teret dokazivanja - alan uzelac - home page/lwhudwxud ˝ ˘ %d\hu 9odglplu...
TRANSCRIPT
/LWHUDWXUD ���
/,7(5$785$
�� $EUDPRZLWVFK��-DFTXHV 'LH�%HIUHLXQJ�GHV�5LFKWHUV�YRQ�GHU�%HZHLVODVWYHUWHLOXQJ�EHLP�ULFKWHUOLFKHQ(LG��+DPEXUJ��-�*��%LWWHU��6RKQ�������
�� $FNHUPDQ��%UXFH 7KH�&RQFOXVLYH�3UHVXPSWLRQ�6KXIIOH��8QLYHUVLW\�RI�3HQQV\OYDQLD�/DZ5HYLHZ��������YRO�������VWU�����
�� $L\DU��7��/��9HQNDWDUDPD )LHOGV�ODZ�UHODWLQJ�WR�EXUGHQ�RI�SURRI�LQ�FLYLO��WD[DWLRQ��ODERXU��FRPPHUFLDO�UHYHQXH�DQG�FULPLQDO�FDVHV��$OODKDEDG��/DZ�SXEOLVKHUV�������
�� $OEHUV��-DQ =LYLOSUR]HVVRUGQXQJ��PLW�*HULFKWVYHUIDVVXQJVJHVHW]�XQG�DQGHUHQ1HEHQJHVHW]HQ��0sQFKHQ��&��+��%HFN�������QHXEHDUE��$XIO��������
�� $OOHQ��5RQDOG�-� 5DWLRQDOLW\�DQG�$FFXUDF\�LQ�WKH�&ULPLQDO�3URFHVV��$�'LVFRUGDQW�1RWH�RQWKH�+DUPRQL]LQJ�RI�WKH�-XVWLFHV�9LHZV�RQ�%XUGHQV�RI�3HUVXDVLRQ��-RXUQDORI�&ULPLQDO�/DZ�DQG�&ULPLQRORJ\��������YRO������VWU������
�� $OOHQ��5RQDOG�-� $�5HVSRQVH�WR�3URIHVVRU�)ULHGPDQ��7KH�(YROXWLRQ�RI�WKH�+HDUVD\�5XOH�WR�D5XOH�RI�$GPLVVLRQ��0LQQHVRWD�/DZ�5HYLHZ��������YRO������VWU�����
�� $OOHQ��5RQDOG�- $�5HFRQFHSWXDOL]DWLRQ�RI�&LYLO�7ULDOV��%RVWRQ�8QLYHUVLW\�/DZ�5HYLHZ�������YRO������VWU�����
�� $OOHQ��5RQDOG�-� 6WUXFWXULQJ�-XU\�'HFLVLRQPDNLQJ�LQ�&ULPLQDO�&DVHV��$�8QLILHG&RQVWLWXWLRQDO�$SSURDFK�WR�(YLGHQWLDU\�'HYLFHV��+DUYDUG�/DZ�5HYLHZ�������YRO������VWU�����
�� $OOHQ��5RQDOG�-� 7KH�1DWXUH�RI�-XULGLFDO�3URRI��&DUGR]R�/DZ�5HYLHZ��������YRO������VWU�����
��� $OOHQ��5RQDOG�-� &RPPHQW��5DWLRQDOLW\��0\WKRORJ\��DQG�WKH��$FFHSWDELOLW\�RI�9HGULFWV�7KHVLV��%RVWRQ�8QLYHUVLW\�/DZ�5HYLHZ��������YRO������VWU�����
��� $OOHQ��5RQDOG�-� 3UHVXPSWLRQV��,QIHUHQFHV�DQG�%XUGHQ�RI�3URRI�LQ�)HGHUDO�&LYLO�$FWLRQV��$Q�$QDWRP\�RI�8QQHFHVVDU\�$PELJXLW\�DQG�D�3URSRVDO�IRU�5HIRUP�1RUWKZHVWHUQ�8QLYHUVLW\�/DZ�5HYLHZ��������YRO������VWU�����
��� $OOHQ��5RQDOG�-� 3UHVXPSWLRQV�LQ�&LYLO�$FWLRQV�5HFRQVLGHUHG��,RZD�/DZ�5HYLHZ��������YRO�����VWU�����
��� $OOHQ��5RQDOG�-� 2Q�WKH�VLJQLILFDQFH�RI�%DWWLQJ�$YHUDJHV�DQG�6WULNHRXW�7RWDOV��$&ODULILFDWLRQ�RI�WKH��1DNHG�6WDWLVWLFDO�(YLGHQFH��'HEDWH�����7XODQH�/DZ5HYLHZ��������YRO������VWU������
��� $OOHQ��5RQDOG�-� 0RUH�RQ�&RQVWLWXWLRQDO�3URFHVV�RI�SURRI�3UREOHPV��+DUYDUG�/DZ�5HYLHZ�������YRO������VWU������
��� $OOHQ��5RQDOG�-� (YLGHQFH��,QIHUHQFH��5XOHV��DQG�-XGJHPHQW�LQ�FRRQVWLWXWLRQDO�DGMXGLFDWLRQ�WKH�,QWULJXLQJ�&DVH�RI�:DOWRQ�Y��$UL]RQD��-RXUQDO�RI�&ULPLQDO�/DZ�DQG&ULPLQRORJ\��������YRO������VWU�����
��� $OOHQ��5RQDOG�-� 7KH�5HVWRUDWLRQ�RI�,Q�UH�:LQVKLS��$�&RPPHQW�RQ�%XUGHQV�RI�3HUVXDVLRQ�LQ&ULPLQDO�&DVHV�DIWHU�3DWWHUVRQ�Y��1HZ�<RUN��0LFKLJDQ�/DZ�5HYLHZ�������YRO������VWU����
��� $OOHQD��*� 5LIOHVVLRQL�VXO�FRQFHWWR�GL�LQFRVWLWX]LRQDOLWD�GHOOD�SURYD�QHO�SURFHVVRSHQDOH��5LYLVWD�,WDOLDQD�GL�'LULWWR�H�3URFHGXUD�3HQDOH��������YRO������VWU��������
��� $OPHLGD��*��GD�&� 2�RQXV�GD�SURYD�HP�'LUHLWR�,QWHUQDFLRQDO�3ULYDGR��5HYLVWD�GD�2UGHP�GRV$GYRJDGRV��������YRO������QR����VWU���������
��� $PDU��9LNUDP�'DYLG -XU\�6HUYLFH�DV�3ROLWLFDO�3DUWLFLSDWLRQ�$NLQ�WR�9RWLQJ��&RUQHOO�/DZ�5HYLHZ�������YRO������VWU�����
��� $PPDU��'� 3UHXYH�HW�YUDLVHPEODQFH��FRQWULEXWLRQ�D�OHWXGH�GH�OD�SUHXYH�WHFKQRORJLTXH�5HYXH�7ULPHVWULHOOH�GH�'URLW�&LYLO��������YRO������QR����VWU���������
��� $PVWHUGDPVNL��6� ,VWLQD�L�YHURYDWQR±D��)LOR]RILMD��������YRO������VWU���������
��� $QGUH��$FKLP %HZHLVIsKUXQJ�XQG�%HZHLVODVW�LP�9HUIDKUHQ�YRU�GHP�(XURSDLVFKHQ*HULFKWVKRI��.qOQ��%HUOLQ��%RQQ��0sQFKHQ���+H\PDQQ�������
��� $UDQµHORYL²��'UDJROMXE *UD´DQVNR�SURFHVQR�SUDYR�.UDOMHYLQH�-XJRVODYLMH��%HRJUDG���������VWU�����
/LWHUDWXUD ���
��� $UHQV��3HWHU =XU�3UREOHPDWLN�YRQ�QRQ�OLTXHW�(QWVFKLHGXQJHQ��)6�0sOOHU�)UHLHQIHOV��������VWU����
��� $UHQV��3HWHU 'RJPDWLN�XQG�3UD[LV�LQ�GHU�6FKDGHQVVFKiW]XQJ��=HLWVFKULIW�IsU�=LYLOSUR]Hy�������YRO������VWU���
��� $UHQV��3HWHU =LYLOSUR]HyUHFKW��0sQFKHQ��%HFN�����L]G��������
��� $VVHU��:LOOHP�'DQLHO�+� %HZLMVODVWYHUGHOLQJ��'HYHQWHU��.OXZHU�������
��� $XHU��:ROIJDQJ 'LH�9HUWHLOXQJ�GHU�%HZHLVODVW�LP�9HUZDOWXQJVVWUHLWYHUIDKUHQ��0XQFKHQ�>V�Q�@�������
��� %D´L²��)UDQMR 7HRULMD�6ORERGQH�RFMHQH�GRND]D��1D§D�]DNRQLWRVW��������YRO���������VWU��������
��� %DLOH\��:LOOLDP�+� 7KH�RQXV�SUREDQGL��SUHSDUDWLRQ�IRU�WULDO��DQG�WKH�ULJKW�WR�RSHQ�DQG�FRQFOXGH>PLFURIRUP@��1HZ�<RUN��%DQNV��%URV�������
��� %DOO��9�&� 7KH�PRPHQW�RI�WUXWK��SUREDELOLW\�WKHRU\�DQG�VWDQGDUGV�RI�SURRI��9DQGHUELOW/DZ�5HYLHZ���������VWU�����
��� %DQNRZVNL��=HQRQ 7KH�-XU\�DQG�5HDOLW\��7KH�-XU\�XQGHU�$WWDFN���VWU������
��� %DU��/XGZLJ�YRQ 5HFKW�XQG�%HZHLV�LP�&LYLOSURFHVVH��HLQ�%HLWUDJ�]XU�.ULWLN�XQG�5HIRUP�GHVGHXWVFKHQ�&LYLOSURFHVVHV���/HLS]LJ��%��7DXFKQLW]�������
��� %DUORZ��-DPHV 7KH�EXUGHQ�RI�SURRI��D�QRYHO��/RQGRQ��+��+DPLOWRQ�������
��� %DUQHV��'DYLG�:� 6WDWLVWLFDO�HYLGHQFH�LQ�OLWLJDWLRQ��PHWKRGRORJ\��SURFHGXUH��DQG�SUDFWLFH�%RVWRQ��7RURQWR��/LWWOH��%URZQ�������
��� %DUUDLQH��5D\PRQG 7KHRULH�JHQHUDOH�GHV�SUHVRPSWLRQV�HQ�GURLW�SULYH��3DULV��/LEUDLULH�JHQHUDOHGH�GURLW�HW�GH�MXULVSUXGHQFH�������
��� %DWHV��)UDQN 3ULQFLSOHV�RI�HYLGHQFH���UG��HG��6LGQH\��/DZ�%RRN�&R��������
��� %DXPEDFK�/DXWHUEDFK�$OEHUV�+DUWPDQQ
=LYLOSUR]HVVRUGQXQJ��0sQFKHQ��%HFN�������
��� %DXPJiUWHO��*RWWIULHG 'LH�%HZHLVODVW�IXU�GLH�:DKUXQJ�GHU�%HUXIXQJVIULVW��7LPHWLNRV�WRPRV*HRUJLRX�*��0HWVRSRXORQ��)6�0HWVRSRXORQ���VWU�������
��� %DXPJiUWHO��*RWWIULHG 'LH�%HGHXWXQJ�GHU�VRJ���WDWViFKOLFKHQ�9HUPXWXQJ��LP�=LYLOSUR]HVV��(LQH$QDO\VH�GHU�5HFKWVVSUHFKXQJ��)6�6FKZDE��0sQFKHQ��%HFN���������VWU�������
��� %DXPJiUWHO��*RWWIULHG 'DV�%HZHLVPDy�LP�GHXWVFKHQ�=LYLOSUR]Hy��+DEVFKHLG�%H\V��XU���*UXQGIUDJHQ����������
��� %DXPJiUWHO��*RWWIULHG %HZHLVUHFKWOLFKH�6WXGLHQ��%HZHLVZXUGLJXQJ����$EJUHQ]XQJ�]XU�%HZHLVODVW���%HZHLVPDV��)HVWVFKULIW�GHU�5HFKWVZLVVHQVFKDIWOLFKHQ�)DNXOWiW�]XU�����-DKU�)HLHU�GHU�8QLYHUVLWDW�]X�.ROQ��+UVJ��YRQ�+�-��+LUVFK��HW�DO����VWU���������
��� %DXPJiUWHO��*RWWIULHG 'LH�$XVZLUNXQJHQ�YRQ�3DUWHLYHUHLQEDUXQJHQ�DXI�GLH�%HZHLVODVW��)HVWVFKULIWIXU�+DQV�:��)DVFKLQJ�]XP�����*HEXUWVWDJ���VWU�������
��� %DXPJiUWHO��*RWWIULHG +DQGEXFK�GHU�%HZHLVODVW�LP�3ULYDWUHFKW��.ROQ��+H\PDQQ�����QHXEHDUEHLWHWH�XQG�HUZ��$XIO����YRQ�������
��� %DXPJiUWHO��*RWWIULHG %HZHLVPDVV�XQG�%HZHLVODVW�LP�=LYLOSUR]HVV�E\�/HLSROG��'���������ERRNUHYLHZ��-XULVWHQ�=HLWXQJ��������YRO�����QR����VWU������������
��� %DXPJiUWHO��*RWWIULHG +DQGEXFK�GHU�%HZHLVODVW�LP�3ULYDWUHFKW��.ROQ��+H\PDQQ�������������
��� %DXPJiUWHO��*RWWIULHG $XVSUiJXQJ�GHU�SUR]HVVXDOHQ�*UXQGSULQ]LSLHQ�GHU�:DIIHQJOHLFKKHLW�XQGGHU�IDLUHQ�3UR]HyIsKUXQJ�LP�]LYLOSUR]HVVXDOHQ�%HZHLVUHFKW��)6�)UDQ]0DWVFKHU���������VWU�������
��� %DXPJiUWHO��*RWWIULHG�:DKUHQGRUI��9RONHU
%HZHLVODVW�XQG�7UHX�XQG�*ODXEHQ��)6�*HRUJLRV�7K��5DPPRV���VWU�������
��� %D\HU��9ODGLPLU 6�NRMRP�XYMHUHQR§±X�PRUDMX�ELWL�XWYU´HQH�SUDYQR�UHOHYDQWQH�³LQMHQLFH�NRGGRQR§HQMD�SRMHGLQLK�VXGVNLK�RGOXND�X�NU��SRVW���-XJRVORYHQVND�UHYLMD�]DNULPLQRORJLMX�L�NULYL³QR�SUDYR��������YRO�����VWU�������
/LWHUDWXUD ���
��� %D\HU��9ODGLPLU -XJRVODYHQVNR�NULYL³QR�SURFHVQR�SUDYR��.QMLJD�,,��3UDYR�R�³LQMHQLFDPD�LQMLJRYRP�XWYU´LYDQMX�X�NULYL³QRP�SRVWXSNX��=DJUHE��,QIRUPDWRU�������
��� %HFNK��+HUPDQQ 'LH�%HZHLVODVW�QDFK�GHP�EsUJHUOLFKHQ�*HVHW]EXFK��0XQFKHQ��&�+��%HFN������
��� %HJOLQJHU��0LFKDHO %HZHLVODVW�XQG�%HZHLVYHUHLWHOXQJ�LP�=LYLOSUR]HVV��=HLWVFKULIW�IsU6FKZHL]HULVFKHV�5HFKW����+HOELQJ��/LFKWHQKDKQ��������YRO�������VWU�
��� %HOLYHDX��3� /D�SUHXYH�HQ�SURFHGXUH�SHQDOH�FRPSDUHH��&DQDGD��5HYXH�,QWHUQDWLRQDOH�GH'URLW�3HQDO��������YRO������QR������VWU���������
��� %HOLQJ 'LH�%HZHLVYHUERWH�DOV�*UHQ]HQ�GHU�:DKUKHLWVIRUVFKXQJ�LP�6WUDISUR]HVV�%UHVODX�������
��� %HOOLQJ��'HWOHY�5LHVHQKXEHU��.DUO
%HZHLVODVWXPNHKU�XQG�0LWYHUVFKXOGHQ��=HLWVFKULIW�IsU�=LYLOSUR]Hy�������YRO�������VWU���������
��� %HQGHU��5ROI 'DV��6DQGKXIHQWKHRUHP����������(LQ�%HLWUDJ�]XU�5HJHOXQJVWHFKQLN�LQ�GHU*HVHW]JHEXQJVOHKUH��*6��*HGiFKWQLVVFKULIW��IsU�5qGLJ���������VWU�������
��� %HQGHU��5ROI *UXQG]sJH�HLQHU�$OOJHPHLQHQ�%HZHLVOHKUH��'HXWVFKH�5LFKWHU]HLWXQJ�������YRO��������VWU���������
��� %HQGHU��5ROI 'DV�%HZHLVPDy��)6�%DXU���������VWU�����
��� %HQGHU��5qGHU��1DFN 7DWVDFKHQIHVWVWHOOXQJ�YRU�*HULFKW��%DQG�,,��9HUQHKPXQJVOHKUH��0sQFKHQ�%HFN�������
��� %HQGHU��5qGHU��1DFN 7DWVDFKHQIHVWVWHOOXQJ�YRU�*HULFKW��%DQG�,��*ODXEZsUGLJNHLWV��XQG%HZHLVOHKUH��0sQFKHQ��%HFN�������
��� %HQQHPDQQ��-sUJHQ )LNWLRQHQ�XQG�%HZHLVODVWUHJHOXQJHQ�LQ�DOOJHPHLQHQ�*HVFKDIWVEHGLQJXQJHQ�)UDQNIXUW�DP�0DLQ��1HZ�<RUN��3��/DQJ�������
��� %HQQHWW��:��/DQFH��)HOGPDQ�0DUWKD�6�
5HFRQVWUXFWLQJ�5HDOLW\�LQ�WKH�&RXUWURRP��-XVWLFH�DQG�-XGJHPHQW�LQ$PHULFDQ�&XOWXUH��1HZ�%UXQVZLFN��5XWJHUV�8QLYHUVLW\�3UHVV�������
��� %HQWKDP��-HUHP\ 5DWLRQDOH�RI�-XGLFLDO�(YLGHQFH��/RQGRQ��+XQW�DQG�&ODUNH��������
��� %HQWKDP��-HUHP\ $�WUHDWLVH�RQ�MXGLFLDO�HYLGHQFH��H[WUDFWHG�IURP�WKH�PDQXVFULSWV�RI�-HUHP\%HQWKDP��(VT���/RQGRQ��-�:��3DJHW�������
��� %HUJ��:LOIULHG 'LH�YHUZDOWXQJVUHFKWOLFKH�(QWVFKLHGXQJ�EHL�XQJHZLVVHP�6DFKYHUKDOW���'XQFNHU��+XPEORW�������
��� %HVW��:LOOLDP�0DZGHVOH\ 7KH�SULQFLSOHV�RI�WKH�ODZ�RI�HYLGHQFH��ZLWK�HOHPHQWDU\�UXOHV�IRU�FRQGXFWLQJWKH�H[DPLQDWLRQ�DQG�FURVVH[DPLQDWLRQ�RI�ZLWQHVVHV���/RQGRQ�6ZHHW�DQG0D[ZHOO��OWG�����WK�HG��WR�ZKLFK�DUH�DGGHG�IXOO�QRWHV�R�������
