OSC Bulletin · Edward P. Kerwin — EPK Vern Krishna __ VK Christopher Portner — CP Judith N....
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The Ontario Securities Commission OSC Bulletin January 17, 2013 Volume 36, Issue 3 (2013), 36 OSCB The Ontario Securities Commission administers the Securities Act of Ontario (R.S.O. 1990, c. S.5) and the Commodity Futures Act of Ontario (R.S.O. 1990, c. C.20) The Ontario Securities Commission Published under the authority of the Commission by: Cadillac Fairview Tower Carswell, a Thomson Reuters business Suite 1903, Box 55 One Corporate Plaza 20 Queen Street West 2075 Kennedy Road Toronto, Ontario Toronto, Ontario M5H 3S8 M1T 3V4 416-593-8314 or Toll Free 1-877-785-1555 416-609-3800 or 1-800-387-5164 Contact Centre - Inquiries, Complaints: Fax: 416-593-8122 Market Regulation Branch: Fax: 416-595-8940 Compliance and Registrant Regulation Branch - Compliance: Fax: 416-593-8240 - Registrant Regulation: Fax: 416-593-8283 Corporate Finance Branch - Team 1: Fax: 416-593-8244 - Team 2: Fax: 416-593-3683 - Team 3: Fax: 416-593-8252 - Insider Reporting: Fax: 416-593-3666 - Mergers and Acquisitions: Fax: 416-593-8177 Enforcement Branch: Fax: 416-593-8321 Executive Offices: Fax: 416-593-8241 General Counsel’s Office: Fax: 416-593-3681 Investment Funds Branch: Fax: 416-593-3699 Office of the Secretary: Fax: 416-593-2318
Transcript of OSC Bulletin · Edward P. Kerwin — EPK Vern Krishna __ VK Christopher Portner — CP Judith N....
The Ontario Securities Commission
OSC Bulletin
January 17, 2013
Volume 36, Issue 3
(2013), 36 OSCB
The Ontario Securities Commission administers the Securities Act of Ontario (R.S.O. 1990, c. S.5) and the
Commodity Futures Act of Ontario (R.S.O. 1990, c. C.20)
The Ontario Securities Commission Published under the authority of the Commission by: Cadillac Fairview Tower Carswell, a Thomson Reuters business Suite 1903, Box 55 One Corporate Plaza 20 Queen Street West 2075 Kennedy Road Toronto, Ontario Toronto, Ontario M5H 3S8 M1T 3V4 416-593-8314 or Toll Free 1-877-785-1555 416-609-3800 or 1-800-387-5164 Contact Centre - Inquiries, Complaints: Fax: 416-593-8122 Market Regulation Branch: Fax: 416-595-8940 Compliance and Registrant Regulation Branch - Compliance: Fax: 416-593-8240 - Registrant Regulation: Fax: 416-593-8283 Corporate Finance Branch
- Team 1: Fax: 416-593-8244 - Team 2: Fax: 416-593-3683 - Team 3: Fax: 416-593-8252 - Insider Reporting: Fax: 416-593-3666 - Mergers and Acquisitions: Fax: 416-593-8177
Enforcement Branch: Fax: 416-593-8321 Executive Offices: Fax: 416-593-8241 General Counsel’s Office: Fax: 416-593-3681 Investment Funds Branch: Fax: 416-593-3699 Office of the Secretary: Fax: 416-593-2318
The OSC Bulletin is published weekly by Carswell, a Thomson Reuters business, under the authority of the Ontario Securities Commission. Subscriptions are available from Carswell at the price of $649 per year. Subscription prices include first class postage to Canadian addresses. Outside Canada, these airmail postage charges apply on a current subscription:
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January 17 2013
(2013) 36 OSCB
Table of Contents Chapter 1 Notices / News Releases ........................749 1.1 Notices ............................................................749 1.1.1 Current Proceedings before the Ontario Securities Commission ........................749 1.1.2 Exempt Market Review – Consultation Sessions on OSC Staff Consultation Paper 45-710....................................................757 1.1.3 CSA Staff Notice 31-332 – Relevant Investment Management Experience for Advising Representatives and Associate Advising Representatives of Portfolio Managers ...........................................758 1.2 Notices of Hearing..........................................762 1.2.1 Issam El-Bouji et al. – ss. 127, 127.1 ...............762 1.2.2 Primaris Retail Real Estate Investment Trust and KS Acquisition II LP – s. 127 ............770 1.3 News Releases ...............................................771 1.3.1 Canadian Securities Regulators Adopt Amendments to Improve Scholarship Plan Disclosure for Investors ....................................771 1.4 Notices from the Office of the Secretary ..............................................773 1.4.1 Simply Wealth Financial Group Inc. et al. 1.4.2 Issam El-Bouji et al...........................................773 1.4.3 Peter Sbaraglia.................................................774 1.4.4 Primaris Retail Real Estate investment Trust and KS Acquisition II LP...................................774 1.4.5 Morgan Dragon Development Corp. et al. ........775 1.4.6 Newer Technologies Limited et al. ...................775 Chapter 2 Decisions, Orders and Rulings ..............777 2.1 Decisions ........................................................777 2.1.1 Plexmar Resources Inc. ...................................777 2.1.2 Central Goldtrust ..............................................778 2.1.3 The Pallas Athena Corporation ........................783 2.1.4 Silver Bullion Trust ...........................................785 2.1.5 IFM (US) Investment Advisor, LLC et al. ..........790 2.1.6 Central Fund of Canada Limited.......................795 2.1.7 Primaris Retail Real Estate Investment Trust and KS Acquisition II LP..........................800 2.1.8 Zongshen PEM Power Systems Inc. ................804 2.1.9 PRT Growing Services Ltd. ..............................805 2.2 Orders..............................................................806 2.2.1 Simply Wealth Financial Group Inc. et al. – ss. 127, 127.1 .......................................806 2.2.2 Simply Wealth Financial Group Inc. et al. – ss. 127, 127.1................................................811 2.2.3 Peter Sbaraglia.................................................816 2.2.4 Morgan Dragon Development Corp. et al. – s. 127....................................................817 2.2.5 Newer Technologies Limited et al. – ss. 127(1), 127.1 ...........................................818 2.3 Rulings ..............................................................nil Chapter 3 Reasons: Decisions, Orders and Rulings.....................................................819 3.1 OSC Decisions, Orders and Rulings ............819
3.1.1 White Capital Corporation and Matthew White – s. 31 ..................................... 819 3.2 Court Decisions, Order and Rulings .............. nil Chapter 4 Cease Trading Orders ............................ 825 4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders........................... 825 4.2.1 Temporary, Permanent & Rescinding Management Cease Trading Orders ............... 825 4.2.2 Outstanding Management & Insider Cease Trading Orders ..................................... 825 Chapter 5 Rules and Policies .................................... nil Chapter 6 Request for Comments ............................ nil Chapter 7 Insider Reporting.................................... 827 Chapter 8 Notice of Exempt Financings................. 949
Reports of Trades Submitted on Forms 45-106F1 and 45-501F1................ 949
Chapter 9 Legislation................................................. nil Chapter 11 IPOs, New Issues and Secondary Financings............................................... 957 Chapter 12 Registrations........................................... 961 12.1.1 Registrants....................................................... 961 Chapter 13 SROs, Marketplaces and
Clearing Agencies .................................. 963 13.1 SROs............................................................... 963 13.1.1 OSC Staff Notice of Approval – IIROC Housekeeping Amendments to IFRS version of Form 1.................................... 963 13.2 Marketplaces .................................................... nil 13.3 Clearing Agencies ........................................... nil Chapter 25 Other Information ..................................... nil Index ................................................................ 1015
January 17, 2013
(2013) 36 OSCB 749
Chapter 1
Notices / News Releases 1.1 Notices 1.1.1 Current Proceedings Before The Ontario
Securities Commission
January 17, 2013
CURRENT PROCEEDINGS
BEFORE
ONTARIO SECURITIES COMMISSION
- - - - - - - - - - - - - - - - - - - - -
Temporary Change of Location of Ontario Securities Commission Proceedings
All hearings scheduled to be heard between November 22, 2012 and March 15, 2013 will take place at the following location:
ASAP Reporting Services Inc. Bay Adelaide Centre 333 Bay Street Suite 900 Toronto, Ontario M5H 2T4
Telephone: 416-597-0681 Telecopier: 416-593-8348 CDS TDX 76 Late Mail depository on the 19th Floor until 6:00 p.m.
- - - - - - - - - - - - - - - - - - - - -
THE COMMISSIONERS
Howard I. Wetston, Chair — HIW James E. A. Turner, Vice Chair — JEAT Lawrence E. Ritchie, Vice Chair — LER Mary G. Condon, Vice Chair — MGC Sinan O. Akdeniz — SOA James D. Carnwath — JDC Margot C. Howard — MCH Sarah B. Kavanagh — SBK Kevin J. Kelly — KJK Paulette L. Kennedy — PLK Edward P. Kerwin — EPK Vern Krishna __ VK Christopher Portner — CP
Judith N. Robertson — JNR Charles Wesley Moore (Wes) Scott — CWMS
SCHEDULED OSC HEARINGS January 21-28, January 30- February 11 & February 13-22, 2013 10:00 a.m.
Jowdat Waheed and Bruce Walter s. 127 J. Lynch in attendance for Staff Panel: CP/SBK/PLK
January 21-28 & January 30-February 1, 2013 10:00 a.m.
Moncasa Capital Corporation and John Frederick Collins s. 127 T. Center in attendance for Staff Panel: EPK
January 22, 2013 10:00 a.m.
Roger Carl Schoer s. 21.7 C. Johnson in attendance for Staff Panel: JEAT
January 23-25 & January 30-31, 2013 10:00 a.m.
Sage Investment Group, C.A.D.E Resources Group Inc., Greenstone Financial Group, Fidelity Financial Group, Antonio Carlos Neto David Oliveira, and Anne Marie Ridley s. 127 C. Watson in attendance for Staff Panel: TBA
January 28, 2013 10:00 a.m.
AMTE Services Inc., Osler Energy Corporation, Ranjit Grewal, Phillip Colbert and Edward Ozga s. 127 C. Rossi in attendance for Staff Panel: JEAT
Notices / News Releases
January 17, 2013
(2013) 36 OSCB 750
January 28, 2013 12:00 p.m.
Issam El-Bouji, Global Resp Corporation, Global Growth Assets Inc., Global Educational Trust Foundation and Margaret Singh s. 127 and 127.1 M. Vaillancourt in attendance for Staff Panel: JEAT
January 30, 2013 10:00 a.m.
Primaris Retail Real Estate Investment Trust and KS Acquisition II LP s. 127 K. Daniels in attendance for Staff Panel: MGC/JNR
February 1, 2013 10:00 a.m.
Ground Wealth Inc., Armadillo Energy Inc., Paul Schuett, Doug DeBoer, James Linde, Susan Lawson, Michelle Dunk, Adrion Smith, Bianca Soto and Terry Reichert s. 127 S. Schumacher in attendance for Staff Panel: MGC
February 4-11 & February 13, 2013 10:00 a.m.
Alexander Christ Doulis (aka Alexander Christos Doulis, aka Alexandros Christodoulidis) and Liberty Consulting Ltd. s. 127 J. Feasby in attendance for Staff Panel: VK
February 5, 2013 9:00 a.m.
Fawad Ul Haq Khan and Khan Trading Associates Inc.carrying on business as Money Plus s. 60 and 60.1 of the Commodity Futures Act T. Center in attendance for Staff Panel: MGC
February 11, February 13-15, February 19-25 & February 27-March 6, 2013 10:00 a.m.
David Charles Phillips and JohnRussell Wilson s. 127 Y. Chisholm in attendance for Staff Panel: TBA
February 14-15 & February 20, 2013 10:00 a.m.
Northern Securities Inc., Victor Philip Alboini, Douglas Michael Chornoboy and Frederick Earl Vance s. 21.7 and 8 Y. Chisholm in attendance for Staff Panel: JEAT/JNR
February 27, 2013 10:00 a.m.
Global Energy Group, Ltd., New Gold Limited Partnerships, Christina Harper, Howard Rash, Michael Schaumer, Elliot Feder, Vadim Tsatskin, Oded Pasternak, Alan Silverstein, Herbert Groberman, Allan Walker, Peter Robinson, Vyacheslav Brikman, Nikola Bajovski, Bruce Cohen and Andrew Shiff s. 127 C. Watson in attendance for Staff Panel: EPK
February 28, 2013 10:00 a.m.
Children’s Education Funds Inc. s. 127 D. Ferris in attendance for Staff Panel: JEAT
March 1, 2013 10:00 a.m.
Rezwealth Financial Services Inc., Pamela Ramoutar, Justin Ramoutar, Tiffin Financial Corporation, Daniel Tiffin, 2150129 Ontario Inc., Sylvan Blackett, 1778445 Ontario Inc. and Willoughby Smith s.127(1) & (5) A. Heydon/Y. Chisholm in attendance for Staff Panel : EPK
March 5, 2013 10:00 a.m.
New Hudson Television LLC & Dmitry James Salganov s. 127 C. Watson in attendance for Staff Panel: MGC
Notices / News Releases
January 17, 2013
(2013) 36 OSCB 751
March 6, 2013 10:00 a.m.
Blackwood & Rose Inc., Steven Zetchus and Justin Kreller (also known as Justin Kay) s. 127 C. Rossi in attendance for Staff Panel: JEAT
March 13, 2013 10:00 a.m.
New Found Freedom Financial, Ron Deonarine Singh, Wayne Gerard Martinez, Pauline Levy, David Whidden, Paul Swaby and Zompas Consulting s. 127 A. Heydon/S. Horgan in attendance for Staff Panel: JDC
March 18-25, March 27-28, April 1-5 & April 24-25, 2013 10:00 a.m.
Peter Sbaraglia s. 127 J. Lynch in attendance for Staff Panel: CP
March 18-25 & March 27-28, 2013 10:00 a.m.
2196768 Ontario Ltd carrying on business as Rare Investments, Ramadhar Dookhie, Adil Sunderji and Evgueni Todorov s. 127 D. Campbell in attendance for Staff Panel: EPK
March 21, 2013 9:00 a.m.
Knowledge First Financial Inc. s. 127 D. Ferris in attendance for Staff Panel: JEAT
March 21, 2013 9:00 a.m.
Heritage Education Funds Inc. s. 127 D. Ferris in attendance for Staff Panel: JEAT
March 25, March 27-28, April 8, April 10-12, April 17, April 19, May 13-17, May 22 & June 24-28, 2013 10:00 a.m.
Bernard Boily s.127 and 127.1 M. Vaillancourt/U. Sheikh in attendance for Staff Panel: TBA
April 2, 2013 10:00 a.m.
Vincent Ciccone and Cabo Catoche Corp. (a.k.a. Medra Corp. and Medra Corporation) s. 127 M. Vaillancourt in attendance for Staff Panel: VK
April 8, April 10-16, April 22, April 24, April 29-30, May 6 & May 8, 2013 10:00 a.m.
Energy Syndications Inc. Green Syndications Inc. , Syndications Canada Inc., Daniel Strumos, Michael Baum and Douglas William Chaddock s. 127 C. Johnson in attendance for Staff Panel: TBA
April 11-22 & April 24, 2013 10:00 a.m.
Morgan Dragon Development Corp., John Cheong (aka Kim Meng Cheong), Herman Tse, Devon Ricketts and Mark Griffiths s. 127 J. Feasby in attendance for Staff Panel: EPK
April 15-22, April 25-May 6 & May 8-10, 2013 10:00 a.m.
Heir Home Equity Investment Rewards Inc.; FFI First Fruit Investments Inc.; Wealth Building Mortgages Inc.; Archibald Robertson; Eric Deschamps; Canyon Acquisitions, LLC; Canyon Acquisitions International, LLC; Brent Borland; Wayne D. Robbins; Marco Caruso; Placencia Estates Development, Ltd.; Copal Resort Development Group, LLC; Rendezvous Island, Ltd.; The Placencia Marina, Ltd.; and The Placencia Hotel and Residences Ltd. s.127 B. Shulman in attendance for Staff Panel: JDC
Notices / News Releases
January 17, 2013
(2013) 36 OSCB 752
April 29-May 6 & May 8-10, 2013 10:00 a.m.
North American Financial Group Inc., North American Capital Inc., Alexander Flavio Arconti, and Luigino Arconti s. 127 M. Vaillancourt in attendance for Staff Panel: TBA
May 9, 2013 10:00 a.m.
New Solutions Capital Inc., New Solutions Financial Corporation, New Solutions Financial (II) Corporation, New Solutions Financial (III) Corporation, New Solutions Financial (VI) Corporation and Ron Ovenden s.127 Y. Chisholm in attendance for Staff Panel: TBA
June 6, 2013 10:00 a.m.
New Hudson Television Corporation, New Hudson Television L.L.C. & James Dmitry Salganov s. 127 C. Watson in attendance for Staff Panel: MGC
September 16-23, September 25-October 7, October 9-21, October 23-November 4, November 6-18, November 20-December 2, December 4-16 & December 18-20, 2013 10:00 a.m.
Eda Marie Agueci, Dennis Wing, Santo Iacono, Josephine Raponi, Kimberley Stephany, Henry Fiorillo, Giuseppe (Joseph) Fiorini, John Serpa, Ian Telfer, Jacob Gornitzki and Pollen Services Limited s. 127 J, Waechter/U. Sheikh in attendancefor Staff Panel: TBA
October 15-21, October 23-29, 2013 10:00 a.m.
Normand Gauthier, Gentree Asset Management Inc., R.E.A.L. Group Fund III (Canada) LP, and CanPro Income Fund I, LP s.127 B. Shulman in attendance for Staff Panel: TBA
To be held In-Writing
Sandy Winick, Andrea Lee Mccarthy, Kolt Curry, Laura Mateyak, Gregory J. Curry, American Heritage Stock Transfer Inc., American Heritage Stock Transfer, Inc., BFM Industries Inc., Liquid Gold International Corp.,(aka Liquid Gold International Inc.) and Nanotech Industries Inc. s. 127 J. Feasby in attendance for Staff Panel: JDC
TBA Yama Abdullah Yaqeen s. 8(2) J. Superina in attendance for Staff Panel: TBA
TBA Microsourceonline Inc., Michael Peter Anzelmo, Vito Curalli, Jaime S. Lobo, Sumit Majumdar and Jeffrey David Mandell s. 127 J. Waechter in attendance for Staff Panel: TBA
TBA Frank Dunn, Douglas Beatty, Michael Gollogly s.127 K. Daniels in attendance for Staff Panel: TBA
TBA
MRS Sciences Inc. (formerly Morningside Capital Corp.), Americo DeRosa, Ronald Sherman, Edward Emmons and Ivan Cavric s. 127 & 127(1) D. Ferris in attendance for Staff Panel: TBA
Notices / News Releases
January 17, 2013
(2013) 36 OSCB 753
TBA Gold-Quest International, 1725587 Ontario Inc. carrying on business as Health and Harmoney, Harmoney Club Inc., Donald Iain Buchanan, Lisa Buchanan and Sandra Gale s.127 H. Craig in attendance for Staff Panel: TBA
TBA Gold-Quest International, Health and Harmoney, Iain Buchanan and Lisa Buchanan s.127 H. Craig in attendance for Staff Panel: TBA
TBA Brilliante Brasilcan Resources Corp., York Rio Resources Inc., Brian W. Aidelman, Jason Georgiadis, Richard Taylor and Victor York s. 127 H. Craig in attendance for Staff Panel: TBA
TBA Paul Azeff, Korin Bobrow, MitchellFinkelstein, Howard Jeffrey Millerand Man Kin Cheng (a.k.a. FrancisCheng) s. 127 T. Center/D. Campbell in attendancefor Staff Panel: TBA
TBA
Uranium308 Resources Inc., Michael Friedman, George Schwartz, Peter Robinson, and Shafi Khan s. 127 H. Craig/C.Rossi in attendance forStaff Panel: TBA
TBA FactorCorp Inc., FactorCorp Financial Inc. and Mark Twerdun s. 127 C. Price in attendance for Staff Panel: TBA
TBA York Rio Resources Inc., Brilliante Brasilcan Resources Corp., Victor York, Robert Runic, George Schwartz, Peter Robinson, Adam Sherman, Ryan Demchuk, Matthew Oliver, Gordon Valde and Scott Bassingdale s. 127 H. Craig/C. Watson in attendance for Staff Panel: TBA
TBA Innovative Gifting Inc., Terence Lushington, Z2A Corp., and Christine Hewitt s. 127 M. Vaillancourt in attendance for Staff Panel: TBA
TBA David M. O’Brien s. 37, 127 and 127.1 B. Shulman in attendance for Staff Panel: TBA
TBA Bunting & Waddington Inc., Arvind Sanmugam, Julie Winget and Jenifer Brekelmans s. 127 S. Schumacher in attendance for Staff Panel: TBA
TBA Colby Cooper Capital Inc. Colby Cooper Inc., Pac West Minerals Limited John Douglas Lee Mason s. 127 B. Shulman in attendance for Staff Panel: TBA
Notices / News Releases
January 17, 2013
(2013) 36 OSCB 754
TBA Beryl Henderson s. 127 S. Schumacher in attendance for Staff Panel: TBA
TBA International Strategic Investments, International Strategic Investments Inc., Somin Holdings Inc., Nazim Gillani and Ryan J. Driscoll. s. 127 C. Watson in attendance for Staff Panel: TBA
TBA Majestic Supply Co. Inc., Suncastle Developments Corporation, Herbert Adams, Steve Bishop, Mary Kricfalusi, Kevin Loman and CBK Enterprises Inc. s. 37, 127 and 127.1 D. Ferris in attendance for Staff Panel: TBA
TBA
Juniper Fund Management Corporation, Juniper Income Fund, Juniper Equity Growth Fund and Roy Brown (a.k.a. Roy Brown-Rodrigues) s.127 and 127.1 D. Ferris in attendance for Staff Panel: TBA
TBA Crown Hill Capital Corporation and Wayne Lawrence Pushka s. 127 A. Perschy/A. Pelletier in attendancefor Staff Panel: TBA
TBA Portus Alternative Asset Management Inc., Portus Asset Management Inc., Boaz Manor, Michael Mendelson, Michael Labanowich and John Ogg s. 127 H Craig in attendance for Staff Panel: TBA
TBA
Irwin Boock, Stanton Defreitas, Jason Wong, Saudia Allie, Alena Dubinsky, Alex Khodjaiants Select American Transfer Co., Leasesmart, Inc., Advanced Growing Systems, Inc., International Energy Ltd., Nutrione Corporation, Pocketop Corporation, Asia Telecom Ltd., Pharm Control Ltd., Cambridge Resources Corporation, Compushare Transfer Corporation, Federated Purchaser, Inc., TCC Industries, Inc., First National Entertainment Corporation, WGI Holdings, Inc. and Enerbrite Technologies Group s. 127 & 127.1 D. Campbell in attendance for Staff Panel: TBA
TBA Systematech Solutions Inc., April Vuong and Hao Quach s. 127 D. Ferris in attendance for Staff Panel: TBA
TBA Ernst & Young LLP s. 127 and 127.1 A. Clark in attendance for Staff Panel: TBA
TBA Newer Technologies Limited, Ryan Pickering and Rodger Frey s. 127 and 127.1 B. Shulman in attendance for staff Panel: TBA
Notices / News Releases
January 17, 2013
(2013) 36 OSCB 755
TBA Global RESP Corporation and Global Growth Assets Inc. s. 127 D. Ferris in attendance for Staff Panel: JEAT
TBA
Nest Acquisitions and Mergers, IMG International Inc., Caroline Myriam Frayssignes, David Pelcowitz, Michael Smith, and Robert Patrick Zuk s. 37, 127 and 127.1 C. Price in attendance for Staff Panel: TBA
TBA
Global Energy Group, Ltd., New Gold Limited Partnerships, Christina Harper, Vadim Tsatskin, Michael Schaumer, Elliot Feder, Oded Pasternak, Alan Silverstein, Herbert Groberman, Allan Walker, Peter Robinson, Vyacheslav Brikman, Nikola Bajovski, Bruce Cohen and Andrew Shiff s. 37, 127 and 127.1 C. Watson in attendance for Staff Panel: PLK/JNR
TBA Global Consulting and Financial Services, Crown Capital Management Corporation, Canadian Private Audit Service, Executive Asset Management, Michael Chomica, Peter Siklos (also known as Peter Kuti), Jan Chomica, and Lorne Banks s.127 H. Craig/C. Rossi in attendance for Staff Panel: TBA
TBA Sino-Forest Corporation, Allen Chan, Albert Ip, Alfred C.T. Hung, George Ho, Simon Yeung and David Horsley s.127 H. Craig in attendance for Staff Panel: TBA
TBA Sino-Forest Corporation, Allen Chan, Albert Ip, Alfred C.T. Hung, George Ho and Simon Yeung s.127 H. Craig in attendance for Staff Panel: TBA
TBA Firestar Capital Management Corp., Kamposse Financial Corp., Firestar Investment Management Group, Michael Ciavarella and Michael Mitton s. 127 H. Craig in attendance for Staff Panel: TBA
TBA Oversea Chinese Fund Limited Partnership, Weizhen Tang and Associates Inc., Weizhen Tang Corp., and Weizhen Tang s. 127 and 127.1 H. Craig in attendance for Staff Panel: TBA
Notices / News Releases
January 17, 2013
(2013) 36 OSCB 756
ADJOURNED SINE DIE Global Privacy Management Trust and Robert
Cranston
Livent Inc., Garth H. Drabinsky, Myron I. Gottlieb, Gordon Eckstein, Robert Topol
LandBankers International MX, S.A. De C.V.; Sierra Madre Holdings MX, S.A. De C.V.; L&B LandBanking Trust S.A. De C.V.; Brian J. Wolf Zacarias; Roger Fernando Ayuso Loyo, Alan Hemingway, Kelly Friesen, Sonja A. McAdam, Ed Moore, Kim Moore, Jason Rogers and Dave Urrutia
Hollinger Inc., Conrad M. Black, F. David Radler, John A. Boultbee and Peter Y. Atkinson
Notices / News Releases
January 17, 2013
(2013) 36 OSCB 757
Staff of the Ontario Securities Commission (OSC) invite you to attend a consultation session in connection with the OSC’s exempt market review, described in OSC Staff Consultation Paper 45-710 Considerations for New Capital Raising Prospectus Exemptions. Choice of Sessions
Dates: Wednesday, January 30, 2013 (9:00 am to 11:00 am) Thursday, February 7, 2013 (9:00 am to 11:00 am)
Friday, February 8, 2013 (9:00 am to 11:00 am)
Location: January 30 and February 7, 2013 February 8, 2013
10 Adelaide Street East, Toronto, Ontario 250 Yonge Street, Toronto, Ontario Birkbeck Room, 2nd Floor Seminar Room, 35th Floor Cost: No charge RSVP: Email: [email protected] Deadline: Tuesday, January 22, 2013
1.1.2 Exempt Market Review – Consultation Sessions on OSC Staff Consulation Paper 45-710
EXEMPT MARKET REVIEW
Consultation Sessions on OSC Staff Consultation Paper 45-710 OBJECTIVE OF CONSULTATION SESSIONS
On December 14, 2012, we published OSC Staff Consultation Paper 45-710 Considerations for New Capital Raising Prospectus Exemptions. The Consultation Paper sets out four concept ideas for new prospectus exemptions in Ontario, together with a number of specific consultation questions. The concept ideas are:
a concept for an exemption to allow crowdfunding subject to limits for issuers and retail investors, a concept for an offering memorandum exemption, a concept for an exemption based on an investor’s investment knowledge, and a concept for an exemption based on an investor receiving advice from a registrant.
The purpose of the Consultation Paper and related consultation sessions is to obtain input from interested stakeholders on these concept ideas. The consultation sessions will have a particular focus on crowdfunding. For further information, please refer to the Consultation Paper which is available on the OSC website at http://www.osc.gov.on.ca/documents/en/Securities-Category4/sn_20121214_45-710_exempt-market-review.pdf. Written comments may also be provided until February 12, 2013. WHO SHOULD ATTEND
Retail and institutional investors Management of issuers, particularly smaller issuers at an early stage of development Investment dealers, advisors to investors and other registrants Internal and external legal counsel, auditors and other professional advisors to issuers
Notices / News Releases
January 17, 2013
(2013) 36 OSCB 758
1.1.3 CSA Staff Notice 31-332 – Relevant Investment Management Experience for Advising Representatives and Associate Advising Representatives of Portfolio Managers
CSA Staff Notice 31-332 Relevant Investment Management Experience for Advising Representatives and Associate Advising
Representatives of Portfolio Managers January 17, 2013 Introduction Since September 28, 2009, when National Instrument 31-103 – Registration Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103) came into effect, staff from the various provinces from the Canadian Securities Administrators (CSA staff or we) have reviewed over 2500 applications for registration as Advising Representatives (ARs) or Associate Advising Representatives (AARs). Substance and Purpose This notice provides applicants for AR and AAR registration with a summary of decisions about relevant investment management experience. We expect prospective applicants to consider the information in this notice when deciding whether to apply for AR or AAR registration, and when preparing an application. Applicants need to meet both the educational and relevant investment management experience requirements in sections 3.11 and 3.12 of NI 31-103. Companion Policy 31-103CP – Registration Requirements, Exemptions and Ongoing Registrant Obligations (the CP) provides some guidance on relevant investment management experience. Scope In all cases in this notice, the applicant’s educational qualifications met NI 31-103 requirements and the only question was whether the applicant had relevant investment management experience. Staff retains discretion to consider each application on its own facts This notice does not constrain staff’s ability to assess each application on its facts. Nonetheless, staff strive to make consistent decisions. AAR registration does not automatically qualify an applicant for AR registration CSA staff consider whether experience gained while registered as an AAR is relevant investment management experience on a case-by-case basis. For example, many client relationship managers may not gain sufficient experience as an AAR to qualify as an AR. Client relationship management experience unlikely to qualify an applicant for AR registration We have often registered AR applicants who have client relationship management experience in a portfolio management context as AARs instead. Client relationship management experience, even when performed by AARs, may not provide sufficient experience performing securities research and analysis to qualify an individual for registration as an AR.
Client Relationship Manager not approved as AR but approved as AAR The applicant possessed a number of years of industry experience, including 5 years assisting a registered AR at a registered Portfolio Manager (PM) firm. The applicant’s experience assisting the AR in assessing suitability, creating investment policy statements, determining asset allocation, monitoring client portfolios and producing macroeconomic reports for the AR and for clients of the PM firm was considered valuable. However, the applicant had not demonstrated experience performing research or analysis of individual securities.
Client relationship management may not trigger the registration requirement We recognize that many individuals who perform client relationship management services may not provide specific advice and therefore may not trigger the registration requirement. For example, some client services representatives conduct activities such as marketing the services of the firm by providing general information about the registrant firm and its services that do not include a strategy tailored to any specific client. While some client service representatives may accompany an AR or AAR to meetings with clients and provide assistance with the completion of KYC forms, they might not themselves develop an investment policy statement for the client, provide specific
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information such as recommending a particular model portfolio for the client or explain the implications of discretionary portfolio decisions that were made by the client’s AR. Corporate finance experience may not qualify an applicant for AR registration We have declined to register a number of individuals who have corporate finance experience as ARs and instead registered them as AARs. While corporate finance experience may involve the valuation and analysis of companies and securities, the applicants’ experience did not demonstrate an ability in, and understanding of, portfolio analysis or portfolio securities selection nor were the applicants able to demonstrate alternative experience managing investments on a discretionary basis.
Investment Banker not approved as AR but approved as AAR The applicant possessed more than 4 years of experience working in the corporate finance division of a registered investment dealer. The applicant’s experience valuing securities for initial public offerings, debt and equity financings, take-over bids and mergers and acquisitions was considered valuable. However, the applicant had not demonstrated any experience performing portfolio analysis or selecting securities for a portfolio of investments, such as KYC or suitability analysis or analysing correlation of securities. The applicant had also not demonstrated any experience managing investment portfolios on a discretionary basis.
Experience at an IIROC dealer may not qualify an Applicant for AR registration For example, some registered representatives sell mostly or exclusively a limited number of model portfolios or “portfolio solutions” to clients based on their investment objectives, risk profile or other factors unique to the individual client. In these instances, we have generally registered the individual as an AAR. IIROC dealing representative not approved as AR but approved as AAR The applicant had been employed for more than 4 years with an IIROC member firm as a registered representative. The applicant met with clients to review and discuss KYC information and establish risk tolerance, objectives and time horizon. The applicant would make specific investment recommendations to achieve this asset mix recommendation and construct the portfolio by selecting the appropriate investment solutions and fixed income securities in accordance with the firm’s model portfolios. The applicant discussed specific investment returns with the client and compared them to industry benchmarks and kept up-to-date on market and world events.
Other registered representatives may offer a much broader range of products involving significant security-specific research and analysis of their own. In some of these cases, depending on the specific facts provided, we registered the individuals as ARs.
IIROC dealing representative approved as AR The applicant had been employed for more than 4 years with an IIROC member firm as a registered representative. The applicant met with clients to review and discuss KYC information and establish risk tolerance, objectives and time horizon. The applicant performed detailed research and analysis of investment funds, fixed income securities, structured investment products and single stocks. The applicant obtained data from various sources including issuer prospectuses, offering memorandums and other source documents. The application described the registered representative’s process for performing detailed analysis with this data for different types of securities, the analysis of each individual security for the client and the analysis of the portfolio as a whole for the client.
Consulting experience with portfolio manager selection and monitoring may not qualify an applicant for AR registration We have received applications from individuals who have experience as consultants, providing advice to individuals and corporations on asset allocation and the selection and ongoing performance of their investment portfolios or investment managers. We have found that the degree of specific advice and securities analysis, if any, performed by the individuals can vary extensively among firms and individuals and whether the individual has been approved as an AR, AAR or not approved at all is very case-specific.
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Consultant not approved as AR, AAR recommended based in part on other experience1 The applicant carried on business providing general financial planning advice. The applicant did not specifically research individual securities in this capacity. The applicant would provide guidelines for investment policy and asset allocation. The applicant would perform research and analysis to review the performance of various registered portfolio managers and would refer clients for discretionary money management based on the research and analysis. The applicant also monitored the registered PMs based upon certain described criteria. While the applicant was not able to demonstrate any specific securities research and analysis or securities selection in this role, the applicant was able to demonstrate some experience analysing the merits of specific securities in a different role.
In some situations, the activities submitted as relevant investment management experience involve or may involve providing specific advice to clients and therefore may require registration. We also recognize that many individuals who provide portfolio manager selection and monitoring do not provide specific advice and therefore may not trigger the registration requirement. Among the factors we have taken into account are: • whether the client contracts with the portfolio manager(s) or the consultant • whether the consultant manages the hiring and evaluation of the portfolio managers • the degree of reliance by the client on the consultant • the client’s expectations as set out in the contract with the consultant.
Mutual fund sales experience unlikely to qualify applicant as AAR or AR We have received applications from individuals employed by IIROC firms or mutual fund dealer firms who have primarily or exclusively sold mutual funds to clients based on the investment objectives, risk profile and other factors unique to the individual client. We have not generally registered individuals whose experience has been limited to mutual fund sales as ARs or AARs because they were not able to demonstrate sufficient experience analysing individual securities or managing investments on a discretionary basis.
Mutual Fund dealing representative not approved as AR or AAR The applicant possessed over 10 years of experience as a mutual fund dealing representative. The applicant met with clients to review and discuss KYC information and establish risk tolerance, objectives and time horizon and recommended a combination of proprietary mutual funds based on this assessment. The applicant possessed an additional year of experience taking orders for the purchase and sale of securities as a registered investment representative at a discount brokerage firm. The applicant was not able to demonstrate any significant experience performing individual securities analysis or selection or any experience working in a discretionary investment management environment.
Questions Please refer your questions to any of the following: Allison McBain Registration Supervisor Ontario Securities Commission Tel: 416-593-8164 [email protected]
Antoine Bédard Coordinator, Securities registration Autorité des marchés financiers Tel: 418-525-0337, ext. 2785 Toll-free: 1-877-525-0337 [email protected]
Karin Armstrong Registration Manager, Capital Markets Regulation British Columbia Securities Commission Tel: 604-899-6692 [email protected]
Brian W. Murphy Deputy Director, Capital Markets Nova Scotia Securities Commission Tel: 902-424-4592 [email protected]
1 The application was withdrawn.
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Navdeep Gill Manager, Registration Alberta Securities Commission Tel: 403-355-9043 [email protected]
Katharine Tummon Superintendent of Securities Prince Edward Island Securities Office Tel: 902-368-4542 [email protected]
Dean Murrison Director, Securities Division Financial and Consumer Affairs Authority of Saskatchewan Tel: 306 787 5842 [email protected]
Craig Whalen Manager of Licensing, Registration and Compliance Office of the Superintendent of Securities Newfoundland and Labrador Tel: 709-729-5661 [email protected]
Chris Besko Legal Counsel, Deputy Director The Manitoba Securities Commission Tel: 204-945-2561 Toll Free (Manitoba only): 1-800-655-5244 [email protected]
Ella-Jane Loomis Legal Counsel New Brunswick Securities Commission Tel: 506-643-7202 [email protected]
Donn MacDougall Deputy Superintendent, Legal & Enforcement Office of the Superintendent of Securities Government of the Northwest Territories Tel: 867-920-8984 [email protected]
Rhonda Horte Acting Securities Officer Deputy Registrar, Corporate Affairs Government of Yukon Tel: 867-633-7969 mailto:[email protected]
Louis Arki Director, Legal Registries Department of Justice, Government of Nunavut Tel: 867-975-6587 [email protected]
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1.2 Notices of Hearing 1.2.1 Issam El-Bouji et al. – ss. 127, 127.1
IN THE MATTER OF THE SECURITIES ACT,
R.S.O. 1990, c. S.5, AS AMENDED
AND
IN THE MATTER OF ISSAM EL-BOUJI, GLOBAL RESP CORPORATION,
GLOBAL GROWTH ASSETS INC., GLOBAL EDUCATIONAL TRUST FOUNDATION AND MARGARET SINGH
NOTICE OF HEARING
(Sections 127 and 127.1) TAKE NOTICE THAT the Ontario Securities Commission (the "Commission") will hold a hearing pursuant to sections 127 and 127.1 of the Ontario Securities Act, R.S.O. 1990, c. S.5, as amended (the “Act”) at the temporary offices of the Commission at 333 Bay Street, Suite 900, Toronto, Ontario, commencing on January 28, 2013 at 12:00 p.m. or as soon thereafter as the hearing can be held, to consider:
(a) whether, in the opinion of the Commission, it is in the public interest, pursuant to ss. 127 and 127.1 of the Act to order that:
(i) the registration of Issam El-Bouji (“Bouji”), Global RESP Corporation, Global Growth Assets Inc. and
Margaret Singh (“Singh”) be suspended or terminated permanently or for such period as is specified by the Commission or that terms and conditions be imposed on the registration of these respondents;
(ii) trading in any securities by Bouji, Global RESP Corporation, Global Growth Assets Inc., Global
Educational Trust Foundation and Margaret Singh (the “Respondents”) cease permanently or for such period as is specified by the Commission;
(iii) the acquisition of any securities by the Respondents is prohibited permanently or for such other
period as is specified by the Commission;
(iv) any exemptions contained in Ontario securities law do not apply to the Respondents permanently or for such period as is specified by the Commission;
(v) the Respondents be reprimanded;
(vi) Bouji and Singh (the “Individual Respondents”) resign one or more positions that they hold as a
director or officer of any issuer, registrant or investment fund manager;
(vii) the Individual Respondents be prohibited from becoming or acting as a director or officer of any issuer, registrant or investment fund manager;
(viii) the Respondents be prohibited from becoming or acting as a registrant, an investment fund manager
or a promoter;
(ix) the Respondents pay an administrative penalty of not more than $1 million for each failure by that Respondent to comply with Ontario securities law;
(x) the Respondents disgorge to the Commission any amounts obtained as a result of non-compliance
by that Respondent with Ontario securities law; and
(xi) the Respondents be ordered to pay the costs of the Commission investigation and the hearing; and
(b) whether to make such further orders as the Commission considers appropriate. BY REASON OF the allegations as set out in the Statement of Allegations of Staff of the Commission dated January 10, 2013 and such additional allegations as counsel may advise and the Commission may permit;
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AND TAKE FURTHER NOTICE that any party to the proceedings may be represented by counsel at the hearing; AND TAKE FURTHER NOTICE that upon failure of any party to attend at the time and place aforesaid, the hearing may proceed in the absence of that party and such party is not entitled to any further notice of the proceedings. DATED at Toronto this 10th day of January, 2013 “John Stevenson”
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IN THE MATTER OF THE SECURITIES ACT,
R.S.O. 1990, c. S.5, AS AMENDED
AND
IN THE MATTER OF ISSAM EL-BOUJI, GLOBAL RESP CORPORATION,
GLOBAL GROWTH ASSETS INC., GLOBAL EDUCATIONAL TRUST FOUNDATION
AND MARGARET SINGH
STATEMENT OF ALLEGATIONS OF STAFF OF THE ONTARIO SECURITIES COMMISSION
Staff of the Ontario Securities Commission (“Staff”) make the following allegations: I. OVERVIEW 1. Global RESP Corporation (“Global RESP”) distributes units of the Global Educational Trust Plan (the “Plan”), a
scholarship plan. Global Growth Assets Inc. (“GGAI”) is the current registered investment fund manager (“IFM”) of the Plan. Prior to September 28, 2010, Global Educational Trust Foundation (the “Foundation”) was, among other things, the IFM of the Plan.
2. Issam El-Bouji (“Bouji”) is a director and officer of Global RESP, GGAI and the Foundation and the Ultimate Designated
Person (the “UDP”) of both Global RESP and GGAI. Bouji is the sole shareholder of both GGAI and Global RESP. 3. Margaret Singh (“Singh”) is the Chief Compliance Officer (“CCO”) of Global RESP. A. Unauthorized Investments 4. During the period February 2009 to September 2011, despite not being registered to advise in securities, Bouji, the
Foundation and GGAI (after September 28, 2010) directed that over $30,000,000 in funds received from Plan subscribers be used to purchase subordinated notes (the “PWB Notes”) of Pacific and Western Bank of Canada (“PWB”), a chartered bank. Global Maxfin Capital Inc. (“GMCI”), a company owned by Bouji, received finders’ fees/commissions totalling approximately $2,000,000 in connection with the purchase of the PWB Notes and a PWB Guaranteed Investment Certificate (the “PWB GIC”) (collectively the “PWB Transactions”).
5. By directing the purchase of the PWB Notes, each of Bouji, the Foundation and GGAI (after September 28, 2010)
engaged in advising without registration contrary to subsection 25(3) of the Securities Act, R.S.O. 1990, c. S.5, as amended (the "Act") and subsection 25(1)(c) of the Act in respect of the conduct prior to September 28, 2009 (as that subsection existed prior to September 28, 2009).
6. The PWB Transactions and other transactions giving rise to conflicts of interest were not referred to the Plan’s
independent review committee (“IRC”) by the Foundation or GGAI (after September 28, 2010) in breach of sections 5.1 and 5.3 of National Instrument 81-107 Independent Review Committee for Investment Funds ("NI 81-107").
7. The conflicts of interest inherent in the PWB Transactions were not disclosed in the Plan’s prospectuses dated August
28, 2009 (the “2009 Prospectus”) and August 26, 2011 (the “2011 Prospectus”) which prospectuses stated that there were no conflicts of interest between the Plan and the IFM and any director or executive officer of the manager of the Plan. By signing certificates stating that the 2009 and 2011 Prospectuses contained full, true and plain disclosure of all material facts, each of Bouji, the Foundation, Global RESP and GGAI (in respect of the 2011 Prospectus) breached section 56 of the Act.
8. In addition, GGAI failed to meet its duties to the Plan pursuant to section 116 of the Act by:
a. allowing fees totalling $450,575.34 to be paid to the benefit of GMCI in connection with the purchase of the PWB GIC when these fees were offered by PWB to be paid to the Plan in view of the lower return to the Plan caused by PWB’s retraction of a subordinated note; and
b. failing to recognize and record certain mandatory payments owing to the nominees of subscribers who
purchased units of the Plan pursuant to prospectuses dated November 25, 2002, August 26, 2003 and August 23, 2004 (the “2002 to 2004 Prospectuses”).
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9. In view of this conduct, Bouji, as the UDP of GGAI commencing on August 2, 2011, failed to fulfill his obligations
pursuant to section 5.1 of National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations ("NI 31-103").
B. Poor Compliance 10. Staff of the Commission conducted a compliance review of Global RESP for the period June 1, 2010 to May 31, 2011
(the “Review Period”) which indicated, among other things, that Global RESP: (i) failed to establish and maintain systems of control and supervision in breach of subsection 32(2) of the Act and sections 11.1, 12.3 and 13.15 of NI 31-103; (ii) failed to meet its suitability obligations in breach of section 13.3 and subsection 13.2(2) of NI 31-103; and (iii) failed to deal fairly, honestly and in good faith with its clients in breach of subsection 2.1(1) of OSC Rule 31-505 Conditions of Registration (“OSC Rule 31-505”).
11. In view of the above, Bouji, as Global RESP’s UDP and Singh, as Global RESP’s CCO, breached their obligations
pursuant to sections 5.1 and 5.2, respectively, of NI 31-103. II. BACKGROUND A. The Respondents 12. The Foundation was incorporated on or about November 20, 1996 pursuant to Part II of the Canada Corporations Act,
R.S.C. 1970, c. C-32, as amended. The Foundation has been the promoter of the Plan since the Plan’s inception and the IFM of the Plan from its inception to on or about September 28, 2010. Bouji has been a director and officer of the Foundation since the Plan’s inception. The Foundation has never been registered with the Commission in any capacity.
13. GGAI was incorporated in Canada on or about August 15, 2008. On or about September 28, 2010, GGAI became the
IFM and the administrator of the Plan and GGAI applied to be registered as an IFM. On or about August 2, 2011, GGAI became registered with the Commission as an IFM.
14. Global RESP, formerly known as Global Educational Marketing Corporation, was incorporated in Canada on or about
June 11, 1997. Global RESP has been registered with the Commission as a dealer in the category of scholarship plan dealer since on or about October 9, 1998.
15. Bouji is registered with the Commission in connection with a number of registered firms including as:
(i) an officer, director, shareholder and the UDP for Global RESP since on or about December 18, 2009;
(ii) an officer, director and the UDP for GGAI since on or about August 2, 2011; and
(iii) an officer, director and shareholder of GMCI since on or about March 2, 2006 and as the UDP of GMCI since on or about January 13, 2010. GMCI is a company incorporated in Canada on or about August 29, 1986. GMCI is registered with the Commission as a dealer in the category of investment dealer. GMCI is also a dealer member of the Investment Industry Regulatory Organization of Canada (“IIROC”) in the category Securities, Options and Managed Accounts.
16. Singh is a director of the Foundation and has been registered with the Commission as the CCO of Global RESP since
on or about June 8, 2005. B. The PWB Transactions 17. Bouji, the Foundation and GGAI (after September 28, 2010), directed one of the Plan's portfolio advisers to process the
following PWB Transactions involving the Plan's assets:
a. the purchase on February 27, 2009 of a subordinated note from PWB with a par value of $10 million for which GMCI received finders' fees from PWB totalling $500,000;
b. the purchase on April 30, 2009 of a subordinated note from PWB with a par value of $10 million for which
GMCI received finders' fees from PWB totalling $500,000;
c. the purchase on February 24, 2010 of a PWB subordinated note with a par value of $1.5 million from the Foundation;
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d. the purchase on March 11, 2011 of a subordinated note from PWB with a par value of $10 million for which
GMCI received finders' fees from PWB totalling $500,000; and
e. the purchase effective July 31, 2011 of a PWB GIC in the amount of $10 million for which GMCI ultimately received the benefit of fees paid by PWB totalling $450,575.34.
(i) Advising without registration 18. Each of the PWB Notes constituted a “security” pursuant to subparagraph (e) of the definition of “security” under
section 1 of the Act. 19. None of Bouji, the Foundation or GGAI were registered to advise in securities when they directed the purchase of the
PWB Notes. 20. None of the PWB Notes were purchased as a result of advice received from a registered portfolio manager. On the
contrary, prior to the purchase of the PWB Notes, one of the Plan's registered portfolio advisers, Scotia Asset Management LP ("Scotia") warned the Foundation and/or its representative that: (i) PWB was not on Scotia's approved issuer list; (ii) PWB was not rated by a recognized rating agency; and (iii) PWB Notes would have very little liquidity.
(ii) Failure to refer conflicts of interest to the Plan’s IRC 21. None of the PWB Transactions were approved by the Foundation's board of directors and, in the case of the PWB
Transactions occurring after September 28, 2010, none of these transactions were approved by GGAI's board of directors. Despite the conflicts of interests inherent in the PWB Transactions, none of the PWB Transactions were referred to the Plan's IRC.
22. In addition, two other transactions/decisions that gave rise to a conflict of interest were not referred to the Plan’s IRC:
a. a credit facility of $4.27 million that was advanced by PWB on December 30, 2010 to Global Maxfin Developments Inc. ("GMDI"), an entity owned by Bouji; and
b. the decision made in 2012 by GGAI to increase the administrative fee it charged to the Plan from 1% to 1.2%.
(iii) Failure to provide full, true and plain disclosure in the 2009 and 2011 Prospectuses 23. The 2009 and 2011 Prospectuses state that there are no conflicts of interest between the Plan and the IFM and any
director or executive officer of the manager of the Plan. 24. Pursuant to subsection 58(2) of the Act and section 5.10 of National Instrument 41-101 General Prospectus
Requirements ("NI 41-101”), Bouji, on behalf of the Foundation as the promoter and IFM of the Plan and on behalf of Global RESP as the Distributor of the Plan, certified that the 2009 Prospectus contained full, true and plain disclosure of all material facts relating to the securities offered by the 2009 Prospectus.
25. However, the purchase of the PWB subordinated notes on February 27, 2009 and April 30, 2009 referred to in
subparagraphs 17(a) and 17(b) above, individually and/or collectively, constituted material conflicts of interest that were required to be disclosed in the 2009 Prospectus pursuant to section 56 of the Act and section 19.3 of Form 2 of NI 41-101 ("Form 41-101F2").
26. Pursuant to subsection 58(2) of the Act and section 5.10 of NI 41-101, Bouji, on behalf of the Foundation as the
promoter of the Plan and on behalf of GGAI as the IFM of the Plan, certified that the 2011 Prospectus contained full, true and plain disclosure of all material facts relating to the securities offered by the 2011 Prospectus. In addition, Bouji, on behalf of Global RESP as the Distributor of the Plan, certified that, to the best of Global RESP's knowledge, information and belief, the 2011 Prospectus contained full, true and plain disclosure of all material facts relating to the securities offered by the 2011 Prospectus.
27. However, the purchase of the PWB subordinated note on March 11, 2011 and the purchase of the PWB GIC on July
31, 2011 referred to in subparagraphs 17 (d) and 17(e) above, individually and/or collectively, constituted material conflicts of interest that were required to be disclosed in the Plan's 2011 Prospectus pursuant to section 56 of the Act and section 19.3 of Form 41-101F2.
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(iv) Failure to meet the standard of an IFM 28. In or about August, 2011, PWB advised Bouji that PWB intended to retract the PWB note issued on February 27, 2009
with a par value of $10 million and an interest rate of 11%. When Bouji complained about the loss of return to the Plan caused by the retraction of the note, PWB offered to replace the note with a 10 year GIC with an interest rate of 4.5% and pay a broker and brokerage fee on the GIC to the Plan in order to enhance the Plan's income in 2011.
29. Thereafter, Bouji caused the Plan to purchase the 10 year PWB GIC. However, no fees were paid to the Plan in
respect of this transaction. Rather, GMCI ultimately received the benefit of fees paid by PWB totalling $450,575.34 in connection with the PWB GIC. By allowing the $450,575.34 in fees to be paid ultimately to the benefit of GMCI, GGAI failed to discharge its duties honestly, in good faith and in the best interests of the Plan.
C. Failure to recognize and record the repayment of mandatory Enrolment Fees 30. Since inception, the Plan has been charging enrolment fees to subscribers in the amount of $60 per unit of $504
(“Enrolment Fees”). 31. The 2002 to 2004 Prospectuses create an obligation by the Foundation to repay Enrolment Fees to the nominees of
subscribers who purchased units in the Plan pursuant to those prospectuses, if the subscribers otherwise meet the requirements set out in those prospectuses for the repayment of Enrolment Fees.
32. Pursuant to an Assignment and Assumption Agreement In Respect of Trust Indenture and Administrative Agreement
dated September 27, 2010, GGAI was appointed the IFM of the Plan and the Foundation transferred to GGAI all of its rights, title, interest, duties and obligations that existed under a Trust Indenture and an Administrative Agreement both dated October 14, 1998 (the "Administrative Agreement") and subsequently modified by two agreements dated May 18, 2004, namely (i) the Resignation, Appointment and Assignment Agreement and (ii) the Amending Agreement.
33. Pursuant to the Administrative Agreement, GGAI is required to "ensure all payments required to be made under the
Plan have been calculated and paid to Nominees or withdrawn by the Subscribers thereto in accordance with the provisions of the Plan".
34. GGAI has failed to recognize the mandatory obligation to repay Enrolment Fees created by the 2002 to 2004
Prospectuses. By failing to recognize this mandatory obligation and by failing to record Enrolment Fees in a manner that recognizes the mandatory obligation to repay Enrolment Fees for plans entered into pursuant to the 2002 to 2004 Prospectuses, GGAI has failed to exercise the degree of care, diligence and skill that a reasonably prudent person would exercise in the circumstances.
D. Significant compliance deficiencies by Global RESP 35. Staff of the Commission conducted a compliance review of Global RESP for the Review Period and prepared a report
dated March 7, 2012 (the “Compliance Report”). The Compliance Report set out a number of significant deficiencies occurring during the Review Period which demonstrate, among other things, a failure by Global RESP to:
a. establish and maintain systems of control and supervision;
b. comply with its suitability obligations; and
c. deal fairly, honestly and in good faith with its clients.
E. Failure to meet the obligations of a UDP
36. Bouji was the UDP of Global RESP during the Review Period. Given the significant deficiencies noted in the Compliance Report, Bouji failed in his obligations as UDP of Global RESP to:
a. supervise the activities of Global RESP that are directed towards ensuring compliance with securities
legislation by Global RESP and each individual acting on Global RESP’s behalf; and
b. promote compliance by Global RESP and individuals acting on Global RESP’s behalf with securities legislation.
37. Bouji has been the UDP of GGAI since August 2, 2011. As a result of the conduct by GGAI referred to above occurring
after August 2, 2011 and Bouji's failure, after August 2, 2011, to disclose the fees earned by GMCI and/or Global RESP
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in connection with the PWB investments to those who would need to know that information to ensure compliance with securities legislation, Bouji failed in his obligations as the UDP of GGAI to:
a. supervise the activities of GGAI that are directed towards ensuring compliance with securities legislation by
GGAI and each individual acting on GGAI’s behalf; and
b. promote compliance by GGAI and individuals acting on GGAI’s behalf with securities legislation. F. Failure to meet obligations of a CCO 38. Singh was the CCO of Global RESP during the Review Period. As a result of the significant deficiencies noted in the
Compliance Report, Singh failed in her obligations as the CCO of Global RESP to:
a. establish and maintain policies and procedures for assessing compliance by Global RESP and individuals acting on Global RESP’s behalf; and
b. monitor and assess compliance by Global RESP and individuals acting on Global RESP’s behalf, with
securities legislation. III. BREACHES OF ONTARIO SECURITIES LAW AND CONDUCT CONTRARY TO THE PUBLIC INTEREST 39. The specific allegations advanced by Staff are:
a. Bouji and the Foundation advised in securities in breach of subsection 25(1)(c) of the Act (as that subsection existed prior to September 28, 2009) and, after September 28, 2009, Bouji, the Foundation and GGAI (in respect of transactions occurring after September 28, 2010) advised in securities in breach of subsection 25(3) of the Act and contrary to the public interest;
b. the Foundation and GGAI breached their obligations under sections 5.1 and 5.3 of NI 81-107 and acted
contrary to the public interest by failing to refer the conflicts of interests referred to above to the Plan's IRC and by failing to follow the procedure set out in section 5.3 of NI 81-107 prior to proceeding with the transactions referred to above that should have been referred to the Plan's IRC;
c. Bouji, the Foundation and Global RESP breached section 56 of the Act and acted contrary to the public
interest by failing to provide full, true and plain disclosure of all material facts in the 2009 Prospectus;
d. Bouji, the Foundation, GGAI and Global RESP breached section 56 of the Act and acted contrary to the public interest by failing to provide full, true and plain disclosure of all material facts in the 2011 Prospectus;
e. GGAI breached subsection 116(a) of the Act and acted contrary to the public interest by allowing the payment
of fees in the amount of $450,575.34 arising from the Plan's purchase of a PWB GIC in 2011 to be paid ultimately to the benefit of GMCI instead of to the Plan;
f. GGAI breached subsection 116(b) of the Act and acted contrary to the public interest by failing to recognize
the mandatory obligation to repay Enrolment Fees created by the 2002 to 2004 Prospectuses and by not recording the Enrolment Fees payable for plans entered into pursuant to the 2002 to 2004 Prospectuses in a manner that recognizes this mandatory obligation;
g. Global RESP failed to establish and maintain systems of control and supervision in breach of subsection 32(2)
of the Act and sections 11.1, 12.3 and 13.15 of NI 31-103 and contrary to the public interest;
h. Global RESP failed to comply with its suitability obligations in breach of section 13.3 and subsection 13.2(2) of NI 31-103 and contrary to the public interest;
i. Global RESP failed to deal fairly, honestly and in good faith with its clients in breach of subsection 2.1(1) of
OSC Rule 31-505 and contrary to the public interest;
j. Singh breached her obligations as the CCO of Global RESP contrary to section 5.2 of NI 31-103 and contrary to the public interest;
k. Bouji breached his obligations as the UDP of Global RESP contrary to section 5.1 of NI 31-103 and contrary
to the public interest;
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(2013) 36 OSCB 769
l. Bouji breached his obligations as the UDP of GGAI contrary to section 5.1 of NI 31-103 and contrary to the public interest; and
m. Bouji, as an officer and director of the Foundation, GGAI and Global RESP did authorize, permit and/or
acquiesce in the breaches of Ontario securities law by the Foundation, Global RESP and GGAI referred to above pursuant to section 129.2 of the Act.
40. Staff reserve the right to make such other allegations as Staff may advise and the Commission may permit. Dated at Toronto this 10th day of January, 2013
Notices / News Releases
January 17, 2013
(2013) 36 OSCB 770
1.2.2 Primaris Retail Real Estate Investment Trust and KS Acquisition II LP – s. 127
IN THE MATTER OF THE SECURITIES ACT,
R.S.O. 1990, c. S.5, AS AMENDED
AND
IN THE MATTER OF PRIMARIS RETAIL REAL ESTATE
INVESTMENT TRUST AND KS ACQUISITION II LP
NOTICE OF HEARING (Section 127)
TAKE NOTICE that the Ontario Securities Commission (the “Commission”) will hold a hearing (the “Hearing”) at the temporary offices of the Commission at ASAP Reporting Services Inc., Bay Adelaide Centre, 333 Bay Street, Suite 900, Toronto, Ontario commencing on Wednesday, January 30, 2013 at 10:00 a.m. or as soon thereafter as the Hearing can be held; TO CONSIDER whether it is in the public interest to make a cease trade order in respect of the unitholders rights plan of Primaris Retail Real Estate Investment Trust pursuant to an application by KS Acquisition II LP. DATED at Toronto this 11th day of January, 2013. “John Stevenson” Secretary to the Commission
Notices / News Releases
January 17, 2013
(2013) 36 OSCB 771
1.3 News Releases 1.3.1 Canadian Securities Regulators Adopt Amendments to Improve Scholarship Plan Disclosure for Investors
FOR IMMEDIATE RELEASE January 10, 2013
Canadian Securities Regulators Adopt Amendments to
Improve Scholarship Plan Disclosure for Investors
Toronto – The Canadian Securities Administrators (CSA) announced today the adoption of amendments to National Instrument 41-101 General Prospectus Requirements and Form 41-101F2 Information Required in an Investment Fund Prospectus, which are designed to provide investors with enhanced disclosure about scholarship plans. The adopted amendments represent an important step in modernizing the regulation of scholarship plans by introducing Form 41-101F3 Information Required in a Scholarship Plan Prospectus, a new prospectus form that is tailored to the unique features of scholarship plans. Central to the new form is the Plan Summary, a short, concise document that provides investors with key information in a simple, accessible and comparable format. The Plan Summary is in plain language and provides important information about the potential risks and costs of investing in a scholarship plan.
“Saving for a child’s education is an important step in investment planning and these materials are aimed at providing families with information in an easy-to-understand format in order to help them make an informed investment decision,” said Bill Rice,
Chair of the CSA and Chair and CEO of the Alberta Securities Commission. A copy of the Notice and related materials can be found on the websites of CSA members. In some jurisdictions, ministerial approvals are required to implement the amendments. If all such approvals are obtained, the amendments will come into force on May 31, 2013. The CSA, the council of the securities regulators of Canada’s provinces and territories, coordinates and harmonizes regulation for the Canadian capital markets. For more information: Carolyn Shaw-Rimmington Mark Dickey Ontario Securities Commission Alberta Securities Commission 416-593-2361 403-297-4481 Sylvain Théberge Richard Gilhooley Autorité des marchés financiers British Columbia Securities 514-940-2176 Commission 604-899-6713 Ainsley Cunningham Wendy Connors-Beckett Manitoba Securities Commission New Brunswick Securities Commission 204-945-4733 506-643-7745 Tanya Wiltshire Dean Murrison Nova Scotia Securities Commission Financial and Consumer Affairs Authority 902-424-8586 of Saskatchewan 306-787-5842 Janice Callbeck Doug Connolly The Office of the Superintendent Financial Services Regulation Division of Securities, P.E.I. Newfoundland and Labrador 902-368-6288 709-729-2594
Notices / News Releases
January 17, 2013
(2013) 36 OSCB 772
Rhonda Horte Louis Arki Office of the Yukon Superintendent Nunavut Securities Office of Securities 867-975-6587 867-667-5466 Donn MacDougall Northwest Territories Securities Office 867-920-8984
Notices / News Releases
January 17, 2013
(2013) 36 OSCB 773
1.4 Notices from the Office of the Secretary ‘ 1.4.1 Simply Wealth Financial Group Inc. et al.
FOR IMMEDIATE RELEASE
January 10, 2013
IN THE MATTER OF THE SECURITIES ACT
R.S.O. 1990, C. S.5, AS AMENDED
AND
IN THE MATTER OF SIMPLY WEALTH FINANCIAL GROUP INC.,
NAIDA ALLARDE, BERNARDO GIANGROSSO, K&S GLOBAL WEALTH CREATIVE STRATEGIES INC.,
KEVIN PERSAUD, MAXINE LOBBAN and WAYNE LOBBAN
TORONTO – The Commission issued its Reasons and Decision on Sanctions and Costs and an Order in the above noted matter. A copy of the Reasons and Decision on Sanctions and Costs and the Order dated January 9, 2013 are available at www.osc.gov.on.ca. OFFICE OF THE SECRETARY JOHN P. STEVENSON SECRETARY For media inquiries: [email protected] Carolyn Shaw-Rimmington Manager, Public Affairs 416-593-2361 Alison Ford Media Relations Specialist 416-593-8307 For investor inquiries: OSC Contact Centre 416-593-8314 1-877-785-1555 (Toll Free)
1.4.2 Issam El-Bouji et al.
FOR IMMEDIATE RELEASE January 10, 2013
IN THE MATTER OF THE SECURITIES ACT
R.S.O. 1990, c. S.5, AS AMENDED
AND
IN THE MATTER OF
ISSAM EL-BOUJI, GLOBAL RESP CORPORATION, GLOBAL GROWTH ASSETS INC.,
GLOBAL EDUCATIONAL TRUST FOUNDATION AND MARGARET SINGH
TORONTO – The Office of the Secretary issued a Notice of Hearing on January 10, 2013 setting the matter down to be heard on January 28, 2013 at 12:00 p.m. or as soon thereafter as the hearing can be held in the above named matter. A copy of the Notice of Hearing dated January 10, 2013 and Statement of Allegations of Staff of the Ontario Securities Commission dated January 10, 2013 are available at www.osc.gov.on.ca. OFFICE OF THE SECRETARY JOHN P. STEVENSON SECRETARY For media inquiries: [email protected] Carolyn Shaw-Rimmington Manager, Public Affairs 416-593-2361 Alison Ford Media Relations Specialist 416-593-8307 For investor inquiries: OSC Contact Centre 416-593-8314 1-877-785-1555 (Toll Free)
Notices / News Releases
January 17, 2013
(2013) 36 OSCB 774
1.4.3 Peter Sbaraglia FOR IMMEDIATE RELEASE
January 11, 2013
IN THE MATTER OF THE SECURITIES ACT
R.S.O. 1990, c. S.5, AS AMENDED
AND
IN THE MATTER OF PETER SBARAGLIA
TORONTO – The Commission issued an Order in the above named matter which provides that: 1. A hearing will be held on February 8, 2013 at
10:00 a.m. for the purpose of considering a motion by the Receiver, if applicable, to review the issuance of the summons to the Receiver in accordance with subrule 4.7(2) of the Rules; and
2. A hearing will be held on February 8, 2013 at
10:00 a.m., following the hearing to which reference is made in paragraph 1 above, if applicable, and on such other date and time as agreed to by the parties and determined by the Office of the Secretary, for the purpose of considering a motion by any other party to whom a summons has been issued to review the issuance of a summons to such party in accordance with subrule 4.7(2) of the Rules.
A copy of the Order dated January 9, 2013 is available at www.osc.gov.on.ca. OFFICE OF THE SECRETARY JOHN P. STEVENSON SECRETARY For media inquiries: [email protected] Carolyn Shaw-Rimmington Manager, Public Affairs 416-593-2361 Alison Ford Media Relations Specialist 416-593-8307 For investor inquiries: OSC Contact Centre 416-593-8314 1-877-785-1555 (Toll Free)
1.4.4 Primaris Retail Real Estate investment Trust and KS Acquisition II LP
FOR IMMEDIATE RELEASE
January 11, 2013
IN THE MATTER OF THE SECURITIES ACT
R.S.O. 1990, c. S.5, AS AMENDED
AND
IN THE MATTER OF PRIMARIS RETAIL REAL ESTATE
INVESTMENT TRUST AND KS ACQUISITION II LP TORONTO – On January 11, 2013, the Commission issued a Notice of Hearing pursuant to section 127 of the Securities Act to consider the Application of KS Acquisition II LP dated December 21, 2012. The hearing will be held on January 30, 2013 at 10:00 a.m. at the temporary offices of the Commission at ASAP Reporting Services Inc., Bay Adelaide Centre, 333 Bay Street, Suite 900, Toronto, Ontario. A copy of the Notice of Hearing dated January 11, 2013 and the Application dated December 21, 2012 are available at www.osc.gov.on.ca. OFFICE OF THE SECRETARY JOHN P. STEVENSON SECRETARY For media inquiries: [email protected] Carolyn Shaw-Rimmington Manager, Public Affairs 416-593-2361 Alison Ford Media Relations Specialist 416-593-8307 For investor inquiries: OSC Contact Centre 416-593-8314 1-877-785-1555 (Toll Free)
Notices / News Releases
January 17, 2013
(2013) 36 OSCB 775
1.4.5 Morgan Dragon Development Corp. et al.
IN THE MATTER OF THE SECURITIES ACT
R.S.O. 1990, c. S.5, as amended
AND
IN THE MATTER OF MORGAN DRAGON DEVELOPMENT CORP., JOHN CHEONG (AKA KIM MENG CHEONG),
HERMAN TSE, DEVON RICKETTS AND MARK GRIFFITHS
TORONTO – The Commission issued an Order in the above named matter which provides that a further confidential pre-hearing conference will be held on February 19, 2013, at 9:00 a.m. The pre-hearing conference will be in camera. A copy of the Order dated January 11, 2013 is available at www.osc.gov.on.ca. OFFICE OF THE SECRETARY JOHN P. STEVENSON SECRETARY For media inquiries: [email protected] Carolyn Shaw-Rimmington Manager, Public Affairs 416-593-2361 Alison Ford Media Relations Specialist 416-593-8307 For investor inquiries: OSC Contact Centre 416-593-8314 1-877-785-1555 (Toll Free)
1.4.6 Newer Technologies Limited et al.
IN THE MATTER OF THE SECURITIES ACT,
R.S.O. 1990, c. S.5, AS AMENDED
AND
IN THE MATTER OF NEWER TECHNOLOGIES LIMITED, RYAN PICKERING
AND RODGER FREY TORONTO – The Commission issued an Order in the above named matter which provides that a confidential pre-hearing conference shall take place at the offices of the Commission at 20 Queen Street West, 17th Floor, Toronto, Ontario, on March 18, 2013 at 9:00 a.m. or as soon thereafter as the hearing can be held. The pre-hearing conference will be in camera. A copy of the Order dated January 11, 2013 is available at www.osc.gov.on.ca. OFFICE OF THE SECRETARY JOHN P. STEVENSON SECRETARY For media inquiries: [email protected] Carolyn Shaw-Rimmington Manager, Public Affairs 416-593-2361 Alison Ford Media Relations Specialist 416-593-8307 For investor inquiries: OSC Contact Centre 416-593-8314 1-877-785-1555 (Toll Free)
Notices / News Releases
January 17, 2013
(2013) 36 OSCB 776
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January 17, 2013
(2013) 36 OSCB 777
Chapter 2
Decisions, Orders and Rulings 2.1 Decisions 2.1.1 Plexmar Resources Inc. Headnote National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions – Application for an order that the issuer is not a reporting issuer under applicable securities laws. Requested relief granted. Applicable Legislative Provisions Securities Act, R.S.O. 1990, c.S.5, as am., s. 1(10)(a)(ii)
January 8, 2013
[Translation]
IN THE MATTER OF THE SECURITIES LEGISLATION
OF QUÉBEC, ALBERTA AND ONTARIO (the “Jurisdictions”)
AND
IN THE MATTER OF
THE PROCESS FOR EXEMPTIVE RELIEF APPLICATIONS
IN MULTIPLE JURISDICTIONS
AND
IN THE MATTER OF PLEXMAR RESOURCES INC.
(the “Filer”)
DECISION
Background The securities regulatory authority or regulator in each of the Jurisdictions (the Decision Maker) has received an application from the Filer for a decision under the securities legislation of the Jurisdictions (the Legislation) that the Filer is not a reporting issuer (the Exemptive Relief Sought). Under the process for Exemptive Relief Application in Multiple Jurisdictions (for a coordinated review application): (a) the Autorité des marchés financiers is the principal
regulator for the application, and (b) the decision is the decision of the principal
regulator and evidences the decision of each other Decision Maker.
Interpretation Terms defined in National Instrument 14-101 – Definitions have the same meaning if used in this decision, unless otherwise defined. Representations This decision is based on the following facts represented by the Filer: 1. The Filer was incorporated on June 20, 1951
under the Canada Business Corporations Act and was continued under the Business Corporations Act (Ontario) on November 2, 2012.
2. The Filer’s head office is located in Québec City,
Québec at 2505, Boulevard Laurier, Suite 240, Québec City, Québec G1V 2L2.
3. The Filer is a reporting issuer in each of the
Jurisdictions. 4. The authorized capital of the Filer consists of an
unlimited number of common shares without par value (the Common Shares).
5. All of the outstanding Common Shares of the Filer
were acquired by Dia Bras Exploration Inc. (Dia Bras) pursuant to a statutory plan of arrangement under the Business Corporations Act (Ontario) (the Arrangement) on November 14, 2012.
6. Under the terms of the Arrangement, all of the
previously issued options and warrants to acquire Common Shares were cancelled for no consideration.
7. The Arrangement was approved by the
shareholders of the Filer on October 29, 2012 and the final order approving the Arrangement was granted by the Ontario Superior Court of Justice on November 13, 2012.
8. The Common Shares were delisted from the
Toronto Stock Exchange as at the close of business on November 16, 2012.
9. No securities of the Filer, including debt securities,
are traded in Canada or another country on a marketplace as defined in National Instrument 21-101 Marketplace Operation or any other facility for bringing together buyers and sellers of securities where trading data is publicly reported.
Decisions, Orders and Rulings
January 17, 2013
(2013) 36 OSCB 778
10. The Filer ceased to be a reporting issuer in British Columbia on November 27, 2012.
11. The Filer is not in default of any of its obligations
under the Legislation as a reporting issuer, except for the obligation to file its interim financial statements and related management’s discussion and analysis for the period ended September 30, 2012, as required under National Instrument 51-102 – Continuous Disclosure Obligations and the related certification of such financial statements as required under National Instrument 52-109 – Certification of Disclosure in Issuers’ Annual and Interim Filings which were due on November 29, 2012.
12. The Filer is not eligible to use the simplified
procedure under CSA Staff Notice 12-307 – Application for a Decision that an Issuer is not a Reporting Issuer because it is in default of its obligation under the Legislation as a reporting issuer.
13. The outstanding securities of the Filer, including
debt securities, are beneficially owned, directly or indirectly, by fewer than 15 securityholders in each of the jurisdictions of Canada and fewer than 51 securityholders in total worldwide.
14. The Filer does not intend to seek public financing
by way of an offering of its securities in Canada or to list its securities on any marketplace in Canada.
15. The Filer is applying for a decision that it is not a
reporting issuer in all of the jurisdictions in Canada in which it is currently a reporting issuer.
16. Upon the granting of the Exemptive Relief Sought,
the Filer will no longer be a reporting issuer or the equivalent in any jurisdiction in Canada.
Decision Each of the Decision Makers is satisfied that the decision meets the test set out in the Legislation for the Decision Maker to make the decision. The decision of the Decision Makers under the Legislation is that the Exemptive Relief Sought is granted. Gilles Leclerc, Senior Director Corporate Finance Autorité des marchés financiers
2.1.2 Central Goldtrust Headnote National Policy 11–203 Process For Exemptive Relief Applications in Multiple Jurisdictions –Securities Act (Ontario) – Application to vary a decision of the Commission – Reporting issuer seeking relief so that it can continue to file financial statements in accordance with old Canadian GAAP (rather than IFRS) – Issuer previously granted relief for periods relating to the Filer’s financial year beginning on January 1, 2011 and ending on December 31, 2011 and the Filer’s financial year beginning January 1, 2012 and ending December 31, 2012 (collectively, the issuer's deferred financial years) – Issuer applied for a variation to extend the issuers deferred financial years for one additional year to include the Filer’s financial year beginning January 1, 2013 and ending on December 31, 2013 – In particular, the issuer is seeking relief from the requirements in Part 3 of National Instrument 52–107 that would apply to financial statements for periods relating to the issuer's deferred financial years – The issuer is also seeking relief from the IFRS–related amendments to the continuous disclosure, prospectus, certification and audit committee rules (collectively, the rules) that came into force on January 1, 2011 and that would apply to periods relating to the issuer's deferred financial years – The issuer is an "investment company" as defined in Accounting Guideline 18 Investment Companies (AcG–18) in the Handbook of the Canadian Institute of Chartered Accountants – The Canadian Accounting Standards Board decided that investment companies, as defined in and applying AcG–18, will only be required to adopt IFRS for annual periods beginning on or after January 1, 2014 – Relief granted, subject to a number of conditions. Applicable Legislative Provisions Securities Act, R.S.O. 1990, c.S.5, as am., s. 144. National Instrument 52-107 Acceptable Accounting Principles and Auditing Standards, Parts 3 and 4 National Instrument 51-102 Continuous Disclosure Obligations National Instrument 41-101 General Prospectus Requirements National Instrument 44-101 Short Form Prospectus Distributions National Instrument 44-102 Shelf Distributions National Instrument 52-109 Certification of Disclosure in Issuers' Annual and Interim Filings National Instrument 52-110 Audit Committees
Decisions, Orders and Rulings
January 17, 2013
(2013) 36 OSCB 779
December 20, 2012
IN THE MATTER OF THE SECURITIES LEGISLATION OF ONTARIO
(the “Jurisdiction”)
AND
IN THE MATTER OF THE PROCESS FOR EXEMPTIVE RELIEF
APPLICATIONS IN MULTIPLE JURISDICTIONS
AND
IN THE MATTER OF CENTRAL GOLDTRUST
(the “Filer”)
DECISION Background The principal regulator in the Jurisdiction has received an application from the Filer under the securities legislation of the Jurisdiction of the principal regulator (the “Legislation”) for a variation of a decision dated October 5, 2011 (the “Prior Exemption Order”) which exempted the Filer from: (a) the requirements in Part 3 of National Instrument
52-107 Acceptable Accounting Principles and Auditing Standards (“NI 52-107”) that apply to financial statements, financial information, operating statements and pro forma financial statements for periods relating to the Filer’s financial year beginning on January 1, 2011 and ending on December 31, 2011 and the Filer’s financial year beginning on January 1, 2012 and ending on December 31, 2012 (the “Filer’s deferred financial years”), including without limitation, the interim financial statements and associated management discussion and analysis of the Filer for the following periods: (i) the three month period ended March 31, 2012 filed on April 27, 2012; and (ii) the three month and six month periods ended June 30, 2012 filed on July 26, 2012 (together, the “Interim Financial Statements”);
(b) the amendments to National Instrument 51-102
Continuous Disclosure Obligations (“NI 51-102”) related to International Financial Reporting Standards (“IFRS”) that came into force on January 1, 2011 and that apply to documents required to be prepared, filed, delivered, or sent under NI 51-102 for periods relating to the Filer’s deferred financial years;
(c) the IFRS-related amendments to National
Instrument 41-101 General Prospectus Requirements (“NI 41-101”) that came into force on January 1, 2011 and that apply to a preliminary prospectus, an amendment to a preliminary prospectus, a final prospectus or an amendment
to a final prospectus of the Filer which includes or incorporates by reference financial statements of the Filer in respect of periods relating to the Filer’s deferred financial years;
(d) the IFRS-related amendments to National
Instrument 44-101 Short Form Prospectus Distributions (“NI 44-101”) that came into force on January 1, 2011 and that apply to a preliminary short form prospectus, an amendment to a preliminary short form prospectus, a final short form prospectus or an amendment to a final short form prospectus of the Filer which includes or incorporates by reference financial statements of the Filer in respect of periods relating to the Filer’s deferred financial years;
(e) the IFRS-related amendments to National
Instrument 44-102 Shelf Distributions (“NI 44-102”) that came into force on January 1, 2011 and that apply to a preliminary base shelf prospectus, an amendment to a preliminary base shelf prospectus, a base shelf prospectus, an amendment to a base shelf prospectus or a shelf prospectus supplement of the Filer which includes or incorporates by reference financial statements of the Filer in respect of periods relating to the Filer’s deferred financial years;
(f) the IFRS-related amendments to National
Instrument 52-109 Certification of Disclosure in Issuers’ Annual and Interim Filings (“NI 52-109”) that came into force on January 1, 2011 and that apply to annual filings and interim filings for periods relating to the Filer’s deferred financial years; and
(g) the IFRS-related amendments to National
Instrument 52-110 Audit Committees (“NI 52-110”) that came into force on January 1, 2011 and that apply to periods relating to the Filer’s deferred financial years.
The Filer applies to the principal regulator for a variation of the Prior Exemption Order such that the Filer’s deferred financial years be extended to include the Filer’s financial year beginning January 1, 2013 and ending December 31, 2013 (the “Variation Sought”). Under the Process for Exemptive Relief Applications in Multiple Jurisdictions (for a passport application): (a) the Ontario Securities Commission is the principal
regulator for the application, and (b) the Filer has provided notice that section 4.7 (1) of
Multilateral Instrument 11-102 Passport System (“MI 11-102”) is intended to be relied upon in all provinces and territories in Canada with the exception of Ontario.
Decisions, Orders and Rulings
January 17, 2013
(2013) 36 OSCB 780
Interpretation Terms defined in National Instrument 14-101 Definitions and MI 11-102 have the same meaning if used in this decision, unless otherwise defined. Representations This decision is based on the following facts represented by the Filer, in support of the Prior Exemption Order, that: 1. The Filer was established pursuant to a
declaration of trust dated April 28, 2003, as amended and restated on April 24, 2008.
2. The Filer’s registered and head office address is
located at 55 Broad Leaf Crescent, Ancaster, Ontario, L9G 3P2.
3. The Filer is a reporting issuer in all provinces and
territories in Canada and to its knowledge is not in default of securities legislation in any jurisdiction.
4. The Filer’s trust units trade on the Toronto Stock
Exchange under the symbols “GTU.UN” (Cdn. $) and “GTU.U” (US $) and on the NYSE MKT under the symbol “GTU”.
5. The Filer’s fiscal year end is December 31. 6. The Filer is an “investment company” as defined in
Accounting Guideline 18 Investment Companies (“AcG-18”) in the Handbook of the Canadian Institute of Chartered Accountants (the “Handbook”). As such, the Filer applies AcG-18 in the preparation of its financial statements in accordance with Canadian generally accepted accounting principles (“Canadian GAAP”) for public enterprises.
7. The Filer is not an investment fund as that term is
defined in the Securities Act (Ontario). 8. As part of the changeover to IFRS in Canada, the
Canadian Accounting Standards Board (“AcSB”) has incorporated IFRS into the Handbook as Canadian GAAP for most publicly accountable enterprises. As a result, the Handbook contains two sets of standards for public companies:
(a) Part 1 of the Handbook- Canadian GAAP
for publicly accountable enterprises that applies for financial years beginning on or after January 1, 2011; and
(b) Part V of the Handbook- Canadian GAAP
for public enterprises that is the pre-changeover accounting standards (“pre-changeover Canadian GAAP”).
9. On October 1, 2010, the AcSB published
amendments to Part 1 of the Handbook that provided a one-year deferral of the transition to
IFRS for investment companies. The amendments required investment companies, as defined in and applying AcG-18, to adopt IFRS for annual periods beginning on or after January 1, 2012. Subsequently, at its meeting on January 12, 2011, the AcSB decided to extend the deferral for an additional year. The AcSB amended Part 1 of the Handbook so that investment companies, as defined in and applying AcG-18, will only be required to adopt IFRS for annual periods beginning on or after January 1, 2013.
10. As part of the changeover to IFRS, NI 52-107 was
repealed and replaced effective January 1, 2011. In the new version of NI 52-107,
(a) Part 3 contains requirements based on
IFRS and applies to financial statements, financial information, operating statements and pro forma financial statements for periods relating to financial years beginning on or after January 1, 2011; and
(b) Part 4 contains requirements based on
pre-changeover Canadian GAAP and applies to financial statements, financial information, operating statements and pro forma financial statements for periods relating to financial years beginning before January 1, 2011.
11. Also as part of the changeover to IFRS, IFRS-
related amendments were made to NI 51-102, NI 41-101, NI 44-101, NI 44-102, NI 52-109 and NI 52-110 (collectively, the “Rules”) and these amendments came into force on January 1, 2011. Among other things, the amendments replaced pre-changeover Canadian GAAP terms and phrases with IFRS terms and phrases and contain IFRS-specific requirements. The amendment instruments for the Rules contain transition provisions that provide that the IFRS-related amendments only apply to documents required to be filed under the Rules for periods relating to financial years beginning on or after January 1, 2011. Thus, during the IFRS transition period,
(a) issuers filing financial statements
prepared in accordance with pre-changeover Canadian GAAP will be required to comply with the versions of the Rules that contain pre-changeover Canadian GAAP terms and phrases, and
(b) issuers filing financial statements that
comply with IFRS will be required to comply with the version of the Rules that contain IFRS terms and phrases and IFRS-specific requirements.
12. On October 8, 2010, the Canadian Securities
Administrators (“CSA”) published CSA Staff
Decisions, Orders and Rulings
January 17, 2013
(2013) 36 OSCB 781
Notice 81-320 Update on International Financial Reporting Standards for Investment Funds which indicated that, given the October 1, 2010 amendments to the Handbook that provided for a deferral of the transition to IFRS for investment companies, the CSA would defer finalizing IFRS-related amendments to rules related to investment funds.
13. NI 52-107 and the Rules apply to the Filer. Since
Part 3 of NI 52-107 and the IFRS-related amendments to the Rules do not have a provision providing for a two-year deferral of the transition to IFRS for investment companies subject to NI 52-107 and the Rules, the Filer applied for the original exemption granted in the Prior Exemption Order.
14. During the Filer’s deferred financial years, the Filer
has complied with, and continues to comply with, section 1.13 of Form 51-102F1 Management’s Discussion and Analysis (“MD&A”) by providing an updated discussion of the Filer’s preparations for changeover to IFRS in its annual and interim MD&A. In particular, the Filer will discuss the expected effect on the financial statements, or state that the effect cannot be reasonably estimated.
15. The Interim Financial Statements were not
prepared in accordance with IFRS pursuant to Part 3 of NI 52-107.
The Filer has represented the following additional facts in support of the Variation Sought: 16. Consistent with the terms of the Prior Exemption
Order, for the years ended December 31, 2011 and for the current year ending December 31, 2012, the Applicant has applied, and continues to apply, AcG-18 in the preparation of its financial statements.
17. The AcSB has again deferred the transition to
IFRS for investment companies. On February 29, 2012, the AcSB issued amendments to the CICA Handbook to further defer the adoption of IFRS by investment companies from January 1, 2013 to January 1, 2014.
18. On March 30, 2012, the CSA published a revised
CSA Staff Notice which indicates that the CSA intend to defer the adoption of IFRS by investment funds under NI 81-106 until January 1, 2014.
19. The Filer acknowledges that if the Variation
Sought is granted, the Filer:
(a) will be subject to Part 3 of NI 52-107 and the IFRS-related amendments to the Rules for periods relating to financial years beginning on or after January 1, 2014; and
(b) will not have the benefit of the 30 day extension to the deadline of filing the first interim financial report in the year of adopting IFRS in respect of an interim period beginning on or after January 1, 2011, as set out in the IFRS-related amendments to NI 51-102, since that extension does not apply if the first interim financial report is in respect of an interim period ending after March 30, 2012.
Decision The Principal regulator is satisfied that the decision meets the test set out in the Legislation for the principal regulator to make a decision. The decision of the principal regulator under the Legislation is that the Variation Sought is granted provided that: 1. the Filer continues to be an investment company,
as defined in and applying AcG-18; 2. the Filer provides the communication as described
and in the manner set out in paragraph 14 above; 3. the Filer complies with the requirements in Part 4
of NI 52-107 for all financial statements (including interim financial statements), financial information, operating statements and pro forma financial statements for periods relating to the Filer’s deferred financial years, as if the expression “January 1, 2011” in subsection 4.1(2) were read as “January 1, 2014”;
4. the Filer complies with the version of NI 51-102
that was in effect on December 31, 2010 (together with any amendments to NI 51-102 that are not related to IFRS and that come into force after January 1, 2011) for all documents required to be prepared, filed, delivered, or sent under NI 51-102 for periods relating to the Filer’s deferred financial years;
5. the Filer complies with the version of NI 41-101
that was in effect on December 31, 2010 (together with any amendments to NI 41-101 that are not related to IFRS and that come into effect after January 1, 2011) for any preliminary prospectus, amendment to a preliminary prospectus, final prospectus or amendment to a final prospectus of the Filer which includes or incorporates by reference financial statements of the Filer in respect of periods relating to the Filer’s deferred financial years;
6. the Filer complies with the version of NI 44-101
that was in effect on December 31, 2010 (together with any amendments to NI 44-101 that are not related to IFRS and that come into effect after January 1, 2011) for any preliminary short form prospectus, amendment to a preliminary short form prospectus, final short form prospectus or
Decisions, Orders and Rulings
January 17, 2013
(2013) 36 OSCB 782
amendment to a final short form prospectus of the Filer which includes or incorporates by reference financial statements of the Filer in respect of periods relating to the Filer’s deferred financial years;
7. the Filer complies with the version of NI 44-102
that was in effect on December 31, 2010 (together with any amendments to NI 44-102 that are not related to IFRS and that come into effect after January 1, 2011) for any preliminary base shelf prospectus, amendment to a preliminary base shelf prospectus, base shelf prospectus, amendment to a base shelf prospectus or shelf prospectus supplement of the Filer which includes or incorporates by reference financial statements of the Filer in respect of periods relating to the Filer’s deferred financial years;
8. the Filer complies with the version of NI 52-109
that was in effect on December 31, 2010 (together with any amendments to NI 52-109 that are not related to IFRS and that come into effect after January 1, 2011) for all annual filings and interim filings for periods relating to the Filer’s deferred financial years;
9. the Filer complies with the version of NI 52-110
that was in effect on December 31, 2010 (together with any amendments to NI 52-110 that are not related to IFRS and that come into effect after January 1, 2011) for periods relating to the Filer’s deferred financial years;
10. if, notwithstanding this decision, the Filer decides
not to rely on the Variation Sought and files an interim financial report prepared in accordance with IFRS for an interim period in a deferred financial year, the Filer must, at the same time:
(a) restate, in accordance with IFRS, any
interim financial statements for any previous interim period in the same deferred financial year (each, a “Previous Interim Period”) that were originally prepared in accordance with pre-changeover Canadian GAAP and filed pursuant to this decision, and
(b) file a restated interim financial report
prepared in accordance with IFRS for each Previous Interim Period, together with corresponding restated interim MD&A and certificates required by NI 52-109. For greater certainty, any restated interim financial report for a Previous Interim Period must comply with applicable securities legislation (including Part 3 of NI 52-107 and the amendments to Part 4 of NI 51-102 that came into force on January 1, 2011) and any restated interim financial report for the
first interim period in the deferred financial year must include the opening IFRS statement of financial position at the date of transition to IFRS; and
11. if, notwithstanding this decision, the Filer decides
not to rely on the Variation Sought and files annual financial statements prepared in accordance with IFRS for a deferred financial year, the Filer must, at the same time (unless previously done pursuant to paragraph 10 immediately above):
(a) estate, in accordance with IFRS, any
interim financial statements for any Previous Interim Period that were originally prepared in accordance with pre-changeover Canadian GAAP and filed pursuant to this decision, and
(b) file a restated interim financial report
prepared in accordance with IFRS for each Previous Interim Period, together with corresponding restated interim MD&A and certificates required by NI 52-109. For greater certainty, any restated interim financial report for a Previous Interim Period must comply with applicable securities legislation (including Part 3 of NI 52-107 and the amendments to Part 4 of NI 51-102 that came into force on January 1, 2011) and any restated interim financial report for the first interim period in the deferred financial year must include the opening IFRS statement of financial position at the date of transition to IFRS.
“Cameron McInnis” Chief Accountant Ontario Securities Commission
Decisions, Orders and Rulings
January 17, 2013
(2013) 36 OSCB 783
2.1.3 The Pallas Athena Corporation Headnote Multilateral Instrument 11-102 Passport System – National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions – National Instrument 52-107 Acceptable Accounting Principles and Accounting Standards – Exemption granted from requirement to prepare financial statements in accordance with Canadian Generally Accepted Accounting Principles applicable to publicly accountable enterprises except that any investments in subsidiaries, jointly controlled entities and associates must be accounted for as specified for separate financial statements in International Accounting Standard 27 Consolidated and Separate Financial Statements – Exemption granted for fiscal years ending November 30, 2012 and November 30, 2013. Applicable Legislative Provisions Multilateral Instrument 11-102 Passport System, s. 4.7 National Instrument 14-101 Definitions National Instrument 52-107 Acceptable Accounting Principles and Accounting Standards, ss. 3.2(3) National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions
January 9, 2013
IN THE MATTER OF THE SECURITIES LEGISLATION OF
ONTARIO (the “Jurisdiction”)
AND
IN THE MATTER OF
THE PROCESS FOR EXEMPTIVE RELIF APPLICATIONS
IN MULTIPLE JURISDICTIONS
AND
IN THE MATTER OF THE PALLAS ATHENA CORPORATION
(the “Filer”)
DECISION BACKGROUND The principal regulator in the Jurisdiction has received an application from the Filer (the Application) for a decision under the securities legislation of the Jurisdiction of the principal regulator (the Legislation) for an exemption from the requirement of paragraph 3.2(3)(a) of National Instrument 52-107 Acceptable Accounting Principles and Auditing Standards (NI 52-107) that financial statements be prepared in accordance with Canadian Generally Accepted Accounting Principles (GAAP) applicable to publicly accountable enterprises except that any investments in subsidiaries, jointly controlled entities and associates must be accounted for as specified for separate financial
statements in International Accounting Standard 27 Consolidated and Separate Financial Statements (IAS 27) for the Filer’s fiscal years ending November 30, 2012 and November 30, 2013, so long as the Filer delivers to the regulator the annual audited financial statements prepared in accordance with Canadian GAAP applicable to private enterprises (the Exemption Sought). Under the Process for Exemptive Relief Applications in Multiple Jurisdictions (for a passport application): (a) the Ontario Securities Commission is the principal
regulator for this application, and (b) the Filer has provided notice that subsection
4.7(1) of Multilateral Instrument 11-102 Passport System (MI 11-102) is intended to be relied upon in Québec (the Passport Jurisdictions, and together with the Jurisdiction, the Jurisdictions).
INTERPRETATION Terms defined in National Instrument 14-101 Definitions, NI 52-107, and MI 11-102 have the same meaning if used in this decision, unless otherwise defined. REPRESENTATIONS This decision is based on the following facts represented by the Filer: The Filer 1. The Filer is a corporation formed under the
Canada Business Corporations Act. The Filer’s head office is located in Ottawa, Ontario.
2. The Filer is registered in each Jurisdiction as an
adviser in the category of portfolio manager (PM). 3. In 2004, the Filer established an Individual
Pension Plan (IPP) for its President, James Lowry. The IPP is a retirement savings vehicle that will be wound up and transferred to a Locked-in Retirement Income Fund (LRIF) for Mr. Lowry when he reaches age 71.
4. Mr. Lowry is presently 69 years of age. The wind
up of the IPP will occur in approximately two years or by December 31, 2014 which is the end of the calendar year when he reaches age 71.
Financial statements 5. The Filer is subject to the requirement of
paragraph 3.2(3)(a) of NI 52-107 that financial statements be prepared in accordance with Canadian GAAP applicable to publicly accountable enterprises except that any investments in subsidiaries, jointly controlled entities and associates must be accounted for as specified for separate financial statements in IAS 27.
Decisions, Orders and Rulings
January 17, 2013
(2013) 36 OSCB 784
6. Canadian GAAP applicable to publicly accountable enterprises is International Financial Reporting Standards (IFRS).
7. The Filer’s balance sheet includes the IPP as a
non-current asset. The IPP will no longer form part of the Filer’s financial statements upon Mr. Lowry becoming 71 years of age.
8. The accounting and reporting of an IPP under
IFRS is set out in International Accounting Standard 26 Accounting and Reporting by Retirement Benefit Plans (IAS 26). The requirements of IAS 26 related to defined benefit plans are more robust and complex than those previously required under pre-changeover Canadian GAAP.
9. As a result of preparing the financial statements of
the Filer under IFRS, the estimated audit and actuarial fees related to the IPP under IFRS are significantly higher than under pre-changeover Canadian GAAP.
10. Based on discussions with its auditor, the Filer
estimates that its audit fees will double to approximately $10,000 as a result of using IFRS. The significant increase is attributable to the requirements under IFRS related to the IPP.
11. Based on discussions with its actuary, the Filer
estimates that its actuarial fees will be in the range of $4,000 to $5,000 as compared to $900 in prior years as a result of the IFRS requirements relating to defined benefit pension plans.
12. The IPP does not form part of the calculation of
excess working capital. Since the IPP is excluded from the current assets in the Form 31-103F1 Calculation of Excess Working Capital (Form 31-103F1), requiring the Filer to prepare its financial statements under IFRS in accordance with paragraph 3.2(3)(a) of NI 52-107 would not result in any beneficial information for regulatory purposes.
13. The annual audited financial statements that the
Filer has prepared using Canadian GAAP applicable to private enterprises provide sufficient information to allow the regulator to assess the Filer’s solvency and capital adequacy. For the limited time period that the IPP remains the property of the Filer, it would be burdensome and costly for the Filer if it was required to prepare and file annual audited financial statements using IFRS.
14. The Exemption Sought by the Filer is only for its
fiscal years ending November 30, 2012 and November 30, 2013. Thereafter, the IPP will be transferred to a personal LRIF and will have no bearing on the audit and actuarial expenses of the Filer.
15. The Filer has in the past, and intends to remain
well above the minimum working capital requirements.
DECISION The principal regulator is satisfied that the decision meets the test set out in the Legislation for the principal regulator to make the decision. The decision of the principal regulator under the Legislation is that the Exemption Sought is granted provided that the auditor’s report relating to the Filer’s annual financial statements for the fiscal years ending November 30, 2012 and November 30, 2013 expresses an unmodified opinion that the financial statements are presented fairly, in all material respects, and in accordance with Canadian GAAP applicable to private enterprises. “Marrianne Bridge” Deputy Director, Compliance & Registrant Regulation Ontario Securities Commission
Decisions, Orders and Rulings
January 17, 2013
(2013) 36 OSCB 785
2.1.4 Silver Bullion Trust Headnote National Policy 11-203 Process For Exemptive Relief Applications in Multiple Jurisdictions – Securities Act (Ontario) – Application to vary a decision of the Commission – Reporting issuer seeking relief so that it can continue to file financial statements in accordance with old Canadian GAAP (rather than IFRS) – Issuer previously granted relief for periods relating to the Filer’s financial year beginning on January 1, 2011 and ending on December 31, 2011 and the Filer’s financial year beginning January 1, 2012 and ending December 31, 2012 (collectively, the issuer's deferred financial years) – Issuer applied for a variation to extend the issuers deferred financial years for one additional year to include the Filer’s financial year beginning January 1, 2013 and ending on December 31, 2013 – In particular, the issuer is seeking relief from the requirements in Part 3 of National Instrument 52-107 that would apply to financial statements for periods relating to the issuer's deferred financial years - The issuer is also seeking relief from the IFRS-related amendments to the continuous disclosure, prospectus, certification and audit committee rules (collectively, the rules) that came into force on January 1, 2011 and that would apply to periods relating to the issuer's deferred financial years – The issuer is an "investment company" as defined in Accounting Guideline 18 Investment Companies (AcG-18) in the Handbook of the Canadian Institute of Chartered Accountants – The Canadian Accounting Standards Board decided that investment companies, as defined in and applying AcG-18, will only be required to adopt IFRS for annual periods beginning on or after January 1, 2014 – Relief granted, subject to a number of conditions. Applicable Legislative Provisions Securities Act, R.S.O. 1990, c.S.5, as am., s. 144. National Instrument 52-107 Acceptable Accounting Principles and Auditing Standards, Parts 3 and 4. National Instrument 51-102 Continuous Disclosure Obligations. National Instrument 41-101 General Prospectus Requirements. National Instrument 44-101 Short Form Prospectus Distributions. National Instrument 44-102 Shelf Distributions. National Instrument 52-109 Certification of Disclosure in Issuers' Annual and Interim Filings. National Instrument 52-110 Audit Committees.
December 20, 2012
IN THE MATTER OF THE SECURITIES LEGISLATION OF ONTARIO
(the “Jurisdiction”)
AND
IN THE MATTER OF THE PROCESS FOR EXEMPTIVE RELIEF
APPLICATIONS IN MULTIPLE JURISDICTIONS
AND
IN THE MATTER OF
SILVER BULLION TRUST (the “Filer”)
DECISION
Background The principal regulator in the Jurisdiction has received an application from the Filer under the securities legislation of the Jurisdiction of the principal regulator (the “Legislation”) for a variation of a decision dated November 4, 2011 (the “Prior Exemption Order”) which exempted the Filer from: (a) the requirements in Part 3 of National Instrument
52-107 Acceptable Accounting Principles and Auditing Standards (“NI 52-107”) that apply to financial statements, financial information, operating statements and pro forma financial statements for periods relating to the Filer’s financial year beginning on January 1, 2011 and ending on December 31, 2011 and the Filer’s financial year beginning on January 1, 2012 and ending on December 31, 2012 (the “Filer’s deferred financial years”), including without limitation, the interim financial statements and associated management discussion and analysis of the Filer for the following periods: (i) the three month period ended March 31, 2012 filed on April 27, 2012; and (ii) the three month and six month periods ended June 30, 2012 filed on July 26, 2012 (together, the “Interim Financial Statements”);
(b) the amendments to National Instrument 51-102
Continuous Disclosure Obligations (“NI 51-102”) related to International Financial Reporting Standards (“IFRS”) that came into force on January 1, 2011 and that apply to documents required to be prepared, filed, delivered, or sent under NI 51-102 for periods relating to the Filer’s deferred financial years;
(c) the IFRS-related amendments to National
Instrument 41-101 General Prospectus Requirements (“NI 41-101”) that came into force on January 1, 2011 and that apply to a preliminary prospectus, an amendment to a preliminary
Decisions, Orders and Rulings
January 17, 2013
(2013) 36 OSCB 786
prospectus, a final prospectus or an amendment to a final prospectus of the Filer which includes or incorporates by reference financial statements of the Filer in respect of periods relating to the Filer’s deferred financial years;
(d) the IFRS-related amendments to National
Instrument 44-101 Short Form Prospectus Distributions (“NI 44-101”) that came into force on January 1, 2011 and that apply to a preliminary short form prospectus, an amendment to a preliminary short form prospectus, a final short form prospectus or an amendment to a final short form prospectus of the Filer which includes or incorporates by reference financial statements of the Filer in respect of periods relating to the Filer’s deferred financial years;
(e) the IFRS-related amendments to National
Instrument 44-102 Shelf Distributions (“NI 44-102”) that came into force on January 1, 2011 and that apply to a preliminary base shelf prospectus, an amendment to a preliminary base shelf prospectus, a base shelf prospectus, an amendment to a base shelf prospectus or a shelf prospectus supplement of the Filer which includes or incorporates by reference financial statements of the Filer in respect of periods relating to the Filer’s deferred financial years;
(f) the IFRS-related amendments to National
Instrument 52-109 Certification of Disclosure in Issuers’ Annual and Interim Filings (“NI 52-109”) that came into force on January 1, 2011 and that apply to annual filings and interim filings for periods relating to the Filer’s deferred financial years; and
(g) the IFRS-related amendments to National
Instrument 52-110 Audit Committees (“NI 52-110”) that came into force on January 1, 2011 and that apply to periods relating to the Filer’s deferred financial years.
The Filer applies to the principal regulator for a variation of the Prior Exemption Order such that the Filer’s deferred financial years be extended to include the Filer’s financial year beginning January 1, 2013 and ending December 31, 2013 (the “Variation Sought”). Under the Process for Exemptive Relief Applications in Multiple Jurisdictions (for a passport application): (a) the Ontario Securities Commission is the principal
regulator for the application, and (b) the Filer has provided notice that section 4.7 (1) of
Multilateral Instrument 11-102 Passport System (“MI 11-102”) is intended to be relied upon in all provinces and territories in Canada with the exception of Ontario.
Interpretation Terms defined in National Instrument 14-101 Definitions and MI 11-102 have the same meaning if used in this decision, unless otherwise defined. Representations This decision is based on the following facts represented by the Filer, in support of the Prior Exemption Order, that: 1. The Filer was established pursuant to a
declaration of trust dated June 8, 2009, as amended and restated on July 9, 2009.
2. The Filer’s registered and head office address is
located at 55 Broad Leaf Crescent, Ancaster, Ontario, L9G 3P2.
3. The Filer is a reporting issuer in all provinces and
territories in Canada and to its knowledge is not in default of securities legislation in any jurisdiction.
4. The Filer’s trust units trade on the Toronto Stock
Exchange under the symbols “SBT.UN” (Cdn. $) and “SBT.U” (US $).
5. The Filer’s fiscal year end is December 31. 6. The Filer is an “investment company” as defined in
Accounting Guideline 18 Investment Companies (“AcG-18”) in the Handbook of the Canadian Institute of Chartered Accountants (the “Handbook”). As such, the Filer applies AcG-18 in the preparation of its financial statements in accordance with Canadian generally accepted accounting principles (“Canadian GAAP”) for public enterprises.
7. The Filer is not an investment fund as that term is
defined in the Securities Act (Ontario). 8. As part of the changeover to IFRS in Canada, the
Canadian Accounting Standards Board (“AcSB”) has incorporated IFRS into the Handbook as Canadian GAAP for most publicly accountable enterprises. As a result, the Handbook contains two sets of standards for public companies:
(a) Part 1 of the Handbook- Canadian GAAP
for publicly accountable enterprises that applies for financial years beginning on or after January 1, 2011; and
(b) Part V of the Handbook- Canadian GAAP
for public enterprises that is the pre-changeover accounting standards (“pre-changeover Canadian GAAP”).
9. On October 1, 2010, the AcSB published
amendments to Part 1 of the Handbook that provided a one-year deferral of the transition to IFRS for investment companies. The amendments
Decisions, Orders and Rulings
January 17, 2013
(2013) 36 OSCB 787
required investment companies, as defined in and applying AcG-18, to adopt IFRS for annual periods beginning on or after January 1, 2012. Subsequently, at its meeting on January 12, 2011, the AcSB decided to extend the deferral for an additional year. The AcSB amended Part 1 of the Handbook so that investment companies, as defined in and applying AcG-18, will only be required to adopt IFRS for annual periods beginning on or after January 1, 2013.
10. As part of the changeover to IFRS, NI 52-107 was
repealed and replaced effective January 1, 2011. In the new version of NI 52-107,
(a) Part 3 contains requirements based on
IFRS and applies to financial statements, financial information, operating statements and pro forma financial statements for periods relating to financial years beginning on or after January 1, 2011; and
(b) Part 4 contains requirements based on
pre-changeover Canadian GAAP and applies to financial statements, financial information, operating statements and pro forma financial statements for periods relating to financial years beginning before January 1, 2011.
11. Also as part of the changeover to IFRS, IFRS-
related amendments were made to NI 51-102, NI 41-101, NI 44-101, NI 44-102, NI 52-109 and NI 52-110 (collectively, the “Rules”) and these amendments came into force on January 1, 2011. Among other things, the amendments replaced pre-changeover Canadian GAAP terms and phrases with IFRS terms and phrases and contain IFRS-specific requirements. The amendment instruments for the Rules contain transition provisions that provide that the IFRS-related amendments only apply to documents required to be filed under the Rules for periods relating to financial years beginning on or after January 1, 2011. Thus, during the IFRS transition period,
(a) issuers filing financial statements
prepared in accordance with pre-changeover Canadian GAAP will be required to comply with the versions of the Rules that contain pre-changeover Canadian GAAP terms and phrases, and
(b) issuers filing financial statements that
comply with IFRS will be required to comply with the version of the Rules that contain IFRS terms and phrases and IFRS-specific requirements.
12. On October 8, 2010, the Canadian Securities
Administrators (“CSA”) published CSA Staff Notice 81-320 Update on International Financial
Reporting Standards for Investment Funds which indicated that, given the October 1, 2010 amendments to the Handbook that provided for a deferral of the transition to IFRS for investment companies, the CSA would defer finalizing IFRS-related amendments to rules related to investment funds.
13. NI 52-107 and the Rules apply to the Filer. Since
Part 3 of NI 52-107 and the IFRS-related amendments to the Rules do not have a provision providing for a two-year deferral of the transition to IFRS for investment companies subject to NI 52-107 and the Rules, the Filer applied for the original exemption granted in the Prior Exemption Order.
14. During the Filer’s deferred financial years, the Filer
has complied with, and continues to comply with, section 1.13 of Form 51-102F1 Management’s Discussion and Analysis (“MD&A”) by providing an updated discussion of the Filer’s preparations for changeover to IFRS in its annual and interim MD&A. In particular, the Filer will discuss the expected effect on the financial statements, or state that the effect cannot be reasonably estimated.
15. The Interim Financial Statements were not
prepared in accordance with IFRS pursuant to Part 3 of NI 52-107.
The Filer has represented the following additional facts in support of the Variation Sought: 16. Consistent with the terms of the Prior Exemption
Order, for the years ended December 31, 2011 and for the current year ending December 31, 2012, the Applicant has applied, and continues to apply, AcG-18 in the preparation of its financial statements.
17. The AcSB has again deferred the transition to
IFRS for investment companies. On February 29, 2012, the AcSB issued amendments to the CICA Handbook to further defer the adoption of IFRS by investment companies from January 1, 2013 to January 1, 2014.
18. On March 30, 2012, the CSA published a revised
CSA Staff Notice 81-320 (Revised) Update on International Financial Reporting Standards for Investment Funds, which indicates that the CSA intend to defer the adoption of IFRS by investment funds under NI 81-106 until January 1, 2014.
19. The Filer acknowledges that if the Variation
Sought is granted, the Filer:
Decisions, Orders and Rulings
January 17, 2013
(2013) 36 OSCB 788
(a) will be subject to Part 3 of NI 52-107 and the IFRS-related amendments to the Rules for periods relating to financial years beginning on or after January 1, 2014; and
(b) will not have the benefit of the 30 day
extension to the deadline of filing the first interim financial report in the year of adopting IFRS in respect of an interim period beginning on or after January 1, 2011, as set out in the IFRS-related amendments to NI 51-102, since that extension does not apply if the first interim financial report is in respect of an interim period ending after March 30, 2012.
Decision The Principal regulator is satisfied that the decision meets the test set out in the Legislation for the principal regulator to make a decision. The decision of the principal regulator under the Legislation is that the Variation Sought is granted provided that: 1. the Filer continues to be an investment company,
as defined in and applying AcG-18; 2. the Filer provides the communication as described
and in the manner set out in paragraph 14 above; 3. the Filer complies with the requirements in Part 4
of NI 52-107 for all financial statements (including interim financial statements), financial information, operating statements and pro forma financial statements for periods relating to the Filer’s deferred financial years, as if the expression “January 1, 2011” in subsection 4.1(2) were read as “January 1, 2014”;
4. the Filer complies with the version of NI 51-102
that was in effect on December 31, 2010 (together with any amendments to NI 51-102 that are not related to IFRS and that come into force after January 1, 2011) for all documents required to be prepared, filed, delivered, or sent under NI 51-102 for periods relating to the Filer’s deferred financial years;
5. the Filer complies with the version of NI 41-101
that was in effect on December 31, 2010 (together with any amendments to NI 41-101 that are not related to IFRS and that come into effect after January 1, 2011) for any preliminary prospectus, amendment to a preliminary prospectus, final prospectus or amendment to a final prospectus of the Filer which includes or incorporates by reference financial statements of the Filer in respect of periods relating to the Filer’s deferred financial years;
6. the Filer complies with the version of NI 44-101 that was in effect on December 31, 2010 (together with any amendments to NI 44-101 that are not related to IFRS and that come into effect after January 1, 2011) for any preliminary short form prospectus, amendment to a preliminary short form prospectus, final short form prospectus or amendment to a final short form prospectus of the Filer which includes or incorporates by reference financial statements of the Filer in respect of periods relating to the Filer’s deferred financial years;
7. the Filer complies with the version of NI 44-102
that was in effect on December 31, 2010 (together with any amendments to NI 44-102 that are not related to IFRS and that come into effect after January 1, 2011) for any preliminary base shelf prospectus, amendment to a preliminary base shelf prospectus, base shelf prospectus, amendment to a base shelf prospectus or shelf prospectus supplement of the Filer which includes or incorporates by reference financial statements of the Filer in respect of periods relating to the Filer’s deferred financial years;
8. the Filer complies with the version of NI 52-109
that was in effect on December 31, 2010 (together with any amendments to NI 52-109 that are not related to IFRS and that come into effect after January 1, 2011) for all annual filings and interim filings for periods relating to the Filer’s deferred financial years;
9. the Filer complies with the version of NI 52-110
that was in effect on December 31, 2010 (together with any amendments to NI 52-110 that are not related to IFRS and that come into effect after January 1, 2011) for periods relating to the Filer’s deferred financial years;
10. if, notwithstanding this decision, the Filer decides
not to rely on the Variation Sought and files an interim financial report prepared in accordance with IFRS for an interim period in a deferred financial year, the Filer must, at the same time:
(a) restate, in accordance with IFRS, any
interim financial statements for any previous interim period in the same deferred financial year (each, a “Previous Interim Period”) that were originally prepared in accordance with pre-changeover Canadian GAAP and filed pursuant to this decision, and
(b) file a restated interim financial report
prepared in accordance with IFRS for each Previous Interim Period, together with corresponding restated interim MD&A and certificates required by NI 52-109. For greater certainty, any restated interim financial report for a Previous
Decisions, Orders and Rulings
January 17, 2013
(2013) 36 OSCB 789
Interim Period must comply with applicable securities legislation (including Part 3 of NI 52-107 and the amendments to Part 4 of NI 51-102 that came into force on January 1, 2011) and any restated interim financial report for the first interim period in the deferred financial year must include the opening IFRS statement of financial position at the date of transition to IFRS; and
11. if, notwithstanding this decision, the Filer decides
not to rely on the Variation Sought and files annual financial statements prepared in accordance with IFRS for a deferred financial year, the Filer must, at the same time (unless previously done pursuant to paragraph 10 immediately above):
(a) restate, in accordance with IFRS, any
interim financial statements for any Previous Interim Period that were originally prepared in accordance with pre-changeover Canadian GAAP and filed pursuant to this decision, and
(b) file a restated interim financial report
prepared in accordance with IFRS for each Previous Interim Period, together with corresponding restated interim MD&A and certificates required by NI 52-109. For greater certainty, any restated interim financial report for a Previous Interim Period must comply with applicable securities legislation (including Part 3 of NI 52-107 and the amendments to Part 4 of NI 51-102 that came into force on January 1, 2011) and any restated interim financial report for the first interim period in the deferred financial year must include the opening IFRS statement of financial position at the date of transition to IFRS.
“Cameron McInnis” Chief Accountant Ontario Securities Commission
Decisions, Orders and Rulings
January 17, 2013
(2013) 36 OSCB 790
2.1.5 IFM (US) Investment Advisor, LLC et al. Headnote National Policy 11-203 Process for Exemptive Relief Applications in Multiple Jurisdictions – Relief granted from the mutual fund conflict of interest investment restrictions in ss. 111(2)(b) and 111(3) of the Securities Act (Ontario) to allow a pooled fund that is a "mutual fund in Ontario" and future related pooled funds established in Canada and under common management, to invest 100% of their assets in an underlying offshore entity – relief granted on conditions analogous to fund-of-fund structures, based on specific facts. Applicable Legislative Provisions Securities Act (Ontario), R.S.O. 1990, c. S.5, as am., ss. 111(2)(b), 111(3) and 113.
January 8, 2013
IN THE MATTER OF THE SECURITIES LEGISLATION OF
ONTARIO (the Jurisdiction)
AND
IN THE MATTER OF
THE PROCESS FOR EXEMPTIVE RELIEF APPLICATIONS IN MULTIPLE JURISDICTIONS
AND
IN THE MATTER OF
IFM (US) INVESTMENT ADVISOR, LLC AND IFM GLOBAL INFRASTRUCTURE (CANADA) G.P. INC.
