Summary guide of filling and notice requirements applicable to AMEX listed issuers
Current as Of March 22, 2006
Electronic submission of material to the SEC through EDGAR satisfies the Exchange's filing requirement. An "X" in the EDGAR column indicates material that can currently be submitted to the SEC through EDGAR. In the event that material to be filed within or submitted to the Exchange is not also submitted to the SEC via EDGAR, issuers must submit three (3) copies of such material to the Exchange. In connection with each item to be filed with or submitted to the Exchange, please consult the referenced section number in the Amex Company Guide. For additional guidance, issuers may contact their assigned Listing Qualifications analyst.
| Item | Section Number in Company Guide |
Date to be Filed with or Submitted to the Exchange |
EDGAR |
|---|---|---|---|
| Extension of the Expiration Date of Warrants | 105, 920 | At least two months, but in no event less than 20 days, in advance of the extension. | |
| Change in Number of Warrants Outstanding (for which Securities Traded Primarily in the U.S represents 25% or More of the Value of the Underlying Index) | 106 | No later than 4:30 p.m. Eastern Standard Time on the determination date of the warrants' settlement value. | |
| Annual Corporate Governance Certification | 121 | No later than 30 days after the Annual Meeting. | |
| Additional Listing Application and Supporting Documentation | 306, 331 | At least one to two weeks prior to intended share issuance date. | |
| Allotment of Subscription Rights | 340 | Promptly (following effective date of the '33 Act Registration Statement). | |
| Cancellation Notice | 350 | When determination is made to cancel the options authority. | |
| Press Releases on Material Corporate Developments and Interim Statements | 401, 402, 623, 920(a), 922, 923 |
Immediately. | X |
| Dividend Notification | 502, 503, 504 | At least ten days in advance of record date. | |
| Change in Accountants | 603 | Promptly (prior to filing Form 8-K). | |
| Defaults | 604 | Immediately. | |
| Annual Report ('34 Act) | 610, 611, 701 | At least ten days in advance of Annual Meeting but no later than four months after fiscal year end. | X |
| Request for Extension for Annual Report | 612 | At least two weeks prior to the expiration of the four-month filing period. | Request for Extension for Annual Report |
| Quarterly Reports and Other Mailings | 623 | When mailed to shareholders. | Quarterly Reports and Other Mailings |
| Proxy Statement, Forms of Proxy and Other Soliciting Materials ('34 Act) | 701 | When distributed to shareholders (at least 20 days in advance of the shareholders' meeting), unless otherwise filed electronically with the SEC. | X |
| Shareholders' Meeting Notification | 701, 703 | At least ten days in advance of shareholders' meeting. | |
| Establishment of Record Date | 703 | At least ten days in advance of record date. | |
| Preclusion of Annual Meeting | 704 | Promptly. | |
| Material Non-Compliance with Corporate Governance Listing Standards | 801 | Promptly. | |
| Cessation of Independence of Audit Committee Member | 803(a) | Promptly. | |
| Material Non-Compliance with Independent Directors and Audit Committee Requirements | 803(b) | Promptly. | |
| Change in Form or Nature of Securities | 920(a) | 20 days in advance of change. | |
| Change in General Character of Business | 920(b) | Promptly. | |
| Change in Officers and Directors | 921 | Promptly. | |
| Material Disposition of Property or Stock | 922 | Promptly. | |
| Change in Collateral | 923 | Promptly. | |
| Deposit of Stock | 924 | Promptly. | |
| Knowledge of Actual or Proposed Deposit of Stock | 924 | Immediately. | |
| Change of Name | 930 | In advance of the proposed filling date of the charter amendment; and immediately upon filing the charter amendment. | |
| Change in Par Value | 940 | In advance of the proposed filling date of the charter amendment; and immediately upon filing the charter amendment. | |
| Registration Statements and Amendments thereto ('33 Act [and '40 Act]) | 1101 | Concurrently with SEC filing. | X |
| Prospectuses ('33 Act) | 1101 | Concurrently with SEC filing. | X |
| Rule 497 Filings by Investment Companies ('33 Act) | 1101 | Concurrently with SEC filing. | X |
| Forms 20-F, 40-F and 6-K and Amendments thereto ('34 Act) | 1101 | Concurrently with SEC filing. | X |
| Forms 8-K, 10-K, 10-Q and 12b-25 and Amendments thereto ('34 Act) | 1101 | Concurrently with SEC filing. | X |
| Ownership Reports on Forms 3, 4 and 5 ('34 Act) | 1101 | Concurrently with SEC filing. | X |
| Schedules 13D and 13G (5% Holders) ('34 Act) | 1101 | Oral Notification is requested whenever the issuer learns that a 13D or 13G has, or will be filed. | X |
| Forms S-6, N-8B-2 and 24F-2 ('40 Act) | 1101 | Concurrently with SEC filing. | X |
| Form N-SAR ('40 Act) | 1101 | Concurrently with SEC filing. | X |
| Form N-CSR ('40 Act) | 1101 | Concurrently with SEC filing. | X |
| Form N-CSRS ('40 Act) | 1101 | Concurrently with SEC filing. | X |
| Form N-30D ('40 Act) | 1101 | Concurrently with SEC filing. | X |
