new york stock exchange checklist for supporting documents ... · new york stock exchange checklist...

NEWYORKSTOCKEXCHANGE

ChecklistforSupportingDocumentsRequiredfor

OriginalListingApplication

ThisisachecklistforcompaniesthatwouldliketolistsecuritiesontheNYSE(the“Exchange”).PleasenotethatpriortosubmittingthefollowingdocumentstotheExchange,thecompanywillhavebeenclearedtofileanoriginallistingapplication.DocumentsRequiredforAuthorizationtoList� DraftOriginalListingApplication� Confirmationcompanymeetsshareholderrequirements� Responsetoclearanceletter� Letterfromtheunderwritersundertakingthatthecompanywillcomplywithapplicablequantitativelisting

standards(whenlistinginconjunctionwithaninitialpublicoffering)� ListingAgreementexecutedbyanexecutiveofficer� DepositaryListingAgreement(forforeignprivateissuerslistingAmericanDepositaryReceipts)� DraftDepositaryAgreement(forforeignprivateissuerslistingAmericanDepositaryReceipts)� Section315Letter� DraftForm8-A� Copyofcharter� Copyofbylaws� CopyofBoardresolutionsauthorizing:

(i) applicationtolistsecuritiesontheExchange;(ii) issuanceofanyunissuedsecurities(e.g.,optionplans,sharestobeissueduponconversionetc.)for

whichthelistingapplicationismade;and(iii) appointmentofthetransferagent/registrar,ifany.

� Copyofshareholderresolutionsauthorizingissuance(ifcorporateprocedurerequiressuchaction)ofanyunissuedsecurities(e.g.,optionplans,sharestobeissueduponconversion,etc.)forwhichlistingapplicationismade

� CopyofSpecimenCertificate(ifany)� PublicAuthorityCertificate--Acopyofthecertificateororderofanypublicauthorityhavingjurisdiction

overthecompanyinthematterofapprovingorauthorizingissuanceofanyunissuedsecuritiesproposedforlisting.(ifapplicable)

� AdjustmentstoHistoricalFinancialData--Ifnecessarytodemonstratecompliancewithfinanciallistingstandards

� Copyofgoodstandingcertificatefromjurisdictionofincorporation(ifnoExhibit5opinionshavebeenfiledwiththeSECinthepreceding12months)

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� InitialWrittenAffirmation(exceptforcompanieslistinginconjunctionwithaninitialpublicoffering,whomustprovideitpriortolisting)

� Opinionofhomecountrycounsel(forforeignprivateissuers)DocumentsRequiredPriortoListing� ConfirmationletterfromCUSIPBureau(whenlistinginconjunctionwithaninitialpublicoffering)� InitialWrittenAffirmation� Form8-AmustbefiledwithSecuritiesandExchangeCommissionDocumentstobeProvidedafterListing*� TwocopiesoffinalOriginalListingApplicationsignedbyanexecutiveofficer� FinalexecutedcopyofDepositoryListingAgreement(forforeignprivateissuerslistingAmerican

DepositaryReceipts(“ADRs”))� AdditionalinformationasrequestedbytheExchange*Finaldocumentationshouldbeprovidedpromptlyaftertheexerciseinfulloftheover-allotmentoptionor–iflistinginconjunctionwithaninitialpublicoffering--theexpirationoftheover-allotmentoption.

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�Draft �Final

NEWYORKSTOCKEXCHANGEORIGINALLISTINGAPPLICATION

FOREQUITYSECURITIES

PartI:CorporateInformationA.GeneralCorporateInformationCompleteLegalCorporateName:

AddressofPrincipalExecutiveOffices:

_________________________________________________

CompanyTelephoneNo.:

ContactNameandTitle:

ContactTelephoneNo.: ContactEmail:

StateandCountryofIncorporation: DateofIncorporation:

EDGARCIKNo.: SEC‘34ActFileNo.:

ForeignPrivateIssuer(yes/no): DRSEligible(yes/no):

Websiteaddress: SICCode:

CUSIPNo.ofSecurity(s)BeingListed:

DateofFiscalYearEnd:

B.CorporateContacts

Pleaselistthefullname,fulltitle(ifdifferentfromthatindicated),address(ifdifferentfromprincipaladdressabove),telephonenumberandemailaddressofthefollowingindividual(s):

ChiefExecutiveOfficer

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ChiefFinancialOfficerCorporateSecretaryGeneralCounselInvestorRelationsOfficerOtherDesignatedContact

PartII:SecurityInformation

A.Security(s)whichtheApplicantIssuerisapplyingtolist(includingpar/statedvalue,warrantexpirationdate,maturitydate,etc.):

SecurityClass/Type

IssueDescription(incl.parvalue)

SharesOutstandingor

Offered

TotalSharesUnissued,butReservedforissuance*

*Asof__________(date),thefollowingnumberofsharesareunissued,buthavebeenauthorizedforissuancebytheApplicantIssuer’sgoverningbodyforthepurposesnoted:

Date

AuthorizedPurposeofSharestobeIssued Numberof

SharesAuthorized

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*PleasenotethatNYSE’srulesrequirethat,atsuchdateinthefuturethatanycurrentlyunissuedbutauthorizedsecuritiesareissued,theApplicantIssuermustfileasupplementallistingapplicationtolistsuchsecuritiesontheapplicableexchange.

