APPENDIX
E Changes, if any, in (1) charter; (2) by-laws; or (3) capitalization
since previous application.
F Changes in property, if any, since previous application.
G (1) Character and amount of output since previous application or
earnings as in application for original listing; (2) estimated output (char-
acter and amount) for current year; (3) number of employees.
H Income account, surplus account and balance sheet of recent date,
also for constituent, subsidiary, owned or controlled companies, or a con-
solidated income account, consolidated surplus account and a consolidated
balance sheet.
[ Policy as to depreciation and depletion.
J Fiscal year, place and date of annual meeting, location of offices,
and names of officials as covered by Paragraphs T, U, VV and I# on page 2.
(Note: “When a corporation purposes to increase its authorized capital
stock, thirty days’ notice of such proposed increase must be officially given
to the Exchange before such increase may be admitted to dealings.”)
(Note: “When the capital stock of a corporation is increased through
conversion of convertible bonds already listed, the issuing corporation shall
give immediate notice to the Exchange and the Committee on Stock List
may, thereupon, authorize the registration of such shares and add them to
the list.”)
REQUIREMENTS FOR LISTING OF CERTIFICATES OF DEPoSIT, VOTING
TrusT or Stock TRUST CERTIFICATES, ETC.
Every application for the listing of certificates of deposit, voting trust
or stock trust certificates, etc., shall recite:
A (1) Name of applicant; (2) amount applied for (whether tempo-
rary or permanent certificates); (3) depositary; (4) security deposited,
and whether listed; (5) registrar.
B (1) Date of agreement; (2) names of committee, or voting trustees ;
(3) terms of trust; (4) powers and duties of committee, trustees. or
depositary.
C Reasons for deposit.
D (1) Duration of trust or deposit; (2) extensions or limitations;
(3) final date of deposits; 4) provision for deposits without penalty for
approximately thirty days after listing, or if no time limit for deposit of
securities without penalty is fixed, an agreement that approximately thirty
days’ notice of such limitation of time shall be published and given to the
Stock Exchange; (5) date of presentation of plan; (6) provisions for
dissent and withdrawal; (7) percentage necessary to adoption; (8) pro
rata, charges; (9) provisions for return of securities (or equivalent) ;
(10) provision for payment of interest dividends, etc.
E Applications to list Voting Trust or Stock Trust Certificates tc
recite financial statements of company as in Paragraph R on page 2,
F Agreement to deliver definitive securities at termination of Voting
Trust or Voting Trust to be extended.
G Agreement to have definitive securities listed.
H Agreement by Voting Trustees to have company publish its financial
statements,
I Agreements contained on pages 5 and 6.
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