Multiple contexts of face

Chapter 2

Multiple contexts of face (ZD %RJGDQRZVND-DNXERZVND

$EVWUDFW )DFH LV D VRFLRFXOWXUDO FRQVWUXFW ZKLFK LV EDVHG RQ WKH SHUVRQ¶V VHQVH RI LGHQWLW\ DQG H[SHFWD WLRQV DV WR KRZ KLVKHU VHOILPDJH VKRXOG EH FUHDWHG DQG FRQVWLWXWHV D SURSHUW\ RI UHODWLRQVKLS EHWZHHQ LQWHUDFWDQWV FI $UXQGDOH  %RXVILHOG  6SHQFHU2DWH\  )UDQNOLQ   $V VXFK LW DSSHDUV WR EH VWURQJO\ FRQWH[W GHSHQGHQW &RQWH[W LV XQGHUVWRRG KHUH DV ³DVSHFWV RI WKH VRFLDO HQYLURQPHQW´ ZKLFK EHFRPH ³REVHUYDEOH´ E\ WKHLU FRQVHTXHQFHV RQ GLVFRXUVH RU E\ WKH LQIOXHQFH RI GLVFRXUVH RQ VRFLDO VLWXDWLRQV YDQ 'LMN  S   &RQWH[WV RI VRFLDO LQWHUDFWLRQV LQ ZKLFK IDFH LV FRQVWLWXWHG DUH ³VXEMHFWLYH SDUWLFLSDQW LQWHUSUHWDWLRQV´ RI WKH UHO HYDQW DVSHFWV RI WKH VRFLDO HQYLURQPHQW 7KH DLPV RI WKH VWXG\ DUH WR DQDO\VH WKH PHFKDQLVPV UHVSRQVLEOH IRU IDFH FUHDWLRQ GXULQJ VRFLDO LQWHUDFWLRQ DQG WR LQYHVWLJDWH WKH UROH RI FRQWH[W DV D VXEMHFWLYH IDFHFRQVWLWXWLQJ IDFWRU )DFH KDV D VWUXFWXUH ZKLFK FDQ EH FRPSDUHG WR OHWWXFH LW JHWV VRIWHU WRZDUGV LWV FHQWUH 6RPH DVSHFWVRIIDFHWKHFHQWUDOLQWHUQDO RQHVDUHPRVWVHQVLWLYHDQGYXOQHUDEOHWRDWWDFNRUGDPDJH RWKHUV±WKHPRUHGLVWDQWIURPWKHFHQWUHH[WHUQDO DUHOHVVYXOQHUDEOHWRIDFHWKUHDWV,WPD\EH DVVXPHGWKDWLQWKHPDMRULW\RIFXOWXUHVSHRSOHGLVSOD\DIIHFWLYHVHQVLWLYLW\WRWKHVDPHDVSHFWV RI IDFH WKH RQO\ GLIIHUHQFH LV LQ WKH GHJUHH RI WKHLU LPSRUWDQFH DQG LQ WKHLU ORFDWLRQ UHODWLYH WR WKH FHQWUH RI IDFH ,UUHVSHFWLYH RI WKH GHJUHH RI VHQVLWLYLW\ VSHFLILF WR D SDUWLFXODU DVSHFW RI IDFH ZH FDQ REVHUYH GLIIHUHQW FRQWH[WV LQ ZKLFK SDUWLFXODU DVSHFWV RI IDFH DUH IRUHJURXQGHG

1. Introduction 7KH DLPV RI WKH VWXG\ DUH WR DQDO\VH WKH PHFKDQLVPV UHVSRQVLEOH IRU IDFH FUHDWLRQ GXULQJ VRFLDO LQWHUDFWLRQ DQG WR LQYHVWLJDWH WKH UROH RI FRQWH[W DV D VXEMHFWLYH IDFHFRQVWLWXWLQJ IDFWRU ,Q P\ VWXG\ , ZLOO WU\ WR VXEVWDQWLDWH WKH IROORZLQJ DVVXPSWLRQV



(ZD %RJGDQRZVND-DNXERZVND

x )DFH LV DQ H[SUHVVLRQ RI IHHOLQJV DERXW WKH VHOI DQG VHOIUHODWHG HOHPHQWV SHRSOH REMHFWV DQG SODFHV  x $V DQ LPDJH PXWXDOO\ FUHDWHG E\ SDUWLFLSDQWV GXULQJ VRFLDO LQWHUDFWLRQ IDFH LQYROYHV PXFK PRUH WKDQ WKH VHOI x 7KH PHDQLQJ RI IDFH GHSHQGV RQ WKH FRQWH[W RI LQWHUDFWLRQ SHUFHLYHG VXE MHFWLYHO\ E\ WKH LQGLYLGXDO 7R GR VR , ZLOO IROORZ WKH EURDG PXOWLGLVFLSOLQDU\ DSSURDFK WR GLVFRXUVH DGYR FDWHG E\ 7HXQ YDQ 'LMN ZKLFK LQWHJUDWHV D GHWDLOHG DQG H[SOLFLW VWXG\ RI WH[W DQG WDON ZLWK DQ DQDO\VLV RI WKHLU VRFLDO DQG FRJQLWLYH FRQWH[WV 7KH GDWD XVHG LQ WKH DQDO\VLV FRPH IURP WKH 3ROLVK ODQJXDJH DQG FXOWXUH

2. Universal human needs and emotions in social context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³ZKDW ZH PD\ FDOO WKH GHVLUH IRU UHSXWDWLRQ RU SUHVWLJH GHILQLQJ LW DV UHVSHFW RU HVWHHP IURP RWKHU SHRSOH  VWDWXV IDPH DQG JORU\ GRPLQDQFH UHFRJQLWLRQ DWWHQWLRQ LPSRUWDQFH GLJQLW\ RU DSSUHFLDWLRQ´ 0DVORZ  S   7KH VDWLVIDFWLRQ RI WKH QHHGV OHDGV WR WKH IHHOLQJV RI VHOIFRQILGHQFH ZRUWK VWUHQJWK DQG WKH IHHOLQJ RI EHLQJ XVHIXO DQG QHHGHG E\ RWKHUV -RQDWKDQ + 7XUQHU   ZULWHV DERXW WUDQVDFWLRQDO QHHGV D JURXS RI XQLYHUVDO KXPDQ QHHGV ZKLFK DUH DFWLYDWHG ZKHQ SHRSOH SDUWLFLSDWH LQ VRFLDO LQWHUDFWLRQ 7KH VDWLVIDFWLRQ RI WKHVH QHHGV UHVXOWV IURP WKH FKDUDFWHU RI IDFH WRIDFH HQFRXQWHUV DQG LV QHFHVVDU\ IRU VXFFHVVIXO FRPPXQLFDWLRQ $PRQJ WKHP WKHUH DUH ³QHHGV IRU VHOIYHULILFDWLRQ´ WKH SDUWLFLSDQWV¶ GHVLUHV IRU WKHLU VHOILPDJH IDFH  WR EH DFFHSWHG E\ RWKHUV ³QHHGV IRU SURILWDEOH H[FKDQJH SD\ RIIV´ ³QHHGV IRU JURXS LQFOXVLRQ´ ³QHHGV IRU WUXVW´ DQG ³QHHGV IRU IDFWLFLW\´ E\ ZKLFK 7XUQHU PHDQV WKH QHHGV IRU VKDULQJ D FRPPRQ IDFWXDO ZRUOG ZLWK RWKHUSDUWLFLSDQWV2QFHWKHQHHGVDUHVDWLVILHGSDUWLFLSDQWVH[SHULHQFHSRVLWLYH HPRWLRQV ZKLFK PDNH WKHLU LQWHUDFWLRQ JR VPRRWKO\

