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Currently Listed

Guidance and Interpretive Materials

SubjectDateDocument
Annual Letters
  • 01.14.22
Blast Emails
  • 03.20.18
  • 08.18.17
  • 10.15.15
  • 02.05.15

Reporting Requirements

Summary Guide of Filing and Notice Requirements Applicable to NYSE American Listed Issuers

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.

ItemSection #Date to be Filed with or Submitted to the ExchangeEDGAR
Extension of the Expiration Date of Warrants105, 920At 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)106No later than 4:30 p.m. Eastern Time on the determination date of the warrants' settlement value.
 
Annual Corporate Governance Affirmation and CEO Certification801(a), 801(c)
Completed Affirmations and CEO Certifications must be submitted within 30 days of your annual meeting.
 
Interim Corporate Governance Affirmation801(c)Submit within five business days after any triggering event specified on the interim affirmation form.
 
Listing of Additional Shares Application and Supporting Documentation301-331At least two weeks prior to intended share issuance date.
 
Allotment of Subscription Rights340Promptly (following effective date of the 1933 Act Registration Statement).
 
Cancellation Notice350
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 protected].
 
Dividend Notification502, 503, 504
At least ten days in advance of record date is required. Notice must be emailed promptly to [email protected].
 
Change in Accountants603Promptly (prior to filing Form 8-K).
 
Defaults604Immediately.
 
Annual Report (1934 Act)610, 611, 701When distributed to shareholders.X
Quarterly Reports and Other Mailings623When 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 protected].
 
Shareholders’ Meeting Notification701, 703
At least ten days in advance of shareholders’ meeting is required. Notice must be emailed promptly to [email protected].
 
Preclusion of Annual Meeting704Promptly; see above.
 
Non-Compliance with Corporate Governance Listing Standards810(b)Promptly.
 
Change in Form or Nature of Securities920(a)
At least 10 days advance notice of the change is required. Notice must be emailed promptly to [email protected].
 
Change in General Character of Business920(b)Promptly.
 
Change in Officers and Directors921Promptly.
 
Material Disposition of Property or Stock922Promptly.
 
Change in Collateral923Promptly.
 
Deposit of Stock924Promptly.
 
Knowledge of Actual or Proposed Deposit of Stock924Immediately.
 
Change of Name930
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 [email protected].
 
Change in Par Value940
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 protected].
 
Listing Additional Shares

EFFECTIVE APRIL 1, 2019

For a NYSE American issuer to issue additional shares or effective certain other corporate changes, it must seek NYSE authorization and file an Additional Listing Application. NYSE American Additional Listing Applications can be submitted electronically through Listing Manager, the NYSE’s fully integrated web application. Additional information about Listing Manager such as FAQs and training videos can be found here. If you have questions or concerns about Listing Manager, please contact us at [email protected] or +1 212 656 4651.

If unable to make the submission through Listing Manager, as an alternative, the NYSE American Additional Listing Application provided below may be submitted via email to the Continued Listing Analyst assigned to the Issuer. Questions relating to Additional Listing Applications, Analyst assignments, or NYSE American shareholder approval rules may be directed to +1 212 656 5846.

The below NYSE American Additional Listing Application form is interactive. The form must be saved to a local desktop drive before the work completed within the forms can be saved.

Please also refer to the appendices to the Additional Listing Application, some of which could be required to be submitted with an Additional Listing Application:

AppendicesDescription
  • Application
  • A
  • B
  • C
  • D

There are four basic steps in the additional listing process:

  1. 1A company decides to issue additional shares of a listed security.
  2. The company submits an Additional Listing Application —signed by an officer—along with supporting documentation and exhibits to the assigned corporate compliance analyst via email. Please call +1 212 656 5846 if the assigned corporate compliance analyst is not known.
  3. NYSE American reviews and, if necessary, comments on the Additional Listing Application. Please allow one to two weeks to complete the approval process.
  4. NYSE American approves the Additional Listing Application.

Some transactions require the company to file an additional or substitution listing application, including:

  • Private Placement
  • Acquisition/Merger
  • Secondary Public Offering
  • Exchange Offer
  • Debt Restructuring
  • Stock Split
  • Stock Option Plan
  • Reverse Stock Split
  • Re-Incorporation
  • Reorganization
  • Change in Par Value