Recorddateofthemostrecentdividendpaidwithrespecttotheshares:_____________________

Paymentdateofthemostrecentdividendpaidwithrespecttotheshares:_____________________

Amountpershareofthemostrecentdividendpaidwithrespecttotheshares:

_____________________

Arethereanydeclaredbutunpaiddividendswithrespecttotheshares:_____________________

Whatistherecorddateforanysuchunpaiddividend:

_____________________

Whatisthepaymentdateofanysuchunpaiddividend:

_____________________

Whatistheamountpershareofanysuchunpaiddividend:

_____________________

Provideadescriptionofanyoutstandingrightstosubscribetosecurities:

_____________________

Ifarecorddateistobesetinthenearfutureforanypurpose,pleaseprovidetheanticipateddateoftherecorddateandthereasontherecorddateisbeingestablished._____________________

B.TransferAgent/Registrar:

Name: Address: PhoneNo.: FacsimileNo.: Email:

C. IflistingAmericanDepositaryShares,pleaseprovidethefollowinginformationwithrespecttotheDepositaryBank:Name:

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Address: PhoneNo.: Email:

D. OutsideCounselContactwithRespecttoListingApplication,ifany:

NameofContactPerson:

FirmName:

Address:

PhoneNo.: Email:

E.SecurityPreferences

IftheApplicantIssuerhasanyexistingclassofcommonstockorequitysecurityentitlingtheholder(s)todifferentialvotingrights,dividendpayments,orotherpreferences,pleaseprovideacompletedescriptionofsuchpreference(s):

PartIII:TypeofListing

A.ListinginConnectionwithanIssuanceofSecurities

Pleaseindicatethetypeoftransaction:

�InitialPublicOffering �Merger �Spin-off

�FollowOnOffering �Reorganization �ExchangeOffer �

Conversion �Other(pleasespecify):

Ifspin-off,pleaseprovidenameofparententity:

Willthesecurity(s)tobelistedtradeona“whenissued”basis?Yes�No�

Expectedclosingdateofthetransaction:

Expectedlistingdate:

InvestmentBanker/FinancialAdvisorContact(s),ifany

NameofContactPerson:

FirmName: ______

Address:

PhoneNo.: Email: ________________________

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B.ListinginConnectionwithaTransferorQuotation

Nameofcurrenttradingmarket,ifany:

Currenttickersymbol,ifany:

PartIV:AdditionalInformation

A.ExchangeRequirementsforListingConsideration

Tobeconsideredforlisting,theApplicantIssuermustmeettheExchange’sminimumlistingrequirements.TheExchangehasbroaddiscretionregardingthelistingofanysecurity.Thus,theExchangemaydenylistingorapplyadditionalormorestringentcriteriabasedonanyevent,condition,orcircumstancethatmakesthelistingofanApplicantIssuer’ssecurityinadvisableorunwarrantedintheopinionoftheExchange.SuchdeterminationcanbemadeeveniftheApplicantIssuermeetstheExchange’slistingstandards.Inconnectionwiththereviewofanylistingapplication,theExchangereservestherighttorequestsuchadditionalpublicornon-publicinformationordocumentationasitmaydeemnecessaryandappropriatetomakeadeterminationregardingthelistingeligibilityoftheApplicantIssuer’ssecurity,including,butnotlimitedto,anymaterialprovidedtoorreceivedfromtheSecuritiesandExchangeCommissionorotherappropriateregulatoryauthority.B.RegulatoryReview

TheApplicantIssuermustprovidetheExchangewithalettersignedbyanexecutiveofficerofthecompany,certifyingthat,tothecompany'sknowledge,noofficer*,boardmember,ornon-institutionalshareholderwithgreaterthan10%ownershipofthecompanyhasbeenconvictedofafelonyormisdemeanorrelatingtofinancialissues(e.g.,embezzlement,fraud,theft)duringthepasttenyears.Totheextentthatanofficer,boardmember,ornon-institutionalshareholderwithgreaterthan10%ownershipofthecompanyhasbeensoconvicted,provideadetaileddescriptionofallsuchmatters.Inadditiontoreviewingthisletter,theExchangewillreviewbackgroundmaterialsavailabletoitregardingtheaforementionedindividualsaspartoftheeligibilityreviewprocess.*AssuchtermisdefinedinRule16a-1(f)undertheSecuritiesExchangeActof1934,oranysuccessorrule.