&KDSWHU  0XOWLSOH FRQWH[WV RI IDFH



,QWHUSHUVRQDO WLHV DQG VROLGDULW\ EHWZHHQ LQWHUDFWLRQ SDUWLFLSDQWV GHSHQG RQ WKH HPRWLRQV WKH\ PXWXDOO\ DURXVH LQ HDFK RWKHU 7R VWUHQJWKHQ WLHV DQG EXLOG VROLGDULW\ SDUWLFLSDQWV KDYH WR DWWXQH WKHPVHOYHV WR RWKHUV UHDGLQJ WKHLU IDFLDOH[SUHVVLRQVDQGERG\ODQJXDJH7XUQHU $QRWKHULPSRUWDQWIDFWRU ZKLFK KDV DQ LPSDFW RQ WKH UHODWLRQVKLS EHWZHHQ SDUWLFLSDQWV LV ULWXDOL]DWLRQ RI LQWHUDFWLRQ 5LWXDO EHKDYLRXU FRQWULEXWHV WR VKDUHG HPRWLRQ DQG LV D VLJQ RI VRFLDELOLW\$V5DQGDOO&ROOLQVS FODLPVLWEXLOGVXS³PXWXDOIRFXV DQGHPRWLRQDOHQWUDLQPHQW´7KHHPRWLRQVVKDUHGE\LQWHUDFWDQWVPD\EHSRVL WLYH VXFK DV KDSSLQHVV IULHQGOLQHVV RU VDWLVIDFWLRQ DV ZHOO DV QHJDWLYH RQHV VXFK DV VRUURZ RU XQKDSSLQHVV 3HUIRUPLQJ LQWHUDFWLRQ ULWXDOV SDUWLFLSDQWV ³JR RQ WR KHLJKWHQ WKHLU VHQVH RI PXWXDO SDUWLFLSDWLRQ E\ EHFRPLQJ VWURQJO\ DZDUH RI HDFK RWKHU¶V FRQVFLRXVQHVV´ &ROOLQV  S   7KH WUDQVLHQW HPRWLRQV LQLWLDWLQJ WKH ULWXDO SURGXFH ORQJWHUP HPRWLRQV ± IHHOLQJV RI VROLGDULW\ FRQ ILGHQFH RU VHOIVDWLVIDFWLRQ ZKLFK FRQVWLWXWH WKH RXWFRPH RI WKH ULWXDO DFWLYLW\ &ROOLQV   2WKHUVROLGDULW\EXLOGLQJIDFWRUVDUHH[FKDQJHRIYDOXHGUHVRXUFHVDQGFRQ IRUPLW\WRH[SHFWDWLRQVDQGPRUDOFRGH7XUQHUSS± 3HRSOHDWWDFK YDOXHWRREMHFWVJHVWXUHVDQGRWKHUIHDWXUHVRIWKHZRUOGVRPHRIWKHPHQJHQ GHUSRVLWLYHHPRWLRQVRWKHUV±QHJDWLYHHPRWLRQV7KHDWWDFKPHQWRIHPRWLRQDO YDOHQFHV LV WKH QHFHVVDU\ FRQGLWLRQ RI LQWHUDFWLRQ EHWZHHQ LQGLYLGXDOV 7XUQHU &ROOLQV &RQIRUPLW\WRRWKHUSHRSOH¶VH[SHFWDWLRQVDURXVHVSRVLWLYH HPRWLRQV ZKLOH IDLOXUH WR GR VR DURXVHV QHJDWLYH HPRWLRQV 6DWLVIDFWLRQ RI DOO WKHVH VRFLDO QHHGV DQG H[SHULHQFLQJ SRVLWLYH HPRWLRQV UHVXOWLQJ IURP LW PDNH VRFLDO LQWHUDFWLRQ SRVVLEOH

3. Face and emotions )DFH LV D PXOWLIDFHWHG FRQVWUXFW EDVHG RQ WKH SHUVRQ¶V VHQVH RI LGHQWLW\ DQG H[SHFWDWLRQV DV WR KRZ KLVKHU VHOILPDJH VKRXOG EH FRQVWLWXWHG GXULQJ VRFLDO LQWHUDFWLRQ 3HRSOH SHUFHLYH WKHPVHOYHV DV KDYLQJ FHUWDLQ DWWULEXWHV WKH\ ZDQW WR EH FKDUDFWHUL]HG E\ DWWULEXWHV ZKLFK DUH VRFLDOO\ GHVLUDEOH DQG UHMHFW WKRVH ZKLFK WKH\ GLVDSSURYH RI RU ZKLFK DUH QRW DFFHSWHG E\ RWKHUV 7KXV IDFH ³LV DVVRFLDWHG ZLWK WKHVH DIIHFWLYHO\ VHQVLWLYH DWWULEXWHV KRZHYHU H[DFWO\ ZKLFK DWWULEXWHV DUH IDFH VHQVLWLYH FDQ YDU\ IURP SHUVRQ WR SHUVRQ DQG IURP FRQWH[W WR FRQWH[W´ 6SHQFHU2DWH\  S  6SHQFHU2DWH\  )UDQNOLQ   7KH LQGLYLGXDO¶V H[SHFWDWLRQV FRQFHUQLQJ KLVKHU VHOILPDJH GHSHQG RQ KLVKHU IHHOLQJ RI VHOIZRUWK DQG KLVKHU LQWHUSUHWDWLRQ RI SDVW VRFLDO H[SHULHQFH WKDW LV³WKHFRQWH[WRISUHYLRXVVLPLODUHQFRXQWHUVZLWKZKRPRQHLVPHHWLQJWKH VLWXDWLRQ WKH LQWHUDFWDQWV DUH LQ DQG VR RQ ´ %RXVILHOG  S   )DFH XQ



