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Frequently Asked Questions
  When does a company need to submit a Shares Outstanding Change Form?
Identification Number 71
A Nasdaq company needs to submit this form electronically through the Nasdaq Listing Center when:
1) There is an increase or decrease of 5% or more in its shares outstanding as last reported in the Company's last periodic filing. In this case, this form must be submitted to Nasdaq no later than ten calendar days after this occurrence and must include the actual and not the estimated shares outstanding amount;
2) It fails to timely file a periodic report with the SEC. In this case, this form must be submitted to Nasdaq within seven calendar days of receiving a delinquency alert letter; or
While a company is not required to do so, a Nasdaq company may complete this form any time it wants to provide an update to the number of shares outstanding last reported by the Company.
Publication Date*: 11/11/2013 Mailto Link Identification Number: 71
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