(the Filers)
AND
IN THE MATTER OF IFM GLOBAL INFRASTRUCTURE (CANADA) L.P.
(the Fund)
DECISION Background The principal regulator in the Jurisdiction has received an application from the Filers, on behalf of the Fund, for a decision under the securities legislation of the Jurisdiction of the principal regulator (the Legislation) that provisions of the Legislation that restrict a mutual fund from knowingly making and holding an investment in a person or company in which the mutual fund, alone or together with one or more related mutual funds, is a substantial security holder (the Investment Restriction) shall not apply to the Fund or to other mutual funds that are offered pursuant to a prospectus exemption, which are established by Industry Funds Management Pty Ltd. (IFM Ltd.) or an affiliate of IFM Ltd. from time to time, for the purpose of investing in IFM Global Infrastructure Fund, and managed by IFM (US) Investment Advisor, LLC or an affiliate (collectively, the Exemption Sought). Under the Process for Exemptive Relief Applications in Multiple Jurisdictions (for a passport application): (a) the Ontario Securities Commission is the principal regulator for this application; and (b) the Filer has provided notice that section 4.7(1) of Multilateral Ontario Securities Commission
11 102 Passport System (MI 11 102) is intended to be relied upon in Alberta (the Non-Principal Jurisdiction). Interpretation Terms defined in National Instrument 14-101 Definitions and MI 11-102 have the same meaning if used in this decision, unless otherwise defined.
Decisions, Orders and Rulings
January 17, 2013
(2013) 36 OSCB 791
Representations This decision is based on the following facts represented by the Filers: The Fund 1. The Fund is a limited partnership established under the laws of Ontario. 2. The general partner of the Fund, IFM Global Infrastructure (Canada) G.P. Inc. (the General Partner), is a corporation
established under the laws of British Columbia. 3. The Fund is not a reporting issuer within the meaning of applicable securities legislation in any jurisdiction of Canada.
Securities of the Fund are sold in Canada pursuant to exemptions from the prospectus requirements in accordance with National Instrument 45-106 Prospectus and Registration Exemptions (NI 45-106).
4. The General Partner is not a reporting issuer within the meaning of applicable securities legislation in any jurisdiction of
Canada. 5. The General Partner is a wholly-owned subsidiary of IFM Ltd. IFM Ltd. is wholly-owned by a group of Australian
pension funds and is headquartered in Melbourne, Australia, with offices in Sydney as well as in London, United Kingdom, and New York, United States of America. IFM Ltd. and its affiliates develop and manage investment products across the asset classes of infrastructure, private equity, debt investments and listed equities for institutional investors around the world. As at March 31, 2012, IFM Ltd. and its affiliates managed approximately U.S. $35 billion worldwide on behalf of institutional investors.
6. An affiliate of the General Partner, IFM (US) Investment Advisor, LLC (the Affiliate) is registered under applicable
securities legislation in Ontario as an investment fund manager and as a dealer in the category of exempt market dealer in Ontario, Alberta and British Columbia.
7. The Affiliate will act as the investment fund manager of the Fund pursuant to a management agreement with the
General Partner. The engagement of the Affiliate will be subject to the supervision, direction, oversight and review of the General Partner.
8. The Affiliate is organized under the laws of the State of Delaware and is registered as an investment adviser with the
Securities Exchange Commission in the United States of America. 9. The Affiliate is a wholly-owned subsidiary of Industry Funds Management (US) LLC (IFM US), which in turn, is wholly-
owned by IFM Ltd. IFM US provides back office and administration services to the Affiliate. 10. Neither the Fund, Future Canadian Fund, nor the Affiliate is in default of securities legislation in any jurisdiction of
Canada. Neither the Affiliate nor IFM (US) is in default of securities legislation in the United States of America. The Master Fund 11. The exclusive purpose of the Fund is to act as a means for Canadian institutional investors to invest solely and
exclusively in the units of a master infrastructure trust domiciled in the Cayman Islands, the IFM Global Infrastructure Fund (the Master Fund). The limited partnership agreement of the Fund requires that all proceeds received by the Fund in exchange for securities of the Fund are to be invested solely in the securities of the Master Fund. In this respect, investments by the Fund into the Master Fund use a fund-on-fund structure common to certain fund investments in the exempt market.
12. The Master Fund is not an ‘investment fund’ as defined under Canadian securities laws because it expects to exercise
or seek control of its underlying assets or to become actively involved in the management of its investee companies or underlying assets by membership on the board of such companies or taking controlling equity positions in respect of the underlying infrastructure assets. The Master Fund invests in infrastructure assets and companies located around the world, with a focus on the developed economies of Europe and North America. Funds established for institutional investors in countries other than Canada (Other Funds) also invest in securities of the Master Fund. As at March 31, 2012, the Master Fund was valued at approximately $3.8 billion. The Master Fund currently has one class/series of units outstanding.
13. Securities of the Master Fund are not offered for sale to the general public, but are offered, through investment in the
Canadian Funds or the Other Funds, to institutional investors who typically conduct significant due diligence before making an investment. Financial information about the Master Fund, including its net asset value which is the basis for
Decisions, Orders and Rulings
January 17, 2013
(2013) 36 OSCB 792
the price of its securities, is provided to existing and potential investors primarily by way of offering memorandum and financial statements.
14. The Master Fund is managed by IFM Ltd. 15. From time to time IFM Ltd. or its affiliates may establish other mutual funds (the Future Canadian Funds) to enable
Canadian institutional investors to invest in the Master Fund. The Fund and the Future Canadian Funds (collectively, the Canadian Funds) are or will be under common management as they will be managed by either the Affiliate or an affiliate of the Affiliate.
16. Similar to the Fund, the sole purpose of the Future Canadian Funds will to be enable Canadian institutional investors to
invest solely and exclusively in the units of the Master Fund. IFM Ltd., as manager of the Master Fund, does not permit direct investment into the Master Fund.
17. Securities of the Canadian Funds are or will only be sold to accredited investors, as defined in NI 45-106. None of the
Canadian Funds will be reporting issuers in Canada. 18. The Fund is a “mutual fund in Ontario” under the Legislation. The Future Canadian Funds will be mutual funds. The
securities of each Canadian Fund are or will be sold in Canada pursuant to exemptions from the prospectus requirements in accordance with NI 45-106. Each Canadian Fund will not be involved in the management or operation of the Master Fund or the underlying investments of the Master Fund.
19. The value of the portfolio assets of the Master Fund is, and will continue to be, independently determined by
internationally recognized accounting firms/and/or appraisal firms (the Independent Appraisers) who independently value the portfolio assets of the Master Fund on a quarterly basis. Such quarterly valuations may be refreshed by an Independent Appraiser within a quarter on the occurrence of a significant valuation event. The valuations of the Master Fund are disseminated to the Affiliate or General Partner on a quarterly basis.
20. The Independent Appraisers are rotated on three-year intervals. The auditor(s) of the Master Fund will not act as an
Independent Appraiser. 21. Each Canadian Fund and each Other Fund will invest in the Master Fund at the net asset value of the Master Fund
which is based on the valuation of the portfolio assets by the Independent Appraisers. The Investment Restriction 22. The Investment Restriction in the Legislation would prohibit the Fund or a Future Canadian Fund from knowingly
making and holding an investment in a person or company in which the mutual fund, alone or together with one or more related mutual funds, is a “substantial security holder” (as defined in the Legislation).
23. The Other Funds currently invest in the Master Fund and are under common management with management of the
Filer. The Other Funds are not domiciled in Canada nor are they reporting issuers in Canada, but have been established by IFM Ltd. for investors around the world for the purpose of investing in the Master Fund. Each Other Fund is a mutual fund within the definition in the Act.
24. As a consequence of investments by the Canadian Funds in the Master Fund, a Canadian Fund, any combination of
Canadian Funds, or any combination of Canadian Funds and Other Funds as a group, will be a “substantial security holder” (as defined in the Legislation) of the Master Fund. This is because each Canadian Fund, alone or in combination with other Canadian Funds or Other Funds, is expected to own more than 20% of the outstanding securities of the Master Fund.
25. The Filers are seeking relief from the Investment Restriction to permit the Fund, along with the Future Canadian Funds,
to act as Canadian mutual funds devoted to investing solely in the Master Fund. 26. Securities of the Fund and the Future Canadian Funds are or will be valued and redeemable quarterly. Securities of
the Master Fund are or will be valued and redeemable quarterly, subject to such valuation being refreshed by an Independent Appraiser within a quarter on the occurrence of a significant valuation event. The General Partner has discretion to limit or suspend redemptions of the Fund in the circumstances described in the Fund’s offering memorandum.
27. The Fund and each Future Canadian Fund will have valuation and redemption dates which match the valuation and
redemption dates of the Master Fund.
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January 17, 2013
(2013) 36 OSCB 793
28. Offering memoranda will be produced for each of the Fund and each Future Canadian Fund. Pursuant to the Exemption Sought, each offering memorandum produced in respect of the Fund or a Future Canadian Fund will:
(a) be provided to all investors of that fund; and (b) disclose:
(i) that a Canadian Fund will solely purchase securities of the Master Fund; (ii) that the Master Fund is managed by IFM Ltd. or an affiliate of IFM Ltd.; (iii) that all of the net assets of the Canadian Fund will be invested in securities of the Master Fund; (iv) the circumstances under which the General Partner in respect of the Fund, or the general partner of
any Future Canadian Fund, has or will have discretion to limit or suspend redemptions from the Fund or Future Canadian Fund; and
(v) that investments by a Canadian Fund in the Master Fund should be considered as generally illiquid.
29. Securityholders of the Fund or a Future Canadian Fund have or will have access to copies of such fund’s interim
financial statements and audited annual financial statements. The financial statements of the Fund or each Future Canadian Fund will disclose its holdings of the securities of the Master Fund and the net asset value of the Master Fund.
30. Securityholders of the Fund or a Future Canadian Fund will receive, on request and free of charge, a copy of the most
recent annual financial statement of the Master Fund and any interim financial statements of the Master Fund, after the date of its most recent annual financial statements.
31. An investment in the Master Fund by the Fund or a Future Canadian Fund will be made in such a manner as to avoid
the duplication of management fees and incentive fees. No management or incentive fees will be paid by the Fund or a Future Canadian Fund.
32. No sales or redemption fees are, or will be, payable by the Fund or a Future Canadian Fund in relation to its purchase
or redemption of securities of the Master Fund that, to a reasonable person, would duplicate a fee payable by an investor in the Fund or Future Canadian Fund.
33. The Fund or any Future Canadian Fund does not, and will not, vote the securities they hold of the Master Fund unless
the Affiliate or an affiliate of the Affiliate, in its discretion and in its capacity as investment fund manager of the Fund or Future Canadian Fund, has sought and received instructions from the beneficial owners of securities of the Fund or Future Canadian Fund concerning how their proportionate number of securities of the Master Fund are to be voted and the securities of the Master Fund are voted in accordance with such instructions.
34. In the absence of the Exemption Sought, the Fund or a Future Canadian Fund would be precluded from purchasing or
holding securities of the Master Fund due to the Investment Restriction. 35. The Filers submit that the investment in securities of the Master Fund by the Fund or the Future Canadian Funds,
constitute a class of investment that represents the business judgment of responsible persons uninfluenced by considerations other than the best interest of the Canadian Funds since the sole purpose of the Canadian Funds is to enable Canadian institutional investors to invest in the Master Fund. Such purpose will be clearly disclosed to prospective investors in each Fund’s offering memorandum.
Decision Each of the Decision Makers is satisfied that the decision meets the test set out in the Legislation for the Decision Maker to make the decision. The decision of the Decision Maker under the Legislation is that the Exemption Sought is granted provided that:
(a) securities of the Canadian Funds are sold in Canada solely pursuant to exemptions from the prospectus requirements in accordance with NI 45-106;
(b) no management or incentive fees are payable by a Canadian Fund that, to a reasonable person, would
duplicate a fee payable by the Master Fund for the same service;
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January 17, 2013
(2013) 36 OSCB 794
(c) no sales or redemption fees are, or will be payable by a Canadian Fund in relation to its purchase or redemption of securities of the Master Fund, that to a reasonable person, would duplicate a fee payable by an investor in the Canadian Fund;
(d) a Canadian Fund will not vote the securities it holds of the Master Fund unless the Affiliate or an affiliate of the
Affiliate, in its capacity as investment fund manager of the Canadian Fund and in its discretion, has sought and received instructions from the beneficial owners of securities of the Canadian Fund concerning how their proportionate number of securities of the Master Fund are to be voted and the securities of the Master Fund are voted in accordance with such instructions;
(e) the offering memorandum of a Canadian Fund will disclose:
(i) that a Canadian Fund will solely purchase securities of the Master Fund; (ii) that the Master Fund is managed by IFM Ltd. or an affiliate of IFM Ltd.; (iii) that all of the net assets of the Canadian Fund will be invested in securities of the Master Fund; (iv) the circumstances under which the General Partner in respect of the Fund, or the general partner of
any Future Canadian Fund, has or will have discretion to limit or suspend redemptions from the Fund or Future Canadian Fund; and
(v) that investments by a Canadian Fund in the Master Fund should be considered as generally illiquid;
(f) each Canadian Fund and each Other Fund will invest in the Master Fund at the net asset value of the Master
Fund which is based on the valuation of the portfolio assets by the Independent Appraisers; (g) any investment in the Master Fund occurs only through the Canadian Funds and/or the Other Funds; and (h) direct investments in the Master Fund are not permitted.
“James E.A. Turner” Vice-Chair Ontario Securities Commission “Christopher Portner” Commissioner Ontario Securities Commission
Decisions, Orders and Rulings
January 17, 2013
(2013) 36 OSCB 795
2.1.6 Central Fund of Canada Limited Headnote National Policy 11-203 Process For Exemptive Relief Applications in Multiple Jurisdictions – Reporting issuer seeking relief so that it can continue to file financial statements in accordance with pre-changeover Canadian GAAP (rather than IFRS) for periods relating to the issuer's financial year beginning on November 1, 2013 and ending on October 31, 2014 (the issuer's deferred financial year) – In particular, the issuer is seeking relief from the requirements in Part 3 of National Instrument 52-107 that would apply to financial statements for periods relating to the issuer's deferred financial year – The issuer is also seeking relief from the IFRS-related amendments to the continuous disclosure, prospectus, certification and audit committee rules (collectively, the rules) that came into force on January 1, 2011 and that would apply to periods relating to the issuer's deferred financial year – The issuer is an "rate regulated entity" as defined in Accounting Guideline 19 Disclosures by entities subject to rate regulation (AcG-19) in the Handbook of the Canadian Institute of Chartered Accountants – At its meeting on September 2012, the Canadian Accounting Standards Board decided that rate regulated entities, as defined in and applying AcG-19, will only be required to adopt IFRS for annual periods beginning on or after January 1, 2014 – Since Part 3 of NI 52-107 and the IFRS-related amendments to the rules do not have a provision providing for a three-year deferral of the transition to IFRS for entities with rate-regulated activities subject to NI 52-107 and the rules, the issuer has applied for the relief – Relief granted, subject to a number of conditions. Applicable Legislative Provisions National Instrument 52-107 Acceptable Accounting Principles and Auditing Standards, Parts 3 and 4. National Instrument 51-102 Continuous Disclosure Obligations National Instrument 41-101 General Prospectus Requirements National Instrument 44-101 Short Form Prospectus Distributions National Instrument 44-102 Shelf Distributions National Instrument 52-109 Certification of Disclosure in Issuers' Annual and Interim Filings National Instrument 52-110 Audit Committees Citation: Central Fund of Canada Limited, Re, 2013 ABASC 8
January 10, 2013 IN THE MATTER OF
THE SECURITIES LEGISLATION OF ALBERTA AND ONTARIO
(the Jurisdictions)
AND
IN THE MATTER OF THE PROCESS FOR EXEMPTIVE RELIEF
APPLICATIONS IN MULTIPLE JURISDICTIONS
AND
IN THE MATTER OF CENTRAL FUND OF CANADA LIMITED
(the Filer)
DECISION Background The securities regulatory authority or regulator in each of the Jurisdictions (the Decision Maker) has received an application from the Filer for a decision under the securities legislation of the Jurisdictions (the Legislation) for an exemption from: (a) the requirements in Part 3 of National Instrument 52-107 Acceptable Accounting Principles and Auditing Standards (NI
52-107) that apply to financial statements, financial information, operating statements and pro forma financial statements for periods relating to the Filer’s financial year beginning on November 1, 2013 and ending on October 31, 2014 (the Filer’s deferred financial years), including without limitation, the interim financial statements and associated management discussion and analysis of the Filer (together, the Interim Financial Statements);
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January 17, 2013
(2013) 36 OSCB 796
(b) the amendments to National Instrument 51-102 Continuous Disclosure Obligations (NI 51-102) related to International Financial Reporting Standards (IFRS) that came into force on January 1, 2011 and that apply to documents required to be prepared, filed, delivered, or sent under NI 51-102 for periods relating to the Filer’s deferred financial years;
(c) the IFRS-related amendments to National Instrument 41-101 General Prospectus Requirements (NI 41-101) that came
into force on January 1, 2011 and that apply to a preliminary prospectus, an amendment to a preliminary prospectus, a final prospectus or an amendment to a final prospectus of the Filer which includes or incorporates by reference financial statements of the Filer in respect of periods relating to the Filer’s deferred financial years;
(d) the IFRS-related amendments to National Instrument 44-101 Short Form Prospectus Distributions (NI 44-101) that
came into force on January 1, 2011 and that apply to a preliminary short form prospectus, an amendment to a preliminary short form prospectus, a final short form prospectus or an amendment to a final short form prospectus of the Filer which includes or incorporates by reference financial statements of the Filer in respect of periods relating to the Filer’s deferred financial years;
(e) the IFRS-related amendments to National Instrument 44-102 Shelf Distributions (NI 44-102) that came into force on
January 1, 2011 and that apply to a preliminary base shelf prospectus, an amendment to a preliminary base shelf prospectus, a base shelf prospectus, an amendment to a base shelf prospectus or a shelf prospectus supplement of the Filer which includes or incorporates by reference financial statements of the Filer in respect of periods relating to the Filer’s deferred financial years;
(f) the IFRS-related amendments to National Instrument 52-109 Certification of Disclosure in Issuers’ Annual and Interim
Filings (NI 52-109) that came into force on January 1, 2011 and that apply to annual filings and interim filings for periods relating to the Filer’s deferred financial years; and
(g) the IFRS-related amendments to National Instrument 52-110 Audit Committees (NI 52-110) that came into force on
January 1, 2011 and that apply to periods relating to the Filer’s deferred financial years. (the Exemption Sought). Under the Process for Exemptive Relief Applications in Multiple Jurisdictions (for a dual application): (a) the Alberta Securities Commission is the principal regulator for the application; (b) the Filer has provided notice that section 4.7(1) of Multilateral Instrument 11-102 Passport System (MI 11-102) is
intended to be relied upon in all provinces and territories in Canada with the exception of Ontario; and (c) this decision is the decision of the principal regulator and evidences the decision of the securities regulatory authority or
regulator in Ontario. Interpretation Terms defined in National Instrument 14-101 - Definitions or MI 11-102 have the same meaning if used in this decision, unless otherwise defined herein. Representations This decision is based on the following facts represented by the Filer: 1. The Filer was incorporated under the laws of the Province of Ontario in November 1961 and continued into the
Province of Alberta on April 5, 1990. 2. The Filer’s registered and head office address is located at 1323 15th Avenue S.W., Suite 805, Calgary, Alberta, T3C
0X8. 3. The Filer is a reporting issuer in all provinces and territories in Canada and to its knowledge is not in default of
securities legislation in any jurisdiction. 4. The Filer’s Class A non-voting, fully participating shares trade on the Toronto Stock Exchange under the symbols
“CEF.A” (Cdn. $) and “CEF.U” (US $). 5. The Filer’s fiscal year end is October 31.
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January 17, 2013
(2013) 36 OSCB 797
6. The Filer is an “investment company” as defined in Accounting Guideline 18 Investment Companies (AcG-18) in the Handbook (the Handbook) of the Canadian Institute of Chartered Accountants (CICA). As such, the Filer applies AcG-18 in the preparation of its financial statements in accordance with Canadian generally accepted accounting principles (Canadian GAAP) for public enterprises.
7. The Filer is not an investment fund as that term is defined in the Securities Act (Ontario). 8. As part of the changeover to IFRS in Canada, the Canadian Accounting Standards Board (the AcSB) has incorporated
IFRS into the Handbook as Canadian GAAP for most publicly accountable enterprises. As a result, the Handbook contains two sets of standards for public companies:
(a) Part 1 of the Handbook – Canadian GAAP for publicly accountable enterprises that applies for financial years
beginning on or after January 1, 2011; and (b) Part V of the Handbook – Canadian GAAP for public enterprises that is the pre-changeover accounting
standards (old Canadian GAAP). 9. However, on October 1, 2010, the AcSB published amendments to Part 1 of the Handbook that provide a one-year
deferral of the transition to IFRS for investment companies. The amendments require investment companies, as defined in and applying AcG-18, to adopt IFRS for annual periods beginning on or after January 1, 2012. Subsequently, the AcSB extended the deferral for an additional year, such that investment companies, as defined in and applying AcG-18, are only required to adopt IFRS for annual periods beginning on or after January 1, 2013. On February 29, 2012, the deferral was extended for a third time by amendments to Part I of the Handbook issued by the AcSB requiring investment companies, as defined in and applying AcG-18, to adopt IFRS for annual periods beginning on or after January 1, 2014.
10. As part of the changeover to IFRS, NI 52-107 was repealed and replaced effective January 1, 2011. In the new version
of NI 52-107:
(a) Part 3 contains requirements based on IFRS and applies to financial statements, financial information, operating statements and pro forma financial statements for periods relating to financial years beginning on or after January 1, 2011; and
(b) Part 4 contains requirements based on old Canadian GAAP and applies to financial statements, financial
information, operating statements and pro forma financial statements for periods relating to financial years beginning before January 1, 2011.
11. Also as part of the changeover to IFRS, IFRS-related amendments were made to NI 51-102, NI 41-101, NI 44-101, NI
44-102, NI 52-109 and NI 52-110 (collectively, the Rules) and these amendments came into force on January 1, 2011. Among other things, the amendments replace old Canadian GAAP terms and phrases with IFRS terms and phrases and contain IFRS-specific requirements. The amendment instruments for the Rules contain transition provisions that provide that the IFRS-related amendments only apply to documents required to be filed under the Rules for periods relating to financial years beginning on or after January 1, 2011. Thus, during the IFRS transition period:
(a) issuers filing financial statements prepared in accordance with old Canadian GAAP will be required to comply
with the versions of the Rules that contain old Canadian GAAP terms and phrases: and (b) issuers filing financial statements that comply with IFRS will be required to comply with the versions of the
Rules that contain IFRS terms and phrases and IFRS-specific requirements.
12. On October 8, 2010, the Canadian Securities Administrators (CSA) published CSA Staff Notice 81-320 Update on International Financial Reporting Standards for Investment Funds, as revised on March 23, 2011 and March 30, 2012, which indicated that, given the October 1, 2010, March 2011 and February 29, 2012 amendments to the Handbook that provided for a deferral of the transition to IFRS for investment companies, the CSA would defer finalizing IFRS-related amendments to rules related to investment funds, with the stated goal of having the necessary IFRS related amendments for investment funds in force by January 1, 2014.
13. NI 52-107 and the Rules apply to the Filer. Since Part 3 of NI 52-107 and the IFRS-related amendments to the Rules
do not have a provision providing for a two-year deferral of the transition to IFRS for investment companies subject to NI 52-107 and the Rules, the Filer has applied for the Exemption Sought.
14. During the Filer’s deferred financial years, the Filer will comply with section 1.13 of Form 51-102F1 Management’s
Discussion and Analysis (MD&A) by providing an updated discussion of the Filer’s preparations for changeover to
Decisions, Orders and Rulings
January 17, 2013
(2013) 36 OSCB 798
IFRS in its annual and interim MD&A. In particular, the Filer will discuss the expected effect on the financial statements, or state that the effect cannot be reasonably estimated.
15. The Filer acknowledges that if the Exemption Sought is granted, the Filer:
(a) will be subject to Part 3 of NI 52-107 and the IFRS-related amendments to the Rules for periods relating to financial years beginning on or after January 1, 2014; and
(b) will not have the benefit of the 30 day extension to the deadline of filing the first interim financial report in the
year of adopting IFRS in respect of an interim period beginning on or after January 1, 2014, as set out in the IFRS-related amendments to NI 51-102, since that extension does not apply if the first interim financial report is in respect of an interim period ending after March 30, 2014.
Decision The principal regulator is satisfied that the decision meets the test set out in the Legislation for the principal regulator to make the decision. 1. The decision of the principal regulator under the Legislation is that the Exemption Sought is granted provided that:
(a) the Filer continues to be an investment company, as defined in and applying AcG-18; (b) the Filer provides the communication as described and in the manner set out in paragraph 14 above; (c) the Filer complies with the requirements in Part 4 of NI 52-107 for all financial statements (including interim
financial statements), financial information, operating statements and pro forma financial statements for periods relating to the Filer’s deferred financial years, as if the expression “January 1, 2011” in subsection 4.1(2) were read as “January 1, 2014”;
(d) the Filer complies with the version of NI 51-102 that was in effect on December 31, 2010 (together with any
amendments to NI 51-102 that are not related to IFRS and that come into force after January 1, 2011) for all documents required to be prepared, filed, delivered, or sent under NI 51-102 for periods relating to the Filer’s deferred financial years;
(e) the Filer complies with the version of NI 41-101 that was in effect on December 31, 2010 (together with any
amendments to NI 41-101 that are not related to IFRS and that come into effect after January 1, 2011) for any preliminary prospectus, amendment to a preliminary prospectus, final prospectus or amendment to a final prospectus of the Filer which includes or incorporates by reference financial statements of the Filer in respect of periods relating to the Filer’s deferred financial years;
(f) the Filer complies with the version of NI 44-101 that was in effect on December 31, 2010 (together with any
amendments to NI 44-101 that are not related to IFRS and that come into effect after January 1, 2011) for any preliminary short form prospectus, amendment to a preliminary short form prospectus, final short form prospectus or amendment to a final short form prospectus of the Filer which includes or incorporates by reference financial statements of the Filer in respect of periods relating to the Filer’s deferred financial years;
(g) the Filer complies with the version of NI 44-102 that was in effect on December 31, 2010 (together with any
amendments to NI 44-102 that are not related to IFRS and that come into effect after January 1, 2011) for any preliminary base shelf prospectus, amendment to a preliminary base shelf prospectus, base shelf prospectus, amendment to a base shelf prospectus or shelf prospectus supplement of the Filer which includes or incorporates by reference financial statements of the Filer in respect of periods relating to the Filer’s deferred financial years;
(h) the Filer complies with the version of NI 52-109 that was in effect on December 31, 2010 (together with any
amendments to NI 52-109 that are not related to IFRS and that come into effect after January 1, 2011) for all annual filings and interim filings for periods relating to the Filer’s deferred financial years;
(i) the Filer complies with the version of NI 52-110 that was in effect on December 31, 2010 (together with any
amendments to NI 52-110 that are not related to IFRS and that come into effect after January 1, 2011) for periods relating to the Filer’s deferred financial years;
(j) if, notwithstanding this decision, the Filer decides not to rely on the Exemption Sought and files an interim
financial report prepared in accordance with IFRS for an interim period in a deferred financial year, the Filer must, at the same time:
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January 17, 2013
(2013) 36 OSCB 799
(i) restate, in accordance with IFRS, any interim financial statements for any previous interim period in
the same deferred financial year (each, a Previous Interim Period) that were originally prepared in accordance with old Canadian GAAP and filed pursuant to this decision; and
(ii) file a restated interim financial report prepared in accordance with IFRS for each Previous Interim
Period, together with corresponding restated interim MD&A and certificates required by NI 52-109. For greater certainty, any restated interim financial report for a Previous Interim Period must comply with applicable securities legislation (including Part 3 of NI 52-107 and the amendments to Part 4 of NI 51-102 that came into force on January 1, 2011) and any restated interim financial report for the first interim period in the deferred financial year must include the opening IFRS statement of financial position at the date of transition to IFRS; and
(k) if, notwithstanding this decision, the Filer decides not to rely on the Exemption Sought and files annual
financial statements prepared in accordance with IFRS for a deferred financial year, the Filer must, at the same time (unless previously done pursuant to paragraph 10 immediately above):
(i) restate, in accordance with IFRS, any interim financial statements for any Previous Interim Period
that were originally prepared in accordance with old Canadian GAAP and filed pursuant to this decision; and
(ii) file a restated interim financial report prepared in accordance with IFRS for each Previous Interim
Period, together with corresponding restated interim MD&A and certificates required by NI 52-109. For greater certainty, any restated interim financial report for a Previous Period must comply with applicable securities legislation (including Part 3 of NI 52-107 and the amendments to Part 4 of NI 51-102 that came into force on January 1, 2011) and any restated interim financial report for the first interim period in the deferred financial year must include the opening IFRS statement of financial position at the date of transition to IFRS.
Blaine Young Associate Director, Corporate Finance Alberta Securities Commission
Decisions, Orders and Rulings
January 17, 2013
(2013) 36 OSCB 800
2.1.7 Primaris Retail Real Estate Investment Trust and KS Acquisition II LP Headnote National Policy 11-203 Process For Exemptive Relief Applications in Multiple Jurisdictions – Multilateral Instrument 61-101 Protection of Minority Security Holders in Special Transactions – Take-over bid and subsequent business combination – MI 61-101 requires sending of information circular and holding of meeting in connection with second step business combination – Target’s declaration of trust to be amended to provide that a resolution in writing executed by unitholders holding more than 66 2/3% of the outstanding units valid as if such voting rights had been exercised at a meeting of unitholders – Relief granted from requirement that information circular be sent and meeting be held – Minority approval to be obtained albeit in writing rather than at a meeting of unitholders. Applicable Legislative Provisions National Policy 11-203 – Process for Exemptive Relief Applications in Multiple Jurisdiction. Multilateral Instrument 61-101 – Protection of Minority Security Holders in Special Transactions.
January 11, 2013
IN THE MATTER OF THE SECURITIES LEGISLATION OF ONTARIO
AND
IN THE MATTER OF THE PROCESS FOR
EXEMPTIVE RELIEF APPLICATIONS IN MULTIPLE JURISDICTIONS
AND
IN THE MATTER OF THE TAKE-OVER BID FOR
PRIMARIS RETAIL REAL ESTATE INVESTMENT TRUST BY KS ACQUISITION II LP
DECISION
Background The principal regulator (the “Decision Maker”) in Ontario (the “Jurisdiction”) has received an application from KS Acquisition II LP (the “Filer”) in connection with a take-over bid (the “Take-Over Bid”) for Primaris Retail Real Estate Investment Trust (“Primaris”) by the Filer for a decision pursuant to the securities legislation of the Jurisdiction (the “Legislation”) that the following requirements of Section 4.2 of Multilateral Instrument 61-101 – Protection of Minority Security Holders in Special Transactions (“MI 61-101”) (where applicable): 1. to call a meeting of unitholders of Primaris (“Unitholders”) to approve a Compulsory Acquisition or a Subsequent
Acquisition Transaction (each as defined below), as applicable, but rather that the Filer be permitted to effect the Unitholder approvals of either a Compulsory Acquisition or a Subsequent Acquisition Transaction, as may be undertaken by the Filer in accordance with the foregoing, including the Notice Amendment, the Threshold Amendment and the Capital Reorganization (each as defined below), as applicable, by way of the Written Resolution (as defined below), as expressly permitted by Sections 8.14 and 8.16 of the sixth amended and restated declaration of trust of Primaris (the “Declaration of Trust”); and
2. to send an information circular to Unitholders in connection with a Compulsory Acquisition or a Subsequent Acquisition
Transaction, as may be undertaken by the Filer in accordance with the foregoing, including the Notice Amendment, the Threshold Amendment and the Capital Reorganization, as applicable;
be waived (the “Requested Relief”). Under the Process for Exemptive Relief Applications in Multiple Jurisdictions (for a passport application):
(a) the Ontario Securities Commission (“OSC”) is the principal regulator for this application; and
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January 17, 2013
(2013) 36 OSCB 801
(b) the Filer has provided notice that section 4.7(1) of Multilateral Instrument 11-102 – Passport System (“MI 11-102”) is intended to be relied upon in the Province of Québec.
Interpretation Defined terms contained in National Instrument 14-101 – Definitions and MI 11-102 have the same meaning in this decision unless they are defined in this decision. Representations This decision is based on the following facts represented by the Filer: 1. The Filer is a limited partnership whose partnership interests are owned equally by KS Bidco LP, a wholly-owned
subsidiary of KingSett Real Estate Growth LP No. 5 (“KingSett LP No. 5”), an affiliate of KingSett Capital Inc. (“KingSett Capital”), and OPB Finance Trust II (“OPB Trust”), an associate of Ontario Pension Board (“OPB”). The Filer was formed under the Limited Partnerships Act (Ontario) and has not carried on any business other than that incidental to making the Take-Over Bid. The Filer’s registered office is located at Toronto-Dominion Centre, TD Tower, 66 Wellington Street West, P.O. Box 163, Suite 4400, Toronto, Ontario M5K 1H6.
2. KingSett LP No. 5 is a private investment fund formed under the laws of Manitoba. Its sole general partner, KingSett
Real Estate Growth GP No. 5 Inc., is a corporation incorporated under the Canada Business Corporations Act and is an affiliate of KingSett Capital.
3. KingSett Capital is a leading private equity real estate investment business, co-investing with pension fund and high net
worth individual clients. 4. OPB Trust is a special purpose trust formed for purposes of the Take-Over Bid. The sole beneficiary of OPB Trust is
OPB Real Estate Investments 2 Limited, a corporation incorporated under the Business Corporations Act (Ontario) and a wholly-owned subsidiary of OPB. OPB is the administrator of the Ontario Public Service Pension Plan and is responsible for providing retirement income to more than 42,711 employees of the government of the Province of Ontario and its agencies, boards and commissions, 35,361 retired employees of the Province of Ontario and their families and 4,391 former employees of the Province of Ontario with entitlements under the Ontario Public Service Pension Plan.
5. Primaris is an unincorporated open-ended real estate investment trust governed by the Declaration of Trust. The head
and registered office of Primaris is located at Suite 900, 1 Adelaide Street East, Toronto, Ontario M5C 2V9. Primaris specializes in owning and operating Canadian enclosed shopping centres.
6. The authorized capital of Primaris consists of an unlimited number of units (the “Units”). As at September 30, 2012,
92,899,547 Units were outstanding. The Units are listed for trading on the Toronto Stock Exchange under the symbol “PMZ.UN”.
7. On December 5, 2012, prior to the opening of markets, KingSett Capital and OPB issued a press release announcing
their intention to make the Take-Over Bid through the Filer. 8. On December 10, 2012, the Take-Over Bid was formally commenced by publication of an advertisement in The Globe
& Mail and La Presse newspapers. 9. On December 10, 2012, a copy of the take-over bid circular (the “Circular”), the letter of transmittal, and the notice of
guaranteed delivery relating to the Take-Over Bid (collectively, the “Offer Documents”) were delivered to Primaris at its principal office, and the Offer Documents were filed in SEDAR, all in accordance with Section 94.2(2)(a) of the Securities Act (Ontario) and Section 2.10(2)(a) of Multilateral Instrument 62-104.
10. The Take-Over Bid includes the following terms and conditions:
(a) the Filer has offered to acquire all of the issued and outstanding Units (together with the rights associated therewith under the unitholder rights plan of Primaris) at a price of $26.00 in cash per Unit, including any Units that may become issued and outstanding after the date of the Take-Over Bid but before the Expiry Time (as defined below) upon the conversion, exercise or exchange of any securities that are convertible into or exchangeable or exercisable for, Units;
(b) the Take-Over Bid is open for acceptance until 5:00 p.m. (Toronto time) on January 17, 2013, unless the
Take-Over Bid is extended or withdrawn (the “Expiry Time”);
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(c) there shall have been validly deposited pursuant to the Take-Over Bid and not withdrawn at the Expiry Time, such number of Units which, together with any Units owned directly or indirectly by the Filer and its affiliates, constitutes at least 66% of the outstanding Units (calculated on a fully-diluted basis) (the “Minimum Tender Condition”); and
(d) if the Filer takes up and pays for Units deposited under the Take-Over Bid, the Filer currently intends to carry
out a compulsory acquisition or a subsequent acquisition transaction to acquire all of the Units not deposited under the Take-Over Bid, as more particularly described below.
11. Section 7.26 of the Declaration of Trust permits an offeror to acquire any Units not tendered to a take-over bid if, within
120 days after the date of a take-over bid, the take-over bid is accepted by the holders of not less than 90% of the outstanding Units, other than Units held at the date of the take-over bid by or on behalf of the offeror or an affiliate or associate of the offeror (a “Compulsory Acquisition”).
12. If the Filer takes up and pays for the Units deposited pursuant to the Take-Over Bid, the Filer may proceed with a
Compulsory Acquisition of the Units not deposited to the Take-Over Bid as expressly permitted under the Declaration of Trust.
13. If a Compulsory Acquisition, as permitted under the Declaration of Trust, is not available to the Filer or if the Filer
chooses not to proceed under those provisions, the Filer currently intends to:
(a) amend Section 7.26 of the Declaration of Trust to provide that a Compulsory Acquisition may be effected immediately if the Filer and its affiliates, after the take-up and payment of Units deposited under the Take-Over Bid, hold more than 66% of the outstanding Units (calculated on a fully-diluted basis) (the “Threshold Amendment”); and/or
(b) amend the Declaration of Trust to change the rights, privileges, restrictions and conditions attaching to the
Units (other than Units held by the Filer and its affiliates) and redesignate and reclassify such Units as special units (“Special Units”) such that, at the time of delivery by Primaris of a transfer notice to Primaris’ transfer agent (the “Transfer Time”) and immediately following any issuance of Special Units at and after the Transfer Time, each holder of Special Units shall transfer, and shall be deemed to have transferred, to the Filer all of such holder’s right, title and interest in and to its Special Units and the Filer shall acquire, and shall be deemed to have acquired, from each such holder of Special Units all, but not less than all, of the Special Units held by each such holder and at and after the Transfer Time, each holder of Special Units shall cease to be a holder of such Special Units and shall not be entitled to exercise any of the rights of a holder of Special Units in respect thereof other than the right to receive $26.00 in cash per Special Unit (such amendments to the Declaration of Trust and transfer of Special Units as a result thereof, the “Capital Reorganization”).
14. Following such amendments to the Declaration of Trust, it is the current intention of the Filer to avail itself of the
Compulsory Acquisition, as amended by the Threshold Amendment, or the Capital Reorganization, as the case may be, to acquire the Units not deposited under the Take-Over Bid (each of the Compulsory Acquisition, as so amended, and the Capital Reorganization, as applicable, is referred to herein as a “Subsequent Acquisition Transaction”). If the Filer elects to proceed with a Subsequent Acquisition Transaction, the consideration payable to acquire the remainder of the Units will be the same consideration per Unit payable by the Filer under the Take-Over Bid.
15. To exercise its rights in respect of a Compulsory Acquisition under Section 7.26 of the Declaration of Trust, the Filer
must send notice (the “Offeror’s Notice”) to each holder of Units who did not accept the Take-Over Bid (in each case a “Dissenting Unitholder”) of such proposed acquisition by registered mail within 60 days after the date of termination of the Take-Over Bid and in any event within 180 days after the date of the Take-Over Bid. In accordance with the Declaration of Trust, within 20 days after it receives the Offeror’s Notice, each Dissenting Unitholder must send its Units to Primaris. Within 30 days after the Offeror sends the Offeror’s Notice, Primaris must transfer the Units of the Dissenting Unitholders to the Offeror.
16. In connection with either a Compulsory Acquisition or a Subsequent Acquisition Transaction, the Filer currently intends
to amend the provisions of Section 7.26 of the Declaration of Trust to provide that Units held by Dissenting Unitholders will be deemed to have been transferred to the Filer immediately on the giving of the Offeror’s Notice (as opposed to within the 30 day period after the Filer sends the Offeror’s Notice, as currently provided in the Declaration of Trust) and that those Dissenting Unitholders will cease to have any rights as Unitholders from and after that time, other than the right to be paid the same consideration that the Filer would have paid to Dissenting Unitholders if they had deposited those Units to the Take-Over Bid (the “Notice Amendment”).
17. In order to effect either a Compulsory Acquisition, if available and if the Filer elects to proceed thereunder, or a
Subsequent Acquisition Transaction in accordance with the foregoing, rather than seeking Unitholder approval at a
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special meeting of the Unitholders to be called for such purpose, the Filer intends to rely on Sections 8.14 and 8.16 of the Declaration of Trust, which together expressly provide that a resolution in writing executed by Unitholders and holders of Special Voting Units (together, the “Voting Unitholders”) holding outstanding Units and Special Voting Units equal to 66% of the outstanding votes is valid as if it had been passed at a meeting of Voting Unitholders.
18. A Compulsory Acquisition or Subsequent Acquisition Transaction undertaken by the Filer would be a “business
combination” pursuant to MI 61-101. 19. Notwithstanding the fact that Sections 8.14 and 8.16 of the Declaration of Trust expressly provide for a written
resolution of Voting Unitholders, Section 4.2 of MI 61-101 may require, in certain circumstances, that the Compulsory Acquisition or Subsequent Acquisition Transaction be approved at a meeting of Unitholders called for that purpose.
20. To effect either a Compulsory Acquisition or Subsequent Acquisition Transaction, as applicable, the Filer will comply
with the provisions of MI 61-101 and will obtain minority approval (as that term is defined in MI 61-101), calculated in accordance with the terms of Part 8 of MI 61-101 (the “Minority Approval”), albeit not at a meeting of Unitholders, but by Written Resolution.
21. If the Filer is unable to effect a Compulsory Acquisition or to propose a Subsequent Acquisition Transaction involving
Primaris, or if it proposes a Subsequent Acquisition Transaction but cannot promptly obtain any required approvals or exemptions, the Filer will evaluate its other alternatives. Such alternatives could include, to the extent permitted by applicable law, purchasing additional Units in the open market, in privately negotiated transactions, in another take-over bid or otherwise, or taking no further action.
22. The details of any Subsequent Acquisition Transaction may vary, and the Filer has reserved its ability to propose any
other form of subsequent acquisition transaction in accordance with applicable law. 23. Neither the Filer nor, to the knowledge of the Filer, Primaris is in default of any requirement under applicable securities
laws in any province or territory of Canada. 24. The Circular contains the disclosure required by MI 61-101 to be included in connection with the Take-Over Bid,
including without limitation the take-over bid provisions and form requirements of the securities legislation in the Jurisdiction and the provisions of MI 61-101 relating to the disclosure required to be included in a take-over bid circular.
25. The Circular contains the text of the Written Resolution. Decision The Decision Maker is satisfied that the decision meets the test set out in the Legislation for the Decision Maker to make the decision. The decision of the Decision Maker under the Legislation is that the Requested Relief is granted provided that Minority Approval (as contemplated in Part 8 of MI 61-101) shall have been obtained by the Written Resolution. “Naizam Kanji” Deputy Director Mergers & Acquisitions, Corporate Finance Ontario Securities Commission
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2.1.8 Zongshen PEM Power Systems Inc. January 14, 2013 Zongshen PEM Power Systems Inc. 588-580 Hornby Street Vancouver, BC V6C 3B6 Dear Sirs/Mesdames: Re: Zongshen PEM Power Systems Inc. (the Applicant) – application for a decision under the securities legislation
of Alberta and Ontario (the Jurisdictions) that the Applicant is not a reporting issuer The Applicant has applied to the local securities regulatory authority or regulator (the Decision Maker) in each of the Jurisdictions for a decision under the securities legislation (the Legislation) of the Jurisdictions that the Applicant is not a reporting issuer. In this decision, “securityholder” means, for a security, the beneficial owner of the security. The Applicant has represented to the Decision Makers that:
(a) the outstanding securities of the Applicant, including debt securities, are beneficially owned, directly or indirectly, by fewer than 15 securityholders in each of the jurisdictions of Canada and fewer than 51 securityholders in total worldwide;
(b) no securities of the Applicant, including debt securities, are traded in Canada or another country on a
marketplace as defined in National Instrument 21-101 Marketplace Operation or any other facility for bringing together buyers and sellers of securities where trading data is publicly reported;
(c) the Applicant is applying for a decision that it is not a reporting issuer in all of the jurisdictions of Canada in
which it is currently a reporting issuer; and
(d) the Applicant is not in default of any of its obligations under the Legislation as a reporting issuer. Each of the Decision Makers is satisfied that the test contained in the Legislation that provides the Decision Maker with the jurisdiction to make the decision has been met and orders that the Applicant is not a reporting issuer. “Shannon O’Hearn” Manager, Corporate Finance Ontario Securities Commission
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2.1.9 PRT Growing Services Ltd. Headnote National Policy 11-203 Process For Exemptive Relief Applications in Multiple Jurisdictions – application for an order that the issuer is not a reporting issuer. Ontario Statutes Securities Act, R.S.O. 1990, c.S.5, as am., ss. 1(10). January 14, 2013 PRT Growing Services Ltd. # 101 – 1006 Fort Street Victoria, BC V8V 3K4 Attn: Robert A. Miller Dear Sirs/Mesdames: Re: PRT Growing Services Ltd (the Applicant) – application for a decision under the securities legislation of
Alberta, Saskatchewan, Manitoba, Ontario, Quebec, New Brunswick, Nova Scotia, Prince Edward Island and Newfoundland and Labrador (the Jurisdictions) that the Applicant is not a reporting issuer
The Applicant has applied to the local securities regulatory authority or regulator (the Decision Maker) in each of the Jurisdictions for a decision under the securities legislation (the Legislation) of the Jurisdictions that the Applicant is not a reporting issuer. In this decision, “securityholder” means, for a security, the beneficial owner of the security. The Applicant has represented to the Decision Makers that:
(a) the outstanding securities of the Applicant, including debt securities, are beneficially owned, directly or indirectly, by fewer than 15 securityholders in each of the jurisdictions of Canada and fewer than 51 securityholders in total worldwide;
(b) no securities of the Applicant, including debt securities, are traded in Canada or another country on a
marketplace as defined in National Instrument 21-101 Marketplace Operation or any other facility for bringing together buyers and sellers of securities where trading data is publicly reported;
(c) the Applicant is applying for a decision that it is not a reporting issuer in all of the jurisdictions of Canada in
which it is currently a reporting issuer; and
(d) the Applicant is not in default of any of its obligations under the Legislation as a reporting issuer. Each of the Decision Makers is satisfied that the test contained in the Legislation that provides the Decision Maker with the jurisdiction to make the decision has been met and orders that the Applicant is not a reporting issuer. “Shannon O’Hearn” Manager, Corporate Finance Ontario Securities Commission
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(2013) 36 OSCB 806
2.2 Orders 2.2.1 Simply Wealth Financial Group Inc. et al. – ss. 127, 127.1
IN THE MATTER OF THE SECURITIES ACT,
R.S.O. 1990, c. S.5, AS AMENDED
AND
IN THE MATTER OF SIMPLY WEALTH FINANCIAL GROUP INC.,
NAIDA ALLARDE, BERNARDO GIANGROSSO, K&S GLOBAL WEALTH CREATIVE STRATEGIES INC.,
KEVIN PERSAUD, MAXINE LOBBAN and WAYNE LOBBAN
ORDER (Sections 127 and 127.1 of the Securities Act)
WHEREAS on February 16, 2011, the Ontario Securities Commission (the “Commission”) issued a Notice of Hearing pursuant to sections 127 and 127.1 of the Securities Act, R.S.O. 1990, c. S.5, as amended (the “Act”), in relation to a Statement of Allegations filed by Staff of the Commission (“Staff”) in respect of Simply Wealth Financial Group Inc. (“Simply Wealth”), Naida Allarde (“Ms. Allarde”), Bernardo Giangrosso (“Mr. Giangrosso”), K&S Global Wealth Creative Strategies Inc. (“K&S”), Kevin Persaud (“Mr. Persaud”), Maxine Lobban (“Ms. Lobban”) and Wayne Lobban (“Mr. Lobban”) (collectively, the “Respondents”); AND WHEREAS on March 16, 2011, Staff filed an Amended Statement of Allegations; AND WHEREAS the Commission conducted the hearing on the merits in this matter January 3, 4 and 13, 2012; AND WHEREAS the Commission issued its Reasons and Decision on the merits in this matter on June 21, 2012 (Re Simply Wealth Financial Group Inc. (2012), 35 O.S.C.B. 6007 (the “Merits Decision”)); AND WHEREAS the Commission is satisfied that the Respondents have not complied with Ontario securities law and have not acted in the public interest, as outlined in the Merits Decision; AND WHEREAS the Commission conducted a hearing with respect to sanctions and costs on November 27, 2012 and December 5, 2012; AND WHEREAS the Commission is of the opinion that it is in the public interest to make this order; IT IS HEREBY ORDERED that: 1. With respect to Simply Wealth:
(a) pursuant to clause 2 of subsection 127(1) of the Act, Simply Wealth is prohibited from trading in securities for five years;
(b) pursuant to clause 2.1 of subsection 127(1) of the Act, Simply Wealth is prohibited from acquiring securities
for five years; (c) pursuant to clause 3 of subsection 127(1) of the Act, exemptions in Ontario securities law do not apply to
Simply Wealth for five years; and (d) pursuant to clause 10 of subsection 127(1) of the Act, Simply Wealth shall jointly and severally together with
Ms. Allarde and Mr. Giangrosso, disgorge to the Commission $215,790 obtained as a result of its non-compliance with Ontario securities law, which shall be designated for allocation or for use by the Commission pursuant to subsection 3.4(2)(b) of the Act.
2. With respect to K&S:
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(a) pursuant to clause 2 of subsection 127(1) of the Act, K&S is prohibited from trading in securities for five years; (b) pursuant to clause 2.1 of subsection 127(1) of the Act, K&S is prohibited from acquiring securities for five
years; (c) pursuant to clause 3 of subsection 127(1) of the Act, exemptions in Ontario securities law do not apply to K&S
for five years; and (d) pursuant to clause 10 of subsection 127(1) of the Act, K&S shall, jointly and severally together with Mr.
Persaud, disgorge to the Commission $90,000 obtained as a result of its non-compliance with Ontario securities law, which shall be designated for allocation or for use by the Commission pursuant to subsection 3.4(2)(b) of the Act.
3. With respect to Naida Allarde:
(a) pursuant to clause 2 of subsection 127(1) of the Act, Ms. Allarde is prohibited from trading in securities for a period of five years, except that, once Ms. Allarde has fully satisfied the terms of subparagraphs 3(g) and (h) below, she may trade in securities for the account of any registered retirement savings plans and/or any registered retirement income funds as defined in the Income Tax Act (“RRSPs”) in which she and/or her spouse have sole legal and beneficial ownership, provided that: (i) the securities traded are listed and posted for trading on the Toronto Stock Exchange, the New York
Stock Exchange or NASDAQ (or their successor exchanges) or are issued by a mutual fund that is a reporting issuer;
(ii) she does not own legally or beneficially, in the aggregate or together with her spouse, more than one
percent of the outstanding securities of the class or series of the class in question; and (iii) she carries out any permitted trading through a registered dealer, which dealer must be given a copy
of this order, and through accounts opened in her name only and must close any trading accounts that are not in her name only;
(b) pursuant to clause 2.1 of subsection 127(1) of the Act, Ms. Allarde is prohibited from acquiring securities for a
period of five years, except that, once Ms. Allarde has fully satisfied the terms of subparagraphs 3(g) and (h), below, she may trade securities for the account of any RRSPs in which she and/or her spouse have sole legal and beneficial ownership, on and subject to the conditions referred to in subparagraphs 3(a)(i) to (iii) of this order;
(c) pursuant to clause 3 of subsection 127(1) of the Act, exemptions in Ontario securities law do not apply to Ms.
Allarde for a period of five years, except as necessary to permit the trading authorized under subparagraphs 3(a) or (b) of this order;
(d) pursuant to clause 6 of subsection 127(1) of the Act, Ms. Allarde is reprimanded; (e) pursuant to clauses 7, 8.1 and 8.3 of subsection 127(1) of the Act, Ms. Allarde is ordered to resign any
positions she holds as a director or officer of any issuer, registrant or investment fund manager; (f) pursuant to clauses 8, 8.2 and 8.4 of subsection 127(1) of the Act, Ms. Allarde is prohibited from becoming or
acting as a director or officer of any issuer, registrant or investment fund manager for five years; (g) pursuant to clause 9 of subsection 127(1) of the Act, Ms. Allarde shall pay to the Commission an
administrative penalty of $15,000 as a result of her non-compliance with Ontario securities law; (h) pursuant to clause 10 of subsection 127(1) of the Act, Ms. Allarde shall, jointly and severally together with
Simply Wealth and Mr. Giangrosso, disgorge to the Commission $215,790.00 obtained as a result of her non-compliance with Ontario securities law; and
(i) the amounts referred to in each of subparagraphs 3(g) and (h) of this order shall be designated for allocation
or for use by the Commission pursuant to subsection 3.4(2)(b) of the Act.
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4. With respect to Bernardo Giangrosso:
(a) pursuant to clause 2 of subsection 127(1) of the Act, Mr. Giangrosso is prohibited from trading in securities for a period of five years, except that, once Mr. Giangrosso has fully satisfied the terms of subparagraphs 4(g) and (h), below, he may trade securities for the account of any RRSPs in which he and/or his spouse have sole legal and beneficial ownership, provided that:
(i) the securities traded are listed and posted for trading on the Toronto Stock Exchange, the New York
Stock Exchange or NASDAQ (or their successor exchanges) or are issued by a mutual fund that is a reporting issuer;
(ii) he does not own legally or beneficially, in the aggregate or together with his spouse, more than one
percent of the outstanding securities of the class or series of the class in question; and (iii) he carries out any permitted trading through a registered dealer, which dealer must be given a copy
of this order, and through accounts opened in his name only and must close any trading accounts that are not in his name only;
(b) pursuant to clause 2.1 of subsection 127(1) of the Act, Mr. Giangrosso is prohibited from acquiring securities
for a period of five years, except that, once Mr. Giangrosso has fully satisfied the terms of subparagraphs 4(g) and (h), below, he may trade securities for the account of any RRSPs in which he and/or his spouse have sole legal and beneficial ownership, on and subject to the conditions referred to in subparagraphs 4(a)(i) to (iii) of this order;
(c) pursuant to clause 3 of subsection 127(1) of the Act, exemptions in Ontario securities law do not apply to Mr.
Giangrosso for a period of five years, except as necessary to permit the trading authorized under subparagraphs 4(a) or (b) of this order;
(d) pursuant to clause 6 of subsection 127(1) of the Act, Mr. Giangrosso is reprimanded; (e) pursuant to clauses 7, 8.1 and 8.3 of subsection 127(1) of the Act, Mr. Giangrosso is ordered to resign any
positions he holds as a director or officer of any issuer, registrant or investment fund manager; (f) pursuant to clauses 8, 8.2 and 8.4 of subsection 127(1) of the Act, Mr. Giangrosso is prohibited from
becoming or acting as a director or officer of any issuer, registrant or investment fund manager for five years; (g) pursuant to clause 9 of subsection 127(1) of the Act, Mr. Giangrosso shall pay to the Commission an
administrative penalty of $15,000 as a result of his non-compliance with Ontario securities law; (h) pursuant to clause 10 of subsection 127(1) of the Act, Mr. Giangrosso shall, jointly and severally together with
Simply Wealth and Ms. Allarde, disgorge to the Commission $215,790.00 obtained as a result of his non-compliance with Ontario securities law; and
(i) the amounts referred to in each of subparagraphs 4(g) and (h) of this order shall be designated for allocation
or for use by the Commission pursuant to subsection 3.4(2)(b) of the Act. 5. With respect to Kevin Persaud:
(a) pursuant to clause 2 of subsection 127(1) of the Act, Mr. Persaud is prohibited from trading in securities for a
period of five years, except that, once Mr. Persaud has fully satisfied the terms of subparagraphs 5(g), (h) and (i), below, he may trade securities for the account of any RRSPs, registered education savings plan or tax-free savings account as defined in the Income Tax Act in which he and/or his spouse have sole legal and beneficial ownership, provided that:
(i) the securities traded are listed and posted for trading on the Toronto Stock Exchange, the New York
Stock Exchange or NASDAQ (or their successor exchanges) or are issued by a mutual fund that is a reporting issuer;
(ii) he does not own legally or beneficially, in the aggregate or together with his spouse, more than one
percent of the outstanding securities of the class or series of the class in question; and
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(iii) he carries out any permitted trading through a registered dealer, which dealer must be given a copy of this order, and through accounts opened in his name only and must close any trading accounts that are not in his name only;
(b) pursuant to clause 2.1 of subsection 127(1) of the Act, Mr. Persaud is prohibited from acquiring securities for a
period of five years, except that, once Mr. Persaud has fully satisfied the terms of subparagraphs 5(g), (h) and (i), he may trade securities for the account of any RRSPs in which he and/or his spouse have sole legal and beneficial ownership, on and subject to the conditions referred to in subparagraphs 5(a)(i) to (iii) of this order;
(c) pursuant to clause 3 of subsection 127(1) of the Act, exemptions in Ontario securities law do not apply to Mr.
Persaud for a period of five years, except as necessary to permit the trading authorized under subparagraphs 5(a) or (b) of this order;
(d) pursuant to clause 6 of subsection 127(1) of the Act, Mr. Persaud is reprimanded; (e) pursuant to clauses 7, 8.1 and 8.3 of subsection 127(1) of the Act, Mr. Persaud is ordered to resign any
positions he holds as a director or officer of any issuer, registrant or investment fund manager; (f) pursuant to clauses 8, 8.2 and 8.4 of subsection 127(1) of the Act, Mr. Persaud is prohibited from becoming or
acting as a director or officer of any issuer, registrant or investment fund manager for five years; (g) pursuant to clause 9 of subsection 127(1) of the Act, Mr. Persaud shall pay to the Commission an
administrative penalty of $15,000 as a result of his non-compliance with Ontario securities law; (h) pursuant to clause 10 of subsection 127(1) of the Act, Mr. Persaud shall, jointly and severally together with
K&S, disgorge to the Commission $90,000.00 obtained as a result of his non-compliance with Ontario securities law;
(i) pursuant to section 127.1 of the Act, Mr. Persaud shall pay costs incurred by the Commission in relation to the
hearing of this matter in the amount of $11,121.25; and (j) the amounts referred to in each of subparagraphs 5(g) and (h) of this order shall be designated for allocation
or for use by the Commission pursuant to subsection 3.4(2)(b) of the Act.
6. With respect to Maxine Lobban:
(a) pursuant to clause 2 of subsection 127(1) of the Act, Ms. Lobban is prohibited from trading in securities for a period of five years, except that, once Ms. Lobban has fully satisfied the terms of subparagraphs 6(g) and (h), below, she may trade securities for the account of any RRSPs in which she and/or her spouse have sole legal and beneficial ownership, provided that:
(i) the securities traded are listed and posted for trading on the Toronto Stock Exchange, the New York
Stock Exchange or NASDAQ (or their successor exchanges) or are issued by a mutual fund that is a reporting issuer;
(ii) she does not own legally or beneficially, in the aggregate or together with her spouse, more than one
percent of the outstanding securities of the class or series of the class in question; and (iii) she carries out any permitted trading through a registered dealer, which dealer must be given a copy
of this order, and through accounts opened in her name only and must close any trading accounts that are not in her name only;
(b) pursuant to clause 2.1 of subsection 127(1) of the Act, Ms. Lobban is prohibited from acquiring securities for a
period of five years, except that, once Ms. Lobban has fully satisfied the terms of subparagraphs 6(g) and (h), below, she may trade securities for the account of any RRSPs in which she and/or her spouse have sole legal and beneficial ownership, on and subject to the conditions referred to in subparagraphs 6(a)(i) to (iii) of this order;
(c) pursuant to clause 3 of subsection 127(1) of the Act, exemptions in Ontario securities law do not apply to Ms.
Lobban for a period of five years, except as necessary to permit the trading authorized under subparagraphs 6(a) or (b) of this order;
(d) pursuant to clause 6 of subsection 127(1) of the Act, Ms. Lobban is reprimanded;
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(e) pursuant to clauses 7, 8.1 and 8.3 of subsection 127(1) of the Act, Ms. Lobban is ordered to resign any positions she holds as a director or officer of any issuer, registrant or investment fund manager;
(f) pursuant to clauses 8, 8.2 and 8.4 of subsection 127(1) of the Act, Ms. Lobban is prohibited from becoming or
acting as a director or officer of any issuer, registrant or investment fund manager for five years; (g) pursuant to clause 9 of subsection 127(1) of the Act, Ms. Lobban shall pay to the Commission an
administrative penalty of $15,000 as a result of her non-compliance with Ontario securities law; (h) pursuant to clause 10 of subsection 127(1) of the Act, Ms. Lobban shall, jointly and severally together with
Wayne Lobban, disgorge to the Commission $120,427.50 obtained as a result of her non-compliance with Ontario securities law; and
(i) the amounts referred to in each of subparagraphs 6(g) and (h) of this order shall be designated for allocation
or for use by the Commission pursuant to subsection 3.4(2)(b) of the Act. 7. With respect to Wayne Lobban:
(a) pursuant to clause 2 of subsection 127(1) of the Act, Mr. Lobban is prohibited from trading in securities for a period of five years, except that, once Mr. Lobban has fully satisfied the terms of subparagraphs 7(g) and (h), below, he may trade securities for the account of any RRSPs in which he and/or his spouse have sole legal and beneficial ownership, provided that:
(i) the securities traded are listed and posted for trading on the Toronto Stock Exchange, the New York
Stock Exchange or NASDAQ (or their successor exchanges) or are issued by a mutual fund that is a reporting issuer;
(ii) he does not own legally or beneficially, in the aggregate or together with his spouse, more than one
percent of the outstanding securities of the class or series of the class in question; and (iii) he carries out any permitted trading through a registered dealer, which dealer must be given a copy
of this order, and through accounts opened in his name only and must close any trading accounts that are not in his name only);
(b) pursuant to clause 2.1 of subsection 127(1) of the Act, Mr. Lobban is prohibited from acquiring securities for a
period of five years, except that, once Mr. Lobban has fully satisfied the terms of subparagraphs 7(g) and (h), he may trade securities for the account of any RRSPs in which he and/or his spouse have sole legal and beneficial ownership, on and subject to the conditions referred to in subparagraphs 7(a)(i) to (iii) of this order;
(c) pursuant to clause 3 of subsection 127(1) of the Act, exemptions in Ontario securities law do not apply to Mr.
Lobban for a period of five years, except as necessary to permit the trading authorized under subparagraphs 7(a) or (b) of this order;
(d) pursuant to clause 6 of subsection 127(1) of the Act, Mr. Lobban is reprimanded; (e) pursuant to clauses 7, 8.1 and 8.3 of subsection 127(1) of the Act, Mr. Lobban is ordered to resign any
positions he holds as a director or officer of any issuer, registrant or investment fund manager; (f) pursuant to clauses 8, 8.2 and 8.4 of subsection 127(1) of the Act, Mr. Lobban is prohibited from becoming or
acting as a director or officer of any issuer, registrant or investment fund manager for five years; (g) pursuant to clause 9 of subsection 127(1) of the Act, Mr. Lobban shall pay to the Commission an
administrative penalty of $15,000 as a result of his non-compliance with Ontario securities law; (h) pursuant to clause 10 of subsection 127(1) of the Act, Mr. Lobban shall, jointly and severally together with
Maxine Lobban, disgorge to the Commission $120,427.50 obtained as a result of his non-compliance with Ontario securities law; and
(i) the amounts referred to in each of subparagraphs 7(g) and (h) of this order shall be designated for allocation
or for use by the Commission pursuant to subsection 3.4(2)(b) of the Act.
Dated this 9th day of January, 2013. “James D. Carnwath”, QC
Decisions, Orders and Rulings
January 17, 2013
(2013) 36 OSCB 811
2.2.2 Simply Wealth Financial Group Inc. et al. – ss. 127, 127.1
IN THE MATTER OF THE SECURITIES ACT,
R.S.O. 1990, c. S.5, AS AMENDED
AND
IN THE MATTER OF SIMPLY WEALTH FINANCIAL GROUP INC.,
NAIDA ALLARDE, BERNARDO GIANGROSSO, K&S GLOBAL WEALTH CREATIVE STRATEGIES INC.,
KEVIN PERSAUD, MAXINE LOBBAN and WAYNE LOBBAN
ORDER (Sections 127 and 127.1 of the Securities Act)
WHEREAS on February 16, 2011, the Ontario Securities Commission (the “Commission”) issued a Notice of Hearing pursuant to sections 127 and 127.1 of the Securities Act, R.S.O. 1990, c. S.5, as amended (the “Act”), in relation to a Statement of Allegations filed by Staff of the Commission (“Staff”) in respect of Simply Wealth Financial Group Inc. (“Simply Wealth”), Naida Allarde (“Ms. Allarde”), Bernardo Giangrosso (“Mr. Giangrosso”), K&S Global Wealth Creative Strategies Inc. (“K&S”), Kevin Persaud (“Mr. Persaud”), Maxine Lobban (“Ms. Lobban”) and Wayne Lobban (“Mr. Lobban”) (collectively, the “Respondents”); AND WHEREAS on March 16, 2011, Staff filed an Amended Statement of Allegations; AND WHEREAS the Commission conducted the hearing on the merits in this matter January 3, 4 and 13, 2012; AND WHEREAS the Commission issued its Reasons and Decision on the merits in this matter on June 21, 2012 (Re Simply Wealth Financial Group Inc. (2012), 35 O.S.C.B. 6007 (the “Merits Decision”)); AND WHEREAS the Commission is satisfied that the Respondents have not complied with Ontario securities law and have not acted in the public interest, as outlined in the Merits Decision; AND WHEREAS the Commission conducted a hearing with respect to sanctions and costs on November 27, 2012 and December 5, 2012; AND WHEREAS the Commission is of the opinion that it is in the public interest to make this order; IT IS HEREBY ORDERED that: 1. With respect to Simply Wealth:
(a) pursuant to clause 2 of subsection 127(1) of the Act, Simply Wealth is prohibited from trading in securities for five years;
(b) pursuant to clause 2.1 of subsection 127(1) of the Act, Simply Wealth is prohibited from acquiring securities
for five years; (c) pursuant to clause 3 of subsection 127(1) of the Act, exemptions in Ontario securities law do not apply to
Simply Wealth for five years; and (d) pursuant to clause 10 of subsection 127(1) of the Act, Simply Wealth shall jointly and severally together with
Ms. Allarde and Mr. Giangrosso, disgorge to the Commission $215,790 obtained as a result of its non-compliance with Ontario securities law, which shall be designated for allocation or for use by the Commission pursuant to subsection 3.4(2)(b) of the Act.
2. With respect to K&S:
(a) pursuant to clause 2 of subsection 127(1) of the Act, K&S is prohibited from trading in securities for five years; (b) pursuant to clause 2.1 of subsection 127(1) of the Act, K&S is prohibited from acquiring securities for five
years;
Decisions, Orders and Rulings
January 17, 2013
(2013) 36 OSCB 812
(c) pursuant to clause 3 of subsection 127(1) of the Act, exemptions in Ontario securities law do not apply to K&S for five years; and
(d) pursuant to clause 10 of subsection 127(1) of the Act, K&S shall, jointly and severally together with Mr.
Persaud, disgorge to the Commission $90,000 obtained as a result of its non-compliance with Ontario securities law, which shall be designated for allocation or for use by the Commission pursuant to subsection 3.4(2)(b) of the Act.
3. With respect to Naida Allarde:
(a) pursuant to clause 2 of subsection 127(1) of the Act, Ms. Allarde is prohibited from trading in securities for a period of five years, except that, once Ms. Allarde has fully satisfied the terms of subparagraphs 3(g) and (h) below, she may trade in securities for the account of any registered retirement savings plans and/or any registered retirement income funds as defined in the Income Tax Act (“RRSPs”) in which she and/or her spouse have sole legal and beneficial ownership, provided that:
(i) the securities traded are listed and posted for trading on the Toronto Stock Exchange, the New York
Stock Exchange or NASDAQ (or their successor exchanges) or are issued by a mutual fund that is a reporting issuer;
(ii) she does not own legally or beneficially, in the aggregate or together with her spouse, more than one
percent of the outstanding securities of the class or series of the class in question; and (iii) she carries out any permitted trading through a registered dealer, which dealer must be given a copy
of this order, and through accounts opened in her name only and must close any trading accounts that are not in her name only;
(b) pursuant to clause 2.1 of subsection 127(1) of the Act, Ms. Allarde is prohibited from acquiring securities for a
period of five years, except that, once Ms. Allarde has fully satisfied the terms of subparagraphs 3(g) and (h), below, she may trade securities for the account of any RRSPs in which she and/or her spouse have sole legal and beneficial ownership, on and subject to the conditions referred to in subparagraphs 3(a)(i) to (iii) of this order;
(c) pursuant to clause 3 of subsection 127(1) of the Act, exemptions in Ontario securities law do not apply to Ms.
Allarde for a period of five years, except as necessary to permit the trading authorized under subparagraphs 3(a) or (b) of this order;
(d) pursuant to clause 6 of subsection 127(1) of the Act, Ms. Allarde is reprimanded; (e) pursuant to clauses 7, 8.1 and 8.3 of subsection 127(1) of the Act, Ms. Allarde is ordered to resign any
positions she holds as a director or officer of any issuer, registrant or investment fund manager; (f) pursuant to clauses 8, 8.2 and 8.4 of subsection 127(1) of the Act, Ms. Allarde is prohibited from becoming or
acting as a director or officer of any issuer, registrant or investment fund manager for five years; (g) pursuant to clause 9 of subsection 127(1) of the Act, Ms. Allarde shall pay to the Commission an
administrative penalty of $15,000 as a result of her non-compliance with Ontario securities law; (h) pursuant to clause 10 of subsection 127(1) of the Act, Ms. Allarde shall, jointly and severally together with
Simply Wealth and Mr. Giangrosso, disgorge to the Commission $215,790.00 obtained as a result of her non-compliance with Ontario securities law; and
(i) the amounts referred to in each of subparagraphs 3(g) and (h) of this order shall be designated for allocation
or for use by the Commission pursuant to subsection 3.4(2)(b) of the Act. 4. With respect to Bernardo Giangrosso:
(a) pursuant to clause 2 of subsection 127(1) of the Act, Mr. Giangrosso is prohibited from trading in securities for a period of five years, except that, once Mr. Giangrosso has fully satisfied the terms of subparagraphs 4(g) and (h), below, he may trade securities for the account of any RRSPs in which he and/or his spouse have sole legal and beneficial ownership, provided that:
Decisions, Orders and Rulings
January 17, 2013
(2013) 36 OSCB 813
(i) the securities traded are listed and posted for trading on the Toronto Stock Exchange, the New York Stock Exchange or NASDAQ (or their successor exchanges) or are issued by a mutual fund that is a reporting issuer;
(ii) he does not own legally or beneficially, in the aggregate or together with his spouse, more than one
percent of the outstanding securities of the class or series of the class in question; and (iii) he carries out any permitted trading through a registered dealer, which dealer must be given a copy
of this order, and through accounts opened in his name only and must close any trading accounts that are not in his name only;
(b) pursuant to clause 2.1 of subsection 127(1) of the Act, Mr. Giangrosso is prohibited from acquiring securities
for a period of five years, except that, once Mr. Giangrosso has fully satisfied the terms of subparagraphs 4(g) and (h), below, he may trade securities for the account of any RRSPs in which he and/or his spouse have sole legal and beneficial ownership, on and subject to the conditions referred to in subparagraphs 4(a)(i) to (iii) of this order;
(c) pursuant to clause 3 of subsection 127(1) of the Act, exemptions in Ontario securities law do not apply to Mr.
Giangrosso for a period of five years, except as necessary to permit the trading authorized under subparagraphs 4(a) or (b) of this order;
(d) pursuant to clause 6 of subsection 127(1) of the Act, Mr. Giangrosso is reprimanded; (e) pursuant to clauses 7, 8.1 and 8.3 of subsection 127(1) of the Act, Mr. Giangrosso is ordered to resign any
positions he holds as a director or officer of any issuer, registrant or investment fund manager; (f) pursuant to clauses 8, 8.2 and 8.4 of subsection 127(1) of the Act, Mr. Giangrosso is prohibited from
becoming or acting as a director or officer of any issuer, registrant or investment fund manager for five years; (g) pursuant to clause 9 of subsection 127(1) of the Act, Mr. Giangrosso shall pay to the Commission an
administrative penalty of $15,000 as a result of his non-compliance with Ontario securities law; (h) pursuant to clause 10 of subsection 127(1) of the Act, Mr. Giangrosso shall, jointly and severally together with
Simply Wealth and Ms. Allarde, disgorge to the Commission $215,790.00 obtained as a result of his non-compliance with Ontario securities law; and
(i) the amounts referred to in each of subparagraphs 4(g) and (h) of this order shall be designated for allocation
or for use by the Commission pursuant to subsection 3.4(2)(b) of the Act. 5. With respect to Kevin Persaud:
(a) pursuant to clause 2 of subsection 127(1) of the Act, Mr. Persaud is prohibited from trading in securities for a period of five years, except that, once Mr. Persaud has fully satisfied the terms of subparagraphs 5(g), (h) and (i), below, he may trade securities for the account of any RRSPs, registered education savings plan or tax-free savings account as defined in the Income Tax Act in which he and/or his spouse have sole legal and beneficial ownership, provided that:
(i) the securities traded are listed and posted for trading on the Toronto Stock Exchange, the New York
Stock Exchange or NASDAQ (or their successor exchanges) or are issued by a mutual fund that is a reporting issuer;
(ii) he does not own legally or beneficially, in the aggregate or together with his spouse, more than one
percent of the outstanding securities of the class or series of the class in question; and (iii) he carries out any permitted trading through a registered dealer, which dealer must be given a copy
of this order, and through accounts opened in his name only and must close any trading accounts that are not in his name only;
(b) pursuant to clause 2.1 of subsection 127(1) of the Act, Mr. Persaud is prohibited from acquiring securities for a
period of five years, except that, once Mr. Persaud has fully satisfied the terms of subparagraphs 5(g), (h) and (i), he may trade securities for the account of any RRSPs in which he and/or his spouse have sole legal and beneficial ownership, on and subject to the conditions referred to in subparagraphs 5(a)(i) to (iii) of this order;
Decisions, Orders and Rulings
January 17, 2013
(2013) 36 OSCB 814
(c) pursuant to clause 3 of subsection 127(1) of the Act, exemptions in Ontario securities law do not apply to Mr. Persaud for a period of five years, except as necessary to permit the trading authorized under subparagraphs 5(a) or (b) of this order;
(d) pursuant to clause 6 of subsection 127(1) of the Act, Mr. Persaud is reprimanded; (e) pursuant to clauses 7, 8.1 and 8.3 of subsection 127(1) of the Act, Mr. Persaud is ordered to resign any
positions he holds as a director or officer of any issuer, registrant or investment fund manager; (f) pursuant to clauses 8, 8.2 and 8.4 of subsection 127(1) of the Act, Mr. Persaud is prohibited from becoming or
acting as a director or officer of any issuer, registrant or investment fund manager for five years; (g) pursuant to clause 9 of subsection 127(1) of the Act, Mr. Persaud shall pay to the Commission an
administrative penalty of $15,000 as a result of his non-compliance with Ontario securities law; (h) pursuant to clause 10 of subsection 127(1) of the Act, Mr. Persaud shall, jointly and severally together with
K&S, disgorge to the Commission $90,000.00 obtained as a result of his non-compliance with Ontario securities law;
(i) pursuant to section 127.1 of the Act, Mr. Persaud shall pay costs incurred by the Commission in relation to the
hearing of this matter in the amount of $11,121.25; and (j) the amounts referred to in each of subparagraphs 5(g) and (h) of this order shall be designated for allocation
or for use by the Commission pursuant to subsection 3.4(2)(b) of the Act. 6. With respect to Maxine Lobban:
(a) pursuant to clause 2 of subsection 127(1) of the Act, Ms. Lobban is prohibited from trading in securities for a period of five years, except that, once Ms. Lobban has fully satisfied the terms of subparagraphs 6(g) and (h), below, she may trade securities for the account of any RRSPs in which she and/or her spouse have sole legal and beneficial ownership, provided that:
(i) the securities traded are listed and posted for trading on the Toronto Stock Exchange, the New York
Stock Exchange or NASDAQ (or their successor exchanges) or are issued by a mutual fund that is a reporting issuer;
(ii) she does not own legally or beneficially, in the aggregate or together with her spouse, more than one
percent of the outstanding securities of the class or series of the class in question; and (iii) she carries out any permitted trading through a registered dealer, which dealer must be given a copy
of this order, and through accounts opened in her name only and must close any trading accounts that are not in her name only;
(b) pursuant to clause 2.1 of subsection 127(1) of the Act, Ms. Lobban is prohibited from acquiring securities for a
period of five years, except that, once Ms. Lobban has fully satisfied the terms of subparagraphs 6(g) and (h), below, she may trade securities for the account of any RRSPs in which she and/or her spouse have sole legal and beneficial ownership, on and subject to the conditions referred to in subparagraphs 6(a)(i) to (iii) of this order;
(c) pursuant to clause 3 of subsection 127(1) of the Act, exemptions in Ontario securities law do not apply to Ms.
Lobban for a period of five years, except as necessary to permit the trading authorized under subparagraphs 6(a) or (b) of this order;
(d) pursuant to clause 6 of subsection 127(1) of the Act, Ms. Lobban is reprimanded; (e) pursuant to clauses 7, 8.1 and 8.3 of subsection 127(1) of the Act, Ms. Lobban is ordered to resign any
positions she holds as a director or officer of any issuer, registrant or investment fund manager; (f) pursuant to clauses 8, 8.2 and 8.4 of subsection 127(1) of the Act, Ms. Lobban is prohibited from becoming or
acting as a director or officer of any issuer, registrant or investment fund manager for five years; (g) pursuant to clause 9 of subsection 127(1) of the Act, Ms. Lobban shall pay to the Commission an
administrative penalty of $15,000 as a result of her non-compliance with Ontario securities law;
Decisions, Orders and Rulings
January 17, 2013
(2013) 36 OSCB 815
(h) pursuant to clause 10 of subsection 127(1) of the Act, Ms. Lobban shall, jointly and severally together with Wayne Lobban, disgorge to the Commission $120,427.50 obtained as a result of her non-compliance with Ontario securities law; and
(i) the amounts referred to in each of subparagraphs 6(g) and (h) of this order shall be designated for allocation
or for use by the Commission pursuant to subsection 3.4(2)(b) of the Act. 7. With respect to Wayne Lobban:
(a) pursuant to clause 2 of subsection 127(1) of the Act, Mr. Lobban is prohibited from trading in securities for a period of five years, except that, once Mr. Lobban has fully satisfied the terms of subparagraphs 7(g) and (h), below, he may trade securities for the account of any RRSPs in which he and/or his spouse have sole legal and beneficial ownership, provided that:
(i) the securities traded are listed and posted for trading on the Toronto Stock Exchange, the New York
Stock Exchange or NASDAQ (or their successor exchanges) or are issued by a mutual fund that is a reporting issuer;
(ii) he does not own legally or beneficially, in the aggregate or together with his spouse, more than one
percent of the outstanding securities of the class or series of the class in question; and (iii) he carries out any permitted trading through a registered dealer, which dealer must be given a copy
of this order, and through accounts opened in his name only and must close any trading accounts that are not in his name only);
(b) pursuant to clause 2.1 of subsection 127(1) of the Act, Mr. Lobban is prohibited from acquiring securities for a
period of five years, except that, once Mr. Lobban has fully satisfied the terms of subparagraphs 7(g) and (h), he may trade securities for the account of any RRSPs in which he and/or his spouse have sole legal and beneficial ownership, on and subject to the conditions referred to in subparagraphs 7(a)(i) to (iii) of this order;
(c) pursuant to clause 3 of subsection 127(1) of the Act, exemptions in Ontario securities law do not apply to Mr.
Lobban for a period of five years, except as necessary to permit the trading authorized under subparagraphs 7(a) or (b) of this order;
(d) pursuant to clause 6 of subsection 127(1) of the Act, Mr. Lobban is reprimanded; (e) pursuant to clauses 7, 8.1 and 8.3 of subsection 127(1) of the Act, Mr. Lobban is ordered to resign any
positions he holds as a director or officer of any issuer, registrant or investment fund manager; (f) pursuant to clauses 8, 8.2 and 8.4 of subsection 127(1) of the Act, Mr. Lobban is prohibited from becoming or
acting as a director or officer of any issuer, registrant or investment fund manager for five years; (g) pursuant to clause 9 of subsection 127(1) of the Act, Mr. Lobban shall pay to the Commission an
administrative penalty of $15,000 as a result of his non-compliance with Ontario securities law; (h) pursuant to clause 10 of subsection 127(1) of the Act, Mr. Lobban shall, jointly and severally together with
Maxine Lobban, disgorge to the Commission $120,427.50 obtained as a result of his non-compliance with Ontario securities law; and
(i) the amounts referred to in each of subparagraphs 7(g) and (h) of this order shall be designated for allocation
or for use by the Commission pursuant to subsection 3.4(2)(b) of the Act. Dated this 9th day of January, 2013. “James D. Carnwath”, QC
Decisions, Orders and Rulings
January 17, 2013
(2013) 36 OSCB 816
2.2.3 Peter Sbaraglia
IN THE MATTER OF THE SECURITIES ACT,
R.S.O. 1990, c. S.5, AS AMENDED
AND
IN THE MATTER OF PETER SBARAGLIA
ORDER
WHEREAS on February 24, 2011, the Ontario Securities Commission (the “Commission”) issued a Notice of Hearing pursuant to section 127 of the Securities Act, R.S.O. 1990, c. S.5, as amended (the “Act”) in relation to a Statement of Allegations filed by Staff of the Commission (“Staff”) on February 24, 2011 with respect to Peter Sbaraglia (“Sbaraglia”); AND WHEREAS on March 31, 2011, the Commission heard submissions from Staff and counsel for Sbaraglia and adjourned the hearing to April 28, 2011; AND WHEREAS on April 28, 2011, the Commission heard submissions from Staff and counsel for Sbaraglia and adjourned the hearing to June 7, 2011; AND WHEREAS on June 7, 2011, the Commission heard submissions from Staff and counsel for Sbaraglia and adjourned the hearing to July 27, 2011; AND WHEREAS on July 27, 2011, the Commission heard submissions from Staff and Sbaraglia and ordered that a pre-hearing conference in this matter take place on October 28, 2011; AND WHEREAS on October 28, 2011, the Commission held a pre-hearing conference in this matter and heard submissions from Staff and counsel for Sbaraglia and adjourned the pre-hearing conference to November 25, 2011 on the consent of the parties; AND WHEREAS on November 25, 2011, following a pre-hearing conference at which the Commission heard submissions from Staff and counsel for Sbaraglia, the Commission ordered that: Sbaraglia’s motion regarding Staff’s disclosure, if Sbaraglia determined to bring such a motion, be scheduled for January 24, 2012; the hearing on the merits commence on June 4, 2012 and continue until June 26, 2012, excluding June 5 and 19, 2012; and a pre-hearing conference be held on April 30, 2012; AND WHEREAS on January 24, 2012, the Commission held a hearing with respect to a disclosure motion brought by Sbaraglia and ordered that the minimum time requirements under subrule 4.3(1) and rule 4.5 of the Ontario Securities Commission Rules of Procedure (2010), 33 O.S.C.B. 8017 (the “Rules”) be extended by an additional 10 days;
AND WHEREAS on April 30, 2012, the Commission held a hearing with respect to a motion brought by counsel for Sbaraglia seeking an adjournment of the hearing on the merits, which was opposed by Staff, and the Commission ordered that: the hearing on the merits originally scheduled to commence on June 4, 2012 will commence on October 22, 2012 and continue until November 14, 2012, inclusive, with the exception of October 23, 2012 and November 5 and 6, 2012, on a peremptory basis with respect to Sbaraglia; a pre-hearing conference be held on June 4, 2012; and the extension of the minimum time requirements under subrule 4.3(1) and rule 4.5 of the Rules ordered on January 24, 2012 be set aside; AND WHEREAS on June 4, 2012, the Commission held a pre-hearing conference and heard submissions from Staff and counsel for Sbaraglia and adjourned the pre-hearing conference to July 4, 2012; AND WHEREAS on July 4, 2012, the Commission held a pre-hearing conference and heard submissions from Staff and counsel for Sbaraglia and adjourned the pre-hearing conference to July 19, 2012; AND WHEREAS on July 19, 2012, the Commission held a hearing with respect to a motion brought by counsel for Sbaraglia seeking an adjournment of the hearing on the merits, to which Staff consented; AND WHEREAS counsel for Sbaraglia advised the Commission that there was an appeal and cross-appeal of Justice Pattillo’s decision of May 23, 2012 regarding Sbaraglia’s motion to compel production by the Receiver of certain documents alleged by Sbaraglia to be relevant to this matter scheduled before the Court of Appeal on October 2, 2012; AND WHEREAS the Commission ordered that: the hearing on the merits scheduled to commence on October 22, 2012 will commence on March 18, 2013, on a peremptory basis with respect to Sbaraglia, and shall continue until April 5, 2013, inclusive, with the exception of March 26 and 29, 2013 and further continue on April 24 and 25, 2013; and a pre-hearing conference will be held on November 7, 2012; AND WHEREAS on November 7, 2012, the Commission held a pre-hearing conference and heard submissions from Staff and counsel for Sbaraglia and adjourned the pre-hearing conference to December 12, 2012; AND WHEREAS on December 12, 2012, the Commission held a pre-hearing conference in this matter and heard submissions from Staff and counsel for Sbaraglia; AND WHEREAS counsel for Sbaraglia advised the Commission that Sbaraglia intended to request the issuance of summonses to a number of individuals, including the Receiver;
Decisions, Orders and Rulings
January 17, 2013
(2013) 36 OSCB 817
AND WHEREAS Staff requested that a hearing be scheduled at which time anyone to whom a summons was issued may bring a motion to have the issuance of the summons reviewed by the Commission in accordance with subrule 4.7(2) of the Rules; AND WHEREAS counsel for Sbaraglia undertook to advise the parties to whom summonses were issued of the date of the hearing with respect to any motion to review the issuance of the summonses; AND WHEREAS the Commission ordered that a hearing be held on January 9, 2013 for the purpose of considering any motion to review the issuance of the summonses in accordance with subrule 4.7(2) of the Rules; AND WHEREAS on January 9, 2013, Staff, counsel for Sbaraglia, counsel for the Receiver and counsel for an individual to whom a summons had been issued appeared before the Commission and made submissions regarding the scheduling of motions to review the issuance of the summonses; AND WHEREAS counsel for the Receiver advised the Commission that the Receiver intends to bring a motion to review the issuance of the summons to the Receiver; AND WHEREAS counsel for Sbaraglia undertook to advise the parties to whom summonses have been issued of the date of the hearing with respect to any motion to review the issuance of the summonses; AND WHEREAS the Commission is of the opinion that it is in the public interest to make this order; IT IS ORDERED THAT:
1. A hearing will be held on February 8, 2013 at 10:00 a.m. for the purpose of considering a motion by the Receiver, if applicable, to review the issuance of the summons to the Receiver in accordance with subrule 4.7(2) of the Rules; and
2. A hearing will be held on February 8,
2013 at 10:00 a.m., following the hearing to which reference is made in paragraph 1 above, if applicable, and on such other date and time as agreed to by the parties and determined by the Office of the Secretary, for the purpose of considering a motion by any other party to whom a summons has been issued to review the issuance of a summons to such party in accordance with subrule 4.7(2) of the Rules;
DATED at Toronto this 9th day of January, 2013. “Christopher Portner”
2.2.4 Morgan Dragon Development Corp. et al. – s. 127
IN THE MATTER OF THE SECURITIES ACT,
R.S.O. 1990, c. S.5 AS AMENDED
AND
IN THE MATTER OF MORGAN DRAGON DEVELOPMENT CORP., JOHN CHEONG (AKA KIM MENG CHEONG),
HERMAN TSE, DEVON RICKETTS AND MARK GRIFFITHS
ORDER
(Section 127)
WHEREAS on March 22, 2012, the Ontario Securities Commission (the “Commission”) issued a Notice of Hearing pursuant to section 127 of the Securities Act, R.S.O. 1990, c. S.5, as amended (the “Act”) (the “Notice of Hearing”) in connection with a Statement of Allegations filed by Staff of the Commission (“Staff”) on March 22, 2012, to consider whether it is in the public interest to make certain orders against Morgan Dragon Development Corp. (“MDDC”), John Cheong (aka Kim Meng Cheong) (“Cheong”), Herman Tse (“Tse”), Devon Ricketts (“Ricketts”) and Mark Griffiths (“Griffiths”) (collectively, the “Respondents”); AND WHEREAS the Commission issued an Amended Notice of Hearing pursuant to sections 127 and 127.1 of the Act on March 26, 2012 (the “Amended Notice of Hearing”); AND WHEREAS on April 19, 2012, a first appearance hearing was held and the matter was adjourned to a confidential pre-hearing conference on June 4, 2012; AND WHEREAS on April 25, 2012, the Commission was informed that a confidential pre-hearing conference would not be required and the Commission ordered that a hearing would take place on June 4, 2012, at 9:30 a.m. to provide the panel with a status update; AND WHEREAS on June 4, 2012, the Commission heard submissions from Staff and counsel for MDDC and Cheong, and the matter was adjourned to August 15, 2012, for a further status update; AND WHEREAS on August 15, 2012, the Commission heard submissions from Staff and counsel for MDDC and Cheong, and the matter was adjourned to September 20, 2012, for a further status update; AND WHEREAS on September 20, 2012, the hearing on the merits in this matter was scheduled to commence on April 11, 2013, and continue on April 12, 15 to 19, 22 and 24, 2013, and the matter was adjourned to a confidential pre-hearing conference on January 11, 2013;
Decisions, Orders and Rulings
January 17, 2013
(2013) 36 OSCB 818
AND WHEREAS on January 11, 2013, a confidential pre-hearing conference was held and the Commission heard submissions from Staff and counsel for the Respondents Cheong, Tse, Ricketts and MDDC; AND WHEREAS Griffiths did not appear, though properly served with notice of the hearing; AND WHEREAS the Commission is of the opinion that it is in the public interest to make this order; IT IS HEREBY ORDERED that a further confidential pre-hearing conference will be held on February 19, 2013, at 9:00 a.m. DATED at Toronto this 11th day of January, 2013. “James E. A. Turner”
2.2.5 Newer Technologies Limited et al. – ss. 127(1), 127.1
IN THE MATTER OF THE SECURITIES ACT,
R.S.O. 1990, c. S.5, AS AMENDED
AND
IN THE MATTER OF NEWER TECHNOLOGIES LIMITED, RYAN PICKERING
AND RODGER FREY
ORDER (Subsection 127(1) and section 127.1)
WHEREAS on December 4, 2012, the Ontario Securities Commission (the “Commission”) issued a Notice of Hearing pursuant to sections 127 and 127.1 of the Securities Act, R.S.O. 1990, c. S.5, as amended (the “Act”) in connection with a Statement of Allegations filed by Staff of the Commission (“Staff”) on December 4, 2012 in respect of Newer Technologies Limited, Ryan Pickering and Rodger Frey (collectively, the “Respondents”); AND WHEREAS the Respondents were served with the Notice of Hearing and Statement of Allegations on December 5, 2012; AND WHEREAS the Notice of Hearing provided that a hearing would be held at the temporary hearing rooms of the Commission on January 11, 2013; AND WHEREAS at the first attendance on January 11, 2013, in attendance were Staff and counsel for Newer Technologies Limited and Ryan Pickering; AND WHEREAS Rodger Frey did not appear, however Staff indicated that Rodger Frey had contacted Staff to notify them that he was aware of the attendance but would not be present; AND WHEREAS Staff requested that a confidential pre-hearing conference be scheduled, and counsel agreed; AND WHEREAS the Commission is of the opinion that it is in the public interest to make this order; IT IS HEREBY ORDERED that a confidential pre-hearing conference shall take place at the offices of the Commission at 20 Queen Street West, 17th Floor, Toronto, Ontario, on March 18, 2013 at 9:00 a.m. or as soon thereafter as the hearing can be held. DATED at Toronto this 11th day of January, 2013. “James E. A. Turner”
January 17, 2013
(2013) 36 OSCB 819
Chapter 3
Reasons: Decisions, Orders and Rulings 3.1 OSC Decisions, Orders and Rulings 3.1.1 White Capital Corporation and Matthew White – s. 31
IN THE MATTER OF STAFF’S RECOMMENDATION TO SUSPEND
THE REGISTRATIONS OF WHITE CAPITAL CORPORATION AND MATTHEW WHITE
OPPORTUNITY TO BE HEARD BY THE DIRECTOR
Under section 31 of the Securities Act
Director’s decision 1. My decision is that the registrations of each of White Capital Corporation (White Capital) and Matthew White
(collectively, the Applicants) are hereby suspended. My decision is based on the:
a. verbal arguments and written submissions of Michael Denyszyn, Senior Legal Counsel, Compliance and Registrant Regulation Branch (CRR) for Staff of the Ontario Securities Commission (OSC), and Jordan Glick on behalf of the Applicants
b. testimony of Kelly Everest (CRR), Carlin Fung (CRR), Albert Ciorma (Enforcement Branch, OSC), Matthew
White, Keith Bullen, and David Gilkes. I have not relied on the testimony of Mrs. B or Mr. B. Due to a number of inconsistencies in their evidence, I did not find it credible and have therefore given it no weight, and
c. evidence provided at the opportunity to be heard (OTBH).
2. Applicants’ counsel made numerous submissions concerning the fairness of the OTBH process in the suspension
context and also made very serious allegations concerning the conduct of Staff in the course of this OTBH. I am of the view that the OTBH process in this case was entirely fair and that the allegations with respect to Staff’s conduct were unsubstantiated and without merit.
3. This decision outlines the primary bases for my decision to suspend the Applicants’ registrations. Although numerous
other matters were discussed as part of the OTBH, in my opinion, the primary bases outlined below provide a sufficient and clear basis for me to conclude that neither White Capital nor Matthew White is suitable for registration and that each of their ongoing registrations is otherwise objectionable.
Registration history of the Applicants 4. White Capital was initially registered as a limited market dealer in 2004. By operation of law, White Capital became
registered as an exempt market dealer (EMD) in September 2009. 5. Matthew White is the ultimate designated person (UDP), Chief Compliance Officer (CCO), and one of the dealing
representatives of White Capital. Matthew White owns 100% of White Capital. Suspension letter to the Applicants 6. By letter dated June 7, 2012, Staff advised the Applicants that it had recommended to the Director that:
a. White Capital’s registration as an EMD, and
b. Matthew White’s registration as UDP, CCO and a dealing representative be suspended. The letter summarized Staff’s primary reasons for its recommendation. Pursuant to section 31 of the
Securities Act (Ontario) (Act), the Applicants are entitled to an OTBH before a decision is made by me, as Director.
Reasons: Decisions, Orders and Rulings
January 17, 2013
(2013) 36 OSCB 820
Verbal submissions occurred on November 1, and 2, 2012. Both counsel subsequently provided me with written submissions.
7. Staff argued that the Applicants lack the requisite integrity, proficiency, and solvency and their registrations should be
suspended. Staff also argued that section 28 of the Act permits me, as Director, to suspend the registrations of the Applicants on the basis that the Applicants are not suitable for registration, have failed to comply with Ontario securities law, or that their registrations are otherwise objectionable.
Primary bases for my decision $75,000 advance and the conflict with Canyon 8. The banking records of White Capital show that $75,000 was transferred into White Capital’s bank account in
September 2010 directly from a bank account associated with Canyon Acquisitions, LLC (Canyon). An equal amount was then immediately transferred out of the account to purchase a guaranteed investment certificate (GIC). The stipulated facts include a stipulation substantially to this effect.
9. In written closing submissions, White Capital submitted that there were two $75,000 transfers from Canyon. The first
transfer occurred in July 2010 and it was described as being a personal loan to Matthew White. The second transfer occurred in September 2010 and it was described as being a commission advance to White Capital. White Capital submitted that it was the monies from the first transfer in July 2010 that were used to purchase the GIC from White Capital’s bank account in September 2010. I don’t find this explanation to be plausible and, in my opinion, neither White Capital’s books and records nor its banking records reflect the flow of monies in this manner either.
10. As well, there was a lot of contradictory evidence and statements made about the two transfers of $75,000 from
Canyon including by Matthew White under oath in May 2011, in correspondence with Staff in November 2011, in a submission from Applicants’ counsel in July 2012, in the stipulated facts, and in Matthew White’s testimony on November 2, 2012.
11. Two additional amounts were also paid by Canyon to White Capital - $40,000 in each of October and November 2010.
The two additional payments were also included as stipulated facts. I was also provided with contradictory evidence about these amounts as well.
12. In my view, Matthew White’s testimony and his various conflicting statements (including statements through his
counsel) on the transfers of monies from Canyon lacked credibility. As a result, Matthew White impugned his integrity. 13. White Capital was obligated to provide conflict disclosure under section 13.4 of National Instrument 31-103 Registration
Requirements, Exemptions and Ongoing Registrant Obligations (NI 31-103) about the nature and extent of conflicts. I agree with Staff’s submissions that White Capital did not meet this obligation solely by disclosing in a statement of policies that White Capital is “an advisor to the underlying entities of Placencia Capital Trust”, a Canyon issuer, particularly since a majority of the commissions earned by White Capital during the relevant periods were from sales of Canyon products.
14. I also want to address the argument from the Applicants that conflict concerns were diminished by the pre-payment of
commissions by Canyon to White Capital. In my view, this argument is wholly incorrect. Matthew White and White Capital were in clear conflict with Canyon whether they were paid in advance or at the time of individual trades.
Know your client and suitability of client trades 15. There was a lot of debate at the OTBH regarding whether the clients of White Capital were, in fact, accredited investors
(AIs). Staff points to its multiple reviews of White Capital’s books and records, which on their face, raise significant questions regarding whether a number of clients were AIs.
16. White Capital points to questionnaires sent to a number of its clients as indicating that the clients were AIs. I had a
number of difficulties with the White Capital questionnaires because they did not, in my mind, clearly address whether the clients were AIs. If the questionnaires had asked more detailed questions regarding the clients’ financial assets (and net assets), they might have been much more useful in determining whether the clients were, in fact, AIs.
17. An example to illustrate. The KYC form for Client X indicated that she had a total net worth of approximately $1.8
million, including real estate of $1.2 million. Her income was shown as being between $100,000 and $125,000. Based solely on White Capital’s books and records as provided to Staff, Client X is not an AI based either on the net income test, the financial assets test, or the net assets test. In her affidavit, Client X indicates that she had over $1 million in assets, not including her personal residence. However, no breakdown was provided of her assets. Also, in an
Reasons: Decisions, Orders and Rulings
January 17, 2013
(2013) 36 OSCB 821
interview with Staff, Client X indicated that most of her assets consisted of real estate holdings (a statement which supports her KYC form). As a result, I have significant doubts as to whether Client X was an AI.
18. White Capital also raised an argument about the need for Staff to essentially “look behind” the books and records to
assess suitability of client trades. White Capital also questioned Staff’s approach to the review of suitability, in that Staff were by the very nature of the compliance field review process, forced to “look back” to assess suitability. While Staff recently started calling clients to confirm suitability and know your client information, it is a registrant’s sole responsibility to ensure that its books and records are complete and that they accurately and fully reflect the registrant’s assessment of know your client and suitability of client trades.
19. I concur with Staff that White Capital’s books and records were not sufficient for White Capital to claim that they knew
their clients or that the trades made for them were suitable. As well, I do not agree with White Capital’s submission that these KYC and suitability issues were “record keeping issues” and that they should not, and do not, have an impact on White Capital’s suitability for registration.
20. White Capital also argued that Staff should have provided registrants with more guidance on its expectations on the AI
exemption (particularly the definitions of “financial assets” and “net assets”). Registrants were subject to a suitability requirement long before the introduction of NI 31-103 in the fall of 2009. As a registrant since 2004, White Capital should have been well aware of its registration requirements, including one of the most fundamental of registration requirements – the requirement to know your clients so that trades made to them are suitable.
Substantial non-compliance with Ontario securities law 21. Staff submits, and I agree, that the Applicants failed to comply with Ontario securities law. The following are some of
the examples provided by Staff. In my view, I was provided with sufficient clear proof of each of these failures to comply with Ontario securities law:
a. The requirement to keep such books, records and other documents as are necessary for the proper recording
of business transactions and financial affairs (subsection 19(1) of the Act and section 11.5(1)(a) of NI 31-103)
b. The requirement to maintain records to demonstrate the extent of the firm’s compliance with applicable requirements of securities legislation (paragraph 11.5(1)(b) of NI 31-103)
c. The requirement to provide books, records and documents required to be kept to Staff in a timely manner
(subsection 19(3) of the Act)
d. The requirement to take reasonable steps to ensure that the firm has sufficient KYC information on its clients (section 13.2 of NI 31-103)
e. The requirement to take reasonable steps to ensure that purchases of securities are suitable for clients
(section 13.3 of NI 31-103)
f. The requirement that the UDP of a registered firm appropriately supervise the activities of the firm (and individuals acting on its behalf), and to promote compliance by the firm (and individuals acting on its behalf) with securities legislation (section 5.1 of NI 31-103), and
g. The requirement that the CCO of a registered firm monitor and assess compliance by the firm, and individuals
acting on its behalf, with securities legislation (paragraph 5.2(b) of NI 31-103). 22. There was some debate during the OTBH whether the significant books and records issues were sufficient to suspend
the Applicants. In my view, the extent and pervasiveness of the issues in White Capital’s books and records were more than sufficient for me to suspend the Applicants’ registration. However, as set out above, these were not the only serious issues facing the firm.
23. As well, I was advised in Staff’s closing submissions that White Capital’s audited financial statements (which were due
at the end of November) were not filed on a timely basis, due to “reasons outside our control and outside the control of our auditors” and later because “several key account confirmations [were] outstanding”. Given the Applicants’ recent OTBH and the fact that White Capital had recently hired an external consultant to assist it in meeting its regulatory responsibilities, I would have expected the Applicants to be extra diligent in meeting their regulatory responsibilities.
Reasons: Decisions, Orders and Rulings
January 17, 2013
(2013) 36 OSCB 822
Decision on the suspension of the Applicants 24. My decision is to suspend the registration of each of the Applicants. 25. My decision was made as a result of the primary bases outlined above – all of which were proven by Staff. In my view,
the Applicants’ conduct clearly demonstrates a fundamental lack of understanding regarding Ontario securities law and a pattern of non-compliance with Ontario securities law. As I said in Carter Securities Inc., Re (2010), 33 OSCB 8691:
“In conclusion, in my view the evidence in this case supports my decision that Carter’s registration should be
suspended. I concur with staff’s assessment that Carter has engaged in a pattern of conduct – through its individual registrants – that demonstrates that it lacks the integrity required of registered firms under the Act.”
26. I was also asked to consider why terms and conditions suggested by the Applicants, and not suspension, was not the
appropriate remedy for the misconduct identified in this decision. In my view the test in Jaynes, Re (2000), 23 OSCB 1543 is appropriate here. That decision stated that “[w]hile terms and conditions restricting registration may be appropriate in a wide variety of circumstances, they should not be used to shore up a fundamentally objectionable registration”. In my view, the use of terms and conditions in this case would be shoring up fundamentally objectionable registrations and the comments I made in Carter are equally applicable here:
“Following the completion of a compliance field review, staff has a number of “tools” available to it from issuing
a deficiency report (for identified issues that staff believes can be relatively easily remedied) up to and including the relatively new Director suspension power. In the majority of cases, a deficiency report is issued. However, faced with possible registrant misconduct, staff’s approach is to assess the possible misconduct and determine the appropriate tool to deal with the misconduct. In some cases, staff determines that terms and conditions on registration are the appropriate remedy. Other possible staff remedies are to refer the issue(s) to the OSC’s Enforcement Branch for further investigation and possible litigation, or do to as staff did in these circumstances and recommend suspension of registration.”
27. I’d like to comment on the question of acceptable evidence in an OTBH and whether the nature of that evidence is
different depending on the size or nature of operations of the registrant. Again, as in Carter, I had no difficulty in accepting the books and records of White Capital or correspondence between Staff and White Capital or its registered representatives as proper hearsay evidence without any viva voce evidence being presented. In this case, the primary bases described above were substantiated, where possible, by documents or affidavit evidence. Where records were missing from the Applicants’ books and records, I had no difficulty concluding that the books and records were not being maintained as required. With respect to the second question, there is no requirement that the standard of evidence be higher because White Capital employs a number of dealing representatives. Nor do I think the argument for a higher standard of evidence makes sense. I agree with Staff’s submissions that all “registered firms must have a chief executive officer (or equivalent) who is a suitable [UDP]. An unsuitable UDP does not insulate himself or herself from appropriate regulatory action by maintaining a sales force.”
28. I’d also like to comment on the documents provided by the Applicants with metadata indicating that the documents had
recently been created. While an explanation was provided to me during the OTBH for the recent metadata date, I want to warn registrants and their advisors that the re-creation of documents for provision to Staff – even if they are being reformatted or presented in a more readable form – is generally a dangerous practice. When books and records are requested by Staff, registrants are expected to provide the books and records in their original form.
Fairness and other considerations 29. The Applicants made extensive submissions about the fairness of this OTBH specifically and OTBHs generally. They
also made very serious allegations with respect to the conduct of Staff in this matter. Some of the fairness submissions related to whether:
a. a higher duty of fairness was required because the OTBH involved potential suspension of the Applicants
b. the Applicants were afforded a fair opportunity to respond to issues raised by Staff
c. there should be a difference between how OTBHs were conducted and how hearings and reviews before the
Commission under section 8 of the Act were conducted, and
d. Staff was fair to the Applicants by subjecting the Applicants to a number of oversight reviews over a relatively short period of time.
Reasons: Decisions, Orders and Rulings
January 17, 2013
(2013) 36 OSCB 823
30. Even though this proceeding involved a recommendation of suspension for the Applicants, in my view the OTBH was conducted in a fair manner and the Applicants were provided with ample opportunity both during the verbal part of the OTBH and in lengthy written submissions to respond to the issues identified by Staff.
31. Despite the Applicants’ submissions an OTBH is not meant to be a formal hearing. This point is made abundantly clear
in the Procedures for Opportunities to be Heard made under the Statutory Powers Procedure Act which provide that:
“An appearance before the Director will generally be an informal proceeding. The Ontario Securities Commission Rules of Practice and the Rules of Civil Procedure do not apply… At the appearance, the Director may ask any question and admit any evidence which he or she sees fit… Witnesses may be called, examined and cross-examined with the consent of the Director. The applicant and any witnesses may give evidence under oath or affirmation.”
I also reinforced this point with Applicants’ counsel during the course of the OTBH. 32. In the event that the Director issues an adverse decision, an applicant then has the opportunity under subsection 8(2)
of the Act for a full hearing and review of the matter. This is treated by the Commission as a hearing de novo, which provides an applicant with a fresh consideration of all of the issues.
33. With respect to the Applicants’ serious and repeated allegations of misconduct by Staff, it is sufficient to say that these
were entirely unsubstantiated and in my view completely without merit. Conclusion 34. In my view, neither White Capital nor Matthew White are suitable for registration and, for the reasons provided, their
registrations are suspended. “Marrianne Bridge”, FCPA, FCA Deputy Director, Compliance and Registrant Regulation Branch Ontario Securities Commission January 11, 2013
Reasons: Decisions, Orders and Rulings
January 17, 2013
(2013) 36 OSCB 824
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January 17, 2013
(2013) 36 OSCB 825
Chapter 4
Cease Trading Orders 4.1.1 Temporary, Permanent & Rescinding Issuer Cease Trading Orders
Company Name Date of Temporary Order
Date of Hearing Date of Permanent Order
Date of Lapse/Revoke
LCTI Low Carbon Technologies International Inc.
15 Jan 13 28 Jan 13
4.2.1 Temporary, Permanent & Rescinding Management Cease Trading Orders
Company Name
Date of Order or Temporary Order
Date of Hearing Date of Permanent Order
Date of Lapse/ Expire
Date of Issuer Temporary Order
There are no items for this week. 4.2.2 Outstanding Management & Insider Cease Trading Orders
Company Name Date of Order or Temporary Order
Date of Hearing
Date of Permanent Order
Date of Lapse/ Expire
Date of Issuer Temporary Order
There are no items for this week.
Cease Trading Orders
January 17, 2013
(2013) 36 OSCB 826
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January 3, 2013
(2013) 36 OSCB 827
Chapter 7
Insider Reporting The following is a weekly summary of insider transactions by insiders of Ontario reporting issuers in SEDI ® (the System for Electronic Disclosure by Insiders).1 The weekly summary contains insider transactions reported during the 7-day period ending Sunday at 11:59 p.m. (i.e. the Sunday prior to the Bulletin Issue date).2
Guide to Codes
Relationship of Insider to Issuer (Rel=n) 1 Issuer 2 Subsidiary of Issuer 3 10% Security Holder of Issuer 4 Director of Issuer 5 Senior Officer of Issuer 6 Director or Senior Officer of 10% Security Holder 7 Director or Senior Officer of Insider or Subsidiary of Issuer (other than in 4,5,6) 8 Deemed Insider – 6 Months before becoming Insider
Nature of Transaction (T/O)
00 Opening Balance-Initial SEDI Report 10 Acquisition or disposition in the public market 11 Acquisition or disposition carried out privately 15 Acquisition or disposition under a prospectus 16 Acquisition or disposition under a prospectus exemption 22 Acquisition or disposition pursuant to a take-over bid, merger or acquisition 30 Acquisition or disposition under a purchase/ ownership plan 35 Stock dividend 36 Conversion or exchange 37 Stock split or consolidation 38 Redemption, retraction, cancellation, repurchase 40 Short sale 45 Compensation for property 46 Compensation for services 47 Acquisition or disposition by gift 48 Acquisition by inheritance or disposition by bequest 50 Grant of options 51 Exercise of options 52 Expiration of options 53 Grant of warrants 54 Exercise of warrants 55 Expiration of warrants 56 Grant of rights 57 Exercise of rights 59 Exercise for cash 70 Acquisition or disposition (writing) of third party derivative 71 Exercise of third party derivative 72 Other settlement of third party 73 Expiration of third party derivative 90 Change in nature of ownership 97 Other 99 Correction of Information
Note: The asterisk in the “Date/Month End Holding” column indicates the insider disagreed with the system calculated balance when the
transaction was reported. 1 SEDI® is a registered trademark owned by CDS INC. 2 ©CDS INC.
Insider Reporting
January 17, 2013
(2013) 36 OSCB 828
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
01 Communique Laboratory Inc.
Options Cheung, Andrew 4 1/11/2013 50 1.16 880,000 80,000
01 Communique Laboratory Inc.
Options Stringer, Brian 5 1/11/2013 50 1.16 990,000 60,000
49 North Resources Inc. Common Shares 49 North Resources Inc. 1 1/4/2013 38 0 -22,000 49 North Resources Inc. Common Shares 49 North Resources Inc. 1 1/8/2013 38 1.542 14,900 14,900 49 North Resources Inc. Common Shares 49 North Resources Inc. 1 1/9/2013 38 1.533 19,500 4,600 49 North Resources Inc. Common Shares 49 North Resources Inc. 1 1/10/2013 38 1.493 28,500 9,000 A&W Revenue Royalties Income Fund
Exchangeable Shares A&W Food Services of Canada Inc.