��� %HWKPDQQ�+ROZHJ��$XJXVW 'HU�&LYLOSUR]HVV�GHV�JHPHLQHQ�5HFKWV�LQ�JHVFKLFKWOLFKHU�(QWZLFNOXQJ�%RQQ�������
��� %HWWHUPDQ��$XJXVW 'LH�%HZHLVODVW�LP�9HUZDOWXQJVSUR]HVV��3ULORJ�GLVNXVLML��9HUKDQGOXQJHQGHV�����GHXWVFKHQ�-XULVWHQWDJHV���VWU��(���
��� %HW]LQJHU��%HUQKDUG�$QWRQ 'LH�%HZHLVODVW�LP�&LYLOSURFHVV��.DUOVUXKH�������
��� %H\HUOH��)UDQ] 'LH�%HZHLVYHUWHLOXQJ�LP�JHULFKWOLFKH�6XKQHYHUIDKUHQ�GHU�9RONVUHFKWH�+HLGHOEHUJ��&DUO�:LQWHU�������
��� %ORPH\HU��$UZHG %HZHLVODVW�XQG�%HZHLVZsUGLJXQJ�LP�=LYLO�XQG�9HUZDOWXQJVSUR]Hy�*XWDFKWHQ�IsU�GHQ�����'W��-XULVWHQWDJ��������YRO��,��VWU�
��� %ORPH\HU��$UZHG =LYLOSUR]HVVUHFKW��(UNHQQWQLVYHUIDKUHQ��%HUOLQ��6SULQJHU�������
��� %RGLQJWRQ��2OLYHU�(� $Q�RXWOLQH�RI�WKH�)UHQFK�ODZ�RI�HYLGHQFH��/RQGRQ��6WHYHQV��/RQGRQ�6WHYHQV�������
��� %RKOHQ��)UDQFLV�+� 7KH�(IIHFW�RI�5HEXWWDEOH�3UHVXPSWLRQV�RI�/DZ�XSRQ�WKH�%XUGHQ�RI�3URRI�8QLYHUVLW\�RI�3HQQV\OYDQLD�/DZ�5HYLHZ��������YRO������VWU�����
��� %RKQH��*RWWKROG �0LW�HLQHU�DQ�6LFKHUKHLW�JUHQ]HQGHQ�:DKUVFKHLQOLFKNHLW���1HXH�-XULVWLVFKH:RFKHQVFKULIW��������YRO������VWU�����������
��� %RKQH��*RWWKROG =XU�3V\KRORJLH�GHU�ULFKWHUOLFKHQ�fEHU]HXJXQJVELOGXQJ�������
��� %ROGLQJ��3HU�2ORI $VSHFWV�RI�WKH�EXUGHQ�RI�SURRI��6FDQGLQDYLDQ�6WXGLHV�LQ�/DZ���������VWU���
/LWHUDWXUD ���
��� %ROGLQJ��3HU�2ORI 6DFKDXINOiUXQJ�XQG�fEHU]HXJXQJVELOGXQJ�LP�6FKZHGLVFKHQ�=LYLOSUR]Hy�&DHPPHUHU��XU����)UHLKHLW�XQG�%LQGXQJ������������VWU�������
��� %ROGLQJ��3HU�2ORI $VSHFWV�RI�WKH�EXUGHQ�RI�SURRI��*RWHERUJ��$OPTYLVW��:LNVHOO�������
��� %ROGLQJ��3HU�2ORI %HYLVERUGHQ�RFK�GHQ�MXULVGLVND�WHNQLNHQ��ZLWK�D�VXPPDU\�LQ�(QJOLVK�8SSVDOD��$SSHOEHUJV�������
��� %RUVW��1HSRPXN fEHU�GLH�%HZHLVODVW�LP�&LYLOSUR]HV]��%DPEHUJ�XQG�/HLS]LJ��&DUO�)ULHGULFK.XQW]�������
��� %RVFK��)ULHGULFK�:LOKHOP *UXQGVDW]IUDJHQ�GHV�%HZHLVUHFKWV�������
��� %R§NRYL²��0LUNR 7HUHW�GRND]LYDQMD�X�SDUQL³QRP�SRVWXSNX��3ULYUHGQRSUDYQL�SULUX³QLN�%HRJUDG��������YRO������VWU������
��� %UDE\Q��-� 7KH�EXUGHQ�RI�SURRI�E\�.LUDOI\��$���������ERRN�UHYLHZ��+RQJ�.RQJ�/DZ-RXUQDO��������YRO�����QR����VWU���������
��� %UHDOH\��0DUN 7KH�%XUGHQ�RI�3URRI�EHIRUH�WKH�(XURSHDQ�&RXUW��(XURSHDQ�/DZ�5HYLHZ�����QR�����������VWU���������
��� %URQQLPDQQ��&��-XUJHQ 'LH�%HKDXSWXQJV��XQG�6XEVWDQ]LHUXQJVODVW�LP�VFKZHL]HULVFKHQ=LYLOSUR]HVVUHFKW��%HUQ��6WDPSIOL�������
��� %UR[��+DQV 'LH�%HGHXWXQJ�GHU�%HZHLVODVW�LP�=LYLOSUR]Hy��-$���������VWU����
��� %UXFN��$GDOEHUW 'LH�%HZHLVODVW�KLQVLFKWOLFK�GHU�%HVFKDIIHQKHLW�GHV�.DXIJHJHQVWDQGHV�QDFKGHP�JHPHLQHQ�XQG�SUHXVVLVFKHQ�&LYLOUHFKWH��%HUOLQ��&��+H\PDQQ�������
��� %UXQV��5XGROI %HZHLVZHUW��=HLWVFKULIW�IsU�=LYLOSUR]Hy��������YRO������VWU����
��� %UXQV��5XGROI =XU�6\VWHPDWLN�GHU�JHVHW]OLFKHQ�%HZHLVDUWHQ�LP�=LYLOSUR]HVV�-XULVWHQ]HLWXQJ��������YRO������VWU���������
��� %UXQV��5XGROI =LYLOSUR]HVVUHFKW��(LQH�V\VWHPDWLVFKH�'DUVWHOOXQJ��%HUOLQ�X��)UDQNIXUW�D�0��9DKOHQ�������
��� %UXVNH��)UDQN %HZHLVZsUGLJXQJ�XQG�%HZHLVODVW�EHL�$XINOiUXQJVSIOLFKWYHUOHW]XQJHQ�LP%DQNUHFKW��%HUOLQ��'XQFNHU��+XPEORW���������VWU�����
��� %XFLHN��.ODXV�'� %HZHLVODVW�XQG�$QVFKHLQVEHZHLV�LP�LQWHUQDWLRQDOHQ�5HFKW��%RQQ��GLVV��������
��� %sORZ��2VNDU 'LH�/HKUH�YRQ�GHQ�3URFHVVHLQUHGHQ�XQG�GHQ�3URFHVVYRUDXVVHW]XQJHQ�*LHVVHQ��(��5RWK�������
��� %XUFNKDUG��+XJR��5LWWHU�YRQ 'LH�FLYLOLVWLVFKHQ�3UiVXPWLRQHQ��:HLPDU��/DQGHV�,QGXVWULH�&RPSWRLU������
��� 7KH�%XUGHQ�RI�3URRI�LQ�'RXEOH�-HRSDUG\�&ODLPV��0LFKLJDQ�/DZ�5HYLHZ�������YRO������VWU�����
��� %X\OH��-�3� 1RXYHOOHV�UHJOHV�HQ�PDWLHUH�GH�SUHXYH�SDU�FRSLH�GH�GRFXPHQWV��ORLV�GHV���MXLQ����������MXLOOHW������HW����MXLOOHW��������-RXUQDO�GHV�7ULEXQDX[������QR��������������VWU���������
��� %\GOLQVNL��)UDQ] -XULVWLVFKH�0HWKRGHQOHKUH�XQG�5HFKWVEHJULII��:LHQ��1HZ�<RUN��6SULQJHU9HUODJ�������
��� &DHPPHUHU��(UQVW�YRQ )UHLKHLW�XQG�%LQGXQJ�GHV�=LYLOULFKWHUV�LQ�GHU�6DFKDXINOiUXQJ����0HW]QHU������
���� &DOOHQ��&UDLJ�5� &RJQLWLYH�6FLHQFH�DQG�WKH�6XIILFLHQF\�RI��6XIILFLHQF\�RI�WKH�(YLGHQFH�7HVWV��7XODQH�/DZ�5HYLHZ��������YRO������VWU������
���� &DPSEHOO��:DOOHU :HOO�DQG�7UXO\�7ULHG�������
���� &DPSKDXVHQ��:DOWKHU 'LH�%HZHLVODVW�EHL�GHU�5sFNIRUGHUXQJVNODJH�ZHJHQ�1LFKWHLQWULWWV�GHV�PLWGHU�/HLVWXQJ�EH]ZHFNWHQ�(UIROJHV�������
���� &DQDO�6RU]DQR��5DPRQ &RQVLGHUDFLRQHV�JHQHUDOHV�VREUH�SUXHED�\�FDUJD�GH�OD�SUXHED�HQ�HO�GHUHFKRFRORPELDQR��>%RJRWD��0LQHUYD@���������
���� &DQVWHLQ��5DEDQ 'DV�=LYLOSUR]HVVUHFKW��%HUOLQ��+H\PDQQV�������
���� &DQVWHLQ��5DEDQ 'LH�UDWLRQHOOHQ�*UXQGODJHQ�GHV�&LYLOSUR]HVVHV��:LHQ��0DQ]�������
/LWHUDWXUD ���
���� &DQVWHLQ��5DEDQ 'LH�*UXQGODJHQ�GHV�%HZHLVUHFKWV��=HLWVFKULIW�IsU�=LYLOSUR]Hy��������YRO����VWU�����
���� &DSSHOOHWWL��0DXUR &LYLO�SURFHGXUH�LQ�,WDO\��7KH�+DJXH��0��1LMKRII�������
���� &DSSHOOHWWL��0DXUR 3ROLFLHV��WUHQGV��DQG�LGHDV�LQ�FRPSDUDWLYH�FLYLO�SURFHGXUH��>6�O���V�Q�@��>��@������
���� &DUWHU��.LP 3URRI�EH\RQG�D�UHDVRQDEOH�GRXEW"�&ROOHFWLQJ�(YLGHQFH�IRU�WKH�,QWHUQDWLRQDO&ULPLQDO�7ULEXQDO�IRU�WKH�)RUPHU�<XJRVODYLD��&DQDGLDQ�<HDUERRN�RI,QWHUQDWLRQDO�/DZ��������YRO������VWU���������
���� &LQL��'DUNR 2�QHNLP�NOMX³QLP�WR³NDPD�SUREOHPDWLNH�SUDYLOD�R�WHUHWX�GRND]LYDQMD�XJUD´DQVNRM�SURFHVQRM�SUDYQRM�WHRULML��=ERUQLN�3UDYQRJ�IDNXOWHWD�X�=DJUHEX�������YRO������VWU���������
���� &LQL��'DUNR 6LVWHPDWLND�X³HQMD�R�WHUHWX�GRND]LYDQMD�X�MXJRVODYHQVNRM�QDXFL�JUD´DQVNRJSURFHVQRJ�SUDYD��=ERUQLN�3UDYQRJ�IDNXOWHWD�X�=DJUHEX��������YRO������VWU��������
���� &LQL��'DUNR 7H]H�WHRUHWL³DUD�JUD´DQVNRJ�SURFHVQRJ�SUDYD�R�WHUHWX�GRND]LYDQMD�L�QHNDRWYRUHQD�SLWDQMD��=ERUQLN�3UDYQRJ�IDNXOWHWD�X�=DJUHEX��������YRO������VWU��������
���� &OHDU\��(GZDUG�:� 3UHVXPLQJ�DQG�3OHDGLQJ��$Q�(VVD\�RQ�-XULVWLF�,PPDWXULW\��6WDQIRUG�/DZ5HYLHZ��������YRO������VWU������
���� &qVWHU�:DOWMHQ��'DJPDU ,QWHUQDWLRQDOHV�%HZHLVUHFKW��GDV�DXI�GHQ�%HZHLV�DQZHQGEDUH�5HFKW�LQ5HFKWVWUHLWLJNHLWHQ�PLW�$XVODQGVEH]XJ��(EHOVEDFK��*UHPHU�������
���� &RKHQ��/��-RQDWKDQ 7KH�SUREDEOH�DQG�WKH�SURYDEOH��2[IRUG��&ODUHQGRQ�3UHVV��2[IRUG�&ODUHQGRQ�3UHVV�������
���� &RKHQ��1HLO�%� 7KH�&RVWV�RI�$FFHSWDELOLW\��%OXH�%XVVHV��$JHQW�2UDQJH��DQG�$YHUVLRQ�WR6WDWLVWLFDO�(YLGHQFH��%RVWRQ�8QLYHUVLW\�/DZ�5HYLHZ��������YRO������VWU�����
���� &RPPHQW��(YLGHQFH��7KH�9DOLGLW\�RI�0XOWLSOH�6WDQGDUGV�RI�3URRI�:LVFRQVLQ�/DZ�5HYLHZ��������YRO��������VWU���������
���� &RZHQ�=��&DUWHU�3��%� (VVD\V�RQ�WKH�/DZ�RI�(YLGHQFH��2[IRUG��&ODUHQGRQ�3UHVV�������
���� &URVV��5XSHUW 7KH�JROGHQ�WKUHDG�RI�WKH�(QJOLVK�FULPLQDO�ODZ��WKH�EXUGHQ�RI�SURRI�&DPEULGJH��1HZ�<RUN��&DPEULGJH�8QLYHUVLW\�3UHVV�������
���� &URVV��5XSHUW��:LONLQV�1DQF\
$Q�2XWOLQH�RI�WKH�/DZ�RI�(YLGHQFH����HG��/RQGRQ��%XWWHUZRUWK�������
���� &URVV��5XSHUW��7DSSHU�&ROLQ
&URVV�RQ�HYLGHQFH���WK�HG���/RQGRQ��%XWWHUZRUWK�������
���� &URVV��5XSHUW��7DSSHU�&ROLQ
&URVV�RQ�HYLGHQFH���WK�HG���/RQGRQ��%XWWHUZRUWK�������
���� &XSSHUV��-RVHSK %HLWUDJH�]XU�/HKUH�YRQ�GHU�%HZHLVODVW��'sVVHOGRUI��'UXFN�YRQ�/��6FKZDQQ������
���� ³DOLMD��%UDQNR )XQNFLMD�L�SUDYQD�SULURGD�SUDYLOD�R�WHUHWX�GRND]LYDQMD��*RGL§QMDN�3UDYQRJIDNXOWHWD�6DUDMHYR��������YRO������VWU������
���� ³DOLMD��%UDQNR 6ORERGQD�RFMHQD�LVND]D�VYMHGRND�NDR�GRND]QRJ�VUHGVWYD�X�JUD´DQVNRPSRVWXSNX��*RGL§QMDN�3UDYQRJ�IDNXOWHWD�6DUDMHYR��������YRO������VWU���������
���� ³DOLMD��%UDQNR 6ORERGQD�RFHQD�GRND]D�X�JUD´DQVNRP�SURFHVQRP�SUDYX��GLVV����%HRJUDG������
���� ³DOLMD��%UDQNR 2VWDFL�OHJDOQH�WHRULMH�GRND]D�X�=33��*RGL§QMDN�3UDYQRJ�IDNXOWHWD�6DUDMHYR�������YRO�����VWU���������
���� 'DKOPDQQV��*HUKDUG�-� 'HU�6WUXNWXUZDQGHO�GHV�GHXWVFKHQ�=LYLOSUR]HVVHV�LP�����-DKUKXQGHUW�$DOHQ��6FLHQWLD9HUODJ�������
���� 'DPD§ND��0LUMDQ (YLGHQWLDU\�%DUULHUV�WR�&RQYLFWLRQ�DQG�7ZR�0RGHOV�RI�&ULPLQDO�3URFHGXUH�$�&RPSDUDWLYH�6WXG\��8QLYHUVLW\�RI�3HQQV\OYDQLD�/DZ�5HYLHZ��������YRO������VWU���������
/LWHUDWXUD ���
���� 'DPD§ND��0LUMDQ 7KH�'HDWK�RI�/HJDO�7RUWXUH��/DQJEHLQ��7RUWXUH�DQG�WKH�/DZ�RI�3URRI�(XURSH�DQG�(QJODQG�LQ�WKH�$QFLHQ�5HJLPH��<DOH�/DZ�-RXUQDO��������YRO�����VWU���������
���� 'DPD§ND��0LUMDQ 2I�+HDUVD\�DQG�,WV�$QDORJXHV��0LQQHVRWD�/DZ�5HYLHZ��������YRO������VWU����
���� 'DPD§ND��0LUMDQ $WRPLVWLF�DQG�KROLVWLF�HYDOXDWLRQ�RI�HYLGHQFH��D�FRPSDUDWLYH�YLHZ�&RPSDUDWLYH�DQG�SULYDWH�LQWHUQDWLRQDO�ODZ��HVVD\V�LQ�KRQRU�RI�-RQK�+HQU\0HUU\PDQ���������VWU��������
���� 'DPHV��2WWR 'HU�.ODJJUXQG�XQG�GLH�9HUWHLOXQJ�GHU�%HZHLVODVW�EHL�GHU�(LJHQWXPVNODJHDXV�>GRXEOH�VHFWLRQ�V\PERO@�����������%*%�������:XU]EXUJ��&�-��%HFNHU������
���� 'HSSH��*sQWKHU 'LH�%HZHLVODVW�LP�9HUZDOWXQJVYHUIDKUHQ�XQG�LP�9HUZDOWXQJVSUR]HVV�>0XQVWHU��.UDPHU@�������
���� 'HYHORSPHQWV�LQ�WKH�/DZ��&RQIURQWLQJ�WKH�1HZ�&KDOOHQJHV�RI�6FLHQWLILF(YLGHQFH��+DUYDUG�/DZ�5HYLHZ��������YRO�������VWU������
���� 'LHVHQ��&KULVWLDQ 8WHYDURKDQGODJJQLQJ�RFK�EHYLVSURYQLQJ�L�EURWWPDO��6WRFNKROP�-XULVWIRUODJHW�������
���� 'LJH��3DOOH�+YDVV %HYLV�L�NRQWUDNWVIRUKROG��HQ�XQGHUVRJHOVH�RJ�NULWLVN�YXUGHULQJ�DI�GHEHYLVE\UGHUHJOHU��VRP�GDQVN�UHW�DQYHQGHU�L�NRQWUDNWVIRUKROG������.REHQKDYQ�(��0XQNVJDDUG�������
���� 'LMVWUD��&� 'H�MXULVSUXGHQWLH�RS�GHQ�EHZLMVODVW��5RWWHUGDP��'UXNNHULM�/LEHUWDV�������
