Lithium: The Essential Brain Nutrient: Boost brain function and

/LWKLXP
7KH(VVHQWLDO%UDLQ1XWULHQW
%RRVWEUDLQIXQFWLRQDQGUHGXFHVWUHVV
QDWXUDOO\
%\7LPRWK\00DUVKDOO3K'
$ERXWWKHDXWKRU
7LPRWK\ 0 0DUVKDOO 3K' ± XVLQJ WKH SULQFLSOHV RI IXQFWLRQDO PHGLFLQH ± FRQVXOWV ZLWK SDWLHQWV RQ RSWLPL]LQJ
KHDOWK WKURXJK GLHW DQG OLIHVW\OH SUDFWLFHV HQYLURQPHQWDO KHDOWK LQIOXHQFHV DQG WKH MXGLFLRXV XVH RI KLJKTXDOLW\
QXWULWLRQDOVXSSOHPHQWV
,Q KLV RZQ SHUVRQDO SXUVXLW WR ILQG D VROXWLRQ WR VRPH QDJJLQJ KHDOWK SUREOHPV KH HDUQHG KLV %6 GHJUHH LQ
%LRFKHPLVWU\ ± ZLWK D IRFXV RQ KXPDQ KHDOWK DQG QXWULWLRQ DQG D 0DVWHU¶V LQ 0HGLFLQDO &KHPLVWU\ $IWHU D IHZ
\HDUV LQ %LJ 3KDUPD DQG D IHZ PRUH \HDUV DV D FROOHJH FKHPLVWU\ SURIHVVRU KH ZHQW RQ WR JHW KLV GRFWRUDWH LQ
1HXURSKDUPDFRORJ\IURPWKH8QLYHUVLW\RI$UL]RQD&ROOHJHRI0HGLFLQH+LVSDVVLRQVLQFOXGHRUJDQLFOLYLQJORQJ
ZDONVLQWKHIUHVKRXWGRRUDLUJUHHQWHFKQRORJ\\RJDHDVWHUQSKLORVRSK\DQGKHOSLQJRWKHUVDFKLHYHJUHDWHUOHYHOV
RIKHDOWKDQGKDSSLQHVVLQWKHLUOLYHV
)RUXSWRGDWHLQIRUPDWLRQRQFXUUHQWWRSLFVLQKHDOWKDQGQXWULWLRQ±IROORZ'U7LPRQ)DFHERRNDQG7ZLWWHU
:HEVLWHZZZGUPDUVKDOOFRP
,QWURGXFWLRQ
,QWKLVVSHFLDOUHSRUWWKHHVVHQWLDOWUDFHPLQHUDOOLWKLXPZLOOEHDGGUHVVHGDQGWKH
FRQVHTXHQFHVRIOLWKLXPGHILFLHQF\LQRXUVRFLHW\
/LWKLXPLVRQHRIWKHPRVWPLVXQGHUVWRRGWUDFHPLQHUDOVDQG³EUDLQQXWULHQWV´<(6
EUDLQQXWULHQWVRIRXUWLPH,WVPHGLFLQDOXVHJRHVEDFNDWOHDVW\HDUVZKHUHLQ
WKHODWHVOLWKLXPZDVXVHGWRWUHDWERWKPDQLDDQGGHSUHVVLRQEXWGXHWRWKHODFN
RINQRZOHGJHUHJDUGLQJSURSHUGRVLQJSHRSOHZHUHRIWHQJLYHQWRRPXFKZKLFKOHGWR
LPSURSHUXVHDQGXQLQWHQWLRQDORYHUGRVHV
7KRXJKWKLVGLGQ¶WGHWHUWKRVHZKRVRXJKWWRPDNHXVHRIWKLVQHZO\GLVFRYHUHG
WKHUDSHXWLFPLQHUDO'XULQJWKLVWLPHDQXPEHURISDWHQWHGOLWKLXPEHYHUDJHVVSUXQJ
XSDVDKHDOWKLHUDQGOHJDODOWHUQDWLYHWRDOFRKROLFEHYHUDJHVEDQQHGGXULQJ
SURKLELWLRQ2QHRIWKHPRVWIDPRXVLV³8S´,QDQDWWHPSWWRFUHDWH
DQHQHUJL]LQJPHGLFLQDOHOL[LUWRUHOLHYHDYDULHW\RIDLOPHQWVVXFKDVKDQJRYHUVDQG
XSVHWVWRPDFK±&KDUOHV/HLSHU*ULJJFUHDWHGDEHYHUDJHKHFDOOHG³8S
/LWKLDWHG/HPRQ/LPH´SUHVXPDEO\EHFDXVHRIWKHP\VWHULRXVDELOLW\RIOLWKLXPWR
HOHYDWHWKHPRRG7KH³´LQWKHQDPH8SFDPHIURPWKHDWRPLFZHLJKWRI
OLWKLXP7KHOLWKLXPZDVHYHQWXDOO\UHPRYHGIURPWKHIRUPXODEXWWKHQDPH
UHPDLQHGWKHVDPH8SZDVRQHRIVHYHUDOSDWHQWPHGLFLQHSURGXFWVSRSXODULQ
WKHODWHWKDQGHDUO\WKFHQWXULHV,QDGGLWLRQWR8S&RFD&RODDQG'U
3HSSHUZHUHWZRRWKHUPHGLFLQDOEHYHUDJHVWKHODWWHUWDVWLQJDELWOLNHFRXJK
V\UXSWKDWJDLQHGDORWRISRSXODULW\±LQWKHODWHVHDUO\VZLWKDOLWWOH
FDIIHLQHRUFRFDOHDIH[WUDFWLQWKHFDVHRI&RNHDQGDJRRGKHOSLQJRIVXJDUWR
