PURPOSE: Applications to the commission for the authority to issue stock, bonds, notes, or other evidences of indebtedness must meet the requirements set forth in this rule. As noted in the rule, additional requirements pertaining to such applications are set forth in 4 CSR 240-2.060(1). (1) In addition to the requirements of 4 CSR 240-2.060(1), applications for authority to issue stock, bonds, notes, and other evidences of indebtedness shall contain the following:

1. (A) A brief description of the securities which applicant desires to issue;
2. (B) A statement of the purpose for which the securities are to be issued and the use of the proceeds;

3. (C) Copies of executed instruments defining the terms of the proposed securities—

   1. 1. If these instruments have been previ-

ously filed with the commission, a reference to the case number in which the instruments were furnished;

1. 2. If these instruments have not been

executed at the time of filing, a statement of the general terms and conditions to be contained in the instruments which are proposed to be executed; and

1. 3. If none of these instruments is either 20 CSR 4240-10

executed or to be executed, a statement of how the securities are to be sold;

1. (D) A certified copy of resolutions of the directors of applicant authorizing the issuance of the securities;

2. (E) A balance sheet and income statement with adjustments showing the effects of the issuance of the proposed securities upon—

   1. 1. Bonded and other indebtedness; and
   2. 2. Stock authorized and outstanding;
3. (F) A statement of what portion of the issue is subject to the fee schedule in section 386.300, RSMo; and
4. (G) A five- (5-) year capitalization expenditure schedule as required by section 393.200, RSMo.

1. (2) If any of the items required under this rule are unavailable at the time the application is filed, they shall be furnished prior to the granting of the authority sought. AUTHORITY: section 386.250, RSMo 2016.* This rule originally filed as 4 CSR 240- 10.125. Original rule filed June 14, 2018, effective Jan. 30, 2019. Moved to 20 CSR 4240-10.125, effective Aug. 28, 2019.

*Original authority: 386.250, RSMo 1939, amended 1963, 1967, 1977, 1980, 1987, 1988, 1991, 1993, 1995, 1996.