Securities law, SEC reporting, financial reporting, external reporting, securities regulation

1. 1 | Research conductedby Arthur Mboue
Disclosure Filed or
Furnished
Updating
allowed?
Exhibit
required?
Safe Harbor
protection
available?
Impact on
Form S-3
eligibility?
References
(SEC CDI Q
& A
number )
Examples
Section I- Registrant’s business and operations
Item 1.01-Entry into material
definitive agreementthat
providesfor rights on
obligationsmaterial to and
enforceable byor against the
agreement
Filed yes Yes yes no 102.01-
102.03,
202.01
Item 1.02-Termination of
material definitive
agreement
Filed No No yes No 10-3.01-
103.03
Item 1.03-Bankruptcy and
receivership
Filed No yes No No
Item 1.04-Mine safety
reportingshutdowns and
patterns of violations
Filed No No yes No
Section II- Financial Information
Item 2.01-Completionof
acquisitionor dispositionof
significationamountsof
assets
Filed Yes Yes No No 205.01-
205.05
Item 2.02-Disclosure of
material non- public
informationregarding a
completedfiscal year or
quarter
Furnished No Yes No No 106.01-
106.05,
206.01
Item 2.03-Creation of direct
financial obligationor an
obligation under an off
balance sheetarrangement
Filed No No Yes No 107.01-
107.02
Items
Requirement
s
SEETRIGGERINGEVENTTABLES
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2. 2 | Research conductedby Arthur Mboue
Item 2.04-Triggering events
that accelerate and increase
a directfinancial obligation
under an offbalance sheet
arrangement
Filed No No Yes No 108.01,
208.01-
208.02
Item 2.05-costs associated
with exitnor disposal
activities
Filed Yes No Yes No 209.01,
109.01-
109.02
Item 2.06-Material
impairments
Filed Yes No Yes NO 110.01
SectionIII-SecuritiesandTrading Markets
Item 3.01-Notice of delisting
or failure to satisfya
continuedlistingrule or
standard, transfer or listing
Filed No No No yes 216.01,
211.01
Item 3.02-Unregisteredsales
of equitysecurities
Filed Yes no No yes 112.01-
112.02,
212.01-
212.03
Item 3.03-material
modificationof rightsof
securitiesholdersincluding
working capital restricted
other limitationon the
payment of dividends
Filed No No No yes 213.01
SectionIV- Matters Related to Auditor and Financial statement
Item 4.01-Changes of auditor Filed 114.01-
114.03,
214.01-
214.02
Item 4.02-non reliance on
previouslyissuedfinancial
statementsor a relatedaudit
report or completedinterim
Filed Yes Yes Yes (a) No (yesfor
b)
115.01-
115.03,
215.01
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3. 3 | Research conductedby Arthur Mboue
review
SectionV-Corporate Governance and Management
Item 5.01-changes in control
of the registrants
Filed No No No Yes
Item 5.02-Departure of
directors or principal
executive officers;electionof
directors; appointmentof
principal executive officers
Filed Yes (a,c &
d)
Yes No (a-d& f) Yes (a-d& f) 117.01-
117.16,
217.01-
217.09
Item 5.03-Amendmentsto
the articlesof incorporation
or Bylaws, change in fiscal
years
Filed Yes
(somehow)
Yes No Yes 118.01,
218.01
Item 5.04-Temporary
suspensionor trading under
registrants
Filed No No No Yes 119.01
Item 5.05-Code ofethics
amendmentor waivers
granted
Filed No No No Yes
Item 5.06-change in shell
company status
Filed No No No Yes
Item 5.07-submissionof
matters to a vote ofsecurity
holders
Filed No No No Yes 121A.01-
121A.04
Item 5.08- shareholder
director nomination
Filed No No No Yes
Section VI- Asset Backed Securities
Item 6.01-ABS informational
and computational material
Filed No Yes No Yes
Item 6.02-change of servicer
or trustee
Filed No No No Yes
Item 6.03-change in credit
enhancementor other
external support
Filed No Yes Yes Yes
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4. 4 | Research conductedby Arthur Mboue
Item 6.04-failure to make a
requireddistribution
Filed No No No Yes
Item 6.05-securitiesact
updating disclosure
Filed No No No Yes
Section VII- Regulation FD
Item 7.01-regulationFD
disclosure
Furnished No No No No
Section VIII-Other Events
Item 8.01-Other events Filed No Yes/No No No
Section IX- Financial statement and exhibits
Item 9.01-financial
statementsand exhibits
Filed No Yes No Yes (of
requiredto
be filed)
129.01,
229.01-
229.04
SEC, Compliance and
Disclosure Interpretations,
disclosure operations,
updated May 16, 2013
www.sec.gov/divisions/corpfin/guidance/8-kinterp.htm
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