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PartVI:Attestation

I,_______________________________,as__________________________________NameofAuthorizedExecutiveOfficerTitleofAuthorizedExecutiveOfficer______________________________________________________,dohereby FullNameofCompanyattestthat,atthetimeofthefilingofthisapplication,theApplicantIssuerisdeemedtohavereadandunderstoodtheExchange’slistingandcorporategovernancerulesandrequirementsand,ifapprovedforlisting,intendstocomplywithallapplicablelistingandcorporategovernancerulesandrequirementsonanongoingbasis.Further,Icertifythattothebestofmyknowledgeandbelief,theinformationcontainedwithinthisapplicationandanymaterialsprovidedtotheExchangeinsupportofthisapplicationaretrueandcorrect.

SignatureofAuthorizedExecutiveOfficer

Date

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NEWYORKSTOCKEXCHANGELISTINGAGREEMENTFORDOMESTICCOMPANY

EQUITYSECURITIES

Theundersigned,beingadulyauthorizedofficerof:

FullLegalCorporateNameoftheApplicantIssuer

doesherebycertifythatthisagreementismadepursuanttoaresolution(s)adoptedbytheApplicantIssuer’sgoverningbodytolistontheNewYorkStockExchange(the“Exchange”),

(TitleofSecurity) (ParValue)

1. TheApplicantIssuercertifiesthatitunderstandsandagreestocomplywithallcurrentandfuturerules,listingstandards,proceduresandpoliciesoftheExchangeastheymaybeamendedfromtimetotime.2. TheApplicantIssueragreestopromptlynotifytheExchangeinwritingofanycorporateactionorothereventwhichwillcausetheApplicantIssuertoceasetobeincompliancewithExchangelistingrequirements.

3. TheApplicantIssueragreestolistontheExchangeallsubsequentamountsofthesecurity(s)tobelistedwhichmaybeissuedorauthorizedforissuance.4. TheApplicantIssueragreestofurnishtotheExchangeondemandsuchinformationconcerningtheApplicantIssuerastheExchangemayreasonablyrequest.5. ForpurposesofpublicityrelatedtotheApplicantIssuer’slistingontheExchange,theApplicantIssuerauthorizestheExchangetousetheApplicantIssuer’scorporatelogos,websiteaddress,tradenames,andtrade/servicemarksinordertoconveyquotationinformation,transactionalreportinginformationandanyotherinformationrelatedtotheApplicantIssuer’slistingontheExchange.6. TheApplicantIssuerindemnifiestheExchangeandholdsitharmlessfromanythirdpartyrightsand/orclaimsarisingoutoftheExchange’soranyaffiliate’suseoftheApplicantIssuer’scorporatelogos,websiteaddress,tradenames,trade/servicemarksand/orthetradingsymbolusedbytheApplicantIssuer.7. TheApplicantIssuerwillmaintainatransferagentandaregistrar,asnecessary,whichsatisfytheapplicablerequirementssetforthinSection601.00oftheManualetseq.

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8. TheApplicantIssueragreestopaywhendueallfeesassociatedwithitslistingofsecuritiesontheExchange,inaccordancewiththeExchange’srules.9. TheApplicantIssueragreestofileallrequiredperiodicfinancialreportswiththeSEC,includingannualreportsand,whereapplicable,quarterlyorsemi-annualreports,bytheduedatesestablishedbytheSEC.10. TheApplicantIssueragreestocomplywithallrequirementsunderthefederalsecuritieslawsandapplicableSECrules.11. NothingcontainedinorinferredfromthelistingagreementshallbeconstruedasconstitutingtheApplicantIssuer’scontractforthecontinuedlistingoftheApplicantIssuer’ssecuritiesontheExchange.TheApplicantIssuerunderstandsthattheExchangemay,consistentwithapplicablelawsandSECrules,suspenditssecuritiesandcommencedelistingproceedingswithorwithoutpriornoticetotheApplicantIssuer,uponfailureoftheApplicantIssuertocomplywithanyoneormoresectionsofthelistingagreement,orwheninitssolediscretion,theExchangeshalldeterminethatsuchsuspensionofdealingsanddelistingisinthepublicinterestorotherwisewarranted.

