new york stock exchange checklist for supporting documents ... · new york stock exchange checklist...
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NEWYORKSTOCKEXCHANGE
ChecklistforSupportingDocumentsRequiredfor
OriginalListingApplication
ThisisachecklistforcompaniesthatwouldliketolistsecuritiesontheNYSE(the“Exchange”).PleasenotethatpriortosubmittingthefollowingdocumentstotheExchange,thecompanywillhavebeenclearedtofileanoriginallistingapplication.DocumentsRequiredforAuthorizationtoList� DraftOriginalListingApplication� Confirmationcompanymeetsshareholderrequirements� Responsetoclearanceletter� Letterfromtheunderwritersundertakingthatthecompanywillcomplywithapplicablequantitativelisting
standards(whenlistinginconjunctionwithaninitialpublicoffering)� ListingAgreementexecutedbyanexecutiveofficer� DepositaryListingAgreement(forforeignprivateissuerslistingAmericanDepositaryReceipts)� DraftDepositaryAgreement(forforeignprivateissuerslistingAmericanDepositaryReceipts)� Section315Letter� DraftForm8-A� Copyofcharter� Copyofbylaws� CopyofBoardresolutionsauthorizing:
(i) applicationtolistsecuritiesontheExchange;(ii) issuanceofanyunissuedsecurities(e.g.,optionplans,sharestobeissueduponconversionetc.)for
whichthelistingapplicationismade;and(iii) appointmentofthetransferagent/registrar,ifany.
� Copyofshareholderresolutionsauthorizingissuance(ifcorporateprocedurerequiressuchaction)ofanyunissuedsecurities(e.g.,optionplans,sharestobeissueduponconversion,etc.)forwhichlistingapplicationismade
� CopyofSpecimenCertificate(ifany)� PublicAuthorityCertificate--Acopyofthecertificateororderofanypublicauthorityhavingjurisdiction
overthecompanyinthematterofapprovingorauthorizingissuanceofanyunissuedsecuritiesproposedforlisting.(ifapplicable)
� AdjustmentstoHistoricalFinancialData--Ifnecessarytodemonstratecompliancewithfinanciallistingstandards
� Copyofgoodstandingcertificatefromjurisdictionofincorporation(ifnoExhibit5opinionshavebeenfiledwiththeSECinthepreceding12months)
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� InitialWrittenAffirmation(exceptforcompanieslistinginconjunctionwithaninitialpublicoffering,whomustprovideitpriortolisting)
� Opinionofhomecountrycounsel(forforeignprivateissuers)DocumentsRequiredPriortoListing� ConfirmationletterfromCUSIPBureau(whenlistinginconjunctionwithaninitialpublicoffering)� InitialWrittenAffirmation� Form8-AmustbefiledwithSecuritiesandExchangeCommissionDocumentstobeProvidedafterListing*� TwocopiesoffinalOriginalListingApplicationsignedbyanexecutiveofficer� FinalexecutedcopyofDepositoryListingAgreement(forforeignprivateissuerslistingAmerican
DepositaryReceipts(“ADRs”))� AdditionalinformationasrequestedbytheExchange*Finaldocumentationshouldbeprovidedpromptlyaftertheexerciseinfulloftheover-allotmentoptionor–iflistinginconjunctionwithaninitialpublicoffering--theexpirationoftheover-allotmentoption.
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�Draft �Final
NEWYORKSTOCKEXCHANGEORIGINALLISTINGAPPLICATION
FOREQUITYSECURITIES
PartI:CorporateInformationA.GeneralCorporateInformationCompleteLegalCorporateName:
AddressofPrincipalExecutiveOffices:
_________________________________________________
CompanyTelephoneNo.:
ContactNameandTitle:
ContactTelephoneNo.: ContactEmail:
StateandCountryofIncorporation: DateofIncorporation:
EDGARCIKNo.: SEC‘34ActFileNo.:
ForeignPrivateIssuer(yes/no): DRSEligible(yes/no):
Websiteaddress: SICCode:
CUSIPNo.ofSecurity(s)BeingListed:
DateofFiscalYearEnd:
B.CorporateContacts
Pleaselistthefullname,fulltitle(ifdifferentfromthatindicated),address(ifdifferentfromprincipaladdressabove),telephonenumberandemailaddressofthefollowingindividual(s):
ChiefExecutiveOfficer
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ChiefFinancialOfficerCorporateSecretaryGeneralCounselInvestorRelationsOfficerOtherDesignatedContact
PartII:SecurityInformation
A.Security(s)whichtheApplicantIssuerisapplyingtolist(includingpar/statedvalue,warrantexpirationdate,maturitydate,etc.):
SecurityClass/Type
IssueDescription(incl.parvalue)
SharesOutstandingor
Offered
TotalSharesUnissued,butReservedforissuance*
*Asof__________(date),thefollowingnumberofsharesareunissued,buthavebeenauthorizedforissuancebytheApplicantIssuer’sgoverningbodyforthepurposesnoted:
Date
AuthorizedPurposeofSharestobeIssued Numberof
SharesAuthorized
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*PleasenotethatNYSE’srulesrequirethat,atsuchdateinthefuturethatanycurrentlyunissuedbutauthorizedsecuritiesareissued,theApplicantIssuermustfileasupplementallistingapplicationtolistsuchsecuritiesontheapplicableexchange.
