Form 8-K
8-K — NOCERA, INC.
Accession: 0001683168-26-004203
Filed: 2026-05-21
Period: 2026-05-18
CIK: 0001756180
SIC: 0200 (AGRICULTURE PRODUCTION - LIVESTOCK & ANIMAL SPECIALTIES)
Item: Unregistered Sales of Equity Securities
Item: Other Events
Item: Financial Statements and Exhibits
Documents
8-K — nocera_8k.htm (Primary)
EX-10.1 — STRATEGIC ADVISORY AGREEMENT, DATED MAY 18, 2026 (nocera_ex1001.htm)
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UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
WASHINGTON,
D.C. 20549
FORM
8-K
CURRENT
REPORT
Pursuant
to Section 13 or 15(d) of the Securities Exchange Act of 1934
Date of
Report (date of earliest event reported): May 18,
2026
NOCERA,
INC.
(Exact
name of registrant as specified in charter)
Nevada
001-41434
16-1626611
(State or other jurisdiction
of incorporation)
(Commission
File Number)
(IRS Employer
Identification No.)
3F
(Building B), No. 185, Sec. 1, Datong Rd., Xizhi
Dist., New Taipei City Taiwan
221,
ROC
(Address
of principal executive offices and zip code)
(886)
910-163-358
(Registrant’s
telephone number, including area code)
N/A
(Former name or former address, if changed since
last report)
Check
the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of registrant under any
of the following provisions:
☐
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
☐
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
☐
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
☐
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Securities
registered pursuant to Section 12(b) of the Act: None
Title
of each class
Trading
Symbol
Name
of each exchange on which registered
Common
Stock, par value $0.001 per share
NCRA
The Nasdaq
Stock Market LLC
Indicate
by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405
of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter)
Emerging
growth company ☒
If
an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying
with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ◻
Item 3.02 Unregistered Sales of Equity Securities.
The information set forth in Item 8.01 of this
Current Report on Form 8-K is incorporated by reference into this Item 3.02.
Item 8.01 Other Events.
On May 18, 2026, Nocera, Inc. (the “Company”)
entered into a Strategic Advisory Agreement (the “Agreement”) with Phoenix MGMT & Consulting LLC (“Phoenix”),
a Delaware limited liability company, pursuant to which Phoenix will provide the Company with strategic advisory and execution support
services on a non-exclusive basis. The initial term of the Agreement is ninety (90) days, subject to extension by mutual written agreement
of the parties. Either party may terminate the Agreement upon written notice if the other party commits a material breach that remains
uncured for fifteen (15) days following notice.
As compensation, the Company will pay Phoenix
an initial retainer of $150,000 for the first thirty (30) days, followed by $50,000 per month thereafter, plus $50,000 in restricted shares
of the Company’s common stock, par value $0.001 per share (the “Common Stock”), per quarter, priced based on the five-day
volume-weighted average price (“VWAP”) prior to issuance. In addition, Phoenix will be entitled to a transaction fee equal
to five percent (5%) of the value of any merger, acquisition, joint venture, or similar transaction consummated during the term that Phoenix
introduced, structured, or materially advanced, payable fifty percent (50%) in cash and fifty percent (50%) in shares of Common Stock.
The shares of Common Stock issuable to Phoenix
under the Agreement have not been registered under the Securities Act of 1933, as amended (the “Securities Act”), and are
being issued in reliance on the exemption from registration provided by Section 4(a)(2) of the Securities Act. In the Agreement, Phoenix
has made a representation that it is an “accredited investor” as defined in Rule 501 of Regulation D under the Securities
Act.
The foregoing description of the Agreement does
not purport to be complete and is qualified in its entirety by reference to the full text of the Strategic Advisory Agreement, a copy
of which is filed as Exhibit 10.1 to this Current Report on Form 8-K and is incorporated herein by reference.
Item 9.01 Financial Statements and Exhibits.
(d) Exhibits.
Exhibit No.
Description
10.1
Form of Strategic Advisory Agreement, dated May 18, 2026, by and
between Nocera, Inc. and Phoenix MGMT & Consulting LLC
104
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2
SIGNATURES
Pursuant to the requirements of the Securities Exchange
Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
NOCERA, INC.
Date: May 21, 2026
By: /s/ Andy Ching-An Jin
Name: Andy Ching-An Jin
Title: Chief Executive Officer
3
EX-10.1 — STRATEGIC ADVISORY AGREEMENT, DATED MAY 18, 2026
EX-10.1
Filename: nocera_ex1001.htm · Sequence: 2
Exhibit 10.1
STRATEGIC ADVISORY
AGREEMENT
May 18, 2026
Nocera, Inc.
