŶŶĞƌĂƚƚŚĞƚŽƉŽĨƚŚĞƌĞƉŽƌƚ͘
dŽƌĞŵŽǀĞĂĨŝůƚĞƌ͕ƐĞůĞĐƚƚŚĞ͞y͟ŶĞdžƚƚŽƚŚĞĨŝůƚĞƌŝŶƚŚĞďĂ ŶŶĞƌĂƚƚŚĞ
ƚŽƉŽĨƚŚĞƐĐƌĞĞŶ͕ĂƐƉĞƌƚŚĞŝŵĂŐĞďĞůŽǁ͗
sŝĞǁŝŶŐĂƌŚĂƌƚƐ
^ŽŵĞƌĞƉŽƌƚƐ ĐŽŶƚĂŝŶďĂƌĐŚĂƌƚƐƚŽĚŝƐƉůĂLJƐƉĞĐŝĨŝĐĚĂƚĂŝŶĨŽƌŵ ĂƚŝŽŶ͘
&Žƌ ďĂƌ ĐŚĂƌƚƐ ǁŝƚŚ ŵĂŶLJ ĚĂƚĂ ďĂƌƐ͕ ŝƚŵĂLJ ŶŽƚ ďĞ ƉŽƐƐŝďůĞ ƚŽ ǀ ŝĞǁĂůů
ďĂƌƐ Ăƚ ƚŚĞ ƐĂŵĞ ƚŝŵĞ͘ tŚĞŶ ƚŚŝƐ ŝƐ ƚŚĞ ĐĂƐĞ͕ Ă ƐŵĂůůĞƌ ͚ƐĐƌŽůů ďĂƌ͛
ǀĞƌƐŝŽŶ ŽĨ ƚŚĞ ƌĞƉŽƌƚ ĐĂŶ ďĞ ƐĞĞŶ͘ DŽǀĞ ƚŚĞ ǁŚŝƚĞ͚ǀŝĞǁŝŶŐ ĂƌĞĂ ͛ ďŽdž
ƚŽƚŚĞůĞĨƚŽƌƌŝŐŚƚŽŶ ƚŚĞƐĐƌŽůůďĂƌǀŝĞǁƚŽĐŚĂŶŐĞƚŚĞĚĂƚĂ ƐŚŽǁŶ ŝŶ
ƚŚĞŵĂŝŶƉĂƌƚŽĨƚŚĞƌĞƉŽƌƚ͘
sŝĞǁŝŶŐ
ǁŝŶĚŽǁ
^ĐƌŽůůďĂƌǀŝĞǁ090177e1959376fd\A pproved\A pproved On: 20-Nov-2020 13:19 (GMT )
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ϯϲͬϴϱ,ŽǀĞƌŝŶŐ ŽǀĞƌ Ă ďĂƌ ǁŝƚŚŝŶ Ă ďĂƌ ĐŚĂƌƚ ǁŝůů ĚŝƐƉůĂLJ ĂĚĚŝƚŝŽŶĂů
ŝŶĨŽƌŵĂƚŝŽŶ͘
sŝĞǁŝŶŐZĞƉŽƌƚƐǁŝƚŚdĂďůĞƐ
&ŽƌƌĞƉŽƌƚƐǁŝƚŚůĂƌŐĞƚĂďůĞƐ͕LJŽƵŵĂLJǁŝƐŚƚŽƌĞƐŝnjĞĐŽůƵŵŶƐƚ ŽĞŶƐƵƌĞ
ƚŚĞ ďĞƐƚ ǀŝĞǁ ŝŶ LJŽƵƌ ďƌŽǁƐĞƌ͘ dŽ ĚŽ ƚŚŝƐ͕ ƐŝŵƉůLJ ƐĞůĞĐƚ ƚŚĞ ůŝ ŶĞ
ďĞƚǁĞĞŶĐŽůƵŵŶƐ͕ĂŶĚƌĞƐŝnjĞĂƐƌĞƋƵŝƌĞĚƚŽĨŝƚĂůůƚŚĞĐŽůƵŵŶƐ ŝŶ ƚŚĞ
ǀŝĞǁ͘ /Ĩ Ă ĐŽůƵŵŶ ŶĂŵĞ ŝƐ ƚŽŽ ǁŝĚĞ ƚŽ ďĞ ĚŝƐƉůĂLJĞĚ ĨƵůůLJ͕ ŚŽǀĞƌ ŽǀĞƌ
ƚŚĞĐŽůƵŵŶŶĂŵĞǁŝƚŚƚŚĞŵŽƵƐĞƚŽǀŝĞǁƚŚĞĨƵůůŶĂŵĞ͘
zŽƵĐĂŶƌĞĂƌƌĂŶŐĞƚŚĞŽƌĚĞƌƚŚĂƚƚŚĞĐŽůƵŵŶƐǁŝůůĂƉƉĞĂƌŝŶďLJ ĐůŝĐŬŝŶŐ
ŽŶ ĂŶĚ ĚƌĂŐŐŝŶŐ Ă ĐŽůƵŵŶ ŚĞĂĚĞƌ ŝŶƚŽ Ă ĚŝĨĨĞƌĞŶƚ ƉŽƐŝƚŝŽŶ͕ ĂůůŽ ǁŝŶŐ
LJŽƵƚŽĨŽĐƵƐŽŶƚŚĞĐŽůƵŵŶƐLJŽƵƌĞƋƵŝƌĞ͘
zŽƵĐĂŶƐĞůĞĐƚĐŽůƵŵŶŚĞĂĚŝŶŐƐƚŽƐŽƌƚƚŚĞƌĞƉŽƌƚďLJƚŚĂƚŝƚĞŵ͘ KŶĞ
ĐůŝĐŬǁŝůůƐŽƌƚƚŚĞƌĞƉŽƌƚŝŶĂƐĐĞŶĚŝŶŐŽƌĚĞƌ͕ĂƐĞĐŽŶĚĐůŝĐŬǁ ŝůůƐŽƌƚƚŚĞ
ƌĞƉŽƌƚ ŝŶ ĚĞƐĐĞŶĚŝŶŐ ŽƌĚĞƌ͘ Ŷ ĂƌƌŽǁ ǁŝůů ĂƉƉĞĂƌ ŽŶ ƚŚĞ ĐŽůƵŵŶ
ŚĞĂĚĞƌƚŽŝŶĚŝĐĂƚĞƚŚĞƐŽƌƚŝŶŐĂƉƉůŝĞĚ͘
^ĞůĞĐƚƚŚĞ ďƵƚƚŽŶ͕ǁŚĞƌĞƐĞĞŶ͕ƚŽĞdžƉŽƌƚŝŶĨŽƌŵĂƚŝŽŶ
ŝŶĂƚĂďůĞƚŽĞdžĐĞů͘
^ƚĂŶĚĂƌĚZĞƉŽƌƚ/ĐŽŶƐ
dŚĞŝĐŽŶƐƐĞĞŶďĞůŽǁĐĂŶďĞĨŽƵŶĚĂƚƚŚĞƚŽƉůĞĨƚĐŽƌŶĞƌŽĨĂůůƌĞƉŽƌƚƐ
ŝŶƚŚĞƐƚƵĚLJ͘
dŚŝƐŝĐŽŶĐĂŶďĞƵƐĞĚƚŽĞdžƉĂŶĚƚŚĞǀŝĞǁŝŶŐĂƌĞĂĨŽƌ
ĂŶLJƌĞƉŽƌƚƚŽĨƵůůƐĐƌĞĞŶ͘
dŚŝƐŝĐŽŶǁŝůůďĞƐĞĞŶƚŽĞdžŝƚƚŚĞĨƵůůƐĐƌĞĞŶǀŝĞǁ͘
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ϯϳͬϴϱdŚŝƐŝĐŽŶĐĂŶďĞƵƐĞĚƚŽ ƉƌŝŶƚƚŽƉĚĨƚŚĞƌĞƉŽƌƚďĞŝŶŐ
ǀŝĞǁĞĚ͘dŚŝƐƉĚĨĐŽƉLJŽĨƚŚĞƌĞƉŽƌƚĐĂŶďĞƉƌŝŶƚĞĚŽƌ
ƐĂǀĞĚ͕ĂƐƌĞƋƵŝƌĞĚ͘
dŚŝƐŝĐŽŶĐĂŶďĞƵƐĞĚƚŽƌĞůŽĂĚŽĨƚŚĞĚĂƚĂǁŝƚŚŝŶ
ƚŚĞƌĞƉŽƌƚ͘
dŽ ƐǁŝƚĐŚ ďĞƚǁĞĞŶ ƌĞƉŽƌƚƐ͕ LJŽƵ ĐĂŶ ĞŝƚŚĞƌ ƌĞƚƵƌŶ ƚŽ ƚŚĞ ĨƵůů ůŝ Ɛƚ ŽĨ
ƌĞƉŽƌƚƐ ďLJ ƐĞůĞĐƚŝŶŐ ƚŚĞ ͚ůů ZĞƉŽƌƚƐ͛ ŽƉƚŝŽŶ͕ Žƌ LJŽƵ ĐĂŶ ƐǁŝƚĐ Ś
ďĞƚǁĞĞŶ ƌĞƉŽƌƚƐ ƵƐŝŶŐƚŚĞĚƌŽƉͲĚŽǁŶ ŽƉƚŝŽŶƐ͚^ƚĂŶĚĂƌĚ ƌĞƉŽƌƚƐ͛ ĂŶĚ
͚^ƚƵĚLJƌĞƉŽƌƚƐ͛͘
EŽƚĞ͗ŶLJ ĨŝůƚĞƌƐ ĂƉƉůŝĞĚ ƚŽ ŽŶĞ ƌĞƉŽƌƚ
ǁŝůů ĂůƐŽ ƌĞŵĂŝŶ ĂĐƚŝǀĞ ŽŶ ŽƚŚĞƌ ƌĞƉŽƌƚƐ
ǀŝĞǁĞĚ ŝŶ ƚŚĞ ƐĂŵĞ ĚƌŽƉͲĚŽǁŶ ůŝƐƚ͕
ƵŶůĞƐƐƐƉĞĐŝĨŝĐĂůůLJƌĞŵŽǀĞĚ͘
&ƵƌƚŚĞƌ ŝŶĨŽƌŵĂƚŝŽŶ ĂŶĚ ǀŝĚĞŽ ƚƌĂŝŶŝŶŐ
ŽŶŚŽǁƚŽ ƵƐĞƚŚĞƌĞƉŽƌƚƐĐĂŶďĞĨŽƵŶĚ