Recorddateofthemostrecentdividendpaidwithrespecttotheshares:_____________________
Paymentdateofthemostrecentdividendpaidwithrespecttotheshares:_____________________
Amountpershareofthemostrecentdividendpaidwithrespecttotheshares:
_____________________
Arethereanydeclaredbutunpaiddividendswithrespecttotheshares:_____________________
Whatistherecorddateforanysuchunpaiddividend:
_____________________
Whatisthepaymentdateofanysuchunpaiddividend:
_____________________
Whatistheamountpershareofanysuchunpaiddividend:
_____________________
Provideadescriptionofanyoutstandingrightstosubscribetosecurities:
_____________________
Ifarecorddateistobesetinthenearfutureforanypurpose,pleaseprovidetheanticipateddateoftherecorddateandthereasontherecorddateisbeingestablished._____________________
B.TransferAgent/Registrar:
Name: Address: PhoneNo.: FacsimileNo.: Email:
C. IflistingAmericanDepositaryShares,pleaseprovidethefollowinginformationwithrespecttotheDepositaryBank:Name:
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Address: PhoneNo.: Email:
D. OutsideCounselContactwithRespecttoListingApplication,ifany:
NameofContactPerson:
FirmName:
Address:
PhoneNo.: Email:
E.SecurityPreferences
IftheApplicantIssuerhasanyexistingclassofcommonstockorequitysecurityentitlingtheholder(s)todifferentialvotingrights,dividendpayments,orotherpreferences,pleaseprovideacompletedescriptionofsuchpreference(s):
PartIII:TypeofListing
A.ListinginConnectionwithanIssuanceofSecurities
Pleaseindicatethetypeoftransaction:
�InitialPublicOffering �Merger �Spin-off
�FollowOnOffering �Reorganization �ExchangeOffer �
Conversion �Other(pleasespecify):
Ifspin-off,pleaseprovidenameofparententity:
Willthesecurity(s)tobelistedtradeona“whenissued”basis?Yes�No�
Expectedclosingdateofthetransaction:
Expectedlistingdate:
InvestmentBanker/FinancialAdvisorContact(s),ifany
NameofContactPerson:
FirmName: ______
Address:
PhoneNo.: Email: ________________________
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B.ListinginConnectionwithaTransferorQuotation
Nameofcurrenttradingmarket,ifany:
Currenttickersymbol,ifany:
PartIV:AdditionalInformation
A.ExchangeRequirementsforListingConsideration
Tobeconsideredforlisting,theApplicantIssuermustmeettheExchange’sminimumlistingrequirements.TheExchangehasbroaddiscretionregardingthelistingofanysecurity.Thus,theExchangemaydenylistingorapplyadditionalormorestringentcriteriabasedonanyevent,condition,orcircumstancethatmakesthelistingofanApplicantIssuer’ssecurityinadvisableorunwarrantedintheopinionoftheExchange.SuchdeterminationcanbemadeeveniftheApplicantIssuermeetstheExchange’slistingstandards.Inconnectionwiththereviewofanylistingapplication,theExchangereservestherighttorequestsuchadditionalpublicornon-publicinformationordocumentationasitmaydeemnecessaryandappropriatetomakeadeterminationregardingthelistingeligibilityoftheApplicantIssuer’ssecurity,including,butnotlimitedto,anymaterialprovidedtoorreceivedfromtheSecuritiesandExchangeCommissionorotherappropriateregulatoryauthority.B.RegulatoryReview
TheApplicantIssuermustprovidetheExchangewithalettersignedbyanexecutiveofficerofthecompany,certifyingthat,tothecompany'sknowledge,noofficer*,boardmember,ornon-institutionalshareholderwithgreaterthan10%ownershipofthecompanyhasbeenconvictedofafelonyormisdemeanorrelatingtofinancialissues(e.g.,embezzlement,fraud,theft)duringthepasttenyears.Totheextentthatanofficer,boardmember,ornon-institutionalshareholderwithgreaterthan10%ownershipofthecompanyhasbeensoconvicted,provideadetaileddescriptionofallsuchmatters.Inadditiontoreviewingthisletter,theExchangewillreviewbackgroundmaterialsavailabletoitregardingtheaforementionedindividualsaspartoftheeligibilityreviewprocess.*AssuchtermisdefinedinRule16a-1(f)undertheSecuritiesExchangeActof1934,oranysuccessorrule.