(ZD %RJGDQRZVND-DNXERZVND

GHUVWRRGLQWKLVZD\SURYLGHVD³IUDPHRIUHIHUHQFHIRUKXPDQFRPPXQLFDWLRQ´ 7HUNRXUDIL  S   &RQVWLWXWLQJ RQH¶V RZQ IDFH LV WKH PDLQ PRWLYDWLRQ IRUWDONH[FKDQJHZKLFKPD\DOVRLQYROYHFRQVWLWXWLQJRUWKUHDWHQLQJWKHRWKHU¶V IDFHLQWKHSURFHVV7HUNRXUDILS 7KHLQGLYLGXDO¶VVHOIFRQFHSWDQG KLVKHU H[SHFWDWLRQV IRUP WKH EDVLV RQ ZKLFK IDFH LV FUHDWHG %XW GHSHQGLQJ RQ WKH VLWXDWLRQ RI WDON H[FKDQJH DQG RWKHU SDUWLFLSDQWV DQG WKHLU H[SHFWDWLRQV LQ SDUWLFXODU GLIIHUHQW DVSHFWV RI WKH SHUVRQ¶V IDFH UHOHYDQW LQ WKH FRQWH[W DUH IRUHJURXQGHG $V 6SHQFHU2DWH\  S   VWDWHV ³IDFH HQWDLOV PDN LQJ FODLPV DERXW RQH¶V DWWULEXWHV WKDW LQ WXUQ HQWDLO WKH DSSUDLVDO RI RWKHUV VR LQ WKLV VHQVH WKH QRWLRQ RI IDFH FDQQRW EH GLYRUFHG IURP VRFLDO LQWHUDFWLRQ´ $UXQGDOH FDOOV IDFH ³DQ HPHUJHQW SURSHUW\ RI UHODWLRQVKLSV´  S   7KXV HQWHULQJ VRFLDO LQWHUDFWLRQ LQGLYLGXDOV DW WKH VDPH WLPH EXLOG UHODWLRQ VKLSVZLWKRWKHUSDUWLFLSDQWVZKLFKGHSHQGRQWKHLUSDVWFRQWDFWVVRFLDOUROHV H[SHFWDWLRQVDQGSHUVRQDOLW\7KHUHODWLRQVKLSVDUHQRWVWDEOHEXWDUHQHJRWLDWHG GXULQJ LQWHUDFWLRQ 6HOI LV ERWK D VHW RI FRJQLWLRQV DQG HPRWLRQDO YDOHQFHV DERXW D SHUVRQ WKDW LV PRELOL]HG LQ IDFHWRIDFH LQWHUDFWLRQ DQG EHFDXVH LQWHUDFWLRQ LV VR PHGL DWHG E\ WKH JLYH DQG WDNH RI JHVWXUHV UDWKHU WKDQ EHLQJ GULYHQ E\ ³JURXS LQVWLQFWV´ LQWHUDFWLRQLQYROYHVDFRQVLGHUDEOHDPRXQWRIQHJRWLDWLRQ'XULQJ WKHVH QHJRWLDWLRQV LQGLYLGXDOV PXWXDOO\ FRPPXQLFDWH QRW RQO\ ZKR WKH\ DUH EXW DOVR WKHLU ZLOOLQJQHVV WR DFFHSW WKH VHOISUHVHQWDWLRQV RI RWKHUV :LWK D VHQVH RI VHOI RQ WKH OLQH GXULQJ LQWHUDFWLRQ WKH HPRWLRQDO VWDWHV DUH GUD PDWLFDOO\ UDLVHG EHFDXVH LQGLYLGXDOV ZDQW WR KDYH WKHLU YLHZV RI WKHPVHOYHV YHULILHG ,QGHHG LQWHUDFWLRQ LV GRPLQDWHG E\ WKH UHFLSURFDO SUHVHQWDWLRQ RI VHOIDQGWKHZLOOLQJQHVVRIDXGLHQFHVWRYHULI\WKLVVHOI7XUQHUS

$V D UHVXOW WKH HPHUJLQJ IDFH LV QRW IL[HG HLWKHU EXW LW LV QHJRWLDWHG GXULQJ LQWHUDFWLRQ*H\HUVXJJHVWVWKHWHUP³LQWHUDFWLRQDOIDFH´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

&KDSWHU  0XOWLSOH FRQWH[WV RI IDFH



7KH HPRWLRQDO VLJQLILFDQFH RI IDFH KDV EHHQ VLJQDOOHG E\ *RIIPDQ  S   ,W LV SODLQ WKDW HPRWLRQV SOD\ D SDUW LQ WKHVH F\FOHV RI UHVSRQVH DV ZKHQ DQJXLVK LV H[SUHVVHG EHFDXVH RI ZKDW RQH KDV GRQH WR DQRWKHU¶V IDFH RU DQ JHU EHFDXVH RI ZKDW KDV EHHQ GRQH WR RQH¶V RZQ , ZDQW WR VWUHVV WKDW WKHVH HPRWLRQV IXQFWLRQ DV PRYHV DQG ILW VR SUHFLVHO\ LQWR WKH ORJLF RI WKH ULWXDO JDPH WKDW LW ZRXOG VHHP GLIILFXOW WR XQGHUVWDQG WKHP ZLWKRXW LW

$SDUW IURP DQJXLVK DQG DQJHU PHQWLRQHG E\ *RIIPDQ QHJDWLYH HPRWLRQV UHODWHG WR IDFH LQFOXGH DOVR FRQWHPSW HPEDUUDVVPHQW DQG VKDPH $ WKUHDW RU GDPDJHWRWKHSHUVRQ¶VIDFHHJDQLQVXOWGHQLJUDWLRQRIWKHSHUVRQ¶VDSSHDU DQFHRUSHUIRUPDQFHRUWKHSHUVRQ¶VIDLOXUHWRPHHWRWKHUSHRSOH¶VH[SHFWDWLRQV  RIWHQ SURGXFH DQJHU 7KHUH DUH KRZHYHU GLIIHUHQW W\SHV RI DQJHU DQG WKLV HPRWLRQ YDULHV LQ VWUHQJWK GHSHQGLQJ RQ WKH DPRXQW RI IDFH WKUHDW 7KH ZRUG DQJHU FRYHUV PDQ\ GLIIHUHQW UHODWHG H[SHULHQFHV 7KHUH LV D UDQJH RI DQJU\ IHHOLQJV IURP VOLJKW DQQR\DQFH WR UDJH 7KHUH DUH QRW MXVW GLIIHU HQFHV LQ WKH VWUHQJWK RI DQJU\ IHHOLQJV EXW DOVR GLIIHUHQFHV LQ WKH NLQG RI DQJHU IHOW ,QGLJQDWLRQ LV VHOIULJKWHRXV DQJHU VXONLQJ LV D SDVVLYH DQJHU H[DVSHUDWLRQ UHIHUV WR KDYLQJ RQH¶V SDWLHQFH WULHG H[FHVVLYHO\ 5HYHQJH LV DW\SHRIDQJU\DFWLRQXVXDOO\FRPPLWWHGDIWHUDSHULRGRIUHIOHFWLRQDERXWWKH RIIHQVHVRPHWLPHVRIJUHDWHULQWHQVLW\WKDQWKHDFWWKDWSURYRNHGLW:KHQLW LV EULHI UHVHQWPHQW LV DQRWKHU PHPEHU RI WKH DQJHU IDPLO\ RI HPRWLRQV >«@ >L@I D SHUVRQ KDV DFWHG LQ D ZD\ \RX IHHO ZDV XQIDLU RU XQMXVW >«@ (NPDQ  S  WKH HPSKDVLV LV PLQH

7KHHPRWLRQZKLFKLVRIWHQWULJJHUHGE\IDFHLVFRQWHPSW3HRSOHIHHOFRQ WHPSW IRU WKRVH ZKR EHKDYH LQ D ZD\ ZKLFK GRHV QRW DJUHH ZLWK WKH OLQH WKH\ KDYH WDNHQ DQG IRU WKRVH ZKR ORVH WKHLU IDFH HJ ZKHQ WKH SHUVRQ WXUQV RXW WR EH D OLDU  ,Q FRQWHPSW WKHUH LV DQ HOHPHQW RI FRQGHVFHQVLRQ WRZDUG WKH REMHFW RI FRQ WHPSW 'LVGDLQIXO LQ GLVOLNLQJ WKH SHUVRQV RU WKHLU DFWLRQV \RX IHHO VXSHULRU XVXDOO\PRUDOO\ WRWKHP7KHLURIIHQVHLVGHJUDGLQJEXW\RXQHHGQRWQHFHV VDULO\ JHW DZD\ IURP WKHP DV \RX ZRXOG LQ GLVJXVW (NPDQ  S 

