并购协议中的“registration statement”指的是什么?

并购协议中的“registration statement”指的是什么?

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“申请上市登记报告”,亦可简称为“登记报告”或“登记声明”。根据美国1933年《证券法》(Securities Act)和1934年《证券交易法》(Securities Exchange Act),需要公开发行股票或希望其股票在证券交易所上市的公司必须向证券交易委员会提交的报告。In the United States, a registration statement is a set of documents, including a prospectus, which a company must file with the U.S. Securities and Exchange Commission before it proceeds with a public offering.

 

登记报告主要分为两部分:

第一部分为Prospectus,即我们在翻译时经常会遇到的招股说明书(由公司或其代理人、受托人发表的说明公司发行股份、债券或其他证券的性质和目标的文书,用以揭示证券的投资或风险特征,以邀请公众认购,该文件应包括关于公司及其经营状况的全部重要事实,以便未来的投资者就投资的价值作出抉择。招股说明书中还应包括公司经审计的财务报表(audited financial statements))。

 

第二部分为一些补充信息和附件(additional information and exhibits),这些信息无需向投资者交付,但需向证券交易委员会提交备案。

 

登记报告所需采用的基本表格格式为美国的Form S-1 (S-1表格),其代表的就是Form S-1代表“IPO Registration”。

 

以下为registration statement的双语示例:

Notwithstanding the foregoing, if the Company shall furnish to the Holders requesting registration pursuant to this Section 2.3, a certificate signed by the President or Chief Executive Officer of the Company stating in the good faith judgement of the Board, it would be materially detrimental to the Company and its shareholders for such registration statement to be filed at such time, then the Company shall have the right to defer such filing for a period of not more than ninety( 90) days after receipt of the request of the Initiating Holders; provided, however, that the Company may not utilize this right more than once in any twelve (12) month period; provided further, that the Company shall not register any other of its shares during such twelve (12) month period. A demand right shall not be deemed to have been exercised until such deferred registration shall have been effected.

尽管有上述规定,如果公司根据本第2.3条向要求登记的持有人提供一份由公司总裁或首席执行官签署的证明,表明董事会善意认为,如果在该时间提交该等登记声明,将会对本公司及其股东造成重大损害,则本公司有权将该登记延迟一段时间,但不晚于收到该等提出持有人的要求后届满九十(90)天之日;但前提是,公司在任何十二(12)个月内最多只能使用一次该权利;此外,公司不得在该十二(12)个月内登记其任何其他股份。在实施被延期登记之前,要求权不得被视为已行使。

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