HDVHKHDGDFKHVHOHYDWHPRRGDQGDVDQHQHUJ\WRQLF
(YHU\VRPDQ\\HDUVVFLHQWLVWV³GLVFRYHU´ZKDWWKH\UHJDUGDVDWUDFHQXWULHQW
SUHYLRXVO\XQUHFRJQL]HGE\WKHPHGLFDODQGVFLHQFHFRPPXQLW\DVDUHTXLUHPHQWIRU
KXPDQKHDOWK,WLVZHOOGRFXPHQWHGWKDWKXPDQVUHTXLUHWKHIROORZLQJWUDFHPLQHUDOV
IRUJHQHUDOKHDOWKDQGZHOOEHLQJDQGWKHSUHYHQWLRQRIGLVHDVHLURQ]LQFFRSSHU
PDQJDQHVHPRO\EGHQXPVHOHQLXPLRGLQHDUVHQLFFKURPLXPYDQDGLXPQLFNHO
ERURQDQGQRZOLWKLXP
(VVHQWLDO0LQHUDOLQ+XPDQ1XWULWLRQ
,QDUHFHQWUHYLHZSXEOLVKHGLQE\3pUH]*UDQDGRVDQG9DTXHUR LQWKH-RXUQDO
RI1XWULWLRQ+HDOWKDQG$JLQJWKHUHVHDUFKHUVORRNHGDWVLOLFRQDOXPLQXPDUVHQLF
DQGOLWKLXPDQGWKHLUHIIHFWLQKXPDQKHDOWKDQGGLVHDVH7KHSXUSRVHRIWKLVVFLHQWLILF
UHYLHZZDVWRWDNHDOORIWKHUHVHDUFKWRGDWHRQWKHVH³XOWUDWUDFHPLQHUDOV´DQG
GHWHUPLQHWKHLURYHUDOOQXWULWLRQDOVLJQLILFDQFHDQGLPSDFWRQKHDOWKWDNLQJLQWR
DFFRXQWWKHLUSRVVLEOHWR[LFHIIHFWV 7KHUHVHDUFKHUVFRQFOXGHGWKDWVLOLFRQDQG
OLWKLXPKDYHSURWHFWLYHUROHVLQKXPDQQXWULWLRQZKLOHDOXPLQXPDQGDUVHQLFKDYH
QRWDEO\WR[LFHIIHFWV
:H¶YHNQRZQIRU\HDUVWKDWDQLPDOVQHHGOLWKLXPIRUUHSURGXFWLYHKHDOWKDQGWKH
PDLQWHQDQFHRIJHQHUDOKHDOWKDQGZHOOEHLQJ$FFRUGLQJWR6FKUDX]HULQKLVSDSHU
/LWKLXPRFFXUUHQFHGLHWDU\LQWDNHVQXWULWLRQDOHVVHQWLDOLW\KHVWDWHV³ ,Q
VWXGLHVFRQGXFWHGIURPWKHVWRWKHVUDWVDQGJRDWVPDLQWDLQHGRQORZ
OLWKLXPUDWLRQVZHUHVKRZQWRH[KLELWKLJKHUPRUWDOLWLHVDVZHOODVUHSURGXFWLYHDQG
EHKDYLRUDODEQRUPDOLWLHV´
$VVRPHRQHZKRKDVVSHQWWKHJUHDWHUSDUWRIP\OLIHUHVHDUFKLQJDQGWHDFKLQJ
ELRFKHPLVWU\FKHPLVWU\DQGSKDUPDFRORJ\±,FDQVD\ZLWK]HURGHJUHHRI
XQFHUWDLQW\±WKDWOLWKLXPLVDQDEVROXWHUHTXLUHPHQWLQKXPDQQXWULWLRQ1RGLIIHUHQW
WKDQRXUUHTXLUHPHQWIRU]LQFFRSSHUDQGLURQ±LIZHDUHORZLQ$1<RIWKHVH
QXWULHQWVZHVXIIHU7KHIDFWLVLQRXUPRGHUQDJHRIFRQYHQWLRQDODJULFXOWXUHZLWK
LWVPLQHUDOGHSOHWHGVRLOVDQGWKHRYHUFRQVXPSWLRQRISURFHVVHGIRRGVPRVWSHRSOH
DUHFKURQLFDOO\GHILFLHQWLQHVVHQWLDOWUDFHPLQHUDOVVXFKDVOLWKLXP±DQGDUHVXIIHULQJ
IURPFRPSURPLVHGKHDOWKDVDUHVXOW
7KH0LQLPXP$PRXQW1HHGHG5'$
,QWKHVDPHSDSHU6FKUDX]HUJRHVRQWRVD\³7KHDYDLODEOHH[SHULPHQWDO
HYLGHQFHQRZDSSHDUVWREHVXIILFLHQWWRDFFHSWOLWKLXPDVHVVHQWLDODSURYLVLRQDO
5'$IRUDNJDGXOWRI—JGD\LVVXJJHVWHG´
/LWKLXPLVIRXQGLQYDULDEOHDPRXQWVLQIRRGVSULPDU\IRRGVRXUFHVDUHJUDLQVDQG
YHJHWDEOHVLQVRPHDUHDVWKHGULQNLQJZDWHUDOVRSURYLGHVVLJQLILFDQWDPRXQWVRI
WKHHOHPHQW,QKXPDQVGHILQHGOLWKLXPGHILFLHQF\GLVHDVHVKDYHQRW\HWEHHQ
FKDUDFWHUL]HGEXWORZOLWKLXPLQWDNHVIURPZDWHUVXSSOLHVZHUHDVVRFLDWHGZLWK
LQFUHDVHGUDWHVRIVXLFLGHVKRPLFLGHVDQGWKHDUUHVWUDWHVIRUGUXJXVHDQGRWKHU