$QRWKHU HPRWLRQ UHODWHG WR IDFH LV VKDPH 2QO\ SDUWLFLSDWLQJ LQ VRFLDO LQWHUDFWLRQ WKH SHUVRQ FDQ H[SHULHQFH LW QR RQH LV VKDPHG LQ VRFLDO LVRODWLRQ IURPRWKHUV6KDPHLVVHOIIRFXVHGXVXDOO\DVVRFLDWHGZLWK³QHJDWLYHDXWRPDWLF WKRXJKWV RI WKH VHOI´ ,W LV GHSHQGHQW RQ WKH FRPSHWHQFLHV WR FRQVWUXFW WKH VR FLDO VHOI DQG WKDW LV ZK\ LW LV FDOOHG D ³VHOIFRQVFLRXV HPRWLRQ´ *LOEHUW  SS ± 3DWWLVRQ   $Q\ DFWLRQ ZKLFK FDQ FDXVH D IODZ LQ WKH VRFLDO VHOI



(ZD %RJGDQRZVND-DNXERZVND

PD\PDNHWKHSHUVRQH[SHULHQFHVKDPH6KDPHWRJHWKHUZLWKJXLOWIXQFWLRQDV IRUFHV RI VRFLDO FRQWURO DQG DULVH ZKHQ WKH LQGLYLGXDO¶V VHOISUHVHQWDWLRQ GRHV QRW PHHW WKH H[SHFWDWLRQV RI RWKHUV 7XUQHU   (PEDUUDVVPHQWLVDIRUPRIHPRWLRQZKLFKLVFORVHO\UHODWHGWRVKDPHDQG OLHV DW WKH KHDUW RI WKH VRFLDO RUJDQL]DWLRQ RI HYHU\GD\ EHKDYLRXU ³,W SURYLGHV DSHUVRQDOFRQVWUDLQWRQWKHEHKDYLRXURIWKHLQGLYLGXDOLQVRFLHW\DQGDSXEOLF UHVSRQVH WR DFWLRQV DQG DFWLYLWLHV FRQVLGHUHG SUREOHPDWLF RU XQWRZDUG´ +HDWK S 7KHSHUVRQPD\H[SHULHQFHVKDPH³LIH[SUHVVLYHIDFWVWKUHDWHQRU GLVFUHGLWWKHDVVXPSWLRQV>KH@KDVSURMHFWHGDERXWKLVLGHQWLW\´*RIIPDQ S DVDFRQVHTXHQFHKHPD\WHPSRUDULO\ORVHEDODQFHDQGVHOIFRQWURODQG KH ³FDQQRW IRU WKH WLPH EHLQJ PRELOL]H KLV PXVFXODU DQG LQWHOOHFWXDO UHVRXUFHV IRU WKH WDVN DW KDQG´  SS ±  6KDPH OLNH JXLOW FDQ EH IHOW LQ VLWXDWLRQV RI PRUDO WUDQVJUHVVLRQ ZKLOH HPEDUUDVVPHQW FDQ DSSHDU LQ VLWXD WLRQV RI ORVV RI SRLVH RU FRPSRVXUH +R )X  1J   7KHVH HPRWLRQV DUH XQGHQLDEO\ IDFHUHODWHG 7KH\ DSSHDU ZKHQ WKH SHUVRQ¶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¶V SUHVHQWHG VHOI LPDJH DJUHHV ZLWK KLVKHU SURMHFWHG VHOILPDJH DQGRU ZLWK H[SHFWDWLRQV RI WKH VLJQLILFDQW RWKHUV 7KH HPRWLRQV FRPELQH SOHDVXUH HQMR\PHQW DQG KDSSLQHVV WULJJHUHG E\ GLIIHUHQW DVSHFWV RI VHOI ,QWHUSUHWHG LQ WKLV ZD\ DV D UHODWLRQDO DQG LQWHUDFWLRQDO FRQVWUXFW HYRNLQJ HPRWLRQV IDFH DSSHDUV WR EH VWURQJO\ FRQWH[W GHSHQGHQW

4. Contextual relevance $FFRUGLQJ WR 7HXQ YDQ 'LMN FRQWH[W UHIHUV WR ³DVSHFWV RI WKH VRFLDO HQYLURQ PHQW´ ZKLFK EHFRPH ³REVHUYDEOH´ E\ WKHLU FRQVHTXHQFHV RQ GLVFRXUVH RU E\ WKH LQIOXHQFH RI GLVFRXUVH RQ VRFLDO VLWXDWLRQV YDQ 'LMN  S   9DQ 'LMN FODLPV WKDW ZKDW PDWWHUV LQ FRPPXQLFDWLRQ LV WKH VXEMHFWLYHO\ SHUFHLYHG

&KDSWHU  0XOWLSOH FRQWH[WV RI IDFH



HQYLURQPHQW &RQWH[WV RI VRFLDO LQWHUDFWLRQV LQ ZKLFK IDFH LV FRQVWLWXWHG DUH ³VXEMHFWLYH SDUWLFLSDQW LQWHUSUHWDWLRQV´ RI WKH UHOHYDQW DVSHFWV RI WKH VRFLDO HQYLURQPHQW ,Q RWKHU ZRUGV FRQWH[WV DUH VXEMHFWLYH GHILQLWLRQV RI HYHQWV RU VLWXDWLRQVLQZKLFKSHRSOHSDUWLFLSDWHZKHQWKH\HQJDJHLQWDONH[FKDQJH7KH\ DUHSDUWLFLSDQWV¶PHQWDOPRGHOVRIFRPPXQLFDWLYHVLWXDWLRQVZKLFK³DUHFXOWXU DOO\ EDVHG DQG KHQFH YDULDEOH  VFKHPDWLF VWUXFWXUHV´ YDQ 'LMN  S   (QJDJLQJ LQ WDON H[FKDQJH SHRSOH SHUFHLYH WKH VLWXDWLRQ WKURXJK WKH SULVP RI WKHLU FXOWXUDO DQG LQGLYLGXDO KLHUDUFKLHV RI YDOXHV $QG DV D FRQVHTXHQFH HPRWLRQDO UHDFWLRQV WR WKH VLWXDWLRQ GLIIHU QRW RQO\ IURP FXOWXUH WR FXOWXUH EXW DOVR IURP LQGLYLGXDO WR LQGLYLGXDO 1HDUO\ HYHU\RQH IHHOV IHDU LI WKH FKDLU WKH\ DUH VLWWLQJ LQ VXGGHQO\ FROODSVHV EXWVRPHSHRSOHDUHDIUDLGRIIO\LQJLQDLUSODQHVDQGRWKHUVDUHQRW:HVKDUH VRPH WULJJHUV MXVW DV ZH VKDUH WKH H[SUHVVLRQV IRU HDFK HPRWLRQ EXW WKHUH DUH WULJJHUV WKDW DUH QRW RQO\ FXOWXUHVSHFLILF WKH\ DUH LQGLYLGXDOVSHFLILF (NPDQ  S 

