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Frequently Asked Questions
  How does a company notify Nasdaq regarding a rights offering or poison pill?
Identification Number 14

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.

Publication Date*: 7/31/2012 Mailto Link Identification Number: 14
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