Loading...
The URL can be used to link to this page
Your browser does not support the video tag.
2018-160 Drug Use Trends
Date: November 9, 2018 Report No. 2018-160 INFORMAL STAFF REPORT TO MAYOR AND CITY COUNCIL SUBJECT: Provide an overview of drug use trends in the community DISCUSSION: The City Council requested information about recent drug use trends in Denton during their Aug. 21 meeting. Following this request, the Denton Police Department’s Crime Analyst pulled drug arrest data and found that from Jan. 1, 2018 to Sept. 30, 2018, there have been 568 total drug- related arrests in Denton. Table 1 and Table 2 below provide additional details related to drug-related arrest trends over the past three years. The 2018 drug-related arrest total includes 520 arrests for possession and another 48 arrests for manufacturing or delivery. Of the 568 total drug-related arrests, 248 were felonies, 315 were misdemeanors, and five were undesignated. The undesignated category includes records with either no entry in the system for type of arrests or with a code other than felony or misdemeanor. In general, felony arrests have remained stable each year from 2016 to present, and misdemeanor arrests have decreased over time. The total weight of drugs seized has increased each year since 2016. In 2018, the Denton Police Department has seized 103.68 pounds of narcotics. The table below shows the total weight of drugs seized per year broken down by drug type. Synthetic drugs seizures increased from 22.16 pounds in 2017 to 63.07 pounds seized to-date in 2018. One reason for this increase in the synthetic drug seizures in 2018 can be attributed to one prescription pill arrest that resulted in the seizure of more than 10,000 opiate pills. Another factor Table 1 Table 2 Date: November 9, 2018 Report No. 2018-160 can be attributed to the frequent changes in chemical combinations that render substances as a new synthetic drug. Denton’s trend follows what is happening nationwide. The following table shows the amount of synthetic drugs seized, and whether they are classified as synthetic/edible marijuana or K2/GHB (frequently liquid ecstasy)/MDMA (frequently ecstasy or molly)/bath salts, and also includes the total gallons of liquid cannabis oil seized. The Texas Health and Safety Code (Section 481) determines the offense and punishment for drug- related arrests based on two factors: 1) the type of drug and 2) the quantity of drug involved in the offense. The Health and Safety Code (Attachment 1) contains the list of drugs that are in schedules 1, 1-A, 2, 3, 4, and 5. To give context to the arrest data provided above, the following general guidelines apply to drug offenses to determine how they are classified: Possession of Controlled Substance • Penalty Group 1: less than one gram is a state jail felony; more than one gram and less than four grams is a third degree felony; more than four grams and less than 200 grams is a second degree felony, more than 200 grams and less than 400 grams is a first degree felony; more than 400 grams is life imprisonment or a term of 