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Libraries:
FAQs - Listings
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Additional Reference Materials,Annual Shareholder Meeting/Proxy Solicitation,Board Composition/Committee Assignments,Continued Listing,Distribution of Annual & Interim Reports,Exchange Traded Products,Fees,Hearings and Appeals,Initial Listing,Listing Center,Listing Information,Non-U.S. Companies,Notifications and Forms,Regulatory Authority,Related Party Transactions,Shareholder Approval,Voting Rights; All
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Identification Number
219
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As set forth in
IM-5635-1, a material amendment includes, but is not limited to, the following:
- Any material increase in the number of shares to be issued under the plan (other than to reflect a reorganization, stock split, merger, spinoff or similar transaction);
- Any material increase in benefits to participants, including any material change to: (i) permit a repricing (or decrease in exercise price) of outstanding options, (ii) reduce the price at which shares or options to purchase shares may be offered, or (iii)
extend the duration of a plan;
- Any material expansion of the class of participants eligible to participate in the plan; and
- Any expansion in the types of options or awards provided under the plan.
While general authority to amend a plan would not obviate the need for shareholder approval, if a plan permits a specific action without further shareholder approval, then no such approval would generally be required. In that regard, absent specific authorization
in the plan, a repricing, or a similar action, would not be permitted without shareholder approval.
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Publication Date*:
7/31/2012
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Identification Number:
219
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