FULPHV/LWKLXPDSSHDUVWRSOD\DQHVSHFLDOO\LPSRUWDQWUROHGXULQJWKHHDUO\IHWDO
GHYHORSPHQWDVHYLGHQFHGE\WKHKLJKOLWKLXPFRQWHQWVRIWKHHPEU\RGXULQJWKH
HDUO\JHVWDWLRQDOSHULRG7KHELRFKHPLFDOPHFKDQLVPVRIDFWLRQRIOLWKLXPDSSHDU
WREHPXOWLIDFWRULDO«ZLWKWKHIXQFWLRQVRIVHYHUDOHQ]\PHVKRUPRQHVDQGYLWDPLQV
DVZHOODVZLWKJURZWKDQGWUDQVIRUPLQJIDFWRUV
,WDSSHDUVWKDWZKHQSHRSOHKDYHGHILFLHQWOLWKLXPLQWDNHVWKDWWKH\DUHVLPSO\OHVV
FRQWHQWDQGSRWHQWLDOO\PRUHDJLWDWHGUHDFWLYH±DVVHHQZLWKLQFUHDVHGUDWHVRI
VXLFLGHKRPLFLGHVDQGYLROHQWFULPHVLQDUHDVZLWKORZOLWKLXPLQWKHLUZDWHUVXSSO\
1HFHVVDU\IRUWKH8WLOL]DWLRQRI)RODWHDQG%
:LWKUHVSHFWWRWZRRWKHUFULWLFDOO\LPSRUWDQWEUDLQQXWULHQWVOLWKLXPKDVEHHQVKRZQ
WRHQKDQFHIRODWHDQG%WUDQVSRUWLQWRFHOOV7KHWUDQVSRUWRIWKHVHIDFWRUVLV
LQKLELWHGLQ/LGHILFLHQF\DQGFDQEHUHVWRUHGE\OLWKLXPVXSSOHPHQWDWLRQ,QWKH
UHYLHZDUWLFOH/LWKLXP2FFXUUHQFH'LHWDU\,QWDNHV1XWULWLRQDO(VVHQWLDOLW\
6FKUDX]HUFRQFOXGHG
³6LQFHYLWDPLQ%DQGIRODWHDOVRDIIHFWPRRGDVVRFLDWHGSDUDPHWHUVWKH
VWLPXODWLRQRIWKHWUDQVSRUWRIWKHVHYLWDPLQVLQWREUDLQFHOOVE\/LPD\EHFLWHG
DV\HWDQRWKHUPHFKDQLVPRIWKHDQWLGHSUHVVLYHPRRGHOHYDWLQJDQG
DQWLDJJUHVVLYHDFWLRQVRI/LDWQXWULWLRQDOGRVDJHOHYHOV´
1HXURSURWHFWLYH(IIHFWV
/LWKLXPKDVDOVREHHQVKRZQWRKDYHQHXURSURWHFWLYHHIIHFWVLQFHUHEUDOLVFKHPLDDQG
PD\RIIHUVLJQLILFDQWEHQHILWVWRWKRVHZLWKHOHYDWHGPHUFXU\OHYHOVGXHWRPHUFXU\
H[SRVXUHIURPILVKDQGGHQWDODPDOJDPV6\PSWRPVRIPHUFXU\WR[LFLW\LQFOXGH
LUULWDELOLW\GHSUHVVLRQDQ[LHW\VHQVLWLYLW\WRVWUHVVDQGHPRWLRQDOODELOLW\ZKLFK
LQWHUHVWLQJO\HQRXJKDUHVLPLODUWRWKHSURSRVHGV\PSWRPVRIOLWKLXPLQVXIILFLHQF\LQ
KXPDQV7KHEDVLVIRUWKLVVLPLODULW\PRVWOLNHO\OLHVLQWKHIDFWWKDWPHUFXU\
LQFUHDVHVOHYHOVRIWKHH[FLWDWRU\QHXURWUDQVPLWWHUJOXWDPDWHLQWKHEUDLQ±DQG
OLWKLXPLVNQRZQWRKDYHDPRGXODWRU\DQGRSSRVLQJDFWLRQRQJOXWDPDWHUHFHSWRUV
,QDGGLWLRQWRLWVQHXURSURWHFWLYHHIIHFWVOLWKLXPLVDOVRWKRXJKWWRSRVVHVVLPPXQH
ERRVWLQJDFWLYLW\PRVWOLNHO\WKURXJKLWVHIIHFWRQIRODWHDQG%PHWDEROLVP±ZKLFK
DUHERWKUHTXLUHGIRUQXFOHLFDFLGELRV\QWKHVLVFHOOXODUUHSDLUDQGKHDOLQJDQGD
VWURQJLPPXQHV\VWHP'HILFLHQFLHVLQHLWKHUIRODWHRU%HVVHQWLDOPHWK\OGRQRUV
LQQXPHURXVELRFKHPLFDOUHDFWLRQVDQGQHXURWUDQVPLWWHUELRV\QWKHVLVFDQUHVXOWLQ
LQFUHDVHGVXVFHSWLELOLW\WRLQIHFWLRQVVORZZRXQGKHDOLQJVOHHSDQGPRRGGLVRUGHUV
SUREOHPVZLWKOHDUQLQJPHPRU\DQGFRQFHQWUDWLRQ±DQGGHFUHDVHGHQHUJ\DQG
VWDPLQD
$VDQHVVHQWLDOWUDFHPLQHUDOOLWKLXPLV12GLIIHUHQWWKDQFRSSHU]LQFRUDQ\RWKHU
QXWULHQWZHUHTXLUHLQVXIILFLHQWDPRXQWVIRURSWLPDOKHDOWK
6DIHW\RI1XWULWLRQDO'RVHVRI/LWKLXP
0XOWLYLWDPLQVW\SLFDOO\FRQWDLQPJRIFRSSHUDQGPJRI]LQFZKLFKDUH