10 to 99 years and up to a $100,000 fine. • Penalty Group 1-A: number of abuse units less than 20 is a state jail felony; number of abuse units more than 20 and less than 80 is a third degree felony; number of abuse units more than 80 and less than 4000 is a second degree felony; more than 4000 units and less than 8000 units is a first degree felony; and more than 8000 units is life imprisonment or a term of 15 to 99 years and up to a $250,000 fine. • Penalty Group 2: less than one gram is a state jail felony; more than one gram and less than four grams is a third degree felony; more than four grams and less than 400 grams is a second degree felony; and more than 400 grams is life imprisonment or a term of 5 to 99 years and up to a $50,000 fine. CATEGORY 2016 2017 YTD 2018 TOTAL Total Items Seized 42 68 75 185 K2/GHB/MDMA/Bath Salts 12 37 41 90 Synthetic/Edible Marijuana 30 31 34 95 Total Items Seized (Without Specific Measurement)27 29 43 99 K2/GHB/MDMA/Bath Salts 12 25 37 74 Synthetic/Edible Marijuana 15 4 6 25 Total Weight (in Pounds)11.42 22.16 63.07 96.64 K2/GHB/MDMA/Bath Salts 0.32 0.30 0.02 0.64 Synthetic/Edible Marijuana 11.10 21.85 63.05 96.01 Total Volume Liquid Cannabis Oil - Gallons (GL)2.50 0.00 163.00 165.50 SYNTHETIC DRUGS 1/1/2016 - 9/30/2018 Date: November 9, 2018 Report No. 2018-160 • Penalty Group 3: less than 28 grams is a Class A misdemeanor; more than 28 grams and less than 200 grams is a third degree felony; more than 200 grams and less than 400 grams is a second degree felony; and more than 400 grams is life imprisonment or a term of 5 to 99 years and up to a $50,000 fine. • Penalty Group 4: less than 28 grams is a Class B misdemeanor; more than 28 grams and less than 200 grams is a third degree felony; more than 200 grams and less than 400 grams is a second degree felony; more than 400 grams is life imprisonment or a term of 5 to 99 years and up to a $50,000 fine. Offense of Delivery of Marijuana • Less than one quarter ounce is a Class B misdemeanor if delivery is without compensation; less than one quarter ounce is a Class A misdemeanor if delivery is for compensation; more than one quarter ounce and less than five pounds is a state jail felony; more than five pounds and less than 50 pounds is a second degree felony; more than 50 pounds and less than 2000 pounds is a first degree felony; and more than 2000 pounds is life imprisonment or a term of 10 to 99 years and a fine not to exceed $100,000. Offense of Possession of Marijuana • Less than 2 oz. is a Class B misdemeanor; more than 2 oz. and less than 4 oz. is a Class A misdemeanor; more than 4 oz. and less than five pounds is a state jail felony; more than five pounds and less than 50 pounds is a third degree felony; more than 50 pounds and less than 2000 pounds is a second degree felony; and more than 2000 pounds is life imprisonment or a term of 5 to 99 years and a fine not to exceed $50,000. Texas drug laws were updated in 2017 to include a number of new chemicals to the Schedules of Controlled Substances. The first documented use of synthetic drugs occurred in