18 January 2018

Checklist of routine annual and other activities to be completed by NYSE American-listed companies


M. Ridgway Barker
Partner | US

This memorandum lists typical activities for a NYSE American (formerly NYSE MKT, and before that NYSE Amex) (“NYSE American”)-listed company, its Board of Directors and its Audit, Compensation and Nominating/Governance Committees, especially in connection with the Annual Meeting of Stockholders. Please note that, in any particular situation, additional activities may need to be completed, not all of the activities mentioned apply to all situations and each company’s activities will depend on its governing documents. A NYSE American-listed newly public company, emerging growth company, smaller reporting company, foreign private issuer or limited partnership, a NYSE American-listed company that is emerging from bankruptcy, a “controlled company” within the meaning of NYSE American rules, a company formed by reverse merger or a special purpose acquisition corporation (SPAC) may have additional, fewer or different requirements.

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M. Ridgway Barker Partner | Greenwich