Onthis_______dayof_____________,____________________________(FullNameoftheApplicantIssuer)atteststhatitisinfullagreementwiththetermsandconditionscontainedherein,By ______________________Name:Title:

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NEWYORKSTOCKEXCHANGE

LISTINGAGREEMENTFORFOREIGNPRIVATEISSUEREQUITYSECURITIES

Theundersigned,beingadulyauthorizedofficerof:

FullLegalCorporateNameoftheApplicantIssuerdoesherebycertifythatthisagreementismadepursuanttoaresolution(s)adoptedbytheApplicantIssuer’sgoverningbodytolistontheNewYorkStockExchange(the“Exchange”),

(TitleofSecurity) (ParValue)

1. TheApplicantIssuercertifiesthatitunderstandsandagreestocomplywithallcurrentandfuturerules,listingstandards,proceduresandpoliciesoftheExchangeastheymaybeamendedfromtimetotime.2. TheApplicantIssueragreestopromptlynotifytheExchangeinwritingofanycorporateactionorothereventwhichwillcausetheApplicantIssuertoceasetobeincompliancewithExchangelistingrequirements.

3. TheApplicantIssueragreestolistontheExchangeallsubsequentamountsofthesecurity(s)tobelistedwhichmaybeissuedorauthorizedforissuance.

4. TheApplicantIssueragreestofurnishtotheExchangeondemandsuchinformationconcerningtheApplicantIssuerastheExchangemayreasonablyrequest.5. ForpurposesofpublicityrelatedtotheApplicantIssuer’slistingontheExchange,theApplicantIssuerauthorizestheExchangetousetheApplicantIssuer’scorporatelogos,websiteaddress,tradenames,andtrade/servicemarksinordertoconveyquotationinformation,transactionalreportinginformationandanyotherinformationrelatedtotheApplicantIssuer’slistingontheExchange.6. TheApplicantIssuerindemnifiestheExchangeandholdsitharmlessfromanythirdpartyrightsand/orclaimsarisingoutoftheExchange’soranyaffiliate’suseoftheApplicantIssuer’scorporatelogos,websiteaddress,tradenames,trade/servicemarksand/orthetradingsymbolusedbytheApplicantIssuer.7. TheApplicantIssuerwillmaintainatransferagentandaregistrar,asnecessary,whichsatisfytheapplicablerequirementssetforthinSection601.00oftheManualetseq.

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8. TheApplicantIssueragreestopaywhendueallfeesassociatedwithitslistingofsecuritiesontheExchange,inaccordancewiththeExchange’srules.9. TheApplicantIssueragreestofileallrequiredperiodicfinancialreportswiththeSEC,includingannualreportsand,whereapplicable,quarterlyorsemi-annualreports,bytheduedatesestablishedbytheSEC.

10. TheApplicantIssueragreestocomplywithallrequirementsunderthefederalsecuritieslawsandapplicableSECrules.11. TheApplicantIssueragreestosolicitproxiesfromU.S.holdersforallmeetingsofstockholders.

12. NothingcontainedinorinferredfromthelistingagreementshallbeconstruedasconstitutingtheApplicantIssuer’scontractforthecontinuedlistingoftheApplicantIssuer’ssecuritiesontheExchange.TheApplicantIssuerunderstandsthattheExchangemay,consistentwithapplicablelawsandSECrules,suspenditssecuritiesandcommencedelistingproceedingswithorwithoutpriornoticetotheApplicantIssuer,uponfailureoftheApplicantIssuertocomplywithanyoneormoresectionsofthelistingagreement,orwheninitssolediscretion,theExchangeshalldeterminethatsuchsuspensionofdealingsanddelistingisinthepublicinterestorotherwisewarranted.13. IftheCorporationislistingAmericanDepositaryReceipts,intheeventthatasuccessorDepositaryoranadditionalDepositaryisnamed,theCorporationagreesthatitwillnotappointanypersonassuchsuccessorDepositaryoradditionalDepositaryunlesssuchpersonshallhaveenteredintoalistingagreementwiththeExchangeinaformsubstantiallysimilartotheagreementrelatingto__________between__________,andtheExchange.

Onthis_______dayof_____________,____________________________(FullNameoftheApplicantIssuer)atteststhatitisinfullagreementwiththetermsandconditionscontainedherein,By __________________Name:Title:

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NEWYORKSTOCKEXCHANGELISTINGAGREEMENTFOR

DEPOSITARYOFAFOREIGNPRIVATEISSUER

NothinginthefollowingAgreementshallbesoconstruedastorequiretheDepositarytodoanyactsincontraventionoflaworinviolationofanyruleorregulationofanypublicauthorityexercisingjurisdictionovertheDepositary.

