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    Original Listing Application

    Uploaded by

    Mihaela Ganea
    This document is an application for listing securities on an exchange. It requests information about the applicant company, including corporate details, executive contacts, security details, and exchange requirements. For initial public offerings, it additionally requests offering details, SEC correspondence, blue sky state registration statuses, underwriter/counsel contacts and intended effective registration date. The applicant affirms understanding of and intent to comply with exchange rules and certifies the accuracy of the application information. Required submission materials depend on whether this is an initial public offering or existing issuer application.

    Copyright:

    Attribution Non-Commercial (BY-NC)
    Download as PDF, TXT or read online from Scribd

    Original Listing Application

    Uploaded by

    Mihaela Ganea
    40 views4 pages
    This document is an application for listing securities on an exchange. It requests information about the applicant company, including corporate details, executive contacts, security details, and exchange requirements. For initial public offerings, it additionally requests offering details, SEC correspondence, blue sky state registration statuses, underwriter/counsel contacts and intended effective registration date. The applicant affirms understanding of and intent to comply with exchange rules and certifies the accuracy of the application information. Required submission materials depend on whether this is an initial public offering or existing issuer application.

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    © Attribution Non-Commercial (BY-NC)

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    This document is an application for listing securities on an exchange. It requests information about the applicant company, including corporate details, executive contacts, security details, and exchange requirements. For initial public offerings, it additionally requests offering details, SEC correspondence, blue sky state registration statuses, underwriter/counsel contacts and intended effective registration date. The applicant affirms understanding of and intent to comply with exchange rules and certifies the accuracy of the application information. Required submission materials depend on whether this is an initial public offering or existing issuer application.

    Copyright:

    Attribution Non-Commercial (BY-NC)
    Download as PDF, TXT or read online from Scribd
    Download as pdf or txt
    40 views4 pages

    Original Listing Application

    Uploaded by

    Mihaela Ganea
    This document is an application for listing securities on an exchange. It requests information about the applicant company, including corporate details, executive contacts, security details, and exchange requirements. For initial public offerings, it additionally requests offering details, SEC correspondence, blue sky state registration statuses, underwriter/counsel contacts and intended effective registration date. The applicant affirms understanding of and intent to comply with exchange rules and certifies the accuracy of the application information. Required submission materials depend on whether this is an initial public offering or existing issuer application.

    Copyright:

    Attribution Non-Commercial (BY-NC)
    Download as PDF, TXT or read online from Scribd
    Download as pdf or txt
    of 4

    SM

    ORIGINAL LISTING APPLICATION


    Part I: Corporate Information - All Applicant Issuers

    A. General Corporate Information


    Complete Corporate Name: ______________________________________________________________________
    Address of Principal Executive Offices:

    ___________________________________________________________
    ___________________________________________________________

    Telephone No.: _______________________________

    Facsimile No.: ______________________________

    State of Incorporation: _________________________

    Date of Incorporation: ________________________

    IRS Employer ID Number: ______________________

    SEC File No.: _______________________________

    Internet/Website address: ________________________________________________________________________


    Standard Industrial Classification (SIC) Code: ________________

    B. Corporate Contacts
    Please list the full name and title of the following individual(s):
    Chief Executive Officer

    Senior Financial Officer

    Investor Relations Officer

    E-mail/Other Designated Contact


    Please indicate if the address for a designated contact person differs from the principal executive office address listed above.

