AUS
NZ
UK
CA
USA
IND
Beneficial Shareholders A beneficial owner refers to any individual shareholder who holds an ownership stake in the company.
Current Trading Symbol This field requires the symbol under which the company is currently trading. Ensure that the trading symbol accurately reflects the company's active market symbol.
CUSIP Number For companies with an existing CUSIP number, the CUSIP Service Bureau can be contacted at +1 212 438 6565 for any queries. If the company does not yet have a CUSIP number, enter "999999999" in this field as a placeholder.
Issue Class Provide information about the issue class only if the company has issued multiple classes of securities, such as Class A and Class B Common Stock. This helps in distinguishing between different types of securities issued by the company.
Issue Type Select the type of issue from the drop-down list that best describes the security being listed. Common options typically include Common Stock, Units, or Warrants. Ensure that the selected issue type accurately represents the security in question.
Reserved Trading Symbol This field is necessary only if the company intends to adopt a new trading symbol upon listing on Nasdaq. If applicable, specify the desired new symbol.
Round Lot Holders A round lot holder is defined as a shareholder who owns 100 or more unrestricted securities. Provide details on the number of round lot holders to reflect the distribution of ownership.
Timing of Unit Separation If the company has units, indicate the timing of their separation. If the exact date is known, provide that information. If only a time frame is available (e.g., 30 days after the offering), provide an estimated timeframe.
For Bond Applications (Non-Convertible Debt Securities)
Coupon Frequency Per Annum Enter the coupon frequency per annum using the appropriate value: 1 for annually, 2 for semi-annually, and 4 for quarterly. This information specifies how often interest payments are made to bondholders.
Dated Date The dated date refers to when the bond begins to accrue interest. This date is often the same as the issue date, but not always. Ensure that this date is correctly entered to reflect the bond's interest accrual period.
First Ordinary Coupon Date Provide the original first ordinary coupon date, regardless of the bond’s current trading status or issue date. If the security is transitioning from another exchange, the first ordinary coupon date will be a past date.
Principal Amount Outstanding For new issuances, state the principal amount being issued. For existing debt, provide the principal amount currently outstanding. This figure represents the total value of the debt.
Reimbursement Date Indicate the date of the last repayment or the final coupon payment date, which is generally the same as the Last Ordinary Coupon Date. This date marks when investors will receive their final coupon payment.
Ensure all sections are completed with accurate and up-to-date information to facilitate the application process effectively.