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PartVI:Attestation
I,_______________________________,as__________________________________NameofAuthorizedExecutiveOfficerTitleofAuthorizedExecutiveOfficer______________________________________________________,dohereby FullNameofCompanyattestthat,atthetimeofthefilingofthisapplication,theApplicantIssuerisdeemedtohavereadandunderstoodtheExchange’slistingandcorporategovernancerulesandrequirementsand,ifapprovedforlisting,intendstocomplywithallapplicablelistingandcorporategovernancerulesandrequirementsonanongoingbasis.Further,Icertifythattothebestofmyknowledgeandbelief,theinformationcontainedwithinthisapplicationandanymaterialsprovidedtotheExchangeinsupportofthisapplicationaretrueandcorrect.
SignatureofAuthorizedExecutiveOfficer
Date
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NEWYORKSTOCKEXCHANGELISTINGAGREEMENTFORDOMESTICCOMPANY
EQUITYSECURITIES
Theundersigned,beingadulyauthorizedofficerof:
FullLegalCorporateNameoftheApplicantIssuer
doesherebycertifythatthisagreementismadepursuanttoaresolution(s)adoptedbytheApplicantIssuer’sgoverningbodytolistontheNewYorkStockExchange(the“Exchange”),
(TitleofSecurity) (ParValue)
1. TheApplicantIssuercertifiesthatitunderstandsandagreestocomplywithallcurrentandfuturerules,listingstandards,proceduresandpoliciesoftheExchangeastheymaybeamendedfromtimetotime.2. TheApplicantIssueragreestopromptlynotifytheExchangeinwritingofanycorporateactionorothereventwhichwillcausetheApplicantIssuertoceasetobeincompliancewithExchangelistingrequirements.
3. TheApplicantIssueragreestolistontheExchangeallsubsequentamountsofthesecurity(s)tobelistedwhichmaybeissuedorauthorizedforissuance.4. TheApplicantIssueragreestofurnishtotheExchangeondemandsuchinformationconcerningtheApplicantIssuerastheExchangemayreasonablyrequest.5. ForpurposesofpublicityrelatedtotheApplicantIssuer’slistingontheExchange,theApplicantIssuerauthorizestheExchangetousetheApplicantIssuer’scorporatelogos,websiteaddress,tradenames,andtrade/servicemarksinordertoconveyquotationinformation,transactionalreportinginformationandanyotherinformationrelatedtotheApplicantIssuer’slistingontheExchange.6. TheApplicantIssuerindemnifiestheExchangeandholdsitharmlessfromanythirdpartyrightsand/orclaimsarisingoutoftheExchange’soranyaffiliate’suseoftheApplicantIssuer’scorporatelogos,websiteaddress,tradenames,trade/servicemarksand/orthetradingsymbolusedbytheApplicantIssuer.7. TheApplicantIssuerwillmaintainatransferagentandaregistrar,asnecessary,whichsatisfytheapplicablerequirementssetforthinSection601.00oftheManualetseq.
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8. TheApplicantIssueragreestopaywhendueallfeesassociatedwithitslistingofsecuritiesontheExchange,inaccordancewiththeExchange’srules.9. TheApplicantIssueragreestofileallrequiredperiodicfinancialreportswiththeSEC,includingannualreportsand,whereapplicable,quarterlyorsemi-annualreports,bytheduedatesestablishedbytheSEC.10. TheApplicantIssueragreestocomplywithallrequirementsunderthefederalsecuritieslawsandapplicableSECrules.11. NothingcontainedinorinferredfromthelistingagreementshallbeconstruedasconstitutingtheApplicantIssuer’scontractforthecontinuedlistingoftheApplicantIssuer’ssecuritiesontheExchange.TheApplicantIssuerunderstandsthattheExchangemay,consistentwithapplicablelawsandSECrules,suspenditssecuritiesandcommencedelistingproceedingswithorwithoutpriornoticetotheApplicantIssuer,uponfailureoftheApplicantIssuertocomplywithanyoneormoresectionsofthelistingagreement,orwheninitssolediscretion,theExchangeshalldeterminethatsuchsuspensionofdealingsanddelistingisinthepublicinterestorotherwisewarranted.