__________(hereinaftercalledthe"Depositary"),asDepositaryundertheDepositAgreement,datedasof__________(hereinaftercalledthe"DepositAgreement"),with__________(hereinaftercalledthe"Corporation"),solongasitshallbetheDepositarythereunderandsubjecttothetermsandconditionsofsaidDepositAgreement,inconsiderationoftheacceptancebyNewYorkStockExchangeLLC(hereinaftercalledthe"Exchange"),oftheDepositaryasqualifiedDepositary,andonthebasisthattheCorporationwillexecuteanddeliveranAgreementtotheExchangeagreeingtothelistingof__________(assuchtermisdefinedintheDepositAgreement),evidencedby__________herebyagreeswiththeExchangeasfollows:

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1.TheDepositarywillreporttotheExchange,withintendaysafterthecloseofafiscalquarter,intheeventanypreviouslyissued__________oftheCorporationlistedontheExchangehavebeenreacquiredordisposedof,directlyorindirectly,fortheaccountoftheCorporationduringsuchfiscalquarter,suchreportshowingseparatetotalsforacquisitionsanddispositionsandthenumberof__________soheldbytheCorporationattheendofsuchquarter.

2.TheDepositarywillpromptlynotifytheExchangeofanycorporateactionwhichwillresultinthecancellation,inwholeorinpart,ofanyofthe__________listedontheExchange,andwillnotifytheExchangeassoonastheDepositaryhasnoticeofanyotheractionwhichwillresultinanysuchcancellation.

3.TheDepositarywillnotmakeanychangeintheformornatureofany__________listedontheExchange,norintherightsorprivilegesoftheholdersthereof,withouthavinggiventwentydays'priornoticetotheExchangeoftheproposedchange,andhavingmadeapplicationforthelistingofthe__________aschangediftheExchangeshallsorequire.

4.TheDepositarywillmakeavailabletotheExchange,uponrequest,thenamesofmemberfirmsoftheExchangewhicharerecordholdersof__________oftheCorporationlistedontheExchangeifatanytimetheneedforsuch__________forloaningpurposesontheExchangeshoulddevelop,andinaddition,iffoundnecessary,willuseitsbesteffortswithanyknownlargerecordholderstomakereasonableamountsofsuch__________availableforsuchpurposesinaccordancewiththerulesoftheExchange.

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II

1.TheDepositarywillmaintaininaccordancewiththerequirementsoftheExchange:

a.Anofficeoragencywhere

(1)All__________oftheCorporationlistedontheExchangeshallbetransferable.

(2)Checksfordividendsandotherpaymentswithrespectto__________listedontheExchangemaybepresentedforimmediatepayment.

(3)A__________listedontheExchangewhichisconvertibleintoCommonStockwillbeacceptedforconversion.

IfthetransferbooksoftheDepositoryfor__________oftheCorporationlistedontheExchangeshouldbeclosedpermanently,theDepositarywillcontinuetosplitup__________forsuch__________into__________ofsmallerdenominationsinthesamenamesolongassuch__________continuetobedealtinontheExchange.

b.Aregistrarwhere__________oftheCorporationlistedontheExchangeshallberegisterable.Suchregistrarshallbeabankortrustcompanynotactingastransferagentforthe__________

2.TheDepositarywillissuenew__________for__________listedontheExchangereplacinglostonesforthwithuponnotificationoflossandreceiptofproperindemnity.

___________________,asDepositaryBy:Date:

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NEWYORKSTOCKEXCHANGELISTINGAGREEMENTFORVOTINGTRUSTS

TheundersignedVotingTrustees(the"Trustees"),inconsiderationofthelistingofthevotingtrustcertificatescoveredbytheaccompanyingapplication(thevotingtrustcertificates),agreewiththeNewYorkStockExchange(the"Exchange")asfollows:

1.Thetrusteeswillmaintain,inaccordancewiththerequirementsoftheExchange:

a.Anofficeoragencywhere

(1)Thevotingtrustcertificatesshallbetransferable.

(2)Checksfordividendsandotherpaymentswithrespecttothevotingtrustcertificatesmaybepresentedforimmediatepayment.

(3)Thevotingtrustcertificatesifconvertiblewillbeacceptedforconversion.

Ifthetransferbookforthevotingtrustcertificatesshouldbeclosedpermanently,thetrusteeswillcontinuetosplitupvotingtrustcertificatesintocertificatesofsmallerdenominationsinthesamenamesolongasthevotingtrustcertificatescontinuetobedealtinontheExchange.

b.Aregistrarwherethevotingtrustcertificatesshallberegisterable.Suchregistrarshallbeanorganizationnotactingastransferagentforthevotingtrustcertificates.

2.Thetrusteeswillnotappointatransferagentorregistrarof,noraDepositarywithrespectto,thevotingtrustcertificateswithoutpriornoticetotheExchange,andthetrusteeswillnotappointaregistrarforthevotingtrustcertificatesunlesssuchregistrar,atthetimeofitsappointmentbecomingeffective,isqualifiedwiththeExchangeasaregistrarforsecuritieslistedontheExchange;norwillthetrusteesselectanofficerordirectoroftheCorporationwhosesecuritiesarecoveredbythevotingtrustcertificatesasatrusteeunderamortgageorotherinstrumentrelatingtoasecurityoftheCorporationlistedontheExchange.