ŝŶ ƚŚĞ ͚^ƚƵĚLJ ŝŶĨŽƌŵĂƚŝŽŶ͛ ƚĂď ŝŶ dƌŝĂů
DĂŶĂŐĞƌ͘
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ϯϴͬϴϱϰ͘ϳ ϰϱϵϭϬϬϭͲWŽƐƚͲϭϮͲ:ƵůLJͲϮϬϮϬƵƐƚŽŵƌĞƉŽƌƚƐ
ϰ͘ϳ͘ϭ ĂƚĂ^ƵŵŵĂƌLJZĞƉŽƌƚ
dŚŝƐƌĞƉŽƌƚƐŚŽǁƐǁŚĞƚŚĞƌŽƌŶŽƚƉĂƌƚŝĐŝƉĂŶƚƐŚĂǀĞĞdžƉĞƌŝĞŶĐĞĚ ůŽĐĂůƌĞĂĐƚŝŽŶƐ͕ƐLJƐƚĞŵŝĐĞǀĞŶƚƐŽƌĨĞǀĞƌ͕ƚŚĞŝƌĐŽƌƌĞƐƉŽŶĚŝŶŐ ƐĞǀĞƌŝƚLJĂŶĚ
ĂŶLJŵĞĚŝĐĂƚŝŽŶƚĂŬĞŶĨŽƌĚĂLJƐϭͲϳ͘
ŽůƵŵŶƐǁŝůůŝŶĐůƵĚĞ͗͟ŽƵŶƚƌLJ͕͟͞^ŝƚĞ͕͟͞WĂƌƚŝĐŝƉĂŶƚ͕͟͞WĂƌƚŝĐ ŝƉĂŶƚƉĂŐĞ͟;ŚLJƉĞƌůŝŶŬǁŚŝĐŚƚĂŬĞƐLJŽƵƚŽƚŚĞƉĂƌƚŝĐŝƉĂŶƚƉĂŐĞ ŝŶ dƌŝĂůDĂŶĂŐĞƌͿ͕͞^ƚĂƚƵƐ͕͟
͞sĂĐĐŝŶĂƚŝŽŶĂƚĞ͕͟͞sĂĐĐŝŶĂƚŝŽŶEƵŵďĞƌ͟;ĚŝƐƉůĂLJƐƚŚĞǀĂĐĐŝŶĂƚ ŝŽŶŶƵŵďĞƌĞŶƚĞƌĞĚŝŶƚŚĞdƌŝĂůDĂŶĂŐĞƌͿ͕͞^ƚƵĚLJĂƚĞ͟;ĚŝƐƉůĂLJƐ ĚĂƚĞǁŚĞŶĚŝĂƌLJĨŽƌŵǁĂƐ
ŽƉĞŶĞĚ͘&
ƵƚƵƌĞͬƵŶĐŽŵƉůĞƚĞĚĚŝĂƌLJĚĂƚĞƐǁŝůůĂƉƉĞĂƌĂƐďůĂŶŬͿ ͕͞^ƚƵĚLJĂLJ͟;ĨŝdžĞĚĐŽůƵŵŶůŝƐƚŝŶŐ͚ϭ͛ʹ͚ϳ͛ƌĞƉƌĞƐĞŶƚŝŶŐĞĂĐŚ ŽĨƚŚĞƐƚƵĚLJĚĂLJƐĨŽƌĞĂĐŚ
ƉĂƌƚŝĐŝƉĂŶƚͿ͕͞dĞŵƉĞƌĂƚƵƌĞ͕͟͞/ŶũĞĐƚŝŽŶ^ŝƚĞWĂŝŶ͕͟͞^ǁĞůůŝŶŐ͕͟ ͞ZĞĚŶĞƐƐ͕͟͞&ĂƚŝŐƵĞ͕͟͞ŚŝůůƐ͕͟͞ŝĂƌƌŚĞĂ͕͟͞sŽŵŝƚŝŶŐ͕͟͞,ĞĂĚĂ ĐŚĞ͕͟͞:ŽŝŶƚWĂŝŶ͕͟͞DƵƐĐůĞ
WĂŝŶ͕͟ĂŶĚ͞DĞĚŝĐĂƚŝŽŶ͘͟
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ŝƐƉůĂLJƐŝĨƉĂƌƚŝĐŝƉĂŶƚŚĂǀĞƌĞƉŽƌƚĞĚ͚^ĞǀĞƌĞ͛ůŽĐĂůƌĞĂĐƚŝŽŶƐ͕ ͚^ĞǀĞƌĞ͛ƐLJƐƚĞŵŝĐĞǀĞŶƚƐŽƌŚĂƐƌĞƉŽƌƚĞĚĂƐĞǀĞƌĞƚĞŵƉĞƌĂƚƵƌĞ͘
ŽůƵŵŶƐǁŝůůŝŶĐůƵĚĞ͗͞ŽƵŶƚƌLJ͕͟͞^ŝƚĞ͕͟͞WĂƌƚŝĐŝƉĂŶƚ͕͟͞WĂƌƚŝĐ ŝƉĂŶƚƉĂŐĞ͟;ŚLJƉĞƌůŝŶŬǁŚŝĐŚƚĂŬĞƐLJŽƵƚŽƚŚĞƉĂƌƚŝĐŝƉĂŶƚƉĂŐĞ ŝŶdƌŝĂůDĂŶĂŐĞƌͿ͕͞ƐƚĂƚƵƐ͕͟
͞sĂĐĐŝŶĂƚŝŽŶĚĂƚĞ͕͟͞sĂĐĐŝŶĂƚŝŽŶŶƵŵďĞƌ͟;ĚŝƐƉůĂLJƐƚŚĞǀĂĐĐŝŶĂƚ ŝŽŶŶƵŵďĞƌĞŶƚĞƌĞĚŝŶƚŚĞdƌŝĂůDĂŶĂŐĞƌͿ͕͞^ƚƵĚLJĚĂƚĞ͕͟;ĚŝƐƉůĂLJ ƐĚĂƚĞǁŚĞŶĚŝĂƌLJĨŽƌŵǁĂƐ
ŽƉĞŶĞĚ͘&
ƵƚƵƌĞͬƵŶĐŽŵƉůĞƚĞĚĚŝĂƌLJĚĂƚĞƐǁŝůůĂƉƉĞĂƌĂƐďůĂŶŬͿ ͞^ƚƵĚLJĂLJ͟;ĨŝdžĞĚĐŽůƵŵŶůŝƐƚŝŶŐ͚ϭ͛ʹ͚ϳ͛ƌĞƉƌĞƐĞŶƚŝŶŐĞĂĐŚ ŽĨƚŚĞƐƚƵĚLJĚĂLJƐĨŽƌĞĂĐŚ
ƉĂƌƚŝĐŝƉĂŶƚͿ͕͞^ĞǀĞƌĞ^LJŵƉƚŽŵƐ͕͟͞,ŽƐƉŝƚĂůŝnjĂƚŝŽŶ͕͟͞^ĞǀĞƌĞdĞŵ ƉĞƌĂƚƵƌĞ͟;ŶLJdĞŵƉĞƌĂƚƵƌĞŚŝŐŚĞƌƚŚĂŶϭϬϮΣ&Ϳ͕͞DĞĚŝĐĂƚŝŽŶ͕͟ĂŶĚ͞ZĞƋƵŝƌĞdĞůĞƉŚŽŶĞ
ŽŶƚĂĐƚ͘͟
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ϰϬͬϴϱϰ͘ϳ͘ϯ sĂĐĐŝŶĂƚŝŽŶŝĂƌLJŽŵƉůŝĂŶĐĞZĞƉŽƌƚ
dŚŝƐƌĞƉŽƌƚƐŚŽǁƐƚŚĞĚĂŝůLJĐŽŵƉůŝĂŶĐĞďLJƉĂƌƚŝĐŝƉĂŶƚĨŽƌĚĂLJƐ ϭͲϳ͕ĨƌŽŵĚĂLJϭƵƉƵŶƚŝůƚŚĞĐƵƌƌĞŶƚĚĂLJ͘
džƉĞĐƚĞĚĚŝĂƌLJĐŽŵƉůŝĂŶĐĞǁŝůůĨŽůůŽǁƚŚĞƐƚĂŶĚĂƌĚĐŽůŽƌͲĐŽĚŝŶŐ ƐĐŚĞŵĞĂŶĚƚŚƌĞƐŚŽůĚƐ͘&ŽƌĂĐƚŝǀĞƉĂƌƚŝĐŝƉĂŶƚƐ͕ĚŝĂƌLJĐŽŵƉůĞƚŝ ŽŶĞdžƉĞĐƚĂƚŝŽŶƐǁŝůůďĞ
ďĂƐĞĚŽŶƚŚĞĐƵƌƌĞŶƚĚĂƚĞ͘KŶĐĞĂƉĂƌƚŝĐŝƉĂŶƚŝƐǀĂĐĐŝŶĂƚĞĚ͕ƚŚ ĞƉĂƌƚŝĐŝƉĂŶƚǁŝůůďĞĞdžƉĞĐƚĞĚƚŽĐŽŵƉůĞƚĞƚŚĞĚŝĂƌLJĞǀĞƌLJĚĂLJ ĨŽƌϳĚĂLJƐŝŶĐůƵĚŝŶŐŽŶƚŚĞ
ĚĂLJŽĨƚŚĞǀĂĐĐŝŶĂƚŝŽŶ͕ĨŽƌƚŚĞƉĂƌƚŝĐŝƉĂŶƚ ͘ƐĞĂĐŚƐƚƵĚLJĚĂLJƉĂƐƐĞƐ͕ƚŚĞƉƌĞǀŝŽƵƐƐƚƵĚLJĚĂLJƐďĞĐŽŵĞĞdžƉĞĐƚĞĚĂŶĚƐŚŽƵůĚŚĂǀĞŽŶĞĚŝĂƌLJĐŽŵƉůĞƚĞĚ͘&Žƌ
ĚĞĂĐƚŝǀĂƚĞĚƉĂƌƚŝĐŝƉĂŶƚƐ͕ĚŝĂƌLJĐŽŵƉůĞƚŝŽŶĞdžƉĞĐƚĂƚŝŽŶƐǁŝůůďĞ ďĂƐĞĚŽŶƚŚĞĚĞĂĐƚŝǀĂƚŝŽŶĚĂƚĞ͘dŚĞƉĂƌƚŝĐŝƉĂŶƚǁŝůůƚŚƵƐďĞĞ džƉĞĐƚĞĚƚŽŚĂǀĞĐŽŵƉůĞƚĞĚ