$ VLPLODU SHUVSHFWLYH FDQ EH DGRSWHG LQ WKH FDVH RI IDFH 7R XQGHUVWDQG WKH PHFKDQLVPV UHVSRQVLEOH IRU KXPDQ EHKDYLRXU LQ VRFLDO LQWHUDFWLRQV WKUHH IDF WRUV KDYH WR EH WDNHQ LQWR FRQVLGHUDWLRQ FXOWXUH LQGLYLGXDO GLIIHUHQFHV DQG FRQWH[W :KHWKHU D JLYHQ DVSHFW RI IDFH LV IRUHJURXQGHG LQ D SDUWLFXODU VLWXD WLRQ GHSHQGV RQ WKH RQH KDQG RQ FXOWXUDO VHWWLQJV RQ WKH RWKHU KDQG RQ WKH SHUVRQ¶V HPRWLRQDO DWWLWXGH WR LW DQG KLVKHU SHUFHSWLRQ RI LWV UHOHYDQFH LQ WKH SDUWLFXODU FRQWH[W 9DQ 'LMN DGYRFDWHV WKH EURDG PXOWLGLVFLSOLQDU\ DSSURDFK WR GLVFRXUVH ZKLFK LQWHJUDWHV D GHWDLOHG DQG H[SOLFLW VWXG\ RI WH[W DQG WDON ZLWK DQ DQDO\VLV RI WKHLU VRFLDO DQG FRJQLWLYH FRQWH[WV 6XFK DQ DSSURDFK DFFRXQWV IRU ERWK VR FLDO DQG FXOWXUDO DV ZHOO DV IRU SHUVRQDO FRQVWUDLQWV 9DQ 'LMN VHHV FRQWH[WXDO UHOHYDQFH³GHILQHGLQWHUPVRIZKDWLVQRZUHOHYDQWIRUWKHSDUWLFLSDQWV´ S   7KXV HYHU\ HOHPHQW RI VRFLDO VLWXDWLRQ FDQ EH VXEMHFWLYHO\ LQWHUSUHWHG DQG GHDOW ZLWK E\ LWV SDUWLFLSDQWV 7KLV DOVR UHIHUV WR WKH LQGLYLGXDO IDFH LQ WKH µVDPH¶ VLWXDWLRQ GLIIHUHQW SHUVRQV SHUFHLYH IDFH LQ D GLIIHUHQW ZD\ KDYH GLIIHUHQW H[SHFWDWLRQV FRQFHUQLQJ WKHLU VHOILPDJH UHVXOWLQJ IURP SDVW H[SHUL HQFH DQG LQGLYLGXDO KLHUDUFKLHV RI YDOXHV DQG HQWHU LQWR GLIIHUHQW UHODWLRQVKLSV ZLWK RWKHU SDUWLFLSDQWV $QDO\VLQJ IDFH DQG IDFHZRUN LQ VRFLDO LQWHUDFWLRQ ZH DOZD\V KDYH WR WDNH LQWR FRQVLGHUDWLRQ ZKDW LV UHOHYDQW IRU HDFK SDUWLFLSDQW LQ D SDUWLFXODU VLWXDWLRQ



(ZD %RJGDQRZVND-DNXERZVND

5. An extended model of face *RIIPDQ  S   GHILQHV IDFH DV ³DQ LPDJH RI VHOI GHOLQHDWHG LQ WHUPV RI DSSURYHGVRFLDODWWULEXWHV´+RZHYHULIZHWKLQNDERXWIDFHVHQVLWLYHLVVXHVZH FDQ VHH WKH\ JR IDU EH\RQG WKH VHOI 7KH VHOI XQGHUVWRRG DV ³WKH LQQHU SV\FKR ORJLFDOHQWLW\WKDWLVWKHFHQWUHRUVXEMHFWRIDSHUVRQ¶VH[SHULHQFH´SHUFHSWLRQV WKRXJKWVIHHOLQJVDQGEHOLHIVDERXWRQHVHOI/HDU\ 7DQJQH\SS±  RU³WKHVHWRIPHDQLQJVZHKROGIRURXUVHOYHVZKHQZHORRNDWRXUVHOYHV´6WHWV  %XUNH  S   $ SHUVRQ¶V VHOIFRQFHSW LV W\SLFDOO\ UHSUHVHQWHG DV D VHW RI VHOIDVSHFWV PXOWLSOHVHOYHV 6KRZHUV =HLJOHU+LOO ,QWKHXQLW\RIWKHVHOIWKHUHLV PXOWLSOLFLW\RILGHQWLWLHV7KHEDVLVIRUWKHPXOWLSOHVHOIFRQFHSWYDULHVIURPLQ GLYLGXDOWRLQGLYLGXDOLWXVXDOO\LQFOXGHVGLVWLQFWVRFLDOUROHVFRQWH[WVUHODWLRQ VKLSV DFWLYLWLHV WUDLWV DQG VWDWHV 6KRZHUV  =HLJOHU+LOO   $OO RI WKHP VKDSH WKH LQGLYLGXDO¶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¶V VHOIFRQFHSWLRQ   +LV FRQFHSW RI IDFH FRQVLVWV RI FRQFHQWULF FLUFOHV ZLWK WKH PRVW IDFHODGHQ FORVHVW WR WKH HJR 7KH SHUVRQ¶V IHHOLQJRIIDFHLVUHODWHGWRWKHHOHPHQWVFRQFHUQLQJKLVKHUHYHU\GD\OLIHZKLFK FRQVWLWXWH WKH H[WHQVLRQV RI WKH HJR 7KH IDFH HOHPHQWV GLIIHU IURP HDFK RWKHU LQ HPRWLRQDO YDOHQFH FI 7XUQHU   7KH PRUH GLVWDQW WKH HOHPHQW LV IURP WKH HJR WKH VPDOOHU LPSDFW LW ZRXOG KDYH RQ WKH SHUVRQ¶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

&KDSWHU  0XOWLSOH FRQWH[WV RI IDFH



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¶V   SRVLWLYH DQG QHJDWLYH IDFH  EXW WKH\ GLIIHU LQ LQWHQVLW\ 7KH FDWHJRU\ 3UHVWLJH LQYROYHV YDULRXV VRFLDO VWDWXV LQGLFDWRUV EDVHG RQ SHUVRQDO HIIRUW DQG DFKLHYHPHQW VXFK DV HGXFDWLRQDO DWWDLQPHQW RFFXSDWLRQDO VWDWXV DQG LQFRPH FI +R   +LJK VRFLDO VWDWXV RIWHQ UHVXOWV IURP WKH LQ GLYLGXDO¶V FRPSHWHQFH DQG H[SHUWLVH 6R WKHUH LV D VWURQJ FRQQHFWLRQ EHWZHHQ WKHVH WZR FDWHJRULHV RI IDFHHOHPHQWV ,Q WKH FDWHJRU\ &RPSHWHQFH WKH LQGL YLGXDO¶V DELOLWLHV NQRZOHGJH DQG VNLOOV DUH D PHDVXUH RI KLVKHU DFKLHYHPHQW 7KHFDWHJRU\)DPLO\PDWWHUVLQPDQ\FXOWXUHVEXWLWLVHVSHFLDOO\LPSRUWDQW LQ FROOHFWLYLVWLF FXOWXUHV ZKHUH LQGLYLGXDOV DUH ERXQG E\ LQJURXS VROLGDULW\ DQGPXWXDOUROHREOLJDWLRQVDQGGXWLHV7LQJ7RRPH\ .XURJL 7KHLQ GLYLGXDO¶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¶V IDFH H[SHFWDWLRQV $OO WKHVH DVSHFWV RI IDFH H[LVW LQ WKH PDMRULW\ RI FXOWXUHV EXW WKH\ GLIIHU LQ WKH GHJUHH RI LPSRUWDQFH DQG LQ WKHLU ORFDWLRQ UHODWLYH WR WKH FHQWUH RI IDFH 7KLV UHVXOWV IURP WKH IDFW WKDW PHPEHUV RI GLIIHUHQW FXOWXUHV DUH IDFH VHQVLWLYH WR D ZLGH YDULHW\ RI DWWULEXWHV UHODWHG WR GLIIHUHQW KLHUDUFKLHV RI YDOXHV FI 6SHQFHU2DWH\  