Onthis_______dayof_____________,____________________________(FullNameoftheApplicantIssuer)atteststhatitisinfullagreementwiththetermsandconditionscontainedherein,By ______________________Name:Title:
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NEWYORKSTOCKEXCHANGE
LISTINGAGREEMENTFORFOREIGNPRIVATEISSUEREQUITYSECURITIES
Theundersigned,beingadulyauthorizedofficerof:
FullLegalCorporateNameoftheApplicantIssuerdoesherebycertifythatthisagreementismadepursuanttoaresolution(s)adoptedbytheApplicantIssuer’sgoverningbodytolistontheNewYorkStockExchange(the“Exchange”),
(TitleofSecurity) (ParValue)
1. TheApplicantIssuercertifiesthatitunderstandsandagreestocomplywithallcurrentandfuturerules,listingstandards,proceduresandpoliciesoftheExchangeastheymaybeamendedfromtimetotime.2. TheApplicantIssueragreestopromptlynotifytheExchangeinwritingofanycorporateactionorothereventwhichwillcausetheApplicantIssuertoceasetobeincompliancewithExchangelistingrequirements.
3. TheApplicantIssueragreestolistontheExchangeallsubsequentamountsofthesecurity(s)tobelistedwhichmaybeissuedorauthorizedforissuance.
4. TheApplicantIssueragreestofurnishtotheExchangeondemandsuchinformationconcerningtheApplicantIssuerastheExchangemayreasonablyrequest.5. ForpurposesofpublicityrelatedtotheApplicantIssuer’slistingontheExchange,theApplicantIssuerauthorizestheExchangetousetheApplicantIssuer’scorporatelogos,websiteaddress,tradenames,andtrade/servicemarksinordertoconveyquotationinformation,transactionalreportinginformationandanyotherinformationrelatedtotheApplicantIssuer’slistingontheExchange.6. TheApplicantIssuerindemnifiestheExchangeandholdsitharmlessfromanythirdpartyrightsand/orclaimsarisingoutoftheExchange’soranyaffiliate’suseoftheApplicantIssuer’scorporatelogos,websiteaddress,tradenames,trade/servicemarksand/orthetradingsymbolusedbytheApplicantIssuer.7. TheApplicantIssuerwillmaintainatransferagentandaregistrar,asnecessary,whichsatisfytheapplicablerequirementssetforthinSection601.00oftheManualetseq.
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8. TheApplicantIssueragreestopaywhendueallfeesassociatedwithitslistingofsecuritiesontheExchange,inaccordancewiththeExchange’srules.9. TheApplicantIssueragreestofileallrequiredperiodicfinancialreportswiththeSEC,includingannualreportsand,whereapplicable,quarterlyorsemi-annualreports,bytheduedatesestablishedbytheSEC.
10. TheApplicantIssueragreestocomplywithallrequirementsunderthefederalsecuritieslawsandapplicableSECrules.11. TheApplicantIssueragreestosolicitproxiesfromU.S.holdersforallmeetingsofstockholders.
12. NothingcontainedinorinferredfromthelistingagreementshallbeconstruedasconstitutingtheApplicantIssuer’scontractforthecontinuedlistingoftheApplicantIssuer’ssecuritiesontheExchange.TheApplicantIssuerunderstandsthattheExchangemay,consistentwithapplicablelawsandSECrules,suspenditssecuritiesandcommencedelistingproceedingswithorwithoutpriornoticetotheApplicantIssuer,uponfailureoftheApplicantIssuertocomplywithanyoneormoresectionsofthelistingagreement,orwheninitssolediscretion,theExchangeshalldeterminethatsuchsuspensionofdealingsanddelistingisinthepublicinterestorotherwisewarranted.13. IftheCorporationislistingAmericanDepositaryReceipts,intheeventthatasuccessorDepositaryoranadditionalDepositaryisnamed,theCorporationagreesthatitwillnotappointanypersonassuchsuccessorDepositaryoradditionalDepositaryunlesssuchpersonshallhaveenteredintoalistingagreementwiththeExchangeinaformsubstantiallysimilartotheagreementrelatingto__________between__________,andtheExchange.
Onthis_______dayof_____________,____________________________(FullNameoftheApplicantIssuer)atteststhatitisinfullagreementwiththetermsandconditionscontainedherein,By __________________Name:Title:
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NEWYORKSTOCKEXCHANGELISTINGAGREEMENTFOR
DEPOSITARYOFAFOREIGNPRIVATEISSUER
NothinginthefollowingAgreementshallbesoconstruedastorequiretheDepositarytodoanyactsincontraventionoflaworinviolationofanyruleorregulationofanypublicauthorityexercisingjurisdictionovertheDepositary.