3.Thetrusteeswillhaveonhandatalltimesasufficientsupplyofcertificatestomeetthedemandsfortransfer.IfatanytimethevotingtrustcertificatesdonotrecitethepreferencesofallclassesofstockoftheCorporationwhosesecuritiesarecoveredbythevotingtrustcertificates,thetrusteeswillfurnishtoholdersofthevotingtrustcertificates,uponrequestandwithoutcharge,aprintedcopyofsuchpreferences.

4.ThetrusteeswillpublishimmediatelytotheholdersofanyofthevotingtrustcertificatesanyactiontakenbythemwithrespecttodividendsortotheallotmentofrightstosubscribeortoanyrightsorbenefitspertainingtotheownershipofthevotingtrustcertificatesandwillgivepromptnoticetotheExchangeofanysuchaction;andwillaffordtheholdersofthevotingtrustcertificatesaproperperiodwithinwhichtorecord

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theirinterestsandtoexercisetheirrights;andwillissueallsuchrightsorbenefitsinformapprovedbytheExchange.

5.Thetrusteeswillnotmakeanychangeintheformornatureofanyofthevotingtrustcertificatesnorintherightsorprivilegesoftheholdersthereof,withouthavinggiventwentydays'priornoticetotheExchangeoftheproposedchange,andhavingmadeapplicationforthelistingofthevotingtrustcertificatesaschangediftheExchangeshallsorequire.

6.ThetrusteeswillmakeapplicationtotheExchangeforthelistingofadditionalamountsofvotingtrustcertificatessufficientlypriortotheissuancethereoftopermitactioninduecourseuponsuchapplication.

7.ThetrusteeswillnotifytheExchangeinadvanceofanyextensionofthevotingtrustagreementandwillmakesuchapplicationtotheExchangeasmayberequired(ifany)forthelistingoftheextendedvotingtrustcertificatessufficientlypriortotheextensionofthevotingtrustagreementtopermitactioninduecourseuponsuchapplication.

8.ThetrusteeswillpromptlynotifytheExchangeofactiontakentofixarecorddateforholdersofvotingtrustcertificates,ortoclosethetransferbooks,foranypurpose,andwilltakesuchactionatsuchtimeaswillpermitgivingtheExchangeatleasttendays'noticeinadvanceofsuchrecorddateorclosingofthebooks.

By_____________________

Date___________________

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DesignatedMarketMakerSelection

InaccordancewiththeNYSE/NYSEMKTPolicy/ProceduresforSelectingaDesignatedMarketMaker(“DMM”),wehaveinterviewedeachDMMfromthepoolwepreviouslychoseandhaveselected tomaintainthemarketintheCompany’ssharesonthe[NYSE/NYSEMKT](chooseone).

Signature(CorporateSecretaryorhigher) Date

Title

Company*ThisformistobesubmittedtotheExchangestaffwithintwobusinessdaysafterDMMInterviewshavebeencompleted.IftradingoftheCompany’ssharesistooccurthesameweekastheDMMInterviews,theCompanymustsubmitthisdecisionformonthedaypriortotrading,atthelatest.

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NEWYORKSTOCKEXCHANGEFORJAPANESECOMPANIES—

FREESHAREDISTRIBUTIONUNDERSTANDING

TheCompanyhas,inpastyears,increaseditsdividendpayoutinaprudentrelationshiptoearningsgrowthandassurestheNewYorkStockExchangethatithasnointentionofincreasingitsexpectedfuturedividendrequirementcontrarytothispolicy.

TheCompanyacknowledgesthatincreasesinitsdividendpayoutwillresultfromraisingthedividendpaidpershare,issuingnewsharesasaresultofstockofferings,issuingnewsharesonconversionofconvertibledebenturesandmakingfreesharedistributions.Incontinuingtomakeprudentincreasesinitsdividendpayout,thestabilityofpastearningsandmanagement'sestimateoffutureearningstrendswillbetakenintoaccountwhenthedividendpayoutistobeincreasedbyanyofthesemethods.

FreesharedistributionsaremorefrequentlyusedinJapanasamethodofincreasingdividendpayoutthanstockdividendsareusedforthispurposeintheUnitedStatesforreasonsthatareuniquetoJapanesefinancialpractice.ShouldJapanesefinancialpracticeinthisregardmovecloser,inthefuture,toUnitedStatespractice,oneoftheimportantreasonsfortherelativelyfrequentfreesharedistributionsinJapanbymanyleadingJapanesecompanieswilldiminishinimportance.TheCompanywilltakesuchachangeinpracticeintoconsiderationinestablishingitsownfuturefreesharedistributionpolicy.