2030 Powers Ferry Road Southeast,
Suite No. 212
Atlanta, GA 30339,
United States
This Strategic Advisory (“Agreement”)
is made and entered into as of May 18, 2026 (the “Effective Date”), by and between Nocera, Inc., a Nevada corporation (the
“Company”), and Phoenix MGMT & Consulting LLC, a Delaware limited liability company (the “Consultant”). Each
of the Company and Consultant may be referred to herein individually as a “Party” and collectively as the “Parties.”
WHEREAS, Consultant is engaged in the business
of providing strategic advisory, reorganization, mergers and acquisitions, growth, and expansion, corporate communications and business
consulting services; and the Company desires to retain Consultant to provide such services, and Consultant is willing to provide such
services, subject to the terms and conditions set forth herein;
NOW, THEREFORE, in consideration of the mutual
promises and agreements contained herein, and other good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged,
the Parties agree as follows:
1. PURPOSE OF ENGAGEMENT
The purpose of this Agreement is to stabilize,
reposition, and enhance the Company’s valuation, credibility, profitability, corporate communications, and profitability through
coordinated strategic advisory and execution support.
1
2. ENGAGEMENT AND SERVICES
2.1 Engagement. The Company hereby engages Consultant,
on a non-exclusive basis, to perform the services described herein (the “Services”), and Consultant accepts such engagement.
2.2 Scope of Services. Consultant shall provide
advisory and execution support including but not limited to: (a) Capital structure evaluation and dilution mitigation strategies; (b)
Corporate Communications and investor alignment (c) Identification and support of strategic partnerships, joint ventures, and acquisitions;
(d) Institutional investor engagement strategy; (e) Executive-level advisory and implementation support.
2.3 Standard of Performance. Consultant shall
perform the Services in a commercially reasonable manner consistent with generally accepted industry standards.
2.4 Non-Exclusivity. This Agreement is non-exclusive.
The Company retains the right to engage other consultants, advisors, or service providers at its discretion. Consultant may provide services
to other clients and is not required to devote its full business time to the Company.
2.5 Roadmap. Consultant shall provide the Company
with a written monthly roadmap (the “Roadmap”) concurrently with each monthly invoice. The Roadmap shall outline the ongoing
and anticipated Services, including applicable initiatives, campaigns, social media strategies, approximate timelines, and related deliverables
for the applicable period. Due to the dynamic and time-sensitive nature of the Services performed by Consultant and its team, including,
but not limited to, hiring activities, influencer coordination, and social media campaign execution, Consultant shall not be required
to obtain the Company’s prior written approval before commencing or continuing the Services described in the Roadmap. Consultant
shall perform the Services in accordance with the Roadmap, as may be adjusted from time to time in the ordinary course of business. In
the event Consultant reasonably anticipates that the costs or budget associated with the Services will exceed the compensation amounts
set forth in Section 4.1, Consultant shall provide the Company with supporting documentation and obtain the Company’s written approval
for such additional expenditures within five (5) business days following the Company’s receipt of such documentation. For the avoidance
of doubt, the Roadmap shall not include any staffing information, targets, milestones, or performance metrics based upon the Company’s
stock price or trading volume.
3. REGULATORY STATUS
3.1 Consultant is not a registered broker-dealer,
investment advisor, or placement agent.
3.2 Consultant shall not engage in activities
requiring such registration, including but not limited to negotiating securities transactions, handling funds, or providing investment
advice.
3.3 Notwithstanding the foregoing, Consultant
may participate in strategic discussions and evaluation of business opportunities.
2
4. COMPENSATION
4.1 Monthly Retainer. The Company shall pay Consultant
a monthly retainer as follows:
·
An initial retainer of One Hundred Fifty Thousand
Dollars ($150,000) for the first thirty (30) days following the Effective Date; and
·
Fifty Thousand Dollars ($50,000) per month thereafter for the duration of the Term, unless otherwise
agreed in writing by the Parties.
Due to the evolving and potentially accelerated
nature of the Services, including but not limited to matters involving dilution, governance issues, strategic communications, investor
relations, influencer engagement, media campaigns, and other urgent business initiatives, additional budget allocations beyond the monthly
retainer may be required. Such additional costs may equal or exceed One Hundred Fifty Thousand Dollars ($150,000), depending on the scope
and complexity of the Services requested or required.
