(f) Information regarding securities or
obligations issued.
(1) Pursuant to authority
granted by order of this commission:
(i)
Notice of issuance shall be filed within the period specified in the order
approving the issuance of the securities or obligations.
(ii) Issuance of capital stock, in exchange
for convertible securities issued pursuant to commission authorization, may be
reported annually, not later than 60 days after the end of the calendar year
covered by the report; such report to show only the number of shares of such
stock issued during such calendar year, the securities retired by reason of the
exchange, and the additional consideration realized, if any, by reason of the
exchange.
(iii) For each type of
security or obligation, include the following information, as appropriate:
(a) Designation of security--classified
according to distinguishing characteristics, such as class of stock of par
value or no par value and dividend rate of preferred stock, or character of
debt obligation and interest rate or maturity date or other distinguishing
characteristic.
(b) Date of actual
issue or assumption.
(c) Number of
shares of each class of stock or principal amount of each debt obligation
issued.
(d) Consideration realized
from each class or type of security (if consideration is other than cash, give
description and basis of value).
(e) Case number and date of order of this
commission under which the security issue was authorized.
(2) Securities issued or assumed
under circumstances not requiring the formal approval of this commission, such
as obligations (real estate mortgages, chattel mortgages, conditional sales
agreements, promissory notes, etc.) having a term of less than 12 months:
(i) Notice of issuance shall set forth the
transaction covering obligations issued during each calendar month and shall be
filed not later than 10 days after the end of the calendar month covered by
such report.
(ii) For each type of
obligation of $10,000 face amount or more, include the following information as
appropriate:
(a) Designation of the obligation
giving descriptive distinguishing characteristics. Include description of real
estate mortgage, chattel mortgage, conditional sale agreement, or any
hypothecation of assets given in connection with the obligation.
(b) Date of actual issue or
assumption.
(c) Name of
payee.
(d) Principal or face
amount.
(e) Rate of
interest.
(f) Date of maturity (if
demand so specify) or schedule of periodic payments.
(g) Names of endorsers, if any.
(h) Consideration realized from issuance of
the obligation.
(i) Purpose for
which the obligation was issued; if for cash indicate the use to which the
proceeds are to be applied.
(j)
State whether the obligation represents an increase of indebtedness or an
obligation given in renewal of existing obligations or in cancellation of
accounts payable. For renewals of obligations of $10,000 face amount or more
give the dates and amounts of the obligations for which the renewal obligation
is in whole or in part to be substituted; for renewals of obligations of less
than $10,000 face amount, give the data or month of issuance, the rate of
interest, date or month of maturity and the total amount of the obligations for
which the renewal obligation is in whole or in part to be substituted. (See
subparagraph [iv] of this paragraph.)
(iii) For each type of obligation of less
than $10,000 face amount list the information required in subparagraph (ii) of
this paragraph or group each type of obligation of less than $10,000 face
amount which is identical except for the payee, the exact date of issue or
assumption within any one calendar month and the exact date of maturity within
any one calendar month. Report for each group the information required in
clauses (ii)(a), (e), (g), (h), (i) and (j) of this paragraph but substitute
for clauses (ii)(b), (c), (d) and (f), the following (b) month of actual issue
or assumption, (c) number of obligations, (d) amount of indebtedness and (f)
the month and year of maturity (if demand so specify).
(iv) Report the outstanding obligations as of
the final date of the period covered by the notice of issuance. List the date
of actual issue or assumption, principal or face amount and rate of interest of
all obligations reported pursuant to subparagraph (ii) of this paragraph. For
obligations reported pursuant to subparagraph (iii) of this paragraph, list the
date or month of actual issue or assumption, the rate of interest of each
obligation or group of obligations and the amount of each obligation or group
of obligations outstanding.
(3) For any other class of securities, give
corresponding particulars, not later than 10 days after the end of the calendar
month in which issued or assumed, to the end that the commission may be fully
advised as to the nature of the transaction and purpose for which obligations
were incurred or securities were issued and the proceeds therefrom are to be
used.