    Page 1 of 4

    Part II: Security Information - All Applicant Issuers


    A. Please provide a complete description of the security(s) which the Applicant Issuer is applying to list: (including
    par/stated value, warrant expiration date,maturity date, etc.):

    Security Class/Type

    Issue Description (incl. par value)

    Shares Outstanding or
    Offered

    __________________________

    ______________________________

    __________________

    __________________________

    ______________________________

    __________________

    __________________________

    ______________________________

    __________________

    B. If the Applicant Issuer has any existing class of common stock or equity security entitling the holder(s) to
    differential voting rights, dividend payments, or other preferences, please provide a complete description of such
    preference(s):
    ____________________________________________________________________________________
    ____________________________________________________________________________________

    C. If the issue(s) is or will be listed on any other national securities exchange or association, please identify the
    exchange or association and the assigned trading/ticker symbol:
    ____________________________________________________________________________________

    D. Please indicate the expected or actual number of beneficial holders of each security covered by this application
    (currently or subsequent to the offering):
    ____________________________________________________________________________________

    If this is an application to list an Initial Public Offering (IPO), please continue to Part III; if not, please skip to Part
    IV.

    Part III - Initial Public Offerings (IPOs)


    A. Please indicate the type of offering:
    Firm Commitment

    Direct Public Offering (DPO)

    Best Efforts (Min./Max.)

    Best Efforts (All or None)

    Other (please specify): __________________________________________

    B. Expected effective date of registration under Securities Act of 1933: _________________________


    Page 2 of 4

    C. If SEC Comments have been received, please include a copy of the comments, along with the Companys
    response(s); if not yet received, please indicate when such comments are expected:
    __________________________________________________________________________________________

    D. Please attach to this application a list of the states in which the Applicant Issuer has filed for registration of the
    security, and also indicate the status of the registration process in each state filed.

    E. Investment Banker Contact(s)


    Please indicate the firm name, address, telephone and facsimile number, as well as the name and title of the
    contact person:
    Investment Banker: _________________________________________________________________________
    Firm Name: _______________________________________________________________________________
    Telephone No. ________________________

    Facsimile No. __________________________

    Address: __________________________________________________________________________________

    F. Outside Counsel Contact(s)


    Please indicate the firm name, address, telephone and facsimile number, as well as the name and title of the
    contact person:
    Outside Counsel: ___________________________________________________________________________
    Firm Name: _______________________________________________________________________________
    Telephone No. ________________________

    Facsimile No. __________________________

    Address: __________________________________________________________________________________

    Part IV: All Applicant Issuers


    A. Exchange requirements for Listing Consideration:

    To be considered for listing, the Applicant Issuer must meet the NYSE Arca, Inc. (Exchange) minimum listing
    and corporate governance requirements. The fact that an Applicant Issuer may meet the minimum listing and
    corporate governance requirements does not necessarily mean that its listing application will be approved. In
    connection with the review of any listing application, the Exchange reserves the right to request such additional
    public or non-public information or documentation as it may deem necessary and appropriate to make a
    determination regarding the listing eligibility of the Applicant Issuers security, including, but not limited to, any
    material provided to or received from the Securities and Exchange Commission or other appropriate regulatory
    authority.

    B. Corporate Affirmations
    Page 3 of 4

    I, _________________________________________, as _________________________________________
    Name of Authorized Officer
    Title of Authorized Officer
    of ____________________________________________________________________________, do hereby
    Full Name of Company
    attest that, at the time of the filing of this application, the Company is deemed to have read and understood the
    Exchanges Listings Rule, and fully believes itself to be in compliance with, and, if approved for listing, intends to
    continue to be in compliance with, the Exchanges listing and corporate governance rules and requirements, as
    amended. Further, I certify that to the best of my knowledge and belief, the information contained within this
    application and any materials provided to the Exchange in support of this application are true and correct.

    ____________________________________________
    Signature of Authorized Corporate Officer

    ________________________________________

    Date

    To initiate a listing application, the following materials should be submitted, as indicated:


    Initial Public Offerings (IPO)

    All other Issuers

    Original Listing Application

    Original Listing Application

    1933 Act Registration Statement and Exhibits

    Most recent Form 10-K & three most recent Form


    10-Q(s)

    SEC Comments & Responses (when available)

    Most recent proxy statement/prospectus

    Blue Sky State list (as applicable)

    Last six months trading history

    Application Processing Fee

    Application Processing Fee

    Revised 03/06

    Page 4 of 4

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