1 Research conducted by Arthur Mboue ite m Triggering events Required disclosure 10b/ Rule 10b-5, safe harbor availab le? Impact on Form S-3 eligibi lity? Example s from GE & other filing SECTION I: REGISTRANT’S BUSINESS AND OPERATIONS 1.01- 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)-bankruptcy o Provide the name of the proceeding o Identify court or governmental authority o Indicate the date of jurisdiction assumed o Identify receiver, fiscal agent or similar officer o Indicate the date of appointment 1.03 (b)-Reorganization (liquidation) o Identity the court or governmental authority NO YES