3 1/5/2013 11 21.56 2,228,854 403,510
Absolute Software Corporation
Common Shares Absolute Software Corporation
1 11/26/2012 38 4.7343 9,416,220 7,600
Absolute Software Corporation
Common Shares Absolute Software Corporation
1 11/27/2012 38 4.7 9,423,820 7,600
Absolute Software Corporation
Common Shares Absolute Software Corporation
1 11/28/2012 38 4.63 9,431,420 7,600
Absolute Software Corporation
Common Shares Absolute Software Corporation
1 11/29/2012 38 4.899 11,030,720 1,599,300
Absolute Software Corporation
Common Shares Absolute Software Corporation
1 12/3/2012 38 5 11,038,320 7,600
Absolute Software Corporation
Common Shares Absolute Software Corporation
1 12/4/2012 38 4.89 11,045,920 7,600
Absolute Software Corporation
Common Shares Absolute Software Corporation
1 12/5/2012 38 4.86 11,053,520 7,600
Absolute Software Corporation
Common Shares Absolute Software Corporation
1 12/6/2012 38 4.66 11,061,120 7,600
Absolute Software Corporation
Common Shares Absolute Software Corporation
1 12/7/2012 38 4.46 11,062,120 1,000
Absolute Software Corporation
Common Shares Absolute Software Corporation
1 12/10/2012 38 4.6383 11,066,720 4,600
Absolute Software Corporation
Common Shares Absolute Software Corporation
1 12/11/2012 38 4.58 11,074,320 7,600
Absolute Software Corporation
Common Shares Absolute Software Corporation
1 12/12/2012 38 4.85 11,081,920 7,600
Absolute Software Corporation
Common Shares Absolute Software Corporation
1 12/13/2012 38 4.6981 11,082,620 700
Absolute Software Corporation
Common Shares Absolute Software Corporation
1 12/14/2012 38 4.8095 11,090,220 7,600
Absolute Software Corporation
Common Shares Absolute Software Corporation
1 12/17/2012 38 4.81 11,097,820 7,600
Absolute Software Corporation
Common Shares Absolute Software Corporation
1 12/18/2012 38 4.8 11,105,420 7,600
Absolute Software Corporation
Common Shares Absolute Software Corporation
1 12/19/2012 38 5 11,108,420 3,000
Absolute Software Corporation
Common Shares Bestmann, Martin 5 1/2/2013 30 4.34 172,159 1,209
Absolute Software Corporation
Common Shares Chase, Robert George 5 1/4/2013 30 4.34 767,225 1,210
Absolute Software Corporation
Common Shares Frankl, Peter 5 1/2/2013 30 4.34 172,228 1,203
Absolute Software Corporation
Common Shares ESOP shares
Grace, Mark 5 1/2/2013 30 4.34 5,150 1,204
Absolute Software Corporation
Options Kenny, Thomas 5 1/8/2013 00 250,000
Absolute Software Corporation
Common Shares Sarantakes, Evan John 5 1/2/2013 30 4.34 2,476 1,203
ACTIVEnergy Income Fund Trust Units Activenergy Income Fund 1 1/9/2013 38 7.2 28,149,761 600
ADF Group Inc. Subordinate Voting Shares Marshall-Barwick Inc. 3 12/24/2012 10 1.25 1,856,600 -4,800
Advantage Oil & Gas Ltd. Common Shares Blackwood, Donald Craig 5 1/9/2013 30 3.37 166,745 9,806 Advantage Oil & Gas Ltd. Common Shares Bokenfohr, Neil 5 1/9/2013 30 3.37 345,414 11,142 Advantage Oil & Gas Ltd. Common Shares Cairns, Patrick James 5 1/9/2013 30 3.37 519,161 11,142 Advantage Oil & Gas Ltd. Common Shares Drader, Kelly Ivan 5 1/9/2013 30 3.37 577,810 17,160 Advantage Oil & Gas Ltd. Common Shares Mah, Andy 5 1/9/2013 30 3.37 518,610 17,160 AEterna Zentaris Inc. Options Seeber, Matthias 5 12/31/2012 52 0 -70,507 African Queen Mines Ltd. Common Shares Olian, Irwin Alois 3, 4, 5 1/3/2013 10 0.1 7,774,500 37,000 African Queen Mines Ltd. Common Shares Olian, Irwin Alois 3, 4, 5 1/7/2013 10 0.1 7,776,000 1,500 Ag Growth International Inc. Rights Share Award
Incentive Plan Anderson, Gary Keith 4, 5 1/3/2013 56 30,000 30,000
Ag Growth International Inc. Rights Share Award Incentive Plan
Franzmann, Paul Edmund 5 6/3/2009 00
Insider Reporting
January 17, 2013
(2013) 36 OSCB 829
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Ag Growth International Inc. Rights Share Award Incentive Plan
Franzmann, Paul Edmund 5 1/3/2013 56 50,000 50,000
Agnico-Eagle Mines Limited Common Shares Datta, Picklu 5 1/9/2013 51 37.05 15,131 5,000
Agnico-Eagle Mines Limited Common Shares Datta, Picklu 5 1/9/2013 10 49.19 10,131 -5,000
Agnico-Eagle Mines Limited Common Shares Datta, Picklu 5 1/11/2013 51 37.05 17,631 7,500
Agnico-Eagle Mines Limited Common Shares Datta, Picklu 5 1/11/2013 10 49.9 14,131 -3,500
Agnico-Eagle Mines Limited Common Shares Datta, Picklu 5 1/11/2013 10 50.1 10,131 -4,000
Agnico-Eagle Mines Limited Options Datta, Picklu 5 1/9/2013 51 37.05 242,500 -5,000
Agnico-Eagle Mines Limited Options Datta, Picklu 5 1/11/2013 51 37.05 235,000 -7,500
Agrium Inc. Common Shares Grossett, James M. 5 1/2/2013 10 100.68 19,400 -10,000 Agrium Inc. Options Grossett, James M. 5 1/2/2013 51 103.07 58,752 -16,100 Agrium Inc. Options Grossett, James M. 5 1/3/2013 51 103.84 33,202 -25,550 Agrium Inc. Rights SARs Grossett, James M. 5 1/2/2013 56 103.07 16,100 16,100 Agrium Inc. Rights SARs Grossett, James M. 5 1/2/2013 59 103.07 0 -16,100 Agrium Inc. Rights SARs Grossett, James M. 5 1/3/2013 56 103.84 25,550 25,550 Agrium Inc. Rights SARs Grossett, James M. 5 1/3/2013 59 103.84 0 -25,550 Agrium Inc. Options Wilkinson, Ronald A. 5 1/3/2013 51 103.84 49,223 -15,500 Agrium Inc. Rights SARs Wilkinson, Ronald A. 5 1/3/2013 56 103.84 15,500 15,500 Agrium Inc. Rights SARs Wilkinson, Ronald A. 5 1/3/2013 59 103.84 0 -15,500 Ainsworth Lumber Co. Ltd. Common Shares Brookfield Capital Partners II
(OSB) L.P. 3 12/24/2012 57 1.25 77,671,427
Ainsworth Lumber Co. Ltd. Common Shares Brookfield Capital Partners II (OSB) L.P.
3 12/24/2012 57 1.25 77,673,443 77,673,443
Ainsworth Lumber Co. Ltd. Common Shares Feustel, Robert 5 12/27/2012 57 1.25 112,408 955 Ainsworth Lumber Co. Ltd. Rights Feustel, Robert 5 12/27/2012 56 688 688 Ainsworth Lumber Co. Ltd. Rights Feustel, Robert 5 12/27/2012 57 1.25 0 -688 Air Canada Class B Voting Shares Air Canada 1 12/3/2012 38 1.8035 230,000 230,000 Air Canada Class B Voting Shares Air Canada 1 12/3/2012 38 0 -230,000 Air Canada Class B Voting Shares Air Canada 1 12/4/2012 38 1.8244 180,000 180,000 Air Canada Class B Voting Shares Air Canada 1 12/4/2012 38 0 -180,000 Air Canada Class B Voting Shares Air Canada 1 12/5/2012 38 1.8043 230,000 230,000 Air Canada Class B Voting Shares Air Canada 1 12/5/2012 38 0 -230,000 Air Canada Class B Voting Shares Air Canada 1 12/6/2012 38 1.8013 200,300 200,300 Air Canada Class B Voting Shares Air Canada 1 12/6/2012 38 0 -200,300 Air Canada Class B Voting Shares Air Canada 1 12/7/2012 38 1.7972 180,000 180,000 Air Canada Class B Voting Shares Air Canada 1 12/7/2012 38 0 -180,000 Air Canada Deferred Share Units Attali, Bernard 6 1/2/2013 56 43,369 4,213 Air Canada Deferred Share Units Huot, Jean Marc 4 1/2/2013 56 173,476 9,480 Air Canada Deferred Share Units Johnson, Pierre Marc 4 1/2/2013 56 42,298 3,160 Air Canada Deferred Share Units Romanow, Roy 4 1/2/2013 56 72,961 7,022 Air Canada Deferred Share Units Sorensen, Vagn 4 1/2/2013 56 71,691 2,809 Air Canada Deferred Share Units Verschuren, Annette Marie 4 11/12/2012 00
Air Canada Deferred Share Units Verschuren, Annette Marie 4 1/2/2013 56 4,213 4,213
Alexco Resource Corp. Restricted Share Units Brack, George Leslie 4 12/11/2007 00 Alexco Resource Corp. Restricted Share Units Brack, George Leslie 4 1/8/2013 56 20,000 20,000 Alexco Resource Corp. Restricted Share Units Krepiakevich, Terry 5 7/22/2009 00 Alexco Resource Corp. Restricted Share Units Krepiakevich, Terry 5 1/8/2013 56 20,000 20,000 Alexco Resource Corp. Restricted Share Units Searle, David Harry 4 5/18/2006 00 Alexco Resource Corp. Restricted Share Units Searle, David Harry 4 1/8/2013 56 20,000 20,000 Alexco Resource Corp. Restricted Share Units Van Nieuwenhuyse, Rick 4 1/9/2006 00 Alexco Resource Corp. Restricted Share Units Van Nieuwenhuyse, Rick 4 1/8/2013 56 20,000 20,000 Alexco Resource Corp. Restricted Share Units Winn, Michael D. 4 12/21/2005 00 Alexco Resource Corp. Restricted Share Units Winn, Michael D. 4 1/8/2013 56 20,000 20,000 Alexco Resource Corp. Restricted Share Units Zimmer, Richard Norman 4 5/1/2012 00 Alexco Resource Corp. Restricted Share Units Zimmer, Richard Norman 4 1/8/2013 56 30,000 30,000 Alimentation Couche-Tard Inc.
Options McCure, Matt 5 1/8/2013 51 13.15 30,400 -4,000
Alimentation Couche-Tard Inc.
Subordinate Voting Shares Catégorie B
McCure, Matt 5 1/8/2013 51 13.15 4,000 4,000
Alimentation Couche-Tard Inc.
Subordinate Voting Shares Catégorie B
McCure, Matt 5 1/8/2013 10 49.5 1,063 -2,937
Alimentation Couche-Tard Inc.
Subordinate Voting Shares Catégorie B
McCure, Matt 5 1/8/2013 97 49.5 0 -1,063
Alix Resources Corp. Common Shares England, Michael Bruno John Franz
4, 5 1/9/2013 10 0.05 467,667 -1,000,000
Insider Reporting
January 17, 2013
(2013) 36 OSCB 830
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Alliance Grain Traders Inc. Common Shares Ireland, Lori Ann 5 1/7/2013 10 12.33 18,500 400 Alliance Mining Corp. Common Shares Anderson, Christopher Ross 5 1/10/2013 10 0.08 2,128,500 12,000
Alliance Mining Corp. Common Shares Anderson, Christopher Ross 5 1/10/2013 10 0.085 2,151,500 23,000
Alliance Mining Corp. Common Shares Gordon, Ian Alastair 3 1/8/2013 16 0.1 520,000 200,000 Alliance Mining Corp. Warrants Gordon, Ian Alastair 3 1/8/2013 16 200,000 Alliance Mining Corp. Warrants Gordon, Ian Alastair 3 1/8/2013 16 360,000 200,000 AltaGas Ltd. Common Shares Baines, Jeremy Robert 5 1/7/2013 51 14.24 27,850 5,000 AltaGas Ltd. Common Shares Baines, Jeremy Robert 5 1/7/2013 51 16.6 32,850 5,000 AltaGas Ltd. Options at $14.24 expiring
December 10, 2018 Baines, Jeremy Robert 5 1/7/2013 51 14.24 0 -5,000
AltaGas Ltd. Options at $16.60 expiring August 11, 2019
Baines, Jeremy Robert 5 1/7/2013 51 16.6 10,000 -5,000
Altitude Resources Inc. (formerly Triumph Ventures III Corporation)
Common Shares Gagnon, Pierre Gaston 4 12/31/2012 37 125,000 -125,000
Altitude Resources Inc. (formerly Triumph Ventures III Corporation)
Common Shares Lane, Dermot Patrick 3 12/31/2012 00 3,320,000
Altitude Resources Inc. (formerly Triumph Ventures III Corporation)
Warrants Lane, Dermot Patrick 3 12/31/2012 00 50,000
Altitude Resources Inc. (formerly Triumph Ventures III Corporation)
Common Shares Porter, Douglas Martin 4, 5 12/31/2012 00 280,000
Altitude Resources Inc. (formerly Triumph Ventures III Corporation)
Common Shares Roberts, George Wesley 3, 4 12/31/2012 37 125,000 -125,000
Altitude Resources Inc. (formerly Triumph Ventures III Corporation)
Common Shares Roberts, George Wesley 3, 4 12/31/2012 11 167,800 42,800
Altitude Resources Inc. (formerly Triumph Ventures III Corporation)
Common Shares Wusaty, Andrew Paul 4, 5 12/31/2012 00 1,260,100
Altitude Resources Inc. (formerly Triumph Ventures III Corporation)
Common Shares Wusaty, Eugene 3, 4 12/31/2012 00 7,110,000
Altitude Resources Inc. (formerly Triumph Ventures III Corporation)
Warrants Wusaty, Eugene 3, 4 12/31/2012 00 125,000
Altus Group Limited Common Shares Eisen, Barry Isaac 5 1/2/2013 10 6,000 400 Altus Group Limited Common Shares Eisen, Barry Isaac 5 1/7/2013 10 400 Amarok Energy Inc. Common Shares Dales, Robert John 4, 5 1/7/2013 15 0.3 2,702,800 300,000 Amarok Energy Inc. Common Shares Day, Robin Charles 4 1/7/2013 15 0.3 1,235,800 100,000 Amarok Energy Inc. Common Shares Geremia, Danny Giovanni 4 1/7/2013 15 0.3 972,600 100,000 Amarok Energy Inc. Common Shares Geremia, Massimo Mario 4 8/22/2012 00 Amarok Energy Inc. Common Shares Geremia, Massimo Mario 4 8/22/2012 00 142,400 Amarok Energy Inc. Common Shares Guinan, William Charles 4 1/7/2013 10 0.3 795,399 83,000 Amarok Energy Inc. Common Shares Swanson, Leonard Dale 5 1/7/2013 15 0.3 1,100,000 700,000 American Bonanza Gold Corp.
Common Shares Tisdale, Wayne 4 12/20/2012 00 1,466,119
American Bonanza Gold Corp.
Common Shares Tisdale, Wayne 4 12/20/2012 00 6,150,000
American Bonanza Gold Corp.
Common Shares Tisdale, Wayne 4 12/20/2012 00
American Bonanza Gold Corp.
Common Shares Tisdale, Wayne 4 12/20/2012 00 1,344,000
American Bonanza Gold Corp.
Common Shares Tisdale, Wayne 4 12/20/2012 00 7,404,666
American Bonanza Gold Corp.
Common Shares Tisdale, Wayne 4 12/20/2012 00 607,000
American Bonanza Gold Corp.
Warrants Tisdale, Wayne 4 12/20/2012 00 850,000
American Bonanza Gold Corp.
Warrants Tisdale, Wayne 4 12/20/2012 00 3,330,000
American Bonanza Gold Corp.
Warrants Tisdale, Wayne 4 12/20/2012 00 800,000
American Bonanza Gold Corp.
Warrants Tisdale, Wayne 4 12/20/2012 00 242,500
American Bonanza Gold Corp.
Warrants Tisdale, Wayne 4 12/20/2012 00 3,642,000
Insider Reporting
January 17, 2013
(2013) 36 OSCB 831
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
American Bonanza Gold Corp.
Warrants Tisdale, Wayne 4 12/20/2012 00
Anconia Resources Corp. Common Shares Brewster, Jason Allen Ross 4, 5 1/9/2013 99 0 -271,500
Anconia Resources Corp. Common Shares clement, denis arthur 4 1/9/2013 10 0.195 696,000 5,000 Andina Minerals Inc. Common Shares Bee, George Michael 5 1/2/2013 22 0.8 0 -91,000 Andina Minerals Inc. Options Bee, George Michael 5 1/2/2013 22 0 -2,200,000 Andina Minerals Inc. Warrants Bee, George Michael 5 1/2/2013 22 0 -10,000 Andina Minerals Inc. Options Chouinard, Annick 5 1/2/2013 22 0 -225,000 Andina Minerals Inc. Common Shares Harvey, T. Sean 4 1/2/2013 22 0.8 0 -110,000 Andina Minerals Inc. Common Shares Harvey, T. Sean 4 1/2/2013 22 0.8 0 -2,958,439 Andina Minerals Inc. Options Harvey, T. Sean 4 1/2/2013 10 0 -875,000 Andina Minerals Inc. Warrants Harvey, T. Sean 4 1/2/2013 22 0 -50,000 Andina Minerals Inc. Warrants Harvey, T. Sean 4 1/2/2013 22 0 -450,000 Andina Minerals Inc. Common Shares Laing, R. Gregory 4 12/28/2012 22 0.8 0 -116,861 Andina Minerals Inc. Options Rose, William Robert 5 1/2/2013 22 0 -300,000 Andina Minerals Inc. Common Shares Rosselot, Juan Eduardo 4 1/2/2013 22 0.8 0 -68,342 Andina Minerals Inc. Options Rosselot, Juan Eduardo 4 1/2/2013 22 0 -600,000 Andina Minerals Inc. Warrants Rosselot, Juan Eduardo 4 1/2/2013 22 0 -2,000 Andina Minerals Inc. Common Shares Weyrauch, Derrick Horst 5 1/2/2013 22 0.8 0 -45,600 Andina Minerals Inc. Common Shares Weyrauch, Derrick Horst 5 1/2/2013 22 0.8 0 -11,800 Andina Minerals Inc. Options Weyrauch, Derrick Horst 5 1/2/2013 22 0 -700,000 Andina Minerals Inc. Common Shares Williams, Melvyn 4 1/2/2013 22 0.8 0 -221,444 Andina Minerals Inc. Options Williams, Melvyn 4 1/2/2013 22 0 -550,000 Andina Minerals Inc. Warrants Williams, Melvyn 4 1/2/2013 22 0 -5,000 ARC Resources Ltd. Common Shares Billesberger, Jay 5 7/13/2011 00 ARC Resources Ltd. Common Shares Billesberger, Jay 5 12/31/2012 30 1,081 1,081 ARC Resources Ltd. Common Shares Billesberger, Jay 5 12/31/2012 30 1,102 21 ARC Resources Ltd. Common Shares Dafoe, P. Van R. 5 1/1/2011 00 ARC Resources Ltd. Common Shares Dafoe, P. Van R. 5 12/31/2012 30 1,664 1,664 ARC Resources Ltd. Common Shares Dafoe, P. Van R. 5 12/31/2012 30 1,699 35 ARC Resources Ltd. Common Shares Dielwart, John Patrick 4 12/17/2012 30 63,630 3,410 ARC Resources Ltd. Common Shares Dielwart, John Patrick 4 12/17/2012 30 17,157 908 ARC Resources Ltd. Common Shares Dielwart, John Patrick 4 12/17/2012 30 1,707 87 ARC Resources Ltd. Common Shares Dielwart, John Patrick 4 6/20/2012 10 20.02 145,244 -20,000 ARC Resources Ltd. Common Shares Dielwart, John Patrick 4 12/17/2012 30 149,210 8,005 ARC Resources Ltd. Common Shares Dielwart, John Patrick 4 12/17/2012 30 1,493 6 ARC Resources Ltd. Common Shares Dielwart, John Patrick 4 12/17/2012 30 1,014 4 ARC Resources Ltd. Common Shares Gill, Terrence Nigel 5 1/1/2011 00 ARC Resources Ltd. Common Shares Gill, Terrence Nigel 5 12/31/2012 30 3,112 3,112 ARC Resources Ltd. Common Shares Gill, Terrence Nigel 5 12/31/2012 30 3,175 63 ARC Resources Ltd. Common Shares Groeneveld, Neil Adrian 5 1/1/2011 00 ARC Resources Ltd. Common Shares Groeneveld, Neil Adrian 5 12/31/2012 30 1,475 1,475 ARC Resources Ltd. Common Shares Groeneveld, Neil Adrian 5 12/31/2012 30 1,504 29 ARC Resources Ltd. Common Shares Houck, James Curtis 4 11/30/2012 30 18,361 789 ARC Resources Ltd. Common Shares Houck, James Curtis 4 11/30/2012 30 970 60 ARC Resources Ltd. Common Shares Kramer, Cameron 5 9/12/2011 00 ARC Resources Ltd. Common Shares Kramer, Cameron 5 12/31/2012 30 2,938 2,938 ARC Resources Ltd. Common Shares Kramer, Cameron 5 12/31/2012 30 3,000 62 ARC Resources Ltd. Common Shares Lentz, Wayne 5 7/13/2011 00 ARC Resources Ltd. Common Shares Lentz, Wayne 5 12/31/2012 30 4,075 4,075 ARC Resources Ltd. Common Shares Lentz, Wayne 5 12/31/2012 30 4,164 89 ARC Resources Ltd. Common Shares O'Neill, Kathleen M. 4 12/17/2012 30 16,057 839 ARC Resources Ltd. Common Shares Roberts, Allan Ross 5 1/1/2011 00 ARC Resources Ltd. Common Shares Roberts, Allan Ross 5 12/31/2012 30 734 734 ARC Resources Ltd. Common Shares Roberts, Allan Ross 5 12/31/2012 30 750 16 ARC Resources Ltd. Common Shares Stadnyk, Myron Maurice 4, 5 12/17/2012 30 192,542 828 ARC Resources Ltd. Common Shares Stadnyk, Myron Maurice 4, 5 1/1/2011 00 ARC Resources Ltd. Common Shares Stadnyk, Myron Maurice 4, 5 12/31/2012 30 2,921 2,921 ARC Resources Ltd. Common Shares Stadnyk, Myron Maurice 4, 5 12/31/2012 30 2,982 61 Arcan Resources Ltd. Common Shares Penner, Douglas 5 1/4/2013 10 1.09 1,241,800 13,500 Argonaut Gold Inc. Common Shares Dahl, Barry 5 12/31/2012 51 3.38 97,103 14,762 Argonaut Gold Inc. Common Shares Dahl, Barry 5 12/31/2012 51 4.48 107,116 10,013 Argonaut Gold Inc. Common Shares Dahl, Barry 5 12/31/2012 10 9.372 89,116 -18,000 Argonaut Gold Inc. Options Dahl, Barry 5 12/31/2012 51 3.38 58,578 -14,762 Argonaut Gold Inc. Options Dahl, Barry 5 12/31/2012 51 4.48 48,565 -10,013 Armtec Infrastructure Inc. Common Shares Boutcher, Carrie 5 1/7/2013 46 2.36 4,980 349 Armtec Infrastructure Inc. Common Shares Cameron, Donald W. 4 1/2/2013 10 2.34 12,500 2,500 Armtec Infrastructure Inc. Common Shares Cameron, Donald W. 4 1/2/2013 10 2.33 15,000 2,500 Armtec Infrastructure Inc. Common Shares Cameron, Donald W. 4 1/2/2013 10 2.3 17,500 2,500 Armtec Infrastructure Inc. Common Shares Kissick, Lisa 5 1/7/2013 46 2.36 17,029 317 Armtec Infrastructure Inc. Common Shares Lespérance, Yvon Joseph
Maurice Gérard 5 1/7/2013 46 2.36 4,051 228
Armtec Infrastructure Inc. Common Shares Pinks, Gregory 5 1/7/2013 46 2.36 2,971 338
Insider Reporting
January 17, 2013
(2013) 36 OSCB 832
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Armtec Infrastructure Inc. Common Shares Young, Kevin 5 1/7/2013 46 2.36 25,851 751 Arsenal Energy Inc. Common Shares Forth, Ronald Francis Carter 5 1/10/2013 30 0.57 1,450,806 45,407
Arsenal Energy Inc. Common Shares LAWRENCE, JOHN PAUL 5 12/31/2012 30 0.566 235,856 35,409
Arsenal Energy Inc. Common Shares LAWRENCE, JOHN PAUL 5 12/31/2012 30 0.566 224,599 11,362
Arsenal Energy Inc. Common Shares Mitchell, Bruce 3 1/8/2013 10 0.52 18,009,090 50,000 Arsenal Energy Inc. Common Shares Mitchell, Bruce 3 1/9/2013 10 0.5253 18,152,090 143,000 Arsenal Energy Inc. Common Shares Nolte, Leo John 5 1/10/2013 30 0.57 108,530 45,405 Arsenal Energy Inc. Common Shares Petrie, Derek 4 1/8/2013 10 0.52 898,000 25,000 Arsenal Energy Inc. Common Shares Sawatzky, Kent Lambert 5 1/24/2011 00 Arsenal Energy Inc. Common Shares Sawatzky, Kent Lambert 5 1/8/2013 10 0.52 13,500 13,500 Arsenal Energy Inc. Common Shares Sawatzky, Kent Lambert 5 12/31/2012 30 0.57 210,489 45,796 Arsenal Energy Inc. Common Shares Taylor, Gjoa 5 1/10/2013 30 0.57 226,739 45,403 Arsenal Energy Inc. Common Shares van Winkoop, Anthony
Robert 5 1/1/2012 30 0.56 4,214,357 52,437
Ashburton Ventures Inc. Common Shares England, Michael Bruno John Franz
4 1/8/2013 10 0.05 1,164,230 26,000
Ateba Resources Inc. Options Jobin-Bevans, Laurence Scott
4 1/11/2013 50 0.05 400,000 200,000
Athabasca Oil Corporation Common Shares Harding, Jason Robert 5 1/8/2013 10 10.86 200,917 -20,000 Athabasca Oil Corporation Restricted Share Units Harding, Jason Robert 5 1/8/2013 10 10.9 46,650 -2,550 Atlantic Power Corporation Common Shares Duncan, Richard Foster 4 12/31/2012 10 11.319 1,700 200
Atlantic Power Corporation Deferred Share Units Duncan, Richard Foster 4 12/31/2012 56 4,279 1,855
Atlantic Power Corporation Deferred Share Units Gerstein, Irving 4 11/18/2004 00
Atlantic Power Corporation Deferred Share Units Gerstein, Irving 4 11/18/2004 00
Atlantic Power Corporation Deferred Share Units Gerstein, Irving 4 11/18/2004 00
Atlantic Power Corporation Deferred Share Units Gerstein, Irving 4 12/31/2012 56 863 863
Atlantic Power Corporation Deferred Share Units HARTWICK, KENNETH 4 12/31/2012 56 64,498 2,146
Atlantic Power Corporation Deferred Share Units McNeil, John Alexander 4 11/18/2004 00
Atlantic Power Corporation Deferred Share Units McNeil, John Alexander 4 12/31/2012 56 863 863
Atlantic Power Corporation Deferred Share Units Nichols, Holli 4 12/31/2012 56 8,109 1,898
Atna Resources Ltd. Options Saint Don, Daniel 1 1/7/2013 00 300,000 Atrium Innovations Inc. Common Shares Atrium Innovations inc. 1 12/24/2012 38 11.45 1,000 1,000 Atrium Innovations Inc. Common Shares Atrium Innovations inc. 1 12/24/2012 38 11.48 1,042 42 Atrium Innovations Inc. Common Shares Atrium Innovations inc. 1 12/24/2012 38 11.5 3,642 2,600 Atrium Innovations Inc. Common Shares Atrium Innovations inc. 1 12/24/2012 38 11.51 5,242 1,600 Atrium Innovations Inc. Common Shares Atrium Innovations inc. 1 12/27/2012 38 11.45 6,242 1,000 Atrium Innovations Inc. Common Shares Atrium Innovations inc. 1 12/27/2012 38 11.48 6,442 200 Atrium Innovations Inc. Common Shares Atrium Innovations inc. 1 12/27/2012 38 11.5 7,942 1,500 Atrium Innovations Inc. Common Shares Atrium Innovations inc. 1 12/27/2012 38 11.53 8,442 500 Atrium Innovations Inc. Common Shares Atrium Innovations inc. 1 12/28/2012 38 11.45 9,442 1,000 Atrium Innovations Inc. Common Shares Blanchette, Annie 5 5/14/2012 00 Atrium Innovations Inc. Common Shares Blanchette, Annie 5 12/31/2012 30 11.65 121 121 Atrium Innovations Inc. Common Shares Fitzgibbon, Pierre 4, 5 12/31/2012 30 11.65 51,229 106 Atrium Innovations Inc. Common Shares Fortino, Carmen 5 12/31/2012 30 11.65 5,292 292 Atrium Innovations Inc. Common Shares Paradis, Mario 5 12/31/2012 30 11.65 27,602 102 Atrium Innovations Inc. Common Shares Torralbo, David 5 9/6/2011 00 Atrium Innovations Inc. Common Shares Torralbo, David 5 12/31/2012 30 11.65 200 200 Atrium Innovations Inc. Common Shares Yelle, Serge 5 12/31/2012 30 11.65 70,137 137 Augusta Industries Inc. (formerly Fiber Optic Systems Technology, Inc.)
Common Shares LONE, ALLEN 3, 4, 6, 5 1/3/2013 10 0.04 1,818,000 1,000
Augusta Industries Inc. (formerly Fiber Optic Systems Technology, Inc.)
Common Shares LONE, ALLEN 3, 4, 6, 5 1/4/2013 10 0.04 1,823,000 5,000
Augusta Industries Inc. (formerly Fiber Optic Systems Technology, Inc.)
Common Shares LONE, ALLEN 3, 4, 6, 5 1/4/2013 10 0.035 1,824,000 1,000
Aura Minerals Inc. Options Ahlenius, Nils Agne 7 1/2/2013 50 350,000 150,000 Aura Minerals Inc. Options Bannantine, James Martin 4 1/2/2013 50 1,200,000 700,000
Aura Minerals Inc. Options Butcher, Bruce Laird 5 1/2/2013 50 497,857 170,000
Insider Reporting
January 17, 2013
(2013) 36 OSCB 833
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Aura Minerals Inc. Options Goodman, Ryan 5 1/2/2013 50 320,000 170,000 Aura Minerals Inc. Options Harris-Lowe, Darryl 5 1/2/2013 50 662,857 250,000 Aura Minerals Inc. Options Hepworth, Neil 5 1/10/2010 50 300,000 300,000 Aura Minerals Inc. Options Hepworth, Neil 5 1/6/2012 50 765,714 165,714 Aura Minerals Inc. Options Hepworth, Neil 5 1/2/2013 50 1,115,714 350,000 Aura Minerals Inc. Restricted Share Awards Hepworth, Neil 5 12/3/2010 00
Aura Minerals Inc. Restricted Share Awards Hepworth, Neil 5 4/11/2012 56 25,532 25,532
Aura Minerals Inc. Options Keith, Stephen 4 1/2/2013 50 0.3 200,000 Aura Minerals Inc. Options Keith, Stephen 4 1/2/2013 50 0.3 560,000 200,000 Aura Minerals Inc. Options Martin, Elizabeth Ann 4 1/2/2013 50 0.3 1,035,000 200,000 Aura Minerals Inc. Options Murray, William 4 7/19/2012 52 705,000 -260,000 Aura Minerals Inc. Options Murray, William 4 1/2/2013 50 0.3 905,000 200,000 Aura Minerals Inc. Options Ogryzlo, Charles Thomas 4 1/2/2013 50 985,000 200,000 Aura Minerals Inc. Options Penha, Alexandre Augusto
Nogueira 5 10/4/2012 00
Aura Minerals Inc. Options Penha, Alexandre Augusto Nogueira
5 12/14/2012 50 0.32 80,000 80,000
Aura Minerals Inc. Options Penha, Alexandre Augusto Nogueira
5 1/2/2013 50 0.3 200,000 120,000
Aura Minerals Inc. Options Reed, Monty 7 1/2/2013 50 564,286 350,000 Aura Minerals Inc. Options Rios, Gonzalo 5 1/2/2013 50 540,857 170,000 Aura Minerals Inc. Options Stalker, John 4 1/3/2012 00 Aura Minerals Inc. Options Stalker, John 4 1/6/2012 50 260,000 260,000 Aura Minerals Inc. Options Stalker, John 4 1/2/2013 50 460,000 200,000 Aura Minerals Inc. Options Taylor, Rory James 5 1/2/2013 50 410,000 250,000 Aura Minerals Inc. Options Tweed, Dale Murray 5 1/2/2013 50 594,286 210,000 Aureus Mining Inc. Options White, Martin 5 11/7/2012 52 0 -380,000 Aurvista Gold Corporation Common Shares Johnston, David Ian 5 7/29/2011 00 Aurvista Gold Corporation Common Shares Johnston, David Ian 5 7/29/2011 00 Aurvista Gold Corporation Common Shares Johnston, David Ian 5 12/21/2012 16 0.3 116,666 116,666 Automodular Corporation (formerly Algonquin Mercantile)
Common Shares Automodular Corporation 1 12/21/2012 38 1.99 20,411,764 18,085
Automodular Corporation (formerly Algonquin Mercantile)
Common Shares Automodular Corporation 1 12/21/2012 38 1.99 20,393,679 -18,085
Avanti Mining Inc. Common Shares Nelsen, Craig Joseph 3 1/11/2013 10 0.11 16,153,850 100,000 Avanti Mining Inc. Common Shares Premo, Mark 5 1/8/2013 10 0.102 8,000 Avanti Mining Inc. Common Shares Premo, Mark 5 1/8/2013 10 0.102 8,500 Avanti Mining Inc. Common Shares Premo, Mark 5 1/8/2013 10 0.102 445,000 8,500 Avanti Mining Inc. Common Shares Premo, Mark 5 1/8/2013 10 0.098 75,000 Avanti Mining Inc. Common Shares Premo, Mark 5 1/8/2013 10 0.098 74,000 Avanti Mining Inc. Common Shares Premo, Mark 5 1/8/2013 10 0.098 519,000 74,000 Aveda Transportation and Energy Services Inc.(formerly Phoenix Oilfield Hauling Inc.)
Common Shares Mahajan, Bharat 5 1/7/2013 10 1.7 16,464 3,265
Aveda Transportation and Energy Services Inc.(formerly Phoenix Oilfield Hauling Inc.)
Common Shares SHELLEY, PAUL H. 4 1/7/2013 10 1.6 4,400 400
Axios Mobile Assets Corp. Common Shares Bausch, Charles Dennis 4 1/7/2013 11 0.33 175,909 90,909
Azimuth Resources Limited Common Shares Hunt, Michael 4 1/3/2013 10 0.2483 1,100,270 100,000
Azimuth Resources Limited Common Shares Hunt, Michael 4 1/4/2013 10 0.2483 1,200,000 99,730
BacTech Environmental Corporation
Common Shares Orr, Murray Ross 7 1/8/2013 10 0.1 959,000 3,000
Bank of Montreal Common Shares Flynn, Thomas Earl 7 12/31/2008 30 43.537 944 Bank of Montreal Common Shares Flynn, Thomas Earl 7 12/31/2008 30 43.537 2,947 944 Bank of Montreal Common Shares Saucier, Guylaine 4 1/4/2013 51 43.25 9,500 3,000 Bank of Montreal Common Shares Saucier, Guylaine 4 1/4/2013 10 61.61 12,500 3,000 Bank of Montreal Options Saucier, Guylaine 4 1/4/2013 51 43.25 -3,000 -3,000 Bank of Nova Scotia, The Common Shares Pitfield, Robert Hartland 5 1/7/2013 51 31.45 34,528 34,528 Bank of Nova Scotia, The Common Shares Pitfield, Robert Hartland 5 1/7/2013 10 57.207 0 -34,528 Bank of Nova Scotia, The Common Shares Pitfield, Robert Hartland 5 1/7/2013 51 39 38,460 38,460 Bank of Nova Scotia, The Common Shares Pitfield, Robert Hartland 5 1/7/2013 10 57.207 0 -38,460 Bank of Nova Scotia, The Common Shares Pitfield, Robert Hartland 5 1/7/2013 51 46.02 39,340 39,340 Bank of Nova Scotia, The Common Shares Pitfield, Robert Hartland 5 1/7/2013 10 57.207 0 -39,340 Bank of Nova Scotia, The Common Shares Pitfield, Robert Hartland 5 1/7/2013 51 52 48,076 48,076 Bank of Nova Scotia, The Common Shares Pitfield, Robert Hartland 5 1/7/2013 10 57.207 0 -48,076
Insider Reporting
January 17, 2013
(2013) 36 OSCB 834
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Bank of Nova Scotia, The Common Shares Pitfield, Robert Hartland 5 1/7/2013 51 52.57 69,352 69,352 Bank of Nova Scotia, The Common Shares Pitfield, Robert Hartland 5 1/7/2013 10 57.207 0 -69,352 Bank of Nova Scotia, The Options Pitfield, Robert Hartland 5 1/7/2013 51 711,136 -34,528 Bank of Nova Scotia, The Options Pitfield, Robert Hartland 5 1/7/2013 51 672,676 -38,460 Bank of Nova Scotia, The Options Pitfield, Robert Hartland 5 1/7/2013 51 633,336 -39,340 Bank of Nova Scotia, The Options Pitfield, Robert Hartland 5 1/7/2013 51 585,260 -48,076 Bank of Nova Scotia, The Options Pitfield, Robert Hartland 5 1/7/2013 51 515,908 -69,352 Bankers Petroleum Ltd. Common Shares Brown, Eric 4 1/9/2013 10 2.98 31,572 -5,000 Barisan Gold Corporation Common Shares Dyczkowski, Karen 5 1/11/2013 10 0.09 57,625 11,000 Barisan Gold Corporation Common Shares Nayyar, Michael 5 1/3/2013 10 0.1 102,500 21,000 Barrick Gold Corporation Common Shares Al-Joundi, Ammar 5 7/25/2012 00 Barrick Gold Corporation Common Shares Al-Joundi, Ammar 5 12/31/2012 30 464 464 Barrick Gold Corporation Rights Restricted Share
Units (cash settled) Al-Joundi, Ammar 5 12/31/2012 30 39.73 26,648 278
Barrick Gold Corporation Rights Restricted Share Units (cash settled)
Calo, Guillermo Enrique 5 12/31/2012 30 39.73 9,593 100
Barrick Gold Corporation Rights Performance Restricted Share Units (cash settled)
Dushnisky, Kelvin Paul Michael
5 12/21/2012 59 33.41 -10,330
Barrick Gold Corporation Rights Performance Restricted Share Units (cash settled)
Dushnisky, Kelvin Paul Michael
5 12/21/2012 59 33.41 24,293 -10,330
Barrick Gold Corporation Rights Performance Restricted Share Units (cash settled)
Dushnisky, Kelvin Paul Michael
5 12/31/2012 30 39.73 24,958 665
Barrick Gold Corporation Rights Restricted Share Units (cash settled)
Dushnisky, Kelvin Paul Michael
5 12/31/2012 30 39.73 65,282 1,104
Barrick Gold Corporation Rights Performance Restricted Share Units (cash settled)
Feehan, Michael Thomas 5 12/31/2012 30 39.73 2,093 39
Barrick Gold Corporation Rights Restricted Share Units (cash settled)
Feehan, Michael Thomas 5 12/31/2012 30 39.73 20,831 393
Barrick Gold Corporation Rights Restricted Share Units (cash settled)
Fisher, Mark Warren 5 12/31/2012 30 39.73 18,347 106
Barrick Gold Corporation Rights Performance Restricted Share Units (cash settled)
Gonzales, Igor 5 12/21/2012 59 33.41 -2,729
Barrick Gold Corporation Rights Performance Restricted Share Units (cash settled)
Gonzales, Igor 5 12/21/2012 59 33.41 5,256 -2,729
Barrick Gold Corporation Rights Performance Restricted Share Units (cash settled)
Gonzales, Igor 5 12/31/2012 30 39.73 5,408 152
Barrick Gold Corporation Rights Restricted Share Units (cash settled)
Gonzales, Igor 5 12/31/2012 30 39.73 30,890 541
Barrick Gold Corporation Rights Performance Restricted Share Units (cash settled)
Halverson, Gary Bernard 5 12/21/2012 59 33.41 -2,796
Barrick Gold Corporation Rights Performance Restricted Share Units (cash settled)
Halverson, Gary Bernard 5 12/21/2012 59 33.41 6,673 -2,796
Barrick Gold Corporation Rights Performance Restricted Share Units (cash settled)
Halverson, Gary Bernard 5 12/31/2012 30 39.73 6,855 182
Barrick Gold Corporation Rights Restricted Share Units (cash settled)
Halverson, Gary Bernard 5 12/31/2012 30 39.73 26,767 506
Barrick Gold Corporation Rights Performance Restricted Share Units (cash settled)
Krcmarov, Robert Ljubomir 5 12/21/2012 59 33.41 -4,025
Barrick Gold Corporation Rights Performance Restricted Share Units (cash settled)
Krcmarov, Robert Ljubomir 5 12/21/2012 59 33.41 7,727 -4,025
Barrick Gold Corporation Rights Performance Restricted Share Units (cash settled)
Krcmarov, Robert Ljubomir 5 12/31/2012 30 39.73 7,952 225
Barrick Gold Corporation Rights Restricted Share Units (cash settled)
Krcmarov, Robert Ljubomir 5 12/31/2012 30 39.73 7,952 150
Barrick Gold Corporation Rights Restricted Share Units (cash settled)
Munk, Peter 4, 5 12/31/2012 30 39.73 79,792 1,509
Barrick Gold Corporation Rights Performance Restricted Share Units (cash settled)
Ritz, Donald David 5 12/21/2012 59 33.41 -3,612
Insider Reporting
January 17, 2013
(2013) 36 OSCB 835
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Barrick Gold Corporation Rights Performance Restricted Share Units (cash settled)
Ritz, Donald David 5 12/21/2012 59 33.41 8,347 -3,612
Barrick Gold Corporation Common Shares Sokalsky, Jamie Calvin 4, 5 12/31/2012 30 2,718 678 Barrick Gold Corporation Rights Performance
Restricted Share Units (cash settled)
Sokalsky, Jamie Calvin 4, 5 12/21/2012 59 33.41 -16,659
Barrick Gold Corporation Rights Performance Restricted Share Units (cash settled)
Sokalsky, Jamie Calvin 4, 5 12/21/2012 59 33.41 27,913 -16,659
Barrick Gold Corporation Rights Performance Restricted Share Units (cash settled)
Sokalsky, Jamie Calvin 4, 5 12/31/2012 30 39.73 28,771 858
Barrick Gold Corporation Rights Restricted Share Units (cash settled)
Sokalsky, Jamie Calvin 4, 5 12/31/2012 30 39.73 65,783 931
Batero Gold Corp. Common Shares Navarro Grau Dyer, Michelle Maria
3 1/4/2013 36 13,388,000 6,152,000
Batero Gold Corp. Subscription Rights Subscription Receipts
Navarro Grau Dyer, Michelle Maria
3 1/4/2013 36 0 -6,152,000
Batero Gold Corp. Warrants Navarro Grau Dyer, Michelle Maria
3 1/4/2013 36 3,166,668 1,666,668
Batero Gold Corp. Common Shares Navarro Grau Dyer, Rafael Rafael
3 1/4/2013 36 9,123,000 6,152,000
Batero Gold Corp. Subscription Rights Subscription Receipts
Navarro Grau Dyer, Rafael Rafael
3 1/4/2013 36 0 -6,152,000
Batero Gold Corp. Warrants Navarro Grau Dyer, Rafael Rafael
3 11/29/2012 00
Batero Gold Corp. Warrants Navarro Grau Dyer, Rafael Rafael
3 1/4/2013 36 1,666,666 1,666,666
Batero Gold Corp. Common Shares Navarro Grau Dyer, Thessa Maria
3 1/4/2013 36 9,123,000 6,152,000
Batero Gold Corp. Subscription Rights Subscription Receipts
Navarro Grau Dyer, Thessa Maria
3 1/4/2013 36 0 -6,152,000
Batero Gold Corp. Warrants Navarro Grau Dyer, Thessa Maria
3 11/29/2012 00
Batero Gold Corp. Warrants Navarro Grau Dyer, Thessa Maria
3 1/4/2013 36 1,666,666 1,666,666
BCGold Corp. Warrants Elliott, David Brian 3 1/8/2013 16 807,600 33,600 Beatrix Ventures Inc. Common Shares beukman, eugene 4, 5 1/10/2013 90 1,510,125 -150,000 Beatrix Ventures Inc. Common Shares beukman, eugene 4, 5 1/10/2013 90 212,025 150,000 Beaufield Resources Inc. Common Shares MacLatchy, John 4 3/28/2011 00 Beaufield Resources Inc. Common Shares MacLatchy, John 4 1/8/2013 10 0.115 5,000 5,000 Bellatrix Exploration Ltd. Deferred Share Units Johnson, Robert Anthony 4 12/31/2012 56 4.23 70,697 3,073 Bengal Energy Ltd. Common Shares Wheeler, William Ball 4 1/3/2013 10 0.56 1,599,900 100,000 Bengal Energy Ltd. Common Shares Wheeler, William Ball 4 1/4/2013 10 0.53 1,620,400 20,500 Bengal Energy Ltd. Common Shares Wheeler, William Ball 4 1/8/2013 10 0.53 1,637,900 17,500 Bengal Energy Ltd. Common Shares Wheeler, William Ball 4 1/8/2013 10 0.55 1,640,400 2,500 Benton Capital Corp. Common Shares 1313366 Ontario Inc. 3 12/21/2012 00 9,155,500 Benton Capital Corp. Common Shares Stares, Stephen 4 1/11/2013 10 0.07 812,750 7,000 Benton Resources Inc. Common Shares 1313366 Ontario Inc. 3 12/21/2012 00 9,009,000 Benton Resources Inc. Common Shares Benton Resources Inc. 1 12/19/2012 38 -590,500 Benton Resources Inc. Common Shares Benton Resources Inc. 1 1/7/2013 38 0 -590,500 Benton Resources Inc. Common Shares Stares, Stephen 4 1/11/2013 10 0.09 295,750 10,000 Benton Resources Inc. Common Shares Stares, Stephen 4 1/11/2013 10 0.1 305,750 10,000 Besra Gold Inc. Options Barclay, Charles Alexander
Fordyce 5 1/1/2013 52 0.4 1,786,394 -426,000
Besra Gold Inc. Common Shares Lee, Darin Michael 5 1/8/2013 10 0.21 75,500 10,500 Besra Gold Inc. Options Tiedemann, Peter 5 1/1/2013 52 0.4 640,351 -426,000 BIOTEQ ENVIRONMENTAL TECHNOLOGIES INC.
Options Sifton, Ronald Les 4 1/2/2013 50 0.15 400,000 100,000
BIOTEQ ENVIRONMENTAL TECHNOLOGIES INC.
Common Shares Wilkinson, Jonathan 4, 5 1/10/2013 10 0.16 59,000 20,500
BIOTEQ ENVIRONMENTAL TECHNOLOGIES INC.
Common Shares Wilkinson, Jonathan 4, 5 1/10/2013 10 0.165 69,500 10,500
Birchcliff Energy Ltd. Common Shares Tonken, Aaron Jeffery 4, 5 1/9/2013 10 7.09 983,440 700 Birchcliff Energy Ltd. Common Shares Tonken, Aaron Jeffery 4, 5 1/9/2013 10 7.1 986,040 2,600 Bird River Resources Inc. Common Shares Shodine, Shane 4 1/7/2013 10 0.05 192,000 2,000 Bird River Resources Inc. Common Shares Shodine, Shane 4 1/8/2013 10 0.05 194,000 2,000 Bird River Resources Inc. Common Shares Shodine, Shane 4 1/8/2013 10 0.05 195,000 1,000
Insider Reporting
January 17, 2013
(2013) 36 OSCB 836
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Bird River Resources Inc. Common Shares Shodine, Shane 4 1/9/2013 10 0.05 205,000 10,000 Black Diamond Group Limited
Common Shares Brown, David Walter Edward 5 6/4/2012 00
Black Diamond Group Limited
Common Shares Brown, David Walter Edward 5 1/4/2013 10 950 950
Black Diamond Group Limited
Common Shares CLARK, GLEN ALAN 5 1/4/2013 51 358,788 20,000
Black Diamond Group Limited
Common Shares CLARK, GLEN ALAN 5 1/4/2013 10 338,788 -20,000
Black Diamond Group Limited
Options CLARK, GLEN ALAN 5 1/4/2013 51 9.81 213,334 -20,000
Black Diamond Group Limited
Common Shares deRosenroll, Rodney Paul 5 1/8/2013 51 70,331 20,000
Black Diamond Group Limited
Common Shares deRosenroll, Rodney Paul 5 1/8/2013 51 86,997 16,666
Black Diamond Group Limited
Common Shares deRosenroll, Rodney Paul 5 1/8/2013 10 82,297 -4,700
Black Diamond Group Limited
Common Shares deRosenroll, Rodney Paul 5 1/9/2013 10 64,097 -18,200
Black Diamond Group Limited
Options deRosenroll, Rodney Paul 5 1/8/2013 50 230,000 -20,000
Black Diamond Group Limited
Options deRosenroll, Rodney Paul 5 1/8/2013 51 213,334 -16,666
Black Diamond Group Limited
Common Shares Haynes, Trevor 4, 5 1/7/2013 51 1,539,436 10,000
Black Diamond Group Limited
Options Haynes, Trevor 4, 5 1/7/2013 51 670,000 -10,000
Black Diamond Group Limited
Common Shares Klukas, Harry Henry 5 1/9/2013 10 21.4 64,400 -3,600
Black Diamond Group Limited
Common Shares Klukas, Harry Henry 5 1/11/2013 51 114,400 50,000
Black Diamond Group Limited
Options Klukas, Harry Henry 5 1/11/2013 51 471,000 -50,000
Bloom Select Income Fund Units Bloom-Somer, Adina 4, 5 8/15/2012 30 9.15 2,009 9
Bloom Select Income Fund Units Bloom-Somer, Adina 4, 5 9/17/2012 30 9.24 2,018 9
Bloom Select Income Fund Units Bloom-Somer, Adina 4, 5 10/15/2012 30 9.3 2,027 9
Bloom Select Income Fund Units Bloom-Somer, Adina 4, 5 11/15/2012 30 9.26 2,036 9
Bloom Select Income Fund Units Bloom-Somer, Adina 4, 5 12/17/2012 30 9.04 2,045 9
Bloom Select Income Fund Units Bloom, Malcolm Paul 4, 5 8/15/2012 30 9.15 100,227 227
Bloom Select Income Fund Units Bloom, Malcolm Paul 4, 5 8/15/2012 30 9.15 100,454 227
Bloom Select Income Fund Units Bloom, Malcolm Paul 4, 5 9/17/2012 30 9.25 100,680 226
Bloom Select Income Fund Units Bloom, Malcolm Paul 4, 5 9/17/2012 30 9.25 100,906 226
Bloom Select Income Fund Units Bloom, Malcolm Paul 4, 5 10/15/2012 30 9.3 101,131 225
Bloom Select Income Fund Units Bloom, Malcolm Paul 4, 5 10/15/2012 30 9.3 101,356 225
Bloom Select Income Fund Units Bloom, Malcolm Paul 4, 5 11/15/2012 30 9.26 101,583 227
Bloom Select Income Fund Units Bloom, Malcolm Paul 4, 5 11/15/2012 30 9.26 101,810 227
Bloom Select Income Fund Units Bloom, Malcolm Paul 4, 5 12/17/2012 30 9.04 102,044 234
Bloom Select Income Fund Units Bloom, Malcolm Paul 4, 5 12/17/2012 30 9.04 102,278 234
BMTC Group Inc. Multiple Voting Shares Des Groseillers, Yves 4, 6, 7, 5 1/7/2013 36 1,050,000 -50,000 BMTC Group Inc. Subordinate Voting Shares Des Groseillers, Yves 4, 6, 7, 5 1/7/2013 36 20,103,616 50,000
BMTC Group Inc. Subordinate Voting Shares Labrecque, Michel 7 1/10/2013 97 14 61,479 4,285
BMTC Group Inc. Subordinate Voting Shares Tanguay, Jacques 7 1/10/2013 97 14 52,745 4,285
Boardwalk Real Estate Investment Trust
Deferred Units (Convert to TU and/or cash)
Brimmell, Jonathan David 5 1/8/2013 30 63.77 10,764 762
Insider Reporting
January 17, 2013
(2013) 36 OSCB 837
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Boardwalk Real Estate Investment Trust
Deferred Units (Convert to TU and/or cash)
Burns, Patrick Dean 5 1/8/2013 30 63.77 18,680 967
Boardwalk Real Estate Investment Trust
Deferred Units (Convert to TU and/or cash)
Chidley, William Glenn 5 1/8/2013 30 63.77 25,927 1,296
Boardwalk Real Estate Investment Trust
Deferred Units (Convert to TU and/or cash)
Denis, Jean 5 1/8/2013 30 63.77 15,959 786
Boardwalk Real Estate Investment Trust
Deferred Units (Convert to TU and/or cash)
DEWALD, James Richard 4 1/8/2013 30 63.77 9,735 188
Boardwalk Real Estate Investment Trust
Deferred Units (Convert to TU and/or cash)
Dingle, Ian Peter 5 1/8/2013 30 63.77 6,022 541
Boardwalk Real Estate Investment Trust
Deferred Units (Convert to TU and/or cash)
GEREMIA, ROBERTO 5 1/8/2013 30 63.77 33,637 1,690
Boardwalk Real Estate Investment Trust
Deferred Units (Convert to TU and/or cash)
Goodman, Gary Michael 4 1/8/2013 30 63.77 8,930 251
Boardwalk Real Estate Investment Trust
Deferred Units (Convert to TU and/or cash)
Guyette, Michael 5 1/8/2013 30 63.77 7,026 327
Boardwalk Real Estate Investment Trust
Deferred Units (Convert to TU and/or cash)
Havener, Jr., Arthur Lee 4 1/8/2013 30 63.77 10,999 345
Boardwalk Real Estate Investment Trust
Deferred Units (Convert to TU and/or cash)
Mahajan, Kelly Kulwant 5 1/8/2013 30 63.77 4,221 506
Boardwalk Real Estate Investment Trust
Deferred Units (Convert to TU and/or cash)
Mawani, Al 4 1/8/2013 30 63.77 10,907 251
Boardwalk Real Estate Investment Trust
Deferred Units (Convert to TU and/or cash)
Mix, Helen May 5 1/8/2013 30 63.77 11,478 721
Boardwalk Real Estate Investment Trust
Deferred Units (Convert to TU and/or cash)
Russell, Lisa Maureen 5 1/8/2013 30 63.77 12,806 721
Boardwalk Real Estate Investment Trust
Deferred Units (Convert to TU and/or cash)
Stephen, Andrea 4 1/8/2013 30 63.77 1,109 345
Boardwalk Real Estate Investment Trust
Deferred Units (Convert to TU and/or cash)
Wong, William 5 1/8/2013 30 63.77 19,856 1,067
Boardwalk Real Estate Investment Trust
Deferred Units (Convert to TU and/or cash)
Zigomanis, William 5 1/8/2013 30 63.77 7,874 658
Bombardier Inc. Deferred Stock Units/Unités d'actions différées
Beaudoin, Laurent 4, 5 1/7/2013 56 1,603,772 10,901
Bombardier Inc. Deferred Stock Units/Unités d'actions différées
Bérard, André 4 1/7/2013 56 355,682 14,825
Bombardier Inc. Deferred Stock Units/Unités d'actions différées
Bissonnette, Joanne 4 1/7/2013 56 30,271 10,265
Bombardier Inc. Deferred Stock Units/Unités d'actions différées
Bombardier, J.R. André 3, 4, 5 1/7/2013 56 186,255 11,326
Bombardier Inc. Deferred Stock Units/Unités d'actions différées
Brooks, Martha 4 1/7/2013 56 133,688 12,310
Bombardier Inc. Deferred Stock Units/Unités d'actions différées
Desautels, L. Denis 4 1/7/2013 56 166,556 6,162
Bombardier Inc. Deferred Stock Units/Unités d'actions différées
DESMAREST, THIERRY 4 1/7/2013 56 110,114 10,808
Bombardier Inc. Deferred Stock Units/Unités d'actions différées
Fontaine, Jean-Louis 4, 5 1/7/2013 56 184,646 11,315
Bombardier Inc. Deferred Stock Units/Unités d'actions différées
Fraser, Sheila Sarah Margaret
4 1/7/2013 56 30,948 10,606
Bombardier Inc. Deferred Stock Units/Unités d'actions différées
Johnson, Daniel 4 1/7/2013 56 146,384 6,025
Bombardier Inc. Deferred Stock Units/Unités d'actions différées
Monty, Jean Claude 4 1/7/2013 56 367,248 13,562
Bombardier Inc. Deferred Stock Units/Unités d'actions différées
Represas, Carlos 4 1/7/2013 56 195,358 6,357
Bombardier Inc. Deferred Stock Units/Unités d'actions différées
Rosso, Jean-Pierre 4 1/7/2013 56 255,401 13,473
Bombardier Inc. Deferred Stock Units/Unités d'actions différées
Weiss, Heinrich 4 1/7/2013 56 290,148 12,368
Insider Reporting
January 17, 2013
(2013) 36 OSCB 838
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Bonavista Energy Corporation
Common Shares Brown, Ian Stephen 4 12/31/2012 57 14.29 486
Bonavista Energy Corporation
Common Shares Brown, Ian Stephen 4 12/31/2012 57 14.29 486
Bonavista Energy Corporation
Common Shares Brown, Ian Stephen 4 12/31/2012 57 14.29 486
Bonavista Energy Corporation
Restricted Share Units (RSU)
Brown, Ian Stephen 4 12/31/2012 57 14.29 -600
Bonavista Energy Corporation
Restricted Share Units (RSU)
Brown, Ian Stephen 4 12/31/2012 57 14.29 -600
Bonavista Energy Corporation
Common Shares Hamilton, Glenn A. 5 1/1/2013 58 - Expiration
of rights
14.35 611
Bonavista Energy Corporation
Common Shares Hamilton, Glenn A. 5 1/1/2013 58 - Expiration
of rights
14.35 611
Bonavista Energy Corporation
Common Shares Hamilton, Glenn A. 5 1/1/2013 58 - Expiration
of rights
14.35 611
Bonavista Energy Corporation
Common Shares Hamilton, Glenn A. 5 1/3/2013 58 - Expiration
of rights
14.58 1,182
Bonavista Energy Corporation
Common Shares Hamilton, Glenn A. 5 1/3/2013 58 - Expiration
of rights
14.58 1,182
Bonavista Energy Corporation
Common Shares Hamilton, Glenn A. 5 1/3/2013 58 - Expiration
of rights
14.58 1,182
Bonavista Energy Corporation
Restricted Share Awards (RSA)
Hamilton, Glenn A. 5 1/1/2013 58 - Expiration
of rights
14.35 -834
Bonavista Energy Corporation
Restricted Share Awards (RSA)
Hamilton, Glenn A. 5 1/1/2013 58 - Expiration
of rights
14.35 -834
Bonavista Energy Corporation
Restricted Share Awards (RSA)
Hamilton, Glenn A. 5 1/1/2013 58 - Expiration
of rights
14.35 -834
Bonavista Energy Corporation
Restricted Share Awards (RSA)
Hamilton, Glenn A. 5 1/3/2013 58 - Expiration
of rights
14.58 -1,763
Insider Reporting
January 17, 2013
(2013) 36 OSCB 839
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Bonavista Energy Corporation
Restricted Share Awards (RSA)
Hamilton, Glenn A. 5 1/3/2013 58 - Expiration
of rights
14.58 -1,763
Bonavista Energy Corporation
Restricted Share Awards (RSA)
Hamilton, Glenn A. 5 1/3/2013 58 - Expiration
of rights
14.58 -1,763
Bonavista Energy Corporation
Common Shares Hanson, Scott Harlan 5 1/1/2013 58 - Expiration
of rights
14.35 586
Bonavista Energy Corporation
Common Shares Hanson, Scott Harlan 5 1/1/2013 58 - Expiration
of rights
14.35 586
Bonavista Energy Corporation
Common Shares Hanson, Scott Harlan 5 1/1/2013 58 - Expiration
of rights
14.35 586
Bonavista Energy Corporation
Common Shares Hanson, Scott Harlan 5 1/3/2013 58 - Expiration
of rights
14.58 636
Bonavista Energy Corporation
Common Shares Hanson, Scott Harlan 5 1/3/2013 58 - Expiration
of rights
14.58 636
Bonavista Energy Corporation
Common Shares Hanson, Scott Harlan 5 1/3/2013 58 - Expiration
of rights
14.58 636
Bonavista Energy Corporation
Restricted Share Awards (RSA)
Hanson, Scott Harlan 5 1/1/2013 58 - Expiration
of rights
14.35 -800
Bonavista Energy Corporation
Restricted Share Awards (RSA)
Hanson, Scott Harlan 5 1/1/2013 58 - Expiration
of rights
14.35 -800
Bonavista Energy Corporation
Restricted Share Awards (RSA)
Hanson, Scott Harlan 5 1/1/2013 58 - Expiration
of rights
14.35 -800
Bonavista Energy Corporation
Restricted Share Awards (RSA)
Hanson, Scott Harlan 5 1/3/2013 58 - Expiration
of rights
14.58 -950
Insider Reporting
January 17, 2013
(2013) 36 OSCB 840
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Bonavista Energy Corporation
Restricted Share Awards (RSA)
Hanson, Scott Harlan 5 1/3/2013 58 - Expiration
of rights
14.58 -950
Bonavista Energy Corporation
Restricted Share Awards (RSA)
Hanson, Scott Harlan 5 1/3/2013 58 - Expiration
of rights
14.58 -950
Bonavista Energy Corporation
Common Shares Jensen, Bruce Wayne 5 12/31/2012 58 - Expiration
of rights
14.29 365
Bonavista Energy Corporation
Common Shares Jensen, Bruce Wayne 5 12/31/2012 58 - Expiration
of rights
14.29 365
Bonavista Energy Corporation
Common Shares Jensen, Bruce Wayne 5 12/31/2012 58 - Expiration
of rights
14.29 365
Bonavista Energy Corporation
Common Shares Jensen, Bruce Wayne 5 1/1/2013 58 - Expiration
of rights
14.35 549
Bonavista Energy Corporation
Common Shares Jensen, Bruce Wayne 5 1/1/2013 58 - Expiration
of rights
14.35 549
Bonavista Energy Corporation
Common Shares Jensen, Bruce Wayne 5 1/1/2013 58 - Expiration
of rights
14.35 549
Bonavista Energy Corporation
Common Shares Jensen, Bruce Wayne 5 1/3/2013 58 - Expiration
of rights
14.58 636
Bonavista Energy Corporation
Common Shares Jensen, Bruce Wayne 5 1/3/2013 58 - Expiration
of rights
14.58 636
Bonavista Energy Corporation
Common Shares Jensen, Bruce Wayne 5 1/3/2013 58 - Expiration
of rights
14.58 636
Bonavista Energy Corporation
Restricted Share Awards (RSA)
Jensen, Bruce Wayne 5 1/1/2013 58 - Expiration
of rights
14.35 -750
Insider Reporting
January 17, 2013
(2013) 36 OSCB 841
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Bonavista Energy Corporation
Restricted Share Awards (RSA)
Jensen, Bruce Wayne 5 1/1/2013 58 - Expiration
of rights
14.35 -750
Bonavista Energy Corporation
Restricted Share Awards (RSA)
Jensen, Bruce Wayne 5 1/1/2013 58 - Expiration
of rights
14.35 -750
Bonavista Energy Corporation
Restricted Share Awards (RSA)
Jensen, Bruce Wayne 5 1/3/2013 58 - Expiration
of rights
14.58 -950
Bonavista Energy Corporation
Restricted Share Awards (RSA)
Jensen, Bruce Wayne 5 1/3/2013 58 - Expiration
of rights
14.58 -950
Bonavista Energy Corporation
Restricted Share Awards (RSA)
Jensen, Bruce Wayne 5 1/3/2013 58 - Expiration
of rights
14.58 -950
Bonavista Energy Corporation
Restricted Share Units (RSU)
Jensen, Bruce Wayne 5 12/31/2012 58 - Expiration
of rights
14.29 -450
Bonavista Energy Corporation
Restricted Share Units (RSU)
Jensen, Bruce Wayne 5 12/31/2012 58 - Expiration
of rights
14.29 -450
Bonavista Energy Corporation
Restricted Share Units (RSU)
Jensen, Bruce Wayne 5 12/31/2012 58 - Expiration
of rights
14.29 -450
Bonavista Energy Corporation
Common Shares Kanovsky, Michael Manuel 4 12/31/2012 57 14.29 486
Bonavista Energy Corporation
Common Shares Kanovsky, Michael Manuel 4 12/31/2012 57 14.29 486
Bonavista Energy Corporation
Common Shares Kanovsky, Michael Manuel 4 12/31/2012 57 14.29 486
Bonavista Energy Corporation
Restricted Share Units (RSU)
Kanovsky, Michael Manuel 4 12/31/2012 58 - Expiration
of rights
14.29 -600
Bonavista Energy Corporation
Restricted Share Units (RSU)
Kanovsky, Michael Manuel 4 12/31/2012 58 - Expiration
of rights
14.29 -600
Bonavista Energy Corporation
Restricted Share Units (RSU)
Kanovsky, Michael Manuel 4 12/31/2012 58 - Expiration
of rights
14.29 -600
Insider Reporting
January 17, 2013
(2013) 36 OSCB 842
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Bonavista Energy Corporation
Common Shares Knutson, Harry Louis 4 12/31/2012 57 14.29 486
Bonavista Energy Corporation
Common Shares Knutson, Harry Louis 4 12/31/2012 57 14.29 486
Bonavista Energy Corporation
Common Shares Knutson, Harry Louis 4 12/31/2012 57 14.29 486
Bonavista Energy Corporation
Restricted Share Units (RSU)
Knutson, Harry Louis 4 12/31/2012 58 - Expiration of rights -600
Bonavista Energy Corporation
Restricted Share Units (RSU)
Knutson, Harry Louis 4 12/31/2012 58 - Expiration of rights -600
Bonavista Energy Corporation
Restricted Share Units (RSU)
Knutson, Harry Louis 4 12/31/2012 58 - Expiration of rights -600
Bonavista Energy Corporation
Common Shares Kobelka, Dean Mark 5 1/1/2013 58 - Expiration
of rights
14.35 586
Bonavista Energy Corporation
Common Shares Kobelka, Dean Mark 5 1/1/2013 58 - Expiration
of rights
14.35 586
Bonavista Energy Corporation
Common Shares Kobelka, Dean Mark 5 1/1/2013 58 - Expiration
of rights
14.35 586
Bonavista Energy Corporation
Common Shares Kobelka, Dean Mark 5 1/3/2013 58 - Expiration
of rights
14.58 636
Bonavista Energy Corporation
Common Shares Kobelka, Dean Mark 5 1/3/2013 58 - Expiration
of rights
14.58 636
Bonavista Energy Corporation
Common Shares Kobelka, Dean Mark 5 1/3/2013 58 - Expiration
of rights
14.58 636
Bonavista Energy Corporation
Restricted Share Awards (RSA)
Kobelka, Dean Mark 5 1/1/2013 58 - Expiration
of rights
14.35 -800
Bonavista Energy Corporation
Restricted Share Awards (RSA)
Kobelka, Dean Mark 5 1/1/2013 58 - Expiration
of rights
14.35 -800
Insider Reporting
January 17, 2013
(2013) 36 OSCB 843
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Bonavista Energy Corporation
Restricted Share Awards (RSA)
Kobelka, Dean Mark 5 1/1/2013 58 - Expiration
of rights
14.35 -800
Bonavista Energy Corporation
Restricted Share Awards (RSA)
Kobelka, Dean Mark 5 1/3/2013 58 - Expiration
of rights
14.58 -950
Bonavista Energy Corporation
Restricted Share Awards (RSA)
Kobelka, Dean Mark 5 1/3/2013 58 - Expiration
of rights
14.58 -950
Bonavista Energy Corporation
Restricted Share Awards (RSA)
Kobelka, Dean Mark 5 1/3/2013 58 - Expiration
of rights
14.58 -950
Bonavista Energy Corporation
Common Shares McKenzie, Margaret Anne 4 12/31/2012 57 486
Bonavista Energy Corporation
Common Shares McKenzie, Margaret Anne 4 12/31/2012 57 486
Bonavista Energy Corporation
Common Shares McKenzie, Margaret Anne 4 12/31/2012 57 486
Bonavista Energy Corporation
Restricted Share Units (RSU)
McKenzie, Margaret Anne 4 12/31/2012 57 -600
Bonavista Energy Corporation
Restricted Share Units (RSU)
McKenzie, Margaret Anne 4 12/31/2012 57 -600
Bonavista Energy Corporation
Restricted Share Units (RSU)
McKenzie, Margaret Anne 4 12/31/2012 57 -600
Bonavista Energy Corporation
Common Shares Merkel, Wayne Edward 5 12/31/2012 58 - Expiration
of rights
14.29 365
Bonavista Energy Corporation
Common Shares Merkel, Wayne Edward 5 12/31/2012 58 - Expiration
of rights
14.29 365
Bonavista Energy Corporation
Common Shares Merkel, Wayne Edward 5 12/31/2012 58 - Expiration
of rights
14.29 365
Bonavista Energy Corporation
Common Shares Merkel, Wayne Edward 5 1/1/2013 58 - Expiration
of rights
14.35 549
Bonavista Energy Corporation
Common Shares Merkel, Wayne Edward 5 1/1/2013 58 - Expiration
of rights
14.35 549
Bonavista Energy Corporation
Common Shares Merkel, Wayne Edward 5 1/1/2013 58 - Expiration
of rights
14.35 549
Insider Reporting
January 17, 2013
(2013) 36 OSCB 844
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Bonavista Energy Corporation
Common Shares Merkel, Wayne Edward 5 1/3/2013 58 - Expiration
of rights
14.58 636
Bonavista Energy Corporation
Common Shares Merkel, Wayne Edward 5 1/3/2013 58 - Expiration
of rights
14.58 636
Bonavista Energy Corporation
Common Shares Merkel, Wayne Edward 5 1/3/2013 58 - Expiration
of rights
14.58 636
Bonavista Energy Corporation
Restricted Share Awards (RSA)
Merkel, Wayne Edward 5 1/1/2013 58 - Expiration
of rights
14.35 -750
Bonavista Energy Corporation
Restricted Share Awards (RSA)
Merkel, Wayne Edward 5 1/1/2013 58 - Expiration
of rights
14.35 -750
Bonavista Energy Corporation
Restricted Share Awards (RSA)
Merkel, Wayne Edward 5 1/1/2013 58 - Expiration
of rights
14.35 -750
Bonavista Energy Corporation
Restricted Share Awards (RSA)
Merkel, Wayne Edward 5 1/3/2013 58 - Expiration
of rights
14.58 -950
Bonavista Energy Corporation
Restricted Share Awards (RSA)
Merkel, Wayne Edward 5 1/3/2013 58 - Expiration
of rights
14.58 -950
Bonavista Energy Corporation
Restricted Share Awards (RSA)
Merkel, Wayne Edward 5 1/3/2013 58 - Expiration
of rights
14.58 -950
Bonavista Energy Corporation
Restricted Share Units (RSU)
Merkel, Wayne Edward 5 12/31/2012 58 - Expiration
of rights
14.29 -450
Bonavista Energy Corporation
Restricted Share Units (RSU)
Merkel, Wayne Edward 5 12/31/2012 58 - Expiration
of rights
14.29 -450
Bonavista Energy Corporation
Restricted Share Units (RSU)
Merkel, Wayne Edward 5 12/31/2012 58 - Expiration
of rights
14.29 -450
Insider Reporting
January 17, 2013
(2013) 36 OSCB 845
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Bonavista Energy Corporation
Common Shares Robinson, Lynda Julie 5 1/1/2013 58 - Expiration
of rights
14.35 488
Bonavista Energy Corporation
Common Shares Robinson, Lynda Julie 5 1/1/2013 58 - Expiration
of rights
14.35 488
Bonavista Energy Corporation
Common Shares Robinson, Lynda Julie 5 1/1/2013 58 - Expiration
of rights
14.35 488
Bonavista Energy Corporation
Common Shares Robinson, Lynda Julie 5 1/3/2013 58 - Expiration
of rights
14.58 583
Bonavista Energy Corporation
Common Shares Robinson, Lynda Julie 5 1/3/2013 58 - Expiration
of rights
14.58 583
Bonavista Energy Corporation
Common Shares Robinson, Lynda Julie 5 1/3/2013 58 - Expiration
of rights
14.58 583
Bonavista Energy Corporation
Restricted Share Awards (RSA)
Robinson, Lynda Julie 5 1/1/2013 58 - Expiration
of rights
14.35 -667
Bonavista Energy Corporation
Restricted Share Awards (RSA)
Robinson, Lynda Julie 5 1/1/2013 58 - Expiration
of rights
14.35 -667
Bonavista Energy Corporation
Restricted Share Awards (RSA)
Robinson, Lynda Julie 5 1/1/2013 58 - Expiration
of rights
14.35 -667
Bonavista Energy Corporation
Restricted Share Awards (RSA)
Robinson, Lynda Julie 5 1/3/2013 58 - Expiration
of rights
14.58 -870
Bonavista Energy Corporation
Restricted Share Awards (RSA)
Robinson, Lynda Julie 5 1/3/2013 58 - Expiration
of rights
14.58 -870
Bonavista Energy Corporation
Restricted Share Awards (RSA)
Robinson, Lynda Julie 5 1/3/2013 58 - Expiration
of rights
14.58 -870
Insider Reporting
January 17, 2013
(2013) 36 OSCB 846
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Bonavista Energy Corporation
Common Shares Skehar, Jason Edward 4, 5 1/1/2013 58 - Expiration
of rights
14.35 855
Bonavista Energy Corporation
Common Shares Skehar, Jason Edward 4, 5 1/1/2013 58 - Expiration
of rights
14.35 855
Bonavista Energy Corporation
Common Shares Skehar, Jason Edward 4, 5 1/1/2013 58 - Expiration
of rights
14.35 855
Bonavista Energy Corporation
Common Shares Skehar, Jason Edward 4, 5 1/3/2013 58 - Expiration
of rights
14.58 1,675
Bonavista Energy Corporation
Common Shares Skehar, Jason Edward 4, 5 1/3/2013 58 - Expiration
of rights
14.58 1,675
Bonavista Energy Corporation
Common Shares Skehar, Jason Edward 4, 5 1/3/2013 58 - Expiration
of rights
14.58 1,675
Bonavista Energy Corporation
Restricted Share Awards (RSA)
Skehar, Jason Edward 4, 5 1/1/2013 58 - Expiration
of rights
14.35 -1,167
Bonavista Energy Corporation
Restricted Share Awards (RSA)
Skehar, Jason Edward 4, 5 1/1/2013 58 - Expiration
of rights
14.35 -1,167
Bonavista Energy Corporation
Restricted Share Awards (RSA)
Skehar, Jason Edward 4, 5 1/1/2013 58 - Expiration
of rights
14.35 -1,167
Bonavista Energy Corporation
Restricted Share Awards (RSA)
Skehar, Jason Edward 4, 5 1/3/2013 58 - Expiration
of rights
14.58 -2,500
Bonavista Energy Corporation
Restricted Share Awards (RSA)
Skehar, Jason Edward 4, 5 1/3/2013 58 - Expiration
of rights
14.58 -2,500
Bonavista Energy Corporation
Restricted Share Awards (RSA)
Skehar, Jason Edward 4, 5 1/3/2013 58 - Expiration
of rights
14.58 -2,500
Insider Reporting
January 17, 2013
(2013) 36 OSCB 847
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Bonavista Energy Corporation
Common Shares Slubicki, Christopher Paul 4 12/31/2012 58 - Expiration
of rights
14.29 486
Bonavista Energy Corporation
Common Shares Slubicki, Christopher Paul 4 12/31/2012 58 - Expiration
of rights
14.29 486
Bonavista Energy Corporation
Common Shares Slubicki, Christopher Paul 4 12/31/2012 58 - Expiration
of rights
14.29 486
Bonavista Energy Corporation
Restricted Share Units (RSU)
Slubicki, Christopher Paul 4 12/31/2012 58 - Expiration
of rights
14.29 -600
Bonavista Energy Corporation
Restricted Share Units (RSU)
Slubicki, Christopher Paul 4 12/31/2012 58 - Expiration
of rights
14.29 -600
Bonavista Energy Corporation
Restricted Share Units (RSU)
Slubicki, Christopher Paul 4 12/31/2012 58 - Expiration
of rights
14.29 -600
Bonavista Energy Corporation
Common Shares Spence, Harold R. 5 1/1/2013 58 - Expiration
of rights
14.35 586
Bonavista Energy Corporation
Common Shares Spence, Harold R. 5 1/1/2013 58 - Expiration
of rights
14.35 586
Bonavista Energy Corporation
Common Shares Spence, Harold R. 5 1/1/2013 58 - Expiration
of rights
14.35 586
Bonavista Energy Corporation
Common Shares Spence, Harold R. 5 1/3/2013 58 - Expiration
of rights
14.58 636
Bonavista Energy Corporation
Common Shares Spence, Harold R. 5 1/3/2013 58 - Expiration
of rights
14.58 636
Bonavista Energy Corporation
Common Shares Spence, Harold R. 5 1/3/2013 58 - Expiration
of rights
14.58 636
Insider Reporting
January 17, 2013
(2013) 36 OSCB 848
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Bonavista Energy Corporation
Restricted Share Awards (RSA)
Spence, Harold R. 5 1/1/2013 58 - Expiration
of rights
14.35 -800
Bonavista Energy Corporation
Restricted Share Awards (RSA)
Spence, Harold R. 5 1/1/2013 58 - Expiration
of rights
14.35 -800
Bonavista Energy Corporation
Restricted Share Awards (RSA)
Spence, Harold R. 5 1/1/2013 58 - Expiration
of rights
14.35 -800
Bonavista Energy Corporation
Restricted Share Awards (RSA)
Spence, Harold R. 5 1/3/2013 58 - Expiration
of rights
14.58 -950
Bonavista Energy Corporation
Restricted Share Awards (RSA)
Spence, Harold R. 5 1/3/2013 58 - Expiration
of rights
14.58 -950
Bonavista Energy Corporation
Restricted Share Awards (RSA)
Spence, Harold R. 5 1/3/2013 58 - Expiration
of rights
14.58 -950
Bonavista Energy Corporation
Common Shares Stewart, Cory James 5 1/1/2013 58 - Expiration
of rights
14.35 293
Bonavista Energy Corporation
Common Shares Stewart, Cory James 5 1/1/2013 58 - Expiration
of rights
14.35 293
Bonavista Energy Corporation
Common Shares Stewart, Cory James 5 1/1/2013 58 - Expiration
of rights
14.35 293
Bonavista Energy Corporation
Common Shares Stewart, Cory James 5 1/3/2013 58 - Expiration
of rights
14.58 369
Bonavista Energy Corporation
Common Shares Stewart, Cory James 5 1/3/2013 58 - Expiration
of rights
14.58 369
Bonavista Energy Corporation
Common Shares Stewart, Cory James 5 1/3/2013 58 - Expiration
of rights
14.58 369
Insider Reporting
January 17, 2013
(2013) 36 OSCB 849
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Bonavista Energy Corporation
Restricted Share Awards (RSA)
Stewart, Cory James 5 1/1/2013 58 - Expiration
of rights
14.35 -400
Bonavista Energy Corporation
Restricted Share Awards (RSA)
Stewart, Cory James 5 1/1/2013 58 - Expiration
of rights
14.35 -400
Bonavista Energy Corporation
Restricted Share Awards (RSA)
Stewart, Cory James 5 1/1/2013 58 - Expiration
of rights
14.35 -400
Bonavista Energy Corporation
Restricted Share Awards (RSA)
Stewart, Cory James 5 1/3/2013 58 - Expiration
of rights
14.58 -550
Bonavista Energy Corporation
Restricted Share Awards (RSA)
Stewart, Cory James 5 1/3/2013 58 - Expiration
of rights
14.58 -550
Bonavista Energy Corporation
Restricted Share Awards (RSA)
Stewart, Cory James 5 1/3/2013 58 - Expiration
of rights
14.58 -550
Bonavista Energy Corporation
Common Shares Yeates, Walter Charles 4 12/31/2012 58 - Expiration
of rights
14.29 486
Bonavista Energy Corporation
Common Shares Yeates, Walter Charles 4 12/31/2012 58 - Expiration
of rights
14.29 486
Bonavista Energy Corporation
Common Shares Yeates, Walter Charles 4 12/31/2012 58 - Expiration
of rights
14.29 486
Bonavista Energy Corporation
Restricted Share Units (RSU)
Yeates, Walter Charles 4 12/31/2012 58 - Expiration
of rights
14.29 -600
Bonavista Energy Corporation
Restricted Share Units (RSU)
Yeates, Walter Charles 4 12/31/2012 58 - Expiration
of rights
14.29 -600
Bonavista Energy Corporation
Restricted Share Units (RSU)
Yeates, Walter Charles 4 12/31/2012 58 - Expiration
of rights
14.29 -600
Insider Reporting
January 17, 2013
(2013) 36 OSCB 850
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Bonavista Energy Corporation
Common Shares Zawalsky, Grant A. 5 12/31/2012 57 486
Bonavista Energy Corporation
Common Shares Zawalsky, Grant A. 5 12/31/2012 57 486
Bonavista Energy Corporation
Common Shares Zawalsky, Grant A. 5 12/31/2012 57 486
Bonavista Energy Corporation
Restricted Share Units (RSU)
Zawalsky, Grant A. 5 12/31/2012 57 -600
Bonavista Energy Corporation
Restricted Share Units (RSU)
Zawalsky, Grant A. 5 12/31/2012 57 -600
Bonavista Energy Corporation
Restricted Share Units (RSU)
Zawalsky, Grant A. 5 12/31/2012 57 -600
Bonnett's Energy Corp. Common Shares Bonnett's Energy Corp. 1 12/7/2012 38 4.41 41,400 1,900 Bonnett's Energy Corp. Common Shares Bonnett's Energy Corp. 1 12/10/2012 38 4.41 42,300 900 Bonnett's Energy Corp. Common Shares Bonnett's Energy Corp. 1 12/11/2012 38 4.41 3,300 500 Bonnett's Energy Corp. Common Shares Bonnett's Energy Corp. 1 12/13/2012 38 4.42 5,200 1,900 Bonnett's Energy Corp. Common Shares Bonnett's Energy Corp. 1 12/14/2012 38 4.42 7,100 1,900 Bonnett's Energy Corp. Common Shares Bonnett's Energy Corp. 1 12/17/2012 38 4.6 9,000 1,900 Bonnett's Energy Corp. Common Shares Bonnett's Energy Corp. 1 12/18/2012 38 4.59 10,900 1,900 Bonnett's Energy Corp. Common Shares Bonnett's Energy Corp. 1 12/19/2012 38 4.58 12,800 1,900 Bonnett's Energy Corp. Common Shares Bonnett's Energy Corp. 1 12/19/2012 38 4.65 14,700 1,900 Bonnett's Energy Corp. Common Shares Bonnett's Energy Corp. 1 12/21/2012 38 4.65 16,600 1,900 Bonnett's Energy Corp. Common Shares Bonnett's Energy Corp. 1 12/24/2012 38 4.6 18,500 1,900 Bonnett's Energy Corp. Common Shares Bonnett's Energy Corp. 1 12/28/2012 38 4.65 20,200 1,700 Bonnett's Energy Corp. Common Shares Bonnett's Energy Corp. 1 12/31/2012 38 4.7 22,100 1,900 Bonnett's Energy Corp. Common Shares Clarke Inc. 3 12/5/2012 10 4.42 17,000 Bonnett's Energy Corp. Common Shares Clarke Inc. 3 12/5/2012 10 4.42 3,564,530 16,600 Bonnett's Energy Corp. Common Shares Clarke Inc. 3 1/8/2013 10 4.45 3,635,430 16,100 Bonnett's Energy Corp. Common Shares Ross, David James 5 1/8/2013 51 0.87 67,500 20,000 Bonnett's Energy Corp. Common Shares Ross, David James 5 1/8/2013 10 4.45 51,400 -16,100 Bonnett's Energy Corp. Common Shares Ross, David James 5 1/8/2013 10 4.46 50,900 -500 Bonnett's Energy Corp. Common Shares Ross, David James 5 1/8/2013 10 4.47 49,400 -1,500 Bonnett's Energy Corp. Common Shares Ross, David James 5 1/8/2013 10 4.58 47,500 -1,900 Bonnett's Energy Corp. Options Ross, David James 5 1/8/2013 51 0.87 45,000 -20,000 Brand Leaders Income Fund Units Brand Leaders Income Fund 1 1/9/2013 10 500 500
Brand Leaders Income Fund Units Brand Leaders Income Fund 1 1/9/2013 38 0 -500
Brick Brewing Co. Limited Common Shares Kernaghan, Edward James 3 1/9/2013 54 0.71 4,315,299 1,041,666
Brick Brewing Co. Limited Warrants Kernaghan, Edward James 3 1/9/2013 54 0.71 0 -1,041,666
Bridgewater Systems Corporation
Options Monahan, Gregory Rush 4 4/29/2009 00
Bridgewater Systems Corporation
Options Monahan, Gregory Rush 4 4/30/2009 50 4.08 5,000 5,000
Bridgewater Systems Corporation
Options Monahan, Gregory Rush 4 5/26/2010 50 8.33 15,000 10,000
Bridgewater Systems Corporation
Options Monahan, Gregory Rush 4 8/17/2011 22 0 -15,000
Brookfield Residential Properties Inc.
Common Shares Brookfield Asset Management Inc.
3 12/31/2012 11 0 -3,772,631
Brookfield Residential Properties Inc.
Common Shares Brookfield Asset Management Inc.
3 12/31/2012 11 13,673,431 3,772,631
BSM Technologies Inc. Common Shares Bell, John K. 4 1/11/2013 10 1.33 12,924,618 20,000 BTB Real Estate Investment Trust
Trust Units Beauchamp, Normand 4 1/7/2013 10 4.38 3,300 1,100
BTB Real Estate Investment Trust
Trust Units Cyr, Benoit 5 1/3/2013 10 4.3 12,312 3,450
BTB Real Estate Investment Trust
Trust Units Oana, Daniel G. 5 1/10/2013 10 4.37 4,600 1,000
BTB Real Estate Investment Trust
Trust Units Oana, Daniel G. 5 1/10/2013 10 4.37 4,900 300
BTB Real Estate Investment Trust
Trust Units Oana, Daniel G. 5 1/10/2013 10 4.39 4,975 75
BTB Real Estate Investment Trust
Trust Units Polatos, Peter 4 1/3/2013 10 4.28 80,827 4,000
Buhler Industries Inc. Common Shares Buhler, John 3, 4 1/8/2013 10 5.51 111,640 1,200 C&C Energia Ltd. Common Shares Modarelli, Andres Guillermo 5 12/31/2012 10 9.5 -400
C&C Energia Ltd. Common Shares Modarelli, Andres Guillermo 5 12/31/2012 10 9.5 -400
Insider Reporting
January 17, 2013
(2013) 36 OSCB 851
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
C&C Energia Ltd. Common Shares Modarelli, Andres Guillermo 5 12/31/2012 10 9.5 5,277 -400
Cache Exploration Inc. Common Shares Van de Mosselaer, Adrian Joseph
4 1/7/2013 10 0.025 32,000 10,000
Cadman Resources Inc. Options bartlett, derek 3, 5 1/11/2013 52 0.1 0 -200,000 CAE Inc. Deferred Share Units Fortier, Michael M 4 12/31/2012 56 10.02 16,307 1,074 Calfrac Well Services Ltd. Deferred Share Units Baker, Kevin Robert 4 1/1/2013 59 24.44 0 -5,000 Calfrac Well Services Ltd. Deferred Share Units Blair, James S. 4 1/1/2013 59 24.44 0 -5,000 Calfrac Well Services Ltd. Common Shares Burleson, Larry Lee 5 1/8/2013 51 16.56 899 400 Calfrac Well Services Ltd. Common Shares Burleson, Larry Lee 5 1/8/2013 10 25.39 499 -400 Calfrac Well Services Ltd. Common Shares Burleson, Larry Lee 5 1/8/2013 51 16.56 1,099 600 Calfrac Well Services Ltd. Common Shares Burleson, Larry Lee 5 1/8/2013 10 25.33 499 -600 Calfrac Well Services Ltd. Common Shares Burleson, Larry Lee 5 1/8/2013 51 16.56 699 200 Calfrac Well Services Ltd. Common Shares Burleson, Larry Lee 5 1/8/2013 10 25.34 499 -200 Calfrac Well Services Ltd. Common Shares Burleson, Larry Lee 5 1/8/2013 51 16.56 699 200 Calfrac Well Services Ltd. Common Shares Burleson, Larry Lee 5 1/8/2013 10 25.31 499 -200 Calfrac Well Services Ltd. Options 2004 Stock Option
Plan Burleson, Larry Lee 5 1/8/2013 51 16.56 59,350 -400
Calfrac Well Services Ltd. Options 2004 Stock Option Plan
Burleson, Larry Lee 5 1/8/2013 51 16.56 58,750 -600
Calfrac Well Services Ltd. Options 2004 Stock Option Plan
Burleson, Larry Lee 5 1/8/2013 51 16.56 -200
Calfrac Well Services Ltd. Options 2004 Stock Option Plan
Burleson, Larry Lee 5 1/8/2013 51 16.56 -200
Calfrac Well Services Ltd. Options 2004 Stock Option Plan
Burleson, Larry Lee 5 1/8/2013 51 16.56 58,550 -200
Calfrac Well Services Ltd. Options 2004 Stock Option Plan
Burleson, Larry Lee 5 1/8/2013 51 16.56 58,350 -200
Calfrac Well Services Ltd. Deferred Share Units Fletcher, Gregory Scott 4 1/1/2013 59 24.44 0 -5,000 Calfrac Well Services Ltd. Deferred Share Units Gartner, Lorne 4 1/1/2013 59 24.44 0 -5,000 Calfrac Well Services Ltd. Deferred Share Units Mathison, Ronald 4, 6 1/1/2013 59 24.44 0 -10,000 Calfrac Well Services Ltd. Common Shares Mignault, Matthew 5 1/7/2013 51 8.35 13,750 3,750 Calfrac Well Services Ltd. Common Shares Mignault, Matthew 5 1/7/2013 10 25 10,000 -3,750 Calfrac Well Services Ltd. Options 2004 Stock Option
Plan Mignault, Matthew 5 1/7/2013 51 8.35 42,000 -3,750
Calfrac Well Services Ltd. Common Shares Montgomery, Robert 5 1/4/2013 51 18.86 12,993 5,000 Calfrac Well Services Ltd. Common Shares Montgomery, Robert 5 1/4/2013 51 20.74 14,993 2,000 Calfrac Well Services Ltd. Options 2004 Stock Option
Plan Montgomery, Robert 5 1/4/2013 51 18.86 5,000
Calfrac Well Services Ltd. Options 2004 Stock Option Plan
Montgomery, Robert 5 1/4/2013 51 18.86 5,000
Calfrac Well Services Ltd. Options 2004 Stock Option Plan
Montgomery, Robert 5 1/4/2013 51 18.86 80,500 -5,000
Calfrac Well Services Ltd. Options 2004 Stock Option Plan
Montgomery, Robert 5 1/4/2013 51 20.74 78,500 -2,000
Calfrac Well Services Ltd. Deferred Share Units SWINTON, ROBERT TIMOTHY
4 1/1/2013 59 24.44 0 -5,000
Calian Technologies Ltd. Common Shares Calian Technologies Ltd 1 1/3/2013 38 20.55 200 200 Calian Technologies Ltd. Common Shares Calian Technologies Ltd 1 1/3/2013 38 0 -200 Calian Technologies Ltd. Common Shares Calian Technologies Ltd 1 1/7/2013 38 20.71 1,400 1,400 Calian Technologies Ltd. Common Shares Calian Technologies Ltd 1 1/7/2013 38 0 -1,400 Calloway Real Estate Investment Trust
Class C Series 2 Limited Partnership Units
Goldhar, Mitchell 3 1/7/2013 38 3,166,947 -162,436
Calmena Energy Services Inc.
Deferred Share Units Bloomer, Christopher John Charles
4 1/7/2013 56 126,878 10,000
Calmena Energy Services Inc.
Deferred Share Units Brussa, John Albert 4 1/7/2013 56 1.49 128,093 7,000
Calmena Energy Services Inc.
Deferred Share Units Chernoff, M. Bruce 4 1/7/2013 56 0.1486 188,348 67,255
Calmena Energy Services Inc.
Deferred Share Units Hudson, Paul 4 1/7/2013 56 139,566 26,902
Calmena Energy Services Inc.
Deferred Share Units Rain, David James 4 1/7/2013 56 184,133 67,255
Cameco Corporation Common Shares Faul, Jeffrey Robert 7 1/9/2013 00 2,000 Cameco Corporation Common Shares Faul, Jeffrey Robert 7 1/9/2013 00 Cameco Corporation Common Shares Faul, Jeffrey Robert 7 1/9/2013 00 Cameco Corporation Common Shares Frame, Brian Keith 7 1/9/2013 00 1,000 Cameco Corporation OTC Calls (including
Private Options to Purchase)
Martens, Dirk 7 1/9/2013 00
Cameco Corporation OTC Calls (including Private Options to Purchase)
Martens, Dirk 7 1/9/2013 00
Canaccord Financial Inc. Common Shares Chandler, Peter Jackman 7 1/4/2013 10 6.93 -31,465 -5,700
Insider Reporting
January 17, 2013
(2013) 36 OSCB 852
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Canaccord Financial Inc. Common Shares Ellis, Darren 7 1/3/2013 10 6.76 2,696 -6,523 Canaccord Financial Inc. Common Shares Rothwell, John Douglas 7 1/3/2013 10 6.7734 311,043 -10,000 Canacol Energy Ltd. Common Shares Elliott, Greg 4 12/21/2012 00 Canacol Energy Ltd. Common Shares Elliott, Greg 4 12/21/2012 00 1,175,261 Canacol Energy Ltd. Warrants Elliott, Greg 4 12/21/2012 00 Canacol Energy Ltd. Warrants Elliott, Greg 4 12/21/2012 00 2,803,729 Canacol Energy Ltd. Common Shares Petersen, Gary 4 12/21/2012 00 Canacol Energy Ltd. Common Shares Petersen, Gary 4 12/21/2012 00 Canacol Energy Ltd. Common Shares Petersen, Gary 4 12/21/2012 00 1,909,418 Canacol Energy Ltd. Common Shares Petersen, Gary 4 12/21/2012 00 Canacol Energy Ltd. Common Shares Petersen, Gary 4 12/21/2012 00 1,507,508 Canacol Energy Ltd. Warrants Petersen, Gary 4 12/21/2012 00 Canacol Energy Ltd. Warrants Petersen, Gary 4 12/21/2012 00 5,707,823 Canacol Energy Ltd. Warrants Petersen, Gary 4 12/21/2012 00 Canacol Energy Ltd. Warrants Petersen, Gary 4 12/21/2012 00 6,649,890 Canada Fluorspar Inc. Common Shares Gorrill, Lindsay 4, 5 1/4/2013 51 0.1 450,000 Canada Fluorspar Inc. Common Shares Gorrill, Lindsay 4, 5 1/4/2013 51 0.1 450,000 Canada Fluorspar Inc. Options Gorrill, Lindsay 4, 5 1/4/2013 51 -450,000 Canada Fluorspar Inc. Options Gorrill, Lindsay 4, 5 1/4/2013 51 0.1 -450,000 Canada Fluorspar Inc. Options Gorrill, Lindsay 4, 5 1/4/2013 51 0.1 2,150,000 -450,000 Canada Fluorspar Inc. Options Gorrill, Lindsay 4, 5 1/4/2013 51 0.1 450,000 Canada Fluorspar Inc. Options Gorrill, Lindsay 4, 5 1/4/2013 51 0.1 2,600,000 450,000 Canada Lithium Corp. Options Cudney, Robert Douglas 4 12/17/2012 50 0.67 1,700,000 500,000 Canadian Energy Services & Technology Corp.
Common Shares Nieboer, Craig Frederick 5 1/7/2013 51 3.11 83,323 25,000
Canadian Energy Services & Technology Corp.
Common Shares Nieboer, Craig Frederick 5 1/7/2013 10 11.5 58,323 -25,000
Canadian Energy Services & Technology Corp.
Options Nieboer, Craig Frederick 5 1/7/2013 51 3.11 85,000 -25,000
Canadian Energy Services & Technology Corp.
Common Shares Swanston, Paul Edward 5 1/4/2013 51 1.8433 17,198 3,800
Canadian Energy Services & Technology Corp.
Common Shares Swanston, Paul Edward 5 1/4/2013 10 11.5 13,398 -3,800
Canadian Energy Services & Technology Corp.
Common Shares Swanston, Paul Edward 5 1/4/2013 51 1.8433 13,898 500
Canadian Energy Services & Technology Corp.
Common Shares Swanston, Paul Edward 5 1/4/2013 10 11.495 13,398 -500
Canadian Energy Services & Technology Corp.
Common Shares Swanston, Paul Edward 5 1/4/2013 51 1.8433 14,298 900
Canadian Energy Services & Technology Corp.
Common Shares Swanston, Paul Edward 5 1/4/2013 10 11.49 13,398 -900
Canadian Energy Services & Technology Corp.
Common Shares Swanston, Paul Edward 5 1/7/2013 51 1.8433 15,798 2,400
Canadian Energy Services & Technology Corp.
Common Shares Swanston, Paul Edward 5 1/7/2013 10 11.5 13,398 -2,400
Canadian Energy Services & Technology Corp.
Options Swanston, Paul Edward 5 1/4/2013 51 1.8433 36,800 -3,800
Canadian Energy Services & Technology Corp.
Options Swanston, Paul Edward 5 1/4/2013 51 1.8433 36,300 -500
Canadian Energy Services & Technology Corp.
Options Swanston, Paul Edward 5 1/4/2013 51 1.8433 35,400 -900
Canadian Energy Services & Technology Corp.
Options Swanston, Paul Edward 5 1/7/2013 51 1.8433 33,000 -2,400
Canadian High Income Equity Fund
Units Canadian High Income Equity Fund
1 12/3/2012 38 10.87 2,500 2,500
Canadian High Income Equity Fund
Units Canadian High Income Equity Fund
1 12/3/2012 38 10.87 0 -2,500
Canadian High Income Equity Fund
Units Canadian High Income Equity Fund
1 12/5/2012 38 10.77 1,600 1,600
Canadian High Income Equity Fund
Units Canadian High Income Equity Fund
1 12/5/2012 38 10.77 0 -1,600
Canadian High Income Equity Fund
Units Canadian High Income Equity Fund
1 12/7/2012 38 10.77 2,500 2,500
Canadian High Income Equity Fund
Units Canadian High Income Equity Fund
1 12/7/2012 38 10.77 0 -2,500
Canadian High Income Equity Fund
Units Canadian High Income Equity Fund
1 12/19/2012 38 10.8 1,000 1,000
Canadian High Income Equity Fund
Units Canadian High Income Equity Fund
1 12/19/2012 38 10.8 0 -1,000
Canadian High Income Equity Fund
Units Canadian High Income Equity Fund
1 12/21/2012 38 10.83 2,500 2,500
Canadian High Income Equity Fund
Units Canadian High Income Equity Fund
1 12/21/2012 38 10.83 0 -2,500
Insider Reporting
January 17, 2013
(2013) 36 OSCB 853
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Canadian High Income Equity Fund
Units Canadian High Income Equity Fund
1 12/27/2012 38 10.7 2,500 2,500
Canadian High Income Equity Fund
Units Canadian High Income Equity Fund
1 12/27/2012 38 10.7 0 -2,500
Canadian High Income Equity Fund
Units Canadian High Income Equity Fund
1 12/28/2012 38 10.66 2,500 2,500
Canadian High Income Equity Fund
Units Canadian High Income Equity Fund
1 12/28/2012 38 10.66 0 -2,500
Canadian Imperial Bank of Commerce
Rights RDSU Belzberg, Brent 4 12/31/2012 30 75.27 20,659 2,883
Canadian Imperial Bank of Commerce
Rights RDSU Belzberg, Brent 4 12/31/2012 30 74.9 21,596 937
Canadian Imperial Bank of Commerce
Common Shares CIBC 1 1/2/2013 38 80.403 80,000 80,000
Canadian Imperial Bank of Commerce
Common Shares CIBC 1 1/2/2013 38 80.403 0 -80,000
Canadian Imperial Bank of Commerce
Common Shares CIBC 1 1/3/2013 38 80.621 80,000 80,000
Canadian Imperial Bank of Commerce
Common Shares CIBC 1 1/3/2013 38 80.621 0 -80,000
Canadian Imperial Bank of Commerce
Common Shares CIBC 1 1/4/2013 38 81.195 62,300 62,300
Canadian Imperial Bank of Commerce
Common Shares CIBC 1 1/4/2013 38 81.195 0 -62,300
Canadian Imperial Bank of Commerce
Common Shares Colter, Gary F. 4 12/31/2012 30 74.96 13,183 498
Canadian Imperial Bank of Commerce
Rights RDSU D'Alessandro, Dominic 4 12/31/2012 30 74.97 5,763 2,294
Canadian Imperial Bank of Commerce
Rights RDSU D'Alessandro, Dominic 4 12/31/2012 30 74.95 5,981 218
Canadian Imperial Bank of Commerce
Rights RDSU Daniel, Patrick Darold 4 12/31/2012 30 75.22 7,342 2,380
Canadian Imperial Bank of Commerce
Rights RDSU Daniel, Patrick Darold 4 12/31/2012 30 74.93 7,635 293
Canadian Imperial Bank of Commerce
Common Shares Desjardins, Luc 4 12/31/2012 30 74.84 8,483 1,230
Canadian Imperial Bank of Commerce
Rights RDSU Giffin, Gordon D. 4 12/31/2012 30 75.5 10,981 927
Canadian Imperial Bank of Commerce
Rights RDSU Giffin, Gordon D. 4 12/31/2012 30 74.89 11,496 515
Canadian Imperial Bank of Commerce
Common Shares HASENFRATZ, LINDA 4 12/31/2012 30 74.96 7,723 498
Canadian Imperial Bank of Commerce
Rights RDSU Le Pan, Nicholas D'Orr 4 12/31/2012 30 75.5 5,792 927
Canadian Imperial Bank of Commerce
Rights RDSU Le Pan, Nicholas D'Orr 4 12/31/2012 30 74.91 6,050 258
Canadian Imperial Bank of Commerce
Rights RDSU Manley, John Paul 4 12/31/2012 30 75.13 13,622 2,449
Canadian Imperial Bank of Commerce
Rights RDSU Manley, John Paul 4 12/31/2012 30 74.91 14,225 603
Canadian Imperial Bank of Commerce
Rights RDSU Peverett, Jane Leslie 4 12/31/2012 30 75.16 6,302 2,254
Canadian Imperial Bank of Commerce
Rights RDSU Peverett, Jane Leslie 4 12/31/2012 30 74.94 6,548 246
Canadian Imperial Bank of Commerce
Rights RDSU Rahl, Leslie 4 12/31/2012 30 74.89 15,522 2,497
Canadian Imperial Bank of Commerce
Rights RDSU Rahl, Leslie 4 12/31/2012 30 74.91 16,218 696
Canadian Imperial Bank of Commerce
Rights RDSU Sirois, Charles 4 12/31/2012 30 75 28,833 4,967
Canadian Imperial Bank of Commerce
Rights RDSU Sirois, Charles 4 12/31/2012 30 74 30,108 1,275
Canadian Imperial Bank of Commerce
Common Shares Stevenson, Katharine Berghuis
4 12/31/2012 30 75.31 3,842 495
Canadian Imperial Bank of Commerce
Rights RDSU Tysoe, Ronald William 4 12/31/2012 30 75.5 20,829 927
Canadian Imperial Bank of Commerce
Rights RDSU Tysoe, Ronald William 4 12/31/2012 30 74.89 21,832 1,003
Canadian Natural Resources Limited
Common Shares Canadian Natural Resources Limited
1 12/31/2012 38 28.11 800,000 800,000
Canadian Natural Resources Limited
Common Shares Canadian Natural Resources Limited
1 12/31/2012 38 28.42 1,600,000 800,000
Insider Reporting
January 17, 2013
(2013) 36 OSCB 854
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Canadian Natural Resources Limited
Common Shares Canadian Natural Resources Limited
1 12/31/2012 38 28.11 800,000 -800,000
Canadian Natural Resources Limited
Common Shares Canadian Natural Resources Limited
1 12/31/2012 38 28.42 0 -800,000
Canadian Natural Resources Limited
Common Shares MacPhail, Keith A.J. 4 1/2/2013 46 29.17 357,619 1,000
Canadian Natural Resources Limited
Options Peterson, William Robert 5 1/11/2013 52 268,000 -34,000
Canadian Pacific Railway Limited
Rights DSU Colter, Gary F. 4 1/7/2013 56 99.87 2,389 357
Canadian Pacific Railway Limited
Common Shares Guthrie, Paul Anthony 5 12/30/2012 97 2,480 -3,829
Canadian Pacific Railway Limited
Common Shares Guthrie, Paul Anthony 5 2/19/2004 00
Canadian Pacific Railway Limited
Common Shares Guthrie, Paul Anthony 5 12/30/2012 97 3,829 3,829
Canadian Pacific Railway Limited
Common Shares Guthrie, Paul Anthony 5 12/31/2012 30 79.91 4,277 448
Canadian Pacific Railway Limited
Rights DSU Haggis, Paul 4 1/7/2013 56 99.87 3,356 753
Canadian Pacific Railway Limited
Rights DSU Hoeg, Krystyna 4 1/7/2013 56 99.87 19,031 365
Canadian Pacific Railway Limited
Rights DSU Kelly, Richard Charles 4 1/7/2013 56 101.03 13,587 260
Canadian Pacific Railway Limited
Common Shares Laing, Brent Lyle 5 1/3/2013 51 71.69 3,025 1,500
Canadian Pacific Railway Limited
Common Shares Laing, Brent Lyle 5 1/3/2013 10 104.69 1,525 -1,500
Canadian Pacific Railway Limited
Options Laing, Brent Lyle 5 1/3/2013 51 71.69 29,529 -1,500
Canadian Pacific Railway Limited
Rights DSU MACDONALD, REBECCA 4 1/7/2013 56 99.87 2,311 288
Canadian Pacific Railway Limited
Common Shares Manconi, Anthony 5 1/3/2013 51 71.69 2,988 1,000
Canadian Pacific Railway Limited
Common Shares Manconi, Anthony 5 1/3/2013 10 104.24 1,988 -1,000
Canadian Pacific Railway Limited
Options Manconi, Anthony 5 1/3/2013 51 71.69 21,446 -1,000
Canadian Pacific Railway Limited
Rights DSU Manley, John Paul 4 1/7/2013 56 99.87 20,282 357
Canadian Pacific Railway Limited
Rights DSU Melman, Dr. Anthony Ronald
4 1/7/2013 56 99.87 2,352 380
Canadian Pacific Railway Limited
Rights DSU Morgan, Linda 4 1/7/2013 56 101.03 22,952 353
Canadian Pacific Railway Limited
Rights DSU PAQUIN, MADELEINE 4 1/7/2013 56 99.87 25,111 236
Canadian Pacific Railway Limited
Rights DSU Richardson, Hartley T. 4 1/7/2013 56 99.87 21,510 342
Canadian Pacific Railway Limited
Rights DSU Tobias, Stephen Craig 4, 5 1/7/2013 56 101.03 6,745 267
Canadian Satellite Radio Holdings Inc.
Class B Voting Shares Sirius XM Radio Inc. 3 11/28/2012 36 21,383,006 -9,500,000
Canadian Satellite Radio Holdings Inc.