In the event additional fees or expenditures are
anticipated, Consultant shall provide the Company with a detailed written summary outlining the nature of the additional Services and
associated costs necessary for the Company’s review. Any increase beyond the agreed retainer amounts shall be subject to mutual
written agreement by the Parties, which shall not be unreasonably withheld and shall be provided in good faith.
4.2 Quarterly Equity. $50,000 in restricted stock
per quarter, based on 5-day VWAP, issued within 10 business days post-quarter.
4.3 Anti-Dilution. Adjustments apply for reverse
splits or similar actions.
4.4 Mergers, Acquisitions, and Joint Ventures.
In the event the Company consummates a merger, acquisition, joint venture, strategic partnership, or similar transaction during the Term
(each, a “Transaction”) in which Consultant introduced, structured, or materially advanced such Transaction, Consultant shall
be entitled to a transaction fee equal to five percent (5%) of the Transaction Value (as defined in Section 4.5) (the “Transaction
Fee”). For purposes of clarity, “materially advanced” shall include meaningful involvement in identifying counterparties,
facilitating introductions, advising on transaction structure or terms, coordinating strategic communications, assisting with negotiations,
or otherwise providing strategic advisory services in connection with the Transaction. The Transaction Fee shall be payable as follows:
fifty percent (50%) in cash and fifty percent (50%) in shares of the Company’s common stock, valued based upon the five (5)-day
volume weighted average price (“VWAP”) immediately preceding the closing date of the applicable Transaction. The Transaction
Fee shall be due and payable within three (3) business days following the closing of the applicable Transaction. Consultant agrees to
maintain written records of Consultant’s involvement in Transactions during the Term for purposes of ensuring alignment between
the Parties regarding the applicability of any Transaction Fee. Any shares of common stock issued as part of a Transaction Fee shall carry
piggyback registration rights, subject to the terms of a separate registration rights agreement to be negotiated in good faith. At no
time shall Consultant act as an underwriter unless otherwise mutually agreed in writing by the Parties. Consultant may provide strategic
advisory and transactional assistance in connection with any Transaction with the prior written consent of the Company.
4.5 Transaction Value Definition. “Transaction
Value” means the aggregate total consideration paid or payable in connection with a Transaction, including without limitation directly
by the Company (or its successor or assignee): (i) cash payments at closing; (ii) the fair market value of any equity securities issued
or transferred; (iii) the fair market value of any earnout contingent consideration, or deferred payment obligations (valued as of the
closing date based on the target amount as set forth in the definitive transaction agreement); and (iv) any other quantifiable economic
value exchanged paid directly by the Company as consideration for the Transaction. For the avoidance of doubt, “Transaction Value”
shall not include: (A) the principal amount of any debt or liabilities assumed in connection with the Transaction; (B) the value of any
convertible debt, non-direct equity instruments, or other indirect payment mechanisms used to finance or consummate the Transaction; or
(C) any third-party financing or capital raised in connection with the Transaction. In the event of a dispute regarding Transaction Value,
the Parties shall first attempt to resolve such dispute in good faith within thirty (30) days. If the Parties are unable to reach agreement
within such period, Transaction Value shall be determined by a mutually agreed-upon independent appraiser, whose determination shall be
final and binding, with costs shared equally by the Parties.
3
5. TERM AND TERMINATION
5.1 Term: The initial term of this
Agreement shall be ninety (90) days commencing on the Effective Date (the “Initial Term”), unless earlier terminated in accordance
with this Section. Upon expiration of the Initial Term, this Agreement may be extended for successive periods as mutually agreed in writing
by the Parties (each, a “Renewal Term”). In the absence of such mutual written agreement to extend, this Agreement shall automatically
expire at the end of the then-current term without further action by either Party.
5.2 Termination for Cause. Either Party
may terminate this Agreement immediately upon written notice if the other Party: (a) commits a material breach of this Agreement and fails
to cure such breach within fifteen (15) days after receiving written notice thereof; or (b) engages in gross negligence or willful misconduct
in connection with this Agreement. For purposes of this Agreement, ‘gross negligence’ shall mean a conscious and reckless
disregard of a Party’s duties resulting in material harm to the other Party.
