Summary Guide of Filing and Notice Requirements Applicable to NYSE American Listed Issuers
Current As Of February 15, 2013
Electronic submission of material to the SEC through EDGAR satisfies the Exchange's filing requirement. An "X" in the EDGAR column indicates material that can currently be submitted to the SEC through EDGAR. In the event that material to be filed within or submitted to the Exchange is not also submitted to the SEC via EDGAR, issuers must submit three (3) copies of such material to the Exchange. In connection with each item to be filed with or submitted to the Exchange, please consult the referenced section number in the NYSE American Company Guide. For additional guidance, issuers may contact their assigned corporate compliance analyst.
|ITEM||SECTION #||DATE TO BE FILED WITH OR SUBMITTED TO THE EXCHANGE||EDGAR|
|Extension of the Expiration Date of Warrants||105, 920||At least two months, but in no event less than 20 days, in advance of the extension.|
|Change in Number of Warrants Outstanding (for which Securities Traded Primarily in the U.S represents 25% or More of the Value of the Underlying Index)||106||No later than 4:30 p.m. Eastern Time on the determination date of the warrants' settlement value.|
|Annual Corporate Governance Affirmation and CEO Certification||801(a), 801(c)||Completed Affirmations and CEO Certifications must be submitted within 30 days of your annual meeting.
|Interim Corporate Governance Affirmation||801(c)||Submit within five business days after any triggering event specified on the interim affirmation form.|
|Listing of Additional Shares Application and Supporting Documentation||301-331||At least two weeks prior to intended share issuance date.|
|Allotment of Subscription Rights||340||Promptly (following effective date of the 1933 Act Registration Statement).|
|Cancellation Notice||350||When determination is made to cancel the listing authority.|
|Press Releases on Material Corporate Developments||401, 402, 623,
920(a), 922, 923
|Immediately. Call the Market Watch Group at 877.NYX.ALRT (+1 877 699 2578 or +1 212 656 5414) and email a copy of the press release to email@example.com.|
|Dividend Notification||502, 503, 504||At least ten days in advance of record date is required. Notice must be emailed promptly to firstname.lastname@example.org.|
|Change in Accountants||603||Promptly (prior to filing Form 8-K).|
|Annual Report (1934 Act)||610, 611, 701||When distributed to shareholders.||X|
|Quarterly Reports and Other Mailings||623||When mailed to shareholders.|
|Proxy Statement, Forms of Proxy and Other Soliciting Materials (1934 Act)||701||3 copies must be provided to the Exchange when distributed to shareholders (at least 20 days in advance of the shareholders' meeting), unless otherwise filed electronically with the SEC.||X|
|Establishment of Record Date for a Dividend or Annual / Special Shareholder Meeting.||703||At least ten days in advance of record date is required. Notice must be emailed promptly to email@example.com.|
|Shareholders’ Meeting Notification||701, 703||At least ten days in advance of shareholders’ meeting is required. Notice must be emailed promptly to firstname.lastname@example.org.|
|Preclusion of Annual Meeting||704||Promptly; see above.|
|Non-Compliance with Corporate Governance Listing Standards||810(b)||Promptly.|
|Change in Form or Nature of Securities||920(a)||At least 10 days advance notice of the change is required. Notice must be emailed promptly to email@example.com.|
|Change in General Character of Business||920(b)||Promptly.|
|Change in Officers and Directors||921||Promptly.|
|Material Disposition of Property or Stock||922||Promptly.|
|Change in Collateral||923||Promptly.|
|Deposit of Stock||924||Promptly.|
|Knowledge of Actual or Proposed Deposit of Stock||924||Immediately.|
|Change of Name||930||At least 10 days advance notice of the proposed filing date of the charter amendment; and immediately upon filing the charter amendment. Notice must be emailed promptly to firstname.lastname@example.org.|
|Change in Par Value||940||At least 10 days advance notice of the proposed filing date of the charter amendment; and immediately upon filing the charter amendment. Notice should be emailed to email@example.com.|
Effective February 4, 2015
The Section 810 written affirmations can be submitted electronically via email to NYSEAmericanCorpGov@nyse.com. Questions can be directed to +1 212 656 4542.
The below NYSE American Written Affirmations and CEO Certification forms are interactive. The forms must be saved to a local desktop drive before the work completed within the forms can be saved.
Please refer to the 2.5.15 Corporate Governance: Certification Requirements for more information.
|Foreign Private Issuers|
|Open- and Closed-End Funds|
For a NYSE American company to issue additional shares, companies must seek NYSE authorization and file an Application for Listing of Additional Shares ("LAS").
Please also refer to the appendices to the LAS, some of which could be required to be submitted with an LAS:
There are four basic steps in the additional listing process:
Some transactions require the company to file an additional or substitution listing application, including:
To meet stockholder approval requirements (for example, Section 712 and 713 of the NYSE American Company Guide), NYSE American staff may aggregate two or more transactions when they constitute one larger transaction. Each aggregation scenario will undergo an individual "facts and circumstances" analysis, during which the following factors are considered:
For questions regarding the listing of additional shares on the NYSE American, please call +1 212 656 5846