UKLR 20.4 Shares

UKLR 20.4.2R to UKLR 20.4.4R apply to an applicant which is applying for a listing of its shares except for preference shares that are specialist securities.

The following documents must be submitted, in final form, to the FCA by midday 2 business days before the FCA is to consider the application:

1. (1)

    a completed Application for Admission of Securities to the Official List;

2. (2)

    the prospectus that has been approved by the FCA;

3. (3)

    any circular that has been published in connection with the application, if applicable;

4. (4)

    any approved supplementary prospectus, if applicable;

5. (5)

    [deleted]

6. (6)

    if a prospectus has not been produced, a copy of the RIS announcement detailing the type of shares that are the subject of the application and the circumstances of their issue; and

7. (7)

    written confirmation of:

   1. (a)

      1. (i)

          the contact details of at least 2 of its executive directors (or, where the issuer has no executive directors, at least 2 of its directors); or

      2. (ii)

          where the issuer has only 1 executive director or has only 1 director, the contact details of that director,

         as required under UKLR 1.3.5R;

   2. (b)

       the contact details of a nominated person at the issuer as required under UKLR 1.3.7R and UKLR 1.3.8R; and

   3. (c)

       the contact details of appropriate persons nominated by the issuer to act as the first point of contact with the FCA in relation to the issuer’s compliance with the listing rules, the disclosure requirements and the transparency rules following admission under UKLR 6, UKLR 11, UKLR 12, UKLR 13, UKLR 14 or UKLR 16 (as appropriate).

   [Note: The Application for Admission of Securities to the Official List form can be found on the Primary Markets section of the FCA’s website.]

If a prospectus has not been produced, the Application for Admission of Securities to the Official List must contain confirmation that a prospectus is not required and details of the reasons why they are not required.

A completed Shareholder Statement, signed by a sponsor (if a sponsor is required under UKLR 4) or by a duly authorised officer of the applicant (if a sponsor is not required under UKLR 4), must be submitted, in final form, to the FCA before 9am on the day the FCA is to consider the application.

[Note: The Shareholder Statement form can be found on the Primary Markets section of the FCA’s website.]