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Frequently Asked Questions
  Does a Listing of Additional Shares (LAS) Notification need to be filed in connection with a rights offering or the adoption of a poison pill?
Identification Number 383
Yes. An LAS Notification Form must be filed fifteen (15) calendar days prior to distributing rights or adopting a poison pill, if the exercise of the rights or triggering of the poison pill may result in the issuance of common stock greater than 10% of either the total shares outstanding or the voting power outstanding on a pre-transaction basis. As always, notice of the distribution must be reported on the Dividend/Distribution/Interest Payment Form, which may be submitted electronically through the Listing Center, as soon as possible after declaration and no later than 10 calendar days prior to record date, and, in any event, no later than simultaneously with the public disclosure notice in order to be in compliance with Listing Rule 5250(e)(6) and Rule 10b-17 of the Securities and Exchange Act of 1934.


Publication Date*: 9/9/2021 Mailto Link Identification Number: 383
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