ŽŶĞĚŝĂƌLJĨŽƌĞĂĐŚƐƚƵĚLJĚĂLJƐƚĂƌƚŝŶŐĨƌŽŵƚŚĞǀĂĐĐŝŶĂƚŝŽŶĚĂLJ ĂŶĚƵŶƚŝůƚŚĞĚĂLJďĞĨŽƌĞƚŚĞĞĂĐƚŝǀĂƚŝŽŶĚĂƚĞ͘dŚĞĞdžĐĞƉƚŝŽŶ Ś ĞƌĞŝƐƚŚĂƚŝĨƚŚĞƉĂƌƚŝĐŝƉĂŶƚ
ĐŽŵƉůĞƚ
ĞĚĂĚŝĂƌLJŽŶƚŚĞĚĂLJƚŚĞLJǁĞƌĞĚĞĂĐƚŝǀĂƚĞĚ͕ƚŚĂƚĚĂLJǁŝ ůůĂůƐŽďĞĐŽŶƐŝĚĞƌĞĚĂƐĞdžƉĞĐƚĞĚ͘ŽůƵŵŶƐǁŝůůŝŶĐůƵĚĞ͗͞ŽƵŶƚƌLJ͕͟͞^ŝƚĞ͕͟
͞WĂƌƚŝĐŝƉĂŶƚ͕͟͟WĂƌƚŝĐŝƉĂŶƚƉĂŐĞ͕͟
͞^ƚĂƚƵƐ͕͟͞sĂĐĐŝŶĂƚŝŽŶĚĂƚĞ͕͟
͞sĂĐĐŝŶĂƚŝŽŶŶƵŵďĞƌ͕͟͞>ĂƐƚĚĂƚĂ
ƐĞŶĚŝŶŐ͕͟Θ͞йŽŵƉůŝĂŶĐĞ͘͟
ŽŵƉůŝĂŶĐĞ;йͿ͗ŝƐƉůĂLJƐƚŚĞĐŽŵƉůŝĂŶĐĞ
ƌĂƚĞ͘
ϭͲϳ͗ƌĞƉƌĞƐĞŶƚƚŚĞƐƚƵĚLJĚĂLJƐĂŶĚǁŝůů
ĚŝƐƉůĂLJƚŚĞƐƚĂƚƵƐŽĨƚŚĞƉĂƌƚŝĐŝƉĂŶƚ͛Ɛ
ĚŝĂƌLJĐŽŵƉůĞƚŝŽŶĨŽƌĞĂĐŚĚĂLJ͘
ŽůŽƌƐĐŚĞŵĞĚŝƐƉůĂLJĨŽƌƚŚĞŽŵƉůŝĂŶĐĞ
;йͿ͗
xZĞĚ͗фϰϬй
xzĞůůŽǁ͗шϰϬйͲфϴϬй
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ϰϭͬϴϱϰ͘ϳ͘ϰ ^LJŵƉƚŽŵƐĂƐŚďŽĂƌĚZĞƉŽƌƚ
dŚĞƉƵƌƉŽƐĞŽĨƚŚŝƐƌĞƉŽƌƚŝƐƚŽƉƌŽǀŝĚĞƚŚĞ ^ƚƵĚLJƚĞĂŵǁŝƚŚĂŶ ŽǀĞƌǀŝĞǁŽĨƚŚĞƌĞƉŽƌƚĞĚƐLJŵƉƚŽŵƐĂŶĚŵĞĚŝĐĂƚŝŽŶƐĂƚƚŚĞ ƐŝƚĞƐ ͘
^LJŵƉƚ
ŽŵŝƐƚƌŝďƵƚŝŽŶĐŽůƵŵŶƐǁŝůůŝŶĐůƵĚĞ͗͞^LJŵƉƚŽŵ͕͟͞^͟;^ĞǀĞ ƌĞͿ͕͞DŽ͟;DŽĚĞƌĂƚĞͿ͕͞Dŝ͟;DŝůĚͿ͕Θ͞dŽƚĂů͘͟
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ϰϮͬϴϱϰ͘ϳ͘ϱ /ůůŶĞƐƐŝĂƌLJZĞƉŽƌƚ
dŚŝƐƌĞƉŽƌƚƉƌŽǀŝĚĞƐŝŶĨŽƌŵĂƚŝŽŶǁŝƚŚƌĞŐĂƌĚƐƚŽ/ůůŶĞƐƐŝĂƌLJ ŽŵƉůŝĂŶĐĞĂƐǁĞůůĂƐĂŶLJĐĂƐĞƐǁŚĞƌĞƐƵďũĞĐƚƐƌĞƉŽƌƚĞĚKs/ͲϭϵƐLJŵƉƚŽŵƐ͘
ŽůƵŵŶƐǁŝůůŝŶĐůƵĚĞ͗͞ŽƵŶƚƌLJ͕͟͞^ŝƚĞ͟͞^ƵďũĞĐƚ͕͟͞^ƵďũĞĐƚƉĂŐ Ğ͟;ŚLJƉĞƌůŝŶŬǁŚŝĐŚƚĂŬĞƐLJŽƵƚŽƚŚĞƉĂƌƚŝĐŝƉĂŶƚƉĂŐĞŝŶdƌŝĂůD ĂŶĂŐĞƌͿ͕͞>ĂƚĞƐƚLJĐůĞη͕͟
͞>ĂƚĞƐƚLJĐůĞ^ƚĂƌƚĂƚĞ͕͟͞/ůůŶĞƐƐŝĂƌLJŽŵƉůĞƚĞĚ͕͟͞Ks/Ͳϭϵ ^LJŵƉƚŽŵƐZĞƉŽƌƚĞĚ͕͟͞WƌĞǀŝŽƵƐϰLJĐůĞƐŽŵƉůŝĂŶĐĞ;йͿƐƚĂƌƚŝŶŐ ĨƌŽŵLJĐůĞηϮ͕͟͞KǀĞƌĂůů
ŽŵƉůŝĂŶĐĞ;йͿ͟
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ϰϯͬϴϱϰ͘ϳ͘ϲ EŽŶͲĐŽŵƉůŝĂŶƚWĂƌƚŝĐŝƉĂŶƚ/ůůŶĞƐƐŝĂƌLJŽŶƚĂĐƚZĞƉŽƌƚ
dŚŝƐƌĞƉŽƌƚƉƌŽǀŝĚĞƐŝŶĨŽƌŵĂƚŝŽŶǁŝƚŚƌĞŐĂƌĚƐƚŽEŽŶͲŽŵƉůŝĂŶƚ /ůůŶĞƐƐŝĂƌLJƐƵďũĞĐƚƐĂŶĚĂƚƚĞŵƉƚƐďLJƚŚĞƐŝƚĞ ƚŽĐŽŶƚĂĐƚƚŚĞƐ ĞƐƵďũĞĐƚƐ͘dŚĞƌĞƉŽƌƚǁŝůů
ĚŝƐƉůĂLJĞĂĐŚĐLJĐůĞ ;ϳĚĂLJƉĞƌŝŽĚͿǁŚĞƌĞĂƐƵďũĞĐƚŚĂƐŶŽƚĐŽŵƉ ůĞƚĞĚĂŶĞdžƉĞĐƚĞĚ/ůůŶĞƐƐŝĂƌLJ͘
ŽůƵŵŶƐǁŝůůŝŶĐůƵĚĞ͗͞ŽƵŶƚƌLJ͕͟͞^ŝƚĞ͟͞^ƵďũĞĐƚ͕͟͞LJĐůĞη͕͟͞ LJĐůĞ^ƚĂƌƚĂƚĞ͟͞LJĐůĞ^ƚĂƌƚĂƚĞ͞ŽŶƚĂĐƚĂƚĞ;ůĂƚĞƐƚͿ͕͟͞^ ƵĐĐĞƐƐĨƵůŽŶƚĂĐƚƐ͕͟͞hŶͲ
ƐƵĐĐĞƐƐĨƵůŽŶƚĂĐƚƐ͟
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ϰϰͬϴϱϱ d>Z/&/d/KE&KZD;&Ϳ
ϱ͘ϭ tŚĂƚŝƐĂ&
dƌŝĂůDĂŶĂŐĞƌĂůůŽǁƐĂƵƚŚŽƌŝnjĞĚƉĞƌƐŽŶŶĞůƚŽƌĞƋƵĞƐƚŵŽĚŝĨŝĐĂƚŝŽ ŶƐƚŽ
ĐĞƌƚĂŝŶĚĂƚĂŝƚĞŵƐǀŝĂƚŚĞ&ƉƌŽĐĞƐƐ͘dŚĞĚĂƚĂƌĞƉŽƌƚĞĚďLJƚŚ ĞƐŝƚĞƐ
ĂŶĚƉĂƌƚŝĐŝƉĂŶƚŝƐĐŽŶƐŝĚĞƌĞĚƚŽďĞƚŚĞŽƌŝŐŝŶĂůĞůĞĐƚƌŽŶŝĐƐŽƵ ƌĐĞĚĂƚĂ͘
dŚŝƐĚĂƚĂŝƐǀĞƌLJƌĂƌĞůLJ͕ŝĨĞǀĞƌ͕ĐŚĂŶŐĞĚ͕ŚŽǁĞǀĞƌ͕ŝŶƐŽŵĞƐŝ ƚƵĂƚŝŽŶƐ
ĚĂƚĂĐŚĂŶŐĞƐ ĂƌĞŶĞĞĚĞĚ͘dŚĞ&ŝƐƚŚĞĂƵĚŝƚƚƌĂŝůĨŽƌĚĂƚĂĐŚ ĂŶŐĞƐ͘
ĂĐŚ & ĂŶĚ ŝƚƐ ĨƵůů ŚŝƐƚŽƌLJ ĂƌĞ ĂǀĂŝůĂďůĞĨŽƌ ƌĞǀŝĞǁ ĚƵƌŝŶŐ ƚ ŚĞƐƚƵĚLJ
ǀŝĂdƌŝĂůDĂŶĂŐĞƌĂŶĚǁŝůůďĞƉƌŽǀŝĚĞĚƚŽƚŚĞƐŝƚĞƐĂŶĚĐůŝĞŶƚĂ ƚƚŚĞĞŶĚ
