:,5,1*',$*5$0$1'/(*(1' :,5,1*',$*5$0 6(($33(1',; /(*(1' 1 6( PRGHOV 19+] 6( PRGHO 19+] 6( PRGHOV5 3KDVH9+] 6( PRGHO5 3KDVH9+] 6( PRGHOV0&21752/ 3KDVH9+] 6( PRGHO032:(5 3KDVH9+] 6( PRGHOV5&21752/ 3KDVH9+] 6( PRGHOV5&21752/ 3KDVH9+] 6( PRGHOV32:(5 3KDVH9+] 6( PRGHOV&21752/ 3KDVH9+] 6( PRGHOV32:(5 3KDVH9+] 32:(5&,5&8,7 9ROWDJH9a1HXWUDO(DUWK 2QWHUPLQDOV3(/²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·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²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pPDVVRQWFRUUHFWVDXPRPHQWGHODSXEOLFDWLRQ/HVYDULDQWHVHQIDEULFDWLRQSHXYHQWHQWUDvQHUGHV PRGLILFDWLRQV5HSRUWH]YRXVWRXMRXUVDXVFKpPDOLYUpDYHFOHSURGXLW $&+781* 'LHVH6WURPODXISODQVVLQG]XP=HLWSXQNWGHU9HU|IIHQWOLFKXQJJOWLJ,Q+HUVWHOOXQJEHILQGOLFKH9DULDQWHQN|QQHQ bQGHUXQJHQPLWVLFKEULQJHQ,QMHGHP)DOOGHQPLWGHP3URGXNWJHOLHIHUWHQ6WURPODXISODQKLQ]X]LHKHQ $77(1=,21( 4XHVWLVFKHPLVRQRFRUUHWWLDOPRPHQWRGHOODSXEEOLFD]LRQH/HYDULDQWLDSSRUWDWHQHOFRUVRGHOODIDEEULFD]LRQH SRVVRQRFRPSRUWDUHPRGLILFKH)DUVHPSUHULIHULPHQWRDOORVFKHPDIRUQLWRFRQLOSURGRWWR $7(1&,Ð1 (VWRHVTXHPDVVRQFRUUHFWRVHQHOPRPHQWRGHODSXEOLFDFLyQ3HURODVYDULDQWHVHQODIDEULFDFLyQSXHGHQVHU PRWLYRGHPRGLILFDFLRQHV5HPtWDVHVLHPSUHDOHVTXHPDHQWUHJDGRFRQHOSURGXFWR 32:(56833/<0867%(6:,7&+('2))%()25( 67$57,1*72:25.,17+((/(&75,&&21752/%2;(6 0,6(+2567(16,212%/,*$72,5($9$177287( ,17(59(17,21'$16/(6%2,7,(56(/(&75,48(6 925-('(0(,1*5,))$1'(1$16&+/8.b67(1 81%(',1*7'$6*(5b7$%6&+$/7(1 35,0$',2*1,,17(59(17268//(&$66(77( (/(775,&+((6&/8'(5(7$66$7,9$0(17( /·$/,0(17$=,21( 38(67$)8(5$'(71(6,Ð12%/,*$725,$$17(6'( &8$/48,(5,17(59(1&,Ð1(1/$6&$-$6(/e&75,&$6 ;,,, $33(1',;$11(;($1/$*($//(*$72$1(;2 43%# 402) 2 ;,9 $33(1',;$11(;($1/$*($//(*$72$1(;2 76(& 735, 5 ;9 $33(1',;$11(;($1/$*($//(*$72$1(;2 76(& 735, 5 ;9, $33(1',;$11(;($1/$*($//(*$72$1(;2 76(& 735, 5 ;9,, $33(1',;$11(;($1/$*($//(*$72$1(;2 &21752/ 43%# 402) ;; $33(1',;$11(;($1/$*($//(*$72$1(;2 &21752/ 76(& 735, ;;, $33(1',;$11(;($1/$*($//(*$72$1(;2 32:(5 ;;,, $33(1',;$11(;($1/$*($//(*$72$1(;2 &21752/ 76(& 735, ;;,,, $33(1',;$11(;($1/$*($//(*$72$1(;2 32:(5 ;;,9