the US in 2008 and use of these drugs nationwide has continued to increase year over year. In 2011, Texas added synthetic marijuana products to the Texas Controlled Substances Act, which caused manufacturers to change the chemical makeup of the drugs to avoid violating the law. In 2015, Texas banned substances that have a chemical structure substantially similar to the chemical structure of a controlled substance. More changes were made in 2017, including enacting civil penalties for manufacturers for damages caused to those using synthetic drugs and adding new compounds of synthetic drugs to the Schedules of Controlled Substances. ATTACHMENTS 1. Texas Controlled Substances Schedule STAFF CONTACT: Frank Dixon Chief of Police Frank.Dixon@cityofdenton.com Ƈ Ƈ Ƈ Ƈ Ƈ Ƈ $XVWLQ 7H[DV 'RFXPHQWV ¿OHG ZLWK 62$+PD\ EH ¿OHG YLD ID[ DW RU VHQW WR WKH IROORZLQJDGGUHVV 62$+ :HVW WK 6WUHHW 6XLWH $XVWLQ 7H[DV :KHQ FRQWDFWLQJ WKH &RPPLVVLRQ RU 62$+ UHJDUGLQJ WKLVPDWWHU UHIHUHQFH WKH 62$+ GRFNHW QXPEHU JLYHQ DW WKH WRS RIWKLV QRWLFH ,Q DFFRUGDQFH ZLWK 7H[ $GPLQ &RGH D 1RWLFH RI+HDULQJ 3DUWLHV WKDW DUH QRW UHSUHVHQWHG E\ DQ DWWRUQH\ PD\REWDLQ LQIRUPDWLRQ UHJDUGLQJ FRQWHVWHG FDVH KHDULQJV RQ WKHSXEOLF ZHEVLWH RI WKH 6WDWH 2I¿FH RI $GPLQLVWUDWLYH +HDULQJV DWZZZVRDKWH[DVJRY RU LQ SULQWHG IRUPDW XSRQ UHTXHVW WR 62$+ 3HUVRQV ZKR QHHG VSHFLDO DFFRPPRGDWLRQV DW WKH KHDULQJ VKRXOG FDOOWKH 62$+ 'RFNHWLQJ 'HSDUWPHQW DW DW OHDVW RQH ZHHNEHIRUH WKH KHDULQJ ,VVXHG 0DUFK 75' %ULGJHW & %RKDF &KLHI &OHUN 7H[DV &RPPLVVLRQ RQ (QYLURQPHQWDO 4XDOLW\ )LOHG 0DUFK 7H[DV )DFLOLWLHV &RPPLVVLRQ 5HTXHVW IRU 3URSRVDOV 7KH 7H[DV )DFLOLWLHV &RPPLVVLRQ 7)& RQ EHKDOI RI WKH 6WDWH 2I¿FHRI $GPLQLVWUDWLYH +HDULQJV 62$+ DQQRXQFHV WKH LVVXDQFH RI 5HTXHVW IRU 3URSRVDOV 5)3 7)& VHHNV D ¿YH RU WHQ \HDU OHDVH RI DSSUR[LPDWHO\ VTXDUH IHHW RI RI¿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¿YH RU WHQ \HDU OHDVH RI DSSUR[LPDWHO\ VTXDUH IHHW RI RI¿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Ƈ Ƈ Ƈ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¿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¿FLDO FRPPRQ XVXDO FKHPLFDO RU WUDGH QDPHWKH\ PD\ EH GHVLJQDWHG 6&+('8/( , ,1 $'',7,21 0DUFK 7H[5HJ 6FKHGXOH , FRQVLVWV RI 6FKHGXOH , RSLDWHV 7KH IROORZLQJ RSLDWHV LQFOXGLQJ WKHLU LVRPHUV HVWHUV HWKHUV VDOWV DQGVDOWV RI LVRPHUV HVWHUV DQG HWKHUV XQOHVV VSHFL¿FDOO\ H[FHSWHG LI WKHH[LVWHQFH RI WKHVH LVRPHUV HVWHUV HWKHUV DQG VDOWV LV SRVVLEOH ZLWKLQWKH VSHFL¿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ÀXRURIHQWDQ\O 1 ÀXRURSKHQ\O 1 > SKHQHWK\O SLSHULGLQ\O@ SURSDQDPLGH 3(3$3 SKHQHWK\O SKHQ\O DFHWR[\SLSHULGLQH 3KHQDGR[RQH 3KHQDPSURPLGH 3KHQF\FOLGLQH 3KHQRPRUSKDQ 3KHQRSHULGLQH 3LULWUDPLGH 3URKHSWD]LQH 3URSHULGLQH 3URSLUDP 7KLRIHQWDQ\O 1 SKHQ\O 1 > WKLHQ\O HWK\O SLSHULGLQ\O@SURSDQDPLGH 7LOLGLQH DQG 7ULPHSHULGLQH 6FKHGXOH , RSLXP GHULYDWLYHV 7KH IROORZLQJ RSLXP GHULYDWLYHV WKHLU VDOWV LVRPHUV DQG VDOWV RI LVRPHUV XQOHVV VSHFL¿FDOO\ H[FHSWHG LI WKH H[LVWHQFH RI WKHVH VDOWV LVRPHUV DQG VDOWV RI LVRPHUV LV SRVVLEOH ZLWKLQ WKH VSHFL¿F FKHPLFDO GHVLJQDWLRQ $FHWRUSKLQH $FHW\OGLK\GURFRGHLQH %HQ]\OPRUSKLQH &RGHLQH PHWK\OEURPLGH &RGHLQH 1 2[LGH &\SUHQRUSKLQH 'HVRPRUSKLQH 'LK\GURPRUSKLQH 'URWHEDQRO (WRUSKLQH H[FHSW K\GURFKORULGH VDOW +HURLQ +\GURPRUSKLQRO 0HWK\OGHVRUSKLQH 0HWK\OGLK\GURPRUSKLQH 0RQRDFHW\OPRUSKLQH 0RUSKLQH PHWK\OEURPLGH 0RUSKLQH PHWK\OVXOIRQDWH 0RUSKLQH 1 2[LGH 0\URSKLQH 1LFRFRGHLQH 1LFRPRUSKLQH 7H[5HJ 0DUFK 7H[DV 5HJLVWHU 1RUPRUSKLQH 3KROFRGLQH DQG 7KHEDFRQ 6FKHGXOH , KDOOXFLQRJHQLF VXEVWDQFHV 8QOHVV VSHFL¿FDOO\ H[FHSWHG RU XQOHVV OLVWHG LQ DQRWKHU VFKHGXOH D PDWHULDO FRPSRXQG PL[WXUH RU SUHSDUDWLRQ WKDW FRQWDLQV DQ\ TXDQWLW\ RIWKHIROORZLQJKDOOXFLQRJHQLFVXEVWDQFHVRUWKDWFRQWDLQVDQ\RIWKHVXEVWDQFH V VDOWV LVRPHUV DQG VDOWV RI LVRPHUV LI WKH H[LVWHQFH RI WKH VDOWVLVRPHUV DQG VDOWV RI LVRPHUV LV SRVVLEOH ZLWKLQ WKH VSHFL¿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¿HG ERWDQLFDOO\ DV /RSKRSKRUDZKHWKHUJURZLQJ RU QRW WKH VHHGV RI WKH SODQW DQ H[WUDFW IURP D SDUW RI WKHSODQW DQG HYHU\ FRPSRXQG PDQXIDFWXUH VDOW GHULYDWLYH PL[WXUH RUSUHSDUDWLRQ RI WKH SODQW LWV VHHGV RU H[WUDFWV 3VLORF\ELQ 3VLORFLQ 3\UUROLGLQH DQDORJ RI SKHQF\FOLGLQH VRPH WUDGH RU RWKHU QDPHV SKHQ\O F\FORKH[\O S\UUROLGLQH 3&3\ 3+3 7HWUDK\GURFDQQDELQROV PHDQLQJ WHWUDK\GURFDQQDELQROV QDWXUDOO\ FRQWDLQHG LQ D SODQW RI WKHJHQXV &DQQDELV FDQQDELV SODQW DV ZHOO DV V\QWKHWLF HTXLYDOHQWV RIWKH VXEVWDQFHV FRQWDLQHG LQ WKH FDQQDELV SODQW RU LQ WKH UHVLQRXV H[WUDFWLYHV RI VXFK SODQW DQGRU V\QWKHWLF VXEVWDQFHV GHULYDWLYHV DQGWKHLU LVRPHUV ZLWK VLPLODU FKHPLFDO VWUXFWXUH DQG SKDUPDFRORJLFDO DFWLYLW\ WR WKRVH VXEVWDQFHV FRQWDLQHG LQ WKH SODQW VXFK DV WKH IROORZLQJ FLV RU WUDQV WHWUDK\GURFDQQDELQRO DQG WKHLU RSWLFDO LVRPHUV FLV RU WUDQV WHWUDK\GURFDQQDELQRO DQG WKHLU RSWLFDO LVRPHUV FLV RU WUDQV WHWUDK\GURFDQQDELQRO DQG LWV RSWLFDO LVRPHUV 6LQFHQRPHQFODWXUHRIWKHVHVXEVWDQFHVLVQRWLQWHUQDWLRQDOO\VWDQGDUGL]HG FRPSRXQGV RI WKHVH VWUXFWXUHV UHJDUGOHVV RI QXPHULFDO GHVLJQDWLRQ RI DWRPLF SRVLWLRQV FRYHUHG 7KLRSKHQH DQDORJ RI SKHQF\FOLGLQH VRPH WUDGH RU RWKHU QDPHV > WKLHQ\O F\FORKH[\O@ SLSHULGLQH WKLHQ\O DQDORJ RI SKHQF\FOLGLQH 73&3 > WKLHQ\O F\FORKH[\O@S\UUROLGLQH VRPHWUDGHRURWKHUQDPHV 7&3\ PHWK\OPHWKFDWKLQRQH 2WKHU QDPHV PHWK\O1PHWK\OFDWKLQRQH PHSKHGURQH PHWK\OHQHGLR[\S\URYDOHURQH 0'39 'LPHWKR[\HWK\OSKHQ\O HWKDQDPLQH 2WKHU QDPHV &( ,1 $'',7,21 0DUFK 7H[5HJ 'LPHWKR[\PHWK\OSKHQ\O HWKDQDPLQH 2WKHU QDPHV &' &KORURGLPHWKR[\SKHQ\O HWKDQDPLQH 2WKHU QDPHV && ,RGRGLPHWKR[\SKHQ\O HWKDQDPLQH 2WKHU QDPHV &, > (WK\OWKLR GLPHWKR[\SKHQ\O@HWKDQDPLQH 2WKHU QDPHV &7 > ,VRSURS\OWKLR GLPHWKR[\SKHQ\O@HWKDQDPLQH 2WKHUQDPHV &7 'LPHWKR[\SKHQ\O HWKDQDPLQH 2WKHU QDPHV &+ 'LPHWKR[\QLWURSKHQ\O HWKDQDPLQH 2WKHU QDPHV &1 'LPHWKR[\ Q SURS\OSKHQ\O HWKDQDPLQH 2WKHU QDPHV &3 0HWK\OHQHGLR[\1PHWK\OFDWKLQRQH 2WKHU QDPH 0HWK\ORQH SHQW\O+LQGRO\O WHWUDPHWK\OF\FORSURS\O PHWKDQRQH 2WKHU QDPHV 85 DQGSHQW\O WHWUDPHWK\OF\FORSURSR\O LQGROH > ÀXRURSHQW\O +LQGRO\O@ WHWUDPHWK\OF\FORSURS\O PHWKDQRQH 2WKHU QDPHV ÀXRUR85 DQG )85DQG ;/5 DQG ÀRXURSHQW\O WHWUDPHWK\OF\FORSURSR\O LQGROH 1 DGDPDQW\O SHQW\O+LQGD]ROHFDUER[DPLGH 2WKHUQDPHV $3,1$&$ $.