0001143313-16-000090.txt : 20160317
0001143313-16-000090.hdr.sgml : 20160317
20160317110104
ACCESSION NUMBER: 0001143313-16-000090
CONFORMED SUBMISSION TYPE: 25-NSE
PUBLIC DOCUMENT COUNT: 2
FILED AS OF DATE: 20160317
DATE AS OF CHANGE: 20160317
EFFECTIVENESS DATE: 20160317
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: GreenHunter Resources, Inc.
CENTRAL INDEX KEY: 0001410056
STANDARD INDUSTRIAL CLASSIFICATION: INDUSTRIAL ORGANIC CHEMICALS [2860]
IRS NUMBER: 204864036
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 25-NSE
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33893
FILM NUMBER: 161511636
BUSINESS ADDRESS:
STREET 1: 1048 TEXAN TRAIL
CITY: GRAPEVINE
STATE: TX
ZIP: 76051
BUSINESS PHONE: 972-410-1044
MAIL ADDRESS:
STREET 1: 1048 TEXAN TRAIL
CITY: GRAPEVINE
STATE: TX
ZIP: 76051
FORMER COMPANY:
FORMER CONFORMED NAME: GreenHunter Energy, Inc.
DATE OF NAME CHANGE: 20070817
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: NYSE MKT LLC
CENTRAL INDEX KEY: 0001143313
IRS NUMBER: 522127241
FILING VALUES:
FORM TYPE: 25-NSE
BUSINESS ADDRESS:
STREET 1: 20 BROAD STREET, 17TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10005
BUSINESS PHONE: 212-656-5024
MAIL ADDRESS:
STREET 1: 20 BROAD STREET, 17TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10005
FORMER COMPANY:
FORMER CONFORMED NAME: NYSE Amex
DATE OF NAME CHANGE: 20090402
FORMER COMPANY:
FORMER CONFORMED NAME: NYSE Alternext US LLC
DATE OF NAME CHANGE: 20081009
FORMER COMPANY:
FORMER CONFORMED NAME: AMERICAN STOCK EXCHANGE LLC
DATE OF NAME CHANGE: 20010620
25-NSE
1
primary_doc.xml
X0203
0001143313
NYSE MKT LLC
1410056
GreenHunter Resources, Inc.
001-33893
1048 Texan Trail
Grapevine
TX
TEXAS
76051
972-410-1044
10% Series C Cumulative Preferred Stock
17 CFR 240.12d2-2(b)
Benjamin Sawyer
Manager
2016-03-17
EX-99.25
2
ruleprovisionnotice.htm
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES
NYSE MKT LLC (the 'Exchange' or 'NYSE MKT') hereby notifies the Securities and Exchange Commission ('SEC') of its intention to remove the entire class of Common Stock (the 'Common Stock') and 10% Series C Cumulative Preferred Stock (the 'Preferred Stock') of GreenHunter Resources, Inc. (the 'Company') from listing and registration on the Exchange at the opening of business on March 28, 2016, pursuant to the provisions of Rule 12d2-2(b) because, in the opinion of the Exchange, the Common Stock and Preferred Stock are no longer suitable for continued listing and trading on the Exchange.
NYSE Regulation reached its decision to initiate delisting proceedings pursuant to Section 1003(a)(iv) of the NYSE MKT Company Guide (the 'Guide') based on the disclosure in the Company’s March 1, 2016 press release, that it and certain operating subsidiaries filed voluntary petitions for relief under Chapter 11 of the Bankruptcy Code in the United States Bankruptcy Court for the District of Texas, Fort Worth.
1. Based on the Company’s announcement mentioned above, on March 1, 2016, NYSE Regulation determined that the Common Stock and Preferred Stock of the Company should be suspended immediately from trading, and directed the preparation and filing with the SEC of this application for the removal of the Common Stock and Preferred Stock from listing and registration on the Exchange. The Company was notified by phone on March 1, 2016 and by letter on March 2, 2016.
2. Pursuant to the above authorization, a press release was immediately issued and an announcement of the suspension of trading in the Common Stock and Preferred Stock was made on the 'ticker' of the Exchange immediately and at the opening of the trading session on March 2, 2016. Similar information was included on the Exchange's website.
3. Pursuant to Sections 1009(g) and 1203 of the Company Guide, the Company had a right to appeal to a Listings Qualification Panel (the 'Panel') the determination to delist the Common Stock and Preferred Stock, provided that it filed a written request for such a review with the Office of the General Counsel of the Exchange within seven calendar days of receiving notice of the delisting determination. The Company did not file such request within the specified time period. Consequently, all conditions precedent under SEC Rule 12d2-2(b) to the filing of this application have been satisfied.