(ZD %RJGDQRZVND-DNXERZVND

6. Selected face contexts in Polish culture )DFHHOHPHQWVZLWKLQRQHFDWHJRU\GRQRWKDYHWREHRIHTXDOLPSRUWDQFH7KLV GLIIHUV IURP LQGLYLGXDO WR LQGLYLGXDO DQG GHSHQGV RQ FRQWH[W RI VRFLDO LQWHUDF WLRQ ,UUHVSHFWLYH RI WKH GHJUHH RI VHQVLWLYLW\ VSHFLILF WR D SDUWLFXODU DVSHFW RI IDFH ZH FDQ REVHUYH GLIIHUHQW FRQWH[WV LQ ZKLFK SDUWLFXODU DVSHFWV RI IDFH DUH IRUHJURXQGHG , ZLOO UHIHU WR WKHP DV PXOWLSOH FRQWH[WV RI IDFH 6FROORQ DQG :RQJ 6FROORQ  S   FODLP WKDW ³>W@KHUH LV QR IDFHOHVV FRPPXQLFDWLRQ´ 7KXV HYHU\ VRFLDO FRQWH[W LQ ZKLFK LQWHUDFWLRQ EHWZHHQ SHRSOH WDNHV SODFH LV D FRQWH[W RI IDFH $FFRUGLQJ WR 7HUNRXUDIL  S   WKH ³XVH RI ODQJXDJH FDQ QHYHU EH LQQRFHQW ZLWK UHVSHFW WR IDFH FRQVLGHUDWLRQV´ DQG ³LQ HIIHFW LQWHUDFWDQWV DOZD\V FRPH RXW RI DQ H[FKDQJH IHHOLQJ WKDW WKHLU IDFHV KDYH EHHQ FRQVWLWXWHGRUWKUHDWHQHGWRDJUHDWHURUOHVVHUH[WHQW´7HUNRXUDILS  $QG YHU\ RIWHQ PRUH WKDQ RQH DVSHFW RI IDFH LV LQYROYHG $Q DQDO\VLV RI WKH IROORZLQJ UHDOOLIH H[DPSOHV IURP 3ROLVK FXOWXUH LV WR VKRZ WKH UROH RI FRQWH[W DV D VXEMHFWLYH IDFHFRQVWLWXWLQJ IDFWRU , KDYH FKR VHQ IDFH FRQWH[WV ZKLFK JUHDWO\ FRQWULEXWH WR IDFH FRQVWLWXWLQJ LQ PDMRULW\ RI FXOWXUHV 3ROLVK FXOWXUH LQFOXGHG QDPHO\ WKHVH FRQWH[WV LQ ZKLFK WKH SHUVRQ¶V FKDUDFWHU DQG PRUDO LQWHJULW\ VRFLDO SRVLWLRQ FRPSHWHQFH IDPLO\ DIILOLDWLRQ DQG EDFNJURXQG DUH WKH IRFXV RI WKH LQWHUDFWDQWV¶ DWWHQWLRQ 3HUVRQKRRGFKDUDFWHUEHKDYLRXUPRUDOLQWHJULW\ELRJUDSK\LQGHSHQG HQFH DSSHDUDQFH  7KH FRQWH[WV LQ ZKLFK WKH 3HUVRQKRRG DVSHFW RI IDFH LV IRUHJURXQGHG DUH WKRVH ZKLFK SXW WKH SHUVRQ¶V FKDUDFWHU DQG PRUDOLW\ WR WKH WHVW DQG KLVKHU EHKDYLRXU DQG DSSHDUDQFH DUH HYDOXDWHG E\ RWKHU LQWHUDFWDQWV ,Q([DPSOHGXULQJD79LQWHUYLHZD3ROLVK0HPEHURIWKH(XURSHDQ3DUOLD PHQW0(3 IURPDQDWLRQDOFRQVHUYDWLYHSDUW\PDNHVDFULWLFDOFRPPHQWRQ DQRWKHU 0(3  IURP D OLEHUDOFRQVHUYDWLYH SDUW\ ,Q VSLWH RI WKH IDFW WKDW KH VKRZVUHVSHFWWRKHUE\UHIHUULQJWRKHUPRMDV]DQRZQDNROHĪDQNDP\KRQRXU DEOH IULHQG  DQG VWUHVVHV FRPPRQ JURXQG GREUD ]QDMRPD RG ZLHOX ODW D JRRG ROG IULHQG  0(3 DFFXVHV KHU RI PRUDOO\ GXELRXV EHKDYLRXU $W WKH VDPH WLPH KH HQJDJHV LQ SRVLWLYH VHOISUHVHQWDWLRQ VKRZLQJ KLPVHOI DV D SHUVRQ RI KLJKPRUDOVWDQGDUGV,QDGGLWLRQKHWULHVWRHPEDUUDVVKHUVKDPHLVZKDWVKH VKRXOG IHHO GXH WR WKH PLVEHKDYLRXU VKH KDV FRPPLWWHG 7KH ZKROH XWWHUDQFH LV DQ DWWDFN RQ 0(3¶V IDFH PRUDO LQWHJULW\ LQ SDUWLFXODU ([DPSOH  0(3 , WHUD] NLHG\ ]EOLĪD VLĊ ĞZLĊWR 8QLZHUV\WHWX -DJLHOORĔVNLHJR SDQL SRVHá PRMD V]DQRZQD NROHĪDQND L GREUD ]QDMRPD RG ZLHOX ODW SRLQWLQJ WR 0(3  GOD FHOyZ NDPSDQLL Z\ERUF]HM L Z\ERUF]HJR ODQVX G]LDáD QD V]NRGĊ 8QLZHUV\WHWX -DJLHOORĔVNLHJR V]NRG]L 8QLZHUV\WHWRZL -DJLHOORĔVNLHPX 7D NLFK U]HF]\ URELü QLH ZROQR 7R ZVW\G KWWSZZZWYQSONURSNDQDGL

&KDSWHU  0XOWLSOH FRQWH[WV RI IDFH



0(3 $QG QRZ ZKHQ WKH -DJLHOORQLDQ 8QLYHUVLW\ MXELOHH LV DSSURDFKLQJ /DG\5HSUHVHQWDWLYHP\KRQRXUDEOHIULHQGDQGJRRGROGIULHQGSRLQWLQJWR 0(3  IRU WKH HOHFWLRQ FDPSDLJQ SXUSRVHV DQG IRU SXEOLFLW\ LV DFWLQJ WR WKH GHWULPHQWRIWKH-DJLHOORQLDQ8QLYHUVLW\VKHFDXVHVGDPDJHWRWKH-DJLHOORQLDQ 8QLYHUVLW\ 2QH PXVWQ¶W GR WKDW 6KDPH