% 4XLQROLQ\O SHQW\O+LQGROHFDUER[\ODWH LWV RSWLFDOSRVLWLRQDO DQG JHRPHWULF LVRPHUV VDOWV DQG VDOWV RI LVRPHUV 2WKHUQDPHV 3% 483,& 4XLQROLQ\O ÀXRURSHQW\O +LQGROHFDUER[\ODWH LWVRSWLFDO SRVLWLRQDO DQG JHRPHWULF LVRPHUV VDOWV DQG VDOWV RI LVRPHUV 2WKHU QDPHV ÀXRUR3% )3% 1 DPLQRPHWK\OR[REXWDQ\O ÀXRUREHQ]\O +LQGD]ROHFDUER[DPLGH LWV RSWLFDO SRVLWLRQDO DQG JHRPHWULFLVRPHUV VDOWV DQG VDOWV RI LVRPHUV 2WKHU QDPHV $%)8%,1$&$ 1 DPLQRGLPHWK\OR[REXWDQ\O SHQW\O+LQGD]ROHFDUER[DPLGH $'%3,1$&$ LRGRGLPHWKR[\SKHQ\O 1 PHWKR[\EHQ]\O HWKDQDPLQH ,1%20H &,1%20H , &LPEL FKORURGLPHWKR[\SKHQ\O 1 PHWKR[\EHQ]\O HWKDQDPLQH &1%20H &&1%20H & &LPEL DQG EURPRGLPHWKR[\SKHQ\O 1 PHWKR[\EHQ]\O HWKDQDPLQH %1%20H &%1%20H % &LPEL 6FKHGXOH , VWLPXODQWV 8QOHVV VSHFL¿FDOO\ H[FHSWHG RU XQOHVV OLVWHG LQ DQRWKHU VFKHGXOH D PDWHULDO FRPSRXQG PL[WXUH RU SUHSDUDWLRQ WKDW FRQWDLQV DQ\ TXDQWLW\RI WKH IROORZLQJ VXEVWDQFHV KDYLQJ D VWLPXODQW HIIHFW RQ WKH FHQWUDOQHUYRXV V\VWHP LQFOXGLQJ WKH VXEVWDQFH V VDOWV LVRPHUV DQG VDOWV RILVRPHUV LI WKH H[LVWHQFH RI WKH VDOWV LVRPHUV DQG VDOWV RI LVRPHUV LVSRVVLEOH ZLWKLQ WKH VSHFL¿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¿FDOO\ H[FHSWHG RU XQOHVV OLVWHG LQ DQRWKHU VFKHGXOH D PDWHULDO FRPSRXQG PL[WXUH RU SUHSDUDWLRQ WKDW FRQWDLQV DQ\ TXDQWLW\RI WKH IROORZLQJ VXEVWDQFHV KDYLQJ D GHSUHVVDQW HIIHFW RQ WKH FHQWUDOQHUYRXV V\VWHP LQFOXGLQJ WKH VXEVWDQFH V VDOWV LVRPHUV DQG VDOWV RILVRPHUV LI WKH H[LVWHQFH RI WKH VDOWV LVRPHUV DQG VDOWV RI LVRPHUV LVSRVVLEOH ZLWKLQ WKH VSHFL¿F FKHPLFDO GHVLJQDWLRQ *DPPDK\GUR[\EXW\ULF DFLG VRPH RWKHU QDPHV LQFOXGH *+% JDPPDK\GUR[\EXW\UDWH K\GUR[\EXW\UDWH K\GUR[\EXWDQRLFDFLG VRGLXP R[\EDWH VRGLXP R[\EXW\UDWH 0HFORTXDORQH DQG 0HWKDTXDORQH 6FKHGXOH , &DQQDELPLPHWLF DJHQWV 8QOHVV VSHFL¿FDOO\ H[HPSWHG RU XQOHVV OLVWHG LQ DQRWKHU VFKHGXOH DQ\PDWHULDO FRPSRXQG PL[WXUH RU SUHSDUDWLRQ ZKLFK FRQWDLQV DQ\ TXDQWLW\ RI FDQQDELPLPHWLF DJHQWV RU ZKLFK FRQWDLQV WKHLU VDOWV LVRPHUVDQG VDOWV RI LVRPHUV ZKHQHYHU WKH H[LVWHQFH RI VXFK VDOWV LVRPHUV DQGVDOWV RI LVRPHUV LV SRVVLEOH ZLWKLQ WKH VSHFL¿F FKHPLFDO GHVLJQDWLRQ 7KH WHUP µFDQQDELPLPHWLF DJHQWV¶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ÀXRURSHQW\O QDSKWKR\O LQGROH 2WKHU QDPHV $0 ÀXRURSHQW\O LRGREHQ]R\O LQGROH 2WKHU QDPHV $0 SHQW\O> PHWKR[\ EHQ]R\O@LQGROH 2WKHU QDPHV 65 DQG 5&6 F\FORKH[\OHWK\O PHWKR[\SKHQ\ODFHW\O LQGROH 2WKHUQDPHV 65 DQG 5&6 DQG SHQW\O FKORURSKHQ\ODFHW\O LQGROH 2WKHU QDPHV -:+ 6FKHGXOH , WHPSRUDULO\ OLVWHG VXEVWDQFHV VXEMHFW WR HPHUJHQF\ VFKHGXOLQJ E\ WKH 8QLWHG 6WDWHV 'UXJ (QIRUFHPHQW $GPLQLVWUDWLRQ 8QOHVV VSHFL¿FDOO\ H[FHSWHG RU XQOHVV OLVWHG LQ DQRWKHU VFKHGXOH D PDWHULDO FRPSRXQG PL[WXUH RU SUHSDUDWLRQ WKDW FRQWDLQV DQ\ TXDQWLW\ RIWKH IROORZLQJ VXEVWDQFHV RU WKDW FRQWDLQV DQ\ RI WKH VXEVWDQFH V VDOWVLVRPHUV DQG VDOWV RI LVRPHUV LI WKH H[LVWHQFH RI WKH VDOWV LVRPHUV DQGVDOWV RI LVRPHUV LV SRVVLEOH ZLWKLQ WKH VSHFL¿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ÀXRUR1PHWK\OFDWKLQRQH LWV RSWLFDO SRVLWLRQDO DQG JHRPHWULFLVRPHUV VDOWV DQG VDOWV RI LVRPHUV 2WKHU QDPHV )0& ÀHSKHGURQH ÀXRURSKHQ\O PHWK\ODPLQR SURSDQRQH ÀXRUR1PHWK\OFDWKLQRQH LWV RSWLFDO SRVLWLRQDO DQG JHRPHWULFLVRPHUV VDOWV DQG VDOWV RI LVRPHUV 2WKHU QDPHV )0& ÀXRURSKHQ\O PHWK\ODPLQR