AnothermajorreasonforrelativelyfrequentpaymentoffreesharedistributionsinJapaninrecentyearshasbeentheofficiallyapprovedpolicyof"payingbackthepremium"incurredinmarketpricestockofferingsandonconversionofconvertibledebentures.TheCompanyhasdiscussedthisrecentpracticewiththeNewYorkStockExchangeandagreesthatifthispracticeceasestobeencouragedbyfinancialandgovernmentcirclesinthefuture,theCompanywilltakesuchachangeintoconsiderationinregardtoitsownfreesharedistributionpolicy.

AmeasureoftheprudenceoffuturedeclarationsoffreesharedistributionsbytheCompanyastheyrelatetotheincreaseddividendrequirementtherebycreatedwillbethedemonstratedearningsgrowthoveraperiodoftime,generallyfiveyears.TheNewYorkStockExchangeandtheCompanyrecognizethatitisnotpracticabletoestablishasimplestatisticalguidelinethatwilltakeintoaccountallthepossiblefutureconsiderationswhichmightbearonthereasonablenessofthedeclarationofafuturefreesharedistribution.WhenevertheCompanyhasunderconsiderationthedeclarationofafreesharedistributionwhichmayexceeddemonstratedearningsgrowthoveraperiodoftime,theCompanywilldiscussitsplanwiththeNewYorkStockExchangepriortoanyfirmdecisiontodeclaresuchafreesharedistribution.ThepurposeofsuchdiscussionwillbetoexplaintheCompany'sbusinessoutlookandthereasonablenessofdeclaringafreesharedistributionunderthethenexistingcircumstances.ShouldtheNewYorkStockExchangehavereservationsaboutthereasonablenessoftheCompany'sintendedfreesharedistribution,theCompany'smanagementwillseriouslyconsidersuchreservations.

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TheCompanyunderstandsthattheforegoingstatementsdonotapplytostockdividends,stocksplit-upsandfreesharedistributionsamountingto25%ormorebutlessthan100%whichunderpresentNewYorkStockExchangepolicy,arelimitedtotwowithinafive-yearperiod.Theselimitsdonotapplytostockdividends,stocksplit-upsandfreesharedistributionswhichincreaseby100%ormorethenumberofsharesoutstandingpriortosuchdistribution.

By_____________________

Date___________________

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SAMPLEDOCUMENTATIONSECURITIESANDEXCHANGECOMMISSION

Washington,D.C.20549

FORREGISTRATIONOFCERTAINCLASSESOFSECURITIESPUSUANTTOSECTION12(b)or(g)OFTHE

SECURITIESEXCHANGEACTOF1934……………………………………………..

(Exactnameofregistrantasspecifiedinitscharter)

……………………………………………..(JurisdictionofIncorporationorOrganization) (I.R.S.EmployerIdentificationNo.)

……………………………………………..(AddressofPrincipalExecutiveOffices) (ZipCode)

IfthisformrelatestotheregistrationofaclassofsecuritiespursuanttoSection12(b)oftheExchangeActandiseffectivepursuanttoGeneralInstructionA.(c),checkthefollowingbox.[X]IfthisformrelatestotheregistrationofaclassofsecuritiespursuanttoSection12(g)oftheExchangeActandiseffectivepursuanttoGeneralInstructionA.(d),checkthefollowingbox.[]SecuritiesActregistrationstatementfilenumbertowhichthisformrelates:(ifapplicable)SecuritiestoberegisteredpursuanttoSection12(b)oftheAct:

Titleofeachclasstobesoregistered

Nameofeachexchangeonwhicheachclassistoberegistered

OrdinaryShares,nominalvalue()pershare…………….NewYorkStockExchangeLLCAmericanDepositaryShares(asevidencedby)AmericanDepositaryReceiptrepresenting()OrdinaryShares……………NewYorkStockExchangeLLC

……………………………………………………

*Applicationtobemadeforlisting,notfortrading,inconnectionwiththeregistrationofAmericanDepositaryShares.

SecuritiestoberegisteredpursuanttoSection12(g)oftheAct:None

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Item1.DescriptionofRegistrant’sSecuritiestobeRegistered

FurnishtheinformationrequiredbyItem202ofRegulationS-KorItem202ofRegulationS-B,asapplicable.