Subordinate Voting Shares Sirius XM Radio Inc. 3 11/28/2012 36 39,520,836 3,166,667
Canadian Silver Hunter Inc. Common Shares Canadian Silver Hunter Inc. 1 12/19/2012 38 0.05 44,500 2,000
Canadian Silver Hunter Inc. Common Shares Canadian Silver Hunter Inc. 1 12/24/2012 38 0.05 100,500 56,000
Canadian Silver Hunter Inc. Common Shares Canadian Silver Hunter Inc. 1 12/28/2012 38 0.05 105,500 5,000
Canadian Tire Corporation, Limited
Deferred Share Units Aitchison, Iain Cameron 4 12/31/2012 35 67.073 5,008 75
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/7/2013 10 67.8 945,229 -500
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/7/2013 10 67.35 945,129 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/7/2013 10 67.36 944,729 -400
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/7/2013 10 67.5 944,529 -200
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/7/2013 10 67.5 944,329 -200
Insider Reporting
January 17, 2013
(2013) 36 OSCB 855
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/7/2013 10 67.5 943,929 -400
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/7/2013 10 67.5 943,829 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/7/2013 10 67.5 943,729 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/7/2013 10 67.53 943,629 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/7/2013 10 67.53 943,529 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/7/2013 10 67.4 943,429 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/7/2013 10 67.4 943,329 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/7/2013 10 67.4 943,229 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/7/2013 10 67.4 943,129 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/7/2013 10 67.4 943,029 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/7/2013 10 67.51 942,929 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/7/2013 10 67.5 942,729 -200
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/7/2013 10 67.5 942,529 -200
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/7/2013 10 67.7 942,329 -200
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/7/2013 10 67.7 942,229 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/7/2013 10 67.7 942,129 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/7/2013 10 67.7 942,029 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/7/2013 10 67.7 941,929 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/7/2013 10 67.7 941,829 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/7/2013 10 67.7 941,729 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/7/2013 10 67.7 941,529 -200
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/7/2013 10 67.8 941,329 -200
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/7/2013 10 67.65 941,129 -200
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/7/2013 10 67.65 940,629 -500
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/7/2013 10 67.5 940,529 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/7/2013 10 67.5 940,429 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/7/2013 10 67.5 940,229 -200
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/7/2013 10 67.56 940,129 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/7/2013 10 67.55 940,029 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/7/2013 10 67.55 939,929 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/7/2013 10 67.55 939,729 -200
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/7/2013 10 67.55 939,429 -300
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/7/2013 10 67.6 939,129 -300
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/7/2013 10 67.6 938,929 -200
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/7/2013 10 67.6 938,729 -200
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/7/2013 10 67.6 938,429 -300
Insider Reporting
January 17, 2013
(2013) 36 OSCB 856
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/7/2013 10 67.51 938,329 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/8/2013 10 67.95 938,229 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/8/2013 10 67.95 938,129 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/8/2013 10 67.84 938,029 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/8/2013 10 67.85 937,929 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/8/2013 10 67.9 937,829 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/8/2013 10 67.9 937,729 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/8/2013 10 67.91 937,629 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/8/2013 10 67.91 937,529 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/8/2013 10 67.84 937,329 -200
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/8/2013 10 67.84 936,629 -700
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/8/2013 10 67.9 936,329 -300
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/8/2013 10 67.61 936,229 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/8/2013 10 67.61 936,129 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/8/2013 10 67.82 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/8/2013 10 67.82 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/8/2013 10 67.82 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/8/2013 10 67.82 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/8/2013 10 67.5 936,029 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/8/2013 10 67.65 935,929 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/8/2013 10 67.65 935,829 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/8/2013 10 67.65 935,329 -500
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/8/2013 10 67.48 935,229 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/8/2013 10 67.48 935,129 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/8/2013 10 67.5 935,029 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/8/2013 10 67.46 934,929 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/8/2013 10 67.46 934,729 -200
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/8/2013 10 67.46 934,629 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/8/2013 10 67.45 934,529 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/8/2013 10 67.45 934,429 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/8/2013 10 67.45 934,329 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/8/2013 10 67.45 934,229 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/8/2013 10 67.45 934,129 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/8/2013 10 67.45 934,029 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/8/2013 10 67.46 933,929 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/8/2013 10 67.46 933,829 -100
Insider Reporting
January 17, 2013
(2013) 36 OSCB 857
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/8/2013 10 67.47 932,729 -1,100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/8/2013 10 67.39 932,629 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/8/2013 10 67.38 932,529 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/8/2013 10 67.38 932,429 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/8/2013 10 67.38 932,329 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/8/2013 10 67.38 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/8/2013 10 67.38 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/8/2013 10 67.31 932,029 -300
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/8/2013 10 67.35 931,929 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/8/2013 10 67.39 931,829 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/8/2013 10 67.39 931,229 -600
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/8/2013 10 67.62 931,129 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/8/2013 10 67.62 931,029 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/8/2013 10 67.31 930,929 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/9/2013 10 67.43 930,829 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/9/2013 10 67.44 930,729 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/9/2013 10 67.44 930,629 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/9/2013 10 67.44 930,429 -200
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/9/2013 10 67.53 930,329 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/9/2013 10 67.53 930,229 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/9/2013 10 67.53 930,129 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/9/2013 10 67.53 929,929 -200
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/9/2013 10 67.5 929,829 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/9/2013 10 67.5 929,729 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/9/2013 10 67.5 929,629 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/9/2013 10 67.5 929,429 -200
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/9/2013 10 67.5 928,929 -500
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/9/2013 10 67.56 928,829 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/9/2013 10 67.56 928,729 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/9/2013 10 67.56 928,629 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/9/2013 10 67.56 928,529 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/9/2013 10 67.56 928,329 -200
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/9/2013 10 67.56 928,229 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/9/2013 10 67.56 928,129 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Collver, Robyn Anne 3, 7, 5 1/9/2013 10 67.56 927,929 -200
Canadian Tire Corporation, Limited
Deferred Share Units Emerson, Harry Garfield 4 12/31/2012 35 66.941 7,993 141
Insider Reporting
January 17, 2013
(2013) 36 OSCB 858
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Canadian Tire Corporation, Limited
Deferred Share Units Furlong, John Aloysius Francis
4 12/31/2012 35 67.349 1,737 20
Canadian Tire Corporation, Limited
Deferred Share Units L'Heureux, Claude R. 4 12/31/2012 35 67.431 3,658 42
Canadian Tire Corporation, Limited
Deferred Share Units Lampe, Jonathan 4 12/31/2012 35 66.757 439 1
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/7/2013 10 67.6 945,229 -500
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/7/2013 10 67.35 945,129 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/7/2013 10 67.36 944,729 -400
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/7/2013 10 67.5 944,529 -200
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/7/2013 10 67.5 944,329 -200
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/7/2013 10 67.5 943,929 -400
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/7/2013 10 67.5 943,829 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/7/2013 10 67.5 943,729 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/7/2013 10 67.53 943,629 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/7/2013 10 67.53 943,529 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/7/2013 10 67.4 943,429 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/7/2013 10 67.4 943,329 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/7/2013 10 67.4 943,229 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/7/2013 10 67.4 943,129 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/7/2013 10 67.4 943,029 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/7/2013 10 67.51 942,929 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/7/2013 10 67.5 942,729 -200
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/7/2013 10 67.5 942,529 -200
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/7/2013 10 67.7 942,329 -200
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/7/2013 10 67.7 942,229 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/7/2013 10 67.7 942,129 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/7/2013 10 67.7 942,029 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/7/2013 10 67.7 941,929 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/7/2013 10 67.7 941,829 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/7/2013 10 67.7 941,629 -200
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/7/2013 10 67.7 941,529 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/7/2013 10 67.8 941,329 -200
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/7/2013 10 67.65 941,129 -200
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/7/2013 10 67.65 940,629 -500
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/7/2013 10 67.5 940,529 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/7/2013 10 67.5 940,429 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/7/2013 10 67.5 940,229 -200
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/7/2013 10 67.55 940,129 -100
Insider Reporting
January 17, 2013
(2013) 36 OSCB 859
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/7/2013 10 67.55 940,029 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/7/2013 10 67.55 939,929 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/7/2013 10 67.56 939,729 -200
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/7/2013 10 67.55 939,429 -300
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/7/2013 10 67.6 939,129 -300
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/7/2013 10 67.6 938,929 -200
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/7/2013 10 67.6 938,729 -200
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/7/2013 10 67.6 938,429 -300
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/7/2013 10 67.51 938,329 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/8/2013 10 67.95 938,229 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/8/2013 10 67.95 938,129 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/8/2013 10 67.84 938,029 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/8/2013 10 67.85 937,929 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/8/2013 10 67.9 937,829 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/8/2013 10 67.9 937,729 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/8/2013 10 67.91 937,629 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/8/2013 10 67.91 937,529 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/8/2013 10 67.84 937,329 -200
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/8/2013 10 67.84 936,629 -700
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/8/2013 10 67.9 936,329 -300
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/8/2013 10 67.61 936,229 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/8/2013 10 67.61 936,129 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/8/2013 10 67.62 936,029 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/8/2013 10 67.62 935,929 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/8/2013 10 67.5 935,829 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/8/2013 10 67.65 935,729 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/8/2013 10 67.65 935,629 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/8/2013 10 67.65 935,129 -500
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/8/2013 10 67.48 935,029 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/8/2013 10 67.48 934,929 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/8/2013 10 67.5 934,829 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/8/2013 10 67.46 934,729 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/8/2013 10 67.46 934,529 -200
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/8/2013 10 67.46 934,429 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/8/2013 10 67.45 934,329 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/8/2013 10 67.45 934,229 -100
Insider Reporting
January 17, 2013
(2013) 36 OSCB 860
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/8/2013 10 67.45 934,129 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/8/2013 10 67.45 934,029 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/8/2013 10 67.45 933,929 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/8/2013 10 67.45 933,829 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/8/2013 10 67.46 933,729 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/8/2013 10 67.46 933,629 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/8/2013 10 67.47 932,529 -1,100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/8/2013 10 67.39 932,429 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/8/2013 10 67.38 932,329 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/8/2013 10 67.38 932,229 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/8/2013 10 67.38 932,129 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/8/2013 10 67.31 932,029 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/8/2013 10 67.31 931,729 -300
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/8/2013 10 67.35 931,629 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/8/2013 10 67.39 931,529 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/8/2013 10 67.39 930,929 -600
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/9/2013 10 67.43 930,829 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/9/2013 10 67.44 930,729 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/9/2013 10 67.44 930,629 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/9/2013 10 67.44 930,429 -200
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/9/2013 10 67.53 930,329 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/9/2013 10 67.53 930,229 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/9/2013 10 67.53 930,129 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/9/2013 10 67.53 929,929 -200
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/9/2013 10 67.5 929,829 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/9/2013 10 67.5 929,729 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/9/2013 10 67.5 929,629 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/9/2013 10 67.5 929,429 -200
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/9/2013 10 67.5 928,929 -500
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/9/2013 10 67.56 928,829 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/9/2013 10 67.56 928,729 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/9/2013 10 67.56 928,629 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/9/2013 10 67.56 928,529 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/9/2013 10 67.56 928,329 -200
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/9/2013 10 67.56 928,229 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/9/2013 10 67.56 928,129 -100
Insider Reporting
January 17, 2013
(2013) 36 OSCB 861
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Lynar, Hugh 3 1/9/2013 10 67.56 927,929 -200
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/7/2013 10 67.8 945,229 -500
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/7/2013 10 67.35 945,129 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/7/2013 10 67.36 944,729 -400
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/7/2013 10 67.5 944,529 -200
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/7/2013 10 67.5 944,329 -200
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/7/2013 10 67.5 943,929 -400
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/7/2013 10 67.5 943,829 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/7/2013 10 67.5 943,729 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/7/2013 10 67.53 943,629 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/7/2013 10 67.53 943,529 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/7/2013 10 67.4 943,429 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/7/2013 10 67.4 943,329 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/7/2013 10 67.4 943,229 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/7/2013 10 67.4 943,129 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/7/2013 10 67.4 943,029 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/7/2013 10 67.51 942,929 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/7/2013 10 67.5 942,729 -200
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/7/2013 10 67.5 942,529 -200
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/7/2013 10 67.7 942,329 -200
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/7/2013 10 67.7 942,229 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/7/2013 10 67.7 942,129 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/7/2013 10 67.7 942,029 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/7/2013 10 67.7 941,929 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/7/2013 10 67.7 941,829 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/7/2013 10 67.7 941,629 -200
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/7/2013 10 67.7 941,529 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/7/2013 10 67.8 941,329 -200
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/7/2013 10 67.65 941,129 -200
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/7/2013 10 67.65 940,629 -500
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/7/2013 10 67.5 940,529 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/7/2013 10 67.5 940,429 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/7/2013 10 67.5 940,229 -200
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/7/2013 10 67.55 940,129 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/7/2013 10 67.55 940,029 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/7/2013 10 67.55 939,929 -100
Insider Reporting
January 17, 2013
(2013) 36 OSCB 862
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/7/2013 10 67.55 939,729 -200
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/7/2013 10 67.55 939,429 -300
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/7/2013 10 67.6 939,129 -300
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/7/2013 10 67.6 938,929 -200
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/7/2013 10 67.6 938,729 -200
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/7/2013 10 67.6 938,429 -300
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/7/2013 10 67.51 938,329 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/8/2013 10 67.95 938,229 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/8/2013 10 67.95 938,129 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/8/2013 10 67.84 938,029 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/8/2013 10 67.85 937,929 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/8/2013 10 67.9 937,829 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/8/2013 10 67.9 937,729 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/8/2013 10 67.91 937,629 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/8/2013 10 67.91 937,529 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/8/2013 10 67.84 937,329 -200
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/8/2013 10 67.84 936,629 -700
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/8/2013 10 67.9 936,329 -300
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/8/2013 10 67.61 936,229 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/8/2013 10 67.61 936,129 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/8/2013 10 67.62 936,029 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/8/2013 10 67.62 935,929 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/8/2013 10 67.5 935,829 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/8/2013 10 67.65 935,729 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/8/2013 10 67.65 935,629 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/8/2013 10 67.65 935,129 -500
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/8/2013 10 67.48 935,029 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/8/2013 10 67.48 934,929 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/8/2013 10 67.5 934,829 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/8/2013 10 67.46 934,729 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/8/2013 10 67.46 934,529 -200
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/8/2013 10 67.46 934,429 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/8/2013 10 67.45 934,329 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/8/2013 10 67.45 934,229 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/8/2013 10 67.45 934,129 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/8/2013 10 67.45 934,029 -100
Insider Reporting
January 17, 2013
(2013) 36 OSCB 863
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/8/2013 10 67.45 933,929 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/8/2013 10 67.45 933,829 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/8/2013 10 67.46 933,729 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/8/2013 10 67.46 933,629 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/8/2013 10 67.47 932,529 -1,100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/8/2013 10 67.39 932,429 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/8/2013 10 67.38 932,329 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/8/2013 10 67.38 932,229 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/8/2013 10 67.38 932,129 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/8/2013 10 67.31 932,029 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/8/2013 10 67.31 931,729 -300
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/8/2013 10 67.35 931,629 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/8/2013 10 67.39 931,529 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/8/2013 10 67.39 930,929 -600
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/9/2013 10 67.43 930,829 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/9/2013 10 67.44 930,729 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/9/2013 10 67.44 930,629 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/9/2013 10 67.44 930,429 -200
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/9/2013 10 67.53 930,329 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/9/2013 10 67.53 930,229 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/9/2013 10 67.53 930,129 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/9/2013 10 67.53 929,929 -200
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/9/2013 10 67.5 929,829 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/9/2013 10 67.5 929,729 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/9/2013 10 67.5 929,629 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/9/2013 10 67.5 929,429 -200
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/9/2013 10 67.5 928,929 -500
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/9/2013 10 67.56 928,829 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/9/2013 10 67.56 928,729 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/9/2013 10 67.56 928,629 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/9/2013 10 67.56 928,529 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/9/2013 10 67.56 928,329 -200
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/9/2013 10 67.56 928,229 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/9/2013 10 67.56 928,129 -100
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
McCann, Dean Charles 5 1/9/2013 10 67.56 927,929 -200
Canadian Tire Corporation, Limited
Deferred Share Units Potter, Frank 4, 7 12/31/2012 35 66.972 10,239 173
Insider Reporting
January 17, 2013
(2013) 36 OSCB 864
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Canadian Tire Corporation, Limited
Non-Voting Shares Class A
Potter, Frank 4, 7 12/31/2012 35 67.211 1,912 33
Canadian Tire Corporation, Limited
Deferred Share Units Price, Timothy Robert 4 12/31/2012 35 67.028 11,432 184
Canadian Tire Corporation, Limited
Deferred Share Units Rossy, Alan 4 12/31/2012 35 67.392 1,893 21
Canadian Tire Corporation, Limited
Deferred Share Units Sabia, Maureen Joanne 4, 7 12/31/2012 35 66.942 2,150 38
Canadian Tire Corporation, Limited
Deferred Share Units Saunders, Peter Bryce 4 12/31/2012 35 67.07 4,988 75
Canadian Tire Corporation, Limited
Deferred Share Units Savage, Graham William 4, 7 12/31/2012 35 66.999 7,267 121
Canadian Tire Corporation, Limited
Deferred Share Units Silver, Kenneth 7, 5 12/31/2012 35 66.834 1,107 20
Canadian Tire Corporation, Limited
Deferred Share Units Vallance, George Alexander 4 12/31/2012 35 67.361 3,958 45
Canadian Tire Corporation, Limited
Deferred Share Units Wetmore, Stephen Gerald 4, 7, 5 12/31/2012 35 66.872 21,445 381
Canadian Western Bank Common Shares Addington, William James 5 1/4/2013 10 29.37 19,083 -100 Canadian Western Bank Common Shares Addington, William James 5 1/4/2013 10 29.36 18,383 -700 Canadian Western Bank Common Shares Addington, William James 5 1/4/2013 10 29.35 18,183 -200 Canadian Western Bank Common Shares Addington, William James 5 1/4/2013 10 29.35 17,183 -1,000 Canadian Western Bank Common Shares Addington, William James 5 1/7/2013 10 29.15 16,183 -1,000 Canadian Western Bank Common Shares Addington, William James 5 1/7/2013 10 29.29 15,783 -400 Canadian Western Bank Common Shares Addington, William James 5 1/8/2013 10 29.29 15,183 -600 Canadian Western Bank Common Shares Addington, William James 5 1/11/2013 10 29.69 14,183 -1,000 Canadian Western Bank Options Addington, William James 5 1/7/2013 50 26.404 78,465 17,770 Canadian Western Bank Rights Restricted Share
Units Addington, William James 5 6/10/2012 59 7,355 -1,292
Canadian Western Bank Rights Restricted Share Units
Addington, William James 5 6/11/2012 59 5,713 -1,642
Canadian Western Bank Rights Restricted Share Units
Addington, William James 5 6/11/2012 59 4,149 -1,564
Canadian Western Bank Rights Restricted Share Units
Addington, William James 5 6/15/2012 56 5,714 1,565
Canadian Western Bank Rights Restricted Share Units
Addington, William James 5 6/15/2012 56 7,279 1,565
Canadian Western Bank Rights Restricted Share Units
Addington, William James 5 6/15/2012 56 8,845 1,566
Canadian Western Bank Rights Deferred Share Units
Bibby, Andrew John 4 12/3/2012 00
Canadian Western Bank Rights Deferred Share Units
Bibby, Andrew John 4 1/2/2013 56 28.673 348 348
Canadian Western Bank Common Shares Docherty, Michael 5 1/1/2013 00 13,554 Canadian Western Bank Options Docherty, Michael 5 1/1/2013 00 24,075 Canadian Western Bank Rights Restricted Share
Units Docherty, Michael 5 1/1/2013 00 4,592
Canadian Western Bank Common Shares Hallson, Richard Norman 5 1/7/2013 51 29.25 1,904 1,794 Canadian Western Bank Common Shares Hallson, Richard Norman 5 1/7/2013 51 29.25 2,664 760 Canadian Western Bank Options Hallson, Richard Norman 5 1/7/2013 51 11.758 12,397 -3,000 Canadian Western Bank Options Hallson, Richard Norman 5 1/7/2013 51 16.893 10,597 -1,800 Canadian Western Bank Preferred Shares Series 3 Manning, Robert Adrian 4 1/10/2013 10 26.65 108,900 -1,100
Canadian Western Bank Preferred Shares Series 3 Manning, Robert Adrian 4 1/10/2013 10 26.66 105,400 -3,500
Canadian Western Bank Preferred Shares Series 3 Manning, Robert Adrian 4 1/10/2013 10 26.68 100,400 -5,000
Canadian Western Bank Preferred Shares Series 3 Manning, Robert Adrian 4 1/10/2013 10 26.7 100,200 -200
Canadian Western Bank Preferred Shares Series 3 Manning, Robert Adrian 4 1/10/2013 10 26.69 100,000 -200
Canadian Western Bank Common Shares Phillips, Robert L. 4 12/31/2012 30 6,358 136 Canadian Western Bank Common Shares Phillips, Robert L. 4 12/31/2012 30 14,780 320 Canadian Western Bank Common Shares Phillips, Robert L. 4 12/31/2012 30 2,132 47 Canadian Western Bank Options Young, Brian 5 1/8/2013 50 28.087 120,139 21,586 Canarc Resource Corp. Common Shares Harris, Leonard 4 12/19/2012 16 0.19 965,000 500,000 Cancen Oil Canada Inc. Common Shares Coughlan, James Bishop 5 1/7/2013 00 197,400 Cancen Oil Canada Inc. Warrants Coughlan, James Bishop 5 1/7/2013 00 197,400 Canso Credit Income Fund Exposure to Issuer
through Canso North Star Fund
Burns, Brenda Ellen 7 1/7/2013 70 6.4023 15,628 552
Insider Reporting
January 17, 2013
(2013) 36 OSCB 865
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Canso Credit Income Fund Exposure to Issuer through Canso Corporate Securities Fund
Carswell, John Paul 7 1/7/2013 70 5.6431 56,791 2,447
Canso Credit Income Fund Exposure to Issuer through Canso Credit Opportunities Fund
Carswell, John Paul 7 1/7/2013 70 9.8521 42,572 2,547
Canso Credit Income Fund Exposure to Issuer through Canso Hurricane Fund
Carswell, John Paul 7 1/7/2013 70 2.3245 460,865 7,162
Canso Credit Income Fund Exposure to Issuer through Canso Income Fund
Carswell, John Paul 7 1/7/2013 70 5.3831 4,540 111
Canso Credit Income Fund Exposure to Issuer through Canso North Star Fund
Carswell, John Paul 7 1/7/2013 70 6.4023 2,283 81
Canso Credit Income Fund Exposure to Issuer through Canso Retirement and Savings Fund
Carswell, John Paul 7 1/7/2013 70 5.9307 310 310
Canso Credit Income Fund Exposure to Issuer through Canso Corporate Securities Fund
Hicks, Timothy John 7 1/7/2013 70 5.6431 1,725 74
Canso Credit Income Fund Exposure to Issuer through Canso North Star Fund
Hicks, Timothy John 7 1/7/2013 70 6.4023 1,609 57
Canso Credit Income Fund Exposure to Issuer through Canso Corporate Securities Fund
Mason-Wood, Heather Elizabeth
7 1/7/2013 70 5.6431 15,679 676
Canso Credit Income Fund Exposure to Issuer through Canso Credit Opportunities Fund
Mason-Wood, Heather Elizabeth
7 1/7/2013 70 9.8521 2,475 148
Canso Credit Income Fund Exposure to Issuer through Canso Hurricane Fund
Mason-Wood, Heather Elizabeth
7 1/7/2013 70 2.3245 4,004 62
Canso Credit Income Fund Exposure to Issuer through Canso North Star Fund
Mason-Wood, Heather Elizabeth
7 1/7/2013 70 6.4023 13,421 474
Canso Credit Income Fund Exposure to Issuer through Canso Corporate Securities Fund
Morin, Joseph Patrick 7 7/16/2010 00
Canso Credit Income Fund Exposure to Issuer through Canso Corporate Securities Fund
Morin, Joseph Patrick 7 1/7/2013 70 5.6431 2,232 96
Canso Credit Income Fund Exposure to Issuer through Canso Credit Opportunities Fund
Morin, Joseph Patrick 7 1/7/2013 70 9.8521 2,342 140
Canso Credit Income Fund Exposure to Issuer through Canso Hurricane Fund
Morin, Joseph Patrick 7 1/7/2013 70 2.3245 24,534 381
Canso Credit Income Fund Exposure to Issuer through Canso Corporate Securities Fund
Mudie, Gail Roberta 7 1/7/2013 70 5.6431 4,601 198
Canso Credit Income Fund Exposure to Issuer through Canso Credit Opportunities Fund
Mudie, Gail Roberta 7 1/7/2013 70 9.8521 3,515 473
Canso Credit Income Fund Exposure to Issuer through Canso Income Fund
Mudie, Gail Roberta 7 1/7/2013 70 5.3831 37,109 1,235
Canso Credit Income Fund Exposure to Issuer through Canso North Star Fund
Mudie, Gail Roberta 7 1/7/2013 70 6.4023 8,594 304
Canso Credit Income Fund Exposure to Issuer through Canso Retirement and Savings Fund
Mudie, Gail Roberta 7 1/7/2013 70 5.9307 665 24
Insider Reporting
January 17, 2013
(2013) 36 OSCB 866
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Canso Credit Income Fund Units Exposure to Issuer through Canso Retirement and Savings Fund
Mudie, Gail Roberta 7 7/16/2010 00
Canso Credit Income Fund Exposure to Issuer through Canso Hurricane Fund
Sit, Elizabeth 7 1/7/2013 70 2.3245 399 6
Canso Credit Income Fund Exposure to Issuer through Canso Corporate Securities Fund
Swan, Robert Andrew 7 7/16/2010 00
Canso Credit Income Fund Exposure to Issuer through Canso Corporate Securities Fund
Swan, Robert Andrew 7 1/7/2013 70 5.6431 1,305 1,305
Canso Credit Income Fund Exposure to Issuer through Canso Hurricane Fund
Swan, Robert Andrew 7 7/16/2010 00
Canso Credit Income Fund Exposure to Issuer through Canso Hurricane Fund
Swan, Robert Andrew 7 1/7/2013 70 2.3245 456 456
Canso Credit Income Fund Exposure to Issuer through Canso North Star Fund
Swan, Robert Andrew 7 1/7/2013 70 6.4023 17,068 603
Canso Credit Income Fund Exposure to Issuer through Canso Retirment and Savings Fund
Swan, Robert Andrew 7 7/16/2010 00
Canso Credit Income Fund Exposure to Issuer through Canso Retirment and Savings Fund
Swan, Robert Andrew 7 1/7/2013 70 5.9307 431 431
Canso Credit Income Fund Exposure to Issuer through Canso Corporate Securities Fund
Usher-Jones, Brian Richard 7 1/7/2013 70 5.6431 19,554 878
Canso Credit Income Fund Exposure to Issuer through Canso Corporate Securities Fund
Verma, Vivek 7 1/7/2013 70 5.6431 1,066 46
Canso Credit Income Fund Exposure to Issuer through Canso Corporate Securities Fund
Verma, Vivek 7 7/16/2010 00
Canuc Resources Corporation
Common Shares Hinde Gold Fund 3 12/31/2012 10 0.1068 65,000
Canuc Resources Corporation
Common Shares Hinde Gold Fund 3 12/31/2012 10 0.1112 11,865,000 97,500
CanWel Building Materials Group Ltd. (formerly, Canwel Holdings Corporation)
Common Shares CanWel Building Materials Group Ltd.
1 12/5/2012 38 2.5 248,800 248,800
CanWel Building Materials Group Ltd. (formerly, Canwel Holdings Corporation)
Common Shares CanWel Building Materials Group Ltd.
1 12/6/2012 38 2.5 250,100 1,300
CanWel Building Materials Group Ltd. (formerly, Canwel Holdings Corporation)
Common Shares CanWel Building Materials Group Ltd.
1 12/6/2012 38 2.49 253,600 3,500
CanWel Building Materials Group Ltd. (formerly, Canwel Holdings Corporation)
Common Shares CanWel Building Materials Group Ltd.
1 12/7/2012 38 2.48 258,600 5,000
CanWel Building Materials Group Ltd. (formerly, Canwel Holdings Corporation)
Common Shares CanWel Building Materials Group Ltd.
1 12/7/2012 38 2.46 260,300 1,700
CanWel Building Materials Group Ltd. (formerly, Canwel Holdings Corporation)
Common Shares CanWel Building Materials Group Ltd.
1 12/7/2012 38 2.45 261,100 800
Insider Reporting
January 17, 2013
(2013) 36 OSCB 867
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
CanWel Building Materials Group Ltd. (formerly, Canwel Holdings Corporation)
Common Shares CanWel Building Materials Group Ltd.
1 12/7/2012 38 2.44 264,273 3,173
CanWel Building Materials Group Ltd. (formerly, Canwel Holdings Corporation)
Common Shares CanWel Building Materials Group Ltd.
1 12/10/2012 38 15,473 -248,800
CanWel Building Materials Group Ltd. (formerly, Canwel Holdings Corporation)
Common Shares CanWel Building Materials Group Ltd.
1 12/10/2012 38 2.5 20,473 5,000
CanWel Building Materials Group Ltd. (formerly, Canwel Holdings Corporation)
Common Shares CanWel Building Materials Group Ltd.
1 12/11/2012 38 2.5 25,473 5,000
CanWel Building Materials Group Ltd. (formerly, Canwel Holdings Corporation)
Common Shares CanWel Building Materials Group Ltd.
1 12/11/2012 38 2.48 27,973 2,500
CanWel Building Materials Group Ltd. (formerly, Canwel Holdings Corporation)
Common Shares CanWel Building Materials Group Ltd.
1 12/11/2012 38 23,173 -4,800
CanWel Building Materials Group Ltd. (formerly, Canwel Holdings Corporation)
Common Shares CanWel Building Materials Group Ltd.
1 12/12/2012 38 12,500 -10,673
CanWel Building Materials Group Ltd. (formerly, Canwel Holdings Corporation)
Common Shares CanWel Building Materials Group Ltd.
1 12/12/2012 38 2.48 17,500 5,000
CanWel Building Materials Group Ltd. (formerly, Canwel Holdings Corporation)
Common Shares CanWel Building Materials Group Ltd.
1 12/12/2012 38 2.5 21,100 3,600
CanWel Building Materials Group Ltd. (formerly, Canwel Holdings Corporation)
Common Shares CanWel Building Materials Group Ltd.
1 12/13/2012 38 16,100 -5,000
CanWel Building Materials Group Ltd. (formerly, Canwel Holdings Corporation)
Common Shares CanWel Building Materials Group Ltd.
1 12/13/2012 38 2.49 18,600 2,500
CanWel Building Materials Group Ltd. (formerly, Canwel Holdings Corporation)
Common Shares CanWel Building Materials Group Ltd.
1 12/14/2012 38 11,100 -7,500
CanWel Building Materials Group Ltd. (formerly, Canwel Holdings Corporation)
Common Shares CanWel Building Materials Group Ltd.
1 12/14/2012 38 2.49 14,200 3,100
CanWel Building Materials Group Ltd. (formerly, Canwel Holdings Corporation)
Common Shares CanWel Building Materials Group Ltd.
1 12/17/2012 38 5,600 -8,600
CanWel Building Materials Group Ltd. (formerly, Canwel Holdings Corporation)
Common Shares CanWel Building Materials Group Ltd.
1 12/17/2012 38 2.35 9,200 3,600
CanWel Building Materials Group Ltd. (formerly, Canwel Holdings Corporation)
Common Shares CanWel Building Materials Group Ltd.
1 12/18/2012 38 6,700 -2,500
CanWel Building Materials Group Ltd. (formerly, Canwel Holdings Corporation)
Common Shares CanWel Building Materials Group Ltd.
1 12/19/2012 38 3,600 -3,100
CanWel Building Materials Group Ltd. (formerly, Canwel Holdings Corporation)
Common Shares CanWel Building Materials Group Ltd.
1 12/20/2012 38 0 -3,600
Insider Reporting
January 17, 2013
(2013) 36 OSCB 868
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
CanWel Building Materials Group Ltd. (formerly, Canwel Holdings Corporation)
Convertible Debentures (5.85% Convertible Unsecured Subordinated Debentures)
CanWel Building Materials Group Ltd.
1 11/21/2011 00
CanWel Building Materials Group Ltd. (formerly, Canwel Holdings Corporation)
Convertible Debentures (5.85% Convertible Unsecured Subordinated Debentures)
CanWel Building Materials Group Ltd.
1 12/12/2012 38 95 $11,000 $11,000
CanWel Building Materials Group Ltd. (formerly, Canwel Holdings Corporation)
Convertible Debentures (5.85% Convertible Unsecured Subordinated Debentures)
CanWel Building Materials Group Ltd.
1 12/20/2012 38 95 $22,000 $11,000
CanWel Building Materials Group Ltd. (formerly, Canwel Holdings Corporation)
Convertible Debentures (5.85% Convertible Unsecured Subordinated Debentures)
CanWel Building Materials Group Ltd.
1 12/21/2012 38 94.99 $24,000 $2,000
CanWel Building Materials Group Ltd. (formerly, Canwel Holdings Corporation)
Convertible Debentures (5.85% Convertible Unsecured Subordinated Debentures)
CanWel Building Materials Group Ltd.
1 12/21/2012 38 95 $29,000 $5,000
Capstone Infrastructure Corporation
Deferred Share Units Lavelle, Patrick Joseph 4 12/31/2012 30 4.1158 6,181 95
Capstone Infrastructure Corporation
Deferred Share Units Lavelle, Patrick Joseph 4 1/2/2013 30 3.9951 7,120 939
Capstone Mining Corp. Common Shares Burnett, Cindy 5 3/1/2011 00 Capstone Mining Corp. Common Shares Burnett, Cindy 5 12/31/2012 30 2.46 3,044 3,044 Capstone Mining Corp. Common Shares Capstone Mining Corp. 1 1/2/2013 10 2.525 50,000 50,000 Capstone Mining Corp. Common Shares Grewal, Jagdish 5 12/31/2012 30 2.34 33,209 3,209 Capstone Mining Corp. Common Shares Hemstead, Peter Timothy 5 12/31/2012 30 2.39 3,141 3,141 Capstone Mining Corp. Common Shares Howe, Jason Paul 5 12/31/2012 30 2.33 226,225 3,225 Capstone Mining Corp. Common Shares Kim, John J. 5 12/31/2012 30 2.39 4,140 3,140 Capstone Mining Corp. Common Shares Mercer, Bradley 5 12/31/2012 30 2.33 57,259 3,220 Capstone Mining Corp. Common Shares Pylot, Darren Murvin 4, 5 12/31/2012 30 2.37 565,369 3,160 Carbon Friendly Solutions Inc.
Common Shares Lis, Stanislaw 5 1/2/2013 10 0.18 1,142,000 16,000
Carbon Friendly Solutions Inc.
Common Shares Lis, Stanislaw 5 1/4/2013 10 0.24 1,145,000 3,000
Carbon Friendly Solutions Inc.
Common Shares Lis, Stanislaw 5 1/4/2013 10 0.24 1,147,000 2,000
Carbon Friendly Solutions Inc.
Common Shares Lis, Stanislaw 5 1/4/2013 10 0.23 1,152,000 5,000
Carbon Friendly Solutions Inc.
Common Shares Lis, Stanislaw 5 1/4/2013 10 0.28 1,132,000 -20,000
Carbon Friendly Solutions Inc.
Common Shares Lis, Stanislaw 5 1/4/2013 10 0.285 1,122,000 -10,000
Carbon Friendly Solutions Inc.
Common Shares Shen, Ping 5 1/11/2013 16 0.2 580,000 300,000
Carbon Friendly Solutions Inc.
Warrants Shen, Ping 5 1/11/2013 16 0.35 580,000 300,000
Cardero Resource Corp. Common Shares Bailey, Blaine 5 1/2/2013 11 0.5 185,000 -40,000 Cardero Resource Corp. Common Shares Harris, Leonard 4 12/19/2012 16 0.45 134,694 44,444 CardioComm Solutions, Inc. Common Shares Langer, Anatoly 4 1/10/2013 10 0.18 40,796,166 42,500
CardioComm Solutions, Inc. Common Shares Langer, Anatoly 4 1/10/2013 10 0.17 40,806,666 10,500
Carmanah Technologies Corporation
Rights Restricted Stock Units
Cruickshank, Robert 4 1/2/2013 56 0.27 55,536 55,536
Catamaran Corporation (formerly SXC Health Solutions Corp.)
Common Shares Romza, John Henry 5 1/2/2013 51 2.8375 259,406 72,000
Catamaran Corporation (formerly SXC Health Solutions Corp.)
Common Shares Romza, John Henry 5 1/2/2013 10 48.436 194,006 -65,400
Catamaran Corporation (formerly SXC Health Solutions Corp.)
Common Shares Romza, John Henry 5 1/2/2013 10 49.05 187,406 -6,600
Insider Reporting
January 17, 2013
(2013) 36 OSCB 869
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Catamaran Corporation (formerly SXC Health Solutions Corp.)
Options Romza, John Henry 5 1/2/2013 51 2.8375 184,452 -72,000
Cava Resources Inc. (formerly Sea Green Capital Corp.)
Options Decker, James Henry 4 3/21/2012 52 250,000 -150,000
Cava Resources Inc. (formerly Sea Green Capital Corp.)
Options Decker, James Henry 4 7/20/2012 37 -200,000
Cava Resources Inc. (formerly Sea Green Capital Corp.)
Options Decker, James Henry 4 7/20/2012 37 0.5 50,000 -200,000
Cava Resources Inc. (formerly Sea Green Capital Corp.)
Options Decker, James Henry 4 12/31/2012 11 0.1 150,000
Cava Resources Inc. (formerly Sea Green Capital Corp.)
Options Decker, James Henry 4 12/31/2012 50 0.1 200,000 150,000
Cava Resources Inc. (formerly Sea Green Capital Corp.)
Options Falconer, Alexander 4 3/21/2012 52 400,000 -150,000
Cava Resources Inc. (formerly Sea Green Capital Corp.)
Options Falconer, Alexander 4 7/20/2012 37 -320,000
Cava Resources Inc. (formerly Sea Green Capital Corp.)
Options Falconer, Alexander 4 7/20/2012 37 0.5 80,000 -320,000
Cava Resources Inc. (formerly Sea Green Capital Corp.)
Options Falconer, Alexander 4 12/31/2012 50 200,000 120,000
Cava Resources Inc. (formerly Sea Green Capital Corp.)
Common Shares Hickey, John Vincent 4 12/31/2012 10 0.04 399,800 -10,000
Cava Resources Inc. (formerly Sea Green Capital Corp.)
Common Shares Hickey, John Vincent 4 1/4/2013 10 0.08 299,800 -100,000
Cava Resources Inc. (formerly Sea Green Capital Corp.)
Common Shares Hickey, John Vincent 4 1/4/2013 10 0.075 109,800 -190,000
Cava Resources Inc. (formerly Sea Green Capital Corp.)
Options Hickey, John Vincent 4 3/21/2012 52 500,000 -150,000
Cava Resources Inc. (formerly Sea Green Capital Corp.)
Options Hickey, John Vincent 4 7/20/2012 37 -400,000
Cava Resources Inc. (formerly Sea Green Capital Corp.)
Options Hickey, John Vincent 4 7/20/2012 37 0.5 100,000 -400,000
Cava Resources Inc. (formerly Sea Green Capital Corp.)
Options Peacock, Roger Stephen 4 3/21/2012 52 250,000 -150,000
Cava Resources Inc. (formerly Sea Green Capital Corp.)
Options Peacock, Roger Stephen 4 7/20/2012 37 0.5 50,000 -200,000
CB Gold Inc. Common Shares Baynham, Giles Edward 4 12/31/2012 47 10,402,222 -23,500 CB Gold Inc. Options Mare, Petrus H 5 1/7/2013 00 CB Gold Inc. Options Mare, Petrus H 5 1/7/2013 50 0.9 150,000 150,000 Celtic Exploration Ltd. Common Shares Franks, Alan G. 5 12/17/2012 30 26.13 14,509 55 Celtic Exploration Ltd. Common Shares Franks, Alan G. 5 1/2/2013 30 26.3 14,564 55 Celtic Exploration Ltd. Common Shares Lalani, Sadiq 5 11/30/2012 30 26.02 16,105 65 Celtic Exploration Ltd. Common Shares Lalani, Sadiq 5 12/17/2012 30 26.13 16,170 65 Celtic Exploration Ltd. Common Shares Lalani, Sadiq 5 12/31/2012 30 26.31 16,234 64 Celtic Exploration Ltd. Common Shares Shea, Michael 5 1/2/2013 30 26.31 14,755 56 Celtic Exploration Ltd. Common Shares Wilson, David John 3, 4, 5 12/17/2012 30 26.13 17,242 69 Celtic Exploration Ltd. Common Shares Wilson, David John 3, 4, 5 1/2/2013 30 26.3 17,311 69 Cenovus Energy Inc. Performance Share Units Brannan, John 5 12/31/2012 30 33.89 174,684 1
Cenovus Energy Inc. Performance Share Units Brannan, John 5 12/31/2012 30 33.89 176,446 1,762
Cenovus Energy Inc. Performance Share Units Brannan, John 5 12/31/2012 30 33.89 176,447 1
Cenovus Energy Inc. Performance Share Units Brannan, John 5 12/31/2012 30 33.89 178,011 1,564
Insider Reporting
January 17, 2013
(2013) 36 OSCB 870
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Cenovus Energy Inc. Performance Share Units Brannan, John 5 12/31/2012 30 33.89 179,272 1,261
Cenovus Energy Inc. Performance Share Units Chhina, Harbir Singh 5 12/31/2012 30 33.89 132,633 1
Cenovus Energy Inc. Performance Share Units Chhina, Harbir Singh 5 12/31/2012 30 33.89 133,954 1,321
Cenovus Energy Inc. Performance Share Units Chhina, Harbir Singh 5 12/31/2012 30 33.89 133,955 1
Cenovus Energy Inc. Performance Share Units Chhina, Harbir Singh 5 12/31/2012 30 33.89 135,058 1,103
Cenovus Energy Inc. Performance Share Units Chhina, Harbir Singh 5 12/31/2012 30 33.89 136,115 1,057
Cenovus Energy Inc. Deferred Share Units Dyte, Kerry Don 5 12/31/2012 30 33.89 14,387 1 Cenovus Energy Inc. Deferred Share Units Dyte, Kerry Don 5 12/31/2012 30 33.89 14,764 377 Cenovus Energy Inc. Performance Share Units Dyte, Kerry Don 5 12/31/2012 30 33.89 55,377 2
Cenovus Energy Inc. Performance Share Units Dyte, Kerry Don 5 12/31/2012 30 33.89 55,897 520
Cenovus Energy Inc. Performance Share Units Dyte, Kerry Don 5 12/31/2012 30 33.89 55,898 1
Cenovus Energy Inc. Performance Share Units Dyte, Kerry Don 5 12/31/2012 30 33.89 56,302 404
Cenovus Energy Inc. Performance Share Units Dyte, Kerry Don 5 12/31/2012 30 33.89 56,830 528
Cenovus Energy Inc. Common Shares Fairburn, Judy 5 12/31/2012 30 34.02 23,070 579 Cenovus Energy Inc. Common Shares Fairburn, Judy 5 12/31/2012 30 34.91 23,474 404 Cenovus Energy Inc. Common Shares Fairburn, Judy 5 12/31/2012 30 34.46 23,475 1 Cenovus Energy Inc. Common Shares Fairburn, Judy 5 1/7/2013 30 33.49 23,584 109 Cenovus Energy Inc. Performance Share Units Fairburn, Judy 5 12/31/2012 30 33.89 50,729 2
Cenovus Energy Inc. Performance Share Units Fairburn, Judy 5 12/31/2012 30 33.89 51,249 520
Cenovus Energy Inc. Performance Share Units Fairburn, Judy 5 12/31/2012 30 33.89 51,250 1
Cenovus Energy Inc. Performance Share Units Fairburn, Judy 5 12/31/2012 30 33.89 51,654 404
Cenovus Energy Inc. Performance Share Units Fairburn, Judy 5 12/31/2012 30 33.89 52,060 406
Cenovus Energy Inc. Deferred Share Units Ferguson, Brian Charles 4, 5 12/31/2012 30 33.89 125,132 3,202 Cenovus Energy Inc. Performance Share Units Ferguson, Brian Charles 4, 5 12/31/2012 30 33.89 231,956 1
Cenovus Energy Inc. Performance Share Units Ferguson, Brian Charles 4, 5 12/31/2012 30 33.89 234,159 2,203
Cenovus Energy Inc. Performance Share Units Ferguson, Brian Charles 4, 5 12/31/2012 30 33.89 234,160 1
Cenovus Energy Inc. Performance Share Units Ferguson, Brian Charles 4, 5 12/31/2012 30 33.89 236,175 2,015
Cenovus Energy Inc. Performance Share Units Ferguson, Brian Charles 4, 5 12/31/2012 30 33.89 238,048 1,873
Cenovus Energy Inc. Deferred Share Units McIntosh, Sheila 5 12/31/2012 30 33.89 87,566 2,241 Cenovus Energy Inc. Options McIntosh, Sheila 5 1/7/2013 59 32.96 338,301 -7,500 Cenovus Energy Inc. Performance Share Units McIntosh, Sheila 5 12/31/2012 30 33.89 66,323 1
Cenovus Energy Inc. Performance Share Units McIntosh, Sheila 5 12/31/2012 30 33.89 67,124 801
Cenovus Energy Inc. Performance Share Units McIntosh, Sheila 5 12/31/2012 30 33.89 67,125 1
Cenovus Energy Inc. Performance Share Units McIntosh, Sheila 5 12/31/2012 30 33.89 67,577 452
Cenovus Energy Inc. Performance Share Units McIntosh, Sheila 5 12/31/2012 30 33.89 68,065 488
Cenovus Energy Inc. Deferred Share Units Ruste, Ivor Melvin 5 12/31/2012 30 33.89 18,455 472 Cenovus Energy Inc. Performance Share Units Ruste, Ivor Melvin 5 12/31/2012 30 33.89 93,255 1
Cenovus Energy Inc. Performance Share Units Ruste, Ivor Melvin 5 12/31/2012 30 33.89 94,136 881
Cenovus Energy Inc. Performance Share Units Ruste, Ivor Melvin 5 12/31/2012 30 33.89 94,137 1
Cenovus Energy Inc. Performance Share Units Ruste, Ivor Melvin 5 12/31/2012 30 33.89 94,891 754
Cenovus Energy Inc. Performance Share Units Ruste, Ivor Melvin 5 12/31/2012 30 33.89 95,704 813
Insider Reporting
January 17, 2013
(2013) 36 OSCB 871
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Cenovus Energy Inc. Performance Share Units Swystun, Donald 5 12/31/2012 30 33.89 87,058 1
Cenovus Energy Inc. Performance Share Units Swystun, Donald 5 12/31/2012 30 33.89 87,939 881
Cenovus Energy Inc. Performance Share Units Swystun, Donald 5 12/31/2012 30 33.89 87,940 1
Cenovus Energy Inc. Performance Share Units Swystun, Donald 5 12/31/2012 30 33.89 88,694 754
Cenovus Energy Inc. Performance Share Units Swystun, Donald 5 12/31/2012 30 33.89 89,344 650
Cenovus Energy Inc. Common Shares Thomson, Wayne 4 1/8/2013 10 33.345 2,100 100 Cenovus Energy Inc. Common Shares Thomson, Wayne 4 1/8/2013 10 33.35 2,130 30 Cenovus Energy Inc. Deferred Share Units Walls, Hayward 5 12/31/2012 30 33.89 15,986 1 Cenovus Energy Inc. Deferred Share Units Walls, Hayward 5 12/31/2012 30 33.89 16,405 419 Cenovus Energy Inc. Performance Share Units Walls, Hayward 5 12/31/2012 30 33.89 71,241 1
Cenovus Energy Inc. Performance Share Units Walls, Hayward 5 12/31/2012 30 33.89 72,042 801
Cenovus Energy Inc. Performance Share Units Walls, Hayward 5 12/31/2012 30 33.89 72,542 500
Cenovus Energy Inc. Performance Share Units Walls, Hayward 5 12/31/2012 30 33.89 73,111 569
Centerra Gold Inc. Common Shares Hampole, Rajeev 7 1/11/2013 00 5,273 Centerra Gold Inc. Units Performance Share
Units Hampole, Rajeev 7 1/11/2013 00 3,040
Centerra Gold Inc. Rights Restricted Share Units
Pressler, Sheryl 4 1/10/2013 38 9.14 0 -2,500
CERF Incorporated Common Shares Guinan, William Charles 4, 5 10/1/2011 36 16,623 CERF Incorporated Common Shares Guinan, William Charles 4, 5 10/1/2011 36 16,623 CERF Incorporated Common Shares Guinan, William Charles 4, 5 10/1/2011 36 16,623 16,623 CERF Incorporated Units Guinan, William Charles 4, 5 10/1/2011 36 16,623 CGI Group Inc. Subordinate Voting Shares
Classe A Godin, Serge 3, 4 1/7/2013 30 22.982 93,307 310
CGI Group Inc. Subordinate Voting Shares Classe A
Imbeau, André 3, 4, 5 1/7/2013 30 22.982 26,473 35
Champion Iron Mines Limited (formerly Champion Minerals Inc.)
Common Shares ESTEPA, JORGE 5 1/4/2013 51 0.45 590,000 125,000
Champion Iron Mines Limited (formerly Champion Minerals Inc.)
Options ESTEPA, JORGE 5 1/4/2013 51 0.45 625,000 -125,000
Champion Iron Mines Limited (formerly Champion Minerals Inc.)
Common Shares Horvath, Alexander 4 1/4/2013 51 0.45 285,000 125,000
Champion Iron Mines Limited (formerly Champion Minerals Inc.)
Options Horvath, Alexander 4 1/4/2013 51 0.45 525,000 -125,000
Champion Iron Mines Limited (formerly Champion Minerals Inc.)
Common Shares LARSEN, THOMAS 4, 5 1/4/2013 51 0.45 793,500 185,000
Champion Iron Mines Limited (formerly Champion Minerals Inc.)
Options LARSEN, THOMAS 4, 5 1/4/2013 51 0.45 1,600,000 -185,000
Champion Iron Mines Limited (formerly Champion Minerals Inc.)
Common Shares NAGAMATSU, MILES 5 1/4/2013 51 0.45 697,500 125,000
Champion Iron Mines Limited (formerly Champion Minerals Inc.)
Options NAGAMATSU, MILES 5 1/4/2013 51 0.45 475,000 -125,000
Chartwell Seniors Housing Real Estate Investment Trust
Rights Restricted Trust Units
Annable, Sheri Lynn 5 12/31/2012 59 10.571 12,272 -5,548
Chartwell Seniors Housing Real Estate Investment Trust
Rights Restricted Trust Units
Annable, Sheri Lynn 5 12/31/2012 30 10.219 12,509 237
Chartwell Seniors Housing Real Estate Investment Trust
Deferred Units Bastarache, Lise 4 12/31/2012 30 10.313 30,714 1,858
Chartwell Seniors Housing Real Estate Investment Trust
Rights Restricted Trust Units
Binions, W. Brent 4, 5 12/31/2012 59 10.571 35,158 -52,418
Insider Reporting
January 17, 2013
(2013) 36 OSCB 872
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Chartwell Seniors Housing Real Estate Investment Trust
Rights Restricted Trust Units
Binions, W. Brent 4, 5 12/31/2012 30 10.219 36,320 1,162
Chartwell Seniors Housing Real Estate Investment Trust
Trust Units Binions, W. Brent 4, 5 12/31/2012 30 9.21 3,100 170
Chartwell Seniors Housing Real Estate Investment Trust
Trust Units Binions, W. Brent 4, 5 12/31/2012 30 9.25 35,138 1,866
Chartwell Seniors Housing Real Estate Investment Trust
Rights Restricted Trust Units
Boulakia, Jonathan 5 12/31/2012 59 10.571 11,918 -5,008
Chartwell Seniors Housing Real Estate Investment Trust
Rights Restricted Trust Units
Boulakia, Jonathan 5 12/31/2012 30 10.219 12,143 225
Chartwell Seniors Housing Real Estate Investment Trust
Deferred Units Harris, Michael Deane 4 12/31/2012 30 10.313 124,145 6,470
Chartwell Seniors Housing Real Estate Investment Trust
Deferred Units Kuzmicki, Andre 7 12/31/2012 30 10.313 67,026 3,813
Chartwell Seniors Housing Real Estate Investment Trust
Trust Units Kuzmicki, Andre 7 12/31/2012 30 9.41 8,784 493
Chartwell Seniors Housing Real Estate Investment Trust
Rights Restricted Trust Units
McKenzie, Philip Harold 5 12/31/2012 59 10.571 10,068 -2,586
Chartwell Seniors Housing Real Estate Investment Trust
Rights Restricted Trust Units
McKenzie, Philip Harold 5 12/31/2012 30 10.219 10,236 168
Chartwell Seniors Housing Real Estate Investment Trust
Trust Units McKenzie, Philip Harold 5 12/31/2012 30 9.41 12,123 478
Chartwell Seniors Housing Real Estate Investment Trust
Trust Units McKenzie, Philip Harold 5 12/31/2012 30 9.41 4,117 17
Chartwell Seniors Housing Real Estate Investment Trust
Trust Units McKenzie, Philip Harold 5 12/31/2012 30 9.41 16,141 661
Chartwell Seniors Housing Real Estate Investment Trust
Deferred Units Robinson, Sidney P H 4 12/31/2012 30 10.313 95,735 4,748
Chartwell Seniors Housing Real Estate Investment Trust
Deferred Units Sallows, Sharon 4 12/31/2012 30 10.313 35,371 2,816
Chartwell Seniors Housing Real Estate Investment Trust
Deferred Units Schwartz, Thomas 4 12/31/2012 30 10.313 81,947 3,985
Chartwell Seniors Housing Real Estate Investment Trust
Rights Restricted Trust Units
Sullivan, Karen Leslie 5 12/31/2012 59 10.571 11,922 -4,766
Chartwell Seniors Housing Real Estate Investment Trust
Rights Restricted Trust Units
Sullivan, Karen Leslie 5 12/31/2012 30 10.219 12,143 221
Chartwell Seniors Housing Real Estate Investment Trust
Trust Units Sullivan, Karen Leslie 5 12/31/2012 30 9.6 2,270 70
Chartwell Seniors Housing Real Estate Investment Trust
Deferred Units Thomas, John Huw 4 12/31/2012 30 10.313 11,712 3,367
Chartwell Seniors Housing Real Estate Investment Trust
Rights Restricted Trust Units
Volodarski, Vlad 5 12/31/2012 59 10.571 17,696 -7,502
Chartwell Seniors Housing Real Estate Investment Trust
Rights Restricted Trust Units
Volodarski, Vlad 5 12/31/2012 30 10.219 18,031 335
China Education Resources Inc.
Common Shares Keywise Greater China Master Fund
3 1/8/2013 10 0.16 5,288,500 -4,500
China Gold International Resources Corp. Ltd.
Common Shares He, Yingbin Ian 4 1/9/2013 51 2.2 160,000 40,000
China Gold International Resources Corp. Ltd.
Options He, Yingbin Ian 4 1/9/2013 51 100,000 -40,000
Insider Reporting
January 17, 2013
(2013) 36 OSCB 873
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
China Green Star Agricultural Corporation (formerly Aquarius Capital Corp.)
Common Shares Newman, G. Michael 4 1/3/2013 10 0.53 15,523 1,000
China Green Star Agricultural Corporation (formerly Aquarius Capital Corp.)
Common Shares Newman, G. Michael 4 1/4/2013 10 0.53 17,023 1,500
CI Financial Corp. Common Shares Blair, Lorraine P. 7 1/8/2013 10 25.097 47,035 -465 CI Financial Corp. Common Shares Chang, G. Raymond 7 1/9/2013 10 25.227 11,418,340 -5,000 CI Financial Corp. Common Shares Jamieson, Douglas J.R. 5 1/10/2013 51 25.42 92,450 2,450 CI Financial Corp. Common Shares Jamieson, Douglas J.R. 5 1/10/2013 10 25.53 90,000 -2,450 CI Financial Corp. Options Jamieson, Douglas J.R. 5 1/10/2013 51 21.27 65,000 -20,000 CI Financial Corp. Common Shares Murray, Sheila A. 5 1/8/2013 51 24.89 52,976 5,585 CI Financial Corp. Options Murray, Sheila A. 5 1/8/2013 51 21.27 110,000 -50,000 Citadel Income Fund (formerly Crown Hill Fund)
Trust Units Citadel Income Fund 1 12/19/2012 38 3.96 12,200 12,200
Citadel Income Fund (formerly Crown Hill Fund)
Trust Units Citadel Income Fund 1 12/19/2012 38 3.96 0 -12,200
Citadel Income Fund (formerly Crown Hill Fund)
Trust Units Citadel Income Fund 1 12/20/2012 38 4.0247 18,200 18,200
Citadel Income Fund (formerly Crown Hill Fund)
Trust Units Citadel Income Fund 1 12/20/2012 38 4.0247 0 -18,200
Citadel Income Fund (formerly Crown Hill Fund)
Trust Units Citadel Income Fund 1 12/21/2012 38 4.1225 147,800 147,800
Citadel Income Fund (formerly Crown Hill Fund)
Trust Units Citadel Income Fund 1 12/21/2012 38 4.1225 0 -147,800
Citadel Income Fund (formerly Crown Hill Fund)
Trust Units Citadel Income Fund 1 12/27/2012 38 3.97 2,000 2,000
Citadel Income Fund (formerly Crown Hill Fund)
Trust Units Citadel Income Fund 1 12/27/2012 38 3.97 0 -2,000
Clarke Inc. Common Shares Clarke Inc. 1 12/3/2012 38 4.56 2,000 1,000 Clarke Inc. Common Shares Clarke Inc. 1 12/5/2012 38 4.45 2,000 1,000 Clarke Inc. Common Shares Clarke Inc. 1 12/6/2012 38 4.46 3,000 1,000 Clarke Inc. Common Shares Clarke Inc. 1 12/6/2012 38 4.56 2,000 -1,000 Clarke Inc. Common Shares Clarke Inc. 1 12/10/2012 38 4.55 3,000 1,000 Clarke Inc. Common Shares Clarke Inc. 1 12/10/2012 38 4.45 2,000 -1,000 Clarke Inc. Common Shares Clarke Inc. 1 12/11/2012 38 4.55 3,000 1,000 Clarke Inc. Common Shares Clarke Inc. 1 12/11/2012 38 4.46 2,000 -1,000 Clarke Inc. Common Shares Clarke Inc. 1 12/12/2012 38 4.41 3,000 1,000 Clarke Inc. Common Shares Clarke Inc. 1 12/13/2012 37 4.36 4,000 1,000 Clarke Inc. Common Shares Clarke Inc. 1 12/13/2012 38 4.55 3,000 -1,000 Clarke Inc. Common Shares Clarke Inc. 1 12/14/2012 38 4.55 2,000 -1,000 Clarke Inc. Common Shares Clarke Inc. 1 12/17/2012 38 4.41 1,000 -1,000 Clarke Inc. Common Shares Clarke Inc. 1 12/18/2012 38 4.36 0 -1,000 Clear Mountain Resources Corp.
Common Shares Morris, Patrick 4, 5 1/8/2013 10 570,000 -30,000
Coastal Energy Company Common Shares Wyatt, Oscar Sherman, Jr. 3 1/4/2013 47 27,793,428 -70,000 Colossus Minerals Inc. Options Brooks, Jason Alexander 5 1/9/2013 50 260,000 85,000 Colossus Minerals Inc. Options Duncan, Lesley Ruth 5 1/9/2013 50 260,000 85,000 Colossus Minerals Inc. Options Greenhouse, Alden Robert 5 1/9/2013 50 625,000 175,000
Colossus Minerals Inc. Options Long, Graham Gerald 5 1/9/2013 50 275,000 100,000 Colossus Minerals Inc. Options Mancuso, Claudio 4, 5 1/9/2013 50 1,200,000 300,000 Colossus Minerals Inc. Options Wilkinson, Elizabeth Ann 5 1/9/2013 50 300,000 100,000 Cominar Real Estate Investment Trust
Trust Units Ouellette, Michel 5 12/27/2012 10 22.55 27,302 250
Condor Petroleum Inc. Common Shares Eurasia Resource Holdings AG
3 1/4/2013 10 0.34 147,531,145 9,000
Condor Petroleum Inc. Common Shares Eurasia Resource Holdings AG
3 1/4/2013 10 0.345 147,533,645 2,500
Condor Petroleum Inc. Common Shares Eurasia Resource Holdings AG
3 1/7/2013 10 0.34 147,535,145 1,500
Condor Petroleum Inc. Common Shares Eurasia Resource Holdings AG
3 1/7/2013 10 0.345 147,538,645 3,500
Condor Petroleum Inc. Common Shares Eurasia Resource Holdings AG
3 1/7/2013 10 0.35 147,548,645 10,000
Condor Petroleum Inc. Common Shares Eurasia Resource Holdings AG
3 1/8/2013 10 0.35 147,568,645 20,000
Condor Petroleum Inc. Common Shares Eurasia Resource Holdings AG
3 1/8/2013 10 0.345 147,569,645 1,000
Condor Petroleum Inc. Common Shares Eurasia Resource Holdings AG
3 1/10/2013 10 0.35 147,574,645 5,000
Insider Reporting
January 17, 2013
(2013) 36 OSCB 874
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Condor Petroleum Inc. Common Shares Eurasia Resource Holdings AG
3 1/10/2013 10 0.345 147,579,645 5,000
Connacher Oil and Gas Limited
Common Shares Bessell, Donald Hugh 4 1/7/2013 57 0.21 432,961 98,838
Connacher Oil and Gas Limited
Common Shares Bessell, Donald Hugh 4 1/7/2013 97 0.21 393,268 -39,693
Connacher Oil and Gas Limited
Share Award Units Bessell, Donald Hugh 4 1/3/2013 56 523,838 425,000
Connacher Oil and Gas Limited
Share Award Units Bessell, Donald Hugh 4 1/7/2013 57 425,000 -98,838
Connacher Oil and Gas Limited
Share Award Units Boland, Gregory Alan 4 2/16/2012 00
Connacher Oil and Gas Limited
Share Award Units Boland, Gregory Alan 4 1/3/2013 56 0.2 425,000 425,000
Connacher Oil and Gas Limited
Common Shares Evans, Colin Michael 4, 5 1/7/2013 57 0.21 290,150 98,838
Connacher Oil and Gas Limited
Share Award Units Evans, Colin Michael 4, 5 1/7/2013 57 0 -98,838
Connacher Oil and Gas Limited
Common Shares Kennedy, Jennifer Kathleen 4 1/7/2013 57 0.21 432,514 98,838
Connacher Oil and Gas Limited
Common Shares Kennedy, Jennifer Kathleen 4 1/7/2013 97 393,967 -38,547
Connacher Oil and Gas Limited
Share Award Units Kennedy, Jennifer Kathleen 4 1/3/2013 56 523,838 425,000
Connacher Oil and Gas Limited
Share Award Units Kennedy, Jennifer Kathleen 4 1/7/2013 57 425,000 -98,838
Connacher Oil and Gas Limited
Share Award Units Mihaichuk, Garry Paul 4 3/15/2012 00
Connacher Oil and Gas Limited
Share Award Units Mihaichuk, Garry Paul 4 1/3/2013 56 425,000 425,000
Connacher Oil and Gas Limited
Common Shares Ogle, Kelly James 4, 5 1/7/2013 57 0.21 243,577 98,838
Connacher Oil and Gas Limited
Share Award Units Ogle, Kelly James 4, 5 1/7/2013 57 0 -98,838
Connacher Oil and Gas Limited
Common Shares SETH, WAZIR, CHAND 4 1/7/2013 57 0.21 459,797 98,838
Connacher Oil and Gas Limited
Common Shares SETH, WAZIR, CHAND 4 1/7/2013 97 0.21 421,250 -38,547
Connacher Oil and Gas Limited
Share Award Units SETH, WAZIR, CHAND 4 1/3/2013 56 523,838 425,000
Connacher Oil and Gas Limited
Share Award Units SETH, WAZIR, CHAND 4 1/7/2013 57 425,000 -98,838
Conquest Resources Limited Common Shares Whitelaw, Douglas Brett 4, 5 1/9/2013 10 0.02 640,000 -20,000
Conquest Resources Limited Common Shares Whitelaw, Douglas Brett 4, 5 1/11/2013 10 0.02 630,000 -10,000
Copper Mountain Mining Corporation
Common Shares Holbek, Peter Michael 5 1/9/2013 10 4.15 168,000 -5,000
Copper Reef Mining Corporation
Common Shares Masson, Stephen Leo 3 1/10/2013 10 0.06 6,881,500 13,000
Corby Distilleries Limited Common Shares Class A Alexander, Andrew 5 12/17/2012 35 17.2 16,744 164
Corby Distilleries Limited Common Shares Class A Alexander, Andrew 5 12/21/2012 30 17.414 16,934 190
Corby Distilleries Limited Common Shares Class A Holub, Paul 5 12/17/2012 35 17.2 11,795 115
Corby Distilleries Limited Common Shares Class A Holub, Paul 5 12/21/2012 30 17.414 11,952 157
Corby Distilleries Limited Common Shares Class A Leburn, John Kevin Stewart 4, 5 12/17/2012 35 17.2 994 10
Corby Distilleries Limited Common Shares Class A Leburn, John Kevin Stewart 4, 5 12/21/2012 30 17.414 1,078 84
Corby Distilleries Limited Common Shares Class A Llewellyn, Robert 4 12/17/2012 35 17.2 4,469 37
Corby Distilleries Limited Common Shares Class A Lussier, Donald Vincent 4 12/17/2012 35 17.2 3,074 22
Corby Distilleries Limited Common Shares Class A McCarthy, George 4 12/17/2012 35 17.2 14,877 124
Corby Distilleries Limited Common Shares Class A Nielsen, Patricia 4 12/17/2012 35 17.2 15,442 116
Corby Distilleries Limited Common Shares Class A O'Driscoll, Roland Patrick 4, 5 12/17/2012 35 17.2 4,992 49
Insider Reporting
January 17, 2013
(2013) 36 OSCB 875
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Corby Distilleries Limited Common Shares Class A O'Driscoll, Roland Patrick 4, 5 12/21/2012 30 17.414 5,107 115
Corby Distilleries Limited Common Shares Class A Valencia, Marc Andrew 5 12/17/2012 35 17.2 12,141 119
Corby Distilleries Limited Common Shares Class A Valencia, Marc Andrew 5 12/21/2012 30 17.414 12,302 161
Coro Mining Corp. Common Shares Philpot, Michael 4, 5 12/21/2012 10 0.19 2,543,000 5,000 Coro Mining Corp. Common Shares Philpot, Michael 4, 5 12/24/2012 10 0.2 2,548,000 5,000 Coro Mining Corp. Common Shares Philpot, Michael 4, 5 12/24/2012 10 0.23 2,551,000 3,000 Coro Mining Corp. Common Shares Philpot, Michael 4, 5 1/3/2013 10 0.22 2,556,000 5,000 Coro Mining Corp. Common Shares Philpot, Michael 4, 5 1/4/2013 10 0.24 2,561,000 5,000 Coro Mining Corp. Common Shares Philpot, Michael 4, 5 1/4/2013 10 0.24 2,566,000 5,000 Coro Mining Corp. Common Shares Philpot, Michael 4, 5 1/8/2013 10 0.22 2,569,000 3,000 Coro Mining Corp. Common Shares Philpot, Michael 4, 5 1/9/2013 10 0.22 2,574,000 5,000 Coro Mining Corp. Common Shares Philpot, Michael 4, 5 1/9/2013 10 0.23 2,582,500 8,500 Coro Mining Corp. Common Shares Philpot, Michael 4, 5 1/10/2013 10 0.24 2,599,500 17,000 Coro Mining Corp. Common Shares Philpot, Michael 4, 5 1/10/2013 10 0.24 2,609,500 10,000 Corona Gold Corporation (formerly Blue Echo Ventures Inc.)
Common Shares John, William Murray 5 1/8/2013 10 0.62 1,540,928 24,500
Crailar Technologies Inc. Common Shares Finnis, Jason 4, 5 1/4/2013 10 2.21 1,366,664 -2,500 Crailar Technologies Inc. Common Shares Harrison, Larisa 4, 5 1/4/2013 10 2.12 1,338,865 -2,500 Crailar Technologies Inc. Common Shares Prevost, Guy 4, 5 1/9/2013 51 1.17 80,800 5,000 Crailar Technologies Inc. Options Prevost, Guy 4, 5 1/9/2013 51 1.17 735,000 -5,000 Crescent Point Energy Corp. Common Shares Colborne, Paul 4 1/2/2013 10 37.75 159,600 4,625
Crescent Point Energy Corp. Common Shares Colborne, Paul 4 1/3/2013 10 36.67 167,100 7,500
Crescent Point Energy Corp. Common Shares Colborne, Paul 4 1/4/2013 10 36.16 172,100 5,000
Crescent Point Energy Corp. Common Shares Colborne, Paul 4 1/7/2013 10 36.9 174,600 2,500
Crescent Point Energy Corp. Common Shares Colborne, Paul 4 1/8/2013 10 37.12 177,100 2,500
Crescent Point Energy Corp. Common Shares Colborne, Paul 4 1/9/2013 10 37.57 179,600 2,500
Crescent Point Energy Corp. Common Shares Gritzfeldt, Ryan Chad Raymond
5 1/9/2013 10 37.5 105,542 -15,000
Crescent Point Energy Corp. Common Shares ROMANZIN, GERALD A. 4 1/11/2013 10 38.29 1,236 -1,000
Crestwell Resources Inc. Common Shares baker, nelson 4, 5 1/3/2013 10 0.145 426,500 6,500 Crestwell Resources Inc. Common Shares baker, nelson 4, 5 1/3/2013 10 0.15 436,500 10,000 Crestwell Resources Inc. Common Shares bertram, marshall 4 1/3/2013 10 0.15 531,000 14,000 Crestwell Resources Inc. Common Shares bertram, marshall 4 1/3/2013 11 0.15 560,000 29,000 Crestwell Resources Inc. Options Morita, John Shigeo 4, 5 5/1/2012 00 Crestwell Resources Inc. Options Morita, John Shigeo 4, 5 5/1/2012 00 Crestwell Resources Inc. Options Morita, John Shigeo 4, 5 12/6/2012 50 0.15 63,000 63,000 Crew Energy Inc. Common Shares FISCHER, KURTIS 5 12/10/2012 10 6.8755 -51,000 Crew Energy Inc. Common Shares FISCHER, KURTIS 5 12/10/2012 51 6.8755 0 -51,000 Crew Energy Inc. Common Shares Nerland, Dennis Leroy 4 12/21/2012 51 5.3 47,905 21,000 Crew Energy Inc. Options Nerland, Dennis Leroy 4 12/21/2012 51 87,000 -21,000 Crew Energy Inc. Common Shares Shwed, Dale Orest 5 12/30/2012 10 126,000 Crew Energy Inc. Common Shares Shwed, Dale Orest 5 12/30/2012 51 853,532 126,000 Crew Energy Inc. Options Shwed, Dale Orest 5 12/30/2012 52 530 -126,000 Crew Energy Inc. Options Shwed, Dale Orest 5 12/30/2012 51 530 801,000 -126,000 Crew Energy Inc. Common Shares SMITH, GARY PARKER 5 12/6/2012 10 5.3 40,000 Crew Energy Inc. Common Shares SMITH, GARY PARKER 5 12/6/2012 51 5.3 40,000 40,000 Crew Energy Inc. Common Shares SMITH, GARY PARKER 5 12/6/2012 10 6.77 -40,000 Crew Energy Inc. Common Shares SMITH, GARY PARKER 5 12/6/2012 51 6.77 0 -40,000 Critical Outcome Technologies Inc.
Common Shares Drake, John C. 3, 5 1/10/2013 10 0.15 3,436,718 20,000
Critical Outcome Technologies Inc.
Common Shares Kelly, Eugene Francis 5 1/7/2013 90 0.135 766,497 -40,740
Critical Outcome Technologies Inc.
Common Shares Kelly, Eugene Francis 5 1/7/2013 90 0.135 57,000 40,740
Crystallex International Corporation
Options Fung, Robert Arthur 4 1/11/2013 52 2.14 3,235,000 50,000
Crystallex International Corporation
Options Oppenheimer, Marc Jeffrey 4 1/11/2013 52 2.14 2,720,000 50,000
Currency Exchange International, Corp.
Common Shares Mickleborough, Mark Douglas
4 1/9/2013 10 7.1 7,000 1,000
CWC Well Services Corp. Common Shares Dawson, Frederick Curtis 5 1/7/2013 51 0.65 757,719 200,000 CWC Well Services Corp. Options Dawson, Frederick Curtis 5 1/7/2013 51 0.25 1,100,000 -200,000 Cyberplex Inc. Common Shares Rotstein, Geoffrey 4, 5 12/31/2012 10 0.075 1,192,700 20,000
Insider Reporting
January 17, 2013
(2013) 36 OSCB 876
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
CYGAM Energy Inc. Options Haverson, Peter 4 1/2/2013 52 260,000 -250,000 CYGAM Energy Inc. Options Rigo de Righi, Giuseppe 4, 5 1/2/2013 52 618,000 -300,000 Cymbria Corporation Non-Voting Shares Class
A Shares Cymbria Corporation 1 1/7/2013 38 13.001 326,400 3,000
Cymbria Corporation Non-Voting Shares Class A Shares
Cymbria Corporation 1 1/8/2013 38 12.963 329,100 2,700
Cymbria Corporation Non-Voting Shares Class A Shares
Cymbria Corporation 1 1/9/2013 38 13.11 333,600 4,500
Cymbria Corporation Non-Voting Shares Class A Shares
Cymbria Corporation 1 1/10/2013 38 13.248 339,100 5,500
Cymbria Corporation Non-Voting Shares Class A Shares
Cymbria Corporation 1 1/11/2013 38 13.288 344,600 5,500
DDJ High Yield Fund Units DDJ High Yield Fund 1 12/11/2012 38 10.14 1,200 1,200 DDJ High Yield Fund Units DDJ High Yield Fund 1 12/11/2012 38 0 -1,200 DDJ High Yield Fund Units DDJ High Yield Fund 1 12/17/2012 38 10.25 300 300 DDJ High Yield Fund Units DDJ High Yield Fund 1 12/17/2012 38 0 -300 DDJ High Yield Fund Units DDJ High Yield Fund 1 12/19/2012 38 10.26 1,000 1,000 DDJ High Yield Fund Units DDJ High Yield Fund 1 12/19/2012 38 0 -1,000 DDJ High Yield Fund Units DDJ High Yield Fund 1 12/27/2012 38 10.29 1,000 1,000 DDJ High Yield Fund Units DDJ High Yield Fund 1 12/27/2012 38 0 -1,000 DeeThree Exploration Ltd. Common Shares Hamm, Henry Peter 4 1/9/2013 10 6.8 1,895,567 500 DeeThree Exploration Ltd. Common Shares Hamm, Henry Peter 4 1/9/2013 10 6.8 1,896,767 1,200 DeeThree Exploration Ltd. Common Shares Hamm, Henry Peter 4 1/9/2013 10 6.8 1,896,867 100 DELPHI ENERGY CORP. Common Shares Angelidis, Tony 4, 5 1/11/2013 30 1.11 736,154 5,241 DELPHI ENERGY CORP. Common Shares Batteke, Hugo 5 1/11/2013 30 1.11 173,028 4,765 DELPHI ENERGY CORP. Common Shares Galvin, Michael 5 1/11/2013 30 1.11 102,266 4,860 DELPHI ENERGY CORP. Common Shares Hume, Rod Allan 5 1/11/2013 30 1.11 152,296 5,336 DELPHI ENERGY CORP. Common Shares Kohlhammer, Brian 5 1/11/2013 30 1.11 143,671 5,956 DELPHI ENERGY CORP. Common Shares Reid, David James 4, 5 1/11/2013 30 1.11 235,311 7,147 Denison Mines Corp. (formerly International Uranium Corporation)
Common Shares Cates, David Daniel 5 1/1/2013 00 1,475
Denison Mines Corp. (formerly International Uranium Corporation)
Options Cates, David Daniel 5 1/1/2013 00 107,000
Detour Gold Corporation Common Shares Hibbard, Ingrid Jo-Ann 4 1/10/2013 10 24.49 171,244 -2,000 DIAZ RESOURCES LTD. Common Shares McPherson, Robert
Lockland 4 12/17/2012 37 0 -38,750
DIAZ RESOURCES LTD. Common Shares McPherson, Robert Lockland
4 12/17/2012 37 1,400
DIAZ RESOURCES LTD. Common Shares McPherson, Robert Lockland
4 12/17/2012 37 1,550 1,550
DIAZ RESOURCES LTD. Options McPherson, Robert Lockland
4 12/17/2012 52 0 -125,000
DIAZ RESOURCES LTD. Options McPherson, Robert Lockland
4 12/17/2012 37 6.25 1,000 1,000
DIAZ RESOURCES LTD. Options McPherson, Robert Lockland
4 12/17/2012 37 4.75 8,000 7,000
Digifonica International Inc. Common Shares McMorran, Robert George 4, 5 12/12/2012 54 0.1 400,000 200,000
Digifonica International Inc. Warrants McMorran, Robert George 4, 5 12/12/2012 54 0 -200,000
Diversinet Corp. Common Shares Eidinger, Richard Neil 4 1/7/2013 46 175,000 18,750 Dividend 15 Split Corp. Preferred Shares Finch, S. Wayne 4, 5 7/4/2008 57 10 435 435 Dividend 15 Split Corp. Preferred Shares Finch, S. Wayne 4, 5 8/31/2012 47 95,464 -25,000 Dividend 15 Split Corp. Preferred Shares Finch, S. Wayne 4, 5 11/28/2012 47 20,464 -75,000 Dividend 15 Split Corp. Rights Finch, S. Wayne 4, 5 5/2/2008 56 1,743 1,743 Dividend 15 Split Corp. Rights Finch, S. Wayne 4, 5 7/4/2008 57 0 -1,743 Dollarama Inc. Common Shares Dollarama Inc. 1 12/19/2012 38 56.843 245,200 245,200 Dollarama Inc. Common Shares Dollarama Inc. 1 12/19/2012 38 0 -245,200 Dollarama Inc. Common Shares Dollarama Inc. 1 12/20/2012 38 58.119 40,083 40,083 Dollarama Inc. Common Shares Dollarama Inc. 1 12/20/2012 38 0 -40,083 Dollarama Inc. Common Shares Dollarama Inc. 1 12/21/2012 38 58.064 40,083 40,083 Dollarama Inc. Common Shares Dollarama Inc. 1 12/21/2012 38 0 -40,083 Dollarama Inc. Common Shares Dollarama Inc. 1 12/24/2012 38 58.605 40,083 40,083 Dollarama Inc. Common Shares Dollarama Inc. 1 12/24/2012 38 0 -40,083 Dollarama Inc. Common Shares Dollarama Inc. 1 12/27/2012 38 58.78 40,083 40,083 Dollarama Inc. Common Shares Dollarama Inc. 1 12/27/2012 38 0 -40,083 Dollarama Inc. Common Shares Dollarama Inc. 1 12/28/2012 38 58.874 18,400 18,400 Dollarama Inc. Common Shares Dollarama Inc. 1 12/28/2012 38 0 -18,400 Dollarama Inc. Common Shares Dollarama Inc. 1 12/31/2012 38 59 4,800 4,800 Dollarama Inc. Common Shares Dollarama Inc. 1 12/31/2012 38 0 -4,800 Dollarama Inc. Common Shares Swidler, John Joseph 4 1/10/2013 10 57.75 3,000 1,500 Dollarama Inc. Common Shares Swidler, John Joseph 4 1/5/2010 00
Insider Reporting
January 17, 2013
(2013) 36 OSCB 877
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Dollarama Inc. Common Shares Swidler, John Joseph 4 1/10/2013 10 57.75 1,700 1,000 Dollarama Inc. Common Shares Swidler, John Joseph 4 1/10/2013 10 57.75 43,000 1,500 Dorel Industries Inc. Rights Deferred Share
Units Baird, Robert 5 11/22/2012 35 37.01 4,523 37
DPF India Opportunities Fund Trust Units DPF India Opportunities Fund, DPF India Opportunities Fund
1 12/3/2012 38 3.56 10,000 10,000
DPF India Opportunities Fund Trust Units DPF India Opportunities Fund, DPF India Opportunities Fund
1 12/3/2012 38 3.56 0 -10,000
DPF India Opportunities Fund Trust Units DPF India Opportunities Fund, DPF India Opportunities Fund
1 12/4/2012 38 3.55 7,200 7,200
DPF India Opportunities Fund Trust Units DPF India Opportunities Fund, DPF India Opportunities Fund
1 12/4/2012 38 3.55 0 -7,200
DPF India Opportunities Fund Trust Units DPF India Opportunities Fund, DPF India Opportunities Fund
1 12/5/2012 38 3.59 10,000 10,000
DPF India Opportunities Fund Trust Units DPF India Opportunities Fund, DPF India Opportunities Fund
1 12/5/2012 38 3.59 0 -10,000
DPF India Opportunities Fund Trust Units DPF India Opportunities Fund, DPF India Opportunities Fund
1 12/6/2012 38 3.56 3,400 3,400
DPF India Opportunities Fund Trust Units DPF India Opportunities Fund, DPF India Opportunities Fund
1 12/6/2012 38 3.56 0 -3,400
DPF India Opportunities Fund Trust Units DPF India Opportunities Fund, DPF India Opportunities Fund
1 12/10/2012 38 3.57 6,600 6,600
DPF India Opportunities Fund Trust Units DPF India Opportunities Fund, DPF India Opportunities Fund
1 12/10/2012 38 3.57 0 -6,600
DPF India Opportunities Fund Trust Units DPF India Opportunities Fund, DPF India Opportunities Fund
1 12/11/2012 38 3.58 9,400 9,400
DPF India Opportunities Fund Trust Units DPF India Opportunities Fund, DPF India Opportunities Fund
1 12/11/2012 38 3.58 0 -9,400
DPF India Opportunities Fund Trust Units DPF India Opportunities Fund, DPF India Opportunities Fund
1 12/12/2012 38 3.65 10,600 10,600
DPF India Opportunities Fund Trust Units DPF India Opportunities Fund, DPF India Opportunities Fund
1 12/12/2012 38 3.65 0 -10,600
DPF India Opportunities Fund Trust Units DPF India Opportunities Fund, DPF India Opportunities Fund
1 12/13/2012 38 3.61 3,200 3,200
DPF India Opportunities Fund Trust Units DPF India Opportunities Fund, DPF India Opportunities Fund
1 12/13/2012 38 3.61 0 -3,200
DPF India Opportunities Fund Trust Units DPF India Opportunities Fund, DPF India Opportunities Fund
1 12/14/2012 38 3.66 10,000 10,000
DPF India Opportunities Fund Trust Units DPF India Opportunities Fund, DPF India Opportunities Fund
1 12/14/2012 38 3.66 0 -10,000
DPF India Opportunities Fund Trust Units DPF India Opportunities Fund, DPF India Opportunities Fund
1 12/17/2012 38 3.66 10,000 10,000
DPF India Opportunities Fund Trust Units DPF India Opportunities Fund, DPF India Opportunities Fund
1 12/17/2012 38 3.66 0 -10,000
DPF India Opportunities Fund Trust Units DPF India Opportunities Fund, DPF India Opportunities Fund
1 12/18/2012 38 3.68 10,000 10,000
DPF India Opportunities Fund Trust Units DPF India Opportunities Fund, DPF India Opportunities Fund
1 12/18/2012 38 3.68 0 -10,000
DPF India Opportunities Fund Trust Units DPF India Opportunities Fund, DPF India Opportunities Fund
1 12/19/2012 38 3.71 10,000 10,000
Insider Reporting
January 17, 2013
(2013) 36 OSCB 878
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
DPF India Opportunities Fund Trust Units DPF India Opportunities Fund, DPF India Opportunities Fund
1 12/19/2012 38 3.71 0 -10,000
DPF India Opportunities Fund Trust Units DPF India Opportunities Fund, DPF India Opportunities Fund
1 12/20/2012 38 3.66 1,600 1,600
DPF India Opportunities Fund Trust Units DPF India Opportunities Fund, DPF India Opportunities Fund
1 12/20/2012 38 3.66 0 -1,600
DPF India Opportunities Fund Trust Units DPF India Opportunities Fund, DPF India Opportunities Fund
1 12/21/2012 38 3.67 8,400 8,400
DPF India Opportunities Fund Trust Units DPF India Opportunities Fund, DPF India Opportunities Fund
1 12/21/2012 38 3.67 0 -8,400
DPF India Opportunities Fund Trust Units DPF India Opportunities Fund, DPF India Opportunities Fund
1 12/24/2012 38 3.74 7,700 7,700
DPF India Opportunities Fund Trust Units DPF India Opportunities Fund, DPF India Opportunities Fund
1 12/24/2012 38 3.74 0 -7,700
DPF India Opportunities Fund Trust Units DPF India Opportunities Fund, DPF India Opportunities Fund
1 12/27/2012 38 3.6 6,500 6,500
DPF India Opportunities Fund Trust Units DPF India Opportunities Fund, DPF India Opportunities Fund
1 12/27/2012 38 3.6 0 -6,500
DPF India Opportunities Fund Trust Units DPF India Opportunities Fund, DPF India Opportunities Fund
1 12/28/2012 38 3.62 900 900
DPF India Opportunities Fund Trust Units DPF India Opportunities Fund, DPF India Opportunities Fund
1 12/28/2012 38 3.62 0 -900
DPF India Opportunities Fund Trust Units DPF India Opportunities Fund, DPF India Opportunities Fund
1 12/31/2012 38 3.65 9,100 9,100
DPF India Opportunities Fund Trust Units DPF India Opportunities Fund, DPF India Opportunities Fund
1 12/31/2012 38 3.65 0 -9,100
DragonWave Inc. Common Shares Farrar, David Russell 7, 5 1/3/2013 30 3.2478 240,133 740 DragonWave Inc. Common Shares Frederick, Russell, James 5 1/3/2013 30 3.2478 83,374 370 Duncan Park Holdings Corporation
Options Kornze, Larry 4 1/2/2013 52 700,000 -250,000
Duncan Park Holdings Corporation
Options McAvity, Ian Malcolm Temple
4, 5 1/2/2013 52 1,000,000 -300,000
Duncan Park Holdings Corporation
Options Salsberg, Eric 4 1/7/2013 52 0.3 600,000 -100,000
Dundee Energy Limited (formerly Eurogas Corporation)
Common Shares MacRae, Garth A. C. 4, 6 1/7/2013 11 0.6 830,000 10,000
Dundee Precious Metals Inc. Options Gosse, Richard 5 1/7/2013 00 35,000
Dundee Precious Metals Inc. Common Shares Wilson, William George 4 1/8/2013 51 1.37 11,500 11,500
Dundee Precious Metals Inc. Common Shares Wilson, William George 4 1/8/2013 10 8.95 0 -11,500
Dundee Precious Metals Inc. Common Shares Wilson, William George 4 1/9/2013 51 1.37 18,500 18,500
Dundee Precious Metals Inc. Common Shares Wilson, William George 4 1/9/2013 10 8.95 0 -18,500
Dundee Precious Metals Inc. Options Wilson, William George 4 1/8/2013 51 1.37 166,500 -11,500
Dundee Precious Metals Inc. Options Wilson, William George 4 1/9/2013 51 1.37 148,000 -18,500
DXStorm.Com Inc. Common Shares Popovic, Zoran 4 1/3/2013 10 0.075 2,516,416 7,000 DXStorm.Com Inc. Common Shares Popovic, Zoran 4 1/3/2013 10 0.08 2,519,416 3,000 Eagle Star Minerals Corp. Common Shares Friedlander, Eran 4, 5 1/7/2013 10 0.13 6,337,500 15,000 Eagle Star Minerals Corp. Common Shares Friedlander, Eran 4, 5 1/8/2013 10 0.15 6,347,500 10,000 Eastern Platinum Limited Options Andrews, John Edward 4 1/8/2013 50 0.19 5,800,000 3,500,000 Eastern Platinum Limited Options Cohen, David William 4, 5 1/8/2013 50 0.19 8,320,000 1,400,000 Eastern Platinum Limited Options Gayton, Robert 4 1/8/2013 50 0.19 2,198,000 1,000,000 Eastern Platinum Limited Options Keep, Gordon 4 1/8/2013 50 2,198,000 1,000,000 Eastern Platinum Limited Options Lee, Horng Dih 5 1/8/2013 50 0.19 4,300,000 2,500,000 Eastern Platinum Limited Options Montpellier, Brian 5 1/8/2013 50 0.19 4,300,000 2,500,000
Insider Reporting
January 17, 2013
(2013) 36 OSCB 879
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Eastern Platinum Limited Options Roberts, John Merfyn 4 11/28/2006 52 1.7 0 -250,000 Eastern Platinum Limited Options Roberts, John Merfyn 4 3/8/2007 52 1.82 0 -750,000 Eastern Platinum Limited Options Roberts, John Merfyn 4 12/18/2008 50 0.32 800,000 600,000 Eastern Platinum Limited Options Roberts, John Merfyn 4 1/18/2010 50 1.3 900,000 100,000 Eastern Platinum Limited Options Roberts, John Merfyn 4 1/8/2013 50 0.19 2,298,000 1,000,000 Eastern Platinum Limited Options Rozier, Ian Terry 4, 5 1/8/2013 50 0.19 13,000,000 5,000,000 EcoSynthetix Inc. Common Shares Bloembergen, Steven 5 7/6/2011 00 EcoSynthetix Inc. Common Shares Bloembergen, Steven 5 8/4/2011 00 EcoSynthetix Inc. Common Shares Bloembergen, Steven 5 8/4/2011 00 749,112 EcoSynthetix Inc. Common Shares Bloembergen, Steven 5 8/4/2011 10 9 749,112 EcoSynthetix Inc. Common Shares Bloembergen, Steven 5 8/4/2011 10 9 107,016 EcoSynthetix Inc. Common Shares Bloembergen, Steven 5 8/4/2011 10 9 107,016 EcoSynthetix Inc. Common Shares Bloembergen, Steven 5 8/4/2011 99 9 107,016 EcoSynthetix Inc. Common Shares Bloembergen, Steven 5 8/4/2011 99 9 107,016 EcoSynthetix Inc. Common Shares Bloembergen, Steven 5 9/12/2011 10 8.46 -1,722 EcoSynthetix Inc. Common Shares Bloembergen, Steven 5 9/12/2011 10 8.46 -1,722 EcoSynthetix Inc. Common Shares Bloembergen, Steven 5 9/12/2011 10 8.46 737,058 -12,054 EcoSynthetix Inc. Common Shares Bloembergen, Steven 5 1/9/2013 10 3.25 625,058 -112,000 EcoSynthetix Inc. Common Shares Haire, Robert Martin 5 8/4/2011 00 EcoSynthetix Inc. Common Shares Haire, Robert Martin 5 1/8/2013 51 0.787 12,000 EcoSynthetix Inc. Common Shares Haire, Robert Martin 5 1/8/2013 51 0.787 120,000 120,000 EcoSynthetix Inc. Common Shares Haire, Robert Martin 5 1/9/2013 10 3.25 0 -120,000 EcoSynthetix Inc. Options Haire, Robert Martin 5 1/8/2013 51 0.787 -120,000 EcoSynthetix Inc. Options Haire, Robert Martin 5 1/8/2013 51 0.787 -120,000 EcoSynthetix Inc. Options Haire, Robert Martin 5 1/8/2013 51 0.787 -120,000 EcoSynthetix Inc. Options Haire, Robert Martin 5 1/8/2013 51 0.787 455,050 -120,000 EcoSynthetix Inc. Common Shares van Leeuwen, John 4, 5 12/31/2012 47 3.45 138,345 -30,000 EcoSynthetix Inc. Common Shares VanEgdom, Edward (Ted) 5 8/4/2011 00 EcoSynthetix Inc. Common Shares VanEgdom, Edward (Ted) 5 1/8/2013 51 0.078 120,000 120,000 EcoSynthetix Inc. Common Shares VanEgdom, Edward (Ted) 5 1/9/2013 10 3.25 0 -120,000 EcoSynthetix Inc. Options VanEgdom, Edward (Ted) 5 1/8/2013 51 0.078 473,159 -120,000 Edleun Group, Inc. Common Shares Vision Capital Corporation 3 1/8/2013 10 0.46 7,698,637 -140,000
Edleun Group, Inc. Common Shares Vision Capital Corporation 3 1/8/2013 10 0.46 1,177,744 17,000
Edleun Group, Inc. Common Shares Vision Capital Corporation 3 1/8/2013 10 0.46 682,420 123,000
EGI Financial Holdings Inc. Common Shares Dobronyi, Steve 5 12/31/2012 10 3,612 1,936 EGI Financial Holdings Inc. Common Shares EGI Financial Holdings Inc. 1 12/31/2012 10 8.85 16,800 16,800
EGI Financial Holdings Inc. Common Shares EGI Financial Holdings Inc. 1 12/31/2012 38 0 -16,800
Eldorado Gold Corporation Common Shares Bickford, David Alan 5 1/7/2013 51 4.88 40,000 40,000
Eldorado Gold Corporation Common Shares Bickford, David Alan 5 1/7/2013 10 12.3 37,500 -2,500
Eldorado Gold Corporation Common Shares Bickford, David Alan 5 1/7/2013 10 12.31 27,500 -10,000
Eldorado Gold Corporation Common Shares Bickford, David Alan 5 1/7/2013 10 12.32 20,000 -7,500
Eldorado Gold Corporation Common Shares Bickford, David Alan 5 1/7/2013 10 12.33 15,000 -5,000
Eldorado Gold Corporation Common Shares Bickford, David Alan 5 1/7/2013 10 12.34 5,000 -10,000
Eldorado Gold Corporation Common Shares Bickford, David Alan 5 1/7/2013 10 12.35 2,500 -2,500
Eldorado Gold Corporation Common Shares Bickford, David Alan 5 1/7/2013 10 12.37 0 -2,500
Eldorado Gold Corporation Options Bickford, David Alan 5 1/7/2013 51 4.88 200,935 -40,000
Elgin Mining Inc. (formerly Phoenix Coal Inc.)
Common Shares Downey, Patrick 4 1/11/2013 10 0.69 1,296,500 300,000
Emera Incorporated DSU Hanf, Robert John Scott 7 1/8/2013 00 7,928 Emera Incorporated Options Hanf, Robert John Scott 7 1/8/2013 00 38,300 Emera Incorporated Performance Share Units Hanf, Robert John Scott 7 1/8/2013 00 10,604
Empire Company Limited Common Shares Class B Devine, Cynthia Jane 4 1/1/2013 00
Empire Company Limited Common Shares Class B Devine, Cynthia Jane 4 1/3/2013 11 1 1
Endeavour Mining Corporation
Options Bowlby, Douglas John 5 10/25/2012 52 450,000 -100,000
Endeavour Mining Corporation
Options Laing, David Charles 5 10/25/2012 52 485,000 -65,000
Insider Reporting
January 17, 2013
(2013) 36 OSCB 880
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
ENERGY INDEXPLUS Dividend Fund
Trust Units Energy Indexplus Dividend Fund
1 1/8/2013 38 8.05 603,095 300
ENERGY INDEXPLUS Dividend Fund
Trust Units Energy Indexplus Dividend Fund
1 1/9/2013 38 8.2 603,695 600
ENERGY INDEXPLUS Dividend Fund
Trust Units Energy Indexplus Dividend Fund
1 1/10/2013 38 8.19 603,795 100
Energy Leaders Income Fund Trust Units Energy Leaders Income Fund
1 1/9/2013 10 400 400
Energy Leaders Income Fund Trust Units Energy Leaders Income Fund
1 1/9/2013 38 0 -400
Enerplus Corporation Common Shares (Deferred Share Plan ("DSU"))
Barr, David Heckman 4 1/7/2013 46 13 7,500
Enerplus Corporation Common Shares (Deferred Share Plan ("DSU"))
Barr, David Heckman 4 1/7/2013 46 12.74 10,833 7,654
Enerplus Corporation Common Shares Dodge, Edwin V. 4 1/7/2013 46 13.417 23,051 4,669 Enerplus Corporation Common Shares
(Deferred Share Plan ("DSU"))
Fraser, James Berkeley 4 6/11/2012 00
Enerplus Corporation Common Shares (Deferred Share Plan ("DSU"))
Fraser, James Berkeley 4 1/7/2013 46 13 6,375
Enerplus Corporation Common Shares (Deferred Share Plan ("DSU"))
Fraser, James Berkeley 4 1/7/2013 46 12.74 6,506 6,506
Enerplus Corporation Common Shares (Deferred Share Plan ("DSU"))
Hodgins, Robert Bruce 4 1/7/2013 46 13 7,500
Enerplus Corporation Common Shares (Deferred Share Plan ("DSU"))
Hodgins, Robert Bruce 4 1/7/2013 46 12.74 10,833 7,654
Enerplus Corporation Common Shares (Deferred Share Plan ("DSU"))
MacKenzie, Susan Mary 4 1/7/2013 46 13 7,500
Enerplus Corporation Common Shares (Deferred Share Plan ("DSU"))
MacKenzie, Susan Mary 4 1/7/2013 46 12.74 10,833 7,654
Enerplus Corporation Common Shares (Deferred Share Plan ("DSU"))
Martin, Douglas R. 4 1/7/2013 46 13 9,616
Enerplus Corporation Common Shares (Deferred Share Plan ("DSU"))
Martin, Douglas R. 4 1/7/2013 46 12.74 17,088 9,812
Enerplus Corporation Common Shares (Deferred Share Plan ("DSU"))
Nelson, Donald J. 4 6/11/2012 00
Enerplus Corporation Common Shares (Deferred Share Plan ("DSU"))
Nelson, Donald J. 4 1/7/2013 46 12.74 7,654 7,654
Enerplus Corporation Common Shares O'Brien, David Peter 4 1/7/2013 46 13.417 16,664 4,669 Enerplus Corporation Common Shares
(Deferred Share Plan ("DSU"))
Pew, Elliott 4 1/7/2013 46 12.74 10,833 7,654
Enerplus Corporation Common Shares (Deferred Share Plan ("DSU"))
Roane, Glen Dawson 4 1/7/2013 46 12.74 13,476 7,654
Enerplus Corporation Common Shares (Deferred Share Plan ("DSU"))
SETH, WAZIR, CHAND 4 1/7/2013 46 12.74 13,476 7,654
Enerplus Corporation Common Shares (Deferred Share Plan ("DSU"))
Steeves, Sheldon Brooks 4 6/11/2012 00
Enerplus Corporation Common Shares (Deferred Share Plan ("DSU"))
Steeves, Sheldon Brooks 4 1/7/2013 46 12.74 7,654 7,654
Ensign Energy Services Inc. Common Shares Surkan, Gail Donelda 4 1/4/2013 10 15.18 9,662 58
Ensign Energy Services Inc. Common Shares Surkan, Gail Donelda 4 1/4/2013 10 15.18 7,638 54
Enterprise Group, Inc. Options JAROSZUK, LEONARD 4, 5 1/7/2013 51 0.18 2,705,000 300,000 Enterprise Group, Inc. Options JAROSZUK, LEONARD 4, 5 1/7/2013 51 0.18 2,405,000 -300,000 Enterprise Group, Inc. Options JAROSZUK, LEONARD 4, 5 1/7/2013 51 0.18 2,105,000 -300,000
Insider Reporting
January 17, 2013
(2013) 36 OSCB 881
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Entourage Metals Ltd. Common Shares Sundar, Jeffrey Rohit 4, 5 1/8/2013 10 0.2 1,362,501 500 Entourage Metals Ltd. Common Shares Sundar, Jeffrey Rohit 4, 5 1/10/2013 10 0.19 1,363,501 1,000 Entourage Metals Ltd. Common Shares Sundar, Jeffrey Rohit 4, 5 1/10/2013 10 0.215 1,364,501 1,000 ENTREC Corporation Options Hudson, John E. 5 1/1/2013 00 ENTREC Corporation Options Hudson, John E. 5 1/1/2013 50 150,000 150,000 ENTREC Corporation Common Shares Mains, Carolyn Elizabeth 4 1/9/2013 10 1.75 20,000 10,000 ENTREC Corporation Common Shares Mains, Carolyn Elizabeth 4 1/9/2013 10 1.75 30,000 10,000 EnWave Corporation Common Shares McNicol, John 4, 5 1/9/2013 10 1.4 958,872 -77,100 EnWave Corporation Common Shares McNicol, John 4, 5 1/9/2013 10 1.41 951,172 -7,700 EnWave Corporation Common Shares McNicol, John 4, 5 1/9/2013 10 1.42 944,472 -6,700 EnWave Corporation Common Shares McNicol, John 4, 5 1/9/2013 10 1.43 935,972 -8,500 ePals Corporation Voting Common Shares Gilburne, Miles Richard 4 6/20/2011 00 ePals Corporation Voting Common Shares Gilburne, Miles Richard 4 12/31/2012 97 8,891,914 8,891,914 ePals Corporation Voting Common Shares Gilburne, Miles Richard 4 12/31/2012 97 0 -8,891,914 ePals Corporation Voting Common Shares Zolt, Nina Beth 4 6/20/2011 00 ePals Corporation Voting Common Shares Zolt, Nina Beth 4 12/31/2012 97 8,891,914 8,891,914 ePals Corporation Voting Common Shares Zolt, Nina Beth 4 12/31/2012 97 0 -8,891,914 EPM Mining Ventures Inc. Options Basse, Daniel William 4 1/4/2013 50 0.4 404,106 287,836 EPM Mining Ventures Inc. Options Bloomquist, De Lyle Wade 4 1/4/2013 50 0.4 401,057 287,836
EPM Mining Ventures Inc. Options Botts, Theodore P. 4 1/4/2013 50 0.4 416,099 299,829 EPM Mining Ventures Inc. Options Ditto, Arthur 3, 4 1/4/2013 50 0.4 440,086 323,816 EPM Mining Ventures Inc. Options Dye, Richard Anderton 5 1/4/2013 50 0.4 625,000 200,000 EPM Mining Ventures Inc. Options Gentry Jr., Jeff Dee 3, 4 1/4/2013 50 0.4 342,261 287,836 EPM Mining Ventures Inc. Options PLADSEN, THOMAS JOHN 4 1/4/2013 50 0.4 428,092 311,822
EPM Mining Ventures Inc. Options Ramakrishnan, Mukundan 4 1/4/2013 50 0.4 360,402 287,836
EPM Mining Ventures Inc. Options Silleroy, Woods 5 1/4/2013 50 0.4 375,000 150,000 EPM Mining Ventures Inc. Common Shares Voting Thunell, Spencer Morton 4, 5 8/22/2011 00 EPM Mining Ventures Inc. Common Shares Voting Thunell, Spencer Morton 4, 5 1/8/2013 10 0.4 5,000 5,000 EPM Mining Ventures Inc. Common Shares Voting Thunell, Spencer Morton 4, 5 1/10/2013 10 0.4 17,500 12,500 EPM Mining Ventures Inc. Common Shares Voting Thunell, Spencer Morton 4, 5 1/11/2013 10 0.4 20,000 2,500 EPM Mining Ventures Inc. Options Thunell, Spencer Morton 4, 5 1/4/2013 50 0.4 500,000 200,000 Epsilon Energy Ltd. Common Shares Lovoi, John Vincent 3 1/3/2013 10 3.8 777,150 8,942 Epsilon Energy Ltd. Common Shares Lovoi, John Vincent 3 1/4/2013 10 3.7829 793,606 16,456 Epsilon Energy Ltd. Common Shares Lovoi, John Vincent 3 1/3/2013 10 3.8 2,444,250 17,358 Epsilon Energy Ltd. Common Shares Lovoi, John Vincent 3 1/4/2013 10 3.7829 2,476,194 31,944 Essential Energy Services Ltd.
Options Amundson, Garnet K. 4, 5 1/10/2013 50 2.2 1,700,000 140,000
Essential Energy Services Ltd.
Options Job, Kevin Wayne 5 1/10/2013 50 2.2 605,000 50,000
Essential Energy Services Ltd.
Options NEWMAN, JEFFREY BURT 5 1/10/2013 50 2.2 735,000 80,000
Essential Energy Services Ltd.
Options Webster, Donald 5 12/11/2012 52 3 455,000 -100,000
Essential Energy Services Ltd.
Options Webster, Donald 5 1/10/2013 50 2.2 555,000 100,000
Essex Angel Capital Inc. Common Shares Galdi, Richard Joseph 5 1/8/2013 10 0.015 920,000 -180,000 Eurogas International Inc. Common Shares MacRae, Garth A. C. 6 1/7/2013 11 0.005 152,000 2,000 Evertz Technologies Limited Common Shares Gridley, Anthony Ronald 5 1/8/2013 10 16.5 7,000 -8,100
Evertz Technologies Limited Common Shares Gridley, Anthony Ronald 5 1/9/2013 10 16.6 0 -7,000
Evertz Technologies Limited Common Shares Gridley, Anthony Ronald 5 1/8/2013 10 16.5 0 -2,400
Excellon Resources Inc. Common Shares Moore, Robert Ronald 5 1/25/2010 00 Excellon Resources Inc. Common Shares Moore, Robert Ronald 5 1/25/2010 00 Excellon Resources Inc. Common Shares Moore, Robert Ronald 5 1/25/2010 00 Excellon Resources Inc. Common Shares Moore, Robert Ronald 5 1/25/2010 00 Excellon Resources Inc. Common Shares Moore, Robert Ronald 5 9/30/2011 10 0.57 2,000 2,000 Excellon Resources Inc. Common Shares Moore, Robert Ronald 5 10/4/2011 10 0.57 20,000 18,000 Excellon Resources Inc. Common Shares Moore, Robert Ronald 5 2/29/2012 90 10,000 -10,000 Excellon Resources Inc. Common Shares Moore, Robert Ronald 5 2/29/2012 90 0 -10,000 Excellon Resources Inc. Common Shares Moore, Robert Ronald 5 1/25/2010 00 Excellon Resources Inc. Common Shares Moore, Robert Ronald 5 4/13/2012 10 0.48 1,000 1,000 Excellon Resources Inc. Common Shares Moore, Robert Ronald 5 4/13/2012 10 0.483 3,500 2,500 Excellon Resources Inc. Common Shares Moore, Robert Ronald 5 4/13/2012 10 0.486 20,200 16,700 Excellon Resources Inc. Common Shares Moore, Robert Ronald 5 1/25/2010 00 2,974 Excellon Resources Inc. Common Shares Moore, Robert Ronald 5 5/7/2010 10 0.98 6,974 4,000 Excellon Resources Inc. Common Shares Moore, Robert Ronald 5 1/25/2010 00 27,040 Excellon Resources Inc. Common Shares Moore, Robert Ronald 5 8/16/2011 22 43,240 16,200 Excellon Resources Inc. Common Shares Moore, Robert Ronald 5 1/25/2010 00 Excellon Resources Inc. Common Shares Moore, Robert Ronald 5 2/29/2012 90 10,000 10,000
Insider Reporting
January 17, 2013
(2013) 36 OSCB 882
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Excellon Resources Inc. Common Shares Moore, Robert Ronald 5 1/25/2010 00 Excellon Resources Inc. Common Shares Moore, Robert Ronald 5 2/29/2012 90 10,000 10,000 Excellon Resources Inc. Options Moore, Robert Ronald 5 1/7/2013 50 0.52 802,752 200,000 Faircourt Gold Income Corp. Common Shares Faircourt Asset
Management Inc. 8 1/9/2013 10 7.13 26,178 300
Faircourt Gold Income Corp. Common Shares Faircourt Asset Management Inc.
8 1/10/2013 10 7.3 26,478 300
FAM Real Estate Investment Trust
Trust Units Doyle, Donald Gregory 6 12/28/2012 00 5,000
FAM Real Estate Investment Trust
Warrants Doyle, Donald Gregory 6 12/28/2012 00 1,250
FAM Real Estate Investment Trust
Trust Units Dube, Georges 4 12/28/2012 00 1,000
FAM Real Estate Investment Trust
Warrants Dube, Georges 4 12/28/2012 00 250
FAM Real Estate Investment Trust
Trust Units Goodman, Gary Michael 6 12/28/2012 00 11,000
FAM Real Estate Investment Trust
Trust Units Goodman, Gary Michael 6 12/28/2012 00 15,000
FAM Real Estate Investment Trust
Warrants Goodman, Gary Michael 6 12/28/2012 00 2,750
FAM Real Estate Investment Trust
Warrants Goodman, Gary Michael 6 12/28/2012 00 3,750
FAM Real Estate Investment Trust
Class B Limited Partnership Units
Huntingdon Capital Corp. 3 12/28/2012 00 2,513,700
FAM Real Estate Investment Trust
Special Voting Trust Units Huntingdon Capital Corp. 3 12/28/2012 00 2,513,700
FAM Real Estate Investment Trust
Trust Units Lalani, Azim 6 12/28/2012 00 1,000
FAM Real Estate Investment Trust
Trust Units Lalani, Azim 6 12/28/2012 00 100
FAM Real Estate Investment Trust
Warrants Lalani, Azim 6 12/28/2012 00 250
FAM Real Estate Investment Trust
Warrants Lalani, Azim 6 12/28/2012 00 25
FAM Real Estate Investment Trust
Trust Units MacKellar, Ian Cameron 4 12/28/2012 00 10,000
FAM Real Estate Investment Trust
Warrants MacKellar, Ian Cameron 4 12/28/2012 00 2,500
FAM Real Estate Investment Trust
Trust Units Manak, Sandeep 5 12/28/2012 00 1,000
FAM Real Estate Investment Trust
Warrants Manak, Sandeep 5 12/28/2012 00 250
FAM Real Estate Investment Trust
Deferred Trust Units Poladian, Shant Noubar 5 12/28/2012 00 50,000
FAM Real Estate Investment Trust
Trust Units Poladian, Shant Noubar 5 12/28/2012 00 30,000
FAM Real Estate Investment Trust
Warrants Poladian, Shant Noubar 5 12/28/2012 00 7,500
FAM Real Estate Investment Trust
Trust Units Samuel, Gary 4 12/28/2012 00 20,000
FAM Real Estate Investment Trust
Warrants Samuel, Gary 4 12/28/2012 00 5,000
First Capital Realty Inc. Common Shares Correia, Alexandra 6 12/21/2012 47 20,774 -275 First Capital Realty Inc. Convertible Debentures
unsecured 5.70%- FCR.DB.D - due June 30, 2017
First Capital Realty Inc. 1 12/3/2012 38 1.095 $340,000 $340,000
First Capital Realty Inc. Convertible Debentures unsecured 5.70%- FCR.DB.D - due June 30, 2017
First Capital Realty Inc. 1 12/3/2012 38 1.095 $0 ($340,000)
First Capital Realty Inc. Convertible Debentures unsecured 5.70%- FCR.DB.D - due June 30, 2017
First Capital Realty Inc. 1 12/4/2012 38 1.095 $7,000 $7,000
First Capital Realty Inc. Convertible Debentures unsecured 5.70%- FCR.DB.D - due June 30, 2017
First Capital Realty Inc. 1 12/4/2012 38 1.095 $36,000 $29,000
Insider Reporting
January 17, 2013
(2013) 36 OSCB 883
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
First Capital Realty Inc. Convertible Debentures unsecured 5.70%- FCR.DB.D - due June 30, 2017
First Capital Realty Inc. 1 12/4/2012 38 1.095 $29,000 ($7,000)
First Capital Realty Inc. Convertible Debentures unsecured 5.70%- FCR.DB.D - due June 30, 2017
First Capital Realty Inc. 1 12/4/2012 38 1.095 $0 ($29,000)
First Capital Realty Inc. Convertible Debentures unsecured 5.70%- FCR.DB.D - due June 30, 2017
First Capital Realty Inc. 1 12/5/2012 38 1.095 $8,000 $8,000
First Capital Realty Inc. Convertible Debentures unsecured 5.70%- FCR.DB.D - due June 30, 2017
First Capital Realty Inc. 1 12/5/2012 38 1.095 $0 ($8,000)
First Capital Realty Inc. Convertible Debentures unsecured 5.70%- FCR.DB.D - due June 30, 2017
First Capital Realty Inc. 1 12/6/2012 38 1.093 $6,000 $6,000
First Capital Realty Inc. Convertible Debentures unsecured 5.70%- FCR.DB.D - due June 30, 2017
First Capital Realty Inc. 1 12/6/2012 38 1.0946 $65,000 $59,000
First Capital Realty Inc. Convertible Debentures unsecured 5.70%- FCR.DB.D - due June 30, 2017
First Capital Realty Inc. 1 12/6/2012 38 1.093 $59,000 ($6,000)
First Capital Realty Inc. Convertible Debentures unsecured 5.70%- FCR.DB.D - due June 30, 2017
First Capital Realty Inc. 1 12/6/2012 38 1.0946 $0 ($59,000)
First Capital Realty Inc. Convertible Debentures unsecured 5.70%- FCR.DB.D - due June 30, 2017
First Capital Realty Inc. 1 12/11/2012 38 1.1 $8,000 $8,000
First Capital Realty Inc. Convertible Debentures unsecured 5.70%- FCR.DB.D - due June 30, 2017
First Capital Realty Inc. 1 12/11/2012 38 1.0967 $82,000 $74,000
First Capital Realty Inc. Convertible Debentures unsecured 5.70%- FCR.DB.D - due June 30, 2017
First Capital Realty Inc. 1 12/11/2012 38 1.1 $74,000 ($8,000)
First Capital Realty Inc. Convertible Debentures unsecured 5.70%- FCR.DB.D - due June 30, 2017
First Capital Realty Inc. 1 12/11/2012 38 1.0967 $0 ($74,000)
First Capital Realty Inc. Convertible Debentures unsecured 5.70%- FCR.DB.D - due June 30, 2017
First Capital Realty Inc. 1 12/12/2012 38 1.1 $5,000 $5,000
First Capital Realty Inc. Convertible Debentures unsecured 5.70%- FCR.DB.D - due June 30, 2017
First Capital Realty Inc. 1 12/12/2012 38 1.1 $106,000 $101,000
First Capital Realty Inc. Convertible Debentures unsecured 5.70%- FCR.DB.D - due June 30, 2017
First Capital Realty Inc. 1 12/12/2012 38 1.1 $101,000 ($5,000)
First Capital Realty Inc. Convertible Debentures unsecured 5.70%- FCR.DB.D - due June 30, 2017
First Capital Realty Inc. 1 12/12/2012 38 1.1 $0 ($101,000)
First Capital Realty Inc. Convertible Debentures unsecured 5.70%- FCR.DB.D - due June 30, 2017
First Capital Realty Inc. 1 12/14/2012 38 1.1 $8,000 $8,000
First Capital Realty Inc. Convertible Debentures unsecured 5.70%- FCR.DB.D - due June 30, 2017
First Capital Realty Inc. 1 12/14/2012 38 1.1 $30,000 $22,000
Insider Reporting
January 17, 2013
(2013) 36 OSCB 884
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
First Capital Realty Inc. Convertible Debentures unsecured 5.70%- FCR.DB.D - due June 30, 2017
First Capital Realty Inc. 1 12/14/2012 38 1.1 $22,000 ($8,000)
First Capital Realty Inc. Convertible Debentures unsecured 5.70%- FCR.DB.D - due June 30, 2017
First Capital Realty Inc. 1 12/14/2012 38 1.1 $0 ($22,000)
First Capital Realty Inc. Convertible Debentures unsecured 5.70%- FCR.DB.D - due June 30, 2017
First Capital Realty Inc. 1 12/18/2012 38 1.105 $8,000 $8,000
First Capital Realty Inc. Convertible Debentures unsecured 5.70%- FCR.DB.D - due June 30, 2017
First Capital Realty Inc. 1 12/18/2012 38 1.105 $0 ($8,000)
First Capital Realty Inc. Convertible Debentures unsecured 5.70%- FCR.DB.D - due June 30, 2017
First Capital Realty Inc. 1 12/19/2012 38 1.105 $8,000 $8,000
First Capital Realty Inc. Convertible Debentures unsecured 5.70%- FCR.DB.D - due June 30, 2017
First Capital Realty Inc. 1 12/19/2012 38 1.105 $0 ($8,000)
First Capital Realty Inc. Convertible Debentures unsecured 5.70%- FCR.DB.D - due June 30, 2017
First Capital Realty Inc. 1 12/20/2012 38 1.1015 $8,000 $8,000
First Capital Realty Inc. Convertible Debentures unsecured 5.70%- FCR.DB.D - due June 30, 2017
First Capital Realty Inc. 1 12/20/2012 38 1.1019 $17,000 $9,000
First Capital Realty Inc. Convertible Debentures unsecured 5.70%- FCR.DB.D - due June 30, 2017
First Capital Realty Inc. 1 12/20/2012 38 1.1015 $9,000 ($8,000)
First Capital Realty Inc. Convertible Debentures unsecured 5.70%- FCR.DB.D - due June 30, 2017
First Capital Realty Inc. 1 12/20/2012 38 1.1019 $0 ($9,000)
First Capital Realty Inc. Convertible Debentures unsecured 5.70%- FCR.DB.D - due June 30, 2017
First Capital Realty Inc. 1 12/21/2012 38 1.105 $8,000 $8,000
First Capital Realty Inc. Convertible Debentures unsecured 5.70%- FCR.DB.D - due June 30, 2017
First Capital Realty Inc. 1 12/21/2012 38 1.1105 $14,000 $6,000
First Capital Realty Inc. Convertible Debentures unsecured 5.70%- FCR.DB.D - due June 30, 2017
First Capital Realty Inc. 1 12/21/2012 38 1.105 $6,000 ($8,000)
First Capital Realty Inc. Convertible Debentures unsecured 5.70%- FCR.DB.D - due June 30, 2017
First Capital Realty Inc. 1 12/21/2012 38 1.1105 $0 ($6,000)
First Capital Realty Inc. Convertible Debentures unsecured 5.70%- FCR.DB.D - due June 30, 2017
First Capital Realty Inc. 1 12/28/2012 38 1.1105 $149,000 $149,000
First Capital Realty Inc. Convertible Debentures unsecured 5.70%- FCR.DB.D - due June 30, 2017
First Capital Realty Inc. 1 12/28/2012 38 1.1105 $0 ($149,000)
First Choice Products Inc. Common Shares sims, brian edward 4, 5 1/11/2013 10 0.04 1,610,900 5,000 First Point Minerals Corp. Common Shares Gammon, John Blundell 4 1/7/2013 10 0.55 312,000 -8,000 First Point Minerals Corp. Common Shares Gammon, John Blundell 4 1/7/2013 10 0.56 310,500 -1,500 First Quantum Minerals Ltd Common Shares Rowley, Martin 4, 5 1/5/2013 58 -
Expiration
of rights
21.91 24,075 24,070
Insider Reporting
January 17, 2013
(2013) 36 OSCB 885
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
First Quantum Minerals Ltd Performance Share Units Rowley, Martin 4, 5 1/5/2013 58 - Expiration
of rights
21.91 145,935 -24,070
Flaherty & Crumrine Investment Grade Fixed Income Fund
Trust Units Flaherty & Crumrine Investment Grade Fixed Income Fund
1 12/28/2012 38 12.29 3,000 3,000
Flaherty & Crumrine Investment Grade Fixed Income Fund
Trust Units Flaherty & Crumrine Investment Grade Fixed Income Fund
1 12/28/2012 38 12.29 0 -3,000
Flaherty & Crumrine Investment Grade Fixed Income Fund
Trust Units Flaherty & Crumrine Investment Grade Fixed Income Fund
1 12/31/2012 38 12.25 3,000 3,000
Flaherty & Crumrine Investment Grade Fixed Income Fund
Trust Units Flaherty & Crumrine Investment Grade Fixed Income Fund
1 12/31/2012 38 12.25 0 -3,000
Foraco International SA Common Shares Foraco International SA 1 12/3/2012 38 2.1722 531,998 8,300 Foraco International SA Common Shares Foraco International SA 1 12/4/2012 38 2.2427 540,898 8,900 Foraco International SA Common Shares Foraco International SA 1 12/5/2012 38 2.3136 549,798 8,900 Foraco International SA Common Shares Foraco International SA 1 12/6/2012 38 2.3322 558,698 8,900 Foraco International SA Common Shares Foraco International SA 1 12/7/2012 38 2.3273 567,598 8,900 Foraco International SA Common Shares Foraco International SA 1 12/10/2012 38 2.33 571,598 4,000 Foraco International SA Common Shares Foraco International SA 1 12/11/2012 38 2.3061 580,498 8,900 Foraco International SA Common Shares Foraco International SA 1 12/12/2012 38 2.3 650,498 70,000 Foraco International SA Common Shares Foraco International SA 1 12/12/2012 38 2.3122 656,898 6,400 Foraco International SA Common Shares Foraco International SA 1 12/13/2012 38 2.3 665,798 8,900 Foraco International SA Common Shares Foraco International SA 1 12/14/2012 38 2.3535 674,698 8,900 Foraco International SA Common Shares Foraco International SA 1 12/18/2012 38 2.4336 683,598 8,900 Foraco International SA Common Shares Foraco International SA 1 12/19/2012 38 2.4651 692,498 8,900 Foraco International SA Common Shares Foraco International SA 1 12/20/2012 38 2.4724 701,398 8,900 Foraco International SA Common Shares Foraco International SA 1 12/21/2012 38 2.4 702,198 800 Foraco International SA Common Shares Foraco International SA 1 12/27/2012 38 2.4399 711,098 8,900 Foraco International SA Common Shares Foraco International SA 1 12/28/2012 38 2.4639 715,998 4,900 Foraco International SA Common Shares Foraco International SA 1 12/31/2012 38 2.44 724,898 8,900 Foraco International SA Common Shares Foraco International SA 1 1/4/2013 38 2.2427 8,900 Fortis Inc. Common Shares Dall'Antonia, Roger Attilio 7 12/31/2012 30 32.09 11,357 254
Foundation Resources Inc. Common Shares BELLA, JEROME , MICHAEL
5 1/9/2013 10 0.05 412,500 100,000
Foundation Resources Inc. Common Shares BELLA, JEROME , MICHAEL
5 1/9/2013 10 0.05 433,500 21,000
Foundation Resources Inc. Common Shares BELLA, JEROME , MICHAEL
5 1/9/2013 10 0.055 457,500 24,000
Foundation Resources Inc. Common Shares BELLA, JEROME , MICHAEL
5 1/10/2013 10 0.055 482,500 25,000
Foundation Resources Inc. Common Shares Girling, W. Barry 4 12/21/2012 16 0.06 600,000 200,000
Foundation Resources Inc. Common Shares Girling, W. Barry 4 1/9/2013 10 0.05 752,000 152,000
Foundation Resources Inc. Common Shares Girling, W. Barry 4 1/9/2013 10 0.055 796,000 44,000
Foundation Resources Inc. Common Shares Girling, W. Barry 4 1/9/2013 10 0.06 800,000 4,000
Foundation Resources Inc. Warrants Girling, W. Barry 4 12/6/2006 00
Foundation Resources Inc. Warrants Girling, W. Barry 4 12/21/2012 16 200,000 200,000
Freeport Capital Inc. Common Shares Repchuk, Gary 7 10/12/2012 00 Freeport Capital Inc. Common Shares Repchuk, Gary 7 12/10/2012 10 1.15 11,000 11,000 Frontenac Mortgage Investment Corporation
Common Shares Barnes, Robert 4 1/4/2013 15 30 1,699 293
Frontier Rare Earths Limited Ordinary Shares Frontier Rare Earths Limited 1 12/31/2012 10 0.6314 609,100 17,500
Frontier Rare Earths Limited Ordinary Shares Frontier Rare Earths Limited 1 1/2/2013 10 0.6631 626,600 17,500
Frontier Rare Earths Limited Ordinary Shares Frontier Rare Earths Limited 1 1/3/2013 10 0.7 633,600 7,000
Frontier Rare Earths Limited Ordinary Shares Frontier Rare Earths Limited 1 1/4/2013 10 0.7 638,600 5,000
Frontier Rare Earths Limited Ordinary Shares Frontier Rare Earths Limited 1 1/7/2013 10 0.72 643,600 5,000
Insider Reporting
January 17, 2013
(2013) 36 OSCB 886
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Frontier Rare Earths Limited Ordinary Shares Frontier Rare Earths Limited 1 1/8/2013 10 0.7977 661,100 17,500
Frontier Rare Earths Limited Ordinary Shares Frontier Rare Earths Limited 1 1/9/2013 10 0.8 668,600 7,500
Gabriel Resources Ltd. Rights DSUs Segsworth, Walter Thomas 4 1/7/2013 56 33,466 6,383
Gabriel Resources Ltd. Rights DSUs Sinclair, Alistair Murray 4 1/7/2013 11 93,219 6,383 Galvanic Applied Sciences Inc.