VDIHDQGEHQHILFLDODPRXQWVIRUERWKPLQHUDOV,I\RXWDNHWRRPXFKRIHLWKHURQH±
\RX¶OOKDYHDGYHUVHVLGHHIIHFWVDQGHYHQWXDOSRLVRQLQJLIWKHH[FHVVLYHLQWDNHLV
PDLQWDLQHG/LNHFRSSHUDQG]LQFOLWKLXPRSHUDWHVZLWKLQDUDQJHRIVDIHW\DQG
HIIHFWLYHQHVV
,QIDFWLI\RXFRPSDUHWKHUHODWLYHVDIHW\RIWKHWZROLWKLXPYVFRSSHUOLWKLXPGXHWR
LWVJUHDWHUZDWHUVROXELOLW\DQGHDVHRIH[FUHWLRQLVDFWXDOO\VDIHUWRWDNHWKDQFRSSHU
ZKLFKWHQGVWRDFFXPXODWHLQWKHERG\±HVSHFLDOO\ZLWKORZ]LQFLQWDNHV
$VDQHXURSKDUPDFRORJLVWDQGVRPHRQHZKRKDVVSHQWWKHJUHDWHUSDUWRIP\OLIH
VWXG\LQJQXWULWLRQDOELRFKHPLVWU\DQGSKDUPDFRORJ\±LWLVREYLRXVWKDWORZOHYHO
OLWKLXPVXSSOHPHQWDWLRQDVOLWKLXPRURWDWHWKHPRVWEHQHILFLDOVXSSOHPHQWDOIRUPRI
WKHQXWULHQW±YLDEDVLFPXOWLYLWDPLQVDQGQXWULWLRQDOVXSSOHPHQWV±RIIHUVZLGH
UDQJLQJEHQHILWVHVSHFLDOO\LQLQGLYLGXDOVVXIIHULQJIURPGHSUHVVLRQDQ[LHW\PRRG
GLVRUGHUVFKURQLFVWUHVVDQGH[SRVXUHWRIRRGDQGHQYLURQPHQWDOWR[LQVVXFKDV
DVSDUWDPHDQGPHUFXU\
7KHWDNHKRPHPHVVDJHKHUHLVVLPSO\WKLV±DOOQXWULHQWVRSHUDWHZLWKLQDVDIHUDQJH
RILQWDNH±IRUOLWKLXPDVDIHDQGEHQHILFLDO³QXWULWLRQDO´DPRXQWIRUPRVWSHRSOHLV
DURXQGPJSHUGD\WKRXJKKLJKHUDPRXQWVPJRIRUJDQLFOLWKLXPRURWDWH
FDQEHVDIHO\XVHGIRUVKRUWWHUPXVHXQGHUWKHVXSHUYLVLRQRIDQH[SHULHQFHG
KHDOWKFDUHSURIHVVLRQDO
8VHVLQ&OLQLFDO3UDFWLFH
2QHRIWKHPRVWYLVLEOHSURSRQHQWVIRUWKHXVHRIORZGRVHQXWULWLRQDOOLWKLXPLV'U
-RKQ*UD\±FOLQLFDOSV\FKRORJLVWDQGDXWKRURI0HQDUHIURP0DUV:RPHQDUH
IURP9HQXV'U*UD\XVHVOLWKLXPRURWDWHLQKLVRZQOLQHRIQXWULWLRQDOVXSSOHPHQWV
0HQ¶VDQG:RPHQ¶V0XOWLYLWDPLQVDQGKDVXVHGLWH[WHQVLYHO\LQKLVFRXQVHOLQJ
SUDFWLFHIRUPDQ\\HDUV2QKLVZHEVLWHZZZPDUVYHQXVFRPKHVWDWHVWKH
IROORZLQJDERXWOLWKLXP³/LWKLXPRURWDWHLVDQDWXUDOGLHWDU\VXSSOHPHQWWKDWFDQEH
XVHGLQVPDOOGRVHVWRPDQDJHVWUHVVDQGWUHDWFRQGLWLRQVOLNHGHSUHVVLRQ$'+'
376'DQGHYHQ$O]KHLPHU
V'LVHDVH´KWWSZZZPDUVYHQXVFRPSOLWKLXPRURWDWH
'U*UD\VWDWHVWKDWOLNHRWKHUZDWHUVROXEOHQXWULHQWVVXFKDVWKH%YLWDPLQVOLWKLXP
LVORVVGXULQJWLPHVRILQFUHDVHGPHQWDODQGSK\VLFDODFWLYLW\DQGZHQHHGKLJKHU
LQWDNHVGXULQJWKHVHWLPHVWRPDLQWDLQRSWLPDOKHDOWKDQGIXQFWLRQLQJ+HJRHVRQWR
VD\WKDWLWLVRISDUWLFXODUXVHLQFKLOGUHQDQGDGXOWVZLWK$''$'+'KHOSLQJWRFDOP
WKHEUDLQGHFUHDVHK\SHUDFWLYLW\DQGUHVWOHVVQHVVDQGSURPRWHJUHDWHUDWWHQWLRQDQG
IRFXV,QHVVHQFHLW¶VEDODQFLQJDQLQGLYLGXDO¶VEUDLQFKHPLVWU\DQGVLPSO\
SURPRWLQJQRUPDOQHXURQDOIXQFWLRQDVQDWXUHLQWHQGHG±MXVWOLNHPDJQHVLXP]LQF
VHOHQLXPLURQFRSSHURPHJDIDWW\DFLGVDQGWKHHQWLUHVSHFWUXPRI%YLWDPLQVGR
DVZHOO
1XWULWLRQDOGRVHVRIOLWKLXPKDYHEHHQXVHGZLWKJUHDWVXFFHVVE\IXQFWLRQDOPHGLFLQH
SUDFWLWLRQHUVIRUPDQ\\HDUVQRZWRWUHDWGHSUHVVLRQDQ[LHW\DOFRKROLVPPLJUDLQHV
