Rule 135c
 
Notice of Certain Proposed Unregistered Offerings
a.
For the purposes only
of section 5
of the Act, a notice given by an issuer required to file reports pursuant
to section 13 or 15(d) of the Securities Exchange Act of 1934 or a foreign
issuer that is exempt from registration under the Securities Exchange
Act of 1934 pursuant to
Rule
12g3-2(b) of this chapter that it proposes to make, is making or has
made an offering of securities not registered or required to be registered
under the Act shall not be deemed to offer any securities for sale if:
1.
Such notice is not used for the purpose of conditioning the market in
the United States for any of the securities offered;
2.
Such notice states that the securities offered will not be or have not
been registered under the Act and may not be offered or sold in the United
States absent registration or an applicable exemption from registration
requirements; and
3.
Such notice contains
no more than the following additional information:
i.
The name of the issuer;
ii.
The title, amount and basic terms of the securities offered, the amount
of the offering, if any, made by selling security holders, the time of
the offering and a brief statement of the manner and purpose of the offering
without naming the underwriters;
iii.
In the case of a rights offering to security holders of the issuer, the
class of securities the holders of which will be or were entitled to subscribe
to the securities offered, the subscription ratio, the record date, the
date upon which the rights are proposed to be or were issued, the term
or expiration date of the rights and the subscription price, or any of
the foregoing;
iv.
In the case of an offering of securities in exchange for other securities
of the issuer or of another issuer, the name of the issuer and the title
of the securities to be surrendered in exchange for the securities offered,
the basis upon which the exchange may be made, or any of the foregoing;
v.
In the case of an offering to employees of the issuer or to employees
of any affiliate of the issuer, the name of the employer and class or
classes of employees to whom the securities are offered, the offering
price or basis of the offering and the period during which the offering
is to be or was made or any of the foregoing; and
vi.
Any statement or legend required by State or foreign law or administrative
authority.
b. Any
notice contemplated by this section may take the form of a news release
or a written communication directed to security holders or employees,
as the case may be, or other published statements.
c. Notwithstanding
the provisions of paragraphs (a) and (b) of this section, in the case
of a rights offering of a security listed or subject to unlisted trading
privileges on a national securities exchange or quoted on the NASDAQ inter-dealer
quotation system information with respect to the interest rate, conversion
ratio and subscription price may be disseminated through the facilities
of the exchange, the consolidated transaction reporting system, the NASDAQ
system or the Dow Jones broad tape, provided such information is already
disclosed in a Form 8-K on file with the Commission, in a Form 6-K furnished
to the Commission or, in the case of an issuer relying on
Rule
12g3-2(b) of this chapter, in a submission made pursuant to that Section
to the Commission.
d. The
issuer shall file any notice contemplated by this section with the Commission
under cover of Form 8-K or furnish such notice under Form 6-K, as applicable,
and, if relying on
Rule
12g3-2(b) of this chapter, shall furnish such notice to the Commission
in accordance with the provisions of that exemptive Section.
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