Common Shares Cornett, William Roy 8 8/24/2010 00
Galvanic Applied Sciences Inc.
Common Shares Cornett, William Roy 8 8/24/2010 00
Galvanic Applied Sciences Inc.
Common Shares Cornett, William Roy 8 12/31/2012 10 1.5 -100,000
Galvanic Applied Sciences Inc.
Common Shares Cornett, William Roy 8 12/31/2012 10 1.5 -100,000
Galvanic Applied Sciences Inc.
Common Shares Cornett, William Roy 8 8/24/2010 00 530,000
Galvanic Applied Sciences Inc.
Common Shares Cornett, William Roy 8 12/31/2012 10 1.5 430,000 -100,000
GASFRAC Energy Services Inc.
Common Shares Maitland, Robert A. 4 1/8/2013 10 1.72 439,700 8,200
GeneNews Limited Options Dreismann, Heiner 4, 5 12/19/2012 37 265,750 -1,328,750 GeneNews Limited Options Dreismann, Heiner 4, 5 12/31/2012 50 0.64 275,750 10,000 Geodrill Limited Common Shares Burling, Terrance Frederick 5 1/4/2013 10 1.15 2,065,100 35,800
Geologix Explorations Inc. Common Shares Weidner, Siegfried (Sig) 5 1/3/2013 10 0.19 225,550 30,000 George Weston Limited Common Shares George Weston Limited 1 12/10/2012 38 68.275 4,297 4,297 George Weston Limited Common Shares George Weston Limited 1 12/14/2012 38 0 -4,297 George Weston Limited Common Shares George Weston Limited 1 1/2/2013 38 580,000 580,000 George Weston Limited Common Shares George Weston Limited 1 1/7/2013 38 0 -580,000 George Weston Limited Common Shares George Weston Limited 1 1/2/2013 38 580,000 -220,000 George Weston Limited Common Shares George Weston Limited 1 1/2/2013 38 0 -580,000 George Weston Limited Common Shares Weston Employee Benefit
Plan Trust 2 1/1/2013 00
George Weston Limited Common Shares Weston Employee Benefit Plan Trust
2 1/2/2013 11 70.49 220,000 220,000
Gibson Energy Inc. Options McGowan, Michael 7 1/8/2013 51 26,051 -26,050 Gibson Energy Inc. Restricted Share Units van Aken, Samuel 5 1/8/2013 57 54,471 -8,612 Gildan Activewear Inc. Common Shares Chamandy, Glenn J. 4, 5 1/3/2013 30 37.08 9,587,500 -18,000 Gildan Activewear Inc. Common Shares Chamandy, Glenn J. 4, 5 1/4/2013 30 37.26 9,569,500 -18,000 Gildan Activewear Inc. Common Shares Chamandy, Glenn J. 4, 5 1/7/2013 30 36.97 9,551,500 -18,000 Gildan Activewear Inc. Common Shares Chamandy, Glenn J. 4, 5 1/8/2013 30 37.46 9,533,500 -18,000 Gildan Activewear Inc. Common Shares Chamandy, Glenn J. 4, 5 1/9/2013 30 37.52 9,515,500 -18,000 Gildan Activewear Inc. Common Shares Chamandy, Glenn J. 4, 5 1/10/2013 30 37.63 9,497,500 -18,000 Gildan Activewear Inc. Common Shares Chamandy, Glenn J. 4, 5 1/11/2013 30 37.47 9,479,500 -18,000 Gildan Activewear Inc. Common Shares Iliopoulos, Peter 5 12/21/2012 51 2046 2,046 Gildan Activewear Inc. Common Shares Iliopoulos, Peter 5 12/21/2012 51 27.17 14,004 2,046 Global Railway Industries Ltd. Options Corcoran, Ross Howard 5 7/28/2010 00
Global Railway Industries Ltd. Options Corcoran, Ross Howard 5 7/28/2010 00
Gluskin Sheff + Associates Inc.
Subordinate Voting Shares Freedman, Jeremy Mark 4, 5 12/31/2012 30 14.46 33,187 670
Gluskin Sheff + Associates Inc.
Subordinate Voting Shares Leboff, Bruce 5 12/31/2012 30 14.46 5,210 668
Gold World Resources Inc. Options Allen, Randall Charles 4 12/24/2012 00 Gold World Resources Inc. Options Allen, Randall Charles 4 12/24/2012 50 0.1 500,000 500,000 Gold World Resources Inc. Common Shares McChesney, Brian David 4 1/4/2013 16 0.03 1,918,400 400,000 Gold World Resources Inc. Warrants McChesney, Brian David 4 1/4/2013 16 0.05 1,136,700 400,000 Goldcorp Inc. Common Shares Louie, Wendy 8 9/18/2012 10 45.23 1,795 -9,525 Goldcorp Inc. Common Shares Orazietti, Richard 5 3/5/2012 10 47.77 80 30 Goldcorp Inc. Common Shares Orazietti, Richard 5 5/18/2012 10 33.38 90 10 Golden Dawn Minerals Inc. Common Shares Wiese, Wolfgang 4, 5 1/10/2013 10 0.035 3,939,333 100,000 Golden Reign Resources Ltd. Common Shares Conlon, John 4 1/7/2013 10 0.5 5,994,311 10,000
Golden Star Resources Ltd. Options Owiredu, Daniel 5 1/1/2013 00 690,342
Golden Star Resources Ltd. Options Swinoga, Jeffrey Anthony 5 1/7/2013 00 200,000
Goodman Gold Trust (formerly CMP Gold Trust)
Trust Units CMP Gold Trust, CMP Gold Trust
1 12/20/2012 38 8.78 5,000 5,000
Goodman Gold Trust (formerly CMP Gold Trust)
Trust Units CMP Gold Trust, CMP Gold Trust
1 12/20/2012 38 8.78 0 -5,000
Grandview Gold Inc. Common Shares Brown, David Richard 4 1/7/2013 10 848,000 483,000
Insider Reporting
January 17, 2013
(2013) 36 OSCB 887
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Grandview Gold Inc. Common Shares Brown, David Richard 4 1/11/2013 10 1,548,000 700,000 Granite Real Estate Inc. (Formerly MI Developments Inc.)
Common Shares KUMER, LORNE 5 11/12/2009 00
Granite Real Estate Inc. (Formerly MI Developments Inc.)
Options KUMER, LORNE 5 1/3/2013 36 14.54 0 -10,000
Granite Real Estate Inc. (Formerly MI Developments Inc.)
Common Shares Tindale, Jennifer Sara 5 1/3/2013 36 0 -3,228
Granite Real Estate Investment Trust
Options underlying security trust unit part of stapled unit
KUMER, LORNE 5 1/3/2013 00
Granite Real Estate Investment Trust
Options underlying security trust unit part of stapled unit
KUMER, LORNE 5 1/3/2013 36 14.54 10,000 10,000
Granite Real Estate Investment Trust
Trust Units (traded as a component of stapled units)
KUMER, LORNE 5 1/3/2013 00
Granite Real Estate Investment Trust
Trust Units (traded as a component of stapled units)
KUMER, LORNE 5 1/3/2013 50 14.54 10,000
Granite Real Estate Investment Trust
Trust Units (traded as a component of stapled units)
KUMER, LORNE 5 1/3/2013 50 14.54 10,000
Granite Real Estate Investment Trust
Trust Units (traded as a component of stapled units)
Tindale, Jennifer Sara 5 1/3/2013 00
Granite Real Estate Investment Trust
Trust Units (traded as a component of stapled units)
Tindale, Jennifer Sara 5 1/3/2013 36 3,228 3,228
Granite REIT Inc. Common Shares (traded as a component of stapled units)
KUMER, LORNE 5 1/3/2013 00
Granite REIT Inc. Common Shares (traded as a component of stapled units)
KUMER, LORNE 5 1/3/2013 50 14.54 10,000
Granite REIT Inc. Common Shares (traded as a component of stapled units)
KUMER, LORNE 5 1/3/2013 50 14.54 10,000
Granite REIT Inc. Options underlying security common share part of stapled unit
KUMER, LORNE 5 1/3/2013 00
Granite REIT Inc. Options underlying security common share part of stapled unit
KUMER, LORNE 5 1/3/2013 36 14.54 10,000 10,000
Granite REIT Inc. Common Shares (traded as a component of stapled units)
Tindale, Jennifer Sara 5 1/3/2013 00
Granite REIT Inc. Common Shares (traded as a component of stapled units)
Tindale, Jennifer Sara 5 1/3/2013 36 3,228 3,228
Great Western Minerals Group Ltd.
Options Hochstein, Ronald F. 4 1/7/2013 00
Great Western Minerals Group Ltd.
Options Hochstein, Ronald F. 4 1/7/2013 50 0.24 400,000 400,000
Greenscape Capital Group Inc.
Common Shares Baxter, Richard 4 1/7/2013 10 0.045 2,117,000 125,000
Greenscape Capital Group Inc.
Common Shares Scharfe, Bradley Nixon 3, 4 1/2/2013 10 0.05 17,620,533 89,000
Greenscape Capital Group Inc.
Common Shares Scharfe, Bradley Nixon 3, 4 1/2/2013 10 0.06 17,630,533 10,000
Greenscape Capital Group Inc.
Common Shares Scharfe, Bradley Nixon 3, 4 1/8/2013 10 0.045 17,690,533 60,000
Groundstar Resources Limited
Common Shares Dust, Chad 4 1/2/2013 10 0.17 453,500 1,000
GSI Group Inc. Common Shares Bosco, Harry L. 4 1/1/2013 56 10,200 7,218 GSI Group Inc. Common Shares Romeo, Dominic A 4 1/1/2013 56 10,200 7,218 GSI Group Inc. Common Shares Secor, Thomas N 4 1/1/2013 56 10,200 7,218 Guardian Capital Group Limited
Non-Voting Shares Class A
Larose, Denis Albert 7 10/3/2011 00
Guardian Capital Group Limited
Non-Voting Shares Class A
Larose, Denis Albert 7 1/8/2013 10 11.105 2,500 2,500
Insider Reporting
January 17, 2013
(2013) 36 OSCB 888
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Guardian Capital Group Limited
Non-Voting Shares Class A
Larose, Denis Albert 7 1/8/2013 10 11.105 17,600 500
Guerrero Exploration Inc. Common Shares Stadnyk, David 4, 5 1/3/2013 11 0.05 2,640,000 2,400,000 Guerrero Exploration Inc. Common Shares Tsafalas, George 4 1/3/2013 11 0.05 685,000 -75,000 Guerrero Exploration Inc. Common Shares Tsafalas, George 4 1/3/2013 11 0.05 1,860,000 1,680,000 Guerrero Exploration Inc. Common Shares Wilson, Peter 4 1/4/2013 00 1,995,056 GuestLogix Inc. Options Desrochers, Leo 4 1/30/2012 00 GuestLogix Inc. Options Desrochers, Leo 4 2/8/2012 50 27,500 27,500 GuestLogix Inc. Options Desrochers, Leo 4 1/8/2013 50 57,500 30,000 GuestLogix Inc. Options Douramakos, Tom 3, 4, 5 1/8/2013 50 1,311,660 30,000 GuestLogix Inc. Options Halegoua, Jamie Adam 4 1/8/2013 50 42,500 30,000 GuestLogix Inc. Options Oliver, William David 4 1/11/2012 50 0.46 90,000 30,000 GuestLogix Inc. Options Oliver, William David 4 1/8/2013 50 1 120,000 30,000 GuestLogix Inc. Options Proud, Brett 5 1/8/2013 50 1 810,366 30,000 GuestLogix Inc. Options Richardi, Ralph Leonard 4 1/11/2012 50 120,000 30,000 GuestLogix Inc. Options Richardi, Ralph Leonard 4 1/8/2013 50 150,000 30,000 Hard Creek Nickel Corporation
Options CARSON, CLIFF S. 4 1/4/2013 50 0.1 1,300,000 500,000
Hard Creek Nickel Corporation
Options Davis, Lyle Roy 4 1/4/2013 50 0.1 750,000 300,000
Hard Creek Nickel Corporation
Options Fiddler, Brian 5 1/4/2013 50 0.1 500,000 200,000
Hard Creek Nickel Corporation
Options Jarvis, Mark Clayton 4, 5 1/4/2013 50 0.1 1,475,000 200,000
Hard Creek Nickel Corporation
Options Johnson, Gary 4 1/4/2013 50 0.1 1,000,000 300,000
Hard Creek Nickel Corporation
Options Milner, Tom 4 1/4/2013 50 0.1 750,000 300,000
Hard Creek Nickel Corporation
Options Sookochoff, George 4 1/4/2013 50 0.1 550,000 200,000
Hard Creek Nickel Corporation
Options Young, Leslie 5 1/4/2013 50 0.1 475,000 200,000
Hawk Exploration Ltd. Options Bonnar, David Norman 5 1/9/2013 97 1 305,000 -137,500 Hawk Exploration Ltd. Options Buchanan, Thomas William 4 1/10/2013 97 1 120,000 -55,000
Hawk Exploration Ltd. Options Deobald, Randolph Dean 5 1/9/2013 97 1 305,000 -137,500 Hawk Exploration Ltd. Options DeWiel, Erik Alexis 5 1/9/2013 97 1 325,000 -137,500 Hawk Exploration Ltd. Options Fitzmaurice, Stephen
Joseph 4, 5 1/9/2013 97 1 305,000 -137,500
Hawk Exploration Ltd. Options Jamieson, Dennis Blair 5 1/9/2013 97 1 305,000 -137,500 Hawk Exploration Ltd. Options Turnbull, Gregory George 4 1/9/2013 38 120,000 -55,000 Hawk Exploration Ltd. Options WRIGHT, JOHN DAVID 4 1/10/2013 97 1 120,000 -55,000 Heroux-Devtek Inc. Common Shares Brassard, Martin 5 12/21/2012 10 8.1 224,417 -2,500 Heroux-Devtek Inc. Common Shares Brassard, Martin 5 12/21/2012 10 8.15 222,117 -2,300 Hi Ho Silver Resources Inc. Common Shares McKnight, Dennis Harry 4 1/7/2013 10 0.04 1,552,992 89,000
High 5 Ventures Inc. Common Shares Kalpakian, Jacob H 4 1/7/2013 11 0.15 84,933 70,000 High 5 Ventures Inc. Warrants Kalpakian, Jacob H 4 1/7/2013 11 0.25 70,000 70,000 High Arctic Energy Services Inc.
Options Matthyssen, Shannon Jean 5 12/1/2012 00
High Arctic Energy Services Inc.
Options Matthyssen, Shannon Jean 5 12/14/2012 50 2.11 20,000 20,000
High Arctic Energy Services Inc.
Options Olson, Kenneth 5 1/7/2013 00
High Arctic Energy Services Inc.
Options Olson, Kenneth 5 1/7/2013 50 2.17 340,000 340,000
High Desert Gold Corporation Common Shares Brodie-Hall, Phillip 6 12/28/2012 00 200,000
HLD Land Development Limited Partnership
Limited Partnership Units Rademaker, Craig 3 1/9/2013 00 497,772
HNZ Group Inc. (formerly Canadian Helicopters Group Inc.)
Common Shares Bergnach, Edward Peter 5 12/31/2012 90 64,067 14,624
HNZ Group Inc. (formerly Canadian Helicopters Group Inc.)
Common Shares Bergnach, Edward Peter 5 12/31/2012 30 21.6 64,585 518
HNZ Group Inc. (formerly Canadian Helicopters Group Inc.)
Common Shares Bergnach, Edward Peter 5 12/31/2012 90 13,519 -14,624
HNZ Group Inc. (formerly Canadian Helicopters Group Inc.)
Common Shares Blakely, Robert George 5 12/31/2012 90 16,791 15,227
Insider Reporting
January 17, 2013
(2013) 36 OSCB 889
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
HNZ Group Inc. (formerly Canadian Helicopters Group Inc.)
Common Shares Blakely, Robert George 5 12/31/2012 30 21.6 17,346 555
HNZ Group Inc. (formerly Canadian Helicopters Group Inc.)
Common Shares Blakely, Robert George 5 1/11/2013 10 21.65 12,120 -5,226
HNZ Group Inc. (formerly Canadian Helicopters Group Inc.)
Common Shares Blakely, Robert George 5 12/31/2012 90 14,724 -15,227
HNZ Group Inc. (formerly Canadian Helicopters Group Inc.)
Common Shares Lafleur, Robert Jean 5 12/31/2012 90 25,252 15,227
HNZ Group Inc. (formerly Canadian Helicopters Group Inc.)
Common Shares Lafleur, Robert Jean 5 12/31/2012 30 21.6 25,745 493
HNZ Group Inc. (formerly Canadian Helicopters Group Inc.)
Common Shares Lafleur, Robert Jean 5 1/9/2013 10 21.56 19,745 -3,000
HNZ Group Inc. (formerly Canadian Helicopters Group Inc.)
Common Shares Lafleur, Robert Jean 5 12/31/2012 90 14,724 -15,227
HNZ Group Inc. (formerly Canadian Helicopters Group Inc.)
Common Shares MacKay, Robert Ian 5 12/31/2012 90 18,693 9,218
HNZ Group Inc. (formerly Canadian Helicopters Group Inc.)
Common Shares MacKay, Robert Ian 5 12/31/2012 30 21.6 19,302 609
HNZ Group Inc. (formerly Canadian Helicopters Group Inc.)
Common Shares MacKay, Robert Ian 5 12/31/2012 90 14,725 -9,218
HNZ Group Inc. (formerly Canadian Helicopters Group Inc.)
Common Shares Morton, Simon William 5 12/31/2012 90 21,357 14,781
HNZ Group Inc. (formerly Canadian Helicopters Group Inc.)
Common Shares Morton, Simon William 5 12/31/2012 30 21.6 21,805 448
HNZ Group Inc. (formerly Canadian Helicopters Group Inc.)
Common Shares Morton, Simon William 5 12/31/2012 90 13,832 -14,781
HNZ Group Inc. (formerly Canadian Helicopters Group Inc.)
Common Shares Mullet, Keith Woodrow 5 8/8/2011 00
HNZ Group Inc. (formerly Canadian Helicopters Group Inc.)
Common Shares Mullet, Keith Woodrow 5 12/31/2012 90 2,860 2,860
HNZ Group Inc. (formerly Canadian Helicopters Group Inc.)
Common Shares Mullet, Keith Woodrow 5 12/31/2012 90 5,719 -2,860
HNZ Group Inc. (formerly Canadian Helicopters Group Inc.)
Common Shares Olson, Mark Lewis 5 12/31/2012 90 53,014 14,728
HNZ Group Inc. (formerly Canadian Helicopters Group Inc.)
Common Shares Olson, Mark Lewis 5 12/31/2012 30 21.6 53,618 604
HNZ Group Inc. (formerly Canadian Helicopters Group Inc.)
Common Shares Olson, Mark Lewis 5 1/7/2013 10 21.8 52,218 -1,400
HNZ Group Inc. (formerly Canadian Helicopters Group Inc.)
Common Shares Olson, Mark Lewis 5 1/8/2013 10 21.6 46,618 -5,600
HNZ Group Inc. (formerly Canadian Helicopters Group Inc.)
Common Shares Olson, Mark Lewis 5 12/31/2012 90 13,728 -14,728
HNZ Group Inc. (formerly Canadian Helicopters Group Inc.)
Common Shares Seguin, Sylvain 5 12/31/2012 90 4,697 544
HNZ Group Inc. (formerly Canadian Helicopters Group Inc.)
Common Shares Seguin, Sylvain 5 12/31/2012 30 21.6 5,186 489
HNZ Group Inc. (formerly Canadian Helicopters Group Inc.)
Common Shares Seguin, Sylvain 5 12/30/2012 30 21.1 1,305 654
Insider Reporting
January 17, 2013
(2013) 36 OSCB 890
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
HNZ Group Inc. (formerly Canadian Helicopters Group Inc.)
Common Shares Seguin, Sylvain 5 12/31/2012 90 21.1 761 -544
HNZ Group Inc. (formerly Canadian Helicopters Group Inc.)
Common Shares Wall, Don Ed 4, 7 12/31/2012 90 407,080 53,737
HNZ Group Inc. (formerly Canadian Helicopters Group Inc.)
Common Shares Wall, Don Ed 4, 7 12/31/2012 30 21.6 408,052 972
HNZ Group Inc. (formerly Canadian Helicopters Group Inc.)
Common Shares Wall, Don Ed 4, 7 12/31/2012 90 56,589 -53,737
Holloway Lodging Corporation
Common Shares Grimaldi, Richard 4 12/31/2012 00 6,660
Holloway Lodging Corporation
Options Grimaldi, Richard 4 12/31/2012 00 51,500
Holloway Lodging Corporation
Common Shares Temple Hotels Inc. 3 12/31/2012 00 3,919,045
Holloway Lodging Corporation
Common Shares Thorsteinson, Arni Clayton 6 12/31/2012 00 373,107
Holloway Lodging Corporation
Common Shares Thorsteinson, Arni Clayton 6 12/31/2012 00 541,867
Horizonte Minerals PLC Common Shares Henderson Global Investors Limited
3 6/13/2012 00 21,462,569
Horizonte Minerals PLC Common Shares Henderson Global Investors Limited
3 12/18/2012 10 0.16 21,569,229 106,660
Horizonte Minerals PLC Common Shares Henderson Global Investors Limited
3 6/13/2012 00 6,709,050
Horizonte Minerals PLC Common Shares Henderson Global Investors Limited
3 12/18/2012 10 0.16 7,175,269 466,219
Horizonte Minerals PLC Common Shares Henderson Global Investors Limited
3 6/13/2012 00 15,196,819
Hornby Bay Mineral Exploration Ltd. (formerly, Unor Inc.)
Common Shares McNamara, Galen Stuart 4 4/26/2010 00
Hornby Bay Mineral Exploration Ltd. (formerly, Unor Inc.)
Common Shares McNamara, Galen Stuart 4 1/9/2013 10 0.035 100,000 100,000
HRT Participações em Petróleo S.A.
Common Shares Adeodato, Carlos Tersandro 7, 5 1/11/2013 10 2.506 279,625 -17,000
HudBay Minerals Inc. Common Shares Garofalo, David 7, 5 1/7/2013 30 10.45 100,500 919 Huntingdon Capital Corp. Common Shares Huntingdon Capital Corp. 1 1/7/2013 38 12.65 41,940 2,708 Huntingdon Capital Corp. Common Shares Huntingdon Capital Corp. 1 1/8/2013 38 12.6 44,648 2,708 Huntingdon Capital Corp. Common Shares Huntingdon Capital Corp. 1 1/9/2013 38 12.58 47,348 2,700 Huntingdon Capital Corp. Common Shares Huntingdon Capital Corp. 1 1/10/2013 38 12.42 73,348 26,000 Huntington Exploration Inc. Common Shares Verhelst, Robert Joseph 5 12/31/2012 11 0.05 2,276,000 1,500,000 Hyperion Exploration Corp. Common Shares Bailey, Douglas George 5 1/8/2013 10 0.475 10,000 10,000 Hyperion Exploration Corp. Common Shares Elliott International Capital
Advisors Inc. 3 1/8/2013 10 0.461 5,110,110 -150,000
Hyperion Exploration Corp. Common Shares Singer, Paul Elliott 3 1/8/2013 10 0.461 3,582,990 -100,000 IBC Advanced Alloys Corp. Common Shares Anderson, Simon 5 12/4/2012 37 28,735 -143,679
IBC Advanced Alloys Corp. Common Shares Anderson, Simon 5 12/4/2012 37 41,666 -208,334
IBC Advanced Alloys Corp. Options Anderson, Simon 5 12/4/2012 37 300,000 -1,500,000
IBC Advanced Alloys Corp. Options Anderson, Simon 5 10/26/2012 52 400,000 -400,000
IBC Advanced Alloys Corp. Options Anderson, Simon 5 12/4/2012 37 66,667 -333,333
IBC Advanced Alloys Corp. Options Dutton, Anthony John Guy 4, 5 10/26/2012 52 2,200,000 -400,000
IBC Advanced Alloys Corp. Options Dutton, Anthony John Guy 4, 5 12/4/2012 37 366,667 -1,833,333
IGM Financial Inc. Common Shares IGM Financial Inc. 1 12/3/2012 38 40.339 25,000 25,000 IGM Financial Inc. Common Shares IGM Financial Inc. 1 12/3/2012 38 0 -25,000 IGM Financial Inc. Common Shares IGM Financial Inc. 1 12/4/2012 38 39.895 25,000 25,000 IGM Financial Inc. Common Shares IGM Financial Inc. 1 12/4/2012 38 0 -25,000 IGM Financial Inc. Common Shares IGM Financial Inc. 1 12/5/2012 38 39.91 25,000 25,000 IGM Financial Inc. Common Shares IGM Financial Inc. 1 12/5/2012 38 0 -25,000 IGM Financial Inc. Common Shares IGM Financial Inc. 1 12/6/2012 38 40.093 25,000 25,000 IGM Financial Inc. Common Shares IGM Financial Inc. 1 12/6/2012 38 0 -25,000 IGM Financial Inc. Common Shares IGM Financial Inc. 1 12/7/2012 38 39.986 25,000 25,000
Insider Reporting
January 17, 2013
(2013) 36 OSCB 891
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
IGM Financial Inc. Common Shares IGM Financial Inc. 1 12/7/2012 38 0 -25,000 IGM Financial Inc. Common Shares IGM Financial Inc. 1 12/10/2012 38 40.6 25,000 25,000 IGM Financial Inc. Common Shares IGM Financial Inc. 1 12/10/2012 38 0 -25,000 IGM Financial Inc. Common Shares IGM Financial Inc. 1 12/11/2012 38 40.6 25,000 25,000 IGM Financial Inc. Common Shares IGM Financial Inc. 1 12/11/2012 38 0 -25,000 IGM Financial Inc. Common Shares IGM Financial Inc. 1 12/12/2012 38 41.345 25,000 25,000 IGM Financial Inc. Common Shares IGM Financial Inc. 1 12/12/2012 38 0 -25,000 IGM Financial Inc. Common Shares IGM Financial Inc. 1 12/13/2012 38 41.324 25,000 25,000 IGM Financial Inc. Common Shares IGM Financial Inc. 1 12/13/2012 38 0 -25,000 IGM Financial Inc. Common Shares IGM Financial Inc. 1 12/14/2012 38 41.511 15,000 15,000 IGM Financial Inc. Common Shares IGM Financial Inc. 1 12/14/2012 38 0 -15,000 IGM Financial Inc. Common Shares IGM Financial Inc. 1 12/17/2012 38 40.882 10,000 10,000 IGM Financial Inc. Common Shares IGM Financial Inc. 1 12/17/2012 38 0 -10,000 IGM Financial Inc. Common Shares IGM Financial Inc. 1 12/18/2012 38 40.981 10,000 10,000 IGM Financial Inc. Common Shares IGM Financial Inc. 1 12/18/2012 38 0 -10,000 IGM Financial Inc. Common Shares IGM Financial Inc. 1 12/19/2012 38 41.794 10,000 10,000 IGM Financial Inc. Common Shares IGM Financial Inc. 1 12/19/2012 38 0 -10,000 IGM Financial Inc. Common Shares IGM Financial Inc. 1 12/20/2012 38 42.134 10,000 10,000 IGM Financial Inc. Common Shares IGM Financial Inc. 1 12/20/2012 38 0 -10,000 IGM Financial Inc. Common Shares IGM Financial Inc. 1 12/21/2012 38 42.42 4,700 4,700 IGM Financial Inc. Common Shares IGM Financial Inc. 1 12/21/2012 38 0 -4,700 IGM Financial Inc. Common Shares IGM Financial Inc. 1 12/27/2012 38 41.253 5,000 5,000 IGM Financial Inc. Common Shares IGM Financial Inc. 1 12/27/2012 38 0 -5,000 IGM Financial Inc. Common Shares IGM Financial Inc. 1 12/28/2012 38 41.575 5,000 5,000 IGM Financial Inc. Common Shares IGM Financial Inc. 1 12/28/2012 38 0 -5,000 IMAX Corporation Common Shares Keighley, David B. 5 1/9/2013 51 6.86 16,700 16,500 IMAX Corporation Common Shares Keighley, David B. 5 1/9/2013 10 24.39 200 -16,500 IMAX Corporation Common Shares Keighley, David B. 5 1/9/2013 51 2.87 15,950 15,750 IMAX Corporation Common Shares Keighley, David B. 5 1/9/2013 10 24.39 200 -15,750 IMAX Corporation Common Shares Keighley, David B. 5 1/9/2013 51 9.02 28,200 28,000 IMAX Corporation Common Shares Keighley, David B. 5 1/9/2013 10 24.39 200 -28,000 IMAX Corporation Options 1:1 Keighley, David B. 5 1/9/2013 51 6.86 139,250 -16,500 IMAX Corporation Options 1:1 Keighley, David B. 5 1/9/2013 51 2.87 123,500 -15,750 IMAX Corporation Options 1:1 Keighley, David B. 5 1/9/2013 51 9.02 95,500 -28,000 Imperial Metals Corporation Common Shares Deepwell, Andre Henry 5 1/11/2013 30 10.55 262,250 413
Imperial Metals Corporation Common Shares Giraud, Thomas Sewell Byng
5 1/7/2013 51 10.025 2,523 500
Imperial Metals Corporation Common Shares Giraud, Thomas Sewell Byng
5 1/7/2013 10 12.8 2,023 -500
Imperial Metals Corporation Common Shares Giraud, Thomas Sewell Byng
5 1/7/2013 51 10.025 2,823 800
Imperial Metals Corporation Common Shares Giraud, Thomas Sewell Byng
5 1/7/2013 10 12.83 2,023 -800
Imperial Metals Corporation Common Shares Giraud, Thomas Sewell Byng
5 1/7/2013 51 10.025 2,123 100
Imperial Metals Corporation Common Shares Giraud, Thomas Sewell Byng
5 1/7/2013 10 12.82 2,023 -100
Imperial Metals Corporation Common Shares Giraud, Thomas Sewell Byng
5 1/7/2013 51 10.025 3,623 1,600
Imperial Metals Corporation Common Shares Giraud, Thomas Sewell Byng
5 1/7/2013 10 12.825 2,023 -1,600
Imperial Metals Corporation Common Shares Giraud, Thomas Sewell Byng
5 1/11/2013 30 10.57 2,315 292
Imperial Metals Corporation Options Giraud, Thomas Sewell Byng
5 1/7/2013 51 10.025 128,500 -500
Imperial Metals Corporation Options Giraud, Thomas Sewell Byng
5 1/7/2013 51 10.025 127,700 -800
Imperial Metals Corporation Options Giraud, Thomas Sewell Byng
5 1/7/2013 51 10.025 127,600 -100
Imperial Metals Corporation Options Giraud, Thomas Sewell Byng
5 1/7/2013 51 10.025 126,000 -1,600
Imperial Metals Corporation Common Shares Imperial Metals Corporation 1 1/8/2013 30 12.38 84 -1,904
Imperial Metals Corporation Common Shares KYNOCH, J. BRIAN 4, 5 1/11/2013 30 10.55 1,024,909 504
Imperial Metals Corporation Common Shares McAndless, Patrick Michael 5 1/11/2013 30 10.54 19,863 338
Imperial Metals Corporation Common Shares Moeller, Larry G. 4 1/8/2013 30 12.38 1,986,764 617
Imperial Metals Corporation Common Shares Muraro, Theodore William 4 1/8/2013 30 12.38 26,232 670
Imperial Metals Corporation Common Shares Parsons, Donald Frazer 5 1/11/2013 30 10.55 152,358 393
Insider Reporting
January 17, 2013
(2013) 36 OSCB 892
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Imperial Metals Corporation Common Shares YURKOWSKI, EDWARD ALFRED
4 1/8/2013 30 12.38 33,124 617
Imperial Oil Limited Common Shares Masschelin, Paul 5 1/7/2013 10 43.755 6,553 1,000 In-Touch Survey Systems Ltd.
Common Shares Watt, Cameron James 5 1/10/2013 10 0.295 75,500 17,000
In-Touch Survey Systems Ltd.
Common Shares Watt, Cameron James 5 1/10/2013 10 0.295 161,600 10,000
Indexplus Income Fund Trust Units IndexPlus Income Fund 1 1/9/2013 38 12.23 31,411,488 1,200 Indexplus Income Fund Trust Units IndexPlus Income Fund 1 1/10/2013 38 12.2 31,411,888 400 Innergex Renewable Energy Inc.
Common Shares La Couture, Jean 4 1/9/2013 10 10.195 19,140 2,000
INSCAPE Corporation Options Dyke, Dennis Robert 5 1/7/2013 50 1.8 67,751 13,747 INSCAPE Corporation Options Kong, Quentin Matthew 5 1/10/2013 50 1.8 71,855 26,071 INSCAPE Corporation Options Parshad, David 5 1/7/2013 50 1.8 99,342 16,591 INSCAPE Corporation Options Smallwood, Kent Earl 5 1/7/2013 50 1.8 177,396 29,626 INSCAPE Corporation Options Snelling, Glen Allen 5 1/7/2013 50 1.8 93,511 16,591 Intact Financial Corporation Common Shares BLAIR, ALAN JOHN 5 1/10/2013 57 65.79 8,102 406
Intact Financial Corporation Stock Incentives BLAIR, ALAN JOHN 5 1/10/2013 57 65.79 3,020 -811
Intact Financial Corporation Common Shares Guénette, Françoise 5 1/10/2013 57 65.79 11,977 1,043
Intact Financial Corporation Stock Incentives Guénette, Françoise 5 1/10/2013 57 65.79 10,181 -1,946
Intact Financial Corporation Common Shares Hindle, Byron Alexander 5 1/10/2013 57 65.79 4,908 626
Intact Financial Corporation Stock Incentives Hindle, Byron Alexander 5 1/10/2013 57 65.79 5,060 -1,168
Intact Financial Corporation Common Shares Lincoln, David Charles 5 1/10/2013 57 65.79 12,709 923
Intact Financial Corporation Stock Incentives Lincoln, David Charles 5 1/10/2013 57 65.79 2,457 -923
Intact Financial Corporation Common Shares Morissette, Benoit 5 1/10/2013 57 65.79 5,081 418
Intact Financial Corporation Stock Incentives Morissette, Benoit 5 1/10/2013 57 65.79 1,942 -780
Intact Financial Corporation Common Shares Ott, Jack 5 1/10/2013 57 65.79 7,954 750
Intact Financial Corporation Stock Incentives Ott, Jack 5 1/10/2013 57 65.79 5,964 -1,399
Intact Financial Corporation Common Shares Pontbriand, Marc 5 1/10/2013 57 65.79 15,219 1,750
Intact Financial Corporation Stock Incentives Pontbriand, Marc 5 1/10/2013 57 65.79 13,122 -3,498
Intact Financial Corporation Common Shares PROVOST, MARC 5 1/10/2013 57 65.79 23,513 1,068
Intact Financial Corporation Stock Incentives PROVOST, MARC 5 1/10/2013 57 65.79 6,628 -2,135
Intact Financial Corporation Common Shares Sham, Lilia M. 5 1/10/2013 57 65.79 7,266 574
Intact Financial Corporation Stock Incentives Sham, Lilia M. 5 1/10/2013 57 65.79 -1,071
Intact Financial Corporation Stock Incentives Sham, Lilia M. 5 1/10/2013 57 65.79 4,478 -1,071
Intact Financial Corporation Common Shares Tullis, Mark Alan 5 1/10/2013 57 65.79 64,688 2,375
Intact Financial Corporation Stock Incentives Tullis, Mark Alan 5 1/10/2013 57 65.79 20,088 -4,705
INTEGRATED ASSET MANAGEMENT CORP.
Common Shares Atkins, David Hedley 4 3/12/2010 10 0.7 2,500
INTEGRATED ASSET MANAGEMENT CORP.
Common Shares Atkins, David Hedley 4 3/12/2010 10 0.7 2,500
Intelimax Media Inc. Common Shares Young, Michael Louis 4 1/7/2013 90 0.25 1,525,302 -32,000 Intelimax Media Inc. Common Shares Young, Michael Louis 4 1/7/2013 90 0.25 47,000 32,000 Inter Pipeline Fund Deferred Unit Right Perron, Bernard 5 1/9/2013 57 23.612 27,945 -3,355 Inter Pipeline Fund Deferred Unit Right Perron, Bernard 5 1/9/2013 57 23.612 24,390 -3,555 International Northair Mines Ltd.
Common Shares Hewett, Frederic George 4, 5 1/3/2013 51 0.21 852,000 100,000
International Northair Mines Ltd.
Common Shares Hewett, Frederic George 4, 5 1/3/2013 10 0.21 777,000 -75,000
International Northair Mines Ltd.
Options Hewett, Frederic George 4, 5 1/3/2013 51 0.21 800,000 -100,000
Insider Reporting
January 17, 2013
(2013) 36 OSCB 893
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
International Northair Mines Ltd.
Common Shares McLeod, Donald Alexander 4 1/3/2013 51 68,146 10,000
International Northair Mines Ltd.
Options McLeod, Donald Alexander 4 1/3/2013 51 0.21 490,000 -10,000
International Tower Hill Mines Ltd.
Common Shares PONTIUS, Jeffrey A. 4 1/3/2013 10 2.2 569,266 -9,900
International Tower Hill Mines Ltd.
Common Shares PONTIUS, Jeffrey A. 4 1/3/2013 10 2.21 -100
International Tower Hill Mines Ltd.
Common Shares PONTIUS, Jeffrey A. 4 1/3/2013 10 2.21 569,166 -100
International Tower Hill Mines Ltd.
Common Shares PONTIUS, Jeffrey A. 4 1/3/2013 10 2.23 562,766 -6,400
International Tower Hill Mines Ltd.
Common Shares PONTIUS, Jeffrey A. 4 1/3/2013 10 2.24 -6,200
International Tower Hill Mines Ltd.
Common Shares PONTIUS, Jeffrey A. 4 1/3/2013 10 2.24 556,566 -6,200
International Tower Hill Mines Ltd.
Common Shares PONTIUS, Jeffrey A. 4 1/3/2013 10 2.25 484,889 -71,677
International Tower Hill Mines Ltd.
Common Shares PONTIUS, Jeffrey A. 4 1/3/2013 10 2.26 -2,323
International Tower Hill Mines Ltd.
Common Shares PONTIUS, Jeffrey A. 4 1/3/2013 10 2.26 482,566 -2,323
International Tower Hill Mines Ltd.
Common Shares PONTIUS, Jeffrey A. 4 1/3/2013 10 2.27 482,066 -500
International Tower Hill Mines Ltd.
Common Shares PONTIUS, Jeffrey A. 4 1/3/2013 10 2.3 477,066 -5,000
International Tower Hill Mines Ltd.
Common Shares PONTIUS, Jeffrey A. 4 1/4/2013 10 2.15 -11,384
International Tower Hill Mines Ltd.
Common Shares PONTIUS, Jeffrey A. 4 1/4/2013 10 2.15 465,682 -11,384
International Tower Hill Mines Ltd.
Common Shares PONTIUS, Jeffrey A. 4 1/4/2013 10 2.14 450,566 -15,116
International Tower Hill Mines Ltd.
Common Shares PONTIUS, Jeffrey A. 4 1/4/2013 10 2.13 398,566 -52,000
International Tower Hill Mines Ltd.
Common Shares PONTIUS, Jeffrey A. 4 1/4/2013 10 2.12 383,566 -15,000
Intertainment Media Inc. Common Shares Lucatch, David Marc 6 1/3/2013 10 0.125 12,805,665 -20,000 Intertainment Media Inc. Common Shares Lucatch, David Marc 6 1/4/2013 10 0.13 12,785,665 -20,000 Intertainment Media Inc. Common Shares Lucatch, David Marc 6 1/7/2013 10 0.2 12,765,665 -20,000 Intertainment Media Inc. Common Shares Lucatch, David Marc 6 1/8/2013 10 0.17 12,745,665 -20,000 Intertainment Media Inc. Common Shares Lucatch, David Marc 6 1/9/2013 10 0.18 12,725,665 -20,000 Intertainment Media Inc. Common Shares Lucatch, David Marc 6 1/10/2013 54 0.13 13,975,665 1,250,000 Intertainment Media Inc. Common Shares Lucatch, David Marc 6 1/10/2013 10 0.175 13,955,665 -20,000 Intertainment Media Inc. Exchangeable Shares
Warrants Lucatch, David Marc 6 1/10/2013 54 0.13 4,250,000 -1,250,000
Intertainment Media Inc. Common Shares Lucatch, Jana Gayle 6 1/8/2013 10 0.17 2,261,666 -20,000 Intertainment Media Inc. Common Shares Lucatch, Jana Gayle 6 1/10/2013 54 0.13 3,161,666 900,000 Intertainment Media Inc. Common Shares Lucatch, Jana Gayle 6 1/10/2013 10 0.175 3,121,666 -40,000 Intertainment Media Inc. Common Shares Lucatch, Jana Gayle 6 1/3/2013 10 0.125 2,321,666 -20,000 Intertainment Media Inc. Common Shares Lucatch, Jana Gayle 6 1/4/2013 10 0.135 2,301,666 -20,000 Intertainment Media Inc. Common Shares Lucatch, Jana Gayle 6 1/7/2013 10 0.2 2,281,666 -20,000 Intertainment Media Inc. Exchangeable Shares
Warrants Lucatch, Jana Gayle 6 1/10/2013 54 0.13 0 -900,000
Intertape Polymer Group Inc. Common Shares Quintas, Jorge Nelson 4 12/18/2012 47 -2,029
Intertape Polymer Group Inc. Common Shares Quintas, Jorge Nelson 4 12/18/2012 47 97,300 -1,829,168
IOU Financial Inc. Warrants Boisjoli, Robert 6 12/28/2012 11 0.4 93,750 IOU Financial Inc. Warrants Boisjoli, Robert 6 12/28/2012 11 0.4 93,750 93,750 IOU Financial Inc. Warrants Marleau, Hubert 8, 6 12/21/2012 11 0.4 75,000 IOU Financial Inc. Warrants Marleau, Hubert 8, 6 12/21/2012 11 0.4 75,000 75,000 IOU Financial Inc. Warrants Palos Management Inc. 3 12/21/2012 00 IOU Financial Inc. Warrants Palos Management Inc. 3 12/21/2012 00 IOU Financial Inc. Warrants Palos Management Inc. 3 12/21/2012 46 215,467 IOU Financial Inc. Warrants Palos Management Inc. 3 12/21/2012 46 215,467 215,467 IOU Financial Inc. Warrants Palos Management Inc. 3 12/28/2012 46 83,094 IOU Financial Inc. Warrants Palos Management Inc. 3 12/28/2012 46 298,561 83,094 IROC Energy Services Corp. Common Shares Alford, Thomas Malcolm 3, 4, 5 1/2/2013 10 2.24 582,341 2,400
IROC Energy Services Corp. Common Shares Alford, Thomas Malcolm 3, 4, 5 1/4/2013 10 2.24 386,755 700
IROC Energy Services Corp. Common Shares Alford, Thomas Malcolm 3, 4, 5 1/4/2013 10 2.25 387,255 500
Insider Reporting
January 17, 2013
(2013) 36 OSCB 894
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
IROC Energy Services Corp. Common Shares Alford, Thomas Malcolm 3, 4, 5 1/4/2013 10 2.3 391,055 3,800
IROC Energy Services Corp. Rights Restricted Share Units
Alford, Thomas Malcolm 3, 4, 5 1/7/2013 56 209,359 66,094
IROC Energy Services Corp. Rights Restricted Share Units
Alford, Thomas Malcolm 3, 4, 5 1/7/2013 56 263,865 54,506
IROC Energy Services Corp. Options Austin, William Michael 4 1/7/2013 50 171,371 25,000
IROC Energy Services Corp. Options Copeland, Donald Darrell 4 1/7/2013 50 2.33 150,000 25,000
IROC Energy Services Corp. Options Fedora, Bradley P. D. 4 1/7/2013 50 2.33 150,000 25,000
IROC Energy Services Corp. Common Shares Michaluk, Ryan Allen 5 1/3/2013 51 0.85 77,608 62,500
IROC Energy Services Corp. Common Shares Michaluk, Ryan Allen 5 1/3/2013 57 108,872 31,264
IROC Energy Services Corp. Options Michaluk, Ryan Allen 5 1/3/2013 51 0.85 31,250 -62,500
IROC Energy Services Corp. Rights Restricted Share Units
Michaluk, Ryan Allen 5 1/3/2013 57 41,522 -31,264
IROC Energy Services Corp. Options Neeland, Brian Dennis 4 1/7/2013 50 100,000 25,000
IROC Energy Services Corp. Options O'Connor, Stuart 4 1/7/2013 50 125,000 25,000
IROC Energy Services Corp. Rights Restricted Share Units
Peters, Brian Bruno 5 1/4/2013 00
IROC Energy Services Corp. Rights Restricted Share Units
Peters, Brian Bruno 5 1/7/2013 56 42,918 42,918
IROC Energy Services Corp. Rights Restricted Share Units
Peters, Brian Bruno 5 1/7/2013 56 52,918 10,000
IROC Energy Services Corp. Common Shares Sebastian, Timothy John 5 1/3/2013 51 0.9 119,871 75,000
IROC Energy Services Corp. Common Shares Sebastian, Timothy John 5 1/3/2013 57 31,246
IROC Energy Services Corp. Common Shares Sebastian, Timothy John 5 1/3/2013 57 151,135 31,264
IROC Energy Services Corp. Options Sebastian, Timothy John 5 1/3/2013 51 0.9 215,746 -75,000
IROC Energy Services Corp. Rights Restricted Share Units
Sebastian, Timothy John 5 1/3/2013 57 -31,246
IROC Energy Services Corp. Rights Restricted Share Units
Sebastian, Timothy John 5 1/3/2013 57 41,522 -31,264
IROC Energy Services Corp. Rights Restricted Share Units
Sebastian, Timothy John 5 1/7/2013 56 75,857 34,335
IROC Energy Services Corp. Common Shares Troob Capital Management LLC
3 1/4/2013 10 2.25 1,232,450 2,000
IROC Energy Services Corp. Common Shares Troob Capital Management LLC
3 1/4/2013 10 2.266 1,047,786 500
IROC Energy Services Corp. Common Shares Troob Capital Management LLC
3 1/10/2013 10 2.3421 1,047,796 10
IROC Energy Services Corp. Common Shares Troob Capital Management LLC
3 1/9/2013 10 2.35 3,179,849 600
IROC Energy Services Corp. Common Shares Troob Capital Management LLC
3 1/10/2013 10 2.3421 3,185,539 5,690
IROC Energy Services Corp. Common Shares Troob Capital Management LLC
3 1/3/2013 10 2.2409 299,831 1,100
IROC Energy Services Corp. Common Shares Troob Capital Management LLC
3 1/4/2013 10 2.244 307,631 7,800
IROC Energy Services Corp. Common Shares Troob Capital Management LLC
3 1/7/2013 10 2.3211 309,431 1,800
IROC Energy Services Corp. Common Shares Troob Capital Management LLC
3 1/8/2013 10 2.39 309,531 100
IROC Energy Services Corp. Common Shares Troob Capital Management LLC
3 1/9/2013 10 2.3663 311,131 1,600
Iron Creek Capital Corp. Common Shares Winn, Michael D. 3, 4, 5 11/30/2012 10 0.075 -5,000 Iron Creek Capital Corp. Common Shares Winn, Michael D. 3, 4, 5 11/30/2012 10 0.075 1,455,000 5,000 Jadela Oil Corp. Common Shares Leia, Gregory 4, 5 1/10/2013 10 784,450 17,500 Jadela Oil Corp. Common Shares Leia, Gregory 4, 5 1/11/2013 10 796,950 12,500 Jaguar Mining Inc. Options Willock, Thomas Douglas 5 1/10/2013 00 100,000 Jourdan Resources Inc. Common Shares Dehn, Michael Alexander 4, 5 1/7/2013 10 0.055 773,500 1,000 Jourdan Resources Inc. Common Shares Dehn, Michael Alexander 4, 5 1/9/2013 10 0.055 873,500 100,000 Jourdan Resources Inc. Common Shares Dehn, Michael Alexander 4, 5 1/10/2013 10 0.06 875,500 2,000 Jourdan Resources Inc. Common Shares Dehn, Michael Alexander 4, 5 1/11/2013 10 0.06 880,500 5,000
Insider Reporting
January 17, 2013
(2013) 36 OSCB 895
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Jovian Capital Corporation Common Shares Employee Share Purchase Plan
1 1/4/2013 30 6.3 28,606 1,000
Jubilee Gold Exploration Ltd. Common Shares Ades, Sigrid Ingeborg 5 1/1/2013 00
Jubilee Gold Exploration Ltd. Common Shares Ades, Sigrid Ingeborg 5 1/1/2013 22 52,201 52,201
Jubilee Gold Exploration Ltd. Common Shares Ades, Sigrid Ingeborg 5 1/1/2013 22 53,303 1,102
Jubilee Gold Exploration Ltd. Common Shares Ades, Sigrid Ingeborg 5 1/1/2013 22 66,385 13,082
Jubilee Gold Exploration Ltd. Common Shares Becker, Jeffrey Jonathan 5 1/1/2013 00
Jubilee Gold Exploration Ltd. Common Shares Becker, Jeffrey Jonathan 5 1/1/2013 22 1,256,316 1,256,316
Jubilee Gold Exploration Ltd. Common Shares Becker, Jeffrey Jonathan 5 1/1/2013 22 1,443,053 186,737
Jubilee Gold Exploration Ltd. Common Shares Becker, Jeffrey Jonathan 5 1/1/2013 22 3,630,281 2,187,228
Jubilee Gold Exploration Ltd. Common Shares Becker, Jeffrey Jonathan 5 1/1/2013 00
Jubilee Gold Exploration Ltd. Common Shares Becker, Jeffrey Jonathan 5 1/1/2013 22 1,860,740 1,860,740
Jubilee Gold Exploration Ltd. Common Shares Becker, Jeffrey Jonathan 5 1/1/2013 22 2,432,567 571,827
Jubilee Gold Exploration Ltd. Common Shares Becker, Jeffrey Jonathan 5 1/1/2013 22 3,221,993 789,426
Jubilee Gold Exploration Ltd. Common Shares Friesen, Maureen Louise 4 1/1/2013 00
Jubilee Gold Exploration Ltd. Common Shares Friesen, Maureen Louise 4 1/1/2013 22 31,050 31,050
Jubilee Gold Exploration Ltd. Common Shares Friesen, Maureen Louise 4 1/1/2013 22 45,609 14,559
Jubilee Gold Exploration Ltd. Common Shares OHMAN, GRANT VICTOR 4 1/1/2013 00
Jubilee Gold Exploration Ltd. Common Shares OHMAN, GRANT VICTOR 4 1/1/2013 22 8,856 8,856
Junex Inc. Common Shares Junex Inc. 1 12/3/2012 38 0.68 318,500 5,000 Junex Inc. Common Shares Junex Inc. 1 12/4/2012 38 0.66 319,500 1,000 Junex Inc. Common Shares Junex Inc. 1 12/5/2012 38 0.66 327,500 8,000 Junex Inc. Common Shares Junex Inc. 1 12/6/2012 38 0.68 332,500 5,000 Junex Inc. Common Shares Junex Inc. 1 12/7/2012 38 0.68 337,500 5,000 Junex Inc. Common Shares Junex Inc. 1 12/10/2012 38 0.66 347,500 10,000 Junex Inc. Common Shares Junex Inc. 1 12/11/2012 38 0.7 352,500 5,000 Junex Inc. Common Shares Junex Inc. 1 12/13/2012 38 0.7 357,500 5,000 Junex Inc. Common Shares Junex Inc. 1 12/14/2012 38 0.7 362,500 5,000 Junex Inc. Common Shares Junex Inc. 1 12/18/2012 38 0.69 372,500 10,000 Junex Inc. Common Shares Junex Inc. 1 12/19/2012 38 0.69 377,500 5,000 Junex Inc. Common Shares Junex Inc. 1 12/20/2012 38 0.67 387,500 10,000 Junex Inc. Common Shares Junex Inc. 1 12/21/2012 38 0.68 397,500 10,000 Junex Inc. Common Shares Junex Inc. 1 12/24/2012 38 0.66 402,500 5,000 Junex Inc. Common Shares Junex Inc. 1 12/27/2012 38 0.68 407,500 5,000 Junex Inc. Common Shares Junex Inc. 1 12/28/2012 38 0.69 412,500 5,000 Junex Inc. Common Shares Junex Inc. 1 12/31/2012 38 0.68 417,500 5,000 Just Energy Group Inc. Common Shares BIRD, STEPHANIE 5 1/7/2013 57 16,490 12,167 Just Energy Group Inc. Rights 2010 Restricted
Share Grant Plan BIRD, STEPHANIE 5 1/7/2013 57 7,333 -12,167
Just Energy Group Inc. Rights Directors Compensation Plan
Brussa, John Albert 4 1/7/2013 56 14,543 895
Just Energy Group Inc. Rights Directors Compensation Plan
Giffin, Gordon D. 4 1/7/2013 56 42,208 895
Just Energy Group Inc. Rights Directors Compensation Plan
KIRBY, MICHAEL 4 1/7/2013 56 13,555 864
Just Energy Group Inc. Rights Directors Compensation Plan
McMurtry, Roy 4 1/7/2013 56 8,782 710
Just Energy Group Inc. Common Shares MCWILLIAMS, ANDREW 5 8/30/2012 00 Just Energy Group Inc. Common Shares MCWILLIAMS, ANDREW 5 1/7/2013 57 58,965 58,965 Just Energy Group Inc. Rights 2010 Restricted
Share Grant Plan MCWILLIAMS, ANDREW 5 1/7/2013 57 0 -58,965
Just Energy Group Inc. Rights Directors Compensation Plan
Segal, Hugh David 5 1/7/2013 56 13,971 876
Just Energy Group Inc. Rights Directors Compensation Plan
SMITH, BRIAN 4 1/7/2013 56 56,655 3,964
Keyera Corp. Common Shares Catell, Robert B. 4 1/8/2013 30 49.8 29,165 419
Insider Reporting
January 17, 2013
(2013) 36 OSCB 896
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Keyera Corp. Common Shares Catell, Robert B. 4 1/3/2013 30 49.8 419 419 Keyera Corp. Common Shares Catell, Robert B. 4 1/8/2013 30 49.8 0 -419 Keyera Corp. Common Shares Davies, Michael Bruce Cook 4 1/8/2013 30 49.8 11,248 346
Keyera Corp. Common Shares Davies, Michael Bruce Cook 4 1/3/2013 30 49.8 346 346
Keyera Corp. Common Shares Davies, Michael Bruce Cook 4 1/8/2013 30 49.8 0 -346
Keyera Corp. Common Shares Laird, Nancy M. 4 1/8/2013 30 49.8 25,429 289 Keyera Corp. Common Shares Laird, Nancy M. 4 1/3/2013 30 49.8 289 289 Keyera Corp. Common Shares Laird, Nancy M. 4 1/8/2013 30 49.8 0 -289 Keyera Corp. Common Shares Nichols, H. Neil 4 1/8/2013 30 49.8 33,156 577 Keyera Corp. Common Shares Nichols, H. Neil 4 1/3/2013 30 49.8 577 577 Keyera Corp. Common Shares Nichols, H. Neil 4 1/8/2013 30 49.8 0 -577 Keyera Corp. Common Shares Stedman, William Richard 4 1/8/2013 30 49.8 48,793 75 Keyera Corp. Common Shares Stedman, William Richard 4 1/3/2013 30 49.8 75 75 Keyera Corp. Common Shares Stedman, William Richard 4 1/8/2013 30 49.8 0 -75 KHAN RESOURCES INC. Common Shares Edey, Grant Arnold 4 1/10/2013 10 0.1 927,250 378,250 KHAN RESOURCES INC. Common Shares Henderson, Marc Charles 4 1/10/2013 10 0.1 550,000 250,000 Killam Properties Inc. Common Shares Buckle-McIntosh, Ruth Mary 5 1/10/2013 30 4,711 792
Killam Properties Inc. Common Shares Cleveland, Erin Nicole 5 3/28/2012 00 Killam Properties Inc. Common Shares Cleveland, Erin Nicole 5 1/10/2013 30 246 246 Killam Properties Inc. Common Shares Crowell, Pamela Florence 5 1/10/2013 30 4,675 788 Killam Properties Inc. Common Shares Fraser, Philip 4, 5 1/7/2013 10 12.407 192,452 -10,200 Killam Properties Inc. Common Shares Fraser, Philip 4, 5 1/8/2013 10 12.3 179,152 -13,300 Killam Properties Inc. Common Shares Fraser, Philip 4, 5 1/10/2013 51 8.16 206,652 27,500 Killam Properties Inc. Common Shares Fraser, Philip 4, 5 1/10/2013 30 4,786 798 Killam Properties Inc. Options Fraser, Philip 4, 5 1/8/2013 51 8.16 153,250 -27,500 Killam Properties Inc. Common Shares Jackson, Jeremy Winston 5 1/10/2013 30 1,372 624 Killam Properties Inc. Common Shares Jackson, Jeremy Winston 5 1/10/2013 90 722 -650 Killam Properties Inc. Common Shares Jackson, Jeremy Winston 5 1/10/2013 90 1,647 394 Killam Properties Inc. Common Shares Jackson, Jeremy Winston 5 1/10/2013 90 1,720 256 Killam Properties Inc. Common Shares McLean, Mike 5 1/7/2013 51 5.32 8,500 833 Killam Properties Inc. Common Shares McLean, Mike 5 1/10/2013 30 4,240 794 Killam Properties Inc. Options McLean, Mike 5 1/7/2013 51 5.32 6,100 -833 Killam Properties Inc. Common Shares Noseworthy, Dale 5 1/9/2013 51 5.32 12,750 6,500 Killam Properties Inc. Common Shares Noseworthy, Dale 5 1/9/2013 10 12.606 6,250 -6,500 Killam Properties Inc. Common Shares Noseworthy, Dale 5 1/10/2013 30 4,412 785 Killam Properties Inc. Options Noseworthy, Dale 5 1/8/2013 51 5.32 7,750 -6,500 Killam Properties Inc. Common Shares Richardson, Robert 4, 5 1/10/2013 30 4,519 781 Kingsway Financial Services Inc.
Common Shares Hannon, Gregory Paul 4 1/3/2013 10 3.8 1,028,350 9,800
Kingsway Financial Services Inc.
Common Shares Hannon, Gregory Paul 4 1/3/2013 10 3.65 1,029,450 1,100
Kingsway Financial Services Inc.
Common Shares Hannon, Gregory Paul 4 1/3/2013 10 3.64 1,029,650 200
Kingsway Financial Services Inc.
Common Shares Hannon, Gregory Paul 4 1/4/2013 10 3.89 1,036,950 7,300
Kingsway Financial Services Inc.
Common Shares Hannon, Gregory Paul 4 1/4/2013 10 3.85 1,042,750 5,800
Kingsway Financial Services Inc.
Common Shares Hannon, Gregory Paul 4 1/4/2013 10 3.84 1,044,350 1,600
Kingsway Financial Services Inc.
Common Shares Hannon, Gregory Paul 4 1/4/2013 10 3.83 1,045,350 1,000
Kingsway Financial Services Inc.
Common Shares Hannon, Gregory Paul 4 1/4/2013 10 3.75 1,045,850 500
Kingsway Financial Services Inc.
Common Shares Hannon, Gregory Paul 4 1/4/2013 10 3.74 1,046,850 1,000
Kingsway Financial Services Inc.
Common Shares Hannon, Gregory Paul 4 1/4/2013 10 3.73 1,047,950 1,100
Kingsway Financial Services Inc.
Common Shares Hannon, Gregory Paul 4 1/4/2013 10 3.72 1,048,750 800
Kingsway Financial Services Inc.
Common Shares Hannon, Gregory Paul 4 1/4/2013 10 3.71 1,048,950 200
Kingsway Financial Services Inc.
Common Shares Hannon, Gregory Paul 4 1/4/2013 10 3.7 1,049,050 100
Kingsway Financial Services Inc.
Common Shares Kavanagh, Terence 4 1/3/2013 10 3.8 1,028,350 9,800
Kingsway Financial Services Inc.
Common Shares Kavanagh, Terence 4 1/3/2013 10 3.65 1,029,450 1,100
Kingsway Financial Services Inc.
Common Shares Kavanagh, Terence 4 1/3/2013 10 3.64 1,029,650 200
Insider Reporting
January 17, 2013
(2013) 36 OSCB 897
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Kingsway Financial Services Inc.
Common Shares Kavanagh, Terence 4 1/4/2013 10 3.89 1,036,950 7,300
Kingsway Financial Services Inc.
Common Shares Kavanagh, Terence 4 1/4/2013 10 3.85 1,042,750 5,800
Kingsway Financial Services Inc.
Common Shares Kavanagh, Terence 4 1/4/2013 10 3.84 1,044,350 1,600
Kingsway Financial Services Inc.
Common Shares Kavanagh, Terence 4 1/4/2013 10 3.83 1,045,350 1,000
Kingsway Financial Services Inc.
Common Shares Kavanagh, Terence 4 1/4/2013 10 3.75 1,045,850 500
Kingsway Financial Services Inc.
Common Shares Kavanagh, Terence 4 1/4/2013 10 3.74 1,046,850 1,000
Kingsway Financial Services Inc.
Common Shares Kavanagh, Terence 4 1/4/2013 10 3.73 1,047,950 1,100
Kingsway Financial Services Inc.
Common Shares Kavanagh, Terence 4 1/4/2013 10 3.72 1,048,750 800
Kingsway Financial Services Inc.
Common Shares Kavanagh, Terence 4 1/4/2013 10 3.71 1,048,950 200
Kingsway Financial Services Inc.
Common Shares Kavanagh, Terence 4 1/4/2013 10 3.7 1,049,050 100
Kinross Gold Corporation Common Shares Baker, Rick Allen 5 12/31/2012 30 9.66 31,129 994 Kinross Gold Corporation Common Shares Colnett, Lisa 5 12/31/2012 30 9.6 28,443 750 Kinross Gold Corporation Common Shares Crossland, James 5 12/31/2012 30 9.6 63,914 937 Kinross Gold Corporation Common Shares Elliott, Thomas Ballantyne 5 12/31/2012 30 9.6 26,471 1,058
Kinross Gold Corporation Common Shares Etter, Gregory Van 5 12/31/2012 30 9.66 4,102 1,094 Kinross Gold Corporation Common Shares Fowler, James Keith 5 12/31/2012 30 9.6 1,939 507 Kinross Gold Corporation Common Shares Gold, Geoffrey Peters 5 12/31/2012 30 9.6 122,710 1,953 Kinross Gold Corporation Common Shares Humberto, Aquino 5 12/31/2012 30 9.6 9,272 1,592 Kinross Gold Corporation Common Shares Masterman, Glen 5 12/31/2012 30 9.6 28,230 1,297 Kinross Gold Corporation Common Shares Rollinson, Jonathon Paul 4, 5 12/31/2012 30 9.6 89,043 2,227 Kitrinor Metals Inc. Options Cullen, John Richard 4 1/8/2013 52 200,000 -250,000 KWG Resources Inc. Common Shares Smeenk, Frank Cornelius 4 1/8/2013 47 8,484,500 -40,000 Lanesborough Real Estate Investment Trust
Options Barker, Cheryl 4 1/7/2013 52 20,000 -30,000
Lanesborough Real Estate Investment Trust
Options Coleman, Earl 7 1/7/2013 52 5.1 20,000 -30,000
Lanesborough Real Estate Investment Trust
Options Dando, Kenneth 5 1/7/2013 52 5.1 30,000 -25,000
Lanesborough Real Estate Investment Trust
Options Loewen, Charles 4 1/7/2013 52 5.1 20,000 -30,000
LE CHATEAU INC. Subordinate Voting Shares Class A shares
Gruman, Barry 3 1/3/2013 10 3.6 3,268,827 27,400
LE CHATEAU INC. Subordinate Voting Shares Class A shares
Gruman, Barry 3 1/3/2013 10 3.59 3,269,327 500
LE CHATEAU INC. Subordinate Voting Shares Class A shares
Gruman, Barry 3 1/4/2013 10 3.6 3,278,827 9,500
LE CHATEAU INC. Subordinate Voting Shares Class A shares
Gruman, Barry 3 1/7/2013 10 3.5995 3,282,827 4,000
LE CHATEAU INC. Subordinate Voting Shares Class A shares
Gruman, Barry 3 1/8/2013 10 3.64 3,283,127 300
LE CHATEAU INC. Subordinate Voting Shares Class A shares
Gruman, Barry 3 1/8/2013 10 3.65 3,292,827 9,700
LE CHATEAU INC. Subordinate Voting Shares Class A shares
Gruman, Barry 3 1/9/2013 10 3.65 3,307,827 15,000
LE CHATEAU INC. Subordinate Voting Shares Class A shares
Gruman, Barry 3 1/10/2013 10 3.65 3,341,427 33,600
LE CHATEAU INC. Subordinate Voting Shares Class A shares
Silverstone, Jane 3, 4, 5 1/7/2013 10 3.6 5,640,100 300
LE CHATEAU INC. Subordinate Voting Shares Class A shares
Silverstone, Jane 3, 4, 5 1/9/2013 10 3.6576 5,646,700 6,600
LE CHATEAU INC. Subordinate Voting Shares Class A shares
Silverstone, Jane 3, 4, 5 1/10/2013 10 3.65 5,658,500 11,800
LE CHATEAU INC. Subordinate Voting Shares Class A shares
Silverstone, Jane 3, 4, 5 1/11/2013 10 3.7225 5,659,700 1,200
Leader Energy Services Ltd. Options Cutts, Douglas Allan 4 12/17/2012 00 100,000
Legacy Oil + Gas Inc. Common Shares Colborne, Paul 4 1/7/2013 10 7.41 377,750 2,500 Legacy Oil + Gas Inc. Common Shares Colborne, Paul 4 1/9/2013 10 7.47 382,750 5,000 Legumex Walker Inc. Common Shares Hawat, Tania 5 12/19/2012 00 Legumex Walker Inc. Common Shares Hawat, Tania 5 12/19/2012 00 143,270 Legumex Walker Inc. Options Hawat, Tania 5 12/19/2012 00 Legumex Walker Inc. Options Hawat, Tania 5 12/19/2012 00 50,000
Insider Reporting
January 17, 2013
(2013) 36 OSCB 898
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Liquor Stores N.A. Ltd. Annual Deferred Shares (Common Shares)
Bereznicki, Henry Andrew 4 1/3/2013 56 1,617 1,000
Liquor Stores N.A. Ltd. Annual Deferred Shares (Common Shares)
Bereznicki, Henry Andrew 4 1/3/2013 56 1,657 40
Liquor Stores N.A. Ltd. Annual Deferred Shares (Common Shares)
Butler, Ronald John 4 1/3/2013 56 4,147 1,000
Liquor Stores N.A. Ltd. Annual Deferred Shares (Common Shares)
Butler, Ronald John 4 1/3/2013 56 4,343 196
Liquor Stores N.A. Ltd. Annual Deferred Shares (Common Shares)
Butler, Ronald John 4 1/5/2013 59 3,204 -1,139
Liquor Stores N.A. Ltd. Annual Deferred Shares (Common Shares)
Collins, Gary 4 1/3/2013 56 4,147 1,000
Liquor Stores N.A. Ltd. Annual Deferred Shares (Common Shares)
Collins, Gary 4 1/3/2013 56 4,343 196
Liquor Stores N.A. Ltd. Annual Deferred Shares (Common Shares)
Collins, Gary 4 1/5/2013 59 3,204 -1,139
Liquor Stores N.A. Ltd. Annual Deferred Shares (Common Shares)
Dinning, James Francis 4 1/3/2013 56 7,380 3,000
Liquor Stores N.A. Ltd. Annual Deferred Shares (Common Shares)
Dinning, James Francis 4 1/3/2013 56 7,654 274
Liquor Stores N.A. Ltd. Annual Deferred Shares (Common Shares)
Dinning, James Francis 4 1/5/2013 59 6,515 -1,139
Liquor Stores N.A. Ltd. Common Shares Dinning, James Francis 4 1/8/2013 10 18.91 12,310 1,500 Liquor Stores N.A. Ltd. Common Shares Dinning, James Francis 4 1/11/2013 10 18.86 13,010 700 Liquor Stores N.A. Ltd. Common Shares Dinning, James Francis 4 1/11/2013 10 18.82 13,310 300 Liquor Stores N.A. Ltd. Annual Deferred Shares
(Common Shares) Green, Robert Steven 4 1/3/2013 56 4,147 1,000
Liquor Stores N.A. Ltd. Annual Deferred Shares (Common Shares)
Green, Robert Steven 4 1/3/2013 56 4,343 196
Liquor Stores N.A. Ltd. Annual Deferred Shares (Common Shares)
Green, Robert Steven 4 1/5/2013 59 3,204 -1,139
Liquor Stores N.A. Ltd. Common Shares Green, Robert Steven 4 1/7/2013 10 19 2,800 2,800 Liquor Stores N.A. Ltd. Common Shares Green, Robert Steven 4 1/8/2013 10 19.05 5,000 2,200 Liquor Stores N.A. Ltd. Annual Deferred Shares
(Common Shares) Kipnes, Irv 3, 6, 7 1/3/2013 56 1,617 1,000
Liquor Stores N.A. Ltd. Annual Deferred Shares (Common Shares)
Kipnes, Irv 3, 6, 7 1/3/2013 56 1,657 40
Liquor Stores N.A. Ltd. Annual Deferred Shares (Common Shares)
Margolus, David Benjamin 4 1/3/2013 56 4,147 1,000
Liquor Stores N.A. Ltd. Annual Deferred Shares (Common Shares)
Margolus, David Benjamin 4 1/3/2013 56 4,343 196
Liquor Stores N.A. Ltd. Annual Deferred Shares (Common Shares)
Margolus, David Benjamin 4 1/5/2013 59 3,204 -1,139
Loblaw Companies Limited Common Shares Loblaw Companies Limited 1 12/10/2012 38 39.429 75,400 75,400
Loblaw Companies Limited Common Shares Loblaw Companies Limited 1 12/11/2012 38 40.232 121,228 45,828
Loblaw Companies Limited Common Shares Loblaw Companies Limited 1 12/14/2012 38 0 -121,228
Loblaw Companies Limited Common Shares Loblaw Companies Limited 1 12/18/2012 38 40.957 31,200 31,200
Loblaw Companies Limited Common Shares Loblaw Companies Limited 1 12/19/2012 38 40.684 62,400 31,200
Loblaw Companies Limited Common Shares Loblaw Companies Limited 1 12/20/2012 38 40.853 93,600 31,200
Loblaw Companies Limited Common Shares Loblaw Companies Limited 1 12/21/2012 38 41.462 125,000 31,400
Loblaw Companies Limited Common Shares Loblaw Companies Limited 1 12/28/2012 38 0 -125,000
Loblaw Companies Limited Forward Purchase Loblaw Companies Limited 1 1/2/2013 72 derivative 0 -1,103,500
Loblaw Companies Limited Common Shares Loblaw Employee Benefit Plan Trust
2 1/1/2013 00
Loblaw Companies Limited Common Shares Loblaw Employee Benefit Plan Trust
2 1/2/2013 11 42 1,103,500 1,103,500
Logan International Inc. (formerly Destiny Resource Services Corp.)
Common Shares David, Kennedy 4, 6 12/19/2012 47 161,043 -32,000
Logistec Corporation Subordinate Voting Shares Class B
LOGISTEC CORPORATION 1 1/4/2013 38 23.913 300 300
Logistec Corporation Subordinate Voting Shares Class B
LOGISTEC CORPORATION 1 1/7/2013 38 23.91 500 200
Insider Reporting
January 17, 2013
(2013) 36 OSCB 899
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Logistec Corporation Subordinate Voting Shares Class B
LOGISTEC CORPORATION 1 1/9/2013 38 24.5 1,500 1,000
Loncor Resources Inc. Options Colson, Maurice 4 12/12/2012 50 1.05 50,000 Loncor Resources Inc. Options Colson, Maurice 4 12/12/2012 50 1.05 50,000 Loncor Resources Inc. Common Shares KONDRAT, ARNOLD T. 3, 4, 5 1/9/2013 10 0.7 1,209,000 162,000 Long Run Exploration Ltd. Common Shares ANDREW, WILLIAM E. 4, 5 12/31/2012 30 4.47 281,139 11,083 Long Run Exploration Ltd. Common Shares MILLER, DALE A. 4, 5 12/31/2012 30 4.59 102,630 7,075 Long Run Exploration Ltd. Common Shares Orton, Dale John 5 1/7/2013 30 4.5522 28,029 2,345 Long Run Exploration Ltd. Common Shares Sundstrom, Devin Kent 5 1/10/2013 30 4.67 24,228 10,988 Long Run Exploration Ltd. Common Shares Tang Kong, William 5 12/31/2012 30 4.59 95,014 5,986 Longreach Oil and Gas Limited (formerly Chairman Capital Corp.)
Warrants Deacon, Donald Campbell 4 1/7/2013 55 0 -290,179
Longreach Oil and Gas Limited (formerly Chairman Capital Corp.)
Common Shares Sharp, Dennis Ambrose 4 1/4/2013 54 0.65 1,874,826 290,179
Longreach Oil and Gas Limited (formerly Chairman Capital Corp.)
Warrants Sharp, Dennis Ambrose 4 1/4/2013 54 0 -290,179
Loon Energy Corporation Common Shares Elliott, Timothy M. 4 1/7/2013 10 0.06 1,909,750 8,000 Loon Energy Corporation Common Shares Elliott, Timothy M. 4 1/7/2013 10 0.065 1,934,750 25,000 Lucara Diamond Corp. Options Lundin, Lukas Henrik 4 12/18/2012 52 1 -200,000 Lucara Diamond Corp. Options Lundin, Lukas Henrik 4 12/18/2012 52 1 0 -200,000 Macarthur Minerals Limited Common Shares Options Phillips, Alan Joseph 5 12/3/2009 52 1.1 450,000 -150,000
Macarthur Minerals Limited Common Shares Options Phillips, Alan Spence 4 10/19/2012 52 1 350,000 -100,000
Macarthur Minerals Limited Common Shares Options Phillips, Alan Spence 4 12/2/2012 52 1.1 250,000 -100,000
Macarthur Minerals Limited Common Shares Options Taplin, David Charles Eaton 5 6/10/2011 50 3.6 600,000 250,000
Macarthur Minerals Limited Common Shares Options Taplin, David Charles Eaton 5 12/3/2012 52 1.1 450,000 -150,000
Macarthur Minerals Limited Common Shares Options Toigo, John Dominic 4 12/3/2012 52 1.1 200,000 -100,000
MacDonald, Dettwiler and Associates Ltd.
(DSUs, DRSUs, SARs) Friedmann, Daniel 5 12/3/2012 56 51.95 511,000 92,500
MacDonald, Dettwiler and Associates Ltd.
(DSUs, DRSUs, SARs) Friedmann, Daniel 5 1/7/2013 56 57.05 603,500 92,500
MacDonald, Dettwiler and Associates Ltd.
(DSUs, DRSUs, SARs) Iskander, Magued 7 12/3/2012 56 51.95 157,667 39,000
MacDonald, Dettwiler and Associates Ltd.
(DSUs, DRSUs, SARs) Louis, Peter 5 12/3/2012 56 51.95 197,000 60,000
MacDonald, Dettwiler and Associates Ltd.
(DSUs, DRSUs, SARs) Louis, Peter 5 1/7/2013 56 57.05 235,000 38,000
MacDonald, Dettwiler and Associates Ltd.
(DSUs, DRSUs, SARs) Piche, Terrence 5 12/3/2012 56 51.95 65,334 15,000
MacDonald, Dettwiler and Associates Ltd.
(DSUs, DRSUs, SARs) Piche, Terrence 5 1/7/2013 56 57.05 75,334 10,000
MacDonald, Dettwiler and Associates Ltd.
(DSUs, DRSUs, SARs) Wirasekara, Anil 5 12/3/2012 56 51.95 177,667 39,000
MacDonald, Dettwiler and Associates Ltd.
(DSUs, DRSUs, SARs) Wirasekara, Anil 5 1/7/2013 56 57.05 216,667 39,000
Macro Enterprises Inc. Options Dodge, Mark Alexander 7 1/8/2013 52 110,000 -25,000 Macro Enterprises Inc. Options Jackson, Thomas Jerrold 5 1/8/2013 52 250,000 -150,000 Macro Enterprises Inc. Options SEWELL, HUGH,EVERETT 7 1/8/2013 52 160,000 -25,000
Mag Copper Limited (formerly, Fort Chimo Minerals Inc.)
Common Shares Irwin, Christopher 4 12/31/2012 11 0.02 1,024,250 1,000,250
Magellan Minerals Ltd. Common Shares Carter, Alan 4 1/10/2013 10 0.23 3,736,000 86,000 Magellan Minerals Ltd. Common Shares Kiernan, John Gerard 5 8/20/2012 00 Magellan Minerals Ltd. Common Shares Kiernan, John Gerard 5 12/12/2012 10 0.235 10,000 10,000 Magellan Minerals Ltd. Common Shares Stypula, John James 4 1/8/2013 10 0.22 258,000 58,000 Magna International Inc. Common Shares Magna International Inc. 1 12/5/2012 38 45.842 40,700 13,500 Magna International Inc. Common Shares Magna International Inc. 1 12/5/2012 38 45.485 55,300 14,600 Magna International Inc. Common Shares Magna International Inc. 1 12/31/2012 38 38,500 -16,800 Magna Resources Ltd. Common Shares Dick, Lawrence 4 2/16/2012 00 Magna Resources Ltd. Common Shares Dick, Lawrence 4 12/24/2012 35 51,577 51,577 Magna Resources Ltd. Common Shares Dick, Lawrence 4 12/31/2012 90 50,624 -953 Magna Resources Ltd. Common Shares Dick, Lawrence 4 12/31/2012 90 10,154 -40,470 Magna Resources Ltd. Common Shares Dick, Lawrence 4 12/31/2012 90 8,419 -1,735 Magna Resources Ltd. Common Shares Dick, Lawrence 4 1/2/2013 90 -1,735 Magna Resources Ltd. Common Shares Dick, Lawrence 4 1/2/2013 90 -1,735
Insider Reporting
January 17, 2013
(2013) 36 OSCB 900
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Magna Resources Ltd. Common Shares Dick, Lawrence 4 2/16/2012 00 Magna Resources Ltd. Common Shares Dick, Lawrence 4 12/31/2012 90 40,470 40,470 Magna Resources Ltd. Common Shares Dick, Lawrence 4 2/16/2012 00 Magna Resources Ltd. Common Shares Dick, Lawrence 4 12/31/2012 90 1,735 1,735 Magna Resources Ltd. Common Shares Dick, Lawrence 4 2/16/2012 00 Magna Resources Ltd. Common Shares Dick, Lawrence 4 12/31/2012 90 953 953 Magna Resources Ltd. Common Shares Holmes, Kenneth Richard 4 12/28/2012 35 90,024 90,024 Magna Resources Ltd. Common Shares Holmes, Kenneth Richard 4 1/3/2013 35 100,514 10,490 Magna Resources Ltd. Common Shares Holmes, Kenneth Richard 4 1/19/2012 00 Magna Resources Ltd. Common Shares Holmes, Kenneth Richard 4 12/28/2012 35 179,287 179,287 Magnum Energy Inc. Common Shares Lowe, Jeff 4 12/31/2012 16 0.1 2,711,579 250,000 Magnum Energy Inc. Common Shares Nemeth, Richard A. 4 12/31/2012 16 0.1 505,000 150,000 Man GLG Emerging Markets Income Fund
Units Class A Man GLG Emerging Markets Income Fund
1 1/3/2013 10 8.66 2,200 2,200
Man GLG Emerging Markets Income Fund
Units Class A Man GLG Emerging Markets Income Fund
1 1/3/2013 38 0 -2,200
Man GLG Emerging Markets Income Fund
Units Class A Man GLG Emerging Markets Income Fund
1 1/4/2013 10 8.66 7,300 7,300
Man GLG Emerging Markets Income Fund
Units Class A Man GLG Emerging Markets Income Fund
1 1/4/2013 38 0 -7,300
Man GLG Emerging Markets Income Fund
Units Class A Man GLG Emerging Markets Income Fund
1 1/7/2013 10 8.64 11,800 11,800
Man GLG Emerging Markets Income Fund
Units Class A Man GLG Emerging Markets Income Fund
1 1/7/2013 38 0 -11,800
Man GLG Emerging Markets Income Fund
Units Class A Man GLG Emerging Markets Income Fund
1 1/8/2013 10 8.62 173,200 173,200
Man GLG Emerging Markets Income Fund
Units Class A Man GLG Emerging Markets Income Fund
1 1/8/2013 38 0 -173,200
Man GLG Emerging Markets Income Fund
Units Class A Man GLG Emerging Markets Income Fund
1 1/9/2013 10 8.56 148,200 148,200
Man GLG Emerging Markets Income Fund
Units Class A Man GLG Emerging Markets Income Fund
1 1/9/2013 38 0 -148,200
Man GLG Emerging Markets Income Fund
Units Class A Man GLG Emerging Markets Income Fund
1 1/10/2013 10 8.56 100,700 100,700
Man GLG Emerging Markets Income Fund
Units Class A Man GLG Emerging Markets Income Fund
1 1/10/2013 38 0 -100,700
Man GLG Emerging Markets Income Fund
Units Class A Man GLG Emerging Markets Income Fund
1 1/11/2013 10 8.56 69,600 69,600
Man GLG Emerging Markets Income Fund
Units Class A Man GLG Emerging Markets Income Fund
1 1/11/2013 38 0 -69,600
Manitok Energy Inc. Options Dales, Robert John 4 1/7/2013 50 150,000 40,000 Manitok Energy Inc. Options de Freitas, Timothy 5 1/7/2013 50 3.12 800,000 200,000 Manitok Energy Inc. Options Dion, Robert George 5 1/7/2013 50 3.12 400,000 100,000 Manitok Energy Inc. Options Else, Dorothy Joan 5 1/7/2013 50 3.12 400,000 100,000 Manitok Energy Inc. Options Geremia, Bruno P. 4 1/7/2013 50 3.12 150,000 40,000 Manitok Energy Inc. Options Geremia, Massimo Mario 5 1/7/2013 50 3.12 800,000 200,000 Manitok Energy Inc. Options Gobert, Wilfred Arthur 4 1/7/2013 50 3.12 150,000 40,000 Manitok Energy Inc. Options Peterson, Greg 4 1/7/2013 50 3.12 150,000 40,000 Manitok Energy Inc. Options Spoletini, Tumasino 4 1/7/2013 50 3.12 160,000 40,000 Manitok Energy Inc. Options Vouri, Cameron Grant 4 1/7/2013 50 3.12 150,000 40,000 Maple Leaf Foods Inc. Options Employee Baker, Peter 6 1/7/2013 50 37,000 Maple Leaf Foods Inc. Options Employee Baker, Peter 6 1/7/2013 50 73,000 37,000 Maple Leaf Foods Inc. Rights PSU - Performance
Share Units settled with market shares
Baker, Peter 6 1/7/2013 56 10,600 5,500
Maple Leaf Foods Inc. Rights Restricted Share Units settled with market shares
Baker, Peter 6 1/7/2013 56 48,900 5,500
Maple Leaf Foods Inc. Rights PSU - Performance Share Units settled with market shares
Boland, James Nicholas 5 1/7/2013 56 5,400 2,650
Maple Leaf Foods Inc. Rights Restricted Share Units settled with market shares
Boland, James Nicholas 5 1/7/2013 56 33,815 2,650
Maple Leaf Foods Inc. Rights PSU - Performance Share Units settled with market shares
Breton, Jean Luc 7 1/7/2013 56 14,250 6,650
Maple Leaf Foods Inc. Rights Restricted Share Units settled with market shares
Breton, Jean Luc 7 1/7/2013 56 48,335 6,650
Insider Reporting
January 17, 2013
(2013) 36 OSCB 901
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Maple Leaf Foods Inc. Options Employee Campbell, Kenneth George 5 1/7/2013 50 29,500
Maple Leaf Foods Inc. Options Employee Campbell, Kenneth George 5 1/7/2013 50 76,500 29,500
Maple Leaf Foods Inc. Rights PSU - Performance Share Units settled with market shares
Campbell, Kenneth George 5 1/7/2013 56 11,450 4,450
Maple Leaf Foods Inc. Rights Restricted Share Units settled with market shares
Campbell, Kenneth George 5 1/7/2013 56 11,450 4,450
Maple Leaf Foods Inc. Options Employee Cappuccitti, Rocco 5 1/7/2013 50 29,500 Maple Leaf Foods Inc. Options Employee Cappuccitti, Rocco 5 1/7/2013 50 152,581 29,500 Maple Leaf Foods Inc. Rights PSU - Performance
Share Units settled with market shares
Cappuccitti, Rocco 5 1/7/2013 56 9,450 4,450
Maple Leaf Foods Inc. Rights Restricted Share Units settled with market shares
Cappuccitti, Rocco 5 1/7/2013 56 71,115 4,450
Maple Leaf Foods Inc. Options Employee Chantler, Maryanne Dale 7 1/7/2013 50 40,500 Maple Leaf Foods Inc. Options Employee Chantler, Maryanne Dale 7 1/7/2013 50 105,800 40,500 Maple Leaf Foods Inc. Rights PSU - Performance
Share Units settled with market shares
Chantler, Maryanne Dale 7 1/7/2013 56 14,500 6,100
Maple Leaf Foods Inc. Rights Restricted Share Units settled with market shares
Chantler, Maryanne Dale 7 1/7/2013 56 35,350 6,100
Maple Leaf Foods Inc. Options Employee Curtin, Daniel John 7 7/6/2012 00 Maple Leaf Foods Inc. Options Employee Curtin, Daniel John 7 1/7/2013 50 37,000 37,000 Maple Leaf Foods Inc. Rights PSU - Performance
Share Units settled with market shares
Curtin, Daniel John 7 1/7/2013 56 14,750 5,500
Maple Leaf Foods Inc. Rights Restricted Share Units settled with market shares
Curtin, Daniel John 7 1/7/2013 56 42,600 5,500
Maple Leaf Foods Inc. Options Employee Dakens, Les P. 5 1/7/2013 50 122,000 59,000 Maple Leaf Foods Inc. Rights PSU - Performance
Share Units settled with market shares
Dakens, Les P. 5 1/7/2013 56 18,150 8,850
Maple Leaf Foods Inc. Rights Restricted Share Units settled with market shares
Dakens, Les P. 5 1/7/2013 56 38,150 8,850
Maple Leaf Foods Inc. Options Employee Dodds, Douglas W. 7 1/7/2013 50 336,100 45,000 Maple Leaf Foods Inc. Rights PSU - Performance
Share Units settled with market shares
Dodds, Douglas W. 7 1/7/2013 56 27,700 6,800
Maple Leaf Foods Inc. Rights Restricted Share Units settled with market shares
Dodds, Douglas W. 7 1/7/2013 56 204,835 6,800
Maple Leaf Foods Inc. Options Employee Golding, Kevin Philip 5 1/7/2013 50 215,700 59,000 Maple Leaf Foods Inc. Rights PSU - Performance
Share Units settled with market shares
Golding, Kevin Philip 5 1/7/2013 56 17,150 8,850
Maple Leaf Foods Inc. Rights Restricted Share Units settled with market shares
Golding, Kevin Philip 5 1/7/2013 56 115,485 8,850
Maple Leaf Foods Inc. Options Employee Graham, Stephen 5 1/7/2013 50 128,000 63,000 Maple Leaf Foods Inc. Rights PSU - Performance
Share Units settled with market shares
Graham, Stephen 5 1/7/2013 56 18,850 9,350
Maple Leaf Foods Inc. Rights Restricted Share Units settled with market shares
Graham, Stephen 5 1/7/2013 56 131,350 9,350
Insider Reporting
January 17, 2013
(2013) 36 OSCB 902
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Maple Leaf Foods Inc. Rights PSU - Performance Share Units settled with market shares
Gratton, Glen Lucien 5 1/7/2013 56 7,100 3,300
Maple Leaf Foods Inc. Rights Restricted Share Units settled with market shares
Gratton, Glen Lucien 5 1/7/2013 56 33,500 3,300
Maple Leaf Foods Inc. Options Employee Huffman, Randall 5 1/7/2013 50 96,000 48,000 Maple Leaf Foods Inc. Rights PSU - Performance
Share Units settled with market shares
Huffman, Randall 5 1/7/2013 56 14,100 7,200
Maple Leaf Foods Inc. Rights Restricted Share Units settled with market shares
Huffman, Randall 5 1/7/2013 56 102,900 7,200
Maple Leaf Foods Inc. Options Employee Hutchinson, Ernest Jeffrey 5 1/7/2013 50 77,000 37,000
Maple Leaf Foods Inc. Rights PSU - Performance Share Units settled with market shares
Hutchinson, Ernest Jeffrey 5 1/7/2013 56 11,300 5,500
Maple Leaf Foods Inc. Rights Restricted Share Units settled with market shares
Hutchinson, Ernest Jeffrey 5 1/7/2013 56 78,800 5,500
Maple Leaf Foods Inc. Options Employee Kaldis, Bill 5 1/7/2013 50 75,500 40,500 Maple Leaf Foods Inc. Rights PSU - Performance
Share Units settled with market shares
Kaldis, Bill 5 1/7/2013 56 11,100 6,100
Maple Leaf Foods Inc. Rights Restricted Share Units settled with market shares
Kaldis, Bill 5 1/7/2013 56 22,400 6,100
Maple Leaf Foods Inc. Options Employee Kuhn, Lynda J. 5 1/7/2013 50 164,000 46,500 Maple Leaf Foods Inc. Rights PSU - Performance
Share Units settled with market shares
Kuhn, Lynda J. 5 1/7/2013 56 14,250 6,950
Maple Leaf Foods Inc. Rights Restricted Share Units settled with market shares
Kuhn, Lynda J. 5 1/7/2013 56 110,965 6,950
Maple Leaf Foods Inc. Options Employee Lan, Richard Allan 5 1/7/2013 50 1,140,200 376,500 Maple Leaf Foods Inc. Rights PSU - Performance
Share Units settled with market shares
Lan, Richard Allan 5 1/7/2013 56 115,400 56,400
Maple Leaf Foods Inc. Rights Restricted Share Units settled with market shares
Lan, Richard Allan 5 1/7/2013 56 942,900 56,400
Maple Leaf Foods Inc. Options Employee Maksymetz, Gary Louis 5 1/7/2013 50 349,800 147,500 Maple Leaf Foods Inc. Rights PSU - Performance
Share Units settled with market shares
Maksymetz, Gary Louis 5 1/7/2013 56 42,450 22,150
Maple Leaf Foods Inc. Rights Restricted Share Units settled with market shares
Maksymetz, Gary Louis 5 1/7/2013 56 118,015 22,150
Maple Leaf Foods Inc. Options Employee McAlpine, Rory A. 5 1/7/2013 50 43,000 16,000 Maple Leaf Foods Inc. Rights PSU - Performance
Share Units settled with market shares
McAlpine, Rory A. 5 1/7/2013 56 5,050 2,450
Maple Leaf Foods Inc. Rights Restricted Share Units settled with market shares
McAlpine, Rory A. 5 1/7/2013 56 50,300 2,450
Maple Leaf Foods Inc. Options Employee McCain, James Scott 4, 5 1/7/2013 50 809,700 195,000 Maple Leaf Foods Inc. Rights PSU - Performance
Share Units settled with market shares
McCain, James Scott 4, 5 1/7/2013 56 59,650 29,150
Maple Leaf Foods Inc. Rights Restricted Share Units settled with market shares
McCain, James Scott 4, 5 1/7/2013 56 447,615 29,150
Insider Reporting
January 17, 2013
(2013) 36 OSCB 903
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Maple Leaf Foods Inc. Options Employee McCain, Michael Harrison 4, 5 1/7/2013 50 2,204,507 593,500
Maple Leaf Foods Inc. Rights PSU - Performance Share Units settled with market shares
McCain, Michael Harrison 4, 5 1/7/2013 56 181,800 88,900
Maple Leaf Foods Inc. Rights Restricted Share Units settled with market shares
McCain, Michael Harrison 4, 5 1/7/2013 56 1,727,635 88,900
Maple Leaf Foods Inc. Options Employee McLean, Barry 7 1/7/2013 50 319,800 103,500 Maple Leaf Foods Inc. Rights PSU - Performance
Share Units settled with market shares
McLean, Barry 7 1/7/2013 56 31,950 15,450
Maple Leaf Foods Inc. Rights Restricted Share Units settled with market shares
McLean, Barry 7 1/7/2013 56 232,115 15,450
Maple Leaf Foods Inc. Options Employee Simpson, Deborah Keenan 5 1/7/2013 50 120,000 59,000
Maple Leaf Foods Inc. Rights PSU - Performance Share Units settled with market shares
Simpson, Deborah Keenan 5 1/7/2013 56 17,750 8,850
Maple Leaf Foods Inc. Rights Restricted Share Units settled with market shares
Simpson, Deborah Keenan 5 1/7/2013 56 86,550 8,850
Maple Leaf Foods Inc. Rights PSU - Performance Share Units settled with market shares
Sivec, Glen John 7 1/7/2013 56 7,850 3,300
Maple Leaf Foods Inc. Rights Restricted Share Units settled with market shares
Sivec, Glen John 7 1/7/2013 56 11,400 3,300
Maple Leaf Foods Inc. Options Employee Smith, Peter C. 5 1/7/2013 50 132,224 23,000 Maple Leaf Foods Inc. Rights PSU - Performance
Share Units settled with market shares
Smith, Peter C. 5 1/7/2013 56 7,000 3,400
Maple Leaf Foods Inc. Rights Restricted Share Units settled with market shares
Smith, Peter C. 5 1/7/2013 56 57,960 3,400
Maple Leaf Foods Inc. Options Employee Vels, Michael Harold 5 1/7/2013 50 918,590 195,000 Maple Leaf Foods Inc. Rights PSU - Performance
Share Units settled with market shares
Vels, Michael Harold 5 1/7/2013 56 59,650 29,150
Maple Leaf Foods Inc. Rights Restricted Share Units settled with market shares
Vels, Michael Harold 5 1/7/2013 56 447,615 29,150
Maple Leaf Foods Inc. Rights PSU - Performance Share Units settled with market shares
Wilcox, Donald John 7 1/7/2013 56 6,600 3,300
Maple Leaf Foods Inc. Rights Restricted Share Units settled with market shares
Wilcox, Donald John 7 1/7/2013 56 24,125 3,300
Maple Leaf Foods Inc. Options Employee Young, Richard 5 1/7/2013 50 328,650 65,000 Maple Leaf Foods Inc. Rights PSU - Performance
Share Units settled with market shares
Young, Richard 5 1/7/2013 56 19,000 9,700
Maple Leaf Foods Inc. Rights Restricted Share Units settled with market shares
Young, Richard 5 1/7/2013 56 201,965 9,700
Marifil Mines Limited Common Shares Foster, Roger Lee 5 1/8/2013 10 0.05 -18,000 Marifil Mines Limited Common Shares Foster, Roger Lee 5 1/8/2013 10 0.05 22,000 -16,000 Marret Resource Corp. Common Shares Allan, Barry 4 1/8/2013 10 4.9154 200,346 2,730 Marret Resource Corp. Common Shares Allan, Barry 4 1/9/2013 10 4.9515 201,996 1,650 Marret Resource Corp. Common Shares Allan, Barry 4 1/8/2013 10 4.9154 512,279 6,370 Marret Resource Corp. Common Shares Allan, Barry 4 1/9/2013 10 4.9515 516,129 3,850 Matrix Asset Management Inc.
Common Shares Matrix Asset Management Inc.
1 12/3/2012 38 0.195 3,400 1,900
Insider Reporting
January 17, 2013
(2013) 36 OSCB 904
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Matrix Asset Management Inc.
Common Shares Matrix Asset Management Inc.
1 12/3/2012 38 1,900 -1,500
Matrix Asset Management Inc.
Common Shares Matrix Asset Management Inc.
1 12/6/2012 38 0.19 2,900 1,000
Matrix Asset Management Inc.
Common Shares Matrix Asset Management Inc.
1 12/7/2012 38 0.19 3,900 1,000
Matrix Asset Management Inc.
Common Shares Matrix Asset Management Inc.
1 12/10/2012 38 0.19 5,800 1,900
Matrix Asset Management Inc.
Common Shares Matrix Asset Management Inc.
1 12/11/2012 38 0.18 7,700 1,900
Matrix Asset Management Inc.
Common Shares Matrix Asset Management Inc.
1 12/13/2012 38 0.185 8,700 1,000
Matrix Asset Management Inc.
Common Shares Matrix Asset Management Inc.
1 12/17/2012 38 0.19 10,200 1,500
Matrix Asset Management Inc.
Common Shares Matrix Asset Management Inc.
1 12/18/2012 38 0.18 12,100 1,900
Matrix Asset Management Inc.
Common Shares Matrix Asset Management Inc.
1 12/19/2012 38 0.175 14,000 1,900
Matrix Asset Management Inc.
Common Shares Matrix Asset Management Inc.
1 12/20/2012 38 0.155 15,900 1,900
Matrix Asset Management Inc.
Common Shares Matrix Asset Management Inc.
1 12/31/2012 38 0.15 17,865 1,965
Matrix Asset Management Inc.
Common Shares Matrix Asset Management Inc.
1 12/31/2012 38 1,965 -15,900
Mawson Resources Limited Common Shares Henstridge, David Alan 4 1/10/2013 47 1,021,625 -60,000
Mawson West Limited Ordinary Shares Lloyd, Anthony 4 3/21/2011 00 Mawson West Limited Ordinary Shares Lloyd, Anthony 4 1/7/2013 10 0.8 3,000 3,000 Mawson West Limited Ordinary Shares Lloyd, Anthony 4 1/7/2013 10 0.8 470,000 15,000 MAYA GOLD & SILVER INC. Common Shares Goulet, Guy 4 6/17/2008 00
MAYA GOLD & SILVER INC. Common Shares Goulet, Guy 4 12/24/2012 10 27.5 10,000
MAYA GOLD & SILVER INC. Common Shares Goulet, Guy 4 12/24/2012 10 0.275 939,400 10,000
MAYA GOLD & SILVER INC. Common Shares Goulet, Guy 4 1/4/2013 10 0.275 946,400 2,000
MCAN Mortgage Corporation Common Shares Cruise, Brydon 4 1/2/2013 30 13.731 30,402 607
MCAN Mortgage Corporation Common Shares Cruise, Brydon 4 1/2/2013 30 13.731 50,446 1,008
MCAN Mortgage Corporation Common Shares Doré, Susan 4 1/8/2013 90 48,551 47,051
MCAN Mortgage Corporation Common Shares Doré, Susan 4 1/8/2013 90 0 -47,051
MCAN Mortgage Corporation Common Shares Johnson, Brian A. 4 1/4/2013 90 0 -55,362
MCAN Mortgage Corporation Common Shares Johnson, Brian A. 4 1/4/2013 90 62,185 55,362
MCAN Mortgage Corporation Common Shares Shaikh, Hassan 5 7/31/2012 30 13.19 425 34
MCAN Mortgage Corporation Common Shares Shaikh, Hassan 5 8/15/2012 30 13.165 459 34
MCAN Mortgage Corporation Common Shares Shaikh, Hassan 5 8/22/2012 90 459 -26
MCAN Mortgage Corporation Common Shares Shaikh, Hassan 5 8/31/2012 30 13.574 492 33
MCAN Mortgage Corporation Common Shares Shaikh, Hassan 5 9/14/2012 30 13.673 525 33
MCAN Mortgage Corporation Common Shares Shaikh, Hassan 5 9/28/2012 30 13.565 532 7
MCAN Mortgage Corporation Common Shares Shaikh, Hassan 5 9/30/2012 30 13.601 565 33
MCAN Mortgage Corporation Common Shares Shaikh, Hassan 5 8/22/2012 90 576 26
MCAN Mortgage Corporation Common Shares Stuebing, Robert A. 4 1/4/2013 10 14.16 23,734 -2,206
MCAN Mortgage Corporation Common Shares Stuebing, Robert A. 4 1/9/2013 10 14.26 23,234 -500
MCAN Mortgage Corporation Common Shares Stuebing, Robert A. 4 1/9/2013 10 14.24 21,134 -2,100
MCAN Mortgage Corporation Common Shares Stuebing, Robert A. 4 1/9/2013 10 14.25 39,572 824
Insider Reporting
January 17, 2013
(2013) 36 OSCB 905
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
MCAN Mortgage Corporation Common Shares Stuebing, Robert A. 4 1/4/2013 10 14.16 69,654 200
MCAN Mortgage Corporation Common Shares Stuebing, Robert A. 4 1/9/2013 10 14.25 70,826 1,172
MCAN Mortgage Corporation Common Shares Stuebing, Robert A. 4 1/9/2013 10 14.25 134,229 2,635
McCoy Corporation Rights DSU Brown, Kerry William 4, 6, 5 12/31/2012 56 4.21 13,059 1,781 McCoy Corporation Common Shares Glubish, Nathanael James 6 1/7/2013 10 4.52 0 -3,000 McCoy Corporation Options Watson, Peter Lawrence 5 12/3/2012 00 McCoy Corporation Options Watson, Peter Lawrence 5 12/11/2012 50 4.25 30,000 30,000 Mediagrif Interactive Technologies Inc.
Common Shares Anglaret, Stéphane 5 1/1/2013 30 17,762 217
Mediagrif Interactive Technologies Inc.
Common Shares Bourque, Paul 5 1/1/2013 30 22,349 118
Mediagrif Interactive Technologies Inc.
Common Shares Hallak, Hélène 5 1/1/2013 30 56,788 92
Mediagrif Interactive Technologies Inc.
Common Shares Lampron, Richard 5 1/1/2013 30 39,682 174
Mediagrif Interactive Technologies Inc.
Common Shares Phaneuf, Eric 5 1/1/2013 30 2,875 157
Mediagrif Interactive Technologies Inc.
Common Shares Rousseau, Camil 5 1/1/2013 30 12,449 57
Mediagrif Interactive Technologies Inc.
Common Shares Roy, Claude 3, 4, 5 1/1/2013 30 604,230 30
Mediagrif Interactive Technologies Inc.
Common Shares Saunders, Paul 7 1/1/2013 30 59,246 205
Mediagrif Interactive Technologies Inc.
Common Shares Stam, Jean-Michel 5 1/1/2013 30 10,998 182
Medical Facilities Corporation Common Shares Day-Linton, Marilynne 4 1/4/2013 00 1,000
Medical Facilities Corporation Common Shares Medical Facilities Corporation
1 12/27/2012 38 13.88 28,319,108 -3,000
Medical Facilities Corporation Common Shares Medical Facilities Corporation
1 12/28/2012 38 13.85 28,317,108 -2,000
Medical Facilities Corporation Common Shares Medical Facilities Corporation
1 12/28/2012 36 28,318,940 1,832
Medical Facilities Corporation Common Shares Medical Facilities Corporation
1 12/31/2012 38 13.78 28,314,640 -4,300
Medical Facilities Corporation Common Shares Medical Facilities Corporation
1 12/31/2012 36 28,314,716 76
Medifocus Inc. Options Chan, Joseph Shuen Chuen 4 1/4/2013 50 450,000 150,000
Medifocus Inc. Options Cheung, Augustine 3, 4, 5 1/4/2013 50 2,500,000 2,000,000 Medifocus Inc. Options Chow, Augustine Pok Yu 4 1/4/2013 50 450,000 150,000 Medifocus Inc. Options Eves, Ernest Larry 4 1/4/2013 50 650,000 150,000 Medifocus Inc. Options Jakubovic, Mirsad 5 1/4/2013 50 850,000 650,000 Medifocus Inc. Options Mon, John 5 1/4/2013 50 1,650,000 1,250,000 Medifocus Inc. Options Walsh, Grant B. 4 1/4/2013 50 750,000 250,000 Medifocus Inc. Common Shares Yam, Tak Cheung 4 11/28/2012 00 13,333,333 Medifocus Inc. Options Yam, Tak Cheung 4 11/28/2012 00 Medifocus Inc. Options Yam, Tak Cheung 4 1/4/2013 50 225,000 225,000 MEG Energy Corp. Common Shares Hohm, Dale Jonathan 5 1/10/2013 51 4.13 93,928 17,700 MEG Energy Corp. Common Shares Hohm, Dale Jonathan 5 1/10/2013 51 4.31 102,728 8,800 MEG Energy Corp. Common Shares Hohm, Dale Jonathan 5 1/10/2013 51 5 116,428 13,700 MEG Energy Corp. Common Shares Hohm, Dale Jonathan 5 1/10/2013 51 7 132,428 16,000 MEG Energy Corp. Options Hohm, Dale Jonathan 5 1/10/2013 51 4.13 317,500 -17,700 MEG Energy Corp. Options Hohm, Dale Jonathan 5 1/10/2013 51 4.31 308,700 -8,800 MEG Energy Corp. Options Hohm, Dale Jonathan 5 1/10/2013 51 5 295,000 -13,700 MEG Energy Corp. Options Hohm, Dale Jonathan 5 1/10/2013 51 7 279,000 -16,000 Melior Resources Inc. Common Shares Takota Asset Management
Inc 3 1/4/2013 10 0.11 15,223,829 10,000
Melior Resources Inc. Common Shares Takota Asset Management Inc
3 1/7/2013 10 0.11 15,228,729 4,900
Melior Resources Inc. Common Shares Takota Asset Management Inc
3 1/8/2013 10 0.11 15,378,729 150,000
Melior Resources Inc. Common Shares Takota Asset Management Inc
3 1/9/2013 10 0.11 15,390,729 12,000
Melior Resources Inc. Common Shares Takota Asset Management Inc
3 1/10/2013 10 0.11 15,440,729 50,000
Merc International Minerals Inc.
Common Shares Cudney, Robert Douglas 3 3/21/2012 00
Merc International Minerals Inc.
Common Shares Cudney, Robert Douglas 3 3/21/2012 00 5,975,500
Insider Reporting
January 17, 2013
(2013) 36 OSCB 906
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Metanor Resources Inc. Common Shares Perry, Ronald 4 3/13/2007 00 Metanor Resources Inc. Common Shares Perry, Ronald 4 3/13/2007 00 Metanor Resources Inc. Common Shares Perry, Ronald 4 6/11/2007 10 0.73 10,000 Metanor Resources Inc. Common Shares Perry, Ronald 4 6/11/2007 10 0.73 10,000 Metanor Resources Inc. Common Shares Perry, Ronald 4 3/13/2007 00 Metanor Resources Inc. Common Shares Perry, Ronald 4 3/13/2007 00 Metanor Resources Inc. Common Shares Perry, Ronald 4 1/2/2008 10 0.76 500 Metanor Resources Inc. Common Shares Perry, Ronald 4 1/2/2008 10 0.76 500 Metanor Resources Inc. Common Shares Perry, Ronald 4 1/2/2008 10 0.77 8,500 Metanor Resources Inc. Common Shares Perry, Ronald 4 1/2/2008 10 0.77 8,500 Metanor Resources Inc. Common Shares Perry, Ronald 4 1/2/2008 10 0.78 6,000 Metanor Resources Inc. Common Shares Perry, Ronald 4 1/2/2008 10 0.78 6,000 Metanor Resources Inc. Common Shares Perry, Ronald 4 4/1/2009 10 0.52 2,500 Metanor Resources Inc. Common Shares Perry, Ronald 4 4/1/2009 10 0.52 2,500 Metanor Resources Inc. Options Perry, Ronald 4 3/13/2007 00 Metanor Resources Inc. Options Perry, Ronald 4 3/13/2007 00 Metanor Resources Inc. Options Perry, Ronald 4 5/29/2007 50 0.8 100,000 Metanor Resources Inc. Options Perry, Ronald 4 5/29/2007 50 0.8 100,000 Metanor Resources Inc. Options Perry, Ronald 4 2/13/2008 50 1 250,000 Metanor Resources Inc. Options Perry, Ronald 4 2/13/2008 50 1 250,000 Metanor Resources Inc. Options Perry, Ronald 4 2/13/2008 50 1 250,000 Metanor Resources Inc. Options Perry, Ronald 4 8/20/2008 50 0.8 100,000 Metanor Resources Inc. Options Perry, Ronald 4 4/1/2010 50 0.7 350,000 Metanor Resources Inc. Options Perry, Ronald 4 4/1/2010 50 0.7 350,000 Metanor Resources Inc. Options Perry, Ronald 4 4/1/2011 50 0.3 900,000 Metanor Resources Inc. Options Perry, Ronald 4 4/1/2011 50 0.3 900,000 Metanor Resources Inc. Options Perry, Ronald 4 4/6/2011 99 0.3 -900,000 Metanor Resources Inc. Options Perry, Ronald 4 4/6/2011 99 0.3 -900,000 Metanor Resources Inc. Options Perry, Ronald 4 9/14/2012 50 0.25 450,000 Metanor Resources Inc. Options Perry, Ronald 4 9/14/2012 50 0.25 450,000 Methanex Corporation Rights Deferred Share
Units AITKEN, BRUCE 4 12/31/2012 30 188,878 4,505
Methanex Corporation Rights Performance Share Units
AITKEN, BRUCE 4 12/31/2012 30 195,803 4,675
Methanex Corporation Rights Deferred Share Units
Balloch, Howard 4 12/31/2012 30 38,144 864
Methanex Corporation Rights Restricted Share Units
Cook, Phillip Henry 4 12/31/2012 30 7,050 257
Methanex Corporation Rights Performance Share Units
Floren, John 4, 5 12/31/2012 30 35,828 855
Methanex Corporation Rights Restricted Share Units
Hamilton, Tom 4 12/31/2012 30 10,679 380
Methanex Corporation Rights Restricted Share Units
Kostelnik, Robert 4 12/31/2012 30 7,050 257
Methanex Corporation Rights Deferred Share Units
Mahaffy, Douglas William 4 12/31/2012 30 38,117 909
Methanex Corporation Rights Deferred Share Units
Poole, Albert Terence 4 12/31/2012 30 40,951 976
Methanex Corporation Rights Deferred Share Units
Reid, John McDonald 4 12/31/2012 30 37,047 884
Methanex Corporation Rights Deferred Share Units
Rennie, Janice Gaye 4 12/31/2012 30 11,401 272
Methanex Corporation Rights Restricted Share Units
Rennie, Janice Gaye 4 12/31/2012 30 7,050 257
Methanex Corporation Rights Deferred Share Units
Sloan, Monica 4 12/31/2012 30 40,373 963
Methanex Corporation Rights Restricted Share Units
Sloan, Monica 4 12/31/2012 30 7,050 257
Metro inc. Common Shares Metro inc. 1 11/29/2012 38 69,900 -27,400 Metro inc. Common Shares Metro inc. 1 11/30/2012 38 19,900 -50,000 Metro inc. Common Shares Metro inc. 1 12/3/2012 38 0 -19,900 Metro inc. Common Shares Metro inc. 1 12/11/2012 38 61.05 26,700 26,700 Metro inc. Common Shares Metro inc. 1 12/14/2012 38 0 -26,700 Micromem Technologies Inc. Common Shares Fuda, Salvatore (Sam) 4, 5 1/9/2013 10 0.209 6,483,039 -25,000
Micromem Technologies Inc. Common Shares Fuda, Salvatore (Sam) 4, 5 1/10/2013 10 0.202 6,393,039 -90,000
Micromem Technologies Inc. Common Shares Fuda, Salvatore (Sam) 4, 5 1/11/2013 10 0.21 6,378,739 -14,300
Micromem Technologies Inc. Common Shares Fuda, Salvatore (Sam) 4, 5 1/11/2013 10 0.213 6,374,745 -3,994
Micromem Technologies Inc. Common Shares Fuda, Salvatore (Sam) 4, 5 1/11/2013 10 0.205 6,368,039 -6,706
Insider Reporting
January 17, 2013
(2013) 36 OSCB 907
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Micromem Technologies Inc. Options Nepomuceno, Oliver 4 3/9/2012 38 -25,000
Micromem Technologies Inc. Options Nepomuceno, Oliver 4 3/9/2012 38 350,000 -250,000
Midas Gold Corp. Options Meyer, John 5 1/1/2013 00 450,000 Midas Gold Corp. Common Shares Morgans, Darren Paul 5 6/30/2011 00 Midas Gold Corp. Common Shares Morgans, Darren Paul 5 1/11/2013 10 5,000 5,000 Middlefield Can-Global REIT Income Fund
Trust Units Can-Global REIT Income Fund
1 1/7/2013 38 10 3,000 1,200
Middlefield Can-Global REIT Income Fund
Trust Units Can-Global REIT Income Fund
1 1/9/2013 38 9.97 3,600 600
Middlefield Income Plus II Corp.
Non-Voting Shares equity shares
Income Plus II 1 1/4/2013 38 10.93 3,600 3,600
Middlefield Income Plus II Corp.
Non-Voting Shares equity shares
Income Plus II 1 1/4/2013 38 0 -3,600
Middlefield Income Plus II Corp.
Non-Voting Shares equity shares
Income Plus II 1 1/7/2013 38 11.05 1,400 1,400
Middlefield Income Plus II Corp.
Non-Voting Shares equity shares
Income Plus II 1 1/7/2013 38 0 -1,400
Middlefield Income Plus II Corp.
Non-Voting Shares equity shares
Income Plus II 1 1/8/2013 38 10.95 200 200
Middlefield Income Plus II Corp.
Non-Voting Shares equity shares
Income Plus II 1 1/8/2013 38 0 -200
Middlefield Income Plus II Corp.
Non-Voting Shares equity shares
Income Plus II 1 1/9/2013 38 11.02 2,000 2,000
Middlefield Income Plus II Corp.
Non-Voting Shares equity shares
Income Plus II 1 1/9/2013 38 0 -2,000
Middlefield Income Plus II Corp.
Non-Voting Shares equity shares
Income Plus II 1 1/10/2013 38 11.06 900 900
Middlefield Income Plus II Corp.
Non-Voting Shares equity shares
Income Plus II 1 1/10/2013 38 0 -900
Mill Run Golf Club Joint Venture Units Brindle, Stuart Lawrence 5 6/30/2009 00 Mill Run Golf Club Joint Venture Units Brindle, Stuart Lawrence 5 1/8/2013 11 75 1 1 Mineral Mountain Resources Ltd.
Common Shares baker, nelson 4 1/3/2013 10 0.31 3,237,500 7,000
Montero Mining and Exploration Ltd.
Common Shares Chapman, Antonia J 4, 5 1/9/2013 46 0.125 688,758 207,536
Montero Mining and Exploration Ltd.
