This document outlines the requirements for different items that can be reported in an 8-K filing with the SEC. It details whether each item requires a filing or furnishing, if an exhibit is required, if it qualifies for safe harbor protection, and its impact on Form S-3 eligibility. Some common items include entry into or termination of material agreements, changes in control, unregistered securities sales, auditor changes, and financial statement updates. The document provides references to relevant SEC regulations and examples of each reporting item.

1. 1 | Research conductedby Arthur Mboue
Disclosure Filed or
Furnished
Updating
allowed?
Exhibit
required?
Safe Harbor
protection
available?
Impact on
Form S-3
eligibility?
References
(SEC CDI Q
& A
number )
Examples
Section I- Registrant’s business and operations
Item 1.01-Entry into material
definitive agreementthat
providesfor rights on
obligationsmaterial to and
enforceable byor against the
agreement
Filed yes Yes yes no 102.01-
102.03,
202.01
Item 1.02-Termination of
material definitive
agreement
Filed No No yes No 10-3.01-
103.03
Item 1.03-Bankruptcy and
receivership
Filed No yes No No
Item 1.04-Mine safety
reportingshutdowns and
patterns of violations
Filed No No yes No
Section II- Financial Information
Item 2.01-Completionof
acquisitionor dispositionof
significationamountsof
assets
Filed Yes Yes No No 205.01-
205.05
Item 2.02-Disclosure of
material non- public
informationregarding a
completedfiscal year or
quarter
Furnished No Yes No No 106.01-
106.05,
206.01
Item 2.03-Creation of direct
financial obligationor an
obligation under an off
balance sheetarrangement
Filed No No Yes No 107.01-
107.02
Items
Requirement
s
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2. 2 | Research conductedby Arthur Mboue
Item 2.04-Triggering events
that accelerate and increase
a directfinancial obligation
under an offbalance sheet
arrangement
Filed No No Yes No 108.01,
208.01-
208.02
Item 2.05-costs associated
with exitnor disposal
activities
Filed Yes No Yes No 209.01,
109.01-
109.02
Item 2.06-Material
impairments
Filed Yes No Yes NO 110.01
SectionIII-SecuritiesandTrading Markets
Item 3.01-Notice of delisting
or failure to satisfya
continuedlistingrule or
standard, transfer or listing
Filed No No No yes 216.01,
211.01
Item 3.02-Unregisteredsales
of equitysecurities
Filed Yes no No yes 112.01-
112.02,
212.01-
212.03
Item 3.03-material
modificationof rightsof
securitiesholdersincluding
working capital restricted
other limitationon the
payment of dividends
Filed No No No yes 213.01
SectionIV- Matters Related to Auditor and Financial statement
Item 4.01-Changes of auditor Filed 114.01-
114.03,
214.01-
214.02
Item 4.02-non reliance on
previouslyissuedfinancial
statementsor a relatedaudit
report or completedinterim
Filed Yes Yes Yes (a) No (yesfor
b)
115.01-
115.03,
215.01
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3. 3 | Research conductedby Arthur Mboue
review
SectionV-Corporate Governance and Management
Item 5.01-changes in control
of the registrants
Filed No No No Yes
Item 5.02-Departure of
directors or principal
executive officers;electionof
directors; appointmentof
principal executive officers
Filed Yes (a,c &
d)
Yes No (a-d& f) Yes (a-d& f) 117.01-
117.16,
217.01-
217.09
Item 5.03-Amendmentsto
the articlesof incorporation
or Bylaws, change in fiscal
years
Filed Yes
(somehow)
Yes No Yes 118.01,
218.01
Item 5.04-Temporary
suspensionor trading under
registrants
Filed No No No Yes 119.01
Item 5.05-Code ofethics
amendmentor waivers
granted
Filed No No No Yes
Item 5.06-change in shell
company status
Filed No No No Yes
Item 5.07-submissionof
matters to a vote ofsecurity
holders
Filed No No No Yes 121A.01-
121A.04
Item 5.08- shareholder
director nomination
Filed No No No Yes
Section VI- Asset Backed Securities
Item 6.01-ABS informational
and computational material
Filed No Yes No Yes
Item 6.02-change of servicer
or trustee
Filed No No No Yes
Item 6.03-change in credit
enhancementor other
external support
Filed No Yes Yes Yes
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4. 4 | Research conductedby Arthur Mboue
Item 6.04-failure to make a
requireddistribution
Filed No No No Yes
Item 6.05-securitiesact
updating disclosure
Filed No No No Yes
Section VII- Regulation FD
Item 7.01-regulationFD
disclosure
Furnished No No No No
Section VIII-Other Events
Item 8.01-Other events Filed No Yes/No No No
Section IX- Financial statement and exhibits
Item 9.01-financial
statementsand exhibits
Filed No Yes No Yes (of
requiredto
be filed)
129.01,
229.01-
229.04
SEC, Compliance and
Disclosure Interpretations,
disclosure operations,
updated May 16, 2013
www.sec.gov/divisions/corpfin/guidance/8-kinterp.htm
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