���� 'qKULQJ��(ULFK 'LH�(UIRUVFKXQJ�GHV�6DFKYHUKDOWV�LP�3UR]HVV��%HZHLVHUKHEXQJ�XQG%HZHLVZsUGLJXQJ��%HUOLQ�������
���� 'RVVPDQQ��(UQVW 'LH�%HZHLVODVW�EHL�GHU�FRQGLFWLR�RE�FDXVDP�GDWRUXP�������
���� 'sULJ��-XOLD %HZHLVPDVV�XQG�%HZHLVODVW�LP�$V\OUHFKW��0XQFKHQ��&�+��%HFN�������
���� 'ZRUNLQ��5RJHU (DV\�&DVHV��%DG�/DZ��DQG�%XUGHQV�RI�3URRI��9DQGHUELOW�/DZ�5HYLHZ�������YRO������VWU������
���� (FNKRII��7RUVWHLQ�(LQDQJ 7YLOVULVLNRHQ��%HYLVE\UGHQ���2VOR��-�*��7DQXP�������
���� (FNKRII��7RUVWHLQ�(LQDQJ 1RHQ�RUG�RP�EHYLVE\UGH�RJ�EHYLVE\UGHWHRULHQ������>2VOR"1DWLRQDOWU\NNHULHW@���������
���� (JJOHVWRQ��5LFKDUG (YLGHQFH��SURRI�DQG�SUREDELOLW\���QG�HG���/RQGRQ��:HLGHQIHOG�DQG1LFROVRQ�������
���� (LVQHU��)UHGHULFN %HZHLVODVWIUDJHQ�XQG�%HZHLVZsUGLJXQJ�LP�GHXWVFKHQ�XQG�DPHULNDQLVFKHQ=LYLOSUR]Hy��=HLWVFKULIW�IsU�=LYLOSUR]Hy��������YRO�������VWU����
���� (NHOqI��3HU�2ORI %HZHLVZsUGLJXQJ��%HZHLVODVW�XQG�%HZHLV�GHV�HUVWHQ�$QVFKHLQV��=HLWVFKULIWIsU�=LYLOSUR]Hy��������YRO������VWU�����
���� (NHOqI��3HU�2ORI )UHH�HYDOXDWLRQ�RI�HYLGHQFH��6FDQGLQDYLDQ�6WXGLHV�LQ�/DZ���������VWU����
���� (NHOqI��3HU�2ORI %HZHLVZHUW��)6�%DXU���������VWU�����
���� (QJHOPDQQ��$UWKXU $�KLVWRU\�RI�FRQWLQHQWDO�FLYLO�SURFHGXUH��%RRN�,,�,9��5RPDQ��*HUPDQ�DQG$XVWULDQ�&LY�3UR���6RXWK�+DFNHQVDFN��1�-���5RWKPDQ�5HSULQWV��6RXWK+DFNHQVDFN��1�-���5RWKPDQ�5HSULQWV�������
���� (QJHOPDQQ��$UWKXU $�KLVWRU\�RI�FRQWLQHQWDO�FLYLO�SURFHGXUH��%RRN�,9��)UDQFH��6ZHGHQ��6RXWK+DFNHQVDFN��1�-���5RWKPDQ�5HSULQWV��6RXWK�+DFNHQVDFN��1�-���5RWKPDQ5HSULQWV�������
���� (QJHOPDQQ��$UWKXU $�KLVWRU\�RI�FRQWLQHQWDO�FLYLO�SURFHGXUH��%RRN�,��6RXWK�+DFNHQVDFN��1�-��5RWKPDQ�5HSULQWV��6RXWK�+DFNHQVDFN��1�-���5RWKPDQ�5HSULQWV�������
���� (VVHU��-��3� .ULWLVFKH�EHOHXFKWXQJ�GHV�URPLVFKHQ�UHFKWV��XEHU�GLH�EHZHLVODVW�EHL�GHQVHUYLWXWHQ�NODJHQ���7ULHU��-�-��/LQW]�������
���� )DKUHQKRUVW��,� %HZHLVODVW�LP�$U]WKDIWXQJVSUR]HV����]XP�5LFKWHUOLQLHQYRUVFKODJ�GHU�(*�.RPPLVVLRQ�YRP������������=HLWVFKULIW�IXU�5HFKWVSROLWLN������QR���������VWU�������
���� )DVFKLQJ��+DQV�:� .RPPHQWDU�]X�GHQ�=LYLOSUR]HyJHVHW]HQ�,,,�������
/LWHUDWXUD ���
���� )DVFKLQJ��+DQV�:� 'LH�(UPLWWOXQJ�YRQ�7DWVDFKHQ�GXUFK�GHQ�6DFKYHUVWiQGLJHQ�LP�=LYLOSUR]Hy�)6�0DWVFKHU���VWU����
���� )DVFKLQJ��+DQV�:� /HKUEXFK�GHV�qVWHUUHLFKLVFKHQ�=LYLOSUR]HyUHFKWV�������
���� )DVWHQUDWK��-qUJ $UW]KDIWSIOLFKWYHUOHW]XQJHQ�XQG�%HZHLVWODVWYHUWHLOXQJ����/DQJ�������
���� )LFNHO��/XGZLJ 'DV�:HVHQ�GHU�%HZHLVODVW��(UODQJHQ��.DUO�'RUHV�������
���� )LHQEHUJ��6WHSKHQ�(� 0LVXQGHUVWDQGLQJ��%H\RQG�D�5HDVRQDEOH�'RXEW��%RVWRQ�8QLYHUVLW\�/DZ5HYLHZ��������YRO������VWU�����
���� )LQNHOVWHLQ�)DLUOH\ $�%D\HVLDQ�$SSURDFK�WR�,GHQWLILFDWLRQ�(YLGHQFH��+DUYDUG�/DZ�5HYLHZ�������YRO��������VWU���������
���� )LQNHOVWHLQ��0LFKDHO�2� 4XDQWLWDWLYH�0HWKRGV�LQ�WKH�/DZ�������
���� )LWWLQJ��+HUPDQQ�+HLQULFK 'LH�*UXQGODJHQ�GHU�%HZHLVODVW���%HUOLQ�������
���� )OHWFKHU��*HRUJH�3� 7ZR�.LQGV�RI�/HJDO�5XOHV��$�&RPSDUDWLYH�6WXG\�RI�%XUGHQ�RI�3HUVXDVLRQ3UDFWLFHV�LQ�&ULPLQDO�&DVHV��<DOH�/DZ�-RXUQDO��������YRO������VWU�����
���� )UDQFHVFKHOOL��9LQFHQ]R ,�UDSSRUWL�GL�IDWWR��ULFRVWUX]LRQH�GHOOD�IDWWLVSHFLH�H�WHRULD�JHQHUDOH��0LODQR�$��*LXIIUH�������
���� )UDQN��-HURPH &RXUWV�RQ�7ULDO��0\WK�DQG�5HDOLW\�LQ�$PHULFDQ�-XVWLFH��3ULQFHWRQ��1HZ-HUVH\��3ULQFHWRQ�8QLYHUVLW\�3UHVV��������
���� )UDQNHO��0DUYLQ�(� 7KH�6HDUFK�IRU�7UXWK��DQ�8PSLUHDO�9LHZ��8QLYHUVLW\�RI�3HQQV\OYDQLD�/DZ5HYLHZ��������YRO�������VWU�����������
���� )UDQ]NL��'LHWPDU 'LH�%HZHLVUHJHOQ�LP�$UW]WKDIWXQJVSUR]Hy��H��SUR]HVVUHFKWOLFKH�6WXGLH�XQWHU%HUsFNVLFKWLJXQJ�G��DPHULNDQLVFKHQ�5HFKWV��8QLY��'LVV��*qWWLQJHQ�*qWWLQJHQ��'XQFNHU��+XPEORW���������VWU�����
���� )UHHGPDQ��0RQURH�+� -XGJH�)UDQNHOV�6HDUFK�IRU�7UXWK��8QLYHUVLW\�RI�3HQQV\OYDQLD�/DZ�5HYLHZ�������YRO�������VWU�����������
���� )ULHGHQWKDO��-DFN�+���.DQH�0DU\��0LOOHU��$UWKXU
&LYLO�SURFHGXUH��6W��3DXO��0LQQ���:HVW�3XE����QG�HG��������
���� )ULHGPDQ��/DZUHQFH�0� $�+LVWRU\�RI�$PHULFDQ�/DZ��1HZ�<RUN��7RXFKVWRQH�������������
���� )XFLN��5REHUW 'DV�%HZHLVPDy�LP�=LYLOSUR]Hy��eVWHUUHLFKLVFKH�5LFKWHU]HLWXQJ���������VWU����
���� *DVNLQV��5LFKDUG�+� %XUGHQ�RI�SURRI�LQ�PRGHUQ�GLVFRXUVH��1HZ�+DYHQ��<DOH�8QLYHUVLW\�3UHVV��<DOH�8QLY��3UHVV�������
���� *DXWVFKL��:DOWHU %HZHLVODVW�XQG�%HZHLVZsUGLJXQJ�EHL�IUHLHP�ULFKWHUOLFKHQ�(UPHVVHQ�=XULFK��2UHOO�)XVVOL�������
���� *HUEHU��+HUPDQQ %HLWUDJH�]XU�/HKUH�YRP�.ODJHJUXQGH�XQG�GHU�%HZHLVODVW��PLW�EHVRQGHUHU%H]LHKXQJ�DXI�JHZLVVH�REOLJDWRULVFKH�9HUKiOWQLVVH�����-HQD�������
���� *LXOLDQL��$OHVVDQGUR ,O�FRQFHWWR�GL�SURYD��&RQWULEXWR�DOOD�ORJLFD�JLXULGLFD��0LODQR��*LXIIUH�������
���� *ODKV��+HLNH 'LH�6DFKYHUKDOWVHUPLWWOXQJ�XQG�%HZHLVWODVWYHUWHLOXQJ�LP*UXQGEXFKDQWUDJVYHUIDKUHQ����%URFNPH\HU�������
���� *ODQYLOOH��:LOOLDPV 7KH�3URRI�RI�*XLOW��$�6WXG\�RI�WKH�(QJOLVK�&ULPLQDO�7ULDO��/RQGRQ��6WHYHQV�6RQV�������
���� *ODVHU��-XOLXV %HLWUiJH�]XU�/HKUH�YRP�%HZHLV�LP�6WUDISUR]HVV��/HLS]LJ�������
���� *PHKOLQJ��%HUQKDUG 'LH�%HZHLVODVWYHUWHLOXQJ�EHL�6FKDGHQ�DXV�,QGXVWULHLPPLVVLRQHQ��.ROQ�+H\PDQQ��������
���� *qULQJ��0DUFXV 'LH�%HZHLVODVW�LP�6R]LDOUHFKW��1HZ�<RUN��%HUQH��)UDQNIXUW�D�0���/DQJ������
���� *RWWZDOG��3HWHU 'LH�5HYLVLRQVLQVWDQ]�DOV�7DWVDFKHQLQVWDQ]��%HUOLQ��'XQFNHU��+XPEORW������
���� *RWWZDOG��3HWHU 6RQGHUUHJHOQ�GHU�%HZHLVODVWYHUWHLOXQJ��-XULVWLVFKH�$XVELOGXQJ���������VWU����
���� *RWWZDOG��3HWHU 6FKDGHQV]XUHFKQXQJ�XQG�6FKDGHQVVFKiW]XQJ��0sQFKHQ��%HFN�������
/LWHUDWXUD ���
���� *RWWZDOG��3HWHU *UXQGSUREOHPH�GHU�%HZHLVODVWYHUWHLOXQJ��-XULVWLVFKH�$XVELOGXQJ�������VWU�����
���� *UDKDP��.HQQHWK�:��-U� �7KHUHOO�$OZD\V�%H�DQ�(QJODQG���7KH�,QVWUXPHQWDO�,GHRORJ\�RI�(YLGHQFH�0LFKLJDQ�/DZ�5HYLHZ��������YRO������VWU������
���� *UHHQOHDI��6LPRQ $�WUHDWLVH�RQ�WKH�ODZ�RI�HYLGHQFH��3KLODGHOSKLD��5��:HOVK��5HY���ZLWK�ODUJHDGGLWLRQV���E\�:LOOLDP�������
���� *UHJHU��5HLQKDUG 3UD[LV�XQG�'RJPDWLN�GHV�$QVFKHLQVEHZHLVHV��9HUVLFKHUXQJVUHFKW��YRO�����VWU������
���� *UHJHU��5HLQKDUG %HZHLV�XQG�:DKUVFKHLQOLFKNHLW��GHU�%HZHLVNULWHULXP�LP�$OOJHPHLQHQ�XQGEHL�GHU�VRJ��%HZHLVHUOHLFKWHUXQJHQ��.ROQ��%HUOLQ��%RQQ��0XQFKHQ�+H\PDQQ�������
���� *UH\HU]��&KULVWRSK�YRQ 'HU�%HZHLV�QHJDWLYHU�7DWVDFKHQ��%HUQ��6WDPSIOL��&LH��%HUQ��6WDPSIOL�&LH�������
���� *ULPP��,QHV %HZHLVODVW�XQG�3ULPD�IDFLH�%HZHLV�LP�qVWHUUHLFKLVFKHQ�XQG�GHXWVFKHQ=LYLOSUR]HyUHFKW����8QLY��'LVV��6DO]EXUJ���������VWU�����
���� *URQHU��-RQDWKDQ %XUGHQ�6KLIWLQJ�DV�$FWLYLVP��$�QHZ�ERRN�SRQGHUV�KRZ�SURFHVV�FDQ�VKDSHVXEVWDQFH��%XUGHQ�RI�SURRI�LQ�PRGHUQ�GLVFRXUVH�E\�5LFKDUG�*DVNLQV�$PHULFDQ�%DU�$VVRFLDWLRQ�-RXUQDO��YRO������VWU��������
���� *UXEL§D��0ODGHQ ¦WR�]QD³L�X�SUHRFHVQRSUDYQRP�VPLVOX�XWYUGLWL�³LQMHQL³QR�VWDQMH��³LQMHQLFH�WNR�JD�XWYU´XMH�X�NULYL³QRP�SRVWXSNX��1D§D�]DNRQLWRVW��������YRO������VWU�������
���� *UXEL§D��0ODGHQ ²LQMHQL³QR�VWDQMH�X�NULYL³QRP�SRVWXSNX��=DJUHE��,QIRUPDWRU�������
���� *UXEL§D��0ODGHQ 5MH§HQMH�SUREOHPD�UD]OLNRYDQMD�L�UD]JUDQL³HQMD�³LQMHQL³QRJ�L�SUDYQRJSLWDQMD��1D§D�]DNRQLWRVW��������YRO������VWU�������
���� *UXEL§D��0ODGHQ ²LQMHQL³QR�L�SUDYQR�SLWDQMH��1D§D�]DNRQLWRVW��������YRO������VWU���������
���� *UXEL§D��0ODGHQ 6ORERGQR�VXGD³NR�XYMHUHQMH��SULQFLS�LQ�GXELR�SUR�UHR�L�PL§OMHQMH�YMH§WDND�1D§D�]DNRQLWRVW��������YRO������VWU���������
���� *UXQHEDXP��$EUDKDP +HW�NDUDNWHU�YDQ�GHQ�EHZLMVODVW�LQ�KHW�EXUJHUOLMN�JHGLQJ��$PVWHUGDP��-��+�GH�%XVV\�������
���� *XJJHQEsKO��0DUNXV 'LH�JHVHW]OLFKHQ�9HUPXWXQJHQ�GHV�3ULYDWUHFKWV�XQG�LKUH�:LUNXQJHQ�LP=LYLOSUR]HVV��=sULFK��GLVV��������
���� *XOGHQHU��0D[ %HZHLVZsUGLJXQJ�XQG�%HZHLVODVW�QDFK�VFKZHL]HULVFKHP�=LYLOSUR]HVVUHFKW�=XULFK��6FKXOWKHVV�������
���� *XOGQHU��:HUQHU 'LH�%HZHLVODVW�IXU�9HUVFKXOGHQ�EHL�GHU�+DIWXQJ�IXU�SRVLWLYH9HUWUDJVYHUOHW]XQJ��9HUVFKXOGHQ�EHLP�9HUWUDJVVFKOXVV�XQGQDFKYHUWUDJOLFKHV�9��%RQQ�������
���� *XOVRQ��-RKQ�5H\QROGV 7KH�SKLORVRSK\�RI�SURRI�LQ�LWV�UHODWLRQ�WR�WKH�(QJOLVK�ODZ�RI�MXGLFLDOHYLGHQFH���/RQGRQ��*��5RXWOHGJH��1HZ�<RUN��(��3��'XWWRQ��/RQGRQ��1HZ<RUN��5RXWOHGJH��'XWWRQ�������
���� +DEVFKHLG��:DOWHU�-� 'DV�5HFKW�DXI�%HZHLV��7KH�5LJKW�WR�3URRI��*LOOHV��XU���(IIHNWLYLWiW�GHV5HFKWVFKXW]HV����������
���� +DEVFKHLG��:DOWHU�-� 'DV�GHXWVFKH�=LYLOSUR]HyUHFKW�XQG�VHLQH�$XVVWUDKOXQJ�DXI�DQGHUH5HFKWVRUGQXQJHQ��%LHOHIHOG��*LHVHNLQJ�������
���� +DEVFKHLG��:DOWHU�-� %HZHLVODVW�XQG�%HZHLVPDy��(LQ�NRQWLQHQWDOHXURSiLVFK�DQJHOViFKVLVFKHU5HFKWVYHUJOHLFK��)6�%DXPJiUWHO���������VWU���������
���� +DEVFKHLG��:DOWHU�-� 'DV�5HFKW�DXI�%HZHLV��=HLWVFKULIW�IsU�=LYLOSUR]Hy��������YRO������VWU�
���� +DLQPsOOHU��'LHWPDU 'HU�$QVFKHLQVEHZHLV�XQG�GLH�)DKUOiVVLJNHLWVWDW�LP�KHXWLJHQ�GHXWVFKHQ6FKDGHQVHUVDW]SUR]HVV��7sELQJHQ��0RKU�������
���� +DLQPsOOHU��'LHWPDU %HUQKDUG�0��0DDVHQ��%HZHLVPDVVSUREOHPH�LP�6FKDGHQVHUVDW]SUR]HVV�=HLWVFKULIW�IsU�=LYLOSUR]Hy��������YRO��������VWU���������
���� +DOH��:LOOLDP�*UHHQ $�PHPRUDQGXP�LQ�FULWLFLVP�RI�5XOH�����>$PHULFDQ�ODZ�LQVWLWXWH�&RGH�RIUXOHV�RI�HYLGHQFH@�DQG�VXJJHVWLQJ�D�UHFRQVLGHUDWLRQ�RI�D�UXOH�SODF��/RV$QJHOHV�������
/LWHUDWXUD ���
���� +DPEXUJHU��+DUU\ 'LH�%HZHLVODVW�EHL�GHU�QHJDWLYHQ�)HVWVWHOOXQJVNODJH�����������
���� +DPPRQ��/RXLV�/� +DPPRQ�RQ�HYLGHQFH��FRYHULQJ�EXUGHQ�RI�SURRI��SUHVXPSWLRQV��MXGLFLDOQRWLFH��MXGLFLDO�DGPLVVLRQV��DQG�HVWRSSHO���6W��3DXO��0LQQ���7KH�.HHIH�'DYLGVRQ�&R���1DWLRQDO�/DZ�%RRN�&RPSDQ\�������
���� +DQDX��3HWHU 'LH�%HZHLVODVW�EHL�.ODJHQ�ZHJHQ�%HQDFKWHLOLJXQJ�EHL�(LQVWHOOXQJHQ�XQG%HIRUGHUXQJHQ�YRQ�$UEHLWQHKPHUQ�ZHJHQ�GHV�*HVFKOHFKWV��$UEHLW�XQG5HFKW��)6�*QDGH��.qOQ��%XQG�9HUODJ���������VWU���������
���� +DQVHQ��8GR %HZHLVODVW�XQG�%HZHLVZsUGLJXQJ�LP�9HUVLFKHUXQJVUHFKW��+DPEXUJ��GLVV���/DQJ���������VWU�����
���� +DUJOHURDG��-HZHOO 3XQLWLYH�'DPDJHV��7KH�EXUGHQ�RI�SURRI�UHTXLHUHG�E\�SURFHGXUDO�GXHSURFHVV��8QLYHUVLW\�RI�6DQ�)UDQFLVFR�/DZ�5HYLHZ��������YRO������VWU����
���� +D]DUG��*HRIIUH\ $XWKRULW\�LQ�WKH�'RFN��%RVWRQ�8QLYHUVLW\�/DZ�5HYLHZ��������YRO������VWU����
���� +D]DUG��*HRIIUH\ 'LVFRYHU\�9LFHV�DQG�7UDQV�6XEVWDQWLYH�9LUWXHV�LQ�WKH�)HGHUDO�5XOHV�RI&LYLO�3URFHGXUH��8QLYHUVLW\�RI�3HQQV\OYDQLD�/DZ�5HYLHZ��������YRO������VWU������
���� +HLQHPDQQ��.ODXV 'LH�%HZHLVODVWYHUWHLOXQJ�EHL�SRVLWLYHQ�)RUGHUXQJVYHUOHW]XQJHQ��.ROQ��&�+H\PDQQV�������
���� +HLQHPDQQ��.ODXV %DXVWHLQ�DQZDOWOLFKHU�%HUXIVKDIWXQJ��GLH�%HZHLVODVW��1HXH�-XULVWLVFKH:RFKHQVFKULIW������QR������������VWU�����������
���� +HOOZLJ��.RQUDG /HKUEXFK�GHV�'HXWVFKHQ�=LYLOSUR]HVVUHFKWV��/HLS]LJ��$��'HLFKHUW�������
���� +HOOZLJ��.RQUDG 6\VWHP�GHV�GHXWVFKHQ�=LYLOSUR]HVVUHFKWV��/HLS]LJ��$��'HLFKHUW�������
���� +HOPROW��7KHRGRU�/XGZLJYRQ
9HUKDOWQLVV�GHU�([FHSWLRQHQ�]XU�%HZHLVODVW��(LQH�FLYLOLVWLVFK��SURFHVVXDOLVFKH�$EKDQGOXQJ��*LHVVHQ��-��5LFNHU�������
���� +HQQLQJHU��0LFKDHO 'LH�)UDJH�GHU�%HZHLVODVW�LP�5DKPHQ�GHV�81�.DXIUHFKWV��0XQFKHQ��99)������
���� +HSWLQJ��5HLQKDUG 6FKZHUSXQNWDQNQXSIXQJ�XQG�6FKZHUSXQNWYHUPXWXQJHQ�LP�LQWHUQDWLRQDOHQ9HUWUDJVUHFKW����]XJOHLFK�HLQ�%HLWUDJ�]XU�%HZHLVODVW��������)6�/RUHQ]�7sELQJHQ��0RKU���������VWU���������
���� +H\��)ULHGULFK�(� %HZHLVODVW�XQG�9HUPXWXQJHQ�LP�GHXWVFKHQ�LQWHUQDWLRQDOHQ�6WHXHUUHFKW���1RPRV�������
���� +LOGLQJ��0DWV 2P�EHYLVQLQJ�YLG�ORVVQLQJ�DY�VMRWUDQVSRUWHUDW�JRGV���*RWHERUJ�$NDGHPLIRUODJHW�*XPSHUWV�������
���� +LOV��:ROIJDQJ 'LH�8QWHUVFKHLGXQJ�]ZLVFKHQ�GHU�REOLJDWLRQ�GH�UHVXOWDW�XQG�GHU�REOLJDWLRQGH�PR\HQV�XQG�LKUH�$XVZLUNXQJHQ�DXI��GLH�9HUWHLOXQJ�GHU�%HZHLV�6WXWWJDUW��)RWRGUXFN�3RO\IRWR�������
���� +RIIPDQQ��(GJDU 'HU�$QVFKHLQVEHZHLV�XQG�GLH�/HKUH�YRQ�GHU�UHV�LSVD�ORTXLWXU��*qWWLQJHQ�GLVV���������
���� +RIPDQQ��(GJDU 'LH�8PNHKU�GHU�%HZHLVODVW�LQ�GHU�.DXVDOIUDJH��.DUOVUXKH��9HUODJ9HUVLFKHUXQJVZLUWVFKDIW�������
���� +RIPDQQ��(GJDU =XU�%HZHLVODVWXPNHKU�EHL�9HUOHW]XQJ�YHUWUDJOLFKHQ�$XINOiUXQJV��RGHU%HUDWXQJVSIOLFKWHQ��1HXH�-XULVWLVFKH�:RFKHQVFKULIW��YRO������VWU������
���� +RKO��)DELHQQH /H�GHJUk�GH�OD�SUHXYH��%HLWUDJH�]XP�VFKZHL]HULVFKHQ�XQG�LQWHUQDWLRQDOHQ=LYLOSUR]HVUHFKW��)HVWVFKULIW�IXU�2VFDU�9RJHO��)UHLEXUJ���������VWU���������
���� +RO]KDPPHU��5LFKDUG eVWHUUHLFKLVFKHV�=LYLOSUR]HyUHFKW�������
���� +RO]PDQ��5REHUW�6� 7KH�WD[SD\HUV�SUREOHP�RI�SURRI��1HZ�<RUN��5RQDOG�3UHVV�&R��������
���� +RUHQ��-RVHI 'LH�/HKUH�YRQ�GHU�%HZHLVODVW�XQWHU�EHVRQGHUHU�%HUsFNVLFKWLJXQJ�GHU%HZHLVODVW�EHLP�.DXI�QDFK�3UREH��v������%�*�%���&UHIHOG��:��*UHYHQ������
���� +RUZLFK��3DXO 3UREDELOLW\�DQG�HYLGHQFH��&DPEULGJH��&DPEULGJH�83�������
���� +XEHU��0LFKDHO 'DV�%HZHLVPDVV�LP�=LYLOSUR]HVV���.ROQ��+H\PDQQ��������
/LWHUDWXUD ���
���� +sEQHU��8OULFK %HZHLVODVWYHUWHLOXQJ�EHL�GHU�9HUOHW]XQJ�YRQ�9HUWUDJVSIOLFKWHQ�LPIUDQ]qVLVFKHQ�XQG�GHXWVFKHQ�5HFKW��)6�%DXPJiUWHO���������VWU���������
���� +sIIHU��8ZH =XU�'DUOHJXQJV��XQG�%HZHLVODVW�EHL�GHU�DNWLHQUHFKWOLFKHQ$QIHFKWXQJVNODJH��)HVWVFKULIW�IsU�+DQV�-RDFKLP�)OHFN�]XP�����*HEXUWVWDJ�%HUOLQ�1HZ�<RUN��GH�*UX\WHU���������VWU���������
���� +XJXHQLQ�'XPLWWDQ�*HRUJHV
%HKDXSWXQJVODVW��6XEVWDQWLLHUXQJVSIOLFKW�XQG�%HZHLVODVW��=XULFK�6FKXOWKHVV�������
���� +XVVHLQL��5LFKDUG 7KH�)HGHUDO�6HQWHQFLQJ�*XLGHOLQHV��$GRSWLQJ�&OHDU�DQG�&RQYLQFLQJ(YLGHQFH�DV�WKH�%XUGHQ�RI�3URRI��8QLYHUVLW\�RI�&KLFDJR�/DZ�5HYLHZ��YRO�����VWU������
���� ,PZLQNHOULHG��(GZDUG�-� (YLGHQWLDU\�IRXQGDWLRQV��&KDUORWWHVYLOOH��9D���0LFKLH����UG�HG��������
���� ,PZLQNHOULHG��(GZDUG�-� (YLGHQFH�/DZ�9LVLWV�-XUDVVLF�3DUN��7KH�)DU�UHDFKLQJ�,PSOLFDWLRQ�RI�WKH'DXEHUW�&RXUWV�5HFRJQLWLRQ�RI�WKH�8QFHUWDLQW\�RI�WKH�6FL��(QWHUS��,RZD/DZ�5HYLHZ��������YRO������VWU����
���� -DPHV��)OHPLQJ &LYLO�SURFHGXUH��%RVWRQ��/LWWOH��%URZQ����WK�HG��������
���� -DPHV��*HRUJH�)� 5HOHYDQFH��SUREDELOLW\�DQG�WKH�/DZ��&DOLIRQLD�/DZ�5HYLHZ��������YRO�����VWU���������
���� -DUGLP��$��6� 2�RQXV�GD�SURYD�QD�DFDR�SHQDO�FRQGHQDWRULD��5HYLVWD�)RUHQVH���������VWU������
���� -DXHUQLJ��2WKPDU =LYLOSUR]HyUHFKW�������
���� -HDQPDUW��1LFROH 'URLW�GH�OD�SUHXYH��%UX[HOOHV��/DUFLHU�������
���� -HOLQHN��:ROIJDQJ (LQIOsVVH�GHV�qVWHUUHLFKLVFKHQ�=LYLOSUR]HyUHFKWV�DXI�DQGHUH5HFKWVRUGQXQJHQ��'DV�GHXWVFKH�=LYLOSUR]HVVUHFKW�XQG�VHLQH�$XVVWUDKOXQJDXI�DQGHUH�5HFKWVRUGQXQJHQ��%LHOHIHOG��*LHVHNLQJ���VWU�������
���� -LPHQH]�0DFLDV��/XLV /D�FDUJD�GH�OD�SUXHED�HQ�HO�SURFHVR�FLYLO������0H[LFR�������
���� .iyHU��:ROIJDQJ :DKUKHLWVHUIRUVFKXQJ�LP�6WUDISUR]HVV��0HWKRGHQ�GHU6DFKYHUKDOWVDXINOiUXQJ�������
���� .DLVHU��0D[ 'LH�%HZHLVODVWYHUWHLOXQJ�LP�)DOOH�GHV�v�����6DW]���%�*�%��������
���� .DQ��0DULQXV�/HRQDUG %HZLMVODVW�HQ�EHZLMVZDDUGHHULQJ��$PVWHUGDP�������
���� .DSODQ��-RKQ 'HFLVLRQ�7KHRU\�DQG�WKH�)DFWILQGLQJ�3URFHVV��6WDQIRUG�/DZ�5HYLHZ�������YRO������VWU�����������
���� .DUJDGRV��3DQDJLRWLV 'DV�%HZHLVPDy��+DEVFKHLG�%H\V��*UXQGIUDJHQ�GHV�=LYLOSUR]HyUHFKWV������
���� .DUJDGRV��3DQDJLRWLV =XU�%HZHLVODVW�EHL�GHU�+DIWXQJ�IsU�8PZHOWVFKiGHQ��)6�%DXPJiUWHO�������VWU���������
���� .DVSDUHN��.XUW 'LH�/HKUH�YRQ�GHU�%HZHLVODVW�DOV�/HKUH�YRQ�GHU�8UWHLOVILQGXQJ�EHLXQJHNOiUWHP�7DWEHVWDQGH��%UHVODX��3ULHEDWVFK�������
���� .DXIPDQQ��8UV )UHLH�%HZHLVZsUGLJXQJ�LP�%XQGHVSULYDWUHFKW�XQG�LQ�DXVJHZiKOWHQ=LYLOSUR]HVVRUGQXQJHQ��=sULFK��GLVV���������
���� .D\H��'�+� 'R�:H�1HHG�D�&DOFXOXV�RI�:HLJKW�WR�8QGHUVWDQG�3URRI�%H\RQG5HDVRQDEOH�'RXEW"��%RVWRQ�8QLYHUVLW\�/DZ�5HYLHZ��������YRO������VWU�����
���� .D]D]L��0RMWDED %XUGHQ�RI�SURRI�DQG�UHODWHG�LVVXHV��D�VWXG\�RQ�HYLGHQFH�EHIRUH�LQWHUQDWLRQDOWULEXQDOV��7KH�+DJXH��%RVWRQ��.OXZHU�/DZ�,QWHUQDWLRQDO�������
���� .HDQH��$GULDQ 7KH�PRGHUQ�ODZ�RI�HYLGHQFH��/RQGRQ��%XWWHUZRUWKV��&DUOVEDG��&DOLI��%XWWHUZRUWK�/HJDO�3XEOLVKHUV���UG�HG��������
���� .HJHO��*HUKDUG 'HU�,QGLYLGXDODQVFKHLQEHZHLV�XQG�GLH�9HUWHLOXQJ�GHU�%HZHLVODVW�QDFKsEHUZLHJHQGHU�:DKUVFKHLQOLFKNHLW��)6�.URQVWHLQ���������VWU�����
���� .HJHO��*HUKDUG %HZHLVODVW�XQG�5HODWLRQVNXQVW��)6�%DXPJiUWHO���������VWU���������
���� .LPSHQ��(PLO 'LH�%HZHLVODVW�EHL�GHU�5sFNIRUGHUXQJVNODJH�ZHJHQ�1LFKWHLQWULWWV�GHV�PLWGHU�/HLVWXQJ�EH]ZHFNWHQ�(UIROJHV��FRQGLFWLR�RE�FDXVDP�QRQ�VHFXWD�������
/LWHUDWXUD ���
���� .LUDOI\��$OEHUW 7KH�%XUGHQ�RI�3URRI��$ELQJGRQ��2[RQ��$ELQJGRQ��2[RQ��3URIHVVLRQDOERRNV�
���� .LW]��(XJHQ 'DV�VRJHQDQQWH�TXDOLIL]LHUWH�*HVWDQGQLV�XQG�VHLQH�%HGHXWXQJ�IXU�GLH%HZHLVODVW������:XU]EXUJ��*HEUXGHU�0DPPLQJHU�������
���� .ODPL��+DQQX�7DSDQL %XUGHQ�RI�SURRI����WUXWK�RU�ODZ"��6FDQGLQDYLDQ�6WXGLHV�LQ�/DZ��������YRO�����VWU���������
���� .OHLQ��*XLGR 'LH�$XVZLUNXQJHQ�GHU�XQWHUVFKLHGOLFKHQ�%HZHLVODVW�LP�6WHXHUUHFKW�XQG�LP6WUDIUHFKW��.ROQ��2��6FKPLGW�������
���� .OLFND��7KRPDV 'LH�%HZHLVODVWYHUWHLOXQJ�EHL�7DWEHVWiQGHQ�GHV�=LYLOYHUIDKUHQVUHFKWV��:LHQ�5HFKWVZLVV��)DNXOWiW��8QLY��'LVV�������"�
���� .ORW]HU��&DUO�&KULVWLDQ:LOKHOP
9HUVXFK�HLQHV�%H\WUDJV�]XU�%HULFKWLJXQJ�GHU�/HKUH�YRQ�GHU�%HZHLVODVW�LQVEHVRQGHUH�EH\�DQJHVWHOOWHU�DFWLR�FRQIHVVRULD�XQG�QHJDWRULD��-HQD��-��0�0DXNH�������
���� .QHXHU��+HLQULFK 'LH�DOOJHPHLQHQ�JUXQGODJHQ�GHU�EHZHLVODVW�GHV�]LYLOSUR]HVVHV�XQG�GLHIROJHUXQJHQ�KLHUDXV�IXU�GLH�EHZHLVODVW�IXU�EHGLQJXQJHQ�EHL�UHFKWVJH�������
���� .QLHULHP��$XJXVW�YRQ %HKDXSWXQJVSIOLFKW�XQG�%HZHLVODVW�EHL�GHU�.ODJH�DXI�=DKOXQJ�HLQHVDQJHPHVVHQHQ�.DXISUHLVHV��%HUOLQ�������
���� .QRHFNHO��-RKQ�)� 6WDQGDUGV�RI�SURRI�DV�PDWKHPDWLFDO�SUREDELOLWLHV��LV�WKHUH�UHDOO\�DFRQMXQFWLRQ�SDUDGR["�������
���� .RFK�5sVVPDQ -XULVWLVFKH�%HJUsQGXQJVOHKUH��(LQH�(LQIsKUXQJ�LQ�*UXQGSUREOHPH�GHU5HFKWVZLVVHQVFKDIW��0sQFKHQ��%HFN�������
���� .RIPHO��6DELQH 'DV�5HFKW�DXI�%HZHLV�LP�=LYLOYHUIDKUHQ��%HUQ��6WDPSIOL�������
���� .RNRWW��-XOLDQH 7KH�EXUGHQ�RI�SURRI�LQ�KXPDQ�ULJKWV�ODZ�������
���� .RNRWW��-XOLDQH %HZHLVODVWYHUWHLOXQJ�XQG�3URJQRVHHQWVFKLHGXQJHQ�EHL�GHU,QDQVSUXFKQDKPH�YRQ�*UXQG��XQG�0HQVFKHQUHFKWHQ��+DELO��+HLGHOEHUJ�%HUOLQ�1HZ�<RUN��6SULQJHU�������
���� .ROOKRVVHU��+HOPXW %XFKEHVSUHFKXQJ�*RWWZDOG���6FKDGHQV]XUHFQXQJ��XQG�:DOWHU���)UHLH%HZHLVZsUGLJXQJ���=HLWVFKULIW�IsU�=LYLOSUR]Hy���������VWU�����
���� .ROOKRVVHU��+HOPXW 'HU�$QVFKHLQEHZHLV�LQ�GHU�KqFKWVULFKWHUOLFKHQ�5HFKWVVSUHFKXQJ��(QWZLFNOXQJ�XQG�DNWXHOOH�%HGHXWXQJ��0DLQ]��GLVV���������YRO�������VWU����
���� .ROOKRVVHU��+HOPXW 'HU�$QVFKHLQEHZHLV�LQ�GHU�KqFKWVULFKWHUOLFKHQ�5HFKWVSUHFKXQJ��(QWZLFNOXQJ�XQG�DOOJHPHLQH�%HGHXWXQJ��'LVV�0DLQ]��0DLQ]�������
���� .ROOKRVVHU��+HOPXW $QVFKHLQEHZHLV�XQG�IUHLH�ULFKWHUOLFKH�%HZHLVZsUGLJXQJ��$UFKLY�IsUFLYLOLVWLVFKH�3UD[LV��������YRO�������VWU����
���� .RUVFK��.DUO 'LH�%HZHLVODVW�EHLP�TXDOLIL]LHUWHQ�*HVWiQGQLV��=XJOHLFK�HLQ�%HLWUDJ�]XU5HFKWV��XQG�7DWIUDJH��-HQD�������
���� .UDOLN��5RGULFK 'LH�%HZHLVZsUGLJXQJ�LP�]LYLOJHULFKWOLFKHQ�9HUIDKUHQ��eVWHUUHLFKLVFKH-XULVWHQ�=HLWXQJ���������VWU�����
���� .UDSDF��'DYRU 2�SUDYX�QD�GRND]��9,,�PH´XQDURGQL�NRQJUHV�]D�SURFHVQR�SUDYR��:sU]EXUJ������=ERUQLN�3UDYQRJ�IDNXOWHWD�X�=DJUHEX��������YRO������VWU��������
���� .UHIIW��(UQVW (LQUHGH�XQG�%HZHLVODVW��%RUQD�/HLS]LJ�������
���� .XFKLQNH��.XUW )UHLKHLW�XQG�%LQGXQJ�GHV�=LYLOULFKWHUV�LQ�GHU�6DFKDXINOiUXQJ��&DHPPHUHU�XU����)UHLKHLW�XQG�%LQGXQJ�GHV�=LYLOULFKWHUV�LQ�GHU�6DFKDXINOiUXQJ�������VWU����
���� .XGHUQD��)ULHGULFK %HKDXSWXQJV��XQG�%HZHLVODVW�LP�9HUIDKUHQ�LQ�6R]LDOUHFKWVVDFKHQ��$UEHLW�5HFKW�XQG�*HVHOOVFKDIW��)HVWVFKULIW�IsU�:DOWHU�6FKZDU]�]XP�����*HEXUWVWDJ�:LHQ���������VWU���������
���� .XKQ��+DQV 'LH�%HZHLVODVW��LQVEHVRQGHUH�LP�VFKZHL]HULVFKHQ�=LYLOJHVHW]EXFK��%HUQ�6WDPSIOL��&LH�������
���� .XU��$QQHWWH %HZHLVODVW�XQG�%HZHLVIXKUXQJ�LP�:HWWEHZHUEVSUR]HVV�UHFKWVYHUJOHLFKHQGH�8QWHUVXFKXQJ�]XP�GHXWVFKHQ��DPHULNDQLVFKHQ�XQGVFKZHGLVFKHQ�5HFK��.ROQ��%HUOLQ��%RQQ��0XQFKHQ��+H\PDQQ�������
/LWHUDWXUD ���
���� /DQGR��2OH 3UR]HyOHLWXQJ�XQG�$XINOiUXQJVSIOLFKW�GHV�=LYLOULFKWHUV�LQ�'iQHPDUN�&DHPPHUHU��XU����)UHLKHLW�XQG�%LQGXQJ���������VWU����
���� /DQGVPDQ��6WHSKDQ 5HIRUPLQJ�$GYHUVDU\�3URFHGXUH��$�3URSRVDO�&RQFHUQLQJ�WKH�3V\FKRORJ\�RI0HPRU\�DQG�WKH�7HVWLPRQ\�RI�'LVLQWHUHVWHG�:LWWQHVVHV��8QLYHUVLW\�RI3LWWVEXUJK�/DZ�5HYLHZ��������YRO������VWU�����
���� /DQGVPDQ��6WHSKDQ $�%ULHI�6XUYH\�RI�WKH�'HYHORSPHQW�RI�WKH�$GYHUVDU\�6\VWHP��2KLR�6WDWH/DZ�-RXUQDO��������YRO������VWU�����
���� /DQGVPDQ��6WHSKDQ 7KH�5LVH�RI�WKH�&RQWHQWLRXV�6SLULW��$GYHUVDU\�3URFHGXUH�LQ�(LJKWHHQWK&HQWXU\�(QJODQG��&RUQHOO�/DZ�5HYLHZ��������YRO������VWU�����
���� /DQJEHLQ��-RKQ�+� 7RUWXUH�DQG�WKH�ODZ�RI�SURRI��(XURSH�DQG�(QJODQG�LQ�WKH�DQFLHQ�UHJLPH�&KLFDJR��8QLYHUVLW\�RI�&KLFDJR�3UHVV�������
���� /DUHQ]��.DUO =XU�%HZHLVWODVWYHUWHLOXQJ�QDFK�*HIDKUHQEHUHLFKHQ��)6�+DXy��.DUOVUXKH�99:�������
���� /DULQ��$�0 7KH�EXUGHQ�RI�SURRI�DQG�DGPLVVLELOLW\�RI�HYLGHQFH��-XVWLFH�DQG�FRPSDUDWLYHODZ��$QJOR�6RYLHW�SHUVSHFW���VWU�������
���� /H�)DLW�HW�OH�GURLW��(WXGHV�GH�ORJLTXH�MXULGLTXH��%UX[HOOHV��(��%UX\ODQW�%UX[HOOHV��(��%UX\ODQW�������
���� /HLSROG��'LHWHU *HUKDUG�5HLQHFNH��'LH�%HZHLVODVWYHUWHLOXQJ�LP�%sUJHUOLFKHQ�5HFKW�XQG�LP$UEHLWVUHFKW�DOV�UHFKWVSROOLWLVFKH�5HJHOXQJVDXIJDEH��$UFKLY�IsU�FLYLOLVWLVFKH3UD[LV��������YRO�������VWU���������
���� /HLSROG��'LHWHU %HZHLVPDVV�XQG�%HZHLVODVW�LP�=LYLOSUR]HVV��9RUWUDJ�JHKDOWHQ�YRU�GHU-XULVWLVFKHQ�*HVHOOVFKDIW�]X�%HUOLQ�DP�����-XQL��������%HUOLQ��1HZ�<RUN��GH*UX\WHU�������
���� /HLSROG��'LHWHU %HZHLVODVWUHJHOQ�XQG�JHVHW]OLFKH�9HUPXWXQJHQ��,QVEHVRQGHUH�EHL9HUZHLVXQJHQ�]ZLVFKHQ�YHUVFKLHGHQHQ�5HFKWVJHELHWHQ��%HUOLQ��'XQFNHU�X�+XPEORW�������
���� /HLSROG��'LHWHU =XU�%HZHLVODVW�EHLP�6FKXW]�GHU�(KUH�XQG�GHV�3HUVRQOLFKNHLWVUHFKWV�%HLWUDJH�]XP�6FKXW]�GHU�3HUVRQOLFKNHLW�XQG�LKUHU�VFKRSIHULVFKHQ/HLVWXQJHQ����VWU���������
���� /HPSHUW��5LFKDUG 7KHRULHV�RI�,QIHUHQFH�DQG�$GMXGLFDWLRQ��7KH�1HZ�(YLGHQFH�6FKRODUVKLS�$QDO\]LQJ�WKH�3URFHVV�RI�3URRI��%RVWRQ�8QLYHUVLW\�/DZ�5HYLHZ��������YRO�����VWU�����
���� /HPSHUW��5LFKDUG 0RGHOLQJ�5HOHYDQFH��0LFKLJDQ�/DZ�5HYLHZ��YRO������VWU�����������
���� /HPSHUW��5LFKDUG�2��6DOW]EXUJ
$�PRGHUQ�DSSURDFK�WR�HYLGHQFH��WH[W��SUREOHPV��WUDQVFULSWV��DQG�FDVHV���QGHG���6W��3DXO��0LQQ��:HVW�3XE��&R�������
���� /HRQKDUG��)UDQ] 'LH�%HZHLVODVW��%HUOLQ��)��9DKOHQ�������
���� /HSD��0DQIUHG %HZHLVODVW�XQG�%HZHLVZsUGLJXQJ�LP�+DIWSIOLFKWSUR]Hy����'W��$QZDOVWVYHUO�������
���� /HSD��0DQIUHG 'LH�9HUWHLOXQJ�GHU�%HZHLVODVW�LP�3ULYDWUHFKW�XQG�LKUH�UDWLRQHOOH%HJUsQGXQJ��.qOQ�������
���� /HSD��0DQIUHG 'HU�$QVFKHLQVEHZHLV�LQ�GHU�5HFKWVSUHFKXQJ�GHV�%XQGHVJHULFKWVKRIHV��)60HU]���������VWU�����
���� /HZLV��'��&UDLJ 6KRXOG�WKH�%XEEOH�$OZD\V�%XUVW"�7KH�QHHG�IRU�D�GLIIHUHQW�WUHDWPHQW�ISUHVXPSWLRQV�XQGHU�,5(������,GDKR�/DZ�5HYLHZ��������YRO������VWU���
���� /L��+DR 0LQ�VKLK�FKX�FKHQJ�WVH�MHQ�\HQ�FKLX��>3HNLQJ@��&KXQJ�NXR�FKHQJ�ID�WDKVXHK�FKX�SDQ�VKH��7L���SDQ��������
���� /LHE��0DQIUHG 9HUPXWXQJHQ��%HZHLVODVWYHUWHLOXQJ�XQG�.ODUVWHOOXQJVREOLHJHQKHLWHQ�LP$UEHLWVNDPSI��)6�+HUVFKHO��0sQFKHQ��%HFN���������VWU���������
���� /LOLFK��5LFKDUG�%� )DFW�)LQGLQJ�%HIRUH�,QWHQDWLRQDO�7ULEXQDOV������6RNRO�&ROORTXLXP�$UGVOH\�RQ�+XGVRQ��7UDQVQDWLRQDO�3XEOLVKHUV�������
���� /LQ�7DQ�<RFN 7KH�LQFRPSUHKHQVLEOH�EXUGHQ�RI�SURRI��6LQJDSRUH�-RXUQDO�RI�/HJDO�6WXGLHV�������YRO�����VWU�������
���� /RWWHU��:ROIJDQJ�)ULHGULFK %HZHLVODVW�LP�6HHIUDFKWUHFKW��%HUOLQ��'H�*UX\WHU�������
/LWHUDWXUD ���
���� /XGHUV��+DUU\ 'LH�%HZHLVODVW�EHL�%HUHLFKHUXQJVDQVSUXFKHQ��6HHVWDGW�5RVWRFN�������
���� /sNH��*HUKDUG )iOOH�]XP�=LYLOYHUIDKUHQVUHFKW��%DQG�,��(UNHQQWQLV��XQG9ROOVWUHFNXQJVYHUIDKUHQ�GHU�=32��0sQFKHQ��%HFN�������
���� /sNH�3UsWWLQJ /H[LNRQ�GHV�5HFKWV��=LYLOYHUIDKUHQVUHFKW�������
���� 0.LQQRQ��'DQLHO 7KH�SKLORVRSK\�RI�HYLGHQFH��/RQGRQ��3ULQWHG�E\�6��%URRNH�IRU�:��5HHG������
���� 0DDVHQ��%HUQKDUG�0� %HZHLVPDySUREOHPH�LP�6FKDGHQVHUVDW]SUR]Hy�������
���� 0DJXLUH��-RKQ�0DF$UWKXU (YLGHQFH��&RPPRQ�6HQVH�DQG�&RPPRQ�/DZ��&KLFDJR��)RXQGDWLRQ�3UHVV������
���� 0DJXLUH��-RKQ�0DF$UWKXU &RPPHQWV�RQ�WKH�$PHULFDQ�ODZ�LQVWLWXWHV�GUDIW�&RGH�RI�HYLGHQFH��EHVWHYLGHQFH��SDURO�HYLGHQFH�UXOHV��EXUGHQ�RI�SURRI��SUHVXPSWLRQV�����'XERLV�:\R�������
���� 0DUEXUJHU�+HUUPDQQ =XU�9HUWHLOXQJ�GHU�'DUOHJXQJV��XQG�%HZHLVODVW�EHL�GHU�+DIWXQJ�IXU8PZHOWVFKDGHQ����%*+=����������-XULVWLVFKH�6FKXOXQJ������QR���������VWU������������
���� 0DUFKHLV��&��%� 3UREDELOLWD�H�SURYD��FRQVLGHUD]LRQL�VXOOD�VWUXWWXUD�GHO�JLXGL]LR�GL�IDWWR�5LYLVWD�7ULPHVWUDOH�GL�'LULWWR�H�3URFHGXUD�&LYLOH��������YRO������VWU�����������
���� 0DUWLQ��0LFKDHO�0� %DVLF�SUREOHPV�RI�HYLGHQFH��3KLODGHOSKLD��3D���$PHULFDQ�/DZ,QVWLWXWH$PHULFDQ�%DU�$VVRFLDWLRQ��&RPPLWWHH�RQ�&RQWLQXLQJ�3URIHVVLRQDO(GXFDWLRQ����WK�HG��������
���� 0DUWLQ��0LFKDHO�0� %DVLF�SUREOHPV�RI�HYLGHQFH���WK�HG���3KLODGHOSKLD��$P��/DZ�,QVW���$P�%DU�$VV��������
���� 0DUWLQH]��/HR�3� 7D[�&ROOHFWLRQ�DQG�3RSXOLVW�5KHWRULF��6KLIWLQJ�WKH�%XUGHQ�RI�3URRI�LQ�7D[&DVHV��+DVWLQJV�/DZ�-RXUQDO��������YRO������VWU�����
���� 0DUWLQLXV��(PLO %HKDXSWXQJV��XQG�%HZHLVODVW�EHL�GHU�QHJDWLYH�XQG�GHP�EHGLQJWHQ�9HUWUiJH�%HUOLQ��&DUO�+H\PDQQ�������
���� 0D[HQ��-� fEHU�%HZHLVODVW��(LQUHGHQ�XQG�([FHSWLRQHQ��*RWWLQJHQ��'HXHUOLFKVFKHQ%XFKKDQGOXQJ�������
���� 0F%DLQH��-��3� %XUGHQ�RI�3URRI��'HJUHHV�RI�%HOLHI��&DOLOIRUQLD�/DZ�5HYLHZ���������VWU�����
���� 0F&RUPLFN��&KDUOHV�7� :KDW�VKDOO�WKH�7ULDO�-XGJH�7HOO�WKH�-XU\�DERXW�3UHVXPSWLRQV"��:DVKLQJWRQ/DZ�5HYLHZ���������VWU�����
���� 0F&RUPLFN 0F&RUPLFN�RQ�(YLGHQFH��:HVW�3XEOLVKLQJ��6W��3DXO��0LQQ�����HG��������
���� 0F1DXJKWRQ��-RKQ�7� :RUNERRN�LQ�MXGLFLDO�SURRI��&DPEULGJH��0DVV���0F1DXJKWRQ��([SHUPHQWDOHG��������
���� 0F1DXJKWRQ��-RKQ�7� %XUGHQ�RI�3URGXFWLRQ�RI�(YLGHQFH��$�)XQFWLRQ�RI�D�%XUGHQ�RI�3HUVXDVLRQ�+DUYDUG�/DZ�5HYLHZ��������YRO������VWU�����������
���� 0HHVH��(GZLQ 3URPRWLQJ�7UXWK�LQ�WKH�&RXUWURRP��9DQGHUELOW�/DZ�5HYLHZ��������YRO�����VWU�����
���� 0HLHU��,VDDN =XP�3UREOHP�GHU�%HZHLVODVWYHUWHLOXQJ�LP�VFKZHL]HULVFKHQ�5HFKW�=HLWVFKULIW�IsU�6FKZHL]HULVFKHV�5HFKW��������YRO�������VWU�����
���� 0HOKDUGW��6WHIDQ 'LH�%HZHLVODVW�LP�$EJDEHYHUIDKUHQ��)LQDQ]VWUDIYHUIDKUHQ�XQG=ROOYHUIDKUHQ��8QLY��'LVV��:LHQ�������
���� 0HUU\PDQ��-RKQ�+HQU\� 7KH�FLYLO�ODZ�WUDGLWLRQ��DQ�LQWURGXFWLRQ�WR�WKH�OHJDO�V\VWHPV�RI�:HVWHUQ(XURSH�DQG�/DWLQ�$PHULFD���6WDQIRUG��6WDQIRUG�8QLY��3UHVV�������
���� 0LFKHOL��*LDQ�$QWRQLR /RQHUH�GHOOD�SURYD��3DGRYD��&('$0�������
���� 0LFKHOL��*LDQ�$QWRQLR /D�FDUJD�GH�OD�SUXHED��%XHQRV�$LUHV��(GLFLRQHV�MXULGLFDV�(XURSD�$PHULFD������
���� 0RUDHV�)LOKR��(YDULVWR�GH $�MXVWD�FDXVD�QD�UHVFLVDR�GH�FRQWUDWR�GH�WUDEDOKR��5LR�>GH�-DQHLUR@�5HYLVWDGR�WUDEDOKR�������
/LWHUDWXUD ���
���� 0RUJDQ��(GPXQG�0RUULV )XQFWLRQV�RI�-XGJH�DQG�-XU\�LQ�WKH�'HWHUPLQDWLRQ�RI�3UHOLPLQD\�4XHVWLRQVRI�)DFW��+DUYDUG�/DZ�5HYLHZ��������YRO������VWU�����
���� 0RUJDQ��(GPXQG�0RUULV 3UHVXPSWLRQV��5XWJHUV�/DZ�5HYLHZ��������YRO������VWU���������
���� 0RUJDQ��(GPXQG�0RUULV %DVLF�SUREOHPV�RI�HYLGHQFH��3KLODGHOSKLD��&RPPLWWHH�RQ�&RQWLQXLQJ�/HJDO(GXFDWLRQ�������
���� 0RUJDQ��(GPXQG�0RUULV 6RPH�2EVHUYDWLRQV�&RQFHUQLQJ�3UHVXPSWLRQV��+DUYDUG�/DZ�5HYLHZ�������YRO������VWU���������
���� 0RUJDQ��(GPXQG�0RUULV ,QVWUXFWLQJ�WKH�-XU\�XSRQ�3UHVXPSWLRQV�DQG�%XUGHQ�RI�3URRI��+DUYDUG�/DZ5HYLHZ��������YRO������VWU�������
���� 0RUJDQ��(GPXQG�0RUULV 3UHVXPSWLRQV��:DVKLQJWRQ�/DZ�5HYLHZ��������YRO������VWU�����
���� 0RUJDQ��(GPXQG�0RUULV ,QVWUXFWLQJ�WKH�-XU\�XSRQ�3UHVXPSWLRQV�DQG�%XUGHQ�RI�3URRI�������
���� 0RVEDFKHU��.XUW 'LH�%HZHLVODVWOHKUH�QDFK�GHP�%sUJHUOLFKHQ�*HVHW]EXFK�XQWHU�EHVRQGHUHU%HUsFNVLFKWLJXQJ�GHU�vv����������������������
���� 0RWVFK��5LFKDUG 9RP�3UR]Hy�DOV�%HZHLV�]XP�fEHUZLHJHQVSULQ]LS��*6��*HGiFKWQLVVFKULIW�IsU�5qGLJ���������VWU�����
���� 0RWVFK��5LFKDUG 9RP�UHFKWVJHQsJHQGHQ�%HZHLV��%HUOLQ��'XQFNHU��+XPEORW�������
���� 0sOOHU��*HRUJ )UDJHQ�GHU�%HZHLVODVW�]X�v�����%*%��1HXH�-XULVWLVFKH�:RFKHQVFKULIW�����QR������������VWU�����������
���� 0sOOHU��5RVPDULH 'HU�$XVIRUVFKXQJVEHZHLV��'LVV��=sULFK�������
���� 0XPPHQKRI��:LQIULHG =XP�%HZHLVPDy�LP�%HUXIVNUDQNKHLWHQ��=HLWVFKULIW�IsU�=LYLOSUR]Hy�������YRO�������VWU�����
���� 0sQFKHQHU�.RPPHQWDU�]XU�=LYLOSUR]HVVRUGQXQJ��PLW*HULFKWVYHUIDVVXQJVJHVHW]�XQG�1HEHQJHVHW]HQ��0XQFKHQ��%HFN�������
���� 0XVLHODN��+DQV�-RDFKLP %HZHLVPDVV�XQG�%HZHLVODVW�LP�=LYLOSUR]HVV���/HLSROG��'����������UHFHQ]LMD�=HLWVFKULIW�IsU�=LYLOSUR]HVV�����QR����������YRO�����VWU���������
���� 0XVLHODN��+DQV�-RDFKLP *HJHQZDUWVSUREOHPH�GHU�%HZHLVODVW��%XFKEHVSUHFKXQJ�3UsWWLQJ��=HLWVFKULIWIsU�=LYLOSUR]Hy��������YRO�������VWU�����
���� 0XVLHODN��+DQV�-RDFKLP 'LH�%HZHLVODVWYHUWHLOXQJ�LP�%sUJHUOLFKHQ�5HFKW�XQG�LP�$UEHLWVUHFKW�DOVUHFKWVSROLWLVFKH�5HJHOXQJVDXIJDEH��=HLWVFKULIW�IsU�5HFKWVSROLWLN��������YRO����VWU����
���� 0XVLHODN��+DQV�-RDFKLP %HZHLVODVWYHUWHLOXQJ�QDFK�*HIDKUHQEHUHLFKHQ��(LQH�NULWLVFKH�%HWUDFKWXQJGHU�*HIDKUHQNUHLVWKHRULH�GHV�%XQGHVJHULFKWVKRIV��$UFKLY�IsU�FLYLOLVWLVFKH3UD[LV��������YRO�������VWU�����
���� 0XVLHODN��+DQV�-RDFKLP 'DV�eYHUYLNWVSULQFLS��=XP�9HUKiOWQLV�YRQ�ULFKHUOLFKHU�fEHU]HXJXQJ�XQG:DUVFKHLQOLFKNHLW��)6�.HJHO���������VWU�����
���� 0XVLHODN��+DQV�-RDFKLP 'LH�*UXQGODJHQ�GHU�%HZHLVODVW�LP�=LYLOSUR]HVV��%HUOLQ��GH�*UX\WHU�������
���� 0XVLHODN�6WDGOHU *UXQGIUDJHQ�GHV�%HZHLVUHFKWV��%HZHLVDXIQDKPH���%HZHLVZsUGLJXQJ��%HZHLVODVW�������
���� 1DJHO��+HLQULFK 'LH�*UXQG]sJH�GHV�%HZHLVUHFKWV�LP�HXURSiLVFKHQ�=LYLOSUR]Hy��%DGHQ�%DGHQ��1RPRV�������
���� 1DJOHU��*HRUJ 'RJPDWLVFKH�6WUXNWXUHQ�GHU�%HZHLVODVW�LP�eIIHQWOLFKHQ�5HFKW��0sQFKHQ�8QLY��'LVV��������
���� 1DNDQR��7HLFKLUR 8PNHKU�GHU�.ODJHODVW���HLQ�%HLWUDJ�]XU�/HKUH�GHU9ROOVWUHFNEDUNHLWVHUVWUHFNXQJ��)6�%DXPJiUWHO���������VWU���������
���� 1DUDVLPKDFKDUL��7� 7KH�ODZ�UHODWLQJ�WR�EXUGHQ�RI�SURRI�LQ�%ULWLVK�,QGLD���0DGUDV��6ULQLYDVD9DUDGDFKDUL�������
���� 1HVVRQ��&KDUOHV�5� $JHQW�2UDQJH�PHHWV�EOXH�EXV��IDFWILQGLQJ�DW�WKH�IURQWLHU�RI�NQRZOHGJH�%RVWRQ�8QLYHUVLW\�/DZ�5HYLHZ��������YRO������VWU���������
���� 1HVVRQ��&KDUOHV�5� 7KH�(YLGHQFH�RU�WKH�(YHQW"�2Q�MXGLFLDO�SURRI�DQG�WKH�DFFHSWDELOLW\�RIYHUGLFWV��+DUYDUG�/DZ�5HYLHZ��������YRO������VWU������
/LWHUDWXUD ���
���� 1HVVRQ��&KDUOHV�5� $JHQW�2UDQJH�0HHWV�WKH�%OXH�%XV��)DFWILQGLQJ�DW�WKH�)URQWLHU�RI.QRZOHGJH��%RVWRQ�8QLYHUVLW\�/DZ�5HYLHZ��������YRO������VWU�����
���� 1HVVRQ��&KDUOHV�5� 5HDVRQDEOH�'RXEW�DQG�3HUPLVVLYH�,QIHUHQFHV��7KH�9DOXH�RI�&RPSOH[LW\�+DUYDUG�/DZ�5HYLHZ��������YRO������VWU������
���� 1HWZRUN�RI�H[SHUWV�RQ�WKH�LPSOHPHQWDWLRQ�RI�WKH�HTXDOLW\�GLUHFWLYHV��ILQDOFRQVROLGDWHG�UHSRUW���������/X[HPERXUJ��2IILFH�IRU�2IILFLDO�3XEOLFDWLRQV�RIWKH�(XURSHDQ�&RPPXQLWLHV��:DVKLQJWRQ��'�&���(XURSHDQ�&RPPXQLW\,QIRUPDWLRQ�6HUYLFH�>GLVWULEXWRU@�������
���� 1HZPDQ��-RQ�2� %H\RQG��5HDVRQDEOH�'RXEW���1HZ�<RUN�8QLYHUVLW\�/DZ�5HYLHZ��������YRO�����VWU�����
���� 1LHUKDXV��0LFKDHO %HZHLVPDy�XQG�%HZHLVODVW��8QWHUVXFKXQJVJUXQGVDW]�XQG%HWHLOLJWHQPLWZLUNXQJ�LP�9HUZDOWXQJVSUR]HVV��0sQFKHQ��9DKOHQ�������
���� 1LUN��5� %HZHLVODVW�XQG�3UR]HVRNRQRPLH�EHL�HLQHU�6DOGR�.RQWRNRUUHQWNODJH�)HVWVFKULIW�IXU�)UDQ]�0HU]�]XP�����*HEXUWVWDJ�DP�����VWU���������
���� 1RELOL��0DVVLPR ,O�SULQFLSLR�GHO�OLEHUR�FRQYLFLPHQWR�GHO�JLXGLFH��0LODQR�������
���� 1RNHV��*HUDOG�'DFUH $Q�LQWURGXFWLRQ�WR�HYLGHQFH��/RQGRQ��6ZHHW��0D[ZHOO���WK�HG��������
���� 2&RQQRU��'��'HVPRQG 5HVHDUFK�SDSHU�RQ�VWDWXWRU\�SURYLVLRQV�LPSRVLQJ�D�EXUGHQ�RI�SURRI�RQGHIHQGDQWV��>+REDUW"@��/DZ�5HIRUP�&RPPLVVLRQ�RI�7DVPDQLD�������
���� 2EHUKHLP��5DLQHU %HZHLVHUOHLFKWHUXQJHQ�LP�=LYLOSUR]Hy��-XULVWLVFKH�6FKXOXQJ��������YRO�������VWU���������
���� 2OVRQ��-DPHV�0� 6KLIWLQJ�WKH�%XUGHQ�RI�3URRI��+RZ�WKH�&RPPRQ�/DZ�&DQ�6DIHJXDUG�1DWXUHDQG�3URPRWH�DQG�(DUWK�(WKLF��(QYLURQPHQWDO�/DZ��������YRO������VWU�����
���� 2UODQGR��'�$ %HZHLVODVW�XQG�*ODXEKDIWPDFKXQJ�LP�YRUVRUJOLFKHQ�5HFKWVVFKXW]�*HGDQNHQ�]X�HLQHP�(QWVFKHLG�GHV�%XQGHVJHULFKWHV��6FKZHL]HULVFKH-XULVWHQ�=HLWXQJ������QR�����������VWU������������
���� 3DFFLDQL��)XOYLR )XOXLM�3DFLDQL�0XWLQHQVLV��FRPLWLV��GRFWRULV��HW�HTXLWLV��(JUHJLXV��DFSUDFWLFDELOLV�WUDFWDWXV��FXL�LQFXPEDW�RQXV�SUREDQGL��OLEHU�SULPXV��9HQHWLMV�$SXG�&RUQHOLXP�$UULXDEHQXP�������
���� 3DFFLDQL��)XOYLR 7UDFWDWYV�)YOYLL�3DFLDQL�����&XL�LQFXPEDW�RQXV�SUREDQGL�����2SYV�QRYLWHULPSUHVVYP������)UDQFRIXUWL�DG�0RHQXP��LPSHQVLV�KDHUHGXP�6LJLVPXQGL)H\HUDEHQGLM�������
���� 3DFH��*LXOLR 7UDFWDWXV�FXL�LQFXPEDW�RQXV�SUREDQGL��)UDQFRIXUWL�DG�0RHQXP�������
���� 3DS��-R]VHI $�EL]RQ\LWDVL�WHKHUURO��%XGDSHVW��)UDQNOLQ�7DUVXODW�NRQ\YQ\RPGDMD�������
���� 3DUN��5RJHU�&� (YLGHQFH�6FKRODUVKLS��2OG�DQG�1HZ��0LQQHVRWD�/DZ�5HYLHZ��������YRO�����VWU�����
���� 3DWWL��6� /LEHUR�FRQYLQFLPHQWR�H�YDOXWD]LRQH�GHOOH�SURYH��/H�SURYH�QHO�GLULWWR�FLYLOH�DPPLQLVWUDWLYR�H�WULEXWDULR��7RULQR�������
���� 3DWWL��6� 5LSDUWL]LRQH�GHOORQHUH��SUREDELOLWD�H�YHURVLPLJOLDQ]D�QHOOD�SURYD�GHO�GDQQRGD�SURGRWWR��5LYLVWD�GL�'LULWWR�&LYLOH��������YRO������VWU���,��������
���� 3DWWL��6� )XQ]LRQH�SUREDWRULD�GHOOD�IRUPD��SUHVXQ]LRQL�H�RQHUH�GHOOD�SURYD��DSURSRVLWR�GHJOL�DUWW�������H������FRG��FLY��/D�IRUPD�GHJOL�DWWL�QHO�GLULWWRSULYDWR���VWU���������
���� 3DXWUDW��5� /D�FKDUJH�GH�OD�SUHXYH�HW�OH�SRLGV�GX�GRXWH�GDQV�ODSSUHFLDWLRQ�GH�OD�FDXVHUHHOOH�HW�VHULHXVH�GX�OLFHQFLHPHQW��5HFKWVJHOHHUG�0DJD]LMQ�7KHPLV�������QR������VWU��F����F���
���� 3DZORZVNL��(QND 'HU�SULPD�IDFLH�%HZHLV�EHL�6FKDGHQVHUVDW]DQVSUXFKHQ�DXV�'HOLNW�XQG9HUWUDJ��*RWWLQJHQ��6FKZDUW]��*RWWLQJHQ��6FKZDUW]�������
���� 3DZORZVNL��(QND 'HU�SULPD�IDFLH�%HZHLV�EHL�6FKDGHQVHUVDW]DQVSUXFKHQ�DXV�'HOLNW�XQG9HUWUDJ��*RWWLQJHQ��6FKZDUW]��*RWWLQJHQ��6FKZDUW]�������
���� 3HUHOPDQ��&KDLP��)RULHUV�3�
/D�SUHXYH�HQ�GURLW��%UX[HOOHV��(��%UX\ODQW��������
���� 3HUURW��5RJHU /D�GURLW�D�OD�SUHXYH��+DEVFKHLG��XU����(IIHNWLYHU�5HFKWVVFKXW]�XQGYHUIDVVXQJVPiyLJH�2UGQXQJ���������VWU��������
/LWHUDWXUD ���
���� 3HVFKDX��+DQV�+HUPDQQ 'LH�%HZHLVODVW�LP�9HUZDOWXQJVUHFKW��]XU�9HUWHLOXQJ�GHV�$XINODUXQJVULVLNRVLP�9HUZDOWXQJVSUR]HVV��%HUOLQ��'XQFNHU��+XPEORW�������
���� 3HWHUMDQ��5HLQKDUG 'LH�3UREOHPH�GHU�%HZHLVODVW�LP�$UW]WKDIWXQJVSUR]Hy��*UD]��8QLY��'LSO�$UE����������VWU����
���� 3HWVFKHN��*HRUJ 'HU�RVWHUUHLFKLVFKH�=LYLOSUR]HVV��HLQH�V\VWHPDWLVFKH�'DUVWHOOXQJ��:LHQ�0DQ]�������
���� 3HWVFKHN�6WDJHO� 'HU�qVWHUUHLFKLVFKH�=LYLOSUR]Hy�������
���� 3KLSVRQ��6LGQH\�/RYHOO 7KH�ODZ�RI�HYLGHQFH��/RQGRQ��6WHYHQV�DQG�+D\QHV���G�HG��������
���� 3RKOH��5XGROI %HPHUNXQJHQ�]XU�/HKUH�YRQ�GHU�%HZHLVODVW��0RQDWVVFKULIW�IsU�'HXWVFKHV5HFKW���������VWU�����
���� 3RKOH��5XGROI =XU�%HZHLVODVW�LP�LQWHUQDWLRQDOHQ�5HFKW��)6�'qOOH��9RP�GHXWVFKHQ�]XP(XURSiLVFKHQ�5HFKW�����0RKU���������VWU�����
���� 3ROO��-HQV %HZHLVIsKUXQJ�XQG�%HZHLVODVW�LP�GHXWVFKHQ�XQG�DQJOR�DPHULNDQLVFKHQ$QZDOWVKDIWXQJVSUR]Hy��]XJOHLFK�HLQH�%HVSUHFKXQJ�GHU�Q��5VSU��GHV�%*+�=HLWVFKULIW�IsU�9HUJOHLFKHQGH�5HFKWVZLVVHQVFKDIW������QR�����������VWU���������
���� 3ROODN��5XGROI 6\VWHP�GHU�qVWHUUHLFKLVFKHQ�=LYLOSUR]HyUHFKWV�PLW�(LQVFKOXy�GHV([HNXWLRQVUHFKWV�������
���� 3RVW��-DQ�&RUQHOLV 'H�OHHU�YDQ�GHQ�EHZLMVODVW�LQ�UHFKWVSUDNWLMN�HQ�ZHWJHYLQJ������$PVWHUGDP�'�%��&HQWHQ�������
���� 3RVFKPDQQ��.��0� fEHU�GLH�1DWXU�GHV�V�J��TXDOLILFLUWHQ�*HVWiQGQLVVHV�LP�&LYLOSUR]HVVH�XQGGHVHQ�(LQIOXy�DXI�GLH�%HZHLVODVW��/HLS]LJ�������
���� 3ULQFHQ��-HURHQ�*� )DLU�WULDO��WDNHQ�HQ�YHUSOLFKWLQJHQ�YRRU�UHFKWHU�HQ�SDUWLMHQ�UHVXOWHUHQG�LQ�HHQELOOLMNH�EHZLMVODVWYHUGHOLQJ��$UQKHP��*RXGD�4XLQW�������
���� 3UqOVV��-sUJHQ %HZHLVHUOHLFKWHUXQJHQ�LP�6FKDGHQVHUVDW]SUR]HVV��.DUOVUXKH��9HUODJ9HUVLFKHUXQJVZLUWVFKDIW�������
���� 3UqOVV��-sUJHQ 'LH�%HZHLVODVWYHUWHLOXQJ�QDFK�*HIDKUHQEHUHLFKHQ��9HUVLFKHUXQJVUHFKW��������VWU�����
���� 3UsWWLQJ��+DQQV %HZHLVUHFKW�XQG�%HZHLVODVW��/H[LNRQ�GHV�5HFKWV��=LYLOYHUIDKUHQVUHFKW���VWU������
���� 3UsWWLQJ��+DQQV *HJHQZDUWVSUREOHPH�GHU�%HZHLVODVW��HLQH�8QWHUVXFKXQJ�PRGHUQHU%HZHLVODVWWKHRULHQ�XQG�LKUHU�$QZHQGXQJ�LQVEHVRQGHUH�LP�$UEHLWVUHFKW�0XQFKHQ��&�+��%HFN�������
���� 3UsWWLQJ��+DQQV *UXQGSUREOHPH�GHV�%HZHLVUHFKWV��-XULVWLVFKH�$UEHLWVEOiWWHU���������VWU�����
���� 4XHQWLQ��$QGUHDV .DXVDOLWiW�XQG�GHOLNWLVFKH�+DIWXQJVEHJUsQGXQJ��]XJOHLFK�HLQ�%HLWUDJ�]XP.DXVDOLWiWVSUREOHP�EHL�:DOGVFKDGHQVIiOOHQ��(UODQJHQ��8QLY��'LVV����'XQFNHU��+XPEORW�������
���� 5DEHODLV��)UDQjRLV 2HXYUHV�FRPSOHWHV��3DULV��*DUQLHU���7KH�SRUWDEOH�5DEHODLV��VHOHFWHG�WUDQVODWHG��HGLWHG�E\�6DPXHO�3XWQDP��Q�G���9LNLQJ�3UHVV�������
���� 5DGRPDQ��'X§DQ 2QXV�SUREDQGL���WHUHW�GRND]LYDQMD��2GYMHWQLN���������VWU���������
���� 5DSLVDUGD��&ULVWLQD /RQHUH�GHOOD�SURYD�QHO�GLULWWR�GHO�ODYRUR�E\�9DOOHERQD��$���������ERRNUHYLHZ��5LYLVWD�7ULPHVWUDOH�GL�'LULWWR�H�3URFHGXUD�&LYLOH��������YRO������VWU��������
���� 5HFKEHUJHU��:DOWHU 'LH�fEHUSUsIXQJ�YRQ�(UIDKUXQJVViW]HQ�LQ�GHU�5HYLVLRQVLQVWDQ]�eVWHUUHLFKLVFKH�-XULVWHQ�=HLWXQJ��������YRO�����VWU�
���� 5HFKEHUJHU��:DOWHU 'HU�$QVFKHLQEHZHLV�LQ�GHU�qVWHUUHLFKLVFKHQ�-XGLNDWXU��eVWHUUHLFKLVFKH-XULVWHQ�=HLWXQJ���������VWU���������
���� 5HFKEHUJHU��:DOWHU 0Dy�IsU�0Dy�LP�=LYLOSUR]Hy"�(LQ�%HLWUDJ�]XU�%HZHLVPDyGLVNXVVLRQ��)6%DXPJiUWHO���������VWU�����
���� 5HFKEHUJHU��:DOWHU =LYLOSUR]HVVUHFKW��(UNHQQWQLVYHUIDKUHQ���PLW�%HLVSLHOHQ�:LHGHUKROXQJVIUDJHQ�XQG�0XVWHUQ��:LHQ��0DQ]������QHXEHDUEHLWHWH�$XIO�������
/LWHUDWXUD ���
���� 5HLPDQQ��)ULW] %HKDXSWXQJV��XQG�%HZHLVODVW�LP�)DOOH�GHV�v�����%*%�������
���� 5HLQHFNH��*HUKDUG 'LH�%HZHLVODVWYHUWHLOXQJ�LP�EsUJHUOLFKHQ�5HFKW�XQG�LP�$UEHLWVUHFKW�DOVUHFKWVSROLWLVFKH�5HJHOXQJVDXIJDEH��%HUOLQ��)UHLH�8QLY��'LVV�����'XQFNHU�+XPEORW�������
���� 5HLQKDUGW��0LFKDHO 'LH�8PNHKU�GHU�%HZHLVODVW�DXV�YHUIDVVXQJVUHFKWOLFKHU�6LFKW��1HXH-XULVWLVFKH�:RFKHQVFKULIW������QR�����������VWU�������
���� 5HLQKROG��.DUO 'LH�OHKUH�YRQ�GHP�.ODJJUXQGH��GHQ�(LQUHGHQ�XQG�GHU�%HZHLVODVW�PLWEHVRQGHUHU�5sFNVLFKW�DXI�GLH�5HLFKVFLYLOSUR]HVVRUGQXQJ�XQG�GHQ�(QWZXUI�%HUOLQ�������
���� 5HLQLFNH��0LFKDHO (QWVSULFKW�GLH�REMHNWLYH�%HZHLVODVW�EHL�GHU�3UR]HyIiKLJNHLW�GHUMHQLJHQ�EHLGHU�*HVFKiIWVIiKLJNHLW"��)6�/XNHV��+H\PDQQV���������VWU�����
���� 5HLVFKDXHU��5XGROI 'HU�(QWODVWXQJVEHZHLV�GHV�6FKXOGQHUV��������$%*%���H��%HLWUDJ�]XP5HFKW�G��/HLVWXQJVVWqUXQJ�PLW�UHFKWVYHUJOHLFKHQGHQ�%H]sJHQ��/LQ]��8QLY�+DELO�6FKU�����'XQFNHU��+XPEORW�������
���� 5H\HV�0DUWLQH]��0RQLFD /D�YROXQWDG�HQ�OD�FDUJD�GH�OD�SUXHED��6DQWLDJR��(GLWRULDO�-XULGLFD�GH�&KLOH������
���� 5LFKWHU��:DOWHU 'LH�%HZHLVODVW�EHL�GHU�QHJDWLYHQ�)HVWVWHOOXQJVNODJH�������
���� 5LSHUW��*HRUJHV 7UDLWH�GH�GURLW�FLYLO��GDSUHV�OH�WUDLWH�GH�3ODQLRO���3DULV��/LEUDLULH�JHQHUDOH�GHGURLW�HW�GH�MXULVSUXGHQFH�������
���� 5L]\��7KHREDOG fEHU�GLH�9HUELQGOLFKNHLW�]XU�%HZHLVIXKUXQJ�LP�&LYLOSURFHVVH��HLQ�9HUVXFKGLH�/HKUH�YRQ�GHU�/DVW�GHV�%HZHLVHV�DXI�HLQH�IHVWH�*UXQGODJH�����:LHQ������
���� 5RDG\��7KRPDV�*��-U��&RYLQJWR
(VVD\V�RQ�SURFHGXUH�DQG�HYLGHQFH��1DVKYLOOH��1DVKYLOOH��9DQGHUELOW�83������
���� 5REHUWVRQ��%HUQDUG ([KDXVWLRQ�RI�ORFDO�UHPHGLHV�LQ�LQWHUQDWLRQDO�KXPDQ�ULJKWV�OLWLJDWLRQ����WKHEXUGHQ�RI�SURRI�UHFRQVLGHUHG��,QWHUQDWLRQDO�DQG�&RPSDUDWLYH�/DZ4XDUWHUO\������QR�����������VWU���������
���� 5RELQ��*HRUJHV 'H�OD�UHVSRQVDELOLWH�QRWDPPHQW�DX�SRLQW�GH�YXH�GH�OD�FODXVH�GH�QRQ��JDUDQWLH�HW�GX�IDUGHDX�GH�OD�SUHXYH�HQ�GURLW�URPDLQ�HW�HQ�GURLW�IUDQFDLV������
���� 5qGLJ��-sUJHQ 'LH�7KHRULH�GHV�JHULFKWOLFKHQ�(UNHQQWQLVYHUIDKUHQ��'LH�*UXQGOLQLHQ�GHV]LYLO���VWUDI��XQG�YHUZDOWXQJVJHULFKWOLFKHQ�3UR]HVVHV�%HUOLQ�+HLGHOEHUJ�1HZ�<RUN��%HUOLQ�+HLGHOEHUJ�1HZ�<RUN��6SULQJHU������
���� 5RPHU��5REHUW�YRQ 'LH�%HZHLVODVW�KLQVLFKWOLFK�GHV�,UUWKXPV�QDFK�JHPHLQHP�&LYLOUHFKW�XQG3UR]HVV��6WXWWJDUW��-�%��0HW]OHU�������
���� 5RPPH��2OLYHU 'HU�$QVFKHLQVEHZHLV�LP�*HIXJH�YRQ�%HZHLVZXUGLJXQJ��%HZHLVPDVV�XQG%HZHLVODVW��.qOQ��+H\PDQQV�������
���� 5RVHQEHUJ��/HR /D�FDUJD�GH�OD�SUXHED��%XHQRV�$LUHV��(GLFLRQHV�-XULGLFDV�(XURSD�$PHULFD������
���� 5RVHQEHUJ��/HR 'LH�%HZHLVODVW�QDFK�GHU�&LYLOSUR]HVVRUGQXQJ�XQG�GHP�%sUJHUOLFKHQ*HVHW]EXFKHV��%HUOLQ��2��/LHEPDQQ�������
���� 5RVHQEHUJ��/HR 'LH�%HZHLVODVW�DXI�GHU�*UXQGODJH�GHV�%sUJHUOLFKHQ�*HVHW]EXFKV�XQG�GHU=LYLOSUR]HVVRUGQXQJ��%HUOLQ�����L]G�������������L]G��0sQFKHQ��%HFN�����������L]G�����������L]G��������
���� 5RVHQEHUJ�6FKZDE�*RWWZDOG =LYLOSUR]HyUHFKW�������
���� 5\X��6HXQJ�+XQ 'LH�%HZHLVODVW�LP�GHXWVFKHQ�XQG�NRUHDQLVFKHQ�=LYLOUHFKW��.qOQ��8QLY�'LVV��������
���� 6DFFR 3UHVXQ]LRQH��QDWXUD�FRQVWLWXWLYD�R�LPSHGLWLYD�GHO�IDWWR��RQHUH�GHOOD�SURYD�5LYLVWD�GL�GLULWWR�FLYLOH���������VWU�����
���� 6DFNORZVNL��-sUJHQ 'LH�%HZHLVODVWYHUWHLOXQJ�LP�9HUZDOWXQJVSUR]HVV��XQWHU�EHVRQGHUHU%HUXFNVLFKWLJXQJ�GHU�5HFKWVSUHFKXQJ�GHV�%XQGHVYHUZDOWXQJVJHULFKWV�.ROQ�6XO]��:��.OHLNDPS�������
/LWHUDWXUD ���
���� 6DGDWVXND��7DNDVKL 6KXFKR�ULVVKR�VHNLQLQURQ�QR�NR]R�QL�NDQVXUX�LFKL�VKLURQ��.R�6DGDWVXND7DNDVKL�+DQML�LNR�URQVKX��7RN\R��+DQUHL�7DLPX]XVKD��'DL���KDQ��������
���� 6DLWR��+LGHR =HLPX�VRVKR�QR�ULVVKR�VHNLQLQ�QL�WVXLWH��%XUGHQ�RI�SURRI�LQ�WD[DWLRQ�FDVHV��7RN\R��6KLKR�NHQVKX�VKR�������
���� 6DPSDLR��-��*RQFDOYHV $�SURYD�SRU�GRFXPHQWRV�SDUWLFXODUHV��QD�GRXWULQD��QD�OHL�H�QDMXULVSUXGHQFLD��&RLPEUD��/LYUDULD�$OPHGLQD�������
���� 6DQFKH]�*ULOOR��$QGUHV /D�FDUJD�GH�OD�SUXHED�IUHQWH�D�OD�FXOSD������%RJRWD��(GLWRULDO�3D[�������
���� 6DUDFHQR��3DVTXDOH /D�GHFLVLRQH�VXO�IDWWR�LQFHUWR�QHO�SURFHVVR�SHQDOH��3DGRYD��&('$0��&DVDHGLWULFH�GRWW��$��0LODQL�������
���� 6FKDIHU��*OHQQ 7KH�&RQVWUXFWLRQ�RI�3UREDELOLW\�$UJXPHQWV��%RVWRQ�8QLYHUVLW\�/DZ5HYLHZ��������YRO������VWU�����
���� 6FKHLQPDQ��0DUWLQ�)� (YLGHQFH�DQG�SURRI�LQ�DUELWUDWLRQ��,WKDFD��1HZ�<RUN�6WDWH�6FKRRO�RI,QGXVWULDO�DQG�/DERU�5HODWLRQV��&RUQHOO�8QLYHUVLW\�������
���� 6FKHOOKDPPHU� =LYLOSUR]Hy�������
���� 6FKPLGW�/RUHQ]��7LOPDQ 5LFKWHUOLFKHV�(UPHVVHQ�LP�=LYLOSUR]HVV�������
���� 6FKQHLGHU��(JRQ 'LH�QHXHUH�5HFKWVSUHFKXQJ�]XP�]LYLOSUR]HVVXDOHQ�%HZHLVUHFKW�0RQDWVVFKULIW�IsU�'HXWVFKHV�5HFKW��������YRO�����VWU����������
���� 6FKQHLGHU��(JRQ 'LH�]LYLOSUR]HVXDOH�%HZHLVDQWL]LSDWLRQ�LQ�GHU�QHXHUHQ�5HFKWVVSUHFKXQJ�0RQDWVVFKULIW�IsU�'HXWVFKHV�5HFKW��YRO������VWU�����
���� 6FKQHLGHU��(JRQ 'LH�%HZHLVYHUHLWHOXQJ��0RQDWVVFKULIW�IsU�'HXWVFKHV�5HFKW��YRO������VWU���
���� 6FKQHLGHU��(JRQ 'LH�%HZHLVZsUGLJXQJ�LP�=LYLOSUR]Hy��0RQDWVVFKULIW�IsU�'HXWVFKHV�5HFKW�YRO������������VWU������������
���� 6FKQHLGHU��(JRQ %HZHLV�XQG�%HZHLVZsUGLJXQJ��0sQFKHQ��9DKOHQ�������
���� 6FKUHLEHU��5XSHUW 7KHRULH�GHV�%HZHLVZHUWHV�IsU�%HZHLVPLWWHO�LP�=LYLOSUR]Hy��%HUOLQ�+HLGHOEHUJ�1HZ�<RUN��6SULQJHU�������
���� 6FKXFN��3HWHU�+� $JHQW�2UDQJH�RQ�7ULDO��0DVV�7R[LF�'LVDVWHUV�LQ�WKH�&RXUWV��&DPEULGJH�+DUYDUG�8QLYHUVLW\�3UHVV�������
���� 6FKXKO\��)UDQ] 'LH�%HZHLVODVW�EHL�GHU�DXIOqVHQGHQ�%HGLQJXQJ�XQG�EHLP�9RUEHKDOW�����.DUOVUXKH�L�%���*��%UDXQ�������
���� 6FKXO]��)UDQ] 'LH�%HZHLVODVW�LP�&LYLO���9HUZDOWXQJV��XQG�6WUDISUR]HVVH��&REOHQ]��:�*URRV�������
���� 6FKXO]H��*� %HZHLVODVW�XQG�%HVWLPPWKHLWVJHERW�LP�6RIWZDUH�9HUOHW]XQJVSUR]HV�&RPSXWHU�XQG�5HFKW�����QR������������VWU���������
���� 6FKXP��'DYLG�$� 'LYHUVH�0RGHOV�RI�(YLGHQFH�DQG�,QIHUHQFH��3UREDELOLW\�DQG�WKH�3URFHVVHV�RI'LVFRYHU\��3URRI��DQG�&KRLFH��%RVWRQ�8QLYHUVLW\�/DZ�5HYLHZ��������YRO�����VWU�����
���� 6FKXVWHU %HZHLVODVWXPNHKU�H[WUD�OHJHP��'LVV��)UHLEXUJ�������
���� 6FKZDE��.DUO�+HLQ] =XU�$ENHKU�PRGHUQHU�%HZHLVODVWOHKUHQ�YRQ�GHU�1RUPHQWKHRULH��)6�%UXQV������
���� 6FKZDE��.DUO�+HLQ] 'DV�%HZHLVPDy�LP�=LYLOSUR]Hy��)6�)DVFKLQJ���������VWU�����
���� 6FKZHULQJ��:DOWHU 6\VWHP�GHU�%HZHLVODVW�LP�HQJOLVFKDPHULNDQLVFKHQ�=LYLOSUR]HVV��.DUOVUXKH�&��)��0XOOHU�������
���� 6FKZLQGHO 'DV�QRQ�OLTXHW�LQ�GHU�7DWIUDJH�������
���� 6HHOLJHU��*HUKDUG %HZHLVODVW��%HZHLVYHUIDKUHQ��%HZHLVDUWHQ�XQG�%HZHLVZXUGLJXQJ�LP6WHXHUSUR]HVV��%HUOLQ��(��6FKPLGW�������
���� 6HLJHO��0LFKDHO�/� $�3UDJPDWLF�&ULWLTXH�RI�0RGHUQ�(YLGHQFH�6FKRODUVKLS��1RUWKZHVWHUQ8QLYHUVLW\�/DZ�5HYLHZ��������YRO������VWU�����
���� 6KDLQ��0DUN 5HV�LSVD�ORTXLWXU��SUHVXPSWLRQV�DQG�EXUGHQ�RI�SURRI��/RV�$QJHOHV��&DOLI��3DUNHU��&R��������
/LWHUDWXUD ���
���� 6KDSLUR��%DUEDUD�-� �7R�$�0RUDO�&HUWDLQW\���7KHRULHV�RI�NQRZOHGJH�DQG�$QJOR�$PHULFDQ-XULHV������������+DVWLQJV�/DZ�-RXUQDO��������YRO������VWU�����
���� 6KDSLUR��%DUEDUD�-� �%H\RQG�5HDVRQDEOH�'RXEW��DQG��3UREDEOH�&DXVH���+LVWRULFDO�3HUVSHFWLYHVRQ�WKH�$QJOR�$PHULDQ�/DZ�RI�(YLGHQFH��%HUNHOH\�������
���� 6KDYLUR��'DQLHO 6WDWLVWLFDO�3UREDELOLW\�(YLGHQFH�DQG�WKH�$SSHDUDQFH�RI�-XVWLFH��+DUYDUG/DZ�5HYLHZ��������YRO�������VWU�����
���� 6RQQWDJ��$QGUHDV 'LH�%HZHLVODVW�EHL�'ULWWEHWURIIHQHQNODJHQ��)UDQNIXUW�DP�0DLQ��1HZ�<RUN�3��/DQJ�������
���� 6SHLVHU��6WXDUW�0� 7KH�1HJOLHQFH�&DVH��5HV�LSVD�ORTXLWXU��5RFKHVWHU��6DQ�)UDQFLVFR��/DZ\HUVFR�RS��SXEOLVKLQJ
���� 6SLW]ZHJ��+��-��/XFNH��2� 'LH�'DUOHJXQJV��XQG�%HZHLVODVW�JHPiy������%HWU9*�LP.sQGLJXQJVVFKXW]SUR]HV��1HXH�=HLWVFKULIW�IXU�$UEHLWV��XQG�6R]LDOUHFKW�����QR�����������VWU���������
���� 6SRKU��&XUW 'DV�%HZHLVLQWHUHVVH�LQ�6WUDIVDFKHQ��VRJ��0DWHULHOOH�%HZHLVODVW���*LHVVHQ�&��YRQ�0XQFKRZ�������
���� 6SUDJXH��(GZDUG�(� &RQWULEXWRU\�QHJOLJHQFH�DQG�WKH�EXUGHQ�RI�SURRI�������
���� 6WHIDQR��*LXVHSSH�GH 6WXGL�VXJOL�DFFRUGL�SURFHVVXDOL��0LODQR��$��*LXIIUH�������
���� 6WHUQ��.� (KUHQVFKXW]�XQG�%HZHLVODVW�LQ�LKUHU�YHUIDVVXQJVUHFKWOLFKHQ�5HOHYDQ]�)HVWVFKULIW�IXU�'LHWULFK�2HKOHU�]XP�����*HEXUWVWDJ���VWU���������
���� 6WHWWHU�/LQJHPDQQ��$QGUHD 'LH�PDWHULHOOH�5HFKWVNUDIW�HLQHV�GLH�QHJDWLYH�)HVWVWHOOXQJVNODJHDEZHLVHQGHQ�8UWHLOV��LQVEHVRQGHUH�EHL�XQULFKWLJHU�%HZHLVODVWYHUWHLOXQJ�7sELQJHQ��8QLY�'LVV��������
���� 6WRFN��3DXO�'LHWHU 'LH�%HZHLVODVW�EHLP�9HUVFKXOGHQVEHZHLV�LP�5DKPHQ�YRQ�/HLVWXQJV�VWqUXQJHQ�QDFK�DQJOR�DPHULNDQLVFKHP�5HFKW��>.qOQ��6SH]LDOGU��IXU'LVVHUWDWLRQHQ��*RXGHU�X��+DQVHQ�������
���� 6WRUPH��0DUFHO 'H�EHZLMVODVW�LQ�KHW�EHOJLVFK�SULYDDWUHFKW��DYHF�UHVXPH�IUDQFDLV��PLWGHXWVFKHU�=XVDPPHQIDVVXQJ��*HQW��(��6WRU\�������
���� ¦DJRYDF��$QWXQ 7HUHW�GRND]LYDQMD�L�VORERGQD�RFMHQD�GRND]D�X�SDUQL³QRP�SRVWXSNX�2GYMHWQLN��������YRO�������VWU�������
���� ¦DJRYDF��$QWXQ 3RGMHOD�WHUHWD�GRND]LYDQMD�NRG�JUD´DQVNRSUDYQH�RGJRYRUQRVWL�]D�§WHWX�PDJLVWDUVNL�UDG�QD�3)�%J���=DJUHE�������
���� ¦RYL²��6ORERGDQ 1D³HOR�VORERGHQ�RFHQH�GRND]D�L�QMHJRYD�SULPHQD�X�SUDNVL��3DUQL³QLSRVWXSDN��������YRO�����VWU���������
���� 7DNDKDVKL��<� 6XEVWDQWLYH�ODZ�DQG�WKH�EXUGHQ�RI�SURRI��/DZ�LQ�-DSDQ��DQ�$QQXDO��������������VWU��������
���� 7DQDND��.D]XR 5LVVKR�VHNLQLQ�KDQUHL�QR�NHQN\X��6WXG\�RI�WKH�MXGLFLDO�ODZ�RQ�WKH�EXUGHQ�RISURRI��7RN\R��*DQVKRGR�������
���� 7DUXIIR��0LFKHOH /D�GURLW�D�OD�SUHXYH��'LVNXVLRQVEHULFKW���+DEVFKHLG��XU����(IIHNWLYHU5HFKWVVFKXW]�XQG�YHUIDVVXQJVPiyLJH�2UGQXQJ��'LVNXVLRQVEHULFKWH�������VWU�������
���� 7DUXIIR��0LFKHOH 3UHVXQ]LRQL��LQYHUVLRQL��SURYD�GHO�IDWWR��5LYLVWD�7ULPHVWUDOH�GL�'LULWWR�H3URFHGXUD�&LYLOH��������YRO������VWU���������
���� 7DUXIIR��0LFKHOH &HUWH]]D�H�SUREDELOLWD�QHOOH�SUHVXQ]LRQL��)RUR�LWDOLDQR���������VWU����
���� 7DUXIIR��0LFKHOH /D�SURYD�GHL�IDWWL�JLXULGLFL��QR]LRQL�JHQHUDOL��0LODQR��*LXIIUH�������
���� 7DVFKHUHDX��+HQUL�(O]HDU %UHI�H[DPHQ�GH�TXHOTXHV�XQHV�GHV�TXHVWLRQV�TXL�SHXYHQW�VH�VRXOHYHU�VXUORQXV�SUREDQGL�VRXV�OHV�DUWLFOHV������HW������GX�&RGH�FLYLO��>4XHEHF"@������
���� 7HUUHOO��%XIRUG�&� (PSOR\PHQW�GLVFULPLQDWLRQ��WKH�GHIHQGDQWV�EXUGHQ�������
���� 7HVWD��3DROLQD /RQHUH�GHOOD�SURYD��'LULWWR�GHOO,QIRUPD]LRQH�H�GHOO,QIRUPDWLFD��������YRO����VWU���������
���� 7KD\HU��-DPHV�%� 7KH�%XUGHQ�RI�3URRI��+DUYDUG�/DZ�5HYLHZ��������YRO�����VWU����
/LWHUDWXUD ���
���� 7KD\HU��-DPHV�%UDGOH\ $�SUHOLPLQDU\�WUHDWLVH�RQ�HYLGHQFH�DW�WKH�FRPPRQ�ODZ��%RVWRQ��/LWWOH�%URZQ��DQG�FRPSDQ\�������
���� 7KRPDVLXV��&KULVWLDQ 'H�SUDHVYPSWLRQH�ERQLWDWLV��+DODH�0DJGHEYUJLFDH��/LWHULV�6DOIHOGLDQLV�����
���� 7LOOHUV��3HWHU 3UHMXGLFH��3ROLWLFV��DQG�3URRI��2Q�7ZLQLQJ�DQG�*UDKDP���0LFKLJDQ�/DZ5HYLHZ��������YRO������VWU�����
���� 7LOOHUV��3HWHU ,QWHOOHFWXDO�+LVWRU\��3UREDELOLW\��DQG�WKH�/DZ�RI�(YLGHQFH��5HYLHZ���%H\RQG�5HDVRQDEOH�'RXEW��DQG��3UREDEOH�&DXVH���E\�6KDSLUR�%DUEDUD�0LFKLJDQ�/DZ�5HYLHZ��������YRO������VWU������
���� 7LOOHUV��3HWHU��*UHHQ��(ULF'�
3UREDELOLW\�DQG�LQIHUHQFH�LQ�WKH�ODZ�RI�HYLGHQFH��WKH�XVHV�DQG�OLPLWV�RI%D\HVLDQLVP��'RUGUHFKW��'RUGUHFKW��.OXZHU�������
���� 7ULEH��/DXUHQFH�+� $�)XUWKHU�&ULWLTXLH�RI�0DWKHPDWLFDO�3URRI��+DUYDUG�/DZ�5HYLHZ�������YRO������VWU������
���� 7ULEH��/DXUHQFH�+� 7ULDO�E\�0DWKHPDWLFV��3UHFLVLRQ�DQG�5LWXDO�LQ�WKH�/HJDO�3URFHVV��+DUYDUG/DZ�5HYLHZ��������YRO������VWU������
���� 7ULYD��6LQL§D��%HODMHF�9HOLPLU��'LND��0LKDMOR
*UD´DQVNR�SDUQL³QR�SURFHVQR�SUDYR��=DJUHE��1DURGQH�QRYLQH�������
���� 7ZLQLQJ��:LOOLDP )DFWV�LQ�/DZ��$563��%HLKHIW������$VVRFLDWLRQ�IRU�/HJDO�DQG�6RFLDO3KLORVRSK\��)UDQ]�6WHLQHU�9HUODJ��:LHVEDGHQ�������
���� 7ZLQLQJ��:LOOLDP 7KHRULHV�RI�HYLGHQFH��%HQWKDP�DQG�:LJPRUH��/RQGRQ�:HLGHQIHOG1LFROVRQ�������
���� 7\EMHUJ��(UODQG 2P�EHYLVE\UGHQ��.MREHQKDYQ��-DFRE�/XQG�������
���� 8ELVFK��/HRSROG�YRQ 'LH�0RWLYH�GHU�%HZHLVYHUWHLOXQJ�LP�DOWGHXWVFKHQ�3UR]HVV��%HUOLQ��(�6WUHLVDQG�������
���� 8OULFK��*��$� 'LH�%HZHLVODVW�LQ�9HUIDKUHQ�GHV�$UUHVWHV�XQG�GHU�HLQVWZHLOLJHQ�9HUIXJXQJ�*HZHUEOLFKHU�5HFKWVVFKXW]�XQG�8UKHEHUUHFKW������QR�����������VWU���������
���� 8OULFK��*��$� %HZHLVIsKUXQJ�XQG�%HZHLVODVW�LP�:HWWEHZHUEVSUR]HVV��:HWWEHZHUE�LQ5HFKW�XQG�3UD[LV������QR������������VWU���������
���� 8]HODF��$ODQ ,VWLQD�X�VXGVNRP�SRVWXSNX��=DJUHE��3UDYQL�IDNXOWHW�X�=DJUHEX�������
���� 8]HODF��$ODQ 0DWHULMDOQD�LVWLQD��LVNULYOMHQR�RJOHGDOR�MHGQH�WHRULMH�LVWLQH�X�VXGVNRPSRVWXSNX��=ERUQLN�3UDYQRJ�IDNXOWHWD�X�=DJUHEX��������YRO������VWU���������
���� 9DOOHERQD��$QWRQLR /LQYHUVLRQH�GHOORQHUH�GHOOD�SURYD�QHO�GLULWWR�GHO�ODYRUR��5LYLVWD�7ULPHVWUDOHGL�'LULWWR�H�3URFHGXUD�&LYLOH��������YRO������VWU���������
���� 9DOOHERQD��$QWRQLR /RQHUH�GHOOD�SURYD�QHO�GLULWWR�GHO�ODYRUR��3DGRYD��&('$0�������
���� 9HUEXUJK��0��-��3� 'H�EHZLMVODVWYHUGHOLQJ�LQ�GH�]HVWLJHU�MDUHQ��=ZROOH��7MHHQN�:LOOLQN�������
���� 9HUGH��*LRYDQQL /RQHUH�GHOOD�SURYD�QHO�SURFHVVR�FLYLOH��>1DSROL@��-RYHQH�������
���� 9RFNH��(UQVW 'LH�%HZHLVODVW�EHLP�3URYLVLRQVDQVSUXFK�GHV�0DNOHUV�������
���� 9RONPDQQ��(UQVW %HZHLVODVW�EHL�GHU�5sFNIRUGHUXQJVNODJH�ZHJHQ�1LFKWHLQWULWWV�GHV�PLW�GHU/HLVWXQJ�EH]ZHFNWHQ�(UIROJV��FRQGLFWLR�RE�FDXVDP�QRQ�VHFXWDP��������
���� 9ROONRPPHU��0D[ %HZHLVHUOHLFKWHUXQJHQ�IsU�GHQ�0DQGDQWHQ�EHL�9HUOHW]XQJ�YRQ�$XINOiUXQJV�XQG�%HUDWXQJVSIOLFKWHQ�GXUFK�GHQ�$QZDOW��)6�%DXPJiUWHO�������
���� :DFK��$GROI 'LH�%HZHLVODVW�QDFK�GHP�%sUJHUOLFKHQ�*HVHW]EXFK��/HLS]LJ�>Q�G�@
���� :DFNH��$QGUHDV =XU�%HZHLVODVW�LP�NODVVLVFKHQ�=LYLOSUR]HV��*LRYDQQL�3XJOLHVH�YHUVXV�(UQVW/HY\��=HLWVFKULIW�GHU�6DYLJQ\�6WLIWXQJ�IXU�5HFKWVJHVFKLFKWH��������YRO�QR������VWU���������
���� :DFNH��*HUKDUG 'LH�%HZHLVODVW�GHU�)DPLOLHQXQWHUQHKPHQ�LQ�6WHXHUVDFKHQ�9HUGDFKWVYHUPXWXQJHQ�JHJHQ�)DPLOLHQYHUWUDJH"��0XQFKHQ��%HFN�������
���� :DKUHQGRUI��9RONHU 'LH�3ULQ]LSLHQ�GHU�%HZHLVODVW�LP�+DIWXQJVUHFKW��.ROQ��%HUOLQ��%RQQ�0XQFKHQ��+H\PDQQ�������
/LWHUDWXUD ���
���� :DOGHU��+DQV�8OULFK =XU�1RUPTXDOLILNDWLRQ�LP�%HZHLVUHFKW��:DOWHU��5LPPHOSUDFKHU�'LHGULFKVHQ�HWF���XU���)HVWVFKULIW�IsU�:ROIUDP�+HQFNHO�]XP�����*HE��%HUOLQ��1HZ�<RUN���������VWU���������
���� :DOGPDQ��7� 2ULJLQV�RI�WKH�OHJDO�GRFWULQH�RI�UHDVRQDEOH�GRXEW��-RXUQDO�RI�WKH�+LVWRU\�RI,GHDV��������YRO������VWU�����
���� :DOWHU��*HUKDUG )UHLH�%HZHLVZsUGLJXQJ��(LQH�8QWHUVXFKXQJ�]X�%HGHXWXQJ��%HGLQJXQJHQXQG�*UHQ]HQ�GHU�)UHLHQ�ULFKWHUOLFKHQ�fEHU]HXJXQJ��7sELQJHQ��0RKU�������
���� :DOWHU��*HUKDUG 9RONHU�:DUHQGRUI��'LH�3ULQ]LSLHQ�GHU�%HZHLVODVW�LP�+DIWXQJVUHFKW�=HLWVFKULIW�IsU�=LYLOSUR]Hy��������YRO��������VWU���������
���� :DOWRQ��'RXJODV�1� $UJXPHQWV�IURP�LJQRUDQFH��8QLYHUVLW\�3DUN��3D���3HQQV\OYDQLD�6WDWH8QLYHUVLW\�3UHVV��8QLYHUVLW\�3DUN��3D���3HQQV\OYDQLD�683�������
���� :DVVHUPH\HU��+HLQ] 5HIHUDW�]XP�*XWDFKWHQ�YRQ�3URIHVVRU�'U��$UZHG�%ORPH\HU��9HUKDQGOXQJHQGHV�����GHXW��-XULVWHQWDJHV���������VWU��(�
���� :DVVHUPH\HU��+HLQ] 'HU�.ROOLVLRQVSUR]HVV�LQ�GHU�%LQQHQVFKLIIDKUW��'XLVEXUJ�������
���� :DVVHUPH\HU��+HLQ] 'HU�SULPD�IDFLH�%HZHLV�XQG�GLH�EHQDFKEDUWHQ�(UVFKHLQXQJHQ��0sQVWHU�$VFKHQGRUIIVKH�9HUODJVEXFKKDQGOXQJ�������
���� :DVVHUVWURP��5LFKDUG�$� 7KH�-XGLFLDO�'HFLVLRQ��7RZDUG�D�7KHRU\�RI�/HJDO�-XVWLILFDWLRQ��6WDQIRUG�6WDQIRUG�83�������
���� :HEHU��$GROSK�'LHWHULFK fEHU�GLH�9HUELQGOLFKNHLW�]XU�%HZHLVIXKUXQJ�LP�&LYLOSUR]HVV��+DOOH�5HQJHU�������
���� :HEHU�*UHOOHW��+HLQULFK %HZHLV��XQG�$UJXPHQWDWLRQVODVW�LP�9HUIDVVXQJVUHFKW�XQWHU�EHVRQGHUHU%HUXFNVLFKWLJXQJ�GHU�5HFKWVSUHFKXQJ�GHV�%XQGHVYHUIDVVXQJVJHULFKWV�%DGHQ�%DGHQ��1RPRV�9HUODJVJHVHOOVFKDIW�����$XIO��������
���� :HKOL��$OEHUW 'LH�%HZHLVODVW�LP�QHXHQ�&LYLOSURFHVVH��:LHQ��,P�6HOEVWYHUODJH�GHV9HUIDVVHUV�������
���� :HLJPDQQ��5� /LQYHUVLRQH�GHOORQHUH�GHOOD�SURYD�QHO�GLULWWR�FRPPHUFLDOH��5LYLVWD7ULPHVWUDOH�GL�'LULWWR�H�3URFHGXUD�&LYLOH��������YRO������VWU���������
���� :HLWQDXHU��+HUPDQQ %HZHLVIUDJHQ�LQ�GHU�3URGXNWHQKDIWXQJ��)6�/DUHQ]���������VWU�����
���� &DPSEHOO�:DOOHU :HOO�DQG�7UXO\�7ULHG��(VVD\V�RQ�(YLGHQFH�LQ�+RQRXU�RI�6LU�5LFKDUG(JJOHVWRQ��6\GQH\��/DZ�%RRN�&R���6\GQH\��/DZ�%RRN�&R��������
���� :HQGW��2WWR�+HLQULFK�*��+�YRQ
%HZHLV�XQG�%HZHLVPLWWHO��7sELQJHQ�������
���� :HQGW��2WWR�+HLQULFK�*��+�YRQ
'LH�%HZHLVODVW�EHL�GHU�QHJDWLYHQ�)HVWVWHOOXQJVNODJH��)UHLEXUJ�������
���� :HQQLQJHU��$[HO 'LH�%HZHLVODVW�IsU�GDV�9HUVFKXOGHQ�EHL�GHU�SRVLWLYHQ�9HUWUDJVYHUOHW]XQJHQ�7sELQJHQ�������
���� :LFKPDQQ��.DUO 'LH�%HZHLVODVW�EHLP�.DXI�QDFK�3UREH�QDFK�JHPHLQHP�5HFKWH�XQG�GHP5HFKWH�GHV�%�*�%��������
���� :LJPRUH��-RKQ�+HQU\ (YLGHQFH�LQ�7ULDOV�DW�&RPPRQ�ODZ��%RVWRQ��/LWWOH��%URZQ��>UHY��HG�@��-DPHV�+��&KDGERXUQH�������
���� :LJPRUH��-RKQ�+HQU\ 7KH�VFLHQFH�RI�MXGLFLDO�SURRI��DV�JLYHQ�E\�ORJLF��SV\FKRORJ\��DQG�JHQHUDOH[SHULHQFH��DQG�LOOXVWUDWHG�LQ�MXGLFLDO�WULDOV���%RVWRQ��/LWWOH��%URZQ�DQG�&R���G�HG���UHY��DQG�HQO��������
���� :LQLFN��%UXFH�-� 3UHVXPSWLRQV�DQG�%XUGHQV�RI�3URRI�LQ�'HWHUPLQLQJ�&RPSHWHF\�WR�6WDQG7ULDO��$Q�$QDO\VLV�RI�0HGLQD�Y��&DOLIRUQLD�DQG�WKH�6XSUHPH�&RXUWV���8QLYHUVLW\�RI�0LDPL�/DZ�5HYLHZ��������YRO������VWU�����
���� :LUWK��&DUO�-XOLXV�*RWWIULHG fEHU�GDV�OHLWHQGH�3ULQFLS�GHU�%HZHLVODVW�XQG�(LQUHGHQ�LP�&LYLOSURFHVV�(UODQJHQ�������
���� :RKOIDKUW��&KULVWLQH 8PNHKU�GHU�%HZHLVODVW��'LVV�6W��*DOOHQ�������
���� :ROWHU��-sUJHQ :DKOIHVWVWHOOXQJ�XQG�LQ�GXELR�SUR�UHR��]XJOHLFK�HLQH�'RNXPHQWDWLRQ�GHUKRFKVWULFKWHUOLFKHQ�5HFKWVSUHFKXQJ�������������%HUOLQ��'XQFNHU�+XPEORW�������
/LWHUDWXUD ���
���� :ULJKW��5LFKDUG�:� &DXVDWLRQ��5HVSRQVLELOLW\��5LVN��3UREDELOLW\��1DNHG�6WDWLVWLFV��DQG�3URRI�3UXQLQJ�WKH�%UDPEOH�%XVK�E\�&ODULI\LQJ�WKH�&RQFHSWV��,RZD�/DZ�5HYLHZ�������YRO������VWU������
���� <DEORQ��&KDUOHV�0� 2Q�WKH�$OORFDWLRQ�RI�%XUGHQV�RI�3URRI�LQ�&RUSRUDWH�/DZ��$Q�(VVD\�RQ)DLUQHVV�DQG�)X]]\�6HWV��&DUGR]R�/DZ�5HYLHZ��������YRO��������VWU�����
���� <HD]HOO��6WHSKHQ�&� &LYLO�SURFHGXUH��%RVWRQ��/LWWOH��%URZQ����WK�HG��������
���� <HVVLRX�)DOWVL��3HOD\LD 'LH�%HZHLVODVW�IsU�GDV�9HUVFKXOGHQ�EHL�6FKOHFKWHUIsOOXQJ�XQG�VRQVWLJHQ3IOLFKWYHUOHW]XQJHQ�QDFK�GHP�JULHFKLVFKHQ�=*%��)6�%DXPJiUWHO���������VWU����
���� =DKUQW��&� %HZHLVODVW�EHL�)HKOHUQ��LQVEHVRQGHUH�EHL�6RIWZDUHIHKOHUQ��,QIRUPDWLN�XQG5HFKW�����QR�������������VWU�����
���� =HLVV��:DOWHU =LYLOSUR]HVVUHFKW��7sELQJHQ��0RKU��3DXO�6LHEHFN��������
���� =qOOHU��5LFKDUG�HW�DO� =LYLOSUR]HyRUGQXQJ�������
���� =XFNHUPDQ��$GULDQ�$��6� 7KH�3ULQFLSOHV�RI�&ULPLQDO�(YLGHQFH��2[IRUG��&ODUHQGRQ�������
���� =XFNHUPDQ��$GULDQ�$��6� /DZ��)DFW�RU�-XVWLFH"��%RVWRQ�8QLYHUVLW\�/DZ�5HYLHZ��������YRO������VWU����