NanoViricides Inc (NNVC)

[loanranger]

"But this would seem to be an obvious requirement from the Uplisting to NYSE Mkt. Is it possible it is replaced by the amended Articles?"

If you know where one can find a complete copy of the most recently amended Articles, please let me know.

NYSE MKT makes no specific reference to either the Articles or the By-laws in the following section of its rules. As you can see the list of requested documents is quite specific. I have highlighted the only possible relevant requirement, but it's not clear to me whether they are using the term "exhibit" in the same sense that the SEC uses it.
Sec. 211. ORIGINAL LISTING APPLICATION—GENERAL
(a) Form—A typewritten listing application (signed by an executive officer of the applicant), together with all appropriate attachments, as outlined below, and one copy only of each of the required exhibits, should be filed with the Exchange for examination. If any deficiencies are noted, or any changes are considered necessary in the form or contents of the application and exhibits, the applicant will be notified.

(b) Incorporation by Reference—A copy of the following documents should be attached to each original listing application submitted and the information contained therein may be incorporated by reference (see §212, Item 2):

(i) latest Form 10-K Annual Report, Form 10-Q Quarterly Report(s) and Form 8-K Current Report(s) for periods subsequent to the latest Form 10-K (or comparable periodic reports filed with the appropriate regulatory agency of the applicant pursuant to the Securities Exchange Act of 1934), and latest proxy statement for annual meeting of stockholders; or

(ii) a prospectus declared effective by the SEC which contains the latest audited financial statements of the applicant, Form 10-Q Quarterly Report(s) and Form 8-K Current Report(s) (or comparable periodic reports filed with the appropriate regulatory agency of the applicant pursuant to the Securities Exchange Act of 1934), for periods subsequent to the effective date of the prospectus, and latest available proxy statement for meeting of stockholders. In the event a Form 10-Q Quarterly Report (or comparable periodic report) for a quarter ended more than 45 days before the date of the listing application is not required to be filed with the SEC (or other appropriate regulatory agency), financial information comparable to that which would have been included in the Form 10-Q Quarterly Report shall be filed with the Exchange as part of the listing application; and

(iii) latest annual report distributed to stockholders; and

(iv) such other information, documents or materials as may be deemed appropriate by the Exchange for inclusion in the applicant's listing application.

(c) Listing Fee—A check drawn to the order of "NYSE MKT LLC" should accompany the submission. (See §140 for computation of amount.)

(d) Accounting Review—A company's financial statements may be submitted to the Exchange's consulting accountants for review as to compliance with Exchange requirements and generally accepted accounting principles ("GAAP").

(e) The Exchange may request any additional information or documentation, public or non-public, deemed necessary to make a determination regarding a security's initial listing eligibility, including, but not limited to, any material provided to or received from the SEC or other appropriate regulatory authority. An issuer may be denied initial listing if it fails to provide such information within a reasonable period of time or if any communication to the Exchange contains a material misrepresentation or omits material information necessary to make a communication to the Exchange not misleading.
http://wallstreet.cch.com/MKTtools/PlatformViewer.asp?SelectedNode=chp_1_1_2&manual=/MKT/CompanyGuide/mkt-company-guide/
-----------------------------------------------------

It's possible that NYSE MKT specifically requested the items in question in accordance with item (e) above, but that wouldn't alter the fact that it appears that the public itself has not been provided them, even though the SEC 10-K's for the last number of years says they have.
I welcome anyone at all to provide a link to NNVC's Articles of Incorporation and By-laws and I'll be grateful and go in peace.


ps. As BK noted, the company did issue proxy statements and hold shareholder meetings in the last two years. I have questions about them, but they tie in to the processes that are called for in the corporate by-laws. One thing at a time.