Instruction

IfadescriptionofthesecuritiescomparabletothatrequiredhereiscontainedinanypriorfilingwiththeCommission,suchdescriptionmaybeincorporatedbyreferencetosuchotherfilinginanswertothisitem.IfsuchdescriptionwillbeincludedinaformofprospectussubsequentlyfiledbytheRegistrantpursuanttoRule424(b)undertheSecuritiesAct,thisregistrationstatementshallstatethatsuchprospectusshallbedeemedtobeincorporatedbyreferenceintotheregistrationstatement.Ifthesecuritiesaretoberegisteredonanationalsecuritiesexchangeandthedescriptionhasnotpreviouslybeenfiledwithsuchexchange,copiesofthedescriptionshallbefiledwithcopiesoftheapplicationfiledwiththeexchange.Item2.Exhibits.Listbelowallexhibitsfiledasapartoftheregistrationstatement:

Instruction

Seetheinstructionsastoexhibits,setforthbelow.

Signature

PursuanttotherequirementsofSection12oftheSecuritiesExchangeActof1934,theRegistranthasdulycausedthisregistrationstatementtobesignedonitsbehalfbytheundersigned,theretodulyauthorized.

(Registrant)…………………………………..

Date……………….………………………..

By……………………….………………….

*Printthenameandtitleofthesigningofficerunderhissignature.

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SAMPLEDOCUMENTATION

NEWYORKSTOCKEXCHANGESAMPLESECTION315LETTER

[LetterheadofCompanyCounsel]

DateNewYorkStockExchangeCapitalMarkets11WallStreet14thFloorNewYork,NewYork10005DearMr./Ms. [Iam][Weare]Counselto[insertnameofCompany](the“Company”).InconnectionwiththeCompany’slistingontheNewYorkStockExchange,[I][We]herebyconfirmthattotheCompany'sknowledge,noofficer,boardmember,ornon-institutionalshareholderwithgreaterthan10%ownershipofthecompanyhasbeenconvictedofafelonyormisdemeanorrelatingtofinancialissues(e.g.,embezzlement,fraud,theft)inthepasttenyears.Theterm“officer”intheforegoingsentenceisusedassuchtermisdefinedbytheSecuritiesandExchangeCommissioninRule16a-1(f)undertheSecuritiesExchangeActof1934,oranysuccessorrule.Sincerely,

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SAMPLEDOCUMENTATION

NEWYORKSTOCKEXCHANGE

SAMPLECORPORATERESOLUTIONS

ListingontheNewYorkStockExchangeWHEREAS,theCompany’scommonstock,______parvalue(the“CommonStock”iscurrentlylistedandtradingontheOver-the-CountermarketorNYSEMKTLLC(“OTC”or“NYSEMKT”);

WHEREAS,theBoardofDirectorsoftheCompanyhasdeterminedthatitisinthebestinterestsoftheCompanytolisttheCommonStockandcauseittobeadmittedtotradingontheNewYorkStockExchange(“NYSE”);

NOW,THEREFORE,BEITRESOLVED,thatallofficersoftheCompanybeandeachherebyisauthorizedanddirectedtotake,orcausetobetaken,allactionsnecessaryoradvisabletoeffectthelistingandtradingoftheCommonStockontheNYSE,includingthepreparation,executionandfilingofallnecessaryapplications,documents,formsandagreementswiththeNYSEandtheSecuritiesandExchangeCommission(the“SEC”),thepaymentbytheCompanyoffiling,listingorapplicationfees,thepreparationoftemporaryandpermanentcertificatesfortheCommonStock,andtheappearanceofanysuchofficerbeforeNYSEofficials;

RESOLVEDFURTHER,that,inordertoavoidthedirectandindirectcostsandthedivisionofthemarketresultingfromduallistingon_____andtheNYSE,allofficersoftheCompanybeandeachherebyisauthorizedanddirectedtotake,orcausetobetaken,allactionsnecessaryoradvisabletodelistandsuspendthetradingoftheCommonStockon_______upontheadmissionoftheCommonStocktotradingontheNYSE,includingthepreparation,executionanddeliveryofapplication,documents,formsandagreementswith______andtheSEC.

RESOLVEDFURTHER,thatthetransferagentandregistrarfortheCommonStockcontinuetobe____________________________________.

RESOLVEDFURTHER,thatallofficersoftheCompanybeandeachherebyisauthorizedfromtimetotimetodo,orcausetobedone,allsuchotheractsandthingsandtoexecuteanddeliverallsuchinstrumentsanddocuments,aseachsuchofficershalldeemnecessaryorappropriatetocausetheCompanytobecomelistedandadmittedtotradingontheNYSEand,uponsuchadmissiontotrading,tocausetheCompanytobedelistedon______andotherwisetocarryoutthepurposeandintentoftheforegoingresolutions.

RESOLVEDFURTHER,thatallactionstakenandexpensesincurredbyanyofficerordirectorheretoforeinfurtheranceofanyoftheactionsauthorizedbytheforegoingresolutionsherebyandexpresslyratified,confirmed,adoptedandapproved.