SURSDQRQH 1DSK\URQH LWV RSWLFDO SRVLWLRQDO DQG JHRPHWULF LVRPHUV VDOWV DQGVDOWV RI LVRPHUV 2WKHU QDPHV QDSKWK\OS\URYDOHURQH QDSKWKDOHQ\O S\UUROLGLQ\O SHQWDQRQH DOSKDS\UUROLGLQREXWLRSKHQRQH LWV RSWLFDO SRVLWLRQDO DQG JHRPHWULF LVRPHUV VDOWV DQG VDOWV RI LVRPHUV 2WKHU QDPHV >DOSKD@3%3 SKHQ\O S\UUROLGLQ\O EXWDQRQH 1 DPLQRPHWK\OR[REXWDQ\O F\FORKH[\OPHWK\O +LQGD]ROHFDUER[DPLGH 2WKHU QDPHV $%&+0,1$&$ 1 DPLQRPHWK\OR[REXWDQ\O SHQW\O+LQGD]ROHFDUER[DPLGH 2WKHU QDPHV $%3,1$&$ > À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À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ÀXSDQH DQG &RQFHQWUDWH RI SRSS\ VWUDZ PHDQLQJ WKH FUXGH H[WUDFW RI SRSS\VWUDZ LQ OLTXLG VROLG RU SRZGHU IRUP WKDW FRQWDLQV WKH SKHQDQWKUHQHDONDORLGV RI WKH RSLXP SRSS\ 2SLDWHV 7KH IROORZLQJ RSLDWHV LQFOXGLQJ WKHLU LVRPHUV HVWHUV HWKHUV VDOWV DQGVDOWV RI LVRPHUV LI WKH H[LVWHQFH RI WKHVH LVRPHUV HVWHUV HWKHUV DQGVDOWV LV SRVVLEOH ZLWKLQ WKH VSHFL¿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¿FFKHPLFDO GHVLJQDWLRQ $PREDUELWDO *OXWHWKLPLGH 3HQWREDUELWDO DQG 6HFREDUELWDO 6FKHGXOH ,, KDOOXFLQRJHQLF VXEVWDQFHV 7H[5HJ 0DUFK 7H[DV 5HJLVWHU 1DELORQH $QRWKHU QDPH IRU QDELORQH WUDQV GLPHWK\OKHSW\O DD KH[DK\GUR K\GUR[\ GLPHWK\O +GLEHQ]R>EG@S\UDQ RQH 6FKHGXOH ,, SUHFXUVRUV 8QOHVV VSHFL¿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¿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ÀXRURSKHQ\O GLK\GUR WULPHWK\OS\UD]ROR > H@>@ GLD]HSLQ + RQH ÀXS\UD]DSRQ 1DORUSKLQH 6FKHGXOH ,,, QDUFRWLFV 8QOHVV VSHFL¿FDOO\ H[FHSWHG RU XQOHVV OLVWHG LQ DQRWKHU VFKHGXOH D PDWHULDO FRPSRXQG PL[WXUH RU SUHSDUDWLRQ FRQWDLQLQJ OLPLWHGTXDQWLWLHV RI DQ\ RI WKH IROORZLQJ QDUFRWLF GUXJV RU DQ\ RI WKHLU VDOWV QRW PRUH WKDQ JUDPV RI FRGHLQH RU DQ\ RI LWV VDOWV SHU PLOOLOLWHUVRUQRWPRUHWKDQ PLOOLJUDPVSHUGRVDJHXQLWZLWKDQHTXDORU JUHDWHU TXDQWLW\ RI DQ LVRTXLQROLQH DONDORLG RI RSLXP QRWPRUHWKDQJUDPVRIFRGHLQHRUDQ\RILWVVDOWVSHUPLOOLOLWHUVRUQRWPRUHWKDQ PLOOLJUDPVSHUGRVDJHXQLWZLWKRQHRUPRUHDFWLYH QRQQDUFRWLF LQJUHGLHQWV LQ UHFRJQL]HG WKHUDSHXWLF DPRXQWV QRW PRUH WKDQ JUDPV RI GLK\GURFRGHLQH RU DQ\ RI LWV VDOWVSHU PLOOLOLWHUV RU QRW PRUH WKDQ PLOOLJUDPV SHU GRVDJH XQLW ZLWKRQH RU PRUH DFWLYH QRQQDUFRWLF LQJUHGLHQWV LQ UHFRJQL]HG WKHUDSHXWLFDPRXQWV QRWPRUHWKDQPLOOLJUDPVRIHWK\OPRUSKLQHRUDQ\RILWVVDOWVSHU PLOOLOLWHUV RU QRW PRUH WKDQ PLOOLJUDPV SHU GRVDJH XQLW ZLWKRQH RU PRUH DFWLYH QRQQDUFRWLF LQJUHGLHQWV LQ UHFRJQL]HG WKHUDSHXWLFDPRXQWV QRW PRUH WKDQ PLOOLJUDPV RI RSLXP SHU PLOOLOLWHUV RUSHU JUDPV RU QRW PRUH WKDQ PLOOLJUDPV SHU GRVDJH XQLW ZLWKRQH RU PRUH DFWLYH QRQQDUFRWLF LQJUHGLHQWV LQ UHFRJQL]HG WKHUDSHXWLFDPRXQWV QRW PRUH WKDQ PLOOLJUDPV RI PRUSKLQH RU DQ\ RI LWV VDOWV SHU PLOOLOLWHUV RU SHU JUDPV ZLWK RQH RU PRUH DFWLYH QRQQDUFRWLFLQJUHGLHQWV LQ UHFRJQL]HG WKHUDSHXWLF DPRXQWV DQG DQ\ PDWHULDO FRPSRXQG PL[WXUH RU SUHSDUDWLRQ FRQWDLQLQJ DQ\ RIWKH IROORZLQJ QDUFRWLF GUXJV RU WKHLU VDOWV %XSUHQRUSKLQH 6FKHGXOH ,,, VWLPXODQWV 8QOHVV OLVWHG LQ DQRWKHU VFKHGXOH D PDWHULDO FRPSRXQG PL[WXUH RUSUHSDUDWLRQ WKDW FRQWDLQV DQ\ TXDQWLW\ RI WKH IROORZLQJ VXEVWDQFHV KDYLQJ D VWLPXODQW HIIHFW RQ WKH FHQWUDO QHUYRXV V\VWHP