DQGQHXURORJLFDOFRQGLWLRQVEHJLQQLQJLQWKHVZLWK*HUPDQSK\VLFLDQ'U
+DQV1LHSHULQ*HUPDQ\DQGFRQWLQXHGLQWKHUDSHXWLFQXWULWLRQDOVXSSOHPHQWVVXFKDV
'U'DYLG$6WHHQEORFN
V67(0*(9,7<XVHGDWH[FHOOHQWQHXURORJ\FOLQLFVVXFKDV
'U&DURO+HQULFNV1RUWK6WDU1HXURORJ\DQG+\SHUEDULFV7XFVRQ$=FRQWDLQLQJ
PJRIRUJDQLFOLWKLXP,KDYHQRDIILOLDWLRQZLWK'U6WHHQEORFN¶VFRPSDQ\RWKHUWKDQ
WKHXVHRIKLVSURGXFWDW1RUWK6WDU1HXURORJ\DQGDPVLPSO\YRXFKLQJIRUDZHOO
GHVLJQHGDQGH[HFXWHGSURGXFW,QDGGLWLRQWRLWVDELOLW\WRWUHDWGHSUHVVLRQDQ[LHW\
KHDGDFKHVPLJUDLQHV376'DQGRWKHUQHXURORJLFDOFRQGLWLRQV±OLWKLXPDOVRKDV
SRZHUIXOQHXURSURWHFWLYHHIIHFWV/LWKLXPSURPRWHVVWHPFHOOSURGXFWLRQZKLFKLV
UHTXLUHGIRUDOOKHDOLQJSURFHVVHVLQWKHERG\LQFOXGLQJQHXURQDOUHSDLUDQG
UHJHQHUDWLRQ
/RZ'RVHYV+LJK'RVH3KDUPDFHXWLFDO/LWKLXP
7KLVLVDWRSLFRIFRQIXVLRQIRUPDQ\DVPRVWSHRSOHDVVRFLDWHOLWKLXPZLWKLWVXVHLQ
YHU\KLJKSKDUPDFHXWLFDOGRVHVWRWUHDWSV\FKLDWULFGLVRUGHUVVXFKDVPDQLF
GHSUHVVLRQDQGVFKL]RSKUHQLD7KHGRVHVLQWKHVHFDVHVPJGDUHW\SLFDOO\
WLPHVJUHDWHUWKDQZKDWZHJHWLQRXUGLHWDQGWKDWDUHXVHGLQQXWULWLRQDO
WKHUDSHXWLFVPJG
,W¶VLPSRUWDQWQRWWRFRQIXVHOHVVELRDYDLODEOHIRUPVRIOLWKLXPLHOLWKLXPFDUERQDWH
FLWUDWHZKLFKUHTXLUHKLJKGRVHVWRDFKLHYHWKHGHVLUHGWKHUDSHXWLFHQGSRLQW
DFFRPSDQLHGZLWKQXPHURXVVLGHHIIHFWVGXHWRWKHKLJKGRVHVXVHG±ZLWKWKDWRIWKH
KLJKO\ELRDYDLODEOHZHOODEVRUEHGRUJDQLFFKHODWHVLHRURWDWHDVSDUWDWHZKLFK
UHTXLUHPXFKORZHUGRVHV:LWKORZHUGRVHVFRPHPDUNHGO\UHGXFHGVLGHHIIHFW
SRWHQWLDODQGWKDWJRHVIRUDOOFKHPLFDODJHQWVZKHWKHULWEHDQXWULHQWGUXJ
SUHVHUYDWLYHHWF
,QWKHFDVHRIOLWKLXPRURWDWHLWKDVYLUWXDOO\12VLGHHIIHFWVDWWKHORZGRVHV
PJGUHFRPPHQGHG7KHUH¶VWKHSRVVLELOLW\IRUDOLWWOHVHGDWLRQDVLVWKHFDVHZLWK
QXWULWLRQDOGRVHVRIPDJQHVLXPZKLFKDOVRKDVDFDOPLQJHIIHFWRQWKHQHUYRXV
V\VWHP6LQFHERWKDUHUHDGLO\H[FUHWHGZDWHUVROXEOHQXWULHQWVWKLVFDQEHTXLFNO\
UHPHGLHGZLWKDOLWWOHFDIIHLQHLQWKHIRUPRIWHDFRIIHHRUFKRFRODWHZKLFKZLOOQRW
RQO\SHUN\RXXSDQGJLYH\RXDOLWWOHHQHUJ\ERRVWEXWDUHDOVRJRRGGLXUHWLFVWKDW
SURPRWHWKHH[FUHWLRQRIDOOWKLQJVZDWHUVROXEOH
,QFRPSDULQJWKHGRVHVRIOLWKLXPFDUERQDWHPJGD\RI/LFDUERQDWH
PJRIHOHPHQWDO/LXVHGWRWUHDWELSRODUGLVRUGHUWRWKDWRIORZGRVH
PJGD\OLWKLXPWKHDPRXQWRIHOHPHQWDOOLWKLXPJLYHQSKDUPDFHXWLFDOO\LV
DSSUR[LPDWHO\WRWLPHVJUHDWHUPJYVPJ±WKDQWKHVWDQGDUGPJ
³QXWULWLRQDOGRVH´RIOLWKLXP±DQGUHVWVDJDLQVWWKHWR[LFLW\WKUHVKROGIRUOLWKLXP
ZKLFKLVZK\WKHUHDUHQXPHURXVVLGHHIIHFWVVHHQDWVXFKKLJKGRVHV
'RVHLVWKHGHILQLQJDVSHFWLQSKDUPDFRORJ\DQGDOORIPHGLFLQH,IDQLQGLYLGXDO
VXGGHQO\ZHQWIURPWDNLQJPJRIHOHPHQWDO]LQFSHUGD\WKH5'$IRU=QWRD