__________(hereinaftercalledthe"Depositary"),asDepositaryundertheDepositAgreement,datedasof__________(hereinaftercalledthe"DepositAgreement"),with__________(hereinaftercalledthe"Corporation"),solongasitshallbetheDepositarythereunderandsubjecttothetermsandconditionsofsaidDepositAgreement,inconsiderationoftheacceptancebyNewYorkStockExchangeLLC(hereinaftercalledthe"Exchange"),oftheDepositaryasqualifiedDepositary,andonthebasisthattheCorporationwillexecuteanddeliveranAgreementtotheExchangeagreeingtothelistingof__________(assuchtermisdefinedintheDepositAgreement),evidencedby__________herebyagreeswiththeExchangeasfollows:
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1.TheDepositarywillreporttotheExchange,withintendaysafterthecloseofafiscalquarter,intheeventanypreviouslyissued__________oftheCorporationlistedontheExchangehavebeenreacquiredordisposedof,directlyorindirectly,fortheaccountoftheCorporationduringsuchfiscalquarter,suchreportshowingseparatetotalsforacquisitionsanddispositionsandthenumberof__________soheldbytheCorporationattheendofsuchquarter.
2.TheDepositarywillpromptlynotifytheExchangeofanycorporateactionwhichwillresultinthecancellation,inwholeorinpart,ofanyofthe__________listedontheExchange,andwillnotifytheExchangeassoonastheDepositaryhasnoticeofanyotheractionwhichwillresultinanysuchcancellation.
3.TheDepositarywillnotmakeanychangeintheformornatureofany__________listedontheExchange,norintherightsorprivilegesoftheholdersthereof,withouthavinggiventwentydays'priornoticetotheExchangeoftheproposedchange,andhavingmadeapplicationforthelistingofthe__________aschangediftheExchangeshallsorequire.
4.TheDepositarywillmakeavailabletotheExchange,uponrequest,thenamesofmemberfirmsoftheExchangewhicharerecordholdersof__________oftheCorporationlistedontheExchangeifatanytimetheneedforsuch__________forloaningpurposesontheExchangeshoulddevelop,andinaddition,iffoundnecessary,willuseitsbesteffortswithanyknownlargerecordholderstomakereasonableamountsofsuch__________availableforsuchpurposesinaccordancewiththerulesoftheExchange.
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II
1.TheDepositarywillmaintaininaccordancewiththerequirementsoftheExchange:
a.Anofficeoragencywhere
(1)All__________oftheCorporationlistedontheExchangeshallbetransferable.
(2)Checksfordividendsandotherpaymentswithrespectto__________listedontheExchangemaybepresentedforimmediatepayment.
(3)A__________listedontheExchangewhichisconvertibleintoCommonStockwillbeacceptedforconversion.
IfthetransferbooksoftheDepositoryfor__________oftheCorporationlistedontheExchangeshouldbeclosedpermanently,theDepositarywillcontinuetosplitup__________forsuch__________into__________ofsmallerdenominationsinthesamenamesolongassuch__________continuetobedealtinontheExchange.
b.Aregistrarwhere__________oftheCorporationlistedontheExchangeshallberegisterable.Suchregistrarshallbeabankortrustcompanynotactingastransferagentforthe__________
2.TheDepositarywillissuenew__________for__________listedontheExchangereplacinglostonesforthwithuponnotificationoflossandreceiptofproperindemnity.
___________________,asDepositaryBy:Date:
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NEWYORKSTOCKEXCHANGELISTINGAGREEMENTFORVOTINGTRUSTS
TheundersignedVotingTrustees(the"Trustees"),inconsiderationofthelistingofthevotingtrustcertificatescoveredbytheaccompanyingapplication(thevotingtrustcertificates),agreewiththeNewYorkStockExchange(the"Exchange")asfollows:
1.Thetrusteeswillmaintain,inaccordancewiththerequirementsoftheExchange:
a.Anofficeoragencywhere
(1)Thevotingtrustcertificatesshallbetransferable.
(2)Checksfordividendsandotherpaymentswithrespecttothevotingtrustcertificatesmaybepresentedforimmediatepayment.
(3)Thevotingtrustcertificatesifconvertiblewillbeacceptedforconversion.
Ifthetransferbookforthevotingtrustcertificatesshouldbeclosedpermanently,thetrusteeswillcontinuetosplitupvotingtrustcertificatesintocertificatesofsmallerdenominationsinthesamenamesolongasthevotingtrustcertificatescontinuetobedealtinontheExchange.
b.Aregistrarwherethevotingtrustcertificatesshallberegisterable.Suchregistrarshallbeanorganizationnotactingastransferagentforthevotingtrustcertificates.
2.Thetrusteeswillnotappointatransferagentorregistrarof,noraDepositarywithrespectto,thevotingtrustcertificateswithoutpriornoticetotheExchange,andthetrusteeswillnotappointaregistrarforthevotingtrustcertificatesunlesssuchregistrar,atthetimeofitsappointmentbecomingeffective,isqualifiedwiththeExchangeasaregistrarforsecuritieslistedontheExchange;norwillthetrusteesselectanofficerordirectoroftheCorporationwhosesecuritiesarecoveredbythevotingtrustcertificatesasatrusteeunderamortgageorotherinstrumentrelatingtoasecurityoftheCorporationlistedontheExchange.