ŽĨƚŚĞƐƚƵĚLJǀŝĂƚŚĞƐŝƚĞĂƌĐŚŝǀĞ͘
ϱ͘Ϯ dLJƉĞƐŽĨĚĂƚĂĐŚĂŶŐĞƐĂůůŽǁĞĚ͗
dŚĞĨŽůůŽǁŝŶŐĚĂƚĂŵŽĚŝĨŝĐĂƚŝŽŶƐĂƌĞƉĞƌŵŝƚƚĞĚĨŽƌƚŚŝƐƐƚƵĚLJ͗
xŚĂŶŐĞƐ
ƚŽ ĚĂƚĂ ƉƌĞǀŝŽƵƐůLJ ƌĞƉŽƌƚĞĚ ďLJ ƚŚĞ ƉĂƌƚŝĐŝƉĂŶƚ͕ ŝ͘Ğ͕͘
ŝŶĐƌĞĂƐĞ Žƌ ĚĞĐƌĞĂƐĞ ŝŶ ƚŚĞ ƐĞǀĞƌŝƚLJ ŽĨ Ă ůŽĐĂů ƌĞĂĐƚŝŽŶ Žƌ
ƐLJƐƚĞŵŝĐ ĞǀĞŶƚ ƉƌĞǀŝŽƵƐůLJ ƌĞƉŽƌƚĞĚ ŽŶ Ă ŐŝǀĞŶ ĚĂLJ͘/ƚ ŝƐ ƚŚĞ
ŝŶǀĞƐƚŝŐĂƚŝŽŶĂůƐŝƚĞƐƌĞƐƉŽŶƐŝďŝůŝƚLJƚŽĞŶƐƵƌĞƐƵĐŚĐŚĂŶŐĞƐ ĂƌĞ
ŽŶůLJ ƌĞƋƵĞƐƚĞĚ ŝĨ ƐƵƉƉŽƌƚĞĚ ďLJ ĂƉƉƌŽƉƌŝĂƚĞ ƐŽƵƌĐĞ
ĚŽĐƵŵĞŶƚĂƚŝŽŶ͕ Ğ͘Ő͕͘ ƚĞůĞƉŚŽŶĞ ĐŽŶƚĂĐƚ ƌĞƉŽƌƚ ĚĞƚĂŝůŝŶŐ ƚŚĞŝŶŝƚŝĂůĚĂƚĂĞŶƚĞƌĞĚĂŶĚƚŚĞĐŽƌƌĞĐƚĞĚĚĂƚĂ͘
xŚĂŶŐĞƐ ƚŽ ĚĞǀŝĐĞ ƐĞƚͲƵƉ ŝŶĨŽƌŵĂƚŝŽŶ͕ ŝ͘Ğ͕͘ ĐŽƌƌĞĐƚŝŽŶƐ ƚŽ ƚŚĞĨŽůůŽǁŝŶŐǁŚĞŶƉƌĞǀŝŽƵƐůLJĞŶƚĞƌĞĚŝŶĐŽƌƌĞĐƚůLJ͗
o^ŝƚĞŶƵŵďĞƌ
oWĂƌƚŝĐŝƉĂŶƚŶƵŵďĞƌ
osĂĐĐŝŶĂƚŝŽŶŶƵŵďĞƌŽƌĚĂƚĞŽĨǀĂĐĐŝŶĂƚŝŽŶ
xKƚŚĞƌĂĚŵŝŶŝƐƚƌĂƚŝǀĞĐŚĂŶŐĞƐ͕ŝ͘Ğ͗͘
oDĞƌŐŝŶŐ ƉĂƌƚŝĐŝƉĂŶƚ ĚĂƚĂ ĂŶĚ ƌĞŵŽǀĂů ŽĨ ĚƵƉůŝĐĂƚĞĚĂƚĂ ʹ ĂůůŽǁƐ ĐůĞĂŶŝŶŐ ŽĨ ĚĂƚĂ ŝƐƐƵĞƐ ƚŚĂƚ ŵĂLJ ƌĞƐƵůƚ090177e1959376fd\A pproved\A pproved On: 20-Nov-2020 13:19 (GMT )
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ƉĂƌƚŝĐŝƉĂŶƚƐ͘
oDŽĚŝĨLJŝŶŐ ƚŝŵĞƐƚĂŵƉƐ Ͳ ĂůůŽǁ ĐůĞĂŶŝŶŐ ŽĨ ĚĂƚĂ ŝƐƐƵĞƐĂƌŝƐŝŶŐ ĨƌŽŵ ǁŚĞŶ ƚŚĞ ĚŝĂƌLJ ĚĞǀŝĐĞ ŝŶƚĞƌŶĂů ĐůŽĐŬ ŝƐ
ŝŶĂĐĐƵƌĂƚĞ͘
oŚĂŶŐŝŶŐƉĂƌƚŝĐŝƉĂŶƚƐƚĂƚƵƐ
tŚĞŶĚĂƚĂŝƐŵŽĚŝĨŝĞĚŽƌĚƵƉůŝĐĂƚĞĚĂƚĂƌĞŵŽǀĞĚ͕ŶŽĚĂƚĂŝƐĞǀĞ ƌĨƵůůLJ
ĚĞůĞƚĞĚ͕ĂůůĚĂƚĂǁŝůůƌĞŵĂŝŶŝŶƚŚĞĚĂƚĂďĂƐĞĂƵĚŝƚƚƌĂŝů͘
dŚĞĨŽůůŽǁŝŶŐĚĂƚĂŵŽĚŝĨŝĐĂƚŝŽŶƐĂƌĞŶŽƚƉĞƌŵŝƚƚĞĚĨŽƌƚŚŝƐƐƚƵ ĚLJ͗
xĚĚŝ
ƚŝŽŶŽĨĂĨŽƌŵ͕Ğ͘Ő͕͘ĂĚĚŝƚŝŽŶŽĨĂĚŝĂƌLJƚŚĂƚŚĂƐƉƌĞǀŝŽƵƐ ůLJ
ďĞĞŶ ƌĞƉŽƌƚĞĚ ĂƐ ŵŝƐƐĞĚ͕ Žƌ ŝĨ ƚŚĞ ĚĞǀŝĐĞ ĨĂŝůƐ ĂŶĚ ƚŚĞ
ƉĂƌƚŝĐŝƉĂŶƚŝƐƵŶĂďůĞƚŽƌĞĐŽƌĚƚŚĞŝƌĚŝĂƌLJ͘
ϱ͘ϯ tŚĞƌĞƚŽĐƌĞĂƚĞ&ƐŝŶdƌŝĂůDĂŶĂŐĞƌ
zŽƵĐĂŶĂĚĚĂŶĞǁ&ĨŽƌĂŶLJƉĂƌƚŝĐŝƉĂŶƚǁŚĞƌĞĞǀĞƌLJŽƵƐĞĞƚŚ Ğ
͚ĚĚŶĞǁ&͛ďƵƚƚŽŶŝŶdƌŝĂůDĂŶĂŐĞƌ͘
/ƚŝƐĂůƐŽƉŽƐƐŝďůĞƚŽĂĚĚĂ&ĨŽƌĂƐƉĞĐŝĨŝĐƉĂƌƚŝĐŝƉĂŶƚĨƌŽ ŵ ƚŚĞ
ƉĂƌƚŝĐŝƉĂŶƚƉĂŐĞ;ƐŽƚŚĞƉĂƌƚŝĐŝƉĂŶƚŝŶƐƚĂŶĐĞǁŝůůďĞƉƌĞƐĞůĞĐƚ ĞĚͿ͕Žƌ
ĨƌŽŵĂƉĂƌƚŝĐŝƉĂŶƚ͛ƐĨŽƌŵǀŝĞǁǁŚŝůĞƌĞǀŝĞǁŝŶŐĚĂƚĂ;ƐŽƚŚĞ
ƉĂƌƚŝĐŝƉĂŶƚŝŶƐƚĂŶĐĞĂŶĚƚŚĞƐƉĞĐŝĨŝĐĨŽƌŵǁŝůůďĞƉƌĞƐĞůĞĐƚĞĚͿ ͘
ϱ͘ϰ ,ŽǁƚŽĐƌĞĂƚĞĂ&
dŚĞƐƚĞƉƐ ƌĞƋƵŝƌĞĚƚŽĐŽŵƉůĞƚĞĂŶĞǁ& ĂƌĞĚĞƚĂŝůĞĚďĞůŽǁ͘&Ž ƌ
ĐĞƌƚĂŝŶ &Ɛ͕ ĂĚĚŝƚŝŽŶĂů ƐƚĞƉƐ ŵĂLJ ďĞ ƌĞƋƵŝƌĞĚ ƚŽ ƉƌŽǀŝĚĞ ƚŚĞ
ŶĞĐĞƐƐĂƌLJůĞǀĞůŽĨŝŶĨŽƌŵĂƚŝŽŶ͘dŚĞƐLJƐƚĞŵǁŝůůŐƵŝĚĞLJŽƵƚŽƐĞůĞĐƚƚŚĞ
ŶĞĐĞƐƐĂƌLJŝŶĨŽƌŵĂƚŝŽŶ͕ǁŚĞƌĞƚŚŝƐŝƐƌĞƋƵŝƌĞĚ͘
Ĩ ƚ Ğ ƌŝ Ŷ ŝ ƚ ŝ Ă ƚ ŝ Ŷ Őƚ Ś Ğ &Ă ƐŽ Ƶ ƚ ů ŝ Ŷ Ğ Ěŝ Ŷ tŚ Ğ ƌ Ğƚ ŽĐ ƌ Ğ Ă ƚ Ğ & Ɛŝ Ŷ
dƌŝĂůDĂŶĂŐĞƌ͗
ϭ͘ ^ĞůĞĐƚ^ŝƚĞĂŶĚWĂƌƚŝĐŝƉĂŶƚ090177e1959376fd\A pproved\A pproved On: 20-Nov-2020 13:19 (GMT )
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ĞŶƚĞƌŝŶŐ ƚŚĞ ƐŝƚĞ ĂŶĚ ƉĂƌƚŝĐŝƉĂŶƚ ŝŶ ƚŚĞ ĚƌŽƉĚŽǁŶ ǁŝůů ŶŽƚ ďĞ
ŶĞĐĞƐƐĂƌLJ͘
/Ĩ