LQFOXGLQJ WKH VXEVWDQFH V VDOWV RSWLFDO SRVLWLRQ RU JHRPHWULF LVRPHUV DQG VDOWV RI WKHVXEVWDQFH V LVRPHUV LI WKH H[LVWHQFH RI WKH VDOWV LVRPHUV DQG VDOWV RILVRPHUV LV SRVVLEOH ZLWKLQ WKH VSHFL¿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µWHVWRVWHURQH¶ EHWDK\GUR[\ DOSKDDQGURVWHQRQH GHVR[\PHWK\OWHVWRVWHURQH >DOSKD@PHWK\O>DOSKD@DQGURVWHQ>EHWD@RO PDGRO GLK\GURWHVWRVWHURQH EHWDK\GUR[\DQGURVWDQRQH GURVWDQRORQH EHWDK\GUR[\DOSKDPHWK\ODOSKDDQGURVWDQRQH HWK\OHVWUHQRO DOSKDHWK\O EHWDK\GUR[\HVWUHQH ÀXR[\PHVWHURQH ÀXRUR DOSKDPHWK\O EHWD EHWDGLK\GUR[\DQGURVWHQRQH IRUPHERORQH IRUP\O DOSKDPHWK\O DOSKD EHWDGLK\GUR[\DQGURVWGLHQRQH IXUD]DERO DOSKDPHWK\OEHWDK\GUR[\DQGURVWDQR>F@IXUD]DQ EHWDHWK\O EHWDK\GUR[\JRQHQRQH K\GUR[\WHVWRVWHURQH EHWDGLK\GUR[\DQGURVWHQRQH K\GUR[\ QRUWHVWRVWHURQH EHWDGLK\GUR[\HVWUHQRQH PHVWDQRORQH DOSKDPHWK\O EHWDK\GUR[\ DOSKDDQGURVWDQRQH PHVWHURORQH DOSKDPHWK\O EHWDK\GUR[\> DOSKD@DQGURVWDQRQH PHWKDQGLHQRQH DOSKDPHWK\O EHWDK\GUR[\DQGURVWGLHQRQH PHWKDQGULRO DOSKDPHWK\OEHWDEHWDGLK\GUR[\DQGURVWHQH PHWKHQRORQH PHWK\O EHWDK\GUR[\ DOSKDDQGURVWHQRQH DOSKDPHWK\O EHWD EHWDGLK\GUR[\ DOSKDDQGURVWDQH PHWKDVWHURQH DOSKD DOSKDGLPHWK\ODOSKDDQGURVWDQEHWDRORQH DOSKDPHWK\O DOSKD EHWDGLK\GUR[\ DOSKDDQGURVWDQH DOSKDPHWK\O EHWD EHWDGLK\GUR[\DQGURVWHQH DOSKDPHWK\OK\GUR[\QDQGURORQH DOSKDPHWK\OK\GUR[\ EHWDK\GUR[\HVWUHQRQH PHWK\OGLHQRORQH DOSKDPHWK\O EHWDK\GUR[\HVWUD GLHQRQH PHWK\OWULHQRORQH DOSKDPHWK\O EHWDK\GUR[\HVWUD WULHQRQH PHWK\OWHVWRVWHURQH DOSKDPHWK\O EHWDK\GUR[\DQGURVWHQRQH PLEROHURQH DOSKDDOSKDGLPHWK\OEHWDK\GUR[\HVWUHQRQH DOSKDPHWK\OGHOWDGLK\GURWHVWRVWHURQH EHWDK\GUR[\DOSKDPHWK\O DOSKDDQGURVWHQRQH DND µDOSKDPHWK\OWHVWRVWHURQH¶ QDQGURORQH EHWDK\GUR[\HVWUHQRQH QRUDQGURVWHQHGLRO QRUDQGURVWHQHGLRO EHWD EHWDGLK\GUR[\HVWUHQH QRUDQGURVWHQHGLRO DOSKD EHWDGLK\GUR[\HVWUHQH QRUDQGURVWHQHGLRO EHWD EHWDGLK\GUR[\HVWUHQH QRUDQGURVWHQHGLRO DOSKD EHWDGLK\GUR[\HVWUHQH QRUDQGURVWHQHGLRQH QRUDQGURVWHQHGLRQH HVWUHQGLRQH QRUDQGURVWHQHGLRQH HVWUHQGLRQH QRU DQGURVWDGLHQHGLRQH HVWUD GLHQHGLRQH QRUEROHWKRQH EHWDDOSKDGLHWK\O EHWDK\GUR[\JRQHQRQH QRUFORVWHERO FKORUR EHWDK\GUR[\HVWUHQRQH QRUHWKDQGURORQH DOSKDHWK\O EHWDK\GUR[\HVWUHQRQH QRUPHWKDQGURORQH DOSKDPHWK\O EHWDK\GUR[\HVWUHQRQH R[DQGURORQH DOSKDPHWK\O EHWDK\GUR[\R[D> DOSKD@DQGURVWDQRQH R[\PHVWHURQH DOSKDPHWK\O EHWDGLK\GUR[\DQGURVWHQRQH R[\PHWKRORQH DOSKDPHWK\OK\GUR[\PHWK\OHQHEHWDK\GUR[\> DOSKD@DQGURVWDQRQH VWDQR]RORO DOSKDPHWK\O EHWDK\GUR[\> DOSKD@DQGURVWHQR>F@S\UD]ROH VWHQERORQH EHWDK\GUR[\PHWK\O> DOSKD@DQGURVWHQRQH 7H[5HJ 0DUFK 7H[DV 5HJLVWHU WHVWRODFWRQH K\GUR[\R[RVHFRDQGURVWDGLHQRLF DFLG ODFWRQH WHVWRVWHURQH EHWDK\GUR[\DQGURVWHQRQH SURVWDQR]RO EHWDK\GUR[\DOSKDDQGURVWDQR>F@S\UD]ROH WHWUDK\GURJHVWULQRQH EHWD DOSKDGLHWK\O EHWDK\GUR[\JRQ WULHQRQH WUHQERORQH EHWDK\GUR[\HVWU WULHQRQH DQG DQ\ VDOW HVWHU RU HWKHU RI D GUXJ RU VXEVWDQFH GHVFULEHG LQ WKLVSDUDJUDSK 6FKHGXOH ,,, KDOOXFLQRJHQLF VXEVWDQFHV 'URQDELQRO V\QWKHWLF LQ VHVDPH RLO DQG HQFDSVXODWHG LQ D VRIWJHODWLQ FDSVXOH LQ 86 )RRG DQG 'UXJ $GPLQLVWUDWLRQ DSSURYHG GUXJSURGXFW 6RPH RWKHU QDPHV IRU GURQDELQRO D5 WUDQV DDWHWUDK\GUR WULPHWK\O SHQW\O + GLEHQ]R>EG@S\UDQ RO RU