5.3 Effect of Termination. Upon termination
of this Agreement for any reason: (a) the Company shall pay Consultant all fees earned and reimbursable expenses properly incurred through
the effective date of termination within thirty (30) days following such termination date; (b) all earned fees, equity, and other compensation
payable to Consultant as of the effective date of termination shall immediately vest and become due and payable in accordance with the
terms of this Agreement; (c) no unearned future fees, equity grants, or other compensation shall accrue or become payable following the
effective date of termination, except as expressly provided under the 9-month Tail Period; (d) each Party shall promptly return or destroy
all Confidential Information of the other Party in accordance with Section 7; (e) notwithstanding the foregoing, if, as of the effective
date of termination, a Transaction is in active negotiation and Consultant introduced, structured, or materially advanced such Transaction,
and such Transaction is consummated within sixty (60) days following the effective date of termination (the “Tail Period”),
Consultant shall remain entitled to the Transaction Fee described in Section 4.4 with respect to such Transaction; provided, however,
the 9-month Tail Period shall not be extended for any reason, including any pending regulatory or governmental approvals; and (f) Consultant
shall maintain reasonable written records evidencing Consultant’s involvement in any Transaction for purposes of determining the
applicability of the Tail Period and any related Transaction Fee entitlement.
5.5 Survival. Provisions relating to
confidentiality (Sections 6 and 7), non-circumvention (Section 8), indemnification, and limitation of liability shall survive termination.
5.6 Transaction Protection. Notwithstanding
anything to the contrary, the Company may not terminate this Agreement with respect to any Transaction introduced, structured, or materially
advanced by Consultant that is actively in progress at the time of termination. A Transaction is “actively in progress” if
there are ongoing discussions, negotiations, or due diligence with a counterparty. This Agreement shall remain in effect solely with respect
to such Transaction until the earlier of: (a) the completion or abandonment of the Transaction; or (b) 90 days following the effective
date of termination (the “Protected Transaction Period”). Consultant shall remain entitled to any applicable transaction fees,
equity, or other compensation arising from such Transaction in accordance with Section 4.4.
6. CONFIDENTIALITY
6.1 Each Party agrees to maintain strict
confidentiality of all non-public, proprietary, or confidential information.
6.2 Confidential Information includes
all business, financial, technical, and operational data.
6.3 Exceptions. Confidential Information
shall not include information that: (a) Becomes publicly available without breach; (b) Is obtained from a third party without breach;
(c) Is required to be disclosed by law, provided that Consultant gives prompt notice where legally permissible.
4
7. NON DISCLOSURE
The Consultant and the Company (each
a “Party” and collectively the “Parties”) acknowledge that, in connection with the performance of the Consulting
Services, each Party may disclose or make available to the other Party certain non-public, proprietary, or confidential information (collectively,
“Confidential Information”). For purposes of this Agreement, Confidential Information of a disclosing Party means any and
all non-public information, data, or materials (whether oral, written, electronic, or in any other form) disclosed or otherwise made available
by or on behalf of that Party to the receiving Party, including but not limited to business plans, strategies, financial information,
customer and supplier lists, trade secrets, intellectual property, product development data, methodologies, know-how, and (with respect
to the Company) any material non-public information as defined under applicable U.S. federal securities laws. Each receiving Party shall
(i) hold the disclosing Party’s Confidential Information in strict confidence and not disclose or use it for any purpose other than
the performance or evaluation of the Consulting Services or as otherwise expressly permitted under this Agreement, (ii) restrict access
to such information solely to those of its employees, agents, or subcontractors who have a need to know and who are bound by confidentiality
obligations at least as protective as those set forth herein, and (iii) upon termination or expiration of this Agreement or at the disclosing
Party’s request, promptly return or destroy all such Confidential Information and certify such return or destruction in writing.
Each Party further acknowledges that any breach of these obligations by the receiving Party may cause irreparable harm to the disclosing
Party for which monetary damages alone would be inadequate, and that the disclosing Party shall be entitled to seek injunctive relief
in addition to any other remedies available at law or in equity. These obligations shall survive the termination or expiration of this
Agreement.
8. NON-CIRCUMVENTION
Each Party agrees that it shall not,
directly or indirectly, for a period of one (1) year following the termination or expiration of this Agreement, circumvent, avoid, bypass,
or obviate the other Party’s involvement or economic interest in any business opportunity, transaction, or relationship with any
third party (including clients, customers, suppliers, investors, or partners) that was specifically introduced or made known to it by
the other Party solely in connection with the Consulting Services, without the introducing Party’s prior written consent. For clarity,
nothing in this section shall restrict the Consultant from contacting or doing business with any parties that the Consultant introduced
to the Company, provided such contact or business does not rely on the Company’s Confidential Information. Each Party acknowledges
that any breach of this provision may cause irreparable harm to the other Party, entitling the non-breaching Party to seek injunctive
relief in addition to any other remedies available at law or in equity. This obligation shall survive the termination or expiration of
this Agreement.