ƚŚĞƌĞĂƌĞŵƵůƚŝƉůĞŝŶƐƚĂŶĐĞƐĨŽƌƚŚĞ ƉĂƌƚŝĐŝƉĂŶƚ;ŝ͘Ğ͘ŵƵůƚŝ ƉůĞ
ŝĂƌLJŝŶƐƚĂŶĐĞͿLJŽƵŵƵƐƚƐĞůĞĐƚƚŚĞĐŽƌƌĞĐƚŽŶĞďĂƐĞĚŽŶƚŚĞ
ƐƚĂƌƚĚĂƚĞ;ĨŽƵŶĚŝŶƚŚĞƐŝƚĞŝŶĚĞdžͿ͘ůƚĞƌŶĂƚŝǀĞůLJ͕ƌĂŝƐĞƚŚĞ &
ĨƌŽŵƚŚĞƉĂƌƚŝĐŝƉĂŶƚůĞǀĞůŽĨƚŚĞĐŽƌƌĞĐƚŝŶƐƚĂŶĐĞƚŽƉƌĞͲƐĞůĞĐƚƚŚĞƉĂƌƚŝĐŝƉĂŶƚĚĞƚĂŝůƐ͘
Ϯ͘ ^ĞůĞĐƚĚĂƚĂƚŽĐŚĂŶŐĞ
^ĞůĞĐƚƚŚĞĚĂƚĂƚŽďĞĐŚĂŶŐĞĚ͕ĞŝƚŚĞƌWĂƌƚŝĐŝƉĂŶƚ/ŶĨŽƌŵĂƚŝŽŶŽ ƌ
YƵĞƐƚŝŽŶŶĂŝƌĞƐ͘ĂƐĞĚŽŶƚŚĞƐĞůĞĐƚŝŽŶĂĨƵƌƚŚĞƌůŝƐƚǁŝůůĂƉƉĞ Ăƌ͕
ĂƐƉĞƌƚŚĞĞdžĂŵƉůĞƐĐƌĞĞŶƐŚŽƚƐďĞůŽǁ͘^ĞůĞĐƚƚŚĞŽƉƚŝŽŶƚŚĂƚ
ďĞƐƚĨŝƚƐƚŚĞĐŚĂŶŐĞ͕ƚŚĞŶƐĞůĞĐƚ͚EĞdžƚƐƚĞƉ͛ƚŽƉƌŽĐĞĞĚƚŽƐƚĞ Ɖϯ͘
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ϰϳͬϴϱϯ͘ ^ƉĞĐŝĨLJĚĞƚĂŝůƐ;ƌĞƋƵŝƌĞĚĨŽƌƐŽŵĞ&ƚLJƉĞƐͿ
ĂƐĞĚ ŽŶ ƚŚĞ ŽƉƚŝŽŶƐ ƐĞůĞĐƚĞĚ ŝŶ ƚŚĞ ƉƌĞǀŝŽƵƐ ƐƚĞƉ͕ ĂĚĚŝƚŝŽŶĂů
ŝŶĨŽƌŵĂƚŝŽŶŵĂLJďĞƌĞƋƵŝƌĞĚ͘
ϰ͘ ĞƐĐƌŝďĞƚŚĞĐŚĂŶŐĞ
&ŝůů ŝŶ ƚŚĞϯ ƌĞƋƵŝƌĞĚ ĨƌĞĞ ƚĞdžƚ ďŽdžĞƐ ƚŽĚĞƐĐƌŝďĞƚŚĞ ĐŚĂŶŐĞ͕ ŝŶ ĂƐ
ŵƵĐŚĚĞƚĂŝůĂƐLJŽƵĐĂŶƉƌŽǀŝĚĞ͘tŚĞŶĨŝŶŝƐŚĞĚ͕ĐůŝĐŬ͚EĞdžƚƐƚĞƉ ͛͗
Ă͘dŝƚůĞ ĨŽƌ ƚŚĞ ĚĂƚĂ ĐŚĂŶŐĞ͗ 'ŝǀĞ ƚŚĞ & Ă ďƌŝĞĨ ƚŝƚůĞ
ƚŚĂƚĚĞƐĐƌŝďĞƐƚŚĞĐŚĂŶŐĞ; Ğ͘Ő͘ ͚hƉĚĂƚĞ ƉĂƌƚŝĐŝƉĂŶƚ
ŶƵŵďĞƌ͛Ϳ͘
ď͘ZĞĂƐŽŶ ĨŽƌ ĐŚĂŶŐĞ͗ ĞƐĐƌŝďĞ ƚŚĞ ŝƐƐƵĞ ǁŝƚŚ ĂƐ ŵĂŶLJ
ĚĞƚĂŝůƐ ĂƐ ƉŽƐƐŝďůĞ͘ /Ĩ ƚŚŝƐ ŝƐ ŶŽƚ ƐƉĞĐŝĨŝĐ͕ ƉƌŽĐĞƐƐŝŶŐ
ŵĂLJ ďĞ ĚĞůĂLJĞĚ͘ dŚŝƐ ƐŚŽƵůĚ ŶŽƚ ƐŝŵƉůLJ ŽƵƚůŝŶĞ ǁŚĂƚ
ĐŚĂŶŐĞŵƵƐƚďĞŵĂĚĞďƵƚƌĂƚŚĞƌƉƌŽǀŝĚĞƌĞĂƐŽŶĨŽƌ
ƚŚĞĐŚĂŶŐĞĞdžƉůŝĐŝƚůLJ͕ƚŽĂĐƚĂƐƚŚĞĂƵĚŝƚƚƌĂŝů͘; Ğ͘Ő͘
͚WĂƌƚŝĐŝƉĂŶƚ ŶƵŵďĞƌ ǁĂƐ ĞŶƚĞƌĞĚ ŝŶĐŽƌƌĞĐƚůLJ ŽŶ ƚŚĞ
ĚĞǀŝĐĞ͛Ϳ
Đ͘ZĞƋƵĞƐƚĞĚ ĐŚĂŶŐĞƐ͗ ĞƚĂŝů ƚŚĞ ƌĞƋƵĞƐƚĞĚ ĐŚĂŶŐĞƐ͘
^ƉĞĐŝĨLJĂŶLJǀĂůƵĞƐƚŚĂƚŶĞĞĚƚŽ ďĞĐŚĂŶŐĞĚ͕ŝŶĐůƵĚŝŶŐ
ƚŚĞŽƌŝŐŝŶĂůǀĂůƵĞĂŶĚŶĞǁǀĂůƵĞ ;Ğ͘Ő͘ ͚WůĞĂƐĞ ĐŚĂŶŐĞ
yƚŽz͛͘Ϳ͘
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ϰϴͬϴϱĚĚŝƚŝŽŶĂůŝŶĨŽƌŵĂƚŝŽŶƌĞƋƵŝƌĞĚĨŽƌƐŽŵĞ&ƚLJƉĞƐ͗
xZĞƋƵĞƐƚŝŶŐƚŽĐŚĂŶŐĞĂƉĂƌƚŝĐŝƉĂŶƚ͛ƐƐƚĂƚƵƐ͗ďĞƐƵƌĞƚŽ
ŝŶĐůƵĚĞƚŚĞĚĂƚĞŽĨǁŚĞŶƚŚĞ ƉĂƌƚŝĐŝƉĂŶƚƐƚĂƚƵƐŚĂƐ
ĐŚĂŶŐĞĚŝŶ^ƚĞƉϰ;ĞƐĐƌŝďĞƚŚĞĐŚĂŶŐĞͿ͘dŚŝƐ&ƚLJƉĞ
ĐĂŶŶŽƚďĞƉƌŽĐĞƐƐĞĚǁŝƚŚŽƵƚĂĚĂƚĞǁŚĞŶƚŚĞŶĞǁƐƚĂƚƵƐ
ƐƚĂƌƚĞĚ͘
DĂƌŬŝŶŐĂƉĂƌƚŝĐŝƉĂŶƚĂƐƌĞŵŽǀĞĚ͗ ďĞƐƵƌĞƚŽƐƉĞĐŝĨLJŝĨĨŽƌŵƐƐ ĂǀĞĚ
ƵŶĚĞƌƚŚĞƉĂƌƚŝĐŝƉĂŶƚƐŚŽƵůĚĂůƐŽďĞŵĂƌŬĞĚĂƐ͚ƌĞŵŽǀĞĚ͛ŝŶ^ƚĞ Ɖϰ
;ZĞƋƵĞƐƚĞĚĐŚĂŶŐĞƐͿ͘
ϱ͘ ŽŶĨŝƌŵ
tŚĞŶƚŚĞ &ŚĂƐ ďĞĞŶ ĚƌĂĨƚĞĚ͕ LJŽƵ ǁŝůů ƐĞĞ Ă ƐĐƌĞĞŶ ǁŚĞƌĞ
LJŽƵ ĐĂŶ ƌĞǀŝĞǁ ƚŚĞ ŝŶĨŽƌŵĂƚŝŽŶ ĞŶƚĞƌĞĚ ĂŶĚ ĐůŝĐŬ ͚^ĂǀĞ͛ ƚŽ
ƐĂǀĞ ƚŚĞ ŝŶĨŽƌŵĂƚŝŽŶ ƌĞƋƵŝƌĞĚ͖ Žƌ ƉƌĞƐƐ ͛WƌĞǀŝŽƵƐ ^ƚĞƉ͛ ƚŽ
ƌĞƚƵƌŶƚŽƚŚĞůĂƐƚƐƚĞƉĂŶĚĂŵĞŶĚƚŚĞŝŶĨŽƌŵĂƚŝŽŶ͘ dŚĞ͚^ĂǀĞĂŶĚĂƉƉƌŽǀĞ͛ďƵƚƚŽŶĐĂŶĂůƐŽďĞƐĞĞŶŝĨLJŽƵƌƵƐĞƌƌŽůĞĂůůŽǁƐ
LJŽƵ ƚŽ ĂƉƉƌŽǀĞ ƚŚĞ & ƌĞƋƵĞƐƚ͘ dŚŝƐ ďƵƚƚŽŶ ƐŚŽƵůĚ ŽŶůLJ ďĞ
ƵƐĞĚŝĨLJŽƵĂƌĞƐƵƌĞƚŚĞĚĂƚĂĞŶƚĞƌĞĚŝŶƚŚĞ&ŝƐĐŽƌƌĞĐƚĂŶĚ
ƚŚĞ ƌĞƋƵĞƐƚ ĚŽĞƐ ŶŽƚ ŶĞĞĚ ƚŽ ďĞ ƌĞǀŝĞǁĞĚ ďLJ ĂŶLJŽŶĞ ĞůƐĞ
ďĞĨŽƌĞƐĞŶĚŝŶŐƚŽ^ŝŐŶĂŶƚ,ĞĂůƚŚĂƚĂDĂŶĂŐĞŵĞŶƚ͘
