Securities Lawyer's Deskbook
published
by The
University
of Cincinnati College of Law
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General Rules and Regulations
promulgated
under the
Securities Exchange Act of 1934
Schedule 14d-9F -- Solicitation/Recommendation Statement Pursuant to Section
14(d)(4) of the Securities Exchange Act of 1934 and Rules 14d-1(b) and 14e-2(c)
Thereunder [Effective until Nov. 4, 2002.]
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Securities and Exchange Commission
Washington, DC 20549
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Schedule 14D-9F
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Solicitation/Recommendation Statement Pursuant to Section
14(d)4
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of the Securities Exchange Act of 1934 and Rules
14d-1(b) and
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14e-2(c) Thereunder
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[Amendment No. ___]
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(Name of Subject Company [Issuer])
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(Translation of Subject Company's [Issuer's] Name into English
(if applicable))
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(Jurisdiction of Subject Company's [Issuer's] Incorporation or
Organization)
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(Name(s) of Person(s) Filing Statement)
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(Title of Class of Securities)
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(CUSIP Number of Class of Securities (if applicable) )
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(Name, address (including zip code) and telephone number (including
area code) of person(s) authorized to receive notices and communications on behalf
of the person(s) filing statement)
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General Instructions
I. Eligibility Requirements for Use of Schedule 14D-9F
- . Schedule 14D-9F is used by any issuer incorporated
or organized under the laws of Canada or any Canadian province or territory that
is a foreign private issuer (the "subject company") , or by any director
or officer of such issuer, where the issuer is the subject of a cash tender or exchange
offer for a class of its securities filed on Schedule
14D-1F.
For purposes of this Schedule, "foreign private issuer" shall be construed
in accordance with Rule 405 under the Securities
Act.
- Any person(s) using this Schedule must comply
with the requirements of any Canadian federal, provincial and/or territorial law,
regulation or policy relating to a recommendation by the subject issuer's board of
directors, or any director or officer thereof, with respect to the offer.
II. Filing Instructions
- Five copies of this Schedule and any amendment thereto (see
part I, Item 1.(b)) , including all exhibits and any other paper or document
filed as part of the Schedule, shall be filed with the Commission at its principal
office. Each copy shall be bound, stapled or otherwise compiled in one or more parts,
without stiff covers. The binding shall be made on the side or stitching margin in
such manner as to leave the reading matter legible. Three additional copies of the
Schedule and any amendment thereto, similarly bound, also shall be filed. No exhibits
are required to accompany such additional copies.
- The original and at least one copy of this Schedule and any amendments
thereto shall be signed manually by the persons specified herein. Unsigned copies
shall be conformed.
- If any part of the document or documents to be sent to shareholders
is in a language other than English, it shall be accompanied by a translation in
English. If any other part of this Schedule, or any exhibit or other paper or document
filed as part of this Schedule, is in a language other than English, it shall be
accompanied by a substantive summary, version or translation in the English language.
- The manually signed original of the Schedule or any amendment thereto
shall be numbered sequentially (in addition to any internal numbering which otherwise
may be present) by handwritten, typed, printed or other legible form of notation
from the first page of the document through the last page of that document and any
exhibits or attachments thereto. Further, the total number of pages contained in
a numbered original shall be set forth on the first page of the document.
III. Compliance with the Exchange Act
- Pursuant to Rule 14e-2(c) under the Securities
Exchange Act of 1934 (the "Exchange Act"), this Schedule shall be filed
by an issuer, a class of the securities of which is the subject of a cash tender
or exchange offer filed on Schedule 14D-1F, and may
be filed by any director or officer of such issuer.
- Any recommendation with respect to a cash tender or exchange offer for
a class of securities of the subject company made pursuant to this Schedule is not
exempt from the antifraud provisions of section 10(b)
of the Exchange Act and Rule 10b-5 thereunder and section 14(e) of the Exchange Act and Rule
14e-3 thereunder, and this Schedule shall be deemed "filed" with the
Commission for purposes of section 18 of the Exchange
Act.