8. INDEMNIFICATION
8.1 Each Party agrees to indemnify,
defend, and hold harmless the other Party and its affiliates, officers, directors, and agents from and against any claims, damages, liabilities,
and expenses (including reasonable attorneys’ fees) arising from gross negligence or willful misconduct.
8.2 The indemnified Party shall provide
prompt written notice of any claim.
8.3 The indemnifying Party shall control
the defense and settlement, provided no settlement binds the indemnified Party without consent.
9. LIMITATION OF LIABILITY
In no event shall either Party be liable
for any indirect, incidental, consequential, or punitive damages. Total liability shall not exceed the total fees paid under this Agreement.
10. AUTHORITY
Consultant shall act solely as an independent
contractor and shall have no authority to bind the Company in any manner.
11. GOVERNING LAW
This Agreement shall be governed by
and construed in accordance with the laws of the State of Delaware.
12. ENTIRE AGREEMENT
This Agreement constitutes the entire
understanding between the Parties and supersedes all prior agreements or understandings. Each party hereby irrevocably submits to the
jurisdiction of the courts of the State of Delaware, sitting in Delaware, and the courts of the United States for Delaware. This Agreement
shall be binding upon and inure to the benefit of the parties hereto and their respective successors and assigns. Consultant may not assign
this Agreement.
[Signature page to follow]
5
IN WITNESS WHEREOF, the Parties have executed this Agreement as of the Effective Date.
PHOENIX MGMT & CONSULTING LLC
NOCERA, INC.
_________________________
_________________________
Chief Executive Officer
Date: ___________________
Date: ___________________
6
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May 18, 2026
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Boolean flag that is true when the Form 8-K filing is intended to satisfy the filing obligation of the registrant as pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act.
+ References
Reference 1: http://www.xbrl.org/2003/role/presentationRef
-Publisher SEC
-Name Exchange Act
-Number 240
-Section 13e
-Subsection 4c
+ Details
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Namespace Prefix:
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Period Type:
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X
- Definition
Boolean flag that is true when the Form 8-K filing is intended to satisfy the filing obligation of the registrant as pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act.
+ References
Reference 1: http://www.xbrl.org/2003/role/presentationRef
-Publisher SEC
-Name Exchange Act
-Number 240
-Section 14d
-Subsection 2b
+ Details
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Namespace Prefix:
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Data Type:
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Balance Type:
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Period Type:
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X
- Definition
Title of a 12(b) registered security.
+ References
Reference 1: http://www.xbrl.org/2003/role/presentationRef
-Publisher SEC
-Name Exchange Act
-Number 240
-Section 12
-Subsection b
+ Details
Name:
dei_Security12bTitle
Namespace Prefix:
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Data Type:
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Balance Type:
na
Period Type:
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X
- Definition
Name of the Exchange on which a security is registered.
+ References
Reference 1: http://www.xbrl.org/2003/role/presentationRef
-Publisher SEC
-Name Exchange Act
-Number 240
-Section 12
-Subsection d1-1
+ Details
Name:
dei_SecurityExchangeName
Namespace Prefix:
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Data Type:
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Balance Type:
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Period Type:
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X
- Definition
Boolean flag that is true when the Form 8-K filing is intended to satisfy the filing obligation of the registrant as soliciting material pursuant to Rule 14a-12 under the Exchange Act.
+ References
Reference 1: http://www.xbrl.org/2003/role/presentationRef
-Publisher SEC
-Name Exchange Act
-Number 240
-Section 14a
-Subsection 12
+ Details
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Data Type:
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Balance Type:
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Period Type:
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X
- Definition
Trading symbol of an instrument as listed on an exchange.
+ References
No definition available.
+ Details
Name:
dei_TradingSymbol
Namespace Prefix:
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Data Type:
dei:tradingSymbolItemType
Balance Type:
na
Period Type:
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X
- Definition
Boolean flag that is true when the Form 8-K filing is intended to satisfy the filing obligation of the registrant as written communications pursuant to Rule 425 under the Securities Act.
+ References
Reference 1: http://www.xbrl.org/2003/role/presentationRef
-Publisher SEC
-Name Securities Act
-Number 230
-Section 425
+ Details
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