3UHVWLJH VRFLDO VWDWXV GHHGV HGXFDWLRQ MRE DFKLHYHPHQWV  7KH 3UHVWLJH DVSHFW RI IDFH RIWHQ GHSHQGV RQ SURIHVVLRQDO DFKLHYHPHQWV ZKLFK GLUHFWO\ UH VXOW IURP &RPSHWHQFH WKH LQGLYLGXDO¶V DELOLWLHV NQRZOHGJH DQG VNLOOV  DQG RQ WKH JHQHUDOO\ XQGHUVWRRG %DFNJURXQG WKH LQGLYLGXDO¶V SODFH RI ELUWK SODFH RI OLYLQJ VFKRROV IULHQGV LQWHUHVWV DQG SURSHUW\  ([DPSOH  SUHVHQWV WKH 3ROLVK SLDQLVWDQGFRPSRVHU/HV]HN0RĪGĪHUZKRLVDSSRLQWHGDMXU\PHPEHULQWKH FRPSHWLWLRQ 3ROHV ZLWK 9HUYH IRU WKRVH ZKR KDYH D ORW RI HQHUJ\ WR ZRUN DQG SOD\  RUJDQL]HG E\ RQH RI WKH 3ROLVK SHWURO FRPSDQLHV 7KH WH[W SURYLGHV WKH LQIRUPDWLRQ ZKLFK DWWHVWV WR KLV SURIHVVLRQDO VXFFHVV DQG KLJK VRFLDO VWDWXV 7KH PHQWLRQ RI KLV SURIHVVLRQDO DFKLHYHPHQWV Z GRURENX PD ]DUyZQR Sá\W\ DXWRUVNLHMDNLSURMHNW\]PLĊG]\QDURGRZHMVáDZ\PX]\NDPL DQGDUWLVWLFYHUVD WLOLW\ *UD MD]] PX]\NĊ ILOPRZą SLRVHQNL URFNRZHM 1LUYDQ\ XWZRU\ &KRSLQD D QDZHW UHOLJLMQH  FRQVWLWXWHV WKH HQKDQFHPHQW RI WKH &RPSHWHQFH DVSHFW RI KLVIDFH+HDOVRRZHVKLVVXFFHVVWRRWKHUGLVWLQJXLVKHGPXVLFLDQVDQGDUWLVWLF SHUVRQDOLWLHV /DUV 'DQLHOVVRQ 0DUFXV 0LOOHU 5\V]DUG 7\PRQ 7\PDĔVNL DQG =ELJQLHZ1DP\VáRZVNL :RUNRUDWOHDVWFRQWDFWZLWKWKHVLJQLILFDQWRWKHUVHQ KDQFHWKH%DFNJURXQGDVSHFWRIKLVIDFH%RWKKLVFRPSHWHQFHDQGEDFNJURXQG FRQWULEXWH WR WKH FUHDWLRQ RI KLV VRFLDO DQG SURIHVVLRQDO VWDWXV DQG DW WKH VDPH WLPH WR WKH HQKDQFHPHQW RI KLV 3UHVWLJH IDFHDVSHFW ([DPSOH  /HV]HN 0RĪGĪHU SLDQLVWD L NRPSR]\WRU NWyU\ Z GRURENX PD ]DUyZQR Sá\W\ DXWRUVNLH MDN L SURMHNW\ ] PLĊG]\QDURGRZHM VáDZ\ PX]\NDPL MDN V]ZHG]NL NRQWUDEDVLVWD /DUV 'DQLHOVVRQ F]\ DPHU\NDĔVNL EDVLVWD 0DUFXV 0LOOHU *UD MD]] PX]\NĊ ILOPRZą SLRVHQNL URFNRZHM 1LUYDQ\ XWZRU\ &KRSLQD D QDZHW UHOLJLMQH5R]ZyMPX]\F]Q\]DZG]LĊF]DWDNLPRVRERZRĞFLRPDUW\VW\F]Q\PMDN EDODQVXMąF\F]DVHPQDJUDQLF\NLF]XHQIDQWWHUULEOHSROVNLHMVFHQ\PX]\F]QHM 5\V]DUG 7\PRQ 7\PDĔVNL F]\ =ELJQLHZ 1DP\VáRZVNL MHGHQ ] QDMZLĊNV]\FK SROVNLFK VDNVRIRQLVWyZ MD]]RZ\FK KWWSSROVNDQHZVZHHNSO /HV]HN 0RĪGĪHU D SLDQLVW DQG FRPSRVHU ZKR LQ KLV RXWSXW KDV ERWK RULJL QDO UHFRUGV DQG SURMHFWV FDUULHG RXW ZLWK PXVLFLDQV RI LQWHUQDWLRQDO UHQRZQ VXFK DV WKH 6ZHGLVK GRXEOH EDVV SOD\HU /DUV 'DQLHOVVRQ RU WKH $PHULFDQ EDVV SOD\HU 0DUFXV 0LOOHU +H SOD\V MD]] ILOP PXVLF URFN 1LUYDQD VRQJV &KRSLQ¶V ZRUNV DQG HYHQ UHOLJLRXV PXVLF +H RZHV KLV PXVLFDO GHYHORSPHQW WR VXFK DUWLVWLF SHUVRQDOLWLHV DV WKH HQIDQW WHUULEOH RI WKH 3ROLVK PXVLF VWDJH



(ZD %RJGDQRZVND-DNXERZVND

5\V]DUG 7\PRQ 7\PDĔVNL EDODQFLQJ VRPHWLPHV RQ WKH YHUJH RI NLWVFK DQG =ELJQLHZ 1DP\VáRZVNL RQH RI WKH JUHDWHVW 3ROLVK MD]] VD[RSKRQH SOD\HUV

3UHVWLJH DQG KLJK VRFLDO VWDWXV PD\ DOVR UHVXOW IURP WKH SRVVHVVLRQ RI SRZHU DQGDXWKRULW\7RGHQ\WKDWDQLQGLYLGXDOLVDQDXWKRULW\LQYROYHVDWKUHDWWRKLV KHU &RPSHWHQFH DQG 3UHVWLJH IDFHDVSHFWV $FFRUGLQJ WR 2[IRUG (QJOLVK 'LF WLRQDU\ DXWKRULW\ LV ³D SHUVRQ ZLWK H[WHQVLYH RU VSHFLDOL]HG NQRZOHGJH DERXW DVXEMHFWDQH[SHUW´7KHUHFRJQL]HGNQRZOHGJHJLYHVWKHSHUVRQWKHULJKWDQG SRZHUWRLQIOXHQFHRWKHUV,Q([DPSOHGXULQJD79LQWHUYLHZDFRQVHUYDWLYH PHPEHURIWKH3ROLVK3DUOLDPHQW03 TXHVWLRQVWKHRWKHU¶VDOLEHUDOOHIWZLQJ SDUW\ 03 H[SHUWLVHZKLFKFDXVHVGDPDJHWR03¶V3UHVWLJHDVSHFWRIIDFH ([DPSOH  03 &]áRZLHN NWyU\ XZDĪD ĪH KRPRVHNVXDOL]P VLĊ OHF]\ QLH SRZLQLHQ UHSUH]HQWRZDü 3ROVNL Z 3DUODPHQFLH (XURSHMVNLP 033DQQDSUDZGĊWXQLHMHVWDXWRU\WHWHPĪHE\PyZLüNWRPDUHSUH]HQWRZDü 3ROVNĊ Z 3DUODPHQFLH (XURSHMVNLP D NWR QLH PD KWWSZZZWYQSO NURSNDQDGL 037KHPDQZKRWKLQNVWKDWKRPRVH[XDOLW\FDQEHFXUHGVKRXOGQRWUHS UHVHQW 3RODQG LQ WKH (XURSHDQ 3DUOLDPHQW 03 «@ , WKLQN WKDW SHRSOH LQ 3RODQG UHDFW VR EDGO\ WR MRNHV DERXWUHOLJLRQEHFDXVHWKH\LQWHUSUHWWKHPDVDQDWWDFNRQWKHPVHOYHV$MRNH DERXW WKH 3RSH KXPLOLDWHV PH QRW WKH 3RSH ± WKH\ WKLQN 7KLV LV D SURRI RI WKHLU KHOSOHVVQHVV

