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友善列印
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Article NO. Content

Title:

Regulations Governing Information to be Published in Financial Institution Prospectuses for Offering and Issuance of Securities  CH

Amended Date: 2020.03.24 
Article 16 The section on employee stock warrants shall include the following information:
1.For employee stock warrants issued by the company but not yet mature, indicate the following: the date of effective registration with the competent authority; issue date; number of units issued; ratio of subscribable shares to total issued and outstanding shares; warrant exercise period; warrant exercise method; restrictions on the warrant exercise period and exercise ratio; as of the date of publication of the prospectus, the number of shares that have been obtained through exercise of warrant rights, the [New Taiwan] dollar amount of the shares subscribed, number of shares that have not been subscribed, subscription price per share of the unsubscribed shares, and ratio of the number of unsubscribed shares to the number of issued shares; and effect on shareholders' equity. (Attachment 37)
2.Names and subscription status of managerial officers who have obtained employee stock warrants and of employees who rank among the top ten in terms of the number of shares to which they have subscription rights through employee stock warrants acquired, cumulative to the date of publication of the prospectus. (Attachment 38)
3.Status of private placements of employee stock warrants in the three most recent fiscal years, and in the current fiscal year up to the date of publication of the prospectus: Disclose the dates and quantities passed at shareholders meetings; basis for and reasonableness of the pricing; means of selecting the specified persons (where the placees have already been arranged, further indicate company and personal the names of the placees and their relationship with the company); the reasons necessitating the private placement; the targets of the private placement, their qualifications, subscription amounts, relationship with the company, participation in the operations of the company, actual subscription price, the difference between the actual subscription price and the reference price; the effect of the private placement on shareholders' equity; and for the period from receipt of payment in full to the completion of the related capital allocation plan, the status of use of the capital raised through the private placement of employee stock warrants, the implementation progress of the plan, and the status of realization of the benefits of the plan. (Attachment 39)