• From within the application, select one of the blue + buttons at the top of the page. When selected, one button will generate a new Corporate Governance Certification and the other button will generate a new Listing Agreement.
• From the My Forms Page, select one of the blue + buttons that appears next to the Application Record. When selected, one button will generate a new Corporate Governance Certification and the other button will generate a new Listing Agreement.

• From within the application, at the top of the page you will see two links, when selected, one link will go to the latest version of the Corporate Governance Certification and the other link will go to the latest version of the Listing Agreement.
• From the My Forms Page, select the > sign next to the Application. This will display the Certification and Listing Agreement records associated with the application. To update one or both of these forms, double click on the form type you would like to update.

Pursuant to Listing Rule 5250(e)(6) and SEC Rule 10b-17, the issuer of any class of securities listed on the Nasdaq Stock Market must notify Nasdaq no later than ten calendar days prior to the record date of a cash or non-cash dividend or other distribution.

The issuer must also provide public disclosure of the dividend action using a Regulation FD compliant method. Notice to Nasdaq should be given as soon as possible after declaration, and, in any event, no later than simultaneously with the public disclosure. Please note that appropriate notification of the public disclosure of material changes in dividends and other distributions must also be provided to Nasdaq MarketWatch through the Electronic Disclosure Submission System.

Nasdaq will use the information in this Notification to determine an ex-dividend date for the distribution, which is the date on which the security will start trading without the right to receive the dividend or distribution. The information provided in this Notification is subject to immediate public disclosure and, upon receipt; Nasdaq will notify market participants about the dividend and the ex-dividend date. Please keep this in mind if public notice of the dividend has not otherwise occurred.

Nasdaq will provide an email confirmation of the ex-dividend date ruling with respect to this Notification. Please call Nasdaq’s Corporate Data Operations Staff directly at +1 203 926 3501 or +1 877 308 0523 with any questions.

Companies should use the Company Event Notification form to:

• Request name and/or symbol change
• Report changes in place of incorporation, security title and/or par value
• Provide notification of reverse stock split
• Update Corporate Governance Certification and/or Listing Agreement
• Report other types of substitution listing events, including listing a new class of securities in substitution for a previously listed class, forming a holding company that replaces a listed company, or effecting technical share for share exchanges.

To see a preview of this form, click here. The Company Event Notification form replaces both the Substitution Listing Event and Change in Company Record Forms.

• Change in the company's name;
• Change in the par value or title of the company's securities; or
• Voluntary change in the company's symbol.

• Change in company name;
• Reorganization;
• Merger;
• Forward stock split, when payable upon surrender of certificates;
• Reverse stock split; or
• Emergence from bankruptcy.

• Reverse stock split;
• Re-incorporation or a change in the company's place of organization;
• The formation of a holding company that replaces a listed company;
• Reclassification or exchange of a company's shares for another security;
• The listing of a new class of securities in substitution for a previously-listed class of securities; or
• Any technical change whereby the shareholders of the original company received a share-for-share interest in the new company without any change in their equity position or rights.

On November 1, 2023, the SEC approved new Nasdaq rules on notification and disclosure of reverse stock splits. Under the new rules, a listed company conducting a reverse stock split must:

• Log into the Listing Center and complete the Company Event Notification including all supporting documentation by 12:00 P.M. ET five business days prior to the anticipated market effective date.
• Publicly disclose the reverse stock split by 12:00 P.M. ET as least two business days prior to the anticipated market effective date.

Nasdaq will not process and effect a reverse stock split unless the above requirements have been satisfied and will halt trading in the security of any issuer that effects a reverse stock split without meeting these requirements. 

To notify market participants, Nasdaq will publish announcements of reverse stock splits on the Daily List and in an Equity Corporate Action Alert for the two business days prior to the market effective date. These are both available on the Nasdaq Trader website.

On November 8, 2023, the SEC also approved new Nasdaq rules related to regulatory halts for reverse stock splits. Under the new rules, Nasdaq will halt a Nasdaq-listed security starting around 7:50 p.m. ET on the day immediately before the market effective date of a reverse stock split, and re-open the security for trading at around 9:00 a.m. ET on the effective day of a reverse stock split. 