WZHQW\WLPHVJUHDWHUGRVH±PJRI]LQFSHUGD\±WKH\ZRXOGLPPHGLDWHO\EHJLQWR
VXIIHUIURPQXPHURXVVLGHHIIHFWVDQG]LQFWR[LFLW\
/LWKLXPLVQRGLIIHUHQW,W¶VWKHGRVHWKDWGLFWDWHVWKHHIIHFWDQGLI\RXFDQDFKLHYHWKDW
ZLWKOHVVGUXJRUQXWUDFHXWLFDOLQWKHFDVHRIOLWKLXPRURWDWH\RXZLOOKDYHWKH
QXWULWLRQDODQGWKHUDSHXWLFEHQHILWVRIOLWKLXPZLWKRXWWKHQDVW\VLGHHIIHFWVVHHQZLWK
KLJKGRVHFRQYHQWLRQDOOLWKLXPWKHUDS\FDUERQDWHRUFLWUDWH
1DWXUDO6RXUFHVRI/LWKLXP
/LWKLXPLVIRXQGLQDYDULHW\RIIRRGVDQGLVKLJKHVWLQVHDIRRGILVKSDVWXUHGHJJ
\RONVRUJDQLFWRPDWRHVPXVKURRPVRUJDQLFGDLU\SURGXFWVDQGPLQHUDOULFKIRRGV
VXFKDVQXWVVHHGVDQGFDFDR7KHOHYHORIOLWKLXPLQIUXLWVDQGYHJHWDEOHVGHSHQGV
RQWKHVRLORQZKLFKWKHSODQWLVJURZQ±WKXVQXWULHQWULFK³RUJDQLF´XVLQJVRXQG
DJULFXOWXUDOSUDFWLFHVVRLOVZLOOKDYHKLJKHUFRQFHQWUDWLRQVRIWKLVPLQHUDO
$)HZ)LQDO:RUGV
+ROLVWLFPHGLFDOSURIHVVLRQDOVKDYHEHHQXVLQJOLWKLXPRURWDWHDQGDVSDUWDWHIRURYHU
WZRGHFDGHVQRZ± XVXDOO\ LQFRPELQDWLRQZLWKRWKHUDQWLVWUHVVQXWULHQWVVXFKDV
RUJDQLFPDJQHVLXPPJSHUGD\VHOHQLXPPFJSHUGD\]LQFPJ
SHUGD\DQGWKH%FRPSOH[YLWDPLQVIRUWKHLUVWUHVVUHGXFLQJEHQHILWV7RJHWKHU
WKHVHQXWULHQWVZRUNWRJHWKHUWRFDOPEDODQFHDQGQRXULVKWKHEUDLQDQGQHUYRXV
V\VWHP
,QRXUPRGHUQDJHZHDUHFRQWLQXDOO\FRQIURQWHGZLWKFKDOOHQJHVLQERWKRXUIRRGDQG
HQYLURQPHQW([FLWRWR[LQVVXFKDVDVSDUWDPH06*VXFUDORVHPHUFXU\DQG
DUWLILFLDOFRORUVHJ5HGDQGSUHVHUYDWLYHVHJ%+7W%+4DFWLYDWHDQG
VWUHVVWKHQHUYRXVV\VWHPDQGFDQSURGXFHDQXPEHURIDGYHUVHHIIHFWVVXFKDV
GHSUHVVLRQDQ[LHW\K\SHUDFWLYLW\LUULWDELOLW\VHQVLWLYLW\WRVWUHVVVOHHSGLVWXUEDQFHV
LQVRPQLDDQGFKURQLFIDWLJXH
$VWKHUHVHDUFKVKRZVOLWKLXPSRVLWLYHO\HIIHFWVYLUWXDOO\DOOERG\V\VWHPV±IURPWKH
LPPXQHV\VWHPWRWKHKHDUWWRUHSURGXFWLYHKHDOWKWREORRGVXJDUUHJXODWLRQWRLWV
QHXURSURWHFWLYHHIIHFWVSURWHFWLQJDJDLQVWPHUFXU\WR[LFLW\DQGSRVLWLYHO\
FRQWULEXWLQJWRRQH
VHPRWLRQDOKHDOWKDQGUHVLVWDQFHWRVWUHVV0XFKOLNHDPDJQHVLXP
GHILFLHQF\PDNHVWKHERG\PRUHUHDFWLYHWRVWUHVVDQGFDQFRPSURPLVHRQH
VKHDOWKRQ
PDQ\OHYHOVDVGRHVDQLQVXIILFLHQWLQWDNHRIOLWKLXPLQWKHGLHW
,WUXO\EHOLHYHWKLVLQIRUPDWLRQKDVWKHFDSDFLW\WRWUDQVIRUPPDQ\OLYHVIRUWKHEHWWHU
DQGFKDQJHWKHZD\ZHORRNDWPHQWDOLOOQHVV-XVWDVGHILFLHQFLHVRIYLWDPLQ'DQG
PDJQHVLXPLQWKHERG\FDQSUHGLVSRVHDQLQGLYLGXDOWRGHSUHVVLRQDQGRWKHU
V\PSWRPVRISV\FKRORJLFDOGLVWUHVVVXFKDVDQ[LHW\DQGSRRUVWUHVVWROHUDQFHVRFDQD
OLWKLXPGHILFLHQF\/LWKLXPKDVEHHQVKRZQWRSURPRWHWKHFHOOXODUXSWDNHRIWZR
LPSRUWDQWEUDLQQXWULHQWVIROLFDFLGDQG%7KLVLQDQGRILWVHOIKDVPDMRU
LPSOLFDWLRQVIRUOLWKLXP
VXVHLQWUHDWLQJGHSUHVVLRQ±DVLWVZHOONQRZQWKDWIROLFDFLG
DQG%DVIXQFWLRQDOPHWK\OGRQRUVSOD\DPDMRUUROHLQQHXURWUDQVPLWWHU