Common Shares Hall, Greg 4 1/9/2013 46 0.125 261,128 88,000
Montero Mining and Exploration Ltd.
Common Shares Harwood, Antony 4 1/9/2013 46 0.125 2,294,356 1,283,800
Montero Mining and Exploration Ltd.
Common Shares Hodgson, David Lancaster 4 1/9/2013 46 0.125 130,000 80,000
Montero Mining and Exploration Ltd.
Common Shares Thomson, Andrew 4 1/9/2013 46 0.125 187,500 88,000
Mood Media Corporation (formerly Fluid Music Canada, Inc.)
Options Cullen, John David 5 12/6/2012 00 500,000
Mood Media Corporation (formerly Fluid Music Canada, Inc.)
Options Gujral, Ben 5 11/9/2012 50 2.24 600,000 200,000
Mosaic Capital Corporation Preferred Securities Block, Jeffrey Shaun 7 9/9/2011 10 7.8 $5,460
Mosaic Capital Corporation Preferred Securities Block, Jeffrey Shaun 7 9/9/2011 10 7.8 $5,460
Mosaic Capital Corporation Preferred Securities Block, Jeffrey Shaun 7 9/9/2011 10 7.8 $5,460
Mosaic Capital Corporation Preferred Securities Block, Jeffrey Shaun 7 9/9/2011 10 7.8 $5,460
Mosaic Capital Corporation Preferred Securities Block, Jeffrey Shaun 7 9/9/2011 10 7.8 $5,460
Mosaic Capital Corporation Preferred Securities Block, Jeffrey Shaun 7 9/16/2011 10 7.79 $2,337
Mosaic Capital Corporation Preferred Securities Block, Jeffrey Shaun 7 9/16/2011 10 7.79 $2,337
Mosaic Capital Corporation Preferred Securities Block, Jeffrey Shaun 7 9/16/2011 10 7.79 $2,337
Mosaic Capital Corporation Preferred Securities Block, Jeffrey Shaun 7 9/16/2011 10 7.79 $2,337
Mosaic Capital Corporation Preferred Securities Block, Jeffrey Shaun 7 9/16/2011 10 7.79 $2,337
Mosaic Capital Corporation Preferred Securities Block, Jeffrey Shaun 7 1/9/2012 00
Insider Reporting
January 17, 2013
(2013) 36 OSCB 908
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Mosaic Capital Corporation Preferred Securities Block, Jeffrey Shaun 7 1/9/2012 00
Mosaic Capital Corporation Preferred Securities Block, Jeffrey Shaun 7 1/9/2012 00 $14,397
Movarie Capital Ltd. Common Shares Pearce, Stephen 4 1/9/2013 10 0.13 220,000 10,000 Mundoro Capital Inc. Common Shares Calyniuk, Michael Eugene 4 1/3/2013 10 0.29 100,000 50,000 Murgor Resources Inc Common Shares Zeng, Nianqing 4 3/3/2010 00 Murgor Resources Inc Common Shares Zeng, Nianqing 4 12/24/2012 11 0.045 2,348,086 2,348,086 Mustang Minerals Corp. Common Shares Dunbar, Robin Edward 4, 5 1/3/2013 16 0.065 1,987,500 1,000,000 Mustang Minerals Corp. Common Shares Wakeam, Nadim 5 12/31/2012 11 0.065 150,000 150,000 Naturally Advanced Technologies Inc.
Common Shares Finnis, Jason 4, 5 2/3/2012 10 1.9 -5,000
Naturally Advanced Technologies Inc.
Common Shares Finnis, Jason 4, 5 2/3/2012 10 1.9 -5,000
Naturally Advanced Technologies Inc.
Common Shares Finnis, Jason 4, 5 2/15/2012 10 2.15 -300
Naturally Advanced Technologies Inc.
Common Shares Finnis, Jason 4, 5 2/15/2012 10 2.15 1,561,664 -400
Naturally Advanced Technologies Inc.
Common Shares Harrison, Larisa 4, 5 2/3/2012 10 1.9 -5,000
Naturally Advanced Technologies Inc.
Common Shares Harrison, Larisa 4, 5 2/3/2012 10 1.9 -5,000
Naturally Advanced Technologies Inc.
Common Shares Harrison, Larisa 4, 5 2/15/2012 10 2.15 -300
Naturally Advanced Technologies Inc.
Common Shares Harrison, Larisa 4, 5 2/15/2012 10 2.15 1,543,865 -400
NCE Diversified Flow-Through (11) Limited Partnership
Limited Partnership Units Driscoll, John Fenbar 4, 7, 5 1/4/2013 36 0 -78,000
Nemaska Lithium Inc. (formerly NEMASKA EXPLORATION INC.)
Common Shares Bourassa, guy georges 4, 5 1/11/2013 10 0.465 1,495,001 1,000
NEMI Northern Energy & Mining Inc.
Common Shares Hooper, Todd Lewis 4 1/3/2013 10 0.94 1,013,005 5
New Dimension Resources Ltd.
Common Shares 1313366 Ontario Inc. 3 12/21/2012 00 6,600,000
New Dimension Resources Ltd.
Warrants 1313366 Ontario Inc. 3 12/21/2012 00 750,000
New Flyer Industries Inc. Deferred Share Units Edwards, Larry Dean 7 12/31/2012 56 2,029 427 New Flyer Industries Inc. Deferred Share Units Edwards, Larry Dean 7 12/31/2012 30 2,107 78 New Flyer Industries Inc. Deferred Share Units Gray, Adam L. 4 9/30/2012 56 485 New Flyer Industries Inc. Deferred Share Units Gray, Adam L. 4 9/30/2012 56 821 493 New Flyer Industries Inc. Deferred Share Units Gray, Adam L. 4 12/31/2012 56 1,248 427 New Flyer Industries Inc. Deferred Share Units Gray, Adam L. 4 12/31/2012 30 1,264 16 New Flyer Industries Inc. Deferred Share Units Jacobsen, Patricia Anne 4 12/31/2012 56 2,029 427 New Flyer Industries Inc. Deferred Share Units Jacobsen, Patricia Anne 4 12/31/2012 30 2,107 78 New Flyer Industries Inc. Deferred Share Units Marinucci, Giovanni (John) 4 12/31/2012 56 2,029 427
New Flyer Industries Inc. Deferred Share Units Marinucci, Giovanni (John) 4 12/31/2012 30 2,107 78
New Flyer Industries Inc. Deferred Share Units McLeod, Wayne 4 12/31/2012 56 2,029 427 New Flyer Industries Inc. Deferred Share Units McLeod, Wayne 4 12/31/2012 30 2,107 78 New Flyer Industries Inc. Deferred Share Units Millar, William Wells 4 9/30/2012 56 485 New Flyer Industries Inc. Deferred Share Units Millar, William Wells 4 9/30/2012 56 821 493 New Flyer Industries Inc. Deferred Share Units Millar, William Wells 4 12/31/2012 56 1,248 427 New Flyer Industries Inc. Deferred Share Units Millar, William Wells 4 12/31/2012 30 1,264 16 New Flyer Industries Inc. Deferred Share Units Sardo, Vincent James 4 12/31/2012 56 2,029 427 New Flyer Industries Inc. Deferred Share Units Sardo, Vincent James 4 12/31/2012 30 2,107 78 New Flyer Industries Inc. Deferred Share Units Tobin, Brian Vincent 4 12/31/2012 56 2,029 427 New Flyer Industries Inc. Deferred Share Units Tobin, Brian Vincent 4 12/31/2012 30 2,107 78 New Look Eyewear Inc. Common Shares Class A New Look Eyewear Inc. 1 1/7/2013 38 0 -2,700
New Pacific Metals Corp. Common Shares New Pacific Metals Corp. 1 1/7/2013 10 0.63 100,262 7,418 New Pacific Metals Corp. Common Shares New Pacific Metals Corp. 1 1/8/2013 10 0.63 107,680 7,418 New Pacific Metals Corp. Common Shares New Pacific Metals Corp. 1 1/11/2013 10 0.63 115,098 7,418 Newalta Corporation Options Borys, Michael 5 1/2/2013 50 15.61 75,000 Newalta Corporation Options Borys, Michael 5 1/2/2013 50 15.61 360,000 60,000 Newalta Corporation Options Cadotte, Alan Paul 4, 5 1/2/2013 50 15.61 160,000 Newalta Corporation Options Cadotte, Alan Paul 4, 5 1/2/2013 50 15.61 755,000 130,000 Newalta Corporation Options Dietsche, Linda 5 1/2/2013 50 15.61 40,000 Newalta Corporation Options Dietsche, Linda 5 1/2/2013 50 15.61 60,000 30,000 Newalta Corporation Options Donaleshen, Terry Peter 5 1/2/2013 50 15.61 65,000 Newalta Corporation Options Donaleshen, Terry Peter 5 1/2/2013 50 15.61 309,000 52,000 Newalta Corporation Options Dugandzic, Peter Anthony 5 1/2/2013 50 15.61 70,000
Insider Reporting
January 17, 2013
(2013) 36 OSCB 909
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Newalta Corporation Options Dugandzic, Peter Anthony 5 1/2/2013 50 15.61 355,000 55,000 Newalta Corporation Common Shares Gramlich, Bryne Scott 5 1/1/2013 00 7,025 Newalta Corporation Options Gramlich, Bryne Scott 5 1/1/2013 00 109,200 Newalta Corporation Options MacDonald, Bob 4 1/2/2013 50 15.61 15,000 Newalta Corporation Options MacDonald, Bob 4 1/2/2013 50 15.61 69,375 12,500 Newalta Corporation Options McElgunn, Troy 5 1/2/2013 50 15.61 40,000 Newalta Corporation Options McElgunn, Troy 5 1/2/2013 50 15.61 155,000 30,000 Newalta Corporation Options Milligan, R. Vance 4 1/2/2013 50 15.61 15,000 Newalta Corporation Options Milligan, R. Vance 4 1/2/2013 50 15.61 66,250 12,500 Newalta Corporation Common Shares Nerbas, Michael John 5 1/1/2013 00 5,072 Newalta Corporation Common Shares Nerbas, Michael John 5 1/1/2013 00 13 Newalta Corporation Options Nerbas, Michael John 5 1/1/2013 00 132,500 Newalta Corporation Options Pecharsky, Douglas Allen 5 1/2/2013 50 15.61 65,000 Newalta Corporation Options Pecharsky, Douglas Allen 5 1/2/2013 50 15.61 269,000 52,000 Newalta Corporation Options Pinder, Richard Hughes 4 1/2/2013 50 15.61 15,000 Newalta Corporation Options Pinder, Richard Hughes 4 1/2/2013 50 15.61 72,500 12,500 Newalta Corporation Options Pridham, Gordon E. 4 1/2/2013 50 15.61 15,000 Newalta Corporation Options Pridham, Gordon E. 4 1/2/2013 50 15.61 80,000 12,500 Newalta Corporation Options Riddell Rose, Susan 4 1/2/2013 50 15.61 15,000 Newalta Corporation Options Riddell Rose, Susan 4 1/2/2013 50 15.61 62,500 12,500 Newalta Corporation Common Shares Rutledge, Robert Mark 5 1/1/2013 00 25,394 Newalta Corporation Options Rutledge, Robert Mark 5 1/1/2013 00 132,500 Newalta Corporation Options Ryley, Thomas Lovett 4 1/2/2013 50 15.61 15,000 Newalta Corporation Options Ryley, Thomas Lovett 4 1/2/2013 50 15.61 62,500 12,500 Newalta Corporation Options Stewart, Barry D. 4 1/2/2013 50 15.61 15,000 Newalta Corporation Options Stewart, Barry D. 4 1/2/2013 50 15.61 72,500 12,500 Newalta Corporation Options Whiteley, Took 5 1/2/2013 50 15.61 65,000 Newalta Corporation Options Whiteley, Took 5 1/2/2013 50 15.61 309,000 52,000 Newstrike Resources Ltd. Common Shares Pollock, John Arthur 3, 4, 5 1/8/2013 10 0.175 3,996,500 20,000 NexgenRx Inc. Common Shares Loucks, Ronald Campbell 3, 4, 5 1/4/2013 10 0.2 5,427,533 10,000 Nighthawk Gold Corp. (formerly Merc International Minerals Inc.)
Common Shares Leskovec, Michael George 5 10/7/2010 00
Nighthawk Gold Corp. (formerly Merc International Minerals Inc.)
Common Shares Leskovec, Michael George 5 12/27/2012 10 0.13 18,000 18,000
Nighthawk Gold Corp. (formerly Merc International Minerals Inc.)
Common Shares Leskovec, Michael George 5 12/27/2012 10 0.13 18,000
Niko Resources Ltd. Options HORNADAY, WILLIAM, THOMAS
4 1/9/2013 52 89.99 668,749 -50,000
Niko Resources Ltd. Options Kathol, Conrad P. 4 1/9/2013 52 89.99 87,500 -12,500 Niko Resources Ltd. Options Rawlinson, Keith R 5 1/9/2013 52 89.99 141,564 -25,000 Niko Resources Ltd. Options SAMPSON, EDWARD
STANLEY 4 1/9/2013 52 89.99 1,379,167 -178,125
Noble Iron Inc. (Formerly:Texada Software Inc.)
Common Shares Caldaroni, Thomas Christopher
5 10/22/2012 00
Noble Iron Inc. (Formerly:Texada Software Inc.)
Common Shares Caldaroni, Thomas Christopher
5 1/9/2013 11 1 150,000 150,000
Noble Iron Inc. (Formerly:Texada Software Inc.)
Options Expiring October 22, 2020
Caldaroni, Thomas Christopher
5 10/22/2012 00 125,000
NorSerCo Inc. Common Shares (Traded as Stapled Units)
Anda, Richard Barry 5 1/7/2013 46 30.51 20,393 1,482
NorSerCo Inc. Common Shares (Traded as Stapled Units)
Cook, Todd 4 1/3/2013 46 30.51 30,315 2,726
NorSerCo Inc. Common Shares (Traded as Stapled Units)
Freda, Linay 5 1/3/2013 46 30.51 1,495 607
NorSerCo Inc. Common Shares (Traded as Stapled Units)
Hayden, Kelly Marvin 5 1/3/2013 46 30.51 8,442 1,395
NorSerCo Inc. Common Shares (Traded as Stapled Units)
Lavery, Barbara 5 1/3/2013 46 30.51 3,119 456
NorSerCo Inc. Common Shares (Traded as Stapled Units)
Nash, Melvin 5 1/3/2013 46 30.51 992 967
Insider Reporting
January 17, 2013
(2013) 36 OSCB 910
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
NorSerCo Inc. Common Shares (Traded as Stapled Units)
Rasmussen, Bo Anker 5 1/3/2013 46 30.51 4,394 808
North American Energy Partners Inc.
Common Shares Blackley, David 5 6/12/2012 10 3,100
North American Energy Partners Inc.
Common Shares Blackley, David 5 6/12/2012 10 2.65 8,100 3,100
North American Energy Partners Inc.
Common Shares Blackley, David 5 6/13/2012 10 1,900
North American Energy Partners Inc.
Common Shares Blackley, David 5 6/13/2012 10 2.65 10,000 1,900
North American Energy Partners Inc.
Notes NOACN 9 1/8 Blackley, David 5 11/6/2012 10 $50,000
North American Energy Partners Inc.
Notes NOACN 9 1/8 Blackley, David 5 11/6/2012 10 1000 $50 $50
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 6/18/2012 10 4,318
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 6/18/2012 10 2.72 231,918 4,318
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 6/19/2012 10 7,682
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 6/19/2012 10 2.65 239,600 7,682
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 6/20/2012 10 3,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 6/20/2012 10 2.65 242,600 3,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 6/21/2012 10 10,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 6/21/2012 10 2.62 252,600 10,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 6/25/2012 10 16,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 6/25/2012 10 2.47 268,600 16,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 6/28/2012 10 800
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 6/28/2012 10 2.42 269,400 800
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 6/29/2012 10 3,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 6/29/2012 10 2.47 272,400 3,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 8/15/2012 10 3,253
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 8/15/2012 10 2.85 282,853 3,253
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 8/16/2012 10 6,747
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 8/16/2012 10 2.85 289,600 6,747
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 8/22/2012 10 860
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 8/22/2012 10 2.89 290,460 860
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 8/23/2012 10 19,540
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 8/23/2012 10 2.85 294,600 4,140
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 8/23/2012 10 2.82 299,600 5,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 8/23/2012 10 2.77 304,600 5,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 8/23/2012 10 2.74 309,600 5,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 8/23/2012 10 2.71 310,000 400
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 8/24/2012 10 7,166
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 8/24/2012 10 2.65 313,017 3,017
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 8/24/2012 10 2.71 315,017 2,000
Insider Reporting
January 17, 2013
(2013) 36 OSCB 911
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 8/24/2012 10 2.72 317,017 2,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 8/24/2012 10 2.67 317,166 149
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 8/27/2012 10 7,834
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 8/27/2012 10 2.67 325,000 7,834
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 8/30/2012 10 15,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 8/30/2012 10 2.53 330,000 5,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 8/30/2012 10 2.6 335,000 5,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 8/30/2012 10 2.65 337,000 2,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 8/30/2012 10 2.66 340,000 3,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 8/31/2012 10 21,910
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 8/31/2012 10 2.52 345,000 5,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 8/31/2012 10 2.45 350,000 5,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 8/31/2012 10 2.42 355,000 5,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 8/31/2012 10 2.39 359,510 4,510
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 8/31/2012 10 2.38 361,910 2,400
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 9/5/2012 10 13,625
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 9/5/2012 10 2.61 371,910 10,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 9/5/2012 10 2.6 374,810 2,900
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 9/5/2012 10 2.53 375,535 725
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 9/6/2012 10 23,600
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 9/6/2012 10 2.71 388,333 12,798
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 9/6/2012 10 2.73 393,333 5,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 9/6/2012 10 2.69 398,333 5,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 9/6/2012 10 2.65 399,135 802
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 9/7/2012 10 12,729
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 9/7/2012 10 2.81 411,864 12,729
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 9/10/2012 10 21,226
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 9/10/2012 10 2.86 429,254 17,390
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 9/10/2012 10 2.85 432,390 3,136
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 9/10/2012 10 2.82 433,090 700
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 9/11/2012 10 21,640
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 9/11/2012 10 2.89 443,090 10,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 9/11/2012 10 2.9 450,000 6,910
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 9/11/2012 10 2.86 454,730 4,730
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 9/12/2012 10 4,279
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 9/12/2012 10 2.79 459,009 4,279
Insider Reporting
January 17, 2013
(2013) 36 OSCB 912
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 9/13/2012 10 15,857
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 9/13/2012 10 2.79 469,009 10,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 9/13/2012 10 2.76 474,866 5,857
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 9/17/2012 10 10,134
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 9/17/2012 10 2.83 485,000 10,134
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 9/18/2012 10 3,809
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 9/18/2012 10 2.85 488,391 3,391
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 9/18/2012 10 2.9 488,809 418
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 9/19/2012 10 20,905
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 9/19/2012 10 2.92 501,000 12,191
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 9/19/2012 10 2.87 506,400 5,400
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 9/19/2012 10 2.85 509,714 3,314
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 9/20/2012 10 5,686
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 9/20/2012 10 2.95 515,400 5,686
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 9/24/2012 10 5,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 9/24/2012 10 2.93 520,400 5,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 9/25/2012 10 5,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 9/25/2012 10 2.91 525,400 5,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 9/26/2012 10 5,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 9/26/2012 10 2.9 530,400 5,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 9/27/2012 10 3,710
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 9/27/2012 10 2.93 533,910 3,510
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 9/27/2012 10 2.91 534,110 200
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 9/28/2012 10 10,631
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 9/28/2012 10 2.92 540,400 6,290
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 9/28/2012 10 2.88 544,741 4,341
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 10/1/2012 10 5,691
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 10/1/2012 10 2.92 550,432 5,691
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 10/1/2012 10 20,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 10/1/2012 10 2.97 570,432 20,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 10/2/2012 10 1,964
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 10/2/2012 10 2.86 572,396 1,964
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 10/2/2012 10 1,425
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 10/2/2012 10 2.83 573,821 1,425
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 11/6/2012 10 3,729
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 11/6/2012 10 3.09 575,821 2,000
Insider Reporting
January 17, 2013
(2013) 36 OSCB 913
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 11/6/2012 10 3.06 576,621 800
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 11/6/2012 10 3.03 577,550 929
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 11/7/2012 10 2,100
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 11/7/2012 10 3.01 579,550 2,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 11/7/2012 10 2.98 579,650 100
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 11/8/2012 10 6,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 11/8/2012 10 3.04 581,650 2,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 11/8/2012 10 3.01 583,650 2,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 11/8/2012 10 2.99 585,650 2,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 11/9/2012 10 700
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 11/9/2012 10 2.97 586,350 700
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 11/12/2012 10 2,050
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 11/12/2012 10 3.06 588,400 2,050
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 11/13/2012 10 700
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 11/13/2012 10 2.99 589,100 700
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 11/13/2012 10 2,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 11/13/2012 10 3.01 591,100 2,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 11/13/2012 10 2,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 11/13/2012 10 2.99 593,100 2,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 11/14/2012 10 1,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 11/14/2012 10 2.99 594,100 1,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 11/14/2012 10 400
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 11/14/2012 10 2.98 594,500 400
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 11/14/2012 10 1,600
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 11/14/2012 10 3.01 596,100 1,600
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 11/15/2012 10 1,300
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 11/15/2012 10 2.99 597,400 1,300
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 11/15/2012 10 2,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 11/15/2012 10 3.01 599,400 2,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 11/19/2012 10 5,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 11/19/2012 10 3.1 601,400 2,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 11/19/2012 10 3.07 602,400 1,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 11/19/2012 10 3.06 603,400 1,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 11/19/2012 10 3.04 604,400 1,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 11/22/2012 10 1,100
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 11/22/2012 10 3.25 605,400 1,000
Insider Reporting
January 17, 2013
(2013) 36 OSCB 914
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 11/22/2012 10 3.48 605,500 100
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 11/23/2012 10 400
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 11/23/2012 10 3.35 605,900 400
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 12/3/2012 10 164
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 12/3/2012 10 3.72 606,064 164
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 12/4/2012 10 1,336
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 12/4/2012 10 3.69 606,900 836
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 12/4/2012 10 3.65 607,400 500
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 12/5/2012 10 300
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 12/5/2012 10 3.73 607,700 300
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 12/7/2012 10 700
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 12/7/2012 10 3.71 608,400 700
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 12/10/2012 10 700
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 12/10/2012 10 3.67 608,900 500
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 12/10/2012 10 3.66 609,100 200
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 12/13/2012 10 800
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 12/13/2012 10 3.69 609,900 800
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 12/14/2012 10 500
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 12/14/2012 10 3.59 610,400 500
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 12/17/2012 10 1,400
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 12/17/2012 10 3.57 611,800 1,400
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 12/18/2012 10 600
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 12/18/2012 10 3.54 612,400 600
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 12/20/2012 10 3,600
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 12/20/2012 10 3.53 615,400 3,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 12/20/2012 10 3.45 616,000 600
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 12/21/2012 10 5,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 12/21/2012 10 3.42 618,000 2,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 12/21/2012 10 3.36 620,000 2,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 12/21/2012 10 3.33 621,000 1,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 12/24/2012 10 193
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 12/24/2012 10 3.41 621,193 193
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 12/26/2012 10 3,207
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 12/26/2012 10 3.4 623,193 2,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 12/26/2012 10 3.39 624,000 807
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 12/26/2012 10 3.29 624,400 400
Insider Reporting
January 17, 2013
(2013) 36 OSCB 915
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 12/27/2012 10 3,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 12/27/2012 10 3.28 626,400 2,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 12/27/2012 10 3.34 627,400 1,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 12/28/2012 10 2,700
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 12/28/2012 10 3.23 630,000 2,600
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 12/28/2012 10 3.18 630,100 100
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 1/2/2013 10 4,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 1/2/2013 10 3.45 4,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 1/2/2013 10 3.45 635,000 4,900
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 1/3/2013 10 2,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 1/3/2013 10 3.49 637,000 2,000
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 1/3/2013 10 3.45 637,400 400
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 1/4/2013 10 4,133
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 1/4/2013 10 3.5 641,533 4,133
North American Energy Partners Inc.
Common Shares Ferron, Martin Robert 4, 5 1/4/2013 10 3.45 641,833 300
North American Energy Partners Inc.
Notes NOACN 9 1/8 Oehmig, William C. 4 11/22/2006 00
North American Energy Partners Inc.
Notes NOACN 9 1/8 Oehmig, William C. 4 12/18/2012 10 1000 $800 $800
North American Energy Partners Inc.
Notes NOACN 9 1/8 Oehmig, William C. 4 1/9/2013 10 1000 $1,300 $500
North American Energy Partners Inc.
Common Shares Thornton, Jay 4 11/13/2012 10 10,000
North American Energy Partners Inc.
Common Shares Thornton, Jay 4 11/13/2012 10 3.1 10,000 10,000
North American Energy Partners Inc.
Common Shares Turner, K. Rick 4 7/5/2012 10 300
North American Energy Partners Inc.
Common Shares Turner, K. Rick 4 7/5/2012 10 2.75 300 300
North American Energy Partners Inc.
Common Shares Turner, K. Rick 4 7/5/2012 10 10,000
North American Energy Partners Inc.
Common Shares Turner, K. Rick 4 7/5/2012 10 2.8767 10,000 10,000
North American Energy Partners Inc.
Common Shares Turner, K. Rick 4 7/5/2012 10 10,000
North American Energy Partners Inc.
Common Shares Turner, K. Rick 4 7/5/2012 10 2.8765 25,552 10,000
North American Energy Partners Inc.
Common Shares Turner, K. Rick 4 7/5/2012 10 10,000
North American Energy Partners Inc.
Common Shares Turner, K. Rick 4 7/5/2012 10 2.8749 10,000
North American Energy Partners Inc.
Common Shares Turner, K. Rick 4 7/5/2012 10 2.8749 16,742 10,000
North Sea Energy Inc. (formerly, Ranger Energy Ltd.)
Options Antony, David Michael 4, 5 1/2/2013 50 0.23 346,665 100,000
North Sea Energy Inc. (formerly, Ranger Energy Ltd.)
Warrants Antony, David Michael 4, 5 1/1/2013 55 0 -9,750
Northern Gold Mining Inc. Common Shares McCormack, Lisa Elisabeth 5 11/1/2012 00
Northern Gold Mining Inc. Common Shares McCormack, Lisa Elisabeth 5 1/7/2013 10 0.3 25,000 25,000
Northern Property Real Estate Investment Trust
Trust Units (Traded as Stapled Units)
Anda, Richard Barry 5 1/7/2013 46 30.51 20,393 1,482
Northern Property Real Estate Investment Trust
Trust Units (Traded as Stapled Units)
Cook, Todd 5 1/3/2013 46 30.51 30,315 2,726
Insider Reporting
January 17, 2013
(2013) 36 OSCB 916
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Northern Property Real Estate Investment Trust
Trust Units (Traded as Stapled Units)
Freda, Linay 5 1/3/2013 46 30.51 1,495 607
Northern Property Real Estate Investment Trust
Trust Units (Traded as Stapled Units)
Hayden, Kelly Marvin 5 1/3/2013 46 30.51 8,442 1,395
Northern Property Real Estate Investment Trust
Trust Units (Traded as Stapled Units)
Lavery, Barbara 5 1/3/2013 46 30.51 1,724 456
Northern Property Real Estate Investment Trust
Trust Units (Traded as Stapled Units)
Nash, Melvin 5 1/3/2013 46 30.51 992 967
Northern Property Real Estate Investment Trust
Trust Units (Traded as Stapled Units)
Rasmussen, Bo Anker 5 1/3/2013 46 30.51 4,394 808
Northstar Healthcare Inc. Rights Restricted Share Units
Pyun, Jin 4 1/7/2013 46 127,837 30,329
Northstar Healthcare Inc. Common Shares Steinberg, Daniel, Morris 4 1/7/2013 97 345,690 30,329 NorthWest Healthcare Properties Real Estate Investment Trust
Deferred Units Barkin, Martin 4 12/31/2012 56 12.49 8,683 720
NorthWest Healthcare Properties Real Estate Investment Trust
Deferred Units Barkin, Martin 4 12/31/2012 30 12.35 9,145 462
NorthWest Healthcare Properties Real Estate Investment Trust
Deferred Units Baron, Robert 4 12/31/2012 56 12.49 14,473 1,201
NorthWest Healthcare Properties Real Estate Investment Trust
Deferred Units Baron, Robert 4 12/31/2012 30 12.35 15,242 769
NorthWest Healthcare Properties Real Estate Investment Trust
Deferred Units Crotty, Bernard W. 4 12/31/2012 56 12.49 14,473 1,201
NorthWest Healthcare Properties Real Estate Investment Trust
Deferred Units Crotty, Bernard W. 4 12/31/2012 30 12.35 15,242 769
NorthWest Healthcare Properties Real Estate Investment Trust
Deferred Units Dalla Lana, Paul 4, 5 12/31/2012 55 12.49 1,201
NorthWest Healthcare Properties Real Estate Investment Trust
Deferred Units Dalla Lana, Paul 4, 5 12/31/2012 56 12.49 10,013 1,201
NorthWest Healthcare Properties Real Estate Investment Trust
Deferred Units Dalla Lana, Paul 4, 5 12/31/2012 30 12.35 10,483 470
NorthWest Healthcare Properties Real Estate Investment Trust
Deferred Units KNOWLTON, JOHN MICHAEL ARTHUR
4 12/31/2012 56 12.49 7,395 1,201
NorthWest Healthcare Properties Real Estate Investment Trust
Deferred Units KNOWLTON, JOHN MICHAEL ARTHUR
4 12/31/2012 36 12.35 295
NorthWest Healthcare Properties Real Estate Investment Trust
Deferred Units KNOWLTON, JOHN MICHAEL ARTHUR
4 12/31/2012 30 12.35 7,690 295
NorthWest Healthcare Properties Real Estate Investment Trust
Deferred Units Krizan, Jan 4 12/31/2012 56 12.49 6,007 720
NorthWest Healthcare Properties Real Estate Investment Trust
Deferred Units Krizan, Jan 4 12/31/2012 30 12.35 6,289 282
Nouveau Monde Mining Enterprises Inc.
Common Shares Boileau, Julie 3 12/31/2012 00 1,900,000
Nouveau Monde Mining Enterprises Inc.
Warrants Boileau, Julie 3 12/31/2012 00 1,900,000
Nouveau Monde Mining Enterprises Inc.
Common Shares Bryden, Roderick M. 4 12/31/2012 00 290,000
Nouveau Monde Mining Enterprises Inc.
Warrants Bryden, Roderick M. 4 12/31/2012 00 270,000
Nouveau Monde Mining Enterprises Inc.
Common Shares Desaulniers, Eric 4, 5 12/31/2012 00 280,000
Nouveau Monde Mining Enterprises Inc.
Common Shares Desaulniers, Eric 4, 5 12/31/2012 00 440,000
Nouveau Monde Mining Enterprises Inc.
Warrants Desaulniers, Eric 4, 5 12/31/2012 00 150,000
Nouveau Monde Mining Enterprises Inc.
Warrants Desaulniers, Eric 4, 5 12/31/2012 00 320,000
Nouveau Monde Mining Enterprises Inc.
Common Shares Dupuis, Mario 3 12/31/2012 00 1,350,000
Insider Reporting
January 17, 2013
(2013) 36 OSCB 917
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Nouveau Monde Mining Enterprises Inc.
Warrants Dupuis, Mario 3 12/31/2012 00 1,100,000
Nouveau Monde Mining Enterprises Inc.
Common Shares Lambert, Alain 4 1/7/2013 00 350,000
Nouveau Monde Mining Enterprises Inc.
Common Shares Lambert, Alain 4 1/7/2013 00 4,000
Nouveau Monde Mining Enterprises Inc.
Common Shares Lambert, Alain 4 1/7/2013 00 100,000
Nouveau Monde Mining Enterprises Inc.
Warrants Lambert, Alain 4 1/7/2013 00 50,000
Nouveau Monde Mining Enterprises Inc.
Common Shares Letendre, Jacques, Pierre-Julien
4 4/20/2012 00
Nouveau Monde Mining Enterprises Inc.
Common Shares Letendre, Jacques, Pierre-Julien
4 12/21/2012 11 0.3 40,000 40,000
Nouveau Monde Mining Enterprises Inc.
Warrants Letendre, Jacques, Pierre-Julien
4 4/20/2012 00
Nouveau Monde Mining Enterprises Inc.
Warrants Letendre, Jacques, Pierre-Julien
4 12/21/2012 11 0.45 40,000
Nouveau Monde Mining Enterprises Inc.
Warrants Letendre, Jacques, Pierre-Julien
4 12/21/2012 11 0.45 20,000 20,000
Nouveau Monde Mining Enterprises Inc.
Common Shares Provencher, Richard 5 12/31/2012 00 200,000
Nouveau Monde Mining Enterprises Inc.
Warrants Provencher, Richard 5 12/31/2012 00 150,000
Nouveau Monde Mining Enterprises Inc.
Common Shares Tremblay, Alain 3 12/31/2012 00 850,000
Nouveau Monde Mining Enterprises Inc.
Common Shares Tremblay, Alain 3 12/31/2012 00 750,000
Nouveau Monde Mining Enterprises Inc.
Warrants Tremblay, Alain 3 12/31/2012 00 600,000
Nouveau Monde Mining Enterprises Inc.
Warrants Tremblay, Alain 3 12/31/2012 00 500,000
Nouveau Monde Mining Enterprises Inc.
Common Shares Valiquette, Alain 3 12/31/2012 00 1,000,000
Nouveau Monde Mining Enterprises Inc.
Warrants Valiquette, Alain 3 12/31/2012 00 1,000,000
NovaCopper Inc. Options Van Nieuwenhuyse, Rick 5 5/23/2012 51 2.32 -12,500 NovaCopper Inc. Options Arrangement
Options Van Nieuwenhuyse, Rick 5 5/23/2012 51 2.32 4,208,946 -75,000
NovaCopper Inc. Rights Restricted Share Units
Van Nieuwenhuyse, Rick 5 4/30/2012 00
NovaCopper Inc. Rights Restricted Share Units
Van Nieuwenhuyse, Rick 5 12/5/2012 56 400,000 400,000
Noveko International Inc. Common Shares Class A BOLDUC, ALAIN 4, 5 1/8/2013 10 0.1 7,578,177 -118,000
Oil Sands Sector Fund Trust Units Oil Sands Sector Fund 1 12/5/2012 38 5.55 500 500 Oil Sands Sector Fund Trust Units Oil Sands Sector Fund 1 12/5/2012 38 5.55 0 -500 Oil Sands Sector Fund Trust Units Oil Sands Sector Fund 1 12/6/2012 38 5.53 500 500 Oil Sands Sector Fund Trust Units Oil Sands Sector Fund 1 12/6/2012 38 5.53 0 -500 Oil Sands Sector Fund Trust Units Oil Sands Sector Fund 1 12/10/2012 38 5.55 500 500 Oil Sands Sector Fund Trust Units Oil Sands Sector Fund 1 12/10/2012 38 5.55 0 -500 Oil Sands Sector Fund Trust Units Oil Sands Sector Fund 1 12/14/2012 38 5.6 500 500 Oil Sands Sector Fund Trust Units Oil Sands Sector Fund 1 12/14/2012 38 5.6 0 -500 Oil Sands Sector Fund Trust Units Oil Sands Sector Fund 1 12/17/2012 38 5.58 500 500 Oil Sands Sector Fund Trust Units Oil Sands Sector Fund 1 12/17/2012 38 5.58 0 -500 Oil Sands Sector Fund Trust Units Oil Sands Sector Fund 1 12/18/2012 38 5.61 500 500 Oil Sands Sector Fund Trust Units Oil Sands Sector Fund 1 12/18/2012 38 5.61 0 -500 Omega Advisors U.S. Capital Appreciation Fund
Units Class A Nadal, Miles S. 3, 7 12/31/2012 38 9.8625 0 -500,000
ONEX CORPORATION Options Hausman, Joshua Samuel 7 1/1/2013 00 155,000
ONEX CORPORATION Subordinate Voting Shares Hausman, Joshua Samuel 7 1/1/2013 00 1,700
ONEX CORPORATION Subordinate Voting Shares Onex Corporation 1 12/3/2012 38 40.261 34,051 34,051
ONEX CORPORATION Subordinate Voting Shares Onex Corporation 1 12/3/2012 38 0 -34,051
ONEX CORPORATION Options Schwartz, Gerald Wilfred 3, 4, 6, 7, 5
1/8/2013 38 14.9 7,260,000 -130,000
ONEX CORPORATION Subordinate Voting Shares Schwartz, Gerald Wilfred 3, 4, 6, 7, 5
1/7/2013 11 1,000,000 1,000,000
ONEX CORPORATION Subordinate Voting Shares Schwartz, Gerald Wilfred 3, 4, 6, 7, 5
1/7/2013 11 0 -1,000,000
Insider Reporting
January 17, 2013
(2013) 36 OSCB 918
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
ONEX CORPORATION Subordinate Voting Shares Schwartz, Gerald Wilfred 3, 4, 6, 7, 5
2/13/2003 00
ONEX CORPORATION Subordinate Voting Shares Schwartz, Gerald Wilfred 3, 4, 6, 7, 5
1/7/2013 11 1,000,000 1,000,000
ONEX CORPORATION Subordinate Voting Shares Schwartz, Gerald Wilfred 3, 4, 6, 7, 5
1/7/2013 10 41.754 282,500 -717,500
ONEX CORPORATION Subordinate Voting Shares Schwartz, Gerald Wilfred 3, 4, 6, 7, 5
1/8/2013 10 41.834 244,800 -37,700
ONEX CORPORATION Subordinate Voting Shares Schwartz, Gerald Wilfred 3, 4, 6, 7, 5
1/9/2013 10 41.75 0 -244,800
ONEX CORPORATION Subordinate Voting Shares Schwartz, Gerald Wilfred 3, 4, 6, 7, 5
1/7/2013 11 6,655,634 -1,000,000
Pace Oil & Gas Ltd. Common Shares Buchanan, Thomas William 4 1/10/2013 10 3.404 92,849 82,000
Pace Oil & Gas Ltd. Common Shares Buchanan, Thomas William 4 1/11/2013 10 3.42 160,849 68,000
PACIFIC & WESTERN CREDIT CORP.
Common Shares 340268 Ontario Limited 3 1/7/2013 16 1.291 5,115,374 652,587
PACIFIC & WESTERN CREDIT CORP.
Common Shares Bratton, David A. 4, 7 12/31/2012 35 7,525 251
PACIFIC & WESTERN CREDIT CORP.
Common Shares Hillier, Arnold Edward 4, 7 12/31/2012 35 42,397 674
PACIFIC & WESTERN CREDIT CORP.
Common Shares Litton, Colin Edward 4 12/31/2012 35 17,407 201
PACIFIC & WESTERN CREDIT CORP.
Common Shares Mitchell, William T. 4, 7 12/31/2012 35 1,647 251
PACIFIC & WESTERN CREDIT CORP.
Common Shares Mizzen, Scott Andrew 5 12/31/2012 35 5,980 75
PACIFIC & WESTERN CREDIT CORP.
Common Shares Ritchie, Charles Scott 4 12/31/2012 35 97,327 301
PACIFIC & WESTERN CREDIT CORP.
Common Shares Taylor, Jonathan Francis Patrick
7, 5 12/31/2012 35 24,103 503
Painted Pony Petroleum Ltd. Common Shares Hanbury, Edwin Stewart 5 1/10/2013 10 10.348 12,295 9,600
Painted Pony Petroleum Ltd. Options Hanbury, Edwin Stewart 5 1/1/2013 00
Painted Pony Petroleum Ltd. Options Hanbury, Edwin Stewart 5 1/11/2013 50 360,000 360,000
Paladin Labs Inc. Common Shares Freeman, Michael 5 12/15/2011 30 32.39 20 Paladin Labs Inc. Common Shares Freeman, Michael 5 12/15/2011 30 32.39 5,683 21 Paladin Labs Inc. Common Shares Freeman, Michael 5 12/15/2012 30 42.88 13 Paladin Labs Inc. Common Shares Freeman, Michael 5 12/15/2012 30 42.88 7,743 12 Paladin Labs Inc. Common Shares Freeman, Michael 5 12/15/2012 30 7,746 3 Paladin Labs Inc. Options Stock Options Freeman, Michael 5 2/24/2012 50 43.7 101,250 25,000 Paladin Labs Inc. Common Shares Larose, Patrice 5 12/15/2012 30 42.88 190 12 Paladin Labs Inc. Common Shares Larose, Patrice 5 12/15/2012 30 44 193 3 Paramount Resources Ltd. Common Shares Class A Claugus, Thomas Eugene 4 1/4/2013 10 30.98 162,800 -200
Paramount Resources Ltd. Common Shares Class A Claugus, Thomas Eugene 4 1/9/2013 10 30.98 -200
Paramount Resources Ltd. Common Shares Class A Claugus, Thomas Eugene 4 1/4/2013 10 30.98 1,295,200 -1,500
Paramount Resources Ltd. Common Shares Class A Claugus, Thomas Eugene 4 1/4/2013 10 30.98 1,512,800 -1,800
Paramount Resources Ltd. Common Shares Class A Claugus, Thomas Eugene 4 1/4/2013 10 30.98 3,622,000 -4,100
Paramount Resources Ltd. Common Shares Class A Claugus, Thomas Eugene 4 1/4/2013 10 30.98 269,800 -300
Park Lawn Company Limited Common Shares Mills, John Franklin 4 1/3/2013 10 3 37,400 800
Parkland Fuel Corporation Common Shares Cruickshank, Andrew Stuart 5 1/10/2013 30 19.19 0 -573
Parlane Resource Corp. Common Shares Sumanik, Kenneth Michael 4 12/21/2012 00
Parta Dialogue Inc. Common Shares Zuring AG 6 1/9/2013 54 0.1 4,971,523 150,000 Parta Dialogue Inc. Warrants Zuring AG 6 1/9/2013 57 0.1 -150,000 Parta Dialogue Inc. Warrants Zuring AG 6 1/9/2013 54 0.1 3,992,660 -150,000 Patheon Inc. Options Lytton, Michael 5 1/4/2013 51 2.09 495,000 -80,000 Patheon Inc. Restricted Voting Shares
(Common Shares redesignated-Apr/07)
Lytton, Michael 5 1/4/2013 51 2.09 286,490 80,000
Insider Reporting
January 17, 2013
(2013) 36 OSCB 919
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Patheon Inc. Restricted Voting Shares (Common Shares redesignated-Apr/07)
Watchorn, Derek John 4 5/6/2003 00
Patheon Inc. Restricted Voting Shares (Common Shares redesignated-Apr/07)
Watchorn, Derek John 4 5/6/2003 00 1,000
Patheon Inc. Restricted Voting Shares (Common Shares redesignated-Apr/07)
Watchorn, Derek John 4 1/4/2013 10 3.62 20,754 17,000
Patheon Inc. Restricted Voting Shares (Common Shares redesignated-Apr/07)
Watchorn, Derek John 4 1/9/2013 10 3.7 21,054 300
Patheon Inc. Rights Watchorn, Derek John 4 12/3/2012 56 3.19 30,825 Patheon Inc. Rights Watchorn, Derek John 4 12/3/2012 56 3.19 31,825 31,825 Patheon Inc. Rights Watchorn, Derek John 4 12/28/2012 57 3.19 -30,825 Patheon Inc. Rights Watchorn, Derek John 4 12/28/2012 57 3.19 0 -31,825 Pathfinder Convertible Debenture Fund
Trust Units Pathfinder Convertible Debenture Fund
1 1/8/2013 38 11.7 4,506,486 400
Pathfinder Convertible Debenture Fund
Trust Units Pathfinder Convertible Debenture Fund
1 1/9/2013 38 11.7 4,508,686 2,200
Pathfinder Convertible Debenture Fund
Trust Units Pathfinder Convertible Debenture Fund
1 1/10/2013 38 11.7 4,509,286 600
Pembina Pipeline Corporation
Common Shares Jones, Robert M. 5 1/9/2013 10 29.02 0 -400
Pembina Pipeline Corporation
Common Shares Jones, Robert M. 5 1/9/2013 10 29.02 -400
Pembina Pipeline Corporation
Common Shares Michaleski, Robert B. 4 1/9/2013 10 28.98 1,003 230
Pembina Pipeline Corporation
Common Shares Michaleski, Robert B. 4 1/9/2013 10 28.98 1,003 230
Penn West Petroleum Ltd. Common Shares Brussa, John Albert 4 1/10/2013 10 10.35 623,910 10,000 Penn West Petroleum Ltd. Common Shares Brussa, John Albert 4 1/11/2013 10 10.05 638,910 15,000 Penn West Petroleum Ltd. Common Shares Schanck, Jack 4 1/11/2013 10 10.238 10,070 5,000 People Corporation Common Shares Asmundson, Paul Edward 7 1/4/2013 10 0.6 180,867 543 People Corporation Common Shares Canning, Brevan 5 1/4/2013 10 0.6 407,181 651 People Corporation Common Shares Canning, Brevan 5 1/4/2013 10 0.55 410,181 3,000 People Corporation Common Shares Chwartacki, Bonnie 5 1/4/2013 10 0.6 261,683 803 People Corporation Common Shares Gallivan, John Brian 5 1/4/2013 10 0.6 1,736,880 1,964 People Corporation Common Shares Goldberg, Laurie Marc 3, 4, 5 1/4/2013 10 0.6 52,140 1,259 People Corporation Common Shares Horner, Graeme Jeremy 7 1/4/2013 10 0.6 40,020 465 People Corporation Common Shares Johnstone, Eric Roch 7 1/4/2013 10 0.6 52,664 451 People Corporation Common Shares Pittman, Glenn Michael 5 1/4/2013 10 0.6 20,886 543 Perpetual Energy Inc. Common Shares Thompson, Aaron 5 1/10/2013 57 0.01 31,709 31,382 Perpetual Energy Inc. Restricted Rights Thompson, Aaron 5 1/10/2013 57 0.01 84,393 -31,382 Pethealth Inc. Common Shares Pethealth Inc. 1 12/3/2012 10 0.82 -2,418 Pethealth Inc. Common Shares Pethealth Inc. 1 12/3/2012 10 0.82 68,154 2,418 Pethealth Inc. Common Shares Pethealth Inc. 1 12/4/2012 10 0.8 -2,000 Pethealth Inc. Common Shares Pethealth Inc. 1 12/4/2012 10 0.8 70,154 2,000 Pethealth Inc. Common Shares Pethealth Inc. 1 12/5/2012 10 0.8 -20,000 Pethealth Inc. Common Shares Pethealth Inc. 1 12/5/2012 10 0.8 90,154 20,000 Pethealth Inc. Common Shares Pethealth Inc. 1 12/6/2012 10 0.8 -2,418 Pethealth Inc. Common Shares Pethealth Inc. 1 12/6/2012 10 0.8 92,572 2,418 Pethealth Inc. Common Shares Pethealth Inc. 1 12/7/2012 10 0.8 -2,418 Pethealth Inc. Common Shares Pethealth Inc. 1 12/7/2012 10 0.8 94,990 2,418 Pethealth Inc. Common Shares Pethealth Inc. 1 12/11/2012 10 0.78 -2,000 Pethealth Inc. Common Shares Pethealth Inc. 1 12/11/2012 10 0.78 96,990 2,000 Pethealth Inc. Common Shares Pethealth Inc. 1 12/12/2012 10 0.8 -2,418 Pethealth Inc. Common Shares Pethealth Inc. 1 12/12/2012 10 0.8 99,408 2,418 Pethealth Inc. Common Shares Pethealth Inc. 1 12/13/2012 10 0.8 -2,418 Pethealth Inc. Common Shares Pethealth Inc. 1 12/13/2012 10 0.8 101,826 2,418 Pethealth Inc. Common Shares Pethealth Inc. 1 12/14/2012 10 0.8 -50,000 Pethealth Inc. Common Shares Pethealth Inc. 1 12/14/2012 10 0.8 151,826 50,000 Pethealth Inc. Common Shares Pethealth Inc. 1 12/17/2012 10 0.75 -2,000 Pethealth Inc. Common Shares Pethealth Inc. 1 12/17/2012 10 0.75 153,826 2,000 Pethealth Inc. Common Shares Pethealth Inc. 1 12/18/2012 10 0.75 -2,418 Pethealth Inc. Common Shares Pethealth Inc. 1 12/18/2012 10 0.75 156,244 2,418 Pethealth Inc. Common Shares Pethealth Inc. 1 12/19/2012 10 0.79 -2,418 Pethealth Inc. Common Shares Pethealth Inc. 1 12/19/2012 10 0.79 158,662 2,418 Pethealth Inc. Common Shares Pethealth Inc. 1 12/20/2012 10 0.79 -1,500 Pethealth Inc. Common Shares Pethealth Inc. 1 12/20/2012 10 0.79 160,162 1,500
Insider Reporting
January 17, 2013
(2013) 36 OSCB 920
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Pethealth Inc. Common Shares Pethealth Inc. 1 12/21/2012 10 0.79 162,580 2,418 Pethealth Inc. Common Shares Pethealth Inc. 1 12/21/2012 10 0.79 232,580 70,000 Pethealth Inc. Common Shares Pethealth Inc. 1 12/24/2012 10 0.79 234,580 2,000 Pethealth Inc. Common Shares Pethealth Inc. 1 12/27/2012 10 0.79 236,998 2,418 Pethealth Inc. Common Shares Pethealth Inc. 1 12/27/2012 10 0.79 255,998 19,000 Petroamerica Oil Corp. Common Shares Keep, Gordon 5 1/3/2013 51 0.15 1,895,000 250,000 Petroamerica Oil Corp. Options Keep, Gordon 5 1/3/2013 51 1,050,000 -250,000 PetroBakken Energy Ltd. Common Shares Glemser, Lars William 5 1/1/2013 00 3,929 PetroBakken Energy Ltd. Common Shares Glemser, Lars William 5 1/1/2013 00 7,452 PetroBakken Energy Ltd. Options Glemser, Lars William 5 1/1/2013 00 66,500 PetroBakken Energy Ltd. Rights Incentive Glemser, Lars William 5 1/1/2013 00 14,282 PetroBakken Energy Ltd. Common Shares Malley, Bradford James 5 1/1/2013 00 PetroBakken Energy Ltd. Common Shares Malley, Bradford James 5 1/1/2013 00 PetroBakken Energy Ltd. Common Shares Malley, Bradford James 5 1/1/2013 00 PetroBakken Energy Ltd. Common Shares Malley, Bradford James 5 1/1/2013 00 6,728 PetroBakken Energy Ltd. Common Shares Malley, Bradford James 5 1/1/2013 00 PetroBakken Energy Ltd. Common Shares Malley, Bradford James 5 1/1/2013 00 PetroBakken Energy Ltd. Common Shares Malley, Bradford James 5 1/1/2013 00 7,643 PetroBakken Energy Ltd. Common Shares Malley, Bradford James 5 1/1/2013 00 2,120 PetroBakken Energy Ltd. Options Malley, Bradford James 5 1/1/2013 00 196,313 PetroBakken Energy Ltd. Rights Incentive Malley, Bradford James 5 1/1/2013 00 33,563 PetroBakken Energy Ltd. Common Shares Salahub, David William 5 1/1/2013 00 PetroBakken Energy Ltd. Common Shares Salahub, David William 5 1/1/2013 00 1,885 PetroBakken Energy Ltd. Common Shares Salahub, David William 5 1/4/2013 57 10.4 5,010 3,125 PetroBakken Energy Ltd. Options Salahub, David William 5 1/1/2013 00 155,000 PetroBakken Energy Ltd. Rights Incentive Salahub, David William 5 1/1/2013 00 23,750 PetroBakken Energy Ltd. Rights Incentive Salahub, David William 5 1/4/2013 57 0.05 20,625 -3,125 PetroBakken Energy Ltd. Common Shares Sweeney, Timothy David 5 1/1/2013 00 35,510 PetroBakken Energy Ltd. Options Sweeney, Timothy David 5 1/1/2013 00 145,750 PetroBakken Energy Ltd. Rights DCS Sweeney, Timothy David 5 1/1/2013 00 11,476 PetroBakken Energy Ltd. Rights Incentive Sweeney, Timothy David 5 1/1/2013 00 14,025 PetroBakken Energy Ltd. Common Shares Wilson, W. Brett 4 1/9/2013 30 12.13 26,518 1,518 PetroBakken Energy Ltd. Common Shares Wilson, W. Brett 4 1/9/2013 30 11.91 568,192 11,658 PetroBakken Energy Ltd. Rights DCS Wilson, W. Brett 4 5/28/2012 56 0.05 4,351 2,715 PetroBakken Energy Ltd. Rights Incentive Wilson, W. Brett 4 5/28/2012 56 0.05 11,604 7,241 PetroBakken Energy Ltd. Options WRIGHT, JOHN DAVID 4, 5 1/2/2013 50 10.3 586,250 329,000 PetroBakken Energy Ltd. Rights Incentive WRIGHT, JOHN DAVID 4, 5 1/2/2013 56 0.05 27,807 12,000 Petrobank Energy and Resources Ltd.
Common Shares Sweeney, Timothy David 5 1/1/2013 00 116,116
Petrolympic Ltd. Common Shares Ekstein, Brocha 3 1/3/2013 10 0.058 14,220,807 4,000 Petrolympic Ltd. Common Shares Ekstein, Brocha 3 1/4/2013 10 0.067 14,223,807 3,000 Petrolympic Ltd. Common Shares Ekstein, Brocha 3 1/7/2013 10 0.07 14,226,807 3,000 Petrolympic Ltd. Common Shares Ekstein, Brocha 3 1/8/2013 10 0.07 14,231,807 5,000 Petrominerales Ltd. Common Shares UMAÑA-VALENZUELA,
ENRIQUE 4 1/7/2013 51 60,000 20,000
Petrominerales Ltd. Common Shares UMAÑA-VALENZUELA, ENRIQUE
4 1/7/2013 57 63,000 3,000
Petrominerales Ltd. Common Shares Deferred UMAÑA-VALENZUELA, ENRIQUE
4 1/7/2013 57 8.17 7,092 -3,000
Petrominerales Ltd. Options UMAÑA-VALENZUELA, ENRIQUE
4 1/7/2013 51 8.17 96,376 -20,000
PetroShale Inc. Common Shares Gaiswinkler, Leo Frank 7 1/7/2013 10 1.09 51,174 -3,000 Peyto Exploration & Development Corp.
Common Shares Braund, Rick 4 1/7/2013 10 22.433 1,002,926 1,300
Peyto Exploration & Development Corp.
Common Shares Chetner, Stephen Jonathan 4 1/8/2013 16 22.38 534,490 1,160
Peyto Exploration & Development Corp.
Share Appreciation Rights (cash-based only)
Chetner, Stephen Jonathan 4 1/8/2013 59 0 -6,334
Peyto Exploration & Development Corp.
Common Shares Davis, Brian 4 1/8/2013 10 22.783 170,340 1,300
Peyto Exploration & Development Corp.
Common Shares Gee, Darren 5 1/8/2013 11 22.38 1,809,799 24,670
Peyto Exploration & Development Corp.
Share Appreciation Rights (cash-based only)
Gee, Darren 5 1/8/2013 59 351,666 -68,334
Peyto Exploration & Development Corp.
Share Appreciation Rights (cash-based only)
Gee, Darren 5 1/8/2013 59 283,333 -68,333
Insider Reporting
January 17, 2013
(2013) 36 OSCB 921
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Peyto Exploration & Development Corp.
Share Appreciation Rights (cash-based only)
Gee, Darren 5 1/8/2013 58 - Expiration of rights
211,667 -71,666
Peyto Exploration & Development Corp.
Share Appreciation Rights (cash-based only)
Gee, Darren 5 1/8/2013 56 311,667 100,000
Peyto Exploration & Development Corp.
Share Appreciation Rights (cash-based only)
Gee, Darren 5 1/8/2013 56 411,667 100,000
Peyto Exploration & Development Corp.
Share Appreciation Rights (cash-based only)
Gee, Darren 5 1/8/2013 56 511,667 100,000
Peyto Exploration & Development Corp.
Common Shares Lachance, Jean-Paul Henri 5 1/8/2013 11 22.38 17,800 1,880
Peyto Exploration & Development Corp.
Share Appreciation Rights (cash-based only)
Lachance, Jean-Paul Henri 5 1/8/2013 59 143,334 -33,333
Peyto Exploration & Development Corp.
Share Appreciation Rights (cash-based only)
Lachance, Jean-Paul Henri 5 1/8/2013 58 - Expiration of rights
106,668 -36,666
Peyto Exploration & Development Corp.
Share Appreciation Rights (cash-based only)
Lachance, Jean-Paul Henri 5 1/8/2013 56 157,001 50,333
Peyto Exploration & Development Corp.
Share Appreciation Rights (cash-based only)
Lachance, Jean-Paul Henri 5 1/8/2013 56 207,334 50,333
Peyto Exploration & Development Corp.
Share Appreciation Rights (cash-based only)
Lachance, Jean-Paul Henri 5 1/8/2013 56 257,668 50,334
Peyto Exploration & Development Corp.
Common Shares Louie, Timothy 5 1/13/2012 00
Peyto Exploration & Development Corp.
Common Shares Louie, Timothy 5 1/8/2013 11 22.38 680 680
Peyto Exploration & Development Corp.
Share Appreciation Rights (cash-based only)
Louie, Timothy 5 1/8/2013 59 73,334 -36,666
Peyto Exploration & Development Corp.
Share Appreciation Rights (cash-based only)
Louie, Timothy 5 1/8/2013 56 109,001 35,667
Peyto Exploration & Development Corp.
Share Appreciation Rights (cash-based only)
Louie, Timothy 5 1/8/2013 56 144,668 35,667
Peyto Exploration & Development Corp.
Share Appreciation Rights (cash-based only)
Louie, Timothy 5 1/8/2013 56 180,334 35,666
Peyto Exploration & Development Corp.
Common Shares Robinson, Scott 5 1/8/2013 11 22.38 480,427 22,870
Peyto Exploration & Development Corp.
Share Appreciation Rights (cash-based only)
Robinson, Scott 5 1/8/2013 59 321,666 -63,334
Peyto Exploration & Development Corp.
Share Appreciation Rights (cash-based only)
Robinson, Scott 5 1/8/2013 59 258,333 -63,333
Peyto Exploration & Development Corp.
Share Appreciation Rights (cash-based only)
Robinson, Scott 5 1/8/2013 58 - Expiration of rights
193,333 -65,000
Peyto Exploration & Development Corp.
Share Appreciation Rights (cash-based only)
Robinson, Scott 5 1/8/2013 56 283,333 90,000
Peyto Exploration & Development Corp.
Share Appreciation Rights (cash-based only)
Robinson, Scott 5 1/8/2013 56 373,333 90,000
Insider Reporting
January 17, 2013
(2013) 36 OSCB 922
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Peyto Exploration & Development Corp.
Share Appreciation Rights (cash-based only)
Robinson, Scott 5 1/8/2013 56 463,333 90,000
Peyto Exploration & Development Corp.
Common Shares Thomas, David Alan 5 1/8/2013 11 22.38 147,000 12,720
Peyto Exploration & Development Corp.
Share Appreciation Rights (cash-based only)
Thomas, David Alan 5 1/8/2013 59 246,667 -31,000
Peyto Exploration & Development Corp.
Share Appreciation Rights (cash-based only)
Thomas, David Alan 5 1/8/2013 59 203,334 -43,333
Peyto Exploration & Development Corp.
Share Appreciation Rights (cash-based only)
Thomas, David Alan 5 1/8/2013 58 - Expiration of rights
150,001 -53,333
Peyto Exploration & Development Corp.
Share Appreciation Rights (cash-based only)
Thomas, David Alan 5 1/8/2013 56 210,001 60,000
Peyto Exploration & Development Corp.
Share Appreciation Rights (cash-based only)
Thomas, David Alan 5 1/8/2013 56 270,001 60,000
Peyto Exploration & Development Corp.
Share Appreciation Rights (cash-based only)
Thomas, David Alan 5 1/8/2013 56 330,001 60,000
Peyto Exploration & Development Corp.
Common Shares Turgeon, Kathy 5 1/8/2013 11 22.38 88,490 13,240
Peyto Exploration & Development Corp.
Share Appreciation Rights (cash-based only)
Turgeon, Kathy 5 1/8/2013 59 198,333 -36,667
Peyto Exploration & Development Corp.
Share Appreciation Rights (cash-based only)
Turgeon, Kathy 5 1/8/2013 59 161,667 -36,666
Peyto Exploration & Development Corp.
Share Appreciation Rights (cash-based only)
Turgeon, Kathy 5 1/8/2013 58 - Expiration of rights
120,001 -41,666
Peyto Exploration & Development Corp.
Share Appreciation Rights (cash-based only)
Turgeon, Kathy 5 1/8/2013 56 166,667 46,666
Peyto Exploration & Development Corp.
Share Appreciation Rights (cash-based only)
Turgeon, Kathy 5 1/8/2013 56 213,334 46,667
Peyto Exploration & Development Corp.
Share Appreciation Rights (cash-based only)
Turgeon, Kathy 5 1/8/2013 56 260,001 46,667
Phoscan Chemical Corp. Common Shares Case, Stephen Dunbar 4, 5 1/11/2013 10 0.285 2,954,395 30,000 Phoscan Chemical Corp. Common Shares PhosCan Chemical Corp. 1 12/12/2012 38 0.2785 197,840 19,784 Phoscan Chemical Corp. Common Shares PhosCan Chemical Corp. 1 12/13/2012 38 0.275 202,340 4,500 Phoscan Chemical Corp. Common Shares PhosCan Chemical Corp. 1 12/14/2012 38 0.285 44,068 19,784 Phoscan Chemical Corp. Common Shares PhosCan Chemical Corp. 1 12/17/2012 38 0.28 63,852 19,784 Phoscan Chemical Corp. Common Shares PhosCan Chemical Corp. 1 12/18/2012 38 0.28 83,636 19,784 Phoscan Chemical Corp. Common Shares PhosCan Chemical Corp. 1 12/19/2012 38 0.275 103,136 19,500 Phoscan Chemical Corp. Common Shares PhosCan Chemical Corp. 1 12/20/2012 38 0.2801 122,920 19,784 Phoscan Chemical Corp. Common Shares PhosCan Chemical Corp. 1 12/21/2012 38 0.28 142,704 19,784 Phoscan Chemical Corp. Common Shares PhosCan Chemical Corp. 1 12/24/2012 38 0.28 162,488 19,784 Phoscan Chemical Corp. Common Shares PhosCan Chemical Corp. 1 12/31/2012 38 0 -162,488 PHX Energy Services Corp. Retention Awards (Cash-
based Only) Thomas, Roger Dale 4 12/31/2012 56 9.17 5,664 102
Platino Energy Corp. Common Shares ARC Energy Fund 6 3 12/31/2012 00 7,243,125 Platino Energy Corp. Common Shares ARC Energy Fund 6 3 1/4/2013 00 Platino Energy Corp. Common Shares ARC Energy Fund 6 3 1/4/2013 00 Platino Energy Corp. Common Shares C&C Investment Holdings
LLC 3 12/31/2012 00 16,802,095
Platino Energy Corp. Options Evans, Andrew Lee 4 12/31/2012 00 Platino Energy Corp. Options Evans, Andrew Lee 4 1/10/2013 50 1.33 100,000 100,000 Platino Energy Corp. Common Shares Evick-Dugdale, Jennifer 5 12/31/2012 00 Platino Energy Corp. Common Shares Evick-Dugdale, Jennifer 5 12/31/2012 00 4,000 Platino Energy Corp. Common Shares McLeod, Randy 4, 5 1/8/2013 10 1.36 41,248 -289,333 Platino Energy Corp. Common Shares McLeod, Randy 4, 5 1/9/2013 10 1.36 -289,333
Insider Reporting
January 17, 2013
(2013) 36 OSCB 923
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Platino Energy Corp. Common Shares Modarelli, Andres Guillermo 5 12/31/2012 00
Platino Energy Corp. Common Shares Modarelli, Andres Guillermo 5 12/31/2012 00
Platino Energy Corp. Common Shares Modarelli, Andres Guillermo 5 12/31/2012 00 3,477
Platinum Group Metals Ltd. Common Shares Carlson, Eric 4 1/4/2013 15 0.8 125,000
Platinum Group Metals Ltd. Common Shares Carlson, Eric 4 1/4/2013 15 0.8 255,000 125,000
Polymet Mining Corp. RSU's Cherry, Jonathan 4 1/7/2013 56 228,382 45,676 Polymet Mining Corp. Options Dreisinger, David Bruce 4 1/7/2013 50 0.92 150,000 Polymet Mining Corp. Options Dreisinger, David Bruce 4 1/7/2013 50 0.92 700,000 150,000 Polymet Mining Corp. RSU's Hunter, Stephanie 5 1/7/2013 56 17,500 7,500 Polymet Mining Corp. RSU's Moore, Bradley 5 7/10/2012 00 Polymet Mining Corp. RSU's Moore, Bradley 5 1/7/2013 56 30,000 30,000 Polymet Mining Corp. Options Newby, Douglas John 5 1/7/2013 50 0.92 900,000 100,000 Polymet Mining Corp. RSU's Newby, Douglas John 5 1/7/2013 56 80,000 35,000 Polymet Mining Corp. RSU's Scipioni, Joseph Michael 5 1/7/2013 56 45,000 15,000 Polymet Mining Corp. RSU's Vogt, Ryan 7 7/16/2012 00 Polymet Mining Corp. RSU's Vogt, Ryan 7 1/7/2013 56 0.92 7,500 7,500 Portex Minerals Inc. Common Shares Chodos, Peter F. 4, 5 1/8/2013 10 0.06 1,062,334 52,000 Posera-HDX Limited Common Shares Shulman, Allen 5 1/8/2013 10 0.3 1,682,258 500 Postmedia Network Canada Corp.
Class C Voting Shares Fisher, Gordon 5 4/5/2012 11 4,632 116
Potash Corporation of Saskatchewan Inc.
Common Shares Dowdle, Stephen 7 1/3/2013 11 73,800 26,935
Potash Corporation of Saskatchewan Inc.
Common Shares Dowdle, Stephen 7 1/3/2013 11 3,065 -26,935
Potash Corporation of Saskatchewan Inc.
Common Shares Doyle, William J. 4, 5 1/2/2013 11 105,292 -43,012
Potash Corporation of Saskatchewan Inc.
Common Shares Doyle, William J. 4, 5 1/2/2013 11 305,606 43,012
Power Corporation of Canada Equity Forward Contract Power Corporation of Canada
1 12/31/2012 70 25.21 23 1
Powertech Uranium Corp. Common Shares Burnett, Gregory Clifford 4, 5 1/4/2013 11 4,219,000 834,000 Powertech Uranium Corp. Common Shares Doyle, Thomas Anthony 4, 5 1/4/2013 11 1,184,000 834,000 Precious Metals Bullion Trust Units Precious Metals Bullion
Trust 1 12/3/2012 38 17.12 3,000 3,000
Precious Metals Bullion Trust Units Precious Metals Bullion Trust
1 12/3/2012 38 17.12 0 -3,000
Precious Metals Bullion Trust Units Precious Metals Bullion Trust
1 12/3/2012 38 16.97 3,000 3,000
Precious Metals Bullion Trust Units Precious Metals Bullion Trust
1 12/3/2012 38 16.97 0 -3,000
Precious Metals Bullion Trust Units Precious Metals Bullion Trust
1 12/4/2012 38 16.89 900 900
Precious Metals Bullion Trust Units Precious Metals Bullion Trust
1 12/4/2012 38 16.89 0 -900
Precious Metals Bullion Trust Units Precious Metals Bullion Trust
1 12/20/2012 38 16.22 3,000 3,000
Precious Metals Bullion Trust Units Precious Metals Bullion Trust
1 12/20/2012 38 16.22 0 -3,000
Precious Metals Bullion Trust Units Precious Metals Bullion Trust
1 12/20/2012 38 16.19 1,100 1,100
Precious Metals Bullion Trust Units Precious Metals Bullion Trust
1 12/20/2012 38 16.19 0 -1,100
Precious Metals Bullion Trust Units Precious Metals Bullion Trust
1 12/31/2012 38 16.14 400 400
Precious Metals Bullion Trust Units Precious Metals Bullion Trust
1 12/31/2012 38 16.14 0 -400
Precipitate Gold Corp. Common Shares Wilson, Jeffrey 4 12/3/2012 00 Precipitate Gold Corp. Common Shares Wilson, Jeffrey 4 1/7/2013 10 0.225 25,000 25,000 Precipitate Gold Corp. Common Shares Wilson, Jeffrey 4 1/8/2013 10 0.225 50,000 25,000 Precipitate Gold Corp. Common Shares Wilson, Jeffrey 4 1/8/2013 10 0.215 56,000 6,000 Precipitate Gold Corp. Common Shares Wilson, Jeffrey 4 1/9/2013 10 0.215 60,000 4,000 Precision Drilling Corporation Deferred Share Units -
effective January 1, 2012 Donovan, William T. 4 12/31/2012 56 2,738
Precision Drilling Corporation Deferred Share Units - effective January 1, 2012
Donovan, William T. 4 12/31/2012 56 9,498 2,738
Progress Energy Canada Ltd. Common Shares Perron, Gary 4 12/12/2012 22 22 0 -457,845
Insider Reporting
January 17, 2013
(2013) 36 OSCB 924
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Progress Energy Canada Ltd. Common Shares Perron, Gary 4 12/12/2012 22 22 0 -2,493,665
Progress Energy Canada Ltd. Common Shares Perron, Gary 4 12/12/2012 22 22 0 -677,784
Progress Energy Canada Ltd. Common Shares Perron, Gary 4 12/12/2012 22 22 0 -138,066
Progress Energy Canada Ltd. Common Shares Perron, Gary 4 12/12/2012 22 22 0 -16,063
Progress Energy Canada Ltd. Common Shares Perron, Gary 4 12/12/2012 22 22 0 -31,373
Progress Energy Canada Ltd. Common Shares Perron, Gary 4 12/12/2012 22 22 0 -308,190
Progress Energy Canada Ltd. Common Shares Perron, Gary 4 12/12/2012 97 224,023 15,090
Progress Energy Canada Ltd. Common Shares Perron, Gary 4 12/12/2012 97 22 242,304 18,281
Progress Energy Canada Ltd. Common Shares Perron, Gary 4 12/12/2012 22 22 0 -242,304
Progress Energy Canada Ltd. Options Performance Unit Perron, Gary 4 12/12/2012 97 0 -18,281
Progress Energy Canada Ltd. Options Share Unit Award Perron, Gary 4 12/12/2012 97 22 0 -15,090
ProMetic Life Sciences Inc. Common Shares Shenzhen Hepalink Pharmaceutical Co., Ltd.
3 12/31/2012 00
ProMetic Life Sciences Inc. Common Shares Shenzhen Hepalink Pharmaceutical Co., Ltd.
3 12/31/2012 16 0.2067 48,147,053 48,147,053
Prophecy Coal Corp. Common Shares without par value
Hall, Greg 4 4/16/2010 00 975,000
Prophecy Coal Corp. Common Shares without par value
Hall, Greg 4 8/6/2010 97 945,000 -30,000
Prophecy Coal Corp. Common Shares without par value
Hall, Greg 4 1/14/2011 54 0.5 995,000 50,000
Prophecy Coal Corp. Common Shares without par value
Hall, Greg 4 8/6/2011 97 -30,000
Prophecy Coal Corp. Common Shares without par value
Hall, Greg 4 8/6/2011 97 -30,000
Prophecy Coal Corp. Common Shares without par value
Hall, Greg 4 12/20/2011 54 0.1 1,365,000 370,000
Prophecy Coal Corp. Common Shares without par value
Hall, Greg 4 1/2/2012 46 1,415,000 50,000
Prophecy Coal Corp. Common Shares without par value
Hall, Greg 4 9/30/2012 46 1,440,000 25,000
Prophecy Coal Corp. Options Hall, Greg 4 4/16/2010 00 300,000 Prophecy Coal Corp. Options Hall, Greg 4 5/10/2010 50 375,000 75,000 Prophecy Coal Corp. Options Hall, Greg 4 9/21/2010 50 400,000 25,000 Prophecy Coal Corp. Options Hall, Greg 4 12/24/2010 50 480,000 80,000 Prophecy Coal Corp. Options Hall, Greg 4 6/13/2011 50 580,000 100,000 Prophecy Coal Corp. Options Hall, Greg 4 3/22/2012 50 730,000 150,000 Prophecy Coal Corp. Options Hall, Greg 4 6/18/2012 50 980,000 250,000 Prophecy Coal Corp. Options Hall, Greg 4 8/22/2012 50 1,280,000 300,000 Prophecy Coal Corp. Warrants Hall, Greg 4 4/16/2010 00 420,000 Prophecy Coal Corp. Warrants Hall, Greg 4 1/14/2011 54 0.5 370,000 -50,000 Prophecy Coal Corp. Warrants Hall, Greg 4 12/20/2011 54 0.1 0 -370,000 Prophecy Platinum Corp. Common Shares Sagman, John Edward
Arnold 5 11/1/2012 00
Prophecy Platinum Corp. Common Shares Sagman, John Edward Arnold
5 1/9/2013 10 1.1 51,000 51,000
Pulse Seismic Inc. Common Shares Bectold, Jeffrey Patrick 5 1/8/2013 10 2.63 59,796 1,255 Puma Exploration Inc. Common Shares Robillard, Marcel 4, 5 1/8/2013 10 0.245 948,000 2,500 QLT Inc. Common Shares QLT Inc. 1 12/3/2012 38 7.8713 15,999 15,999 QLT Inc. Common Shares QLT Inc. 1 12/3/2012 38 0 -15,999 QLT Inc. Common Shares QLT Inc. 1 12/4/2012 38 7.9354 31,114 31,114 QLT Inc. Common Shares QLT Inc. 1 12/4/2012 38 0 -31,114 QLT Inc. Common Shares QLT Inc. 1 12/5/2012 38 7.9441 35,500 35,500 QLT Inc. Common Shares QLT Inc. 1 12/5/2012 38 0 -35,500 QLT Inc. Common Shares QLT Inc. 1 12/6/2012 38 7.9019 35,500 35,500 QLT Inc. Common Shares QLT Inc. 1 12/6/2012 38 0 -35,500 QLT Inc. Common Shares QLT Inc. 1 12/7/2012 38 7.8859 15,293 15,293 QLT Inc. Common Shares QLT Inc. 1 12/7/2012 38 0 -15,293 QLT Inc. Common Shares QLT Inc. 1 12/10/2012 38 7.9492 19,854 19,854 QLT Inc. Common Shares QLT Inc. 1 12/10/2012 38 0 -19,854 QLT Inc. Common Shares QLT Inc. 1 12/13/2012 38 7.99 253 253 QLT Inc. Common Shares QLT Inc. 1 12/13/2012 38 0 -253 QLT Inc. Common Shares QLT Inc. 1 12/17/2012 38 7.9568 10,974 10,974
Insider Reporting
January 17, 2013
(2013) 36 OSCB 925
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
QLT Inc. Common Shares QLT Inc. 1 12/17/2012 38 0 -10,974 QLT Inc. Common Shares QLT Inc. 1 12/18/2012 38 7.9818 21,712 21,712 QLT Inc. Common Shares QLT Inc. 1 12/18/2012 38 0 -21,712 QLT Inc. Common Shares QLT Inc. 1 12/19/2012 38 7.9293 23,379 23,379 QLT Inc. Common Shares QLT Inc. 1 12/19/2012 38 0 -23,379 QLT Inc. Common Shares QLT Inc. 1 12/20/2012 38 7.9502 19,921 19,921 QLT Inc. Common Shares QLT Inc. 1 12/20/2012 38 0 -19,921 QLT Inc. Common Shares QLT Inc. 1 12/21/2012 38 7.8706 23,000 23,000 QLT Inc. Common Shares QLT Inc. 1 12/21/2012 38 0 -23,000 QLT Inc. Common Shares QLT Inc. 1 12/24/2012 38 7.8266 24,975 24,975 QLT Inc. Common Shares QLT Inc. 1 12/24/2012 38 0 -24,975 QLT Inc. Common Shares QLT Inc. 1 12/26/2012 38 7.7059 24,922 24,922 QLT Inc. Common Shares QLT Inc. 1 12/26/2012 38 0 -24,922 QLT Inc. Common Shares QLT Inc. 1 12/27/2012 38 7.6362 24,975 24,975 QLT Inc. Common Shares QLT Inc. 1 12/27/2012 38 0 -24,975 QLT Inc. Common Shares QLT Inc. 1 12/28/2012 38 7.5298 24,975 24,975 QLT Inc. Common Shares QLT Inc. 1 12/28/2012 38 0 -24,975 QLT Inc. Common Shares QLT Inc. 1 12/31/2012 38 7.5966 28,763 28,763 QLT Inc. Common Shares QLT Inc. 1 12/31/2012 38 0 -28,763
QMX Gold Corporation (formerly Alexis Minerals Corporation)
Options Battiston, Deborah 5 1/10/2013 50 0.24 270,000 80,000
QMX Gold Corporation (formerly Alexis Minerals Corporation)
Common Shares Bryce, Robert 5 6/13/2012 37 1,000 -19,000
QMX Gold Corporation (formerly Alexis Minerals Corporation)
Options Bryce, Robert 5 6/13/2012 37 33,750 -741,250
QMX Gold Corporation (formerly Alexis Minerals Corporation)
Options Bryce, Robert 5 1/10/2013 50 0.24 83,750 50,000
QMX Gold Corporation (formerly Alexis Minerals Corporation)
Options Colson, Maurice 4 1/10/2013 50 0.24 475,000 50,000
QSOLAR Limited Common Shares Tapakoudes, Andreas 3, 4, 5 1/9/2013 10 0.78 3,998,085 15,000 QSOLAR Limited Common Shares Tapakoudes, Michael 3 1/7/2013 10 0.75 4,727,184 1,500 QSOLAR Limited Common Shares Tapakoudes, Michael 3 1/9/2013 10 0.15 4,728,184 1,000 QSOLAR Limited Common Shares Tapakoudes, Michael 3 1/9/2013 10 0.78 4,713,184 -15,000 Queenston Mining Inc. Common Shares Simmons, Barry Dodge 4 3/11/2008 10 0.65 30,000 Queenston Mining Inc. Common Shares Simmons, Barry Dodge 4 3/11/2008 51 0.65 30,000 30,000 Queenston Mining Inc. Common Shares Simmons, Barry Dodge 4 1/5/2010 10 0.65 70,000 Queenston Mining Inc. Common Shares Simmons, Barry Dodge 4 1/5/2010 51 0.65 90,600 70,000 Queenston Mining Inc. Common Shares Simmons, Barry Dodge 4 1/11/2011 51 1.62 112,100 50,000 Queenston Mining Inc. Common Shares Simmons, Barry Dodge 4 1/11/2011 10 77,100 -35,000 Queenston Mining Inc. Common Shares Simmons, Barry Dodge 4 4/25/2012 11 2.01 159,000 Queenston Mining Inc. Common Shares Simmons, Barry Dodge 4 4/25/2012 51 2.01 231,100 159,000 Queenston Mining Inc. Options Incentive Stock
Options Simmons, Barry Dodge 4 1/11/2011 51 1.62 50,000
Queenston Mining Inc. Options Incentive Stock Options
Simmons, Barry Dodge 4 1/11/2011 51 1.62 334,000 -50,000
Queenston Mining Inc. Options Incentive Stock Options
Simmons, Barry Dodge 4 1/11/2011 10 5.4 -35,000
Queenston Mining Inc. Options Incentive Stock Options
Simmons, Barry Dodge 4 1/11/2011 10 5.4 -35,000
Quest Rare Minerals Ltd. Common Shares Cashin, Peter John 4, 5 1/10/2013 51 0.15 423,885 215,000 Quest Rare Minerals Ltd. Options Cashin, Peter John 4, 5 1/10/2013 51 0.15 1,200,000 -215,000 Quest Rare Minerals Ltd. Common Shares Schneiderman, Mark Phillip 5 1/10/2013 51 0.15 211,000 50,000
Quest Rare Minerals Ltd. Options Schneiderman, Mark Phillip 5 1/10/2013 51 0.15 295,000 -50,000
Quia Resources Inc. Common Shares Brown, William Richard 4, 5 1/7/2013 10 0.03 4,149,998 50,000 Quia Resources Inc. Common Shares Brown, William Richard 4, 5 1/9/2013 10 0.03 4,179,998 30,000 Quia Resources Inc. Common Shares Manning, Robert A. 4, 5 1/7/2013 10 0.03 1,384,893 -50,000 Raging River Exploration Inc. Common Shares Jaskela, Jason Jowill 5 1/7/2013 10 3.25 1,240,000 -10,000
Raging River Exploration Inc. Common Shares Jaskela, Jason Jowill 5 1/4/2013 10 3.16 257,556 -250,000
RDM Corporation Common Shares Nally, Robert 4 12/12/2012 51 0.72 39,300 20,000 RDM Corporation Options Nally, Robert 4 12/12/2012 51 0.72 72,500 -20,000 Red Mile Minerals Corp. Common Shares Hickey, John Vincent 4, 5 1/7/2013 10 0.04 1,470,000 10,000
Insider Reporting
January 17, 2013
(2013) 36 OSCB 926
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Redline Communications Group Inc.
Warrants Second Warrants exercisable at $4.60 per Common Share
de Gaspé Beaubien, François
3 1/7/2013 11 268,011 -4,000
Redline Communications Group Inc.
Common Shares Kramer, David 3 1/7/2013 10 6.025 296,825 1,000
Redline Communications Group Inc.
Common Shares Kramer, David 3 1/8/2013 10 6.0355 298,825 2,000
Redline Communications Group Inc.
Common Shares Kramer, David 3 1/9/2013 10 6.1 299,625 800
RedWater Energy Corp. Options Dickson, Kevin 4 1/7/2013 50 0.19 679,250 215,000 RedWater Energy Corp. Common Shares Francis, Kyle William
Douglas 4, 5 1/7/2013 10 0.16 991,744 40,000
RedWater Energy Corp. Common Shares Francis, Kyle William Douglas
4, 5 1/9/2013 10 0.15 995,744 4,000
RedWater Energy Corp. Options Francis, Kyle William Douglas
4, 5 1/7/2013 50 0.19 679,250 215,000
RedWater Energy Corp. Options Wanner, Ronald 4 1/7/2013 50 0.19 297,500 110,000 RedWater Energy Corp. Options Waters, Gary William 4, 5 1/7/2013 50 0.19 1,008,250 330,000 REIT INDEXPLUS Income Fund
Trust Units REIT Indexplus Income Fund
1 1/8/2013 38 11.9 4,775,664 1,300
REIT INDEXPLUS Income Fund
Trust Units REIT Indexplus Income Fund
1 1/9/2013 38 11.86 4,777,864 2,200
REIT INDEXPLUS Income Fund
Trust Units REIT Indexplus Income Fund
1 1/10/2013 38 11.87 4,778,864 1,000
Relentless Resources Ltd. Options MacDonald, William Colin 4 5/3/2011 50 0.3 350,000 Relentless Resources Ltd. Options MacDonald, William Colin 4 5/3/2011 99 0.3 560,000 300,000 Relentless Resources Ltd. Common Shares Nathwani, Pradeep 5 12/21/2012 11 0.25 141,000 40,000 Richards Packaging Income Fund
Trust Units Richards Packaging Income Fund
1 12/31/2012 38 8.89 12,900 12,900
Richards Packaging Income Fund
Trust Units Richards Packaging Income Fund
1 12/31/2012 38 8.89 0 -12,900
Ridgeline Energy Services Inc.
Common Shares Johnson, Douglas Brian 4 1/7/2013 90 0.4 6,632,500 -500,000
Ridgeline Energy Services Inc.
Common Shares Johnson, Douglas Brian 4 1/7/2013 90 0.4 585,000 500,000
Ridgewood Canadian Investment Grade Bond Fund
Units Simpson, John H. 5 1/4/2013 10 12 22,195 -150
Rio Alto Mining Limited Common Shares Garay, Enrique 5 10/22/2012 50 1.9 40,000 40,000 Rio Alto Mining Limited Common Shares Garay, Enrique 5 1/8/2013 10 5.3 70,500 -8,000 Rio Alto Mining Limited Options Garay, Enrique 5 10/22/2012 51 225,000 -40,000 RIOCAN REAL ESTATE INVESTMENT TRUST
Restricted Equity Units (REUs)
Copeland, Clare Robert 4 12/31/2012 30 13,047 542
RIOCAN REAL ESTATE INVESTMENT TRUST
Restricted Equity Units (REUs)
Gelgoot, Raymond Michael 4 12/31/2012 30 13,047 542
RIOCAN REAL ESTATE INVESTMENT TRUST
Restricted Equity Units (REUs)
Godfrey, Paul Victor 4 12/31/2012 30 39,144 1,627
RIOCAN REAL ESTATE INVESTMENT TRUST
Restricted Equity Units (REUs)
KING, FRANK W. 4 12/31/2012 30 13,047 542
RIOCAN REAL ESTATE INVESTMENT TRUST
Restricted Equity Units (REUs)
Lastman, Dale Howard 4 12/31/2012 30 13,047 542
RIOCAN REAL ESTATE INVESTMENT TRUST
Restricted Equity Units (REUs)
Osborne, Ronald Walter 4 12/31/2012 30 17,259 699
RIOCAN REAL ESTATE INVESTMENT TRUST
Trust Units Robins, Jordan 5 11/7/2012 30 26.29 32,697 142
RIOCAN REAL ESTATE INVESTMENT TRUST
Trust Units Robins, Jordan 5 12/7/2012 30 26.35 32,839 142
RIOCAN REAL ESTATE INVESTMENT TRUST
Restricted Equity Units (REUs)
Sallows, Sharon 4 12/31/2012 30 13,047 542
RIOCAN REAL ESTATE INVESTMENT TRUST
Trust Units Sallows, Sharon 4 11/7/2012 30 26.29 23,297 91
RIOCAN REAL ESTATE INVESTMENT TRUST
Trust Units Sallows, Sharon 4 12/7/2012 30 26.35 23,361 64
RIOCAN REAL ESTATE INVESTMENT TRUST
Trust Units Sallows, Sharon 4 12/7/2012 30 26.35 23,388 27
RIOCAN REAL ESTATE INVESTMENT TRUST
Trust Units Sallows, Sharon 4 11/7/2012 30 26.29 2,308 10
RIOCAN REAL ESTATE INVESTMENT TRUST
Trust Units Sallows, Sharon 4 12/7/2012 30 26.35 2,318 10
RIOCAN REAL ESTATE INVESTMENT TRUST
Trust Units Sallows, Sharon 4 11/7/2012 30 26.29 43,436 189
Insider Reporting
January 17, 2013
(2013) 36 OSCB 927
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
RIOCAN REAL ESTATE INVESTMENT TRUST
Trust Units Sallows, Sharon 4 12/7/2012 30 26.35 43,625 189
RIOCAN REAL ESTATE INVESTMENT TRUST
Trust Units Sallows, Sharon 4 11/7/2012 30 26.29 21,655 94
RIOCAN REAL ESTATE INVESTMENT TRUST
Trust Units Sallows, Sharon 4 12/7/2012 30 26.35 21,749 94
RIOCAN REAL ESTATE INVESTMENT TRUST
Trust Units Sonshine, Edward 4, 5 11/21/2012 47 26.65 -1,500
RIOCAN REAL ESTATE INVESTMENT TRUST
Trust Units Sonshine, Edward 4, 5 11/21/2012 47 26.18 76,430 -1,500
RIOCAN REAL ESTATE INVESTMENT TRUST
Trust Units Sonshine, Edward 4, 5 11/21/2012 47 26.65 -2,200
RIOCAN REAL ESTATE INVESTMENT TRUST
Trust Units Sonshine, Edward 4, 5 11/21/2012 47 26.94 49,080 -2,200
RIOCAN REAL ESTATE INVESTMENT TRUST
Trust Units Waks, Frederic Allen 5 11/7/2012 30 26.29 2,321 10
RIOCAN REAL ESTATE INVESTMENT TRUST
Trust Units Waks, Frederic Allen 5 12/7/2012 30 26.35 2,331 10
RIOCAN REAL ESTATE INVESTMENT TRUST
Trust Units Waks, Frederic Allen 5 11/7/2012 30 26.29 964 4
RIOCAN REAL ESTATE INVESTMENT TRUST
Trust Units Waks, Frederic Allen 5 12/7/2012 30 26.35 968 4
RIOCAN REAL ESTATE INVESTMENT TRUST
Trust Units Waks, Frederic Allen 5 11/7/2012 30 26.29 2,723 11
RIOCAN REAL ESTATE INVESTMENT TRUST
Trust Units Waks, Frederic Allen 5 12/7/2012 30 26.35 2,734 11
RIOCAN REAL ESTATE INVESTMENT TRUST
Trust Units Waks, Frederic Allen 5 11/7/2012 30 26.29 2,375 10
RIOCAN REAL ESTATE INVESTMENT TRUST
Trust Units Waks, Frederic Allen 5 12/7/2012 30 26.35 2,385 10
RIOCAN REAL ESTATE INVESTMENT TRUST
Trust Units Waks, Frederic Allen 5 11/7/2012 30 26.29 1,889 8
RIOCAN REAL ESTATE INVESTMENT TRUST
Trust Units Waks, Frederic Allen 5 12/7/2012 30 26.35 1,897 8
RIOCAN REAL ESTATE INVESTMENT TRUST
Trust Units Waks, Frederic Allen 5 11/7/2012 30 26.29 1,889 8
RIOCAN REAL ESTATE INVESTMENT TRUST
Trust Units Waks, Frederic Allen 5 12/7/2012 30 26.35 1,897 8
RIOCAN REAL ESTATE INVESTMENT TRUST
Trust Units Waks, Frederic Allen 5 11/7/2012 30 26.29 31,263 136
RIOCAN REAL ESTATE INVESTMENT TRUST
Trust Units Waks, Frederic Allen 5 12/7/2012 30 26.35 31,399 136
RIOCAN REAL ESTATE INVESTMENT TRUST
Trust Units Waks, Frederic Allen 5 11/21/2012 47 26.65 -763
RIOCAN REAL ESTATE INVESTMENT TRUST
Trust Units Waks, Frederic Allen 5 11/21/2012 47 26.569 93,924 -763
RIOCAN REAL ESTATE INVESTMENT TRUST
Trust Units Waks, Frederic Allen 5 11/21/2012 47 26.65 -680
RIOCAN REAL ESTATE INVESTMENT TRUST
Trust Units Waks, Frederic Allen 5 11/21/2012 47 26.94 82,488 -680
RIOCAN REAL ESTATE INVESTMENT TRUST
Restricted Equity Units (REUs)
Winograd, Charles 4 12/31/2012 30 13,047 542
Riverstone Resources Inc. Common Shares Bailes, Richard James 4 1/8/2013 51 0.205 1,124,000 100,000 Riverstone Resources Inc. Options Bailes, Richard James 4 1/8/2013 51 0.205 480,000 -100,000 Riverstone Resources Inc. Options Carter, Peter Charles 5 12/19/2012 50 525,000 Riverstone Resources Inc. Options Carter, Peter Charles 5 12/19/2012 50 1,150,000 400,000 Riverstone Resources Inc. Options Melrose, Dwayne Larry 8, 4, 5 12/19/2012 50 865,131 Riverstone Resources Inc. Options Melrose, Dwayne Larry 8, 4, 5 12/19/2012 50 1,800,000 300,000 Riverstone Resources Inc. Options Romo, I. Rodrigo A. 5 12/19/2012 50 225,000 Riverstone Resources Inc. Options Romo, I. Rodrigo A. 5 12/19/2012 50 250,000 125,000 Riverstone Resources Inc. Options Torvik, Ryan 5 12/19/2012 50 275,000 Riverstone Resources Inc. Options Torvik, Ryan 5 12/19/2012 50 650,000 150,000 Riverstone Resources Inc. Options Watson, Nolan Allan 4 1/7/2013 50 420,400 100,000 RMP Energy Inc. (formerly Orleans Energy Ltd.)
Common Shares Swift, Lloyd Charles 4 12/4/2012 10 2.55 -49,950
RMP Energy Inc. (formerly Orleans Energy Ltd.)
Common Shares Swift, Lloyd Charles 4 12/4/2012 10 2.55 -49,950
RockBridge Resources Inc. Common Shares Mathiesen, Steve 4, 5 1/11/2013 10 0.03 430,000 5,000
Rockgate Capital Corp. Common Shares Wong, Elbert Yow 5 1/2/2008 00 Rockgate Capital Corp. Common Shares Wong, Elbert Yow 5 1/2/2013 51 0.35 75,000 75,000 Rockgate Capital Corp. Options Wong, Elbert Yow 5 1/2/2013 51 200,000 -75,000
Insider Reporting
January 17, 2013
(2013) 36 OSCB 928
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Rockhaven Resources Ltd. Options Blythe, Marc Girthon 5 12/14/2012 38 1.2 260,000 -25,000
Rockland Minerals Corp. Common Shares Loree, Bryan 4, 5 1/7/2013 10 0.055 1,262,700 2,500 Rockland Minerals Corp. Common Shares Mlait, Ravinder 4, 5 1/7/2013 10 0.06 1,171,500 2,000 Rogers Communications Inc. Deferred Share Units Sirois, Charles 4 7/3/2012 30 37.7 2,576 23
Rogers Communications Inc. Deferred Share Units Sirois, Charles 4 10/3/2012 30 40.35 3,119 25
Rogers Communications Inc. Deferred Share Units Sirois, Charles 4 1/2/2013 30 45.64 3,722 27
ROI Canadian High Income Mortgage Fund (formerly ROI High Income Private Placement Fund)
Trust Units Sharpe, David Edward 5 1/4/2013 10 9.49 530 530
ROI Canadian Mortgage Income Fund (formerly ROI Private Placement Fund)
Trust Units Sharpe, David Edward 5 1/4/2013 10 9.5 500
ROI Canadian Mortgage Income Fund (formerly ROI Private Placement Fund)
Trust Units Sharpe, David Edward 5 1/4/2013 10 9.5 526 526
ROI Canadian Real Estate Fund (formerly ROI Strategic Private Placement Fund)
Trust Units Sharpe, David Edward 5 1/4/2013 10 9.65 500 500
Royal Bank of Canada Rights Director Deferred Stock Units
Beattie, William Geoffrey 4 12/31/2012 56 50,911 5,897
Royal Bank of Canada Rights RBC Bancorporation (USA)/RBC Bank (USA) Director Deferred
Beattie, William Geoffrey 4 12/31/2012 56 3,255 134
Royal Bank of Canada Common Shares Fukakusa, Janice Rose 5 1/8/2013 51 44.125 39,224 39,224 Royal Bank of Canada Common Shares Fukakusa, Janice Rose 5 1/8/2013 10 60.787 0 -39,224 Royal Bank of Canada Options Fukakusa, Janice Rose 5 1/8/2013 51 44.125 495,224 -39,224 Royal Bank of Canada Rights Director Deferred
Stock Units Gauthier, Paule 4 12/31/2012 56 47,388 3,756
Royal Bank of Canada Common Shares Hearn, Timothy James 4 1/7/2013 10 60.755 46,522 3,000 Royal Bank of Canada Rights Director Deferred
Stock Units LAMARRE, Jacques 4 12/31/2012 56 41,620 5,062
Royal Bank of Canada Rights Director Deferred Stock Units
Louie, Brandt Channing 4 12/31/2012 56 47,591 5,308
Royal Host Inc. Common Shares Armoyan, George 3 1/2/2013 10 0.92 300,400 2,000 Royal Host Inc. Common Shares Armoyan, George 3 1/3/2013 10 0.94 301,400 1,000 Royal Host Inc. Common Shares Armoyan, George 3 1/4/2013 10 0.95 302,400 1,000 Royal Host Inc. Common Shares Royal Host Inc. 1 12/31/2012 38 0.9667 35,488 32,800 Royal Host Inc. Common Shares Royal Host Inc. 1 12/31/2012 38 0.9837 4,400 -31,088 Royal Sapphire Corp. Common Shares Johal, Balbir 4 11/13/2012 00 3,040,000 Royal Sapphire Corp. Options Johal, Balbir 4 11/13/2012 00 525,000 Royce Resources Corp. Options Keep, Gordon 5 1/7/2013 50 450,000 100,000 Royce Resources Corp. Options Liland, Geir L. 4, 5 1/7/2013 50 450,000 100,000 Royce Resources Corp. Options Rennie, Julie Elizabeth 4 1/7/2013 50 450,000 100,000 Royce Resources Corp. Options Shiffman, Tom 4 1/7/2013 50 450,000 100,000 Rusoro Mining Ltd. Common Shares Agapov, Vladimir Pavlovich 4 1/10/2013 10 0.075 1,780,000 40,000
Rusoro Mining Ltd. Common Shares Hediger, Peter 4 1/9/2013 10 0.07 16,596,000 100,000 Rusoro Mining Ltd. Common Shares Hediger, Peter 4 1/10/2013 10 0.075 16,611,000 15,000 Rusoro Mining Ltd. Common Shares Hediger, Peter 4 1/11/2013 10 0.7904 16,716,000 105,000 Sabina Gold & Silver Corp. Options Bennett, Elaine 5 1/11/2013 50 2.75 1,080,000 120,000 Sabina Gold & Silver Corp. Options Goodman, Jonathan Carter 4 1/11/2013 50 2.75 500,000 100,000
Sabina Gold & Silver Corp. Options Hean, Scott Bradbury 4 1/11/2013 50 2.75 564,000 100,000 Sabina Gold & Silver Corp. Common Shares Hoeller, Nicole Raymonde 5 1/2/2013 51 2.05 47,182 45,283
Sabina Gold & Silver Corp. Common Shares Hoeller, Nicole Raymonde 5 1/3/2013 10 2.52 -3,200
Sabina Gold & Silver Corp. Common Shares Hoeller, Nicole Raymonde 5 1/3/2013 10 2.6 40,682 -6,500
Sabina Gold & Silver Corp. Common Shares Hoeller, Nicole Raymonde 5 1/3/2013 10 2.6 39,982 -700
Sabina Gold & Silver Corp. Common Shares Hoeller, Nicole Raymonde 5 1/3/2013 10 2.6 39,682 -300
Sabina Gold & Silver Corp. Common Shares Hoeller, Nicole Raymonde 5 1/4/2013 10 2.52 36,482 -3,200
Insider Reporting
January 17, 2013
(2013) 36 OSCB 929
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Sabina Gold & Silver Corp. Common Shares Hoeller, Nicole Raymonde 5 1/10/2013 10 2.77 31,482 -5,000
Sabina Gold & Silver Corp. Options Hoeller, Nicole Raymonde 5 1/2/2013 51 2.05 538,029 -200,000
Sabina Gold & Silver Corp. Options Hoeller, Nicole Raymonde 5 1/11/2013 50 2.75 658,029 120,000
Sabina Gold & Silver Corp. Options Hynes, Jason Franklin 5 1/11/2013 50 2.75 300,000 100,000 Sabina Gold & Silver Corp. Options Pease, Robert 4 1/11/2013 50 2.75 750,000 250,000 Sabina Gold & Silver Corp. Options Wakeford, John 5 1/11/2013 50 2.75 1,172,500 100,000 Sabina Gold & Silver Corp. Options Walsh, Anthony P. 6, 5 1/11/2013 50 2.75 1,350,000 100,000 Sabina Gold & Silver Corp. Options Whitton, John Francis 4 1/11/2013 50 2.75 500,000 100,000 Sabina Gold & Silver Corp. Options Wilkes, LeRoy Ellsworth 4 1/11/2013 50 2.75 597,000 120,000 Sandspring Resources Ltd. Common Shares Barnes, Phillip Gregory 4, 5 12/20/2012 10 0.4 31,071 4,900 Sandspring Resources Ltd. Common Shares Barnes, Phillip Gregory 4, 5 12/21/2012 10 0.4 31,171 100 Sandspring Resources Ltd. Common Shares Barnes, Phillip Gregory 4, 5 12/22/2012 10 0.4 31,271 100 Sandspring Resources Ltd. Common Shares Barnes, Phillip Gregory 4, 5 1/9/2013 10 0.42 33,271 2,000 SANDSTORM GOLD LTD. Options Budreski, John Philip Adrian 4 12/21/2012 50 50,000
SANDSTORM GOLD LTD. Options Budreski, John Philip Adrian 4 12/21/2012 50 470,000 50,000
Sandvine Corporation Common Shares Caputo, David 4 1/9/2013 30 1.33 67,553 2,248 Sandvine Corporation Common Shares Donnelly, Tom 5 1/9/2013 30 1.33 10,313 563 Sandvine Corporation Common Shares Hamilton, Scott 4 1/9/2013 30 1.33 17,842 197 Sandvine Corporation Common Shares Siim, Brad 5 1/9/2013 30 1.33 10,832 1,174 Santonia Energy Inc. Common Shares Grierson, Guy Carver 4 1/8/2013 00 Santonia Energy Inc. Common Shares Grierson, Guy Carver 4 1/8/2013 00 121,900 Saputo Inc. Common Shares McNaughton, Susan 7 1/3/2013 00 653 Saputo Inc. Options McNaughton, Susan 7 1/3/2013 00 55,755 Saputo Inc. Unités d'actions de
performance / Performance Share Units
McNaughton, Susan 7 1/3/2013 00
Saputo Inc. Common Shares Seideman, Cynthia 7 1/3/2013 00 Saputo Inc. Options Seideman, Cynthia 7 1/3/2013 00 Saputo Inc. Unités d'actions de
performance / Performance Share Units
Seideman, Cynthia 7 1/3/2013 00
Saputo Inc. Common Shares Yost, Kevin 7 1/3/2013 00 Saputo Inc. Options Yost, Kevin 7 1/3/2013 00 Saputo Inc. Unités d'actions de
performance / Performance Share Units
Yost, Kevin 7 1/3/2013 00
Sarama Resources Ltd. Common Shares Sun Valley Gold LLC 3 10/16/2012 10 0.9 7,600,000 1,600,000 Sarama Resources Ltd. Warrants Sun Valley Gold LLC 3 10/16/2012 10 0.9 3,050,000 800,000 Sarama Resources Ltd. Common Shares Sun Valley Gold Master
Fund, Ltd. 3 10/16/2012 10 0.9 7,600,000 1,600,000
Sarama Resources Ltd. Warrants Sun Valley Gold Master Fund, Ltd.
3 10/16/2012 10 0.9 3,050,000 800,000
Seabridge Gold Inc. Options Reynolds, Christopher Justin 5 12/14/2012 50 17.52 40,000
Seabridge Gold Inc. Options Reynolds, Christopher Justin 5 12/17/2012 50 17.52 265,000 40,000
Secure Energy Services Inc. Common Shares WADSWORTH, GEORGE 7 1/7/2013 10 10.4 1,011,305 -25,000
Selwyn Resources Ltd. Options Collins, Allan Jay 4 9/21/2012 00 Selwyn Resources Ltd. Options Collins, Allan Jay 4 10/4/2012 50 0.1 700,000 700,000 SEMAFO INC. Rights Restricted Share
Unit Blais, Jean-Paul 5 1/16/2012 30 16,206 50
SEMAFO INC. Rights Restricted Share Unit
Blais, Jean-Paul 5 7/16/2012 30 16,272 66
SEMAFO INC. Rights Restricted Share Unit
Crevier, Michel 5 1/16/2012 30 30,416 93
SEMAFO INC. Rights Restricted Share Unit
Crevier, Michel 5 7/16/2012 30 30,541 125
SEMAFO INC. Rights Restricted Share Unit
Desormeaux, Benoit 4, 5 1/16/2012 30 66,487 204
SEMAFO INC. Rights Restricted Share Unit
Desormeaux, Benoit 4, 5 7/16/2012 30 66,759 272
SEMAFO INC. Rights Restricted Share Unit
La Salle, Benoit 4 3/15/2011 56 91,913
SEMAFO INC. Rights Restricted Share Unit
La Salle, Benoit 4 3/15/2011 56 91,913 91,913
Insider Reporting
January 17, 2013
(2013) 36 OSCB 930
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
SEMAFO INC. Rights Restricted Share Unit
La Salle, Benoit 4 1/16/2012 30 92,196 283
SEMAFO INC. Rights Restricted Share Unit
La Salle, Benoit 4 7/16/2012 30 92,574 378
SEMAFO INC. Rights Restricted Share Unit
Lamarre, Jean 4 1/16/2012 30 39,462 121
SEMAFO INC. Rights Restricted Share Unit
Lamarre, Jean 4 7/16/2012 30 39,624 162
SEMAFO INC. Rights Restricted Share Unit
Mélanson, Alain 5 1/16/2012 30 13,115 40
SEMAFO INC. Rights Restricted Share Unit
Mélanson, Alain 5 7/16/2012 30 13,169 54
SEMAFO INC. Rights Restricted Share Unit
Milette, Martin 5 1/16/2012 30 19,486 60
SEMAFO INC. Rights Restricted Share Unit
Milette, Martin 5 7/16/2012 30 19,566 80
SEMAFO INC. Rights Restricted Share Unit
Moryoussef, Patrick 5 1/16/2012 30 31,325 96
SEMAFO INC. Rights Restricted Share Unit
Moryoussef, Patrick 5 7/16/2012 30 31,453 128
SEMAFO INC. Rights Restricted Share Unit
Paul-Hus, Éric 5 1/16/2012 30 13,002 40
SEMAFO INC. Rights Restricted Share Unit
Paul-Hus, Éric 5 7/16/2012 30 13,055 53
SEMAFO INC. Rights Restricted Share Unit
Vinet, Éric 5 1/16/2012 30 21,501 66
SEMAFO INC. Rights Restricted Share Unit
Vinet, Éric 5 7/16/2012 30 21,589 88
SENSIO Technologies Inc. Options Goineau, Yvan 4 1/9/2013 52 0.43 35,000 -10,000 SENSIO Technologies Inc. Options McDonald, James 4 12/18/2012 52 35,000 -10,000 SENSIO Technologies Inc. Options St-Pierre, Ghislain 4 12/18/2012 52 0.43 35,000 -10,000 ShawCor Ltd. Deferred Share Unit Robinson, Paul Geoffrey 4 12/31/2012 56 7,047 2,310 ShawCor Ltd. Deferred Share Unit valiquette, evelyn charlene 4 1/9/2013 56 4,935 1,417 Sherritt International Corporation
Deferred Share Units Delaney, Ian William 4 1/2/2013 56 125,196 8,900
Sherritt International Corporation
Deferred Share Units Gillin, Robert Peter Charles 4 1/2/2013 56 38,615 16,000
Sherritt International Corporation
Deferred Share Units Lalonde, Marc 4 1/2/2013 56 62,449 16,000
Sherritt International Corporation
Deferred Share Units Lapthorne, Sir Richard Douglas
4 1/2/2013 56 24,691 16,000
Sherritt International Corporation
Deferred Share Units Marcoux, Edythe Alexia 4 1/2/2013 56 52,564 16,000
Sherritt International Corporation
Deferred Share Units Michel, Bernard Maurice 4 1/2/2013 56 50,217 16,000
Sherritt International Corporation
Deferred Share Units Moses, John Ross 4 1/2/2013 56 38,615 16,000
Sherritt International Corporation
Deferred Share Units Stephen, Harold Stewart 4 5/24/2012 00
Sherritt International Corporation
Deferred Share Units Stephen, Harold Stewart 4 1/2/2013 56 16,000 16,000
Sierra Metals Inc. (formerly Dia Bras Exploration Inc.)
Restricted Share Unit DONNELLY, JOHN 4 9/15/2011 00
Sierra Metals Inc. (formerly Dia Bras Exploration Inc.)
Restricted Share Unit DONNELLY, JOHN 4 1/1/2013 56 44,370 44,370
Sierra Metals Inc. (formerly Dia Bras Exploration Inc.)
Restricted Share Unit DONNELLY, JOHN 4 1/1/2013 56 107,490 63,120
Sierra Metals Inc. (formerly Dia Bras Exploration Inc.)
Common Shares Piccini Velarde, Juan Fernando
5 7/14/2011 00
Sierra Metals Inc. (formerly Dia Bras Exploration Inc.)
Common Shares Piccini Velarde, Juan Fernando
5 1/7/2013 57 2.58 28,500 28,500
Sierra Metals Inc. (formerly Dia Bras Exploration Inc.)
Restricted Share Unit Piccini Velarde, Juan Fernando
5 1/1/2013 56 254,000 100,000
Sierra Metals Inc. (formerly Dia Bras Exploration Inc.)
Restricted Share Unit Piccini Velarde, Juan Fernando
5 1/7/2013 57 2.58 225,500 -28,500
Sierra Metals Inc. (formerly Dia Bras Exploration Inc.)
Common Shares Tellechea Salido, Daniel 4, 5 4/3/2007 00
Sierra Metals Inc. (formerly Dia Bras Exploration Inc.)
Common Shares Tellechea Salido, Daniel 4, 5 1/7/2013 57 2.53 43,500 43,500
Sierra Metals Inc. (formerly Dia Bras Exploration Inc.)
Restricted Share Unit Tellechea Salido, Daniel 4, 5 1/1/2013 56 364,114 190,114
Sierra Metals Inc. (formerly Dia Bras Exploration Inc.)
Restricted Share Unit Tellechea Salido, Daniel 4, 5 1/7/2013 57 2.53 320,614 -43,500
Insider Reporting
January 17, 2013
(2013) 36 OSCB 931
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Silver Predator Corp. Common Shares Lupien, William A. 3 1/2/2013 10 0.12 6,253,008 249,000 Silver Predator Corp. Common Shares Lupien, William A. 3 1/3/2013 10 0.12 6,753,008 500,000 Silvermet Inc. Common Shares Atacan, Ian D 5 1/3/2013 10 0.07 150,000 42,000 Sniper Resources Ltd. Common Shares Baxter, Scott David 3, 4, 5 1/8/2013 10 0.055 4,918,880 1,000 Sniper Resources Ltd. Common Shares Brent, Petterson 5 1/7/2013 10 0.05 378,800 -41,000 Solarvest BioEnergy Inc. Common Shares Greenham, Gerri Joseph 4 10/24/2012 11 0.2 5,197,500 500,000 Solomon Resources Limited Options Stone, David M. 4 11/19/2012 00
Solomon Resources Limited Options Stone, David M. 4 12/14/2012 50 300,000
Solomon Resources Limited Options Stone, David M. 4 12/14/2012 50 300,000 300,000
Southern Hemisphere Mining Limited
Options BILLINGSLEY, RICHARD JOHN
4 1/10/2013 52 300,000 -100,000
Southern Hemisphere Mining Limited
Options Craig, David Anthony 4 1/10/2013 52 1,000,000 -100,000
Southern Hemisphere Mining Limited
Options Pearson, James 4 1/10/2013 52 1,335,969 -750,000
Southern Hemisphere Mining Limited
Options Tennant, Trevor 4 1/10/2013 52 2,713,441 -1,000,000
Southern Pacific Resource Corp.
