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This appendix is available as an online formAppendix 3A.3 Notification of reorganization of capital +Security consolidation or split+Rule 3.20.4, 7.187.24A, 15.3, Appendix 7A paragraphs 8 & 9. For
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What is appendix 3a5 notification of?
Appendix 3a5 notification is for reporting acquisitions of foreign securities or foreign security related activities.
Who is required to file appendix 3a5 notification of?
Any person who acquires beneficial ownership of 5% or more of a class of foreign securities.
How to fill out appendix 3a5 notification of?
You can fill out the appendix 3a5 notification form electronically through the SEC's EDGAR system.
What is the purpose of appendix 3a5 notification of?
The purpose is to provide transparency and regulatory oversight of foreign securities acquisitions.
What information must be reported on appendix 3a5 notification of?
Information such as name of acquirer, description of securities acquired, date of acquisition, and purpose of acquisition must be reported.
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