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ϰϵͬϴϱzŽƵ ǁŝůů ƌĞĐĞŝǀĞ ĂĐŽŶĨŝƌŵĂƚŝŽŶ ƚŚĂƚƚŚĞ& ǁĂƐ ĐƌĞĂƚĞĚ ƐƵĐĐĞƐ ƐĨƵůůLJ
ĂĨƚĞƌƉƌĞƐƐŝŶŐĞŝƚŚĞƌ͚^ĂǀĞ͛Žƌ͚^ĂǀĞĂŶĚĂƉƉƌŽǀĞ͛͘ ^ĞůĞĐƚ͚sŝ Ğǁ&͛ƚŽ
ĐŚĂŶŐĞƚŚĞƐƚĂƚƵƐŽĨƚŚĞ&ĨŽƌƉƌŽĐĞƐƐŝŶŐďLJƚŚĞ^ŝŐŶĂŶƚ,ĞĂů ƚŚĂƚĂ
DĂŶĂŐĞŵĞŶƚdĞĂŵ͕ ŝĨ͚^ĂǀĞĂŶĚĂƉƉƌŽǀĞ͛ǁĂƐŶŽƚƐĞůĞĐƚĞĚ͘
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ϱϬͬϴϱϱ͘ϱ ƉƉƌŽǀĂůŽĨ&Ɛ
tŚĞŶƚŽĂƉƉƌŽǀĞ&Ɛ
&Ɛ ŵƵƐƚ ďĞ ĂƉƉƌŽǀĞĚ ŽŶĐĞ ƚŚĞLJ ŚĂǀĞ ďĞĞŶ ĐƌĞĂƚĞĚ ĂŶĚ ĐŽŶĨŝƌŵĞĚ
ƚŽ ŚĂǀĞ Ăůů ƚŚĞ ŶĞĐĞƐƐĂƌLJ ĂŶĚ ƌĞƋƵŝƌĞĚ ŝŶĨŽƌŵĂƚŝŽŶ͘ dŚŝƐ ŵĂLJ ďĞ
ĐŽŵƉůĞƚĞĚ ƐĞƉĂƌĂƚĞůLJ͕ ŽŶĐĞ ƚŚĞ & ŝƐ ĐƌĞĂƚĞĚ͕ Žƌ ĚƵƌŝŶŐ ƚŚĞ &
ĐƌĞĂƚŝŽŶ ƉƌŽĐĞƐƐ ŝĨ ƚŚĞ ƵƐĞƌ ŚĂƐ & ĂƉƉƌŽǀĂů ƌŝŐŚƚƐ͘ ĞĨŽƌĞ ^ŝŐŶĂŶƚ
,ĞĂůƚŚĐĂŶŝŵƉůĞŵĞŶƚĂ&͕ŝƚŵƵƐƚĨŝƌƐƚďĞĂƉƉƌŽǀĞĚďLJƚŚĞ^ŝ ƚĞ͘
,ŽǁƚŽƉƉƌŽǀĞ&Ɛ
&ƐƉĞŶĚŝŶŐƐŝƚĞĂƉƉƌŽǀĂůĐĂŶďĞŵŽŶŝƚŽƌĞĚŝŶƚŚĞ ǁĞĞŬůLJ&
ŶŽƚŝĨŝĐĂƚŝŽŶ ĞŵĂŝůƐ͕ ǁŚŝĐŚ ǁŝůů ŝŶĐůƵĚĞ ůŝŶŬƐ ƚŽ ĞĂĐŚ &͕ Žƌ ď LJ
ƌĞǀŝĞǁŝŶŐƚŚĞ&ĂƐŚďŽĂƌĚŽŶƚŚĞƐƚƵĚLJ͛ƐdƌŝĂůDĂŶĂŐĞƌDĂŝŶWĂ ŐĞ͘
ĨƚĞƌĐůŝĐŬŝŶŐƚŚĞ&ůŝŶŬĨƌŽŵƚŚĞĞŵĂŝůŶŽƚŝĨŝĐĂƚŝŽŶ͕ƚŚĞƵƐ ĞƌǁŝůůďĞ
ƚĂŬĞŶĚŝƌĞĐƚůLJƚŽƚŚĞƉĂŐĞǁŚĞƌĞƚŚĞƐƚĂƚƵƐŽĨƚŚĞ&ĐĂŶďĞĐ ŚĂŶŐĞĚ͘
hƐĞƌ ĐĂŶ ĂůƐŽ ƐĞůĞĐƚ ƚŚĞ ĂƉƉƌŽƉƌŝĂƚĞ & ĨƌŽŵ & ĂƐŚďŽĂƌĚ ŽŶ
dƌŝĂůDĂŶĂŐĞƌŚŽŵĞƉĂŐĞďLJĐůŝĐŬŝŶŐŽŶƚŚĞ&ƚŝƚůĞ͘
ĞĨŽƌĞ ƚŚĞ ĐŚĂŶŐĞ ƌĞƋƵĞƐƚĞĚ ĐĂŶ ďĞ ŝŵƉůĞŵĞŶƚĞĚ͕ ƚŚĞ & ŵƵƐƚ ďĞ
ĂƉƉƌŽǀĞĚďLJƚŚĞĨŽůůŽǁŝŶŐůĞǀĞůƐ͗
>ĞǀĞůϭ;^ŝƚĞͿ͗ dŚĞĨŝƌƐƚůĞǀĞůŽĨĂƉƉƌŽǀĂůŝƐƚŚĞ^ŝƚĞͬ/ŶǀĞƐƚŝŐĂƚŽƌ
ĂƉƉƌŽǀĂů͘ ^ƚĞƉƐ ďĞůŽǁ ĚĞƐĐƌŝďĞ ŚŽǁ ƐŝƚĞ ƉĞƌƐŽŶŶĞů ĐĂŶ
ĂƉƉƌŽǀĞ&Ɛ͘
>ĞǀĞů Ϯ ;^ĞƌǀŝĐĞͿ͗ &ŝŶĂůůLJ͕ ^ŝŐŶĂŶƚ ,ĞĂůƚŚ ĂƚĂ DĂŶĂŐĞŵĞŶƚ
dĞĂŵ ĂƉƉƌŽǀĂů ŝƐ ĂĚĚĞĚ ŽŶĐĞ Ăůů ĂƉƉƌŽǀĂůƐ ĂƌĞ ƌĞĐĞŝǀĞĚ͕ ĂŶĚ
^ŝŐŶĂŶƚ ,ĞĂůƚŚ ŚĂǀĞ ĐŽŶĨŝƌŵĞĚ ƚŚĂƚ ƚŚĞ & ŝŶĐůƵĚĞƐ Ăůů
ŶĞĐĞƐƐĂƌLJŝŶĨŽƌŵĂƚŝŽŶƚŽŝŵƉůĞŵĞŶƚƚŚĞƌĞƋƵĞƐƚĞĚĐŚĂŶŐĞƐ͘090177e1959376fd\A pproved\A pproved On: 20-Nov-2020 13:19 (GMT )
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ϱϭͬϴϱ&ŽůůŽǁƚŚĞŝŶƐƚƌƵĐƚŝŽŶƐďĞůŽǁŝŶŽƌĚĞƌƚŽĞŶƐƵƌĞƚŚĞ&ŝƐĂƉƉ ƌŽǀĞĚ
ĨŽƌƉƌŽĐĞƐƐŝŶŐ͗
ϭ͘ EĂǀŝŐĂƚĞƚŽƚŚĞ&ĂŶĚƐĞůĞĐƚƚŚĞ ͚ƉƉƌŽǀĞ͛ ďƵƚƚŽŶ͘
Ϯ͘ EĞdžƚ͕ Ă ĐŽŶĨŝƌŵĂƚŝŽŶ ƐĐƌĞĞŶ ǁŝůů ĂƉƉĞĂƌ ǁŚŝĐŚ ĂůůŽǁƐ LJŽƵ ƚŽ
ĂĚĚĂĐŽŵŵĞŶƚ; ŽƉƚŝŽŶĂůͿĂŶĚĂƉƉƌŽǀĞƚŚĞ&͘ĨƚĞƌĞŶƚĞƌŝŶŐ
LJŽƵƌ ĐƌĞĚĞŶƚŝĂůƐ͕ LJŽƵ ĐĂŶ ƐĞůĞĐƚ ĂƉƉƌŽǀĞ͘ WůĞĂƐĞ ŶŽƚĞ ŽŶůLJ
/ŶǀĞƐƚŝŐĂƚŽƌĂŶĚ^ƚƵĚLJŽŽƌĚŝŶĂƚŽƌ;&ͿƌŽůĞƐĐĂŶĂƉƉƌŽǀĞ&͘
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ϱϮͬϴϱϯ͘dŚĞ& ŝƐ ŶŽǁ ĂƉƉƌŽǀĞĚ ďLJ ƚŚĞ ƐŝƚĞ͖ ĂƉƉƌŽǀĂů ƐƚĂƚƵƐ ŝƐ ůŝƐƚĞĚ
ŽŶƚŚĞƵƉƉĞƌ ƌŝŐŚƚĐŽƌŶĞƌ ŽĨƚŚĞ&͘ ^ŝŐŶĂŶƚ,ĞĂůƚŚĐĂŶŶŽǁ
ĂƉƉƌŽǀĞ ƚŚĞ & ĂŶĚ ŝŵ ƉůĞŵĞŶƚ ƚŚĞ ĐŚĂŶŐĞƐ͘ EŽƚĞ͗ ^ŝŐŶĂŶƚ
,ĞĂůƚŚ ŵĂLJ ĐŚĂŶŐĞ ƚŚĞ ƐƚĂƚƵƐ ĂŶĚ ƌĞƋƵĞƐƚ ĂĚĚŝƚŝŽŶĂů
ŝŶĨŽƌŵĂƚŝŽŶ ƐĞĞ ,Žǁ ƚŽ ŶƐǁĞƌ ŽŵŵĞŶƚƐ͗ tĂŝƚŝŶŐ ĨŽƌ
/ŶĨŽƌŵĂƚŝŽŶ ͘Ϳ
zŽƵ
ĐĂŶĨŽůůŽǁƚŚĞƉƌŽŐƌĞƐƐďLJƐĞůĞĐƚŝŶŐƚŚĞ&ĂŶĚĐŚĞĐŬŝŶŐ