3.Thetrusteeswillhaveonhandatalltimesasufficientsupplyofcertificatestomeetthedemandsfortransfer.IfatanytimethevotingtrustcertificatesdonotrecitethepreferencesofallclassesofstockoftheCorporationwhosesecuritiesarecoveredbythevotingtrustcertificates,thetrusteeswillfurnishtoholdersofthevotingtrustcertificates,uponrequestandwithoutcharge,aprintedcopyofsuchpreferences.
4.ThetrusteeswillpublishimmediatelytotheholdersofanyofthevotingtrustcertificatesanyactiontakenbythemwithrespecttodividendsortotheallotmentofrightstosubscribeortoanyrightsorbenefitspertainingtotheownershipofthevotingtrustcertificatesandwillgivepromptnoticetotheExchangeofanysuchaction;andwillaffordtheholdersofthevotingtrustcertificatesaproperperiodwithinwhichtorecord
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theirinterestsandtoexercisetheirrights;andwillissueallsuchrightsorbenefitsinformapprovedbytheExchange.
5.Thetrusteeswillnotmakeanychangeintheformornatureofanyofthevotingtrustcertificatesnorintherightsorprivilegesoftheholdersthereof,withouthavinggiventwentydays'priornoticetotheExchangeoftheproposedchange,andhavingmadeapplicationforthelistingofthevotingtrustcertificatesaschangediftheExchangeshallsorequire.
6.ThetrusteeswillmakeapplicationtotheExchangeforthelistingofadditionalamountsofvotingtrustcertificatessufficientlypriortotheissuancethereoftopermitactioninduecourseuponsuchapplication.
7.ThetrusteeswillnotifytheExchangeinadvanceofanyextensionofthevotingtrustagreementandwillmakesuchapplicationtotheExchangeasmayberequired(ifany)forthelistingoftheextendedvotingtrustcertificatessufficientlypriortotheextensionofthevotingtrustagreementtopermitactioninduecourseuponsuchapplication.
8.ThetrusteeswillpromptlynotifytheExchangeofactiontakentofixarecorddateforholdersofvotingtrustcertificates,ortoclosethetransferbooks,foranypurpose,andwilltakesuchactionatsuchtimeaswillpermitgivingtheExchangeatleasttendays'noticeinadvanceofsuchrecorddateorclosingofthebooks.
By_____________________
Date___________________
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DesignatedMarketMakerSelection
InaccordancewiththeNYSE/NYSEMKTPolicy/ProceduresforSelectingaDesignatedMarketMaker(“DMM”),wehaveinterviewedeachDMMfromthepoolwepreviouslychoseandhaveselected tomaintainthemarketintheCompany’ssharesonthe[NYSE/NYSEMKT](chooseone).
Signature(CorporateSecretaryorhigher) Date
Title
Company*ThisformistobesubmittedtotheExchangestaffwithintwobusinessdaysafterDMMInterviewshavebeencompleted.IftradingoftheCompany’ssharesistooccurthesameweekastheDMMInterviews,theCompanymustsubmitthisdecisionformonthedaypriortotrading,atthelatest.
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NEWYORKSTOCKEXCHANGEFORJAPANESECOMPANIES—
FREESHAREDISTRIBUTIONUNDERSTANDING
TheCompanyhas,inpastyears,increaseditsdividendpayoutinaprudentrelationshiptoearningsgrowthandassurestheNewYorkStockExchangethatithasnointentionofincreasingitsexpectedfuturedividendrequirementcontrarytothispolicy.
TheCompanyacknowledgesthatincreasesinitsdividendpayoutwillresultfromraisingthedividendpaidpershare,issuingnewsharesasaresultofstockofferings,issuingnewsharesonconversionofconvertibledebenturesandmakingfreesharedistributions.Incontinuingtomakeprudentincreasesinitsdividendpayout,thestabilityofpastearningsandmanagement'sestimateoffutureearningstrendswillbetakenintoaccountwhenthedividendpayoutistobeincreasedbyanyofthesemethods.
FreesharedistributionsaremorefrequentlyusedinJapanasamethodofincreasingdividendpayoutthanstockdividendsareusedforthispurposeintheUnitedStatesforreasonsthatareuniquetoJapanesefinancialpractice.ShouldJapanesefinancialpracticeinthisregardmovecloser,inthefuture,toUnitedStatespractice,oneoftheimportantreasonsfortherelativelyfrequentfreesharedistributionsinJapanbymanyleadingJapanesecompanieswilldiminishinimportance.TheCompanywilltakesuchachangeinpracticeintoconsiderationinestablishingitsownfuturefreesharedistributionpolicy.