Options Antony, David Michael 4, 5 1/6/2013 52 1.9 1,380,000 -400,000
Sparton Resources Inc. Options Carter, Walter Brian 4 11/12/2012 52 325,000 -150,000 Spot Coffee (Canada) Ltd. Common Shares Lorenzo, John Michael 4 1/4/2013 10 0.16 6,813,574 10,000 Spot Coffee (Canada) Ltd. Common Shares Lorenzo, John Michael 4 1/7/2013 10 0.15 6,825,574 12,000 Spot Coffee (Canada) Ltd. Common Shares Lorenzo, John Michael 4 1/9/2013 10 0.16 6,835,574 10,000 Spot Coffee (Canada) Ltd. Common Shares Lorenzo, John Michael 4 1/10/2013 10 0.15 6,845,574 10,000 Spot Coffee (Canada) Ltd. Common Shares Lorenzo, John Michael 4 1/11/2013 10 0.14 6,875,574 30,000 Sprott Resource Corp. Common Shares Dimitriadis, Paul 5 1/8/2013 10 4.4 54,000 18,000 Sprott Resource Corp. Common Shares Dimitriadis, Paul 5 6/1/2008 00 Sprott Resource Corp. Common Shares Dimitriadis, Paul 5 1/8/2013 10 4.4 5,500 5,500 Sprott Resource Corp. Common Shares Dimitriadis, Paul 5 1/9/2013 10 4.38 73,000 29,000 Sprott Resource Corp. Common Shares Dimitriadis, Paul 5 6/1/2008 00 Sprott Resource Corp. Common Shares Dimitriadis, Paul 5 1/8/2013 10 4.385 5,500 5,500 Sprott Resource Corp. Common Shares Sprott Resource Corp. 1 12/3/2012 38 3.6015 19,043 19,043 Sprott Resource Corp. Common Shares Sprott Resource Corp. 1 12/3/2012 38 3.6015 0 -19,043 Sprott Resource Corp. Common Shares Sprott Resource Corp. 1 12/4/2012 38 3.5982 19,043 19,043 Sprott Resource Corp. Common Shares Sprott Resource Corp. 1 12/4/2012 38 3.5982 0 -19,043 Sprott Resource Corp. Common Shares Sprott Resource Corp. 1 12/5/2012 38 3.5746 19,043 19,043 Sprott Resource Corp. Common Shares Sprott Resource Corp. 1 12/5/2012 38 3.5746 0 -19,043 Sprott Resource Corp. Common Shares Sprott Resource Corp. 1 12/6/2012 38 3.5655 19,043 19,043 Sprott Resource Corp. Common Shares Sprott Resource Corp. 1 12/6/2012 38 3.5655 0 -19,043 Sprott Resource Corp. Common Shares Sprott Resource Corp. 1 12/7/2012 38 3.5626 19,043 19,043 Sprott Resource Corp. Common Shares Sprott Resource Corp. 1 12/7/2012 38 3.5626 0 -19,043 Sprott Resource Corp. Common Shares Sprott Resource Corp. 1 12/10/2012 38 3.5553 19,043 19,043 Sprott Resource Corp. Common Shares Sprott Resource Corp. 1 12/10/2012 38 3.5553 0 -19,043 Sprott Resource Corp. Common Shares Sprott Resource Corp. 1 12/11/2012 38 3.5358 17,243 17,243 Sprott Resource Corp. Common Shares Sprott Resource Corp. 1 12/11/2012 38 3.5358 0 -17,243 Sprott Resource Corp. Common Shares Sprott Resource Corp. 1 12/12/2012 38 3.9138 19,043 19,043 Sprott Resource Corp. Common Shares Sprott Resource Corp. 1 12/12/2012 38 3.9138 0 -19,043 Sprott Resource Corp. Common Shares Sprott Resource Corp. 1 12/13/2012 38 3.907 19,043 19,043 Sprott Resource Corp. Common Shares Sprott Resource Corp. 1 12/13/2012 38 3.907 0 -19,043 Sprott Resource Corp. Common Shares Sprott Resource Corp. 1 12/14/2012 38 3.8909 19,043 19,043 Sprott Resource Corp. Common Shares Sprott Resource Corp. 1 12/14/2012 38 3.8909 0 -19,043 Sprott Resource Corp. Common Shares Sprott Resource Corp. 1 12/17/2012 38 3.9394 19,043 19,043 Sprott Resource Corp. Common Shares Sprott Resource Corp. 1 12/17/2012 38 3.9394 0 -19,043 Sprott Resource Corp. Common Shares Sprott Resource Corp. 1 12/19/2012 38 4.191 19,043 19,043 Sprott Resource Corp. Common Shares Sprott Resource Corp. 1 12/19/2012 38 4.191 0 -19,043 Sprott Resource Corp. Common Shares Sprott Resource Corp. 1 12/20/2012 38 4.2398 19,043 19,043 Sprott Resource Corp. Common Shares Sprott Resource Corp. 1 12/20/2012 38 4.2398 0 -19,043 Sprott Resource Corp. Common Shares Sprott Resource Corp. 1 12/21/2012 38 4.2845 19,043 19,043 Sprott Resource Corp. Common Shares Sprott Resource Corp. 1 12/21/2012 38 4.2845 0 -19,043 Sprott Resource Corp. Common Shares Sprott Resource Corp. 1 12/24/2012 38 4.3525 19,043 19,043 Sprott Resource Corp. Common Shares Sprott Resource Corp. 1 12/24/2012 38 4.3525 0 -19,043 Sprott Resource Corp. Common Shares Sprott Resource Corp. 1 12/27/2012 38 4.3411 19,043 19,043 Sprott Resource Corp. Common Shares Sprott Resource Corp. 1 12/27/2012 38 4.3411 0 -19,043 Sprott Resource Corp. Common Shares Sprott Resource Corp. 1 12/28/2012 38 4.3019 19,043 19,043 Sprott Resource Corp. Common Shares Sprott Resource Corp. 1 12/28/2012 38 4.3019 0 -19,043 Sprott Resource Corp. Common Shares Sprott Resource Corp. 1 12/31/2012 38 4.2869 19,043 19,043 Sprott Resource Corp. Common Shares Sprott Resource Corp. 1 12/31/2012 38 4.2869 0 -19,043 SQI Diagnostics Inc. Options Morris, Andrew Charles 5 1/9/2013 50 0.45 425,000 175,000 SQI Diagnostics Inc. Options Mountain, Paul 4 1/9/2013 50 0.45 175,000 70,000 SQI Diagnostics Inc. Options Schneider, Eric Norman 4, 5 1/10/2013 50 140,000 70,000 SQI Diagnostics Inc. Options Winkley, Peter D. 4 1/10/2013 50 0.45 175,000 70,000
Insider Reporting
January 17, 2013
(2013) 36 OSCB 932
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Stantec Inc. Common Shares Deferred Share Units
Ammerman, Douglas Keith 4 12/31/2012 56 27.57 2,400 800
Stantec Inc. Common Shares Deferred Share Units
Ammerman, Douglas Keith 4 12/31/2012 56 30.77 2,411 11
Stantec Inc. Common Shares Deferred Share Units
Ammerman, Douglas Keith 4 12/31/2012 56 31.8 3,211 800
Stantec Inc. Common Shares Deferred Share Units
Ammerman, Douglas Keith 4 12/31/2012 56 27.91 3,228 17
Stantec Inc. Common Shares Deferred Share Units
Ammerman, Douglas Keith 4 12/31/2012 56 29 4,028 800
Stantec Inc. Common Shares Deferred Share Units
Ammerman, Douglas Keith 4 12/31/2012 56 34.69 4,045 17
Stantec Inc. Common Shares Deferred Share Units
Ammerman, Douglas Keith 4 12/31/2012 56 33.5 4,845 800
Stantec Inc. Common Shares Lefaivre, Daniel Joseph 7 12/31/2012 30 30.81 7,291 105 Stantec Inc. Common Shares Lefaivre, Daniel Joseph 7 12/31/2012 30 31.34 13,464 1,307 Stella-Jones Inc. Restricted Stock Units
(RSU's) Downy, William Garfield Jr. 7 12/18/2012 59 61.58 -1,533
Stella-Jones Inc. Restricted Stock Units (RSU's)
Downy, William Garfield Jr. 7 12/18/2012 59 61.58 854 -1,533
Stella-Jones Inc. Restricted Stock Units (RSU's)
Eichenbaum, Marla 5 12/18/2012 59 61.58 -1,550
Stella-Jones Inc. Restricted Stock Units (RSU's)
Eichenbaum, Marla 5 12/18/2012 59 61.58 878 -1,550
Stella-Jones Inc. Restricted Stock Units (RSU's)
Fox, Doug 7 12/18/2012 59 61.58 -2,340
Stella-Jones Inc. Restricted Stock Units (RSU's)
Fox, Doug 7 12/18/2012 59 61.58 1,525 -2,340
Stella-Jones Inc. Restricted Stock Units (RSU's)
Godin, Rémi 5 12/18/2012 59 61.58 -1,550
Stella-Jones Inc. Restricted Stock Units (RSU's)
Godin, Rémi 5 12/18/2012 59 61.58 854 -1,550
Stella-Jones Inc. Restricted Stock Units (RSU's)
Hedding, Kris David 7 12/18/2012 59 61.58 -1,301
Stella-Jones Inc. Restricted Stock Units (RSU's)
Hedding, Kris David 7 12/18/2012 59 61.58 744 -1,301
Stella-Jones Inc. Restricted Stock Units (RSU's)
Jones, Ian 7 12/18/2012 59 61.58 -1,950
Stella-Jones Inc. Restricted Stock Units (RSU's)
Jones, Ian 7 12/18/2012 59 61.58 952 -1,950
Stella-Jones Inc. Restricted Stock Units (RSU's)
McManus, Brian 4, 5 12/18/2012 59 61.58 -20,000
Stella-Jones Inc. Restricted Stock Units (RSU's)
McManus, Brian 4, 5 12/18/2012 59 61.58 10,000 -20,000
Stella-Jones Inc. Restricted Stock Units (RSU's)
Murray, Gordon 5 11/1/1997 00
Stella-Jones Inc. Restricted Stock Units (RSU's)
Murray, Gordon 5 11/1/1997 00 1,429
Stella-Jones Inc. Restricted Stock Units (RSU's)
Murray, Gordon 5 3/19/2012 97 41.8 830
Stella-Jones Inc. Restricted Stock Units (RSU's)
Murray, Gordon 5 3/19/2012 97 41.8 2,259 830
Stella-Jones Inc. Restricted Stock Units (RSU's)
Murray, Gordon 5 12/18/2012 59 61.58 -1,429
Stella-Jones Inc. Restricted Stock Units (RSU's)
Murray, Gordon 5 12/18/2012 59 61.58 830 -1,429
Stella-Jones Inc. Restricted Stock Units (RSU's)
Poirier, Martin 5 12/18/2012 59 61.58 -1,550
Stella-Jones Inc. Restricted Stock Units (RSU's)
Poirier, Martin 5 12/18/2012 59 61.58 732 -1,550
Stella-Jones Inc. Restricted Stock Units (RSU's)
Ritchie, Glen 7 12/18/2012 59 61.58 -986
Stella-Jones Inc. Restricted Stock Units (RSU's)
Ritchie, Glen 7 12/18/2012 59 61.58 564 -986
Stella-Jones Inc. Restricted Stock Units (RSU's)
Thompson, Richard 7 12/18/2012 59 61.58 -1,550
Stella-Jones Inc. Restricted Stock Units (RSU's)
Thompson, Richard 7 12/18/2012 59 61.58 732 -1,550
Stella-Jones Inc. Restricted Stock Units (RSU's)
Vachon, Eric 7 12/18/2012 59 61.58 -1,311
Stella-Jones Inc. Restricted Stock Units (RSU's)
Vachon, Eric 7 12/18/2012 59 61.58 781 -1,311
Sterling Resources Ltd. Common Shares Vitol Holding B.V. 3 1/8/2013 11 31,645,042 2,418,500
Insider Reporting
January 17, 2013
(2013) 36 OSCB 933
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Stillwater Mining Company Common Shares Bee, George Michael 4 1/8/2013 00 Storm Resources Ltd. Common Shares Lavergne, Brian 4, 5 1/11/2013 30 1.68 1,661,460 12,083 Strait Minerals Inc. Options Gammon, John Blundell 4 1/11/2013 50 400,000 75,000 Strait Minerals Inc. Options Gulliver, Austin 4 1/11/2013 50 400,000 75,000 Strait Minerals Inc. Options Johnstone, William Roy 4, 5 1/11/2013 50 450,000 100,000 Strata Minerals Inc. Common Shares Agro, Hugh 4 1/3/2013 10 0.09 1,810,500 23,000 Strata-X Energy Ltd. Common Shares Hettich, David 5 1/10/2013 00 29,215 Strata-X Energy Ltd. Options Hettich, David 5 1/10/2013 00 350,000 Strata-X Energy Ltd. Common Shares Prefontaine, Ronald Francis 4 1/10/2013 36 0.25 4,520,000 4,000,000
Strata-X Energy Ltd. Convertible Debentures 5%
Prefontaine, Ronald Francis 4 1/10/2013 36 0.25 $2,600,000 ($4,000,000)
Strategic Oil & Gas Ltd. Common Shares Schoch, Arn 4 1/4/2013 10 1.16 2,320,191 -10,000 Strategic Oil & Gas Ltd. Common Shares Smith, Cody Louis 5 11/14/2012 00 Strategic Oil & Gas Ltd. Options Smith, Cody Louis 5 11/14/2012 00 500,000 Stream Oil & Gas Ltd. Common Shares Plater, Paul 5 1/8/2013 00 375,900 Stream Oil & Gas Ltd. Common Shares Plater, Paul 5 1/8/2013 10 20,850 Stream Oil & Gas Ltd. Common Shares Plater, Paul 5 1/8/2013 10 20,850 Stream Oil & Gas Ltd. Common Shares Plater, Paul 5 1/8/2013 10 20,000 Stream Oil & Gas Ltd. Common Shares Plater, Paul 5 1/8/2013 10 1.14 20,000 Stream Oil & Gas Ltd. Common Shares Plater, Paul 5 1/8/2013 10 395,900 20,000 Stream Oil & Gas Ltd. Common Shares Plater, Paul 5 1/8/2013 10 2.52 73,690 Stream Oil & Gas Ltd. Common Shares Plater, Paul 5 1/8/2013 10 2.52 29,200 Stream Oil & Gas Ltd. Common Shares Plater, Paul 5 1/8/2013 10 425,100 29,200 Stream Oil & Gas Ltd. Common Shares Plater, Paul 5 1/8/2013 10 429,200 4,100 Stream Oil & Gas Ltd. Common Shares Plater, Paul 5 1/8/2013 10 434,700 5,500 Stream Oil & Gas Ltd. Options Plater, Paul 5 1/8/2013 00 150,000 Stream Oil & Gas Ltd. Common Shares Tognetti, John 3 1/7/2013 10 0.78 24,500 10,000 Sun Life Financial Inc. Common Shares Blair, Carolyn Diane 5 5/1/2012 00 Sun Life Financial Inc. Common Shares Blair, Carolyn Diane 5 12/31/2012 30 23.605 917 917 Sun Life Financial Inc. Common Shares Connor, Dean 4, 5 12/31/2012 30 23.067 3,312 1,109 Sun Life Financial Inc. Common Shares De Paoli, Mary 5 12/31/2012 30 23.481 5,156 1,325 Sun Life Financial Inc. Common Shares Dougherty, Kevin 5 12/31/2012 30 22.962 205 12 Sun Life Financial Inc. Common Shares Freyne, Colm Joseph 5 12/31/2012 30 22.991 4,211 1,058 Sun Life Financial Inc. Common Shares Kicinski, Stephen 5 12/31/2012 30 22.99 1,636 437 Sun Life Financial Inc. Common Shares Strain, Kevin 5 12/31/2012 30 23.463 3,076 490 Suncor Energy Inc. Options SunShare 2012 Axford, Eric Charles 5 1/8/2013 52 47.55 13,360 -20,040 Suncor Energy Inc. Options Key
Contributor/Executive Stock Options
Demosky, Barton Wade 5 1/8/2013 99 31,466 -23,936
Suncor Energy Inc. Options SunShare 2012 Demosky, Barton Wade 5 1/8/2013 52 47.55 8,800 -13,200 Suncor Energy Inc. Options SunShare 2012 Demosky, Barton Wade 5 1/8/2013 99 32,736 23,936 Suncor Energy Inc. Options SunShare 2012 Demosky, Barton Wade 5 1/8/2013 52 49.36 18,374 -14,362 Suncor Energy Inc. Options SunShare 2012 Gardner, Paul Douglas 5 1/8/2013 52 48.17 19,772 -944 Suncor Energy Inc. Options SunShare 2012 Gardner, Paul Douglas 5 1/8/2013 52 47.55 15,452 -4,320 Suncor Energy Inc. Options SunShare 2012 Gardner, Paul Douglas 5 1/8/2013 52 56.23 8,287 -7,165 Suncor Energy Inc. Options SunShare 2012 Little, Mark Stephen 5 1/8/2013 52 47.55 19,048 -28,572 Suncor Energy Inc. Options SunShare 2012 MacSween, Michael
Roderick 5 1/8/2013 52 47.55 11,600 -17,400
Suncor Energy Inc. Options SunShare 2012 Odegaard, Janice 5 1/8/2013 52 47.55 8,800 -13,200 Suncor Energy Inc. Options SunShare 2012 Smith, Kristopher Peter 5 1/8/2013 52 47.55 20,006 -8,136 Suncor Energy Inc. Options SunShare 2012 Smith, Kristopher Peter 5 1/8/2013 52 49.36 11,257 -8,749 Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 12/3/2012 38 32.481 246,200 246,200 Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 12/3/2012 38 0 -246,200 Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 12/4/2012 38 32.315 247,500 247,500 Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 12/4/2012 38 0 -247,500 Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 12/5/2012 38 32.605 245,300 245,300 Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 12/5/2012 38 0 -245,300 Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 12/6/2012 38 32.558 245,700 245,700 Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 12/6/2012 38 0 -245,700 Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 12/7/2012 38 32.328 247,400 247,400 Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 12/7/2012 38 0 -247,400 Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 12/10/2012 38 32.096 249,200 249,200 Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 12/10/2012 38 0 -249,200 Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 12/11/2012 38 32.134 248,900 248,900 Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 12/11/2012 38 0 -248,900 Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 12/12/2012 38 32.141 248,900 248,900 Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 12/12/2012 38 0 -248,900 Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 12/13/2012 38 31.715 252,200 252,200 Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 12/13/2012 38 0 -252,200 Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 12/14/2012 38 31.86 251,000 251,000 Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 12/14/2012 38 0 -251,000 Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 12/17/2012 38 32.08 249,300 249,300 Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 12/17/2012 38 0 -249,300
Insider Reporting
January 17, 2013
(2013) 36 OSCB 934
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 12/18/2012 38 32.448 246,500 246,500 Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 12/18/2012 38 0 -246,500 Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 12/19/2012 38 32.8 243,800 243,800 Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 12/19/2012 38 0 -243,800 Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 12/20/2012 38 32.688 244,700 244,700 Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 12/20/2012 38 0 -244,700 Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 12/21/2012 38 32.589 245,400 245,400 Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 12/21/2012 38 0 -245,400 Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 12/24/2012 38 32.574 245,500 245,500 Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 12/24/2012 38 0 -245,500 Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 12/27/2012 38 32.299 247,600 247,600 Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 12/27/2012 38 0 -247,600 Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 12/28/2012 38 32.27 247,900 247,900 Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 12/28/2012 38 0 -247,900 Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 12/31/2012 38 32.448 246,500 246,500 Suncor Energy Inc. Common Shares Suncor Energy Inc. 1 12/31/2012 38 0 -246,500 Suncor Energy Inc. Options SunShare 2012 Williams, Steven Walter 5 1/8/2013 52 44,000 -66,000 Sunshine Oilsands Ltd. Common Shares Class A Fong, Raymond 4 1/9/2013 51 0.1375 1,600,000 200,000
Sunshine Oilsands Ltd. Options Fong, Raymond 4 1/9/2013 51 1,010,000 -200,000 Sunshine Oilsands Ltd. Common Shares Class A Hancheruk, Jason James 5 1/4/2013 51 0.1375 1,035,900 900,000
Sunshine Oilsands Ltd. Common Shares Class A Hancheruk, Jason James 5 1/7/2013 10 0.41 985,900 -50,000
Sunshine Oilsands Ltd. Options Hancheruk, Jason James 5 1/4/2013 51 2,973,900 -900,000 Sunshine Oilsands Ltd. Common Shares Class A Hibberd, Michael John 4, 5 1/9/2013 51 0.1375 64,206,000 7,146,000
Sunshine Oilsands Ltd. Common Shares Class A Hibberd, Michael John 4, 5 1/9/2013 51 0.2 65,610,000 1,404,000
Sunshine Oilsands Ltd. Options Hibberd, Michael John 4, 5 1/9/2013 51 0.1375 18,924,000 -7,146,000 Sunshine Oilsands Ltd. Options Hibberd, Michael John 4, 5 1/9/2013 51 0.2 17,520,000 -1,404,000 Sunshine Oilsands Ltd. Common Shares Class A Pawluk, Richard Walter 5 1/9/2013 51 0.1375 2,941,000 200,000
Sunshine Oilsands Ltd. Options Pawluk, Richard Walter 5 1/9/2013 51 270,000 -200,000 Sunshine Oilsands Ltd. Common Shares Class A SETH, WAZIR, CHAND 4 5/1/2012 00
Sunshine Oilsands Ltd. Common Shares Class A SETH, WAZIR, CHAND 4 1/9/2013 51 0.1375 1,200,000 1,200,000
Sunshine Oilsands Ltd. Options SETH, WAZIR, CHAND 4 1/9/2013 51 1,010,000 -1,200,000 Sunshine Oilsands Ltd. Common Shares Class A Shen, Songning 4 1/9/2013 51 0.1375 59,535,660 7,146,000
Sunshine Oilsands Ltd. Options Shen, Songning 4 1/9/2013 51 18,924,000 -7,146,000 Sunshine Oilsands Ltd. Common Shares Class A Turnbull, Gregory George 4 1/9/2013 51 0.14 200,000
Sunshine Oilsands Ltd. Common Shares Class A Turnbull, Gregory George 4 1/9/2013 51 0.1375 10,600,000 200,000
Sunshine Oilsands Ltd. Options Turnbull, Gregory George 4 1/9/2013 51 -200,000 Sunshine Oilsands Ltd. Options Turnbull, Gregory George 4 1/9/2013 51 1,110,000 -200,000 Sunwah International Limited Options Fung, Robert Arthur 4 1/11/2013 56 0.301 503,892 25,748
Sunwah International Limited Rights Deferred Share Unit
LAM, Lee G. 4 1/9/2013 30 80,209 21,595
Sunwah International Limited Rights Deferred Share Unit
LAW, Elizabeth 4 1/9/2013 30 80,658 19,934
Sunwah International Limited Rights Deferred Share Units
Scandrett, Terence Parry 4 1/9/2013 56 186,315 16,612
Sunwah International Limited Rights Deferred Share Units
Squibb, Geoffrey Wayne 4 1/9/2013 30 0.301 415,129 19,934
Super Nova Minerals Corp. Common Shares Wiese, Wolfgang 4, 6, 5 1/8/2013 10 0.085 2,459,050 10,000
Super Nova Minerals Corp. Common Shares Wiese, Wolfgang 4, 6, 5 1/10/2013 10 0.08 2,469,050 10,000
Superior Copper Corporation (formerly, Cenit Corporation)
Common Shares Moss, Roger 4 12/28/2012 16 0.12 125,000
Superior Copper Corporation (formerly, Cenit Corporation)
Common Shares Moss, Roger 4 12/28/2012 16 0.12 150,000 115,000
Superior Copper Corporation (formerly, Cenit Corporation)
Warrants Moss, Roger 4 12/28/2012 16 62,000
Superior Copper Corporation (formerly, Cenit Corporation)
Warrants Moss, Roger 4 12/28/2012 16 57,500 57,500
Insider Reporting
January 17, 2013
(2013) 36 OSCB 935
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Superior Plus Corp. Convertible Debentures 5.85%
Billing, Grant Donald 4 1/3/2013 36 $343,000 ($687,000)
Superior Plus Corp. Convertible Debentures 5.85%
Gish, Norman Richard 4 1/3/2013 38 $17,000 ($33,000)
Synex International Inc. Common Shares Stephens, Alan William 4, 5 1/10/2013 10 0.53 430,555 -10,000 TAG Oil Ltd Common Shares TAG Oil Ltd. 1 1/7/2013 38 0 -20,000 Tamarack Valley Energy Ltd. Common Shares Gundesen, Niels 5 1/9/2013 10 2.44 63,551 4,000
Tamarack Valley Energy Ltd. Common Shares Hozjan, Ronald Steve 5 1/9/2013 10 2.42 4,000 2,000
Tamarack Valley Energy Ltd. Common Shares Hozjan, Ronald Steve 5 1/9/2013 10 2.45 6,000 2,000
Tamarack Valley Energy Ltd. Common Shares Schmidt, Brian Leslie 5 1/9/2013 10 2.45 79,869 4,080
Tartisan Resources Corp. Common Shares Appleby, D. Mark 4, 5 1/4/2013 10 0.12 1,010,000 10,000 Taseko Mines Limited Common Shares McManus, John 5 1/8/2013 51 1 126,000 50,000 Taseko Mines Limited Common Shares McManus, John 5 1/8/2013 10 3.3 81,000 -45,000 Taseko Mines Limited Common Shares McManus, John 5 1/8/2013 10 3.31 76,000 -5,000 Taseko Mines Limited Common Shares McManus, John 5 1/9/2013 51 1 126,000 50,000 Taseko Mines Limited Common Shares McManus, John 5 1/9/2013 10 3.36 123,400 -2,600 Taseko Mines Limited Common Shares McManus, John 5 1/9/2013 10 3.39 81,400 -42,000 Taseko Mines Limited Common Shares McManus, John 5 1/9/2013 10 3.4 76,000 -5,400 Taseko Mines Limited Options McManus, John 5 1/8/2013 51 1 1,340,000 -50,000 Taseko Mines Limited Options McManus, John 5 1/9/2013 51 1 1,290,000 -50,000 Taylor North American Equity Opportunities Fund
Units Taylor North American Equity Opportunities Fund
1 12/4/2012 38 10.11 3,000 3,000
Taylor North American Equity Opportunities Fund
Units Taylor North American Equity Opportunities Fund
1 12/4/2012 38 10.11 0 -3,000
Taylor North American Equity Opportunities Fund
Units Taylor North American Equity Opportunities Fund
1 12/21/2012 38 10.32 3,000 3,000
Taylor North American Equity Opportunities Fund
Units Taylor North American Equity Opportunities Fund
1 12/21/2012 38 10.32 0 -3,000
Taylor North American Equity Opportunities Fund
Units Taylor North American Equity Opportunities Fund
1 12/28/2012 38 10.2 1,500 1,500
Taylor North American Equity Opportunities Fund
Units Taylor North American Equity Opportunities Fund
1 12/28/2012 38 10.2 0 -1,500
Taylor North American Equity Opportunities Fund
Units Taylor North American Equity Opportunities Fund
1 12/31/2012 38 10.2 500 500
Taylor North American Equity Opportunities Fund
Units Taylor North American Equity Opportunities Fund
1 12/31/2012 38 10.2 0 -500
Tech Leaders Income Fund Units Tech Leaders Income Fund 1 12/3/2012 38 7.8 3,000 3,000
Tech Leaders Income Fund Units Tech Leaders Income Fund 1 12/3/2012 38 7.8 0 -3,000
Tech Leaders Income Fund Units Tech Leaders Income Fund 1 12/5/2012 38 7.75 3,000 3,000
Tech Leaders Income Fund Units Tech Leaders Income Fund 1 12/5/2012 38 7.75 0 -3,000
Tech Leaders Income Fund Units Tech Leaders Income Fund 1 12/5/2012 38 7.6 3,000 3,000
Tech Leaders Income Fund Units Tech Leaders Income Fund 1 12/5/2012 38 7.6 0 -3,000
Tech Leaders Income Fund Units Tech Leaders Income Fund 1 12/10/2012 38 7.64 3,000 3,000
Tech Leaders Income Fund Units Tech Leaders Income Fund 1 12/10/2012 38 7.64 0 -3,000
Tech Leaders Income Fund Units Tech Leaders Income Fund 1 12/11/2012 38 7.85 3,000 3,000
Tech Leaders Income Fund Units Tech Leaders Income Fund 1 12/11/2012 38 7.85 0 -3,000
Tech Leaders Income Fund Units Tech Leaders Income Fund 1 12/12/2012 38 7.8 1,000 1,000
Tech Leaders Income Fund Units Tech Leaders Income Fund 1 12/12/2012 38 7.8 0 -1,000
Tech Leaders Income Fund Units Tech Leaders Income Fund 1 12/13/2012 38 7.8 600 600
Tech Leaders Income Fund Units Tech Leaders Income Fund 1 12/13/2012 38 7.8 0 -600
Tech Leaders Income Fund Units Tech Leaders Income Fund 1 12/13/2012 38 7.82 2,400 2,400
Tech Leaders Income Fund Units Tech Leaders Income Fund 1 12/13/2012 38 7.82 0 -2,400
Tech Leaders Income Fund Units Tech Leaders Income Fund 1 12/17/2012 38 7.83 3,000 3,000
Insider Reporting
January 17, 2013
(2013) 36 OSCB 936
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Tech Leaders Income Fund Units Tech Leaders Income Fund 1 12/17/2012 38 7.83 0 -3,000
Tech Leaders Income Fund Units Tech Leaders Income Fund 1 12/19/2012 38 7.94 2,400 2,400
Tech Leaders Income Fund Units Tech Leaders Income Fund 1 12/19/2012 38 7.94 0 -2,400
Tech Leaders Income Fund Units Tech Leaders Income Fund 1 12/20/2012 38 7.9 1,600 1,600
Tech Leaders Income Fund Units Tech Leaders Income Fund 1 12/20/2012 38 7.9 0 -1,600
Tech Leaders Income Fund Units Tech Leaders Income Fund 1 12/24/2012 38 7.88 3,000 3,000
Tech Leaders Income Fund Units Tech Leaders Income Fund 1 12/24/2012 38 7.88 0 -3,000
Tech Leaders Income Fund Units Tech Leaders Income Fund 1 12/27/2012 38 7.76 3,000 3,000
Tech Leaders Income Fund Units Tech Leaders Income Fund 1 12/27/2012 38 7.76 0 -3,000
Tech Leaders Income Fund Units Tech Leaders Income Fund 1 12/28/2012 38 7.73 3,000 3,000
Tech Leaders Income Fund Units Tech Leaders Income Fund 1 12/28/2012 38 7.73 0 -3,000
Teck Resources Limited Class B Subordinate Voting Shares
Caisse de dépôt et placement du Québec
3 1/10/2013 10 37.56 8,954,597 767,000
Teck Resources Limited Deferred Share Units Cockwell, Jack Lynn 4 1/3/2013 30 17,382 204 Teck Resources Limited Deferred Share Units Cockwell, Jack Lynn 4 1/3/2013 56 17,796 414 TECSYS Inc. Options Stock Options Ho-Wo-Cheong, Berty 5 1/7/2013 59 1.8 0 -9,500 TECSYS Inc. Common Shares Lobo, Vernon 4 1/7/2013 10 3.6 72,700 -10,000 Temple Hotels Inc. Common Shares Beeston, Larry James 5 12/31/2012 00 2,000 Temple Hotels Inc. Options Beeston, Larry James 5 12/31/2012 00 156,000 Temple Hotels Inc. Deferred Shares Drybrough, David John 4 12/31/2012 00 24,832 Temple Hotels Inc. Options Drybrough, David John 4 12/31/2012 00 Temple Hotels Inc. Options Drybrough, David John 4 12/31/2012 00 20,000 Temple Hotels Inc. Common Shares Hill Blaisdell, Rosanne
Michelle 4 12/31/2012 00 27,666
Temple Hotels Inc. Options Hill Blaisdell, Rosanne Michelle
4 12/31/2012 00 20,000
Temple Hotels Inc. Common Shares Marlin, Rodney Frank 4 12/31/2012 00 Temple Hotels Inc. Common Shares Marlin, Rodney Frank 4 12/31/2012 36 35,000 35,000 Temple Hotels Inc. Common Shares Marlin, Rodney Frank 4 12/31/2012 00 Temple Hotels Inc. Common Shares Marlin, Rodney Frank 4 12/31/2012 36 10,000 10,000 Temple Hotels Inc. Deferred Shares Marlin, Rodney Frank 4 12/31/2012 00 Temple Hotels Inc. Deferred Shares Marlin, Rodney Frank 4 12/31/2012 36 46,318 46,318 Temple Hotels Inc. Options Marlin, Rodney Frank 4 12/31/2012 00 Temple Hotels Inc. Options Marlin, Rodney Frank 4 12/31/2012 36 20,000 20,000 Temple Hotels Inc. Deferred Shares McLean, Brent John 4 12/31/2012 00 1,180 Temple Hotels Inc. Common Shares Thorsteinson, Arni Clayton 4, 5 12/31/2012 00 660,371
Temple Hotels Inc. Common Shares Thorsteinson, Arni Clayton 4, 5 12/31/2012 00 1,832,321
Temple Hotels Inc. Common Shares Thorsteinson, Arni Clayton 4, 5 12/31/2012 00 5,039
Temple Hotels Inc. Convertible Debentures 8.5% Series B Convertible Redeemable Unsecured Subordinated
Thorsteinson, Arni Clayton 4, 5 12/31/2012 00 $165,000
Temple Hotels Inc. Convertible Debentures 8.5% Series B Convertible Redeemable Unsecured Subordinated
Thorsteinson, Arni Clayton 4, 5 12/31/2012 00 $179,000
Temple Hotels Inc. Options Thorsteinson, Arni Clayton 4, 5 12/31/2012 00 100,000
Temple Hotels Inc. Options Wells, Douglas Norman 4, 5 12/31/2012 00 250,000 Temple Real Estate Investment Trust
Options Beeston, Larry James 5 12/31/2012 36 0 -156,000
Temple Real Estate Investment Trust
Trust Units Beeston, Larry James 5 12/31/2012 36 0 -2,000
Temple Real Estate Investment Trust
Deferred Units Drybrough, David John 4 12/31/2012 36 0 -24,832
Temple Real Estate Investment Trust
Options Drybrough, David John 4 12/31/2012 36 0 -20,000
Insider Reporting
January 17, 2013
(2013) 36 OSCB 937
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Temple Real Estate Investment Trust
Options Hill Blaisdell, Rosanne Michelle
4 12/31/2012 36 0 -20,000
Temple Real Estate Investment Trust
Trust Units Hill Blaisdell, Rosanne Michelle
4 12/31/2012 36 0 -27,666
Temple Real Estate Investment Trust
Deferred Units Marlin, Rodney Frank 4 12/31/2012 36 0 -46,318
Temple Real Estate Investment Trust
Options Marlin, Rodney Frank 4 12/31/2012 36 0 -20,000
Temple Real Estate Investment Trust
Trust Units Marlin, Rodney Frank 4 12/31/2012 36 0 -35,000
Temple Real Estate Investment Trust
Trust Units Marlin, Rodney Frank 4 12/31/2012 36 0 -10,000
Temple Real Estate Investment Trust
Deferred Units McLean, Brent John 4 12/31/2012 36 0 -1,180
Temple Real Estate Investment Trust
Convertible Debentures Series B
Thorsteinson, Arni Clayton 4 12/31/2012 36 $0 ($165,000)
Temple Real Estate Investment Trust
Convertible Debentures Series B
Thorsteinson, Arni Clayton 4 12/31/2012 36 $0 ($179,000)
Temple Real Estate Investment Trust
Options Thorsteinson, Arni Clayton 4 12/31/2012 36 0 -100,000
Temple Real Estate Investment Trust
Trust Units Thorsteinson, Arni Clayton 4 12/31/2012 36 0 -660,371
Temple Real Estate Investment Trust
Trust Units Thorsteinson, Arni Clayton 4 12/31/2012 36 0 -1,832,321
Temple Real Estate Investment Trust
Trust Units Thorsteinson, Arni Clayton 4 12/31/2012 36 0 -5,039
Temple Real Estate Investment Trust
Options Wells, Douglas Norman 5 12/31/2012 36 0 -250,000
Tempus Capital Inc. Common Shares Arora, Upkar S. 4 1/4/2013 16 0.075 933,333 800,000 Terra Firma Capital Corporation
Common Shares Meyer, Yisrael Dov 5 1/2/2013 35 0.3 1,159,402 7,402
Terra Firma Capital Corporation
Common Shares Meyer, Yisrael Dov 5 1/2/2013 35 0.3 24,491 4,491
Terra Firma Capital Corporation
Common Shares perlis, morris 4 1/2/2013 35 0.3 72,637 22,637
Terra Firma Capital Corporation
Common Shares Reichmann, Philip 4 1/2/2013 35 0.3 652,019 2,019
Terra Firma Capital Corporation
Common Shares Reichmann, Philip 4 12/18/2007 00
Terra Firma Capital Corporation
Common Shares Reichmann, Philip 4 1/2/2013 35 0.3 67,073 67,073
Terra Firma Capital Corporation
Common Shares Rosenblatt, Reuben Maurice 4 1/7/2013 35 0.3 300,071 71
Terra Firma Capital Corporation
Common Shares Rosenblatt, Reuben Maurice 4 12/18/2007 00
Terra Firma Capital Corporation
Common Shares Rosenblatt, Reuben Maurice 4 1/7/2013 35 0.3 265 265
Terra Firma Capital Corporation
Common Shares Silber, Allan Charles 3, 4 1/2/2013 35 0.3 2,418,172 211,174
Terra Firma Capital Corporation
Common Shares Silber, Allan Charles 3, 4 12/18/2007 00
Terra Firma Capital Corporation
Common Shares Silber, Allan Charles 3, 4 1/2/2013 35 0.3 2,493 2,493
Terra Firma Capital Corporation
Common Shares Silber, Allan Charles 3, 4 12/18/2007 00
Terra Firma Capital Corporation
Common Shares Silber, Allan Charles 3, 4 1/2/2013 35 0.3 222,721 222,721
Terra Firma Capital Corporation
Common Shares Silber, Allan Charles 3, 4 12/18/2007 00
Terra Firma Capital Corporation
Common Shares Silber, Allan Charles 3, 4 1/2/2013 35 0.3 101,908 101,908
Terra Firma Capital Corporation
Common Shares Wortzman, Howard Charles 5 1/2/2013 35 0.3 63,330 13,330
Terra Firma Capital Corporation
Common Shares Wortzman, Howard Charles 5 12/18/2007 00
Terra Firma Capital Corporation
Common Shares Wortzman, Howard Charles 5 12/18/2007 00
Terra Firma Capital Corporation
Common Shares Wortzman, Howard Charles 5 12/18/2007 00
Terra Firma Capital Corporation
Common Shares Wortzman, Howard Charles 5 1/2/2013 35 0.3 384 384
Terrace Energy Corp. Common Shares Carriere, Daniel Anthony 4 1/7/2013 10 1.34 10,978,676 2,000 Terrace Energy Corp. Common Shares Carriere, Daniel Anthony 4 1/7/2013 10 1.35 10,996,676 18,000
Insider Reporting
January 17, 2013
(2013) 36 OSCB 938
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Terrace Energy Corp. Common Shares Carriere, Daniel Anthony 4 1/11/2013 10 1.33 11,009,476 12,800 Terrace Energy Corp. Common Shares Cotter, Deborah 5 6/20/2012 00 Terrace Energy Corp. Common Shares Cotter, Deborah 5 6/20/2012 00 900 TerraVest Capital Inc. Common Shares TerraVest Capital Inc. 1 12/31/2012 38 1,800 -10,200 TerraVest Capital Inc. Common Shares TerraVest Capital Inc. 1 1/7/2013 38 1.91 2,000 TerraVest Capital Inc. Common Shares TerraVest Capital Inc. 1 1/7/2013 38 2.91 3,800 2,000 TerraVest Capital Inc. Common Shares TerraVest Capital Inc. 1 1/8/2013 38 3 4,800 1,000 TerraVest Capital Inc. Common Shares TerraVest Capital Inc. 1 1/9/2013 38 3 7,500 2,700 TerraVest Capital Inc. Common Shares TerraVest Capital Inc. 1 1/10/2013 38 3 8,700 1,200 Tesla Exploration Ltd. (formerly Norex Exploration Services Inc.)
Common Shares Tesla Exploration Ltd. 1 1/7/2013 38 1,400 -2,000
Tesla Exploration Ltd. (formerly Norex Exploration Services Inc.)
Common Shares Tesla Exploration Ltd. 1 1/9/2013 38 2.7 260,979 259,579
The Cash Store Australia Holdings Inc.
Options Denovan, Tom 5 12/28/2012 50 200,000
The Cash Store Australia Holdings Inc.
Options Denovan, Tom 5 1/7/2013 50 200,000 200,000
The Cash Store Australia Holdings Inc.
Options Holden, Gary 4 1/7/2013 38 0.86 525,000 -50,000
The Cash Store Australia Holdings Inc.
Options Holden, Gary 4 1/7/2013 38 0.19 0 -525,000
The Cash Store Australia Holdings Inc.
Options Watts, Chad 5 12/28/2012 50 150,000
The Cash Store Australia Holdings Inc.
Options Watts, Chad 5 1/7/2013 50 150,000 150,000
The Second Cup Ltd. Common Shares Mowbray, Stacey 5 1/1/2011 00 The Second Cup Ltd. Common Shares Mowbray, Stacey 5 1/1/2011 00 11,905 The Second Cup Ltd. Common Shares Phelan, Paul David 6 1/4/2011 00 The Second Cup Ltd. Common Shares Phelan, Paul David 6 1/4/2011 00 2,031,200 The Second Cup Ltd. Common Shares Phelan, Paul David 6 3/25/2011 10 7.7 8,200 The Second Cup Ltd. Common Shares Phelan, Paul David 6 3/25/2011 10 7.7 2,039,400 8,200 The Second Cup Ltd. Common Shares Phelan, Paul David 6 4/11/2011 10 7.85 2,044,800 5,400 The Second Cup Ltd. Common Shares Phelan, Paul David 6 1/4/2011 00 726,200 The Second Cup Ltd. Common Shares Phelan, Paul David 6 10/17/2011 10 5.75 826,200 100,000 The Second Cup Ltd. Common Shares Phelan, Paul David 6 10/20/2011 10 5.7 1,093,800 267,600 The Westaim Corporation Subscription Rights
Common Shares Owen, Daniel 4 12/31/2012 56 0.025 580,000
The Westaim Corporation Subscription Rights Common Shares
Owen, Daniel 4 12/31/2012 56 0.025 580,000
The Westaim Corporation Subscription Rights Common Shares
Owen, Daniel 4 12/31/2012 56 0.025 580,000
Theralase Technologies Inc. Common Shares Bruder, Randall 4 1/2/2013 10 0.19 1,008,110 500
Threegold Resources Inc. Common Shares Goncalves, Victor 5 1/9/2013 10 0.045 3,014,587 150,000 Threegold Resources Inc. Common Shares Goncalves, Victor 5 1/9/2013 10 0.05 3,114,587 100,000 Thunderbird Resorts, Inc. Common Shares De Ocampo, Roberto
Fabros 4 1/7/2013 46 1.16 57,512 10,344
Thunderbird Resorts, Inc. Common Shares Guggenheim, Salomon Jaakov
4 1/7/2013 46 1.16 263,406 10,344
Thunderbird Resorts, Inc. Common Shares Linter, Marie Madeleine 4 10/9/2012 00 Thunderbird Resorts, Inc. Common Shares Linter, Marie Madeleine 4 1/7/2013 46 1.16 10,344 10,344 Thunderbird Resorts, Inc. Common Shares Stadelmann, Reto Juerg 4 1/7/2013 46 1.16 68,507 10,344 Thunderbird Resorts, Inc. Common Shares Vicari, Douglas 4 1/7/2013 46 1.16 57,512 10,344 Tim Hortons Inc. Common Shares Tim Hortons Inc. 1 12/3/2012 38 45.858 34,000 34,000 Tim Hortons Inc. Common Shares Tim Hortons Inc. 1 12/3/2012 38 0 -34,000 Tim Hortons Inc. Common Shares Tim Hortons Inc. 1 12/4/2012 38 45.665 34,000 34,000 Tim Hortons Inc. Common Shares Tim Hortons Inc. 1 12/4/2012 38 0 -34,000 Tim Hortons Inc. Common Shares Tim Hortons Inc. 1 12/5/2012 38 45.35 34,000 34,000 Tim Hortons Inc. Common Shares Tim Hortons Inc. 1 12/5/2012 38 0 -34,000 Tim Hortons Inc. Common Shares Tim Hortons Inc. 1 12/6/2012 38 46.139 34,000 34,000 Tim Hortons Inc. Common Shares Tim Hortons Inc. 1 12/6/2012 38 0 -34,000 Tim Hortons Inc. Common Shares Tim Hortons Inc. 1 12/7/2012 38 46.608 34,000 34,000 Tim Hortons Inc. Common Shares Tim Hortons Inc. 1 12/7/2012 38 0 -34,000 Tim Hortons Inc. Common Shares Tim Hortons Inc. 1 12/10/2012 38 47.585 34,000 34,000 Tim Hortons Inc. Common Shares Tim Hortons Inc. 1 12/10/2012 38 0 -34,000 Tim Hortons Inc. Common Shares Tim Hortons Inc. 1 12/11/2012 38 48.375 34,000 34,000 Tim Hortons Inc. Common Shares Tim Hortons Inc. 1 12/11/2012 38 0 -34,000 Tim Hortons Inc. Common Shares Tim Hortons Inc. 1 12/12/2012 38 48.78 34,000 34,000 Tim Hortons Inc. Common Shares Tim Hortons Inc. 1 12/12/2012 38 0 -34,000 Tim Hortons Inc. Common Shares Tim Hortons Inc. 1 12/13/2012 38 48.501 34,000 34,000 Tim Hortons Inc. Common Shares Tim Hortons Inc. 1 12/13/2012 38 0 -34,000 Tim Hortons Inc. Common Shares Tim Hortons Inc. 1 12/14/2012 38 48.537 33,900 33,900
Insider Reporting
January 17, 2013
(2013) 36 OSCB 939
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Tim Hortons Inc. Common Shares Tim Hortons Inc. 1 12/14/2012 38 0 -33,900 Tim Hortons Inc. Common Shares Tim Hortons Inc. 1 12/17/2012 38 48.54 34,000 34,000 Tim Hortons Inc. Common Shares Tim Hortons Inc. 1 12/17/2012 38 0 -34,000 Tim Hortons Inc. Common Shares Tim Hortons Inc. 1 12/18/2012 38 48.53 34,000 34,000 Tim Hortons Inc. Common Shares Tim Hortons Inc. 1 12/18/2012 38 0 -34,000 Tim Hortons Inc. Common Shares Tim Hortons Inc. 1 12/19/2012 38 48.706 34,000 34,000 Tim Hortons Inc. Common Shares Tim Hortons Inc. 1 12/19/2012 38 0 -34,000 Tim Hortons Inc. Common Shares Tim Hortons Inc. 1 12/20/2012 38 48.615 41,000 41,000 Tim Hortons Inc. Common Shares Tim Hortons Inc. 1 12/20/2012 38 0 -41,000 Tim Hortons Inc. Common Shares Tim Hortons Inc. 1 12/21/2012 38 48.669 41,665 41,665 Tim Hortons Inc. Common Shares Tim Hortons Inc. 1 12/21/2012 38 0 -41,665 Times Three Wireless Inc. Options Allford, Richard Bruce 5 11/20/2012 00 Times Three Wireless Inc. Options Allford, Richard Bruce 5 1/8/2013 50 0.1 100,000 100,000 Times Three Wireless Inc. Options Aprikian, Ariovaldo
Scardigno 4 12/1/2011 00 160,000
Times Three Wireless Inc. Options Aprikian, Ariovaldo Scardigno
4 1/8/2013 50 260,000 100,000
Times Three Wireless Inc. Options Bohn, Keith Jerome 4, 5 1/8/2013 50 1,180,000 700,000 Times Three Wireless Inc. Options Colvin, James Glen 4 11/30/2011 00 Times Three Wireless Inc. Options Colvin, James Glen 4 1/8/2013 50 611,000 611,000 Times Three Wireless Inc. Options Fielding, Bruce Allen 5 1/8/2013 50 330,000 150,000 Times Three Wireless Inc. Options Fortin, Jeffrey Armand 4 11/30/2011 00 Times Three Wireless Inc. Options Fortin, Jeffrey Armand 4 1/8/2013 50 0.1 300,000 300,000 Times Three Wireless Inc. Options Guebert, David Dean 5 1/8/2013 50 948,333 600,000 Times Three Wireless Inc. Options Henschel, Robert William 4 1/8/2013 50 0.1 815,000 425,000 Times Three Wireless Inc. Options Hryciuk, Michael Lawrence 4 1/8/2013 50 390,000 150,000
Times Three Wireless Inc. Common Shares Middleton, William 4, 5 12/31/2012 10 0.09 1,667,000 Times Three Wireless Inc. Common Shares Middleton, William 4, 5 12/31/2012 11 0.09 3,694,000 1,667,000 Times Three Wireless Inc. Options Middleton, William 4, 5 10/17/2012 50 1,750,000 Times Three Wireless Inc. Options Middleton, William 4, 5 10/17/2012 50 1,750,000 Times Three Wireless Inc. Options Middleton, William 4, 5 1/8/2013 50 2,650,000 2,650,000 Times Three Wireless Inc. Warrants Middleton, William 4, 5 10/17/2012 00 Times Three Wireless Inc. Warrants Middleton, William 4, 5 12/31/2012 53 1,667,000 1,667,000 Top 20 Europe Dividend Trust
Trust Units Bowland, James Parkinson 4 12/20/2012 00
Top 20 U.S. Dividend Trust Units Class A Units Scotia Capital Inc. 3 1/4/2013 10 9.0643 18,000 -5,300 Top 20 U.S. Dividend Trust Units Class A Units Scotia Capital Inc. 3 1/7/2013 10 9.2218 600 -17,400 Top 20 U.S. Dividend Trust Units Class A Units Scotia Capital Inc. 3 1/8/2013 10 9.11 0 -600 TORC Oil & Gas Ltd. Common Shares Johnson, David Daniel 4 11/19/2012 00 TORC Oil & Gas Ltd. Common Shares Johnson, David Daniel 4 11/19/2012 00 605,781 TORC Oil & Gas Ltd. Common Shares Johnson, David Daniel 4 11/19/2012 00 TORC Oil & Gas Ltd. Common Shares Johnson, David Daniel 4 11/19/2012 00 21,576 Torquay Oil Corp. Common Shares Class A SETH, WAZIR, CHAND 4 12/21/2012 22 0 -210,000
Torquay Oil Corp. Common Shares Class B SETH, WAZIR, CHAND 4 12/21/2012 22 0 -2,250
Torquay Oil Corp. Options SETH, WAZIR, CHAND 4 12/21/2012 22 0 -200,750 Torquay Oil Corp. Options SETH, WAZIR, CHAND 4 12/21/2012 22 -36,510 -36,510 Torquay Oil Corp. Common Shares Class A Verge, Alexander G. 4 12/21/2012 22 0.16 0 -450,000
Torquay Oil Corp. Options Verge, Alexander G. 4 12/21/2012 22 0.01 0 -55,000 Total Energy Services Inc. Convertible Debentures KEARL, MARK ANTHONY 5 5/20/2009 00
Total Energy Services Inc. Convertible Debentures KEARL, MARK ANTHONY 5 1/8/2013 10 102.65 $100,000 $100,000
Total Energy Services Inc. Common Shares Kwasnicia, Randy 4 1/11/2013 10 14.75 89,900 3,900 Total Energy Services Inc. Common Shares Macson, Bradley John 5 1/11/2013 10 14.957 18,871 -23,000 Transat A.T. inc. Options Bellefeuille, Michel 7, 5 1/9/2013 50 6.01 85,731 27,871 Transat A.T. inc. Unités d'actions avec
restrictions (UAR) Bellefeuille, Michel 7, 5 1/9/2013 38 4,086 -971
Transat A.T. inc. Unités d'actions avec restrictions (UAR)
Bellefeuille, Michel 7, 5 1/9/2013 56 6.01 3,807
Transat A.T. inc. Unités d'actions avec restrictions (UAR)
Bellefeuille, Michel 7, 5 1/9/2013 56 6.01 7,893 3,807
Transat A.T. inc. Options Bussières, Bernard 5 1/9/2013 50 6.01 145,594 35,326 Transat A.T. inc. Unités d'actions avec
restrictions (UAR) Bussières, Bernard 5 1/9/2013 38 5,386 -1,275
Transat A.T. inc. Unités d'actions avec restrictions (UAR)
Bussières, Bernard 5 1/9/2013 56 6.01 4,826
Transat A.T. inc. Unités d'actions avec restrictions (UAR)
Bussières, Bernard 5 1/9/2013 56 6.01 10,212 4,826
Transat A.T. inc. Options Caradec, Patrice 7 1/9/2013 50 6.01 140,062 36,115
Insider Reporting
January 17, 2013
(2013) 36 OSCB 940
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Transat A.T. inc. Unités d'actions avec restrictions (UAR)
Caradec, Patrice 7 1/9/2013 38 5,531 -1,469
Transat A.T. inc. Unités d'actions avec restrictions (UAR)
Caradec, Patrice 7 1/9/2013 56 6.01 10,465 4,934
Transat A.T. inc. Options De Cesare, Lucy 7 1/9/2013 50 6.01 47,983 12,790 Transat A.T. inc. Unités d'actions avec
restrictions (UAR) De Cesare, Lucy 7 1/9/2013 38 3,900 -857
Transat A.T. inc. Unités d'actions avec restrictions (UAR)
De Cesare, Lucy 7 1/9/2013 56 6.01 7,395 3,495
Transat A.T. inc. Options De Montigny, André 7, 5 1/9/2013 50 6.01 152,657 35,935 Transat A.T. inc. Unités d'actions avec
restrictions (UAR) De Montigny, André 7, 5 1/9/2013 38 5,355 -1,262
Transat A.T. inc. Unités d'actions avec restrictions (UAR)
De Montigny, André 7, 5 1/9/2013 56 6.01 10,264 4,909
Transat A.T. inc. Options Eustache, Jean-Marc 4, 7, 5 1/9/2013 50 6.01 862,533 233,637 Transat A.T. inc. Unités d'actions avec
restrictions (UAR) Eustache, Jean-Marc 4, 7, 5 1/9/2013 38 45,786 -10,953
Transat A.T. inc. Unités d'actions avec restrictions (UAR)
Eustache, Jean-Marc 4, 7, 5 1/9/2013 56 6.01 86,818 41,032
Transat A.T. inc. Options Gervais, Andrée 7 1/9/2013 50 6.01 27,954 12,181 Transat A.T. inc. Unités d'actions avec
restrictions (UAR) Gervais, Andrée 7 1/9/2013 38 4,240 -995
Transat A.T. inc. Unités d'actions avec restrictions (UAR)
Gervais, Andrée 7 1/9/2013 56 6.01 7,568 3,328
Transat A.T. inc. Options Godbout, Daniel 7, 5 1/9/2013 50 6.01 170,948 40,462 Transat A.T. inc. Unités d'actions avec
restrictions (UAR) Godbout, Daniel 7, 5 1/9/2013 38 6,168 -1,545
Transat A.T. inc. Unités d'actions avec restrictions (UAR)
Godbout, Daniel 7, 5 1/9/2013 56 6.01 11,695 5,527
Transat A.T. inc. Options Graham, Allen B. 7 1/9/2013 50 6.01 255,320 56,846 Transat A.T. inc. Unités d'actions avec
restrictions (UAR) Graham, Allen B. 7 1/9/2013 38 10,007 -1,775
Transat A.T. inc. Unités d'actions avec restrictions (UAR)
Graham, Allen B. 7 1/9/2013 56 6.01 19,991 9,984
Transat A.T. inc. Options Guérard, Annick 7 1/9/2013 50 6.01 78,800 36,544 Transat A.T. inc. Unités d'actions avec
restrictions (UAR) Guérard, Annick 7 1/9/2013 38 3,875 -1,815
Transat A.T. inc. Unités d'actions avec restrictions (UAR)
Guérard, Annick 7 1/9/2013 56 6.01 8,867 4,992
Transat A.T. inc. Options Lalumière, Yves 7 1/9/2013 50 6.01 69,925 28,139 Transat A.T. inc. Unités d'actions avec
restrictions (UAR) Lalumière, Yves 7 1/9/2013 38 4,181 -876
Transat A.T. inc. Unités d'actions avec restrictions (UAR)
Lalumière, Yves 7 1/9/2013 56 6.01 8,025 3,844
Transat A.T. inc. Options Lemay, Jean-François 5 1/9/2013 50 6.01 73,630 32,159 Transat A.T. inc. Unités d'actions avec
restrictions (UAR) Lemay, Jean-François 5 1/9/2013 56 6.01 7,923 4,393
Transat A.T. inc. Options Lemay, Michel 5 1/9/2013 50 6.01 116,154 29,355 Transat A.T. inc. Unités d'actions avec
restrictions (UAR) Lemay, Michel 5 1/9/2013 38 4,387 -1,092
Transat A.T. inc. Unités d'actions avec restrictions (UAR)
Lemay, Michel 5 1/9/2013 56 6.01 8,397 4,010
Transat A.T. inc. Options Malito, Anna 7 1/9/2013 50 6.01 123,428 36,544 Transat A.T. inc. Unités d'actions avec
restrictions (UAR) Malito, Anna 7 1/9/2013 38 5,193 -1,207
Transat A.T. inc. Unités d'actions avec restrictions (UAR)
Malito, Anna 7 1/9/2013 56 6.01 10,185 4,992
Transat A.T. inc. Options Pétrin, Denis 7, 5 1/9/2013 50 6.01 147,209 47,296 Transat A.T. inc. Unités d'actions avec
restrictions (UAR) Pétrin, Denis 7, 5 1/9/2013 38 7,926 -1,190
Transat A.T. inc. Unités d'actions avec restrictions (UAR)
Pétrin, Denis 7, 5 1/9/2013 56 6.01 16,233 8,307
Transat A.T. inc. Options TURNER, Jon 7 1/9/2013 50 6.01 84,493 31,831 Transat A.T. inc. Unités d'actions avec
restrictions (UAR) TURNER, Jon 7 1/9/2013 38 4,762 -2,682
Transat A.T. inc. Unités d'actions avec restrictions (UAR)
TURNER, Jon 7 1/9/2013 56 6.01 9,110 4,348
Transcontinental Inc. Multiple Voting Shares Catégorie B
Capinabel inc. 3 1/10/2013 36 9,062,840 -147,000
Transcontinental Inc. Subordinate Voting Shares Catégorie A
Capinabel inc. 3 4/13/2012 00
Transcontinental Inc. Subordinate Voting Shares Catégorie A
Capinabel inc. 3 1/10/2013 36 147,000 147,000
Insider Reporting
January 17, 2013
(2013) 36 OSCB 941
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Transcontinental Inc. Options d'achat d'actions Desaulniers, Christine 7, 5 1/8/2013 50 74,272 17,788
Transcontinental Inc. Participation Units d'actions restreintes (UAR) / Restricted share unit (RSU)
Desaulniers, Christine 7, 5 1/8/2013 56 11.33 17,996 7,069
Transcontinental Inc. Subordinate Voting Shares Catégorie A
Dubois, Claude 4 1/7/2013 47 11.45 50,000 50,000
Transcontinental Inc. Subordinate Voting Shares Catégorie A
Dubois, Claude 4 1/7/2013 10 11.35 49,000 -1,000
Transcontinental Inc. Subordinate Voting Shares Catégorie A
Dubois, Claude 4 1/7/2013 10 11.36 48,500 -500
Transcontinental Inc. Subordinate Voting Shares Catégorie A
Dubois, Claude 4 1/7/2013 10 11.37 46,000 -2,500
Transcontinental Inc. Subordinate Voting Shares Catégorie A
Dubois, Claude 4 1/7/2013 10 11.38 44,000 -2,000
Transcontinental Inc. Subordinate Voting Shares Catégorie A
Dubois, Claude 4 1/7/2013 10 11.39 40,800 -3,200
Transcontinental Inc. Subordinate Voting Shares Catégorie A
Dubois, Claude 4 1/7/2013 10 11.4 33,300 -7,500
Transcontinental Inc. Subordinate Voting Shares Catégorie A
Dubois, Claude 4 1/7/2013 10 11.41 29,500 -3,800
Transcontinental Inc. Subordinate Voting Shares Catégorie A
Dubois, Claude 4 1/7/2013 10 11.42 27,200 -2,300
Transcontinental Inc. Subordinate Voting Shares Catégorie A
Dubois, Claude 4 1/7/2013 10 11.43 27,000 -200
Transcontinental Inc. Subordinate Voting Shares Catégorie A
Dubois, Claude 4 1/8/2013 10 11.29 26,500 -500
Transcontinental Inc. Subordinate Voting Shares Catégorie A
Dubois, Claude 4 1/8/2013 10 11.3 26,000 -500
Transcontinental Inc. Subordinate Voting Shares Catégorie A
Dubois, Claude 4 1/8/2013 10 11.32 25,500 -500
Transcontinental Inc. Subordinate Voting Shares Catégorie A
Dubois, Claude 4 1/8/2013 10 11.33 23,800 -1,700
Transcontinental Inc. Subordinate Voting Shares Catégorie A
Dubois, Claude 4 1/8/2013 10 11.34 18,000 -5,800
Transcontinental Inc. Subordinate Voting Shares Catégorie A
Dubois, Claude 4 1/8/2013 10 11.35 12,000 -6,000
Transcontinental Inc. Subordinate Voting Shares Catégorie A
Dubois, Claude 4 1/8/2013 10 11.36 7,500 -4,500
Transcontinental Inc. Subordinate Voting Shares Catégorie A
Dubois, Claude 4 1/8/2013 10 11.37 4,400 -3,100
Transcontinental Inc. Subordinate Voting Shares Catégorie A
Dubois, Claude 4 1/8/2013 10 11.38 3,400 -1,000
Transcontinental Inc. Subordinate Voting Shares Catégorie A
Dubois, Claude 4 1/8/2013 10 11.39 1,500 -1,900
Transcontinental Inc. Subordinate Voting Shares Catégorie A
Dubois, Claude 4 1/8/2013 10 11.41 500 -1,000
Transcontinental Inc. Subordinate Voting Shares Catégorie A
Dubois, Claude 4 1/8/2013 10 11.42 0 -500
Transcontinental Inc. Subordinate Voting Shares Catégorie A
Dubois, Claude 4 1/7/2013 47 11.45 37,572 -50,000
Transcontinental Inc. Options d'achat d'actions Gentiletti, Nelson 7, 5 1/8/2013 50 56,652 43,328
Transcontinental Inc. Participation Units d'actions restreintes (UAR) / Restricted share unit (RSU)
Gentiletti, Nelson 7, 5 1/8/2013 56 11.33 25,074 17,211
Transcontinental Inc. Options d'achat d'actions Gignac, Alain 5 1/8/2013 50 8,424 8,424
Transcontinental Inc. Participation Units d'actions restreintes (UAR) / Restricted share unit (RSU)
Gignac, Alain 5 1/8/2013 56 11.33 3,345 3,345
Transcontinental Inc. Options d'achat d'actions Laviolette, Katya 5 1/8/2013 50 17,552 14,056
Transcontinental Inc. Participation Units d'actions restreintes (UAR) / Restricted share unit (RSU)
Laviolette, Katya 5 1/8/2013 56 11.33 6,425
Insider Reporting
January 17, 2013
(2013) 36 OSCB 942
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Transcontinental Inc. Participation Units d'actions restreintes (UAR) / Restricted share unit (RSU)
Laviolette, Katya 5 1/8/2013 56 11.33 6,425
Transcontinental Inc. Participation Units d'actions restreintes (UAR) / Restricted share unit (RSU)
Laviolette, Katya 5 1/8/2013 56 11.33 9,296 6,425
Transcontinental Inc. Multiple Voting Shares Catégorie B
Marcoux, Rémi 4, 6 1/10/2013 36 9,062,840 -147,000
Transcontinental Inc. Subordinate Voting Shares Catégorie A
Marcoux, Rémi 4, 6 1/24/2003 00
Transcontinental Inc. Subordinate Voting Shares Catégorie A
Marcoux, Rémi 4, 6 1/10/2013 36 147,000 147,000
Transcontinental Inc. Options d'achat d'actions Morissette, Sylvain 5 1/8/2013 50 22,908 9,100
Transcontinental Inc. Participation Units d'actions restreintes (UAR) / Restricted share unit (RSU)
Morissette, Sylvain 5 1/8/2013 56 11.33 9,623 3,619
Transcontinental Inc. Options d'achat d'actions Olivier, François 4, 7, 5 1/8/2013 50 701,676 247,452
Transcontinental Inc. Participation Units d'actions restreintes (UAR) / Restricted share unit (RSU)
Olivier, François 4, 7, 5 1/8/2013 56 11.33 228,756 98,297
Transcontinental Inc. Options d'achat d'actions Reid, Brian 7, 5 1/8/2013 50 146,584 46,792
Transcontinental Inc. Participation Units d'actions restreintes (UAR) / Restricted share unit (RSU)
Reid, Brian 7, 5 1/8/2013 56 11.33 47,006 20,446
Tree Island Steel Ltd. Common Shares Miller, James Michael 5 1/7/2013 00 Tree Island Steel Ltd. Common Shares Stachowiak, Remy Gilbert
Theophil 5 1/7/2013 00
Tribute Resources Inc. Common Shares Tribute Resources Inc. 1 12/5/2012 38 0.05 55,000 15,000 Tricon Capital Group Inc. Common Shares Berman, David 3, 4, 6, 5 1/7/2013 10 6.6 4,065,763 13,300 Tricon Capital Group Inc. Common Shares Berman, David 3, 4, 6, 5 1/7/2013 10 6.7 4,082,963 17,200 Tricon Capital Group Inc. Common Shares Berman, David 3, 4, 6, 5 1/8/2013 11 6.25 4,106,363 23,400 Tricon Capital Group Inc. Common Shares Berman, David 3, 4, 6, 5 1/11/2013 90 69,292 Tricon Capital Group Inc. Common Shares Berman, David 3, 4, 6, 5 1/11/2013 90 6.78 4,175,655 69,292 Tricon Capital Group Inc. Common Shares Berman, David 3, 4, 6, 5 1/11/2013 90 -69,292 Tricon Capital Group Inc. Common Shares Berman, David 3, 4, 6, 5 1/11/2013 90 6.78 0 -69,292 Tricon Capital Group Inc. Common Shares Berman, Gary 5 1/8/2013 11 6.25 639,478 -23,400 Trillium North Minerals Ltd. Warrants Strashin, Elliot Phillip 3, 4, 5 1/4/2013 55 0.1 490,000 -1,700,000 Trilogy Energy Corp. Common Shares Kohut, Michael G 5 1/4/2013 51 6.65 76,434 40,000 Trilogy Energy Corp. Common Shares Kohut, Michael G 5 1/4/2013 10 29.75 36,434 -40,000 Trilogy Energy Corp. Common Shares Kohut, Michael G 5 1/7/2013 51 6.65 96,434 60,000 Trilogy Energy Corp. Common Shares Kohut, Michael G 5 1/7/2013 10 29.85 68,434 -28,000 Trilogy Energy Corp. Common Shares Kohut, Michael G 5 1/7/2013 10 29.86 66,434 -2,000 Trilogy Energy Corp. Common Shares Kohut, Michael G 5 1/7/2013 10 29.87 66,134 -300 Trilogy Energy Corp. Common Shares Kohut, Michael G 5 1/7/2013 10 29.85 36,434 -29,700 Trilogy Energy Corp. Options Kohut, Michael G 5 1/4/2013 51 6.65 510,000 -40,000 Trilogy Energy Corp. Options Kohut, Michael G 5 1/7/2013 51 6.65 450,000 -60,000 Trilogy Energy Corp. Common Shares Textor, Donald F. 4 1/4/2013 47 52,150 -10,000 Trilogy Energy Corp. Common Shares Textor, Donald F. 4 1/4/2013 47 10,000 10,000 Trilogy Energy Corp. Common Shares Textor, Donald F. 4 1/7/2013 10 29.961 6,700 -3,300 Trilogy Energy Corp. Common Shares Textor, Donald F. 4 1/7/2013 10 29.778 2,000 -4,700 Trilogy Energy Corp. Common Shares Textor, Donald F. 4 1/7/2013 10 29.822 0 -2,000 Trimac Transportation Ltd. Rights Performance Share
Units Calver, Scott David 5 12/31/2012 56 20,046 7,000
Trimac Transportation Ltd. Rights Performance Share Units
Calver, Scott David 5 12/31/2012 30 21,065 1,019
Trimac Transportation Ltd. Rights Performance Share Units
Dueck, Darrell Wayne 7 12/31/2012 56 4,086 2,000
Trimac Transportation Ltd. Rights Performance Share Units
Dueck, Darrell Wayne 7 12/31/2012 30 4,286 200
Trimac Transportation Ltd. Rights Notional Shares Eyton, Rhys 4 12/31/2012 56 4,085 2,000 Trimac Transportation Ltd. Rights Notional Shares Eyton, Rhys 4 12/31/2012 30 4,284 199 Trimac Transportation Ltd. Rights Performance Share
Units Gatti, David 7 12/31/2012 56 17,428 6,000
Trimac Transportation Ltd. Rights Performance Share Units
Gatti, David 7 12/31/2012 30 18,315 887
Insider Reporting
January 17, 2013
(2013) 36 OSCB 943
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Trimac Transportation Ltd. Rights Performance Share Units
Grierson, Colin Sean 5 12/31/2012 56 6,628 3,500
Trimac Transportation Ltd. Rights Performance Share Units
Grierson, Colin Sean 5 12/31/2012 30 6,946 318
Trimac Transportation Ltd. Rights Performance Share Units
Hamel, Willie C. J. 7 12/31/2012 56 20,046 7,000
Trimac Transportation Ltd. Rights Performance Share Units
Hamel, Willie C. J. 7 12/31/2012 30 21,065 1,019
Trimac Transportation Ltd. Rights Performance Share Units
Malysa, Edward V. 5 12/31/2012 56 33,707 12,000
Trimac Transportation Ltd. Rights Performance Share Units
Malysa, Edward V. 5 12/31/2012 30 35,417 1,710
Trimac Transportation Ltd. Rights Performance Share Units
McCaig, Jeffrey James 4 12/31/2012 56 15,318 7,500
Trimac Transportation Ltd. Rights Performance Share Units
McCaig, Jeffrey James 4 12/31/2012 30 16,064 746
Trimac Transportation Ltd. Rights Notional Shares McCaig, Maurice Wayne 4 12/31/2012 56 4,085 2,000 Trimac Transportation Ltd. Rights Notional Shares McCaig, Maurice Wayne 4 12/31/2012 30 4,284 199 Trimac Transportation Ltd. Rights Performance Share
Units Molkoski, Terry James 7 12/31/2012 30 3,643 194
Trimac Transportation Ltd. Rights Notional Shares Patava, Miroslav Jerry 4 12/31/2012 56 4,085 2,000 Trimac Transportation Ltd. Rights Notional Shares Patava, Miroslav Jerry 4 12/31/2012 30 4,284 199 Trimac Transportation Ltd. Rights Performance Share
Units Pouliot, Marcel 7 12/31/2012 56 13,661 5,000
Trimac Transportation Ltd. Rights Performance Share Units
Pouliot, Marcel 7 12/31/2012 30 14,353 692
Trimac Transportation Ltd. Rights Notional Shares ROMANZIN, GERALD A. 4 12/31/2012 56 4,085 2,000 Trimac Transportation Ltd. Rights Notional Shares ROMANZIN, GERALD A. 4 12/31/2012 30 4,284 199 Trimac Transportation Ltd. Rights Performance Share
Units Toner, Bruce James 7 12/31/2012 56 10,023 3,500
Trimac Transportation Ltd. Rights Performance Share Units
Toner, Bruce James 7 12/31/2012 30 10,531 508
Trimac Transportation Ltd. Rights Performance Share Units
Topic, Janet L. 7 12/31/2012 56 10,023 3,500
Trimac Transportation Ltd. Rights Performance Share Units
Topic, Janet L. 7 12/31/2012 30 10,531 508
Trimac Transportation Ltd. Rights Notional Shares Zaleski, Andrew 4 12/31/2012 56 4,085 2,000 Trimac Transportation Ltd. Rights Notional Shares Zaleski, Andrew 4 12/31/2012 30 4,284 199 TriStar Gold Inc. Common Shares Jones, III, Mark E. 4 1/7/2013 10 0.39 4,238,751 7,500 TriStar Gold Inc. Common Shares Jones, III, Mark E. 4 1/7/2013 10 0.4 4,241,251 2,500 TriStar Gold Inc. Common Shares Jones, III, Mark E. 4 1/7/2013 10 0.48 4,251,751 10,500 TriStar Gold Inc. Common Shares Jones, III, Mark E. 4 1/7/2013 10 0.475 4,254,251 2,500 TriStar Gold Inc. Common Shares Jones, III, Mark E. 4 1/7/2013 10 0.47 4,256,251 2,000 True North Apartment Real Estate Investment Trust
Limited Partnership Units Class B LP Units/Special Voting Trust Units
Drimmer, Daniel 3, 4 6/5/2012 00 1,406,250
True North Apartment Real Estate Investment Trust
Limited Partnership Units Class B LP Units/Special Voting Trust Units
Drimmer, Daniel 3, 4 6/5/2012 00 312,500
True North Apartment Real Estate Investment Trust
Trust Units Drimmer, Daniel 3, 4 6/5/2012 00
True North Apartment Real Estate Investment Trust
Trust Units Drimmer, Daniel 3, 4 6/5/2012 00
True North Apartment Real Estate Investment Trust
Trust Units Drimmer, Daniel 3, 4 6/5/2012 00
TSO3 inc. Common Shares Deschamps, Benoît 5 1/8/2013 30 0.82 13,953 1,969 Tsodilo Resources Limited Common Shares Bojes, Gary 5 10/1/2007 00
Tsodilo Resources Limited Common Shares Bojes, Gary 5 1/2/2013 51 0.7 50,000 50,000
Tsodilo Resources Limited Options Bojes, Gary 5 1/2/2013 51 0.7 50,000
Tsodilo Resources Limited Options Bojes, Gary 5 1/2/2013 52 0.7 50,000
Tsodilo Resources Limited Options Bojes, Gary 5 1/2/2013 52 0.7 450,000 -50,000
Tsodilo Resources Limited Options Bruchs, James 3, 4, 5 1/3/2013 50 1.2 1,150,000 100,000
Insider Reporting
January 17, 2013
(2013) 36 OSCB 944
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Tsodilo Resources Limited Options de Wit, Michiel Cornelis Jan 4 1/3/2013 50 1.2 550,000 50,000
Twoco Petroleums Ltd. Common Shares TML Trust 3 1/4/2013 45 0.0209 5,393,285 2,894,409 U.S. Silver & Gold Inc. Options Atkinson, James 5 12/20/2012 50 1.82 50,000 U.S. Silver & Gold Inc. Options Atkinson, James 5 12/20/2012 50 50,000 U.S. Silver & Gold Inc. Options Atkinson, James 5 12/20/2012 50 168,599 50,000 U.S. Silver & Gold Inc. Options Blasutti, Darren John 4, 5 12/20/2012 50 1.82 150,000 U.S. Silver & Gold Inc. Options Blasutti, Darren John 4, 5 12/20/2012 50 150,000 U.S. Silver & Gold Inc. Options Blasutti, Darren John 4, 5 12/20/2012 50 542,999 150,000 U.S. Silver & Gold Inc. Options Dell, Daren 5 12/20/2012 50 75,000 U.S. Silver & Gold Inc. Options Dell, Daren 5 12/20/2012 50 200,000 75,000 U.S. Silver & Gold Inc. Options Long, Steven Michael 5 12/20/2012 50 1.82 50,000 U.S. Silver & Gold Inc. Options Long, Steven Michael 5 12/20/2012 50 50,000 U.S. Silver & Gold Inc. Options Long, Steven Michael 5 12/20/2012 50 224,200 50,000 U.S. Silver & Gold Inc. Options McRae, Peter 5 12/20/2012 50 1.82 75,000 U.S. Silver & Gold Inc. Options McRae, Peter 5 12/20/2012 50 75,000 U.S. Silver & Gold Inc. Options McRae, Peter 5 12/20/2012 50 232,700 75,000 U.S. Silver & Gold Inc. Options Taylor, Robert Michael 5 12/20/2012 50 1.82 100,000 U.S. Silver & Gold Inc. Options Taylor, Robert Michael 5 12/20/2012 50 100,000 U.S. Silver & Gold Inc. Options Taylor, Robert Michael 5 12/20/2012 50 279,499 100,000 U.S. Silver & Gold Inc. Options Varga, Warren 5 12/20/2012 50 1.82 100,000 U.S. Silver & Gold Inc. Options Varga, Warren 5 12/20/2012 50 100,000 U.S. Silver & Gold Inc. Options Varga, Warren 5 12/20/2012 50 279,498 100,000 U.S. Silver & Gold Inc. Common Shares Waisberg, Lorie 4 1/7/2013 10 1.69 4,417 3,000 U3O8 Corp. Common Shares Barron, Keith Michael 4 12/28/2012 16 0.22 9,700,037 1,363,637 U3O8 Corp. Warrants Barron, Keith Michael 4 12/28/2012 16 2,758,319 681,819 U3O8 Corp. Common Shares Chan-Palmateer, Nancy 5 12/28/2012 16 0.22 38,200 22,700 U3O8 Corp. Warrants Chan-Palmateer, Nancy 5 12/28/2012 16 16,350 11,350 U3O8 Corp. Options Spencer, Richard Mark 5 1/7/2013 52 1.05 550,000 -300,000 Uni-Sélect Inc. Options Alexander, William E. 5 1/1/2013 00 Uni-Sélect Inc. Options Alexander, William E. 5 1/2/2013 50 22.9 32,751 Uni-Sélect Inc. Options Alexander, William E. 5 1/2/2013 50 22.9 37,515 37,515 Uni-Sélect Inc. Options Arndt, Steve 5 1/1/2013 00 Uni-Sélect Inc. Options Arndt, Steve 5 1/2/2013 50 22.9 29,774 29,774 Uni-Sélect Inc. Options Mathieu, Denis 5 1/2/2013 50 22.9 47,515 37,515 Uni-Sélect Inc. Options O'Connor, Gary 5 10/9/2008 00 Uni-Sélect Inc. Options O'Connor, Gary 5 1/2/2013 50 22.9 34,418 34,418 Uni-Sélect Inc. Options Ravacley, Michel 5 1/1/2011 00 Uni-Sélect Inc. Options Ravacley, Michel 5 1/2/2013 50 22.9 20,410 20,410 Uni-Sélect Inc. Options Roy, Richard G 4, 5 1/2/2013 50 22.9 166,376 116,376 Uni-Sélect Inc. Common Shares Uni-Sélect Inc. 1 1/3/2013 38 23.369 800 800 Uni-Sélect Inc. Common Shares Uni-Sélect Inc. 1 1/3/2013 38 23.369 0 -800 Uni-Sélect Inc. Common Shares Uni-Sélect Inc. 1 1/4/2013 38 23.738 2,900 2,900 Uni-Sélect Inc. Common Shares Uni-Sélect Inc. 1 1/4/2013 38 23.738 0 -2,900 Uni-Sélect Inc. Common Shares Uni-Sélect Inc. 1 1/7/2013 38 23.51 800 800 Uni-Sélect Inc. Common Shares Uni-Sélect Inc. 1 1/7/2013 38 23.51 0 -800 Uni-Sélect Inc. Common Shares Uni-Sélect Inc. 1 1/9/2013 38 23.319 2,600 2,600 Uni-Sélect Inc. Common Shares Uni-Sélect Inc. 1 1/9/2013 38 23.319 0 -2,600 Uni-Sélect Inc. Common Shares Uni-Sélect Inc. 1 1/10/2013 38 23.4 2,900 2,900 Uni-Sélect Inc. Common Shares Uni-Sélect Inc. 1 1/10/2013 38 23.4 0 -2,900 Uni-Sélect Inc. Common Shares Uni-Sélect Inc. 1 1/11/2013 38 23.448 1,100 1,100 Uni-Sélect Inc. Common Shares Uni-Sélect Inc. 1 1/11/2013 38 23.448 0 -1,100 Uni-Sélect Inc. Options Windom, Anthony Brent 5 1/1/2013 00 Uni-Sélect Inc. Options Windom, Anthony Brent 5 1/2/2013 50 22.9 22,330 22,330 Unique Broadband Systems, Inc.
Common Shares Dolgonos, Alex 3 1/7/2013 10 0.03 11,592,931 -11,305,332
Unique Broadband Systems, Inc.
Common Shares Dolgonos, Alex 3 7/16/2003 00
Unique Broadband Systems, Inc.
Common Shares Dolgonos, Alex 3 1/7/2013 97 8,500,000 8,500,000
Uniserve Communications Corporation
Common Shares Scholz, Michael Curt 4 1/9/2013 10 0.03 8,775,713 6,000
Uranium Energy Corp. Common Shares Adnani, Amir 4, 5 1/9/2013 51 0.33 1,947,801 202,500 Uranium Energy Corp. Common Shares Adnani, Amir 4, 5 1/9/2013 38 2.58 1,921,899 -25,902 Uranium Energy Corp. Common Shares Adnani, Amir 4, 5 1/9/2013 10 2.5228 1,876,899 -45,000 Uranium Energy Corp. Common Shares Adnani, Amir 4, 5 1/10/2013 10 2.5194 1,856,899 -20,000 Uranium Energy Corp. Common Shares Adnani, Amir 4, 5 1/11/2013 10 2.4564 1,827,278 -29,621 Uranium Energy Corp. Options Adnani, Amir 4, 5 1/9/2013 51 0.33 1,065,000 -202,500 Uranium Focused Energy Fund
Trust Units Uranium Focused Energy Fund
1 1/4/2013 38 2.19 19,705,601 1,000
Uranium Focused Energy Fund
Trust Units Uranium Focused Energy Fund
1 1/9/2013 38 2.22 19,706,301 700
Uranium Focused Energy Fund
Trust Units Uranium Focused Energy Fund
1 1/10/2013 38 2.25 19,706,401 100
Insider Reporting
January 17, 2013
(2013) 36 OSCB 945
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Valeant Pharmaceuticals International, Inc.
Common Shares De Silva, Rajiv 5 1/5/2013 57 194,516 9,457
Valeant Pharmaceuticals International, Inc.
Rights Restricted Share Units (RSUs)
De Silva, Rajiv 5 1/5/2013 57 101,966 -14,907
Valterra Resource Corporation
Common Shares Sveinson, Frederick J. 5 1/4/2013 10 0.15 303,000 10,000
Valterra Resource Corporation
Common Shares Sveinson, Frederick J. 5 1/7/2013 10 0.16 313,000 10,000
Valterra Resource Corporation
Common Shares Sveinson, Frederick J. 5 1/9/2013 10 0.14 323,000 10,000
Vela Minerals Ltd. Options Fletcher, Braden 4 1/3/2013 00 130,000 Velan Inc. Subordinate Voting Shares Velan Inc. 1 12/3/2012 38 11.2 10,600 1,000
Velan Inc. Subordinate Voting Shares Velan Inc. 1 12/4/2012 38 11.15 11,600 1,000
Velan Inc. Subordinate Voting Shares Velan Inc. 1 12/7/2012 38 11.25 12,600 1,000
Velan Inc. Subordinate Voting Shares Velan Inc. 1 12/10/2012 38 11.21 4,000 1,000
Velan Inc. Subordinate Voting Shares Velan Inc. 1 12/17/2012 38 11.35 4,600 600
Velan Inc. Subordinate Voting Shares Velan Inc. 1 12/18/2012 38 11.45 5,300 700
Velan Inc. Subordinate Voting Shares Velan Inc. 1 12/20/2012 38 11.41 6,000 700
Velan Inc. Subordinate Voting Shares Velan Inc. 1 12/21/2012 38 11.36 7,000 1,000
Velan Inc. Subordinate Voting Shares Velan Inc. 1 1/7/2013 38 0 -7,000
Vena Resources Inc. Common Shares Vegarra, Juan 4, 5 1/7/2013 10 0.2 1,707,000 10,000 Verde Potash Plc Options Richardson, Jeddiah Kurt
Richardson 4, 5 1/8/2013 50 3.53 165,000 23,000
Verde Potash Plc Options Richardson, Jeddiah Kurt Richardson
4, 5 1/8/2013 50 3.53 23,000
Verde Potash Plc Options Richardson, Jeddiah Kurt Richardson
4, 5 1/8/2013 50 3.53 23,000
Verde Potash Plc Options Veloso, Cristiano Botelho 4, 5 1/8/2013 50 3.53 1,105,723 250,000
Verde Potash Plc Options Veloso, Cristiano Botelho 4, 5 1/8/2013 50 3.53 250,000
Verde Potash Plc Options Veloso, Cristiano Botelho 4, 5 1/8/2013 50 3.53 250,000
Veresen Inc. Common Shares White, Stephen 8 12/31/2012 00 37,952 Vermilion Energy Inc. Common Shares Donovan, John 5 12/31/2012 30 48.163 163,514 525 Vermilion Energy Inc. Common Shares Donovan, John 5 1/8/2013 10 52.186 156,014 -7,500 Vermilion Energy Inc. Common Shares Donovan, John 5 12/31/2012 30 48.16 325 1 Victory Gold Mines Inc. Common Shares Cullen, John Richard 4 1/2/2013 51 0.15 349,918 149,918 Victory Gold Mines Inc. Options Cullen, John Richard 4 1/2/2013 51 0.15 200,082 -149,918 Victory Ventures Inc. Common Shares SZIGETY, DIANNE MARIE 5 1/4/2013 10 0.035 19,000 1,000
Victory Ventures Inc. Common Shares SZIGETY, DIANNE MARIE 5 1/10/2013 10 0.03 20,000 1,000
Visible Gold Mines Inc. Common Shares Champagne, Sylvain 4, 5 1/3/2013 10 0.025 500,008 72,000 Visible Gold Mines Inc. Options Champagne, Sylvain 4, 5 8/23/2012 52 635,000 -200,000 Visible Gold Mines Inc. Options Dallaire, Martin 4, 5 8/23/2012 52 840,000 -750,000 Visible Gold Mines Inc. Options Vézina, Pierre 4 8/23/2012 52 325,000 -50,000 Vista Gold Corp. Common Shares Richings, Michael 4 1/8/2013 56 156,093 32,664 Vista Gold Corp. RSU Richings, Michael 4 1/8/2013 57 49,364 -32,664 Vista Gold Corp. RSU Richings, Michael 4 1/8/2013 58 - Expiration
of rights 32,028 -17,336
Vista Gold Corp. Options Rozelle, John W. 5 8/1/2012 00 100,000 Vista Gold Corp. Options Employee Stock
Option Plan Rozelle, John W. 5 8/1/2012 00
VVC Exploration Corporation Common Shares Martell, Terrence 4 9/20/2012 15 0.05 1,200,000
VVC Exploration Corporation Common Shares Martell, Terrence 4 9/20/2012 15 0.05 -600,000 -600,000
Wallbridge Mining Company Limited
Common Shares HOLMES, WARREN 4 12/21/2012 10 0.13 2,455,500 25,000
Insider Reporting
January 17, 2013
(2013) 36 OSCB 946
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
WesCan Energy Corp. Common Shares Bailey, William Coleman 5 1/10/2013 46 0.2 125,000 100,000 WesCan Energy Corp. Common Shares Busby, Gregory Timothy
John 4, 5 9/5/2012 00
WesCan Energy Corp. Common Shares Busby, Gregory Timothy John
4, 5 12/13/2012 16 0.2 25,000 25,000
WesCan Energy Corp. Common Shares Busby, Gregory Timothy John
4, 5 1/4/2013 46 0.2 106,723 81,723
West Fraser Timber Co. Ltd. Options Gibson, J. Duncan 4 12/31/2012 59 0 -6,050
West Red Lake Gold Mines Inc.(Formerly Hy Lake Gold Inc.)
Common Shares Meredith, Thomas Wright 4 12/28/2012 10 0.115 12,000 7,000
Western Energy Services Corp.
Common Shares Bowers, Jeffrey Keith 5 5/16/2012 10 7.06 163
Western Energy Services Corp.
Common Shares Bowers, Jeffrey Keith 5 5/16/2012 10 7.06 163
Western Energy Services Corp.
Common Shares Bowers, Jeffrey Keith 5 12/31/2012 30 7.5 633,742 4,008
Western Energy Services Corp.
Common Shares MacAusland, Alexander Roland Neil
5 12/31/2012 30 7.5 817,603 4,825
Western Energy Services Corp.
Common Shares Tremblay, Dale E. 4, 5 12/31/2012 30 7.5 1,262,111 2,424
Western Troy Capital Resources Inc.
Options thompson, edward george 4 12/6/2012 52 110,000 -15,000
Western Wind Energy Corp. Common Shares WWE Equity Holdings Inc. 3 8/28/2012 00 10,727,506 Western Wind Energy Corp. Common Shares WWE Equity Holdings Inc. 3 10/16/2012 11 2.25 11,004,609 277,103 Western Wind Energy Corp. Common Shares WWE Equity Holdings Inc. 3 11/29/2012 54 1.25 11,324,350 319,741 Western Wind Energy Corp. Warrants WWE Equity Holdings Inc. 3 8/28/2012 00 319,741 Western Wind Energy Corp. Warrants WWE Equity Holdings Inc. 3 11/29/2012 54 1.25 0 -319,741 WesternOne Inc. Common Shares Darren Financial Group Inc. 4 12/31/2012 00 1,865,438
WesternOne Inc. Common Shares Evans, Steve 4 12/31/2012 00 172,057 WesternOne Inc. Common Shares Evans, Steve 4 12/31/2012 00 33,200 WesternOne Inc. Options Evans, Steve 4 12/31/2012 00 57,500 WesternOne Inc. Common Shares Gardner, Chris 7 12/31/2012 00 44,650 WesternOne Inc. Options Gardner, Chris 7 12/31/2012 00 114,000 WesternOne Inc. Common Shares Greig, Andrew David
Gilmour 5 12/31/2012 00 9,100
WesternOne Inc. Options Greig, Andrew David Gilmour
5 12/31/2012 00
WesternOne Inc. Options Greig, Andrew David Gilmour
5 12/31/2012 00 65,000
WesternOne Inc. Common Shares Holloway, Christopher Joel 7 12/31/2012 00 2,600
WesternOne Inc. Common Shares Latoski, Darren Todd 4, 5 12/31/2012 00 63,571 WesternOne Inc. Common Shares Latoski, Darren Todd 4, 5 12/31/2012 00 1,865,438 WesternOne Inc. Options Latoski, Darren Todd 4, 5 12/31/2012 00 230,000 WesternOne Inc. Common Shares Scott, Douglas R. 4 12/31/2012 00 WesternOne Inc. Common Shares Scott, Douglas R. 4 12/31/2012 00 76,000 WesternOne Inc. Convertible Debentures Scott, Douglas R. 4 12/31/2012 00 $74,000 WesternOne Inc. Options Scott, Douglas R. 4 12/31/2012 00 44,500 WesternOne Inc. Common Shares Triple E Ventures 4 12/31/2012 00 33,200 WestJet Airlines Ltd. Common Shares - Voting Beddoe, Clive 5 12/31/2012 30 15.7 1,623,369 748
Whitecap Resources Inc. Common Shares Armstrong, Joel Maxwell 5 1/10/2013 10 9.03 74,528 2,800 Whitecap Resources Inc. Common Shares Christensen, Daniel James 5 1/9/2013 51 2.4 518,222 124,950
Whitecap Resources Inc. Common Shares Christensen, Daniel James 5 1/9/2013 51 6.13 528,622 10,400
Whitecap Resources Inc. Common Shares Christensen, Daniel James 5 1/9/2013 10 9.04 393,272 -135,350
Whitecap Resources Inc. Common Shares Christensen, Daniel James 5 1/10/2013 51 5.61 409,938 16,666
Whitecap Resources Inc. Common Shares Christensen, Daniel James 5 1/10/2013 10 9.04 393,272 -16,666
Whitecap Resources Inc. Options Christensen, Daniel James 5 1/9/2013 51 2.4 131,200 -124,950
Whitecap Resources Inc. Options Christensen, Daniel James 5 1/9/2013 51 6.13 120,800 -10,400
Whitecap Resources Inc. Options Christensen, Daniel James 5 1/10/2013 51 5.61 104,134 -16,666
Whitecap Resources Inc. Common Shares Dunlop, Darin Roy 5 1/10/2013 51 2.4 226,618 79,125 Whitecap Resources Inc. Common Shares Dunlop, Darin Roy 5 1/10/2013 10 9.04 147,493 -79,125
Insider Reporting
January 17, 2013
(2013) 36 OSCB 947
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Whitecap Resources Inc. Options Dunlop, Darin Roy 5 1/10/2013 51 2.4 126,000 -79,125 Whitecap Resources Inc. Common Shares Fagerheim, Grant Bradley 4, 5 1/10/2013 51 2.4 1,724,160 188,814 Whitecap Resources Inc. Common Shares Fagerheim, Grant Bradley 4, 5 1/10/2013 51 6.13 1,755,626 31,466 Whitecap Resources Inc. Common Shares Fagerheim, Grant Bradley 4, 5 1/10/2013 51 5.61 1,772,292 16,666 Whitecap Resources Inc. Common Shares Fagerheim, Grant Bradley 4, 5 1/10/2013 10 9.04 1,535,346 -236,946 Whitecap Resources Inc. Options Fagerheim, Grant Bradley 4, 5 1/10/2013 51 2.4 219,900 -188,314 Whitecap Resources Inc. Options Fagerheim, Grant Bradley 4, 5 1/10/2013 51 2.4 219,400 -500 Whitecap Resources Inc. Options Fagerheim, Grant Bradley 4, 5 1/10/2013 51 6.13 187,934 -31,466 Whitecap Resources Inc. Options Fagerheim, Grant Bradley 4, 5 1/10/2013 51 5.61 171,268 -16,666 Whitecap Resources Inc. Common Shares Kang, Thanh Chan 5 1/10/2013 51 2.4 397,765 108,290 Whitecap Resources Inc. Common Shares Kang, Thanh Chan 5 1/10/2013 51 6.13 406,765 9,000 Whitecap Resources Inc. Common Shares Kang, Thanh Chan 5 1/10/2013 51 5.61 423,431 16,666 Whitecap Resources Inc. Common Shares Kang, Thanh Chan 5 1/10/2013 10 9.04 289,475 -133,956 Whitecap Resources Inc. Options Kang, Thanh Chan 5 1/10/2013 51 2.4 127,000 -108,290 Whitecap Resources Inc. Options Kang, Thanh Chan 5 1/10/2013 51 6.13 118,000 -9,000 Whitecap Resources Inc. Options Kang, Thanh Chan 5 1/10/2013 51 5.61 101,334 -16,666 Whitecap Resources Inc. Common Shares Lebsack, Peter Gary 5 1/10/2013 51 2.4 281,472 104,125 Whitecap Resources Inc. Common Shares Lebsack, Peter Gary 5 1/10/2013 51 6.13 290,138 8,666 Whitecap Resources Inc. Common Shares Lebsack, Peter Gary 5 1/10/2013 51 5.61 306,804 16,666 Whitecap Resources Inc. Common Shares Lebsack, Peter Gary 5 1/10/2013 10 9.04 177,347 -129,457 Whitecap Resources Inc. Options Lebsack, Peter Gary 5 1/10/2013 51 2.4 126,000 -104,125 Whitecap Resources Inc. Options Lebsack, Peter Gary 5 1/10/2013 51 6.13 117,334 -8,666 Whitecap Resources Inc. Options Lebsack, Peter Gary 5 1/10/2013 51 5.61 100,668 -16,666 Whitecap Resources Inc. Common Shares McNamara, Glenn 4 1/10/2013 51 6.13 41,851 1,851 Whitecap Resources Inc. Common Shares McNamara, Glenn 4 1/10/2013 10 9.04 40,000 -1,851 Whitecap Resources Inc. Common Shares McNamara, Glenn 4 1/10/2013 51 5.61 41,000 1,000 Whitecap Resources Inc. Common Shares McNamara, Glenn 4 1/10/2013 51 3 52,106 11,106 Whitecap Resources Inc. Common Shares McNamara, Glenn 4 1/10/2013 10 9.04 40,000 -12,106 Whitecap Resources Inc. Options McNamara, Glenn 4 1/9/2013 51 6.13 31,362 -1,851 Whitecap Resources Inc. Options McNamara, Glenn 4 1/10/2013 51 5.61 30,362 -1,000 Whitecap Resources Inc. Options McNamara, Glenn 4 1/10/2013 51 3 19,256 -11,106 Whitecap Resources Inc. Common Shares Mombourquette, David
Michael 5 1/10/2013 51 2.4 731,080 166,600
Whitecap Resources Inc. Common Shares Mombourquette, David Michael
5 1/10/2013 51 6.13 744,946 13,866
Whitecap Resources Inc. Common Shares Mombourquette, David Michael
5 1/10/2013 51 5.61 761,612 16,666
Whitecap Resources Inc. Common Shares Mombourquette, David Michael
5 1/10/2013 10 9.04 564,480 -197,132
Whitecap Resources Inc. Options Mombourquette, David Michael
5 1/10/2013 51 2.4 141,600 -166,600
Whitecap Resources Inc. Options Mombourquette, David Michael
5 1/10/2013 51 6.13 127,734 -13,866
Whitecap Resources Inc. Options Mombourquette, David Michael
5 1/10/2013 51 5.61 111,068 -16,666
Wireless Matrix Corporation Common Shares Christofilis, Constantinos 3 1/4/2013 10 0.54 6,529,600 -300,000
Wireless Matrix Corporation Common Shares Christofilis, Constantinos 3 1/7/2013 10 0.54 6,405,900 -123,700
Wireless Matrix Corporation Common Shares Christofilis, Constantinos 3 1/8/2013 10 0.55 6,209,700 -196,200
Wireless Matrix Corporation Common Shares Christofilis, Constantinos 3 1/9/2013 10 0.55 5,993,100 -216,600
Wireless Matrix Corporation Common Shares Christofilis, Constantinos 3 1/10/2013 10 0.55 5,910,500 -82,600
Wireless Matrix Corporation Common Shares Christofilis, Constantinos 3 1/7/2013 10 0.54 8,002,300 -20,300
Wireless Matrix Corporation Common Shares Christofilis, Constantinos 3 1/8/2013 10 0.55 7,756,500 -245,800
Wireless Matrix Corporation Common Shares Christofilis, Constantinos 3 1/9/2013 10 0.55 7,485,600 -270,900
Wireless Matrix Corporation Common Shares Christofilis, Constantinos 3 1/10/2013 10 0.55 7,382,200 -103,400
Wireless Matrix Corporation Common Shares Lake Union Capital Management, LLC
3 1/4/2013 10 0.5574 7,311,500 2,000
Wolfden Resources Corporation
Common Shares Hoy, Donald 4, 5 1/10/2013 10 0.295 335,000 5,000
World Energy Solutions, Inc. Common Shares Domaleski, Richard 4 1/9/2013 10 4.7079 328,549 -10,000
Xtreme Drilling and Coil Services Corp.
Common Shares Charron, David Montgomery 5 10/1/2012 00 17,390
Xtreme Drilling and Coil Services Corp.
Common Shares Charron, David Montgomery 5 10/1/2012 00 233,610
Insider Reporting
January 17, 2013
(2013) 36 OSCB 948
Issuer Name Security Insider Name Rel'n Transaction Date T/O Unit Price
Date/Month End Holdings
Acquired/ Disposed
Xtreme Drilling and Coil Services Corp.
Common Shares Charron, David Montgomery 5 10/3/2012 50 1.14 80,000
Xtreme Drilling and Coil Services Corp.
Common Shares Charron, David Montgomery 5 10/3/2012 50 1.14 80,000
Xtreme Drilling and Coil Services Corp.
Options Charron, David Montgomery 5 10/1/2012 00
Xtreme Drilling and Coil Services Corp.
Options Charron, David Montgomery 5 10/3/2012 50 1.14 80,000 80,000
Xtreme Drilling and Coil Services Corp.
Options Charron, David Montgomery 5 10/3/2012 56 1.14 100,000 20,000
Xtreme Drilling and Coil Services Corp.
Options Charron, David Montgomery 5 10/3/2012 99 155,000 55,000
Xylitol Canada Inc. Common Shares Dundee Corporation 3 1/10/2013 00 Xylitol Canada Inc. Common Shares Dundee Corporation 3 1/10/2013 11 0.225 8,888,888 8,888,888 Xylitol Canada Inc. Warrants Dundee Corporation 3 1/10/2013 00 Xylitol Canada Inc. Warrants Dundee Corporation 3 1/10/2013 11 0.375 4,444,444 4,444,444 Yamana Gold Inc. Common Shares Cintra, Evandro 5 1/10/2013 57 137,168 7,492 Yamana Gold Inc. Restricted Shares Cintra, Evandro 5 1/10/2013 57 118,520 -7,492 Yamana Gold Inc. Common Shares Costa, Ludovico Sebastiao 5 1/10/2013 57 115,296 11,800
Yamana Gold Inc. Restricted Shares Costa, Ludovico Sebastiao 5 1/10/2013 57 281,124 -11,800
Yamana Gold Inc. Common Shares LeBlanc, Jason 5 1/10/2013 57 23,333 3,664 Yamana Gold Inc. Common Shares LeBlanc, Jason 5 1/11/2013 10 17.184 21,462 -1,871 Yamana Gold Inc. Restricted Shares LeBlanc, Jason 5 1/10/2013 57 52,321 -3,664 Yamana Gold Inc. Common Shares Main, Charles 5 1/10/2013 57 152,152 10,588 Yamana Gold Inc. Common Shares Main, Charles 5 1/11/2013 10 -5,405 Yamana Gold Inc. Common Shares Main, Charles 5 1/11/2013 10 -5,405 Yamana Gold Inc. Common Shares Main, Charles 5 1/11/2013 10 17.184 146,747 -5,405 Yamana Gold Inc. Restricted Shares Main, Charles 5 1/10/2013 57 262,469 -10,588 Yamana Gold Inc. Deferred Share Unit Marrone, Peter 4, 5 1/9/2013 56 1,908,844 100,796 Yamana Gold Inc. Common Shares Martins, Ana Lucia 5 1/10/2013 57 59,819 3,873 Yamana Gold Inc. Restricted Shares Martins, Ana Lucia 5 1/10/2013 57 42,805 -3,873 Yamana Gold Inc. Common Shares Marud, Darcy Edward 5 1/10/2013 57 290,294 8,787 Yamana Gold Inc. Restricted Shares Marud, Darcy Edward 5 1/10/2013 57 215,129 -8,787 Yamana Gold Inc. Restricted Shares Marud, Darcy Edward 5 1/10/2013 57 8,787 Yamana Gold Inc. Restricted Shares Marud, Darcy Edward 5 1/10/2013 57 8,787 Yamana Gold Inc. Common Shares McKnight, Greg 5 1/10/2013 57 146,758 6,106 Yamana Gold Inc. Common Shares McKnight, Greg 5 1/11/2013 10 16.97 143,758 -3,000 Yamana Gold Inc. Restricted Shares McKnight, Greg 5 1/10/2013 57 214,773 -6,106 Yamana Gold Inc. Common Shares Munhoz, Nelson 5 1/10/2013 57 51,492 5,524 Yamana Gold Inc. Restricted Shares Munhoz, Nelson 5 1/10/2013 57 62,082 -5,524 Yamana Gold Inc. Common Shares Portmann, Patrick 5 1/10/2013 57 4,039 1,696 Yamana Gold Inc. Common Shares Portmann, Patrick 5 1/10/2013 10 17.184 3,173 -866 Yamana Gold Inc. Restricted Shares Portmann, Patrick 5 1/10/2013 57 31,299 -1,696 Yamana Gold Inc. Common Shares Portugal, Arao 5 1/10/2013 57 17,154 4,464 Yamana Gold Inc. Restricted Shares Portugal, Arao 5 1/10/2013 57 44,839 -4,464 Yamana Gold Inc. Common Shares Soares, Betty 5 1/10/2013 57 27,873 3,579 Yamana Gold Inc. Common Shares Soares, Betty 5 1/11/2013 10 -1,879 Yamana Gold Inc. Common Shares Soares, Betty 5 1/11/2013 10 -1,879 Yamana Gold Inc. Common Shares Soares, Betty 5 1/11/2013 10 17.184 26,046 -1,827 Yamana Gold Inc. Restricted Shares Soares, Betty 5 1/10/2013 57 52,637 -3,579 Yamana Gold Inc. Common Shares Tsakos, Sofia 5 1/10/2013 57 64,432 4,849 Yamana Gold Inc. Common Shares Tsakos, Sofia 5 1/11/2013 10 17.09 61,957 -2,475 Yamana Gold Inc. Restricted Shares Tsakos, Sofia 5 1/10/2013 57 119,238 -4,849 Yieldplus Income Fund Trust Units Yieldplus Income Fund 1 1/9/2013 38 7.4 84,282,010 500 Zargon Oil & Gas Ltd. Common Shares Buckley, Charles Laurence 5 12/17/2012 30 7.3667 9,059 69
Zargon Oil & Gas Ltd. Common Shares Doetzel, Randolph John 5 12/17/2012 30 7.3667 3,018 1 Zargon Oil & Gas Ltd. Common Shares Dranchuk, Jason Brent 5 12/17/2012 30 7.3667 4,716 38 Zargon Oil & Gas Ltd. Common Shares Dranchuk, Jason Brent 5 12/17/2012 30 7.3667 11,663 45 Zargon Oil & Gas Ltd. Common Shares Hansen, Craig Henry 4, 5 12/17/2012 30 7.3667 226,568 74 Zargon Oil & Gas Ltd. Common Shares Hansen, Craig Henry 4, 5 12/17/2012 30 7.3667 517,164 40 Zargon Oil & Gas Ltd. Common Shares Howard, Tracy Leigh 5 12/17/2012 30 7.3667 3,643 14 Zargon Oil & Gas Ltd. Common Shares Howard, Tracy Leigh 5 12/17/2012 30 7.3667 9,511 38 Zargon Oil & Gas Ltd. Common Shares Kergan, Brian 5 12/17/2012 30 7.3667 26,558 52 Zargon Oil & Gas Ltd. Common Shares Kergan, Brian 5 12/17/2012 30 7.3667 24,634 35 Zargon Oil & Gas Ltd. Common Shares Lee, Kevin Chin Yu 5 12/17/2012 30 7.3667 10,417 81 Zargon Oil & Gas Ltd. Common Shares Moriyama, Robert Todd 5 12/17/2012 30 7.3667 3,553 27 Zargon Oil & Gas Ltd. Common Shares Moriyama, Robert Todd 5 12/17/2012 30 7.3667 3,553 27 Zephyr Minerals Ltd. Common Shares Felderhof, David Hugh 3, 4, 5 12/13/2012 10 0.2 955,000 3,000
January 17, 2013
(2013) 36 OSCB 949
Chapter 8
Notice of Exempt Financings REPORTS OF TRADES SUBMITTED ON FORMS 45-106F1 AND 45-501F1
Transaction Date
No. of Purchasers
Issuer/Security Total Purchase Price ($)
No of Securities Distributed
11/06/2012 38 311 New Rodgers Associates, LLC - Units
4,300,000.00 3.00
12/18/2012 131 49 North 2012 Resource Flow-Through Limited Partnership - Limited Partnership Units
2,868,400.00 286,840.00
12/03/2012 to 12/06/2012
8 982 Film Fund Ltd. - Common Shares 214,000.00 N/A
11/29/2012 1 Ally Financial Inc. - Notes 497,225.00 N/A
12/28/2012 13 Altitude Resources Inc. (Formerly Triumph Ventures III Corporation) - Receipts
359,730.00 513,900.00
09/12/2012 17 American Vanadium Corp. - Units 2,000,029.48 3,225,854.00
12/04/2012 69 Arroway Energy Inc. - Flow-Through Units
4,000,189.55 7,395,981.00
10/31/2012 18 Aurin Biotech Inc. - Common Shares 490,275.00 653,700.00
10/31/2012 14 Aurin Biotech Inc. - Common Shares 775,100.00 775,100.00
03/02/2012 to 03/09/2012
61 Aurvista Gold Corporation - Common Shares
1,637,250.00 6,549,000.00
11/13/2012 1 Bayshore Petroleum Corp. - Common Shares
30,000.00 100,000.00
07/18/2008 39 Bending Lake Iron Group Limited (amended) - Common Shares
4,088,000.00 4,088,000.00
08/23/2012 47 Bending Lake Iron Group Limited (amended) - Units
1,710,121.44 28,502,024.00
04/25/2012 to 08/17/2012
2 BirchLeaf Growth Fund - Units 25,779.89 5,720.88
12/13/2012 2 Black Horse Resources Inc. - Units 6,400,786.80 4,879,879.00
08/27/2012 to 09/06/2012
38 Bluestone Resources Inc. - Units 512,420.04 2,846,778.00
12/03/2012 13 Cabia Goldhills Inc. - Units 610,000.00 2,240,000.00
11/08/2012 6 Cabia Goldhills Inc. - Units 367,500.00 200,000.00
12/31/2012 23 Cadman Resources Inc. - Units 224,699.98 4,093,333.00
12/14/2012 25 Caledonian Royalty Corporation - Units 2,000,000.00 250,000.00
Notice of Exempt Financings
January 17, 2013
(2013) 36 OSCB 950
Transaction Date
No. of Purchasers
Issuer/Security Total Purchase Price ($)
No of Securities Distributed
11/19/2012 21 Canadian Platinum Corp. - Common Shares
414,095.00 16,594,000.00
11/19/2012 7 Canadian Platinum Corp. - Common Shares
455,075.00 1,226,400.00
12/19/2012 14 Canarc Resource Corp. - Units 495,000.00 4,500,000.00
11/13/2012 6 Canoel International Energy Ltd. - Units 176,939.94 2,948,999.00
12/06/2012 3 Carnival Corporation - Notes 6,180,743.13 6,180,743.13
08/16/2012 67 Cayden Resources Inc. - Common Shares
5,095,000.00 5,095,000.00
12/31/2012 3 Caza Gold Corp. - Common Shares 40,007.92 533,439.00
12/28/2012 4 Caza Gold Corp. - Units 228,500.00 2,285,000.00
11/23/2012 to 11/27/2012
25 Centurion Minerals Ltd. - Units 400,000.00 5,714,285.71
12/11/2012 3 Cleaver-Brooks, Inc. - Notes 15,784,359.29 3.00
11/13/2012 to 11/16/2012
3 Colwood City Centre Limited Partnership - Notes
191,250.00 191,250.00
10/29/2012 to 11/02/2012
12 Colwood City Centre Limited Partnership - Notes
737,000.00 737,000.00
10/01/2012 to 10/05/2012
32 Colwood City Centre Limited Partnership - Notes
1,502,000.00 1,502,000.00
11/05/2012 to 11/07/2012
4 Colwood City Centre Limited Partnership - Notes
255,950.00 255,950.00
05/22/2012 to 05/25/2012
14 Colwood City Centre Limited Partnership (Amended) - Notes
1,028,729.00 1,028,729.00
11/21/2012 22 Colwood City Centre Limited Partnership - Notes
1,076,500.00 1,076,500.00
12/27/2012 5 Comstock Metals Ltd. - Flow-Through Shares
1,499,999.84 7,894,736.00
12/07/2012 2 Conn's, Inc. - Common Shares 1,058,230.00 40,000.00
12/31/2012 1 Copper Reef Mining Corporation - Common Shares
60,000.00 1,000,000.00
12/31/2012 2 Copper Reef Mining Corporation - Flow-Through Units
220,000.00 2,750,000.00
11/19/2012 37 Corex Resources Ltd. - Common Shares 6,532,000.00 65,320,000.00
09/17/2012 6 Creso Exploration Inc.(amended) - Units 100,000.00 4,000,000.00
11/15/2012 40 Cross Roads Park Plaza Income Trust - Trust Units
930,600.00 8,606.00
11/19/2012 82 Difference Capital Funding Inc. - Special Warrants
13,933,750.00 39,810,698.00
Notice of Exempt Financings
January 17, 2013
(2013) 36 OSCB 951
Transaction Date
No. of Purchasers
Issuer/Security Total Purchase Price ($)
No of Securities Distributed
12/28/2012 2 Dolly Varden Silver Corporation - Common Shares
532,000.00 2,660,000.00
12/12/2012 1 Duncastle Gold Corp. - Common Shares 112,000.00 1,400,000.00
10/15/2012 29 Eagle Mountain Gold Corp. - Units 1,702,250.10 12,609,260.00
02/01/2012 to 12/01/2012
7 East West Canada Fund LP - Limited Partnership Units
3,050,000.00 N/A
08/01/2012 1 EdgeHill Multi Strategy Fund Ltd. - Common Shares
1,000,000.00 100.00
11/20/2012 16 Edgewater Wireless Systems Inc. - Common Shares
939,596.05 11,389,043.00
06/26/2012 40 EnWave Corporation - Common Shares 5,514,000.00 3,676,000.00
12/03/2012 23 Equity Solar Inc. - Preferred Shares 413,416.00 333,400.00
12/21/2012 to 12/24/2012
23 Erdene Resource Development Corporation - Units
999,999.74 5,782,352.00
08/10/2012 1 Estrella International Energy Services Ltd. - Common Shares
25,000,000.00 166,666,667.00
08/24/2012 30 Everton Resources Inc. (amended) - Units
1,485,000.00 18,562,500.00
08/09/2012 68 Fire River Gold Corp. - Units 5,747,134.77 88,417,458.00
11/02/2012 21 Firestone Ventures Inc. - Common Shares
455,000.00 9,100,000.00
04/10/2012 to 04/17/2012
6 First Graphite Corp. (formerly Solace Resources Corp. Amended) - Common Shares
333,799.72 819,998.00
12/19/2012 1 First National Mortgage Investment Fund - Units
9,200,000.00 N/A
12/21/2012 to 12/28/2012
29 GeoNovus Minerals Corp. - Units 389,695.00 5,794,250.00
12/19/2012 32 Gespeg Copper Resources Inc. - Units 705,000.00 800,505.00
12/21/2012 9 Ginguro Exploration Inc. - Flow-Through Units
725,000.00 5,250,000.00
05/17/2012 8 Global SeaFarms Corporation - Common Shares
13,709,337.80 88,563,689.00
11/15/2012 to 11/28/2012
1 GMO Benchmark-Free Allocation Fund-III - Units
4,929,008.31 202,085.80
11/02/2012 to 11/28/2012
1 GMO Benchmark-Free Allocation Fund-III - Units
26,935,759.99 1,100,916.40
12/07/2012 to 12/31/2012
1 GMO Developed World Equity Investment Fund PLC - Units
316,497.35 11,082.59
11/15/2012 to 12/18/2012
1 GMO Emerging Domestic Opportunities Fund-IV - Units
99,208,894.83 4,291,657.32
Notice of Exempt Financings
January 17, 2013
(2013) 36 OSCB 952
Transaction Date
No. of Purchasers
Issuer/Security Total Purchase Price ($)
No of Securities Distributed
08/31/2012 13 Goldman Sachs Capital Growth Fund- Class A - Common Shares
2,363.71 108.01
08/31/2012 13 Goldman Sachs Technology Tollkeeper Fund- Class A - Common Shares
472.73 38.51
10/16/2012 32 Goldrush Resources Ltd. (amended) - Units
500,000.00 12,500,000.00
07/19/2012 13 Graniz Mondal Inc. - Units 316,999.92 2,641,666.00
07/31/2012 20 Green Swan Capital Corp. (amended) - Units
261,440.00 2,277,000.00
01/01/2012 to 10/01/2012
9 Greenskeeper Value Fund - Units 1,487,979.86 N/A
12/06/2012 23 Greystone Real Estate Fund Inc. - Common Shares
43,368,000.00 481,321.17
10/23/2012 27 Gunpoint Exploration Ltd. - Units 1,950,000.00 3,900,000.00
01/01/2012 to 12/31/2012
14 HCP Bank Fund L.P. - Limited Partnership Units
2,210,000.00 4,460.00
01/01/2012 to 12/31/2012
2 HCP Financials Market Neutral Fund L.P. - Limited Partnership Units
650,000.00 6,500.00
10/15/2012 to 12/31/2012
1 HCP Financials Opportunities Fund L.P. - Limited Partnership Units
1,091,414.00 10,914.00
12/31/2012 1 Hemisphere GPS Inc. - Common Shares 85,200.00 120,000.00
12/19/2012 1 Honey Badger Exploration Inc. - Units 200,000.00 4,000,000.00
11/29/2012 17 International Enexco Limited - Units 2,350,000.00 4,700,000.00
08/10/2012 10 Iron Mountain Incorporation (amended) - Notes
19,602,623.09 10.00
11/07/2012 1 iStar Financial Inc. - Notes 498,600.00 N/A
11/07/2012 3 iStar Financial Inc. - Notes 35,300,880.00 N/A
11/20/2012 to 11/23/2012
65 Ivy Hall Apartments Limited Partnership - Notes
7,502,027.00 N/A
12/14/2012 58 Kane Biotech Inc. - Units 1,442,800.00 18,035,000.00
11/12/2012 7 Kensington Limited Partnership (the Partnership) - Units
160,000.00 160.00
11/20/2012 69 Klondex Mines Ltd. - Units 22,924,412.10 16,984,046.00
10/25/2012 to 10/30/2012
17 Kootenay Silver Inc. (formerly Kootenay Gold Inc.) - Units
8,253,000.00 7,860.00
11/22/2012 34 Lateral Capital Corp. - Common Shares 3,068,417.66 21,917,269.00
11/26/2012 to 11/30/2012
46 League IGW Real Estate Investment Trust - Units
2,440,406.00 2,440,406.00
11/19/2012 to 11/30/2012
53 League Opportunity Fund Ltd. - Notes 5,770,000.00 N/A
Notice of Exempt Financings
January 17, 2013
(2013) 36 OSCB 953
Transaction Date
No. of Purchasers
Issuer/Security Total Purchase Price ($)
No of Securities Distributed
12/27/2012 4 MacDonald Mines Exploration Ltd. - Flow-Through Shares
750,000.08 15,000,002.00
12/31/2012 9 Magnum Capital Corp. - Flow-Through Shares
165,000.00 1,650,000.00
12/17/2012 2 Marquest Asset Management Inc. - Common Shares
50,310.00 90.00
04/05/2012 to 04/20/2012
13 Mason Graphite Corp. - Receipts 4,930,000.00 6,162,500.00
04/05/2012 to 04/20/2012
30 Mason Graphite Corp. - Units 14,300,609.40 19,067,479.20
04/05/2012 7 Maya Gold & Silver Inc. - Common Shares
1,170,000.00 14.00
10/03/2012 to 10/09/2012
11 Mazorro Resources inc. - Units 195,000.00 3,900,000.00
12/15/2012 to 01/15/2013
7 MCF Securities Inc. - Common Shares 273,122.62 273,122.62
11/29/2012 1 McKesson Corporation - Note 2,979,000.00 1.00
08/22/2012 17 Metanor Resources Inc. - Common Shares
10,000,000.00 35,714,285.71
06/30/2012 150 Mexigold Corp. (Amended) - Common Shares
3,469,500.00 14,100,000.00
12/06/2012 5 MGM Resorts International - Notes 75,316,000.00 76,000.00
12/21/2012 102 Midland Exploration Inc. - Flow-Through Shares
2,824,748.00 N/A
07/26/2012 4 Minexco Petroleum Inc. - Common Shares
2,100,000.00 4,200,000.00
12/31/2012 31 Mustang Minerals Corp. - Flow-Through Shares
1,720,650.41 26,379,237.00
12/10/2012 to 12/19/2012
4 Newport Balanced Fund - Trust Units 73,669.49 N/A
12/20/2012 to 12/28/2012
7 Newport Balanced Fund - Trust Units 107,626.93 N/A
12/10/2012 to 12/19/2012
2 Newport Canadian Equity Fund - Trust Units
109,177.10 N/A
12/20/2012 to 12/28/2012
1 Newport Canadian Equity Fund - Trust Units
60,000.00 N/A
12/10/2012 to 12/19/2012
5 Newport Fixed Income Fund - Trust Units
450,903.36 N/A
12/20/2012 to 12/28/2012
5 Newport Fixed Income Fund - Trust Units
488,641.38 N/A
12/10/2012 to 12/19/2012
3 Newport Global Equity Fund - Trust Units
296,500.00 N/A
Notice of Exempt Financings
January 17, 2013
(2013) 36 OSCB 954
Transaction Date
No. of Purchasers
Issuer/Security Total Purchase Price ($)
No of Securities Distributed
12/10/2012 to 12/19/2012
10 Newport Yield Fund - Trust Units 377,846.00 N/A
12/20/2012 to 12/28/2012
21 Newport Yield Fund - Trust Units 525,095.28 N/A
12/13/2012 76 Northern Precious Metals 2012 Limited Partnership - Units
1,301,000.00 1,291.00
12/31/2012 5 Northfield Capital Corporation - Common Shares
225,000.00 900,000.00
11/20/2012 34 NuLegacy Gold Corporation - Units 1,319,650.00 8,797,666.00
10/18/2012 to 10/24/2012
38 Oremex Silver Inc. - Units 357,565.48 5,959,424.00
10/30/2012 19 Pancontinental Uranium Corporation - Units
668,399.85 11,111,111.00
12/12/2012 to 12/21/2012
18 Phoenix Capital Fund - US - Trust Units 320,730.00 N/A
12/14/2012 1 Prince Mineral Holding Corp. - Note 968,514.40 1.00
09/20/2012 16 Protocol Biomass Corp. - Debentures 685,000.00 685,000.00
12/06/2012 8 PVH Corp. - Notes 20,711,900.00 8.00
12/31/2012 1 RediShred Capital Corp. - Debenture 50,000.00 1.00
12/18/2012 1 Regal Beloit Corporation - Common Share
66,330.00 1.00
12/13/2012 1 Regal Beloit Corporation - Common Share
1,649,372.50 1.00
11/26/2012 10 Rio Silver Inc. - Flow-Through Shares 300,000.00 2,000,000.00
12/31/2012 6 Rockland Minerals Corp. - Flow-Through Units
53,530.00 802,857.00
11/23/2012 16 Saguaro Resources Ltd. - Common Shares
1,310,500.00 655,250.00
11/07/2012 1 Sanfield Limited Partnership - Limited Partnership Units
2,000,000.00 200,000.00
11/29/2012 1 Saratoga Resources, Inc. - Note 2,979,000.00 1.00
11/05/2012 10 SearchGold Resources Inc. - Units 215,000.00 4,300,000.00
12/11/2012 1 Sector Re V Ltd - Note 4,933,500.00 1.00
12/05/2012 to 12/13/2012
37 SIF Capital Canada Inc. - Debentures 681,800.00 37.00
12/19/2012 6 Silver Bay Realty Trust Corp. - Common Shares
29,204,450.00 6.00
12/13/2012 2 Silver II Borrower S.C.A./Silver II US Holdings, LLC - Notes
2,205,000.00 2.00
Notice of Exempt Financings
January 17, 2013
(2013) 36 OSCB 955
Transaction Date
No. of Purchasers
Issuer/Security Total Purchase Price ($)
No of Securities Distributed
07/02/2012 8 Skyline Commercial Real Estate Investment Trust (amended) - Units
420,000.00 42,000.00
11/14/2012 55 Solar Flow-Through 2012-I Limited Partnership (the "L.P".) - Units
2,027,000.00 20,270.00
12/02/2009 to 09/19/2012
12 Spartan Bioscience Inc. - Common Shares
1,151,950.89 1,562,051.00
12/17/2012 1 Spectra Energy Corp. - Common Shares 3,291,250.00 12,800,000.00
12/07/2012 5 Steamboat Ventures V, L.P. - Limited Partnership Interest
25,466,750.00 N/A
10/16/2012 1 St. Augustine Gold and Copper Limited - Investment Trust Interests
4,593,750.00 25,000,000.00
05/17/2012 33 Super Nova Minerals Corp. - Common Shares
156,250.00 1,562,500.00
12/18/2012 1 Taminco Acquisition Corporation - Note 970,200.00 1.00
11/22/2012 1 Temex Resources Corp. - Common Shares
0.00 5,000,000.00
12/12/2012 3 Tempur-Pedic International Inc. - Notes 3,547,440.00 3,600.00
12/31/2012 1 Tempus Capital Inc. - Common Shares 60,000.00 800,000.00
12/04/2012 4 The Royal Bank of Scotland Group plc. - Notes
14,879,034.00 4.00
12/07/2012 1 Tops Holdings Corporation and Tops Markets, LLC - Notes
22,252,500.00 22,500.00
12/14/2012 1 Unitymedia Hessen GmbH & Co. KG and Unitymedia NRW GmbH - Note
18,734,000.00 1.00
01/02/2013 1 Victory Gold Mines Inc. - Common Shares
17,160.00 85,800.00
12/27/2012 to 12/31/2012
21 Viking Gold Exploration Inc. - Flow-Through Units
147,300.00 800,000.00
12/27/2012 to 12/31/2012
1 Viking Gold Exploration Inc. - Units 50,000.00 500,000.00
12/10/2012 3 Volcano Corporation - Notes 12,833,600.00 3.00
12/19/2012 3 VSS Communications Parallel Partners IV, L.P. - Limited Partnership Interest
590,914.00 599,244.00
12/15/2012 2 Woodlands Biofuels Inc. - Preferred Shares
1,000,000.00 909,091.00
12/03/2012 3 Zecotek Photonics Inc. - Units 339,999.84 944,444.00
12/13/2012 8 Zorzal Incorporated - Common Shares 113,944.00 189,906.00
Notice of Exempt Financings
January 17, 2013
(2013) 36 OSCB 956
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January 17, 2013
(2013) 36 OSCB 957
Chapter 11
IPOs, New Issues and Secondary Financings Issuer Name: American Hotel Income Properties REIT LP Principal Regulator - British Columbia Type and Date: Preliminary Long Form Prospectus dated NP 11-202 Receipt dated Offering Price and Description: - Underwriter(s) or Distributor(s): - Promoter(s): - Project #2005794 _______________________________________________ Issuer Name: Aurania Resources Ltd. Principal Regulator - Ontario Type and Date: Preliminary Long Form Prospectus dated January 11, 2013 NP 11-202 Receipt dated January 14, 2013 Offering Price and Description: $* - * Common Shares $* per Common Share and Distribution of 776,862 Common Shares issuable upon the conversion of 776,862 previously issued Special Warrants Price: $0.40 per Special Warrant Underwriter(s) or Distributor(s): Maison Placements Canada Inc. Promoter(s): Keith M. Barron Project #2005365 _______________________________________________
Issuer Name: Giant Exploration Inc. Principal Regulator - British Columbia Type and Date: Amended and Restated Long Form Prospectus dated January 7, 2013 amending and restating the Long Form Prospectus dated October 10, 2012 NP 11-202 Receipt dated January 10, 2013 Offering Price and Description: $1,145,000.00 OF UNITS AND FLOW-THROUGH SHARES (MINIMUM OFFERING) $3,500,000.00 OF UNITS AND FLOW-THROUGH SHARES (MAXIMUM OFFERING) PRICE: $0.15 PER UNIT PRICE: $0.20 PER FLOWTHROUGH SHARE Underwriter(s) or Distributor(s): Jones, Gable & Company Limited Promoter(s): David A Stadnyk George Tsafalas Project #1932431 _______________________________________________ Issuer Name: iShares S&P Global Consumer Discretionary Index Fund (CAD-Hedged) iShares S&P Global Industrials Index Fund (CAD-Hedged) Principal Regulator - Ontario Type and Date: Preliminary Long Form Prospectus dated January 14, 2013 NP 11-202 Receipt dated January 14, 2013 Offering Price and Description: Units Underwriter(s) or Distributor(s): - Promoter(s): - Project #2005602 _______________________________________________
IPOs, New Issues and Secondary Financings
January 17, 2013
(2013) 36 OSCB 958
Issuer Name: Nobel Real Estate Investment Trust Principal Regulator - Quebec Type and Date: Amended and Restated Preliminary Long Form Prospectus dated January 11, 2013 NP 11-202 Receipt dated January 14, 2013 Offering Price and Description: $5,600,000.00 -22,400,000 Units Price: $0.25 Per Unit Underwriter(s) or Distributor(s): Desjardins Securities Inc. National Bank Financial Inc. Scotia Capital Inc. Promoter(s): Capital Nobel Inc. Project #2000424 _______________________________________________ Issuer Name: O'Leary Canadian Bond Yield Advantaged Class Principal Regulator - Quebec Type and Date: Preliminary Simplified Prospectus dated January 7, 2013 NP 11-202 Receipt dated January 9, 2013 Offering Price and Description: Series A, F, H, I and M Underwriter(s) or Distributor(s): - Promoter(s): O'Leary Funds Management L.P. Project #2004301 _______________________________________________ Issuer Name: True North Apartment Real Estate Investment Trust Principal Regulator - Ontario Type and Date: Preliminary Short Form Prospectus dated January 11, 2013 NP 11-202 Receipt dated January 11, 2013 Offering Price and Description: $55,480,000.00 - 13,870,000 Subscription Receipts each representing the right to receive one Unit Price: $4.00 per Subscription Receipt Underwriter(s) or Distributor(s): CIBC WORLD MARKETS INC. RAYMOND JAMES LTD. TD SECURITIES INC. NATIONAL BANK FINANCIAL INC. BMO NESBITT BURNS INC. GMP SECURITIES L.P. SCOTIA CAPITAL INC. CANACCORD GENUITY CORP. DESJARDINS SECURITIES INC. DUNDEE SECURITIES LTD. Promoter(s): STARLIGHT INVESTMENTS LTD. Project #2005260 _______________________________________________
Issuer Name: First Asset DEX Provincial Bond Index ETF Principal Regulator - Ontario Type and Date: Long Form Prospectus dated January 3, 2013 NP 11-202 Receipt dated January 8, 2013 Offering Price and Description: Common Units and Advisor Class Units @ Net Asset Value Underwriter(s) or Distributor(s): - Promoter(s): First Asset Investment Management Inc. Project #1962704 _______________________________________________ Issuer Name: Horizons Active S&P/TSX 60 Index Covered Call ETF Principal Regulator - Ontario Type and Date: Long Form Prospectus dated January 4, 2013 NP 11-202 Receipt dated January 8, 2013 Offering Price and Description: Class E Units and Advisor Class Units Underwriter(s) or Distributor(s): - Promoter(s): AlphaPro Management Inc. Project #1988741 _______________________________________________ Issuer Name: Horizons Enhanced Income Energy ETF Horizons Enhanced Income Equity ETF Horizons Enhanced Income Financials ETF Horizons Enhanced Income Gold Producers ETF Horizons Enhanced Income International Equity ETF Horizons Enhanced Income US Equity (USD) ETF Principal Regulator - Ontario Type and Date: Amended and Restated Long Form Prospectus dated January 4, 2013 amending and restating the Amended and Restated Long Form Prospectus dated July 27, 2012 amending and restating the Long Form Prospectus dated March 16, 2012. NP 11-202 Receipt dated January 8, 2013 Offering Price and Description: Class E Units and Advisor Class Units Underwriter(s) or Distributor(s): - Promoter(s): ALPHAPRO MANAGEMENT INC. Project #1856438 _______________________________________________
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Issuer Name: Horizons Enhanced US Equity Income ETF Principal Regulator - Ontario Type and Date: Amended and Restated Long Form Prospectus dated January 4, 2013 amending and restating the Long Form Prospectus dated July 27, 2012 NP 11-202 Receipt dated January 8, 2013 Offering Price and Description: Class E Units and Advisor Class Units Underwriter(s) or Distributor(s): - Promoter(s): ALPHAPRO MANAGEMENT INC. Project #1930092 ________________________
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Chapter 12
Registrations 12.1.1 Registrants
Type Company Category of Registration Effective Date
Voluntary Surrender Saratoga Finance Inc. Exempt Market Dealer October 31, 2012
Voluntary Surrender UP Securities Ltd. Exempt Market Dealer December 6, 2012
Voluntary Surrender Union Securities Ltd. Investment Dealer December 24, 2012
Amalgamation
Mackie Research Capital Corporation and NCP Northland Capital Partners Inc. to form Mackie Research Capital Corporation.