PART I
INFORMATION REQUIRED TO BE SENT TO SHAREHOLDERS
Item 1. Home Jurisdiction Documents
- This Schedule shall be accompanied by the entire
disclosure document or documents required to be delivered to holders of securities
to be acquired in the proposed transaction pursuant to the laws, regulations or policies
of Canada and/or any of its provinces or territories governing the conduct of the
offer. It shall not include any documents incorporated by reference into such disclosure
document(s) and not distributed to offerees pursuant to any such law, regulation
or policy.
- Any amendment made to a home jurisdiction document or documents
shall be filed with the Commission under cover of this Schedule, which must indicate
on the cover page the number of the amendment.
Item 2. Informational Legends
The following legends, to the extent applicable, shall appear on the outside front
cover page of the home jurisdiction document(s) in bold-face roman type at least
as high as ten-point modern type and at least two points leaded:
"This tender offer is made for the securities of a foreign issuer and while
the offer is subject to disclosure requirements of the country in which the subject
issuer is incorporated or organized, investors should be aware that these requirements
are different from those of the United States. Financial statements included herein,
if any, have been prepared in accordance with foreign generally accepted accounting
principles and thus may not be comparable to financial statements of United States
companies.
"The enforcement by investors of civil liabilities under the federal securities
laws may be affected adversely by the fact that the issuer is located in a foreign
country, and that some or all of its officers and directors are residents of a foreign
country."
Part II
INFORMATION NOT REQUIRED TO BE SENT TO SHAREHOLDERS
The exhibits specified below shall be filed as part of the Schedule, but are not
required to be sent to shareholders unless so required pursuant to the laws, or regulations
or policies of Canada and/or any of its provinces or territories. Exhibits shall
be appropriately lettered or numbered for convenient reference.
- File any reports or information that, in accordance
with the requirements of the home jurisdiction(s), must be made publicly available
by the person(s) filing this Schedule in connection with the transaction, but need
not be disseminated to shareholders.
- File copies of any documents incorporated by reference
into the home jurisdiction document(s) .
- If any name is signed to the Schedule pursuant to power of
attorney, manually signed copies of any such power of attorney shall be filed. If
the name of any officer signing on behalf of the issuer is signed pursuant to a power
of attorney, certified copies of a resolution of the issuer's board of directors
authorizing such signature also shall be filed.
Part III
UNDERTAKING AND CONSENT TO SERVICE OF PROCESS
- Undertaking
The Schedule shall set forth the following undertaking of the person filing it:
The person(s) filing this Schedule undertakes to make available, in person or by
telephone, representatives to respond to inquiries made by the Commission staff,
and to furnish promptly, when requested to do so by the Commission staff, information
relating to this Schedule or to transactions in said securities.
- Consent to Service of Process.
- At the time of filing this Schedule, the person(s)
(if a non-U. S. person) so filing shall file with the Commission a written irrevocable
consent and power of attorney on Form F-X.
- Any change to the name or address of a registrant's
agent for service shall be communicated promptly to the Commission by amendment to
Form F-X referencing the file number of the registrant.
Part IV
Signatures
- The Schedule shall be signed by each person on whose behalf the Schedule
is filed or its authorized representative. If the Schedule is signed on behalf of
a person by his authorized representative , evidence of the representative's authority
shall be filed with the Schedule.
- The name and any title of each person who signs the Schedule shall be
typed or printed beneath his signature.
- By signing this Schedule, the persons signing consent without power
of revocation that any administrative subpoena may be served, or any administrative
proceeding, civil suit or civil action where the cause of action arises out of or
relates to or concerns any offering made or purported to be made in connection with
filing on this Schedule 14D-9F or any purchases or sales of any security in connection
therewith, may be commenced against them in any administrative tribunal or in any
appropriate court in any place subject to the jurisdiction of any state or of the
United States by service of said subpoena or process upon the registrant's designated
agent.
After due inquiry and to the best of my knowledge and belief, I certify that the
information set forth in this statement is true, complete and correct.
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(Signature)
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(Name and Title)
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(Date)
56 FR 30073, July 1, 1991; 61 FR 24652, 24657, May 15, 1996
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