CIBC (Canadian Imperial Bank of Commerce)
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CIBC (Canadian Imperial Bank of Commerce) - 40-F annual report


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Table of Contents

 
 
U.S. SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 40 - F
[Check One]
   
o  REGISTRATION STATEMENT PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934
OR
   
þ  ANNUAL REPORT PURSUANT TO SECTION 13(a) OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934.
For the fiscal year ended October 31, 2010
Commission File Number: 1 - 14678
CANADIAN IMPERIAL BANK OF COMMERCE
(Exact name of registrant as specified in its charter)
     
Canada 6029 13-1942440
     
(Province or other jurisdiction (Primary Standard Industrial (I.R.S. Employer
of incorporation or organization) Classification Code Number) Identification Number)
Commerce Court
Toronto, Ontario
Canada, M5L 1A2

(416) 980-2211
(Address and telephone number of
registrant’s principal executive offices)
Michael G. Capatides
Chief Administrative Officer and General Counsel
Canadian Imperial Bank of Commerce
425 Lexington Avenue – 3
rd Floor
New York, New York, 10017

(212) 667-8301
(Name, address (including zip code) and telephone number
(including area code) of agent for service in the United States)
Securities registered or to be registered pursuant to Section 12(b) of the Act.
   
Title of each class Name of each exchange on which registered
   
Common Shares New York Stock Exchange
Securities registered or to be registered pursuant to Section 12(g) of the Act.
Not Applicable
(Title of Class)
Securities for which there is a reporting obligation pursuant to Section 15(d) of the Act.
Debt Securities
(Title of Class)
For annual reports, indicate by check mark the information filed with this Form:
   
þ Annual Information Form
 þ Audited annual financial statements
Indicate the number of outstanding shares of each of the issuer’s classes of capital or common stock as of the close of the period covered by the annual report:
     
Common Shares
  392,739,500 
 
    
Class A Preferred Shares:
    
Series 18
  12,000,000 
Series 26
  10,000,000 
Series 27
  12,000,000 
Series 28
  2,000 
Series 29
  13,232,342 
Series 30
  16,000,000 
Series 31
  18,000,000 
Series 32
  12,000,000 
Series 33
  12,000,000 
Series 35
  13,000,000 
Series 37
  8,000,000 
Indicate by check mark whether the Registrant by filing the information contained in this Form is also thereby furnishing the information to the Commission pursuant to Rule 12g3-2(b) under the Securities Exchange Act of 1934 (the “Exchange Act”). If “Yes” is marked, indicate the file number assigned to the Registrant in connection with such Rule.
Yes o           No þ
Indicate by check mark whether the Registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Exchange Act during the preceding 12 months (or for such period that the Registrant was required to file such reports) and (2) has been subject to such filing requirements for the past 90 days.
Yes þ          No o
Indicate by check mark whether the registrant has submitted electronically and posted on its corporate Web site, if any, every Interactive Data File required to be submitted and posted pursuant to Rule 405 of Regulation S-T (§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the Registrant was required to submit and post such files).
Yes þ          No o
The section entitled “Credit Ratings” in, and Appendix A to, Exhibit B.3(a) – Annual Information Form, shall not be incorporated by reference into any registration statement filed by the Registrant under the U.S. Securities Act of 1933, as amended.
 
 

 


TABLE OF CONTENTS

SIGNATURE
EXHIBITS
Exhibit B.3(a)
Exhibit B.3(b)
Exhibit B.3(c)
Exhibit B.3(d)
Exhibit B.6(a)(1)
Exhibit B.6(a)(2)
Exhibit B.8
Exhibit B.9
Exhibit B.10
Exhibit D.9


Table of Contents

UNDERTAKING
     Registrant undertakes to make available, in person or by telephone, representatives to respond to inquiries made by the Commission staff, and to furnish promptly, when requested to do so by the Commission staff, information relating to: the securities in relation to which the obligation to file an annual report on Form 40-F arises or transactions in said securities.
SIGNATURE
     Pursuant to the requirements of the Exchange Act, the Registrant certifies that it meets all of the requirements for filing on Form 40-F and has duly caused this annual report to be signed on its behalf by the undersigned, thereto duly authorized.
     
Date: December 6, 2010 CANADIAN IMPERIAL BANK OF COMMERCE
 
 
 By:  /s/ Gerald T. McCaughey   
  Gerald T. McCaughey  
  President and Chief Executive Officer  
 
   
 By:   /s/ J. David Williamson   
  J. David Williamson  
  Senior Executive Vice President and
Chief Financial Officer 
 

 


Table of Contents

     
EXHIBITS
(Information to be filed on this Form pursuant to General Instruction (references are to
paragraphs to General Instructions))
   
Exhibit Description of Exhibit
B.3(a)
 Annual Information Form
 
  
B.3(b)
 Audited annual financial statements for the year ended October 31, 2010 excerpted from pages 104-179 of the 2010 Annual Report of Canadian Imperial Bank of Commerce (“CIBC”) including Independent Auditors’ Reports to Shareholders with respect to consolidated financial statements as at October 31, 2010 and 2009 and for each of the years in the three-year period ended October 31, 2010 and internal control over financial reporting as of October 31, 2010
 
  
B.3(c)
 Management’s discussion and analysis excerpted from pages 31-103 of CIBC’s 2010 Annual Report
 
  
B.3(d)
 Other Pages of CIBC’s 2010 Annual Report incorporated in Annual Information Form
 
  
B.6(a)(1)
 Certifications required by Rule 13a-14(a)
 
  
B.6(a)(2)
 Certifications required by Rule 13a-14(b) and Section 1350 of Chapter 63 of Title 18 of the United States Code
 
  
B.6(b)
 Conclusions Regarding the Effectiveness of the Registrant’s Disclosure Controls and Procedures (contained in Exhibit B.3(c))
 
  
B.6(c)
 Management’s annual report on internal control over financial reporting (contained in Exhibit B.3(c))
 
  
B.6(d)
 Report of the registered public accounting firm (contained in Exhibit B.3(b))
 
  
B.6(e)
 Changes in internal control over financial reporting (contained in Exhibit B.3(c))
 
  
B.7
 None
 
  
B.8
 Disclosure regarding audit committee financial expert
 
  
B.9
 Disclosure regarding code of ethics
 
  
B.10
 Principal accountant fees and services
 
  
B.11
 Disclosure regarding off-balance sheet arrangements (contained in Exhibit B.3(c))
 
  
B.12
 Tabular disclosure of contractual obligations (contained in Exhibit B.3(c))
 
  
B.14
 Identification of the Audit Committee (contained in Exhibit B.3(a))
 
  
D.9
 Consent of Independent Registered Public Accounting Firm