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OTC Equity Issuer Notification Form. This is a Official Federal Forms form and can be use in FINRA.
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OTC Equity Issuer Notification Form
Completion of this form certifies to FINRA™ notification of a corporate action change request for the OTC
issuer. Supplemental forms and documentation are required to be submitted along with this notification
form.
Company Information
COMPANY NAME
COMPANY ADDRESS
_______________________________________________
__________________________________________________________________________________
TELEPHONE
FACSIMILE
EMAIL
_______
WEB SITE ADDRESS
_______________________
Contact Information
CONTACT NAME
CONTACT TITLE
NAME OF FIRM (If Applicable)
ADDRESS IF DIFFERENT FROM ABOVE
TELEPHONE
________________________________________
FACSIMILE
EMAIL
Company Officers
CURRENT OFFICER
TITLE OF OFFICER
DATE OF APPOINTMENT
CURRENT OFFICER
TITLE OF OFFICER
DATE OF APPOINTMENT
CURRENT OFFICER
TITLE OF OFFICER
DATE OF APPOINTMENT
**Required Documentation for Current Officers: For each officer appointment include an executed copy of the board resolutions
and meeting minutes duly appointing the officer and giving the officer authority to act on behalf of the company.
Security Information
Please provide information for other classes of securities that are related to this Issuer.
Issue :
OTCBB
Other-OTC
ISSUE SYMBOL(S)
CUSIP/CINS NUMBER(S)
SECURITY CLASS & DESCRIPTION
COUNTRY OR STATE OF INCORPORATION
DOMICILE:
If of a foreign domicile, does the stock trade on any other foreign exchange?
Domestic
Foreign
Yes
No
If yes, please provide the following information:
NAME OF FOREIGN EXCHANGE
CONTACT NAME
TELEPHONE
EMAIL
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Transfer Agent Contact Information
TRANSFER AGENCY
CONTACT NAME
ADDRESS
TELEPHONE
EMAIL
DATE OF APPOINTMENT
PRIOR TRANSFER AGENT
DATE OF TERMINATION
PRIOR AGENT REPRESENTATIVE
PRIOR AGENCY ADDRESS
PRIOR AGENT TELEPHONE
PRIOR AGENT FAX
PRIOR AGENT EMAIL
PRIOR AGENT WEB SITE
Transaction Options (Check all that apply and provide the appropriate supplemental forms)
Name Change
Reverse Merger
Merger/Acquisition
Transfer Agent Change
Holding Company Formation
Spin-off
Reverse Stock Split
Reverse Stock Split followed by Forward Stock Split with a mandatory cash out
Forward Stock Split*
Choose Method of Payment:
Payable upon Surrender of Certificates
Mailed Directly to Shareholders
Other (please specify)
*Issuer Transparency Caution: Issuer acknowledges that by completing a forward stock split resulting
in a per share price of less than $.0001, the issuer’s stock will not be quotable in most OTC quotation
mediums (including the OTCBB). Issuer further acknowledges that by completing a forward stock split
resulting in a per share price of less than $.000001, trades in the issuer’s stock will not be eligible for
electronic trade reporting to the FINRA OTC reporting facility.
** Please Note: If the company is effecting or effectuating a Stock Split, you must also fill out a FINRA OTC
Equity Name Change / Stock Split Request Form.**
Timing
All notifications are required to be received by FINRA no later than 10 calendar days prior to the effective
date of the corporate action. Processing for the effective time in the market place is determined based
upon the satisfactory review of and compliance with all information requested by FINRA.
Stock Symbol Change
Most corporate actions will require a symbol change. Symbols may neither be reserved for OTCBB or Other-OTC markets, nor can
we honor requests for specific issue symbols. Additionally, once a symbol is assigned, FINRA reserves the right to change the
symbol. There can be no guarantee that an issuer will retain their symbol indefinitely. Notification of the new stock symbol will be
confirmed the day prior to the effective date in the market place.
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Authorization by Corporate Officer
I, __________________________ (print name), hereby certify that the information disclosed in this request is accurate and true.
SIGNATURE
TITLE
DATE
Submission of Notification
Please return the Issuer Notification along with the appropriate request form and supporting documentation to:
FINRA
c/o The NASDAQ OMX Group, Inc.
Corporate Data Operations
Two Corporate Drive
3rd Floor, Suite 300
Shelton, CT 06484 USA
Telephone: 203.375.9609
Fax: 203.502.5480
Email: corporateactions@nasdaqomx.com
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