ƚŚĞƐƚĂƚƵƐŝŶƚŚĞ͚&͛ƚĂďŽĨdƌŝĂůDĂŶĂŐĞƌĂŶĚƚŚĞĐŽŵŵĞŶƚƐǁŝƚŚŝŶƚŚĞ&͘
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ϱϯͬϴϱϱ͘ϲ ĚĚŝŶŐĚĚŝƚŝŽŶĂů/ŶĨŽƌŵĂƚŝŽŶƚŽ&Ɛ
,ŽǁƚŽŶƐǁĞƌŽŵŵĞŶƚƐ͗tĂŝƚŝŶŐĨŽƌ/ŶĨŽƌŵĂƚŝŽŶ
^ŽŵĞƚŝŵĞƐ͕&ƐǁŝůůŶĞĞĚĂĚĚŝƚŝŽŶĂůĐůĂƌŝĨŝĐĂƚŝŽŶĂŶĚǁŝůůďĞ ĐŚĂŶŐĞĚ
ƚŽƚŚĞ͚tĂŝƚŝŶŐĨŽƌŝŶĨŽƌŵĂƚŝŽŶ͛ƐƚĂƚƵƐǁŝƚŚƋƵĞƐƚŝŽŶƐƚŚĂƚƚŚĞ ƐŝƚĞǁŝůů
ŶĞĞĚƚŽĂŶƐǁĞƌ͘dŚĞ&ƐǁĂŝƚŝŶŐĨŽƌŝŶĨŽƌŵĂƚŝŽŶĐĂŶďĞĨŽƵŶĚŽ ŶƚŚĞ
͚DĂŝŶƉĂŐĞ͛ƚĂďŽĨƚŚĞdƌŝĂůDĂŶĂŐĞƌ͘
&Ɛ ŵĂLJ ďĞ ƉůĂĐĞĚ ŝŶ Ă ͚tĂŝƚŝŶŐ ĨŽƌ ŝŶĨŽƌŵĂƚŝŽŶ͛ ƐƚĂƚƵƐ ĨŽƌ ƚŚ Ğ
ĨŽůůŽǁŝŶŐƌĞĂƐŽŶƐ͗
x&ǁŽƌĚŝŶŐŝƐƵŶĐůĞĂƌ
xtƌŽŶŐƚLJƉĞŽĨ&ǁĂƐƐĞůĞĐƚĞĚ
xdŚĞƌĞŝƐŵŝƐƐŝŶŐŝŶĨŽƌŵĂƚŝŽŶƚŚĂƚŶĞĞĚƐƚŽďĞĐŽŶĨŝƌŵĞĚ
dŚĞĨŽůůŽǁŝŶŐƐƚĞƉƐǁŝůůďĞƌĞƋƵŝƌĞĚŝŶŽƌĚĞƌƚŽĂĚĚĐŽŵŵĞŶƚƐƚ Ž
&ƐŝŶĂ͚tĂŝƚŝŶŐĨŽƌŝŶĨŽƌŵĂƚŝŽŶ͛ƐƚĂƚƵƐ͗
ϭ͘ůŝĐŬŽŶƚŚĞdŝƚůĞůŝŶŬƚŽƌĞǀŝĞǁĂŶĚƌĞĂĚƚŚĞĐŽŵŵĞŶƚŚŝƐƚŽƌLJ
ĨŽƌƚŚĞ&ŝŶƚŚĞ͚tĂŝƚŝŶŐĨŽƌŝŶĨŽƌŵĂƚŝŽŶ͛ƐƚĂƚƵƐ͘
Ϯ͘ZĞǀŝĞǁƚŚĞĐŽŵŵĞŶƚƐƚŚĂƚĚĞƚĂŝůƐƚŚĞŝŶĨŽƌŵĂƚŝŽŶƚŚĂƚŶĞĞĚƐ
ƚŽďĞĐůĂƌŝĨŝĞĚ͘ ŶƚĞƌĂĐůĂƌŝĨLJŝŶŐĐŽŵŵĞŶƚŝŶƚŚĞ͚ ŶƚĞƌLJŽƵƌ
ĐŽŵŵĞŶƚ͙͛ƚĞdžƚďŽdž͘dƌLJƚŽƌĞƐƉŽŶĚƚŽĂůůƋƵĞƐƚŝŽŶƐƌĂŝƐĞĚ
ǁŝƚŚĂƐŵƵĐŚĚĞƚĂŝůĂƐƉŽƐƐŝďůĞ ͘/ĨLJŽƵĂƌĞƐƚŝůůƵŶƐƵƌĞĂďŽƵƚ
ǁŚĂƚŝŶĨŽƌŵĂƚŝŽŶŝƐŶĞĞĚĞĚ͕ƉůĞĂƐĞƐƚĂƚĞƚŚŝƐŝŶLJŽƵƌ
ĐŽŵŵĞŶƚ ͘WƌĞƐƐƚŚĞ͚^ĂǀĞĐŽŵŵĞŶƚ͛ďƵƚƚŽŶǁŚĞŶĨŝŶŝƐŚĞĚ͘
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Ă ĐŽŵŵĞŶƚ͕ ƚŚĞ & ŵƵƐƚ ďĞ ĂƉƉƌŽǀĞĚ ĂŐĂŝŶ ͘ &ŽůůŽǁ ƚŚĞ
ƐƚĞƉƐŽƵƚůŝŶĞĚŝŶ,ŽǁƚŽƉƉƌŽǀĞ&ƐĂďŽǀĞ͘
zŽƵǁŝůůŶŽƚŝĐĞƚŚĂƚƚŚĞ&ŶŽůŽŶŐĞƌĂƉƉĞĂƌƐŽŶƚŚĞ&EŽƚŝĐ ĞŽĂƌĚ
ŽŶƚŚĞDĂŝŶƉĂŐĞʹƚŚŝƐŵĞĂŶƐƚŚĂƚŶŽĨƵƌƚŚĞƌĂĐƚŝŽŶŝƐŶĞĞĚĞĚ ŽŶƚŚĂƚ
&͘ŽŶƚŝŶƵĞƚŚĞƉƌŽĐĞƐƐǁŝƚŚĂůůƌĞŵĂŝŶŝŶŐ&ƐŝŶLJŽƵƌŶŽƚŝĐ ĞďŽĂƌĚ
ƵŶƚŝůŶŽ&Ɛ ĂƉƉĞĂƌ ŝŶƚŚĞ&EŽƚŝĐĞŽĂƌĚ͘ EŽƚĞ͗dŚĞ&ŵĂLJďĞ
ŵŽǀĞĚƚŽĂ͚tĂŝƚŝŶŐĨŽƌŝŶĨŽƌŵĂƚŝŽŶ͛ƐƚĂƚƵƐĂŐĂŝŶŝĨƚŚĞĐŽŵŵĞŶ ƚƐŝŶ
ƚŚĞ&ĂƌĞŶŽƚĐůĞĂƌŽƌĚŽŶŽƚĐůĞĂƌůLJĂŶƐǁĞƌƚŚĞƋƵĞƐƚŝŽŶƐĨƌ ŽŵƚŚĞ
^ŝŐŶĂŶƚ,ĞĂůƚŚĂƚĂDĂŶĂŐĞŵĞŶƚdĞĂŵ͘
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ϱϱͬϴϱ,ŽǁƚŽDŽĚŝĨLJ&Ɛ
hŶƚŝů Ă & ŝƐ ĞŝƚŚĞƌ ƵŶĚĞƌ ͚ZĞĂĚLJ ĨŽƌ ĂƉƉƌŽǀĂů͛ Žƌ ĂŶLJ ͚ƉƉƌŽǀ ĞĚ͛
ƐƚĂƚƵƐ͕ƚŚĞƐŝƚĞŝƐĂďůĞƚŽŵŽĚŝĨLJƚŚĞ&͘dŚŝƐĐĂŶďĞĂĐĐŽŵƉů ŝƐŚĞĚďLJ
ƐŝŵƉůLJƐĞůĞĐƚŝŶŐƚŚĞ ͚DŽĚŝĨLJ&͛ ďƵƚƚŽŶŽŶƚŚĞ&ŝƚƐĞůĨ͘
tŚĞŶ ŵĂŬŝŶŐ ŵŽĚŝĨŝĐĂƚŝŽŶƐ͕ ďĞ ƐƵƌĞ ƚŽ ƐĂǀĞ Ăůů ƵƉĚĂƚĞƐ ŵĂĚĞ ƚŽ ƚŚĞ
&ĂŶĚŵŽǀĞƚŽ͚ZĞĂĚLJĨŽƌĂƉƉƌŽǀĂů͛ĨŽƌƉƌŽĐĞƐƐŝŶŐ͘
,ŽǁƚŽĂŶĐĞůͬĞŶLJ&Ɛ
dŚĞ ƐŝƚĞ ĐĂŶ ĐĂŶĐĞů ƚŚĞŝƌ ĞŶƚĞƌĞĚ & Ăƚ ĂŶLJ ƚŝŵĞ ƉƌŝŽƌ ƚŽ ƚŚĞŝ ƌ ĨŝƌƐƚ
ĂƉƉƌŽǀĂů͕ďLJƐĞůĞĐƚŝŶŐƚŚĞ ͚ĞŶLJ͛ďƵƚƚŽŶŽŶƚŚĞ&ƉĂŐĞ͘
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ϱϲͬϴϱLJƐĞůĞĐƚŝŶŐ ƚŚĞ͚ĞŶLJ͛ďƵƚƚŽŶ͕ ƚŚŝƐƐŝŐŶĂůƐƚŽƚŚĞ ^ŝŐŶĂŶƚ ,ĞĂ ůƚŚĂƚĂ
DĂŶĂŐĞŵĞŶƚ dĞĂŵ ƚŚĂƚ ƚŚĞ ĐŚĂŶŐĞ ƌĞƋƵĞƐƚĞĚ ŝŶ ƚŚĞ &ƐŚŽƵůĚ ŶŽƚ
ďĞƉƌŽĐĞƐƐĞĚ͘
EŽƚĞ͗ dŚĞ ^ŝŐŶĂŶƚ ,ĞĂƚŚ ĂƚĂ DĂŶĂŐĞŵĞŶƚ dĞĂŵ ŵĂLJ ĚĞŶLJ &Ɛ
