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Frequently Asked Questions
  What type of event is considered to be a "Substitution Listing Event", and what are the notification and fee requirements associated with such an event?
Identification Number 22
All companies listed on the Nasdaq Stock Market are required to log in to the Listing Center and file the Company Event Notification when the following events occur:
    • 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.
All notifications are required to be filed with Nasdaq 15 calendar days prior to the substitution listing event, with the exception of a re-incorporation or a change to a company's place of organization. For these events, the company shall notify Nasdaq as soon as practicable after the change.
Please note that Nasdaq does not assess a fee for a substitution listing event.
Please also note that Nasdaq requires notification when a company requests a change of its name, a change in the par value or title of its securities, or a voluntary change in its trading symbol. The company can report all of these changes using the Company Event Notification.
Publication Date*: 11/30/2017 Mailto Link Identification Number: 22
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