• Whether the shareholders have approved the transaction;
• Name and contact of the acquiring entity;
• Merger considerations on a per share basis (If there is an election, consideration for the non-electing shareholder should be provided.)
• Confirmation that the Certificate of Merger has been filed with the appropriate state or non-U.S. agency; and
• Request to delist at the close of business on the day that the merger is completed.     

The company should complete the Dividend/Distribution/Interest Payment Form, which may be submitted electronically through the Listing Center, as soon as possible after declaration, and, in any event, no later than simultaneously with the public disclosure and no later than 10 calendar days prior to record date.

In addition, the company may be required to file the Listing of Additional Shares (LAS) notification form. LAS forms are required to be filed with Nasdaq no later than 15 calendar days prior to certain events, including issuing any common stock, or any security convertible into common stock in a transaction that may result in the potential issuance of common stock, greater than 10% of either the total shares outstanding or the voting power outstanding on a pre-transaction basis. Please review Listing Rule 5250(e)(2) to determine whether the company is required to file the LAS form.

Yes. A company must notify Nasdaq Corporate Data Operations no later than 10 calendar days prior to the record date of such action. The company should complete the Dividend/Distribution/Interest Payment Form found in the Listing Center. This notification should be provided as soon as possible after declaration and in any event, no later than simultaneously with the public notice.

• Complete corporate name;
• Effective date; and
• Name of new transfer agent/depositary.

• A broadly disseminated press release
• Furnishing to or filing a Form 8-K or Form 6-K with the SEC
• Conference calls*
• Press conferences*
• Webcasts*
• Company web sites (For more information, please see "SEC Guidance on the Use of Company Web Sites - August 2008"
• Social media channels (For more information, please see “SEC Says Social Media OK for Company Announcements if Investors Are Alerted”).

You can preview the Listing of Additional Shares Notification prior to logging into the Listing Center to determine what information Nasdaq requires for your company’s particular LAS transaction. 

If you still have questions, please call Listing Qualifications Staff at +1 301 978 8008 or email us at las@nasdaq.com.

No. While a user may elect to complete this form all at once or in stages, this form cannot be submitted until all questions are completed.  If you hit the Submit Form button prior to completing the form, you will be prompted to complete any required fields that have not been filled out. If you are unable to complete the form at that time, click the button Save for Later to save the form to complete later.

If you have questions or concerns related to completing a Listing of Additional Shares Notification Form, please call Listing Qualifications Staff at +1 301 978 8008 or email us at las@nasdaq.com. 

After logging in to the Listing Center, click  on the Create New Form tab at the top of the Listing Center home page. Then select U.S. Market: Nasdaq from the Select Listing Center drop down menu. Then select Currently Listed on Nasdaq. Afterwards you will be given a choice of form to fill out. Select Listing of Additional Shares Notification Form. Then enter unique company identifiers such as ticker and CUSIP or CIK, then enter the unique LETTER code, and then click the Enter button.

You may complete the Listing of Additional Shares Notification Form in stages or all at once; however, the form cannot be submitted until all questions are answered.  Upon submission of the form, an email will be sent from the Listing Center notifying you that Nasdaq has received it. You can always access your company’s completed LAS Notification Form online by logging into the Listing Center, but once the form is submitted it cannot be changed.

For assistance, please contact Listing Qualifications at +1 301 978 8008 or email us at las@nasdaq.com.

Nasdaq’s process for Listing of Additional Shares is a notification process, not an approval process.

There is no supporting documentation required to notify Nasdaq of intent to issue additional shares of the listed class other than the Listing of Additional Shares Notification Form, which must be submitted electronically through the Listing Center. You can preview a copy of Nasdaq’s Listing of Additional Shares Notification Form here. 

 Staff will review completed LAS transactions for compliance with Nasdaq’s Listing Rules (notably the shareholder approval and voting rights requirements) and will contact your company for additional information only if compliance issues are identified.

If you have further questions, please review these FAQs for important information about Nasdaq’s LAS notification and timing requirements and these FAQs for important information about Nasdaq’s shareholder approval and voting rights rules.

No.  Nasdaq’s Listing Center will not allow an incomplete LAS Notification Form to be submitted.  However, companies may elect to complete a form all at once or in stages prior to submission. Once a Listing of Additional Shares Notification Form has been submitted, it cannot be updated or edited.

If you have questions or concerns related to completing a Listing of Additional Shares Notification Form, please call Listing Qualifications Staff at +1 301 978 8008 or email us at las@nasdaq.com.