ƚŚĂƚĂƌĞŶŽƚĂƉƉůŝĐĂďůĞĨŽƌLJŽƵƌƉƌŽƚŽĐŽůŽƌĂƌĞĚƵƉůŝĐĂƚĞƌĞƋƵ ĞƐƚƐ͘
ϱ͘ϳ sŝĞǁŝŶŐ&ŽŵŵĞŶƚĂŶĚĐƚŝŽŶ,ŝƐƚŽƌLJ
&ǁŝůůĂůǁĂLJƐƌĞƚĂŝŶƚŚĞĨƵůůŚŝƐƚŽƌLJŽĨĂůůĐŽŵŵĞŶƚƐĂŶĚĂ ĐƚŝŽŶƐ
ĐŽŵŵŝƚƚĞĚ͘dŽǀŝĞǁƚŚĞůĂƚĞƐƚĂĐƚŝǀŝƚLJĨŽƌĂ&͕ŶĂǀŝŐĂƚĞƚŽƚ ŚĞ
͚&Ɛ͛ƚĂď͕ƐĞůĞĐƚƚŚĞƐƵďͲƚĂď͕͚ůů͕͛ĂŶĚƚŚĞŶĐůŝĐŬƚŚĞĚĞƐŝƌ ĞĚ&ůŝŶŬ
ƚŽǀŝĞǁƚŚĞ&ĚĞƚĂŝů͘^ĞůĞĐƚƚŚĞĐŚĞĐŬďŽdž͕͚^ŚŽǁƵŶĐŽŵŵĞŶƚĞĚ
ĂĐƚŝŽŶƐ͕͛ĂŶĚƚŚĞĨƵůůŚŝƐƚŽƌLJŽĨĂĐƚŝŽŶƐĐŽŵŵŝƚƚĞĚŝŶƚŚĂƚ& ǁŝůů ďĞ
ĚŝƐƉůĂLJĞĚŝŶŽƌĚĞƌŽĨŽůĚĞƐƚƚŽŶĞǁĞƐƚ͕ƚŽƉͲƚŽͲďŽƚƚŽŵ͘
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ĨŽůůŽǁƐ͗
ϭ͘ŝƌĞĐƚůŝŶŬƐƚŽWĂƌƚŝĐŝƉĂŶƚĐĂƌĚĂŶĚƚŚĞƋƵĞƐƚŝŽŶŶĂŝƌĞ
ƵŶĚĞƌĐŚĂŶŐĞ͕ĂƐĂƉƉůŝĐĂďůĞƚŽƚŚĞ&
Ϯ͘ŚĂŶŐĞĚ ĨŝĞůĚƐ ǁŝůů ďĞ ĚŝƐƉůĂLJĞĚ ŝĨ ƐƉĞĐŝĨŝĐ ĨŝĞůĚƐ ǁĞƌĞƐĞůĞĐƚĞĚ ĨŽƌ ĐŚĂŶŐĞ ĚƵƌŝŶŐ & ĐƌĞĂƚŝŽŶ͘ ͚&ŝĞůĚ͛ ǁŝůůĚŝƐƉůĂLJ ƚŚĞ ĚĂƚĂ ŝƚĞŵ͕ ͚/ŶŝƚŝĂů ǀĂůƵĞ͛ ǁŝůů ĚŝƐƉůĂLJ ƚŚĞŽƌŝŐŝŶĂů ĚĂƚĂ ŝƚĞŵ ǀĂůƵĞ ĐĂƉƚƵƌĞĚ ǀŝĂ ƚŚĞ dƌŝĂůDĂdžĚĞǀŝĐĞ͕ ĂŶĚ ͚ƵƌƌĞŶƚ ǀĂůƵĞ͛ ǁŝůů ĚŝƐƉůĂLJ ƚŚĞ ĚĂƚĂ ŝƚĞŵ͛Ɛ
ƉƌĞƐĞŶƚ ǀĂůƵĞ ;ƚŚŝƐ ŵĂLJ ŵĂƚĐŚ ƚŚĞ ͚/ŶŝƚŝĂů ǀĂůƵĞ͛ ŝĨ ƚŚĞ
&ŚĂƐŶŽƚďĞĞŶŝŵƉůĞŵĞŶƚĞĚLJĞƚͿ
ϯ͘dŚĞĐƵƌƌĞŶƚƐƚĂƚƵƐŽĨƚŚĞ&ǁŝůůďĞĚŝƐƉůĂLJĞĚ
ϰ͘ŚĞĐŬ ďŽdž ƚŽ ƐŚŽǁ ƵŶĐŽŵŵĞŶƚĞĚ ĂĐƚŝŽŶƐ͕ ƐƵĐŚ ĂƐ Ă
ƐƚĂƚƵƐĐŚĂŶŐĞĐĂŶďĞƐĞůĞĐƚĞĚĨŽƌĂĐŽŵƉƌĞŚĞŶƐŝǀĞǀŝĞǁ
ŽĨƚŚĞ&͛ƐŚŝƐƚŽƌLJŽƌĚĞƐĞůĞĐƚĞĚĨŽƌĂƌĞĚƵĐĞĚůŝƐƚŝŶŐ͘
dŚĞ ĐŚĞĐŬďŽdž ǁŝůů ĚĞĨĂƵůƚ ƚŽ ƵŶĐŚĞĐŬĞĚ ǁŚĞŶ ĨŝƌƐƚŽƉĞŶŝŶŐƚŚĞ&
ϱ͘dŚĞ ŶĂŵĞ ŽĨ ƚŚĞ ŝŶĚŝǀŝĚƵĂů ĐŽŵŵŝƚƚŝŶŐ ƚŚĞ ĂĐƚŝŽŶ ĂŶĚƚŚĞ ĐŽŵŵŝƚ ƚŝŵĞƐƚĂŵƉ ǁŝůů ĚŝƐƉůĂLJ ŶĞdžƚ ƚŽ ĞĂĐŚ
ĐŽŵŵŝƚƚĞĚĐŽŵŵĞŶƚŽƌĂĐƚŝŽŶ
ϲ͘ŽŵŵĞŶƚƐĞŶƚĞƌĞĚǁŝůůĚŝƐƉůĂLJǁŝƚŚŝŶƋƵŽƚĂƚŝŽŶŵĂƌŬƐ
ϳ͘ŽŵŵŝƚƚĞĚĐŚĂŶŐĞƐĚŝƌĞĐƚůLJĂƐƐŽĐŝĂƚĞĚǁŝƚŚƚŚĞ&ǁŝůů
ĚŝƐƉůĂLJŝŶŐƌĞLJƚĞdžƚǁŝƚŚŽƵƚƋƵŽƚĂƚŝŽŶƐ
EŽƚĞ͗&ĐŽŵŵĞŶƚĂŶĚĂĐƚŝŽŶŚŝƐƚŽƌLJŝƚĞŵƐĐŽŵƉƌŝƐĞĂŶĂƵĚŝƚƚƌĂŝů ŽĨ
Ăůů ĐŽŵŵĞŶƚƐ ĂŶĚ ĂĐƚŝŽŶƐ ĐŽŵŵŝƚƚĞĚ ŝŶ ƚŚĞ & ĂŶĚ ĐĂŶŶŽƚ ďĞŵŽĚŝĨŝĞĚŽŶĐĞĐŽŵŵŝƚƚĞĚ͘090177e1959376fd\A pproved\A pproved On: 20-Nov-2020 13:19 (GMT )
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ϱϴͬϴϱϱ͘ϴ &dŝŵĞůŝŶĞƐĂŶĚdŝƉƐĨŽƌ^ƵĐĐĞƐƐ
&dŝŵĞůŝŶĞƐ
KŶĐĞĂ&ŚĂƐďĞĞŶĂƉƉƌŽǀĞĚ͕^ŝŐŶĂŶƚ,ĞĂůƚŚĂƚĂDĂŶĂŐĞŵĞŶƚǁŝ ůů
ƌĞǀŝĞǁĂŶĚŝŵƉůĞŵĞŶƚƚŚĞƌĞƋƵĞƐƚǁŝƚŚŝŶϱǁŽƌŬŝŶŐĚĂLJƐ͘/ĨĂ &ŵƵƐƚ
ŐŽƚŽ͞tĂŝƚŝŶŐĨŽƌŝŶĨŽƌŵĂƚŝŽŶ͟ƐƚĂƚƵƐ͕ƚŚĞŶ ƚŚĞŝŵƉůĞŵĞŶƚĂƚŝŽŶ ƚŝŵĞ
ǁŝůůƌĞƐƚĂƌƚŽŶƌĞͲĂƉƉƌŽǀĂůŽĨƚŚĞƵƉĚĂƚĞĚ&͘
dŝƉƐĨŽƌ^ƵĐĐĞƐƐ
/ƚ ŝƐ ŝŵƉŽƌƚĂŶƚ ƚŚĂƚ Ăůů ƚŚĞ ĚĂƚĂ ƚŚĂƚ ŚĂƐ ďĞĞŶ ƵƉůŽĂĚĞĚ ďĞ ƌĞǀ ŝĞǁĞĚ
ĂŶĚĐůĞĂŶĞĚ ƚŚƌŽƵŐŚŽƵƚƚŚĞƐƚƵĚLJ͘WůĞĂƐĞĨŝŶĚďĞůŽǁƐŽŵĞŝŵƉŽƌƚ ĂŶƚ
ŐƵŝĚĞůŝŶĞƐŽŶďĞƐƚƉƌĂĐƚŝĐĞƐ͗
ϭ͘ /ƚŝƐŚŝŐŚůLJŝŵƉŽƌƚĂŶƚƚŚĂƚĚĂƚĂŝƐƌĞǀŝĞǁĞĚĂŶĚ&ƐĂƌĞƌĂŝ ƐĞĚ
ĂŶĚ ĂƉƉƌŽǀĞĚ ŽŶ ĂŶ ŽŶŐŽŝŶŐ ďĂƐŝƐ ƚŽ ĂǀŽŝĚ ŚŝŐŚ ǀŽůƵŵĞƐ ŽĨ
&ƐĂŚĞĂĚŽĨŝŶƚĞƌŝŵĂŶĚĨŝŶĂůĚĂƚĂďĂƐĞůŽĐŬƐ͘& Ž ƌĞ dž Ă ŵ Ɖ ů Ğ ͕LJ Ž ƵĐ Ă ŶƵ Ɛ Ğƚ Ś Ğ /ŶĐŽŶƐŝƐƚĞŶĐŝĞƐ ƌĞƉŽƌƚ ƚ Ž
ŝĚĞŶƚŝĨLJ
…[truncated]