AnothermajorreasonforrelativelyfrequentpaymentoffreesharedistributionsinJapaninrecentyearshasbeentheofficiallyapprovedpolicyof"payingbackthepremium"incurredinmarketpricestockofferingsandonconversionofconvertibledebentures.TheCompanyhasdiscussedthisrecentpracticewiththeNewYorkStockExchangeandagreesthatifthispracticeceasestobeencouragedbyfinancialandgovernmentcirclesinthefuture,theCompanywilltakesuchachangeintoconsiderationinregardtoitsownfreesharedistributionpolicy.
AmeasureoftheprudenceoffuturedeclarationsoffreesharedistributionsbytheCompanyastheyrelatetotheincreaseddividendrequirementtherebycreatedwillbethedemonstratedearningsgrowthoveraperiodoftime,generallyfiveyears.TheNewYorkStockExchangeandtheCompanyrecognizethatitisnotpracticabletoestablishasimplestatisticalguidelinethatwilltakeintoaccountallthepossiblefutureconsiderationswhichmightbearonthereasonablenessofthedeclarationofafuturefreesharedistribution.WhenevertheCompanyhasunderconsiderationthedeclarationofafreesharedistributionwhichmayexceeddemonstratedearningsgrowthoveraperiodoftime,theCompanywilldiscussitsplanwiththeNewYorkStockExchangepriortoanyfirmdecisiontodeclaresuchafreesharedistribution.ThepurposeofsuchdiscussionwillbetoexplaintheCompany'sbusinessoutlookandthereasonablenessofdeclaringafreesharedistributionunderthethenexistingcircumstances.ShouldtheNewYorkStockExchangehavereservationsaboutthereasonablenessoftheCompany'sintendedfreesharedistribution,theCompany'smanagementwillseriouslyconsidersuchreservations.
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TheCompanyunderstandsthattheforegoingstatementsdonotapplytostockdividends,stocksplit-upsandfreesharedistributionsamountingto25%ormorebutlessthan100%whichunderpresentNewYorkStockExchangepolicy,arelimitedtotwowithinafive-yearperiod.Theselimitsdonotapplytostockdividends,stocksplit-upsandfreesharedistributionswhichincreaseby100%ormorethenumberofsharesoutstandingpriortosuchdistribution.
By_____________________
Date___________________
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SAMPLEDOCUMENTATIONSECURITIESANDEXCHANGECOMMISSION
Washington,D.C.20549
FORREGISTRATIONOFCERTAINCLASSESOFSECURITIESPUSUANTTOSECTION12(b)or(g)OFTHE
SECURITIESEXCHANGEACTOF1934……………………………………………..
(Exactnameofregistrantasspecifiedinitscharter)
……………………………………………..(JurisdictionofIncorporationorOrganization) (I.R.S.EmployerIdentificationNo.)
……………………………………………..(AddressofPrincipalExecutiveOffices) (ZipCode)
IfthisformrelatestotheregistrationofaclassofsecuritiespursuanttoSection12(b)oftheExchangeActandiseffectivepursuanttoGeneralInstructionA.(c),checkthefollowingbox.[X]IfthisformrelatestotheregistrationofaclassofsecuritiespursuanttoSection12(g)oftheExchangeActandiseffectivepursuanttoGeneralInstructionA.(d),checkthefollowingbox.[]SecuritiesActregistrationstatementfilenumbertowhichthisformrelates:(ifapplicable)SecuritiestoberegisteredpursuanttoSection12(b)oftheAct:
Titleofeachclasstobesoregistered
Nameofeachexchangeonwhicheachclassistoberegistered
OrdinaryShares,nominalvalue()pershare…………….NewYorkStockExchangeLLCAmericanDepositaryShares(asevidencedby)AmericanDepositaryReceiptrepresenting()OrdinaryShares……………NewYorkStockExchangeLLC
……………………………………………………
*Applicationtobemadeforlisting,notfortrading,inconnectionwiththeregistrationofAmericanDepositaryShares.
SecuritiestoberegisteredpursuanttoSection12(g)oftheAct:None
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Item1.DescriptionofRegistrant’sSecuritiestobeRegistered
FurnishtheinformationrequiredbyItem202ofRegulationS-KorItem202ofRegulationS-B,asapplicable.