%HORQJLQJWRDFHUWDLQJURXSZKHWKHULWLVDUHOLJLRXVFRPPXQLW\DQHWKQLF FRPPXQLW\RUDJURXSRISHRSOHUHSUHVHQWLQJDFHUWDLQSURIHVVLRQLQYROYHVFKHU LVKLQJDFHUWDLQVHWRIYDOXHVDQGDGKHULQJWRDFHUWDLQFRGHRIHWKLFV)DLOXUHWR FRPSO\ZLWKWKHFRGHPD\EHGHWULPHQWDOWRWKHLQGLYLGXDO¶VIDFHDQGWRWKHIDFH RIWKHJURXSKHVKHEHORQJVWRLQVRPHFDVHVLWPD\UHVXOWLQKLVKHUH[SXOVLRQ IURP WKH JURXS ,Q FHUWDLQ IDFH FRQWH[WV WKH LQGLYLGXDO¶V DIILOLDWLRQ WR D SDU WLFXODUJURXSPD\LQFUHDVHWKHULVNRIIDFHORVV7KHFRPPHQWDU\LQ([DPSOH UHIHUVWRDQWL6HPLWLFVWDWHPHQWVGDPDJLQJWRWKHJURXSIDFHRIWKH-HZV PDGH E\WKH3ROLVKVFKRODU3URIHVVRU-DVLHZLF]SXEOLVKHGLQWKHVSHFLDOHGLWLRQRIWKH 3ROLVKPDJD]LQH)RFXV+LVWRULDLVVXHGRQWKHRFFDVLRQRIWKHWKDQQLYHUVDU\ RIWKH:DUVDZ*HWWR8SULVLQJ7KHDXWKRURIWKHFRPPHQWDU\SHUFHLYHV3URIHV VRU-DVLHZLF]¶VVWDWHPHQWILUVWRIDOODVDWKUHDWWRWKHIDFHRI3ROLVK$FDGHPLD +HDOVRVHHVLWDVDWKUHDWWR-DVLHZLF]¶VIDFHLQSDUWLFXODUWRLWV6HOIKRRGDVSHFW DQGPRUDOLQWHJULW\HJZ\U]XFLá]VLHELHFRĞWDNQLNF]HPQHJR ,QWKHFRPPHQ WDU\ DXWKRU¶V RSLQLRQ WKH DQWL6HPLWLF DQG DQWL3ROLVK RYHUWRQHV RI 3URIHVVRU¶V



(ZD %RJGDQRZVND-DNXERZVND

WH[WPDNHLWGHVSLFDEOH,WLVDOVRFRQVLGHUHGGDPDJLQJWRWKH&RPSHWHQFHDVSHFW RI3URIHVVRU¶VIDFHDVWKHDXWKRUFODLPVWKDWWKHWH[WKDVQRDFDGHPLFYDOXH7KH GDPDJHWR3URIHVVRU¶VIDFHLWV3UHVWLJHDVSHFWLQSDUWLFXODULVHYHQJUHDWHUGXH WRKLVKLJKVRFLDOVWDWXVHJXW\WXáRZDQ\QDJUDG]DQ\LKRQRURZDQ\ 7KHVD\ LQJQREOHVVHREOLJHPD\EHUHDGKHUHDV³RQHPXVWDFWLQFRQIRUPLW\ZLWKRQH¶V SRVLWLRQDQGUHSXWDWLRQ´5HVSHFWDEOHSHRSOHDUHH[SHFWHGWRKDYHKLJKHUVWDQG DUGVRIEHKDYLRXU$FFRUGLQJWRWKHDXWKRU3URIHVVRU-DVLHZLF]DUHSUHVHQWDWLYH RI$FDGHPLDGRHVQRWFRQIRUPWRWKHSRVLWLRQKHKDV ([DPSOH  'OD PQLH ]DJDGNą MHVW WR MDN SURI -DVLHZLF] PyJá SRZLHG]LHü WR FR SRZLHG]LDá MHĞOL E\á Z SHáQL ZáDG] XP\VáRZ\FK L MDN VLĊ PyJá ]JRG]Lü E\ WR RSXEOLNRZDQR Z ]HV]\FLH R WHPDW\FH SROVNR±Ī\GRZVNLHM 7H]\ L MĊ]\N QLH QDGDMą VLĊ GR NRPHQWRZDQLD F]\ G\VNXVML 7R MHVW PDWHULDá QLH W\ONR DQW\VHPLFNL DOH WDNĪH DQW\SROVNL %R WR ZVW\G GOD QDXNL SROVNLHM ĪH MHM XW\WXáRZDQ\ QDJUDG]DQ\ L KRQRURZDQ\ SU]HGVWDZLFLHO Z\U]XFLá ] VLHELH FRĞ WDNQLNF]HPQHJRD]DUD]HPSR]EDZLRQHJRZV]HONLHMZDUWRĞFLQDXNRZHM*UD Z NODV\ $GDP 6]RVWNLHZLF]¶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

%DFNJURXQGSODFHRIELUWKSODFHRIOLYLQJVFKRROVIULHQGVLQWHUHVWVSURS HUW\ $FFRUGLQJWR:LOOLDP-DPHV RQHRIWKHLPSRUWDQWVHOIFRPSRQHQWV LVWKHPDWHULDOVHOIZKLFKUHIHUVWRWDQJLEOHREMHFWVSHRSOHDQGSODFHVWDONLQJ DERXW ZKLFKZKRP RQH FDQ XVH RQH RI WKH SRVVHVVLYH SURQRXQV P\ RU PLQH :H XVH VXFK SURQRXQV WDONLQJ DERXW RXU IDPLO\ DQG DERXW RXU IULHQGV SODFH RIELUWKSODFHRIOLYLQJVFKRROVLQWHUHVWVDQGSURSHUW\/LNHLQWKHFDVHRIWKH )DPLO\ DVSHFW RI IDFH LQ WKH FRQWH[WV LQ ZKLFK WKH SHUVRQ¶V %DFNJURXQG LV DQ LVVXH WZR GLIIHUHQW SHUVSHFWLYHV FDQ EH WDNHQ x 7KH RWKHURULHQWHG SHUVSHFWLYH ZKLFK PD\ LQYROYH D WKUHDW WR WKH SHUVRQ¶V IDFH VHH ([DPSOHV D  DQG D  x 7KHVHOIRULHQWHGSHUVSHFWLYHZKLFKGRHVQRWLQYROYHDWKUHDWWRWKHSHUVRQ¶V IDFH VHH ([DPSOHV E  E  $FULWLFDOFRPPHQWRQWKHRWKHU¶VSURSHUW\([DPSOHVD DQGD WKUHDWHQV KLVKHU IDFH %\ VXFK D FRPPHQW WKH VSHDNHU VLJQDOV ODFN RI DSSURYDO RI WKH RWKHU$MXVWLILHGXVHRIRQHRIWKHSRVVHVVLYHSURQRXQVP\RUPLQHZLWKUHIHU

&KDSWHU  0XOWLSOH FRQWH[WV RI IDFH



HQFH WR VRPH SHUVRQ REMHFW RU SODFH QXOOLILHV WKH IDFHWKUHDWHQLQJ HIIHFW RI DQ DFWLRQ SHUIRUPHG $ SRWHQWLDOO\ FULWLFDO FRPPHQW RQ RQH¶V RZQ SURSHUW\ GRHV QRWWKUHDWHQWKHVSHDNHU¶VIDFHDQGFDQEHLQWHUSUHWHGDVDFRPSODLQW([DPSOH E  RU DV D PHUH VWDWHPHQW RI IDFW ([DPSOH E  ([DPSOH  D  $OH JUXFKRW .XS VRELH SDQ ZUHV]FLH FRĞ QRZHJR ODXJKLQJ :KDW D EDQJHU