Securities Lawyer's Deskbook
                         published by The University of Cincinnati College of Law
UC Law logo

Mergers and Acquisitions

Item 1016 -- Exhibits

File as an exhibit to the schedule:
  1. Any disclosure materials furnished to security holders by or on behalf of the filing person, including:

    1. Tender offer materials (including transmittal letter);

    2. Solicitation or recommendation (including those referred to in Item 1012 of Regulation M-A;

    3. Going-private disclosure document;

    4. Prospectus used in connection with an exchange offer where securities are registered under the Securities Act of 1933; and

    5. Any other disclosure materials;

  2. Any loan agreement referred to in response to Item 1007(d) of Regulation M-A;

    Instruction to Item 1016(b):

    If the filing relates to a third-party tender offer and a request is made under Item 1007(d) of Regulation M-A, the identity of the bank providing financing may be omitted from the loan agreement filed as an exhibit.

  3. Any report, opinion or appraisal referred to in response to Item 1014(d) or Item 1015 of Regulation M-A;

  4. Any document setting forth the terms of any agreement, arrangement, understanding or relationship referred to in response to Item 1005(e) or Item 1011(a)(1) of Regulation M-A;

  5. Any agreement, arrangement or understanding referred to in response to Item 1005(d), or the pertinent portions of any proxy statement, report or other communication containing the disclosure required by Item 1005(d) of Regulation M-A;

  6. A detailed statement describing security holders' appraisal rights and the procedures for exercising those appraisal rights referred to in response to Item 1004(d) of Regulation M-A;

  7. Any written instruction, form or other material that is furnished to persons making an oral solicitation or recommendation by or on behalf of the filing person for their use directly or indirectly in connection with the transaction; and

  8. Any written opinion prepared by legal counsel at the filing person's request and communicated to the filing person pertaining to the tax consequences of the transaction.

Exhibit Table to Item 1016 of Regulation M-A [13E-3 to 14D-9]

Disclosure Material X X X
Loan Agreement X X ........
Report, Opinion or Appraisal X ........ ........
Contracts, Arrangements or Understandings X X X
Statement re: Appraisal Rights X ........ ........
Oral Solicitation Materials X X X
Tax Opinion ........ X ........

Regulatory History

64 FR 61408, 61448, Nov. 10, 1999

Return to top

Notice to Users: The Deskbook is made available with the understanding that the University of Cincinnati College of Law is not engaged in rendering legal, accounting or other professional services. If legal advice or other expert assistance is required, the services of a competent professional person should be sought. See Terms and Conditions of Use.  UC Brand Ingot

© Copyright 1998-2009, University of Cincinnati, All Rights Reserved