Instruction
IfadescriptionofthesecuritiescomparabletothatrequiredhereiscontainedinanypriorfilingwiththeCommission,suchdescriptionmaybeincorporatedbyreferencetosuchotherfilinginanswertothisitem.IfsuchdescriptionwillbeincludedinaformofprospectussubsequentlyfiledbytheRegistrantpursuanttoRule424(b)undertheSecuritiesAct,thisregistrationstatementshallstatethatsuchprospectusshallbedeemedtobeincorporatedbyreferenceintotheregistrationstatement.Ifthesecuritiesaretoberegisteredonanationalsecuritiesexchangeandthedescriptionhasnotpreviouslybeenfiledwithsuchexchange,copiesofthedescriptionshallbefiledwithcopiesoftheapplicationfiledwiththeexchange.Item2.Exhibits.Listbelowallexhibitsfiledasapartoftheregistrationstatement:
Instruction
Seetheinstructionsastoexhibits,setforthbelow.
Signature
PursuanttotherequirementsofSection12oftheSecuritiesExchangeActof1934,theRegistranthasdulycausedthisregistrationstatementtobesignedonitsbehalfbytheundersigned,theretodulyauthorized.
(Registrant)…………………………………..
Date……………….………………………..
By……………………….………………….
*Printthenameandtitleofthesigningofficerunderhissignature.
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SAMPLEDOCUMENTATION
NEWYORKSTOCKEXCHANGESAMPLESECTION315LETTER
[LetterheadofCompanyCounsel]
DateNewYorkStockExchangeCapitalMarkets11WallStreet14thFloorNewYork,NewYork10005DearMr./Ms. [Iam][Weare]Counselto[insertnameofCompany](the“Company”).InconnectionwiththeCompany’slistingontheNewYorkStockExchange,[I][We]herebyconfirmthattotheCompany'sknowledge,noofficer,boardmember,ornon-institutionalshareholderwithgreaterthan10%ownershipofthecompanyhasbeenconvictedofafelonyormisdemeanorrelatingtofinancialissues(e.g.,embezzlement,fraud,theft)inthepasttenyears.Theterm“officer”intheforegoingsentenceisusedassuchtermisdefinedbytheSecuritiesandExchangeCommissioninRule16a-1(f)undertheSecuritiesExchangeActof1934,oranysuccessorrule.Sincerely,
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SAMPLEDOCUMENTATION
NEWYORKSTOCKEXCHANGE
SAMPLECORPORATERESOLUTIONS
ListingontheNewYorkStockExchangeWHEREAS,theCompany’scommonstock,______parvalue(the“CommonStock”iscurrentlylistedandtradingontheOver-the-CountermarketorNYSEMKTLLC(“OTC”or“NYSEMKT”);
WHEREAS,theBoardofDirectorsoftheCompanyhasdeterminedthatitisinthebestinterestsoftheCompanytolisttheCommonStockandcauseittobeadmittedtotradingontheNewYorkStockExchange(“NYSE”);
NOW,THEREFORE,BEITRESOLVED,thatallofficersoftheCompanybeandeachherebyisauthorizedanddirectedtotake,orcausetobetaken,allactionsnecessaryoradvisabletoeffectthelistingandtradingoftheCommonStockontheNYSE,includingthepreparation,executionandfilingofallnecessaryapplications,documents,formsandagreementswiththeNYSEandtheSecuritiesandExchangeCommission(the“SEC”),thepaymentbytheCompanyoffiling,listingorapplicationfees,thepreparationoftemporaryandpermanentcertificatesfortheCommonStock,andtheappearanceofanysuchofficerbeforeNYSEofficials;
RESOLVEDFURTHER,that,inordertoavoidthedirectandindirectcostsandthedivisionofthemarketresultingfromduallistingon_____andtheNYSE,allofficersoftheCompanybeandeachherebyisauthorizedanddirectedtotake,orcausetobetaken,allactionsnecessaryoradvisabletodelistandsuspendthetradingoftheCommonStockon_______upontheadmissionoftheCommonStocktotradingontheNYSE,includingthepreparation,executionanddeliveryofapplication,documents,formsandagreementswith______andtheSEC.
RESOLVEDFURTHER,thatthetransferagentandregistrarfortheCommonStockcontinuetobe____________________________________.
RESOLVEDFURTHER,thatallofficersoftheCompanybeandeachherebyisauthorizedfromtimetotimetodo,orcausetobedone,allsuchotheractsandthingsandtoexecuteanddeliverallsuchinstrumentsanddocuments,aseachsuchofficershalldeemnecessaryorappropriatetocausetheCompanytobecomelistedandadmittedtotradingontheNYSEand,uponsuchadmissiontotrading,tocausetheCompanytobedelistedon______andotherwisetocarryoutthepurposeandintentoftheforegoingresolutions.
RESOLVEDFURTHER,thatallactionstakenandexpensesincurredbyanyofficerordirectorheretoforeinfurtheranceofanyoftheactionsauthorizedbytheforegoingresolutionsherebyandexpresslyratified,confirmed,adoptedandapproved.