The Electronic Disclosure portal requires disclosures be assigned to one or more news categories. We are providing the following examples to assist Nasdaq-listed companies with selecting categories for their submitted announcements.
Bankruptcy/Liquidations
• Chapter 7 bankruptcy liquidation
• Chapter 11 bankruptcy reorganization
• Announcement of reorganizations equivalent or similar to the above by non-US companies
• SPAC liquidation
Conference Calls/Webcasts/Events
• Scheduling notices for future calls (earnings, investor, conference calls)
• Investor presentations
• Attendance at industry conferences
Cybersecurity Incidents
• Any item being disclosed under Item 1.05 on Form 8-K related to a cybersecurity incident deemed material
• Comparable disclosures to the above by a foreign private issuer on Form 6-K
Dividends (Cash or Stock)
• Regular or special cash dividends
• Stock dividends involving a distribution of the listed security or other securities
Earnings/Quarterly or Annual Reports
• Operating or financial results that have not been previously disclosed
• Production figures or other metrics significant to analysts or investors
• Non-reliance on previously issued financial results
Equity or Debt Financings
• Any financing transaction involving the issuance of debt, equity (or both)
FDA-Related/Clinical Trials/Study Results
• Events involving the FDA (or non-US equivalent) including any communications or decisions
• Investor presentations involving clinical or study results
• Clinical trial results/updates
• Events involving milestone payments, material collaborations and/or partnerships
Listing Deficiency or Compliance Notices
• Non-compliance with Nasdaq’s listing requirements
• Regaining compliance with Nasdaq’s listing requirements
• Receipt of a Staff Determination Letter (delisting, reprimand)
• Requests for Hearings to appeal Staff Determination Letters
• Delisting due to non-compliance with the Listing Rules
M&A
• Announcements related to mergers and acquisitions
• Acquisition or sale of significant business lines
New Products or Partnership Agreements
• New product or product line announcements
• Announcements relating to new joint ventures, joint licensing agreements, joint market agreements
Officer/Director (Appointments or Resignations)
• Corporate officer hires/terminations/resignations
• Board of Directors additions, resignations or departures
• New board committee assignments for new or existing directors
Stock Splits (Forward or Reverse)
• Reverse splits effected to regain compliance with minimum bid price requirements
• Ratio changes for Nasdaq-listed depository receipts (e.g., ADRs)
• Forward stock splits, including forward splits structured as stock dividends
Other
• Any disclosure that does not fit within the other categories