Investment Dealer January 1, 2013
Change in registration category ACM Advisors Ltd.
From: Exempt Market Dealer To: Exempt Market Dealer and Investment Fund Manager
January 8, 2013
New Registration RDA Capital Inc. Exempt Market Dealer and Investment Fund Manager January 8, 2013
Name Change
From: I3 Advisors Inc. To: BNY Mellon Wealth Management, Advisory Services, Inc.
Investment Fund Manager, Portfolio Manager and Exempt Market Dealer
January 8, 2013
Change in registration category Seamark Asset Management Ltd.
From: Exempt Market Dealer and Portfolio Manager To: Exempt Market Dealer,
January 9, 2013
Registrations
January 17, 2013
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Portfolio Manager and Investment Fund Manager
Change in registration category
Antares Investment Management, Inc.
From: Portfolio Manager To: Portfolio Manager and Investment Fund Manager
January 14, 2013
Change in registration category Sherpa Asset Management Inc.
From: Exempt Market Dealer and Portfolio Manager To: Exempt Market Dealer, Portfolio Manager and Investment Fund Manager
January 14, 2013
New Registration Frontfour Capital Corp. Exempt Market Dealer January 15, 2013
January 17, 2013
(2013) 36 OSCB 963
Chapter 13
SROs, Marketplaces and Clearing Agencies 13.1 SROs 13.1.1 OSC Staff Notice of Approval – IIROC Housekeeping Amendments to IFRS version of Form 1
OSC STAFF NOTICE OF COMMISSION APPROVAL
INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA HOUSEKEEPING AMENDMENTS TO IFRS VERSION OF FORM 1
The Ontario Securities Commission approved the IIROC’s housekeeping amendments to the International Financial Reporting Standards (IFRS) version of Form 1 to amend the standard independent auditor’s reports and make other non-material changes throughout Form 1. The Alberta Securities Commission, the Autorité des marches financiers, the Newfoundland and Labrador Securities Division, the New Brunswick Securities Commission, the Nova Scotia Securities Commission and the Saskatchewan Financial Services Commission also approved the amendments. The British Columbia Securities Commission did not object to the amendments. The objective of the amendments to the standard independent auditor’s reports that are used in the filing of IFRS-based version of Form 1 is to reflect the end of the first year transitional relief from providing comparative financial information. The relief was given to Dealer Members when the IFRS version was implemented. The remaining amendments reflect corrections of non-material, unintentional editorial mistakes and references throughout the IFRS version of Form 1. A copy of the IIROC Notice is attached as Appendix A, including the amended Forms.
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13-0011 January 11, 2013
Amendments to IFRS version of Form 1 On November 28, 2012, the Board of Directors (the Board) of the Investment Industry Regulatory Organization of Canada (IIROC) approved the proposed amendments to the International Financial Reporting Standards (IFRS) version of Form 1 to amend the standard independent auditor’s reports and make minor clarification changes throughout Form 1. The amendments are classified as “Housekeeping Rules” and are effective for reporting periods ending on or after December 31, 2012. Summary of the nature and purpose of the amendments The proposed amendments to the standard independent auditor’s reports within the IFRS version of Form 1 were developed jointly by IIROC’s Brokers Auditor Committee and IIROC staff and reflect the end of the first year transitional relief (from providing certain comparative financial information) given to Dealer Members when the IFRS version of Form 1 was implemented. IIROC staff has classified the amendments as “housekeeping”, because they are reasonably necessary to ensure that IIROC’s Rules conform to applicable securities legislation, statutory or legal requirements; in this case the Canadian Auditing Standards used by Chartered Accountants in the performance of financial statement audits. The remaining proposed amendments that make minor clarification changes throughout the IFRS version of Form 1 were also classified as “housekeeping” by IIROC staff, because they:
• correct typographical mistakes and inaccurate cross referencing; • make stylistic or formatting changes to headings or paragraph numbers; and/or • make other minor changes of an editorial nature (such as standardization of terminology) that otherwise
should have been made when IFRS was first adopted
The following are the proposed housekeeping amendments to the IFRS version of Form 1: a) Independent Auditor’s Reports and Notes and Instructions to the Independent Auditor’s Reports
(i) Adding the prior year’s date to the Independent Auditor’s Reports: The purpose of the proposed change to the Independent Auditor’s Reports is to reflect the end of the one year transitional relief given for the filing of the IFRS version of Form 1. This relief was an IIROC prescribed IFRS departure, in which IIROC did not require the inclusion of certain comparative prior year financial information. For subsequent Form 1 filings, audited comparative prior year financial information will be required to be included in the Form 1 filing and the independent auditor’s reports will now refer to this comparative information.
(ii) Removing the “Going Concern” section: The purpose of the proposed change to the Independent Auditor’s
Report is to more clearly reflect that this section is an example of an “Emphasis of Matter1” paragraph and is not part of the standard Independent Auditor’s Report. If such an Emphasis of Matter paragraph or “Other Matter” paragraph is required to be included in the Independent Auditor’s Report under the Canadian Auditing Standards or determined appropriate by the independent auditor, the wording of such Matter paragraph will be determined by the independent auditor before the filing of the audited Form 1.
1 An “Emphasis of Matter” paragraph in the independent auditor’s report means additional information that is provided by the auditor that he
or she believes in their professional judgement is necessary to draw to the financial statements user’s attention to a matter presented or disclosed in the financial statements that is of such importance that it is fundamental to the user’s understanding of the financial statements. In order to include an “Emphasis of Matter” paragraph, the auditor must obtain sufficient appropriate audit evidence that the matter is not materially misstated in the financial statements.
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(iii) Removing the reference to “Alternate forms of Auditor’s Reports” within the Notes and Instructions to the Independent Auditor’s Reports: The purpose of the proposed change to the Notes and Instructions to the Independent Auditor’s Reports is to reflect that IIROC no longer includes alternate forms of Independent Auditor’s Reports on the internet site that houses the electronic version of Form 1, known as the Securities Industry Regulatory Financial Filings system or SIRFF.
(iv) Adding Schedule 13A and removing Schedule 15 from the “Unaudited Information” section of the Independent
Auditor’s Report for Statements A, E and F to Form 1: The purpose of the proposed changes is to more clearly identify in the “Independent Auditor’s Report for Statements A, E and F” the Schedules that are not audited by the Dealer Member’s independent auditor, but which are essential for regulatory purposes and must make up part of the audited Form 1 submission to IIROC. Currently in this Independent Auditor’s Report under the heading “Unaudited Information”, Schedules 13 and 15 are specified. The proposed changes would: add Schedule 13A (Early Warning Tests - Level 2), which although it is an unaudited Schedule, is essential for regulatory purposes; and remove Schedule 15 (Supplemental Information), which is not essential for regulatory purposes as it contains supplementary information that is a remnant from the reporting requirements of the old Quarterly Operational Questionnaire (QOQ).
b) Table of Contents
(i) Identifying the differences between the Table of Contents of Form 1 and Table of Contents of an audited Form 1: The purpose of the proposed change is to identify within the Table of Contents of Form 1 which statements, schedules and certificates are not part of the audited Form 1 submission to IIROC and that those identified documents will be suppressed.
The proposed change will add notes within the Table of Contents of Form 1 to identify that the three documents—“Separate Certificate of UDP and CFO on Statement G of Part 1”, “Statement G (Opening IFRS statement of financial position and reconciliation of equity)” and “Schedule 15 (Supplementary information)”—will not be part of the electronic and hard copy version of an audited Form 1 and that the names of these suppressed documents will not appear on the accompanying Table of Contents of an audited Form 1. The “Separate Certificate of UDP and CFO on Statement G of Part 1” and “Statement G (Opening IFRS statement of financial position and reconciliation of equity)” are submitted as part of a Dealer Member’s first monthly financial report (MFR) filing under IFRS and are not audited by the Dealer Member’s independent auditor. They do not form part of the audited Form 1 submission. In addition, Schedule 15 is not audited by the Dealer Member’s independent auditor and not essential for regulatory purposes as it contains supplementary information that is a remnant from the reporting requirements of the old Quarterly Operational Questionnaire (QOQ).
c) General Notes and Definitions
(i) Adding one-time transitional relief as a separate prescribed IFRS departure in the General Notes and Definitions to Form 1: The purpose of the proposed change is to provide Dealer Members with greater clarity about the one-time transitional relief from IFRS 1 requirements that IIROC allows. The proposed change to Note 2 would add “One-time transitional relief” as a separate prescribed IFRS departure, remove it from within the current “Presentation” prescribed IFRS departure, and describe in more detail the one-time transitional relief items that are not required by IIROC for a Dealer Member’s first IFRS-based Form 1. The added description would specify that IIROC does not require the opening IFRS balance sheet to be part of the first
IFRS-based Form 1 and does not require the reconciliation between Canadian GAAP2 and the opening IFRS balance sheet as part of the notes to the first IFRS-based Form 1.
2 GAAP stands for “generally accepted accounting principles”.
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d) Notes and Instructions to the Certificate of UDP and CFO
Removing the inference regarding a CFO in the Notes and Instructions to the Certificate of UDP and CFO of Form 1: The purpose of the proposed change is to remove the inference in Note 2 of the Notes and Instructions to the Certificate of UDP and CFO of Form 1 that in certain circumstances a chief financial officer (CFO) is not an Executive. A CFO is an Executive of a Dealer Member pursuant to the definition of the term “Executive” set out in Dealer Member Rule 1.1, regardless of whether he or she works full-time or part-time. The proposed change is to remove the words “if the CFO is not an executive or” in Note 2 of the Notes and Instructions to the Certificate of UDP and CFO of Form 1.
e) Statements A (Statement of Financial Position), B (Statement of net allowable assets and risk adjusted capital), C (Statement of early warning excess and early warning reserve) and G (Opening IFRS statement of financial position and reconciliation of equity), and the Notes and Instructions to Statements B and C and the Notes and Instructions to Schedule 14 (Provider of capital concentration charge)
Renaming the line item “Finance leases - leasehold inducements” to “Non-refundable leasehold inducements” on Statements A, B, C and G, and the Notes and Instructions to Statements B and C and the Notes and Instructions to Schedule 14: The purpose of the proposed changes is to clarify that a non-refundable leasehold inducement under either a finance lease or an operating lease qualifies as regulatory capital for a Dealer Member when the Dealer Member’s landlord writes a non-refundable leasehold inducement cheque to the Dealer Member for the leased premises and the Dealer Member has no additional liability related to the inducement received.
f) Schedule 13A (Early warning tests - Level 2)
(i) Renaming Line item “D. PROFITABILITY TEST #1” as “D. PROFITABILITY TEST #2” on Schedule 13A: The purpose of the proposed change is to correct an unintentional name change of this Line item when the IFRS version of Form 1 was first implemented.
g) Statement E (Statement of income and comprehensive income) and the Notes and Instructions to Statement E Replacing the word “year” with “period” in Statement E (Statement of income and comprehensive income) and the
Notes and Instructions to Statement E: The purpose of the proposed change is to better accommodate monthly financial report (MFR) filings as the word “period” could be used for the month that is being reported on or for the year that is being reported on.
h) Schedule 11A (Details of unhedged foreign currencies calculation for individual currencies with margin required greater
than or equal to $5,000) Removing the sub-headers “C$’000” on Schedule 11A: The purpose of the proposed changes are to correct the
unintended addition of the sub-headers “C$’000”, when the Schedule was amended to adopt IFRS. The sub-headers “C$’000” would be deleted.
i) Schedule 14 (Provider of Capital Concentration Charge) Adding the name of the provider of capital to Schedule 14 (Provider of Capital Concentration Charge) of Form 1: The
purpose of the proposed change is to more easily identify a Dealer Member’s provider of capital on the Schedule, because there could be circumstances where a Dealer Member has more than one provider of capital. The proposed change would add a field on Schedule 14 to disclose the name of the provider of capital.
The following supporting documents for the housekeeping amendments to the IFRS version of Form 1 are attached: Attachment A - Board resolution approving the implementation of the proposed amendments to IFRS version of Form 1 Attachment B - Proposed amendments to IFRS version of Form 1
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Attachment C - Black-line copy of the proposed amendments to IFRS version of Form 1
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ATTACHMENT A
INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA
AMENDMENTS TO IFRS VERSION OF IIROC FORM 1
BOARD RESOLUTION BE IT RESOLVED ON THIS 28TH DAY OF NOVEMBER, 2012 THAT: 1. The English and French versions of the proposed amendments to the IFRS version of IIROC Form 1, in the form
presented to the Board of Directors (the “Board”):
(a) be approved for implementation as a “Housekeeping Rule” for the purposes of the Joint Rule Review Protocol for IIROC;
(b) be determined to be in the public interest; (c) the President be authorized to approve such non-material changes to the proposed amendments as may be
necessary in securing the approval of the Recognizing Regulators under the Joint Rule Review Protocol for IIROC, such approval to constitute final approval by the Board of the proposed amendments; and
(d) in the event a Recognizing Regulator provides a notice of disagreement with the classification of the proposed
amendments as a “Housekeeping Rule”:
(i) be approved for publication for public comment for 30 days; (ii) be brought back to the Board for approval in final form if there are material changes to the proposed
amendments resulting from the comments of the public or the Recognizing Regulators; and (iii) the President be authorized to approve such non-material changes to the proposed amendments
resulting from the public comments or as may be necessary in securing the approval of the Recognizing Regulators under the Joint Rule Review Protocol for IIROC, such approval to constitute final approval by the Board of the proposed amendments.
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ATTACHMENT B
INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA
AMENDMENTS TO IFRS VERSION OF IIROC FORM 1
PROPOSED AMENDMENTS 1. The IFRS version of Form 1 is amended by making the following changes to the Independent Auditor’s Report for
Statements A, E and F:
(a) Replacing the word “the” with the word “of” after the words “which comprise”; (b) Replacing the words “statement of financial position (Statement A) as at (date) and the statement of income
and comprehensive Income (Statement E) and statement of changes in capital and retained earnings (Statement F) for the year then ended (date)” with the words “Statement A - Statement of financial position as at (date) and (date)”, “Statement E - Statement of income and comprehensive income for the years ended (date) and (date)” and “Statement F - Statement of changes in capital for the year ended (date) and changes in retained earnings for the years ended (date) and (date)”;
(c) Adding the words “in our audit” after the words “We believe that the audit evidence we have obtained” under
the “Auditor’s responsibility” section; (d) Adding the words “and (date)” immediately before the words “and the results of its operations” under the
“Opinion” section; (e) Replacing the word “year” with the word “years” after the words “the results of its operations for the”; (f) Deleting the entire “Going Concern” section; (g) Replacing the word “Corporation” with the words “Investment Industry Regulatory Organization of Canada”
before the words “prior to the filing of Form 1”; and (h) Replacing the number “15” with the number and alphabet “13A” after the words “in Schedules 13 and”.
2. The IFRS version of Form 1 is amended by making the following changes to the Independent Auditor’s Report for Statements B, C and D:
(a) Replacing the words “, as at” with the words “which comprise of:” after the words “audited the accompanying
Statements of Form 1(the “Statements”) of (Dealer Member)”; (b) Replacing the words “Statement B – Statement of Net Allowable Assets and Risk Adjusted Capital”,
“Statement C – Statement of Early Warning Excess and Early Warning Reserve” and “Statement D – Statement of Free Credit Segregation Amount” with the words “Statement B - Statement of net allowable assets and risk adjusted capital as at (date) and (date)”, “Statement C - Statement of early warning excess and early warning reserve as at (date)” and “Statement D - Statement of free credit segregation amount as at (date)” before the sentence “These Statements have been prepared by management based on the financial reporting provisions of the Notes and Instructions to Form 1 prescribed by the Investment Industry Regulatory Organization of Canada.”;
(c) Adding the words “in our audit” after the words “We believe that the audit evidence we have obtained” under
the “Auditor’s responsibility” section; and
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(d) Replacing the sentence “In our opinion, the financial information in Statements B, C and D of Form 1 as at (year end) is prepared, in all material respects, in accordance with the financial reporting provisions of the Notes and Instructions to Form 1 prescribed by the Investment Industry Regulatory Organization of Canada.” with the sentence “In our opinion, the financial information in Statement B as at (date) and (date), Statements C and D as at (date) is prepared, in all material respects, in accordance with the financial reporting provisions of the Notes and Instructions to Form 1 prescribed by the Investment Industry Regulatory Organization of Canada.”.
3. The IFRS version of Form 1 is amended by making the following changes to the Notes and Instructions to the
Independent Auditor’s Reports:
(a) Deleting the sentence “Alternate forms of Auditor’s Reports are available online from within the web-based Securities Industry Regulatory Financial Filings system (SIRFF).”; and
(b) Replacing the word “Corporation” with the words “Investment Industry Regulatory Organization of Canada” in
three sentences.
4. The IFRS version of Form 1 is amended by making the following changes to the Table of Contents:
(a) Adding the superscript “1” after the title “SEPARATE CERTIFICATE OF UDP AND CFO ON STATEMENT G OF PART I” for Note 1;
(b) Adding the words “Note 1: The “Separate Certificate of UDP and CFO on Statement G of Part I” is not part of
an audited Form 1 submission and the name of this certificate will not appear in the “Table of Contents” on the electronic or hardcopy version of an audited Form 1 submission.”;
(c) Adding the superscript “2” after the title “Opening IFRS statement of financial position and reconciliation of
equity” for Note 2; (d) Adding the words “Note 2: “Statement G, Opening IFRS statement of financial position and reconciliation of
equity”, is not part of an audited Form 1 submission and the name of this statement will not appear in the Table of Contents on the electronic or hardcopy version of an audited Form 1 submission.”;
(e) Replacing the superscript “*” with the superscript “3” for Note 3; (f) Replacing the word “* Note” with the word “Note 3”; (g) Adding the superscript “4” after the title “Supplementary Information” for Note 4; and (h) Adding the words “Note 4: “Schedule 15, Supplementary information”, is not part of an audited Form 1
submission and the name of this schedule will not appear in the “Table of Contents” on the electronic or hardcopy version of an audited Form 1 submission.”.
5. The IFRS version of Form 1 is amended by making the following changes to the General Notes and Definitions:
(a) Adding the words “One-time transitional relief” as a separate subsection within Note 2 (Prescribed IFRS departure);
(b) Adding the sentences “As a one-time transitional relief for the first Form 1 prepared under the basis of IFRS
with prescribed departures and prescribed accounting treatments, the Corporation does not require comparative financial data. In addition, the Corporation does not require the opening IFRS balance sheet as part of the first Form 1 prepared under the basis of IFRS with prescribed departures and prescribed accounting treatments. And as such, the Dealer Member is not required to provide the reconciliation between
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previous Canadian GAAP and IFRS. The Corporation requires that the preparation of the opening balance sheet is as at the conversion date (the first day of the first fiscal year under IFRS). A Dealer Member will file the opening balance sheet as Statement G and as stipulated by the Corporation, which is prior to the filing of the first monthly financial report (MFR) prepared under IFRS with prescribed departures and prescribed accounting treatments.” within the “One-time transitional relief” subsection; and
(c) Deleting the sentences “As a one-time transitional relief for the first Form 1 prepared under the basis of IFRS
with prescribed departures and prescribed accounting treatments, the Corporation does not require comparative financial data. As such, the preparation of the opening balance sheet is as at the conversion date (the first day of the first fiscal year under IFRS). A Dealer Member will file the opening balance sheet as Statement G and as stipulated by the Corporation, which is prior to the filing of the first monthly financial report (MFR) prepared under IFRS with prescribed departures and prescribed accounting treatments.” within the “Presentation” subsection of Note 2 (Prescribed IFRS departure).
6. The IFRS version of Form 1 is amended by making the following change to the Notes and Instructions to the Certificate
of UDP and CFO:
(a) Deleting the words “if the CFO is not an executive or” in part (c) of Note 2; and (b) Replacing the word “one” with the words “the same person” after the words “if the UDP and CFO are” in part
(c) of Note 2.
7. The IFRS version of Form 1 is amended by making the following change to Statement A (Statement of Financial Position):
(a) Renaming Line 65 “Finance leases – leasehold inducements” to “Non-refundable leasehold inducements”.
8. The IFRS version of Form 1 is amended by making the following change to Statement B (Statement of Net Allowable Assets and Risk Adjusted Capital):
(a) Renaming Line 2 “Finance leases – leasehold inducements” to “Non-refundable leasehold inducements”.
9. The IFRS version of Form 1 is amended by making the following changes to the Notes and Instructions to Statement B (Statement of Net Allowable Assets and Risk Adjusted Capital):
(a) Renaming part of the title of note to Line 2 “finance leases – lease hold inducements” to “non-refundable
leasehold inducements”; and (b) Deleting the word “finance” after the words “the non-current portion of the” in the note to Line 2.
10. The IFRS version of Form 1 is amended by making the following change to Statement C (Statement of Early Warning Excess and Early Warning Reserve): (a) Renaming Line 7 “Less: Finance leases - leasehold inducements” to “Less: Non-refundable leasehold
inducements”.
11. The IFRS version of Form 1 is amended by making the following changes to the Notes and Instructions to Statement C (Statement of Early Warning Excess and Early Warning Reserve):
(a) Deleting the word “finance” before the words “lease liabilities - leasehold inducements” in the note to Line 5.
12. The IFRS version of Form 1 is amended by making the following change to Statement E (Statement of Income and Comprehensive Income):
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(a) Replacing the word “year” with the word “period” on Lines 29, 41 and 42.
13. The IFRS version of Form 1 is amended by making the following change to the Notes and Instructions to Statement E (Statement of Income and Comprehensive Income):
(a) Replacing the word “year” with the word “period” within Notes 28, 29 and 37.
14. The IFRS version of Form 1 is amended by making the following change to Statement G (Opening IFRS Statement of Financial Position and Reconciliation of Equity):
(a) Renaming the line item “Finance leases – leasehold inducements” to “Non-refundable leasehold
inducements”.
15. The IFRS version of Form 1 is amended by making the following changes to Schedule 11A (Details of Unhedged Foreign Currencies Calculation for Individual Currencies with Margin Required Greater than or equal to $5,000):
(a) Deleting the sub-heading “C$’000” under the headings “Amount”, “Weighted Value” and “Margin Required”.
16. The IFRS version of Form 1 is amended by making the following change to Schedule 13A (Early Warning Tests - Level 2):
(a) Renaming the Line item “D. PROFITABILITY TEST #1” to “D. PROFITABILITY TEST #2”.
17. The IFRS version of Form 1 is amended by making the following change to Schedule 14 (Provider of Capital Concentration Charge):
(a) Adding the sub-heading “Name of Provider of Capital” below the heading “PROVIDER OF CAPITAL
CONCENTRATION CHARGE”.
18. The IFRS version of Form 1 is amended by making the following change to the Notes and Instructions to Schedule 14 (Provider of Capital Concentration Charge):
(a) Renaming the line item “Finance leases – leasehold inducements (Statement A, Line 65)” to “Non-refundable
leasehold inducements (Statement A, Line 65)” in note 2.
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ATTACHMENT C
INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA
AMENDMENTS TO IFRS VERSION OF IIROC FORM 1
BLACK-LINE COPY OF THE PROPOSED AMENDMENTS 1. The proposed amendments to amend the standard independent auditor’s reports within the IFRS version of Form 1.
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(2013) 36 OSCB 974
FORM 1 – INDEPENDENT AUDITOR’S REPORT FOR STATEMENTS A, E AND F To: Investment Industry Regulatory Organization of Canada and Canadian Investor Protection Fund We have audited the accompanying Statements of , which comprise theof: (Dealer Member) statement of financial position (Statement A) as at and the statement of (date) income and comprehensive Income (Statement E) and statement of changes in capital and retained earnings (Statement F) for the year then ended (date) Statement A - Statement of financial position as at and (date) (date) Statement E - Statement of income and comprehensive income for the years ended and (date) (date) Statement F - Statement of changes in capital for the year ended and changes in retained earnings for the years ended (date) and (date) (date) and a summary of significant accounting policies and other explanatory information. These Statements have been preparedby management based on the financial reporting provisions of the Notes and Instructions to Form 1 prescribed by the Investment Industry Regulatory Organization of Canada.
Management’s responsibility for the Statements Management is responsible for the preparation and fair presentation of these Statements in accordance with the financial reporting provisions of the Notes and Instructions to Form 1 prescribed by the Investment Industry Regulatory Organization of Canada and for such internal control as management determines is necessary to enable the preparation of Statements that are free from material misstatement, whether due to fraud or error. Auditor’s responsibility Our responsibility is to express an opinion on these Statements based on our audit. We conducted our audit in accordance with Canadian generally accepted auditing standards. Those standards require that we comply with ethical requirements and plan and perform the audit to obtain reasonable assurance about whether the Statements are free from material misstatement. An audit involves performing procedures to obtain audit evidence about the amounts and disclosures in the Statements. The procedures selected depend on the auditor’s judgment, including the assessment of the risks of material misstatement of the Statements, whether due to fraud or error. In making those risk assessments, the auditor considers internal control relevant to the Dealer Member’s preparation and fair presentation of the Statements in order to design audit procedures that are appropriate in the circumstances, but not for the purpose of expressing an opinion on the effectiveness of the Dealer Member’s internal control. An audit also includes evaluating the appropriateness of accounting policies used and the reasonableness of accounting estimates made by management, as well as evaluating the overall presentation of the Statements.
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January 17, 2013
(2013) 36 OSCB 975
FORM 1 – INDEPENDENT AUDITOR’S REPORT FOR STATEMENTS A, E AND F We believe that the audit evidence we have obtained in our audit is sufficient and appropriate to provide a basis for our audit opinion. Opinion In our opinion, the Statements present fairly, in all material respects, the financial position of (Dealer Member)
as at and and the results of its operations for the year years
(date) (date) then ended in accordance with the financial reporting provisions of the Notes and Instructions to Form 1 prescribed by theInvestment Industry Regulatory Organization of Canada. Going Concern [Note: SIRFF to allow for auditor to include emphasis of matter paragraph for Going concern – this is an option for auditors but not part of the standard report] Without modifying our opinion, we draw attention to Note in the Statements which indicates that (note) incurred a net loss of (Dealer Member) ($ amount) during the year ended and, as of that date, (date) (Dealer Member’s) current liabilities exceeded its total assetsby
. These conditions, along with other matters as
($ amount) set forth in Note , indicate the existence of a material uncertainty that may cast significant doubt about (note) ability to continue as a going concern. (Dealer Member’s) Basis of Accounting and Restriction on Use Without modifying our opinion, we draw attention to Note to the Statements which describes the basis of (note) accounting. The Statements are prepared to assist to meet the requirements of the (Dealer Member) Investment Industry Regulatory Organization of Canada. As a result, the Statements may not be suitable for another purpose. Our report is intended solely for , the Investment Industry Regulatory (Dealer Member) Organization of Canada and the Canadian Investor Protection Fund and should not be used by parties other than , the Investment Industry Regulatory Organization of Canada and the (Dealer Member) Canadian Investor Protection Fund.
[Note: SIRFF to allow for auditor to include other potential Emphasis of Matter and Other Matter paragraphs should one be required under the CASs or determined appropriate by the auditor to be included in the auditor’s report. Such wording would be agreed upon with the CorporationInvestment Industry Regulatory Organization of Canada prior to the filing of Form 1.]
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Unaudited Information We have not audited the information in Schedules 13 and 1513A of Part II of Form 1 and accordingly do not express an opinion on these schedules.
(Audit Firm)
(signature)
(date)
(address)
SROs, Marketplaces and Clearing Agencies
January 17, 2013
(2013) 36 OSCB 977
FORM 1 – INDEPENDENT AUDITOR’S REPORT FOR STATEMENTS B, C AND D To: Investment Industry Regulatory Organization of Canada and Canadian Investor Protection Fund We have audited the accompanying Statements of Form 1 (the “Statements”) of , (Dealer Member) as atwhich comprise of: : Statement B - Statement of net allowable assets and risk adjusted capital as at and (date) (date) Statement C - Statement of early warning excess and early warning reserve as at (date) Statement D - Statement of free credit segregation amount as at (date) Statement B – Statement of Net Allowable Assets and Risk Adjusted Capital Statement C – Statement of Early Warning Excess and Early Warning Reserve Statement D – Statement of Free Credit Segregation Amount These Statements have been prepared by management based on the financial reporting provisions of the Notes and Instructions to Form 1 prescribed by the Investment Industry Regulatory Organization of Canada. Management’s Responsibility for the Statements Management is responsible for the preparation of the Statements of Form 1 in accordance with the financial reporting provisions of the Notes and Instructions to Form 1 prescribed by the Investment Industry Regulatory Organization of Canada, and for such internal control as management determines is necessary to enable the preparation of Statements that are free from material misstatement, whether due to fraud or error. Auditor’s responsibility Our responsibility is to express an opinion on the Statements based on our audit. We conducted our audit in accordance with Canadian generally accepted auditing standards. Those standards require that we comply with ethical requirements and plan and perform the audit to obtain reasonable assurance about whether the Statements are free from material misstatement. An audit involves performing procedures to obtain audit evidence about the amounts and disclosures in the Statements. The procedures selected depend on the auditor’s judgment, including the assessment of the risks of material misstatement of the Statements, whether due to fraud or error. In making those risk assessments, the auditor considers internal control relevant to the Dealer Member’s preparation of the Statements in order to design audit procedures that are appropriate in the circumstances, but not for the purpose of expressing an opinion on the effectiveness of the Dealer Member’s internal control. An audit also includes evaluating the appropriateness of accounting policies used and the reasonableness of accounting estimates made by management, as well as evaluating the overall presentation of the Statements. We believe that the audit evidence we have obtained in our audit is sufficient and appropriate to provide a basis of our audit opinion.
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Opinion In our opinion, the financial information in Statements B, C and D of Form 1 as at ____(year end)___ is prepared, in all material respects, in accordance with the financial reporting provisions of the Notes and Instructions to Form 1 prescribed by the Investment Industry Regulatory Organization of Canada. In our opinion, the financial information in Statement B as at and , (date) (date) Statements C and D as at (date) is prepared, in all material respects, in accordance with the financial reporting provisions of the Notes and Instructions to Form 1 prescribed by the Investment Industry Regulatory Organization of Canada.
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January 17, 2013
(2013) 36 OSCB 979
FORM 1 – INDEPENDENT AUDITOR’S REPORT FOR STATEMENTS B, C AND D Basis of Accounting and Restriction on Use Without modifying our opinion, we draw attention to Note to the Statements which describes the basis of (note) accounting. The Statements are prepared to assist to meet the requirements of the (Dealer Member) Investment Industry Regulatory Organization of Canada. As a result, the Statements may not be suitable for another purpose. Our report is intended solely for , the Investment Industry Regulatory (Dealer Member) Organization of Canada and the Canadian Investor Protection Fund and should not be used by parties other than , the Investment Industry Regulatory Organization of Canada and the (Dealer Member) Canadian Investor Protection Fund.
(Audit Firm)
(signature)
(date)
(address)
SROs, Marketplaces and Clearing Agencies
January 17, 2013
(2013) 36 OSCB 980
FORM 1 – INDEPENDENT AUDITOR’S REPORTS NOTES AND INSTRUCTIONS
A measure of uniformity in the form of the auditor's reports is desirable in order to facilitate identification of circumstances where the underlying conditions are different. Therefore, when auditors are able to express an unqualified opinion, their reports should take the form of the auditor's reports shown above. Alternate forms of Auditor’s Reports are available online from within the web-based Securities Industry Regulatory Financial Filings system (SIRFF). Any limitations in the scope of the audit must be discussed in advance with the CorporationInvestment Industry Regulatory Organization of Canada. Discretionary scope limitations will not be accepted. Any other potential emphasis of matter and other matter paragraphs in the auditor’s reports must be discussed in advance with the CorporationInvestment Industry Regulatory Organization of Canada. One copy of the auditor's reports with original signatures must be provided to the CorporationInvestment Industry Regulatory Organization of Canada and another copy with original signatures must be provided to CIPF.
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January 17, 2013
(2013) 36 OSCB 981
ATTACHMENT C
INVESTMENT INDUSTRY REGULATORY ORGANIZATION OF CANADA
AMENDMENTS TO IFRS VERSION OF IIROC FORM 1
BLACK-LINE COPY OF THE PROPOSED AMENDMENTS
2. The proposed amendments to make minor clarifying changes throughout the IFRS version of Form 1.
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January 17, 2013
(2013) 36 OSCB 982
FORM 1 - TABLE OF CONTENTS
(Dealer Member Name) (Date)
Updated GENERAL NOTES AND DEFINITIONS FebJan-
20112013 CERTIFICATE OF UDP AND CFO FebJan-
20112013 SEPARATE CERTIFICATE OF UDP AND CFO ON STATEMENT G OF PART I1 Feb-2011 INDEPENDENT AUDITOR'S REPORT FOR STATEMENTS A, E AND F [at audit date only] FebJan-
20112013 INDEPENDENT AUDITOR'S REPORT FOR STATEMENTS B, C AND D [at audit date only] FebJan-
20112013 PART I STATEMENT A Statement of financial position FebJan-
20112013 B Statement of net allowable assets and risk adjusted capital FebJan-
20112013 C Statement of early warning excess and early warning reserve FebJan-
20112013 D Statement of free credit segregation amount Feb-2011 E Statement of income and comprehensive income FebJan-
20112013 F Statement of changes in capital and retained earnings (corporations) or undivided profits (partnerships) Feb-2011 G Opening IFRS statement of financial position and reconciliation of equity2 FebJan-
20112013 Notes to the Form 1 financial statements Feb-2011 PART II*3
REPORT ON COMPLIANCE FOR INSURANCE, SEGREGATION OF SECURITIES, ANDGUARANTEE/GUARANTOR RELATIONSHIP RELIED UPON TO REDUCE MARGIN REQUIREMENTS DURING THE YEAR
Feb-2011
SCHEDULE
1 Analysis of loans receivable, securities borrowed and resale agreements Feb-2011 2 Analysis of securities owned and sold short at market value Feb-2011 2A Margin for concentration in underwriting commitments Feb-2011 2B Underwriting issues margined at less than the normal margin rates Feb-2011 4 Analysis of clients' trading accounts long and short Feb-2011 4A List of ten largest value date trading balances with acceptable institutions and acceptable counterparties Feb-2011 5 Analysis of brokers' and dealers' trading balances Feb-2011 6 Income taxes Feb-2011 6A Tax recoveries Feb-2011 7 Analysis of overdrafts, loans, securities loaned and repurchase agreements Feb-2011 7A Acceptable counterparties financing activities concentration charge Feb-2011 9 Concentration of securities Feb-2011 10 Insurance Feb-2011
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11 Unhedged foreign currencies calculation Feb-2011 11A Details of unhedged foreign currencies calculation for individual currencies with margin required greater
than or equal to $5,000 FebJan-20112013
12 Margin on futures concentrations and deposits Feb-2011 13 Early warning tests - Level 1 Feb-2011 13A Early warning tests - Level 2 FebJan-
20112013 14 Provider of capital concentration charge FebJan-
20112013 15 Supplementary information4 Feb-2011
* Note: Note 1: The “Separate Certificate of UDP and CFO on Statement G of Part I” is not part of an audited Form 1 submission and the name of this certificate will not appear in the “Table of Contents” on the electronic or hardcopy version of an audited Form 1 submission.
Note 2: “Statement G, Opening IFRS statement of financial position and reconciliation of equity”, is not part of an audited Form 1 submission and the name of this statement will not appear in the Table of Contents on the electronic or hardcopy version of an audited Form 1 submission.
Note 3: Schedules 2C, 2D, 3, 3A, 4B, 8 and 12A have been eliminated. Note 4: “Schedule 15, Supplementary information”, is not part of an audited Form 1 submission and the name of this schedule
will not appear in the “Table of Contents” on the electronic or hardcopy version of an audited Form 1 submission.
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January 17, 2013
(2013) 36 OSCB 984
FORM 1 - GENERAL NOTES AND DEFINITIONS GENERAL NOTES: 1. Each Dealer Member must comply with the requirements in Form 1 as approved and amended from time to time by the
board of directors of the Investment Industry Regulatory Organization of Canada (the Corporation). Form 1 is a special purpose report that includes financial statements and schedules, and is to be prepared in
accordance with International Financial Reporting Standards (IFRS), except as prescribed by the Corporation. Each Dealer Member must complete and file all of these statements and schedules. The pre-IFRS changeover Joint Regulatory Financial Questionnaire and Report must be used by Dealer Members who
have elected to defer the adoption of IFRS and have received written approval of the deferral from the Corporation.
2. The following are Form 1 IFRS departures as prescribed by the Corporation:
Prescribed IFRS departure Client and broker trading balances
For client and broker trading balances, the Corporation allows the netting of receivables from and payables to the same counterparty. A Dealer Member may choose to report client and broker trading balances in accordance with IFRS.
One-time transitional relief As a one-time transitional relief for the first Form 1 prepared under the basis of IFRS with prescribed departures and prescribed accounting treatments, the Corporation does not require comparative financial data. In addition, the Corporation does not require the opening IFRS balance sheet as part of the first Form 1 prepared under the basis of IFRS with prescribed departures and prescribed accounting treatments. And as such, the Dealer Member is not required to provide the reconciliation between previous Canadian GAAP and IFRS. The Corporation requires that the preparation of the opening balance sheet is as at the conversion date (the first day of the first fiscal year under IFRS). A Dealer Member will file the opening balance sheet as Statement G and as stipulated by the Corporation, which is prior to the filing of the first monthly financial report (MFR) prepared under IFRS with prescribed departures and prescribed accounting treatments.
Preferred shares Preferred shares issued by the Dealer Member and approved by the Corporation are classified as shareholders’ capital.
Presentation Statements A and E contain terms and classifications (such as allowable and non-allowable assets) that are not defined under IFRS. For Statement E, the profit (loss) for the year on discontinued operations is presented on a pre-tax basis (as opposed to after-tax). In addition, specific balances may be classified or presented on Statements A, E and F in a manner that differs from IFRS requirements. The General Notes and Definitions, and the applicable Notes and Instructions to the Statements of Form 1, should be followed in those instances where departures from IFRS presentation exist. Statements B, C, and D are supplementary financial information, which are not statements contemplated under IFRS. As a one-time transitional relief for the first Form 1 prepared under the basis of IFRS with prescribed departures and prescribed accounting treatments, the Corporation does not require comparative financial data. As such, the preparation of the opening balance sheet is as at the conversion date (the first day of the first fiscal year under IFRS). A Dealer Member will file the opening balance sheet as Statement G and as stipulated by the Corporation, which is prior to the filing of the first monthly financial report (MFR) prepared under IFRS with prescribed departures and prescribed accounting treatments.
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Separate financial statements on a non-consolidated basis
Consolidation of subsidiaries is not permitted for regulatory reporting purposes, except for related companies that meet the definition of a “related company” in Dealer Member Rule 1 and the Corporation has approved the consolidation. Because Statement E only reflects the operational results of the Dealer Member, a Dealer Member must not include the income (loss) of an investment accounted for by the equity method.
Statement of cash flow A statement of cash flow is not required as part of Form 1. Valuation The “market value of securities” definition remains unchanged from the pre-IFRS changeover
Joint Regulatory Financial Questionnaire and Report. 3. The following are Form 1 prescribed accounting treatments based on available IFRS alternatives:
Prescribed accounting treatment Hedge accounting Hedge accounting is not permitted for regulatory reporting purposes. All security and
derivative positions of a Dealer Member must be marked-to-market at the reporting date. Gains or losses of the hedge positions must not be deferred to a future point in time.
Securities owned and sold short as held-for-trading
A Dealer Member must categorize all inventory positions as held-for-trading financial instruments. These security positions must be marked-to-market. Because the Corporation does not permit the use of the available for sale and held-to-maturity categories, a Dealer Member must not include other comprehensive income (OCI) and will not have a corresponding reserve account relating to marking-to-market available for sale security positions.
Valuation of a subsidiary A Dealer Member must value subsidiaries at cost. 4. These statements and schedules are prepared in accordance with the Dealer Member rules. 5. For purposes of these statements and schedules, the accounts of related companies that meet the definition of a
“related company” in Dealer Member Rule 1 may be consolidated. 6. For the purposes of the statements and schedules, the capital calculations must be on a trade date reporting basis
unless specified otherwise in the Notes and Instructions to Form 1. 7. Dealer Members may determine margin deficiencies for clients, brokers and dealers on either a settlement date basis
or trade date basis. Dealer Members may also determine margin deficiencies for acceptable institutions, acceptable counterparties, regulated entities and investment counselors’ accounts as a block on either a settlement date basis or trade date basis and the remaining clients, brokers and dealer accounts on the other basis. In each case, Dealer Members must do so for all such accounts and consistently from period to period.
8. Comparative figures on all statements are only required at the audit date. As a transition exemption for the changeover
to International Financial Reporting Standards (IFRS) from Canadian Generally Accepted Accounting Principles (CGAAP), Dealer Members are not required to file comparative information for the preceding financial year as part of the first audited Form 1, which is based on IFRS except for prescribed departures and prescribed accounting treatments stipulated in the general notes and definitions of Form 1.
9. All statements and schedules must be expressed in Canadian dollars and must be rounded to the nearest thousand. 10. Supporting details should be provided – as required - showing breakdown of any significant amounts that have not
been clearly described on the statements and schedules. 11. Mandatory security counts. All securities except those held in segregation or safekeeping shall be counted once a
month, or monthly on a cyclical basis. Those held in segregation and safekeeping must be counted once in the year in addition to the count as at the year-end audit date.
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January 17, 2013
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DEFINITIONS: (a) “acceptable clearing corporation” means any clearing agency operating a central system for clearing of securities or
derivatives transactions that is subject to legislation and oversight by a central or regional government authority in the country of operation. The legislation or oversight regime must provide for or recognize the clearing agency’s powers of compliance and enforcement over its members or participants. The Corporation will maintain and regularly update a list of acceptable clearing corporations.
(b) “acceptable counterparties” means those entities with whom a Dealer Member may deal on a value for value basis,
with mark to market imposed on outstanding transactions. The entities are as follows:
1. Canadian banks, Quebec savings banks, trust companies and loan companies licensed to do business in Canada or a province thereof. Each of the aforementioned entities must have paid up capital and surplus on the last audited balance sheet (plus such other forms of capital recognized as such in their regulatory regime as well as in this capital formula, e.g. subordinated debt) in excess of $10 million and less than or equal to $100 million to qualify, provided acceptable financial information with respect to such entities is available for inspection.
2. Credit and central credit unions and regional caisses populaires with paid up capital and surplus or net worth
(excluding appraisal credits but including general reserves) on the last audited balance sheet in excess of $10 million and less than or equal to $100 million, provided acceptable financial information with respect to such entities is available for inspection.
3. Insurance companies licensed to do business in Canada or a province thereof with paid up capital and surplus
or net worth on the last audited balance sheet in excess of $10 million and less than or equal to $100 million, provided acceptable financial information with respect to such companies is available for inspection.
4. Canadian provincial capital cities and all other Canadian cities and municipalities, or their equivalents, with
populations of 50,000 and over. 5. Mutual funds subject to a satisfactory regulatory regime with total net assets in the fund in excess of $10
million. 6. Corporations (other than regulated entities) with a minimum net worth of $75 million on the last audited
balance sheet, provided acceptable financial information with respect to such corporation is available for inspection.
7. Trusts and limited partnerships with minimum total net assets on the last audited balance sheet in excess of
$100 million, provided acceptable financial information with respect to such trust or limited partnership is available for inspection.
8. Canadian pension funds which are regulated either by the Office of Superintendent of Financial Institutions or
a provincial pension commission, with total net assets on the last audited balance sheet in excess of $10 million, provided that in determining net assets the liability of the fund for future pension payments shall not be deducted.
9. Foreign banks and trust companies subject to a satisfactory regulatory regime with paid up capital and surplus
on the last audited balance sheet in excess of $15 million and less than or equal to $150 million, provided acceptable financial information with respect to such entities is available for inspection.
10. Foreign insurance companies subject to a satisfactory regulatory regime with paid up capital and surplus or
net worth on the last audited balance sheet in excess of $15 million, provided acceptable financial information with respect to such companies is available for inspection.
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11. Foreign pension funds subject to a satisfactory regulatory regime with total net assets on the last audited balance sheet in excess of $15 million, provided that in determining net assets the liability of the fund for future pension payments shall not be deducted.
12. Federal governments of foreign countries which do not qualify as a Basel Accord country. For the purposes of
this definition, a satisfactory regulatory regime will be one within Basel Accord countries. Subsidiaries (excluding regulated entities) whose business falls in the category of any of the above enterprises and whose parent or affiliate qualifies as an acceptable counterparty may also be considered as an acceptable counterparty if the parent or affiliate provides a written unconditional irrevocable guarantee, subject to approval by the Corporation.
(c) “acceptable institutions” means those entities with which a Dealer Member is permitted to deal on an unsecured
basis without capital penalty. The entities are as follows:
1. Government of Canada, the Bank of Canada and provincial governments. 2. All crown corporations, instrumentalities and agencies of the Canadian federal or provincial governments
which are government guaranteed as evidenced by a written unconditional irrevocable guarantee or have a call on the consolidated revenue fund of the federal or provincial governments.
3. Canadian banks, Quebec savings banks, trust companies and loan companies licensed to do business in
Canada or a province thereof. Each of the aforementioned entities must have paid up capital and surplus on the last audited balance sheet (plus such other forms of capital recognized as such in their regulatory regime as well as in this capital formula, e.g. subordinated debt) in excess of $100 million, provided acceptable financial information with respect to such entities is available for inspection.
4. Credit and central credit unions and regional caisses populaires with paid up capital and surplus (excluding
appraisal credits but including general reserves) on the last audited balance sheet in excess of $100 million, provided acceptable financial information with respect to such entities is available for inspection.
5. Federal governments of Basel Accord countries. 6. Foreign banks and trust companies subject to a satisfactory regulatory regime with paid up capital and surplus
on the last audited balance sheet in excess of $150 million, provided acceptable financial information with respect to such entities is available for inspection.
7. Insurance companies licensed to do business in Canada or a province thereof with paid up capital and surplus
or net worth on the last audited balance sheet in excess of $100 million, provided acceptable financial information with respect to such companies is available for inspection.
8. Canadian pension funds which are regulated either by the Office of Superintendent of Financial Institutions or
a provincial pension commission, and with total net assets on the last audited balance sheet in excess of $200 million, provided that in determining net assets the liability of the fund for future pension payments shall not be deducted.
9. Foreign pension funds subject to a satisfactory regulatory regime with total net assets on the last audited
balance sheet in excess of $300 million, provided that in determining net assets the liability of the fund for future pension payments shall not be deducted.
For the purposes of this definition, a satisfactory regulatory regime will be one within Basel Accord countries. Subsidiaries (other than regulated entities) whose business falls in the category of any of the above enterprises and whose parent or affiliate qualifies as an acceptable institution may also be considered as an acceptable institution if the parent or affiliate provides a written unconditional irrevocable guarantee, subject to approval by the Corporation.
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(d) “acceptable securities locations” means those entities considered suitable to hold securities on behalf of a Dealer Member, for both inventory and client positions, without capital penalty, given that the locations meet the requirements outlined in the segregation rules of the Corporation including, but not limited to, the requirement for a written custody agreement outlining the terms upon which such securities are deposited and including provisions that no use or disposition of the securities shall be made without the prior written consent of the Dealer Member and the securities can be delivered to the Dealer Member promptly on demand. The entities are as follows:
1. Depositories and Clearing Agencies Any securities depository or clearing agency operating a central system for handling securities or equivalent
book-based entries or for clearing of securities or derivatives transactions that is subject to legislation and oversight by a central or regional government authority in the country of operation. The legislation or oversight regime must provide for or recognize the securities depository’s or clearing agency’s powers of compliance and enforcement over its members or participants. The Corporation will maintain and regularly update a list of those depositories and clearing agencies that comply with these criteria.
2. Acceptable institutions and subsidiaries of acceptable institutions that satisfy the following criteria:
(a) Acceptable institutions which in their normal course of business offer custodial security services; or (b) Subsidiaries of acceptable institutions provided that each such subsidiary, together with the acceptable
institution, has entered into a custodial agreement with the Dealer Member containing a legally enforceable indemnity by the acceptable institution in favour of the Dealer Member covering all losses, claims, damages, costs and liabilities in respect of securities and other property held for the Dealer Member and its clients at the subsidiary’s location.
3. Acceptable counterparties - with respect to security positions maintained as a book entry of securities issued
by the acceptable counterparty and for which the acceptable counterparty is unconditionally responsible. 4. Banks and trust companies otherwise classified as acceptable counterparties - with respect to securities for
which they act as transfer agent and for which custody services are not being provided (in such case, a written custody agreement is not required).
5. Mutual Funds or their Agents - with respect to security positions maintained as a book entry of securities
issued by the mutual fund and for which the mutual fund is unconditionally responsible. 6. Regulated entities. 7. Foreign institutions and securities dealers that satisfy the following criteria:
(a) the paid-up capital and surplus according to its most recent audited balance sheet is in excess of Canadian $150 million as evidenced by the audited financial statements of such entity;
(b) in respect of which a foreign custodian certificate has been completed and signed in the prescribed
form by the Dealer Member’s board of directors or authorized committee thereof; provided that: (c) a formal application in respect of each such foreign location is made by the Dealer Member to the
Corporation in the form of a letter enclosing the financial statements and certificate described above; and
(d) the Dealer Member reviews each such foreign location annually and files a foreign custodian
certificate with the Corporation annually.
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January 17, 2013
(2013) 36 OSCB 989
8. For London Bullion Market Association (LBMA) gold and silver good delivery bars, means those entities considered suitable to hold these bars on behalf of a Dealer Member, for both inventory and client positions, without capital penalty. These entities must:
• be a market making member, ordinary member or associate member of the LBMA; • be on the Corporation’s list of entities considered suitable to hold LBMA gold and silver good delivery
bars; and • have executed a written precious metals storage agreement with the Dealer Member, outlining the
terms upon which such LBMA good delivery bars are deposited. The terms must include provisions that no use or disposition of these bars shall be made without the written prior consent of the Dealer Member, and these bars can be delivered to the Dealer Member promptly on demand. The precious metals storage agreement must provide equivalent rights and protection to the Dealer Member as the standard securities custodial agreement.
and such other locations which have been approved as acceptable securities locations by the Corporation.
(e) “Basel Accord countries” means those countries that are members of the Basel Accord and those countries that have adopted the banking and supervisory rules set out in the Basel Accord. [The Basel Accord, which includes the regulating authorities of major industrial countries acting under the auspices of the Bank for International Settlements (B.I.S.), has developed definitions and guidelines that have become accepted standards for capital adequacy.] A list of current Basel Accord countries is included in the most recent list of foreign acceptable institutions and foreign acceptable counterparties.
(f) “broad based index” means an equity index whose underlying basket of securities is comprised of:
1. thirty or more securities; 2. the single largest security position by weighting comprises no more than 20% of the overall market value of
the basket of equity securities; 3. the average market capitalization for each security position in the basket of equity securities underlying the
index is at least $50 million; 4. the securities shall be from a broad range of industries and market sectors as determined by the Corporation
to represent index diversification; and 5. in the case of foreign equity indices, the index is both listed and traded on an exchange that meets the criteria
for being considered a recognized exchange, as set out in the definition of “regulated entities” in the General Notes and Definitions.
(g) “market value of securities” means:
1. for listed securities, the last bid price of a long security and, correspondingly, the last ask price of a short security, as shown on the exchange quotation sheets as of the close of business on the relevant date or last trading date prior to the relevant date, as the case may be, subject to an appropriate adjustment where an unusually large or unusually small quantity of securities is being valued. If not available, the last sale price of a board lot may be used. Where not readily marketable, no market value shall be assigned.
2. for unlisted and debt securities, and precious metals bullion, a value determined as reasonable from published
market reports or inter-dealer quotation sheets on the relevant date or last trading day prior to the relevant date, or based on a reasonable yield rate. Where not readily marketable, no market value shall be assigned.
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3. for commodity futures contracts, the settlement price on the relevant date or last trading day prior to the relevant date.
4. for money market fixed date repurchases (no borrower call feature), the market price is the price determined
by applying the current yield for the security to the term of maturity from the repurchase date. This will permit calculation of any profit or loss based on the market conditions at the reporting date. Exposure due to future changes in market conditions is covered by the margin rate.
5. for money market open repurchases (no borrower call feature), prices are to be determined as of the reporting
date or the date the commitment first becomes open, whichever is the later. Market price is to be determined as in 4. and commitment price is to be determined in the same manner using the yield stated in the repurchase commitment.
6. for money market repurchases with borrower call features, the market price is the borrower call price.
(h) “regulated entities” means those entities with whom a Dealer Member may deal on a value for value basis, with mark to market imposed on outstanding transactions. The entities are participating institutions in the Canadian Investor Protection Fund or members of recognized exchanges and associations. For the purposes of this definition recognized exchanges and associations mean those entities that meet the following criteria:
1. the exchange or association maintains or is a member of an investor protection regime equivalent to the
Canadian Investor Protection Fund; 2. the exchange or association requires the segregation by its members of customers’ fully paid for securities; 3. the exchange or association rules set out specific methodologies for the segregation of, or reserve for,
customer credit balances; 4. the exchange or association has established rules regarding Dealer Member and customer account
margining; 5. the exchange or association is subject to the regulatory oversight of a government agency or a self-regulatory
organization under a government agency which conducts regular examinations of its members and monitors member’s regulatory capital on an ongoing basis; and
6. the exchange or association requires regular regulatory financial reporting by its members. A list of current recognized exchanges and associations is included in the most recent list of foreign acceptable institutions and foreign acceptable counterparties.
(i) “settlement date - extended” means a transaction (other than a mutual fund security redemption) in respect of which the arranged settlement date is a date after regular settlement date.
(j) “settlement date - regular” means the settlement date generally accepted according to industry practice for the
relevant security in the market in which the transaction occurs, including foreign jurisdictions. For margin purposes, if such settlement date exceeds 15 business days past trade date, settlement date will be deemed to be 15 business days past trade date. In the case of new issue trades, regular settlement date means the contracted settlement date as specified for that issue.
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January 17, 2013
(2013) 36 OSCB 991
FORM 1 – CERTIFICATE OF UDP AND CFO
NOTES AND INSTRUCTIONS 1. Details must be given for any “no” answers. 2. To be signed by:
(a) Ultimate Designated Person (UDP); (b) Chief financial officer (CFO); and (c) at least one other executive if the CFO is not an executive or if the UDP and CFO are onethe same person.
3. A copy of the certificate with original signatures must be provided to both the Corporation and CIPF.
SROs, Marketplaces and Clearing Agencies
January 17, 2013
(2013) 36 OSCB 992
FORM 1, PART I – STATEMENT A
(Dealer Member Name)
STATEMENT OF FINANCIAL POSITION at
REFERENCE NOTES
(CURRENT YEAR)
(PREVIOUS YEAR)
LIQUID ASSETS: C$’000 C$’000 1. Cash on deposit with acceptable institutions 2. Funds deposited in trust for RRSP and other similar accounts 3. Stmt. D Cash, held in trust with acceptable institutions, due to free
credit ratio calculation
4. Variable base deposits and margin deposits with acceptable clearing corporations [cash balances only]
5. Margin deposits with regulated entities [cash balances only] 6. Sch.1 Loans receivable, securities borrowed and resold 7. Sch.2 Securities owned - at market value 8. Sch.2 Securities owned and segregated due to free credit ratio
calculation
9. Sch.4 Client accounts 10. Sch.5 Brokers and dealers trading balances 11. Receivable from carrying broker or mutual fund 12. TOTAL LIQUID ASSETS OTHER ALLOWABLE ASSETS (RECEIVABLES FROM ACCEPTABLEINSTITUTIONS):
13. Sch.6 Current income tax assets 14. Recoverable and overpaid taxes 15. Commissions and fees receivable 16. Interest and dividends receivable 17. Other receivables [provide details] 18. TOTAL OTHER ALLOWABLE ASSETS NON ALLOWABLE ASSETS: 19. Other deposits with acceptable clearing corporations
[cash or market value of securities lodged]
20. Deposits and other balances with non-acceptable clearing corporations [cash or market value of securities lodged]
21. Commissions and fees receivable 22. Interest and dividends receivable 23. Deferred tax assets 24. Intangible assets 25. Property, plant and equipment 26. Investments in subsidiaries and affiliates 27. Advances to subsidiaries and affiliates 28. Other assets [provide details] 29. TOTAL NON-ALLOWABLE ASSETS 30. Finance lease assets 31. TOTAL ASSETS
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January 17, 2013
(2013) 36 OSCB 993
REFERENCE NOTES
(CURRENT YEAR)
(PREVIOUS YEAR)
CURRENT LIABILITIES: C$’000 C$’000 51. Sch.7 Overdrafts, loans, securities loaned and repurchases 52. Sch.2 Securities sold short - at market value 53. Sch.4 Client accounts 54. Sch.5 Brokers and dealers 55. Provisions 56. Sch.6 Current income tax liabilities 57. Bonuses payable 58. Accounts payable and accrued expenses 59. Finance leases and lease-related liabilities 60. Other current liabilities [provide details] 61. TOTAL CURRENT LIABILITIES NON-CURRENT LIABILITIES: 62. Provisions 63. Deferred tax liabilities 64. Finance leases and lease-related liabilities 65. Finance leases –Non-refundable leasehold inducements 66. Other non-current liabilities [provide details] 67. Subordinated loans 68. TOTAL NON-CURRENT LIABILITIES 69. TOTAL LIABILITIES [Line 61 plus Line 68] CAPITAL AND RESERVES: 70. Stmt. F Issued capital 71. Stmt. F Reserves 72. Stmt. F Retained earnings or undivided profits 73. TOTAL CAPITAL 74. TOTAL LIABILITIES AND CAPITAL
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January 17, 2013
(2013) 36 OSCB 994
FORM 1, PART I – STATEMENT B
(Dealer Member Name)
STATEMENT OF NET ALLOWABLE ASSETS AND RISK ADJUSTED CAPITAL at
REFERENCE NOTES (CURRENT YEAR)
(PREVIOUS YEAR)
C$’000 C$’000 1. A-73 Total Capital 2. A-65 Add: Finance leases –Non-refundable leasehold inducements 3. A-67 Add: Subordinated loans 4. REGULATORY FINANCIAL STATEMENT CAPITAL 5. A-29 Deduct: Total Non allowable assets 6. NET ALLOWABLE ASSETS 7. Deduct: Minimum capital 8. SUBTOTAL Deduct - Margin required: 9. Sch.1 Loans receivable, securities borrowed and resold 10. Sch.2 Securities owned and sold short 11. Sch.2A Underwriting concentration 12. Sch.4 Client accounts 13. Sch.5 Brokers and dealers 14. Sch.7 Loans and repurchases 15. Contingent liabilities [provide details] 16. Sch.10 Financial institution bond deductible [greatest under any
clause]
17. Sch.11 Unhedged foreign currencies 18. Sch.12 Futures contracts 19. Sch.14 Provider of capital concentration charge 20. Securities held at non-acceptable securities locations 21. Sch.7A Acceptable counterparties financing activities concentration
charge
22. Unresolved differences [provide details] 23. Other [provide details] 24. TOTAL MARGIN REQUIRED [Lines 9 to 23] 25. SUBTOTAL [Line 8 less Line 24] 26. Sch.6A Add: Applicable tax recoveries 27. Risk Adjusted Capital before securities concentration charge
[Line 25 plus Line 26]
28. Sch.9 Deduct: Securities concentration charge of ____________ Sch.6A less tax recoveries of ____________ 29. RISK ADJUSTED CAPITAL [Line 27 less Line 28]
SROs, Marketplaces and Clearing Agencies
January 17, 2013
(2013) 36 OSCB 995
FORM 1, PART I – STATEMENT B
NOTES AND INSTRUCTIONS Capital adequacy A DEALER MEMBER MUST HAVE AND MAINTAIN AT ALL TIMES RISK ADJUSTED CAPITAL IN AN AMOUNT NOT LESS THAN ZERO. Netting for margin calculation When applying Corporation margin rules, a Dealer Member can net allowable assets and liabilities as well as security positions. Except where there is a prescribed IFRS departure, netting is for regulatory margin purposes only (and not for presentation purposes). Line 2 – Non- current liability - finance leases –non-refundable lease hold inducements In those cases where it can be demonstrated that the leasehold inducement presents no additional liability to the Dealer Member (i.e. the Dealer Member does not “owe” the unamortized portion of the inducement back to the landlord, thereby qualifying the landlord as a creditor of the Dealer Member), the non-current portion of the finance lease liability for leasehold inducements can be reported as an adjustment to risk adjusted capital. Line 7 – Minimum Capital “Minimum capital” is $250,000 except for a Type 1 introducing broker. For a Type 1 introducing broker, the minimum capital is $75,000. Line 15 – Contingent liabilities No Dealer Member may give, directly or indirectly, by means of a loan, guarantee, the provision of security or of a covenant or otherwise, any financial assistance to an individual and/or corporation unless the amount of the loan, guarantee, provision of security or of the covenant or any other assistance is limited to a fixed or determinable amount and the amount is provided for in computing Risk Adjusted Capital. The margin required shall be the amount of the loan, guarantee, etc. less the loan value of any accessible collateral, calculated in accordance with Corporation rules. A guarantee of payment is not acceptable collateral to reduce margin required. The Dealer Member should maintain and retain the details of the margin calculations for contingencies, such as guarantees or returned cheques, for Corporation review. Line 20 – Securities held at non-acceptable securities locations Capital Requirements In general, the capital requirements for securities held in custody at another entity are as follows: (i) Where the entity qualifies as an acceptable securities location, there shall be no capital requirement, provided there are
no unresolved differences between the amounts reported on the books of the entity acting as custodian and the amounts reported on the books of the Dealer Member. The capital requirements for unresolved differences are discussed separately in the notes and instructions for the completion of Statement B, Line 22 below.
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January 17, 2013
(2013) 36 OSCB 996
(ii) Where the entity does not qualify as an acceptable securities location, the entity shall be considered a non-acceptable securities location and the Dealer Member shall be required to deduct 100% of the market value of the securities held in custody with the entity in the calculation of its Risk Adjusted Capital.
However, there is one exception to the above general requirements. Where the entity would otherwise qualify as an acceptable securities location except for the fact that the Dealer Member has not entered into a written custodial agreement with the entity, as required by Corporation rules, the capital requirement shall be determined as follows: (a) Where setoff risk with the entity is present, the Dealer Member shall be required to deduct the lesser of:
(I) 100% of the setoff risk exposure to the entity; and (II) 100% of the market value of the securities held in custody with the entity; in the calculation of its Risk Adjusted Capital;
and; (b) The Dealer Member shall be required to deduct 10% of the market value of the securities held in custody with the entity in
the calculation of its Early Warning Reserve. The sum of the requirements calculated in paragraphs (a) and (b) above shall be no greater than 100% of the market value of the securities held in custody with the entity. Where the sum amounts initially calculated in paragraphs (a) and (b) above are greater than 100%, the capital required under paragraph (b) and the amount reported as a deduction in the calculation of the Early Warning Reserve shall be reduced accordingly. For the purposes of determining the capital requirement detailed in paragraph (a) above, the term “setoff risk” shall mean the risk exposure that results from the situation where the Dealer Member has other transactions, balances or positions with the entity, where the resultant obligations of the Dealer Member might be setoff against the value of the securities held in custody with the entity. Client Waiver Where the laws and circumstances prevailing in a foreign jurisdiction may restrict the transfer of securities from the jurisdiction and the Dealer Member is unable to arrange for the holding of client securities in the jurisdiction at an acceptable securities location, the Dealer Member may hold such securities at a location in that jurisdiction if (a) the Dealer Member has entered into a written custodial agreement with the location as required hereunder and (b) the client has consented to the arrangement, acknowledged the risks and waived any claims it may have against the Dealer Member, in a form approved by the Corporation. Such a consent and waiver must be obtained on a transaction by transaction basis. Line 22 – Unresolved Differences Items are considered unresolved unless: (i) a written acknowledgement from the counterparty of a valid claim has been received (ii) a journal entry to resolve the difference has been processed as of the Due Date of Form 1. This does not include journal entries writing off the difference to profit or loss in the period subsequent to the date of Form 1. Provision should be made for the market value and margin requirements at the Form 1 date on out-of-balance short securities and other adverse unresolved differences (such as, with banks, trust companies, brokers, clearing corporations) still unresolved as at a date one month subsequent to the Form 1 date or other applicable Due Date of Form 1. The margin rate to be used is the one that is appropriate for inventory positions. For instance, if the calculation is for securities
SROs, Marketplaces and Clearing Agencies
January 17, 2013
(2013) 36 OSCB 997
eligible for reduced margin, the margin rate is 25%, rather than 30%. A separate schedule, in a form approved by the Corporation, must be prepared detailing all unresolved differences as at the report date. The following guidelines should be followed when calculating the required to margin amount on unresolved items:
Type of Unresolved Difference Amount Required to Margin Money balance - credit (potential gains) Money balance - debit (potential losses)
None Money balance
Unresolved Long with Money on the Dealer Member's Book [(Money Balance on the trade minus market value of the security)* plus the applicable inventory margin]
Unresolved Long without Money on the Dealer Member's Books
None
Unresolved Short with Money on the Dealer Member's Books
[(Market value of the security minus money balance on the trade)* plus the applicable inventory margin]
Unresolved Long/Short on the Other Broker's Books None Short Security Break (e.g. Mutual Funds, Stock Dividends) or Unresolved Short without Money on the Dealer Member's Books
[Market value of the security plus the applicable inventory margin]
* also referred to as the Mark-to-Market Adjustment. Where mutual fund positions are not reconciled on a monthly basis, margin shall be provided equal to a percentage of the market value of such mutual funds held on behalf of clients. Where no transactions in the mutual fund, other than redemptions and transfers, have occurred for at least six months and no loan value has been associated with the mutual fund, the percentage shall be 10%. In all other cases, the percentage shall be 100%. Unresolved Differences in Accounts: Report all differences determined on or before the report date that have not been resolved as of the due date. Month End Month End + 20 Business Days
(Report date) (Due date)
Include differences determined on or before the report date that have not been resolved as of the due date. ⎯⎯⎯⎯⎯⎯⎯⎯⎯⎯⎯⎯⎯⎯⎯⎯⎯⎯⎯⎯⎯⎯⎯⎯⎯⎯⎯⎯⎯⎯⎯⎯⎯⎯⎯⎯⎯⎯⎯⎯⎯⎯→ Do not include differences as of the report date that have been resolved on or before the due date. ⎯⎯⎯⎯⎯⎯⎯⎯⎯⎯⎯⎯⎯⎯⎯→
For each account listed, set out the number of unresolved differences and the money value of both the debit and credit differences. The Debit/Short value column includes money differences and market value of security differences, which represent a potential loss. The Credit/Long value column includes money differences and market value of security differences, which represent a potential gain. In determining the potential gain or loss, the money balance and the security position market value of the same transaction should be netted. Debit/short and credit/long balances of different transactions cannot be netted. All reconciliation must be properly documented and made available for review by Corporation examination staff and Dealer Member's Auditor. Unresolved differences in Security Counts: Report all security count differences determined on or before the report date that have not been resolved as of due date. The amount required to margin is the market value of short security differences plus the applicable inventory margin.
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January 17, 2013
(2013) 36 OSCB 998
Line 23 – Other This item should include all margin requirements not mentioned above as outlined in Corporation rules.
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January 17, 2013
(2013) 36 OSCB 999
FORM1, PART I – STATEMENT C DATE:
(Dealer Member Name)
STATEMENT OF EARLY WARNING EXCESS AND EARLY WARNING RESERVE
at
REFERENCE NOTES (CURRENT YEAR)
C$’000 1. B-29 RISK ADJUSTED CAPITAL LIQUIDITY ITEMS - DEDUCT: 2. A-18 Other allowable assets 3. Sch.6A Tax recoveries 4. Securities held at non-acceptable securities locations ADD: 5. A-68 Non-current liabilities 6. A-67 Less: Subordinated loans 7. A-65 Less: Finance leases -Non-refundable leasehold inducements 8. Adjusted non-current liabilities for Early Warning purposes 9. Sch.6A Tax recoveries - income accruals 10. EARLY WARNING EXCESS DEDUCT: CAPITAL CUSHION - 11. B-24 Total margin required $____________ multiplied by 5% 12. EARLY WARNING RESERVE [Line 10 less Line 11]
SROs, Marketplaces and Clearing Agencies
January 17, 2013
(2013) 36 OSCB 1000
FORM 1, PART I – STATEMENT C
NOTES AND INSTRUCTIONS The Early Warning system is designed to provide advance warning of a Dealer Member encountering financial difficulties. It will anticipate capital shortages and/or liquidity problems and encourage Dealer Members to build a capital cushion. Line 1 - If Risk Adjusted Capital of the Dealer Member is less than: (a) 5% of total margin required (Line 11 above), then the Dealer Member is designated as being in Early Warning
category Level 1, or (b) 2% of total margin required (Line 11 above), then the Dealer Member is designated as being in Early Warning
category Level 2, and the applicable sanctions outlined in the Corporation rules will apply. Lines 2 and 3 - These items are deducted from RAC because they are illiquid or the receipt is either out of the Dealer Member’s control or contingent. Line 4 –- Pursuant to the Notes and Instructions for the completion of Statement B, Line 20, where the entity would otherwise qualify as an acceptable securities location except for the fact that the Dealer Member has not entered into a written custodial agreement with the entity, as required by Corporation rules, the Dealer Member will be required to deduct an amount up to 10% of the market value of the securities held in custody with the entity, in the calculation of its Early Warning Reserve. Please refer to the detailed calculation formula set out to the Notes and Instructions for the completion of Statement B, Line 20 to determine the capital requirement to be reported on Statement C, Line 4. Line 5 –- Non-current liabilities (other than subordinated loans and non-current portion of finance lease liabilities –- leasehold inducements) are added back to RAC as they are not current obligations of the Dealer Member and can be used as financing. Line 9 - This add-back ensures that the Dealer Member is not penalized at the Early Warning level for accruing income. Line 10 - If Early Warning Excess is negative, the Dealer Member is designated as being in Early Warning category Level 2 and the sanctions outlined in the Corporation rules will apply. Line 12 - If the Early Warning Reserve is negative, the Dealer Member is designated as being in Early Warning category Level 1 and the sanctions outlined in the Corporation rules will apply.
SROs, Marketplaces and Clearing Agencies
January 17, 2013
(2013) 36 OSCB 1001
FORM 1, PART I – STATEMENT E
(Dealer Member Name)
STATEMENT OF INCOME AND COMPREHENSIVE INCOME
for the period ended
REFERENCE NOTES (CURRENT YEAR / MONTH)
(PREVIOUS YEAR / MONTH)
C$’000 C$’000 COMMISSION REVENUE 1. Listed Canadian securities 2. Other securities 3. Mutual funds 4. Listed Canadian options 5. Other listed options 6. Listed Canadian futures 7. Other futures 8. OTC derivatives PRINCIPAL REVENUE 9. Listed Canadian options and related underlying securities 10. Other Equities and options 11. Debt 12. Money market 13. Futures 14. OTC derivatives CORPORATE FINANCE REVENUE 15. New issues – equity 16. New issues – debt 17. Corporate advisory fees OTHER REVENUE 18. Interest 19. Fees 20. Other [provide details] 21. TOTAL REVENUE EXPENSES 22. Variable compensation 23. Commissions and fees paid to third parties 24. Bad debt expense 25. Interest expense on subordinated debt 26. Financing cost 27. Corporate finance cost 28. Unusual items [provide details] 29. Pre-tax profit (loss) for the yearperiod from discontinued
operations
30. Operating expenses 31. Profit [loss] for Early Warning test 32. Income – Asset revaluation 33. Expense – Asset revaluation 34. Interest expense on internal subordinated debt 35. Bonuses 36. Net income/(loss) before income tax 37. S-6(5) Income tax expense (recovery), including taxes on profit (loss)
from discontinued operations
38. PROFIT [LOSS] FOR PERIOD F-11 Other comprehensive income
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January 17, 2013
(2013) 36 OSCB 1002
39. Gain (loss) arising on revaluation of properties F-5a 40. Actuarial gain (loss) on defined benefit pension plans F-5b 41 Other comprehensive income for the yearperiod, net of tax
[Lines 39 plus 40]
For MFR reporting E-41 is the net change to A-71 Reserves
42. Total comprehensive income for the yearperiod [Lines 38plus 41]
Note: The following lines must also be completed when filing the MFR: 43. Payment of dividends or partners drawings 44. Other [provide details] 45. NET CHANGE TO RETAINED EARNINGS [Lines 38, 43 and
44]
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January 17, 2013
(2013) 36 OSCB 1003
FORM 1, PART I – STATEMENT E
NOTES AND INSTRUCTIONS Comprehensive income Comprehensive income represents all changes in equity during a period resulting from transactions and other events, other than changes resulting from transactions with owners in their capacity as owners. Comprehensive income includes profit and loss for the period and other comprehensive income (OCI). OCI captures certain gains and losses outside of net income. For regulatory financial reporting, two acceptable sources of other comprehensive income (OCI) are: • the use of the revaluation model for plant, property and equipment (PPE) and intangible assets, and • the actuarial gain (loss) on defined benefit pension plans. Lines 1. Include all gross commissions earned on listed Canadian securities. Commissions earned on soft dollar deals with respect to the revenue source should also be included in the appropriate
Lines 1 to 8. Commission paid to registered representatives must be reported on Line 22 (Expenses: variable compensation).
Payouts to other brokers must be reported on Line 23 (Expenses: commissions and fees paid to third parties). 2. Include gross commissions earned on OTC transactions [equity or debt, foreign or Canadian], rights and offers, and
other foreign securities. Commission paid to registered representatives must be reported on Line 22 (Expenses: variable compensation).
Payouts to other brokers must be reported on Line 23 (Expenses: commissions and fees paid to third parties). 3. Include all gross commissions and trailer fees earned on mutual fund transactions. Commissions paid to registered representatives must be reported on Line 22 (Expenses: variable compensation).
Payouts to the mutual funds must be reported on Line 23 (Expenses: commissions and fees paid to third parties). 4. Include all gross commissions earned on listed option contracts cleared through the Canadian Derivatives Clearing
Corporation (CDCC).
Commission paid to registered representatives must be reported on Line 22 (Expenses: variable compensation). 5. Include gross commissions on foreign listed option transactions. Commission paid to registered representatives must be reported on Line 22 (Expenses: variable compensation).
Payouts to other brokers must be reported on Line 23 (Expenses: commissions and fees paid to third parties). 6. Include all gross commissions earned on listed futures contracts cleared through the CDCC.
Commissions paid to registered representatives must be reported on Line 22 (Expenses: variable compensation). 7. Include all gross commissions earned on foreign listed futures contracts. Commission paid to registered representatives must be reported on Line 22 (Expenses: variable compensation).
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January 17, 2013
(2013) 36 OSCB 1004
8. Include gross commissions earned on OTC options, forwards, contracts-for-difference, FX spot, and swaps. Commission paid to registered representatives must be reported on Line 22 (Expenses: variable compensation). 9. Include all principal revenue [trading profits/losses, including dividends] from listed options cleared through CDCC and
related underlying security transactions in market makers' and Dealer Member’s inventory accounts.
Include adjustment of inventories to market value. The financing cost must be reported separately on Line 26 (Expenses: financing cost).
10. Include all principal revenue [trading profits/losses, including dividends] from all other options and equities except those
indicated on Line 9 (Principal revenue: listed Canadian options and related underlying securities). Include adjustment of inventories to market value. The financing cost must be reported separately on Line 26 (Expenses: financing cost). 11. Include revenue [trading profits/losses] on all debt instruments, other than money market instruments. Include adjustment of inventories to market value. The financing cost must be reported separately on Line 26 (Expenses: financing cost). 12. Include revenue on all money market activities. Money market commissions should also be shown here. Include any adjustment of inventories to market value. The cost of carry must be reported separately on Line 26 (Expenses: financing cost). 13. Include all principal revenue [trading profits/losses] on futures contracts. 14. Include revenues from OTC derivatives, such as forward contracts and swaps. Include adjustment of inventories to market value. 15. Include revenue relating to equity new issue business - underwriting and/or management fees, banking group profits,
private placement fees, trading profits on new issue inventories [trading on an "if, as and when basis"], selling group spreads and/or commissions, and convertible debts.
Syndicate expenses must be reported separately on Line 27 (Expenses: corporate finance cost). 16. Include revenue relating to debt new issue business - Corporate and government issues, and Canada Savings Bond
(CSB) commissions. Amounts paid to CSB sub-agent fees and for syndicate expenses must be reported separately on Line 27 (Expenses:
corporate finance cost). 17. Include revenue relating to corporate advisory fees, such as corporate restructuring, privatization, M&A fees. The related expenses must be reported separately on Line 27 (Expenses: corporate finance cost). 18. Include all interest revenue, which is not otherwise related to a specific liability trading activity [i.e. other than debt,
money market, and derivatives].
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January 17, 2013
(2013) 36 OSCB 1005
All interest revenue from carrying retail and institutional client account balances should be reported on this line. For example, interest revenue earned from client debit balances.
The related interest cost for carrying retail and institutional client accounts should be reported separately on Line 26
(Expenses: financing cost). 19. Include proxy fees, portfolio service fees, segregation and safekeeping fees, RRSP fees, and any charges to clients
that are not related to commission or interest. 20. Include foreign exchange profits/losses and all other revenue not reported above. 22. Include commissions, bonuses and other variable compensation of a contractual nature. Examples would encompass commission payouts to registered representatives (RRs) and payments to institutional and
professional trading personnel. All contractual bonuses should be accrued monthly. Discretionary bonuses should be reported separately on Line 35 (Expenses: bonuses). 23. Include payouts to other brokers and mutual funds. 25. Include all interest on external subordinated debt, as well as non-discretionary contractual interest on internal
subordinated debt. 26. Include the financing cost for all inventory trading (related to Lines 9, 10, 11 and 12) and the cost of carrying client
balances (related to Line 18). 27. Include syndicate expenses and any related corporate finance expenses, as well as CSB fees. 28. Unusual items result from transactions or events that are not expected to occur frequently over several years, or do not
typify normal business activities. Discontinued operations, such as a branch closure, should be reported separately on Line 29 (Expenses: profit (loss)
for the yearperiod from discontinued operations). 29. A discontinued operation is a business component that has either been disposed or is classified as held for sale and
represents (or is part of a plan to dispose) a separate significant line of business or geographical area of operations. For example, branch closure. The profit (loss) on discontinued operations for the yearperiod is on a pre-tax basis. The tax component is to be included as part of the income tax expense (recovery) on Line 37.
30. Include all operating expenses (including those related to soft dollar deals). Over-certification cost relating to debt instruments should be reported on this line. Transaction cost for inventory trading (specifically for inventory that are categorized as held-for-trading) should be
included on this line. The expense related to share-based payments (such as stock option or share reward) to employees and non-
employees should be included on this line. 31. This is the profit (loss) number used for the Early Warning profitability tests.
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January 17, 2013
(2013) 36 OSCB 1006
32. When a Dealer Member uses the revaluation model for its PPE and intangible assets, changes to the fair value may result in recognizing income after considering accumulated depreciation (or amortization) and OCI surplus.
33. When a Dealer Member uses the revaluation model for its PPE and intangible assets, changes to the fair value may
result in recognizing expense after considering accumulated depreciation (or amortization) and OCI surplus. 34. Include interest expense on subordinated debt with related parties for which the interest charges can be waived if
required. 35. This category should include discretionary bonuses and all bonuses to shareholders in accordance with share
ownership. These bonuses are in contrast to those reported on Line 22 (Expenses: variable compensation). 37. Include only income taxes and the tax component relating to the profit (loss) on discontinued operations for the
yearperiod. Realty and capital taxes should be included on Line 30 (Expenses: operating expenses). 39. When a Dealer Member uses the revaluation model to re-measure its PPE and intangible assets, changes to fair value
may result in a change to shareholders’ equity after considering accumulated depreciation (amortization) and income or expense from asset revaluation.
40. When a Dealer Member has a defined benefit pension plan and initially adopts a policy of recognizing actuarial gains
and losses in full in OCI, the subsequent adjustments must be recognized in OCI. 43. To be used for MFR filing only. 44. To be used for MFR filing only: Include direct charges or credits to retained earnings.
Any adjustment required to reconcile the MFR's retained earnings to the audited Form 1 retained earnings must be posted to the individual Statement E line items on the first MFR that is filed after the adjustment is known.
SROs, Marketplaces and Clearing Agencies
January 17, 2013
(2013) 36 OSCB 1007
FORM 1, PART I – STATEMENT G
(Dealer Member Name)
OPENING IFRS STATEMENT OF FINANCIAL POSITION AND RECONCILIATION OF EQUITY
at
CGAAP Line #
IFRS Line # REFERENCE NOTES
CGAAP (date)
IFRS ADJUSTMENTS
IFRS (date)
C$’000 C$’000 C$’000 LIQUID ASSETS: 1. 1. Cash on deposit with acceptable institutions 2. 2. Funds deposited in trust for RRSP and other
similar accounts
3. 3. Cash, held in trust with acceptable institutions, due to free credit ratio calculation
4. 4. Variable base deposits and margin deposits withacceptable clearing corporations [cash balances only]
5. 5. Margin deposits with regulated entities [cashbalances only]
6. 6. Loans receivable, securities borrowed and resold
7. 7. Securities owned - at market value 8. 8. Securities owned and segregated due to free
credit ratio calculation
10. 9. Client accounts 11. 10. Brokers and dealers trading balances 12. 11. Receivable from carrying broker or mutual fund 13. 12. TOTAL LIQUID ASSETS OTHER ALLOWABLE ASSETS
(RECEIVABLES FROM ACCEPTABLEINSTITUTIONS):
14. 13. Current income tax assets 15. 14. Recoverable and overpaid taxes 16. 15. Commissions and fees receivable 17. 16. Interest and dividends receivable 18. 17. Other receivables [provide details] 19. 18. TOTAL OTHER ALLOWABLE ASSETS NON ALLOWABLE ASSETS: 20. 19. Other deposits with acceptable clearing
corporations [cash or market value of securities lodged]
21. 20. Deposits and other balances with non-acceptable clearing corporations [cash or market value of securities lodged]
22. 21. Commissions and fees receivable 23. 22. Interest and dividends receivable 23. Deferred tax assets 24. Intangible assets 24. 25. Property, plant and equipment
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January 17, 2013
(2013) 36 OSCB 1008
CGAAP Line #
IFRS Line # REFERENCE NOTES
CGAAP (date)
IFRS ADJUSTMENTS
IFRS (date)
NON ALLOWABLE ASSETS [Continued]: 27. 26. Investments in subsidiaries and affiliates 27. Advances to subsidiaries and affiliates 28. 28. Other assets [provide details] 29. 29. TOTAL NON-ALLOWABLE ASSETS 26. 30. Finance lease asset 30. 31. TOTAL ASSETS CURRENT LIABILITIES: 51. 51. Overdrafts, loans, securities loaned and
repurchases
52. 52. Securities sold short - at market value 54. 53. Client accounts 55. 54. Brokers and dealers 55. Provisions 56. 56. Current income tax liabilities 58. 57. Bonuses payable 59. 58. Accounts payable and accrued expenses 60. 59. Finance leases and lease-related liabilities 61. 60. Other current liabilities [provide details] 62. 61. TOTAL CURRENT LIABILITIES NON-CURRENT LIABILITIES: 62. Provisions 63. 63. Deferred tax liabilities 64. 64. Finance leases and lease-related liabilities 68. 65. Finance leases –Non-refundable leasehold
inducements
65. 66. Other non-current liabilities [provide details] 69., 70. 67. Subordinated loans 66. 68. TOTAL NON-CURRENT LIABILITIES 67. 69. TOTAL LIABILITIES CAPITAL AND RESERVES: 71. 70. Issued capital 71. Reserves 72. 72. Retained earnings or undivided profits 73. 73. TOTAL CAPITAL 74. 74. TOTAL LIABILITIES AND CAPITAL
SROs, Marketplaces and Clearing Agencies
January 17, 2013
(2013) 36 OSCB 1009
FORM 1, PART IISCHEDULE 11A DATE:
(Dealer Member Name)
DETAILS OF UNHEDGED FOREIGN CURRENCIES CALCULATION FOR INDIVIDUAL CURRENCIES
WITH MARGIN REQUIRED GREATER THAN OR EQUAL TO $5,000
Foreign Currency: Margin Group:
AMOUNT WEIGHTED VALUE
MARGIN REQUIRED
C$’000 C$’000 C$’000 BALANCE SHEET ITEMS AND FORWARD/FUTURE COMMITMENTS <= TWO YEARS TO MATURITY 1. Total monetary assets 2. Total long forward / futures contract positions 3. Total monetary liabilities 4. Total (short) forward / futures contract positions 5. Net long (short) foreign exchange positions 6. Net weighted value 7. Net weighted value multiplied by term risk for Group ___ of _____% BALANCE SHEET ITEMS AND FORWARD/FUTURE COMMITMENTS > TWO YEARS TO MATURITY 8. Total monetary assets 9. Total long forward / futures contract positions 10. Total monetary liabilities 11. Total (short) forward / futures contract positions 12. Net long (short) foreign exchange positions 13. Net weighted value 14. Net weighted value multiplied by term risk for Group ___ of _____% FOREIGN EXCHANGE MARGIN REQUIREMENTS 15. Net long (short) foreign exchange positions 16. Net foreign exchange position multiplied by spot risk for Group ___ of _____% 17. Total term risk and spot risk margin requirement 18. Spot rate at reporting date 19. Margin requirement converted to Canadian dollars FOREIGN EXCHANGE CONCENTRATION CHARGE 20. Total foreign exchange margin (Line 19) in excess of 25% of net allowable assets
less minimum capital [not applicable to Group 1]
TOTAL FOREIGN EXCHANGE MARGIN FOR (Currency): Sch. 11
SROs, Marketplaces and Clearing Agencies
January 17, 2013
(2013) 36 OSCB 1010
FORM 1, PART II – SCHEDULE 13A DATE:
(Dealer Member Name)
EARLY WARNING TESTS - LEVEL 2 C$’000 A. LIQUIDITY TEST Is Early Warning Excess (Stmt. C, Line 10) less than 0? YES/NO B. CAPITAL TEST 1. Risk Adjusted Capital (RAC) [Stmt. B, Line 29] 2. Total Margin Required [Stmt. B, Line 24] multiplied by 2% Is Line 1 less than Line 2?
YES/NO C. PROFITABILITY TEST #1 Is Schedule 13, Line 11A less than 3 AND
Schedule 13, Line 11B less than 6?
YES/NO D. PROFITABILITY TEST #12 1. Loss for current month [notes 2 and 4} multiplied by -3 2. RAC [at Form 1 date] Is Line 2 less than Line 1?
YES/NO E. PROFITABILITY TEST #3
Months
Profit or loss for3 monthsending withcurrent month
[note 2] C$’000 1. Current month 2. Preceding month 3. 3rd month 4. TOTAL [note 5] 5. RAC [at Form 1 date] Is loss on Line 4 greater than Line 5? YES/NO F. FREQUENCY PENALTY Has Dealer Member: 1. Triggered Early Warning at least 3 times in the past 6 months or is RAC less than 0? YES/NO 2. Triggered Liquidity or Capital Tests on Schedule 13? YES/NO 3. Triggered Profitability Tests on Schedule 13? YES/NO 4. Are Lines 2 and 3 both YES? YES/NO
SROs, Marketplaces and Clearing Agencies
January 17, 2013
(2013) 36 OSCB 1011
FORM 1, PART II – SCHEDULE 14 DATE:
(Dealer Member Name)
PROVIDER OF CAPITAL CONCENTRATION CHARGE
(Name of Provider of Capital)
C$’000 A. CALCULATION OF CASH AND UNDERSECURED LOANS WITH PROVIDER OF CAPITAL 1. Cash on deposit with provider of capital 2. Cash, held in trust with provider of capital, due to free credit ratio calculation 3. Loans receivable - undersecured loans receivable from provider of capital relative to normal
commercial terms
4. Loans receivable - secured loans receivable from provider of capital that are secured by investments in securities issued by the provider of capital
5. Securities borrowed - securities borrowing agreements with the provider of capital that are undersecured relative to normal commercial terms
6. Securities borrowed - secured securities borrowing agreements with the provider of capital that are secured by investments in securities issued by the provider of capital
7. Resale agreements - agreements with the provider of capital that are undersecured relative to normal commercial terms
8. Commissions and fees receivable from the provider of capital 9. Interest and dividends receivable from the provider of capital 10. Other receivables from the provider of capital 11. Loans payable - loans payable to the provider of capital that are overcollateralized relative to
normal commercial terms
12. Securities lent - agreements with the provider of capital that are overcollateralized relative to normal commercial terms
13. Repurchase agreements - agreements with the provider of capital that are overcollateralized relative to normal commercial terms
LESS: 14. Bank overdrafts with the provider of capital 15. TOTAL CASH DEPOSITS AND UNDERSECURED LOANS WITH PROVIDER OF CAPITAL B. CALCULATION OF INVESTMENTS IN SECURITIES ISSUED BY THE PROVIDER OF CAPITAL 1. Investments in securities issued by the provider of capital (net of margin provided) LESS: 2. Loans payable to provider of capital that are linked to the assets above and are limited recourse 3. Securities issued by the provider of capital sold short provided they are used as part of a valid
offset with the investments reported in Section B, Line 1 above
4. TOTAL INVESTMENTS IN SECURITIES ISSUED BY THE PROVIDER OF CAPITAL
SROs, Marketplaces and Clearing Agencies
January 17, 2013
(2013) 36 OSCB 1012
FORM 1, PART II – SCHEDULE 14 DATE:
(Dealer Member Name)
PROVIDER OF CAPITAL CONCENTRATION CHARGE
C$’000 C. CALCULATION OF FINANCIAL STATEMENT CAPITAL PROVIDED BY THE PROVIDER OF
CAPITAL
1. Regulatory financial statement capital provided by the provider of capital (including pro-rata share of reserves and retained earnings)
D. NET ALLOWABLE ASSETS 1. Net Allowable Assets E. EXPOSURE TEST #1 - DOLLAR CAP ON CASH DEPOSITS AND UNDERSECURED LOANS 1. Sec.
C, Line 1
Regulatory financial statement capital provided by the provider of capital
2. Sec. A, Line 15
Cash deposits and undersecured loans with provider of capital
3. Regulatory financial statement capital redeposited or lent back on an undersecured basis[Minimum of Section E, Line 1 and Section E, Line 2]
4. Exposure threshold $50,000 5. Capital requirement [Excess of Section E, Line 3 over Section E, Line 4] F. EXPOSURE TEST #2 - OVERALL CAP ON CASH DEPOSITS AND UNDERSECURED LOANS AND
INVESTMENTS
1. Sec. C, Line 1
Regulatory financial statement capital provided by the provider of capital
2. Sec. A, Line 15
Cash deposits and undersecured loans with provider of capital
3. Sec. B, Line 4
Investments in securities issued by the provider of capital
4. Total cash deposits and undersecured loans and investments [Section F, Line 2 plus Section F, Line 3]
5. Regulatory financial statement capital redeposited or lent back on an undersecured basis or invested in securities issued by the provider of capital[Minimum of Section F, Line 1 and Section F, Line 4]
LESS: 6. Sec.
E, Line 5
Capital charge incurred under Exposure Test #1
7. Net financial statement capital redeposited or lent back on an undersecuredbasis or invested in securities issued by the provider of capital[Section F, Line 5 minus Section F, Line 6]
8. Exposure threshold being the greater of: (a) Ten million dollars $10,000 (b) 20% of Net Allowable Assets [20% of Section D, Line 1] 9. Capital requirement [Excess of Section F, Line 7 over Section F, Line 8] 10. TOTAL PROVIDER OF CAPITAL CONCENTRATION CHARGE
[Section E, Line 5 plus Section F, Line 9]
B-19
SROs, Marketplaces and Clearing Agencies
January 17, 2013
(2013) 36 OSCB 1013
FORM 1, PART II – SCHEDULE 14
NOTES AND INSTRUCTIONS 1. The purpose of this schedule is to measure the exposure a Dealer Member has to each of its providers of capital (as
defined below). As such is the case, a separate copy of this schedule should be completed for each provider of capital where the capital provided is in excess of $10 million.
2. For the purposes of this schedule:
(a) A “provider of capital” is an individual or entity and its affiliates that provides capital to a Dealer Member (b) “Regulatory financial statement capital” is comprised of:
• Total Capital (Statement A, Line 73); plus • Finance leases –Non-refundable leasehold inducements (Statement A, Line 65); plus • Subordinated loans (Statement A, Line 67).
(c) “Regulatory financial statement capital provided by the provider of capital” is the portion of the regulatory financial statement capital that has been provided to the Dealer Member by the provider of capital
CALCULATION OF CASH AND UNDERSECURED LOANS WITH PROVIDER OF CAPITAL Section A, Line 3 – The undersecured amount to be reported on this line refers to any deficiency between the market value of the collateral received for the loan and the amount of the loan receivable that is greater than the percentage [the percentage is determined by dividing the deficiency by the market value of the collateral received] deficiency required under normal commercial terms. Section A, Line 4 – The amount to be reported on this line refers to the entire loan receivable balance if the only collateral received for the loan is securities issued by the provider of capital. Section A, Line 5 – The undersecured amount to be reported on this line refers to any deficiency between the market value of the collateral received for the loan and the amount of the loan receivable or the market value of the securities delivered as collateral that is greater than the percentage [the percentage is determined by dividing the deficiency by the market value of the collateral received] deficiency required under normal commercial terms. Section A, Line 6 – The amount to be reported on this line refers to the entire loan receivable balance or the market value of the securities delivered as collateral if the only collateral received for the loan is securities issued by the provider of capital. Section A, Line 7 – The undersecured amount to be reported on this line refers to any deficiency between the market value of the security received pursuant to the resale agreement and the amount of the loan receivable that is greater than the percentage [the percentage is determined by dividing the deficiency by the market value of the security received] deficiency required under normal commercial terms. If the security received is a security issued by the provider of capital the collateral is assumed to have no value for the purposes of the above calculation. Section A, Lines 8, 9 and 10 – The amount to be reported on these lines refers to the amount of the loan receivable less any collateral provided other than securities issued by the provider of capital. Section A, Line 11 – The overcollateralized amount to be reported on this line refers to any deficiency between the market value of the collateral delivered for the loan and the amount of the loan payable that is greater than the percentage [the percentage is determined by dividing the deficiency by the amount of the loan payable] deficiency required under normal commercial terms.
SROs, Marketplaces and Clearing Agencies
January 17, 2013
(2013) 36 OSCB 1014
Section A, Line 12 – The overcollateralized amount to be reported on this line refers to any deficiency between the market value of the collateral delivered pursuant to the securities lending agreement and the amount of the loan payable or the market value of the securities received as collateral that is greater than the percentage [the percentage is determined by dividing the deficiency by the amount of the loan payable] deficiency required under normal commercial terms. Section A, Line 13 – The overcollateralized amount to be reported on this line refers to any deficiency between the market value of the collateral delivered pursuant to the repurchase agreement and the amount of the loan payable that is greater than the percentage [the percentage is determined by dividing the deficiency by the amount of the loan payable] deficiency required under normal commercial terms.
CALCULATION OF INVESTMENTS IN SECURITIES ISSUED BY THE PROVIDER OF CAPITAL Section B, Line 1 – Include all investments in securities issued by the provider of capital. Section B, Line 2 – Include only those loans where the agreement executed includes the industry standard wording set out in the Limited Recourse Call Loan Agreement. Section B, Line 3 – Include only those security positions that are otherwise eligible for offset pursuant to the Corporation’s capital requirements. CALCULATION OF FINANCIAL STATEMENT CAPITAL PROVIDED BY THE PROVIDER OF CAPITAL Section C, Line 1 – Include the face amount of subordinated debt provided by the provider of capital, plus the book amount of equity capital provided by the provider of capital plus a pro-rata share of reserves and retained earnings.
January 17, 2013
(2013) 36 OSCB 1015
Index
ACM Advisors Ltd. Change in registration category ..................................961 Allarde, Naida Order – ss. 127, 127.1 ................................................806 Notice from the Office of the Secretary .......................773 Order – ss. 127, 127.1 ................................................811 Antares Investment Management, Inc. Change in registration category ..................................961 Associate Advising Representatives of Portfolio Managers Notice..........................................................................758 BNY Mellon Wealth Management, Advisory Services, Inc. Name Change.............................................................961 Canadian Securities Regulators – Amendments to Scholarship Plan Disclosure News Release.............................................................771 Central Fund of Canada Limited Decision ......................................................................795 Central Goldtrust Decision ......................................................................778 Cheong, John Order – s. 127 .............................................................817 Notice from the Office of the Secretary .......................775 Cheong, Kim Meng Order – s. 127 .............................................................817 Notice from the Office of the Secretary .......................775 CSA Staff Notice 31-332 – Relevant Investment Management Experience for Advising Representatives and El-Bouji, Issam Notice from the Office of the Secretary .......................773 Notice of Hearing ........................................................762 Exempt Market Review – Consultation Sessions on OSC Staff Consultation Paper 45-710 Notice..........................................................................757 Frey, Rodger Order – ss. 127(1), 127.1 ............................................818 Notice from the Office of the Secretary .......................775 Frontfour Capital Corp. New Registration.........................................................961
Giangrosso, Bernardo Order – ss. 127, 127.1................................................ 806 Notice from the Office of the Secretary ...................... 773 Order – ss. 127, 127.1................................................ 811 Global Educational Trust Foundation Notice from the Office of the Secretary ...................... 773 Notice of Hearing........................................................ 762 Global Growth Assets Inc. Notice from the Office of the Secretary ...................... 773 Notice of Hearing........................................................ 762 Global RESP Corporation Notice from the Office of the Secretary ...................... 773 Notice of Hearing........................................................ 762 Griffiths, Mark Order – s. 127 ............................................................ 817 Notice from the Office of the Secretary ...................... 775 I3 Advisors Inc. Name Change ............................................................ 961 IFM (US) Investment Advisor, LLC Decision...................................................................... 790 IFM Global Infrastructure (Canada) G.P. Inc. Decision...................................................................... 790 IFM Global Infrastructure (Canada) L.P. Decision...................................................................... 790 K&S Global Wealth Creative Strategies Inc. Order – ss. 127, 127.1................................................ 806 Notice from the Office of the Secretary ...................... 773 Order – ss. 127, 127.1................................................ 811 KS Acquisition II LP Decision...................................................................... 800 KS Acquisition II LP Notice of Hearing – s. 127 .......................................... 770 Notice from the Office of the Secretary ...................... 774 LCTI Low Carbon Technologies International Inc. Cease Trading Order.................................................. 825 Lobban, Maxine Order – ss. 127, 127.1................................................ 806 Notice from the Office of the Secretary ...................... 773 Order – ss. 127, 127.1................................................ 811 Lobban, Wayne Order – ss. 127, 127.1................................................ 806 Notice from the Office of the Secretary ...................... 773 Order – ss. 127, 127.1................................................ 811
Index
January 17, 2013
(2013) 36 OSCB 1016
Mackie Research Capital Corporation Amalgamation .............................................................961 Mackie Research Capital Corporation Amalgamation .............................................................961 Morgan Dragon Development Corp. Order – s. 127 .............................................................817 Notice from the Office of the Secretary .......................775 NCP Northland Capital Partners Inc. Amalgamation .............................................................961 Newer Technologies Limited Order – ss. 127(1), 127.1 ............................................818 Notice from the Office of the Secretary .......................775 Persaud, Kevin Order – ss. 127, 127.1 ................................................806 Notice from the Office of the Secretary .......................773 Order – ss. 127, 127.1 ................................................811 Peter Sbaraglia Notice from the Office of the Secretary .......................774 Pickering, Ryan Order – ss. 127(1), 127.1 ............................................818 Notice from the Office of the Secretary .......................775 Plexmar Resources Inc. Decision ......................................................................749 Primaris Retail Real Estate Investment Trust Notice of Hearing – s. 127...........................................770 Notice from the Office of the Secretary .......................774 Primaris Retail Real Estate Investment Trust Decision ......................................................................800 PRT Growing Services Ltd. Decision ......................................................................805 RDA Capital Inc. New Registration.........................................................961 Ricketts, Devon Order – s. 127 .............................................................817 Notice from the Office of the Secretary .......................775
Saratoga Finance Inc. Voluntary Surrender ................................................... 961 Sbaraglia, Peter Order .......................................................................... 816 Seamark Asset Management Ltd. Change in registration category.................................. 961 Sherpa Asset Management Inc. Change in registration category.................................. 961 Silver Bullion Trust Decision...................................................................... 785 Simply Wealth Financial Group Inc. Order – ss. 127, 127.1................................................ 806 Notice from the Office of the Secretary ...................... 773 Order – ss. 127, 127.1................................................ 816 Singh, Margaret Notice from the Office of the Secretary ...................... 773 Notice of Hearing........................................................ 762 The Pallas Athena Corporation Decision...................................................................... 783 Tse, Herman Order – s. 127 ............................................................ 817 Notice from the Office of the Secretary ...................... 775 Union Securities Ltd. Voluntary Surrender ................................................... 961 UP Securities Ltd. Voluntary Surrender ................................................... 961 White Capital Corporation OSC Decision – s. 31 ................................................. 819 White, Matthew OSC Decision – s. 31 ................................................. 819 Zongshen PEM Power Systems Inc. Decision...................................................................... 804