GHOWD WUDQV WHWUDK\GURFDQQDELQRO 6&+('8/( ,9 6FKHGXOH ,9 FRQVLVWV RI 6FKHGXOH ,9 GHSUHVVDQWV ([FHSW DV SURYLGHG E\ WKH 7H[DV &RQWUROOHG 6XEVWDQFHV $FW +HDOWKDQG 6DIHW\ &RGH 6HFWLRQ D PDWHULDO FRPSRXQG PL[WXUH RUSUHSDUDWLRQ WKDW FRQWDLQV DQ\ TXDQWLW\ RI WKH IROORZLQJ VXEVWDQFHV KDYLQJ D SRWHQWLDO IRU DEXVH DVVRFLDWHG ZLWK D GHSUHVVDQW HIIHFW RQ WKH FHQWUDO QHUYRXV V\VWHP $OID[DORQH >DOSKD@SUHJQDQ>DOSKD@ROGLRQH $OSUD]RODP %DUELWDO %URPD]HSDP &DPD]HSDP &KORUDO EHWDLQH &KORUDO K\GUDWH &KORUGLD]HSR[LGH &ORED]DP &ORQD]HSDP &ORUD]HSDWH &ORWLD]HSDP &OR[D]RODP 'HORUD]HSDP 'LD]HSDP 'LFKORUDOSKHQD]RQH (VWD]RODP (WKFKORUY\QRO (WKLQDPDWH (WK\O ORÀ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¿F FKHPLFDO GHVLJQDWLRQ &DWKLQH > QRUSVHXGRHSKHGULQH@ 'LHWK\OSURSLRQ )HQFDPIDPLQ )HQÀXUDPLQH )HQSURSRUH[ 0D]LQGRO 0HIHQRUH[ ,1 $'',7,21 0DUFK 7H[5HJ 0RGD¿QLO 3HPROLQH LQFOXGLQJ RUJDQRPHWDOOLF FRPSOH[HV DQG WKHLU FKHODWHV 3KHQWHUPLQH 3LSUDGURO 63$ > GLPHWK\ODPLQR GLSKHQ\OHWKDQH@ DQG 6LEXWUDPLQH 6FKHGXOH ,9 QDUFRWLFV 8QOHVV VSHFL¿FDOO\ H[FHSWHG RU XQOHVV OLVWHG LQ DQRWKHU VFKHGXOH D PDWHULDO FRPSRXQG PL[WXUH RU SUHSDUDWLRQ FRQWDLQLQJ OLPLWHG TXDQWLWLHVRI WKH IROORZLQJ QDUFRWLF GUXJV RU WKHLU VDOWV 1RW PRUH WKDQ PLOOLJUDP RI GLIHQR[LQ DQG QRW OHVV WKDQ PLFURJUDPV RI DWURSLQH VXOIDWH SHU GRVDJH XQLW 'H[WURSURSR[\SKHQH $OSKD GLPHWK\ODPLQR GLSKHQ\O PHWK\O SURSLRQR[\EXWDQH DQG > GLPHWK\ODPLQR PHWK\O@ PHWKR[\SKHQ\O F\FORKH[DQRO 2WKHU QDPH WUDPDGRO 6FKHGXOH ,9 RWKHU VXEVWDQFHV 8QOHVV VSHFL¿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¿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¿FDOO\ H[HPSWHG RU H[FOXGHG RU XQOHVV OLVWHG LQ DQRWKHUVFKHGXOH D FRPSRXQG PL[WXUH RU SUHSDUDWLRQ ZKLFK FRQWDLQV DQ\TXDQWLW\ RI WKH IROORZLQJ VXEVWDQFHV KDYLQJ D VWLPXODQW HIIHFW RQ WKHFHQWUDO QHUYRXV V\VWHP LQFOXGLQJ LWV VDOWV LVRPHUV DQG VDOWV RI LVRPHUV 3\URYDOHURQH 6FKHGXOH 9 GHSUHVVDQWV 8QOHVV VSHFL¿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Ƈ Ƈ Ƈ7H[DV /RWWHU\ &RPPLVVLRQ 6FUDWFK 7LFNHW *DPH 1XPEHU &DVK RQ WKH 6SRW 1DPH DQG 6W\OH RI 6FUDWFK 7LFNHW *DPH $ 7KH QDPH RI 6FUDWFK 7LFNHW *DPH 1R LV &$6+ 21 7+(6327 7KH SOD\ VW\OH LV NH\ QXPEHU PDWFK 3ULFH RI 6FUDWFK 7LFNHW *DPH $ 7KH SULFH IRU 6FUDWFK 7LFNHW *DPH 1R VKDOO EH SHU6FUDWFK 7LFNHW 'H¿QLWLRQV LQ 6FUDWFK 7LFNHW *DPH 1R $ 'LVSOD\ 3ULQWLQJ 7KDW DUHD RI WKH 6FUDWFK 7LFNHW RXWVLGH RI WKH DUHDZKHUH WKH RYHUSULQW DQG 3OD\ 6\PEROV DSSHDU % /DWH[ 2YHUSULQW 7KH UHPRYDEOH VFUDWFKRII FRYHULQJ RYHU WKH 3OD\6\PEROV RQ WKH IURQW RI WKH 6FUDWFK 7LFNHW & 3OD\ 6\PERO 7KH SULQWHG GDWD XQGHU WKH ODWH[ RQ WKH IURQW RI WKH6FUDWFK 7LFNHW WKDW LV XVHG WR GHWHUPLQH HOLJLELOLW\ IRU D SUL]H (DFK3OD\6\PEROLVSULQWHGLQ6\PEROIRQWLQEODFNLQNLQSRVLWLYHH[FHSWIRUGXDOLPDJH JDPHV 7KH SRVVLEOH EODFN 3OD\ 6\PEROV DUH '2//$5%,// 6<0%2/ DQG ' 3OD\ 6\PERO &DSWLRQ 7KH SULQWHG PDWHULDO DSSHDULQJ EHORZ HDFK3OD\ 6\PERO ZKLFK H[SODLQV WKH 3OD\ 6\PERO 2QH FDSWLRQ DSSHDUVXQGHU HDFK 3OD\ 6\PERO DQG LV SULQWHG LQ FDSWLRQ IRQW LQ EODFN LQNLQ SRVLWLYH 7KH 3OD\ 6\PERO &DSWLRQ ZKLFK FRUUHVSRQGV ZLWK DQGYHUL¿HV HDFK 3OD\ 6\PERO LV DV IROORZV 7H[5HJ 0DUFK 7H[DV 5HJLVWHU