ELRV\QWKHVLV±DQGGHILFLHQFLHVRUSRRUXSWDNHRIHLWKHUFDQOHDGWRV\PSWRPVRI
GHSUHVVLRQPHQWDOLOOQHVVPHPRU\SUREOHPVDQGSRRUFRJQLWLYHSHUIRUPDQFH
/LNHPDQ\QXWULHQWVLQFOXGLQJPDJQHVLXPVHOHQLXP]LQFYLWDPLQ&DQGWKH%
YLWDPLQV±H[WUDDPRXQWVRIRUJDQLFOLWKLXPWKURXJKVXSSOHPHQWVRUQDWXUDOPLQHUDO
ULFKVRXUFHVRIOLWKLXPVXFKDVGDUNFKRFRODWHHJJVRDWPHDOHWFFDQEHEHQHILFLDO
GXULQJWLPHVRILQFUHDVHGSK\VLFDODQGHPRWLRQDOVWUHVV
$VVRPHRQHZKRKDVVSHQWWKHJUHDWHUSDUWRIP\OLIHVWXG\LQJFKHPLVWU\QXWULWLRQDO
ELRFKHPLVWU\SKDUPDFRORJ\DQGIXQFWLRQDOPHGLFLQH±IURPWKHSXEOLVKHGUHVHDUFK
DQGDYDLODEOHFOLQLFDOLQIRUPDWLRQLWLVREYLRXVWKDWORZOHYHOOLWKLXP
VXSSOHPHQWDWLRQLHOLWKLXPRURWDWHRUDVSDUWDWH±YLDEDVLFPXOWLYLWDPLQVDQG
QXWULWLRQDOVXSSOHPHQWV±KDYHWKHSRWHQWLDOWRRIIHUZLGHUDQJLQJEHQHILWVWRWKHKHDOWK
DQGZHOOEHLQJRIRXUVRFLHW\DWODUJH
,W¶VP\KRSHWKDWWKLVLQIRUPDWLRQZLOOEHQHILWDQGVHUYH\RXDQGWKHRQHV\RXFDUHIRU
±ZLWKJUHDWHUKHDOWKDQGUHVLOLHQFHIRU\HDUVWRFRPH
%RQXV0DWHULDODQG5HIHUHQFHV
:K\(;75$6HOHQLXPDQG9LWDPLQ'DUHVRLPSRUWDQW
³$QRXQFHRISUHYHQWLRQLVZRUWKDSRXQGRIFXUH´a%HQMDPLQ)UDQNOLQ
$WDGRVHRIMXVWPFJSHUGD\VHOHQLXPVORZVWKHDJLQJSURFHVVERRVWVHQHUJ\
DQGEUDLQIXQFWLRQUHGXFHVVWUHVVHOHYDWHV\RXUPRRGDQGQRXULVKHV\RXUKHDUWDQG
FDUGLRYDVFXODUV\VWHP±ZKLOHSURWHFWLQJ\RXIURPLQIHFWLRQDQGFDQFHU,W¶VDWUDFH
PLQHUDOZLWKH[WUDRUGLQDU\DQGZLGHUDQJLQJEHQHILWVWKDW\RXGHILQLWHO\ZDQWLQ\RXU
GDLO\QXWULHQWUHJLPHQ
$ORQJZLWKRUJDQLFVHOHQLXP±WKHUHLVDQRWKHUNH\QXWULHQW\RXQHHGWREHDZDUHRI
DQGWKDWQXWULHQWLVYLWDPLQ'
/LWKLXPRFFXUUHQFHGLHWDU\LQWDNHVQXWULWLRQDOHVVHQWLDOLW\
KWWSZZZQFELQOPQLKJRYSXEPHG"WHUP -RXUQDORIWKH$PHULFDQ&ROOHJHRI1XWULWLRQOLWKLXP
'DZVRQ(30RRUH7'0F*DQLW\:-7KHPDWKHPDWLFDOUHODWLRQVKLSRI
GULQNLQJZDWHUOLWKLXPDQGUDLQIDOORQPHQWDOKRVSLWDODGPLVVLRQ'LV1HUY6\VW
±
'DZVRQ(30RRUH7'0F*DQLW\:-5HODWLRQVKLSRIOLWKLXPPHWDEROLVPWR
PHQWDOKRVSLWDODGPLVVLRQDQGKRPLFLGH'LV1HUY6\VW±
/LWKLXPSUHYHQWVFRUWLFDOVSUHDGLQJGHSUHVVLRQVXJJHVWVUROHLQKXPDQ
KHDOWKQXWULWLRQKWWSZZZQFELQOPQLKJRYSXEPHG
1HXURSURWHFWLYHDFWLRQVRIOLWKLXP&OLQLFDODSSOLFDWLRQIRUPHUFXU\
SRLVRQLQJKWWSZZZQFELQOPQLKJRYSXEPHG
+DVKLPRWRVWDWHV³7DNHQWRJHWKHURXUUHVXOWVSURYLGHDQHZLQVLJKWLQWRWKH
PROHFXODUPHFKDQLVPVLQYROYHGLQOLWKLXPQHXURSURWHFWLRQDJDLQVWJOXWDPDWH
H[FLWRWR[LFLW\7RHOXFLGDWHPROHFXODUPHFKDQLVPVXQGHUO\LQJWKH
QHXURSURWHFWLYHDQGQHXURWURSKLFDFWLRQVRIOLWKLXPZHHPSOR\HGDSUHSDUDWLRQ
RIFXOWXUHGFRUWLFDOQHXURQVSUHSDUHGIRUPHPEU\RQLFUDWV:HIRXQGWKDW
WUHDWPHQWZLWKWKHUDSHXWLFGRVHVP0RIOLWKLXPUREXVWO\SURWHFWV
FRUWLFDOQHXURQVIURPPXOWLSOHLQVXOWVQRWDEO\JOXWDPDWHLQGXFHGH[FLWRWR[LFLW\
