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.

No. Under the All- Inclusive Annual Fee program, Nasdaq does not charge a fee for listing additional shares or submitting a Listing of Additional Shares Notification Form.

Please note that all companies are still subject to entry and application fees if the company seeks to list a new class of securities.

Nasdaq’s process for listing additional shares, unlike that of other exchanges, is NOT an approval process but a notification process.

The form acts as notification to Nasdaq that the company intends to issue the securities and is not an application to list the securities.  Nasdaq notifies a company by email when the Listing of Additional Shares Notification Form has been successfully submitted electronically via the Listing Center. 

No action beyond filing a Listing Additional Shares Notification Form is required to comply with this rule.

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

• Issuing any common stock, or security convertible into common stock, in connection with the acquisition of the stock or assets of another company, if any officer or director or substantial shareholder of the issuer has a five percent or greater interest (or if such persons collectively have a 10% or greater interest), directly or indirectly, in the company or assets to be acquired or in the consideration to be paid.

• Issuing securities that may potentially result in a change of control of the issuer.

• Establishing, or materially amending, a stock option plan, purchase plan or other equity compensation arrangement, pursuant to which stock may be acquired by officers, directors, employees, or consultants unless shareholder approval has been obtained. However, when a company makes an equity grant to induce an individual to accept employment, notification is required to be filed no later than the earlier of: (i) five calendar days after an offer of employment is accepted, or other agreement made, pursuant to which inducement grants will be issued; or, (ii) the date the company discloses the material terms of the grant in a press release.

• 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.

No. For information about Nasdaq’s Listing of Additional Shares process, please review these FAQs. For important information about Nasdaq’s shareholder approval and voting rights rules, please review these FAQs.