1 Research conducted by Arthur Mboue

item Triggering events Required disclosure 10b/Rule 10b-5, safe harbor available?

Impact on Form S-3 eligibility?

Examples from GE & other filing

SECTION I: REGISTRANT’S BUSINESS AND OPERATIONS1.01- Entry into material definitive

agreement that provides for rights or obligations material to and enforceable by or against the agreement

Indicate the date of the agreement or amendment Describe the parties involved Describe briefly any material relationship between company or affiliates

and any other parties Describe briefly material terms and condition of agreement or

amendment File material definitive agreement as required exhibit References : SEC CDI Q & A 102.01-102.03, 202.01

Yes No

1.02 Termination of material definitive agreement

Indicate the date of termination and identify parties Describe briefly any material relationship between company or

affiliates and parties Describe briefly material terms and condition of agreements Describe briefly material circumstances surrounding termination Provide material early termination penalties incurred by company No required exhibit Ref : SEC CDI Q & A 103.01-103.03

YES NO

1.03 Bankruptcy or Receivership 1.03 (a)-bankruptcyo Provide the name of the proceedingo Identify court or governmental authorityo Indicate the date of jurisdiction assumedo Identify receiver, fiscal agent or similar officero Indicate the date of appointment

1.03 (b)-Reorganization (liquidation)o Identity the court or governmental authorityo Indicate the date of the order confirming plan was entered by

court or governmentalo Disclose the number of shares or other units of company or

parent issued and outstanding, reserved for future issuance in respect of claims and interest filed and allowed under plan and in total

o Disclose assets and liabilities of company or parent as a date of entry of order

o File plan as a required exhibit

NO YES

1.04 Mine safety reporting of shutdowns and patterns of violations

Indicate the date of receipt Provide the category of notice or order Provide subject mine’s name and location No required exhibit

YES NO

SECTION II: FINANCIAL INFORMATION2.01 Completion of acquisition or

disposition of significant amounts Indicate the date of completion of transaction Describe briefly assets involved

NO NO