7KHQHXURSURWHFWLRQDJDLQVWJOXWDPDWHH[FLWRWR[LFLW\LVWLPHGHSHQGHQW
UHTXLULQJWUHDWPHQWIRUGD\VIRUPD[LPDOHIIHFWDQGLVDVVRFLDWHGZLWKD
UHGXFWLRQLQ10'$UHFHSWRUPHGLDWHG&DLQIOX[´$QH[FHVVERG\EXUGHQ
RIPHUFXU\LVNQRZQWRLQFUHDVHJOXWDPDWHOHYHOVLQWKHEUDLQGXHWR
LPSDLUHGJOLDOIXQFWLRQZKLFKLVDSDUWRIWKHH[FLWRWR[LFLW\DVVRFLDWHGZLWK
PHUFXU\SRLVRQLQJ
7KHFOLQLFDODSSOLFDWLRQVRIOLWKLXPRURWDWH$WZR\HDUVVWXG\1LHSHU+$
KWWSZZZQFELQOPQLKJRYSXEPHG
5REXVWQHXURSURWHFWLYHDFWLRQVRIOLWKLXPLQVWURNH
KWWSZZZQFELQOPQLKJRYSXEPHG
*ROGHWDOLQWKHLUVWXG\VWDWHG/LWKLXP³WUDGLWLRQDOO\XVHGDVDPRRG
VWDELOL]HUKDVEHHQUHFRJQL]HGLQWKHODVW\HDUVIRULWVUREXVWQHXURSURWHFWLYH
DQGQHXURWURSKLFHIIHFWVDJDLQVWGLYHUVHLQVXOWVVXFKDVLVFKHPLDERWKLQYLWUR
DQGLQYLYR7KLVKDVJHQHUDWHGVHYHUDOSUHFOLQLFDODQGFOLQLFDOVWXGLHVRI
OLWKLXPWUHDWPHQWIRUPDQDJLQJQHXURGHJHQHUDWLYHGLVHDVHVDQGFHUHEUDO
LVFKHPLD´
3HUH]&UXHW-7DJOLDPRQWH$7DJOLDPRQWH3*HVVD*/6WLPXODWLRQRI
VHURWRQLQV\QWKHVLVE\OLWKLXP-3KDUPDFRO([S7KHU
(YLGHQFHOLQNLQJORZOLWKLXPLQWDNHVZLWKDOWHUHGEHKDYLRUDQGDJJUHVVLYHQHVV
LQKXPDQVZDVUHSRUWHGE\'DZVRQHWDO
9DQ\R/9X75DPRV0$PLQ-&RQQHUV6%DWHPDQ57LVPDQ*/LWKLXP
LQGXFHGSHUWXUEDWLRQVRIYLWDPLQ%IROLFDFLGDQG'1$PHWDEROLVP,Q
6FKUDX]HU*1.OLSSHO.)HGV/LWKLXPLQ%LRORJ\DQG0HGLFLQH:HLQKHLP
9&+9HUODJSS±
:DQJ4HWDO/LWKLXPDQDQWLSV\FKRWLFGUXJJUHDWO\HQKDQFHVWKHJHQHUDWLRQ
RILQGXFHGSOXULSRWHQWVWHPFHOOV&HOO5HV2FW
<RQH\DPD06KLED7+DVHEH68PHGD.<DPDJXFKL72JLWD./LWKLXP
SURPRWHVQHXURQDOUHSDLUDQGDPHOLRUDWHVGHSUHVVLRQOLNHEHKDYLRUIROORZLQJ
WULPHWK\OWLQLQGXFHGQHXURQDOORVVLQWKHGHQWDWHJ\UXV3/R62QH)HE
H
/LWKLXPKDGDEHQHILFLDOHIIHFWRQQHXURQDOUHSDLUIROORZLQJQHXURQDOORVVLQWKH
GHQWDWHJ\UXVWKURXJKSURPRWHGSUROLIHUDWLRQDQGVXUYLYDOQHXURQDO
GLIIHUHQWLDWLRQRIQHXUDOVWHPSURJHQLWRUFHOOVLQWKHVXEJUDQXODU]RQH
%HQHILWVRIOLWKLXPVXSSOHPHQWDWLRQLQGLDEHWHVDQGKHDUWGLVHDVH
7DEDWD,6FKOXWHU-*XOYH($+ROORV]\-2/LWKLXPLQFUHDVHVVXVFHSWLELOLW\RI
PXVFOHJOXFRVHWUDQVSRUWWRVWLPXODWLRQE\YDULRXVDJHQWV'LDEHWHV
9RRUV$:/LWKLXPGHSOHWLRQDQGDWKHURVFOHURWLFKHDUWGLVHDVH/DQFHW
6HS
9RRUV$:/LWKLXPLQWKHGULQNLQJZDWHUDQGDWKHURVFOHURWLFKHDUWGHDWK
HSLGHPLRORJLFDUJXPHQWIRUSURWHFWLYHHIIHFW$P-(SLGHPLRO
6HS
%ODFKO\3+/LWKLXPFRQWHQWRIGULQNLQJZDWHUDQGLVFKHPLFKHDUWGLVHDVH1
(QJO-0HG6HS
%HQHILWVRIOLWKLXPVXSSOHPHQWDWLRQIRUWKHLPPXQHV\VWHP
5\EDNRZVNL-.$QWLYLUDODQGLPPXQRPRGXODWRU\HIIHFWRIOLWKLXP
3KDUPDFRSV\FKLDWU\
&HUQHVFX&3RSHVFX/&RQVWDQWLQHVFX6&HUQHVFX6$QWLYLUDOHIIHFWRI
OLWKLXPFKORULGH9LURORJLH
/LHE-/LWKLXPDQGLPPXQHIXQFWLRQ0HG+\SRWKHVHV